CFR Subpart C

CFR Subpart C
in effect

13 C.F.R. § 134.301 Scope of the rules in this subpart C.

The rules of practice in this subpart C apply to all appeals to OHA from: (a) Formal size determinations made by an SBA Government Contracting Area Office, under part 121 of this chapter, or by a Disaster Area Office, in connection with applications for disaster loans; and (b) NAICS code designations, pursuant to part 121 of this chapter.

13 C.F.R. § 134.302 Who may appeal.

Appeals from size determinations and NAICS code designations may be filed with OHA by the following, as applicable: (a) Any person adversely affected by a size determination; (b) Any person adversely affected by a NAICS code designation. However, with respect to a particular sole source 8(a) contract, only the Director, Office of Business Development may appeal a NAICS code designation; (c) The Associate or Assistant Administrator for the SBA program involved, through SBA's Office of General Counsel; or (d) The procuring agency contracting officer responsible for the procurement affected by a size determination.

13 C.F.R. § 134.303 Advisory opinions.

The Office of Hearings and Appeals does not issue advisory opinions.

13 C.F.R. § 134.304 Commencement of appeals from size determinations and NAICS code designations.

(a) Size appeals must be filed within 15 calendar days after receipt of the formal size determination. (b) NAICS code appeals must be filed within 10 calendar days after issuance of the solicitation, or amendment to the solicitation affecting the NAICS code or size standard. However, SBA may file a NAICS code appeal at any time before offers or bids are due. (c) An untimely appeal will be dismissed.

13 C.F.R. § 134.305 The appeal petition.

(a) Form. There is no required format for an appeal petition. However, it must include the following information: (1) In a size appeal, a copy of the size determination being appealed; (2) The solicitation or contract number, and the name, address, and telephone number of the contracting officer; (3) A full and specific statement as to why the size determination or NAICS code designation is alleged to be in error, together with argument supporting such allegations; and (4) The name, address, telephone number, facsimile number, and signature of the appellant or its attorney. (b) Service of size determination appeals. The appellant must serve the appeal petition upon each of the following: (1) The SBA official who issued the size determination; (2) The contracting officer responsible for the procurement affected by a size determination; (3) The business concern whose size status is at issue; (4) All persons who filed protests; and (5) SBA's Office of General Counsel, Associate General Counsel for Procurement Law, 409 Third Street, SW., Washington, DC 20416, facsimile (202) 205-6873, or e-mail at OPLService@sba.gov. (c) Service of NAICS appeals. The appellant must serve: (1) The contracting officer who made the NAICS code designation; and (2) SBA's Office of General Counsel, Associate General Counsel for Procurement Law, 409 Third Street, SW., Washington, DC 20416, facsimile (202) 205-6873, or e-mail at OPLService@sba.gov. (d) Certificate of service. The appellant must attach to the appeal petition a signed certificate of service meeting the requirements of § 134.204(d). (e) Dismissal. An appeal petition which does not contain all of the information required in paragraph (a) of this section may be dismissed, with or without prejudice, by the Judge at his or her own initiative, or upon motion of a respondent.

13 C.F.R. § 134.306 Transmission of the case file and solicitation.

(a) Upon receipt of an appeal petition pertaining to a size determination, the Area Office which issued the size determination must immediately send to OHA the entire case file relating to that determination. (b) Upon receipt of an appeal petition pertaining to a NAICS code designation, or a size determination made in connection with a particular procurement, the procuring agency contracting officer must immediately send to OHA an electronic link to or a paper copy of both the original solicitation relating to that procurement and all amendments.

13 C.F.R. § 134.307 Service and filing requirements.

The provisions of § 134.204 apply to the service and filing of all pleadings and other submissions permitted under this subpart.

13 C.F.R. § 134.308 Limitation on new evidence and adverse inference from non-submission in appeals from size determinations.

(a) Evidence not previously presented to the Area Office which issued the size determination being appealed will not be considered by a Judge unless: (1) The Judge, on his or her own initiative, orders the submission of such evidence; or (2) A motion is filed and served establishing good cause for the submission of such evidence. The offered new evidence must be filed and served with the motion. (b) If the submission of evidence is ordered by a Judge, and the party in possession of that evidence does not submit it, the Judge may draw adverse inferences against that party.

13 C.F.R. § 134.309 Response to an appeal petition.

(a) Who may respond. Any person served with an appeal petition, any intervenor, or any person with a general interest in an issue raised by the appeal may file and serve a response supporting or opposing the appeal. The response should present argument. (b) Time limits. The Judge will issue a Notice and Order informing the parties of the filing of the appeal petition, establishing the close of record as 15 days after service of the Notice and Order, and informing the parties that OHA must receive any responses to the appeal petition no later than the close of record. (c) Service. The respondent must serve its response upon the appellant and upon each of the persons identified in the certificate of service attached to the appeal petition pursuant to § 134.305. (d) Reply to a response. No reply to a response will be permitted unless the Judge directs otherwise.

13 C.F.R. § 134.310 Discovery.

Discovery will not be permitted in appeals from size determinations or NAICS code designations.

13 C.F.R. § 134.311 Oral hearings.

Oral hearings will not be held in appeals from NAICS code designations, and will be held in appeals from size determinations only upon a finding by the Judge of extraordinary circumstances. If such an oral hearing is ordered, the proceeding shall be conducted in accordance with those rules of subpart B of this part as the Judge deems appropriate.

13 C.F.R. § 134.312 Evidence.

To the extent the rules in this subpart permit the submission of evidence, the provisions of § 134.223 (a) and (b) apply.

13 C.F.R. § 134.313 Applicability of subpart B provisions.

Except where inconsistent with this subpart C, the provisions of subpart B of this part apply to appeals from size determinations and NAICS code designations.

13 C.F.R. § 134.314 Standard of review and burden of proof.

The standard of review is whether the size determination or NAICS code designation was based on clear error of fact or law. The appellant has the burden of proof, by a preponderance of the evidence, in both size and NAICS code appeals.

13 C.F.R. § 134.315 The record.

Where relevant, the provisions of § 134.225 apply. In an appeal under this subpart, the contents of the record also include the case file or solicitation submitted to OHA in accordance with § 134.306.

13 C.F.R. § 134.316 The decision.

(a) The Judge shall issue a size appeal decision, insofar as practicable, within 60 calendar days after close of the record. (b) The Judge shall issue a NAICS code appeal decision as soon as practicable after close of the record. (c) Contents. Following closure of the record, the Judge will issue a decision containing findings of fact and conclusions of law, reasons for such findings and conclusions, and any relief ordered. The Judge will not decide substantive issues raised for the first time on appeal, or which have been abandoned or become moot. (d) Finality. The decision is the final decision of the SBA and becomes effective upon issuance. Where a size appeal is dismissed, the Area Office size determination remains in effect. (e) Service. OHA will serve a copy of all written decisions on: (1) Each party, or, if represented by counsel, on its counsel; and (2) SBA's General Counsel, or his or her designee, if SBA is not a party. (f) Reconsideration. The decision in a NAICS code appeal may not be reconsidered.

13 C.F.R. § 134.318 NAICS appeals.

(a) General. The regulations at §§ 121.402, 121.1102, and 121.1103 of this chapter also apply to NAICS code appeals. (b) Effect of OHA's decision. If OHA grants the appeal (changes the NAICS code), the contracting officer must amend the solicitation to reflect the new NAICS code. The decision will also apply to future solicitations for the same supplies or services. (c) Summary dismissal. OHA may summarily dismiss a NAICS appeal either on the Judge's own initiative or on motion by a party. A summary dismissal may be with or without prejudice, and may be issued before the date set for close of record. Grounds for summary dismissal include: premature appeal, withdrawn appeal, settlement, cancellation of the procurement, and contract award.

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