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Detection and Prevention of Malpractices in Outsourced Non-Works Government Services. Outsourcing in HKSARG Simon Lam 6 November 2006. Outline of Presentation ( 內容大綱). Overview on Government Outsourcing ( 政府外判概覽) Contract Management ( 合約管理) Protection of Non-skilled Workers ( 保障非技術性工人)

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detection and prevention of malpractices in outsourced non works government services

Detection and Prevention of Malpractices in Outsourced Non-Works Government Services

Outsourcing in HKSARG

Simon Lam

6 November 2006

outline of presentation
Outline of Presentation (內容大綱)
  • Overview on Government Outsourcing (政府外判概覽)
  • Contract Management (合約管理)
  • Protection of Non-skilled Workers (保障非技術性工人)
  • What’s Next (下一步)
outsourcing policy
Outsourcing Policy (外判政策)

Use the private sector, where possible, to achievevalue for money in delivery of public services

outsourcing activities
Outsourcing Activities (外判活動)
  • Outsourcing is an important part of service delivery in government
    • 71 (92%) of departments outsourced in 2004
    • 4,512 contracts
    • $214 billion in value
    • $47 billion in annual expenditure (or 16.7% of government spending)

Source: Outsourcing Survey 2004

distribution of contracts
Distribution of Contracts (合約數目分佈)

Source: Outsourcing Survey 2004

outsourcing trend on non works services
Outsourcing Trend on Non-works Services(外判非工程服務的趨勢)

Source: Outsourcing Survey 2004

outsourcing process
Outsourcing Process (外判流程)

Business case development(可行性/業務計劃研究)

Tendering and selection(招標及選擇承辦商)

Contract management

(合約管理)

Evaluation of outsourcing feasibility

Tendering and selection of contractor

Managing service delivery

outsourcing process1
Outsourcing Process (外判流程)
  • Well-performed pre-contract processes key to effective contract management
contract management activities
Contract Management Activities(合約管理工作)
  • Role of in-house staff
    • Direct service provider  contract manager
  • Key tasks
    • Arranging for transition-in and transition-out
    • Monitoring service delivery
    • Contract administration
    • Managing the relationship
some good practices
Some Good Practices (有效的合約管理方法)
  • Appropriate monitoring mechanism (合適的監管機制)
  • Risk management approach (風險管理方式)
  • Relationship management (關係管理)
  • Ongoing review (不斷檢討)
service wide measures

2001

2002

2004

2005

2006

Service-wide Measures (整體措施)
  • Applicable to service contracts (excluding construction services contracts) that rely heavily on deployment of non-skilled workers only

FC No. 3/2001

Marking scheme to take account of proposed wages and working hours

  • FC No. 3/2004

Mandatory requirements on tender assessment

    • Demerit Point System
    • Conviction records

FC No. 4/2006

Tightened mandatory requirements on tender assessment

FC No. 5/2004

Mandatory wage level

Standard Employment Contract

tightened mandatory requirements on tender assessment fc no 4 2006 4 2006
Tightened Mandatory Requirements on Tender Assessment (FC No. 4/2006)(加強標書評審強制性規定(財務通告第4/2006號))
  • Sanctions
    • A tenderer with any criminal conviction under relevant ordinances or 3 demerit points shall not be considered for contract award for 5 years
    • A contract shall be terminated if the contractor or its permitted sub-contractor(s) has obtained any criminal conviction under relevant ordinances or 3 demerit points arising from the same contract
conviction
Conviction (定罪記錄)
  • Relevant ordinances
    • Employment Ordinance (Cap. 57)
    • Employees’ Compensation Ordinance (Cap. 282)
    • Immigration Ordinance (Cap. 115)
    • Criminal Procedure Ordinance (Cap. 221)
    • Mandatory Provident Fund Schemes Ordinance (Cap. 485)(for contracts invited on or after 1 May 2006)
demerit point system
Demerit Point System (扣分制度)
  • Introduced since May 2004
  • A default notice shall be issued for EACH breach of contractual obligation
    • Wages
    • Daily maximum working hours
    • Signing of Standard Employment Contract
    • Wage payment by autopay (for contracts invited on or after 1 May 2006)
  • 1 default notice = 1 demerit point
demerit point system2
Demerit Point System (扣分制度)
  • Implementation guideline
    • Investigation officer to ascertain the breach
    • A senior officer to approve issue of default notice
    • Appeal mechanism be established
common departmental measures
Common Departmental Measures(部門普遍採用的措施)
  • Outsourcing departments
    • Interviewing workers
    • Checking payroll records
    • Posting notice on employment conditions
    • Deducting payment for wage shortfall
    • Setting up complaint / enquiry hotlines
  • Enforcement departments
    • Stepped up enforcement by LD, ICAC, MPFA, etc
extent of problem
Extent of Problem (剝削程況)
  • 4 major outsourcing departments
extent of problem1
Extent of Problem (剝削程況)
  • Convicted summons by Labour Department
extent of problem2
Extent of Problem (剝削程況)
  • Demerit point statistics (for post-DPS contracts only)
    • 23 demerit points awarded (up to 11 Oct 2006)
    • 2 departments involved
    • 1 company debarred from tendering in the next 5 years
eu s observations extent of problem
EU’s Observations – Extent of Problem(我們對剝削問題的看法)
  • Problem seems under control
  • Current measures seem to work
  • The media, staff union and public may think differently
eu s observations effectiveness of measures
EU’s Observations – Effectiveness of Measures(我們對保障措施成效的看法)
  • Existing measures are generally effective except payroll check
    • Time consuming but not very effective
    • May spot technical errors / irregularities
    • Wilful contractors unlikely to submit incriminating records
    • Cannot detect wage rebate
    • If payroll checks are to be continued
      • Adopt a risk management approach to conduct sample checks
      • Don’t over-do it
some good practices1
Some Good Practices (有效的保障措施)
  • Well-structured contract and robust tender evaluation(良好的合約結構和標書評審)
    • Attract capable tenderers
    • Help select honest and reputable contractors
    • Greatly reduce subsequent monitoring and enforcement effort
  • Centralise management information (集中管理資訊)
    • Better understanding of extent of problem
    • Help formulate appropriate measures
    • Timely awareness, speedy response, directorate steer
some good practices2
Some Good Practices (有效的保障措施)
  • Risk management (風險管理)
    • Measures/effort commensurate with the extent of problem
    • Focus on bad apples
  • Raising awareness on employment conditions (提高對僱傭條件的了解)
    • Posting notices on employment conditions in workplace
    • Briefing contractors and in-house staff
some good practices3
Some Good Practices (有效的保障措施)
  • Responsive complaint system (有效的投訴機制)
    • Proactive investigation of complaint cases
    • Build up confidence in department’s complaint handling system
  • Partnership with enforcement agencies (與執法機構建立夥伴關係)
    • Early detection of problematic cases
    • Timely advice on evidence gathering
    • Enable conviction of unscrupulous contractors
what s next
What’s Next (下一步)
  • Training and seminars
  • Contract management user guide
  • New edition of outsourcing guide
slide34

The EU stands to help

Contact us

Help desk: 2165 7255

E-mail: euwm@eu.gov.hk

Website: http://www.eu.gov.hk