El ecosistema de rendición de cuentas y control: análisis de los casos en Ancash, 2010 - 2019 y en Lima Norte, 2010 - 2016
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2022
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Contraloría General de la República
Resumen
El objetivo de la presente investigación aplicada es describir el funcionamiento del ecosistema de rendición de cuentas y control (ERCC) en lo que respecta al logro de una sanción efectiva y oportuna en los casos seguidos en el Distrito Judicial (DJ) de Ancash y de Lima Norte. Como metodología para el logro del objetivo propuesto se efectuó una revisión de normas y documentos de gestión con el objeto de identificar las funciones de los actores del ERCC, para luego realizar, bajo el método de estudio de caso, dos procesos penales seguidos en el DJ de Ancash, expediente signado con el Nº 01056-2011-40-0201-JR-PE-01 y en el DJ de Lima Norte con expediente Nº 08023-2013-37-0901-JR-PE-04. En ambos casos, los procesos penales fueron iniciados en mérito a informes de auditoría emitidos por la Contraloría General de la República (CGR). Al respecto, se identificó, entre otras características, un funcionamiento ralentizado del ERCC. Para identificar las causas de este problema, se efectuó una encuesta a un panel conformado por expertos en control gubernamental y administración fiscal y judicial, así como a miembros de la academia. El consenso resultante indica que las principales causas del problema son la carga procesal, la falta de capacitación del personal y el débil intercambio de conocimiento entre los actores. También se constató la necesidad de introducir mayor conocimiento al interior de los actores ERCC, por lo que se plantea una propuesta de mejora orientada a establecer, diseñar e implementar un mecanismo de interacción entre los actores para el intercambio de conocimientos con la finalidad de optimizar el funcionamiento del ERCC y con ello lograr una sanción efectiva y oportuna.
The objective of this applied research is to describe the functioning of the accountability and control ecosystem (ERCC) in achieving an effective and timely sanction in the cases followed in the Judicial District (DJ) of Ancash and Lima Norte. As a methodology to achieve the proposed objective, a review of regulations and management documents was carried out in order to identify the actors of the ERCC, to then carry out a case study of two criminal proceedings followed in the DJ of Ancash, file signed with the No. 01056-2011-40-0201-JR-PE-01 and in the DJ of Lima Norte with file No. 08023-2013-37-0901-JR-PE-04. In both cases, criminal proceedings were initiated based on control reports issued by the Comptroller General of the Republic (CGR). As a result, it was identified that the operation of the ERCC is slowed down. To identify the causes of this, surveys of various experts in government, fiscal, judicial and academic control were carried out. A consensus was reached that the main causes are the procedural burden, the lack of staff training and a weak exchange of knowledge between the actors. The need to introduce knowledge within the ERCC actors is also identified, for which it is proposed as an improvement proposal the signing of an inter-institutional coordination framework that allows them to exchange and manage their knowledge in order to improve the functioning of the ERCC and thereby achieving an effective and timely sanction.
The objective of this applied research is to describe the functioning of the accountability and control ecosystem (ERCC) in achieving an effective and timely sanction in the cases followed in the Judicial District (DJ) of Ancash and Lima Norte. As a methodology to achieve the proposed objective, a review of regulations and management documents was carried out in order to identify the actors of the ERCC, to then carry out a case study of two criminal proceedings followed in the DJ of Ancash, file signed with the No. 01056-2011-40-0201-JR-PE-01 and in the DJ of Lima Norte with file No. 08023-2013-37-0901-JR-PE-04. In both cases, criminal proceedings were initiated based on control reports issued by the Comptroller General of the Republic (CGR). As a result, it was identified that the operation of the ERCC is slowed down. To identify the causes of this, surveys of various experts in government, fiscal, judicial and academic control were carried out. A consensus was reached that the main causes are the procedural burden, the lack of staff training and a weak exchange of knowledge between the actors. The need to introduce knowledge within the ERCC actors is also identified, for which it is proposed as an improvement proposal the signing of an inter-institutional coordination framework that allows them to exchange and manage their knowledge in order to improve the functioning of the ERCC and thereby achieving an effective and timely sanction.
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Palabras clave
Rendición de cuentas, Ministerio Público, Poder Judicial, Sanciones penales
Citación
Alvarado Vicente, Eduardo Daniel (2022). El ecosistema de rendición de cuentas y control: análisis de los casos en Ancash, 2010 - 2019 y en Lima Norte, 2010 - 2016. [Trabajo de investigación, Contraloría General de la República. Escuela Nacional de Control]. Repositorio de la Escuela Nacional de Control.