Information Generally Exempt From Disclosure and Information Generally Releasable
Disclosure determinations described below will be affected by business status and the relation of the requester to the information. A first party requester (i.e., the submitter of the information or the subject of the record) will be privy to more information than a third party (anyone other than a first 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- Non-statistical information on pending, declined, withdrawn, or canceled applications.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 on-going businesses: Financial statements, credit reports, business plans, plant lay-outs, 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 on-going 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 regarding applicant's character, home and email addresses and telephone numbers, social security numbers, birth dates and medical records.
- Portions of 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.
- Financial information on portfolio companies.
- Information originating from other agencies should be referred to those agencies for disclosure determinations.
INFORMATION GENERALLY DISCLOSED
- 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.
- OHA opinions and decisions, grievances in redacted form.
- Names of SBA employees, grades, titles, and duty stations.