GRUPO PROLANDA

Oportunidades Eficiencia Energética PETRO ECUADOR

Gestión Expertos Técnicos
Fases Metodológica
Gestión del Cambio
 Cumplimiento Legal y los
Sistemas de Gestión

1. Sistemas de Gestión
2. Elementos de un Sistemas de Gestión de
Cumplimiento.
3. Cumplimiento Legal.
4. Requisitos Mínimos de los Estándares ISO de
Cumplimiento.
5. ACUERDO Nro. MPCEIP-DMPCEIP-2021-
0002
6. Conclusiones.
 ”
¨FRASE RELEVANTE RELACIONADA CON EL TEMA”

AUTOR
 Sistema de Gestión

Son un conjunto de elementos interrelacionados o que

interactúan de una organización para
establecer políticas y objetivos así como procesos para lograr
80% 25%
esos objetivos. Productividad.
Eficiencia.

Un sistema de gestión puede abordar una sola disciplina o

varias disciplinas.
17%
Los elementos del sistema de gestión incluyen la estructura, Cumplimiento
los roles y responsabilidades, la planificación y el
funcionamiento de la organización.
 Elementos de un Sistemas de Gestión de Cumplimiento

Objetivos / Principios

Planificar: Hacer:
Tone at the top / Etapa de planificación Consiste en la implementación de los
se establece la politica, los objetivos y cambios o acciones necesarias /
se identifican los procesos y riesgos. Operación, controles y procedimientos,
compentencias, capacitaciones, apoyo
SGC

Liderazgo, Gobernanza
Actuar:   y Cultura
Verificar:  
Correcciones y modificaciones necesarias / Mejora
continua de los incumplimientos Una vez se ha puesto en marcha el plan de mejoras, se
establece un periodo de prueba para medir y valora
la efectividad de los cambios / Auditorías, segumien
y medidición, denuncias e investigación.

Organización y su Contexto
info@bccomply.com
Todos los derechos reservados
 Estandares ISO de Cumplimiento.
Desde el 2014 la Organización Internacional de
Estandarización se ha venido preocupando por el
Cumplimiento – Compliance. ISO19600
Sistema de Gestión de Cumplimiento

ISO37301
1 ISO37001
Sistema de Gestion de Cumplimiento Sistema de Gestion Antisoborno.

5 2
ISO
ISO 37002 ISO 31022
Guia para la Gestion de Canales de
Denuncia
4 3 Guia para la Gestion de Riesgos Legales
 Mejores Practicas Mundiales.
Las normas ISO no son mas que una recopilación de las mejores practicas.

COSO FCPA
Committee of Sponsoring Foreign Corrupt Practices Act.
Organizations of the Treadway.

OCDE
BM
Organización para la Cooperación y
Banco Mundial. el Desarrollo Económicos.

Transparencia Internacional ONUDC

Organización no gubernamental que La Oficina de las Naciones Unidas
promueve medidas contra crímenes contra la Droga y el Delito
corporativos y corrupción política en el
ámbito internacional
 Cumplimiento Legal.

Compliance – Cumplimiento.

“Requisitos que una organización tiene que cumplir

obligatoriamente, así como aquellos que una
organización elige voluntariamente cumplir”

ISO37301:2021
 Cumplimiento Legal.

Compliance – Cumplimiento.
¨un conjunto de procedimientos y buenas
prácticas que las organizaciones adoptan con
el fin de identificar y clasificar los riesgos
operativos y legales a los que se enfrentan y
establecer mecanismos internos de
prevención, gestión, control y reacción frente a
los mismos¨
WCA.
 ¿Que tipo de cumplimientos?
Basicamente a los de tipo normativo.

¿Pero que tipos de complimientos normativos?

ISO31022:2020

Cumplimientos Obligatorios y
Cumplimientos Legales Cumplimientos Voluntarios

ISO37001:2016 ISO37301:2021

Relacionados con Cumplimientos

Cohecho
ISO 37301: 2021
¿Que tipo de cumplimientos?
1. Leyes y regulaciones;
2. permisos, licencias u otras formas de autorización;
3. órdenes, reglas u orientaciones emitidas por 90%
agencias reguladoras;
4. sentencias de juzgados o tribunales
administrativos; VOLUNTARIOS
5. tratados, convenciones y protocolos.

1. Acuerdos con autoridades y clientes;

2. requisitos organizativos, como políticas y
procedimientos;
3. principios voluntarios o códigos de buenas prácticas;
4. etiquetado voluntario o compromisos ambientales;
OBLIGATORIOS 5. obligaciones que surgen de acuerdos contractuales con
60% la.
6. estándares organizacionales y de la industria relevantes.
 Estructura de un Estandar ISO

Capitulo 10
Capitulo 9 Capitulo 4
Mejora
Evaluación del Desempeño Contexto de la Organización

Capitulo 8 Capitulo 5
Operación ISO Liderazgo

Capitulo 7 Capitulo 6
Apoyo Planificación
 Correcta Identificacion, Análisis y Evaluación de Riesgos Penales

A B C D
Riesgos A1

+240
A2

A3

60% del éxito de un Sistema de

gestión esta en los RIESGOS
C

D
 ¿Por que los Estandares ISO?
Es necesario avanzar hacia la certificación de los programas de cumplimiento. Aunque, como es
sabido, no resulten vinculantes para el órgano judicial, sin duda supondrán un valor añadido en la
determinación de la calidad del programa.

Internacionalmente Reconocidos Elaborado por Expertos.

Cada vez son mas las organizaciones que se Las normas ISO son producto de aportes
acogen a los requisites de un estandar ISO. provinientes de expertos y doctrinales
autorizados en cada una de las materias.

Reconocimiento Externo Recogen las Mejores Practicas

Son susceptibles a CERTIFICACION por Son producto de analisis y estudios de
un tercero ageno a la organización. documentos nacionales e internacionales
que aportan a su contendo
 Tenemos un Problema
ACUERDO Nro. MPCEIP-DMPCEIP-2021-0002

Reglamento para calificar y regular a

los implementadores de programas de
cumplimiento penal.
ACUERDO Nro. MPCEIP-DMPCEIP-2021-0002

Reglamento para calificar y regular a los implementadores de

programas de cumplimiento penal.

Art. 1.- Objeto.- El presente reglamento tiene por objeto

expedir los requisitos y procedimientos para calificar y
regular a los Implementadores de Programas de
Cumplimiento Penal que actúan en cualquier sector cuyas
actividades pueden recaer en uno o varios de los tipos penales
que contemplan responsabilidad penal de las personas
jurídicas
ACUERDO Nro. MPCEIP-DMPCEIP-2021-0002

Reglamento para calificar y regular a los implementadores de

programas de cumplimiento penal.

Art. 3 Programa de cumplimiento penal.- Todo trabajo de implementación de

uno o varios programas de cumplimiento penal en cualquier sector, cuyas
actividades pueden ser sujetas de una o varias responsabilidades penales en
las que pueda recaer cualquier persona jurídica, deben ser realizados por
empresas calificadas, autorizadas y registradas por el Ministerio de
Producción, Comercio Exterior, Inversiones y Pesca.
Requisitos.
ANEXO 1 y ANEXO 2.

Tener Implementados Estandares ISO

Tener implementado un sistema de gestión en su organización con base en la norma ISO
9001:2015 o ISO 37001:2016

El experto
Estar Certificado de aprobación de curso de auditores internos según ISO 9001:2015 o
ISO 37001:2016.

El Experto
Título de TERCER NIVEL reconocido por el SENECYT de: Abogado, Doctor en
Jurisprudencia, Finanzas, Economista o afines.
Preguntas que deberán ser resueltas.
En el contexto del ACUERDO Nro. MPCEIP-DMPCEIP-2021-0002

Los jueces entreran a juzgar al implementador

Antes del analisis de la efectividad o no del programa de cumplimiento penal
se verificara si quien lo implemento tenia capacidad para hacerlo.

Los programas Implementados bajo estandar ISO

certificado
La eficiacia y eficiencia del Sistema de Gestion implementado y
certificado perdera valor en juicio en caso de implementadores no
autorizados.

Los Fiscales antes de la acusación tambien verificaran

previamente la autorizacion del implementador
La eficacia y eficiencia de un programa de cumplimiento penal
dependerá de la autorización del MIPRO de quien actuo como
implementador del programa penal.
Conclusiones.
Cada
organizacion es
unaprogramas
Los realidad.de
Los estandares ISO cumplimiento penal
BRINDAD deben ser inclusivos.
SEGURIDAD.
No solo por su estructura
sino por su
reconocimiento externo.

Se debe resolver
las
NO basta un Código autorizaciones.
Un programas de
de Etica. cumplimiento penal no solo
Los programas de tiene un camino, todos los
cumplimiento deben caminos llevan a Roma.
tener una estructura
robusta.
 Esta presentación es propiedad de la empresa Business Continuity
and Compliance BCComply S.A, por lo que su alteración o
modificación únicamente esta autorizada a sus empleados. Si
ustded tienen esta presentación es solo para uso meramente
informativo.

Abg. Luis José Montes info@bccomply.com

CEO BCComply. lmontes@bccomply.com
Fundador WCA Ecuador.
Miembro del comite de certificación de
empresas y personas WCA Internacional. @bccomply
 Digital Marketing Infographics
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 Psychology Infographics
Marketing is the study and management of exchange relationships. Marketing is the business
process of creating relationships with and satisfying customers.

Emotional Quotient Intelligence Quotient

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Marketing is the study and management of exchange relationships. Marketing is the business
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 Matrix Infographics
Marketing is the study and management of exchange relationships. Marketing is the business
process of creating relationships with and satisfying customers.

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process of creating relationships with and satisfying customers.
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process of creating relationships with and satisfying customers.

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 Matrix Infographics
Marketing is the study and management of exchange relationships. Marketing is the business
process of creating relationships with and satisfying customers.

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Title One
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Title Three
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Title Two
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Title Four
Service being offered by a
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 Psychology Infographics
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process of creating relationships with and satisfying customers.

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significant number of significant number of
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process of creating relationships with and satisfying customers.

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process of creating relationships with and satisfying customers.

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 Risk Management
Marketing is the study and management of exchange relationships. Marketing is the business
process of creating relationships with and satisfying customers.

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 Risk Management
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process of creating relationships with and satisfying customers.

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process of creating relationships with and satisfying customers.

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 Digital Marketing Infographics
Marketing is the study and management of exchange relationships. Marketing is the business
process of creating relationships with and satisfying customers.

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 Digital Marketing Infographics
Marketing is the study and management of exchange relationships. Marketing is the business
process of creating relationships with and satisfying customers.

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Marketing is the study and management of exchange relationships. Marketing is the business
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process of creating relationships with and satisfying customers.

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DIAGRAM SECTION

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 FINANCIAL TOOL

Your Title Your Title Your Title

WHY IS THIS
IMPORTANT?

Product should meet a certain consumer demand, or it should

be so compelling that consumers believe they need it.
FINANCIAL
GOALS

Make sure you promote it in the

right place. It’s no secret that you
need to be visible online that’s
where your customers, to get your
company’s name out there.
 Investor ROI

7.1% But they also must take into

account supply costs a product
should meet a certain.
 12% Revenue Of Investment

OUR COMPANY 77% Increase In Portfolio

IN NUMBERS

129 Funds
FINANCIAL
GROUP
PERFORMANCE

01 02 03 04
 15%
SURVEY
RESULTS 10%

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right place. It’s no secret that you
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where your customers.
OVERALL
PERFORMANCE

Make sure you promote it in the

right place. It’s no secret that you
need to be visible online that’s
where your customers.
 HOW TO START INVESTING

Write Your Title Write Your Title

Refers to a good or service being. Refers to a good or service being.
 ASSET MIX BY ACTUAL VALUE

50% 90% 40% 85%

Write Your Title Write Your Title Write Your Title Write Your Title
 INVESTMENT REPORT

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TIMELINE

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INVESTMENT
PROS

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place. It’s no secret that you need to be
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INVESTMENT
CONS

Write Your Title Write Your Title

ASSET MIX BY ACTUAL VALUE

Sarah Swettlen Greg Beaton

Marketers must link the price to Marketers must link the price to
the real and perceived value. the real and perceived value.

Walker James Emily Stewart

Marketers must link the price to Marketers must link the price to
the real and perceived value. the real and perceived value.
CONTACT US

Write Your Title

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by a company.

Write Your Title

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