The algorithms for drawing up annual plans of inspections performed by Rospotrebnadzor’s regional organizations within the framework of risk-based model

View or download the full article: 

D.A. Kiryanov, M.R. Kamaltdinov, M.Yu. Tsinker, V.М. Chigvintsev, S.V. Babina


Federal Scientific Center for Medical and Preventive Health Risk Management Technologies, 82 Monastyrskaya Str., Perm, 614045, Russian Federation


The existing model of control and surveillance activities is based on a procedure that involves assigning activities performed by juridical persons or private entrepreneurs and (or) production facilities used by them in these activities into a specific risk category or a specific hazard class (category). The goal of the present work was to develop and improve algorithms for drawing up annual plans of inspections performed by Rospotrebnadzor’s territorial organizations within the framework of the risk-based model.

For the first time, we have formulated conceptual and mathematical statement of the problem of planning control and surveillance activities performed by Rospotrebnadzor. This allowed us, among other things, to consider history of violations (integrity of a given subject) over a specific period and availability of objects for inspections. The latter is described with several parameters that include both regional peculiarities (a distance between objects, quality of road networks) and “complexity” of checking a particular object. When analyzing the mathematical statement, we identified certain model parameters that had the greatest influence on a solution to the problem, that is, the most sensitive parameters that should be regulated with special care if we want to make control and surveillance activities more effective.

We have created planning algorithms with preset parameter values (scenario forecasting programs) and tested them at the regional level. We have developed three criteria for comparing these algorithms: coverage of a number of subjects that are to be inspected; coverage of a number of objects that are to be inspected; coverage by the total risk. The testing results indicate that the combined algorithm has higher coverage rates since in this case not all objects are inspected when a given subject is being checked. Consequently, this allows reducing overall labor costs required to perform an inspection.

The suggested approaches give an opportunity to achieve more effective distribution and use of resources allocated by Rospotrebnadzor for scheduled inspections.

planning algorithms, control and surveillance activities, economic entities, scheduled inspections, risk-based surveillance, hazard class, working hours fund, mathematical model
Kiryanov D.A., Kamaltdinov M.R., Tsinker M.Yu., Chigvintsev V.М., Babina S.V. The algorithms for drawing up annual plans of inspections performed by Rospotrebnadzor’s regional organizations within the framework of risk-based model. Health Risk Analysis, 2022, no. 2, pp. 17–27. DOI: 10.21668/health.risk/2022.2.02.eng
  1. Nozdrachev A.F., Zyryanov S.M., Kalmykova A.V. Reform of state control (supervision) in the Russian Federation. Zhurnal rossiiskogo prava, 2017, no. 9, pp. 34–46. DOI: 10.12737/article_599d74421f88b5.06552344 (in Russian).
  2. Spiridonova A.A., Khomutova E.G. The risk-oriented approach in the quality management system of an industrial enterprise: the problem of selecting the methods of risk management. Organizator proizvodstva, 2017, vol. 25, no. 2, pp. 92–100. DOI: 10.25065/1810-4894-2017-25-2-92-100 (in Russian).
  3. Statinov V.V., Seryh I.R., Chernyshova E.V., Degtyar A.N. The risk-oriented approach in the field of industrial safety. Vestnik BGTU im. V.G. Shuhova, 2018, no. 12, pp. 67–72. DOI: 10.12737/article_5c1c9960a03a84.05293055 (in Russian).
  4. Soloviev A.I. Risk-oriented approach in the system of government control and supervision in the tax sphere. Ekonomika. Nalogi. Pravo, 2017, vol. 10, no. 6, pp. 139–146 (in Russian).
  5. Avdeeva I.L., Shchegolev A.V., Polyanin A.V. Risk-oriented public administration in a digitalized economy. Menedzhment v Rossii i za rubezhom, 2019, no. 5, pp. 55–61 (in Russian).
  6. Murashko M.A., Seregina I.F., Matytsin N.O. Methodological foundations for applying risk-oriented approach in exerting state control in health care. Vestnik Roszdravnadzora, 2017, no. 3, pp. 9–13 (in Russian).
  7. Ivleva G., Borovikova E., Melnikov R. Implementation of risk-based state-government regulation in the Russian conditions. Moscow, RANKhiGS Publ., 2015, 41 p. (in Russian).
  8. Sheina A.Yu., Khmelova D.E. Application of risk-based approach in tax administration of the state. Innovatsionnoe razvitie, 2012, vol. 30, no. 3, pp. 58–60 (in Russian).
  9. Suarez Kh., Finkel'shtein M., Lisanov M.V., Kruchinina I.A. Zarubezhnyi opyt ispol'zovaniya risk-orientirovannogo podkhoda pri ekspluatatsii tekhnicheskikh ustroistv na neftegazovykh ob"ektakh [Foreign experience in using a risk-oriented approach when operating technical devices at oil and gas facilities]. Bezopasnost' truda v promyshlennosti, 2015, no. 8, pp. 24–32 (in Russian).
  10. Rud'ko-Silivanov V.V., Zubrilova N.V., Savalei V.V. Risk-orientirovannyi nadzor za deyatel'nost'yu kreditnykh organizatsii v oblasti POD/FT [Risk-based supervision of the activities of credit organizations in the sphere of POD/FT]. Den'gi i kredit, 2013, no. 6, pp. 12–19 (in Russian).
  11. Yanevich P.V. Upravleniya riskami i ispol'zovanie risk-orientirovannogo podkhoda vo vnutrennem audite [Risk management and the use of a risk-based approach in internal audit]. Mezhdunarodnyi zhurnal prikladnykh i fundamental'nykh issledovanii, 2010, no. 1, pp. 46–47 (in Russian).
  12. Kapelist E.I., Kizilov A.N. Development of the technique of planning of internal audit in the agricultural organizations. Fundamental'nye issledovaniya, 2012, no. 6–1, pp. 224–228 (in Russian).
  13. Smetanko A.V. Applied aspects of planning risk-oriented internal audit of key performance indicators (KРІ). Vestnik finansovogo universiteta, 2013, vol. 75, no. 3, pp. 85–98 (in Russian).
  14. Voronov S.P., Nestrugin A.N., Kozlov A.A., Kozlov T.A. Risk-oriented approaches to planning of control measures by supervisory authorities of EMERCOM of Russia. Tekhnologii tekhnosfernoi bezopasnosti, 2014, vol. 57, no. 5, pp. 2 (in Russian).
  15. Belenkij V.M., Prus Yu.V. Optimal planning methods of prophylactic events in an occupational safety management system. Tekhnologii tekhnosfernoi bezopasnosti, 2013, vol. 50, no. 4, pp. 23 (in Russian).
  16. Kondrat'ev-Firsov V.M. Primenenie programmno-tselevykh podkhodov k planirovaniyu meropriyatii po povysheniyu zashchishchennosti kriticheski vazhnykh ob"ektov [Application of program-targeted approaches to planning measures to improve the security of critical facilities]. Problemy analiza riska, 2008, vol. 5, no. 4, pp. 66–75 (in Russian).
  17. Kravchenko N.A., Polyakov I.V. Nauchnoe obosnovanie metodologii prognozirovaniya resursnogo obespecheniya zdravookhraneniya Rossii (istoriya i sovremennost') [Scientific grounds for forecasting resource provision of Russian healthcare (history and present)]. Moscow, Federal'nyi fond OMS Publ., 1998, 392 p. (in Rus-sian).
  18. Zaitseva N.V., May I.V., Kiriyanov D.A., Kostarev V.G. Scientific and methodological approaches to the formation of risk-oriented model of sanitary and epidemiological surveillance over activities in the healthcare field. Meditsinskii al'manakh, 2017, vol. 49, no. 4, pp. 29–32 (in Russian).
  19. Popova A.Yu., Zaitseva N.V., May I.V., Kiryanov D.A. On the development of the system of risk-based supervision in the field of sanitary and epidemiological welfare of the population and consumer protection. Health Risk Analysis, 2015, no. 4, pp. 4–12. DOI: 10.21668/health.risk/2015.4.01.eng
  20. Popova A.Yu., Zaytseva N.V., May I.V. Experience of methodological support and practical implementation of the risk-oriented model of sanitary-epidemiological surveillance in 2014–2017. Gigiena i sanitariya, 2018, vol. 97, no. 1, pp. 5–9. DOI: 10.18821/0016-9900-2018-97-1-5-9 (in Russian).
Accepted for publication: 

You are here