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Exempt/Releasable SBA Information


SBA information generally exempt from disclosure

The following disclosure determinations will be affected by business status and the relation of the requester to the information. A first-party requester, such as the submitter of the information or the subject of the record, will be privy to more information than a third party. Disclosure of segregable records is required.

  • Non-statistical information on pending, declined, withdrawn, or canceled applications

  • Non-statistical information on defaults, delinquencies, losses, etc.

  • Loan status, other than charged-off or paid-in-full

  • Home disaster loan status and interest rate

  • Personal and business tax returns

  • For viable, ongoing businesses: Financial statements, credit reports, business plans, plant layouts, marketing strategy, advertising plans, fiscal projections, pricing information, payroll information, private sector experience and contracts, purchase information, banking information, corporate structure, research plans and client list of applicant/recipient

  • For viable, ongoing businesses: Commercial and financial information contained in certificate of competency records, Requests for Size Determinations, 8(a) Business Development plans, loan applications, SBIC applications and loan officer's reports

  • 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

  • Personal history and financial statements, tax forms, resumes, all non-government career experience, communications about applicant's character, home and email addresses and telephone numbers, social security numbers, birth dates and medical records

  • Portions of Inspector General 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

  • Financial information on portfolio companies

  • Information originating from other agencies should be referred to those agencies for disclosure determinations

SBA information generally releasable

  • Names and commercial street and email addresses of recipients of approved loans, SBIC licenses, Certificates of Competency, lease guarantees, surety bond guarantees and requests for counseling

  • Names of officers, directors, stockholders, or partners of recipient firms.

  • Kinds and amounts of loans, loan terms, interest rates (except on home disaster loans), maturity dates, general purpose, etc.

  • Statistical data on assistance, loans, defaults, contracts, counseling, etc.

  • Decisions, rulings, and records showing final agency actions in specific factual situations, if identifying details exempt from disclosure are first deleted

  • Awarded contracts: name of contractor, contract amounts, contract dates and contracting agencies

  • Identity of participating banks

  • List of 8(a) participants, date of entry into the 8(a) program, projected graduation date from the 8(a) program and North American Industry Classification System codes

  • Office of Hearings and Appeals opinions and decisions and grievances in redacted form

  • Names of SBA employees, grades, titles, and duty stations

FOIA resources

 

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