OECD Regulatory Enforcement and Inspections Toolkit by OECD

Author:OECD
Language: eng
Format: epub
Tags: Industry and Services/Governance
Publisher: OECD Publishing
Published: 2018-08-07T16:00:00+00:00

Sub-criterion 4.4. Enforcement practices differentiate responses based on regulated subject track record (and treat newly established businesses distinctly), risk assessment, effectiveness of different options

In practice, responsive enforcement requires differentiation based on the track record of the operator, on the risk assessment (damages that the violation has already caused and/or is likely to cause, considering also the broader compliance context in the establishment), and on the potential effectiveness of different options. The latter means considering the impact of the enforcement response on future compliance both inside the establishment (likely staff and management response) and outside of it (exemplarity effect). Since individual inspectors cannot be expected to have full knowledge of all the experience and evidence that could be relevant to choose between different possible responses, the availability of sufficiently detailed guidance is indispensable – combined with strong professional skills to properly assess the situation on site. Having detailed guidance is in any case insufficient – ensuring that the actual practice of inspectors and the decisions of their management correspond to a responsive approach is essential.

Evidence: official policy documents, annual reports data and analysis

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