Step 4 Monitoring

The inspecting authority should act on the basis of systematic monitoring of the inspection and enforcement process and its result and effects.
Performance monitoring is necessary so the inspecting authority can report internally or at national or EU-level and check if objectives and targets have been met. It is important to use meaningful performance indicators to assess the effectiveness of the inspection plan. Insight into their effectiveness can help to determine which tools and strategies are working best to ensure compliance and to allow the public and stakeholders to examine whether the inspecting authority is meeting its responsibilities. This monitoring can take place on different levels.
On the inspection schedule level, regular monitoring of progress should be carried out in relation to performance indicators (e.g. planned number of inspections vs. actual inspections carried out). This should inform execution of the schedule and may be carried out for example on a six-monthly or quarterly basis. This should also include monitoring of actions taken as result of inspections or complaints e.g. legal notices issued.
Performance monitoring should also take place at a higher level in relation to the success of the plan. This could include measurement against plan outcomes, against the objectives and measurable targets (e.g. general environmental improvements, increase in compliance rate), and external reporting of plan outputs/outcomes to national or EU level etc.

Performance monitoring should at least cover (in no order of preferences):

• Monitoring
  • Performance of staff (output)
  • Monitoring of the results (outcome)
• Accounting for effort, performance results
  • Annual reports
  • Report on agreements with other inspecting organisations
  • Input in the regulatory cycle
  • Feedback on the results and recommendations
• Comparing and auditing
  • External reporting
  • Available to public
  • Region and local level to public and National level
  • National authority to Commission,
  • Data about staffing and resources
  • Role and performance in relation to inspection targets
  • Summary of the inspections carried out
  • Degree of compliance
  • Actions taken as result of complaints, accidents and incidents
  • Actions taken as result of occurrence of non-compliance