Marián Lora Márquez. Consultora Compliance.
La formación constituye uno de los pilares fundamentales en materia de Compliance ya que, a través de ella, se da a conocer a todos los miembros y trabajadores de la empresa el modelo de prevención de riesgos penales elaborado, con el fin de que conozcan las obligaciones de Compliance que ostentan en el ejercicio de sus funciones, los riesgos de incumplimiento, así como las políticas, procedimientos y controles implantados.
La norma ISO 19600 señala que la formación debe tener como objetivo “asegurar que todos los empleados son competentes para cumplir con su rol profesional de forma consciente con la cultura del Compliance de la organización y con el compromiso que tiene con el Compliance”.
La formación nos permite crear y promover una cultura de cumplimiento normativo en la empresa, así como concienciar a todos los miembros de la empresa sobre la importancia que, para el modelo de prevención de riesgos penales, supone la colaboración de todos ellos.
El contenido del plan de formación debe ser personalizado para cada empresa, teniendo en cuenta los riesgos en ella identificados y los controles adoptados para mitigarlos.
Lo ideal es que la formación no sea exclusivamente teórica en la que los miembros y trabajadores de la empresa reciban “clases de derecho penal”, sino que aquella sea desarrollada de modo que fomente la participación activa de todos ellos, ya que, de esta forma, será mucho más fácil que interioricen el mensaje que se les quiere transmitir.
Es importante que conozcan los delitos imputables a la persona jurídica, las consecuencias derivadas de ello, los riesgos existentes en el seno de la empresa y los controles destinados a prevenirlos o mitigarlos; pero es igual de importante que entiendan dicho contenido como algo cercano a ellos, que les puede ocurrir en su día a día de trabajo. Para ello, es conveniente acudir a la teoría del juego, la cual consiste en plantear situaciones conflictivas en las que pueden verse inmersos con facilidad, lo cual permite a los participantes empatizar con los conocimientos previos, ya que estas situaciones les hacen ver de una forma más cercana el Sistema de Gestión de Responsabilidad Penal.
Según las características de la empresa, será más adecuado organizar la formación por niveles y grupos de trabajadores o empleados, atendiendo a la categoría que ostentan cada uno de sus miembros, o por actividad, atendiendo al departamento al que pertenece cada uno de ellos.
Formación por niveles: alto, medio, básico.
Es conveniente establecer diferentes niveles formativos en función de la categoría o cargo que ostenta cada miembro en la empresa, para adecuar la formación a sus necesidades.
A modo de ejemplo, podríamos diferenciar los siguientes niveles:
Formación por actividad
Como hemos dicho anteriormente, dependiendo de la empresa, en algunas ocasiones, será más adecuado realizar la formación por actividad que por niveles. Es decir, diferentes cursos formativos para los distintos departamentos de la empresa.
De esta forma, cada departamento será conocedor de manera global de los riesgos que afectan a la totalidad de la empresa pero, de manera más específica, conocerán detalladamente los riesgos relevantes en su departamento, inherentes a las actividades que llevan a cabo.
A ello añadiríamos, por un lado, el curso formativo dirigido al Compliance Officer y al Comité de Cumplimiento y, por otro lado, aquel dirigido al órgano de administración.
En conclusión, es fundamental y necesario para la empresa invertir en formación en materia Compliance ya que esta, además de ser necesaria para fomentar una cultura de cumplimiento en el seno de la misma, es uno de los elementos clave para determinar la eficacia del programa de Compliance ya que es esencial que los integrantes de la organización conozcan todos los riesgos inherentes a su actividad, así como las políticas, procedimientos y controles destinados a prevenir que aquellos se materialicen.
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