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8 Best Practices for Performing Regulatory Inspections

best practices for regulatory inspections

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Regulatory inspection is important for the safety, performance, and quality at the workplace. A safety inspector determines the viability of the operations and activities at the workplace. The regulatory inspection team has the responsibility to ensure the laws, regulations, and rules are being followed.

The regulatory inspector can ask questions, take photographs, and review the procedures on the working sites without disrupting the operations. It is the responsibility of the workers and operators to respect and cooperate with the inspection team.

Inspection is a challenging task and one that has great implication for a business. Here are 8 of the best practices for performing an efficient regulatory inspection.

1. Set The Mandate of The Inspection

An inspection team receives their instructions from the head of the department or leader of that particular project. These instructions are known as the inspection mandate.

In order to conduct a viable regulatory inspection, the inspection mandate plays a crucial rule. It helps the inspectors do an inspection within specific limits and ensures that the inspectors understand what they should be looking for. Inspection mandates should be associated with appropriate government regulations where possible.

2. Supply Competent Inspectors

There is great competition in the field of inspection among the inspectors. A good regulatory inspector possesses some key traits which make him a competent inspector. Some of these include:

  • Communication skills,
  • Analysis skills, and
  • Regulatory knowledge.

The goal of a regulatory inspection is to ensure that regulations are followed. This is only possible if the regulatory inspectors have knowledge of regulations. This knowledge needs to be more than just rote learning. It is important that inspectors understand the implications of what they inspecting and how each step of the process impacts others.

3. Set the goals of the inspection

Goals and objectives play a crucial role in getting the desired results out of a regulatory inspection. The regulatory inspectors must have these goals in mind prior to visiting the workplace. These goals should define how and what to look for, but they must not bias the inspector.

Inspectors have to perform their job without interrupting business operations and if they have the set goal in their mind then their job will be easier. The major goal of any inspection is to provide information about the operation at the workplace and how it correlates to regulations.

4. Carry out inspection using transparent procedures

Transparency is the strength of a regulatory inspection. The requirements of the inspection must be transparent and the guidelines must be clear. Guidelines should be provided so that two different inspectors using the same procedure would come to the same conclusion.

Transparent procedures help guide the operators and inspectors. The aim of every inspection must be to implement an effective and efficient procedure for getting viable results and outcomes. Transparency is also useful when inspections get audited. By providing clear guidelines that are simple to follow, it is easy to localize any gaps.

5. Explain what was found and next steps

The explanation of the findings from an inspection is an important part of a good regulatory inspection.

The gathered evidence or data must be analyzed by the inspectors to obtain results. The problems at a workplace must be highlighted to propose the improvements needed.

After gathering the information and highlighting the key points, an inspector might need to present his findings. Where possible the recommendations proposed should follow a SMART goal format.

  • Specific – details on problems discovered along with steps to correct the issue.
  • Measurable – information on how the failure was discovered along with what the gap is.
  • Actions – to be taken to resolve the situation and rectify the underlying issue.
  • Realistic – steps, that can be taken understanding budgetary and resource constraints.
  • Timely – realistic timelines to solve the problems discovered should be discussed where possible.

Without appropriate plans to resolve faults discovered, an inspection is only half done.

6. Finalize results of the inspection

After highlighting the key issues and problems at a workplace, and preparing the recommendations, the inspector needs to finalize the results.

This normally takes the the form of a report. This report or presentation which includes key findings and recommendations should be available to all interested parties. The paperwork is really important during an inspection for improving the performance and ensuring regulations at the workplace. The presentation and demonstration of the findings from a regulatory inspection have huge importance.

7. Follow-up inspections to ensure that major problems are corrected

The follow-up inspections are as important as the actual inspections. Follow up inspections are focused on determining whether or not issues identified in earlier inspections are resolved.

If the problems and issues have been corrected then the follow up  inspection is considered successful. If the issues are still present then a subsequent inspection will be required. In some cases penalties can be assigned to the individual, department or company for failure to correct issues identified. These penalties can range in scope and severity but could force businesses to close if the failure impacts health and safety regulations.

8. Monitor results of inspections

The inspection does not end with the findings only. There is a clear need for monitoring the work on the recommendations made by the inspectors after their inspection. It is a long-term process and the monitoring must be scheduled on a daily, weekly, or monthly basis.

If you see improvements then you have achieved the goals of an inspection. There must be measurement tools for monitoring the results of an inspection.

Asian engineer controlling construction machinery of construction site or mining company


Regulatory inspection is an important field which deals with the assurance of rules, regulations, and laws on a workplace. There are some important practices which help to conduct a viable regulatory inspection.

Regulatory inspectors must have the knowledge about the rules and regulations of a working place. The awareness, knowledge, and mentality of the inspectors matter a lot in achieving the successful inspections.

Monitoring the findings of inspection is an important aspect of regulatory inspections. The goals and guidelines of an inspection must be transparent for achieving effective results. The mandate of the inspection must be set for staying away from any inconvenience at the workplace. Successful regulatory inspections only happen when all of these processes are established and in place.

Field Eagle Inspection Management Software digitizes the inspection process, ensuring that regulatory inspections are efficient and up to code. With built in compliance features, inspection management software such as Field Eagle is an ideal choice for any industry where regulatory compliance must be followed. Reporting time is reduced from hours to seconds with increased accuracy and detail. Field Eagle is the centralized place for all your inspection data and reports, available anytime and anywhere. With Field Eagle put down your paper and pen, and pick up a tablet!

To learn more about Field Eagle, schedule a free personalized demo today!

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