Risk-Oriented Approach to Control and Supervision Activities in the Sphere of Industrial and Occupational Safety. Risk Indices for Compliance with Compulsory Requirements



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Annotation:

The reform of the state and supervision activities is carried out in order to improve the efficiency of supervision activities due to the optimal use of human, material, and financial resources used for the state control (supervision), reduction of expenses of legal bodies, individual entrepreneurs, and improving the performance of activities by the state control (supervision) bodies when organizing specific types of the state control (supervision). One of the most efficient methods to reach the goals is the implementation of the risk-oriented approach which is a method of organization and implementation of the state control (supervision) based on the choice of intensity (form, duration, and periodicity) of events of control and is determined by the classification of activities of a legal body, individual entrepreneur, and (or) production facilities used by them during such activities to a certain risk category or to a certain hazard class (category). The adoption of the Federal Law «On the state control (supervision) in the Russian Federation» gave new impetus to the application of the risk-oriented approach. It introduced a number of new approaches to the practices of control and supervision activities. 
The classification criteria as four hazard classes of facilities are legislatively established for hazardous production facilities in industrial safety. The Ministry of Labor of Russia classified such facilities in accordance with five risk categories. 
The Federal Law «On the state control (supervision) in the Russian Federation» stipulates that unscheduled supervisory inspections are mainly conducted based on the risk indices, the list of which must be approved by a federal executive body. Such lists were approved by Rostechnadzor in 2021 and by the Ministry of Labor of the Russian Federation in 2023. They were updated in 2023 and will be expanded in the future. 
The implementation of the risk-oriented approach in Rostechnadzor and the Ministry of Labor helped to reduce the number of scheduled inspections and increase the number of unscheduled inspections conducted based on the activation of risk indices.

Annotation:

The reform of the state and supervision activities is carried out in order to improve the efficiency of supervision activities due to the optimal use of human, material, and financial resources used for the state control (supervision), reduction of expenses of legal bodies, individual entrepreneurs, and improving the performance of activities by the state control (supervision) bodies when organizing specific types of the state control (supervision). One of the most efficient methods to reach the goals is the implementation of the risk-oriented approach which is a method of organization and implementation of the state control (supervision) based on the choice of intensity (form, duration, and periodicity) of events of control and is determined by the classification of activities of a legal body, individual entrepreneur, and (or) production facilities used by them during such activities to a certain risk category or to a certain hazard class (category). The adoption of the Federal Law «On the state control (supervision) in the Russian Federation» gave new impetus to the application of the risk-oriented approach. It introduced a number of new approaches to the practices of control and supervision activities. 
The classification criteria as four hazard classes of facilities are legislatively established for hazardous production facilities in industrial safety. The Ministry of Labor of Russia classified such facilities in accordance with five risk categories. 
The Federal Law «On the state control (supervision) in the Russian Federation» stipulates that unscheduled supervisory inspections are mainly conducted based on the risk indices, the list of which must be approved by a federal executive body. Such lists were approved by Rostechnadzor in 2021 and by the Ministry of Labor of the Russian Federation in 2023. They were updated in 2023 and will be expanded in the future. 
The implementation of the risk-oriented approach in Rostechnadzor and the Ministry of Labor helped to reduce the number of scheduled inspections and increase the number of unscheduled inspections conducted based on the activation of risk indices.

References:
1. On the state control (supervision) and the municipal control in the Russian Federation: the Federal Law of July 31, 2020 № 248–FZ. Available at: http://government.ru/docs/all/129143/ (accessed: November 25, 2024). (In Russ.).
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3. How to reform business inspections. Design, implementation, challenges. Washington: The World Bank Group, 2011. 78 p.
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10. On changing a company’s risk category to a lower category: the letter of the Federal Service for labor and employment of April 12, 2017 № ТЗ/1330-11-2. Available at: https://www.garant.ru/products/ipo/prime/doc/71565726/ (accessed: November 05, 2024). (In Russ.).
11. On approval of the Concept of improvement of efficiency of compliance with labor legislation and other regulatory legal acts containing norms of labor law (2015-2020): the Resolution of the Government of the Russian Federation of June 5, 2015 № 1028-р. Available at: http://government.ru/docs/all/102202/ (accessed: November 30, 2024). (In Russ.).
12. On approval of the list of risk indices for violation of compulsory requirements applied during the federal state supervision in the sphere of industrial safety by the Federal Service for ecological, technological, and nuclear supervision and its regional bodies: the Order of Rostechnadzor of November 23, 2021 № 397 (version as of 27.11.2023). Available at: https://docs.cntd.ru/document/727700295 (accessed: November 30, 2024). (In Russ.).
13. On approval of the list of risk indices for violation of compulsory requirements applied during the federal state control (supervision) over the compliance with the labor legislation and other regulatory legal acts containing norms of labor law: the Order of the Ministry of Labor of Russia of November 30, 2021 № 838н (version of 28.11.2023). Available at: https://docs.cntd.ru/document/727694514 (accessed: November 30, 2024). (In Russ.).
14. On the specifics of organization and implementation of state control (supervision) and municipal control: Resolution of the Government of the Russian Federation of March 10, 2022 № 336 (version of 11.09.2024). Available at: http://government.ru/docs/all/139693/ (accessed: November 30, 2024). (In Russ.).
DOI: 10.24000/0409-2961-2024-12-33-39
Year: 2024
Issue num: December
Keywords : industrial safety occupational safety risk-oriented approach классы опасности control and supervision activities risk indicators risk categories
Authors:
  • Gontarenko A.F.
    Cand. Sci. (Eng.), Assoc. Prof., Director of Training and Methodical Center STC «Industrial Safety» CJSC, Moscow, Russia
  • Klovach E.V.
    Doctor of Technical Sciences, Prof., Chief Research Associate, STC «Industrial Safety» CJSC, Moscow, Russia
  • Tsirin I.V.
    Cand. Sci. (Eng.), Assoc. Prof., Advisor of the General Dir. Federal State Budgetary Institution «All-Russian Research Institute of Labor» of the Ministry of Labor and Social Protection of the Russian Federation, Moscow, Russia
  • Tovstiy M.A.
    Director of the Center for Labor Protection Research, Federal State Budgetary Institution «All-Russian Research Institute of Labor» of the Ministry of Labor and Social Protection of the Russian Federation, Moscow, Russian Federation