• Corruption is the abuse
  • of a public office, a function in the economy or a political mandate
     
  • to gain an advantage for oneself or a third party
     
  • which causes damage or disadvantage to the general public, a public authority or a commercial enterprise.

               (Suggested definition from the Baden-Württemberg office of criminal investigation)

• Corruption may start even with small favors.
   
• Corruption is not a trivial offense; it is criminal conduct!

The term "corruption" does not have a binding definition. In order to prevent corruption, the legislative authority has enacted a number of rules on criminal matters that are generally referred to as corruption. These include, in particular, bribery offenses such as accepting benefits, corruptibility, granting benefits, bribery (§§ 331 ff StGB) and concomitant offenses such as fraud (§ 263 StGB), embezzlement (§ 266 StGB), forgery (§ 267 StGB) (for further offenses, see Ziff. 2 VwV Korruptionsverhütung und -bekämpfung). In summary, corruption includes conduct by which employees, on the basis of their position and the powers delegated to them, obtain private benefits or economic advantages for themselves or third parties to which they are not entitled.

Corruption may occur in any (administrative) area at any level. Areas that award contracts, conclude agreements, approve subsidies and decide on approvals, administrative acts, prohibitions or bans in direct contact with citizens or companies are considered to be particularly at risk of corruption.

The University is subject to a large number of service, organizational, budgetary and cash regulations aimed at hindering corruption and which must be strictly adhered to. These relate, for example, to
•    the acceptance of rewards, gifts or other benefits,
•    sponsoring,
•    acceptance and use of third-party funds,
•    additional paid work,
•    budgeting,
•    awarding procedures,
•    confidentiality and data protection

(for a non-exhaustive list of the most important regulations, see Anlage 1 der VWV Korruptionsverhütung und -bekämpfung).

Compliance with the following principles and measures helps to safeguard our own actions and protect against corruption:

Knowledge of and compliance with all relevant regulations

When they are hired, all employees undertake to uphold the Basic Law of the Federal Republic of Germany, the state constitution and the applicable laws, and to perform their duties conscientiously. Supervisors must ensure that the applicable regulations are known and observed in all official and business decisions and actions. This also applies to the anti-corruption regulations in accordance with Anlage 1 der VWV Korruptionsverhütung und -bekämpfung.

Two/ multiple person principle

The two or multiple person principle means that two or more people are involved in a decision or activity. In areas particularly at risk of corruption, the two/ multiple person principle must be observed.

Avoiding conflicts of interest

Processes that could lead to conflicts of interest and open up the possibility of abuse must be strictly separated.

Transparency

Transparency requires processes to be documented in writing and decisions to be justified and recorded in a comprehensible manner.

Allowances received by an employee of the University in the course of his/her duties must be disclosed. This applies in particular to benefits that must be reported to superiors and to the University administration or submitted for approval (e.g., Notification of third-party funding, obtaining permission for secondary employment, consent to acceptance of gifts).

Management

Control mechanisms (e.g. resubmissions, random checks) are an indispensable part of management responsibility.

Rotation

In areas where there is a particular risk of corruption, the time period should be limited. If this is not possible, attention should be paid to preventative mechanisms (e.g. the two/ multiple person principle).

Bear in mind that you - as a “Beamte” civil servant or state employee bound by the public service obligations act (Verpflichtungsgesetz) - are a public official and are thus held to a higher standard of behavior than employees in the private sector. When you signed up to your current position in the public sector, you were explicitly informed of what constitutes a corruption offence.

With your behavior, show that you neither tolerate nor support corruption.

Corrupt actions deserve neither solidarity nor collegiality. In your own interest, be careful. Reject attempts at corruption immediately and inform your superior without delay.

Keep your work and private life separate!

Make sure that you consistently keep your work and private life separate. Always check critically whether personal relationships (interests) could potentially conflict with your work-related activities.

Create transparency!

If you suspect that someone is seeking to ask you for preferential treatment in breach of your duties, consult a colleague. If an attempt is made to exert undue influence, inform your superior immediately.

Document all official decisions carefully and archive all documents that were relevant to your decision. In your own interest, attach importance to the correctness and transparency of your decisions. Comply strictly with the law and observe the regulations on accepting benefits and secondary employment. Bear in mind that by accepting minor favors you may make yourself vulnerable to blackmail or allow your decisions to be influenced.

Dealing with bias

In everyday working life, there may be frequent contact and overlaps between work and private life. In order to avoid a conflict between your professional and private duties, you should leave no doubt as to your objectivity. When assessing possible bias, you should always be guided by the question of how objectively you can make a decision, even a negative one, without feeling that you are not doing justice to one side or the other. A decision on bias may also be influenced by friendship, gratitude, enmity, rivalry, etc. If in doubt, inform your superiors.

Discretion

Despite the need for transparency, there is an obligation to maintain confidentiality about certain information. University employees swear themselves to secrecy and data protection in their oath of office or when they are hired. Do not pass on any information or documents from which external parties could benefit or which are confidential.

Principle: Prohibition of accepting gifts

Under § 42 Abs. 1 S. 1, 2 Beamtenstatusgesetz (BeamtStG), “Beamte” civil servants may not accept any rewards, gifts or other benefits for themselves or a third party in relation to their office; exceptions require the consent of their employer. Details are regulated in no. 32 of the law regulating the implementation of civil service regulations, Verwaltungsvorschrift des Innenministeriums zur Durchführung beamtenrechtlicher Vorschriften (BeamtVwV). The same applies to state employees in accordance with the collective agreement for the public sector (§ 3 TV-L). These regulations also apply, for example, to the acceptance of academic awards that are endowed with prize money for personal use.

Permissible benefits

The benefits listed in section 32.6 BeamtVwV (including mass promotional items such as calendars, pens of a simple type; birthday gifts from the circle of employees to the usual extent; customary, appropriate hospitality, for example at meetings) may nevertheless be accepted without further ado; consent is generally deemed to have been granted.

Notifiable benefits

As a rule, benefits up to a value limit of 35 euros per calendar year only need to be reported. The value limit of 35 euros applies per person receiving a gift and for each donor. Exception: The acceptance of gifts from individual students is not permitted without separate approval. The notification is made informally in accordance with the requirements of the Ministry to a responsible office, in our case: compliancespam prevention@uni-tuebingen.de

Benefits requiring approval

The following applies if the value limit of 35 euros is exceeded or in the case of gifts from individual students: If you, as an employee of the University of Tübingen, are offered a gratuity, you are obliged to get permission from the responsible office - in advance if possible - to accept the gratuity.

The responsible office is the University President for

• academic staff with civil servant (Beamte) status
•  other members of staff (academic, administrative) with civil servant (Beamte) status, and
•  Professors employed on a contract with a University body

the Executive Vice-President/ Kanzler for

• assistant professors employed on a contract with a University body,
• lecturers employed on a contract with a University body,
• other academic or
• administrative staff employed on a contract with a University body.

You are welcome to send your application by e-mail to compliancespam prevention@uni-tuebingen.de.

Benefits for your own use

Civil servants with “Beamte” status may not accept any rewards, gifts or other benefits for themselves or a third party in relation to their office in accordance with § 42 (1) sentences 1, 2 BeamtStG; exceptions require the consent of their employer. The same applies to state employees in accordance with the collective agreement for the public sector (§ 3 TV-L).

Consent is therefore also required for the acceptance of an academic award that is endowed with prize money intended for personal use or with other benefits intended for personal use above the value limit of 35 euros exeeded.

If you are awarded such a science prize as an employee of the University of Tübingen, you are obliged to obtain prior approval from the responsible office before accepting the prize money or other benefits associated with the prize.
You are welcome to send your application by e-mail to compliancespam prevention@uni-tuebingen.de. The application must be accompanied by information and supporting documents relating to the following questions:
- Which organization is awarding the prize?
- What are its aims, who are its members?
- Could the organization or one of its members benefit from the prizewinner's performance in office?
- Where does the prize money and any other benefits come from?
- Is the prize awarded in a fair and transparent procedure?
- Is the selection made by a neutral and expert jury?
 - Is the selection decision based on purely scientific criteria?

For further information please refer to the circular Rundschreiben "Annahme von Zuwendungen - Umgang mit Wissenschaftspreisen" of November 18, 2022 (University login required).

Benefits for official use

Benefits from public (except University of Tübingen) or private sources for purposes within the scope of official duties, in particular for research and teaching tasks, are subject to third-party funding regulations (s. download area Dez.VII)

For further information, please refer to the above-mentioned circular and the guidelines Drittmittel-Leitfaden provided by the University administration (University login required).

Benefits for official use

Benefits from public (except University of Tübingen) or private sources for purposes within the scope of official duties, in particular for research and teaching tasks, are subject to third-party funding regulations (s. download area Dez.VII)

For further information, please refer to the above-mentioned circular and the guidelines Drittmittel-Leitfaden provided by the University administration (University login required).

An indication of corruption may be something you observe; it may be a socially neutral or an alarm signal. Possible indicators are listed in no. 4.1.1 (2) and (3) VwV Korruptionsverhütung und -bekämpfung. Each case requires a comprehensive assessment.

Avoid jumping to conclusions or pre-judgements. However, show the courage to speak to your superior about what you have noticed.

In principle, all employees are obliged to immediately report to their superior any signs which, under no. 4.1.1 VwV Korruptionsverhütung und -bekämpfung may be a clear indication of corruption (s. no. 4.1.3. VwV Korruptionsverhütung und -bekämpfung).

In principle, all employees must inform their superiors immediately if they receive verifiable indications of corrupt behavior (no. 4.1.3 VwV Korruptionsverhütung und -bekämpfung). It is the responsibility of superiors to assess whether the signs indicate corruption.
Circumstances that give rise to the suspicion that superiors or supervisors are involved in criminal acts may be reported directly to their superior, any superior office or the designated office in the Ministry of Science, Research and the Arts, without the need to go through the regular official channels. The notification will be treated confidentially upon request, insofar as this is legally possible. (no. 4.1.3 (2) VwV Korruptionsverhütung und -bekämpfung)

The state of Baden-Württemberg has appointed the lawyer Michael Rohlfing to act as a legal representative of trust for the prevention of corruption. This appointment extends to the University of Tübingen and other universities within the remit of the Baden-Württemberg Ministry of Science, Research and the Arts.

Contact:
Michael Rohlfing
BENDER HARRER KREVET Rechtsanwälte Partnerschaft mbB
Zerrennerstrasse 11
75172 Pforzheim
Phone: (07231) 39763-47
Fax: (07231) 39763-10
Email: vertrauensanwaltspam prevention@bender-harrer.de
Further information can also be found on the firm's website: https://www.bender-harrer.de/vertrauensanwalt/

Nominated attorney’s function and tasks

The nominated attorney is available to University employees as an independent point of contact. The nominated attorney receives reports containing suspicions of corruption offenses and examines them for their credibility and relevance under criminal law. The aim of his work is to clarify the facts and circumstances in cases of corruption.
The nominated attorney decides on the basis of careful legal examination whether and to what extent he will report a matter submitted to him to the relevant authority of the state of Baden-Württemberg. If there are sufficient grounds for suspicion of misconduct by employees or third parties to the detriment of the state, the matter is reported to the relevant supreme state authority, which manages the further proceedings.
The nominated attorney can assure a whistleblower of confidentiality upon request. As an attorney, he is bound by a duty of confidentiality and may not disclose the identity of the whistleblower to the state or to third parties without the whistleblower's consent.
For further information, please refer to the guidelines Merkblatt zur Einführung eines Vertrauensanwalts (Annex 2 of the VwV Korruptionsverhütung und -bekämpfung).

In the event of information about potential corruption obtained from the University's professional environment, University employees (also those with “Beamte” status) may contact the whistleblower office set up at the Ministry of Science.
Further information on this may be found on the University web page Reporting office for whistleblowers.