Práticas de compliance nas contratações públicas da Universidade Federal do Cariri - UFCA

Abstract

The objective of the present work is to analyze the application of compliance in the administrative practices of public hiring at UFCA. It s tarts from an examination of the conjuncture for the application of this instrument from the demands of the effectiveness of social control and of diligence with the conformity of administrative procedures to foster the posture of transparency, integrity a nd ethics assumed by the State. A diagnosis of the concept, tools, and applicability of compliance is proposed, including in the public administration. In order to contextualize the object of the study to the environment of contracting, the stages of publi c contracting and the fragilities in the conduction of these processes are discussed. Based on this theoretical background, the chosen methodology is classified as descriptiveexploratory; with a predominantly qualitative approach, which used document anal ysis, but with the use of a quantitative collection technique (questionnaire using a Likert scale) with managers and contract inspectors for primary data collection. The chosen method was the field research. For data treatment and analysis the techniques o f content analysis, descriptive statistics, and the method of Exploratory Data Analysis (AED) were adopted. The results demonstrate that although there is no institutionalization of a compliance policy at UFCA, there is evidence of works performed in the a reas of ethics, integrity, risk management and governance that contemplate the axes of compliance. It was also identified that the participants of the research perceive compliance practices inserted in the routines of management and supervision of contract s. Based on the weaknesses found, the development of measures to improve compliance at UFCA was suggested. It was concluded that there are sparse instruments and measures diluted in several internal norms designed to meet other policies, which are potentia l contributions for the strengthening of a compliance system at UFCA. The consolidation of compliance in this institution may occur by means of existing structures, molding of capabilities already developed, and implemented instruments. For such, these ele ments must be organized to act in a coordinated manner for the prevention of corruption risks and weakening of fraud risks, worked on in individual conducts and in internal processes, including in public hiring.