Compliance como instrumento de governança, gestão de risco e sustentabilidade: um estudo na Universidade Federal de Campina Grande.

Abstract

The main objective of this dissertation is to analyze the application of compliance as an instrument of governance, risk management, and sustainability in the academic and administrative practices of the Federal University of Campina Grande – UFCG. In view of this, an exploratory, descriptive, and mixed-method research was adopted as a methodology; with a predominantly qualitative approach, which used documentary analysis, but with the use of a quantitative collection technique (questionnaire using the Likert scale) obtained from managers to collect primary data. The chosen method was the case study. For data processing and analysis, the techniques of content analysis, descriptive statistics and the Exploratory Data Analysis (EDA) method were adopted. The results identified that, although there are fragmented internal measures and regulations with the potential to strengthen compliance at UFCG, integration and alignment are still lacking for the creation of a continuous system. The documentary analysis highlights advances and challenges in the implementation of ethical governance practices. The Integrity Plan represents an important step in this process, but its effectiveness depends on overcoming difficulties in implementation, monitoring and promoting an institutional ethical culture. In the area of governance, the results show that, despite formal advances, these practices have not yet been implemented in the day-to-day activities of the institution. Negative or ambiguous perceptions predominate, marked by lack of knowledge and low engagement, especially in areas such as training, goal setting and communication. However, aspects such as transparency and distribution of responsibilities stand out positively. Regarding risk management, most respondents expressed dissatisfaction with the frequency and consistency of the practices adopted, showing that the current policy is not yet fully integrated into strategic planning. Risk management is not yet part of the university's organizational culture, and greater commitment from senior management is needed to ensure its effective implementation. Regarding sustainability, it is not yet effectively consolidated. Although there are actions and regulations aimed at environmental management, they are not widely recognized by the academic community as being effective. The contributions of this study include: proposing compliance as a strategic tool for governance, risk management, and sustainability in public universities, identifying existing practices and suggesting their integration. It presents a three-dimensional approach — normative, ethical, and sustainable — aligned with the SDGs, especially SDGs 6 and 12. The results indicated that UFCG faces difficulties in satisfactorily meeting the criteria of SDG 12, especially in the management of natural resources and waste. Regarding SDG 6, there is an ambiguous perception: although part of the community recognizes actions aimed at water and sanitation management, uncertainty prevails, indicating the need for greater visibility, dissemination, and engagement in these initiatives. Therefore, it is possible to conclude that although there is no institutionalization of a compliance policy at UFCG, there is evidence of work carried out in the areas of governance, risk management, and sustainability that include the axes of compliance. Ultimately, these findings also demonstrate that compliance practices are fundamental not only to ensure legal compliance, but also to promote more efficient, responsible, and sustainable management at UFCG. The effective implementation of these mechanisms can strengthen organizational integrity and drive continuous improvement in university management.