Diretrizes para a avaliação de políticas públicas : uma abordagem jurídica a partir da governança pública digital e com garantia da participação e do controle social.

Abstract

This thesis proposes legal guidelines for the institutionalization and regulation of the process of evaluating public policies in Brazil, based on a legal dogma specific to the policies and based on assumptions of digital public governance and ensuring participation and social control. The research problem seeks to answer: What are the fundamental guidelines for proposing a model of evaluating public policies based on legal-constitutional contours, considering the potential of digital public governance and ensuring popular participation and social control? The research is classified as prescriptive. The method of approach will be hypothetical-deductive. As procedural methods, monographic and comparative will be used. The research techniques will be bibliographic research, in addition to consultation of legislative sources and indirect documentation. The general hypothesis is that the guidelines that will shape and guide the process of evaluating public policies with transparency, participation and social control should comply with the mechanisms provided by digital public governance, including shared systems and data interoperability, to compose the fundamental guidelines of an evaluation model that is appropriate to the sectoral requirements and the schemes and organization of Brazilian federalism. The general objective is to propose legal guidelines for the formation of an institutional design that is appropriate for the evaluation of public policies in Brazil, based on the contributions of digital public governance that includes spaces for participation and social control. The work is divided into five main chapters, the first of which studies the complexity of public policies and their intersections with the Law under the dynamics of the public policy cycle established in the Brazilian Constitution of 1988 and the guarantee of popular participation and social control; the second investigates the contributions of the Law to a methodology for evaluating public policies based on data and evidence, with a survey of the theoretical paradigms and current models for evaluating public policies in Brazil and the methodology adopted in carrying out government audits and its relationship with the process of evaluating public policies; and also the evaluation techniques and criteria used; the third to analyze federalism, the degree of decentralization and its relationship with the evaluation of public policies, especially based on the responsibilities of political entities for public policies based on federative powers, addressing the issue of omissions and cooperation and looking at who legislates or prepares and who executes public policies; the fourth to verify the contributions of digital public governance to the evaluation of public policies and the importance of the interoperability of information systems; and the fifth and last to propose fundamental guidelines for the construction of a public policy evaluation model based on legal constitutional contours and to discuss the legal effects of the evaluation results. As main conclusions, it was found that the legal guidelines for the institutionalization of the public policy evaluation process are based on several duties that ensure transparency, efficiency and social control during the process. First, there is the duty to observe constitutional and legal precepts, including the guarantee of participation and social control throughout the evaluation. It is also essential to assess based on data and evidence, ensuring that decisions are based on concrete information. The assessment must verify the degree of popular participation and social control at all stages of the public policy cycle, in addition to ensuring compliance with the results of previous assessments in budgetary laws. Other important duties include assessing the identification of the competencies involved in the public policy being analyzed, as well as the clear and objective definition of responsibilities among government entities. In the event of omissions, the responsibility of the government responsible for coordination between the spheres must be analyzed. The distribution of responsibilities must be assessed based on the need/state capacity binomial, taking into account the fiscal capacity of the entities involved, which also implies the verification of these fiscal capacities. The assessment of regional inequalities is another relevant point, as is transparency in the methodology and monitoring of indicators. Informational cooperation must also be assessed, ensuring the interoperability of information systems in relation to objectives, goals and indicators. Furthermore, it is important to consider events or risks that may compromise the achievement of public policy objectives and to verify the adequacy of control measures.