A risk management maturity model proposal for Brazilian public organisations
Autor(a) principal: | |
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Data de Publicação: | 2023 |
Tipo de documento: | Tese |
Idioma: | eng |
Título da fonte: | Repositório Institucional da UFPE |
Texto Completo: | https://repositorio.ufpe.br/handle/123456789/53135 |
Resumo: | Drawing on the literature concerning the contingency theory, maturity models, enterprise risk management and the fuzzy set theory, this thesis proposes a new maturity model to assess risk management (RM) implementation in Brazilian public organisations. In this sense, three main studies are presented. The first one explores RM implementation in Brazil through the support of government policymakers in 6 Brazilian states. Qualitative content analysis provides evidence that the policymakers employ strategies to approach public organisations with the aim to operationalise RM as contingent variables are perceived. These strategies are expected to attenuate the difficulties in progressing RM maturity due to some generally weak support from public top managers. The second study investigates which attributes and contingent factors are crucial to develop a public sector RM maturity model. Accordingly, a path of multivariate statistical techniques (CATPCA, K-modes, and multinomial logistic regression analysis) was used to analyse the data collected from 330 survey responses. Results reveal that 12 statistically significant variables explain 5 different levels of public sector RM maturity. The third study is a complement to the second one and proposes the PRisk-MM, a public sector RM maturity model that contains 5 levels of maturity and 23 maturity attributes related to 15 dimensions. The model was elaborated following the scientific rigour found in the literature on maturity models, being divided into 2 main phases: the development of the model and its validation in 3 public organisations of one state government. The assessment procedure of the model uses triangular fuzzy numbers to better treat the subjectivity and ambiguity of human judgement when analysing maturity dimensions and their attributes. This thesis has important practical implications as it demonstrates that RM is not always easily implemented in the public context, and higher levels of RM maturity are difficult to achieve. Therefore, the PRisk-MM was developed as a government tool that policymakers can use to assess the public organisations’ maturity status and compare their performance in implementing RM. Moreover, the PRisk-MM is adaptive to governments’ contexts and, once applied, presents prescriptions on what organisations must do to develop their RM practices. |
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LORENA, Ana Luiza Freire dehttp://lattes.cnpq.br/2413399565494800http://lattes.cnpq.br/9665695510823023COSTA, Ana Paula Cabral Seixas2023-10-23T12:00:36Z2023-10-23T12:00:36Z2023-09-21LORENA, Ana Luiza Freire de. A risk management maturity model proposal for Brazilian public organisations. 2023. Tese (Doutorado em Engenharia de Produção) – Universidade Federal de Pernambuco, Recife, 2023.https://repositorio.ufpe.br/handle/123456789/53135Drawing on the literature concerning the contingency theory, maturity models, enterprise risk management and the fuzzy set theory, this thesis proposes a new maturity model to assess risk management (RM) implementation in Brazilian public organisations. In this sense, three main studies are presented. The first one explores RM implementation in Brazil through the support of government policymakers in 6 Brazilian states. Qualitative content analysis provides evidence that the policymakers employ strategies to approach public organisations with the aim to operationalise RM as contingent variables are perceived. These strategies are expected to attenuate the difficulties in progressing RM maturity due to some generally weak support from public top managers. The second study investigates which attributes and contingent factors are crucial to develop a public sector RM maturity model. Accordingly, a path of multivariate statistical techniques (CATPCA, K-modes, and multinomial logistic regression analysis) was used to analyse the data collected from 330 survey responses. Results reveal that 12 statistically significant variables explain 5 different levels of public sector RM maturity. The third study is a complement to the second one and proposes the PRisk-MM, a public sector RM maturity model that contains 5 levels of maturity and 23 maturity attributes related to 15 dimensions. The model was elaborated following the scientific rigour found in the literature on maturity models, being divided into 2 main phases: the development of the model and its validation in 3 public organisations of one state government. The assessment procedure of the model uses triangular fuzzy numbers to better treat the subjectivity and ambiguity of human judgement when analysing maturity dimensions and their attributes. This thesis has important practical implications as it demonstrates that RM is not always easily implemented in the public context, and higher levels of RM maturity are difficult to achieve. Therefore, the PRisk-MM was developed as a government tool that policymakers can use to assess the public organisations’ maturity status and compare their performance in implementing RM. Moreover, the PRisk-MM is adaptive to governments’ contexts and, once applied, presents prescriptions on what organisations must do to develop their RM practices.Com base na literatura relacionada à teoria de contingência, a modelos de maturidade, a gestão de riscos corporativos, e à teoria de conjuntos fuzzy, esta tese propõe um novo modelo de maturidade para avaliar a implantação da gestão de risco (GR) de organizações públicas brasileiras. Neste sentido, são apresentados três estudos principais. O primeiro explora a implementação da GR no Brasil através do apoio de formuladores de políticas governamentais em 6 estados brasileiros. Através da análise qualitativa do conteúdo, evidências demonstram que os formuladores de políticas empregam estratégias para abordar organizações públicas com o objetivo de operacionalizar a GR a partir da percepção de variáveis de contingências. Espera- se que essas estratégias atenuem as dificuldades em progredir na maturidade da GR devido ao apoio, geralmente fraco, dos mais altos gestores públicos. O segundo estudo investiga quais atributos e fatores de contingência são cruciais para desenvolver um modelo de maturidade de GR para o setor público. Assim, técnicas estatísticas multivariadas (CATPCA, K-modes, e análise de regressão logística multinomial) foram usadas para analisar os dados coletados de 330 questionários aplicados. Os resultados revelam que 12 variáveis estatisticamente significativas explicam 5 níveis diferentes de maturidade de GR no setor público. O terceiro estudo é um complemento do segundo e propõe o PRisk-MM, um modelo de maturidade de GR para o setor público que contém 5 níveis de maturidade e 23 atributos de maturidade relacionados a 15 dimensões. O modelo foi elaborado seguindo o rigor científico encontrado na literatura sobre modelos de maturidade, sendo dividido em 2 fases principais: o desenvolvimento do modelo, e sua validação em 3 organizações públicas de um estado brasileiro. O procedimento de avaliação do modelo utiliza números triangulares fuzzy para melhor tratar a subjetividade e ambiguidade do julgamento humano ao analisar as dimensões de maturidade e seus atributos. Esta tese tem importantes implicações práticas por demonstrar que a GR nem sempre é facilmente implementada no contexto público, e que níveis mais altos de maturidade são difíceis de alcançar. Portanto, o PRisk-MM foi desenvolvido como uma ferramenta governamental que pode ser usada para avaliar o status de maturidade das organizações públicas e comparar seu desempenho na implantação da GR. Além disso, o PRisk- MM é adaptável aos contextos dos governos e, uma vez aplicado, apresenta prescrições sobre o que as organizações devem fazer para desenvolver suas práticas de GR.engUniversidade Federal de PernambucoPrograma de Pos Graduacao em Engenharia de ProducaoUFPEBrasilhttp://creativecommons.org/licenses/by-nc-nd/3.0/br/info:eu-repo/semantics/embargoedAccessEngenharia de ProduçãoGestão de riscos do setor públicoTeoria da contingênciaEstatística multivariadaModelos de maturidadeTeoria dos conjuntos fuzzyA risk management maturity model proposal for Brazilian public organisationsinfo:eu-repo/semantics/publishedVersioninfo:eu-repo/semantics/doctoralThesisdoutoradoreponame:Repositório Institucional da UFPEinstname:Universidade Federal de Pernambuco (UFPE)instacron:UFPEORIGINALTESE Ana Luiza Freire de Lorena.pdfTESE Ana Luiza Freire de Lorena.pdfapplication/pdf1609035https://repositorio.ufpe.br/bitstream/123456789/53135/1/TESE%20Ana%20Luiza%20Freire%20de%20Lorena.pdff21fba9b1c6013f8e42d8b896299af2eMD51CC-LICENSElicense_rdflicense_rdfapplication/rdf+xml; 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dc.title.pt_BR.fl_str_mv |
A risk management maturity model proposal for Brazilian public organisations |
title |
A risk management maturity model proposal for Brazilian public organisations |
spellingShingle |
A risk management maturity model proposal for Brazilian public organisations LORENA, Ana Luiza Freire de Engenharia de Produção Gestão de riscos do setor público Teoria da contingência Estatística multivariada Modelos de maturidade Teoria dos conjuntos fuzzy |
title_short |
A risk management maturity model proposal for Brazilian public organisations |
title_full |
A risk management maturity model proposal for Brazilian public organisations |
title_fullStr |
A risk management maturity model proposal for Brazilian public organisations |
title_full_unstemmed |
A risk management maturity model proposal for Brazilian public organisations |
title_sort |
A risk management maturity model proposal for Brazilian public organisations |
author |
LORENA, Ana Luiza Freire de |
author_facet |
LORENA, Ana Luiza Freire de |
author_role |
author |
dc.contributor.authorLattes.pt_BR.fl_str_mv |
http://lattes.cnpq.br/2413399565494800 |
dc.contributor.advisorLattes.pt_BR.fl_str_mv |
http://lattes.cnpq.br/9665695510823023 |
dc.contributor.author.fl_str_mv |
LORENA, Ana Luiza Freire de |
dc.contributor.advisor1.fl_str_mv |
COSTA, Ana Paula Cabral Seixas |
contributor_str_mv |
COSTA, Ana Paula Cabral Seixas |
dc.subject.por.fl_str_mv |
Engenharia de Produção Gestão de riscos do setor público Teoria da contingência Estatística multivariada Modelos de maturidade Teoria dos conjuntos fuzzy |
topic |
Engenharia de Produção Gestão de riscos do setor público Teoria da contingência Estatística multivariada Modelos de maturidade Teoria dos conjuntos fuzzy |
description |
Drawing on the literature concerning the contingency theory, maturity models, enterprise risk management and the fuzzy set theory, this thesis proposes a new maturity model to assess risk management (RM) implementation in Brazilian public organisations. In this sense, three main studies are presented. The first one explores RM implementation in Brazil through the support of government policymakers in 6 Brazilian states. Qualitative content analysis provides evidence that the policymakers employ strategies to approach public organisations with the aim to operationalise RM as contingent variables are perceived. These strategies are expected to attenuate the difficulties in progressing RM maturity due to some generally weak support from public top managers. The second study investigates which attributes and contingent factors are crucial to develop a public sector RM maturity model. Accordingly, a path of multivariate statistical techniques (CATPCA, K-modes, and multinomial logistic regression analysis) was used to analyse the data collected from 330 survey responses. Results reveal that 12 statistically significant variables explain 5 different levels of public sector RM maturity. The third study is a complement to the second one and proposes the PRisk-MM, a public sector RM maturity model that contains 5 levels of maturity and 23 maturity attributes related to 15 dimensions. The model was elaborated following the scientific rigour found in the literature on maturity models, being divided into 2 main phases: the development of the model and its validation in 3 public organisations of one state government. The assessment procedure of the model uses triangular fuzzy numbers to better treat the subjectivity and ambiguity of human judgement when analysing maturity dimensions and their attributes. This thesis has important practical implications as it demonstrates that RM is not always easily implemented in the public context, and higher levels of RM maturity are difficult to achieve. Therefore, the PRisk-MM was developed as a government tool that policymakers can use to assess the public organisations’ maturity status and compare their performance in implementing RM. Moreover, the PRisk-MM is adaptive to governments’ contexts and, once applied, presents prescriptions on what organisations must do to develop their RM practices. |
publishDate |
2023 |
dc.date.accessioned.fl_str_mv |
2023-10-23T12:00:36Z |
dc.date.available.fl_str_mv |
2023-10-23T12:00:36Z |
dc.date.issued.fl_str_mv |
2023-09-21 |
dc.type.status.fl_str_mv |
info:eu-repo/semantics/publishedVersion |
dc.type.driver.fl_str_mv |
info:eu-repo/semantics/doctoralThesis |
format |
doctoralThesis |
status_str |
publishedVersion |
dc.identifier.citation.fl_str_mv |
LORENA, Ana Luiza Freire de. A risk management maturity model proposal for Brazilian public organisations. 2023. Tese (Doutorado em Engenharia de Produção) – Universidade Federal de Pernambuco, Recife, 2023. |
dc.identifier.uri.fl_str_mv |
https://repositorio.ufpe.br/handle/123456789/53135 |
identifier_str_mv |
LORENA, Ana Luiza Freire de. A risk management maturity model proposal for Brazilian public organisations. 2023. Tese (Doutorado em Engenharia de Produção) – Universidade Federal de Pernambuco, Recife, 2023. |
url |
https://repositorio.ufpe.br/handle/123456789/53135 |
dc.language.iso.fl_str_mv |
eng |
language |
eng |
dc.rights.driver.fl_str_mv |
http://creativecommons.org/licenses/by-nc-nd/3.0/br/ info:eu-repo/semantics/embargoedAccess |
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http://creativecommons.org/licenses/by-nc-nd/3.0/br/ |
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embargoedAccess |
dc.publisher.none.fl_str_mv |
Universidade Federal de Pernambuco |
dc.publisher.program.fl_str_mv |
Programa de Pos Graduacao em Engenharia de Producao |
dc.publisher.initials.fl_str_mv |
UFPE |
dc.publisher.country.fl_str_mv |
Brasil |
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Universidade Federal de Pernambuco |
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