Appendix A to Subpart A of Part 102 - Records Maintained by SBA
13:1.0.1.1.3.1.1.12.1 : Appendix A
Appendix A to Subpart A of Part 102 - Records Maintained by SBA I.
Information Generally Exempt From Disclosure
a. Non-statistical information on pending, declined, withdrawn,
or canceled applications.
b. Non-statistical information on defaults, delinquencies,
losses etc.
c. Loan status, other than charged-off or paid-in-full.
d. Home disaster loan status and interest rate.
e. Financial statements, credit reports, business plans, plant
lay-outs, marketing strategy, advertising plans, fiscal
projections, pricing information, payroll information, private
sector experience and contracts, IRS forms, purchase information,
banking information, corporate structure, research plans and client
list of applicant/recipient.
f. Portions of: Certificate of Competency records, Requests for
Size Determinations, 8(a) Business Development Plans, loan
applications, SBIC applications, loan officer's reports.
g. Internal documents not incorporated into final Agency action,
pending internal recommendations on applications for assistance,
SBA/attorney-client communications, pending litigation documents
and investigatory documents. Discretionary disclosure policy must
be utilized.
h. Personal history and financial statements, tax forms,
resumes, all non-government career experience, communications
regarding applicant's character, home addresses and telephone
numbers, social security numbers, birth dates and medical records.
Portions of Inspector General (IG) reports, audit reports, program
investigation records and any other records which, if released,
would interfere with the Government's law enforcement proceedings
and/or would reveal the identity of a confidential source and
documents relating to pending litigation and investigations.
Requests for IG documents must be referred to the Office of the
Inspector General, Counsel Division.
i. Financial information on portfolio companies.
j. Information originating from other agencies should be
referred to those agencies for disclosure determinations.
II. Information Generally Disclosed
a. Names and business addresses of recipients of approved loans,
SBIC licenses, Certificates of Competency, lease guarantees, surety
bond guarantees and requests for counseling.
b. Names of officers, directors, stockholders or partners of
recipient firms.
c. Kinds and amounts of loans, loan terms, interest rates
(except on home disaster loans), maturity dates, general purpose,
etc.
d. Statistical data on assistance, loans, defaults, contracts,
counseling, etc.
e. Decisions, rulings and records showing final Agency actions
in specific factual situations if identifying details exempt from
disclosure are first deleted.
f. Awarded contracts: names, amounts, dates, contracting
agencies.
g. Identity of participating banks.
h. List of 8(a) participants, date of entry, FPPT dates and
NAICS codes.
i. OHA opinions and decisions.
j. Names of SBA employees, grades, titles, and duty
stations.