Submitted by JOSIANE SANTOS DE OLIVEIRA (josianeso) on 2018-02-14T16:37:39Z No. of bitstreams: 1 Vinícius Gustavo Sarturi_.pdf: 2041740 bytes, checksum: 21ee672dfb06c0f1a1a5aa2948cfae61 (MD5) / Made available in DSpace on 2018-02-14T16:37:39Z (GMT). No. of bitstreams: 1 Vinícius Gustavo Sarturi_.pdf: 2041740 bytes, checksum: 21ee672dfb06c0f1a1a5aa2948cfae61 (MD5) Previous issue date: 2017-10-24 / Nenhuma / A presente dissertação compreende a análise das características da sociedade pós industrial, marcada pela globalização e pelo visível distanciamento das regras jurídicas aplicáveis às efetivas necessidades do período contemporâneo, pautado pela industrialização massificada, pelo desenvolvimento tecnológico e pela proliferação do risco em larga e complexa escala. Analisa também a crise econômica, política e institucional que assola o poder público e impede, em âmbito nacional, a adoção de medidas capazes de implementar uma adequada gestão do risco ambiental, vislumbrando, na formação teórica do pool of risks, a partir da teoria criada por Gunther Teubner, abordada na presente dissertação de modo eminentemente descritivo, a possibilidade de ser implementado um eficaz modelo preventivo de gestão. Nesse contexto, são expostos os fundamentos que embasam essa formação teórica, que se pauta na criação de conglomerados de empreendedores cujas atividades se mostrem capazes de gerar danos ao meio ambiente, em bases territoriais previamente delimitadas, com especial enfoque à individualização das áreas ecológicas de risco e à possibilidade de responsabilização solidária desse conglomerado, na hipótese de um dano vir a ser concretizado nos territórios previamente individualizados. Ganha destaque o fato de que, no pool of risks, a responsabilização solidária ocorre mesmo quando ausente o liame de causalidade entre o dano e o efetivo responsável pela sua concretização, sendo possível, em tais circunstâncias, a penalização de qualquer dos integrantes do pool, concluindo-se pela viabilidade dessa nova sistematização ser recepcionada pelas estruturas jurídicas vigentes, com potencial inovador que ostenta condições de impulsionar relevantes medidas de controle pelo direito pátrio, podendo reduzir a incidência de desastres ambientais em território nacional. / This dissertation comprises the analysis of the characteristics of the postindustrial society, marked by globalization and a visible distance from the legal rules applicable to the actual needs of the contemporary period, based on mass industrialization, technological development and proliferation of risk on a large and complex scale. It also analyzes the economic, political and institutional crisis that destroys public authorities and prevents, at a national level, the adoption of measures capable of implementing an adequate management of the environmental risk, envisaging in the theoretical formation of the pool of risks, from the theory created by Gunther Teubner, addressed in this dissertation in eminently descriptive, the possibility of implementing an effective preventive management model. In this context, the fundamentals underlying this theoretical formation are presented, which are based on the creation of conglomerates of entrepreneurs whose activities are capable of generating environmental damages, in previously delimited territorial bases, with special focus on the individualization of ecological risk areas and on the possibility of joint liability of this conglomerate, in the event of any damage being brought about in previously individualized territories. The fact that in the pool of risks joint liability occurs even when there is no causal relationship between the damage and the actual responsible for its consummation gains prominence, being possible in such circumstances to penalize any of the members of the pool, concluding on the feasibility of this new systematization be received by the legal structures in force, with innovative potential that has the conditions to promote relevant measures of control by the country's law, which may reduce the incidence of disasters in national territory.

The South African wine industry is a significant contributor to the South African economy. However the wine producers are facing financial and operational challenges as they operate and compete in a highly traded local and international wine market. These financial and operational challenges manifest as risks in their supply chain and could affect the future sustainability of their business. It against this backdrop that this study aimed to identify the supply chain risks experienced by the Stellenbosch wine producers, and how they manage and overcome these risks. The research was conducted at five wine producers located in each of five Stellenbosch wine producing areas. The producers were selected through a non-probability purposive sample with the assistance of a gatekeeper. The study is descriptive and exploratory with qualitative data collected through semi-structured interviews with ten participants from the five wine producers. The data was analysed using thematic analysis. The study found that the main risk factors centered around: the planning activities concerning the risks involved in matching demand and supply; agricultural activities including the drought and other external hazard risks; the wine making activities including in-process controls; financial risks including margin erosion due to inflationary costs not being matched by selling price increases; and human resource risks. This study recommends that wine producers use a formal risk appraisal process, implement a supplier development process, could make use of precision viticulture methods and improved pest control measures. / Business Management / M. Com. (Business Management)

This thesis addresses the complex issue of risk classification in the field of insurance. Prior to accepting risks, insurance companies must first be able to evaluate those risks. Accordingly, they seek to collect the most information possible from, amongst other sources, the insured, so as to gage relative risk and evaluate whether to insure or not, to what degree and at what rate. In due course, the insurer will use this information on conjunction with statistical and actuarial calculations to draw hypotheses on the degree, probability and cost of risk. In selecting relevant risks for analysis, insurers will utilise set variables based on the area of insurance in which they operate. However, said variables are highly susceptible to being discriminatory. Notably, one thinks of sex and age which are contentiously considered by practitioners and scholars whether or not they operate in the field of insurance. This dissertation will examine exhaustively the normative framework in place in order to determine to what degree, if indeed at all, insurers can legitimately and legally utilize certain classifications such as age and sex in order to select, categorise and fix the price for the various risks offered to them. / The question shall arise, to what degree less or all-together non-discriminatory criteria should be favoured over criteria, sometimes considered, prohibited. In order to answer all these questions to better address the issue, we must first examine certain essential notions of insurance. Thus, in the first section, we will describe the relevant logistic practices in insurance industries. We shall focus on the decision process at various levels where potential discriminatory practices may arise. We will see that certain schools of thought on insurance classification are at odds, some times diametrically. We will, incidentally, favour the 'fair discrimination' doctrine over its traditional theoretical rival: 'anti-discrimination'. Our research shows that potentially discriminatory classification occurs at several stages of the ex ante and ex post contractual relationship, stages we will examine one at a time. In the second portion we will cover the general juridical regime of the right to non-discrimination in contracts at the international, national and provincial levels. Special attention will be paid to specific rules which allow some limited derogation to the constitutional rights against discrimination. We shall highlight that the legislative authority granted by the Quebec Charter does have limitations. What's more, certain guidelines recently established by the Supreme Court of Canada regarding application, must take precedence over various classification criteria pertaining to insurance which find their root in article 20.1 of the Quebec Charter. Ultimately, we will concentrate on what is just, which is to say the legitimacy of discrimination in a field that takes it for granted while seldomely questioning its foundations. We will come to apply a new measure for insurance discrimination. We will test this new measure in two specific fields: life insurance and automobile insurance. Overall, this thesis will allow us to determine how discriminatory classification can, at times, be legally employed (mostly in pre-selection and segmentation) in the above mentioned fields. We will conclude by proposing a new operating model which seeks to limit classification procedures that circumvent rights to privacy and non-discrimination.

De acordo com levantamento realizado pelo Instituto de Pesquisas Tecnológicas do Estado de São Paulo - IPT, os acidentes graves relacionados com deslizamentos atingem de forma recorrente um número relativamente pequeno dos 5.563 municípios brasileiros, girando em torno de 150 os que tiveram vítimas fatais nos últimos 17 anos. Os municípios mais vulneráveis localizam-se nos estados de São Paulo, Rio de Janeiro, Minas Gerais, Santa Catarina, Pernambuco, Alagoas, Bahia e Espírito Santo, localidades, na maioria dos casos, habitadas por pessoas de baixa renda, tornando-se, por conseguinte, expostas a catástrofes ambientais constantes (inundações devido ao assoreamento dos rios e erosão dos solos, os incêndios causados por instalações elétricas problemáticas, deslizamentos de terras, causadas por encostas irregulares e descalçamentos, entre outros). A Bacia Hidrográfica do Córrego Cabuçu de Baixo é um típico exemplo do que aconteceu em muitas cidades brasileiras. É uma bacia em acelerado processo de urbanização, mas ainda em condições para o controle, se bem administrada pelos seus gestores. Este trabalho objetiva a criação de mapeamentos que retratem avaliação positiva das condições ambientais (que pode ser chamado de \"potencial\") ou negativa (genericamente chamados de \"risco\" ambiental). Estes mapeamentos, de alto valor agregado por se originarem, via de regra, de discussões e concordâncias entre profissionais das diferentes modalidades da pesquisa ambiental - geógrafos, geólogos, biólogos, arquitetos e engenheiros, em geral - passam a constituir um valioso acervo de conhecimentos específicos da área estudada; a combinação das avaliações de riscos com o uso atual da terra, a fim de verificar possíveis áreas críticas, ou seja, assentamentos localizados em áreas mapeadas sob iminente risco de ocorrência de inundações e desmoronamentos; o levantamento das áreas indicadas para a transposição dos assentamentos localizados em áreas críticas. Todos os procedimentos computacionais realizados foram conduzidos pela metodologia de Análise Ambiental, utilizando o sistema VISTA/SAGA/UFRJ para processamento dos mapeamentos, obtenção e validação resultados. O resultado final das avaliações ambientais realizadas produz um mapa classificado com notas entre zero e dez, onde as notas mais baixas são atribuídas às localidades mapeadas com baixo risco de ocorrências de enchentes e desmoronamentos. De forma análoga, classes com maiores notas representam localidades com ocorrência de assentamentos precários sob risco iminente de inundações ou deslizamentos de terra e desmoronamentos. Estes mapas são denominados como \"Áreas Críticas\". Também são conduzidas análises para o mapeamento de áreas indicadas para transposições de localidades situadas em áreas críticas. A sobreposição destes dois últimos mapas aponta as localidades indicadas para transposições de assentamentos sob risco iminente dos eventos analisados. Finalmente, em áreas onde ocorram assentamentos precários sob alto risco de inundações e deslizamentos, sem indicações próximas para transposições (áreas favoráveis à habitação), sugere-se a realização de investimentos em infra-estrutura (ex. Programa Favela-bairro) destes locais, a fim de evitar impactos econômicos e sociais para as famílias afetadas por este processo. Assinaturas espaciais também são realizadas a fim de quantificar as áreas de riscos mapeadas. Uma vez realizados estes estudos, os conhecimentos adquiridos, pelo uso do Geoprocessamento, sobre a realidade ambiental urbana e problemática da Bacia do Córrego Cabuçu de Baixo podem ser extrapolados, com as devidas precauções, para inúmeras outras áreas urbanas que possuam características semelhantes e enfrentam os mesmos problemas. / According to studies conducted by the Institute for Technological Research of the State of Sao Paulo - IPT, major accidents related landslides hit so applicant a relatively small number of 5,563 brazilian councils, turning around of 150 who had human lives losses in the last 17 years. The most vulnerable councils are located in the states of São Paulo, Rio de Janeiro, Minas Gerais, Santa Catarina, Pernambuco, Alagoas, Bahia and Espirito Santo. These locations, most cases, inhabited by low conditions people, become, therefore, exposed to constant environmental disasters (floods due to the silting of rivers and soil erosion, fires caused by problematic electrical installations, landslides, caused by irregular slopes, among others). The drainage basin of Cabuçu de Baixo river is a typical example of what happened in many Brazilian cities. It is a basin in accelerated process of urbanization, but also in a position to control, although administered by their managers. This study aims to create mappings facing positive assessment of environmental conditions (which can be called a \"potential\") or negative (generically called environmental \"risk\"). These maps are generated from professional discussions and agreement between the many kinds of researches - geographers, geologists, biologists, architects and engineers in general - are to be a valuable collection of expertise of the studied area, the combination of risk assessments to the current land using in order to check on critical areas, ie settlements located in areas mapped with imminent risk of flooding and landslides; survey of the areas indicated for the transposition of the settlements located in critical areas. All procedures performed are conducted by the computational methodology of Environmental Analysis, using the GIS VISTA/SAGA/UFRJ, processing mappings, obtaining and validating results. The final result of environmental evaluation conducted produces a \"Critical Areas\" map, presenting classified notes between zero and ten, where lower notes are assigned to locations mapped with low risk of occurrence of floods and landslides. Similarly, classes with higher notes represent locations where precarious settlements are mapped under imminent risk of flooding, landslides and landslides. Analyses pointing transposition areas, according to physical factors are also conducted, aiming to locate settlements under critic areas. The overlay of these both maps point transpositions indicated for settlements located under imminent risk areas. Finally, in areas where precarious settlements occurs under high floods and landslides risks, without near indications for transpositions (favorable areas for housing), it is suggested to make investments in infrastructure into these places, in order to maintain the \"roots\" of these affected families by this process. Spatial signatures are also conducted in order to quantify the risk areas mapped. Once these studies conducted, knowledge gain by the use of Geoprocessing, applied to the reality of urban environmental problems in the Drainage Basin Cabuçu, these can be extrapolated, with the necessary precautions, to other urban areas that presents similar characteristics and faces the same problems.

Os riscos fazem parte do cotidiano das empresas. Eles variam conforme sua natureza, a chance de ocorrer e o impacto que pode ocasionar às organizações. Por diversas razões, as empresas de pequeno e médio portes estão mais suscetíveis à imprevisibilidade e aos efeitos negativos dos riscos. Desse modo, é essencial que criem processos capazes de gerenciar os riscos de modo contínuo e sistêmico. Entretanto, o que se pode constatar é que ainda são raros os casos de empresas desses portes que possuam esses mecanismos de gestão. Essas empresas são fundamentais para o sistema econômico nacional, tanto pela geração de empregos quanto pelo crescimento do PIB e desenvolvimento do país. Na revisão bibliográfica desta pesquisa, o autor busca expor os principais conceitos existentes para o termo \"risco\" que, apesar de ser objeto de estudo há muito tempo, ainda possui definições bastante distintas; busca também apresentar aspectos importantes sobre o Gerenciamento de Riscos Corporativos e detalhar os dois principais modelos usados no mundo: COSO e ISO 31000, além de apresentar um modelo de identificação de riscos que abrange toda cadeia de valor das empresas. Como objetivos, identificar e avaliar quais são os principais riscos envolvidos na gestão de uma pequena empresa nacional do setor de TI, além de propor uma estratégia de tratamento para eles. A metodologia escolhida foi a pesquisa ação, na qual o pesquisador possui uma postura direta e ativa sobre a pesquisa e sobre a problemática. A pesquisa foi realizada sob uma abordagem qualitativa de caráter exploratório. Após identificação, avaliação e proposição de uma estratégia para tratamento dos riscos, conclui-se que é possível a implementação de um processo de Gerenciamento de Riscos Corporativos em uma empresa de pequeno porte e esse processo pode criar condições favoráveis para sobrevivência e crescimento das organizações. Muitos riscos descritos na literatura, que afetam negativamente as pequenas e médias empresas em vários países do globo, foram identificados na empresa analisada, enfatizando a necessidade de gestão dos riscos de um modo sistêmico, abrangente e contínuo. São poucas as pesquisas sobre este tema, na literatura nacional e, portanto, são fundamentais os estudos que possam contribuir para melhor entendimento deste universo. / Risks are part of everyday business. They vary according to their nature, the chance to occur and the impact they can have on organizations. For various reasons, small and medium-sized enterprises are more susceptible to unpredictability and the negative effects of risks. In this way, it is essential that they create processes capable of managing risks in a continuous and systemic way. However, what can be seen is that there are still rare cases of companies of these sizes that have these management mechanisms. These companies are fundamental to the national economic system, both for the generation of jobs and for the GDP growth and development of the country. In the bibliographic review of this research, the author seeks to expose the main concepts existing for the term \"risk\" that, despite being object of study for a long time, still has quite different definitions; he also seeks to present important aspects of Enterprise Risk Management and to detail the two main models used in the world: COSO and ISO 31000, in addition to presenting a model of risk identification that covers the entire value chain of companies. The objectives are to identify and evaluate the main risks involved in the management of a small national IT company, and propose a treatment strategy for them. The methodology chosen was action research, in which the researcher has a direct and active attitude about the research and the problem. The research was carried out under a qualitative approach from an exploratory perspective. After identifying, evaluating and proposing a risk management strategy, it was possible to conclude that it is possible to implement an Enterprise Risk Management process in a small company, and this process can create favorable conditions for the survival and growth of the organization. Many risks described in the literature, which negatively affect small and medium enterprises in several countries of the globe, were identified in the analyzed company, emphasizing the need for risk management in a systemic, comprehensive and continuous way. There are few researches on this topic, in the national literature and, therefore, are fundamental studies that can contribute to a better understanding of this universe.

[pt] O Project Finance é uma modalidade específica de financiamento de projetos, na qual o fluxo de caixa do projeto constitui a proncipal fonte de pagamento do serviço da dívida aos credores e de retorno aos investidores de capital.Adicionalmente, os ativos do projeto -bens e direitos- podem ser dados em garantia aos provedores de recurso.A utilização do Project Finance proporciona, dentre outros benefícios, o acesso a uma eficiente alocação de riscos entre as partes envolvidas. Por outro lado, exige uma cuidadosa engenharia financeira, para adequar a disponibilidade, utilização e exigibilidade dos recursos ao cronograma físico do projeto;e um complexo arranjo de garantias para assegurar a alocação dos riscos.Este trabalho visa mostrar porquê e como o Project Finance tem sido usado para viabiblizar projetos em dois setores da economia no Brasil:infra-estrutura de transporte rodoviário e geração de energia elétrica.Servindo-se da metodologia de estudo de caso múltiplo, são apresentados e comparados:as fontes de recurso disponíveis, os riscos existentes, os mecanismos de mitigação e de alocação dos riscos, eos instrumentos de garantia utilizados na estruturação do Project Finance nos setores supracitados.Também são analisadas as dificuldades de implementação do Project Finance no contexto brasileiro e a adequação desses setores ao uso desta modalidade de financiamento. / [en] The Project Finance is a specific modality of financing of projects, in which the flow of box of the project constitutes the main source of payment of the service of the debt to the creators and of return to the capital investors. Additionally, the assets of the project -good and rights- can be given in guarantee to the resource suppliers. The use of the Project Finance provides, amongst other benefits, the access to a bigger variety of sources of resources, a bigger financial leverage of the project, and an efficient allocation of risks between the involved parts.On the other hand, it demands a careful financial engineering, to assure the allocation of the risks. This objective work to show reason and as the Project Finance has been used to make possible projects in two sectors of the economy in Brazil: infrastructure of road transport and generation of electric energy. Serving itself of the methodology of case studies they are presented and compared the available sources of resource,the existing risks, the mechanisms of mitigação and allocation of the risks, and the used instruments of guarantee in the estruturação of the Project Finance in the above-mentioned sectors. Also the difficulties of implementation of the Project Finance in the Brazilian context and the adequateness of these sectors to the use of this modality of financing are analyzed.

The gap between demand and supply for antibiotics in the healthcare sector has seen a steady growth over the past decades, further increasing the risk of antibiotic resistance and unavailability in the Swedish healthcare sector and market. The thesis is part of the work of the multisectoral platform, PLATINEA, which is working towards better availability of antibiotics. This study focuses on analysing the supply structure of antibiotics and pharmaceutical supply chains using a risk assessment model. A literature review of previous research has been done to identify risk factors, understand their importance and develop the risk assessment model. The risk assessment model uses these risk factors to assess the supply risk of an antibiotic. The study is designed in a quantitative manner, where the antibiotics are classified as very high, high, medium, and low risk of shortage using risk scores. Expert opinions were collected using a self-completion questionnaire, in which experts allocate weights that measure the importance of said risk factors. Weights were used to measure value of risk for antibiotics using MCDA process. The outcomes of the study are (1). the weights of risk factors given by industry experts, (2). the developed multi-criteria risk assessment model, (3). ranking of selected 39 antibiotics from high to low supply risk, based on re-assessed risk scores.

The management of clinical waste is of great importance due to its infectious and hazardous nature that can cause risks on environment and public health. The study was conducted to evaluate clinical waste management practices and to determine the amount of waste generated in five purposively selected healthcare facilities in Gaborone City Council. The surveyed healthcare facilities were of different size, specialization and category and included a referral hospital, two clinics and two health posts. To examine clinical waste management practices the study employed a range of methods including questionnaire survey which targeted 105 stratified randomly selected healthcare workers and ancillary staff, formal interviews with facility managers, field observations and literature reviews. Compliance with the Botswana Clinical Waste Management Code of Practice, 1996 and Waste Management Act, 1998 and other related documents were used as standards to assess clinical waste management practices. The waste management practices were analysed for a week in each healthcare facility to capture the daily management practices. The generated clinical waste was weighed to compute the generation rates and was followed through the various management practices to the final disposal. Findings of the study revealed that clinical waste generation rates were: 0.75kg/patient/day for Princess Marina Hospital and 0.1 - 0.3kg/patient/day for clinics and health posts. Numerous aspects of clinical waste management were found to comply with the expected rules and standards at Princess Marina Hospital, but the clinics and health posts had less appropriate practices. Clinical waste generated at Princess Marina Hospital is quantified in reliable records and dedicated Infectious Control Officers are responsible for monitoring the management of clinical waste. The study revealed that clinics and health posts do not quantify clinical waste and there are no officers responsible for monitoring clinical waste and there are no documents for monitoring the management of clinical waste. The main treatment method of clinical waste for the surveyed healthcare facilities is incineration and it is being done properly. The study established that at least 80% of healthcare workers and ancillary staff have been vaccinated against hepatitis B and have received training in clinical waste management. Recommendations are given with the aim of improving clinical waste management practices in Gaborone City Council healthcare facilities. / Environmental Management / M. Sc. (Environmental Management)

Esta investigación tiene como objetivo determinar el impacto de la auditoría forense en la reputación en las empresas constructoras. Se han planteado hipótesis para conocer si la auditoría forense puede ser un instrumento de prevención de riesgos reputacionales en la medida de que principales empresas constructoras de Miraflores y San Isidro realicen la implementación de forma proactiva como parte del plan de auditoría anual. En el capítulo I, se enfoca en el marco teórico. Se presenta un estudio del sector construcción. Se define la auditoría forense, origen, metodologías, técnicas y/o procedimientos; y sobre el fraude y la corrupción. De igual manera, se presenta un estudio de los riesgos reputacionales. En el capítulo II, es el plan de investigación en el cual se plantea el problema general, los problemas específicos, el objetivo general, los objetivos específicos, además de las hipótesis generales y específicos. En el capítulo III, se presenta la metodología de la investigación, tipo de investigación, recolección de datos, determinación de la población y muestra. Asimismo, los objetivos, diseño de la investigación y los tipos de investigación cualitativa y cuantitativa. En el capítulo IV, se presenta el desarrollo de la investigación en el cual se realiza la aplicación de los instrumentos de investigación. Se han desarrollado entrevistas a profundidad a especialistas y encuestas a representantes de las empresas constructoras. En el capítulo V, se presentan los resultados y el análisis de estos que se han obtenido a través de las entrevistas a profundidad y encuestas. Finalmente, se presentan las conclusiones y recomendaciones de la investigación. / This research is to determine the impact of forensic auditing on the reputation of construction companies. Hypothesis have been put forward to find out whether forensic auditing can be a tool for preventing reputational risks to the extent that the main construction companies of Miraflores and San Isidro implement it proactively as part of the annual audit plan. Chapter I focuses on the theoretical framework. A study of the construction sector is presented. It defines forensic auditing, its origin, methodologies, techniques and/or procedures, and fraud and corruption. Likewise, a study of reputational risks is presented. Chapter II is the research plan in which the general problem, the specific problems, the general objective, the specific objectives, and the general and specific hypotheses are presented. Chapter III presents the research methodology, type of research, data collection, determination of the population and sample. Likewise, the objectives, research design and the types of qualitative and quantitative research are presented. Chapter IV presents the development of the research in which the application of the research instruments is carried out. In-depth interviews to specialists and surveys to representatives of construction companies have been carried out. Chapter V presents the results and their analysis obtained through the in-depth interviews and surveys. Finally, the conclusions and recommendations of the research are presented. / Tesis

No description available.