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Risk Analysis Guidance on the Supply Chain Act

Quick & targeted: LkSG-compliant risk analysis with sample template

According to the Federal Office for Economic Affairs and Export Control (BAFA), risk analysis is the basis for effective risk management in companies. They enable:
  • the identification of human rights and environmental risks in supply chains
  • the assessment of risks in the overall context
  • the prioritisation of (imminent) risks
  • the prevention and minimisation of (potential) risks

Free Risk Analysis Template LkSG

Apply our template for LkSG-compliant risk analyses directly for 30 days in our free trial version. Follow our instructions and set up your risk analyses in no time.

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Lieferkettengesetz-6 elements of risk management

Why do risk analyses have to be carried out?

According to BAFA, companies are required to establish effective and appropriate risk management. The aim is to identify, prevent, minimise or eliminate human or environmental risks or violations in their supply chain. In doing so, companies should adopt a risk-based approach. Through a well thought-out and comprehensive risk analysis, companies can make informed decisions and focus their efforts on critical areas to ensure compliance with human rights and environmental standards. To comply with the LkSG, companies must implement the following six elements of risk management:
  1. Establishing an effective risk management system
  2. Risk analysis
  3. Preventive measures
  4. Remedial measures
  5. Complaint procedures
  6. Documentation and reporting
Risk analysis is an important component of the overall risk management system and, according to BAFA, forms the basis for appropriate and effective risk management.
Lieferkettengesetz-Distinction of areas applicable

Which part of the supply chain does the risk analysis apply to?

In order to understand the LkSG in its entirety and the related due diligence obligations for your company, a distinction is made between these three "parts" of the supply chain, according to the Federal Ministry of Labour and Social Affairs (BMAS) Unit "CSR" - Corporate Social Responsibility:
  1. Own business area
  2. Direct suppliers = Suppliers with direct contractual reference
  3. Indirect suppliers = Suppliers with an indirect relationship (i.e. the suppliers of the suppliers)
Lieferkettengesetz-Risk analysis distinction

What must be distinguished in risk analyses?

On the other hand, the distinction exists in the temporal classification of risk analysis, which are associated with the above-mentioned areas:
  • The regular risk analysis, which is carried out once a year.
  • The event-related risk analysis, which is triggered by knowledge about a violation (e.g. via complaint procedures) or due to a change in business activity.
This means concretely for your company:
  • The regular risk analysis applies to your own business area and your indirect suppliers.
  • The ad hoc risk analysis based on substantial knowledge applies to your direct suppliers.
  • And last but not least, the event-driven risk analysis due to a change in business activity applies to all three fields.
Lieferkettengesetz-Risk analysis – Things to consider

What do you have to look out for in the LkSG risk analysis?

The results of the risk analysis form the basis for the implementation of further measures to comply with the legislative proposals. The following aspects are to be taken into account:
  • Clear guidelines should be established and responsible parties named in order to take adequate steps in case of particularly high risks.
  • Certain information is specified by BAFA which should be strictly adhered to, such as a risk analysis should contain concrete questions on the company and procurement structure.
  • Direct measures in the case of imminent risks are necessary to prevent or minimise potential damage.
  • Risk management strategies should be continuously reviewed and improved to minimise potential risks and reinforce preventive measures.
  • Regular reporting based on the findings on progress and actions taken, as well as orderly documentation are essential to demonstrate compliance with the law.
As you can see, the use and implementation of risk analysis is only the beginning.

And as we all know, starting is the hardest part...

But with Netigate's Templates for Risk Analysis and Complaints Procedure, you have at least two items that you can check off quickly and safely. We show you exactly how to do this below:

Here's how to proceed: How to apply Netigate Risk Analysis directly

Get started with free template

This risk analysis template contains the questions on the corporate structure and procurement structure of the companies concerned specified by the Federal Office for Economic Affairs and Export Control. In addition, the country selection is based on the country list recommended by BAFA from United Nations Statistics Division. The logics are based on the number of group-dependent companies on which a certain influence is exerted and the procurement categories products, raw materials and services.

Adapt the template to your corporate design

After you have opened the template, you can adapt it to your needs and your corporate design. For example, you can change the design completely in the settings bar and add your own logo there. Also customise your company details in the template, such as company name and contact information. Of course, you can also customise entire question fields and pages. Small tip: If you add questions or whole pages to this specific template, then we recommend that you deactivate the logic first. In the last step after you have made all changes, you can again activate the logics for the respective questions.

Can be used anywhere due to various distribution options

Reach all relevant people and suppliers where you most want to be found. You can use Netigate to choose several suitable shipping methods for your process: a. Email: Send the survey via Netigate's email system. This way you can inform your suppliers about your risk analysis and send a reminder email at regular intervals. b. General link: Generate a survey link that you can use anywhere or convert it into a QR code for offline activities. c. Website embedding: Place your risk analysis on landing pages, e-shops, blogs or other online platforms. d. (Two way) SMS: Communicate even more flexibly and quickly using text messages. e. Login lists: Create logins for your recipients with user name and password.

Set up alerts and notifications

Customise the contact email in the settings so that the responsible person directly receives a notification email with the collected data each time a risk analysis is submitted. Set Live Alerts to respond quickly to critical, imminent risks. You can track progress at any time on live dashboards. We also have a step-by-step guide on how to set triggers and logics in no time.

Create documentation and reports in seconds

An essential part of the Supply Chain Act (LkSG) is documentation and reporting. Netigate has a comprehensive reporting function. Features include report exportto Excel or PDF, which allows you to quickly and easily transfer your data to an Excel or PDF format. The Quick Analysis gives you a quick overview of the most important results, so you can immediately identify the relevant information. With the help of filters you can better segment the collected data and gain specific insights. In addition, Netigate offers KI-driven text analysis, which automatically captures your answers and groups them into predefined topics. This saves you valuable time in manually sorting the answers and quickly gives you a clear overview of the most important information.
Lieferkettengesetz-Three main questions – supply chain act

Make data-driven decisions

After you have found, adapted, sent and evaluated the template, you now have to make some decisions on the respective risks in this step. BAFA provides a very detailed guide on how to identify, weight and prioritise risks. In brief, the procedure for both the own business unit and the direct suppliers is divided into:
  1. Abstract consideration of industry and country-specific risks for the purpose of identifying companies/branches/locations with increased risk disposition.
  2. Concrete identification of risks and their weighting and prioritisation according to:
    • type and scope of business activity
    • Probability of occurrence
    • Severity of the violation
    • Possibility of influence
    • Causation contribution of the company to individual risks
  3. For the company's own business area: Successive expansion of the concrete risk assessment (see above) to all companies, branches or locations.

Apply the steps directly!

Test our risk analysis template free of charge for 30 days.

Extra step with extra support: We're happy to help with your LkSG projects

Netigate Consulting Expert Team

Netigate Consulting offers individual expert support and tailored solutions for your supply chain law projects in the implementation of due diligence. In our team, we combine professional expertise from the fields of social sciences, economics and statistics with practice-oriented know-how. The project process with Netigate Consulting is divided into the following phases: 1. Setup: In a kick-off workshop we jointly define the study design and develop the specific questionnaire. 2. Implementation: Our team takes over the questionnaire programming and takes care of the address handling as well as the background variables. 3. Conducting: We support you in sending out the survey and monitor the field process. 4. Analysis: After completion of the data collection, we process the data and conduct a comprehensive data analysis, which serves as the basis for reporting. 5. Communication: We present the results to you in a meaningful results presentation and, if you wish, we can also offer a train-the-trainer workshop. 6. Action: Together we develop measures based on the findings of the survey in an action-planning workshop. Our team accompanies you in the implementation of these measures and advises you on further survey concepts. We give you the choice between a full-service approach or a do-it-yourself option. Our team of experts at Netigate Consulting is there to support you at every stage of your LkSG project - from the design of the questionnaire to the communication of the results.

How can Netigate Consulting support you?

We will be happy to show you! Our experts look forward to meeting you and learning more about your projects:

When do you have to introduce a risk analysis according to LkSG?

The regular and ad hoc risk analyses must be introduced depending on when companies fall within the scope of the law: Companies with more than 3,000 employees and thus covered by the law from 1 January 2023 must introduce their risk analyses from that date. For companies with more than 1,000 employees, the obligation applies from 1 January 2024.

Get started with the template right away !

Test our template for Risk analysis free of charge for 30 days and see for yourself how easy it is to implement a LkSG-compliant procedure.

Why should you choose Netigate for your risk analysis?

Secure & DSGVO compliant
Your sensitive feedback data is safe with us, because data security is our top priority. We meet the requirements of the DSGVO and have servers in Germany. This means that you can create surveys in accordance with ISO 9001 and securely record your suppliers' feedback and complaints online.
Support from experts
We offer a global solution with local support and advice. Our in-house experts help you ask the right questions and make data-driven decisions for your supplier surveys and complaints.
Everything you need
With the powerful and intuitive survey tool, you can easily create, distribute and analyse surveys of all kinds. Create your own complaint procedure or use our professionally designed templates to best reach your target groups.
Simple integration
With the Netigate API, you can create custom data integrations that adapt to your existing workflows. By automating your surveys, you can save time and work more efficiently.
Reliable data collection
Did you know that Netigate has conducted one of the largest surveys in the world with over 6.5 million respondents? That requires stability, knowledge and capacity. We offer you stable software that you can rely on even for advanced supplier feedback projects.
Powerful analysis
With our survey tool, you get in-depth analysis and actionable insights. We help you make data-driven decisions with confidence from the wealth of data.

Everything you need to know about the Supply Chain Act:

LkSG konforme Muster Vorlagen für Befragungen für Lieferanten. Lieferkettengesetz Aufforderung für Beschwerdeverfahren und Risikoanalyse.
Digital solution for the Supply Chain Act
In this overview, you can see how you can meet the due diligence requirements of the Supply Chain Act with Netigate's digital solution.
LkSG Beschwerdeverfahren Vorlage - Beschwerde einreichen Einleitung
LkSG Complaints Procedure Template
Learn how to effortlessly implement and manage an LkSG-compliant complaints procedure. With our step-by-step guide, you can start right away with the template.
Lieferantenbefragung - Vorlage und Muster Einleitung
Supplier Survey Template
Optimise your supply chain with Netigate supplier surveys. Strengthen your business relationships with your suppliers and improve the quality and reliability of your supply chain.
Lieferantenselbstauskunft - Vorlage und Muster - Einleitung
Supplier Self-Assessment Template
As an important component of supplier management, the supplier self-assessment helps your company to collect all relevant data about your suppliers, to check them for possible risks and to compare them objectively with each other.
Mastering the Supply Chain Act - with the help of supplier surveys
In our eBook, we illustrate with practical tips how professional supplier surveys and supplier self-assessments can help you meet the requirements of the Supply Chain Act.
Tankschiff im Hafen - Sinnbild für Lieferkette
The Supply Chain Act explained simply
In this article we take a look at the Supply Chain Act and explain everything you need to know about it: What exactly does this law mean and how can companies comply with it? To do this, we would like to give you a simple explanation of the content and implementation of the Supply Chain Act.
Supplier self-assessment vs supplier survey: When do I choose which survey?
Find out how a supplier survey differs from a supplier self-assessment. Even though they can of course both be conducted via the same survey tool. But what are the exact differences? And which one is better suited to your needs?


A Complaints Procedure Template is a pre-designed survey template that serves as a guide to systematically record and address complaints or concerns raised by stakeholders throughout the supply chain. The template helps implement the Supply Chain Act by covering the following aspects:

1. Contact details

2.Description of the complaint procedure

3. Complaint form incl. date, name, contact information, description of the incident, persons involved, etc.

4. Type of complaint with classifications of human rights violations, discrimination, working conditions, environmental violations, etc.

5. Anonymity option to ensure the safety of the complainant.

6. Declaration of confidentiality by indicating the confidentiality and handling of the information.
Yes, as a Netigate customer, you have free access to all the templates in our tool - just like in the trial version, you can access the complaint procedure template directly and use it immediately. Try Netigate here and see our templates.
You can create your complaint process using Netigate's free template. You can completely redesign your own surveys with our easy drag-and-drop interface, or choose our ready-made template when you click "Create new survey" after logging in. Test Netigate here and check out our templates.
Yes! We have a dedicated team of experts to help you with all your questions. From setting up and running the surveys to analysing the data and the decision-making process - we are here for you and your business. On our homepage at Knowledge Hub you will find many helpful blog articles, reports, video tutorials and also eBooks.

Do you have any questions?

Our experts are happy to help you!