Poor adherence is an issue in clinical trials with a striking magnitude and negative impact. Recent studies indicate that two widely used clinical screening tools, Short Form (SF-36) Health Survey and Center for Epidemiologic Studies Depression Scale (CES-D) can be used as risk stratifiers to identify participants who require extra interaction to stay adherent in specific population. There is, however, little evidence to support the implication of these tools in elderly individuals with mobility limitations. These individuals may be particularly vulnerable to the risks of poor adherence in the context of a demanding interventional scheme. This study fulfills this gap by analyzing the quality of life and adherence data from the VIVE2 study, which is a double-blinded randomized explanatory clinical trial assessing the benefits of nutritional supplements and daily exercises to elderly patients with mobility limitation. The preliminary results showed that in clinical studies targeting elderly population with mobility limitations, the summary scores of SF-36 trended to have weak and nonsignificant association with a decreased risk of poor adherence to both exercise completion and product consumption while CES-D has no association.

The presented diploma thesis is focused on criminal liability of legal entities, an issue which was embedded in the Czech legal law six years ago by Act No. 418/2011 Coll., On Criminal Liability of Legal Entities and Proceedings against them. The thesis is divided into four parts. The first part is concerned with the basics of legal entities criminal liability. The author tries to describe the concept of a legal entity in the light of current regulation according to the Act No. 89/2012 Coll., The Civil Code, since the Act on Criminal Liability of Legal Entities and Proceedings against them had been created under the previous Civil Code (Act No. 40/1964 Coll., Civil Code). Furthermore, the author deals with the conditions of legal entities criminal liability as well as the aspects that lead legal entities to commit crimes. The conditions for a criminal offense attribution to a legal entity are mentioned, as well. A subchapter on sanctions which may be imposed on legal entities is included. The regulation of legal entities criminal liability has particularly in recent years undergone several substantial changes. Certain amendments are examined in the second part of the thesis. The author discusses especially the extension of criminal offenses list which may be committed by a legal entity as well as the issue...

It has been widely accepted that information is an asset and it needs to be protected. Many types of countermeasures were developed and implemented to ensure continuous protection of information where it is deemed necessary. Unfortunately, in many cases, breaches of security are the result of non-compliance behaviours of users or stakeholders of the system. These non-compliance behaviours increase the vulnerability of such system. Organisations are trying to improve their stakeholders compliance behaviour through different ways for example by providing necessary awareness, education and training and to the extent of providing rewards for healthy behaviours and reprimanding and penalising stakeholders for breaches of security. Despite all these efforts, information security breaches are still on the rise and many types of research have been done to understand this issue. It is postulated that an object is protected if it is appreciated. Appreciation of an object might relate to a value perceived by the owner in association with the object. For the similar reason, this thesis investigates the role of perceptions of information value in the context of its security. It is postulated that perceptions of information value could become an alternative way to understand information security compliance behaviour. Utilising a conceptual framework deduced from current literature to structurally analyse a list of research objectives, empirical evidence of the potential role of information perceived value in promoting better compliance behaviour have indeed been discovered. There is evidence that a perception of information value is developed through a systematic process of value assignment or information value assignment process. These processes are significant to the development of stakeholders intention to behave. The finding of this process has provided a platform for the organisation to understand the casual behind the information security behaviours displayed by stakeholders in the organisation. Further evidence has also suggested that the information value assignment is fuelled or influenced by several factors. These factors have provided a unique opportunity for the organisation to manipulate and nurture to have maximum impact on their information value assignment process, resulting in a possible improved intention to behave, thus, subsequently might affect the actual information security compliance behaviour.

Diabetes has been labelled as one of the largest crises in the twenty-first century. Saudi Arabia is one of the top 10 countries for prevalence of diabetes and one in five people has the condition. Medication adherence assessment is vital to help clinicians reach therapy outcomes and identify gaps in patient management. The aim of this PhD was to explore oral hypoglycaemic medication (OHM) adherence in patients with Type 2 diabetes patients in Saudi Arabia and to identify factors associated with OHM adherence. The aim was addressed by: 1) Conducting a systematic review to identify which tools could be used to measure adherence to OHM as well as to quantify adherence levels across different countries; 2) Undertaking a cross-sectional study to quantify the prevalence of adherence to OHM in a group of patients in Saudi Arabia using a validated measure of adherence. An interview study on a subset of these patients then explored in detail Type 2 diabetic patients' beliefs and attitudes towards their OHM regimen, including factors which helped or hindered their medication taking behaviour. The systematic review included 37 studies. It showed that the level of OHM adherence varied widely across all measures: 36% to 95% when dispensing records were used, 37% to 98% with self-report, and 17% to 97% with pill counts. The term 'adherence' was most commonly used. There was no identified studies assessing OHM adherence in Saudi Arabia. The cross-sectional study showed that the level of OHM adherence was 40%, Lower adherence was associated with patients of younger age (OR, 1.084; 95% CI, 1.056-1.112), individual taking a higher number of non-OHM (OR, 0.848; 95% CI, 0.728-0.986) and having a higher HbA1c level (OR, 0.808; 95% CI, 0.691-0.943). The interview study identified several factors affecting OHM adherence using a validated theoretical framework. Facilitators of OHM adherence were OHM scheduling, knowledge about OHM, knowledge on other relevant behaviours such as diet and physical activity, knowing how to take OHM appropriately and how to manage hypoglycaemia. In addition, OHM adherence was facilitated by beliefs of preventing diabetic complications, avoiding insulin injections, achieving an improved quality of life, accepting diabetes, being optimistic about the future, and having high self-confidence. Conversely, barriers to OHM adherence were forgetfulness, cognitive overload, lack of knowledge of sexual health implications of OHM, and knowledge of OHM side effects or drug-drug interactions. Furthermore, side effects of OHM such as weight gain or hypoglycaemia, knowing how to measure blood sugar, feeling no symptoms, and having many medications to take were additional barriers to OHM adherence. The MASA study also showed that there are several social- and physical-related factors affecting OHM adherence such as the patient-physician relationship and perceived family support. The work in this PhD suggests that targeting suboptimal OHM adherence behaviour needs to be done in a comprehensive manner. The key benefit is to provide future researchers with a comprehensive range of factors that can be targeted when defining targets for an intervention(s). Further systematic intervention development and testing is required to choose and prioritise the most promising interventions to improve OHM adherence.

Dissertação (mestrado)—Universidade de Brasília, Instituto de Relações Internacionais, 2016. / Submitted by Fernanda Percia França (fernandafranca@bce.unb.br) on 2016-09-20T16:13:58Z No. of bitstreams: 1 2016_HelvisneydosReisCardoso.pdf: 4547951 bytes, checksum: 728b6e2eb8192ca8da1f82b614223813 (MD5) / Approved for entry into archive by Ruthléa Nascimento(ruthleanascimento@bce.unb.br) on 2016-10-03T17:18:52Z (GMT) No. of bitstreams: 1 2016_HelvisneydosReisCardoso.pdf: 4547951 bytes, checksum: 728b6e2eb8192ca8da1f82b614223813 (MD5) / Made available in DSpace on 2016-10-03T17:18:52Z (GMT). No. of bitstreams: 1 2016_HelvisneydosReisCardoso.pdf: 4547951 bytes, checksum: 728b6e2eb8192ca8da1f82b614223813 (MD5) / Este é um estudo das determinantes que afetam o processo de tomada de decisão no que se refere ao cumprimento das resoluções e recomendações do Sistema Interamericano de Direitos Humanos (SIDH) pelo Governo brasileiro (state compliance) entre 1988 e 2014. Utilizou-se compliance como uma variável contínua neste trabalho, explorando o meio termo do cumprimento parcial. Almejou-se produzir uma análise de política governamental que leve em conta todos os aspectos importantes de um processo de decisão. Buscou-se também coletar, consolidar e sistematizar dados empíricos sobre as principais determinantes que afetam o cumprimento dos instrumentos do SIDH pelo Brasil. A partir de uma abordagem que se centrou na compliance como um fator engendrado pela política doméstica dos Estados e nos fatores internos pré-existentes que levam os Estados a se comportarem de acordo com normas internacionais, testei hipóteses sobre como a existência de políticas públicas do Estado referentes às medidas específicas proferidas pelo SIDH, assim como a própria violação de direitos humanos decorrente de uma agenda de política pública do Estado e a dependência de poderes autônomos, como governos locais, Ministério Público e Judiciário, afetam o grau de compliance do Estado brasileiro. Buscou-se, assim, colocar em questão algumas concepções das principais teorias da literatura especializada. _______________________________________________________________________________________________ ABSTRACT / This is a study of the determinants that affect the decision-making process regarding the state compliance with resolutions and recommendations of the Inter-American System of Human Rights (ISHR) by the Brazilian government between 1988 and 2014. Compliance is used as a continuum in this research, exploring the partial term of the concept. It aims at producing a governmental policy analysis that takes into account all important aspects of a decision process and that also collects, consolidates and systematizes empirical data to observe the main determinants that affect the Brazilian compliance with the ISHR’ instruments. Using an approach based on compliance resulting from domestic politics and from pre-existing internal factors that lead States to behave in accordance with international rules, assumptions will be tested on how the existence of a public policy agenda specifically addressing the remedies issued by the ISHR, as well as the dependence of autonomous powers, as local governments, prosecutors and judiciary power, and violations that arise from state policy agendas affect the Brazilian degree of compliance with the ISHR’ instruments. Hence, this study seeks to question concepts of the main specialized theory.

abstract: For the past decade, mobile health applications are seeing greater acceptance due to their potential to remotely monitor and increase patient engagement, particularly for chronic disease. Sickle Cell Disease is an inherited chronic disorder of red blood cells requiring careful pain management. A significant number of mHealth applications have been developed in the market to help clinicians collect and monitor information of SCD patients. Surveys are the most common way to self-report patient conditions. These are non-engaging and suffer from poor compliance. The quality of data gathered from survey instruments while using technology can be questioned as patients may be motivated to complete a task but not motivated to do it well. A compromise in quality and quantity of the collected patient data hinders the clinicians' effort to be able to monitor patient's health on a regular basis and derive effective treatment measures. This research study has two goals. The first is to monitor user compliance and data quality in mHealth apps with long and repetitive surveys delivered. The second is to identify possible motivational interventions to help improve compliance and data quality. As a form of intervention, will introduce intrinsic and extrinsic motivational factors within the application and test it on a small target population. I will validate the impact of these motivational factors by performing a comparative analysis on the test results to determine improvements in user performance. This study is relevant, as it will help analyze user behavior in long and repetitive self-reporting tasks and derive measures to improve user performance. The results will assist software engineers working with doctors in designing and developing improved self-reporting mHealth applications for collecting better quality data and enhance user compliance. / Dissertation/Thesis / Masters Thesis Computer Science 2017

Introdução: Vários fatores podem interferir na adesão ao tratamento dos hipertensos e conseqüentemente no controle da doença. Dentre estes se destaca o contexto socioeconômico em que vivem os hipertensos. Objetivos: Caracterizar hipertensos atendidos em unidades básicas de saúde de acordo com o nível socioeconômico em relação às variáveis biossociais, econômicas, crenças, atitudes, conhecimento sobre a doença e tratamento, falta e interrupção do tratamento; e associar o nível socioeconômico com essas variáveis. Casuística e método: O estudo foi realizado em três unidades básicas de saúde na região oeste da cidade de São Paulo. Para avaliação econômica foi feito o cálculo do índice de bens acumulados, por meio da somatória de preços de eletrodomésticos constantes na residência do paciente, dividido este por doze e posteriormente pelo valor do salário mínimo para equivalência do poder aquisitivo mensal. Os dados foram processados no sistema SPSS v.7.5. O nível de significância adotado foi de 0,05. Resultados: Foram estudados 440 hipertensos. A maioria era do sexo feminino (66%), cor branca (51%), casados (56,8%), com ensino fundamental (52%), índice de massa corporal 29,99±6,0 kg/m², idade de 57±12 anos e renda mensal familiar de 1 a 3 salários mínimos (43,6%). Do total de hipertensos estudados que interromperam o tratamento (34,8%), verificou-se que interrompeu menos de forma significativa (p<0,05) quem possuía mais televisão a cores. Em relação a faltar às consultas médicas houve associação significante (p<0,05) com geladeira duplex, verificou-se que aqueles com maior posse desse eletrodoméstico faltavam menos às consultas. Os hipertensos que não concordaram com a crença de que “não há nada que se possa fazer para evitar a pressão alta“ apresentaram índice de bens acumulados com valores significativamente mais elevados (1,25± 0,36 vs 1,17±0,35, p<0,05). Em relação às atitudes frente ao tratamento, os hipertensos que afirmaram nunca chegarem atrasados às suas consultas apresentaram índice de bens acumulados com valores significativamente mais baixos (1,20±0,3 vs 1,31± 0,32, p<0,05). Na avaliação de como os pacientes “se sentiam em relação a sua vida como um todo”, a referência de tristeza se associou com índice de bens acumulados com valor significativamente mais baixo (0,98 ± 0,35 vs 1,28 ± 0,36 e 1,25±0,32, p< 0,05). Conclusão: A condição econômica dos hipertensos se associou com alguns aspectos relativos à adesão ao tratamento. / Introduction: A lot of factors can interfere at the adherence in the treatment and consequently control of the disease and detached among them the socioeconomic context where the hypertension people living. Objectives: To make up the people with the hypertension attending in the health basic units in agree with the socioeconomic level and the biosocial economics variables such as believes, attitudes, knowledge about the disease and treatment, lack and interruption of the treatment; and associating the socioeconomic level with these variables. Casuistic and Methods: The study was realized on three health basic units in the west region of Sao Paulo city. To economic survey was done a calculating of the accumulated capital assets from the sum up of the domestics appliances prizes in the patient residence divided for twelve and on the minimum salary value for equivalence of the monthly acquisitive power. The data were processed in the system of significance adopted were 0.05. Results: Were studied 440 hypertensive patients. The great majority were females (66%), white colour (51%), married (56,8%), with fundamental degree (52%), body mass index 29,99±6,0 kg/ m², 57±12 years of age and familiar income of 1 to 3 minimum salary monthly (43,6%). From the total of studied hypertensive patients with the interrupted the treatment (34,8%) was verified whom less significant way (p<0.05) those with the coloured television. In relationship no attendance to the medical appointment have significant association (p<0.05) with duplex freezer, those who have major posses of theses domestic appliances were less absent the medical consults. The hypertensive patients that have not agreed with the belief that ”they can not do anything about the high blood pressure” showed the accumulated capital assets index with the values significantly more elevated (1.25± 0.36 vs 1.17±0.35, p<0.05). About the attitudes to the treatment, the hypertensive patients to referred never were late to a medical appointment showed accumulated capital assets index with lower values (1.20±0.3 vs 1.31± 0.32, p<0.05). In the evaluation of the patients with “How to feel with the life” the reference with sadness have a association with accumulated capital assets index with lower values (0.98 ± 0.35 vs 1.28 ± 0.36 e 1.25±0.32, p< 0.05). Conclusion: The economic situation of the hypertensive patients is linked with some aspects related to the adherence of treatment.

Orientador: Edgard Ferro Collares / Tese (doutorado) - Universidade Estadual de Campinas, Faculdade de Ciências Médicas / Made available in DSpace on 2018-08-18T00:13:29Z (GMT). No. of bitstreams: 1 Vinagre_AdrianaMendes_D.pdf: 6789809 bytes, checksum: 05de43a9be5ce48b46cb5b0b6ab54ec7 (MD5) Previous issue date: 2011 / Resumo: O esvaziamento gástrico (EG) é um processo de transferência do conteúdo gástrico para o intestino delgado, resultante da ação de mecanismos inibidores e estimuladores que controlam a atividade motora do estômago, piloro e duodeno. A dipirona, um derivado da fenilpirazolona, por via intravenosa (iv) e intra-cérebro-ventricular (icv), em ratos, retarda o esvaziamento gástrico (EG) de uma refeição líquida (salina). Quando administrada por via iv, o fenômeno foi abolido pela vagotomia sub-diafragmática e lesão eletrolítica do núcleo para-ventricular do hipotálamo. Em observação adicional, foi demonstrado que este efeito foi bloqueado pela injeção icv de baclofen, um agonista de receptores GABAB. O derivado fenilpirazolônico antipirina injetado iv também retarda o EG de líquido e este efeito foi reduzido significativamente pela vagotomia sub-diafragmática e abolido pela injeção icv de baclofen. Adicionalmente, demonstramos que a administração iv de 4-aminoantipirina (um metabólito da dipirona) diminui o EG de líquido em ratos e, da mesma forma que com a antipirina, foi reduzido significativamente pela vagotomia sub-diafragmática e abolido pela injeção icv de baclofen. Em situações em que há alteração no EG, a participação do estômago no processo pode ser inferida através da determinação in vivo do volume e da complacência gástrica, como indicadores do tônus gástrico. O tônus desta região é resultado, em grande parte, da atividade do nervo vago. Demonstramos que, para as condições de estudo as três drogas aumentam a complacência gástrica. O conjunto destes estudos sugere a participação do sistema nervoso central (SNC) e do nervo vago no fenômeno de retardo do EG induzido por estas drogas. Como somente a dipirona induziu o mesmo efeito quando administrada icv e o retardo do EG induzido pelas três drogas iv foi abolido pela vagotomia sub-diafragmática, em continuidade especulamos que o estímulo inibitório do EG, quando da administração por via iv, chegue ao SNC através de vias aferentes. A capsaicina é uma neurotoxina que administrada a ratos recém nascidos resulta em degeneração irreversível da maioria dos neurônios aferentes periféricos com axônios não mielinizados (fibras C) e de uma minoria de fibras escassamente mielinizadas (fibras A?). Constatamos que a administração desta neurotoxina, no período neonatal, a ratos, aboliu o efeito destas três drogas administradas iv, mas não da dipirona icv, sugerindo a participação das vias aferentes no fenômeno e de que o mecanismo (ou mecanismos) envolvido no efeito da administração dipirona no SNC difere daquele quando a droga é administrada iv. Embora os estudos relacionados ao efeito dos derivados fenilpirazolônicos sobre o EG, indicarem a participação do nervo vago no fenômeno, sabe-se que os efeitos do sistema nervoso simpático e parassimpático sobre os sistemas podem ser sinérgicos, exclusivos e até mesmo concomitantes. O sistema nervoso simpático, que tem efeito inibitório sobre o EG, libera norepinefrina nas terminações pós-ganglionares. Foram identificados subtipos de "alfa"- e ß-adrenoceptores em diferentes níveis do trato gastrointestinal que podem ter participação importante no controle da motricidade gástrica. Há evidências que neurônios aferentes e eferentes do nervo vago possuam beta-adrenoceptores, sendo que o subtipo ß2-adrenoceptor parece ser o predominante. Avaliando a participação do sistema adrenérgico no retardo do EG, os resultados do estudo sugerem: 1) que a simpatectomia química ou o pré-tratamento com propranolol (antagonista não seletivo ß-adrenérgico) aboliram o efeito da dipirona e antipirina e reduziram o da 4-aminoantipirina sobre o EG; 2) como pouco provável que retardo do EG induzido por estas drogas ocorra por ativação de "alfa"1-, "alfa"2-, ß1- , ß2- e ß3-adrenoceptores periféricos. Estes últimos resultados aventam a possibilidade que no efeito destas drogas haja envolvimento da ativação de receptores ß1- e/ou ß2-adrenérgicos no SNC e, que o mesmo, não ocorra em grande parte do efeito da 4-aminoantipirina / Abstract: Gastric emptying (GE) is the process of transfer of the gastric contents to small intestine, as result of inhibitory and stimulatory mechanisms that control the stomach, pylorus and duodenum motor activity. Dipyrone, a phenylpyrazole derivative, administrated intravenously (iv) and intracerebroventricularly (icv), in rats, slows the gastric emptying (GE) of a liquid meal (saline). When administrated iv, this phenomenon was abolished by sub-diaphragm vagotomy and electrolytic lesion of the hypothalamus paraventricular nucleus. In an additional study, it was demonstrated that this effect was blocked by icv injection of baclofen, a GABAB receptor agonist. The phenylpyrazole derivative antipyrine when injected by iv slows the GE of liquid also, and this effect was significantly decreased by sub-diaphragm vagotomy and abolished by bacloflen icv injection. Moreover, we demonstrated that the 4-aminoantipyrine (a dipyrone metabolite) administration iv decrease the GE of liquids in rats and as antipyrine, it was significantly reduced by subdiaphragm vagotomy and abolished by bacloflen icv injection. When happen alterations on GE, the stomach activity in this process can be inferred by in vivo determination of gastric volume and complacency, as indicators of gastric tone. The tone of this region is a result, mostly, of vagus nerve activity. We showed that in our studies conditions, the three drugs increased gastric complacence. Putting these results together we suggested the action of central nervous system (CNS) and vagus nerve in the GE retardation induced by these drugs. Taking into account that only dipyrone induced the same effect when administrated icv and that GE retardation induced by the three drugs was abolished by sub-diaphragm vagotomy, we speculated whether the GE inhibitory stimulus, when the drugs were administrated iv, reach the CNS through afferent pathway. The capsaicin is a neurotoxin which when administrated to new born rats, results in irreversible degeneration of the most part of peripheral afferent neurons with unmyelinated axons (fiber C) and a minority of thinly myelinated fibers (fiber A"sigma"). Our studies showed that the administration of this neurotoxin, during neonatal period, nullify the effect of these three drugs when administrated by iv, but didn't when dipyrone was gave by icv, what suggests the role of afferent pathways in this phenomenon and that the mechanism (or mechanisms) involved in the effect of dipyrone administration on CNS id different when the drug is administrated by iv. Although the studies related to phenylpyrazole derivative effects on the GE indicated the action of vagus nerve on this phenomenon, we know that the effects of sympathetic and parasympathetic system on the systems can be synergics, exclusives and to concomitant. The sympathetic nervous system, which has inhibitory effect on the GE, releases norepinephrine in the postganglionic endings. It was identified subtypes of "alfa"- and ß- adrenoreceptors in different sites in gastrointestinal tract that may have important roles in the control of gastric motor. It's evidences that afferent and efferent neurons of vagus nerve have beta-adrenoreceptors and the subtype ß2-adrenoreceptor seems to be the predominant. Evaluating the participation of adrenergic system on the GE retardation, the results of our study suggest: 1) the chemistry sympathectomy or the early treatment with propanolol (ß-adrenergic non selective antagonist) abolished the effect of dipyrone and antipyrine and reduced the effect of 4-aminoantipyrine on the GE; 2) it's almost unlikely that the slow GE induce by these drugs occur by activation of "alfa"1-, "alfa"2-, ß1- , ß2- e ß3- peripherics adrenoreceptors. The last results suggest the possibility that in this drugs effects have involvement of receptor ß1- and/or ß2-adrenergics activation on the CNS and that this don't occur at mostly of 4-aminoantipyrine effect / Doutorado / Doutor em Farmacologia

A fraude nos negócios do âmbito empresarial causa temor para a alta direção das organizações, devido à complexidade e ao dinamismo dos processos corporativos, que ensejam ao descontrole da ética de responsabilidade. Contudo, as agências reguladoras, juntamente com as entidades de fiscalização e padronização, bem como os órgãos de repressão aos crimes de corrupção, estão promovendo a integridade nas empresas através das exigências da governança corporativa na administração, com foco na lisura e competência da gestão. Nesse contexto, o sistema de compliance tem função essencial para assegurar a conformidade com as determinações legais, e colaborar na implementação de controles efetivos que aprimoram os fundamentos da governança. Diante disso, esta pesquisa buscou avaliar os sistemas de compliance alinhados com a governança corporativa, utilizados nas empresas de capital aberto e com ações na BM&F Bovespa, localizadas na Região da Serra Gaúcha. Para desenvolver esta pesquisa qualitativa de natureza exploratória, foi realizado um estudo bibliográfico preliminar sobre o tema, a fim de identificar os principais conceitos e encontrar um instrumento válido para a coleta de dados. Destarte, foram realizadas entrevistas com os profissionais especializados das empresas selecionadas, utilizando-se de instrumento semiestruturado definido a priori embasado no Programa Pró-Ética do CGU, e utilizado o procedimento de triangulação com os dados secundários e restritos que foram disponibilizados para a análise, discussão e validação das informações. Os resultados obtidos revelam que as empresas se utilizam do compliance para estabelecer o rigor necessário, a fim de atender tanto as diretrizes internas para a governança corporativa, quanto às normas e leis em vigor. Contudo, a governança corporativa isolada contém técnicas inerentes aos princípios das boas práticas conceituadas pelo IBGC, com o propósito de responder às necessidades de cumprimento às regras de integridade nos negócios, porém com menos rigidez em relação ao compliance. Desse modo, foi possível desenvolver o diagrama conceitual que sintetiza de forma empírica as interações dos mecanismos de compliance com a governança corporativa, fundamentado pelos conceitos teóricos, a fim de constatar a relevância da implementação do sistema de compliance para sustentar com efetividade os princípios da governança corporativa e garantir a ética empresarial. / Fraud in business causes fear for the top management oversight of organizations, due to the complexity and dynamism of corporate processes, which lead to a lack of control of the ethics of responsibility. However, regulatory agencies, along with oversight and standardization bodies, as well as corruption crackdown bodies, are promoting corporate integrity through the requirements of corporate governance in management, with a focus on management readiness and competence. In this context, the compliance system has a key role to ensure compliance with legal requirements, and to collaborate in the implementation of effective controls that improve the fundamentals of governance. Therefore, this research aimed to evaluate compliance systems aligned with corporate governance, used in publicly traded companies and with shares in BM & F Bovespa, located in the Serra Gaúcha Region. In order to develop this qualitative research of an exploratory nature, a preliminary bibliographic study on the subject was carried out in order to identify the main concepts and to find a valid instrument for the data collection. Thus, interviews were conducted with the specialized professionals of the selected companies, using a semistructured instrument defined a priori based on the Pro-Ethics Program of the CGU, and used the triangulation procedure with the secondary and restricted data that were made available for the analysis, discussion and validation of information. The results show that companies use compliance to establish the required rigor in order to comply with both the internal guidelines for corporate governance and the rules and laws in force. However, isolated corporate governance contains techniques inherent in IBGC principles of good practice, in order to respond to compliance requirements to business integrity rules, but with less rigidity in relation to compliance. In this way, it was possible to develop the conceptual diagram that empirically synthesizes the interactions of compliance mechanisms with corporate governance, based on theoretical concepts, in order to verify the relevance of the implementation of the compliance system to effectively support the principles of governance corporate ethics and ensure business ethics.

A crise global do capitalismo eclodida no ano de 2008 evidenciou o risco sistêmico a que a atividade econômica ficou exposta a partir da sua desregulamentação, implementada, a partir dos anos 1980, pelo chamado neoliberalismo, e do desenvolvimento dos meios de comunicação e informáticos, que a interligou em nível planetário. Seus efeitos devastadores somente puderam ser contidos por meio de intervenção estatal, com a injeção de muito dinheiro público na atividade econômica privada, o que trouxe à tona a discussão quanto ao real papel regulatório do Estado sobre a economia nesse contexto. No panorama atual do desenvolvimento da sociedade capitalista e contemporânea, há, muitas vezes, verdadeiro divórcio entre os interesses do real proprietário da empresa (ausente ou passivo) e o corpo de gestores contratados da companhia, impondo a necessidade de maior confiabilidade e transparência na apuração e nos demonstrativos dos resultados empresariais. Surge daí o conceito de boas práticas de governança corporativa, do qual um dos pilares de sustentação é o denominado compliance, que funciona como uma estrutura verificadora e validadora do bom funcionamento, da correção e da confiabilidade da administração, prevenindo riscos imanentes à atividade empresarial. Surge, nesse cenário, uma concepção de autorregulação regulada ou forçada da atividade econômica, pela qual o Estado supera uma postura meramente repressora de desvios encontrados, que relegava ao particular sua própria organização, passando a impor uma pauta mínima de obrigações organizacionais, que necessita ser cumprida e implementada para prevenir riscos de condutas antiéticas ou mesmo criminosas. O papel do direito penal, sempre mais modesto do que dele se espera, acaba ganhando muita importância por atuar como norma de reforço à tutela de deveres organizacionais e de autofiscalização da atividade econômica. Os meios eleitos para atingir esses objetivos são a utilização de tipos penais de perigo abstrato, omissivos ou comissivos por omissão; a incriminação da corrupção privada; a promulgação de leis extraterritoriais que preveem a colaboração entre Estados no combate à criminalidade; a adoção de sistemas legais autodenominados administrativos, mas que são penais em sua essência; a crescente aceitação e utilização da responsabilidade penal da pessoa jurídica. Partindo de constatações criminológicas e proposições político-criminais, a presente tese visa a propor a criação de um sistema de imputação penal das pessoas jurídicas baseado na ideia de fato próprio culpável, com a culpabilidade atrelada ao conceito de defeito de organização, visando a superar o déficit na aplicação do modelo adotado pela Lei nº 9.605/1998, na qual não há o estabelecimento de quaisquer critérios para delimitar o âmbito das ações corporativas culpáveis. Para tanto, buscaram-se, em modelos jurídicos alienígenas (italiano, chileno e espanhol), experiências e exemplos que pudessem auxiliar na proposição de critérios reitores de um novo modelo adaptado à realidade brasileira, pelos quais se almeja a maximização das possibilidades de aplicação do instituto, de um lado, e a maior amplitude possível das garantias penais, de outro. / The global crisis of capitalism, which emerged in 2008, displayed the systemic risk that economic activity was exposed to. This risk occurs due to the deregulation implemented from 1980 by the so-called neoliberalism as well as due to the development of both the media and IT which have globally interconnected economic activity. The devastating effects of neoliberalism could only be restrained through state intervention, with the injection of great amounts of public money into private economic activity. In this context, this practice brought up the discussion on the actual regulatory role of the state in economy. In the current scenario of the development of contemporary capitalist society, there is often an actual separation between the interests of the real owner of the company (who is absent or passive) and the board of hired managers of the company. This fact generates the need for increased reliability and transparency in the calculation and statements of business results. The concept of good corporate governance practices is thus generated, which has compliance as one of its supporting pillars. Compliance works as a testing and validating structure of managerial functioning, correctness and reliability, thus, preventing risks that are inherent to business activity. In this scenario, the concept of regulated or forced self-regulation of economic activity was created. By this concept, the state goes beyond the previous position of merely repressing identified deviations, which meant that the organization could regulate itself. Now the state imposes an agenda of organizational duties, which need to be fulfilled and implemented to prevent risks of unethical or even criminal behavior. The role of criminal law, which has had a more modest scope than expected, ends up gaining importance because it acts as reinforcement rule for the protection of organizational duties and self-inspection of economic activity. The means chosen to achieve these goals are the use of criminal types of abstract danger, which may be either omissive or comissive by omission; incrimination of private corruption; enactment of extraterritorial laws that provide for collaboration among States in combating crime; adoption of legal systems in the administrative scope that are criminal in their essence; the increased acceptance and use of the criminal liability of legal entities. Starting from criminological findings and political-criminal propositions, this thesis aims at proposing the creation of a criminal imputation system of legal entities, based on the idea of a fact itself that can be considered as liable. The guilt is attached to the concept of organization defect in order to overcome the deficit in the implementation of the model adopted by Law No. 9.605/1998, which has not established any criteria to specify the scope of corporate actions that may be considered as liable to penalty for law offence. Therefore, we researched experiences and examples in foreign legal models (Italian, Chilean and Spanish legal models) that could help to propose criteria that lead to a new model adapted to the Brazilian reality, in which we aim, on the one hand, to maximize the possibilities of this new legal model, and, on the other hand, reach penal guarantees as widely as possible.