Compliance and integrity management

A.Y. 2019/2020
Overall hours
Learning objectives
The course aims to define, in the light of the current regulatory framework, the logic and methods of defining control systems within institutions and enterprises, as well as between institutions, also defining the pathologies that can be created where the control systems are not designed in a manner consistent with the characteristics of institutional subjects. The problems connected with the definition of organizational control systems are useful both in the planning phase of regulations, in the development of the corporate governance body, in the functions of prevention of corrupt phenomena and protection of corporate assets, and in the development of organizational effectiveness of institutions and companies. This course is the natural technical and organizational analysis of the course of criminal procedure relating to Law 231/01.

More precisely, the course aims not only to make people learn an adequate language of an economic nature, but also to develop the knowledge relating to:
1. The operational logic of control based on regulatory compliance.
2. The bases and cases typical of corrupt phenomena.
3. Risk analysis and prevention techniques (risk management). Process analysis, risk analysis, corporate audit in its various forms.
4. The system of controls in companies, corporate governance, the organizational models of Law 231/01.
5. Corruption prevention systems in public administrations.
6. Codes of conduct.
7. Whistleblower management.
8. Diseases in control systems and the risk of control failure.
Knowledge and understanding: At the end of the course, the student will have a precise knowledge of the logic of control systems, the way they are designed and the possible pathologies that can be created in the functioning of organizations where controls are poorly set.
Expected learning outcomes
· Ability to apply knowledge and understanding: the student will have the ability to set up a control system in relation to the organizational context (business or p.a.) and the role in which it operates (professional firm, business of different sizes, public administration, etc.).
· Autonomy of judgement: ability to analyse the functionality of an internal control system.
· Communication skills: the student will learn the language of economics and compliance management, which is a useful complement to the legal language related to economic and organizational phenomena.
· Learning ability: the student will develop the ability to read in economic terms the business phenomena in order to give a correct interpretative line to the legal aspects applied in companies and public administrations.
Course syllabus and organization

Single session

Lesson period
Second semester
Course syllabus
The course is divided into five parts.
The first part is of a general nature and introduces the topic of internal controls in companies and the analysis of corrupt phenomena.
The second part develops the control techniques with reference to its different levels. In particular, general internal control models (COSO report), risk management models, project analysis and audit techniques will be developed.
The third part develops the theme of the prevention of corruption in the public sector by analysing both the reference regulations and the practices adopted by the main administrations.
The fourth part develops the theme of risk prevention in companies, analysing the regulatory references given by Law 231/01 and subsequent developments, as well as the typical practices of companies in particular with reference to the organizational models adopted and the functioning of the supervisory bodies.
The fifth part deals with further instruments adopted to prevent corrupt phenomena such as codes of conduct and whistleblowers.
Prerequisites for admission
The course is not propaedeutic. The bases of administrative law and criminal procedure relating to offences under Law 231/01 are united.
Teaching methods
Teaching is provided by means of frontal lessons on different topics. In addition to the lessons, specific testimonials will be developed for each part of the course by experts working in the field, such as anti-corruption managers of public administrations, members of supervisory bodies, auditors of companies, specialized lawyers.
Teaching Resources
Materials provided in the classroom by the teacher.
Assessment methods and Criteria
The exam consists of an oral test based on the topics covered in the course and on an essay produced by the student to deepen a topic of the program chosen by the student himself.
Lessons: 42 hours
Professor: Ruffini Renato