National Ombudsman: Federal Regulatory Enforcement Assistance for Small Business

National Ombudsman Fair
Enforcement of Federal Regulations


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Frequently Asked Questions- General

Q.	What constitutes excessive enforcement action by a federal agency?
	Excessive federal regulatory enforcement may include, but is not limited to, repetitive audits or investigations, punitive fines, penalties, threats, retaliation or other unfair enforcement action taken by a federal agency.
Q.	How long does it take to get a response to my comment?
	Our goal is to be able to secure a response from the federal agency within 30 days from the time we receive your completed comment form and substantiating documentation. Generally, you should receive a response within no more than 60 days. When comments are complex, a response may take longer.
Q.	I would like to present testimony as a Regulatory Fairness Hearing, but am unable to travel to the event. Can I present without testimony to have read into the record?
	Yes. If circumstances prevent you from personally attending a Regulatory Fairness Hearing, you may submit written testimony to be read into the record.
Q.	I have made testimony at a Regulatory Fairness Hearing. Will my testimony be made public?
	Yes. Transcripts of all appropriate Regulatory Fairness Hearing comments will be placed on the Internet at the website of the National Ombudsman www.sba.gov/ombudsman.
Q.	I do not want my identity made known to the federal agency about which I wish to comment. Is this possible?
	Yes. However, you must be sure to clearly indicate on the comment form the level of confidentiality you desire.
Q.	In appropriate cases can my comment or complaint be forwarded to the Inspector General of a federal agency by the Office of the National Ombudsman?
	Yes. In appropriate cases comments or complaints may be forwarded to the Inspector General of a federal agency and your identity can be kept confidential.
Q.	How does the Office of the National Ombudsman define small government entity?
	A small government entity is generally defined as those with fewer than fifty (50,000) population.
Q.	Where can I get a copy of the official form to file a comment with the Office of the National Ombudsman?
	There are several ways to obtain an official comment form. You may request it from the regional Regulatory Fairness Board Member in your area, the local SBA District Office, or by calling the SBA Answer Desk at 1 (800) U-ASK-SBA. The form is also available on-line by clicking on the white scroll button on this site.
Q.	Is there a charge for using the services of the Office of the National Ombudsman?
	No. The Office of the National Ombudsman was established by Congress and its services are provided at no fee to the public.

The National Ombudsman's primary mission is to assist small businesses when they experience excessive federal regulatory enforcement actions, such as repetitive audits or investigations, excessive fines, penalties, threats, retaliation or other unfair enforcement action by a federal agency.

The National Ombudsman receives comments from small business concerns and acts as a liaison between them and federal agencies. Comments received from small businesses, are forwarded to federal agencies for a high level review and federal agencies are requested to consider the fairness of their enforcement action.

A copy of the agency's response is sent to the small business owner by the Office of the National Ombudsman. In some cases, fines have been lowered or eliminated and decisions changed in favor of the small business owner.

For instance, the Wage and Hour division of the Department of Labor determined that a brewer and assistant brewer at a small Illinois brewery were not exempt from the minimum wage and overtime provisions of the Fair Labor Standards Act (FLSA). After spending several thousand dollars on attorney fees and many hours on appeal, the brewery owner filed a comment with the National Ombudsman and the federal agency reversed its decision.

In another case, a small importer in Maryland had been fined by U.S. Customs for failure to notify them in the time period prescribed by regulation of the presence of unentered merchandise eligible for general order. When, at the request of the National Ombudsman, U.S. Customs reviewed the comment filed by the small business owner, all monies were refunded.

*The National Ombudsman cannot change, stop, or delay a federal agency enforcement action, nor assist with comments of a non-federal regulatory nature. Neither can the office help secure government contracts nor assist with government loan processing or approval.