Compliance

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					Employer Compliance
        102
            Mission

1. Get the “right” Policy
2. Pay uninsured injured workers
Compliance
                          IC-2
      DOL
                           IC-2         Carriers

     Employers                          Policies




Employers that                     Employers are matched
don’t match a WC Policy            with a WC Policy
are processed further
                            Inquiry Letter is sent
                            §52-5 Penalty is assessed
                            Referral is made to Collection
                            Agency is filed
                            Judgment
                Judgments Filed 52.5
                    1999 - 2009
25,000                                                                            23,825


                                                                                           19,995
20,000
                                                                18,379
                                                                         17,884


15,000

                                                       11,234
                9,849
10,000

                                6,506
                                               4,989
                        4,638
 5,000


          1                              0
    0
         1999   2000    2001    2002    2003   2004    2005     2006     2007     2008     2009
                26-a Judgments Filed
1800

1600                                      1,547

1400

1200

1000                                              931                         907
                                                         802           783
800
                                                                672
600
              465    499           503
400
                            266
200
        0
  0
       1999   2000   2001   2002   2003   2004    2005   2006   2007   2008   2009
      Criminal Prosecutions Pursuant to Section 52
                      1998 - 2009

120
                                                               113
                                                        106
100
                                                                             87
                                                  79
80                                                                    76

                                          65
60                                  57



40


                     20     23
20                                                                                  15

        0      0
 0
       1998   1999   2000   2001   2002   2003   2004   2005   2006   2007   2008   2009
                                                     UEF Receipts
                                                      1998 - 2009

$40,000,000
                                                                                                                                      $36,605,000

$35,000,000
                                                                                                                        $32,020,000                 $32,550,000 $31,161,000

$30,000,000


$25,000,000
                                                                                                          $22,033,000

$20,000,000


$15,000,000

                                                     $9,988,000
                                                                  $10,134,000
$10,000,000                             $8,791,000
                                                                                             $8,277,000
                                                                                $6,142,000
              $4,670,000   $4,533,000
 $5,000,000


        $0
                1998        1999          2000          2001         2002         2003         2004          2005           2006         2007          2008           2009
    UEF Receipts less Disbursements
             1998 - 2009
$15,000,000
                                                                                                                     $13,553,000



$10,000,000
                                                                                                        $8,805,000



                                                                                          $4,606,000                           $4,481,000
 $5,000,000


                                                                                                                                             $530,000
                 1998       1999       2000       2001       2002       2003       2004   2005         2006     2007          2008    2009
         $0




 -$5,000,000
                                                          -$5,021,000
                                   -$5,624,000
                         -$7,020,000           -$6,754,000
               -$7,405,000
                                                                               -$8,102,000
-$10,000,000
                                                                    -$10,581,000



-$15,000,000
                 Dependencies

Employer Files                            Carrier Files
                  DOL          Carriers




                        IC-2



                                          Uninsured
                                          Employers
IC-2 Dependent on Carrier Filing
•Carriers Of Coverage information was not being
  Proof
  timely submitted by carriers.
 Policies

  – Penalizing employers who are properly insured
  – Creates unnecessary work for the employer, the
    carrier and the WCB.
               POC Penalty
• We educated, created reports, published their
  timely filed percentage on the web - no change
  in carrier behavior
• POC penalty starts 3rd quarter 2009
• Attention received!
• Created Performance Standard 85%
• Created a POC Working Team
 Independent Livery Driver Benefit
              Fund
• Eliminated Independent Contractor argument
  for livery drivers
• All bases in NYC, Nassau, Westchester must be
  members of ILDBF or have a full policy
• Pays benefits to livery drivers while providing
  covered services for death, serious injury and
  injuries resulting from a crime
Second Leg-Field Investigation


          Compliance
300
                             Stop Work Orders
280                                                                    271
260
                                                                                                                                                             245
240
220                                                              208
                                                                                                           196           202
200                                                197
                                                         188                                         194
                                                                             187                                   186
                                                               178                 177         178
180
                                                                                                                                     164                                165
160                                          154                                                                                           156
                                                                                         151                                                                                  153
                                                                                                             147               148
140                                                                                                                                              128
                                                                                                                                                                                                132
                                                                                                                                                                                                      128
                                                                                                                                                                                    118
120                                    112                                                                                                                                                109
                                                                                                                                                       105
100                               96                                                                                                                               98

80
60
40                           31

20                      15
      5 4   1   5 4 7
 0
       7/07 – 12/07                          1/08 - 12/08                                                    1/09 – 12/09                                                1/10 – 8/10
Third Leg-Section 57


     Compliance
Fourth Leg-Education


     Compliance
                Compliance Rate
                        100
December 2009   93.9%
                        95
January 2010    93.9%
                        90
February        94.0%
March           94.1%   85


April           94.1%   80
                              Dec- Jan- Feb- Mar- Apr- May- Jun- Jun- Aug- Sep-
May             94.1%          09   10   10   10   10   10   10   10   10   10


June            94.0%
July            94.0%
August          93.9%
September       93.8%
                      Section 50 Violations
                           2000 - 2010
700

600                                            563
                                                                    547
                    503                                                    496
                                        497           480    469
500
        434
                          408    403
400
                                                                                  369*

300

200

100

  0
       2000     2001      2002   2003   2004   2005   2006   2007   2008   2009   2010
      * Projected
2009 Uninsured Claims by Business Type


                          Miscellaneous
                              26%
                                                   Construction/Roofing
                                                           35%

                                                                          Construction/Roofing
                                                                          Livery
                                                                          Restaurant
                                                                          Delivery
                         Delivery                                         Miscellaneous
                           5%

                            Restaurant
                               10%
                                          Livery
                                           24%




  Total Number of Claims - 496
          Procedural Penalties
• Procedural penalty billing system integrated into
  FMIS in October 2008. Seamless transfer of
  penalties from CIS and HPA into FMIS.
• Quarterly billing statements are now issued to
  Carriers/Self-Insureds/TPAs/Attorneys
• Receipts increased due to billing statements:
  – FY 07-08     $1.2 million
  – FY 08-09     $3.0 million
  – FY 09-10     $4.9 million
       Procedural Penalties

• Procedural Penalty Performance
  Improvement team
  – Who gets the penalty
  – Who gives the penalty
Thank you Compliance Staff!
2nd Annual Best Friend of
    Compliance Award

				
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