a risk based approach to regulation and enforcement liesbeth oosterom dutch inspection council june...
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A risk based approach to regulation and enforcement
Liesbeth Oosterom
Dutch Inspection Council
June 2011
The Netherlands
Constitutional Monarchy
Since 1848System of parliamentary democracy
16.5 million inhabitants
Governmental structure • 11 ministries + many agencies• 12 provinces• 26 regional water authorities • around 420 municipalities
House of Thorbecke
Political debate 2006
• Too many inspections visits, no co- ordination between inspectorates
• Parliamentary motion to merge the national inspectorates into 1
• Government proposed Inspection Simplification Programme instead
• Inspection Council• Goal: 25% reduction in inspection burden (2010)
Aimed at inspectorates / ministery of the interior
TransparentIndependentProfessional (behaviour)
Selective (compliant, non-compliant)Adequate In cooperation with other inspectorates
“The public needs to be protected against hazards”
Dutch Conclusion: inspections are necessary and must cause less burden
2001
2005
Guiding principles “good supervision”
• 12 national inspectorates (12 – 2500 fte’s)• 10 meetings a year, heads of agencies• a supporting office or cabinet (apr. 12 people) main task:
“to get the engines going”• working groups consisting of people (senior inspectors,
strategic officers ) of the inspectorates• no equivalent in Europe ….. yet
Inspection Council and its organisation
Main motives of the programme
• Reversal of perspective• Risk-based inspections• Professionalism• Single point of contact and • Coordinated visits• Data requested once only• Participation of local and regional authorities• Interaction with policy makers
Domains and sectors
Food & consumer products and leisure• hotel and catering• agriculture• meat chain• leisure• food trade
Industry• chemicals• waste• construction, metal• nuclear• pipelines
Transport• Schiphol airport• road transport• inland water transport• sea ports
Public domains• joint child services organisation• health care • prison service• child care
Professionalism• expertise • attitude• effect measuring
Professionalism• expertise • attitude• effect measuring
Co-operation• betw. national inspectorates• local and regional authorities• ICT • policy• facility management
Co-operation• betw. national inspectorates• local and regional authorities• ICT • policy• facility management
Selectiveness• risk analysis on field of interest• system based inspection
Selectiveness• risk analysis on field of interest• system based inspection
Common themes
• An inspector-general is ultimately responsible, senior policy officer as manager of the project
• Survey’s in all domains– administrative burdens – the way businesses perceive inspections
Situation sketch for each domain for 2010
Dash board hotel/catering
Professionalism
• Several inter-organisational training and awareness programmes (education) – Inspectors (different levels)– Policy-officers– Officers participating in reformprogrammes
• ‘Experience Days’ for thousands of inspectors
Communication
• newsletter (monthly)• website; www.inspectieloket.nl• awards (best inspector, best project)• other events; f.e. procedures on handling complaints
ICT-tools
• joined services• sharing inspection results• exchanging inspection results• between boundaries• important, but very time-consuming
Work in progress (some solutions or findings)
• number of visits by national inspectorates
- combined visits
- better planning
- overdracht van taken• way of acting of inspectors • In half of the domains, 70% of inspections are carried out
by local and regional authorities• Licencing procedures cause considerable burdens• Front-offices; not the holy grail
Ready ! Ready ?
• some sectors: mission accomplished• some sectors: way to go, go on• some sectors: some additional work to do• provinces preparing to become coordinating bodies for
inspections in chemical sector• municipal tier/layer not a natural partner for national
inspectorates and the other way round
Which level
?
The years to come
• Political urge to continue with reform inspection• at first focus on sectors domains, now also on new
toolkits & new partners• Service sector (restaurants & bars)• Chemical industry• Veterinary chain (slaughter houses)• Transportation sector Symbolic for other sectors• Quality management systems, horizontal approach
How to proceed……
• ICT-tool;
1. Inspectionview; exchanging of inspection data between inspectorates
2. Ondernemersdossier (Entrepreneur-file)• Riskbased inspections (Inspection Council)• Risk-based with other regional inspectorates• Levels of risk-analyses• Professionalism (attitude)
i n s p e c t i o n v a c a t i o n i n s p e c t i o n v a c a t i o n
How to proceed……
• Spice up the new programme 2011-2014• Governance: supporting office
or officers of inspectorates: mix-model
• Relation towards departments;
government as a single entity • Provinces and municipalities
Level of compliance of the company Level of compliance of the company
Risks associated with companies i.r.t. their processess
Focal areas of departments (“Brussels”)
Perspective of the (compliant) entrepreneurPerspective of the (compliant) entrepreneur
Cooperation between inspectorates
Factors influencing supervision/inspections
level of compliance
risk-level
An individual company
Dutch sketch of the situation
on inspections and enforcement.
Interpretation towards Israelian context ?
Thank you !