7th OECD Regional Policy Network Meeting on Sustainable Infrastructure - Mr. Luca Fontana, Director, Engineering and Construction Business Unit, Autostrade per l’Italia

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1
Luca Fontana
EVP Capex Investments
Monitoring of Third Parties
Governance, Case Study
(Protocols of Legality)

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MONITORING OF 3rd PARTIES: OUR MODEL
The objective of the Model is to identify, evaluate and define adequate response strategies
with respect to the risks deriving from exposure to relationships with Third Parties.
In particular, given the numerous risks to be taken into consideration, the ASPI Model is
developed according to a risk-based approach, aimed at optimal risk management with its
counterparties.
It entails
➢ a coordinated business strategy;
➢ governance structures and clearly assigned responsibilities;
➢ formalized processes/procedures and supporting systems.
Third Party Risk Management
Census of Third Parties, segmented
by intrinsic risk, specifically
identifying those that present
potentially critical elements
Identification of
“Third Party Population”
1 Issue Management
Risk assessment of issues identified as part
of Third Party monitoring activities.
Definition of the issue management
process and cases of involvement of the
appropriate governance bodies (escalation).
Traceability of information regarding issues
resolved, accepted with reservation, still
open or unresolved.
Assessment
2
3
Key
Elements
Third Party Analysis also through
effective planning of checks,
coordinating with the other actors in
the evaluation system.

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MONITORING OF 3rd PARTIES: OUR FRAMEWORK
III Level Controls
II Level Controls
I Level Controls
(Pubblico / Privato)
IT SYSTEMS
COMMITT-
MENT
GOVERNANCE
PILLARS
Audit
Risk, Compliance, HSE
Pre-contract
activity
Post-contract
activity
Technology
1Onboarding
2Award
3Execution
Monitoring
4Termination
ARTIFICIAL
INTELLIGENCE
SYSTEM FOR MONITORING OF THIRD PARTIES
Raise awareness among
stakeholders of the need for
integrated management of
third parties
Promote free competition and
equal treatment in the choice
of Third Parties
Ensure the monitoring of Third
Parties, minimizing impacts on
operations and business
Stabilize ASPI's supply chain
through continuous monitoring
of Third Parties
Establish relationships with
Third Parties inspired by
loyalty, correctness,
transparency and efficiency
Enable continuous
improvement of Third Party
performance
CONTINUOS
MONITORING
INTEGRATED
CONTROL
SYSTEM
PRIVATO
Operating Units
PUBBLICO
Operating Units

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DATA IN 06/05/22
PROTOCOLS OF LEGALITY – REGULATORY FRAMEWORK
The legal framework for protocols of legality is composed of a series of legislative and regulatory provisions, including:
• The Public Procurement Code (d.lgs. 50/2016), which provides for the possibility for contracting authorities to include specific clauses in tender
documents for the prevention and repression of mafia infiltration.
• The Anti-Mafia Code (d.lgs. 159/2011), which provides a series of preventive and repressive measures to combat mafia infiltration in the economy and
in the public administration.
• Law 190/2012, also known as the Severino Law, which provides for ineligibility, forfeiture, and disqualification from public office for individuals
convicted of crimes against the public administration.
In particular, Article 97 of the Public Procurement Code provides that contracting authorities may include clauses in tender documents that require
economic operators to:
• Identify and implement measures to prevent and combat attempts at mafia infiltration in the processes of awarding and executing public contracts.
• Report to the contracting authority any information or suspicion of mafia infiltration.
• Suspend or terminate the contract in the event of confirmed mafia infiltration.
Protocols of legality are agreements that contracting authorities may conclude with the prefecture and the general contractor to define the methods for
implementing the measures to prevent and combat mafia infiltration in public contracts.
Protocols of legality must comply with the legal framework and must include, in particular, the following measures:
• A system for monitoring and controlling the subjects involved in the tender process and the execution of the contract.
• A system for reporting any suspicions of mafia infiltration.
• A system of sanctions in the event of violation of the measures provided for in the protocol.
Protocols of legality are an important tool for preventing and combating mafia infiltration in public contracts. They help to strengthen transparency and
legality in the tender process and the execution of public contracts, and to protect the public interest.

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PROTOCOLS OF LEGALITY – REQUIRED ACTIVITIES
In order to pursue the objectives of the protocols of legality signed with the competent Prefectures, it is required to carry out the following additional
activities, through one or more internal company representatives.
1) Monitoring Activities
• Guarantee the continuity of information flows on public contracts to the institutional control bodies, primarily through:
o Establishment, implementation, and management of a dedicated anti-mafia database (consisting of an "executors' register" and a "Weekly
journal for site or sub-site");
o Participation in "Control Rooms" and "Monitoring Tables" established at the competent Prefecture;
o Preparation, on a periodic basis, of reports on its monitoring activities.
2) Preventive Activities
• Ensure the implementation of the provisions included in the protocol, primarily through:
o Preparation of a "Coordinated Control Plan for the Site and the Sub-site", monitoring its implementation and management by the
contractor and sub-contractors during the construction phase of the work;
o Inclusion in its contracts/conventions of clauses aimed at observing specific provisions on anti-mafia checks and illicit interference for
corrupt and mafia purposes.
3) Repressive Activities
• In the event of non-compliance with the obligations in the protocol by economic operators, provide for an appropriate sanctioning system in the
contract:
o Monetary penalties proportional to the amount of the contract or the related sub-contracts, in the event of failure to communicate the
requested data;
o Express and automatic termination of the contractual relationship, revocation of the award or authorization for sub-contracting, in the
event of repeated non-compliance with communication or the occurrence of a prefectural ban on an economic operator.

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PROTOCOLS OF LEGALITY – SYNOPSIS
ACTIVITY DESCRIPTION
Antimafia Database Preparation and implementation
Contracts/Subcontracts Data Transmit information to Prefecture
«Control Rooms» Attendance
Monitoring Tables
Attendance
Reports on Monitoring Activities Periodic preparation and issue to Prefecture
Coordinated Control Plan for the Site
and the Sub-sites
Preparation and monitoring
Contractual clauses Inclusion in tender documents and contracts
Sanctions Inclusion in tender documents and contracts