39
Volume 04 Issue 04-2022
The American Journal of Political Science Law and Criminology
(ISSN
–
2693-0803)
VOLUME
04
I
SSUE
04
Pages:
39-46
SJIF
I
MPACT
FACTOR
(2020:
5.
453
)
(2021:
5.
952
)
(2022:
6.
215
)
OCLC
–
1176274523
METADATA
IF
–
7.659
Publisher:
The USA Journals
ABSTRACT
All government anti-corruption reforms in education are aimed at ensuring the rights and interests of citizens to
receive a quality education. With the development of modern public administration and the rapid increase in the
number of professions in the private sector, the fight against corruption in higher education is becoming increasingly
important. The use of preventive methods in the fight against corruption is widespread in the world, and the use of
this area in education provides high efficiency. Corruption risk assessment is one of the most common, integrated
preventive methods in the fight against corruption. To this end, the article provides a scientific analysis of the concepts
of “corruption risk assessment”, “procedure”, “methods”, and “stages” in higher education, and explains these
concepts.
KEYWORDS
“сorruption risk assessment”, “the importance of risk assessment”, “procedure”, “methods”, “stages”.
INTRODUCTION
Today in the world practice the use of preventive
methods for combating corruption offenses is
widespread in all spheres. Given that the majority of
corruption crimes in education remain undetected, it
Research Article
THE PROCESS OF ASSESSING CORRUPTION RISK IN HIGHER
EDUCATION
Submission Date:
March 30, 2022,
Accepted Date:
April 11, 2022,
Published Date:
April 24, 2022
|
Crossref doi:
https://doi.org/10.37547/tajpslc/Volume04Issue04-06
Kuchkarov Zafarjon Kayumjon ugli
Ph.D. candidate of the Academy of the Prosecutor General’s office of the Republic of Uzbekistan
Journal
Website:
https://theamericanjou
rnals.com/index.php/ta
jpslc
Copyright:
Original
content from this work
may be used under the
terms of the creative
commons
attributes
4.0 licence.
40
Volume 04 Issue 04-2022
The American Journal of Political Science Law and Criminology
(ISSN
–
2693-0803)
VOLUME
04
I
SSUE
04
Pages:
39-46
SJIF
I
MPACT
FACTOR
(2020:
5.
453
)
(2021:
5.
952
)
(2022:
6.
215
)
OCLC
–
1176274523
METADATA
IF
–
7.659
Publisher:
The USA Journals
would be appropriate to pay more attention to this
area.
Corruption risk assessment is one of the most
common, holistic preventive methods in the fight
against corruption. In this process, potential
corruption offenses are identified and these corruption
offenses are prevented.
The main purpose of the assessment of corruption
risks in higher education public administrations and
higher education institutions is to identify the
functions and positions most prone to corruption risk
through a comprehensive analysis of activities, to
develop effective prevention measures to minimize
corruption risks.
MATERIALS AND METHODS
In our opinion, the process of assessing corruption
risks is not widely studied at the national level
(including in the higher education system), but the
direction of assessing corruption risks is widespread at
the international level.
In particular, the University of Claremont, the Center
for Combating Corruption “U4”, the Organization for
Economic Cooperation and Development have
prepared several manuals, which cover in detail the
general concept, process, stages, and methods of
assessing corruption risks.
1
McDevitt A Corruption risk assessment topic guide,
Transparency
International.
July
2011.
–
P.6
//
https://knowledgehub.transparency.org/assets/uploads/kpr
oducts/Corruption_Risk_Assess
ment_Topic_Guide.pdf.
2
https://www.u4.no/topics/corruption-risk-
management/basics.
3
McDevitt A Corruption risk assessment topic guide,
Transparency
International.
July
2011.
–
P.1
//
In foreign practice, this concept is expressed in the
form of “risk assessment of corruption”
1
or
“corruption risk management”
2
.
In particular, Transparency International defines
the
concept of
corruption risk assessment
as a tool to
identify vulnerabilities in the system that allow
corruption to occur
3
.
The U4 Anti-Corruption Center also defines
the
concept of corruption risk management
as a set of
measures and requirements introduced to identify and
reduce corruption risks in a particular organization
4
.
In addition, the Resolution of the President of the
Republic of Uzbekistan dated January 12, 2022 “On
measures to introduce a rating system for combating
the effectiveness of anti-corruption work” PD, № 81,
this concept is presented as an assessment of
corruption risks
5
.
Because the process of assessing corruption risks is
carried out in similar forms and methods in all areas,
manuals or methodologies aimed at assessing
corruption risks in a particular area are not widespread.
Accordingly, it will be possible to disclose the process
of assessing corruption risks in the field by
incorporating specific features in the field of higher
education into the general procedures for assessing
corruption risks.
https://knowledgehub.transparency.org/assets/uploads/kpr
oducts/Corruption_Risk_Assess
ment_Topic_Guide.pdf.
4
https://www.u4.no/topics/corruption-risk-
management/basics.
5
National Database of Legislation, 13.01.2022 й.,
07/22/81/0017-number // https://lex.uz/uz/docs/5819319
41
Volume 04 Issue 04-2022
The American Journal of Political Science Law and Criminology
(ISSN
–
2693-0803)
VOLUME
04
I
SSUE
04
Pages:
39-46
SJIF
I
MPACT
FACTOR
(2020:
5.
453
)
(2021:
5.
952
)
(2022:
6.
215
)
OCLC
–
1176274523
METADATA
IF
–
7.659
Publisher:
The USA Journals
In identifying corruption risks, we come across the
factors that cause them. Professor Robert Klitgaard
illuminates corruption risks using the formula
С = M + R – A - T (C-corruption, M-monopoly, R-
restriction,
A-accountability,
T-transparency). The formula states that failure to
ensure accountability and transparency of the
activities of officials with monopoly (single) unlimited
powers in the life of the state and society leads to
corruption
6
.
For example, the authority to hire a university is the
exclusive prerogative of the head of the institution
(rector), and the lack of transparency in the exercise of
this unlimited authority or the lack of mechanisms to
ensure accountability of the head may lead to bribery
of candidates by the head.
In this case, the authority to hire - M, the manager is
not limited to these powers - R, the manager is not
accountable to a senior official, supervisory div,
corporate structure of the institution - A, the leader is
not disclosed who, when, to what position, in what
order - T, recruitment of a candidate for a bribe is a
corruption offense - C.
Foreign experts and scholars have cited different
approaches to assessing corruption risks. In particular,
according to Stenberg Johnson
7
, Senior adviser at the
U4 Anti-Corruption Center, “Corruption Risk Analysis
6
Klitgard R. International Cooperation against Corruption,
Finance & Development. March 1998. – P. 3. //
https://www.imf.org/external/pubs/ft/fandd/1998/03/pdf/kli
tgaar.pdf.
7
Johnson J. The basics of corruption risk management а
framework for decision making and integration into the
project cycles. U4 Issue 2015. – 18, P. 7. //
https://www.u4.no/publications/the-basics-of-corruption-
consists of four phases, which recommend studying
systemic risks, identifying risk levels, and selecting risk
mitigation measures based on performance indicators.
The process of assessing corruption risks is divided into
the following four stages by Stenberg Johnson:
1)
identification of corruption risks, determination
of their level of tolerance;
2)
assessment of the level of risks (probability and
impacts);
3)
comparing the level of active risks with
tolerance and, if necessary, deciding on risk
mitigation;
4)
Select the least costly and most efficient
method if risk mitigation is required”
8
.
According to Stenberg Johnson’s method, if we look at
one of the existing risks in higher education as a
practical example, it will be possible to understand the
essence of his approach.
In the first stage,
the existing risks are identified, that
is, the causes of the corruption offense and the factors
that led to it are studied.
For example, one of the corruption risks in the field is
the fact that the procedure for transferring a student
studying in a particular field to another field is not
clearly defined in the regulations
9
.
risk-management-a-framework-for-decision-making-and-
integration-into-the-project-cycles.
8
Johnson J. The basics of corruption risk management а
framework for decision making and integration into the
project cycles, U4 Issue 2015. – 18, P. 7. //
https://www.u4.no/publications/the-basics-of-corruption-
risk-management-a-framework-for-decision-making-and-
integration-into-the-project-cycles
9
National Database of Legislation, 09/19/1046/4242-сон.
42
Volume 04 Issue 04-2022
The American Journal of Political Science Law and Criminology
(ISSN
–
2693-0803)
VOLUME
04
I
SSUE
04
Pages:
39-46
SJIF
I
MPACT
FACTOR
(2020:
5.
453
)
(2021:
5.
952
)
(2022:
6.
215
)
OCLC
–
1176274523
METADATA
IF
–
7.659
Publisher:
The USA Journals
In the second stage,
the identified risks are assessed,
that is, it is studied based on factors such as the level
of risk, the possibility of committing corruption
offenses, the negative impact on the existing system,
and the negative consequences.
Continuing the above example, we can assess the fact
that the procedure for transferring a student from one
direction to another is not clearly defined in the
normative legal acts as a high corruption risk. After all,
the formation of unqualified, uneducated personnel
hurts any activity of the state. The main thing is that the
transition from a highly accessible direction to a
competitive one has become a corrupt mechanism,
with a large number of applicants and the fact that this
process depends on the human factor, which indicates
a high level of risk.
In the third stage,
the level of identified and assessed
risks is compared to the tolerance of the human factor.
It analyzes the ability of officials or other authorized
persons to withstand the level of existing risks. If it is
clear that the official is unable to withstand the level of
corruption risk, a decision will be made to eliminate it.
Continuing with the practical example, a student
studying in a specialty he or she is not interested in will
want to study in a specialty he or she wants and will
look for different ways to do so. The only way for a
student to move his or her studies in the direction he
or she wants is through the field. A large number of
applicants for the transfer of education indicates that
the powers of the relevant officials in this activity are
not clearly defined, and there is a high probability that
officials will not be able to withstand the pressure of
corruption.
10
Trivunovic M and others. Developing an NGO corruption
risk management system: Considerations for donors. U4
Issue.
2019.
–
P.
6.
//
In the fourth stage,
an effective and cost-effective
measure is selected to address the corruption risks
identified, assessed, and compared to human
tolerance. Given the fact that the transfer of students
to non-related specialties leads to corruption, the
establishment of commissions in the higher education
institution each year, the allocation of funds from the
budget, or the assignment of additional responsibilities
to officials, it is advisable to completely abolish the
transfer of students.
Although Marijana Trivunovic, a consultant at the U4
Anti-Corruption Center, divided the risk assessment of
corruption into four stages, however, unlike the
Stenberg Johnson method, it did not focus on human
tolerance of risks but indicated the implementation of
the selected measure to mitigate the risks as a
separate step.
“In particular:
a)
identification of corruption risks and threats to
achieve the objectives set out in the program or
project;
b)
determining the severity of corruption risks based
on their likelihood and impact;
c)
identification of specific and priority measures to
reduce corruption risks;
d)
implementation of established measures to reduce
the potential for corruption risks and harmful
effects”.
10
Another approach to assessing corruption risks in the
education system is called Integrity of Education
System (INTES). This system has been used by the
Open Society Foundation in secondary special and
higher education in the United States. It was also used
https://www.u4.no/publications/developing-an-ngo-
corruption-risk-management-system-considerations-for-
donors.
43
Volume 04 Issue 04-2022
The American Journal of Political Science Law and Criminology
(ISSN
–
2693-0803)
VOLUME
04
I
SSUE
04
Pages:
39-46
SJIF
I
MPACT
FACTOR
(2020:
5.
453
)
(2021:
5.
952
)
(2022:
6.
215
)
OCLC
–
1176274523
METADATA
IF
–
7.659
Publisher:
The USA Journals
by the Organization for Economic Cooperation and
Development in the analysis of the Ukrainian education
system.
In contrast to the above approaches, INTES conducts
an assessment in three stages:
1)
“Identify existing risks in the field, that is, to find an
answer to the question
“what”
is a corruption
offense, in which the whole offense is defined;
2)
Carrying out a causal analysis, that is, to find the
answer to the question of
“how”
the corruption
offense was committed, to identify the possibilities
that led to the offense, and to carry out the second
part of the causal analysis, that is, to find an answer
to the question of
“why”
the corruption offense
was committed, to determine what benefits it
would create for the offense;
3)
Decision-making on the elimination of existing risks
in the field, in which the actions to be taken are
formed”
11
.
The INTES method is very useful in identifying existing
risks in the field and finding their root causes and
factors, but this approach does not focus on assessing
the identified risks and identifying the risks that need
to be addressed.
In our opinion, if we complete the third phase of the
INTES method with a risk assessment process by
comparing the risks to the human factor, we will have
a perfect system.
M. Trivunovic, on the other hand, assesses the risks of
corruption in two main areas: risk prevention and
11
Monica K. Education sector corruption: How to assess it
and ways to address it. U4 Issue. 2019. – P. 28. //
https://www.u4.no/publications/education-sector-
corruption-how-to-assess-it-and-ways-to-address-it.
12
Trivunovic M and others. Developing an NGO corruption
risk management system: Considerations for donors. U4
punishment.
12
In our opinion, it is not expedient to
separate these two directions from each other or apply
them separately. Indeed, the prevention of corruption
risks is better than combating its consequences, but
the analysis and implementation of structural changes
do not mean that this perfect system has been created
or that corruption offenses will not occur.
Therefore, legal action against corruption offenses is
provided through punitive measures. The presence of
these two directions in each state allows for maximum
prevention of corruption.
RESEARCH RESULTS AND ANALYSIS
In our opinion,
the assessment of corruption risks in
higher education -
identification of corruption risks
that create or may create conditions for corruption
offenses by analyzing the functions (powers) of
government agencies and educational institutions in
the field of higher education, violations in the field,
their evaluation and development and implementation
of effective and efficient measures to minimize them.
It would also be appropriate to divide the process of
assessing corruption risks in higher education into
four
stages
, namely,
the identification
,
assessment
(determination of the level of risk) of corruption,
identification
of measures to eliminate or reduce
them, and
the implementation
of prescribed
measures.
The first stage.
Identifying corruption risks is the first
and most important step in the process of assessing
Issue.
2019.
–
P.
6.
//
https://www.u4.no/publications/developing-an-ngo-
corruption-risk-management-system-considerations-for-
donors.
44
Volume 04 Issue 04-2022
The American Journal of Political Science Law and Criminology
(ISSN
–
2693-0803)
VOLUME
04
I
SSUE
04
Pages:
39-46
SJIF
I
MPACT
FACTOR
(2020:
5.
453
)
(2021:
5.
952
)
(2022:
6.
215
)
OCLC
–
1176274523
METADATA
IF
–
7.659
Publisher:
The USA Journals
corruption risks in higher education. Data are collected
using several different methods, including:
1.
Obtaining normative-legal and local documents
regulating the relevant activities of civil servants in
the field and defining their functions (powers)
(regulations on public bodies, administrative
regulations, protocols, decisions and instructions
of higher state bodies, job descriptions, orders,
etc.).
2.
Collection of information on internal inspections
of educational institutions, including service
inspection materials, facts about the tendency of
a civil servant (employee) to commit corruption
offenses, and use of the services of persons
assisting in this regard.
3.
Conducting public surveys with the participation
of students, teachers, civil society institutions, and
other stakeholders who use educational services.
4.
Obtain statistics on violations in the field.
5.
Receiving complaints from individuals and legal
entities, information from international and
foreign experts, information on corruption
offenses in the field of higher education by civil
society institutions and the media, or cases of non-
compliance with the rules of ethics by a civil
servant.
6.
Collection of materials provided by law
enforcement agencies, including prosecutorial
oversight documents.
The data collected using the above methods are
summarized, analyzed, and on this basis, the risk of
corruption is determined.
The second stage.
The identified corruption risks are
assessed as
low, medium, and high
depending on the
probability of occurrence and the extent of its negative
impact.
It can be seen that
the probability of occurrence
of
corruption risks and the
degree of consequences
are
the main criteria for assessing corruption risks.
The criteria for the probability of occurrence of
corruption risks and the level of consequences include
small criteria and based on these small criteria, low,
medium, and high levels of risk are determined.
Probability of corruption risks:
The order of implementation of each function in
the governing bodies or higher education
institutions in the field of higher education is clearly
defined;
Control measures are taken to ensure the proper
performance of the functions of management
bodies or employees of higher education
institutions (officials, employees) in the field of
higher education;
Performance of functions of governing bodies or
employees of higher education institutions
(officials, employees) in the field of higher
education is assessed based on digitization or
dependence on the human factor and other small
criteria.
Level of consequences of corruption risks:
The implementation of the functions of the
governing bodies of higher education or
employees of higher education institutions
(officials, employees) for corrupt purposes can
lead to criminal, administrative or disciplinary
liability;
Corrupt implementation of the functions of higher
education institutions or employees of higher
education institutions (officials, employees)
violates the rights of citizens to receive or provide
higher education;
45
Volume 04 Issue 04-2022
The American Journal of Political Science Law and Criminology
(ISSN
–
2693-0803)
VOLUME
04
I
SSUE
04
Pages:
39-46
SJIF
I
MPACT
FACTOR
(2020:
5.
453
)
(2021:
5.
952
)
(2022:
6.
215
)
OCLC
–
1176274523
METADATA
IF
–
7.659
Publisher:
The USA Journals
Corruption offenses committed by higher
education authorities or employees of higher
education institutions (officials, employees) are
assessed based on the amount of material or moral
damage inflicted on the subjects of higher
education (government, administration, higher
education institution, staff, students) and other
criteria.
The third stage.
Proposals and comments on the
elimination of selected corruption risks will be
developed and the necessary measures will be
identified.
The fourth stage.
Measures will be taken to eliminate
corruption risks.
The above methods of corruption risk analysis can be
applied not only in higher education but also in other
areas (health, capital construction, banking, finance,
etc.).
The analysis of corruption risks in higher education can
also be classified on the following grounds.
First, based on the principle of territoriality, to conduct
research in higher education institutions throughout
the country or some regions (in higher education
institutions located in the Republic of Tashkent).
Second, based on areas, the study of higher education
in the field of specialization (in medical higher
education institutions of the Republic).
Third, is the study of risks based on the types of
offenses committed (bribery of officials).
Fourth, is the analysis of risks according to the
organizational and legal form of higher education
institutions (public, private, or foreign higher
education institutions).
Fifth, risk analysis at some stages of the industry
(enrollment, student assessment, management
stages).
Sixth, analyze the risks of corruption in existing
positions in the field (rector, vice-rector, accountant, or
head of the department).
CONCLUSION
In conclusion, in the process of identifying and
eliminating corruption risks in higher education, we
consider it appropriate to emphasize the following:
The process of analysis of corruption risks consists
of an integrated system in which the existing risks
in the field are identified, assessed and a decision
is made to eliminate them;
Analysis of corruption risks is divided into two
main areas –
prevention
and
punishment
of
corruption risks;
To start the analysis of corruption risks from the
formation of the necessary database and their
identification;
Assessment based on the sum of the probability
of corruption risks and the amount of its negative
impact based on
low, medium,
and
high
criteria;
At the final stage, proposals and comments on the
elimination of selected corruption risks will be
developed and the necessary measures will be
identified.
REFERENCES
1.
McDevitt A Corruption risk assessment topic guide,
Transparency International. July 2011. – P.6 //
https://knowledgehub.transparency.org/assets/upl
oads/kproducts/Corruption_Risk_Assessment_Topi
c_Guide.pdf.
2.
McDevitt A Corruption risk assessment topic guide,
Transparency International. July 2011. – P.1 //
46
Volume 04 Issue 04-2022
The American Journal of Political Science Law and Criminology
(ISSN
–
2693-0803)
VOLUME
04
I
SSUE
04
Pages:
39-46
SJIF
I
MPACT
FACTOR
(2020:
5.
453
)
(2021:
5.
952
)
(2022:
6.
215
)
OCLC
–
1176274523
METADATA
IF
–
7.659
Publisher:
The USA Journals
https://knowledgehub.transparency.org/assets/upl
oads/kproducts/Corruption_Risk_Assessment_Topi
c_Guide.pdf.
3.
Klitgard R. International Cooperation against
Corruption, Finance & Development. March 1998. –
P.
3.
//
https://www.imf.org/external/pubs/ft/fandd/1998/0
3/pdf/klitgaar.pdf.
4.
Johnson J. The basics of corruption risk
management а framework for decision making and
integration into the project cycles. U4 Issue 2015. –
18, P. 7. // https://www.u4.no/publications/the-
basics-of-corruption-risk-management-a-
framework-for-decision-making-and-integration-
into-the-project-cycles.
5.
Trivunovic M and others. Developing an NGO
corruption
risk
management
system:
Considerations for donors. U4 Issue. 2019. – P. 6. //
https://www.u4.no/publications/developing-an-
ngo-corruption-risk-management-system-
considerations-for-donors.
6.
Monica K. Education sector corruption: How to
assess it and ways to address it. U4 Issue. 2019. – P.
28. // https://www.u4.no/publications/education-
sector-corruption-how-to-assess-it-and-ways-to-
address-it.
7.
The Resolution of the President of the Republic of
Uzbekistan dated January 12, 2022 “On measures to
introduce a rating system for combating the
effectiveness of anti-corruption work” PD, № 81 //
National Database of Legislation, 13.01.2022 й.,
07/22/81/0017-number
//
https://lex.uz/uz/docs/5819319.
8.
The Resolution of the Cabinet of Ministers of the
Republic of Uzbekistan dated June 20, 2017
“Regulations on the procedure of admission to
higher educational institutions, transfer of student
study,
reconstruction
and
dismissal”
№ 393 // National Database of Legislation,
09/19/1046/4242-number
//
https://lex.uz/uz/docs/5819319.
https://www.u4.no/topics/corruption-risk-
management/basics.
10.
11.
https://www.edu.uz/uz.
