15 USC § 639 - Reporting requirements and agency cooperation
(a) Annual reports to President and Congressional officers and
committees
The Administration shall, as soon as practicable each
fiscal year make a comprehensive annual report to the President, the President
of the Senate, the Senate Select Committee on Small Business, and the Speaker of
the House of Representatives. Such report shall include a description of the
state of small business in the Nation and the several States, and a description
of the operations of the Administration under this chapter, including, but not
limited to, the general lending, disaster relief, Government regulation relief,
procurement and property disposal, research and development, technical
assistance, dissemination of data and information, and other functions under the
jurisdiction of the Administration during the previous fiscal year. Such report
shall contain recommendations for strengthening or improving such programs, or,
when necessary or desirable to implement more effectively congressional policies
and proposals, for establishing new or alternative programs. In addition, such
report shall include the names of the business concerns to whom contracts are
let and for whom financing is arranged by the Administration, together with the
amounts involved. With respect to minority small business concerns, the report
shall include the proportion of loans and other assistance under this chapter
provided to such concerns, the goals of the Administration for the next fiscal
year with respect to such concerns, and recommendations for improving assistance
to minority small business concerns under this chapter.
(b) Report of expenditures in conduct of activities; contents;
information to Congressional committees
The Administration shall make a report to the President,
the President of the Senate, and the Speaker of the House of Representatives, to
the Senate Select Committee on Small Business and to the Committee on Small
Business of the House of Representatives, as soon as practicable each fiscal
year, showing as accurately as possible for each such period the amount of funds
appropriated to it that it has expended in the conduct of each of its principal
activities such as lending, procurement, contracting, and providing technical
and managerial aids. Such report shall contain the number and amount of loans,
the number of applications, the total amount applied for, and the number and
amount of defaults for each type of equipment or service for which loans are
authorized by this this [1] chapter. Such report shall provide such
information separately on each type of loan made under paragraphs (10) through
(15) of section 636(a) of this title and separately for all other loan programs. In
addition, the information on loans shall be supplied on a monthly basis to the
Committee on Small Business of the Senate and the Committee on Small Business of
the House of Representatives.
(d) Annual report of Department of Defense
For the purpose of aiding in carrying out the national
policy to insure that a fair proportion of the total purchases and contracts for
property and services for the Government be placed with small-business
enterprises, and to maintain and strengthen the overall economy of the Nation,
the Department of Defense shall make an annual report to the Committees on Small
Business of the Senate and the House of Representatives, showing the amount of
funds appropriated to the Department of Defense which have been expended,
obligated, or contracted to be spent with small business concerns and the amount
of such funds expended, obligated, or contracted to be spent with firms other
than small business in the same fields of operation; and such reports shall show
separately the funds expended, obligated, or contracted to be spent for basic
and applied scientific research and development.
(e) Retention of records
(1) [2] The Administration and the Inspector General
of the Administration shall retain all correspondence, records of inquiries,
memoranda, reports, books, and records, including memoranda as to all
investigations conducted by or for the Administration, for a period of at least
one year from the date of each thereof, and shall at all times keep the same
available for inspection and examination by the Senate Select Committee on Small
Business and the Committee on Small Business of the House of Representatives, or
their duly authorized representatives.
(2)The Committee on Small Business of either the Senate or the House
of Representatives may request that the Office of the Inspector General of the
Administration conduct an investigation of any program or activity conducted
under the authority of section 636(j) or 637(a) of this title. Not later than thirty days after the receipt of
such a request, the Inspector General shall inform the committee, in writing, of
the disposition of the request by such office.
(f) Consultation and cooperation with Government departments
and agencies
To the extent deemed necessary by the Administrator to
protect and preserve small-business interests, the Administration shall consult
and cooperate with other departments and agencies of the Federal Government in
the formulation by the Administration of policies affecting small-business
concerns. When requested by the Administrator, each department and agency of the
Federal Government shall consult and cooperate with the Administration in the
formulation by such department or agency of policies affecting small-business
concerns, in order to insure that small-business interests will be recognized,
protected, and preserved. This subsection shall not require any department or
agency to consult or cooperate with the Administration in any case where the
head of such department or agency determines that such consultation or
cooperation would unduly delay action which must be taken by such department or
agency to protect the national interest in an emergency.
(g) Annual report of employee conduct complaints received or
acted upon and investigations undertaken by Administration
The Administration shall transmit, not later than December
31 of each year, to the Senate Select Committee on Small Business and Committee
on Small Business of the House of Representatives a sealed report with respect
to—
(h) Report to Congress on secondary market operations
The Administration shall transmit, not later than March 31
of each year, to the Committees on Small Business of the Senate and House of
Representatives a report on the secondary market operations during the preceding
calendar year. This report shall include, but not be limited to,
(1) the number and the total dollar amount of loans sold into the
secondary market and the distribution of such loans by size of loan, size of
lender, geographic location of lender, interest rate, maturity, lender servicing
fees, whether the rate is fixed or variable, and premium paid;
(2) the number and dollar amount of loans resold in the secondary
market with a distribution by size of loan, interest rate, and premiums;
(5) the dollar amount, interest rate, and terms on each loan in each
pool and whether the rate is fixed or variable;
(6) the number, face value, interest rate, and terms of the trust
certificates issued for each pool;
[1] So in original.
[2] Paragraph designation “(1)” supplied editorially.
Source
(Pub. L. 85–536, § 2[10], July 18, 1958, 72 Stat. 393; Pub. L. 87–305, § 5(a),Sept. 26, 1961, 75 Stat. 666; Pub. L. 89–348, § 1(3),Nov. 8, 1965, 79 Stat. 1310; Pub. L. 93–237, § 7,Jan. 2, 1974, 87 Stat. 1025; Pub. L. 93–386, § 4,Aug. 23, 1974, 88 Stat. 746; Pub. L. 93–608, § 3(4), (5),Jan. 2, 1975, 88 Stat. 1972; Pub. L. 95–89, title II, §§ 203–208, 211,Aug.
4, 1977, 91 Stat. 557, 558; Pub. L. 95–315, § 6,July 4, 1978, 92 Stat. 379; Pub. L. 97–35, title XIX, § 1904,Aug. 13, 1981, 95 Stat. 772; Pub. L. 98–352, § 4,July 10, 1984, 98 Stat. 331; Pub. L. 100–656, title IV, § 406,Nov. 15, 1988,
102 Stat. 3876; Pub. L. 101–37, § 15,June 15, 1989, 103 Stat. 73; Pub. L. 101–574, title II, § 241,Nov. 15, 1990,
104 Stat. 2826; Pub. L. 104–66, title I, § 1091(f),Dec. 21, 1995,
109 Stat. 722.)
Prior Provisions
Prior similar provisions were contained in sections 211
and 215 of act July 30, 1953, ch. 282, title II, 67 Stat. 237, 238, as amended by act Aug. 9, 1955, ch.
628, §§ 6, 10, 11,69 Stat. 550, 551, which were previously classified to
sections 640
and 644 of this title. The provisions of
section 210 of act July 30, 1953, formerly classified to this section, were
transferred to section 2
[8] of Pub. L. 85–536, and are classified to section 637(b)(2) of this title. See Codification note set out under
section 631 of this title.
Amendments
1995—Subsec. (c). Pub. L. 104–66struck out subsec. (c) which related to
surveys, and their corresponding reports and recommendations, for the
determination of factors tending to injure small businesses.
1990—Subsec. (d). Pub. L. 101–574substituted “the Department of Defense
shall make an annual report to the Committees on Small Business of the Senate
and the House of Representatives” for “the Department of Defense shall make a
monthly report to the President, the President of the Senate, the Senate Select
Committee on Small Business, and the Speaker of the House of Representatives not
less than 45 [“forty-five” in original text] days after the close of the month”,
“small business concerns” for “small-business concerns”, and “such reports” for
“such monthly reports”.
1989—Subsec. (e)(2). Pub. L. 101–37substituted “, of the disposition of the
request” for “of the disposition of the matter”.
1988—Subsec. (e). Pub. L. 100–656inserted “and the Inspector General of
the Administration” after “Administration”, which was executed by making the
insertion after the first reference to “Administration”, and added par. (2).
1984—Subsec. (h). Pub. L. 98–352added subsec. (h).
1981—Subsec. (b). Pub. L. 97–35substituted “this chapter. Such report
shall provide such information separately on each type of loan made under
paragraphs (10) through (15) of section 636(a) of this title and separately for all other loan programs. In
addition, the information on loans shall be supplied on a monthly basis to the
Committee on Small Business of the Senate and the Committee on Small Business of
the House of Representatives” for “this subsection, and on the projected and
actual energy savings and numbers of jobs created by firms through loans made
under section 636(l) of this title. The Department of Energy shall assist the
Administration in obtaining information and compiling this report”.
1978—Subsec. (b). Pub. L. 95–315inserted provisions requiring the report
to contain number and amount of loans, applications for loans, etc.
1977—Subsec. (a). Pub. L. 95–89, §§ 203, 211,
included the Senate Select Committee on Small Business as an additional
recipient of the annual report and provided for the contents of the report as it
relates to minority small business concerns.
Subsec. (b). Pub. L. 95–89, § 204, substituted “Committee on
Small Business of the House of Representatives” for “House Select Committee to
Conduct a Study and Investigation of the Problems of Small Business”.
Subsec. (c)(2). Pub. L. 95–89, § 205, included the Senate Select
Committee on Small Business as an additional recipient of the required reports.
Subsec. (d). Pub. L. 95–89, § 206, included the Senate Select
Committee on Small Business as an additional recipient of the required reports.
Subsec. (e). Pub. L. 95–89, § 207, substituted “Committee on
Small Business of the House of Representatives” for “House Select Committee To
Conduct a Study and Investigation of the Problems of Small Business”.
Subsec. (g). Pub. L. 95–89, § 208, substituted “Senate Select
Committee on Small Business and Committee on Small Business of the House of
Representatives” for “Committee on Banking, Housing and Urban Affairs of the
Senate and the Committee on Banking and Currency of the House of
Representatives”.
1975—Subsec. (a). Pub. L. 93–608, § 3(4), substituted “fiscal” for
“calendar” in two places and struck out provisions requiring report to contain
information on the progress of the Administration in liquidating the assets and
winding up the affairs of the Reconstruction Finance Corporation and other
information deemed appropriate by the Administration.
Subsec. (b). Pub. L. 93–608, § 3(5), substituted “as soon as
practicable each fiscal year” for “on December 31 of each year”.
1974—Subsec. (a). Pub. L. 93–237substituted provisions requiring the
Administration to make comprehensive annual reports to the President and
Congressional Officers as soon as practicable describing the state of the small
business in the Nation and the States, the operations of the Administration, and
recommendations for legislation, for provisions requiring the Administration to
make reports on Dec. 31 of each year to the President and Congressional
Officers.
Subsec. (g). Pub. L. 93–386added subsec. (g).
1965–Subsec. (a). Pub. L. 89–348repealed provision of subsec. (a) which
required as part of the annual report to the President and to Congress by the
Small Business Administration, a report on the progress in liquidating the
assets and winding up the affairs of the Reconstruction Finance Corporation.
1961—Subsec. (a). Pub. L. 87–305, § 5(a)(1), changed the reporting
requirements from semiannual to annual basis and required the inclusion of
information on the progress of the Administration in liquidating the assets and
winding up the affairs of the Reconstruction Finance Corporation, such
requirement to be in lieu of progress reports on a quarterly basis.
Subsec. (b). Pub. L. 87–305, § 5(a)(2), struck out “June 30
and” before “December 31”.
Subsec. (c). Pub. L. 87–305, § 5(a)(3), designated existing
provisions of first and second sentences as pars. (1) and (2), substituted
“direct” for “request” and “promote undue concentration of economic power, or
otherwise injure small business” for “injure small business, or otherwise
promote undue concentration of economic power in the course of the
administration of this chapter” and inserted “of any activity of the Government
which may affect small business,” after “surveys” in par. (1) and required
reports to be made not less than once every year in par. (2).
Change of Name
Committee on Small Business of Senate changed to Committee
on Small Business and Entrepreneurship of Senate. See Senate Resolution No. 123,
One Hundred Seventh Congress, June 29, 2001. Previously, Select Committee on
Small Business of Senate became Committee on Small Business of Senate. See
Senate Resolution No. 101, Ninety-Seventh Congress, Mar. 25, 1981.
Effective Date of 1989 Amendment
Amendment by Pub. L. 101–37applicable as if included in Pub. L. 100–656, see section 32 ofPub. L. 101–37, set out as a note under section 631 of this title.
Effective Date of 1981 Amendment
Amendment by Pub. L. 97–35effective Aug. 13, 1981, but shall not
affect any financing made, obligated, or committed under this chapter or chapter
14B of this title
prior to Aug. 13, 1981, see section 1918 ofPub. L. 97–35, set out as a note under section 631
of this title.
Termination of Reporting Requirements
For termination, effective May 15, 2000, of provisions in
subsecs. (a), (b), and (d) of this section relating to submitting annual reports
to Congress, see section 3003 ofPub. L. 104–66, as amended, set out as a note under
section 1113 of Title 31,
Money and Finance, and pages 64 and 191 of House Document No. 103–7.
Small Business Administration Program Data and Evaluation;
Report; Implementation
Pub. L. 100–590, title I, § 109,Nov. 3, 1988, 102 Stat. 2994, provided that: “The Small Business
Administration shall develop a comprehensive system to systematically acquire
data on the number of small businesses which participate in Administration
programs, the nature and extent of their participation, the type of business,
the results of such participation, and such other information as the
Administration deems appropriate. It shall also include the number and dollar
amount of guaranteed loans by lender, and the interest rate thereon, and the
number and dollar amount of sales in the secondary market both by lender and by
purchaser. The data shall be compiled and maintained to permit a statistically
valid analysis and computation and evaluation of costs and benefits. The
Administration shall submit a report to the Small Business Committees of the
Senate and the House of Representatives not later than March 31, 1989, such
report to include its conclusions and recommendations and estimate of the costs
involved in implementing such a program and shall implement the system for all
program assistance made available on or after October 1, 1989.”
Ex. Ord. No. 11518. Increased Representation of Interests of
Small Business Concerns Before Government Departments and Agencies
WHEREAS the policy of the Government of the United States
is to insure the continuance of a strong and healthy free enterprise system; and
WHEREAS the existence of a strong and healthy free
enterprise system is directly related to the well being and competitive strength
of small business concerns and their opportunities for free entry into business,
growth, and expansion; and
WHEREAS the departments and agencies of the United States
Government exercise, through their regulatory and other programs and practices,
a significant influence on the well being and competitive strength of business
concerns, particularly minority-owned business concerns, and their opportunities
for free entry into business, growth and expansion; and
WHEREAS members of minority groups traditionally have
aspired to own their own businesses and thereby to participate in our free
enterprise system; and
WHEREAS members of certain minority groups through no
fault of their own have been denied the full opportunity to achieve these
aspirations; and
WHEREAS the policy of the Executive Branch of the United
States Government continues to be, as was described by President Dwight D.
Eisenhower, “to strive to eliminate obstacles to the growth of small business”;
and
WHEREAS the Small Business Act (72 Stat. 384, 15
U.S.C. 631) declares the Congressional policy
that the United States Government should aid, counsel, assist and protect,
insofar as is possible, the interests of small business concerns; and
WHEREAS the Small Business Administration is the agency
within the Executive Branch of the United States Government especially
responsible for and with an established program of advocacy in matters relating
to small business; and
WHEREAS section 8(b)(12) of the Small Business Act (72 Stat. 391, 15
U.S.C. 637(b)(12)) empowers the Small Business Administration to consult
and cooperate with all Government agencies for the purpose of insuring that
small business concerns receive fair and reasonable treatment from such
agencies, and section 10(f) of that Act (72 Stat. 393, 15
U.S.C. 639(f)) requires each department and agency of the Federal
Government, when requested by the Administrator of the Small Business
Administration, to consult and cooperate with the Administration in the
formulation by such department or agency of policies affecting small business
concerns, in order to insure that small business interests will be recognized,
protected, and preserved:
NOW, THEREFORE, by virtue of the authority vested in me as
President of the United States and in furtherance of the purpose and policy of
the Small Business Act, it is ordered as follows:
Section 1. The Small Business Administration, as the
spokesman for and advocate of the small business community, shall advise and
counsel small business concerns in their dealings with the departments and
agencies of the United States Government to the end that the views of small
business concerns will be fully heard, their rights fully protected, and their
valid interests fully advanced.
Sec. 2. Departments and agencies of the Executive Branch
of the United States Government shall call upon the Small Business
Administration for advice, guidance, and assistance when considering matters
which reasonably can be construed as materially affecting the well being or
competitive strength of small business concerns or their opportunities for free
entry into business, growth, or expansion. In taking action on such matters,
these departments and agencies shall act in a manner calculated to advance the
valid interests of small business concerns.
Sec. 3. The Small Business Administration, whenever it
determines that the valid interests of small business concerns so warrant, shall
take such action as may be appropriate to insure the timely presentation to
departments and agencies of the United States Government of matters materially
affecting the well being or competitive strength of small business concerns or
their opportunities for free entry into business, growth, or expansion. To this
end, the Small Business Administration may participate in investigations,
hearings, or other proceedings pending before such departments or agencies and
submit evidence, briefs, and arguments in accordance with, and to the extent
permitted by, the department’s or agency’s rules of practice and procedure.
Sec. 4. In performing the responsibilities and duties
placed on it by this order, the Small Business Administration shall particularly
consider the needs and interests of minority-owned small business concerns and
of members of minority groups seeking entry into the business community.
Sec. 5. Nothing in this order shall be construed to
authorize the Small Business Administration to act as an attorney for an
individual concern in any investigation, hearing, or other proceeding pending
before any department or agency of the United States Government. Nothing in this
order shall be construed to subject any department or agency to the authority of
any other department or agency, to affect the present authority of any
department or agency to participate in the proceedings of another department or
agency, or to affect the authority of the Attorney General under 28
U.S.C. 519.
Sec. 6. The term “small business concern” as used in this
order shall have the same meaning as in the Small Business Act.
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