Conatus Platform: management of ethics and compliance program

• Grant number: 15/15994-7
• Support Opportunities: Research Grants - Innovative Research in Small Business - PIPE
• Duration: September 01, 2017 - May 31, 2018
• Field of knowledge: Interdisciplinary Subjects
• Principal Investigator: Rubens da Costa Santos
• Grantee: Rubens da Costa Santos
• Host Company: Entelekia Tecnologias do Conhecimento Ltda
• City: São Paulo
• Pesquisadores principais: Alessandra Duarte Batista ; Viviane Schneider
• Associated researchers: Denilson Sell
• Associated scholarship(s): 17/22038-0 - Conatus Platform: ethics and compliance management, BP.PIPE

Abstract

Due to the regulation of Law 12,846/13 (Anticorruption Law) and Decree 8,420/15, many Brazilian organizations begin to create Ethics and Compliance Programs (ECPs) or Integrity Programs. The creation of ECPs starts a promising new market. Keeping an ECP involves investments to acquire, deploy and maintain IT solutions that integrate the various organizational areas, engaging skilled professionals in Law, Business Management, Organizational Psychology and Information Management and the revision of organizational processes and management procedures. Although investments needed to structure an ECP are high, the noncompliance costs even if accidental can be even higher. Failure to comply with laws and regulations can lead to fines, legal and regulatory sanctions and damage to the company's image that can utmost make the business nonviable. Moreover, with the advent of this law in Brazil, small and mediumsized enterprises should establish their own ECPs, that the current model make it practically unfeasible. In this context, Conatus arises a Knowledge Engineering Platform (KEP) to the establishment, implementation, management and evaluation of ECPs. This platform aims to provide active life to the Ethics and Sustainability values and principles for: a) Reconcile the organizational interests with those of its stakeholders network~ b) Assist managers to decide on the fairest use of the organizational money and influence power~ and c) Operating intangible assets (brand, reputation and organizational culture) in order to preserve the tangible goods. Thus, this project foresees the realization of technological and conceptual research to establish the intelligence core on Ethics and Compliance of Conatus Platform in order to structure the knowledge model of ECPs, based on the characterization of the state of the art in Ethics and Compliance Management, Engineering and Knowledge Management, Artificial Intelligence and Decision Engineering. Indicators and knowledge models media studies are considered to evaluate the effective contribution to the organizational decision making process. In the next stage, a prototype will be built as a proof of concept and than it will be applied in the real context of São Paulo companies to verify the model's service capacity and guidelines in order to extract strategic indicators and the production of automatic analytical reports. This effort seeks to demonstrate the largescale feasibility application of the low cost solution created to meet the Brazilian companies demands. This proposal aims to reduce cost and complexity related to the ECPs implementation to support prediction, prevention and monitoring of conduct breaches in organizations. Briefly stated, it aims to deliver value to companies through automated services able to assess the maturity level of their policies and practices in terms of Ethics and Compliance according to the Brazilian AntiCorruption Law, with low cost, national innovative technology and high efficiency. (AU)