Transition Briefing for the Incoming Biden Administration — U.S. Small Business Administration
Summary
The U.S. Small Business Administration's Transition Briefing for the Incoming Biden Administration 2020, released under the Freedom of Information Act. A letter dated January 25, 2021 from the SBA Office of General Counsel, with the signature block of Chief FOIA Officer Eric S. Benderson, states that SBA is releasing the responsive documents in full. The briefing's table of contents covers topics including the SBA overview, budget and finance, litigation summary, congressional relations, crisis management and ongoing COVID-19 response. Its opening section sets out SBA's mission and the four strategic goals of its FY 2018-2022 Strategic Plan, with performance goals such as supporting 795,000 jobs through capital assistance programs in FY 2021. The closing pages describe COVID-19 response by resource partners, stating that all 22 VBOCs transitioned to virtual training and counseling.
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Full text
Description of document:
Small Business Administration (SBA) Transition Briefing
for the Incoming Biden Administration 2020
Requested date:
January 2021
Release date:
25-January-2021
Posted date:
07-June-2021
Source of document:
FOIA Request
Chief, Freedom of Information/Privacy Acts Office
U.S. Small Business Administration
409 Third St. SW, eighth floor
Washington, DC 20416
Fax: 202-205-7059
Email: FOIA@sba.gov
FOIAonline
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published on the website.
U.S. SMALL BUSINESS ADMINISTRATION
WASHINGTON, DC 20416
OFFICE OF GENERAL COUNSEL
January 25, 2021
This letter is in response to your Freedom of Information Act ("FOIA") request No. SBA-2020002818 in which you requested the following:
A digital/electronic copy of the transition briefing document(s) (late 2020)
prepared by the SBA for the incoming Bi den Administration.
SBA is releasing the attached documents that are responsive to your request, in full.
Sincerely,
Eric S. Benderson
ChiefFOIA Officer
Office of General Counsel
U.S. Small Business Administration
Table of Contents
1. SBA Overview
a. SBA's Mission | Strategic Plan | Priorities (OCFO-Performance Mgmt)
b. SBA's History (OA)
c. Organizational Chart (OHRS)
d. Component Offices/Divisions (OHRS & All)
2. Human Resources & Biographies
a. Key Leadership Listing (Career & Political Staff) (OHRS)
b. Key Leadership Bios (All)
c. Enterprise Workforce Data (OHRS)
i. Workforce Size
ii. General Schedule Level
iii. Length of Federal Service
iv. Retirement Eligible
v. Age Breakdown of Workforce
d. Federal Employee Viewpoint Survey (OHRS)
3. Budget | Finance
a. Organizational Budget & Financial Management (CFO)
i. Budget History
ii. Funding Sources
iii. Expenditures
b. Performance Management and Program Evaluation (CFO)
4. Technology | Digital Services (CIO)
a. Overview
b. Procedures for Managing Information Technology Investments (SOP 90‐82)
5. Standard Operating Procedures (SOPs) & Regulations (OEMISS/OGC)
a. SBA Policies & Regulations
b. Pending Rules List
6. Litigation Summary (OGC)
7. Compliance: IG | GAO | Audits (OCORM/OCLA/OGC)
a. IG Reports
b. GAO Priority Recommendations
8. Congressional Relations & Issues (OCLA)
a. Overview
b. Oversight Committees & Membership
c. Main Issues
9. Stakeholders & Partners, Overview & Activities (Office of Administrator/OCPL)
a. FACA Boards & Councils List
b. List of Strategic Alliance Memoranda (SAM) & Co-sponsorship Agreements
Table of Contents
c. SBA Interagency Activities
10. Crisis Management | Emergency Preparedness (OCORM/OCIO/OEMISS/OHRS)
a. Contingency Planning
b. Enterprise Risk Management (ERM)
c. Cybersecurity
d. Insider Threat Program (ITP)
e. Critical Incidents Response Team (CIRT)
f. Primary Points of Contact
11. General Administrative | Briefing Information (OHRS/OCIO/OEMISS)
a. National Security Matters (OEMISS)
b. Access Control
c. Computer Access Information Form (OCIO)
d. Technology Help Information (OCIO)
e. Telephone Instructions (OCIO)
f. Headquarters Floor Plan and COVID 19 Protocols (OEMISS)
g. Transportation & Parking Information (OEMISS)
h. Building Evacuation Plan (OEMISS)
i. Merit System Principles and Prohibited Personnel Practices (OHRS)
12. Ongoing COVID-19 Response (OCA/ODA/OED/OVBD)
a. Paycheck Protection Program (OCA)
b. EIDL (ODA)
c. SBDCs & WBCs (OED)
d. VBOCs (OVBD)
SBA’s Mission, Goals, and Priorities
In 1953, Congress created the U.S. Small Business Administration to “aid, counsel, assist and protect, insofar as is
possible, the interests of small business concerns.” SBA’s headquarters is located in Washington, D.C., while its
business products and services are delivered with the help of field personnel and a vast network of private sector and
non-profit partners in each U.S. state and territory. Major SBA offices fall under one of four Agency-wide strategic
goals, as outlined in SBA’s FY 2018-2022 Strategic Plan:
Mission Statement
Maintain and strengthen the nation's economy by enabling the establishment and vitality of small
businesses and by assisting in the economic recovery of communities after disasters.
Goal 1
Support small business
revenue and job growth
1.1 Expand access to capital
1.2 Help small business
exporters succeed in global
markets
1.3 Ensure federal contract
and innovation set-aside
goals are met and/or
exceeded
Goal 2
Build healthy entrepreneurial
ecosystems and create business
friendly enviornments
2.1 Develop small businesses
through technical assistance
2.2 Build healthy
2.3 Create a small business
friendly enviornment
Goal 3
Goal 4
Restore small businesses and
communities after disasters
Strengthen SBA's ability to
serve small businesses
3.1 Deploy disaster
assistance effectively and
efficiently
4.1 Ensure effective and
efficient management of
Agency resources
4.2 Build a highperforming workforce
4.3 Implement enterprisewide information system
modernization and cost
effective technology
Strategic Goal One – Support Small Business Revenue and Job Growth
Strategic Objective 1.1: Expand Access to Capital
Performance Goal: Support 795,000 jobs through capital assistance programs in FY 20211
FY 2020-2021 Agency Priority Goal: By September 30, 2021, increase the number of lender and small
business connections by 8 percent (FY 2019 baseline of 224,000) from baseline through enhanced
web-based technology platforms
FY 2018-2019 Agency Priority Goal: By September 30, 2019, increase the number of loans by 5 percent
from the FY 2017 baseline to small businesses in socially and economically disadvantaged urban
communities and rural areas (FY 2017 baseline of 25,475 for 7(a) loans, 504 loans, and microloans)
Objective Leads: Associate Administrator for Capital Access, Associate Administrator for
Investment and Innovation
Objective Support: Office of Field Operations, Office of International Trade, Office of Entrepreneurial Development,
Office of Veterans Business Development
Programs/Activities: 7(a) Loans, 504 Certified Development Company Loans, International Trade Loans, Microloans,
Small Business Investment Companies, Secondary Market Guarantee, Credit Risk Management
Most Serious Management and Performance Challenge 4: SBA Needs to Improve its Risk Management and
Oversight Practices to Ensure its Loan Programs Operate Effectively and Continue to Benefit Small Businesses
Most Serious Management and Performance Challenge 6: SBA Can Improve its Loan Programs by Ensuring
Quality Deliverables and Reducing Improper Payments at SBA Loan Operation Centers
Strategies:
1. Increase capital provided to small businesses and emerging markets when conventional credit is not available
2. Supplement investment capital to small businesses that have inadequate supply
3. Strengthen and expand the network of lenders offering SBA products
4. Expand knowledge of SBA loans through its network of resource partners and field offices
5. Enhance oversight and risk management of lenders and SBICs and improve recovery of taxpayer assets
Strategic Objective 1.2: Help Small Business Exporters
Succeed in Global Markets
FY 2020-2021 Agency Priority Goal: By September 30, 2021, increase the value of small business export
sales to $4.7 billion in FY 2021 (FY 2018 baseline of $3.1 billion)
Objective Lead: Associate Administrator for International Trade
Objective Support: Office of Field Operations, Office of Entrepreneurial Development, and Office of
Capital Access
Programs/Activities: International Trade Loans, State Trade Expansion Program (STEP), Trade Policy
Strategies:
1. Strengthen partnerships with state and territorial governments
2. Provide tailored training and counseling to small businesses and lenders
3. Support trade promotion policy through federal partnerships
4. Represent small business interests in bilateral and multilateral trade negotiations
Strategic Objective 1.3: Ensure Federal Contract and
Innovation Set-aside Goals are Met and/or Exceeded
Performance Goal: Support 650,000 jobs through federal contract set-asides for small businesses in FY 2021
FY 2020–2021 Agency Priority Goal: By September 30, 2021, maximize the percent of federal contracts by
awarding at least 23 percent to small businesses
FY 2018–2019 Agency Priority Goal: By September 30, 2019, maximize the percent of federal contracts by
awarding at least 23 percent to small businesses
Objective Leads: Associate Administrator for Government Contracting and Business Development
and Associate Administrator for Investment and Innovation
Objective Support: Office of Field Operations, Office of Entrepreneurial Development, and Office of Veterans
Business Development
Programs/Activities: Small Business Contracting Set-aside, Size Standards, Size and Eligibility Protests,
Certificate of Competency Awards, Agency Surveillance Review, Procurement Center Reviews, Small
Business Innovation Research (SBIR), Small Business Technology Transfer (STTR), Surety Bond Guarantee
(SBG), Women-Owned Small Businesses Contracting (WOSB), Service-Disabled Veteran-Owned Small
Businesses Contracting (SDVOSB)
Most Serious Management and Performance Challenge 1: Weaknesses in Small Business Contracting
Programs and Inaccurate Procurement Data Undermine the Reliability of Contracting Goal Achievements
Strategies:
1. Advocate federal agencies are meeting their small business contracting goals
2. Simplify access to federal contracting; attract and educate small businesses on prime contracting and
subcontracting opportunities
3. Educate the federal contracting workforce on ways to increase awards
4. Increase the number of surety agents issuing guarantee bond products
5. Coordinate with agencies to ensure they meet research set-asides for innovative entrepreneurship
Strategic Goal Two – Build Healthy Entrepreneurial Ecosystems
and Create Business Friendly Environments
Strategic Objective 2.1: Develop Small Businesses through
Technical Assistance
Performance Goal: Assist 24,500 small businesses through business development programs in FY 2021
FY 2018–2019 Agency Priority Goal: By September 30, 2019, increase by 10 percent from the FY 2017
baseline the number of 8(a)-certified firms awarded federal contracts (FY 2017 baseline of 3,421 small
businesses)
Objective Lead: Associate Administrator for Government Contracting and Business Development
Objective Support: Office of Field Operations, Office of Entrepreneurial Development
Programs/Activities: 8(a) Business Development, 7(j) Management and Technical Assistance, HUBZone,
Small Business Procurement Set-aside, Women-Owned Small Businesses Contracting (WOSB), ServiceDisabled Veteran-Owned Small Businesses Contracting (SDVOSB), All Small Mentor -Protégé Program
(ASMPP)
Most Serious Management and Performance Challenge 5: SBA Needs to Ensure That the 8(a) Business
Development Program Identifies and Addresses the Needs of Program Participants, Only Eligible Firms Are
Admitted in the Program, and Standards for Determining Economic Disadvantage Are Justifiable
Strategies:
1. Strengthen business development opportunities in emerging market communities
2. Provide individual, specialized support to small businesses to increase growth and build infrastructure
3. Expand Mentor-Protégé Program support to connect businesses
Strategic Objective 2.2: Build Healthy Entrepreneurial Ecosystems
Performance Goal: Assist 989,000 entrepreneurs through partnerships, virtual resources, and targeted outreach
in FY 2021
Objective Leads: Associate Administrator for Entrepreneurial Development, Associate Administrator for
Veterans Business Development
Objective Support: Office of Field Operations, Office of Capital Access, Office of International Trade, Office
of Investment and Innovation
Programs/Activities: Small Business Development Centers (SBDC), Women’s Business Centers (WBC),
SCORE, SBA Learning Center, Veterans Business Outreach Centers (VBOC), Boots to Business (B2B),
Native American Outreach
Strategies:
1. Deliver entrepreneurial services in collaboration with resource partners
2. Provide entrepreneurs with in-person and virtual resources
3. Empower veterans and military families who want to start or grow their business
4. Support Native American entrepreneurs through outreach
Strategic Objective 2.3: Create a Small Business Friendly
Environment
Performance Goal: Conduct 50 outreach events through partnerships with federal agencies, trade associations,
and resource partners to reduce regulatory burdens on small businesses in FY 2021
Objective Lead: National Ombudsman and Assistant Administrator for Regulatory Fairness, Associate
Administrator for Field Operations
Objective Support: Office of Advocacy, National Women’s Business Council, Office of
Communications and Public Liaison
Programs/Activities: Regulatory Fairness Boards, Case Management, Communications and Outreach,
Regulatory Advocacy, Economic Research, National Women’s Business Council
Strategies:
1. Maintain a confidential, user-friendly ombudsman process to receive complaints from small businesses and
advocate on behalf of small businesses to federal agencies to create a level playing field
2. Recommend policy and advocate for small businesses through research and engagement
Strategic Goal Three – Restore Small Businesses and Communities after
Disasters
Strategic Objective 3.1: Deploy Disaster Assistance
Effectively and Efficiently
Performance Goal: Achieve a 77 percent customer satisfaction rate for disaster loan approvals in FY 2021
FY 2018–2019 Agency Priority Goal: By September 30, 2019, increase the average number of disaster loan
applications processed from three to six applications per loan specialist per day
Objective Lead: Associate Administrator for Disaster Assistance
Objective Support: Office of Field Operations, Office of Capital Access, Office of Government Contracting
and Business Development, Office of Entrepreneurial Development, and Office of Veterans Business
Development
Programs/Activities: Disaster Preparedness, Response and Recovery
Most Serious Management and Performance Challenge 7: Disaster Assistance Must Balance Competing
Priorities to Deliver Timely Assistance and Reduce Improper Payments
Strategies:
1. Promote disaster preparedness through pre-disaster outreach by region and type of disaster
2. Strengthen disaster operations to enhance effectiveness and efficiency
3. Capitalize on SBA’s nationwide infrastructure for short- and long-term recovery
Strategic Goal Four – Strengthen SBA’s Ability to Serve Small Businesses
Strategic Objective 4.1: Ensure Effective and Efficient
Management of Agency Resources
Performance Goal: Achieve a 4.0 customer satisfaction rate for financial management, acquisition
management, and performance management services for SBA employees in FY 2021
Objective Leads: Chief Financial Officer and Associate Administrator for Performance Management and
Director of Executive Management, Installation and Support Services
Programs/Activities: Financial Management, Grants Management, Performance Management, Program
Evaluation, Regulatory Impact Analysis, Internal Controls, Acquisition Management, Administrative
Services, Facilities
Strategies:
1. Provide stewardship over financial resources and promote a robust performance management culture
2. Implement process and operational improvements to simplify and enhance service delivery
Strategic Objective 4.2: Build a High-performing Workforce
Performance Goal: Achieve a 69 percent SBA employee satisfaction scores through the Federal Employee
Viewpoint Survey in FY 2021
Objective Lead: Chief Human Capital Officer
Objective Support: Office of Diversity, Inclusion, and Civil Rights
Programs/Activities: Recruitment, Training, Diversity and Inclusion, Workplace Conflict Resolution, Disability
Employment, Structured Action Planning
Most Serious Management and Performance Challenge 3: The SBA Needs Effective Human Capital
Strategies to Carry Out Its Mission Successfully and Become a High-Performing Organization
Strategies:
1. Recruit and retain an inclusive workforce
2. Deliver a comprehensive, mission-focused, talent development strategy to foster professional
development and continuous learning
3. Build a high-performing culture that maximizes workforce performance and drives accountability
Strategic Objective 4.3: Implement Enterprise-wide
Information System Modernization and Cost-effective
Technology
Performance Goal: Achieve $15 million in IT cost savings/avoidance through the streamlining of contracting,
category management, and cloud computing in FY 2021
Objective Lead: Chief Information Officer
Most Serious Management and Performance Challenge 2: SBA’s IT Leadership Capabilities Need
Strengthening to Address Operational Risks and Challenges
Programs/Activities: Information Systems, Technology, Digital Services, Information Security
Strategies:
1. Provide the balance between stable, secure, well-run operations and innovative new strategic contributions
2. Drive value and focus on the consistent use of information and technology as strategic business assets
3. Mature SBA’s approach to information technology governance to ensure the best possible technology
decisions to effectively drive results
4. Improve information technology organizational and workforce functions through workforce planning and
competency development
SBA’s History
SBA was officially established in 1953, but its philosophy and mission began to take shape years earlier in a
number of predecessor agencies, largely as a response to the pressures of the Great Depression and World War II.
Early versions of the SBA
The Reconstruction Finance Corporation (RFC), created by President Herbert Hoover in 1932 to alleviate the
financial crisis of the Great Depression, was SBA's "grandparent"; The RFC was basically a federal lending
program for all businesses hurt by the Depression, large and small. It was adopted as the personal project of
Hoover's successor, President Franklin D. Roosevelt, and was staffed by some of Roosevelt's most capable and
dedicated workers.
Concern for small business intensified during World War II, when large industries beefed up production to
accommodate wartime defense contracts and smaller businesses were left unable to compete. To help small
business participate in war production and give them financial viability, Congress created the Smaller War Plants
Corporation (SWPC) in 1942. The SWPC provided direct loans to private entrepreneurs, encouraged large
financial institutions to make credit available to small enterprises, and advocated small business interests to federal
procurement agencies and big businesses. The SWPC was dissolved after the war, and its lending and contract
powers were handed over to the RFC. At this time, the Office of Small Business (OSB) in the Department of
Commerce also assumed some responsibilities that would later become characteristic duties of SBA. Its services
were primarily educational. Believing that a lack of information and expertise was the main cause of small business
failure, the OSB produced brochures and conducted management counseling for individual entrepreneurs.
Congress created another wartime organization to handle small business concerns during the Korean War, this time
called the Small Defense Plants Administration (SDPA). Its functions were similar to those of the SWPC, except
that ultimate lending authority was retained by the RFC. The SDPA certified small businesses to the RFC when it
had determined the businesses to be competent to perform the work of government contracts. By 1952, a move was
on to abolish the RFC. To continue the important functions of the earlier agencies, President Dwight Eisenhower
proposed creation of a new small business agency -- Small Business Administration (SBA).
The founding of SBA
In the Small Business Act of July 30, 1953, Congress created the Small Business Administration, whose function
was to "aid, counsel, assist and protect, insofar as is possible, the interests of small business concerns."; The charter
also stipulated that SBA would ensure small businesses a "fair proportion"; of government contracts and sales of
surplus property.
By 1954, SBA already was making direct business loans and guaranteeing bank loans to small businesses, as well
as making loans to victims of natural disasters, working to get government procurement contracts for small
businesses and helping business owners with management and technical assistance and business training. The
Small Business Investment Act of 1958 established the Small Business Investment Company (SBIC) Program,
under which SBA licensed, regulated and helped provide funds for privately owned and operated venture capital
investment firms. They specialized in providing long-term debt and equity investments to high-risk small
businesses. Its creation was the result of a Federal Reserve study that discovered, in the simplest terms, that small
businesses could not get the credit they needed to keep pace with technological advancement. In 1964, SBA began
to attack poverty through the Equal Opportunity Loan (EOL) Program. The EOL Program relaxed the credit and
collateral requirements for applicants living below the poverty level in an effort to encourage new businesses that
had been unable to attract financial backing, but were nevertheless sound commercial initiatives.
SBA today
SBA has grown significantly in terms of total assistance provided and its array of programs have been tailored to
encourage small enterprises in all areas. SBA's programs now include financial and federal contract procurement
assistance, management assistance, and specialized outreach to women, minorities and armed forces veterans. SBA
also provides loans to victims of natural disasters and specialized advice and assistance in international trade.
Office of Advocacy
Office of the Administrator
Office of the Inspector General
Office of Disaster
Assistance
Office of
Veterans
Business
Development
Office of
Entrepreneurial
Development
Office of Small Business
Development Centers
Office of Women’s
Business Ownership
Office of
Entrepreneurship
Education
Office of
Intergovernmental Affairs
Office of
Performance
Management and
the Chief Financial
Officer
Office of the Chief
Financial Officer
Office of Program
Performance Analysis
and Evaluation
Office of Internal
Controls
Office of
Hearings and
Appeals
Office of
Continuous
Operations and
Risk Management
Office of Government
Contracting and
Business
Development
Office of Business
Development
Office of Government
Contracting
Office of HUBZone
Office of Policy, Planning, &
Liaison
Office of Operations and
Support
Office Executive
Management
Installations and
Support Services
Office of
Capital Access
Office of Investment
and Innovation
Office of Financial Assistance
Office of Surety Guarantees
Office of Performance and
Systems Management
Office of Credit Risk
Management
Office of Financial Program
Operations
Office of SBIC Operations
Office of SBIC Liquidation
Office of Examinations
Office of Program
Development
Office of Licensing and
Program Standards
Office of Innovation and
Technology
Office of
Communications and
Public Liaison
Office of
Congressional and
Legislative Affairs
Office of
General Counsel
Office of the Chief
Information Officer
Office of National
Ombudsman
Office of
Diversity,
Inclusion and Civil
Rights
Office of Field
Operations
10 Regional
Administrators
68 District Offices
Office of Grants
Management
Office of Administrative
Services
Office of the Executive
Secretariat
Office of Personnel Security
Office of
Human Resources
Solutions
Office of
International
Trade
Component/Division Information -- List of Offices
1.
Program Offices
Office of Capital Access (OCA)
Office of Financial Assistance
Office of Financial Program Operations
Office of Performance and Systems Management (OPSM)
Office of Credit Risk Management (OCRM)
Office of Surety Guarantees (OSG)
Office of Disaster Assistance (ODA)
Office of Entrepreneurial Development (OED)
Office of Government Contracting and Business Development (GCBD)
Office of International Trade (OIT)
Office of Investment and Innovation (OII)
Office of Veterans Business Development (OVBD)
2.
Support Offices
Office of Communications and Public Liaison (OCPL)
Office of Congressional and Legislative Affairs (CLA)
Office of Field Operations
Office of General Counsel (OGC)
Office of Hearings and Appeals (OHA)
Office of Intergovernmental Affairs (IGA)
Office of Performance, Planning and the Chief Financial Officer (OPP/CFO)
Office of the Administrator (Front Office)
Office of Executive Management, Installations and Executive Services (OEMISS)
Office of the Chief Information Officer (OCIO)
Office of Diversity Inclusion & Civil Rights (ODI&CR)
Office of Continuous Operations & Risk Management (OCORM)
Office of Human Resources Solutions (OHRS)
Office of the National Ombudsman (ONO)
1
Office of Capital Access (OCA)
Office Description and Mission
The mission of the Office of Capital Access (OCA) is to make capital available through financing
partners to small businesses who might not otherwise obtain financing to start-up or expand existing
small businesses on reasonable terms and conditions, and to ensure the integrity of all loans and loan
programs within the office.
Office Leadership
Associate Administrator
William M. Manger
Deputy Associate Administrator
John A. Miller
Major Components/Program Offices
Office/Component & Key Leader
Immediate Office
William M. Manger, Associate Administrator
John A. Miller, Deputy Associate
Administrator
William Briggs, Deputy Associate
Administrator
Dionna Martin, Supervisory Program Analyst,
Operations and Administration
Brief Description & Key Statistics
• Strategic direction
• Liaison across OCA & SBA offices
• Liaison to large lender relationships
• Coordinate OCA employee
training initiatives
• Coordinate staffing for OCA
• Deliver an integrated approach to OCA
budget maintenance and forecasting
• Oversee special projects assigned by AA
Office of Financial Assistance (OFA)
Dianna Seaborn, Director
Rosemarie Drake, Chief 7(a) Loan
Program
Linda Reilly, Chief, 504 Loan Program
John Wade, Chief, Secondary Market
Daniel Upham, Chief, Microloan
Program
•
•
•
•
•
•
•
•
2
PPP Loan Program policy development
and training.
SBA Business Loan Programs Policy and
Program Development for 7(a)(including Community Advantage Pilot),
504, and Microloan programs. (including
writing SOPs)
CFR - Originate new rules and rule
revisions based on legislation, market
changes and modernization of programs.
Develop innovative Pilot programs to
identify new methods that expand access
to capital for small and underserved
businesses and target markets
SBA Lender participant training on use of
the business loan programs
Oversee Microloan Grants Program
Conduct annual PRIME Grant awards
and ongoing grants management
Oversee legacy Intermediary Loan Pilot
Program participants and loan portfolio
•
•
•
•
Office of Financial Program Operations (OFPO)
Jihoon Kim, Director
Martin Andrews, Supervisory Loan
Specialist
Cailyn Gerald, Supervisory Loan Specialist
Babak Hosseini, Supervisory Program
Analyst
,
Adrienne Grierson, Supervisory Program Analyst
•
•
•
•
•
•
•
Office of Performance and Systems
Management (OPSM)
Stephen Kucharski, Director
Ronald Whalen, Supervisory IT
Specialist
Glenn Hannon, Supervisory Performance
Management Analyst
Sheri McConville, Supervisory IT Specialist
•
•
•
•
•
•
•
•
•
•
3
Secondary Markets program oversight
and management of lender access,
broker/dealers, investor relations and
annual reports to Congress.
Oversight of Secondary Market Master
Reserve Fund and Investment Committee
Coordination of new security development
for Secondary Market
Oversee Small Business Lending Company
(SBLC) participation and secured credit
facilities.
Center operations for Paycheck Protection
Program (PPP), 7(a), 504, loan operations
and Economic Injury Disaster Loans (EIDL)
and Disaster Loan servicing
Critical information input to Program
development
Program implementation, including
process design
Program execution, including quality
control and process improvement
Center project management
Loan portfolio management
SOP and CFR implementation and
execution
Develop, Maintain, and Enhance
all systems that support OCA
operations from loan programs to
compliance.
Program and policy development
framework
Inform SOP and CFR process with
metrics and data for final policy decision
Data standardization and reporting
mechanism for data
Project management office
Evaluate, reassess, and improve programs
based upon performance metrics
Own and operate the Fiscal Transfer Agent
Contract
Own and operate the Central Servicing
Agent contract
Own and operate the Disaster Loan
Servicing system of record from
transactions to accounting
Own and operate the agency’s Lender
Match application – matching borrowers
with SBA lenders
Office of Credit Risk Management (OCRM)
Susan Streich, Director
Eddie Ledford, Deputy Director
Ed Senseney, Chief, Regulated Institution Oversight
Division
Paul Kirwin, Chief, Supervised Institution Oversight
Division
Bethany Shana, Chief, Risk Management, Operations
and Administration Division
•
•
•
•
•
•
•
Office of Surety Guarantees (OSG)
Vacant, Director
Peter C. Gibbs, Deputy Director
Jermaine Perry, Senior Management Analyst
•
•
•
•
•
Current Activities
Please see sub-office sections that follow.
FACA Boards
N/A
External Stakeholders
Please see sub-office sections that follow.
Key Office Events Hosted/ Supported
Please see sub-office sections that follow.
4
Oversees credit risk management for all
business loan programs, 7(a), 504,
Microloan and PPP
Implement risk management
practices to ensure program integrity
Establish and maintain processes for
proactive lender oversight and
portfolio management
Risk mitigation procedures
Issue and implement SBA supervision,
enforcement and risk monitoring
actions
Maintain quality assurance standards and
controls for comprehensive risk
management
Build and maintain partnerships with
federal and state regulatory agencies.
Develop and implement program policy
and procedural guidance.
Execute Prior Approval and Preferred
Bond Guarantee Programs.
Establish and maintain performance
management system and risk mitigation
processes.
Oversee and manage Field Offices.
Promote strong surety industry and surety
agent partnership with SBA.
Organizational Chart
Associate
Administrator
Deputy Associate
Administrator
Office of
Financial
Assistance
Office of
Financial
Program
Operations
Office of
Performance and
Systems
Management
Centers
5
Office of Credit
Risk
Management
Office of Surety
Guaranties
Office of Financial Assistance (OFA)
Office Description and Mission
The Office of Financial Assistance has a mission to expand small business access to capital through
development and delivery of Rules, Policies and Procedures for all of SBA’s Business Loan Programs
consisting of the 7(a), 504, and Microloan Programs as well as all related Pilot programs. Collectively
they provide effective capital alternatives for small businesses not adequately served by conventional
sources and unable to secure financing on reasonable terms.
OFA monitors and researches capital markets and lending activity to update rules, policies and
procedures to reflect current market standards, streamline program rules, and expand participation by
private sector lenders.
A primary function of OFA is to develop and publish the regulations, policies and procedures for the
origination of the business loan programs. This includes understanding Section 7(a) and 7(m) of the
Small Business Act and Sections 503 and 504 of the Small Business Investment Act before formulating
and finalizing the regulations, policies and procedures which lenders, development companies, and
Microloan Intermediaries use to originate financial assistance in the form of term and revolving that
require the credit enhancements provided by SBA through these programs. The end goal is to support
and leverage these third parties to provide capital to small businesses nationwide that would not
otherwise be available, increasing the local tax base by adding new or expanded services and jobs in
their communities.
OFA is further responsible for the oversight of the secondary market for 7(a) loans, the Fiscal and
transfer agent secondary market activity and SBA guaranteed debenture sales for 504 loans. The activity
includes managing and monitoring investments in a multi-billion dollar Master Reserve Fund used to
support investors in 7(a) loan paper as well as the monthly sale of guaranteed debentures necessary to
fund 504 loans.
OFA is organized into four Program Branches, with teams each led by a Policy and Program Chief
reporting to the Director, Office of Financial Assistance.
Office Leadership
OFA Director
Dianna Seaborn
Chief, 7(a) Program Loan Division
Rosemarie Drake
Chief, 504 Program Loan Division
Linda Reilly
Chief, Secondary Market Division
John Wade
Chief, Microloan Division
Daniel Upham
Major Components/Program Offices
Office/Component & Key Leader
7(a) Program office
Rosemarie Drake, Chief, 7(a) Loan Program
Division
Brief Description & Key Statistics
Largest lending program at SBA.
Authorization level for FY2021
$30 Billion with over 4,000 active
lenders in 7(a) program (including
those temporarily authorized in
PPP)
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504 Program office
Linda Reilly, Chief, 504 Loan Program Division
2nd Largest Lending program at SBA
260 Certified Development Companies in 504
program
Authorization level for FY 2021
$7.5Billion for Regular 504
$1.0 Billion for Refinance
Secondary Market (SMG)
John Wade, Chief, Secondary Market
Secondary Market program which supports the 2
largest SBA lending programs’ pool assembly.
Monitors the Master Reserve Fund for the SMG
program.
Coordinates development of new security
products that support SMG stability.
Administer the SBA Supervised Lender
Programs for Small Business Lending
Companies (SBLC) and Non-Federally
Regulated Lenders (NFRL)
Oversees the funding, financing and loan
making activities of approximately 150 Micro
Loan Intermediary participants that make small
loans (up to $50,000) and provide and technical
assistance to small businesses, including
technical assistance grants.
Conduct annual outreach and awards for PRIME
Grant program with grants awarded to nonprofit Microenterprise Development
Organizations (MDOs) to provide technical
assistance to entrepreneurs or to MDOs to build
capacity or for research and development of
Microenterprise activity.
Oversee the legacy portfolio of Intermediary
Loan Lenders.
Micro Loan Enterprise Division
Daniel Upham
Current Activities
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Development and implementation of CARES Act/ PPP Program policies and guidance in
conjunction with the US Treasury. Cataloguing, categorizing and dispositioning over 10,000
official comments received for the 22 Interim Final Rules for the PPP Program)
Development of Standard Operating Procedures (SOP), and Federal Regulations (CFR) for
the credit administration of the 7(a) CA, Microloans and 504 Programs.
Planning, directing, and publishing deregulatory rules for the business loan programs.
Oversight and contract administration of the Secondary Market Programs for 7(a) and 504.
Planning, and publishing ANPRM for development of a Pass-through security for the secondary market.
Developing and testing Pilot programs to expand participation and reach underserved small
business markets.
Administer the SBA Supervised Lender Programs for Small Business Lending Companies
(SBLC) and Non-Federally Regulated Lenders (NFRL) including approvals in cooperation with
the Office of Credit Risk Management (OCRM).
Review and consider Policy Exceptions, interpretations and other queries on credit and
underwriting.
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Review, and recommend decisions on applications and expansion for new and existing Certified
Development Companies (CDC). OFA in consultation with OCRM approves CDC petitions for
permanent status or extension of probation.
Conducts extensive outreach with other Federal financial institutions, industry associations,
banking/lender community to maintain contemporary programs.
Provide regular training to internal and field and center staff on credit and underwriting
standards as provided in regulations and SOPs.
Provide comprehensive training to all CA Lender Participant through 3 multi day Webconferences.
Host an annual Micro Loan Conference (virtual planned).
FACA Boards
N/A
External Stakeholders
• Lenders (Banks, Credit Unions, Community Development Financial Institutions, Non-federally
Regulated Institutions, Small Business Lending Companies,) Certified Development Companies
(CDCs), small businesses, trade associations (such as NAGGL and NADCO CBA ICBA ABA, IFA,
other Federal agencies (such as FDIC, OCC, USDA, USCIS, DOE, HUD, IRS, EDA, Commerce),
OFN – Opportunity Finance Network, AEO – Association for Enterprise Opportunity, Friends of
Microloan, Rapozza Associates and other service providers.
Key Office Events Hosted/ Supported
OFA hosts and moderates a monthly Lender Relations Specialist training call (third Wednesday of the month),
the quarterly calls for SBA 7(a) and 504 lenders and CDCs (7(a) Connect and 504 Connect), monthly Micro
Loan Intermediary calls, and collaborates with OCRM for biweekly calls for training with Community
Advantage Lenders. OFA conducts periodic webinars for all external and internal program users to provide
program and policy updates, and further supports the weekly OFO District Director call
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Office of Financial Program Operations (OFPO)
Office Description and Mission
The Office of Financial Program Operations (OFPO) manages SBA’s nine loan centers located across six
states, and performs thirteen lines of business. This includes origination, servicing and liquidation for
SBA’s Paycheck Protection Program, 7(a) and 504 loan programs as well as servicing and liquidation for
SBA’s Disaster Loans and the Economic Injury Disaster Loans (EIDL). OFPO is the second largest SBA
office, all working to support SBA’s flagship loan programs. OFPO’s mission is to lead the financial
services industry in quality products and services to our partners and customers, and to protect the
integrity of SBA programs. We accomplish this by leveraging technology and training, modernizing
policies and procedures, utilizing process improvement to limit non-value added tasks, and fostering the
highest possible level of employee satisfaction and productivity.
Office Leadership
OFPO Director
Jihoon Kim
Supervisory Program Analyst for Portfolio
Management and Quality Improvement Program
Supervisory Loan Specialist for 7(a) & 504
Origination, Servicing & Liquidation Centers
Supervisory Loan Specialist for Disaster Loan
Servicing & Liquidation Centers
Supervisory Program Analyst for Operations and
Admin Support
Adrienne Grierson
Martin Andrews
Cailyn Gerald
Babak Hosseini
Major Components/Program Offices
Office/Component & Key Leader
Immediate/Front Office
Brief Description & Key Statistics
OFPO’s immediate office handles HR, budget,
performance management, contract management,
project management, data collection and analysis,
training, executive oversight, and full operational
support for the loan centers and OFPO staff in HQ.
Jihoon Kim, Director
Martin Andrews, Supervisory Loan
Specialist
Cailyn Gerald, Supervisory Loan Specialist
Babak Hosseini, Supervisory Program
Analyst
Adrienne Grierson, Supervisory Program Analyst
Portfolio Management (PM) Division
Vacant, Supervisory Financial Analyst
The Office of Portfolio Management (PM) is
responsible for the management and compliance of
the servicing and liquidation of SBA’s
$835 billion portfolio of direct and guaranteed
loans. PM also serves as the arbitrator in
disputes regarding denial of SBA’s loan
guaranty.
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Quality Improvement Program (QIP)
Vacant, Supervisory Quality Control Specialist
OFPO’s Quality Improvement Program (QIP) seeks
to ensure that center processes are being executed
according to internal guidelines, while meeting
specifications and being consistently accurate. QIP
also reviews for and reports on Improper Payments.
Citrus Heights, California and Hazard,
Kentucky 7(a) Loan Processing Centers
Greg Prichard, Supervisory Loan Specialist,
Center Director
Annette May, Supervisory Loan Specialist, Deputy
Center Director
Mark Smith, Supervisory Loan Specialist,
Deputy Center Director Hazard
Processes all non-delegated and some delegated
7(a) Loans. The centers also handle 7(a) loan
modifications (until funds are fully disbursed).
Area Coverage: Nationwide.
Sacramento, California 504 Loan
Processing Center
Hien Nguyen, Supervisory Loan Specialist,
Center Director
David Miller, Supervisory Loan Specialist,
Deputy Center Director
Processing for all 504 loans. Area Coverage:
Nationwide.
Little Rock, Arkansas Commercial Loan
Servicing Center (CLSC)
Nique Carrington, Supervisory Loan
Specialist, Center Director
Sarah Hawkins, Supervisory Loan
Specialist, Deputy Center Director
Servicing of all of PPP, 7(a) and 504 business loans.
This center also handles all purchase and liquidation
activity of SBA Express loans and
504loans/debentures. Area Coverage: Regions 1, 2,
3, 4 and 6 (except New Mexico and Louisiana).
Fresno, California Commercial Loan
Servicing Center (CLSC)
Joel Stiner, Supervisory Loan Specialist,
Center Director
Michelle Serrano, Supervisory Loan
Specialist, Deputy Center Director
Servicing of all types of PPP, 7(a) and 504
business loans. This center also handles
purchase and liquidation activity of SBA
Express loans and 504 loans/debentures. Area
Coverage: All Region 5, Region 6 (New Mexico
and Louisiana only), All
Regions 7, 8, 9 & 10.
Handles all PPP, 7(a) Guaranty Purchase and
Liquidation Activity, except SBA Express. Area
Coverage: Nationwide.
Herndon, Virginia National Guaranty
Purchase Center (NGPC)
Vanessa Piccioni, Supervisory Loan
Specialist, Center Director
Neil Miller, Supervisory Loan Specialist,
Deputy Center Director
Birmingham, Alabama Disaster Loan
Servicing Center (DLSC)
Sonya Hubbard, Supervisory Loan
Specialist, Center Director
Carla Donaldson, Supervisory Loan Specialist,
Deputy Center Director
Services disaster EIDL, home and business loans
and administers the Treasury cross servicing and
administrative offset programs. Area Coverage: All
of regions 1 through 5.
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El Paso, Texas Disaster Loan Servicing
Center (DLSC)
Charles Jones, Supervisory Loan Specialist,
Center Director
Diana Mukiibi, Supervisory Loan Specialist,
Deputy Center Director
Services disaster EIDL, home and business loans.
Area Coverage: All of regions 6 through 10.
Santa Ana, California National Disaster
Loan Resolution Center (NDLRC)
Modupe Oguntolu, Supervisory Loan Specialist,
Center
Liquidates disaster EIDL, home and business loans.
Area Coverage: Nationwide.
Director
Fred Council, Supervisory Loan Specialist,
Deputy Center Director
Current Activities
• Paycheck Protection Program (PPP) delegated loan origination support (customer service)
• PPP loan forgiveness processing
• PPP loan servicing, guaranty purchase and liquidation
• 7(a) loan origination and modifications (some delegated and all non-delegated)7(a) loan servicing, guaranty
purchase and liquidation
• 504 loan origination and modifications
• 504 loan servicing, debenture purchase and liquidation
• Disaster home and business loan servicing and liquidation, including COVID-19 EIDL
• Treasury Cross-Servicing and Administrative Offset programs
• Quality Improvement Program in all Centers
• Portfolio Management of PPP, 7(a), 504 and Disaster Home and Business Loans
FACA Boards
N/A
External Stakeholders
SBA lending partners and trade associations
Key Office Events Hosted/ Supported
Annual Center Directors conference, and state, regional and national lending conferences.
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Office of Performance and Systems Management (OPSM)
Office Description and Mission
The mission of the Office of Performance Management and Systems Division is to supply SBA
leadership and our customers with business intelligence, sound project management, and critical
information systems for the purpose of initiating, maintaining, evaluating, improving loan programs and
initiatives and supports SBA’s $700 billion loan portfolio.
Office Leadership
Director
Stephen Kucharski
Supervisory IT Specialist, Systems
Operations
Supervisory Performance Management
Analyst, Performance Management
Supervisory IT Specialist, Staff and Systems Management
Major Components/Program Offices
Office/Component & Key Leader
Systems Operations
Ronald Whalen
Performance Management
Glenn Hannon
Systems Operations
Sheri McConville
Ronald Whalen
Glenn Hannon
Sheri McConville
Brief Description & Key Statistics
Leads the development of new loan systems and
the maintenance of our systems – 24-7.
Leads a government/contract team of professionals
who support our 5,000 lendingnpartners and vendors.
Leads the day to day activities
Current Activities
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PPP Loan Forgiveness and Loan Review
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PPP and 7(a) loan origination through E-Tran, including increased E-Tran capacity.
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PPP, 7(a), and 504 loan servicing functionality in E-Tran
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Disaster Loan Servicing
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EIDL Loan Funding
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Analytics, Reporting and Audit lead for all OCA CARES Act – PPP, fee payment, etc.
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Lender Match enhancement, including Spanish version.
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Enhancing system functionality and compliance to improve customer support and data integrity.
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System support for all of OCA’s operating centers.
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SBAOne enhancements and maintenance
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Central Servicing Agent operations and modernization
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Fiscal Transfer Agent transition and modernization
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Office of Credit Risk Management Loan Review System enhancements
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Office of Credit Risk Management Lender and Loan Monitoring System contract management and re-bid.
FACA Boards
N/A
External Stakeholders
National Association of Government Guaranty Lenders, Congress, National Association of
Development Companies, Treasury, financial investors, press/ media, etc.
Key Office Events Hosted/ Supported
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State, regional and national lending conferences.
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Office of Credit Risk Management (OCRM)
Office Description and Mission
The Office of Credit Risk Management (OCRM) mission is to maximize the efficiency of SBA’s
lending programs by effectively managing program credit risk, monitoring lender performance, and
enforcing lending program requirements.
Office Leadership
Director
Susan Streich
Deputy Director
Edward (Eddie) Ledford
Major Components/Program Offices
Office/Component & Key Leader
Regulated Institution Oversight Division
Ed Senseney, Chief
Risk Management, Operations and
Administration Division
Bethany Shana, Supervisory Program
Analyst
Brief Description & Key Statistics
The Regulated Institutions Division oversees all
Federally Regulated Institutions that participate in the
7(a) loan program, and is responsible for conducting
desktop, analytical, targeted, full and special needs
reviews of 7(a) lenders who have a primary federal
regulator. The team also provides essential input into the
Delegated Authority Renewal and Nominations process,
manages the Watch List with the SBA’s Fiscal Transfer
Agent (FTA) and develops and implements increased
supervision and enforcement actions as appropriate.
The Risk Management, Operations and Administration
Division is responsible for human resource recruitment
and coordination, maintaining and preparing reports
required for Lender Oversight Committee (LOC)
meetings and actions, managing non-procurement
suspension and debarment actions in coordination with
the Office of Inspector General (OIG) and the Office of
General Counsel (OGC), contract acquisition and
management, lender fee administration, budget
administration, and procurement sourcing and oversight.
This team is the primary processor and respondent for
Congressional and OIG referrals, and serves as the
liaison for OIG and General Accounting Office (GAO)
audits.
Current Activities
• Conduct over 700 Risk-Based Reviews and Examinations annually
• Process approximately 1,200 renewals of Delegated Authority annually
• Conduct 400-plus Quarterly Financial Condition reviews of SBA Supervised Lenders
• Conduct quarterly and more frequent Lender Oversight Committee (LOC) meetings to review high risk
lender issues and act on enforcement recommendations
• Update OCRMs two SOPs – SOP 50 53 2 and 51 00 2 and publish the Final SBA Supervised Lender Rule
FACA Boards
N/A
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External Stakeholders
• Approximately 4,000 SBA Lending Partners (7(a), 504 and Microlender Intermediary program participants)
• Oversight of approximately 5,400 Lending Partners (Payment Protection Program (PPP))
• National Association of Government-Guaranteed Lenders (NAGGL) trade organization
• National Association of Development Companies (NADCO) trade organization
• Primary Federal Regulators, including the Federal Deposit Insurance Corporation (FDIC), Office of
Comptroller of the Currency (OCC) and Federal Reserve (Fed)
• Dun & Bradstreet (supplier of large ($9+ million) annual contract for Loan and Lender
Monitoring System (L/LMS), the portfolio management and lender risk data warehouse for all
SBA Capital Access loan programs
Key Office Events Hosted/ Supported
State, regional and national events and conferences
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Office of Surety Guarantees (OSG)
Office Description and Mission
The Office of Surety Guarantees administers the Surety Bond Guarantee (SBG) Program, which provides
access to bonding for small and emerging contractors who are unable to obtain bonding through regular
commercial channels. Through the SBG Program, SBA guarantees bid, payment and performance bonds,
issued by participating surety companies, on contracts up to $6.5 million and up to $10 million with a
federal contracting officer’s certification. SBA guarantees between 70% and 90% of the loss if a
contractor defaults.
In Fiscal Year 2016, SBA has guaranteed over 10,000 bonds with a total contract value of $5.7 billion.
Office Leadership
Director
Vacant
Deputy Director
Peter C. Gibbs
Major Components/Program Offices
Office/Component & Key Leader
Immediate Office
Peter C. Gibbs, Director
Brief Description & Key Statistics
OSG’s Immediate Office administers and manages
the SBG Program, which consists of the Prior
Approval Program and the Preferred Surety Bond
(PSB) Program. There are 23 participating sureties,
19 in the Prior Approval Program and 4 in the PSB
Program.
Jermaine Perry, Senior Management Analyst
The Immediate Office develops policy and
procedure, is responsible for program oversight,
and handles all matters related to surety
participation admission, the PSB Program, human
resources, budget, performance management and
data collection.
Underwriting and Marketing Division
Earnest Knott, Supervisory Surety Guarantees
Specialist, Area Director, Washington D.C.
Jennifer Vigil, Supervisory Surety Guarantees
Specialist, Area Director, Denver
M. Catharine Powers, Supervisory Surety
Guarantees Specialist, Area Director, Seattle
This division plans and conducts all underwriting
and marketing activities. Three area offices,
located in Washington, D.C., Denver, and Seattle,
process all surety bond guarantee applications
submitted through the Prior Approval Program. A
Marketing Specialist located in each area office is
responsible for marketing and outreach within an
assigned geographical area.
Claims and Recovery Division
Pam Swilling, Claims Director
Michelle Hodges, Recovery
Specialist
The Claims and Recovery Division handles all
matters related to defaulted contractor cases,
including claims for reimbursement requests, and
the receipt of recoveries
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Current Activities
• Guarantee percentage in the PSB Program will be increased from up to 70% to up to 90%, effective
November 25, 2016.
FACA Boards
N/A
External Stakeholders
• National Association of Surety Bond Producers (NASBP)
• Surety and Fidelity Association of America (SFAA)
Key Office Events Hosted/ Supported
State, regional, and national surety events and conferences.
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Office of Disaster Assistance (ODA)
Office Description and Mission
The Office of Disaster Assistance (ODA) carries out the SBA’s responsibility to provide affordable,
timely and accessible financial assistance to businesses of all sizes, private nonprofit organizations,
homeowners and renters located in a declared disaster area. Financial assistance is available in the form of
low-interest, long-term direct loans for losses that are not fully covered by insurance or other recoveries.
Since 1953, excluding activity for COVID-19, SBA has approved over 2.2 million disaster loans for $67 billion
in disbursements. As of October 7, 2020 , during the response to COVID, ODA has processed over 15 million
applications, and 3.6 million Economic Injury Disaster Loan (EIDL) loans totaling more than $194 billion.
Additionally, SBA approved over 5.7 million EIDL Advances for $20 billion; when the program closed on July
11, 2020 after being fully obligated. During a typical disaster year, on average, ODA approves over 20,000 loans
a year totaling about $1 billion in responding to hurricanes, floods, tornadoes, etc. Most recently, disaster loans
for Harvey, Irma and Maria hurricanes totaled $7.4 billion. For COVID-19, SBA has approved nearly $2 billion
daily in new EIDL assistance.
During natural disasters, SBA’s disaster loans are the primary form of federal assistance for the repair
and rebuilding of non-farm, private sector disaster losses. The disaster loan program is the only form of
SBA assistance not limited to small businesses.
Office Leadership
Associate Administrator
James E. Rivera
Acting Deputy Associate Administrator
Kem Fleming
Major Components/Program Offices
Office/Component & Key Leader
Headquarters
Brief Description & Key Statistics
ODA Headquarters is located at SBA’s Washington, DC office.
Headquarters is responsible for overall program delivery,
statutory /regulatory changes, budget, performance
management, strategic initiatives, interagency coordination and
communication and data collection.
Customer Service Center
A full-service Customer Service Center (CSC) located in
Buffalo, NY. Disaster survivors may contact this center if they
have questions about their disaster loan application. Call center
services for disaster survivors include discussing the disaster
loan program and responding to email questions received in the
disaster assistance mailbox. Also, providing help desk support
to other centers. Since March 2020 and the onset of SBA’s
COVID response, CSC has responded to over 13.7 million
calls and 1.9 million emails.
Field Operations Centers
ODA has two Field Operations Centers (FOCs) responsible for
handling all disaster activity on the ground and virtually. The
purpose of having an on the ground presence is to work with
disaster survivors (face to face) in explaining the disaster
program, assisting with completing the disaster application and
ultimately closing loans. To adapt to the COVID environment,
ODA has set up virtual disaster survivor support. SBA colocates with FEMA in all Presidential Declarations and SBA
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establishes its own Disaster Loan Outreach Centers in Agency
declarations. FOCE (East) is located in Atlanta, GA and handles
disaster field activity east of the Mississippi river and FOCW
(West) is located in Sacramento, CA and handles disaster field
activity west of the Mississippi river. Additionally, the FOCs are
responsible for the coordination with State/ Governors’ offices
with the front-end disaster declaration process including
preliminary damage assessments and determining eligible
disaster declaration criteria. After a disaster declaration is
declared, the FOCs identify disaster locations and working with
media, local communities including chambers, civic
organizations, etc. on post disaster messaging regarding the
disaster program. FOCs also work with the congressional
delegation for information dissemination.
information
Loan Processing and Disbursement
Center
The Processing and Disbursement Center (PDC) is located in
Fort Worth, TX. PDC functions as a centralized disaster
processing and disbursement center including issuing, receiving
and accepting disaster loan applications. Also, the primary
function is processing for approval or decline direct disaster
loans by performing eligibility, credit and repayment analysis.
A legal department prepares loan closing documents and
disburses approved loan funds to eligible borrowers. On
average, the PDC processes 50,000 applications annually.
When needed, PDC has a surge facility in the Sacramento,
California (FOCW) location to handle larger disasters.
Herndon Center
The Herndon, VA operations includes five disaster centers. The
Administrative Services Center (ASC) handles all disaster
administrative related activity including time and attendance,
travel, and procurement in one centralized location. The
Disaster Credit Management System (DCMS) Operations
Center is responsible for maintaining the automated disaster
credit management system (which performs all loan processing
and disbursement activity) as well as other administrative and
personnel related systems. The Damage Verification Center
(DVC) is responsible for performing the inspection activity
function, which determines the estimated damage threshold for
disaster declaration criteria and all loss verifications to
determine the cost to repair or replace disaster survivor’s
damage property. The Office of Disaster
Personnel (ODP) handles all disaster personnel issues from
hiring, to off boarding, to managing the staffing strategy and the
disaster reserve employees. Office of Disaster Strategic
Engagement and Effectiveness (ODSEE) is responsible for all
disaster personnel employee relations, performance management,
and training.
Current Activities:
ODA is currently responding to the COVID-19 economic crisis as well as 24 disaster declarations (Oct.
2, 2020). Some of ODA’s key activities are:
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Continued implementation of nation-wide response to COVID-19 EIDL program
Recruitment and hiring to support COVID-19 response and ongoing disaster declarations
Onboarding and training new hires
Enhanced strategic communication with disaster survivors, State, Local and Tribal partners and
Federal partners.
• Virtual and in-person disaster survivor support
• Evaluation of ODA’s mitigation aid option
•
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For a list of current disaster declarations, please visit: https://disasterloan.sba.gov/ela/Declarations/Index
FACA Boards:
N/A
External Stakeholders
Disaster Inter-agencies including:
• Federal Emergency Management Agency
• Internal Revenue Service
• Housing and Urban Development
• Office of Management and Budget
• Department of Agriculture (COVID-19 specific)
Key Office Events Hosted/ Supported
• Office of Disaster Assistance hosts Disaster Media Training which is a boot camp for Disaster
and District Office Public Information Officers (Office of Field Operations).
• The Disaster Phoenix Award Winners – A small business award winner, a volunteer, and a
public local official are recognized each year at National Small Business Week.
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Office of Disaster Assistance – Organization Chart
Associ.ate Administrator
Deputy Asro~iate Administrator
Training
Information
Technology
Call
Center
Field
pe rati.o n East
Program Policy
& Evaluatio n
Preparedness, Comm~
& Coordination
Field
Operation West
Prooessing &
Disbursement
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Damage Verification
Personnel
DCMSOps
Admin ServiGes
Admin Services
Office of Entrepreneurial Development (OED)
Office Description and Mission
The Office of Entrepreneurial Development (OED) helps small business owners start, grow, and compete
in global markets by providing quality training, counseling, and access to resources. The OED oversees a
network of programs and services that support the training and counseling needs of small business. It is
SBA’s technical assistance arm with resource partners located throughout the country.
Office Leadership
Associate Administrator
Allen Gutierrez
Deputy Associate Administrator
Adriana Menchaca-Gendron
Major Components/Program Offices
Office/Component & Key Leader
Immediate Office
Allen Gutierrez, Associate Administrator
(non-career) Adriana Menchaca-Gendron,
Deputy Associate Administrator Jeanne
Crepeau, Administrative Officer
Brief Description & Key Statistics
Handles HR, budget, financial exams, performance
management, data collection, and initiatives
including Regional Innovation Clusters, Ascent,
and the Business Smart Toolkit.
Office of Small Business Development
Administers the SBDC program, that counsels
Centers George Koklanaris, Associate
and trains over 254,000 entrepreneurs by
Administrator (non-career)
administering $135 million in cooperative
Nancyellen Gentile, Deputy Associate Administrator agreements to 62 SBDC networks (largely
affiliated with universities and/or state
government) providing services in
over 950 locations.
Office of Women’s Business Ownership
Sery Kim, Assistant Administrator Donald
Smith (non-career), Deputy Assistant
Administrator
Administers the WBC program, a unique
entrepreneurial support program tailored to meet
the needs of the local communities it serves
through business training and counseling. Funding
of $22.5 million supports non-profit WBCs in more
than 117 locations, which help more than 64,000
clients a year, a representative number of whom are
economically and socially disadvantaged.
Office of Entrepreneurship Education
Vacant, Director
Victoria Mundt – departing 10/24
Administers three major SBA efforts to support
entrepreneurs: SCORE, a volunteer-based business
assistance organization that leverages a nationwide
network of 10,000 volunteers to mentor more than
195,000 people in over 300 locations (many of
which are SBA District offices); Emerging
Leaders, a 7-month executive development
program that elevates a business’s growth
trajectory, creates jobs, and contributes to the
economic well-being of communities. Participants
of the Emerging Leaders executive series receive
more than 100 hours of specialized training,
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technical support, access to a professional network,
and other resources to strengthen their businesses
and promote economic development; and SBA
Learning Center offers free online courses on
business planning, marketing, government
contracting, accounting, and social media.
OED/OEE has an active MOU with FDIC that
includes ongoing engagement to small businesses
through the Money Smart Program.
The SBA Center for Faith and Opportunity
Initiative’s (CFOI) partners with houses of worship,
community groups, and higher education institutions
to harness the power of economic development and
entrepreneurship to restore hope and wholeness to
communities. The CFOI seeks to help the over
90,000 religious organizations and non-profits who
received Paycheck Protection Program funds fully
recover from the impact of COVID-19.
Center for Faith and Opportunity Initiative
Director Marcus Harris (non-career)
Office of Native American Affairs (ONAA)
Assistant Administrator Shawn Pensoneau (noncareer)
The Office of Native American Affairs (ONAA)
ensures that American Indians, Alaska Natives and
Native Hawaiians seeking to create, develop and
expand small businesses have full access to the
Agency’s entrepreneurial development, lending, and
procurement programs. ONAA focusses on
developing world-class resources and tools to tribal
entrepreneurs, tribal businesses, tribal enterprises
and interested individuals aiding them in creating
growth and sustainable markets.
OED Current Activities
• Administers annual award and oversight of cooperative agreements with resource partners including:
SBDCs, WBCs, SCORE, as well as contracts that include, Emerging Leaders, and Regional
Innovation Clusters and other initiatives, as assigned.
• InnovateHer Business Plan Competition (Year 4) Inactive for 2 years - pending
• AA of OED Designated lead for White House initiative for Historically Black Colleges and Universities
(HBCU) partnerships (as of January 2017)
• Lead office on Ascent, an online women’s digital learning platform, and responsible for day to day
operations.
• Ongoing oversight of resource partners participation and outreach related to Opportunity Zones
• Implementing nationwide roll-out of the new Entrepreneurial Development Management Information
System Next Generation (EDMIS-NG) Next Generation -NG
CFOI Current Activities
• Inform and equip religious organizations and non-profits to seamlessly navigate the PPP Loan
Forgiveness process
• Create awareness of SBA’s Center for Faith and Opportunity by producing webinars, newsletters, and
content that will raise awareness of SBA programs and services in the faith community.
• Working with 2-year Historically Black Colleges and Universities to create a learning “ecosystem” that will
allow them to build entrepreneurial incubators on their campuses.
• Institutionalizing faith and community outreach agency-wide by working with the Office of Field
23
Operations to appoint a faith and community outreach liaison in each District Office.
•
•
•
•
•
•
•
ONAA Activities
Native American Entrepreneurial Empowerment Workshops
7(j) Native American Micro Enterprise Business Services Projects
Growth Accelerator Initiative
White House Council on Native American Affairs
Workforce Development & Education Subcommittee
National COVID-19 State, Local and Tribal Response Team
FACA Boards
National SBDC Advisory Board
OED External Stakeholders
• America’s Small Business Development Centers (ASBDC)
• Association of Women’s Business Centers (AWBC)
ONAA Stakeholders
•
Native American Contractors Association
•
United South & Eastern Tribes
•
National Center for American Indian Enterprise Development
•
The National 8(a) Association
•
National Congress of American Indians
•
Alaska Federation of Natives
•
Native American Finance Officers Association
•
Native American PTAC Network
•
Tribal Governments, Alaska Native Corporations and Native Hawaiian Organizations
•
Native American CDFI Network
Key Office Events Hosted/ Supported
• ASBDC Annual Meeting (September)
• AWBC Annual Meeting (September)
• SCORE Annual Meeting (August)
24
Organizational Chart:
Associate Administrator
Deputy Associate Administrator
Performance
Management Team
Office of Small
Business Development
Centers
Admin & Special
Projects
Strategic
Initiatives
T
Office of Women's
Business Ownership
Office of
Entrepreneurial
Education
25
Office of Government Contracting and Business Development (GCBD)
Office Description and Mission
The Office of Government Contracting & Business Development (GCBD) works to maximize
participation by small, disadvantaged, veteran and woman-owned businesses in federal government prime
contract and subcontract awards. The Office advocates on behalf of small businesses in the federal
procurement marketplace. To foster an equitable federal procurement policy, the Office establishes
government-wide small business goals in terms of a percentage of annual expenditure. The Federal
Government is the largest procurer of goods and services in the world, spending over $595 billion in FY
2019. These dollars represent a large opportunity, which was recognized by Congress when it established
a minimum government-wide statutory goal of 23 percent for contract dollars to small businesses. The
SBA provides oversight in federal contracting to ensure that this goal is achieved each year. Additionally,
the Federal Government strives to award no less than 5 percent of contract dollars to both small
disadvantaged businesses and women-owned small businesses, and no less than 3 percent of the contract
dollars to both service-disabled veteran-owned small businesses and small businesses in Historically
Underutilized Business Zone (HUBZone) locations. Agencies further establish goals for subcontracting to
small businesses, including participants in the SBA’s small business programs. Small businesses provide
quality performance, innovation, agility, and competitive pricing. In return, the Federal Government helps
sustain a healthy American small business infrastructure, which is vital to the health of the economy.
The SBA, in consultation with the Office of Management and Budget, has highlighted this Strategic Objective
as making noteworthy progress. For the sixth consecutive year, the Federal Government surpassed its statutory
prime contracting goal, leading the SBA to exceed its Priority Goal of 23 percent of federal contracting dollars
going to small businesses. In FY 2018, the Federal Government awarded nearly $121 billion in federal
contracting dollars to small businesses, which is $16 billion or 15 percent more than FY 2017. The Federal
Government also surpassed its goal for service-disabled veterans (FY 2018 result of 4.27 percent) for the sixth
consecutive year with more than $20 billion in awards, and small disadvantaged businesses (FY 2018 result of
9.65 percent) with more than $46 billion in awards. In FY 2018, the Federal Government awarded nearly $23
billion in contracts to women-owned small businesses, which is a 10 percent increase from FY 2017, and nearly
$10 billion to small businesses located in HUBZone’s, which represents a 35 percent increase from FY 2017. In
addition, the SBA published a proposed rule in May 2019 to seek input and comments on certification of
businesses in the Women-Owned Small Business (WOSB) and Economically Disadvantaged Women-Owned
Small Business (EDWOSB) Programs.
Office Leadership
Associate Administrator
Dr. Francis Spampinato
Deputy Associate Administrator
Barbara Carson
Major Components/Program Offices
Office/Component & Key Leader
Front Office
Dr, Francis Spampinato,
Associate Administrator
Barbara Carson, Deputy
Associate Administrator
Brief Description & Key Statistics
Handles strategic oversight and leadership for a team of five
Senior Executives, human resource management,
budget/financial management, performance management,
data collection, strategic initiatives and special projects.
26
Office of Government Contracting
(GC)
David Loines, Director
Wallace Sermons, Deputy Director
Thomas McGrath Deputy Director
Office of Business Development
(BD) Dr. Donna Peebles Associate
Administrator
Van Tran Deputy Associate
Administrator
Stanley Jones Acting Director AllSmall Mentor Protégé Program
Provides leadership and oversight to the 6 Government Contracting
Area Offices and HQ Personnel on the following GC Programs:
Prime Contracting Program, Subcontracting Assistance Program,
Timber Set-aside Program, and the Women-Owned Small Business
Program (WOSB). Conducts Procurement Center Representatives
requirement reviews, counsels small businesses , conducts 30
Surveillance Reviews, conducts over 500 large prime contractor
compliance reviews, reviews Certificate of Competency requests,
completes Size Determinations ensuring that only eligible SB firms
receive set-aside contracts, conducts Timber Surveillance Reviews,
manages WOSB Certification Program, and trains federal agencies
and constituents on the WOSB program.
The mission of the Office of Business Development is to execute
activities authorized under Sections 8(a) and 7(j) of the Small
Business Act. The office manages certification and eligibility and
provides business development assistance to firms owned and
controlled by economically and socially disadvantaged individuals,
in order to enable them to participate more fully and successfully in
the mainstream National economy. The goal is to prepare small
disadvantaged firms for procurement and other business
opportunities. It fulfills its mission through the following programs:
The 8(a) Business Development Program is a robust 9-year
program formalized by Congress to foster business ownership
by socially and economically disadvantaged owners, promotes
competitive viability of firms by providing such available
contract, financial, technical, and management assistance as
may be necessary, and clarify and expand the program for the
procurement by the United States of articles, equipment,
supplies, services, materials and construction work from small
business concerns owned by socially and economically
disadvantaged individuals. In FY2020 over 5,300 submissions
for 8(a) certification were received.
The statutory purpose of the 8(a) Program is to assist 8(a)
Program participants to compete in the economy through business
development. As of FY2020, there are 4,521 certified firms. The
8(a) program participants receive access to Federal sole source
contracts valued up to $7.5 million for manufacturing contracts
and $4.5 million for all other contracts. In FY 2019 Federal
agencies used the 8(a) Program to award over 80,000 contract
actions totaling over $18 billion. Section 7(j) of the Small
Business Act provides that management and technical assistance
training shall be provided to eligible firms. This 7(j) training is
not limited only for 8(a) certified firms. Eligibility includes small
businesses owned and controlled by economically and socially
disadvantaged individuals; small businesses located in areas of
high unemployment or low income; small businesses owned by
low income individuals; certified 8(a) participants; HUBZone
small businesses, and economically disadvantaged women-owned
small businesses. Over 73 training courses are delivered in
multiple sessions across the Nation annually, and over 8,000
eligible firms complete 7j training every year.
27
Office of Policy, Planning, and
Liaison (OPPL)
Vacant, Director
Greg Burgess, Assistant Director
Khem Sharma, Assistant Director
Office of the Historically
Underutilized Business Zone
(HUBZone) Program
Lori Gillen, Director
Bruce Purdy, Deputy
Director
The SBA’s Small Business Mentor Protégé program is a business
development tool to enhance the capability of small business
protégé participants to compete more successfully for federal
business opportunities and contracts, and to develop into more
viable long term partners for government agencies and private
sector organizations.. In FY 2020 there are 1,495 active mentor
protégé agreements. In FY2020 the SBA proposed to merge the
8(a) Mentor-Protégé Program with the All Small Mentor Protégé
program (which began in 2017) to reduce duplicative program
requirements and ease the burden on applicants. The final rule is to
be published in the Federal Register early October 2020.
Ensures effective policy for all small business programs and is
responsible for government contracting regulations, implements
small business procurement legislation, establishes size
standards, and negotiates and reports on
federal agencies’ prime small business contracting goals.
The HUBZone Program supports the development of underresourced communities by providing small business with
opportunities to compete for federal contracts. The Federal
government has a goal to award at least 3% of Federal contracts to
HUBZone certified firms. To obtain HUBZone certification, firms
must be located in designated HUBZone community and employ at
least 35% of its workforce from HUBZone communities. There
are approximately 6423 HUBZone certified firms. The SBA is
implementing comprehensive improvements to the program
resulting from statutory changes designed to make it easier for
small businesses and contracting officers to utilize the program. In
FY 2020, the Agency implemented a final rule to allow state
governors to petition for additional HUBZone designated areas.
The program has an economic impact study underway and has
developed an action plan to help federal agencies achieve the 3%
statutory goal. The SBA completed an evaluation of the HUBZone
Program to identify the factors and barriers in the contracting
process that keep federal agencies from achieving their 3 percent
statutory goal and In FY21 the Agency will draft its first annual
report to Congress. on the impact of the HUBZone Program. will
use the findings to support improvements to the HUBZone process
and service delivery.
Current Activities
• Continue to updateCertify.SBA.gov
• Introduce a full certification program for its Women-Owned Small Business and Economically
Disadvantaged Women-Owned Small Business (EDWOSB) contracting programs to enact the
requirements of the FY 2015 NDAA as of 10/15/20
• GCBD is working with the U.S. Department of Veteran’s Affairs (VA) to coordinate more aspects of
each agency’s Service-Disabled Veteran Owned Small Business Concern (SDVOSB) contracting
program. The SBA currently oversees the government-wide program, while the VA oversees
contracting through its Veterans First Contracting Program.
• Stand up an examination process in FY21 for every HUBZone firm that has not been certified or had an
28
•
•
•
•
•
•
•
•
•
•
exam in 3 years (approximately 4000 firms)
Continue 60-day processing for complete HUBZone applications
Updating the HUBZone maps based on Disaster Declarations, Governor petitions, and 2020 Census
updates
Streamline HUBZone application submission timeframes
Streamlining 8(a) and HUBZone business processes
Merge the All-Small Mentor Protégé Program with the 8(a)-mentor program
Roll out of Cybersecurity training for all 7j eligible firms
OPPL will conduct its third study of WOSB/EDWOSB NAICS codes and data to help SBA determine
additional NAICS codes in which WOSBs are underrepresented and substantially underrepresented in
Federal contracting.
GCBD is working with the Office of Program Performance, Analysis, and Evaluation on a special
project to re-evaluate the Surveillance Review process by looking at the current processes and
procedures that SBA deploys to assess whether contracting activities are adequately adhering to small
business programs to better learn: (1) what aspects of the process lead to better outcomes; (2) what
aspects of the current process could be adapted to be more effective and/or efficient; and (3) to
understand the return on investment from agencies and contracting activities that have undergone SRs
through examination of their performance in meeting their small business contracting goals in later
years.
GCBD is in the process of reassessing its PCR-to-Customer assignments in an effort to more closely
align with our 24-CFO agencies to maximize the use of already available data, and to ensure even more
consistency in future analysis and resource allocation.
GCBD is revamping its Subcontracting Compliance Program through a phased approach to compliance,
where we address (1) Subcontracting Reporting; (2) Subcontracting Plan Goal Attainment; and (3)
Subcontracting Regulations. (private industry compliance)
FACA Boards
N/A
External Stakeholders
• Federal Agencies with Contracting Authority
• Small Business Industry and Special Advocacy Groups
Key Office Events Hosted/Supported
• ChallengeHER events
• SBA Annual Mentor Protégé Conference
• Monthly Small Business Procurement Advisory Committee meetings with OSDBUs
• Annual Small Business Professional Training in collaboration with Department of Defense
• HUBZone Contractors National Council – annual conference
• National 8(a) Winter & Summer Conferences
• National Veterans SB Conference with Department of Veteran Affairs
• Society of American Military Engineers SB Outreach Conference
• Other Federal Agency and Special Advocacy Group SB Outreach Events
• Women Impacting Public Policy
• SBA First Wednesday Virtual Learning Series
• SECAF (Small and Emerging Contractors Advisory Forum)
29
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30
OFFICE OF INTERNATIONAL TRADE (OIT)
Office Description and Mission
The Office of International Trade (OIT) enhances the ability of current and future small business
exporters to succeed in global markets by expanding access to financing, counseling, training, and other
export tools. Established by law, OIT is the lead coordinator and liaison for international trade activities
and international engagement on behalf of SBA. OIT manages and coordinates key SBA programs and
services to assist small businesses in increasing their ability to compete in international markets, which
includes:
•
•
•
•
Increasing access to long-term capital for the purchase of new plant and equipment used in the
production of goods and services involved in international trade;
Disseminating information concerning State, Federal, and private programs and initiatives to
enhance the ability of small businesses to compete in international markets;
Providing extensions of credit, standby letters of credit, revolving lines of credit for export
purposes and other financing to enable small business concerns, including small business export
trading companies and small business export management companies, to develop foreign
markets.
Ensuring that the interests of small businesses are adequately represented in bilateral and
multilateral trade negotiations.
Office Leadership
Associate Administrator
Loretta Greene
Deputy Associate Administrator
Michele Schimpp
Director, International Trade Finance
Vacant
Director, State Trade Expansion
Program (STEP)
Director, Operations
Vacant
Director, Trade Policy
Christine Brown
James Parker
Major Components/Program Offices
Office/Component & Key Leader
Trade Finance Division
Vacant, Director
Brief Description & Key Statistics
Promotes and manages SBA’s core export loans to
businesses and lenders, educating both on trade
financing. The division consists of a director, three
supervisory Regional Trade Finance Managers who
oversee teams of Export Finance Managers who are
co-located with Department of Commerce trade
specialists at U.S. Export Assistance Centers around
the country. The Export Finance Managers review
eligibility and credit, as well as recommend approval
of SBA guarantees on Export Working Capital loans
up to $5 million.
31
State Trade Expansion Program (STEP)
Eddy Mayen, Director
STEP was made a permanent program in February
of 2016 after having been authorized as a pilot in
the Small Business Jobs Act of 2010. Grants are
competitive and are provided to states and
territories under cooperative agreements. The
level of funding has varied between $30 million
and $8 million over those years, with FY2020
funding being $19 million which went to 48
States and Territories.
This division has become increasingly important as
staff have actively engaged in trade negotiations to
advance small business interests in the U.S. Mexico
Canada Agreement, with a Chapter dedicated to
Small and Medium Enterprises, and the U.S.-U.K.
and Kenya negotiations.
Trade Policy
Christine Brown, Director
Operations
James Parker, Director
Strategic planning, performance management, data
management, communications, and budget
Current Activities
• Promotion, management, and delivery of SBA’s Export loan programs, which includes
Export Working Capital, Export Express and International Trade Loans.
• Training lenders on trade and export financing and SBA’s Export Loan Programs to grow lender
usage. Training and counseling small businesses to make use of SBA products and services to
promote exports. Use of digital and virtual marketing tools, including monthly newsletters and
sba.gov/tradetools.
• Multilateral and bilateral engagement including active representation of small business interests
in the on-going U.S.-U.K. and Kenya trade negotiations, and the U.S. Mexico Canada Agreement
(USMCA) Committee on Small and Medium Enterprises.
• Opening market access support for small business through international cooperation activities
advancing transparency and good regulatory practices, such as through the Prosper Africa
initiative.
• Fielding and helping resolve trade barrier complaints from small businesses
• Cooperation with appropriate inter-agency coordination councils, including the Trade Policy
Staff Committee (TPSC) of the Office the U.S. Trade Representative (USTR) and the Trade
Promotion Coordinating Committee (TPCC), as well as relevant Federal advisory
committees, such as the Trade Finance Advisory Council managed by the Department of
Commerce.
• Certifying counselors from Small Business Development Centers having credentials on
international trade.
• Managing the State Trade Expansion Program (STEP) grants for FYs 18, 19 and 20 to
achieve a high return on investment through small business export sales.
FACA Boards
N/A
External Stakeholders
• U.S. based lenders to include regional and community banks.
• Small businesses engaged in exporting and those businesses interested in exporting.
• Sectors: Manufacturers; distributors; trading companies and services companies.
• State departments of economic development and/or international trade.
32
Key Office Events Hosted/ Supported
• Annual SBA Export Lender Roundtable.
• OIT Annual Training Conference.
Organizational Chart:
Associate
Administrator
Deputy Associate
Administrator
Trade Policy
International
Trade Finance
Operations
Division
SBA Export
Finance Managers
33
State Trade
Expansion
Program
Office of Investment and Innovation (OII)
Office Description and Mission
The Office of Investment and Innovation (OII) provides financing capital, research and development
(R&D) grants, and accelerator prizes in support of high growth small businesses. The Small Business
Investment Company (SBIC) program licenses, regulates, examines, provides funding guaranties, and
if needed, liquidates privately owned and professionally managed funds that provide financings, using
privately raised capital and SBA-guaranteed leverage, to small businesses seeking growth capital. The
program is operating at zero subsidy to the taxpayers. The Small Business Innovation Research (SBIR)
and Small Business Technology Transfer (STTR) programs stimulate technological innovation in the
US economy through the investment of federal research and development (R&D) funds into innovative
high-tech US small businesses. In 2014, SBA created the Growth Accelerator Fund Competition to
draw attention and funding to parts of the country where there are gaps in the entrepreneurial
ecosystem.
Office Leadership
Associate Administrator
Donald DeFosset, III
Deputy Associate Administrator
Vacant, Tom Morris, (Acting)
Major Components/Program Offices
Office/Component & Key
Brief Description & Key Statistics
Leader
Immediate/Front Office
OII’s Immediate Office handles overall management, administration,
strategic initiatives, policy, and special projects.
Office of Innovation
Oversees the SBIR/STTR agencies in their individual program
and Technology
implementations, provides policy guidance and directives as
authorized by statute, reviews agency progress and performance,
John Williams
collects required reporting data, and reports annually to the U.S.
Congress on program results. This office also manages the Growth
Accelerator Competition and collects and analyzes the data received
through this effort.
Office of Business Operations
Marja Maddrie
Office of Program Development
Samuel J. Boyd, Jr
Office of Licensing &
Program Standards
Art Spivey
Office of SBIC Operations
Paul Salgado
Office of SBIC Examinations
Heath Morris
Office of SBIC Liquidation
Tom Morris
Manages the budget, ,information technology, data management, and
SBIC funding and administration for the office.
Program marketing/outreach and provides initial screening for SBIC
applicants.
Oversees licensing for SBIC applicants and SBIC program
standards related to accounting and reporting and Paperwork
Reduction Act submissions.
Oversees monitoring of licensed SBICs. Operation analysts serve as
the primary contact for SBIC licensees, processes all commitment
and draw applications and monitors the portfolio.
Responsible for performing periodic on-site examinations on SBICs
in order to determine whether licensees are in compliance, financial
condition, and accuracy of information provided to SBA. SBICs by
statute must be examined at least once every 2 years.
Responsible for managing SBIC cases that have been transferred for
either financial or regulatory reasons. Responsible for recovering
SBA capital associated with transferred SBICs and disposing of assets.
34
Current Activities
1. Investment - SBIC Program
SBIC Regulatory Streamlining Rule:
Remove 18 regulations that are no longer necessary because they are obsolete, inefficient or redundant
Includes removing Preferred Stock, and the licensing of Specialized, Participating Securities, and Early
Stage SBICs.
SBIC Modernization Rule:
Addresses all comments SBA received as part of the Regulatory Reform initiative. In response to comments
received, SBA will 1) move regulations pertaining to special classes of SBICs (about 20% of regulations) to
separate subpart; 2) clarify regulations; and 3) modernize regulations (fax machines, websites, emails,
qualified purchaser funds, qualified line of credit), lessens some requirements for Non-leveraged Licensees
(allow use of GAAP valuation policy).
Technote 7b Management Fees: Provides clarifications regarding management fee expenditures of SBICs.
Scorecard: Improve oversight tools an assessment process for identifying and following up on SBICs at
risk. Partly as a result of COVID-19 impacts, the SBIC portfolio has 23% of its leverage (highest) rated
moderate or high, based on June 2020 financials.
IT Initiatives: 1) Create Licensing portal to help streamline and provide greater trans parity for applicants.
2) Fortify, increase reliability, and make other improvements to automate, provide greater tools, and
provide a complete information system.
2. Office of Innovation and Technology
a. SBIR and STTR Reauthorization Act
b. Annual Report
c. Updating Policy Directive
d. Growth Accelerator Competition
e. Federal and State Technology (FAST) awards
f. SBIR.gov development and maintenance (Comprehensive business intelligence gateway
platform)
FACA Boards
The AA is a member of SEC’s Advisory Committee on Small and Emerging Companies.
External Stakeholders
Besides small businesses, the following are external stakeholders by program:
1. Investment - SBIC Program
a. SBIC Managers/General Partners
b. SBIC Limited Partners/Investors
c. Small Business Investment Alliance (SBIA)
d. SBIC law firms, accounting firms, and other service providers
2. Office of Innovation and Technology
a. SBIR and STTR Participating Agencies:
o Department of Defense
35
o
o
o
o
Department of Health and Human Services
i. National Institutes of Health
ii. Centers for Disease Control & Prevention
Department of Energy
National Aeronautics and Space Administration
National Science Foundation
b. SBIR Participating Agencies Only:
o Department of Agriculture
o Department of Commerce
i. National Institute of Standards and Technology
ii. National Oceanic and Atmospheric Administration
o Department of Education
o Department of Homeland Security
o Department of Transportation
o Environmental Protection Agency
c. Growth Accelerators: https://www.sba.gov/offices/headquarters/ooi/resources/1428931
Key Office Events Hosted/ Supported
1. Investment - SBIC Program
SBA is increasing communication with the Private Equity Industry and SBIC Participants
The Office of Investment intends, in coordination with the Small Business Investor Alliance, to launch
quarterly Program News Updates with accompanying Q&A sessions. SBA is also considering hosting
annual regulations training in conjunction with the Small Business Investor Alliance.
The Office of Investment and Innovation intends to explore possible activities with ILPA regarding
diversity and inclusion for underserved markets.
2. Office of Innovation and Technology
a. SBIR Road Tours
b. National SBIR/STTR Conference
c. Regional SBIR/STTR Innovation Summits
d. SBIR/STTR Workshops
e. SBIR Online Course Tutorial Program via www.sbir.gov
f. SBIR/STTR Webinar Programs
Organizational Chart:
Associate
Administrator
Deputy Associate
Administrator
Office of
Innovation and
Technology
Business
Operations Officer
Office of Program
Development
Office of Licensing
and Program
Standards
36
Office of SBIC
Operations
Office of SBIC
Liquidation
Office of
Office of Veterans Business Development (OVBD)
Office Description and Mission:
The Office of Veterans Business Development (OBVD) leverages all SBA programs and resources to
empower veterans, active duty service members, National Guard and Reserve members, and military
spouses at every stage of business ownership.
Office Leadership
Associate Administrator
Larry Stubblefield
Deputy Associate Administrator
Timothy Green
Major Components/Program Offices
Office/Component & Key Leader
Veterans Business Outreach Center Program
Ray Milano
Brief Description & Key Statistics
Administers SBA’s Veterans Business Outreach
Center (VBOC) Program. 22 VBOCs across the
U.S. provide entrepreneurial development training
and counseling to veterans, members of the
Reserve and National Guard, military spouses, and
active duty service members who aspire to start or
grow a small business. VBOCs are the primary
delivery partner for the Boots to Business program.
Veterans Programs
Laura Wages
Administers SBA’s Boots to Business (B2B) and
Veteran Entrepreneurship Training Programs (ETP).
B2B is an element of DoD’s Transition Assistance
Program (TAP). B2B has served over 123,000
service members and military spouses on over 200
military installations around the world, since
January 2013. ETPs focus on Women Veterans,
Service-Disabled Veterans and Veteran Federal
Procurement training.
Responsible for coordinating the activities of 2
FACA committees, monitoring veteran
entrepreneurship policy development,
conducting OVBD marketing, outreach and
engagement strategies and for maintaining
collaborative relationships with veteran
entrepreneur stakeholders.
Policy and Engagement
Stan Kurtz
37
Current Activities
• Administering 30 grants in support of veteran entrepreneurship including 22 VBOCs, 4 ServiceDisabled Veteran Entrepreneurship Training Programs (SDVETP), 3 Women Veteran
Entrepreneurship Training Programs (WVETP) and a Veteran Federal Procurement
Entrepreneurship Training Program (VFPETP).
• Providing Veteran Business Outreach Center (VBOC) counseling and training support to veteranowned small business recovering from the COVID-19 pandemic.
• Concurrently delivering B2B curriculum virtually and in-person while transitioning B2B online
curriculum to a new DoD Learning Management System.
• Partnering with private, nonprofit and academic stakeholders to deliver veteran
entrepreneurship programming across the United States.
• Planning for National Veterans Small Business Week including collaboration with SBA
offices (including OFO), other federal agencies, and veteran service organizations.
• Conducting training for the 2nd cohort of the Veteran Owned Small Business Growth
Training Pilot Program.
• Completing the OVBD Strategic Workforce and Succession Planning Project.
• Conducting robust engagement and outreach via social media, in-person events, webinars, and
online content.
FACA Boards
• Advisory Committee on Veteran Business Affairs (meets minimum 3 times/year at HQ SBA)
• Interagency Task Force on Veteran Small Business Development (meets quarterly at HQ SBA)
External Stakeholders
• OVBD coordinates with over 150 stakeholders including:
Other governmental agencies (DoD, VA, DOL, etc.…)
Veteran Service Organizations (American Legion. VFW, etc...)
U.S. Chamber of Commerce Hiring Our Heroes Foundation
Educational institutions (Syracuse University’s Institute for Veterans and Military Families (IVMF),
Oklahoma State, St. Joseph’s University)
Private corporations (USAA, First Data, etc.…)
Key Office Events Hosted/ Supported
• National Veterans Small Business Week (first week of November each year) www.sba.gov/vetbiz
38
Organizational Chart
Associate
Administrator
Deputy Associate
Administrator
Policy &
Engagement
Veterans Business
Outreach Center
Program
39
Veterans
Programs
Office of Communications and Public Liaison (OCPL)
Office Description and Mission
The Office of Communications and Public Liaison (OCPL) has the principal responsibility for
developing and implementing effective external and internal communications strategies to ensure that
SBA’s mission, programs, services, and initiatives are articulated clearly and consistently to the public
and the small business community. OCPL supports field and program offices with the planning and
implementation of effective communications strategies. OCPL plays the chief role in articulating,
explaining and promoting the Agency’s policy and goals to the national news media.
Office Leadership
Associate Administrator
Jim Billimoria
Deputy Associate Administrator
Erin McCracken
Deputy Associate Administrator
Vacant
Major Components/Program Offices
Office/Component Brief Description & Key Statistics
& Key Leader
Immediate/Fron
Oversees the work of the department’s constituent divisions in support of
t Office
Administrator and Agency priorities. Speechwriters draft and edit speeches for
agency officials. Most speeches are for the Administrator and Deputy
Administrator, but other agency leaders occasionally require speechwriting
support.
Office of
Strategic
Alliances
The Office of Strategic Alliances creates external relationships with organizations
and individuals to amplify the SBA’s resources and better serve more American
small businesses.
Office of
Marketing and
Customer Service
The Office of Marketing and Customer Service (OMCS) creates, implements and
evaluates the marketing and outreach programs of the SBA. OMCS equips its
network of field offices with marketing materials and tools to help them educate and
assist the small business community to start up, grow, and succeed. Housed within
the Office of Communications and Public Liaison (OCPL), OMCS works
collaboratively with the other functional units within OCPL, field staff, and the
program offices at Headquarters to maximize marketing efforts to promote the
Agency’s many products and services.
40
Office of
Online Media
Online Media oversees the mission of developing and implementing the agency’s
digital communications strategy for both SBA.gov and the agency’s social media
sites. The office is responsible for deploying and maintaining over 100 agency
websites through helpdesk support, content management training, and Web and
content development. Working with program offices, the Office of Online Media
develops digital campaigns that leverage SBA’s diverse and sizable digital
audience via SBA.gov and its social platforms, including Facebook, Twitter and
YouTube. The office is active in analyzing metrics, use cases, and usability
testing to inform decisions on high-impact Web projects. The office also develops
and manages online tools that streamline small business activities and oversees
the back-end infrastructure for SBA.gov, including hosting and disaster recovery.
Office of the Press Press Office Mission: The Press Office Team coordinates public and media
communications for the agency and SBA program offices, and develops
communications plans for the effective execution of agency initiatives. Develops
national news releases, statements for the media, letters to the editor, opinioneditorials, talking points and other information materials released through a variety of
media; Coordinates responses to inquiries from major national news outlets;
Coordinates media interviews, press conferences and the dissemination of public
affairs information; Develops media outreach strategies and successfully pitch story
and interview ideas to the media.
Current Activities
• National Small Business Week
• Small Business Saturday
• SBA.gov, @SBAgov
• Gateway (intranet)
• SBA Daily publication
• SBA Daily news clippings
• PIO training conference
• Internal campaigns
• Communications Research & Marketing Support BPA
• External Alliances
FACA Boards
N/A
External Stakeholders
N/A
Key Office Events Hosted/ Supported
• National Small Business Week
• Small Business Saturday
41
Organizational Chart:
Associate
Administrator
Office of Strategic
Alliances
Deputy Associate
Administrator
Deputy Associate
Administrator (
Office of Online
Media
Press Office
42
Office of Public
Marketing &
Customer Service
Based Initiatives
Office of Congressional and Legislative Affairs (CLA)
Office Description and Mission
The Office of Congressional and Legislative Affairs (OCLA or CLA) initiates, develops,
coordinates, and maintains relationships between SBA, the U.S. Congress, and other U.S.
government agencies concerning legislative and executive branch activities affecting the small
business community. CLA serves as the liaison for SBA on all legislative and congressional
activities with Congress, including federal appropriations and committee oversight, and assists in
the development and enactment of SBA legislative proposals as defined in the annual
Congressional Budget Justification . CLA also serves as the primary point of contact for agency
interaction with the U.S. Government Accountability Office (GAO). The Associate Administrator
for CLA reports directly to the Administrator in carrying out this mission.
Office Leadership
Associate Administrator
Mike Hershey
Deputy Associate Administrator
Kevin Talley
Major Components/Program Offices
Office/Component & Key Leader
Front Office & Program Offices
Brief Description & Key Statistics
Handles direct contact with Congress on all
legislative matters. This includes building,
maintaining, and establishing relationships with
congressional leadership and appropriate
oversight committees.
Constituent Staff
Works with Congressional Members on
constituent requests as well as SBA District
Offices on event requests.
Works with internal SBA program offices to
provide timely reports to congress and responses
to CBO and OMB.
Legislative Analysis
Current Activities
CLA regularly monitors all activity in the House and Senate Small Business Committees; the annual
appropriations process through the House and Senate Financial Services and General Government (FSGG)
Appropriations Subcommittee; small business related legislation coming before the U.S. House of
Representatives or the U.S. Senate; and the annual National Defense Authorization Act (NDAA). CLA also
coordinates all agency interaction and activity with GAO.
See Section IX. Congressional Relations and Issues for more information.
FACA Boards
N/A
External Stakeholders
N/A
43
Key Office Events Hosted/ Supported
National Small Business Week (w/ OCPL)
SBIR/STTR Road Tour (w/ OII)
National Veterans Small Business Week (w/ OVBD)
Organizational Chart:
OFFiflE OF l!Ol!fGI\.ESSIOl!fAL Al!fI>
LEGISLATIVE AFFAII\.S
Assoaate Administrator
Deputy
Assistant Administrator
Legislanve Aff:nrs
Analyst
GAOI.iruson
Legislan'lie Affairs
Analyst
Legislanve Assistant
44
Seruor Advisor
Program Spectalist
Leg:aslanve Assistant
(Vacant)
l\Ianagement Support
Assistant
Office of Field Operations (OFO)
OFO/Headquarters:
Los Angeles, CA and Washington, DC – Duty Station
Office Description and Mission:
The Office of Field Operations (OFO) is the organizational unit of the SBA responsible for the direct
execution of the Agency’s products and services for America’s small businesses. Our role is to
primarily assist America’s small businesses by increasing and improving access to capital, federal
contracting opportunities, entrepreneurial development, and disaster assistance.
Office Leadership
Associate Administrator
Michael Vallante
Deputy Associate Administrator
Victor Parker, DAA
Director, Business Operations Officer
Steven Dixel
Director, Program Oversight
Gregory Hall
Major Components/Program Offices
Office/Component & Key Leader
Immediate/OFO (HQ)
Brief Description & Key Statistics
Handles Business Operations: Administration,
Budget Formulation and Execution, Funding for
Contracting, Financial Exams, Performance
Management and Loan Reporting, Implementation
of the Agencies Strategic Objectives and special
projects.
68 District Offices and 10 Regional
Administrators
OFO leads and supports all necessary functions
and operations of SBA’s 10 Regions and 68
District Offices.
Current Activities:
• Implementation of the FY21 Budget.
• Implementation of new position descriptions for new employees, and training for existing
employees to assume new positions in the future.
• Creation and modifications of field report system called GMATT to capture activities of
field personnel on a consistent and accurate basis.
• Development of district office plans for FY 21.
• Constituent service for businesses, elected officials, business groups and organizations and
the local media regarding PPP, EIDL, Forgiveness.
• Withing the OFO developing and running a Rural Affairs Office which outreaches
specifically to rural communities and rural businesses using our Rural Affairs Director and
a cadre of rural district directors.
• Integrating Regional Communication's Directors to assist District Offices and Reginal
Administrator’s in effectively communicating SBA messaging into local areas.
• Identifying the large and diverse number of PPP success stories in each region.
• Using technology amidst a pandemic and shuttered district offices for several months to do
training and provide information on PPP applications; EIDL applications; other SBA
resources like Women’s Business Centers and VBOC’s; PPP Forgiveness, etc.
• Participating in numerous Congressional, state and local elected officials Town Halls to
discuss the CARES Act.
45
•
Liaison with:
o OED on Opportunity Zones; HBCU’s; SBDC’s and other resource partners
o OCA on changes to SBA loan programs and IFR’s regarding PPP
o ODA on assisting on EIDL loans and EIDL reconsiderations.
o GCBD on assistance with government contracting opportunities; development and
implementation of CERTIFY, and compliance requirements for company certifications.
•
Underserved market outreach to Women, Rural, Hispanic, African-American, Asian
American communities
Increasing external engagement with new entrepreneurship providers like Accelerators and
Incubators – including encouraging office hours at these locations
•
•
Working with Veteran’s Business Outreach to continue Boots to Business and to highlight Military
spouses opening small businesses.External Stakeholders:
• Agency-wide events with multiple key stakeholders and organizations at the enterprise level to
support capital, contracting, counseling and disaster assistance.
• Asian American Chambers of Commerce
• Black Chambers of Commerce
• HBCU’s across the country
• Hispanic Chambers of Commerce
• LGBT Chambers of Commerce
• Rural Affairs activity throughout rural America.
• Non—ethnically or racially specific Chambers of Commerce; Manufacturing Associations; Banking
Associations; and faith based community as well as Native-American community in certain areas of the
country.
46
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48
Field Offices (Overview)
HIGH LEVEL OVERVIEW OF DISTRICT OFFICE WORK
DISASTER RESPONSE & COVID RECOVERY
• Represent SBA as needed when local disasters occur
• Collaborate with SBA Office of Disaster Assistance, local and state disaster officials, and FEMA
• Participate in meetings & events with a wide variety of stakeholders regarding Disaster response, and
recovery
• Answer hundreds of emails and calls per day per district regarding issues and questions about EIDL
loan applications, reconsiderations, and fraud,
• Conduct PPP webinars and trainings with lenders, businesses, elected officials & other stakeholders
• Respond to congressional inquiries about EIDL issues & applications
• District staff have detailed (60-120 days) to Office of Disaster Assistance to support ODA
• Implement on the District Level the Agency’s Reconstitution Plan
• Participate in virtual town hall meetings with elected officials, representative groups like CPA’s,
stakeholder groups, organizations such as Chambers of Commerce, business, manufacturing, hospitality
industry and the service industry regarding recovery and renewal post-pandemic.
MARKETING & MEDIA
• Create earned media opportunities through District press releases & local pitches
• Respond to local press inquiries
• Distribute national SBA press releases
• Develop & manage local content on District social media accounts and webpages
• Identify and create local success stories to showcase impacts of SBA programs
• Develop & manage content for annual District Resource Guide
• Create local media opportunities to support VIP visitors to District including Administrator
• Develop marketing materials for SBA events including fliers, Eventbrite, and GovDelivery posts
OUTREACH AND TRAINING
• Develop and implement local & regional outreach and training events to showcase SBA programs
• Provide local support to program offices for deployment of new initiatives (Ascent)
• Create District level events for SBA flagship annual initiatives:
• Small Business Saturday
• National Small Business Week
• Women’s History Month
• Veteran’s Small Business Week
• International Trade Month
SUPPORT CURRENT & LEGACY SBA PRIORITIES
• Boots to Business
• Boots to Business Reboot
• 7j Training
• Increasing rural and HUBZone loan volume
• Small Business Awards Presentations both in person and virtually
• Growth Accelerator Grant Presentations
• National Veterans Small Business Week
• PRIME Grant Presentations
• HBCU events
49
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
Local, state, and regional lender trainings
Disaster Prevention & Readiness Training
National Asian American and Pacific Islanders Outreach and Training
Manufacturing Summits
Exporting and International Trade seminars
Opportunity Zone Meetings, roundtables, and events
USMCA and Trade Agreement meetings, roundtables, and events
Federal Executive Board collaboration
Rural Strong events & joint rural events with USDA
AARP Collaboration for Encore Entrepreneurs (Age 55+ post retirement business owners)
LGBT outreach & training
Business Smart outreach & Training with FDIC
Youth entrepreneurship programs with local high schools
ChallengeHER events for women business owners
Emerging Leaders Recruitment, 7-month training, Graduation, and follow up
FEDS Feed Families
Growth Accelerator Presentations
InnovateHER events
SBIR/STTR Road Shows
Administrator Visits
SUPPORT SBA PROGRAM OFFICES
• Complete Compliance Goals – HUBZone Site visits, 8a reviews, Microlender reviews, CDC Annual
Report reviews, SBDC proposal reviews, SBDC site reviews, WBC site reviews, SCORE Chapter
reviews
• Participate in reviews as requested by SBA HQ – OMB reviews, OIG reviews, and GAO reviews
• Serve as local eyes and ears for program offices
• Amplify SBA program opportunities such as grant announcements, roll out of new initiatives and
identifying success stories
• Provide local interface and SBA presence for Emerging Leaders, Boots to Business, & Reboot
• Provide technical support and training to resource partners (SCORE, SBDC, WBC, VBOC)
• Conduct lender training and provide ongoing lender support
• Recruit new lenders, grantees, and partners for SBA programs
• Respond to data calls for local information needed by Regional & HQ Offices
• Assist OCPL with responding to national media inquiries
EXTERNAL STAKEHOLDER RELATIONS
District offices develop and maintain excellent relationships with wide variety of stakeholders and external
partners. District staff identify new partners, meet with them, train them on SBA programs and develop
opportunities to do joint events and activities. SBA stakeholders include:
• Federal, state, and local elected officials
• SBA lenders in District including 7a, 504, CDC, and microlenders
• SBA Resource partners (SCORE, SBDC, WBC, VBOC, and PTAC)
• SBA grantees
• Chambers of Commerce including state, local, and specialty (women, minority, etc.)
• Faith based organizations and leaders
• Federal, state, and local government agencies
• Colleges & universities
50
•
•
Industry associations with a focus on manufacturing, women, veteran, & minority business
Banking industry trade groups, and associations
MANAGE SBA DISTRICT INFRASTRUCTURE
• Maintain & secure District office leased space, furniture, IT equipment, cars
• Oversee District office operations, safety, and security
• Hire, fire, and retire staff
• Responsible for payroll, purchasing, budget, travel, & HR
• Ensure staff are ready and trained
• Maintain positive & effective employee and union relationships
• Strategically deploy SBA staff resources to meet local needs & opportunities
Organizational Chart:
SBA Office of
Field Operations
Regional
Administrator
Regional
Communications
Administrative
Resource
Coordinator
51
District Offices
OFO/Region I:
Boston, MA – Regional Office Location
Office Description and Mission:
Region I: Administers the delivery of SBA’s small business programs and services throughout New England
including Massachusetts, Connecticut, Rhode Island, Vermont, New Hampshire and Maine and promotes the
agency, which focuses on access to capital, contracting and counseling and training services for small businesses.
Office Leadership
Regional Administrator
Wendell Davis, Esq.
Regional Communications Director
Joan Trudell
Regional Administrative Resource
Coordinator
Tenita Williamsaims
Major Components/Program Offices
Office/Component & Key Leader
Massachusetts District Office, Robert Nelson, District
Director
Connecticut District Office, Catherine Marxt, District
Director Rhode Island District Office, Mark Hayward,
District Director
Vermont District Office, Darcy Carter, District
Director New Hampshire District Office, Rachel
Roderick (Acting)
Maine District Office, Amy Bassett, , District Director
Region 1 District Offices
Brief Description & Key Statistics
Regional Office handles performance management, data
collection, strategic initiatives and special projects.
Manages the SBA program and service delivery of six
district SBA offices and one branch office location and
3 Alternate Work Sites.
Oversees the activities of 113 SBA-funded counseling
and training centers in the region, which include 73
small business development centers; 28 SCORE
chapters, 10 women’s business centers, and a regional
veteran’s business development center and the US
Export Assistance Center.
Administers oversight of five SBA grant-supported jobs
accelerators of clustered industries.
52
OFO/Region II:
New York, NY – Regional Office Location
Office Description and Mission:
Region II: Administers the delivery of SBA’s small business programs and services throughout New York, New
Jersey, Buffalo, Puerto Rico and The Virgin Islands and promotes the agency, which focuses on access to capital,
contracting and counseling and training services for small businesses.
Office Leadership
Regional Administrator
Steve Bulger
Regional Communications Director
Matt Coleman
Regional Administrative Resource
Coordinator
Denise Galgano
Major Components/Program Offices
Office/Component & Key Leader
Buffalo District Office, Frank Sciortino, District
Director New Jersey District Office, Alfred Titone,
District Director
New York District Office, Beth Goldberg,
District Director
Puerto Rico/VI District Office, VACANTSyracuse
District Office, Bernard Paprocki, District
Director
Region II District Offices
Brief Description & Key Statistics
Regional Office manages five district offices , 5
branch office locations, and one Post of Duty.
Oversees the activities of 74 SBA-funded counseling
and training centers in the region this includes 24 Score
Chapters, 39 small business development centers, 10
women business centers and 1 regional veteran’s
business development center.
2 Procurement Technical Assistance Centers – not SBA
funded – considered resource partners
53
OFO/Region III:
King of Prussia, PA – Regional Office Location
Office Description and Mission:
Region III administers the delivery of SBA’s small business programs and services throughout Pennsylvania,
Virginia, Maryland, Delaware, West Virginia and Washington D.C. and promotes the agency, which focuses
on access to capital, contracting and counseling and training services for small businesses.
Office Leadership
Regional Administrator
Vacant. Steve Bulger, Acting
Regional Communications Director
Christopher Hatch
Regional Administrative Resource Coordinator
Brenda Jones
Major Components/Program Offices
Office/Component & Key Leader
East Pennsylvania District Office, Steve Dixel, District
Director
West Pennsylvania District Office, Kelly Hunt
District Office, District Director
Delaware District Office, John Fleming, District
Director Maryland District Office, Steve Umberger,
District Director
Virginia District Office, Carl Knoblock, District
Director West Virginia District Office, Karen Friel,
District Director
Greater Washington D.C. District Office, Antonio
Doss, District Director
Region 3 District Offices
Brief Description & Key Statistics
Regional office is responsible for delivery and
management of SBA’s small business programs,
financial assistance, and business development
initiatives and handles all performance management,
data collection and strategic initiatives.
Serves a population of nearly 30 million in seven district
offices throughout the Mid-Atlantic Region overseeing
more than 143 SBA offices, SCORE chapters, Business
Development Centers, and other resources while
managing field staff loan, business, community outreach
specialists and support personnel.
Work with local lenders and successful firms across the
region, overseeing more than $34 billion in federal
government contracts for goods and services purchased
from local entrepreneurs.
Oversees the activities of 132 SBA-funded counseling
and training centers in the region, which include 88
small business development centers; 34 SCORE
chapters, 8 women’s business centers, and 2 regional
veteran’s business development center
Administers oversight of 21 SBA grant-supported jobs
accelerators of clustered industries.
54
OFO/Region IV:
Atlanta, GA – Regional Office Location
Office Description and Mission:
Region IV administers the delivery of SBA’s small business programs and services throughout Alabama, Florida,
Georgia, Kentucky, Mississippi, North Carolina, South Carolina, and Tennessee and promotes the agency, which
focuses on access to capital, contracting and counseling and training services for small businesses.
Office Leadership
Regional Administrator
Vacant
Regional Communications Director
Lola Kress
Regional Administrative Resource Coordinator
Tawana Farley
Major Components/Program Offices
Office/Component & Key Leader
Alabama District Office, Thomas (Tom) Todt, District
Director
Georgia District Office, Terri Denison, District
Director Kentucky District Office, Robert Coffey
District Director Mississippi District Office, Janita
Stewart, District Director
North Carolina District Office, Thomas Stidtht,
District Director
North Florida District Office (Jacksonville),
Laketa Henderson, Acting District Director
South Carolina District Office, Gregg White,
District Director
South Florida District Office (Miami), Victoria
Guerrero, District Director
Tennessee District Office, LaTanya Channel, District
Director
Region 4 District Offices
Brief Description & Key Statistics
Regional Office handles performance management, data
collection, strategic initiatives and special projects.
Manages the SBA program and service delivery of nine
district SBA offices and one branch office location.
Oversees the activities of SBA-funded counseling and
training centers in the region, which include small
business development centers; SCORE chapters,
women’s business centers, and counseling over 200,000
entrepreneurs per year.
55
OFO/Region V:
Chicago, IL – Regional Office Location
Office Description and Mission:
Region V administers the delivery of SBA’s small business programs and services throughout Illinois,
Indiana, Michigan, Minnesota, Ohio, and Wisconsin while promoting the agency, which focuses on access to
capital, contracting counseling and training services for small businesses.
Office Leadership
Regional Administrator
Robert Scott, Esq.
Regional Communications Director
Andrea Roebker
Regional Administrative Resource Coordinator
Latrice Thomas
Major Components/Program Offices
Cleveland District Office, Gil Goldberg, District
Director Columbus District Office, Everett Woodall,
District Director (Acting)
Illinois District Office, Robert ‘Bo’ Steiner,
District Director
Indiana District Office, Stacey Poynter, District
Director Michigan District Office, Constance Logan)
Minnesota District Office, Brian McDonald District
Director
Wisconsin District Office, Eric Ness, District Director
Region V District Offices
Regional Office handles performance management, data
collection, strategic initiatives and special projects.
Manages the SBA program and service delivery of 7
district SBA offices and three branch office locations.
Oversees the activities of 171 SBA-funded counseling
and training centers in the region, which include 101
small business development centers; 54 SCORE
chapters, 14 women’s business centers, and 2 veteran’s
business outreach centers
Administers oversight of 24 (2 are repeat winners) SBA
grant-supported growth accelerators.
56
OFO/Region VI:
Dallas/Fort Worth, TX – Regional Office Location
Office Description and Mission:
Region VI administers the delivery of SBA’s small business programs and services throughout Arkansas,
Louisiana, New Mexico, Oklahoma and Texas while promoting the agency, which focuses on access to capital,
contracting, counseling and training services for small businesses.
Office Leadership
Regional Administrator
Justin Crossie
Regional Communications Director
Darla Booker
Regional Administrative Resource Coordinator
Virginia Geary
Major Components/Program Offices
Office/Component & Key Leader
Arkansas District Office, Linda Nelson, District
Director
Dallas District Office, Herb Austin, District Director
El Paso District Office, Dante Acosta, District Director
Houston District Office, Tim Jeffcoat, District Director
Louisiana District Office, Michael Ricks, District
Director Lower Rio Grande Valley District Office,
Angela Burton, District Director
• Corpus Christi Branch Office
West Texas District Office, Calvin Davis, District
Director New Mexico District Office, John Garcia,
Acting District Director
Oklahoma District Office, John Veal, District
Director
San Antonio District Office, Anthony Ruiz, District
Director
Region VI District Offices
Brief Description & Key Statistics
Regional Office handles performance management, data
collection, strategic initiatives and special projects.
Manages the SBA program and service delivery of 10
district SBA offices and one branch office location.
Oversees the activities of 133 SBA-funded counseling
and training centers in the region, which include 86
small business development centers; 30 SCORE
chapters, 14 women’s business centers, and 3 veteran’s
business outreach centers.
Administers oversight of 21 SBA grantsupported growth accelerators.
57
OFO/Region VII:
Kansas City, MO – Regional Office Location
Office Description and Mission:
Region VII administers the delivery of SBA’s small business programs and services throughout Missouri, Kansas,
Nebraska and Iowa and promotes the agency, which focuses on access to capital, contracting and counseling and
training services for small businesses.
Office Leadership:
Regional Administrator
Thomas Salisbury
Regional Communications Director
June Teasley
Regional Administrative Resource Coordinator
Judith James
Major Components/Program Offices:
Office/Component & Key Leader
Wichita, Kansas District Office, Wayne Bell, District
Director
Kansas City District Office, Malcolm Richards,
District Director
St. Louis District Office, Maureen Brinkley,
District Director
Iowa District Office, Jayne Armstrong, District Director
Nebraska District Office, Leon Milobar, District
Director
Region 7 District Offices
Brief Description & Key Statistics
Regional Office handles performance management, data
collection, strategic initiatives and special projects.
Manages the SBA program and service delivery of five
district SBA offices and two branch office locations.
Oversees the activities of 100 SBA-funded counseling
and training centers in the region, which include 74
small business development centers; 23 SCORE
chapters, four women’s business centers, and a regional
veteran’s business development center
Administers oversight of five SBA grant-supported jobs
accelerators of clustered industries.
58
OFO/Region VIII:
Denver, CO – Regional Office Location
Office Description and Mission:
Region VII administers the delivery of SBA’s small business programs and services throughout Colorado,
Montana, North Dakota, South Dakota, Utah and Wyoming and promotes the agency, which focuses on access to
capital, contracting and counseling and training services for small businesses.
Office Leadership:
Regional Administrator
Honorable Daniel Nordberg
Regional Communications Director
Chris Chavez
Regional Administrative Resource Coordinator
Carol Helm
Major Components/Program Offices:
Office/Component & Key Leader
Colorado District Office, Frances Padilla, District
Director
Montana District Office, Brian Donnelly District
Director
North Dakota District Office, Alan Haut District
Director
South Dakota District Office, Jamie Wood
District Director
Utah District Office, Marla Trollen District Director
Wyoming District Office, Amy Lea, District Director
Brief Description & Key Statistics
Immediate/Front Office - The RA’s Immediate
Office handles all outreach to support the President’s
small business agenda in the six states in Region
VIII, and overseas the activities of the District
Offices.
59
OFO/Region IX:
Los Angeles CA – Regional Office Location
Office Description and Mission:
Region IX administers the delivery of SBA’s small business programs and services throughout Arizona, California,
Hawaii, Nevada and the territory of Guam. It promotes the agency, which focuses on access to capital, contracting
and counseling and training services for small businesses.
Office Leadership
Regional Administrator
Regional Communications Director
Regional Administrative
Resource Coordinator
Michael Vallante
Miryam Mora-Barajas (located in
Sacramento)
Maribel Plascencia
Major Components/Program Offices
Office/Component & Key Leader
Regional Office
Arizona District Office, Robert Blaney, District
Director
Hawaii District Office, Vacant, District Director
Nevada District Office, Joseph Amato , District
Director
San Diego District Office, Ruben Garcia, District
Director
Orange County Inland Empire District Office,
Adalberto Quijada, District Director
Los Angeles District Office, Ben Raju, District Director
Fresno District Office, Dawn Golik District Director
Sacramento District Office, JHeather Luzzi, District
Director
San Francisco District Office, Julie Clowes, District
Director
Brief Description & Key Statistics
Regional Administrator conducts outreach to partner
organizations and speaks at key events providing
information on SBA goods and services and promoting
the President’s key initiatives. Regional Office handles
performance management, data collection, strategic
initiatives and special projects. It also manages the SBA
program and service delivery of nine district SBA
offices
and one branch office location..
Staff conducts outreach by partnering with key
community partners and organizations educating them
about SBA goods and services. Oversee the activities of
137 SBA-funded counseling and training centers in the
region, which include 83 small business development
centers; 33 SCORE chapters, 17 women’s business
centers, and 4 regional veteran’s business development
centers.
60
OFO/Region X:
Seattle, WA – Regional Office Location
Office Description and Mission:
Region X administers the delivery of SBA small business programs and services throughout Washington, Oregon,
Idaho and Alaska; and, promotes the agency, which focuses on access to capital, contracting and counseling and
training services for small businesses.
Office Leadership
Regional Administrator
Jeremy Field
Regional Communications Director
Melanie Norton
Regional Administrative Resource
Coordinator
Ryan Pella
Major Components/Program Offices
Office/Component & Key Leader
Region 10 Office:
Seattle District Office, Kerrie Hurd District Director
Portland District Office, Marty Golden, District
Director Boise District Office, Gary Eisenbraum
District Director
Alaska District Office, Steven Brown, District Director
Brief Description & Key Statistics
Regional Office handles performance management, data
collection, strategic initiatives and special projects.
Manages the SBA program and service delivery of four
district SBA offices, one branch office, and one AWS
(Alternative Work Site) location.
Oversees the activities of more than 100 SBA-funded
counseling and training centers in the region – 60 Small
Business Development Centers; 15 SCORE chapters,
four Women’s Business Centers, and a regional
Veterans Business Development Center.
Administers oversight of 10 SBA grantsupported growth accelerators and one ScaleUp
America community.
Manages local 8(a) Business Development Program
portfolio, relationship management and recruitment of
local SBA lenders, and local economic development
activities.
61
Office of General Counsel (OGC)
Office Description and Mission
The Office of General Counsel (OGC) provides comprehensive nation-wide legal services to the
Administrator and all Agency offices. These legal services include providing advice and assistance to
SBA programs and offices on the development and execution of Agency policies, programs and
administration; advising, analyzing and interpreting statutes, regulations and other sources of law; and
drafting legislative, regulatory and other materials. OGC represents the Agency in judicial and
administrative proceedings, legal negotiations, and appearances and consultations with other government
and non-governmental entities. OGC is responsible for the Agency’s ethics program and is charged with
the responsibility of ensuring that Agency employees are in compliance with the ethics regulations.
Office Leadership
General Counsel
Brittany Biles
Deputy General Counsel
Jordan Pratt
Deputy General Counsel/Associate General
Counsel for Financial Law and Lender Oversight
Associate General Counsel for Department of
Litigation and Claims
Associate General Counsel for Department of
Procurement Law
Associate General Counsel for General Law
Nina Levine
Designated Agency Ethics Official
Jaime Cantlon
Major Components/Program Offices
Office/Component & Key Leader
Immediate Office
Eric Benderson
John Klein
Jaime Cantlon
Brief Description & Key Statistics
Legislation and Appropriations Team: Provides
legal advice and guidance to SBA personnel on all
legal aspects of the Agency budget; appropriations,
expenditures, legislation, congressional procedures
and activities; and regulations in connection with
Agency programs. Outreach and Ethics Team:
Provides legal advice relating to SBA’s outreach
efforts including co- sponsorships and marketing
programs. The Designated Agency Ethics Official
oversees compliance with federal government ethics
and disclosure rules.
Office of Administration: Provides operational
support including budget, human resources,
information technology, metrics, OIG audit tracking,
OMB referrals and other matters relating
to the legal/administrative operations.
62
Department of Financial Law and
Lender Oversight
Department of Litigation and Claims
Provides legal advice and assistance to program
offices responsible for disaster loans, guaranteed
business loans, microloans, surety bond guaranties,
secondary market transactions and small business
investment companies. This Department assists the
program offices in the preparation of regulations and
comments on proposed legislation and provides legal
review and clearance of various financial transactions
involving program participants.
Handles litigation in federal court. The practice area
for this group includes constitutional,
environmental, employment, commercial,
procurement, administrative law, torts, bankruptcy
law, and debt collections issues. Also
handles complex FOIA and Privacy Act questions.
Department of Procurement Law
Advises SBA program offices regarding government
contracting and business development programs,
including the 8(a) Business Development program,
HUBZone program, Service Disabled Veteran Owned
Small Business Set Aside program, Women Owned
Small Business program, and the size standards
program. The Department provides legal advice and
assistance to program officials regarding Agency
contract and grant awards, and regarding SBA’s
resource partners. The Department also represents the
Agency in procurement-related administrative
litigation before the General Accounting Office and
SBA's Office of Hearings and Appeals.
Department of General Law
Serves as legal counsel to the Agency in the areas of
federal equal employment opportunity law, federal
personnel and labor relations law and represents the
Agency in administrative litigation before EEOC,
MSPB, FLRA and SBA’s Office of
Hearing and Appeals.
Field Legal Operations
Field legal staff is supervised by four area counsels
who report to a Deputy General Counsel. The legal
staff in the field provides advice to SBA district
offices on a wide range of legal matters and work
closely with SBA lending partners and
SBA Loan Centers.
Current Activities
• OGC is intensely involved in taking enforcement actions against lenders engaged in illegal practices.
• Agency Regulatory Agenda (published semi-annually)
• OGC’s ethics team is overseeing continuing compliance with the requirements of the Stock Act
• OGC is working closely with Agency program staff and the Office of Inspector General on the
audit resolution process.
• CARES Act implementation.
63
FACA Boards
N/A
External Stakeholders
• White House Counsel
• Congressional Committees
• Office of Management and Budget
o Office of Information & Regulatory Affairs (OIRA)
o Office of Federal Procurement Policy (OFPP)
• Government Accountability Office
• Department of Justice
o Civil Division
o U.S. Attorneys
• Other Government Agencies
• Trade Associations
• U.S. Equal Employment Opportunity Commission
• U.S. Merit Systems Protection Board
Key Office Events Hosted/ Supported
• OGC Legal Training Conference – biennial event
• One OGC training series
• Monthly OGC Town Hall
Organizational Chart:
64
Office of Hearings and Appeals (OHA)
Office Description and Mission
The Office of Hearings and Appeals (OHA) is an independent office of the SBA, established in 1983 to
provide an independent, quasi-judicial appeal of certain SBA program decisions. Specifically, OHA
adjudicates appeals of formal size determinations for businesses seeking to qualify for SBA loans,
Federal contracts set-aside for small businesses and other programs; contracting officer designations of
North American Industry Classification System (NAICS) codes for procurements government-wide;
eligibility determinations for Service-Disabled Veteran-Owned Small Business Concerns (SDVO SBC),
Women-Owned Small Businesses (WOSB), and Economically Disadvantaged WOSB (EDWOSB); 8(a)
BD eligibility determinations, suspensions, and terminations; and SBA employee disputes.
Within the Office of Hearings and Appeals resides the Freedom of Information/Privacy Acts
(FOI/PA) Office, which was established in 1977 to adjudicate administrative appeals from initial
Freedom of Information Act and Privacy Act determinations. The Office also provides guidance and
training to Agency staff with regard to the collection, use and disclosure of Agency information.
Office Leadership
Assistant Administrator
Delorice (Della) Ford
Administrative Judge
Administrative Judge Chief
FOIA/PA
Christopher Holleman
Kenneth Hyde
Oreoluwa Fashola
Major Components/Program Offices
Office /Component & Key Leader
Brief Description and Key Statistics
Front Office
Delorice (Della) Ford Assistant
Administrator Office of Hearings and
Appeals
In addition to providing fair, timely, and efficient
adjudication of cases filed with OHA, the Office
handles all human resource matters, budget, data
collection and analysis, strategic planning and
initiatives, and special projects.
Freedom of Information and Privacy Acts
Office
Oreoluwa Fashola Chief FOI/PA
The FOI/PA Office develops Agency policy and
procedures regarding the FOIA and/or PA requests;
refers initial requests for processing; and, provides
procedural guidance to Agency personnel, Agency
clients and the public regarding the disclosure of
Agency records. The Office staff compiles and
submits the Freedom of Information Act Annual
Report to the Attorney General, the Chief FOIA
Office Report, and prepares the Agency’s Privacy Act
Reports for OMB. Other major responsibilities are
maintenance of the Agency’s Privacy Act Systems of
Records, Privacy Act Computer Matching
Agreements and any Privacy Act related activities
and/or issues.
65
Current Activities
• Proficient Case Adjudication – Consistently provide fair, timely, and efficient adjudication
of cases filed with OHA and FOI/PA
• Revise OHA’s regulation (CFR 134)
• Revise Website Content
• Outreach – Organize and/or participate in programs to help small businesses better understand
OHA’s appeal process.
• Promote/Implement Agency-wide Proactive Disclosures
• Publish FOIA Annual Report & Chief FOIA Officer Report
FACA Boards
N/A
External Stakeholders
Small Businesses, Federal Agencies, Federal Procurement/Acquisition Officials, Public and Private
Bar, ABA Committees
Key Office Events Hosted/ Supported
• American Bar Association Public Contract Law’s Business and Other Socio-Economic
• Programs Committee
• FOIA Roundtable/FOIA Amendments
• Office of General Counsel- Summer Intern Program
Organizational Chart:
Assistant
Administrator
Administrativ
e
Administrativ
e
66
FOIA/PA Office
Office of Intergovernmental Affairs (IGA)
Office Description and Mission
The Office of Intergovernmental Affairs (IGA) serves as a liaison to elected and appointed officials of
state, county, and local governments. SBA’s IGA serves as the Agency’s representative to the White
House’s Office of Intergovernmental Affairs, cabinet level agencies’ IGA offices and national
organizations that represent state and local officials. The office’s primary function is to communicate
information about SBA’s objectives, initiatives, policies, and programs to stakeholders, to build
partnerships that will facilitate opportunities for small business entrepreneurs. IGA also works closely
with SBA’s program, regional, and district offices to develop outreach strategies for the purpose of
promoting initiatives and programs.
Office Leadership
(Acting) Assistant Administrator
Major Components/Program Offices
Office/Component & Key Leader
Front Office
Ryan Lambert
Brief Description & Key Statistics
Handles human resource management,
budget/financial management, performance
management, data collection,
strategic initiatives, special projects, and outreach.
Current Activities
• Building relationships with external stakeholders
• State/Local officials COVID-19 recovery updates and inquiry support
• Governors’ Initiative on Regulatory Innovation (DOL, DOC, SBA, WH-IGA)
• Opportunity Zones
FACA Boards
N/A
External Stakeholders (Offices)
• Statewide Officials
o Governor’s
o Lt Governors
o Secretaries of State
o State Economic Development Executive or Agency
•
Local (Legislative district, County/Parish, City, etc.)
o State Legislators
o State Senators
o Mayors
o County Commissioners
o City Councilmembers
o Parish Presidents
67
External Stakeholders (Organizations).
• Statewide Officials
o National Governors Association
o Republican National Governors Association
o Western Governors Assciation
o National Association of Secretaries of State
o National Lt Governor Association
•
Local (Legislative district, County/Parish, City, etc..)
o National Conference of State Legislators
o National Association of Counties
o National Association of Towns and Townships
o US Conference of Mayors
o National League of Cities
o Mississippi Rivers and Town Initiative
o Individual State Municipal Leagues and County Associations
o African American Mayors Association
•
Federal Agencies
o SBA-IGA represents SBA to the White House’s Office of Intergovernmental Affairs.
o Encourage collaboration between Cabinet level agencies and their IGA offices
•
Other
o Office of Native American Affairs
• Day to day operation of ONAA is currently handled through OED. IGA works closely
with ONAA regarding Native American outreach and activities.
Key Office Events Hosted/ Supported
• State and Local officials fly-ins
o Supports WH-IGA hosting state and local officials. SBA IGA either briefs or coordinates senior
officials to brief state and local officials on funding opportunities and small business items
impacting their community.
• White House’s COVID response briefings to state and local officials
o Supports WH-IGA by regularly providing or coordinating briefings to state and local officials
on CARES Act programs, Paycheck Protection Program, Economic Injury Disaster Loans,
etc...
• Administrator engagement
o Following major disasters, IGA, in conjunction with ODA, may connect the Administrator with
affected Governors.
o SBA’s IGA coordinates Administrator’s participation for in person speaking engagements and
conference calls to state and local officials and their organizations.
o SBA’s IGA works to include state and/or local officials at SBA events with the Administrator.
68
Office of Performance, Planning and the Chief Financial Officer (OPP/CFO)
Office Description and Mission
The Office of Performance, Planning and the Chief Financial Officer ensures efficient and effective
management of Agency resources by providing superior financial management, acquisition
management, performance management, and planning services. The Office of Performance, Planning
and the Chief Financial Officer fulfills this mission by:
•
•
•
•
•
Establishing, measuring, and exceeding organizational performance expectations;
Executing a timely and responsive acquisition process that provides best value;
Providing accurate and timely reports of budget, financial, and performance results;
Supporting Agency programs in the attainment of the SBA’s mission and objectives; and
Developing internal control structures to manage risk.
The OPP/CFO, located in Washington, D.C. (Headquarters) and in Denver, Colorado (Denver Finance
Center), is composed of the following offices:
Office Leadership
Associate Administrator for Performance, Tami Perriello
Planning and Chief Financial Officer
Deputy Chief Financial Officer
Melissa Atwood (Acting)
Major Components/Program Offices
Office/Component & Key Leader
Immediate Office
Tami Perriello,
AA/CFO
Melissa Atwood
(Acting), Deputy CFO
Brief Description & Key Statistics
Serves as the liaison with Agency executives and
ensures administrative oversight of the achievement
of sound Agency performance and financial
management to produce accurate, timely, and useful
information to support operations,
budget, and policy.
Accounting Liaison and Quality Assurance
Division
Prasad Kotiswaran, Director
Manages Agency financial reporting and supports the
financial statement audit and audit remediation
processes. Provides accounting policy guidance and
conducts quality assurance to ensure accurate and
timely financial data to support program operations.
Financial Analysis and Modeling Division
Scott Stilmar, Director
Projects loan programs’ performance in order to
estimate, and re-estimate, lifetime loan program
costs using historical performance, economic factors,
and loan program variables for the President’s
budget and the Financial Statements. Provides cost
estimates and analytical support for the loan
programs. Ensures modeling for loan programs is in
compliance with the Federal Credit Reform Act.
69
Office of Financial Systems, Innovation and
Data Transparency
Nate Reboja, Director
Designs and maintains financial systems to ensure
the security, integrity, reliability and availability of
Agency’s integrated accounting and financial
systems. Provides reliable, accurate, and timely
information to support the Agency’s financial
reporting needs. Oversees implementation of and
compliance with DATA Act and supports data
management, data analysis, and reporting.
Internal Controls Division
Tonia Butler, Director
Establishes and maintains internal controls to
achieve the objectives of effective and efficient
operations and reliable financial reporting.
Provides policies, guidance, and oversight to ensure
management exercises its internal control
responsibilities in accordance with the OMB
requirements contained in OMB Circular A-123,
Management’s Responsibility for Internal Control.
Ensures compliance with the Financial Managers
Federal Integrity Act.
Office of Program Performance, Analysis, and Leads SBA’s strategic planning and performance
Evaluation
management functions through Government
Performance and Results Act and the GPRA
Jason Bossie, Director
Modernization Act. Promotes program and project
management capacity through the Program
Management Improvement Accountability Act. Leads
evidence building and program evaluations through
the Foundations for Evidence-Based Policymaking
Act. Supports SBA senior leaders through the
development of analytical dashboards and tools,
conducting analyses for loan, contracting, and grant
programs, and economic analysis of regulations
through Executive Orders 12866 and 13771.
Budget Division
Deborah Chen, Budget Officer
Coordinates activities in the development of SBA’s
budget for the upcoming fiscal year and the operating
activities. Prepares apportionments for the Office of
Management and Budget and allocates funds
throughout the fiscal year to operating offices.
Ensures the budget and programs are in compliances
with appropriations law.
Office of Financial Operations and Acquisition
Management
Denver Finance Center
Melissa Atwood, Director
Supports the collection, disbursement, and accounting
for loan programs (fee collections, purchase
payments, recovery collections, etc.), Provides
accounting and support for administrative functions
(travel, contracts, grants, loan programs management,
etc.) Maintains the general ledger, provides
compliance reporting for the annual financial
statements and Treasury reporting, develops and
supports agency initiatives to maintain quality in
financial reporting, works with internal and external
partners to implement electronic commerce and
70
government-wide financial management initiative,
and strives to provide complete, reliable, timely and
useful financial management information. The
Acquisition Division performs full-scale acquisitions
services in accordance with regulatory and policy
guidance and established timelines.
Services include all internal and external reporting as
well as end user advising on processes to include:
acquisition, planning, and contract administration.
Ensures compliance with the Federal Acquisition
Regulations (FAR).
Current Activities
• Formulating FY 2022 budget request and executing FY 2021 enacted budgets
• Preparing FY 2020 Performance Report and FY 2020 Performance Plan
• Reporting on Agency Priority Goals / Quarterly Deep Dive Reviews
• Preparing development of the FY 2022-2026 Strategic Plan and Enterprise Learning Agenda
• Developing the FY 2020 Financial Statements with the auditor
• Preparing FY 2022 subsidy models
FACA Boards
N/A
External Stakeholders
• Office of Management and Budget
• Department of Treasury
• Authorizing and appropriating Congressional Committees
• Performance Improvement Council
• Program Management Improvement Council
• Evaluation Officers Council
• Chief Data Officer Council
• Chief Financial Officers Council
• Chief Acquisition Officers Council
Key Office Events Hosted/ Supported
N/A
Organizational Chart:
71
AA/CFO
I
Deputy CFO
-
I
I
Director, Office o f Fin a.nc ial
Systems, Innovat io n and
Dat a Tra nspa rency
Perfor m an ce, Planning
and Eval uat i on
Director, Fin a ncia l
Ope ra t io ns a nd
Acquisitio ns Mgm t.
Performance
M an agem ent
Ma nagem e nt a nd
Ad m inist rat ive
Divisio n
Division
Anatysis an d
Evalu at io n Div is io n
Pr ogra m Accounti.ng
Dir, Office o f Program
Fi nan cia I System s
Budget Divisio n
Division
Acct, Liaison a nd
Chief Data Offic er
Division
Quality Assu r an ce
Division
I
Divisio n
Fin an cia l Re porting
Division
Adm inist rat ive
Accou nt i n g Div isi on -
Fi nancial Analysis
and Mode ling
Acqu isit io ns Pol icy
Division
Divisio n
I---
In t er n al Contro ls
Division
-
Acquisitio ns
Operat ions Division r - - -
72
Office of the Administrator (Front Office)
Office Description and Mission
The Office of the Administrator leads the SBA’s efforts to aid, counsel, assist and protect the interests of
small business concerns, to preserve free competitive enterprise and to maintain and strengthen the
overall economy of our nation. The Office of the Administrator offers executive and policy guidance to
help Americans launch and grow their businesses.
Office Leadership
Administrator
Jovita Carranza
Deputy Administrator
Vacant
Chief of Staff
William Manger
Deputy Chief of Staff
Christopher Gray
Major Components/Program Offices
Office/Component & Key Leader
Not Applicable
Brief Description & Key Statistics
Not Applicable
Current Activities
• Oversight and management of program and support offices.
• Priorities and new initiatives tracking
• Reporting to White House Cabinet Affairs
• Scheduling and staff support for Administrator
• Policy and Research Projects (ongoing)
• Small Business Technology Coalition
• Implementation of Technology Improvements with OCIO:
o Improving core IT operations
o IT modernization and Cold Fusion decommissioning
o Exploratory innovation projects
o SBA.gov—exec management of redesign of site and launch of new transactional
services. First key product is LINC 2.0.
Certify.SBA.gov—oversight of project to rebuild and replace all systems supporting
small business certification programs
• GAO / IG Recommendations – tracking completion
FACA Boards
The Council on Underserved Communities
73
External Stakeholders
• Local and national small business organizations
• Foundations
• Think tanks
• Corporate Partners
• Local and state governments
• Congress
• Federal agencies
• White House / NEC, NSC, OSTP, DPC and CWG.
Key Office Events Hosted/ Supported
• Provide directional leadership and support on all program office and Administrator events and
travel. Directly organize:
• The White House Open Data Summit
• The Hispanic American Entrepreneurship Summit
• The SBA Main Street Road Tour
• Senior Staff and SES Planning Retreats
74
Office of Executive Management, Installations, and Support Services
Office Description and Mission
The Office of Executive Management, Installations and Support Services (OEMISS) supports Agency operations
through four key divisions; the Office of Administrative Services; the Office of Grants Management; Office of
Personnel Security and Office of Executive Secretariat. OEMISS manages the nearly two hundred field level
offices nationwide; anchoring the Agency’s mission to support America’s small businesses. In addition, OEMISS
oversees grant life-cycle management, physical and personnel security, classified clearances and material
handling, maintains the records of the Administrator and manages the Agency document clearance review process.
OEMISS is committed to delivering superior customer service enabling the Agency's program offices to meet their
mission requirements timely and professionally while effectively and efficiently managing overhead costs as
stewards of the taxpayer.
Office Leadership
Executive Director
Sean Crean
Major Components/Program Offices
Division/Branch Component & Key Leader
Office of Administrative Services (OAS)
Kenneth Etheridge, Director
Office of the Executive Secretariat (OES)
Kim Bradley, Director
Office of Grants Management (OGM)
Kimberly Butler, Director
Office of Personnel Security (OPS)
Joseph Eitel, Director
Brief Description & Key Statistics
Responsible for overseeing Agency installation
management, physical safety & security, personal
property inventory, fleet management and operations,
mail handling and print management.
Responsible for Administrator document management.
Ensures policy, procedures, notices, reports, letters, and
other correspondence of the Administrator or senior
executives are cleared and signed according to schedule.
Through its National AnswerDesk Call Center, provides
first contact for SBA clients on answers covering topics
of SBA programs or initiatives.
Responsible for policy, oversight, execution, and full
life-cycle compliance of Agency financial assistance
awards (grants) implemented through six (6) program
offices; leveraging the Agency’s capability to support
small businesses.
Responsible for national security matters including
adjudication and clearing of potential staff to support
the Agency’s mission, handling of classified material,
and approving clearance holders to mitigate potential
internal threats.
75
Current Activities
Reorganizing the Office of Executive Secretariat to the Office of the Administrator. Reorganizing
records management unit in OAS to OCIO in support of the National Archives Records Administration
(NARA) records digitization directive.
(OAS) HQ current lease expires in Nov 2020. GSA is negotiating an extension until 2022 and
anticipates a new lease award during FY21. Established an Executive Facilities Management Advisory
Board to better control costs associated with leased property.
(OGM) In response to OIG Management Challenge #8 and in support of Presidential Management
Agenda CAP GOAL #8, implemented a new grants management system through HHS to correct compliance
deficiencies. System provides the Agency the ability to integrate its grants financial component at a future
date.
(OPS) Manages the SBA Security Coordinating Council. Adjudicating over 10,000 staff and contractor
personnel in support of Office of Disaster Assistance and Office of Capital Access COVID19 support.
(OES) Implemented a new document management system compatible with the White House executive
secretariat system.
FACA Boards:
N/A
External Stakeholders
• General Services Administration (GSA); Public Buildings Service; Federal Real
Property Management Council.
•Department of Homeland Security (DHS); Federal Protective Services
•Integrated Award Environment-Financial Assistance Committee for E- government (FACE)
•Data Act Committee
•National Grants Management Association (NGMA)
•Health and Human Services (HHS); GrantSolutions
•Office of the Director of National Intelligence (ODNI)
•White House; Federal Executive Secretariat Council (FESC)
Key Office Events Hosted/ Supported
• August 2020 Monthly meeting of the (FESC) - virtually
76
Organizational Chart:
Office of the Administrator
Executive Director, Office
of Executive Management,
Installations, and Support
Services
Director, Office of
Administrative Services
Director, Office of the
Executive Secretariat
Director, Office of Grants
Management
77
Director, Office of
Personnel Security
Office of Administrative Services (OAS)
The Office of Administrative Services is responsible for planning, implementing, and overseeing
administrative support programs across the Agency, such as facilities & real estate, asset management,
property inventory, fleet management and operations, office equipment and administrative services,
physical and building security, records management, mail and print management.
Office Leadership
Director of Administrative Services
Kenneth Etheridge
Director of Records Management
Vacant
Director of Facilities, Security, & Safety
Nathaniel Mosby
Director of Support Services
Andrea Levenberry
Major Components/Program Offices
Division/Branch Component & Key Leader
Records Management
Facilities Management
Support Services
Brief Description & Key Statistics
Ensure records (both paper and electronic) are
maintained & retired in accordance with the proper
disposition schedule. Coordinate with program offices to
post meetings, disaster decorations, new rulings, etc.
in the federal register.
In coordination with GSA, manage leased prospace for
the agency and monitor existing leases to ensure the
landlords adhere to the terms of the lease. This office is
also over the security & safety program for the agency.
This Division handles HQ infrastructure support
including shipping and receiving, fleet vehicles, mail
delivery, printing requests, event planning for the
entire agency, HQ conference room setups, and
property disposal.
Current Activities
THQ building expires in 2020 and plans are underway to develop the space requirements. HQ current lease
expires in Nov 2020. GSA is negotiating an extension until 2022 and anticipates a new lease award during FY21.
Established an Executive Facilities Management Advisory Board to better control costs associated with leased
property.
FACA Boards:
N/A
External Stakeholders
General Services Administration – Public Building Services (office space leasing)
Department of Homeland Security – Federal Protective Services (building security)
78
Key Office Events Hosted/ Supported
N/A
Organizational Chart:
Executive Director, Office
of Executive Management,
Installations, and Support
Services
Director, Office of
Administrative Services
Facilities, Safety and
Security Division
Support Services Division
79
Records Management
Division
Office of the Executive Secretariat (OES)
Office Description and Mission
The Office of the Executive Secretariat (Exec Sec) is the primary document management center for the
SBA Administrator, the Deputy Administrator, the Chief of Staff and Associate Administrators. Exec
Sec ensures that policy initiatives, regulations, memoranda, reports, letters, and other correspondence that
require the Administrator and senior SBA staff members’ signature are created, edited, and signed
according to schedule. Exec Sec manages the Document Management System and coordinates the
Administrator’s archiving process to ensure that records are labeled and stored according to the National
Archives and Records Administration’s regulations. In addition, Exec Sec edits all correspondence before
submission to Congress, as well as letters referred by the White House.
Through its National Answer Desk call center, it also serves as the first contact for clients who can
contact SBA for answers on all of SBA’s programs and initiatives..
Office Leadership
Director, Office of Executive Secretariat
Kim Bradley
Team Lead, Executive Correspondence Division
Dana Lintz
Supervisor, National Answer Desk
Rhoda Harvin
Major Components/Program Offices
Division/Branch Component & Key Leader
Executive Correspondence Division
Brief Description & Key Statistics
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The National Answer Desk Call Center
The National Answer Desk (NAD) is the Agency nondisaster call center which serves to provide first contact to
the public on a variety of questions brought forth by small
business. The NAD offers information regarding inquiries
on every aspect of SBA’s mission, such as federal and
state government contracting, , government contracting
programs, the 8(a) process, HUBZone, WOSB, veteranowned certifications, financing, options, training and
counseling, webinars, and other resources available to
entrepreneurs and the business community. NAD also
services callers who speak Spanish, French, and German.
Current Activities
Implemented a new document management system compatible with the White House executive secretariat system.
FACA Boards:
N/A
External Stakeholders
N/A
Key Office Events Hosted/ Supported
N/A
Organizational Chart
Executive Director, Office
of Executive Management,
Installations, and Support
Services
Director, Office of the
Executive Secretariat
Executive Correspondence
Division
SBA Answer Desk
81
Office of Grants Management (OGM)
Office Description and Mission
The Mission of the Office of Grants Management (OGM) is to oversee and ensure compliance for all
SBA grant stakeholders with full grant life-cycle management OGM is directly responsible to the
Administrator to ensure that the hundreds of financial assistance awards (grants) valued at over $400M
are executed in accordance with regulation. The Director is the Agency’s senior grants management
officer who establishes the policy and procedures to be followed by Agency program offices.
Office Leadership
Director, Office of Grants Management
Supervisory Grants Management Officer
Team A
Supervisory Grants Management Officer
Team B
Kimberly Butler
Jazzmin Gayle
Vacant
Major Components/Program Offices
Division/Branch Component & Key Leader
NA
Brief Description & Key Statistics
Responsible for Agency-wide execution of grants valued
at over $400M in support of a variety of program offices
supporting small business.
Current Activities
• OGM completing the implementation of a new Grants Management System which provides more
comprehensive compliance and oversight management for the Agencyis currently providing grants
management and monitoring services for the following offices: Office of Financial Assistance;
Office of Small Business Development Centers; Office of Entrepreneurial Development; Office of
International Trade; Office of Government Contracting/Business Development; Office of Veterans
Affairs; Office of Technology; and Office of Native American Affairs.. This is a an Agency
Management Challenge initiative. OGM serves on the Integrated Award Environment-Financial
Assistance Committee for E- government (FACE) and the Data Act Committee, a Presidential
initiative managed by GSA promoting the use of innovative processes and technologies to improve
systems and operation for grants management.
FACA Boards:
N/A
External Stakeholders
Office of Management and Budget (OMB)
National Grants Management Association (NGMA)
Health and Human Services/GrantSolutions
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Organizational Chart:
Executive Director, Office
of Executive Management,
Installations, and Support
Services
Director, Office of Grants
Management
Grants Team A
Grants Team B
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Office of Personnel Security (OPS)
Office Description and Mission
The Office of Personnel Security (OPS), under the Office of Executive Management,
Installations and Support Services (OEMISS) is the program office in SBA, assigned
responsibility for managing national security programs including the adjudication and clearing
of potential staff to support the Agency’s mission at headquarters and in the field. OPS serves
the primary function of ensuring the handling of classified material, or those that will have
access to classified material, are thoroughly vetted with appropriate security spaces for review. It
ensures that personnel or contractor support hirings meet national, federal, and Agency standards
for suitability to support mission requirements while mitigating potential internal threats
Office Leadership
Director
Joseph Eitel
Major Components/Program Offices
Division/Branch Component & Key Leader
Suitability & Reinvestigations
Zina Hardy, Team Leader
Brief Description & Key Statistics
Responsible for determining employment suitability
and continued suitability through reinvestigations
Current Activities
• Manages the SBA Security Coordinating Council. Adjudicating over 10,000 staff and contractor personnel in
support of Office of Disaster Assistance and Office of Capital Access COVID19 support.
•
SBA Security Coordinating Council
FACA Boards:
N/A
External Stakeholders
• Office of Defense National Intelligence (ODNI)
• Federal Bureau of Investigations (FBI)
• Financial Crimes Network (FINCEN)
Key Office Events Hosted/ Supported
N/A
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Organizational Chart
Executive Director, Office of
Executive Management,
Installations, and Support
Services
Director, Office of Personnel
Security
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Office of Chief Information Officer (OCIO)
Office Description and Mission
Office of the Chief Information Officer delivers its services through a combination of employees and
contractors. The divisions provide Customer Service, Network Support, Application Development, IT
Security, Resource Management, IT Project Management, Enterprise Architecture services, and
participate in cross-Government initiatives. OCIO's computing services use best-practice processes that
follow SBA's Enterprise Architecture and are supported by strong capital planning and investment
control.
Our mission is to foster an environment in which information and technology are used to support and
enhance business decisions and Agency operations.
Office Leadership
Chief Information Officer
Keith A. Bluestein
Deputy Chief Information Officer
(A) James Nicholson
Director Resource Management Office
Chief Information Security Officer
James Nicholson
James L. Saunders
Chief Privacy Officer
Keith A. Bluestein
Director, Enterprise Architecture and Policy
Bill Hunt
Director, IT Services
Mary A. Boos
Director, Business Management Office
Melvin Brown
Director, Business Technology Solutions
Shaunda Ross
Chief Technology Officer
Sanjay Gupta
Major Components/Program Offices
Office/Component & Key Leader
Enterprise Architecture
Brief Description & Key Statistics
The Enterprise Architecture (EA) team strives to
provide the Small Business Administration (SBA)
with a strategic approach to align agency goals and
objectives with business processes and technology.
EA focuses on eliminating redundancies in
business processes and technologies, and focuses
on increasing efficiencies by promoting the use of
shared services. Shared services allow the agency
to increase productivity, while reducing overall
cost of IT. Additionally, EA provides governance
solutions enabling the SBA to better management
decisions.
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Resource Management Office
Resource management is the process by which we
manage our various resources effectively.
Resources can be intangible – people and time –
and tangible – equipment, materials, and finances.
It involves planning so that the right resources are
assigned to the right tasks. Managing resources
involves schedules and budgets for people,
projects, equipment, and supplies. Resource
Management enhances:
IT leadership financial overview of everyone and
everything involved in our organization,
makes the planning and management process more
transparent; identifies problems before they start;
control over the organization and each project.
Current Activities
There are several key activities that the OCIO will continue to undertake during FY 2021. Each of these
activities will focus on key people, process and technology improvements. Some of these key activities
include but are not limited to the following:
• Redesign and migration of data center to a Hosted service provider
• Continue to develop standards for application development platform, programming language,
and tool
• Redesign of the Washington DC area Metropolitan Area Network and migrate the point to point
communication circuit to NETWORKS contract.
• Continue security engineering assessment to determine security gaps and opportunities for
improvements
• Continue exploration of next generation security and systems engineering
• Continue work on the development of a service catalogue
• Continue work on software and asset management
•
•
•
Continue implementation of FITARA Action Plan
Continue efforts to outline 3-5 year strategic plan for OCIO
Some of the boards our leadership participates are as follows:
o Internal:
• Business Technology Investment Council (BTIC)-Co-chair
• Architecture Review Board (ARB)-Chair
• Enterprise Risk Board (ERB)- Member
o External:
• Chief Information Officer (CIO) Council-Member
• Chief Information Officer (CIO) Small Council-Member
• Chief Privacy Officer Council-Member
FACA Boards:
N/A
External Stakeholders
The key external stakeholders that OCIO engages on a regular basis are the Government Accounting
Office (GAO), the Office of Management and Budget (OMB) and Congress
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Key Office Events Hosted/ Supported
The OCIO hosts a monthly OCIO Town Hall meeting. We also directly support all of the audio and
visual requirements for any of the Administrator’s Town Hall meetings, the Peer-to-Peer sessions and
any other special agency-wide events (e.g., Ike Awards).
Organizational Chart:
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Office of Diversity, Inclusion and Civil Rights (ODI&CR)
Office Description and Mission
The Office of Diversity, Inclusion and Civil Rights (ODI&CR) serves as the equal opportunity arm for
the Small Business Administration and provides leadership in interpretation of statutes, regulations and
policies governing Federal Equal Opportunity issues. The mission of ODI&CR is to champion a diverse
workforce and inclusive culture by ensuring equal access and equitable treatment. The team provides
direction and guidance in carrying out the Administration’s equal opportunity (EO), diversity and civil
rights responsibilities, including administration of the statutory EEO complaint program for complaints
of discrimination by SBA employees and applicants for employment. The Civil Rights Compliance
component ensures that SBA’s federally conducted programs and recipients of federal grants comply
with anti-discrimination laws, regulations, and executive orders. Additionally, ODI&CR helps cultivate
a culture that encourages collaboration and fairness where all SBA employees can realize their full
potential through initiatives that promote diversity, inclusion and proactive conflict resolution.
Office Leadership
Assistant Administrator
Zina B. Sutch
Deputy Assistant Administrator
Gaye Walker
Major Components/Program Offices
Division/Branch Component & Key Leader
EEO Program
Title VII of the Civil Rights Act of 1964
Key Leader: Gaye Walker
Brief Description & Key Statistics
Complaint Processing – Processes complaints of
discrimination filed by employees or applicants for
employment who believe that they have been
discriminated against on the bases of race, color, sex,
age, religion, national origin, disability or reprisal.
Affirmative Employment Program – Designs and
implements the Agency’s programs, policies and
procedures regarding equal employment and diversity
and inclusion, including special emphasis programs,
employment of person with disabilities, diversity
management and training.
Civil Rights Compliance
Title VI of the Civil Rights Act of 1964
Key Leader: Gaye Walker
Compliance Reviews- ODI&CR audits and investigates
recipients of SBA grants to ensure compliance with
Title VI of the Civil Rights Act of 1964, which prohibits
discrimination on the basis of race, color, and national
origin in programs and activities receiving federal
financial assistance.
Conflict Resolution Center (The
Center)
Administrative Dispute Resolution Act of 1996
Coordinator: Robert Webb
Proactive Conflict Resolution Program- The Center
is an informal, confidential and voluntary resource that
helps empower employees to resolve conflict
proactively and at the lowest level possible. The Center
offers conflict coaching, facilitated discussions, group
facilitation and conflict management training.
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Current Activities
• Management Directive (MD) 715 report due to EEOC on January 30, 2021: EEOC’s MD 715
requires each agency to report annually on the status of activities undertaken pursuant to its equal
employment opportunity program under Title VII and its affirmative action obligations under the
Rehabilitation Act.
• Agency Input for FAIR Lending Report to Congress due to Consumer Financial Protection
Bureau (CFPB) on February 12, 202117- SBA is one of several agencies charged with
administrative enforcement of the Equal Credit Opportunity Act (ECOA) Section 704—which
prohibits lenders from discriminating against any applicant on the basis of race, color, religion,
national origin, sex or marital status, or age—and Regulation B, which requires a creditor to notify
an applicant of an adverse action on the application taken within 30 days. Additionally, collection of
information regarding race, sex, etc. is required to monitor the overall availability of credit to
protected groups and the compliance with the law.
• No Fear Act Report Due to Congress on March 30, 201721: The Notification and Federal
Employee Antidiscrimination and Retaliation (No Fear) Act of 2002 requires agencies to submit
to Congress, the EEOC and the Attorney General, an annual report that includes the agency's
fiscal year Equal Employment Opportunity complaint statistics.
• Agency Input for Annual Report of the CFPB to Congress due to Consumer Financial
Protection Bureau (CFPB) on May 31, 2021- SBA provides annual data regarding complaint
inquiries concerning the Electronic Fund Transfer Act and Regulation E – which establish the rights
and liabilities of consumers as well as the responsibilities of all participants in electronic funds
transfer activities.
• Agency Input for Annual Report of the CFPB to Congress due to Consumer Financial
Protection Bureau (CFPB) on May 31, 2021- SBA provides annual data regarding complaint
inquiries concerning the Truth in Lending Act (TILA) implemented by Regulation Z (12 CFR Part
226). A principal purpose of TILA is to promote the informed use of consumer credit by requiring
disclosures about its terms and cost.
• Annual Federal Equal Employment Opportunity Statistical Report due to the EEOC on
October 31, 2020- The EEOC requires agencies to provide an annual report of the status of all precomplaints and formal complaints processed under its EEO complaints program.
• Diversity & Inclusion Roadmap- Developing a comprehensive diversity and inclusion strategic
plan for the agency to include clear objectives and goals.
• Board Membership
SBA’s Executive Resource Board (Advisory Member)
SBA’s Performance Review Board (Advisory Member)
SBA’s Headquarters Board of Survey
SBA’s Critical Incident Response Team
Title VI Federal Interagency Working Group
FACA Boards:
N/A
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External Stakeholders
Equal Employment Opportunity Commission (EEOC)
Department of Justice Civil Rights Division
Consumer Financial Protection Bureau (CFPB)
SBA’s Grant and Loan Recipients (e.g., SCORE, Small Business Development Centers
(SBDCs), Women’s Business Centers (WBCs), Small Business Investment Companies (SBICs)
Key Office Events Hosted/ Supported
The following are Special Emphasis Observances implemented by Presidential Proclamation,
Executive Orders and Public Law as cited below:
African-American/Black History Month (Observed: February 1st – 29th)
National Women’s History Month (Observed: March 1st – 31st)
Asian Pacific Heritage Month (Observed: May 1st – 31st)
Lesbian, Gay, Bisexual, and Transgender Pride Month (Observed: June 1st - 30th)
National Hispanic Heritage Month Observed (September 15th – October 15th)
National Disability Employment Awareness Month Observed (October 1st – 31st)
National Native American Indian Month Observed (November 1st – 30th)
Conflict Resolution Day Observed (The 3rd Thursday of October)
Organizational Chart:
91
Office of Continuous Operations & Risk Management (OCORM)
Office Description and Mission
The mission of the Office of Continuous Operations and Risk Management (OCORM) is enterprise
wide. OCORM has responsibility for the Agency’s Disaster Planning and Readiness; Continuity of
Operations; Enterprise Risk Management; Audit Compliance; and Insider Threat. These enterprise-wide
functions foster a culture of awareness, collaboration, and preparedness in the event of an emergency,
recovery response for disasters, evaluation and assessment of the Agency’s critical risks and nonfinancial internal controls, and facilitating response, resolution, and compliance for Office of Inspector
General (OIG) and Government Accountability Office (GAO) audit findings. The Director of OCORM
serves as both the agency’s Continuity Coordinator and Senior Insider Threat Official.
Office Leadership
Director
Rafaela Monchek
Senior Planner
Joshua Barnes
Senior Policy Advisor
Enterprise Risk Management (ERM)
Andrea Peoples
Major Components/Functions
Division/Branch Component & Key Leader
Disaster Planning
Joshua Barnes
Interagency Preparedness Planning and
Coordination
Joshua Barnes
Audit Compliance
Rafaela Monchek
Mandana Yousefi
Ilene Rubio Ritter
Enterprise Risk Management
Andrea Peoples
Continuity of Operations Program Management
Joshua Barnes
Tony Lee
Gen Cogdell
Brief Description & Key Statistics
Statutorily required Disaster Planner independent of
Office of Disaster Assistance. Prepares annual Disaster
Preparedness and Recovery Plan (DPRP). Represents
SBA in interagency planning and coordination for
disaster preparedness and recovery. Leads
coordination of enterprise-wide economic recovery
coordination activities for COVID-19 and other
incidents nation-wide to engage multiple program
offices for promoting an integrated agency effort.
Leads SBA disaster and continuity planning and
coordination with The White House (WH)
National Security Council (NSC) and interagency
working groups, or other as needed national
preparedness and resilience subject matter.
Facilitates enterprise-wide compliance
with audit findings from General
Accountability Office (GAO) and SBA
Office of Inspector General (OIG).
Leads Agency Enterprise Risk
Management (ERM) Program implementation activities
and organization of the Enterprise Risk Management
Board to address the Agency’s critical risks.
Maintains SBA readiness for sustainment of
Mission Essential Functions. Leads agency
reporting to WH / Federal Emergency Management
Agency (FEMA). Prepares annual agency
Continuity of Operations (COOP) Plan. Conducts
sustained COOP readiness training. Conducts
annual COOP exercises in coordination with FEMA
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and interagency partners. Maintains SBA
Emergency Notification System (ENS) for staff
alert and notification during emergencies.
Insider Threat Program Management
Tony Lee
Leads ongoing establishment of nationally directed
Insider Threat Program (ITP) and policy implementation
across internal stakeholders (OHRS, OEMISS) and
external stakeholders (Department of Homeland Security
(DHS), Federal Protective Service (FPS).
Current Activities
Agency wide implementation of OMB Circular No. A-123, Management’s Responsibility
for Enterprise Risk Management and Internal Control (updated 2016). Advise senior
leadership on approaches and methods to mature SBA’s ERM capability, which includes
strengthening program and administrative risk management practices. Continuing to lead
agency-wide implementation efforts related to governance, processes, and culture.
As required by OMB Circular No. A-123, Appendix A, Management of Reporting and Data
Integrity Risk (updated 2018), beginning programmatic evaluation steps to design the internal
control over non-financial reporting program.
Advise the Fraud Risk Management Council (formed in 2019) on agency-wide
implementation efforts related to fraud risk, as outlined in the Payment Integrity
Information Act of 2019.
Ongoing development of Agency program to protect from Insider Threat and focus on
improving employee awareness and adapting to insider threat considerations for postCOVID-19 implications in telework, along with elevated physical risks due to increases in
staffing levels from COVID-19.
Refinement and implementation of new Audit Compliance Standard Operating Procedure
(SOP) to solidify the current OCORM-led facilitation, coordination, monitoring, and
resolution of active and open audit recommendations from the SBA Office of Inspector
General (OIG) and Government Accountability Office (GAO).
Facilitation of Agency strategic planning discussions and collaboration with SBA Offices on
the path forward and resolution of the Most Serious Management and Performance
Challenges Facing the Agency, as reported by OIG.
Development of SBA Integrity, a new audit case management system on the Insight
platform, in collaboration with OCIO and stakeholder input.
Interagency Readiness Support Function Leadership Group (RSFLG) development of National
Disaster Recovery Framework (NDRF) functionality and SBA integration with interagency
recovery operations.
Disaster Planning & Recovery Plan (DPRP) - (Currently under major revision pending results from
COVID-19 Mid-Course Review)
COVID-19 Mid-Course Review – In preparation for revising the DPRP, OCORM is leading an agencywide mid-course review to examine the agency’s response and recovery actions to identify strengths and
areas for improvement to inform future economic recovery operations.
Continuity of Operations (COOP) Plan – (Updated annually, currently under major revision based on
experience in sustaining mission-essential functions during COVID-19)
COVID-19 Reconstitution – Supporting the on-going consultation and implementation of the agency’s
Reconstitution Plan for all agency offices nationwide.
93
Board Membership:
o External
White House (NSC) Domestic Resilience Group (DRG) (PCC at Assistant
Secretary level)
White House National Security Council (NSC) Critical Infrastructure Security
and Resilience (CISR) (PCC at Assistant Secretary level)
Sub-PPCs (Include: Exercise and Evaluation, National Mission Assurance, and others
that are situationally established by the NSC.)
Interagency / FEMA-led NDRF RSFLG
Interagency / FEMA-led Continuity Advisory Group and Interagency
Continuity Working Group
Interagency / FEMA-led (National Exercise Division) Exercise
Implementation Committee
OMB Enterprise Risk Management Executive Steering Committee Member
Interagency/Department of the Treasury-led ERM Community of Practice
o Internal
Enterprise Risk Management (ERM) Board (Coordinator & Facilitator)
Senior Management Council (Co-Chair)
Fraud Risk Management Council (Facilitator)
Security Coordinating Council (Voting member)
Administrator’s Command Center (established for COVID-19 response and recovery,
OCORM serves as operational facilitator)
SBA Disaster Oversight Council (when activated under the DPRP)
FACA Boards:
N/A
External Stakeholders
White House National Security Council Staff
FEMA-led Recovery Support Function Leadership Group (RSFLG) and working level
counterparts in FEMA, Commerce/ EDA, HUD, HHS, and USDA)
FEMA- National Exercise Division
DHS – Federal Protective Service
Federal interagency elements:
o National Security Council committee structure, including the Domestic Resilience Group
o Recovery Support Function (RSF) structure defined by the National Disaster Recovery Framework
(NDRF) (e.g., RSF Leadership Group)
o Continuity of Operations bodies:
Small Agency Council (SAC) Interagency Continuity Working Group (ICWG) – currently
serve as Secretary
Continuity Advisory Group (CAG)
National Insider Threat Task Force (NITF)
National Exercise Program working groups
Key Office Events Hosted/ Supported
Biennial Disaster Senior Leadership Seminar. (Statutory requirement. Last conducted July 2018
– next required NLT December 2020.)
Annual National Continuity of Operations Exercise (EAGLE HORIZON) usually
conducted in the March to June timeframe every year as set by WH/ FEMA (canceled in
2020 due to COVID-19; SBA scheduling internal exercise for completion by end of 2020).
Monthly Meetings of the Agency Enterprise Risk Management Board. (Chaired by Deputy
Administrator – vice chair is Chief of Staff – and including top agency leadership at AA and
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“C” level offices.)
Quarterly meetings of the Insider Threat HUB
Insider Threat All-Hands Training (annually)
Monthly or more frequent Audit Review meetings between OCORM, SBA Offices, and OIG
Quarterly or as-needed meetings between OCORM, GAO, and SBA Offices
Compliance and Audit Process Training for SBA offices on an ongoing basis
95
Organizational Chart:
OFFICE OF CONTINUOUS OPERATIONS AND RISK MANAGEMENT (OCORM)
As of: 07/28/20
Director
Rafaela Monchek
Attorney Advisor
Michael A. Simmons**
Senior Planner
Senior Policy Advisor
(Enterprise Risk Management)
Joshua Barnes
Andrea Peoples
Senior Advisor
Ilene P. Rubio Ritter
Management and Program Analyst
Mandana Yousefi
Management and Program Analyst
Adrienne Dinkins
Program Analyst
Tony Lee*
Program Analyst
ODA Funded *
OGC Funded **
Gen Cogdell*
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Office of Human Resources Solutions (OHRS)
Office Description and Mission
The Office of Human Resources Solutions (OHRS) delivers customer-focused, efficient, and timely HR
solutions to approximately 2,000 employees at SBA headquarters and across 68 District Offices and 10
Regional Offices. OHRS sets the proper conditions for SBA to attract, develop, and retain a high
performing workforce committed to serving America’s entrepreneurs who rely on SBA services to create
jobs, deliver goods and services, and lift up our Nation’s economy.
Office Leadership
Chief Human Capital Officer
Elias Hernandez
Deputy Chief Human Capital Officer
Julie Brill
Chief, Enterprise Human Capital Initiatives
Denise Biaggi-Ayer
Major Components/Program Offices
Division/Branch
Brief Description & Key Statistics
Component & Key Leader
Executive
The OHRS Executive Resources team develops, formulates, coordinates, and
Resources
administers SBA’s executive and political personnel programs, to include
Political Appointees, Schedule C, Senior Executive Service (Career and NonKathy Mitcham
Career), and Senior Level employees. The team is responsible for the lifecycle
Kristan Avis
management of executives—recruitment, onboarding, development,
mobilization, retention, and off-boarding.
Strategy, Policy and
Accountability Division
Valencia Dickens
The Executive Resources team also serves as the executive secretary to, and
provides administrative support for, the Executive Resources Board (ERB) and
Performance Review Board (PRB). The ERB plays an active role in the
governance and oversight of executives and functions in an advisory capacity to
the Administrator. The ERB addresses executive personnel planning, utilization
of executive resources, executive development, and evaluation of executive
personnel programs, as well as the management oversight to the Presidential
Management Fellow program (PMF). The PRB is a board comprised of senior
executives responsible for reviewing, evaluating, and making recommendations
with respect to individual performance, awards, and bonuses of all career senior
executives.
The Strategy, Policy, and Accountability Division monitors legislative and
regulatory developments to facilitate compliance, leadership decision-making,
and program administration. It develops, implements, and maintains forward
leaning SBA HR policies (11 in FY2020). It is responsible for workforce
planning. It advises Program Offices in the development of organizational
restructuring proposals, functional statements, organizational charts, and
position management plans. It analyzes and reviews position structures and
requirements to maximize cost effectiveness and contribution to Program
Office goals. It evaluates the Agency’s Delegated Examining Unit, Merit
Promotion, and special hiring authority programs to ensure that hiring practices
comply with Merit Systems Principles and Federal regulations.
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Division/Branch
Component & Key Leader
Workforce
Acquisitions Division
Denise Sandoval
Organizational
Effectiveness
Division Joellen
Jarrett
Workforce
Relations Division
Miriha Furedi
Office of National
Labor Relations
Kelly Robinson
Brief Description & Key Statistics
The Workforce Acquisitions Division is responsible for recruitment,
classification, staffing, and merit promotion. Its goal is to help the Agency
secure talent needed to effectively service the needs of America’s
entrepreneurs. The Division collaborates with Program Offices to acquire high
caliber talent in a timely, efficient manner. The staff primarily is based in
Denver, Colorado.
Processed 741 actions to support agency staffing needs in FY20 (excluding
Schedule Cs, non-career/ career SES) which included 405 CARES Act
temporary employee actions.
The Organizational Effectiveness Division (OED) is responsible for talent
development, organizational development, employee engagement, and
performance management. The Division, led by the Agency’s Chief Learning
Officer, is responsible for formulating the Agency’s talent development strategy
and executing new employee acculturation, leader development, job-specific
technical training, supervisory training, certification, and experiential learning
programs in support of the strategy. The Division works closely with Program
Offices to establish linkages between organizational and individual performance,
evaluate performance, and identify / close skills gaps through education, training,
and experiential learning. This Division supports the agency’s Federal Employee
Viewpoint Survey and follow up action-planning.
The Workforce Relations Division assists Agency managers/ supervisors in
correcting poor performance, addressing conduct infractions, and meeting their
local labor relations responsibilities.
The Employee / Labor Relations Specialists are prepared to assist managers
throughout the Agency. The Washington, D.C. staff has opportunities to meet
face-to-face with many supervisors and employees and with the Mid-Atlantic
Regional Vice President of the largest AFGE Local in SBA. The staff supports
offices across the country, including the 68 District Offices within the Office of
Field Operations, Regional Offices within GCBD, and Loan Centers within the
Office of Capital Access.
The Office of National Labor Relations (ONLR) is responsible for SBA’s labormanagement relations program at the national (agency) level. ONLR leads all
national level union engagements and negotiations to include term and mid-term
negotiations for the master labor agreement (MLA) and all other enterprise-wide
agreements on new and revitalized programs and initiatives. ONLR provides
advice and guidance on labor relations issues at the enterprise level. Serves as
human resources representatives in third party proceedings including arbitrations,
unfair labor practices cases and other administrative proceedings. Engages the
union on the execution of legislative and regulatory changes in the furtherance of
efficient and effective programs across the agency. Its goal is to fosters a
collaborative labor-management relationship through consultation, continuous
communications, and encourage transparency with the union.
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Division/Branch
Component & Key Leader
HR Systems
Management and
Processing Division
Tanya Bennett
Brief Description & Key Statistics
Administrative Office
Charles Brinkley
The Administrative Office delivers cost-effective, responsive, and customerfocused support services. Services provided include contract management,
budget administration, facility support, and preparation of audit, Congressional,
and FOIA responses.
The HR Systems/Processing Division processes all personnel and payroll actions,
including employee benefits, and manages the time and attendance system. The
Division also develops and implements plans, procedures, and standards for HR
information systems and posts HR content on the SBA intranet. The Division is
leading the Agency’s migration to a new enterprise HR information system.
Current Activities:
• OHRS is implementing a web-based human capital management system – EmpowHR which will
provide full processing capabilities for all personnel actions, payroll transactions, and benefits
management. These actions include creation of new position records, reassignments, promotions,
awards, new hires and a variety of payroll documents.
• Leverage artificial intelligence (AI) to address customer needs and improve the efficiency in which we deliver
service.
• Conduct training needs assessment and develop strategies to address Mission Critical Occupations (MCOs)
requirements; develop career paths for the MCOs
• Develop an agency-wide National Workforce and Succession Plan
• Deploy SBA leadership succession plan;
• Implement SBA Strategic Workforce Plan 2017 – 2020
• Hiring additional 120+ Temporary employees to support SBA’s response to the pandemic.
• Implement Executive Order 13932-Determining Qualifications and the Use of Assessment Tools When Filling
Positions, to include full deployment of USAHIRE. The intent of the EO is to improve Federal hiring using
effective assessments and competency-based qualifications.
• Train new supervisors within 3 months of new appointments
• Improve employee engagement, in partnership with the Employee Engagement Action Planning
Committee as force multipliers on specific initiatives identified as high priority based on feedback
from the workforce.
• Continue to support SBA and the American Federation of Government Employees (AFGE)
Master Labor Agreement Negotiations
• Revamped New Employee Onboarding to fully virtual.
• Administer a new onboarding program to facilitate the acculturation of employees, including
MicroSoft Teams cohorts, and checklists for supervisors, the new employee, and a “buddy”
• Expand work-life efforts by engaging a network of Work-Life Engagement champions across the
agency.
• Streamline the hiring process and how we hire top-talent ensuring supervisors are well-prepared
on the staffing process and are aware of the various hiring authorities
• Offer Schedule A hiring authority for direct hire of temporary employees to support COVID-19
response.
• Update HR-related SOPs; recent updates resulted in the removal of OHRS from the Office of
Inspector General’s Human Capital Management Challenges
• Update three SOPs (Dispute Resolution SOP; Performance Management SOP; Discipline and
Adverse Action SOP) to fully implement Executive Orders: 13836 Developing Efficient, Effective,
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•
•
•
•
•
•
and Cost-Reducing Approaches to Federal Sector Collective Bargaining; 13837 Ensuring
Transparency, Accountability, and Efficiency in Taxpayer Funded Union Time Use; and EO
13839 Promoting Accountability and Streamlining Removal Procedures Consistent with Merit
Systems Principles.
Collaborate with Program Offices to post announcement of SBA details on the US Office of
Personnel Management’s “Open Opportunity” interagency site
Secured full certification of the Agency’s SES performance management system and full
certification of its SL performance management system in FY17 by OPM/ OMB. Both systems are
certified through late 2021.
Developed SBA’s Reconstitution Plan; respond to a variety of CO-19 employee situations related to
return-to-work; respond to individual pandemic related inquiries in a new mailbox dedicated to
Coronavirus questions
Offer refresher supervisory training to experienced supervisors every three years in accordance with
5 CFR 412.202 regulations.
Refine reporting capabilities to improve senior leadership visibility into the status of Employee
Relations cases involving poor performance and conduct infractions, instituting target timeframes to
drive greater accountability on the part of managers/ HR Specialists in completing steps required to
take disciplinary actions commensurate with the infractions.
Implementing SBA’s payroll/ benefits system and e-52 system in collaboration with the National
Finance Center, an OPM- approved HR shared services provider.
Board Membership:
• Internal:
• Advisor, Executive Resources Board
• Advisor, Performance Review Board
• Member, Enterprise Risk Management Board
• Member, Facilities Management Board
• Senior Management Council
• Member, Agency Fraud Council
• External:
• Chief Human Capital Officers Councils (CHCO / Deputy CHCO)
• SBA Senior Accountable Official for Employee Engagement
• Federal Chief Learning Officers Council
• Senior Executives Association
External Stakeholders
• U.S. Office of Personnel Management
• Office of Management and Budget
• U.S. Merit Systems Protection Board
• National Finance Center
• Interior Business Center
• Members, American Federation of Government Employees (bargaining unit employees)
Affinity groups
Key Office Events Hosted/ Supported
Internal:
•
•
IKE Awards Ceremony – annual event (all employees)
Strategic Start for Executives (4 sessions)
100
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
Developing Senior Leaders Who Build the Next Generation of Talent (30+ career/non-career
executives)
SES Panel (200+ employees)
Monthly HR Cafes (all SBA); sample topics:
• Use or Lose Leave
• Benefits Open Season
• Family Medical Leave
• Tips for Telework Success
• Managing Your Career
• Suicide Awareness
• Building Your Resilience
• Building Leadership Competencies; Aspiring SES Candidates"
New Employee Orientation (every other Monday)
Mentoring Program (50 pairs in FY2020)
PMC Interagency Rotations Program in collaboration with the US Office of Personnel Management
Peer-to-Peer Power Hour Learning Sessions (58 sessions; 500+ employees)
Supervisory Training (4 sessions basics for 1st time supervisors)
Supervisory Community of Practice (500 managers/ supervisors)
Briefings to the Enterprise Risk Management Board on Identified Agency-wide Risks:
- Succession Management
- Poor Performance / Conduct Infractions
Dealing with Poor Performance and Conduct Infractions Workshop (80+ managers/ supervisors)
Characteristics of High Performing Teams (60+ Field Staff employees)
Labor Relations training for supervisors/managers
Workshop on Developing and Identifying Measurable Results in SES / SL Performance Plans
for senior executives/ senior professionals
Employee Engagement Action Planning Committee Summit
OPM Hiring Excellence Workshop (50+ hiring managers/ HR specialists)
Multiple Policy Information Sessions with Employees and Managers during Pandemic
Return-to-Work training for 1) supervisors/managers, and 2) all employees during COVID-19
pandemic
Bi-weekly calls and information sessions with supervisors and employees during pandemic on
various policies and HR flexibilities (e.g., flexible work schedules to help manage dependent
care needs, the CARES Act Emergency Paid Sick Leave, overtime)
Federal Internal Coach Training Program for Governmentwide Chief Learning Officer community (8
month program with 128 participants from across the government)
Employee Assistance Program Overview (twice a year)
Modern Government Management Traits (MGMT), late FY2020. This program is based on Google’s
Project Oxygen which determined what makes a great manager.
Bi-weekly webinar series, Mindful Minutes, designed to support the overall well-being of all employees
during an extremely challenging time. The topics focus on supporting and building the capacity of
employees in the current environment. The series was launched June 10th and the sessions are recorded
and have included the following:
o June 10th – Building Resiliency During Uncertain Times (41 registered)
o June 24th – Navigating Change (75 registered)
o July 8th – Emotional Intelligence: Managing Self and Engaging Others (95 registered)
o July 21st – Difficult Conversations (99 registered)
o July 29th – Practice Session (~30 attendees)
o August 5th – Grit and Courage (85 registered)
o August 19th – Collaboration: Interpersonal Ingredients that Begin with You (45 registered)
101
External:
•
•
•
•
•
•
•
Contributor, OPM Pathways Program
Panelist, OPM-sponsored Federal Employee Development Evaluation Conference
Speaker, Government Workforce Conference, Association for Talent Development
Panelist, 2016 Annual Leadership Workshop, Asian American Government Executive Network
Member, OPM/ VA Council on Veterans Employment
Speaker, 2019 & 2020 Budget LoB Spring Forums
Speaker, 2020 OPM-Sponsored Organizational Culture and Excellence Workshop
Organizational Chart:
Chief Human Capital
Officer
Director, Office of
National Labor
Relations
Chief, Enterprise
Human Capital
Initiatives
Deputy Chief Human
Capital Officer
Chief, Workforce
Relations
Chief, Organizational
Effectiveness Division
Chief, Workforce
Acquisitions Division
102
Chief, HR Systems
Management &
Processing Division
Chief, Strategy, Policy
and Accountability
Division
Administrative Officer
Office of the National Ombudsman (ONO)
Office Description and Mission
The Office of the National Ombudsman (ONO) assists small businesses when they experience
excessive or unfair federal regulatory enforcement actions, such as repetitive audits or investigations,
excessive fines, penalties, threats, retaliation, or other unfair enforcement action by a Federal agency.
Office Leadership
Assistant Administrator, National
Ombudsman
Deputy National Ombudsman
Major Components/Program Offices
Office/Component & Key Leader
National Ombudsman and Deputy
National Ombudsman
Amber Richards
Mina A. Wales
Brief Description & Key Statistics
Execute HR, budget, financial reports,
performance management, data collection,
strategic initiatives and special projects. We work
directly with senior leadership at Federal agencies
to address and respond to regulatory and
enforcement issues from small businesses.
Current Activities
• Outreach Planning and Annual Regulatory Fairness Board Meeting Planning
• Strategic Planning and interaction with national Regulatory Fairness Board members
• Recruitment and vetting of potential Regulatory Fairness Board candidates
• Follow up interaction with high-level Federal agency officials on pertinent issues impacting large
numbers of small business entities (i.e. HHS/CMS and DOI/Fish and Wildlife, OSHA, IRS,
EPA)
FACA Boards
Regional Regulatory Fairness Boards (10)
External Stakeholders
All Federal Agencies
Key Office Events Hosted/ Supported
• Annual Regulatory Fairness Board Conference
• Regulatory Fairness Hearings and Business Roundtables throughout the nation
103
Organizational Chart
National
Ombudsman
Deputy
National
104
BIOGRAPHY - KEY STAFF LISTING
SBA HEADQUARTERS
Name
Jovita Carranza
William Manger
Christopher Gray
Stephen Kong
Major Clark
Bill Briggs
John Miller
Elias Hernandez
Julie Brill
Keith Bluestein
Vacant
Jim Billimoria
Erin McCracken
Michael Hershey
James Rivera
Kem Fleming
Zina Sutch
Allen Gutierrez
Adriana MenchacaGendron
George Koklanaris
Nancyellen Gentile
Sery Kim
Donald Malcolm
Smith
Michael Vallante
Victor Parker
Brittany Biles
Nina Levine
Dr. Francis
Spampinato
Title
SBA Administrator
Chief of Staff
Deputy Chief of Staff
Acting Chief Operating Officer
Acting Chief Counsel
Deputy Associate Administrator
Deputy Associate Administrator
Chief Human Capital Officer
Deputy Chief Human Capital Officer
Chief Information Officer
Deputy Chief Information Officer
Associate Administrator
Deputy Associate Administrator
Associate Administrator
Associate Administrator
Deputy Associate Administrator
(Acting)
Assistant Administrator
Associate Administrator
Office
Office of the Administrator
Office of the Administrator
Office of the Administrator
Office of the Administrator
Office of Advocacy
Office of Capital Access
Office of Capital Access
Office of the Chief Human Capital Officer
Office of the Chief Human Capital Officer
Office of the Chief Information Officer
Office of the Chief Information Officer
Office of Communications & Public Liaison
Office of Communications & Public Liaison
Office of Congressional & Legislative Affairs
Office of Disaster Assistance
Deputy Associate Administrator
Office of Entrepreneurial Development
Associate Administrator
Deputy Associate Administrator
Assistant Administrator
Office of Small Business Development Centers
Office of Small Business Development Centers
Office of Women's Business Ownership
Deputy Assistant Administrator
Office of Women’s Business Ownership
Associate Administrator
Deputy Associate Administrator
General Counsel
Deputy General Counsel
Office of Field Operations
Office of Field Operations
Office of General Counsel
Office of General Counsel
Office of Government Contracting and
Business Development
Office of Government Contracting & Business
Development
Office of Hearings & Appeals
Office of Continuous Operations and Risk
Management
Associate Administrator
Barbara E. Carson
Deputy Associate Administrator
Delorice Price Ford
Assistant Administrator
Rafaela Monchek
Director
Hannibal "Mike"
Ware
Inspector General
Sheldon Shoemaker
Andrea Deadwyler
Assistant Inspector General for
Management and Operations
Assistant Inspector General for Audits
Office of Disaster Assistance
Office of Diversity, Inclusion, and Civil Rights
Office of Entrepreneurial Development
Office of Inspector General
Office of Inspector General
Office of Inspector General
BIOGRAPHY - KEY STAFF LISTING
Name
Loretta Greene
Michele Schimpp
Donald DeFosset, III
Amber Richards
Mina Wales
Shawn Pensoneau
Title
Assistant Inspector General for
Investigations
Associate Administrator
Deputy Associate Administrator
Associate Administrator
National Ombudsman
Deputy National Ombudsman
Assistant Administrator
Tami Perriello
Chief Financial Officer
Melissa Atwood
Deputy CFO (Acting)
Jason Bossie
Director
Nate Reboja
Larry Stubblefield
Timothy Green
Director
Associate Administrator
Deputy Associate Administrator
Sean Crean
Executive Director
Brian Grossman
Office
Office of Inspector General
Office of International Trade
Office of International Trade
Office of Investment and Innovation
Office of the National Ombudsman
Office of the National Ombudsman
Office of Native American Affairs
Office of Performance Management and Chief
Financial Officer
Office of Performance Management and Chief
Financial Officer
Office of Program Performance, Analysis
and Evaluation
Office of Financial Systems
Office of Veterans Business Development
Office of Veterans Business Development
Office of Executive Management,
Installations and Support Services
SBA REGIONAL OFFICES
Name
Wendell G. Davis
Steve Bulger
Steve Bulger
Robert Scott
Justin Crossie
Thomas Salisbury
Daniel Nordberg
Michael Vallante
Jeremy Field
Title
Regional Administrator
Regional Administrator
Regional Administrator (Acting)
Regional Administrator
Regional Administrator
Regional Administrator
Regional Administrator
Regional Administrator
Regional Administrator
Regional Administrator
Office
New England Regional Office
Atlantic Regional Office
Mid-Atlantic Regional Office
Southeast Regional Office
Great Lakes Regional Office
South Central Regional Office
Great Plains Regional Office
Rocky Mountain Regional Office
Pacific Regional Office
Pacific Northwest Regional Office
SBA – Leadership Bios
Jovita Carranza
Administrator
Jovita Carranza serves as the 26th Administrator of the U.S. Small Business Administration (SBA). As a member of President
Trump’s Cabinet, she advocates on behalf of the 30 million small businesses in America. In her role as Administrator, she leads a
team of professionals dedicated to ensuring entrepreneurs located across America have the support and resources they need to start,
grow, and expand their small businesses, and recover in the event of a declared disaster.
Prior to leading the SBA, Administrator Carranza served as Treasurer of the United States at the U.S. Department of the Treasury
under President Donald J. Trump. In her role as a principal advisor to Secretary Mnuchin, Carranza focused on increasing
participation in our vibrant economy by fostering financial capability and sustainability.
Administrator Carranza is a Chicago native and founder of a small business consulting company. She previously served as the
Deputy Administrator for the SBA under former President George W. Bush, where she received a bipartisan, unanimous
confirmation by the U.S. Senate.
Before her first SBA appointment, Carranza had a distinguished 30-year career at United Parcel Service (UPS), where she was the
highest-ranking Latina in the history of the company. She started as a part-time, night-shift box handler and worked her way up to
President of Latin America and Caribbean operations.
Administrator Carranza earned her MBA from the University of Miami in Coral Gables, Florida and received executive,
governance, management, and financial training at the INSEAD Business School in Paris, France; Michigan State University; and
the University of Chicago.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
William Manger
Chief of Staff
William Manger currently serves as SBA's Chief of Staff as well as the Associate Administrator for the Office of Capital Access.
As Associate Administrator for the Office of Capital Access, Manger manages a portfolio of over $835 billion in direct and
guaranteed loans, nine operation centers, and 560 employees of SBA’s Office of Capital Access.
Prior to his SBA appointment, Manger served as Managing Director at Brock Capital Group, a boutique investment bank in New
York City, where he advised and supported small to medium sized enterprises in their efforts to raise capital and expand their
businesses.
From 2007 to 2009, Manger served as Associate Administrator for Field Operations at SBA. He first came to SBA in 2005 to
serve as Regional Administrator for Region 2, based in New York City. Manger holds an MBA from Columbia Business School
and a BA from Trinity College in Hartford, CT.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Christopher Gray
Deputy Chief of Staff
As the Deputy Chief of Staff, Chris Gray assists in leading the SBA and the Administration’s emergency capital relief response
efforts.
His promotion to Deputy Chief of Staff comes after two years of service at the SBA, during which time he held two titles: White
House Liaison and Senior Advisor to the Administrator.
Gray previously held roles in the Trump Administration, including Senior Associate Director of Intergovernmental Affairs at the
White House and Senior Advisor at the Export-Import Bank. He has worked in the private sector on Financial Services and
Government/Public Relations and also served four years in the Administration of Pennsylvania Governor Tom Corbett, where he
focused on Privatization, Innovation, Banking, and Energy Development.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Stephen Kong
Acting Chief Operating Officer
Steve is the Senior Advisor for Policy and Planning in the Office of the Administrator and has also been serving as SBA’s
Acting Chief Operating Officer since February 2020.
For most of his professional career, Steve has served in various attorney roles in both the private and public sectors. In
fact, in Steve’s first stint at SBA more than a decade ago, he was the Agency’s Deputy General Counsel and for nine
months the Acting General Counsel. Most recently, however, Steve was the Chief Counsel for the Economic
Development Administration (EDA) at the Department of Commerce and before working at EDA he owned his own law
firm specializing in the areas of commercial litigation, labor and employment law, and Federal small business programs.
Steve started as an attorney in New York City where he joined the Brooklyn District Attorney’s Office as an Assistant
District Attorney after graduating from Fordham Law School, and subsequently served two years as a Law Clerk for the
late Judith S. Kaye, the first woman to be appointed as Chief Judge of the Court of Appeals, New York State’s highest
court. Following his clerkship and before coming to Washington DC, Steve was a Litigation Associate at two of the
City’s premier law firms, Proskauer Rose LLP and Stroock & Stroock & Lavan LLP.
In addition to this legal experience, Steve has held positions with Andersen Consulting, Sterling Drug and CPA Global,
business experience that has given him valuable insight into the everyday needs and concerns of businesses and their
employees.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Major Clark
Acting Chief Counsel
Major Clark is responsible for government contracting issues, including regulations related to the HUBZone, 8(a), Small
Business Innovation Research, and Minority Enterprise Development programs. Currently, he is serving as Acting Chief
Counsel for Advocacy. In addition, he covers Research and Development, cybersecurity, Bureau of Industry and Security
export regulations and is a member of Advocacy’s international team. Major has been a member of the Advocacy team
since 1998. Before joining Advocacy, he was a senior corporate officer for one of the fastest growing minority-owned
businesses in the United States, the Maxima Corporation. During his 11 years at the Maxima Corporation, Major managed
several multi-million-dollar federal contracts and was the senior corporate officer for administration. In his earlier tenure
in public service, Major received national recognition as the first African American to serve as the chief administrative
officer for the Small Business Committee of the U.S. House of Representatives. Congress enacted numerous innovative
laws for small and minority businesses during this time, most still at the center of today’s federal small business programs.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Bill Briggs
Deputy Associate Administrator
Bill Briggs serves as the Deputy Associate Administrator in the SBA Office of Capital Access. Bill also serves as the SBA
Headquarters liaison to financial institutions regarding Economic Injury Disaster Loans (EIDL) made by SBA’s Office of Disaster
Assistance.
The Office of Capital Access helps make funding available through banks and other lending partners to small business that cannot
otherwise obtain loans. Bill helps implement policies and plans for the SBA’s loan program policy, technology, operations, and
oversight. This includes SBA’s flagship 7(a) and 504 loan programs, the Microloan program, and the surety bond program.
Currently Bill coordinates communications, policy, operations, and Agency implementation efforts for the Paycheck Protection
Program.
Prior to his current SBA appointment, Briggs’s background includes two decades at the intersection of public policy and the
financial services industry. A veteran of three presidential campaigns, his experience also includes work in the NY state legislature,
the federal government and numerous issue advocacy campaigns. Bill has served two Presidents, a Vice President, two leading
presidential candidates, two large state governors, two Cabinet Secretaries and a committee chairman.
A native of New York, Briggs has a degree in economics from the University of Michigan.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
John Miller
Deputy Associate Administrator
John Miller supports Associate Administrator William Manger in leading Office of Capital Access loan program policy,
technology, operations and oversight, including: the agency’s flagship 7(a) and 504 Loan programs, the PPP Loan Program,
Surety Bond Program, Microloan Program, and the SBA's $835 billion portfolio of direct and guaranteed loans.
Previously, Miller served as the Director of Financial Program Operations and was responsible for the SBA's loan operations
centers and portfolio management.
He joined the SBA in 1999 as a commercial loan specialist in the Seattle District Office. Prior to that, Miller served at the Federal
Deposit Insurance Corp. for nine years as a financial analyst in Irvine, California and San Antonio, Texas.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Elias Hernandez
Chief Human Capital Officer
Elias Hernandez was appointed as the U.S. Small Business Administration’s Chief Human Capital Officer on June 27, 2016. Mr.
Hernandez is responsible for developing and implementing SBA’s human capital strategy to carry out the Agency’s
responsibilities for selecting, developing, and managing a high-caliber workforce ready to support America’s entrepreneurs as they
seize opportunities to grow and reach new markets. He is also accountable for the Agency’s overall human capital program, which
includes human resources policy, recruitment, employee development, retention, executive resources, strategic workforce
planning, performance management, compensation and benefits, leave administration, labor & employee relations, work/life, and
HR IT systems.
Mr. Hernandez previously served as Chief Officer of the Veterans Health Administration’s (VHA), Workforce Management and
Consulting Office. In this role, he provided technical expertise to the Under Secretary for Health and National Leadership Council
on Human Capital Management matters and the overall delivery of Human Resources (HR) service to VHA. He also had
oversight of over 350 staff with a $155 million budget supporting over 5,000 HR Professionals located throughout the United
States, including Hawaii, Alaska and Puerto Rico. Mr. Hernandez led the VHA’s HR program which supported 18 Veterans
Integrated Service Networks and 141 Medical Centers consisting of more than 317,000 clinical and administrative support
employees and nearly 120,000 health professions trainees.
Mr. Hernandez retired from the Army at the rank of E-9—Sergeant Major—after 24 years of distinguished active duty military
service. He holds a Master of Science degree in Human Resources Management and Development from National-Louis
University.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Julie Brill
Deputy Chief Human Capital Officer
Julie Brill was appointed as the U.S. Small Business Administration’s Deputy Chief Human Capital Officer in June 2019. Ms.
Brill’s responsibilities cover all aspects of human resources and human capital management, including the selection, development,
and management of SBA’s workforce in support of the agency’s mission.
Ms. Brill previously served in various roles at the US Office of Personnel Management (OPM), including the Manager of
Leadership and Executive Development and Work-Life policy. In this role, she provided governmentwide oversight and guidance
for the development of leaders at all levels of the government, as well as the well-being of all Federal employees. Her portfolio
also included outreach and support to agencies as they worked on improving employee engagement. In addition, Ms. Brill served
as OPM’s Deputy HR Director, Director of HR Policy and Chief Learning Officer, and a Personnel Psychologist.
Ms. Brill received her Bachelor of Arts degree in Psychology from Vassar College, a Master of Science degree in Clinical
Psychology from American University, and a Master of Science degree in Industrial/Organizational Psychology from The
Graduate Center of City University of New York (Baruch College).
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Keith A. Bluestein
Chief Information Officer
Mr. Bluestein reported as the Chief Information Officer (CIO) in June 2020. His team leads the Agency’s development
and execution of strategy, planning, management, and delivery of the agency's information technology (IT) services. This
includes orienting the agency’s strategic direction in leveraging data and technology to provide an optimal citizen
experience when interacting with the SBA.
Prior to his current position, Mr. Bluestein was assigned to NASA as the Associate Chief Information Officer (ACIO) for
Enterprise Service and Integration (ES&I) in October 2016. ES&I manages the portfolios for Enterprise IT services within
the Office of the CIO. This included Applications, End User Services (EUS), Communications, Computing, Information
Management, Collaboration, and Enterprise Integration in the ES&I portfolio.
Preceding his assignment at NASA, Mr. Bluestein served as the Acting Chief Information Officer (CIO) at the U.S. Small
Business Administration’s (SBA). He led the Agency’s development and execution of strategy, planning, management,
and delivery of the agency's information technology (IT) services. He oversaw all aspects of enterprise IT services,
systems, investments and security for the community’s extensive and geographically dispersed user base. During his
tenure, SBA replaced their entire national network infrastructure, moved agency e-mail to a cloud-based service, and
strengthened network security.
Previous to the SBA, Mr. Bluestein served as the Department of the Navy’s (DON) Special Access Program (SAP) CIO
from 2010. In that role, he was responsible for the strategy, planning, management, and delivery of the DON's SAP
information technology (IT) services. He oversaw all aspects of enterprise IT services, systems, investments and security
for the community’s extensive user base. He was also responsible for formulating and executing an overall technology
strategy in support of the Navy’s classified acquisition mission.
Prior to his civilian government service, Mr. Keith Bluestein served in the United States Navy as a naval officer and
aviator from 1984 to 2004. He served in several P-3C Orion squadrons and had operational command during his last P3C tour of duty in support of Operation Enduring Freedom.
Mr. Bluestein’s educational background includes degrees in Business administration from Arizona State University (BS)
and San Jose State University (MBA) and a degree in Government Information Leadership from National Defense
University (MS).
Keith Bluestein and his wife Stacy have five children and live in Springfield, Virginia.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Michael Hershey
Associate Administrator, Office of Congressional and Legislative Affairs
Mike was a principal at Columbia Strategies, a government relations and consulting firm in the broadcast industry. The firm’s
portfolio addressed communications, policy, and legal issues related to copyright law, communications and tax law. He was the
Senior Vice President of Government Relations for the National Association of Broadcasters, where he advocated for 8,300
television and radio association members. Mike served as Chief of Staff and Legislative Director for U.S. Senator Rick Santorum
(R-PA). He was also a Ways and Means Associate and served as a legislative aide to his hometown congressman Representative
Bob Walker (R-PA).
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Jim Billimoria
Associate Administrator, Office of Communications and Public Liaison
Jim Billimoria is the Associate Administrator for the Office Communications and Public Liaison at the U.S. Small
Business Administration. Billimoria brings a variety of federal government and private sector experience to the position.
He most recently worked as a Public Relations Manager at Amazon in Seattle, Washington, where he oversaw PR for the
company’s transportation delivery programs including Amazon Prime Air cargo planes, line haul trailers, and its
relationship with the United States Postal Service. Other private sector experience includes his work at a Washington, DC
based crisis communications firm.
Prior to his time at Amazon, Billimoria served as Communications Director for the House Committee on Transportation
and Infrastructure led by Chairman Bill Shuster. By using traditional, digital, and social he rebranded the Committee and
Chairman to show both as thought leaders on transportation technology and innovation policy. Other positions held on
Capitol Hill include serving as Communications Director on the House Ways and Means Committee, Communications
Director for Congressman Tom Price, and as a press assistant ant the House Republican Conference.
Billimoria earned a Bachelor of Science degree in Finance from the University of Illinois at Urbana-Champaign and a
master’s degree in media and public relations from Johns Hopkins University. He is originally from Palatine, IL and
resides in Washington, DC with his wife and golden retriever.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Erin McCracken
Deputy Associate Administrator for Office of Communication and Public Liaison
Erin McCracken assists with the strategy formation and implementation of the Administrator’s and the Agency’s external
and internal initiatives, engagements, policy statements and communications while upholding the SBA’s mission to
empower small businesses. She works as a senior leader to provide executive management, direction, support and
oversight to the entire Office of Communications and Public Liaison’s departments of Press, Marketing, Digital Media
and Strategic Alliances.
Prior to joining the SBA, Erin served several Members of Congress and their constituencies through 12 years of combined
professional communications roles in the U.S. House of Representatives and U.S. Senate. Erin is a graduate of the
University of North Florida with Bachelor of Arts degrees in Political Science and International Studies.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
James Rivera
Associate Administrator, Office of Disaster Assistance
James Rivera was named Associate Administrator for SBA’s Office of Disaster Assistance in November 2009. On
average his office approves over 20,000 loans a year totaling about $1 billion in responding to hurricanes, floods,
tornadoes, etc. Most recently, disaster loans for Harvey, Irma and Maria hurricanes totaled $7.4 billion. And, as a result
of the COVID-19 pandemic, SBA approved over 3.6 million loans for $194 billion in working capital. This is the SBA’s
sole direct lending program
Rivera has also served as deputy associate administrator of the office and he was instrumental in leading several efforts to
improve the agency’s disaster operations after hurricanes Katrina, Rita, and Wilma. Rivera started his SBA career in 1989
as a disaster loan specialist in Ft. Worth, Texas. He joined the Office of Disaster Assistance team in Washington, D.C., in
1994. Rivera has provided leadership in a number of capacities at SBA since that time. For example, from 2002 to 2006,
he served as associate administrator in the SBA’s Office of Financial Assistance. Also, he served for a year as assistant
administrator for Equal Employment Opportunity and Civil Rights Compliance.
Rivera private sector experience comes as a commercial loan officer specializing in marketing, underwriting and closing
transactions in commercial real estate, wholesale and retail markets. He received a Bachelor of Business Administration
degree in Finance and Economics from Texas Tech University.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Donald DeFosset, III
Associate Administrator, Office of Investment and Innovation
Mr. DeFosset is responsible for leading programs that provide the high-growth small business community with access to
financial capital and research and development (R&D) funds to develop commercially viable innovations. He oversees the
four high-growth small business programs aligned with OII – Small Business Investment Companies (SBICs), Small
Business Innovation Research (SBIR), Small Business Technology Transfer (STTR), and Growth Accelerator Fund
Competition.
Mr. DeFosset joins SBA from the DJD Group, where he served as the Chief Investment Officer. In this role he led venture
capital and private equity investments. Responsibilities also included corporate strategy improvement, recruitment of key
portfolio team members, and direct oversight through board positions. Recent industry experience includes investments in
fintech, datacenters, space, consumer, biotech and energy. Previously, he was a partner and founding member in two
multi-strategy investment funds in New York, one which was nominated for Emerging Manager of the Year in 2010.
Before his work in the public markets, he led a variety of transactions in Private Equity at Andersen Weinroth. He began
his career in the M&A Group at Donaldson, Lufkin & Jenrette where he closed domestic and cross border M&A deals. He
is a 2000 graduate from the College of Engineering at the University of Michigan.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Kem Fleming
Acting Deputy Associate Administrator, Office of Disaster Assistance
Mr. Kem R. Fleming is the Acting Deputy Associate Administrator for the Office of Disaster Assistance (ODA), U. S.
Small Business Administration (SBA) in Washington, DC. He is responsible for planning, programming, developing,
implementing, and evaluating the SBA’s disaster loan program throughout the nation.
Prior to his current assignment, Mr. Fleming was the Director, Field Operations Center East, Office of Disaster Assistance
(ODA), U. S. Small Business Administration (SBA) in Atlanta, GA. He was responsible for managing the field delivery of
the SBA disaster loan program to businesses of all sizes, homeowners, renters, and private, non-profit organizations at
disaster sites. In his position, Kem has managed several major disaster declarations to include the recovery efforts during
Super Storm Sandy and Hurricanes Irma and Maria.
Prior to joining SBA, Mr. Fleming served in the United States Army for 21 years. Kem has over 30 years of operational
and leadership experience while serving in several key command and staff positions throughout his career. His extensive
operational experience includes his participation in multiple operational deployments to Iraq, several National Level
Homeland Defense exercises and several real-world disaster response missions.
Prior to his military retirement in 2012, Mr. Fleming served as the Chief of Staff and Chief Operations Officer for Task
Force 51/U.S. Army North, which is an all-hazard disaster response force responsible for providing Department of Defense
support to Civil Authorities (DSCA) during a natural or manmade disaster.
Mr. Fleming earned a Bachelor of Science degree in Business Management from Southern University, a Master of Business
Administration (MBA) from Troy University and a Master of Professional Studies in Homeland Security from Pennsylvania
State University. Mr. Fleming’s military awards and decorations include the Legion of Merit, Bronze Star (2 Oak Leaf
Cluster), Meritorious Service Medal (3 Oak Leaf Clusters), Army Commendation Medal (with Oak Leaf Cluster), Army
Achievement Medal, and the Parachutist Badge.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Zina Sutch
Assistant Administrator, Office of Diversity, Inclusion, Civil Rights
Dr. Zina Sutch serves as the Assistant Administrator for the Office of Diversity, Inclusion, and Civil Rights. In this role, Dr. Sutch
will serve as the principal agency advisor for transforming ODI&CR programs and providing strategic direction to the
Administrator and other agency officials. She will be responsible for managing, directing, and coordinating a variety of high-level
projects and policy issues to ensure maximum support of ODI&CR operations. As Assistant Administrator for ODI&CR, she will
be responsible for carrying out the civil rights responsibilities under Title VI of the Civil Rights Act of 1964 and applicable
Executive Orders, including investigations, negotiations, and compliance activities.
Dr. Sutch joins SBA from the Office of Personnel Management (OPM), where she served as the Deputy Associate Director,
Outreach, Diversity and Inclusion. In this position, she served as an advisor to government-wide leaders, Agency Heads, Diversity
Officers, Human Resources Directors, and senior leaders providing policy, guidance, management, budget, and technical
assistance on diversity and inclusion matters. She conducted analysis and research on cross-functional recruitment and retention,
talent management, workforce planning, and employee inclusion and, ultimately, engagement efforts.
Prior to this position, she served as the Director of Diversity and Inclusion at OPM, where she developed government-wide
policies and guidance to assist Federal agencies in building diverse workforces and inclusive and engaged organizational cultures
that leverage diversity and provided expert advisory services to Federal agencies undergoing cultural transformation. In this role,
Dr. Sutch developed, implemented, and coordinated the government-wide diversity and inclusion strategic plan in support of the
Administration's policy.
In addition to her experience, she has earned a Bachelor of Arts in Business and Economics from Clark University, a Master of
Arts in Special Education from George Washington University, and a Doctor of Philosophy in Special Education from the
University of Maryland.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Allen Gutierrez
Associate Administrator, Office of Entrepreneurial Development
As Associate Administrator of the Office of Entrepreneurial Development, Allen Gutierrez is dedicated to enhancing the
nationwide network of offices, business executives, and mentors that support current and aspiring business owners as they start,
grow, and compete in today’s global market. This nationwide network includes the following Resource Partners: Women’s
Business Centers (WBCs), Small Business Development Centers (SBDCs), and SCORE.
Most recently, Gutierrez served as the national executive director of The Latino Coalition (TLC). Under his leadership, the
coalition grew to include 1.2 million Hispanic business owners and over 90 coalition partners, transforming TLC into one of the
nation’s largest and most effective Latino advocacy groups.
Gutierrez previously served in the U.S. Small Business Administration from 2001 to 2006; during his tenure, he served as Senior
Advisor to the Chief Operating Officer, as well as Senior Advisor to the Office of International Trade. As a member of the senior
management team, Gutierrez served on the Executive Resource Board and executed the President’s Management Agenda to create
a more transparent and results-orientated agency. During his tenure in the Office of International Trade, Gutierrez served as the key
representative for SBA during the CAFTA-DR negotiations, which was signed into law as the first free trade agreement between
the United States and a group of smaller developing countries.
Born in San Jose, Costa Rica, Gutierrez immigrated to California in 1974, where he achieved his dream of becoming the first
member of his family to graduate from an accredited four-year college. He earned his Bachelor of Arts in political science with a
minor in business administration from the University of Southern California.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Adriana Menchaca-Gendron
Deputy Associate Administrator, Office of Entrepreneurial Development
Adriana Menchaca-Gendron has over 24 years of private and public sector experience. Prior to joining the Federal Government in
2004, she worked in the finance and insurance industries, both domestic and abroad, where she specialized in small
business lending.
As the Deputy Associate Administrator for the Office of Entrepreneurial Development (OED), Adriana is responsible for
managing the operations of a division of SBA that supports more than 1 million small businesses every year through a nationwide
network of partners and resources, including Small Business Development Centers, Women’s Business Centers, SCORE, ScaleUp America, Regional Innovation Clusters, Emerging Leaders, and SBA’s on-line Learning Center.
Prior to joining SBA, Adriana was the Deputy Executive Officer for the Office of Regulatory Affairs at the Food and Drug
Administration (FDA), where she had oversight of a geographically dispersed organization with 220 employees and a budget of
approximately $1 billion, providing support to over 4,500 regulatory employees. As the Deputy Executive Officer, Adriana led
the areas of workforce development, human resources, management operations, budget, and financial management. Prior to
joining FDA, Adriana was the Acting Deputy Chief Officer for Legislative, Regulatory and Intergovernmental Affairs in the
Veterans Health Administration at the Department of Veterans Affairs. Adriana has also worked in the Office of the Inspector
General and the Office of the Chief Financial Officer at the Department of Labor.
Adriana earned her B.A. in Political Science from Texas A&M University. She also attended graduate school at the University of
Navarra in Pamplona, Spain, where she studied international law.
Adriana lives with her husband and eight-year old daughter in Columbia, Maryland. They also have two adult 22-year old sons.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Michael Vallante
Associate Administrator / Regional Administrator, Office of Field Operations
Michael Vallante serves as Associate Administrator for the Office of Field Operations and Regional Administrator for SBA's
Pacific Region
A former entrepreneur, Vallante has extensive experience in communications and public relations. His company provided
consulting and strategic communications services for small businesses and non-profits around the country. He previously served
as Chief Staff to the Co-Chairman of the Republican National Committee in Washington, DC. Before that, he was Chief Operating
Officer of the California Republican Party from 2003 to 2007, and Chief of Staff for the non-profit Minneapolis-St. Paul Host
Committee which organized the 2008 Republican National Convention in Minnesota.
A Rhode Island native, Michael Vallante is a graduate of Providence College, and moved to Southern California in 1999.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Victor Parker
Deputy Associate Administrator, Office of Field Operations
Victor Parker serves as Deputy Associate Administrator for the Office of Field Operations for the Los Angeles District Office.
Prior to joining the SBA, Victor worked in various capacities as a small business manager and corporate executive for nearly 20
years. His responsibilities included managing regulatory affairs, intellectual property licensing agreements, and contract
negotiations. As his career advanced, he also gained expertise in small business joint venture manufacturing with in-depth
consulting agreements, and supplier diversity development and expansion. He has experience with SBA programs from the small
business side, government contracting and the 8(a) certification process in particular.
In addition to Victor’s broad management and leadership experience in the private sector, he is actively engaged in serving several
civic, nonprofit and community-based organizations in the Southern California area, including serving on the Civil Service
Commission, Sustainable City Committee and on the Board of Directors of the Community Development Centers, Inc.
Victor earned his Bachelor’s Degree from the University of California at Berkeley and Juris Doctor from Pepperdine University
School of Law.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Brittany Biles
General Counsel
She joined SBA from the Executive Office of the President, Office of the White House Counsel where she served as the
Special Assistant and Associate Counsel to the President. In this role, she advised on legal issues that arise from the
development and implementation of policies concerning financial regulations and reform, consumer protection,
transportation, education, emoluments, and pardons. She also served as a legal contact for departments and agencies,
including the Department of Treasury, Transportation, Housing and Urban Development, and Education as well as the
Securities and Exchange Commission, the Federal Trade Commission, and the Consumer Financial Protection
Bureau. Prior to this role, she has served as the Assistant Chief Litigation Counsel, Securities and Exchange Commission,
Division of Enforcement Trial Unit where she investigated and litigated complex enforcement actions involving insider
trading, accounting and disclosure fraud, registered and unregistered securities offerings, market abuses, and
misconduct. She has also served as a Partner for Stein Mitchell Beato & Missner LLP where she litigated significant
cases on behalf of entertainment, financial services, technology, manufacturing, and professional services clients. In
addition to her experience, she earned a Juris Doctorate from Duke University School of Law and a Bachelor’s of Arts in
Political Science from University of North Carolina at Chapel Hill.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Nina Levine
Deputy General Counsel
Nina Levine has served in a leadership role in SBA’s Office of General Counsel for over 15 years. Since 2005, she has held two
positions simultaneously – serving as both Deputy General Counsel and as Associate General Counsel for Financial Law and
Lender Oversight. In these capacities, she is responsible for managing the Agency’s law office and for providing legal services to
the Agency, particularly in support of its financial and investment programs. These programs include SBA’s business loan,
disaster loan, surety bond, and small business investment company (SBIC) programs.
Prior to joining SBA, she worked as a corporate attorney at Simpson Thacher & Bartlett in New York. She received her B.A. from
Columbia University and her J.D. from Columbia University Law School.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Francis Spampinato
Associate Administrator, Office of Government Contracting and Business Development
Dr. Francis Spampinato has been selected to join SBA as the Associate Administrator for the Office of Government
Contracting and Business Development (GCBD) effective Sunday, June 21, 2020. In this role, Dr. Spampinato will serve
as an advisor to the Administrator in the development of policies, operating procedures, and standards for effective
implementation, administration, and promotion of SBA’s contracting, business development, HUBZone empowerment,
and liaison programs. GCBD programs and services assist small businesses in meeting the requirements to receive
government contracts, either as prime contractors or subcontractors. The office also oversees special initiatives, such as
the Women's Procurement program, Veteran's Procurement program, Procurement Awards program, and the Annual Joint
Industry/SBA Procurement Conference. Dr. Spampinato will oversee GCBD’s integral role in the formulation of federal
procurement policies that affect small businesses. In this role, he will further foster an environment for maximum
participation by small, disadvantaged, and women-owned businesses in federal government contract awards and large
prime subcontract awards.
Dr. Spampinato is a seasoned leader with over twenty-five years of experience as a professional administrator, including
eight years as a Senior Executive in the federal government. He has led large teams at the Department of Energy,
Department of Transportation, and Department of Homeland Security. He will bring in-depth knowledge, experience, and
leadership in customer service, strategic planning, and program execution to the position. He joins SBA from CTR
Management, LLC, where he served as the Program Manager responsible for all aspects of contract management for the
U.S. General Services Administration’s Enterprise Infrastructure Solution contact. Prior to that role, he served as the
Chief Procurement Officer for Federal Emergency Management Agency with Homeland Security, where he worked
closely with agency officials on contract and grant compliance during disaster recovery efforts and served as the head of
contracting activity for a $5-$15 billion disaster and non-disaster budget. Before that role, he served as the Director,
Acquisition and Contracting for the Federal Aviation Administration with Treasury where he conducted small business
outreach, served as the steward for a $4 billion acquisition budget, and oversaw the restructuring of the contracting
organization to meet increased demand. Additionally, Dr. Spampinato served as the Chief Acquisition Officer at Energy,
where he managed a $23 billion acquisition budget, served as a member of the Small Business Revenue Team, and
provided key strategic direction on acquisitions. In addition to his experience, he has earned a Juris Doctorate from
Catholic University, a Doctorate and Masters in Public Administration from the University of Southern California,
Masters in Science in Public Administration from Central Michigan University, and Bachelor's in Accounting from Siena
College.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Barbara E. Carson
Deputy Associate Administrator, Office of Government Contracting and Business Development
Barbara Carson is the U.S. Small Business Administration’s Deputy Associate Administrator for the Office of Government
Contracting and Business Development. She joined the SBA in June 2013.
In this role, Carson advocates for small business contracting opportunities in federal agencies and enhances SBA federal
procurement programs including 8(a), HUBZone, Woman-Owned Small Business and All Small Mentor Protégé programs. She
and her team support thousands of small businesses every year as they compete for over $500 billion in federal prime contracts and
billions more in subcontracts.
In her previous assignment, Carson served as the SBA’s Associate Administrator for the Office of Veterans Business
Development. Her military background was an asset to the program, having served over 20 years as an active duty and reserve
officer.
Carson is also Colonel in the U.S. Air Force Reserve (USAFR), assigned to the Office of the Chairman of the Joint Chiefs of Staff,
Office of Public Affairs. Her experience includes nuclear command and control and public affairs assignments across the United
States, Japan and Europe.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Delorice Price Ford
Assistant Administrator, Office of Hearings and Appeals
Delorice Price Ford was appointed Assistant Administrator for the Office of Hearings and Appeals in 2002. She ensures fair and
prompt adjudication of agency appeals in several jurisdictional areas. She is the SBA’s Chief FOIA Officer, maintaining
responsibility for strengthening and improving the agency's Freedom of Information and Privacy Acts programs.
Prior to her appointment to Hearing & Appeals, Ford held a number of leadership positions within the agency, including Assistant
Administrator for 8(a) Program Development, Assistant Administrator for Procurement Assistance, Associate Administrator for
the Office of Business Development, Senior Adviser to the Associate Administrator for the Office of Government Contracting and
Business Development, and Acting Assistant Administrator for the Office of Equal Employment Opportunity and Civil Rights
Compliance. She effectively managed several national programs that offered marketing, entrepreneurial development, technical
support, and contract assistance to help small businesses achieve their fullest potential. She was instrumental in developing
innovative contracting vehicles that significantly increased small-business procurement opportunities. Throughout her career, Ford
has distinguished herself as a leader with drive and selfless commitment to public service.
Prior to joining the SBA, Ford had an extensive career in aerospace engineering, business development, information technology,
and federal and commercial contracting. She combined her legal and business expertise to help expand several companies involved
in a variety of cutting-edge technologies. She was a highly recruited and well respected professional in the corporate arena prior to
moving into government service.
Ford holds a J.D. from the University of Maryland and a bachelor’s degree from Earlham College.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Rafaela Monchek
Director, Office of Continuous Operations and Risk Management
Rafaela Monchek serves as Director of the Office of Continuous Operations and Risk Management (OCORM) since July
2020. OCORM is a strategic office with five enterprise-wide focus areas: Continuity of Operations (COOP); Disaster Planning;
Enterprise Risk Management (ERM); Audit Compliance; and Insider Threat, and each requires considerable program collaboration
to develop a culture of awareness and sensitivity.
Monchek served as Deputy Associate Administrator for the Office of Disaster Assistance (ODA) from October 2017 to July 2020,
with operations oversight for multiple national disasters including the record 2017 Hurricane season.
Prior to joining SBA, Monchek held numerous positions in disaster recovery and readiness to include, Director for Recovery
Policy with The White House, National Security Council; Senior Advisor on Emergency Management for the Secretary of the
Department of Homeland Security (DHS); and Homeland Security Senior Advisor on Emergency Management to the Secretary of
the Department of Housing and Urban Development (HUD).
Monchek has also served in several key positions at FEMA, including Deputy Assistant Administrator for National Preparedness;
Chief of Operations for the Mission Support Bureau; Special Assistant to the Acting Deputy Administrator; Deputy Director of the
Interagency National Disaster Housing Task Force; and Applicant Services Manager for the Maryland National Processing Service
Center.
Monchek began her federal career with the Department of the Interior’s (DOI’s) South Florida Ecosystem Restoration Task Force,
where she was responsible for coordinating federal and non-federal Everglades National Park restoration projects. She has a
Bachelor of Arts degree in Anthropology from the University of Florida, and a Master of Science degree in Environmental Science
from Florida International University.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Hannibal "Mike" Ware
Inspector General
Hannibal “Mike” Ware was sworn in as Inspector General on May 24, 2018, following his confirmation by the U.S. Senate. He is
responsible for independent oversight of SBA’s programs and operations, which normally encompass more than $100 billion in
guaranteed loans and nearly $100 billion in Federal contracting dollars. As a result of SBA’s role in the nation’s pandemic
response, he is providing oversight of over a trillion dollars of lending authority aimed at stabilizing the nation’s economy and
providing vital capital to the nation’s small businesses. He also is a statutory member of the Council of the Inspectors General on
Integrity and Efficiency’s (CIGIE) Pandemic Response Accountability Committee (PRAC), serving alongside his Inspector
General colleagues to provide a whole of Government response to the pandemic oversight effort. Within the PRAC, Inspector
General Ware chairs the Subcommittee on Audits. In addition, Inspector General Ware serves as the Chair of the Audit Committee
for CIGIE and is a member of CIGIE’s Executive Council.
Prior to his appointment to be the Inspector General, from April 2016 to January 2017, Mr. Ware served as the Deputy Inspector
General, and he served as the Acting Inspector General from January 2017. Mr. Ware has 30 years of experience within the OIG
community, the first 26 years being with the Department of Interior (DOI) OIG. In 1990, he joined DOI OIG’s Virgin Islands field
office as an auditor and later became the Field Office Supervisor. Throughout his long and distinguished oversight career, he
performed increasingly challenging and vital roles within the OIG community. From the Virgin Islands field office, Mr. Ware was
promoted to Eastern Regional Manager, where he provided leadership of all phases of the technical and administrative operation of
the region, including planning and managing audits, inspections, evaluations, and joint investigations. Mr. Ware later moved to
DOI OIG’s Office of Management and served as the Deputy Assistant Inspector General for Management. In this capacity, he
executed DOI OIG’s independent operating budget and managed the logistical concerns for the office’s nationwide presence. In
April 2016, he was appointed to the Senior Executive Service as the SBA OIG Deputy Inspector General.
Mr. Ware is a native of the U.S. Virgin Islands and holds a Bachelor of Arts degree in accounting from the University of the Virgin
Islands. He also is a graduate of the Senior Executive Service Career Development Program. He has received numerous awards
throughout his career, including several awards from the Council of the Inspectors General on Integrity and Efficiency as
recognition for his significant work in the Inspector General community.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Sheldon Shoemaker
Assistant Inspector General for Management and Operations
Sheldon Shoemaker is the Assistant Inspector General for Management and Operations at the U.S. Small Business Administration,
Office of Inspector General (OIG). In this capacity, he leads the effort to provide operational support to OIG’s nationwide
oversight of SBA’s programs and operations. Mr. Shoemaker has over 15 years of leadership experience as a senior advisor and
manager and more than 20 years of Federal service. Mr. Shoemaker joined OIG in 2011 as a Special Assistant to the Inspector
General and later served as Chief of Staff within the office. Prior to joining OIG, he served as Section Chief of the Drug
Enforcement Administration’s (DEA) Congressional Affairs Section. He joined DEA in 1998 as a Program Analyst and
beginning in 2002, served in various supervisory and management roles within the Office of Professional Responsibility and the
Executive Policy and Strategic Planning Staff before taking on a position as Congressional Affairs Specialist in the Congressional
Affairs Section. Before joining DEA, Mr. Shoemaker spent a short time as Contract Specialist within the Department of Defense.
Mr. Shoemaker is a native of Dunbar, Pennsylvania and holds a Bachelor of Arts degree from West Virginia Wesleyan College,
majoring in Government and in Social Science.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Andrea Deadwyler
Assistant Inspector General for Audits
Andrea Deadwyler is the Assistant Inspector General for Audits at the U.S. Small Business Administration (SBA), Office of
Inspector General (OIG). Mrs. Deadwyler has more than 30 years of government experience, 19 of those years in the Inspector
General community. Mrs. Deadwyler joined the SBA OIG in 2014 as the Director of the Credit Programs Group, responsible for
directing audits of the Credit and Disaster Loan Programs. Prior to joining SBA, Mrs. Deadwyler was an Audit Director for the
U.S. Postal Service OIG, conducting and directing a wide range of audits of Postal Service Programs and Operations, including
Human Resources, Security, Emergency Preparedness, and Environmental Sustainability. Before beginning her career in auditing,
Mrs. Deadwyler spent a short time working as a Business Opportunity Specialist with SBA, and several years as a contracting
officer for the U.S. Department of Agriculture.
Mrs. Deadwyler is a native of Washington, DC and holds a Bachelor of Arts degree in Business Administration (Banking and
Finance) and a Master’s degree in Public Administration from Bowie State University.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Brian Grossman
Assistant Inspector General for Investigations
Brian Grossman is the Assistant Inspector General for Investigations (AIGI) for the U.S. Small Business Administration (SBA),
Office of Inspector General (OIG). As AIGI, he leads OIG’s national operations to investigate allegations of fraud, waste, abuse,
and other criminal activity in SBA programs and operations. Mr. Grossman has served as a federal agent for 36 years and has been
assigned to criminal investigative offices in North Carolina, Texas, Virginia, Washington DC, and Germany. He was appointed as
a special agent with the United States Army Criminal Investigation Command (CID) in 1984 rising to the rank of Special Agent in
Charge. In 2003, Mr. Grossman entered the Inspector General community and previously served with OIG offices in the
Department of Defense, Department of the Interior, and Department of State, where he served as a Special Agent in Charge and
Deputy Assistant Inspector General of Investigations.
Mr. Grossman is a native of Indianapolis, Indiana and holds a Bachelor of Science degree from Excelsior College.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Loretta Greene
Associate Administrator, Office of International Trade
Loretta Solon Greene is the Associate Administrator for the Office of International Trade (OIT) at the U.S. Small Business
Administration. In this role, Greene works to increase the number of small business exporters as well as the volume of exports by
American small businesses. As Associate Administrator of OIT, Greene oversees the SBA’s programs related to federal and state
trade development, international trade and finance, and international affairs and trade policy.
Greene brings extensive knowledge in federal government and global affairs to the position, with 30 years of experience in
international trade, economic development, fundraising, and protocol. Before her appointment she served as the President of
Greene Strategy, a government affairs consulting organization that advises on trade and energy issues.
Greene also provided strategic direction as a Senior Advisor at the U.S. Department of Commerce, where she advised on global
markets, commercial services, foreign direct investment programs, manufacturing, and industry. Prior to this role, she served as the
Director of International Trade Association Affairs at Commerce and was responsible for promoting trade programs and building
coalitions for free trade policy. She has also served as the Deputy Assistant Secretary for Intergovernmental Relations at the U.S.
Department of Housing and Urban Development (HUD). In this role, she was responsible for establishing and maintaining the
strategic communications systems between the HUD Secretary and state, local, and regional governments.
Greene is a native from Dallas, Texas and has earned a Bachelor of Arts in Political Science from Hollins College.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Michele Schimpp
Deputy Associate Administrator, Office of International Trade
Michele Schimpp is the Deputy Associate Administrator for the Office of International Trade and has over 20 years of experience
managing U.S. government organizations and start-up operations related to global job creation, competitiveness and economic
growth. She has worked with the U.S. Agency for International Development (USAID), the U.S. State Department, and the U.S.
House of Representatives, leading programs and partnerships with the private sector, foundations, universities, federal and state
agencies, as well as foreign legislatures and governments.
Michele served on the senior leadership team that established the U.S. Global Development Lab, a new entity within USAID to
apply science, technology, innovation and partnerships to help hundreds of millions of people lift themselves out of extreme
poverty. As the Director for Mission Engagement and Operations, she was responsible for the Lab’s engagement of more than 80
country missions overseas, as well as human resources and budget operations.
Prior to the Lab’s establishment, Michele Schimpp served as Chief Operating Officer of USAID’s Office of Science and
Technology, a predecessor organization to the Lab. For several years before, Michele served on the senior leadership team that
established USAID’s Office of Afghanistan and Pakistan Affairs, serving as Deputy Assistant to the Administrator during a period
when USAID contributed to the civilian surge through increased staff and programs. She represented USAID’s work in
Afghanistan and Pakistan before government agencies, Congress, international donors, the U.N., interest groups, research and
academia. Over the previous four years, Michele held senior management positions with USAID and the State Department,
leading groups of experts on economic growth, infrastructure, energy, humanitarian assistance, agriculture, health, education,
democracy and governance. She supported missions in Asia and the Middle East and developed public-private partnerships to
respond to the Sichuan earthquake and to support women’s leadership in Muslim countries.
A Foreign Service Officer for ten years, Michele served in Haiti from 1995-1999. She has a M.A. in Latin American Studies from
the University of California at Berkeley and a B.A. in International Affairs from George Washington University.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Chris Weaver
Special Advisor to the Administrator
Christopher Weaver is the Director of the Office of Consumer Policy at the Department of Treasury. Since March 23,
2020 he has been detailed to the Small Business Administration as a Senior Advisor to the Administrator, where he’s
focused on COVID-19 recovery efforts for businesses in underserved communities. In his permanent Director role at
Treasury, he works under the leadership of the Treasurer of the United States, where he provides policy advice with
respect to financial and economic inclusion, financial literacy and consumer protection laws and regulations. Christopher
is an attorney with more than 20 years of experience in community development finance and banking regulation. He has a
Juris Doctorate from the Howard University School of Law and a Masters from the London School of Economics and
Political Science.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Amber Richards
National Ombudsman and Assistant Administrator for Regulatory Enforcement Fairness
Amber Richards is the National Ombudsman and Assistant Administrator for Regulatory Enforcement Fairness. In this
role, she is responsible for assisting small businesses, small government entities, and small nonprofits when they are
subject to excessive enforcement by a federal agency. Excessive enforcement may include repetitive audits or
investigations, excessive fines, penalties, threats, retaliation or other unfair enforcement action. Ms. Richards facilitates a
cooperative and productive relationship between the U.S. Small Business Administration (SBA) and its constituent groups
through responding to complaints, identifying areas of potential conflict, and providing advice to the Administrator and
other agency executives.
Ms. Richards has over 20 years of experience leading operations, strategic direction, and oversight of program
management. She is the owner and founder of Integrated ID Solutions, Inc. and MyZone US, LLC and is a certified
Project Management Professional (PMP). In these roles she provided strategic consulting and subject matter expertise in
program management, business process analysis, and enterprise architecture; evaluated collaborative and competitive
landscapes for market growth opportunities and new partnerships; and actively engaged in industry, defense, and
professional development associations, including a Board of Directors position. Prior to this role, she served as the
Director, Public Sector Services for a high tech corporation where she oversaw defense automation programs. In addition
to her experience, Ms. Richards has earned a Bachelor of Arts in Political Science and Bachelor of Arts in Music from
Converse College, an International Masters of Business Administration from University of South Carolina, and a Master
of Professional Studies in Technology Management from Georgetown University.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Mina Wales
Deputy National Ombudsman
Mina Wales is the Deputy National Ombudsman. As the Deputy National Ombudsman, Wales is responsible for assisting
small businesses when they experience excessive or unfair federal regulatory enforcement actions. As an impartial liaison, the
office refers comments submitted by small businesses to the appropriate federal government agency for high-level fairness review
and to address those concerns to help small businesses succeed.
For more than 30 years Ms. Wales has worked at SBA headquarters giving her a depth and breadth of knowledge on how SBA
operates and supports our nation’s 30 million small businesses. Ms. Wales began her Federal career at the U.S. Department of
Navy in the Office of Personnel.
Her assignments over the years at SBA have included: The Office of Personnel/Human Resources, Office of Management and
Administration; Office of Procurement and Grants Management; Director, Office of Strategic Alliances; Interim Director of the
National Women’s Business Council, and before her current role, she served as the Deputy Assistant Administrator, Office of
Communications and Public Liaison. Ms. Wales is a graduate of the University of the District of Columbia receiving a Bachelor
of Arts degree in Education.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Shawn Pensoneau
Assistant Administrator
Shawn Pensoneau joined the U.S. Small Business Administration (SBA) as Assistant Administrator for the Office of Native
American Affairs (ONAA) in October 2018. In this role, Pensoneau oversees ONAA’s collaboration with American Indians,
Alaska Natives and Native Hawaiians who seek to create, develop and expand small businesses and ensure they have full access to
the business development and expansion tools available through the agency’s entrepreneurial development, lending and
procurement programs. This includes workshops, technical assistance and training and to engage in outreach activities such as
developing and distributing educational materials.
Prior to joining the SBA, Pensoneau served as a public affairs specialist at the Department of Interior’s Office of the Assistant
Secretary for Indian Affairs. In this capacity, he was involved with providing information on secretarial decisions and actions to
news media and other entities interested in Indian Affairs via news releases, media relations, and the Indian Affairs website.
Before his employment with the Department of the Interior, Pensoneau served as Director of Governmental Affairs for the
National American Indian Housing Council (NAIHC). In this role, Pensoneau worked to achieve the organization’s success by
maintaining a unified voice when working on various challenges throughout Native American communities.
Pensoneau has also worked for the National Indian Gaming Commission and the Navajo Nation Washington Office.
Pensoneau is a graduate of Fort Lewis College in Durango, Colo. He resides in Alexandria, Va., with his wife and daughter, and is
an enrolled member of the Kickapoo Tribe of Oklahoma.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Tami Perriello
Associate Administrator for Performance and Planning and Chief Financial Officer
In her current role, Ms. Perriello manages the day-to-day financial operations for the Agency and serves as a member of
the Agency’s top management team actively involved in the SBA’s decision-making process. Additionally, Ms. Perriello
serves as the primary policy advisor to the Administrator on all matters relating to financial management, budget and
internal controls, acquisition, program evaluation, DATA Act for financial systems, and credit reform. This is Ms.
Perriello’s second time working as a member of the SBA Team. Ms. Perriello served as the Chief Financial Officer and
Associate Administrator for Performance Management from 2014 to 2016 and as the Director of the Office of Financial
Systems from 2011 to 2014 at the SBA. In these roles, she provided critical expertise in budget, performance
management, financial systems, credit modeling, accounting, quality assurance, internal controls, financial operations, and
acquisition.
Ms. Perriello recently served at the Department of Transportation, where she was the Chief Financial Officer for the
Pipeline and Hazardous Materials Safety Administration (PHMSA). In these roles, Ms. Perriello was responsible for all
aspects of financial management, enterprise risk, internal controls, acquisition, and information technology services within
PHMSA. Additionally, she led the formulation and execution of the budget, extensively engaged with stakeholders to
improve processes, served as a liaison with OMB and Congressional Appropriations Committees on budget matters, and
advised key Agency leadership and executive committees. Previously Ms. Perriello served at the U.S. House of
Representatives as CIO and as a Managing Director for a global accounting and consulting firm. Ms. Perriello is a
Certified Public Accountant and has an extensive background in financial management and operations that will enable her
to oversee the Office of the Chief Financial Officer. In addition to her experience, she earned a Master of Science degree
in Finance from Johns Hopkins University and a Bachelor of Science in Accounting from Rochester Institute of
Technology.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Melissa Atwood
Acting Deputy Chief Financial Officer; Director, Financial Operations and Acquisition Management
Melissa Atwood currently serves as the Acting Deputy Chief Financial Officer and the Director of Financial Operations
and Acquisition Management at the Denver Finance Center (DFC) in Denver, CO. Melissa was appointed as the DFC
Director in 2016 and oversees the operations of administrative accounting, program accounting, and acquisitions.
She has been with the SBA since 1997 and prior to serving as the DFC Director oversaw the administrative accounting
staff. Prior to joining the SBA, she worked for the U.S. Department of Housing and Urban Development from 1989 to
1997 and worked for a small business prior to joining the federal service.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Jason Bossie
Director, Office of Program Performance, Analysis, and Evaluation
Jason Bossie is the Director of the Office of Program Performance, Analysis, and Evaluation at the U.S. Small Business
Administration. He leads a professional staff in the implementation of the Government Performance and Results
Modernization Act, Program Management Improvement Accountability Act, and the Foundations for Evidence-based
Policymaking Act. He champions results-driven decision-making through strategic planning, performance management,
program management, economic analysis, and program evaluation.
Prior to joining the SBA in 2014, Jason held positions designing and implementing performance management systems
across other federal, state, and local government agencies, including the U.S. Environmental Protection Agency. He holds
an M.S. in Public Policy and Management from Carnegie Mellon University and a B.A. in political science and history
from West Virginia University. He is also a graduate of the Excellence in Government Fellows program sponsored by the
Partnership for Public Service.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Nate Reboja
Director, Office of Financial Systems, Innovation and Data Transparency
Nate Reboja is the U.S. Small Business Administration’s Director of the Office of Financial Systems, Innovation and Data
Transparency. Nate joined the SBA in June 2013. In this role, Nate oversees the design, development, implementation,
and maintenance of the Agency’s financial systems; ensures the security, integrity, reliability and availability of the
Agency’s integrated contract and grant awarding systems and financial reporting system. Nate leads both the Deputy
Director of Financial Systems and the Agency Chief Data Officer responsible for the implementation of the Foundations
for Evidence-Based Policymaking Act of 2018 and the Federal Data Strategy.
Nate is also currently the Agency Senior Accountable Official (SAO) for the quality and objectivity of Federal spending
information and Senior Accountable Point of Contact (SAPOC) to coordinate across agency mission support functions
and with program offices to support adoption of the shared service strategies and related actions to drive operational
efficiency and effectiveness.
Prior to SBA, Nate managed several system implementations in the Technology Integration Services Division at the
Bureau of Fiscal Service, Department of Treasury. He holds a B.S. in Business Information Technology from Virginia
Tech and an M.S. in Computer Systems Management, Homeland Security from the University of Maryland Global
Campus.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
George Koklanaris
Associate Administrator
George Koklanaris joined the U.S. Small Business Administration (SBA) as Associate Administrator of the Office of Small
Business Development Centers (SBDCs) in April 2019. In this role, Koklanaris oversees 63 SBDC lead centers and more than
900 service centers across the United States and its territories. SBDCs provide America’s small businesses with the support and
resources necessary to help them succeed.
Prior to his appointment, Koklanaris was a strategy and management consultant at the consulting firm Booz Allen Hamilton, where
he specialized in national security, Army, joint operations, intelligence and logistics.
Koklanaris previously served at the SBA from 2002-2007 as a special assistant and the assistant administrator of the Office of
Field Operations and director of the Office of Strategic Alliances. From 2007-2009, he served as the chief of staff at the U.S.
Pension Benefit Guaranty Corp. Prior to his federal service, Koklanaris was a legislative and press aide for members of the
Virginia House of Delegates and Fairfax County Board of Supervisors.
A colonel in the U.S. Army Reserve, Koklanaris has served in the Army and Army Reserve for over 28 years. He deployed twice
in support of the Global War on Terror and is a veteran of Operation Iraqi Freedom and Operation Enduring Freedom. Prior
assignments include tours with Theater Sustainment Commands, the Defense Logistics Agency and the Joint Staff. His current
reserve assignment is in the Office of the Assistant Secretary of Defense for Manpower and Reserve Affairs under the Office of the
Secretary of Defense. He is a graduate of the U.S. Army War College, the U.S. Army Command and General Staff College, the
National Defense University’s National Security Course and the Joint Forces Staff College.
Koklanaris has a bachelor’s degree from the University of Georgia, a Master of Public Administration from Georgia State
University and a Master of Strategic Studies from the U.S. Army War College. He also has a graduate certificate in Change
Management from Georgetown University’s McDonough School of Business.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Nancyellen Gentile
Deputy, Associate Administrator
Nancyellen Gentile joined the U.S. Small Business Administration (SBA) as the Deputy Associate Administrator for the
Office of Small Business Development Centers (SBDC) in March 2020. In this role, Ms. Gentile provides leadership and
oversight support to 62 SBDC Lead Centers and more than 900 service centers across the United States and its territories.
SBDCs provide America’s small businesses with the support and resources necessary to help them succeed.
Ms. Gentile previously served at the SBA in various positions, from 1988-2006, including the Assistant Administrator for
Contract Assistance from 2004 to 2006 where she interfaced with Federal agencies and SBA resource partners to increase
the pool of women business owners in the Federal marketplace. She joined SBA in 1988 serving in the Boston Regional
Office, 8(a) Business Development Program before moving to SBA Headquarters in 1990.
Ms. Gentile joined SBA from SourceAmerica where she advised senior leadership in the creation and implementation of
programs and policies that create employment opportunities for people with disabilities.
She has working knowledge of the legislative process serving on the Senate Small Business and Entrepreneurship
Committee where she advised the Chair on legislation to strengthen small business access to capital, improve
entrepreneurial development programs and maximize small business federal procurement opportunities.
Ms. Gentile received an MBA from the University of Maryland Robert H. Smith School of Business and holds a Bachelor
of Arts Degree in Business Administration from Saint Anselm College in Manchester, NH.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Larry Stubblefield
Associate Administrator
Mr. Larry Stubblefield is the Associate Administrator for the Office of Veterans Business Development (OVBD) at the U.S. Small
Business Administration (SBA). In this role, Mr. Stubblefield oversees the OVBD team in formulating, implementing,
administering, and promoting policies and programs that equip veterans, service members (active duty, National Guard, Reserve),
and military spouse-owned small businesses with counseling and education, access to capital, and contracting opportunities.
Mr. Stubblefield joined the SBA in 2016, serving as the Assistant Administrator for the Office of Diversity, Inclusion and Civil
Rights, and most recently as the Acting Associate Administrator for OVBD. Prior to the SBA, he held numerous leadership
positions with the US Army, including Deputy Assistant Secretary of the Army for Diversity and Leadership and Functional Chief
Representative for the Army’s Equal Employment Opportunity Career Program.
Mr. Stubblefield has first-hand military experience, having served 30 years as an enlisted soldier and active duty officer in the US
Army. In 2005, he retired from the military as a Colonel and was appointed to the Senior Executive Service. He holds an MBA
from the University of Tennessee and a BS in Business Management from Embry Riddle Aeronautical University.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Timothy Green
Deputy Associate Administrator
Mr. Tim Green is the Deputy Associate Administrator for the Office of Veterans
Business Development (OVBD) at the U.S. Small Business Administration (SBA). In
this role, Mr. Green assists the Associate Administrator and the OVBD team in
formulating, implementing, administering, and promoting policies and programs that
equip veterans, service members (active duty, National Guard, Reserve), and military
spouse-owned small businesses with counseling and education, access to capital, and
contracting opportunities. r. Green joined the SBA OVBD team in 2019. Prior to the
SBA, he served at the Department of Labor as the Director of Strategic Outreach of
the Veterans’ Employment and Training Service. As the Director, he set and guided
the strategy for VETS’ outreach to stakeholders, public affairs, legislative affairs,
employer outreach and the HIRE Vets Medallion Program.
Mr. Green retired from the U.S. Air Force in June 2012 with a rank of Colonel after
serving on active duty for nearly 28 years. He holds a bachelor’s and master’s degree
in Business Administration and a master’s degree in National Security Strategy from
the National War College.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Sery Kim
Assistant Administrator
Ms. Sery Kim has been selected to join SBA as the Assistant Administrator for the Office of Women’s Business
Ownership (OWBO), Office of Entrepreneurial Development (OED) effective Monday, July 6, 2020. Ms. Kim will oversee and
administer broad, emerging, and critical Women’s Business Center (WBC) programs to achieve OWBO and SBA goals and
objectives. In this role, she will evaluate the overall effectiveness, efficiency, and productivity of WBC programs and recommend
actions to improve Agency operations. She will also serve as the principal liaison with non-Federal business, educational,
organizational, and community partners to assist in the growth and development of women-owned businesses. As Assistant
Administrator for OWBO, Ms. Kim will further SBA’s efforts to develop cooperative partnerships with federal and private sector
groups, generate a greater understanding of the economic importance of women-owned businesses, and boost SBA’s ability to
provide support.
Ms. Kim is a seasoned leader with extensive experience in the private and public sectors working with executives, clients, and
government officials to achieve positive outcomes. She is an experienced attorney and strategist with a background in
communication and federal public policy, including implementation of the Affordable Care Act and regulatory matters before the
U.S. Food and Drug Administration, and has advised Fortune 100 companies, political candidates, and non-profits.
Ms. Kim has successfully started multiple companies and joins SBA from a major international law firm in Texas, where she
served as a Litigation Associate. Ms. Kim provided legal analysis on complex litigation cases as well as legal, economic and
political commentary for multiple national and local media outlets. Her experience also includes serving as a Senior Advisor for
the U.S. Department of Health and Human Services under two presidents; as the Health Care Counsel to the Chairman of the
House Committee on Oversight and Government Reform; and as Chief Oversight Counsel to the Subcommittee on Oversight and
Investigations for the House Committee on Energy and Commerce. In addition to her experience, she earned a Bachelor of Arts in
History, in two years, Magna cum Laude, and graduated at age 23 with a Juris Doctorate from the University of Texas.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Donald Malcolm Smith
Deputy Assistant Administrator
Donald Malcolm Smith is the Deputy Assistant Administrator for the Office of Women’s Business Ownership (OWBO). In this
role he is responsible for building the capacity of women entrepreneurs through the implementation of the Women’s Business
Center (WBC) program.
Donald brings more than 25 years of experience in strategic planning, budget management and implementing family
strengthening, workforce and economic development programs with government and non-profit organizations.
Donald has 13 years of federal experience, which includes serving as a Management and Program Analyst for the Department of
Commerce’s Economic Development Administration; Director for Administrative Systems and Financial Services at the
Department of Labor’s Office of Disability Employment Policy; Director of Strategy and Performance for the National Archives
and Records Administration; and most recently, Director of Entrepreneurship Education.
Donald has also worked in state government with the Maryland Department of Human Resources, where he led statewide
workforce development and responsible fatherhood programs. For seven years, he worked for the Center for Urban Families
where he was the Director of Policy, Planning and Evaluation and Chief Operating Officer.
A proud HBCU graduate, Donald holds a Master of City and Regional Planning degree from Morgan State University, and a
Bachelor of Science degree in Criminal Justice (Pre-Law) from the University of Maryland Eastern Shore.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Seán F. Crean
Executive Director
As Executive Director, Office of Executive Management, Installations & Support Services RADM (ret) Crean is
responsible for overseeing the Agency’s infrastructure in support of operations including 1.5M sq ft of facilities
nationwide, grants management, physical and personnel security matters, and executive administrative requirements of the
secretariat.
Prior to this position he led high performing organizations both at SBA and DoD including Director, SBA Office of
Government Contracting, Director, Navy Office of Small Business Programs and as Deputy Assistant Secretary of the
Navy for Acquisition and Logistics Management. In these areas he influenced upwards of $500 Billion in federal
contracting opportunities to promote small business industrial capacity and competition throughout the federal
government.
His combined military and civil service careers have provided complimentary and extensive leadership responsibilities in
service to the country, retiring with the two-star grade of Rear Admiral in the U.S. Navy. Among his decorations are the
Distinguished Service Medal, Legion of Merit and the Navy Distinguished Civilian Service Award. He is a member of
the Defense Acquisition Corps, DAWIA Level III Contracting certified and a member of the Senior Executive Service.
RADM (ret) Crean holds a Bachelor of Science degree in business management and marine transportation from the State
University of New York Maritime College, and a Master of Business Administration degree from Southern New
Hampshire University’s graduate school of business. Senior Executive development include programs at Harvard’s
Kennedy School of Government, University of North Carolina’s Kenan Flagler Business School, the University of
Virginia’s Darden School of Business and Babson College’s Executive Business School.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Wendell G. Davis
Regional Administrator
New England Region
Wendell G. Davis was appointed the Regional Administrator for SBA’s New England Region by President Donald J. Trump on
January 8, 2018. In his role as Regional Administrator, Davis oversees SBA’s financial, export, disaster relief, government
contracting and business development programs for the six New England states. In Fiscal Year 2019, the SBA provided 4250 loans
supporting more than $1.5 billion dollars through the agency’s various loan programs with the assistance of over 200 hundred
lenders across the region. Additionally, New England small businesses were awarded over $4.1 billion in federal contracting
dollars1 and New England entrepreneurs and innovators received over $468 million dollars in grants.
Headquartered in Boston, Davis manages 44 SBA employees that staff the six local District Offices located in Connecticut, Maine,
Massachusetts, New Hampshire, Rhode Island and Vermont and three Alternative Work Sites and one branch office. In addition,
he coordinates a network of small business technical assistance partners that are all funded by the SBA, with counselors and
mentors housed in 31 Small Business Development Centers, 26 SCORE Chapters, 9 Women’s Business Centers and a Veterans
Business Outreach Center.
Prior to his work with the SBA, Mr. Davis was managing partner at DCB Law Group, LLC where he established the firm’s
Commercial Transactions Practice and the firm’s Telecommunications Practice. With an undergraduate degree in Political Science
from Central Connecticut State University, he is a past president of the University’s alumni association. He is also a graduate of the
University of Notre Dame Law School and comes to the SBA with over 15 years’ experience as a small business owner.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Steve Bulger
Regional Administrator
Atlantic Region
President Donald Trump appointed Steve Bulger as the Regional Administrator for SBA’s Atlantic Region in January, 2018.
Bulger oversees SBA’s financial, international export, government contracting and business development programs that assist
nearly 3 million small businesses employing over 6 million workers in the Region.
Headquartered in New York City, Bulger manages a staff of 65 SBA employees serving five District Offices and six Branch
Offices throughout New York, New Jersey, Puerto Rico and the U.S. Virgin Islands. In addition, he coordinates a network of small
business counselors and mentors housed in 40 Small Business Development Centers, 20 SCORE Chapters, 10 Women’s Business
Centers and a Veterans Business Opportunity Center.
Prior to accepting the President’s appointment to SBA, Bulger served six years for Congressman Chris Gibson as District
Director. He also has a thirty-year private sector background, including having served with the Stryker Corporation overseeing
sales and operations in the Upstate NY/Western New England area. He spent a total of twenty years in the medical device
sector. Bulger also co-founded a digital marketing start-up firm and worked as an investment broker in the financial services
industry.
A New York native, Bulger is a graduate of Lafayette College, and has held leadership positions in numerous non-profit and local
government organizations.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Robert Scott III
Regional Administrator
Great Lakes Region
Robert Scott serves as the Regional Administrator for SBA's Great Lakes Region, overseeing the delivery of the agency’s financial
assistance, technical assistance and government contracting activities throughout Illinois, Indiana, Michigan, Minnesota, Ohio and
Wisconsin.
Prior to the SBA, Scott ran his own consulting firm, practiced law at Oldham & Deitering in Clayton, Ohio, and served as the vice
mayor in Kettering, Ohio, where he remains in service as a city councilman. He has worked in the Ohio House of Representatives
as a legislative aide and on several major political campaigns in Ohio, including serving as the state director for Donald J. Trump
for President. Additionally, Scott wrote for the Dayton Daily News, Dayton City Paper and was a syndicated columnist for Brown
Newspapers, Inc.
Scott received a B.S. from Wright State University and an honors juris doctorate degree from the University of Dayton School of
Law. He is a member of the Dayton Masonic Lodge, Ohio State Bar Association and Kettering Rotary Club. Scott received a
“Forty under 40” award from the American Association of Political Consultants in 2016 and the Dayton Business Journal named
him one of the city’s notable “Forty under 40” professionals in 2015.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Justin Crossie
Regional Administrator
South Central Region
U.S. Small Business Administration Regional Administrator Justin Crossie is a November 2018 appointee of President Donald
Trump and SBA Administrator Linda McMahon. Crossie leads the delivery of SBA’s funding programs, counseling services and
government contracting and export initiatives in the South Central Region, which serves more than 3.8 million small businesses in
Arkansas, Louisiana, New Mexico, Oklahoma and Texas.
As a political appointee, Crossie promotes the President’s and the SBA Administrator’s policies and priorities which include rural
and veteran outreach to empower small business owners and entrepreneurs to start, grow and expand.
Crossie comes to SBA with a strong background in government, business and civic engagement that uniquely positions him to
understand the needs of small business owners. Prior to his appointment, Crossie worked in Louisiana for 10 years as the Regional
Director for U.S. House Majority Whip Steve Scalise. He served as a liaison to government, business, and civic groups throughout
Louisiana’s first congressional district.
Before his tenure with Congressman Scalise, Crossie worked as the Florida and River Parishes Representative for U.S. Senator
David Vitter. In this capacity, Crossie managed casework for active duty military and also constituent issues related to Department
of Housing and Urban Development, Department of Justice, Federal Communications Commission and the Federal Trade
Commission.
Crossie is a graduate of Riverside Military Academy in Gainesville, Georgia, and Southeastern Louisiana University in Hammond,
Louisiana.
Crossie is a U.S. Marine Corp veteran having served as a heavy equipment mechanic with the 2ndFleet Service Support Group
Engineer Battalion in Camp Lejeune, North Carolina, and with the 3rdFleet Service Support Group, 9thEngineer Battalion in
Okinawa, Japan.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Thomas Salisbury
Regional Administrator
Great Plains Region
Tom Salisbury was appointed on January 6, 2018, as the Regional Administrator for SBA’s Great Plains Region states of Missouri,
Kansas, Nebraska and Iowa.
Previously, Salisbury worked in Kansas City, Missouri for seven years as the small business liaison for U.S. Senator Roy Blunt (RMO.) Prior to that he spent the majority of his career since 1983 in the lending industry, most recently as a Vice President and
Manager of Correspondent Banking with UMB Bank, N.A.
Salisbury will administer the delivery of SBA federal programs and services by Region VII’s five district offices, with locations in
Wichita, Kansas; Omaha, Nebraska; Des Moines, Iowa; Kansas City, Missouri and St. Louis, Missouri. These SBA offices
provide program training and support to hundreds of SBA participating program lender institutions and SBA-financed
microlenders, who loan federally guaranteed capital to small businesses. Additionally, the SBA oversees more than 85 grantee
resource partner sites within the region, which provide free or low cost small business counseling, training and mentoring services.
These include the services of Small Business Development Centers, Women’s Business Centers, a Veterans Business Resource
Center and SCORE Mentor chapters. In addition, SBA district offices teach small businesses how to participate in federal
contracting opportunities and administer the 8(a) federal contracting program.
Salisbury received a Bachelor of Science degree from the University of Missouri at Columbia in 1974 and attended the American
Banking Association School of Bankcard Management.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Daniel Nordberg
Regional Administrator
Rocky Mountain Region
Dan Nordberg is the Administrator for SBA's Rocky Mountain Region based in Denver, and the Director of the Office of Rural
Affairs.
Prior to coming to the SBA, Nordberg was elected to the Colorado House of Representatives in 2012 serving House District 14,
consisting of northern Colorado Springs suburbs, and reelected in 2014 and 2016. After taking office in 2013, he sat on the House
Business Affairs and Labor committee, and served as its ranking member beginning in 2015. Nordberg also served as chairman of
the Legislative Audit Committee, the body tasked with examining state agencies’ financial records and reviewing and releasing
audit reports and recommendations for special studies. While in the state legislature, Dan established himself as a collaborative
leader and champion for small business.
In the private sector, Dan worked as a business development specialist at a resort hotel in Colorado Springs. There he was
responsible for fostering business development opportunities as well as implementing strategic sales and marketing initiatives.
Nordberg also worked as district director for U.S. Rep. Doug Lamborn. In this capacity, he served as a liaison to Colorado’s
business community as well as federal and state agencies. Previous to that, Nordberg worked as a legislative aide in Washington,
D.C. where he focused on small business, homeland security and financial services issues.
Born and raised in Colorado, Nordberg graduated from Colorado State University with a Bachelor of Arts in Political science. He
and his wife Maura, a school psychologist, are the proud parents of three children.
As Regional Administrator, Nordberg oversees SBA operations throughout its district offices in Denver, CO.; Helena, MT.; Fargo,
ND; Sioux Falls, SD; Salt Lake City, UT; and Casper, WY. Region VIII is SBA`s most rural region in the country. It includes 27
tribal nations and covers more than 500,000 square miles of territory.
Updated: Tuesday, November 24, 2020
SBA – Leadership Bios
Jeremy Field
Regional Administrator
Pacific Northwest Region
Jeremy Field leads the economic development, small business initiatives and program operations for SBA's Pacific
Northwest Region, which serves Alaska, Idaho, Oregon and Washington state.
As SBA regional administrator and a political appointee, Field also supervises SBA district offices in the region and promotes the
President’s and SBA Administrator’s policies, messages and priorities throughout the Pacific Northwest.
Prior to joining the SBA in January 2018, Field spent nine years in Pocatello, Idaho as the regional director and state grant
coordinator for U.S. Senator James E. Risch (R-Idaho), the chairman of the Senate Committee on Small Business and
Entrepreneurship. The position allowed him to work with a congressional team, collaborate with local leaders on federal issues and
evaluate policy impacts on Idahoans.
Prior to working for Senator Risch, Field was a staff assistant for former U.S. Senator Larry Craig (R-Idaho) on the U.S. Senate
Special Committee on Aging in Washington, D.C.
An Idaho native, Field has a master’s degree in public administration from Idaho State University, a juris doctor degree from
University of Idaho, a bachelor’s degree in political science from Brigham Young University and an associate’s degree in
mathematics and physical science from Brigham Young University-Idaho.
Updated: Tuesday, November 24, 2020
Data as of 9/12/2020
Source: USDA National Finance Center
SBA Workforce
Number of Employees by Grade
Workforce Size
3233
9,581
2022
1126
905
693
647
435
Age Range
8%
103
00
11%
18-30
20%
9
03
04
97
05
06
07
Years of Service
< 1.9
277
33
08
09
11
12
13
14
15
Voluntary Retirement Eligible
31-40
41-50
38%
1
6638
Eligible Now
1165
1359
51-65
66 plus
2.0-4.9
397
Eligible in 1 year
5.0-9.9
620
Eligible in 3 years
23%
10.0-24.9
1283
25 >
Eligible in 5 years
643
0
2000
1818
2300
Not Currently Eligibile
4000
6000
Note: Data includes Office of Disaster Assistance, Office of Inspector General, and Advocacy
8000
8416
0
2000
4000
6000
8000
10000
Data as of 9/12/2020
Source: USDA National Finance Center
SBA Workforce
Employee Stats
PPE 09/12/2020
All Employee Count on Database
9,581
Excluding ODA
2,467
Excluding ODA, OIG, and Advocacy
2,310
OIG Count
115
Advocacy Count
42
ODA Total on Database
7,114
ODA Employees Paid Last PP
6,507
ODA Funded within SBA Program Offices
177
CARES Act Hires (Cumulative Total thru PP 18)
273
Response
Type
Agree-disagree
Item
Item Text
1 *I am given a real opportunity to improve my
skills in my organization.
Percent
Positive
%
Strongly
Agree/
Very
Good/
Very
Satisfied
%
Agree/
Good/
Satisfied
%
Neither
Agree nor
Disagree/
Fair/ Neither
Satisfied nor
Dissatisfied
%
62.2%
23.6%
38.5%
Percent
Negative
%
Strongly
Agree/
Very
Good/
Very
Satisfied
N
Agree/
Good/
Satisfied
N
Neither
Agree nor
Disagree/
Fair/
Neither
Satisfied
nor
Dissatisfied
N
8.8%
21.6%
337
528
225
173
119
1,382
N/A
Disagree/
Poor/
Dissatisfied
%
Strongly
Disagree/
Very Poor/
Very
Dissatisfied
%
16.3%
12.7%
Disagree/
Poor/
Dissatisfied
N
Strongly
Disagree/
Very Poor/
Very
Dissatisfied
N
Do Not
Know/
Item
No
Response Basis to
Total**
Judge
N
N
Agree-disagree
2
I have enough information to do my job well.
67.0%
21.7%
45.3%
15.7%
12.3%
4.9%
17.2%
309
623
213
167
64
1,376
N/A
Agree-disagree
3
I feel encouraged to come up with new and better
ways of doing things.
64.1%
27.4%
36.6%
14.6%
13.3%
8.1%
21.3%
386
499
201
176
108
1,370
N/A
Agree-disagree
4
My work gives me a feeling of personal
accomplishment.
77.5%
35.6%
41.9%
11.4%
6.8%
4.3%
11.1%
502
571
159
93
58
1,383
N/A
Agree-disagree
5
I like the kind of work I do.
85.3%
45.5%
39.8%
9.0%
2.8%
2.9%
5.7%
635
546
122
38
40
1,381
N/A
Agree-disagree
6
I know what is expected of me on the job.
80.4%
36.6%
43.8%
9.9%
5.7%
4.0%
9.7%
510
601
137
79
54
1,381
N/A
Agree-disagree
7
When needed I am willing to put in the extra
effort to get a job done.
96.1%
68.3%
27.7%
2.2%
0.6%
1.1%
1.7%
951
376
29
9
15
1,380
N/A
Agree-disagree
8
I am constantly looking for ways to do my job
better.
92.1%
56.0%
36.1%
6.0%
0.9%
1.0%
1.9%
782
494
83
12
14
1,385
N/A
Agree-disagree
9
I have sufficient resources (for example, people,
materials, budget) to get my job done.
49.9%
13.1%
36.8%
13.6%
20.1%
16.3%
36.5%
187
507
191
273
216
1,374
3
Agree-disagree
10
*My workload is reasonable.
60.5%
15.8%
44.7%
13.6%
14.3%
11.6%
25.9%
226
614
186
194
152
1,372
1
Agree-disagree
11
*My talents are used well in the workplace.
62.1%
21.8%
40.3%
14.0%
12.7%
11.2%
23.9%
306
548
191
172
149
1,366
4
Agree-disagree
12
*I know how my work relates to the agency's
goals.
87.0%
37.7%
49.3%
7.5%
2.9%
2.6%
5.6%
526
671
102
39
35
1,373
2
Agree-disagree
13
The work I do is important.
91.2%
52.8%
38.4%
6.3%
1.5%
1.0%
2.5%
728
523
87
20
14
1,372
2
Agree-disagree
14
Physical conditions (for example, noise level,
temperature, lighting, cleanliness in the
workplace) allow employees to perform their jobs
well.
72.9%
29.8%
43.0%
10.9%
10.2%
6.0%
16.2%
419
590
154
137
82
1,382
4
Agree-disagree
15
My performance appraisal is a fair reflection of
my performance.
75.4%
34.0%
41.4%
10.3%
6.8%
7.4%
14.3%
471
562
141
91
98
1,363
22
Agree-disagree
16
I am held accountable for achieving results.
88.3%
39.7%
48.6%
8.6%
1.4%
1.6%
3.0%
557
659
120
20
21
1,377
5
Agree-disagree
17
*I can disclose a suspected violation of any law,
rule or regulation without fear of reprisal.
64.9%
32.6%
32.3%
15.4%
9.3%
10.5%
19.8%
447
421
198
118
137
1,321
61
Agree-disagree
18
My training needs are assessed.
52.5%
15.8%
36.8%
22.5%
13.5%
11.5%
24.9%
225
504
305
182
151
1,367
14
Agree-disagree
19
In my most recent performance appraisal, I
understood what I had to do to be rated at
different performance levels (for example, Fully
Successful, Outstanding).
75.1%
35.4%
39.7%
10.8%
6.9%
7.2%
14.1%
486
529
149
93
94
1,351
32
Agree-disagree
20
*The people I work with cooperate to get the job
done.
77.5%
34.6%
42.9%
11.9%
7.5%
3.0%
10.5%
482
589
163
103
41
1,378
N/A
Agree-disagree
21
My work unit is able to recruit people with the
right skills.
46.1%
13.1%
33.0%
23.9%
17.5%
12.5%
30.0%
180
430
313
231
160
1,314
58
Agree-disagree
22
Promotions in my work unit are based on merit.
43.9%
15.6%
28.3%
25.6%
14.1%
16.5%
30.5%
206
357
318
178
206
1,265
107
Agree-disagree
23
In my work unit, steps are taken to deal with a
poor performer who cannot or will not improve.
39.5%
12.5%
27.0%
27.5%
17.1%
15.9%
33.0%
159
333
334
215
193
1,234
137
Agree-disagree
24
*In my work unit, differences in performance are
recognized in a meaningful way.
42.6%
13.6%
29.0%
27.1%
16.5%
13.8%
30.4%
177
368
333
210
173
1,261
109
Agree-disagree
25
Awards in my work unit depend on how well
employees perform their jobs.
52.2%
18.1%
34.1%
23.3%
11.1%
13.4%
24.5%
233
427
288
142
167
1,257
115
Agree-disagree
26
Employees in my work unit share job knowledge
with each other.
75.6%
30.3%
45.2%
12.0%
7.1%
5.3%
12.4%
421
615
164
96
72
1,368
3
Agree-disagree
27
The skill level in my work unit has improved in the
past year.
60.3%
23.5%
36.8%
25.6%
8.0%
6.1%
14.1%
315
488
330
104
80
1,317
57
Good-poor
28
How would you rate the overall quality of work
done by your work unit?
86.2%
51.3%
34.9%
10.2%
2.4%
1.3%
3.6%
713
475
139
32
16
1,375
N/A
Agree-disagree
29
*My work unit has the job-relevant knowledge
and skills necessary to accomplish organizational
goals.
81.6%
39.2%
42.3%
10.9%
4.6%
2.9%
7.5%
537
579
145
61
39
1,361
14
Agree-disagree
30
Employees have a feeling of personal
empowerment with respect to work processes.
50.1%
14.8%
35.3%
23.0%
15.0%
11.8%
26.8%
205
464
297
198
153
1,317
39
Agree-disagree
31
Employees are recognized for providing high
quality products and services.
53.6%
17.8%
35.8%
21.2%
13.9%
11.3%
25.2%
248
473
275
181
149
1,326
35
Agree-disagree
32
Creativity and innovation are rewarded.
47.4%
15.9%
31.5%
24.6%
16.1%
11.9%
28.0%
218
411
320
208
154
1,311
45
Agree-disagree
33
Pay raises depend on how well employees
perform their jobs.
31.2%
9.5%
21.7%
31.1%
20.0%
17.7%
37.7%
125
269
386
250
218
1,248
114
Agree-disagree
34
Policies and programs promote diversity in the
workplace (for example, recruiting minorities and
women, training in awareness of diversity issues,
mentoring).
57.3%
19.4%
37.8%
28.2%
6.5%
8.0%
14.5%
253
471
351
78
99
1,252
106
Agree-disagree
35
Employees are protected from health and safety
hazards on the job.
79.8%
28.1%
51.6%
13.4%
3.7%
3.2%
6.8%
385
681
177
47
41
1,331
29
Agree-disagree
36
My organization has prepared employees for
potential security threats.
78.7%
25.4%
53.3%
13.6%
5.0%
2.7%
7.7%
351
709
182
65
34
1,341
20
Agree-disagree
37
Arbitrary action, personal favoritism and coercion
for partisan political purposes are not tolerated.
Agree-disagree
38
Prohibited Personnel Practices (for example,
illegally discriminating for or against any
employee/applicant, obstructing a person's right
to compete for employment, knowingly violating
veterans' preference requirements) are not
tolerated.
Agree-disagree
39
My agency is successful at accomplishing its
mission.
Agree-disagree
40
*I recommend my organization as a good place to
work.
Agree-disagree
41
*I believe the results of this survey will be used to
make my agency a better place to work.
Agree-disagree
42
My supervisor supports my need to balance work
and other life issues.
Agree-disagree
43
My supervisor provides me with opportunities to
demonstrate my leadership skills.
Agree-disagree
44
Discussions with my supervisor about my
performance are worthwhile.
Agree-disagree
45
My supervisor is committed to a workforce
representative of all segments of society.
Agree-disagree
46
My supervisor provides me with constructive
suggestions to improve my job performance.
Agree-disagree
47
Supervisors in my work unit support employee
development.
Agree-disagree
48
My supervisor listens to what I have to say.
Agree-disagree
49
My supervisor treats me with respect.
Agree-disagree
50
In the last six months, my supervisor has talked
with me about my performance.
Agree-disagree
51
I have trust and confidence in my supervisor.
Good-poor
52
Overall, how good a job do you feel is being done
by your immediate supervisor?
Agree-disagree
53
In my organization, senior leaders generate high
levels of motivation and commitment in the
workforce.
54.3%
22.1%
32.2%
19.8%
12.0%
13.9%
25.9%
296
410
251
151
175
1,283
77
66.7%
28.3%
38.4%
18.8%
4.8%
9.8%
14.5%
369
477
226
59
121
1,252
104
79.2%
28.7%
50.4%
14.0%
3.9%
2.9%
6.8%
395
670
184
50
37
1,336
26
64.3%
25.0%
39.2%
18.3%
9.6%
7.8%
17.5%
353
528
247
131
103
1,362
N/A
50.6%
21.0%
29.6%
24.2%
12.2%
13.1%
25.3%
276
380
306
153
166
1,281
81
82.9%
47.3%
35.6%
8.2%
3.8%
5.1%
8.9%
651
477
106
50
69
1,353
5
69.1%
37.7%
31.4%
14.8%
8.9%
7.2%
16.1%
520
416
198
117
96
1,347
11
68.1%
34.7%
33.3%
14.1%
8.8%
9.1%
17.9%
480
438
191
119
118
1,346
11
71.6%
36.7%
34.9%
18.8%
4.0%
5.6%
9.6%
480
439
235
49
70
1,273
83
67.1%
33.1%
34.0%
15.1%
10.0%
7.9%
17.9%
459
450
207
133
103
1,352
5
71.2%
35.4%
35.8%
14.7%
5.9%
8.1%
14.1%
484
469
193
78
105
1,329
26
79.8%
43.4%
36.5%
8.2%
5.9%
6.0%
11.9%
599
487
110
79
80
1,355
N/A
82.2%
49.4%
32.8%
7.6%
5.6%
4.5%
10.2%
679
440
99
75
60
1,353
N/A
83.7%
43.9%
39.8%
6.7%
5.6%
4.0%
9.6%
605
534
89
75
52
1,355
N/A
71.4%
42.6%
28.8%
12.2%
7.8%
8.6%
16.4%
587
387
165
101
114
1,354
N/A
74.1%
47.0%
27.1%
13.4%
6.0%
6.5%
12.5%
648
362
177
77
87
1,351
N/A
48.2%
17.8%
30.5%
24.1%
14.2%
13.4%
27.6%
249
406
314
185
173
1,327
26
Agree-disagree
54
My organization's senior leaders maintain high
standards of honesty and integrity.
52.7%
21.8%
30.9%
24.9%
10.0%
12.4%
22.4%
290
397
309
121
154
1,271
81
Agree-disagree
55
Supervisors work well with employees of different
backgrounds.
69.1%
26.6%
42.5%
18.4%
6.2%
6.3%
12.5%
351
548
231
74
78
1,282
60
Agree-disagree
56
*Managers communicate the goals of the
organization.
67.8%
23.4%
44.3%
16.6%
8.8%
6.9%
15.7%
321
592
215
111
91
1,330
12
Agree-disagree
57
Managers review and evaluate the organization's
progress toward meeting its goals and objectives.
69.6%
24.8%
44.8%
17.3%
6.6%
6.6%
13.1%
328
576
218
81
82
1,285
64
Agree-disagree
58
Managers promote communication among
different work units (for example, about projects,
goals, needed resources).
59.8%
21.9%
37.9%
18.1%
12.0%
10.1%
22.1%
300
501
236
156
130
1,323
28
Agree-disagree
59
Managers support collaboration across work units
to accomplish work objectives.
62.3%
23.1%
39.2%
18.4%
10.2%
9.1%
19.3%
313
508
240
131
117
1,309
35
Good-poor
60
Overall, how good a job do you feel is being done
by the manager directly above your immediate
supervisor?
66.6%
35.2%
31.4%
15.6%
8.2%
9.6%
17.9%
469
403
198
104
120
1,294
57
Agree-disagree
61
I have a high level of respect for my organization's
senior leaders.
58.4%
26.8%
31.6%
20.4%
10.3%
10.9%
21.2%
374
420
267
138
138
1,337
16
Agree-disagree
62
Senior leaders demonstrate support for Work-Life
programs.
61.4%
26.3%
35.1%
23.2%
7.9%
7.4%
15.4%
344
438
287
97
92
1,258
89
Satisfieddissatisfied
63
*How satisfied are you with your involvement in
decisions that affect your work?
55.3%
19.3%
36.0%
20.9%
15.0%
8.8%
23.8%
269
482
277
198
116
1,342
N/A
Satisfieddissatisfied
64
*How satisfied are you with the information you
receive from management on what's going on in
your organization?
55.8%
18.8%
37.0%
20.1%
15.2%
9.0%
24.1%
264
494
267
198
120
1,343
N/A
Satisfieddissatisfied
65
*How satisfied are you with the recognition you
receive for doing a good job?
57.5%
20.3%
37.3%
18.9%
13.8%
9.7%
23.5%
283
497
253
181
129
1,343
N/A
Satisfieddissatisfied
66
How satisfied are you with the policies and
practices of your senior leaders?
49.8%
16.6%
33.2%
25.7%
14.8%
9.7%
24.5%
236
448
340
194
126
1,344
N/A
Satisfieddissatisfied
67
How satisfied are you with your opportunity to
get a better job in your organization?
39.0%
14.4%
24.6%
25.9%
18.2%
16.9%
35.1%
204
329
347
241
219
1,340
N/A
Satisfieddissatisfied
68
How satisfied are you with the training you
receive for your present job?
51.6%
16.6%
35.0%
24.2%
14.5%
9.7%
24.2%
232
469
319
196
124
1,340
N/A
Satisfieddissatisfied
69
*Considering everything, how satisfied are you
with your job?
72.0%
26.6%
45.3%
13.3%
9.1%
5.6%
14.7%
368
602
175
120
72
1,337
N/A
Satisfieddissatisfied
70
Considering everything, how satisfied are you
with your pay?
69.3%
23.6%
45.7%
15.1%
9.8%
5.8%
15.6%
324
613
200
131
75
1,343
N/A
Satisfieddissatisfied
71
*Considering everything, how satisfied are you
with your organization?
64.6%
* AES prescribed items as of 2017 (5 CFR Part 250, Subpart C)
** Unweighted count of responses excluding 'Do Not Know' and 'No Basis to Judge'
The Dashboard only includes items 1-71.
Percentages are weighted to represent the Agency's population.
22.3%
42.4%
17.6%
10.4%
7.3%
17.7%
309
567
233
137
93
1,339
N/A
Organizational Budget and Financial Management
The SBA budget is maintained by the Chief Financial Officer who is designated responsibilities under the CFO Act of 1990.
SBA’s CFO, a career executive who reports to the Administrator, oversees all financial management activities relating to
Agency programs and operations; develops and maintains its financial management systems, financial reporting, and internal
controls; and monitors financial execution of the budget.
SUMMARY OF NEW BUDGET AUTHORITY
This Table shows the gross amount of new funding that Congress appropriated for FY 2019, the enacted funding for FY 2020,
the requested funding for FY 2021, and the change from FY 2020’s enacted funding. The FY 2021 request includes legislative
changes requested by SBA. New budget authority is different from total funding in that it does not include funds carried over
from year to year and other sources of funding, such as fees and reimbursable expenses.
Gross New Budget Authority is the amount that Congress appropriated.
Salaries and Expenses, Entrepreneurial Development Programs, Business Loan Program, Disaster Loan Program,
Inspector General, Office of Advocacy, and Surety Bond Guarantee are the seven SBA appropriation accounts. The
SBA will exercise its authority to operate an IT Working Capital Fund.
FY 2019
FY 2020
FY 2021
FY 2021
Enacted
Enacted
Request
Incr/Decr
Salaries and Expenses
$ 261,500
$ 270,157
$
287,947
$
17,790
Information Technology System and Working Capital Fund
$
$
-
$
-
$
-
Entrepreneurial Development Programs
$ 247,700
$ 261,000
$
167,600
$ (93,400)
Administration
$ 155,150
$ 155,150
$
160,300
$
Loan Subsidy - Guaranteed Loan
$
-
Loan Subsidy - Microloan
$
4,000
Business Loan Program - Total
Gross New Budget Authority
6,000
Business Loan Program
5,150
$ 99,000
$
-
$
5,000
$
4,000
$ 159,150
$ 259,150
$
164,300
$ (94,850)
$ 10,000
$ 177,136
$
168,075
$
(9,061)
Disaster Loan Program Administration1
$ (99,000)
$
(1,000)
Inspector General
$
21,900
$ 21,900
$
22,011
$
111
Office of Advocacy
$
9,120
$
9,120
$
9,190
$
70
Surety Bond Guarantee
$
-
$
-
$
-
$
-
Total, Gross New Budget Authority, Excl. Stafford Act Disaster Funding
$ 715,370
$ 847,575
$
819,123
$ (28,452)
Total, Gross New Budget Authority, Incl. Stafford Act Disaster Funding
$ 715,370
$ 998,463
$
819,123
$ (179,340)
Rescission of Prior Year Unobligated Subsidy Balances
$ (50,000)
$(16,369)
$
-
$
(80,150)
$ (80,150)
$ 738,973
$ (243,121)
Offsetting Collections from Business Loan Programs
Total, Net Budget Authority
$ 665,370
$ 982,094
$
16,369
SALARIES & EXPENSES BUDGET
The top portion of the table shows the sources of funds for the Salaries and Expenses Budget first by
appropriation and then supplemented by all other sources. The bottom portion of the table identifies
the major expenditures of the Salaries and Expenses Budget. The following are the major categories:
FY 2019
FY 2020
FY 2021
FY 2021
Actuals
Enacted
Request
Incr/Decr
SOURCES: Salaries & Expenses Budget
Salaries and Expenses Appropriation
$
267,500
$
270,157
$ 287,947
$
17,790
Business Loan Administration Appropriation
$
155,150
$
155,150
$ 160,300
$
5,150
$
422,650
$
425,307
$ 448,247
$
22,940
Transfer from Disaster Loans
$
9,000
$
8,400
$
8,400
$
-
Transfer to Working Capital Fund
$
(6,000)
$
-
$
-
$
-
Carryover
$
(131)
$
-
$
-
$
-
Reimbursable Funding
$
2,301
$
3,400
$
3,400
$
-
Fee Collections
$
21,410
$
19,100
$
19,100
$
-
Recoveries and Lapsed Balances
$
(410)
$
-
$
-
$
-
Business Transfer
$
280
$
350
$
280
$
(70)
$ 449,100
$
456,557
$ 479,427
$
22,870
Office Operating Budgets
$ 112,192
$
96,018
$
96,598
$
580
Agency-Wide Costs
$
56,109
$
65,237
$
71,767
$
6,530
Compensation and Benefits
$ 278,498
$
291,902
$ 307,662
$
15,760
$ 446,799
$
453,157
$ 476,027
$
22,870
$
2,301
$
3,400
$
3,400
$
-
$ 449,100
$
456,557
$ 479,427
$
22,870
Subtotal, Appropriated Funds
Total, Sources of Funds
EXPENDITURES: Salaries & Expenses Budget
Subtotal, Agency Operating Budget
Additional Operating Expenses
Reimbursable Expenses
Total, Expenditures of Funds
OFFICE OPERATING BUDGETS
This table shows the office operating budgets for the line item included in the Salaries and
Expenses Appropriation account.
FY 2019
FY 2020
Actuals
Executive Direction1
$
Capital Access
Credit Risk Management
FY 2021
Enacted
15,954
$
$
8,424
$
17,402
2
$
Government Contracting & Business Development
$
Entrepreneurial Development
Chief Operating Officer3
Request
16,466
$
$
7,919
$
20,992
8,392
$
4,805
$
$
2,580
$
10,287
Chief Information Officer
$
International Trade
$
Office of Field Operations
Office of Veterans Business Development
Investments & Innovation
Total
FY 2021
Incr/Decr
16,466
$
-
$
7,849
$
(70)
$
20,992
$
-
5,449
$
2,449
$
(3,000)
5,670
$
6,320
$
650
$
1,201
$
1,201
$
-
$
7,877
$
7,877
$
-
39,402
$
24,839
$
27,839
$
3,000
646
$
600
$
600
$
-
$
3,971
$
4,683
$
4,683
$
-
$
329
$
322
$
322
$
-
$
112,192
$
96,018
$
96,598
$
580
1
Executive Direction includes the Office of the Administrator, Office of General Counsel, Office of Congressional and Legislative Affairs, Office of
Hearings and Appeals, Office of Communications and Public Liaison, Office of Performance Management and the Chief Financial Officer, and Office
of National Ombudsman.
2
Funding for the FAST Program was enacted in FY 2019 and FY 2020 in the Salaries and Expenses appropriation account. The FAST Program is a
grant program, not related to SBA administrative costs, and would be better aligned to the Entrepreneurial Development Programs account. The SBA is
not requesting funding for the FAST Program in FY 2021.
3
Chief Operating Officer includes the Office of Human Resource Solutions, Office of Diversity, Inclusion, and Civil Rights, Office of Continuous
Operations and Risk Management, and Office of Executive Management, Installation and Support Services.
ENTREPRENEURIAL DEVELOPMENT PROGRAMS
This table identifies the line items included in the Entrepreneurial Development Programs account.
FY 2019
Actuals
FY 2020
Enacted
FY 2021
Request
FY 2021
Incr/Decr
7(j) Technical Assistance Program
$
3,466
$
2,800
$
500
$
(2,300)
Entrepreneurship Education
$
5,863
$
2,500
$
2,500
$
-
$
-
$
-
$
-
$
-
Growth Accelerators
$
2,650
$
2,000
$
-
$
(2,000)
HUBZone Program
$
2,455
$
3,000
$
2,500
$
(500)
Microloan Technical Assistance
$
34,019
$
34,500
$
25,000
$
(9,500)
National Women's Business Council
$
819
$
1,500
$
1,500
$
-
Native American Outreach
$
2,179
$
2,000
$
1,500
$
(500)
PRIME Technical Assistance
$
4,878
$
5,500
$
-
$
(5,500)
Regional Innovation Clusters
$
5,473
$
5,000
$
-
$
(5,000)
SCORE
$
11,700
$
11,700
$
8,000
$
(3,700)
Small Business Development Centers (SBDC)
$
131,069
$
135,000
$
87,860
$
(47,140)
State Trade Expansion Program (STEP)
$
18,150
$
19,000
$
8,000
$
(11,000)
Veterans Outreach2
$
12,224
$
14,000
$
12,840
$
(1,160)
Women's Business Centers (WBC)
$
16,696
$
22,500
$
17,400
$
(5,100)
$
251,641
$
261,000
$
167,600
$
(93,400)
FAST
1
Total
1
Funding for the FAST Program was enacted in FY 2019 and FY 2020 in the Salaries and Expenses appropriation account. The FAST Program would be
better aligned to the Entrepreneurial Development Programs appropriation. The SBA is not requesting funding for the FAST Program in FY 2021.
2
Includes Funding for Veterans Business Outreach Centers (VBOC), Transition Assistance Program (TAP), Boots to Business (B2B), Service-Disabled
Veteran Entrepreneurship Training Program (SDVETP), Veteran Federal Procurement Entrepreneurship Training Program (VFPETP), and Women
Veteran Entrepreneurship Training Program (WVETP).
FULL TIME EQUIVALENT (FTE) EMPLOYEES
This table shows the number of Full Time Equivalent (FTE) employees by fiscal year and
major program activity. FTE is different from positions or headcount in that it is calculated by
the number of employee hours worked during the fiscal year.
Regular Funds1
FY 2019
FY 2020
FY 2021
FY 2021
Actuals
Enacted
Request
Incr/Decr
2,110
2,116
6
1,909
Lender Oversight (Fee Funded)
-
9
9
-
Entrepreneurial Development Programs
20
25
25
-
1,929
2,144
2,150
6
Disaster Loan Making
1,950
800
800
-
Disaster Loan Servicing
149
160
160
-
Sub-Total, Disaster
2,099
960
960
-
Office of Advocacy2
53
52
55
3
Inspector General
110
118
118
-
4,191
3,274
3,283
9
Sub-Total, Regular S&E
Total
1
The SBA requests an increase of 6 Full-Time Equivalent (FTE) employees to accommodate additional requirements
from the Lender Oversight Reform Act of 2018, to build additional risk management capacity for the SBIC Program, to
further the Woman Owned Small Business Certification Program per the Small Business Jobs Act, and to support the
Transition Assistance Program implementation per the National Defense Authorization Act of 2018.
2
The SBA requests an increase of 3 Full-Time Equivalent (FTE) employees to accommodate administration priorities
for manufacturing, agriculture, and intellectual property.
Program Performance, Analysis, and Evaluation
The Office of Program Performance, Analysis, and Evaluation (OPPAE) leads the SBA’s results-driven
activities, including strategic planning, performance management, program and project management,
program evaluation, and economic and regulatory impact analysis, to promote evidence-based decisions
in support of America’s 30 million small businesses
SBA’s Results-Driven Management Governance and Framework
The Deputy Administrator serves as SBA’s Chief Operating Officer (COO)
The Associate Administrator for Performance Management and Chief Financial
Officer serves as SBA’s Performance Improvement Officer (PIO)
The Director, Office of Program Performance, Analysis, and Evaluation serves as SBA’s Deputy
PIO, Program Management Improvement Officer, and Evaluation Officer
The Director, Analysis and Evaluation Division serves as SBA’s Statistical Official
OPPAE leads the development of the following SBA products and provides support services to SBA program
offices. A brief description of each product has been provided in each area.
Performance Management (Government Performance and Results Act Modernization Act)
Strategic Plan - serves as the long-term blueprint for accomplishing the Agency’s mission and priorities;
created every four years and connects SBA’s mission with its programs/activities and defines long-term
outcomes through strategic goals, objectives, and performance measures; sets the framework for annual
planning, budgeting, and accountability; developed in consultation with Congress and OMB and
incorporates public comment period and published one year after each Presidential inauguration.
Agency Priority Goals– a limited number of goals that advance the agencies mission; APGs
must be achieved within 24 months and rely on agency implementation within new
legislative and budgetary authority; must be discussed in quarterly data-driven reviews
Cross-Agency Priority (CAP) Goals (President’s Management Agenda) - serves as four-year goals
that support the cross-cutting policy areas managed by the White House/OMB
Annual Performance Plan (APP) and Annual Performance Report (APR) - provides the annual
framework for work to be completed and the resources necessary to complete that work; resources
justified through performance metrics and other evidence (best practices, research, evaluations); includes
annual metrics with targets (negotiated with OMB)
Agency Financial Report (AFR) - reports the Agency’s financial statements, relevant performance
information, management challenges, internal controls assessments, and systems strategy
Dashboards and Analytics – monthly, high-level view of Agency performance and weekly field
dashboards (produced for the field offices, used to communicate progress)
Quarterly Deep Dive Reviews – routine assessments led by agency leaders that bring together people,
resources, and analyses to drive progress and performance improvement
Annual Strategic Objective Reviews – an annual assessment of Agency objectives that uses
performance data and other evidence; an annual Summary of Findings is developed each spring with a
subset of objectives identified as: “Making Noteworthy Progress” and “Facing Significant Challenges”; a
brief summary of the findings from the strategic reviews will be published in the APP/APR
Data Quality Records and Policy – records that require review and approve final of performance data
for reporting to the public; SBA maintains a registry of records and ensure senior leaders sign before
publication
Program Evaluation (Foundations for Evidence-Based Policymaking Act)
Enterprise Learning Agenda – a systematic plan for identifying and addressing policy questions
relevant to programs, policies, and regulations; identifies and prioritizes strategies to develop evidence to
answer key questions
Annual Evaluation Plan – the annual evaluations that the agency plans to conduct and the questions that
the agency seeks to answer
Program Evaluation Framework and Guidelines – outlines the policy and principles for conducting
program evaluations within the SBA
Program Management (Program Management Improvement Accountability Act)
Program Management Improvement Plan – serves as the long-term (5-year) implementation plan for
program and project management; developed in consultation with OMB and the Program Management
Policy Council
Priority Project Portfolio Reviews – an assessment of SBA’s priority projects conducted in alignment
with the Quarterly Deep Dive Reviews
Priority Project Management Planning – the development of SBA’s priority projects; developed in
coordination with the Chief Operating Officer for SBA’s major program offices
Section IV. Technology/Digital Services Overview
Information Technology Management
The Chief Information Officer is charged with ensuring that SBA is at the forefront of technology and
that the IT mission, procurement, finance, human resources align (horizontally and vertically) to
deliver IT programs effectively.
a) Organization
There are Information Technology Specialists across SBA. Some IT Specialists report
directly to the Office of the Chief Information Officer (OCIO), and many are distributed
across program offices including, but not limited to, the Digital Services Office, Office of
Disaster Assistance, Office of the Chief Financial Officer, and Office of Capital Access.
b) Plans
Strategically, developing a modernization roadmap involves multiple dimensions that are
reconciled with the expected enterprise architecture. This includes, among other things,
application reconciliation, governance and lifecycle management functions, crossenterprise needs, enterprise level security, and operational support measures.
c) People
SBA hired a new CIO in May 2020 and recruitment activities are underway for a Deputy CIO.
The CIO is assessing the OCIO workforce and actively working to fill vacancies.
Workforce competencies that address the entire IT workforce, inclusive of all IT personnel
not just within the OCIO, are being developed to support long-term IT strategic initiatives
and capabilities.
d) Process
Governance is a full life-cycle process and the CIO will continue to drive IT alignment and
maturity across SBA that includes key stakeholders, business/mission system owner, IT
finance, procurement, security and privacy. The CIO is co-chair for the Business Technology
Investment Council (BTIC) that meets quarterly to review new investments, and examines
performance of current investments. It is SBA’s intent that the CIO has insight into all IT
procurement strategies throughout the IT management life-cycle. The CIO will continue
TechStats to review IT investments and identify critical problems, and conduct PortfolioStats
to assess the current maturity of the SBA IT portfolio management process and select
PortfolioStat action items to strengthen the IT portfolio.
Further, in FY 21 the CIO is working to strengthen enterprise architecture,
change/configuration Management services and improve overall internal process management
and performance through specific performance measures.
e) Technology
The CIO and program offices are managing a mix of legacy and modern systems. In FY 20-21,
the CIO will continue efforts to consolidate the SBA infrastructure, move to cloud computing,
and adopt shared services, Agile development and DevOps.
In FY 21, the CIO will be focused on enhancing foundational capabilities that include laptop
deployment, infrastructure upgrades. Data Center Optimization Initiatives include
architecting and implementing a long term solution to support SBA’s requirements and that
align with OMB M- 16-10_1.
SOP 90 82 2
SBA
SOP 90-82
Procedure for Managing SBA IT Investments
Investment Review Board (IRB)
Office of the Chief Information Officer
U.S. Small Business Administration
Effective Date: January 7, 2020
Page 1
SOP 90 82 2
CHAPTER 1 - INTRODUCTION ............................................................................................... 3
CHAPTER 2 – PURPOSE, SCOPE, AUTHORITY ................................................................. 6
CHAPTER 3 - DEFINITIONS .................................................................................................... 8
CHAPTER 4 – IT GOVERNANCE PHASES ......................................................................... 11
CHAPTER 5 – BTIC MEETINGS FAQs................................................................................. 15
Effective Date: January 7, 2020
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SOP 90 82 2
Chapter 1 - Introduction
Background
Agencies must seek opportunities to shift to commodity information technology (IT), leverage
technology, procurement, and best practices across the whole of government, and build on
existing investments. The Federal Government must focus on maximizing the return on
American taxpayers' investment in government spending by ensuring it drives efficiency
throughout the Federal Government. On December 19, 2014, Congress enacted the Federal
Information Technology Acquisition Reform Act (FITARA). FITARA outlines specific
requirements related to:
Agency Chief Information Officer (CIO) Authority Enhancements.
Enhanced Transparency and Improved Risk Management in IT Investments.
Portfolio Review.
Federal Data Center Consolidation Initiative.
Expansion of Training and Use of IT Cadres.
Maximizing the Benefit of the Federal Strategic Sourcing Initiative
Government wide Software Purchasing Program
To implement the requirements of FITARA, combined with the need to update policy and
guidance related to other modern IT practices, SBA’s Office of the Chief Information Officer
(OCIO) is updating this SOP guidance.
Additionally, SBA has approved SOP 20 21, SBA’s Acquisition Program, which supports the
implementation of FITARA.
FITARA requires “The head of each covered agency ... shall ensure that the Chief Information
Officer of the agency has a significant role in-(i) the decision processes for all annual and multiyear planning, programming, budgeting, and execution decisions" 1. The Office of Management
and Budget’s (OMB) implementing memo, Memorandum M-15-14, Management and Oversight
of Federal Information Technology, requires that “the agency head shall ensure the agency-wide
budget development process includes the CFO, CAO, and CIO in the planning, programming,
and budgeting stages for programs that include IT resources (not just programs that are primarily
IT oriented).”2 Additionally, the CIO shall review and approve the major IT investment portion
of budget request and agency budget justification materials in the agency’s initial budget
submission to OMB and shall include a statement that affirms the following:
The CIO has reviewed and approves the major IT investments portion of this budget
request.
The CFO and CIO jointly affirm that the CIO had a significant role in reviewing planned
IT support for major program objectives and significant increases and decreases in IT
resources.
The IT Portfolio (formerly Exhibit 53) includes appropriate estimates of all IT resources
included in the budget request.
OMB Memorandum M-13-09, Fiscal Year 2013 PortfolioStat Guidance: Strengthening Federal
IT Portfolio Management, requires all Executive Departments and Agencies to “strengthen IT
1 40 U.S.C.§ 11319(b)(1)(A)
2 M-15-14, Management and Oversight of Federal Information Technology
Effective Date: January 7, 2020
Page 3
SOP 90 82 2
portfolio governance.” It states “strong oversight of spending through the use of effective
Investment Review Boards (IRBs) that include Chief Operating Officers (COO), Chief
Information Officers (CIO), Chief Human Capital Officers (CHCO), Chief Financial Officers
(CFO), Chief Acquisition Officers (CAO), Performance Improvement Officers (PIO), program
officials, and other key executive decision makers is essential for efficient and effective IT
portfolio management.”3
IRBs are composed of senior leadership and OCIO staff and are chaired by the CIO. The agency
IRB serves as an authoritative body which reviews and advises on IT portfolio spending, budget
plans, as well as investment recommendations to fund, defund, and terminate projects.
Agencies with rigorous IRBs ensure that all stakeholder needs are addressed, and decisions are
made in the best interest of the agency. Effective IRBs include the use of:
1. Enterprise-wide architectures that link business and technology to ensure that IT solutions
meet business requirements, as well as identify areas of waste and duplication wherever
consolidation is possible. Additionally, the degree of system co-dependence and redundancy
will be constantly evaluated and documented to ensure effective continuity of operations; and
2. Valuation methodologies used by decision makers to evaluate investments based on their
value to the agency and the cost to the taxpayer. This enables greater consistency and rigor
in the process of selecting, controlling, and evaluating investments that an agency decides to
fund, de-fund, or terminate.
SBA established the Business Technology Investment Council (BTIC) to serve as its IRB and
to serve as the principal governance body in managing SBA IT investments. Also, the BTIC is
responsible for implementing key provisions as stated in FITARA. To ensure early matching of
appropriate IT with program objectives, the CIO shall be a member of governance boards that
include IT resources including bureau IRBs.
Section 40 U.S.C. § 11319(b)(1)(A) describes the decision processes for all annual and multiyear planning, programming, budgeting, and execution decisions and the management,
governance and oversight processes related to IT and the Clinger-Cohen Act (Information
Technology Management Reform Act of 1996).
Section 40 USC §1101 et seq and in particular, 40 USC §11312 concerning Capital Planning
and Investment Control (CPIC), and 40 USC §11315(c)(2), indicates that the CIO of an Agency
“monitors the performance of information technology programs of the agency, evaluates the
performance of those programs on the basis of the applicable performance measurements, and
advises the head of the agency regarding whether to continue, modify, or terminate a program
or project.”4
The BTIC provides direction and leadership to review and approve the SBA IT Portfolio that
creates the optimum return, supports the Agency’s mission, and ensures the accountability of
SBA Business and IT investments.
The BTIC process begins with the requirements phase to initiate the project and continues
through the end of a project/investment. The BTIC serves vital roles in:
3 M-13-09, Fiscal Year 2013 PortfolioStat Guidance: Strengthening Federal IT Portfolio Management
4 https://www.govinfo.gov/app/details/USCODE-2011-title40/USCODE-2011-title40-subtitleIII-chap113-
subchapII-sec11315
Effective Date: January 7, 2020
Page 4
SOP 90 82 2
A. Reviewing investments to ensure they are in compliance with the guidance in SOP
9052— IT Investment Performance Baseline Management Policy and making
recommendations to the Administrator on SBA’s Business and IT investment portfolio
B. Providing oversight and direction on SBA’s IT portfolio/investments, including SBA
mission applications and commodity IT, ensuring EA compliance, and requiring
valuation.
C. Conducting on-going quality assurance reviews of major investments to ensure they
are in compliance with the guidance provided in SOP 90 41—Procedures for Managing
and Assessing the Quality of SBA Information Technology Projects.
Effective Date: January 7, 2020
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SOP 90 82 2
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Effective Date: January 7, 2020
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Chapter 2 – Purpose, Scope, Authority
1. Purpose
This SOP establishes the policy and procedures for SBA IT Investment Management. It contains
definitions, basic information about IT capital planning and investment control, and roles and
responsibilities for the BTIC.
Scope
This SOP applies to all SBA personnel involved in IT governance. Specifically, it applies to:
All SBA organizational components including, but not limited to: Headquarters,
Program Offices, and Field Offices, as well as external entities with contractual
relationships with SBA involving SBA IT resources and contractors.
All SBA personnel/contractors involved in the acquisition, development, maintenance,
management, and operations of SBA IT capital assets. This includes government
employees and non-government personnel who have been cleared by SBA.
Authority and References
A. Federal Information Technology Acquisition Reform Act of 2014 (FITARA)
B. Information Technology Management Reform Act of 1996 (also known as the ClingerCohen Act)
C. Public Law 104-106, in particular, Section 5122 on CPIC and Section 5125(c)(2), which
charges agencies' CIOs with the duty to, "monitor the performance of information technology
programs of the agency, evaluate the performance of those programs on the basis of the
applicable performance measurements and advise the head of the agency regarding whether
to continue, modify or terminate a program or project."
Effective Date: January 7, 2020
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Effective Date: January 7, 2020
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Chapter 3 - Definitions
1. Business Investment: Refers to the planning, development, acquisition of a capital asset to meet the
identified business operation needs, and the management of the capital asset throughout its usable life
after the initial acquisition.
2. Capital Planning and Investment Control (CPIC): As defined by OMB Circular A-11, “means the
same as capital programming and is a decision-making process for ensuring IT investments integrate
strategic planning, budgeting, procurement, and the management of IT in support of agency missions
and business needs. The term comes from the Clinger-Cohen Act of 1996 and generally is used in
relationship to IT management issues.”
3. Commodity IT: Commodity IT is defined to include the following:
A. IT Infrastructure: Data centers, hosting, networks, wireless communications (voice, data,
and video), server hardware, memory and storage, network devices, and any managed
services, cloud services, or shared services that involve IT infrastructure.
B. Platforms: Platform-as-a-Service (PaaS), application platforms, and common-operatingenvironments that are enterprise platforms or are platforms that are shared between two or
more systems or applications
C. Enterprise Licenses: Software licenses that are enterprise licenses or are software products
or licenses that support infrastructure or common platforms.
D. End User Devices: These include, but are not limited to desktops, laptops, tablets, and
smartphones.
E. Enterprise IT Services: Common applications such as e-mail, collaboration tools, identity
and access management, cyber security, web infrastructure, or similar common applications
provided by a shared service, managed service, or cloud service.
4. Architecture Review Board (ARB): The Architecture Review Board (ARB) acts as the governance
body to oversee SBA’s Enterprise-wide Architecture (EA) which consists of segment architectures.
More importantly, the ARB will establish adequate governance to ensure SBA investments conform
to an overarching SBA EA in providing enterprise level solutions.
5. Major IT Business Case (MITBC) (formally Exhibit 300 A and B): The Major IT Business Case
is designed to coordinate OMB’s collection of agency information for its reports to the Congress
required by the Federal Acquisition Streamlining Act of 1994 (FAS Title V) and the Clinger-Cohen
Act of 1996.
6. The business case for investment should be demonstrated for supporting the mission statements, longterm goals and objectives, and annual performance plans developed pursuant to the Government
Performance and Results Act (GPRA). In addition, the Major Business Case Details establishes
reporting requirements through the Federal IT Dashboard to ensure the proper execution of those
investments against the established performance plans.
7. Agency IT Portfolio Summary (AITPS) formally the Exhibit 53: Is a summary report of all
Agency IT investments (major, non-major and eGov contributions) to include funding requests.
8. IT Investment: Refers to the expenditure of funds for IT resources to address mission delivery and
management support. An IT investment may include a project or projects for the development,
modernization, enhancement, or maintenance of a single IT asset or group of IT assets with related
functionality and the subsequent operation of those assets in a production environment.
9. Investment Review Board (IRB): Refers to governance board composed of senior leadership,
OCIO, and is chaired by the CIO. The Agency IRB serves as an authoritative body which reviews
and advises on portfolio spending, budget plans, as well as investment recommendations to fund,
defund, and terminate projects.
10. IT Dashboard: Refers to a website (www.itdashboard.gov) that enables Federal agencies, industry,
the general public, and other stakeholders to view details regarding the performance of Federal IT
investments. The IT Dashboard is used by the Administration and Congress to inform budget and
policy decisions.
Effective Date: January 7, 2020
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SOP 90 82 2
11. Major IT Investments: Refers to an IT investment requiring special management attention because
of its importance to the mission or function to the government; significant program or policy
implications; high executive visibility; high development, operating, or maintenance costs unusual
funding mechanisms.
12. Mission Applications: Mission applications directly support Agency programs, business process
outcomes, and the Agency strategic plan or legislative mandates. Mission applications are supported
by commodity IT, but are not considered part of commodity IT.
13. Non-Major IT Investments: Investments not considered “major” are “non-major”.
14. PortfolioStat: PortfolioStat is a tool for agencies to use to assess the current maturity of their IT
portfolio management process and make decisions on eliminating duplication across their
organizations. PortfolioStat was launched by the OMB on March 30, 2012.
15. Projects: An individual or collaborative work effort that is carefully planned and designed to achieve
specific goals with an investment.
16. SBA IT Portfolio Management Framework: This is a sequential set of annual activities that are
closely linked to the annual Federal budget cycle. The framework is designed to facilitate a crossfunctional, enterprise-wide view for the governance of SBA investments.
17. The SBA IT Portfolio Management Framework enables the SBA BTIC to manage the entire Capital
Planning and Investment Control (CPIC) process, align investment decisions with Agency’s mission
and strategic goals and provide on-going oversight.
18. TechStat: Refers to a face-to-face, evidence-based accountability review of an IT program with
Agency leadership and OMB, as appropriate. TechStat sessions enable the Federal Government to
redirect, re-scope or terminate IT investments that do not produce dividends for the American People.
Effective Date: January 7, 2020
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Effective Date: January 7, 2020
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Chapter 4 – IT Governance Phases
BTIC Portfolio and Investment Management Phases
The SBA Portfolio and Investment management framework provides the SBA BTIC with a
mechanism to manage the CPIC process, and ensures investments integrate strategic planning,
budgeting, and procurement. It facilitates a cross-functional, enterprise-wide view for the
governance of SBA investments for review, approval and budget submission for IT investments
in both Mission Applications and Commodity IT areas.
In line with Federal IT Budget Submission and Execution Cycle, the SBA BTIC Portfolio and
Investment management includes three phases:
1.
Planning and Formulation Phase
The purpose of the SBA Information Resources Management (IRM) Strategic Plan is to guide
the use of SBA IT resources in achieving SBA strategic goals. In addition, the Enterprise
Roadmap documents an agency's current and future views of its business and technology
environment from an architecture perspective.
It does so by reflecting the implementation of new or updated business capabilities and enabling
technologies by making changes in the capabilities of a system or process. Enabling technologies
are characterized by modernization efforts that support the agency's strategic goals and
initiatives. It also contains a transition plan to show the sequence of actions needed to implement
the IRM Strategic plan. Moreover, it focuses on increasing shared approaches to IT service
delivery across mission, support, and commodity areas..
The BTIC will review:
New IT initiatives proposed by Investment Sponsor/Owner and review the business
cases presented by investment teams for existing investments.
The criteria for the budget year SBA portfolio that supports the SBA’s missions and
strategic plan, as well as the Federal budget guidance for IT investment.
The criteria for project initiation proposed by Investment Sponsor/Owner, including
cost and risks thresholds for project request.
When initiating proposals or preparing for a BTIC Review, Program Offices should work closely
with OCIO to develop the required materials and supporting documentation. Many of these
documents and materials are used to demonstrate alignment with the Enterprise Architecture.
a. Architecture Review Board (ARB): All proposed IT initiatives that require
BTIC review shall be assessed by the ARB. The ARB supports the process of
researching, investing, architecting and implementing IT capabilities and services.
ARB approval is required prior to BTIC evaluation. After the ARB assesses and
approves a proposed change to the Enterprise Architecture, the BTIC will conduct
the following reviews to ensure IT initiatives are in alignment with OMB
guidance and the Agency’s IT Mission and strategic objectives.
b. SOP 20 21, SBA’s Acquisition Program, states that “For IT-related acquisitions,
the acquisition plan must note whether SBA’s Business Technology Investment
Council’s (or any successor council) approval for the services was required and
the results of the Council approval process and it must be signed by the CIO”.
Effective Date: January 7, 2020
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SOP 90 82 2
2
IT Portfolio Summary Review, Approval, and Submission Phase
The BTIC reviews and prioritizes the submitted investments or initiative proposals for inclusion
into the SBA portfolio for the budget year.
The BTIC makes recommendations on the SBA IT portfolio for the Administrator’s
consideration.
The BTIC reviews the final SBA IT portfolio budget request and approves the submission of the
Agency IT Portfolio and Major Business Cases for major IT investments based on the approved
IT budget request to OMB.
The BTIC reviews the updates to investment budget and justification based on guidance from
OMB and approves the re-submission of the Agency IT Portfolio and Major Business Cases.
3
Investment Execution Oversight Phase
Once investments are approved and appropriations are designated, the BTIC shall provide
oversight and conduct reviews to ensure that investment scope, outcomes and progress are
aligned with the established stated goals and compliance with the guidance provided in SOP 90
41. Investment reviews will be conducted on at least an annual basis to determine the overall
health of an existing investment, approve project level requests, and assign project resources, if
needed, for the investments. The BTIC will leverage the current Agency-wide governance
processes as listed below to support our investment oversight:
a. Monthly IT Dashboard Submission Process: For Major IT investments,
performance progress in investment project schedules, risks, operational metrics,
and investment program team (IPT), and contract data are required to be
submitted to the Federal IT Dashboard on monthly basis, along with the CIO
evaluation.
b. Project Management: SBA requires project managers to follow a System
Development Methodology (SDM) iterative development, to include release
management within a six-month timeframe. The Investment Managers and Project
Managers manage projects and document supporting artifacts. BTIC will review
active projects and if needed assign project managers and review project
manager’s certificates.
c. Capital Planning Investment Control (CPIC): CPIC is a mechanism for
providing quality data and recommendations to executive decision-makers on IT
investments for inclusion into the IT portfolio. SBA’s IT investment management,
comprised of the SBA’s CPIC and IT budget processes, is part of the SBA’s
integrated IT Investment Management (ITIM) governance framework. The CPIC
is not a governing body, but rather a set of planning and oversight processes that
the BTIC executes. When the BTIC oversees and evaluates investments, it relies
on the process of the Control and Evaluation phases of CPIC.
i. Control Phase: Ensures, through timely oversight, quality control, and
BTIC executive review, that IT investments are executed or developed in a
disciplined, well-managed, and consistent manner.
ii. Evaluation Phase: Actual results of the implemented projects are
compared to planned results to assess investment performance. Once
investments are implemented, actual versus expected results are evaluated.
d. TechStat: TechStat provides a face-to-face, evidence-based review of an IT
investment that enables SBA to turn around, halt or terminate IT investments that
Effective Date: January 7, 2020
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SOP 90 82 2
are not effectively performing. The BTIC has the authority to direct TechStat
reviews as needed.
e. Incremental Development Certification: The CIO will certify that major IT
investments adequately use incremental development, in accordance with OMB's
guidance on the implementation of FITARA.
Effective Date: January 7, 2020
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Effective Date: January 7, 2020
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SOP 90 82 2
Chapter 5 – BTIC Meetings FAQs
1. How often does the BTIC meet?
The BTIC meeting will be held at least quarterly to ensure that investment oversight and review
functions are being met. Each major investment must be presented at minimum on an annual
basis. Ad hoc meetings may be called by the Co-Chairs at any time to deal with urgent issues
related to BTIC business or Agency projects.
2.Who provides administrative support for BTIC meetings?
Administrative Support for the Council will be provided by the staff of OCIO. This will include:
Secretariat staff support for Council meetings (meeting minutes, agenda and materials
distribution, electronic and paper files maintenance, etc.).
Technical expertise on IT matters.
Solicitation of agenda items from Council members.
Advice and guidance concerning government-wide IT policies and practices.
3.What are the BTIC agenda topics?
The BTIC will review IT issues and topics presented before them, as appropriate. Agency-wide
approach in Digital Strategy, Commodity IT, Enterprise Roadmap, capital planning, quality
assurance as well as IT budget and IT procurement guidance will be standing topics for
consideration by the BTIC to ensure compliance with the Agency’s EA and also alignment with
the Agency’s mission and strategic goals. The detailed investment review will be presented at the
BTIC meeting for investment monitoring, including areas in but not limited to:
a. Investment status, risks, cost and schedule variance, operational metrics, procurement
management and contract oversight, staffing and supporting documentation.
b. IT investments (at the project level):
i.
ii.
Active projects that meet established criteria in cost, impact, and risk threshold as
determined by OMB A-11 guidance.
Project cost, schedule, and performance baselines (and changes to those approved
baselines) for SBA investments that are governed directly by the SBA BTIC.
Effective Date: January 7, 2020
Page 16
SOP 90 82 2
4.Who are the BTIC members?
The BTIC is co-chaired by the CIO and the Chief Financial Officer (CFO) and is comprised of
the following voting members:
Voting Members
Title
Office
Chief of Staff
Office of the Administrator
Chief Operating Officer
Office of the Administrator
Chief Human Capital Officer
Office of Human Resource Solutions
Associate Administrator
Office of Field Operations
Associate Administrator
Office of Veterans Business Development
Associate Administrator
Office of Capital Access
Associate Administrator
Office of Entrepreneurial Development
Associate Administrator
Office of Disaster Assistance
Associate Administrator
Office of Investment and Innovation
Associate Administrator
Office of Communications & Public Liaison
Associate Administrator
Office of Government Contracting and Business
Development
Chief Information Officer
Office of the Chief Information Officer
Chief Financial Officer
Office of Performance Management and Chief Financial
Officer
*There will be only one vote per member
***Designated voting members within each office can delegate their responsibilities to a
deputy within their office. Names of delegate voting members must be submitted to the
BTIC in advance of them participating.
***All final votes will be determined by simple majority
Effective Date: January 7, 2020
Page 17
SOP 90 82 2
A. Non-Voting Members
Title
Office
Chief Counsel for Advocacy
Office of Advocacy
National Ombudsman and Assistant Administrator
For Regulatory Enforcement Fairness
Office of the National Ombudsman
General Counsel
Office of the General Counsel
Senior Procurement Executive
Office of Acquisitions
Executive Director
Office of Executive Management, Installations
& Support Services
Effective Date: January 7, 2020
Page 18
Office of the Chief Information Officer
Network Access Request Form
Tell us about this request.
This request is for a new account.
Start date:
This request is to modify an existing account
(e.g. change in name, title, phone number, or Program Office).
Tell us about the individual.
Name must be the individual’s full legal name as it appears on the SF-52 / OF-306.
Last Name:
First Name:
Middle Initial:
Previous name (requests for name changes only):
Status:
Permanent
Intern
On-site Contractor
Temp/Term
Volunteer
Off-site Contractor
Title:
Phone Number:
Tell us where this individual works.
Program Office Name and Region:
Agency Mailing Address:
Who is their Federal Supervisor or Contracting Officer Representative (COR)?
What is the Supervisor or COR’s phone number?
What is the Supervisor or COR’s email address?
Please specify any Program Office network folders or drives that this individual requires access to:
If the individual is a contractor, tell us about their company.
Company Name:
Contract Number:
SBA Form 1228 (Revised 2020/01/28)
Contract Expiration Date:
Network Access Request Form
Please read carefully.
Enterprise Office Automation Capabilities
Execution of this form will result in the provisioning of access to the SBA Enterprise Network and issuance of an
SBA-issued laptop. This access includes access to email, Internet and intranet resources, document generation
and management tools, office messaging, remote access, and other office automation capabilities. Please tell us
of any of the following conditions apply:
This individual does not need an SBA-issued laptop.
This individual needs a desk phone.
This individual needs a mobile device.
Cybersecurity and Privacy Policy
By completing this form, the requesting Program Office understands and acknowledges that the access requested
carries the responsibility of adhering to all aspects of SBA Cybersecurity and Privacy Policies. The requesting
Program Office further understands and acknowledges that violation of these policies may result in suspension or
termination of access.
Notice of Separation
The Office of the Chief Information Officer is required to automatically remove network access for separated
individuals within thirty (30) calendar days of separation. The requesting Program Office understands and
acknowledges that it is their responsibility to notify the Office of the Chief Information Officer when individuals
(federal or contractor) separate from the agency. The requesting Program Office also understands and
acknowledges that it is their responsibility to provide notification to the Office of the Chief Information Officer for
individuals who will be absent from the agency for a period longer than thirty (30) calendar days (e.g. military duty,
maternity leave, paternity leave) to prevent access removal.
The information in this form is complete and accurate, and I understand and acknowledge the conditions above.
Federal Supervisor or Contracting Officer Representative
Signature: _______________________________________
Date: _____________________________
Access Approvals
Office of Human Resources Solutions (SBA employees) or
Office of Inspector General Human Resources (IG employees)
[ this approval is not required ]
[ for contractor personnel ]
Signature: _______________________________________
Date: _____________________________
Office of Personnel Security (SBA employees and contractors) or
Office of Inspector General Office of Security Operations (IG employees and contractors)
Signature: _______________________________________
Date: _____________________________
Office of the Chief Information Officer or Office of Disaster Assistance
Signature: _______________________________________
SBA Form 1228 (Revised 2020/01/28)
Page 2
Date: _____________________________
SBA's Standard Operating Procedures (SOPs)
Edition
Effective
Date
00 01
Delegations of
Authority and
Lines of
Successions
3
18-Apr
00 02
Internal Control
Systems
2
SOP Number
SOP Title
SOP Owner
2020
Certification
Chief Operating
Officer
YES
Chief Financial
Officer
YES
Jan-86
00 03
Federal Register
Program
3
20-Jun
OEMISS
YES
00 07
HSPD-12 Personal Identify
Verification (PIV)
2
15-Jul
Chief Operating
Officer
YES
00 08
Organizational
Structure
3
07/12
Personnel
YES
00 10
Mail Management
Program
4
Sep-99
Chief Operating
Officer
YES
00 13
Personal Property
Management
Program
5
7-Aug
Chief Operating
Officer
YES
00 14
Printing Program
1
Apr-98
Chief Operating
Officer
YES
SOP Number
00 15
SOP Title
Space
Management
Program
Edition
Effective
Date
4
6-May
Chief Operating
Officer
YES
YES
SOP Owner
2020
Certification
00 16
Safety Program
4
16-Sep
Office of
Administrative
Services
00 18
Federal Assistance
Policy Directive
(Grants)
1
09/19
Office of Grants
Management
YES
5
17-Aug
Chief Operating
Officer
YES
8
19-Sep
Chief Operating
Officer
YES
YES
00 21
00 23
Executive
Secretariat's
Mission and
Functions
Directives
Management
Program
00 30
Forms and Other
Information
Collection
Management
Program
4
18-May
Executive
Management,
Installations &
Support Services
00 41
Records
Management
Program
2
Dec-98
Chief Operating
Officer
YES
00 80
Alternate Work
Sites
5-Dec
Office of Field
Operations
YES
10 04
Processing
Applications for
SBIC Licenses
14-Aug
Investment
YES
1
SOP Number
SOP Title
10 06
Oversight and
Regulations of
SBICs Investment
Division
10 07
SBIC Liquidation
Program
10 09
Edition
Effective
Date
SOP Owner
2020
Certification
7-May
Investment
YES
1
7-Dec
Investment
YES
SBIC Examinations
Guidelines
1
10/13
Investment
YES
20 01
Operating Budget
System - Part 1
1
Oct-83
Chief Financial
Officer
YES
20 03
Accounting
Structure
3
Mar-94
Chief Financial
Officer
YES
20 05
Cash Control and
Process
Procedures
4
6-Apr
Chief Financial
Officer
YES
20 05
Cash Control and
Process
Procedures
5
13-Oct
Chief Financial
Officer
YES
20 08
SBIC Accounting
Procedures
3
17-Aug
20 11
Travel
6
19-May
20 12
Administrative
Accounting
Procedures
5
19-Aug
Chief Financial
Officer
Chief Financial
Officer
Chief Financial
Officer
YES
YES
YES
SOP Number
SOP Title
Edition
20 13
Capitalized
Property
Accounting
Program
5
20 19
Loan Accounting
Procedures
2
20 21
The Small
Business
Administration
Acquisition
Program
1
Effective
Date
SOP Owner
2020
Certification
Chief Financial
Officer
YES
Jun-88
Chief Financial
Officer
YES
11/19
Chief Financial
Officer
YES
20 22
The Government
Purchase Card
Program
16-Aug
Chief Financial
Officer
YES
20 30
Agency Guidelines
on Financial
Mnagement
Systems
Apr-85
Chief Financial
Officer
YES
Internal Control
08/19
Chief Financial
Officer
YES
1
08/17
Chief Financial
Officer
YES
1
14-Feb
Chief Financial
Officer
YES
20 31
20 32
20 35
Estimating and
Reporting
Improper
Payments
System For OIG
Audit Follow-up
SOP Number
SOP Title
Edition
Effective
Date
SOP Owner
2020
Certification
16-May
Chief Financial
Officer
YES
20 36
Monitoring
Unliquidated
Obligations
32 52
Personnel
Management
Authority
3
Jul-84
Personnel
YES
33 00
Employment
2
Sep-00
Human Capital
Management
YES
33 01
Superior
Qualifications and
Special Needs PaySetting Authority
1
13-Mar
Human Resources
YES
33 02
Recruitment,
Relocation, and
Retention
Incentives
1A
14-Oct
Human Resources
YES
1
13-Jan
Human Resources
YES
2
17-Aug
Human Resources
YES
16-Jan
Human Resources
YES
02/19
Human Resources
YES
33 03
33 04
33 05
33 06
Pathways
Program
Merit Promotion
and Placement
Plan
Delegated
Examining
Business and
Professionals
Distinguished
Fellowship
Program
SOP Owner
2020
Certification
02/19
Human Resources
YES
07/19
Human Resources
YES
33 09
Career Transition
Assistance Plan
(CTAP),
Interagency
Career Transition
Plan (ICTAP) and
Reemployment
Priority List (RPL)
08/19
Human Resources
YES
33 10
Intra-Agency
Details,
Interagency
Details, Details to
International
Organizations and
Intergovernment
Personnel Act
Assignments
08/19
Human Resources
YES
33 11
Probationary and
Trial Periods
08/19
Human Resources
YES
33 59
Telework Program
15-May
Human Resources
YES
34 00
Separation
Clearance
11-Sep
Human Capital
Management
YES
4
18-Mar
Human Resources
YES
5
15-Oct
Human Resources
YES
SOP Number
33 07
33 08
34 10
34 30
SOP Title
Edition
Nepotism
Drug Testing
Program
Employee Talent
Development
Program
Performance
Management
Program
3
Effective
Date
Edition
Effective
Date
SOP Owner
2020
Certification
34 50
Employee
Recognition
Program
2B
18-Mar
Human Resources
YES
35 00
Classification and
Position
Management
Program
3
19-Mar
Human Resources
YES
36 00
Attendance and
Leave
Dec-97
Human Resources
YES
36 01
Compensatory
Time Off For
Travel
14-Apr
Human Resources
YES
36 04
Creditable Service
for Annual Leave
Accrual for NonFederal and Active
Duty Uniformed
Work Experience
10/18
Human Resources
YES
37 11
SBA Labor
Relations Program
5
Mar-98
Human Resources
YES
37 13
Equal
Employment
Opportunity
Program
3
12-Dec
EEOC
YES
SOP Number
SOP Title
1
SOP Number
SOP Title
Edition
Effective
Date
SOP Owner
2020
Certification
20-Mar
Office of Diversity,
Inclusion & Civil
Rights
YES
15-Apr
Office of Diversity,
Inclusion & Civil
Rights
YES
04/20
Ofice of Diversity,
Inclusion & Civil
Rights
YES
37 14
Conflict
Resolution Center
37 15
Anti-Harassment
Policy &
Procedures
37 16
Language Access
Plan and Recipient
Guidance
37 52
Discipline and
Adverse Actions
3A
19-May
Human Resources
YES
37 71
Employee Dispute
Resolution
Process
3
08/17
Human Resources
YES
37 92
Employee
Assistance
Program
3
Feb-90
Human Resources
YES
39 15
The Acquisition
Career
Development
Program
2
8-Jan
Chief Operating
Officer
YES
39 15
Acquisition Career
Development
Program
2A
10-Jul
Chief Operating
Officer
YES
2
SOP Number
39 20
39 21
39 22
39 30
SOP Title
Senior Executive
Service
Management
Category Rating
Human Capital
Accountability
Policy
Addressing
Domestic
Violence, Sexual
Assault, and
Stalking
Edition
Effective
Date
SOP Owner
2020
Certification
3
17-Apr
Human Resources
YES
1
12-Mar
Human Resources
YES
1
20-Aug
Human Resources
YES
1
13-Dec
Human Resources
YES
11/17
Chief Operating
Officer
YES
39 31
Personnel Security
and Suitability
40 00
Congressional and
Legislative Affairs
3
17-Jan
CLA
YES
40 03
Disclosure of
Information
4
18-May
Hearings & Appeals
YES
40 04
Privacy Act
Procedures
3
4-Jun
Chief Information
Officer
YES
50 10
Loan Processing Posted 11-20-00 Revisions A-E are
all included.
4
Dec-97
Financial Assistance
YES
SOP Number
50 10
50 10
50 10
50 10
50 10
50 10
50 10
50 10
SOP Title
Lender
Development
Company Loan
Programs
Lender
Development
Company Loan
Programs
Lender
Development
Company Loan
Programs
Lender
Development
Company Loan
Programs
Lender
Development
Company Loan
Lender
Development
Company Loan
Programs
Lender and
Development
Company Loan
Programs
Lender and
Development
Company Loan
Programs
Edition
Effective
Date
SOP Owner
2020
Certification
5
8-Aug
Financial Assistance
YES
5
9-Mar
Financial Assistance
YES
5
9-Oct
Financial Assistance
YES
5
9-Oct
Financial Assistance
YES
5
10-Oct
Financial Assistance
YES
5
11-Oct
Financial Assistance
YES
5
12-Oct
Financial Assistance
YES
5
12-Oct
Financial Assistance
YES
Edition
Effective
Date
SOP Owner
2020
Certification
50 10
Lender and
Development
Company Loan
Programs
5
12-Jan
Financial Assistance
YES
50 10
Lender and
Development
Company Loan
Programs
5
12-Jan
Financial Assistance
YES
50 10
Chapter 6 Closings
5
12-Jun
Financial Assistance
YES
50 10
Lender
Development
Company Loan
Programs
5
12-Jun
Financial Assistance
YES
50 10
Lender
Development
Company Loan
Programs
5
12-Jun
Financial Assistance
YES
50 10
Lender
Development
Company Loan
Programs
5
14-Jan
Financial Assistance
YES
50 10
Lender
Development
Company Loan
Programs
5
14-Jan
Financial Assistance
YES
SOP Number
SOP Title
Edition
Effective
Date
SOP Owner
2020
Certification
50 10
Lender
Development
Company Loan
Programs
5
14-Jan
Financial Assistance
YES
50 10
Lender and
Development
Company Loan
Programs
5
1-May
Financial Assistance
YES
5
01/17
Financial Assistance
YES
5
01/18
Financial Assistance
YES
5
02/19
Financial Assistance
YES
6
10/20
Financial Assistance
YES
9
18-May
SOP Number
50 10
50 10
50 10
50 10
50 30
SOP Title
Lender and
Development
Company Loan
Programs
Lender and
Development
Company Loan
Programs
Lender and
Development
Company Loan
Program
Lender and
Development
Company Loan
Program
Disaster
Assistance
Program
YES
SOP Title
Edition
Effective
Date
SOP Owner
2020
Certification
50 45
The Surety Bond
Guarantee
Program
2
Mar-99
Surety Guarantees
YES
50 45
The Surety Bond
Guarantee
Program
3
15-Aug
Surety Guarantee
YES
50 46
Claims Recovery
Program
2
16-Aug
Surety Guarantees
YES
50 50
Loan Servicing
4
Dec-97
Financial Assistance
YES
50 50
Loan Servicing
4
Dec-97
Financial Assistance
YES
50 50
Loan Servicing
Financial Assistance
YES
50 50
Loan Servicing
4
Financial Assistance
YES
50 50
Loan Servicing
4
Dec-97
Financial Assistance
YES
50 51
Loan Liquidation
and Acquired
Property
2
Dec-97
Financial Assistance
YES
SOP Number
SOP Title
Edition
Effective
Date
SOP Owner
2020
Certification
50 51 - A
Loan Liquidation
and Acquired
Property
2
Dec-97
Financial Assistance
YES
50 51 - B
Loan Liquidation
and Acquired
Property
2
5-Apr
Financial Assistance
YES
50 51 - C
Loan Liquidation
and Acquired
Property
2
5-Sep
Financial Assistance
YES
50 51 - D
National Loan and
Acquired
Property
2
50 51
Loan Liquidition
3
50 52
Disaster Loan
Servicing and
Liquidation
2
50 53
Lender
Supervision and
Enforcement
SOP Number
YES
Financial Assistance
YES
15-Sep
Financial Assistance
YES
10-Oct
Credit Risk
Management
YES
SOP Number
SOP Title
Edition
Lender
Supervision and
Enforcement
Loan Servicing
and Liquidation
Effective
Date
SOP Owner
2020
Certification
12-Jun
Credit Risk
Management
YES
13-Oct
Capital Access
YES
50 57
7(a) LOAN
SERVICING and
LIQUIDATION
13-Mar
Capital Access
YES
50 57
7(a) Loan
Servicing and
Liquidation
14-Mar
Capital Access
YES
50 57
7(a) Loan
Servicing and
Liquidation
15-Dec
Capital Access
YES
50 53
50 55
52 00
52 00 B
2
Microloan
Program
Microloan
Program
13-Mar
18-Jul
Economic
Opportunity
Economic
Opportunity
YES
YES
51 00
On Site Lender
Reviews/Examinat
ions
1
6-Sep
Lender Oversight
YES
60 02
Prime Contracts
Program
9
10/19
Government
Contracting
YES
60 03
Subcontracting
Assistance
Program
7
09/18
Government
Contracting
YES
Edition
Effective
Date
60 04
Certificate of
Competency
Program
5
20-Nov
Government
Contracting
YES
60 06
Property Sales
Assistance
Program
3
Feb-98
Government
Contracting
YES
60 07
NonManufacturer
Rule Program
09/17
Government
Contracting
YES
60 08
Standard
Operating
Procedure for the
Women-Owned
Small Business
Program
08/19
Government
Contracting
YES
60 16
Small Business
Development
Centers
1
17-Sep
SBDC
YES
70 20
Regulation
Development and
Review Program
3
5-Aug
General Counsel
YES
SOP Number
SOP Title
SOP Owner
2020
Certification
SOP Number
SOP Title
Edition
Effective
Date
SOP Owner
2020
Certification
6
19-May
Office of Business
Development
YES
7-Nov
Office of HUBZone
YES
80 05
Standard
Operating
Procedure
80 06
HUBZone Program
90 01
Size
Determination
Program and
Review of Size
Standards
5
12-Mar
Government
Contracting
YES
90 10
Audit Program
6
5-Feb
Inspector General
YES
90 22
Investigations
Program
5
Jan-99
Inspector General
YES
5
10-Dec
Inspector General
YES
5
13-Aug
Inspector General
YES
11/18
Continuous
Operaions & Risk
Management
YES
10/19
Continuous
Operations and Risk
Management
YES
90 22
90 22
Investigations
Program
Investigations
Program
90 24
Insider
Threat Program
90 26
Emergency
Communications
SOP Number
90 30
SOP Title
Civil Rights
Compliance
Edition
3
Suspension and
Debarment in NonFinancial
Programs
Effective
Date
SOP Owner
2020
Certification
3-Feb
EEOC
YES
07/20
Office of General
Counsel
YES
11-Sep
OCIO
YES
11-Sep
OCIO
YES
01/2020
OCIO
YES
03/20
OCIO
YES
Nov-94
OIRM
YES
90 31
90 41
90 42
Procedure for
Managing and
Assessing the
Quality of SBA IT
Projects OCIO
Procedure for
Managing
Changes to SBA
Information
Systems OCIO
90 44
SBA Information
Technology and
Capital Planning
and Investment
Control Standard
Operating
Procedures
90 47
Cybersecurity
and Privacy Policy
90 48
Telephone and
Facsimile
5
SOP Number
SOP Title
Edition
Effective
Date
SOP Owner
2020
Certification
90 52
IT Investment
Performance
Baseline
Management
(PBM) Policy
01/20
OCIO
YES
90 53
Gifts to the
Agency
14-Jul
Communications
and Public Liaison
YES
90 54
SBA Advisory
Councils
1-May
Administrator's
Office
YES
90 57
National
Environment
Policy Act
Feb-80
Financial Assistance
YES
90 71
Boots to Business
18-Jun
Veterans Business
Development
YES
90 72
Veterans Business
Outreach Center
Program
07/18
Veterans Business
Development
YES
90 75
Outreach
Activities
16-Jun
Communication
and Public Liaison
YES
90 76
Restrictions on
Lobbying
Mar-93
OCIO 9/93
YES
5
4
SOP Number
90 80
90 81
90 82
90 84
SOP Title
Women's Business
Ownership
Program
Open Data
Program
Procedure for
Managing SBA IT
Investments Investment
Review Board
(IRB)
SCORE Program
Edition
Effective
Date
SOP Owner
2020
Certification
Jan-93
WBO 5/93
YES
14-Oct
OCIO
YES
20-Jan
OCIO
YES
08/19
Entrepreneurship
Education
YES
SBA PENDING RULES LIST
as of October 2, 2020
RIN
3245AE05
TITLE OF RULE
Small Business Development
Center Program Revisions
Advance Notice of Proposed
Rulemaking
AF99
AG74
AG88
80 FR 63715 10/21/2015
https://www.gpo.gov/fdsys/pkg/FR-2015-10-21/pdf/2015-26532.pdf
Small Business Size Standards;
Alternative Size Standard for 7(a),
504, and Disaster Loan Programs
Advance Notice of Proposed
Rulemaking
AG69
80 FR 17708 04/02/2015
https://www.gpo.gov/fdsys/pkg/FR-2015-04-02/pdf/2015-06854.pdf
Immediate and Private Disaster
Assistance Loan Programs
Advance Notice of Proposed
Rulemaking
AG16
STATUS/LINK TO FEDERAL REGISTER (IF PUBLISHED)
83 FR 12506 03/22/2018
https://www.govinfo.gov/content/pkg/FR-2018-03-22/pdf/201805787.pdf
Small Business Timber Set-Aside
Program
Advance Notice of Proposed
Rulemaking
80 FR 15697 03/25/2015
https://www.gpo.gov/fdsys/pkg/FR-2015-03-25/pdf/2015-06557.pdf
Proposed Rule
81 FR 66199 09/27/2016
https://www.gpo.gov/fdsys/pkg/FR-2016-09-27/pdf/2016-22861.pdf
Express Loan Programs; Affiliation
Standards
Proposed Rule
83 FR 49001 09/28/2018
https://www.govinfo.gov/content/pkg/FR-2018-09-28/pdf/201820869.pdf
Interim Final Rule
85 FR 7622 02/10/2020
https://www.govinfo.gov/content/pkg/FR-2020-02-10/pdf/202002128.pdf
Withdrawal
Under development
Small Business Size Standards:
Educational Services; Health Care
and Social Assistance; Arts,
Entertainment and Recreation;
Accommodation and Food
Services; Other Services
Proposed Rule
Under development
RIN
3245-
TITLE OF RULE
AG89
Small Business Size Standards:
Agriculture, Forestry, Fishing and
Hunting; Mining, Quarrying, and
Oil and Gas Extraction; Utilities;
Construction
Proposed Rule
AG90
AG95
At OMB
Regulatory Reform Initiative: Small
Business Investment Company –
Regulatory Streamlining and
Improvements
Proposed Rule
AG94
85 FR 62372 10/02/2020
https://www.govinfo.gov/content/pkg/FR-2020-10-02/pdf/202021593.pdf
Small Business Size Standards:
Professional, Scientific and
Technical Services; Management
of Companies and Enterprises;
Administrative and Support, Waste
Management and Remediation
Services
Proposed Rule
AG93
85 FR 62239 10/02/2020
https://www.govinfo.gov/content/pkg/FR-2020-10-02/pdf/202021589.pdf
Small Business Size Standards:
Transportation and Warehousing;
Information; Finance and
Insurance; Real Estate and Rental
and Leasing
Proposed Rule
AG91
STATUS/LINK TO FEDERAL REGISTER (IF PUBLISHED)
85 FR 61654 09/30/2020
https://www.govinfo.gov/content/pkg/FR-2020-09-30/pdf/202019432.pdf
Consolidation of Mentor Protégé
Programs and Other Government
Contracting Amendments
Proposed Rule
84 FR 60846 11/8/2019
https://www.govinfo.gov/content/pkg/FR-2019-11-08/pdf/201923141.pdf
Final Rule
At OMB
Export Express, Export Working
Capital, and International Trade
Loan Programs
Advance Notice of Proposed
Rulemaking
84 FR 48807 09/17/2019
https://www.govinfo.gov/content/pkg/FR-2019-09-17/pdf/201920048.pdf
RIN
3245-
TITLE OF RULE
AG98
Regulatory Reform Initiative:
Streamlining and Modernizing the
7(a), Microloan, and 504 Loan
Programs to Reduce Unnecessary
Regulatory Burden
Proposed Rule
AH01
Under development
Small Business Size Standards:
Wholesale Trade and Retail Trade
Proposed Rule
AH11
84 FR 25496 06/03/2019
https://www.govinfo.gov/content/pkg/FR-2019-06-03/pdf/201911509.pdf
Small Business Size Standards:
Manufacturing and Industries with
Employee Based Size Standards
in Other Sectors Except
Wholesale Trade and Retail Trade
Proposed Rule
AH10
Under development
Regulatory Reform Initiative:
Streamlining Surety Bond
Guarantee Program
Advance Notice of Proposed
Rulemaking
AH09
85 FR 1783 01/13/2020
https://www.govinfo.gov/content/pkg/FR-2020-01-13/pdf/201928500.pdf
SCORE Program
Proposed Rule
AH08
85 FR 7893 02/12/2020
https://www.govinfo.gov/content/pkg/FR-2020-02-12/pdf/202002494.pdf
SBA Supervised Lenders
Application Process
Proposed Rule
AH07
Under development
Regulatory Reform Initiative: Rules
of Procedure Governing Cases
before the Office of Hearings and
Appeals
Proposed Rule
AH04
STATUS/LINK TO FEDERAL REGISTER (IF PUBLISHED)
Under development
Regulatory Reform Initiative:
Program for Investment in
Microentrepreneurs (PRIME)
Proposed Rule
85 FR 7254 02/07/2020
https://www.govinfo.gov/content/pkg/FR-2020-02-07/pdf/202002366.pdf
RIN
3245AH14
TITLE OF RULE
Regulatory Reform Initiative:
Government Contracting
Programs
Proposed Rule
AH15
85 FR 3273 01/21/2020
https://www.govinfo.gov/content/pkg/FR-2020-01-21/pdf/202000442.pdf
8(a) Business Development (610
review)
610 Review Begin
AH20
84 FR 34261 07/18/2019
https://www.govinfo.gov/content/pkg/FR-2020-03-05/pdf/202004465.pdf
Use of Federal Surplus Property
for Veteran Owned Small
Businesses and Small Business in
Disaster Areas and Puerto Rico
Proposed Rule
AH19
85 FR 12875 03/05/2020
https://www.govinfo.gov/content/pkg/FR-2020-03-05/pdf/202004465.pdf
Small Business Size Standards:
Adjustment of Monetary Based
Size Standards for Inflation
Interim Final Rule
AH18
85 FR 6106 02/04/2020
https://www.govinfo.gov/content/pkg/FR-2020-02-04/pdf/202001990.pdf
Regulatory Reform Initiative:
Intermediary Lending Pilot
Program
Proposed Rule
AH17
STATUS/LINK TO FEDERAL REGISTER (IF PUBLISHED)
85 FR 23487 04/28/2020
https://www.govinfo.gov/content/pkg/FR-2020-04-28/pdf/202008475.pdf
Government Contracting
Programs (610 review)
610 Review Begin
85 FR 23487 04/28/2020
https://www.govinfo.gov/content/pkg/FR-2020-04-28/pdf/202008475.pdf
RIN
3245-
TITLE OF RULE
AH21
HUBZone Program (610 review)
610 Review Begin
AH22
Under development
National Defense Authorization
Act of 2020: Credit for Lower Tier
Subcontracting and Other
Amendments
Proposed Rule
AH29
Under development
National Defense Authorization
Act of 2020: Definition of
Surviving Spouse for ServiceDisabled Veteran Owned Small
Businesses and Change to 8(a)
Business Development
Contracting Thresholds
Direct Final Rule
AH28
Under development
Small Business Size Standards:
Calculation of Average Annual
Receipts in Business Loan,
Disaster Loan, and Small
Business Investment Company
Programs
Proposed Rule
AH27
Under development
Guidance Documents
Final Rule
AH26
Under development
Rules of Procedure Governing
Cases before the Office of
Hearings and Appeals
Proposed Rule
AH25
85 FR 23487 04/28/2020
https://www.govinfo.gov/content/pkg/FR-2020-04-28/pdf/202008475.pdf
Small Business Investment
Company—Regulatory
Improvements and Modernization
Proposed Rule
AH23
STATUS/LINK TO FEDERAL REGISTER (IF PUBLISHED)
Under development
Secondary Market Program—
Proposed Regulatory Changes
Advance Notice of Proposed
Rulemaking
AH30
[RIN deleted – duplicate of AH27]
AH31
SBIR/STTR Policy Directive
Clarification of Phase III Eligibility
Proposed Rule
Under development
Under development
RIN
3245-
TITLE OF RULE
AH32
SBIR/STTR Policy Directive
Updates Based on NDAA 2020
Changes and Other Miscellaneous
Clarifications
Proposed Rule
AH33
AH34
STATUS/LINK TO FEDERAL REGISTER (IF PUBLISHED)
Under development
Eligibility Changes to the Military
Reservist Economic Injury
Disaster Loan Program
Direct Final Rule
Under development
Business Loan Program
Temporary Changes; Paycheck
Protection Program
85 FR 20811 04/15/2020
https://www.govinfo.gov/content/pkg/FR-2020-04-15/pdf/202007672.pdf
Interim Final Rule
AH35
Business Loan Program
Temporary Changes; Paycheck
Protection Program
85 FR 20817 04/15/2020
https://www.govinfo.gov/content/pkg/FR-2020-04-15/pdf/202007673.pdf
Interim Final Rule
AH36
Business Loan Program
Temporary Changes; Paycheck
Protection Program-- Additional
Eligibility Criteria and
Requirements for Certain Pledges
of Loans
85 FR 21747 04/20/2020
https://www.govinfo.gov/content/pkg/FR-2020-04-20/pdf/202008257.pdf
Interim Final Rule
AH37
Business Loan Program
Temporary Changes; Paycheck
Protection Program –
Requirements for Promissory
Notes, Authorizations, and
Disbursements and Additional
Affiliation and Eligibility Guidance
85 FR 23450 04/28/2020
https://www.govinfo.gov/content/pkg/FR-2020-04-28/pdf/202009098.pdf
Interim Final Rule
AH38
Business Loan Program
Temporary Changes; Paycheck
Protection Program –
Requirements – Disbursements
85 FR 26321 05/04/2020
https://www.govinfo.gov/content/pkg/FR-2020-05-04/pdf/202009398.pdf
Interim Final Rule
AH39
Business Loan Program
Temporary Changes; Paycheck
Protection Program –
Requirements – Corporate Groups
and Non-Bank and Non-Insured
Depository Institution Lenders
Interim Final Rule
85 FR 26324 05/04/2020
https://www.govinfo.gov/content/pkg/FR-2020-05-04/pdf/202009576.pdf
RIN
3245-
TITLE OF RULE
AH40
Business Loan Program
Temporary Changes; Paycheck
Protection Program –
Nondiscrimination and Additional
Eligibility Criteria
STATUS/LINK TO FEDERAL REGISTER (IF PUBLISHED)
85 FR 27287 05/08/2020
https://www.govinfo.gov/content/pkg/FR-2020-05-08/pdf/202009963.pdf
Interim Final Rule
AH41
Business Loan Program
Temporary Changes; Paycheck
Protection Program –
Requirements – Extension of
Limited Safe Harbor with Respect
to Certification Concerning Need
for PPP Loan Request
85 FR 29845 05/19/2020
https://www.govinfo.gov/content/pkg/FR-2020-05-19/pdf/202010649.pdf
Interim Final Rule
AH42
Business Loan Program
Temporary Changes; Paycheck
Protection Program – Loan
Increases
85 FR 29842 05/19/2020
https://www.govinfo.gov/content/pkg/FR-2020-05-19/pdf/202010658.pdf
Interim Final Rule
AH43
Business Loan Program
Temporary Changes; Paycheck
Protection Program – Eligibility of
Certain Electric Cooperatives
85 FR 29847 05/19/2020
https://www.govinfo.gov/content/pkg/FR-2020-05-19/pdf/202010674.pdf
Interim Final Rule
AH44
Business Loan Program
Temporary Changes; Paycheck
Protection Program – Treatment of
Entities with Foreign Affiliates
85 FR 30835 05/21/2020
https://www.govinfo.gov/content/pkg/FR-2020-05-21/pdf/202010967.pdf
Interim Final Rule
AH45
Business Loan Program
Temporary Changes; Paycheck
Protection Program – Second
Extension of Limited Safe Harbor
with Respect to Certification
Concerning Need for PPP Loan
and Lender Reporting
85 FR 31357 05/26/2020
https://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/202011292.pdf
Interim Final Rule
AH46
Business Loan Program
Temporary Changes; Paycheck
Protection Program –
Requirements – Loan Forgiveness
85 FR 33004 06/01/2020
https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/202011536.pdf
Interim Final Rule
AH47
Business Loan Program
Temporary Changes; Paycheck
Protection Program – SBA Loan
Review Procedures and Related
Borrower and Lender
Responsibilities
Interim Final Rule
85 FR 33010 06/01/2020
https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/202011533.pdf
RIN
3245-
TITLE OF RULE
AH48
Business Loan Program
Temporary Changes; Paycheck
Protection Program – Eligibility of
Certain Telephone Cooperatives
STATUS/LINK TO FEDERAL REGISTER (IF PUBLISHED)
85 FR 35550 06/11/2020
https://www.govinfo.gov/content/pkg/FR-2020-06-11/pdf/202012623.pdf
Interim Final Rule
AH49
Business Loan Program
Temporary Changes; Paycheck
Protection Program-Revisions to
First Interim Final Rule
85 FR 36308 06/16/2020
https://www.govinfo.gov/content/pkg/FR-2020-06-16/pdf/202012909.pdf
Interim Final Rule
AH50
Business Loan Program
Temporary Changes; Paycheck
Protection Program – Additional
Revisions to First Interim
Final Rule
85 FR 36717 06/18/2020
https://www.govinfo.gov/content/pkg/FR-2020-06-18/pdf/202013130.pdf
Interim Final Rule
AH51
Business Loan Program
Temporary Changes; Paycheck
Protection Program – Revisions to
the Third and Sixth Interim Final
Rules
85 FR 36997 06/19/2020
https://www.govinfo.gov/content/pkg/FR-2020-06-19/pdf/202013293.pdf
Interim Final Rule
AH52
Business Loan Program
Temporary Changes; Paycheck
Protection Program – Revisions to
Loan Forgiveness and Loan
Review Procedures Interim Final
Rules
85 FR 38304 06/26/2020
https://www.govinfo.gov/content/pkg/FR-2020-06-26/pdf/202013782.pdf
Interim Final Rule
AH53
Business Loan Program
Temporary Changes; Paycheck
Protection Program – Additional
Eligibility Revisions to First Interim
Final Rule
85 FR 38301 06/26/2020
https://www.govinfo.gov/content/pkg/FR-2020-06-26/pdf/202013942.pdf
Interim Final Rule
AH54
Business Loan Program
Temporary Changes; Paycheck
Protection Program – Certain
Eligible Payroll Costs
85 FR 39066 06/30/2020
https://www.govinfo.gov/content/pkg/FR-2020-06-30/pdf/202014128.pdf
Interim Final Rule
AH55
Appeals of SBA Loan Review
Decisions Under the Paycheck
Protection Program
Interim Final Rule
85 FR 52883 08/27/2020
https://www.govinfo.gov/content/pkg/FR-2020-08-27/pdf/202017895.pdf
RIN
3245-
TITLE OF RULE
AH56
Business Loan Program
Temporary Changes; Paycheck
Protection Program – Treatment of
Owners and Forgiveness of
Certain Nonpayroll Costs
Interim Final Rule
STATUS/LINK TO FEDERAL REGISTER (IF PUBLISHED)
85 FR 52881 08/27/2020
https://www.govinfo.gov/content/pkg/FR-2020-08-27/pdf/202018940.pdf
Significant Litigation Cases
(as of October 15, 2020)
I.
Court Litigation Cases:
Ultima Services v. SBA and USDA (E.D. Tenn.)
Ultima Services, a woman-owned small business, had multiple contracts with USDA until around
2018 when it is alleged that USDA decided to set aside those contracts for socially and
economically disadvantaged businesses under the SBA’s 8(a)program. Ultima is now challenging
the constitutionality of the 8(a) program because it alleges that the program is racially
discriminatory in violation of the Fifth Amendment. A motion to dismiss has been filed. The case
is in the early stages of discovery.
Washington Post, et al. v. SBA (D.D.C.)
The Washington Post and a number of major news outlets, including the New York Times, Wall
Street Journal, Bloomberg News and the Associated Press have sued the agency for release of all
PPP and EIDL borrower information. SBA publicly provided all of the borrower loan data that it
believes is releasable. SBA has drafted the Agency’s answer and two declarations for the Chief of
Staff’s signature, asserting that FOIA Exemptions 4 and 6 protect the withheld information on
borrowers in both the PPP and EIDL programs.
Infinity Consulting Group, LLC, et al v. U.S. Department of Treasury (D. Md.)
This lawsuit was filed by two sole proprietorships who did not receive PPP loans. The Plaintiffs
brought suit against the Treasury Department and SBA, as well as the SBA Administrator and
Treasury Secretary in their official and personal capacities. The personal capacity suit was filed
pursuant to Bivens v. Six Unknown Named Agents, 403 U.S. 388 (1971). SBA secured DOJ
representation for Administrator Carranza in her personal capacity. The Plaintiffs allege in the
Complaint that they could not apply for and did not receive a PPP loan because the impact of the
PPP implementation was discriminatory on the basis of race and gender. Plaintiffs allege that PPP
implementation adversely impacted sole proprietorships and sole proprietors are mostly female and
non-white. Plaintiffs allege that as sole proprietors they could not apply for a PPP loan until a day
before the first round of funding ran out because SBA and Treasury did not issue guidance for sole
proprietors to apply for a PPP loan until the day before funding ran out and not until after it issued
guidance for other types of businesses. The Plaintiffs also allege that the regulations and guidance
regarding how to determine the amount of a PPP loan discriminated against sole proprietors
because different rules applied to sole proprietors versus non-sole proprietors. Plaintiffs filed a
Motion for Temporary Restraining Order which was denied by the Court. SBA, working with the
US Attorney’s Office and the Department of Justice, filed a motion to dismiss the Complaint on
behalf of the federal agencies and Administrator Carranza and Secretary Mnuchin.
Mondragon, et al. v. SBA, et al. (E.D.N.Y.)
1
Twelve PPP loan applicants, some of which allege that they employed personnel for whom they
paid payroll taxes and others who allege they were self-employed are challenging denial of their
PPP loan applications on the basis that the CARES Act does not have a citizenship requirement.
The PPP loan application does require the borrower to provide the business’ TIN number as well as
the TIN number for any owner with 20% or more equity in the business. A status conference was
held on August 26th, which concluded with a requirement that the plaintiffs file an amended
complaint setting forth specific allegations pertaining to each plaintiff and a schedule for the parties
to brief the issues raised in such complaint. The Government’s response to the Second Amended
Complaint is due November 6, 2020.
Prestige Transportation Inc., et al. v. SBA, et al. (C.D. Cal.)
The plaintiffs and/or a provisionally certified class allege that a citizenship or legal permanent
resident requirement for EIDL loans, and the inability of the application system to accept
amendments to such applications, violate the APA. The plaintiffs claim that relief under the
CARES Act was not intended to exclude duly registered corporations and limited liability
companies because of the immigration status of their individual owners residing in the United
States or to penalize applicants because of clerical mistakes during the application process. The
plaintiffs have filed for a Temporary Restraining Order, and the Government’s opposition to the
TRO is due October 17th.
PPP Adversary Proceedings against SBA in various Bankruptcy Courts across the country
In over 60 adversary proceedings filed to obtain TROs or PIs against SBA, debtors in bankruptcy
sued SBA to have the bankruptcy exclusion for PPP loans identified on Form 2483 and in the
Fourth IFR set aside. The most frequently asserted causes of action have been claims that 11
U.S.C. § 525 prohibits discrimination against otherwise eligible debtors desiring a PPP loan and
that SBA exceeded its authority under the APA in barring debtors from obtaining PPP loans. SBA
has prevailed in the majority of cases. Where debtors have prevailed in the Bankruptcy Courts,
SBA has typically sought an appeal to the appropriate District Courts, and in one case SBA
prevailed on an appeal to the 5th Circuit, Hidalgo County Emergency Serv. Found. v. Carranza,
App. No. 20-40368 (5th Cir.).
Challenge to the Agency’s Administration of the Paycheck Protection Program Brought by “Adult
Entertainment” Businesses
Relying on the First and Fifth Amendments of the U.S. Constitution, the Administrative Procedure
Act, and other bases, a number of businesses within the “adult entertainment” industry, brought suit
challenging the Agency’s application of 13 C.F.R. § 120.110(p) as an eligibility standard under the
Paycheck Protection Program. That provision provides that among businesses that are ineligible
for SBA business loans are “[b]usinesses which: (1) present live performances of a prurient sexual
nature; or (2) Derive directly or indirectly more than de minimis gross revenue through the sale of
products or services, or the presentation of any depictions or displays, of a prurient sexual nature.”
A similar challenge was brought by “adult entertainment” businesses against the Agency’s
provision of emergency Economic Injury Disaster Loans under the CARES Act.
2
II.
Administrative Litigation Cases:
immixTechnology, Inc. on behalf of Software AG Government Solutions, Inc. v. Dept. of the
Interior (CBCA).
On April 12, 2017, immixTechnology, Inc. (immix) filed a $13.7 million claim for contract breach
with the Federal contracting officer in charge of an SBA Office of Disaster Assistance order for
software sold by SoftwareAG Government Solutions. The contracting officer denied the claim, and
immix appealed to the Civilian Board of Contract Appeals (CBCA). The CBCA held a two-day
hearing on July 15-16, 2019, and the case remains pending.
Protest of Alpha Omega Integration, LLC (GAO).
On October 5, 2020, Alpha Omega Integration, LLC filed a bid protest against SBA’s award of a
six-month 8(a) contract to Skyward IT Solutions, LLC to provide information technology services
in support of SBA’s Capital Access Financial Systems. If the protest is not dismissed, SBA’s
response is due November 4, 2020.
AFGE Council 228
On May 27, 2015, AFGE Council 228 initiated a nationwide class action grievance, to include
approximately 1200 Bargaining Unit Employees, alleging improper compensation for overtime
work performed. The matter is currently before an arbitrator and the Agency continues to litigate
the case.
3
Office of Continuous Operations and Risk
Management (OCORM)
The Audit Compliance role was assigned to OCORM formerly known as Office of Disaster
Planning and Risk Management (ODPRM) in FY 2016 to address Government Accountability
Office (GAO) audits, OIG audits, and Management Challenge reports. The OCORM team has
continuously addressed the audit compliance portfolio for the Agency, and in 2018, the Agency’s
Audit Compliance Team was created.
The Compliance Team is comprised of members of the Office of Continuous Operations and
Risk Management (OCORM), Office of General Counsel (OGC), and Office of Congressional
and Legislative Affairs (OCLA), with regular coordination with the Office of the Chief Financial
Officer (OCFO). The Team has served as a conduit between SBA offices and auditors from OIG
and GAO to resolve numerous outstanding issues and areas of disagreement, securing closure of
audit recommendations and clarity on management challenges.
OCORM has institutionalized a collaborative relationship, consisting of regular, facilitated
discussions between SBA program offices and OIG/GAO staff. OCORM’s negotiation,
mediation, technical assistance, and amiable discussions, along with the SBA offices’ active
engagement, responsiveness, and coordination, have yielded significant results for the Agency in
resolving audit recommendations and Management Challenges.
Management Challenge Report and Recommendations
Each year, OIG publishes its “Report on the Most Serious Management and Performance
Challenges Facing the SBA” (Management Challenge Report).
This report represents OIG’s current assessment of SBA's programs and activities that pose
significant risks, including those that are particularly vulnerable to fraud, waste, error,
mismanagement, or inefficiencies. The challenges are not presented in order of priority, as all are
believed to be critical management or performance issues. Annually in the fourth quarter of the
fiscal year, OIG requests a progress report from SBA. This progress report provides SBA with
the opportunity to demonstrate its actions to address the challenges and recommendations.
SBA provided its feedback to the FY 2021 draft Management Challenge report on October 14,
2020, and the final report was published on October 16, 2020. The Published FY2021 Report,
and all previous reports, are available at https://www.sba.gov/document/report--report-mostserious-management-performance-challenges-office-inspector-general.
Annually in the 1st quarter of the fiscal year, following publication of the final Management
Challenge Report, SBA Leadership develops strategic plans to document planned actions to
address and track progress for each challenge in the final report. OCORM facilitates this exercise
and Offices report out monthly to OCORM and OIG on their progress.
Overall Results
OCORM’s institutionalized approach of continuous discussions with SBA senior leadership,
OIG staff, OCLA, OGC, and the Chief of Staff have embedded audit compliance in the Agency
culture. In FY 2020, OCORM continued to institutionalize the audit compliance function for the
Agency with the establishment of Authorizing Officials, Originating Officials, and Audit
Liaisons in each SBA Headquarters office to maintain and ensure responsiveness with auditors,
timely updates, and reported actions taken to close audit recommendations.
SBA’s Inspector General has told the SBA Administrator that the relationship SBA has with its
OIG is one of the most positive in the federal government.
For a review of the agency-wide successes in addressing and closing OIG audit
recommendations, please see the charts below displaying recommendations closed and activity
by SBA office.
FY 2020 OIG Audit Recommendations New and Closed
OIG Audit Recommendations Status- FY2020
Current Open R,ecs:
OEMlSS
0
---
OV80
OFO
ODA
OCPL
OED
2
1
1
2
1
-GCBD
18
OCFO
1
- ----------------
OCA
OCIO
OGC
-30
-20
-10
• Asof9/ 30/ 19
-0
• Newly Add ed ,i n FY2020
10
20
• Closed in FY2020
30
29
7
0
40
Government Accountability Office (GAO) Reports and
Recommendations
When GAO conducts an audit, it issues reports which often make specific recommendations to an
agency based on evidence found during the audit. Agency implementation of these
recommendations is tracked by the GAO staff that made them. Before GAO considers a
recommendation closed, a GAO staffer must obtain documentation from the agency demonstrating
it has addressed the findings leading to the recommendation, such as updated policies, evidence of
training, or partnership agreements detailing collaboration with other agencies. When an agency
fully implements a recommendation, the GAO staff mark it as “closed/implemented.” The
recommendation will remain open (in some cases, for many years), until the agency proves to GAO
it has implemented the recommendation. This high degree of due diligence gives GAO confidence
that these recommendations are genuinely being acted on.
Priority Recommendations
Each year, GAO designates certain recommendations to “Priority” status based on Congressional
mandates (tied to legislation), government-wide areas of concern, or GAO specific concerns
regarding a particular agency program. These priority recommendations are outlined and explained
in an annual Priority Recommendations letter sent by the GAO Comptroller General to the SBA
Administrator. (Please see 2020 Priority Recommendations Letter below) GAO expects SBA to
address all recommendations; however, GAO emphasizes the importance of focusing on the priority
recommendations.
GAO Implementation Rate
An agency’s closure/implementation rate for GAO recommendations issued within a 4-year period
is referred to as the Implementation Rate. (As an example, GAO issued 15 recommendations in FY
2016, and SBA closed/implemented all 15 of the recommendations by the end of FY2020, thus
achieving a 100% implementation rate.) At the end of the four-year period, the final
implementation rate is included (among other information) in the annual Priority Recommendations
letter. The letter states what the government average implementation rate is for each year (typically
around 77%), so SBA can get a sense of where it stands compared to other federal agencies.
SBA’s concerted efforts to address GAO recommendations and priority recommendations have
yielded implementation rates that are not only well above but exceed the government rate average
of 77%. The FY 2016-2020 and FY 2017-2021 implementation rates of 100% are strong indicators
of the Agency’s efforts. (See Implementation Rate chart below)
SBA’s Implementation Rate for GAO Recommendations for FY 2012 to FY 2020
SBA's Implementation Rate for GAO Recommendations
FY 2012 to FY 2020
Current Progress -->
30
25
100%
Gov't Avg: 77%
80%
20
60%
15
40%
10
20%
5
0
0%
2012
2013
2014
Total Recommendations Issued
2015
2016
2017
2018
2019
2020
# of Recommendations Closed-Implemented
SBA Implementation Rate
- - - Line denotes timeframe for GAO’s 4-year implementation rate expectation, all implemented
recommendations in advance (to the right) are achieved ahead of schedule
Indicates 100% Implementation Rate achievement
441 G St. N.W.
Washington, DC 20548
Comptroller General
of the United States
April 21, 2020
Jovita Carranza
Administrator
U.S. Small Business Administration
409 3rd Street, SW
Washington, D.C. 20416
Priority Open Recommendations: Small Business Administration
Dear Ms. Carranza:
The purpose of this letter is to provide an update on the overall status of the Small Business
Administration’s (SBA) implementation of GAO’s recommendations and to call your personal
attention to areas where open recommendations should be given high priority.1 In November
2019, we reported that on a government-wide basis, 77 percent of the recommendations we
made 4 years ago were implemented.2 SBA’s recommendation implementation rate was 78
percent. As of February 2020, SBA had 46 open recommendations. Fully implementing these
open recommendations could significantly improve SBA’s operations.
Since our April 2019 letter, SBA has implemented two of our five open priority
recommendations. To address our recommendation related to data tracking, SBA entered into
an agreement with the Department of Agriculture (USDA) to share loan data, enabling SBA to
analyze borrower characteristics for loan programs. SBA also took steps to collect unique client
data from resource partners. To address our recommendation related to lender compliance with
the requirement for lenders to only make SBA 7(a) loans to creditworthy small business
borrowers who cannot obtain credit through a conventional lender at reasonable terms, SBA
provided evidence that it had required reviewers to document their assessments of a lender’s
policies and practices. We ask your continued attention to the remaining three open priority
recommendations.
We also are adding five new recommendations related to improving disaster response,
cybersecurity, and export promotion, bringing the total number of priority recommendations to
eight. (See enclosure for the list of recommendations).
The eight priority recommendations fall into the following four areas:
Disaster response. Two recommendations would improve SBA’s ability to respond to
disasters. In February 2020, we recommended that SBA (1) identify and document risks
associated with its disaster response and plans to mitigate these risks in its disaster planning
1Priority recommendations are those that GAO believes warrant priority attention from heads of key departments or
agencies. They are highlighted because, upon implementation, they may significantly improve government operation—
for example, by realizing large dollar savings; eliminating mismanagement, fraud, and abuse; or making progress
toward addressing a high-risk or duplication issue.
2GAO, Performance and Accountability Report: Fiscal Year 2019, GAO-20-1SP (Washington, D.C.: Nov. 19, 2019).
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GAO-20-501PR SBA Priority Recommendations
documentation, and (2) identify the key elements of a disaster action plan and provide additional
guidance to staff on how to incorporate these elements into future action plans. In comments on
a draft of the report, SBA told us that to address the first recommendation it would identify and
document known risks associated with SBA’s disaster response and implement a risk-informed
approach to its direct response and recovery operations. For the second recommendation, SBA
told us the agency would develop the key elements of, and templates for, a disaster action plan.
SBA also stated that it would include this information in the agency’s Disaster Preparedness
and Recovery Plan. By identifying risks and enhancing guidance on action plans, SBA can
better design its plans for and implementation of disaster response efforts and help ensure staff
are adequately prepared to conduct post-disaster operations.
Requirement that lenders assess borrowers’ ability to obtain credit elsewhere. Two
recommendations would improve lender compliance with the credit elsewhere requirement—
that lenders only make SBA 7(a) loans to creditworthy small business borrowers who cannot
obtain credit through a conventional lender at reasonable terms. In June 2018, we
recommended that SBA (1) use its on-site and off-site reviews to routinely collect information on
lenders' use of credit elsewhere criteria, and (2) analyze information obtained from its reviews
on lenders’ use of credit elsewhere criteria. In June 2019, SBA provided us information on 7(a)
lender reviews and a lender training schedule on credit elsewhere. In November 2019, SBA
provided more information on reviewer training on and communication of best practices to
lenders. In April 2020, SBA stated that the agency would provide a response addressing these
recommendations by September 30, 2020. SBA has to collect data on criteria used for credit
elsewhere justifications for a larger sample of loans and analyze patterns in lender practices to
better understand whether 7(a) loans have reached borrowers who cannot obtain credit from
other sources at reasonable terms. Improving documentation and information on lenders’ use of
credit elsewhere criteria would help promote compliance with the requirement and thereby help
ensure that the 7(a) program reaches its target population.
Cybersecurity. We made one recommendation that would help improve SBA’s ability to
address cyber threats. In July 2019, we recommended that SBA establish a process for
conducting an organization-wide cybersecurity risk assessment. SBA agreed with this
recommendation and stated it would update its strategy to more clearly address risk tolerance
and risk-mitigation strategies and finalize a process for conducting a cybersecurity risk
assessment. As of February 2020, this effort was not complete. Improving its ability to assess
cyber risks would enhance SBA’s ability to protect its information and systems from ongoing
cyber threats.
Export promotion. The last three priority recommendations would help address staffing
requirements and improve controls in export promotion grant programs. We recommended in
January 2013 that SBA update its hiring plan to more effectively implement statutory
requirements for staffing of SBA export finance specialists in Export Assistance Centers across
the country. In January 2020, SBA told us the agency had hired additional export finance
specialists, bringing the total hired to 25. SBA also told us the agency was establishing a
strategy for future hires and requesting fiscal year 2021 funding to hire individuals to fill the
remaining five positions. While these steps partially mitigate the shortfall and follow the spirit of
the statutory requirement and GAO's recommendation, as of February 2020 SBA had not yet
put in place the 30 export finance specialists required by law. Putting in place 30 export finance
specialists would ensure compliance with statutory requirements, and help increase exports by
small businesses.
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GAO-20-501PR SBA Priority Recommendations
We made another two recommendations in March 2019 that SBA (1) establish a process that
ensures documentation of states’ compliance with total match requirements before grant
closeout, and (2) develop an additional process to determine states’ compliance with a cash
match requirement. SBA generally agreed with both recommendations and said they would
develop the necessary processes.3 In September 2019, SBA told us that these processes would
entail responsibilities assigned to program office staff and grants specialists, as appropriate.
Further developing and implementing these processes are important steps in ensuring
compliance with the statutory requirements of the program.
-- -- -- -- -As you know, in 2019 we issued our biennial update to our high-risk program, which identifies
government operations with greater vulnerabilities to fraud, waste, abuse, and mismanagement
or the need for transformation to address economy, efficiency, or effectiveness challenges.4 Our
high-risk program has served to identify and help resolve serious weaknesses in areas that
involve substantial resources and provide critical service to the public.
Several government-wide high-risk areas—(1) ensuring the cybersecurity of the nation, (2)
improving the management of IT acquisitions and operations, (3) strategic human capital
management, (4) managing federal real property, and (5) the government-wide personnel
security clearance process—have direct implications for SBA and its operations.5 We urge your
attention to the government-wide high-risk issues as they relate to SBA. Progress on high-risk
issues has been possible through the concerted actions and efforts of Congress, the Office of
Management and Budget, and the leadership and staff in agencies, including SBA.
Copies of this report are being sent to the Director of the Office of Management and Budget and
appropriate congressional committees including the Committees on Appropriations, Budget, and
Homeland Security and Governmental Affairs, United States Senate; and the Committees on
Appropriations, Budget, and Oversight and Reform, House of Representatives. In addition, the
report will be available at no charge on the GAO website at http://www.gao.gov.
I appreciate SBA’s continued commitment to these important issues. If you have any questions
or would like to discuss any of the issues outlined in the letter, please do not hesitate to contact
me or Daniel Garcia-Diaz, Managing Director, Financial Markets and Community Investment at
garciadiazd@gao.gov or 202-512-8678. Contact points for our Offices of Congressional
Relations and Public Affairs may be found on the last page of this report. Our teams will
continue to coordinate with your staff on all of the 46 open recommendations, as well as those
additional recommendations in the high-risk areas for which SBA has a leading role. Thank you
for your attention to these matters.
3GAO, Small Business Administration: Export Promotion Grant Program Should Better Ensure Compliance with Law
and Help States Make Full Use of Funds, GAO-19-276 (Washington, D.C.: Mar. 12, 2019).
4GAO, High-Risk Series: Substantial Efforts Needed to Achieve Greater Progress on High-Risk Areas, GAO-19-
157SP (Washington, D.C.: Mar. 6, 2019).
5GAO-19-157SP. See pages 178-184 for Ensuring the Cybersecurity of the Nation, pages 123-127 for Improving the
Management of IT Acquisitions and Operations, pages 75-77 for Strategic Human Capital Management, pages 78-85
for Managing Federal Real Property, and pages 170-177 for the Government-wide Personnel Security Clearance
Process.
Page 3
GAO-20-501PR SBA Priority Recommendations
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GAO-20-501PR SBA Priority Recommendations
Enclosure
Priority Open Recommendations to the Small Business Administration (SBA)
Disaster Response
Small Business Administration: Disaster Loan Processing Was Timelier, but Planning
Improvements and Pilot Program Evaluation Needed. GAO-20-168. Washington, D.C.: Feb. 7,
2020.
Recommendation: The Associate Administrator for the Office of Disaster Assistance should
identify and document risks associated with its disaster response and plans to mitigate these
risks in its disaster planning documentation.
Action Needed: SBA agreed with the recommendation. SBA noted that relevant agency offices
would collaborate to identify and document known risks associated with SBA’s disaster
response and implement a risk-informed approach to its direct response and recovery
operations. To fully implement this recommendation, SBA should identify potential risks that
could impede its ability to provide disaster assistance and ways to mitigate these risks. Once
identified, SBA should incorporate these risks and their mitigation into its disaster planning
documentation.
Recommendation: The Associate Administrator for the Office of Disaster Assistance should
identify the key elements of a disaster action plan and provide additional guidance to staff on
how to incorporate these elements into future action plans.
Action Needed: SBA agreed with the recommendation. SBA noted that the agency would
develop the key elements of and templates for a disaster action plan, provide guidance to field
operations centers, and update the agency’s Disaster Preparedness and Recovery Plan. To
fully implement this recommendation, SBA should develop a standard template for field
operation centers to use when developing action plans to guide their initial disaster response.
Director: William B. Shear, Financial Markets and Community Investment
Contact information: shearw@gao.gov or (202) 512-8678
Credit Elsewhere Requirement
Small Business Loans: Additional Actions Needed to Improve Compliance with the Credit
Elsewhere Requirement. GAO-18-421. Washington, D.C.: June 5, 2018.
Recommendation: The Administrator of SBA should use its on-site and off-site reviews to
routinely collect information on lenders’ use of credit elsewhere criteria as part of its monitoring
of lender practices related to the credit elsewhere requirement.
Action Needed: SBA generally agreed with the recommendation. To fully implement this
recommendation, SBA should put into operation its plan to collect information on lenders’ use of
Page 5
GAO-20-501PR SBA Priority Recommendations
the credit elsewhere criteria when conducting reviews that include loan file reviews, whether
performed at the lender’s location (on-site reviews) or virtually (off-site reviews).
Recommendation: The Administrator of SBA should analyze information on lenders’ use of
credit elsewhere criteria obtained from its reviews to identify lenders that may be at greater risk
of noncompliance and to inform its selection of lenders for further review for credit elsewhere
compliance.
Action Needed: SBA generally agreed with the recommendation. To fully implement this
recommendation, SBA should implement its plan to analyze credit elsewhere compliance data
obtained from reviews conducted virtually and at the lender’s location to identify lender-level
portfolio trends or elevated lender risk to inform its selection of lenders for further review for
credit elsewhere compliance.
Director: William B. Shear, Financial Markets and Community Investment
Contact information: shearw@gao.gov or (202) 512-8678
Cybersecurity
Cybersecurity: Agencies Need to Fully Establish Risk Management Programs and Address
Challenges. GAO-19-384. Washington, D.C.: July 25, 2019.
Recommendation: The Administrator of SBA should establish a process for conducting an
organization-wide cybersecurity risk assessment.
Action Needed: SBA agreed with the recommendation. SBA stated that the agency was
finalizing a process for conducting an organization-wide cybersecurity risk assessment. As of
February 2020, SBA had not completed this effort.
Director: Nick Marinos, Information Technology and Cybersecurity
Contact information: marinosn@gao.gov or (202) 512-9342
Export Promotion
Export Promotion: Small Business Administration Needs to Improve Collaboration to Implement
Its Expanded Role. GAO-13-217. Washington, D.C.: January 30, 2013.
Recommendation: To more effectively implement SBA's expansion of Office of International
Trade field staff as required by the Small Business Jobs Act of 2010, the Administrator of SBA
should update SBA's plan for additional Office of International Trade staff to include funding
sources and time frames, as well as possible efficiencies from clearly defining roles and
responsibilities and leveraging other entities' export assistance resources.
Action Needed: SBA agreed with this recommendation but noted resource constraints. To fully
implement this recommendation, SBA needs to provide documentation of a plan for complying
with staffing requirements for export finance specialists in the Small Business Jobs Act of 2010,
or provide evidence that it has done so.
Page 6
GAO-20-501PR SBA Priority Recommendations
Director: Kimberly Gianopoulos, International Affairs and Trade
Contact information: gianopoulosk@gao.gov or (202) 512-8612
Small Business Administration: Export Promotion Grant Program Should Better Ensure
Compliance with Law and Help States Make Full Use of Funds. GAO-19-276. Washington,
D.C.: March 12, 2019.
Recommendation: The Administrator of SBA should establish a process that ensures
documentation of states' compliance with the total match requirement before grant closeout.
Action Needed: SBA generally agreed with the recommendation. SBA stated that it would
establish a process that ensures documentation of state recipients' compliance with the total
match requirement before grant closeout. To fully implement this recommendation, SBA should
create and maintain documentation of the agency’s annual analysis and determination that
grant recipients have or have not met the total match requirement.
Recommendation: The SBA Administrator should develop a process to determine states'
compliance with the cash match requirement.
Action Needed: SBA generally agreed with our recommendation. SBA stated that it would
develop a process to determine states’ compliance with the cash match requirement. To fully
implement this recommendation, SBA should create and document an annual agency process
to determine whether grant recipients have or have not met the cash match requirement.
Director: Kimberly Gianopoulos, International Affairs and Trade
Contact information: gianopoulosk@gao.gov or (202) 512-8612
(103760)
Page 7
GAO-20-501PR SBA Priority Recommendations
Congressional Relations and Issues:
Overview –
SBA is one of the smallest agencies in the executive branch to have its own standing
oversight committees in both the House and Senate. Generally issues that the SBA faces
are considered bipartisan and the agency has a good working relationship with both sides
of the aisle.
Oversight Committees –Membership
Senate Small Business Committee: 116th Congress (2019-2020):
Majority:
Sen. Marco Rubio, (FL)
Chairman
Sen. Jim Risch (ID)
Minority:
Sen. Ben Cardin (MD)
Ranking Member
Sen. Maria Cantwell (WA)
Sen. Rand Paul (KY)
Sen. Jeanne Shaheen (NH)
Sen. Tim Scott (SC)
Sen. Ed Markey (MA)
Sen. Joni Ernst (IA)
Sen. Cory Booker (NJ)
Sen. James Inhofe (OK)
Sen. Chris Coons (DE)
Sen. Todd Young (IN)
Sen. Mazie Hirono (HI)
Sen. John Kennedy (LA)
Sen. Tammy Duckworth (IL)
Sen. Mitt Romney (UT)
Sen. Jacky Rosen (NV)
Sen. Josh Hawley (MO)
House Small Business Committee: 116th Congress (2019-2020)
Majority:
Minority:
Rep. Nydia Velazquez (NY)
Chairwoman
Rep. Steve Chabot (OH)
Ranking Member
Rep. Abby Finkenauer (IA)
Rep. Aumua Radewagen (AS)
Rep. Jared Golden (ME)
Rep. Troy Balderson (OH)
Rep. Andy Kim (NJ)
Rep. Kevin Hern (OK)
Rep. Jason Crow (CO)
Rep. Jim Hagedorn (MN)
Rep. Sharice Davids (KS)
Rep. Pete Stauber (MN)
Rep. Kwiesi Mfume (MD)
Rep. Tim Burchett (TN)
Rep. Judy Chu (CA)
Rep. Ross Spano (FL)
Rep. Dwight Evans (PA)
Rep. John Joyce (PA)
Rep. Brad Schneider (IL)
Rep. Dan Bishop (NC)
Rep. Adriano Espaillat (NY)
Rep. Antonio Delgado (NJ)
Rep. Chrissy Houlahan (PA)
Rep. Angie Craig (MN)
Main Issues:
1. Committee Oversight of CARES Act programs;
The House and Senate Small Business Committees; the House Committee on Oversight;
and the House Select Subcommittee on the Coronavirus Crisis have engaged the agency
through letters, briefing requests, and hearing requests, in performing oversight of agency
operations of CARES Act programs – the Paycheck Protection Program (PPP) and the
Economic Injury Disaster Loan (EIDL) program. CLA’s continued attention to these
requests is very important.
2. GAO / IG Audits & Reports:
Government Accountability Office (GAO) audits and recommendations continue to be a
focus of CLA’s GAO Liaison. CLA’s GAO Liaison works as part of an internal agency
working group on GAO and SBA IG related items. With a large volume of CARES Act
audits, in addition to ongoing non-CARES Act GAO audit activity, coordinating and
responding to these GAO items is a high priority for the department.
3. Congressional Inquiries:
1. The CARES Act has greatly increased the level of outreach and
the volume of letters, phone calls, and constituents related
requests from congressional offices. CLA, working with the
relevant program offices, needs to continue to tend to these
inquiries in a timely and efficient manner.
Federal Advisory Committee Act (FACA)
Committee Management Officer: Andrienne Johnson, Andrienne.Johnson@sba.gov
Advisory Committee on Veterans Business Affairs
Audit and Financial Management Advisory Committee
Council on Underserved Communities
Interagency Task Force on Veterans Small Business Development
National Small Business Development Center Advisory Board
National Women's Business Council
Region I Small Business Regulatory Fairness Board
Region II Small Business Regulatory Fairness Board
Region III Small Business Regulatory Fairness Board
Region IV Small Business Regulatory Fairness Board
Region IX Small Business Regulatory Fairness Board
Region V Small Business Regulatory Fairness Board
Region VI Small Business Regulatory Fairness Board
Region VII Small Business Regulatory Fairness Board
Region VIII Small Business Regulatory Fairness Board
Region X Small Business Regulatory Fairness Board
SAM Status 10/15/2020
Organization
African American
Chamber of Commerce of
Central Florida
African American Greater
Albuquerque Chamber of
Commerce
Arkansas Community
Bankers Association
Asian/Pacific Islander
American Chamber of
Commerce and
Entrepreneurship
Benedict College
Business Development
Center
Better Business Bureau of
Central New England
Better Business Bureau of
Dayton/Miami Valley
Better Business Bureau
Serving Southeast Florida
and the Caribbean
Black Economic Council
of Massachusetts
California Chamber of
Commerce (CalChamber)
Camara de Comercio del
Sur de Puerto Rico
Central Florida Urban
League, Inc.
Type of
Agreement
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Office
Contact
Signed
Expires
North Florida
District Office
Ed Ramos
9/9/2019
9/9/2021
New Mexico
District Office
John Garcia
7/31/2019
7/31/2021
Arkansas District
Office
Edward Haddock
5/22/2019
5/22/2021
Office of the
Administrator
Peter Gibbs
5/13/2019
5/13/2021
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
South Carolina
District Office
Savannah Wilburn
3/28/2019
3/28/2021
Massachusetts
District Office
Robert Nelson
8/1/2019
8/1/2021
Columbus District
Office
Everett Woodel, Jr.
8/1/2019
8/1/2021
Puerto Rico & U.S.
Virgin Islands
Yvette T. Collazo
2/28/2020
2/28/2022
Massachusetts
District Office
Nadine Boone
9/4/2019
9/4/2021
Fresno District
Office
Dawn Golik
3/20/2019
3/20/2021
Puerto Rico District
Office
Yvette Collazo
2/21/2019
2/21/2021
North Florida
District Office
Ed Ramos
10/17/2019
10/17/2021
Central State University
Cincinnati African
American Chamber of
Commerce
City of Augusta
City of Charleston
Business and
Neighborhood Services
City of Columbia-Office
of Business Opportunities
City of Columbus Office
of Diversity and Inclusion
City of Douglasville,
Georgia
City of East Point,
Georgia
City of Eureka Springs
City of South Fulton,
Georgia
City of Union City,
Georgia
Colorado Minority
Business Office
Columbus African
American Chamber of
Commerce
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Columbus District
Office
Barry Peel
10/1/2019
10/1/2021
Columbus District
Office
Barry Peel
10/1/2019
10/1/2021
Georgia District
Office
Jeff Patterson
4/9/2019
4/9/2021
South Carolina
District Office
William Furman
12/13/2019
12/13/2021
South Carolina
District Office
Angela Brewer
2/6/2020
2/6/2022
Columbus District
Office
Barry Peel
10/1/2019
10/1/2021
Georgia District
Office
Terri L. Denison
2/12/2019
2/12/2021
Georgia District
Office
Terri L. Denison
2/12/2019
2/12/2021
Arkansas District
Office
Edward Haddock
4/11/2019
4/11/2021
Georgia District
Office
Terri Denison
12/18/2019
12/18/2021
Georgia District
Office
Terri L. Denison
2/12/2019
2/12/2021
Colorado District
Office
Francis Padilla
7/17/2019
7/17/2021
Columbus District
Office
Barry Peel
10/1/2019
10/1/2021
Combined Arms
Communities Rise
Council of the Great
Lakes Region
Dallas Black Chamber of
Commerce
Development Authority
of Clayton County
El Paso Community
College-PTAC
Entrepreneurship for All
(EforAll)-Spark Efor All
Holyoke
Fairfax County Economic
Development Authority
Farmington Regional
Chamber
Federation of Philippine
American Chamber of
Commerce Chicago
Chapter
Fisk University
Florida Memorial
University
Fort Valley State
University
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Houston District
Office
Valerie Maher
4/9/2019
4/9/2021
Seattle District
Office
Desiree Albrecht
2/6/2020
2/6/2022
Great Lakes
Regional Office
Andrea Roebker
4/9/2019
4/9/2021
Dallas/Fort Worth
District Office
Herbert Austin
2/6/2020
2/6/2022
Georgia District
Office
Jennell Taylor
5/22/2019
5/22/2021
El Paso District
Office
Jose Campos
8/1/2019
8/1/2021
Massachusetts
District Office
Oreste Varela
3/7/2019
3/7/2021
Washington DC
Metro Area District
Office
St. Louis District
Office
Libo Suen
10/25/2019
10/25/2021
Patricia Freeland
3/20/2019
3/20/2021
Illinois District
Office
Robert Steiner
12/5/2019
12/5/2021
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Tennessee District
Office
LaTanya Channel
6/24/2019
6/24/2021
South Florida
District Office
Althea Harris
8/27/2019
8/27/2021
Georgia district
office
Terri Denison
10/3/2019
10/3/2021
Fort Worth Hispanic
Chamber of Commerce
Georgia Greater Black
Chamber of Commerce
Georgia Hispanic
Chamber of Commerce
Goosefoot
Greater Seattle Business
Association
Hilltown Community
Development Corporation
Hispanic Chamber of
Commerce of Metro
Orlando
Houston Area Urban
League
Houston Community
College System
Kentucky State
University
Kerrville Chamber of
Commerce
Knoxville Area Urban
League
Knoxville College
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Fort Worth
Hispanic Chamber
of Commerce
Georgia District
Office
Herbert Austin
2/6/2020
2/6/2022
Terri Denison
1/6/2020
1/6/2022
Georgia District
Office
Jennell Taylor
6/24/2019
6/24/2021
Seattle District
Office
Kerrie Hurd
9/9/2019
9/9/2021
Seattle District
Office
Kerrie Hurd
4/11/2019
4/11/2021
Massachusetts
District Office
Oreste Varela
7/11/2019
7/11/2021
North Florida
District Office
Ed Ramos
8/1/2019
8/1/2021
Houston District
Office
Valerie Maher
2/6/2020
2/6/2022
Houston District
Office
Valerie Maher
2/6/2020
2/6/2022
Kentucky District
Office
Robert Coffey
10/17/2019
10/17/2021
San Antonio
District Office
Anthony Ruiz
2/28/2020
2/28/2022
Tennessee District
Office
LaTanya Channel
5/22/2019
5/22/2021
Tennessee District
Office
LaTanya Channel
6/24/2019
6/24/2021
Lane College
Latin Builders
Association, Inc.
LeMoyne-Owen College
Los Angeles Gay and
Lesbian Chamber of
Commerce
Maestro Entrepreneur
Center
Meharry Medical College
Metro South Chamber of
Commerce
Miles College
Mountain Plains Minority
Supplier Development
Council
Mountain Plains Minority
Supplier Development
Council
Municipal Government of
Vieques
Municipality of Culebra
Nashoba Valley Chamber
of Commerce
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Tennessee District
Office
LaTanya Channel
7/18/2019
7/18/2021
South Florida
District Office
Jonel Hein
12/18/2019
12/18/2021
Tennessee District
Office
LaTanya Channel
7/18/2019
7/18/2021
Los Angeles
District Office
Leigh Kearns
6/24/2019
6/24/2021
San Antonio
District Office
Anthony Ruiz
2/28/2020
2/28/2022
Tennessee District
Office
LaTanya Channel
7/18/2019
7/18/2021
Massachusetts
District Office
Peter Kontakis
2/6/2020
2/6/2022
Alabama District
Office
Tom Todt
2/28/2020
2/28/2022
Kansas City District
Office
Ram Basnet
3/28/2019
3/28/2021
Colorado District
Office
Stephen Collier
9/9/2019
9/9/2021
Puerto Rico District
Office
Jorge Betancourt
8/8/2019
8/8/2021
Puerto Rico District
Office
Jorge Betancourt
8/8/2019
8/8/2021
Massachusetts
District Office
Robert Nelson
2/28/2020
2/28/2022
Nashville Area Hispanic
Chamber of Commerce
Nashville Black Chamber
of Commerce
Nashville LGBT
Chamber of Commerce
National Association of
Federally-Insured Credit
Unions
New Mexico Economic
Development Department
New Mexico State
University Arrowhead
Center
North Olympic Peninsula
Resource Conservation &
Development Council
Ohio Department of
Transportation, Division
of Opportunity, Diversity,
and Inclusion
Pacific Island Knowledge
2 Action Resources, Inc.
Pontifical Catholic
University of Puerto Rico
Prospera
Prospera
Puerto Rican Chamber of
Commerce of Central
Florida
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Tennessee District
Office
LaTayna Channel
5/22/2019
5/22/2021
Tennessee District
Office
LaTayna Channel
6/24/2019
6/24/2021
Tennessee District
Office
LaTayna Channel
5/22/2019
5/22/2021
Office of Capital
Access
William “Bill”
Manger
9/3/2019
9/3/2021
New Mexico
District Office
John Garcia
5/22/2019
5/22/2021
New Mexico
District Office
John Garcia
3/2/2020
3/2/2022
Seattle District
Office
Kerrie Hurd
4/11/2019
4/11/2021
Columbus District
Office
Barry Peel
10/1/2019
10/1/2021
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Utah District Office
Marla Trollan
1/6/2020
1/6/2022
Puerto Rico District
Office
Yvette T. Collazo
3/7/2019
3/7/2021
North Florida
District Office
Ed Ramos
8/1/2019
8/1/2021
South Florida
District Office
C.J. Castro
8/1/2019
8/1/2021
North Florida
District Office
Ed Ramos
9/9/2019
9/9/2021
Puerto Rico MBDA
Business Center
Puerto Rico Science,
Technology and Research
Trust
Rio Grande Council of
Governments
Rio Grande Valley
Hispanic Chamber of
Commerce
Sandy Springs Innovation
Center
Sault Tribe Business
Alliance
Savannah Technical
College
Shaw University
Sistema Universitario
Ana G. Mendez, Inc.
South Carolina Research
Authority
Southern Ocean County
Chamber of Commerce
Southern University and
A&M College
St. Augustine University
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Puerto Rico District
Office
Jorge Betancourt
3/5/2020
3/5/2022
Puerto Rico District
Office
Jorge Betancourt
4/9/2019
4/9/2021
El Paso District
Office
Jose Campos
8/27/2019
8/27/2021
Lower Rio Grande
Valley District
Office
Georgia District
Office
Angela Burton
2/6/2020
2/6/2022
Terri Denison
3/7/2019
3/7/2021
Michigan District
Office
Constance Logan
5/31/2019
5/31/2021
Georgia District
Office
Terri Denison
7/17/2019
7/17/2021
North Carolina
District Office
Patrick Rodriguez
4/9/2019
4/9/2021
Puerto Rico District
Office
Jorge Betancourt
2/17/2019
2/17/2021
South Carolina
District Office
William Furman
2/6/2020
2/6/2022
New Jersey District
Office
Sheryl Paynter
9/9/2019
9/9/2021
Louisiana District
Office
Jo Ann Lawrence
11/1/2019
11/1/2021
North Carolina
District Office
Patrick Rodriguez
8/1/2019
8/1/2021
St. Croix Chamber of
Commerce
St. George Chamber of
Commerce
Suazo Business Center
Tennessee State
University
The City of Birmingham
The City of Cocoa
The Latina Circle, Inc.
d/b/a Amplify Latinx
The School Board of
Miami-Dade County
The Society for Financial
Awareness
Tri-County Regional
Black Chamber of
Commerce
Urban Impact, Inc.
Utah Black Chamber of
Commerce, Inc.
Utah World Trade Center
Corporation
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Puerto Rico & U.S.
Virgin Islands
District Office
Utah District Office
Wayne Huddleston
9/9/2019
9/9/2021
Marla Trollan
9/9/2019
9/9/2021
Utah District Office
Marla Trollan
7/17/2019
7/17/2021
Tennessee District
Office
LaTanya Channel
6/24/2019
6/24/2021
Alabama District
Office
Tom Todt
2/6/2020
2/6/2022
South Florida
District Office
Vincent LoPresti
10/17/2019
10/17/2021
Massachusetts
District Office
Robert H. Nelson
12/5/2019
12/5/2021
South Florida
District Office
Althea Harris
4/9/2019
4/9/2021
Seattle District
Office
Kerri Hurd
11/1/2019
11/1/2021
Houston District
Office
Valerie Maher
2/6/2020
2/6/2022
Alabama District
Office
Tom Todt
2/6/2020
2/6/2022
Utah District Office
Marla Trollan
12/5/2019
12/5/2021
Utah District Office
Marla Trollan
6/24/2019
6/24/2021
Venture Cafe MIA, Inc.
dba Venture Cafe Miami
Voorhees College
Wallace Community
College Selma
Waltham Chamber of
Commerce
Warrior Rising
Wayfind
Wayne Brown Institute
Weber State University
Hall Global
Entrepreneurship Center
Wilberforce University
William Factory Small
Business Incubator
Women in Business Expo
Group
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
Strategic
Alliance
Memorandum
South Florida
District Office
Jonel Hein
12/18/2019
12/18/2021
South Carolina
District Office
R Gregg White
8/27/2019
8/27/2021
Alabama District
Office
Roderick Perkins
4/9/2019
4/9/2021
Massachusetts
District Office
Robert Nelson
12/5/2019
12/5/2021
Utah District Office
Ian Lorenzana
11/1/2019
11/1/2021
Seattle District
Office
Kerrie Hurd
8/1/2019
8/1/2021
Utah District Office
Marla Trollan
10/17/2019
10/17/2021
Utah District Office
Marla Trollan
10/17/2019
10/17/2021
Columbus District
Office
Barry Peel
10/1/2019
10/1/2021
Seattle District
Office
Kerrie Hurd
12/5/2019
12/5/2021
Seattle District
Office
Kerrie Hurd
7/17/2019
7/17/2021
FY 20 – FY 21 Currently Active Executed Cosponsorship Agreements
Authorization #
Program/Field Office Cosponsor(s)
Name of
Activity/Event
Date of Proposed
Event
Event
Location
Businesses
Assisted
Date Fully
Executed
Amount
19-0165-61
Rhode Island DO Newport County
Chamber of Commerce,
University of Rhode
Island Rhode Island
Small Business
Development Center,
Rhode Island SCORE
Wyoming DO Laramie County
Library System,
Wyoming Small
Business Development
Center Network
Nevada DO - Paragon
Diversity Group, Inc.,
Nevada Women’s
Business Center, Armed
Forces Chamber
Rhode Island DO Rhode Island
Hospitality Association,
University of Rhode
Island Rhode Island
Small Business
Development Center
New York DO - The
City of Newburgh
Government
Contracting &
Business
Development and
Lender
Matchmakers
Workshops
May 2019 - April
2021
Newport, RI
500
5/14/19
$0
Business
Workshops
October 2019 September 2021
Cheyenne,
WY
400
7/12/19
$0
Quarterly FaithBased and
Community
Business Outreach
October 16, 2019,
January 15, April
15, July 15, October
21, 2020
Las Vegas,
NV
80
9/16/2019
$0
Small Business
Workshops and
Lender
Matchmakers
Series
January 1, 2020 December 31, 2021
Rhode Island
Statewide
150
12/6/2019
$0
Small Business
Basics Workshops
March 2020 September 2021
Newburgh,
NY
100
3/18/2020
$0
Arkansas DO-Arkansas
Community Bankers
Association
Nebraska DO - Better
Business Bureau,
Business Ethics
Alliance, Catholic
Charities Archdiocese
ACBA Business
Resource Page
November 15, 2019
- November 30,
2020
August 19, 2020 –
September 30, 2021
World Wide
Web
100
11/15/2019
$0
Virtual
50
8/24/2020
$0
19-0897-70
19-0944-88
20-0165-05
20-0202-36
20-0669-03
20-0766-44
[Type here]
Entrepreneur’s
Education
Collaborative
FY 20 – FY 21 Currently Active Executed Cosponsorship Agreements
20-0767-42
Authorization #
of Omaha, Greater
Omaha Chamber of
Commerce, Nebraska
Business Development
Center, Nebraska
Enterprise Fund,
SCORE Greater Omaha
Chapter 40
Wichita DO - FranNet
of Missouri, Kansas,
Southern Illinois and
Eastern Iowa
Program/Field Office Cosponsor(s)
Small Business
Webinars
August 19, 2020 September 30, 2021
Virtual
25
8/14/2020
$0
Name of
Activity/Event
Date of Proposed
Event
Event
Location
Businesses
Assisted
Date Fully
Executed
Amount
250
9/14/2020
$0
300
10/1/2020
$0
60
10/22/2019
$1,800
200
12/4/2019
$0
20-0897-45
Wyoming DOWyoming Procurement
Technical Assistance
Center
Selling to the
Government
Training Series
October 2020 September 2021
20-0912-47
San Francisco DO Start Small Think Big
Legal Workshop
Series
October 2020 October 2021
20-0920-02
Orange County/Inland
Empire DO - District
Export Council of
Southern California
Hawaii DO - Honolulu
Minority Business
Center University of
Hawaii at Manoa
Shidler College of
Business, State of
Hawaii Department of
Transportation Office
of Civil Rights
International
Banking & Finance
Seminar
October 23, 2020
Virtual,
Casper,
Laramie,
Cheyenne,
Riverton,
Jackson, Fort
Washakie,
WY
San
Francisco,
CA
Irvine, CA
Business
Development
Series
January 1, 2020 December 31, 2020
Hawaii
Statewide
20-0951-04
[Type here]
FY 20 – FY 21 Currently Active Executed Cosponsorship Agreements
Disadvantaged Business
Enterprise
[Type here]
Current SBA Interagency Activities (MOUs)
Agency
FAA
SBA Office Execution Expiration
Date
Date
3/5/2018
3/5/2050
SBA use of the FAA SCIF
12/12/2018
12/31/2023
DAIP for disasterassistance.gov
5/17/2018
5/16/2023
SBA_eAdjudication_5.21.18.pdf
Office of
12/16/2016
Veterans
Business
Development
(OVBD)
ODA
10/23/2019
12/16/2021
Outlines the responsibilities supporting the DOD
Transition Assistance Program (TAP) for
Service Members Transitioning from Active
Duty.
10/23/2021
Disaster loan data sharing for CDBG-DR
Indiana Department of Homeland Security
ODA
7/18/2019
1/18/2021
Disaster loan data sharing for CDBG-DR
New York City Office of Management and
Budget
ODA
5/21/2019
5/21/2021
Disaster loan data sharing for CDBG-DR
State of Nebraska Department of Economic
Development
ODA
7/10/2019
1/10/2021
Disaster loan data sharing for CDBG-DR
State of North Carolina
ODA
8/20/2019
2/20/2021
Disaster loan data sharing for CDBG-DR
FEMA
OPM
Defense; DOL, VA, ED,DHS/USCG, OPM
Missouri Department of Economic
Development
Office of the
Chief
Operating
Officer
(COO)
Office of
Disaster
Assistance
(ODA)
COO
Notes
USDA; Bank of ND, Center for
Technology & Business, ND Department of
Commerce
NCUA
Office of
Field
Operations
OCA
4/18/2016
4/18/2021
4/30/2019
4/30/2022
Minnesota Housing Finance Agency
ODA
9/3/2019
3/3/2021
Va
OVBD
12/11/2017
12/11/2021
SBA; SBA's Office of the National
Ombudsman and Office of Advocacy
Office of the
National
Ombudsman
ODA
12/5/2019
12/5/2022
1/13/2020
7/21/2021
This is for Hurricane Irma
ODA
1/13/2020
7/21/2021
This is for Hurricane Michael
ODA
1/13/2020
7/21/2021
This is for Hurricanes Hermine and Matthew
ODA
ODA
Office of
Capital
Access
(OCA)
OCA
9/18/2020
9/21/2020
9/22/2020
3/18/2022
3/21/2026
9/22/2026
IRS and SBAMOU to share PPP loan data
9/29/2020
9/29/2026
ODA
1/27/2020
6/26/2021
Florida Department of Economic
Opportunity
Florida Department of Economic
Opportunity
Florida Department of Economic
Opportunity
Town of Paradise, California
State of Louisiana
IRS
Federal Reserve
California Department of Housing and
Community Development
Parties agree to collaborate on helping
entrepreneurs secure financial, business, and
technical assistance.
Increase the awareness and knowledge by
NCUA examiners and credit unions of SBA
programs.
Disaster loan data sharing for CDBG-DRCM
Provides self-employment guidance, assistance
and on-the-job training to disabled veterans.
Foster increased cooperation to create a small
business friendly regulatory environment
Managing PPP loans pledged as collateral to the
Fed's PPP Liquidity Facility (PPPLF).
Disaster loan data sharing
Crisis Management & Emergency Preparedness
a. Contingency Planning
SBA maintains four interrelated planning efforts within the traditional rubric of Crisis Management and
Emergency Response: disaster planning related to National Preparedness (Presidential Policy Directive –
PPD – 8); continuity planning directed by National Continuity Policy (PPD-40); Insider Threat Program
(Executive Order 13587; and occupant emergency planning pursuant to Federal Management
Regulations. These planning efforts are supported by the Enterprise Risk Management efforts directed by
the Office of Management and Budget (OMB) Circular No. A-123.
1. Occupant Emergency Planning: The initial reaction to any emergency must be to protect those
immediately subject to the threat. Under the guidance of the Office of Administrative Services,
each SBA facility possesses an occupant emergency plan (OEP), which provides guidance on
potential building emergencies with emphasis on evacuation (for fire and similar events) and
shelter-in-place (when circumstances outside a facility are more dangerous than inside). Each
OEP is maintained by the Federal agency with the greatest presence at a specific facility and
follows guidance from GSA and DHS. The Agency Occupant Emergency Plan is in section 11
of this transition book in full.
2. Safety and Security Protocol Documents
The Agency has in place Safety and Security Protocol Documents to ensure that all SBA
employees are aware of the various safety, security, and program protocols in place, and to help
minimize and mitigate the risk of Insider Threat. These documents benefit all SBA employees
by providing access to this information as needed, and by providing a resource of knowledge for
being prepared and knowing how to respond in the various scenarios presented.
The documents were developed by the Office of Continuous Operations and Risk Management
(OCORM), in consultation with the Office of General Counsel (OGC); Office of
Communications and Public Liaison (OCPL); Office of Personnel Security (OPS); Office of the
Chief Information Officer (OCIO); Office of Human Resources Solutions (OHRS); Office of
Administrative Services (OAS) and SBA Security Officer; Office of Field Operations (OFO);
the SBA Security Coordinating Council (SCC); and program office input.
3. Continuity of Operations Plan: To achieve its three strategic goals of growing businesses and
creating jobs, serving as the voice for small business and, building an Agency that meets the
needs of today’s and tomorrow’s small businesses, SBA has defined eight mission essential
functions (MEFs). Any of the MEFs can be interrupted by an emergency event impacting an
SBA facility (or a small set of facilities) for a short period of time, but not for more than a few
days. Planning to ensure the continuity of these eight functions and the required supporting
activities is contained in the agency’s single, integrated Continuity of Operations (COOP) Plan.
This COOP Plan, updated and published each March by OCORM ), contains overall guidance
and planned actions for each SBA facility and major systems. OCORM is responsible for overall
plan design and execution; individual facility directors develop and manage execution of
appendices for local action.
Because SBA is not a national defense, lifesaving, or life protecting agency, employee safety is
paramount in COOP planning and their concerns for their family a key consideration. The
Agency is not overly reliant on any single facility; operations can continue for days or weeks with
any single facility disrupted, including Headquarters. While plans include telecommunication
disruption, in general, telework obviates the need for physical COOP facilities. All Federal
agencies in the National Capitol Region have their continuity plans tested each year by The
White House-directed, FEMA-managed EAGLE HORIZON exercise. Due to COVID-19, Eagle
Horizon was canceled for 2020. The dates for the 2021 exercise have not yet been announced.
4. Disaster Preparedness and Recovery Plan (DPRP): For emergencies impacting the
American population, the Federal government maintains the capabilities to support local,
state, and regional response (lifesaving and life sustaining actions) and recovery (the
restoration, redevelopment, and revitalization of impacted communities). SBA contributions
to the response/recovery continuum are primarily in the recovery realm. These efforts take
place throughout SBA: disaster loans to businesses of all sizes, private nonprofit
organizations, homeowners, and renters; counseling, mentoring, and training through a variety
of programs and resource partners; disaster-related and other contracts with federal, state, and
local agencies; and the long-term engagement of capital programs in the post-disaster
“normal.”
OCORM executes its Congressionally mandated disaster planning function1 by maintaining the
DPRP as the SBA’s comprehensive disaster plan. The plan is reviewed annually and usually
published each June. The 2020 publication of the plan was delayed to incorporate lessons learned
from the COVID-19 response. The plan specifies the production goals for the disaster loan
program and details the means for scaling loan operations from small (less than 50,000 disaster
loan applications) disasters through massive potential events (more than 500,000 applications).
The DPRP also integrates the entire Agency’s recovery effort as supported by Disaster
Assistance, Entrepreneurial Development, Government Contracting/Business Development,
Capital Access, and Field Operations. OCORM serves as the action office for National Disaster
Recovery Framework coordinating agencies (e.g. FEMA, DHS-CISA, Commerce/EDA,
Commerce/Census, USDA, HHS, HUD, DOI, and others as needed). OCORM coordinates with
District Directors and Regional Administrators to provide the long-term disaster recovery
activities beyond disaster loan making (which is coordinated through the Office of Disaster
Assistance (ODA).
OEPs, the COOP Plan, and the DPRP all lay out required decision-making for each potential phase of an
event. Captured in the OEPs, evacuation and shelter-in-place decisions are made in line with both
obvious requirements (e.g., escaping a fire) and direction from first responders, etc. When lifesaving
decisions have been made, local senior management determines whether to activate COOP planning. At
Headquarters, the Director, OCORM, in conjunction with the Chief of Staff and/or Chief Operating
Officer to advise the Administrator on the situation and implement the key decisions outlined in the
COOP Plan. The DPRP drives the coordination and implementation for scaling recovery operations and
integrating the activities of all of SBA’s programmatic equities to support the economic recovery needs
for communities through technical assistance, capital access, entrepreneurial development, and access to
new markets and government contracting.
In response to the unprecedented pressures from COVID-19 on the agency, OCORM coordinated the
deployment of the Administrator’s Command Center to integrate agency-wide response activities and
provide the Administrator and agency leadership with a common operating picture of ongoing response
and recovery needs. Stated broadly, the primary areas of coordination centered around the themes of:
- Communication and Information Sharing – to highlight any identified recovery issues, consolidate
them to support leadership decision-making and align agency actions. Additional action focused on
1
15 USC 636e; SEC. 12061 -- https://www.congress.gov/110/plaws/publ234/PLAW-110publ234.pdf
-
-
issue resolution and troubleshooting to support operational “future planning” in an effort to anticipate
and mitigate future risks and operational challenges.
Continuity and Reconstitution – focused on the assessment and sustainment of agency functions
while operating in a COVID-19 environment while ensuring a high priority to employee health and
safety. The Reconstitution Plan was developed to provide the agency policy and procedures for how
to conduct a safe re-occupancy of SBA offices during the community spread of COVID-19 and how
to restore pre-pandemic operations as the community spread subsides.
Interagency Coordination – captured the major issues, requirements, and actions that SBA could
support for the overall federal response and recovery efforts. These included those conducted at the
National Response Coordination Center through the utilization of regionalized recovery coordination
efforts. Examples include the identification of small business vendors who could support the
Personal Protective Equipment (PPE) supply chain when the response operations identified shortfalls
in the supply chain and the analysis of recovery needs for regional issues in Regions 1, 3, and 9.
b. Enterprise Risk Management
Agencies that successfully continue or promptly recover operations despite tremendous challenges,
practice effective risk management against the specific risk of managing operations, amidst
contingencies. However, Enterprise Risk Management (ERM) is broader than the risk management
process associated with COOP planning; it addresses risks associated with compliance, financial,
information technology, cybersecurity, human capital, fraud, and many more. In addition, ERM as a
discipline deals with identifying, assessing, and managing risks across an enterprise. In an effort to
educate staff on ERM and further mature ERM, SBA has created an ERM framework which includes a
governance structure to manage the critical risks facing the Agency. The ERM Board, chaired by the
Deputy Administrator, meets monthly and is tasked to oversee the implementation of ERM agency wide.
On an annual basis, the ERM Board approves the Agency’s risk profile which consists of a handful of
critical risks that are monitored by the ERM Board. Day-to-day management of ERM in SBA is handled
by OCORM. As ERM matures in SBA, the Agency will shift from being reactive to proactive, enabling
better management of critical risks.
c. Cybersecurity
Just as COOP planning assists the identification of enterprise risks and the ERM process may include
addressing identified risks through continuity plans, cybersecurity is also a risk area for SBA and
information security processes contribute to COOP plans. Formally a function of the Chief Information
Security Officer (CISO) within the Office of the Chief Information Officer (OCIO), cybersecurity
involves prioritizing assets, utilizing government-wide shared services, monitoring for and responding to
data breaches, educating and equipping staff with cybersecurity knowledge and tools (to include twofactor authentication now in place throughout SBA) in an effort to deter, discourage, and disrupt
malicious activity in cyberspace.
d. Insider Threat Program
The Insider Threat Program (ITP) is also a risk area for SBA and all of our internal and external
customers. The Director of OCORM serves as the Senior Insider Threat Official (SITO) who also assigns
a Program Manager/Administrative Officer to coordinate the work of the ITP HUB Working Group.
Once a suspicious activity is identified and reported to the ITP HUB, OCORM conducts preliminary
research with the appropriate HUB member to determine the validity of the threat. OCORM serves as
facilitator of the HUB meetings on a quarterly, at minimum, basis where new and existing ITP
allegations are analyzed and evaluated. OCORM compiles resolutions made by the HUB and conducts
follow-up activities as required by the National Insider Threat Task Force (NITTF). These decisions are
kept internal to the HUB, and annually reported to the Administrator.
e. Critical Incidents Response Team
The Critical Incidents Response Team (CIRT) is another risk area for the SBA. The Chief Human
Capital Officer (CHCO), Office of Human Resources Solutions (OHRS) serves as the Chair of the CIRT.
The role of the CIRT is to evaluate and provide guidance and recommendations to management in
responding to and assessing the seriousness of violent or potentially violent situations. The CIRT advises
and provides recommendations to managers and supervisors on how to address incidents that could be
construed as harassment, violence (whether against persons or property), threats of violence, intimidation,
and other disruptive, inappropriate behavior, and to respond appropriately and promptly when such
incidents occur. The CIRT will, as appropriate: a. Listen to and collect information and documentation
available from employees and witnesses to the incident; b. Identify additional subject matter experts
required to give input to the mitigation strategies and support for impacted employees; c. Identify persons
who have made a threat; d. Assess the risk level of a situation or incident; e. Provide recommendations
and develop a plan for managing the situation; f. Call the Federal Protective Service or other law
enforcement authorities, if this has not already been done, and ensure coordination and cooperation with
these authorities; g. Evaluate and determine whether a limited inquiry or a formal investigation of the
incident is warranted; and h. Monitor the progress of any follow up action recommended.
f.
Occupant Emergency Planning (OEP)
Primary Points of Contact
Director, Office of Administrative
Services, OEMISS, Kenneth Etheridge
Director, Facilities, Safety, & Security,
OEMISS, Nathaniel Mosby
Continuity of Operations (COOP) Planning
Director, OCORM, Rafaela Monchek
Senior Planner, OCORM, Joshua Barnes
Disaster Preparedness and Recovery Plan (DPRP)
Director, OCORM, Rafaela Monchek
Senior Planner, OCORM, Joshua Barnes
COVID-19 Command Center
Executive Director, OEMISS, Sean Crean
Director, OCORM, Rafaela Monchek
Senior Planner, OCORM, Joshua Barnes
Director, OCORM, Rafaela Monchek
Senior Policy Advisor, ERM, OCORM, Andrea
Peoples
Chief Information Officer, OCIO, Keith Bluestein
Chief Information Security Officer (CISO),
OCIO, James Saunders
Director, OCORM, Rafaela Monchek
Program Manager, ITP, OCORM, Tony Lee
Enterprise Risk Management (ERM)
Cybersecurity
Insider Threat Program (ITP)
Critical Incidents Response Team (CIRT)
Chief Human Capital Officer, OHRS, Elias
Hernandez
Chief, Workforce Relations Division (WRD),
OHRS,Miriha Furedi
Document Contents:
11. General Administrative | Briefing Information (OHRS/OCIO/OEMISS)
a. National Security Matters (OEMISS)
b. Access Control
c. Computer Access Information Form OCIO
d. Technology Help Information OCIO
e. Telephone Instructions OCIO
f. Headquarters Floor Plan and COVID-19 Protocols OEMISS
g. Transportation & Parking Information OEMISS
h. Building Evacuation Plan OEMISS
i. Merit System Principles and Prohibited Personnel Practices OHRS
a. National Security Matters
SBA Proper Procedure For Receipt, Handling and Transport of Classified Materials and Information
SBA Security Requirements
1. SBA Proper Procedure For Receipt, Handling and Transport of Classified Materials and Information
SUBJECT: Procedures for the U.S. Small Business Administration Classified Information Safeguarding/handling
1. Purpose. To outline the proper procedures for transporting and receiving classified national security information (Top
Secret/Secret/Confidential).
2. Background. U.S. Small Business Administration (SBA) Employees are responsible for safeguarding the classified
materials in their possession. Practicing operations security (OPSEC) will significantly limit any potential loss of
information. Based on 32 CFR Parts 2001, Classified National Security Information, and Executive Order (E.O.)
13526, Classified National Security Information, SBA Employees must follow the proper procedures for preparing
and transporting classified national security information.
3. Scope and applicability. This applies to all SBA employees and contractors handling classified national security
information.
4. Who can receive classified materials at SBA? Only properly cleared SBA personnel and established couriers who
have been cleared by the Office of Personnel Security (OPS) and given written notification by the Director are
authorized to receive and/or transport classified materials on behalf of SBA. If you are unsure if you have
authorization as a courier or authorized recipient of classified materials, please contact the Director, OPS.
5. I have a classified document I need to pick up what do I need to do?
a. Call or email the OPS Agency Personnel Security Officer or the Director and notify them that you have a
classified courier request and provide them with the date and time the document needs to be picked up. OPS
requires coordination to ensure we have a properly cleared courier to pick up the materials and a location to
secure it once it reaches SBA Headquarters. The OPS Agency Personnel Security Officer will ensure the
courier has the proper courier letter and clearance to pick up the documents. OPS Agency Security Officer
will have transport bags that are required and will brief the courier on proper protocol prior to pick up and
upon their return to SBA.
b. OPS Agency Personnel Security Officer or the Director will coordinate with the personnel involved to ensure
we have an appropriately cleared location you can discuss and meet with properly cleared personnel. Only
properly cleared personnel who have the appropriate clearance in place for the classification level of the
document may receive, review or discuss the document.
i. Secret level documents can be coordinated with OPS Agency Personnel Security Officer or the
Director for access to SBA DC Headquarters’ 4th Floor Strong room for storage, review and
discussion.
ii. Top Secret level documents can be coordinated with OPS Agency Personnel Security Officer or the
Director for access to Federal Aviation Administration (FAA) Sensitive Compartmentalized
Information Facility (SCIF) as these documents can only be accessed, reviewed and discussed in this
secured area. This area can also be coordinated for use when secure phone lines are required.
Preplanning is required to obtain this Communications Security (COMSEC) equipment use and it
must be requested in advance.
1. What can be used to transport the documents? For local transportation of classified materials, a locked briefcase or
similar type of locking enclosure may serve as the outer envelope. The key must be removed from the briefcase
during the transportation. The briefcase must have a nametag or other marking that denotes where the briefcase
should be returned if found. Lock bags that meet the security requirements for classified documentation that must be
used for classified transport.
2. I received classified documents in the mail - What do I need to do? Contact OPS Agency Personnel Security Officer
or the Director and they will coordinate the securing and storage and documenting of the receipt of the classified
item. Secret and confidential material are authorized to be sent through U.S. Postal Service registered mail or express
mail within the United States and its territories and Federal Express can be used for Secret material for urgent
overnight delivery only. Confidential documents may be mailed first class mail between Federal agencies only and
should be marked “Do Not Forward. Return to Sender”. All classified documents to be mailed must be mailed at the
post office. Use of street mail collection boxes is prohibited. Top Secret is NEVER authorized to mail in any
capacity.
Classified Material Point of Contact List:
Office of Personnel Security (OPS):
Joe Eitel - Director – Office of Personnel Security (OPS) – Denver
721 19th St. Room 392
Denver, CO 80202
Office - (303) 844-7750
Cell – (303) 489-3787
Email – joseph.eitel@sba.gov
Zina Hardy – Agency Personnel Security Officer – OPS HQ (Classified Receiver)
409 3rd St. SW, Concourse Level, Suite C960
Washington, D.C. 20416
Office – (202) 205-6080
Cell – (202) 423-0480
Email – zina.hardy@sba.gov
2. SBA Security Requirements
The Agency has a total of 110 personnel who hold a national security clearance.
The SBA Administrator is a member of the President’s Cabinet. To support the Administrator in this capacity there are five
(5) positions on the immediate staff within the Office of the Administrator who are authorized to hold a national security
clearance.
The Agency has 105 positions that require a national security clearance at the Secret or above level due to the nature of
classified access they may be required to have.
All individuals that are expected to hold any of these positions will undergo significant and appropriate background
investigations by the SBA’s Office of Personnel Security to ensure there are no limiting factors that would prevent an
individual from occupying a national security position.
Due to the sensitivity of this information, further information will be provided upon request.
POC for SBA is:
Joe Eitel - Director – Office of Personnel Security (OPS)
721 19th St. Room 392
Denver, CO 80202
Office - (303) 844-7750
Cell – (303) 489-3787
Email – joseph.eitel@sba.gov
b. Access Control
1. Access Control Policy and Procedures: (AC-1)
Access controls provide a technical means of controlling what information users can access,
the programs they can run, and the modifications they can make. These controls may be built
into the operating system, may be incorporated into applications programs or major utilities
(e.g., database management systems or communications systems), or may be implemented
through add-on security packages.
SBA requires program areas and System Owners to develop formal, documented
procedures to facilitate the implementation of the access control policy and associated
controls and to also develop procedures that address system specific and hybrid control
requirements for the access control family.
Program Areas and Information System Owners shall:
A.
Develop, document, and disseminate access control procedures to facilitate the
implementation of the access control policy and associated access control security controls.
B.
Review and update the current access control procedures annually.
2. Account Management: AC-2, AC-2(1), AC-2(2), AC-2(3), AC-2(4), AC-2(5), AC-2(12), AC-2(13)
Information System Owners shall:
A. Identify and select the following types of information system accounts to support organizational
missions/business functions: individual, privileged, shared, group, system, guest/anonymous,
emergency, developer/manufacturer/vendor, temporary, and service.
B. Assign account managers for information system accounts;
C. Establish conditions for group and role membership;
(1) Individual users may become members of a group provided that:
• Group membership is approved in writing from management.
• Group membership preserves the user's need-to-know/need-to-share least privilege.
D. Specify authorized users of SBA information systems, group and role membership, and access
authorizations (i.e., privileges) and other attributes (as required) for each account;
Note: Other attributes required for authorizing access include, for example, restrictions on time-of-day,
day-of-week, and point-of-origin. In defining other account attributes, system-related requirements (e.g.,
scheduled maintenance, system upgrades) and mission/business requirements (e.g., time zone
differences, customer requirements, remote access to support travel requirements) must be considered.
Failure to consider these factors could affect information system availability.
E. Approve and authorize the creation, modification, disabling, and removal of all SBA information
system accounts, including those with user and administrative privileges.
(1) Access requirements must be identified for newly assigned personnel or transfers, as well as
defining required levels of access for each system and/or application, prior to providing
access.
(2) Each user must be assigned minimum access privileges required.
(3) Normal system or application users must not be granted access rights to administration or
security functions of the system.
(4) Authorized users of the information system must be identified and their access
rights/privileges must be specified.
(5) An individual who requests an information system account must adhere to the following
requirements prior to assuming responsibility for the account or new access permissions:
• Rules of Behavior must be read and acknowledged in writing.
• Completed access request forms must include a signature (handwritten or digital) of the
account recipient's acceptance of responsibility for the account.
• The 1228 “Computer Access/Clearance Form” must be completed.
• Background investigation must be completed.
(6) Conditions for disabling or deactivating accounts include, for example: (i) when shared/group,
emergency, or temporary accounts are no longer required; or (ii) when individuals are
transferred or terminated.
(7) Ensure that specialized training is provided for specific information system accounts, as
appropriate.
(8) Requests to establish information system accounts must be approved by the Information
System Owner.
• Approval of requests to establish information system accounts must be in writing.
• Access requests must be approved by all applicable information system managers.
(9) Processing of requests for privileged access to an information system must include additional
scrutiny such as:
• Higher level of background checks.
• Higher level of management approval.
(10) Before receiving access to the system, the individual requesting access must complete the
required Computer Security Awareness Training (CSAT).
• New contractors must complete the CSAT within 30 days upon access to SBA network. If
CSAT is not completed, all information system accounts assigned to the user will be
suspended.
• All current SBA employees and contractors must take the CSAT annually. If CSAT is not
completed, all information system accounts assigned to the user will be suspended.
(11) User accounts shall remain active until the individual is transferred or their employment is
terminated.
(12) All access request forms must be maintained while the account remains active.
(13) Requests must be approved by all applicable information system managers.
c. Computer Access Information Form
Ne •ork Access Request Form
Please read carefully.
EnteCPcis-e Offjce Automation Caoabilities
Execution of this form wi resu ·n the provisioning o access o the SBA En erprise etwor1< and · uance of an
SBA-issued
top. This access indudes access to email, I emet and intranet resources, docmlent generation
and managemen tools, office messaging, remote aocess, and other office automation capabilities. Please tell us
of any of the ol ·ng conditions apply:
D n.s individual does not need an SBA · ued laptop.
• n.s individual needs a desk phone.
D n.s individual needs a mo ·1e device.
Cybersecurjty and Pdvacv e21 icv
By completing this orm, e requesting Program Office unders
and a
edges that the aocess requested
canies the responsibi · o a<llefing to all aspects of SBA Cybersecurity and Privacy Policies. The reques ·ng
Program Office further understands and acknowtedges tha violation of these policies may result ·n su
· or
ermination of access.
Notice of SeQaration
The Office of the Ctief In ormation Officer is required to automa ·ca11y remo network access for separated
days of separation. The reques ·ng Program Office understands and
"ndviduals within thirty (30) cal
a
edges tha · · their res
·bi ity to notify the Office of the c h· f In ormation Officer when incfrviduals
(federal or contractor) separa e from the agency. The reque · Program Office also understands and
a
edges tha · · their res
·bi ity to provide notification to the Office of the C · f In ormation Officer for
in<ividuals who · be absen from the agency for a period longer than thirty (30) calendar days (e.g. rrilitary duty,
maternity leave, pa emity lea e) to pre ent access remo al.
The ·ntorma · n in this form is complete and accurate, and I understand and a
Federal Supervisor or Contracting Officer Represe
Sig
edge the conditions abo e.
ti e
re: _ _ _ _ _ _ _ _ _ _ _ _ _ __
0a e: _ _ _ _ _ _ _ _ _ __
Access Approvals
Office of Human Resources Sol ·
(SBA employees) or
Office of Inspector General Htman Resources (IG employees)
[ this appro
· not reqLired ]
[ for contractor personnel ]
Signature: _ _ _ _ _ _ _ _ _ _ _ _ _ __
Dae: _ _ _ _ _ _ _ _ _ __
Office of Personnel Security (SBA employees and contractors) or
Office of Inspector General Office of Security Operations (IG en7C)loyees and contractors)
Signa re: _ _ _ _ _ _ _ _ _ _ _ _ _ __
Date: _ _ _ _ _ _ _ _ _ __
Office of the Chief Information Officer or Office of Disaster Assistance
Signature: _ _ _ _ _ _ _ _ _ _ _ _ _ __
SBA Form 228 (Revised 202 /0 1/28)
Page2
Date: _ _ _ _ _ _ _ _ _ __
d. Technology Help Information
IT Service Center
Phone: 855-620-4780
Email: itsc@sba.gov
e. Telephone Instructions
USER GUIDE
FOR ISDN TERMINALS
AND PROGRAMMED
FEATURES
To PLACE a call
To use
Lift HANDSET, or
Press SPEAKER, or
Touch a CALL APPEARANCE (CA) button ... dial number
To ANSWER a call
To use
Lift the HANDSET, or
Press SPEAKER, or
Touch the CALL APPEARANCE (CA) button, the green light
remains steady.
To answer a SECOND
call
SPEAKER PHONE
Ask the current caller to hold, touch the desired CA, you are now
connected to the new caller and the first caller is automatically
placed on HOLD. To speak to the first caller, press the CA for
that caller.
To use
You are using the HANDSET ... press the SPEAKER button, light
comes on, you are now using the SPEAKER.
You are using the SPEAKER ... pick up HANDSET, speaker light
goes out, you are now on HANDSET.
Use speaker
You are on the HANDSET ... press the SPEAKER button, light
comes on ... use SPEAKER.
To
disconnect
You are on SPEAKER, press SPEAKER ... this disconnects the
call.
NOTE: On 6200 set, SPEAKER does not work when HEADSET is attached and
programmed into set.
You want to end a call, press DROP ... you will be disconnected
from the call, you will hear another dial tone.
END A CALL (DROP)
To activate
HOLD
To activate
You are on a call ... press HOLD, the caller is placed on hold,
CALL APPEARANCE (CA) green light flashes fast.
To return
Press the CA, you are back with the caller.
TRANSFER (TNT)
(Transfer-NumberTransfer)
To activate
You are on a call ... press TRANSFER ... dial the 10-digit number
you want to reach ... press TRANSFER, hang up.
To announce Press TRANSFER ... dial the number, ANNOUNCE the call ...
press TRANSFER, hang up.
INTERCOM
To abort
You have pressed TRANSFER. You do NOT want to complete
the transfer ... press DROP ... press the CALL APPEARANCE
(CA).
To activate
You are NOT on a call ... Press the ICOM button and dial the 2digit ICOM of the other person.
You ARE on a call ... Press a free CALL APPEARANCE (CA) on
your phone ... Press the ICOM button and use as above.
CALL FORWARD
Primary (only#) (PDN)
(Personal Directory
Number)
To activate
Press the CFV button, or press *722. Green light appears
steady. Standard Call Forwarding for "no answer" on the PDN
goes to the Voice Mail Messaging System. To re-program the
CFV button, get a dial-tone, dial *723 ... dial the number where
calls are to be forwarded,(voice mail = 202-401-1702) wait for
the “bouncing” confirmation tone, hang up.
To cancel
Press the CFV button, or press *732. Green light goes out. Calls
ring on your set as usual.
CALL FORWARD (SDN) To activate
(Secondary Directory
Number)
Press the SDN button, dial *722 ... to re-program hear dial-tone,
dial *723, dial the number where calls are to be forwarded, hear
confirmation.
3-WAY CONFERENCE
6-WAY CONFERENCE
To cancel
Press the SDN, dial *732...
To activate
You are on a call ... Press the CONFERENCE button, hear the
dial-tone ... dial the desired number. Press the CONFERENCE
button.
To end
Press DROP to disconnect the last person you dialed, you are
still connected to the original call.
To activate
You are not on a call ... Press the 6-WAY button, hear the dialtone, dial the first number ... Press the CONFERENCE button,
the first caller goes on hold, dial the next number ... Press the
CONFERENCE button, you are joined with your parties ... Press
the CONFERENCE button again to add callers, and continue ...
to join up to 5 callers.
You are on a call ... Press CONFERENCE, Press 6-WAY, repeat
as above to add 4 other callers. Pressing DROP disconnects the
LAST caller you connected.
Display With Inspect, Privacy, Time And Date
The Display With Inspect, Privacy, Time And Date (DIDLXA - for Custom ISDN, DIDLX for
National ISDN) feature inspects all appearance button and feature button information. Privacy
prevents display of calling party information to the called station. Time and date information is
also provided.
ERCO; Executive Ringer Cutoff - Turns audible ringing off and on to all incoming voice calls
CALL PICKUP
To use
Another phone is ringing, you want to answer it from your phone
... Press the CPU button your phone. (NOTE; Your phone must
be in the same programmed CPU group to function)
MUTE
To activate
You are on a call ... Press MUTE, the light will come on, the
other party CANNOT hear you ... you can hear them.
To deactivate Press the MUTE button, the light goes out, you and your caller
can hear each other.
You are NOT on a call ... Press the VOLUME button to adjust
how loudly the ringer sounds.
VOLUME 8500 SERIES
You are on a call ... Press the VOLUME button to hear the
callers voice louder or softer.
NOTE: Volume buttons for the 6200 used only for the duration of the call.
VOLUME 6200 SERIES
RECEIVE VOLUME can be adjusted AND preset in USER OPTIONS. Press
SETUP, USER, MORE, VOICE, VOLUME
CLOCK 8500 SERIES
To set
6200 Phones: Press SETUP ... Press the SOFT KEY under
USER ...Press the SOFT KEY under CLOCK ... Enter new digits
by pressing the KEY PAD. To make corrections press BKSP. To
exit Press DONE or SETUP.
6200 SERIES
PERSONALIZED RING
8500 SERIES
To set
8500 Phones: Press MENU ... Press the SOFT KEY under
OPTIONS ... Press the SOFT KEY under RING ... Press the
SOFT KEY under the Plus or Minus signs to make changes ...
Press the SOFT KEY for DONE to save.
6200 Phones: Press SETUP ... Press the SOFT KEY under
USER ... Press the SOFT KEY under RING. Use the KEY PAD
to choose from 8 different rings.
6200 SERIES
CALL-LOG
8500 Phones: Press MENU ... Press the SOFT KEY under
OPTIONS ... Press the SOFT KEY under CLOCK ... Press the
SOFT KEY under the Plus or Minus signs to make changes ...
Press the SOFT KEY under DONE to save the changes.
To view
Press MENU ... Press the SOFT KEY under CALL-LOG ... Press
8500 Phones:
SOFT KEY under NEW/OLD.
Indicator
You want to turn the CALL-LOG Indicator Off or On: Press
MENU ... Press the SOFT KEY under OPTIONS. Press NEXT 2
times ... Press the SOFT KEY under CALL-LOG ... Press the
SOFT KEY under INDICATOR ... Press the SOFT KEY under
NO for off ... Press YES for on ... Press the SOFT KEY under
DONE ... Press the EXIT button.
To view
Press the CALL key. Select LOG. Select the type of call you
want to view.
Shortcut
Select UNANS (appears in the display window if any calls went
unanswered)
RETURN CALL
To use
Press the RET button, you will hear a voice prompt and see the
display indicate information about the last number that called
your set, the display will show instructions for returning the call if
applicable.
REPEAT CALL
To use
You hear a busy signal ... Press the REP button, there will be an
audible indicator that your REPEAT call feature has been
activated. If the other phone is free within 30-minutes, there will
be an audible and visual indicator, lift the handset or Press the
speaker button to call the number. (This does not apply to busy
INTERCOMS) This item is Rarely on SBA phones
MANUAL EXCLUSION
To use
You are on a call ... Press the MANEX button for privacy. This
will mute conversation on all other appearances of the number
on other phone sets (If applicable)
6200 Phones
All features are not set-up to be used on all types of telephones. If you experience problems
when attempting to program a feature (i.e. speed call) on your phone, send an e-mail to;
Telephone.Services@sba.gov
SPEED CALLING (SC)
Menu Directory
8500 Phones:
Programming Press MENU ... Press the SOFT KEY under DIRECTORY ...
Press the SOFT KEY under ADD/DEL ... Press the SOFT KEY
under ADD, enter desired number (24-digits maximum) digits ...
Press the SOFT KEY under DONE, enter name (5-letters
maximum) ... Press the SOFT KEY under DONE ... Press EXIT
button
To use
Press DIR button ... Press the SOFT KEY under the name,
the telephone number will be automatically dialed (to see
more names ... Press the NEXT button). Directory holds a
maximum of 30 names. (144 for the 8520 phone) Names
alphabetized automatically upon entry. See your user manual
for details
SPEED CALLING (SC)
Menu Directory
Programming A max of 36 entries can be stored on up to 9 pages. Press
6200 Phones:
Key Pad Programming
Memory Button
8500 Phones
SETUP, Press USER, Press DIR. Press page 1 thru 9 softkey or
press MORE to select a page. Press the softkey below a blank
entry and use the dial pad to add a new name (5 char max) and
number (24 digits max).
To use
Press CALL button ...select DIR...select the page where the
number is stored (by pressing MORE or use the keypad 1 thru 9)
. When the desired number displays, press the softkey below the
number.
1-digit
Press the SPEAKER button or lift the HANDSET ... dial code
*74, hear the dial-tone, dial the speed code (2 through 7), dial the
phone number in the usual manner (24-digits maximum) ... Press
the [#] ... Listen for the confirmation tone.
2-digit
Press the SPEAKER button or lift the HANDSET ... dial code *75
... hear dial-tone ... dial the speed code (20 through 49) ... dial
the phone number in the usual manner ... Press the [#] ... Listen
for the confirmation tone.
To use
Press the SPEAKER button or lift the HANDSET ... dial the 1digit speed code or the 2-digit speed code ... Press the [#] key
... the number will ring.
Programming Dial the programming for 1 or 2 digit access (*74 or *75) ... Press
the appropriate SC button ... dial the phone number in the usual
manner (24-digits maximum) ... Press the [#] ... Listen for the
confirmation tone.
To use
Memory Button
6200 Phones
Press the SC button, speaker will activate automatically, number
will speed dial, lift handset if desired.
Programming Press SET-UP, Press USER, Press SPDIAL. Keys will light to
show current status: Green=available RED=already programmed
(Additional
as SPDial and OFF=setup for CA, FA or DSS. (Only use Green
programming or RED keys) Use keypad to enter digits (24 max).
required by the
TIB)
To use
Message light Indicator
Press the SC button, speaker will activate automatically, number
will speed dial, lift handset if desired.
What to do when the "Message Indicator Light" is not
All Phones
working properly
By default, when a call is not answered on the PDN (Primary Directory Number) within the predetermined
amount of rings, it is forwarded to the SBA Voice-Mail System . If the caller chooses to leave a message,
the red message light indicator will come on at the ISDN set and stay on until the owner of the set
retrieves messages.
When Message Indicator Light does not come on:
If unheard messages are in the system but no Message Indicator Light appears, try one of the
following:
- Dial into the V-mail System
- After entering your password, press 4 - the system voice says "Personal Options"
- Press 1 the system voice says "Notification on"
- Hang-up
The next sent V-mail message should send a light. If this doesn't work, please send an email to
itsc@sba.gov
Message Indicator Light does not go out:
By default, the Message Indicator Light goes out when the process of retrieving messages begins. All
UNHEARD messages of all line appearances on your phone must be played or the Message Indicator
Light will appear again.
If there are no unheard messages in the system, and the Message Indicator Light stays on, please send
an email to itsc@sba.gov
LCD DISPLAY
Your DISPLAY will be a very useful tool! It will be your guide to finding out about the active call
on your set.
Below are just a few of the visual display items appearing in the upper right corner of
the LCD that will give you needed information.
IcM = This is an incoming
INTERCOM call
InI = This is an INSIDE incoming
CFN = Call Forward Answer
call
InX = This is an incoming call
CFB = Call Forward Busy
from OUTSIDE
CFA = Call Forward All
Parties XXX = You are not
alone on the line
LaR = This is your automatic
callback call
Speed Calling Lists
Setting Up Your Speed Call List is as easy as
1-2-3:
1.
Create a list of names and numbers
including your most frequent calls
2.
Use the form below to record/maintain your
frequently called numbers
3.
Follow the easy instructions on the ISDN
ref. Guide to program your Speed Call List
Here's a handy form to record your 1 DIGIT SPEED CALL LIST
2#
3#
4#
5#
6#
7#
Here's a handy form to record your 2 DIGIT SPEED CALL LIST
20#
21#
22#
23#
24#
25#
26#
27#
28#
29#
30#
31#
32#
33#
34#
35#
36#
37#
38#
39#
40#
41#
42#
43#
44#
45#
46#
47#
48#
49#
COMMUNICATIONS
SERVICES
BRANCH
Staff:
Allen Valandra
Vincent Johnson
Eric Bizzell
Contractor:
Telephone Support
Nick Haight
Charles Chisley
PDA Support
Kathleen Castiglione
Nick Haight
MAIL ADDRESS:
OCIO/CSB
409 3RD STREET, SW
WASHINGTON, DC 20024-3212
E-mail: ITSC@SBA.GOV
SBA INTERNAL MAIL CODE: 5463
5460
QUICK REFERENCE LIST
EMPLOYEE LOCATOR .............205-6600
PAGER, CELLULAR, BLACKBERRY
PROBLEMS & ASSISTANCE (855)620-4780
HEADQUARTERS VOICEMAIL SYSTEM
ACCESS NUMBERS:
……………………………… (202) 401-1702
……………………………….(800) 989-9349
FEDERAL RELAY SERVICE (FRS)
For Hearing Impaired Callers
Dial 1-800-877-8339 to reach a Communications
Assistant (CA). The CA will dial the requested
number and relay the conversation between a
standard (voice) telephone user and text telephone
(TTY/TDD) hearing impaired user.
TELEPHONE:
TROUBLES/REPAIRS…….(855)620-4780
ASSISTANCE/HEL… ........... (855)620-4780
MOVES / CHANGE… .......... (855)620-4780
E-MAIL ADDRESS: ITSC@SBA.GOV
OFFICE OF
THE CHIEF INFORMATION
OFFICER
COMMUNICATIONS
SERVICES
BRANCH
U.S. Small Business
Administration
HELP DESK ........................ (855)620-4780
SBA ANSWER DESK................ (800) 827-5722
(202) 205-6655
TELEPHONE SERVICE All Headquarters
requests for telephone service and acquisition
including repairs, office relocations and new
service, are handled through the ITSC@SBA.GOV
& Communications Services Branch (CSB).
Types of telephone services provided: new
telephone numbers and features; new telephone
equipment and upgrades; cellular telephones; PDA
(IOS & Blackberrys); teleconference accounts;
telephone calling cards.
SERVICES: Send all requests via E-mail to:
ITSC@SBA.GOV or call (855)620-4780.
TROUBLES: Report all telephone equipment and
service related troubles to ITSC (855)620- 4780.
Be prepared to provide a brief description of the
trouble, your name, location, and a telephone
number where you can be reached.
TELECONFERENCE SERVICE
SBA has contracted out the Agency’s
Teleconferencing Service with AT&T Connect.
The service can typically accommodate up to 125
participants and many more participants for special
requests.
You must request a teleconference account from
CSB by email.
Send your request to
ITSC@SBA.GOV.
VIRTUAL PRIVATE NETWORK (VPN) VPN
Accounts also known as Remote Access Accounts
enable SBA users to access the SBA Data network,
email, and individual desktop. VPN accounts are
pivotal for those individuals in the “Work from
Home” program or individuals working from
alternate work locations. All authorizations must be
routed through the Director, Office of
Communications Technology Services (OCTS).
AUTOMATED
EMPLOYEE LOCATOR
SERVICE: The automated employee locator
service is available 24 hours a day, 7 days a week.
The Locator can be reached on 205-6600, option 4
TELEPHONE CALLING CARDS Telephone
calling cards are available to authorized personnel.
All authorizations must be routed through the
ITSC@SBA.GOV. The vendor requires a 30-day
turnaround on calling card requests.
The ITSC@SBA.GOV must be notified by email
to update your information in the Outlook global
address book.
CELLULARS Cellular telephones are available to
authorized personnel. All authorizations must be
routed through the Office of the Chief Information
Officer (OCIO).
INDIVIDUAL FAX LISTING CSB assigns
SBA personnel an individual fax number which is
tied to their user email account. This fax number
allows SBA employees to send and receive faxes
from their email box.
Individuals will retain this same fax number as long
as they are with the Agency.
PDAs – BLACKBERRYS & IOS are available to
Management Board Members and authorized
personnel. All authorizations must be routed
through the Office of the Chief Information Officer
(OCIO), via ITSC@SBA.GOV.
TRAINING Telecommunications training &
assistance is available on any product or services
provided by OCIO.
One on One training (as required)
Program office group training (as required)
Brown Bag – Lunch-n-Learn
Send your request to ITSC@SBA.GOV.
COMMUNICATIONS SERVICE
EVALUATION
This is a customized service provided by the Office
of the Chief Information Officer, Office of
Communications and Technology Services. The
evaluation is designed to provide the program
office with a detailed study of its existing
telecommunications arrangement and can be used
as a tool to aid in the enhancement of any additional
telecommunications requirements.
A verbal and written report will be provided to
support the findings.
Send your request to ITSC@SBA.GOV
SEE PAGE 2 FOR VOICE MAIL DIAGRAM
401-1702 ACCESSES VOICE MAIL FROM YOUR DESK.
(202) 401-1702 ACCESSES VOICE MAIL FROM OUTSIDE THE AGENCY.
THE VOICE MAIL TOLL FREE REMOTE ACCESS NUMBER IS 800 982-9349.
WHEN YOU CALL VOICE MAIL (401-1702) FROM YOUR DESK TELEPHONE, THE SYSTEM WILL PROMPT YOU FOR YOUR
INITIAL PASSCODE. YOUR INITIAL PASSCODE WAS PROVIDED IN THE ATTACHED EMAIL .
WHEN THE SYSTEM PROMTS YOU TO CHANGE YOUR PASSCODE :
YOUR NEW PASSWORD MUST BE A MINIMUM OF 6 DIGITS, MAXIMUM OF 15.
DO NOT LEAD WITH ZEROES AND
NO SEQUENTIAL NUMBERING.
ISDN INSTRUMENT (DESK TELEPHONE)
TO CONNECT YOUR ISDN TELEPHONE LINE TO THE VOICE MAIL SYSTEM YOU MUST DO THE FOLLOWING:
PROGRAM YOUR TELEPHONE LINE FOR CALL FORWARD BUSY (CFB):
LIFT HANDSET FOR DIAL TONE, THEN PRESS :
ACTIVATE THE FEATURE BY PRESSING:
DE-ACTIVATE THE FEATURE BY:
LIFT HANDSET FOR DIAL TONE, THEN PRESS:
*763 + 401-1702, WAIT FOR FAST BUSY TONE,
*762 THEN HANG UP THE PHONE
*772
PROGRAM YOUR TELEPHONE LINE FOR CALL FORWARD NO ANSWER (CFNA)
LIFT HANDSET FOR DIAL TONE, THEN PRESS:
*765 + 401-1702, WAIT FOR FAST BUSY TONE,
ACTIVATE THE FEATURE BY PRESSING:
*764 THEN HANG UP THE PHONE
DE-ACTIVATE THE FEATURE BY:
LIFT HANDSET FOR DIAL TONE, THEN PRESS:
*774
PROGRAM YOUR TELEPHONE LINE FOR CALL FORWARD VARIABLE (CFV)
LIFT HANDSET FOR DIAL TONE, THEN PRESS:
*723 + 401-1702, WAIT FOR DIAL TONE,
ACTIVATE THE FEATURE BY PRESSING:
*722 ++
DE-ACTIVATE THE FEATURE BY:
LIFT HANDSET FOR DIAL TONE, THEN PRESS:
*732
++ CFV IS A TELEPHONE LINE FEATURE TELLING THE SYSTEM TO SEND YOUR CALLS TO THE VOICE MAIL ON THE FIRST
RING. IT IS ONLY TO BE USED WHEN YOU ARE GOING TO BE AWAY FROM YOUR DESK FOR ANY LENGTH OF TIME .
YOU MUST DEACTIVATE THE CFV FEATURE (*732) WHEN YOU RETURN TO YOUR DESK.
NOTES:
1. YOUR ISDN INSTRUMENT GENERALLY HAS A BUTTON PREPROGRAMMED TO TURN CFV ON AND OFF. THE
BUTTON IS LABLED CFV.
2. OTHER PREPROGRAMMED BUTTONS INCLUDE BUT NOT LIMITED TO:
a. “CALL PICK-UP” - CPU
b. “INTERCOM” - IC-# OR ICOM-#
FOR VOICE MAIL ADMINISTRATOR AND ASSISTANCE: EMAIL: ITSC@SBA.GOV
ENTERING THE SYSTEM:
From your office phone:
From outside the SBA:
* Call the voicemail system - 401-1702
* Enter your password
* Call the voicemail system - 202-401-1702 or 800-982-9349
* Indicate you are a subscriber - Press #
* Enter your mailbox number (Your 7-digit office phone number)
* Enter your password
MAIN MENU
To send a copy ofa
message with an
introduction
• Record introduction
• When Finished • Send -
D
Review
Messages
To choose an alte rnate
fax destination:
When reviewing
voice messages,
use playback
controls
(see legend)
• Unprompted
option
•• unprompted
oplion if
you do not
have the/ax
feature
• Enter fax destination
number
#
#
• Wait for
confirmation
Primary destination
Alte rnate dest ination
I
2
3
• If corr ect - #
• If not correct , • , then
re-enter fax number
4
DI I I VI RY OPI IONS
Private
Urgent
Message
Confirmation
To send a voice message:
II
• Record message
or
Press # to spell
name
• When finished -
Send
Messages
Optional:
• Replay message
AMIS
Networking # - #
Sec Playback Controls in
legend
To use AMIS
ne twork i ng:
• Ent e r access phone
number
• Confirm
• Enter mailbox
number
• Confirm
• Send
on same system
Exit AMIS networking
I 0( A 11
Enter mailbox number
Messages sent
Locate
Messages
Specific
subscriber
Outside callers 2
Messages received
Press# to spell name
Pl RSON/\1 OPI IONS
Administrativcc
options
Personal
Options
Personal
I
Home (Mailbox 93) 2
Guest I (Mailbox 91) 3
Guest 2 (Mailbox 92) 4
Secretary
5
Passwords
Not ification on/off I
I /\X OPI IONS
Set up/change
primary fax
printing destination
Auto print on/o ff
Create
Edit
Delete
List names
Group lists
2
Prompt levels
Gree tings
Standard
Date and time
playbac k
Restart
Extended
Appl icat ion mail box
m
Away
from home
On the phone 2
Applications
I f( , ! ND
POWER KEYS
Notifi cat ion schedu le 4
These cootrols arc al way1
avail ab le:
MAIi BOX
I ORW/\RDIN C,
Mailbox forwarding
■
._
Exit
2
Rapid
5
Establ ish/c h an g e
forwardi n g
destina t ion
Cancel
forwarding
destination
Secu rity options
6
Help
Operator
Cancel/exit
Finishfskip
Note : Dependingon
the way your system is
:ret u,p :ro m e fe atu res
-
" ""'"Pause/
0
0-0
R- ind Restart f"orward
Position
Heard only
in Extended &
maynot he available
to you and you will not
Pl ,\ '1BA< K < O'- I ROI S
U, , 1Mu controls .,.,,,. , bs1ttti11S u, • u sas t1
$Q.o1r co,i1tol1 o ro,avai/t1tlb .,.Jti/, ruQ tditt g
Slower Envelo pe Fa:rte r
Sp« d
Normal L-Ouder
Rapid Prompts
-
L-,
========- !:=====:== --------------- J
pbltip!o r.n
osmpteIndfaodrdilto
hoin, e:r
your teleplwne sy:rtem
m ay not :r11pport :rom e
fe a1u re:r.
Volume
Cancel Help Skip
0
•
2
3
4
VOICEMAIL Quick Check
Review All Messages 1
Unheard Voice Messages 1 – 1
Enter Your Mailbox
Call system phone number; (202)401-1702 or (800)982-9349
Press #
Enter your mailbox number (7 digit)
Enter your password
Playback Controls;
Rewind
1
(1 – 1 to re-begin)
Slower 4
Pause/ Resume 2
Faster 6
Fast Forward 3 (3 – 3 to leap to end)
Louder 9
Envelope info 5
Normal 8
After Message Keys
Reply
8
Erase 7
Forward (to…) 6
Save 9
4
Main Menu *
Replay
Send Messages
To record 2
Enter Mailbox Number
End Recording #
Send
#
Power Keys
Cancel/Exit *
Finish/Skip #
Help
0
Change Personal Options
Notification on/off
1
Administrative Options 2
Greetings
3
Notification Schedule
Mailbox Forwarding
5
4
Hello;
Welcome to SBA! Your temporary password is the same as your phone xxxxxxx
Call 401-1702 from your phone and follow the tutorial, or follow the tree in the instructions. Remotevoicemail access via toll-free is available.
After you are set up, when you wish to enter personal options, enter password, then press 4, without
prompt, to enter the voice-prompted options menu.
Attached are instructions for Voicemail set up and ISDN user features, plus other references.
If you have any questions or technical needs, please call ITSC at (855)620-4780
Thanks,
f. Headquarters Floor Plan
1. SBA Headquarters Floor Plan
The building floor plan for the SBA Headquarters located at 409 3 rd St SW Washington, DC can be found at
the following link.
https://sba123.sharepoint.com/sites/COO/OAS/Pages/BuildingFloorPlan.aspx
2. COVID-19 Protocols
Due to the COVID19 Pandemic, the following protocols are in place to assure the safety of all Agency
employees, contractors and visitors that come to the Headquarters.
a. All personnel entering the building will go through a Health Screening check prior to being granted
access. The Health Screening reviews the following.
i. Assess If you are experiencing any symptoms associated with COVID19
ii. Assess if you’ve been in contact with anyone who has tested positive within the past 14
days
iii. A non-touch temperature assessment to determine if you are running a fever of 100.4 or
higher
iv. Identification of any one of the above conditions will result in a denial of access to the
building.
v. Individuals granted access will receive a daily color-coded sticker to wear. This changes
daily and if worn, re-screening on that day is not necessary.
b. Use and wearing of a mask or other nose/mouth covering is required when not in an office or
work-station and in any common areas such as elevators, conference rooms, restrooms, and
hallways as an example
c. Social distancing of at least 6 feet is expected at all times whenever possible.
d. Sanitation stations have been provided throughout the building. Here staff can find hand sanitizer,
disinfectant sprays and wipes.
e. Health screening is only occurring at specific sights where large number of staff and contractors
assemble.
f. Field offices are following similar protocols and additional information can be found in the Agency
Reconstitution Plan located at:
https://sba123.sharepoint.com/Shared%20Documents/SBA-Reconstitution-Planning-FrameworkFinal_Signed_508.pdf#search=reconstitution%20plan
g. Transportation and Parking Information:
Transportation:
Federal employees committed to using mass transportation for their home to work to home commute
are eligible to receive the federal transit benefit. TRANServe supports SBA with simplified access to
transit authority information, electronic applications, how-to instructions and other resources that
encourage your use of mass transportation as your primary means of commuting from home to work.
SBA employees can access specific information and the application at the following website:
https://www.transportation.gov/transerve/participants/sba
Parking:
Parking at the SBA Headquarters is available under the building with an entrance at Virginia Avenue
SW. SBA does not pay for parking and these costs are borne by the user. The parking garage is
managed by Colonial Parking and passes can be obtained on a monthly or daily rate.
https://www.ecolonial.com/ Points of Contact for Colonial Parking include Louie Escobar, Operations
Manager (703.439.7051) and Asegidew Negede, Senior Operations Manager (202.295.8128).
The Agency does have 3 designated reserved parking spots for official GSA vehicles used by the
Administrator’s Office.
Local Parking Lots
Locations
SBA
Prices (subject to change)
Parking
Per Hour
Daily
Early
Monthly
Reserved
Phone Number
$11
$21
N/A
$245
$390
202-554-0795
Colonial Parking
500 E Street SW
$11
$21
$13 (9am)
$285
$570
202-298-7442
MarcParc 501
School St SW
$11
$17
N/A
$280
$560
202-464-2900
Standard Parking
250 E Street SW
N/A
$15
N/A
$240
$400
202-496-4200
Standard Parking
355 E Street SW
$10
$20
$14
(9:30am)
$255
$510
202-554-0104
Standard Parking
375 E Street SW
$10
$20
$15 (9am)
$255
$510
202-554-4008
Standard Parking
395 E Street SW
$11
$21
$15 (9am)
$268
$510
202-554-0902
Colonial Parking
409 3rd St SW
h. Building Evacuation Plan
Occupant Emergency Plan
Washington Office Center
409 3rd Street, SW
Washington, D.C. 20416
Washington Office Center
Secure Facilities, Safe Occupants
Table of Contents
Responsible Officials’ Sign-Off Sheet
Preface
Part 1:
Part 2:
PREPARE for an Emergency Situation
1.0
Command Structure and Posts
2.0
Facility Characteristics
3.0
Protection Systems and Security
4.0
Occupant Information
RESPOND to an Emergency Situation
1.0
OEP Activation
2.0
Emergency Telephone Numbers and Contacts
3.0
Occupant Emergency Actions
4.0
Part 3:
3.1
Partial Evacuation
3.2
Complete Evacuation
3.3
Shelter-in-place
3.4
Areas of Assembly, Refuge, and Shelter
3.5
Specific Emergency Situations
3.6
Active Shooter
OEO Emergency Actions
4.1
Complete Evacuation
4.2
Partial Evacuation
4.3
Shelter-in-place
4.4
Active Shooter
RECOVER from an Emergency Situation
1.0
OEP
Facility Recovery Plans
i
Washington Office Center
Secure Facilities, Safe Occupants
Preface
The best way to protect against the potentially harmful effects of both manmade incidents
and natural disasters is to ensure that all building occupants know how to respond in an
emergency. This level of protection involves pre-planning, training, and rehearsal.
Pre-planning includes establishing the Occupant Emergency Organization (OEO) comprised
of employees designated to undertake certain responsibilities to ensure that personnel are
moved quickly to safety, that damage to property is minimized, and that proper authorities
are notified in the event of a localized emergency, as outlined in this Occupant Emergency
Plan (OEP).1 Training is conducted to ensure that all tenants understand the contents of the
OEP and their individual responsibilities. Rehearsals, or drills, provide an opportunity to
practice emergency procedures to ensure efficient response in the event of a real
emergency.
Participation in OEP activities includes all tenants regardless of employment status (e.g.,
managers, supervisors, OEP team members, volunteers, contracting officers, and hosts of
visitors). Each individual must assume responsibility for his or her own planning and safety
in an emergency, as well as for working effectively with emergency planning officials.
Scope
This OEP applies to all employees, support contractors, and visitors occupying the
Washington Office Center and assumes a localized emergency in which the facility is
impacted in part or in whole.
The facility is a high-rise multi-tenant commercial building located at 409 3 rd Street, SW,
Washington, DC.
Effective Date
The effective date of this OEP is October 7, 2016. This document supersedes all previously
recognized OEPs for the Washington Office Center. This OEP will be reviewed annually and
updated on an as needed basis.
Federal Management Regulations (FMR), Subpart 102-74.230A requires Federal agencies that occupy
Federal property to develop Occupant Emergency Plans with technical assistance provided by GSA for
establishing and maintaining them.
1
OEP
ii
Washington Office Center
Part 1:
OEP
Secure Facilities, Safe Occupants
PREPARE for an Emergency Situation
1.0
Incident Command Structure and Posts
2.0
Facility Characteristics
3.0
Protection Systems and Security
4.0
Occupant Information
3
Washington Office Center
Secure Facilities, Safe Occupants
1.0 Incident Command Structure and Posts
The Occupant Emergency Organization (OEO) structure is consistent with the incident
command system and National Incident Management System (NIMS). OEO positions and
responsibilities include:
Position
Responsibilities
Designated Official
The Designated Official (as defined in § 101–20.003(g)) is responsible
for developing, implementing, and maintaining the Occupant Emergency
Plan (as defined in § 101–20.003(w)).
Incident Commander
The Incident Commander is the person responsible for all aspects of
an emergency response; including quickly developing incident
objectives, managing all incident operations, application of resources as
well as responsibility for all persons involved. This person is usually the
senior person in the Command Center and is relieved of Incident
Command duties upon arrival of first responders.
Command Team
Members of the Command Team reporting to the Command Center
during OEP activations.
- Safety Officer
Will ensure necessary safety reporting is accomplished in accordance
with appropriate régulations.
- Medical Advisor
Acts as coordinator between responding Emergency Médical Services
(EMS) and the facility.
- OEP Coordinator
Advises the Command Team on necessary actions.
- Facility
Representative
OEP
Advises the Command Team on building condition and status of repairs.
4
Washington Office Center
Secure Facilities, Safe Occupants
OEO personnel are provided with the following visual identifiers to be used during activation
of the OEP:
–
–
–
–
OEP
Reflective vests
Radios
Clipboards
Bull Horns
5
Washington Office Center
Secure Facilities, Safe Occupants
PRIMARY Incident Command Post
Name of Location
Visitor’s Center
Floor/Room
Main Lobby
Address
Telephone
205-6770/6771
ALTERNATE Incident Command Post
Name of Location
Corner of Virginia Ave and 3rd Street SW.
Floor/Room
Address
Virginia Ave and 3rd St SW
Telephone
Information that is maintained in the Incident Command Post includes:
Information Maintained in Incident Command Posts
Media Type
Key Phone Numbers
Hard copy in
Emergency Binder
MOU for NASA
In Emergency
Binder
OEP
In Emergency
Binder
OEP
6
Washington Office Center
Secure Facilities, Safe Occupants
2.0 Facility Characteristics
Characteristic
Description
Multi-level high-rise, 8 stories with
a rooftop mechanical room and
concourse located below the first
floor. The facility is occupied by
several government and private
agencies and organizations. The
SBA is the primary building
occupant for OEP purposes.
Facility contains six elevators in the main lobby and one
freight elevator in the loading dock area. There is a fourlevel public parking deck under the building. There are
four emergency exit stairwells in the building
3.0 Protection Systems and Security
System or Security
Description
Fire Alarm/Alert System
Alarm system throughout the facility designed to sound on the
floor where the fire is located and the floors immediately above
and below. Strobe lights are also positioned throughout the
building to notify hearing-impaired individuals of a fire
emergency.
Security Alarm
Provided by Kastle and consists of unauthorized entry and door
ajar alarms.
Guard Service
Provides screening, responses to incidents, and assists with
evacuation and crowd control.
Fire Suppression System
Automatic throughout the building.
OEP
7
Washington Office Center
Secure Facilities, Safe Occupants
4.0 Occupant Information
Primary Occupant
Number of Occupants
Federal
Small Business Administration
Other
Total
775
Floor
Occupant
Occupancy
Phone
Space Type
Type
2
Housing and Urban
Development (HUD)
GOV
202-402-9589
Offices
2
Washington
Metropolitan District
Office (SBA)
GOV
202-205-0536
Offices
3
General Service
Administration (OIG)
GOV
Offices
3
Federal Aviation
Administration
GOV
Offices
4
Health and Human
Services
GOV
Offices
C-2, and
floors 4 thru
8
Small Business
Administration
GOV
C
Museum of the Bible
Private
Offices
3
Lincoln Property
Private
Offices
C
Clark Construction
Private
Offices
OEP
202-205-6770
Offices, storage,
mailroom
8
Washington Office Center
Part 2:
!
OEP
Secure Facilities, Safe Occupants
RESPOND to an Emergency Situation
1.0
OEP Activation
2.0
Emergency Telephone Numbers and Contacts
3.0
Occupant Emergency Actions
4.0
OEO Emergency Actions
9
Washington Office Center
Secure Facilities, Safe Occupants
1.0 OEP Activation
The Occupant Emergency Plan is activated automatically upon notification of an emergency or fire
alarm in the building. The security guards will immediately notify the individuals listed below. For
other events, the following individuals are authorized to activate the OEP:
Timeframe
Normal Duty Hours
Individuals Authorized to Activate the OEP
Name
Number
Matthew Varilek
202-205-6340
Joseph Loddo
202-205-6340
Kenneth Etheridge
202-205-7028
Matthew Varilek
720-331-2367
Joseph Loddo
202- 379-6850
Kenneth Etheridge
202-281-0383
After Normal Duty Hours
The following situations involving immediate danger to occupants or the facility and require
immediate activation of the OEP:
Emergency Situation
Inside the Facility
Outside the Facility
Fire/Fire Alarm/Explosion
Yes
Yes
Accident Involving Hazardous Materials
(places personnel at risk)
Yes
Yes
By order of first responder (Federal
Protective Services (FPS), Metropolitan
Police Department (MPD), DC Fire
Department (DCFD)
Yes
Yes
In other cases, determine if OEP activation is prudent based on:
The best available information combined with their experience with similar situations
Advice solicited from OEO team members and Federal, State, and local law enforcement
agencies.
OEP
10
Washington Office Center
Secure Facilities, Safe Occupants
2.0 Emergency Telephone Numbers and Contacts
Refer to the following pages for emergency telephone numbers and contact information:
Emergency Telephone Numbers
Facility Points of Contact
Incident Command Points of Contact
[OEO Position] Points of Contact
EMERGENCY TELEPHONE NUMBERS
Service
Provider
Primary Number
After Hours
Police/Bomb
Federal Protective Service
202-708-1111
Same
Fire/Ambulance
DC Fire
9-911
Same
In-House Guard
Desk
American Security Program
202-205-6770
202-205-7631
Physical Security
SBA
202-401-SAFE
(7233)
Health Unit/Nurse
SBA
202-205-7498
N/A
Metro Police
Metro Police
202-962-2121
Same
Property Manager
Calvin Warren
202-646-0325
Building Engineer
Michael White
202-646-6136
GSA Building
Manager
Jeffrey Johnson
202-208-2885
OEP
202-733-8650
202-345-5521
202-631-2047
11
Washington Office Center
Secure Facilities, Safe Occupants
FACILITY/OEO POINTS OF CONTACT
These personnel form the Command Team and report to the Command Center
upon OEP activation.
Position
Designated Official
Occupant
Emergency
Coordinator
Medical
Primary
Alternate
Name
Matthew Varilek
Name
Joseph Loddo
Phone
202-205-6340
Phone
202-205-6340
Mobile
720-331-2367
Mobile
202- 379-6850
Name
Kenneth Etheridge
Name
Floy Rodriquez
Phone
202-205-7028
Phone
202-205-6935
Mobile
202-281-0383
Mobile
202-596-4173
Name
On-Duty Nurse
Name
Phone
202-205-7498
Phone
Mobile
Facility
Manager/Damage
Assessment
Mobile
Name
Calvin Warren
Name
Mike White
After Hours
Phone
202-646-0325
Phone
202-646-6136
703-769-1250
Mobile
202-809-8765
703-769-1250
Mobile
Building Security
Guard Desk
Name
Front Desk
Name
Lt. Thomas
Phone
202-646-6770
Phone
202-205-7631
Mobile
FPS Inspector
OEP
Mobile
Name
Jamel Colter
Name
Phone
202-245-2656
Phone
Mobile
202-579-5511
Mobile
Dewitt Parker
202-345-8995
12
Washington Office Center
Secure Facilities, Safe Occupants
OEO FLOOR LEADS
The following table shows the Floor Team Leads for each floor. These individuals
lead the evacuation, shelter in place, and other emergency procedures on their
respective floors. Each lead is equipped with a two-way radio to communicate with
the Command Center, and each is identified by the safety vests he/she wears. Floor
Leads are responsible for the Occupant Emergency Plan program on their
respective floor. They solicit and assign other floor team volunteers such as
disability monitors, stairwell monitors, and assistant floor leads as well as arrange
for training of their floor teams.
Position
Concourse
Ground
Floor
2nd Floor
3rd Floor
4th Floor
5th Floor
6th Floor
7th Floor
8th Floor
OEP
Primary
Other Lead or Alternate
Name
Andrea Levenberry (SBA)
Name
Phone
202-205-7040
Phone
Name
Shawn McGarrell
Name
Christine Osborne
Phone
202-733-8650
Phone
202-596-4172
Name
Denise Gray
Name
James Parker (SBA)
Phone
202-205-7256
Phone
202-205-3644
Name
Lincoln Property
Name
Phone
202-646-0325
Phone
Name
Hope Fenstermacher
Name
Vincent Johnson
Phone
202-205-6800
Phone
202-205-6235
Name
Jeff Brindle
Name
Mark Hines
Phone
202-205-7490
Phone
202-205-6648
Name
John Kushman
Name
Sandra Wells
Phone
202-205-6103
Phone
202-205-6693
Name
Emmett Clark
Name
Luciette Wren
Phone
202-205-7014
Phone
202-205-774961
Name
Dionna Martin
Name
Jeanne Crepeau
Phone
202-205-7042
Phone
202-205-6425
13
Washington Office Center
Secure Facilities, Safe Occupants
3.0 Occupant Emergency Actions
Immediate occupant actions involve the following:
Recognize
Situations that could lead to, or become, an emergency
Actual emergency situations.
React to ensure safety of themselves and other occupants in the immediate area.
Report to proper authorities from a safe location.
Depending on the nature of the emergency and whether it is internal or external to the facility, the
OEO may direct occupants to remain at their work locations or decide to initiate:
PARTIAL EVACUATION
Evacuate the affected area
Relocate to another floor (if in a high-rise facility).
COMPLETE EVACUATION
Evacuate the facility and proceed to designated assembly areas
Relocate to another facility
Dismissal of the facility for the day (due to facility or government closure).
SHELTER-IN-PLACE
Proceed to Shelter-in-Place designated areas
Occupant actions for evacuation and shelter-in-place are in the following sections:
OEP
14
Washington Office Center
Secure Facilities, Safe Occupants
3.1 PARTIAL EVACUATION
This is a high-rise facility. The most likely evacuation method will be a
partial evacuation. This includes the floor affected by the emergency and
the floors directly above and below it. Other floors may be included as
determined by emergency response officials. Persons with disabilities (or
anyone unable to utilize stairways) will report to the nearest safe Refuge
Area and remain there until rescued or instructed otherwise by an
emergency official. Directors are responsible for determining their assembly
area location(s) (may be on a non-affected floor or outside of the facility) and
informing their employees of the location(s). Assembly locations for a
partial evacuation should be on a non-affected floor within the facility - as in
the case of a fire alarm. Outside locations are used during full-building
evacuations or orders from emergency officials. Directors will also ensure
that all assigned personnel report to their designated assembly areas during
evacuations.
OCCUPANT EMERGENCY ACTIONS
All OEO members should wear vests and if equipped, tune radios to proper
channel. (1)
ALL PERSONNEL
Evacuate via the closest safe stairway. Report to your designated assembly area.
Floor Leads
Disability Monitors
Persons with
Disabilities
Ensure the evacuation is initiated.
Remain on the floor until the last
employee evacuates. Ensure
persons with disabilities are
assembled at the refuge area.
Report to the Command Center
that your floor is clear and there
are persons with disabilities in the
refuge area.
Assist the person to the Refuge
Area and wait with them until
rescue is performed, you are
instructed to move them to another
location, or the all clear is given to
return to work.
Report to the nearest safe Refuge
Area (Main Elevator Bank) and
remain there unless: it becomes
unsafe, you are rescued, or you
are given the all clear to return to
work. Do not return to your floor
if you are on a different floor
when the alarm sounds.
OEP
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Washington Office Center
Secure Facilities, Safe Occupants
3.2 COMPLETE EVACUATION
Although highly unlikely, a complete building evacuation requires all
occupants to proceed to the nearest safe stairway, evacuate, and report to
your designated assembly area. Persons with disabilities will report to the
nearest safe Refuge Area and remain there until rescued or instructed
otherwise by an emergency official. Directors are responsible for
determining their assembly area location and informing their employees of
its whereabouts. Directors will also ensure that all assigned personnel
report to their designated assembly areas during evacuations.
OCCUPANT EMERGENCY ACTIONS
All Floors
Evacuate via the closest safe stairway. Report to your designated assembly area outside
of the building. All OEO members should wear vests, and if equipped, tune radios to
proper channel.
Floor Leads
Disability Monitors
Persons with Disabilities
Ensure the evacuation is initiated.
Remain on the floor until the last
employee evacuates. Ensure
persons with disabilities are
assembled at the refuge area.
Report to the Command Center
that your floor is clear and there
are or are not persons with
disabilities in the refuge area.
Assist the person to the Refuge
Area and wait with them until
rescue is performed, you are
instructed to move them to another
location, or the all clear is given to
return to work.
Report to the nearest safe Refuge
Area (Main Elevator Bank) and
remain there unless: it becomes
unsafe, you are rescued, or you
are given the all clear to return to
work. Do not return to your floor
if you are on a different floor
when the alarm sounds.
OEP
16
Washington Office Center
Secure Facilities, Safe Occupants
3.3 SHELTER-IN-PLACE (SIP)
A Shelter-In-Place event is an occurrence where an outside event is taking place
or has taken place that renders going outside dangerous. Events may include
hazardous materials spills, severe weather, unruly crowd, etc. A SIP event may
require complete isolation from the outdoors or simply taking shelter in the interior
of the building. A full SIP event may last for several hours and personnel should be
prepared accordingly with necessary personal items such as hygiene needs,
water, and medication.
Note: Persons wishing to evacuate instead of SIP must be allowed to do so.
However, once in a full lockdown (Posture II), no one will be allowed to leave
unless the All-Clear is given.
OCCUPANT EMERGENCY ACTIONS
All Floors
Posture 1 SIP
All personnel: Report to their work areas, stations, or offices and remain there until further notice. If a
severe weather event or unruly crowd, stay away from windows
Floor Leads: Upon notification of SIP – gather your floor team members and immediately spread the word by
any means available for all personnel to SIP. Maintain radio contact with Command Center and other floor
team members.
Command Team: Report to the Command Center for additional information. Maintain radio contact with
OEO Members.
Posture II SIP
All Personnel: Report to designated SIP location immediately. Once inside, lock all doors. Personnel may
be required to seal windows and doors with any available materials. HVAC system may be turned off.
Floor Leads: Upon notification of SIP – gather your floor team members and immediately spread the word by
any means available for all personnel to SIP. Maintain radio contact with Command Center and other floor
team members. Ensure persons with disabilities are transported to the SIP location.
Command Team: Report to SIP location with radio. Tune radio to proper channel for coordination with other
Command Team Members.
OEP
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Washington Office Center
Secure Facilities, Safe Occupants
3.4 OCCUPANT AREAS OF ASSEMBLY, REFUGE, AND
SHELTER
Directors are responsible for ensuring all personnel under their control are
aware of and report to the designated assembly area(s) or Shelter-In-Place
area during an evacuation or shelter in place event. All shelter in place
locations are clearly marked with yellow signs. They are also responsible
for ensuring all persons with disabilities under their control are aware of
Areas of Refuge and proper emergency actions during emergencies.
Floor
All
OEP
Assembly Area
As designated by the
Director of each section.
Area of Refuge
Main Elevator Bank
As marked
Shelter-in-Place
As marked with Shelter-InPlace signs.
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3.5 SPECIFIC EMERGENCY SITUATIONS
(All Personnel)
Medical Emergency
–
Call 911 or send someone to call 911
–
Stay with the person and assist if possible
–
Have someone obtain the Automated External Defibrillator(AED) from the elevator lobby if
needed
–
Have someone contact the guards to escort emergency responders to the scene
Fire Alarm
–
Evacuate via the nearest safe stairwell and report to your designated area
–
DO NOT PULL THE FIRE ALARM BOX UNLESS FIRE OR SMOKE IS PRESENT
–
Security will notify the Occupant Emergency Organization
–
Follow instructions of emergency personnel
–
DO NOT USE CELL PHONES DURING EVACUATIONS
–
Notify a supervisor if you notice anyone missing
–
Remain at your designated location until told otherwise or the ALL-CLEAR is given
Natural Disaster/Warning/No-Warning
–
Stay away from exterior doors and windows
–
Prepare to shelter-in-place (Posture 1)
–
Watch out for flying debris
–
Follow the instructions of emergency personnel
Power Outage
OEP
–
Remain at your work station unless told otherwise
–
DO NOT LIGHT CANDLES
–
Secure all sensitive items if possible
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Secure Facilities, Safe Occupants
Suspicious Package
A suspicious package is anything that appears out of the ordinary and may have
one or some of the following characteristics:
Handwritten or poorly typed addresses
Excessive Postage
Incorrect titles
Title, but no name
Misspellings of common words
Oily stains, discolorations or odor
No return address
Excessive weight
Lopsided or uneven envelope
Protruding wires or aluminum foil
Excessive security material such as masking tape, string, etc.
Visual distractions
Ticking sound
Marked with restrictive endorsements, such as “Personal” or “Confidential”
Shows a city or state in the postmark that does not match the return
address
SUSPICIOUS PACKAGE ACTIONS:
OEP
–
Do not move the package
–
Notify security immediately and keep all personnel away from the package
–
Security will check the package and if confirmed to be suspicious, will notify FPS and initiate an OEP
activation
–
Evacuation will be determined by the Command Team
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Secure Facilities, Safe Occupants
Elevator Entrapment
If you are trapped in an elevator:
–
–
–
Remain calm
Use the emergency communications system in the elevator and advise the operator that you are
stuck
Do not attempt to get out yourself
Chemical Spill
–
–
–
–
–
DO NOT ATTEMPT TO CLEAN UP HAZARDOUS MATERIALS
Notify security or call 911
Security will notify the Occupant Emergency Organization
If possible, initiate an evacuation of the immediate area
Follow the orders of emergency personnel
BOMB THREAT
Bomb threats are mainly used to disrupt workplace activities and very rarely are explosive devices found.
However, all threats will be taken seriously and each threat will be evaluated. If a bomb threat is received:
–
–
–
–
–
–
–
By phone, attempt to keep the caller on the line and have a co-worker call 911
Complete a bomb threat checklist
Have someone notify security immediately
Security will notify the Occupant Emergency Organization
If by letter, do not handle and notify security immediately
Notify your supervisor
Do not panic or tell others of the threat as this could cause panic that could hinder the
procedures.
CIVIL UNREST
–
–
–
–
OEP
Evacuate by the safest route. (May be directed by law enforcement)
Remain in the facility for an extended period of time. (Not a Shelter-In-Place, but just an order to
remain in the building until it is safe to leave.
Security will notify the Occupant Emergency Organization of the event taking place
The OEO will be activated and liaise with the first responder for updates
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3.6 ACTIVE SHOOTER
(All Personnel)
HOW TO RESPOND? (RUN, HIDE, or FIGHT)
When an active shooter is in your vicinity quickly determine the most reasonable
way to protect your own life. Customer and clients are likely to follow the lead of
directors, employees and managers during an active shooter situation.
Evacuate
• Have an escape route and plan in mind
• Leave your belongings behind
• Keep your hands visible
Hide Out
• Hide in an area out of the active shooter’s view.
• Block entry to your hiding place and lock the doors
Take Action
• As a last resort and only when your life is in imminent danger.
• Attempt to incapacitate the active shooter
• Act with physical aggression and throw items at the active shooter
Call 911 when it is SAFE to do so
HOW TO RESPOND WHEN LAW ENFORCEMENT ARRIVES ON THE SCENE
What to do when LAW ENFORCEMENT arrives.
• Remain calm and follow officers’ instructions
• Avoid pointing, screaming and/or yelling
• Immediately raise hands and spread fingers
• Do not stop to ask officers for help or direction when evacuating, just proceed in
the direction officers are entering the premises
• Keep hands visible at all times
• Avoid making quick movements toward officers such as attempting to hold on to
them for safety.
OEP
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Washington Office Center
Secure Facilities, Safe Occupants
Helpful Information to provide to LAW ENFORCEMENT or 911 Operator
• Location of the active shooter
• Number and type of weapons held
• Number of shooters, if more than one by the shooter/s
• Physical description of shooter/s
• Number of potential victims at the location
RECOGNIZING SIGNS OF POTENTIAL WORKPLACE VIOLENCE
An ACTIVE SHOOTER may be a CURRENT or FORMER employee. Alert your
HR Department if you believe an employee exhibits potentially violent
behavior. Indicators of potentially violent behavior may include one or more
of the following:
• Increased use of alcohol and/or illegal drugs
• Unexplained increase in absenteeism, and/or vague physical complaints
• Depression/Withdrawal
• Increased severe mood swings, and noticeably unstable or emotional responses
• Increasingly talks of problems at home
• Increase in unsolicited comments about violence, firearms, and other dangerous
weapons and violent crimes
OEP
23
Washington Office Center
Secure Facilities, Safe Occupants
4.0 OEO Emergency Actions
Depending on the nature of the emergency and whether it is internal or external to the
facility, the OEO must be prepared to coordinate actions to ensure the safety of occupants.
Unless a Shelter-In-Place event requires sealing of the facility, the OEO will report to the
Visitor’s Center and form the Command Team.
Because each emergency is different, the Command Team will form and make decisions
based upon the specific event following the guidelines listed in the following pages.
OEP
24
Washington Office Center
Secure Facilities, Safe Occupants
4.1 COMPLETE EVACUATION
All Floors
OEO POSITION
Command Team
Floor Leads
EMERGENCY ACTIONS
- Report to Command Center or alternate area
-
Activate your floor team
-
Turn radio to proper channel
-
Effect an orderly evacuation
- Ensure persons with disabilities are staged in the
area of refuge (Main Elevator Bank).
OEO Coordinator
Floor Team Coordinator
Security Guards
-
Turn radio to proper channel
-
Report to Command Center
-
Turn radio to proper channel
-
Ensure Floor leads are in position
-
Stop all persons entering the facility (except for
emergency responders, maintenance personnel, and
Command Team Members)
OEP
-
Supervisor to Command Center
-
Keep front of building clear of personnel
-
Rovers to conduct quick sweep of floors if safe to do so
-
Assist in evacuation if available
25
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Secure Facilities, Safe Occupants
4.2 PARTIAL EVACUATION
All Floors
OEO POSITION
EMERGENCY ACTIONS
Command Team
Floor Leads
Report to Command Center or alternate
-
Activate your floor team
-
Turn radio to proper channel
-
Effect evacuation only on floors with alarm sounding
-
Inform employees of non-affected floors to return to work
and await further instructions
-
Ensure persons with disabilities are staged in the
area of refuge (Main Elevator Bank)
OEO Coordinator
Floor Team Coordinator
Security Guards
-
Turn radio to proper channel
-
Report to Command Center
-
Turn radio to proper channel
-
Ensure Floor Leads are active
-
Stop all persons entering the facility (except for
emergency responders, maintenance personnel, and
Command Team Members)
OEP
-
Supervisor to Command Center
-
Keep front of building clear of personnel
-
Rovers to conduct quick sweep of floors if safe to do so
-
Assist in evacuation if available
26
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Secure Facilities, Safe Occupants
4.3 SHELTER-IN-PLACE
All Floors
OEO POSITION
EMERGENCY ACTIONS
Command Team
Floor Leads
OEO Coordinator
Floor Team Coordinator
Security Guards
Report to Command Center or alternate
-
Activate your floor team
-
Turn radio to proper channel
-
Turn radio to proper channel
-
Report to Command Center
-
Turn radio to proper channel
-
Ensure Floor Leads are active
-
Stop all persons entering the facility (except for
emergency responders, maintenance personnel, and
Command Team Members)
OEP
-
Supervisor to Command Center
-
Keep front of building clear of personnel
-
Rovers to conduct quick sweep of floors if safe to do so
-
Assist in SIP if needed
27
Washington Office Center
Secure Facilities, Safe Occupants
4.4 ACTIVE SHOOTER
All Floors
OEO POSITION
EMERGENCY ACTIONS
Command Team
- Evacuate or SIP
Floor Leads
- Evacuate or SIP
OEO Coordinator
- Evacuate or SIP
Floor Team Coordinator
- Evacuate or SIP
Security Guards
-
Stop all persons entering the facility (except for
emergency responders, maintenance personnel, and
Command Team Members)
OEP
-
Supervisor to Command Center
-
Keep front of building clear of personnel
-
Rovers to conduct quick sweep of floors if safe to do so
-
Assist in evacuation if available
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Washington Office Center
Part 3:
RECOVER from an Emergency Situation
1.0
OEP
Secure Facilities, Safe Occupants
Facility Recovery Plans
29
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Secure Facilities, Safe Occupants
1.0 Facility Recovery Plans
Refer to the following facility plans for additional details pertaining to recovery operations:
Type of Plan
Scope and Applicability
COOP (Continuity of
Operations Plan)
Applicable by agency according to specific needs.
OEP (Occupant Emergency
Plan)
Employees should prepare for the possibility that they may be
unable to return to the office/building depending on the
emergency. Information on creating a readiness plan can be
found at www.ready.gov
This OEP discusses facility recovery from localized emergency situations that include:
Localized
Emergency Situation
Inside the
Facility
Outside the Facility
Evacuations
N/A
Return to office or other area as determined by
Command Team.
Shelter-In-Place
Return to work
or follow
directions of
Command
team
N/A
Suspicious Package
Return to work
or as directed
by Command
Team.
Return to work or as directed by Command Team.
Active Shooter
SIP, RUN,
Hide, Fight
Return to work or as directed by Command Team
For a listing of current Shelter in Place locations or Safety Monitors, email http://s2k8-hqpspfe1/apps/ADMIN4U
OEP
30
i. Merit System Principles and Prohibited Personnel Practices
The Merit System Principles (MSPs) are nine basic standards that govern the management of the executive branch
workforce and serve as the founded on of the Federal civil service. The Prohibited Personnel Practices (PPPs) are
thirteen actions that are forbidden for employees who have the authority to make personnel decisions. Together,
the MSPs and PPPs establish how the Federal workforce should be managed.
What are the general themes of the MSPs and PPPs?
• Fairness – treating employees fairly in all aspects of their employment.
• Protection – refraining from misuse of authority and protecting employees from harm, such reprisal for the
exercise of a legally protected right.
• Stewardship – managing employees in the short-term and long-term public interest.
Who is responsible for upholding the MSPs and avoiding PPPs?
All Federal employees are responsible. However, some employees have special responsibility:
• Agency leaders, as decision-makers and role models for the values distilled in the MSPs and PPPs;
• Supervisors, managers, and executives, as the officials who make decisions directly affecting the hiring, working
conditions, utilization, and retention of Federal employees; and
• Human resources (HR) staff, as advisors on personnel authorities and how to exercise them.
What are the potential consequences of not supporting the MSPs?
MSPB research shows that actual or perceived failure to abide by the MSPs can lead to—
• Decreased individual and organizational performance;
• Increased Equal Employment Opportunity (EEO) complaints; and
• Increased intention to leave the agency.
When Federal laws are violated, agencies may be subject to investigation, litigation, and enforcement, which can
result in corrective action and payment of compensatory or punitive damages. Also, any employee responsible for
the violation of an MSP or the commission of a PPP may be subject to loss of authority, discipline or removal, and
fines.
Merit System Principles
1. Recruitment should be from qualified individuals from appropriate sources in an endeavor to
achieve a work force from all segments of society, and selection and advancement should be
determined solely on the basis of relative ability, knowledge and skills, after fair and open competition
which assures that all receive equal opportunity.
2. All employees and applicants for employment should receive fair and equitable treatment in all
aspects of personnel management without regard to political affiliation, race, color, religion, national
origin, sex, marital status, age, or handicapping condition, and with proper regard for their privacy and
constitutional rights.
3. Equal pay should be provided for work of equal value, with appropriate consideration of both
national and local rates paid by employers in the private sector, and appropriate incentives and
recognition should be provided for excellence in performance.
4. All employees should maintain high standards of integrity, conduct, and concern for the public
interest.
5. The Federal work force should be used efficiently and effectively.
6. Employees should be retained on the basis of adequacy of their performance, inadequate
performance should be corrected, and employees should be separated who cannot or will not improve
their performance to meet required standards.
7. Employees should be provided effective education and training in cases in which such education
and training would result in better organizational and individual performance.
8. Employees should be-A. protected against arbitrary action, personal favoritism, or coercion for partisan political
purposes, and
B. prohibited from using their official authority or influence for the purpose of interfering with
or affecting the result of an election or a nomination for election.
9. Employees should be protected against reprisal for the lawful disclosure of information which the
employees reasonably believe evidences-A. a violation of any law, rule, or regulation, or
B. mismanagement, a gross waste of funds, an abuse of authority, or a substantial and specific
danger to public health or safety.
Prohibited Personnel Practices
By law, Federal employees may not:
• Discriminate
• Solicit or consider employment recommendations based on factors other than personal knowledge or records
of job related abilities or characteristics
• Coerce the political activity of any person
• Deceive or willfully obstruct any person from competing for employment
• Influence any person to withdraw from job competition
• Give an unauthorized preference or advantage to improve or injure the prospects of any particular person for
employment
• Engage in nepotism
• Take or threaten to take a personnel action because of whistleblowing
• Take or threaten to take a personnel action because of the exercise of a lawful appeal, complaint, or grievance
right
• Discriminate based on personal conduct which does not adversely affect the performance of the employee or
other employees
• Knowingly take or fail to take personnel action in the violation of veteran's preference laws
• Violate any law, rule or regulation implementing or directly concerning merit system principles
• Implement or enforce a nondisclosure agreement or policy lacking notification of whistleblower rights
• Access the medical record of an employee or applicant, as part of, or in furtherance of any of the above-listed
prohibitions
Paycheck Protection Program (PPP)
Office of Capital Access
On March 27, 2020, President Donald J. Trump signed the Coronavirus Aid, Relief, and
Economic Security Act (the CARES Act) (Pub. L. 116-136) to provide emergency assistance and
health care response for individuals, families, and businesses affected by the coronavirus
pandemic. The Small Business Administration (SBA) received funding and authority through
the CARES Act to modify existing loan programs and establish a new loan program to assist
small businesses nationwide adversely impacted by the COVID-19 emergency. Section 1102 of
the CARES Act temporarily permits SBA to guarantee 100 percent of 7(a) loans under a new
program titled the “Paycheck Protection Program.” Section 1106 of the Act provides for
forgiveness of up to the full principal amount of qualifying loans guaranteed under the Paycheck
Protection Program.
The Paycheck Protection Program loan is a loan designed to provide a direct incentive for small
businesses to keep their workers on the payroll. SBA will forgive loans if all employee retention
criteria are met, and the funds are used for eligible expenses.
PPP loans are not made by SBA. PPP loans are made by lending institutions and then guaranteed
by SBA. Accordingly, borrowers apply to lenders and self-certify that they are eligible for PPP
loans. The self-certification includes a good faith certification that the borrower has economic
need requiring the loan and a certification that the borrower has applied the affiliation rules and
is a small business, among other certifications. The lender then reviews the borrower’s
application, and if all the paperwork is in order, approves the loan and submits it to SBA.
Borrowers apply through any existing SBA 7(a) lender or through any federally insured
depository institution, federally insured credit union, and Farm Credit System institution that is
participating, or otherwise approved PPP lender.
Generally, small businesses and non-profit originations (including 501c3, certain 501c12 and
certain 501c19 organizations) are eligible for a PPP loan if they have 500 or fewer employees
whose principal place of residence is in the United States, or are a business that operates in a
certain industry and meet the applicable SBA employee-based size standards for that industry.
These small business concerns as defined in section 3 of the Small Business Act (15 U.S.C. 632),
and subject to SBA's affiliation rules under 13 CFR 121.301(f) unless specifically waived in the
Act; or tax-exempt nonprofit organization must be in operation on February 15, 2020 and either
had employees for whom salaries were paid and payroll taxes or paid independent contractors.
Sole proprietorships and independent contractors or eligible self-employed individuals, are
eligible if there were in operation on February 15, 2020. Churches, religious organizations, and
faith-based organizations are eligible for funding under the Paycheck Protection Program (PPP).
Generally, PPP loans will be fully forgiven if the funds are used for payroll costs, interest on
mortgages, rent, and utilities (due to likely high subscription, at least 60% of the forgiven amount
must have been used for payroll). Key features of PPP include the following:
o PPP loans have an interest rate of 1%.
o
o
o
o
Loans issued prior to June 5, 2020 have a maturity of 2 years. Loans issued after June 5,
2020 have a maturity of 5 years.
Loan payments will be deferred for borrowers who apply for loan forgiveness until SBA
remits the borrower's loan forgiveness amount to the lender. If a borrower does not apply
for loan forgiveness, payments are deferred 10 months after the end of the covered period
for the borrower’s loan forgiveness (either 8 weeks or 24 weeks).
No collateral or personal guarantees are required.
Neither the government nor lenders will charge small businesses any fees.
Generally, PPP loan forgiveness is based on the employer maintaining or quickly rehiring
employees and maintaining salary levels. Forgiveness will be reduced if full-time headcount
declines, or if salaries and wages decrease.
The Office of Capital Access administers the PPP, which is the largest program in SBA’s
history. Working in consultation with the Department of the Treasury, SBA stood up and
implemented the PPP less than one week after the enactment of the CARES Act, and in the first
14 days of the program, SBA processed $343 billion, which is more than 14 years’ worth of
loans. At the peak of the program, SBA processed 12 months’ worth of loans in a single day. As
of August 8, 2020, more than 5.2 million small businesses, nonprofit organizations, independent
contractors, and sole proprietors had received more than $525 billion in PPP loans. Through
collaboration with Treasury, SBA issued program rules and guidance through 18 Interim Final
Rules (IFRs), 52 Frequently Asked Questions (FAQs), and numerous other participant forms,
detailed guidance, and materials, to date.
Delivery of the program and funding would not have been possible without the hard work of
nearly 5,500 existing and new lenders that participated in the PPP. Community banks, credit
unions, Community Development Financial Institutions (CDFI), Minority Depository Institutions
(MDI), farm credit lenders, financial technology firms, and traditional lenders all played a
critical role, working around the clock to process loan applications and disburse critical loan
funds to small businesses that allowed them to keep tens of millions of American workers
employed.
Since the beginning of the PPP, the agency, through the Office of Capital Access, has approved
over 3,600 new participating PPP lenders. Through the hard work of the staff managing the
lending system, the program office approved over 63,000 new users to the loan management
portal, E-Tran, resulting in over 3 million system actions, such as providing user access,
password resets, and account changes. The agency also reviewed and approved over 400 new
franchise systems to the agency’s franchise directory.
At the time of the program’s closing August 8, 2020, SBA had approved over 5.2 million small
business loans worth more than $525 billion, supporting an estimated 51 million jobs and more
than 80 percent of small business payroll in the United States.
Although PPP lending closed on August 8, the Office of Capital Access continues to devote
significant resources to carry out the PPP. OCA has issued public guidance and continues to
refine processes and requirements for loan forgiveness, loan reviews, guaranty purchases, and
related activities under Section 1106 of the CARES Act.
To date, SBA, in consultation with Treasury, has released 30 Frequently Asked Questions that
provide guidance about the Loan Forgiveness process. This guidance is in addition to the rules
regarding Loan Forgiveness and Loan Review Processes.
Pursuant to statute, PPP loans are eligible for full forgiveness if funds are used for eligible
payroll costs (minimum 60% of total funds must be used toward payroll), mortgage interest
payments, rent or lease payments, and utilities payments during the Covered Period, which is the
24 week period after the borrower received their loan.
To receive loan forgiveness, borrowers are responsible for submitting a Loan Forgiveness
Application (SBA Form 3508, SBA Form 3508EZ, SBA Form 3508S, or lender’s equivalent)
and required supporting documentation to their lender (or to the lender servicing the loan).
Lenders are then responsible for reviewing the documentation and issuing a decision on loan
forgiveness to SBA within 60 days of receiving the application.
Within 90 days of the lender issuing its decision to SBA, and subject to any SBA review of the
loan or the loan application, SBA will remit the appropriate forgiveness amount to the lender,
plus any interest accrued through the date of payment.
If applicable, SBA will deduct any Economic Injury Disaster Loan (EIDL) Advance amount
received by the borrower from the forgiveness amount remitted to the lender, as required by
section 1110(e)(6) of the CARES Act. The lender is responsible for notifying the borrower of the
forgiveness amount remitted by SBA, and if any balance remains on the loan, the loan deferral
ends and the borrower must begin making payments on the loan and repay the balance due on or
before the maturity of the loan.
If the borrower does not submit a Loan Forgiveness Application within 10 months after the last
day of the Covered Period, the loan deferral ends, and the borrower must begin making payments
on the loan. The borrower may submit a Loan Forgiveness Application any time on or before the
maturity date of the loan. The Loan Forgiveness Platform launched on August 10, and we have
already begun processing applications. Borrowers may appeal certain final SBA loan review
decisions to SBA’s Office of Hearings and Appeals.
As noted in guidance and rules issued by SBA, all PPP loans are subject to review at any time in
SBA’s discretion. Further, as the Administrator and the Secretary of the Treasury announced on
April 28, 2020, all loans $2 million and above will be reviewed to ensure that the borrower
properly, and in good faith, certified economic need for the PPP loan. The loans $2 million and
above also will be reviewed for compliance with general program requirements. In addition,
regardless of their value, SBA is reviewing loans when it receives reports that specific loans or
borrowers do not meet program requirements or otherwise may be ineligible.
SBA has established loan review procedures, whereby all loans will be screened through an
automated process. SBA will leverage the automated review tool to detect ineligibility within the
PPP loan portfolio. Issues of fraud, certification of need (for loans of $2 million or greater),
eligibility, and other SBA flagged loans will be reviewed via a combination of the automated
tool and subsequent manual reviews.
CARES Act Section 1112, Subsidy for Certain Loan Payments
Office of Capital Access
On March 27, 2020, the Coronavirus Aid, Relief and Economic Security Act (the CARES Act)
was enacted to provide emergency and immediate national economic relief and assistance across
the American economy, including to small businesses, workers, families, and the health-care
system, to alleviate the severe economic hardships and public health threat created by the 2019
Novel Coronavirus pandemic. Under section 1112 of the CARES Act, SBA is providing debt
relief to borrowers in the 7(a), 504, and Microloan Programs.
In April 2020, the SBA began paying six months of principal, interest, and any associated fees
for all 7(a), 504, and Microloans that were in a regular servicing status as of March 27, 2020, the
effective date of the CARES Act. SBA also began making these payments for six months for
new 7(a), 504, and Microloans that were fully disbursed on or before September 27, 2020. This
relief is not available for Paycheck Protection Program loans or Economic Injury Disaster loans.
Borrowers do not need to apply for this assistance. It is automatically provided as follows:
For loans not on deferment, SBA began making payments with the next payment due on
the loan and will make six monthly payments.
For loans currently on deferment, SBA will begin making payments with the next
payment due after the deferment period has ended and will make six monthly payments.
For loans made after March 27, 2020 and fully disbursed on or before September 27,
2020, SBA begins making payments with the first payment due on the loan and will make
six monthly payments.
Congress authorized $17 Billion for 1112 payments under the Coronavirus Aid, Relief, and
Economic Security Act (CARES Act), and these funds remain available until September 30,
2021.
As of September 30, 2020, SBA disbursed six monthly payments to lenders, April-September.
SBA will continue making 1112 payments at least through March 2021, or longer if any of the
new loans are granted deferments or if a previously ineligible loan becomes eligible after
September 2020.
Economic Injury Disaster Loan (EIDL) Program
Office of Disaster Assistance
In March 2020, the Coronavirus Preparedness and Response Supplemental Appropriations Act provided
the SBA with the authority to provide disaster assistance loans for small businesses and non-profit
organizations impacted by the COVID-19 pandemic. This historic authorization allowed the SBA to
declare a pandemic a natural disaster event for the first time in the Agency’s history, which provided
small businesses and non-profits with access to SBA disaster economic aid to combat related economic
disruptions. Once enacted, the Agency quickly began receiving and processing disaster loans under the
disaster declarations signed by the Administrator. Within one week, due to diligent work with governors,
the SBA approved 56 disaster declarations, which ensured that EIDL program funds were available to
businesses and non-profits throughout all states and territories.
SBA has now approved and distributed more than three times as many loan funds for COVID-19 than
for all other disasters combined in the history of the agency. As of October 19, 2020, during the response
to COVID-19, ODA has processed more than 15 million applications, and 3.6 million Economic Injury
Disaster Loan (EIDL) loans totaling $191.9 billion were approved in an average of 31 days. These
businesses approved for COVID-19 EIDL assistance employ nearly 20 million individuals and this aid has
a profound effect on the local and national economy. Additionally, SBA approved over 5.7 million EIDL
Advances for $20 billion; the program closed on July 11, 2020 after being fully obligated. During typical
year of normal disaster activity, SBA approves approximately $2 billion in disaster loan assistance. For
COVID-19, at the peak of loan activity, SBA approved nearly $2 billion daily in new EIDL assistance.
Received
Applications
15,688,579
Approved
Loans
3,612,236
COVID-19 Loans
October 19, 2020
Disbursed
Approved
Loans
Amount
3,605,741
$191,994,805,796
Disbursed
Amount
$191,767,764,899
Employees
Impacted
19,553,105
The agency was processing disaster loans in response to the COVID-19 pandemic prior to passage of
the CARES Act, which made changes to the COVID-19 EIDL program and created the emergency
EIDL advance grants. SBA modified the program to the new criteria and continued to process loans
until reaching the limit of our previous funding amount. The new legislation included further
eligibility changes expanding eligible businesses, such as agricultural enterprises. For example, since
SBA began accepting applications from agricultural businesses, SBA has approved over 117 thousand
agricultural applications resulting in over $6.71 billion in funding.
Since the onset of the COVID-19 pandemic, ODA has continued to respond to the customer service needs
of small businesses and nonprofit organizations negatively impacted. Ensuring consistent messaging for
disasters across the country is challenging. The SBA tailored key messages on disaster preparation to
different regions of the country. The SBA worked to ensure that every part of the country had information
prepared for various types of disasters to get small businesses and communities back to normal
operations. Following declared disaster events, the SBA uses its network of SBA field offices and
resource partners to help open new disaster business recovery centers (BRCs) and disaster loan outreach
centers (DLOCs) quickly and efficiently. Once COVID-19 prevented the opening of in-person centers,
the SBA swiftly transitioned to virtual support. Simultaneously, ODA’s Field Office Center East (FOCE) and West (FOC-W) conducted extensive COVID-19 outreach resulting in enhanced engagement with
SBA’s state and local partners, as well as SBA regional and district offices, and resource patterns.
1
Numbers as of Oct. 19, 2020
FOC Outreach Events
10/19/2020
Organization Type
State
2,714
County
478
City / Local
343
SBA Regional Office
631
SBA District Office
7,861
SBA Resource Partners
3,369
Chambers of Commerce / Service Organizations
7,793
Trade Associations
290
Community & Business Meetings
2,696
Other Stakeholders
1,250
Tribal Communities
425
Type of Event
Total Attendees for Webinars
35,062
Total Attendees for Conference Calls
27,338
Total Attendees for Other Virtual Public Meetings
51,060
Public interest in the Disaster Assistance Program is at an unprecedented level, which has resulted in a
need for additional support staff. Since March, disaster assistance staff has increased ten-fold to nearly
10,000 employees. These employees successfully adapted to support disaster survivors in a virtual
environment. For example, since March 2020, the SBA has responded to more than 14 million customer
service calls; more than 9.0 million calls were related to COVID-19. Additionally, the SBA has responded
to approximately 2.5 million emails pertaining to COVID-19.
ODA continues to adapt to meet the needs of COVID-19 impacted businesses, as well as disaster
survivors.
COVID Response for SBDC and WBC Programs
Following the passage of the Coronavirus Aid, Relief, and Economic Security (CARES) Act on March 27,
2020, the U.S. Small Business Administration (SBA)’s Office of Entrepreneurial Development (OED)
acted expeditiously to ensure the grant funds reached the Small Business Development Centers (SBDCs)
and the Women’s Business Centers (WBCs) quickly. In order to expedite the release of funds, OED
streamlined the grant-making process. In three weeks, OED awarded grants to 62 SBDCs, totaling over
$191.6 million and 113 Women’s Business Centers, totaling over $47.4 million. This process had never
been done in the past and was a record turnaround for the agency. OED also provided the opportunity for
the SBDC networks to receive 25% of their funds in advance, to ensure funding was given to them at the
most critical time. This was well received by the SBDCs. Advance funding of the SBDC program had
never been previously done. Along with providing additional funding to the SBDCs and WBCs, the
CARES Act waived matching requirements for these funds. For the WBCs, the matching requirement was
waived on the core grant funds for 3 months to help alleviate financial burdens on the WBCs.
Additionally, OED worked closely with America’s SBDC and the Association of Women’s Business
Centers in establishing performance metrics that would measure the impact of the CARES Act grant funds.
The SBDCs measure three important short-term goals: Capital Assistance, Individuals Served, and
Counseling Hours. These short-term metrics provide the SBA with a critical view into the number of new
clients the SBDCs are serving. The WBC program tracks three metrics - Unique Client Served, Jobs
Supported, and Capital Infusion Number of Transactions. These metrics provide SBA with key information
on the impact the CARES Act funding is having on the communities the WBCs serve.
To assist clients efficiently, OED allowed the SBDCs and WBCs to collect client information using the
Form 888. Using the Form 888 decreased the amount of time the SBDCs and WBCs spent collecting client
information. Additionally, it reduced the burden of reporting information.
During the heart of the pandemic, the SBDCs and WBCs conducted counseling sessions and webinars
virtually. OED monitored the transition to virtual services across the United States to ensure counseling
and training were being provided adequately to entrepreneurs. This was done at the request of OED
Leadership through an email campaign to ensure that services were still being met as business owners faced
one of the biggest challenges the small business community has faced. OED took a proactive approach
during the pandemic holding 13 nationwide calls with all Resource Partners to provide real time guidance
and answer their questions expeditiously. Conversely, OED provided over 40 electronic updates on the
SBA Paycheck Protection Program (PPP) and Economic Injury Disaster Loan (EIDL) program throughout
the pandemic to ensure small business owners were receiving up to date counseling and training from the
1,000+ partners across the United States and Territories.
Ongoing COVID-19 Response (OVBD) – Veterans Business Outreach Centers (VBOC)
All 22 VBOCs transitioned to virtual training and counseling during the onset of the
COVID-19 disruption.
o Training and counseling activities include: Boots to Business (B2B) classes, B2B
Reboot training, virtual entrepreneurship training and webinars, and virtual
counseling.
Supporting local SBA Regional & District Offices by disseminating Paycheck Protection
Program (PPP) and Economic Injury Disaster Loan (EIDL) updates and participating in
local training events.
Counseling veteran and military spouse business owners on the PPP & EIDL
applications, follow-up and forgiveness processes, and requirements.
Participating in weekly calls with the SBA’s Office of Veterans Business Development
(OVBD) to receive CARES Act updates and provide feedback.
Working with the Association of Women’s Business Centers, Association of Small
Business Centers and SCORE on the development of the national resource partner
training portal. This was part of the initial CARES Act legislation (Section 1103
(c)(1)(B), Entrepreneurial Education – Resource Partner Association Grants).
Below are training and counseling numbers specific to COVID-19 assistance.
Counseling Sessions: 4,229
Training Events: 148
Training Attendees: 8,153File and source
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