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 22005A0517(03)
 Dohoda medzi Európskym spoločenstvom a Srílanskou demokratickou socialistickou republikou o readmisii osôb s neoprávneným pobytom - Vyhlásenia
 Úradný vestník L 124 , 17/05/2005 S. 0043 - 0060
 PrekladDohodaMedzi Európskym spoločenstvom a Srílanskou demokratickou socialistickou republikou o readmisii osôb s neoprávneným pobytomEURÓPSKE SPOLOČENSTVO, ďalej len "Spoločenstvo",aSRÍLANSKÁ DEMOKRATICKÁ SOCIALISTICKÁ REPUBLIKA, ďalej len "Srí Lanka",ďalej len "zmluvné strany",ROZHODNUTÉ posilniť svoju spoluprácu s cieľom účinnejšieho boja proti nelegálnemu prisťahovalectvu,ZNEPOKOJENÉ výrazným zvýšením činností skupín organizovaného zločinu v pašovaní prisťahovalcov a ďalšími súvisiacimi trestnými činnosťami,ŽELAJÚC si vytvoriť prostredníctvom tejto dohody a na základe reciprocity rýchle a účinné postupy na identifikáciu a bezpečný a usporiadaný návrat osôb, ktoré nespĺňajú alebo prestali spĺňať podmienky na vstup, prítomnosť alebo pobyt na území Srí Lanky alebo jedného z členských štátov Európskej únie, a umožniť tranzit takýchto osôb v duchu spolupráce,ZDÔRAZŇUJÚC, že táto dohoda sa nedotýka práv, záväzkov a povinností Spoločenstva, členských štátov Európskej únie a Srí Lanky podľa medzinárodného práva,BERÚC DO ÚVAHY, že ustanovenia tejto dohody, ktorá patrí do pôsobnosti hlavy IV Zmluvy o založení Európskeho Spoločenstva, sa nevzťahujú na Dánske kráľovstvo v súlade s Protokolom o postavení Dánska, pripojeného k Zmluve o Európskej únii a Zmluve o založení Európskeho Spoločenstva,DOHODLI SA TAKTO:Článok 1DefinícieNa účely tejto dohody:a) "Členský štát" znamená akýkoľvek členský štát Európskej únie, s výnimkou Dánskeho kráľovstva.b) "Štátny príslušník členského štátu" je každá osoba, ktorá má štátnu príslušnosť členského štátu, ako je definovaná na účely Spoločenstva.c) "Štátny príslušník Srí Lanky" znamená každú osobu, ktorá má srílanské štátne občianstvo.d) "Štátny príslušník tretej krajiny" znamená každú osobu, ktorá má inú štátnu príslušnosť alebo iné štátne občianstvo ako srílanské alebo jedného z členských štátov.e) "Osoba bez štátnej príslušnosti" znamená každú osobu, ktorá nemá štátnu príslušnosť. To nezahŕňa osoby, ktoré boli pozbavené alebo ktoré sa zriekli svojej štátnej príslušnosti od vstupu na územie Srí Lanky alebo jedného z členských štátov, pokiaľ takýmto osobám nebola týmto štátom prisľúbená aspoň naturalizácia.f) "Oprávnenie na pobyt" znamená povolenie akéhokoľvek druhu vydané Srí Lankou alebo jedným z členských štátov, ktoré oprávňuje osobu na pobyt na ich území. To nezahŕňa dočasné dovolenia na zdržiavanie sa na území v súvislosti s vybavovaním žiadosti o azyl alebo žiadosťou o oprávnenie na pobyt.g) "Vízum" znamená oprávnenie vydané alebo rozhodnutie prijaté Srí Lankou alebo jedným z členských štátov, ktoré sa vyžaduje na účely vstupu alebo tranzitu cez ich územia. To nezahŕňa letiskové tranzitné víza.ODDIEL IREADMISNÉ POVINNOSTI SRÍ LANKYČlánok 2Readmisia vlastných štátnych príslušníkov1. Srí Lanka opätovne prijme na žiadosť členského štátu a bez ďalších formalít, okrem tých, ktoré sú uvedené v tejto dohode všetky osoby, ktoré nespĺňajú alebo prestali spĺňať platné podmienky na vstup, prítomnosť alebo pobyt na území žiadajúceho členského štátu za predpokladu, že je dokázané alebo je z predložených dôkazov na prvý pohľad zrejmé, že sú štátnymi príslušníkmi Srí Lanky.2. Na požiadanie členského štátu vydá Srí Lanka, ak je to potrebné, a bezodkladne osobe, ktorá sa má znovu prijať, cestovný doklad vyžadovaný na jej návrat, ktorý má dobu platnosti aspoň 6 mesiacov. Ak z právnych alebo faktických dôvodov nemožno dotknutú osobu prepraviť počas doby platnosti cestovného dokladu, ktorý bol počiatočne vydaný, Srí Lanka predĺži platnosť cestovného dokladu alebo podľa potreby vydá urýchlene nový cestovný doklad s rovnakou dobou platnosti, zvyčajne do 14 kalendárnych dní a najneskôr do 30 kalendárnych dní. Ak Srí Lanka nepotvrdila prijatie žiadosti členského štátu do 30 kalendárnych dní, predpokladá sa, že prijíma použitie spoločného dočasného cestovného dokladu na účely navrátenia, ktorý je pripojený ako príloha 7 k tejto dohode.Článok 3Readmisia štátnych príslušníkov tretích krajín a osôb bez štátnej príslušnosti1. Srí Lanka opätovne prijme na žiadosť členského štátu a bez ďalších formalít, okrem tých, ktoré sú uvedené v tejto dohode, všetkých štátnych príslušníkov tretích krajín alebo osôb bez štátnej príslušnosti, ktoré nespĺňajú alebo prestali spĺňať platné podmienky na vstup, prítomnosť alebo pobyt na území žiadajúceho členského štátu za predpokladu, že je dokázané alebo je z predložených dôkazov na prvý pohľad zrejmé, že tieto osoby:a) boli v čase vstupu držiteľmi platného víza alebo oprávnenia k pobytu vydaného Srí Lankou, alebob) vstúpili na územie členských štátov nezákonne prichádzajúc priamo z územia Srí Lanky. V zmysle tohto pododseku prichádza osoba priamo zo Srí Lanky, ak pricestovala na územie členských štátov lietadlom alebo loďou bez toho, aby medzitým vstúpila do inej krajiny.2. Povinnosť readmisie podľa odseku 1 sa neuplatňuje, ak:a) štátny príslušník tretej krajiny alebo osoba bez štátnej príslušnosti bola len v tranzitnom priestore medzinárodného letiska v Kolambe, alebob) žiadajúci členský štát vydal štátnemu príslušníkovi tretej krajiny alebo osobe bez štátnej príslušnosti vízum alebo oprávnenie na pobyt pred alebo po vstupe na jeho územie, pokiaľ táto osoba nie je držiteľom víza alebo povolenia na pobyt vydaného Srí Lankou s dlhšou dobou platnosti.3. Na požiadanie členského štátu vydá Srí Lanka, ak je to potrebné, a bezodkladne osobe, ktorá sa má znovu prijať, cestovný doklad vyžadovaný na jej návrat, ktorý má dobu platnosti aspoň šesť mesiacov. Ak z právnych alebo faktických dôvodov nemožno dotknutú osobu prepraviť počas doby platnosti cestovného dokladu, ktorý bol počiatočne vydaný, Srí Lanka vydá urýchlene nový cestovný doklad s rovnakou lehotou platnosti, zvyčajne do 14 kalendárnych dní a najneskôr do 30 kalendárnych dní. Ak Srí Lanka nepotvrdila prijatie žiadosti členského štátu do 30 kalendárnych dní, predpokladá sa, že prijíma použitie spoločného dočasného cestovného dokladu na účely navrátenia, ktorý je pripojený ako príloha 7 k tejto dohode.ODDIEL IIREADMISNÉ POVINNOSTI SPOLOČENSTVAČlánok 4Readmisia vlastných štátnych príslušníkov1. Členský štát opätovne prijme na žiadosť Srí Lanky a bez ďalších formalít, okrem tých, ktoré sú uvedené v tejto dohode, všetky osoby, ktoré nespĺňajú alebo prestali spĺňať platné podmienky na vstup, prítomnosť alebo pobyt na území Srí Lanky, za predpokladu, že je dokázané alebo je z predložených dôkazov na prvý pohľad zrejmé, že sú štátnymi príslušníkmi toho členského štátu.2. Na požiadanie Srí Lanky vydá členský štát, ak je to potrebné a bezodkladne osobe, ktorá sa má znovu prijať, cestovný doklad vyžadovaný na jej návrat, ktorý má dobu platnosti aspoň 6 mesiacov. Ak z právnych alebo faktických dôvodov nemožno dotknutú osobu prepraviť počas doby platnosti cestovného dokladu, ktorý bol počiatočne vydaný, dotknutý členský štát predĺži platnosť cestovného dokladu alebo podľa potreby vydá urýchlene nový cestovný doklad s rovnakou dobou platnosti, zvyčajne do 14 kalendárnych dní a najneskôr do 30 kalendárnych dní. Ak dotknutý členský štát nepotvrdil prijatie žiadosti Srí Lanky do 30 kalendárnych dní, predpokladá sa, že prijíma použitie spoločného dočasného cestovného dokladu na účely navrátenia, ktorý je pripojený ako príloha 7 k tejto dohode.Článok 5Readmisia štátnych príslušníkov tretích krajín a osôb bez štátnej príslušnosti1. Členský štát opätovne prijme na žiadosť Srí Lanky a bez ďalších formalít, okrem tých, ktoré sú uvedené v tejto dohode, všetkých štátnych príslušníkov tretích krajín alebo osôb bez štátnej príslušnosti, ktoré nespĺňajú alebo prestali spĺňať platné podmienky na vstup, prítomnosť alebo pobyt na území Srí Lanky, za predpokladu, že je dokázané alebo je z predložených dôkazov na prvý pohľad zrejmé, že tieto osoby:a) boli v čase vstupu držiteľmi platného víza alebo oprávnenia k pobytu vydaného dožiadaným členským štátom, alebob) vstúpili na územie Srí Lanky, nezákonne prichádzajúc priamo z územia dožiadaného členského štátu. V zmysle tohto pododseku prichádza osoba priamo z územia dožiadaného členského štátu, ak pricestovala na Srí Lanku lietadlom alebo loďou bez toho, aby medzitým vstúpila do inej krajiny.2. Povinnosť readmisie podľa odseku 1 sa neuplatňuje, ak:a) štátny príslušník tretej krajiny alebo osoba bez štátnej príslušnosti bola len v tranzitnom priestore medzinárodného letiska dožiadaného členského štátu, alebob) Srí Lanka vydala príslušníkovi tretej krajiny alebo osobe bez štátnej príslušnosti vízum alebo oprávnenie na pobyt pred alebo po vstupe na jej územie, pokiaľ táto osoba nie je držiteľom víza alebo povolenia na pobyt vydaného dožiadaným členským štátom s dlhšou dobou platnosti.3. Ak dva alebo viac členských štátov vydalo vízum alebo oprávnenie na pobyt, povinnosť readmisie podľa odseku 1 sa vzťahuje na členský štát, ktorý vydal doklad s dlhšou dobou platnosti alebo, ak jednému alebo niekoľkým z nich už uplynula doba platnosti, doklad, ktorý je stále platný. Ak uplynula platnosť všetkým dokladom, povinnosť readmisie v odseku 1 sa vzťahuje na členský štát, ktorý vydal doklad s najneskorším uplynutím platnosti.4. Na požiadanie Srí Lanky vydá členský štát, ak je to potrebné, a bezodkladne osobe, ktorá sa má znovu prijať, cestovný doklad vyžadovaný na jej návrat, ktorý má dobu platnosti aspoň šesť mesiacov. Ak z právnych alebo faktických dôvodov nemožno dotknutú osobu prepraviť počas doby platnosti cestovného dokladu, ktorý bol počiatočne vydaný, dotknutý členský štát vydá urýchlene nový cestovný doklad s rovnakou dobou platnosti, zvyčajne do 14 kalendárnych dní a najneskôr do 30 kalendárnych dní. Ak dotknutý členský štát nepotvrdil prijatie žiadosti Srí Lanky do 30 kalendárnych dní, predpokladá sa, že prijíma použitie spoločného dočasného cestovného dokladu na účely navrátenia, ktorý je pripojený ako príloha 7 k tejto dohode.ODDIEL IIIPOSTUP PRI READMISIIČlánok 6Zásada1. Pokiaľ odsek 2 neustanovuje inak, akýkoľvek prevoz osoby, ktorá sa má opätovne prijať na základe jednej z povinností podľa článkov 2 až 5, vyžaduje predloženie žiadosti o readmisiu príslušnému orgánu dožiadaného štátu.2. Žiadosť o readmisiu možno nahradiť písomným oznámením dožiadanej zmluvnej strane v primeranej lehote pred návratom dotknutej osoby, za predpokladu, že:a) osoba, ktorá sa má opätovne prijať, je držiteľom platného cestovného dokladu a, kde je to uplatniteľné, platného víza alebo oprávnenia k pobytu dožiadaného štátu, ab) osoba, ktorá sa má opätovne prijať, je ochotná sa vrátiť do dožiadaného štátu.Článok 7Žiadosť o readmisiu1. Žiadosť o readmisiu má v čo najväčšom možnom rozsahu obsahovať tieto informácie:a) osobné údaje osoby, ktorá sa má opätovne prijať [napr. meno, priezvisko, rodné priezvisko, predchádzajúce mená, prezývky alebo pseudonymy, dátum a miesto narodenia, pohlavie, fyzický opis, meno otca a matky, súčasnú a predchádzajúce štátne príslušnosti, jazyk, rodinný stav, mená manžela/manželky, detí (ak sú) alebo iných príbuzných, posledné miesto bydliska, číslo pasu alebo preukazu totožnosti, vodičský preukaz, navštevované školy];b) uvedenie prostriedkov, ktorými sa poskytne dôkaz alebo z ktorých sú na prvý pohľad zrejmé štátna príslušnosť, tranzit, nezákonný vstup a pobyt.2. Žiadosť o readmisiu by mala v čo najväčšom možnom rozsahu obsahovať aj tieto informácie:a) vyhlásenie uvádzajúce, že osoba, ktorá sa má prepraviť môže, potrebovať pomoc alebo starostlivosť, za predpokladu, že dotknutá osoba s vyhlásením výslovne súhlasila;b) akúkoľvek inú ochranu alebo bezpečnostné opatrenie, ktoré môže byť potrebné v prípade individuálnej prepravy.3. Spoločný formulár, ktorý sa má použiť na žiadosti o readmisiu, tvorí prílohu 5 k tejto dohode.Článok 8Dôkazné prostriedky týkajúce sa štátnej príslušnosti1. Dôkaz o štátnej príslušnosti podľa odseku 1 článkov 2 a 4 možno poskytnúť najmä prostredníctvom dokladov uvedených v prílohe 1 k tejto dohode aj v prípade, ak doba ich platnosti už uplynula. Ak sú takéto dokumenty predložené, členské štáty a Srí Lanka vzájomne uznajú štátnu príslušnosť bez toho, aby sa vyžadovalo ďalšie šetrenie. Dôkaz o štátnej príslušnosti nemožno poskytnúť prostredníctvom falošných dokladov.2. Dôkaz, z ktorého je na prvý pohľad zrejmé štátna príslušnosť podľa odseku 1 článkov 2 a 4, možno poskytnúť najmä prostredníctvom dokumentov uvedených v prílohe 2 k tejto dohode aj v prípade, ak doba ich platnosti už uplynula. Dôkaz, z ktorého je na prvý pohľad zrejmá štátna príslušnosť, nemožno poskytnúť prostredníctvom falošných dokumentov.3. Okrem prípadov dostupnosti autentických dokladov uvedených v prílohe I môžu príslušné diplomatické zastupiteľstvá Srí Lanky alebo dotknutého členského štátu, kedykoľvek je to potrebné a na požiadanie, uskutočniť opatrenia na pohovor s osobu, ktorá sa má opätovne prijať, bez zbytočného odkladu, aby sa určila jej štátna príslušnosť.Článok 9Dôkazné prostriedky týkajúce sa štátnych príslušníkov tretích krajín a osôb bez štátnej príslušnosti1. Dôkaz o podmienkach pre readmisiu štátnych príslušníkov tretích krajín a osôb bez štátnej príslušnosti ustanovený v odseku 1 článkov 3 a 5 sa poskytne najmä prostredníctvom dôkazného prostriedku uvedeného v prílohe 3 k tejto dohode; nemožno ho poskytnúť prostredníctvom falošných dokladov. Akýkoľvek takýto dôkaz si zmluvné strany vzájomne uznajú bez toho, aby sa vyžadovalo ďalšie šetrenie.2. Dôkaz, z ktorého sú na prvý pohľad zrejmé podmienky na readmisiu štátnych príslušníkov tretích krajín a osôb bez štátnej príslušnosti ustanovené v odseku 1 článku 3 a článku 5, sa poskytne najmä prostredníctvom dôkazného prostriedku uvedeného v prílohe 4 k tejto dohode; nemožno ho poskytnúť prostredníctvom falošných dokumentov. Ak je predložený takýto dôkaz, členské štáty a Srí Lanka považujú podmienky za splnené, ak nemôžu dokázať opak. V sporných prípadoch uskutočnia zmluvné strany konzultáciu s cieľom pohovoru s osobu, ktorá sa má opätovne prijať, bez zbytočného odkladu.3. Nezákonnosť vstupu, prítomnosti alebo pobytu sa určí prostredníctvom cestovných dokladov dotknutej osoby, v ktorých chýba potrebné vízum alebo iné oprávnenie k pobytu na území žiadajúceho štátu. Vyhlásenie žiadajúceho štátu, že o dotknutej osobe sa zistilo, že nemá potrebné cestovné doklady, vízum alebo oprávnenie k pobytu poskytuje rovnako aj dôkaz, z ktorého je na prvý pohľad zrejmý nezákonný vstup, prítomnosť alebo pobyt.Článok 10Lehoty1. Žiadosť o readmisiu sa musí predložiť príslušnému orgánu dožiadaného štátu najneskôr do jedného roka po tom, čo príslušný orgán žiadajúceho štátu zistil, že štátny príslušník tretej krajiny alebo osoba bez štátnej príslušnosti nespĺňa alebo prestala spĺňať platné podmienky na vstup, prítomnosť alebo pobyt. Ak existujú právne alebo faktické prekážky pre včasné podanie žiadosti, lehota sa na požiadanie predĺži, ale len pokiaľ takéto prekážky neprestanú existovať.2. Na žiadosť o readmisiu sa musí odpovedať bez zbytočného odkladu a zvyčajne v lehote 15 kalendárnych dní a najneskôr do 30 kalendárnych dní; pri zamietnutí žiadosti o readmisiu sa uvedú dôvody. Táto lehota začne plynúť dňom prijatia žiadosti o readmisiu. Ak v tejto lehote nebolo poskytnuté potvrdenie o prijatí, prevoz sa považuje za odsúhlasený.3. Po vydaní súhlasu alebo prípadne ak nebolo poskytnuté žiadne potvrdenie v lehote 30 kalendárnych dní, dotknutá osoba je prepravená bez zbytočného odkladu a najneskôr do troch mesiacov. Na žiadosť možno túto lehotu predĺžiť o čas, ktorý bol potrebný na vyriešenie právnych alebo praktických prekážok.Článok 11Postup pri prevoze a spôsoby dopravy1. Pred vrátením osoby uskutočnia príslušné orgány Srí Lanky a dotknutého členského štátu písomné dojednania o dátume prepravy, mieste vstupu, prípadného sprievodu a o iných informáciách dôležitých z hľadiska prevozu.2. Nemožno zakázať žiadny dopravný prostriedok, letecký, pozemný ani námorný. Letecký návrat sa neobmedzuje na používanie štátnych prepravcov zmluvných strán a môže sa uskutočniť využitím pravidelných alebo nepravidelných letov. V prípade návratu so sprievodom sa takýto sprievod neobmedzuje na oprávnené osoby žiadajúceho štátu, za predpokladu, že ide o oprávnené osoby zo Srí Lanky alebo niektorého členského štátu. Srí Lanka a dotknutý členský štát uskutočnia predbežné vzájomné konzultácie o postupe pri nepravidelných letoch.ODDIEL IVTRANZITČlánok 12Zásady1. Členské štáty a Srí Lanka by mali obmedziť tranzit štátnych príslušníkov tretích krajín a osôb bez štátnej príslušnosti na prípady, keď nemožno takéto osoby vrátiť do cieľového štátu priamo.2. Srí Lanka umožní tranzit štátnych príslušníkov tretích krajín alebo osôb bez štátnej príslušnosti, ak o to členský štát požiada a členský štát povolí tranzit príslušníkov tretích krajín alebo osôb bez štátnej príslušnosti, ak o to Srí Lanka požiada, ak sú prechod cez možné iné štáty tranzitu a readmisia cieľovým štátom zaistené.3. Srí Lanka alebo členský štát môže zamietnuť tranzita) ak je štátny príslušník tretej krajiny alebo osoba bez štátnej príslušnosti vystavená riziku prenasledovania alebo môže byť vystavená trestnému stíhaniu alebo postihom v inom tranzitnom štáte alebo v cieľovom štáte, alebo jej môže hroziť trestné stíhanie na území dožiadaného štátu, alebob) z dôvodov verejného zdravia, vnútornej bezpečnosti, verejného poriadku alebo iných štátnych záujmov dožiadaného štátu.4. Srí Lanka alebo členský štát môžu zrušiť akékoľvek vydané oprávnenie, ak sa následne vyskytnú alebo zistia okolnosti uvedené v odseku 3, ktoré bránia tranzitu, alebo ak prechod cez možné tranzitné štáty alebo readmisia cieľovým štátom už nie sú zaistené.Článok 13Postup pri tranzite1. Žiadosť o tranzit musí byť predložená príslušným orgánom písomne a musí obsahovať tieto informácie:a) druh tranzitu (letecký, pozemný, námorný), možné ďalšie tranzitné štáty a plánované cieľové miesto;b) osobné údaje dotknutej osoby (napr. meno, priezvisko, rodné meno, prezývky alebo pseudonymy, dátum narodenia, pohlavie a — ak je to možné — miesto narodenia, štátnu príslušnosť, jazyk, druh a číslo cestovného dokladu);c) predpokladané miesto vstupu, čas prepravy a možné využitie sprievodu;d) vyhlásenie, že podľa názoru žiadajúceho členského štátu sú podmienky článku 12 ods. 2 splnené a že nie sú známe žiadne dôvody na zamiestnutie podľa článku 12 ods. 3.Spoločný formulár, ktorý sa má použiť na žiadosti o tranzit, tvorí prílohu 6 k tejto dohode.2. Dožiadaný štát písomne informuje bez zbytočného odkladu žiadajúci štát o prijatí, potvrdiac miesto vstupu a plánovaný čas prijatia, alebo informuje o zamietnutí prijatia a o dôvodoch tohto odmietnutia.3. Ak sa tranzit uskutočňuje letecky, osoba, ktorá sa má opätovne prijať, a možný sprievod je vyňatý z povinnosti získať letiskové tranzitné víza.4. Príslušné orgány dožiadaného štátu po vzájomných poradách pomáhajú pri tranzite, najmä zabezpečením dohľadu nad dotknutými osobami a poskytnutím vhodných opatrení na tento účel.ODDIEL VNÁKLADYČlánok 14Náklady na dopravu a tranzitBez toho, aby bolo dotknuté právo príslušných orgánov vymáhať náklady spojené s readmisiou od osoby, ktorá sa má opätovne prijať, alebo od tretích strán, všetky dopravné náklady vynaložené v súvislosti s readmisiou a tranzitom podľa tejto dohody až po hranicu cieľového štátu nesie žiadajúci štát.ODDIEL VIOCHRANA ÚDAJOV A DOLOŽKA NEOVPLYVŇOVANIAČlánok 15Ochrana údajovOznamovanie osobných údajov sa uskutoční, iba ak je takéto oznamovanie potrebné na vykonávanie tejto dohody príslušnými orgánmi Srí Lanky alebo členského štátu, podľa prípadu. Spracovanie osobných údajov a nakladanie s nimi v konkrétnom prípade podlieha vnútroštátnym právnym predpisom Srí Lanky, a ak dozor vykonáva príslušný orgán členského štátu, podlieha ustanoveniam smernice Európskeho parlamentu a Rady 95/46/ES z 24. októbra 1995 o ochrane fyzických osôb pri spracovaní osobných údajov a voľnom pohybe týchto údajov (Ú. v. ES L 281 z 23. novembra 1995, s. 31) a vnútroštátnym právnym predpisom toho členského štátu, ktoré boli prijaté podľa tejto smernice. Okrem toho sa uplatňujú tieto zásady:a) osobné údaje sa musia spracovať spravodlivo a zákonným spôsobom;b) osobné údaje sa musia zhromažďovať so špecifickým, výslovným a oprávneným účelom vykonávať túto dohodu a oznamujúci orgán ani prijímateľ ich nesmú ďalej spracovávať spôsobom nezlučiteľným s týmto účelom;c) osobné údaje musia byť primerané, relevantné a nie nadmerné z hľadiska účelu, na ktorý sa zbierajú a/alebo ďalej spracúvajú; oznamované osobné údaje sa môžu konkrétne týkať iba:- osobných údajov osoby, ktorá sa má prepraviť (napr. mená, priezviská, akékoľvek predchádzajúce mená, prezývky alebo pseudonymy, pohlavie, meno otca a matky, dátum a miesto narodenia, súčasnú a predchádzajúce štátne príslušnosti, posledné miesto bydliska, navštevované školy, rodinný stav, mená manžela/manželky a detí, ak sú, a mená iných príbuzných),- pasu, preukazov totožnosti alebo vodičského preukazu (číslo, doba platnosti, dátum vydania, vydávajúci orgán, miesto vydania),- zastávok a cestovnej trasy,- iných informácií potrebných na identifikáciu osoby, ktorá sa má prepraviť, alebo na preskúmanie požiadaviek readmisie podľa tejto dohody;d) osobné údaje musia byť presné a, ak je to potrebné, musia sa aktualizovať;e) osobné údaje sa musia uchovávať vo formáte, ktorý neumožňuje identifikáciu osôb podľa údajov dlhšie, ako je potrebné na účel, pre ktorý sa údaje zhromaždili alebo pre ktorý sa ďalej spracovávali;f) oznamujúci orgán aj prijímateľ prijmú všetky primerané kroky, aby riadne zabezpečili opravu, výmaz alebo zablokovanie osobných údajov, ak spracovanie nie je v súlade s ustanoveniami tohto článku, najmä preto, že údaje nie sú primerané, relevantné, presné alebo sú nadmerné z hľadiska účelu spracovania. To zahŕňa aj oznámenie každej opravy, výmazu alebo zablokovania druhej strane;g) na základe žiadosti prijímajúci orgán informuje oznamujúci orgán o použití oznámených údajov a o výsledkoch, ktoré boli tak získané;h) osobné údaje možno oznamovať len príslušným orgánom. Ďalšie oznamovanie iným orgánom vyžaduje predchádzajúci súhlas oznamujúceho orgánu;i) oznamujúce a prijímajúce orgány majú povinnosť urobiť písomný záznam o oznámení a prijatí osobných údajov.Článok 16Doložka o neovplyvňovaní1. Táto dohoda sa nedotýka práv, povinností a záväzkov Spoločenstva, členských štátov a Srí Lanky vyplývajúcich z medzinárodného práva, a najmä z akéhokoľvek uplatniteľného medzinárodného dohovoru alebo dohody, ktorých sú zmluvnými stranami.2. Nič v tejto dohode nebráni vráteniu osoby podľa iných formálnych alebo neformálnych dojednaní.ODDIEL VIIVYKONÁVANIE A UPLATŇOVANIEČlánok 17Spoločný readmisný výbor1. Zmluvné strany si poskytnú vzájomnú pomoc pri uplatňovaní a výklade tejto dohody. S týmto cieľom zriadia spoločný readmisný výbor (ďalej len "spoločný výbor"), ktorý bude mať úlohu najmä:a) sledovať uplatňovanie tejto dohody;b) rozhodovať o vykonávacích opatreniach potrebných na jej jednotné uplatňovanie;c) zabezpečovať pravidelnú výmenu informácií o vykonávacích protokoloch vypracovaných jednotlivými členskými štátmi a Srí Lankou podľa článku 18;d) rozhodovať o osobitných vykonávacích opatreniach, ktorých cieľom je usporiadané riadenie procesu navracania;e) rozhodovať o zmenách a doplneniach príloh k tejto dohode;f) odporúčať zmeny a doplnenia tejto dohody.2. Rozhodnutia spoločného výboru sú pre zmluvné strany záväzné.3. Spoločný výbor je zložený zo zástupcov Spoločenstva a Srí Lanky; Spoločenstvo zastupuje Komisia Európskych spoločenstiev, ktorej pomáhajú odborníci z členských štátov.4. Spoločný výbor sa stretáva, ak je to potrebné, na žiadosť jednej zo zmluvných strán.5. Spoločný výbor prijme svoj rokovací poriadok.Článok 18Vykonávacie protokoly1. Srí Lanka a členský štát môžu vypracovať vykonávacie protokoly, ktoré sa týkajú pravidiel o:a) určení príslušných orgánov, hraničných priechodov a výmene kontaktných bodov;b) podmienkach pre návraty so sprievodom, vrátane tranzitu štátnych príslušníkov tretích krajín a osôb bez štátnej príslušnosti so sprievodom;c) ďalších prostriedkoch a dokladoch okrem tých, ktoré sú uvedené v prílohách 1 až 4 k tejto dohode.2. Vykonávacie protokoly uvedené v odseku 1 nadobudnú platnosť až po ich oznámení spoločnému readmisnému výboru (článok 17).3. Srí Lanka súhlasí s uplatňovaním akéhokoľvek ustanovenia vykonávacieho protokolu vypracovaného spolu s jedným členským štátom aj vo vzťahu s akýmkoľvek iným členským štátom, ak ten o to požiada.Článok 19Vzťah k bilaterálnym readmisným dohodám alebo dojednaniam členských štátovUstanovenia tejto dohody majú prednosť pred ustanoveniami akejkoľvek bilaterálnej dohody alebo dojednania o readmisii osôb s neoprávneným pobytom, ktoré boli alebo môžu byť podľa článku 18 uzavreté medzi jednotlivými členskými štátmi a Srí Lankou, pokiaľ ustanovenia týchto dohôd alebo dojednaní sú nezlučiteľné s ustanoveniami tejto dohody.ODDIEL VIIIZÁVEREČNÉ USTANOVENIAČlánok 20Územné uplatňovanie1. Pokiaľ odsek 2 neustanovuje inak, táto dohoda sa uplatňuje na území, na ktoré sa vzťahuje Zmluva o založení Európskeho Spoločenstva, a na území Srí Lanky.2. Táto dohoda sa neuplatňuje na území Dánskeho kráľovstva.Článok 21Nadobudnutie platnosti, trvanie a ukončenie1. Túto dohodu ratifikujú alebo schvália zmluvné strany v súlade so svojimi príslušnými postupmi.2. Táto dohoda nadobúda platnosť prvý deň druhého mesiaca po dni, keď si zmluvné strany navzájom oznámili, že postupy uvedené v prvom odseku sú skončené.3. Táto zmluva sa uzatvára na dobu neurčitú.4. Každá zmluvná strana môže túto dohodu vypovedať oficiálnym oznámením druhej zmluvnej strane. Táto dohoda sa prestane uplatňovať šesť mesiacov po dni takéhoto oznámenia.Článok 22PrílohyPrílohy 1 až 7 tvoria neoddeliteľnú súčasť tejto dohody.V Kolombe štvrtého júna roku dvetisícštyri v dvanástich kópiách v dánskom, holandskom, anglickom, fínskom, francúzskom, nemeckom, gréckom, talianskom, portugalskom, španielskom, švédskom, sinhalskom a tamilskom jazyku, pričom všetky tieto znenia sú rovnako autentické.+++++ TIFF ++++++++++ TIFF +++++--------------------------------------------------PRÍLOHA 1Spoločný zoznam dokladov, ktorých predloženie sa považuje za dôkaz štátnej príslušnosti(Článok 2 ods. 1, článok 3 ods. 1, článok 4 ods. 1 a článok 5 ods. 1)- platné pasy alebo pasy, ktorým uplynula doba platnosti, akéhokoľvek druhu, vydané orgánmi členských štátov alebo Srí Lanky (štátne pasy, diplomatické pasy, služobné pasy a, ak je to uplatniteľné, skupinové pasy a náhradne pasy, vrátane detských pasov),- platné preukazy totožnosti akéhokoľvek druhu vydané orgánmi členských štátov alebo Srí Lanky (vrátane dočasných a provizórnych),- osvedčenia o občianstve alebo iné úradné doklady, ktoré uvádzajú občianstvo alebo sa o ňom zmieňujú,- služobné knižky a vojenské preukazy totožnosti,- námornícke registračné knižky a kapitánske služobné karty.--------------------------------------------------PRÍLOHA 2Spoločný zoznam dokumentov, ktorých predloženie sa považuje za dôkaz, z ktorého je na prvý pohľad zrejmá štátna príslušnosť(Článok 2 ods. 1, článok 3 ods. 1, článok 4 ods. 1 a článok 5 ods. 1)- fotokópie [*] akýchkoľvek dokladov uvedených v prílohe 1 k tejto dohode,- fotokópie [*] osvedčení o občianstve a iných úradných dokladov, ktoré uvádzajú občianstvo alebo sa o ňom zmieňujú,- vodičské preukazy alebo ich fotokópie [*],- rodné listy alebo ich fotokópie [*],- akékoľvek iné úradné dokumenty vydané orgánmi dožiadaného štátu,- zamestnanecké preukazy alebo ich fotokópie [*],- svedecké výpovede,- vyhlásenia dotknutej osoby a jazyk, ktorým hovorí.[*] Na účely tejto prílohy pojem "fotokópie" znamená fotokópie urobené oficiálne orgánmi Srí Lanky alebo členských štátov.--------------------------------------------------PRÍLOHA 3Spoločný zoznam dokladov, ktoré sa považujú za dôkaz podmienok na readmisiu štátnych príslušníkov tretích krajín a osôb bez štátnej príslušnosti(Článok 3 ods. 1, článok 5 ods. 1)- vstupné/výstupné pečiatky alebo podobné potvrdenie v cestovnom doklade dotknutej osoby alebo iný dôkaz vstupu/výstupu (napr. fotografický),- doklady úradnej povahy, ako napr. nemocničné lístky hospitalizovaných a nehospitalizovaných pacientov, ktoré jasne dokazujú, že dotknutá osoba sa zdržiavala na území dožiadaného štátu,- lístky a/alebo zoznamy cestujúcich z ciest lietadlom alebo loďou, ktoré preukazujú prítomnosť dotknutej osoby na území dožiadaného štátu,- informácie dokazujúce, že dotknutá osoba použila kuriérske služby alebo služby cestovnej kancelárie,- úradné vyhlásenia, najmä zamestnancov hraničných orgánov a iných svedkov, ktorí môžu dosvedčiť, že dotknutá osoba prekročila hranicu,- úradné vyhlásenie dotknutej osoby v súdnom alebo správnom konaní.--------------------------------------------------PRÍLOHA 4Spoločný zoznam dokumentov, ktoré sa považujú za dôkaz, z ktorého sú na prvý pohľad zrejmé podmienky na readmisiu štátnych príslušníkov tretích krajín a osôb bez štátnej príslušnosti(Článok 3 ods. 1, článok 5 ods. 1)- opis miesta a okolností, za ktorých bola dotknutá osoba zadržaná po vstupe na územie žiadajúceho štátu, ktorý vydal príslušný orgán tohto štátu,- informácie týkajúce sa totožnosti a/alebo pobytu osoby, ktoré poskytla medzinárodná organizácia,- správy/potvrdenie informácií rodinnými príslušníkmi,- dokumenty neoficiálnej povahy, napr. hotelové účty, zmluvy o prenájme áut alebo potvrdenia o použití kreditnej karty, ktoré jasne uvádzajú meno a číslo pasu alebo iný identifikačný znak dotknutej osoby.--------------------------------------------------PRÍLOHA 5[Štátny znak Srí Lanky]...............................................................................................................................................................................................................................(Miesto a dátum)(Názov žiadajúceho orgánu)Referenčné číslo ......................................................................................................................................komu......................................................................................(Názov prijímajúceho orgánu)ŽIADOSŤ O READMISIUpodľa článku 7 dohody zo 4. júna 2004 medzi Európskym Spoločenstvom a Srílanskou demokratickou socialistickou republikou o readmisii osôb s neoprávneným pobytomA. OSOBNÉ ÚDAJE1. Meno a priezvisko (podčiarknuť priezvisko):...............................................................................................2. Rodné priezvisko:...............................................................................................3. Dátum a miesto narodenia:...............................................................................................Fotografia4. Pohlavie a fyzický opis (výška, farba očí, zvláštne znamenia atď.):.........................................................................................................................................5. Meno otca a meno matky:....................................................................................................................................................6. Známy/-a tiež pod menom (predchádzajúce mená, prezývky alebo pseudonymy):..........................................................................................................................................................................7. Štátna príslušnosť a jazyk:.........................................................................................................................................................................8. Rodinný stav: ženatý/vydatá slobodný/á rozvedený/á ovdovený/áŽenatý/vydatá: meno manžela/manželky.......................................................................................................Mená a vek detí (ak sú)...................................................................................................................................................................................................9. Mená bratov/sestier a iných príbuzných:............................................................................................................................................................................10. Posledná adresa v žiadajúcom štáte:..........................................................................................................................................................................11. Predchádzajúca adresa v dožiadanom štáte:.......................................................................................................................................................................+++++ TIFF +++++12. Mená a časové obdobia navštevovaných škôl v dožiadanom štáte:.............................................................................................................................................................................13. Zamestnanie a mená predchádzajúcich zamestnávateľov v dožiadanom štáte (ak sú):.............................................................................................................................................................................14. Mená a adresy lekárov/zubárov v dožiadanom štáte:.......................................................................................................................................15. Dátum a prostriedky opustenia dožiadaného štátu (letecky — názov leteckej spoločnosti, meno lode atď.):.............................................................................................................................................................................16. Dátum a prostriedky vstupu do žiadajúceho štátu:.............................................................................................................................................................................B. špeciálne okolnosti týkajúce sa prepravovanej osoby1. Zdravotný stav(napr. možný odkaz na špeciálnu lekársku starostlivosť; latinský názov nákazlivej choroby):..........................................................................................................................................................................2. Označenie obzvlášť nebezpečnej osoby(napr. podozrivý zo závažného trestného činu; agresívne správanie):..........................................................................................................................................................................C. Priložené dôkazné prostriedky1. .......................................................................(číslo pasu)......................................................................................(dátum a miesto vydania)........................................................................(vydávajúci orgán)......................................................................................(dátum skončenia platnosti)2. ........................................................................(číslo preukazu totožnosti)......................................................................................(dátum a miesto vydania).......................................................................(vydávajúci orgán)......................................................................................(dátum skončenia platnosti)3. ........................................................................(číslo vodičského preukazu)......................................................................................(dátum a miesto vydania)........................................................................(vydávajúci orgán)......................................................................................(dátum skončenia platnosti)4. .........................................................................(číslo iného úradného dokladu)......................................................................................(dátum a miesto vydania)........................................................................(vydávajúci orgán)......................................................................................(dátum skončenia platnosti)D.Zistenia.....................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................(Podpis) (pečať/pečiatka)+++++ TIFF +++++--------------------------------------------------PRÍLOHA 6[Štátny znak Srí Lanky]........................................................................................................................................................................................................(Miesto a dátum)(Názov žiadajúceho orgánu)Referenčné číslo............................................................................komu.........................................................................................................................................................................................................(Názov prijímajúceho orgánu)ŽIADOSŤ O TRANZITpodľa článku 13 dohody zo 4. júna 2004 medziEurópskym Spoločenstvom a Srílanskou demokratickou socialistickou republikouo readmisii osôb s neoprávneným pobytomA. Osobné údaje1. Meno a priezvisko (podčiarknuť priezvisko):.............................................................2. Rodné priezvisko:.............................................................3. Dátum a miesto narodenia:.............................................................Fotografia4. Pohlavie a fyzický opis (výška, farba očí, zvláštne znamenia atď.):......................................................................................................................5. Známy/a tiež pod menom (predchádzajúce mená, prezývky alebo pseudonymy):....................................................................................................................................................6. Štátna príslušnosť a jazyk:....................................................................................................................................................7. Druh a číslo cestovného dokladu:.....................................................................................................................................................+++++ TIFF +++++B. Tranzit1. Druh tranzituleteckýnámornýpozemný2. Cieľový štát......................................................................................................................3. Možné ďalšie tranzitné štáty........................................................................................................................4. Navrhované miesto prekročenia hranice, dátum, čas prepravy a možný sprievod..........................................................................................................................................................................................................................................................................................................................................5. Prijatie zaručené v každom ďalšom tranzitnom štáte a v cieľovom štáte(Článok 12 ods. 2)ánonie6. Poznatky o dôvode zamiestnutia tranzitu(Článok 12 ods. 3)ánonieC. Zistenia.............................................................................................................................................................................................................................................................................................................................................................................................................................................................................................(Podpis) (pečať/pečiatka)+++++ TIFF +++++--------------------------------------------------PRÍLOHA 7[Štátny znak Srí Lanky]..................................................................................................................................................................................................................................................................................(Miesto a dátum)(Názov vydávajúceho orgánu)Ref. č.: .......................................................SPOLOČNÝ DOČASNÝ CESTOVNÝ DOKLADpodľa článkov 2 až 5 dohody zo 4. júna 2004 medziEurópskym Spoločenstvom a Srílanskou demokratickou socialistickou republikouo readmisii osôb s neoprávneným pobytomPlatný na jednu cestu späť od ............................................................ (vydávajúci štát)do............................................................................................. (miesto vstupu/cieľová krajina)cez ............................................................................................................. (tranzitné krajiny)preprava uskutočnená......................................................................... (spôsob prepravy)odchod dňa.............................................................................................. (dátum odchodu)Tento cestovný doklad stráca platnosť ................... a musí sa predložiť imigračnému úradníkovi po príchode do .................................................................................(miesto vstupu/cieľová krajina).Priezvisko.................................................................................Meno............................................................................................................Dátum narodenia.............................................................................................Miesto narodenia.............................................................................................Pohlavie ...../.................................................................................................Výška...............................................................................................................Zvláštne znamenia (ak sú)........................................................................................FotografiadržiteľaČíslo preukazu totožnosti ... ...............................................................Štátna príslušnosť...........................................................................................PodpisAdresa na Srí Lanke (ak je známa)........................................................................................................................... ..................................................................................................................................................................................................................................................................................................................................................(Podpis) (pečať/pečiatka)+++++ TIFF +++++--------------------------------------------------


type: other

jurisdiction: US

text: b' OFFICE OF\n THE INSPECTOR GENERAL\n\nSOCIAL SECURITY ADMINISTRATION\n\n\n CONTROLS OVER THE\n SOCIAL SECURITY ADMINISTRATION\xe2\x80\x99S\n TRANSIT SUBSIDY PROGRAM\n\n\n September 2008 A-02-08-18050\n\n\n\n\nAUDIT REPORT\n\x0c Mission\nBy conducting independent and objective audits, evaluations and investigations,\nwe inspire public confidence in the integrity and security of SSA\xe2\x80\x99s programs and\noperations and protect them against fraud, waste and abuse. We provide timely,\nuseful and reliable information and advice to Administration officials, Congress\nand the public.\n\n Authority\nThe Inspector General Act created independent audit and investigative units,\ncalled the Office of Inspector General (OIG). The mission of the OIG, as spelled\nout in the Act, is to:\n\n \xef\x81\xad Conduct and supervise independent and objective audits and\n investigations relating to agency programs and operations.\n \xef\x81\xad Promote economy, effectiveness, and efficiency within the agency.\n \xef\x81\xad Prevent and detect fraud, waste, and abuse in agency programs and\n operations.\n \xef\x81\xad Review and make recommendations regarding existing and proposed\n legislation and regulations relating to agency programs and operations.\n \xef\x81\xad Keep the agency head and the Congress fully and currently informed of\n problems in agency programs and operations.\n\n To ensure objectivity, the IG Act empowers the IG with:\n\n \xef\x81\xad Independence to determine what reviews to perform.\n \xef\x81\xad Access to all information necessary for the reviews.\n \xef\x81\xad Authority to publish findings and recommendations based on the reviews.\n\n Vision\nWe strive for continual improvement in SSA\xe2\x80\x99s programs, operations and\nmanagement by proactively seeking new ways to prevent and deter fraud, waste\nand abuse. We commit to integrity and excellence by supporting an environment\nthat provides a valuable public service while encouraging employee development\nand retention and fostering diversity and innovation.\n\x0c SOCIAL SECURITY\nMEMORANDUM\n\nDate: September 11, 1008 Refer To:\n\nTo: The Commissioner\n\nFrom: Inspector General\n\nSubject: Controls over the Social Security Administration\xe2\x80\x99s Transit Subsidy Program\n (A-02-08-18050)\n\n\n OBJECTIVE\n\n Our objectives were to (1) determine whether the Social Security Administration\xe2\x80\x99s (SSA)\n Transit Subsidy Program policies and procedures were in compliance with applicable\n laws, regulations and policies; (2) verify employee compliance with the Program\xe2\x80\x99s\n participation requirements; and (3) ensure the appropriate internal controls were in\n place and operating as intended.\n\n BACKGROUND\n The Federal Employees Clean Air Incentives Act, 1 designed to improve air quality,\n reduce traffic congestion, and expand commuting alternatives, provides for the\n establishment of programs to encourage Federal employees to commute by means\n other than single-occupancy motor vehicles. Pursuant to this Act, the Federal transit\n benefits programs were established by Presidential Executive Order, 2 \xe2\x80\x9c. . . to reduce\n Federal employees\xe2\x80\x99 contribution to traffic congestion and air pollution and to expand\n their commuting alternatives.\xe2\x80\x9d The Executive Order required that all Federal agencies\n implement a transportation fringe-benefit program no later than October 1, 2000.\n\n SSA has two Transit Subsidy Programs for employees who use mass transportation:\n the Mass Transportation Subsidy Program (MTSP), for which most employees are\n eligible, and the National Capital Region Transit Subsidy Program (NCRTSP), which is\n offered only to employees who work in Washington, D.C., and its suburbs.\n\n\n\n\n 1\n Pub. L. No. 103-172.\n 2\n Executive Order 13150, April 2000.\n\x0cPage 2 - The Commissioner\n\n\nTransit Subsidy Program Participant Responsibilities\n\nTo be eligible for the Transit Subsidy Programs, SSA employees must currently use, or\nagree to use, mass transportation or a commuter highway vehicle such as a vanpool to\ncommute to and/or from work on a regular basis. Regular monthly use does not\nnecessarily mean every day of the work week; an employee, for example, might\nregularly take mass transit 3 days a week and still be eligible for a monthly subsidy.\nHowever, regular use does not include periodic or sporadic use of mass transportation.\nThe employee\'s monthly transit expenses must at least equal the amount of the subsidy\n 3\nreceived.\n\nEmployees must use the transit subsidies for their own transportation costs to and/or\nfrom work and must relinquish any parking passes for a reserved, assigned, or car pool\nspace or a parking subsidy issued by SSA or any other Federal agency, before receipt\nof the transit subsidy. Also, employees must report changes to actual expenses, office\nassignment, transportation mode, or home address and must return unused subsidies\nto the Agency. Subsidies can only be used for the month for which they are received\nand may not be used for more than 1 month\'s subsidy at a time. Failure to abide by the\ntransit program requirements, including providing false or fraudulent information to\nobtain transit benefits, may be grounds for disciplinary action up to and including\n 4\ndismissal, along with civil and criminal penalties and other criminal action\n\nTo receive the transit subsidy, SSA employees must complete a Transit Subsidy\nApplication and Expense Worksheet, which details the employee\xe2\x80\x99s transportation costs.\nSupervisors review and sign the Applications and Worksheets to ensure they are\nlegible, accurately completed and include the employee\xe2\x80\x99s signature. 5\n\nTransit Subsidy Program Management\n\nSSA\xe2\x80\x99s National Transit Coordinator (NTC) located at SSA\xe2\x80\x99s Headquarters in Baltimore,\nMaryland, coordinates and oversees the administration of the Agency\xe2\x80\x99s Transit Subsidy\nPrograms nationwide, working primarily through Regional/Component Transit\nCoordinators (RTC). The NTC also serves as the primary liaison with the Department\nof Transportation (DOT). SSA contracted with DOT to purchase and distribute the\ntransit subsidies to SSA\xe2\x80\x99s employees. Lastly, Headquarters maintains the SSA Transit\nDatabase System, with input from the RTCs and local transit coordinators, which\nincludes data for every SSA employee who is or was a Transit Subsidy Program\nparticipant in either the MTSP or NCRTSP.\n\nThe RTCs coordinate the transit programs for all eligible employees who are serviced\nby the RTC\xe2\x80\x99s Servicing Personnel Office. They provide the transit subsidies to the\n\n3\n SSA Transit Subsidy Program Coordinator\xe2\x80\x99s Handbook.\n4\n Id.\n\n5\n Id.\n\x0cPage 3 - The Commissioner\n\n\nparticipants in their region or component through local transit coordinators. The\nsubsidies are issued as transit vouchers, which look like debit cards, or paper vouchers,\nwhich look like paper checks. DOT contracts with vendors to produce and mail the\ncards and/or checks to SSA\xe2\x80\x99s RTCs.\n\nEach card and check holds a specific dollar amount. Each participant is provided,\ngenerally quarterly, enough cards or checks to equal the amount of transit subsidies for\nwhich they are eligible for the upcoming quarter. When participants are provided their\nallotment of cards or checks, they must sign a sheet acknowledging receipt of the\nsubsidy and affirming their information, including their transportation costs, has not\nchanged.\n\nReport on Government-wide Transit Subsidy Misuse\n\nOn April 24, 2007, the Government Accountability Office (GAO) issued a report that\n 6\ndetailed instances of fraud and abuse of transit subsidies by Federal employees.\nExamples of the abuse uncovered by GAO included an employee who drove to work,\nparked for free in agency-provided parking, and still collected $105 per month in transit\nsubsidy vouchers, most of which he sold on the Internet. Other Federal employees\nwere also selling their benefits on the Internet. Additionally, some former Federal\nemployees continued receiving transit benefits after they separated from their agencies.\n\nIn May 2007, the Office of Management and Budget (OMB) requested that all Federal\nagencies implement specific internal controls to preserve the transit program\xe2\x80\x99s benefits\nwhile eliminating the opportunity for fraud, waste, and abuse. 7 The internal controls\nrequested by OMB included a breakdown of commuting costs for each applicant and\nindependent verification of eligibility, as well as checking applicants against parking\nbenefit records and including steps to ensure individuals are removed from the benefits\nprogram when they leave the Agency\xe2\x80\x99s employment.\n\nSSA stated in a June 26, 2007 response to OMB\xe2\x80\x99s May 2007 memorandum that it was\nin compliance with all but one of the internal controls OMB requested. SSA explained\nthat it would modify its procedures to address the one outstanding control request by\nOMB\xe2\x80\x94a process to ensure that employees leaving employment at SSA were removed\nfrom the Transit Subsidy Program.\n\nWe reviewed the procedures and internal controls SSA created for the two Transit\nSubsidy Programs. Specifically, we determined whether the internal controls required\nby OMB for Transit Subsidy Programs were established and working as intended. To\naccomplish this objective, we reviewed a sample of 50 transit subsidy participants from\nthe population of 11,335 nation-wide MTSP and NCRTSP participants who received\n\n6\n GAO, Federal Transit Benefits Program: Ineffective Controls Result in Fraud and Abuse by Federal\nWorkers (GAO-07-724T), April 24, 2007.\n\n7\n OMB M-07-15, Memorandum for the Heads of Departments and Agencies: Federal Transit Benefits\nProgram, May 14, 2007.\n\x0cPage 4 - The Commissioner\n\n\nsubsidies totaling over $7 million between August 1, 2006 and July 31, 2007. We\nreviewed the completeness and accuracy of the participants\xe2\x80\x99 Transit Subsidy\nApplications, Expense Worksheets, and Revocation Forms, if applicable. We reviewed\nthe employees\xe2\x80\x99 leave use and whether they had a change of duty station during our\naudit period to ensure they met eligibility requirements. We also reviewed whether\nthese employees were using Government-provided parking while receiving transit\nsubsidies. Lastly, we compared the entire database of 11,335 participants to SSA\npersonnel data to determine whether the Transit Subsidy Program participants were in\nfact SSA employees and eligible for the subsidies they received when they received\nthem.\n\nRESULTS OF REVIEW\nWe found SSA\xe2\x80\x99s Transit Subsidy Programs were designed in accordance with\nExecutive Order 13150, and the Agency\xe2\x80\x99s related procedures addressed the internal\ncontrols requested by OMB. While we identified some errors and omissions in\nemployees\xe2\x80\x99 Transit Subsidy Applications and Expense Worksheets, generally the\nemployees we reviewed were eligible for the subsidies they received, completed the\nnecessary documentation detailing their transportation expenses, and had their\nApplications and Expense Worksheets reviewed by their supervisors.\n\nWhile SSA addressed the controls requested by OMB, some improvements to the\nTransit Subsidy Programs are possible. A few of the Transit Subsidy Applications and\nExpense Worksheets we reviewed did not have the appropriate signatures, and we\nidentified 34 Transit Subsidy Program participants who received transit subsidies they\nwere not entitled to and did not return. Also, SSA was unable to document that all\ntransit subsidy participants were routinely compared to Agency parking records to\nensure participants were not using a private vehicle to commute to work, rather than\nmass transportation.\n\nLastly, while SSA had the controls requested by OMB in place at the time of our audit,\nthere was an inherent risk of misuse in the Transit Subsidy Program because some\nvulnerabilities are outside the scope of the Agency\xe2\x80\x99s span of control\xe2\x80\x94especially as it\nrelates to subsidy recipients who continue to drive or carpool and use private parking\nservices. The Agency does not have access to the data it would need to identify\nparticipants parking off government property and/or in private parking lots. Accordingly,\nthe Agency has a limited ability to implement detection controls. However,\nopportunities exist to implement complementary controls, such as preventative and/or\ndeterrent controls. Generally these controls include the employee acknowledging that\nviolation of the rules will result in certain penalties or disciplinary action.\n\x0cPage 5 - The Commissioner\n\n\nTRANSIT SUBSIDY PROGRAM INTERNAL CONTROLS\n\nTransit Subsidy Documentation\n\nIn reviewing the Transit Subsidy Applications and Worksheets, we identified\n17 documents that were completed but lacked the signatures of the participants and/or\nsupervisors. In two of these cases, neither the participant nor supervisor signed\nrequired documents. Eight documents were missing the supervisor\xe2\x80\x99s signature, and\nseven were missing the employee\xe2\x80\x99s signature. We also found one participant made\nsome minor calculation errors on his Expense Worksheet that did not affect the transit\nbenefit amount received since the participant\xe2\x80\x99s actual costs were well over the\nmaximum benefit amount provided by SSA.\n\nGovernment-Provided Parking Privileges\n\nOMB requested that all agencies check Transit Subsidy Program participants against\nparking benefit records. Generally, participants should be checked against parking\nrecords since the use of Government-provided parking, subsidized or freely provided,\nwould indicate that a Transit Subsidy Program participant was using a private vehicle to\ncommute to work, rather than mass transportation. SSA reported that the\n50 participants we reviewed did not use parking provided by the Agency. However, not\nall of the RTCs maintained evidence documenting that routine reviews occurred.\n\nWhile we requested evidence from all the RTCs that documented the steps they\ncompleted to ensure the 50 participants were not also receiving parking privileges, we\nonly received such evidence for the participants who worked at SSA\xe2\x80\x99s Headquarters in\nBaltimore and in two other locations. The NTC at Headquarters reported that the\nAgency maintained a database of employees with parking passes at the site and\nregularly compared transit subsidy participants\xe2\x80\x99 names to these records. The names of\nHeadquarters employees applying for or renewing their parking passes were checked\nagainst the Transit Database System to ensure they were not also receiving transit\nsubsidies. Records were maintained, and shared with us, that documented the checks\nwere being completed routinely. We reviewed the documentation and concluded that\nSSA\xe2\x80\x99s Headquarters had a control in place to ensure Headquarters employees\nparticipating in the Transit Subsidy Programs were not also receiving Agency-provided\nparking privileges. A similar process of comparing a list of current transit subsidy\nparticipants with available parking lists was in place at two other locations. We received\nand reviewed supporting documents to conclude that the transit subsidy participants\nwere not receiving Government sponsored parking benefits.\n\nWhile most RTCs outside of Headquarters did not provide us evidence, they reported\nthat they verified whether participants were receiving parking privileges in several\ndifferent ways. For example, they reported checking transit subsidy applications\nagainst daily parking logs or relying on their personal knowledge of employees\xe2\x80\x99\ncommutes. Some locations provided preferred parking on a rotational basis, and RTCs\nfor these locations reported taking transit subsidy participants off the preferred parking\n\x0cPage 6 - The Commissioner\n\n\nrotation. Still, these RTCs were unable to provide documentation detailing these\nactivities. The lack of documentation provided prevented us from testing or confirming\nthe RTC\xe2\x80\x99s assertions that the participants were not receiving parking privileges.\n\nOther Controls\n\nThe TransitChek cards or paper vouchers provided to Transit Subsidy Program\nparticipants have some built-in controls to help ensure the cards are only used for\nappropriate transportation expenses. For example, the debit cards are programmed to\nbe denied if the vendor attempting to use the card for payment is not a legitimate\ntransportation vendor. The paper vouchers include the statement, \xe2\x80\x9cPay to the order of\na participating transit operator only.\xe2\x80\x9d Per this statement, only participating transit\noperators are eligible to deposit the vouchers for reimbursement into their bank\naccounts. Also, the paper vouchers cannot be cashed, nor can cash change be given if\nthe entire amount of the voucher is not used.\n\nPer DOT staff, the control on the debit cards can be manually passed if a vendor\nmanually forces the transaction through its debit machine, as opposed to swiping the\ndebit card through it. The vendor who produces the card for DOT receives a report\nwhen a card is manually processed to elude the built-in control, though DOT had never\nrequested to review these reports. Since DOT does not receive the reports, SSA is\nalso not receiving the reports related to any ineligible manual transactions for cards\nprovided to SSA Transit Subsidy Program participants.\n\nLastly, the controls built in the debit cards do not prevent a participant in one region\nfrom using a debit card in another region. A participant who works in the New York City\nmetropolitan region could use his debit card in the Chicago metropolitan region (or pass\nit to someone to use in a different region). As long as the card was used for a valid\ntransportation related expense, the transaction would not be denied, nor would a report\nbe generated with the vendor.\n\nTRANSIT SUBSIDY REMITTANCES\n\nIn our review of 50 participants, we identified 1 person who received 1 month of transit\nbenefit ($60) to which he was not entitled. The employee, now retired, had received a\ntransit subsidy for a month during which he was on leave. We found no indication this\nsubsidy was returned.\n\nHaving identified an individual who received subsidies he was not entitled to within the\n50 cases we reviewed, we completed a broader test to determine whether ineligible\nindividuals received transit subsidies from SSA. We compared the 11,335 employees\nin SSA\xe2\x80\x99s Transit Subsidy Programs between August 1, 2006 and July 31, 2007 to a list\nof all of SSA\xe2\x80\x99s employees. From this data match, we identified 34 Transit Subsidy\nProgram participants who received a total of $3,530 in subsidies they were not entitled\nto and did not return. These participants were generally provided benefits for an\nupcoming quarter, or 3 month\xe2\x80\x99s worth of subsidies, but they separated from the Agency\n\x0cPage 7 - The Commissioner\n\n\nbefore the end of the quarter and did not return the balance of the allowance. Some of\nthe participants were temporary employees, typically summer interns, who received the\nentire 3-month benefit but were only with the Agency, and entitled to the benefit, for\n2 months.\n\nSSA had implemented a change to its procedures at the end of our audit period to\naddress this issue. In response to OMB\xe2\x80\x99s request for controls in the program, SSA\nadded steps to its Form SSA-2324, Clearance Of Employees For Separation Or\nTransfer, to remove departing employees from the Transit Subsidy Program and return\nany transit subsidy funds, if applicable. SSA also updated its Transit Subsidy Program\nwebsite and documentation, including the SSA Transit Subsidy Program Coordinator\'s\nHandbook, to include the procedures related to departing employees. Supervisors are\ninstructed to check with the RTCs to verify that departing employees have returned any\nunused transit subsidies or have reimbursed the Agency for them. If not, the employee\nmust be referred to the Office of Finance to eliminate the debt.\n\nTRANSIT SUBSIDY PROGRAM RISKS\n\nEven though SSA has a number of controls in place to ensure transit subsidies are\nappropriately used by eligible participants, a risk of misuse still exists in the programs.\nFor example, while participants may assert they are commuting to work on public\ntransportation paid for with the subsidy, they may not actually do so for some or all of\nthe days for which they were provided a transit subsidy. Also, a participant can accept\nthe transit subsidy and drive or be driven to work. This may be more easily done in\nlarger offices and/or larger metropolitan areas where supervisors may not witness how\nparticipants actually get to work. While SSA may compare participants to lists of those\nwho receive Agency-provided parking, SSA cannot match participants to those who\ndrive and park on local streets or those who use private parking lots near their places of\nwork.\n\nA recent investigation by our Office of Investigations (OI) demonstrated the risk still\ninherent in the Transit Subsidy Program. As a result of a complaint brought to the OIG\nby an individual who witnessed transit subsidy participants using private garage\nservices, OI initiated an investigation. It is estimated that 105 of the 342 transit subsidy\nparticipants at the location in question had monthly parking garage contracts with the\nprivately owned and managed parking garage at the worksite. It appears that these\nemployees were driving their private cars to work and not using the subsidies for public\ntransportation needed to get to and from work, so they were not entitled to receive a\ntransit subsidy.\n\nFive of the 105 employees were interviewed by OI and admitted to knowingly abusing\ntheir transit subsidies. These employees reported saving the transit subsidies they\nwere provided for possible future use, using them on occasion, or giving the subsidy\naway to family members. While the parking garage was located in the same building as\nthe SSA office, the garage was privately managed, and SSA did not have access to its\nrecords.\n\x0cPage 8 - The Commissioner\n\n\nThis investigation demonstrated employee noncompliance with the program\nrequirements, as well as the Program\xe2\x80\x99s inherent susceptibility to misuse. Much of the\ndata that would inform the Agency of misuse is outside SSA\xe2\x80\x99s control. To that end, the\nAgency has a limited ability to implement detection controls. However, there are\noptions for implementing complementary controls such as preventative/deterrent\ncontrols. Generally, these controls include the employee acknowledging that violation\nof the rules will result in certain penalties or disciplinary action.\n\nIn reviewing the Agency\xe2\x80\x99s Transit Subsidy Program, we found limited language related\nto prescribed disciplinary action for violating program rules. The Transit Subsidy\nApplication contains a section entitled \xe2\x80\x9cCertification by Applicant\xe2\x80\x9d above the applicant\xe2\x80\x99s\nsignature line. This section states,\n\n\xe2\x80\xa2 By signing and submitting this application, I certify that I am an eligible SSA\n employee and the information I have furnished is accurate and truthful to the best of\n my knowledge and belief. I agree to abide by the rules and requirements of the\n Mass Transportation Subsidy Program and notify my immediate supervisor if any\n information supplied above should change.\n\n\xe2\x80\xa2 Verified falsification of an application or failure to report a change in eligibility will\n result in immediate termination from the Program and may subject the employee to\n disciplinary action.\n\n\xe2\x80\xa2 Upon receipt, voucher/fare media become the property and responsibility of the\n authorized participant and can only be used by the participant. SSA will not provide\n a refund, replacement, redemption, or exchange of any kind for any reason or\n circumstance. Unused vouchers must be returned. It they cannot be returned, the\n Agency must be reimbursed. Debt collection procedures will be initiated against\n those employees who do not return unused vouchers or reimburse the Agency.\n\nThe application does not include a statement acknowledging the consequences of\nmisusing transit subsidies. Additionally, SSA\xe2\x80\x99s Transit Coordinator\xe2\x80\x99s Handbook does\nnot specifically define transit \xe2\x80\x9cmisuse\xe2\x80\x9d and has limited language on the consequences\nof \xe2\x80\x9cmisuse.\xe2\x80\x9d Specifically, the Employee Responsibility Letter, which is included as an\nappendix in the Transit Coordinator\xe2\x80\x99s Handbook, states \xe2\x80\x9cAny misuse of your transit\nbenefits may be grounds for disciplinary action up to and including dismissal, along with\ncivil and criminal penalties and other criminal action.\xe2\x80\x9d The Transit Coordinators\'\nHandbook does not mandate that employees receive, or acknowledge receipt of, this\nletter and it does not include a signature line for employees.\n\nSSA staff reported that disciplinary actions for the misuse of Transit Subsidy Program\nbenefits are administered locally and are based upon supervisors\' discretion depending\non the circumstances. In an environment with an inherent risk of misuse, the absence\nof clear disciplinary guidelines and procedures further impairs the Agency\xe2\x80\x99s ability to\ndeter such behavior.\n\x0cPage 9 - The Commissioner\n\n\nCONCLUSION AND RECOMMENDATIONS\nWhile SSA had many controls in place, we found that some participants and\nsupervisors did not sign required documentation, and SSA reported using various\nmethods to determine whether participants were also receiving Agency-provided\nparking subsidies. Also, we identified some individuals who received subsidies for\nwhich they were not entitled. However, SSA implemented a change to its procedures at\nthe end of our audit period to help ensure employees leaving the Agency returned\nunused portions of transit subsidies. Lastly, we determined that even with the controls\nSSA has in place, there is an inherent risk of misuse in the program. The data that\nwould inform the Agency of violations is often outside the control of the Agency. To that\nend, the Agency has limited ability to detect such violations and it must take the\nnecessary steps to ensure that preventative controls are in place to deter such\nactivities, and, once violations are detected, appropriate corrective action taken. Based\non these findings, we recommend that SSA:\n\n1. Provide annual reminders to employees and to supervisors on the responsibilities\n under the transit subsidy benefit programs, including the requirement for supervisors\n to review and sign all appropriate documentation.\n\n2. Develop standardized procedures to ensure transit subsidy participants do not also\n use Agency-provided parking privileges.\n\n3. Coordinate with DOT to receive vendor reports related to ineligible manual\n transactions for TransitChek cards provided to SSA employees.\n\n4. Confirm and retrieve transit subsidy funds due from the 34 individuals identified in\n this report.\n\n5. Periodically match the database of Transit Subsidy Program participants to\n personnel records to ensure that departing employees return subsidies for which\n they are ineligible.\n\n6. Develop and implement appropriate procedures that define transit subsidy misuse\n and corresponding disciplinary actions that will be taken if misuse occurs.\n\n7. Update the Transit Subsidy Application\xe2\x80\x99s \xe2\x80\x9cCertification by Applicant\xe2\x80\x9d section to\n include an acknowledgement that misuse of transit subsidies will result in the\n disciplinary action developed to implement the previous recommendation.\n\x0cPage 10 - The Commissioner\n\n\nAGENCY COMMENTS\nThe agency agreed with all of our recommendations. The Agency provided a technical\ncomment, which was incorporated into the report. The Agency\xe2\x80\x99s comments are\nincluded in Appendix C.\n\n\n\n\n Patrick P. O\xe2\x80\x99Carroll, Jr.\n\x0c Appendices\nAPPENDIX A \xe2\x80\x93 Acronyms\nAPPENDIX B \xe2\x80\x93 Scope and Methodology\nAPPENDIX C \xe2\x80\x93 Agency Comments\nAPPENDIX D \xe2\x80\x93 OIG Contacts and Staff Acknowledgments\n\x0c Appendix A\n\nAcronyms\nDOT Department of Transportation\nGAO Government Accountability Office\nMTSP Mass Transportation Subsidy Program\nNCRTSP National Capital Region Transit Subsidy Program\nNTC National Transit Coordinator\nOI Office of Investigations\nOIG Office of the Inspector General\nOMB Office of Management and Budget\nPub. L. No. Public Law Number\nRTC Regional/Component Transit Coordinator\nSSA Social Security Administration\n\x0c Appendix B\n\nScope and Methodology\nTo accomplish our objectives, we:\n\n\xe2\x80\xa2 Reviewed relevant legislation, as well as the Social Security Administration\xe2\x80\x99s (SSA)\n regulations, rules, policies, procedures, and relevant reports regarding SSA\xe2\x80\x99s Transit\n Subsidy Programs, including:\n\n \xef\x83\x98 Government Accountability Office, Federal Transit Benefits Program: Ineffective\n Controls Result in Fraud and Abuse by Federal Workers (GAO-07-724T),\n April 24, 2007.\n\n \xef\x83\x98 Federal Register / Vol. 65, No. 81 / Wednesday, April 26, 2000 / Presidential\n Documents page 24613.\n\n \xef\x83\x98 Transportation Equity Act for the 21st Century (Pub. L. No. 105\xe2\x80\x93178).\n\n \xef\x83\x98 Section 1911 of the Energy Policy Act of 1992 (Pub. L. No. 102\xe2\x80\x93486).\n\n \xef\x83\x98 Section 531(a)(1) of the Deficit Reduction Act of 1984 (Pub. L. No. 98-369).\n\n \xef\x83\x98 Federal Employees Clean Air Incentives Act (Pub. L. No. 103\xe2\x80\x93172).\n\n \xef\x83\x98 SSA Transit Coordinators\' Handbook.\n\n\xe2\x80\xa2 Compared SSA\'s transit policies and written procedures with Executive Order 13150\n and with Department of Transportation guidance for Transit Subsidy Programs.\n\n\xe2\x80\xa2 Reviewed and confirmed that the participation requirements as indicated by the\n Office of Management and Budget were met.\n\n\xe2\x80\xa2 Obtained a data file of SSA transit data containing records for 11,335 participants in\n the Mass Transportation Subsidy Program or the National Capital Region Transit\n Subsidy Program between August 1, 2006 and July 31, 2007.\n\n\xe2\x80\xa2 Compared the data file of Transit Subsidy Program participants with the available\n human resource personnel file of all SSA employees.\n\n\xe2\x80\xa2 Reviewed a random sample of 50 employee transit applications, expense\n worksheets, time sheets and personnel data to determine compliance with\n participation requirements. Also, we requested documentation of the data used\n and/or tests completed by SSA to ensure the 50 employees were also not receiving\n\n\n B-1\n\x0c Government-provided parking privileges. While SSA provided documentation\n demonstrating that such tests occurred for employees at its Headquarters complex\n in Baltimore and two other locations, it did not provide evidence for employees who\n worked at most other locations. Accordingly, we were unable to independently verify\n if Transit Subsidy Program participants who worked at most locations were properly\n excluded from Government-provided parking.\n\n\xe2\x80\xa2 Determined whether employees received subsidies for which they were not eligible.\n\n\xe2\x80\xa2 Reviewed the Office of the Inspector General, Office of Investigations\xe2\x80\x99 Report of\n Investigation related to transit subsidy violations.\n\n\xe2\x80\xa2 Reviewed SSA\xe2\x80\x99s controls and the results of a recent Office of Investigations\xe2\x80\x99\n investigation to identify an inherent risk of misuse in the Transit Subsidy Program.\n While SSA had controls in place over the Program, the controls did not address and\n could not prevent employees from accepting transit subsidies and also routinely\n commuting to work in a private vehicle. While SSA\xe2\x80\x99s controls were established to\n identify employees receiving transit subsidies and parking privileges at the same\n time, 1 which would indicate the use of a private vehicle, SSA did not have access to\n records of private parking services and could not systematically identify those who\n drove to work and parked near the office (but off Agency property). While the\n results of a recent Office of Investigations\xe2\x80\x99 investigation identified this condition at\n one locale, the extent of this type of misuse is unknown. We were unable to\n develop tests that would quantify the extent of this type of misuse.\n\nWe found data used for this audit were sufficiently reliable to meet our objectives. The\nentities audited were the Offices of Human Resources and Budget, Finance and\nManagement. We performed our work at the New York Audit Division, New York,\nNew York, from March through May 2008. We conducted our audit in accordance with\ngenerally accepted government auditing standards. Those standards require that we\nplan and perform the audit to obtain sufficient, appropriate evidence to provide a\nreasonable basis for our findings and conclusions based on our audit objectives. We\nbelieve that the evidence obtained provides a reasonable basis for our findings and\nconclusions based on our audit objectives.\n\n\n\n\n1\n While we requested evidence from SSA that documented the steps completed to ensure the\n50 participants we reviewed were also not receiving parking privileges, we only received such evidence for\nthe participants who worked at SSA\xe2\x80\x99s Headquarters in Baltimore, and two other locations. While most\nSSA staff outside Headquarters did not provide us evidence, they reported that they verified whether\nparticipants were receiving parking privileges. However, we were unable to verify their claims due to the\nabsence of evidence.\n\n\n B-2\n\x0c Appendix C\n\nAgency Comments\n\x0c SOCIAL SECURITY\n\nMEMORANDUM\n\n\nDate: August 27, 2008 Refer To: S1J-3\n\nTo: Patrick P. O\'Carroll, Jr.\n Inspector General\n\nFrom: David V. Foster /s/\n Executive Counselor to the Commissioner\n\nSubject: Office of the Inspector General (OIG) Draft Report, "Controls over the Social Security\n Administration\xe2\x80\x99s Transit Subsidy Program\xe2\x80\x9d (A-02-08-18050)\xe2\x80\x94INFORMATION\n\n\n We appreciate OIG\xe2\x80\x99s efforts in conducting this review. Our response to the report findings and\n recommendations is attached.\n\n Please let me know if we can be of further assistance. Please direct staff inquiries to\n Ms. Candace Skurnik, Director, Audit Management and Liaison Staff, at extension 54636.\n\n Attachment:\n SSA Response\n\n\n\n\n C-1\n\x0cCOMMENTS ON THE OFFICE OF THE INSPECTOR GENERAL (OIG) DRAFT\nREPORT, "CONTROLS OVER THE SOCIAL SECURITY ADMINISTRATION\xe2\x80\x99S (SSA)\nTRANSIT SUBSIDY PROGRAM" (A-02-08-18050)\n\nThank you for the opportunity to review and comment on the draft report. We concur with the\nproposed draft. We believe that the report correctly identifies possible areas for abuse and\nbelieve the recommendations will improve and strengthen the integrity of our Transit Subsidy\nProgram. We fully support the efforts to control and eliminate incidences of abuse in this\nprogram. While several transit coordinators at the component and regional levels have\nprocedures in place, we recognize the need for improvement, consistency, and enforcement. Our\nresponses to the specific recommendations are as follows.\n\nRecommendation 1\n\nProvide annual reminders to employees and to supervisors on the responsibilities under the\ntransit subsidy benefit programs, including the requirement for supervisors to review and sign all\nappropriate documentation.\n\nComment\n\nWe agree. We will develop and distribute an agency-wide annual reminder for participants and\nsupervisors by November 2008. While we have completed this at the component level, we will\nensure that all participants receive one reminder each year. For example, the Office of Disability\nAdjudication and Review (ODAR), has implemented this recommendation with respect to all of\nits eligible employees and their supervisors. On May 28, 2008, ODAR released a memorandum\nto employees and a separate memorandum to supervisors as a reminder of the employee\nresponsibilities under the transit subsidy benefit program. Additionally, ODAR is planning to\nprovide biannual reminders in early November and May of each year.\n\nRecommendation 2\n\nDevelop standardized procedures to ensure transit subsidy participants do not also use agency-\nprovided parking privileges.\n\nComment\n\nWe agree, where parking privileges are provided. We will develop procedures, in collaboration\nwith the regional transit coordinators, to ensure participants do not use agency-provided parking\nprivileges. We plan to implement these procedures by December 2008.\nRecommendation 3\n\nCoordinate with the Department of Transportation (DOT) to receive vendor reports related to\nineligible manual transactions for TransitChek cards provided to SSA employees.\n\nComment\n\n\n C-2\n\x0cWe agree. We contacted DOT several months ago and again on August 1, 2008, to request that it\nprovide us with the vendor reports relating to ineligible manual transactions for TransitChek\ncards. We expect that it will provide us with the requested information.\n\nRecommendation 4\n\nConfirm and retrieve transit subsidy funds due from the 34 individuals identified in this report.\n\nComment\n\nWe agree. We have confirmed the debts. Of the 34 employees who owe money to the agency,\nonly two are active employees. We will work with the transit coordinators to retrieve the funds\nfrom these two employees. Information on the 32 separated employees will be provided to the\nOffice of Finance by September 2008, so it may invoke the agency\'s administrative debt\ncollection procedures. We will consider the dollar thresholds included in the procedures to\ndetermine how actively to pursue the debt.\n\nRecommendation 5\n\nPeriodically match the database of Transit Subsidy Program participants to personnel records to\nensure that departing employees return subsidies for which they are ineligible.\n\nComment\n\nWe agree. Several of our components have measures in place to ensure that we remove\nseparating/transferring employees from this program. However, we will develop and implement\nagency-wide procedures to ensure that consistent action is taken to address this matter. We plan\nto run a periodic report that matches data in the agency\'s personnel records with data in our\ntransit subsidy database starting in October 2008.\n\nRecommendation 6\n\nDevelop and implement appropriate procedures that define transit subsidy misuse and\ncorresponding disciplinary actions that will be taken if misuse occurs.\n\n\n\n\n C-3\n\x0cComment\n\nWe agree. We will develop and implement the appropriate guidance and procedures that define\ntransit subsidy misuse and the correlating disciplinary action. We will implement guidance and\nprocedures by December 2008.\n\nRecommendation 7\n\nUpdate the Transit Subsidy Application\xe2\x80\x99s \xe2\x80\x9cCertification by Applicant\xe2\x80\x9d section to include an\nacknowledgement that misuse of transit subsidies will result in the disciplinary action developed\nto implement the previous recommendation.\n\nComment\n\nWe agree. We will update the application to include an acknowledgement that the misuse of\ntransit subsidies may result in disciplinary action. This update will be in place by\nSeptember 2008.\n\n\n\n[In addition to the information listed above, SSA also provided technical comments\nwhich have been addressed, where appropriate, in this report.]\n\n\n\n\n C-4\n\x0c Appendix D\n\nOIG Contacts and Staff Acknowledgments\nOIG Contacts\n\n Tim Nee, Director, New York Audit Division, (212) 264-5295\n\n Victoria Abril, Audit Manager, (212) 264-0504\n\nAcknowledgments\n\nIn addition to those named above:\n\n Denise Molloy, Senior Program Analyst\n\nFor additional copies of this report, please visit our web site at\nwww.socialsecurity.gov/oig or contact the Office of the Inspector General\xe2\x80\x99s Public\nAffairs Staff Assistant at (410) 965-4518. Refer to Common Identification Number\nA-02-08-18050.\n\x0c DISTRIBUTION SCHEDULE\n\nCommissioner of Social Security\nOffice of Management and Budget, Income Maintenance Branch\nChairman and Ranking Member, Committee on Ways and Means\nChief of Staff, Committee on Ways and Means\nChairman and Ranking Minority Member, Subcommittee on Social Security\nMajority and Minority Staff Director, Subcommittee on Social Security\nChairman and Ranking Minority Member, Committee on the Budget, House of\nRepresentatives\nChairman and Ranking Minority Member, Committee on Oversight and Government\nReform\nChairman and Ranking Minority Member, Committee on Appropriations, House of\nRepresentatives\nChairman and Ranking Minority, Subcommittee on Labor, Health and Human Services,\nEducation and Related Agencies, Committee on Appropriations,\n House of Representatives\nChairman and Ranking Minority Member, Committee on Appropriations, U.S. Senate\nChairman and Ranking Minority Member, Subcommittee on Labor, Health and Human\nServices, Education and Related Agencies, Committee on Appropriations, U.S. Senate\nChairman and Ranking Minority Member, Committee on Finance\nChairman and Ranking Minority Member, Subcommittee on Social Security Pensions\nand Family Policy\nChairman and Ranking Minority Member, Senate Special Committee on Aging\nSocial Security Advisory Board\n\x0c Overview of the Office of the Inspector General\nThe Office of the Inspector General (OIG) is comprised of an Office of Audit (OA), Office of Investigations\n(OI), Office of the Counsel to the Inspector General (OCIG), Office of External Relations (OER), and Office of\nTechnology and Resource Management (OTRM). To ensure compliance with policies and procedures, internal\ncontrols, and professional standards, the OIG also has a comprehensive Professional Responsibility and Quality\nAssurance program.\n Office of Audit\nOA conducts financial and performance audits of the Social Security Administration\xe2\x80\x99s (SSA) programs and\noperations and makes recommendations to ensure program objectives are achieved effectively and efficiently.\nFinancial audits assess whether SSA\xe2\x80\x99s financial statements fairly present SSA\xe2\x80\x99s financial position, results of\noperations, and cash flow. Performance audits review the economy, efficiency, and effectiveness of SSA\xe2\x80\x99s\nprograms and operations. OA also conducts short-term management reviews and program evaluations on issues\nof concern to SSA, Congress, and the general public.\n Office of Investigations\nOI conducts investigations related to fraud, waste, abuse, and mismanagement in SSA programs and operations.\nThis includes wrongdoing by applicants, beneficiaries, contractors, third parties, or SSA employees performing\ntheir official duties. This office serves as liaison to the Department of Justice on all matters relating to the\ninvestigation of SSA programs and personnel. OI also conducts joint investigations with other Federal, State,\nand local law enforcement agencies.\n Office of the Counsel to the Inspector General\nOCIG provides independent legal advice and counsel to the IG on various matters, including statutes,\nregulations, legislation, and policy directives. OCIG also advises the IG on investigative procedures and\ntechniques, as well as on legal implications and conclusions to be drawn from audit and investigative material.\nAlso, OCIG administers the Civil Monetary Penalty program.\n Office of External Relations\nOER manages OIG\xe2\x80\x99s external and public affairs programs, and serves as the principal advisor on news releases\nand in providing information to the various news reporting services. OER develops OIG\xe2\x80\x99s media and public\ninformation policies, directs OIG\xe2\x80\x99s external and public affairs programs, and serves as the primary contact for\nthose seeking information about OIG. OER prepares OIG publications, speeches, and presentations to internal\nand external organizations, and responds to Congressional correspondence.\n Office of Technology and Resource Management\nOTRM supports OIG by providing information management and systems security. OTRM also coordinates\nOIG\xe2\x80\x99s budget, procurement, telecommunications, facilities, and human resources. In addition, OTRM is the\nfocal point for OIG\xe2\x80\x99s strategic planning function, and the development and monitoring of performance\nmeasures. In addition, OTRM receives and assigns for action allegations of criminal and administrative\nviolations of Social Security laws, identifies fugitives receiving benefit payments from SSA, and provides\ntechnological assistance to investigations.\n\x0c'


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text:
 Események
 Határozott dátumú események
 január 25. – A brit parlament elfogadja az 1791-es alkotmányossági törvényt, kettéválasztva a régi Québec tartományt Felső- és Alsó-Kanadára.
 március 3. – Az Egyesült Államok Pénzverdéje megalakulása.
 március 4. – Vermont 14. államként csatlakozik az USA-hoz.
 május 3. – A lengyel nagy szejm megalkotja a világtörténelem második írott, kodifikált polgári alkotmányát, a Május 3-i alkotmányt.
 június 20–25. – A Varennes-i szökés. (XVI. Lajos francia király és családjának külföldre szökési kísérlete, ám Varennes-en-Argonne városkában felismerték és visszakísérték őket Párizsba.)
 július 14. – Birminghami felkelés Angliában.
 július 17. – A mars mezei sortűz Franciaországban.
 szeptember 14. – XVI. Lajos szentesíti az ún. 1791-es alkotmányt.
 szeptember 30. – Mozart A varázsfuvola című operájának ősbemutatója Bécsben.
 december 15. – Az USA elfogadja az Emberi és Polgári jogok nyilatkozatát.
 Határozatlan dátumú események
 az év folyamán
 Kolozsváron elkezdődik az Erdélyi Magyar Nyelvmívelő Társaság szervezése Aranka György vezetésével.
 Folyamatban lévő események
 Francia forradalom (1789–1799)
 Az év témái
 1791 az irodalomban
 Művészet, tudomány
 Celestina – Charlotte Turner Smith
 A szicíliai szerelem – Ann Radcliffe
 Oroszlánszívű Richard kalandjai – James White
 A méterrendszer kidolgozása (Francia Természettudományi Akadémia). Bevezetése 1795.
 Nicolas Leblanc szódagyártási eljárása.
 Születések
 január 15. – Franz Grillparzer osztrák költő († 1872)
 január 16. – Henryk Dembiński (magyarosan Dembinszky Henrik) lengyel gróf, a lengyel szabadságharc altábornagya, az 1848–49-es magyar szabadságharc honvédaltábornagya († 1864)
 február 21. – John Mercer kémikus, iparos († 1866)
 április 27. – Samuel Morse amerikai feltaláló († 1872)
 június 11. – Marics Ferenc szlovén tanító, kántor, egyházi énekek szerzője († 1844 után)
 augusztus 3. – Maderspach Károly kohómérnök († 1849)
 szeptember 14. – Franz Bopp német nyelvész, az összehasonlító nyelvtudomány egyik megalapítója († 1867)
 szeptember 21. – Széchenyi István politikus, író († 1860)
 szeptember 22. – Michael Faraday angol tudós, fizikus († 1867)
 szeptember 25. – Markó Károly festőművész, a magyar tájképfestészet iskolateremtő mestere († 1860)
 november 11. – Katona József író († 1830)
 november 29. – Bajzáth György András magyar királyi tanácsos és országgyűlési követ († 1869)
 november 30. – Lamberg Ferenc Fülöp osztrák államférfi, tábornok († 1848)
 december 7. – Novák Ferenc szlovén író, népdalgyűjtő († 1836)
 december 26. – Charles Babbage angol matematikus, a számítógép feltalálója († 1871)
 Halálozások
 március 2. – John Wesley anglikán lelkész, a metodizmus alapítója (* 1703)
 április 2. – Honoré-Gabriel Riquetti de Mirabeau francia politikus és forradalmár, szabadkőműves, író, diplomata, újságíró (* 1749)
 május 9. – Francis Hopkinson amerikai író, a függetlenségi nyilatkozat egyik aláírója (* 1737)
 augusztus 28. – Born Ignác magyarországi származású osztrák geológus, felvilágosult tudós, udvari tanácsos (* 1742)
 október 1. – Fabri Ferenc jezsuita rendi pap, tanár, költő (* 1726)
 november 5. – Giuseppe Bardarini (magyarosan Bardarini József), magyar jezsuita szerzetes, tanár (* 1708)
 december 5. – Wolfgang Amadeus Mozart osztrák zeneszerző, karmester (* 1756)
 Uralkodók/elnökök
 Kína – Csien-lung kínai császár, Csing-dinasztia (uralkodott: 1735–1796)
 18. század