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Non-Cabinet Agencies

Agency for International Development
Appraisal Subcommittee of Federal Financial Institutions Examination Council
Committee for Purchase for the Blind/Severely Disabled
Commodity Futures Trading Commission
Consumer Product Safety Commission
Corporation for National and Community Service
Environmental Protection Agency
Export-Import Bank
Equal Employment Opportunity Commission
Federal Communications Commission
Federal Deposit Insurance Corporation
Federal Energy Regulatory Commission
Federal Housing Finance Board
Federal Maritime Commission
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Merit Systems Protection Board
National Aeronautics and Space Administration
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National Credit Union Administration
National Endowment for the Arts
National Endowment For The Humanities
National Indian Gaming Commission
National Labor Relations Board
National Mediation Board
National Science Foundation
National Transportation Safety Board
Nuclear Regulatory Commission
Office Of Personnel Management
Oversees Private Investment Corporation
Peace Corps
Pension Benefit Guaranty Corporation
Railroad Retirement Board
Securities and Exchange Commission
Selective Service System
Small Business Administration
Social Security Administration
Surface Transportation Board
Tennessee Valley Authority
Morris K. Udall Foundation
U.S. Access Board
U.S. International Trade Commission
U.S. Trade Representative

U.S. Agency for International Development (USAID) Single Point of Contact:
Marilyn S. Marton
Office of Small & Disadvantaged
Business Utilization (OSDBU)
U.S. Agency for International Development
1300 Pennsylvania Avenue, NW
Washington, DC 20523-7800
Telephone: 202-712-1500
Fax: 202-216-3056


Appraisal Subcommittee Single Point of Contact:
Ben Henson
Appraisal Subcommittee of FFIEC
2000 K St NW Suite 310
Washington, DC 20006
Telephone: 202-872-7520
Fax: 202-872-7501


Committee for Purchase for the Blind and Severely Disabled Single Point of Contact:
Patrick Rowe
Deputy Executive Director
Committee for Purchase From People Who Are Blind or Severely Disabled
1421 Jefferson Davis Highway
Jefferson Plaza 2, Suite10800
Arlington, VA 22202-3259
Phone: (703) 603-7740
Fax: (703) 603-0655

The Commodity Exchange Act (CEA) establishes a regulatory scheme for the commodity futures and options industry that generally depends on industry self-regulation with federal oversight by the Commodity Futures Trading Commission (CFTC). The National Futures Association (NFA) and other self-regulatory organizations (SROs) conduct routine compliance reviews in the futures industry. The NFA is responsible for most of the compliance reviews of retail sales practices in the industry and in this regard, it has a program for the voluntary review of promotional materials. NFA’s Internet website includes a “Contact NFA” section providing telephone numbers for its general Information Center and specific compliance contact personnel (, as well as various published compliance information (

The CFTC provides compliance guidance to small businesses through several methods. The CFTC’s Internet website includes a “Law & Regulation” section ( providing general information concerning the requirements of the CEA, CFTC Orders, and staff exemptive, no-action and interpretive letters. This section links to a “Compliance” page ( that contains guidance to assist firms and individuals who conduct commodity futures and options business with customers in complying with the CEA provisions and CFTC Regulations applicable to their activities. Informal guidance also is available through the “Publications” section of the CFTC website (, which contains “CFTC Backgrounders” and other brochures providing information of use to small businesses.

Staff members in the CFTC’s various divisions offer informal assistance and guidance in response to telephone inquiries and e-mail messages submitted through the CFTC website (homepage: These include:

  • The Division of Clearing and Intermediary Oversight [(202) 418-5430] - inquiries concerning rules governing protection of customer funds, trading and sales practice issues, registration and disclosure issues, and financial requirements.
  • The Division of Market Oversight [(202) 418-5260] - Inquiries concerning market and product design, market surveillance, position reporting, and trade practice issues.
  • The Office of General Counsel [(202) 418-5120] - assigns an “Attorney of the Day” to answer telephone inquiries about the CEA and CFTC Regulations.
  • The Division of Enforcement -provides notice to small businesses about their right to comment on CFTC actions pursuant to the Small Business Regulatory and Enforcement Fairness Act (SBREFA) whenever it makes a request to provide information voluntarily or pursuant to subpoena or the inspection provisions of the CEA. The CFTC and its staff are committed to ensuring that small businesses are provided a non-retaliatory environment in which to exercise their right to comment.

The CFTC has a small business liaison located in the Office of External Affairs. When the agency receives inquiries related to small business, such as communications from the office of the National Ombudsman, they are forwarded to the liaison. The liaison also works with the Ombudsman to provide information and resolve any issues or complaints received by the Ombudsman’s office.

Commodity Futures Trading Commission Single Point of Contact:
Gabrielle A. Sudik, Attorney
Office of General Counsel
Three Lafayette Centre
1155 21st Street, N.W.
Washington, DC 20581
Telephone: 202-418-5171


Consumer Product Safety Commission Single Point of Contact:
Thomas W. Murr, Jr.
Deputy Executive Director
U.S. Consumer Product Safety Commission
4330 East West Highway
Bethesda, MD 20814
Telephone: 301-504-7907

Corporation for National and Community Service Single Point of Contact:
Mr. Kevin Cramer
Policy Analyst
Department of Research and Policy Development
Corporation for National and Community Service
1201 New York Avenue, NW
Washington, DC 20525
Telephone: (202) 606-5000 x232
E mail:


EPA’s Small Business Ombudsman (SBO) serves as the EPA’s Point of Contact (POC) under the Small Business Paperwork Relief Act of 2002. The SBO also provides a “gateway” and dedicated support for small businesses to reach environmental compliance assistance resources offered by EPA, the states, and other sources. The SBO/POC acts as the focal point and provides multi-level support and coordination for an extensive national network of small business assistance programs, and works with small businesses, service providers, and state and regional officials to address small business needs.

EPA has over 100 initiatives, activities, and services directed at small business needs. EPA efforts include a toll-free hotline; newsletters; Web sites; e-mail listserv; information alerts on emerging regulatory issues; industry sector-specific guides directed at providing information on specific industry processes, Federal regulatory requirements, compliance history and pollution prevention information; expert systems; voluntary programs; and training programs.

In addition to these EPA-wide initiatives, the SBO performs the following functions:

  • Advocates consideration of small business regulatory issues and regulatory relief inside EPA
  • Resolves disputes between small businesses and EPA dealing with policies and regulations
  • Establishes cross-agency small business forums to discuss small business focus topics and sub-forums to address specific small business-related issues/needs identified by the forums
  • Organizes meetings with the Deputy Administrator and Small Business Trade Associations
  • Reviews EPA rules, guidance, and policies for potential small business impact and provides early warning of rules with potential impacts
  • Participates on cross-agency regulatory development workgroups assigned to develop specific rules, identified as having a potential impact on small businesses, and represents their interests
  • Strengthens strategies that provide networks, resources, tools, and forums for education and advocacy for and on behalf of small businesses
  • Develops environmental performance enhancing tools and plans designed for adaptation by assistance providers for local implementation
  • Oversees and prepares periodic Reports to Congress on the status of CAAA State Section 507 Programs Small Business Assistance Programs (SBAPs)
  • Sponsors Annual Small Business Ombudsman/Small Business Assistance Program National Conference
  • Develops plain-English compliance guidance, factsheets and checklists for small businesses
  • Prepares semi-annual Newsletter that reaches over 20,000 internal and external customers – including small businesses, trade association representatives, and state compliance assistance providers
  • Distributes small business publications, regulations, guidance, and tools
  • Maintains extensive websites with numerous links to other assistance sources (see below)

The Small Business Gateway is a web site that links to EPA’s assistance programs for small business. EPA’s SBO/POC also funds an external website designed to provide information and assistance resources to small businesses and their stakeholders (

Information on EPA’s initiatives and activities is available on the EPA Small Business Ombudsman Web site This site links to the Small Business Environmental Homepage, which provides extensive small business assistance information. EPA’s National Asbestos & Small Business hotline for inquires on environmental regulations may be reached via a toll free number (1-800/368-5888).

EPA also partners with industry representatives and others on sector-specific Compliance Assistance Centers. The centers provide tools such as checklists, plain language guides, and technical information to help small businesses understand their environmental regulatory requirements. In 2005, EPA and its partners are launching a new Compliance Assistance Center to provide essential environmental information to the health care sector.

Compliance Assistance Centers:

EPA also manages a National Environmental Compliance Assistance Clearinghouse ( as a guide to compliance information on the Internet. This site gives comprehensive links to EPA environmental compliance assistance materials, as well as materials from all fifty states and other organizations. The Clearinghouse contains many features that allow small businesses to interact directly with EPA and improve communication and collaboration among compliance assistance providers. The Clearinghouse also contains information on current EPA compliance and enforcement priorities that may impact small businesses. Through the Environmental Compliance Assistance Platform, EPA also funds state-by-state environmental compliance information of interest to small businesses (

EPA’s Small Business Compliance Policy promotes environmental compliance among small businesses by providing incentives to discover, disclose, and make good faith efforts to correct violations. Software is also available to assist in certain reporting requirements. The Toxics Release Inventory – Made Easy” (TRI-ME) software guides users through the entire Toxics Release Inventory reporting process from start to finish.

EPA is also distributing a newsletter for compliance assistance providers. Entitled Compass, each addition of the newsletter focuses on a theme or topic of interest to the compliance assistance provider community. The newsletter also has a calendar of upcoming events and a “hot news” section to highlight important information such as new policies, guidance, tools, events or reports related to EPA's compliance assistance program. The primary audience for this newsletter is compliance assistance providers but other environmental assistance providers as well as the regulated community–including small businesses–will find it useful. EPA plans to publish the newsletter three times a year.

Environmental Protection Agency Single Point of Contact:
Karen V. Brown, Director
Small Business Division
EPA Small Business Ombudsman (SBPRA Point of Contact)
1200 Pennsylvania Avenue NW, MC 1807T
Washington, DC 20460
Telephone: 202-566-2816
Fax: 202-566-0954

The Export-Import Bank of the United States (Ex-Im Bank) is the official export credit agency of the United States. Ex-Im Bank's mission is to assist in financing the export of U.S. goods and services to international markets. Ex-Im Bank enables U.S. companies - large and small - to turn export opportunities into real sales that help to maintain and create U.S. jobs and contribute to a stronger national economy.

Ex-Im Bank does not compete with private sector lenders but provides export financing products that fill gaps in trade financing. We assume credit and country risks that the private sector is unable or unwilling to accept. We also help to level the playing field for U.S. exporters by matching the financing that other governments provide to their exporters.

Ex-Im Bank provides working capital guarantees (pre-export financing); export credit insurance (post-export financing); and loan guarantees and direct loans (buyer financing). No transaction is too large or too small. On average, 85% of our transactions directly benefit U.S. small businesses.

With nearly 70 years of experience, Ex-Im Bank has supported more than $400 billion of U.S. exports, primarily to developing markets worldwide.

Export-Import Bank Single Point of Contact:
Sam Zytcer
Director of the Small Business Office
Export-Import Bank
811 Vermont Avenue, NW
Washington, DC 20571
Telephone: 202-565-3782

Small Business Initiative
EEOC has developed a Small Business Initiative (SBI) to improve customer service and expand outreach, education, and technical assistance to the small business community. The SBI aims to promote voluntary compliance by building a more cooperative and collaborative relationship with the small and mid-sized business community and to address EEO concerns expressed by small business owners. The main components of the SBI include:

Small Business Liaisons:
Every EEOC District office has a Small Business Liaison available to employers who have questions about the laws enforced by EEOC or about compliance with those laws in specific workplace situations. Information on contacting Small Business Liaisons can be found at

Small Business Web Page: - While the information on this page applies to all employers, it has been specifically designed for small businesses which may not have a human resources department or a specialized EEO staff. The page is designed to make it easier for small businesses to comply with the anti-discrimination laws and help them in their dealings with the EEOC.

No-Cost Outreach and Education Programs
EEOC's outreach and education programs provide general information about the employment discrimination laws enforced by EEOC and the EEOC charge/complaint process. EEOC representatives are available on a limited basis at no cost to make presentations and participate in meetings, conferences and seminars with employer groups and professional associations. For example, EEOC provides speakers for conferences and seminars and for regularly scheduled meetings of organizations, professional associations, etc; distributes information materials on EEO laws and represent the Commission at events, such as job fairs, conventions and conferences; and participates in media presentations - including radio and TV interviews, as well as cyber-chats targeting the small business community.

A list of outreach coordinators and contact information can be found at

Fee-Based Training and Technical Assistance
The EEOC Training Institute provides EEO educational services offering diverse, high quality, reasonably-priced EEO training and training products. The EEOC Training Institute has created an enhanced website ( which provides user friendly information on all fee-based products and services. The Institute currently offers training in four major categories to include: the Technical Assistance Program Seminars (TAPS), the EXCEL conference, on-site Customer Specific Training, and National Federal Sector EEO courses. In addition, the Institute offers an array of Training Products such as books, CD’s and curricula manuals.

Technical Assistance Program Seminars (TAPS):
Senior EEOC staff and expert guest presenters provide one and two day seminars, highlighting the latest EEO topics emphasizing the prevention of employment discrimination. Though the seminar agendas vary from location to location, human resource staff, business owners, managers, supervisors, state and local government officials, federal agency EEO staff, employment agency staff, union officials and attorneys obtain useful information and guidance at all of these seminars. Typical topics include harassment, disability and reasonable accommodations, updates on EEO laws and tips on preventing employment discrimination. In addition, each participant receives a comprehensive 7 volume EEO library on a CD-ROM. Re-certification credits from the Human Resource Certification Institute and Continuing Legal Education credits are also available.

EXCEL: The Examining Conflicts in Employment Laws (EXCEL) conference is a yearly multi-day conference offering federal EEO managers, professionals, attorneys, and staff guidance and information on timely EEO topics, recent developments in employment laws and changes in agency procedures.

On-site Customer Specific Training: The Training Institute offers on-site training on a variety of EEO topics. All of our standardized courses, including those designed for new federal counselors and investigators, can be delivered on-site. Customized courses are also available, tailored to the needs of the employer or agency. The topics of workplace harassment, responding to reasonable accommodation requests and general EEO guidelines and regulations are most frequently requested.

Federal Courses: The Training Institute delivers standardized national courses for EEO investigators, EEO counselors, managers and supervisors, agency representatives and attorneys. These courses are also available for delivery to the employer or agency work site.

Training Products: The Training Institute offers technical and legal guidance to employees, employers and EEO professionals through its many training products. “The Workplace Harassment Issues Toolkit” is a user-friendly training package containing all the elements needed to provide a comprehensive course addressing the issue of harassment in the workplace. The Toolkit includes a Instructor Manual, Participant Manuals, Essential Guides and a slide show. “The Workplace Harassment Issues Essential Guide”, a stand alone desk reference, can be purchased separately.

The Training Institute’s second desk reference, “The ABC’s of EEO” provides small business employers and front line supervisors with a quick and practical guide for complying with EEO laws and developing good business practices. The participant manuals for the EEO Investigator and EEO Counselor courses and the 7 volume Technical Assistance Program Seminars manual on CD are also available through the EEOC Training Institute.

EEOC fact sheets, information materials and brochures and other publications are available at no cost. They can be ordered by calling 1-800-669-3362 (voice) or 1-800-800-3302 (TTY) or through the Internet at

Web Page
EEOC’s web page – - provides easy-to-use information on federal laws prohibiting job discrimination, including a question and answer format. The site also provides copies of news/press releases, laws enforced by EEOC, regulations, and policy guidance issued by EEOC, as well as information on outreach, training and technical assistance and publications.

The site provides links to other federal labor law enforcement agencies and other federal agencies which may have information/resources useful to employers.

EEOC has also worked with many federal agencies, such as the Small Business Administration, Office of the National Ombudsman, to ensure EEOC’s web page is available as a link.

New Freedom Initiative
The EEOC has undertaken several activities that benefit small businesses as part of the agency’s effort to support the President’s New Freedom Initiative – a comprehensive strategy for the full integration of people with disabilities into all aspects of American life, including employment.

Since April 2002, EEOC has presented 73 workshops for small businesses throughout the country. Organized in conjunction with small business organizations, these workshops have occurred primarily in areas of the country that are outside of large metropolitan areas. The workshops are free, interactive, and are designed to meet the specific needs of the communities where they are presented.

In August 2002, EEOC published The Americans with Disabilities Act: A Primer for Small Business. This publication provides practical information about the obligations of small businesses under Title I of the Americans with Disabilities Act (ADA), as well as resources that small businesses can use to find out how to make reasonable accommodations for qualified applicants and employees with disabilities. Information about tax incentives that encourage the hiring and retention of individuals with disabilities is also provided. A copy of the Primer is available at

Since publication of the Primer for Small Business, EEOC has released a number of other publications of value to small businesses. In October 2004, the EEOC released How to Comply with the Americans with Disabilities Act: A Guide for Restaurants and Other Food Service Employers, which, among other things, explains the relationship between the requirements of the ADA and the Food and Drug Administration’s “Food Code.” The document is expected to benefit the significant number of small businesses that operate food service establishments. It can be found on the EEOC’s web site at

EEOC has released three documents about specific kinds of disabilities in the workplace. To date, publications have been issued on diabetes, epilepsy, and intellectual disabilities. The user-friendly format of these publications and the many examples they provide will prove particularly useful to small businesses trying to solve practical workplace issues. The publications are available at and

Guidance Letters
EEOC’s Office of Legal Counsel issues approximately 90 significant guidance letters a year explaining the employment discrimination statutes to employers and other stakeholders.

Equal Employment Opportunity Commission Single Point of Contact:
Laura Hinton
National Outreach Coordinator
Office of Field Programs, EEOC
1801 L Street, N.W.
Washington, DC 20507
Telephone: 202-663-4811


The Federal Communications Commission (FCC) is an independent U.S. government agency, directly responsible to Congress. The FCC was established by the Communications Act of 1934 and is charged with regulating interstate and international communications by radio, television, wire, satellite and cable. The FCC's jurisdiction covers the 50 states, the District of Columbia, and U.S. possessions.

The FCC is directed by five Commissioners appointed by the President and confirmed by the Senate for 5-year terms, except when filling an unexpired term. The President designates one of the Commissioners to serve as Chairperson. Only three Commissioners may be members of the same political party. None of them can have a financial interest in any Commission-related business.

The Commission staff is organized by function. There are six operating Bureaus and ten Staff Offices. The Bureaus’ responsibilities include: processing applications for licenses and other filings; analyzing complaints; conducting investigations; developing and implementing regulatory programs; and taking part in hearings. The Offices provide support services. Even though the Bureaus and Offices have their individual functions, they regularly join forces and share expertise in addressing Commission issues. The six operating Bureaus are: Consumer and Governmental Affairs, Enforcement, International, Media, Wireless Telecommunications, and Wireline Competition.

Concerning FCC small entity enforcement and compliance issues, the primary sources for information are the Enforcement Bureau, which enforces the Communications Act as well as the Commission’s rules, orders and authorizations, and the Office of Communications Business Opportunities (OCBO), which provides advice to the Commission on issues and policies concerning telecommunications opportunities for small, minority, and women-owned communications businesses. In addition, the FCC Consumer Center, within the Consumer and Governmental Affairs Bureau, provides a wealth of consumer information and other service.

E-Mail, Small Entity Contact Point:

Telephone Service:

  • Office of Communications Business Opportunities (OCBO): 202-418-0990
  • Enforcement Bureau: 202-418-7450
  • FCC Consumer Center, Toll-Free Telephone Service: 1-888-CALL-FCC (1-888-225-5322)
  • TTY, FCC Consumer Center, Toll-Free Telephone Service: 1-888-TELL-FCC (1-888-835-5322)

Online Service:

Federal Communications Commission Single Point of Contact:
Carolyn Fleming Williams,
Director, Office of Communications Business Opportunities
U.S. Federal Communications Commission
445 12th Street, S.W.
Telephone: 202-418-0990
Fax: 202-418-0235


The FDIC provides compliance guidance to small banks on the range of supervisory and regulatory issues to strengthen banks’ own compliance expertise and to enable banks to structure their own operations in compliance with the law. Within the banking industry, a longstanding custom has developed in which individual institutions contact FDIC examiners for guidance on questions and concerns, both to prevent non-compliance and to promptly and appropriately correct any problems that might exist.

Compliance assistance products and services provided by the FDIC include a variety of venues and provides a broad range of information (in both web-based and print versions) that addresses the mission, activities, and administrative actions of the FDIC, and provides access to manuals, guidelines, and regulations, as well as to policy research, data, and analysis of emerging issues in banking and the economy.

  • The FDIC maintains a toll-free hotline and an Internet site for bankers and consumers to contact the FDIC if they have a problem or concern.
  • The FDIC provides a compliance assistance web site at The FDIC web site includes information on examinations, deposit insurance, laws and regulatory reporting, reports and statistics, forms and publications, and consumer and community affairs. Several of the FDIC sites are of particular interest to small banks. FDICconnect is the secure internet channel for FDIC-insured institutions to conduct business and exchange information with FDIC. The Director’s Corner includes items of interest to bank directors such as Interagency Policy Statements, Supervisory Guidance, and Financial Institution Letters. The Office of the Ombudsman site provides assistance to FDIC-supervised and insured banks, serving as a bridge to the Corporation.
  • The FDIC has a compliance assistance employee available for each of its regulated institutions. At the Regional and Territory Office levels there are case managers, field examiners, and other senior staff assigned to a specific bank as the single point of contact for that institution. The supervised institution and the FDIC point of contact exchange numerous telephone calls and other direct communication both to give guidance and to respond to informational requests. In addition, there are Subject Matter Experts available at the Regional and Washington Offices to answer questions in more technical areas such as Information Systems, Capital Markets, Accounting, Trust and other subject areas.
  • The agency provides compliance assistance education. Perhaps the most extensive educational activities occur during the examination process. Examiners review a bank’s procedures, practices, policies, and records to determine compliance with laws, regulations, and supervisory policies. The vast majority of banks are well run and compliance information customized to the individual bank’s activities is provided to bank management and employees to assist in future activities. In the case of problem institutions, a more formal program to correct deficiencies identified at the examination is put in place. Between examinations, the FDIC has a Banker Outreach Program where senior FDIC staff contact and meet with bank management to discuss new technologies, product innovations, and recent statutory changes.

The FDIC maintains a structured compliance educational program in its Directors’ Colleges and in FDIC sponsored symposiums, roundtables, and conferences. In 2003 and 2004, the FDIC held outreach roundtable discussions on Consumer Debt, the Corporate Credit Cycle, and the Commercial Real Estate Cycle and a symposium on Tapping the Unbanked Market and Protecting the Financial Sector. Compliance assistance is also provided when bankers meet with senior FDIC officials at state banker association meetings and industry gatherings.

The FDIC provides a number of compliance assistance publications and other regulatory information:

Supervisory Information

  • Financial Institution Letters – supervisory guidance on regulations and policies
  • FDIC Law, Regulations, Related Acts
  • FDIC Enforcement Decisions and Orders
  • Merger Decisions

Examination Manuals

  • Manual of Examination Polices
  • Compliance Examination Manual
  • FFIEC Information Technology Examination Handbook
  • Information Technology Examination Procedures
  • E-Banking Examination Procedures
  • Trust Examination Manual
  • Guide to the Interagency Country Exposure Review Committee Process
  • Guidelines for Payday Lending

Monthly, Quarterly, and Annual Publications

  • FDIC Annual Report – summary of operations and initiatives for the year
  • Letter to Stakeholders – Chairman’s report on FDIC’s priorities
  • FYI – An electronic newsletter that highlights analyses in the areas of risk
  • FDIC Banking Review – Academic research on banking and supervision
  • Working Paper Series – Academic research on banking and finance
  • FDIC Outlook – Economic and Banking Risk Analysis from national and regional perspectives
  • FDIC State Profiles – Macroeconomic and banking conditions in each state
  • Quarterly Banking Profile – Bank performance, trends and data tables
  • FDIC Consumer News – Banking and financial information for consumers
  • Failed Bank Cost Analysis
  • FDIC/OTS Summary of Deposit
  • Trust Assets of Financial Institutions

On-Line Data Queries

  • Institution Directory
  • Statistics on Depository Institutions
  • Call & Thrift Financial Reports
  • Electronic Deposit Insurance Estimator
  • CRA Statute and Tools
  • RESPA Escrow Program

Guides for Bankers and Consumers

  • Pocket Guide for Directors
  • Financial Institution Employees Guide to Deposit Insurance
  • International Directory of Deposit Insurers
  • Mortgage Loan Pre-qualifications: Applications or Not?
  • Side by Side: A Guide to Fair Lending
  • Uninsured Investment Products: A Pocket Guide
  • FDIC Guide to Real Estate Sales
  • Privacy Choices
  • Symbol of Confidence
  • Your Insured Deposit; Your Investments
  • Consumer Facts and Investments

Information for Contractors

  • FDIC Acquisitions Policy Manual
  • Information for Prospective Outside Counsel
  • Office of Executive Secretary Contractor Ethics Decisions, 1996-Present

Office of the Ombudsman:

Federal Deposit Insurance Corporation Single Point of Contact:
Carol L. Middlebrook, Ombudsman Specialist
550 Seventeenth Street, N.W.
Washington, DC 20429
Telephone: 202-942-3807
Fax: 202-942-3041


The Federal Energy Regulatory Commission, or FERC, is an independent agency that regulates the interstate transmission of natural gas, oil, and electricity. FERC also regulates natural gas and hydropower projects. As part of that responsibility, FERC:

  • Regulates the transmission and sale of natural gas for resale in interstate commerce;
  • Regulates the transmission of oil by pipeline in interstate commerce;
  • Regulates the transmission and wholesale sales of electricity in interstate commerce;
  • Licenses and inspects private, municipal, and state hydroelectric projects;
  • Approves the siting of and abandonment of interstate natural gas facilities, including pipelines, storage and liquefied natural gas;
  • Oversees environmental matters related to natural gas and hydroelectricity projects and major electricity policy initiatives; and
  • Administers accounting and financial reporting regulations and conduct of regulated companies.

The FERC has three main goals and objectives, identified as follows:

Goal 1: Promote a Secure, High-Quality, Environmentally Responsible Infrastructure through Consistent Policies.

Goal 2: Foster Nationwide Competitive Energy Markets as a Substitute for Traditional Regulation.

Goal 3: Protect Customers and Market Participants through Vigilant and Fair Oversight of Both Traditionally Regulated and Transitioning Energy Markets.

Concerning FERC small entity enforcement and compliance issues, the market participants in the energy industry will be directed to their respective program offices by Michael Miller, Office of the Executive Director.

Email, Small Entity Point of Contact:

Telephone Numbers: Michael Miller: 202-502-8415

Website Locations: FERC Homepage:

Federal Energy Regulatory Commission Single Point of Contact for SBPRA requirements:
Kimberly F. Fernandez
Federal Energy Regulatory Commission
888 First Street, N.E.
Washington, DC 20426
Telephone: 202-502-8302


Federal Housing Finance Board Single Point of Contact:
Janice Kaye
Federal Housing Finance Board
Office of General Counsel
1777 F Street, NW
Phone: 202-408-2505


The Federal Maritime Commission is an independent transportation/trade regulatory agency whose primary functions are to ensure the fair treatment of U.S. exporters and importers in the oceanborne international commerce of the U.S., and to protect U.S. trades from unfair foreign shipping practices.

The Commission licenses ocean transportation intermediaries (“OTI”) in the U.S. to protect exporters and importers who use their services. To be licensed, an OTI must establish that it is qualified in terms of experience and character, as well as establish its financial responsibility by means of a bond, insurance or surety. OTIs with no presence in the U.S. do not require a license, although they must establish financial responsibility.

Additionally, the Commission provides an expeditious and inexpensive forum for the resolution of formal complaints between private parties, offers mediation services to resolve disputes, and acts as an ombudsman for shippers and others involved in ocean transportation.

FMC has posted on its website ( the regulations governing OTIs (Part 515, Licensing, Financial Responsibility Requirements, and General Duties for Ocean Transportation Intermediaries), a list of frequently asked questions that a business might have regarding application for an OTI license, and the applicable form(s) required (Form FMC-18, Application for a License as an Ocean Transportation Intermediary, and Form FMC-48, Ocean Transportation Intermediary Bond). These forms also can be found on the Federal government repository for government forms at

The Office of Transportation and Intermediaries reviews OTI applications and issues the licenses. It may be contacted by telephone at (202) 523-5843, by facsimile at (202) 566-0011, or e-mail at

The Office of Passenger Vessels and Information Processing handles the OTI surety bonds and other forms of financial responsibility. It can be contacted by telephone at (202) 523-5818, by facsimile at (202) 523-5830, or e-mail at

The Office of Consumer Affairs and Dispute Resolution Services handles complaints and inquiries, including those regarding OTI shipments. It can be reached by telephone at (202) 523-5807, by facsimile at (202) 275-0059, or e-mail at

The Commission also has Area Representatives in 5 major areas who can assist and/or answer questions. Area Representatives may be reached in the following areas:

Los Angeles (310) 514-4905
(310) 514-3931 (Fax) (E-mail)
South Florida

(954) 963-5362 or
(954) 963-5284
(954) 963-5630 (Fax) (E-mail) (E-mail)

New Orleans (504) 589-6662
(504) 589-6663 (Fax) (E-mail)
New York (718) 553-2228
(718) 553-2229 (Fax) (E-mail)
Seattle (206) 553-0221
(206) 553-0222 (Fax) (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


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


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

General Financial Information for Small Businesses
General Community Development information
A Guide to Business Credit for Women, Minorities, and Small Businesses

Federal Reserve Regulatory Reporting Forms
Current Reporting Forms
Reporting Forms Under Review

Banking and Regulatory Information
General Banking and Regulatory information
Regulations (PDF files)
Supervision & Regulation Letters (SR Letters)

Federal Reserve Board Publications Department
Publications available free-of-charge on-line
Publications available for order (on-line order form and information)
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).

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

General Federal Reserve Public website


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, and from links at,, and

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, and include, among others:

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 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 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.
-- 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
FedBizOpps is the single government point-of-entry (GPE) for Federal contracting opportunities over $25,000
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

“Marketing Strategies & Techniques” – Small business solutions from GSA’s advocate for today’s small businesses.


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


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



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 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

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


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 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 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
301-837-1477 (voice)
301-837-0319 (fax)


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
Web site:


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 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 Single Point of Contact:
William Hummel
1100 Pennsylvania Ave. Rm. 618
Washington DC 20506
Telephone: 202-682-5417


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


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
1441 L Street NW, Suite 9100
Washington, DC 20005
Telephone: 202-632-7003
Fax: 202-632-7066


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

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. ( 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 Single Point of Contact:
Denise M. Vines, Supervisory
Finance & Administration Specialist
Washington, DC 20572
Telephone: 202-692-5010


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


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


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

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

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


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


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

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


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 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


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 (

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 (

PBGC’s Web site
( 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).

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.


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


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:

Seminars, classes

Web based compliance

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:
  • Inquiries about applicability of securities laws to small business:
  • Inquiries about the conduct of federally-regulated securities markets:
  • Inquiries about federal regulation of investment advisers:
  • Inquiries about federal regulation of investment companies:


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


Selective Service System Single Point of Contact:
Calvin Montgomery
1515 Wilson Blvd.
Arlington, VA 22209
Telephone: 703-605-4038


Small businesses wanting access to SBA programs should call SBA's Answer Desk toll-free or e-mail 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:

Other good ways to access compliance information about SBA programs are going to the SBA website's frequently asked questions about SBA programs at or to SBA's main webpage

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


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 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,, contains a link that directs businesses to the Business Services Online (BSO) website, 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,, 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,, 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,, 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,, 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,, for students. School officials and students are able to download the form if they lose the form they received from SSA.


  • 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 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


  • 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


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:
  • 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


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

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.

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:

Tennessee Valley Authority Single Point of Contact:
Philip S. McMullan, Project Manager
Business Growth and Innovation
Telephone: 615-232-6227
Fax: 615-232-6189


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


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 or from the Board's website

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 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

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)



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

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 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