Socio-labour compliance as a guarantee of due diligence before the labour authority

Claves Prácticas Sistemas de gestión de compliance sociolaboral UNE 19604, published with Lefebvre is a practical guide that offers legal operators, professionals in the labour area, labour relations and compliance a tool for the analysis and management of risks due to non-compliance with labour obligations. With this work Raúl Rojas provides a 360º vision with all the requirements for implementing effective labour compliance management systems.

Can a labour compliance management system reduce sanctions or litigation with workers? How should it be designed to be effective?

Yes, it can. A management system in accordance with UNE 19604 acts as a preventive and control mechanism that allows risks to be identified before they materialise. This reduces administrative sanctions (LISOS) and legal disputes or risks of conviction by judgement, because the company demonstrates due diligence and absence of intent in non-compliance as a corrective criterion for possible administrative sanctions.

For the management system to be effective, it must be designed under an essentially risk-based approach, with a matrix of socio-occupational risks, preventive, detective and reactive controls, and a continuous improvement cycle (PDCA). It is not enough to have policies; they must be integrated into the organisation's operational processes, staff must be trained and traceability must be ensured through documented evidence.

Is it possible to create a culture of compliance and to mandate internal processes and policies? Why?

Yes, and it is essential for any organisation. Compliance culture is not achieved with documents, but with visible leadership ("tone from the top"), clear communication and continuous training. When senior management communicates that compliance is a corporate value, it is internalised at all levels and this generates a culture of compliance.

Ordering processes and policies makes it possible to move from reactive actions to a preventive strategy. This generates legal certainty in the organisation's decisions at the work level, improves the working environment and reinforces the corporate reputation, both internally and externally. In addition, UNE 19604 requires integrating the system into the strategy and key processes, which turns compliance into a competitive advantage over third party competitors.

What are the criteria to be taken into account when planning social and labour compliance and how should its operation be correctly defined?

Planning must start with the analysis of the internal and external context of the organisation, identification of regulatory obligations and risk assessment with the variables of probability and impact. From there, the objectives are set, which must be aligned with the social and labour compliance policy.

Operations are articulated through policies, procedures, controls and internal information channels, all of which are documented and subject to periodic review. It is key to incorporate due diligence processes, among others, in the processes of selection and hiring, remuneration, substantial modifications or termination of contracts, in order to prevent critical risks in these areas.

What is the purpose of performance evaluation and how should companies ensure that they are doing it correctly?

The objective is to measure the effectiveness of the system and ensure its continuous improvement. It is not only about auditing processes, but also about verifying whether the controls in place reduce risks and meet the objectives previously set.

To do this well, the company must define indicators (KPIs and KRIs), conduct internal audits and management reviews, and document it with evidence of compliance. UNE 19604 requires traceability and regular reporting, which allows to demonstrate due diligence in case of inspections or litigation.

At the end of 2025, the Ministry of Labour and Social Economy approved the Strategic Plan for the Labour and Social Security Inspectorate (PEITSS) 2025-2027 incorporating a reinforcement of the staff of inspectors and sub-inspectors and more investment in technology.

What are the main consequences of this new plan for companies from a social and labour point of view and with regard to preventing fraud?

The reinforcement of the Inspectorate and digitalisation imply more automated controls, massive cross-checking of data and sectoral campaigns. Companies must anticipate: implement internal information systems, monitor risks and guarantee documentary traceability to prove compliance to any labour authority.

Labour fraud (false self-employment, irregularities in working hours, fraud in temporary contracts or discrimination) can now be detected more quickly and effectively. The response, undoubtedly, must be preventive: a robust social and labour compliance management system, clear protocols and training for managers to avoid risky conduct that could lead to the materialisation of the contingency (sanction, lawsuit or loss of reputation).

What should be the response of companies to an increase in inspection activity and greater use of technology with respect to labour compliance?

In my opinion, I believe that companies should make compliance with labour regulations, both internal and external, and the prevention of non-compliance, a strategic line of action. It is not enough to react to sanctions; it is necessary to be proactive. This implies having a UNE 19604 certified system or one that is aligned with its requirements, allowing due diligence to be accredited and reducing exposure to risk.

In addition, technology must be an ally: tools for time and attendance, document management, internal channels and early warnings will be essential to comply with and demonstrate compliance with labour regulations.

The Ministry of Labour and Social Economy has warned of an increase in the number of complaints and communications in the ITSS mailbox filed in recent years (43% between 2021 and 2024). What is your advice for companies in view of increased inspection activity in the labour area?

My advice is to anticipate. Companies should implement robust internal systems to manage risks before they reach the inspectorate. This means having an effective and confidential internal information channel, in accordance with Law 2/2023 and UNE-ISO 37002, which allows for early detection and resolution of incidents.

In addition, it is essential to reinforce the traceability of documents so that they can be provided in the event of an inspection. A social and labour compliance system aligned with UNE 19604 not only reduces sanctions and litigation, but also allows for the accreditation of due diligence before the labour authority.

How can companies achieve standards of excellence in business ethics, corporate social responsibility and social and labour due diligence?

By integrating social and labour compliance into the ESG strategy and the SDGs (especially SDGs 5, 8 and 10). It is not only about complying with the law, but also about assuming voluntary commitments: ethical codes, equality policies, voluntary figures such as "equality agents" or due diligence processes not only in the organisation itself, but throughout the value chain.

The UNE 19604 certification is a seal of excellence that certifies to third parties (customers, investors, authorities) that the company acts ethically, transparently and with social responsibility, a path that has already been successfully followed by companies such as Santalucia, which ECIJA has helped to certify, or more recently Caja Rural Central.

In your book you also deal with the UNE 19604 and the management systems based on this standard. Can you tell us the essential difference between an operational management system under the UNE 19604 and what it brings to organisations?

The UNE 19604 establishes an auditable and certifiable management system, specifically designed for the social and labour field. Unlike other general standards, it incorporates a preventive approach that makes it possible to identify, evaluate and mitigate occupational and social risks in a structured way, with traceability and documented evidence.

Its main contribution is twofold:

• Legal certainty and reduction of sanctions: the certification accredits due diligence in the face of inspections and litigation, and can even be graduated sanctions in accordance with art. 39.2 LISOS.
• Strategic value: it integrates compliance into corporate governance, connects with ESG criteria and the SDGs, and reinforces the organisation's reputation and competitiveness. As I say, it is not just about complying with the law, but about demonstrating due diligence in the social and labour field, good governance and corporate social responsibility in labour compliance to achieve a true culture of social and labour compliance at all levels of the organisation.

Finally, we would like to address the UNE-ISO 53800 standardisation process and how to promote and implement gender equality in the framework of social and labour compliance. What guidelines should organisations follow to achieve this culture and the empowerment of women?

UNE-ISO 53800 proposes a strategic and transversal approach, based on human rights and social responsibility from the perspective of gender equality and women's empowerment. The key guidelines of this international standard are several:

• Integrate equality into corporate strategy and organisational culture, aligned with the SDGs (especially SDG 5) and ESG principles.
• Prior diagnosis: analyse the pay gap, representation in management positions, work-life balance and risks of harassment, among other risks.
• Active governance: involvement of the Governing Body and Senior Management, designation of those responsible (focal points, diversity committees) and participation of the legal representation of employees in the process.
• Action plan with measurable objectives, indicators (KPIs), publication of results and periodic review.
• Integration in the value chain through contractual clauses and due diligence processes.

What approach should be taken in the social and labour compliance management system to promote and implement gender equality?

The social and labour compliance management system must conceive equality as a strategic value integrated throughout the organisation, not as a mere legal obligation.

To this end, it is necessary to incorporate the gender perspective transversally in every phase of the system: from the planning and definition of policies to the operation and continuous improvement. This implies aligning the model with the principles of UNE-ISO 53800, establishing effective protocols against harassment, positive actions and specific training to eliminate unconscious biases.

In addition, the system must have indicators and documented evidence to measure progress and ensure traceability, linking these objectives with ESG criteria and the 2030 Agenda.

In short, the approach should be geared towards creating an inclusive and sustainable culture that strengthens internal cohesion and the internal and external reputation of the organisation.

Access the full article published in ElDerecho.com here.