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

2. INEFFECTIVE AND BURDENSOME INSPECTIONS – INTERCONNECTED PROBLEMS LEADING TO REFORM2

3. 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

4. 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…

5. 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

6. 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?

7. 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

8. 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.)

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

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

11. 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?

12. 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

13. 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

14. 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)