Carrying out a risk management process for integrity is a complex job for public institutions. For this reason, the Anti-Fraud Office make available to public managers the management instruments to facilitate this process, and to accompany and guide them in this preventive task. In this section you can find guidelines, models and recommendations, among others.
Tools 1, 2 and 3. Tables for the identification of risks
Identification is the first step of a comprehensive risk management and aims to search, describe, categorize, as well as prioritize the set of risks that the institution will have to manage.
Tools 1, 2 and 3, extracted from Working Documents no. 3, collect the 12 risk areas common to all contracting entities, ordered according to the phases of the contracting procedure, as well as a list of some of the potential associated risks.
They are intended as a starting point for institutions that want to start reviewing their main risk areas.
MT01: Identification of risks in the preparation phase (in Spanish)
MT02: Identification of risks in the tender phase (in Spanish)
MT03: Identification of risks in the execution phase (in Spanish)
Tool 4. Table model to facilitate risk analysis
The template presented below aims to guide the risk analysis and facilitate:
- complete visualization of the factors and the effects of the risks
- the assessment of the incidence of each factor and the preventive measures for each one
- the evaluation of the probability and the seriousness of its consequences and the contingent measures.
MT04: Table model to facilitate risk analysis (in Spanish)
Tool 5. Risk factors for integrity in the contracting of a procuring entity
Acting directly on the factors that generate, increase or perpetuate the risks to reduce the probability is the only effective way of prevention. In this sense, it is crucial that the analysis of risk factors be exhaustive and that it includes all those that may affect the materialization of the risk.
Given the complexity of this analytical process, and with the will to facilitate this task to public institutions, we provide you with a scheme that classifies the various types of factors that can affect the identified risks. This classification is explained and exemplified in Working Documents no. 4 (in Spanish).
MT05: Risk factors for integrity in the contracting of a procuring entity (in Spanish)
Tool 6. How to differentiate prevention and contingency
Minimize the likelihood that risks will materialize or reduce the severity of their consequences: two different objectives that require different measures.
The following table summarizes the keys to differentiate the preventive and contingent management of risks and to ensure the incorporation of both types of measures in any integrity plan in public procurement.
MT06: How to differentiate prevention and contingency (in Spanish)
Tool 7. Normative factors by risk areas
The risks of irregularities, fraud and corruption in public procurement are multifactorial. Often the stimuli or opportunities for these risks do not come from the public entities but from external circumstances or elements: conjunctural or systemic factors. Among these external risk factors, those of a normative nature have a very relevant role.
The following table identifies the areas of risk and the associated regulatory factors in the preparation, bidding and execution phases of public procurement.
MT07: Normative factors by risk areas (in Spanish)
Tool 8. The process of normalizing corruption
The following graph reflects the interaction between the processes and elements that are key to understanding how corruption is normalized in organizations.
IG08: The process of normalizing corruption (in Spanish)
Tool 9. Common rationalizations for corruption
The following table summarizes some of the most common rationalizations, with a brief explanation of each one as well as examples of expressions that illustrate the narrative frequently used in organizations.
IG09: Common rationalizations for corruption (in Spanish)
Tool 10. Build indicators to evaluate the degree of commitment to promoting integrity
The following table includes questions and indications for the construction of indicators that evaluate the ethical will and commitment of an organization's leadership.
IG10: Build indicators to evaluate the degree of commitment to promoting integrity (in Spanish)
Tool 11. Synthesis of the factors that enhance and perpetuate risks to integrity
The following table summarizes the institutional factors that enhance or perpetuate integrity risks within organizations. These factors are classified according to their relationship with the key elements of the processes of normalization of irregular, fraudulent and corrupt practices.
IG11: Synthesis of the factors that enhance and perpetuate risks to integrity (in Spanish)
Tool 12. Some signs that your organization is favoring unethical behavior
Below are examples of some indicative signs that an organization is favoring unethical behavior that should be evaluated, identifying some of the formal or informal elements of its integrity system that should be worked on.
IG12: Some signs that your organization is favoring unethical behavior (in Spanish)
Glossary of Integrity Risks in Public Procurement
This document includes the basic terminology for managing the risks inherent in public procurement.
Glossary of Integrity Risks in Public Procurement (in Catalan)
