Risk-based approach: sharing best practices. Risk-oriented approach in control and supervisory activities Risk-oriented supervision is enshrined in law

In early March, in his address to the Federal Assembly, Vladimir Putin stated that the control and supervision system must be transferred to a risk-based approach within two years. At the moment, a reform of control and supervisory activities is underway; it was approved in December 2016, the implementation period is until 2025.

What is this risk-based approach? We’ll tell you in a new Milknews text under the “In Simple Words” section.

The risk-based approach is used in control and supervisory activities and involves reducing the number of government inspections in areas where the risk of violations is lower. In this way, it should reduce the administrative burden on bona fide enterprises.

The essence of a risk-based approach in any area is to reduce risks: control in high-risk areas increases, and in safer areas it decreases or is absent. This allows you to take the necessary measures where necessary in a timely manner and significantly save resources. Thus, resources are distributed unevenly depending on risk, and this affects both the frequency and depth of inspections.

How does it work now?

At the moment, the risk-based approach is manifested in the fact that in relation to a small company, the supervisory authority may limit itself to the simplest risk assessment procedure, while a more comprehensive audit will be applied to large institutions.

The approach to risk management itself originally appeared in the financial sector, the activities of whose participants involve significant risks - banks, insurers, and investment funds seek to manage them to set prices for their services. Loan rates, the cost of securities and the size of insurance premiums directly depend on the risks that the company takes on.

Due to the initial similarity of the work of risk management departments in financial companies and internal control services, the risk-based approach was introduced first into traditional auditing, and then into other types of control and supervision, including government control.

At the same time, the system was simplified - if in the financial sector economic and mathematical models are used to calculate risks with an accuracy of tenths of a percent, then in other areas it is enough to divide risks into danger groups, which is what we now see in the activities of control departments.

Where is this stated?

The application of the approach in organizing state control is enshrined in Article 8.1 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 exercise of state control (supervision) and municipal control.”

Its main goal is the optimal use of labor, material and financial resources in the implementation of state control, reducing costs for those who are controlled and increasing the effectiveness of inspections.

To implement the approach in government supervision, the following classification of hazard levels is used:

• short,
• moderate,
• average,
• significant,
• high,
• extremely high.

How does the approach change the work of departments?
Rosselkhoznadzor

In the activities of Rosselkhoznadzor, a risk-based approach is used in state land control, quarantine phytosanitary control, as well as veterinary supervision and veterinary control at the border.

In his report, Deputy Head of the Federal Service for Veterinary and Phytosanitary Surveillance Nikolai Vlasov notes that the agency was preparing for reform and, back in 2007, asked itself the question of optimizing control and supervisory activities, but could not avoid difficulties during the transition.

The first problem risk assessment criteria became: it was unclear in which case to apply random checks and in which to carry out total control.
Second problem access to data about organizations became available - before the reform there was no system for registering enterprises as a property complex, there was only a system for registering enterprises as subjects of economic activity. In this regard, the supervisory authority had a problem when a large agricultural holding with many sites (each of which applies separate control methods) had one TIN, and it was difficult to control the types of activities in the register.

Since September 2017, a risk-based approach has been used when inspecting legal entities and individual entrepreneurs in relation to agricultural land; criteria for classifying objects of state supervision to a certain risk category and the frequency of scheduled inspections depending on the assigned category are established. Three risk categories have been introduced: medium, moderate and low.

For land plots classified as medium risk, the frequency of scheduled inspections is established no more than once every three years. The frequency of scheduled inspections for land plots classified as moderate risk is no more than once every five years, and for sites classified as low risk, scheduled inspections are not carried out.
In 2017, Rosselkhoznadzor developed the above criteria, approved them, and also prepared a rationale for classifying objects into categories in accordance with the basic model for determining criteria and risk categories.

To develop the use of a risk-based approach in the field of land supervision, Rosselkhoznadzor is finalizing the Cerberus information system for creating and maintaining registers of supervised objects. This year, planned inspections of legal entities and individual entrepreneurs have already been formed taking into account risk criteria.
The department also uses the form of a checklist - a list of check questions presented to the person being inspected. Based on them, a legal entity or individual entrepreneur can independently, even before inspection, assess the compliance of an object with the hazard class.

The specified form of the checklist was approved by order of Rosselkhoznadzor dated September 18, 2017 No. 908 “On approval of the form of the checklist (list of checklists) used by officials of territorial bodies of the Federal Service for Veterinary and Phytosanitary Surveillance when conducting scheduled inspections as part of state land supervision,” order came into force in December 2017. From now on, Rosselkhoznadzor and its territorial departments use checklists in all scheduled inspections.

Rospotrebnadzor

Rospotrebnadzor was one of the first federal executive authorities in 2014 to begin implementing risk-based supervision. The number of inspections carried out by Rospotrebnadzor from 2008 to 2015 decreased by 4 times: from more than 1 million inspections to 265 thousand (the number of scheduled inspections decreased by 7.5 times, unscheduled inspections by 2.2 times).
The draft of the relevant government resolution was published on the Unified portal for posting draft legal acts.
In relation to those being inspected, the risk calculation takes into account:

• hygienic importance,
• law-abidingness (number of detected offenses),
• affected population
• volumes of products produced or services provided, etc.

• if the indicator of the potential risk of harm in property terms is more than 10 million rubles, then the organization or individual entrepreneur will have an extremely high risk;
• if the potential risk of harm is from 1 million rubles. up to 10 million rubles, - high risk;
• from 100 thousand rubles. up to 1 million rubles - significant risk
• from 10 thousand rubles. up to 100 thousand rubles, - average risk;
• from 1 thousand rub. up to 10 thousand rubles - moderate risk;
• less than 1 thousand rubles. - low risk.

• for the extremely high risk category - once per calendar year;
• for high risk - once every 2 years;
• for significant risk - once every 3 years;
• for medium risk - no more than once every 4 years;
• for moderate risk - no more than once every 6 years.

How does it work in the world?

The basic concept of implementing EPR in other countries of the world is no different. At the initial stage, a regulatory framework and supervision tools are developed, the development stage involves strategic planning and risk-oriented documents for all industries, and the implementation stage involves regular updating of the regulatory framework and evaluation of results.

Frequent problems faced by EU countries in the transition to a risk-based approach were an insufficiently developed regulatory framework and the simultaneous use of old and new regulatory documents, as well as an unclear strategy and non-risk-oriented planning.

The main idea of ​​risk-based regulation is that everything cannot be regulated and controlled effectively; complete control is not economically feasible.

In accordance with the American pyramid of law enforcement practice, control over the implementation of mandatory requirements should be carried out as follows: upon the first violation, the enterprise is given a warning, a deadline is set for correcting the situation, and a second inspection is carried out. In the second case, there is a fine if the violation is not eliminated. In the event of a subsequent violation, a temporary suspension of activities is carried out, and then the facility or enterprise is closed.

Denmark

Using the example of Denmark, International Finance Corporation (IFC) expert Gordana Ristic explained that to find the source of problems in the control and supervision activities of the food market, a traceability chain “from farm to counter” is used, and, if problems are identified in one of the links in the chain, control supervisors should contact the responsible party to conduct an inspection.

Control is also carried out according to 5 hazard groups, but in Denmark there are also so-called. elite groups - the standard frequency of inspections is 0.5 per year (i.e. once every 2 years), and if the last 4 reports with inspection results did not provide for penalties, the company receives elite status and the number of inspections relative to it is reduced (from 5 to 3 in the highest risk group and from 3 to 1 in the high risk group). In addition, a nice bonus for the company is that it can use its elite status badge in marketing, such as advertising or branding.

In November 2017, the World Bank held a seminar on the risk-based approach, during the seminar, Professor Gordana Ristic presented a report on risk indicators for sanitary and epidemiological surveillance.

First of all, effectiveness depends on the correct analysis of real threats that arise at the objects being inspected. For example, food production must have different levels of risk depending on the methods of processing the food and the potential danger to the consumer.

“Two identical businesses will have different risks due to different products. Fresh milk is more dangerous than pasteurized milk,” Ristic said.

According to international practice, administrative measures applied by supervisory authorities should be a flexible instrument of influence. Enterprises should be given a certain time to eliminate violations and then, in case of further non-compliance, be punished.

The expert also pointed out the importance of training inspectors. According to Ristic, “a modern inspector must be aware of good practices, skills, technologies. During the audit, he must evaluate both the infrastructure and the processes.”

Regarding checklists, the expert emphasized that checklists should be a convenient tool for identifying risks, and not simply copying legal norms. How processes occur in an enterprise is more important than a formal assessment of the infrastructure.

In general, in the practice of implementing EPR in the EU, they came to the conclusion that inspection control can stimulate companies, but can also have the opposite effect - lengthy and frequent inspections for the purpose of issuing a fine cannot improve the company’s performance.

Ratings

In general, of course, from the outside, the reform looks like a positive change that makes life easier for business. Deputy Minister of Economic Development, one of the initiators of the transition to EPR, Savva Shipov, said at the Russian Economic Forum that the decision to conduct an inspection should not be made by a specific inspector, but based on the degree of risk, Shipov explained.

“For example, a complaint is received about some violations. It is necessary to assess what requirements are violated, how much danger the violation poses - causing harm to life, health, property, how much you can trust the source of information, and so on. Therefore, we believe that unscheduled inspections will gradually should switch to a risk-based approach, and if indicators are triggered that the risk is really high, then an inspection is carried out, if not, then an inspection is not needed,” said Shipov.

However, the reform caused different reactions among representatives of business and consumer societies.

Dmitry Yanin, Chairman of the Board of the International Confederation of Consumer Societies (ConfOP), in a conversation with Milknews, criticized the ongoing reform and associated the changes with a reluctance to finance control bodies.

“In my opinion, the CND reform was initiated out of despair. This is due to the state’s reluctance to finance effective supervision, reluctance to provide compensation packages to supervisory authorities, salaries and social guarantees to inspectors.

The initiators of the reform proceed from the fact that, in their opinion, any inspector is a bribe-taker and corrupt official, and an inspector cannot work honestly for 25-30 thousand rubles. Therefore, instead of initiating an increase in the level of salaries for employees and monitoring the adequacy of departmental spending, we have been implementing a strategy for more than 10 years to complicate the activities of control and supervisory authorities.

The main document - the law on the control of legal entities in the implementation of CND - has actually reduced the effectiveness of control and supervisory measures. In no EU country have we found a practice where an organization is warned about an unscheduled inspection 24 hours in advance - there are no such restrictions anywhere, because after a warning it is ineffective to send government officials for an inspection. Official reformers, who initiated it together with big business and supervisory authorities, are quite loyal to the meager fines for consumer deception and falsification; we do not have very high fines for violations of technical regulations. Therefore, the trend continues, the quality and number of supervisory agencies will decrease, and business will continue to write the rules of the game, based on the conditions “don’t interfere with doing what you want.”

I am calm about other changes, such as ranking and cosmetic changes in legislation, the key problem is underfunding and low level of fines, problems in legislation, the inability of consumers to defend their interests en masse through the courts (for example, in the USA there are class actions filed by consumer societies , in some countries, regulatory authorities can take legal action not only to remove products from shelves, but also from the entire market, including the payment of compensation).”

First Vice President of OPORA RUSSIA Vladislav Korochkin told Milknews that business has an absolutely positive attitude towards the reform and “participates in it in the most direct way.” According to Korochkin, the advantages are the restructuring of the relationships between enterprises (all of them, not just businesses) from an outdated paradigm, largely imposed by external agents, to a modern, more effective and less burdensome one for both the state and society. The disadvantages are that the reform is not taking place as quickly as necessary.

“The country is still losing the 2-3% additional GDP growth that, according to estimates, the new system could provide. How will the transition to a risk-based approach make life easier for entrepreneurs? Very seriously. This includes a reduction in the number of expensive scheduled inspections, and getting rid of many “exotic” and paradoxical mandatory requirements, which, apart from doubts about the adequacy of the state representatives presenting them, did not give anything,” said Korochkin.

When asked whether a significant reduction in the number of inspections is due to the state’s reluctance to finance supervision, the expert explained that effective control can (and should) be built without routine inspections by government agencies at all. “The world's best practices clearly show this. Especially today, when there are thousands of ways to ensure control using a variety of technical devices. In addition, there is the practice of insurance and the work of Self-Regulatory Organizations. Quite positive.”

Risk is an integral part of any enterprise and event. 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 act most effectively in high-risk environments. What is the essence of this process? What factors does it have? Is it used in the Russian Federation, and if so, at what level? This article will be entirely devoted to that approach and all the details that relate to it.

The essence of the approach

So, first of all, you need to understand what a risk-based approach is. Imagine an enterprise that operates in any market. There are a huge number of risks that concern it, depending on what kind of activity it carries out. Conducting control and supervisory activities at this enterprise can be carried out in a variety of ways, but recently the risk-based approach has gained the most popularity. The specialist analyzes all possible risks that concern a given enterprise, identifies the largest among them, weeds out those that do not greatly affect the activity 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 search for those factors that prevent the enterprise from functioning at one hundred percent, and further level them.

The relationship between risk and business

Many entrepreneurs may wonder: why do they even need a risk-based approach to control and supervisory activities? After all, their enterprise is small, so its risks are all on the surface, and they do not pose any 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 view of a layman. As a result, they go unnoticed, are implemented and do not allow the enterprise to achieve its desired goal. Accordingly, a risk-oriented approach in control and supervisory activities is very important, since 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 one or another risk factor, thereby increasing your productivity. An entrepreneur will be able to clearly see which processes are most at risk - and not start 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 study it more closely.

Risk

Before you undertake a risk-based approach, you need to have a clear understanding of the basic concepts associated with the process. And the first, of course, is risk. What it is? Risk means 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 a certain percentage of the probability of causing damage to your enterprise. The difficulty here is that risk can be either the event itself or a factor influencing others. At the same time, we 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 a lot depends on the experience of the professional. A person who has been working with a risk-based approach for several years will be able to much more clearly and quickly determine the severity of certain risks and distinguish between their factors.

Initial and residual risks

What else you need to know about Organizations are using it more and more often. However, it is recommended to use the services of specialists, since they will be the ones who can help you draw up a risk plan for your enterprise as effectively as possible. For example, you are unlikely to know what initial and residual risks are, or what the difference is between them. Naturally, you should know about this even if you do not plan to use this approach, since 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. An initial risk is one that is there initially without any outside intervention on your part, while a residual risk is one that remains after all possible measures have been taken to eliminate it. Naturally, most often a residual risk has a much lower probability 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, omission, or condition that increases the likelihood of a particular risk occurring and also increases the likely damage that will occur if it is activated. The risk factor that triggers the process of risk realization is the cause, and this causes great confusion among 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, but there can be many side factors that will increase the likelihood of activation and increase damage. It is not difficult to imagine that both risk factors and the risk-based approach itself will differ between industries. In labor protection, for example, the risk factors are unlikely to coincide with those that exist in the small business sector. So now you have a general idea of ​​how it works. It's time to look at a clear example. And what would be better than the recently begun process of introducing a risk-based approach into the system of organizing state control and supervision of the Russian Federation?

Issue of the resolution

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

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 changes 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 epidemiological supervision, federal state supervision in the field of communications and federal state supervision of compliance with labor laws. However, this is not the only information contained in the resolution.

Introduction of rules

What else did the resolution contain, according to which a risk-based approach was launched for the above areas of activity? State supervision in these areas will be carried out in accordance with the rules that were also outlined in the text of the resolution. A total of 21 rules were identified. They will have to be adhered to by government agencies when conducting supervision and control in relevant areas of activity.

Risk categories and inclusion criteria

But the information provided by the resolution does not end there - 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 creates criteria for classifying a particular individual or legal entity into a certain category of risk and danger. As a matter of fact, this is where the theoretical part ended - and from April 2016, the resolution began to come into force in stages. By the way, the process is still not completed, so it will be interesting to look at which steps have already been successfully completed, which are at the implementation stage, 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 that will subsequently 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 began many months ago.

Unscheduled inspections

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

The next step was the preparation of detailed methodological recommendations that could be used by relevant state government bodies to implement a risk-based approach in their activities. This step will require a lot of effort, since it implies the presence of a ready-made project, in accordance with 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 preliminary results

By March 2017, preliminary results of the implementation of the risk-based approach in the above-mentioned state supervisory authorities 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 an assessment is being made of how effective this project is. In March 2017, the results will be summed up and, based on the results obtained, 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 .

Conducting seminars

In June 2016, the first seminar was held to exchange successful practices in the functioning of the risk-based approach in government control and supervision bodies. There is no statute of limitations for this step, as it must be done every six months. It is likely that after the system is fully implemented, adjustments will be made to this point, but until 2018, these seminars will be held every six months, which will significantly improve the functionality of this project.

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)

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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.

The danger in any field of activity has a quantitative characteristic and depends on many factors that constantly change over time. One of the most characteristic manifestations of danger is risk. The risk of action or the risk of inaction is present in 90% of the causes of accidents and injuries at work.

The essence of risk. Risk-based approach as a way to prevent risks

The concept of “risk” does not have an unambiguous definition. There is no generally accepted system of terms in risk assessment. The most commonly used concepts are “danger” and “risk”. The interpretation of these terms is not consistent, so it is important to provide a precise definition that reflects the relationships and contradictions between society, the environment and new technologies. The source of danger and risk to human health can be society, the environment and technology together or each of these factors separately, that is, sources of danger and risk of natural, social or natural-social origin (development) can be identified.

In a broad interpretation, risk is understood as an act that is carried out under conditions of uncertainty, but passivity and inaction can also be a risk. Typically, a person takes risks to achieve a desired goal or to avoid physical danger. Consequently, risk can be regarded both as a dangerous condition and as an act (a dangerous action of a person as an element of the system).

Risk- statistical frequency of the probability of occurrence of hazards, i.e. unfavorable circumstances, how / can be realized in an undesirable event; quantitative characteristics of hazards.

The consequences or quantitative assessment of the damage caused by the hazard depend on many factors, for example, on the number of people who were in the danger zone, the quantity and quality of material assets, victims, natural resources, prospects of the zone, etc.

In the structure of objective activity, risk performs various psychological functions. It can be both the goal of a person’s activity and its motive if it seeks thrills. Psychologists believe that everyone has a need for risk.

According to the degree of admissibility, the risk can be one that can be neglected, for example, maximum permissible, excessive, but achieving a zero level of risk, i.e. absolute safety is impossible in practice.

At the moment, the most common concept is acceptable (acceptable) risk. Its essence is to achieve a level of security that society can accept (economically justify). Acceptable risk defined as actually existing in a certain type of activity, does not contain an informed person from actions associated with probable danger. So, let’s say risk is a compromise between the level of security and the implementation of the technical, economic, social and political capabilities of the state.

By increasing costs, the risk can be significantly reduced, but the economic opportunities for increasing technical safety are quite limited. Excessive spending of budget funds on technical risk reduction can cause damage to the social sphere (costs on medicine, education, pensions are reduced) and increase economic risk. A balance is required between technical and social costs. This must be taken into account when choosing the acceptable risk that society should accept.

In some countries of the world (Holland, Sweden, etc.) the level of acceptable risk is established by law, for example, the maximum acceptable level of individual risk of death of living beings is considered to be a probability of 10-6 per year. The individual risk of death is very small - 10-8 per year; the maximum permissible risk for ecosystems is such that no more than 5% of the species of the biocenosis may suffer.

To compare risk and benefit, some countries have introduced a financial assessment of a person's life. In Ukraine, many experts oppose this, noting that human life is sacred and cannot be assessed financially. However, in order to protect a person, it is necessary to value life, especially when it comes to directing funds to save a person or compensate for harm caused. In the USA, a human life is valued at between 650 thousand and 7 million dollars (depending on the state). The introduction of the concept of acceptable risk, although some criticize it as an inhumane approach, will significantly increase the safety of the technosphere and people.

In Ukraine, the unified state system for preventing and responding to emergency situations is still focused primarily on responding to and overcoming the consequences of hazards. This has a negative impact on capabilities, effectiveness of measures, loss mitigation and risk mitigation. The experience of developed countries confirms that the protection of populations and territories should be based on managing risks of a natural and man-made nature through the use of preventive measures and the introduction of new quantitative methods for assessing man-made and natural risks. It is necessary to gradually change the reflective management model and move to a strategy focused on preventing and minimizing the consequences of emergency situations. Therefore, it is relevant to introduce a risk-based approach to reduce the risk of crisis phenomena and develop government programs in the field of preventing undesirable events and their elimination.

Risk-based approach- a set of organizational measures providing for monitoring, analysis, and risk assessment of any enterprise based on probabilistic safety analysis in order to prevent emergency situations and manage risk in general.

The main objectives of the risk-based approach are to ensure the safety of industrial and warehouse buildings (structures), complex potentially dangerous objects and high-risk objects, enterprises, technical systems, objects with large numbers of people (airports, sea, river, railway and automobile stations of the republican and regional values, stations), which are of strategic importance for the economy of the state. The presence in Ukraine of more than 17 thousand potentially dangerous objects causes a high probability of crisis situations that potentially threaten people, the economy and the environment. This actualizes the creation of real scientific foundations for the development of methods for assessing the danger of objects and the scientific foundations of the concept of an acceptable level of risk (socially, economically, technically and politically justified risk that does not exceed the maximum permissible level).

The transition to risk analysis and management not only ensures overcoming the negative trend towards an increase in the number of emergency situations, but also minimizes their negative consequences: human losses, financial losses, damage to the environment.

The fundamentals of the risk-based approach are applied both in strategic planning and in the daily activities of the civil protection service. One of the possible areas for improving work in this area is more effective implementation of practical measures to prevent the occurrence of dangerous situations and minimize their negative consequences. This can be done by borrowing the best effective experience in regulating state security in European countries.

For a risk-based approach, the security management process involves the following stages:

1. Identification of risk factors. It consists in identifying all sources of danger (threats), events that trigger accidents or emergencies, describing the object and existing means of protection, possible scenarios for the development of events and their ranking.

2. Risk assessment. This is the process of determining the likelihood of a negative event (accident) occurring over a certain period and the magnitude of the consequences for human health, property and the environment.

3. Risk management. In the field of natural and man-made safety, it is focused on minimizing the socio-economic consequences of man-made and natural emergencies in Ukraine by introducing modern regulatory mechanisms based on a risk-based approach and ensuring an acceptable level of safety for the population and territories. To achieve the declared goal it is necessary to develop:

A system of monitoring, risk analysis and forecasting of emergency situations as the basis for activities aimed at reducing the risks of their occurrence;

Emergency prevention system and mechanisms for state risk regulation;

Emergency response system;

A system for training management personnel, specialists and the population to reduce risks and reduce the scale of emergency situations.

The risk-based approach also involves risk regulation- regulatory and legal activities for the development and approval of technogenic and natural safety standards, rules and regulations of economic activity, which are determined on the basis of risk values ​​within acceptable limits. It helps to establish the boundaries of permissibility of man-made activities. To introduce in Ukraine the regulation of risks of emergency situations of man-made and natural nature, it is necessary to create a state system of regulation. For its effective functioning, it is necessary to: develop unified methodological approaches to assessing the risks of hazard sources of various natures and types that exist on the territory of Ukraine; take into account all factors and sources of danger that influence the magnitude of the risk of emergency situations; take into account the technogenic load and natural and climatic features of the territories, the significance of all consequences (economic, environmental, social) that may be caused by expected emergency situations of a natural and man-made nature.

Nowadays, the risk-based approach to assessing environmental problems is a promising direction and is developing rapidly. Its use allows solving certain problems of toxicology and hygienic regulation. Based on risk analysis, it is possible to build a new toxicometry with the appropriate mathematical apparatus, to unify hygienic standards based on the creation of a new methodological oasis. Thus, unlike toxic, carcinogenic factors do not have an explicit threshold of action, which can be clearly defined by uniform hygienic standards, therefore, within the framework of traditional approaches it is impossible to establish standards. The risk-based approach can be used for both threshold toxic and non-threshold carcinogenic factors; it helps to bring together threshold and non-threshold factors as principles of hygienic regulation.

The guideline for establishing acceptable risk levels in Ukraine is the value of risks in developed countries: the minimum possible risk is no more than 1 10-6; maximum permissible - less than 1 10-4.

The methodology of the risk-based approach is used both in strategic planning and in daily operational activities.