Regulations: 13 CFR 121

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Regulations: 13 CFR 121

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§ 120.972

13 CFR Ch. I (1–1–06 Edition)

the outstanding principal balance of
the loan being assumed.
(b) CSA fees. The CSA may charge an
initiation fee on each loan and a
monthly servicing fee under the terms
of the Master Servicing Agreement.
(c) Other agent fees. Agent fees and
charges necessary to market and service Debentures and Certificates may be
assessed to the Borrower or the investor. The fees must be approved by SBA
and published periodically in the FEDERAL REGISTER.
(d) SBA fees. (1) SBA charges a 0.5
percent guarantee fee on the Debenture.
(2) For loans approved by SBA after
September 30, 1996, SBA charges a fee
of not more than 0.9375 percent annually on the unpaid principal balance of
the loan as determined at five-year anniversary intervals.
(e) Miscellaneous fees. A funding fee
not to exceed 0.25 percent of the Debenture may be charged to cover costs incurred by the trustee, fiscal agent,
transfer agent.
[61 FR 3235, Jan. 31, 1996, as amended at 64
FR 2119, Jan. 13, 1999; 68 FR 57988, Oct. 7,
2003]

§ 120.972 Third Party Lender participation fee and CDC fee.
(a) Participation fee. For loans approved by SBA after September 30,
1996, SBA must collect a one-time fee
equal to 50 basis points on the Third
Party Lender’s participation in a
Project when the Third Party Lender
occupies a senior credit position to
SBA in the Project.
(b) CDC fee. For loans approved by
SBA after September 30, 1996, SBA
must collect an annual fee from the
CDC equal to 0.125 percent of the outstanding principal balance of the Debenture. The fee must be paid from the
servicing fees collected by the CDC and
cannot be paid from any additional fees
imposed on the Borrower.
[68 FR 57988, Oct. 7, 2003]

ENFORCEABILITY OF 501, 502 AND 503
LOANS AND OTHER LAWS
§ 120.990 501, 502 and 503 loans.
SBA has discontinued loan programs
for 501, 502, and 503 loans. Outstanding
loans remain under these programs,

and Borrowers, CDCs, and SBA must
comply with the terms and conditions
of the corresponding notes and Debentures, and the regulations in this part
in effect when the obligations were undertaken or last in effect, if applicable.
§ 120.991 Effect of other laws.
No State or local law may preclude
or limit SBA’s exercise of its rights
with respect to notes, guarantees, Debentures and Debenture Pools, or of its
enforcement rights to foreclose on collateral.

PART 121—SMALL BUSINESS SIZE
REGULATIONS
Subpart A—Size Eligibility Provisions and
Standards
PROVISIONS OF GENERAL APPLICABILITY
Sec.
121.101 What are SBA size standards?
121.102 How does SBA establish size standards?
121.103 How does SBA determine affiliation?
121.104 How does SBA calculate annual receipts?
121.105 How does SBA define ‘‘business concern or concern’’?
121.106 How does SBA calculate number of
employees?
121.107 How does SBA determine a concern’s
‘‘primary industry’’?
121.108 What are the penalties for misrepresentation of size status?
SIZE STANDARDS USED TO DEFINE SMALL
BUSINESS CONCERNS
121.201 What size standards has SBA identified by North American Industry Classification System codes?
SIZE ELIGIBILITY REQUIREMENTS FOR SBA
FINANCIAL ASSISTANCE
121.301 What size standards are applicable
to financial assistance programs?
121.302 When does SBA determine the size
status of an applicant?
121.303 What size procedures are used by
SBA before it makes a formal size determination?
121.304 What are the size requirements for
refinancing an existing SBA loan?
121.305 What size eligibility requirements
exist for obtaining financial assistance
relating to particular procurements?
SIZE ELIGIBILITY REQUIREMENTS FOR
GOVERNMENT PROCUREMENT
121.401 What procurement programs
subject to size determinations?

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are

Small Business Administration

Pt. 121

121.402 What size standards are applicable
to Federal Government Contracting programs?
121.403 Are SBA size determinations and
NAICS code designations binding on parties?
121.404 When does SBA determine the size
status of a business concern?
121.405 May a business concern self-certify
its small business size status?
121.406 How does a small business concern
qualify to provide manufactured products under small business set-aside or
8(a) contracts?
121.407 What are the size procedures for
multiple item procurements?
121.408 What are the size procedures for
SBA’s Certificate of Competency Program?
121.409 What size standard applies in an unrestricted procurement for Certificate of
Competency purposes?
121.410 What are the size standards for
SBA’s Section 8(d) Subcontracting Program?
121.411 What are the size procedures for
SBA’s Section 8(d) Subcontracting Program?
121.412 What are the size procedures for partial small business set-asides?
121.413 [Reserved]
SIZE ELIGIBILITY REQUIREMENTS FOR SALES
OR LEASE OF GOVERNMENT PROPERTY
121.501 What programs for sales or leases of
Government property are subject to size
determinations?
121.502 What size standards are applicable
to programs for sales or leases of Government property?
121.503 Are SBA size determinations binding
on parties?
121.504 When does SBA determine the size
status of a business concern?
121.505 What is the effect of a self-certification?
121.506 What definitions are important for
sales or leases of Government-owned timber?
121.507 What are the size standards and
other requirements for the purchase of
Government-owned timber (other than
Special Salvage Timber)?
121.508 What are the size standards and
other requirements for the purchase of
Government-owned Special Salvage Timber?
121.509 What is the size standard for leasing
of Government land for coal mining?
121.510 What is the size standard for leasing
of Government land for uranium mining?
121.511 What is the size standard for buying
Government-owned petroleum?
121.512 What is the size standard for stockpile purchases?

SIZE ELIGIBILITY REQUIREMENTS FOR THE 8(A)
BUSINESS DEVELOPMENT PROGRAM
121.601 What is a small business for purposes of admission to SBA’s 8(a) Business
Development program?
121.602 At what point in time must a 8(a)
BD applicant be small?
121.603 How does SBA determine whether a
Participant is small for a particular 8(a)
BD subcontract?
121.604 Are 8(a) BD Participants considered
small for purposes of other SBA assistance?
SIZE ELIGIBILITY REQUIREMENTS FOR THE
SMALL BUSINESS INNOVATION RESEARCH
(SBIR) PROGRAM
121.701 What SBIR programs are subject to
size determinations?
121.702 What size standards are applicable
to the SBIR program?
121.703 Are formal size determinations binding on parties?
121.704 When does SBA determine the size
status of a business concern?
121.705 Must a business concern self-certify
its size status?
SIZE ELIGIBILITY REQUIREMENTS FOR PAYING
REDUCED PATENT FEES
121.801 May patent fees be reduced if a concern is small?
121.802 What size standards are applicable
to reduced patent fees programs?
121.803 Are formal size determinations binding on parties?
121.804 When does SBA determine the size
status of a business concern?
121.805 May a business concern self-certify
its size status?
SIZE ELIGIBILITY REQUIREMENTS FOR COMPLIANCE WITH PROGRAMS OF OTHER AGENCIES
121.901 Can other Government agencies obtain SBA size determinations?
121.902 What size standards are applicable
to programs of other agencies?
121.903 How may an agency use size standards for its programs that are different
than those established by SBA?
121.904 When does SBA determine the size
status of a business concern?
PROCEDURES FOR SIZE PROTESTS AND
REQUESTS FOR FORMAL SIZE DETERMINATIONS
121.1001 Who may initiate a size protest or a
request for formal size determination?
121.1002 Who makes a formal size determination?
121.1003 Where should a size protest be filed?
121.1004 What time limits apply to size protests?
121.1005 How must a protest be filed with
the contracting officer?

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§ 121.101

13 CFR Ch. I (1–1–06 Edition)

121.1006 When will a size protest be referred
to an SBA Government Contracting Area
Office?
121.1007 Must a protest of size status relate
to a particular procurement and be specific?
121.1008 What occurs after SBA receives a
size protest or request for a formal size
determination?
121.1009 What are the procedures for making
the size determination?
121.1010 How does a concern become recertified as a small business?
APPEALS OF SIZE DETERMINATIONS AND
NAICS CODE DESIGNATIONS
121.1101 Are formal size determinations subject to appeal?
121.1102 Are NAICS code designations subject to appeal?
121.1103 What are the procedures for appealing an NAICS code designation?

from the National Technical Information Service, 5285 Port Royal Road,
Springfield, VA 22161; by calling 1(800)
553–6847 or 1(703) 605–6000; or via the
Internet at http://www.ntis.gov/yellowbk/
1nty205.htm. The manual includes definitions for each industry, tables showing relationships between 1997 NAICS
and 1987 SICs, and a comprehensive
index. NAICS assigns codes to all economic activity within twenty broad
sectors. Section 121.201 provides a full
table of small business size standards
matched to the U.S. NAICS industry
codes. A full table matching a size
standard with each NAICS Industry or
U.S. Industry code is also published annually by SBA in the FEDERAL REGISTER.
[65 FR 30840, May 15, 2000, as amended at 67
FR 52602, Aug. 13, 2002]

Subpart B—Other Applicable Provisions
WAIVERS OF THE NONMANUFACTURER RULE
FOR CLASSES OF PRODUCTS AND INDIVIDUAL
CONTRACTS
121.1201 What is the Nonmanufacturer Rule?
121.1202 When will a waiver of the Nonmanufacturer Rule be granted for a class
of products?
121.1203 When will a waiver of the Nonmanufacturer Rule be granted for an individual contract?
121.1204 What are the procedures for requesting and granting waivers?
121.1205 How is a list of previously granted
class waivers obtained?
AUTHORITY: 15 U.S.C. 632, 634(b)(6), 636(b),
637(a), 644, and 662(5); and Pub. L. 105–135, sec.
401 et seq., 111 Stat. 2592.
SOURCE: 61 FR 3286, Jan. 31, 1996, unless
otherwise noted.

Subpart A—Size Eligibility
Provisions and Standards
PROVISIONS OF GENERAL APPLICABILITY
§ 121.101 What are SBA size standards?
(a) SBA’s size standards define
whether a business entity is small and,
thus, eligible for Government programs
and preferences reserved for ‘‘small
business’’ concerns. Size standards
have been established for types of economic activity, or industry, generally
under the North American Industry
Classification System (NAICS).
(b) NAICS is described in the North
American Industry Classification Manual—United States, which is available

§ 121.102 How does SBA establish size
standards?
(a) SBA considers economic characteristics comprising the structure of an
industry, including degree of competition, average firm size, start-up costs
and entry barriers, and distribution of
firms by size. It also considers technological changes, competition from
other industries, growth trends, historical activity within an industry,
unique factors occurring in the industry which may distinguish small firms
from other firms, and the objectives of
its programs and the impact on those
programs of different size standard levels.
(b) As part of its review of a size
standard, SBA will investigate if any
concern at or below a particular standard would be dominant in the industry.
SBA will take into consideration market share of a concern and other appropriate factors which may allow a concern to exercise a major controlling influence on a national basis in which a
number of business concerns are engaged. Size standards seek to ensure
that a concern that meets a specific
size standard is not dominant in its
field of operation.
(c) As part of its review of size standards, SBA’s Office of Size Standards
will examine the impact of inflation on
monetary-based size standards (e.g., receipts, net income, assets) at least once
every five years and submit a report to

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Small Business Administration

§ 121.103

the Administrator or designee. If SBA
finds that inflation has significantly
eroded the value of the monetary-based
size standards, it will issue a proposed
rule to increase size standards.
(d) Please address any requests to
change existing size standards or establish new ones for emerging industries
to the Assistant Administrator for Size
Standards, Small Business Administration, 409 3rd Street, SW., Washington,
DC 20416.
[61 FR 3286, Jan. 31, 1996, as amended at 67
FR 3045, Jan. 23, 2002]

§ 121.103 How does SBA determine affiliation?
(a) General Principles of Affiliation. (1)
Concerns and entities are affiliates of
each other when one controls or has
the power to control the other, or a
third party or parties controls or has
the power to control both. It does not
matter whether control is exercised, so
long as the power to control exists.
(2) SBA considers factors such as
ownership, management, previous relationships with or ties to another concern, and contractual relationships, in
determining whether affiliation exists.
(3) Control may be affirmative or
negative. Negative control includes,
but is not limited to, instances where a
minority shareholder has the ability,
under the concern’s charter, by-laws,
or shareholder’s agreement, to prevent
a quorum or otherwise block action by
the board of directors or shareholders.
(4) Affiliation may be found where an
individual, concern, or entity exercises
control indirectly through a third
party.
(5) In determining whether affiliation
exists, SBA will consider the totality
of the circumstances, and may find affiliation even though no single factor is
sufficient to constitute affiliation.
(6) In determining the concern’s size,
SBA counts the receipts, employees, or
other measure of size of the concern
whose size is at issue and all of its domestic and foreign affiliates, regardless
of whether the affiliates are organized
for profit.
(b) Exceptions to affiliation coverage.
(1) Business concerns owned in whole
or substantial part by investment companies licensed, or development companies qualifying, under the Small Busi-

ness Investment Act of 1958, as amended, are not considered affiliates of such
investment companies or development
companies.
(2)(i) Business concerns owned and
controlled by Indian Tribes, Alaska Native Corporations (ANCs) organized
pursuant to the Alaska Native Claims
Settlement Act (43 U.S.C. 1601 et seq.),
Native Hawaiian Organizations (NHOs),
Community Development Corporations
(CDCs) authorized by 42 U.S.C. 9805, or
wholly-owned entities of Indian Tribes,
ANCs, NHOs, or CDCs are not considered affiliates of such entities.
(ii) Business concerns owned and controlled by Indian Tribes, ANCs, NHOs,
CDCs, or wholly-owned entities of Indian Tribes, ANCs, NHOs, or CDCs are
not considered to be affiliated with
other concerns owned by these entities
because of their common ownership or
common management. In addition, affiliation will not be found based upon
the performance of common administrative services, such as bookkeeping
and payroll, so long as adequate payment is provided for those services. Affiliation may be found for other reasons.
(3) Business concerns which are part
of an SBA approved pool of concerns
for a joint program of research and development as authorized by the Small
Business Act are not affiliates of one
another because of the pool.
(4) Business concerns which lease employees from concerns primarily engaged in leasing employees to other
businesses or which enter into a co-employer arrangement with a Professional Employer Organization (PEO)
are not affiliated with the leasing company or PEO solely on the basis of a
leasing agreement.
(5) For financial, management or
technical assistance under the Small
Business Investment Act of 1958, as
amended, (an applicant is not affiliated
with the investors listed in paragraphs
(b)(5) (i) through (vi) of this section.
(i) Venture capital operating companies, as defined in the U.S. Department
of Labor regulations found at 29 CFR
2510.3–101(d);
(ii) Employee benefit or pension
plans established and maintained by
the Federal government or any state,
or their political subdivisions, or any

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§ 121.103

13 CFR Ch. I (1–1–06 Edition)

agency or instrumentality thereof, for
the benefit of employees;
(iii) Employee benefit or pension
plans within the meaning of the Employee Retirement Income Security
Act of 1974, as amended (29 U.S.C. 1001,
et seq.);
(iv) Charitable trusts, foundations,
endowments, or similar organizations
exempt from Federal income taxation
under section 501(c) of the Internal
Revenue Code of 1986, as amended (26
U.S.C. 501(c));
(v) Investment companies registered
under the Investment Company Act of
1940, as amended (1940 Act) (15 U.S.C.
80a-1, et seq.); and
(vi) Investment companies, as defined
under the 1940 Act, which are not registered under the 1940 Act because they
are beneficially owned by less than 100
persons, if the company’s sales literature or organizational documents
indicate that its principal purpose is
investment in securities rather than
the operation of commercial enterprises.
(6) A protege firm is not an affiliate
of a mentor firm solely because the
protege firm receives assistance from
the mentor firm under Federal MentorProtege programs. Affiliation may be
found for other reasons.
(7) The member shareholders of a
small agricultural cooperative, as defined in the Agricultural Marketing
Act (12 U.S.C. 1141j), are not considered
affiliated with the cooperative by virtue of their membership in the cooperative.
(c) Affiliation based on stock ownership. (1) A person (including any individual, concern or other entity) that
owns, or has the power to control, 50
percent or more of a concern’s voting
stock, or a block of voting stock which
is large compared to other outstanding
blocks of voting stock, controls or has
the power to control the concern.
(2) If two or more persons (including
any individual, concern or other entity) each owns, controls, or has the
power to control less than 50 percent of
a concern’s voting stock, and such minority holdings are equal or approximately equal in size, and the aggregate
of these minority holdings is large as
compared with any other stock holding, SBA presumes that each such per-

son controls or has the power to control the concern whose size is at issue.
This presumption may be rebutted by a
showing that such control or power to
control does not in fact exist.
(3) If a concern’s voting stock is
widely held and no single block of
stock is large as compared with all
other stock holdings, the concern’s
Board of Directors and CEO or President will be deemed to have the power
to control the concern in the absence
of evidence to the contrary.
(d) Affiliation arising under stock options, convertible securities, and agreements to merge. (1) In determining size,
SBA considers stock options, convertible securities, and agreements to
merge (including agreements in principle) to have a present effect on the
power to control a concern. SBA treats
such options, convertible securities,
and agreements as though the rights
granted have been exercised.
(2) Agreements to open or continue
negotiations towards the possibility of
a merger or a sale of stock at some
later date are not considered ‘‘agreements in principle’’ and are thus not
given present effect.
(3) Options, convertible securities,
and agreements that are subject to
conditions precedent which are incapable of fulfillment, speculative, conjectural, or unenforceable under state or
Federal law, or where the probability
of the transaction (or exercise of the
rights) occurring is shown to be extremely remote, are not given present
effect.
(4) An individual, concern or other
entity that controls one or more other
concerns cannot use options, convertible securities, or agreements to appear
to terminate such control before actually doing so. SBA will not give present
effect to individuals’, concerns’ or
other entities’ ability to divest all or
part of their ownership interest in
order to avoid a finding of affiliation.
(e) Affiliation based on common management. Affiliation arises where one or
more officers, directors, managing
members, or partners who control the
board of directors and/or management
of one concern also control the board of
directors or management of one or
more other concerns.

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Small Business Administration

§ 121.103

(f) Affiliation based on identity of interest. Affiliation may arise among two or
more persons with an identity of interest. Individuals or firms that have
identical or substantially identical
business or economic interests (such as
family members, individuals or firms
with common investments, or firms
that
are
economically
dependent
through contractual or other relationships) may be treated as one party with
such interests aggregated. Where SBA
determines that such interests should
be aggregated, an individual or firm
may rebut that determination with
evidence showing that the interests
deemed to be one are in fact separate.
(g) Affiliation based on the newly organized concern rule. Affiliation may arise
where former officers, directors, principal stockholders, managing members,
or key employees of one concern organize a new concern in the same or related industry or field of operation, and
serve as the new concern’s officers, directors, principal stockholders, managing members, or key employees, and
the one concern is furnishing or will
furnish the new concern with contracts, financial or technical assistance, indemnification on bid or performance bonds, and/or other facilities,
whether for a fee or otherwise. A concern may rebut such an affiliation determination by demonstrating a clear
line of fracture between the two concerns. A ‘‘key employee’’ is an employee who, because of his/her position
in the concern, has a critical influence
in or substantive control over the operations or management of the concern.
(h) Affiliation based on joint ventures.
A joint venture is an association of individuals and/or concerns with interests in any degree or proportion by way
of contract, express or implied, consorting to engage in and carry out no
more than three specific or limitedpurpose business ventures for joint
profit over a two year period, for which
purpose they combine their efforts,
property, money, skill, or knowledge,
but not on a continuing or permanent
basis for conducting business generally. This means that the joint venture entity cannot submit more than
three offers over a two year period,
starting from the date of the submission of the first offer. A joint venture

may or may not be in the form of a separate legal entity. The joint venture is
viewed as a business entity in determining power to control its management. SBA may also determine that
the relationship between a prime contractor and its subcontractor is a joint
venture, and that affiliation between
the two exists, pursuant to paragraph
(h)(4) of this section.
(1) Parties to a joint venture are affiliates if any one of them seeks SBA
financial assistance for use in connection with the joint venture.
(2) Except as provided in paragraph
(h)(3) of this section, concerns submitting offers on a particular procurement
or property sale as joint venturers are
affiliated with each other with regard
to the performance of that contract.
(3) Exception to affiliation for certain
joint ventures. (i) A joint venture of two
or more business concerns may submit
an offer as a small business for a Federal procurement without regard to affiliation under paragraph (h) of this
section so long as each concern is small
under the size standard corresponding
to the NAICS code assigned to the contract, provided:
(A) The procurement qualifies as a
‘‘bundled’’ requirement, at any dollar
value,
within
the
meaning
of
§ 125.2(d)(1)(i) of this chapter; or
(B) The procurement is other than a
‘‘bundled’’ requirement within the
meaning of § 125.2(d)(1)(i) of this chapter, and:
(1) For a procurement having a receipts based size standard, the dollar
value of the procurement, including options, exceeds half the size standard
corresponding to the NAICS code assigned to the contract; or
(2) For a procurement having an employee-based size standard, the dollar
value of the procurement, including options, exceeds $10 million.
(ii) A joint venture of at least one
8(a) Participant and one or more other
business concerns may submit an offer
for a competitive 8(a) procurement
without regard to affiliation under
paragraph (h) of this section so long as
the requirements of § 124.513(b)(1) of
this chapter are met.
(iii) Two firms approved by SBA to be
a mentor and prote´ge´ under 13 CFR
124.520 may joint venture as a small

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§ 121.104

13 CFR Ch. I (1–1–06 Edition)

business for any Federal Government
procurement, provided the prote´ge´
qualifies as small for the size standard
corresponding to the NAICS code assigned to the procurement and, for purposes of 8(a) sole source requirements,
has not reached the dollar limit set
forth in 13 CFR 124.519.
(4) A contractor and its ostensible
subcontractor are treated as joint venturers, and therefore affiliates, for size
determination purposes. An ostensible
subcontractor is a subcontractor that
performs primary and vital requirements of a contract, or of an order
under a multiple award schedule contract, or a subcontractor upon which
the prime contractor is unusually reliant. All aspects of the relationship between the prime and subcontractor are
considered, including, but not limited
to, the terms of the proposal (such as
contract management, technical responsibilities, and the percentage of
subcontracted work), agreements between the prime and subcontractor
(such as bonding assistance or the
teaming agreement), and whether the
subcontractor is the incumbent contractor and is ineligible to submit a
proposal because it exceeds the applicable size standard for that solicitation.
(5) For size purposes, a concern must
include in its receipts its proportionate
share of joint venture receipts, and in
its total number of employees its proportionate share of joint venture employees.
(i) Affiliation based on franchise and license agreements. The restraints imposed on a franchisee or licensee by its
franchise or license agreement relating
to standardized quality, advertising,
accounting format and other similar
provisions, generally will not be considered in determining whether the
franchisor or licensor is affiliated with
the franchisee or licensee provided the
franchisee or licensee has the right to
profit from its efforts and bears the
risk of loss commensurate with ownership. Affiliation may arise, however,
through other means, such as common
ownership, common management or ex-

cessive restrictions upon the sale of the
franchise interest.
[61 FR 3286, Jan. 31, 1996, as amended at 62
FR 26381, May 14, 1997; 63 FR 35738, June 30,
1998; 64 FR 57370, Oct. 25, 1999; 65 FR 30840,
May 15, 2000; 65 FR 35812, June 6, 2000; 65 FR
45833, July 26, 2000; 69 FR 29201, May 21, 2004;
70 FR 51248, Aug. 30, 2005]

§ 121.104 How does SBA calculate annual receipts?
(a) Receipts means ‘‘total income’’ (or
in the case of a sole proprietorship,
‘‘gross income’’) plus ‘‘cost of goods
sold’’ as these terms are defined and reported on Internal Revenue Service
(IRS) tax return forms (such as Form
1120 for corporations; Form 1120S and
Schedule K for S corporations; Form
1120, Form 1065 or Form 1040 for LLCs;
Form 1065 and Schedule K for partnerships; Form 1040, Schedule F for farms;
Form 1040, Schedule C for other sole
proprietorships). Receipts do not include net capital gains or losses; taxes
collected for and remitted to a taxing
authority if included in gross or total
income, such as sales or other taxes
collected from customers and excluding taxes levied on the concern or its
employees; proceeds from transactions
between a concern and its domestic or
foreign affiliates; and amounts collected for another by a travel agent,
real estate agent, advertising agent,
conference management service provider, freight forwarder or customs
broker. For size determination purposes, the only exclusions from receipts are those specifically provided
for in this paragraph. All other items,
such as subcontractor costs, reimbursements for purchases a contractor
makes at a customer’s request, and employee-based costs such as payroll
taxes, may not be excluded from receipts.
(1) The Federal income tax return
and any amendments filed with the
IRS on or before the date of self-certification must be used to determine the
size status of a concern. SBA will not
use tax returns or amendments filed
with the IRS after the initiation of a
size determination.
(2) When a concern has not filed a
Federal income tax return with the
IRS for a fiscal year which must be included in the period of measurement,

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§ 121.105

SBA will calculate the concern’s annual receipts for that year using any
other available information, such as
the concern’s regular books of account,
audited financial statements, or information contained in an affidavit by a
person with personal knowledge of the
facts.
(b) Completed fiscal year means a taxable year including any short year.
‘‘Taxable year’’ and ‘‘short year’’ have
the meanings attributed to them by
the IRS.
(c) Period of measurement. (1) Annual
receipts of a concern that has been in
business for three or more completed
fiscal years means the total receipts of
the concern over its most recently
completed three fiscal years divided by
three.
(2) Annual receipts of a concern
which has been in business for less
than three complete fiscal years means
the total receipts for the period the
concern has been in business divided by
the number of weeks in business, multiplied by 52.
(3) Where a concern has been in business three or more complete fiscal
years but has a short year as one of the
years within its period of measurement, annual receipts means the total
receipts for the short year and the two
full fiscal years divided by the total
number of weeks in the short year and
the two full fiscal years, multiplied by
52.
(d) Annual receipts of affiliates. (1) The
average annual receipts size of a business concern with affiliates is calculated by adding the average annual
receipts of the business concern with
the average annual receipts of each affiliate.
(2) If a concern has acquired an affiliate or been acquired as an affiliate
during the applicable period of measurement or before the date on which it
self-certified as small, the annual receipts used in determining size status
includes the receipts of the acquired or
acquiring concern. Furthermore, this
aggregation applies for the entire period of measurement, not just the period after the affiliation arose.
(3) If the business concern or an affiliate has been in business for a period of
less than three years, the receipts for
the fiscal year with less than a 12

month period are annualized in accordance with paragraph (c)(2) of this section. Receipts are determined for the
concern and its affiliates in accordance
with paragraph (c) of this section even
though this may result in using a different period of measurement to calculate an affiliate’s annual receipts.
(4) The annual receipts of a former
affiliate are not included if affiliation
ceased before the date used for determining size. This exclusion of annual
receipts of a former affiliate applies
during the entire period of measurement, rather than only for the period
after which affiliation ceased.
(e) Unless otherwise defined in this
section, all terms shall have the meaning attributed to them by the IRS.
[61 FR 3286, Jan. 31, 1996, as amended at 65
FR 48604, Aug. 9, 2000; 69 FR 29203, May 21,
2004]

§ 121.105 How does SBA define ‘‘business concern or concern’’?
(a)(1) Except for small agricultural
cooperatives, a business concern eligible for assistance from SBA as a small
business is a business entity organized
for profit, with a place of business located in the United States, and which
operates primarily within the United
States or which makes a significant
contribution to the U.S. economy
through payment of taxes or use of
American products, materials or labor.
(2) A small agricultural cooperative
is an association (corporate or otherwise) acting pursuant to the provisions
of the Agricultural Marketing Act (12
U.S.C.A. 1141j) whose size does not exceed the size standard established by
SBA for other similar agricultural
small business concerns. A small agricultural cooperative’s member shareholders are not considered to be affiliates of the cooperative by virtue of
their membership in the cooperative.
However, a business concern or cooperative that does not qualify as small
under this part may not be a member
of a small agricultural cooperative.
(b) A business concern may be in the
legal form of an individual proprietorship, partnership, limited liability
company, corporation, joint venture,

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§ 121.106

13 CFR Ch. I (1–1–06 Edition)

association, trust or cooperative, except that where the form is a joint venture there can be no more than 49 percent participation by foreign business
entities in the joint venture.
(c) A firm will not be treated as a
separate business concern if a substantial portion of its assets and/or liabilities are the same as those of a predecessor entity. In such a case, the annual receipts and employees of the
predecessor will be taken into account
in determining size.
[61 FR 3286, Jan. 31, 1996, as amended at 70
FR 51248, Aug. 30, 2005]

§ 121.106 How does SBA calculate
number of employees?
(a) In determining a concern’s number of employees, SBA counts all individuals employed on a full-time, parttime, or other basis. This includes employees obtained from a temporary employee agency, professional employee
organization or leasing concern. SBA
will consider the totality of the circumstances, including criteria used by
the IRS for Federal income tax purposes, in determining whether individuals are employees of a concern. Volunteers (i.e., individuals who receive no
compensation, including no in-kind
compensation, for work performed) are
not considered employees.
(b) Where the size standard is number
of employees, the method for determining a concern’s size includes the
following principles:
(1) The average number of employees
of the concern is used (including the
employees of its domestic and foreign
affiliates) based upon numbers of employees for each of the pay periods for
the preceding completed 12 calendar
months.
(2) Part-time and temporary employees are counted the same as full-time
employees.
(3) If a concern has not been in business for 12 months, the average number
of employees is used for each of the pay
periods during which it has been in
business.
(4)(i) The average number of employees of a business concern with affiliates
is calculated by adding the average
number of employees of the business
concern with the average number of
employees of each affiliate. If a con-

cern has acquired an affiliate or been
acquired as an affiliate during the applicable period of measurement or before the date on which it self-certified
as small, the employees counted in determining size status include the employees of the acquired or acquiring
concern. Furthermore, this aggregation applies for the entire period of
measurement, not just the period after
the affiliation arose.
(ii) The employees of a former affiliate are not counted if affiliation
ceased before the date used for determining size. This exclusion of employees of a former affiliate applies during
the entire period of measurement,
rather than only for the period after
which affiliation ceased.
[61 FR 3286, Jan. 31, 1996, as amended at 69
FR 29203, May 21, 2004]

§ 121.107 How does SBA determine a
concern’s ‘‘primary industry’’?
In determining the primary industry
in which a concern or a concern combined with its affiliates is engaged,
SBA considers the distribution of receipts, employees and costs of doing
business among the different industries
in which business operations occurred
for the most recently completed fiscal
year. SBA may also consider other factors, such as the distribution of patents, contract awards, and assets.
§ 121.108 What are the penalties for
misrepresentation of size status?
In addition to other laws which may
be applicable, section 16(d) of the Small
Business Act, 15 U.S.C. 645(d), provides
severe criminal penalties for knowingly misrepresenting the small business size status of a concern in connection with procurement programs. Section 16(a) of the Act also provides, in
part, for criminal penalties for knowingly making false statements or misrepresentations to SBA for the purpose
of influencing in any way the actions
of the Agency.

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Small Business Administration

§ 121.201

SIZE STANDARDS USED TO DEFINE
SMALL BUSINESS CONCERNS
§ 121.201 What size standards has SBA
identified by North American Industry Classification System codes?
The size standards described in this
section apply to all SBA programs unless otherwise specified in this part.

The size standards themselves are expressed either in number of employees
or annual receipts in millions of dollars, unless otherwise specified. The
number of employees or annual receipts indicates the maximum allowed
for a concern and its affiliates to be
considered small.

SMALL BUSINESS SIZE STANDARDS BY NAICS INDUSTRY
NAICS codes

NAICS U.S. industry title

Size standards
in millions of
dollars

Size standards
in number of
employees

$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75

........................
........................
........................
........................
........................
........................
........................
........................
........................
........................
........................
........................
........................
........................
........................
........................
........................
........................
........................
........................
........................
........................
........................
........................
........................
........................
........................
........................
........................
........................

$0.75
$2.00
$0.75
$0.75
$11.5
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75
$0.75

$6.5

........................

Sector 11—Agriculture, Forestry, Fishing and Hunting
Subsector 111—Crop Production
111110
111120
111130
111140
111150
111160
111191
111199
111211
111219
111310
111320
111331
111332
111333
111334
111335
111336
111339
111411
111419
111421
111422
111910
111920
111930
111940
111991
111992
111998

.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................

Soybean Farming .................................................................................
Oilseed (except Soybean) Farming ......................................................
Dry Pea and Bean Farming ..................................................................
Wheat Farming .....................................................................................
Corn Farming ........................................................................................
Rice Farming ........................................................................................
Oilseed and Grain Combination Farming .............................................
All Other Grain Farming .......................................................................
Potato Farming .....................................................................................
Other Vegetable (except Potato) and Melon Farming .........................
Orange Groves .....................................................................................
Citrus (except Orange) Groves .............................................................
Apple Orchards .....................................................................................
Grape Vineyards ...................................................................................
Strawberry Farming ..............................................................................
Berry (except Strawberry) Farming ......................................................
Tree Nut Farming .................................................................................
Fruit and Tree Nut Combination Farming .............................................
Other Noncitrus Fruit Farming ..............................................................
Mushroom Production ...........................................................................
Other Food Crops Grown Under Cover ...............................................
Nursery and Tree Production ...............................................................
Floriculture Production ..........................................................................
Tobacco Farming ..................................................................................
Cotton Farming .....................................................................................
Sugarcane Farming ..............................................................................
Hay Farming .........................................................................................
Sugar Beet Farming .............................................................................
Peanut Farming ....................................................................................
All Other Miscellaneous Crop Farming .................................................
Subsector 112—Animal Production

112111
112112
112120
112210
112310
112320
112330
112340
112390
112410
112420
112511
112512
112519
112910
112920
112930
112990

Beef Cattle Ranching and Farming ......................................................
Cattle Feedlots ......................................................................................
Dairy Cattle and Milk Production ..........................................................
Hog and Pig Farming ...........................................................................
Chicken Egg Production .......................................................................
Broilers and Other Meat Type Chicken Production .............................
Turkey Production .................................................................................
Poultry Hatcheries .................................................................................
Other Poultry Production ......................................................................
Sheep Farming .....................................................................................
Goat Farming ........................................................................................
Finfish Farming and Fish Hatcheries ....................................................
Shellfish Farming ..................................................................................
Other Animal Aquaculture ....................................................................
Apiculture ..............................................................................................
Horse and Other Equine Production ....................................................
Fur-Bearing Animal and Rabbit Production ..........................................
All Other Animal Production .................................................................
Subsector 113—Forestry and Logging

113110 .......................

Timber Tract Operations .......................................................................

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§ 121.201

13 CFR Ch. I (1–1–06 Edition)
SMALL BUSINESS SIZE STANDARDS BY NAICS INDUSTRY—Continued

NAICS codes

NAICS U.S. industry title

Size standards
in millions of
dollars

Size standards
in number of
employees

113210 .......................
113310 .......................

Forest Nurseries and Gathering of Forest Products ............................
Logging .................................................................................................

$6.5
........................

........................
500

$4.0
$4.0
$4.0
$4.0

........................
........................
........................
........................

$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
17 16.5
17 16.5

........................
........................

500
500

500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
500

........................
$6.5
$6.5
$6.5
$6.5

500
........................
........................
........................
........................

See
See
See
See

........................
........................
........................
........................

Subsector 114—Fishing, Hunting and Trapping
114111
114112
114119
114210

.......................
.......................
.......................
.......................

Finfish Fishing .......................................................................................
Shellfish Fishing ....................................................................................
Other Marine Fishing ............................................................................
Hunting and Trapping ...........................................................................
Subsector 115—Support Activities for Agriculture and Forestry

115111 .......................
115112 .......................
115113 .......................
115114 .......................
115115 .......................
115116 .......................
115210 .......................
115310 .......................
EXCEPT
EXCEPT

Cotton Ginning ......................................................................................
Soil Preparation, Planting, and Cultivating ...........................................
Crop Harvesting, Primarily by Machine ................................................
Postharvest Crop Activities (except Cotton Ginning) ...........................
Farm Labor Contractors and Crew Leaders .........................................
Farm Management Services .................................................................
Support Activities for Animal Production ..............................................
Support Activities for Forestry ..............................................................
Forest Fire Suppression 17 ....................................................................
Fuels Management Services 17 ............................................................
Sector 21—Mining
Subsector 211—Oil and Gas Extraction

211111 .......................
211112 .......................

Crude Petroleum and Natural Gas Extraction ......................................
Natural Gas Liquid Extraction ...............................................................
Subsector 212—Mining (except Oil and Gas)

212111
212112
212113
212210
212221
212222
212231
212234
212291
212299
212311
212312
212313
212319
212321
212322
212324
212325
212391
212392
212393
212399

Bituminous Coal and Lignite Surface Mining .......................................
Bituminous Coal Underground Mining ..................................................
Anthracite Mining ..................................................................................
Iron Ore Mining .....................................................................................
Gold Ore Mining ...................................................................................
Silver Ore Mining ..................................................................................
Lead Ore and Zinc Ore Mining .............................................................
Copper Ore and Nickel Ore Mining ......................................................
Uranium-Radium-Vanadium Ore Mining ...............................................
All Other Metal Ore Mining ...................................................................
Dimension Stone Mining and Quarrying ..............................................
Crushed and Broken Limestone Mining and Quarrying .......................
Crushed and Broken Granite Mining and Quarrying ............................
Other Crushed and Broken Stone Mining and Quarrying ....................
Construction Sand and Gravel Mining .................................................
Industrial Sand Mining ..........................................................................
Kaolin and Ball Clay Mining .................................................................
Clay and Ceramic and Refractory Minerals Mining ..............................
Potash, Soda, and Borate Mineral Mining ...........................................
Phosphate Rock Mining ........................................................................
Other Chemical and Fertilizer Mineral Mining ......................................
All Other Nonmetallic Mineral Mining ...................................................

213111
213112
213113
213114
213115

.......................
.......................
.......................
.......................
.......................

Drilling Oil and Gas Wells ....................................................................
Support Activities for Oil and Gas Operations .....................................
Support Activities for Coal Mining ........................................................
Support Activities for Metal Mining .......................................................
Support Activities for Nonmetallic Minerals (except Fuels) ..................

Subsector 213—Support Activities for Mining

Sector 22—Utilities
Subsector 221—Utilities
221111
221112
221113
221119

.......................
.......................
.......................
.......................

Hydroelectric Power Generation ...........................................................
Fossil Fuel Electric Power Generation .................................................
Nuclear Electric Power Generation ......................................................
Other Electric Power Generation ..........................................................

footnote
footnote
footnote
footnote

1
1
1
1

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Small Business Administration

§ 121.201

SMALL BUSINESS SIZE STANDARDS BY NAICS INDUSTRY—Continued
NAICS U.S. industry title

Size standards
in millions of
dollars

Size standards
in number of
employees

Electric Bulk Power Transmission and Control ....................................
Electric Power Distribution ....................................................................
Natural Gas Distribution .......................................................................
Water Supply and Irrigation Systems ...................................................
Sewage Treatment Facilities ................................................................
Steam and Air-Conditioning Supply .....................................................

See footnote 1
See footnote 1
........................
$6.5
$6.5
$11.5

........................
500
........................
........................
........................

$31.0
$31.0
$31.0
$31.0
$31.0
$31.0

........................
........................
........................
........................
........................
........................

$31.0
$31.0
$31.0
$6.5
$31.0
$31.0
2 $18.5

........................
........................
........................
........................
........................
........................
........................

$13.0
$13.0
$13.0
$13.0
$13.0
$13.0
$13.0
$13.0
$13.0
$13.0
$13.0
$13.0
$13.0
$13.0
$13.0
$13.0
$13.0
$13.0
13 $13.0
13 $13.0
13 $12.0

500
500
500
500
500
750
500
1,000
1,000
1,000
500
750
750
500
500

NAICS codes
221121
221122
221210
221310
221320
221330

.......................
.......................
.......................
.......................
.......................
.......................

Sector 23—Construction
Subsector 236—Construction of Buildings
236115
236116
236117
236118
236210
236220

.......................
.......................
.......................
.......................
.......................
.......................

New Single-Family Housing Construction (except Operative Builders)
New Multifamily Housing Construction (except Operative Builders) ....
New Housing Operative Builders ..........................................................
Residential Remodelers ........................................................................
Industrial Building Construction ............................................................
Commercial and Institutional Building Construction .............................

237110 .......................
237120 .......................
237130 .......................
237210 .......................
237310 .......................
237990 .......................
EXCEPT,

Water and Sewer Line and Related Structures Construction ..............
Oil and Gas Pipeline and Related Structures Construction .................
Power and Communication Line and Related Structures Construction
Land Subdivision ..................................................................................
Highway, Street, and Bridge Construction ...........................................
Other Heavy and Civil Engineering Construction .................................
Dredging and Surface Cleanup Activities 2 ...........................................

238110 .......................
238120 .......................
238130 .......................
238140 .......................
238150 .......................
238160 .......................
238170 .......................
238190 .......................
238210 .......................
238220 .......................
238290 .......................
238310 .......................
238320 .......................
238330 .......................
238340 .......................
238350 .......................
238390 .......................
238910 .......................
238990 .......................
238990 .......................
EXCEPT,

Poured Concrete Foundation and Structure Contractors .....................
Structural Steel and Precast Concrete Contractors .............................
Framing Contractors .............................................................................
Masonry Contractors .............................................................................
Glass and Glazing Contractors .............................................................
Roofing Contractors ..............................................................................
Siding Contractors ................................................................................
Other Foundation, Structure, and Building Exterior Contractors ..........
Electrical Contractors ............................................................................
Plumbing, Heating, and Air-Conditioning Contractors ..........................
Other Building Equipment Contractors .................................................
Drywall and Insulation Contractors .......................................................
Painting and Wall Covering Contractors ..............................................
Flooring Contractors .............................................................................
Tile and Terrazzo Contractors ..............................................................
Finish Carpentry Contractors ................................................................
Other Building Finishing Contractors ....................................................
Site Preparation Contractors ................................................................
All Other Specialty Trade Contractors 13 ..............................................
Building and Property Specialty Trade Services 13 ..............................
Building and Property Specialty Trade Services 13 ..............................

Subsector 237—Heavy and Civil Engineering Construction

Subsector 238—Specialty Trade Contractors

Sectors 31–33—Manufacturing
Subsector 311—Food Manufacturing
311111
311119
311211
311212
311213
311221
311222
311223
311225
311230
311311
311312
311313
311320
311330

Dog and Cat Food Manufacturing ........................................................
Other Animal Food Manufacturing ........................................................
Flour Milling ...........................................................................................
Rice Milling ...........................................................................................
Malt Manufacturing ...............................................................................
Wet Corn Milling ...................................................................................
Soybean Processing .............................................................................
Other Oilseed Processing .....................................................................
Fats and Oils Refining and Blending ....................................................
Breakfast Cereal Manufacturing ...........................................................
Sugarcane Mills ....................................................................................
Cane Sugar Refining ............................................................................
Beet Sugar Manufacturing ....................................................................
Chocolate and Confectionery Manufacturing from Cacao Beans ........
Confectionery Manufacturing from Purchased Chocolate ....................

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§ 121.201

13 CFR Ch. I (1–1–06 Edition)
SMALL BUSINESS SIZE STANDARDS BY NAICS INDUSTRY—Continued
NAICS U.S. industry title

Size standards
in millions of
dollars

Size standards
in number of
employees

Non-Chocolate Confectionery Manufacturing .......................................
Frozen Fruit, Juice and Vegetable Manufacturing ...............................
Frozen Specialty Food Manufacturing ..................................................
Fruit and Vegetable Canning 3 ..............................................................
Specialty Canning .................................................................................
Dried and Dehydrated Food Manufacturing .........................................
Fluid Milk Manufacturing .......................................................................
Creamery Butter Manufacturing ............................................................
Cheese Manufacturing ..........................................................................
Dry, Condensed, and Evaporated Dairy Product Manufacturing .........
Ice Cream and Frozen Dessert Manufacturing ....................................
Animal (except Poultry) Slaughtering ...................................................
Meat Processed from Carcasses .........................................................
Rendering and Meat By-product Processing ........................................
Poultry Processing ................................................................................
Seafood Canning ..................................................................................
Fresh and Frozen Seafood Processing ................................................
Retail Bakeries ......................................................................................
Commercial Bakeries ............................................................................
Frozen Cakes, Pies, and Other Pastries Manufacturing ......................
Cookie and Cracker Manufacturing ......................................................
Flour Mixes and Dough Manufacturing from Purchased Flour ............
Dry Pasta Manufacturing ......................................................................
Tortilla Manufacturing ...........................................................................
Roasted Nuts and Peanut Butter Manufacturing .................................
Other Snack Food Manufacturing ........................................................
Coffee and Tea Manufacturing .............................................................
Flavoring Syrup and Concentrate Manufacturing .................................
Mayonnaise, Dressing and Other Prepared Sauce Manufacturing ......
Spice and Extract Manufacturing .........................................................
Perishable Prepared Food Manufacturing ............................................
All Other Miscellaneous Food Manufacturing ......................................

500
500
500
3 500
1,000
500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
750
500
500
500
500
500
500
500
500
500
500
500

NAICS codes
311340
311411
311412
311421
311422
311423
311511
311512
311513
311514
311520
311611
311612
311613
311615
311711
311712
311811
311812
311813
311821
311822
311823
311830
311911
311919
311920
311930
311941
311942
311991
311999

.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................

Subsector 312—Beverage and Tobacco Product Manufacturing
312111
312112
312113
312120
312130
312140
312210
312221
312229

Soft Drink Manufacturing ......................................................................
Bottled Water Manufacturing ................................................................
Ice Manufacturing .................................................................................
Breweries ..............................................................................................
Wineries ................................................................................................
Distilleries ..............................................................................................
Tobacco Stemming and Redrying ........................................................
Cigarette Manufacturing .......................................................................
Other Tobacco Product Manufacturing ................................................

313111
313112
313113
313210
313221
313222
313230
313241
313249
313311
313312
313320

Yarn Spinning Mills ...............................................................................
Yarn Texturizing, Throwing and Twisting Mills .....................................
Thread Mills ..........................................................................................
Broadwoven Fabric Mills .......................................................................
Narrow Fabric Mills ...............................................................................
Schiffli Machine Embroidery .................................................................
Nonwoven Fabric Mills ..........................................................................
Weft Knit Fabric Mills ............................................................................
Other Knit Fabric and Lace Mills ..........................................................
Broadwoven Fabric Finishing Mills .......................................................
Textile and Fabric Finishing (except Broadwoven Fabric) Mills ...........
Fabric Coating Mills ..............................................................................

314110
314121
314129
314911
314912
314991
314992
314999

.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................

Carpet and Rug Mills ............................................................................
Curtain and Drapery Mills .....................................................................
Other Household Textile Product Mills .................................................
Textile Bag Mills ...................................................................................
Canvas and Related Product Mills .......................................................
Rope, Cordage and Twine Mills ...........................................................
Tire Cord and Tire Fabric Mills .............................................................
All Other Miscellaneous Textile Product Mills ......................................

500
500
500
500
500
750
500
1,000
500

500
500
500
1,000
500
500
500
500
500
1,000
500
1,000

........................
........................
........................
........................
........................
........................
........................
........................

500
500
500
500
500
500
1,000
500

Subsector 313—Textile Mills

Subsector 314—Textile Product Mills

298

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Small Business Administration

§ 121.201

SMALL BUSINESS SIZE STANDARDS BY NAICS INDUSTRY—Continued
NAICS codes

NAICS U.S. industry title

Size standards
in millions of
dollars

Size standards
in number of
employees

........................
........................
........................
........................
........................
........................
........................

500
500
500
500
500
500
500

........................

500

........................

500

Subsector 315—Apparel Manufacturing
315111
315119
315191
315192
315211
315212
315221

.......................
.......................
.......................
.......................
.......................
.......................
.......................

315222 .......................
315223 .......................
315224 .......................
315225 .......................
315228 .......................
315231 .......................
315232 .......................
315233 .......................
315234 .......................
315239
315291
315292
315299
315991
315992
315993
315999

.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................

Sheer Hosiery Mills ...............................................................................
Other Hosiery and Sock Mills ...............................................................
Outerwear Knitting Mills ........................................................................
Underwear and Nightwear Knitting Mills ..............................................
Men’s and Boys’ Cut and Sew Apparel Contractors ............................
Women’s, Girls’, and Infants’ Cut and Sew Apparel Contractors ........
Men’s and Boys’ Cut and Sew Underwear and Nightwear Manufacturing.
Men’s and Boys’ Cut and Sew Suit, Coat and Overcoat Manufacturing.
Men’s and Boys’ Cut and Sew Shirt (except Work Shirt) Manufacturing.
Men’s and Boys’ Cut and Sew Trouser, Slack and Jean Manufacturing.
Men’s and Boys’ Cut and Sew Work Clothing Manufacturing .............
Men’s and Boys’ Cut and Sew Other Outerwear Manufacturing .........
Women’s and Girls’ Cut and Sew Lingerie, Loungewear and Nightwear Manufacturing.
Women’s and Girls’ Cut and Sew Blouse and Shirt Manufacturing ....
Women’s and Girls’ Cut and Sew Dress Manufacturing ......................
Women’s and Girls’ Cut and Sew Suit, Coat, Tailored Jacket and
Skirt Manufacturing.
Women’s and Girls’ Cut and Sew Other Outerwear Manufacturing ....
Infants’ Cut and Sew Apparel Manufacturing .......................................
Fur and Leather Apparel Manufacturing ..............................................
All Other Cut and Sew Apparel Manufacturing ....................................
Hat, Cap and Millinery Manufacturing ..................................................
Glove and Mitten Manufacturing ..........................................................
Men’s and Boys’ Neckwear Manufacturing ..........................................
Other Apparel Accessories and Other Apparel Manufacturing ............

........................

500

........................
........................
........................

500
500
500

........................
........................
........................

500
500
500

........................
........................
........................
........................
........................
........................
........................
........................

500
500
500
500
500
500
500
500

500
1,000
500
500
500
500
500
500
500

........................

500

500
500
500
500
500
500
500
500
500
500
500
500
500
500

........................
........................
........................
........................
........................

750
750
750
750
500

Subsector 316—Leather and Allied Product Manufacturing
316110
316211
316212
316213
316214
316219
316991
316992
316993

316999 .......................

Leather and Hide Tanning and Finishing .............................................
Rubber and Plastics Footwear Manufacturing .....................................
House Slipper Manufacturing ...............................................................
Men’s Footwear (except Athletic) Manufacturing .................................
Women’s Footwear (except Athletic) Manufacturing ............................
Other Footwear Manufacturing .............................................................
Luggage Manufacturing ........................................................................
Women’s Handbag and Purse Manufacturing ......................................
Personal Leather Good (except Women’s Handbag and Purse) Manufacturing.
All Other Leather Good Manufacturing ................................................
Subsector 321—Wood Product Manufacturing

321113
321114
321211
321212
321213
321214
321219
321911
321912
321918
321920
321991
321992
321999

Sawmills ................................................................................................
Wood Preservation ...............................................................................
Hardwood Veneer and Plywood Manufacturing ...................................
Softwood Veneer and Plywood Manufacturing ....................................
Engineered Wood Member (except Truss) Manufacturing ..................
Truss Manufacturing .............................................................................
Reconstituted Wood Product Manufacturing ........................................
Wood Window and Door Manufacturing ..............................................
Cut Stock, Resawing Lumber, and Planing .........................................
Other Millwork (including Flooring) .......................................................
Wood Container and Pallet Manufacturing ..........................................
Manufactured Home (Mobile Home) Manufacturing ............................
Prefabricated Wood Building Manufacturing ........................................
All Other Miscellaneous Wood Product Manufacturing ........................
Subsector 322—Paper Manufacturing

322110
322121
322122
322130
322211

.......................
.......................
.......................
.......................
.......................

Pulp Mills ..............................................................................................
Paper (except Newsprint) Mills .............................................................
Newsprint Mills ......................................................................................
Paperboard Mills ...................................................................................
Corrugated and Solid Fiber Box Manufacturing ...................................

299

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§ 121.201

13 CFR Ch. I (1–1–06 Edition)
SMALL BUSINESS SIZE STANDARDS BY NAICS INDUSTRY—Continued

NAICS codes

NAICS U.S. industry title

322212
322213
322214
322215
322221

.......................
.......................
.......................
.......................
.......................

322222
322223
322224
322225
322226
322231
322232
322233
322291
322299

Folding Paperboard Box Manufacturing ...............................................
Setup Paperboard Box Manufacturing .................................................
Fiber Can, Tube, Drum, and Similar Products Manufacturing .............
Non-Folding Sanitary Food Container Manufacturing ..........................
Coated and Laminated Packaging Paper and Plastics Film Manufacturing.
Coated and Laminated Paper Manufacturing ......................................
Plastics, Foil, and Coated Paper Bag Manufacturing ..........................
Uncoated Paper and Multiwall Bag Manufacturing ..............................
Laminated Aluminum Foil Manufacturing for Flexible Packaging Uses
Surface-Coated Paperboard Manufacturing .........................................
Die-Cut Paper and Paperboard Office Supplies Manufacturing ..........
Envelope Manufacturing .......................................................................
Stationery, Tablet, and Related Product Manufacturing ......................
Sanitary Paper Product Manufacturing ................................................
All Other Converted Paper Product Manufacturing ..............................

323110
323111
323112
323113
323114
323115
323116
323117
323118
323119
323121
323122

Commercial Lithographic Printing .........................................................
Commercial Gravure Printing ...............................................................
Commercial Flexographic Printing ........................................................
Commercial Screen Printing .................................................................
Quick Printing .......................................................................................
Digital Printing .......................................................................................
Manifold Business Forms Printing ........................................................
Books Printing .......................................................................................
Blankbook, Loose-leaf Binder and Device Manufacturing ...................
Other Commercial Printing ...................................................................
Tradebinding and Related Work ...........................................................
Prepress Services .................................................................................

Size standards
in millions of
dollars

Size standards
in number of
employees

........................
........................
........................
........................
........................

750
500
500
750
500

500
500
500
500
500
500
500
500
500
500

500
500
500
500
500
500
500
500
500
500
500
500

Subsector 323—Printing and Related Support Activities

Subsector 324—Petroleum and Coal Products Manufacturing
324110
324121
324122
324191
324199

.......................
.......................
.......................
.......................
.......................

Petroleum Refineries4 ...........................................................................
Asphalt Paving Mixture and Block Manufacturing ................................
Asphalt Shingle and Coating Materials Manufacturing ........................
Petroleum Lubricating Oil and Grease Manufacturing .........................
All Other Petroleum and Coal Products Manufacturing .......................

325110
325120
325131
325132
325181
325182
325188
325191
325192
325193
325199
325211
325212
325221
325222
325311
325312
325314
325320
325411
325412
325413
325414
325510
325520
325611
325612
325613
325620

.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................

Petrochemical Manufacturing ...............................................................
Industrial Gas Manufacturing ................................................................
Inorganic Dye and Pigment Manufacturing ..........................................
Synthetic Organic Dye and Pigment Manufacturing ............................
Alkalies and Chlorine Manufacturing ....................................................
Carbon Black Manufacturing ................................................................
All Other Basic Inorganic Chemical Manufacturing ..............................
Gum and Wood Chemical Manufacturing ............................................
Cyclic Crude and Intermediate Manufacturing .....................................
Ethyl Alcohol Manufacturing .................................................................
All Other Basic Organic Chemical Manufacturing ................................
Plastics Material and Resin Manufacturing ..........................................
Synthetic Rubber Manufacturing ..........................................................
Cellulosic Organic Fiber Manufacturing ................................................
Noncellulosic Organic Fiber Manufacturing ..........................................
Nitrogenous Fertilizer Manufacturing ....................................................
Phosphatic Fertilizer Manufacturing .....................................................
Fertilizer (Mixing Only) Manufacturing ..................................................
Pesticide and Other Agricultural Chemical Manufacturing ...................
Medicinal and Botanical Manufacturing ................................................
Pharmaceutical Preparation Manufacturing ..........................................
In-Vitro Diagnostic Substance Manufacturing ......................................
Biological Product (except Diagnostic) Manufacturing .........................
Paint and Coating Manufacturing .........................................................
Adhesive Manufacturing .......................................................................
Soap and Other Detergent Manufacturing ...........................................
Polish and Other Sanitation Good Manufacturing ................................
Surface Active Agent Manufacturing ....................................................
Toilet Preparation Manufacturing ..........................................................

........................
........................
........................
........................
........................

4 1,500

1,000
1,000
1,000
750
1,000
500
1,000
500
750
1,000
1,000
750
1,000
1,000
1,000
1,000
500
500
500
750
750
500
500
500
500
750
500
500
500

500
750
500
500

Subsector 325—Chemical Manufacturing

300

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Small Business Administration

§ 121.201

SMALL BUSINESS SIZE STANDARDS BY NAICS INDUSTRY—Continued
NAICS codes
325910
325920
325991
325992
325998

.......................
.......................
.......................
.......................
.......................

NAICS U.S. industry title
Printing Ink Manufacturing ....................................................................
Explosives Manufacturing .....................................................................
Custom Compounding of Purchased Resins .......................................
Photographic Film, Paper, Plate and Chemical Manufacturing ...........
All Other Miscellaneous Chemical Product and Preparation Manufacturing.

Size standards
in millions of
dollars

Size standards
in number of
employees

........................
........................
........................
........................
........................

500
750
500
500
500

Subsector 326—Plastics and Rubber Products Manufacturing
326111 .......................
326112 .......................
326113 .......................
326121
326122
326130
326140
326150

.......................
.......................
.......................
.......................
.......................

326160
326191
326192
326199
326211
326212
326220
326291
326299

Unsupported Plastics Bag Manufacturing ............................................
Unsupported Plastics Packaging Film and Sheet Manufacturing ........
Unsupported Plastics Film and Sheet (except Packaging) Manufacturing.
Unsupported Plastics Profile Shapes Manufacturing ...........................
Plastics Pipe and Pipe Fitting Manufacturing .......................................
Laminated Plastics Plate, Sheet and Shape Manufacturing ................
Polystyrene Foam Product Manufacturing ...........................................
Urethane and Other Foam Product (except Polystyrene) Manufacturing.
Plastics Bottle Manufacturing ...............................................................
Plastics Plumbing Fixture Manufacturing .............................................
Resilient Floor Covering Manufacturing ...............................................
All Other Plastics Product Manufacturing .............................................
Tire Manufacturing (except Retreading)5 .............................................
Tire Retreading .....................................................................................
Rubber and Plastics Hoses and Belting Manufacturing .......................
Rubber Product Manufacturing for Mechanical Use ............................
All Other Rubber Product Manufacturing .............................................

........................
........................
........................

500
500
500

........................
........................
........................
........................
........................

500
500
500
500
500

500
500
750
500
5 1,000
500
500
500
500

........................

750

........................

500

500
500
500
500
500
750
1,000
750
750
500
750
500
500
500
500
500
1,000
500
500
500
750
500

1,000
750
1,000
1,000
1,000
1,000
1,000
750
750
750
750

Subsector 327—Nonmetallic Mineral Product Manufacturing
327111 .......................

327113
327121
327122
327123
327124
327125
327211
327212
327213
327215
327310
327320
327331
327332
327390
327410
327420
327910
327991
327992
327993
327999

Vitreous China Plumbing Fixture and China and Earthenware Bathroom Accessories Manufacturing.
Vitreous China, Fine Earthenware and Other Pottery Product Manufacturing.
Porcelain Electrical Supply Manufacturing ...........................................
Brick and Structural Clay Tile Manufacturing .......................................
Ceramic Wall and Floor Tile Manufacturing .........................................
Other Structural Clay Product Manufacturing ......................................
Clay Refractory Manufacturing .............................................................
Nonclay Refractory Manufacturing .......................................................
Flat Glass Manufacturing ......................................................................
Other Pressed and Blown Glass and Glassware Manufacturing .........
Glass Container Manufacturing ............................................................
Glass Product Manufacturing Made of Purchased Glass ....................
Cement Manufacturing .........................................................................
Ready-Mix Concrete Manufacturing .....................................................
Concrete Block and Brick Manufacturing .............................................
Concrete Pipe Manufacturing ...............................................................
Other Concrete Product Manufacturing ................................................
Lime Manufacturing ..............................................................................
Gypsum Product Manufacturing ...........................................................
Abrasive Product Manufacturing ..........................................................
Cut Stone and Stone Product Manufacturing ......................................
Ground or Treated Mineral and Earth Manufacturing ..........................
Mineral Wool Manufacturing .................................................................
All Other Miscellaneous Nonmetallic Mineral Product Manufacturing

331111
331112
331210
331221
331222
331311
331312
331314
331315
331316
331319

Iron and Steel Mills ...............................................................................
Electrometallurgical Ferroalloy Product Manufacturing ........................
Iron and Steel Pipe and Tube Manufacturing from Purchased Steel ..
Cold-Rolled Steel Shape Manufacturing ..............................................
Steel Wire Drawing ...............................................................................
Alumina Refining ...................................................................................
Primary Aluminum Production ..............................................................
Secondary Smelting and Alloying of Aluminum ...................................
Aluminum Sheet, Plate and Foil Manufacturing ...................................
Aluminum Extruded Product Manufacturing .........................................
Other Aluminum Rolling and Drawing ..................................................

327112 .......................

Subsector 331—Primary Metal Manufacturing

301

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§ 121.201

13 CFR Ch. I (1–1–06 Edition)
SMALL BUSINESS SIZE STANDARDS BY NAICS INDUSTRY—Continued

NAICS codes

NAICS U.S. industry title

331411 .......................
331419 .......................

Primary Smelting and Refining of Copper ............................................
Primary Smelting and Refining of Nonferrous Metal (except Copper
and Aluminum).
Copper Rolling, Drawing and Extruding ...............................................
Copper Wire (except Mechanical) Drawing ..........................................
Secondary Smelting, Refining, and Alloying of Copper .......................
Nonferrous Metal (except Copper and Aluminum) Rolling, Drawing
and Extruding.
Secondary Smelting, Refining, and Alloying of Nonferrous Metal (except Copper and Aluminum).
Iron Foundries .......................................................................................
Steel Investment Foundries ..................................................................
Steel Foundries (except Investment) ....................................................
Aluminum Die-Casting Foundries .........................................................
Nonferrous (except Aluminum) Die-Casting Foundries ........................
Aluminum Foundries (except Die-Casting) ...........................................
Copper Foundries (except Die-Casting) ...............................................
Other Nonferrous Foundries (except Die-Casting) ...............................

331421
331422
331423
331491

.......................
.......................
.......................
.......................

331492 .......................
331511
331512
331513
331521
331522
331524
331525
331528

.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................

332111
332112
332114
332115
332116
332117
332211
332212
332213
332214
332311
332312
332313
332321
332322
332323
332410
332420
332431
332439
332510
332611
332612
332618
332710
332721
332722
332811
332812

.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................

332813
332911
332912
332913
332919
332991
332992
332993
332994
332995
332996
332997
332998
332999

Size standards
in millions of
dollars

Size standards
in number of
employees

........................
........................

1,000
750

........................
........................
........................
........................

750
1,000
750
750

........................

750

........................
........................
........................
........................
........................
........................
........................
........................

500
500
500
500
500
500
500
500

500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
1,000
500
500
500
500
500
500
500
500
750
500

500
500
500
500
500
750
1,000
1,500
1,000
500
500
500
750
500

........................
........................

500
500

Subsector 332—Fabricated Metal Product Manufacturing
Iron and Steel Forging ..........................................................................
Nonferrous Forging ...............................................................................
Custom Roll Forming ............................................................................
Crown and Closure Manufacturing .......................................................
Metal Stamping .....................................................................................
Powder Metallurgy Part Manufacturing ................................................
Cutlery and Flatware (except Precious) Manufacturing .......................
Hand and Edge Tool Manufacturing ....................................................
Saw Blade and Handsaw Manufacturing .............................................
Kitchen Utensil, Pot and Pan Manufacturing .......................................
Prefabricated Metal Building and Component Manufacturing ..............
Fabricated Structural Metal Manufacturing ...........................................
Plate Work Manufacturing ....................................................................
Metal Window and Door Manufacturing ...............................................
Sheet Metal Work Manufacturing .........................................................
Ornamental and Architectural Metal Work Manufacturing ...................
Power Boiler and Heat Exchanger Manufacturing ...............................
Metal Tank (Heavy Gauge) Manufacturing ..........................................
Metal Can Manufacturing .....................................................................
Other Metal Container Manufacturing ..................................................
Hardware Manufacturing .......................................................................
Spring (Heavy Gauge) Manufacturing ..................................................
Spring (Light Gauge) Manufacturing ....................................................
Other Fabricated Wire Product Manufacturing .....................................
Machine Shops .....................................................................................
Precision Turned Product Manufacturing .............................................
Bolt, Nut, Screw, Rivet and Washer Manufacturing .............................
Metal Heat Treating ..............................................................................
Metal Coating, Engraving (except Jewelry and Silverware), and Allied
Services to Manufacturers.
Electroplating, Plating, Polishing, Anodizing and Coloring ..................
Industrial Valve Manufacturing .............................................................
Fluid Power Valve and Hose Fitting Manufacturing .............................
Plumbing Fixture Fitting and Trim Manufacturing ................................
Other Metal Valve and Pipe Fitting Manufacturing ..............................
Ball and Roller Bearing Manufacturing .................................................
Small Arms Ammunition Manufacturing ...............................................
Ammunition (except Small Arms) Manufacturing .................................
Small Arms Manufacturing ....................................................................
Other Ordnance and Accessories Manufacturing ................................
Fabricated Pipe and Pipe Fitting Manufacturing ..................................
Industrial Pattern Manufacturing ...........................................................
Enameled Iron and Metal Sanitary Ware Manufacturing .....................
All Other Miscellaneous Fabricated Metal Product Manufacturing ......
Subsector 333—Machinery Manufacturing 6
333111 .......................
333112 .......................

Farm Machinery and Equipment Manufacturing ..................................
Lawn and Garden Tractor and Home Lawn and Garden Equipment
Manufacturing.

302

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Small Business Administration

§ 121.201

SMALL BUSINESS SIZE STANDARDS BY NAICS INDUSTRY—Continued
NAICS codes
333120
333131
333132
333210
333220
333291
333292
333293
333294
333295
333298
333311
333312

333313
333314
333315
333319
333411
333412
333414
333415

.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................

333511
333512
333513
333514
333515
333516
333518
333611
333612

333613
333618
333911
333912
333913
333921
333922
333923

.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................

333924 .......................
333991
333992
333993
333994
333995
333996
333997
333999

.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................

334111
334112
334113
334119
334210
334220

.......................
.......................
.......................
.......................
.......................
.......................

334290
334310
334411
334412
334413
334414
334415
334416

.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................

NAICS U.S. industry title
Construction Machinery Manufacturing ................................................
Mining Machinery and Equipment Manufacturing ................................
Oil and Gas Field Machinery and Equipment Manufacturing ..............
Sawmill and Woodworking Machinery Manufacturing ..........................
Plastics and Rubber Industry Machinery Manufacturing ......................
Paper Industry Machinery Manufacturing .............................................
Textile Machinery Manufacturing ..........................................................
Printing Machinery and Equipment Manufacturing ...............................
Food Product Machinery Manufacturing ...............................................
Semiconductor Machinery Manufacturing ............................................
All Other Industrial Machinery Manufacturing ......................................
Automatic Vending Machine Manufacturing .........................................
Commercial Laundry, Drycleaning and Pressing Machine Manufacturing.
Office Machinery Manufacturing ...........................................................
Optical Instrument and Lens Manufacturing .........................................
Photographic and Photocopying Equipment Manufacturing ................
Other Commercial and Service Industry Machinery Manufacturing .....
Air Purification Equipment Manufacturing ............................................
Industrial and Commercial Fan and Blower Manufacturing .................
Heating Equipment (except Warm Air Furnaces) Manufacturing .........
Air-Conditioning and Warm Air Heating Equipment and Commercial
and Industrial Refrigeration Equipment Manufacturing.
Industrial Mold Manufacturing ...............................................................
Machine Tool (Metal Cutting Types) Manufacturing ............................
Machine Tool (Metal Forming Types) Manufacturing ...........................
Special Die and Tool, Die Set, Jig and Fixture Manufacturing ............
Cutting Tool and Machine Tool Accessory Manufacturing ..................
Rolling Mill Machinery and Equipment Manufacturing .........................
Other Metalworking Machinery Manufacturing .....................................
Turbine and Turbine Generator Set Unit Manufacturing ......................
Speed Changer, Industrial High- Speed Drive and Gear Manufacturing.
Mechanical Power Transmission Equipment Manufacturing ................
Other Engine Equipment Manufacturing ..............................................
Pump and Pumping Equipment Manufacturing ....................................
Air and Gas Compressor Manufacturing ..............................................
Measuring and Dispensing Pump Manufacturing .................................
Elevator and Moving Stairway Manufacturing ......................................
Conveyor and Conveying Equipment Manufacturing ...........................
Overhead Traveling Crane, Hoist and Monorail System Manufacturing.
Industrial Truck, Tractor, Trailer and Stacker Machinery Manufacturing.
Power-Driven Hand Tool Manufacturing ..............................................
Welding and Soldering Equipment Manufacturing ...............................
Packaging Machinery Manufacturing ....................................................
Industrial Process Furnace and Oven Manufacturing ..........................
Fluid Power Cylinder and Actuator Manufacturing ...............................
Fluid Power Pump and Motor Manufacturing .......................................
Scale and Balance (except Laboratory) Manufacturing .......................
All Other Miscellaneous General Purpose Machinery Manufacturing ..

Size standards
in millions of
dollars

Size standards
in number of
employees

750
500
500
500
500
500
500
500
500
500
500
500
500

........................
........................
........................
........................
........................
........................
........................
........................

1,000
500
500
500
500
500
500
750

500
500
500
500
500
500
500
1,000
500

........................
........................
........................
........................
........................
........................
........................
........................

500
1,000
500
500
500
500
500
500

........................

750

........................
........................
........................
........................
........................
........................
........................
........................

500
500
500
500
500
500
500
500

Subsector 334—Computer and Electronic Product Manufacturing 6
Electronic Computer Manufacturing .....................................................
Computer Storage Device Manufacturing ............................................
Computer Terminal Manufacturing .......................................................
Other Computer Peripheral Equipment Manufacturing ........................
Telephone Apparatus Manufacturing ...................................................
Radio and Television Broadcasting and Wireless Communications
Equipment Manufacturing.
Other Communications Equipment Manufacturing ...............................
Audio and Video Equipment Manufacturing .........................................
Electron Tube Manufacturing ...............................................................
Bare Printed Circuit Board Manufacturing ............................................
Semiconductor and Related Device Manufacturing .............................
Electronic Capacitor Manufacturing ......................................................
Electronic Resistor Manufacturing ........................................................
Electronic Coil, Transformer, and Other Inductor Manufacturing .........

........................
........................
........................
........................
........................
........................

1,000
1,000
1,000
1,000
1,000
750

........................
........................
........................
........................
........................
........................
........................
........................

750
750
750
500
500
500
500
500

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§ 121.201

13 CFR Ch. I (1–1–06 Edition)
SMALL BUSINESS SIZE STANDARDS BY NAICS INDUSTRY—Continued

NAICS codes
334417
334418
334419
334510
334511

NAICS U.S. industry title

.......................
.......................
.......................
.......................
.......................

334512 .......................
334513 .......................
334514 .......................
334515 .......................
334516
334517
334518
334519
334611
334612

.......................
.......................
.......................
.......................
.......................
.......................

334613 .......................

Electronic Connector Manufacturing .....................................................
Printed Circuit Assembly (Electronic Assembly) Manufacturing ..........
Other Electronic Component Manufacturing ........................................
Electromedical and Electrotherapeutic Apparatus Manufacturing ........
Search, Detection, Navigation, Guidance, Aeronautical, and Nautical
System and Instrument Manufacturing.
Automatic Environmental Control Manufacturing for Residential,
Commercial and Appliance Use.
Instruments and Related Products Manufacturing for Measuring, Displaying, and Controlling Industrial Process Variables.
Totalizing Fluid Meter and Counting Device Manufacturing ................
Instrument Manufacturing for Measuring and Testing Electricity and
Electrical Signals.
Analytical Laboratory Instrument Manufacturing ..................................
Irradiation Apparatus Manufacturing .....................................................
Watch, Clock, and Part Manufacturing .................................................
Other Measuring and Controlling Device Manufacturing .....................
Software Reproducing ..........................................................................
Prerecorded Compact Disc (except Software), Tape, and Record Reproducing.
Magnetic and Optical Recording Media Manufacturing .......................

Size standards
in millions of
dollars

Size standards
in number of
employees

........................
........................
........................
........................
........................

500
500
500
500
750

........................

500

........................

500

........................
........................

500
500

........................
........................
........................
........................
........................
........................

500
500
500
500
500
750

........................

1,000

Subsector 335—Electrical Equipment, Appliance and Component Manufacturing 6
335110 .......................
335121 .......................
335122 .......................
335129
335211
335212
335221
335222
335224
335228
335311
335312
335313
335314
335911
335912
335921
335929
335931
335932
335991
335999

Electric Lamp Bulb and Part Manufacturing .........................................
Residential Electric Lighting Fixture Manufacturing .............................
Commercial, Industrial and Institutional Electric Lighting Fixture Manufacturing.
Other Lighting Equipment Manufacturing .............................................
Electric Housewares and Household Fan Manufacturing ....................
Household Vacuum Cleaner Manufacturing .........................................
Household Cooking Appliance Manufacturing ......................................
Household Refrigerator and Home Freezer Manufacturing .................
Household Laundry Equipment Manufacturing ....................................
Other Major Household Appliance Manufacturing ................................
Power, Distribution and Specialty Transformer Manufacturing ............
Motor and Generator Manufacturing ....................................................
Switchgear and Switchboard Apparatus Manufacturing .......................
Relay and Industrial Control Manufacturing .........................................
Storage Battery Manufacturing .............................................................
Primary Battery Manufacturing .............................................................
Fiber Optic Cable Manufacturing ..........................................................
Other Communication and Energy Wire Manufacturing .......................
Current-Carrying Wiring Device Manufacturing ....................................
Noncurrent-Carrying Wiring Device Manufacturing ..............................
Carbon and Graphite Product Manufacturing ......................................
All Other Miscellaneous Electrical Equipment and Component Manufacturing.

........................
........................
........................

1,000
500
500

500
750
750
750
1,000
1,000
500
750
1,000
750
750
500
1,000
1,000
1,000
500
500
750
500

1,000
1,000
1,000
1,000
500
1,000
500
500
750
500
750

........................

750

........................
........................
........................
........................
........................
........................

750
750
500
500
750
750

Subsector 336—Transportation Equipment Manufacturing 6
336111
336112
336120
336211
336212
336213
336214
336311
336312
336321
336322

336330 .......................
336340
336350
336360
336370
336391
336399

.......................
.......................
.......................
.......................
.......................
.......................

Automobile Manufacturing ....................................................................
Light Truck and Utility Vehicle Manufacturing ......................................
Heavy Duty Truck Manufacturing .........................................................
Motor Vehicle Body Manufacturing ......................................................
Truck Trailer Manufacturing ..................................................................
Motor Home Manufacturing ..................................................................
Travel Trailer and Camper Manufacturing ............................................
Carburetor, Piston, Piston Ring and Valve Manufacturing ..................
Gasoline Engine and Engine Parts Manufacturing ..............................
Vehicular Lighting Equipment Manufacturing .......................................
Other Motor Vehicle Electrical and Electronic Equipment Manufacturing.
Motor Vehicle Steering and Suspension Components (except Spring)
Manufacturing.
Motor Vehicle Brake System Manufacturing ........................................
Motor Vehicle Transmission and Power Train Parts Manufacturing ....
Motor Vehicle Seating and Interior Trim Manufacturing .......................
Motor Vehicle Metal Stamping .............................................................
Motor Vehicle Air-Conditioning Manufacturing .....................................
All Other Motor Vehicle Parts Manufacturing .......................................

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Small Business Administration

§ 121.201

SMALL BUSINESS SIZE STANDARDS BY NAICS INDUSTRY—Continued
NAICS codes
336411
336412
336413
336414
336415

.......................
.......................
.......................
.......................
.......................

336419 .......................
336510
336611
336612
336991
336992
336999

.......................
.......................
.......................
.......................
.......................
.......................

NAICS U.S. industry title
Aircraft Manufacturing ...........................................................................
Aircraft Engine and Engine Parts Manufacturing .................................
Other Aircraft Part and Auxiliary Equipment Manufacturing 7 ..............
Guided Missile and Space Vehicle Manufacturing ...............................
Guided Missile and Space Vehicle Propulsion Unit and Propulsion
Unit Parts Manufacturing.
Other Guided Missile and Space Vehicle Parts and Auxiliary Equipment Manufacturing.
Railroad Rolling Stock Manufacturing ..................................................
Ship Building and Repairing .................................................................
Boat Building .........................................................................................
Motorcycle, Bicycle and Parts Manufacturing ......................................
Military Armored Vehicle, Tank and Tank Component Manufacturing
All Other Transportation Equipment Manufacturing .............................

Size standards
in millions of
dollars

Size standards
in number of
employees

........................
........................
........................
........................
........................

7 1,000

........................

1,000

........................
........................
........................
........................
........................
........................

1,000
1,000
500
500
1,000
500

1,500
1,000
1,000
1,000

Subsector 337—Furniture and Related Product Manufacturing
337110
337121
337122
337124
337125
337127
337129

.......................
.......................
.......................
.......................
.......................
.......................
.......................

337211
337212
337214
337215
337910
337920

.......................
.......................
.......................
.......................
.......................
.......................

Wood Kitchen Cabinet and Counter Top Manufacturing .....................
Upholstered Household Furniture Manufacturing .................................
Nonupholstered Wood Household Furniture Manufacturing ................
Metal Household Furniture Manufacturing ...........................................
Household Furniture (except Wood and Metal) Manufacturing ...........
Institutional Furniture Manufacturing ....................................................
Wood Television, Radio, and Sewing Machine Cabinet Manufacturing.
Wood Office Furniture Manufacturing ...................................................
Custom Architectural Woodwork and Millwork Manufacturing .............
Office Furniture (Except Wood) Manufacturing ....................................
Showcase, Partition, Shelving, and Locker Manufacturing ..................
Mattress Manufacturing ........................................................................
Blind and Shade Manufacturing ...........................................................

........................
........................
........................
........................
........................
........................
........................

500
500
500
500
500
500
500

........................
........................
........................
........................
........................
........................

500
500
500
500
500
500

500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
500

Subsector 339—Miscellaneous Manufacturing
339111
339112
339113
339114
339115
339116
339911
339912
339913
339914
339920
339931
339932
339941
339942
339943
339944
339950
339991
339992
339993
339994
339995
339999

.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................

Laboratory Apparatus and Furniture Manufacturing ............................
Surgical and Medical Instrument Manufacturing ..................................
Surgical Appliance and Supplies Manufacturing ..................................
Dental Equipment and Supplies Manufacturing ...................................
Ophthalmic Goods Manufacturing ........................................................
Dental Laboratories ..............................................................................
Jewelry (except Costume) Manufacturing ............................................
Silverware and Hollowware Manufacturing ..........................................
Jewelers’ Material and Lapidary Work Manufacturing .........................
Costume Jewelry and Novelty Manufacturing ......................................
Sporting and Athletic Goods Manufacturing .........................................
Doll and Stuffed Toy Manufacturing .....................................................
Game, Toy, and Children’s Vehicle Manufacturing ..............................
Pen and Mechanical Pencil Manufacturing ..........................................
Lead Pencil and Art Good Manufacturing ............................................
Marking Device Manufacturing .............................................................
Carbon Paper and Inked Ribbon Manufacturing ..................................
Sign Manufacturing ...............................................................................
Gasket, Packing, and Sealing Device Manufacturing ..........................
Musical Instrument Manufacturing ........................................................
Fastener, Button, Needle and Pin Manufacturing ................................
Broom, Brush and Mop Manufacturing ................................................
Burial Casket Manufacturing .................................................................
All Other Miscellaneous Manufacturing ................................................

Sector 42—Wholesale Trade
(Not applicable to Government procurement of supplies. The nonmanufacturer size standard of 500 employees shall be used for
purposes of Government procurement of supplies.)
Subsector 423—Merchant Wholesalers, Durable Goods
423110
423120
423130
423140
423210
423220

.......................
.......................
.......................
.......................
.......................
.......................

Automobile and Other Motor Vehicle Merchant Wholesalers ..............
Motor Vehicle Supplies and New Parts Merchant Wholesalers ...........
Tire and Tube Merchant Wholesalers ..................................................
Motor Vehicle Parts (Used) Merchant Wholesalers .............................
Furniture Merchant Wholesalers ...........................................................
Home Furnishing Merchant Wholesalers .............................................

........................
........................
........................
........................
........................
........................

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100
100
100
100
100
100

§ 121.201

13 CFR Ch. I (1–1–06 Edition)
SMALL BUSINESS SIZE STANDARDS BY NAICS INDUSTRY—Continued

NAICS codes

NAICS U.S. industry title

423310 .......................
423320 .......................

Lumber, Plywood, Millwork, and Wood Panel Merchant Wholesalers
Brick, Stone, and Related Construction Material Merchant Wholesalers.
Roofing, Siding, and Insulation Material Merchant Wholesalers ..........
Other Construction Material Merchant Wholesalers .............................
Photographic Equipment and Supplies Merchant Wholesalers ...........
Office Equipment Merchant Wholesalers .............................................
Computer and Computer Peripheral Equipment and Software Merchant Wholesalers.
Other Commercial Equipment Merchant Wholesalers .........................
Medical, Dental, and Hospital Equipment and Supplies Merchant
Wholesalers.
Ophthalmic Goods Merchant Wholesalers ...........................................
Other Professional Equipment and Supplies Merchant Wholesalers ..
Metal Service Centers and Other Metal Merchant Wholesalers ..........
Coal and Other Mineral and Ore Merchant Wholesalers .....................
Electrical Apparatus and Equipment, Wiring Supplies, and Related
Equipment Merchant Wholesalers.
Electrical and Electronic Appliance, Television, and Radio Set Merchant Wholesalers.
Other Electronic Parts and Equipment Merchant Wholesalers ............
Hardware Merchant Wholesalers .........................................................
Plumbing and Heating Equipment and Supplies (Hydronics) Merchant Wholesalers.
Warm Air Heating and Air-Conditioning Equipment and Supplies
Merchant Wholesalers.
Refrigeration Equipment and Supplies Merchant Wholesalers ............
Construction and Mining (except Oil Well) Machinery and Equipment
Merchant Wholesalers.
Farm and Garden Machinery and Equipment Merchant Wholesalers
Industrial Machinery and Equipment Merchant Wholesalers ...............
Industrial Supplies Merchant Wholesalers ...........................................
Service Establishment Equipment and Supplies Merchant Wholesalers.
Transportation Equipment and Supplies (except Motor Vehicle) Merchant Wholesalers.
Sporting and Recreational Goods and Supplies Merchant Wholesalers.
Toy and Hobby Goods and Supplies Merchant Wholesalers ..............
Recyclable Material Merchant Wholesalers .........................................
Jewelry, Watch, Precious Stone, and Precious Metal Merchant
Wholesalers.
Other Miscellaneous Durable Goods Merchant Wholesalers ..............

423330
423390
423410
423420
423430

.......................
.......................
.......................
.......................
.......................

423440 .......................
423450 .......................
423460
423490
423510
423520
423610

.......................
.......................
.......................
.......................
.......................

423620 .......................
423690 .......................
423710 .......................
423720 .......................
423730 .......................
423740 .......................
423810 .......................
423820
423830
423840
423850

.......................
.......................
.......................
.......................

423860 .......................
423910 .......................
423920 .......................
423930 .......................
423940 .......................
423990 .......................

Size standards
in millions of
dollars

Size standards
in number of
employees

........................
........................

100
100

........................
........................
........................
........................
........................

100
100
100
100
100

........................
........................

100
100

........................
........................
........................
........................
........................

100
100
100
100
100

........................

100

........................
........................
........................

100
100
100

........................

100

........................
........................

100
100

........................
........................
........................
........................

100
100
100
100

........................

100

........................

100

........................
........................
........................

100
100
100

........................

100

........................
........................
........................
........................
........................
........................
........................

100
100
100
100
100
100
100

100
100
100
100
100
100
100
100
100
100
100
100
100
100

........................

100

Subsector 424—Merchant Wholesalers, Nondurable Goods
424110
424120
424130
424210
424310
424320
424330

.......................
.......................
.......................
.......................
.......................
.......................
.......................

424340
424410
424420
424430
424440
424450
424460
424470
424480
424490
424510
424520
424590
424610

424690 .......................

Printing and Writing Paper Merchant Wholesalers ..............................
Stationary and Office Supplies Merchant Wholesalers ........................
Industrial and Personal Service Paper Merchant Wholesalers ............
Drugs and Druggists’ Sundries Merchant Wholesalers ........................
Piece Goods, Notions, and Other Dry Goods Merchant Wholesalers
Men’s and Boys’ Clothing and Furnishings Merchant Wholesalers .....
Women’s, Children’s, and Infants’ Clothing and Accessories Merchant Wholesalers.
Footwear Merchant Wholesalers ..........................................................
General Line Grocery Merchant Wholesalers ......................................
Packaged Frozen Food Merchant Wholesalers ...................................
Dairy Product (except Dried or Canned) Merchant Wholesalers .........
Poultry and Poultry Product Merchant Wholesalers .............................
Confectionery Merchant Wholesalers ...................................................
Fish and Seafood Merchant Wholesalers ............................................
Meat and Meat Product Merchant Wholesalers ...................................
Fresh Fruit and Vegetable Merchant Wholesalers ...............................
Other Grocery and Related Products Merchant Wholesalers ..............
Grain and Field Bean Merchant Wholesalers ......................................
Livestock Merchant Wholesalers ..........................................................
Other Farm Product Raw Material Merchant Wholesalers ..................
Plastics Materials and Basic Forms and Shapes Merchant Wholesalers.
Other Chemical and Allied Products Merchant Wholesalers ...............

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Small Business Administration

§ 121.201

SMALL BUSINESS SIZE STANDARDS BY NAICS INDUSTRY—Continued
NAICS codes

NAICS U.S. industry title

424710 .......................
424720 .......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................

Petroleum Bulk Stations and Terminals ...............................................
Petroleum and Petroleum Products Merchant Wholesalers (except
Bulk Stations and Terminals).
Beer and Ale Merchant Wholesalers ....................................................
Wine and Distilled Alcoholic Beverage Merchant Wholesalers ............
Farm Supplies Merchant Wholesalers ..................................................
Book, Periodical, and Newspaper Merchant Wholesalers ...................
Flower, Nursery Stock, and Florists’ Supplies Merchant Wholesalers
Tobacco and Tobacco Product Merchant Wholesalers .......................
Paint, Varnish, and Supplies Merchant Wholesalers ...........................
Other Miscellaneous Nondurable Goods Merchant Wholesalers ........

425110 .......................
425120 .......................

Business to Business Electronic Markets .............................................
Wholesale Trade Agents and Brokers .................................................

424810
424820
424910
424920
424930
424940
424950
424990

Size standards
in millions of
dollars

Size standards
in number of
employees

........................
........................

100
100

........................
........................
........................
........................
........................
........................
........................
........................

100
100
100
100
100
100
100
100

Subsector 425—Wholesale Electronic Markets and Agents and Brokers
........................
........................

100
100

Sectors 44–45—Retail Trade
(Not applicable to Government procurement of supplies. The nonmanufacturer size standard of 500 employees shall be used for
purposes of Government procurement of supplies.)
Subsector 441—Motor Vehicle and Parts Dealers
441110
441120
441210
441221
441222
441229

.......................
.......................
.......................
.......................
.......................
.......................
Except,
441310 .......................
441320 .......................

New Car Dealers ..................................................................................
Used Car Dealers .................................................................................
Recreational Vehicle Dealers ...............................................................
Motorcycle Dealers ...............................................................................
Boat Dealers .........................................................................................
All Other Motor Vehicle Dealers ...........................................................
Aircraft Dealers, Retail ..........................................................................
Automotive Parts and Accessories Stores ...........................................
Tire Dealers ..........................................................................................

442110
442210
442291
442299

.......................
.......................
.......................
.......................

Furniture Stores ....................................................................................
Floor Covering Stores ...........................................................................
Window Treatment Stores ....................................................................
All Other Home Furnishings Stores ......................................................

443111
443112
443120
443130

.......................
.......................
.......................
.......................

Household Appliance Stores ................................................................
Radio, Television and Other Electronics Stores ...................................
Computer and Software Stores ............................................................
Camera and Photographic Supplies Stores .........................................

444110
444120
444130
444190
444210
444220

.......................
.......................
.......................
.......................
.......................
.......................

$26.5
$21.0
$6.5
$6.5
$6.5
$6.5
$9.0
$6.5
$6.5

$6.5
$6.5
$6.5
$6.5

........................
........................
........................
........................

$8.0
$8.0
$8.0
$6.5

........................
........................
........................
........................

$6.5
$6.5
$6.5
$6.5
$6.5
$6.5

........................
........................
........................
........................
........................
........................

$25.0
$25.0
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5

$6.5

........................

Subsector 442—Furniture and Home Furnishings Stores

Subsector 443—Electronics and Appliance Stores

Subsector 444—Building Material and Garden Equipment and Supplies Dealers
Home Centers .......................................................................................
Paint and Wallpaper Stores ..................................................................
Hardware Stores ...................................................................................
Other Building Material Dealers ............................................................
Outdoor Power Equipment Stores ........................................................
Nursery and Garden Centers ...............................................................
Subsector 445—Food and Beverage Stores
445110
445120
445210
445220
445230
445291
445292
445299
445310

Supermarkets and Other Grocery (except Convenience) Stores ........
Convenience Stores .............................................................................
Meat Markets ........................................................................................
Fish and Seafood Markets ...................................................................
Fruit and Vegetable Markets ................................................................
Baked Goods Stores ............................................................................
Confectionery and Nut Stores ..............................................................
All Other Specialty Food Stores ...........................................................
Beer, Wine and Liquor Stores ..............................................................
Subsector 446—Health and Personal Care Stores

446110 .......................

Pharmacies and Drug Stores ...............................................................

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§ 121.201

13 CFR Ch. I (1–1–06 Edition)
SMALL BUSINESS SIZE STANDARDS BY NAICS INDUSTRY—Continued

NAICS codes
446120
446130
446191
446199

NAICS U.S. industry title

.......................
.......................
.......................
.......................

Cosmetics, Beauty Supplies and Perfume Stores ...............................
Optical Goods Stores ...........................................................................
Food (Health) Supplement Stores ........................................................
All Other Health and Personal Care Stores .........................................

447110 .......................
447190 .......................

Gasoline Stations with Convenience Stores ........................................
Other Gasoline Stations .......................................................................

Size standards
in millions of
dollars

Size standards
in number of
employees

$6.5
$6.5
$6.5
$6.5

........................
........................
........................
........................

$25.0
$8.0

........................
........................

$8.0
$8.0
$6.5
$8.0
$6.5
$6.5
$8.0
$6.5
$6.5

$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5

........................
........................
........................
........................
........................
........................
........................

$25.0
$25.0
$25.0
$10.5

........................
........................
........................
........................

$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$12.0
$6.5
$6.5

$23.0
$23.0
$23.0
$6.5
$11.5
$6.5
$6.5
$6.5

........................
........................
........................
........................
........................
........................
........................
........................

........................
........................
........................
$25.5
........................

1,500
1,500
1,500
........................
1,500

Subsector 447—Gasoline Stations

Subsector 448—Clothing and Clothing Accessories Stores
448110
448120
448130
448140
448150
448190
448210
448310
448320

Men’s Clothing Stores ..........................................................................
Women’s Clothing Stores .....................................................................
Children’s and Infants’ Clothing Stores ................................................
Family Clothing Stores .........................................................................
Clothing Accessories Stores .................................................................
Other Clothing Stores ...........................................................................
Shoe Stores ..........................................................................................
Jewelry Stores ......................................................................................
Luggage and Leather Goods Stores ....................................................

451110
451120
451130
451140
451211
451212
451220

.......................
.......................
.......................
.......................
.......................
.......................
.......................

Sporting Goods Stores .........................................................................
Hobby, Toy and Game Stores ..............................................................
Sewing, Needlework and Piece Goods Stores ....................................
Musical Instrument and Supplies Stores ..............................................
Book Stores ..........................................................................................
News Dealers and Newsstands ............................................................
Prerecorded Tape, Compact Disc and Record Stores .........................

452111
452112
452910
452990

.......................
.......................
.......................
.......................

Department Stores (except Discount Department Stores) ...................
Discount Department Stores .................................................................
Warehouse Clubs and Superstores .....................................................
All Other General Merchandise Stores ................................................

453110
453210
453220
453310
453910
453920
453930
453991
453998

Florists ..................................................................................................
Office Supplies and Stationery Stores .................................................
Gift, Novelty and Souvenir Stores ........................................................
Used Merchandise Stores ....................................................................
Pet and Pet Supplies Stores ................................................................
Art Dealers ............................................................................................
Manufactured (Mobile) Home Dealers ..................................................
Tobacco Stores .....................................................................................
All Other Miscellaneous Store Retailers (except Tobacco Stores) ......

454111
454112
454113
454210
454311
454312
454319
454390

.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................

Electronic Shopping ..............................................................................
Electronic Auctions ...............................................................................
Mail-Order Houses ................................................................................
Vending Machine Operators .................................................................
Heating Oil Dealers ..............................................................................
Liquefied Petroleum Gas (Bottled Gas) Dealers ..................................
Other Fuel Dealers ...............................................................................
Other Direct Selling Establishments .....................................................

Subsector 451—Sporting Good, Hobby, Book and Music Stores

Subsector 452—General Merchandise Stores

Subsector 453—Miscellaneous Store Retailers

Subsector 454—Nonstore Retailers

Sectors 48–49—Transportation
Subsector 481—Air Transportation
481111 .......................
481112 .......................
481211 .......................
Except,
481212 .......................

Scheduled Passenger Air Transportation .............................................
Scheduled Freight Air Transportation ...................................................
Nonscheduled Chartered Passenger Air Transportation ......................
Offshore Marine Air Transportation Services .......................................
Nonscheduled Chartered Freight Air Transportation ............................

308

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§ 121.201

SMALL BUSINESS SIZE STANDARDS BY NAICS INDUSTRY—Continued
NAICS codes

NAICS U.S. industry title

Except,
481219 .......................

Offshore Marine Air Transportation Services .......................................
Other Nonscheduled Air Transportation ...............................................

Size standards
in millions of
dollars

Size standards
in number of
employees

$25.5
$6.5

........................
........................

1,500
500

........................
........................
........................
........................
........................
........................

500
500
500
500
500
500

$23.5
$23.5
$23.5
$23.5
$23.5
$23.5

........................
........................
........................
........................
........................
........................

$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5

........................
$6.5
........................
$31.5

1,500
........................
1,500
........................

$6.5
$6.5
$6.5

........................
........................
........................

$6.5
$6.5
$6.5
$6.5
$23.5
$23.5
$6.5
$6.5
$6.5
$6.5
10 $6.5
$23.5

$23.5
$6.5

........................
........................

Subsector 482—Rail Transportation
482111 .......................
482112 .......................

Line-Haul Railroads ..............................................................................
Short Line Railroads .............................................................................

483111
483112
483113
483114
483211
483212

Deep Sea Freight Transportation .........................................................
Deep Sea Passenger Transportation ...................................................
Coastal and Great Lakes Freight Transportation .................................
Coastal and Great Lakes Passenger Transportation ...........................
Inland Water Freight Transportation .....................................................
Inland Water Passenger Transportation ...............................................

Subsector 483—Water Transportation 15
.......................
.......................
.......................
.......................
.......................
.......................

Subsector 484—Truck Transportation
484110
484121
484122
484210
484220
484230

.......................
.......................
.......................
.......................
.......................
.......................

General Freight Trucking, Local ...........................................................
General Freight Trucking, Long-Distance, Truckload ...........................
General Freight Trucking, Long-Distance, Less Than Truckload ........
Used Household and Office Goods Moving .........................................
Specialized Freight (except Used Goods) Trucking, Local ..................
Specialized Freight (except Used Goods) Trucking, Long-Distance ...

485111
485112
485113
485119
485210
485310
485320
485410
485510
485991
485999

Mixed Mode Transit Systems ...............................................................
Commuter Rail Systems .......................................................................
Bus and Motor Vehicle Transit Systems ..............................................
Other Urban Transit Systems ...............................................................
Interurban and Rural Bus Transportation .............................................
Taxi Service ..........................................................................................
Limousine Service .................................................................................
School and Employee Bus Transportation ...........................................
Charter Bus Industry .............................................................................
Special Needs Transportation ..............................................................
All Other Transit and Ground Passenger Transportation .....................

486110
486210
486910
486990

.......................
.......................
.......................
.......................

Pipeline Transportation of Crude Oil ....................................................
Pipeline Transportation of Natural Gas ................................................
Pipeline Transportation of Refined Petroleum Products ......................
All Other Pipeline Transportation ..........................................................

487110 .......................
487210 .......................
487990 .......................

Scenic and Sightseeing Transportation, Land .....................................
Scenic and Sightseeing Transportation, Water ....................................
Scenic and Sightseeing Transportation, Other ....................................

488111
488119
488190
488210
488310
488320
488330
488390
488410
488490
488510

Air Traffic Control ..................................................................................
Other Airport Operations .......................................................................
Other Support Activities for Air Transportation ....................................
Support Activities for Rail Transportation .............................................
Port and Harbor Operations .................................................................
Marine Cargo Handling .........................................................................
Navigational Services to Shipping ........................................................
Other Support Activities for Water Transportation ...............................
Motor Vehicle Towing ...........................................................................
Other Support Activities for Road Transportation ................................
Freight Transportation Arrangement 10 .................................................
Non-Vessel Owning Common Carriers and Household Goods Forwarders.
Packing and Crating .............................................................................
All Other Support Activities for Transportation .....................................

Subsector 485—Transit and Ground Passenger Transportation

Subsector 486—Pipeline Transportation

Subsector 487—Scenic and Sightseeing Transportation

Subsector 488—Support Activities for Transportation
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
Except,

488991 .......................
488999 .......................

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13 CFR Ch. I (1–1–06 Edition)
SMALL BUSINESS SIZE STANDARDS BY NAICS INDUSTRY—Continued

NAICS codes

NAICS U.S. industry title

Size standards
in millions of
dollars

Size standards
in number of
employees

$6.5

........................

........................
$23.5

1,500
........................

$23.5
$23.5
$23.5
$23.5

........................
........................
........................
........................

........................
........................
........................
........................
........................
........................
$23.0

500
500
500
500
500
500
........................

Subsector 491—Postal Service
491110 .......................

Postal Service .......................................................................................
Subsector 492—Couriers and Messengers

492110 .......................
492210 .......................

Couriers ................................................................................................
Local Messengers and Local Delivery ..................................................
Subsector 493—Warehousing and Storage

493110
493120
493130
493190

.......................
.......................
.......................
.......................

General Warehousing and Storage ......................................................
Refrigerated Warehousing and Storage ...............................................
Farm Product Warehousing and Storage .............................................
Other Warehousing and Storage ..........................................................
Sector 51—Information
Subsector 511—Publishing Industries (except Internet)

511110
511120
511130
511140
511191
511199
511210

.......................
.......................
.......................
.......................
.......................
.......................
.......................

Newspaper Publishers ..........................................................................
Periodical Publishers ............................................................................
Book Publishers ....................................................................................
Directory and Mailing List Publishers ...................................................
Greeting Card Publishers .....................................................................
All Other Publishers ..............................................................................
Software Publishers ..............................................................................

Subsector 512—Motion Picture and Sound Recording Industries
512110
512120
512131
512132
512191
512199
512210
512220
512230
512240
512290

Motion Picture and Video Production ...................................................
Motion Picture and Video Distribution ..................................................
Motion Picture Theaters (except Drive-Ins) ..........................................
Drive-In Motion Picture Theaters ..........................................................
Teleproduction and Other Postproduction Services .............................
Other Motion Picture and Video Industries ..........................................
Record Production ................................................................................
Integrated Record Production/Distribution ............................................
Music Publishers ...................................................................................
Sound Recording Studios .....................................................................
Other Sound Recording Industries .......................................................

$27.0
$27.0
$6.5
$6.5
$27.0
$6.5
$6.5
........................
........................
$6.5
$6.5

$6.5
$6.5
$13.0
$13.5

........................
........................
........................
........................

........................

500

........................
........................
........................
........................
$13.5
$13.5
$13.5

1,500
1,500
1,500
1,500
........................
........................
........................

Subsector 515—Broadcasting (except Internet)
515111
515112
515120
515210

.......................
.......................
.......................
.......................

Radio Networks .....................................................................................
Radio Stations ......................................................................................
Television Broadcasting ........................................................................
Cable and Other Subscription Programming ........................................
Subsector 516—Internet Publishing and Broadcasting

516110 .......................

Internet Publishing and Broadcasting ...................................................
Subsector 517—Telecommunications

517110
517211
517212
517310
517410
517510
517910

.......................
.......................
.......................
.......................
.......................
.......................
.......................

Wired Telecommunications Carriers .....................................................
Paging ...................................................................................................
Cellular and Other Wireless Telecommunications ...............................
Telecommunications Resellers .............................................................
Satellite Telecommunications ...............................................................
Cable and Other Program Distribution .................................................
Other Telecommunications ...................................................................

Subsector 518—Internet Service Providers, Web Search Portals, and Data Processing Services
518111 .......................
518112 .......................
518210 .......................

Internet Service Providers ....................................................................
Web Search Portals ..............................................................................
Data Processing, Hosting, and Related Services ................................

519110 .......................

News Syndicates ..................................................................................

$23.0
$6.5
$23.0

........................
........................
........................

$6.5

........................

Subsector 519—Other Information Services

310

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208042

Small Business Administration

§ 121.201

SMALL BUSINESS SIZE STANDARDS BY NAICS INDUSTRY—Continued
NAICS codes

NAICS U.S. industry title

519120 .......................
519190 .......................

Libraries and Archives ..........................................................................
All Other Information Services ..............................................................

Size standards
in millions of
dollars

Size standards
in number of
employees

$6.5
$6.5

........................
........................

million
in assets
million
in assets
8 $165 million
in assets
8 $165 million
in assets
8 $165 million
in assets
$6.5
$6.5
$6.5
8 $165 million
in assets
$6.5
$6.5
$6.5
$6.5

........................

........................
........................
........................
........................

$6.5

........................

$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5

$6.5
$6.5
........................
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5

........................
........................
1,500
........................
........................
........................
........................
........................
........................
........................

$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5

........................
........................
........................
........................
........................
........................
........................

$6.5
$6.5

........................
........................

Sector 52—Finance and Insurance
Subsector 522—Credit Intermediation and Related Activities
522110 .......................

Commercial Banking 8 ...........................................................................
Institutions 8

522120 .......................

Savings

522130 .......................

Credit Unions 8 ......................................................................................

522190 .......................

Other Depository Credit Intermediation 8 ..............................................

522210 .......................

Credit Card Issuing 8 .............................................................................

522220
522291
522292
522293

.......................
.......................
.......................
.......................

Sales Financing ....................................................................................
Consumer Lending ...............................................................................
Real Estate Credit ................................................................................
International Trade Financing 8 .............................................................

522294
522298
522310
522320

.......................
.......................
.......................
.......................

Secondary Market Financing ................................................................
All Other Non-Depository Credit Intermediation ...................................
Mortgage and Nonmortgage Loan Brokers ..........................................
Financial Transactions Processing, Reserve, and Clearing House Activities.
Other Activities Related to Credit Intermediation .................................

522390 .......................

8 $165
8 $165

.............................................................................

........................
........................
........................
........................
........................
........................
........................
........................

Subsector 523—Financial Investments and Related Activities
523110
523120
523130
523140
523210
523910
523920
523930
523991
523999

Investment Banking and Securities Dealing .........................................
Securities Brokerage ............................................................................
Commodity Contracts Dealing ..............................................................
Commodity Contracts Brokerage ..........................................................
Securities and Commodity Exchanges .................................................
Miscellaneous Intermediation ...............................................................
Portfolio Management ...........................................................................
Investment Advice .................................................................................
Trust, Fiduciary and Custody Activities ................................................
Miscellaneous Financial Investment Activities ......................................
Subsector 524—Insurance Carriers and Related Activities

524113
524114
524126
524127
524128
524130
524210
524291
524292
524298

Direct Life Insurance Carriers ...............................................................
Direct Health and Medical Insurance Carriers .....................................
Direct Property and Casualty Insurance Carriers .................................
Direct Title Insurance Carriers ..............................................................
Other Direct Insurance (except Life, Health and Medical) Carriers .....
Reinsurance Carriers ............................................................................
Insurance Agencies and Brokerages ...................................................
Claims Adjusting ...................................................................................
Third Party Administration of Insurance and Pension Funds ..............
All Other Insurance Related Activities ..................................................

525110
525120
525190
525910
525920
525930
525990

.......................
.......................
.......................
.......................
.......................
.......................
.......................

Pension Funds ......................................................................................
Health and Welfare Funds ....................................................................
Other Insurance Funds .........................................................................
Open-End Investment Funds ................................................................
Trusts, Estates, and Agency Accounts ................................................
Real Estate Investment Trusts .............................................................
Other Financial Vehicles .......................................................................

Subsector 525—Funds, Trusts and Other Financial Vehicles

Sector 53—Real Estate and Rental and Leasing
Subsector 531—Real Estate
531110 .......................
531120 .......................

Lessors of Residential Buildings and Dwellings ...................................
Lessors of Nonresidential Buildings (except Miniwarehouses) ............

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§ 121.201

13 CFR Ch. I (1–1–06 Edition)
SMALL BUSINESS SIZE STANDARDS BY NAICS INDUSTRY—Continued

NAICS codes

NAICS U.S. industry title

531130 .......................
531190 .......................
Except,
531210 .......................
531311 .......................
531312 .......................
531320 .......................
531390 .......................

Lessors of Miniwarehouses and Self Storage Units ............................
Lessors of Other Real Estate Property ................................................
Leasing of Building Space to Federal Government by Owners 9 .........
Offices of Real Estate Agents and Brokers 10 ......................................
Residential Property Managers ............................................................
Nonresidential Property Managers .......................................................
Offices of Real Estate Appraisers ........................................................
Other Activities Related to Real Estate ................................................

532111 .......................
532112 .......................
532120 .......................

Passenger Car Rental ..........................................................................
Passenger Car Leasing ........................................................................
Truck, Utility Trailer, and RV (Recreational Vehicle) Rental and Leasing.
Consumer Electronics and Appliances Rental .....................................
Formal Wear and Costume Rental .......................................................
Video Tape and Disc Rental ................................................................
Home Health Equipment Rental ...........................................................
Recreational Goods Rental ..................................................................
All Other Consumer Goods Rental .......................................................
General Rental Centers ........................................................................
Commercial Air, Rail, and Water Transportation Equipment Rental
and Leasing.
Construction, Mining and Forestry Machinery and Equipment Rental
and Leasing.
Office Machinery and Equipment Rental and Leasing .........................
Other Commercial and Industrial Machinery and Equipment Rental
and Leasing.

Size standards
in millions of
dollars

Size standards
in number of
employees

$23.5
$6.5

$2.0
$2.0
$2.0
$2.0

........................
........................
........................
........................
........................
........................
........................
........................

$23.5
$23.5
$23.5

........................
........................
........................

$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5

........................
........................
........................
........................
........................
........................
........................
........................

9 $19.0
10 $2.0

Subsector 532—Rental and Leasing Services

532210
532220
532230
532291
532292
532299
532310
532411

.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................

532412 .......................
532420 .......................
532490 .......................

$6.5

........................

$23.0
$6.5

........................
........................

Subsector 533—Lessors of Nonfinancial Intangible Assets (except Copyrighted Works)
533110 .......................

Lessors of Nonfinancial Intangible Assets (except Copyrighted
Works).

$6.5

........................

$6.5
$6.5
$6.5
$7.5
$6.5
$7.5
$7.5
$4.5
$6.5
$4.5
$25.0
$25.0

$17.0
$6.5
$4.5
$6.5
$4.5
$4.5
$11.0
$6.5
$6.5
$6.5
$6.5
$23.0
$23.0
$23.0
$23.0
........................
$6.5

$6.5

........................

Sector 54—Professional, Scientific and Technical Services
Subsector 541—Professional, Scientific and Technical Services
541110
541191
541199
541211
541213
541214
541219
541310
541320
541330

Except,
541340 .......................
Except,
541350 .......................
541360 .......................
541370 .......................
541380 .......................
541410 .......................
541420 .......................
541430 .......................
541490 .......................
541511 .......................
541512 .......................
541513 .......................
541519 .......................
Except,
541611 .......................
541612 .......................

Offices of Lawyers ................................................................................
Title Abstract and Settlement Offices ...................................................
All Other Legal Services .......................................................................
Offices of Certified Public Accountants ................................................
Tax Preparation Services .....................................................................
Payroll Services ....................................................................................
Other Accounting Services ...................................................................
Architectural Services ...........................................................................
Landscape Architectural Services ........................................................
Engineering Services ............................................................................
Military and Aerospace Equipment and Military Weapons ...................
Contracts and Subcontracts for Engineering Services Awarded
Under the National Energy Policy Act of 1992.
Marine Engineering and Naval Architecture .........................................
Drafting Services ...................................................................................
Map Drafting .........................................................................................
Building Inspection Services .................................................................
Geophysical Surveying and Mapping Services ....................................
Surveying and Mapping (except Geophysical) Services ......................
Testing Laboratories .............................................................................
Interior Design Services .......................................................................
Industrial Design Services ....................................................................
Graphic Design Services ......................................................................
Other Specialized Design Services ......................................................
Custom Computer Programming Services ...........................................
Computer Systems Design Services ....................................................
Computer Facilities Management Services ..........................................
Other Computer Related Services ........................................................
Information Technology Value Added Resellers 18 ..............................
Administrative Management and General Management Consulting
Services.
Human Resources and Executive Search Consulting Services ..........

312

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Small Business Administration

§ 121.201

SMALL BUSINESS SIZE STANDARDS BY NAICS INDUSTRY—Continued
NAICS codes
541613
541614
541618
541620
541690
541710

NAICS U.S. industry title

.......................
.......................
.......................
.......................
.......................
.......................

EXCEPT,
EXCEPT,
EXCEPT,
541720
541810
541820
541830
541840
541850
541860
541870
541890
541910
541921
541922
541930
541940
541990

Size standards
in millions of
dollars

Size standards
in number of
employees

$6.5
$6.5
$6.5
$6.5
$6.5
........................

........................
........................
........................
........................
........................
11 500

........................
........................
........................

1,500
1,000
1,000

$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5

$6.5
$6.5

........................
........................

Marketing Consulting Services .............................................................
Process, Physical Distribution and Logistics Consulting Services .......
Other Management Consulting Services ..............................................
Environmental Consulting Services ......................................................
Other Scientific and Technical Consulting Services .............................
Research and Development in the Physical, Engineering, and Life
Sciences11.
Aircraft ...................................................................................................
Aircraft Parts, and Auxiliary Equipment, and Aircraft Engine Parts .....
Space Vehicles and Guided Missiles, their Propulsion Units, their
Propulsion Units Parts, and their Auxiliary Equipment and Parts.
Research and Development in the Social Sciences and Humanities ..
Advertising Agencies 10 .........................................................................
Public Relations Agencies ....................................................................
Media Buying Agencies ........................................................................
Media Representatives .........................................................................
Display Advertising ...............................................................................
Direct Mail Advertising ..........................................................................
Advertising Material Distribution Services ............................................
Other Services Related to Advertising .................................................
Marketing Research and Public Opinion Polling ..................................
Photography Studios, Portrait ...............................................................
Commercial Photography .....................................................................
Translation and Interpretation Services ................................................
Veterinary Services ...............................................................................
All Other Professional, Scientific and Technical Services ....................

10 $6.5

Sector 55—Management of Companies and Enterprises
Subsector 551—Management of Companies and Enterprises
551111 .......................
551112 .......................

Offices of Bank Holding Companies ....................................................
Offices of Other Holding Companies ....................................................

Sector 56—Administrative and Support, Waste Management and Remediation Services
Subsector 561—Administrative and Support Services
561110
561210
561310
561320
561330
561410
561421
561422
561431
561439
561440
561450
561491
561492
561499
561510
561520
561591
561599
561611
561612
561613
561621
561622
561710
561720
561730
561740
561790
561910
561920
561990

.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................

Office Administrative Services ..............................................................
Facilities Support Services 12 ................................................................
Employment Placement Agencies ........................................................
Temporary Help Services .....................................................................
Employee Leasing Services .................................................................
Document Preparation Services ...........................................................
Telephone Answering Services ............................................................
Telemarketing Bureaus .........................................................................
Private Mail Centers .............................................................................
Other Business Service Centers (including Copy Shops) ....................
Collection Agencies ..............................................................................
Credit Bureaus ......................................................................................
Repossession Services .........................................................................
Court Reporting and Stenotype Services .............................................
All Other Business Support Services ...................................................
Travel Agencies 10 ................................................................................
Tour Operators 10 ..................................................................................
Convention and Visitors Bureaus .........................................................
All Other Travel Arrangement and Reservation Services ....................
Investigation Services ...........................................................................
Security Guards and Patrol Services ...................................................
Armored Car Services ..........................................................................
Security Systems Services (except Locksmiths) ..................................
Locksmiths ............................................................................................
Exterminating and Pest Control Services .............................................
Janitorial Services .................................................................................
Landscaping Services ...........................................................................
Carpet and Upholstery Cleaning Services ...........................................
Other Services to Buildings and Dwellings ..........................................
Packaging and Labeling Services ........................................................
Convention and Trade Show Organizers 10 .........................................
All Other Support Services ...................................................................

$6.5
12 $32.5

$6.5
$12.5
$12.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
10 $3.510
10 $6.5
$6.5
$6.5
$11.5
$11.5
$11.5
$11.5
$6.5
$6.5
$15.0
$6.5
$4.5
$6.5
$6.5
10 $6.5
$6.5

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§ 121.201

13 CFR Ch. I (1–1–06 Edition)
SMALL BUSINESS SIZE STANDARDS BY NAICS INDUSTRY—Continued

NAICS codes

Size standards
in millions of
dollars

NAICS U.S. industry title

Size standards
in number of
employees

Subsector 562—Waste Management and Remediation Services
562111
562112
562119
562211
562212
562213
562219
562910

Solid Waste Collection ..........................................................................
Hazardous Waste Collection ................................................................
Other Waste Collection .........................................................................
Hazardous Waste Treatment and Disposal ..........................................
Solid Waste Landfill ..............................................................................
Solid Waste Combustors and Incinerators ...........................................
Other Nonhazardous Waste Treatment and Disposal .........................
Remediation Services ...........................................................................
Environmental Remediation Services 14 ...............................................
Materials Recovery Facilities ................................................................
Septic Tank and Related Services .......................................................
All Other Miscellaneous Waste Management Services .......................

$11.5
$11.5
$11.5
$11.5
$11.5
$11.5
$11.5
$13.0
........................
$11.5
$6.5
$6.5

$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$23.5
$6.5
$6.5
16 $32.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5

$9.0
$9.0
$6.5
$6.5
$6.5
$6.5
$6.5

........................
........................
........................
........................
........................
........................
........................

$6.5
$6.5
$9.0
$9.0
$9.0
$31.5
$9.0
$9.0
$12.5
$12.5
$12.5
$6.5
$9.0
$9.0

$31.5
$31.5
$31.5

........................
........................
........................

Sector 61—Educational Services
Subsector 611—Educational Services
611110
611210
611310
611410
611420
611430
611511
611512
611513
611519

Elementary and Secondary Schools ....................................................
Junior Colleges .....................................................................................
Colleges, Universities and Professional Schools .................................
Business and Secretarial Schools ........................................................
Computer Training ................................................................................
Professional and Management Development Training ........................
Cosmetology and Barber Schools ........................................................
Flight Training .......................................................................................
Apprenticeship Training ........................................................................
Other Technical and Trade Schools .....................................................
Job Corps Centers 16 ............................................................................
Fine Arts Schools .................................................................................
Sports and Recreation Instruction ........................................................
Language Schools ................................................................................
Exam Preparation and Tutoring ...........................................................
Automobile Driving Schools ..................................................................
All Other Miscellaneous Schools and Instruction .................................
Educational Support Services ...............................................................
Sector 62—Health Care and Social Assistance
Subsector 621—Ambulatory Health Care Services

621111
621112
621210
621310
621320
621330
621340

.......................
.......................
.......................
.......................
.......................
.......................
.......................

621391
621399
621410
621420
621491
621492
621493
621498
621511
621512
621610
621910
621991
621999

Offices of Physicians (except Mental Health Specialists) ....................
Offices of Physicians, Mental Health Specialists .................................
Offices of Dentists ................................................................................
Offices of Chiropractors ........................................................................
Offices of Optometrists .........................................................................
Offices of Mental Health Practitioners (except Physicians) .................
Offices of Physical, Occupational and Speech Therapists and Audiologists.
Offices of Podiatrists .............................................................................
Offices of All Other Miscellaneous Health Practitioners .......................
Family Planning Centers .......................................................................
Outpatient Mental Health and Substance Abuse Centers ...................
HMO Medical Centers ..........................................................................
Kidney Dialysis Centers ........................................................................
Freestanding Ambulatory Surgical and Emergency Centers ...............
All Other Outpatient Care Centers .......................................................
Medical Laboratories ............................................................................
Diagnostic Imaging Centers ..................................................................
Home Health Care Services .................................................................
Ambulance Services .............................................................................
Blood and Organ Banks .......................................................................
All Other Miscellaneous Ambulatory Health Care Services .................
Subsector 622—Hospitals

622110 .......................
622210 .......................
622310 .......................

General Medical and Surgical Hospitals ..............................................
Psychiatric and Substance Abuse Hospitals ........................................
Specialty (except Psychiatric and Substance Abuse) Hospitals ..........

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§ 121.201

SMALL BUSINESS SIZE STANDARDS BY NAICS INDUSTRY—Continued
NAICS codes

NAICS U.S. industry title

Size standards
in millions of
dollars

Size standards
in number of
employees

$12.5
$9.0
$6.5
$12.5
$6.5
$6.5

........................
........................
........................
........................
........................
........................

$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5

$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5

........................
........................
........................
........................
........................
........................
........................
........................

$6.5

........................

$6.5

........................

$6.5

........................

$6.5
$6.5
$6.5
$6.5

........................
........................
........................
........................

$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5

$6.5
$6.5
$6.5
$6.5
$6.5

........................
........................
........................
........................
........................

Subsector 623—Nursing and Residential Care Facilities
623110
623210
623220
623311
623312
623990

.......................
.......................
.......................
.......................
.......................
.......................

Nursing Care Facilities ..........................................................................
Residential Mental Retardation Facilities .............................................
Residential Mental Health and Substance Abuse Facilities .................
Continuing Care Retirement Communities ...........................................
Homes for the Elderly ...........................................................................
Other Residential Care Facilities ..........................................................

624110
624120
624190
624210
624221
624229
624230
624310
624410

Child and Youth Services .....................................................................
Services for the Elderly and Persons with Disabilities .........................
Other Individual and Family Services ...................................................
Community Food Services ....................................................................
Temporary Shelters ..............................................................................
Other Community Housing Services ....................................................
Emergency and Other Relief Services .................................................
Vocational Rehabilitation Services .......................................................
Child Day Care Services ......................................................................

Subsector 624—Social Assistance

Sector 71—Arts, Entertainment and Recreation
Sector 71—Arts, Entertainment and Recreation
Subsector 711—Performing Arts, Spectator Sports and Related Industries
711110
711120
711130
711190
711211
711212
711219
711310

.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................

711320 .......................
711410 .......................
711510 .......................

Theater Companies and Dinner Theaters ............................................
Dance Companies ................................................................................
Musical Groups and Artists ..................................................................
Other Performing Arts Companies .......................................................
Sports Teams and Clubs ......................................................................
Race Tracks ..........................................................................................
Other Spectator Sports .........................................................................
Promoters of Performing Arts, Sports and Similar Events with Facilities.
Promoters of Performing Arts, Sports and Similar Events without Facilities.
Agents and Managers for Artists, Athletes, Entertainers and Other
Public Figures.
Independent Artists, Writers, and Performers ......................................

Subsector 712—Museums, Historical Sites and Similar Institutions
712110
712120
712130
712190

.......................
.......................
.......................
.......................

Museums ..............................................................................................
Historical Sites ......................................................................................
Zoos and Botanical Gardens ................................................................
Nature Parks and Other Similar Institutions .........................................

Subsector 713—Amusement, Gambling and Recreation Industries
713110
713120
713210
713290
713910
713920
713930
713940
713950
713990

Amusement and Theme Parks .............................................................
Amusement Arcades ............................................................................
Casinos (except Casino Hotels) ...........................................................
Other Gambling Industries ....................................................................
Golf Courses and Country Clubs .........................................................
Skiing Facilities .....................................................................................
Marinas .................................................................................................
Fitness and Recreational Sports Centers .............................................
Bowling Centers ....................................................................................
All Other Amusement and Recreation Industries .................................
Sector 72—Accommodation and Food Services
Subsector 721—Accommodation

721110
721120
721191
721199
721211

.......................
.......................
.......................
.......................
.......................

Hotels (except Casino Hotels) and Motels ...........................................
Casino Hotels .......................................................................................
Bed and Breakfast Inns ........................................................................
All Other Traveler Accommodation .......................................................
RV (Recreational Vehicle) Parks and Campgrounds ...........................

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13 CFR Ch. I (1–1–06 Edition)
SMALL BUSINESS SIZE STANDARDS BY NAICS INDUSTRY—Continued

NAICS codes

NAICS U.S. industry title

721214 .......................
721310 .......................

Recreational and Vacation Camps (except Campgrounds) .................
Rooming and Boarding Houses ...........................................................

Size standards
in millions of
dollars

Size standards
in number of
employees

$6.5
$6.5

........................
........................

$6.5
$6.5
$6.5
$6.5
$19.0
$6.5
$6.5
$6.5

........................
........................
........................
........................
........................
........................
........................
........................

$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$23.0
$6.5
$6.5
$6.5

$6.5
$6.5
$6.5
$6.5
$6.5

........................
........................
........................
........................
........................

$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$4.5
$13.0
$13.0
$6.5
$6.5
$6.5
$6.5
$6.5

Subsector 722—Food Services and Drinking Places
722110
722211
722212
722213
722310
722320
722330
722410

.......................
.......................
.......................
.......................
.......................
.......................
.......................
.......................

Full-Service Restaurants .......................................................................
Limited-Service Restaurants .................................................................
Cafeterias ..............................................................................................
Snack and Nonalcoholic Beverage Bars ..............................................
Food Service Contractors .....................................................................
Caterers ................................................................................................
Mobile Food Services ...........................................................................
Drinking Places (Alcoholic Beverages) .................................................
Sector 81—Other Services
Subsector 811—Repair and Maintenance

811111
811112
811113
811118
811121
811122
811191
811192
811198
811211
811212
811213
811219
811310

811411
811412
811420
811430
811490

.......................
.......................
.......................
.......................
.......................

General Automotive Repair ..................................................................
Automotive Exhaust System Repair .....................................................
Automotive Transmission Repair ..........................................................
Other Automotive Mechanical and Electrical Repair and Maintenance
Automotive Body, Paint and Interior Repair and Maintenance ............
Automotive Glass Replacement Shops ................................................
Automotive Oil Change and Lubrication Shops ...................................
Car Washes ..........................................................................................
All Other Automotive Repair and Maintenance ....................................
Consumer Electronics Repair and Maintenance ..................................
Computer and Office Machine Repair and Maintenance .....................
Communication Equipment Repair and Maintenance ..........................
Other Electronic and Precision Equipment Repair and Maintenance ..
Commercial and Industrial Machinery and Equipment (except Automotive and Electronic) Repair and Maintenance.
Home and Garden Equipment Repair and Maintenance .....................
Appliance Repair and Maintenance .....................................................
Reupholstery and Furniture Repair ......................................................
Footwear and Leather Goods Repair ...................................................
Other Personal and Household Goods Repair and Maintenance .......

812111
812112
812113
812191
812199
812210
812220
812310
812320
812331
812332
812910
812921
812922
812930
812990

Barber Shops ........................................................................................
Beauty Salons .......................................................................................
Nail Salons ............................................................................................
Diet and Weight Reducing Centers ......................................................
Other Personal Care Services ..............................................................
Funeral Homes and Funeral Services ..................................................
Cemeteries and Crematories ................................................................
Coin-Operated Laundries and Drycleaners ..........................................
Drycleaning and Laundry Services (except Coin-Operated) ................
Linen Supply .........................................................................................
Industrial Launderers ............................................................................
Pet Care (except Veterinary) Services .................................................
Photo Finishing Laboratories (except One-Hour) .................................
One-Hour Photo Finishing ....................................................................
Parking Lots and Garages ....................................................................
All Other Personal Services ..................................................................

813110
813211
813212
813219
813311
813312
813319
813410
813910
813920
813930

Subsector 812—Personal and Laundry Services

Subsector 813—Religious, Grantmaking, Civic, Professional and Similar Organizations
Religious Organizations ........................................................................
Grantmaking Foundations ....................................................................
Voluntary Health Organizations ............................................................
Other Grantmaking and Giving Services ..............................................
Human Rights Organizations ................................................................
Environment, Conservation and Wildlife Organizations .......................
Other Social Advocacy Organizations ..................................................
Civic and Social Organizations .............................................................
Business Associations ..........................................................................
Professional Organizations ...................................................................
Labor Unions and Similar Labor Organizations ...................................

$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5
$6.5

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SMALL BUSINESS SIZE STANDARDS BY NAICS INDUSTRY—Continued
NAICS codes

NAICS U.S. industry title

813940 .......................
813990 .......................

Political Organizations ..........................................................................
Other Similar Organizations (except Business, Professional, Labor,
and Political Organizations).

Size standards
in millions of
dollars

Size standards
in number of
employees

$6.5
$6.5

........................
........................

Sector 92—Public Administration 19
(Small business size standards are not established for this sector. Establishments in the Public Administration sector are Federal, state, and local government agencies which administer and oversee government programs and activities that are not
performed by private establishments.)

Footnotes
1. NAICS codes 221111, 221112, 221113, 221119,
221121, and 221122—A firm is small if, including its affiliates, it is primarily engaged in
the generation, transmission, and/or distribution of electric energy for sale and its
total electric output for the preceding fiscal
year did not exceed 4 million megawatt
hours.
2. NAICS code 237990—Dredging: To be considered small for purposes of Government
procurement, a firm must perform at least 40
percent of the volume dredged with its own
equipment or equipment owned by another
small dredging concern.
3. NAICS code 311421—For purposes of Government procurement for food canning and
preserving, the standard of 500 employees excludes agricultural labor as defined in 3306(k)
of the Internal Revenue Code, 26 U.S.C.
3306(k).
4. NAICS code 324110—For purposes of Government procurement, the petroleum refiner
must be a concern that has no more than
1,500 employees nor more than 125,000 barrels
per calendar day total Operable Atmospheric
Crude Oil Distillation capacity. Capacity includes owned or leased facilities as well as
facilities under a processing agreement or an
arrangement such as an exchange agreement
or a throughput. The total product to be delivered under the contract must be at least
90 percent refined by the successful bidder
from either crude oil or bona fide feedstocks.
5. NAICS code 326211—For Government procurement, a firm is small for bidding on a
contract for pneumatic tires within Census
Classification codes 30111 and 30112, provided
that:
(a) The value of tires within Census Classification codes 30111 and 30112 which it manufactured in the United States during the previous calendar year is more than 50 percent
of the value of its total worldwide manufacture,
(b) The value of pneumatic tires within
Census Classification codes 30111 and 30112
comprising its total worldwide manufacture
during the preceding calendar year was less
than 5 percent of the value of all such tires

manufactured in the United States during
that period, and
(c) The value of the principal product
which it manufactured or otherwise produced, or sold worldwide during the preceding calendar year is less than 10 percent
of the total value of such products manufactured or otherwise produced or sold in the
United States during that period.
6. NAICS Subsectors 333, 334, 335 and 336—
For rebuilding machinery or equipment on a
factory basis, or equivalent, use the NAICS
code for a newly manufactured product. Concerns performing major rebuilding or overhaul activities do not necessarily have to
meet the criteria for being a ‘‘manufacturer’’
although the activities may be classified
under a manufacturing NAICS code. Ordinary repair services or preservation are not
considered rebuilding.
7. NAICS code 336413—Contracts for the rebuilding or overhaul of aircraft ground support equipment on a contract basis are classified under NAICS code 336413.
8. NAICS Codes 522110, 522120, 522130, 522190,
522210 and 522293—A financial institution’s
assets are determined by averaging the assets reported on its four quarterly financial
statements for the preceding year. ‘‘Assets’’
for the purposes of this size standard means
the assets defined according to the Federal
Financial Institutions Examination Council
034 call report form.
9. NAICS code 531190—Leasing of building
space to the Federal Government by Owners:
For Government procurement, a size standard of $19.0 million in gross receipts applies
to the owners of building space leased to the
Federal Government. The standard does not
apply to an agent.
10. NAICS codes 488510 (part) 531210, 541810,
561510, 561520, and 561920—As measured by
total revenues, but excluding funds received
in trust for an unaffiliated third party, such
as bookings or sales subject to commissions.
The commissions received are included as
revenues.
11. NAICS code 541710—For research and development contracts requiring the delivery
of a manufactured product, the appropriate

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size standard is that of the manufacturing
industry.
(a) ‘‘Research and Development’’ means
laboratory or other physical research and development. It does not include economic,
educational, engineering, operations, systems, or other nonphysical research; or computer programming, data processing, commercial and/or medical laboratory testing.
(b) For purposes of the Small Business Innovation Research (SBIR) program only, a
different definition has been established by
law. See § 121.701 of these regulations.
(c) ‘‘Research and Development’’ for guided
missiles and space vehicles includes evaluations and simulation, and other services requiring thorough knowledge of complete
missiles and spacecraft.
12. NAICS code 561210—Facilities Support
Services:
(a) If one or more activities of Facilities
Support Services as defined in paragraph (b)
(below in this footnote) can be identified
with a specific industry and that industry
accounts for 50% or more of the value of an
entire procurement, then the proper classification of the procurement is that of the
specific industry, not Facilities Support
Services.
(b) ‘‘Facilities Support Services’’ requires
the performance of three or more separate
activities in the areas of services or specialty trade contractors industries. If services are performed, these service activities
must each be in a separate NAICS industry.
If the procurement requires the use of specialty trade contractors (plumbing, painting,
plastering, carpentry, etc.), all such specialty trade contractors activities are considered a single activity and classified as
‘‘Building and Property Specialty Trade
Services.’’ Since ‘‘Building and Property
Specialty Trade Services’’ is only one activity, two additional activities of separate
NAICS industries are required for a procurement to be classified as ‘‘Facilities Support
Services.’’
13. NAICS code 238990—Building and Property Specialty Trade Services: If a procurement requires the use of multiple specialty
trade contractors (i.e., plumbing, painting,
plastering, carpentry, etc.), and no specialty
trade accounts for 50% or more of the value
of the procurement, all such specialty trade
contractors activities are considered a single
activity and classified as Building and Property Specialty Trade Services.
14. NAICS 562910—Environmental Remediation Services:
(a) For SBA assistance as a small business
concern in the industry of Environmental
Remediation Services, other than for Government procurement, a concern must be engaged primarily in furnishing a range of
services for the remediation of a contaminated environment to an acceptable condition including, but not limited to, prelimi-

nary assessment, site inspection, testing, remedial investigation, feasibility studies, remedial design, containment, remedial action, removal of contaminated materials,
storage of contaminated materials and security and site closeouts. If one of such activities accounts for 50 percent or more of a concern’s total revenues, employees, or other related factors, the concern’s primary industry
is that of the particular industry and not the
Environmental Remediation Services Industry.
(b) For purposes of classifying a Government procurement as Environmental Remediation Services, the general purpose of the
procurement must be to restore or directly
support the restoration of a contaminated
environment (such as, preliminary assessment, site inspection, testing, remedial investigation, feasibility studies, remedial design, remediation services, containment, removal of contaminated materials, storage of
contaminated materials or security and site
closeouts), although the general purpose of
the procurement need not necessarily include remedial actions. Also, the procurement must be composed of activities in three
or more separate industries with separate
NAICS codes or, in some instances (e.g., engineering), smaller sub-components of NAICS
codes with separate, distinct size standards.
These activities may include, but are not
limited to, separate activities in industries
such as: Heavy Construction; Specialty
Trade Contractors; Engineering Services; Architectural Services; Management Consulting Services; Hazardous and Other Waste
Collection; Remediation Services, Testing
Laboratories; and Research and Development
in the Physical, Engineering and Life
Sciences. If any activity in the procurement
can be identified with a separate NAICS
code, or component of a code with a separate
distinct size standard, and that industry accounts for 50 percent or more of the value of
the entire procurement, then the proper size
standard is the one for that particular industry, and not the Environmental Remediation
Service size standard.
15. Subsector 483—Water Transportation—
Offshore Marine Services: The applicable size
standard shall be $25.5 million for firms furnishing specific transportation services to
concerns engaged in offshore oil and/or natural gas exploration, drilling production, or
marine research; such services encompass
passenger and freight transportation, anchor
handling, and related logistical services to
and from the work site or at sea.
16. NAICS codes 611519—Job Corps Centers.
For classifying a Federal procurement, the
purpose of the solicitation must be for the
management and operation of a U.S. Department of Labor Job Corps Center. The activities involved include admissions activities,
life skills training, educational activities,
comprehensive career preparation activities,

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career development activities, career transition activities, as well as the management
and support functions and services needed to
operate and maintain the facility. For SBA
assistance as a small business concern, other
than for Federal Government procurements,
a concern must be primarily engaged in providing the services to operate and maintain
Federal Job Corps Centers.
17. NAICS code 115310 (Support Activities
for Forestry)—Forest Fire Suppression and
Fuels Management Services are two components of Support Activities for Forestry.
Forest Fire Suppression includes establishments which provide services to fight forest
fires. These firms usually have fire-fighting
crews and equipment. Fuels Management
Services firms provide services to clear land
of hazardous materials that would fuel forest
fires. The treatments used by these firms
may include prescribed fire, mechanical removal, establishing fuel breaks, thinning,
pruning, and piling.
18. NAICS code 541519—An Information
Technology Value Added Reseller provides a
total solution to information technology acquisitions by providing multi-vendor hardware and software along with significant
services. Significant value added services
consist of, but are not limited to, configuration consulting and design, systems integration, installation of multi-vendor computer
equipment, customization of hardware or
software, training, product technical support, maintenance, and end user support. For
purposes of Government procurement, an information technology procurement classified
under this industry category must consist of
at least 15% and not more than 50% of value
added services as measured by the total price
less the cost of information technology hardware, computer software, and profit. If the
contract consists of less than 15% of value
added services, then it must be classified
under a NAICS manufacturing industry. If
the contract consists of more than 50% of
value added services, then it must be classified under the NAICS industry that best describes the predominate service of the procurement. To qualify as an Information
Technology Value Added Reseller for purposes of SBA assistance, other than for Government procurement, a concern must be
primarily engaged in providing information
technology equipment and computer software and provide value added services which
account for at least 15% of its receipts but
not more than 50% of its receipts.
19. NAICS Sector 92—Small business size
standards are not established for this sector.
Establishments in the Public Administration
sector are Federal, State, and local government agencies which administer and oversee
government programs and activities that are
not performed by private establishments.
Concerns performing operational services for
the administration of a government program

are classified under the NAICS private sector
industry based on the activities performed.
Similarly, procurements for these types of
services are classified under the NAICS private sector industry that best describes the
activities to be performed. For example, if a
government agency issues a procurement for
law enforcement services, the requirement
would be classified using one of the NAICS
industry codes under 56161, Investigation,
Guard, and Armored Car Services.
[65 FR 30840, May 15, 2000, as amended at 65
FR 53535, Sept. 5, 2000; 65 FR 60343, Oct. 11,
2000; 65 FR 69438, Nov. 17, 2000; 65 FR 70637,
Nov. 24, 2000; 66 FR 30647, June 7, 2001; 66 FR
32416, June 14, 2001; 67 FR 3045, Jan. 23, 2002;
67 FR 11880, Mar. 15, 2002; 67 FR 19637, Apr. 23,
2002; 67 FR 38191, May 31, 2002; 67 FR 56906,
Sept. 6, 2002; 67 FR 62292, Oct. 4, 2002; 67 FR
67103, 67253, Nov. 4, 2002; 68 FR 13811, Mar. 21,
2003; 68 FR 15050, Mar. 28, 2003; 68 FR 16408,
Apr. 4, 2003; 68 FR 33354, June 4, 2003; 68 FR
59314, Oct. 15, 2003; 68 FR 74841, 74842, 74847,
Dec. 29, 2003; 69 FR 29203, May 21, 2004; 70 FR
72583, Dec. 6, 2005]

SIZE ELIGIBILITY REQUIREMENTS FOR
SBA FINANCIAL ASSISTANCE
§ 121.301 What size standards are applicable to financial assistance programs?
(a) For Business Loans and Disaster
Loans (other than physical disaster
loans), an applicant business concern
must satisfy two criteria:
(1) The size of the applicant alone
(without affiliates) must not exceed
the size standard designated for the industry in which the applicant is primarily engaged; and
(2) The size of the applicant combined
with its affiliates must not exceed the
size standard designated for either the
primary industry of the applicant
alone or the primary industry of the
applicant and its affiliates, whichever
is higher. These size standards are set
forth in § 121.201.
(b) For Development Company programs, an applicant must meet one of
the following standards:
(1) The same standards applicable
under paragraph (a) of this section; or
(2) Including its affiliates, tangible
net worth not in excess of $7.5 million,
and average net income after Federal
income taxes (excluding any carry-over
losses) for the preceding two completed
fiscal years not in excess of $2.5 million. If the applicant is not required by
law to pay Federal income taxes at the

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enterprise level, but is required to pass
income through to its shareholders,
partners, beneficiaries, or other equitable owners, the applicant’s ‘‘net income after Federal income taxes’’ will
be its net income reduced by an
amount computed as follows:
(i) If the applicant is not required by
law to pay State (and local, if any) income taxes at the enterprise level,
multiply its net income by the marginal State income tax rate (or by the
combined State and local income tax
rates, as applicable) that would have
applied if it were a taxable corporation.
(ii) Multiply the applicant’s net income, less any deduction for State and
local income taxes calculated under
paragraph (b)(2)(i) of this section, by
the marginal Federal income tax rate
that would have applied if the applicant were a taxable corporation.
(iii) Sum the results obtained in
paragraphs (b)(2)(i) and (b)(2)(ii) of this
section.
(c) For the Small Business Investment Company (SBIC) program, an applicant must meet one of the following
standards:
(1) The same standards applicable
under paragraph (a) of this section; or
(2) Including its affiliates, tangible
net worth not in excess of $18 million,
and average net income after Federal
income taxes (excluding any carry-over
losses) for the preceding two completed
fiscal years not in excess of $6 million.
If the applicant is not required by law
to pay Federal income taxes at the enterprise level, but is required to pass
income through to its shareholders,
partners, beneficiaries, or other equitable owners, the applicant’s ‘‘net income after Federal income taxes’’ will
be its net income reduced by an
amount computed as follows:
(i) If the applicant is not required by
law to pay State (and local, if any) income taxes at the enterprise level,
multiply its net income by the marginal State income tax rate (or by the
combined State and local income tax
rates, as applicable) that would have
applied if it were a taxable corporation.
(ii) Multiply the applicant’s net income, less any deduction for State and
local income taxes calculated under

paragraph (c)(2)(i) of this section, by
the marginal Federal income tax rate
that would have applied if the applicant were a taxable corporation.
(iii) Add the results obtained in paragraphs (c)(2)(i) and (c)(2)(ii) of this section.
(d) For Surety Bond Guarantee assistance—
(1) Any construction (general or special trade) concern or concern performing a contract for services is small
if, together with its affiliates, its average annual receipts does not exceed $6.5
million.
(2) Any concern not specified in paragraph (d)(1) of this section must meet
the size standard for the primary industry in which it, combined with its
affiliates, is engaged.
(3) For any contract or subcontract,
public or private, to be performed in
the Presidentially-declared disaster
areas resulting from the 2005 Hurricanes Katrina, Rita, or Wilma, the construction (general or special trade)
concern or concern performing a contract for services is small if it meets
the size standard for the primary industry in which it, together with its affiliates, is engaged, or if it meets the
size standard set forth in paragraph
(d)(1), whichever is higher.
(e) The applicable size standards for
purposes of SBA’s financial assistance
programs, excluding the Surety Bond
Guarantee assistance program, are increased by 25% whenever the applicant
agrees to use all of the financial assistance within a labor surplus area. Labor
surplus areas are listed monthly in the
Department of Labor publication
‘‘Area Trends in Employment and Unemployment.’’
[61 FR 3286, Jan. 31, 1996, as amended at 66
FR 30648, June 7, 2001; 67 FR 3056, Jan. 23,
2002; 69 FR 29204, May 21, 2004; 70 FR 69047,
69052, Nov. 14, 2005; 70 FR 72594, Dec. 6, 2005]

§ 121.302 When does SBA determine
the size status of an applicant?
(a) The size status of an applicant for
SBA financial assistance is determined
as of the date the application for financial assistance is accepted for processing by SBA, except for applications
under the Preferred Lenders Program
(PLP), the Disaster Loan program, the

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SBIC program, and the New Markets
Venture Capital (NMCV) program.
(b) For the Preferred Lenders program, size is determined as of the date
of approval of the loan by the Preferred
Lender.
(c) For disaster loan assistance
(other than physical disaster loans),
size status is determined as of the date
the disaster commenced, as set forth in
the Disaster Declaration. For economic
injury disaster loan assistance under
disaster declarations for Hurricanes
Katrina, Rita, and Wilma, size status is
determined as of the date SBA accepts
the application for processing, and for
applications submitted before December 6, 2005, whether denied because of
size status or pending, such applications shall be deemed resubmitted on
December 6, 2005. For pre-disaster mitigation loans, size status is determined
as of the date SBA accepts a complete
Pre-Disaster Mitigation Small Business Loan Application for processing.
Refer to § 123.408 of this chapter to find
out what SBA considers to be a complete Pre-Disaster Mitigation Small
Business Loan Application.
(d) For financial assistance from an
SBIC licensee or an NMVC company,
size is determined as of the date a concern’s application is accepted for processing by the SBIC or the NMVC company.
(e) Changes in size after the applicable date when size is determined will
not disqualify an applicant for assistance.
[61 FR 3286, Jan. 31, 1996, as amended at 64
FR 48276, Sept. 3, 1999; 67 FR 11880, Mar. 15,
2002; 67 FR 62337, Oct. 7, 2002; 69 FR 29204,
May 21, 2004; 70 FR 72594, Dec. 6, 2005]

§ 121.303 What size procedures are
used by SBA before it makes a formal size determination?
(a) A concern that submits an application for financial assistance is
deemed to have certified that it is
small under the applicable size standard. SBA may question the concern’s
status based on information supplied in
the application or from any other
source.
(b) A small business investment company, a development company, a surety
bond company, or a preferred lender
may accept as true the size informa-

tion provided by an applicant, unless
credible evidence to the contrary is apparent.
(c) Size is initially considered by the
individual with final financial assistance authority. This is not a formal
size determination. A formal determination may be requested prior to a
denial of eligibility based on size.
(d) An applicant may request a formal size determination when assistance has been denied for size ineligibility. Except for disaster loan eligibility, a request for a formal size determination must be made to the Government Contracting Area Director serving the area in which the headquarters
of the applicant is located, regardless
of the location of the parent company
or affiliates. For disaster loan assistance, the request for a size determination must be made to the Area Director
for the Disaster Area Office which denied the assistance.
(e) There are no time limitations for
making a formal size determination for
purposes of financial assistance. The
official making the formal size determination must provide a copy of the
determination to the applicant, to the
requesting SBA official, and to other
interested SBA program officials.
§ 121.304 What are the size requirements for refinancing an existing
SBA loan?
(a) A concern that applies to refinance an existing SBA loan or guarantee will be considered small for the
refinancing even though its size has increased since the date of the original
financing to exceed its applicable size
standard, provided that:
(1) The increase in size is due to natural growth (as distinguished from
merger, acquisition or similar management action); and
(2) SBA determines that refinancing
is necessary to protect the Government’s financial interest.
(b) If a concern’s size has increased
other than by natural growth, the concern and its affiliates must be small at
the time the application for refinancing is accepted for processing by
SBA.

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§ 121.305 What size eligibility requirements exist for obtaining financial
assistance relating to particular
procurements?
A concern qualified as small for a
particular procurement, including an
8(a) subcontract, is small for financial
assistance directly and primarily relating to the performance of the particular procurement.
SIZE ELIGIBILITY REQUIREMENTS FOR
GOVERNMENT PROCUREMENT
§ 121.401 What procurement programs
are subject to size determinations?
The rules set forth in §§ 121.401
through 121.413 apply to all Federal
procurement programs for which status
as a small business is required or advantageous, including the small business set-aside program, SBA’s Certificate of Competency program, SBA’s
8(a) Business Development program,
SBA’s HUBZone program, SBA’s Service-Disabled
Veteran-Owned
Small
Business program, the Small Business
Subcontracting program, and the Federal Small Disadvantaged Business
(SDB) program.
[70 FR 56814, Sept. 29, 2005]

§ 121.402 What size standards are applicable to Federal Government
Contracting programs?
(a) A concern must not exceed the
size standard for the NAICS code specified in the solicitation. The contracting officer must specify the size
standard in effect on the date the solicitation is issued. If SBA amends the
size standard and it becomes effective
before the date initial offers (including
price) are due, the contracting officer
may amend the solicitation and use the
new size standard.
(b) The procuring agency contracting
officer, or authorized representative,
designates the proper NAICS code and
size standard in a solicitation, selecting the NAICS code which best describes the principal purpose of the
product or service being acquired. Primary consideration is given to the industry descriptions in the NAICS
United States Manual, the product or
service description in the solicitation
and any attachments to it, the relative
value and importance of the compo-

nents of the procurement making up
the end item being procured, and the
function of the goods or services being
purchased. Other factors considered include previous Government procurement classifications of the same or
similar products or services, and the
classification which would best serve
the purposes of the Small Business Act.
A procurement is usually classified according to the component which accounts for the greatest percentage of
contract value. Procurements for supplies must be classified under the appropriate manufacturing NAICS code,
not under the wholesale trade NAICS
code.
(c) The NAICS code assigned to a procurement and its corresponding size
standard is final unless timely appealed to SBA’s Office of Hearings and
Appeals (OHA), or unless SBA assigns
an NAICS code or size standard as provided in paragraph (d) of this section.
(d) An unclear, incomplete or missing
NAICS code designation or size standard in the solicitation may be clarified,
completed or supplied by SBA in connection with a formal size determination or size appeal.
(e) Any offeror or other interested
party adversely affected by an NAICS
code designation or size standard designation may appeal the designations
to OHA under part 134 of this chapter.
[61 FR 3286, Jan. 31, 1996, as amended at 65
FR 30863, May 15, 2000; 69 FR 29205, May 21,
2004]

§ 121.403 Are SBA size determinations
and NAICS code designations binding on parties?
Formal size determinations and
NAICS code designations made by authorized SBA officials are binding upon
the parties. Opinions otherwise provided by SBA officials to contracting
officers or others are advisory in nature, and are not binding or appealable.
[61 FR 3286, Jan. 31, 1996, as amended at 65
FR 30863, May 15, 2000]

§ 121.404 When does SBA determine
the size status of a business concern?
(a) SBA determines the size status of
a concern, including its affiliates, as of
the date the concern submits a written
self-certification that it is small to the

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procuring activity as part of its initial
offer (or other formal response to a solicitation) which includes price. Where
an agency modifies a solicitation so
that initial offers are no longer responsive to the solicitation, a concern must
recertify that it is a small business at
the time it submits a responsive offer,
which includes price, to the modified
solicitation.
(b) A concern applying to be certified
as a Participant in SBA’s 8(a) Business
Development program (under part 124,
subpart A, of this chapter), as a small
disadvantaged business (under part 124,
subpart B, of this chapter), or as a
HUBZone small business (under part
126 of this chapter) must qualify as a
small business for its primary industry
classification as of the date of its application and the date of certification
by SBA.
(c) The size status of an applicant for
a Certificate of Competency (COC) relating to an unrestricted procurement
is determined as of the date of the concern’s application for the COC.
(d) Size status for purposes of compliance with the nonmanufacturer rule
set forth in § 121.406(b)(1) and the ostensible subcontractor rule set forth in
§ 121.103(h)(4) is determined as of the
date of the final proposal revision for
negotiated acquisitions and final bid
for sealed bidding.
(e) For subcontracting purposes, a
concern must qualify as small as of the
date that it certifies that it is small for
the subcontract. The applicable size
standard is that which is set forth in
§ 121.410 and which is in effect at the
time the concern self-certifies that it
is small for the subcontract.
(f) For purposes of two-step sealed
bidding under subpart 14.5 of the FAR,
48 CFR, a concern must qualify as
small as of the date that it certifies
that it is small as part of its step one
proposal.
(g) A concern that qualified as a
small business at the time it receives a
contract is considered a small business
throughout the life of that contract.
Where a concern grows to be other
than small, the procuring agency may
exercise options and still count the
award as an award to a small business.
(h) A follow-on or renewal contract is
a new contracting action. As such, size

is determined as of the date the concern submits a written self-certification that it is small to the procuring
agency as part of its initial offer including price for the follow-on or renewal contract.
(i) At the time a novation or changeof-name agreement has been executed
pursuant to FAR subpart 42.12, the new
entity must submit a written self-certification that it is small to the procuring agency so that the agency can
count the award, options, or orders
issued pursuant to the contract towards its small business goals.
[69 FR 29205, May 21, 2004]

§ 121.405 May a business concern selfcertify its small business size status?
(a) A concern must self-certify it is
small under the size standard specified
in the solicitation, or as clarified, completed or supplied by SBA pursuant to
§ 121.402(d).
(b) A contracting officer may accept
a concern’s self-certification as true
for the particular procurement involved in the absence of a written protest by other offerors or other credible
information which causes the contracting officer or SBA to question the
size of the concern.
(c) Procedures for protesting the selfcertification of an offeror are set forth
in §§ 121.1001 through 121.1009.
§ 121.406 How does a small business
concern qualify to provide manufactured products under small business set-aside or 8(a) contracts?
(a) General. In order to qualify as a
small business concern for a small
business set-aside or 8(a) contract to
provide manufactured products, an offeror must either:
(1) Be the manufacturer of the end
item being procured (and the end item
must be manufactured or produced in
the United States); or
(2) Comply with the requirements of
paragraph (b), (c) or (d) of this section
as a nonmanufacturer, a kit assembler
or a supplier under Simplified Acquisition Procedures.
(b) Nonmanufacturers. (1) A concern
may qualify for a requirement to provide manufactured products as a nonmanufacturer if it:

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(i) Does not exceed 500 employees;
(ii) Is primarily engaged in the retail
or wholesale trade and normally sells
the type of item being supplied; and
(iii) Will supply the end item of a
small business manufacturer or processor made in the United States, or obtains a waiver of such requirement pursuant to paragraph (b)(3) of this section.
(2) For size purposes, there can be
only one manufacturer of the end item
being acquired. The manufacturer is
the concern which, with its own facilities, performs the primary activities in
transforming inorganic or organic substances, including the assembly of
parts and components, into the end
item being acquired. The end item
must possess characteristics which, as
a result of mechanical, chemical or
human action, it did not possess before
the original substances, parts or components were assembled or transformed. The end item may be finished
and ready for utilization or consumption, or it may be semifinished as a raw
material to be used in further manufacturing. Firms which perform only
minimal operations upon the item
being procured do not qualify as manufacturers of the end item. Firms that
add substances, parts, or components
to an existing end item to modify its
performance will not be considered the
end item manufacturer where those
identical modifications can be performed by and are available from the
manufacturer of the existing end item:
(i) SBA will evaluate the following
factors in determining whether a concern is the manufacturer of the end
item:
(A) The proportion of total value in
the end item added by the efforts of the
concern, excluding costs of overhead,
testing, quality control, and profit;
(B) The importance of the elements
added by the concern to the function of
the end item, regardless of their relative value; and
(C) The concern’s technical capabilities; plant, facilities and equipment;
production or assembly line processes;
packaging and boxing operations; labeling of products; and product warranties.
(ii) Firms that provide computer and
other information technology equip-

ment primarily consisting of component parts (such as motherboards,
video cards, network cards, memory,
power supplies, storage devices, and
similar items) who install components
totaling less than 50% of the value of
the end item are generally not considered the manufacturer of the end item.
(3) The Administrator or designee
may waive the requirement set forth in
paragraph (b)(1)(iii) of this section
under the following two circumstances:
(i) The contracting officer has determined that no small business manufacturer or processor reasonably can be
expected to offer a product meeting the
specifications (including period for performance) required by a particular solicitation and SBA reviews and accepts
that determination; or
(ii) SBA determines that no small
business manufacturer or processor of
the product or class of products is
available to participate in the Federal
procurement market.
(4) The two waiver possibilities identified in paragraph (b)(3) of this section
are called ‘‘individual’’ and ‘‘class’’
waivers respectively, and the procedures for them are contained in
§ 121.1204 .
(5) Any SBA waiver of the nonmanufacturer rule has no effect on requirements external to the Small Business
Act which involve domestic sources of
supply, such as the Buy American Act.
(c) Kit assemblers. (1) Where the manufactured item being acquired is a kit
of supplies or other goods provided by
an offeror for a special purpose, the offeror cannot exceed 500 employees, and
50 percent of the total value of the
components of the kit must be manufactured by business concerns in the
United States which are small under
the size standards for the NAICS codes
of the components being assembled.
The offeror need not itself be the manufacturer of any of the items assembled.
(2) Where the Government has specified an item for the kit which is not
produced by U.S. small business concerns, such item shall be excluded from
the calculation of total value in paragraph (c)(1) of this section.

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(d) Simplified Acquisition Procedures.
Where the procurement of a manufactured item is processed under Simplified Acquisition Procedures, as defined in § 13.101 of the Federal Acquisition Regulation (FAR) (48 CFR 13.101),
and where the anticipated cost of the
procurement will not exceed $25,000,
the offeror need not supply the end
product of a small business concern as
long as the product acquired is manufactured or produced in the United
States, and the offeror does not exceed
500 employees. The offeror need not
itself be the manufacturer of any of the
items acquired.
(e) These requirements do not apply
to small business concern subcontractors.
[61 FR 3286, Jan. 31, 1996; 61 FR 7986, Mar. 1,
1996, as amended at 65 FR 30863, May 15, 2000;
69 FR 29205, May 21, 2004]

§ 121.407 What are the size procedures
for multiple item procurements?
If a procurement calls for two or
more specific end items or types of
services with different size standards
and the offeror may submit an offer on
any or all end items or types of services, the offeror must meet the size
standard for each end item or service
item for which it submits an offer. If
the procurement calls for more than
one specific end item or type of service
and an offeror is required to submit an
offer on all items, the offeror may
qualify as a small business for the procurement if it meets the size standard
of the item which accounts for the
greatest percentage of the total contract value.
§ 121.408 What are the size procedures
for SBA’s Certificate of Competency
Program?
(a) A firm which applies for a COC
must file an ‘‘Application for Small
Business Size Determination’’ (SBA
Form 355). If the initial review of SBA
Form 355 indicates the applicant, including its affiliates, is small for purposes of the COC program, SBA will
process the application for COC. If the
review indicates the applicant, including its affiliates, is other than small,
SBA will initiate a formal size determination as set forth in § 121.1009. In
such a case, SBA will not further proc-

ess the COC application until a formal
size determination is made.
(b) A concern is ineligible for a COC
if a formal SBA size determination
finds the concern other than small.
§ 121.409 What size standard applies in
an unrestricted procurement for
Certificate of Competency purposes?
For the purpose of receiving a Certificate of Competency in an unrestricted procurement, the applicable
size standard is that corresponding to
the NAICS code set forth in the solicitation. For a manufactured product, a
concern must also furnish a domestically produced or manufactured product, regardless of the size status of the
product manufacturer. The offeror need
not be the manufacturer of any of the
items acquired.
[61 FR 3286, Jan. 31, 1996, as amended at 65
FR 30863, May 15, 2000]

§ 121.410 What are the size standards
for SBA’s Section 8(d) Subcontracting Program?
For subcontracting purposes pursuant to sections 8(d) of the Small Business Act, a concern is small for subcontracts which relate to Government
procurements if it does not exceed the
size standard for the NAICS code that
the prime contractor believes best describes the product or service being acquired by the subcontract. However,
subcontracts for engineering services
awarded under the National Energy
Policy Act of 1992 have the same size
standard as Military and Aerospace
Equipment and Military Weapons
under NAICS 541213.
[61 FR 3286, Jan. 31, 1996, as amended at 65
FR 30863, May 15, 2000; 69 FR 29205, May 21,
2004]

§ 121.411 What are the size procedures
for SBA’s Section 8(d) Subcontracting Program?
(a) Prime contractors may rely on
the information contained in the Central Contractor Registration (CCR), or
equivalent data base maintained or
sanctioned by SBA, as an accurate representation of a concern’s size and
ownership characteristics for purposes
of maintaining a small business source
list. Even though a concern is on a

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13 CFR Ch. I (1–1–06 Edition)

small business source list, it must still
qualify and self-certify as a small business at the time it submits its offer as
a section 8(d) subcontractor.
(b) Upon determination of the successful subcontract offeror for a competitive subcontract, but prior to
award, the prime contractor must inform each unsuccessful subcontract offeror in writing of the name and location of the apparent successful offeror.
(c) The self-certification of a concern
subcontracting or proposing to subcontract under section 8(d) of the
Small Business Act may be protested
by the contracting officer, the prime
contractor, the appropriate SBA official or any other interested party.
[61 FR 3286, Jan. 31, 1996, as amended at 69
FR 29205, May 21, 2004]

§ 121.412 What are the size procedures
for partial small business setasides?
A firm is required to meet size standard requirements only for the small
business set-aside portion of a procurement, and is not required to qualify as
a small business for the unrestricted
portion.
§ 121.413

[Reserved]

SIZE ELIGIBILITY REQUIREMENTS FOR
SALES OR LEASE OF GOVERNMENT
PROPERTY
§ 121.501 What programs for sales or
leases of Government property are
subject to size determinations?
Sections 121.501 through 121.512 apply
to small business size determinations
for the purpose of the sale or lease of
Government property, including the
Timber Sales Program, the Special
Salvage Timber Sales Program, and
the sale of Government petroleum, coal
and uranium.
§ 121.502 What size standards are applicable to programs for sales or
leases of Government property?
(a) Unless otherwise specified in this
part—
(1) A concern primarily engaged in
manufacturing is small for sales or
leases of Government property if it
does not exceed 500 employees;
(2) A concern not primarily engaged
in manufacturing is small for sales or

leases of Government property if it has
annual receipts not exceeding $6.5 million.
(b) Size status for such sales and
leases is determined by the primary industry of the applicant business concern.
[61 FR 3286, Jan. 31, 1996, as amended at 67
FR 3056, Jan. 23, 2002; 70 FR 72594, Dec. 6,
2005]

§ 121.503 Are SBA size determinations
binding on parties?
Formal size determinations based
upon a specific Government sale or
lease, or made in response to a request
from another Government agency
under § 121.901, are binding upon the
parties. Other SBA opinions provided
to contracting officers or others are
only advisory, and are not binding or
appealable.
§ 121.504 When does SBA determine
the size status of a business concern?
SBA determines the size status of a
concern (including its affiliates) as of
the date the concern submits a written
self-certification that it is small to the
Government as part of its initial offer
including price where there is a specific sale or lease at issue, or as set
forth in § 121.903 if made in response to
a request of another Government agency.
§ 121.505 What is the effect of a selfcertification?
(a) A contracting officer may accept
a concern’s self-certification as true
for the particular sale or lease involved, in the absence of a written protest by other offerors or other credible
information which would cause the
contracting officer or SBA to question
the size of the concern.
(b) Procedures for protesting the selfcertification of an offeror are set forth
in §§ 121.1001 through 121.1009.
§ 121.506 What definitions are important for sales or leases of Government-owned timber?
(a) Forest product industry means logging, wood preserving, and the manufacture of lumber and wood related
products such as veneer, plywood,
hardboard, particle board, or wood

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pulp, and of products of which lumber
or wood related products are the principal raw materials.
(b) Logging of timber means felling
and bucking, yarding, and/or loading.
It does not mean hauling.
(c) Manufacture of logs means, at a
minimum, breaking down logs into
rough cuts of the finished product.
(d) Sell means, in addition to its
usual and customary meaning, the exchange of sawlogs for sawlogs on a
product-for-product basis with or without monetary adjustment, and an indirect transfer, such as the sale of the assets of a concern after it has been
awarded one or more set-aside sales of
timber.
(e) Significant logging of timber means
that a concern uses its own employees
to perform at least two of the following: felling and bucking, yarding,
and loading.
§ 121.507 What are the size standards
and other requirements for the purchase of Government-owned timber
(other than Special Salvage Timber)?
(a) To be small for purposes of the
sale of Government-owned timber
(other than Special Salvage Timber) a
concern must:
(1) Be primarily engaged in the logging or forest products industry;
(2) Not exceed 500 employees, taking
into account its affiliates; and
(3) If it does not intend at the time of
the offer to resell the timber—
(i) Agree that it will manufacture the
logs with its own facilities or those of
another business which meets the requirements of paragraphs (a)(1) and
(a)(2) of this section;
(ii) Agree that if it eventually resells
the timber, it will resell no more than
30% of the sawtimber volume to other
businesses which do not meet the requirements of paragraphs (a)(1) and
(a)(2) of this section; and
(iii) Agree that if it becomes acquired
or controlled by a business which does
not meet the requirements of paragraphs (a)(1) and (a)(2) of this section,
it will require as a condition of the acquisition or change of control that the
acquiring or controlling business resell
at least 70% of the sawtimber volume
to businesses which do meet the re-

quirements of paragraphs (a)(1) and
(a)(2) of this section; or
(4) If it intends at the time of offer to
resell the timber—
(i) Agree that it will not sell more
than 30% of such timber (50% of such
timber if the concern is an Alaskan
business) to a business which does not
meet the requirements of paragraphs
(a)(1) and (a)(2) of this section; and
(ii) Agree that if it becomes acquired
or controlled by a business which does
not meet the requirements of paragraphs (a)(1) and (a)(2) of this section,
it will require as a condition of the acquisition or change of control that the
acquiring or controlling business resell
at least 70% of the sawtimber volume
(or at least 50% of the sawtimber volume, if it is an Alaskan business) to
businesses which meet the requirements of paragraphs (a)(1) and (a)(2) of
this section.
(b) For a period of three years following the date upon which a concern
purchases timber under a small business set-aside (other than through the
Special Salvage Timber Sale program),
it must maintain a record of:
(1) The name, address and size status
of every concern to which it sells the
timber or sawlogs; and
(2) The species, grades and volumes of
sawlogs sold.
(c) For a period of three years following the date upon which a concern
purchases timber, it must by contract
require all small business repurchasers
of the sawlogs or timber it purchased
under the small business set-aside to
maintain the records described in paragraph (b) of this section.
§ 121.508 What are the size standards
and other requirements for the purchase of Government-owned Special
Salvage Timber?
(a) In order to purchase Governmentowned Special Salvage Timber from
the United States Forest Service or the
Bureau of Land Management as a small
business, a concern must:
(1) Be primarily engaged in the logging or forest product industry;
(2) Have, together with its affiliates,
no more than twenty-five employees
during any pay period for the last
twelve months; and
(3) If it does not intend at the time of
offer to resell the timber—

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§ 121.509

13 CFR Ch. I (1–1–06 Edition)

(i) Agree that it will manufacture a
significant portion of the logs with its
own employees; and
(ii) Agree that it will log the timber
only with its own employees or with
employees of another business which is
eligible for award of a Special Salvage
Timber sales contract; or
(4) If it intends at the time of offer to
resell the timber, agree that it will perform a significant portion of timber
logging with its own employees and
that it will subcontract the remainder
of the timber logging to a concern
which is eligible for award of a Special
Salvage Timber sales contract.

SIZE

§ 121.509 What is the size standard for
leasing of Government land for coal
mining?

A 8(a) BD applicant must be small for
its primary industry at the time SBA
certifies it for admission into the program.

A concern is small for this purpose if
it:
(a) Together with its affiliates, does
not have more than 250 employees;
(b) Maintains management and control of the actual mining operations of
the tract; and
(c) Agrees that if it subleases the
Government land, it will be to another
small business, and that it will require
its sublessors to agree to the same.
§ 121.510 What is the size standard for
leasing of Government land for uranium mining?
A concern is small for this purpose if
it, together with its affiliates, does not
have more than 100 employees.
§ 121.511 What is the size standard for
buying Government-owned petroleum?
A concern is small for this purpose if
it is primarily engaged in petroleum
refining and meets the size standard
for a petroleum refining business.
§ 121.512 What is the size standard for
stockpile purchases?
A concern is small for this purpose if:
(a) It is primarily engaged in the purchase of materials which are not domestic products; and
(b) Its annual receipts, together with
its affiliates, do not exceed $51.5 million.
[61 FR 3286, Jan. 31, 1996, as amended at 67
FR 3056, Jan. 23, 2002; 70 FR 72594, Dec. 6,
2005]

ELIGIBILITY REQUIREMENTS
THE 8(A) BUSINESS DEVELOPMENT
GRAM

§ 121.601 What is a small business for
purposes of admission to SBA’s 8(a)
Business Development program?
An applicant must not exceed the
size standard corresponding to its primary industry classification in order
to qualify for admission to SBA’s 8(a)
Business Development Program.
[69 FR 29205, May 21, 2004]

§ 121.602 At what point in time must a
8(a) BD applicant be small?

[61 FR 3286, Jan. 31, 1996, as amended at 69
FR 29206, May 21, 2004]

§ 121.603 How does SBA determine
whether a Participant is small for a
particular 8(a) BD subcontract?
(a) Self certification by Participant. A
8(a) BD Participant must certify that
it qualifies as a small business under
the NAICS code assigned to a particular 8(a) BD subcontract as part of
its initial offer including price to the
procuring agency. The Participant also
must submit a copy of its offer, including its self-certification as to size, to
the appropriate SBA district office at
the same time it submits the offer to
the procuring agency. See § 121.404 for
the time at which size is determined
for, and § 121.406 for the applicability of
the nonmanufacturer rule to, 8(a) BD
procurements.
(b) Verification of size by SBA. Within
30 days of its receipt of a Participant’s
size self-certification for a particular
8(a) BD subcontract, the SBA district
office serving the geographic area in
which the Participant’s principal office
is located will review the Participant’s
self-certification and determine if it is
small for purposes of that subcontract.
The SBA district office will review the
Participant’s most recent financial
statements and other relevant data and
then notify the Participant of its decision.
(c) Changes in size between date of selfcertification and date of award. (1) Where

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SBA verifies that the selected Participant is small for a particular procurement, subsequent changes in size up to
the date of award, except those due to
merger with or acquisition by another
business concern, will not affect the
firm’s size status for that procurement.
(2) Where a Participant has merged
with or been acquired by another business concern between the date of its
self-certification and the date of
award, the concern must recertify its
size status, and SBA must verify the
new certification before award can
occur.
(d) Finding Participant to be other than
small. (1) A Participant may request a
formal size determination (pursuant to
§§ 121.1001 through 121.1009) with the
SBA Government Contracting Area Office serving the geographic area in
which the principal office of the Participant is located within 5 working
days of its receipt of notice from the
SBA district office that it is not small
for a particular 8(a) BD subcontract.
(2) Where the Participant does not
timely request a formal size determination, SBA may accept the procurement in support of another Participant, or may rescind its acceptance of
the offer for the 8(a) BD program, as
appropriate.
[61 FR 3286, Jan. 31, 1996, as amended at 65
FR 30863, May 15, 2000; 69 FR 29206, May 21,
2004]

§ 121.604 Are 8(a) BD Participants considered small for purposes of other
SBA assistance?
A concern which SBA determines to
be a small business for the award of a
8(a) BD subcontract will be considered
to have met applicable size eligibility
requirements of other SBA programs
where that assistance directly and primarily relates to the performance of
the 8(a) BD subcontract in question.
[61 FR 3286, Jan. 31, 1996, as amended at 69
FR 29206, May 21, 2004]

SIZE

ELIGIBILITY REQUIREMENTS FOR
THE SMALL BUSINESS INNOVATION RESEARCH (SBIR) PROGRAM

§ 121.701 What SBIR programs are subject to size determinations?
(a) These sections apply to size status for award of a funding agreement

pursuant to the Small Business Innovation Development Act of 1982 (Pub. L.
97–219, 15 U.S.C. 638(e) through (k)).
(b) Funding agreement officer means a
contracting officer, a grants officer, or
a cooperative agreement officer.
(c) Funding agreement means any contract, grant or cooperative agreement
entered into between any Federal agency and any small business for the performance of experimental, developmental, or research work funded in
whole or in part by the Federal Government. Such work includes:
(1) A systematic, intensive study directed toward greater knowledge or understanding of the subject studied;
(2) A systematic study directed specifically toward applying new knowledge to meet a recognized need; or
(3) A systematic application of
knowledge toward the production of
useful materials, devices, and systems
or methods, including design, development, and improvement of prototypes
and new processes to meet specific requirements.
§ 121.702 What size standards are applicable to the SBIR program?
To be eligible for award of funding
agreements in the SBA’s Small Business Innovation Research (SBIR) program, a business concern must meet
the requirements of paragraphs (a) and
(b) below:
(a) Ownership and control. (1) An
SBIR awardee must (i) be a concern
which is at least 51% owned and controlled by one or more individuals who
are citizens of the United States, or
permanent resident aliens in the
United States; or
(ii) Be a concern which is at least
51% owned and controlled by another
business concern that is itself at least
51% owned and controlled by individuals who are citizens of, or permanent
resident aliens in the United States; or
(iii) Be a joint venture in which each
entity to the venture must meet the
requirements set forth in either paragraphs (a)(1)(i) or (a)(1)(ii) of this section.
(2) If an Employee Stock Option Plan
owns all or part of the concern, SBA
considers each stock trustee and plan
member to be an owner.

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§ 121.703

13 CFR Ch. I (1–1–06 Edition)

(3) If a trust owns all or part of the
concern, SBA considers each trustee
and trust beneficiary to be an owner.
(b) Size. An SBIR awardee, together
with its affiliates, not have more than
500 employees.
[69 FR 70185, Dec. 3, 2004]

§ 121.703 Are formal size determinations binding on parties?
Size determinations by authorized
SBA officials are formal actions based
upon a specific funding agreement, and
are binding upon the parties. Other
SBA opinions provided to funding
agreement officers or others, are only
advisory, and are not binding or appealable.
§ 121.704 When does SBA determine
the size status of a business concern?
The size status of a concern for the
purpose of a funding agreement under
the SBIR program is determined as of
the date of the award for both Phase I
and Phase II SBIR awards or on the
date of the request for a size determination, if an award is pending.
[69 FR 29206, May 21, 2004]

§ 121.705 Must a business concern selfcertify its size status?
(a) A firm must self-certify that it
currently meets the eligibility requirements set forth in § 121.702 of this title
or will meet those eligibility requirements on the date of award of a funding agreement for a Phase I or Phase II
SBIR award.
(b) A funding agreement officer may
accept a concern’s self-certification as
true for the particular funding agreement involved in the absence of a written protest by other offerors or other
credible information which would
cause the funding agreement officer or
SBA to question the size of the concern.
(c) Procedures for protesting an
offeror’s self-certification are set forth
in §§ 121.1001 through 121.1009.
[61 FR 3286, Jan. 31, 1996, as amended at 69
FR 29206, May 21, 2004]

SIZE ELIGIBILITY REQUIREMENTS FOR
PAYING REDUCED PATENT FEES
§ 121.801 May patent fees be reduced if
a concern is small?
These sections apply to size status
for the purpose of paying reduced patent fees authorized by Pub. L. 97–247, 96
Stat. 317. The eligibility requirements
for independent inventors and nonprofit organizations for the purpose of
paying reduced patent fees are set
forth in regulations of the Patent and
Trademark Office of the Department of
Commerce, 37 CFR 1.9, 1.27, 1.28.
§ 121.802 What size standards are applicable to reduced patent fees programs?
A concern eligible for reduced patent
fees is one:
(a) Whose number of employees, including affiliates, does not exceed 500
persons; and
(b) Which has not assigned, granted,
conveyed, or licensed (and is under no
obligation to do so) any rights in the
invention to any person who made it
and could not be classified as an independent inventor, or to any concern
which would not qualify as a non-profit
organization or a small business concern under this section.
§ 121.803 Are formal size determinations binding on parties?
Size determinations by authorized
SBA officials are formal actions, based
upon a specific patent application pursuant to the rules of the Patent and
Trademark Office, Department of Commerce, and are binding upon the parties. Other SBA opinions provided to
patent applicants or others are only
advisory, and are not binding or appealable.
§ 121.804 When does SBA determine
the size status of a business concern?
Size status is determined as of the
date of the patent applicant’s written
verification of size.
§ 121.805 May a business concern selfcertify its size status?
(a) A concern verifies its size status
with its submission of its patent application.

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(b) Any attempt to establish small
size status improperly (fraudulently,
through gross negligence, or otherwise)
may result in remedial action by the
Patent and Trademark Office.
(c) In the absence of credible information indicating otherwise, the Patent and Trademark Office may accept
the verification by the concern as a
small business as true.
(d) Questions concerning the size
verification are resolved initially by
the Patent and Trademark Office. If
not verified as small, the applicant
may request a formal SBA size determination.
SIZE ELIGIBILITY REQUIREMENTS FOR
COMPLIANCE WITH PROGRAMS OF
OTHER AGENCIES
§ 121.901 Can other Government agencies obtain SBA size determinations?
Upon request by another Government
agency, SBA will provide a size determination, under SBA rules, standards
and procedures, for its use in determining compliance with small business
requirements of its statutes, regulations or programs.
§ 121.902 What size standards are applicable to programs of other agencies?
SBA size standards. The size standards
for compliance with programs of other
agencies are those for SBA programs
which are most comparable to the programs of such other agencies, unless
the agency and SBA agree otherwise.
[67 FR 13716, Mar. 26, 2002]

§ 121.903 How may an agency use size
standards for its programs that are
different than those established by
SBA?
(a) Federal agencies or departments
promulgating regulations relating to
small businesses usually use SBA size
criteria. In limited circumstances, if
they decide the SBA size standard is
not suitable for their programs, then
agency heads may establish a more appropriate small business definition for
the exclusive use in such programs, but
only when:
(1) The size standard will determine:

(i) The size of a manufacturing concern by its average number of employees based on the preceding twelve calendar months, determined according to
§ 121.106;
(ii) The size of a services concern by
its average annual receipts over a period of at least three years, determined
according to § 121.104;
(iii) The size of other concerns on
data over a period of at least three
years; or,
(iv) Other factors approved by SBA;
(2) The agency has consulted in writing with SBA’s Assistant Administrator for Size Standards at least fourteen (14) calendar days before publishing the proposed rule which is part
of the rulemaking process. The written
consultation will include:
(i) What size standard the agency
contemplates using;
(ii) To what agency program it will
apply;
(iii) How the agency arrived at this
particular size standard for this program; and,
(iv) Why SBA’s existing size standards do not satisfy the program requirements;
(3) The agency proposes the size
standard for public comment pursuant
to the Administrative Procedure Act, 5
U.S.C. 553;
(4) The agency provides a copy of the
proposed rule, when it publishes it for
public comment as part of the rulemaking process, to SBA’s Assistant
Administrator for Size Standards; and
(5) SBA’s Administrator approves the
size standard before the agency adopts
a final rule or otherwise prescribes the
size standard for its use. The agency’s
request for the SBA Administrator’s
approval must include:
(i) Copies of all comments on the proposed size standard received in response to the proposed rule;
(ii) A separate written justification
for the intended size standard;
(iii) A copy of the intended final rule
if available at that time, or a copy of
the intended final rule and preamble
prior to its publication; and
(iv) Other information SBA may request in connection with the request.
(b) When approving any size standard
established pursuant to this section,
SBA’s Administrator will ensure that

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13 CFR Ch. I (1–1–06 Edition)

the size standard varies from industry
to industry to the extent necessary to
reflect the differing characteristics of
the various industries, and consider
other relevant factors.
(c) Where the agency head is developing a size standard for the sole purpose of performing a Regulatory Flexibility Analysis pursuant to section
601(3) of the Regulatory Flexibility
Act, the department or agency may,
after consultation with the SBA Office
of Advocacy, establish a size standard
different from SBA’s which is more appropriate for such analysis.
[67 FR 13716, Mar. 26, 2002]

§ 121.904 When does SBA determine
the size status of a business concern?
For compliance with programs of
other agencies, SBA will base its size
determination on the size of the concern as of the date set forth in the request of the other agency.
[67 FR 13716, Mar. 26, 2002]

PROCEDURES FOR SIZE PROTESTS AND
REQUESTS FOR FORMAL SIZE DETERMINATIONS

§ 121.1001 Who may initiate a size protest or request a formal size determination?
(a) Size Status Protests. (1) For SBA’s
Small Business Set-Aside Program, including the Property Sales Program, or
any instance in which a procurement
or order has been restricted to or reserved for small business or a particular group of small business, the following entities may file a size protest
in connection with a particular procurement, sale or order:
(i) Any offeror whom the contracting
officer has not eliminated for reasons
unrelated to size;
(ii) The contracting officer;
(iii) The SBA Government Contracting Area Director having responsibility for the area in which the headquarters of the protested offeror is located, regardless of the location of a
parent company or affiliates, or the Associate Administrator for Government
Contracting; and
(iv) Other interested parties. Other
interested parties include large businesses where only one concern sub-

mitted an offer for the specific procurement in question. A concern found to
be other than small in connection with
the procurement is not an interested
party unless there is only one remaining offeror after the concern is found to
be other than small.
(2) For competitive 8(a) contracts,
the following entities may protest:
(i) Any offeror whom the contracting
officer has not eliminated for reasons
unrelated to size;
(ii) The contracting officer; or
(iii) The SBA District Director, or
designee, in either the district office
serving the geographical area in which
the procuring activity is located or the
district office that services the apparent successful offeror, or the Associate
Administrator for 8(a) Business Development.
(3) For SBA’s Subcontracting Program, the following entities may protest:
(i) The prime contractor;
(ii) The contracting officer;
(iii) Other potential subcontractors;
(iv) The responsible SBA Government
Contracting Area Director or the Associate Administrator for Government
Contracting; and
(v) Other interested parties.
(4) For SBA’s Small Business Innovation Research (SBIR) Program, the following entities may protest:
(i) A prospective offeror;
(ii) The funding agreement officer;
(iii) The responsible SBA Government Contracting Area Director or the
Assistant Administrator for Technology; and
(iv) Other interested parties.
(5) For the Department of Defense’s
Small Disadvantaged Business (SDB)
Program, and any other similar program of another Federal agency, the
following entities may file a protest in
connection with a particular SDB procurement:
(i) Any offeror for the specific SDB
requirement whom the contracting officer has not eliminated for reasons unrelated to size;
(ii) The contracting officer; and
(iii) The responsible SBA Area Director for Government Contracting, the

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SBA Associate Administrator for Government Contracting, or the SBA Associate Administrator for 8(a) Business
Development;
(6) For SBA’s HUBZone program, the
following entities may protest in connection with a particular HUBZone
procurement:
(i) Any concern that submits an offer
for a specific HUBZone set-aside procurement that the contracting officer
has not eliminated for reasons unrelated to size;
(ii) Any concern that submitted an
offer in full and open competition and
its opportunity for award will be affected by a price evaluation preference
given a qualified HUBZone SBC;
(iii) The contracting officer; and
(iv) The SBA Associate Administrator for the HUBZone Program, or
designee.
(7) For any unrestricted Government
procurement in which a business concern has represented itself as a small
business concern, the following entities
may protest in connection with a particular procurement:
(i) Any offeror;
(ii) The contracting officer; and
(iii) The responsible SBA Government Contracting Area Director, the
Associate Administrator for Government Contracting, or the Associate Administrator for MED.
(8) For SBA’s Service Disabled Veteran-Owned Small Business Concern
program, the following entities may
protest in connection with a particular
service-disabled veteran-owned procurement:
(i) Any concern that submits an offer
for a specific service-disabled veteranowned small business set-aside contract;
(ii) The contracting officer;
(iii) The SBA Government Contracting Area Director; and
(iv) The Associate Administrator for
Government Contracting, or designee.
(b) Request for Size Determinations. (1)
For SBA’s Financial Assistance Programs, the following entities may request a formal size determination:
(i) The applicant for assistance; and
(ii) The SBA official with authority
to take final action on the assistance
requested. That official may also request the appropriate Government Con-

tracting Area Office to determine
whether affiliation exists between an
applicant for financial assistance and
one or more other entities for purposes
of determining whether the applicant
would exceed the loan limit amount
imposed by § 120.151 of this chapter.
(iii) The SBA Associate Administrator for Investment or designee may
request a formal size determination for
any purpose relating to the SBIC program (see part 107 of this chapter) or
the NMVC program (see part 108 of this
chapter). A formal size determination
includes a request to determine whether or not affiliation exists between two
or more entities for any purpose relating to the SBIC program.
(2) For SBA’s 8(a) BD program:
(i) Concerning initial or continued
8(a) BD eligibility, the following entities may request a formal size determination:
(A) The 8(a) BD applicant concern or
Participant; or
(B) The Assistant Administrator of
the Division of Program Certification
and Eligibility or the Associate Administrator for 8(a)BD.
(ii) Concerning individual sole source
8(a) contract awards, the following entities may request a formal size determination:
(A) The Participant nominated for
award of the particular sole source contract;
(B) The SBA program official with
authority to execute the 8(a) contract
or, where applicable, the procuring activity contracting officer who has been
delegated SBA’s 8(a) contract execution functions; or
(C) The SBA District Director in the
district office that services the Participant, or the Associate Administrator
for 8(a)BD.
(3) For SBA’s Certificate of Competency Program, the following entities may request a formal size determination:
(i) The offeror who has applied for a
COC; and
(ii) The responsible SBA Government
Contracting Area Director or the Associate Administrator for Government
Contracting.
(4) For SBA’s sale or lease of government property, the following entities

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13 CFR Ch. I (1–1–06 Edition)

may request a formal size determination:
(i) The responsible SBA Government
Contracting Area Director or the Associate Administrator for Government
Contracting; and
(ii) Authorized officials of other Federal agencies administering a property
sales program.
(5) For eligibility to pay reduced patent fees, the following entities may request a formal size determination:
(i) The applicant for the reduced patent fees; and
(ii) The Patent and Trademark Office.
(6) For purposes of determining compliance with small business requirements of another Government agency
program not otherwise specified in this
section, an official with authority to
administer the program involved may
request a formal size determination.
(7) In connection with initial or continued eligibility for the Small Disadvantaged Business (SDB) program,
the following may request a formal size
determination:
(i) The applicant or SDB concern; or
(ii) The Assistant Administrator of
the Division of Program Certification
and Eligibility or the Associate Administrator for 8(a)BD.
(8) In connection with initial or continued eligibility for the HUBZone program, the following may request a formal size determination:
(i)
The
applicant
or
qualified
HUBZone business concern; or
(ii) The Associate Administrator for
the HUBZone program, or designee.
(9) For purposes of validating that
firms listed in the Central Contractor
Registration database are small, the
Government Contracting Area Director
or the Associate Administrator for
Government Contracting may initiate
a formal size determination when sufficient information exists that calls into
question a firm’s small business status.
The current date will be used to determine size, and SBA will initiate the
process to remove from the database

the small business designation of any
firm found to be other than small.
[61 FR 3286, Jan. 31, 1996, as amended at 63
FR 31907, June 11, 1998; 63 FR 35739, June 30,
1998; 69 FR 25266, May 5, 2004; 69 FR 29206,
May 21, 2004; 69 FR 29420, May 24, 2004; 69 FR
44461, July 26, 2004]

§ 121.1002 Who makes a formal size determination?
The responsible Government Contracting Area Director or designee
makes all formal size determinations
in response to either a size protest or a
request for a formal size determination, with the exception of size determinations for purposes of the Disaster
Loan Program, which will be made by
the Disaster Area Office Director or
designee responsible for the area in
which the disaster occurred.
§ 121.1003 Where should a size protest
be filed?
A protest involving a government
procurement or sale must be filed with
the contracting officer for the procurement or sale, who must forward the
protest to the SBA Government Contracting Area Office serving the area in
which the headquarters of the protested concern is located, regardless of
the location of any parent company or
affiliates.
§ 121.1004 What time limits apply to
size protests?
(a) Protests by entities other than contracting officers or SBA—(1) Non-negotiated procurement or sale. A protest
must be received by the contracting officer prior to the close of business on
the 5th day, exclusive of Saturdays,
Sundays, and legal holidays, after bid
or proposal opening.
(2) Negotiated procurement. A protest
must be received by the contracting officer prior to the close of business on
the 5th day, exclusive of Saturdays,
Sundays, and legal holidays, after the
contracting officer has notified the
protestor of the identity of the prospective awardee.
(3) Multiple award schedule. On a multiple award schedule procurement set
aside for small business, protests will
be considered timely if received by

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§ 121.1007

SBA at any time prior to the expiration of the contract period (including
renewals).
(4) Electronic notification of award.
Where notification of award is made
electronically, such as posting on the
Internet under Simplified Acquisition
Procedures, a protest must be received
by the contracting officer before close
of business on the fifth day, exclusive
of Saturdays, Sundays, and legal holidays, after the electronic posting.
(5) No notice of award. Where there is
no requirement for written pre-award
notice or notice of award, or where the
contracting officer has failed to provide written notification of award, the
5-day protest period will commence
upon oral notification by the contracting officer or authorized representative or another means (such as
public announcements or other oral
communications) of the identity of the
apparent successful offeror.
(b) Protests by contracting officers or
SBA. The time limitations in paragraph (a) of this section do not apply to
contracting officers or SBA, and they
may file protests before or after
awards, except to the extent set forth
in paragraph (e) of this section. Notwithstanding paragraph (e), for purposes of the SBIR program the contracting officer and SBA may file a
protest in anticipation of award.
(c) Effect of contract award. A timely
filed protest applies to the procurement in question even though a contracting officer awarded the contract
prior to receipt of the protest.
(d) Untimely protests. A protest received after the allotted time limits
must still be forwarded to SBA. SBA
will dismiss untimely protests.
(e) Premature protests. A protest filed
by any party, including the contracting officer, before bid opening or
notification to offerors of the selection
of the apparent successful offer will be
dismissed as premature.
[61 FR 3286, Jan. 31, 1996, as amended at 69
FR 29206, May 21, 2004]

§ 121.1005 How must a protest be filed
with the contracting officer?
A protest must be delivered to the
contracting officer by hand, telegram,
mail, facsimile, Federal Express or
other overnight delivery service, e-

mail, or telephone. If a protest is made
by telephone, the contracting officer
must later receive a confirming letter
either within the 5-day period in
§ 121.1004(a)(1) or postmarked no later
than one day after the date of the telephone protest.
[61 FR 3286, Jan. 31, 1996, as amended at 69
FR 29206, May 21, 2004]

§ 121.1006 When will a size protest be
referred to an SBA Government
Contracting Area Office?
(a) A contracting officer who receives
a protest (other than from SBA) must
forward the protest promptly to the
SBA Government Contracting Area Office serving the area in which the headquarters of the offeror is located.
(b) A contracting officer’s referral
must contain the following information:
(1) The protest and any accompanying materials;
(2) A copy of the self-certification as
to size;
(3) Identification of the applicable
size standard;
(4) A copy of the solicitation;
(5) Identification of the date of bid
opening or notification provided to unsuccessful offerors;
(6) The date on which the protest was
received; and
(7) A complete address and point of
contact for the protested concern.
§ 121.1007 Must a protest of size status
relate to a particular procurement
and be specific?
(a) Particular procurement. A protest
challenging the size of a concern which
does not pertain to a particular procurement or sale will not be acted on
by SBA.
(b) A protest must include specific facts.
A protest must be sufficiently specific
to provide reasonable notice as to the
grounds upon which the protested concern’s size is questioned. Some basis
for the belief or allegation stated in
the protest must be given. A protest
merely alleging that the protested concern is not small or is affiliated with
unnamed other concerns does not
specify adequate grounds for the protest. No particular form is prescribed

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§ 121.1008

13 CFR Ch. I (1–1–06 Edition)

for a protest. Where materials supporting the protest are available, they
should be submitted with the protest.
(c) Non-specific protests will be dismissed. Protests which do not contain
sufficient specificity will be dismissed
by SBA. The following are examples of
allegation specificity:
Example 1: An allegation that concern X is
large because it employs more than 500 employees (where 500 employees is the applicable size standard) without setting forth a
basis for the allegation is non-specific.
Example 2: An allegation that concern X is
large because it exceeds the 500 employee
size standard (where 500 employees is the applicable size standard) because a higher employment figure was published in publication
Y is sufficiently specific.
Example 3: An allegation that concern X is
affiliated with concern Y without setting
forth any basis for the allegation is non-specific.
Example 4: An allegation that concern X is
affiliated with concern Y because Mr. A is
the majority shareholder in both concerns is
sufficiently specific.
Example 5: An allegation that concern X
has revenues in excess of $5 million (where $5
million is the applicable size standard) without setting forth a basis for the allegation is
non-specific.
Example 6: An allegation that concern X
exceeds the size standard (where the applicable size standard is $5 million) because it received Government contracts in excess of $5
million last year is sufficiently specific.
[61 FR 3286, Jan. 31, 1996, as amended at 69
FR 29206, May 21, 2004]

§ 121.1008 What occurs after SBA receives a size protest or request for a
formal size determination?
(a) When SBA receives a size protest,
the SBA Area Director for Government
Contracting, or designee, will notify
the contracting officer, the protested
concern, and the protestor that the
protest has been received. If the protest pertains to a requirement involving SBA’s HUBZone program, the Area
Director will also notify the AA/HUB of
the protest. If the protest pertains to a
requirement involving SBA’s SBIR
Program, the Area Director will also
notify the Assistant Administrator for
Technology. If the protest involves the
size status of a concern that SBA has
certified as a small disadvantaged business (SDB) (see part 124, subpart B of
this chapter) the Area Director will no-

tify SBA’s AA/8(a) BD. If the protest
pertains to a requirement that has
been reserved for competition among
eligible 8(a) BD program participants,
the Area Director will notify the SBA
district office servicing the 8(a) concern whose size status has been protested. SBA will provide a copy of the
protest to the protested concern together with SBA Form 355, Application
for Small Business Size Determination,
by certified mail, return receipt requested, or by any overnight delivery
service that provides proof of receipt.
SBA will ask the protested concern to
complete the form and respond to the
allegations in the protest.
(b) When SBA receives a request for a
formal size determination in accord
with § 121.1001(b), SBA will provide a
blank copy of SBA Form 355 to the concern whose size is at issue.
(c) The protested concern or concern
whose size is at issue must return the
completed SBA Form 355 and all other
requested information to SBA within 3
working days from the date of receipt
of the blank form from SBA. SBA has
discretion to grant an extension of
time to file the form. The firm must
attach to the completed SBA Form 355
its answers to the allegations contained in the protest, where applicable,
together with any supporting material.
(d) If a concern whose size status is
at issue fails to submit a completed
SBA Form 355, responses to the allegations of the protest, or other requested
information within the time allowed by
SBA, or if it submits incomplete information, SBA may presume that disclosure of the information required by the
form or other missing information
would demonstrate that the concern is
other than a small business. A concern
whose size status is at issue must furnish information about its alleged affiliates to SBA, despite any third party
claims of privacy or confidentiality,
because SBA will not disclose information obtained in the course of a size determination except as permitted by
Federal law.
[61 FR 3286, Jan. 31, 1996, as amended at 63
FR 31908, June 11, 1998; 69 FR 29207, May 21,
2004]

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§ 121.1009

§ 121.1009 What are the procedures for
making the size determination?
(a) Time frame for making size determination. After receipt of a protest or a
request for a formal size determination, SBA will make a formal size determination within 10 working days, if
possible.
(b) Basis for determination. The size
determination will be based primarily
on the information supplied by the
protestor or the entity requesting the
size determination and that provided
by the concern whose size status is at
issue. The determination, however,
may also be based on grounds not
raised in the protest or request for size
determination. SBA may use other information and may make requests for
additional
information
to
the
protestor, the concern whose size status is at issue and any alleged affiliates, or other parties.
(c) Burden of persuasion. The concern
whose size is under consideration has
the burden of establishing its small
business size.
(d) Weight of evidence. SBA will give
greater weight to specific, signed, factual evidence than to general, unsupported allegations or opinions. In the
case of refusal or failure to furnish requested information within a required
time period, SBA may assume that disclosure would be contrary to the interests of the party failing to make disclosure.
(e) Formal size determination. The SBA
will base its formal size determination
upon the record, including reasonable
inferences from the record, and will
state in writing the basis for its findings and conclusions.
(f) Notification of determination. SBA
will promptly notify the contracting
officer, the protestor, and the protested
offeror, as well as each affiliate or alleged affiliate, of the size determination. The notification will be by certified mail, return receipt requested, or
by any overnight delivery service that
provides proof of receipt.
(g) Results of an SBA Size Determination. (1) A formal size determination
becomes effective immediately and remains in full force and effect unless
and until reversed by OHA.

(2) A contracting officer may award a
contract based on SBA’s formal size determination.
(3) If the formal size determination is
appealed to OHA, the OHA decision on
appeal will apply to the pending procurement or sale if the decision is received before award. OHA decisions received after contract award will not
apply to that procurement or sale, but
will have future effect, unless the contracting officer agrees to apply the
OHA decision to the procurement or
sale.
(4) Once SBA has determined that a
concern is other than small for purposes of a particular procurement, the
concern cannot later become eligible
for the procurement by reducing its
size.
(5) A concern determined to be other
than small under a particular size
standard is ineligible for any procurement or any assistance authorized by
the Small Business Act or the Small
Business Investment Act of 1958 which
requires the same or a lower size standard, unless SBA recertifies the concern
to be small pursuant to § 121.1010 or
OHA reverses the adverse size determination. After an adverse size determination, a concern cannot self-certify
as small under the same or lower size
standard unless it is first recertified as
small by SBA. If a concern does so, it
may be in violation of criminal laws,
including section 16(d) of the Small
Business Act, 15 U.S.C. 645(d). If the
concern has already certified itself as
small on a pending procurement or on
an application for SBA assistance, the
concern must immediately inform the
officials responsible for the pending
procurement or requested assistance of
the adverse size determination.
(h) Limited reopening of size determinations. In cases where the size determination contains clear administrative error or a clear mistake of fact,
SBA may, in its sole discretion, reopen
the size determination to correct the
error or mistake, provided no appeal
has been filed with OHA.
[61 FR 3286, Jan. 31, 1996, as amended at 67
FR 47245, July 18, 2002; 69 FR 29207, May 21,
2004]

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§ 121.1010

13 CFR Ch. I (1–1–06 Edition)

§ 121.1010 How does a concern become
recertified as a small business?
(a) A concern may request SBA to recertify it as small at any time by filing
an application for recertification with
the Government Contracting Area Office responsible for the area in which
the headquarters of the applicant is located, regardless of the location of parent companies or affiliates. No particular form is prescribed for the application; however, the request for recertification must be accompanied by a
current completed SBA Form 355 and
any other information sufficient to
show a significant change in its ownership, management, or other factors
bearing on its status as a small concern.
(b) Recertification will not be required nor will the prohibition against
future self-certification apply if the adverse SBA size determination is based
solely on a finding of affiliation due to
a joint venture (e.g., ostensible subcontracting) limited to a particular Government procurement or property sale,
or is based on an ineligible manufacturer where the eligible small business
bidder or offeror is a nonmanufacturer
on a particular Government procurement.
(c) A denial of an application for recertification is a formal size determination and may be reviewed by OHA
at the discretion of that office.
(d) The granting of an application for
recertification has future effect only.
While it is a formal size determination,
notice of recertification is required to
be given only to the applicant.
APPEALS OF SIZE DETERMINATIONS AND
NAICS CODE DESIGNATIONS
§ 121.1101 Are formal size determinations subject to appeal?
(a) Appeals from formal size determinations may be made to OHA. Unless
an appeal is made to OHA, the size determination made by a SBA Government Contracting Area Office or Disaster Area Office is the final decision
of the agency. The procedures for appealing a formal size determination to
OHA are set forth in part 134 of this
chapter. The OHA appeal is an administrative remedy that must be exhausted
before judicial review of a formal size

determination may be sought in a
court.
(b) OHA will not review a formal size
determination where the contract has
been awarded and the issue(s) raised in
a petition for review are contract specific, such as compliance with the nonmanufacturer rule (see § 121.406(b)), or
joint venture or ostensible subcontractor rule (see § 121.103(h)).
[69 FR 29207, May 21, 2004]

§ 121.1102 Are NAICS code designations subject to appeal?
A NAICS code designation made by a
procuring activity contracting officer
may be appealed to OHA. The procedures governing OHA appeals are set
forth in part 134 of this chapter. The
OHA appeal is an administrative remedy that must be exhausted before judicial review of a NAICS code designation may be sought in a court.
[67 FR 47245, July 18, 2002]

§ 121.1103 What are the procedures for
appealing a NAICS code designation?
(a) Any interested party adversely affected by a NAICS code designation
may appeal the designation to OHA.
The only exception is that, for a sole
source contract reserved under SBA’s
8(a) Business Development program
(see part 124 of this chapter), only
SBA’s Associate Administrator for 8(a)
Business Development may appeal the
NAICS code designation.
(b) The contracting officer’s determination of the applicable NAICS code
is final unless appealed as follows:
(1) An appeal from a contracting officer’s NAICS code designation and applicable size standard must be served
and filed within 10 calendar days after
the issuance of the initial solicitation.
OHA will summarily dismiss an untimely NAICS code appeal.
(2)(i) The appeal petition must be in
writing and must be sent to the Office
of Hearings & Appeals, U.S. Small
Business
Administration,
409
3rd
Street, SW., Suite 5900, Washington,
DC 20416.
(ii) There is no required format for a
NAICS code appeal, but an appeal must
include the following information: the
solicitation or contract number; the

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name, address, and telephone number
of the contracting officer; a full and
specific statement as to why the
NAICS code designation is erroneous,
and argument in support thereof; and
the name, address and telephone number of the appellant or its attorney.
(3) The appellant must serve the appeal petition upon the contracting officer who assigned the NAICS code to
the acquisition and SBA’s Office of
General Counsel, Associate General
Counsel for Procurement Law, 409 3rd
Street, SW., Washington, DC 20416.
(4) Upon receipt of a NAICS code appeal, OHA will notify the contracting
officer by notice and order of the date
OHA received the appeal, the docket
number, and the Judge assigned to the
case. The contracting officer’s response
to the appeal must include argument
and supporting evidence (see part 134,
subpart C, of this chapter) and must be
received by OHA within 10 calendar
days from the date of the docketing notice and order, unless otherwise specified by the Judge. Upon receipt of
OHA’s docketing notice and order, the
contracting officer must immediately
send to OHA a copy of the solicitation
relating to the NAICS code appeal.
(5) After close of the record, OHA will
issue a decision and inform all interested parties, including the appellant
and contracting officer. If OHA’s decision is received by the contracting officer before the date offers are due, the
solicitation must be amended if the
contracting officer’s designation of the
NAICS code is reversed. If OHA’s decision is received by the contracting officer after the due date of initial offers,
the decision will not apply to the pending procurement, but will apply to future solicitations for the same products or services.
[69 FR 29207, May 21, 2004]

Subpart B—Other Applicable
Provisions
WAIVERS OF THE NONMANUFACTURER
RULE FOR CLASSES OF PRODUCTS AND
INDIVIDUAL CONTRACTS
§ 121.1201 What is the Nonmanufacturer Rule?
The Nonmanufacturer Rule is set
forth in § 121.406(b).

§ 121.1202 When will a waiver of the
Nonmanufacturer Rule be granted
for a class of products?
(a) A waiver for a class of products
(class waiver) will be granted when
there are no small business manufacturers or processors available to participate in the Federal market for that
class of products.
(b) Federal market means acquisitions
by the Federal Government from
offerors located in the United States,
or such smaller area as SBA designates
if it concludes that the class of products is not supplied on a national basis.
(1) When considering the appropriate
market area for a product, SBA presumes that the entire United States is
the relevant Federal market, unless it
is clearly demonstrated that a class of
products cannot be procured on a national basis. This presumption may be
particularly difficult to overcome in
the case of manufactured products,
since such items typically have a market area encompassing the entire
United States.
(2) When considering geographic segmentation of a Federal market, SBA
will not necessarily use market definitions dependent on airline radius, political, or SBA regional boundaries.
Market areas typically follow established transportation routes rather
than jurisdictional borders. SBA examines the following factors, among others, in cases where geographic segmentation for a class of products is
urged:
(i) Whether perishability affects the
area in which the product can practically be sold;
(ii) Whether transportation costs are
high as a proportion of the total value
of the product so as to limit the economic distribution of the product;
(iii) Whether there are legal barriers
to transportation of the item;
(iv) Whether a fixed, well-delineated
boundary exists for the purported market area and whether this boundary
has been stable over time; and
(v) Whether a small business, not
currently selling in the defined market
area, could potentially enter the market from another area and supply the
market at a reasonable price.
(c) Available to participate in the context of the Federal market means that

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§ 121.1203

13 CFR Ch. I (1–1–06 Edition)

contractors exist that have been
awarded or have performed a contract
to supply a specific class of products to
the Federal Government within 24
months from the date of the request for
waiver, either directly or through a
dealer, or who have submitted an offer
on a solicitation for that class of products within that time frame.
(d) Class of products is an individual
subdivision within an NAICS Industry
Number as established by the Office of
Management and Budget in the NAICS
Manual.
[61 FR 3286, Jan. 31, 1996, as amended at 65
FR 30863, May 15, 2000]

§ 121.1203 When will a waiver of the
Nonmanufacturer Rule be granted
for an individual contract?
An individual waiver for a product in
a specific solicitation will be approved
when the SBA Associate Administrator
for Government Contracting reviews
and accepts a contracting officer’s determination that no small business
manufacturer or processor can reasonably be expected to offer a product
meeting the specifications of a solicitation, including the period of performance.
§ 121.1204 What are the procedures for
requesting and granting waivers?
(a) Waivers for classes of products. (1)
SBA may, at its own initiative, examine a class of products for possible
waiver of the Nonmanufacturer Rule.
(2) Any interested person, business,
association, or Federal agency may
submit a request for a waiver for a particular class of products. Requests
should be addressed or hand-carried to
the Associate Administrator of Government Contracting, Small Business Administration, 409 3rd Street SW., Washington, DC 20416.
(3) Requests for a waiver of a class of
products need not be in any particular
form, but should include a statement of
the class of products to be waived, the
applicable NAICS code, and detailed information on the efforts made to identify small business manufacturers or
processors for the class.
(4) If SBA decides that there are
small business manufacturers or processors in the Federal procurement market, it will deny the request for waiver,

issue notice of the denial, and provide
the names, addresses, and telephone
numbers of the sources found. If SBA
does not initially confirm the existence
of small business manufacturers or
processors in the Federal market, it
will:
(i) Publish notices in the Commerce
Business Daily and the FEDERAL REGISTER seeking information on small
business manufacturers or processors,
announcing a notice of intent to waive
the Nonmanufacturer Rule for that
class of products and affording the public a 15-day comment period; and
(ii) If no small business sources are
identified, publish a notice in the FEDERAL REGISTER stating that no small
business sources were found and that a
waiver of the Nonmanufacturer Rule
for that class of products has been
granted.
(5) An expedited procedure for issuing
a class waiver may be used for emergency situations, but only if the contracting officer provides a determination to the Associate Administrator for
Government Contracting that the procurement is proceeding under the authority of FAR § 6.302–2 (48 CFR 6.302–2)
for ‘‘unusual and compelling urgency,’’
or provides a determination materially
the same as one of unusual and compelling urgency. Under the expedited procedure, if a small business manufacturer or processor is not identified by a
PASS search, the SBA will grant the
waiver for the class of products and
then publish a notice in the FEDERAL
REGISTER. The notice will state that a
waiver has been granted, and solicit
public comment for future procurements.
(6) The decision by the Associate Administrator for Government Contracting to grant or deny a waiver is
the final decision by the Agency.
(7) A waiver of the Nonmanufacturer
Rule for classes of products has no specific time limitation. SBA will, however, periodically review existing class
waivers to the Nonmanufacturer Rule
to determine if small business manufacturers or processors have become
available to participate in the Federal
market for the waived classes of products and the waiver should be terminated.

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Small Business Administration

Pt. 123

(i) Upon SBA’s receipt of evidence
that a small business manufacturer or
processor exists in the Federal market
for a waived class of products, the
waiver will be terminated by the Associate Administrator for Government
Contracting. This evidence may be discovered by SBA during a periodic review of existing waivers or may be
brought to SBA’s attention by other
sources.
(ii) SBA will announce its intent to
terminate a waiver for a class of products through the publication of a notice in the FEDERAL REGISTER, asking
for comments regarding the proposed
termination.
(iii) Unless public comment reveals
that no small business manufacturer or
processor in fact exists for the class of
products in question, SBA will publish
a final Notice of Termination in the
FEDERAL REGISTER.
(b) Individual waivers for specific solicitations. (1) A contracting officer’s request for a waiver of the Nonmanufacturer Rule for specific solicitations
need not be in any particular form, but
must, at a minimum, include:
(i) A definitive statement of the specific item to be waived and justification as to why the specific item is required;
(ii) The solicitation number, NAICS
code, dollar amount of the procurement, and a brief statement of the procurement history;
(iii) A determination by the contracting officer that there are no
known small business manufacturers
or processors for the requested items
(the determination must contain a narrative statement of the contracting officer’s efforts to search for small business manufacturers or processors of the
item and the results of those efforts,
and a statement by the contracting officer that there are no known small
business manufacturers for the items
and that no small business manufacturer or processor can reasonably be
expected to offer the required items);
and
(iv) For contracts expected to exceed
$500,000, a copy of the Statement of
Work.
(2) Requests should be addressed to
the Associate Administrator for Government Contracting, Small Business

Administration, 409 3rd Street, SW.,
Washington, DC 20416.
(3) SBA will examine the contracting
officer’s determination and any other
information it deems necessary to
make an informed decision on the individual waiver request. If SBA’s research verifies that no small business
manufacturers or processors exist for
the item, the Associate Administrator
for Government Contracting will grant
an individual, one-time waiver. If a
small business manufacturer or processor is found for the product in question, the Associate Administrator will
deny the request. Either decision represents a final decision by SBA.
[61 FR 3286, Jan. 31, 1996, as amended at 65
FR 30863, May 15, 2000]

§ 121.1205 How is a list of previously
granted class waivers obtained?
A list of classes of products for which
waivers of the Nonmanufacturer Rule
have been granted is maintained in
SBA’s Web site at www.sba.gov/GC/approved.html. A list of such waivers may
also be obtained by contacting the Office of Government Contracting, U.S.
Small Business Administration, 409 3rd
Street, SW., Washington, DC 20416, or
the nearest SBA Government Contracting Area Office.
[69 FR 29208, May 21, 2004]

PART 123—DISASTER LOAN
PROGRAM
Subpart A—Overview
Sec.
123.1 What do these rules cover?
123.2 What are disaster loans and disaster
declarations?
123.3 How are disaster declarations made?
123.4 What is a disaster area and why is it
important?
123.5 What kinds of loans are available?
123.6 What does SBA look for when considering a disaster loan applicant?
123.7 Are there restrictions on how disaster loans can be used?
123.8 Does SBA charge any fees for obtaining a disaster loan?
123.9 What happens if I don’t use loan proceeds for the intended purpose?
123.10 What happens if I cannot use my insurance proceeds to make repairs?
123.11 Does SBA require collateral for any
of its disaster loans?
123.12 Are books and records required?

341

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File Type	application/pdf
File Title	Document
Subject	Extracted Pages
Author	U.S. Government Printing Office
File Modified	2006-09-12
File Created	2006-09-12