Risk-oriented approach in control and supervision activities

Risk is an integral part of any enterprise and event. Whatever you do, there is always the possibility that something will go wrong. This is especially important for business, as in this area risks exist in various forms and can manifest themselves in the most unexpected places and moments. That is why there is a risk-oriented approach, which allows you to effectively operate in an environment of high risk. What is the essence of this process? What factors do they have? Is it used in the Russian Federation, and if so, at what level? This article will be fully devoted to what is a risk-based approach, and to all the details that concern it.

The essence of the approach

So, first of all, it is necessary to understand what a risk-oriented approach is. Imagine an enterprise that operates in a market. There are a lot of risks that concern it, depending on what kind of activities it does. The control and supervisory activities at this enterprise can be carried out in a variety of ways, but recently the most popular is the risk-oriented approach. The specialist analyzes all possible risks that concern this enterprise, allocates the largest among them, eliminates those that do not greatly affect the activities of the enterprise, and then creates a full-fledged strategy to combat them, so that the company can operate as efficiently as possible, reducing their likelihood. So, the essence of this method, in other words, is to find those factors that prevent the company from operating one hundred percent, and further leveling them.

The relationship between risk and business

Many entrepreneurs may wonder: why do they need a risk-oriented approach in controlling and supervising activities? After all, their enterprise is small, so the risks are all on the surface, and they do not represent the real danger. However, this is a big mistake. Even the smallest enterprise can have dozens of diverse risk factors, many of which are hidden from the view of the layman. As a result, they remain unnoticed, implemented and do not allow the enterprise to achieve the desired goal. Accordingly, the risk-oriented approach in supervision and supervision is very important, as it allows to identify all the risk factors before they could be realized, and then turn this information into a full-fledged business plan that allows the enterprise to function, avoiding implementation This or that risk factor, thereby increasing their productivity. The entrepreneur will be able to clearly see which processes are most at risk - and not run them to significantly increase their chance of success. Well, now you understand in general terms what kind of method it is. It's time to take it apart and study it more carefully.

Risk

Before starting a risk-based approach, you need to clearly understand the basic concepts associated with this process. And the first, of course, is the risk. What it is? A risk is defined as a certain event that has not yet occurred and does not occur, but can occur in the future - and it has a certain percentage of the likelihood of damaging your enterprise. The difficulty here is that the risk can be either directly by the event itself, or by a factor that affects others. In this case, do not forget that it can happen, or it may not happen, its effect can be both serious and weak. That's why it is recommended to invite a specialist for this approach to use it, as here a lot depends on the professional experience. A person who has been working with a risk-based approach for more than a year can more clearly and quickly determine the severity of various risks and differentiate their factors.

Initial and residual risks

What else is necessary to know about the risk-oriented approach? Organizations use it more often. However, it is recommended to use the services of specialists, since they will help you to make the most effective risk plan for your enterprise. For example, you hardly know what the source and residual risks are, and what is the difference between them. Naturally, you should know about this even if you do not plan to use this approach, since this is very important information. The fact is that sometimes even the most serious measures do not give you a one hundred percent guarantee that the risk will not be activated. That is why this distinction exists. The initial risk is one that exists initially without any outside intervention on your part, while the residual is the one that remains after all possible measures have been taken to eliminate it. Naturally, most often residual risk has a much lower probability of activation and much less potential damage. And already this makes it clear that a risk-based approach to monitoring is very effective and incredibly useful for any type of business.

Risk Factor

More than once the term "risk factor" was mentioned above - but what does it mean? This is the result of some action, inaction or condition, which increases the probability of realizing a particular risk, and also increases the likely damage that will be caused by its activation. The risk factor that triggers the risk realization process is the cause, and this causes great confusion in many people. The fact is that the cause will be some factor, but not all factors are the cause. It can be easily remembered that the cause for risk activation will be one, and there may be many side effects that will increase the probability of activation and enhance the damage. It is not difficult to imagine that in different industries, both the risk factors and the risk-oriented approach in itself will differ. In labor protection, for example, risk factors are unlikely to coincide with those that exist in the small business. So, now you have a general idea of how this works. It's time to look at a clear example. And what will be better than the process of introducing a risk-oriented approach to the system of state control and supervision of the Russian Federation that has just started recently?

Issue of Resolution

On April 1, 2016 in the Russian Federation, a government decree was issued on a risk-oriented approach in organizing and conducting control and supervisory activities. In accordance with this decision, it was decided to introduce this approach at the state level to improve the functionality and effectiveness of government agencies. In principle, the same thing happens in the business sphere - the entrepreneur must make a decision about the introduction of a risk-based approach, and already it, documented, starts the whole process, which will now be discussed.

Definition of control types

So, where did the risk-oriented approach to the organization of state control in the government of the Russian Federation begin? First and foremost, the government decree indicated the types of control that would be subject to changes after the introduction of this approach. In other words, a risk-oriented approach, when fully implemented, will not affect all areas, but only those that have been identified in the resolution. What are these spheres? In accordance with the resolution, the following types of state control and supervision will be implemented using a risk-oriented approach: federal state fire supervision, federal state sanitary and epidemiological supervision, federal state supervision in the field of communications and federal state supervision over observance of labor legislation. However, this is not the only information contained in the resolution.

Introduction of rules

What else contained the resolution, in accordance with which a risk-oriented approach was launched for the spheres of activity outlined above? State supervision in these areas will be carried out in accordance with the rules, which were also indicated in the text of the resolution. In total, 21 rules were singled out. They will have to be adhered to by state bodies when carrying out supervision and control in the relevant spheres of activity.

Risk categories and criteria of reference

But even so, the information provided by the resolution does not end - it also defines specific categories of risk, hazard classes, as well as the specifics of activities when a particular category of risk and danger is detected. Moreover, the text of the resolution also establishes the criteria for classifying a particular physical or legal person to a certain category of risk and danger. Strictly speaking, this concludes the theoretical part - and from April 2016 the decree began to take effect in stages. By the way, the process is still incomplete, so it will be interesting to look at what steps have already been successfully completed, which are at the implementation stage, and which have not even started yet and are only scheduled for a certain date in the future.

Calculation methods

The first practical task, which began in May 2016, was the development of methods for calculating the values of indicators, which in the future will be used to determine the degree of danger of a particular factor and directly the risk itself. Please note that this process is very important and time-consuming, because, in fact, it is his results that will be the foundation for the future activities of the program. Therefore, work on this step is still under way, although they were launched many months ago.

Unscheduled inspections

With regard to this step, it was very short and fast - during it it was necessary to legislatively fix the possibility of using this approach when conducting unscheduled inspections. This was already implemented in the second quarter of 2016.

Preparation of recommendations

The next step was the preparation of detailed methodological recommendations that could be used by relevant state government bodies to introduce a risk-based approach into their activities. This step will require a lot of effort, since it implies the availability of a ready project, in accordance with which recommendations will be created. That is why the period for the implementation of this item is scheduled for February 2017 - and the responsible bodies are still working on its completion.

Summing up the preliminary results

By March 2017 preliminary results of introducing a risk-oriented approach to the above-mentioned bodies of state supervision should be summarized. The point is that this approach is planned to be used in the future much more widely, so now it is being implemented only in a limited number of spheres, and now an assessment is being made of how effective this project is. In March 2017, the results will be summed up and, based on the results obtained, a decision will be made as to how soon the list of types of supervision will be expanded and what it will be by 2018, that is, by the time this approach is fully implemented in state supervisory bodies .

Conducting workshops

In June 2016, the first seminar was held on the exchange of successful practices of the functioning of the risk-oriented approach in the bodies of state control and supervision. This step has no statute of limitations, since it must be made every six months. It is likely that after full implementation of the system, corrections will be made to this point, but until 2018 these seminars will be held every six months, which will significantly improve the functionality of this project.