A Risk-Based Approach to Control and Supervision: International Experience and Specific Aspects of Application in Russia

A risk-based approach to the control and supervision of the activities of organizations implies that supervisory authorities should focus their efforts on the most substantial law violations concentrated in areas with the highest level of violations, since total control is economically unviable. Implementation of the risk-oriented approach in the control and supervision activities of an organization reduces the number of state inspections.

Aim. The presented study examines the implementation of the risk-based approach in the control and supervision activities of economic entities as well as its implementation in Russia.

Tasks. To that end, the authors analyze the experience of using the risk-based approach in certain countries and its application by supervisory authorities in Russia based on international practices and develop guidelines on the implementation of the risk-based approach in certain activities of an organization.

Methods. This study uses a systems approach, general scientific methods of cognition, and critical re-evaluation of the works of Russian and foreign scientists on the risk-based approach to control and supervision.

Results. The authors formalize the distinctive features and benefits of the risk-based approach to control and supervision, systematize the criteria of frequency and thoroughness of inspections in different fields of supervision, and propose paths for the development of the risk-based approach using modern digital technology and intelligent data analysis methods.

Conclusions. The fundamental feature of the risk-based approach to control and supervision is the uneven distribution of public resources depending on the risk of certain violations. This approach aims to maximize the concentration of limited resources in the areas of maximum risk, with both frequency and thoroughness of inspections made conditional on risk.

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