Effective implementation of the risk analysis obligation

The compliance risk analysis in the area of corruption prevention serves to identify work areas that are particularly at risk of corruption. It forms the basis for prevention work and is decisive for the "whether" and "how" of the compliance measures to be taken. A corresponding risk analysis must be carried out regularly (every four to five years) in accordance with the relevant standards. The obligation to determine the areas of work at risk of corruption and those particularly at risk of corruption is the responsibility of the management in accordance with the anti-corruption laws (KorruptionsbG) of the federal states. This duty can be delegated.

The external implementation of the corruption risk assessment/risk analysis by ROSTALSKI Wirtschaftsstrafrecht und Compliance saves resources in the administration. It is often uneconomical to build up and maintain the expertise required to carry out the complex survey and evaluation procedure for compliance risk analysis in the area of anti-corruption within the organization itself.

Dr. Tony Rostalski has extensive experience and expertise in conducting risk analyses in the field of public administration. In addition to his consultancy work, Dr. Rostalski is a lecturer in the field of risk analysis at the Kommunales Bildungswerk, the TÜV Rheinland Akademie and the DeutscheAnwaltAkademie, among others.

Procedure for a corruption risk assessment/risk analysis

The legal hotline service includes:

Section A: "Sighting/preparation"

✓ Preparation and project planning,

✓ Coordination with those responsible,

✓ Creation of checklists of required documents, collection and evaluation of preparatory work (evaluation of data from previous risk analysis(es) etc., identification of the authority's workplaces/positions),

✓ Inspection and receipt, if necessary subsequent request of necessary documents or information,

✓ Adaptation and coordination of the content of the questions as part of the data collection with the client.

Section B: Determining the risk level of the authority's organizational units 

✓ Determine/if necessary, query the tasks and objective job characteristics of the authority's organizational units,

Plausibility check of the results using other sources (business allocation plan, organizational plan, budget plan, management powers, etc.),

✓ Preliminary audit (exclusion of areas with preparatory and downstream administrative activities that are not regularly at risk of corruption),

✓ Risk assessment of the work areas based on the data collected,

✓ Consultation and discussion with organizational units as required, especially in the event of queries.

Section C: Post/function-related review of selected organizational units in the event of indications of a particular risk of corruption or a so-called "particularly systematic risk of corruption"

✓ Request a self-assessment based on predefined questions and criteria on the risk potential,

✓ Plausibility check of the results,

✓ Consultation and discussion with organizational units as required, especially in the event of queries.

Section D: Consolidation of information and final determination of the degree of risk of corruption for all organizational units of the authority

✓ Final assessment of the risk of corruption,

✓ Draft factual report on the identification of work areas at risk of corruption and particularly at risk of corruption

✓ Presentation of the result,

✓ Communication of the result to the audited organizational units with notification of the respective degree of risk of corruption,

✓ Consultation and discussion with the client, organizational units or Internal Audit as required, especially in the event of queries

Section E: Analysis of the status of corruption prevention in organizational units with a particular risk of corruption or with a particularly systematic risk of corruption

✓ Investigate/ask employees of organizational units with a particular risk of corruption or with a particularly systematic risk of corruption to what extent the necessary organizational and personnel corruption prevention measures have already been taken there,

✓ Plausibility check of the results,

✓ Consultation and discussion with organizational units as required, especially in the event of queries,

✓ Supplementing the results in the factual report and final documentation of the results ("risk atlas"),

✓ Presentation of the results.

Costs

The services are offered at a fixed price depending on the size of the organizational unit.