Copyright Information Today, Inc. Mar/Apr 2005 There's a long-standing myth in the field of librarianship: When collecting competitive intelligence on a company, no company-specific information is available from the U.S. federal government. This article hopes to dispel that myth.
The federal government is a friend of business when it comes to producing information. Most economic indicators, forecasts, and other macroeconomic data are the result of long-standing cooperation among the companies that fill out forms, the government that collects and tabulates the data, and private and government economists who interpret the results. The departments of Commerce and Agriculture dedicate most of their activities to this purpose. These departments publish monthly, quarterly, and annual reports, based on 5-year Economic and Agriculture censuses in which the departments query every business and farm operating in the U.S. The resulting data become benchmarks for most statistical series.
In addition to the macroeconomic data collected by dedicated civil servants, all three branches release information that gives varying amounts of free, company-specific information. In some cases, long time-series can be created for a single company. In other instances, the data reveals a corporation's strategy. Sometimes data is disclosed as a result of a company operating in a regulated environment. These companies include publicly traded corporations that must submit reports to the securities and Exchange Commission (sec) and companies in the energy, healthcare, communications, and transportation industries. Disclosure of a company's activities may also be the result of legal, law-making, or procurement actions by the government. Some sources hide in bureaucratic obscurity, while others are well-known, although people do not always realize that the source is government-sponsored.
Most of the sources mentioned in this article are government-sponsored. However, in some cases, you will be directed to commercial services that compile government information. The list below is not comprehensive, but instead gives a good idea of where the significant materials can be found. The organization follows branch of government, department, and commission structure.
LEGISLATIVE
The legislative branch of the U.S. government has lawmaking authority and comprises the Senate and House of Representatives. Federal laws result in the restrictions and incentives with which a company works daily. Frequently, corporate spokespersons are asked to give their opinion about a proposed or existing law by testifying at hearings. Companies also try to influence the making of the laws. To find the legal issues that affect a company, learn where that company is making its opinion known.
| THE HOUSE WEB SITE |
A search for Microsoft at the House Web site yields testimony by Scott Charney,  Microsoft's chief trustworthy computing strategist, who told the House Energy and Commerce Committee his company's views on cybersecurlty and what it Is doing to secure consumer data. |
Congress Private Laws and Resolutions [http://thomas.loc.gov/home/r108query.html]
Discussions in Congress are recorded. Whether a company is being vilified or praised on the floor of the House or Senate, turn to the Congressional Record for the transcript.
House of Representatives [www.house.gov] and Senate [www.senate.gov]
The House and Senate have 250 standing committees and subcommittees. Every one of them has a need for information. Industry leaders and company experts come before the Senators and Representatives to testify. For example, a search for Microsoft at the House Web site yields testimony by Scott Charney, Microsoft's chief trustworthy computing strategist, who told the House Energy and Commerce Committee his company's views on cybersecurity and what it is doing to secure consumer data.
Open secrets [www.opensecrets.org]
The Center for Responsive Politics compiles data gathered from the Federal Election Commission (FEC). The FEC has jurisdiction over the financing of campaigns for the U.S. House, the U.S. Senate, the Presidency, and the Vice Presidency. seek out which companies, officers, and board members give to which individual candidates, political action committees (PACs), soft money campaigns, and lobbyists.
JUDICIAL
Knowing where a company picks its fights can give researchers a clue about future actions. When the corporation is the defendant in a federal case, this means the company has gathered the wrath of the federal government or the case involves parties from different states. Corporations in the role of the plaintiff can bring a civil case to federal court to try to challenge a national law or to get an interpretation of a law. The type of court should also give you a clue about the issue in dispute. The U.S. judiciary has a complicated structure and not all the courts hear cases relevant to company research. The U.S. Courts Web site [www.uscourts.gov/allinks.html] gives an overview of the system.
There are 94 U.S. district courts in all states and territories, covering 13 circuits. A case could be brought in any circuit where the event in question happened or a state court system. The federal district courts hear cases on civil and criminal matters. Civil or tort cases are disputes over contracts or agreements and/or result in a redressing of wrongs. Criminal cases are crimes against the community or personal rights and are brought only by the government. There is a court of appeals for each of the 12 circuits. Each hears appeals from the district courts located within its circuit as well as appeals of decisions of federal administrative agencies. The D.C.-based Court of Appeals for the Federal Circuit has nationwide jurisdiction to hear appeals in specialized cases, such as those involving patent laws and cases decided by the Court of International Trade and the Court of Federal Claims.
Bankruptcy courts are distributed throughout the federal districts and are designed to give the debtor company a chance at a "fresh start." Chapter 11 is for reorganization and Chapter 7 is for liquidation.
When there are disputes and questions involving international trade and customs, corporations can turn to the Court of International Trade in New York City.
When an enterprise has a claim against the United States government due to disputes over federal contracts or unlawful "takings" of private property by the federal government, the company will take its case to the Court of Federal Claims in Washington, B.C.
Not affiliated with the previously mentioned courts, the Tax Court has authority to hear tax disputes concerning notices of deficiency, notices of liability, readjustment and adjustment of partnership items, administrative costs, worker classification, review of certain collection actions, and other 1RS concerns. It also issues Tax Memorandums to clarify points of dispute.
The Court of Appeals for the Armed Forces and Court of Appeals for Veterans' Claims do not affect businesses.
The Supreme Court can hear cases from any of the above courts. If the company you are researching is in this court, you may have already heard about the case in the general press. Once a decision is made by the Supreme Court, there are no further appeals.
Public Access to Court Electronic Records (PACER) [http://pacer.psc.uscourts.gov]
The Administrative Office of the United States Courts created the PACER system to find case and docket information within most of the federal court system and to obtain brief information on the type of case. Selected information may contain a listing of participating judges, attorneys, and trustees; case related information such as cause of action, nature of suit, and dollar demand; claims registry; appellate court opinions; judgments or case status; and types of documents filed for certain cases. PACER requires registration; there is a minimum cost of 8 cents per page, which only kicks in once you've reached $10 in a calendar year.
EXECUTIVE
The executive branch is responsible for turning law into regulations. Executive branch departments, commissions, agencies, and administrative bodies enforce those regulations. The key to the executive branch's activities is found in the Federal Register [www.gpoaccess.gov/fr]. Produced by the National Archives and Records Administration, Federal Register Office, the Federal Register is a daily (Monday through Friday, excluding federal holidays) publication listing public regulations and legal notices issued by federal agencies. Online access goes back to 1994. Company information is most likely to occur in the selected following sections, reflecting the main interests of companies. However, you can search a company name directly from the home page.
* Procurement list; additions and deletions
* Settlement agreements: A company enters into a Settlement Agreement and Order to resolve a claim without the expense and distraction of litigation.
* Arms sales notification, transmittal letter, etc.
* Adjustment assistance: Determinations regarding eligibility to apply for trade adjustment assistance for workers (TA-W) number and alternative trade adjustment assistance (ATAA).
* Air traffic operating and flight rules, etc.
* Exemption petitions: Summary and disposition
* Radio stations: Table of assignments
* Rulemaking proceedings: Petitions filed, granted, denied, etc.
* Electric rate and corporate regulation filings
* Applications, hearings, determinations
* Notice of Complaint for Fast Track Processing
* Banks and bank holding companies: Formations, acquisitions, and mergers
* Prohibited trade practices
* Animal drugs, feeds, and related products
* Airworthiness Directives
* Antidumping regulations
* Import investigations
* Environmental statements: Availability, etc.
* Environmental statements: Record of decision
* Notice of Finding of No Significant Impact and Summary
* Motor vehicle safety standards
* Patents: Human drug products
* Granting of Request for Early Termination of the Waiting Period
* Self-regulatory organizations: Proposed rule changes
| THE FEDERAL REGISTER |
| A search for Pfizer af the Federal Register home page retrieves 31 hits for 2004. |
| A search for Pacific Coast Electric at the FERC site shows items from the FEHC docket database. |
* Motor carriers: Control applications
* Railroad operation, acquisition, construction, etc.
* Large certificated air carriers: Uniform system of accounts and reports
* Agency information collection activities: Proposals, submissions, and approvals; comment requests
EXECUTIVE BRANCH AGENCIES
Department of Commerce
International Trade Administration [www.buyusa.com]
A directory of non-U.S. buyers, distributors, and agents wishing to do business with a U.S. company, this federally sponsored Web site replaces the Foreign Traders Index. It lists addresses, contact names, and type of service the company provides. This matchmaking service costs $50 per year.
Patent & Trademark Office [www.uspto.gov]
To find which patents a company owns, search by "assignee." This will give an indication of which innovative direction the company has chosen to support. The Trademark Electronic Search System (TESS) "owner" search will indicate which past ideas have been discarded. You can choose to search either for "live" or "dead" trademarks, or both. A search of the dead ones for Microsoft, for example, reveals it has abandoned the trademark for "Microsoft TV."
Department of Defense
Defense Logistics Information Service, Central Contractors Registration (CCR) [www.bpn.gov/ccrinq]
CCR is a directory that includes more than 350,000 small businesses and subcontractors looking to do business with the federal government, not just the military. This database can be searched by company name, industry code, location, or procurement status. It can contain large contractors-Halliburton, for example, is listed.
Directorate of Information, Operations and Reports, Companies Participating in the Department of Defense Subcontracting Program [http://Web1.whs.osd.mil/peidhome/procstat/procstat]
These publications provide information on Department of Defense procurement awards. You can find out if the corporation is receiving large amounts of money from Defense and if opportunities exist for smaller companies to participate as sub-contractors.
Department of Energy
Energy Information Administration, Form EIA-412 Database: Annual Electric Industry Financial Report [www.eia.doe.gov/cneaf/electricity/page/eia412.html]
This is an electric utility data file that includes information such as income statements, balance sheets, sales and purchases, and transmission line data for publicly owned utilities. Data is in DBF and spreadsheet format. Publicly owned utilities are those run by nonprofit operations such as municipalities or public power districts.
Form EIA-906 and EIA-920 Databases [www.eia.doe. gov/cneaf/electricity/page/eia906_920.html]
The EIA-906 and EIA-920 databases provide monthly and annual data on capacity, generation, and fuel consumption at over 4,000 specific power plants, prime movers, and the combined heat and power plant (cogeneration) segment of the non-utility sector. Specific renewable and traditional fuels are included in the fuel consumption data. The data files are in a compressed Excel file.
Performance Profiles of Major Energy Producers [www.eia.doe.gov/emeu/perfpro]
This publication examines year-to-year developments in the operations of the major U.S. energy-producing companies on a corporate level by energy production means (coal, nuclear, hydroelectric, etc.) and by geographic area. The "current" information is from 2002.
Renewable Energy Annual [www.eia.doe.gov/cneaf/solar.renewables/page/rea_data/rea_sum.html]
Begun in 1995, this annual addresses the following energy sources: biomass, geothermal, wind, and solar. Appendix J gives names of businesses that provide geothermal heat pumps, solar thermal collectors, and photovoltaic modules/cells.
Federal Energy Regulatory Commission (FERC) E-Forms [www.ferc.gov/docs-filing/eforms-elec.asp]
The FERC collects and distributes a variety of information for private utilities (those owned by shareholders). Each industry has its own form and download interface software. Form 1: Annual Report of Major Electric Utility; Form 2: Major Natural Gas Pipeline Annual Report; Form 3-Q: Quarterly Financial Report of Electric Utilities, Licensees, and Natural Gas Companies; Form 6: Annual Report of oil Pipeline Companies; and EQR: All public utilities (including power marketers) file the Electric Quarterly Report. Additionally, there is a search capability allowing you to see what companies have information on the FERC docket.
Department of Health and Human Services Food and Drug Administration (various databases) [www.fda.gov/search/databases.html]
Hidden within this Web site are databases in which you can find company-specific information for animal drugs, human drugs (Orange Book), and medical devices on the market, pre-approval devices, and their distributors (agents). These databases will give you an understanding of medical companies' product functions and life cycles.
FDA Warning Letters and Responses [www.accessdata.fda.gov/scripts/wlcfm/cindex.cfm]
Search this database for companies in the health, medical, or food product or device industries that have had regulation infractions.
National Library of Medicine, ClinicalTrials [http://ClinicalTrials.gov]
ClinicalTrials.gov provides regularly updated information about federally and privately supported clinical research on human volunteers. Used as a recruiting tool, ClinicalTrials.gov gives you information about a trial's purpose, who may participate, locations, and phone numbers for more details. Company information is listed under "browse by sponsor."
Department of Transportation
Office of Airline Information, Airline Financial Data Press Releases [www.bts.gov/programs/airlineJnformation/airlineJinanciaLdata/ press-releases]
Aggregate and company-specific financial data are given. The source is divided by company size: major, national, large regional, and medium regional air carriers. There is a fee for full access of Air Carrier Financial Statistics Quarterly (Yellow Book) as a service from the Bureau of Transportation Statistics (BTS).
Airline Traffic Data Press Releases [www.bts.gov/programs/airlinejnformation/airline Jraffic_data/ press_releases]
Aggregate and company-specific traffic data is given for major, national, large regional, and medium regional air carriers. These categories are divided into scheduled services (revenue passenger-miles, overall capacity) and nonscheduled services (military revenue passengermiles, civilian freight). There is a fee for full access of Air Carrier Traffic Statistics Monthly (Green Book) as a searchable database from BTS.
U.S. Waterborne Foreign Trade, Total Containerized Cargo [www.rnarad.dot.gov/MARAD_statistics/#Container%20Statistics]
This one-sheet PDF, containing the top-20 container cargo shipping lines by TEU (twenty feet equivalent units-shipping container) is issued twice yearly.
| FDIC DATABASE |
| A search for R i g g s in the FDIC database shows the available financial reports on this bank. |
Environmental Protection Agency, Envirofacts [www.epa.gov/enviro]
Searchable database that contains Superfund data, the toxic release inventory, water discharge permits, latitude/longitude information, mapping tools, the master chemical integrator, and more.
Federal Communications Commission-Statistics of Communications Common Carriers [www.fcc.gov/wcb/iatd/socc.html]
Begun in 1939, this annual source gives companyspecific data concerning rates, investments, revenues, expenses, and earnings by all major common carriers engaged in interstate or foreign communication services. Historical trends in the industry are also provided. It is updated by Quarterly Operating Data of Telephone Carriers.
Federal Deposit Insurance Corporation (FDIC), Division of Research and Statistics' Institution Directory [www2.fdic.gov/idasp/main.asp]
Replacing Statistics on Banking, this Web directory contains quarterly financial data on FDIC-insured depository institutions. Links are presented to each bank's current list of offices, comparison peer group(s), FFIEC Call/TFR Report, FFIEC Uniform Bank Performance Report (UBPR), FDIC CRA ratings, FDIC/OTS Summary of Deposits, and Regional Economic Conditions (FDIC RECON). For a historical perspective, consult the FDIC Historical Statistics on Banking.
Government Accountability Office, Indexes and Abstracts of Reports and Testimony: Fiscal Year
[www.gao.gov]
This includes audit reports, staff studies, memoranda, opinions, speeches, testimony, and Comptroller General Decisions focusing on all functions of the federal government. Search by the company name, especially for companies in heavily regulated industries.
General Services Administration, FedBizOpps
[http://FedBizOpps.gov]
Replaces Commerce Business Daily, but still holds to the old masthead: "A daily list of U.S. government procurement invitations, contract awards, subcontracting leads, sales of surplus property and foreign business opportunities." Contracts must exceed $25,000 to be published in the Web site.
Securities and Exchange Commission (sec), Electronic Data Gathering Analysis Retrieval (EDGAR) System
[www.sec.gov/edgar.shtml]
EDGAR is an icon of good government informing the consumer. Operating for free since 1993, this source allows access to U.S. publicly traded company and mutual fund sec filings, including 10-Ks, proxy statements, IPOs, and many more. In addition to examining the financial statements, reading the Management Discussion section of the 10-K, 10-Q, and 20-F reports will enlighten you about the company's strategy and operations priorities. To line up financial data, change font to Courier. Commercial EDGAR services offer value-added services for a fee.
USE AND CONTINUING AVAILABILITY
There is a wealth of company-specific information available in U.S. government sources, most of which is copyrightfree. To find more information on a company, you can file a Freedom of Information Act (FOIA) request in the executive office you know that company has done business with or is regulated by [www.usdog.fov/04foia].
Since I started collecting titles for Key Business Sources of the U.S. Government (RUSA, 1998), many sources have changed titles. Some have disappeared; some agencies have started charging for access. I hope that documenting these sources will raise awareness of their usefulness, which might give them an element of protection to keep them in the free public commons.
| [Sidebar] |
| Nonprofit Organizations |
| Although not produced by a government agency, GuideStar [www.guidestar.org], the national directory of charities and private foundations that file an 1RS 990 form, includes nonprofit companies that operate nationwide or locally but excludes faithbased organizations. It is produced by the private nonprofit company, Philanthropic Research. |
| [Author Affiliation] |
| Jennifer C. Boettcher [boettcher@georgetown.edu] is the business reference librarian at Georgetown University and co-author of Industry Research Using the Economic Census (Greenwood Press, 2004). |
| Comments? E-mail letters to the editor to inarydee@xmission.com. |
My Research
