Policy and Procedural Guidelines on Constructive Filing of Retirement Application

February 14, 2013

GSIS RESOLUTION NO. 014-13

WHEREAS, there is a need to provide guidelines to cover instances when a member dies after the filing of a retirement application with his or her agency but before its transmittal to the GSIS;

WHEREAS, the Senior Vice President, Corporate Services Group and Corporate Planning Office, in her Memorandum dated 7 February 2013, has proposed that an application for retirement filed by a member with his or her last employer or agency shall be considered filed with the GSIS, subject to the following conditions:

1. Submission, not later than thirty (30) days from date of filing of the application by the member with the agency, of the following supporting documents:

a) Original copy of the resignation letter or equivalent document with acknowledgement receipt by the agency's Human Resources (HR) officer;

b) A certified true copy of request for clearance for the purpose of retirement duly signed by the applicant;

c) An original copy of a sworn statement disclosing the actual date of filing of retirement application by the deceased member with the agency, to be executed by the Head of the HR Unit or Department. DHSCTI

2. An application for retirement endorsed to the GSIS beyond the thirty (30) day period should include, in addition to the above documents, a notarized explanation or affidavit executed by the HR officer and concerned officials stating the reason for the delay in filing.

RESOLVED, to APPROVE and CONFIRM the proposed Policy and Procedural Guidelines (PPG) on Constructive Filing of Retirement Applications, a copy of which is made an integral part of this Resolution.

February 14, 2013. Board Meeting No. 3.

March 4, 2013

POLICIES AND PROCEDURAL GUIDELINES NO. 225-13

FUNCTIONAL AREA	:	Claims
DISTRIBUTION	:	All Senior Vice Presidents
		All Vice Presidents
			NCR Operations Group
			Luzon Operations Group
			VisMin Operations Group
			Actuarial and Risk Management Group
			Financial Management Group
			Controller Group
			Information Technology Services Group
			Insurance Group
			Legal Services Group
			Corporate Services Group
			Corporate Communications Office
			General Services Office
			Internal Audit Services Office
		Managers
			NCR Operations Group
			Luzon Operations Group
			VisMin Operations Group
			Treasury Operations Office
			Claims Unit
SUBJECT	:	Constructive Filing of Retirement

 

I. Background/Rationale

Being an agent of the GSIS, the agency has the responsibility of endorsing to GSIS all approved retirement applications of their employees in a timely manner. However, there had been cases where endorsement to GSIS is made after the occurrence of death of the retiring member. This resulted in the disapproval of claim applications by GSIS to the detriment of the member.

The GSIS sees the need to issue guidelines for all Operating Units Concerned (OUCs) to be more responsive to the needs of the members in performing their functions. While the System recognizes the role of government agencies as extension offices of GSIS, functioning as the implementing arms in the collection and remittance of contributions and loans, as well as updating members and employers' records, they are still covered by GSIS laws and must adhere to the existing policies and implementing guidelines set by the System.

II. Objectives

This PPG aims to:

A. Ensure that after the member has devoted his or her active years in public service, the System will, in turn, provide the benefits due him or her;

B. Provide policies and procedures that will address the growing number of cases of constructive filing elevated to the Committee on Claims (COC) and Board of Trustees (BOT); and

C. Establish and maintain responsibility and accountability among agencies in handling retirement benefit applications. ASTcEa

III. Policies

A. Coverage

 Constructive Filing is an assumption that an application for retirement benefit claim of a deceased member is deemed filed with GSIS provided such application is actually filed with the member's agency prior to his or her death.

 Constructive filing shall be assumed in retirement applications which remain to be in the possession of the member's agency even after the occurrence of member's death.

B. Conditions for Application of Constructive Filing

1. To establish the date of actual filing of the application with the agency, the following supporting documents shall be required:

a. Original copy of the resignation letter or equivalent document with acknowledgement receipt by the Human Resources (HR) officer;

b. A certified true copy of request for clearance for the purpose of retirement duly signed by the applicant.

c. An original copy of a sworn statement disclosing the actual date of filing of retirement application by the deceased member with the agency, to be executed by the Head of the HR Unit or Department.

2. An application for retirement filed by a member with his or her last employer or agency shall be considered filed with the GSIS provided that the application shall be endorsed to GSIS not more than thirty (30) days from date of filing of the application by the member with the agency.

 However, if application for retirement was endorsed to GSIS beyond thirty (30) days, a notarized explanation or affidavit shall be executed by the HR officer and concerned officials stating the reason for the delay in filing. DHCcST

C. Information Drive

 The Corporate Communications Office (CCO) shall prepare the necessary internal and external communication plans to communicate this PPG and its implementation to all GSIS executives, employees, members and government agencies.

IV. Procedures

The detailed procedures to be included in the Manual of Operations (MOO) of the OUCs, shall adhere to the following general procedures:

Activity	Responsible Unit
1.	Submit application of member to GSIS.	Agency
2.	Evaluate completeness of the application	Frontline Service
	and other required documents.	Division (FSD)
	2.1	If complete, stamp "received" on the
		application, proceed to Activity 3.
	2.2	If incomplete, return application and
		advise Liaison Officer (LO) to comply
		with the necessary requirements.
3.	Determine the date of death of the member.
	3.1.	If member dies on or after the effective
		date of retirement from government
		service, proceed to Activity 4.
	3.2.	If a member dies prior to the effective
		date of retirement from government
		service, he or she shall be considered
		as an active member at the time of
		death and will not qualify under
		constructive filing.
4.	Log into the Transaction Monitoring
	System (TMS). Indicate in the "remarks"
	portion that member is already deceased
	but will qualify for retirement benefits
	under constructive filing.
5.	Scan received documents and attach to
	TMS. Forward to Claims Unit.
6.	Determine the mode of retirement chosen	Claims Unit
	by member.
	6.1.	If member indicated the retirement
		option, evaluate qualification to
		chosen mode of retirement:
		a.	If eligible, proceed to Activity 7.
		b.	If not eligible, disapprove
			application and inform surviving
			legal heirs of such disapproval
			and the benefits the deceased
			member is entitled to.
	6.2.	If member failed to indicate retirement
		option, compute the retirement benefit
		based on 18 months plus immediate
		pension.
7.	Forward TMS to Membership for records
	updating.
8.	Update records and return TMS to Claims.	Membership
9.	Update TMS, forward documents to	Claims Unit
	Internal Reconciliation Unit (INRU) for
	reconciliation.
10.	Reconcile account and return TMS to	INRU
	Claims.
11.	Process claim.	Claims Unit
12.	Prepare Disbursement Voucher (DV)
	payable to legal heirs.
13.	Forward TMS and DV for signature of
	authorized signatories.
14.	Sign DV and return TMS and DV to Check	Authorized Signatories
	Printing and Releasing Unit (CPRU).
15.	Print check. Forward TMS and check to	CPRU
	authorized signatories.
16.	Sign check. Return TMS and check to	Authorized
	CPRU.		signatories/counter
				signatories
17.	Release check to payee subject to	CPRU
	presentation of requirements. Close TMS.

END OF PROCESS

All Orders, Circulars, Policy and Procedural Guidelines inconsistent with the above are hereby deemed repealed and superseded.

This PPG shall take effect immediately.

(SGD.) ROBERT G. VERGARAPresident and General Manager