On the Checklists of Rostechnadzor



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Annotation:

The history and the current state of the legal regulation of the development, approval and application of the checklists by the federal state control (supervision) bodies are considered on the example of Rostechnadzor checklists. It is shown that in some cases the checklists are useless when conducting control (supervision) activities.

The checklists were introduced into the legislation on the state control (supervision) and municipal control relatively recently, but the legal norms associated with them were already changed. During these changes, the field of the checklists application was expanded, and the questions included in them were potentially ceased to be the only questions that need to be answered when the officials of the federal state control (supervision) bodies carry out control (supervisory) activities, including on-site inspections. At the same time some uncertainty remained in the legislation related to the checklists.

The following conclusions are made.

1. Legitimate checklists approved by Rostechnadzor and posted on its official website are not currently available and cannot be used during on-site inspections.

2. Forms of the checklists approved by the Orders of Rostechnadzor and posted on its official website should not be used during on-site inspections, since this is not provided for by the legislation, but can be used for self-examination.

3. The ability to not limit the check to the assessment of compliance with the requirements, for which there are questions in the form of a checklist, significantly reduces the importance of the checklists as a tool for formalizing and optimizing checks.

4. From the Federal Law of July 31, 2020, № 248-FZ «On State Control (Supervision) and Municipal Control in the Russian Federation», it is advisable to exclude the provisions on the approval of checklists by the state control (supervision) bodies, and their placement on the official websites of these bodies.

References:
1. On the protection of the rights of legal entities and individual entrepreneurs in executing state control (supervision) and municipal control: Federal law of December 26, 2008, № 294-FZ. Available at: https://base.garant.ru/12164247/ (accessed: December 25, 2022). (In Russ.).
2. Scriven М. The logic and methodology of checklists. Available at: https://web.archive.org/web/20100331200521/http://www.wmich.edu/evalctr/checklists/papers/logic%26methodology_dec07.pdf (accessed: December 25, 2022).
3. Stufflebeam D.L. The Ten Commandments, Constitutional Amendments, and Other Evaluation Checklists. Available at: https://web.archive.org/web/20100705084923/http://www.wmich.edu/evalctr/checklists/papers/checklistpaperAEA.pdf (accessed: December 25, 2022).
4. Wingate L.A. The Evaluation Checklist Project: The Inside Scoop on Content, Process, Policies, Impact, and Challenges. Available at: https://web.archive.org/web/20100331212803/http://www.wmich.edu/evalctr/checklists/papers/insidescoop.pdf (accessed: December 25, 2022).
5. GOST 12.0.230.5—2018. Occupational safety standards system. Health management systems. Risk assessment methods to ensure the safety of work. Available at: https://docs.cntd.ru/document/1200160465 (accessed: December 25, 2022). (In Russ.).
6. On approval of the general requirements for the development and approval of checklists: Decree of the Government of the Russian Federation of February 13, 2017, № 177. Available at: https://base.garant.ru/71615182/#friends (accessed: December 25, 2022). (In Russ.).
7. On the state control (supervision) and municipal control in the Russian Federation: Federal Law of July 31, 2020, № 248-FZ. Available at: https://base.garant.ru/74449814/ (accessed: December 25, 2022). (In Russ.).
8. On approval of the requirements for the development, content, public discussion of the draft forms of checklists, approval, application, updating the forms of the checklists, as well as cases of mandatory use of the checklists: Decree of the Government of the Russian Federation of October 27, 2021, № 1844. Available at: https://base.garant.ru/402987948/ (accessed: December 25, 2022). (In Russ.).
9. On approval of the forms of the checklists used in the implementation of the federal licensing control over the production of mine surveying, activities for the examination of industrial safety, and the activities related to the circulation of explosive materials for industrial use: order of Rostechnadzor dated November 18, 2021, № 390. Available at: https://docs.cntd.ru/document/727784021 (accessed: December 25, 2022). (In Russ.).
10. On approval of the checklist form used by the Federal Environmental, Industrial and Nuclear Supervision Service and its territorial bodies in the implementation of the federal state supervision in the field of industrial safety: Order of Rostechnadzor dated February 1, 2022, № 23. Available at: http://publication.pravo.gov.ru/Document/View/0001202202280051 (accessed: December 25, 2022). (In Russ.).
11. On approval of the checklist forms, the answers to which indicate compliance or non-compliance by the controlled entity with mandatory requirements) used by the Federal Environmental, Industrial and Nuclear Supervision Service and its territorial bodies when conducting scheduled field inspections in the course of the federal state energy supervision in in the field of electric power industry and the  federal state energy supervision in the field of heat supply: Order of Rostechnadzor dated February 25, 2022, № 61. Available at: http://publication.pravo.gov.ru/Document/View/0001202209280040 (accessed: December 25, 2022). (In Russ.).
12. On approval of the form of a checklist, the answers to which indicate compliance or non-compliance by the controlled entity with the mandatory requirements) used by the Federal Environmental, Industrial and Nuclear Supervision Service and its territorial bodies when conducting scheduled field inspections in the exercise of the federal state supervision in the field of safety of hydraulic structures: Order of Rostechnadzor dated February 25, 2022, № 62. Available at: http://publication.pravo.gov.ru/Document/View/0001202203220013 (accessed: December 25, 2022). (In Russ.). 
DOI: 10.24000/0409-2961-2023-3-34-39
Year: 2023
Issue num: March
Keywords : Rostechnadzor checklist federal state control (supervision) control (supervisory) event checklist form approval application
Authors:
  • Klovach E.V.
    Dr. Sci. (Eng.), Prof., General Director, klovach@safety.ru STC «Industrial Safety» CJSC, Moscow, Russia
  • Pecherkin A.S.
    Dr. Sci. (Eng.), Prof., Director, pecherkin@safety.ru Fund of James Bruce, Moscow, Russia
  • Sidorov V.I.
    Dr. Sci. (Eng.), Prof., President Fund of James Bruce, Moscow, Russia
  • Shalaev V.K.
    Dr. Sci. (Eng.), Director for Regulatory Documents STC «Industrial Safety» CJSC, Moscow, Russia