Sistema de gestão de compliance no poder judiciário: proposição metodológica para operacionalização da ISO 37301 no setor público

Abstract

The growing demand for integrity, efficiency, cost-effectiveness, transparency, and accountability has driven the strengthening of public governance in Brazil, particularly within the Judiciary. In response, compliance culture emerges as an alternative pathway to embed institutional resilience and self-regulation principles, mitigating risks and providing inputs for continuous improvement cycles. However, in the public sector, initiatives to disseminate and consolidate Compliance Management Systems (CMS) remain nascent, alongside a scarcity of models tailored to the specificities of Brazilian Judiciary bodies. Against this backdrop, this study addresses the following research question: how can the adoption of CMS be enabled in Regional Electoral Courts, considering their unique characteristics, prevailing regulations, and organizational constraints? To tackle this issue, the research systematized an artifact to guide CMS implementation in public administration, drawing on findings from a case study conducted at the Regional Electoral Court of Goiás (TRE-GO). A participatory, experimental, qualitative study was adopted, grounded in the Design Science Research (DSR) method. This approach generated knowledge through analysis and intervention in real-world complex problems, integrating theory, practice, and regulatory parameters within the target organization's context. Through triangulation of theoretical frameworks, empirical evidence, and normative guidelines, artifacts, results, and lessons learned were consolidated to structure the study's findings. The methodological journey also encompassed a systematic literature mapping to identify theoretical and practical gaps, incorporating TRACE Cycle criteria, which guided transformational processes and supported the proposition of a complementary manual for CMS implementation, designed as the research's final artifact. Results demonstrate that CMS implementation, when guided by a structured approach, transcends formal compliance and fosters organizational transformation. As a scientific contribution, a Manual for supporting ISO 37301 implementation is proposed, grounded in DSR and operationalized via TRACE, bridging the gap between standards and practice. Organizationally, the model translates regulatory requirements into operational guidelines, emphasizing standardization, auditability, and continuous improvement. For public management, it bolsters integrity, transparency, and accountability, positioning compliance as a strategic governance element and enhancer of decision-making quality, with replicability potential across institutional contexts. Within the Judiciary, the proposal strengthens governance by structuring compliance practices aligned with risk management and internal controls, enhancing transparency, decision traceability, and institutional reliability, with standardization and scalability prospects. In conclusion, the study provides a structured, applicable foundation for CMS implementation in the public sector while highlighting the need for its ongoing refinement. Future avenues include deepening validation in diverse organizational contexts and evolving the proposed Manual to enhance its effectiveness and reach.