Check-Lists for Inspections Reform International Experience and Best Practice Moscow, July 2017 Inspections Reform Conference Florentin Blanc

INEFFECTIVE AND BURDENSOME INSPECTIONS – INTERCONNECTED PROBLEMS LEADING TO REFORM 2

Check-lists – what for? International practice shows that inspections often suffer in quality and effectiveness because of: Excessive variation between inspectors Lack of focus of inspectors on key safety issues Absence of coherent, unified approach – and message to entrepreneurs – which would foster compliance These problems are in evidence in many countries, when check-lists (or similar tools) are not used – and create major difficulties

Using check-lists in the reform process How to develop and use check-lists A check-list is an exhaustive list of all points that have to be checked in a given type of business, by a given inspectorate It is based on existing rules, but does not have to include all of them It is created by prioritizing requirements, including only those that are essential to health and safety Check-lists are then compulsory for inspectors – and also used as information for businesses Prioritizing: start by the most hazardous – and the most widespread types of businesses Less costly and extensive than a full review of regulations…

Check-lists – a key instrument to reach inspections’ goals Technical focus: check-lists allow to concentrate on key elements to verify safety and compliance with regulations Outcomes focus: prioritize elements of regulations that are critical to outcomes (safety, health, environment etc.) Saving resources: optimize the time spent during inspections, for businesses and inspecting officials, thus reducing costs Promoting compliance: business operators know what requirements they have to comply with Ensuring transparency: clear for all sides what inspectors will verify, and what consequences this will have

Developing check-lists – a substantial undertaking Many distinct check-lists need to be developed - for different inspecting agencies, and different types of objects Numerous regulations and requirements need to be reviewed and consolidated into each check-list Clarity is difficult to achieve – not all requirements can easily be summarized in “yes/no” questions, not all questions can easily be answered… Prioritization is needed – but distinguishing “essential” from “secondary” requirements is not easy – and it can be unclear what to do with “secondary” ones: check them or not? “Scoring” – check-lists should include a mechanism to score results and determine conclusion – based on risk - how to design it?

Check-lists use – where does the practice come from? Origin – 1937 US Air Force, before take off…still used for all flights, aircrafts, everywhere Health care – sector where check-lists are essential (surgery…) – see Atul Gawande’s work for WHO etc. Spread in many industries as a quick, effective way to ensure processes are followed, safety ensured etc. Used by business associations to help their members comply with safety regulations – used also by regulators to give businesses tools for self-audit

What and how to control during an inspection – concentrating on essential issues, educating (1) “Check lists” should be instruments of risk focus and education – so they should be developed from practice – “critical control points” Example from the UK – “Safer Food Better Business” toolkit: Guides small businesses step by step, explaining not just “how” but “why” this is important Includes all points checked by regulators – no “surprise”, inspectors will not suddenly penalize due to requirements not covered in the toolkit Goal: safer businesses – less hazards for consumers – better business (no bureaucracy, no loss of consumers because of contaminations etc.)

What and how to control during an inspection – concentrating on essential issues, educating (2)

What and how to control during an inspection – concentrating on essential issues, educating (3)

Developing check-lists – lessons from practice (1) – potential pitfalls Excessive length of check-list – by trying to include all requirements, it becomes unwieldy Vagueness – attempting to shorten the list and consolidate questions results in items where “yes” or “no” can be difficult to assess/decide, and lead to interpretation, disputes etc. Difficulty to conclude – by “disaggregating” the inspection into many separate questions, the check-list can make it hard to decide what is the overall appraisal and follow up needed Is it mandatory to include ALL requirements from ALL legislation/regulations into a given check-list? Legal issue… Should the inspector check only the check-list – or have flexibility to check more?

Developing check-lists – lessons from practice (2) – some solutions Optimal length depends on type of object – for the most complex and hazardous, (very) long lists are needed Questions should aim at being as clear and unambiguous as possible – even if this means the list is somewhat longer Items should be grouped in a logical fashion, by key areas in the object, or type of hazard, so that the list is easy to use Creating check-lists should be, if legally possible, an opportunity to review requirements and not include those that are not really relevant to safety, health, environment etc. Check-list should be “pilot-tested”, adjusted and improved so that it includes all key issues – findings “outside the check-list” should really remain exceptional

Linking check-lists to risk-based enforcement – “scoring” Divide questions into categories of importance – “critical”, “average” and “secondary”, for instance Assign scores for each category – with far higher scores for “critical” issues, so that they are strongly differentiated Set thresholds of aggregate score for the check-list – defining categories such as “pass – no issues”, “pass – minor issues”, “fail – corrections needed but no counter-inspection”, “fail – follow-up inspection required”, “critical fail – suspension of operations needed” etc. [depending on the agency etc.] Test scores and thresholds against real cases to see if they “fit” and if results are conform to good practice

Prioritizing preparation of check-lists Object types where most problems are found (previous years’ inspections findings) Object types that are inherently most hazardous (technology used, etc.) Most commonspread object categories (which overall receive the most inspections) – in particular SMEs, as check-lists can be particularly helpful for them (information tool) Since overall development of check-lists takes time and resources, focus where highest impact will be Use foreign examples (many issues are similar across countries, regardless of legislation) and start from practice (issuse that experienced inspectors find crucial) rather than from regulatory texts (which can quickly yield too many requirements)