Banca de DEFESA: RODRIGO CESAR SILVA MOREIRA

Uma banca de DEFESA de DOUTORADO foi cadastrada pelo programa.
STUDENT : RODRIGO CESAR SILVA MOREIRA
DATE: 08/08/2025
TIME: 16:00
LOCAL: Porto Velho
TITLE:

"RISK MANAGEMENT IN THE STRATEGIC AXIS OF PUBLIC HEALTH POLICIES IN THE STATE OF RONDONIA: Assessment of Management Practice Maturity and Impact on Organizational Performance"

KEY WORDS:

Keywords: Risk management; Public health; Internal controls; COSO; Rondônia.

PAGES: 140
BIG AREA: Ciências Sociais e Aplicadas
AREA: Administração
SUBÁREA: Administração Pública
SPECIALTY: Política e Planejamento Governamentais
SUMMARY:

This doctoral thesis aimed to analyze the impacts and challenges of applying risk management
to the strategic axis of public health policies in the State of Rondonia, based on the COSO
framework. The research adopted a qualitative approach supported by quantitative data,
grounded in the pragmatic and interpretivist philosophical paradigms, and employed critical
action research as methodological strategy. This combination enabled a comprehensive
understanding of the observed organizational phenomena while allowing for practical
interventions with transformative potential within the institutional context. Three specific
objectives were established: 1) identify the foundations of risk management within the State
Health Secretariat of Rondonia (SESAU-RO), leading to the proposal of a ten-step risk
management cycle. This cycle was validated at the State Laboratory of Pathology and Clinical
Analysis (LEPAC-RO) and later adopted and adapted by the State Court of Accounts to its
organizational contexto; 2) to measure the maturity level of SESAU-RO's internal controls
based on the COSO-ICIF model, through the development of an assessment tool validated by
governmental control experts. The application of the tool revealed an overall compliance
index of 67.69%, considered moderate, with notable weaknesses in the control environment
component, especially concerning ethics, integrity culture, and personnel management; 3) to
evaluate the implications of risk management for the institutional performance of the
Secretariat, particularly regarding budget execution aimed at meeting the constitutional health
expenditure index. The results indicated significant progress during the initial years
(2020-2022), such as the reduction of expenditures without prior commitment, but also
revealed a decline in effectiveness in 2023 due to political and managerial constraints. The
interpretive analysis was guided by the multiple streams theory, which revealed that risk
management positively influenced the problem and policy streams by enabling bottleneck
mapping, proposing technical solutions, and rationalizing decision-making processes.
However, the political stream faced obstacles, including institutional instability, discontinuity
of risk management practices, and high staff turnover. The main outputs of the research - the
risk management cycle and the maturity assessment instrument -represent significant and
replicable contributions to public sector governance and internal controls. The main
limitations concern the restricted institutional scope to SESAU-RO and the short analysis
period (2020-2023), which limits the generalization of the findings. It is concluded that risk
management, when implemented in a structured manner and integrated into governance, has
the potential to enhance organizational performance. Nevertheless, according to the multiple
streams theory, its effectiveness and sustainability critically depend on the stability of the
political stream, which is conditioned by institutional, cultural, and decision-making factors
that go beyond the technical-bureaucratic dimension.

COMMITTEE MEMBERS:
Interno - 004.161.386-40 - ANDREIMAR MARTINS SOARES
Interna - 2363379 - GLEIMIRIA BATISTA DA COSTA MATOS
Interno - ***.953.802-** - RAFAEL ADEMIR OLIVEIRA DE ANDRADE - UNIR
Externo ao Programa - 2074861 - HAROLDO DE SA MEDEIROS - UNIRExterna ao Programa - 2043816 - NEIMA QUELE ALMEIDA DA SILVA - UNIRExterno ao Programa - 1546037 - CARLOS ANDRE DA SILVA MULLER - UNIRExterno à Instituição - JOÃO DIAS DE SOUZA NETO - FCR