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 !