Implementation of a compliance program: experience of the instituto universitario bolivariano de tecnología

Authors

DOI:

https://doi.org/10.31637/epsir-2025-1986

Keywords:

program, standard, risk, transparency, legality, sanctions, corporate image, higher education

Abstract

Introduction: This study seeks to implement a Compliance programme at the Instituto Superior Universitario Bolivariano de Tecnología to ensure compliance with legal regulations governing both higher education and private companies. Methodology: A qualitative approach based on action research is proposed, using the PHVA (Plan-Do-Check-Act) continuous improvement methodology. In addition, theoretical methods such as hermeneutic and synthetic analytical methods, and empirical methods such as documentary review and interviews will be used. Results: The Compliance programme aims to develop a corporate culture of legal compliance, identify risks of non-compliance and avoid sanctions, fines and damage to corporate image. It is also planned to create a compliance office with a Compliance Officer and an advisory team to support decision-making. Conclusions: The implementation of the programme will enable the institute to comply with current regulations, minimising legal risks and improving its transparency and legality in internal processes.

Downloads

Download data is not yet available.

Author Biography

Odette Martínez Pérez, Universidad Bolivariana del Ecuador

Doctor in Legal Sciences and Master in Constitutional and Administrative Law, Assistant Professor at the Universidad de Oriente. Member of the faculty of the tutelary Doctorate Programme of the Faculty of Law of the Universidad de Oriente and other Master's and Diploma programmes of the same Faculty. Researcher associated with projects, with teaching experience at undergraduate and postgraduate level in Business and International Law and postgraduate teaching experience in pedagogy. 3Experience in the practice of law and in methodological work in the Vice-Rectory for Teaching at the University. Numerous publications and awards. Member of the Cuban Societies of Constitutional and Administrative Law, International Public Law and Commercial Law. President of the Honorary Chair of International Humanitarian Law at the Faculty of Law of the Universidad de Oriente. Member of the José Martí Cultural Society.

References

Aguilera, D. A. (2023). Compliance y la formación ciudadana en Ecuador. Conrado, 19(92), 491-498. http://scielo.sld.cu/pdf/rc/v19n92/1990-8644-rc-19-92-491.pdf

Ávila Martínez, I., Cerecero Álvarez, J. y Ortega Rubio, S. (2022). Compliance como herramienta de desarrollo para PYMES mexicanas. Instituto Politécnico Nacional.

https://lc.cx/kV-YYZ

Castro Pallaroso, J. C. y Velasco Granda, E. (2022). Implementación de sistemas de cumplimiento (compliance) para. Universidad Andina Simón Bolívar. https://acortar.link/5Ritz3

CECAM (2018). Plan de Programas Formativos. https://acortar.link/oPodjA

Chiavenato (2009). Gestión del talento humano. McGraw Hill.

Compliance360 Executive Education (2024). Compliance360 Executive Education. Transversalidad del Compliance: más allá del cumplimiento normativo. https://acortar.link/MYN6z7

Correa, I. (2002). Manual de licitaciones públicas. https://acortar.link/faNHrg

Kohl, H. (2020). Standards for Management Systems. https://acortar.link/m4CwWd DOI: https://doi.org/10.1007/978-3-030-35832-7_2

López, M. R. (2013). Mapa de Riesgos. https://dialnet.unirioja.es/descarga/articulo/4744304.pdf

Miranda Cifuentes, J. I. (2018). Compliance program como herramienta en la lucha contra la corrupción en Ecuador. Revista de la Facultad de Jurisprudencia, 4, 37-52. https://www.redalyc.org/journal/6002/600263661002/html/ DOI: https://doi.org/10.26807/rfj.v0i4.76

Moreno García, E. (2017). Autónomo: Revista Digital de Información General. ¿Qué es el compliance? https://www.autonomo.es/opinion/item/5403-que-es-el-compliance

Muriel Bedoya, B. (2017). Compliance: su evolución y desafíos en Ecuador. USFQ Law review, 4(1), 159-183. https://doi.org/10.18272/lr.v4i1.993 DOI: https://doi.org/10.18272/lr.v4i1.993

Normas ISO (s/f de s/f de 2015). Normas ISO. https://lc.cx/yUVwLx

Ramírez Arévalo, N., Medina Cárdenas, Y. C. y Rico Bautista, D. W. (2021). Quality management for public universities. Tendencias en la Investigación Universitaria: Una visión desde Latinoamérica, 169-179. https://acortar.link/m4CwWd DOI: https://doi.org/10.47212/tendencias2021vol.xvi.13

Rodríguez López, M., Piñeiro Sánchez, C. y de Llano Monelos, P. (2013). Mapa de Riesgos: Identificación y Gestión. Revista Atlántica de Economía, 1-29. https://ideas.repec.org/a/eac/articl/08-12.html

Ujaen (2017). Procesos. https://acortar.link/h41fmH

Universidad Internacional de la Rioja UNIR (2023). UNIR La Universidad en Internet. Elementos claves de un programa de compliance: https://ecuador.unir.net/actualidad-unir/compliance-empresa/

Word Compliance Association (2024). Word Compliance Association. https://www.worldcomplianceassociation.com/que-es-compliance.php

Downloads

Published

2025-03-17

How to Cite

Alzate Peralta, L. A., Martínez Pérez, O., & Landeta Moore, G. S. (2025). Implementation of a compliance program: experience of the instituto universitario bolivariano de tecnología. European Public & Social Innovation Review, 10, 1–13. https://doi.org/10.31637/epsir-2025-1986

Issue

Vol. 10 (2025)

Section

MISCELLANEOUS

License

Copyright (c) 2025 Luis Alberto Alzate Peralta, Odette Martínez Pérez, Gema Saray Landeta Moore

Creative Commons License

This work is licensed under a Creative Commons Attribution-NonCommercial-NoDerivatives 4.0 International License.

Authors who publish with this journal agree to the following terms:
  1. Authors retain copyright and grant the journal right of first publication with the work simultaneously licensed under Creative Commons Non Commercial, No Derivatives Attribution 4.0. International (CC BY-NC-ND 4.0.), that allows others to share the work with an acknowledgement of the work's authorship and initial publication in this journal.
  2. Authors are able to enter into separate, additional contractual arrangements for the non-exclusive distribution of the journal's published version of the work (e.g., post it to an institutional repository or publish it in a book), with an acknowledgement of its initial publication in this journal.
  3. Authors are permitted and encouraged to post their work online (e.g., in institutional repositories or on their website) prior to and during the submission process, as it can lead to productive exchanges, as well as earlier and greater citation of published work (See The Effect of Open Access).