Serving Small Businesses and Entrepreneurs: Office of the National Ombudsman

The Office of the National Ombudsman, created under the Small Business Regulatory Enforcement Fairness Act of 1996, acts as a mediator between small businesses and federal agencies, addressing concerns about regulatory enforcement. Encouraging regulators to prioritize compliance assistance over penalties, the Ombudsman evaluates agency responsiveness to small business issues. EPA actively supports small business regulatory fairness through participation in roundtables and providing resources to entrepreneurs facing violations or enforcement actions.

• Small Business
• Entrepreneurs
• Office of the National Ombudsman
• Regulatory Enforcement
• EPA

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1. Office of the National Ombudsman Partnering with the National Ombudsman to Serve Small Businesses and Entrepreneurs EPA Small Business Training Conference May, 2016

2. ABOUT THE DEPUTY NATIONAL OMBUDSMAN YOLANDA V. SWIFT DEPUTY NATIONAL OMBUDSMAN ASSISTANT GENERAL COUNSEL AT SBA SINCE 1998 SENIOR VICE PRESIDENT NATIONSBANK/BANK OF AMERICA VICE PRESIDENT AETNA INSURANCE COMPANY 30+ YEARS PRACTICE BANKING AND CORPORATE FINANCE LAW

3. THE OFFICE OF THE NATIONAL OMBUDSMAN WAS CREATED PURSUANT TO THE SMALL BUSINESS REGULATORY ENFORCEMENT FAIRNESS ACT OF 1996 (SBREFA). SBREFA AUTHORIZES THE SBA NATIONAL OMBUDSMAN TO SEEK OUT COMMENTS FROM SMALL BUSINESS CONCERNS, NON-PROFIT ORGANIZATIONS, AND SMALL GOVERNMENT ENTITIES REGARDING THEIR TREATMENT BY FEDERAL AGENCIES DURING COMPLIANCE OR ENFORCEMENT ACTIONS. THE OFFICE OF THE NATIONAL OMBUDSMAN ACTS AS A TROUBLESHOOTER BETWEEN SMALL BUSINESSES AND FEDERAL AGENCIES AND SERVES AS A VOICE FOR SMALL BUSINESS REGARDING BURDENSOME EXCESSIVE REGULATIONS AND FEDERAL AGENCY REGULATORY ENFORCEMENT ACTIONS. WORKS WITH FEDERAL AGENCIES TO ENSURE FEDERAL REGULATORY ENFORCEMENT IS EFFECTIVE AND NOT EXCESSIVE REGARDING SMALL BUSINESSES AND ENTREPRENEURS. IN FULFILLING THESE ROLES, THE OFFICE OF THE NATIONAL OMBUDSMAN, CONDUCTS PUBLIC HEARINGS AND OUTREACH EVENTS (ROUNDTABLES) IN EACH OF SBA S TEN REGIONS TO PROVIDE SMALL BUSINESSES WITH FORUMS WHERE THEY CAN VOICE THEIR COMMENTS ABOUT FEDERAL REGULATORY AND COMPLIANCE ENFORCEMENT ACTIONS WITHOUT FEAR OF RETALIATION.

4. ENCOURAGES REGULATORS/FEDERAL AGENCIES TO PAY ATTENTION TO ENTREPRENEURS COMMENTS AND ADDRESS THOSE CONCERNS AND WHEREVER POSSIBLE TO OPT FOR COMPLIANCE ASSISTANCE AND EDUCATION ABOUT THE APPLICABLE REGULATIONS RATHER THAN MOVING IMMEDIATELY TO LEVY PENALTIES AND FINES OR WITHHOLD PAYMENTS DUE TO SMALL ENTITIES. THE SBA NATIONAL OMBUDSMAN IS SPECIFICALLY AUTHORIZED TO EVALUATE AND RATE FEDERAL AGENCIES ON THEIR RESPONSIVENESS TO SMALL BUSINESS REGULATORY CONCERNS AND HOW THEY ENFORCE FEDERAL REGULATIONS.

5. EPA ACTIVITIES IN SUPPORT OF SMALL BUSINESS REGULATORY FAIRNESS THE EPA REPRESENTATIVES FREQUENTLY PARTICIPATE IN SBA ROUNDTABLES IN LOCAL SMALL BUSINESS COMMUNITIES. ATTEND REGULATORY FAIRNESS HEARINGS IN PERSON OR BY TELEPHONE ATTEND THE ANNUAL SBA FEDERAL AGENCY SUMMIT EPA ISSUES A SMALL BUSINESS RESOURCES INFORMATION SHEET AND PUBLICATIONS, BROCHURES AND COMPLIANCE GUIDANCE ON ITS WEBSITE, AT OUTREACH EVENTS AND TO SMALL BUSINESS OWNERS WHO MAY BE THE SUBJECT OF VIOLATIONS OR ENFORCEMENT ACTIONS BY EPA

6. EPA ACTIVITIES IN SUPPORT OF SMALL BUSINESS REGULATORY FAIRNESS EPA MAKES COMPLIANCE ASSISTANCE AVAILABLE TO SMALL BUSINESSES BY TELEPHONE, ON THE WEB AND THROUGH COMPLIANCE ASSISTANCE DOCUMENTS PUBLISHES A LIST OF SMALL BUSINESS LIAISONS AT THE EPA WEBSITE PROVIDES NO COST INDIVIDUALIZED & SPECIALIZED COMPLIANCE ASSISTANCE AT COMPLIANCE ASSISTANCE CENTERS PARTNERS WITH THE SBA AND STATE GOVERNMENT ENTITIES

7. Working for Your Small Business We save time and money for small business owners by helping to: Obtain compliance assistance and clarify compliance questions Reduce fines and penalties Resolve regulatory enforcement matters Connect small businesses with government officials

8. Key Regulatory Fairness Levers Issue Resolution: Comment & Review Process Accountability: Annual Agency Ratings Outreach: Local Roundtables & Hearings Regional Conduits: Regulatory Fairness Boards

9. Issue Resolution: Comment & Review Process Impartial channel to report concerns with regulatory compliance and enforcement involving federal agencies: Confidential Neutral liaison between small business and federal regulators Independent, high-level agency review and response addressed to specific concerns

10. Federal Agency Comment Form To open a case, simply complete and submit this 1-page authorization at sba.gov/ombudsman/comments

11. Accountability: Annual Agency Ratings The Office of the National Ombudsman: Scores all federal agencies that regulate small business on the promptness and substance of responses to small business concerns. Reports its findings to Congress every year in an Annual Report.

12. Outreach: Roundtables & Hearings Forums to voice concerns about unfair enforcement actions & excessive regulations: Held in all of SBA s 10 Regions. Board members participate and local federal agencies representatives answer questions. Concerns raised escalated to the appropriate Federal agency for high-level fairness review.

13. Expertise and Regional Conduits: Regulatory Fairness Boards 5-Member Regulatory Fairness Boards comprised of small business owners in each of SBA s 10 Regions Vital conduit: between small businesses and federal government Board members identify and elevate issues to the National Ombudsman Industries Represented: Agriculture, Contracting Construction, Retail, Professional Services, Health Care, Information Systems, Finance, Transportation Average experience of Board members: 34 years

14. FEDERAL AGENCY RESOURCE MATERIALS Understanding the Federal Marketplace. Contracting Resources for Small Businesses. www.sba.gov/content/federal-contracting- resources-small-businesses. SBA Handout How Government Contracting Works OSHA - Free Safety and Health Consultation Services for Small Businesses. 1-800-321-osha (6742) www.osha.gov/consultation,.

15. FEDERAL AGENCY RESOURCE MATERIALS U.S. Department of Labor Toll Free Information Service - www.dol.gov Reference Guide to the Fair Labor Standards Act Wage and Hour Division , 1-866-487- 9243, www.wagehour.dol.gov IRS Taxpayer Advocate Service, 1-877-777- 4778 or 1-877-275-8271, www.taxpayeradvocate.irs.gov, www.irs.gov/advocate

16. Contact the National Ombudsman www.sba.gov/ombudsman www.sba.gov/REF ombudsman@sba.gov 888-REG-FAIR THANK YOU- HAPPY SMALL BUSINESS WEEK!!