LI-Audit-Methodology finaldraft - 070308

LI-Audit-Methodology finaldraft - 070308

-

Documents
12 pages
Lire
Le téléchargement nécessite un accès à la bibliothèque YouScribe
Tout savoir sur nos offres

Description

ILO PROGRAMME AND BUDGET 2008-09 LABOUR INSPECTION AUDITS – A METHODOLOGY Introduction 1. Effective labour inspection, as a main part of labour administration, is vital in ensuring that the principles of international labour standards are implemented at the enterprise level and in promoting good governance in the world of work, making Decent Work a reality. It helps to promote and ensure compliance with national legislation, such as on occupational safety and health, on working conditions, and on other aspect of the employment relationship, and increases the effectiveness of employment and work policies at the enterprise level, preventing the conflict and promoting social peace. However, in a rapidly changing world of work, labour inspectorates often face significant challenges in carrying out their functions effectively, they may be poorly resourced and their impact in the workplace, especially in the informal economy, can be minimal. 2. In its Programme and Budget for 2008-09, therefore, the ILO agreed to several actions to help reinvigorate and modernize labour inspection, including a joint immediate outcome to increase member States’ capacity to carry out labour inspection. This joint outcome contained specific targets for (1) carrying out tripartite labour inspection audits, (2) formulating and implementing national action plans, and (3) highlighting the need for more resources for ...

Sujets

Informations

Publié par
Nombre de visites sur la page 19
Langue English
Signaler un problème









ILO PROGRAMME AND BUDGET 2008-09

LABOUR INSPECTION AUDITS –

A METHODOLOGY














Introduction

1. Effective labour inspection, as a main part of labour administration, is vital
in ensuring that the principles of international labour standards are
implemented at the enterprise level and in promoting good governance in
the world of work, making Decent Work a reality. It helps to promote and
ensure compliance with national legislation, such as on occupational
safety and health, on working conditions, and on other aspect of the
employment relationship, and increases the effectiveness of employment
and work policies at the enterprise level, preventing the conflict and
promoting social peace. However, in a rapidly changing world of work,
labour inspectorates often face significant challenges in carrying out their
functions effectively, they may be poorly resourced and their impact in the
workplace, especially in the informal economy, can be minimal.

2. In its Programme and Budget for 2008-09, therefore, the ILO agreed to
several actions to help reinvigorate and modernize labour inspection,
including a joint immediate outcome to increase member States’ capacity
to carry out labour inspection. This joint outcome contained specific
targets for (1) carrying out tripartite labour inspection audits, (2)
formulating and implementing national action plans, and (3) highlighting
the need for more resources for inspection. It was also agreed that labour
inspection should be integrated more effectively with other related
programmes, notably Decent Work Country Programmes and those on
occupational safety and health, working conditions, migrant workers,
HIV/AIDS, forced labour, child labour, etc.

3. This document is just concerned with labour inspection audits mentioned
above. Labour administration and labour inspection audits are not new and
much experience has already been gained from audits carried out by the
ILO’s In Focus Programme for the Promotion of Social Dialogue, Labour
Legislation and Labour Administration (IFP/Dialogue) and the
International Programme on Safety and Health at Work and the
Environment (SafeWork). These included audits carried out in Argentina
(1989) Panama (1995), Haiti (1998), Bolivia (2000), Luxembourg (2002)
and Latvia (2005), as well as partial assessments in Brazil and Chile in the
early 1990s.

4. The methodology contained in the document is thus based on experience
gained in previous audits and in other related actions carried out by
dialogue and safe work. Importantly, the methodology does not provide a
basis for criticism of specific national legislation, policies programs, or
administrative procedures per se, but rather enables auditors to analyze the
1 system for applying them in practice and to compare them with other
national standards.

5. The scope of the audits should be as broad as possible, covering labour
inspection activities at both the central and territorial levels, based on
national administrative divisions. The audits should cover labour
inspection activities in all sectors of employment, as foreseen in relevant
1
International Labour Standards , including the informal economy.
Although inspectorates often have no legal mandate for enforcing labour
legislation in relation with some workers on the informal economy (such
as independent workers), many seek to extend their influence to
enterprises that are not strictly covered by labour law, doing so indirectly
through their participation in national campaigns, working with the media
and educational and training associations, raising overall awareness of the
need for worker protection. Such approaches were envisaged by the
Labour Inspection Convention, 1947 (No.81).

6. Social dialogue is vital for labour inspection to be effective, and
employers and workers’ organizations and other social partners should
cooperate fully with Ministries of Labour and their inspectorates in
carrying out these audits. The audits should evaluate working relationships
between the different partners and the effectiveness of any tripartite or
bipartite bodies that exist to direct or support labour inspection activities.
Relationships with the judiciary, social security institutions and
educational and training organizations etc should also be considered.

7. Previous audits have considered how labour law and policies can be
applied more effectively, with any technical assistance provided as
relevant as possible to what can be achieved nationally. The aim has been
to ensure that Ministries of Labour have sufficient capacity to develop
sustainable labour inspections programs, and in this context it has been
important to analyze how labour administration is organised so that best
use is made of any technical assistance provided.

8. Finally, it should be noted that in November 2007 the ILO Governing
Body agreed to launch a campaign to promote the universal ratification of
ILO priority Conventions, which include those on labour inspection
(Conventions Nos 81 and 129). This should be taken into consideration
when conducting these audits.

1 Such as the Labour Inspection Convention 1947 (No. 81) and the Occupational Safety and Health
Convention 1981 (No. 155) and their accompanying Recommendations.
2 Labour inspection: an overview

9. Perhaps the most important overall justification for these audits is to
promote high standards of professionalism in labour inspection globally.
Labour inspectors are often regarded as professional civil servants, and as
such they should be thoroughly competent and able to carry out their work
to high ethical and technical standards. This presumes good selection and
recruitment processes, high academic qualifications on entry into service –
many inspectors are recruited as graduates – and high standards of
personal integrity and in-service training. This has important implications
for organisation, funding and resourcing, for recruitment procedures and
for training. The issue of ethical behaviour is dealt with in a recent ILO
2publication ; further guidance on this subject will be developed shortly.

10. Labour inspection is traditionally one of the functions of Ministries of
Labour or equivalent government departments, and inspectorates are
generally well established. Labour Inspection Conventions have been
reasonably well ratified: as at January 2008, 137 countries had ratified the
Labour Inspection Convention, 1947 (No.81) and 45 the Labour
Inspection (Agriculture) Convention, 1969 (No.129). This provides a
strong platform on which to proceed with audits, but in recent years
Ministries of Labour have often suffered from significant shortfalls in
government funding, especially in developing countries. This has meant
that in practice labour inspection budgets usually represent a tiny fraction
of the overall government budget, which inevitably limits the
inspectorates’ effectiveness and efficiency.

11. It is also the ILO’s aim to see greater resources being allocated to labour
inspectorates and this is further considered below. Inspectors must be
properly selected and trained, have satisfactory remuneration and career
progression, and be provided with decent offices, computers and other
facilities. Sufficient and suitable transport for inspectors to carry out site
visits is also essential.

12. Nevertheless, some improvements in performance can be achieved without
great budget increases, through better organisation, perhaps restructuring,
and by adopting modern working practices. Better coordination with other
government ministries may also enhance performance, as might better
collaboration with social partners and other organisations, such as
educational and training institutions or safety and health services.


2
A Toolkit for Labour Inspectors, a Model Enforcement Policy, a training and operations Manual and a
Code of Ethical Behaviour, ILO, 2006 -
http://www.ilo.org/public/english/protection/safework/li_suppliers/download/inspection/toolkit_for_labour
_inspectors_budapest.pdf

3
Organization

13. Good management practices and procedures for labour inspection are
therefore vital, making best use is made of available resources. Ministries
of Labour and their inspectorates need to plan strategically, setting clear
policies, objectives and priorities with appropriate time frames. Programs
and human and financial resources should be based on the specific needs
and activities of the centralized and decentralized services. Targets and
indicators of success should also be agreed, so that the effectiveness of
such programs can be properly monitored and evaluated. Audits should
thus consider both national and regional/local administrative structures,
noting that social partners need to be engaged in meaningful dialogue at
both national and regional/local levels.

14. One of the criticisms of national inspectorates is that there are too many of
them, with different organisations responsible for safety, for health, for
general working conditions, employment relations and so on. Having
separate organisations supervising these different topics has meant that
enterprises face multiple visits from different inspectorates and advice is
often fragmented. From the government’s point of view, having several
inspectorates is also inefficient, duplicating effort such as transport and
office functions and having less impact and coherence with enterprises
overall.

15. The solution that many countries have now adopted has been to integrate
labour inspection services, with one national organisation responsible for
safety and health, working conditions, employment relations etc, as far as
possible. Such an approach has been endorsed by the ILO because of the
advantages in increased efficiency and effectiveness. More advice about
the integrated approach is given in a recent ILO report: “Unity Beyond
3Differences: The Need for an Integrated Labour Inspection System” .

16. It is quite relevant to consider the role of labour inspection in the labour
administration system and clarify and establish the basis of coordination
with other authorities and institutions. Knowledge and access to the social
security data i.e. could lead to a better and coherent inspection


Human resources

17. Labour inspectorates often suffer from lack of staff, whether suitably
qualified of not, especially in developing countries. Due to the unique
challenges each country faces there may be enormous variation between
nations in the numbers of human and financial resources allocated to

3
http://www.ilo.org/public/english/protection/safework/labinsp/luxconf_rep.pdf
4 labour inspection. Countries that have invested little in labour inspection
may not see much progress. Minimal resources make it very difficult for
labour inspectors to have any significant impact on working conditions.
Further information about this issue, with country data, is provided in an
4
ILO Governing Body paper .

18. In the worst case scenarios, inspector salaries are often low and there are
few incentives for promotion or rewards for performance. This increases
the risk of losing staff, especially those best qualified. Moreover, if
inspectors are poorly paid and if the system of government allows this,
there is also the risk of corruption. This is an issue of serious concern and
although sensitive should be addressed by the audits. The subject is dealt
with in the ILO publication (Code of Ethical behaviour), mentioned above.

19. Good training is also crucial for maintaining and developing staff
capacity. Special attention should be paid to emerging issues, such as
psychosocial risks and new technology, and to innovative approaches
including ways of reaching and influencing workers in the informal
economy. The audits should therefore consider training at length focusing
on prevention, not only on technical matters but on strategies for reaching
and influencing all parts of the working community, thus strengthening the
application of relevant employment legislation and policies.

Office and support services, transport facilities

20. Audits should also consider inspectors’ office facilities and administrative
support, both of which should enhance effectiveness and efficiency. This
applies to both central and regional/local offices, and means having
sufficient space for interviews and consultations, administrative support
and modern IT equipment with internet connections.

21. Inspectors should also have ready access to information and advice,
especially that relating to those subjects for which they are responsible.
Having modern IT equipment with internet access will help a great deal
here, but hard copies of information and advice will also be needed. For
some subject areas there are national centres of expertise to which
inspectors can refer. For example, there are national occupational safety
and health centres in many countries that provide useful information on a
wide range of safety and health topics. These are known as National or
Collaborating Centres and are linked up to the International Occupational
Safety and Health Information Centre, ILO, Geneva.


4 “Strategies and practice for labour inspection” GB, 297/ESP/3,paragraph 13 and the Appendix. See
www.ilo.org/wcmsp5/groups/public/---ed_norm/---
relconf/documents/meetingdocument/wcms_gb_297_esp_3_en.pdf
5 22. The availability of suitable transport for inspectors to pay visits is another
concern, especially in rural areas. Public transport is simply not available
or at best unreliable, and inspectors are not provided with official vehicles
or are not paid sufficiently well for them to afford to purchase their own.
Alternatively, they rely on employers to provide them with transport,
which is far from ideal. Such matters should be considered by the audits.

23. Resources should thus be devoted to strengthening the capacities of labour
inspection staff. There needs to be a real diagnosis of needs concerning
the number of inspectors, office and transport facilities and the provision
of adequate training.

Technical and legal issues

24. Even though ILO Conventions 81 and/or 129 may have been ratified by
the countries concerned, formal enforcement of labour legislation is often
weak or non-existent in some countries. Reasons for this can be several,
but often it is because the legislation that gives inspectors their legal status
and powers is outdated, weak, and/or restricts access to enterprises.

25. Alternatively, administrative and judicial procedures may make it difficult
for inspectors to apply legislation in full or to have full access to
enterprises. It may also be that a systemic reluctance to take enforcement
action has built up within the inspectorate over many years. Appeals
procedures may also be cumbersome, time consuming, and therefore of
little use.

26. There may also be poor dissemination of information about labour
regulations as a means of preventing labour conflicts and other problems.
National campaigns to disseminate such information could be a way
forward, with such activities being targeted at, for example, micro-
enterprises and small businesses and workers in the informal economy.

27. In many countries legislation is outdated with regard to technical and
industrial processes. Although audits may comment on OSH and offer
advice they will not seek to make recommendations on outdated
legislation. Technical inspection of plants is certainly necessary, but
inspectors sometimes need to adopt fresh approaches that focus on
prevention and occupational safety and health management systems.

28. The availability of data is another area of concern. For example, accident
and ill health data are vital to inspectorates when setting priorities and
planning inspection programmes or campaigns, but if such data are not
available, the planning (for prevention activities at least) will be all the
weaker. Data on conflicts, employment and collective labour relations are
also required for certain types of inspection. Legislation may therefore
need to be updated to ensure that employers report accidents and ill health,
6 which will then in turn help inspectorates set appropriate policies and plan
and execute their programmes professionally.

29. Audits should therefore consider all aspects of the national legal
framework for employment, as these not only set minimum compliance
standards for employers (and others), but provide the statutory basis on
which labour inspectors can carry out their work. Attention to this may
identify particular legal weaknesses, which will need to be rectified if
inspectorate performance is to be significantly improved.

Audits: a methodology

28. To address the issues described above, some form of sui generis
methodology is needed that relates international standards and expertise to
national situations, so that the organisation and performance of labour
inspectorates can be properly audited and evaluated. The methodology
described below is based on years of experience and is flexible, systemic and
adaptable to all national requirements and systems.

29. The approach is to use an analytical process that involves all social
partners and other organisations as appropriate, which can provide different
views on the effectiveness and the efficiency of the inspectorate and how its
organisation and functions could be adapted so as to improve overall
performance.

30. The audit should be carried out in six phases:

1. A formal request for an audit should be made to the ILO by the national
Ministry of Labour or equivalent, perhaps via the relevant ILO Regional
Office. This is an important first step since the Government needs to be
committed to undertaking the audit and having done so to acting upon
the audit recommendations.
2. A formal response from the ILO in consultation with the ILO’s
Regional Office and/or Sub-Regional Office (RO/SRO). ILO assistance
will be considered carefully since there are clear resource implications
and the request will have to be judged against various criteria, including
the need to provide assistance to several regions. Funding will clearly be
an issue, but this may be available from external sources. Whether or
not there is a Decent Work Country programme should also be taken
into account.
3. Preliminary discussions with the Ministry and its labour inspectorate
will include deciding the timing of the audit, the composition and size
of the audit team, who should be interviewed, topics to be addressed,
reporting arrangements, follow-up etc. ILO RO/SRO as well as HQ
staff are expected to be involved in these discussions.
7 4. The main audit may take up to 10 days depending on the complexity of
the inspectorate and its organization and functions, a matter that will be
decided during preliminary discussions. The audit team will be expected
to provide a brief report at the end of the audit.
5. The audit team should produce its formal report within 2-3 months, and
this should then be submitted and agreed with the Ministry and labour
inspectorate, as well as the social partners as far as possible. Ideally it
should not exceed 50 pages in length.
6. The Ministry and labour inspectorate should then follow up and act
upon the report.


The audit content

31. The audit should focus on those issues described above. The audit should
be concise and precise. The contents may vary but a suggested format is:

1. Background and presentation: raison d’être and origin of the audit
2. Summary and main findings and recommendations
3. Introduction
a. Environment and main national data
b. Legal and administrative framework, including which Labour
Inspection and other relevant ILO Conventions have been ratified
c. Labour inspection organization chart
d. Related ILO standards
4. Internal organization, staff and resources
a. National and territorial organization
b. Recruitment and qualifications of new inspectors
c. Competence and training (initial and mid-career)
d. Standards of ethical behaviour expected
e. Non-staff resources, office facilities, transport etc.
f. Inspectors’ legal status and powers
g. Working with social partners
h. Assistance and administrative support
i. Guidance and orientation

5. Planning inspection and related activities
a. National and local planning and priorities setting, eg whether priorities
are based on political requirements, objective data or otherwise
b. Techniques for inspection and investigation
8 c. Action with staff representatives
d. Reporting
e. Formal enforcement action, prosecution and other sanctions
f. Interventions with other stakeholders, eg. using the supply chain to
improve performance, approaches to manufacturers and suppliers to
improve ‘safety by design’,
g. Awareness-raising, educational and promotional activities, eg with
schools and training associations, use of the media, TV and radio,
h. Reaching vulnerable groups, including child workers, seasonal and
migrant workers, forced labourers and the informal economy in general,
i. Special inspection campaigns, eg on wages or illegal employment,
j. Reporting to other agencies

6. Thematic inspection/specific topics (with reference to relevant ILO
Conventions)
a. Occupational safety and health, including broader public health issues
such as HIV/AIDS, violence and workplace smoking, the existence of
national OSH profiles, systems and programmes (ILO Convention 187)
b. Labour relations, including measures to prevent discrimination or
harassment, employment contracts, disputes etc (ILO Convention 150),
c. Condition of work, working time and leave, remuneration and wages
d. Social security and compensation issues

7. Findings and recommendations
8. Annexes

Follow up

32. The audit is an initial fundamental step that should lead to the preparation of a
5
corresponding Action Plan. The Action Plan, in turn, serves as a basic guide
for the labour inspectorate in improving the quality of the services it provides,
institution-building, better policy implementation etc. It also serves as a guide
for complementary action through technical assistance projects and/or
horizontal cooperation agreements, which in turn assist implementation of the
Action Plan.

5 The formulation of an Action Plan is guided by a chart that contains the following elements: Requirements
(needs observed in the survey); National Actions (those that can be implemented by the national Administration
with its own means); and Actions in Cooperation (those requiring horizontal cooperation, technical assistance or
international cooperation).
9