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SBA Strategic Plan

By Roberto Cox,2014-06-29 10:33
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SBA Strategic Plan ...

Enabling the

    Establishment and

    Viability of Small

    Businesses

U.S. Small Business Administration

    Strategic Plan FY 2006 - FY 2011

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    Table of Contents

    Introduction: Mission and Strategic Framework 3 I. Improve the economic environment for small businesses. 5

    ? Minimize the regulatory burden on small businesses

    ? Ensure equity an d fairness in the Federal regulatory enforcement

    process

    ? Minimize the taxation burden on small business through effective

    advocacy

    ? Minimize the health care cost burden on small businesses through

    effective advocacy

    ? Simplify interaction with/ government through the use of Internet and

    information technology

    Increase the effectiveness of Federal agencies to provide opportunities for small

    businesses

    II. Increase small business success by bridging competitive opportunity 14

     gaps.

    ? Increase positive impact of SBA assistance on start-ups

    ? Maximize sustainability and growth of existing small businesses assisted

    by SBA

    ? Increase success of small businesses facing competitive opportunity gaps III. Restore homes and businesses affected by disaster. 29

    ? Help restore homes and businesses affected by disaster

    IV. Ensure maximum efficiency and effectiveness. 34

    ? General Agency management

    ? Human Capital management

    ? Financial management and budget and performance integration

    ? Information technology

    ? Procurement and contracting services

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    U.S. Small Business Administration

    Strategic Plan for FY 2006 - 2011

Mission: The mission of SBA is to maintain and strengthen the Nation’s economy

    by enabling the establishment and viability of small businesses and by

    assisting in the economic recovery of communities after disasters.

To fulfill this mission, the SBA has three programmatic Strategic Goals that broadly

    define what the Agency and its programs are trying to accomplish. A fourth Strategic

    Goal defines the responsibility of the Agency’s executive leadership and support

    functions to help accomplish the programmatic goals.

    Strategic Goals:

    1. Improve the economic environment for small businesses.

    2. Increase small business success by bridging competitive opportunity gaps

    facing entrepreneurs.

    3. Restore homes and businesses affected by disaster.

    4. Ensure that all SBA programs operate at maximum efficiency and

    effectiveness by providing them with high quality executive leadership and

    support services.

The Strategic Goals are further defined by Long-term Objectives which describe in

    general terms the results SBA needs to achieve in order to meet its goals. Supporting

    each Long-term Objective is a description of the strategies that SBA will implement to

    reach the desired results, as well as the specific outcome measures that will determine

    whether success has been accomplished, or sufficient progress made by the Agency, over

    the six-year timeframe of this plan.

America’s small businesses play a vital role in creating opportunities for individuals,

    employees, and economic growth. In times of economic downturns, small businesses

    play a leading role in economic recovery. In the past, it has been reported that small

    businesses generate approximately 60-80 percent of all net new jobs. Therefore, to

    support this vital sector of the American economy, the President has designed a small

    business agenda intended to create an environment where entrepreneurship can flourish.

    This agenda is woven into SBA’s first strategic goal and includes: providing small

    businesses with the information they need to succeed, ensuring full access to government

    contracting opportunities, and diminishing regulatory barriers to job creation by giving

    small businesses a voice in the often complex and confusing Federal regulatory process.

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    The SBA is continuing its efforts to bridge the competitive opportunity gaps that small entrepreneurs face and that the private market or local government does not address. The Agency is working to increase its impact on three large segments of the small business population by increasing the small business ownership and maximizing growth and sustainability of these entities:

    ? Start-ups

    ? Existing

    ? Groups that own and control little productive capital and have limited access to

    markets. These are groups that face special competitive opportunity gaps.

    The SBA continues to play a vital role in helping businesses and families recover from disasters. Through its disaster assistance program, the SBA provides affordable, timely and accessible financial assistance to homeowners, renters, and businesses. SBA will seek to maximize the timely restoration of property to these individuals while continuing to improve its service delivery.

    The SBA is taking steps to provide high quality general management and oversight for its programs and support offices. SBA is undertaking initiatives to develop a comprehensive management system by integrating its IT resources, financial and performance management tools, and human resources, into an effective and efficient organization. These processes are being conducted within the framework of the President’s Management Agenda.

    The SBA keeps track of its progress in achieving its strategic and production goals and holds regular, top level meetings with the leaders of all program and support offices to hold all managers accountable, and deliver the desired results by integrating program performance with resource allocation.

    The goals and objectives that this Strategic Plan is based on are derived directly from specific statutory mandates and from elements of the President’s Agenda for America’s Small Business. Displayed below is a partial list of key Acts, statutory mandates, and presidential directives that drive the SBA Strategic Plan goals and objectives.

Small Business Act (SBAct)

    E-Government Act of 2002 (H.R. 2458/S. 803)

    Clinger-Cohen Act, 40 U.S.C. ? 1401

    Government Paperwork Elimination Act (GPEA), 44 U.S.C. ? 3504

    Government Performance Results Act (GPRA), 31 U.S.C ? 1116

    Federal Financial Management Improvement Act, (FFMIA), 31 U.S.C.

    Federal Financial Integrity Act (FMFIA), 31 U.S.C. ? 3512(d)

    Chief Financial Officer’s Act (CFO), 31 U.S.C. ? 902

    Government Management Reform Act (GMRA),

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trategic Goal 1. Improve the economic environment for small S

    businesses.

As a champion for small businesses, the SBA Administrator works to ensure that all

    enterprising Americans have the maximum opportunity to succeed. The SBA promotes

    an environment that encourages and sustains entrepreneurship. In this role, the Agency

    affects the business climate through the combined efforts of the Office of Advocacy

    (Advocacy), the Office of the National Ombudsman (ONO), the Office of the

    Administrator, and various programmatic offices. SBA intends to achieve a positive

    impact on behalf of small businesses by convincing other government entities to support

    policies and to take actions that are beneficial to small businesses. SBA helps meet this

    goal by advancing the views, concerns and interests of this constituency before Congress,

    the White House, Federal agencies, Federal courts and state policy makers. SBA also

    ensures there is a vigorous regulatory review process followed by fair and reasonable

    application of those regulations to individual small businesses.

Long-term Objective 1.1. Minimize the regulatory burden on small

    businesses.

The following outcome measures will determine success in meeting this Objective:

    1.1.1. By FY 2011, achieve a yearly regulatory cost savings that increases at a

    rate of 10 percent annually over a base amount of $3.8 billion set in 2002,

    due to Advocacy interventions.

    1.1.2. By FY 2011, through online training, ensure that employees of all 66

    Federal agencies which promulgate regulations that impact small

    businesses have in-house expertise on how to comply with the Regulatory

    Flexibility Act (RFA).

    1.1.3. By FY 2011, ensure there are 10 states either continuing to

    introduce/improve small business regulatory flexibility laws/executive

    orders, or demonstrating successful implementation of existing small

    business regulatory flexibility laws/executive orders.

    1.1.4. By FY 2011 ensure that there are 15 universities/colleges with

    business/entrepreneurship programs using Advocacy data and reports as a

    resource for instruction and/or further research.

    1.1.5. Increase in number of Federal Agencies that improve their rating in the

    Ombudsman Annual Report to Congress.

    1.1.6. Increase the percentage of comments addressed in 90 business days.

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Strategy:

These outcomes are used because taken together they measure several key aspects of

    effective SBA advocacy in achieving reduced regulatory burdens placed on small

    businesses by the Federal government, minimizing unfair enforcement of regulations

    against small businesses by Federal agencies. Unfair enforcement of regulations can

    include unnecessary and frequent audits or investigations, inconsistent fines, penalties

    and enforcement actions, and threats or retaliatory actions. SBA wants to achieve a

    significant reduction in the annual regulatory burden (measured in dollars) on small

    businesses, below what would otherwise have occurred without the intervention of the

    SBA. All of these outcomes/efforts are consistent with the third item on the President’s

    Small Business Agenda (PSBA)reducing regulatory barriers.

Continuing Efforts: Activities already underway that will continue to support

    accomplishing these results include the following

The SBA, through the Office of Advocacy, will:

    a. Continue sharing information on reducing regulatory burdens in agency

    rulemakings with OMB’s Office of Information and Regulatory Affairs (OIRA) to

    ensure agency compliance with the Regulatory Flexibility Act and other laws

    requiring agencies to analyze the impact of the regulations on small business .

    b. Continue to update and publish guidance and train Federal agencies on how to

    improve compliance with RFA and E.O.13272 and will comment on proposed

    Federal regulations and policies that would impose unnecessary or

    disproportionate burdens on small businesses.

    c. Continue to work with data collection agencies such as the Census Bureau and

    Bureau of Labor Statistics to improve the amount and quality of small business

    data needed for its economic research. SBA will reach into university

    entrepreneurship programs and identify generations of economists interested in

    studying small business dynamics and the important role small businesses play in

    the American economy. The goal is to spur next generation research by students

    and faculty, and to make more small business research available to policymakers.

    d. Identify issues of greatest concern to small businesses and to do so will rely more

    on information received directly from small businesses and their representatives.

    The SBA will host roundtables where issues can be raised by small entity

    stakeholders and Regional Advocates will be encouraged to communicate small

    business priorities throughout the country back to SBA. A Regulatory Alerts web

    page will be maintained giving small businesses an opportunity to review and

    comment on proposed Federal regulations.

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    e. Engage in partnerships with other organizations (e.g., Kauffman Foundation) to

    share costs in order to leverage its limited research dollars for research projects

    and conferences on issues of concern to small businesses. SBA will further

    leverage its staffing resources by engaging in Interagency Agreements to have

    skilled economists and/or lawyers detailed to Advocacy at no cost or shared cost.

The SBA, through the Office of the National Ombudsman (ONO), will:

    f. Continue to inform small businesses of their right to comment about excessive

    Federal regulatory enforcement activities and to encourage their participation in

    improving the regulatory process.

    g. Act as an impartial liaison between individual small businesses and Federal

    agencies and will continue to process and transmit to agencies small business

    comments that it receives regarding specific Federal regulatory enforcement

    actions, and will continue to request a fair review of the concerns expressed and a

    prompt response.

    h. Encourage Federal agencies to keep their information updated through Business

    Gateway since SBPRA requires each Federal Agency to designate a small

    business point of contact for compliance assistance.

    i. Continue to hold approximately 20 public events each year and to the extent

    practicable rotate event sites across the country.

    j. Continue to hold two Federal interagency meetings per year to discuss

    enforcement and compliance issues and at least one national meeting with its ten

    Regulatory Fairness Boards.

New Initiatives: No new initiatives are currently planned.

Program Evaluations:

No program evaluations are currently planned.

Key External Factors:

In developing these outcome measures and their specific 6-year performance targets,

    SBA has made what it believes are reasonable assumptions about the circumstances that

    will exist during this period. However

    a. Good rulemaking procedures tend to suffer during times of national emergency,

    when many regulations are promulgated on an expedited basis. For this reason,

    Advocacy’s ability to influence health or safety regulations could be adversely

    impacted if there were circumstances of national emergency.

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    b. There is a distinct possibility that future years’ savings will trend downward if

    Federal regulatory agencies internalize processes that result in rules with less

    impact from the outset. While this would mean that Outcome Measure 1.1.1 is

    not met, it would be a positive development in that case, as it would mean that

    significant success in achieving the intent of Outcome Measure 1.1.2 has reduced

    the opportunity to meet the target for 1.1.

    Key External Factors:

Fear of retaliation. One of the challenges for SBA is that many small businesses are

    reluctant to comment on Federal regulatory actions for fear of retaliation by Federal

    agencies. ONO, has therefore encouraged Federal agencies to adopt small business non-

    retaliation policies and will begin rating agencies on their efforts to adopt these policies

    in its annual report to Congress.

Long-term Objective 1.2. Minimize the taxation burden on small

    business through effective advocacy.

Strategy:

This Long-Term Objective is used because it is consistent with the first item of the

    President’s Small Business Agenda: to provide tax incentives for job-creating investments. Tax reduction legislation can also make a strong contribution to improving

    the overall business environment for small enterprises. While actual enactment of this

    type of legislation is beyond the jurisdiction of SBA, the effectiveness of the Agency’s

    advocacy in this area can be judged by whether the positive impact of tax proposals on

    small business is widely understood.

    Continuing Efforts: Activities already underway that will continue to support accomplishing these results include the following:

    a. SBA will support efforts that lead to the repeal of the death tax and promote the

    reduction and simplification of taxes that affect small businesses. This support

    will consist of legislative testimony, speeches, editorials, research material,

    interagency correspondence and similar vehicles.

    b. SBA will ensure that small business views on tax policy and legislation are

    considered within the Administration.

    New Initiatives: Additional efforts that will be undertaken in order to achieve these results include:

    a. Developing a new legislative proposal that provides tax incentives for significant

    job-creating investments by small businesses including economic research that

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    identifies the most cost-effective approaches to stimulating sufficient investments

    of this type.

    b. Coordinating its legislative proposal efforts on this issue with both OMB and the

    Department of Treasury (Treasury) to ensure that the legislation is consistent with

    Administration policy.

    Program Evaluations:

No program evaluations are currently planned.

    Key External Factors:

Because this Long-Term Objective is derived in part from the PSBA, there is the

    possibility that its focus could be affected by a change in small business policy by the

    Administration.

Long-term Objective 1.3. Minimize the health care cost burden on small

    business through effective advocacy.

Strategy:

This Long-Term Objective is used because it is consistent with the second item of the

    PSBA, which addresses giving small business owners greater ability to provide health

    care for their employees.

Continuing Efforts: Activities already underway that will continue to support

    accomplishing these results include the following:

    a. Supporting legislation that creates association health care plans, strengthens

    medical savings accounts and provides further tax benefits for health care

    purposes. This advocacy will consist of legislative testimony, speeches, editorials,

    research material, interagency correspondence and similar vehicles.

    New Initiatives: Additional efforts that will be undertaken in order to achieve these results include:

    a. Coordinating its legislative proposal efforts on this issue with OMB, the

    Department of Health and Human Services and Treasury to ensure that the

    legislation is consistent with Administration policy.

    Program Evaluations:

No program evaluations are currently planned.

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    Key External Factors:

Because this Long-Term Objective is derived in part from the PSBA, there is the

    possibility that its focus could be affected by a change in small business policy by the

    Administration.

Long-term Objective 1.4. Simplify the interaction between small

    businesses and the Federal government through the use of the Internet

    and information technology.

The following outcome measure will determine success in meeting this Objective:

    1.4.1 Number of hours saved in searching for relevant government information such

    as forms

    1.4.2 Customer satisfaction

Strategy:

These outcomes are used because they support the fifth item of the PSBA, to provide

    small businesses the information they need to succeed.

    Continuing Efforts: Activities already underway that will continue to support accomplishing these results include the following:

    a. Implementing Phase I of the Business Gateway, which has among its primary

    objectives the reduction of the paperwork burden on small businesses, and the

    creation of a single portal for all Government to Business (G2B) transactions to

    facilitate the interaction between businesses and the government.

    b. Redesigning and evaluating its Agency website, www.sba.gov, to present and

    consolidate SBA information and services for easier access.

    New Initiatives: Additional efforts that will be undertaken in order to achieve these results include:

a. Reengineer the way SBA manages information to harmonize and streamline

    information collection and the dissemination of services to the small business

    community.

    Program Evaluations:

No program evaluations are currently planned.

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