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Research paper thumbnail of How to Reform Business Inspections

All rights reserved This information, while based on sources that the World Bank Group considers ... more All rights reserved This information, while based on sources that the World Bank Group considers to be reliable, is not guaranteed as to accuracy and does not purport to be complete. The findings, interpretations, and conclusions expressed in this work are those of the authors and do not necessarily reflect the views of the Board of Executive Directors of the World Bank or the governments of the countries which they represent. The information in this work is not intended to serve as legal advice. The World Bank Group does not guarantee the accuracy of the data included in this work and accepts no responsibility for any consequences of the use of such data. The denominations and geographical names in this publication are used solely for the convenience of the reader and do not imply the expression of any opinion whatsoever on the part of the International Finance Corporation, the World Bank, or other affiliates concerning the legal status of any country, territory, city, area, or its authorities, or concerning the delimitation of its boundaries or national affiliation.

Research paper thumbnail of Regulatory Compliance in a Global Perspective: Developing Countries, Emerging Markets and the Role of International Development Institutions

The Cambridge Handbook of Compliance

Research paper thumbnail of Using Outcomes to Measure Aggregate-Level Compliance – Justifications, Challenges, and Practices

Research paper thumbnail of Enforcement of EU food law

Law Enforcement by EU Authorities

National competences to enforce EU food law are heavily regulated through the Official Controls R... more National competences to enforce EU food law are heavily regulated through the Official Controls Regulation. Information on food safety issues is shared among competent authorities through the Rapid Alert System for Food and Feed (RASFF). National performance is supervised by Directorate-F of DG SANTE; EU supervision though indirect enforcement by nature may directly affect businesses as is shown in the Bowland case. Also RASFF alerts that are traceable to individual businesses may heavily affect these businesses. The EU holds direct enforcement competences with regard to third countries and in case of emergencies including failing enforcement at Member State level. Due to the interlinkedness of competences, judicial accountability regarding RASFF alerts and Directorate-F supervision is lacking both at national level and at EU level. Also political accountability seems to fall short both at national and at EU level.

Research paper thumbnail of The Impact of Inspections, Measuring Outcomes from Occupational Safety and Health Inspections

Research paper thumbnail of From OSH regulation to safety results: Using behavioral insights and a “supply chain” approach to improve outcomes – The experience of the health and safety Executive

Safety Science

Abstract This paper considers briefly theoretical foundations of the links between regulation, “r... more Abstract This paper considers briefly theoretical foundations of the links between regulation, “regulatory delivery” and compliance, and then a case study of construction safety regulation in Britain, and comparative data on occupational safety inspections and outcomes in Britain, Germany and France (European Union member states with generally comparable OSH regulations but very different regulatory delivery). It studies the use of behavioral approaches by the Health and Safety Executive (HSE) in Great Britain, where engagement with regulated entities, managers, workers and other stakeholders to improve OSH is central. It provides a brief analysis of how approaches to regulatory delivery based on behavioral insights can result in greater efficiency, increased compliance and more positive public outcomes. These approaches differ from a traditional “deterrence-based” conception of regulatory enforcement limited to finding and punishing violations. Evidence suggests that such behavior-focused regulatory delivery can be both more efficient and more effective.

Research paper thumbnail of Inspections, risks and circumstances: historical development, diversity of structures and practices

From Chasing Violations to Managing Risks

Research paper thumbnail of The interplay of mandates and accountability in enforcement within the EU

Law Enforcement by EU Authorities

Research paper thumbnail of Smart enforcement in the EU

Journal of Risk Research, 2020

Increasingly enforcement of regulation is based on a risk-based or socalled smart enforcement. Sm... more Increasingly enforcement of regulation is based on a risk-based or socalled smart enforcement. Smart enforcement implies that enforcement does not take place via ad random routine controls; but that either ex ante risk assessment has been used to target enforcement actions or that ex post enforcement strategies are adapted to the behaviour by the targeted community. The paper discusses three areas (occupational health and safety, food and veterinary control as well as environmental policy) where to different extents smart enforcement is or should be employed. A critical comparative analysis is provided, and it is concluded that the implementation of EU law could improve by using smart enforcement techniques.

Research paper thumbnail of Food Safety Compliance

The Cambridge Handbook of Compliance, 2021

Research paper thumbnail of “Dividing the Wheat from the Chaff” : How to Get at the True Picture of Entrepreneurship Behind Misleading Statistics – Lessons from Ukraine’s Example

In recent years, a growing emphasis has been put on results measurement and also on using hard da... more In recent years, a growing emphasis has been put on results measurement and also on using hard data to evaluate and steer policy. Given the significant efforts in many countries to simplify business entry, this has led to an interest in using data from business registries to compare the number of businesses and the dynamics of entrepreneurship across countries. Significant differences between the officially reported figures on entrepreneurship (which get reflected in international indices) and the real situation mean that the design of reform interventions and solutions can be seriously misguided. The government as well as the donor community, and not least International Finance Corporation (IFC), need to take this into account when designing programs aimed at fostering private sector development. The World Bank Group Entrepreneurship Database (WBG ED), a joint effort led by the IFC Small and Medium Enterprise (SME) Department and the World Bank Development Research Group, is known ...

Research paper thumbnail of Theoretical underpinnings: costs and effectiveness, compliance drivers, discretion issues, risk and regulation

From Chasing Violations to Managing Risks

Research paper thumbnail of Lessons from Creating a Consolidated Inspection Agency in Mongolia

Regulatory Delivery, 2019

Research paper thumbnail of Implementing a shared inspection management system : insights from recent international experience

Businesses, non-governmental organizations, and health care providers in developing countries oft... more Businesses, non-governmental organizations, and health care providers in developing countries often face an array of inspections from various government agencies. Leading reformers have turned to shared technology solutions to better coordinate the timing, scope, and targeting of inspections. A recent study conducted by the World Bank Group examined the experiences of 12 jurisdictions with inspection management ICT solutions shared across multiple inspectorates. The study results confirm that the use of a shared inspection management system (SIMS) can help facilitate reform efforts and expedite their expected benefits. The results of this study highlight the most important business, technical, and institutional considerations when planning, designing, and implementing a SIMS. The jurisdictions highlighted throughout this note are among the leaders in inspections reform and represent a commitment to ongoing innovation as it relates to inspection practices. Based on the information su...

Research paper thumbnail of Note on sources

Research paper thumbnail of Regulation, Regulatory Delivery, Trust and Distrust: Avoiding Vicious Circles

Research paper thumbnail of Introducing a risk-based approach to regulate businesses : how to build a risk matrix to classify enterprises or activities

Adopting a risk-based approach can simplify key regulatory processes that govern business activit... more Adopting a risk-based approach can simplify key regulatory processes that govern business activities. This fundamental step involves moving from inspections, licensing, and other regulatory tools that cover all business uniformly to an approach that tailors the instruments used for regulation and control based on the level of risk. The higher the potential risk posed by a specific business activity, the stricter the control and the greater the need for licensing or permitting and more frequent inspections. For low-risk activities, a license or permit should generally not be required, and inspections should be rare. Having a proper methodology and tools to classify enterprises or activities according to risk is thus particularly important. Risk matrices are the primary way used to conduct this sort of classification. Risk matrices are fundamental instruments used to classify establishments depending on their risk level – and adapt the regulatory response (e.g. inspections, licensing)...

Research paper thumbnail of Inspections and enforcement: a view from the practice

Research paper thumbnail of Risks, Circumstances and Regulation – Historical development, diversity of structures and practices in Occupational Safety and Health inspections

Safety Science, 2020

Abstract The question of how inspectorates on occupational safety and health were born and develo... more Abstract The question of how inspectorates on occupational safety and health were born and developed recalls the question of how risks were conceived and how they lead to the adoption of regulations, creation of institutions, development of their scope of work, powers and methods. What seems to have led to create regulations and inspection institutions was, interestingly, not just the importance of a risk in terms of lives lost or other harm, but that a risk be perceived as something that could possibly be mitigated through intervention. Risks to which science and techniques were unable to respond, nor risks to which no cause-effect link was possible to attribute despite their statistical impact, did not lead to the same developments. Neither did those risks considered as “normal”. New techniques and industries created “dread risks” – or risk out of the ordinary – that were critical for state intervention, regulation and inspections. Moreover, moving to “some intervention” usually takes a combination of factors including “crisis events” or broader social pressure. After the initial introduction of a new regulatory system, the way in which institutions developed and grew appears generally and strongly subject to path dependence. A glimpse of historical evolution of occupational safety and health (OSH) inspectorates in the first countries that created them enable us to understand better the contexts in which inspectorates have been created and developed, the different institutional models and approaches to fulfilling their missions, and to explain differences and practices that still hold true today.

Research paper thumbnail of Actionable Regulatory Governance Indicators for UE Regions

Foreword and Acknowledgements This report responds to a request by the European Commission's Econ... more Foreword and Acknowledgements This report responds to a request by the European Commission's Economic Analysis Unit of the Directorate-General for Regional and Urban Policy (DG REGIO) to the World Bank. As set out in an Administration Agreement signed in October 2015, the World Bank will help DG REGIO identify and develop three sets of actionable indicators of the quality and capacity of public administrations at the state and regional levels of the EU Member States. The three sets of indicators are (i) indicators on the Strength of Public Management Systems; (ii) Citizen-focused Governance indicators; and (iii) Regulatory Governance indicators. This report presents results of the third set of indicators. Separate reports summarize the results of the other two work streams. Preliminary results and opportunities for continued work have been discussed on an ongoing basis with DG REGIO as well as with a steering group comprised of Directorate-Generals with interest in the topic. Meetings with the steering group took place in December 2015 and March 2017.

Research paper thumbnail of How to Reform Business Inspections

All rights reserved This information, while based on sources that the World Bank Group considers ... more All rights reserved This information, while based on sources that the World Bank Group considers to be reliable, is not guaranteed as to accuracy and does not purport to be complete. The findings, interpretations, and conclusions expressed in this work are those of the authors and do not necessarily reflect the views of the Board of Executive Directors of the World Bank or the governments of the countries which they represent. The information in this work is not intended to serve as legal advice. The World Bank Group does not guarantee the accuracy of the data included in this work and accepts no responsibility for any consequences of the use of such data. The denominations and geographical names in this publication are used solely for the convenience of the reader and do not imply the expression of any opinion whatsoever on the part of the International Finance Corporation, the World Bank, or other affiliates concerning the legal status of any country, territory, city, area, or its authorities, or concerning the delimitation of its boundaries or national affiliation.

Research paper thumbnail of Regulatory Compliance in a Global Perspective: Developing Countries, Emerging Markets and the Role of International Development Institutions

The Cambridge Handbook of Compliance

Research paper thumbnail of Using Outcomes to Measure Aggregate-Level Compliance – Justifications, Challenges, and Practices

Research paper thumbnail of Enforcement of EU food law

Law Enforcement by EU Authorities

National competences to enforce EU food law are heavily regulated through the Official Controls R... more National competences to enforce EU food law are heavily regulated through the Official Controls Regulation. Information on food safety issues is shared among competent authorities through the Rapid Alert System for Food and Feed (RASFF). National performance is supervised by Directorate-F of DG SANTE; EU supervision though indirect enforcement by nature may directly affect businesses as is shown in the Bowland case. Also RASFF alerts that are traceable to individual businesses may heavily affect these businesses. The EU holds direct enforcement competences with regard to third countries and in case of emergencies including failing enforcement at Member State level. Due to the interlinkedness of competences, judicial accountability regarding RASFF alerts and Directorate-F supervision is lacking both at national level and at EU level. Also political accountability seems to fall short both at national and at EU level.

Research paper thumbnail of The Impact of Inspections, Measuring Outcomes from Occupational Safety and Health Inspections

Research paper thumbnail of From OSH regulation to safety results: Using behavioral insights and a “supply chain” approach to improve outcomes – The experience of the health and safety Executive

Safety Science

Abstract This paper considers briefly theoretical foundations of the links between regulation, “r... more Abstract This paper considers briefly theoretical foundations of the links between regulation, “regulatory delivery” and compliance, and then a case study of construction safety regulation in Britain, and comparative data on occupational safety inspections and outcomes in Britain, Germany and France (European Union member states with generally comparable OSH regulations but very different regulatory delivery). It studies the use of behavioral approaches by the Health and Safety Executive (HSE) in Great Britain, where engagement with regulated entities, managers, workers and other stakeholders to improve OSH is central. It provides a brief analysis of how approaches to regulatory delivery based on behavioral insights can result in greater efficiency, increased compliance and more positive public outcomes. These approaches differ from a traditional “deterrence-based” conception of regulatory enforcement limited to finding and punishing violations. Evidence suggests that such behavior-focused regulatory delivery can be both more efficient and more effective.

Research paper thumbnail of Inspections, risks and circumstances: historical development, diversity of structures and practices

From Chasing Violations to Managing Risks

Research paper thumbnail of The interplay of mandates and accountability in enforcement within the EU

Law Enforcement by EU Authorities

Research paper thumbnail of Smart enforcement in the EU

Journal of Risk Research, 2020

Increasingly enforcement of regulation is based on a risk-based or socalled smart enforcement. Sm... more Increasingly enforcement of regulation is based on a risk-based or socalled smart enforcement. Smart enforcement implies that enforcement does not take place via ad random routine controls; but that either ex ante risk assessment has been used to target enforcement actions or that ex post enforcement strategies are adapted to the behaviour by the targeted community. The paper discusses three areas (occupational health and safety, food and veterinary control as well as environmental policy) where to different extents smart enforcement is or should be employed. A critical comparative analysis is provided, and it is concluded that the implementation of EU law could improve by using smart enforcement techniques.

Research paper thumbnail of Food Safety Compliance

The Cambridge Handbook of Compliance, 2021

Research paper thumbnail of “Dividing the Wheat from the Chaff” : How to Get at the True Picture of Entrepreneurship Behind Misleading Statistics – Lessons from Ukraine’s Example

In recent years, a growing emphasis has been put on results measurement and also on using hard da... more In recent years, a growing emphasis has been put on results measurement and also on using hard data to evaluate and steer policy. Given the significant efforts in many countries to simplify business entry, this has led to an interest in using data from business registries to compare the number of businesses and the dynamics of entrepreneurship across countries. Significant differences between the officially reported figures on entrepreneurship (which get reflected in international indices) and the real situation mean that the design of reform interventions and solutions can be seriously misguided. The government as well as the donor community, and not least International Finance Corporation (IFC), need to take this into account when designing programs aimed at fostering private sector development. The World Bank Group Entrepreneurship Database (WBG ED), a joint effort led by the IFC Small and Medium Enterprise (SME) Department and the World Bank Development Research Group, is known ...

Research paper thumbnail of Theoretical underpinnings: costs and effectiveness, compliance drivers, discretion issues, risk and regulation

From Chasing Violations to Managing Risks

Research paper thumbnail of Lessons from Creating a Consolidated Inspection Agency in Mongolia

Regulatory Delivery, 2019

Research paper thumbnail of Implementing a shared inspection management system : insights from recent international experience

Businesses, non-governmental organizations, and health care providers in developing countries oft... more Businesses, non-governmental organizations, and health care providers in developing countries often face an array of inspections from various government agencies. Leading reformers have turned to shared technology solutions to better coordinate the timing, scope, and targeting of inspections. A recent study conducted by the World Bank Group examined the experiences of 12 jurisdictions with inspection management ICT solutions shared across multiple inspectorates. The study results confirm that the use of a shared inspection management system (SIMS) can help facilitate reform efforts and expedite their expected benefits. The results of this study highlight the most important business, technical, and institutional considerations when planning, designing, and implementing a SIMS. The jurisdictions highlighted throughout this note are among the leaders in inspections reform and represent a commitment to ongoing innovation as it relates to inspection practices. Based on the information su...

Research paper thumbnail of Note on sources

Research paper thumbnail of Regulation, Regulatory Delivery, Trust and Distrust: Avoiding Vicious Circles

Research paper thumbnail of Introducing a risk-based approach to regulate businesses : how to build a risk matrix to classify enterprises or activities

Adopting a risk-based approach can simplify key regulatory processes that govern business activit... more Adopting a risk-based approach can simplify key regulatory processes that govern business activities. This fundamental step involves moving from inspections, licensing, and other regulatory tools that cover all business uniformly to an approach that tailors the instruments used for regulation and control based on the level of risk. The higher the potential risk posed by a specific business activity, the stricter the control and the greater the need for licensing or permitting and more frequent inspections. For low-risk activities, a license or permit should generally not be required, and inspections should be rare. Having a proper methodology and tools to classify enterprises or activities according to risk is thus particularly important. Risk matrices are the primary way used to conduct this sort of classification. Risk matrices are fundamental instruments used to classify establishments depending on their risk level – and adapt the regulatory response (e.g. inspections, licensing)...

Research paper thumbnail of Inspections and enforcement: a view from the practice

Research paper thumbnail of Risks, Circumstances and Regulation – Historical development, diversity of structures and practices in Occupational Safety and Health inspections

Safety Science, 2020

Abstract The question of how inspectorates on occupational safety and health were born and develo... more Abstract The question of how inspectorates on occupational safety and health were born and developed recalls the question of how risks were conceived and how they lead to the adoption of regulations, creation of institutions, development of their scope of work, powers and methods. What seems to have led to create regulations and inspection institutions was, interestingly, not just the importance of a risk in terms of lives lost or other harm, but that a risk be perceived as something that could possibly be mitigated through intervention. Risks to which science and techniques were unable to respond, nor risks to which no cause-effect link was possible to attribute despite their statistical impact, did not lead to the same developments. Neither did those risks considered as “normal”. New techniques and industries created “dread risks” – or risk out of the ordinary – that were critical for state intervention, regulation and inspections. Moreover, moving to “some intervention” usually takes a combination of factors including “crisis events” or broader social pressure. After the initial introduction of a new regulatory system, the way in which institutions developed and grew appears generally and strongly subject to path dependence. A glimpse of historical evolution of occupational safety and health (OSH) inspectorates in the first countries that created them enable us to understand better the contexts in which inspectorates have been created and developed, the different institutional models and approaches to fulfilling their missions, and to explain differences and practices that still hold true today.

Research paper thumbnail of Actionable Regulatory Governance Indicators for UE Regions

Foreword and Acknowledgements This report responds to a request by the European Commission's Econ... more Foreword and Acknowledgements This report responds to a request by the European Commission's Economic Analysis Unit of the Directorate-General for Regional and Urban Policy (DG REGIO) to the World Bank. As set out in an Administration Agreement signed in October 2015, the World Bank will help DG REGIO identify and develop three sets of actionable indicators of the quality and capacity of public administrations at the state and regional levels of the EU Member States. The three sets of indicators are (i) indicators on the Strength of Public Management Systems; (ii) Citizen-focused Governance indicators; and (iii) Regulatory Governance indicators. This report presents results of the third set of indicators. Separate reports summarize the results of the other two work streams. Preliminary results and opportunities for continued work have been discussed on an ongoing basis with DG REGIO as well as with a steering group comprised of Directorate-Generals with interest in the topic. Meetings with the steering group took place in December 2015 and March 2017.

Research paper thumbnail of OECD best Practice Principles for Regulatory Policy Regulatory Enforcement and inspections

This work is published on the responsibility of the Secretary-General of the OECD. The opinions e... more This work is published on the responsibility of the Secretary-General of the OECD. The opinions expressed and arguments employed herein do not necessarily reflect the official views of the OECD or of the governments of its member countries.