ments on proposed legislation, policies, programs, and procedures relating to the financial assistance, economic development, and SBIC programs. Prepares for publication in the FEDERAL REGISTER revisions in Loan Policy Statement, official declarations of disaster areas, and official statements involving group corporation loans. Reviews all material submitted by other SBA offices for publication in the REGISTER. Maintains liaison with governmental and other agencies having activities related to the legal functions of this office. Provides advice and technical guidance to regional counsel in the processing, closing, disbursement, and servicing of loans, lease guarantees, and economic development financing. Reviews field operations to insure compliance with SBA policies and procedures and pertinent legal authorities. Makes field visits to appraise performance.

(c) Office of Interagency Affairs. Directs, coordinates, and administers the SBA interagency affairs program. Presents and advocates the small business point of view before Federal departments and agencies. Represents SBA at interagency conferences, hearings, and court proceedings involving the Agency's advocacy program. Provides legal counsel, assistance, and services to Agency officials in the following program and administrative areas: (1) Procurement and management assistance; sections 8(a) and 406 contracts and grants, (2) size standards; size appeals, (3) small business defense production; research and development pools, (4) administrative functions, including fiscal, personnel, property management; contracts for the procurement of supplies and services, (5) ad hoc committee matters; equal employment opportunity; advisory council; planning, research and analysis; congressional and public affairs; minority enterprise; franchising, (6) implementation of the requirements of the Civil Rights Act of 1964, and (7) employee organization-management program; negotiation of agreements. Conducts final legal review of all Boards of Survey Reports and recommendations on claims under the Federal Tort Claims Act in the denial or allowance of claims in unlimited amounts. Provides legal counsel appearing on behalf of the Agency in proceedings and hearings before Regional CSC Hearing Officers; prepares and submits appeals on behalf of the Agency before the Board of Appeals of the CSC.

Provides legal counsel to small business concerns in their dealings with Government procurement officials; also, to the Agency's Size Appeals Board. Reviews and evaluates matters pertaining to security checks referred by the Office of Security and Investigations. Coordinates and maintains control over all formal and informal interagency committees, councils, task forces or other coordinating groups in which SBA participates, except Federal Executive Boards. Interprets applicable acts, regulations, and policies from a legal standpoint, including determinations as to eligibility and compliance with statutory and regulatory requirements. Prepares documents for publication in the Federal RegisTER and, except with respect to the Small Business Investment Act, is responsible for interpreting the requirements of the Administrative Procedure Act. Also acts as liaison with the Office of the Federal Register. Maintains liaison with the Federal Trade Commission and the Antitrust Division of the Department of Justice.

the

(d) Office of Litigation. Plans, directs, coordinates, and evaluates litigation activities of the Small Business Administration. Formulates and recommends policies and establishes procedures to govern these activities. Advises Administrator and other Agency officials with respect to all legal action necessary in litigative matters pending in the Agency, and provides legal services, as required. Act as liaison with the Department of Justice and field offices in all civil litigation and criminal matters. Makes recommendations to Department of Justice as to whether or not adverse decisions should be reviewed or appealed. Prepares cases for submission to the Department of Justice, with recommendations for litigation or prosecution; obtains and evaluates evidence; and assists in the trial of cases whenever necessary or requested. Conducts legal research, prepares pleadings, and conducts litigation and other legal proceedings with respect to revocation of SBIC licenses, subpoena enforcement, injunctions and receivers, removal or suspension of directors and officers of licensees, and violations of SBIC regulations, conducts all administrative hearings required to enforce compliance with the provisions of the SBI Act, policies and regulations, including preparation of necessary pleadings. Advises the Administrator, operating officials, and field offices on problems involving subpoenas

served upon SBA employees and disclosure of information. Advises and assists the Office of Security and Investigations in all matters involving possible criminal activities by borrowers and others. Prepares and conducts any Agency disbarment proceedings which may be instituted as the result of improper activity by representatives of borrowers and SBIC's. Provides advice and technical guidance to regional

counsel in connection with litigation activities. Reviews field operations to assure proper course of action consistent with applicable laws. Serves as member of the Central Office Claims Review Committee.

[Amdt. 15, 36 F.R. 3172, Feb. 19, 1971]

§ 101.2-2

Associate Administrator for Financial Assistance.

Plans, directs, coordinates, and implements the financial assistance programs of the Small Business Administration, including the related activities of liquidation and disposal, and promotion of financial participation by private and public sources of finance in the SBA loan programs. Formulates and recommends policies and directs the establishment of agencywide standards and procedures to govern these programs and activities, and monitors financial assistance programs through a program of review and evaluation. Represents the Administrator in negotiations with other Government agencies whose activities relate to the financial assistance programs of SBA. Plans and directs the development of short-range and long-range goals and objectives. Evaluates and reports to the Administrator on the accomplishments in meeting such goals and objectives. Provides for the development of adequate controls over the administration of these programs as carried out by the Central and regional offices. Approves or declines applications for lease guarantee. Serves as member of the Size Appeals Board.

(a) Office of Portfolio Management. Plans, directs, and executes a program for the continuous review and evaluation of the Agency's financial assistance portfolio to provide for quality control in the financing, loan administration, and community development functions of SBA. Directs and participates in the review of the complete financial assistance (FA) portfolio in selected field offices. Develops checklists for detailed loan analysis and standards governing the scope of the examination. Analyzes and

evaluates the status of FA accounts, reviewing all factors involved, such as credit judgment, servicing, management and technical assistance needs, delinquency ratio, deferment and liquidation actions, etc. Makes a detailed examination of individual FA accounts, particularly those which reflect a high proportion of Agency investment or risk, including past due and delinquent accounts, deferments, and liquidation actions. Pinpoints deficiencies by individual case and evaluates contributing causes as a basis for corrective action. Submits a report of findings and recommendations to the Associate Administrator for corrective action by Central Office, and, where applicable, Agencywide implementation of controls found to be effective in a given regional office. Where appropriate, causes corrective actions to be taken concerning specific FA account deficiencies by the appropriate regional or district director; follows up to assure that such action is accomplished within the specified period of time. Where findings warrant, recommends investigative action be taken by the Office of Security and Investigations. Participates with the Associate Administrator in periodic conferences with key Agency officials concerning development or modification of policies, procedures, standards or criteria on the basis of FA portfolio examination findings.

(b) Special Assistant. In cooperation with the Associate Administrator for Financial Assistance, formulates and recommends Agency policy governing promotion of financial participation by private section financial and investment institutions, States, counties, and municipalities in the SBA loan programs. Develops, fosters, and stimulates interest and participation on a nationwide scale of the banking-investment industry and State and local governments in SBA loan programs. Maintains continuing liaison and personal contact with top representatives of banking, insurance-investing, and other financial institutions to promote their participation in guaranty and participation loan programs, better small business-bank relations, and liberalized financing for minority enterprises, and to develop a market for SBA loans. Promotes with State, county, and municipal officials plans for the use of public sources of finance in SBA loan programs. In cooperation with financing and legal staff, works with such public officials to establish enabling policies and legislation.

9

ments on proposed legislation, policies, programs, and procedures relating to the financial assistance, economic development, and SBIC programs. Prepares for publication in the FEDERAL REGISTER revisions in Loan Policy Statement, official declarations of disaster areas, and official statements involving group corporation loans. Reviews all material submitted by other SBA offices for publication in the REGISTER. Maintains liaison with governmental and other agencies having activities related to the legal functions of this office. Provides advice and technical guidance to regional counsel in the processing, closing, disbursement, and servicing of loans, lease guarantees, and economic development financing. Reviews field operations to insure compliance with SBA policies and procedures and pertinent legal authorities. Makes field visits to appraise performance.

(c) Office of Interagency Affairs. Directs, coordinates, and administers the SBA interagency affairs program. Presents and advocates the small business point of view before Federal departments and agencies. Represents SBA at interagency conferences, hearings, and court proceedings involving the Agency's advocacy program. Provides legal counsel, assistance, and services to Agency offiIcials in the following program and administrative areas: (1) Procurement and management assistance; sections 8(a) and 406 contracts and grants, (2) size standards; size appeals, (3) small business defense production; research and development pools, (4) administrative functions, including fiscal, personnel, property management; contracts for the procurement of supplies and services, (5) ad hoc committee matters; equal employment opportunity; advisory council; planning, research and analysis; congressional and public affairs; minority enterprise; franchising, (6) implementation of the requirements of the Civil Rights Act of 1964, and (7) employee organization-management program; negotiation of agreements. Conducts final legal review of all Boards of Survey Reports and recommendations on claims under the Federal Tort Claims Act in the denial or allowance of claims in unlimited amounts. Provides legal counsel appearing on behalf of the Agency in proceedings and hearings before Regional CSC Hearing Officers; prepares and submits appeals on behalf of the Agency before the Board of Appeals of the CSC.

Provides legal counsel to small business concerns in their dealings with Government procurement officials; also, to the Agency's Size Appeals Board. Reviews and evaluates matters pertaining to security checks referred by the Office of Security and Investigations. Coordinates and maintains control over all formal and informal interagency committees, councils, task forces or other coordinating groups in which SBA participates, except Federal Executive Boards. Interprets applicable acts, regulations, and policies from a legal standpoint, including determinations as to eligibility and compliance with statutory and regulatory requirements. Prepares documents for publication in the FEDERAL REGISTER and, except with respect to the Small Business Investment Act, is responsible for interpreting the requirements of the Administrative Procedure Act. Also acts as liaison with the Office of the Federal Register. Maintains liaison with the Federal Trade Commission and the Antitrust Division of the Department of Justice.

the

(d) Office of Litigation. Plans, directs, coordinates, and evaluates litigation activities of the Small Business Administration. Formulates and recommends policies and establishes procedures to govern these activities. Advises Administrator and other Agency officials with respect to all legal action necessary in litigative matters pending in the Agency, and provides legal services, as required. Act as liaison with the Department of Justice and field offices in all civil litigation and criminal matters. Makes recommendations to Department of Justice as to whether or not adverse decisions should be reviewed or appealed. Prepares cases for submission to the Department of Justice, with recommendations for litigation or prosecution; obtains and evaluates evidence; and assists in the trial of cases whenever necessary or requested. Conducts legal research, prepares pleadings, and conducts litigation and other legal proceedings with respect to revocation of SBIC licenses, subpoena enforcement, injunctions and receivers, removal or suspension of directors and officers of licensees, and violations of SBIC regulations, conducts all administrative hearings required to enforce compliance with the provisions of the SBI Act, policies and regulations, including preparation of necessary pleadings. Advises the Administrator, operating officials, and field offices on problems involving subpoenas

served upon SBA employees and disclosure of information. Advises and assists the Office of Security and Investigations in all matters involving possible criminal activities by borrowers and others. Prepares and conducts any Agency disbarment proceedings which may be instituted as the result of improper activity by representatives of borrowers and SBIC's. Provides advice and technical guidance to regional counsel in connection with litigation activities. Reviews field operations to assure proper course of action consistent with applicable laws. Serves as member of the Central Office Claims Review Committee.

[Amdt. 15, 36 F.R. 3172, Feb. 19, 1971]

§ 101.2-2

Associate Administrator for Financial Assistance.

Plans, directs, coordinates, and implements the financial assistance programs of the Small Business Administration, including the related activities of liquidation and disposal, and promotion of financial participation by private and public sources of finance in the SBA loan programs. Formulates and recommends policies and directs the establishment of agencywide standards and procedures to govern these programs and activities, and monitors financial assistance programs through a program of review and evaluation. Represents the Administrator in negotiations with other Government agencies whose activities relate to the financial assistance programs of SBA. Plans and directs the development of short-range and long-range goals and objectives. Evaluates and reports to the Administrator on the accomplishments in meeting such goals and objectives. Provides for the development of adequate controls over the administration of these programs as carried out by the Central and regional offices. Approves or declines applications for lease guarantee. Serves as member of the Size Appeals Board.

(a) Office of Portfolio Management. Plans, directs, and executes a program for the continuous review and evaluation of the Agency's financial assistance portfolio to provide for quality control in the financing, loan administration, and community development functions of SBA. Directs and participates in the review of the complete financial assistance (FA) portfolio in selected field offices. Develops checklists for detailed loan analysis and standards governing the scope of the examination. Analyzes and

evaluates the status of FA accounts, reviewing all factors involved, such as credit judgment, servicing, management and technical assistance needs, delinquency ratio, deferment and liquidation actions, etc. Makes a detailed examination of individual FA accounts, particularly those which reflect a high proportion of Agency investment or risk, including past due and delinquent accounts, deferments, and liquidation actions. Pinpoints deficiencies by individual case and evaluates contributing causes as a basis for corrective action. Submits a report of findings and recommendations to the Associate Administrator for corrective action by Central Office, and, where applicable, Agencywide implementation of controls found to be effective in a given regional office. Where appropriate, causes corrective actions to be taken concerning specific FA account deficiencies by the appropriate regional or district director; follows up to assure that such action is accomplished within the specified period of time. Where findings warrant, recommends investigative action be taken by the Office of Security and Investigations. Participates with the Associate Administrator in periodic conferences with key Agency officials concerning development or modification of policies, procedures, standards or criteria on the basis of FA portfolio examination findings.

(b) Special Assistant. In cooperation with the Associate Administrator for Financial Assistance, formulates and recommends Agency policy governing promotion of financial participation by private section financial and investment institutions, States, counties, and municipalities in the SBA loan programs. Develops, fosters, and stimulates interest and participation on a nationwide scale of the banking-investment industry and State and local governments in SBA loan programs. Maintains continuing liaison and personal contact with top representatives of banking, insurance-investing, and other financial institutions to promote their participation in guaranty and participation loan programs, better small business-bank relations, and liberalized financing for minority enterprises, and to develop a market for SBA loans. Promotes with State, county, and municipal officials plans for the use of public sources of finance in SBA loan programs. In cooperation with financing and legal staff, works with such public officials to establish enabling policies and legislation.

Negotiates basic agreements with financial institutions at the national level. Represents the Associate Administrator for Financial Assistance at meetings or conventions of banking, insurance, investment, or other groups constituting sources of direct financing or financial participation in loans for small business. Plans, coordinates, directs, and evaluates the efforts of field bank relations officers and other field financing personnel participating in this program. Recommends staffing, selection, and deployment of field bank relations officers, or takes final action, as authorized. Provides advice and guidance to field bank relations officers and financing personnel with respect to all aspects of the program, including training of such personnel.

(c) Deputy Associate Administrator for Financial Assistance. Plans, directs, coordinates, and implements the financing, loan administration, appraisal, program management and community development programs of the Small Business Administration, including the related activities of liquidation and disposal. Formulates and recommends policies and directs the establishment of agencywide standards and procedures to govern these programs and activities. Participates with or acts for the Associate Administrator for Financial Assistance in negotiations with other government agencies relating to the financing, loan administration, appraisal, program management and community development programs. Plans and directs the development of short-range and longrange goals and objectives. Evaluates and reports to the Associate Administrator on accomplishments in meeting such goals and objectives. Provides for the development of adequate controls over the administration of these programs as carried out by the Central and regional offices. Reviews financing, loan administration, appraisal, program development, and community development program operations conducted at the Central and field level and initiates corrective policies when required. Approves or declines those applications, including applications for regular business, displaced business, disaster, economic opportunity, lease guarantee, section 501, State development company, and section 502, local development company, loans which are submitted to this office. Recommends for Administrator approval or decline applications for trade adjustment loans.

(d) Office of Financing. Formulates and recommends Agency policy governing the financing programs of the Small Business Administration. Plans, directs, coordinates, and evaluates the SBA programs involving the processing of regular business, displaced business, and economic opportunity assistance loans; rehabilitation loans for the Department of Housing and Urban Development; trade adjustment loans; and financial aspects of Certificate of Competency applications. Cooperates in the planning, directing, and coordinating of SBA's disaster loanmaking program. Develops and recommends agencywide standards and procedures to govern the financing programs and activities. Exercises final authority on all requests from the field for deviations from established financing procedures. Makes final determinations of loan eligibility on difficult or complex cases submitted by regional directors. Processes Certificate of Competency cases referred to the Central Office with respect to applicant's financial competency to perform on the proposed contract. Serves as member of the COC Review Committee. At the request of Office of Loan Administration assists in special reviews of COC cases. Approves or declines, within delegated authority, those business and disaster loan applications which are submitted to this office. Coordinates with the Associate Administrator for PMA in providing financial support in connection with the section 8(a) contracting program. Serves as member of the Central Office Claims Review Committee which takes or recommends final action on all requests for compromise settlements of obligations due SBA. Maintains liaison with governmental and nongovernmental agencies whose activities relate to the financing programs of SBA. Directs the development of short-range and longrange objectives and program goals. Evaluates the performance of the personnel for which responsible and assures that the goals and objectives established are met. Provides advice and guidance to the regional offices with respect to the financing programs of SBA, including training of program personnel. Participates with the Industrial Support Services Division, Office of Procurement and Management Assistance, and the General Counsel, in conducting training programs for field personnel in the processing of Certificates of Competency. Reviews operations within the regions and makes visits to appraise performance.