76788 Federal Register / Vol. 79, No. 245 / Monday, December 22, 2014 / Unified Agenda 

SMALL BUSINESS ADMINISTRATION 

13 CFR Ch. I 

Semiannual Regulatory Agenda 

AGENCY: U.S. Small Business 

Administration (SBA). 

ACTION: Semiannual regulatory agenda. 

SUMMARY: This Regulatory Agenda is a 

semiannual summary of all current and 

projected rulemakings, existing 

regulations, and completed actions of 

the Small Business Administration 

(SBA). For this fall edition of the SBA’s 

Regulatory Agenda, a Regulatory Plan 

that contains a list of the Agency’s most 

important and significant regulatory 

actions and a Statement of Regulatory 

Priorities is also included. 

This plan appears in both the online 

Unified Agenda and in part II of the 

Federal Register editions that includes 

the abbreviated Unified Agenda. 

This agenda provides the public with 

information about SBA’s regulatory 

activity. SBA invites the public to 

submit comments on any aspect of this 

Agenda. SBA expects that providing 

early information about pending 

regulatory activities would encourage 

more effective public participation in 

this process. 

FOR FURTHER INFORMATION CONTACT: 

General: Please direct general 

comments or inquiries to Imelda A. 

Kish, Law Librarian, U.S. Small 

Business Administration, 409 Third 

Street SW., Washington, DC 20416, 

(202) 205–6849, imelda.kish@sba.gov. 

Specific: Please direct specific 

comments and inquiries on individual 

regulatory activities identified in this 

agenda to the individual listed in the 

summary of the regulation as the point 

of contact for that regulation. 

SUPPLEMENTARY INFORMATION: SBA 

provides this notice under the 

requirements of the Regulatory 

Flexibility Act, 5 U.S.C. 601 to 612 and 

Executive Order 12866, ‘‘Regulatory 

Planning and Review,’’ which require 

each agency to publish a semiannual 

agenda of regulations. The Regulatory 

Agenda is a summary of all current and 

projected rulemakings during the 

coming one-year period, as well as 

actions completed since the publication 

of the last Regulatory Agenda for the 

agency. 

Beginning with the fall 2007 edition, 

the Internet became the basic means for 

disseminating the Unified Agenda. The 

complete Unified Agenda will be 

available online at www.reginfo.gov in a 

format that greatly enhances a user’s 

ability to obtain information about the 

rules in the agency’s Agenda. 

The Regulatory Flexibility Act (RFA) 

also requires federal agencies to publish 

their regulatory flexibility agendas in 

the Federal Register. A regulatory 

flexibility agenda contains only those 

rules listed in the semi-annual agenda 

that are likely to have a significant 

economic impact on a substantial 

number of small entities, and those 

rules identified for periodic review in 

keeping with the requirements of 

section 610 of the RFA. This regulatory 

flexibility agenda may be combined 

with any other agenda. Therefore, SBA’s 

Fall 2014 Regulatory Agenda includes, 

as a subset, those regulatory actions that 

are in the SBA’s regulatory flexibility 

agenda. Printing of these entries is 

limited to fields that contain 

information required by the RFA 

requirements. Additional information 

on these entries is available in the 

Unified Agenda published on the 

Internet. 

Dated: September 26, 2014. 

Maria Contreras-Sweet, 

Administrator. 

SMALL BUSINESS ADMINISTRATION—PRERULE STAGE

Sequence No. Title Regulation 

Identifier No. 

400 .................... Small Business Development Centers (SBDC) Program Revisions ............................................................... 3245–AE05 

401 .................... Women’s Business Center Program ................................................................................................................ 3245–AG02 

402 .................... Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) Policy Directives; Data Rights; Phase III Award Preference; Other Clarifying Amendments.3245–AG64 

403 .................... Small Business Timber Set-Aside Program .................................................................................................... 3245–AG69 

SMALL BUSINESS ADMINISTRATION—PROPOSED RULE STAGE

Sequence No. Title Regulation 

Identifier No. 

404 .................... SBA Express Loan Program; Export Express Program .................................................................................. 3245–AF85 

405 .................... Implementation of Small Business Disaster Response and Loan Improvement Act: Expedited Disaster Assistance Program.3245–AF88 

406 .................... Implementation of Small Business Disaster Response and Loan Improvement Act: Private Disaster Loan 

Program.

3245–AF99 

407 .................... Small Business Mentor-Protege Programs ...................................................................................................... 3245–AG24 

408 .................... Small Business HUBZone Program ................................................................................................................. 3245–AG38 

409 .................... Agent Revocation and Suspension Procedures .............................................................................................. 3245–AG40 

410 .................... Small Business Size Standards for Manufacturing ......................................................................................... 3245–AG50 

411 .................... Small Business Size Standards for Other Industries With Employee-Based Size Standards Not Part of 

Manufacturing Wholesale Trade or Retail Trade.

3245–AG51 

412 .................... Small Business Government Contracting and National Defense Authorization Act of 2013 Amendments ... 3245–AG58 

SMALL BUSINESS ADMINISTRATION—FINAL RULE STAGE

Sequence No. Title Regulation 

Identifier No. 

413 .................... Small Business Size Standards: Employee Based Size Standards for Wholesale Trade and Retail Trade 3245–AG49 

414 .................... Advisory Small Business Size Decisions ......................................................................................................... 3245–AG59 


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Federal Register / Vol. 79, No. 245 / Monday, December 22, 2014 / Unified Agenda 76789 

SMALL BUSINESS ADMINISTRATION—FINAL RULE STAGE—Continued 

Sequence No. Title Regulation 

Identifier No. 

415 .................... Small Business Size Standards; Inflation Adjustment to Monetary-Based Size Standards ........................... 3245–AG60 

SMALL BUSINESS ADMINISTRATION—LONG-TERM ACTIONS

Sequence No. Title Regulation 

Identifier No. 

416 .................... Small Business Size Standards; Alternative Size Standard for 7(a), 504, and Disaster Loan Programs ...... 3245–AG16 

SMALL BUSINESS ADMINISTRATION—COMPLETED ACTIONS

Sequence No. Title Regulation 

Identifier No. 

417 .................... Lender Oversight Program ............................................................................................................................... 3245–AE14 

418 .................... 504 and 7(a) Loan Programs Updates ............................................................................................................ 3245–AG04 

SMALL BUSINESS ADMINISTRATION 

(SBA) 

400. Small Business Development 

Centers (SBDC) Program Revisions 

Legal Authority: 15 U.S.C. 634(b)(6); 

15 U.S.C. 648 

Abstract: Updates the SBDC program 

regulations by amending the (1) 

procedures for approving applications 

for new Host SBDCs; (2) approval 

procedures for travel outside the 

continental U.S. and U.S. territories; (3) 

procedures and requirements regarding 

findings and disputes resulting from 

financial exams, programmatic reviews, 

accreditation reviews, and other SBA 

oversight activities; (4) requirements for 

new or renewal applications for SBDC 

grants, including the requirements for 

electronic submission through the 

approved electronic Government 

submission facility; and (5) provisions 

regarding the collection and use of the 

individual SBDC client data. 

Timetable: 

Action Date FR Cite 

ANPRM ............... 11/00/14 

Regulatory Flexibility Analysis 

Required: Yes. 

Agency Contact: J. Chancy Lyford, 

Deputy Associate Administrator, Office 

of Small Development Centers, Small 

Business Administration, 409 Third 

Street SW., Washington, DC 20416, 

Phone: 202 205–7159, Fax: 202 481– 

2613, Email: chancy.lyford@sba.gov. 

RIN: 3245–AE05 

401. Women’s Business Center Program 

Legal Authority: 15 U.S.C. 631; 15 

U.S.C. 656 

Abstract: SBA’s Office of Women’s 

Business Ownership (OWBO) oversees a 

network of SBA-funded Women’s 

Business Centers (WBCs) throughout the 

United States and its territories. WBCs 

provide management and technical 

assistance to small business concerns 

both nascent and established, with a 

focus on such businesses that are owned 

and controlled by women, or on women 

planning to start a business, especially 

women who are economically or 

socially disadvantaged. The training and 

counseling provided by the WBCs 

encompass a comprehensive array of 

topics, such as finance, management 

and marketing in various languages. 

This rule would propose to codify the 

requirements and procedures that 

govern the delivery, funding and 

evaluation of the management and 

technical assistance provided under the 

WBC Program. The rule would address, 

among other things, the eligibility 

criteria for selection as a WBC, use of 

Federal funds, standards for effectively 

carrying out program duties and 

responsibilities, and the requirements 

for reporting on financial and 

programmatic performance. 

Timetable: 

Action Date FR Cite 

ANPRM ............... 11/00/14 

Regulatory Flexibility Analysis 

Required: Yes. 

Agency Contact: Bruce D. Purdy, 

Deputy Assistant Administrator, Office 

of Women’s Business Ownership, Small 

Business Administration, Washington, 

DC 20416, Phone: 202 205–7532, Email: 

bruce.purdy@sba.gov. 

RIN: 3245–AG02 

402. • Small Business Innovation 

Research (SBIR) and Small Business 

Technology Transfer (STTR) Policy 

Directives; Data Rights; Phase III 

Award Preference; Other Clarifying 

Amendments 

Legal Authority: 15 U.S.C. 638(p); 

Pub. L. 112–81, sec 5001, et seq. 

Abstract: This Directive seeks 

comments from the public on two key 

areas of the Small Business Innovation 

Research (SBIR) and Small Business 

Technology Transfer (STTR) Policy 

Directives that the SBA is considering 

revising: SBIR/STTR data rights, and the 

Government’s responsibilities with 

respect to SBIR/STTR Phase III awards. 

The SBA intends to update policy 

directive language on miscellaneous 

topics including the calculation of 

extramural R/R&D and to provide 

greater clarity and detail on these issues 

in the Policy Directive. SBA also 

intends to combine the directives for the 

two programs into a single document to 

simplify the reference and revision 

processes. 

Timetable: 

Action Date FR Cite 

ANPRM ............... 11/07/14 79 FR 66342 

ANPRM Comment 

Period End.

01/06/15 

Regulatory Flexibility Analysis 

Required: Yes. 

Agency Contact: Edsel M. Brown Jr., 

Assistant Director, Office of Innovation, 

Small Business Administration, 409 

Third Street SW., Washington, DC 

20416, Phone: 202 205–6450, Email: 

edsel.brown@sba.gov. 

RIN: 3245–AG64 


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76790 Federal Register / Vol. 79, No. 245 / Monday, December 22, 2014 / Unified Agenda 

403. • Small Business Timber SetAside Program 

Legal Authority: 15 U.S.C. 631; 15 

U.S.C. 644(a) 

Abstract: Under the Small Business 

Timber Set-Aside Program, timber sales 

must be set aside for small business 

when small business participation falls 

below a certain amount. This threshold 

is based on a computation of small 

business participation in a prior fiveyear period. Through this ANPRM SBA 

will seek public comment and 

information on whether the saw timber 

volume purchase on stewardship 

timber/service contracts should be 

included, which may expand the small 

business set-aside calculation. SBA will 

also seek public comment on whether 

the appraisal on set-aside sales should 

be made to the nearest small business 

mill to reflect the actual cost to an 

eligible bidder. In addition, SBA is 

requesting data on the timber industry 

to help evaluate the current program 

and economic impact of potential 

changes. 

Timetable: 

Action Date FR Cite 

ANPRM ............... 01/00/15 

Regulatory Flexibility Analysis 

Required: Yes. 

Agency Contact: Brenda J. Fernandez, 

Procurement Analyst, Small Business 

Administration, 409 Third Street SW., 

Washington, DC 20416, Phone: 202 205– 

7337, Email: brenda.fernandez@sba.gov. 

RIN: 3245–AG69 

SMALL BUSINESS ADMINISTRATION 

(SBA) 

Proposed Rule Stage 

404. SBA Express Loan Program; 

Export Express Program 

Legal Authority: 15 U.S.C. 636(a)(31) 

and (35) 

Abstract: SBA plans to issue 

regulations for the SBA Express loan 

program codified in section 7(a)(31) of 

the Small Business Act. The SBA 

Express loan program reduces the 

number of Government mandated forms 

and procedures, streamlines the 

processing and reduces the cost of 

smaller, less complex SBA loans. 

Particular features of the SBA Express 

loan program include: (1) SBA Express 

loans carry a maximum SBA guaranty of 

50 percent; (2) a response to an SBA 

Express loan application will be given 

within 36 hours; (3) lenders and 

borrowers can negotiate the interest rate, 

which may not exceed SBA maximums; 

and (4) qualified lenders may be granted 

authorization to make eligibility 

determinations. SBA also plans to issue 

regulations for the Export Express 

Program codified at 7(a)(35) of the Small 

Business Act. The Export Express 

Program, made permanent by the Small 

Business Jobs Act, makes guaranteed 

financing available for export 

development activities. 

Timetable: 

Action Date FR Cite 

NPRM .................. 04/00/15 

Regulatory Flexibility Analysis 

Required: Yes. 

Agency Contact: Linda Rusche, 

Director, Office of Financial Assistance, 

Small Business Administration, 409 

Third Street SW., Washington, DC 

20416, Phone: 202 205–6396, Email: 

linda.rusche@sba.gov. 

RIN: 3245–AF85 

405. Implementation of Small Business 

Disaster Response and Loan 

Improvement Act: Expedited Disaster 

Assistance Program 

Legal Authority: 15 U.S.C. 636j 

Abstract: This proposed rule would 

establish and implement an expedited 

disaster assistance business loan 

program under which the SBA will 

guarantee short-term loans made by 

private lenders to eligible small 

businesses located in a catastrophic 

disaster area. The maximum loan 

amount is $150,000, and SBA will 

guarantee timely payment of principal 

and interest to the lender. The 

maximum loan term will be 180 days, 

and the interest rate will be limited to 

300 basis points over the Federal funds 

rate. 

Timetable: 

Action Date FR Cite 

NPRM .................. 01/00/15 

Regulatory Flexibility Analysis 

Required: Yes. 

Agency Contact: Linda Rusche, 

Director, Office of Financial Assistance, 

Small Business Administration, 409 

Third Street SW., Washington, DC 

20416, Phone: 202 205–6396, Email: 

linda.rusche@sba.gov. 

RIN: 3245–AF88 

406. Implementation of Small Business 

Disaster Response and Loan 

Improvement Act: Private Disaster 

Loan Program 

Legal Authority: 15 U.S.C. 636(c) 

Abstract: This proposed rule would 

establish and implement a private 

disaster loan program under which SBA 

will guarantee loans made by qualified 

lenders to eligible small businesses and 

homeowners located in a catastrophic 

disaster area. Private disaster loans 

made under this programs will have the 

same terms and conditions as SBA’s 

direct disaster loans. In addition, SBA 

will guarantee timely payment of 

principal and interest to the lender. SBA 

may guarantee up to 85 percent of any 

loan under this program, and the 

maximum loan amount is $2 million. 

Timetable: 

Action Date FR Cite 

NPRM .................. 01/00/15 

Regulatory Flexibility Analysis 

Required: Yes. 

Agency Contact: Linda Rusche, 

Director, Office of Financial Assistance, 

Small Business Administration, 409 

Third Street SW., Washington, DC 

20416, Phone: 202 205–6396, Email: 

linda.rusche@sba.gov. 

RIN: 3245–AF99 

407. Small Business Mentor-Protege 

Programs 

Legal Authority: Pub. L. 111–240; sec 

1347;15 U.S.C. 657r 

Abstract: SBA currently has a mentorprotege program for the 8(a) Business 

Development Program that is intended 

to enhance the capabilities of the 

protege and to improve its ability to 

successfully compete for Federal 

contracts. The Small Business Jobs Act 

authorized SBA to use this model to 

establish similar mentor-protege 

programs for the Service Disabled 

Veteran-Owned, HUBZone, and 

Women-Owned Small Federal Contract 

Business Programs and the National 

Defense Authorization Act for Fiscal 

Year 2013 authorized this for all small 

businesses. This authority is consistent 

with recommendations issued by an 

interagency task force created by 

President Obama on Federal Contracting 

Opportunities for Small Businesses. As 

is the case with the current mentorprotege program, the various forms of 

assistance that a mentor will be 

expected to provide to a protege include 

technical and/or management 

assistance; financial assistance in the 

form of equity investment and/or loans; 

subcontracts; and/or assistance in 

performing prime contracts with the 

Government in the form of joint venture 

arrangements. 

Timetable: 

Action Date FR Cite 

NPRM .................. 11/00/14 


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Federal Register / Vol. 79, No. 245 / Monday, December 22, 2014 / Unified Agenda 76791 

Regulatory Flexibility Analysis 

Required: Yes. 

Agency Contact: Brenda J. Fernandez, 

Procurement Analyst, Small Business 

Administration, 409 Third Street SW., 

Washington, DC 20416, Phone: 202 205– 

7337, Email: brenda.fernandez@sba.gov. 

RIN: 3245–AG24 

408. Small Business HUBZone Program 

Legal Authority: 15 U.S.C. 657a 

Abstract: SBA has been reviewing its 

processes and procedures for 

implementing the HUBZone program 

and has determined that several of the 

regulations governing the program 

should be amended in order to resolve 

certain issues that have arisen. As a 

result, the proposed rule would 

constitute a comprehensive revision of 

part 126 of SBA’s regulations to clarify 

current HUBZone Program regulations, 

and implement various new procedures. 

The amendments will make it easier for 

participants to comply with the program 

requirements and enable them to 

maximize the benefits afforded by 

participation. In developing this 

proposed rule, SBA will focus on the 

principles of Executive Order 13563 to 

determine whether portions of 

regulations should be modified, 

streamlined, expanded or repealed to 

make the HUBZone program more 

effective and/or less burdensome on 

small business concerns. At the same 

time, SBA will maintain a framework 

that helps identify and reduce waste, 

fraud, and abuse in the program. 

Timetable: 

Action Date FR Cite 

NPRM .................. 03/00/15 

Regulatory Flexibility Analysis 

Required: Yes. 

Agency Contact: Mariana Pardo, 

Director, Office of HUBZone, Small 

Business Administration, 409 3rd Street 

SW., Washington, DC 20416, Phone: 202 

205–2985, Email: mariana.pardo@

sba.gov. 

RIN: 3245–AG38 

409. Agent Revocation and Suspension 

Procedures 

Legal Authority: 15 U.S.C. 634; 15 

U.S.C. 642 

Abstract: These changes to 13 CFRs 

103, 134, and 2 CFR 2700 lay out a 

procedural process for SBA’s revocation 

of the privilege of agents to conduct 

business with the Agency. Included in 

this process are procedures for proposed 

revocation, the opportunity to object to 

the proposed revocation, the revocation 

decision, as well as requests for 

reconsideration. These procedures also 

provide for suspension of the privilege 

to conduct business with the Agency 

pending a revocation action. In 

addition, these changes remove Office of 

Hearings and Appeals review of 

suspension, revocation, and debarment 

actions by SBA. 

Timetable: 

Action Date FR Cite 

NPRM .................. 10/16/14 79 FR 62060 

NPRM Comment 

Period End.

12/15/14 

Final Rule ............ 08/00/15 

Regulatory Flexibility Analysis 

Required: Yes. 

Agency Contact: Debra Mayer, Chief, 

Supervision and Enforcement, Office of 

Credit Risk Management, Small 

Business Administration, 409 Third 

Street SW., Washington, DC 20416, 

Phone: 202 205–7577, Email: 

debra.mayer@sba.gov. 

RIN: 3245–AG40 

410. Small Business Size Standards for 

Manufacturing 

Legal Authority: 15 U.S.C. 632(a) 

Abstract: On September 10, 2014, the 

U.S. Small Business Administration 

(SBA), published a proposed rule to 

increase employee based size standards 

for 209 industries in North American 

Industry Classification System (NAICS) 

Section 31–33, Manufacturing. SBA also 

proposed to increase the refining 

capacity component of the Petroleum 

Refiners (NAICS 324110) size standard 

to 200,000 barrels per calendar day total 

capacity for businesses that are 

primarily engaged in petroleum 

refining. The proposed rule also 

eliminated the requirement that 90 

percent of a refiner’s output being 

delivered should be refined by the 

bidder. As a part of its comprehensive 

size standards review required by the 

Small Business Jobs Act of 2010, SBA 

evaluated all 364 industries in NAICS 

Sector 31–33 to determine whether their 

size standards should be retained or 

revised. This is one of the rules that will 

examine industries grouped by an 

NAICS Sector. SBA has applied its 

‘‘Size Standards Methodology,’’ which 

is available on its Web site at http://

www.sba.gov/size, to this proposed rule. 

Timetable: 

Action Date FR Cite 

NPRM .................. 09/10/14 79 FR 54146 

NPRM Comment 

Period End.

11/10/14 

Final Rule ............ 05/00/15 

Regulatory Flexibility Analysis 

Required: Yes. 

Agency Contact: Dr. Khem Raj 

Sharma, Chief, Office of Size Standards, 

Small Business Administration, 409 

Third Street SW., Washington, DC 

20416, Phone: 202 205–7189, Fax: 202 

205–6390, Email: khem.sharma@

sba.gov. 

RIN: 3245–AG50 

411. Small Business Size Standards for 

Other Industries With Employee-Based 

Size Standards Not Part of 

Manufacturing Wholesale Trade or 

Retail Trade 

Legal Authority: 15 U.S.C. 632(a) 

Abstract: On September 10, 2014, the 

U.S. Small Business Administration 

(SBA) published a proposed rule to 

increase to increase the employee-based 

size standards for 30 industries and 

three exceptions and decrease them for 

three industries that are not a part of 

NAICS Sector 31–33 (Manufacturing) 

Sector 42 (Wholesale Trade) and Sector 

44–45 (Retail Trade). Additionally, SBA 

proposed to remove the Information 

Technology Value Added Resellers 

exception under NAICS 541519 (Other 

Computer Related Services) together 

with its 150-employee size standard. 

Similarly, SBA also proposed to 

eliminate the Offshore Marine Air 

Transportation Services exception 

under NAICS 481211 and 481212 and 

Offshore Marine Services exception 

under NAICS Subsector 483 and their 

$30.5 million receipts based size 

standard. As part of its comprehensive 

size standards review required by the 

Small Business Jobs Act of 2010 SBA 

evaluated 57 industries and five 

exceptions with employee based size 

standards that are not in NAICS Sectors 

31–33 42 or 4445. This is one of the 

rules that will examine industries 

grouped by an NAICS Sector. SBA has 

applied its Size Standards Methodology, 

which is available on its Web site at 

http://www.sba.gov/size to this 

proposed rule. 

Please Note: The title for this rule has 

been changed since it was first 

announced in the Regulatory Agenda on 

January 8, 2013 to add the words or 

Retail Trade at the end of the previous 

title. This change makes it clear that 

industries in the retail trade with 

employee based size standards are also 

not addressed in the rule. 

Timetable: 

Action Date FR Cite 

NPRM .................. 09/10/14 79 FR 53646 

NPRM Rule Correction.10/24/14 79 FR 62576 

NPRM Comment 

Period End.

11/10/14 

Final Rule ............ 05/00/15 


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76792 Federal Register / Vol. 79, No. 245 / Monday, December 22, 2014 / Unified Agenda 

Regulatory Flexibility Analysis 

Required: Yes. 

Agency Contact: Dr. Khem Raj 

Sharma, Chief, Office of Size Standards, 

Small Business Administration, 409 

Third Street SW., Washington, DC 

20416, Phone: 202 205–7189, Fax: 202 

205–6390, Email: khem.sharma@

sba.gov. 

RIN: 3245–AG51 

412. Small Business Government 

Contracting and National Defense 

Authorization Act of 2013 Amendments 

Legal Authority: 15 U.S.C. 631; Pub. L. 

112–239 

Abstract: The rule would propose 

various small business related 

amendments authorized by various 

sections of the NDAA of 2013 with 

respect to the limitations on 

subcontracting and non-manufacturer 

rules that apply to set aside contracts. 

SBA would propose amendments 

concerning joint ventures, the 

applicability of the non-manufacturer 

rule to the purchase of software; 

recertification of size; affiliation in the 

context of Small Innovation Research 

program; the definition of a construction 

contract for purposes of an adverse 

impact analysis in connection with 8(a) 

Business Development program 

contract; Procurement Center 

Representative responsibilities; small 

business subcontracting assistance and 

reporting; Certificates of Competency; 

and penalties for violations of the 

subcontracting limitations and 

protection for small businesses that 

acted in good faith in connection with 

such limitations. 

Timetable: 

Action Date FR Cite 

NPRM .................. 12/00/14 

Regulatory Flexibility Analysis 

Required: Yes. 

Agency Contact: Brenda J. Fernandez, 

Procurement Analyst, Small Business 

Administration, 409 Third Street SW., 

Washington, DC 20416, Phone: 202 205– 

7337, Email: brenda.fernandez@sba.gov. 

RIN: 3245–AG58 

SMALL BUSINESS ADMINISTRATION 

(SBA) 

Final Rule Stage 

413. Small Business Size Standards: 

Employee Based Size Standards for 

Wholesale Trade and Retail Trade 

Legal Authority: 15 U.S.C. 632(a) 

Abstract: On May 19, 2014, the U.S. 

Small Business Administration (SBA) 

published a proposed rule to increase 

employee based size standards in 46 

industries in North American Industry 

Classifcation System (NAICS) Sector 42, 

Wholesale Trade, and in one industry in 

Sector 44–45, Retail Trade. As a part of 

its comprehensive size standards review 

required by the Small Business Jobs Act 

of 2012, SBA reviewed all 71 industries 

in Sector 42 and two industries with 

employee based size standards in Sector 

44–45 to determine whether their size 

standards should be retained or revised. 

The proposed revisions, if adopted, will 

primarily affect eligibility for SBA’s 

financial assistance programs. This is 

one of the rules that will examine 

industries grouped by an NAICS Sector. 

SBA has applied its ‘‘Size Standards 

Methodology,’’ which is available on its 

Web site at http://www.sba.gov/size, to 

this purposed rule. SBA expects to 

publish the final rule in the near future. 

NOTE: The title for this rule has been 

changed since the rule was first reported 

in the Regulatory Agenda on January 8, 

2013, from ‘‘Small Business Size 

Standards for Wholesale Trade’’ to 

‘‘Small Business Size Standards: 

Employee Based Size Standards for 

Wholesale Trade and Retail Trade.’’ The 

title was changed to make it clear that 

the rule also addresses industries with 

employee based size standards in Retail 

Trade. 

Timetable: 

Action Date FR Cite 

NPRM .................. 05/19/14 79 FR 28631 

NPRM Comment 

Period End.

07/18/14 

Final Rule ............ 12/00/14 

Regulatory Flexibility Analysis 

Required: Yes. 

Agency Contact: Dr. Khem Raj 

Sharma, Chief, Office of Size Standards, 

Small Business Administration, 409 

Third Street SW., Washington, DC 

20416, Phone: 202 205–7189, Fax: 202 

205–6390, Email: khem.sharma@

sba.gov. 

RIN: 3245–AG49 

414. Advisory Small Business Size 

Decisions 

Legal Authority: 15 U.S.C. 645(d)(3) 

Abstract: The purpose of the statute is 

to establish procedures for Small 

Business Development Centers (SBDCs) 

(SBA grantees) or Procurement 

Technical Assistance Centers (PTACs) 

(DOD grantees) to issue advisory size 

decisions. This rule would provide 

guidance to SBDCs and PTACs 

regarding the minimum requirements 

that small business status advisory 

opinions must meet in order to be 

deemed adequate by SBA. The rule 

would also require the SBDC or PTAC 

issuing the advisory opinion to remit a 

copy of the opinion to SBA for review, 

and establish a 10 day deadline by 

which SBA must either accept or reject 

the advisory opinion. If SBA rejects the 

advisory opinion, the Agency will notify 

the entity which issued the opinion and 

the firm to which it applies, after which 

time the firm is no longer entitled to 

rely upon the opinion or invoke the safe 

harbor provisions of the statute. If SBA 

accepts the advisory opinion, then the 

firm may rely on the SBDC or PTAC 

advisory opinion and is entitled to 

invoke the safe harbor provision as a 

defense to punishments imposed under 

15 U.S.C. 645, Offenses and Penalties, 

which prescribes fines and 

imprisonment for false statements. The 

rule would also make clear that SBA has 

the authority to initiate a formal size 

determination of a firm that is the 

subject of a small business status 

advisory opinion where the Agency 

concludes that opinion contains 

information that calls into question the 

firm’s small business status. 

Timetable: 

Action Date FR Cite 

NPRM .................. 06/25/14 79 FR 35963 

NPRM Comment 

Period End.

08/25/14 

Final Rule ............ 01/00/15 

Regulatory Flexibility Analysis 

Required: Yes. 

Agency Contact: Brenda J. Fernandez, 

Procurement Analyst, Small Business 

Administration, 409 Third Street SW., 

Washington, DC 20416, Phone: 202 205– 

7337, Email: brenda.fernandez@sba.gov. 

RIN: 3245–AG59 

415. Small Business Size Standards; 

Inflation Adjustment to MonetaryBased Size Standards 

Legal Authority: 15 U.S.C. 632(a) 

Abstract: On June 12, 2014, SBA 

issued an interim final rule with request 

for comments to adjust its monetary 

small business size standards (i.e., 

receipts, net income, net worth, and 

financial assets), for the effects of 

inflation that have occurred since the 

last inflation adjustment, which was 

effective August 19, 2008. The interim 

final rule aimed to restore small 

business eligibility to businesses that 

have lost their small business status due 

to inflation. The Small Business Jobs 

Act of 2010 (Jobs Act) requires SBA to 

review and adjust (as necessary) all size 

standards within five years of its 

enactment. SBA’s Small Business Size 

Regulations at 13 CFR 121.102(c) 


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Federal Register / Vol. 79, No. 245 / Monday, December 22, 2014 / Unified Agenda 76793 

require the same quinquennial (or less) 

review and adjustment. The rule did not 

increase the $750,000 size standard for 

agricultural enterprises, which is 

established by the Small Business Act 

(§ 3(a)(1)). The alternate size standard 

used in the 7(a) and 504 business loan 

programs is unaffected by this 

adjustment. 

Timetable: 

Action Date FR Cite 

Interim Final Rule 06/12/14 79 FR 33647 

Interim Final Rule 

Effective.

07/14/14 

Interim Final Rule 

Comment Period End.

08/11/14 

Final Rule ............ 12/00/14 

Regulatory Flexibility Analysis 

Required: Yes. 

Agency Contact: Dr. Khem Raj 

Sharma, Chief, Office of Size Standards, 

Small Business Administration, 409 

Third Street SW., Washington, DC 

20416, Phone: 202 205–7189, Fax: 202 

205–6390, Email: khem.sharma@

sba.gov. 

RIN: 3245–AG60 

SMALL BUSINESS ADMINISTRATION 

(SBA) 

Long-Term Actions 

416. Small Business Size Standards; 

Alternative Size Standard for 7(a), 504, 

and Disaster Loan Programs 

Legal Authority: Pub. L. 111–240, sec 

1116 

Abstract: SBA will amend its size 

eligibility criteria for Business Loans, 

community development company 

(CDC) loans under title V of the Small 

Business Investment Act (504) and 

economic injury disaster loans (EIDL). 

For the SBA 7(a) Business Loan Program 

and the 504 program, the amendments 

will provide an alternative size standard 

for loan applicants that do not meet the 

small business size standards for their 

industries. The Small Business Jobs Act 

of 2010 (Jobs Act) established 

alternative size standards that apply to 

both of these programs until SBA’s 

Administrator establishes other 

alternative size standards. For the 

disaster loan program, the amendments 

will provide an alternative size standard 

for loan applicants that do not meet the 

Small Business Size Standard for their 

industries. These alternative size 

standards do not affect other Federal 

Government programs, including 

Federal procurement. 

Timetable: 

Action Date FR Cite 

NPRM .................. 11/00/15 

Regulatory Flexibility Analysis 

Required: Yes. 

Agency Contact: Khem Raj Sharma, 

Phone: 202 205–7189, Fax: 202 205– 

6390, Email: khem.sharma@sba.gov. 

RIN: 3245–AG16 

SMALL BUSINESS ADMINISTRATION 

(SBA) 

Completed Actions 

417. Lender Oversight Program 

Legal Authority: 15 U.S.C. 634(b)(6), 

(b)(7), (b)(14), (h) and note; 687(f), 

697e(c)(8), and 650 

Abstract: This rule implements the 

Small Business Administration’s (SBA) 

statutory authority under the Small 

Business Act to regulate Small Business 

Lending Companies (SBLCs) and nonfederally regulated lenders (NFRLs). It 

also conforms SBA rules for the section 

7(a) Business Loan Program and the 

Certified Development Company (CDC) 

Program. 

In particular, this rule: (1) Defines 

SBLCs and NFRLs; (2) clarifies SBA’s 

authority to regulate SBLCs and NFRLs; 

(3) authorizes SBA to set certain 

minimum capital standards for SBLCs, 

to issue cease and desist orders, and 

revoke or suspend lending authority of 

SBLCs and NFRLs; (4) establishes the 

Bureau of Premier Certified Lender 

Program Oversight in the Office of 

Credit Risk Management; (5) transfers 

existing SBA enforcement authority 

over CDCs from the Office of Financial 

Assistance to the appropriate official in 

the Office of Capital Access; and (6) 

defines SBA’s oversight and 

enforcement authorities relative to all 

SBA lenders participating in the 7(a) 

and CDC programs and intermediaries 

in the Microloan program. 

Completed: 

Reason Date FR Cite 

Interim Final Rule 12/11/08 73 FR 75498 

Interim Final Rule 

Comment Period End.

03/11/09 

Interim Final Rule 

Effective.

01/12/09 

Regulatory Flexibility Analysis 

Required: Yes. 

Agency Contact: Brent Ciurlino, 

Phone: 202 205–6538, Email: 

brent.ciurlino@sba.gov. 

RIN: 3245–AE14 

418. 504 and 7(a) Loan Programs 

Updates 

Legal Authority: 15 U.S.C. 695 et seq., 

15 U.S.C. 636(a) 

Abstract: The 7(a) Loan Program and 

504 Loan Program are SBA’s two 

primary business loan programs 

authorized under the Small Business 

Act and the Small Business Investment 

Act of 1958, respectively. 

The 7(a) Loan Program’s main 

purpose is to help eligible small 

businesses obtain credit when they 

cannot obtain ‘‘credit elsewhere.’’ This 

program is also an important engine for 

job creation. On the other hand, the core 

mission of the 504 Loan Program is to 

provide long-term fixed asset financing 

to small businesses to facilitate the 

creation of jobs and local economic 

development. The purpose of this 

proposed rulemaking is to reinvigorate 

these programs as vital tools for creating 

and preserving American jobs. SBA 

proposes to strip away regulatory 

restrictions that detract from the 504 

Loan Program’s core job creation 

mission as well as the 7(a) Loan 

Program’s positive job creation impact 

on the American economy. The 

proposed changes would enhance job 

creation through increasing eligibility 

for loans under SBA’s business loan 

programs and by modifying certain 

program participant requirements 

applicable to these two programs. The 

major changes that SBA is proposing 

include changes relating to the personal 

resources test, the 9-month rule for the 

504 Loan Program, and CDC operational 

and organizational requirements. 

Completed: 

Reason Date FR Cite 

Final Rule ............ 03/21/14 79 FR 15641 

Final Rule Effective.04/21/14 

Regulatory Flexibility Analysis 

Required: Yes. 

Agency Contact: John P. Kelley, 

Phone: 202 205–0067, Fax: 202 292– 

3844, Email: patrick.kelley@sba.gov. 

RIN: 3245–AG04 

[FR Doc. 2014–28983 Filed 12–19–14; 8:45 am] 

BILLING CODE 8025–01–P 


tkelley on DSK3SPTVN1PROD with PROPOSALS 18
Vol. 79 Monday, 

No. 245 December 22, 2014 

Part XIX 

Department of Defense 

General Services Administration 

National Aeronautics and Space Administration 

Semiannual Regulatory Agenda 


tkelley on DSK3SPTVN1PROD with PROPOSALS 19