Tools

Carrying out a risk management process for integrity is a complex job for public institutions. For this reason, the Anti-Fraud Office has wanted to make available to public managers the first 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. The lists of potential risks are not exhaustive, but they cover the most frequent at all key moments in the life of public contracts, as well as others that, although not usual, if they occur, would have very serious consequences.

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:

  1. complete visualization of the factors and the effects of the risks
  2. the assessment of the incidence of each factor and the preventive measures for each one
  3. 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)

Tools published by other institutions