Compliance risk management with a focus on shared values: application in a case study in Cuba

Juan Antonio Plasencia Soler, Anna Bajo Sanjuán, Fernando Marrero Delgado, Miriam Nicado García
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Abstract

Organizations that aspire to obtain long-term results must correctly manage compliance with laws, regulations, codes, international standards and best practices related to ethics and society's expectations. This research aims to development a procedure to manage compliance risks with a focus on organizational values. The paper includes the main stages of traditional risk analysis: analysis of the organizational context, identification of obligations, evaluation and assessment of compliance risks and their treatment through action plans. As the main novelty, the authors include a tool that allows the integration of the elements of the context, with the identified obligations, their associated risks and the ethical values shared by the organization, called CORVAL map. The results of the implementation of the procedure in the process of Production of Computer Services in an cuban entity allow to identify as main risks: illicit contractual relations, lack of knowledge of the code of conduct by the workers, affectations to the prestige of the organization and high rates of electric energy consumption, identifying the shared value Responsibility and its associated behavior, as the most influential principle in the mitigation of the risks of compliance of the process.
注重共同价值观的合规风险管理:在古巴案例研究中的应用
渴望获得长期成果的组织必须正确管理与道德和社会期望相关的法律、法规、准则、国际标准和最佳实践的遵守情况。本研究的目的是开发一个程序,以管理合规风险的重点是组织的价值。本文包括传统风险分析的主要阶段:分析组织背景、识别义务、评估和评估合规风险以及通过行动计划处理合规风险。作为主要的新颖之处,作者包括了一个工具,该工具允许将上下文元素与已确定的义务、相关风险和组织共享的道德价值观集成在一起,称为CORVAL地图。在一个古巴实体的计算机服务生产过程中执行程序的结果可以确定主要风险:非法合同关系、工人对行为准则缺乏了解、对组织声誉的影响以及电力消耗的高比率、确定共同价值责任及其相关行为是减轻遵守该进程风险的最具影响力的原则。
本文章由计算机程序翻译,如有差异,请以英文原文为准。
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