Strengthening the Framework on Pre‑ and Post‑Public Employment in Romania

4. Advancing implementation through integrity guidance and capacity building

Abstract

This chapter provides recommendations on supporting the pre- and post‑public employment framework through guidance and capacity building. It covers the inclusion of pre- and post-public employment activities in codes of conduct, awareness-raising campaigns, the role of organisational ethics advisers and engagement with the private sector.

Raising awareness about integrity standards, practices and challenges helps public officials recognise integrity issues when they arise. Likewise, well-designed training and guidance equip public officials with the knowledge and skills to manage integrity issues appropriately and seek expert advice when needed (OECD, 2020[1]). While “soft law” such as codes of conduct do not have as strong a deterrent effect as primary or secondary legislation (OECD, 2010[2]), such documents can be useful to raise awareness and increase understanding of integrity standards among public officials (OECD, 2020[1]). Similarly, integrity advisers play a key role in capacity building in many countries by helping to spread awareness and understanding of integrity standards within individual public institutions.

Standards of conduct in Romania are centralised. Part VI, Title II, Chapter V, Section II of the Administrative Code (Emergency Ordinance no. 57 of 3 July 2019) outlines the duties of civil servants. Many of these duties pertain to public integrity, including an impartiality requirement (Article 431), a prohibition on accepting gifts (Article 440), a requirement to use public resources responsibly (Article 441) and compliance with the legal regime of conflict of interest and incompatibilities (Article 445). Separate codes of conduct exist for members of parliament (Code of Conduct for Deputies and Senators), the government (Code of Conduct of the Members of the Romanian Government) and members of the judiciary (Code of Ethics for Judges and Prosecutors). While these documents establish high-level ethical standards, including an obligation to manage conflicts of interest, they do not specifically mention pre- and post-public employment.

Ethics advisers also support capacity building in Romania. Article 452 of the Administrative Code establishes the role of the ethics adviser, which is a three-year temporary position held by a civil servant alongside other duties. The ethics adviser is responsible for promoting integrity within a given public body. Specifically, the ethics adviser monitors the application of integrity standards in their institution, provides advice to civil servants within the institution on request, organises information sessions on integrity standards and analyses ethical complaints received from citizens.

4.1. Standard-setting bodies could strengthen prevention efforts by revising codes of conduct to incorporate new measures on pre- and post-public employment

Codes of conduct (or codes of ethics) are an important tool for consolidating public integrity standards in order to raise awareness of these standards among public officials. Detailed guidance on how to comply with existing standards, including practical examples of at-risk or undesirable behaviours, can also help public officials better comprehend abstract regulatory obligations (OECD, 2020[1]).

To this end, Romanian authorities could consider elaborating guidance on pre- and post-public employment rules in existing codes of conduct for civil servants, members of parliament, state-owned enterprises, members of the government and judges. Romania is already taking a positive step in this direction by drafting a revised code of conduct for ministers and top-tier civil servants. Any newly adopted pre- and post-public employment measures will likely be more effective if they are addressed in the relevant code of conduct for all categories of officials covered by the envisioned measures to support prevention efforts. The National Integrity Agency (Agenția Națională de Integritate, ANI) could also consider issuing guidance dedicated solely to pre- and post-public employment. Using the code of conduct and corresponding clear guidance will also be a useful clarifying measure for public officials, should Romanian authorities choose to strengthen provisions in existing legislation (as opposed to including provisions under a single law, in line with international good practice). Box 4.1 gives examples of such a document from Canada.

Box 4.1. Incorporating post-public employment into codes of conduct in Canada

In order to clarify post-public employment measures contained in the Policy on People Management and the Directive on Conflict of Interest, the Treasury Board of Canada published the Application Guide for Post-Employment under the Policy on People Management and the Directive on Conflict of Interest in 2020. This document provides further guidance for public sector management on designating at-risk positions in the context of post-public employment as required by the Policy on People Management and for public servants in complying with the rules themselves. In the latter case, the document elaborates on the limitations outlined in the Directive on Conflict of Interest and the obligations public servants must fulfil. Section 8 of the document contains four case studies describing a specific situation, factors to consider and a suggested solution in order to help public servants better grasp the post-public employment measures in place.

Source: Treasury Board of Canada (2020[3]), Application Guide for Post-Employment under the Policy on People Management and the Directive on Conflict of Interest, https://publications.gc.ca/collections/collection_2020/sct-tbs/BT22-265-1-2020-eng.pdf.

4.2. The ANI could consider further supplementing its monitoring of conflict-of-interest provisions by carrying out awareness-raising campaigns

While codes of conduct are useful in consolidating standards, they are insufficient to support implementation. Clear rules and guidance must also be accompanied by awareness-raising and capacity-building measures that familiarise public officials with their responsibilities for managing conflict-of-interest situations, including those related to pre- and post-public employment (OECD, 2020[1]).

Given that awareness of post-public employment rules in Romania is already low (OECD, 2022[4]), changes to the framework may have limited effect if active awareness-raising campaigns do not support them. If the ANI were to assume responsibility for monitoring the pre- and post-public employment system, it would also make sense for them to take the lead on informing public officials of the rules in place. Box 4.2 offers more information on similar guidance from the Finnish Ministry of Finance. To ensure they expend resources on awareness-raising effectively, the ANI could first survey public officials to identify where awareness is lowest if such data do not already exist. Based on the results, the agency could develop dedicated guidance or organise dedicated training for these officials or institutions.

Box 4.2. Issuing guidance on post-public employment in Finland

In 2022, Finland’s Ministry of Finance issued updated instructions on the post-government waiting period agreement and the organisation of duties at the beginning and end of the employment relationship that apply to all civil servants. The instructions provide more detail for both public authorities and civil servants on post-public employment measures, including organising a civil servant’s duties at the beginning of employment to address pre-public employment risks, conditions for imposing post‑public employment cooling-off periods agreements, the terms of such agreements and organising duties at the end of employment. The instructions also contain an annex with all relevant legal provisions.

Source: Finnish Ministry of Finance Instructions VN/16225/2022.

4.3. Romanian authorities could consider strengthening the role of the ethics adviser and assign them responsibility to support the implementation of pre- and post-public employment rules by providing formal advice and organising awareness-raising campaigns

A dedicated advisory function guiding public officials on ethical questions or concerns helps advance implementation (OECD, 2020[1]). Within Romania, two functions are competent within the legal framework to provide advice and guidance on integrity-related questions: the ANI under Article 13 of Law no. 144/2007 and ethics advisers under Article 452 of the Administrative Code.

For persons with top executive functions (PTEFs), Article 13 of Law no. 144/2007 could be amended to empower the ANI to offer advice upon request to high-level officials on their planned post-public employment activities. Such advice could be confidential to avoid misuse as a so-called “certificate of good behaviour” but would provide an avenue for PTEFs to seek clarification on the law’s application to their situation and request ANI advice. In addition to amending Article 13, Romanian authorities could assign additional human and financial resources to the ANI to ensure sufficient staff for the advisory function. In the event that pre- and post-public employment provisions are not streamlined under a single law, relevant guidance should be prepared that clarifies the ANI’s advisory role in relation to PTEFs.

Romania’s ethics advisers are well-placed to raise awareness of pre- and post-public employment rules and advise public officials within ministries and agencies on how to comply with these rules, given their existing responsibilities. To that end, Romanian authorities could consider assigning responsibilities to ethics advisers in the law(s). Such responsibilities could include organising targeted awareness-raising events, producing informational materials and giving advice in response to pre- and post-public employment inquiries.

For such a system to be effective, reforms to strengthen the position of the ethics adviser generally are necessary. Ethics advisers hold a temporary, non-remunerated position performed alongside other duties, which can undermine their effectiveness. Each public body is also free to define the role of the ethics adviser as it sees fit under Article 452 (4) of the Administrative Code, leading to a lack of coherence across institutions. Moreover, there is no requirement for public officials to consult the ethics adviser and the latter can only advise official civil servants, not contractual employees. Romanian authorities could therefore consider closing these regulatory gaps by making the role a formal position. Box 4.3 offers more information on the role of the integrity adviser in Greece.

Box 4.3. The role of the integrity adviser in Greece

Greece established the role of the integrity adviser in 2021 as part of broader reforms to its integrity system. Article 23 of Law 4795/2021 establishes that each ministry (with four exceptions) must establish an independent integrity adviser office and allows other public bodies to do so, provided that they are sufficiently large. A full-time integrity adviser staffs each office and may also recruit other employees. Integrity advisers must be certified by the National Transparency Authority (NTA). Positions are then filled through a competitive procedure overseen by a three-member committee consisting of officials from the NTA and those responsible for personnel management within the public body. A joint decision of the Ministry of Interior and NTA adopted in April 2023 further elaborated on the role of the integrity advisers.

The responsibilities of the integrity adviser are divided into three operational axes as follows:

1. Support axis

• Provide personalised counselling assistance on ethics and integrity issues employees face in exercising their official duties, including sexual harassment, discrimination, bullying, moral harassment and conflict of interest.

• Receive reports from the organisation’s employees about incidents of integrity violations or corruption and meditate to involve the institution's bodies or external bodies responsible for investigating them.

• Monitor the report investigation process and keep reporting employees informed.

2. Informative axis

• Inform the organisation's staff on ethics and integrity issues, as well as on the integrity adviser’s operation, responsibilities and mission.

• Plan and co-ordinate training and capacity-building actions for the organisation’s employees and the employees of supervised bodies in collaboration with the relevant training unit and external bodies providing training services such as the National Centre for Public Administration and Self-Government.

• Help formulate internal policies and develop tools to strengthen integrity and transparency, such as codes of ethics and conduct, regulations for the management of conflict-of-interest phenomena and protocols for dealing with incidents of fraud and corruption.

3. Advisory axis

• Inform and co-operate with the institution’s management, the internal audit unit and the organisational unit responsible for administrative support and human resources to develop and implement integrity policies and standards within the institution.

• Make proposals to improve prevention, deterrence and detection mechanisms for the head of the institution when it detects integrity violations.

• Prepare an annual report on the effectiveness of the integrity policies and procedures used by the body, the work performed and the progress of cases handled and submit it to the head of the organisation and the NTA.

The post-public employment restrictions laid out in Law 4622/2019 are included in the scope of the integrity adviser’s responsibilities. Hence, these officials can play an integral role in spreading awareness of post-public employment rules, advising other officials within the organisation on how to navigate them, and detecting and monitoring potential breaches of the rules. They are important in mainstreaming responsibility for upholding integrity across the public administration, complementing the NTA’s role as Greece’s central independent anti-corruption agency.

Source: Law 4795/2021 on the Public Sector Internal Audit System, Integrity Adviser in public administration and other provisions for public administration and local government.

4.4. Romanian authorities could consider adopting requirements on post-public employment for private sector actors and supporting the private sector with their implementation

Taking a whole-of-society approach to integrity policy that involves the private sector helps ensure that private sector entities are aware of their key role in safeguarding public integrity (OECD, 2017[5]). As interactions between public and private sector actors are common, including private sector actors in awareness-raising campaigns allows governments to disseminate public values and standards. Moreover, consulting the private sector in policy development, providing these entities with information on existing policies to raise awareness and working with the private sector to identify high-risk areas contribute to a more effective conflict-of-interest prevention policy (OECD, 2003[6]). The same is true for lobbying regulation and integrating public integrity standards into countries’ responsible business conduct commitments, which can also help involve the private sector in policy enforcement (OECD, 2024[7]). Given that pre- and post-public employment inherently involve contact with the private sector, any measures put in place should include a role for the private sector in raising awareness and ensuring compliance.

To facilitate the involvement of the private sector in the implementation of post-public employment measures, Romanian authorities could include a more explicit ban on hiring former officials subject to a cooling-off period or making a quid pro quo offer of employment to a current public official in the new provisions on post-public employment. Similar to the envisioned measures for public officials, a requirement for companies to sign a statement affirming that they will not hire such officials or to address pre- and post-public employment in compliance programmes could also be included. This would clarify the responsibilities of the private sector in upholding rules on pre- and post-public employment and incentivise meaningful engagement with these rules.

The onus should not, however, fall on the private sector alone. Including individuals, civil society organisations, academia and private sector actors in awareness-raising campaigns allows governments to better disseminate public values and standards (OECD, 2020[1]). If the private sector is to assume some responsibility for implementing pre- and post-public employment rules, they should receive guidance on how to do so. Therefore, the ANI and other Romanian authorities could develop capacity-building and awareness-raising campaigns targeting private sector entities. These could include broad campaigns disseminated through traditional or social media and more targeted training or workshops in specific firms or industries.

4.5. Summary of recommendations

The following table provides a detailed summary of the recommendations to the government of Romania and the ANI for supporting implementation of provisions on pre- and post-public employment through integrity advice, awareness-raising and engagement with the private sector. The recommendations contained herein mirror those contained in the analysis above.

 

Issue	Recommendations
Many public officials are not aware of the pre- and post‑public employment measures in place and may struggle to understand them in practice.	Relevant institutions could incorporate pre- and post-public employment into codes of conduct for PTEFs, members of parliament, judges and civil servants or define dedicated standalone codes of conduct focusing on pre- and post-public employment.
	Romanian authorities could strengthen the role of the ethics adviser so that it is a permanent, remunerated position. They could then require public officials to consult the ethics adviser before leaving public office. Ethics advisers could also remain available to issue pre- and post-public employment advice to public officials who seek it out. The ANI could provide similar advice upon request to high-level officials.
	The ANI could organise awareness-raising campaigns for institutions with low awareness. Ethics advisers could support in this regard by developing institution-specific initiatives and guidance.
Private sector entities may also lack awareness of pre‑ and post-public employment measures and currently face few incentives to comply with them.	Romanian authorities could introduce requirements for private sector entities to refrain from hiring former officials subject to post-public employment restrictions and address this issue in their compliance programmes. These requirements could be supported by sanctions for failing to comply, such as debarment from public procurement.
	The ANI could support regulatory changes with awareness-raising and capacity-building efforts such as media campaigns and training targeting sectors.

References

[7] OECD (2024), Recommendation of the Council on Transparency and Integrity in Lobbying and Influence, OECD, Paris, https://legalinstruments.oecd.org/en/instruments/OECD-LEGAL-0379 (accessed on 17 May 2024).

[4] OECD (2022), Evaluation of the Romanian National Anti-corruption Strategy 2016-2020, OECD, Paris.

[1] OECD (2020), OECD Public Integrity Handbook, OECD Publishing, Paris, https://doi.org/10.1787/ac8ed8e8-en.

[5] OECD (2017), Recommendation of the Council on Public Integrity, OECD, Paris, https://legalinstruments.oecd.org/en/instruments/OECD-LEGAL-0435.

[2] OECD (2010), Post-Public Employment: Good Practices for Preventing Conflict of Interest, OECD Publishing, Paris, https://doi.org/10.1787/9789264056701-en.

[6] OECD (2003), Recommendation of the Council on OECD Guidelines for Managing Conflict of Interest in the Public Service, OECD/LEGAL/0316, OECD, Paris, https://legalinstruments.oecd.org/public/doc/130/130.en.pdf.

[3] Treasury Board of Canada (2020), Application Guide for Post-Employment under the Policy on People Management and the Directive on Conflict of Interest, https://publications.gc.ca/collections/collection_2020/sct-tbs/BT22-265-1-2020-eng.pdf.