Risk-oriented control and supervising activity

The Risk-oriented Approach (ROA) in the control and supervising activity (CSA) assumes concentration of limited resources of the state supervisory authorities in zones of the maximum risk for prevention of harm to the values protected by the law (to property, human health, etc.) and at the same time decrease in administrative loading on fair economic entities and on those enterprises of business where risks, in principle, are minimum. This approach gains the increasing popularity.

So, the federal law of August 3, 2018 No. 316-FZ to Article 81 of federal law No. 294-FZ made changes which provide that the Government of the Russian Federation approves the list of types of federal state control to which risk-oriented approach is applied and also has the right to define types of regional state control at which organization risk-oriented approach is applied without fail. The signed resolution sets 25 types of federal and 7 types of regional state control and supervision at which risk-oriented approach will be applied. When using ROP frequency and volume of scheduled inspections of business depend only on scales of risks and should be proportional to risks. For potential violators it is wrapped in the increased control, and for fair legal entities – the lowered attention of controllers (up to lack of checks).

The Risk-oriented Model (ROM) of checks is already used in the majority of the countries of the world with developed economy, its application, by estimates of the international experts, allowed to reduce a total quantity of checks by 30-90%, and separate categories of business in which potential risks for security of the state and society are minimum, ceased to be exposed to scheduled inspections at all.

Feature of a control system and supervision taking into account risks is its dynamism. Control supervisory authorities do not refer business to a certain risk level once and for all, relying on invariable indicators. On the contrary, each supervisory authority carries out regular reclassification of subjects, being based on the data of last checks and other arrived information. The fair entrepreneur has an opportunity to reduce risk category of the case, and the failed checks, on the contrary, will become a subject of closer attention.

Risk-oriented approach also promotes interdepartmental interaction. The Federal Customs Service which uses the data obtained from the Federal Tax Service in risk analysis can be an example.

It should be noted that in the conditions of the digital economy (DE) any checks of any business and assessment of degree of its potential risk for security of the state and society become simpler thanks to openness and availability practically of all data on activity of the enterprise or company (availability of its digital trace), about products, systems and solutions which could be dangerous, lead to dangerous effects. In risks assessment also methods of machine learning and artificial intelligence quite successfully can be applied. Moreover, in the conditions of TsE control checks and supervising events can be held remotely.

Unfortunately, for 2020 in Russia inspection bodies still estimate the efficiency, proceeding from quantity and the amounts of collected penalties. Business is directly interested in full implementation of ROP in practice of control and supervising activity. Industry associations and the unions of industrialists should fight for it.