Gestão de riscos: um estudo de multicasos do processo de contratação e execução de obras de uma instituição pública de ensino superior

Abstract

Public organizations, when performing their finalistic activities, are influenced by internal and external factors that make it uncertain whether they will achieve their objectives. Therefore, in the search for a tool that can help in making decisions as well as identify the undesirable risks, the practice of Risk Management has stood out. In this sense, considering that the application of a Risk Management systematic brings numerous benefits to an institution, this study was developed with the purpose of proposing a Risk Management tool aimed at identifying the risks in the process of contracting and executing the works of UFSM. For this, a descriptive and predominantly qualitative research was carried out through multi-stage studies of the contracts of 5 (five) works completed in the last five years at UFSM. For this, a descriptive and predominantly qualitative research was carried out through multi-stage studies of the contracts of 5 (five) works completed in the last five years at UFSM. The data collection procedure occurred in two stages, the first one was through documentary research through the analysis of the contracts and the additive terms of the analyzed works, and the second was through five (5) semistructured interviews and a script previously established with the UFSM servers that were involved with the searched problem. The main results obtained from the 67 (sixty seven) identified risks show that the highest percentage of predominance (28%) materialized during the bidding phase and that most of them are from internal source to the institution (79%) and type operational (57%). Regarding the risk analysis, it was found that 58.2% of the identified risks are considered at extreme and high level, which proves the need for tighter controls by management and, on the other hand, the risks considered at medium and high level. low level represented a percentage of 41.8%, requiring more moderate decision-making and controls. Regarding risk assessment, a "risk appetite" matrix was developed, revealing that 58.2% of the risks have a probability and impact above the exposure limit that the institution is willing to support. With regard to the recommendation for the treatment of risks, UFSM can define whether the risk will be avoided, mitigated, shared or accepted by the organization. Finally, this study, besides contributing to compliance with the legislation and the recommendations of the control bodies in the field of risk management, collaborated to identify the risks that UFSM is exposed in its process of contracting and executing works, as well as how it determines the level of criticality of each risk, according to its probability (chance of occurrence) and impact (consequences), and, from this, allows the institution to decide what actions to respond to the risks will be taken to reduce or eliminate the threats raised.