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Item Entre o texto e o contexto: institucionalização dos programas de integridade no Brasil(Fundação João Pinheiro, 2019-12-09) Viol, Dalila Martins; Cruz, Marcus Vinícius Gonçalves da; Meirelles, Anthero de Moraes; Nogueira, Roberto Henrique PôrtoCorruption is a multifaceted phenomenon, with worldwide incidence, the effects of which mobilize strategies for its control and prevention. This paper has as its theme integrity programs, which are considered by entities, such as the Organization for Economic Cooperation and Development (OECD), as the most effective contemporary way of confronting corruption. Contemporarily, in Brazil, they have multiplied both in private and public organizations, the former being better known as compliance programs. The general objective of this dissertation is to analyze the institutionalization of integrity programs in Brazil. From a theoretical point of view, this particular research is justified as the theme is recent, as it is an object of conceptual conflicts and there are gaps in the academic production related to it. From a social point of view, the adoption and implementation of an integrity program requires investment of multiple resources by an organization, which has even created a market for integrity programs. In addition to public resources being invested, the Public Administration has been adopting integrity programs and promoting their adoption through private organizations, especially via legislation. By the same token, the discussion of the topic is extremely relevant due to the gravity and complexity of the problem that it proposes to face: corruption. The theoretical foundations used in this dissertation are based on the ideas of the new institutionalism. In the analysis of the phenomenon of the institutionalization of integrity programs, we chose, based on the case studies, the prisms of Tolbert and Zucker (1999), Peci (2016) and Scott (2014) together with DiMaggio and Powell (2005). As a background, the anti-corruption regulatory scenario was recaptured, as well as the prospects for corruption: the Weberian; the one related to the theory of public choice and the republican one. Methodologically, qualitative research was selected, through case studies, analyzing the integrity programs in six organizations of national relevance, members of the private sphere and of the direct and indirect Public Administration. Literature review, survey of legislation and secondary sources were conducted. The techniques used to collect data and evidence were: (i) documentary survey; (ii) perception of specialists obtained by participating in 16 events related to the theme of integrity; (iii) indepth interviews with four qualified informants; and (iv) study of six cases through 14 semistructured interviews, which were interpreted by the content analysis method. The survey's findings reveal that integrity programs are embedded in the republican perspective of corruption. The processes inherent to institutionalization described by Tolbert and Zucker (1999) indicate that four organizations surveyed are in the habitualization stage, while two others are in objectification and none in sedimentation of their integrity program. Similar analysis based on the steps of the integrity program allows us to state that none of them has an internalized culture of integrity. According to Peci (2006), what influenced the institutionalization of integrity programs in the institutional context were the market dynamics, the legislation and the effects of Operation Car Wash. In the organizational field, there was an influence of the organizational network, which, depending on the case, involved suppliers, shareholders, customers, holding, regulatory agencies, as well as public entities celebrating leniency agreements and Federal police. The internal structure of the organizations surveyed influenced the integrity programs as a result of several characteristics such as the size of the organization, the predominant professional group, founders' tutelage, characteristics of the staff and power disputes. The institutionalization process, from Scott's perspective (2014), reflects upon the influences of acceptance and reproduction of norms and values. The influence of legislation was verified in the regulatory pillars, notably in Law no. 12,846 / 2013 and the organizations' internal Code of Conduct; in the normative pillar, prominent incentives for the internalization of integrity programs were noticed through multiple strategies; and in the cognitive-cultural pillar, mimetic isomorphism was found, generally in the statements of exaltation of integrity and ethical conduct, arising from internal pressures in favor of an anticorruption discourse. Once, in this dissertation, integrity programs are analyzed based on the anti-corruption purpose, it is concluded that for these programs to achieve positive results in relation to their goal, it is necessary that the initial stages of the institutionalization process overcome the implementation of mechanisms and instruments connected with the cultural realignment of the organization, which promote the assimilation of the values and practices formalized in the documents by all members of the organization, so that they are applied to daily activities. The study collaborates with the technical and purposeful discussion related to corruption in the country through the analysis of integrity programs, providing as a practical implication on the reflection of the need for organizations to strengthen practices for the institutionalization of integrity programs in the sense of their sedimentation. In academic terms, the originality of the research is revealed in the discussion of a not much pursued studied topic and in the use of relevant theoretical and methodological tools. In social terms, the analysis of the phenomenon of corruption reinforces the urgency of the dissemination of mechanisms and instruments for prevention and containment, in line with the contemporary premises acclaimed by Brazilian society. Ultimately, it is suggested that further studies continue to analyze the institutionalization of integrity programs in order to verify their evolution and dissemination, as well as conduct research that verifies their effectiveness in relation to corruption.Item Fiscalização de contrato: um olhar sob a atuação dos fiscais de contratos de duas universidades federais mineiras(Fundação João Pinheiro, 2020-03-19) Pires, Adriane Margareth de Oliveira Santana; Oliveira, Kamila Pagel de; Oliveira, Kamila Pagel; Cruz, Marcus Vinícius Gonçalves da; Dufloth, Simone Cristina; Pinheiro, Daniel CalbinoOutsourcing has been widely used in public organizations. For it to take effect, it is necessary to carry out the bidding process and, subsequently, sign the administrative contract. From then on, it is up to the institutions to designate the civil servants who will act as contract inspectors and monitor the contractual execution, valuing the fulfillment of the obligations and duties agreed in the contractual instruments. These civil servants must act efficiently and committed to guarantee the proper use of public resources. This research was planned considering the importance of inspecting outsourced contracts function with the main objective of understanding the dynamics of contract inspectors performance as well as the structure and the institutional support received to fulfill this function. A case study was carried out in two federal educational institutions, using documentary and field research, through the application of a questionnaire and interviews with contract inspectors. From data analysis the existing weaknesses of designation, training and qualification processes for contract inspectors were identified, also the most relevant demands to perform this function. It was possible to elucidate the greatest difficulties and challenges during the performance of the assignments. Additionally, the inspectors' perceptions of the organizational structure that accommodates the inspection became evident and the institutional support they receive during the contract monitoring. Therefore, it was evidenced the inspectors lack of continuous learning through training courses offering. It was also identified that some inspectors deal with difficulties due to task overload; lack of adequate time to exercise the function; constraints arising from the interaction with other sectors and no inspection support sector. The study reveals that institutions need to improve working conditions, offering inspectors better institutional support for conducting their activities. The contribution of this study to the two institutions surveyed was to highlight and equate similarities, difficulties, deficiencies and other issues mentioned by contract inspectors. A more specific and robust study was offered regarding the performance of these servers responsible for monitoring the execution of outsourced contracts. In addition, it can contribute as decision and administrative support for other public organizations, in light of the information collected. Regarding new studies, it is necessary to consider conducting research in other public organizations to verify whether the envisaged scenario regarding the performance of the inspectors of these two universities is recurrent.Item Integridade, compliance e anticorrupção: as empresas estatais e o estado da arte(Fundação João Pinheiro, 2020-03-31) Caldeira, Marcos Guilherme Nunes; Dufloth, Simone Cristina; http://lattes.cnpq.br/6166815079725368; Dufloth, Simone Cristina; Wanderley, Cláudio Burian; Magalhães, Tiago FantiniIn a moment of reconstruction of the institutional place of state companies, tainted by the recent fraud and corruption scandals, the promotion of integrity and compliance has been highlighted in the State's solutions agenda. Issued in this context, the State-owned Companies Law brings to live a complex corporate governance arrangement, introducing a true system of integrity, compliance and anti-corruption. In this sense, and with the broader purpose of contributing to the improvement of the Brazilian integrity institutional environment, this study aimed to analyze the system of integrity, compliance and anti-corruption introduced by the Law of Stateowned Companies in the light of the international best practices, taking as a reference the guidelines established by the Organization for Economic Cooperation and Development (OECD). As a result, it was observed that the Law of State-owned Companies presents a considerable degree of convergence in view of the evaluated good practices, having introduced in the Brazilian legal system a normative arrangement of integrity, compliance and anticorruption, which moves towards what could be consider the 'state of the art'. On the other hand, despite substantially adhering to the transnational recommendations, the law still presents gaps and omissions in at least three perspectives: integrated risk management; internal controls, ethics and compliance; and autonomy of state-owned companies and their decision-making bodies. The results of the research point to a propositional agenda for future studies, with a focus on investigating the alternatives for improving the Law of State-owned Companies and the Brazilian institutional environment, based on the gaps and flaws identified. On the other hand, it also points to an agenda of applied studies, devoted to investigating and understanding the challenges of the law implementation and its concrete results in the universe of state-owned companiesItem Reforma do estado e controle administrativo: a experiência do acordo de resultados na Auditoria Geral do Estado de Minas Gerais(2010) Barbosa, Marcos Porto; Carneiro, Ricardo; Brasil, Flávia de Paula Duque; Gomes, Ana Paula SalejEsta monografia consiste em uma análise do Acordo de Resultados da Auditoria-Geral do Estado de Minas Gerais (AUGE), abordando os principais aspectos de seus processos internos de elaboração, monitoramento e avaliação. Para tanto, utilizou-se da pesquisa documental no âmbito da Superintendência de Planejamento, Gestão e Finanças (SPGF) da AUGE, e da Superintendência Central de Modernização Institucional (SUMIN) da Secretaria de Estado de Planejamento e Gestão de Minas Gerais (SEPLAG). Foram também realizadas entrevistas semiestruturadas em sua metodologia. Buscou-se como objetivo defender a tese de que o Acordo de Resultados da AUGE, inserido em uma estratégia de reforma do estado mineiro, por meio da utilização de uma ferramenta gerencial, possibilita o controle interno dos atos da Administração Pública. Partiu-se de uma retomada teórica dos temas da Reforma do Estado e do Controle Administrativo para, em seguida, situar o contexto do programa Choque de Gestão mineiro e, por fim, identificar elementos nos processos do Acordo de Resultados que evidenciassem a tese defendida. Os resultados obtidos na pesquisa revelam as particularidades dos processos internos que envolvem o Acordo de Resultados da AUGE. Chegou-se à conclusão de que a tese é comprovada por meio da pesquisa realizada.