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Transition Reports (1977) - Small Business Administration (2)
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Transition Reports (1977) - Small Business Administration (2)
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The original documents are located in Box 39, folder "Transition Reports (1977) - Small
Business Administration (2)" of the John Marsh Files at the Gerald R. Ford Presidential
Library.
Copyright Notice
The copyright law of the United States (Title 17, United States Code) governs the making of
photocopies or other reproductions of copyrighted material. Gerald R. Ford donated to the United
States of America his copyrights in all of his unpublished writings in National Archives collections.
Works prepared by U.S. Government employees as part of their official duties are in the public
domain. The copyrights to materials written by other individuals or organizations are presumed to
remain with them. If you think any of the information displayed in the PDF is subject to a valid
copyright claim, please contact the Gerald R. Ford Presidential Library.
Digitized from Box 39 of The John Marsh Files at the Gerald R. Ford Presidential Library
SMALL
BUSINESS
DEC 8 1976
U.S. Small Business Administration
*
Washington
ADMINISTA ADION
OFFICE OF THE DEPUTY ADMINISTRATOR
December 6, 1976
Honorable John 0. Marsh, Jr.
Counsellor to the President
The White House
Washington, D.C. 20500
Dear John:
This will replace the book you received from us
the week before last. As you know, William Keel has been
named head of the Carter group as far as SBA is concerned
and seems to be doing it all himself.
Sincerely,
Janis
Louis F. Laun
Enclosure
FORD
Administratively Confidential
Copy No. of 40 Copies
ORDERLY TRANSITION OF THE PRESIDENCY
EXECUTIVE BRIEFING
STALL BUSINESS
ADMINISTRA 1953 STATE
SMALL BUSINESS ADMINISTRATION
November 30, 1976
Administratively Confidential
NOTICE
IN A FEW PLACES BLANK PAGES HAVE BEEN INTENTION-
ALLY INCLUDED IN THIS DOCUMENT IN ORDER TO
FACILITATE THE APPEARANCE OF RELATED ORGAN-
IZATION CHARTS AND DESCRIPTIVE NARRATIVE IN A
SIDE-BY-SIDE FORMAT WITH LEFT AND RIGHT HAND
PAGES OPENED TO THE READER.
FOREWARD
THIS EXECUTIVE BRIEFING for the Orderly Transition of the Presidency is designed to provide a
broad and concise overview of the Small Business Administration.
The Executive Briefing contains:
1. Mission and Statutory Authority.
2. An Overview of Principal Programs.
3. The Organizational Structure of the Agency.
4. Functional Statements for Each Principal Suborganizational Component.
5. Key Personnel
6. Interagency Relationships.
7. Congressional Committees
8. Budget Overview and FY 1977 Program Goals.
PERSONAL, DETAILED BRIEFINGS will expand upon items included in this Executive Briefing and
include additional items of importance within the several organizational and program areas. The
Administrator, the Deputy Administrator, the Associate and Assistant Administrators and the
General Counsel will conduct these briefings in depth for their respective responsibilities.
BIOGRAPHICAL SUMMARIES pertaining to key SBA personnel are available in a separate briefing folder.
-1-
TABLE OF CONTENTS
Page
TAB 1 MISSION AND STATUTORY AUTHORITY
4
TAB 2 PRINCIPAL PROGRAMS OF SBA
7
Financial Assistance
7
Management Assistance
9
Procurement and Technical Assistance
9
Minority Small Business Assistance
10
Advocacy Programs
10
TAB 3 ORGANIZATION (Overall concept and maps depicting the SBA offices throughout
the United States
11
Map Presentations
The 10 SBA Regions in the United States
12
Region I
13
Region II
14
Region III
15
Region IV
16
Region V
17
Region VI
18
Region VII
19
Region VIII
20
Region IX
21
Region X
22
TAB 4 SBA MANAGEMENT BOARD AND ORGANIZATION CHART
23
TAB 5 FUNCTIONAL STATEMENTS AND SUBORGANIZATION CHARTS
The Administrator and Deputy Administrator
24
Special Assistant to the Administrator and Director of the Office of
Equal Employment Opportunity and Compliance
25
Director of the Office of Audits and Investigations
27
Associate Administrator for Finance and Investment
29
Associate Administrator for Operations
34
Associate Administrator for Minority Small Business
38
Associate Administrator for Procurement Assistance
41
-2-
Page
General Counsel
45
Assistant Administrator for Management Assistance
48
Assistant Administrator for Administration
51
Assistant Administrator for Congressional and Legislative Affairs
53
Chief Counsel for Advocacy (Acting Assistant Administrator for Advocacy
and Public Communications
55
Assistant Administrator for Planning, Research and Data Management
58
TAB 6 KEY PERSONNEL (CAREER AND NONCAREER)
60
Consolidated List of all noncareer policy and supportive positions
73
TAB 7 INTERAGENCY RELATIONSHIPS
74
TAB 8 CONGRESSIONAL COMMITTEES
77
TAB 9 BUDGET OVERVIEW AND FY 1977 PROGRAM GOALS
81
-3-
MISSION AND STATUTORY AUTHORITY
The Small Business Act of 1953, creating the Small Business Administration, clearly stated the
intent of the Congress that SBA aid, counsel, assist and protect the interests of small busi-
ness concerns; insure that a fair proportion of the total Government purchases and contracts for
supplies, services, research and development be placed with small business enterprises; make loans
to small business concerns and to victims of floods and other catastrophes; improve the management
skills of the owners of small businesses; and provide for the development of management skills of
qualified persons seeking to establish small businesses.
Shortly afterwards, additional legislation increased the maximum size of a business loan from
$150,000 to $250,000, authorized the making of pool loans and the issuance of business size certi-
ficates, and authorized SBA to aid small firms in obtaining a fair share of government research and
development contracts.
SBA became a permanent agency on July 18, 1958, (P.L. 85-536) and at the same time the maximum
interest rate on SBA loans was lowered from 6 percent to 5-1/2 percent and the size of individual
business loans was increased to $350,000 maximum. The interest rate was later based on a flexible
formula by P.L. 93-386 in 1974 and the loan limit increased to $500,000 for guaranteed loans by
P.L. 94-305 in 1976.
The Small Business Investment Act, approved August 21, 1958, authorized SBA to license and regulate
privately owned small business investment companies, and also authorized assistance to state and
local development companies.
In 1964 SBA was authorized to take part in the antipoverty program, and on December 23, 1967, under
amendments to Title IV of the Economic Opportunity Act, (P.L. 90-222) SBA was given broadened
authority under this program, authority which has more recently been transferred to the Small Busi-
ness Act (P.L. 93-386).
Other legislation in 1966 and 1967 modified the small business investment company program and
lengthened from 10 to 15 years the maximum term of SBA business loans for construction purposes, a
term extended to 20 years in 1976.
Legislation in the period 1969-1975 made extensive changes in SBA's programs for disaster relief
assistance. This included an expansion of SBA's economic injury loan authority under Section 7(b)
of the Small Business Act to help small businesses cope with Federal and State Government regula-
tion. It also included varying degrees of "forgiveness" through which up to $5,000 of a disaster
loan did not have to be repaid. While the "forgiveness" feature is no longer authorized, the
-4-
the Disaster Relief Act of 1974 (P.L. 93-288) has substituted a program of individual and family
grants to hardship cases which are financed by Presidential grants to States.
The Housing and Urban Deveopment Act of 1970, P.L. 91-609, established SBA's Surety Bond Guarantee
Program.
P.L. 92-213, December 22, 1971, amended the Small Business Investment Act to authorize SBA to
guarantee loans made by private lenders to SBICs.
The Small Business Investment Act Amendments of 1972 (P.L. 92-595) increased significantly the level
of SBA financing available to SBICs and MESBICs, and authorized a new SBA loan program for the bene-
fit of the handicapped.
The Domestic Volunteer Service Act (P.L. 93-113, October 1, 1973) created a new Agency, ACTION, and
gave ACTION the responsibility, among other volunteer programs, for the Service Corps of Retired
Executives (SCORE) and Active Corps of Executives (ACE) which had formerly rested with SBA. This
responsibility was returned to SBA in July 1975 by Executive Order 11871.
The Small Business Act Amendments of 1973 (P.L. 93-237, January 2, 1974), expanded the authority
of the Small Business Administration to make loans to assist small business concerns in meeting
regulatory standards; provided an SBA program for loans for adjustment assistance in base closings;
stated that SBA shall not discriminate on the basis of sex or marital status against any person or
small business concern applying for or receiving agency assistance; and provided for livestock loans
under the Act to those raising livestock who encounter substantial economic injury as a result of
animal disease.
The statutory position of Associate Administrator for Minority Small Business was established by
P.L. 93-386 in August 1974.
Public Law 94-305, June 4, 1976, made significant amendments to the Small Business Investment Act of
1958 and the Small Business Act. Among other things, the law provides for (1) the President to
undertake a comprehensive review of all Federal disaster loan authorities; (2) a separate new
financing program to make it possible for small businesses to finance the leasing of pollution con-
trol equipment through the use of tax exempt industrial revenue bonds; (3) increased Government
financial assistance for small business investment companies (SBICs); (4) loans to state and local
development companies for the acquisition (as distinguished from previously authorized modernization)
of existing plant facilities; (5) increasing the ceiling amount for an economic opportunity loan from
-5-
$50,000 to $100,000 per borrower; (6) increasing the maximum amount of financial assistance to a
state or local development company from $350,000 to $500,000; (7) increased maximum amount of a
regular business loan which is made by a financial institution and guaranteed by SBA from $350,000
to $500,000 per borrower, while retaining the present limit of $350,000 for direct loans and
immediate participation loans; (8) recognition of the policy of Congress that the SBA shall provide
management and financial assistance to agricultural enterprises which are small concerns; and (9)
establishing a new Office of Advocacy within SBA headed by a Chief Counsel for Advocacy to be
appointed by the President and to be responsible initially for the conduct of a comprehensive study
of the role of small business in the national economy. (A Chief Counsel for Advocacy had previously
been authorized by P.L. 93-386 in August 1974).
SBA's management is vested in an Administrator appointed by the President with the advice and consent
of the Senate; a Deputy Administrator, four Associate Administrators, a General Counsel, five
Assistant Administrators, and various special assistants appointed by the Administrator.
-6-
PRINCIPAL PROGRAMS OF THE SMALL BUSINESS ADMINISTRATION
FINANCIAL ASSISTANCE
REGULAR BUSINESS LOANS to small manufacturers, wholesalers, retailers, service concerns, farmers
and other businesses to construct, expand or convert facilities, purchase buildings, equipment or
materials, or obtain working capital.
ECONOMIC OPPORTUNITY LOANS to help those in business whose income provides them and their families
with only a marginal existence or those who, because of lack of opportunity, have been disadvantaged
in establishing or expanding their businesses.
DISPLACED BUSINESS LOANS to small businesses physically displaced or economically injured by fed-
erally financed projects such as urban renewal and highway construction. Loans may be made to cover
moving expenses and the cost of new facilities.
HANDICAPPED ASSISTANCE LOANS to nonprofit organizations employing 75% handicapped persons in pro-
ducing marketable goods and services, or to small business concerns owned 100% by handicapped in-
dividuals.
LOCAL DEVELOPMENT COMPANY LOANS (502) to local development companies for benefit of identifiable
small business concerns. Proceeds may be used for land, building, machinery and equipment, but
not for working capital. The development company retains title to property and enters into a a.
lease or lease purchase agreement with the small business firm.
STATE DEVELOPMENT COMPANY LOANS (501) to state development companies to assist small business
concerns within respective states. The object is industrial growth.
DISASTER LOANS
Physical and Economic Disaster Loans to individuals, businesses, hospitals, churches,
eleemosynary institutions and privately owned schools and universities suffering disaster
damage to finance their restoration to predisaster status and to provide working capital
needed until normal operations are restored.
Product Disaster Loans provide working capital and current debt payment funds when a small
firm has suffered injury as a result of being unable to market a product for human consump-
tion due to finding of toxics in such product from natural or unknown causes.
-7-
Non-Physical Diaster Loans (compliance and economic impact loans)
Compliance loans may be made to help small business comply with the Coal Mine Health
and Safety Act, Occupational Safety and Health Act, Wholesome Poultry Products Act,
Egg Products Inspection Act, Clean Air Act, and Federal Water Pollution Control Act,
if substantial economic injury is incurred.
Economic impact loans may be made to help small businesses suffering substantial
economic injury as a result of any international agreement limiting the develop-
ment of strategic arms facilities; the reduction in scope or size of a major
military installation; or, such business seriously and adversely affected by a
shortage of fuel, electrical energy, energy producing resources, or raw or
producing materials.
SMALL BUSINESS INVESTMENT COMPANIES/SECTION 301(D) LICENSES are licensed and partially financed by
SBA to provide venture capital and management assistance to small concerns for their growth,
expansion and modernization. Section 301(d) licensees specialize in assisting small concerns
owned by socially or economically disadvantaged persons.
LEASE GUARANTEES provide for guarantees of rental payments under leases of commercial or indus-
trial properties entered into by small business concerns. The program cannot be operated within
the current legislation requirements to be self-sustaining, hence it is inactive. Funding requested
for fiscal 1977 is to pay losses on existing portfolio.
POLLUTION CONTROL FINANCING provides for the guarantee of payments on contracts for the acquisition
and installation of pollution control facilities. The financing may be accomplished with bond issues
that are exempt from federal income tax.
SURETY BOND GUARANTEE PROGRAM assists small contractors indirectly by guaranteeing up to 90% of the
losses of private surety companies on specific contracts. One of SBA's fastest growing programs,
it has made the bonding system available to small contractors who have previously been denied for
various reasons.
-8-
MANAGEMENT ASSISTANCE
MANAGEMENT TRAINING courses, conferences, workshops, and clinics for present or prospective small
business owners are conducted.
MANAGEMENT COUNSELING provides small businessmen with specific information and assistance.
SCORE and ACE (Service Corps of Retired Executives and Active Corps of Executives) provide
volunteers in over 300 locations to perform training and counseling assignments.
THE CALL CONTRACTING PROGRAM authorizes SBA to place contracts with qualified individuals
and businesses in order to provide management and technical aid to SBA clients.
THE SMALL BUSINESS INSTITUTE (SBI) Program sponsors in nearly 400 colleges and universities
senior and graduate students to counsel small business under the supervision of university
faculty and SBA staff.
THE UNIVERSITY BUSINESS DEVELOPMENT CENTER (UBDC) is a university-based center for the delivery
of joint government, academic, and private assistance to small businesses. A number of these
centers are being established at cooperating institutions of higher learning.
INTERNATIONAL TRADE PROGRAM helps identify international marketing opportunities for small and
medium-sized businesses with international trade potential.
PUBLICATIONS AND TRAINING FILMS are available for little or no charge.
PROCUREMENT AND TECHNICAL ASSISTANCE
PRIME CONTRACTS PROGRAM assures small business a fair share of the multi-billion dollar Federal
procurement budget and reviews the effectiveness of small business prime contracting programs
within the Federal buying agencies.
SUBCONTRACTING ASSISTANCE PROGRAM assures that small business is afforded the optimum opportunity
to participate in the Federal procurement process as subcontractors to the Nation's major prime
contractors.
CERTIFICATE OF COMPETENCY PROGRAM provides an appellate review for a small company being denied the
right of a contract award by a Federal procuring agency due to alleged lack of technical capability
or financial resources.
-9-
TECHNOLOGY ASSISTANCE PROGRAM assists small business in acquiring the maximum benefits from the
government's vast store of technology and to assist small R&D companies to compete successfully
for Federal R&D contract awards.
PROPERTY SALES PROGRAM assures small business a fair share of contracts involving the sales of timber
and other government property (or rights) both real and personal.
8(A) BUSINESS DEVELOPMENT PROGRAM assists small companies that are owned and controlled by socially
or economically disadvantaged persons to reach viability through the federal contracting/subcon-
tracting process.
MINORITY SMALL BUSINESS ASSISTANCE
The Office of Minority Small Business is the primary advocate for minority small business, with
legislatively-mandated authority to provide input and policy into execution of all other SBA pro-
grams, including Finance and Investment, Procurement Assistance and Management Assistance.
ADVOCACY
The Office of Advocacy performs the following duties on a continuing basis:
1. serves as a focal point for the receipt of complaints, criticisms, and suggestions concern-
ing the policies and activities of the Administration and any other Federal agency which affects
small business;
2. counsels small business on how to resolve questions and problems concerning the relation-
ship of the small business to the Federal Government.
3. develops proposals for changes in the policies and activities of any agency of the Federal
Government which will fulfill the purposes of the Small Business Act.
4. represents the views and interests of small businesses before other Federal agencies whose
policies and activities may affect small business;
5. enlists the cooperation and assistance of public and private agencies, businesses, and
other organizations in disseminating information about the programs and services provided by the
Federal Government which are of benefit to small businesses, and information on how small businesses
can participate in or make use of such programs and services; and
6. ensures accomplishment of major studies and analyses of a special nature such as those
contained in Section 202 of P.L. 94-305.
-10-
ORGANIZATION
THE CENTRAL OFFICE of the Small Business Administration is located at 1441 L Street, N.W.,
Washington, D. C. The Administrator, Deputy Administrator, Associate Administrators, Assistant
Administrators and General Counsel and their staffs are all located here. There are about 750
permanent positions in the Central Office.
FIELD OFFICES are located in every state, Puerto Rico, the Virgin Islands and Guam as shown on
the accompanying maps. There are 63 District Offices, 18 Branch Offices and 15 Post of Duty
Stations in 96 cities. Most of SBA's operations are conducted through the District and Branch
Offices. The 10 Regional Offices are basically supervisory and administer the operations of
the Districts. Total field office strength is about 3,700 permanent positions.
The Regional Directors report through the Associate Administrator for Operations and the Deputy
Administrator to the Administrator.
-11-
ANCHORAGE
Small Business Administration FIELD OFFICES
FAIRBANKS
MONTPELIER
AUGUSTA
**
SEATTLE
REGION 1
SPOKANE .
CONCORD
BOSTON
PORTLAND
HELENA
MARQUETTE
FARGO
PROVIDENCE
REGION VIII
SYRACUSE
REGION
II
HARTFORD
REGION X
MINNEAPOLIS
BOISE
REGION V
BUFFALO
ELMIRA
@k.new YORK
MADISON
RAPID CITY
SIOUX FALLS
DETROIT
NEWARK
.
WILKES BARRE
CASPER .
MILWAUKEE
REGION III
on
CHICAGO
CLEVELAND
HARRISBUPHILADELPHIA:
PITTSBURGH
WILMINGTON
DES MOINES
INDIANAPOLIS COLUMBUS
BALTIMORE
REGION IX
SALT LAKE CITY
OMAHA
CINCINNATI
SPRINGFIELD
CLARKSBURG
WASHINGTON 0 C
**
DENVER
**
CHARLESTON
RICHMOND
SAN FRANCISCO
REGION VII
KANSAS CITY
ST LOUIS
FRESNO
LOUISVILLE
LAS VEGAS
. WICHITA
CHARLOTTE
KNOXVILLE
#10S ANGELES
MASHVILLE
COLUMBIA
PHOENIX
ALBUQUERQUE
*
SAN DIEGO
ATLANTA
OKLAHOMA CITY
LITTLE ROCK
BIRMINGHAM
REGION VI
REGION IV
**
JACKSON
LUBBOCK
DALLAS
JACKSONVILLE
.
HONOLULU. HAWAII
EL PASO
HATO REY. P R,
AGANA, GUAM
BILOXI
REGION #)
HOUSTON
ONEW ORLEANS
LEGEND
SAN ANTONIO
MIAMI@
Regional Offices
District Offices
CORPUS CHRISTI
Branch Offices
FEBRUARY 1978
LOWER RIO
GRANDE VALLEY
-12-
AROOSTOOK
REGION I
PISCATAQUIS
BINEFRET
PENOBSCOT
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coos
FRANKLIN
I
OXFORD
M
WASH.
HANCOOK
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CHITTEN
AUGUSTA
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GRAFTON
MONTPELIER
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CARPOLL
ANDROS
LINCOLN
SAGAD
ADDISON
S
RUTLAND
WINDSOR
3
-13-
YORK
[s]
SULLIVAN
BELKNAP
2
BENNING
TON
WIND.
HAM
/
CONCORD
HILLSBORO
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LEGEND
ESSEX
KLIN
ERKSHIR!
Regional Office
CESTER
District Office
M
HAMP
SHIRE
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Branch Office
District Boundary
HAMPDEN
NORFOLK
PLY
MOUTH
Branch Boundary
LITCH
HART
FIELD
WINDHAM
PRO
BRISTOL
FORD
TOLLAND
VIDENCE
HARTFORD
KENT
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BARNSTABLE
NEW
M.
HAVEN
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LONDON
WASH.
INGTON
/
DUKES
PROVIDENCE
NANTUCKET
Boston Regional Director - Talbot DeG. Bulkley - GS-16
Boston District Director - Albert J. Prendergast - GS-15
Augusta District Director - Thomas A. McGillicuddy - GS-15
Concord District Director - Bert F. Teague - GS-5
Hartford District Director = Thomas E. Higgins - GS-15
Montpelier District Director - David C. Emery - GS-15
Providence District Director - Charles J. Fogarty - GS-15
FRANKLIN
CLINTON
REGION II
S
ESSEX
JEFFERSON
HAMILTON
4
[LEWIS
HERKIMER
WARREN
WASH
HOMEO
INGTON
ONEIDA
FULTON
SARATOGA
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ORLEANS
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MONROE
WAYNE
ONONDAGA
GENESEE
NOSICIAN
MONTGOMERY
ERIE
ONTARIO
LIVINGS
TON
BUFFALO
WYOMING
SENECA
SYRACUSE
OTSEGO
ALBANY
CORT
SCHOMARIE
YATES
LAND
CHENANGO
N
TOMP
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KINS
EMAUTAUQUA
ALLEGANY
SCHUYLER
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CATTARAUGUS
DELAWARE
COLUMBIA RENSSELAER
CHEMUNG
TIOGA
BROOME
ELMIRA
ancesses
ULSTER
DUTCH
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SULLIVAN
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SUSSEX
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WESTCHESTE
Tim
WARREN
SUFFOLK
NASSAU
NEWARK
/
NEW YORK
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BRONX
LEGEND
QUEENS
KINGS
Regional Office
RICHMOND
District Office
OCEAN
Branch Office
SALEM
333533
District Boundary
by
Branch Boundary
ATLANTIC
CUMBER.
LAND
CAPE
MAY
HATO REY, P.R.
New York Regional Director - (Vacant) - GS-17
New York District Director - Woodie G. Williams - GS-16
Hato Rey District Director - Antonio Yordan - GS-15
Newark District Director - Andrew P. Lynch - GS-15
Syracuse District Director - J. Wilson Harrison - GS-15
REGION III
ERIE
WARREN
MCKEAN
OTTER
TIOGA
BRADFORD
CRAWFORD
/
WAYNE
FOREST
ELK
ING
MERCER
VENANGO
CANCERNING
SUL
LYCOMING
WILKES-BARRE
CL'NTON
LUZERNE
JEFFERSON
CLARION
MONROE
LEGEND
CLEARFIELD
LAWRENCE
BUTLER
CENTRE
Regional Office
District Office
REAVER
ARMSTRONG
UNION
COLUMBIA
CARBON
SNYDER
SCHUYLKILL
Branch Office
MANDOOR
INDIANA
ALLEGUANY
MBR:A
BLAIR
HARRISBURG
LEHIGH
BERKS
BUCKS
PITTSBURGH
District Boundary
WESTMORELA
Branch Boundary
BEDFORD
WASHINGTON
YORK
LANCASTER
SOMERSET
FULTON
CHESTER
FAYETTE
GREENE
DAMS
PHILADELPHIA
FRANKLIN
WETZEL LMONONGALIA
GARRETT
CARROLI CECIL
TYI
CLARKSBURG
BALTIMCRE
WILMINGTON
HERREIT
TAYLOR
FREDERICK
RITCHIE
FREDERICK
KENT
RENT
MENIGOMER
TUCKER
LEWIS
GRANT
ANNE
HARDY
LOUDOUN
CKSON
CALHOUN
GILMER
RANDOLPH
WASHINGTON,
D.
C
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ROANE
PUTNAM
PENDLETON
FAUQUIER
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BUSSEX
BRAXTON
WITH
CLAY
WEBSTER
CULPERER
CHARLES
KANAWHA
NICHOLAS
POCAHONTAS
ROCKINGHAM
WICOMICO
LINCOLN
AUGUSTA
GREENE
ORANGE
SABWII
(
CHARLESTON
BATH
ALBEMARLE
LOUISA
GREENBRIER
CAROLINE
LOGAN
ESSE
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RALEIGH
NORTHUM-
LLEGHANY
ROCKBRIDGE
NELSON
WYOMING
IMMERS
FLUVANNA
GO,
RICHMOND
SERLAND
NO
BOTETOURT
BUCKINGHAM
AND
AND
AMHERST
QUEEN
KOOLISEX
MCDOWELL
MERCER
CRAIG
CUMBERL
POWHAT
RICHMON.
MATHEWS
BEDFORD
MATTOX
AMELIA
CHESTER
BUCHANAN
GILES
TITLD
DICKEN
MONT.
on
PRINCE
50%
BLAND
CAMPBELL
EDWARD
PHINCE
TAZEWELL
PULASKI
GEORGE
YORK
SURRY
WISE
FRANKLIN
RUSSELL
WYTHE
CHARLOTTE
DISWIDDIE
LEE
SMYTH
FLOYD
WASHINGTON
HENRY
PITTSYLVANIA
SUSSEX
SLE
SCOTT
HALIFAX
CARROLL
GRAYSON
BRITISHICK
MECKLENBURG
GREENS.
SOUTH-
PATRICK
AMPTON
NANSEMONO
Philadelphia Regional Director - (Vacant) - GS-17
Philadelphia District Director - William B. Patterson - GS-15
Clarksburg District Director - Isaac R. Mayfield - GS-15
Pittsburgh District Director - Jack C. Forbes - GS-15
Richmond District Director - Raymond P. Kuttenkuler - GS-15
Towson District Director - Gerard J. Lang - GS-15
Washington District Director - Leon J. Bechet - GS-15
REGION IV
LOUISVILLE
***
-
N
stores
BERTH
Davis
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Atlanta District Director - John D. Sewell - GS-15
Birmingham District Director James C. Barksdale - GS-15
Charlotte District Director George W. Marschall - GS-15
Columbia District Director - Vern F. Amick - GS-15
Coral Gables District Director - Thomas A. Butler - GS-15
Jacksonville District Director - Douglas E. McAllister - GS-15
Louisville District Director Richard B. Blankenship - GS-15
Jackson District Director - Ardis Jones - GS-15
Nashville District Director - William J.L. Shaver - GS-15
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Columbus District Director . Frank D. Ray - GS-15
Detroit District Director - Ray Harshman - GS-15
Indianapolis District Director - William F. Miller - GS-15
Madison District Director - Lucian G. Schlimgen, Jr. - GS-15
Minneapolis District Director - Paul W. Jansen - GS-15
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Oklahoma City District Director - Truman Branscum - GS-15
San Antonio District Director - James S. Reed - GS-15
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Kansas City Regional Director - Deryl K. Schuster - GS-16
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Kansas City District Director - Gerald D. Jepson - GS-15
Des Moines District Director - Jay H. Sears - GS-15
Omaha District Director - Rick S. Budd - GS-15
St. Louis District Director - Thomas L. Holling - GS-15
Wichita District Director - Clayton Hunter - GS-15
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Denver District Director - Douglas F. Graves - GS-15
Casper District Director - Jerry S. King - GS-15
Fargo District Director - E. Maine Shafer - GS-15
Helena District Director - Ottley R. Tschache - GS-15
Salt Lake City District Director - Clair R. Hopkins - GS-15
Sioux Falls District Director - Chester Boyd Leedom - GS-15
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San Francisc District Director - (Vacant)
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Honolulu District Director - David K. Nakagawa - GS-14
Las Vegas District Director - Robert Garrett - GS-14
Los Angeles District Direc tor - Stewart L. Rollins - GS-16
Phoenix District Director - Stanley D. Goldberg - GS-15
San Diego District Director - Fred D. Sergent - GS-15
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TETOM
DOUGLAS
HARNEY
E
CANYON
ADA
ELMORE
BONNEVILLE
COOS
KLAMATH
LAKE
BINGHAM
BOISE
GOODING
LINCOLN
CARISOU
CURRY
OWTHEE
MINIDOKA
POWER
JACKSON
JEROME
BANNOCK
JOSEPHINE
BEARL
TWIN
FALLS
LAKE
CASSIA
ONEIDA
TRANKLIN
LEGEND
Seattle Regional Director - Daniel B. Ward - GS-16
Regional Office
Seattle District Director - Robert F. Caldwell GS-15
District Office
Anchorage District Director - Frank D. Cox - GS-15
Branch Office
Boise District Director - Oliver T. Davis - GS-15
Portland District Director - James D. Chapman - GS-15
Spokane District Director - William S. Schumacher - GS-15
District Boundary
SBA MANAGEMENT BOARD
ADMINISTRATOR
OFFICE OF EQUAL EMPLOYMENT
OPPORTUNITY AND COMPLIANCE
Mitchell P. Kobelinski
Level-III
George H. Robinson - GS-16
DEPUTY ADMINISTRATOR
Louis F. Laun
OFFICE OF AUDITS
Level-IV
AND INVESTIGATIONS
Raymond F. Randolph GS-16
ASSOCIATE
ASSOCIATE ADMINISTRATOR
GENERAL
ASSOCIATE ADMINISTRATOR
ADMINISTRATOR FOR
FOR OPERATIONS
ASSOCIATE ADMINISTRATOR
COUNSEL
FOR FINANCE
MINORITY SMALL BUSINESS
FOR PROCUREMENT
AND INVESTMENT
David Lambert - GS-17
Daniel T. Kingsley Level-V
ASSISTANCE
Connie Mack Higgins - GS-18
William T. Gennetti,
John T. Wettach - Level-V
Bernard Kulik, DEPUTY GS-16
Harold K. Fletcher - Level-V
DEPUTY GS-17
Joseph J. Luna, DEPUTY-GS-16
(Regional Directors)
ASSISTANT ADMINISTRATOR
ASSISTANT ADMINISTRATOR
ASSISTANT ADMINISTRATOR
ASSISTANT ADMINISTRATOR
FOR MANAGEMENT
ASSISTANT ADMINISTRATOR
FOR CONGRESSIONAL AND
FOR ADVOCACY AND PUBLIC
FOR PLANNING, RESEARCH
ASSISTANCE
FOR ADMINISTRATION
LEGISLATIVE AFFAIRS
COMMUNICATIONS
AND DATA MANAGEMENT
Henry S. Warren - GS-18
Roger H. Jones - GS-17
Thomas E. Cole GS-17
Anthony S. Stasio - Acting-GS-18
Robert D. Holland - GS-18
John C. Patrick, Jr.,
DEPUTY GS-16
REGION I
REGION II
REGION VIII
REGION IX
REGION III
REGION IV
REGION V
REGION VI
REGION VII
REGION X
SAN
BOSTON
NEW YORK
PHILADELPHIA
ATLANTA
CHICAGO
DALLAS
KANSAS CITY
DENVER
FRANCISCO
SEATTLE
T.D. Bulkley
(Vacant)
(Vacant)
W.S. Messick
H.L. Aronson
F.S. Neumann
D.K. Schuster
V.M. Rivera
G. Montano
D.B. Ward
Regional
Regional
Regional
Regional
Regional
Regional
Regional
Regional
Director
Director
Director
Director
Director
Director
Director
Director
Regional
Regional
Director
Director
GS-16
GS-17
GS-17
GS-16
GS-17
GS-17
GS-16
GS-16
GS-17
GS-16
The Regional Directors are members of the SBA Management Board. For purposes of program execution, however,
they report through the Associate Administrator for Operations to the Deputy Administrator and Administrator.
-23-
ADMINISTRATOR
The Administrator of the Small Business Administration is responsible to the President and to
the Congress for exercising direction, authority and control over the Small Business Administration.
He establishes and supervises agency policy in line with its authority to aid, counsel, assist and
protect the interests of the nation's small business concerns and serves as its Chief Executive
Officer.
Much of the Administrator's authority is exercised by agency officials to whom it has been delegated.
The SBA Administrator also has responsibilities involving activities of various Federal, State and
local agencies in behalf of the small business interests in the national economy.
He reports to the President and to the Congress on the agency's program accomplishments and problems
and also serves as a member of the Economic Policy Board.
DEPUTY ADMINISTRATOR
The Deputy Administrator of the Small Business Administration is the Administrator's alter ego, and
serves as the Agency's Chief Operating Officer. He is appointed by and serves at the pleasure of the
Administrator and acts for the Administrator in his absence. He serves as Chairman of the size
appeals board and the interagency committees.
-24-
OFFICE OF
EQUAL EMPLOYMENT
OPPORTUNITY
AND COMPLIANCE
George H. Robinson
GS-16
EQUAL EMPLOYMENT
OPPORTUNITY
COMPLIANCE
DIVISION
DIVISION
Malcolm M. Hall
Joseph A. Feldman
GS-15
GS-15
SPECIAL ASSISTANT TO THE ADMINISTRATOR AND DIRECTOR
OF THE OFFICE OF EQUAL EMPLOYMENT OPPORTUNITY AND COMPLIANCE
The Director serves as Special Assistant to the Administrator and as his principal adviser on
Agency civil rights policies. As such, he is the chief liaison with other Federal agencies and
nonfederal organizations concerned with civil rights programs.
In light of the EEO&C Office's overview responsibilities relating to all SBA functional areas,
the Director serves on the Administrator's Management Board. He also serves as the Agency's Equal
Employment Officer, Civil Rights Coordinator and Compliance Officer, directing the work of the
Office's two divisions.
The Equal Employment Opportunity Division is responsible for establishing a continuing affirmative
program for equal opportunity in employment and personnel operations within the Agency without
regard to race, color, religion, sex, national origin or age, and for the processing of complaints
of discrimination based on the above stated grounds. This work is conducted in accordance with
the 1972 Equal Employment Opportunity Act and Civil Service Commission regulations.
The work of the Compliance Division, under the Agency's Title VI and Title VI-related responsi-
bilities, basically consists of monitoring direct and indirect recipients of financial assistance
to make certain that they do not discriminate in either their business or employment practices.
Further, the Division is responsible for the enforcement of the Equal Credit Opportunity Act and
its amendments, which require recipients of SBA monies not to discriminate in their credit
practices on the basis of sex or marital status.
Monitoring is achieved through a system of compliance reports, on-site compliance reviews and
complaint investigations. Because the beneficiaries of SBA programs are generally the financial
assistance recipients, it is also necessary to assure nondiscrimination on the part of SBA program
officials and offices. This includes assuring that all members of the public have access to SBA
programs and are treated courteously and without regard to race, color, religion, sex, marital
status or national origin by the Agency or any of its officials. This is achieved by the monitor-
ing of SBA program offices, comparing inquiries, applications, approvals, declines and withdrawals,
as well as through complaint investigations and office reviews.
-26-
OFFICE OF
AUDITS AND
INVESTIGATIONS
Raymond F. Randolph
GS-16
INTERNAL
SECURITY AND
EXTERNAL
AUDIT
INVESTIGATIONS
AUDIT
EXAMINATIONS
DIVISION
DIVISION
DIVISION
DIVISION
Alvin B. Fried
William W. Bowling
Louis T. Williams
Reginald V. Shaw
GS-15
GS-15
GS-15
GS-15
-27-
DIRECTOR OF THE OFFICE OF AUDITS AND INVESTIGATIONS
The Office of Audits and Investigations (OAI) is charged by the Administrator with the responsi-
bility for planning, directing and executing all audit and investigation activities of the Small
Business Administration (SBA). In this capacity, it represents the Administrator on matters
relating to audits and investigations with other Government agencies, such as the Federal Bureau
of Investigation (FBI) and the General Accounting Office (GAO). In carrying out its responsi-
bility, the OAI:
a. supervises the development of audit and investigation plans, procedures and standards;
b. supervises the performance of audits and investigations;
C. submits to appropriate SBA officials reports with findings of fact and recommendations
developed by audits and investigations;
d. monitors followup action by appropriate SBA officials to findings and recommendations;
e. analyzes and consolidates reports of corrective actions taken;
f. reports matters requiring further action to the Administrator and/or the Audit Committee; and
g. issues formal orders of investigation (subpoena power) under the Small Business Act of 1953,
as amended, and the Small Business Investment Act of 1958, as amended.
The audits and investigations performed by the OAI extend to all SBA programs, SBA personnel and
outside borrowers, contractors and other recipients of SBA assistance.
The Director is also a member of the Administrator's Management Board.
-28-
ASSOCIATE ADMINISTRATOR
FOR
FINANCE AND INVESTMENT
John T. Wettach
Level V
INVESTMENT
DIVISION
Peter F. McNeish
GS-17
OFFICE OF
OFFICE OF
OFFICE OF
OFFICE OF
OFFICE OF
PORTFOLIO
COMMUNITY
PROGRAM
PORTFOLIO
FINANCING
MANAGEMENT
DEVELOPMENT
DEVELOPMENT
REVIEW
Arthur E. Armstrong
GS-16
Edwin T. Holloway
Earl L. Chambers
(Vacant)
Frank A. Nicholas
GS-16
GS-16
GS-16
GS-15
SPECIAL
OPERATIONS
DEVELOPMENT
PROJECTS
ASSISTANCE
CO. LOAN
PLANNING & POLICY
DIVISION
DIVISION
DIVISION
ANALYSIS DIVISION
Evelyn Cherry
James B. Glading
William B. Dean
Wendel I Hulcher
GS-15
GS-15
GS-15
GS-15
PROGRAM
PROGRAM AND
FINANCIAL
UNDERWRITING
OPERATIONS
SYSTEMS
INSTITUTIONS
DIVISION
DIVISION
DIVISION
DIVISION
Sal A. Lauricella
(Vacant)
Arthur J. Glick
John E. Moore
GS-15
No Grade Established
GS-15
GS-15
INVESTMENT DIVISION
OFFICE OF INVESTMENT
OFFICE OF
OFFICE OF
MANAGEMENT AND EVALUATION
SBIC OPERATIONS
301 (d) OPERATIONS
John L. Werner
Gerald L. Feigen
Arthur P. Cyr
GS-15
GS-15
GS-15
-29-
ASSOCIATE ADMINISTRATOR FOR FINANCE AND INVESTMENT
The Associate Administrator for Finance and Investment -
Develops plans, operating procedures, and standards to effectively strengthen and improve the
Agency's finance and investment programs designed to meet the existing and potential needs of
the small business community.
Develops and recommends policies concerning the financial assistance programs, including related
activities of liquidation and disposal.
Develops program goals and objectives within the framework of approved policies. Reviews and
evaluates program effectiveness.
Promotes the financial assistance program nationwide, enlisting support and participation by
private sector financial and investment institutions, States, counties, and municipalities, to
broaden the range of assistance to small business concerns.
Plans, directs, and administers the small business investment company (SBIC) program, including
licensing, lending, and regulations to effectively strengthen and improve the Agency's programs
of venture capital assistance to small businesses.
Promotes nationwide the investment program to maximize the direct involvement of private business
and financial institutions in the provision of equity and long term financing of small business
concerns.
Provides technical advice, assistance, and support to the Associate Administrator for Operations
relating to finance and investment program matters.
Directs and administers the Portfolio Review Program.
Represents the Administrator in negotiations with other Government agencies whose activities relate
to his program area.
Serves as a member of the Administrator's Management Board.
Serves as a member of the Size Appeals Board.
-30-
THE ASSOCIATE ADMINISTRATOR FOR FINANCE AND INVESTMENT
OFFICE OF FINANCING -
This office is responsible for the business and disaster lending activities of the Agency, including
developing, recommending and implementing policies, criteria, procedures, guidelines and standards
for the loan processing operation via directives and other means in the field offices. It is
responsible for the design and implementation of new loan plans or programs based on legislation
or concepts (originating within and without the Agency). The financial aspects of the Certificate
of Competency Program (Procurement Assistance) are also the responsibility of this office. Larger
size disaster loans and COC's are also acted upon by this unit as well as a limited number of loans
of a controversial nature (reconsiderations).
Provides technical financial assistance advice to field offices through visits and by telephone.
Answers the major portion of the congressional correspondence concerning the lending programs and
performs liaison with other government and private entities.
Estimates and prepares lending budgets and targets (goals) in cooperation with other Agency offices
as well as the Office of Management and Budget.
INVESTMENT DIVISION -
For the statutory purpose of improving and stimulating the national economy, specifically through
the small business segment, the Investment Division plans, develops, coordinates and promotes a
program for the licensing, regulating and partial financing of privately owned and operated Small
Business Investment Companies (SBIC's) and Section (d) Companies (MESBIC's). The sole function
of these financial institutions is to provide venture capital, in the form of equity financing and
long term loans, and management assistance to small concerns for their growth, expansion and
modernization. The Section 301 (d) companies specialize in assisting small concerns owned and
operated by socially or economically disadvantaged persons.
Utilizing leverage and tax motivations, among other benefits, the Investment Division provides and
assists the organization of these financial institutions to encourage participation and injection
of private financing sources for the purpose of attacking the equity gap and making funds available
for the type of financing needed by small businesses and which are not available in adequate supply.
-31-
OFFICE OF COMMUNITY DEVELOPMENT -
This office performs the policymaking function for five programs and executes a significant portion
of the operational functions for two of them. Policy is developed for the State Development Company
Loan Program, the Local Development Company Loan Program, the Lease Guarantee Program, Pollution
Control Financing Program, and the Surety Bond Guarantee Program. The operational function is
principally confined to the payment of claims in the Surety Bond Guarantee Program at the present
time; however, the operational aspects of the new Pollution Control Financing Program will assume
more significance in the future since it is a centralized program dealing with the guarantee of tax-
free bond issues.
OFFICE OF PROGRAM DEVELOPMENT -
Is responsible for the planning, promotion and policy development of the Agency's financial programs.
This includes development and coordination of the Secondary Market in the guaranteed portion of loans
involving the investment banking community and participating lenders; development of the urban neighbor-
hood revitalization program; development of the pollution control financing guarantee program; develop-
ment and coordination of a lender relations and promotion program; relationships with regulatory
agencies and trade and professional groups involved in small business financing; coordination of SBA's
activity with the President's Interagency Adjustment Committee on the impact on communities of military
base closing or reduction; development, processing and approving applications for participation in SBA's
business loan programs by lenders other than banks and savings and loan associations; monitoring interest
rates in the money and capital markets and recommending the maximum rate for SBA guaranteed loans;
research studies, economic analyses, interest rate projections, and similar special studies. coordination
of AA/F&I portion of Presidential Management Initiatives and Management by Objectives; discovering and
developing new methods and techniques to provide financial assistance to the small business community.
OFFICE OF PORTFOLIO MANAGEMENT -
Develops and recommends Agency policy for the administration of the Agency portfolio. This includes
the preparation, planning, and overview of all servicing and liquidation activities of the Agency. In
furtherance of these duties, the office maintains liaison and participates with other Government agencies
and other departments within SBA in all matters relating to portfolio management activities. It also
reviews and evaluates program effectiveness and develops goals for field office accomplishment.
-32-
OFFICE OF PORTFOLIO REVIEW -
Responsible for the identification of field implementation problems in F&I programs and specifying
appropriate corrective measures.
OPR functions via conducting on-site field reviews where corrections are made and by coordination
with appropriate Central Office divisions through the AA/F&I.
The activities involved include an evaluation of: (1) a selected portion of an officer's loan
portfolio; (2) managerial and first-line supervision; (3) the effectiveness of Agency systems and
workflows; (4) the effect of loan/credit/collection policies on field implementation; and (5) the
effect policies and procedures of other divisions (Central Office and field) have on field imple-
mentation of F&I policies.
-33-
ASSOCIATE ADMINISTRATOR
FOR
DISASTER OPERATIONS
OPERATIONS
STAFF
Daniel T. Kingsley
Joseph B. Alexander
Level V
GS-14
DEPUTY
Bernard Kulik
GS-16
REGIONAL
OFFICES
-34-
ASSOCIATE ADMINISTRATOR
FOR OPERATIONS
EQUAL EMPLOYMENT OPPORTUNITY
AND COMPLIANCE
REGIONAL ADVISORY COUNCIL
REGIONAL
DIRECTOR
ASSISTANT REGIONAL DIRECTOR FOR
ASSISTANT REGIONAL DIRECTOR
MINORITY SMALL BUSINESS
FOR PUBLIC AFFAIRS
AND COMMUNICATIONS
ASSISTANT REGIONAL
ASSISTANT REGIONAL
ASSISTANT REGIONAL
ASSISTANT REGIONAL
REGIONAL
DIRECTOR FOR
DIRECTOR FOR
DIRECTOR FOR
DIRECTOR FOR
COUNSEL
FINANCE AND
MANAGEMENT
PROCUREMENT
ADMINISTRATION
INVESTMENT
ASSISTANCE
ASSISTANCE
-35-
ASSOCIATE ADMINISTRATOR FOR OPERATIONS
The Associate Administrator for Operations -
Plans, directs, controls and administers all regional and district office operations, including
disaster operations.
Serves as line manager with responsibility over all field activities and personnel.
Defines lines of authority and responsibility of regional directors and coordinates their efforts
for attainment of predetermined objectives. Evaluates performance of regional directors and
serves as rating official.
Formulates a system of goals, policies, procedures and regulations for regional management that
reflects and implements the basic objectives and goals of the Agency. Has final responsibility
for setting regional goals and objectives.
Reviews and evaluates regional and district office operations in management and program areas through
a periodic analysis of regional and management reports and on-site reviews of regional and district
operations. Takes corrective action as required.
Develops and implements a system of periodic on-site field reviews with program and staff personnel
to accomplish a total management analysis of activity. Takes or recommends corrective action as
required.
Serves as coordinator between Central Office program officials and field management regarding imple-
mentation of policies and procedures.
Plans, arranges and participates in periodic high-level conferences between key Central and field
office officials on matters involving program or policy issues.
Coordinates and issues all Regional Operating Plans after reviewing priorities, objectives and
program targets recommended by the field and established by program staff offices. Recommends the
ordering of priorities consistent with field office resources and operating potential.
-36-
Supervises the implementation of Regional Operating Plans by providing advice and guidance to field
managers in specific operational areas.
Encourages and disseminates innovative management techniques and measures for the improvement of
program delivery.
Allocates personnel and financial resources to the regions to assist in attainment of program
goals and maximum operating efficiency.
Analyzes reports involving field visits by Central Office technicians and ensures that corrective
action is taken on any problems outlined therein.
Develops and maintains information on all regional and district offices for use by Central Office
staff.
Participates in the development, review, and correction of systems to assure adequate management
information and control at both Central and field office levels.
Participates in the development and implementation of a continuing program of field management develop-
ment and training, including executive development and cross-training of management personnel.
Plans, directs, controls and administers the Agency's disaster operations through contingency planning,
administration during the disaster, and disaster maintenance. Recommends physical and product disaster
declarations to the Administrator. Maintains liaison with other government agencies and individual
Congressmen and Committee staff members relating to the disaster program.
Serves as a member of the Size Appeals Board.
Serves as a member of the Administrator's Management Board.
-37-
ASSOCIATE ADMINISTRATOR
FOR
MINORITY SMALL BUSINESS
Connie Mack Higgins
GS-18
DEPUTY
Joseph J. Luna
GS-16
OFFICE OF
OFFICE OF
OFFICE OF
PROGRAM PLANNING
GOVERNMENT AND
PROGRAM
AND CONTROL
INDUSTRY RELATIONS
ASSISTANCE
Albert B. Carter, Jr.
Joseph M. Conrad, Jr.
Richard M. Philbin
GS-15
GS-15
GS-15
-38-
ASSOCIATE ADMINISTRATOR FOR MINORITY SMALL BUSINESS
The primary responsibility of this office is to formulate and recommend policy to the Adminis-
trator relating to agency programs that provide assistance to minority small business concerns.
Also reviews and evaluates the execution of such programs in light of this policy.
Develops plans, operating procedures and standards to effectively strengthen and improve the
agency's Minority Small Business program.
Participates in developing agency program goals and objectives within the framework of approved
policies. Reviews, monitors and evaluates program delivery and effectiveness.
Provides direction and emphasis to the Small Business Administration in the coordination of all
agency programs to achieve the objectives of the Minority Small Business Program. The Associate
Administrator for Minority Small Business chairs the Ad Hoc Minority Small Business Advisory Groups
established to support the Minority Small Business Program.
Monitors and evaluates the performance of the field offices to insure compliance with the Minority
Small Business Program policies and procedures, and consults through the Associate Administrator
for Operations on appointments of all assistant regional directors for minority small business and
assistant district directors for minority small business.
The Associate Administrator for Minority Small Business represents the Administrator at interagency
meetings convened by the Secretary of Commerce or other cabinet officers for the purpose of
coordinating programs and activities that affect or contribute to the growth of minority business
enterprise.
The Associate Administrator for Minority Small Business also serves in this capacity in cooperation
with other Associate and Assistant Administrators at other interagency meetings and in negotiations
with Federal agencies whose activities relate to the Minority Small Business and Business Development
Programs.
-39-
Through the Associate Administrator for Minority Small Business, the Office of Minority Small
Business provides information and assistance, and otherwise participates with the Domestic
Council, the Office of Management and Budget and the Cabinet Officers when requested, in the
development of national program objectives for minority business enterprise.
Confers with top representatives of industry trade associations, local government and community
action groups to enlist their substantial participation, and involvement in the Small Business
Administration's Minority Small Business Program. Promotes their cooperation in the development
of minority businesses in urban as well as rural areas. Negotiates national agreements with
industries for establishing assistance programs for minority-owned businesses.
The Associate Administrator for Minority Small Business also serves as a member of the Adminis-
trator's Management Board.
-40-
ASSOCIATE ADMINISTRATOR
ASSISTANT TO
FOR PROCUREMENT ASSISTANCE
ASSOCIATE ADMINISTRATOR
Harold K. Fletcher
Horace J. Crouch, Jr.
Level-V
GS-14
OFFICE OF PROCUREMENT
OFFICE OF
AND TECHNICAL ASSISTANCE
BUSINESS DEVELOPMENT
Robert F. McDermott
B. Winford Smith
GS-16
GS-16
PROPERTY SALES
SUBCONTRACTING
PROJECT
DIVISION
ASSISTANCE DIVISION
DEVELOPMENT DIVISION
(Vacant)
William P. Harris
A.E. Knight, Jr.
GS-15 (Proposed)
GS-14
GS-15
PRIME CONTRACTS
INDUSTRIAL SUPPORT
PROGRAM
DIVISION
SERVICES DIVISION
SUPPORT DIVISION
Don L. Hathaway
Harold S. Lang
Joseph E. Kernan
GS-15
GS-15
GS-15
TECHNOLOGY
PROGRAM
ASSISTANCE DIVISION
CONTROL DIVISION
Donald R. Templeman
Julio Perez
GS-15
GS-15
-41-
ASSOCIATE ADMINISTRATOR FOR PROCUREMENT ASSISTANCE
The Associate Administrator for Procurement Assistance -
Develops plans, operating procedures, and standards to effectively strengthen and improve the
Agency's procurement assistance programs, which includes Government property sales assistance,
to meet the existing and potential needs of the small business community.
Develops and recommends policies pertaining to the procurement assistance mission of the Agency.
Develops program goals and objectives within the framework of approved policies. Reviews and
evaluates program effectiveness.
Promotes nationwide the Agency's procurement assistance programs to increase the participation
of small business concerns in Government procurement awards and sales of Government property.
Promotes nationwide the Agency's 8(a) procurement program to increase the participation and
support of industrial concerns, professional and trade associations, local governments, and
community groups in developing entrepreneurship opportunities for disadvantaged groups, including
minorities, in manufacturing, construction, and service related industries.
Provides technical advice, assistance, and support to the Associate Administrator for Operations
relating to procurement assistance matters.
Represents the Administrator in negotiations with other Federal agencies whose activities relate
to Procurement Assistance program areas.
Serves as a member and Vice Chairman of the Size Appeals Board.
Operates as Small Business conduit for technology advancement.
Serves as a member of the Administrator's Management Board.
-42-
THE ASSOCIATE ADMINISTRATOR FOR PROCUREMENT ASSISTANCE
OFFICE OF PROCUREMENT AND TECHNICAL ASSISTANCE -
This Office develops and recommends policies. concerning the procurement assistance, technical
assistance, and property sales assistance programs. It develops plans, operating procedures,
and standards to effectively strengthen and improve the Agency's prime contract services, indus-
trial support services, subcontracting assistance, technology assistance, research and develop-
ment assistance, and property sales assistance programs to meet the needs of the small business
community. It also develops program goals and objectives within the framework of approved poli-
cies. Reviews and evaluates program effectiveness.
It represents SBA at the staff level of the Secretary of the Department of Defense and similar
Executive levels of other Federal agencies regarding matters involving procurement assistance
activities pertaining to specific technical matters. Recommends and participates in the develop-
ment and preparation of interagency agreements and related policies and regulations. Develops
and coordinates, in conjunction with the Assistant Administrator for Planning, Research and Data
Management, procedures for making economic studies to be utilized in strengthening the SBA procure-
ment assistance programs.
It develops and coordinates with the Department of Defense, General Services Administration, and
other government agencies programs, policies, goals, regulations, and procedures to ensure that a
fair portion of the total Government contracts, including research and development, and property
sales, is placed with small business concerns (such as the prime contracts and set-aside programs).
It provides for and coordinates SBA participation at procurement and property sales conferences
sponsored by other Federal agencies or on behalf of Congressional or local sponsors.
On receipt at headquarters level of specific complaints by individual small businessmen, it arranges
and participates in hearings with policy officials of congnizant Federal agencies to present the
position of the complainants and seek amendatory action.
Provides technical advice, assistance, and support to the Associate Administrator for Operations
relating to procurement assistance programs and dealing with Government procurement agencies.
-43-
OFFICE OF BUSINESS DEVELOPMENT -
This Office develops and recommends policies and procedures for utilization of the Agency's
authority under Section 8(a) of the Small Business Act. It develops plans, operating procedures,
goals and standards for execution of an effective and efficient program to implement Section 8(a)
of the Small Business Act, and it evaluates the Agency's efforts in meeting 8(a) program objectives.
The Office promotes the Agency's program to encourage the involvement of industrial concerns,
professional and trade associations, State and local governments, and community groups in support-
ing and providing assistance to small business firms being developed pursuant to Section 8(a) of the
Small Business Act, and to enlist their direct participation in providing technical, management,
financial, and procurement support to the individual entrepreneur.
It maintains effective liaison and coordination with other SBA organizational components and other
Federal agencies in the development of plans, policies, and procedures for providing assistance to
Section 8(a) supported firms under SBA and other agencies' programs. It provides advice, counsel,
assistance and support to other Agency organizations with respect to the activities of the Office of
Business Development.
It provides technical advice, assistance, guidance, and support to the Associate Administrator for
Operations relating to the business development program.
-44-
LEGISLATIVE COUNSEL
GENERAL COUNSEL
George M. Grant,Jr.
David Lambert
GS-15
GS-18
DEPUTY
William T. Gennetti
GS-17
OFFICE OF
OFFICE OF
OFFICE OF
FINANCE
INTERAGENCY AFFAIRS
LITIGATION
William T. Gennetti
Donald W. Farrell
Robert B. Webber
GS-17
GS-16
GS-16
-45-
GENERAL COUNSEL
The General Counsel -
Develops plans, procedures, and standards for providing legal services in support of SBA program
operations, including execution of loan closing and litigation activities by Agency counsel.
Develops and recommends policies governing the Agency legal functions and activities.
Develops program goals and objectives within the framework of approved policies. Reviews and
evaluates legal program effectiveness, including onsite visits to evaluate field office performance.
Analyzes and interprets legislation, regulations, and orders relating to the operation of the
Small Business Administration. Advises the Administrator, Deputy Administrator, Associate and
Assistant Administrators, and other key officials on the legal aspects of the development and
execution of policies and programs.
Negotiates with Federal agencies as to the legal aspects of matters pertaining to the responsi-
bilities of SBA and drafts resultant agreements. Develops legal theories incorporated in requests
to the Comptroller General or to other Federal agencies for decisions in matters of interest to
small business.
Provides legal counsel, advice, and assistance to the Associate Administrator for Operations and
other Central Office officials in connection with the financial, investment, administrative,
technical, procurement and management assistance, and minority enterprise programs, and in the
formation of defense production and research and development pools. Within approved policies,
gives direct legal advice and assistance to the field offices and exercises technical supervisory
responsibility with respect to legal functions in the field offices. Also, advises on eligibility
of applicants for assistance from SBA.
Advises with respect to servicing and liquidation of loans. Assists and participates with the
Department of Justice in litigation arising from delinquent loans, criminal matters, and other SBA
program activities. Prosecutes administrative proceedings pursuant to the Small Business Investment
Act.
-46-
Reviews legislative proposals affecting small business and develops recommendations for the
Office of Management and Budget and Congressional Committees; prepares legislative proposals
relating to SBA; and develops reports for Congressional hearings or the Office of the
President.
Serves as legal adviser to the Size Appeals Board.
Maintains liaison with governmental and other agencies having activities related to the legal
and advocacy functions of the Agency.
Serves as a member of the Administrator's Management Board.
-47-
ASSISTANT ADMINISTRATOR
FOR
MANAGEMENT ASSISTANCE
Henry S. Warren
GS-18
DEPUTY
John C. Patrick, Jr.
GS-16
OFFICE OF
OFFICE OF
OFFICE OF
MANAGEMENT
PROGRAM
MANAGEMENT
INFORMATION
EVALUATION
COUNSELING
AND TRAINING
AND FIELD
SERVICES
COORDINATION
Bruce G. Whiting
Lincoln A. Simon
GS-15
GS-15
Richard M. Sweeney
GS-15
-48-
ASSISTANT ADMINISTRATOR FOR MANAGEMENT ASSISTANCE
The Assistant Administrator for Management Assistance -
Develops and recommends policies concerning the management assistance and international trade
programs.
Develops program goals and objectives within the framework of approved policies. Reviews and
evaluates program effectiveness.
Develops plans, operating procedures, and standards to effectively strengthen and improve the
Agency's management information and training, management counseling, and management contracts pro-
grams to meet existing and potential needs of the small business community.
Develops plans, operating procedures, standards, goals, and objectives for providing management
assistance through volunteer or contract activity, including marketing analyses, feasibility and/or
engineering studies to applicant-borrowers, COC, and 8(a) recipients.
Develops and recommends policies concerning Agency use of volunteer management assistance groups,
such as SCORE (Service Corps of Retired Executives) and ACE (Active Corps of Executives) and main-
tains active liaison on behalf of SBA with such groups.
Develops and recommends policies and procedures for the administration and use of management con-
sultant contracts. Administers the SCORE, ACE, and other volunteer program activities on an Agency-
wide basis, with accent on recruitment and expansion of these programs in connection with borrower-
related management assistance.
Develops and recommends policies and procedures which emphasize the effectiveness of management
assistance to borrowers.
Develops and recommends policies and procedures for the administration of the Small Business Insti-
tute Program.
Develops and implements policies to carry out the Agency's international trade programs.
Develops and implements policies and procedures to administer the University Business Development
Center program.
Serves as a member of the Administrator's Management Board.
-49-
Provides technical advice, assistance, guidance, and support to the AA/O and other Central Office
officials with respect to the management assistance programs.
Maintains liaison with other SBA organizational components and other Federal agencies on matters
relating to the management assistance program.
OFFICE OF MANAGEMENT COUNSELING SERVICES -
This Office is responsible for the development, planning, and implementation of management counsel-
ing services. Program implementation is achieved through four basic resources - volunteers (Service
Corps of Retired Executives, Active Corps of Executives, professional and trade associations, etc.),
contract consultants, colleges and universities (Small Business Institute Program), and inhouse
professionals. The development and expansion of these resources, including the necessary contracts,
is the responsibility of this Office. Develops and monitors management counseling goals.
OFFICE OF MANAGEMENT INFORMATION AND TRAINING -
Develops and recommends Agency policy concerning the management information and training program.
Develops plans, operating procedures, and standards to effectively strengthen the training available
to the small business owner/manager and to insure the availability of current and concise small
business management publications. Develops training materials for courses, conferences, clinics
and workshops.
OFFICE OF PROGRAM EVALUATION AND FIELD COORDINATION -
Develops guidelines for the evaluation of the management assistance program and performs onsite
review visits. Works with field managers and management assistance personnel to resolve problems
onsite wherever possible. Assesses the effectiveness of current management assistance policies and
procedures. Develops Management Assistance Standard Operating Procedures. Develops program data
necessary for field managers to maintain program control. Develops new programs and manages pilot
tests. Manages the International Trade Program and the University Business Development Center Program.
-50-
ASSISTANT ADMINISTRATOR
FOR ADMINISTRATION
Roger H. Jones
GS-17
PROGRAM
EVALUATION STAFF
William S. True
OFFICE OF
GS-14
ACCOUNTING POLICY
OFFICE OF
OFFICE OF
PERSONNEL
BUDGET AND
AND PROCEDURES
MANAGEMENT
Joe Maas
FINANCE
SERVICES
POLICY
STAFF
GS-16
DEVELOPMENT STAFF
Herbert T. Mills
Matthew A. McCroddan
(Vacant)
GS-16
GS-15
ASSISTANT DIRECTOR
Samuel R. Silver
GS-15
(Vacant)
GS-14
GS-15
ACCOUNTING
ADMINISTRATIVE
EMPLOYMENT
TRAINING
OPERATIONS
SERVICES
DIVISION
DIVISION
DIVISION
DIVISION
Nancy C. Williams
John E. Lagos
W.W. Bears
Phyllis G. Thompson
GS-14
GS-14
GS-15
GS-15
REPORTS
EMPLOYEE
BUDGET
ORGANIZATION
MANAGEMENT
RELATIONS
AND POSITION
DIVISION
DIVISION
DIVISION
MANAGEMENT DIVISION
Harry S. Carver
GS-15
Richard P. Lewis
D. Keith Baker
Rex G. Matts
GS-14
GS-14
GS-14
FINANCIAL
OPERATIONS
DIVISION
Howard Y. Manwiller
GS-14
-51-
ASSISTANT ADMINISTRATOR FOR ADMINISTRATION
The Assistant Administrator for Administration -
Develops plans, systems, procedures and standards for effective implementation of budget and
finance, personnel and management services programs, including emergency preparedness activities.
Coordinates and maintains control over all formal and informal interagency committees, councils,
task forces, or other coordinating groups in which SBA participates.
Represents the Administrator in negotiations with other government agencies on matters relating
to office programs and activities, and develops goals and objectives for Agency administrative
and management activities. Reviews and evaluates their effectiveness.
Responsible for development of narrative and statistical testimony attendant to SBA's annual
Budget submission to Congress.
Administers the Agency's management studies, and personnel management program review activities
Agencywide.
Serves as a member of the Administrator's Management Board which formulates recommendations
regarding Agencywide policy and procedures.
-52-
ASSISTANT ADMINISTRATOR
FOR CONGRESSIONAL AND
LEGISLATIVE AFFAIRS
Thomas E. Cole
GS-17
OFFICE OF
OFFICE OF
CONGRESSIONAL
LEGISLATIVE
RELATIONS
AFFAIRS
Harold H. Griffin
(Vacant)
GS-15
GS-15 Requested
-53-
ASSISTANT ADMINISTRATOR FOR CONGRESSIONAL AND LEGISLATIVE AFFAIRS
This Office has the function of liaison with the Congress. It maintains a close liaison with
the Congressional committees concerned with the Agency and with members of Congress generally,
and also handles Congressional queries.
It also coordinates preparation of testimony, monitors Congressional Hearings, and advises the
Administrator on legislative matters.
The Assistant Administrator for Congressional and Legislative Affairs serves as a member of the
Administrator's Management Board.
-54-
CHIEF COUNSEL FOR ADVOCACY
OFFICE OF ADVOCACY PROGRAMS
(ASSISTANT ADMINISTRATOR FOR
ADVOCACY AND PUBLIC
COMMUNICATIONS)
Anthony S. Stasio (Acting)
(Presidential Appointment)
NATIONAL
ADVISORY
DEPUTY ASSISTANT ADMINISTRATOR
INTRA-AGENCY
COUNCILS
FOR ADVOCACY AND PUBLIC
SMALL BUSINESS
(STAFF)
COMMUNICATIONS
ADVISORY
Henry v.Z. Hyde
(Vacant)
GS-15
GS-18 (Proposed)
COMMITTEE
(Ad Hoc)
DIRECTOR,
DIRECTOR,
OFFICE OF ADVOCACY
OFFICE OF PUBLIC
PROGRAMS
COMMUNICATIONS
Stephen Mollett
(Vacant)
GS-15
GS-15
ADVOCATE FOR
ADVOCATE FOR SMALL BUSINESS
DIRECTOR
ORGANIZATIONS AND
PUBLIC
GOVERNMENT RELATIONS
VETERANS AFFAIRS
INFORMATION
(Vacant)
GS-15
William A. Black
Paul A. Lodato
GS-15
GS-15
ADVOCATE FOR
ADVOCATE FOR
DIRECTOR
WOMEN-IN-BUSINESS
SPECIAL ANALYSIS
PUBLIC AFFAIRS
AND CONSUMER AFFAIRS
Maureen C. Glebes
Barbara Dunn
(Vacant)
GS-14
GS-15
GS-15
-55-
CHIEF COUNSEL FOR ADVOCACY
(ASSISTANT ADMINISTRATOR FOR ADVOCACY AND PUBLIC COMMUNICATIONS)
The Chief Counsel for Advocacy (currently an Acting Assistant Administrator for Advocacy and
Public Communications) -
Develops plans, operating procedures, standards, program goals, and objectives to effectively
strengthen, improve and present the Agency's advocacy and public affairs and information functions.
Develops and recommends policies and procedures, and directs planning, organization and participa-
tion for the Small Business Administration with regard to the National Advisory Council's program.
Provides advice, assistance and support to the Associate Administrator for Operations in relation
to the field advisory council's program.
Directs the initiation of studies and the development of procedures to provide a narrative histori-
cal description of the small business sector to provide, in a timely manner, data for policy and
program formulation.
Ensures the initiation, coordination and development of the Agency's position as the principal
Government's advocate of small business. Promotes, counsels, and champions the position of and for
small business and the Agency with all Federal agencies and State governments. Develops an ongoing
relationship with same, as well as keeping abreast of pending Congressional action in order to
recommend, facilitate, and develop new programs and policies, or modification to existing programs
and policies. This responsibility is performed in coordination with key SBA management officials.
Ensures accomplishment of major studies and/or analyses of a special nature specifically assigned
to the advocacy function by higher authority, i.e., Administrator, legislative direction, or from
within the Executive Branch.
Directs the development of statements, briefings, and speeches for the Administrator and other key
SBA officials, and provides advice, assistance, and support to the Administrator, the Associate
Administrator for Operations, and other Central Office officials relating to the public affairs and
information programs.
Directs the development and coordination of an orientation program for visitors to the Central Office,
through which both international and domestic visitors are supplied with an overview of the opera-
tion and management of SBA programs.
-56-
Directs the development of Agency guidelines for making information and/or records available for
public use in conformance with the FOIA; acts as coordinator for the Agency regarding the cost
and availability of information and/or records requested by the public.
Serves as a member of the Administrator's Management Board.
-57-
ASSISTANT ADMINISTRATOR
FOR PLANNING, RESEARCH
AND DATA MANAGEMENT
Robert D. Holland
GS-18
OFFICE OF
OFFICE OF
THE CHIEF ECONOMIST
INFORMATION SYSTEMS
DATA MANAGEMENT
PLANNING STAFF
(Vacant)
(Vacant)
GS-15
Thomas C. Bresnan
No Grade Established
GS-15
SIZE STANDARDS
ENERGY, ENVIRONMENT
OPERATIONS DIVISION
& COMPETITIVE STRUCTURE
DIVISION
DIVISION
Joseph F. Tilko
William L. Pellington
GS-15
Raymond D. Marchakitus
GS-15
GS-15
SYSTEMS DIVISION
PLANNING AND
ECONOMIC RESEARCH &
PROGRAM EVALUATION
Richard J. Sadowski
STATISTICS DIVISION
GS-15
DIVISION
Glenn D. Morrow
GS-15
Stanley M. Linchuck
GS-15
-58-
ASSISTANT ADMINISTRATOR FOR PLANNING, RESEARCH AND DATA MANAGEMENT
The Assistant Administrator for Planning, Research and Data Management -
Reviews and comments to the Administrator upon all proposed legislation affecting the Agency or
other Federal agency programs having an impact on small business; conducts economic planning
studies and evaluations of the economic environment as it relates to the needs and problems of
the small business community; and initiates and participates in interagency studies dealing with
the critical aspects of the economy and public policy affecting small business.
Develops policies, plans, systems, and procedures to effectively strengthen and improve the
planning and program evaluation functions of the Agency; and conducts economic, cost/benefit,
program analysis and special studies of Agency activities to provide the Administrator and program
managers with alternative courses of action and policy.
Initiates studies and develops procedures to provide a historical and current statistical description
of the small business sector to provide, in a timely manner, data for policy and program formulation;
and develops and initiates studies of socio-economic and legislative changes which affect the
competitive position of small business.
Provides inhouse research capability and identifies and formulates economic and industry research
projects to be pursued under contract, and monitors such contracts approved by the Administrator.
Conducts studies, in cooperation with program offices, involving across-the-board investigations of
SBA programs to measure their effectiveness in terms of costs, benefits, and other considerations.
Serves as the central analytical staff to review and evaluate, in conjunction with appropriate
program offices, major program evaluation studies submitted to the Administrator.
Directs the development of and recommends new and changed size standards for all SBA programs. Is
responsible for the determination and interpretation of the SBA size standards, and serves as a
member of the Size Appeals Board, and as a member of the Administrator's Management Board.
Conducts all data processing and computer services for the Agency. Responsible for development of
plans, operating procedures and standards to effectively strengthen and improve the provision and
management of data processing, data communications, computer systems analysis, and related services
within the SBA.
-59-
KEY PERSONNEL - CAREER AND NONCAREER
(Biographical Summaries pertaining to the Administrator, Deputy Administrator, Associate and
Assistant Administrators, and the General Counsel are available in a separate briefing folder.)
OFFICE OF THE ADMINISTRATOR
POSITION
TYPE OF APPOINTMENT
GRADE OR LEVEL
OCCUPANT
Administrator
PAS
EX. III
Mitchell P. Kobelinski
Deputy Administrator
Schedule C
EX. IV
Louis F. Laun
Director, Office of Equal
CEA
GS-16
George H. Robinson
Employment Opportunity
and Compliance
Director, Office of Audits
CEA
GS-16
Raymond F. Randolph
and Investigations
Executive Assistant to the
Schedule C
GS-14
Anthony W. Parker
Administrator
OFFICE OF THE ASSOCIATE ADMINISTRATOR FOR FINANCE AND INVESTMENT
POSITION
TYPE OF APPOINTMENT
GRADE OR LEVEL
OCCUPANT
Associate Administrator
Schedule C
EX. V
John T. Wettach
for Finance and Investment
Deputy Associate for Investment
CEA
GS-17
Peter F. McNeish
Director, Office of Financing
CEA
GS-16
Arthur E. Armstrong
Director, Office of Portfolio
CEA
GS-16
Edwin T. Holloway
Management
Director, Office of Program
CEA
GS-16
VACANT
Development
Director, Office of Community
CEA
GS-16
Earl L. Chambers
Development
Director, Office of Portfolio
Career
GS-15
Frank A. Nicholas
Review
-60-
OFFICE OF THE ASSOCIATE ADMINISTRATOR FOR OPERATIONS
POSITION
TYPE OF APPOINTMENT
GRADE OR LEVEL
OCCUPANT
Associate Administrator for
Schedule C
EX. V
Daniel T. Kingsley
Operations
Deputy Associate Administrator
CEA
GS-16
Bernard Kulik
for Operations
OFFICE OF THE ASSOCIATE ADMINISTRATOR FOR PROCUREMENT ASSISTANCE
POSITION
TYPE OF APPOINTMENT
GRADE OR LEVEL
OCCUPANT
Associate Administrator for
Schedule C
EX. V
Harold K. Fletcher
Procurement Assistance
Director, Office of Procurement
CEA
GS-16
Robert F. McDermott
and Technical Assistance
Director, Office of Business
CEA
GS-16
Winford Smith
Development
OFFICE OF THE ASSOCIATE ADMINISTRATOR FOR MINORITY SMALL BUSINESS
POSITION
TYPE OF APPOINTMENT
GRADE OR LEVEL
OCCUPANT
Associate Administrator for
NEA
GS-18
Connie Mack Higgins
Minority Small Business
Deputy Associate Administrator
CEA
GS-16
Joseph J. Luna
for Minority Small Business
-61-
OFFICE OF GENERAL COUNSEL
POSITION
TYPE OF APPOINTMENT
GRADE OR LEVEL
OCCUPANT
General Counsel
NEA
GS-18
David Lambert
Deputy General Counsel
Schedule A
GS-17
William T. Gennetti
and
Associate General Counsel
Office of Finance
Associate General Counsel
Schedule A
GS-16
Donald W. Farrell
Interagency Affairs
Associate General Counsel
Schedule A
GS-16
Robert B. Webber
Litigation
Attorney-Advisor
Schedule A
GS-16
Richard B. McMurray
OFFICE OF THE ASSISTANT ADMINISTRATOR FOR ADMINISTRATION
POSITION
TYPE OF APPOINTMENT
GRADE OR LEVEL
OCCUPANT
Assistant Administrator
CEA
GS-17
Roger H. Jones
for Administration
Director, Office of Budget
CEA
GS-16
Herbert T. Mills
and Finance
Director, Office of
CEA
GS-16
Joe Maas
Personnel
Director, Office of
Career
GS-15
Vacant
Management Services
-62-
OFFICE OF THE ASSISTANT ADMINISTRATOR FOR CONGRESSIONAL AND LEGISLATIVE AFFAIRS
POSITION
TYPE OF APPOINTMENT
GRADE OR LEVEL
OCCUPANT
Assistant Administrator for
NEA
GS-17
Thomas E. Cole
Congressional & Legislative
Affairs
Director, Office of
Schedule C
GS-15
Harold H. Griffin
Congressional Relations
Congressional Relations
Schedule C
GS-15
Alexander Troffey
Officer
Congressional Relations
Schedule C
GS-14
Edward J. Neumann
Officer
Director, Office of
Schedule C
GS-15
VACANT
Legislative Affairs
OFFICE OF THE ASSISTANT ADMINISTRATOR FOR ADVOCACY & PUBLIC COMMUNICATIONS
(CHIEF COUNSEL FOR ADVOCACY)
POSITION
TYPE OF APPOINTMENT
GRADE OR LEVEL
OCCUPANT
Chief Counsel for Advocacy
PAS
EX. ?
VACANT*
Director, Office of Advocacy
CEA
GS-18
Anthony S. Stasio**
and International Affairs
Advisory Councils Officer
Schedule C
GS-15
Henry v.z. Hyde
Director, Office of Advocacy
Career
GS-15
Stephen Mollett
Programs
Director, Office of Public
Schedule C
GS-15
VACANT
Communications
*This position is a Presidential Appointment which has not been filled (P.L. 94-305)
**Mr. Stasio is currently acting as Assistant Administrator for Advocacy & Public Communications.
-63-
OFFICE OF THE ASSISTANT ADMINISTRATOR FOR PLANNING, RESEARCH AND DATA MANAGEMENT
POSITION
TYPE OF APPOINTMENT
GRADE OR LEVEL
OCCUPANT
Assistant Administrator for
NEA
GS-18
Robert D. Holland
Planning, Research & Data
Management
Chief Economist
Career
GS-15
VACANT
Director, Office of Data
Career
GS-15?
VACANT
Management
OFFICE OF THE ASSISTANT ADMINISTRATOR FOR MANAGEMENT ASSISTANCE
POSITION
TYPE OF APPOINTMENT
GRADE OR LEVEL
OCCUPANT
Assistant Administrator for
NEA
GS-18
Henry S. Warren
Management Assistance
Deputy Assistant Administrator
CEA
GS-16
John C. Patrick, Jr.
for Management Assistance
Director, Office of Management
Career
GS-15
Bruce G. Whiting
Information & Training
Director, Office of Management
Career
GS-15
Lincoln A. Simon
Counseling Services
Director, Office of Program
Career
GS-15
Richard M. Sweeney
Evaluation and Field
Coordination
-64-
REGION I - BOSTON
POSITION
TYPE OF APPOINTMENT
GRADE OR LEVEL
OCCUPANT
Regional Director
NEA
GS-16
Talbot DeG. Bulkley*
DISTRICT DIRECTOR POSITIONS
District Director - Boston
Career
GS-15
Albert J. Prendergast
District Director - Montpelier
Career
GS-15
David C. Emery
District Director - Hartford
Career
GS-15
Thomas E. Higgins
District Director - Providence
Career
GS-15
Charles J. Fogarty
District Director - Augusta
Career
GS-15
Thomas A. McGillicuddy
District Director - Concord
Career
GS-15
Bert F. Teague
*Employee has right to reinstatement in the career service in another position.
REGION II - NEW YORK
POSITION
TYPE OF APPOINTMENT
GRADE OR LEVEL
OCCUPANT
Regional Director
NEA
GS-17
Vacant
DISTRICT DIRECTOR POSITIONS
District Director - New York
CEA
GS-16
Woodie G. Williams
District Director - Syracuse
Career
GS-15
J. Wilson Harrison
District Director - Hato Rey
Career
GS-15
Antonio Yordan
District Director - Newark
Career
GS-15
Andrew P. Lynch
-65-
REGION III - PHILADELPHIA
POSITION
TYPE OF APPOINTMENT
GRADE OR LEVEL
OCCUPANT
Regional Director
NEA
GS-17
Vacant
DISTRICT DIRECTOR POSITIONS
District Director - Philadelphia
Career
GS-15
William B. Patterson
District Director - Richmond
Career
GS-15
Raymond P. Kuttenkuler
District Director - Washington, D. C.
Career
GS-15
Leon J. Bechet
District Director - Pittsburgh
Career
GS-15
Jack C. Forbes
District Director - Baltimore
Career
GS-15
Gerard J. Lang
District Director - Clarksburg
Career
GS-15
Isaac R. Mayfield
-66-
REGION IV - ATLANTA
POSITION
TYPE OF APPOINTMENT GRADE OR LEVEL
OCCUPANT
Regional Director
CEA
GS-16
Wiley S. Messick
DISTRICT DIRECTOR POSITIONS
District Director - Atlanta
Career
GS-15
John D. Sewell
District Director - Miami
Career
GS-15
Thomas A. Butler
District Director - Louisville
Career
GS-15
Richard B. Blankenship
District Director - Birmingham
Career
GS-15
James C. Barksdale
District Director - Charlotte
Career
GS-15
George W. Marschall
District Director - Columbia
Career
GS-15
Vern F. Amick
District Director - Jackson
Career
GS-15
Ardis Jones
District Director - Nashville
Career
GS-15
William J. Shaver
District Director - Jacksonville
Career
GS-15
Douglas E. McAllister
-67-
REGION V - CHICAGO
POSITION
TYPE OF APPOINTMENT
GRADE OR LEVEL
OCCUPANT
Regional Director
NEA
GS-17
Harold L. Aronson, Jr.
DISTRICT DIRECTOR POSITIONS
District Director - Chicago
CEA
GS-16
John L. Smith
District Director - Minneapolis
Career
GS-15
Paul W. Jansen
District Director - Detroit
Career
GS-15
Raymond L. Harshman
District Director - Cleveland
Career
GS-15
S. Charles Hemming, Jr.
District Director - Indianapolis
Career
GS-15
William F. Miller
District Director - Madison
Career
GS-15
Lucian G. Schlimgen, Jr.
District Director - Columbus
Career
GS-15
Frank D. Ray
-68-
REGION VI - DALLAS
POSITION
TYPE OF APPOINTMENT
GRADE OR LEVEL
OCCUPANT
Regional Director
CEA
GS-17
Fred S. Neumann
DISTRICT DIRECTOR POSITIONS
District Director - Dallas
Career
GS-15
Emly S. Atkinson
District Director - Lower Rio Grande
Career
GS-15
James R. Woodall
Valley
District Director - Little Rock
Career
GS-15
Maurice L. Britt
District Director - Houston
Career
GS-15
John L. Carey
District Director - Lubbock
Career
GS-15
Philip J. O'Jibway
District Director - New Orleans
Career
GS-15
William F. Murfin
District Director - Oklahoma City
Career
GS-15
Truman T. Branscum
District Director - San Antonio
Career
GS-15
James S. Reed
District Director - Albuquerque
Career
GS-15
Anthony Panagakos
-69-
REGION VII - KANSAS CITY
POSITION
TYPE OF APPOINTMENT GRADE OR LEVEL
OCCUPANT
Regional Director
NEA
GS-16
Deryl K. Schuster*
DISTRICT DIRECTOR POSITIONS
District Director - Kansas City
Career
GS-15
Gerald D. Jepson
District Director - Des Moines
Career
GS-15
Jay H. Sears
District Director - Omaha
Career
GS-15
Rick S. Budd
District Director - Wichita
Career
GS-15
Clayton Hunter
District Director - St. Louis
Career
GS-15
Thomas L. Holling
*Employee has right to reinstatement in the career service in another position.
-70-
REGION VIII 1 DENVER
POSITION
TYPE OF APPOINTMENT GRADE OR LEVEL
OCCUPANT
Regional Director
NEA
GS-16
Victor A. Rivera*
DISTRICT DIRECTOR POSITIONS
District Director - Denver
Career
GS-15
Douglas F. Graves
District Director - Fargo
Career
GS-15
E. Maine Shafer
District Director - Sioux Falls
Career
GS-15
Chester B. Leedom
District Director - Salt Lake City
Career
GS-15
Clair R. Hopkins
District Director - Helena
Career
GS-15
Ottley R. Tschache
District Director - Casper
Career
GS-15
Jerry S. King
*Employee has a right to reinstatement in the career service in another position.
-71-
REGION IX - SAN FRANCISCO
POSITION
TYPE OF APPOINTMENT
GRADE OR LEVEL
OCCUPANT
Regional Director
NEA
GS-17
Gilbert Montano
DISTRICT DIRECTOR POSITIONS
District Director - San Francisco
CEA
GS-16
Vacant*
District Director - Los Angeles
CEA
GS-16
Stewart L. Rollins
District Director - Las Vegas
Career
GS-14
Robert S. Garrett
District Director - Honolulu
Career
GS-14
David K. Nakagawa
District Director - San Diego
Career
GS-15
Fred D. Sergent
District Director - Phoenix
Career
GS-15
Stanley D. Goldberg
REGION X - SEATTLE
POSITION
TYPE OF APPOINTMENT
GRADE OR LEVEL
OCCUPANT
Regional Director
NEA
GS-16
Daniel B. Ward
DISTRICT DIRECTOR POSITIONS
District Director - Seattle
Career
GS-15
Robert F. Caldwell
District Director - Anchorage
Career
GS-15
Frank D. Cox
District Director - Portland
Career
GS-15
James D. Chapman
District Director - Boise
Career
GS-15
Oliver T. Davis
District Director - Spokane
Career
GS-15
William S. Schumacher
*Position undergoing active recruitment
-72-
POLICY AND SUPPORTING POSITIONS
SMALL BUSINESS ADMINISTRATION
Type of
Location
Position
Incumbent
appoint-
Grade or salary
Tenure
ment
OFFICE OF ADMINISTRATOR
Washington, D.C
Administrator
Mitchell P. Kobelinski
PAS
Level III
Do
Deputy Administrator
Louis F. Laun
C
Level IV
VP
Do
Executive Assistant to the Adminis-
Anthony W. Parker
C
GS-14
VP
trator.
Do
Confidential Assistant to the Adminis-
Dorothy C. Scale
C
GS-13
trator.
Do
Confidential Assistant to the Deputy
F. Marguerite Owens
C
GS-12
Administrator.
Do
Confidential Assistant
M. Catherine Koob
C
GS-9
ADVOCACY AND PUBLIC
COMMUNICATIONS
Do
Chief Counsel for Advocacy
Vacant
PAS
Level Vor GS-18
Do
Director, Office of Public Communi-
Vacant
C
GS-15
VP
cations.
Do
Advisory Councils Officer
Henry V. Z. Hyde
C
GS-15
Do
Project Officer
Richard B. Whitney
PL
$30,441
9/30/77
PROCUREMENT ASSISTANCE
Do
Associate Administrator for Procure-
Harold K. Fletcher
C
Level V
ment Assistance.
OPERATIONS
Do
Associate Administrator for Operations
Daniel T. Kingsley
C
do
VP
Do
Confidential Assistant (Secretary)
Patricia A. Ricck
C
GS-11
Do
Special Assistant
Suzanne C. DeFrancis
C
GS-11
FINANCE AND INVESTMENT
Do
Associate Administrator for Finance
John T. Wettach
C
Level V
and Investment.
Do
Confidential Assistant
Fada S. Cumbridge
C
GS-11
GENERAL COUNSEL
Do
General Counsel
David M. F. Lambert
NEA
GS-18
VP
Do
Confidential Assistant
Betty Brown
C
GS-11
MINORITY SMALL BUSINESS
Do
Associate Administrator for Minority
C. Mack Higgins
NEA
GS-18
VP
Small Business.
Do
Special Assistant
Clark D. Horvath
C
GS-15
Do
do
Leon B. Hampton
C
GS-14
VP
Do
do
Warren E. Boyd
C
GS-12
MANAGEMENT ASSISTANCE
Do
Associate Administrator for Manage-
Henry S. Warren
NEA
GS-18
VP
ment Assistance.
Do
Confidential Assistant
C
GS-14
CONGRESSIONAL AND LEGISLATIVE
AFFAIRS
Do
Assistant Administrator for Congres-
Thomas Cole
NEA
GS-17
VP
sional and Legislative Affairs.
Do
Director, Office of Congressional Rela-
Harold II. Griffin
C
GS-15
tions.
Do
Congressional Relations Officer
Alexander A. Troffey
Do
do
Edward J. Neumann
00
GS-15
VP
GS-14
REGIONAL DIRECTORS
California: San Francisco
Regional Director
Gilbert Montano
NEA
GS-17
Colorado: Denver
do
Victor M. Rivera
NEA
GS-16
Illinois: Chicago
do
Harold Aronson
NEA
GS-17
VP
Massachusetts: Boston
do
Talbot 11. Bulkley
NEA
GS-16
VP
Missouri: Kansas City
do
Deryl K. Schuster
NEA
GS-16
Pennsylvania: Philadelphia
do
Vacant
NEA
GS-17
New York: New York
do
Vacant
NEA
GS-17
VP
Washington: Seattle
do
Daniel B. Ward
NEA
GS-16
VP
-73-
INTERAGENCY RELATIONSHIPS
DEPARTMENT OF AGRICULTURE, DEPARTMENT OF THE INTERIOR
A program to provide loans to purchasers of national forest-timber for building primary
access roads has been developed through agreements with the Forest Service, Department of
Agriculture, and the Bureau of Land Management, Department of the Interior. Also, SBA
cooperates with the National Park Service, Department of Interior regarding "historic"
properties, which are within SBA jurisdiction.
OFFICE OF MANAGEMENT AND BUDGET
The Small Business Administration maintains a close working relationship with the Office
of Management and Budget in all matters pertaining to budget formulation and execution,
Management Objectives and Presidential Management Initiatives.
CIVIL SERVICE COMMISSION
The Small Business Administration works under the auspices of the Civil Service Commission
on all matters relating to personnel. Guidelines and directives are provided by the CSC in
the form of the Federal Personnel Manual, CSC publications, classification appeals and on-site
evaluations. In keeping with the regulations provided by the CSC, at all times SBA strives to
conduct a vigorous program of fairness in the area of personnel.
DEPARTMENT OF COMMERCE
The Small Business Administration works with the Economic Development Administration of the
Department of Commerce. A memorandum of understanding establishes SBA's responsibility in
assisting EDA in liquidation. SBA and the Department of Commerce also cooperate to help small
business engage in foreign trade, and to share in technical information developed by the
Department. SBA and the Office of Minority Business Enterprise in the Department of Commerce
have signed national and regional agreements to work together for the benefit of minority or
disadvantaged small business clients.
DEPARTMENT OF DEFENSE
The Small Business Administration works closely with the Department of Defense to assure that a
fair share of government procurements, and a fair share of sales of government property, go to
small firms. SBA upon occasion takes prime contracts with the Defense Department and subcontracts
the work to small firms; it works with the Defense Department to encourage subcontracting to
small firms by large prime contractors; SBA assists small business in obtaining benefits of
government research and development, and also provides technical assistance to small firms
engaged in government work. Cooperates with the Office of Economic Adjustment, Department of
Defense, in assisting communities impacted by military realignment.
- 74 -
INTERAGENCY RELATIONSHIPS
FEDERAL TRADE COMMISSION
The Equal Credit Opportunity Act of 1975 gave SBA authority for compliance of SBIC's, but gave
residual compliance authority to the Federal Trade Commission. To avoid duplication and assure
compliance, an understanding was reached with FTC which retained final authority, giving SBA
responsibility to monitor SBA program offices and recipients.
GENERAL ACCOUNTING OFFICE
The Office of Audits and Investigations is the Agency's liaison for all contacts concerning
audits and reviews being made by the General Accounting Office of SBA's activities.
DEPARTMENT OF HEALTH, EDUCATION, AND WELFARE
The Small Business Administration and HEW have a long standing memorandum of understanding
delegating certain authority under Title VI of the Civil Rights Act of 1964 to the Secretary
of HEW as to SBA recipients operating hospitals, nursing homes, convalescent homes and certain
education facilities described generally as elementary or secondary schools. However, because
of the size of most SBA recipients, when HEW declines to assume authority, SBA assumes its
responsibilities under alternative legal authority.
Executive Order 11914 requires coordination of enforcement activity of Section 504 of the
Rehabilitation Act of 1973 with the Secretary of HEW. Meetings, joint training, and corre-
spondence to carry out EO 11914 have occurred between our Compliance Division and HEW's Office
for Civil Rights.
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
Title VIII of the Civil Rights Act of 1968 gives certain coordinating responsibility regarding
the disposal of housing properties by Federal agencies. SBA is awaiting the publication of
guidelines by HUD, but is generally following HUD's own internal guidelines to ensure conformance
with the Civil Rights Act of 1968.
DEPARTMENT OF JUSTICE
The Small Business Administration coordinates its activities in assuring equal access to all
programs receiving Federal financial assistance without regard to race, color, or national
origin with the Federal Programs Section, Civil Rights Division, U.S. Department of Justice
under Title VI of the Civil Rights Act of 1964, and Executive Order 11764. The Department of
Justice also represents SBA in loan litigations and all matters pertaining to fraud, etc.
- 75 -
INTERAGENCY RELATIONSHIPS
DEPARTMENT OF LABOR
Part III of Executive Order 11246, as amended by Executive Order 11375, calls for the cooper-
ation of agencies and departments giving grants, loans, insurance or guarantees to applicants
or recipients resulting in Federally assisted housing.
The Equal Pay Act, enforced by the Wage and Hour Division of the Department of Labor and legal
prohibitions against employment discrimination based on sex which SBA must enforce cause over-
lapping jurisdiction.
SECURITIES AND EXCHANGE COMMISSION
The Securities and Exchange Commission and SBA both have responsibilities in regulating small
business investment companies.
TREASURY DEPARTMENT
In addition to normal disbursements, payroll and accounting reports, SBA cooperates with the
Internal Revenue Service of the Treasury Department on matters involving small business invest-
ment company taxes and other business tax studies. Also, an IRS/SBA memorandum of understanding
provides for notice to SBA before adverse action against a defaulting taxpayer/borrower, and tax
training services. A second agreement exists between SBA and the Comptroller of the Currency
whereby SBA will be provided with copies of bank examiner's reports regarding SBA guaranteed
loans which have "problem" characteristics.
The Treasury Department also qualifies private surety companies and sets the limits of their
bonding authority in connection with government contracts. SBA relies upon their qualifications
for surety companies permitted to participate in the Surety Bond Guarantee Program and commu-
nicates with Treasury regularly on this subject.
SBA was instrumental in the formation of a Small Business Advisory Council to the Secretary
of the Treasury. Also, SBA provided nominees to a special Small Business Advisory Committee
to the Commissioner of the Internal Revenue Service.
- 76 -
CONGRESSIONAL COMMITTEES AND SPECIAL INTEREST ORGANIZATIONS
SENATE COMMITTEES
Committee on Small Business now has legislative authority. It was originally established to study
and investigate the problems of small business so remedial legislation may be considered.
Chairman: Senator Gaylord Nelson - Wisconsin
Ranking Minority: Senator Jacob Javits - New York
Staff Director: William B. Cherkasky
Minority Counsel: Judah C. Sommer
Subcommittees
Subcommittee on Environmental, Rural & Urban Economic Development
Chairman: Senator Sam Nunn - Georgia
Subcommittee on Financing & Investment
Chairman: Senator John Sparkman - Alabama
Subcommittee on Government Procurement
Chairman: Senator William D. Hathaway - Maine
Subcommittee on Government Regulation
Chairman: Senator Thomas J. McIntyre - New Hampshire
Subcommittee on Monopoly
Chairman: Senator Gaylord Nelson - Wisconsin
Subcommittee on Retailing, Distribution, and Marketing Practices
Chairman: Unknown
Appropriations SBA appropriations are now under the purview of Subcommittee on Departments of
State, Justice, Commerce, the Judiciary and Related Agencies.
Chairman: Senator Thomas Eagleton - Missouri
Ranking Minority: Unknown
Staff Director: Terrence Sauvain
- 77 -
Finance has general legislative authority for all matters involving revenue and taxation, in-
cluding an SBA-proposed amendment of the Internal Revenue Code to permit a more liberal tax
treatment for small business investment companies.
Chairman: Senator Russell Long - Louisiana
Ranking Minority: Senator Carl Curtis - Nebraska
Chief Counsel: Michael Stern
HOUSE COMMITTEES
Committee on Small Business now has legislative authority. It was originally established to
study and investigate the problems of small business so remedial legislation may be considered.
Chairman: Tom Steed - Oklahoma
Ranking Minority: Rep. Silvio Conte - Massachusetts
Staff Director: Berhard Layne
Minority Counsel: James R. Phalen
Subcommittees
Subcommittee on Energy & Environment
Chairman: Rep. John D. Dingell - Michigan
Subcommittee on SBA & SBIC Legislation
Chairman: Rep. Neal Smith - Iowa
Subcommittee on Government Procurement & International Trade
Chairman: Rep. James C. Corman - California
Subcommittee on SBA Oversight & Minority Enterprise
Chairman: Rep. Joseph P. Addabbo - New York
Subcommittee on Activities of Regulatory Agencies
Chairman: Rep. John Breckinridge - Kentucky
Subcommittee on Commodities & Services
Chairman: Rep. Charles J. Carney - Ohio
Ad Hoc Subcommittee on Antitrust, The Robinson-Patman Act
Chairman: Rep. Henry B. Gonzalez - Texas
- 78 -
Appropriations SBA appropriations are under the purview of subcommittee on State, Justice,
Commerce and the Judiciary.
Chairman: John M. Slack - West Virginia
Ranking Minority - Rep. Elford Cederberg - Michigan
Staff Assistant: Dempsey B. Mizelle
Ways and Means has general legislative authority over matters involving revenue and taxation,
including an SBA-proposed amendment to the Internal Revenue Code to permit more liberal tax
treatment for small business investment companies.
Chairman: Rep. A1 Ullman - Oregon
Ranking Minority: Rep. Barber Conable - New York
Chief Counsel: John M. Martin
LEGISLATIVE CLEARANCE PROCESS
Legislative proposals and positions to be taken by SBA on proposals are coordinated with the
Office of Management and Budget for consideration and approval.
SPECIAL INTEREST GROUPS
SBA has established liaison with a number of special interest organizations, primarily:
American Bankers Association
National Bankers Association
Regional Association of Small Business Investment Companies
Urban League
InterRacial Council for Business Opportunity
International Franchise Association
National Association of Retail Druggists
National Chamber of Commerce
Regional and Local Chambers of Commerce
- 79 -
*
National Federation of Independent Business
*
National Association of Small Business Investment Companies
* National Business League
* Small Business Association of New England
* National Small Business Association
*
Independent Business Association of Wisconsin
*
Smaller Manufacturers Council
*
Council of Smaller Enterprises
*
(COSIBA) Council of Small and Independent Business Associations
- 80 -
BUDGET OVERVIEW AND FY 1977 PROGRAM GOALS
SBA's loan programs are financed from two revolving funds established July 1, 1966, by amendments
to the Small Business Act, Section 4(c) (P.L. 89-409). Previously there was a single revolving
fund.
The Business Loan and Investment Fund finances regular business loans, displaced business loans,
economic opportunity loans, and handicapped assistance loans under the Small Business Act,
Sections 7(a), 7(b), 7(i), and 7(h) respectively; and small business investment company loans
and debentures, and development company loans under the Small Business Investment Act, Titles III
and V respectively.
The Disaster Loan Fund finances loans to homeowners, businesses and nonprofit institutions which have
suffered losses from natural catastrophes and loans to small firms to enable them to comply with new
health and safety standards and those affected by the energy crisis.
The Lease Guarantee program, which is currently being terminated, is financed from a third revolving
fund authorized by P.L. 89-117.
The Surety Bond Program is financed from the Surety Bond Guarantees Revolving Fund established by
P.L. 93-386.
To alleviate the adverse impact of pollution regulations on small business P.L. 94-305, approved
June 4, 1976, established a new fund--the Pollution Control Equipment Contracts Guarantees Revolving
Fund.
Administrative expenses, interest expense payments to Treasury on outstanding cash disbursements
from the funds, interest expense payments to holders of participation certificates, and other related
expenses are also financed from the respective funds.
A direct appropriation finances those administrative expenses related to the Procurement Assistance
and Management Assistance activities.
A limitation of $7.25 billion has been placed on the amount of loans and commitments (reservations)
outstanding at one time from the Business Loan and Investment Fund. The limitation is broken down
as follows:
I I 81
Business loans (including a $450 million economic opportunity loan limitation) $6,000 million
Development company loans
525 million
Investment company loans
725 million
$7,250 million
Limitation on business loans will be reached in FY 1977 and on investment company and development
company loans in FY 1978. Legislation has been proposed to increase them.
I I 82
TABLE I
Comparison of Programs Administered by SBA in FY's 1968, 1976 and 1977 Plan with
SBA Employment Levels
FY 1977
MANAGEMENT ASSISTANCE
FY 1968
FY 1976
Current Plan
Business counselled
53,887
129,128
142,057
Training Courses
2,558
4,437
5,000
Attendance at these courses
84,326
183,630
200,000
SBI (Small Business Institute)
Students working
20,000
22,000
Colleges involved
No Program
400
410
UBDC
No Program
-0-
8
SCORE/ACE
(Service Corps of Retired
Executives/Active corps
of Executives)
Number working
3,000
8,759
11,500
406 Call Contracting Program
No Program
4,267 busi-
5,700
nesses served
Publications distributed
3,500,000
4,600,584
5,000,000
Film showings
2,300
3,845
5,100
Audience
75,700
109,045
153,000
PROCUREMENT ASSISTANCE
No 8(a) program for
2,106 contracts
2,154 contracts $405
socially and econom-
awarded for
million.
ically disadvantaged
$368,914,248.
companies.
No government purchas-
*
30
centers
30 centers to be reviewed.
ing center surveillance reviewed.
reviews.
- 83 -
Cont'd
Comparison of Programs Administered by SBA in FY's 1968, 1976 and 1977 Plan with
SBA Employment Levels
PROCUREMENT ASSISTANCE
No active timber
* 200 national
200 forests to be
sales program.
forests covered.
covered.
918 COC referrals
* 1,028 COC re-
1,100 COC referrals.
handled.
ferrals handled.
503 subcontract assist-
* 898 plants reviewed. 944 plant reviews.
ance plants reviewed.
FY 1977
FINANCIAL ASSISTANCE
FY 1968
FY 1976
CURRENT PLAN
*Lease Guarantees
Program started
41 for $14.7 million
*Surety Bond Guarantees
Zero
13,786 for $868.2 million
12,600 for $833.0 million
301 (d) (MESBICs)
Zero
79 licensees operating
90 licensees operating
*Pollution Control
Zero
-
10 for $40.0 million
Number
Number
Number
of
$ millions
of
$ millions
of
$ millions
Loan Programs
Loans
(SBA Share)
Loans
(SBA Share)
Loans
(SBA Share)
7 (a) Business
9,476
$384.7
21,845
$1,661.5
24,250
$2,195.0
Economic Opportunity
2,891
30.4
3,651
82.3
5,839
134.0
Pool Loans
-
-
-
-
-
I
Displaced Business
331
42.5
132
24.7
216
42.0
*Handicapped
-
-
152
10.6
659
50.0
State Dev. Company
2
.7
4
2.0
4
2.0
Local Dev. Company
414
48.4
294
34.7
466
74.0
*Economic Injury Disaster
-
-
20
1.1
* Product Disaster
-
-
7
0.3
- 84 -
Cont'd
Comparison of Programs Administered by SBA in FY's 1968, 1976 and 1977 Plans with
SBA Employment Levels
Number
Number
Number
of
$ millions
of
$ millions
of
$ millions
Loan Programs
Loans
(SBA Share)
Loans
(SBA Share)
Loans
(SBA Shares)
*Coal Mine Disaster
-
-
-
-
*Meat Product Disaster
-
-
16
4.1
*OSHA Disaster
-
-
33
5.0
*SALT Disaster
-
-
-
-
472
80.0
*Base Closings Disaster
-
-
35
5.6
*Air Pollution Disaster
I
-
19
3.5
*Water Pollution Disaster
-
-
25
5.4
*Emergency Energy Disaster
-
-
124
19.1
Total loan programs
(other than physical
disaster)
13,114
$506.7
26,357
$1,859.9
31,906
$2,577.0
Physical Disasters
14,130
110.5
20,381
134.4
9,000
60.0
Total All Loan Programs
27,244
617.2
46,738
1,994.3
40,906
2,637.0
Active Loans in Portfolio
102,000
$1,893.0
233,165
$7,417.1
246,000
$8,000.0
* New Programs Added Since 1968
SBA EMPLOYMENT LEVELS
FY 1968
FY 1976
FY 1977
Total Permanent Employees Authorized
4,360
4,339*
4,434
*
Includes 167 Authorized, but not funded until July 1, 1976
- 85 -
Comparison of Programs Administered by SBA in FY's 1968, 1976 and 1977 with
SBA Employment Levels
Cont'd
1977
MINORITY ENTERPRISE
FY 1968
FY 1976 ACTUAL
CURRENT PLAN
41 people in small community
SBA delivers virtually all
SBA delivers
economic development effort
of the Government's minority
virtually all of
about $35 million in loans.
business program with 136 in
the Government's
minority enterprise staff in
minority business
Central Office and field.
program with 167
Broad financial, procurement
in minority enter-
assistance programs go thru
prise staff in
all departments, use 35% of
Central Office and
all SBA personnel. Loans up
field. Broad fi-
sevenfold.
nancial, procure-
ment, and manage-
ment assistance
programs go through
all departments,
use 32% of all SBA
personnel. Loans
are estimated to
be up twelvefold.
None
Minority Vendors Program
Minority Vendors
operational.
Program opera-
tional.
EQUAL EMPLOYMENT
OPPORTUNITY AND
COMPLIANCE
Covered 3,000 companies
Covered 12,625 companies
Covered 15,000
employing 135,000 of whom
employing 699,591 of whom
companies employ-
12,000 (9%) were minorities.
154,478 (22%) were minori-
ing 750,000 of
ties. Also, of the total
whom 170,000
employed 213,472 were fe-
were minorities.
male or 31%.
- 86 -
Comparison of Programs Administered by SBA in FY's 1968, 1976 and 1977 with
SBA Employment Levels
Cont'd
ADVOCACY
None
Active advocacy effort
Title II of
in Central Office and field.
PL 94-305 di-
rects the Office
of Advocacy to
conduct a study
of small busi-
ness and the
role of minor-
ity business
in the eco-
nomy.
- 87 -