ROSTALSKI as an Expert at the VKU: Establishing a Compliance Management System in Municipal Enterprises

Municipal utilities, transportation, water, and waste management companies operate in a unique area of tension: They are run like private companies but are subject to the expectations and regulations of the public sector. Any organization in this sector that lacks an effective compliance management system (CMS) risks criminal investigations, fines, and personal liability for management and the board of directors. In the VKU Academy’s webinar on November 12, 2026, Dr. Tony Rostalski, a specialist attorney in criminal law and compliance expert, will demonstrate how municipal companies can establish a CMS that will hold up in a crisis.

Why Compliance Is Especially Important in Municipal Enterprises

Municipal enterprises are subject to close scrutiny by the public, auditors, regulatory authorities, and the public prosecutor's office. In addition, there are specific criminal law risks:

Status as a Public Official: Depending on the specific circumstances, employees of municipal enterprises may be considered public officials within the meaning of Section 11(1)(2) of the German Criminal Code (StGB). In such cases, the strict provisions on corruption set forth in Sections 331 et seq. of the StGB (acceptance of benefits, bribery) apply—even an invitation to a meal or an event can constitute a criminal offense.
Bribery in Business Transactions (Section 299 of the German Criminal Code (StGB)): Investigations may be initiated in connection with procurement and contract awarding even if the individual is not a public official.
Public Procurement Law: Corruption offenses may result in exclusion from procurement proceedings (Sections 123, 124 GWB). Proven self-rectification (Section 125 GWB) requires effective organizational measures.
Corporate and Director Liability: Breaches of the duty of supervision (Section 130 of the German Administrative Offenses Act (OWiG)) may result in fines imposed on the corporation pursuant to Section 30 of the OWiG. Managing directors are personally liable if they fail to establish an adequate compliance program (Section 43 of the German Limited Liability Companies Act (GmbHG), Section 93 of the German Stock Corporation Act (AktG)).

Conversely, case law recognizes the value of an effective CMS: According to the Federal Court of Justice, an efficient compliance management system may be taken into account in the company’s favor when determining the amount of a corporate fine (BGH, judgment of May 9, 2017 – 1 StR 265/16).

The Webinar Content

Dr. Tony Rostalski will lead three sessions of the seminar:

Compliance in Municipal Enterprises: Requirements, Liability Risks, and Developments —from Legal Obligations to the Relevant Standards IDW PS 980 and ISO 37301.
Key Components of an Effective CMS —Governance, Roles and Responsibilities, the Role of the Compliance Officer, and a Culture of Compliance in Practice.
Step by Step Toward a CMS – Compliance Risk Analysis, Compliance Strategy, Policies, Controls, and a Realistic Implementation Roadmap.

The program is supplemented by case studies: Carsten Kloos and Nicolas Tauchnitz will present the integrated compliance management system at Berliner Wasserbetriebe, while Jens Hülstede (Stadtwerke Troisdorf) will discuss the implementation of a compliance organization at a municipal utility—including the role of management, training, and common challenges.

Who is this seminar intended for?

This webinar is intended for specialists and managers in the legal, procurement, human resources, and corporate development departments of municipal companies who

rebuild a compliance management system,
further develop existing compliance structures or
want to assess the maturity and effectiveness of their CMS.

Prevention from a Defense Attorney's Perspective

ROSTALSKI White-Collar Crime & Compliance assists municipal and private companies with, among other things:

the establishment and further development of compliance management systems in accordance with ISO 37301, ISO 37001 (anti-corruption), and IDW PS 980,
Compliance risk analyses and corruption prevention, such as policies on gifts, sponsorship, and conflicts of interest,
the establishment of internal reporting channels in accordance with the Whistleblower Protection Act (HinSchG) and serving as an external ombudsperson,
internal investigations in cases of suspected violations,
representing companies and individuals in corruption and white-collar crime cases.

Dr. Tony Rostalski is familiar with allegations of corruption and other compliance risks not only from a prevention perspective, but also from a defense perspective. As a specialist in criminal law, he defends companies, executives, and employees in preliminary investigations involving corruption, embezzlement, fraud, and antitrust violations. This knowledge is directly incorporated into his compliance consulting services.

The law firm was recognized by Capital and Statista as a top law firm for compliance in 2026; WirtschaftsWoche ranks ROSTALSKI among the top law firms in 2026 for criminal tax law.