Esta tese teve como objetivo principal propor um modelo analítico que relacione os efeitos dos mecanismos de controle nos processos de formação da confiança entre organizações envolvidas em alianças e parcerias, identificando seus reflexos no desempenho. O estudo buscou preencher uma lacuna na literatura, que na maioria dos casos trata os conceitos como antagônicos ou substitutos e não os relaciona diretamente com o desempenho. Esta pesquisa acredita que são conceitos complementares. A metodologia utilizada foi o estudo de caso, em uma aliança estratégica entre um banco de desenvolvimento (o BNDES) e 20 agentes financeiros em um fundo de aval, que concede garantias para micro, pequenas e médias empresas, com análise documental, entrevistas semiestruturadas e aplicação de questionários com escala tipo likert. Foram analisados os instrumentos contratuais, normativos e mecanismos de controle, a natureza de sua formalização e a percepção quanto a sua aplicação e seus efeitos sobre a dinâmica da confiança em ambos os níveis operacional e gerencial do relacionamento interorganizacional. Os resultados da análise dos contratos, normativos, entrevistas e questionários, indicaram que para ampliar suas operações, o fundo precisou equilibrar uma estrutura de governança com perspectiva estrutural, baseada em controles, com uma estrutura relacional, baseada em mecanismos informais, que gerasse confiança dos agentes financeiros. A principal contribuição deste estudo é esclarecer a relação confiança e controle no desenho de mecanismos de governança interorganizacional. Além disto, o modelo considera o tipo de organização, o nível hierárquico dos respondentes, e relacionamento passado entre as organizações. E finalmente, o estudo propõe uma avaliação de desempenho que considera não só as percepções expressas nas respostas aos questionários, mas também indicadores empresariais. / This thesis aimed to propose an analytical model that relates the effects of control mechanisms in the formation of trust between organizations involved in alliances and partnerships, identifying their effects on performance. The study sought to fill a gap in the literature, which in most cases considers these as antagonistic or substitutes concepts and not directly related to performance. This research believes that these are complementary concepts. The methodology used was the case study of a strategic alliance between a development bank (BNDES) and 20 financial agents in a guarantee fund, which guarantees for micro, small and medium enterprises, with document analysis, semi-structured interviews and application of questionnaires with Likert type scale. The study analyses contractual, regulatory and control mechanisms instruments, the nature of formalization, the perception of implementation and its effects on the dynamics of trust at both operational and management levels of interorganizational relations. The results of contracts, regulatory, interviews and questionnaires analysis indicated that to expand its operations, the fund need to balance governance with structural perspective, based in controls mechanisms with a relational structure, based on informal mechanisms that build financial agents trust. The main contribution of this study is to clarify the relationship between trust and control in the design of interorganizational governance mechanisms. Moreover, the framework considers the organization type, respondents' hierarchical level, and the previous relationship between organizations. And finally the study proposes a performance evaluation that considers not only the perceptions from the questionnaires, but also business indicators. / Tese (doutorado) - Pontifícia Universidade Católica do Rio de Janeiro. Departamento de Administração, 2014. / Bibliografia: p. 158-199

Made available in DSpace on 2016-04-26T20:22:07Z (GMT). No. of bitstreams: 1 Carlo Mazza Britto Melfi.pdf: 825883 bytes, checksum: 535178f4f35ba4f9f3f2a79eabac8f24 (MD5) Previous issue date: 2013-10-09 / The creation of the Brazilian System of Competition Defense, laid down in article 1 of Law nº. 12.529/11, raises a number of questions regarding the independence and decisional methodology of the members of CADE - Administrative Council for Economic Defense - as well as regarding the compatibility with the interpretative criteria related to the matter. Therefore, based on the legal analysis of experts and professors as well as academic researches on the conducts of the mentioned legal entity, the scope of this study is to expose the vulnerabilities of a system based on mandates by presidential nomination and its doubtful autonomy. In fact, the study criticizes the very convenience of maintaining such a substantial administrative apparatus created for the prosecution of violations against the Brazilian Economic Order and for the regulation of corporate concentration. The administrative discretion ostensibly employed in some trials and the variability of political contexts have been closely watched with great concern, as they may present a threat to legal stability and predictability. However, once the current system has been kept, it is imperative to present solutions that reconcile administrative and legal criteria of decision making. Considering also that the perception of a certain normative economic utilitarianism and a pragmatic decision making process, typical in Anglo-Saxon and U.S. Law, bring great difficulty to a hermeneutic approach. And the policy to be adopted, no doubt, is the application of the Principles laid down in the Brazilian Constitution, thus preserving the integrity of the county s legal system. It is also imperative to establish and recognize that several entities are fully legitimate to defend transindividual interests in court, particularly the Brazilian Ministry of State Prosecution, and therefore one can not admit that the establishment of an administrative repression system give rise to institutional accommodation / A criação de um denominado Sistema Brasileiro de Defesa da Concorrência, hoje previsto no art. 1º da Lei nº 12.529/11, provoca questionamentos quanto à metodologia decisória, independência dos conselheiros do tribunal do Conselho Administrativo de Defesa Econômica - CADE e à compatibilidade com os critérios interpretativos respeitantes à matéria. É dessa forma que, fundamentado na doutrina e com fulcro em pesquisa das posturas da autarquia, o presente estudo tem por escopo a constatação de vulnerabilidades de um sistema baseado em mandatos de indicação presidencial, outorgando duvidosa autonomia. Critica-se a própria conveniência da manutenção do substancial aparato administrativo criado para a repressão das infrações à Ordem Econômica e para regular os atos de concentração empresarial. A discricionariedade administrativa ostensivamente empregada em alguns julgados e a variabilidade de contextos políticos foi observada com preocupação, diante da possível afronta à segurança jurídica. Porém, uma vez mantido o sistema vigente, incumbe apresentar solução que compatibilize os critérios administrativos decisórios com os judiciais. Neste aspecto, a percepção de um certo utilitarismo econômico normativo e ainda de um pragmatismo decisório típicos do direito anglo-saxão e norte-americano traz grande dificuldade de abordagem hermenêutica. E a diretriz a ser adotada, sem dúvida, é a da aplicação dos valores previstos na Constituição da República, preservando-se a integridade do ordenamento jurídico. Também incumbe observar que diversas entidades estão plenamente legitimadas a defender os interesses transindividuais em juízo, particularmente o Ministério Público, não se podendo admitir que a criação do sistema de repressão administrativa enseje a acomodação institucional

abstract: The most prominent theories for explaining the incidence and prevalence of misconduct in prison are deprivation (Clemmer, 1940; Sykes, 1958; Colvin, 1992), importation (Irwin and Cressey, 1962; Harer and Steffensmeier, 1996; Cao Zhao, and Van Dine, 1997), and administrative control (DiIulio, 1987; Useem and Kimball, 1989; Useem and Reisig, 1999). Administrative control does not supersede deprivation and importation theories, but rather adds to them by asserting quality management is essential for the maintenance of an orderly environment jeopardized by the effects of deprivation and importation. Even though research has supported administrative control, researchers have disagreed over which aspects of management are most effective for mitigating disorder, and have thus far only proven that poor management leads to administrative breakdowns in policies and practices that predicate disorder. This dissertation introduces the concept of positive administrative control, based on social exchange theory, as the mechanism prison administrators should use to induce staff to act in accordance with agency desires and avoid administrative breakdowns. The results show that when prison employees experience quality relationships with their supervisors, they are more likely engage with inmates in a similar fashion, which is associated with reductions in misconduct rates. At the same time, when prison employees are supported and rewarded for their good behavior, they are more likely to actively monitor inmates, which is associated with increases in misconduct rates. Additionally, the results support importation theory by demonstrating that the aggregated criminogenic characteristics of inmates in a prison are representative of cultural influences on prison misconduct. Based on these findings, recommendations are made to restructure leadership training to emphasize relational leadership skills that positively influence staff to act in accordance with agency desires and more closely follow policy guidelines. It is also recommended that future studies consider including aggregated demographic variables in studies of misconduct in order to capture cultural/environmental influences that may otherwise be missed, and should avoid overuse of composite variables, in particular institution security level. / Dissertation/Thesis / Doctoral Dissertation Criminology and Criminal Justice 2015

The purpose of this study is to add an understanding on the relationship between characteristics of prison population and environmental characteristics of prisons with prison misconduct in the context of Japan, where little empirical research on prison misconduct has been conducted. To aid in the analysis, three theories (the deprivation, importation, and administrative control models) that had been developed in Western countries will be utilized. This study will test thirteen predictors derived from these theories. Using time-series data obtained from annual official reports of Japanese prisons between 1972 and 2019, the relationships between characteristics of prison population (gender, age, violent conviction, criminality, and health problems) and environmental characteristic of prisons or environment-driven characteristics of prisoners (occupancy rate, sentence length, foreign prisoners, drug conviction, and staff-to-inmate ratio) on prison misconduct (total, violent, and non-violent misconduct and refusal to work) were examined through descriptive analysis, graphical portrayal, bivariate correlations, and multivariate analysis using ARIMA (autoregressive integrated moving average) analysis. The results showed that all models can predict prison misconduct partially. Staff-to-inmate ratio was the most consistently significant predictor in this study. Occupancy rate and old age were also significantly related to several types of prison misconduct. Limitations and policy implications are discussed considering these results.

I collaborate with Elders of the Six Nations of the Grand River Territory – mainly former vice-principals and principals – to share their stories about elementary school administration of the community’s day schools of the 1960s, 70s, and 80s, and of the larger consolidated schools thereafter. By engaging in storywork with them, their stories reveal that as Indigenous organizations like the National Indian Brotherhood/Assembly of First Nations (NIB/AFN) warned First Nations about mistaking administrative control, or delegated authority as it framed it, as real, local control over their children’s education, vice-principals and principals in Six Nations reframed it as inherent acts of self-determination and sovereignty over education. Drawing on Audra Simpson’s nested sovereignty, and Glen Sean Coulthard’s self-recognition to produce a more accurate representation of administrative control in the community, the author argues that vice-principals and principals in Six Nations did not mistake their practice as delegated authority but instead – as inherently sovereign actors – went through a process of negotiating self-determination and sovereignty within the Department of Indian Affairs and Northern Development Canada’s (DIAND) educational framework to upset its status quo of First Nations only managing educational programs and services. If sovereignty is understood to be a process, rather than a destination as Robert Allen Warrior suggests, then vice-principals and principals exercising administrative control on a daily basis in their schools should be recognized as inherently self-determining and sovereign. By sharing their stories, they reveal that they possess the authority to determine the definition and character of administrative control at the local level. The argument’s implication being that there are alternative ways of knowing and understanding administrative control in First Nations schools, rather than the national discourse that evolved in the decades following the NIB’s Indian Control of Indian Education. / Thesis / Master of Arts (MA) / I collaborate with Elders of the Six Nations of the Grand River Territory – mainly former vice-principals and principals – to share their stories about elementary school administration of the community’s day schools of the 1960s, 70s, and 80s, and of the larger consolidated schools of the 1990s and early 2000s. By engaging in storywork with the Elders, their stories reveal that as Indigenous organizations like the National Indian Brotherhood/Assembly of First Nations (NIB/AFN) warned First Nations communities about mistaking administrative control, or delegated authority as it framed it, as real, local control over their children’s education, vice-principals and principals in Six Nations reframed it as inherent acts of self-determination and sovereignty over education. Their stories provide an alternative way of knowing and understanding administrative control in First Nations schools.

Natalya Peganova Criteria of the Evaluation of Primary Teachers` Musical Competence and Their Applying while Administering In the Master`s research work the problem of primary teachers` musical competence is analysed. The newness of the topic is determined by the fact that primary teachers` musical competence in schools in the process of pedagogical practice is almost not examined. In this research criteria of the evaluation of primary teachers`musical competence needed for their professional work and administrative control are defined.The problem is improper evaluation of primary teachers` musical competence made by school administration and insufficiant attention to primary teachers preparation for carrying out the process of children`s musical development. The research was aimed at determination of criteria of the evaluation of primary teachers` musical competence and checking-up their suitability while administering. Doing this the conception of competence itself was discussed, the ways of the evaluation of primary teachers` musical competence and administrative control were analysed, primary teachers` view towards their musical competence was ascertained, description of the criteria of the evaluation of primary teachers` musical competence was prepared and its suitability was checked while administering. The data of the empirical research was collected and systematized. The results showed that primary teachers themselves evaluate their musical abilities quite... [to full text]

Made available in DSpace on 2014-12-17T14:27:20Z (GMT). No. of bitstreams: 1 MariannaPP_DISSERT.pdf: 1396601 bytes, checksum: aaf52b34dbdc02a341c65518d94c4687 (MD5) Previous issue date: 2012-12-11 / Coordena??o de Aperfei?oamento de Pessoal de N?vel Superior / The Multilateral Trading System has evolved and presented new international mandatory rules to States. Along with the World Trade Organization constitutive treaty, Brazil has incorporated the Agreement on Subsidies and Countervailing Measures (ASCM) in the national legal system. That treaty limits de scope of subsidies concession by governments since this practice can constitute a mechanism of commercial disloyalty, affecting national industrial development in the importing country. At the same time, the multilateral agreement grants defense legitimate instruments to States, among them the possibility of domestically and unilaterally imposing countervailing measures to subsidized products that enter the national territory. Since the issue concerns both international and domestic level in complementary grounds, this research, besides investigating the treaty related obligation, aims at studying the national legal fundaments to ASCM s application by the Brazilian State. Therefore, the essential point resides in the State s conduction of its international trading and also in its available and constitutionally established mechanisms of economic intervention. State s regulating power reveals itself as a fundamental prerogative to succeed in the internalization of international agreement s requirements in the domestic legal system, which represents a basic prerequisite to the implementation of countervailing measures. Once the whole normative outlines are apprehended, this study shall scan the administrative process of trading defense main elements, along with the means of controlling public administration acts. The action taken by the public organs that directly intervene in foreign trade shall be analyzed as well, so as to enable reasoning if the unilateral application of countervailing duties by the Brazilian State is happening on legitimacy grounds / O Sistema Multilateral do Com?rcio evoluiu e adveio com normas internacionais de cumprimento obrigat?rio pelos Estados. Juntamente com o acordo constitutivo da Organiza??o Mundial do Com?rcio, o Brasil incorporou em seu ordenamento jur?dico interno o Acordo sobre Subs?dios e Medidas Compensat?rias (ASMC). Este tratado internacional limita a margem de concess?o de subs?dios pelos governos em raz?o de a pr?tica poder constituir um mecanismo de deslealdade comercial, afetando o desenvolvimento da ind?stria nacional do pa?s importador. Ao mesmo tempo, o acordo multilateral outorga aos Estados instrumentos leg?timos de defesa, dentre os quais se destaca a aplica??o, a n?vel interno e de maneira unilateral, de medidas compensat?rias aos produtos que adentrarem o territ?rio nacional com o incentivo das subven??es. Em se tratando de mat?ria em que as ?rbitas internacional e interna complementam-se, a presente pesquisa, al?m de perscrutar acerca dos deveres oriundos do tratado internacional, prontifica-se a estudar os fundamentos jur?dicos dom?sticos para a aplica??o do ASMC pelo Brasil. A quest?o insere-se, por conseguinte, na condu??o estatal de seu com?rcio internacional e tamb?m nos mecanismos de interven??o na ordem econ?mica, consagrados constitucionalmente. O poder regulamentar do Estado brasileiro revela-se fundamental para a internaliza??o dos requisitos do acordo internacional no ordenamento jur?dico p?trio, o que, inclusive, representa requisito basilar para a aplica??o das medidas compensat?rias. Uma vez compreendido todo o arcabou?o normativo pertinente, este estudo procurar? deslindar os elementos essenciais do processo administrativo de defesa comercial, juntamente com os meios de controle da administra??o p?blica. A conduta dos ?rg?os p?blicos diretamente envolvidos no tratamento do com?rcio exterior brasileiro ser?, finalmente, analisada, como forma de se apreender se a implementa??o unilateral dos direitos compensat?rios pelo Estado brasileiro ocorre, como deve ser, de maneira leg?tima

De prime abord, le droit des concentrations illustre le rôle moderne joué par l’État dans l’économie : il ne s’agit plus de construire les marchés, mais de contrôler ponctuellement un ou plusieurs opérateur(s) en particulier. L’État libéral soumet ainsi à autorisation préalable les rapprochements d’entreprises, afin de vérifier que ceux-ci ne portent pas atteinte à la concurrence. Pourtant, dans le silence de la loi, tout se passe comme si l’administration se servait de la concentration comme d’un vecteur d’une réorganisation des marchés. Le procédé est d’autant plus subtil qu’il implique étroitement les entreprises elles-mêmes : tout repose sur les « engagements » que celles-ci proposent à l’administration dans le but de prévenir les effets anticoncurrentiels de leur projet. Car ces engagements connaissent une mutation juridique décisive : une fois émis, ils deviennent une mesure de police économique, incorporée dans l’autorisation administrative. Le procédé, développé à l’époque de l’économie administrée, dénote la constance du droit français par-delà la variation des objectifs économiques. Or, ces engagements contraignent les parties à la concentration, d’une part dans leurs actes avec d’autres opérateurs sur le marché et, d’autre part, dans leurs rapports à l’administration : ils orientent l’action de la concentration vis-à-vis des tiers tout en prolongeant le contrôle administratif. Incorporant les engagements dans son acte, l’administration modifie puis surveille les relations entre les parties et les tiers à l’opération. Aussi, son intervention se déplace, ratione temporis, de la concentration en projet à la concentration réalisée, et, ratione personae, des parties à l’opération aux tiers. Elle se déplace en somme de la concentration vers le marché. S’il ne s’agit donc plus, comme par le passé, de construire directement le marché, l’administration utilise désormais à cette fin les entreprises soumises à son autorisation. / At first sight, the mergers’s control illustrates the modern role played by the State in the economy: the aim is not to organize the markets anymore, but to control from time to time one or several particular operators. The liberal State submit the companies’s merging processes to prior authorization, so as to make sure they do not negatively affect the competition. Nevertheless, in the silence of the law, everything goes as if the administration was using mergers as drivers of the markets’s reorganization. This process is evenmore subtil because it implies closely the companies themselves: everything depends on the commitments the companies offer to the administration, in order to prevent the non competitive effects of their project. These commitments are indeed undergoing a major legal change: once issued, they become a measure of economic restriction, embedded in the administration’s authorization. This process, that has been developed from the time of planned economy, suggests a certain permanency of the French law, despite the economic goals’s variation. Yet, these commitments constrain the parties about to merge: on the one hand regarding their actions towards other operators on the market, and on the other hand, regarding their relation with the administration : at the same time they direct the merger according to the stakeholders, and extend the administrative control. In short, when embedding the commitments in its act, the administration first changes the relations between the parties and the stakeholders, then follows up the relations’s execution. Thus, its intervention swifts ratione temporis, -from the merger in progress to the merger achieved, ratione personae, from the parties to the stakeholders’ operations, and ratione materia, from the merger to the market. Time has gone when the administration used to build the market directly ; now it uses to this end the companies that have to require her authorization.

Cette thèse analyse les usages des technologies de l’information dans les organisations et leur influence sur les assemblages de contrôles. Un modèle d’analyse structurationniste des conséquences des usages des technologies fait l’objet d’une adaptation aux assemblages de contrôles. Ce modèle est mobilisé sur un cas d’appropriation d’une technologie de base de données collaborative. Cette étude comprend une phase préliminaire de 34 entretiens. 44 autres entretiens et 14 journées d’observation sont réalisés pour étudier un processus d’appropriation de sept années. La thèse montre que les usages de la technologie s’apparentent à une négociation aboutissant à la révision des contrôles utilisés. Deux changements sont mis en avant. D’un côté, on assiste à l’actualisation des contrôles administratifs qui se coalisent pour obtenir une reddition de comptes systématique et spontanée des individus. De l’autre, on assiste à une dissolution des contrôles sociaux et à un repositionnement des dispositifs intégratifs au carrefour du contrôle social et administratif. Ces changements traduisent la diffusion d’une logique comptable avancée dans l’organisation. / This dissertation analyses information based technologies usages in organizations and their influence on control assemblages.An existing structurational view of technology usages consequences is adapted to an approach of control that is also informed by structurational principles. The resulting model of analysis is mobilised for studying a collaborative technology appropriation process. A preliminary study based on 34 interviews is carried out to outline the appropriation context of this technology. The main case study is grounded on 44 interviews and 14 days of non participative observations.This research shows that usages as they develop, are similar to successive negotiation steps that progressively revise control. This process entails two main revisions. On the one hand, administrative control can be seen as updated as they coalise to obtain a systematic and spontaneous reporting from individuals. On the other hand, appropriation brings the dissolution of social control and integrative devices split from the group they originate from. These revisions can be seen as the diffusion of an advanced 360° accounting logic.

Made available in DSpace on 2016-04-26T20:22:55Z (GMT). No. of bitstreams: 1 Priscilla da Costa Lima Jimenez.pdf: 1067465 bytes, checksum: 3f1f54b3011415dbc04ec370685445f2 (MD5) Previous issue date: 2014-06-26 / The subject of this paper is due to the concern about the recognition of and respect to the power of the National Justice Council (Conselho Nacional de Justiça CNJ), be it as the administrative-strategic, budgetary-financial and disciplinary controller of the Judicial power; be it as the responsible for the progression and development of Justice in society. Being this study an exploratory research, the author sought to develop a broad empirical study in order to give rise to theoretical studies on the matter. To that extent, aiming at understanding the dynamics of recognition and respect to the powers of CNJ by the Judicial power and by the society and at measuring the impact of the creation of the CNJ in the number of lawsuits that discuss those before the Supreme Court (Supremo Tribunal Federal STF), the author has decided to research the lawsuits in which the STF acknowledged the powers of the CNJ in the first place and afterwards, research (i) the lawsuits that challenge these powers even after their recognition and try to measure the continuity or not of the respect to these powers; and (ii) the lawsuits that challenge these powers before their recognition by the STF, in order to enable the discussion around the judicial costs and benefits of the recognition of the powers of the CNJ / A escolha do tema do presente trabalho deve-se à preocupação com o reconhecimento e respeito aos poderes do Conselho Nacional de Justiça CNJ, seja como controlador administrativo-estratégico, orçamentário-financeiro e disciplinar do Poder Judiciário; seja como responsável direto pelo avanço e desenvolvimento da Justiça perante a sociedade. Sendo uma pesquisa investigativa, buscou-se desenvolver um estudo empírico bastante amplo a fim de fomentar estudos teóricos sobre a matéria ora desenvolvida. Para tanto, pretendendo entender a dinâmica de reconhecimento e respeito aos poderes do CNJ pelo Judiciário e pela sociedade e, ainda, mensurar o impacto da criação do CNJ no número de processos que os discutem perante o STF, resolveu-se pesquisar as ações judiciais em que primeiro o STF reconheceu os poderes do CNJ para logo depois, pesquisar (i) as ações judiciais questionando esses poderes mesmo após o seu reconhecimento, intentando mensurar a continuidade ou não do respeito a esses poderes reconhecidos; e (ii) as ações judiciais questionando esses poderes antes de seu reconhecimento pelo STF, a fim de possibilitar a discussão sobre os custos e os benefícios judiciais do reconhecimento dos poderes do CNJ