OLIVEIRA, E.F. S.; http://lattes.cnpq.br/7861154280261537; OLIVEIRA, Elisabete de Farias Sousa.
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.
