He de reconocer que la primera vez que oí hablar de compliance en la empresa, el término no me gustó. Me sonaba a convertir la Responsabilidad Social o, peor aún, la ética, en el mero cumplimiento de unas normas o restricciones establecidas por la ley, la regulación o la autorregulación (por ejemplo, un código de buenas prácticas elaborado por la empresa o por la asociación empresarial correspondiente). Y, claro, mi respuesta fue: “no es esto”.
No es esto, porque la Responsabilidad Social o la ética no se puede convertir en un listado de cosas que hay que hacer, con la mentalidad de “poner crucecitas” en un cuestionario: ya hacemos esto, y esto, y esto… luego ¡ya somos responsables! Como dice el refrán español, “hecha la ley, hecha la trampa”, de modo que el cumplimiento puede convertirse en una trampa para no cumplir lo que decimos que estamos cumpliendo. O, lo que es peor, puede llevar a movilizar los recursos de la empresa hacia la “apariencia” del cumplimiento: como decía Marx (no Karl, sino Groucho), “el secreto de la vida es la honestidad y el juego limpio; si puedes simular eso, lo has conseguido”.
Y, sin embargo, me he reconciliado con el concepto de compliance o “cumplimiento regulatorio”, aunque sigo pensando que el riesgo de interpretarlo mal existe –es más, que es muy atractivo para muchas empresas. Es verdad que se trata solo de un instrumento, no de la esencia de la Responsabilidad Social, y la esencia es necesaria porque, sin ella, es fácil acabar en la manipulación que he mencionado antes. Perotambién los instrumentos son necesarios, porque, sin ellos, la Responsabilidad Social puede quedarse en palabrería o en buenas intenciones inoperantes.
La compliance es necesaria, también por una razón adicional y muy importante: en muchos países, también en España, se están introduciendo en la legislación cambios que obligan a la empresa a adaptar sus prácticas a determinados estándares, y esa es la labor, precisamente, del departamento de cumplimiento regulatorio. Esos cambios legales hacen recaer sobre las empresas la responsabilidad en que han incurrido sus directivos o empleados, a no ser que aquellas puedan demostrar que han puesto los medios necesarios para evitar esas conductas inadecuadas, por ejemplo en el cumplimiento de las leyes fiscales, la transparencia de la información contable, las actuaciones con impacto sobre el medio ambiente o las prácticas que pueden ser discriminatorias en la política de contratación del personal.
Esto quiere decir que las empresas tienen que ser capaces de demostrar, por ejemplo, que sus empleados han asistido a un curso de formación en el que se trataron las prácticas corruptas que la empresa debía evitar y se daban instrucciones y medios a los asistentes para hacerles frente; que llevan controles regulares de esas actuaciones incorrectas y, muy importante, que no se trata de acciones aisladas, sino de actuaciones organizadas, coordinadas y unificadas. O sea, esto va más allá de las actuaciones de divisiones o departamentos concretos –jurídico, comercial, de personal, fiscal… Esta es la tarea que se encomienda al departamento de cumplimiento regulatorio, sea con ese nombre o con otro.
Lo anterior quiere decir que la empresa debe tener una preocupación positiva por la ética y la Responsabilidad Social, y utilizar el departamento que nos ocupa para llevar a cabo una parte de esa tarea: la de unificar criterios de actuación, organizar la formación, desarrollar sistemas de control (no todos, claro, pero sí los más directamente relacionados con la Responsabilidad Social y la ética) y coordinar todo esto con otros departamentos, principalmente con la asesoría jurídica.
La compliance no es, pues, todo en Responsabilidad Social, pero sí ocupa un lugar importante, tanto en el plano jurídico (cumplimiento de la ley) como en el regulatorio (cumplimiento de las regulaciones técnicas, medioambientales, de seguridad del producto, etc.) y el de Responsabilidad Social (observancia del código de buenas prácticas, desarrollo de los procedimientos de autorización, supervisión, ejecución, información y control, elaboración de informes, etc.). No es todo, porque la Responsabilidad Social debe estar presente en todo, en la estrategia, en las políticas y en el día a día, y esto no porque lo mande la ley o porque el regulador pueda imponer una sanción, ni siquiera porque lo diga el código ético interno, sino porque “eso es lo que hemos de hacer”.
La existencia de un órgano dedicado al cumplimiento permitirá, en definitiva,detectar las violaciones de la ley o de las normas internas, informar prontamente a los que deben conocer y solucionar esos problemas, y tomar a tiempo las medidas remediales necesarias para que aquello se corrija, y para que la corrección se incorpore, si procede, a las futuras prácticas, procedimientos y rutinas de la organización. Se trata, pues, de una formidable política para reducir riesgos.
En resumen: para las empresas de los países desarrollados, el cumplimiento regulatorio es necesario, por exigencia legal, y puede ser muy conveniente si lo demanda la buena organización y el funcionamiento de la institución. Compensa, pues, que las empresas se adelanten en su puesta en práctica, porque esto les ahorrará problemas y costes, pero, sobre todo, porque les dará mejores prácticas y mayor sensibilidad por estos temas –y probablemente una ventaja competitiva sobre sus competidores, entre otras razones porque la compliance no parece ser una moda pasajera, sino que se convertirá –se está convirtiendo ya- en una práctica regular.Afecta a toda la empresa, empezando por la cúpula, que se la debe tomar muy en serio (la sospecha de que “el jefe” solo está preocupado por la cosmética matará todo intento de convertirla en algo provechoso). Y su clave no está en cumplir la ley, sino en crear en la organización el convencimiento de que hay que cumplirla, de por qué hay que cumplirla y de por qué a nosotros nos conviene cumplirla. Y no es un problema solo jurídico, sino también ético. Y de buen gobierno, o sea, de Responsabilidad Social. En definitiva, o buscamos la excelencia o la compliance se convertirá en una carga pesada.
Fuente: http://blog.iese.edu/antonioargandona/2014/02/12/la-compliance-en-la-empresa/
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