§ 639. — Reporting requirements and agency cooperation.
[Laws in effect as of January 24, 2002]
[Document not affected by Public Laws enacted between
January 24, 2002 and December 19, 2002]
[CITE: 15USC639]
TITLE 15--COMMERCE AND TRADE
CHAPTER 14A--AID TO SMALL BUSINESS
Sec. 639. Reporting requirements and agency cooperation
(a) Annual reports to President and Congressional officers and
committees
The Administration shall, as soon as practicable each fiscal year
make a comprehensive annual report to the President, the President of
the Senate, the Senate Select Committee on Small Business, and the
Speaker of the House of Representatives. Such report shall include a
description of the state of small business in the Nation and the several
States, and a description of the operations of the Administration under
this chapter, including, but not limited to, the general lending,
disaster relief, Government regulation relief, procurement and property
disposal, research and development, technical assistance, dissemination
of data and information, and other functions under the jurisdiction of
the Administration during the previous fiscal year. Such report shall
contain recommendations for strengthening or improving such programs,
or, when necessary or desirable to implement more effectively
congressional policies and proposals, for establishing new or
alternative programs. In addition, such report shall include the names
of the business concerns to whom contracts are let and for whom
financing is arranged by the Administration, together with the amounts
involved. With respect to minority small business concerns, the report
shall include the proportion of loans and other assistance under this
chapter provided to such concerns, the goals of the Administration for
the next fiscal year with respect to such concerns, and recommendations
for improving assistance to minority small business concerns under this
chapter.
(b) Report of expenditures in conduct of activities; contents;
information to Congressional committees
The Administration shall make a report to the President, the
President of the Senate, and the Speaker of the House of
Representatives, to the Senate Select Committee on Small Business and to
the Committee on Small Business of the House of Representatives, as soon
as practicable each fiscal year, showing as accurately as possible for
each such period the amount of funds appropriated to it that it has
expended in the conduct of each of its principal activities such as
lending, procurement, contracting, and providing technical and
managerial aids. Such report shall contain the number and amount of
loans, the number of applications, the total amount applied for, and the
number and amount of defaults for each type of equipment or service for
which loans are authorized by this this \1\ chapter. Such report shall
provide such information separately on each type of loan made under
paragraphs (10) through (15) of section 636(a) of this title and
separately for all other loan programs. In addition, the information on
loans shall be supplied on a monthly basis to the Committee on Small
Business of the Senate and the Committee on Small Business of the House
of Representatives.
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\1\ So in original.
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(c) Repealed. Pub. L. 104-66, title I, Sec. 1091(f), Dec. 21, 1995, 109
Stat. 722
(d) Annual report of Department of Defense
For the purpose of aiding in carrying out the national policy to
insure that a fair proportion of the total purchases and contracts for
property and services for the Government be placed with small-business
enterprises, and to maintain and strengthen the overall economy of the
Nation, the Department of Defense shall make an annual report to the
Committees on Small Business of the Senate and the House of
Representatives, showing the amount of funds appropriated to the
Department of Defense which have been expended, obligated, or contracted
to be spent with small business concerns and the amount of such funds
expended, obligated, or contracted to be spent with firms other than
small business in the same fields of operation; and such reports shall
show separately the funds expended, obligated, or contracted to be spent
for basic and applied scientific research and development.
(e) Retention of records
(1) \2\ The Administration and the Inspector General of the
Administration shall retain all correspondence, records of inquiries,
memoranda, reports, books, and records, including memoranda as to all
investigations conducted by or for the Administration, for a period of
at least one year from the date of each thereof, and shall at all times
keep the same available for inspection and examination by the Senate
Select Committee on Small Business and the Committee on Small Business
of the House of Representatives, or their duly authorized
representatives.
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\2\ Paragraph designation ``(1)'' supplied editorially.
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(2) The Committee on Small Business of either the Senate or the
House of Representatives may request that the Office of the Inspector
General of the Administration conduct an investigation of any program or
activity conducted under the authority of section 636(j) or 637(a) of
this title. Not later than thirty days after the receipt of such a
request, the Inspector General shall inform the committee, in writing,
of the disposition of the request by such office.
(f) Consultation and cooperation with Government departments and
agencies
To the extent deemed necessary by the Administrator to protect and
preserve small-business interests, the Administration shall consult and
cooperate with other departments and agencies of the Federal Government
in the formulation by the Administration of policies affecting small-
business concerns. When requested by the Administrator, each department
and agency of the Federal Government shall consult and cooperate with
the Administration in the formulation by such department or agency of
policies affecting small-business concerns, in order to insure that
small-business interests will be recognized, protected, and preserved.
This subsection shall not require any department or agency to consult or
cooperate with the Administration in any case where the head of such
department or agency determines that such consultation or cooperation
would unduly delay action which must be taken by such department or
agency to protect the national interest in an emergency.
(g) Annual report of employee conduct complaints received or acted upon
and investigations undertaken by Administration
The Administration shall transmit, not later than December 31 of
each year, to the Senate Select Committee on Small Business and
Committee on Small Business of the House of Representatives a sealed
report with respect to--
(1) complaints alleging illegal conduct by employees of the
Administration which were received or acted upon by the
Administration during the preceding fiscal year; and
(2) investigations undertaken by the Administration, including
external and internal audits and security and investigation reports.
(h) Report to Congress on secondary market operations
The Administration shall transmit, not later than March 31 of each
year, to the Committees on Small Business of the Senate and House of
Representatives a report on the secondary market operations during the
preceding calendar year. This report shall include, but not be limited
to, (1) the number and the total dollar amount of loans sold into the
secondary market and the distribution of such loans by size of loan,
size of lender, geographic location of lender, interest rate, maturity,
lender servicing fees, whether the rate is fixed or variable, and
premium paid; (2) the number and dollar amount of loans resold in the
secondary market with a distribution by size of loan, interest rate, and
premiums; (3) the number and total dollar amount of pools formed; (4)
the number and total dollar amount of loans in each pool; (5) the dollar
amount, interest rate, and terms on each loan in each pool and whether
the rate is fixed or variable; (6) the number, face value, interest
rate, and terms of the trust certificates issued for each pool; (7) to
the maximum extent possible, the use by the lender of the proceeds of
sales of loans in the secondary market for additional lending to small
business concerns; and (8) an analysis of the information reported in
(1) through (7) to assess small businesses' access to capital at
reasonable rates and terms as a result of secondary market operations.
(Pub. L. 85-536, Sec. 2[10], July 18, 1958, 72 Stat. 393; Pub. L. 87-
305, Sec. 5(a), Sept. 26, 1961, 75 Stat. 666; Pub. L. 89-348, Sec. 1(3),
Nov. 8, 1965, 79 Stat. 1310; Pub. L. 93-237, Sec. 7, Jan. 2, 1974, 87
Stat. 1025; Pub. L. 93-386, Sec. 4, Aug. 23, 1974, 88 Stat. 746; Pub. L.
93-608, Sec. 3(4), (5), Jan. 2, 1975, 88 Stat. 1972; Pub. L. 95-89,
title II, Secs. 203-208, 211, Aug. 4, 1977, 91 Stat. 557, 558; Pub. L.
95-315, Sec. 6, July 4, 1978, 92 Stat. 379; Pub. L. 97-35, title XIX,
Sec. 1904, Aug. 13, 1981, 95 Stat. 772; Pub. L. 98-352, Sec. 4, July 10,
1984, 98 Stat. 331; Pub. L. 100-656, title IV, Sec. 406, Nov. 15, 1988,
102 Stat. 3876; Pub. L. 101-37, Sec. 15, June 15, 1989, 103 Stat. 73;
Pub. L. 101-574, title II, Sec. 241, Nov. 15, 1990, 104 Stat. 2826; Pub.
L. 104-66, title I, Sec. 1091(f), Dec. 21, 1995, 109 Stat. 722.)
Prior Provisions
Prior similar provisions were contained in sections 211 and 215 of
act July 30, 1953, ch. 282, title II, 67 Stat. 237, 238, as amended by
act Aug. 9, 1955, ch. 628, Secs. 6, 10, 11, 69 Stat. 550, 551, which
were previously classified to sections 640 and 644 of this title. The
provisions of section 210 of act July 30, 1953, formerly classified to
this section, were transferred to section 2 [8] of Pub. L. 85-536, and
are classified to section 637(b)(2) of this title. See Codification note
set out under section 631 of this title.
Amendments
1995--Subsec. (c). Pub. L. 104-66 struck out subsec. (c) which
related to surveys, and their corresponding reports and recommendations,
for the determination of factors tending to injure small businesses.
1990--Subsec. (d). Pub. L. 101-574 substituted ``the Department of
Defense shall make an annual report to the Committees on Small Business
of the Senate and the House of Representatives'' for ``the Department of
Defense shall make a monthly report to the President, the President of
the Senate, the Senate Select Committee on Small Business, and the
Speaker of the House of Representatives not less than 45 [``forty-five''
in original text] days after the close of the month'', ``small business
concerns'' for ``small-business concerns'', and ``such reports'' for
``such monthly reports''.
1989--Subsec. (e)(2). Pub. L. 101-37 substituted ``, of the
disposition of the request'' for ``of the disposition of the matter''.
1988--Subsec. (e). Pub. L. 100-656 inserted ``and the Inspector
General of the Administration'' after ``Administration'', which was
executed by making the insertion after the first reference to
``Administration'', and added par. (2).
1984--Subsec. (h). Pub. L. 98-352 added subsec. (h).
1981--Subsec. (b). Pub. L. 97-35 substituted ``this chapter. Such
report shall provide such information separately on each type of loan
made under paragraphs (10) through (15) of section 636(a) of this title
and separately for all other loan programs. In addition, the information
on loans shall be supplied on a monthly basis to the Committee on Small
Business of the Senate and the Committee on Small Business of the House
of Representatives'' for ``this subsection, and on the projected and
actual energy savings and numbers of jobs created by firms through loans
made under section 636(l) of this title. The Department of Energy shall
assist the Administration in obtaining information and compiling this
report''.
1978--Subsec. (b). Pub. L. 95-315 inserted provisions requiring the
report to contain number and amount of loans, applications for loans,
etc.
1977--Subsec. (a). Pub. L. 95-89, Secs. 203, 211, included the
Senate Select Committee on Small Business as an additional recipient of
the annual report and provided for the contents of the report as it
relates to minority small business concerns.
Subsec. (b). Pub. L. 95-89, Sec. 204, substituted ``Committee on
Small Business of the House of Representatives'' for ``House Select
Committee to Conduct a Study and Investigation of the Problems of Small
Business''.
Subsec. (c)(2). Pub. L. 95-89, Sec. 205, included the Senate Select
Committee on Small Business as an additional recipient of the required
reports.
Subsec. (d). Pub. L. 95-89, Sec. 206, included the Senate Select
Committee on Small Business as an additional recipient of the required
reports.
Subsec. (e). Pub. L. 95-89, Sec. 207, substituted ``Committee on
Small Business of the House of Representatives'' for ``House Select
Committee To Conduct a Study and Investigation of the Problems of Small
Business''.
Subsec. (g). Pub. L. 95-89, Sec. 208, substituted ``Senate Select
Committee on Small Business and Committee on Small Business of the House
of Representatives'' for ``Committee on Banking, Housing and Urban
Affairs of the Senate and the Committee on Banking and Currency of the
House of Representatives''.
1975--Subsec. (a). Pub. L. 93-608, Sec. 3(4), substituted ``fiscal''
for ``calendar'' in two places and struck out provisions requiring
report to contain information on the progress of the Administration in
liquidating the assets and winding up the affairs of the Reconstruction
Finance Corporation and other information deemed appropriate by the
Administration.
Subsec. (b). Pub. L. 93-608, Sec. 3(5), substituted ``as soon as
practicable each fiscal year'' for ``on December 31 of each year''.
1974--Subsec. (a). Pub. L. 93-237 substituted provisions requiring
the Administration to make comprehensive annual reports to the President
and Congressional Officers as soon as practicable describing the state
of the small business in the Nation and the States, the operations of
the Administration, and recommendations for legislation, for provisions
requiring the Administration to make reports on Dec. 31 of each year to
the President and Congressional Officers.
Subsec. (g). Pub. L. 93-386 added subsec. (g).
1965-Subsec. (a). Pub. L. 89-348 repealed provision of subsec. (a)
which required as part of the annual report to the President and to
Congress by the Small Business Administration, a report on the progress
in liquidating the assets and winding up the affairs of the
Reconstruction Finance Corporation.
1961--Subsec. (a). Pub. L. 87-305, Sec. 5(a)(1), changed the
reporting requirements from semiannual to annual basis and required the
inclusion of information on the progress of the Administration in
liquidating the assets and winding up the affairs of the Reconstruction
Finance Corporation, such requirement to be in lieu of progress reports
on a quarterly basis.
Subsec. (b). Pub. L. 87-305, Sec. 5(a)(2), struck out ``June 30
and'' before ``December 31''.
Subsec. (c). Pub. L. 87-305, Sec. 5(a)(3), designated existing
provisions of first and second sentences as pars. (1) and (2),
substituted ``direct'' for ``request'' and ``promote undue concentration
of economic power, or otherwise injure small business'' for ``injure
small business, or otherwise promote undue concentration of economic
power in the course of the administration of this chapter'' and inserted
``of any activity of the Government which may affect small business,''
after ``surveys'' in par. (1) and required reports to be made not less
than once every year in par. (2).
Effective Date of 1989 Amendment
Amendment by Pub. L. 101-37 applicable as if included in Pub. L.
100-656, see section 32 of Pub. L. 101-37, set out as a note under
section 631 of this title.
Effective Date of 1981 Amendment
Amendment by Pub. L. 97-35 effective Aug. 13, 1981, but shall not
affect any financing made, obligated, or committed under this chapter or
chapter 14B of this title prior to Aug. 13, 1981, see section 1918 of
Pub. L. 97-35, set out as a note under section 631 of this title.
Termination of Reporting Requirements
For termination, effective May 15, 2000, of provisions in subsecs.
(a), (b), and (d) of this section relating to submitting annual reports
to Congress, see section 3003 of Pub. L. 104-66, as amended, set out as
a note under section 1113 of Title 31, Money and Finance, and pages 64
and 191 of House Document No. 103-7.
Small Business Administration Program Data and Evaluation; Report;
Implementation
Pub. L. 100-590, title I, Sec. 109, Nov. 3, 1988, 102 Stat. 2994,
provided that: ``The Small Business Administration shall develop a
comprehensive system to systematically acquire data on the number of
small businesses which participate in Administration programs, the
nature and extent of their participation, the type of business, the
results of such participation, and such other information as the
Administration deems appropriate. It shall also include the number and
dollar amount of guaranteed loans by lender, and the interest rate
thereon, and the number and dollar amount of sales in the secondary
market both by lender and by purchaser. The data shall be compiled and
maintained to permit a statistically valid analysis and computation and
evaluation of costs and benefits. The Administration shall submit a
report to the Small Business Committees of the Senate and the House of
Representatives not later than March 31, 1989, such report to include
its conclusions and recommendations and estimate of the costs involved
in implementing such a program and shall implement the system for all
program assistance made available on or after October 1, 1989.''
Ex. Ord. No. 11518. Increased Representation of Interests of Small
Business Concerns Before Government Departments and Agencies
Ex. Ord. No. 11518, Mar. 20, 1970, 35 F.R. 4939, provided:
WHEREAS the policy of the Government of the United States is to
insure the continuance of a strong and healthy free enterprise system;
and
WHEREAS the existence of a strong and healthy free enterprise system
is directly related to the well being and competitive strength of small
business concerns and their opportunities for free entry into business,
growth, and expansion; and
WHEREAS the departments and agencies of the United States Government
exercise, through their regulatory and other programs and practices, a
significant influence on the well being and competitive strength of
business concerns, particularly minority-owned business concerns, and
their opportunities for free entry into business, growth and expansion;
and
WHEREAS members of minority groups traditionally have aspired to own
their own businesses and thereby to participate in our free enterprise
system; and
WHEREAS members of certain minority groups through no fault of their
own have been denied the full opportunity to achieve these aspirations;
and
WHEREAS the policy of the Executive Branch of the United States
Government continues to be, as was described by President Dwight D.
Eisenhower, ``to strive to eliminate obstacles to the growth of small
business''; and
WHEREAS the Small Business Act (72 Stat. 384, 15 U.S.C. 631)
declares the Congressional policy that the United States Government
should aid, counsel, assist and protect, insofar as is possible, the
interests of small business concerns; and
WHEREAS the Small Business Administration is the agency within the
Executive Branch of the United States Government especially responsible
for and with an established program of advocacy in matters relating to
small business; and
WHEREAS section 8(b)(12) of the Small Business Act (72 Stat. 391, 15
U.S.C. 637(b)(12)) empowers the Small Business Administration to consult
and cooperate with all Government agencies for the purpose of insuring
that small business concerns receive fair and reasonable treatment from
such agencies, and section 10(f) of that Act (72 Stat. 393, 15 U.S.C.
639(f)) requires each department and agency of the Federal Government,
when requested by the Administrator of the Small Business
Administration, to consult and cooperate with the Administration in the
formulation by such department or agency of policies affecting small
business concerns, in order to insure that small business interests will
be recognized, protected, and preserved:
NOW, THEREFORE, by virtue of the authority vested in me as President
of the United States and in furtherance of the purpose and policy of the
Small Business Act, it is ordered as follows:
Section 1. The Small Business Administration, as the spokesman for
and advocate of the small business community, shall advise and counsel
small business concerns in their dealings with the departments and
agencies of the United States Government to the end that the views of
small business concerns will be fully heard, their rights fully
protected, and their valid interests fully advanced.
Sec. 2. Departments and agencies of the Executive Branch of the
United States Government shall call upon the Small Business
Administration for advice, guidance, and assistance when considering
matters which reasonably can be construed as materially affecting the
well being or competitive strength of small business concerns or their
opportunities for free entry into business, growth, or expansion. In
taking action on such matters, these departments and agencies shall act
in a manner calculated to advance the valid interests of small business
concerns.
Sec. 3. The Small Business Administration, whenever it determines
that the valid interests of small business concerns so warrant, shall
take such action as may be appropriate to insure the timely presentation
to departments and agencies of the United States Government of matters
materially affecting the well being or competitive strength of small
business concerns or their opportunities for free entry into business,
growth, or expansion. To this end, the Small Business Administration may
participate in investigations, hearings, or other proceedings pending
before such departments or agencies and submit evidence, briefs, and
arguments in accordance with, and to the extent permitted by, the
department's or agency's rules of practice and procedure.
Sec. 4. In performing the responsibilities and duties placed on it
by this order, the Small Business Administration shall particularly
consider the needs and interests of minority-owned small business
concerns and of members of minority groups seeking entry into the
business community.
Sec. 5. Nothing in this order shall be construed to authorize the
Small Business Administration to act as an attorney for an individual
concern in any investigation, hearing, or other proceeding pending
before any department or agency of the United States Government. Nothing
in this order shall be construed to subject any department or agency to
the authority of any other department or agency, to affect the present
authority of any department or agency to participate in the proceedings
of another department or agency, or to affect the authority of the
Attorney General under 28 U.S.C. 519.
Sec. 6. The term ``small business concern'' as used in this order
shall have the same meaning as in the Small Business Act.
Richard Nixon.
Section Referred to in Other Sections
This section is referred to in sections 636, 637, 687 of this title.
