Greetings, dear friends! In this note, I would like to remind you of new approach to the implementation of inspections - a risk-based approach to control and supervisory activities. As you know, Decree of the Government of the Russian Federation of February 16, 2017 No. 197 amended the Regulations on Federal State Supervision of Compliance labor law and other regulatory legal acts containing norms labor law, approved by the Decree of the Government of the Russian Federation of 09/01/2012 No. 875.

What does a risk-based approach bring to us in control and supervision activities?

The amendments determine that federal state supervision in the sphere of labor should be carried out using a risk-based approach.

As follows from the updated Decree No. 875, the activities of employers should be classified as a certain category of risk in accordance with the Rules approved by Decree of the Government of the Russian Federation of August 17, 2016 No. 806.

• decisions of the main state inspector labor of the Russian Federation (his deputy) - if classified as high risk;
• decisions of the chief state labor inspector in the constituent entity of the Russian Federation (his deputy) - when classified as significant, medium and moderate risk.

The changes stipulate that the conduct of scheduled inspections in relation to legal entities or individual entrepreneurs depends on the assigned risk category and should be carried out with the following frequency:

• for the high risk category - once every 2 years;
• for the category of significant risk - once every 3 years;
• for the category of medium risk - no more than once every 5 years;
• for the moderate risk category - no more than once every 6 years.

In accordance with Part 7 of Article 9 of the Federal Law of December 26, 2008 No. 294-FZ “On the Protection of the Rights of Legal Entities and Individual Entrepreneurs in the Implementation of State Control (Supervision) and Municipal Control”, the Prosecutor General’s Office of the Russian Federation forms an annual consolidated plan for scheduled inspections and places it on the official website of the Prosecutor General's Office of the Russian Federation on the Internet until December 31 of the current calendar year.

That's all for now.

We hope this material will help you find your bearings in a timely manner and adequately meet the inspectors.

The note was prepared by my assistant for the development of the official group on VKontakte, Svetlana Podberezina.

To be continued …

Prime Minister Dmitry Medvedev signed a resolution developed with the participation of Open Government experts on the application of a risk-based approach to organizing certain types state control. According to this document, already in 2017, the intensity and form of inspections for three types of supervision - sanitary and epidemiological, fire and communications supervision - will depend on the degree of risk at a particular facility. Thus, the transition of departments to "smart" control is now officially fixed. From 2018, all regulatory and supervisory authorities will have to switch to the new model.

The point is to direct the main attention of control and oversight bodies to where the risk of violations is clearly higher. This should save conscientious representatives of business from excessive administrative guardianship ... This is, indeed, part of a large-scale work to improve the control and supervisory functions of the state. The documents were prepared with the participation of the business community and members Expert Council”, Dmitry Medvedev noted during a government meeting on August 25.

The resolution on the risk-based approach was developed as part of the "" improvement of control and supervisory activities in the Russian Federation for 2016-2017, approved in April this year, which was prepared in the most public mode on the platform of the government subcommittee chaired by the Minister of the Russian Federation for Open Government Mikhail Abyzov . The draft resolution at the site of the subcommittee, the comments of the business community and the Government of the Russian Federation were taken into account when finalizing the document. Recall that the reform of control and supervisory activities is one of the projects that will be implemented as part of the work of the Presidential Administration on strategic development and priority projects.

The signed resolution is part of a large work and fixes a clear approach that all control and oversight bodies without exception will be required to implement as part of the implementation of the priority national project on the reform of control and supervision. The risk-based inspection model is already used in most developed countries of the world, its application, according to international experts, has reduced the total number of inspections by 30–90%, and certain categories of business in which potential risks to the security of the state and society are minimal no longer subject to scheduled inspections. In Russia, the risk-based approach has so far been implemented in five departments, which account for 75-80% of all inspections. These are the Ministry of Emergency Situations, the Federal Tax Service, Rospotrebnadzor, Rostekhnadzor and Rostrud. During the pilot projects, successful practices have been developed, which now need to be scaled up. Since 2017, the "smart" inspection model is now in without fail will be implemented in the Ministry of Emergency Situations, Rospotrebnadzor, the Federal Medical and Biological Agency and Roskomnadzor,” says Mikhail Abyzov.

The rules and criteria for classifying inspected objects to a particular hazard class or risk category are established by a Government decree. All inspected objects are divided into 6 risk categories. They will be assigned not only based on the potential danger, but also depending on how often violations are detected at a particular facility.

Facilities of hazard classes 1, 2 and 3, the risks of which are assessed as extremely high, high and significant, will be subject to regular scheduled inspections. We are talking, for example, about organizations operating radiation and nuclear hazardous industries, facilities for the destruction of chemical weapons, laboratories working with pathogenic microorganisms. At enterprises of medium and moderate risk scheduled inspections it will not be possible to conduct more than once in the period provided for by a specific type of state control. And objects of the 6th hazard class will be exempted from scheduled inspections.

Thus, the attention of the inspection bodies will be focused on facilities where a security breach can lead to the most serious consequences, as well as on persistent violators. Such an approach will, on the one hand, increase the overall security of the state and society by increasing the efficiency of control and supervision activities and optimize labor and financial resources regulatory authorities. And on the other hand, to free conscientious entrepreneurs whose business does not carry serious potential risks from excessive attention of controllers, excessive administrative pressure and related costs. The regulation also provides for the possibility of moving from one risk category to another depending on the quality of compliance. But it is important that departmental methods of classifying risk categories are as transparent and understandable as possible for both entrepreneurs and ordinary citizens, and that it is possible to accurately determine which category an object belongs to,” Mikhail Abyzov believes.

The Ministry of Emergency Situations, FMBA, Rospotrebnadzor and Roskomnadzor will have to report the results of the implementation of the resolution to the Government Commission for Administrative Reform by February 1, 2017. Based on the results of the introduction of a risk-based approach in these departments, the methodology for distributing objects by risk categories can be improved, the minister believes. Assumed from 2018 new model should apply to all types of control and supervision falling under the 294-FZ on the protection of the rights of entrepreneurs. Therefore, according to Mikhail Abyzov, inspection plans for 2018 will need to be drawn up taking into account the risk-based approach.

A comprehensive reform of the system of state control and supervision is carried out on behalf of the head of state in the format of the Open Government. In the summer of this year, as part of the reform, it was prepared and adopted by the State Duma in 294-FZ, which will come into force in 2017. It will ensure the protection of the rights of entrepreneurs in the implementation of control and supervisory activities. The amendments, among other things, give regulatory framework to apply a risk-based approach to control and supervision activities. One of the key points of the reform is expected to be the adoption this year federal law about the state and municipal control and supervision. To work on this fundamental document, on behalf of the head of state, an interdepartmental working group headed by Mikhail Abyzov.

President of the Russian Federation Vladimir Putin, following a meeting held on July 22 with members of the Government dedicated to improving state control, instructed the Cabinet of Ministers to ensure the adoption of regulatory legal acts providing for the use of a risk-based approach in organizing control and supervisory activities, as well as optimizing such activities at the regional level by December 31 this year. and municipal levels. Responsible for this in the Government are the heads of the Ministry of Economic Development and the Ministry of Justice, as well as the Minister of the Russian Federation, Mikhail Abyzov.

According to Open Government experts, the signing of a resolution on a risk-based approach is one of the signs of a thaw in the field of state regulation and supervision.

The signed resolution of the Government, officially approving the new approach to state control, is a balanced, largely compromise result joint work expert and business community and representatives of government agencies, which was coordinated by Minister Mikhail Abyzov. Entrepreneurs finally have criteria for when and under what circumstances the supervisory authority can come with an audit. This is a huge step forward, this is a real revolutionary story,” said Marina Bludyan, Vice President of OPORA RUSSIA.

The entry into force of the new rules of control and supervision activities will quickly lead to an improvement in the situation of entrepreneurs, especially small and medium-sized businesses, the co-chair is sure “ Business Russia”, member of the Expert Council under the Government Alexei Repik.

Of course, the division of business according to the level of danger with the corresponding redistribution of the attention of inspection bodies is a plus. Moreover, the positive effect will be noticeable not only for entrepreneurs, but also for the controllers themselves. First, inspection bodies will be able to optimize their human and financial resources. Secondly, the effectiveness of inspections should increase. When an object is deliberately assigned to one or another hazard class, this is no longer a search for a needle in a haystack, but purposeful work to maintain the epidemiological situation is normal, to preserve environment", - he considers.

Now, according to Aleksey Repik, it will be necessary to work on the introduction of an audit of control and supervisory activities and to abandon "scheduled checks", which are done only "for show".

For business, the transition to a risk-based approach will be useful in terms of reducing the cost of interaction with state control bodies, the director of the Technology Center believes government controlled RANEPA, member of the Expert Council under the Government Vladimir Yuzhakov. But at the same time, according to him, it is not yet clear how much the inevitable "bureaucratic procedures and bidding" for classifying it as a low hazard class will cost businesses.

When establishing risk categories and hazard classes for business activities and production facilities, it is necessary to simultaneously look at whether it is expedient to maintain state control over activities and production facilities with low hazard classes, taking into account the possibility of replacing it with non-state control tools. And in terms of activities and production facilities with high hazard classes, it is necessary to evaluate the effectiveness of state control and its contribution to the protection of legally protected values,” the expert believes.

• Decree of the Government on the application of a risk-based approach in the organization of certain types of state control

Risk is an integral part of any enterprise and activity. No matter what you do, there is always the possibility that something will go wrong. This is especially true for business, since in this area risks exist in a variety of forms and can manifest themselves in the most unexpected places and moments. That is why there is a risk-based approach that allows you to operate as efficiently as possible in conditions of increased risk. What is the essence of this process? What are his factors? Is it used in Russian Federation and if so, at what level? This article will be completely devoted to the approach, and all the details that concern it.

The essence of the approach

So, first of all, it is necessary to understand what a risk-based approach is. Imagine an enterprise that operates in any market. Exists great amount risks that concern it, depending on what kind of activity it carries out. Carrying out control and supervisory activities at this enterprise can be carried out in a variety of ways, but recently the most popular is the risk-based approach. The specialist analyzes everything possible risks that relate to this enterprise, highlights the largest among them, weeds out those that do not greatly affect the activities of the enterprise, and then creates a full-fledged strategy to combat them so that the enterprise can function as efficiently as possible, reducing their likelihood. So the essence of this method, in other words, is to find those factors that prevent the enterprise from functioning one hundred percent, and their further leveling.

Relationship between risk and business

Many entrepreneurs may wonder: why do they need a risk-based approach in control and supervision? After all, their enterprise is small, therefore, the risks are all on the surface, and they do not pose a real danger. However, this is a big misconception. Even the smallest enterprise can have dozens of different ones, many of which are hidden from the layman's eyes. As a result, they go unnoticed, are implemented and do not allow the enterprise to achieve the desired goal. Accordingly, a risk-based approach to control and oversight is very important, as it allows you to identify all risk factors even before they could be realized, and then turn this information into a full-fledged business plan that allows the enterprise to function, avoiding implementation. of this or that risk factor, thereby increasing their productivity. The entrepreneur will be able to visually see which processes are most at risk - and not run them, in order to significantly increase their chance of success. Well, now you understand in general terms what this method is. It's time to take it apart and examine it more closely.

Risk

Before embarking on a risk-based approach, you need to have a clear understanding of the basic concepts associated with this process. And the first, of course, is the risk. What it is? A risk is a certain event that has not yet happened and is not happening, but may happen in the future - and at the same time it has certain percentage the likelihood of harm to your business. The difficulty here lies in the fact that the risk can be both directly the event itself, and a factor influencing others. At the same time, one should not forget that it may or may not happen, its effect can be both serious and weak. That is why it is recommended to invite a specialist in this approach to use it, since here a lot depends on the experience of a professional. A person who has been working with a risk-based approach for more than a year will be able to more clearly and quickly determine the severity of certain risks, to distinguish between their factors.

Initial and residual risks

What else you need to know about Organizations are using it more and more. However, it is recommended to use the services of specialists, as they will be able to help you draw up a risk plan for your enterprise in the most effective way. For example, you are unlikely to know what initial and residual risks are, and also what is the difference between them. Naturally, you should know about this even if you do not plan to use this approach, as it is very important information. The fact is that sometimes even the most serious measures do not give you a 100% guarantee that the risk will not be activated. That is why this distinction exists. The initial risk is the one that exists initially without any third-party intervention on your part, while the residual risk is the one that remains after all possible measures have been taken to eliminate it. Naturally, more often than not, the residual risk has a much lower chance of activation and much less potential damage. And this already makes it clear that a risk-based approach to control is very effective and incredibly useful for any type of business.

risk factor

The term “risk factor” has been mentioned more than once above - but what does it mean? It is the result of some action, inaction, or condition that increases the likelihood of a particular risk occurring, and also increases the likely damage that will be caused when it is activated. The risk factor that triggers the risk realization process is the cause, and this is a big misconception for many people. The fact is that some factor will be the cause, but not all factors are the cause. You can easily remember that there will be one reason for risk activation, and there can be many side factors that will increase the probability of activation and increase damage. It is not difficult to imagine that both risk factors and the risk-based approach itself will differ in different industries. In labor protection, for example, risk factors are unlikely to coincide with those that exist in the field of small business. So now you have a general idea of ​​how this works. It's time to take a look at good example. And what would be better than the recently launched process of introducing a risk-based approach into the system of organizing state control and supervision in the Russian Federation?

Issuing a Decree

On April 1, 2016, the Russian Federation issued a Government Decree on a risk-based approach to organizing and conducting control and supervision activities. In accordance with it, it was decided to introduce this approach at the state level in order to increase the functionality and efficiency of government bodies. In principle, the same thing happens in the field of business - an entrepreneur must decide on the implementation of a risk-based approach, and already it, documented, starts the whole process, which will be discussed now.

Definition of types of control

So, where did the risk-based approach of the organization in the government of the Russian Federation begin? First of all, the government decree outlined the types of control that will be subject to change after the introduction of this approach. In other words, the risk-based approach, when fully implemented, will not affect all areas, but only those that were identified in the resolution. What are these spheres? In accordance with the resolution, the following types of state control and supervision will be carried out using a risk-based approach: federal state fire supervision, federal state sanitary and epidemic supervision, federal state supervision in the field of communications and federal state supervision over compliance with labor laws. However, this is not the only information contained in the decision.

Introduction of rules

What else was contained in the resolution, according to which the risk-based approach was launched for the areas of activity indicated above? State supervision in these areas will be carried out in accordance with the rules, which were also indicated in the text of the resolution. A total of 21 rules were identified. They must be followed government bodies when carrying out supervision and control in the relevant areas of activity.

Risk Categories and Assignment Criteria

But the information provided by the decree does not end there either - it also defines specific risk categories, hazard classes, as well as features of measures when a particular category of risk and danger is detected. Moreover, the text of the resolution also created criteria for classifying a particular individual or legal entity as a certain category of risk and danger. As a matter of fact, this is where the theoretical part ended - and from April 2016, the decree began to come into force in stages. By the way, the process is still not finished, so it will be interesting to look at which steps have already been successfully completed, which are underway, and which have not even started yet and are only scheduled for a certain date in the future.

Calculation methods

The first practical task, which began in May 2016, was the development of methods for calculating the values ​​of indicators, which will later be used to determine the degree of danger of a particular factor and the risk itself. Please note that this process is very important and time-consuming, since, in fact, it is its results that will be the foundation for the further activities of the program. Therefore, work on this step is still underway, although it was started many months ago.

Unscheduled checks

As for this step, it was very short and fast - during it it was necessary to legislate the possibility of using this approach when conducting unscheduled inspections. This was already done in the second quarter of 2016.

The next step was the preparation of deployed guidelines which could be used by the relevant state government bodies to implement a risk-based approach in their activities. This step will require a lot of effort, as it implies the presence finished project, according to which recommendations will be created. That is why the deadline for the implementation of this item is set for February 2017 - and the responsible authorities are still working on its completion.

Summing up the preliminary results

By March 2017, the preliminary results of the introduction of a risk-based approach to the above state supervision bodies should be summed up. The fact is that this approach is planned to be used much more widely in the future, so now it is being implemented only in a limited number of areas, and now there is an assessment of how effective this project is. In March 2017, the results will be summed up and, based on the results, a decision will be made on how much the list of types of supervision will be expanded in the near future, and what it will be like by 2018, that is, by the time this approach is fully implemented in state supervisory authorities .

Seminars

In June 2016, the first seminar was held on the exchange of successful practices in the functioning of the risk-based approach in state control and supervision bodies. This step has no statute of limitations, as it must be done every six months. It is likely that after the full implementation of the system, adjustments will be made to this item, but until 2018, these workshops will be held every six months, which will significantly improve the functionality of this project.

Decree of August 17, 2016 No. 806. The Rules for classifying the activities of legal entities and individual entrepreneurs and (or) the production facilities used by them to a certain risk category or a certain class (category) of danger have been approved. In order to gradually develop the mechanism for switching to a risk-based model for certain types of state control, a list of types of control has been defined, under which this approach will be applied until January 1, 2018. The decisions taken are aimed at the active use of risk assessment methods in order to reduce the overall administrative burden on the subjects entrepreneurial activity. At the same time, the introduction of a risk-based approach will improve the efficiency of control and supervision activities.

Reference

Prepared by the Ministry of Economic Development of Russia in order to implement the Federal Law of July 13, 2015 No. 246-FZ "On Amending the Federal Law "On the Protection of the Rights of Legal Entities and Individual Entrepreneurs in the Implementation of State Control (Supervision) and Municipal Control" (hereinafter referred to as the Federal Law No. 246-FZ).

Federal Law No. 246-FZ provides that from January 1, 2018, state control (supervision) bodies apply a risk-based approach when organizing certain types of state control. Such types of state control are determined by the Government of Russia.

The risk-based approach is a method of organizing and conducting state control (supervision), in which the choice of intensity (form, duration, frequency) of control measures is determined by attributing the activities of a legal entity, individual entrepreneur and (or) the production facilities used by them in such activities to a certain risk category or a certain hazard class.

The signed resolution approved the Rules for classifying the activities of legal entities and individual entrepreneurs and (or) the production facilities used by them to a certain category of risk or a certain class (category) of danger.

In order to gradually develop the mechanism for switching to a risk-based model for certain types of state control, a list of types of state control (supervision) has been defined, under which this approach will be applied until January 1, 2018. This list includes:

• federal state supervision in the field of communications;
• federal state sanitary and epidemiological supervision, which is carried out by Rospotrebnadzor and the Federal Medical and Biological Agency;
• federal state fire supervision.

Amendments have been made to the provisions on federal state supervision in the field of communications, federal state sanitary and epidemiological supervision and federal state fire supervision, which, in particular, establish risk categories or hazard classes that are applied in this type of control (supervision); criteria for assigning control objects to a certain risk category or a certain hazard class; the frequency of scheduled inspections depending on the risk category or hazard class assigned to the control objects.

The decisions taken are aimed at the active use of risk assessment methods in order to reduce the overall administrative burden on business entities.

At the same time, the introduction of a risk-based approach will improve the efficiency of control and supervision activities.

On September 3, 2016, Decree No. 806 "On a risk-based approach" was issued. It regulates the nuances of establishing risk classes for individual entrepreneurs and legal entities. The Decree also lists the forms of state control, in the use of which the risk-based approach is relevant.

What is a risk-based approach

A risk-based approach (RBA) is a method of organizing supervision, in which the rigor of the implementation of control measures depends on the risk category of the audited entities. Legal entities or individual entrepreneurs are assigned a hazard class by regulatory authorities. This takes into account the severity of the results of non-compliance with safety rules. The ROP is used for the following purposes:

• Optimization of resource usage during the check.
• Reducing the costs of legal entities and individual entrepreneurs.
• Increasing the effectiveness of supervisory activities.
• Increasing the safety of the activities of the audited entities.
• Reducing the number of emergencies and their consequences.
• Reducing the complexity of supervisory activities.

The use of a risk-based approach is regulated by the article of the Federal Law of December 26, 2008 No. 294, Government Decree of July 5, 2017 No. 801. What is the essence of ROP? When conducting inspections, two approaches are used: full and differentiated. Comprehensive checks are distinguished by the waste of large resources and low efficiency. Targeted inspections allow inspection bodies to focus their efforts on organizations that have the potential to cause harm. At the same time, the burden on organizations that do not pose any threat is reduced. That is, the number of checks against bona fide institutions is decreasing.

NOTE! A risk-based approach is used in the inspections of medical institutions, in the control of fire safety. It's a pretty versatile tool.

Basic principles of a risk-based approach

Consider the basic principles of ROP:

1. Clearly defined risk criteria. The ability to accurately determine potential risk Legal entities and individual entrepreneurs according to the established criteria.
2. Targeting the activities of companies that may pose a danger to values ​​protected by law.
3. Formation of a risk management system.
4. Evaluation of the subject for compliance with the risk category based on truthful and complete information.
5. The subject may change, and therefore periodic reassessment of risks is important.
6. Improving the system for collecting information, on the basis of which a decision is made to award a certain category.

The assessment must be carried out in an unbiased manner. Before awarding a category, the entire necessary information about the subject.

How is the risk class determined?

• Potential harm when ignoring the requirements, the degree of negative consequences.
• The degree of probability of violation of the requirements.

The procedure for awarding a risk category is regulated by Resolution No. 806 of August 17, 2016. Verification is carried out in relation to medical institutions. A specific category is awarded based on the information contained in the single register licenses for medical activity. Only the head or deputy head of Roszdravnadzor can allocate subjects with a certain risk class. This procedure is carried out on the basis of the criteria set out in the annex to Decree No. 801.

Categories of risk

When determining the category, a risk indicator is used. It is formed by summing up the values ​​of indicators that are characteristic of a particular subject. The data for calculations are given in the appendix to Decree No. 801. Consider the categories:

1. Very high risk.
2. High.
3. Significant.
4. Moderate.
5. Reduced.

Frequency of checks

• Very high - checks once a year.
• High risk - checks every two years.
• Significant - once every three years.
• The average is once every five years.
• Moderate - once every six years.
• If the risk is low, checks are not carried out.

There are also criteria for the likelihood of non-compliance by the subject of the requirements, which may entail Negative consequences. The assessment of this probability is carried out on the basis of information about the results of checks performed earlier, the penalties imposed.

The structure of the risk-based approach system

The implementation of the ROP involves the passage of a number of stages. Consider the main stages of checks:

1. Formation of categories of risk classes.
2. Collection of information about a particular subject.
3. Analysis of the received information.
4. Planning of supervisory activities.
5. Implementation of checks.
6. Analysis of the effectiveness of supervisory measures.

After the checks, if required, the risk category of the subject is changed.

The nuances of collecting information about the subject

In relation to the company, information must be collected before the audit. In particular, the following data is collected:

• Having a license.
• Passing certification.
• Insurance.
• Indicators of accidents and injuries.
• Reporting on risks and other indicators.
• Declarations and expertise.
• The presence of an internal unit that monitors the implementation of requirements.
• The presence of administrative penalties for violations in the company.
• Information about the implementation of instructions and recommendations of state bodies.
• Data on the presence of accidents and incidents in the institution.
• Elimination of violations that were identified as a result of previous audits.
• Other information about a particular entity related to the subject of supervisory measures.

When analyzing a company, the whole set of information is taken into account.

Nuances of fire safety inspection using a risk-based approach

When assigning a category, as mentioned earlier, the possibility of violation of the requirements by the subject is taken into account. If an institution frequently violates the requirements, a higher hazard class is assigned. The possibility of violations of the requirements implies the analysis of information such as:

1. The results of past audits in which the non-compliance of the subject with security requirements was revealed.
2. Availability of data on fires in the facility during the previous 5 years.
3. The presence of an administrative penalty regarding violations of fire safety requirements that have entered into force over the past 3 years.

The risk class is regularly reassessed. The transition to another category is carried out in accordance with the following conditions:

1. The formation of fire departments to increase the degree of protection.
2. Formation in the institution of a special unit that will deal with the prevention of fires. The personnel of the unit should include employees with a fire-technical education and work experience in the relevant authorities of at least 5 years.
3. Absence of violations of fire safety during the performance of inspections.

For example, an inspection was carried out in the institution, as a result of which no violations were revealed. In this case, the subject, instead of a significant risk category, acquires an average risk class. The transition from one category to another must be justified. If nothing has changed in the institution, then the risk class will not change.