OECD Regulatory Enforcement and Inspections Toolkit

Criterion 8. Information integration

Information and communication technologies should be used to maximise risk-focus, co‑ordination and information-sharing – as well as optimal use of resources.

Key questions:

• Do inspection and enforcement structures have adequate and up-to-date data and IT tools allowing for effective risk-based planning and follow-up on previous inspections?

• Is data shared regularly between different structures and/or are records of other structures easy to look up – or, better still, is data fully integrated (single database) among different structures?

• Do information systems make use of advanced techniques e.g. automated planning, integrated resource management, mobile tools for inspectors, GIS etc.?

• Does sharing/exchange of data go beyond the “narrowly defined” inspection and enforcement field and include business registration, licensing, public health etc.?

Sub-criterion 8.1. Inspection and enforcement structures have adequate and up‑to-date data and IT tools allowing for effective risk-based planning and follow-up on previous inspections

Proper risk-based targeting and effective enforcement both require adequate data and data-management tools. For the former, a comprehensive database of objects under supervision, including their fundamental characteristics in regard to risk (activities, scope, location, track record) is indispensable. For the latter, a system of case management, records and workflow management is a considerable asset. Combining both is the best option to ensure optimal efficiency and targeting.

• Evidence: Existence of ICT systems, availability of functions and data

Sub-criterion 8.2. Data is shared regularly between different structures and/or records of other structures are easy to look up – or, better still, data is fully integrated (single database) among different structures

As indicated in sub-criteria 6.3 and 6.4, rapid, regular information sharing is essential. ICT systems should be set up so that this happens as much as possible automatically, or at the least very easily. Ideally, several (or all) agencies should use the same database, with different agencies being responsible to fill in different data points, but all able to consult the others’ data so as to improve targeting and responsiveness, and have more up-to-date data by pooling their efforts and resources.

• Evidence: existence of systems for data exchange or data integration

Sub-criterion 8.3. Information systems make use of advanced techniques e.g. automated planning, integrated resource management, mobile tools for inspectors, GIS etc.

To make work more efficient and targeting better, ICT tools should make use as much as possible of automated planning (based on risk criteria and risk profile of establishments recorded in the database), mobile tools for inspectors (laptop/tablet or smartphone based tools including check-lists, mobile applications or other instruments to directly record the inspection findings, look up additional information etc.), geographical information systems (GIS) to better analyse data, identify patterns, and locate the premises to be visited. The active use of search for relevant information on social networks becomes increasingly relevant.

• Evidence: availability of automated planning functions, mobile tools, GIS systems etc.

Sub-criterion 8.4. Sharing/exchange of data goes beyond the “narrowly defined” inspection and enforcement field and includes business registration, licensing, public health etc.

Obtaining data on contamination cases, injuries and accidents, etc. from public health and rescue services is essential to improve risk-based targeting. Likewise, to have an up‑to‑date list of objects under supervision requires a constant interface with business registration, licensing and permit (e.g. construction permit) systems. The more these systems can be integrated and the needed information made available, the more effective and really risk-based the inspection system can become.

• Evidence: exchange of data with “non-inspection” services – availability of data, existence of procedures etc.