Este trabalho aborda a atividade sancionadora da Administração Pública e a necessidade de apreciação da culpabilidade para aplicação da sanção administrativa. Procede-se a uma análise dos fundamentos e conteúdo do Poder Sancionador da Administração Pública, em especial à culpabilidade do agente como elemento da infração administrativa. Defende-se, como regra, a necessidade de apreciação do elemento subjetivo do agente para aplicação da sanção administrativa, sob a ótica constitucional, enquanto garantia do administrado e decorrência da dignidade da pessoa humana. / This study deals with the punitive activity of the Public Administration and the need to appraise culpability as an element of administrative violations. It undertakes a broad analysis of the basis, content and limits of the punish powers of the Public Administration in the Brazilian legal system. It defends, as a rule, the need for an appraisal of the subjective element of the agent in the application of administrative sanctions, from a constitutional viewpoint,as a guarantee for those administered and out of respect for the dignity of the human person.

Submitted by Marcia Silva (marcia@latec.uff.br) on 2016-07-15T21:20:08Z No. of bitstreams: 1 Dissert Weniston Ricardo de Andrade Abreu.pdf: 2805462 bytes, checksum: eb480d8391e5f919df73acfb2b4b896d (MD5) / Made available in DSpace on 2016-07-15T21:20:08Z (GMT). No. of bitstreams: 1 Dissert Weniston Ricardo de Andrade Abreu.pdf: 2805462 bytes, checksum: eb480d8391e5f919df73acfb2b4b896d (MD5) Previous issue date: 2016-02-17 / As micro e pequenas empresas representam importantes agentes na economia dos países, sejam eles desenvolvidos ou em desenvolvimento. No entanto, historicamente este segmento apresenta dificuldades para financiar suas atividades, em particular nas fases iniciais de seu ciclo de vida. Países da Europa, América do Norte, América Central e, mais recentemente na América do Sul, desenvolveram esquemas de garantia de crédito de caráter público e/ou privado, como política de apoio ao segmento de micro e pequenas empresas e como uma forma de reduzir as barreiras de acesso a financiamento desses empreendimentos. Esta dissertação tem o objetivo de identificar e analisar quais os fatores críticos de sucesso e como eles influenciam o desempenho e a sustentabilidade do modelo mutualista de garantia de crédito para pequenos negócios no Brasil, baseado nas Sociedades de Garantia de Crédito. O estudo dos sistemas de garantia de crédito internacionais, em particular os modelos de Portugal, Espanha e Chile, somados às teorias sobre modelos de gestão, fundamentaram a base teórica da pesquisa. A metodologia utilizou a abordagem de estudo de caso múltiplo, onde quatro Sociedades de Garantia de Crédito em atividade no Brasil foram as unidades de análise. Os resultados apresentam um conjunto de fatores críticos de sucesso, entre eles se destacam: o apoio político institucional, a formação de sólidas alianças comerciais com instituições financeiras, a necessidade de um marco regulatório para as instituições de garantia solidária e o aprimoramento dos modelos e práticas de gestão dessas instituições. Este trabalho contribui do ponto de vista teórico para ampliar a produção científica e o debate acadêmico sobre os mecanismos de facilitação do acesso a crédito e serviços financeiros para micro e pequenas empresas, bem como as estratégias e modelos de gestão utilizados por instituições mutualistas de garantia de crédito. Do ponto de vista prático, oferece subsídios para a melhoria da gestão e implementação de políticas de apoio que elevem o desempenho organizacional das Sociedades Garantidoras de Crédito no Brasil. / Micro and small enterprises are important agents in the economy of the countries, whether developed or developing nations. However, companies in this sector present historical funding difficulties, particularly in the early stages of their life cycle. European, North America, Central America and, more recently, South American designed credit guarantee schemes, whether private or public, both as a policy of support to the segment of micro and small enterprises and as a way to reduce the barriers those companies have to access financing. This paper aims to identify and analyze which are the critical success factors and how they influence the performance and sustainability of the mutual credit guarantee model for small business in Brazil. The study of international credit guarantee systems, particularly those models of Portugal, Spain and Chile, and the management models theories are the theoretical basis of the research. The methodology used was the multiple case study approach, in which four Credit Guarantee Institutions operating in Brazil were analysed. The results present a set of critical success factors: the institutional political support, the formation of strong business alliances with financial institutions, the need for a regulatory framework and the improvement of models and practices of guarantee institutions management. From a theoretical point of view this work contributes to increasing the scientific production and academic debate on the mechanisms for facilitating access to credit and financial services for micro and small businesses as well as the strategies and management models used by mutual credit guarantee institutions. From a practical point of view, it provides grants to management improvements and also to implement policies support that increase organizational performance of brazilian mutual credit guarantee institutions.

Les rapports entre créanciers et débiteurs de sûretés sont sensibles. L’importance de l’opération garantie ajoutée au déséquilibre inhérent à la sûreté explique le contentieux foisonnant que la discipline connait. Ces rapports se retrouvent parfois perturbés par la commission d’une faute : c’est à l’étude de ce type de faute que la thèse est consacrée.Les définitions usuelles de la faute et de la sûreté ont pour trait commun l’obligation : la première est un manquement à une obligation, la seconde est une garantie de l’obligation. L’obligation se présente alors comme un instrument propice à l’analyse des comportements fautifs commis par les acteurs d’une sûreté. Plus encore, l’obligation se révèle être au fondement de la sûreté : toute garantie du crédit ne peut s’expliquer qu’en référence à cet élément.En effet, l’obligation peut se décomposer en deux rapports. Le rapport obligatoire concerne la prestation et le pouvoir de contrainte du créancier ; le rapport d’obligation marque l’assujettissement de la personne, les exigences comportementales qui l’astreignent. Seul ce second rapport est systématiquement issu d’une sûreté : les parties à une sûreté doivent, pour l’essentiel, conformer leur attitude au but de l’opération. Le rapport obligatoire constitue la perspective finale : la prestation en garantie de laquelle une sûreté a été constituée.La faute ne se manifeste toutefois pas de manière unitaire lorsqu’elle entrave une sûreté. Commise par le débiteur, elle est une altération de la chance supplémentaire de paiement reconnue au créancier. Commise par le créancier, elle consiste en une altération des chances de remboursement du débiteur de la sûreté personnelle ou en une atteinte au patrimoine du constituant d’une sûreté réelle.C’est enfin au sujet de la notion de sûreté que l’analyse de la faute révèle ses intérêts. Elle est l’occasion de suggérer une définition de la sûreté, de proposer des éléments de rationalisation du droit des sûretés mais aussi de limiter les occurrences de fautes et leurs conséquences parfois délétères. / The relations between guarantee creditors and debtors are sensitive ones. The importance of the secured transaction, added to the unbalance of the guarantee explains the abundant litigation in this field. These relations are sometimes disturbed by the commission of a fault: the purpose of this thesis is to study this type of fault.The definitions of fault and guarantee have obligation as a common feature. A fault is an obligation breach, a guarantee protects the performance of an obligation. Thus, obligation appears to be a useful tool to analyze guilty behaviours in secured credit law. Moreover, obligation turns out to be the basis of guarantee: every credit guarantee is to be explained in reference to this element.As a matter of fact, the obligation can be broken down in two links. The obligatory link is about the benefit and the creditor’s enforcement power; the obligation link corresponds to the person subjugation, the behavioural requirements that he musts respect. Only this second link is systematically generated by a guarantee: the parties must essentially comply with the aim of the transaction. The obligatory link is the final prospect: the benefit, which a guarantee was established to protect.Nevertheless, the fault doesn’t manifest itself unitarily when it hinders a guarantee. The fault of the debtor is an alteration of the creditor’s additional opportunity to be paid. The fault of the creditor can be an alteration of debtor’s ability to refund or a violation of his estate, whether it is a personal safety or a property right securing payment.Eventually, it is regarding the guarantee concept that the analysis of fault reveals its interests. This analysis is an opportunity to suggest a definition of guarantee, to propose some elements in order to rationalise secured credit law but also to reduce fault occurrences and some of their deleterious effects.STAR

This thesis proposes a new idea about the so-called “resilience of laws”, which was designed to protect the effectiveness of laws within civil law or common law jurisdictions against any change, i.e. social, legal, political, or economic, amongst others. Laws may initially be effective but become ineffective afterwards, and one possible cause may be such changes. Thus, the author states that any of the aforementioned changes may shock a non-resistant legal regime, turning it into an ineffective legal regime to the detriment of society. As a result, the thesis imposes new expectations of legislators and judges whereby they are expected, not only to provide society with effective laws, but with resilient laws. Resilience of laws, within the context of this research, comprises two features: i) static resilience, i.e. the ability of the law to resist the shock caused by a previous change; and ii) dynamic resilience, i.e. the capacity to recover the effectiveness of the law once it has been shocked, and the capacity to prevent a future scenario of ineffectiveness. To achieve the resilience of laws, the author explains how legislators and judges have to take into consideration previous challenging changes and shocks in order to later recover successfully the level of effectiveness, and to prevent ineffectiveness as a result of a similar future shock; this is aimed at having resistant laws, if possible. The thesis places emphasis on the evaluation of the level of static and dynamic resilience of the Colombian laws of performance bonds as an illustration of the notion of resilience of laws, based on the politico-economic changes that were implemented in that country in 1990 and 2002.

[pt] As flexibilidades observadas em contratos de Parcerias Público-Privadas (PPPs) para projetos de infraestrutura rodoviária podem também ser compreendidas como opções contratuais. O modelo desenvolvido no presente estudo teve como principal foco o estabelecimento do nível ótimo de garantia governamental a ser ofertada à iniciativa privada em uma concessão de rodovia por PPP, utilizando a teoria de opções reais de forma integrada à métrica de performance Ômega, a qual obteve melhor resposta entre demais métricas VaR e CVaR propostas. Ainda de forma original, o modelo contemplou o apreçamento de garantias de receita mínima, como parte integrante do apreçamento de opções do tipo collar europeia (calls e puts) com caps, integrado ao apreçamento da opção americana de expansão (call) do projeto. O valor presente (VP) do projeto, considerando a opção de expandir a capacidade, foi calculado em 2,73 bilhões de Reais, que comparado ao valor esperado de 2,65 bilhões de Reais sem flexibilidade, representa um aumento de 73 milhões de Reais ao valor do projeto no caso base. O valor presente do projeto com a flexibilidade de expansão (call americana) e com garantia de receita mínima (put europeia) com cap 10 por cento do Capex permite atingir o valor de 3,33 para a medida Ômega, que é muito superior ao valor anterior de 0,996 obtido somente com a modelagem de opções tipo collar. / [en] The flexibilities observed in Public-Private Partnership (PPP) contracts for road infrastructure projects can also be taken as contractual options. The model developed in the present study had as main focus the establishments of the optimal level of government guarantee to be provided to private initiative in a PPP highway concession, using real option theory integrated with Omega measure, in which had a better response among other proposed VaR and CVaR metrics. Also in an original way, the model contribute to set a minimum revenue guarantees, as part of the european collar option (call and put), integrated to an expansion american call option. The project s present value (PV), considering an option for capacity expansion, was calculated at BRL 2.73 billion, which compared to the expected value of BRL 2.65 billion without flexibility, represents an increase of BRL 73 million to the value of the project in the base case scenario. The present value of the project with the flexibility of expansion (call) and with a minimum revenue guarantee with cap 10 percent of Capex, allows to reach the value of 3.33 for the Omega measure, which is much higher than the previous value of 0.996, obtained only with the european collar option.

Sammanfattning Studieobjekt: Anställda och kunder till ett värmepumpsföretag. Problemområde: Garanti är ett ämne som studerats mycket de senaste 40 åren. Inriktningen har gjorts mot garantier vid tjänsteerbjudanden och fokuserats på marknadsföringsaspekten. Garantier ger en adderad säkerhet för kunden och historiskt har garantin inkluderats i erbjudandet. Det saknas däremot undersökningar gällande hur kunder ser på alternativa sätt att erbjuda en garanti.  Syfte: Syftet med studien är att bidra med ökad förståelse för garantier som värdeskapande element i kundupplevelsen. Frågeställningar: Påverkar garantier kundupplevelsen samt en kunds val av tjänst? Hur ser kundperspektivet på en garanti i relation till priset på en tjänst ut? Hur ser kunden på möjligheten att välja nivå av garanti? Teori: Garanti, kundupplevelse och olika aspekter inom den, tjänstelogik samt värdeskapande utifrån tjänstelogiksperspektivet. Metod och genomförande: Uppsatsen utgår ifrån en kvalitativ forskningsmetod. Det empiriska materialet består av åtta semistrukturerade intervjuer med kunder och anställda vid ett värmepumpsföretag. Vår insamlade data analyserades sedan gentemot de valda teorierna för att avslutningsvis resultera i våra slutsatser.  Slutsatser: Garantier påverkar en kunds val av tjänst samt kundupplevelse. Det genom att kunden ges en trygghet vad gäller framtida problem samt att företaget står bakom sin tjänst. Ur ett prisperspektiv ser inte kunden något problem i en något högre prislapp om erbjudandet innefattar någon sorts garanti. Vidare tolkas det positivt att ha möjligheten att utesluta en garanti. Liksom det positiva perspektivet på valmöjligheten att utesluta en garanti anses också nivåalternativ som positiva. Det till trots att ingen av de intervjuade ansåg att de önskat ett nivåalternativ tidigare. Grunden låg snarare i valmöjligheten och anpassningsbarheten ur sitt egna kundperspektiv. Nyckelord: Garanti, kundupplevelse, tjänstelogik, värdeskapande. / Abstract Title: Safety and security is everything! Subtitle: The possibility to customize the guarantee based on needs. Study: Employees and customers to a heat pump company. Problem area: Guarantee is a subject that has been studied frequently over the last 40 years. The orientation has been done towards guarantees in service offerings and has focused on the marketing aspect. Guarantees bring safety to the customer and historically the guarantee has been included in the offer. However, there is a lack of studies that focus on how customers perceive alternative ways on how to offer a guarantee. Object: The object of this study is to contribute with knowledge about guarantees as a value creating element in the customer experience. Problem statements: Does a guarantee affect the customer experience and the customer’s choice of service? How does the customer perspective view a guarantee in regards to the price of a service? How does the customer perceive the possibility to choose a level of guarantee? Theory: Guarantee, customer experience and different aspects of it, service logic and value creation based on the service logic theory. Method and implementation: The study is based qualitative research. The empirical material consists of eight semi-structured interviews with customer and employees at a heat pump company. The collected data was analyzed in regards to our chosen theories, resulting in our conclusions in regards to our problem statements. Conclusions: Guarantees affect a customer’s choice of service and their customer experience. This since the customer is given security regarding future problems and the fact that the company stand behind their service. From a price perspective the customer does not see a problem with a slightly higher cost if the offer contains some sort of guarantee. Furthermore, it is interpreted as positive to have the possibility to exclude a guarantee. As well as the positive perspective on the option to exclude a guarantee, level options regarding the guarantee is regarded as favorable, even though none of the interviewed felt the need of having level options before. Despite this, the basis was in the options and adaptability based on one’s customer perspective. Keywords: Guarantee, customer experience, service logic, value creation.

[pt] Diante do comprometimento do Brasil com a FIFA (Federação Internacional de Futebol) para realização de eventos esportivos, mais precisamente a Copa das Confederações em 2013 e a Copa do Mundo em 2014, o Governo do Estado de Minas Gerais utilizou o modelo de Parcerias Público-Privadas (PPP) para promover as obras de reforma e modernização do Complexo do Mineirão, em Belo Horizonte. A PPP tem como objetivo a viabilização de projetos de infraestrutura que exigem grandes aportes financeiros. No entanto, a incerteza sobre a demanda de público de jogo de futebol é elevada e isso pode fazer com que algumas empresas que poderiam estar interessadas na realização da obra, não participem da concessão. Assim, uma das formas para reduzir esse risco é o governo oferecer uma garantia de demanda, na qual é garantida uma receita pré-determinada sempre que os resultados do investidor forem abaixo do esperado. Essa garantia é vista como uma opção de Put para a Minas Arena, empresa privada, e como uma Call para o governo. Nesse contexto, este trabalho desenvolveu um modelo respaldado na teoria de opções reais com o objetivo de valorar as opções presentes do projeto e estabelecer os limites de risco para cada um dos stakeholders. O resultado da análise mostrou que a estratégia de associar uma garantia de demanda a um teto de desembolsos (proposta vencedora do processo licitatório) tem valor positivo para o governo e negativo para o concessionário. Foi utilizada a média de público mensal histórica, na qual a demanda média não ultrapassa 50 porcento da capacidade do estádio. Além disso, algumas sensibilidades dos principais parâmetros do modelo sugeriram uma alta sensibilidade do valor da opção para pouca variação desses parâmetros. Esses resultados revelam que a empresa privada poderia ter assinado o projeto sem a necessidade da opção de garantia de público, uma vez que os principais jogos do estádio do Mineirão são altamente concentrados no time Cruzeiro, que possuem um comportamento estável de jogos ao longo do ano, com exceção dos dias de clássico. / [en] Given the commitment of Brazil with FIFA (International Football Federation) to perform sporting events, specifically the Confederations Cup in 2013 and World Cup in 2014, the Government of the State of Minas Gerais used the Public-Private Partnership model (PPP) to promote the works of reform and modernization of Mineirão Complex in Belo Horizonte. The PPP aims at enabling infrastructure projects that require large financial investments. However, uncertainty about the football game public demand is high and this may cause some companies that might be interested in doing the work, not participate in the award. Thus, one way to reduce this risk is the government offer a warranty claim, which is guaranteed a predetermined recipe whenever the investor s results are below expectations. This guarantee is seen as a put option for the Minas Arena, a private company, and as a call for the government. In this context, this paper developed a model supported the theory of real options with the objective of evaluating these design options and establish risk limits for each of the stakeholders. The analysis showed that the strategy of associating a warranty claim to a ceiling disbursements (winning bid of the bidding process) has positive value to the government and negative for the dealer. Average monthly historical square was used, in which the average demand does not exceed 50 percent of the capacity of the stadium. In addition, some sensitivities of the main model parameters suggested a high sensitivity of the option value to little variation of these parameters. These results reveal that private enterprise could have signed the project without the need for public assurance option, since the main games of the Mineirão stadium are highly concentrated in Cruzeiro team, who have a stable behavior of games throughout the year with the exception of classical days.

[pt] O Projeto Golfinhos é uma proposta de atendimento familiar aos adolescentes em cumprimento de medida socioeducativa no Rio de Janeiro e suas famílias, realizado entre 1995 a 2002. Esta dissertação tem como objetivo principal abordar o sistema socioeducativo, através da análise de implicação no campo de atuação socioeducativo. Procura também articular o direito à convivência familiar ao direito à visita íntima, garantido pela Lei numero 12.594/2012 - SINASE para adolescentes em privação de liberdade, que possam comprovar vinculo estável, com o(a) parceiro(a) de referência, contemplando direitos sexuais e reprodutivos. Apresenta a relevância da análise de implicação para a proposta desse trabalho, focando na prática profissional, no desenvolvimento do projeto, na relação existente com a instituição. Desenvolve uma abordagem de conceitos de memória e seu significado, relacionando com histórias de vida destes adolescentes, fazendo uso de registros do projeto e de produções deles e das famílias e remete a uma análise histórica do percurso profissional no reconhecimento de mudanças necessárias no sistema. Delineia um panorama das normativas em torno da garantia do direito à visita íntima, articulando com a proposta de elaboração de um programa de saúde e sexualidade, observando a relação desse direito com a atenção às famílias. Discorre as conclusões através da metodologia plural utilizada, promovida pela Análise Institucional, propiciadora do encontro de pistas cartográficas e a aproximação a uma autoetnografia, através de uma arqueologia do método de trabalho com famílias. / [en] The Golfinhos Project is a family care proposal for adolescents under socialeducational measures in Rio de Janeiro and their families, held from 1995 to 2002. This paper aims to address the socialeducational system of Rio de Janeiro, through analysis of implication in the socialeducational working field. It also aims to propose the living family the right to conjugal visit, guaranteed by law number 12.594 / 2012 – SINASE, for teenagers in deprivation of liberty that can prove stable bond with a partner, covering sexual and reproductive rights. This paper presents the relevance of the analysis of implication for the purpose of this work, with the focus on the professional practice and the development of the project, and the relationship with the institution. It develops an approach to concepts of memory and its meanings, relating to life stories of adolescents in conflict with the law, making use of project records, productions made from the adolescents and their families. It also refers to a historical analysis of my institutional career and the recognition of necessary changes in the socialeducational system. It outlines a normative panorama around the right of conjugal visit, articulating it with the proposal of a health and sexuality program, observing the relation with the right to the attention to the families. This paper also discusses the conclusions trough a plural methodology, promoted by Institucional Analysis, that produces the meeting of cartographies signs and an approach to a self ethnography through an archeology of a method work with families.

Traffic congestion is a central problem in transportation systems, especially in urban areas. The rapid development of Connected and Automated Vehicles (CAVs) and new traffic infrastructure technologies provides a promising solution to solve this problem. This work focuses on the safety-critical optimal control of CAVs in autonomous traffic systems. The dissertation starts with the roundabout problem of controlling CAVs travelling through a roundabout so as to jointly minimize their travel time, energy consumption, and centrifugal discomfort while providing speed-dependent safety guarantees. A systematic approach is developed to determine the safety constraints for each CAV dynamically. The joint optimal control and control barrier function (OCBF) controller is applied, where the unconstrained optimal control solution is derived which is subsequently optimally tracked by a real-time controller while guaranteeing the satisfaction of all safety constraints. Secondly, the dissertation deals with the feasibility problem of OCBF. The feasibility problem arises when the control bounds conflict with the Control Barrier Function (CBF) constraints and is solved by adding a single feasibility constraint to the Quadratic Problem (QP) in the OCBF controller to derive the feasibility guaranteed OCBF. The feasibility guaranteed OCBF is applied in the merging control problem which provably guarantees the feasibility of all QPs derived from the OCBF controller. Thirdly, the dissertation deals with the performance loss of OCBF due to the improperly selected reference trajectory which deviates largely from the complete optimal solution especially when the vehicle limitations are tight. A neural network is used to learn the control policy from data retrieved by offline calculation from the complete optimal solutions. Tracking the learnt reference trajectory with CBF outperforms OCBF in simulation experiments. Finally, a hierarchical framework of modular control zones (CZ) is proposed to extend the safety-critical optimal control of CAV from a single CZ to a traffic network. The hierarchical modular CZ framework is developed consisting of a lower-level OCBF controller and a higher-level feedback flow controller to coordinate adjacent CZs which outperforms a direct extension of the OCBF framework to multiple CZs without any flow control in simulation.

No description available.