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Management of Organisations

Code: 101854 ECTS Credits: 6
Degree Type Year Semester
2502501 Prevention and Integral Safety and Security FB 2 2
The proposed teaching and assessment methodology that appear in the guide may be subject to changes as a result of the restrictions to face-to-face class attendance imposed by the health authorities.


Rubén Alexander Domínguez Oberst

Use of Languages

Principal working language:
spanish (spa)
Some groups entirely in English:
Some groups entirely in Catalan:
Some groups entirely in Spanish:

External teachers

Rubén Domínguez Oberst
Óscar Taboada Cuadrado



Objectives and Contextualisation

Since the reform of the Spanish Criminal Code in 2010, Compliance has been on the agenda for most organizations, increasingly hiring specialists to manage legal risks that the organization face, especially criminal risks. There has been a paradigm shift, from “societas delinquere non potest” to “societas delinquere potest” which has been and still is, a great challenge for most legal entities. Since then, Compliance in Spain has evolved to become a fundamental function within organizations, gradually moving away from criminal-legal concepts, to approach management areas of continuous process improvement from a point of view of control of the risk. It is also intended that students become familiar with the different regulatory standards used by different companies. Also, learn to perform legal risk assessments.


  • Be able to adapt to unexpected situations.
  • Contribute to decisions on investment in prevention and security.
  • Efficiently manage technology in security operations.
  • Generate innovative and competitive proposals in research and in professional activity developing curiosity and creativity.
  • Respond to problems applying knowledge to practice.

Learning Outcomes

  1. Apply the basic of economics and finance necessary for evaluating the management processes of systems present in the prevention and security sector.
  2. Be able to adapt to unexpected situations.
  3. Formulate strategies of company management.
  4. Generate innovative and competitive proposals in research and in professional activity developing curiosity and creativity.
  5. Respond to problems applying knowledge to practice.


1: Introduction to Compliance 

Compliance origins and background

The concept of compliance

The Compliance function in organizations 

Corporate ethics


2: Generic Compliance frameworks  

OCDE Principles and guidelines

Committee Of Sponsoring Organizations (COSO)

National and international standarization frameworks


3: Specific compliance frameworks

Antitrust frameworks 

Enviromental frameworks

Taxation frameworks and regulations

Human and workers rights regulations

Privacy regulation

Stock and exchange regulations

Prevention of occupational hazards


4: Compliance and the spanisch criminal code

Ley Orgánica 5/2010, de 22 de junio

Ley Orgánica 1/2015, de 30 de marzo

Circular 1/2016 de la Fiscalía General del Estado

Jurisprudential analysis of the Sentence of the Supreme Court 154/2016


5: Elements of a CMS

Compliance leadership and culture. Tone from the top.

The Compliance function

Risk evaluation

Compliance controls

Compliance reporting

Training and comunication. Whistleblowing systems

Supervision and verification


6: The Compliance Officer

Essential requierements for a Compliance Officer

Skills and profile of the position

The Compliance Officer in the organization

Liabilities and different structures


The content of the program will be taught by the teacher mainly in the form of master classes with audiovisual support. The presentations and materials used in class by the teacher will be previously available in the Virtual Campus. It is recommended that students print this material and take it to class, to use it as a support when taking notes. Although it is not essential to expand the contents of the classes taught by the teacher, unless the teacher expressly requests it, it is recommended to consult the reading materials in the bibliography section of this guide to be consulted on a regular basis to consolidate and clarify, if necessary, the contents explained in class. There will be individualized attention to the students and solve any doubts that may arise if needed in pre-arranged hours.

Annotation: Within the schedule set by the centre or degree programme, 15 minutes of one class will be reserved for students to evaluate their lecturers and their courses or modules through questionnaires.


Title Hours ECTS Learning Outcomes
Type: Directed      
Classes 40 1.6 2, 1, 5, 3, 4
Evaluation 4 0.16 5
Type: Supervised      
Practices resolution 12 0.48 2, 5, 3
Type: Autonomous      
Personal Study 94 3.76 2, 1, 5, 3, 4


The evaluation will consist of the following parts:


• 70% of the final grade for the course will be the average of the different assignments / practices that will take place throughout the course (3-4). It will be necessesary to deliver at least three practices with a minimum average grade of 3.5 necessary to pass the course.


• The remaining 30% will be a final test (a,b,c,d). A minimum grade of 4 will be required to pass the course.



In case of not passing the subject according to the aforementioned criteria (continuous evaluation), a recovery test may be carried out on the date programmed in the schedule, and which will contain all the contents of the program.

To participate in the recovery, the students must have been previously evaluated from the set of activities whose weight equals a minimum of two-thirds of the total grade for the subject.

The grade that will appear in the student's file is a maximum of 5-approved.

PLAGIARISM: Without prejudice to other disciplinary measures deemed appropriate, and in accordance with current academic regulations, irregularities committed by a student that may lead to a variation in the grade will be scored with a zero (0). For example, plagiarizing, copying, or letting copy an assignment will involve suspending this activity with a zero (0). Activities classified in this way and by this procedure will not be re-assessable.

Assessment Activities

Title Weighting Hours ECTS Learning Outcomes
Exercises of continuous assestment 70% 0 0 2, 1, 5, 3, 4
Final test 30% 0 0 3


  • KAPTEIN, Muel. Why Good people sometimes do bad things: 52 reflections on ethics at work.
  • MIR PUIG, Santiago y otros. Responsabilidad de la empresa y Compliance. B de F, 2014.
  • ENSEÑAT DE CARLOS, Sylvia. Manual del Compliance Officer. Thomson Reuters, 2016
  • Arbeitskreis Compliance als Führungsaufgabe. Compliance als Führungsaufgabe, ein Kompendium von Werkzeugen, Methoden und innovativen Ansätzen. DICO, 2018
  • Miembros de la Junta Directiva de ASCOM, Coordinador D. Alain Casanovas Ysla. Libro blanco sobre la función de Compliance. Madrid: ASCOM, 2017
  • CASANOVAS YSLA, Alain. Legal Compliance. Difusión Jurídica – Economist & Jurist, 2012
  • Compliance. Guía Práctica de identifiación, análisis y evaluación de riesgos. Thomson Reuters – Aranzadi, 2018
  • BONATTI BONET, Francsico. Memento Experto Sistema de Gestión de Compliance: estándares ISO y UNE 19601. Lefebvre, 2017
  • VELASCO NÚÑEZ, Eloy y SAURA ALBERDI, Beatriz Cuestiones prácticas sobre responsabilidad penal de la persona jurídica y compliance. 86 preguntas y respuestas. Aranzadi, 2016
  • CASANOVAS, Alain Guía práctica de compliance según la Norma ISO 37301:2021. AENOR ISBN: 978-84-17801-37-4


This subject does not require a specific syllabus