This thesis deals with supervision over the financial market and its legal framework. I chose the topic because I have always been interested in the issue concerning the financial market. This thesis enables readers to get familiarized with the current situation of the financial market supervision in the Czech Republic, European Union and three member states of European Union, i.e. United Kingdom, France and Slovakia. The Chapter One is an introduction to the theme. The second chapter deals with the basic terms used in the thesis as financial market, supervision, inspection etc. It is a theoretical part of the thesis. The third chapter examines relevant legislation of the European Union and it is dedicated to the EU financial supervision. A new structure for EU financial supervision was agreed in 2010 following the adoption of the de Larosière report in November 2008. At the beginning of 2011 the European Systemic Risk Board (ESRB) and three European Supervisory Authorities (ESAs) were established. The purpose of the new structure is to ensure effective surveilance of the EU financial market. The ESRB is responsible for monitoring and assessing potential threats to the stability of the financial system. It can issue risk warnings when necessary, and can make recommendations for remedial action,...

En esta tesis, las autoras, sobre la base de la pirámide de Braithwaite, proponen la utilización de las herramientas de Enforcement con las que cuenta el OSIPTEL durante la supervisión, fiscalización, sanción y post evaluación del cumplimiento regulatorio en el sector de las telecomunicaciones, en un esquema piramidal de aplicación, bajo el enfoque de Responsive Regulation. Dichas herramientas están consignadas desde las menos intrusivas y persuasivas, hasta aquellas otras que se sustentan en la no cooperación de los regulados, frente a lo cual se requiere el empleo de mecanismos de disuasión. Además, a fin de obtener un enfoque de Responsive Regulation, de forma integral, precisan que es necesario considerar diversas mejoras en la normativa del OSIPTEL, así como en el ejercicio de sus funciones, las cuales han sido desarrolladas en este documento. / Tesis

En esta tesis se realizó un estudio analítico de la metodología de cálculo de multas por infracciones a las normas de seguridad minera del Organismo Supervisor de la Inversión en Energía y Minería – OSINERGMIN con el propósito de formular propuestas de solución a las oportunidades de mejora relacionadas con su contenido y aplicación. En tal sentido, se analizaron los fundamentos económicos y legales relativos a la determinación y graduación de sanciones administrativas, el modelo general de cálculo de multas diseñado por dicha agencia reguladora, metodologías de cálculo elaboradas por otras entidades públicas, así como diversos casos en los cuales se refleja la aplicación de la metodología objeto de estudio. Los resultados de dicho examen evidenciaron múltiples deficiencias relacionadas con los alcances y operativización o cálculo de los componentes utilizados en la graduación de las multas, tales como: beneficio ilícito, probabilidad de detección, daño y factores agravantes y atenuantes. Es así que, la investigación propone alternativas de solución para cada una de las oportunidades de mejora identificadas, tomando en consideración el basamento teórico económico y legal, así como la práctica administrativa estudiados; ello, en procura optimizar la metodología aplicable al sector minero y fortalecer la función fiscalizadora y sancionadora del regulador. / Tesis

La presente investigación identifica que la estrategia dominante para el cumplimiento de las normas (Enforcement) aplicada por el organismo regulador de las telecomunicaciones del Perú (OSIPTEL) es la disuasiva (Deterrent approach), estrategia que tiene como principal proposición que el castigo es lo más efectivo para lograr un cambio de conducta del infractor. En este contexto es que nos preguntamos si cabe la posibilidad de optar por estrategias conjuntas (sin dejar de lado el ejercicio de la potestad sancionadora del regulador cuando corresponda) que permita la apertura del Regulador a solucionar los incumplimientos desde un esquema gradual, partiendo desde una posición persuasiva para que cuando sea necesario ejercer el poder punitivo, se ejerza fuertemente, aunque sólo en los casos en que se hayan sido vencido otros mecanismos de entendimiento. Consideramos en esa línea que lo importante no es tener una cantidad elevada de supervisiones que deriven en expedientes de sanción, sino que los expedientes que existan sean de gran impacto para la sociedad y el mercado de las telecomunicaciones. La causa es que no debe perderse de vista la relevancia de resolver oportunamente un caso en materia de servicios públicos. Entiéndase resolver no como sinónimo de sancionar, sino como sinónimo de reparar, corregir o regenerar. Si el único camino que se tiene es el de sancionar, entonces es mejor, a nuestro entender, fijarse en aquellos procesos en los cuales se cuente con la mayor cantidad de pruebas (certeza indubitable, si se quiere), generada principalmente a partir de investigaciones minuciosas y sistemáticas, y aquellas nacidas del estilo de los juegos repetidos; y que generen un gran impacto en la industria. Desde nuestro punto de vista, a través de la aplicación de una Regulación Responsiva (Responsive Regulation), el Regulador puede alcanzar eficiencia en términos económicos (ahorro en el inicio de procedimientos administrativos sancionadores), eficacia en cuanto al cumplimiento de las obligaciones a las que se sujetan las empresas operadoras (en lo sucesivo, Agentes Regulados) dentro de un contexto oportuno (los problemas que afectan el servicio público se solucionan en el menor tiempo posible); de este modo el Regulador se enfoca en que el Agente Regulado asegure la provisión de los servicios brindados dentro de los términos en que se encuentra obligado, en un tiempo esperado, otorgando un conjunto de oportunidades graduales al agente presuntamente infractor de modo que corrija, resarza o remedie su incumplimiento, ello, aplicando las vigentes reglas del Texto Único Ordenado de la Ley del Procedimiento Administrativo General y las normas vigentes del sector. Para ello se propone una pirámide que inicia con la implementación de mecanismos persuasivos, como mesas de diálogo y transacciones, y culmina, en el vértice, con el retiro de la concesión o la disminución de años en su renovación, según sea el caso. Asimismo, se propone una pirámide inversa, en donde cada conducta positiva de la empresa, le otorga ventajas regulatorias en el mercado de las telecomunicaciones. / This research identifies that the dominant Enforcement strategy applied by the Peruvian Telecommunications Regulatory Agency (OSIPTEL) is deterrent (Deterrent approach), a strategy that has as its main characteristic that punishment is the most effective way to achieve a change of the offender’s behavior. In this context, the stitches fit into the possibility of opting for strategies (without neglecting the exercise of the regulator's sanitary energy when appropriate) that allow the opening of the regulator that solves noncompliance from a gradual scheme, starting from A persuasive position so that when it is necessary to exercise punitive power, it is strongly exercised, but only in cases where other mechanisms of understanding have been overcome. We consider in this line that the important thing is not to have a high amount of supervisions that result in sanction records, but that the existing files are of great impact for the society and the market of the telecommunications. The reason is that the importance of timely resolving a case regarding public services should not be lost sight of. Understand resolving not as a synonym for sanction, but as synonymous to repair, correct or regenerate. If the only way we have is to sanction, and it is better, in our opinion, focus on the processes in which we have the most evidence (undoubted certainty, if you will), generated mainly from research minutiae and systematic, and those born in the style of repeated games; And that will have a big impact on the industry. From our point of view, through the application of a Responsive Regulation, the Regulator can achieve efficiency in economic terms, the efficiency in the fulfillment of the obligations to which the operating companies are subjected in a timely context (the problem which affect the public service are solved in the shortest possible time); Thus, the Regulator focuses on ensuring that the Regulated Agent ensures the provision of the services provided within the terms in which it is obliged, in an expected time, to grant a set of gradual opportunities to the alleged offending agent in order to correct, compensate Or remedy its noncompliance, applying the current rules of the Single Ordered Text of the General Administrative Procedure Law and the current rules of the sector. To this end, a pyramid is proposed that begins with the implementation of persuasive mechanisms, such as tables of dialogues and transactions, and culminates, at the apex, with the withdrawal of the concession or the reduction of the years in its renewal, according to the case of the sea. Also, it is an investment company, where every positive conduct of the company, granting regulatory advantages in the telecommunications market. / Tesis

Submitted by Filipe dos Santos (fsantos@pucsp.br) on 2017-04-10T13:57:45Z No. of bitstreams: 1 Adriana Barros Santos.pdf: 690494 bytes, checksum: 50be3c7fbc9175d8aef66a6d870e937b (MD5) / Made available in DSpace on 2017-04-10T13:57:45Z (GMT). No. of bitstreams: 1 Adriana Barros Santos.pdf: 690494 bytes, checksum: 50be3c7fbc9175d8aef66a6d870e937b (MD5) Previous issue date: 2017-03-30 / This work aimed to investigate the senses and meanings attributed by the pedagogical coordinator/educational supervisor to his role in the initial professional training of teachers who work in technical secondary education. The data collection was done through two instruments: (a) questionnaires sent to all supervisors working in the institution, with a return of 16 of them; (b) an in-depth interview conducted with one of the participants, selected by experience and time conditions. The method used stems from socio-historical psychology and is based on historical and dialectical materialism. The data were analyzed by the construction of "meaning nuclei", a procedure proposed by Aguiar and Ozella (2006). The study points out that, despite recognizing their role as an in-service trainer, supervisors face difficulties in performing this task, mainly by other administrative and bureaucratic assignments. In relation to this, it is possible to say that this is a work in which two contradictory feelings coexist: pleasure and frustration / Este trabalho teve como objetivo investigar os sentidos e significados atribuídos pelo coordenador pedagógico/supervisor educacional ao seu papel na formação profissional inicial do docente que atua na educação profissional técnica de nível médio. A coleta foi realizada por meio de questionários enviados a todos os supervisores que atuam na instituição, alcançando o retorno de 16 deles, além de uma entrevista em profundidade, feita junto a um dos participantes, mediante critérios de tempo e experiência. O método utilizado decorre da psicologia sócio-histórica e tem como base o materialismo histórico e dialético. O procedimento de análise foi o chamado “núcleos de significação”, conforme Aguiar e Ozella (2006). O estudo aponta que, apesar de reconhecerem seu papel como formadores em serviço, os supervisores têm dificuldades para realizar sua tarefa devido a outras atribuições de caráter administrativo e burocrático. Nesse sentido, pode-se aventar a hipótese de que convivem, em seu dia a dia, com sentimentos contraditórios: o gosto e a frustração no trabalho que realizam

O presente trabalho pretende demonstrar as transformações nas qualificações dos operadores de máquina com a introdução de novos equipamentos no processo produtivo em três empresas do setor metal-mecânico do estado do Rio Grande do Sul. Com o auxílio de uma metodologia de natureza qualitativa buscou-se, através de entrevistas semi-estruturadas, captar a percepção dos operadores de máquinas, supervisores e gerentes sobre as modificações ocorridas na qualificação dos operadores de máquina automatizada na produção. A partir da revisão da literatura buscou-se construir o roteiro das entrevistas, diferenciadas para cada cargo, buscando captar as percepções dos diferentes atores sobre tecnologia, trabalho e qualificação. Como resultado estabeleceu-se a qualificação necessária e desejada de um trabalhador que opera uma máquina automatizada.

Employee satisfaction and empowerment are vital elements to businesses in most industries. The construction industry has various types of employees, ranging from managers and executives to on-site supervisors and laborers. This study was conducted to obtain a greater understanding about the elements and levels of satisfaction and empowerment of on-site supervisors in the residential construction industry. An on-site supervisor in the residential construction industry is responsible for coordinating and managing employees, materials, equipment, budgets, schedules, contracts, and the safety of employees and the general public. They are also the employees most frequently perceived as accountable for the success or failure of any project. Following a thorough review of the related literature, a questionnaire was developed to determine the levels of satisfaction and empowerment of on-site supervisors. This questionnaire was distributed by e-mail to on-site supervisors of companies on Professional Builders top 400 list for 2005. A total of 122 on-site supervisors completed the survey. Statistical tools, including Pearson's product-moment correlation and coefficient of determination, were utilized to analyze the gathered data that identified the satisfaction and empowerment levels of on-site supervisors. It was discovered that a statistically significant correlation existed between satisfaction and empowerment. In addition, descriptive statistics were used to create lists of major elements leading to employee satisfaction and empowerment.

There is a shortage of Licensed Independent Social Workers with the Training Supervision Designation (LISW-S) in a county in rural Ohio. If there are not enough LISW-Ss, social workers may not have the ability or opportunity to work independently or gain the supervision needed to become more competent in specific areas of practice. The purpose of this project was to gain a better understanding of why some social workers in rural Ohio decide not to pursue an LISW-S credential, as well as whether there are resources or incentives that might prompt individuals to pursue this credential. This action research project was grounded in systems theory, which helped in identifying interactions among systems that may influence an individual's decision to become an LISW-S. Purposive sampling was used to recruit participants (N = 5) from the Ohio Counselor, Social Worker, and Marriage and Family Therapist Board. A focus group was conducted to gather data from Licensed Social Workers. Participants mentioned they did not pursue the credential due to age, their employers not requiring it, being unaware of the added value, and because acquiring the credential was not a personal or a familial priority. The findings from this study may support positive social change at practice and policy levels by helping social workers overcome barriers to achieving the LISW-S credential, which could result in more competent, well-trained social workers who can provide valuable services to consumers. Further research on this topic is suggested to test the possible solutions provided by the participants and the findings of the study.

Interactions such as task assignments and communications between supervisors and subordinates have unintended negative consequences on subordinates such as alienation of subordinates that are not members of the 'in' group. These relations are determined by the quality of the leader-member exchange (LMX) between supervisor and subordinate. The purpose of this study was to examine the impact of supervisor-subordinate exchange on state government employees by understanding the essence of these exchanges in state government agencies. The theoretical foundation of this phenomenological study was Graen and Uhl-Bien's conceptualization of LMX. Data were collected through 12 semi structured interviews with subordinates from the North Carolina Motor Vehicle Driver's License Section. This group of employees from the NC DMV were selected because of the geographical convenience to conduct interviews with participants. Supervisors were not interviewed for this study because the focus was the perceived effect on the employees' performance, motivation, and attitudes. The data were coded and analyzed using a modified Stevick-Colaizzi-Keen method. The results of this study supported that supervisor-subordinate exchanges can influence subsequent behaviors in government employees. This study may have future policy implications in that the results can be used to influence new policy or revise current policies concerning supervisor training within local, state, and federal government agencies. Organizations that comprehend how and why supervisor-subordinate exchanges impact them can revise training for both management and employees, improve communication and relationship skills, and reduce negative effects from these exchanges to promote positive social change.

This study explored certain leadership methods that eSupervisors were utilizing with eInterns through the theoretical lenses of House’s (1971) path-goal theory of leadership and the effectiveness of these methods on learning outcomes. The overarching research question that guided this study was: How do eSupervisors contribute to the learning growth of eInterns? A qualitative multi-case study was conducted on a population of eSupervisors, current eInterns (students), and past eInterns (graduates) that were associated with the Virtual Student Foreign Service (VSFS) program. VSFS is a program aimed at exposing students to working opportunities in the government. The findings from this study imply that there are a number of ways in which eSupervisors can contribute to the learning growth of eInterns. These contributions will vary depending on the eInterns, the environmental characteristics, the leadership approach taken, and the motivational factors involved. The significance in applying this research today falls in line with the booming growth of distance education programs the trend of incorporating technology in the classrooms.