Compliance visit is initiated either by a SENA request for assistance or a labor complaint.

There are three modes to initiate the Labor Law Compliance System: Joint Assessment, Compliance Visit, and Occupational Safety and Health Standards Investigation.[1] The following will discuss on the second mode – Compliance Visit.

Coverage

The Compliance Visit or Visit covers the following instances:

  1. SEnA Referral;[2] or
  2. When a complaint is filed against the establishment.[3]

As indicated above, the Compliance Visit is initiated either through a SENA request for assistance or a labor complaint. Thus, a Compliance Visit may be initiated either by a complaint or request for assistance by an employee or a union.

Unlike Joint Assessment which is initiated by the employer who wants to be voluntarily assessed for labor law compliance, Compliance Visit is one wherein the employer is assessed due to reasons not attributable to him.

Procedure for Compliance Visit

The following are the procedure or steps for Assessment:

1) Receipt of Referral/Complaint – After receipt of the Referral/Complaint, the DOLE Regional Director will direct the LLCO to immediately conduct the Compliance Visit. The LLCO will be issued aLetter and Authority to Pass, which shall specify the purpose of the Visit. The assignment of establishment will be done through a raffle system.

2) Visit the Establishment for Compliance – With the Letter and Authority to Pass, the LLCO will proceed to the establishment to check for Labor Law Compliance.

3) Examination of Employment Records – The LLCO will review the employment records, as well as interview employees and inspect the work premises to determine compliance with labor laws and social legislation.

4) Issuance of Notice of Results and Certificate(s) of Compliance – If the establishment is labor law compliant, the LLCO will issue a Notice of Results stating therein compliance with labor laws. The LLCO will recommend to the Regional Director the issuance of the Certificate(s) of Compliance. Based on documents of compliance submitted, the Regional Director will then validate the findings of the LLCO and issue the said Certificate(s).

5) Non-Compliant Establishment – If there is non-compliance, the LLCO will issue a Notice of Results together with the accomplished Assessment Checklist stating the noted deficiencies.[4]

Remedial Procedures for Non-Compliant Establishments

For non-compliant establishments, the LLCO will issue a Notice of Results with the accomplished Assessment Checklist stating the deficiencies. Thereafter, the following will have to be observed:

  1. 10-day Remedial Period – The establishment has ten (10) days from receipt of the Notice of Results within which to correct the noted deficiencies – whether monetary or occupational safety and health standards. Within the same period, the establishment is required to submit its Proof of Compliance to the Regional Director for the latter’s verification and approval.[5]
  2. Issuance of Certificate(s) of Compliance – If the establishment has taken measures correcting the noted deficiencies, the LLCO will validate compliance and recommend to the Regional Director the issuance ofCertificate(s) of Compliance. Based on the documents of compliance submitted, the Regional Director will validate the findings of the LLCO and issue the said Certificate(s).

Criminal action for employers who refuse access to records and premises

If the employer refuses to provide access to records and premises at the first visit, the LLCO will issue a Notice of Assessment containing the schedule of the visit through registered mail or other recognized modes of service.

If the employer continuously refuse to provide access to records and premises despite receipt of the Notice of Assessment, the LLCO will indicate it in the Notice of Results and will constitute a violation of Article 128 in relation to Article 228 of the Labor Code of the Philippines, as amended. The Regional Director will take appropriate criminal action against the employer.[6]

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References

[1] RULES ON LABOR LAWS COMPLIANCE SYSTEM (“LLCS Rules”). Section 1, Rule III.

[2] See Sec. 7, DOLE D.O. No. 107, S. 2010.

[3] LLCS RULES. Sec. 1, Rule V.

[4] Ibid. Sec. 2, Rule V.

[5] Ibid. Sec. 2 (E.1.), Rule V.

[6] Ibid. Sec. 4 (F), Rule IV.