Compliance e código de conduta no Movimento Pró-Criança: um estudo institucional positivo

Abstract

This dissertation aims to analyze how positive institutional work can lead to the core of the institutional pillars that support the joint elaboration of a code of conduct to be adopted in the Movimento Pró-Criança (MPC), in the context of a compliance program. To substantiate the research theme, elements that characterize compliance, the code of conduct, institutional theory were used, with a particular focus on the field of study of Positive Institutional Work in connection with Appreciative Inquiry (AI). As for the typology of this research, it is considered descriptive-exploratory, explanatory and interpretive, with a qualitative approach. We sought to highlight the basic elements of designing a methodology that includes institutional work and the understanding of positive forces, shared values and propositional strategies supported by the 5-D model. The scope of the research was applied to the case study of MPC, a non-profit institution created by the Archdiocese of Olinda and Recife. The research reached the 3-D within the scope of the 5-D AI model, namely: affirmative topic definition (1-D), positive discoveries (2-D) and dreams (3-D). The triangulation in data collection, obtained from various sources to ensure consistency, resorted to the simultaneity present in the logical design of the appreciation combined with the actors' interpretations of their institutional work practices, especially in the observed dynamics of working together, which allowed the emergence of patterns of shared meaning and tacit knowledge produced together with the researcher. The findings showed an interaction of the regulatory, normative and cultural-cognitive pillars in the process of institutionalization of compliance and the code of conduct, showing the occurrence of an interdependent dynamic based on the reflexivity of testimonies and comments, confronted with the materials presented. Based on the elements found in the ambience of the collaborative group constituted in the execution of the research, with whom numerous appreciative dialogues were built, an analytical scheme was reached regarding the incorporation of a code of conduct formulated by the actors of the MPC. The precepts of positive institutional work were adopted, aiming at the strategic achievement of socio-political legitimacy in the context of a compliance program, focusing on the elaboration of a Code of Ethics and Compliance, in the expression adopted by the research participants. The values and desires with which it operated throughout the appreciative cycle conveyed to the collaborative group the idea and benchmark of positive institutional work. Therefore, the content of the positive institutional work proposal was obtained, characterized by the intentional and propositional form assumed by the actors who played different roles in the institutional change processes linked to the co-creation of a code of conduct in the MPC. Likewise, this result was associated with the necessary care for the continuity of what was carried out, so that rules and recommendations are adopted aiming not only the construction, but also the institutional maintenance of the code of conduct within an MPC's compliance program. Finally, as a suggestion to be promoted at the MPC, surveys aimed at creating service channels that allow capturing statements from stakeholders, so that the configuration of the internal control ecosystem is strengthened, including the creation of an ombudsman, among others contributions brought by the dissertation.