The government has prepared a concept for the development of control and supervisory activities until 2026
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The White House has prepared the “Concept for the development of control and supervisory activities until 2026” – one of its key ideas is the responsibility of controllers for economic development and finding a balance between security and economic growth. In practice, this involves the development of a flexible risk management system while maintaining planned control only for the highest risk categories and expanding the base of its indicators for unscheduled inspections in case of mass types of violations. The government’s plans include services for self-examination of businesses for compliance with mandatory requirements and digitalization of administrative proceedings. Thus, the White House intends to close the digital surveillance loop by providing an electronic process from conducting inspections to holding people accountable for violations.
“Kommersant” got acquainted with the “Concept for improving control and supervisory activities until 2026” – the draft government order approving it involves the development of unified approaches to KND. The document states that in 2020–2021, a new system for regulating control was formed at the federal, regional and municipal levels, tools for preventing violations of mandatory requirements and digital tools were introduced to increase the efficiency of control while reducing the excessive administrative burden on business. However, it is premature to say that the ideas of new regulation are “integrated into the work of state control bodies at the system level,” the authors of the document admit.
Its key idea is the recognition of controllers’ responsibility not only for the quality of supervision and safety, but also for economic growth and their role as “conductors of the state’s economic policy.” Controllers must move to an outreach campaign in a language that businesses can understand. For the latter, the previous logic of the KND has been preserved: “requirements are met – no control measures are carried out.”
The office of Deputy Prime Minister Dmitry Grigorenko, who oversees the CND reform, explains that de facto its second stage is already underway – in the form of the implementation of the key principles of the new regulation, legislated at the first stage. “These are simple and clear rules for doing business, fair inspections only where there is a risk of violation, and feedback from entrepreneurs. The concept sets the direction for the development of these principles, including in the form of creating new and improving existing digital services,” they add.
“The concept defines the plan of key activities for the next few years. The system of pre-trial appeals will be expanded, the personal account of the government services portal will accumulate all information about inspections and prevention, and by 2026 risk indicators will replace checks based on complaints – we will move to “smart control”,” says State Secretary-Deputy Head of the Ministry of Economy Alexey Khersontsev, .
It is expected that in the next two years the government will develop risk management systems and its indicators for unscheduled control, services for preventing violations, increasing the competencies of inspectors, finalizing the Code of Administrative Offenses in terms of KND (see Kommersant on October 27), as well as further digitalization of the sphere. In practice, this involves further removing controllers from direct interaction with companies. Thus, the development of risk profiles implies planned control only for extremely high and high risk categories and, at a maximum, preventive measures for the rest. The risk categorization system will be refined taking into account the individual characteristics of control objects. Transparency of the process will be provided by a “risk calculator”; it will help online businesses determine the category of risk and the factors influencing its change. Data for assigning a category will be provided by digital incident management systems. The system will also be replenished with data from business self-examinations – a new service that will be launched in pilot mode for mass types of federal control (this will allow enterprises to submit a declaration of compliance with mandatory requirements, which will be taken into account when determining the risk category). The government also plans to increase the effectiveness of risk indicators that signal possible violations at enterprises. So far, although 187 indicators were used in 2022, only a few have worked, the authors of the concept note. New indicators will be developed for the most widespread and critical violations of mandatory requirements, and then they will be adjusted taking into account efficiency.
The White House will continue to link together the information systems necessary to increase the efficiency of control and reduce pressure on business: we are talking about the full integration of the register of mandatory requirements with the register of types of control and the register of notifications, about expanding the functionality of the personal account of entrepreneurs on the government services portal for prompt interaction with controllers. In the end, the White House plans to close the digital loop of the CND, providing for an end-to-end process from conducting a control event to holding accountable for identified violations of mandatory requirements. Thus, on the basis of the GIS TOR KND (control automation information system), a system for managing cases of administrative offenses is being prepared for implementation.
“Digitalization is important because it not only makes control transparent for business, but also allows the state to manage it on the basis of reliable data, set up and maintain a balance between a comfortable business environment and compliance with rules and regulations,” emphasize Dmitry Grigorenko’s office. Business associations approve new approaches to risk management, noting the formation in the Russian Federation of a technologically advanced state risk management system.
Business about the concept of development of control and supervision
Business associations support the government’s plans to develop the scope of control and supervision. First Vice-President of Opora Russia Marina Bludyan notes that the focus on reform of control and supervision is not decreasing. “The CND reform is underway, but its implementation must be managed,” she says, noting the streamlining of three important processes in the concept.
The first is risk management, the risk-oriented approach itself, which is exactly what the reform was started for. The activity of checks and the degree of control depend on the risk category of the controlled person. Now the process of assigning a category is controlled: the entrepreneur can influence the category and secure a lower one, and the controller can achieve its promotion. “Similar practices already exist abroad, but they are not implemented as technologically as ours. Our participants in the process are not only control bodies, but also those under control. The bilateral process will ensure objectivity, so we can admit that we will have one of the best government risk management systems,” says Ms. Bludyan.
The second process is the development of risk indicators. Under the conditions of a moratorium on most inspections (with the exception of extremely high-risk and high-risk facilities), risk indicators became a tool that made it possible to schedule unscheduled inspections and stop violations. “The control authorities determined all risk indicators independently without consultation with businesses. This was an important process; it was necessary to quickly develop such indicators. But now we have the opportunity to approach the process in a balanced way. The draft order allows these indicators to be adjusted next year,” she notes. Thus, on the basis of Support of Russia, together with the Ministry of Economy, 15–18 meetings will be held by the end of 2023 with the participation of specialized associations (there are 110 of them in Support of Russia), representatives of the office of the Commissioner for the Protection of the Rights of Entrepreneurs from all regions, as well as other businesses – associations. The results of these risk indicator meetings will form the basis for changes in 2024.
The third process is the approval of the bona fide of the controlled entity. As Marina Bludyan explains, each control body must apply a formula for determining the risk category and take into account the conscientious behavior of the person. Among the signs of good faith, the expert notes automation of control of risk factors, participation in self-regulatory organizations, as well as voluntary liability insurance. “Control bodies must take into account the conscientious behavior of supervised persons. If an entrepreneur conducts regular self-examinations, provides this data to an inspector, automates the reporting process, if he is a member of a self-regulatory organization, complies with its standards and is subject to the control procedures of such an organization, if he insures liability and receives an assessment of the level of risk from an inspector of an insurance organization interested in being such examination, then the entrepreneur can count on a lower risk category within the framework of the KND system,” she believes.
Ekaterina Avdeeva, head of the expert center for criminal legal policy and execution of judicial acts of Business Russia, believes that the implementation of the concept in the presented form will be a significant step from the still existing subjective expert assessments and discretionary decisions of the inspector to a system of clear and understandable regulations. The development of risk management and the creation of a clear system for categorizing objects of control with the ability to reduce risk categories, with a large number of risk indicators and a “risk calculator” will reduce the scale of corruption in control and supervisory activities. The development of violation prevention services will help simultaneously reduce the burden on control and supervisory agencies and increase the level of legal literacy and responsibility of entrepreneurs.
The expert draws attention to the proposal of the authors of the concept to introduce into the law on control a provision on agreements to eliminate violations, which will exclude the bringing of budgetary institutions and officials to administrative liability. “We believe that it would be fair and justified for a similar rule to be introduced for commercial and non-profit organizations, especially when it comes to small and micro businesses, recently registered companies, and socially significant projects. At the same time, we are by no means talking about indulgence for such companies; high risks to people’s lives and health must be strictly suppressed,” says the expert.
According to Ekaterina Avdeeva, suppression of violations within the framework of the CND often protects against consequences that may be grounds for initiating criminal cases, for example, if violations of fire safety requirements or the provision of services that do not meet safety requirements led to damage to health or death due to negligence. “Therefore, clear KND regulations with a risk-based approach are a reduction in administrative pressure and the prevention of criminal legal risks,” the expert states.
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