Mapping activities and processes

1. Regulatory Concept & Core Standards

In this video we will work through a concrete decision: identify decisions capable of producing an improper advantage. The aim is to explain the criterion used and apply it to a workplace situation. We will start with the concept, move to the procedure and finish with a case to solve. The matrix connects process, possible breach, control and owner. A number is not an official legal decision. Regulation 630 addressees have a risk-assessment duty, while the illustrated table is a recommended method to adapt to actual work.

Assessment begins with real spending, selection, permissions and information-access processes. An organisation chart does not show all influence. Informal practice may weaken controls. Regulation 630 requires identification of exposed processes and positions.

Apply the following rule: Section 5 requires an internal system in public institutions regardless of workforce, and private legal persons with at least 50 workers. Specified financial and other regulated sectors are exempt from the headcount threshold. Sharing follows section 5(3); outsourcing does not remove protection.

2. Practical Implementation & Procedure

Map start, decisions and outcome. Discuss practice with operators and compare instructions. Identify authority and checkpoints without excessive data, showing differences between intended and actual work. Before moving on, turn this procedure into a sequence you could explain to a colleague. Identify the first check, the action that depends on its outcome and the record that allows the decision to be reconstructed. Follow the sequence on screen and identify the point where an error would change the result.

3. Case Study & Compliance Action

Procedure requires a committee but one person drafts criteria and selects suppliers. Mapping reveals concentrated roles. Now read the case carefully. Separate established facts from information you would still need to confirm. Do not add motives or events that have not been described. This distinction matters when choosing a response proportionate to the information available.

The exercise is as follows: Is the chart sufficient to understand risk? Choose an answer and write one sentence explaining it. During the pause, compare your choice with the criteria we have just considered. Also think about the material you would retain to explain the decision later.

No. Examine actual workflow and powers. Documents and practice may differ and require different remedies.

One mistake to avoid is: assessing only formal structure.

Now apply the national rule to a second decision. A subsidiary adopts its foreign head office’s procedure unchanged. What should be checked?

Identify the Latvian legal person, workforce and regulated activities. Check section 5 threshold exceptions and shared-system conditions. Public-institution duties do not depend on headcount. A shared platform gives no automatic group-wide access. Name the owner and substitution arrangements.