Formation of a clear database on controlled entities, linking risk assessment systems of different control and supervisory authorities and updating mandatory requirements - these are the key aspects of implementing a risk-oriented model of inspections outlined by the participants of the expert seminar organized on March 17 by the Analytical Center under the Government of the Russian Federation and under the Government of the Russian Federation on on behalf of the Russian Minister for Open Government, Mikhail Abyzov. The best practices presented at the seminar for applying the risk-based approach and assessing effectiveness in control and supervisory activities will soon be summarized by the expert and scientific community.

At the beginning of 2016, risk management systems were used to one degree or another in the implementation of 12 types of federal government control and supervision. The risk-based approach is being tested in five departments: the Ministry of Emergency Situations, Rostechnadzor, Rostrud, Rospotrebnadzor and the Federal Tax Service.

The Federal Tax Service, according to most experts, demonstrates the greatest success in terms of the transition to a risk-based model of control and supervision. According to the deputy head of the department, Daniil Egorov, it became necessary to develop a risk management model and identify priority objects for inspections by the Federal Tax Service when it became clear that the service was physically unable to cope with conducting on-site inspections of all taxpayers. The result of the transition to the new model was a significant reduction in the number of on-site inspections carried out annually - from 100 thousand in 2007 to 30 thousand in 2015.

The strategic management system is at the forefront. Only after we have clearly defined all the goals can we draw a risk map. The second is a system of indicators, a KPI system. If this system is not built, then there will be no synergy,” noted Daniil Egorov.

Important aspects of the transition to risk-based control, according to him, are the introduction of modern information systems, centralization of risk management, maximum disclosure of data and work with taxpayers, their advisory support and stimulation of voluntary payment of taxes.

Having created a powerful IT platform for performing the tax function, they were able to actually, rather than formally, implement a risk-based approach. Some regulatory authorities, paying tribute to fashion, say that they already have a risk management system. But, having carefully examined them, we understand that this is only a fragment of an integral mechanism,” noted Valentin Letunovsky, Deputy Head of the Control Department of the President of the Russian Federation.

Other departments began to implement the risk-based inspection model later, but they also managed to accumulate some experience. Thus, Rospotrebnadzor identified 9 territorial bodies to test the new approach and determined the procedure for forming a unified federal register of legal entities and individual entrepreneurs subject to their supervision. The register contains information that allows you to classify an object into a certain class of harm based on criteria such as the likelihood of violation of the law, the severity of the consequences of such violations and the size of the population exposed to the impact. Rospotrebnadzor classified about 54% of transport infrastructure facilities and 33% of industrial enterprises as low-risk objects that are removed from planned supervision. The inspection plan for 2016 was formed taking into account a risk-based approach, as a result, the number of scheduled inspections for 2016 decreased by 30% compared to last year, said Deputy Head of Rospotrebnadzor Mikhail Orlov.

When implementing a risk-based model, it is important to ensure the alignment of risk profiles between different departments responsible for related areas, emphasized Valentin Letunovsky. As an example, he cited Rospotrebnadzor, Rosselkhoznadzor and Rosprirodnadzor. The coordinating function should be assigned to a specific government agency - the chief methodologist, he believes.

Rostrud has identified 6 risk categories for supervised facilities, based on which the frequency of inspections is determined. The level of risk depends on the class of working conditions, industry, and scale of activity, explained deputy head of the department Mikhail Ivankov. According to him, Rostrud has begun creating a full-fledged system for managing control and supervisory activities; it is planned to be implemented in pilot mode by the end of the year. And the launch of the “Electronic Inspector” service - an internal control system at enterprises - allowed business entities to reduce the costs of inspections by 2.2 billion rubles.

Thanks to the pilot implementation of a risk-based approach, the Ministry of Emergency Situations managed to reduce the number of scheduled inspections from 173 thousand to 130 thousand per year. The main task at this stage is to improve the regulatory framework and eliminate morally and technically outdated standards, noted Sergei Voronov, deputy director of the department of supervisory activities and preventive work of the department. The main goal of improving control and supervisory activities is to reduce the number of fires and the number of deaths in them, he emphasized.

Representatives of the Federal Service for Financial Monitoring, the Federal Medical and Biological Agency, and Rostransnadzor also shared their experience in implementing a risk-based approach.

A risk-based model of control and supervisory activities is being introduced in pilot mode in the Ulyanovsk region. The main activities aimed at improving control and supervisory activities in the region and the transition to a risk-based model are enshrined in “Risk Control for a Comfortable and Safe Life and Effective Business” for 2015–2017. This document was developed by federal and regional experts together with the Government of the Russian Federation and the Russian Minister for Open Government Issues Mikhail Abyzov and approved in August 2015.

This “road map” is currently being implemented; a project office has been formed that is responsible for its implementation. It consists of representatives of executive authorities, public organizations that represent the interests of the business community, and commissioners for the protection of the rights of entrepreneurs,” said the acting. Minister of Economic Development of the Ulyanovsk Region Vadim Pavlov.

In the region, according to him, a register of mandatory requirements and a classifier of violations has been created, and the principle of “first a warning, then a fine” has been implemented for violations detected for the first time. In addition, based on our own experience in implementing a risk-based inspection model in the Ulyanovsk region, proposals have been prepared for a regional standard for control activities.

The study of best practices, according to the participants of the expert seminar, will make it possible to make adjustments to the federal project on state and municipal control, which is being developed by the Ministry of Economic Development with the involvement of the expert community on behalf of the President of the Russian Federation.

On September 3, 2016, Resolution No. 806 “On the Risk-Based Approach” was issued. It regulates the nuances of establishing risk classes for individual entrepreneurs and legal entities. The Resolution lists the forms of state control, when using which a risk-based approach is relevant.

What is a risk-based approach?

The risk-based approach (ROA) is a way of organizing supervision, within which the rigor of control activities depends on the risk category of the subjects being inspected. A legal entity or individual entrepreneur is assigned a hazard class by regulatory authorities. The severity of the consequences of non-compliance with safety rules is taken into account. ROP is used for the following purposes:

• Optimizing the use of resources during inspections.
• Reducing costs for legal entities and individual entrepreneurs.
• Increasing the effectiveness of supervisory activities.
• Improving the safety of the activities of inspected entities.
• Reducing the number of emergency situations and their consequences.
• Reducing the labor intensity of supervisory activities.

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

FOR YOUR INFORMATION! A risk-based approach is used when inspecting medical institutions and monitoring fire safety. This is a fairly versatile tool.

Basic principles of a risk-based approach

Let's consider the basic principles of ROP:

1. Clearly defined risk criteria. The ability to accurately determine the potential risk of legal entities and individual entrepreneurs according to the generated 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. Assessment 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 on awarding a certain category.

The assessment must be carried out without bias. Before awarding a category, all necessary information about the subject is collected.

How is risk class determined?

• Potential harm if requirements are ignored, the degree of negative consequences.
• The degree of probability of violation of requirements.

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

Risk categories

The risk score is used to determine the category. It is formed by summing the values ​​of indicators that are characteristic of a particular subject. Data for calculations are given in the appendix to Resolution No. 801. Let's look at the categories:

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

Frequency of inspections

• Very high – inspections once a year.
• High risk – inspections every two years.
• Significant - once every three years.
• Average – once every five years.
• Moderate – once every six years.
• If the risk is low, no inspections are carried out.

There are also criteria for the likelihood of a subject's non-compliance with requirements, which could lead to negative consequences. This probability is assessed on the basis of information about the results of checks carried out previously and the penalties imposed.

Structure of the risk-based approach system

The implementation of EPR involves going through a number of stages. Let's consider the main stages of checks:

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

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

Nuances of collecting information about the subject

For a company, information must be collected before conducting an inspection. In particular, the following data is collected:

• Availability of a license.
• Passing the certification.
• Insurance.
• Accident and injury rates.
• Reporting on risks and other indicators.
• Declarations and examination.
• Availability of an internal unit that monitors compliance with requirements.
• Availability of administrative penalties regarding violations in the company.
• Information on the implementation of regulations and recommendations of government agencies.
• Data on the presence of accidents and incidents in the institution.
• Elimination of violations that were identified as a result of previous inspections.
• Other information about a specific entity related to the subject of supervisory measures.

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

Nuances of fire safety testing 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 requirements involves the analysis of information such as:

1. The results of past inspections, which revealed the subject’s non-compliance with security requirements.
2. Availability of data on fires in the institution during the previous 5 years.
3. The presence of an administrative penalty relating to violation of fire safety requirements that came into force within the last 3 years.

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

1. Formation of fire departments to increase the degree of protection.
2. The formation of a special unit in the institution that will deal with fire prevention. The personnel of the unit must include employees with fire-technical education and work experience in the relevant authorities of at least 5 years.
3. No fire safety violations during inspections.

For example, an inspection was carried out at the institution, as a result of which no violations were identified. In this case, the subject, instead of a significant risk category, acquires a medium 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.

Prime Minister Dmitry Medvedev signed a decree developed with the participation of Open Government experts on the use of a risk-based approach when organizing certain types of government control. According to this document, already in 2017, the intensity and form of inspections for three types of supervision - sanitary-epidemiological, fire and communications supervision - will depend on the degree of risks at a particular facility. Thus, the transition of departments to “smart” control is now formalized. Starting from 2018, all control and supervisory authorities will have to switch to the new model.

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

The resolution on the risk-based approach was developed within the framework of the “improvement of control and supervisory activities in the Russian Federation for 2016–2017” approved in April of this year, which was prepared in the most public mode at the site of a government subcommittee chaired by the Russian Minister for Open Government Affairs Mikhail Abyzov . The draft resolution at the subcommittee site, comments from the business community and the Government of the Russian Federation were taken into account when finalizing the document. Let us remind you that the reform of control and supervisory activities is among the projects that will be implemented as part of the presidential work on strategic development and priority projects.

The signed resolution is part of a lot of work and sets out a clear approach that all control and supervisory authorities without exception will be required to implement as part of the implementation of a priority national project on control and supervision reform. The risk-based inspection model is already used in most developed countries of the world; its use, 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, Rostechnadzor and Rostrud. During the pilot projects, successful practices were developed that now need to be scaled up. Starting from 2017, the “smart” inspection model will now be implemented without fail in the Ministry of Emergency Situations, Rospotrebnadzor, the Federal Medical-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 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, chemical weapons destruction facilities, and laboratories working with pathogenic microorganisms. At medium and moderate risk enterprises, scheduled inspections cannot be carried out more than once during the period provided for by a specific type of state control. And objects of hazard class 6 will be exempt from scheduled inspections.

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

The results of the implementation of the resolution of the Ministry of Emergency Situations, FMBA, Rospotrebnadzor and Roskomnadzor will have to report 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 into risk categories can be improved, the minister believes. It is expected that from 2018 the new model should extend to all types of control and supervision falling under Federal Law 294 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 a 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 Open Government format. In the summer of this year, as part of the reform, Federal Law 294 was prepared and adopted by the State Duma, which will come into force in 2017. It will ensure the protection of the rights of entrepreneurs when carrying out control and supervisory activities. The amendments, among other things, provide a regulatory framework for the application of a risk-based approach in control and supervisory activities. One of the key points of the reform is expected to be the adoption this year of a federal law on state and municipal control and supervision. To work on this fundamental document, on behalf of the head of state, an interdepartmental working group was created, headed by Mikhail Abyzov.

Following the results of the July 22 meeting with members of the Government dedicated to improving state control, Russian President Vladimir Putin instructed the Cabinet of Ministers to ensure the adoption of regulations by December 31 of this year that provide for the use of a risk-based approach in organizing control and supervisory activities, as well as the optimization of such activities at the regional level. and municipal levels. The heads of the Ministry of Economic Development and the Ministry of Justice, as well as the Minister of the Russian Federation Mikhail Abyzov, are responsible for this in the Government.

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

The signed government resolution, officially approving a new approach to state control, is a balanced, compromise in many respects the result of the joint work of the 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 a supervisory authority can come with an inspection. This is a huge step forward, this is a real revolutionary story,” says OPORA RUSSIA Vice President Marina Bludyan.

The entry into force of the new rules of control and supervisory activities will quite quickly lead to an improvement in the situation of entrepreneurs, especially small and medium-sized businesses, co-chairman of Business Russia, member of the Expert Council under the Government, Alexey Repik, is confident.

Of course, dividing the business according to the level of danger with a corresponding redistribution of the attention of inspection authorities is a plus. Moreover, the positive effect will be noticeable not only for entrepreneurs, but also for the controllers themselves. Firstly, inspection bodies will be able to optimize their labor and financial resources. Secondly, the effectiveness of inspections should increase. When an object is obviously classified as one or another danger class, this is no longer a search for a needle in a haystack, but targeted work to maintain the epidemiological situation normal and to preserve the environment,” he believes.

Now, according to Alexey Repik, it will be necessary to work on introducing an audit of control and supervisory activities and abandon “scheduled checks” that are done just “for show.”

For business, the transition to a risk-based approach will be useful in terms of reducing the costs of interaction with state control authorities, says Vladimir Yuzhakov, director of the Center for Public Administration Technologies of the Russian Academy of National Economy and Public Administration, member of the Expert Council under the Government. But at the same time, according to him, it is not yet clear how much the inevitable “bureaucratic procedures and bidding” for classification into low hazard classes will cost businesses.

When establishing risk categories and hazard classes for business activities and production facilities, it is necessary to simultaneously consider whether it is advisable to maintain state control over activities and production facilities with low hazard classes, taking into account the possibility of its replacement with non-state control instruments. 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.

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

Revisions of the document have been prepared with changes that have not entered into force

Article 8.1. Application of a risk-based approach in organizing state control (supervision)

1. In order to optimally use labor, material and financial resources involved in the implementation of state control (supervision), reduce costs of legal entities, individual entrepreneurs and increase the effectiveness of their activities by state control (supervision) bodies when organizing certain types of state control (supervision), may apply a risk-based approach.

1.1. The list of types of federal state control (supervision), in relation to which a risk-based approach is applied, is determined by the Government of the Russian Federation.

1.2. The list of types of regional state control (supervision a), in respect of which a risk-based approach is applied, is established by the highest executive body of state power of the constituent entity of the Russian Federation. The Government of the Russian Federation has the right to determine the types of regional state control (supervision), in the organization of which a risk-based approach is mandatory.

2. The risk-based approach is a method of organizing and implementing state control (supervision), in which, in the cases provided for by this Federal Law, the choice of intensity (form, duration, frequency) of control measures, measures to prevent violations of mandatory requirements is determined by the attribution of the activities of the legal persons, individual entrepreneurs and (or) production facilities used by them in carrying out such activities to a certain risk category or a certain class (category) of danger.

(see text in the previous edition)

3. Attribution to a certain class (category) of hazard is carried out by the state control (supervision) body, taking into account the severity of the potential negative consequences of possible non-compliance by legal entities and individual entrepreneurs with mandatory requirements, and to a certain risk category - also taking into account the assessment of the likelihood of non-compliance with the relevant mandatory requirements.

4. The criteria for classifying the activities of legal entities, individual entrepreneurs and (or) the production facilities they use to a certain risk category or a certain class (category) of danger are determined by the Government of the Russian Federation, unless such criteria are established by federal law. The criteria for classifying the activities of legal entities, individual entrepreneurs and (or) production facilities used by them to a certain risk category or a certain class (category) of danger when organizing regional state control (supervision) are determined by the highest executive body of state power of a constituent entity of the Russian Federation, if such criteria are not established federal law or the Government of the Russian Federation. The Government of the Russian Federation has the right to determine general requirements for the criteria for classifying the activities of legal entities, individual entrepreneurs and (or) production facilities used by them to a certain risk category or a certain class (category) of danger when organizing regional state control (supervision), as well as to the procedure for their establishment .

(see text in the previous edition)

5. If the criteria for classifying the activities of legal entities, individual entrepreneurs and (or) the production facilities they use to a certain risk category provide for the state control (supervision) body to calculate the values ​​of indicators used to assess the severity of the potential negative consequences of possible non-compliance with mandatory requirements, assessments of the likelihood of their non-compliance, methods for such calculations are approved by federal executive authorities exercising the functions of developing state policy and legal regulation in the relevant field of activity.

6. The rules for classifying the activities of legal entities, individual entrepreneurs and (or) production facilities used by them to a certain risk category, a certain class (category) of danger are determined by the Government of the Russian Federation. These rules must provide for the possibility of a legal entity or individual entrepreneur filing an application to change the risk category or hazard class (category) previously assigned to them.

7. If, in accordance with federal law, the classification of the activities of legal entities, individual entrepreneurs and (or) production facilities used by them to a certain risk category, a certain class (category) of danger is carried out within the framework of the powers exercised by the state control (supervision) body for state registration, issuance of a permit (special right) or other similar powers, the rules for classifying the activities of legal entities, individual entrepreneurs and (or) production facilities used by them to a certain risk category, a certain class (category) of danger are determined by a regulatory legal act establishing the procedure for the exercise of these powers such government agency.

8. Regulations on the types of federal state control (supervision) may provide for the use by state control (supervision) bodies of indicators of the risk of violation of mandatory requirements as a basis for conducting unscheduled inspections. Indicators of the risk of violation of mandatory requirements are developed and approved by federal executive authorities that carry out the functions of developing and implementing state policy and legal regulation in the established field of activity, and are subject to posting on the Internet.

(see text in the previous edition)

Open the full text of the document

Resolution of August 17, 2016 No. 806. Rules have been approved for classifying the activities of legal entities and individual entrepreneurs and (or) the production facilities they use to a certain risk category or a certain class (category) of danger. In order to gradually develop the mechanism for transition to a risk-based model for certain types of state control, a list of types of control has been determined for 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 business entities. At the same time, the introduction of a risk-based approach will improve the efficiency of control and supervisory 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 Amendments to the Federal Law “On the Protection of the Rights of Legal Entities and Individual Entrepreneurs in the Exercise of State Control (Supervision) and Municipal Control”” (hereinafter referred to as the Federal Law No. 246-FZ).

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

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 activities is determined by classifying the activities of a legal entity, individual entrepreneur and (or) production facilities used by them in such activities as 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 they use to a certain risk category or a certain class (category) of danger.

In order to gradually develop the mechanism for the transition to a risk-based model for certain types of state control, a list of types of state control (supervision) has been defined in 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 surveillance, 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 used in this type of control (supervision); criteria for classifying control objects to a certain risk category or a certain hazard class; frequency of scheduled inspections depending on the risk category or hazard class assigned to 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 supervisory activities.

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