Labour Inspection

STUDY UNIT

LEARNING OBJECTIVES
After having worked through this study unit, students are expected to:

• Appreciate the principles of labour administration
• Be knowledgeable on the framework of labour inspection

 

2.         PRINCIPLES OF LABOUR INSPECTION
2.1      The Mission of Labour Inspection
The primary mission of any system of labour inspection is to ensure compliance with labour law, that is the set of national regulations and standards designed to protect all workers while at work, and in modern systems also the self-employed and the general public, from any negative effects of work in progress. How best to ensure full compliance with the law is a matter of much discussion, and the more high-performance labour inspection systems the world  over have developed different approaches, usually in the form of comprehensive, coherent and consistent national enforcement policies, on how to achieve this mission.

After many years of experimentation, of trial and sometimes tragic error, all high-performance systems have also developed significant common features or principles, the two most important of which are prevention and integration. It is generally accepted that the best way of ensuring compliance is to prevent violations of labour protection regulations from occurring in the first place; and it is today widely accepted that the most effective and efficient way of organizing a prevention-focused labour inspection system is through an integrated inspection service.

Prevention means, first of all, a determined effort to reduce accidents and work-related diseases. But prevention in the context of modern labour inspection is more than merely avoiding hazards and incidents. The principles and methods of modern prevention strategies can be applied to all functional areas of labour inspection enforcement responsibilities: occupational safety and health; industrial relations; general conditions of work; illegal employment; unfair labour practices; complaints and disputes settlement; accident investigations; conflicts, etc.

Integration implies that all the above issues of labour inspections, insofar as they fall within the responsibility of the Labour Inspection Services, will be addressed in an enterprise on the occasion of a regular or routine inspection visit. This means that one inspector, suitably qualified and competent, will deal with all basic, non-complex labour protection and relations matters on such a visit. This approach is called a “one-stop-service”. It presupposes that the majority of inspectors are well trained “generalists”, that is officers who know something about everything, and that they are backed by a small number of “specialists”, that is experts who know everything about something, and who intervene, usually at the request of their generalist colleagues, in the more complex situations requiring their particular expertise.

Specialist expertise should be concentrated in those districts or regional offices where it is most needed, i.e., according t the structure and distribution of trades and industry sectors; and specialists, even if they are stationed in a given district, will have both a regional and a national competence to intervene.

2.2      Sources of Labour Inspection Authority
The authority of any Labour Inspection System derives from the national legal frame that reflects the provisions of the ILO Labour Inspection Convention, 1947 (No. 81) and the Labour Inspection (Agriculture) Convention, 1969 (No. 129). Convention No. 81, the basic international instrument on labour inspection targets the enforcement of laws relating to conditions of work and the protection of workers in industrial and commercial workplaces. Convention No. 129 applies to agricultural undertakings with salaried employees or apprentices, and, subject to declaration by the ratifying member of state, to tenants, sharecroppers, members of cooperatives or even family of the operator, thus in effect to what is known as the rural “informal sector”.

These standards provide an indispensible and universal framework for the status and functioning of labour inspection. As such they are a source of strength and authority within any country – for the inspection service, the inspectors and the client system they are to serve – and are a valuable tool in the context of equitable socio-economic development. Convention No. 81 has been ratified by over 130 ILO member states. It was designated some years ago by the ILO Governing Body to rank among the ten most important Conventions of the Organisation.

Article 3(a) of the convention lists the primary functions of any system of labour inspection as follows: “to secure the enforcement of the legal provisions relating to conditions of work and the protection of workers while engaged in their work, such as provisions related to hours, wages, safety, health and welfare, the employment of children and young persons, and other concerned matters, in so far as such provisions are enforceable by labour inspectors”. Once an ILO Member State has ratified this Convention, which most countries have done, it is obliged to implement it fully in national law and practice.

The ILO regularly monitors the application of Conventions. Member states must submit reports on the action they have taken to carry out their provisions. The ILO “Committee of Experts on the Application of Conventions and Recommendations” reviews these reports, together with information on the country’s legislation, and in particular, also any comments by employers’ and workers’ organisations (who have the constitutional right to communicate directly wit the Organisation). The Committee may then take a series of progressively forceful actions to ensure the Conventions’ full application in the national law and practice. If a country persists in not observing any or all provisions of a Convention it has ratified, the contyr’s employers, workers or even another government can have the matter re-examined. In severe cases of non-compliance, a country can face suspension from the ILO, and possibly form the wider international community. Such procedures, and the involvement of employers and workers along with governments in the supervisory system, give ILO standards a unique strength and authority.

However, the barriers to effective compliance with international standards can be many, including political, legal, economic, structural and cultural, and they can appear at any level – from national to local. It is helpful to frankly address these constraints and take them into account when building an improved labour inspection system.  

 

2.3      Basic Principles of Inspection

1.  Functions of Labour Inspectors

Labour inspectors are part of the government administrative system, and their essential purpose is to ensure compliance with all labour protection standards, as well as develop labour relations in an orderly and constructive way.

Labour Inspectors:

•  Enforce the labour laws, related regulations, and applicable national standards;
• Advise employers and workers on how best to comply with the legal framework;
• Report to superiors on problems and defects not covered by regulations;
• and may if national law so provides, also enforce or monitor collective agreements.

In many countries, inspectors perform additional functions, including:

• promoting harmonious relations and social dialogue between employers and workers;
• investigating complaints, and conciliating in disputes between employers and workers; and
• dealing with certain social insurance matters, in particular relating to workers’ compensation.

2. Ensuring compliance with labour law

Inspectors must enforce laws concerning:

• Terms and conditions of employment, including wages, hours, leave and overtime payment;
• Workplace safety, health and hygiene;
• The employment of children, young persons, and women; and
• anti-discrimination legislation.

The scope of their enforcement powers may differ according to national circumstances. Certain categories of workers are sometimes excluded from the scope of the law, such as: domestic workers, farm workers, migrants, casual workers, seasonal workers, the self-employed, etc. These so called “vulnerable groups” are very often more in need of labour prorection than workers in regular establishments with regular employment contracts. Efforts should therefore be made to extend labour inspection services to all workplaces and all workers and employers.

c. Informing and advising on the law
Inspectors’ duties of information and advice to employers and workers include:

• explaining what the law says;
• indicating whether legal requirements in an establishment are met or not; and
• explaining what needs to be done to comply fully with the law.

In giving advice and information inspectors concentrate on what is required to be done according the regulations and standards in force, rather than how to do it technically. Inna dvising on how to comply with the law, inspectors have to take decisions to the best of their judgement.
Example:  a) How much time should the inspector allow the employer to make back payments where wages have been underpaid? b) How much time should the inspector allow the employer to install an exhaust system to eliminate serious dust exposure problem?

d. Problems not covered by the law
In the course of their duties inspectors may come across problems not covered by existing laws and regulations and which create obvious social injustice. These should be identified, described and explained, and reported to senior labour inspection staff at headquarters. Problems encountered but not covered by the law would normally be included in the inspection visit report. Reported defects can be used as a basis for amending  the law. Inspectors have an important, ongoing role in improving social and labour protection standards.
e. Obligations of inspectors
Giving powers to inspectors does not mean they can do whatever they can do whatever they wish. Their powers must be moderated by a set of binding obligations. Inspectors must:

• notify employers of their presence when on inspection visits. (this does not mean that inspectors must give advance notice of all visits);
• show their labour inspection identity badge or card to employers;
• undertake not to reveal any secret processes and information which may harm employers’ competitive position or other business interests;
• keep confidential the source of any complaints against employers, and neither directly nor indirectly reveal the identity of the complainant;
• submit individual inspection reports, and periodic activity reports to superiors;
• be independent, impartial, and unbiased, whilst showing authority;
• have no direct or indirect interest in the enterprises under their supervision; and
• refrain from any unethical or corrupt behaviour

 

2.4      Policy Issues
Labour inspectorates must consider and constantly develop a range of policy issues. These include:

• industrial relations and employment issues
• occupational safety, hygiene, health and welfare issues
• new approaches to inspection
• productivity of the labour inspectorate
• technological developments
• vulnerable or marginal groups
• involvement of NGOs

(Toolkit for labour inspectors: pg 28-38)

 

SELF-EVALUATION QUESTIONS:

Q1.      Discuss the mission of labour inspections.
Q2.      Outline the basic principles of inspections.

 

 

 

 

STUDY UNIT

LEARNING OBJECTIVES
After having worked through this study unit, students are expected to:

• Understand the basic principles of inspection

 

3.         PRACTICE OF LABOUR INSPECTIONS
3.1      Enforcement
Laws to protect workers’ conditions of employment and working environment are meaningless if the legal provisions are not respected and enforced. There can be no good labour legislation without good labour inspection.

Labour law enforcement, that is ensuring compliance with rules and regulations, is the primary responsibility of labour inspectors. However, they frequently lack the resources to perform their duties to an acceptable standard. But despite a lack of resources of all kinds, inspectorates and individual inspectors can improve their performance by making better use of existing resources. This requires that inspection work is carefully planned to ensure that enterprises “at risk” receive priority attention, and those where non-compliance is rare are given lower priority.

In addition to this careful planning of inspection work, particularly the arrangements for unannounced routine inspection visits, the conduct of each inspection visit is very important.

• Proper preparation is required for each visit
• The visit should follow a set standard procedure
• Follow-up activities should be provided for, particularly submission of inspection reports and check-ups.

A properly conducted inspection visit can have impact beyond the immediate concern of law enforcement and compliance. Inspectors play a frontline role in the work of Ministry of labour. Through general observation and questioning they can identify problem areas which might lead to industrial conflicts and disputes, as well as potential hazards which might cause workplace accidents. Thus well-executed inspection visits can play an important preventive role in the wider area of labour-management relations.

Routine inspection can also encourage workers and their organisations, and management to take greater responsibility for matters that were traditionally handled by labour inspectors. The more inspectors can rely on workers and management to take responsibility fro their rights and obligations under the law, the more time they can devote to enterprises where this type of responsibility is lacking.

Inspectors must make every effort to involve union representatives and senior management representatives in each inspection visit.

There is an increasing trend to set quantitative standards for inspectors, often in the form of a set number of inspection visits to be completed each month. This is to be encouraged, to improve the inspectorate’s productivity, but care should be taken not to increase the number of inspections at the expense of quality.

3.2      Planning Inspections
a.         the importance of planning
Labour inspectorates work should be properly planned if policy objectives and obligations under the labour laws are to be met. Policy directives, to be effective, have to be translated into action plans. Law enforcement should be systematically planned if the best use is to be made of the scarce resources available to inspectorates.

Planning should not be seen as something that might be done if time allows. Planning is of fundamental importance if inspectorates are to improve their overall performance.

1. What is planning?

Planning means preparing for the future. It involves preparing for action at some given point in time the next day, next week, next month, next year. Planning is the opposite if chaos and crisis. It attempts to transform chaos into order and reduce uncertainty to a more manageable level. Planning requires considering priorities. Planning is a tool to transform the possible into reality. Resources are scarce – through good planning it is possible to establish priorities for their most effective use. What is important is that everyone has to plan: senior management at headquarters, heads of field offices, individual inspectors. Of course, this process has to be well coordinated.

2. The planning process

Planning involves:

• Taking stock of the existing situation
• Establishing a broad vision of the future
• Setting objectives for achieving that vision
• Fixing targets reflecting the results to be achieved
• Setting standards indicating the quality of outputs to be achieved
• Relating objectives and targets to a definite time-frame
• Comparing expected costs and benefits before implementing the plan
• Considering monitoring arrangements when implementing the plan
• Considering the evaluation arrangements required at the end of each plan period

Planning requires action strategies to ensure that objectives, targets, and standards are achieved. When making plans it is crucial that all concerned are clear about their responsibilities, the performance standards to be met, the target indicators, and the time frame.

3. Action planning

Action planning involves deciding who will do what and when. It is likely to be of most concern to labour inspection headquarters staff (for national and sectoral plans), and to field office managers or their deputies (district or local plans).

Before inspectorates prepare detailed action plans, the following questions must be addressed:

• What is the leagal definition of an enterprise?
• How many enterprises are liable to inspection under that definition?
• Is it necessary to inspect all enterprises legally liable to inspection visits?
• Should a distinction be made between large and small enterprises (SMEs)?
• Which sectors should be given priority?

Once these issues have been determined, it is possible to develop a detailed work programme for each inspectorate (national, district and local levels) and each individual inspector.

Example:
Objective:                   to inspect all joint-venture enterprises, twice during the next year (totalling 1250)
Inspectors:                50
Number of visits required: 1250 x 2 times a year or about five per month 
If inspectors work in teams (of two) each team will conduct 100 visits a year, and each labour inspector will undertake approximately ten visits a month (for ten moths usually available).

 

3.3      Preparing for the Inspection visit
a.        collecting background information
Once inspection priorities have been established, action plans formulated, and detailed work programmes agreed, it is possible to prepare to conduct the inspection visit itself. Inspectors must check files and records on the enterprise to be inspected concerning:

• Location of the enterprise and the name of the contact person
• Total number of workers, number of women workers, young workers, apprentices, and foreign workers, skills levels, etc
• Nature of work process and its final products and services
• Raw materials and equipment used, particularly if chemicals are involved
• Previous violations of the law and the action taken.
• Employers general attitude to the inspectorate (hostile, indifferente, cooperative)
• Work accidents and diseases over the last five years and in particular fatalities
• Complaint letters from workers against management and the action taken to address complaints
• Existence of a trade union in the enterprise, and whether there is a collective agreement between the union and management

b.        Types of inspection visit
The background information to be collected for each inspection visit will depend on the type of inspection. There are normally there types of inspection visits:

• Routine visit
• Follow-up visit
• Special visit

Routine (or regular or standard) inspection visits are concerned with checking compliance with the law and advising enterprises on how to comply legal provisions. Such visits usually cover the full range of matters covered by the mandate of the inspectorate.

Example: As the inspectorate is responsible for safety and health and the working environment, the vist will include checking of machinery safety, materials handling, chemicals and hazardous substances, electrical installations and wiring, scaffolding on construction sites, safety of ladders, equipment operation, fire safety and general housekeeping.

Most routine visits will not require follow-up by a return visist of an inspector. But some will, particularly where the inspector has given a deadline for rectifying problems or shortcomings, or issued a warning letter, an improvement notice, or stop order.

Follow-up visits are undertaken to determine the extent to which the enterprise has responded to the outcome of an earlier routine visist. Inspectors have a dgree of discretionary power, not for the content of the law they are required to enforce, but for the time given to enterprises to address the shortcomings.

Special visits may be in response to, or investigation of a specific complaint froma worker in an enterprise. They may concern a particular problem relating to the inspectrate’s priorities (fire safety, illegal employment, asbestos, ete), or may involve investigating a particular problem, for example a serious work accident. Such visits relate to a specific issue and to collecting information to assist in decision making on that issue.

c.         Preparing materials
The inspector should put together the materials and items required for conducting the inspection efficiently. These include:

• The inspection service instructions or similar documents setting out inspection procedures
• The labour laws and related regulations
• An official identification card verifying the inspectors credentials
• A copy of any collective agreement (sector or enterprise) between management and the relevant trade union
• The prescribed inspection forms
• Inspection checklists to assist in dealing with certain issues such as basic OSH, and for collecting information
• If possible the factory floor plan(especially for very large enterprises)
• Ant available promotional material for awareness raising and educational purposes

Information is an important resource, just as staff, vehicles, and finance are resources. Without a proper records management system inspectors will be wasting valuable time in collecting information from various sources and locations, and in subsequently processing it.

4. Confirming the visit

It is necessary to decide whether a visit will be announced, thus by appointment, or unannounced, thus by surprise. Should a routine visit be announced or unannounced? The decision should be based on the type of intervention most likely to improve workplace protection.

The main advantages of an announced visit are that it gives the enterprise time to:

• Get together relevant information
• Alert managers and workers to the timing of the visit
• Arrange meetings to facilitate the inspectors visist.

It also gives greater assurance that senior management will be present. In the final analysis they have the responsibility for compliance; they have to “get it right” on a sustainable  basis, even when the inspector is not there.

The main disadvantages of an announced visit are that it provides the enterprise with an opportunity for:

• window dressing e.g borrowing safety equipment like fire extinguishers from other enterprises
• senior management to be deliberately absent
• documents to be missing

The unannounced visit enables the inspector to observe actual and true conditions in the enterprise.

 

5. Mobility

As part of the preparation for an inspection visit it is necessary to ensure that transport is available at the required time. It is preferable for the inspectorate to have its own transport, but this is not always the case.

Sometimes the inspector contacts the enterprise to provide transport from the office to the workplace. This practice is to be avoided as it gives the impression that the inspector relies on the employer and the inspectors impartiality might be seen to be compromised, particularly by workers in the enterprise concerned.

 

3.4      Conducting the Inspection
The inspection visit involves three main phases:

• Preliminary contacts and formalities
• The shop-floor inspection itself
• A closing meeting with management

(Toolkit for labour inspectors pg 46-54)

 

           

 

 

SELF-EVALUATION QUESTION:

Q1.      Outline how an inspector would ideally prepare for an inspection.
Q2.      Give advantages and disadvantages of announcing an inspection visit to:

• A large multinational company
• Small factory