Experts assess the use of the first check lists

10 october 2018

New regulations may be passed to introduce administrative liability for state inspectors checking mandatory requirements not included in check lists. The findings of the audit in this case will be invalidated. This proposal is formulated in the Analytical Center’s report on the first results of using check lists in scheduled audits.

Analytical Center experts note that the goal of this work is to find ways to improve the existing system for compiling and using check lists. The analysis covered 50 check lists for 13 types of monitoring and supervision activities of eight federal agencies that use them, including the Labor and Employment Service, the Consumer Supervision Service, the Agricultural Supervision Service, the Technical Supervision Service and the Healthcare Supervision Service.

The study found that there is no standard practice for compiling the findings of audits conducted with the use of check lists. In most cases, audit reports never cite specific questions from a check list that allowed the auditors to identify violations, in other words, check lists are not being used as an auxiliary tool in audits. As a result, there are often discrepancies between the violations mentioned in a check list and those recorded in the audit reports.

The experts found that some monitoring and supervisory bodies check adherence to mandatory requirements that are not included in any approved check lists, which is a gross violation of the law.

As a result for the analysis the experts made recommendations for how the monitoring and supervisory bodies can improve their check lists.

In addition, a sociological survey of inspectors and business representatives was conducted to find out how check lists were being used in practice. 6322 respondents from 8 monitoring and supervision bodies took part in it. Over a third of those surveyed were representatives of the EMERCOM of Russia (35.5%) while the least active federal exeucitve bodies participating in the implemention of the priority program to implement preventive measures were the Healthcare Supervision Service (0.8%) and the Consumer Supervision Service (just 2 respondents).

On the whole, a lot of the respondents both among the entrepreneurs and among the inspectors wrote in the free form answer section that paper check lists should be replaced with electronic ones.

Experts note that the study is being conducted in two stages. Stage one was completed in July 2018, the results of the second stage are expected to become available by December 2018.