bortoletti, pharmaceutical compliance congress, fight against corruption, budapest, 15 maggio 2012

The fight against corruption, between prevention and repression in the light of the above OECD and GRECO evaluations: modernization of the public administration and so-called anticorruption bill

6th Pharmaceutical Compliance Congress and Best Practices Forum

Budapest, Hungary - May 14th - 16th 2012

Colonel of Carabinieri Corps Maurizio Bortoletti Extraordinary Commissioner - Health Public Company in Salerno

TABLE OF CONTENTS

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1.  Steps taken to implement and enforce the OECD Convention.

2.  2008 – 2011, Three Evaluation. a.   OCSE phase three. b.   GRECO, 1st and 2nd Round.

3.  2008 – 2011, Things done. Some things.

4.  In particular, the Italy “Brunetta” Reform. a.   Modernisation of the Public Administration. b.   Innovation and digitalisation within the PA and the Country. c.   Relathionship between the PA, citizens and businesses.

5.  In particular, the so-‐called anticorruption Bill.

STEPS TAKEN TO IMPLEMENT AND ENFORCE THE OECD CONVENTION.

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The Convention was ratiVied and implemented in Italy through Act No. 300 of 29.9.2000, “RatiFication and enforcement of the following international instruments drawn up on the basis of Article K 3 of the Treaty on the European Union: the Convention on the Protection of the European Communities' Financial Interests, done in Brussels on 26 August 1995; its First Protocol, done in Dublin on 27 September 1996; the Protocol concerning the Preliminary Interpretation, by the Court of Justice of the European Communities, of said Convention, with attached declaration, done in Brussels on 29 November 1996; the Convention on the Fight against Corruption involving OfFicials of the European Communities or OfFicials of Member States of the European Union, done in Brussels on 26 May 1997, and the OECD Convention on Combating Bribery of Foreign Public OfFicials in International Business Transactions, done in Paris on 17 December 1997. Delegation to the government to regulate the administrative responsibility of legal persons and of bodies without legal personality.” The Act introduced Article 322-‐bis into the Criminal Code, which in subsection 2 provides for the criminal responsibility of anyone who bribes or attempts to bribe a foreign public ofVicial when the offence is committed in order to procure an undue beneVit for himself or others in international business transactions.

STEPS TAKEN TO IMPLEMENT AND ENFORCE THE OECD CONVENTION.

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In addition, Act 300/2000 empowered the government to introduce the criminal responsibility of legal persons; Legislative Decree 231/01 then deVined this responsibility and extended it so as to include the bribery of foreign public ofVicials. Legislative Decree No. 231 of 21 November 2007 (implementation of Directive 2005/60/EC of the European Parliament and of the Council of 26 October 2005 on the prevention of the use of the Vinancial system for the purpose of money laundering and terrorist Vinancing and 2006/70/EC of 1 August 2006 laying down implementing measures for Directive 2005/60/EC), that introduced also the Criminal Responsibility of Legal Persons for money laundering (new art. 25-‐octies, Leg. Decree No. 231/2001). Other relevant laws, regulations or decrees that have an impact to prevent and Vight corruption: 1. Criminal Code; 2. Code of Criminal Procedure; 3. Civil Code (Article 2621 et seq. on corporate crimes).

2008 – 2011, THREE EVALUATION.

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GRECO, 1ST AND 2ND ROUND EVALUATION. Italy joined GRECO on 30 June 2007, i.e. after the close of GRECO’s First and Second Evaluation Rounds. Consequently, Italy was submitted to a joint evaluation procedure covering the themes of both the First and Second Evaluation Rounds. The team visited Italy from 13 to 17 October 2008. The Joint First and Second Evaluation Round -‐ Evaluation Report on Italy, was adopted by GRECO at its 43rd Plenary Meeting (Strasbourg, 29 June -‐ 2 July 2009). h t t p : / / www . c o e . i n t / t / d g h l / m o n i t o r i n g / g r e c o / e v a l u a t i o n s / r o u n d 2 /GrecoEval1-‐2(2008)2_Italy_EN.pdf


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GRECO, 3RD ROUND EVALUATION. The 3rd Evaluation Round deals with the following themes: 1. Theme I – Incriminations and criminalisation of corruption; 2. Theme II – Transparency of party funding, Common Rules against Corruption in the Funding of Political Parties and Electoral Campaigns. The GRECO evaluation team for Theme I, which carried out an on-‐site visit to Italy from 3 to 4 October 2011, and for Theme II from 5 to 7 October 2011. Third Evaluation Round, Evaluation Report on Italy (Theme I and II) was adopted by GRECO at its 54th Plenary Meeting (Strasbourg, 20-‐23 March 2012). The Report is actually conVidential.


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OCSE, PHASE 3 PEER EVALUATION. From 5 to 8 July 2011, a team from the OECD Working Group on Bribery in International Business Transactions (the Working Group, made up of the 38 State Parties to the OECD Anti-‐Bribery Convention) visited Milan and Rome as part of the Phase 3 peer evaluation of the implementation of the Convention on Combating Bribery of Foreign Public OfVicials in International Business Transactions (the Anti-‐Bribery Convention or Convention), the 2009 Recommendation for Further Combating the Bribery of Foreign Public OfVicials in International Business Transactions (the 2009 Recommendation) and the 2009 Recommendation of the Council on Tax Measures for Further Combating the Bribery of Foreign Public OfVicials in International Business Transactions (the 2009 Tax Recommendation). The purpose of the visit was to evaluate the implementation and enforcement by Italy of the Anti-‐Bribery Convention and the 2009 Recommendations. The Phase 3 Report on Italy by the OECD Working Group on Bribery evaluates and makes recommendations on Italy’s implementation and application of the OECD Convention on Combating Bribery of Foreign Public OfVicials in International Business Transactions and the 2009 Recommendation of the Council for Further Combating Bribery of Foreign Public OfVicials in International Business Transactions. It was adopted by the Working Group on 16 December 2011. http://www.oecd.org/dataoecd/59/47/49377261.pdf


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OCSE, PHASE 3 PEER EVALUATION. “…. Italy’s prosecutors and law enforcement ofVicials are currently engaging in signiVicant efforts to investigate and prosecute foreign bribery offences, which is particularly notable given the challenges presented by the Italian statute of limitations. Since Phase 2, Italy’s efforts to enforce its foreign bribery offence, including against legal persons, have increased steadily. However, although 60 defendants have been prosecuted and 9 cases are under investigation, Vinal sanctions were only imposed against 3 legal persons and 9 individuals, in all cases through patteggiamento. Cases against numerous other legal persons and individuals have been dismissed, in most cases as time-‐barred under Italy’s statute of limitations, which has not increased since Phase 2 and is capped at 7.5 years for all stages of a trial (through appeals), including suspensions and interruptions. Italy’s signiVicant efforts in enforcing its law are made possible by its comprehensive framework for prosecuting the foreign bribery offence, including the availability of the pattegiamento procedure, which is akin to plea bargaining, and varied means for sanctioning legal persons for foreign bribery and conViscating proceeds of bribery. Enforcement of the offence against legal persons has also created a strong incentive for Italian companies to put in place internal compliance programs. In addition, agencies administering public beneVits, such as export credits and public contracts, have put in place policies and procedures to prevent and detect foreign bribery.


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OCSE, PHASE 3 PEER EVALUATION. Nonetheless, in addition to the issues raised above, the Working Group recommends that Italy eliminate concussione as a possible defence in foreign bribery cases. The Working Group also expresses concerns about the effectiveness and deterrent effect of the sanctions available in Italy, particularly those available against legal persons, and recommends that Italy strengthen them. In addition, the Working Group will monitor the possibility to effectively conViscate both the bribe and the proceeds of foreign bribery. In addition, the Working Group encourages Italy to strengthen its efforts to emphasize the detection of foreign bribery through means such as accounting and auditing, tax inspections and whistleblower protection.

2008 – 2011, THINGS DONE.

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S.A.ET., ANTICORRUPTION AND TRANSPARENCY SERVICE. On October 2, 2008, a Decree of the Prime Minister, assigned the competences of the former High Commissioner for the prevention and the Vight against corruption and other forms of offences in the Public Administration -‐ established by article 1 of law No. 3 of January 16, 2003. Competences were deVined by a subsequent regulation passed with a decree of the President of the Republic No. 258 of 2004 -‐ to the Department of the Public Administration, which in this period has been operating through the Servizio Anticorruzione e Trasparenza (S.A.eT.) (Anticorruption and Transparency Service). After 12 months, the transition started with the abolition of the High Commissioner’s OfVice, under art. 68, paragraph 6, letter a) of the decree-‐law No.112 -‐ the decree entitled “Urgent provisions for economic development, simpliVication, competitiveness, stabilization of public Vinances and Viscal equalization”, was passed as law No. 133 of August 6, 2008 -‐ has been completed.


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As a matter of fact, the passage of law No. 15 of March 4, 2009 followed by the legislative decree No. 150 of October 27, 2009 and the ratiVication of the UN Convention against Corruption -‐ adopted by the General Assembly with resolution No. 58/4 of October 31, 2003 and opened in Merida for signature by all States from December 9-‐11, 2003 -‐ with law No. 116 of August 3, 2009 -‐ entitled “RatiVication and implementation of the United Nations Convention against Corruption, adopted by the UN General Assembly on October 31, 2003 with resolution No. 58/4, signed by the Italian State on December 9, 2003, as well as rules for national correction and amendments of the criminal code and of the code of criminal procedure”. The parliamentary ratiVication procedure was begun with the submission of the bill A.C. 2551 by Ministers Brunetta, Alfano, Tremonti, Frattini, Maroni -‐ laid the foundations to strengthen, consistently with the deep process of renewal of the Public Administration started by the Government, the system to protect integrity and fairness of the administrative action.


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The ratiVication of the UN Convention took place when the Legislature was carrying out an extensive and incisive reform and reorganization policy of the structure of the Public Administration to defend the integrity, legitimacy, proper and fair operation and efViciency of administrative policies, as enshrined in the Constitution. In this context, the provision in art. 6 of the ratiVication law, entitled “National Anticorruption Authority”, takes on considerable signiVicance. It intends to enforce the Convention provision under which States shall ensure the existence of one or more bodies with speciVic competences and tasks in the Vield of corruption prevention. In accordance with above mentioned article of the Convention, the Parliament appointed as National Authority, “the subject on whom the competences of the High Commissioner for the prevention and Fight against corruption and other forms of offences in the public administration were devolved, under article 68, paragraph 6-‐bis, of the decree-‐law No. 112 of June 25, 2008, passed with amendments as law No. 133 of August 6, 2008”, that is to say, in the light of the current organizational structure resulting from the regulatory framework in force, to the Department of the Public Administration that has been operating through S.A.eT.


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The guarantee, explicitly provided for by legislators, that this unit carries out its activity concretely as an autonomous and independent body, exceedingly strengthens the national activity in this speciVic matter, as it is already the case in other Countries that provided for an Authority “close to” the Executive Power. This choice is deemed to be opportune for two reasons: the National Anticorruption Authority will beneVit from the strength and the commitment of the Government and, in particular, from the role of the Minister for Public Administration and Innovation in this speciVic matter; while at the same time, it will be thus possible to avoid the functional and economic conditioning several High Commissioners for the Vight against corruption deplored in the past. The network-‐like organizational model Hub&Spoke chosen for the National Anticorruption Authority, just permits to maximize the efViciency of management on the one side, while on the other side it permitted to enhance produced synergies, particularly in the exchange of information, using the small SAeT unit as a hub and promoting, with memoranda of understanding and agreements with a variety of institutions, the spokes, access to the know-‐how of Italian and foreign stakeholders.


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NATIONAL ANTICORRUPTION AUTHORITY. The ratiVication of the UN Convention took place when the Legislature was carrying out an extensive and incisive reform and reorganization policy of the structure of the Public Administration to defend the integrity, legitimacy, proper and fair operation and efViciency of administrative policies, as enshrined in the Constitution. This marks a real turning point for Italy with regard to the lawfulness and legitimacy of administrative actions with appropriate and effective instruments suitable to preserve it from illicit phenomena. In this context, the provision in art. 6 of the ratiVication law, entitled “National Anticorruption Authority”, takes on considerable signiVicance. It intends to enforce the Convention provision under which States shall ensure the existence of one or more bodies with speciVic competences and tasks in the Vield of corruption prevention. In accordance with above mentioned article of the Convention, the Parliament appointed as National Authority, “the subject on whom the competences of the High Commissioner for the prevention and Fight against corruption and other forms of offences in the public administration were devolved, under article 68, paragraph 6-‐bis, of the decree-‐law No. 112 of June 25, 2008, passed with amendments as law No. 133 of August 6, 2008”, that is to say, in the light of the current organizational structure resulting from the regulatory framework in force, to the Department of the Public Administration that has been operating through S.A.eT.


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The Department of Public Administration was then established as the Anticorruption National Authority, in conformity with Art. 6 of the UN Convention, adding thus an important instrument to our system in the Vight against corruption. The guarantee, explicitly provided for by legislators, that this unit carries out its activity concretely as an autonomous and independent body, exceedingly strengthens the national activity in this speciVic matter, as it is already the case in other Countries that provided for an Authority “close to” the Executive Power. This choice is deemed to be opportune for two reasons: the National Anticorruption Authority will beneVit from the strength and the commitment of the Government and, in particular, from the role of the Minister for Public Administration and Innovation in this speciVic matter; while at the same time, it will be thus possible to avoid the functional and economic conditioning several High Commissioners for the Vight against corruption deplored in the past. The Department of Public Administration, established as the Anticorruption National Authority, may use during 2011 a budget dedicated to prevention of corruption: in fact, on 2010, July 15th, the Italian Senate approved the anti-‐crisis act, introduced by the Government, aiming at implementation of anti-‐corruption policies through the designation of funds amounting to 2 million euro.


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Italy is also fostering the prevention of corruption, by adopting measures aimed to reducing the discretion of public ofVicials which, when superVluous, may become breeding ground for corruption and maladministration. Among these measures it is worth mentioning: 1. Conference of Services Article 49, L.D. n. 78 of 31 May 2010, converted into law with amendments by Law n° 122 of 30 July 2010 Article 1, paragraph 1. The important amendments to the discipline of the Conference of services Vinally provide certainty as to the time required to complete procedures: they put an end to an age-‐old problem that has been the cause of major delays and even of “forestalling” the authorization procedures for businesses due to the slow pace or paralyzing attitude of some administrations (in particular those that have the task of protecting sensitive interests).


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2.  Reporting the start of a business (Article 49, paragraph 4 bis and 4 ter, Law Decree n° 78 of 31 May 2010, converted into law, with amendment, by Article 1, paragraph 1, Law n° 122 of 30 July 2010).

In order to start a business, instead of the multitude of authorizations that were required up to recently, from now on it will be enough to submit a certiVied statement of the start of the business. A simple notiVication with attached self-‐certiVications or statements by technical experts certifying that all legal requirements are in place (the cases where environmental and landscape restraints, public security, as well as obligations laid down in Community regulations are not included).

If the Administration Vinds that the business does not have the requirements envisaged by law, it may suspend business for 60 days or request that the business take action to fulVill the requirements. Thereafter, the Administration may intervene only in case of severe and irreparable damage to the artistic and cultural heritage, to the environment, to health, to public security or for reasons of national defence. Penalties of up to three years of imprisonment are envisaged for individuals who make false statements, unless a more severe offence is involved.


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3.  SimpliVication e PMI (Article 49, paragraph 4-‐quater, Law Decree n° 78 of 31 May 2010, converted into law, with amendments , by Article 1, paragraph 1, Law n° 122 of 30 July 2010).

For the Virst time the principle of proportionality is introduced in administrative procedures in Italy. It is envisaged that the Government should adopt, also on the basis of the activities for measuring administrative burdens, speciVic regulations for small and medium sized enterprises that create an atmosphere that is conducive to them.

4.  One-‐stop-‐desk for productive activities (D.P.R. n° 160 of 7 September 2010). The one-‐stop-‐desk for productive activities, accessible electronically via the portal

www.impresainungiorno.it, is the single point of contact at the local level for all formalities relative to the operation of businesses: point of access and of response for businesses where a single and timely electronic response is given instead of having to access all the public administrations involved in the procedure, including those that have the task of protecting sensitive interests. Existing administrative procedures are simpliVied and computerized.


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5.  Agency for businesses (D.P.R. n° 159 of 9 July 2010). The “Agencies for businesses” shall be set up, these are private accredited bodies that

can be addressed by businesses to carry out all the formalities relative to the documentation to be submitted to the SUAP. In the case of “restricted” activities of the P.A. the Agencies issue a statement of conformity which is the equivalent of an authorization.

6.  SimpliVication of procedures for issuing landscape authorizations (Light interventions.

D.P.R. n° 139 of 9 July 2010). The issuing of landscape authorizations is easier for the 39 light interventions described

in the Regulation (e.g. small expansions; demolition and reconstruction of a building without changing shape and volume; works on facades and roofs of buildings; building or modifying garages; adding rooms to houses for a volume up to 10% of the original volume and not more than 100 cubic metres, installation of solar, thermal and photovoltaic panels that entail changing the aspect of places or of the external appearance of buildings etc.). Applications for authorization forwarded electronically need be accompanied only by one simpliVied landscape report drawn up by a certiVied expert. The procedure is completed within 60 days from the date of receipt of the application.


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7.  Free house building (Article 5, Law Decree n° 40 of 25 March 2010, converted into law, with amendments, by Article 1, paragraph 1, of Law n° 73 of 22 May 2010).

Minor housing interventions, namely ordinary and extraordinary maintenance, such as the removal of architectural barriers, are radically simpliVied. For instance, for ordinary maintenance it is no longer necessary to apply for an authorization or make any report; to open doors in a wall or shift walls that do not involve the structural elements of the building the user must merely make a statement, also forwarded via email, accompanied by a report drawn up by a certiVied expert.

8.  Certainty of time in case of expert advice and technical evaluations (Article 8, Law n° 69 of

18 June 2009) and protection of parties involved in administrative procedures that come under the jurisdiction of Regions and Local Bodies (Article 10, Law n° 69 of 18 June 2009).

Consulting activities for the preliminary steps of an administrative procedure, by reducing to twenty days the deadline for obtaining compulsory and optional expert opinions. Furthermore, with regard to access, the procedure for the re-‐examination of expressed and tacit refusal is simpliVied. The scope of Law n° 241 of 1990 on administrative procedures is extended to include also the administrative functions exercised by public companies. Furthermore it is speciVied that the provisions governing participation in the procedure, identifying the person in charge and the deadlines for completing the procedure, access to the documentation, SCIA and ‘silence-‐approval’ (the PA’s failure to respond is tantamount to approval) are all essential steps.


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9.  Time-‐saver (Article 7, Law n° 69 of 18 June 2009). Starting from 4 July 2010 the deadlines for completing administrative procedures are

30 days, unless otherwise stated by legal provisions or ad hoc regulations. In any case, the deadline shall not exceed 90 days.

Only in cases of exceptional complexity of the procedure can the maximum deadline be extended up to 180 days. For State administrations that have not adopted the regulations, the deadlines in excess of 180 days are “automatically” reduced to 30 days as a result of the “guillotine” time-‐saver effect. Failure to issue the measure within the deadlines is an element for the assessment and responsibility of managers. Moreover, if the administration does not comply with the envisaged deadline, and such noncompliance produces damaging effects,, in case of malice or gross negligence compensation for damages is envisaged. With the amendments to article 54 of the CAD, a database of administrative procedures shall be set up with the Department for Public Administration which will make available in a single point on the website, all the information about deadlines, the people in charge of the procedures and the duties to be fulVilled by citizens and businesses. In this way comparisons can be made among the various administrations as to the time required to complete procedures and fulVil duties.

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10.  Direct delivery of the DURC by issuing body (Article 16-‐bis, paragraph 10, Law Decree 29 November 2008, n. 185, converted into law, with amendments , by Article 1, paragraph 1, of Law n° 2 of. 28 January 2009).

Public Tender Authorities (Procurement ofVices) shall receive the DURC (statement on regular payment of social security contributions) directly from the issuing institutes and bodies, also via email, in the cases in which this is required by law: businesses will no longer be asked to submit the DURC themselves. Savings are estimated to be some 16 million euro per year.

11.  Legal value of electronic media (art. 16, paragraph 12, Law Decree 29 November 2008,

n. 185, converted into law, with amendments , by Article 1, paragraph 1, of Law n° 2 of. 28 January 2009).

Recourse to electronic management of documents is enhanced by envisaging that the copy or electronic medium should replace the original paper documents (analogue document) for all legal intents and purposes provided that conformity be certiVied by the person in charge of conservation through digital signature. With respect to existing legislation, the distinction between single original and non single original copies is abolished which also does away with the need to authenticate the document by a notary public or other public ofVicer. Some exceptions are envisaged for some types of documents.


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12.  Abolition of the book of shareholders and of the duty to provide the list of shareholders (art. 16, paragraph 12 bis, Law Decree n° 185 of 29 November 2008, converted into law, with amendments , by Article 1, paragraph 1, Law n° 2 of 28 January 2009)

Some amendments to the Civil Code simplify the way in which Company books, accounts and other company documents are to be kept. The paper document shall be replaced by an IT document which has the same legal value. The obligation of keeping a book of shareholders for limited liability companies is abolished. As a consequence that transfer of shares produces its effects starting from the time when the deed is deposited with the Register of Companies (instead of the time when the shareholder is registered). Also the duty of forwarding the list of shareholders and of other holders of rights on the company equity with the last approved Vinancial statements is abolished.

13.  Single labour book (Article 39, Law Decree 25 June 2008 n. 112, converted into law, with

amendments, by Article 1, paragraph 1, Law 6 August 2008, n. 133) Except for the employers of domestic helpers, all other employers shall adopt the single

labour book which replaces the matricula book, the payroll, the true copies and all the duties related to them. The single book, in force starting from February 2009, is much simpler: it can be kept as an IT book and can be submitted by fax or e-‐mail, the daily notes are now monthly, and the book is to be kept for Vive years (instead of ten as was required in the past). This measure has entailed an estimated saving of 3.6 billion euro per year.


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14.  SimpliVication of the discipline for installing utilities systems in buildings (Article 35, Law Decree n° 112 of 25 June 2008, converted into law, with amendments, by Article 1, paragraph 1, Law n° 133 of 6 August 2008)

All the useless red tape of the discipline on this area has been eliminated. In particular, it is no longer required to keep the administrative and technical documentation, as well as the booklet on use and maintenance. It is no longer required to attach the energy certiVicate to real estate conveyance deeds if the property is endowed with it.

15.  A company in one day (Article 38, Law Decree n° 112 of 25 June 2008, converted into law,

with amendments , by Article 1, paragraph 1, Law n° 133 of 6 August 2008) In order to simplify procedures for starting a business, the discipline on the one-‐stop-‐

desk for entrepreneurial activities and the Agency for Businesses is to be reorganized and simpliVied by the adoption of the regulations described above.


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GREEN PROCUREMENT. A proposal -‐ two-‐year implementation and 600 thousand dollar Vinancing -‐ submitted by the National Anticorruption Authority, together with Transparency International, FORMEZ and other partners, with regard to GREEN PROCUREMENT, was chosen among 39 projects selected worldwide by the World Bank valid for the Siemens Integrity Fund. PUBLIC ETHICS IN THE SOUTH: IMPROVING PERFORMANCE, INCREASING TRANSPARENCY WITH NEW TECHNOLOGIES. The participation together with FORMEZ in this project amounting to 4.5 million euro for the PON (National Operational Plan – Tr.’s note) Governance and Technical Assistance (ERDF) 2007-‐2013, aiming, among various envisaged lines of action, to develop a model for the mapping of corruption risks. TWINNING PROJECT IN CROATIA. Financed by the Commission of the European Union for 900.000 Euros and promoted together with the Italian Government and French Ministries of Justice in order to strengthen – in agreement with the Croatian Ministry of Justice – the efVicacy of prevention measures against corruption in that Country. Italy as “junior project leader”, participates with experts from the Prime Minister’s OfVice, FORMEZ as well as other Italian public administrations.


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CIVIC EVALUATION At the end of 2008 a pilot initiative, named “Civic Evaluation”, was launched by the Department of Public Administration and Innovation in partnership with the NGO Cittadinanzattiva. The general aim of this project, which is quite innovative within the context of the Italian public administration, is to promote wide collaboration between public administrations and citizens (users) in assessing public services. The citizen involvement starts from the very beginning, as the “point of view of the user” is taken as a “standpoint” to answer the following questions: What is the user’s perspective on how the services should be provided? Which are the most signiVicant dimensions and indicators of a service? The Civic Evaluation initiative goes beyond customer satisfaction, as it focuses on the actual quality of the delivered services. The initiative should not be regarded as a completely structured assessment, aimed at evaluating the quality of public services or as a sort of inspection. It is more a shared evaluation performed by citizens, in partnership with administrations and civic associations, in which the co-‐ordination and mediation role of the civic association is seen as strategic.


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TRANSPARENCY FIRST. The question of transparency as an antidote to corruption is a priority issue in these three years, when was provided a series of provisions aimed at ensuring full access to information concerning all aspects of the organization and activity of each administrative structure. Decree n° 206 of 18 December 2009 (Hours during which an ofVicial doctor can call on an employee on sick leave). Circular n° 7/2009 (Checks on employees on sick leave). Circular n° 9/2009 (Disciplinary measures). Circular n° 1/2010 – Department for Public Administration and Digitization Department (On-‐line submission of medical certiVicates). Circular n° 1/2010 -‐ Department for Public Administration (Transparency Operation). Circular n° 1/2010 -‐ Digitization Department (Use of PEC). Circular n° 2/2010 -‐ Department for Public Administration and Digitization Department (On-‐line submission of medical certiVicates. Further indications). Circular n° 7/2008 (Sickness absence of civil servants).


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The establishment of the “Committee for the assessment, transparency and integrity of Public Administrations” (CIVIT), under Article 13 of Law Decree n° 150/2009 (Brunetta Reform), settles the problems related to meritocracy, evaluation, efViciency and transparency once and for all (Title II of the same Law Decree). CIVIT has the responsibility of guiding, coordinating and supervising the independent exercise of the assessment functions, of guaranteeing the transparency of the assessment systems, and of ensuring the compatibility and visibility of management performance Vigures. Every year CIVIT reports to the Minister for the implementation of the Government plan on the activities carried out. The Law envisages the establishment of a Section for Integrity in public administrations within the Committee with the aim of facilitating the diffusion of lawfulness and transparency across public administrations and of developing interventions conducive to the spreading of a culture of integrity. The Section shall promote transparency and integrity in public administrations and for this purpose it shall draw up guidelines for the Three-‐year Integrity and Transparency Plan, it shall check to see that the Plan is adopted and it shall monitor each administration on their compliance with the transparency obligations. Sanctions have been established for managers in cases of non-‐compliance or implementation failures.


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CIVIT draw up guidelines for the Three-‐year Integrity and Transparency Plan, enhancing one of the models most effective results in recent years, the one adopted by the Revenue Agency, a non-‐proVit public body carrying out all functions regarding management, assessment and Viscal cases of taxes. The Agency is subject to the supervision of the Ministry of the Economy and Finance that maintains control over policy line. The Agency is organized into central and regional departments. The Central Directorate for Auditing And Security, also through regional departments, provides for protection from managerial risk, including those related to corruption and fraud; ensures the implementation of the subsequent prevention measures, giving advice to the structures involved; performs monitoring of administrative and accounting procedures and conducts surveys to ascertain that the ofVices are operating in compliance with applicable regulation. This Directorate guarantees also the appliance of additional measures that have preventive effects on corruption; in fact, several and random periodic checks are also made in order to ensure the Videlity of personnel toward public administration.


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The audit model adopted by the Revenue Agency , is based on usually three milestones: 1. Risk analysis. It consists in the activity aimed at the identiVication of risks in a speciVic process, in order to improve the controls to mitigate the risks. 2. Control Risk Self Assessment. This innovative approach for Government Sector consists of a formal documented process in which the management:

a.   assesses risks that may affect the Agency objectives b.   examines internal control in terms of design and effectiveness c.   plans new corrective actions to reduce risk impact

3.  Compliance audit. It is a routine activity trough which the internal auditors are tasked with assessing and monitoring risks, determining whether policies and procedures are being followed, recommending ways to improve organizational efViciency and effectiveness, and ensuring that the controls in place are adequate to mitigate the risks. Considering the excellent experience and the beneVits coming out from the internal auditing presence, Revenue Agency has showed the positive aspects through the spread of its own audit model to other Public Administrations such as “Agenzia delle Dogane” (Custom Agency), “INPS” (National Insurance Institute) and “INPDAP” (National Insurance Institute for Government Sector)” that were interested in audit activities in order to improve their own transparency and efViciency level. In conclusion, the audit model developed by the Revenue Agency is based on a cutting edge approach and on a continuous development of methodology, which allows to adapt such model to the requirements of other organizations.

THE ITALY “BRUNETTA” REFORM

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The Delegated Law n. 15 of 4 March 2009 and the implementing Legislative Decree of October 9, 2009, have paved the way for a comprehensive revision of all aspects related to the civil service model, with a view to improving labour productivity as well PA as efViciency and transparency. The Decree involves Vive areas: 1. MERIT: a reinforced selection mechanisms for economic and career incentives, with a view to rewarding the most worthy and skilled employees, encouraging commitment and deterring malpractices. 2. ASSESSMENT: a performance assessment system that will help Public Administrations to reorganize their activities according to set targets and to an overall enhancement requirement. “Customer satisfaction”, transparency and merit-‐rewarding will be the milestones of such a system. 3. COLLECTIVE BARGAINING: Collective bargaining provisions will be aligned with those regulating the private sector. More speciVically, supplementary bargaining and, as a consequence, additional remuneration, will be conditional on the real attainment of planned results and management savings. 4. MANAGEMENT: increased importance will be given to managers, who are now entrusted with concrete tools and who will be subject to, inter alia, economic sanctions in case of failure to comply with their obligations. Also, a set of new procedures governing the access to top echelon managerial positions has been introduced. 5. DISCIPLINE: disciplinary proceedings have been simpliVied and a catalogue of particularly severe infractions leading to dismissal has been put in place.

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OBJECTIVES OF THE REFORM 1. To improve the services of the Public Administrations according to the citizens’ perspective of their needs and expectations. 2. To improve the efViciency and value of the human resources of the PA. REFORM STRATEGY The reform strategy 2010-‐2013 rests on three pillars: 1. Modernization of the public administration : The reform, entered into force on the 15th of November 2009, encompasses a revision of all aspects related to the civil service, improves labor productivity as well as the PA efViciency and transparency. 2. Innovation and digitalization within PA and the Country : The “e-‐Gov 2012” Plan rests on 80 projects in 4 priority areas (School & Universities – Health – Justice – Dematerialization), for the implementation of online services, improving accessibility and transparency of the public administration with a view to bringing it closer to citizens and businesses. The government’s Vinancial commitment for “e-‐Gov 2012” will account for € 1,380 bl. 3. Relationship between PA, citizens and business: The aim is to design a new digital administration -‐ a PA 2.0 –capable of helping its "clients" by involving them in decision making processes. Such a new idea of democratic participation will put citizens "at the heart" of the reform process, to design a new digital administration -‐ a PA 2.0 – capable of helping its "clients" by involving them in decision making processes. Such a new idea of democratic participation will put citizens "at the heart" of the reform process.


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PRINCIPLES OF THE REFORM Transparency and integrity. 1.  The transparency operation has brought to a full disclosure of the information regarding the

organization, salaries & curricula of high level ofVicers, administration of resources and performance of the PA.

2.  The newly established Anti-‐corruption and Transparency Service (SAeT) responds to an internationally identiVied need to create a specialized technical body capable of promoting the Vight against corruption, with particular emphasis on its prevention within the public administration.

Performance evaluation. 1.  Assessment and evaluation, both of individual performance and of the organization of the

structure. 2.  The new system drastically changes the current system by deVining an outcome based approach

and independent evaluation bodies within administrations. 3.  A Commission for the evaluation, transparency and integrity has been established with the

purpose of deVining and disseminating performance-‐based quantitative and qualitative methodologies, as well as of monitoring their Implementation meritocracy and rewards.

4.  A new reinforced selection mechanism for economic and career incentives, with a view to rewarding the most worthy and skilled employees, encouraging commitment and deterring malpractices.


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PRINCIPLES OF THE REFORM Managerial responsibility 1.  Increased importance will be given to managers, who are now entrusted with concrete tools and

who will be subject to, inter alia, economic sanctions in case of failure to comply with their obligations, especially with regard to human resources.

2.  The high level ofVicers will be held responsible for the lack of control over the effective productivity of human resources as they must now evaluate and reward their employees.

3.  Disciplinary sanctions, so proceedings have been simpliVied and a catalogue of particularly severe infractions leading to dismissal have been put in place, such as: ü o in case of false declarations or false medical certiVicates, ü o unjustiVied refusal to be transferred, ü o persistent poor performance.

Collective bargaining 1.  Provisions will be aligned with those regulating the private sector. Additional remuneration will

be conditional on the real attainment of planned results and management savings. 2.  National contracts now have a three-‐year duration, instead of 4 ,and collective bargaining can no

longer change the rule of law.


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INSTRUMENTS OF THE REFORM Transparency and integrity. 1. Total accessibility to all the information concerning PA: proceedings, salaries, curricula, leaves of absence, tenders, evaluation. 2. Every administration has to adopt a three-‐year program for performance transparency and for integrity. 3. Every administration has to provide a speciVic web page on the transparency and integrity program. Performance evaluation. 1. DeVinition of objectives based on the “SMART” methodology. 2. Assessment and evaluation, both of individual performance and of structure organization. 3. Performance report, to enable internal auditing and customer satisfaction. 4. The new system drastically changes the current system by deVining an outcome based approach and independent evaluation bodies within administrations.


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INSTRUMENTS OF THE REFORM Meritocracy and rewards 1. Selective distribution of incentives through certiVied assessment systems to reward individual and ofVice performance. 2. Merit-‐based brackets for the allocation of incentives: not more than 25% of civil servants get half of the available incentives; not more than 50% the remaining half of incentives; the other 25% of civil servants gets no incentives. 3. Not more than 5% of the civil servants who are in the highest bracket can obtain an additional annual bonus for excellence. 4. Annual award for innovation. 5. Wage increase based on merit. 6. Access to high level training, professional growth, higher assignments. Managerial responsibility 1. The manager is a “public employer”, he must be autonomous and responsible for managing human resources. 2. He must evaluate and reward his employees. 3. He must be held responsible for lack of control over the effective productivity of human resources.


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INSTRUMENTS OF THE REFORM Personnel mobility. 1. Personnel mobility procedures have to be based on employee’s proViciency and on objective criteria ensuring transparency of the decisions. 2. The procedure can be activated only upon Manager’s approval.

Disciplinary sanctions. Optimize the level of efViciency in Public OfVices and Fight low productivity and absenteeism in the Public Sector. So, in case of false declarations or false medical certiVicates: 1. the civil servant will be dismissed and will have to refund the administration 2. the doctor will be struck off the medical register and if he is employed by the National Sanitary Service will be dismissed. Other misconduct leading to dismissal: 1. reiteration of absence without leave behaviour; 2. unjustiVied refusal to be transferred ; 3. false documentation or declarations when applying for a job or for a promotion; 4. aggressive or offensive conduct; 5. conviction of offense against public administration or other serious offense; 6. perduring poor performance.


THE ITALY “BRUNETTA” REFORM MODERNISATION OF THE PUBLIC ADMINISTRATION

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The reform is in line with an international trend to enhance public administration performance and reinforce service delivery. The analysis of the reforms in other countries provided a benchmark.

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The Italian Public Administration has “shadows” and “lights”. The so called “Transparency Operation” is meant to highlight both aspects so as to thwart inefViciency and reward merit. 1. It aims at guaranteeing citizens and enterprises a more efVicient public service, better quality of services and strengthen citizens trust in public institutions. 2. It represents one of the lines of intervention upon which the upgrading of the Public Administration is based. 3. Actions such as, inter alia, monitoring civil servants’ absenteeism or disclosing the salaries of public managers and consultants, are aimed at ensuring visibility to provide citizens with control and protection tools making them more aware of the mechanisms underlying Public Administration functioning and its administrative costs.


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The Italian Public Administration has “shadows” and “lights”. The so called “Not only idlers” (“Non solo Fannulloni”) Initiative aims at identifying and publicizing Public Administration success stories to increase citizens’ trust in Public Administration as well as making a Virst step towards a recognition of merit and Administration, performance-‐based bonuses and incentives. A series of measures, namely: 1. the disclosure of public administrations good practices on the Ministry for Public Administration and Innovation website; 2. a “competition” to identify and reward the best achievements that public administrations have accomplished; 3. a thorough diffusion of the best results achieved to the beneVit of other administrations.


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The “Transparency Operation” has been launched as a Virst step towards a more transparent administration. The publishing of data concerns: 1. Consultants and freelancers; 2. Contracts awarded to civil servants; 3. Union secondments; 4. Time off work for unions activities or for elected public ofVice; 5. Salaries, curricula, assignment, phone numbers, and e-‐mails of public managers; 6. Public Administration success stories; 7. Leaves of absence and absence monitoring: absenteeism is a scourge that affects Public Administration because it worsens service quality, reduces productivity, rises costs, damages the image of public administration and of all the civil servants who work hard. Aware of such criticality, the Government has acted decisively on this issue through an awareness raising campaign undertaken alongside a series of regulatory initiatives (Law 133/2008 art.71) aimed at deterring the recurrent resort to periods of fake sick leaves. The outcome of these provisions has been monitored through a monthly statistical surveys. The increase of civil servants’ presence in public ofVices has entailed more and better services as well as fewer queues, more employees on call, less ofVices having to close because of staff shortage, etc.


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The i-‐Economy/i-‐Society Plan will disseminate and encourage innovation, enhance public-‐private cross-‐fertilization, remove obstacles to technological transfer and increase technological scouting. The priority areas of intervention will be energy efViciency, ICT, media and digital content, infomobility, design and biomedical. Ad hoc initiatives have been already put in place. More speciVically, the "Premio Nazionale per l'Innovazione ("National Award for Innovation") aims at rewarding innovation best practices in the areas of industry and services, design, Public Administration, Universities and the tertiary sector; the "Italia degli Innovatori" ("Italy of Innovators") Initiative , on the other hand, will bring Italian technological excellence concerning citizens and cities The Government has introduced a Multiannual Plan (“i2012 – Innovation Strategies”) resting on Public Administration (e-‐Government), on the one hand, and economic and social sector (i-‐Economy/i-‐Society), on the other hand.

THE ITALY “BRUNETTA” REFORM INNOVATION AND DIGITALISATION WITHIN THE PA AND THE COUNTRY

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THE ITALY “BRUNETTA” REFORM INNOVATION AND DIGITALISATION WITHIN THE PA AND THE COUNTRY

As far as the e-‐government plan ("e-‐Gov 2012") is concerned, the following priorities have been set out: 1. Schools and Universities: innovate the educational and teaching architecture of Italian schools, improve communication between schools and families (digital blackboard, electronic reports and class e-‐register); 2. Health: the Plan will increase service quality and reduce public expenditure associated with the delivery of health services (ehealth records, digital prescriptions and medical certiVicates); 3. Justice: the digitalization of proceedings will lead to a simpliVication of notiVications and access to procedural documents for citizens and lawyers (electronic notiVications of communications and procedural documents, online certiVicates of criminal records, electronic transmission of notitiae criminis); 4. Dematerialization and reduction of red tape within PA, thanks to the digitalization of management and Viling process and to the implementation of the Public Connectivity System on the International Stage at the 2010 Expo in Shanghai. The government is also promoting training, new professional proViles and talents while widespreading participatory democracy and ITC literacy, promoting the open source software and the reuse of ITC facilities. Against this backdrop, particular emphasis will be given to measures carried out by the Italian Agency for Technological Innovation, the institutional body for the promotion and dissemination of innovation nationwide.

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A set of to-‐be-‐adopted legislative initiatives, alongside a series of existing, fully-‐functioning projects, will improve tape for the beneVit of the most disadvantaged social groups (the disabled and their family). The aim is to design a new digital administration -‐ a PA 2.0 – capable of helping its "clients" by involving them in decision making processes. Such a new idea of democratic participation will put citizens "at the heart" of the reform process. The main legislative initiative regards the introduction of the "Charter of duties of Public Administration" (Carta dei doveri della pubblica amministrazione), that is now approved by Parliament in the last Mr. Berlusconi Government meeting. The Charter will help to enforce citizen's rights and duties of public administrations vis-‐à-‐vis citizens and business. This, in turn, will boost cooperation and mutual understanding. The initiative follows a process of renewal of the PA-‐citizens relations which is already consolidated within the framework of two legislative milestones: the Italian Constitution and the EU law.

THE ITALY “BRUNETTA” REFORM RELATHIONSHIP BETWEEN

THE PA, CITIZENS AND BUSINESSES

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Thanks to the certiVied e-‐mail (PEC from the Italian acronym of Posta Elettronica CertiVicata) the interaction between citizens, Public Administrations (PAs), Professionals and Companies is simpliVied because any user, from any online computer, can comfortably send letters and documents that previously could only be processed by Post OfVices. The CertiVied e-‐mail accounts allow for: 1. T h e e l e c t r o n i c m a n a g e m e n t o f communications and documents that are now certiVied and traceable, therefore enjoying full legal validity, from your own computer; 2. A reduction of time for transactions that previously required physically accessing a Post OfVice; 3. A reduction of costs for both citizens and end users and important savings for the Pas; 4. A “read return receipt” option that will not only conVirm delivery but also the actual “reading” of the e-‐mail from the addressee.



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Through “Friendly Networks” the relationship between citizens and Public Administration becomes more friendly and efVicient because: 1. the number of access points to the services increases, thus eliminating queues and creating competition; 2. services provided by different administrations are offered; 3. everyone is able to access PA services through modern infrastructures; 4. public ofVices are relieved of users congestion, allowing more time and resources for new services.

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A PA closer to citizens is ready to answer, inform, help. With “Friendly Line” you can call just one number to: 1. be rapidly forwarded to the toll free n u m b e r o f t h e a p p r o p r i a t e administration; 2. be guided through all the portals and s e r v i c e s o f f e r e d b y c e n t r a l administrations; 3. obtain information or be recalled if the problem cannot be solved immediately; 4. complain for bad service and express your evaluation for every speciVic relationship with PA; 5. receive assistance in the case of disadvantaged situations (blind, deaf).

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Assessing citizen-‐customer satisfaction is the most important standard to improve the quality and efVicacy of PA action. Through the “Show Your Face” initiative you can: 1. assert YOUR central role in the relationship with PA; 2. h e l p u s a s s e s s o u r o f V i c e s functioning; 3. contr ibute to ident i fy YOUR priori t ies and weak points o f administrative processes; 4. make the relationship with the PA more transparent and participatory.

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THE SO-‐CALLED ANTICORRUPTION BILL

The so-‐called “anticorruption bill” approved by the Government on the 1st March 2010 (A.S. 2156) adopts the renewed prevention commitment required by the UN Convention against corruption. In this perspective, following measures should be considered: 1. the National Anticorruption Plan, to be developed according to an engaging system rationale enhancing the peculiarities of Public Administrations and promoted thanks to the network that shall be naturally built among the persons in charge in the various Administrations; 2. the Observatory on corruption phenomena which, due to this better systematization, can effectively play a driving role for a more faithful and accurate interpretation of the phenomenon; 3. transparency, simpliVication and reduction of costs particularly with regard to procurement, as agreed with the competent Ministries.

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THE SO-‐CALLED ANTICORRUPTION BILL

Monday, September 27 2010, the majority speaker has tabled an amendment to the anti-‐corruption law, aimed at further strengthening the Government's strategy in this area. In particular, whistleblowing and revolving doors provisions were included, while the system has been upgraded to prevent conVlicts of interest. To the Anticorruption bill (A.S. 2156) states that employees who, during the last three years of service have exercised authoritative or negotiation powers on behalf of the Public Administrations shall not, during the three years following the date when they step down from their position in the Civil Service, work for private entities that are recipients of the activity of the Public Administration carried out by virtue of those same powers. So, during the parliamentary procedure to pass the bill, it shall be possible to introduce further improvements aiming at implementing in our legal system some of the recommendations and requests from the International Working Groups we participate in: in particular, the RatiVication of the other Convention of the Council of Europe against corruption with regard to which necessary bills were submitted and, then, lobbying, trading in inVluence, private corruption and concussione.

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Thank You for your kindly attention

Colonel of Carabinieri Corps Maurizio Bortoletti Extraordinary Commissioner -‐ Health Public Company in Salerno MAILBOX : [email protected] DIRECT PHONE 0039 089-‐693647, 693648. FAX : 0039 089 251629. MOBILE 00393313681980

The Vight against corruption, between prevention and repression in the light of the above OECD and GRECO evaluations: modernization of the public administration and so-‐called anticorruption bill.

bortoletti, pharmaceutical compliance congress, fight against corruption, budapest, 15 maggio 2012

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