PBGC - Office of Inspector General

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Disclaimer and Terms of Use

The Office of Inspector General (OIG) for Pension Benefit Guaranty Corporation (PBGC) is a Federal entity and functions independently and objectively from PBGC. OIG's primary functions are to:

OIGs are required by the Inspector General Act of 1978, as amended, to post publicly available reports and audits within three days of issuance (5 U.S.C. 8L). OIG maintains this website in compliance with that requirement for public access to OIG information. We strive to: (1) disseminate information to the public in a timely, equitable, efficient and appropriate manner; (2) maximize the quality, objectivity, utility, and integrity of information and services provided to the public; and (3) assist the public in locating government information. We provide this service as part of ongoing efforts to keep the public informed about our work to fight fraud and abuse and improve the economy, efficiency, and effectiveness of PBGC's programs and operations. This service remains under perpetual development. OIG updates website content on a regular basis and corrects errors brought to our attention as quickly as possible. Problems can be promptly reported to the OIG webmaster.

The PBGC OIG reserves all rights to the material on this website. Users who view and download material from this site may do so solely for the following purposes: (1) for personal, non-commercial home use; (2) where the materials clearly state that these materials may be copied and reproduced according to the terms stated in those particular pages; or (3) with the express written permission of the OIG. In all other cases, users require written permission from OIG to reproduce, republish, upload, post, transmit, distribute or publicly display material from this website. Users agree not to use this website for sale, trade, or commercial purposes. Users may not submit forms or other types of conveyance with language which PBGC determines to be threatening, offensive, abusive, rude or criminal. Users are prohibited from transmitting information or materials that would violate the rights of any third party or which contains a virus or other harmful component.

OIG reserves the right to remove or edit any messages or material submitted to OIG by users. OIG is not responsible for material submitted to OIG or posted in chatrooms, bulletin boards, blogs, or other public websites by users. Users understand that by communicating with OIG, users grant OIG permission to use any information, suggestions, ideas, drawings, or concepts communicated for any and all purposes the OIG chooses without approval or compensation of any kind.

This website's material is provided in "as is" condition and without any warranties, implied or otherwise. To the fullest extent permissible by law, OIG disclaims any and all warranties, express, implied or otherwise made. OIG does not warrant or represent that the information on this website is reliable, accurate, complete, or confidential, or that the site is free from errors, omissions, viruses, and/or misconceptions.

OIG shall under no circumstances, including but not limited to negligence, be held liable for special or consequential damages which result from the use or inability to use the materials contained in this website. OIG shall bear no liability to a user for any loss, damage or claim made by the user for accessing this website. The terms of use in this agreement are effective until terminated by either party. Users may terminate this agreement at any time by discontinuing use of the OIG website and destroying all materials obtained from it.

Translations of any materials into languages other than English are available elsewhere and intended solely as a convenience to the non-English-reading public. Free services like the Google translator are available for public use; however OIG cannot guaranty the accuracy of such translated information. OIG provides the information on this website as a public service. Any regulations and/or related materials which may be maintained on this website are maintained in order to enhance public knowledge and provide access to information on PBGC programs. The Federal Register and the Code of Federal Regulations remain the official sources for regulatory information published by Federal agencies. We have provided links to these and other Federal websites as part of our website services.

This website was developed according to OMB Policies for Federal Agency Public Websites (OMB M-05-04) which require agencies to (#1A) "disseminate information to the public in a timely, equitable, efficient and appropriate manner," (#2A) "maximize the quality, objectivity, utility, and integrity of information and services provided to the public," and (#4A) " establish and maintain communications with members of the public and with State and local governments to ensure your agency creates information dissemination products meeting their respective needs."

Linking Policy

Links used on this website coincide with reasonable public policy and support the mission of Pension Benefit Guaranty Corporation's Office of Inspector General. OIG may link to organizations or businesses with which OIG has a formal relationship. OIG will treat equally and fairly all organizations and business with which it may have relationships. In the event OIG links to any commercial sites, OIG will avoid any favoritism or bias to those commercial sites.

The documents on this site contain hypertext pointers to information created and maintained by other public and private organizations. OIG will periodically review the quality and usefulness of websites to which we link. We do not direct or guarantee the accuracy, relevance, timeliness, completeness, privacy or security of the information provided in websites to which we link. Further, the inclusion of pointers to particular items in hypertext is not intended to reflect their importance, nor is it intended to endorse any views expressed or products or services offered by the author of the reference or the organization operating the site on which the reference is maintained. OIG is not liable to users for any damages incurred as a result of accessing a link to an outside webpage.

When using links on this website, users will be notified upon leaving the PBGC OIG website for an external website, including when linking to the PBGC website or other government-sponsored website. All links to external websites which are not part of the U.S. Federal Government are considered "non-Federal links." OIG intends and will attempt to disclaim "non-Federal" websites to users upon using non-Federal links and leaving OIG's website. In the rare event that OIG may link to an external website that is not Government-owned or Government-sponsored, OIG will attempt to notify the user if these websites provide Government information or services in a way that is not available on an official Government website. Should OIG provide links to non-Government Web sites, OIG does so as a public service only. OIG neither endorses nor guarantees external organizations, services, views, advice, or products included in external websites to which we link. OIG cannot endorse or authorize the use of any content on external websites. OIG is not responsible for any communications users receive as a result of visits to external websites. OIG cannot guarantee external websites' compliance with Federal, State, or local laws, regulations, policies and/or procedures.

To the best of its ability, OIG will comply with all laws, regulations, and guidance for development and maintenance of this website. OIG reserves the right to remove any external link it determines is biased, contains misleading information, or otherwise conflicts with OIG's mission, visions, values or policies.

Information Quality

Information Quality Guidelines for Pension Benefit Guaranty Corporation (PBGC) Office of Inspector General (OIG)

These guidelines are intended to ensure accuracy in OIG reports disseminated to the public as pursuant to Section 515 of Public Law 106-554 (codified at 44 U.S.C. 3516 note and commonly referred to as the Data Quality Act). The OIG's Strategic Plan emphasizes the importance of effectively communicating our work to Congress, the PBGC Board of Directors, agency management officials, the press, and members of the public. These guidelines are applicable to OIG work products disseminated to the public. Audit work is disseminated through various work products, including audit reports, evaluations, and reviews which are made publicly available on this website. Investigative work products are not publicly available on this website for privacy reasons. These guidelines do not apply to reports of investigation of employee misconduct or illegal activity which are submitted to Federal or State prosecutors for purposes of criminal or civil prosecution or to PBGC for administrative discipline purposes. In addition, the guidelines do not apply to communications of law, or other legal advice, prepared by the OIG's Legal Counsel to assist OIG components in the performance of their responsibilities, or to draft documents that are still in the deliberative process and intended to remain internal. And, although OIG's normal practices are defined here, they may differ to some degree from one review to another. This description does not confer any rights upon a subject or witness of an OIG investigation to a pre-issuance review. The remedies provided in these guidelines are limited to what is stated below.

Regarding oversight management responsibility, the Deputy Inspector General is responsible for overall implementation and oversight of information quality guidelines for OIG, and for receiving and responding to requests for correction and for producing the annual report to the Office of Management and Budget (OMB) regarding complaints and how they are handled. The Inspector General's responsibilities include considering and responding to requests for reconsideration of requests for correction.

Standards for Disseminated Information

OIG's standards of quality assure value, objectivity, and integrity. Any statistical information disseminated by the OIG is based upon sound statistical methods and the principle of transparency. Information considered influential or expected to have a clear and substantial impact at the national level on major public or private policy decisions, may be subject to an added level of examination.

OIG applies standards of quality, and conducts review procedures to assure that information disseminated to the public is reviewed for objectivity, utility, integrity, the use of sound statistical methods, and transparency of methods, sources, assumptions, and outcomes. Transparency is applied through clear description of the methods, data sources, assumptions, outcomes, and related information that will allow the data user to understand how the information was designed or produced. Sound statistical methods are used to produce information that is accurate, reliable, and impartial. The value of information to be disseminated must be useful to its intended users, including stakeholders such as Congress, the Board, PBGC, and plan participants. Information must be disseminated objectively, in a substantively accurate, clear, complete, and unbiased manner. And the integrity of information must be preserved and protected from unauthorized access, corruption, or alteration to ensure that disseminated information is not compromised through corruption or falsification.

The OIG bears responsibility for conducting independent audits and evaluations of PBGC programs, computer systems, and financial statements. The OIG adheres to the Government Auditing Standards, issued by the Comptroller General of the United States (Yellow Book), the Council of Inspectors General on Integrity and Efficiency (CIGIE) Quality Standards for Federal Offices of Inspector General (Silver Book), the CIGIE Quality Standards for Inspection and Evaluation, and the Inspector General Audit Manual (IG Audit Manual). The Yellow Book prescribes generally accepted government auditing standards and requires that we plan and perform audits to obtain sufficient, appropriate evidence which will provide a reasonable basis for our findings and conclusions based on our audit objectives. The Silver Book standards set forth the overall quality framework for managing, operating, and conducting the work of Offices of Inspector General and guide the Inspector general Community's efforts into the future. The CIGIE Quality Standards for Inspection and Evaluation defines inspections and evaluations as reviews which do not constitute an audit or a criminal investigation. The IG Audit Manual establishes the policies and procedures to be followed by the OIG, including the supervisory review of audit working papers and reports and the independent referencing of significant audit reports prior to issuance.

The OIG audit function undergoes both management and peer reviews on a recurring basis. All audits are subject to extensive review by OIG, including OIG senior management. OIG provides a copy of every audit report in draft to the PBGC entity or entities which were the subject of the review so that review and comment can be provided prior to disseminating a final version of the report. The final report is issued with the audited entity's comments. Final audit reports are reviewed by the OIG's Legal Counsel to assure compliance with applicable legal requirements.

The OIG also provides the sole criminal law enforcement entity within PBGC, with PBGC-wide investigative jurisdiction. The OIG conducts investigations of significant criminal activities concerning PBGC programs, operations, and personnel, in addition to civil fraud and administrative wrongdoing. For privacy reasons, reports of investigation are not disseminated to the public by OIG and must be requested through the Freedom of Information Act (FOIA). In a particular matter, OIG may disseminate a report of investigation to the public.

For investigation, the OIG adheres to the CIGIE Quality Standards for Investigations and the Inspector General Investigations Manual (IG Investigations Manual). The Quality Standards for Investigations stipulates general and qualitative investigative standards and the IG Investigations Manual establishes policies and procedures... Upon obtaining full law enforcement authority, the Investigative function will undergo a peer review on a regular basis.

Formal Requests for Corrections

All requests for correction of OIG information must be submitted by letter, fax, or e-mail. All requestors bear the burden of proof regarding the requested correction. OIG will not contact the requestor for additional information if information is incomplete. All requests should contain the following information:

Requestor's name, mailing address and phone number, and if applicable, fax number, email address, and organizational affiliation;

The request for correction of information must state the request is made under the OIG's Information Quality Guidelines;

A full description of the information to be corrected which includes identification of the work product, issue date, and description detailing the specific information to be corrected;

Any explanation of how information fails to meet the OMB or OIG's Information Quality Guidelines;

Details of the effect of the alleged error on the requestor, or how a correction would benefit the requestor;

A recommendation for how the information should be corrected; and

Any documented evidence which supports the request.

OIG Review of and Response to a Correction Request

When the request for correction is processed, it will be based on the explanation and evidence submitted with the request for correction. OIG will conduct a review of the information being challenged, the processes that were used to create and disseminate the information, and the conformity of the information and those processes with OMB's and OIG's Information Quality Guidelines. After OIG has completed a review of the request for correction and created and reviewed the OIG's response, OIG management will determine if a correction is warranted, and the type of corrective action needed.

OIG will determine corrective action based upon the nature and timeliness of the information involved and on the significance of the error, the use of the information, the magnitude of the error, and the cost of undertaking a correction. OIG is not required to change, or alter in any way, the content or status of information solely based upon the receipt of a request for correction.

OIG may not respond substantively to correction requests it determines are frivolous or repetitive. OIG may not respond substantively to correction requests regarding information which is not covered by the guidelines or made by a person whom the information does not affect.

Once OIG makes a final determination regarding the correction request, OIG will respond to the requestor by letter, e-mail, or fax. The response will explain the finding and actions, if any, to be taken in response to the requestor's complaint. The OIG will normally respond to requests for correction of information within 60 calendar days of receipt. However, if the request requires more than 60 calendar days to resolve, the OIG will inform the requestor that more time is required and indicate the reason why and an estimated decision date.

If the requestor disagrees with the OIG's denial of the request or with the corrective action the OIG intends to take, the requestor may file a request for reconsideration with the Inspector General. Appeals should be submitted by letter, fax, or e-mail. Persons requesting reconsideration should provide accompanying written material to support the case for reconsideration; information originally submitted should not be used.

All requests for reconsideration must be filed with the OIG (postmarked or shipped by an overnight delivery service) within 45 calendar days of the date that the OIG transmitted its decision on the original request for correction. Requests for reconsideration that are received by the OIG after the 45-calendar day deadline will be denied as untimely.

As of January 1, 2007, OMB required entities to submit an annual report on the number and nature of complaints received by the OIG, and how those complaints were resolved (Sec. 515 of Public Law 106-554, codified at 44 U.S.C. 3516 note).

Pension Benefits Guarantee Corporation
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