COMPLIANCE
ASSISTANCE SUMMARIES
|
| Los Angeles | (310)
514-4905 (310) 514-3931 (Fax) OClark@fmc.gov (E-mail) |
| South Florida |
(954)
963-5362 or |
| New Orleans | (504)
589-6662 (504) 589-6663 (Fax) AKellogg@fmc.gov (E-mail) |
| New York | (718)
553-2228 (718) 553-2229 (Fax) EMingione@fmc.gov (E-mail) |
| Seattle | (206)
553-0221 (206) 553-0222 (Fax) MMoneck@fmc.gov (E-mail) |
Federal
Maritime Commission Single Point of Contact:
Jane E. Gregory
Executive Assistant
Office of Administration
Federal Maritime Commission
800 N. Capitol Street, N.W.
Washington, D.C. 20573
Telephone: 202-523-5800
Fax: 202-523-5827
E-mail: jgregory@fmc.gov
FEDERAL
MEDIATION AND CONCILIATION SERVICE
Federal Mediation and Conciliation Service Single Point of Contact:
Dan Funkhouser, Chief Information Officer,
Federal Mediation and Conciliation Service
2100 K St NW
Washington, DC 20427
Telephone: 202-606-5477
E-mail: dfunkhouser@fmcs.gov
FEDERAL
RESERVE BOARD
Procurement (Companies wishing to conduct business with the Board)
Carlos Gutierrez
Small Business Procurement Liaison
20th and C Streets, NW, M/S 128
Washington, DC 20551
Telephone: 202-452-2458
E-mail: Carlos.Gutierrez@frb.gov
General Financial
Information for Small Businesses
General Community Development information
www.federalreserve.gov/community.htm
A Guide to Business Credit for Women, Minorities, and Small Businesses
www.federalreserve.gov/community.htm
Federal Reserve
Regulatory Reporting Forms
Current Reporting Forms
www.federalreserve.gov/boarddocs/reportforms/default.cfm
Reporting Forms Under Review
www.federalreserve.gov/boarddocs/reportforms/review.cfm
Banking and
Regulatory Information
General Banking and Regulatory information
www.federalreserve.gov/banknreg.htm
Regulations (PDF files)
www.federalreserve.gov/regulations/default.htm
Supervision & Regulation Letters (SR Letters)
www.federalreserve.gov/boarddocs/srletters/
Federal Reserve
Board Publications Department
Publications available free-of-charge on-line
www.federalreserve.gov/publications.htm
Publications available for order (on-line order form and information)
www.federalreserve.gov/pubs/order.htm
Telephone: 202-452-3245
Fax: 202-728-5886
20th and C Streets, NW,
Publications Services, M/S127
Washington, DC 20551
News and Events
General News and Events, including: testimonies and speeches; press releases;
and services (e-mail notification for press releases and other unscheduled
postings; personal digital assistant wireless service for press releases;
and e-mail notification for testimony and speeches).
www.federalreserve.gov/newsevents.htm
Federal Reserve
Board Single Point of Contact:
Cindy Ayouch
Senior Financial Analyst, Financial Reports section
20th and C Streets, NW, M/S 41
Washington, DC 20551
Telephone: 202-452-3829
Fax: 202-728-5856
E-mail: Cynthia.M.Ayouch@frb.gov
General Federal Reserve
Public website
www.federalreserve.gov
FEDERAL
TRADE COMMISSION
The
FTC offers a broad array of resources to aid small businesses in understanding
their obligations under the laws and regulations administered by the Commission.
The FTC offers general information in a variety of forms to address issues
and questions that small businesses frequently encounter. Such guidance
usually will satisfy the needs of small businesses for guidance as to
their obligations. For example, the FTC issues many types of publications
designed to explain how small businesses and others can conduct their
affairs in compliance with the laws and regulations administered by the
FTC. These include materials specifically directed to businesses, such
as (1) compliance guides explaining the requirements of specific FTC rules
in a non-technical manner; (2) industry guides addressing common compliance
issues under the Federal Trade Commission Act, as applied to particular
industries or particular practices; (3) guidelines and policy statements
explaining the application of antitrust laws to particular practices or
industries. These materials frequently contain specific examples and illustrative
fact patterns that show how the agency would apply the law to a particular
set of facts. The FTC holds public workshops, conferences and other forums
to discuss specific topics, which often include compliance concerns. Also,
FTC staff members and Commissioners frequently give speeches and conduct
programs geared to explaining statutory and regulatory requirements and
to answering attendees' questions. Where the topics are of particular
interest to small business, these speeches may involve appearances before
groups representing small-business interests. Other sources of information
include full texts of FTC-administered statutes and rules, advisory opinions
issued by the Commission or its staff, texts of speeches and testimony,
and information on enforcement actions. The FTC also produces and disseminates
numerous print and broadcast materials that, while directed to consumers,
can benefit small businesses by identifying the practices that generate
consumer protection issues between businesses and their customers and
explaining how they should be handled. These materials and information
are readily available to small businesses through a variety of sources,
including:
Through the FTC's website www.ftc.gov, and from links at www.business.gov, www.firstgov.gov, and www.sba.gov/yourgovt/federal.html.
Directly from the FTC, Room H-130, 600 Pennsylvania Ave. NW, Washington, DC 20580, or call (toll-free) 877-FTC-HELP.
FTC Compliance Guides are available at http://www.ftc.gov/ftc/businessinfo/consumer.htm, and include, among others:
- Frequently Asked Advertising Questions: A Guide for Small Business http://www.ftc.gov/bcp/conline/pubs/buspubs/ad-faqs.htm
- Complying with the Telemarketing Sales Rule, http://www.ftc.gov/bcp/conline/pubs/buspubs/tsrcomp.htm#privacy
- How to Comply with the Privacy of Consumer Financial Information Rule of the Gramm-Leach-Blilely Act, A Guide for Small Businesses from the Federal Trade Commission http://www.ftc.gov/bcp/conline/pubs/buspubs/glblong.htm
- How to Comply With The Children's Online Privacy Protection Rule http://www.ftc.gov/bcp/conline/pubs/buspubs/coppa.htm
Where the sources of general information are insufficient to provide the needed guidance or assistance, an FTC staff member may provide specific, informal advice or arrange for a more formal response. Small businesses may make inquiries of the Commission by various means. Inquiries can be informal and the business need not even identify itself. The FTC also has procedures for providing, where appropriate, either a staff advisory opinion or, in specified circumstances, a Commission advisory opinion. It is generally most effective to discuss the issue with a staff person before deciding whether to seek a formal advisory opinion.
Inquiries
regarding consumer protection issues:
FTC, Room H-130
600 Pennsylvania Ave. NW
Washington, DC 20580
Telephone: (toll-free) 1-877-FTC-HELP (1-877-382-4357).
Inquiries
regarding competition issues:
Office of Policy and Evaluation,
Bureau of Competition, Federal Trade Commission,
Washington, DC 20580
Telephone (202) 326-3300
Fax (202) 326-2884.
Federal
Trade Commission Single Point of Contact:
General inquiries may be directed to
Donald Clark
The Office of the Secretary
Federal Trade Commission
600 Pennsylvania Ave. NW
Washington, DC 20580
Telephone: 202-326-2514
Fax: 202-326-2496
Businesses may also contact any of the FTC's regional offices.
GENERAL
SERVICES ADMINISTRATION
General Services Administration Single Point of Contact:
Mr. Felipe Mendoza
Associate Administrator
Office of Small Business Utilization
General Services Administration
1800 F Street, NW, Room 6029
Washington, DC 20405
Telephone: 202-501-1021
Compliance-Assistance
Resources
www.firstgov.gov
links to Federal, State, and Local Agencies.. This website provides information
to citizens and small businesses and provides a myriad of information
on civil issues and government rules, regulations, policies and procedures.
www.gsa.gov/smallbusiness
-- Provides contact information for the GSA Regional Small Business Utilization
Centers, counseling available
-- Electronic
“Doing Business with GSA” & the Subcontracting Directory
--
Forecast of Contracting Opportunities
-- Procurement
networking sessions and workshops
-- Links
to other agencies websites
www.eps.gov/
FedBizOpps is the single government point-of-entry (GPE) for Federal contracting
opportunities over $25,000
www.eoffer.gsa.gov
A tool to submit contract offers and contract modification request to
GSA Federal Service Supply on line (web page provides the step-by-step
process for the electronic process, and also provides on line eOffer training.
Conduct
routine workshops
-- Quarterly “How to Prepare a Quality Offer” (IT Solicitation
seminars)
-- Monthly “How to Obtain a GSA Schedules Contract (Schedules seminar)
GSA
“Outreach” Activities
-- Attendance, participation, sponsor and co-sponsorships
-- Procurement networking conferences
-- Electronic advertising upcoming Industry Days
-- To provide information to the small business community about upcoming
contracting opportunities
Brochures
“Marketing Strategies & Techniques” – Small business
solutions from GSA’s advocate for today’s small businesses.
INSTITUTE
OF MUSEUM AND LIBRARY SERVICES
Institute of Museum and Library Services
Single Point of Contact:
Rebecca W. Danvers, Ph.D.
Director of Research and Technology
Institute of Museum and Library Services
1100 Pennsylvania Avenue NW, Room 223
Washington, DC 20506
Phone: 202-606-2478
Fax: 202-606-0395
E-mail: rdanvers@imls.gov
MERIT
SYSTEMS PROTECTION BOARD
Merit
Systems Protection Board Single Point of Contact:
Richard A. Dorr
Merit Systems Protection Board
1615 M Street NW, Suite 500
Washington, DC 20036
Telephone: 202-653-6772 ext.1113
Fax: 202-653-7821
E-mail: richard.dorr@mspb.gov
NATIONAL AERONAUTICS AND SPACE ADMINISTRATION
Compliance
Assistance Resources
The Office of Small and Disadvantaged Business Utilization (OSDBU) promotes
the utilization of small, disadvantaged and women-owned businesses in
compliance with Federal laws, regulations, and policies. We assist such
firms in obtaining contracts and subcontracts with NASA and its prime
contractors. The OSDBU also facilitates the participation of small businesses
in NASA’s technology transfer and commercialization activities.
Our objective is not only to ensure that small businesses are integrated
seamlessly into the aerospace industrial base of the country, but that
they can contribute to the performance of NASA missions. NASA supports
a non-retaliation policy against small businesses as stated in NASA Policy
Directive 5101.32 for the Ombudsman program.
Small businesses seeking work with NASA are directed to our website http://osdbu.nasa.gov. Activities in support of small businesses are listed with information on how to get involved in obtaining contracts and subcontracts. Request for Proposals open for bid can be reviewed on the Internet at http://procurement.nasa.gov.
Description
of Program
To get the highest return on investment, the NASA OSDBU has designed,
implemented, and facilitated user-friendly programs and initiatives. This
ensures the full integration of capable and high-quality small businesses
into the competitive base of contractors from which NASA regularly purchases
products and services. In addition, the OSDBU has an outreach effort to
communicate with its target small business constituents, as well as an
in-reach program to educate NASA technical, procurement, and administrative
personnel about programs and policies. The OSDBU also disseminates information
about its programs through conferences, forums, training and development
programs, counseling, promotional materials, and the Internet. A free
three-day course called Training and Development for Small Businesses
in Advanced Technologies (TADSBAT) acquaints companies with the NASA culture.
This course is held four times a year at different locations nationally.
In addition, two forums were developed to seek high-technology firms capable
of participating in the Agency’s most complex programs. The Aerospace
Technology Small Disadvantaged Forum is conducted twice a year at two
of the aeronautics Field Centers where three to five high-tech SDBs are
selected to give presentations to senior level technical managers. From
the forum’s inception in 1993 through FY 2001, more than $85 million
have been awarded to some of the presenters. A similar format is used
for the Semi-annual Science Forums for Small Businesses. The Science Forums
create a “high-level marketing opportunity” for selected small
businesses to present their capabilities to earth science personnel at
the Goddard Space Flight Center and to space science personnel at The
Jet Propulsion Laboratory. Since the inception of this program in 1997,
over $47 million in contracts and subcontracts have been awarded to participants.
As NASA’s premier initiative, the Mentor-Protégé Program is designed to encourage prime contractors to assist disadvantaged companies in expanding their technical capabilities where such firms are underrepresented in the market. Prime contractors receive a variety of incentives during the source selection process, plus award fee increments during the period of the contract, if performed successfully. To spur small businesses to actively pursue opportunities for commercializing NASA technology, the OSDBU, in conjunction with the Minority Owned Business Technology Transfer Consortium (MBTTC) puts on seminars throughout the year. Companies learn about the NASA Commercialization Technology Network, how to identify technologies and work with researchers and scientists, how to apply for licensing agreements, and how to find financing sources.
“Socioeconomic Procurement as a Business Imperative” is a one-day course given four times a year at different NASA Centers to a cross-section of the Agency’s technical, procurement, and administrative personnel. The course emphasizes the value-added benefit of utilizing diverse small businesses (in addition to being in compliance with laws and regulations that require it). On its own initiative, NASA has established a one percent goal as a percent of total contract value awarded yearly to Historically Black Colleges and Universities and other minority educational institutions. NASA is promoting the integration of this underutilized national resource.
To enhance the competitive advantage of small businesses in the national and world marketplace NASA has promoted the international quality management standard, ISO 9000. Since 1996, NASA has conducted seminars at major small business conferences on how to get certified. The NASA OSDBU staff became the first Federal headquarters office to become certified. The OSDBU wants to ensure that small businesses are aware of the fundamentals of an effective teaming agreement with large prime contractors. Seminars are taught by the Assistant Administrator for Small Business and are designed to enable small businesses to understand the legal structure of written teaming agreements, as well as the factors to consider when choosing a potential teaming partner. The NASA Minority Business Resource Advisory Committee (MBRAC) was organized to include executive members from disadvantaged companies who could advise the Administrator on how to increase small business involvement in NASA and remove regulatory obstacles to that end. Recommendations have been made and implemented in the areas of procurement source criteria, contract fee structure, contracting goals, and the review of subcontracting plans. The NASA Prime Contractor Roundtable was designed to facilitate an exchange between NASA and its prime contractors, mainly on how to increase the use of small businesses in their respective subcontracting programs. NASA’s Assistant Administrator for Small Business is a board member of the World Association of Small and Medium Enterprises, an affiliated organization to the United Nations. Through this association, NASA is able to advise American small businesses on the advantages of competing in the world marketplace.
National Aeronautics
and Space Administration Single Point of Contact:
Ms. Patrica L. Dunnington
Chief Inforamtion Officer
National Aeronautics and Space Administration (NASA)
300 E Street, SW
Washington, DC 20546
(202) 358-3261
(202) 358-3063
E-mail: pat.dunnington@nasa.gov
NATIONAL
ARCHIVES & RECORDS ADMINISTRATION
The National Archives and Records Administration (NARA) ensures, for citizens
and Federal officials, ready access to essential evidence that documents
the rights of American citizens, the actions of Federal officials, and
the national experience. It establishes policies and procedures for managing
U.S. Government records and assists Federal agencies in documenting their
activities, administering records management programs, scheduling records,
and retiring noncurrent records. NARA accessions, arranges, describes,
preserves, and provides access to the essential documentation of the three
branches of Government; manages the Presidential Libraries system; and
publishes the laws, regulations, and Presidential and other public documents.
It also assists the Information Security Oversight Office, which manages
Federal classification and declassification policies, and the National
Historical Publications and Records Commission, which makes grants nationwide
to help nonprofit organizations identify, preserve, and provide access
to materials that document American history.
See www.archives.gov for information on the National Archives and Records Administration's programs and activities. One resource for small businesses is NARA's Office of the Federal Register (see http://www.archives.gov/federal_register/index.html). That office provides ready access to the official text of Federal laws, Presidential documents, administrative regulations and notices, and descriptions of Federal organizations, programs and activities.
National Archives
and Records Administration Single Point of Contact:
Nancy Allard
Policy and Communications Staff
Office of the Archivist
NARA
301-837-1477 (voice)
301-837-0319 (fax)
E-mail: nancy.allard@nara.gov
NATIONAL
COMMISSION ON LIBRARIES & INFORMATION SCIENCE
National Commission on Libraries and Information Science Single
Point of Contact:
Madeleine C. McCain
Director of Operations
U.S. National Commission on Libraries and Information Science
Phone: (202) 606-9200
E-mail: mmccain@nclis.gov
Web site: www.nclis.gov
NATIONAL
CREDIT UNION ADMINISTRATION
NCUA provides a variety of resources for small credit unions. Our agency
website presents all of the agency’s regulations, as well as various
other documents that relate to regulatory compliance. In addition, NCUA
staff members from the Office of Small Credit Union Initiatives (OSCUI)
and the Office of General Counsel (OGC) are available to answer both formal
and informal compliance questions from members of the credit union community
and the general public.
NCUA's point of contact for federal credit unions is Neil McNamara, (703) 518-6570. Other points of contact are accessible through the NCUA website at www.ncua.gov and by telephone at (703) 518-6300.
National Credit
Union Administration Single Point of Contact:
Neil McNamara
National Credit Union Administration
1775 Duke St.
Alexandria, VA 22314-3428
Telephone: 703-518-6440
NATIONAL
ENDOWMENT FOR THE ARTS
National Endowment for the Arts Single Point of Contact:
William Hummel
1100 Pennsylvania Ave. Rm. 618
Washington DC 20506
Telephone: 202-682-5417
E-mail: hummelw@arts.gov
NATIONAL
ENDOWMENT FOR THE HUMANITIES
National Endowment for the Humanities Single Point of Contact:
Susan G. Daisey, Director
Office of Grant Management
National Endowment for the Humanities
1100 Pennsylvania Avenue, NW, Room 311
Washington, DC 20506
Telephone: 202-606-8494
Fax: 2020-606-8633
E-mail: sdaisey@neh.gov
NATIONAL
INDIAN GAMING COMMISSION
National Indian Gaming Commission Single Point of Contact:
The public will be directed to the suitable contact for their area of
interest by calling our headquarters front desk.
Penny Coleman, Acting General Counsel
NIGC
1441 L Street NW, Suite 9100
Washington, DC 20005
Telephone: 202-632-7003
Fax: 202-632-7066
Website: www.nigc.gov
NATIONAL
LABOR RELATIONS BOARD
National Labor Relations Board Single Point of Contact
Hugo Voogd, Deputy to the Assistant General Counsel
National Labor Relations Board
Division of Operations-Management
1099 14th Street, NW, Room 10204
Washington, DC 20570
202-273-0057
The following actions have been taken to provide compliance assistance to all NLRB “customers”:
- NLRB strives to improve services to members of the public with limited English proficiency. These improvements would assist small businesses owned or managed by non-English speakers. Recent improvements include adding a folder to its website that explains the NLRB’s function and services in Spanish.
- NLRB continually seeks to improve the public information officer program in its field offices to ensure that the public is assisted properly with questions about their rights under the National Labor Relations Act (NLRA). NLRB information officers have responded to over 150,000 inquires annually. Most direct individuals to other agencies or provide explanations about the individual’s rights under the NLRA. The services provided under our public information officer program assists small businesses by discouraging the filing of frivolous charges. Recently, the NLRB made available to the public a toll-free telephone number that will connect the caller directly to the NLRB’s office that is closest to caller’s residence or office. Information provided through the toll-free telephone number is also available in Spanish.
- NLRB website contains a statement of its Standards of Service, providing clear explanations about what parties to NLRB proceedings can expect after charges and petitions are filed. Our website provides for a procedure for the public to comment on how our services can be improved. (www.nlrb.gov) In addition, the website now makes available to members of the public, including small businesses, electronic copies of case handling manuals, the Board’s Rules and Procedures, and recently issued Board decisions and other memoranda.
- NLRB has implemented new procedures on its website that enhance the ability of parties to its proceedings to communicate with the Agency through e-mail and submit certain documents electronically.
- NLRB field offices are continually encouraged to expand their outreach programs by speaking to business groups and labor organizations about our procedures, and participating in labor-management conferences where changes in the current case law are explained and discussed. Many small businesses take advantage of these conferences so that they can learn how to stay in compliance with the National Labor Relations Act.
NATIONAL
MEDIATION BOARD
National Mediation Board Single Point of Contact:
Denise M. Vines, Supervisory
Finance & Administration Specialist
Washington, DC 20572
Telephone: 202-692-5010
E-mail: vines@nmb.gov
NATIONAL
SCIENCE FOUNDATION
National Science Foundation Single Point of Contact:
Donald Senich
Director, Office of Small and Disadvantaged Business Utilization Research
and Development
4201 Wilson Blvd
Rm. 527
Arlington, VA 22230
Telephone: 703-292-7082
Fax: 703-292-9055
E-mail: dsenich@nsf.gov
NATIONAL
TRANSPORTATION SAFETY BOARD
National
Transportation Safety Board Single Point of Contact:
Deborah
Bruce, PhD
National Transportation Safety Board
Safety Studies and Statistical Analysis Division
490 L'Enfant Plaza East, SW
Washington, DC 20594
Phone: 202-314-6511
E-mail: bruced@ntsb.gov
NUCLEAR
REGULATORY COMMISSION
Nuclear
Regulatory Commission Single Point of Contact:
Brenda Shelton, Chief
NRC Records Mgmt Branch, OCIO
U. S. Nuclear Regulatory Commission
Washington, D. C. 20555-0001
Telephone: 301- 415-7233
Fax: 301-415-6434
E-mail: BJS1@NRC.GOV
Website: http://www.nrc.gov/
Compliance Assistance Information
Mauricio Vera (MXV@NRC.GOV), 301-415-7160, is the point of contact for small business inquiries pertaining to contracting opportunities with NRC. Detailed information on the small business program can be found at http://www.nrc.gov/who-we-are/small-business.html.
Michael Lesar (MTL@NRC.GOV) is the point of contact to provide assistance to small entities that have questions regarding compliance with NRC regulations and/or the impact of NRC rulemakings on small entities. Information on NRC's policy and procedures in this area can be found at http://www.nrc.gov/what-we-do/regulatory/rulemaking/flexibility-act.html.
OFFICE
OF PERSONNEL MANAGEMENT
Office of Personnel Management Single Point of Contact:
Tina B. McGuire, Chief
Contracting Group, CCFAS
United States Office of Personnel Management
1900 E Street, NW, Room 1342
Washington, DC 20415
(202) 606-4591
E-mail: tina.mcguire@opm.gov
OVERSEAS
PRIVATE INVESTMENT CORPORATION
For general information on OPIC programs:
Small Business Hotline: 1-800-CALL-SBC (1-800-225-5722)
Local Area: 202-336-8700
Fax: 202-336-8701
E-mail: smallbiz@opic.gov
Overseas Private
Investment Corporation Single Point of Contact:
Mitchell
Strauss
Small and Medium Enterprise Department
Overseas Private Investment Corporation
1100 New York Ave NW
Washington, DC 20527
Phone: 202-408-6300
Fax: 202-408-9866
E-mail: mstra@opic.gov
PEACE
CORPS
The Peace Corps, as a small Federal Agency, relies on and contracts with
small businesses for a majority of our products and services. The Office
of Contracts maintains a list of submitted contractors to match against
our posted contracting requirements. The list is maintained for one year
after submission. An agency database is maintained for overseas contractors.
To enroll in this database, visit our website.
Many short-term training
contractors are needed for overseas services.
Contracting opportunities available are posted on our website. Visit our
website at www.peacecorps.gov
under the heading About the Peace Corps, click on Management, and then
click on Contracting Opportunities. On this web page, click on learn more
to see overseas training services needed and to find information about
being added to our database. Contracts for over $25,000 are posted on
FedBizOpps.
Any questions or for further information, contact Ms. Judy Dawes. Ms.Dawes will provide assistance and explanations in complying with Peace Corps regulatory procedures and requirements for contracting.
Peace Corps
Single Point of Contact:
Judy Dawes
Peace Corps
Office of Contracts
Deputy Director
1111 20th Street, NW, Room 4444
Washington, DC 20526
Telephone: 202-692-1624
Fax: 202-692-1621
Toll Free: 800-424-8580
E-mail: jdawes@peacecorps.gov
Website: www.peacecorps.gov
PENSION
BENEFIT GUARANTY CORPORATION
Customer Service Center
A toll free number (1 800 736 2444) dedicated to pension plan administrators
and plan professionals.
Office of
the RegFair Representative
Functions independently of enforcement and compliance activities, addresses
issues raised by businesses that sponsor defined benefit pension plans,
the vast majority of which are small businesses. The RegFair Representative
is also PBGC’s Problem Resolution Officer for plan practitioners,
and can be reached via a toll-free number (1 800 736 2444, ext. 4163)
or e-mail (practitioner.pro@pbgc.gov).
Ask an Attorney
An attorney in PBGC’s Office of the General Counsel is available
by telephone or e-mail for informal advice on legal issues pertaining
to compliance, enforcement, and other matters of concern. The General
Inquiry Attorney can be reached via a toll-free number (1 800 736 2444,
ext. 4020) or e-mail (AskOGC@pbgc.gov).
PBGC’s
Web site
(www.pbgc.gov) includes:
- The Small Business Guide to the PBGC. This easy-to-read synopsis of all of a small plan sponsor’s obligations under ERISA and our regulations makes it much easier for the small business owner to understand and comply with the program requirements. The booklet also contains phone numbers and other information on where to go for help.
- Frequently Asked Questions.
- PBGC forms and instructions.
- Fact sheets on PBGC programs.
- Opinion Letters. The General Counsel issues formal opinions on legal issues under Title IV of the Employee Retirement Income Security Act (ERISA).
- The Blue Book sets forth various questions of general interest to practitioners posed by representatives of the Enrolled Actuaries Program Committee, and provides answers from PBGC staff.
-
PBGC’s Annual Report
provides financial information and describes its customer service, enforcement
and compliance activities.
NOTE: All resources and publications available on PBGC’s website can also be obtained by calling our Customer Service Center (1 800 736 2444).
Outreach
PBGC’s outreach efforts include:
- Meetings and conferences. PBGC representatives participate in meetings and conferences with pension practitioners to address issues of mutual concern and to get their feedback.
- Focus groups. We conduct periodic focus groups to help determine ways in which we can better serve our customers; for example, with members of the American Society of Pension Actuaries (ASPA), a group which serves primarily small businesses.
- Surveys. Surveys are conducted regularly to continuously receive feedback from our pension practitioners, the majority of whom deal with the pension plans of small businesses.
Alternative
Dispute Resolution (ADR) Policy
Under PBGC’s ADR policy, PBGC examines the suitability of using
ADR to resolve issues that would otherwise be resolved by adversarial
administrative or judicial processes. In appropriate disputes, PBGC uses
ADR in a good faith effort to achieve consensual resolution of issues
in controversy, including compliance and enforcement matters.
Pension Benefit
Guaranty Corporation Single Point of Contact:
Customer Service Center: 1 800 736 2444
Diane Morstein
Practitioner Problem Resolution Officer
Toll Free: 1 800 736 2444 ext 4136
The public can fully resolve most issues by calling PBGC Customer Service Center staff, 1-800-736-2444, and contacting Ms. Morstein only if the issue is not resolved to one’s satisfaction.
RAILROAD
RETIREMENT BOARD
The Railroad Retirement Board’s primary function is to administer
comprehensive retirement-survivor and unemployment-sickness benefit programs
for the nation's railroad workers and their families under the Railroad
Retirement and Railroad Unemployment Insurance Acts. In connection with
the retirement program, the RRB has administrative responsibilities under
the Social Security Act for certain benefit payments and railroad workers'
Medicare coverage.
Railroad
Retirement Board Single Point of Contact:
Ronald J. Hodapp, Chief
Information Resources Management
Railroad Retirement Board
Telephone: 312-751-3366
E-mail: Ronald.Hodapp@rrb.gov
Website: www.rrb.gov
SECURITIES
AND EXCHANGE COMMISSION
Congress
created the Securities and Exchange Commission in 1934 to protect investors,
and to maintain fair, honest, and efficient national securities markets.
The Commission provides extensive compliance assistance to the public.
Small businesses subject to SEC regulation include
- issuers of securities,
- investment companies and investment advisers,
- broker-dealers, and
- transfer agents.
Other businesses affected by SEC regulation include auditors of companies whose stocks are publicly held and subject to registration with the SEC. The SEC’s Office of Small Business Policy, telephone number (202-942-2950), should generally be the first point of contact for any small business that seeks compliance assistance from the Securities and Exchange Commission. This office is the primary resource for small business issuers of securities. Small regulated entities may wish to contact the appropriate Division or other office directly (Market Regulation for broker-dealers and transfer agents; Investment Management for investment companies and investment advisers; the Office of Chief Accountant for accountants).
Members of the public seeking compliance assistance for Securities and Exchange Commission regulation may contact SEC staff by mail, e-mail, or telephone.
Sources of SEC Information:
- Organization and functions of the SEC: The Investor’s Advocate: http://www.sec.gov/about/whatwedo.shtml
- Brief review of governing federal regulations: The Laws That Govern the Securities Industry http://www.sec.gov/about/laws.shtml
- SEC regulation of small business capital formation and smaller public companies: Q & A: Small Business and the SEC http://www.sec.gov/info/smallbus/qasbsec.htm
- SEC regulation of securities brokers and dealers: Compliance Guide to the Regulation of Brokers and Dealers http://www.sec.gov/divisions/marketreg/bdguide.htm
- Regulations and Forms for Small Securities Issuers: Regulations and Forms Applicable to Small Businesses http://www.sec.gov/info/smallbus.shtml
- Regulations and Forms for Registered Investment Advisers: Investment Adviser Regulation http://www.sec.gov/divisions/investment/iard/iastuff.shtml
- SEC Forms and Instructions for Registered Investment Advisers: Investment Adviser Forms http://www.sec.gov/divisions/investment/iard/iastuff.shtml
- Procedures for obtaining accounting or auditing advice from the SEC's Chief Accountant's Office: Guidance on Consulting with the Office of the Chief Accountant http://www.sec.gov/info/accountants.shtml
- Descriptions of most commonly used SEC forms http://www.sec.gov/info/edgar/forms.htm
- SEC regulations for recordkeeping and capital requirements for securities brokers and dealers: Broker-Dealer Net Capital and Books and Records Guidance http://www.sec.gov/divisions/marketreg/bdnetcapital.htm
- Staff analyses of securities laws and regulations as applied to particular legal, regulatory, or accounting issues: Staff Interpretations http://www.sec.gov/interps.shtml
Seminars, classes
- Annual meeting to explore means to improve capital formation for small business: Annual Government-Business Forum on Small Business Capital Formation http://www.sec.gov/info/smallbus/sbforum.shtml
Web based compliance
- Small Cap and Private Companies http://www.sec.gov/info/smallbus/qasbsec.htm
- Investment Adviser Registration: IARD http://www.sec.gov/divisions/investment/iaregulation.shtml
- Registration and disclosure documents required to be, or voluntarily filed electronically: EDGAR -- electronic filing of SEC disclosure documents http://www.sec.gov/edgar.shtml
Telephone service
- Office of Small Business Policy: 202-942-2950
- Division of Enforcement : 202-942-4530
- Toll-Free Consumer Information: 1-800-SEC-0330
- Small and minority business procurement: (202) 942-4990
- Public company disclosure requirements: 202-942-2825
- Office of Interpretations and Guidance for Market Regulation: 202-942-0069
- Regulation of Investment Companies and Investment Advisers: 202-942-0659
Online/e-mail service
- Inquiries about federal requirements for securities registration and corporate disclosure: cfletter@sec.gov
- Inquiries about applicability of securities laws to small business: smallbusiness@sec.gov
- Inquiries about the conduct of federally-regulated securities markets: marketreg@sec.gov
- Inquiries about federal regulation of investment advisers: IARDLIVE@sec.gov
- Inquiries about federal regulation of investment companies: IMOCC@sec.gov
Contacts
- Homepage: http://www.sec.gov
- News: http://www.sec.gov/news.shtml
- Regulatory: http://www.sec.gov/about/laws.shtml http://www.sec.gov/rules.shtml
- Small Business: http://www.sec.gov/info/smallbus.shtml
- E-mail: smallbusiness@sec.gov
- Phone Number: (202) 942-2950
Securities
and Exchange Commission Single Point of Contact:
Gerald Laporte, Chief
Office of Small Business Policy
Division of Corporation Finance
Securities and Exchange Commission
450 5th Street NW, Room 3500
Washington, DC 20549-0310
Telephone: 202-942-2950
Fax: 202-942-9624
E-mail: laporteg@sec.gov
SELECTIVE
SERVICE SYSTEM
Selective Service System Single Point of Contact:
Calvin Montgomery
1515 Wilson Blvd.
Arlington, VA 22209
Telephone: 703-605-4038
E-mail: cmontgomery@sss.gov
SMALL
BUSINESS ADMINISTRATION
Small businesses wanting access to SBA programs should call SBA's Answer
Desk toll-free or e-mail answerdesk@sba.gov.
In many cases, the SBA information technician receiving a call will directly
answer the question. If a matter needs attention from a particular program
specialist in the caller's immediate area of the country, the SBA Answer
Desk can put the caller in touch with a specific individual in an SBA
District Office or program office.
SBA Answer
Desk
6302 Fairview Road, Suite 300
Charlotte, North Carolina 28210
Answer Desk TTY: (704) 344-6640
1-800-UASK-SBA (1-800-827-5722)
TTY Directory [Text] or [PDF]
Send e-mails to: answerdesk@sba.gov
Other good ways to access compliance information about SBA programs are going to the SBA website's frequently asked questions about SBA programs at http://app1.sba.gov/faqs/ or to SBA's main webpage http://www.sba.gov/
Small
Business Administration Single Point of Contact:
Ms. Jacqueline K. White, Chief
Administrative Information Branch
U.S. Small Business Administration
409 3rd Street, SW, MC5101
Washington, DC 20416-0005
Telephone:
202-205-7044
Fax: 202-481-2916
E-mail: jacqueline.white@sba.gov
SOCIAL
SECURITY ADMINISTRATION
The majority of the services listed below are offered as a part of the
Social Security Administration’s (SSA) service to the business community
in general, not specifically to small businesses. These services are directed
primarily to employers, businesses or organizations that serve as representative
payees to Social Security beneficiaries, businesses that seek contracts
with SSA and schools. There are four primary avenues of access to these
services with significant overlaps among them.
Toll-Free Telephone Service
- Employers may use the toll-free access number (800-772-1213) to verify that they have the correct Social Security number (SSN) for an employee. This verification prevents the often difficult job of correcting wage reports made under an incorrect SSN. Up to five SSNs may be verified with one call if the employer can furnish his or her address and employer identification number (EIN). If employers need to verify more than 5 SSNs, but less than 50, the teleservice representative will advise the employer to contact the nearest SSA field office (FO) and will provide the FO's telephone number and address. There is a procedure for verifying more than 50 SSNs, but we do not expect that to be an issue with small businesses.
- New employers wishing to apply for an EIN may also call 800-772-1213 and request that application form SS-4, Application for Employer Identification Number, be sent to them along with the Internal Revenue Service (IRS) publication, Instructions for Form SS-4.
- SSA maintains the SSA Employer Reporting Service Center at 800-772-6270 and online at http://www.socialsecurity.gov/employer/. It can also be reached online from the SSA employer portal page. The Center can provide detailed information on the best way for an employer to report wages. An employer calling the main SSA 800 number and wanting more in-depth information about reporting wages, etc., will be referred to this number or website.
- Organizational representative payees include governmental or non-profit social service agencies that manage benefits for beneficiaries who are not able to manage benefits on their own and who have no friends or relatives suitable or willing to be payees. Organizational representative payees who must deal with the many issues that arise with beneficiaries who cannot manage their own benefits, including changes in address or circumstances, non-receipt of checks, work issues and many other issues, can interact with SSA primarily by calling the main 800 number.
Online Services
-
The SSA website, http://www.socialsecurity.gov,
contains a link that directs businesses to the Business Services Online
(BSO) website, http://www.socialsecurity.gov/bso/bsowelcome.htm.
BSO is a suite of business services including Registration Services,
Employer Services (Submit a Wage File, W- 2 Online, View Status, View
Notices and View Errors) and the Social Security Number Verification
Service. The W-2 Online portion of the website is designed specifically
for small businesses. The site allows employers to complete up to 20
W-2 forms on their computer screens. The service automatically computes
the W-2 data for them, and the report is transmitted to SSA electronically.
Employers can also print copies for their employees and for their records.
Multiple sets of 20 W-2s can be submitted.
In 2003, almost 200,000 W-2s for 2002 were submitted to SSA via W-2 Online that would have otherwise been submitted on paper forms. The employer must be a registered BSO user to use these services, but registration is free. Businesses needing personalized assistance with wage reporting can follow a link, http://www.socialsecurity.gov/employer/wage_reporting_specialists.htm, to find a current list of Employer Services Liaison Officers in each region who are available to discuss specific wage reporting issues by phone. The Social Security personnel can help callers with all questions about how to submit W-2s to SSA. The telephone numbers are not toll-free. - SSA’s Office of Acquisition and Grants (OAG) maintains a website, www.socialsecurity.gov/oag, which contains acquisition information to assist small businesses interested in doing business with SSA. SSA's policies make doing business with the Agency easy for small businesses. All contracts are offered on an "open bid" basis, which means the bidding contractor does not have to be on any specific list of approved contractors. Some contracts are reserved for award to small businesses only.
- SSA maintains a website, www.socialsecurity.gov/payee, dedicated to Representative Payee requirements and responsibilities. This is significant, because many beneficiaries who need a payee have no family or friends willing to serve in this capacity. As a result, many small social service organizations serve as payees. This website makes it easy for small businesses to apply and be approved as an organizational payee. Training materials for payees are available at the website, including a written lesson, a PowerPoint presentation and a video. The written material and the PowerPoint program can be downloaded from the website, and the video can be ordered. Interested parties can request the material, including the video, on a compact disk.
- SSA must verify the full-time attendance of certain students by asking school officials to complete a form certifying that the student/beneficiary is in full-time attendance at the school. School officials can access a dedicated website, http://www.socialsecurity.gov/schoolofficials/, which explains the verification process, why the information is needed and what is expected of them. The site also has a “Frequently Asked Questions” page for school officials and also a page, http://www.socialsecurity.gov/schoolofficials/faqs_students.htm, for students. School officials and students are able to download the form if they lose the form they received from SSA.
Publications
- SSA publishes a quarterly newsletter in conjunction with the IRS called the “SSA-IRS Reporter.” This newsletter is mailed by IRS along with Form 941, Employer's Quarterly Federal Tax Return. It contains up-to-date wage and tax reporting information. While it is mailed to all employers, surveys show that it is predominately read by small business owners.
- The Employer's Guide to Filing Timely and Accurate W-2 Wage Reports is available both in hard copy and on the SSA website at http://www.socialsecurity.gov/employer/pub.htm. This pamphlet (SSA Pub. No. 16-004) explains an employer’s responsibilities, how to file, where to file, how to avoid common reporting errors, how to correct them, finding help, etc.
- The publication, “A Guide for Farmers, Growers and Crew Leaders” (SSA Publication No. 05-10025), provides information on Social Security’s benefits package and how to report income to SSA. This guide is available on SSA’s website at http://www.socialsecurity.gov/employer/pub.htm.
Outreach
- SSA participates in a number of IRS-related events. Staff attend six tax seminars a year presented by IRS. SSA staffs a booth at these public seminars and also provides a 1-1/2 hour workshop on employer reporting. A number of small businesses attend these workshops. SSA staff make presentations at eight payroll reporting conferences each year in different parts of the country. These conferences are attended primarily by larger businesses, but they are open to any business.
- SSA holds The National Payroll Reporting Forum on an annual basis at its Baltimore headquarters. This forum was established in 1990 so that Federal agencies and the business community could gather, identify, discuss and resolve common wage and tax reporting issues. This forum has had a significant effect on the accuracy of the wage data submitted to SSA. The forum also provides the business community an opportunity to have a voice in initiatives that will ultimately affect the way it does business. The forum is attended by many small companies from the surrounding states as well as by national payroll organizations and service bureaus. The Agency is holding the 2004 conference on May 20, 2004 at SSA headquarters in Baltimore.
- SSA's Office of Small and Disadvantaged Business Utilization assists small businesses by scheduling one-on-one meetings and participating in various procurement trade shows and conferences.
Social
Security Administration Single Point of Contact:
Elizabeth A. Davidson
SSA Reports Clearance Officer
1338 Annex Building
6401 Security Boulevard
Woodlawn, MD 21235
Telephone: 410-965-0454
Fax: 410-965-6400
E-Mail: Liz.Davidson@ssa.gov
SURFACE
TRANSPORTATION BOARD
The Surface Transportation Board (STB) is an independent adjudicatory
body administratively housed within the Department of Transportation.
STB is responsible for the economic regulation of interstate surface transportation,
primarily railroads, within the United States. STB's mission is to ensure
that competitive, efficient and safe transportation services are provided
to meet the needs of shippers, receivers and consumers. In furtherance
of its mission, STB provides a number of services that small businesses
might find useful:
- General Information: 202-565-1500
- Procurement: 202-565-1701
- Public Services: 202-565-1592 (how to participate in agency proceedings)
- Library/publications: 202-565-1668
- Rail Consumer Assistance (toll free): 866-254-1792
- Home page: www.stb.dot.gov
- Publications: Overview- Abandonments and Alternatives to Abandonments; So You Want to Start a Small Railroad
Surface
Transportation Board Single Point of Contact:
Anne K. Quinlan
1925 K Street, NW, Ste. 894
Washington, DC 20423-0001
Telephone: 202-565-1727
E-mail: quinlana@stb.dot.gov
TENNESSEE
VALLEY AUTHORITY
Business Incubation Program
Over the years, TVA has provided capital to help communities establish
business incubators to support new and expanding enterprises. The TVA
Business Incubation Network includes 24 operational sites across the Valley
where tenants share services, equipment, and building space. TVA provides
technical and financial assistance to members of the TVA-supported network
and also maintains the Business Incubator Tenant Loan Fund, a revolving
fund that helps tenants meet short-term needs for cash flow and operating
capital.
Online
Business Resource Center
TVA’s Web-based center serves as an information gateway to valuable
public and private resources on entrepreneurship, financial and technical
assistance, industrial organizations, and business services. Topics range
from setting up a business plan to finding capital, paying taxes, and
marketing. The site provides access to the programs and services offered
by TVA, other Tennessee Valley organizations, and nationwide resources.
Visit the Online Business Resource Center at www.tva.com/econdev/obr.
Minority
Business Development Program
TVA supports the growth and expansion of minority and socially and economically
disadvantaged businesses with diverse packages of technical, capital,
and managerial assistance. A key feature of the program is the Minority
Business Development Loan Fund (MBDLF), a revolving fund that provides
for loans ranging from $50,000 to $500,000. Through the MBDLF and the
Valley Coalition, a partnership between TVA and regional banks, TVA promotes
job creation and stimulates capital investment in the Valley.
Small
and Minority Business Mentoring
Small and minority businesses that provide services to TVA receive support
through TVA’s mentoring program, which helps these firms grow and
enhance their business operations. Assistance includes matching suppliers
with business opportunities, identifying key business contacts, encouraging
joint ventures and alliances, and linking TVA procurement needs with manufacturers
and businesses in the Tennessee Valley.
Partners
TVA’s economic development programs are delivered in partnership
with public and private organizations. Some of our partners are:
- Distributors of TVA power
- Chambers of commerce and local economic development authorities
- TVA-supported business incubators
- State departments of economic and community development
- The U. S. Small Business Administration
- The U. S. Department of Commerce’s Minority Business Development Agency
- Small business development centers
- U.S. Department of Agriculture Rural Development
- The Valley
Coalition, a public/private lending and business assistance partnership
between TVA and participating Valley financial institutions.
Small Business Assistance Website: http://www.tva.com/econdev/smallbiz.htm
Tennessee
Valley Authority Single Point of Contact:
Philip S. McMullan, Project Manager
Business Growth and Innovation
Telephone: 615-232-6227
Fax: 615-232-6189
E-mail: psmcmullan@tva.gov
Website: www.tva.com/econdev/obr
MORRIS
K. UDALL FOUNDATION
Morris K. Udall Foundation Single Point of Contact:
Ellen Wheeler
Deputy Executive Director and General Counsel
Morris K. Udall Foundation
130 S. Scott Avenue
Tucson, AZ 85701
Telephone: 520-670-5529
Fax: 520-670-5530
E-mail: wheeler@udall.gov
U.S.
ACCESS BOARD
The U.S. Access
Board (Board) develops and maintains accessibility guidelines and standards
for the built environment, transportation vehicles, electronic and information
technology and telecommunications. These design requirements are used
to enforce several different laws, including the Americans with Disabilities
Act. A key part of the Board's mission is providing technical assistance
on the design requirements it develops and maintains. Information about
any of the Board's guidelines or standards or accessible design can be
obtained through the Board's toll free numbers at 800-872-2253 (v) and
800-993-2822 (TTY); through fax at 202-272-0081; mail addressed to U.S.
Access Board 1331 F St. NW Ste. 1000, Washington, D.C., 20004; e-mail
to ta@access-board.gov or from
the Board's website http://www.access-board.gov.
In addition, the Board participates in a wide range of training programs and conferences throughout the country every year. Information on upcoming events is available from the Board and is posted on its website at http://www.access-board.gov/research&training/Training.htm. The Board also publishes a host of guidance materials on its design requirements and other aspects of accessible design. Board publications are available in a variety of accessible formats. Copies of all Board publications are available free from the Board, including through its website at http://www.access-board.gov/indexes/pubsindex.htm.
U.S.
Access Board Single Point of Contact:
Elizabeth Stewart
Deputy General Counsel
U.S. Access Board
1331 F Street NW Suite 1000
Washington, DC 20004
(202) 272-0042
(Voice)
(202) 272-0082 (TTY)
(202) 272-0081 (Fax)
stewart@access-board.gov
U.S.
INTERNATIONAL TRADE COMMISSION
U.S. International Trade Commission Single Point of Contact:
John Greer
Trade Remedy Assistance Program Manager
500 E St. SW
Washington DC 20436
Telephone: 202-205-3141
Fax: 202-205-2139
E-mail: john.greer@usitc.gov
The Trade Remedy Assistance Office assists the public and small businesses seeking benefits or relief under U.S. trade laws. The office offers general information concerning remedies and benefits available under the trade laws of the United States and provides technical and legal assistance and advice to eligible small businesses seeking those remedies and benefits.
U.S.
TRADE REPRESENTATIVE
U.S. Trade Representative Single Point of Contact:
Gregory M. Walters
Director of Small Business Affairs
Office of the U.S. Trade Representative
600 17th Street, NW
Washington, DC 20508
(202) 395-6120
Fax (202) 395-3692
Gwalters@ustr.gov
