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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ACTIVITY CURRENT NEW (OBS)

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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obs project compliance education edited

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