Programas de Compliance Público: Avaliação da Maturidade em uma Universidade Estadual

Abstract

Compliance plays an essential role in the governance of public and private organizations, ensuring compliance with standards, regulations, and ethical principles. In the public sector, the implementation of Compliance Programs strengthens corporate governance by mitigating risks and ensuring institutional transparency. However, the absence of recommended monitoring and evaluation can compromise the effectiveness of these initiatives, impacting the organization's review and compliance with its stakeholders. Given this scenario, this study aims to assess the level of maturity of the Compliance Program of a public state university, verifying its alignment with the principles of Corporate Governance and identifying challenges and opportunities for improvement. To this end, we adopted a qualitative and quantitative approach, using document analysis, interviews, and the application of a structured questionnaire. Ten pillars of compliance were assessed, as well as an additional pillar focused on policies to combat moral and sexual harassment and discrimination. The results indicate that the university has an intermediate level of maturity, with emphasis on the engagement of senior management and the effectiveness of the reporting channel. However, weaknesses were identified in areas such as training and communication, auditing and monitoring, and due diligence, highlighting the need for improvement so that the program can achieve greater robustness. The research contributes to the academic literature by providing an assessment model applicable to other public institutions and presents recommendations for strengthening governance and a culture of compliance. In addition, the findings can support managers in implementing more effective practices, promoting greater transparency, risk mitigation, and compliance statements in the public sector