Modernization, innovation and impacts in improving public management in government of Bahia - Brazil
Disciplinary State Board - Bureau of Administration
Brazil

The Problem

In early 2007, the Government of Bahia - Brazil has identified serious irregularities committed by servants. Concomitantly, several fragilities in monitoring procedures of the principles and standards that conducted the Public Administration, especially those relating to the legality, impersonality and morality were recognized. The absence of a “disciplinary area”, to monitor and control public servants actions, promoted the occurrence of disciplinary infractions practiced by malicious servants and that, in general, were left without punishment.

The situation was characterized by a high number of irregularities committed by servants, low capacity for punishment and prevention of irregularities; low attendance of servants at their workplace (example: teachers in the school); absence of doctors in public hospitals, Irregular clearance for health treatment; irregular accumulations of public office; irregular transfers of public servants; irregularity investigation process adulterated; low self esteem of civil servants; lack of organized information and statistics about the behavior of public servants; absence of exchange of information among governmental entities; lack of shared control operations among government agencies; reactive monitoring. This culminated in a negative image of public servants. This image was associated with incompetent and corrupt practices, with a strong distrust of the population in the public services offered.

Macro problems and their causes were identified in preliminary diagnosis through a matrix of causality:
Large number of irregularities committed by public servants:
• Ignorance of legal norms of public administration;
• Absence of disciplinary code of conduct and mechanisms for monitoring the conduct of civil servants;
• Low salaries for civil servants
Low capacity for investigation, punishment and prevention of irregularities committed by public servants
• Overly bureaucratic and inefficient disciplinary law;
• unmotivated civil servants
Lack of organized information and statistics about the behavior of public servants
• absence of exchange of information among governmental entities;
• Lack of standardization of procedures
Lack of shared control operations among government agencies
• Lack of a “Disciplinary System of the State Executive Branch”
• No sharing of strategic information among governmental entities

In December 2007, Bahia’s Government, with the creation of the “Disciplinary State Board - CGR”, for the first time, began to use an internal control unit to combat irregularities and corrupt practices. This action also helped government in its decision-making processes and public policies formulation, especially in the human resources area. The activities of disciplinary control organs was, until then, isolated and disconnected and do not produced strategic state information that could be used in decision-making, evaluation and formulation of public policies.

The next step, in January 2009, was the institutionalization of a “Disciplinary System of the State Executive Branch” with the primary purpose of promoting coordination, integration and harmonization of activities of supervision and control of functional performance and conduct for public servants, as well as their liability for infringement in the performance of their duties. The creation of the “Disciplinary State Board - CGR” as the “central department” of the “Disciplinary System of the State Executive Branch” has expanded the limits of management in the government internal control.

Solution and Key Benefits

 What is the initiative about? (the solution)
The main objective of this initiative was to introduce new management practices in disciplinary control of the State, as well as provide improved efficiency and effectiveness in combating corruption and administrative impropriety. Among the secondary objectives established by Government action stand out: the development of more efficient surveillance mechanisms; better control of the performance of servants and prevention of irregularities; obtaining strategic information for decision-making by senior management; the usability of organized and systematic information in formulating public policies geared to the human resources area and control.

The establishment of “Disciplinary System of the State Executive Branch” coordinated by a central department has extended the boundaries of performance of the control agencies. The performance improvement occurred by correction of identified weaknesses and by introducing new management practices. These new practices in the internal control changed the governmental action. The actions traditionally re-activates and punitive used by control agencies have been replaced to a planned, articulated and proactive practice

After 36 months, the Government initiative has the following benefits / qualitative results:

- ethical conduct development;
- administrative probity as an intrinsic value to public service;
- public interest prevails over private interests;
- respect for the human being, to individual differences and freedom of expression
- integrity and honesty, preserving the rights and obligations equally;
- Optimizing the use of public resources, preventing any form of waste and deviations;
- transparency, disseminating information to society, respecting the ethical and legal aspects

In addition to the qualitative impacts, 33 inspections performed in organs and entities of Government produced significant quantitative results. The main goals of the inspections were checking the attendance of servants at their workplace; the absence of doctors in public hospitals, the clearance for health treatment; the accumulations of public office; the transfers of public servants, among other checks and monitoring necessary to maintain correct conduct and avoid possible irregular practices. The operations were conducted in 1,159 organs/units and involving 83,449 civil servants.

The process of monitoring and control resulted in establishment of 341 irregularity investigation procedure - PADS for confirmation of unlawful. In addition, 1,463 resignations of civil servants were effected after proof of illicit practice. This way the government action could save $ 36.2 million in deviations of resources.

Actors and Stakeholders

 Who proposed the solution, who implemented it and who were the stakeholders?
The creation of the “Disciplinary State Board - CGR” and the “Disciplinary System of the State Executive Branch” were Bahia’s Government initiatives. The main goal was the creation of mechanisms for internal control preventing and fighting corruption. The Governor of the State and the Secretary of Administration were the main stakeholders of the initiative and the actions were planned and deployed by civil servants of the Disciplinary State Board - CGR.

The main internal control Government actions are competence of the secretariats of State: Bureau of Administration, Finance and “Casa Civil”, forming the structure of internal control system. The State of Bahia, unlike most Brazilian States, does not have yet a Comptroller General that can house their internal control agencies and establish guidelines for its fighting corruption and administrative impropriety actions.

Actions for fighting corruption and administrative impropriety occur, especially by means of the following administrative units:

- “Disciplinary State Board - CGR”, created in organizational structure of the Bureau of the Administration, aims to monitor and control the functional action and conduct of civil servants, as the central department of the “Disciplinary System of the State Executive Branch”.

-"Audit General – AGE", linked to the Treasury Department, aims to evaluating the execution of Government budgets, inspecting the implementation of governmental programs, and auditing the management of public funds under the responsibility of public and private agencies and organizations, among other functions..

- “Ombudsman's Office – OGE”, administrative unit in the organizational structure of the “Casa Civil”, is responsible for receiving, examining and forwarding complaints, praise and suggestions referring to procedures and actions of State agents, units and entities.

(a) Strategies

 Describe how and when the initiative was implemented by answering these questions
 a.      What were the strategies used to implement the initiative? In no more than 500 words, provide a summary of the main objectives and strategies of the initiative, how they were established and by whom.
The success in creating the “Disciplinary State Board - CGR” and “Disciplinary System of the State Executive Branch” consisted essentially in the institutional articulation strategies. The purpose was to establish strategies that increase institutional relations within the Union, States and Municipalities, in order to exchange information and strengthen its fighting corruption and administrative impropriety. These relationships have enabled the collection and analysis of strategic information required to developments of the activities of the "Disciplinary State Board" maintaining exchange with agencies and public entities that perform activities of research and intelligence, and craving the exchange of strategic information and obtaining technical knowledge.
In this sense, the State Government celebrated technical cooperation terms with:
- “The Office of the Comptroller General – CGU”: Goal: promote technical-scientific and cultural exchange, professional skills development and improvement of “Disciplinary System of the State Executive Branch”. Allows CGU’s strategic information and data be available to subsidize activities of internal control of the State of Bahia, allows yet personnel training, with views to updating technical and professional exchanges.

- National Social Security Institute - INSS / Social Security Ministry – MPS: Goal: promote actions directed to the accumulation of public office and retirements in the Brazilian legal regime, well as the checking of occurring deaths and the violation of legislation. Allows the exchange of information aimed at identifying public positions undue, well as the workload not compatible, retirements accumulations and the promotion the relevant experiences exchange.

Planning, Budget and Management Ministry: Goal: promoting access to Union’s databases. It also allows detection of irregular binding public positions in government entities.

(b) Implementation

 b.      What were the key development and implementation steps and the chronology? No more than 500 words
In 2007 the differentiated performance of "Disciplinary State Board", started in its planning process that included mapping risks and main problems and causalities; and in the development of projects and/or structuring solutions. The use of management tools such as strategic planning has enabled still developing differentiated strategies that organize the process of cultural change required for the creation of permanent solutions.

After the initial challenge to seek reliable information that would enable an assertive diagnosis, projects and strategies were outlined to mitigate the identified problems. In this sense, three performance dimensions were defined: Technological and infrastructure; strategic and operational and regulatory/legal. Seven macro-projects were developed in these dimensions. Three in the technological and infrastructure dimension, two in the strategic and operational and two in the regulatory / legal dimension
The next step, in 2008, was the participation of all control agencies in the planning process. This way, a strategic planning was defined for the “Disciplinary System of the State Executive Branch”. This strategic planning has presented objectives, goals and actions for the period 2008-2011, with tactical and operational Plans for all control agencies and their respective budgets.



Mission of the “Disciplinary System of the State Executive Branch”
Provide procedures and mechanisms for supervision and control of functional performance and conduct of civil servants aligned with government policy and observing the ethical principle and promoting justice swiftly
Vision of the “Disciplinary System of the State Executive Branch”
Be recognized as an effective model of disciplinary system that promotes activities related to the prevention and investigation of irregularities committed by servants and guided by results.

(c) Overcoming Obstacles

 c.      What were the main obstacles encountered? How were they overcome? No more than 500 words
Among the main obstacles faced in applying this initiative, the negative organizational culture in Bahia’s public service is highlighted.
The change in organizational culture is being performed slowly. The process of change has taken place after the inspections performed in the period of 2008-2010 and forwarding its reports to the inspected managers. These reports contain recommendations regarding irregularities found and indicative of disciplinary administrative procedure. These control mechanisms are factors that promote culture shift regarding professional behavior of the inspected servants.
In health and education areas, as an example, high absenteeism of teachers and doctors before inspections was identified. Nevertheless, after carrying out inspections was recognized, from the testimonies of managers, improvements in the conduct and behavior of the inspected servants.

(d) Use of Resources

 d.      What resources were used for the initiative and what were its key benefits? In no more than 500 words, specify what were the financial, technical and human resources’ costs associated with this initiative. Describe how resources were mobilized
The resources used in the initiative were concentrated on professional training for carrying out inspections, use of various management tools and disciplinary legislation knowledge. Additionally, others stuff such as equipments; vehicles and basic infrastructure were needed in the deployment process. Furthermore, it was necessary to use software and systems such as ACL software - "Audit Command Language" and the SIRH "Human Resource Integrated System”
The ACL software is a tool that allows data extraction and analysis, fraud detection and continuous monitoring, as well as carries out audits in payrolls, among other functions.

Sustainability and Transferability

  Is the initiative sustainable and transferable?
Creating a “Disciplinary System of the State Executive Branch” articulated with various control agencies and fighting corruption has made a qualitative leap in the public administration of the State of Bahia in combating wastage and correction of irregularities. The “Disciplinary System of the State Executive Branch”, besides developing actions of supervision and control of the performance of civil servants, produces strategic information needed for decision-making and public policy formulation. The limits of performance in control area were significantly expanded with the modification of an originally reactive action (traditional control agencies) to a proactive, action planned and coordinated with other control agencies within and outside of the State. The possibilities of acting have multiplied with the realization of joint actions with institutional partnerships and the use of new technologies. Results as irregularities corrections, economy in undue payment, public spending qualification and cultural change have ratified the importance of deploying an articulated “Disciplinary System of the State Executive Branch” and the introduction of new management practices.

The initiative has proved to be necessary and sustainable over the past three years in the Bahia public administration, producing quantitative and qualitative results and benefits. The transfer of the model is consistent and possible since it uses knowing methodologies as risk matrix, matrix of causality, strategic situational planning, etc… There are still to be considered as an important innovation factor, the coordination between the various governmental entities and the use of technology for the realization of data cross-checking.

This initiative was presented in national and international congresses in 2010 (III Congresso CONSAD de Gestão Pública – Brasília/Brazil e XV Congreso Internacional del CLAD sobre La Reforma Del Estado y de La Administracion Pública – Santo Domingo/Dominican Republic). Furthermore, its sustainability is evidenced by joint actions carried out with Federal Government, other States and municipalities.

Lessons Learned

 What are the impact of your initiative and the lessons learned?
Government state obtained significant gains in efficiency and effectiveness with the introduction of these new management practices. In addition to changing a culture of non-meritorious public service and the deconstruction of a negative image of the public servants
The activities of "Disciplinary State Board" as central department stimulated the transparency of the civil servants acts and have prevented spoofing infractions, favoring the control and surveillance by all citizens.
And the following impacts can be observed:
- ethical conduct development;
- administrative probity as an intrinsic value to public service;
- public interest prevails over private interests;
- respect for the human being, to individual differences and freedom of expression
- integrity and honesty, preserving the rights and obligations equally;
- Optimizing the use of public resources, preventing any form of waste and deviations;
- transparency, disseminating information to society, respecting the ethical and legal aspects
There is still a long way to be taken but the first steps have been taken. We are convinced that a Government which respects their servants must value those who do not admit irregular postures. This is our timor.

Contact Information

Institution Name:   Disciplinary State Board - Bureau of Administration
Institution Type:   Government Agency  
Contact Person:   Paulo Nunes Filho
Title:   Corregedor Geral  
Telephone/ Fax:   55-71-31166113
Institution's / Project's Website:   55-71-31166113
E-mail:   paulo.nunesfilho@saeb.ba.gov.br  
Address:   Av. Centenário, nº2992, Barra. Salvador
Postal Code:   40155150
City:   Salvador
State/Province:   Bahia
Country:   Brazil

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