Download - OBS Project Compliance Education Edited
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OBS PROJECTCompliance &
Enforcement(Final Revision)
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OUTLINE
Goals
Scope
ModulesNew Technologies
Conclusion
Q & As
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SCOPE
Inspections
Case Assignments
Demand letter management
Negotiation
Penalty Reduction & Cancellation
Clearance Certificate
Complaint
Prosecution Process
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1) Enforce compliance
through Inspections.
All Establishment
must be assigned for
inspection at least 2
times a year.
Branch Manager/
Compliance
Supervisor assigns
inspection.
System will trigger due routine
inspections for assignment by
Branch Manager or Compliance
Supervisor.
The system will run these
processes on monthly basis
according to parameter decided by
SSNITSpecial assignment will be done
manually by Branch Manager
(adhoc inspections).
2) Overdue Inspection of
establishment.
Branch
Manager/Compliancesupervisor goes into
the EBOS to identify
establishments with
overdue inspections
status and assign
inspections.
When there is no Inspection
Reports Created after the case hasbeen assigned XNo. of days. The
system will send Stale Action Alert
to the Compliance officer of the
case, Compliance Supervisor and
the Branch Manager about
overdue inspections.Branch Manager will then have to
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3) Submission of
Contribution Reports.
Establishments to submit
the Contribution Report at
the end of the month.
If not compliance officers
go to retrieve it duringinspections.
System will trigger non-
submission of CR by
Employer. Branch Manager
will assign further action to
a Compliance Team.
Compliance Team to follow
up and retrieve Contribution
Report
4) Inspection Activity Compliance Officer writesreport on field activities
carried out such as
Contribution Reports
retrieved, invalid SS
numbers corrected, MC
distributed etc.
Compliance Team willupdate employer records on
the system by indicating
activities in a drop down list
menu such as payroll
vouchers, tax returns,
attendance books etc.
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5) Payment of
Contribution Reports.
Establishments to make
payment of Contribution
Report before 14thof the
ensuing month.
When establishments arein default, compliance
officers will have to retrieve
a list of Establishment in
arrears to enable them
serve demand notice.
System will trigger non-
payment of CR
automatically assign to the
Compliance officer who is
responsible for the case.
This non-compliance item
will be displayed in the Item
List inquiry where user will
be able to view the trigger
type and the corresponding
Due Months.
Compliance Team to follow
up and retrieve arrears.
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6) Inspection
Report
Compliance
Officer writes
report onperiod of
inspection,
contribution
report position,
Arrears if any,
penalty etc.
The system has a facility for Compliance officers
to record inspection report in the system via an
action called Inspection Report (IR) Settled orUnsettled. Compliance officers are required to
update result of visitation and inspection into the
system.
Each of the IR has an Inspection Field Result
field with droplist for user to select. The droplist
for IR-Settled consist of : Payment Received
Dormant
Close Down
Others
The droplist for IR-Unsettled consist of : Arrears of Assessment
Employer Not Available Whereabouts Unknown/Vacation of Premises
No Cooperation/Feedback
No / Uncertain Liability
Wages Record Not Available
Employer Relocated
Appeal for Negotiation
Appeal for Penalty Waiver
Court Action Initiated KIV
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7) Assignment There are two type of
assignments, these are:
Normal
Special
Both assigned manually by the
Branch Manager or the
Compliance Supervisor.
There are three types of
assignments, these are
Trigger
Normal
Special
Trigger based Assignment is done
Automatically by the system. (i.e.
Assignment by Rules)
Normal and Special Assignments
are manually done.(i.e.Assignment by Pool)
For this type of assignment,
branch manager is required to
assign the case (employer)
manually to a compliance officer
from the pool.
8) Demand
Letter
Management
Generated by the EBOS when
inspection report is inputted.
System generated and dispatched
by email or hand to employer.
Notification or alert will be sent to
Compliance Supervisor,
Prosecutor and Branch Managerwhenever a demand letter is sent.
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9) Negotiation Initiated by
employer. There are
two types namely
Normal and Special.
Initiated by employer and recommended by
Compliance Supervisor using inspection
report field menu.
Three types namely:
Normal-12 months
Special -12 to 36 months
Court (Judgment)- payment by
installment.
System will not allow negotiation if
Contribution Report is not up to date.
Agreement will be automatically generated.
User will select type of negotiation in the
menu.
10) Abrogation of
Negotiated
Agreement
A negotiation plan is abrogated automatically
when the employer fails to:-
Pay any two either Negotiated Agreement
Payment or Current Contribution
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11) Penalty Waiver Employer initiates by
application to Director
General.
Employer initiates and it
is escalated from Branch
Manager, Area Manager,
General Manager,
Operations and Director
General for approval
through the system.
System also has a
calculator tool to help with
the penalty computationbased on 3% rate, last
payment etc.
Every escalation is
accompanied by
remarks/reports.
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12) Clearance Certificate Applied by employer and
approved by Branch
Manager. Available
Clearance Certificates
issued are
-Normal
- Satisfactory
Arrangement.
There are two types
namely Coverable and
Exemption Certificates.
Initiated by employer and
approved by Branch
Manager.
13) Complaints Written complaints are
sent to Director General,
General Manager,Operations or Compliance
Department and
investigation conducted
and necessary action
taken (Both Employer and
Employee).
All complaints from RCM
will automatically update
complaint pool for actionby Branch Manager.
There is compliance
complaint module to
handle oral and written
complaints from
stakeholders.
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14) Prosecution Establishment prosecuted
upon expiry of demand
letter and no payment
made Case may be
referred by Branch
Manager or initiated by
prosecutor.
Procedure is the same.
Here an alert will be sent
to Branch Manager to
initiate action.
Work flow prepared for
further discussion.
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15) Detection of Non-
Compliant Employers.
Currently this is manually
detected through reading
establishment file.
System will auto detect of
Non-Compliant Employers
based on a set of pre-
defined criteria such as:
No Contribution ReportContribution Report
received without payment.
Cheque dishonoured
Employers with penalty
outstanding.
Routine inspection dueSpecial inspection
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16) Monitoring of DemandLetter Expiration.
Compliance officersmanually monitor demand
letters that have been
expired and refer for
prosecution.
A demand letter with anexpiry date will be issued
once an employer failed to
comply. If the employer fail
to pay by the expiry date
system will trigger an alert
to branch inspector, branchmanager and branch
prosecutor for them to
proceed with future action.
The Expiration of Demand
Letters inquiry will display
list of demand letters thatare expired with outstanding
arrears.
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17) Inquiry Screens EBOS has the feature. The system has many
inquiry screens which
users can view the
particulars of Employer
but cannot edit.Employer details
Contact Address
Directors, Owners
Shareholders
Negotiator payment
Contribution Report
history
Monthly contribution
details etc.
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18) Calculator An ordinary calculator The Calculator is a tool to help
calculate the penalty amount for the
payment amount on a given due
month. Calculations are based on
the penalty rate, which in turn isbased on the date of payment
User is required to input the
Employer Number for the system to
get the penalty amount.
It is accessible from the Calculator
link located on the top-right corner
of the screen
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NEW FEATURES/TECHNOLOGIES
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2) My Alert Rules Alert in the form of
reminders by phone or
letters are done by
Branches.
System will automatically
send alert to Branch
Manager, Compliance
officer or prosecutor in the
following cases:
Abrogation of NegotiatedAgreement.
Notice of full payment of
Negotiated Arrears.
Reminder to make
payments (CR).
Dishonoured cheque
notice
Scheduled meeting
etc.
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5) Work Schedule Not Available The system has a facility
for the Compliance
Officers to prepare their
Work Schedule. A work
schedule is essentiallyplanned visits or
appointments prepared by
the Compliance Officers
for the coming week (s).
The Compliance Officers
needs to key-in the StartDate and End Date to first
determine the period of
the work schedule.
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6) Dishonored Cheque Not Available Dishonored Cheque inquiry
displays the entire dishonored
cheques from the employer.
User will be able to view the
information as :- Cheque Received Date
Contribution Period
Cheque Number
Bank
Transaction Amount
Transaction Description Cheque Receipt Number
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8) Reports Exist for limited usage. The Compliance System
will have a standard report
for all modules.
Users and decision
makers can design andgenerate reports
themselves using the
Business intelligence
module of the OBS project
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Conclusion
The Compliance System if implemented will
track employers Compliance and ensureprompt prosecutions.
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THANK YOU
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