Marián Lora Márquez. Consultora Compliance.
El Compliance Penal va mucho más allá de la posible exoneración o atenuación de la responsabilidad penal de la persona jurídica. La implantación de un Sistema de Compliance Penal en la organización debe ir necesariamente ligada al compromiso por parte del órgano de gobierno de instaurar y promover una cultura de cumplimiento normativo en su seno.
No obstante, a la hora de diseñar y elaborar un Sistema de Gestión de Compliance Penal, nos encontramos con organizaciones de diversa índole:
Mientras que estas dos últimas llevarán a cabo acciones eficaces para la adecuada implementación de sus respectivos Sistemas de Compliance Penal, las primeras no realizarán acciones para poner en marcha lo recogido en soporte papel, es decir, no llevarán a cabo una implementación del Compliance Penal.
Centrándonos en estas organizaciones que lo único que pretenden es aspirar a la concesión de una atenuante o una eximente de responsabilidad penal por la eventual comisión de conductas delictivas en su seno, ni que decir tiene que no disponen ni promueven una cultura ética empresarial ni en su cúspide ni, por tanto, tampoco en los escalafones inferiores.
Estas deciden elaborar un Compliance Penal de forma meramente aparente pero, sin embargo, de nada sirve elaborar un modelo perfectamente diseñado y adaptado a la empresa, con un análisis de riesgos exhaustivo y con el establecimiento de procedimientos y controles eficaces para la gestión de los mismos, si no existe un compromiso y propósito por parte del órgano de gobierno de promover una cultura de cumplimiento dentro de la empresa ni llevar a la práctica lo recogido en soporte papel. En estos casos nos encontramos ante un “Paper Compliance”, es decir, un modelo de Compliance puramente cosmético, destinado únicamente a generar una apariencia de organización y gestión en la empresa que no se corresponde con la realidad, por lo que no reportará ningún tipo de beneficio a la misma.
En este sentido juega un papel fundamental tanto el órgano de gobierno, en el sentido de instaurar y promover una cultura de cumplimiento desde la cúspide, como el Compliance Officer ya que es este quien se encargará de llevar a cabo la puesta en marcha del Sistema de Compliance Penal, y mantenerlo vivo. Para ello, el Compliance Officer debe llevar a cabo, de forma constante, actuaciones encaminadas a la implementación eficiente del Compliance Penal, así como llevar un registro de la trazabilidad de las mismas, y encargarse de cuestiones fundamentales, tales como la difusión del modelo, formación y concienciación de los empleados, actuaciones estrechamente vinculadas a conseguir que exista una cultura de cumplimiento.
En definitiva, las organizaciones no solo deben implantar un Sistema de Compliance Penal eficaz, sino que lo tienen que implementar de manera efectiva para que el mismo surta efectos, instaurando y promoviendo en su seno un compromiso real de cumplir con la normativa vigente.
Para facilitar su labor, en Leónolarte Abogados ofrecemos asesoramiento al Compliance Officer en la implementación del Sistema de Compliance Penal, así como en el diseño y elaboración de políticas encaminadas a prevenir los riesgos penales y protocolos de actuación.
Photo by Dylan Gillis on Unsplash
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