O conselheiro do rei: a função de auditoria interna na governança corporativa de bancos no Brasil

Este estudo tem como tema o papel da Função de Auditoria Interna (FAI) no sistema de governança corporativa (SGC) de instituições financeiras, ou simplesmente bancos, atuando no Brasil. A FAI é um mecanismo de avaliação de políticas, procedimentos e processos que age a partir do ambiente operacional de uma organização. Baseando-se nisso, o objetivo do trabalho foi investigar porquê e como a FAI foi incorporada ao SGC, e as consequências geradas para ambos. O estudo qualitativo, de natureza exploratória e descritiva, utilizou uma abordagem multiteórica, aplicando a teoria da agência e a teoria institucional. Pela abordagem buscou-se utilizar a relação entre à necessidade de monitoramento para atingir a eficiência organizacional e o impacto estruturante das pressões do ambiente externo na definição do papel e do posicionamento da FAI no SGC. A entrevista semiestruturada, utilizada como método de coleta de dados, foi aplicada a dez funcionários de auditoria de cinco bancos de grande porte, além de três indivíduos ligados ao Conselho de Administração em bancos. O estudo apresentou as seguintes conclusões: i) a FAI foi incorporada ao SGC porque a complexidade derivada da evolução do negócio bancário dificultou o monitoramento dos bancos por parte do principal e do regulador; ii) três fatores atuaram de forma inter-relacionada como direcionadores dessa incorporação: a própria evolução do negócio bancário, a regulação e a convergência de premissas e práticas; e iii) o reposicionamento organizacional resultou em consequências quanto ao escopo do trabalho da FAI, à intensificação dos conflitos para a manutenção da independência, à percepção de valor agregado pela FAI ao SGC e ao processo de capacitação dos auditores internos. O estudo apresentou como principais contribuições ao SGC: a revelação do potencial da FAI para gerar insumos para o monitoramento ao atuar como sua extensão no complexo ambiente operacional bancário; e a proposta de utilização da FAI como recursos para gerar insumos às decisões estratégicas. Quanto à FAI, o estudo sugere que, para que se consolide como mecanismo de governança, necessita qualificar seu quadro funcional e se desenvolver metodologicamente para entregar informações condizentes à tomada de decisão pelo SGC.

Espaço da circulação e saúde ambiental na produção do espaço urbano em Manaus

Coordenação de Aperfeiçoamento de Pessoal de Nível Superior (CAPES)

Redespacho de reativos como ação corretiva para alívio de sobrecargas em Redes de transmissão

Pós-graduação em Engenharia Elétrica - FEIS

Ferramenta de avaliação do transporte hidroviário de passageiros da região amazônica

A Amazônia brasileira detém mais de 60% da água doce disponível no Brasil, por onde passa um dos maiores rios do mundo, o Rio Amazonas, tanto em extensão como em volume de água, além de abrigar uma das maiores redes hidroviárias do Planeta, com centenas de rios caudalosos. É nesse sistema que a presente pesquisa se propôs a fazer uma análise quantitativa e qualitativa da frota de embarcações, terminais e demanda de passageiros que são transportados pelos rios da Amazônia brasileira, visando contribuir para o desenvolvimento tecnológico do transporte hidroviário de passageiros na região. Através de um método matemático para o cálculo do valor da tarifa por passageiro, que leva em consideração as características físicas e operacionais de cada linha, buscou-se analisar os valores praticados, assim como otimizou-se os parâmetros de uma embarcação com as condições ideais e de menor custo por passageiro transportado. Neste aspecto verificou-se ainda, que o custo do transporte do passageiro pode ser reduzido com um projeto de embarcação mais adequado para cada linha e respectiva demanda. Os dados, informações e previsões sobre a produção do transporte hidroviário de passageiros são apresentados para melhor entendimento do setor de maneira a possibilitar propostas de transportes mais eficientes, de acordo com as características da via navegável e do ambiente operacional. Com o método de avaliação de custo proposto foi possível verificar que o custo do transporte hidroviário de passageiro na Amazônia não é homogêneo, em virtude da grande diversidade de embarcações que operam em cada linha, e que, a otimização do projeto adequado para cada linha pode ter grande reduções no custo do passageiro transportado.

Metodologia de controle preventivo baseado em árvore de decisão para a melhoria da segurança estática e dinâmica de sistemas elétricos de potência

A presente dissertação visa apresentar um conjunto de desenvolvimentos, aplicativos e serviços para suporte à operação em tempo real e ao controle preventivo visando garantir à segurança estática e dinâmica de sistemas elétricos de potência. A técnica de mineração de dados conhecida como árvore de decisão foi utilizada tanto para classificar o estado operacional do sistema, bem como para fornecer diretrizes à tomada de ações de controle, necessárias para evitar a degradação da tensão operativa e a instabilidade transitória. Testes preliminares foram realizados utilizando o histórico operacional do SCADA/SAGE do Centro de Operação Regional do Pará da Eletrobrás Eletronorte. Os resultados obtidos validaram completamente o conjunto (protótipo) de aplicativos e serviços, e indicam um grande potencial para a aplicação no ambiente de operação em tempo real.

Thermal Imagery Applied to Reducing Bird Hazards to Aircraft at Airports

Airports worldwide are at a disadvantage when it comes to being able to spot birds and warn aircrews about the location of flocks either on the ground or close to the airfield. Birds simply cannot be easily seen during the day and are nearly invisible targets for planes at night or during low visibility. Thermal imaging (infrared) devices can be used to allow ground and tower personnel to pinpoint bird locations day or night, thus giving the airport operators the ability to launch countermeasures or simply warn the aircrews. This technology is available now, though it has been predominately isolated to medical and military system modifications. The cost of these devices has dropped significantly in recent years as technology, capability, and availability have continued to increase. Davison Army Airfield (DAAF), which is located about 20 miles south of Ronald Reagan National Airport in Washington, DC, is the transient home to many bird species including an abundance of ducks, seagulls, pigeons, and migrating Canadian geese. Over the past few years, DAAF implemented a variety of measures in an attempt to control the bird hazards on the airfield. Unfortunately, when it came to controlling these birds on or near our runways and aircraft movement areas we were more reactive than proactive. We would do airfield checks several times an hour to detect and deter any birds in these areas. The deterrents used included vehicle/human presence, pyrotechnics, and the periodic use of a trained border collie. At the time, we felt like we were doing all we could to reduce the threat to aircraft and human life. It was not until a near fatal accident in October 1998, when we truly realized how dangerous our operating environment really was to aircraft at or near the airfield. It was at this time, we had a C-12 (twin-engine passenger plane) land on our primary runway at night. The tower cleared the aircraft to land, and upon touchdown to the runway the aircraft collided with a flock of geese. Neither the tower nor the crew of the aircraft saw the geese because they were obscured in the darkness. The end result was 12 dead geese and $374,000 damage to the C-12. Fortunately, there were no human fatalities, but it was painfully clear we needed to improve our method of clearing the runway at night and during low visibility conditions. It was through this realization that we ventured to the U.S. Army Communications and Electronics Command for ideas on ways to deal with our threat. It was through a sub-organization within this command, Night Vision Labs, that we realized the possibilities of modifying thermal imagery and infrared technology to detecting wildlife on airports.

Cognitive radio applications for enhanced spectrum efficiency

The aim of this thesis is the study of techniques for efficient management and use of the spectrum based on cognitive radio technology. The ability of cognitive radio technologies to adapt to the real-time conditions of its operating environment, offers the potential for more flexible use of the available spectrum. In this context, the international interest is particularly focused on the “white spaces” in the UHF band of digital terrestrial television. Spectrum sensing and geo-location database have been considered in order to obtain information on the electromagnetic environment. Different methodologies have been considered in order to investigate spectral resources potentially available for the white space devices in the TV band. The adopted methodologies are based on the geo-location database approach used either in autonomous operation or in combination with sensing techniques. A novel and computationally efficient methodology for the calculation of the maximum permitted white space device EIRP is then proposed. The methodology is suitable for implementation in TV white space databases. Different Italian scenarios are analyzed in order to identify both the available spectrum and the white space device emission limits. Finally two different applications of cognitive radio technology are considered. The first considered application is the emergency management. The attention is focused on the consideration of both cognitive and autonomic networking approaches when deploying an emergency management system. The cognitive technology is then considered in applications related to satellite systems. In particular a hybrid cognitive satellite-terrestrial is introduced and an analysis of coexistence between terrestrial and satellite networks by considering a cognitive approach is performed.

Fluidic oscillator design for water removal enhancement in a PEM fuel cell

This research initiative was triggered by the problems of water management of Polymer Electrolyte Membrane Fuel Cell (PEMFC). In low temperature fuel cells such as PEMFC, some of the water produced after the chemical reaction remains in its liquid state. Excess water produced by the fuel cell must be removed from the system to avoid flooding of the gas diffusion layers (GDL). The GDL is responsible for the transport of reactant gas to the active sites and remove the water produced from the sites. If the GDL is flooded, the supply gas will not be able to reach the reactive sites and the fuel cell fails. The choice of water removal method in this research is to exert a variable asymmetrical force on a liquid droplet. As the drop of liquid is subjected to an external vibrational force in the form of periodic wave, it will begin to oscillate. A fluidic oscillator is capable to produce a pulsating flow using simple balance of momentum fluxes between three impinging jets. By connecting the outputs of the oscillator to the gas channels of a fuel cell, a flow pulsation can be imposed on a water droplet formed within the gas channel during fuel cell operation. The lowest frequency produced by this design is approximately 202 Hz when a 20 inches feed-back port length was used and a supply pressure of 5 psig was introduced. This information was found by setting up a fluidic network with appropriate data acquisition. The components include a fluidic amplifier, valves and fittings, flow meters, a pressure gage, NI-DAQ system, Siglab®, Matlab software and four PCB microphones. The operating environment of the water droplet was reviewed, speed of the sound pressure which travels down the square channel was precisely estimated, and measurement devices were carefully selected. Applicable alternative measurement devices and its application to pressure wave measurement was considered. Methods for experimental setup and possible approaches were recommended, with some discussion of potential problems with implementation of this technique. Some computational fluid dynamic was also performed as an approach to oscillator design.

Analysis of in-cylinder pressure transducer data quality utilizing a SIDI turbocharged engine

In-cylinder pressure transducers have been used for decades to record combustion pressure inside a running engine. However, due to the extreme operating environment, transducer design and installation must be considered in order to minimize measurement error. One such error is caused by thermal shock, where the pressure transducer experiences a high heat flux that can distort the pressure transducer diaphragm and also change the crystal sensitivity. This research focused on investigating the effects of thermal shock on in-cylinder pressure transducer data quality using a 2.0L, four-cylinder, spark-ignited, direct-injected, turbo-charged GM engine. Cylinder four was modified with five ports to accommodate pressure transducers of different manufacturers. They included an AVL GH14D, an AVL GH15D, a Kistler 6125C, and a Kistler 6054AR. The GH14D, GH15D, and 6054AR were M5 size transducers. The 6125C was a larger, 6.2mm transducer. Note that both of the AVL pressure transducers utilized a PH03 flame arrestor. Sweeps of ignition timing (spark sweep), engine speed, and engine load were performed to study the effects of thermal shock on each pressure transducer. The project consisted of two distinct phases which included experimental engine testing as well as simulation using a commercially available software package. A comparison was performed to characterize the quality of the data between the actual cylinder pressure and the simulated results. This comparison was valuable because the simulation results did not include thermal shock effects. All three sets of tests showed the peak cylinder pressure was basically unaffected by thermal shock. Comparison of the experimental data with the simulated results showed very good correlation. The spark sweep was performed at 1300 RPM and 3.3 bar NMEP and showed that the differences between the simulated results (no thermal shock) and the experimental data for the indicated mean effective pressure (IMEP) and the pumping mean effective pressure (PMEP) were significantly less than the published accuracies. All transducers had an IMEP percent difference less than 0.038% and less than 0.32% for PMEP. Kistler and AVL publish that the accuracy of their pressure transducers are within plus or minus 1% for the IMEP (AVL 2011; Kistler 2011). In addition, the difference in average exhaust absolute pressure between the simulated results and experimental data was the greatest for the two Kistler pressure transducers. The location and lack of flame arrestor are believed to be the cause of the increased error. For the engine speed sweep, the torque output was held constant at 203 Nm (150 ft-lbf) from 1500 to 4000 RPM. The difference in IMEP was less than 0.01% and the PMEP was less than 1%, except for the AVL GH14D which was 5% and the AVL GH15DK which was 2.25%. A noticeable error in PMEP appeared as the load increased during the engine speed sweeps, as expected. The load sweep was conducted at 2000 RPM over a range of NMEP from 1.1 to 14 bar. The difference in IMEP values were less 0.08% while the PMEP values were below 1% except for the AVL GH14D which was 1.8% and the AVL GH15DK which was at 1.25%. In-cylinder pressure transducer data quality was effectively analyzed using a combination of experimental data and simulation results. Several criteria can be used to investigate the impact of thermal shock on data quality as well as determine the best location and thermal protection for various transducers.

Molecular Surface Features in Modeling the HIV-1 RT Inhibitory Activity of 2-(2,6-Disubstituted phenyl)-3-(substituted pyrimidin-2-yl)-thiazolidin-4-ones

The human immunodeficiency virus-1 reverse transcriptase inhibitory activity of 2-(2,6-disubstituted phenyl)-3-(substituted pyrimidin-2-yl)-thiazolidin-4-ones have been analyzed using combinatorial protocol in multiple linear regression (CP-MLR) with several electronic and molecular surface area features of the compounds obtained from Molecular Operating Environment (MOE) software. The study has indicated the role of different charged molecular surface areas in modeling the inhibitory activity of the compounds. The derived models collectively suggested that the compounds should be compact without bulky substitutions on its peripheries for better HIV-1 RT inhibitory activity. It also emphasized the necessity of hydrophobicity and compact structural features for their activity. The scope of the descriptors identified for these analogues have been verified by extending the dataset with different 2-(disubstituted phenyl)-3-(substituted pyridin-2-yl)-thiazolidin-4-ones. The joint analysis of extended dataset highlighted the information content of identified descriptors in modeling the HIV-1 RT inhibitory activity of the compounds.

Modelling and Control of Stepper Motors for High Accuracy Positioning Systems Used in Radioactive Environments

Hybrid Stepper Motors are widely used in open-loop position applications. They are the choice of actuation for the collimators in the Large Hadron Collider, the largest particle accelerator at CERN. In this case the positioning requirements and the highly radioactive operating environment are unique. The latter forces both the use of long cables to connect the motors to the drives which act as transmission lines and also prevents the use of standard position sensors. However, reliable and precise operation of the collimators is critical for the machine, requiring the prevention of step loss in the motors and maintenance to be foreseen in case of mechanical degradation. In order to make the above possible, an approach is proposed for the application of an Extended Kalman Filter to a sensorless stepper motor drive, when the motor is separated from its drive by long cables. When the long cables and high frequency pulse width modulated control voltage signals are used together, the electrical signals difer greatly between the motor and drive-side of the cable. Since in the considered case only drive-side data is available, it is therefore necessary to estimate the motor-side signals. Modelling the entire cable and motor system in an Extended Kalman Filter is too computationally intensive for standard embedded real-time platforms. It is, in consequence, proposed to divide the problem into an Extended Kalman Filter, based only on the motor model, and separated motor-side signal estimators, the combination of which is less demanding computationally. The efectiveness of this approach is shown in simulation. Then its validity is experimentally demonstrated via implementation in a DSP based drive. A testbench to test its performance when driving an axis of a Large Hadron Collider collimator is presented along with the results achieved. It is shown that the proposed method is capable of achieving position and load torque estimates which allow step loss to be detected and mechanical degradation to be evaluated without the need for physical sensors. These estimation algorithms often require a precise model of the motor, but the standard electrical model used for hybrid stepper motors is limited when currents, which are high enough to produce saturation of the magnetic circuit, are present. New model extensions are proposed in order to have a more precise model of the motor independently of the current level, whilst maintaining a low computational cost. It is shown that a significant improvement in the model It is achieved with these extensions, and their computational performance is compared to study the cost of model improvement versus computation cost. The applicability of the proposed model extensions is demonstrated via their use in an Extended Kalman Filter running in real-time for closed-loop current control and mechanical state estimation. An additional problem arises from the use of stepper motors. The mechanics of the collimators can wear due to the abrupt motion and torque profiles that are applied by them when used in the standard way, i.e. stepping in open-loop. Closed-loop position control, more specifically Field Oriented Control, would allow smoother profiles, more respectful to the mechanics, to be applied but requires position feedback. As mentioned already, the use of sensors in radioactive environments is very limited for reliability reasons. Sensorless control is a known option but when the speed is very low or zero, as is the case most of the time for the motors used in the LHC collimator, the loss of observability prevents its use. In order to allow the use of position sensors without reducing the long term reliability of the whole system, the possibility to switch from closed to open loop is proposed and validated, allowing the use of closed-loop control when the position sensors function correctly and open-loop when there is a sensor failure. A different approach to deal with the switched drive working with long cables is also presented. Switched mode stepper motor drives tend to have poor performance or even fail completely when the motor is fed through a long cable due to the high oscillations in the drive-side current. The design of a stepper motor output fillter which solves this problem is thus proposed. A two stage filter, one devoted to dealing with the diferential mode and the other with the common mode, is designed and validated experimentally. With this ?lter the drive performance is greatly improved, achieving a positioning repeatability even better than with the drive working without a long cable, the radiated emissions are reduced and the overvoltages at the motor terminals are eliminated.

Towards a U.S. Army officer corps strategy for success : employing talent /

Efficient talent employment is at the core of the Army Officer Human Capital Model. However, the Army's current employment paradigm is unequal to the needs of a professional, volunteer Army facing the twin challenges of a competitive labor market and an increasingly complex global operating environment. It unduly prioritizes "fairness" when making assignments, has a narrowly defined pathway to senior leadership ranks, cannot see the talent it possesses, and suffers from severe principal-agent problems. Optimal employment theories, information age tools, and well-regulated market mechanisms can help the Army match individual officer talents against specific work requirements, reducing risk and achieving the depth and breadth of talent it needs, both now and in the future.

On the execution of collaborative business processes

Management of collaborative business processes that span multiple business entities has emerged as a key requirement for business success. These processes are embedded in sets of rules describing complex message-based interactions between parties such that if a logical expression defined on the set of received messages is satisfied, one or more outgoing messages are dispatched. The execution of these processes presents significant challenges since each contentrich message may contribute towards the evaluation of multiple expressions in different ways and the sequence of message arrival cannot be predicted. These challenges must be overcome in order to develop an efficient execution strategy for collaborative processes in an intensive operating environment with a large number of rules and very high throughput of messages. In this paper, we present a discussion on issues relevant to the evaluation of such expressions and describe a basic query-based method for this purpose, including suggested indexes for improved performance. We conclude by identifying several potential future research directions in this area. © 2010 IEEE. All rights reserved

A helicopter named Dolly: Behavioural cloning for autonomous helicopter control

This paper considers the pros and cons of using behavioural cloning for the development of low-level helicopter automation modules. Over the course of this project several Behavioural cloning approaches have been investigated. The results of the most effective Behavioural cloning approach are then compared to PID modules designed for the same aircraft. The comparison takes into consideration development time, reliability, and control performance. It has been found that Behavioural cloning techniques employing local approximators and a wide state-space coverage during training can produce stabilising control modules in less time than tuning PID controllers. However, performance and reliabity deficits have been found to exist with the Behavioural Cloning, attributable largely to the time variant nature of the dynamics due to the operating environment, and the pilot actions being poor for teaching. The final conclusion drawn here is that tuning PID modules remains superior to behavioural cloning for low-level helicopter automation.

Location and network effects on innovation success:evidence for UK, German and Irish manufacturing plants

Recent developments in the new economic geography and the literature on regional innovation systems have emphasised the potentially important role of networking and the characteristics of firms' local operating environment in shaping their innovative activity. Modeling UK, German and Irish plants' investments in R&D, technology transfer and networking, and their effect on the extent and success of plants' innovation activities, casts some doubt on the importance of both of these relationships. In particular, our analysis provides no support for the contention that firms or plants in the UK, Ireland or Germany with more strongly developed external links (collaborative networks or technology transfer) develop greater innovation intensity. However, although inter-firm links also have no effect on the commercial success of plants' innovation activity, intra-group links are important in terms of achieving commercial success. We also find evidence that R&D, technology transfer and networking inputs are substitutes rather than complements in the innovation process, and that there are systematic sectoral and regional influences in the efficiency with which such inputs are translated into innovation outputs. © 2001 Elsevier Science B.V.