Unified informational database of monitoring (supervision) authorities

Pre-implementation situation

As in any country of the world, the Republic of Belarus also has control (supervisory) authorities. Their mission - to monitor compliance  entities of the financial legislation of the country and many other existing rules and regulations of management. The supervisors include MTD,  State Control Committee, the Committee of State Security, the Social Security Fund, the Ministry of Emergency Situations, and many others - in total near 50 organizations.
When the auditors of supervisory authorities conduct scheduled inspections, they assess the compliance of the organizations that are being inspected to distinctly formulated criteria and register the violations. If any violations are detected, than it can usually serve as a reason to conduct further off-schedule inspections. The audit plan of main supervisory and regulatory authorities is created on a yearly basis and is available for open access.
The main reasons for implementation were:

• lack of coordination in the planning of inspections by various bodies;
• overlapping functions of different supervisory bodies (overlapping and repeated inspections) and, as a result, a high burden on employees:
• disturbance еру business with very large number of similar instections.

The Ministry of Taxes and Duties was appointed as the owner of the system and the organization responsible for its development. The MTD is one of the main supervisory authorities and possesses the most comprehensive register of legal persons, which makes it suitable for carrying out this project.

Solution

Automated Information System “Unified information database of regulatory (supervisory) authorities” has portal architecture. More than 10 virtual servers based on 4 physical servers and a set of other technical means perform the functions of specific system elements, and also solve the issues of providing security and workload balancing
1. Functionality for internal users
-Adding and updating data. According to the results of the check, the auditor of the inspecting agency enters the grades according to predefined criteria. Basing on the grades given according to specified criteria, the system automatically fills in the risk group. At the present moment three risk groups are available — low, medium and high risk.
-Access to inspections database. The information about assessments of other regulatory (supervisory) authorities and assigned risk groups is used to prepare inspection plans. The access of auditors to the abovementioned information is possible in distant access mode, as well as by using a method of establishing data exchange through the files of a specified format.
2. Capabilities for economic operators.
The unified database offers the possibility to receive information about the risk group given to the company (or its structural subdivisions), the reason of such decision, and the name of the regulatory (supervisory) authority that made such a decision. In other words, any company can enter the system (by authorizing using a cryptographic key) and familiarize with the full history of all its checks, containing assessments on all criteria and given risk groups.
From the technical point of view, the Automated Information System “Unified information database of regulatory (supervisory) authorities” has three-level architecture (client/ application server/ database server). The client side of system software (user interface) was implemented as HTML pages and Oracle PL/SQL portlets. It supports the Internet Explorer 6.0 browser and higher versions.

Project implementation

At the moment when the system was put into industrial operation, five regulatory authorities were connected to the system: the Ministry of Finances, the Tax Service, the Customs Service, the State Control Committee, the Social Protection Fund of the Population. After commissioning, around 2500 certificates for system access were given to employees of these authorities. Novacom employees have conducted a series of training sessions for employees of regulatory authorities, including on-site courses. At the present time, all regulatory and supervisory authorities work with the system, and if it is necessary to connect new users, they just need to register new user accounts.

What problems are solved

Maintenance of database on all economic entities with the history of checks and data on their assignment to the particular group of risk of supervision authorities.

• Access to data and data exchange among supervisors as through interface of client application and as XML-files defined structure.
• Obtaining statistical and other information by supervisors users. 
• To lead normative and reference data by users of Ministry of Taxes and Duties. 
• Providing information to subjects of managing in limits of particular functionality.

Project in figures