The new version of UNE 19601: an effective response to the challenges of good governance in organizations
The UNE 19601 regulatory standard on Criminal Compliance Management Systems is a key reference in the field of Criminal Compliance in Spain. Initially published in 2017, UNE 19601 has become a benchmark for providing organizations with an effective Compliance System, aligned with the requirements of the Spanish Criminal Code and international best practices.
Now, UNE 19601 has been revised with the aim of adapting it to the new needs of organizations, that is, to reinforce the importance of the culture of Compliance in Spain in order to achieve, through it, a competitive and reputational advantage in the market.
All of the above translates into a series of modifications introduced in this standard, namely:
- Development of criminal Compliance culture and governance requirements. Although the initial version of UNE 19601 already established the verification of a culture of criminal Compliance as an essential requirement of any Compliance System, its new version develops and breaks down this section into two (2) new requirements, one relating to culture and the other referring to governance in this area.
In fact, and as a sign of the growing importance attributed to the culture of Compliance within organizations, these requirements have been relocated within the «Leadership» section (previously, the culture of criminal Compliance was a requirement of the section «Support elements»).
Thus, the new wording of UNE 19601 expressly establishes the obligation for the organization to develop, maintain and promote a culture of criminal Compliance at all levels, linking the existence of such a culture to the degree of achievement of the requirements derived from the Compliance System.
For its part, the new requirement relating to the governance of criminal Compliance brings together other points that were already included in the previous version of UNE 19601, although in greater detail. In particular, it adds the need for the criminal Compliance body to have expert advice on rules, regulations and codes, both external and internal, within its area of responsibility.
- Introduction of a change planning requirement. This new requirement underlines the factors that the organization must take into account when assessing the need to make changes to the Compliance System, including, but not limited to, the purpose of the changes and their potential consequences, and the reallocation of responsibilities and authorities.
- Alignment of the tasks of the Criminal Compliance function with the provisions of other international standards. The new UNE 19601 updates its structure to harmonize it with regulatory documents subsequent to its original publication in 2017, including the ISO Harmonized Structure for Management Systems.
- Distinction between training and awareness-raising activities. This, through the redefinition of the tasks of the Criminal Compliance body, and with the purpose of conceptually separating both types of activities.
To this extent, UNE 19601 encourages the promotion of awareness-raising activities for business partners and other members of the organization who do not receive training.
- Rationalization of the level of supervision and control over purely financial investments. In particular, adjustments are made to the supervisory and control requirements for strictly financial investments, simplifying their management.
Thus, it is established that the requirements for the implementation of controls in subsidiaries and business partners do not apply to purely financial investments negotiated through organized markets, where the organization does not have the capacity for direct or indirect control.
- Changes in the formulation of some requirements, in order to improve their understanding for organizations, taking into account the experience of the last eight years.
In this sense, organizations that have Criminal Compliance Systems in accordance with UNE 19601 must implement the appropriate measures that allow them to guarantee compliance with the requirements introduced with this new version of the standard.
From the Compliance Department of Molins Defensa Penal, we offer expert advice on the design, review and implementation of Criminal Compliance Management Systems, including support in certification and monitoring processes in accordance with UNE 19601.
Compliance Department of Molins Defensa Penal.