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Dissertations |
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1
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RAISSA PAIVA PIRES
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A Mulher no Papel de Juíza em Tribunais Brasileiros.
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Advisor : TOMAS DE AQUINO GUIMARAES
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COMMITTEE MEMBERS :
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TOMAS DE AQUINO GUIMARAES
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EDSON RONALDO GUARIDO FILHO
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ANTÔNIO MOREIRA DE CARVALHO NETO
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PEDRO MIGUEL ALVES RIBEIRO CORREIA
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Data: Feb 17, 2023
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Show Abstract
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From the last decades of the 20th century, there were changes in the legal professions with the increase in the number of women, a phenomenon called “feminization”. The analyzed literature demonstrates that the increase in this participation is not linear over time, as well as it is not homogeneous in aspects related to functions, areas of activity or positions. Research on the feminization of the legal profession seeks to answer questions such as: a) in what way the participation of women in the organization of legal careers has occurred, given that this is a profession that was consolidated, by hegemony, from a perspective male and, b) what is the impact of feminization for the Law and for the profession in this area of knowledge. From this perspective, the study of social representation and the role of women in the judiciary becomes relevant, especially because it is a topic of high social relevance and little explored in the literature. The
objective of the research is to describe the exercise of the role of judge exercised by women. The theoretical framework will be based on the phenomenon of the glass ceiling, which demonstrates the gender disparity in relation to women's access to higher positions in professional careers in general, given that a large part of leadership and management positions are occupied by men. . In this way, it is noted that the feminization of the profession of judge faces several barriers and discrimination that inhibit the professional development of the female population and result in unequal relationships in the profession and in the career. A descriptive research will be carried out, with a qualitative approach, through semi-structured interviews, focusing on the perception of Brazilian judges from the five regions of the country, dealing with dimensions such as career entry, participation and the position of women in the judiciary, psychosocial relationships at work, as well as aspects related to balance between family life and work. A documentary analysis will also be carried out, focusing on administrative and normative documents issued by the National Council of Justice (CNJ) and by the courts where the future interviewees work. The data will be analyzed using the content analysis technique, with the help of an interview data analysis software, IRAMUTEQ.
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2
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Luciano Augusto Braz Melo Franco Bahia
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THE WELL-BEING AND SUSTAINABLE PERFORMANCE OF EMPLOYEES IN THE BRAZILIAN BANKING SECTOR IN TELEWORKING: an approach multimethod.
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Advisor : AMALIA RAQUEL PEREZ-NEBRA
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COMMITTEE MEMBERS :
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AMALIA RAQUEL PEREZ-NEBRA
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ESTHER VILLAJOS GIRONA
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FABIANA QUEIROGA
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TATIANE PASCHOAL
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Data: May 17, 2023
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Show Abstract
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The objective of this work was to describe how the relationship between well-being and performance occurs in the practice of telecommuting for bank employees, that is, this relationship is linear or presents other configurations when it focuses on the individual and how they are verbalized. The research innovates including the multimethod approach with the test of four hypotheses. Hypothesis 1 stated that telecommuting employees would present greater well-being when compared to face-to-face employees. Hypothesis 2 suggested that telecommuting employees would have higher performance self-assessments when compared to face-to-face employees. Hypothesis 3 expected that four profiles of the relationship between well-being and performance would be found. Hypothesis 4 expected that the happy and productive quadrant would present more positive lexes when compared to the others. This crosssectional survey was answered by 255 bank employees using semi-structured questionnaires. General well-being was composed of positive and negative emotions and job satisfaction and general performance by contextual and task performance, measures with acceptable psychometric qualities. Comparing the groups, neither wellbeing nor performance differ, refuting Hypotheses 1 and 2, and different from what was expected, 3 profiles were found, partially refuting H3. From the lexical analysis, 5 classes emerged: Class1 - Productivity and time savings, Class2 - Need for personal contact, Class3 - Comparison with colleagues, Class4 - Harassing behavior and Class5 - Family-work segmentation. The classes show significant differences for the unhappy and productive group between two of the five classes describing work-away behaviors and marginally significant differences for class four describing harassing behaviors. Diagnosis can be used as a way to reduce harm, but not to increase resources. The avoidant and family-oriented symptoms found may be covering up a deep suffering at work, configuring a possible survival strategy.
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3
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ANA LUIZA DE SOUTO SILVA
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“WOW, BUT YOU ARE A LESBIAN!?”: HETERONORMATIVITY AND THE CONSTRUCTION OF BEING A LESBIAN IN ORGANIZATIONS
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Advisor : MARCUS VINICIUS SOARES SIQUEIRA
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COMMITTEE MEMBERS :
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MARCUS VINICIUS SOARES SIQUEIRA
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GISELA DEMO FIUZA
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TATIANE PASCHOAL
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ELOÍSIO MOULIN DE SOUZA
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Data: May 29, 2023
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Show Abstract
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Considering the scarce studies on the effects of being a lesbian in the workplace, this dissertation aims to understand the effects of heteronormativity on lesbian individuals in organizations. The topic was analyzed in the light of Foucauldian references, regarding sexuality and its devices, as well as criticisms from Butler regarding the heteronormative system. Thus, it adopts a queer perspective, inspired by a post-structuralist and post-identity perspective of studies that understand gender as a socially, culturally, and historically situated construction. In-depth interviews were conducted with female workers from different fields of work who identify, define, perform, and reproduce the lesbian category. The findings were subjected to Foucauldian Discourse Analysis (FDA), which allowed the investigation of the discourses constructed about the social reality of lesbians, also their connections to power relations embedded in their social contexts
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4
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Carlos Lucas Campelo Freitas de Barros
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ORGANIZATIONAL VALUES AND STRATEGIC PERFORMANCE: Study in a Company Brazilian in the Financial and Insurance Sector
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Advisor : FRANCISCO ANTONIO COELHO JUNIOR
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COMMITTEE MEMBERS :
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FRANCISCO ANTONIO COELHO JUNIOR
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GARDENIA DA SILVA ABBAD
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PEDRO PAULO MURCE MENEZES CAVALCANTE
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ANA CRISTINA BATISTA DOS SANTOS
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Data: May 30, 2023
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Show Abstract
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The importance of aligning organizational culture and strategy has been consolidating over the last few decades, making this relationship an object of attention in the context of contemporary organizations. The alignment between culture and strategy is repeatedly addressed by the scientific literature on management, as it deals with the possible effects on conducting behavior linked to organizational success and thus influencing organizational performance. This research has the general objective of testing the predictive effect between the frequency of perception of the pillars of organizational culture, from the perspective of its employees, on organizational performance indicators of a Brazilian company that operates in the financial and insurance segment. The following research question was established: do the perception of the pillars of organizational culture, from the perspective of its employees, predict organizational performance indicators of a Brazilian company that operates in the financial and insurance segment? The following specific objectives were defined: a) to describe the general view of employees regarding the perception of the pillars of the Organization's culture; b) describe the influence of the perception of the pillars of the organizational culture with the corporate units, for the achievement of the Organization's strategy; c) describe the influence of perception of the pillars of culture with the business units, for the achievement of the Organization's strategy; and d) present evidence of internal validity of the frequency scale of perception of the pillars of organizational culture. Research hypotheses were defined seeking the empirical relationship between the variables, in order to verify the existing relationships between organizational culture and strategy, being the frequency of perception of the pillars of organizational culture, about work routines, the antecedent variable, and the indicator of the indicator of strategic adherence to the criterion variable. The research is characterized as a case study, with a mixed approach, descriptive in the qualitative approach and explanatory in the quantitative approach. The locus deals with a Brazilian private organization, with national operations. The study comprised three stages, namely: in the first stage, qualitative (Q1), interviews were conducted with the Organization's employees, with the aim of raising impressions and opinions about the topics under study; the second stage, quantitative (Q2), aimed to measure the strength of the application of the pillars of organizational culture in the day-to-day work and its predictive relationship with the achievement of the Strategic Adherence Indicator, through the survey (survey) of the perception of Company employees; and, finally, the third, qualitative stage (Q3) sought to raise the perception of managers, from different units, about the results obtained so far, thus aiming at methodological triangulation through complementarity. Content analysis and statistical procedures were carried out in the qualitative stages. For the quantitative testing of the research hypotheses, statistical tests were performed (ANOVA and multiple linear regression) to verify the degree of prediction, in the Organization, based on the possible relationship between the studied variables. As a result of this work, through the analysis of secondary data (Q2) a prediction relationship was presented between the frequency of perception of the pillars of the organizational culture on the Organization's strategic performance indicators. This prediction relationship between the criterion variable represented by the IAE indicator (N=695 and Adjusted R Squared 0.082), and two factors of the independent variable (Soft and Hard Skills) associated with the variable type of unit (UC/UN) had a significant relationship , to this relationship is added the effort of the qualitative stages (Q1 and Q3) whose result showed strong adherence between the variables from the perspective of the interviewees.
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5
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Analía Amelia Damevin
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Factors involved in the implementation and adoption of a digital payment system: The Mercurio case of the National University of the Littoral.
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Advisor : JOSIVANIA SILVA FARIAS
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COMMITTEE MEMBERS :
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JOSIVANIA SILVA FARIAS
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AMALIA RAQUEL PEREZ-NEBRA
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SIEGRID GUILLAUMON DECHANDT
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KLEVERTON MELO DE CARVALHO
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BRUNO AERIEL REZZOAGLI
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Data: Jun 16, 2023
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Show Abstract
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Organizations are advancing towards greater digitization in all its dimensions and the use of technologies is important to improve the efficiency of internal processes and the provision of services to citizens. But, for technologies to improve productivity, they must be accepted and used by the employees of the organizations. The objective of this study was to investigate, on the one hand, the combination of events and activities that gave rise to the analyzed system and its characteristics, and, on the other hand, the factors and determinants, both organizational and adopter, involved in the processes. implementation, acceptance and adoption of a Digital Collection Management System called Mercury at the Universidad Nacional del Litoral (UNL), in Argentina. The research was developed under the qualitative approach on an empirical case through the content analysis of 16 semi-structured interviews. In addition, a documentary research was carried out to analyze the results of the tool through descriptive statistics. It was observed that the most perceived driver in the implementation was the Pandemic and the most prominent barrier was resistance to change. On the other hand, the most observed factors in the perceptions of acceptance, adoption, and use were those related to the improvements or performance provided by the system, and the most prominent barrier was the anxiety factor. None of the perceived barriers is related to system characteristics such as incompatibility, complexity, lack of benefits, or non-observability of the benefits provided by the tool. Finally, it is important to highlight that the word pandemic was expressed in the interviews related to the perceptions of the factors relative advantages, perceived usefulness, performance expectation, facilitating conditions, and social influence. The study allowed to recognize the most important factors that influenced the implementation, acceptance and use of an ICT, these must be considered in the UNL or in an institution with similar characteristics that wishes to implement a new technology in the future. Likewise, it contributed to a greater institutionalization of the topic of innovation and the adoption of technologies in public spaces.
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6
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Paulo Emilio Alcantara Pereira
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Big Data Analytics and Data Mining for Evaluation and Forecasting of the Financial Efficiency of the Brazilian Banking Sector: A Study from 2011 to 2022.
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Advisor : IVAN RICARDO GARTNER
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COMMITTEE MEMBERS :
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CARLOS ROSANO PENA
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IVAN RICARDO GARTNER
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JOSE ALVES DANTAS
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PAULO HENRIQUE DE SOUZA BERMEJO
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Data: Jun 23, 2023
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Show Abstract
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The banking sector as a comprehensive data topic is constantly evolving under the advertising influences of the big data era. Verifying the innovative analytical resources of significant details such as data mining methods is crucial for the banking sector, which strives to reveal valuable information from the enormous amount of data and achieve better strategic management and customer satisfaction. Due to the lack of studies dealing with these technological models in a joint form related to banking financial performance in the Brazilian scenario, this work developed two complete and complementary theoretical-empirical studies, the first using primary data from direct interviews with various actors involved with the study object, and the second using official and public secondary data provided by the national bank regulator, the Central Bank of Brazil. By gathering and analyzing trends in concentration studies, online resource information, technical aids, and analytical resources for information, this particular dissertation contributes to gaining important insights into the successive advances in big data analysis (BDA) and data mining (DM) in the banking sector. Thus, the study aims to verify, in a first moment, the influence of BDA on banking financial performance, and in a second moment, to analyze which DM technique is best for predicting financial performance (FP) of banks. The proposition being tested in this study is that these technologies play a fundamental role in the banking industry, becoming fundamental solutions for corporate financial performance scholars and financial analysts. Therefore, as a general conclusion, the work supports the argument that BDA and DM play a determining and finalistic influence on decision-making in corporate management, contributing fundamentally to financial performance, and can even determine its success or failure, depending on the management undertaken in data analysis. In addition, the work contributes to discussions about big data analysis, asset management, resource management, among other subjects, especially from the perspective of banking supervisory agents with actions focused on financial stability.
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7
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ARTHUR DE BRITO BALDINI
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MGARCH supported event studies: applications in corporate and monetary policy events in the period between 2021 and 2022
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Advisor : IVAN RICARDO GARTNER
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COMMITTEE MEMBERS :
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CARLOS ROSANO PENA
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IVAN RICARDO GARTNER
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JOSE ANGELO COSTA DO AMOR DIVINO
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JOSE GUILHERME DE LARA RESENDE
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Data: Jun 26, 2023
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Show Abstract
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The event studies methodology is the most popular way of testing the efficient markets hypothesis in semi-strong form. However, problems related to the presence of heteroscedas- ticity and the difficulty of modeling dynamic betas limit the scope of their results, making alternative models proposed by the literature a form of methodological support. This work follows this line of methodological support by using multivariate GARCH models (MGARCH) to model both heteroscedasticity and dynamic betas in event studies. With this objective, two works were carried out on events related to the Brazilian stock market between 2012 and 2022, one of them being endogenous to the Brazilian economy and the other exogenous. The work involving events endogenous to the Brazilian market explored debt offering annoucements through BEKK-GARCH models, to verify how information about changes in the leverage of Brazilian firms would affect their returns. The results presented both by the classic methodology and by the methodology with MGARCH models indicate a negative and statistically significant reaction of the Brazilian market to announcements of debenture offers, being the biggest reaction verified by the methodology with volatility modeling. In the work involving exogenous events to the Brazilian stock market, Ibovespa’s reaction to monetary announcements by the Federal Open Market Committee (FOMC) was investigated. For this, the event study methodology was con- ducted considering the BEKK-GARCH and DCC models. The results of the estimated MGARCH models indicate a significant transfer of volatility from the S&P500 index to the Ibovespa, but no persistently abnormal returns were observed on the dates of the FOMC announcements. However, on the dates when there was a statistically significant reaction by the Brazilian stock market, it was explained by elements of forward guidance present in the FOMC announcements. Together, the results of the two articles show relevant differences in the abnormal returns obtained through the classical event study methodology and through the methodology that used MGARCH models as support
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8
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ABNER SANTOS BELÉM
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The Manifestation of Co-creation and Co-destruction of Value in the Customer Perception of Fintech and Its Relationship with Their Personality Traits
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Advisor : JOSIVANIA SILVA FARIAS
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COMMITTEE MEMBERS :
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ELUIZA ALBERTO DE MORAIS WATANABE
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JOSIVANIA SILVA FARIAS
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KARIM MARINI THOME
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RICARDO TEIXEIRA VEIGA
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Data: Jun 28, 2023
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Show Abstract
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With the emergence of fintech companies in the financial sector, a new era has arisen for banks. In this context, the survival of these new companies becomes an intense challenge, necessitating a search for new paths for the development of their innovative business models. This involves creating an enhanced customer experience and adopting more participative approaches that result in the transformation of services and the creation of value through co-creation (value cocreation - VCC). However, these participative strategies do not always unfold as planned, often yielding negative results for either or both parties involved (customer and company), leading to value co-destruction (VCD). Consequently, customers who actively engage in service relationships with a company can create value by exhibiting expected traits and behaviors that facilitate the integration of resources. Conversely, they can destroy value when they fail to demonstrate the expected set of traits and behaviors. Analyzing the literature on this subject reveals a scarcity of quantitative research on the VCC and VCD behaviors of service customers/users and their relationship with personality traits. Therefore, this study examined the relationship between customers' personality traits and value co-creation and value codestruction in the context of fintech services. To achieve this, a quantitative, descriptive, and exploratory study was conducted, which involved the development of a data collection instrument. This instrument consisted of adapting scales already developed by authors Ogunbodede et al. (2022), Yi and Gong (2013), and Rammstedt and John (2007) to the study's reality. By applying this instrument in the form of an online questionnaire, 381 responses were collected from customers who regularly use Brazilian fintech services. Through the analysis of this data, employing exploratory factor analysis (EFA), confirmatory factor analysis (CFA), and structural equation modeling (SEM), it was possible to validate the developed model, test five proposed hypotheses, and achieve the general and specific objectives of this dissertation. Finally, conclusions, limitations, and suggestions for future research in the field of service marketing were formulated, providing a deeper understanding of the relationship between personality traits, value co-creation, and value co-destruction in the context of fintechs.
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9
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Raphael Salviano de Souza
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STRATEGIES FOR THE REVALUATION OF WASTE FROM ELECTRICAL AND ELECTRONIC EQUIPMENT IN BRAZIL: APPLYING PRINCIPLES OF THE CIRCULAR ECONOMY
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Advisor : PATRICIA GUARNIERI DOS SANTOS
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COMMITTEE MEMBERS :
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KARIM MARINI THOME
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PATRICIA GUARNIERI DOS SANTOS
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REGINA NEGRI PAGANI
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SIMONE SEHNEM
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Data: Sep 18, 2023
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Show Abstract
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Waste from electrical and electronic equipment – WEEE currently figures as one of the fastest growing municipal solid waste streams in Brazil and in the world. The sectoral agreement for the implementation of a reverse logistics system for Brazilian electrical and electronic products was established in 2019 and represented a relevant step towards the institutionalization of appropriate measures for the destination and treatment of WEEE from equipment placed in the domestic market. However, according to Green Eletron (2021), only 3% of WEEE generated in the country is reintroduced into formal value chains. In addition, the effects of the sectoral agreement are reactive to the waste generated in the post-consumption period. Thus, there are no provisions that discuss the design and manufacturing processes of electrical and electronic equipment. In this scenario, the circular economy has been receiving special attention among academics and professionals for promoting the closing of the life cycle of products and the creation of new business models that contribute to economic growth and sustainable development. The objective of this dissertation is to propose strategies to improve the national WEEE revaluation chain through the institutionalization of circular economy principles in the design and manufacturing phases of electrical and electronic equipment. To this end, an applied, exploratory and descriptive research was carried out, with a predominantly qualitative approach, divided into two stages. First, in the theoretical stage, an integrative literature review was performed based on the Methodi Ordinatio protocol. Subsequently, in the empirical stage, individual semi-structured interviews (n = 12) were conducted with stakeholders of the sectoral agreement for electrical and electronic equipment products. The inputs collected in the interviews enabled the use of the SODA (Strategic Options Development and Analysis) method of problem structuring, which provides for the elaboration of individual cognitive maps and subsequent aggregation into a single map from validation by the research participants. Finally, it was found that, starting from the concept of circular economy, there are different strategies of retention, addition and recovery of value that can be applied to improve the chain of revaluation of WEEE in Brazil. Despite the emphasis on the design and manufacturing phases of equipment, these strategies go through the revision of the normative framework, especially related to the taxation of material from the disassembly and separation processes.
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10
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RAFAEL ANTUNES FIDELIS
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INDIVIDUAL DIGITAL CAPABILITIES AS AN ANSWER TO BUSINESS CHALLENGES OF SMALL AND MEDIUM ENTERPRISES: A case study in a software company based on microfoundations theory
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Advisor : PAULO HENRIQUE DE SOUZA BERMEJO
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COMMITTEE MEMBERS :
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ANTONIO ISIDRO DA SILVA FILHO
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GEORGE LEAL JAMIL
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JOSIVANIA SILVA FARIAS
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PAULO HENRIQUE DE SOUZA BERMEJO
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Data: Sep 29, 2023
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Show Abstract
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For Digital Transformation (DT) to be successful, organizations are required to integrate business planning with the implementation of Information and Communication Technologies (ICTs). In this sense, companies with individual digital capabilities may be able to carry out this process more effectively. While there is consensus on the importance of developing digital capabilities among employees, there is still a lack of studies on the impacts of individual digital capabilities aimed at organizational problems. This fact is even more evident in Small and Medium Enterprises (SMEs) of software development, which face diverse challenges and fundamentally depend on individual knowledge for their efficiency. Based on this research gap, this research aims to analyze how individual digital capabilities can mitigate the business challenges of software SMEs. To achieve this end, we propose qualitative research, of an applied nature and with an exploratory objective, incorporating a Systematic Literature Review (SLR) and a case study with a company in this segment and size. This research is based on the theoretical lens of microfoundations, which observe individual-level aspects that shape elements and characteristics at the group level. As a result, this study seeks to contribute to the guidance of managers, entrepreneurs, and researchers about the role of individual digital capabilities in solving organizational problems based on DT.
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11
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ANA PAULA DE SOUZA CUNHA
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The municipal executive and the development of political-relational capabilities in a network context of public policies: a case study on the National Program for Strengthening Family Agriculture in Goiás.
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Advisor : DIEGO MOTA VIEIRA
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COMMITTEE MEMBERS :
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DIEGO MOTA VIEIRA
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FRANCISCO ANTONIO COELHO JUNIOR
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CAIO CESAR DE MEDEIROS COSTA
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LIA DE AZEVEDO ALMEIDA
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Data: Oct 30, 2023
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Show Abstract
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With a prominent importance within studies in Public Administration, public policy networks and state capabilities configure the two central themes of this work. The combination of these important concepts sought to point out how a given program from the National Family Farming Policy network develops its relational and political capacity in the best way, taking into account the environment considered. Therefore, the objective of the present work is to analyze how the municipal sphere of the state of Goiás manages to acquire and activate political-relational state capabilities through network action for the implementation of the National Program for Strengthening Family Agriculture (PRONAF). The theoretical framework focused on covering the main points about public policy networks and state capabilities, along with historical milestones and description of PRONAF and the trajectory of family farming in the Brazilian context, in order to contemplate what is analyzed in the results chapter. As a method, we decided on a qualitative approach along with the case study, with justification around the characteristics of observation, interpretation and role of the researcher within the research and analysis of their data, combined with the descriptive and exploratory nature of the study. Data collection was carried out using the interview technique, conducted using a semi-structured script and based on the literature on the two main themes raised here. The results obtained demonstrated how the municipal level can work to develop better political-relational capabilities in its dealings with other bodies linked to the issue of family farming, different spheres of government and civil society, raising barriers and challenges for better implementation of PRONAF and the importance of strengthening ties in achieving similar goals and positive impacts on society
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12
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Anderson da Silva Gomes
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Good Judicial Management Practices: Analysis of the Development and Adoption Process in the Court of Justice
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Advisor : TOMAS DE AQUINO GUIMARAES
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COMMITTEE MEMBERS :
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TOMAS DE AQUINO GUIMARAES
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JOSIVANIA SILVA FARIAS
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MARINA FIGUEIREDO MOREIRA
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FABRICIO CASTAGNA LUNARDI
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Data: Dec 19, 2023
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Show Abstract
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Best Judicial Management Practices (BPJ) are organisational innovations with the potential to contribute to increasing procedural delivery and performance in courts of justice. Its absorption responds to social, economic and political demands for a more efficient, fair and accessible jurisdictional provision. However, the phenomenon has been little studied. This paper considers BPJ as outstanding innovative procedures, methods and management techniques recognized as potentiators of judicial performance and has as its general objective to identify and describe the process of development and adoption of BPJ under the perception of key actors of the Court of Justice of the Federal District and Territories (TJDFT), awarded by the Innovare Institute and the National Council of Justice (CNJ) in this regard. To this end, these practices were mapped and their adoption and development process were analyzed in depth. A longitudinal survey was carried out from December 2018 to September 2023 and documentary research techniques and interviews were used in data collection, which were processed through content analysis. The results showed that steps and factors in the process of adoption and development of BPJ interact dynamically, shaping the path of each innovative practice. Idea generation has been found to thrive in a nurturing organizational culture that fosters creativity, collaboration, and relative risk-taking. Adaptable, yet consistent and strategic support from leadership, team engagement, and the availability of resources proved to be essential in this process.
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13
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Marcellus Silveira Curvello Lopes
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THE SERVICE ECOSYSTEM AND CO-CREATION OF VALUE IN THE CLUB CONTEXT
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Advisor : KARIM MARINI THOME
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COMMITTEE MEMBERS :
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JOSIVANIA SILVA FARIAS
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KARIM MARINI THOME
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NELSIO RODRIGUES DE ABREU
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SIEGRID GUILLAUMON DECHANDT
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Data: Dec 20, 2023
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Show Abstract
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Clubs are groups where people come together to interact, play sports, hold events, socialize or simply be outdoors. Many of these clubs, like those in Brasília, are considered historical institutions of their cities and still resist changes over time, even in an increasingly competitive world with more leisure options. This work sought, from the perspective of value co-creation derived from the dominant logic of service, to investigate how clubs in the Federal District state in Brazil operate in their routines and how they interact with each other, seeking to improve the service they offer. The research objectives were to characterize the service ecosystem in the context of these clubs, map the actors and institutions and characterize the co-creation mechanisms between the organizations in this ecosystem. By conducting in-depth interviews with participants from three different clubs and the employers' union, in addition to the researcher's non-participant observation, results were obtained for several key concepts, categorized by their respective levels of analysis, that were based off the work of Reynoso, Barile, Saviano and Spohrer's (2018), used to guide this research. It was found that, despite interesting characteristics such as the idea of mutual non-aggression between clubs and initiatives to integrate resources between them, it cannot be said that there is a service ecosystem in this club sector, and that co-creation of value occurs in an incipient way. Actions were suggested to encourage the co-creation of value within this emerging ecosystem and an agenda for future research was also made available.
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Thesis |
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1
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PATRICIA GOMES REGO DE ALMEIDA
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ARTIFICIAL INTELLIGENCE GOVERNANCE IN PUBLIC ORGANIZATIONS: APPLICATION OF FUZZY AND CRISP-SET QCA FOR PROCESSES AND PRACTICES THAT CONSIDER PRINCIPLES ETHICAL
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Advisor : CARLOS DENNER DOS SANTOS JUNIOR
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COMMITTEE MEMBERS :
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CARLOS DENNER DOS SANTOS JUNIOR
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HERBERT KIMURA
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ELAINE MOSCONI
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PEDRO JACOME DE MOURA JUNIOR
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RAQUEL JANISSEK MUNIZ
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Data: Feb 14, 2023
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Show Abstract
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The race for regulation and AI global governance has advanced in the field of discussions which fostered many proposals for legislation and the defense of ethical principles’ definition by researchers, public and private managers, government officials, jurists, legislators and by society itself. While observing this challenging movement for all stakeholders, public organizations that produce AI systems are faced with the need to structure themselves to offer digital services based on AI systems that consider ethical principles. This research aimed to investigate whether public organizations have incorporated the guidelines presented by the academy, by legislation and by international standards, to their governance and management models in the production of AI systems that consider ethical principles. The investigation began with bibliographic research on AI regulation and AI governance, which supported the design of an AI regulation and governance framework that encompasses public and private institutions in a country, the AIR – Artificial Intelligence Regulation framework. Eleven propositions were elaborated on the processes and practices recommended by the academy, by the legislation under discussion and by international standards for the implementation of AI governance. A search was carried out in public organizations that had AI systems in operation. As a result, a sample was composed of twenty-eight public organizations, distributed in seventeen countries. With an exploratory and descriptive purpose, through a qualitative-quantitative analysis approach, the Quantitative Comparative Analysis (QCA) method was carried out, in crisp-set and fuzzy modes, both based on questionnaire responses. The QCA results joined to the interviews and public documents’ content analysis. The results supported a few findings in the studied sample: a) how organizations that were most advanced in the implementation of AI governance combined processes and practices distributed at different levels of the organization, aiming at the development of reliable AI systems; b) how they used drivers to help AI governance implementation; and c) how they faced the obstacles in such journey. A framework was built regarding how the joint participation between business units and the IT unit can be adjusted to respond to situations involving AI systems outsourcing, and to expand the benefits of government recommendations (soft laws). As theoretical contributions, the research highlights the need for collaboration between stakeholders in complex intra and interorganizational relationships supported by the Stakeholder Theory; as well as efforts to ensure accountability as an ethical principle which is part of AI governance, supported by the Agency Theory. In addition to the AIR framework, a second framework was elaborated on how processes and practices are distributed in a public organization, with a partnership between the business area and the IT area, in an AI governance model. As a contribution to managers and researchers, in addition to knowledge of the transformations identified in organizations, the research presented an integrated model of governance and management processes and practices, which extend from the strategic level to the operational level of a public organization for its AI governance implementation. By this way, it is expected that public organizations can add itself into its country's AI governance, and thus joins to the global AI governance movement.
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2
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Fabio Augusto Scalet Medina
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TESTS ON OPERATIONAL RISK
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Advisor : HERBERT KIMURA
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COMMITTEE MEMBERS :
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FABIANO GUASTI LIMA
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ELI HADAD JUNIOR
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HERBERT KIMURA
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LEONARDO FERNANDO CRUZ BASSO
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RAUL YUKIHIRO MATSUSHITA
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Data: Feb 27, 2023
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Show Abstract
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This Doctoral Thesis contains Essays on Operational Risk in the banking sector, which gained importance after the disclosure of the Basel Accords, due to the large capital consumption to face this risk and its management challenges, since identification and measurement until mitigation. This Thesis contains a literature review and systematic classification of scientific articles published on the subject and the results obtained in the search to verify whether the operational risk events of a national bank had an impact with the new coronavirus pandemic, as well as which internal variables of the bank may influence operating losses in the post-pandemic period. Finally, a methodology is proposed for conducting Operational Risk Stress Tests.
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3
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Flavio Saab
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THE QUALITY OF THE REGULATORY IMPACT ANALYSIS IN BRAZILIAN FEDERAL REGULATORY AGENCIES
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Advisor : SUYLAN DE ALMEIDA MIDLEJ E SILVA
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COMMITTEE MEMBERS :
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NATASHA SCHMITT CACCIA SALINAS
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ADALMIR DE OLIVEIRA GOMES
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ALKETA PECI
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DIEGO MOTA VIEIRA
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SUYLAN DE ALMEIDA MIDLEJ E SILVA
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Data: Mar 13, 2023
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Show Abstract
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This thesis examines regulatory impact analysis - RIA as a tool to support decision-making in federal regulatory agencies in Brazil. Despite its wide use, there are few studies that assess the quality of RIA and that examine its analytical capacity to support good decisions. The available studies are concentrated in the United States and Europe and adopt limited evaluation criteria. To contribute to the construction of knowledge on the subject, this thesis has the general objective of investigating the quality of RIAs carried out by Brazilian federal regulatory agencies. To achieve this general objective, the thesis was organized into three independent but complementary studies. Each study aims to achieve a specific objective: (i) to understand the current state of the literature on RIA quality assessment; (ii) evaluate the quality of AIRs carried out by Brazilian federal regulatory agencies; (iii) ascertain the factors that influenced the quality of RIAs carried out by Brazilian federal regulatory agencies. The first study was carried out through a literature review, provided an overview of the quality of RIA in different countries and contributed with concepts, methods and approaches on the subject. In the second study, an evaluation instrument was developed with 50 quality criteria, which was applied to evaluate 21 RIAs carried out by Brazilian regulatory agencies. It was identified that the impact analysis in the country presents important weaknesses and inconsistencies. The third study investigated, through documentary research and interviews, the bureaucratic, political and institutional factors that may explain the low quality of RIA in Brazilian agencies. The analysis of the three studies allowed knowing the state of the art on the subject, identifying the weaknesses of RIA in Brazilian regulatory agencies and exploring the explanatory factors of its low quality. As practical contributions, paths were indicated for Brazil to adopt actions, strategies and procedures that qualify RIA and increase the effectiveness of regulation in the country. A research agenda was also proposed that can contribute to the advancement of knowledge on the subject.
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4
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ELOISA GONCALVES DA SILVA TORLIG
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ACCESS TO RIGHTS AND JUSTICE FOR HOMELESS PEOPLE: The case of POP Centers in the Federal District
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Advisor : ADALMIR DE OLIVEIRA GOMES
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COMMITTEE MEMBERS :
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ADALMIR DE OLIVEIRA GOMES
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TOMAS DE AQUINO GUIMARAES
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ADRIANA GOURLART DE SENA ORSINI
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MARIA TEREZA AINA SADEK
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PEDRO LUIZ COSTA CAVALCANTE
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Data: May 25, 2023
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Show Abstract
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This research acknowledges new approaches and challenges in access to justice studies, expanding the term to "access to rights and justice (ARJ)", considering a trajectory of citizenship and social inclusion of vulnerable groups that extends beyond the legal sphere, involving various public services and the participation of diverse actors. Adopting an interdisciplinary approach, the research aims to explain how the institutional arrangements of POP Centers influence access to rights and justice for homeless people in the Federal District (DF). To do so, primary and secondary data from various sources are used. The triangulation of techniques and strategies for complex social phenomena (TRI-COMPLEX) demonstrates how data collection was conducted, using participant observation, in-depth unstructured interviews, and thematic content analysis. The core of the research lies in the configuration of institutional arrangements between the POP Centers/DF and the rights defense agencies, exploring central aspects of this structure, including its limitations and potentialities. The results indicate that joint initiatives are conducted through formal action instruments within specific programs, but not necessarily integrated, mainly using informal coordination mechanisms. The research reveals a scarcity of collaborative spaces for joint action planning, setting common goals and objectives, and active participation of the homeless population. In addition, it was found that POP Centers/DF face autonomy limitations in policy implementation, a situation of violence in daily work relationships, as well as mental health problems of employees, urgently requiring management attention. Other relevant aspects of the study include: i) the profile of the homeless population; ii) the continuum of articulation between POP Centers and various institutions; iii) the different layers of access to POP Center services; iv) proposals for projects that can be implemented within the units. A specific section was reserved for the main findings of the research, addressing theoretical and practical implications, and setting a research agenda. Finally, the access to rights and justice model proved to be compatible with practical application, considering not only broad changes but also everyday practices, in which rights protection must constitute an unquestionable priority, forming subjects (and not objects) of rights.
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5
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Bruno Batista de Carvalho Luz
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Legitimacy of constitutional courts in crisis contexts: from jurisdiction boundary expansion to managing disruption practices
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Advisor : EDSON RONALDO GUARIDO FILHO
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COMMITTEE MEMBERS :
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EDSON RONALDO GUARIDO FILHO
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ADALMIR DE OLIVEIRA GOMES
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SUZANA BRAGA RODRIGUES
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MARIO PROCOPIUCK
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SAMIR ADAMOGLU DE OLIVEIRA
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Data: May 31, 2023
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Show Abstract
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The general objective of this thesis was to analyze how social tensions arising from crisis contexts influence the legitimacy of constitutional courts. In this sense, it is argued that the performance of these organizations, when demanded for greater prominence, can erode their authority. This is the case of jurisdiction boundary expansion, which may result in greater social clashes and judgments that weaken the institutional position of these organizations. In moments of crisis, the prominence and the risk of expansion and its dysfunctional consequences increase. This attrition is caused by the conversion of the factual crisis into a discursive crisis. This may require the need for disruption management strategies as an effort to moderate the loss of institutional capital of the court and the game of interactions in the field. The paper, therefore, focuses on constitutional courts as organizations immersed in society, indicating risks associated with the actions taken, the discourses delivered, social support and societal crisis. The specific objectives of this study were developed in Chapters 2 to 5, structured in the form of four individual and interdependent articles, preceded by a general and integrative introduction presented in Chapter 1 and succeeded by Chapter 6, in which the general conclusions and recommendations arising from the research are addressed. Chapter 2, theoretical in nature, characterized constitutional courts as institutionalized organizations and the conditions to their legitimacy. Chapter 3, of theoretical nature, analyzed how social tensions arising from crisis contexts influence the legitimacy of constitutional courts. Chapter 4, empirical in nature, analyzed how jurisdiction boundary expansion influenced the authority of the Supreme Federal Court of Brazil (STF) in the context of the coronavirus crisis in Brazil in the period from 2020 to 2022. Chapter 5, empirical in nature, investigated how the STF's authority crisis was influenced by moderation mechanisms in the context of the coronavirus crisis in Brazil in the period from 2020 to 2022. Documentary data from legal sources, debates, exhibits, institutional portals, books, and media materials were used. Interviews with representatives of various categories of society actors were also used. The results pointed to: (i) the design of a field of visibility and criticism around the legitimacy of the STF from the identification of three frames: offensive, moderating and defensive and (ii) jurisdiction boundary expansion as an interpretative phenomenon delineated in the field from legal, normative and responsive logics; (iii) legitimacy dissonance as a dysfunction of judicial expansion that, by framing actions and their social repercussions, weakens the authority of the courts through the attrition of institutional capital at the levels of legal actors, legal organization, legal field and legality and; (iv) the management of rupture as a set of strategies to moderate dissonances of legitimacy based on segmented tactics in discursive, symbolic, relational and procedural modalities. The results contribute to the promotion of interdisciplinary dialogue between the fields of law, political science, organizational studies and administration of justice insofar as they deepen issues related to the political-discursive nature of the problem of legitimacy of institutionalized organizations.
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6
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Cayan Atreio Portela Bárcena Saavedra
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Essays in Machine Learning Applications in Credit Risk
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Advisor : HERBERT KIMURA
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COMMITTEE MEMBERS :
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HERBERT KIMURA
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JULIANA BETINI FACHINI GOMES
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ELI HADAD JUNIOR
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FABIANO GUASTI LIMA
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LEONARDO FERNANDO CRUZ BASSO
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Data: May 31, 2023
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Show Abstract
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The use of machine learning models for decision making is consolidated in the industry. Machine learning automated solutions are part of the expected credit loss estimation process. The present work investigates credit risk applications to estimate the default probability parameter. Different challenges, that arise at different stages of the automation pipeline, are addressed. The first chapter, investigates the use of sensitive variables when estimating probability of default. Different strategies, from pre-processing step do modeling classifier algorithms, are combined to identify the drop in performance caused by the absence of features that might bring sensitive information. The second chapter uses Survival Analysis to estimate probability of default. Since the implementation of International Financial Reporting Standard 9 (IFRS 9), the method required for estimating the PD parameter has experienced significant changes, demanding frequent improvement on techniques to comply with the new regulation. The third chapter propose a statistical learning method that incorporate information on prepayment, as a secondary risk, when estimating the probability of default. In this way, this work provides an overview of applications in PD estimation, using different datasets, and different methods of machine learning algorithms.
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7
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OMAR OURO-SALIM
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Institutional Isomorphism in the Circular Economy of Food Waste: A comparison between Brazil (South America) and Togo (Sub-Saharan Africa)
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Advisor : PATRICIA GUARNIERI DOS SANTOS
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COMMITTEE MEMBERS :
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PATRICIA GUARNIERI DOS SANTOS
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DIEGO MOTA VIEIRA
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KARIM MARINI THOME
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ANDREA LAGO DA SILVA
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SIMONE SEHNEM
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Data: Jun 7, 2023
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Show Abstract
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The Linear Economy (LE), inherited from the 19th-century Industrial Revolution, has reached its limit due to the depletion of natural resources. In this context, it is still concerning that 1.3 billion tons of food are wasted worldwide each year. Globally, food waste poses challenges for governments, international organizations, and scientists, with negative impacts on the environment and food security. Due to increasing waste rates and the complexity of food supply chains worldwide, the transition of the food supply chain towards a Circular Economy (CE) is essential for a sustainable food system. The CE focuses on the revaluation of waste to be used as materials with added value. It is a sustainable economy recommended by developed countries and is currently being expanded in developing countries. This study aims to analyze food waste mitigation in restaurants and its valorization by NGOs in Brasília (Brazil/South America) and Lomé (Togo/Sub-Saharan Africa) from the perspective of the Circular Economy and Institutional Theory. In this context, a quanti-qualitative study was conducted through the perception of restaurant and NGO actors in both countries. The questionnaires were distributed via social networks and in printed format to the research participants. Data comparison was performed through content analysis and triangulation. It is emphasized that Institutional Theory was proposed as a theoretical lens for the isomorphic convergence of circular practices and provides an in-depth analysis of institutional pressures that can facilitate their implementation. The results indicate the need for a holistic and systemic approach to effective food waste management systems, based on a consolidated theory, including the development of uniform definitions of food loss and waste, as well as accessible and comparable food waste data. However, further consistent research in the field of Circular Economy of food waste in developing countries is still needed. Additionally, actor awareness, collaboration among actors, financial support, and the presence of strong and appropriate institutions at all levels are essential. Furthermore, there was observed limited adoption of CE strategies in restaurants and CE-like waste management practices in NGOs. This study contributes to scientific advancement as it identified research gaps that can guide future studies and public policies in this field. Finally, it is emphasized that this research can still bring economic, social, and environmental benefits, especially in the context of developing countries, considering waste revaluation. Moreover, these gains can serve as discussion points for the implementation of measures that mitigate food waste
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8
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Leonardo Ferreira de Oliveira
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ENSAIOS SOBRE CAPACIDADE DE INOVAÇÃO EM TRIBUNAIS
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Advisor : TOMAS DE AQUINO GUIMARAES
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COMMITTEE MEMBERS :
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FABRICIO CASTAGNA LUNARDI
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GARDENIA DA SILVA ABBAD
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LUCIANO ROSSONI
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MARCOS DE MORAES SOUSA
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TOMAS DE AQUINO GUIMARAES
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Data: Sep 29, 2023
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Show Abstract
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Esta pesquisa tem como objetivo identificar e medir os principais fatores associados com a capacidade de inovação em tribunais. A inovação é um tema que tem crescido no âmbito do setor público, incluindo o Poder Judiciário, despertando interesse de acadêmicos e de gestores públicos por seu potencial de resposta aos inúmeros desafios da sociedade na atualidade. A busca pelo incremento da eficiência e da eficácia tem impulsionado o desenvolvimento e a adoção de inovações em tribunais, os quais, dada sua influência no desenvolvimento social e econômico dos países, se constituem em assunto de grande relevância. Todavia, carecem estudos que abordem a capacidade de inovação nos tribunais. Visando contribuir para melhor compreensão do tema e para preencher essa lacuna de pesquisa, foram desenvolvidos os estudos dessa tese. Dessa forma, os Capítulos 2, 3 e 4 respondem a objetivos específicos da tese, enquanto os capítulos 1 e 5 tratam, respectivamente, da introdução e das conclusões e recomendações da pesquisa. O Capítulo 2 traz a sistematização da literatura científica recente, propondo um referencial teórico explicativo sobre os principais fatores associados à capacidade de inovação nos tribunais, a saber: Liderança, Comportamento de Equipe, Colaboração, Recursos Organizacionais, Gestão do Conhecimento e Tecnologia da Informação. Apoiadas na discussão das implicações teóricas e práticas do referencial, são apresentadas seis proposições a serem testadas com pesquisas empíricas. O Capítulo 3 faz uso de métodos qualitativos e quantitativos, compreendendo entrevistas em profundidade com 17 juízes e 13 servidores do Poder Judiciário brasileiro. Recorrendo à análise de conteúdo, foram investigados os dados recolhidos, corroborando o estudo realizado no Capítulo 2 e revelando o protagonismo de alguns dos fatores que permitem a capacidade de inovação nos tribunais: Liderança e Comportamento de Equipe. As conclusões do Capítulo 3 reforçam que é fundamental para a capacidade de inovação nos tribunais ter pessoas treinadas em métodos e técnicas de inovação, com disponibilidade de tempo, engajamento e participação tanto na equipe quanto nas posições de liderança. Surge também como fundamental conciliar estes fatores com a Colaboração dos atores-chave, tendo apoio em outros fatores que podem ser vistos como secundários: Recursos Organizacionais, Gestão do Conhecimento e Tecnologia da Informação. O Capítulo 4 também utiliza métodos qualitativos e quantitativos para construir a Escala de medição da capacidade de inovação nos tribunais. Os itens da escala inicial foram validados com o auxílio de 11 juízes e servidores, especialistas no assunto, que cumpriram o papel de avaliadores quanto à clareza da linguagem, à pertinência prática e à relevância teórica das assertivas da escala. A análise dos dados contou com a utilização do Coeficiente de Validade de Conteúdo. Em seguida, foi feita a coleta de dados resultando em 354 questionários respondidos pelos participantes da pesquisa, sendo 62 juízes e 292 servidores do judiciário brasileiro. Os procedimentos de análise dos dados foram realizados por meio de Análise Fatorial Exploratória, Análise Fatorial Confirmatória e Modelagem de Equações Estruturais. O estudo constata que os principais fatores que impulsionam a inovação nos tribunais podem ser resumidos em quatro fatores com alta interdependência entre eles: Liderança, Engajamento da Equipe, Colaboração e Gestão da Informação e do Conhecimento. Os fatores Liderança e Engajamento da Equipe surgiram como de maior influência na percepção da capacidade de inovação nos tribunais no que diz respeito, respectivamente, à unidade da equipe e à organização. Assim, considerando o conjunto de estudos, vistos aqui como ensaios sinérgicos e complementares sobre a capacidade de inovação nos tribunais, foi possível aprofundar a lacuna de pesquisa no contexto atual do Judiciário brasileiro. Espera-se que este trabalho possa auxiliar no preenchimento de lacunas no campo científico e que seus achados possam contribuir para futuros estudos e melhorias nas práticas de gestão dos tribunais.
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9
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Luiz Fernando Câmara Viana
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“In the face of a shock: Innovation and regional resilience in an emerging economy.”
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Advisor : VALMIR EMIL HOFFMANN
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COMMITTEE MEMBERS :
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VALMIR EMIL HOFFMANN
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KARIM MARINI THOME
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PATRICIA GUARNIERI DOS SANTOS
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ISABEL DIEZ-VIAL
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AURORA CARNEIRO ZEN
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Data: Dec 13, 2023
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Show Abstract
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Events causing negative economic effects, such as the 2008–2010 financial crisis, the Covid-19 pandemic, and the conflict in Ukraine, have impacted regional economies and sparked interest in both the antecedent conditions that enable the prediction of regional resilience and the mechanisms activated in response to a shock. In this context, this thesis assessed innovation, both beforehand and in reaction to a shock, in the process of regional resilience. A multi-method research was carried out to accomplish this objective, divided into four interdependent studies. Initially, a scope review went through the Scopus and Web of Science databases and analyzed 48 theoretical-empirical papers using the MaxQDA software and a multiple correspondence analysis supported by R Language packages. Later, a logistic regression verified the relationship between pre-shock innovation proxies and the regional resilience of the 101 most populous Brazilian municipalities regarding the effects of the Covid-19 pandemic. Ensuing investigations delved deeper into the mechanisms of reaction to the shock and the contributions of regional actors. The first study is a pilot carried out in the footwear industry cluster of São João Batista, Santa Catarina, with data collected through interviews with a semi-structured script and thematic analysis with thematic saturation. This exploratory-descriptive research has a structural role in the thesis, as it provides the basis for the analysis (sub)categories and conducts the number of participants in the next study. A multiple case study was then performed with the footwear industries of Franca, São Paulo state, and Campina Grande, Paraíba state. In addition to the interviews, this empirical research used secondary data. Furthermore, complementing the thematic analysis, a quantitative content analysis was conducted using the KH Coder software. Taken together, the findings show that there was a narrow view of innovation as a predictor of regional resilience or even a broad view regarding adaptive capacity. They also reveal that pre-shock levels of innovation did not increase the likelihood of resilience in the Brazilian municipalities analyzed, which did not allow the confirmation of the supposed positive association. In addition, a view into the effects of the shock showed that workers, outsourced companies providing parts of the production process and small factories were particularly affected. Specifically in the São João Batista cluster, it also occurred the emigration of skilled workers, informed by real estate rental prices. In the cases analyzed, the reaction included measures of cost containment, status quo preservation, support provision, and incremental innovations. These innovations emerged as an attempt to mitigate the negative effects and provoke economic recovery. However, the response was not symmetrical in the examined cases, demonstrating the occurrence of territory and portfolio effects. These findings have theoretical implications. The thesis shows that innovation is not a sufficient determinant factor of regional resilience, but there are signs of a recursive process between the phenomena, which is a cause of concern for regions in emerging or underdeveloped economies. When a shock happens, the reaction emerges from heterogeneous actions and interactions that oppose the division between moments of absorption and response. In this context, the association proposed is that the adaptability dimension influences resistance and recovery, as well as shapes vulnerability to future events. Moreover, the conclusions of this thesis provide guidelines for developing strategies and public policies to achieve more resilient regions.
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