Annex I
ANNEX 1
STATUTE
CAPES – BRAZILIAN FEDERAL AGENCY FOR SUPPORT AND EVALUATION
Chapter I – Nature and Goals
Art. 1st – The Brazilian Federal Agency for Support and Evaluation – CAPES – is a public foundation linked to the Ministry of Education. The agency came into being through Law nº 8.405 of January 9th, 1992, with undetermined duration and city and jurisdiction in the city of Brasilia, Federal District.
Capes is governed by Laws nº 8.405, of January 9th, 1992, Law nº 11.502, of June 11th, 2007, and by Law 12.443, of July 15th, 2011, and by the present Statute.
§1st – In the scope of academic education, CAPES holds as goals:
1- To subsidize the Ministry of Education in the execution of postgraduate policies.
2- To coordinate the postgraduate system and evaluate its courses.
3- To stimulate, through the granting of scholarships, allowances and other instruments the formation of highly qualified personnel of academic level in research activities and in the assistance to the public and private sectors.
4- To present subsidies for the elaboration of the National Educational Plan and elaborate, in every five-year period, proposals to the National Postgraduate Plan in joint effort with other federal organs, academic institutions and similar organizations.
5- To coordinate and accompany the National Postgraduate Plan.
6- To elaborate sectoral and regional educational programs.
7- To define minimum standards of quality to regulate master and doctorate courses in the country.
8- To regulate selection of scientific consultants and the evaluation procedures for postgraduate programs stricto sensu.
9- To promote studies and evaluations concerning the development and improvement of postgraduate teaching and correlate activities.
10- To promote dissemination of scientific information.
11- To stimulate the settling of recently formed doctorate professors and to stimulate postgraduate programs throughout the Country.
12- To stimulate studies and similar activities that will, directly or indirectly, contribute to the development and consolidation of academic institutions, preserving at all times their autonomy.
13- To support scientific and technological development processes and
14- To maintain exchange channels with other organs and agencies and with national and international institutions aiming at the promotion in the development of postgraduate teaching through agreements, contracts, and adjustments shown necessary for the achievement of its goals.
§2nd – In the scope of basic education, CAPES aims at stimulating and inducing – with the assistance, when necessary, with the Sates of the Federation, Municipalities and the Federal District – the qualification of basic education personnel, and specially:
1- To stimulate the initial and ongoing education for professionals in the basic education sector, aiming at the building of a national system for the qualification of teachers.
2- To articulate in cooperative basis, in all governmental levels, the qualification of basic education teachers.
3- To plan long-term actions for the initial and ongoing qualification of basic education personnel.
4- To elaborate sectorial and regional plans in order to meet the social demands for basic education teaching.
5- To accompany performances of undergraduate courses conducted by INEP – Anísio Teixeira National Institute for Educational Studies and Research.
6- To promote and support, through the granting of scholarships, allowances and incentive programs, studies and research found necessary for the improvement of curriculum contents in initial and ongoing qualification of teachers and
7- To keep exchange programs with public administration institutions in the Country: with international and private institutions, both in the Country and abroad, aiming at the initial and ongoing qualification of teachers, to be achieved through agreements, covenants, contracts and necessary adjustments.
Art. 3rd – In performing its activities, CAPES may utilize the advice of scientific consultants, aiming at:
1- Accompaniment and evaluation of incentive programs and
2- Evaluation of the merit of scholarships and allowances.
§1st – As concerning the goals listed in caput, CAPES will utilize the assistance of personnel with solid expertise in the areas of basic education, postgraduate and research.
§2nd – In the scope of higher education assistance will be provided by the coordinators of the evaluation sectors, chosen among personnel of solid expertise in the postgraduate and research areas, as established in the Rules of Procedure.
§3 – Coordinators in the evaluation sector may indicate professionals, approved by CAPES, to provide advice – individually or in group – concerning the granting of scholarships, allowances, programs and course evaluation, institutions and proposals, as estalblished in subparagraphs I and II caput.
Chapter II – On Organizational Structure
Art. 4th – CAPES is provided with the following organizational structure:
1- Presidency Direct and Indirect Assistance Organs:
a) Cabinet
b) Social Communication General Coordination
c) Planning and Governance General Coordination
d) Collegiate General Coordination
2- Sectional Organs:
a) Federal Prosecutor Office
b) Internal Audit
c) Internal Affairs
d) Ombudsman
e) Management Direction and
f) Technology of Information Direction
3- Specific Singular Organs:
a) Programs and Scholarships in the Country Direction
b) Evaluation Direction
c) Foreign Affairs Direction
d) Basic Education Teaching Qualification Direction
e) Long-Distance Direction
4- Executive Organ:
a) Executive Board and
5- Collegiate Organs:
a) Superior Council
b) Technical-Scientific Higher Education Council
c) Technical-Scientific Basic Education Council
Chapter III – On Direction and Appointments
Art. 5th – The higher administration of CAPES is held by the President of CAPES and by the Superior Council.
Single Paragraph - The Executive Board is composed by the President of CAPES and by the directors appointed by the Minister of Education, according to the present legislation.
Art. 6th – The appointment of the Attorney General will be preceded by the appointment of the Attorney General of the Union, as established in §3, Art. 12, Law nº 10.480, of July 7th, 2020.
Art. 7th – The Chief Auditor will be appointed as established in §5. Art. 15, Decree nº 5.480 of September 6th, 2000.
Art. 8th – The appointment of the Comptroller will be submitted to approval by the central organ of the Federal Executive Audit Performance powers.
Chapter IV – On the Organ´s Legal Competencies
Section I
The following are competencies of the direct and immediate assistance organs to the Presidency of the Brazilian Federal Agency for Support and Evaluation – CAPES:
Art. 9th – Competencies of the Cabinet:
1- To give assistance to the President of CAPES in political, social and inter-institutional affairs, including international and parliamentary relations.
2- To coordinate and supervise administrative support to the Presidency of CAPES and its direct and indirect organs.
3- To plan and coordinate the agenda of dispatches and expedients by the President of CAPES.
4- To coordinate the expedient and the register of official reports by the President of CAPES.
5- To coordinate the register of normative acts, agreements, covenants and other acts of similar nature edited or practiced by the President of CAPES.
6- To coordinate the survey, consolidation and follow-up of information required to CAPES by organs of the public administration and central organs and
7- To plan, supervise and execute activities concerning official ceremonial events of CAPES.
Section II
On Sectional Organs
Art. 10th – The Federal Prosecutor Office – executive organ of the Federal Attorney General – holds as legal competencies:
1- To represent CAPES in judicial and extra-judicial matters, following the norms established by the Federal Attorney General.
2- To guide in the execution of judicial representation, when falling under responsabilityof other judicial bodies of the Federal Attorney General.
3- To provide council and judicial assistance in the scope of CAPES, asestablished in Art. 11 of Complimentary Law nº 73 of February 10th, 1993.
4- To assist the Federal Attorney General Office in matters of credit liquidity, charges and active debts related the activities of the institution.
5- To ensure the observance of the Constitution, laws and acts edited by the public powers under the normative guidance of the Federal Attorney Office and the Prosecutor Office.
6- To send questionings of conduct to the Federal Attorney Office and the Prosecutor Office.
Art. 11th – The Internal Audit holds as competencies:
1- To withhold internal control, examining and inspecting results pertaining the efficiency, value and economic prospects of the financial management of the institution, specially concerning administrative and operational activities.
2- To assist the Executive Board in the fulfillment of the institution´s goals, specially in internal administrative control issues.
3- To inspect audits and issue reports concerning physical and financial enterprises, and to check upon results of resource investments in the scope of CAPES.
4- To exam and deliver advice on the annual accountability of the institution.
5- To edit norms and establish direction the audit sector in conjunction with other units of the institution.
6- To follow attendance in diligences and in the impletion of recommendations by other units and organs concerning the Annual Report of Internal Audit activities.
Single Paragraph: The Internal Audit, in the pursuit of its competences, is attached to the Superior Council.
Art. 12th – Internal Affairs holds as competences:
1- To plan, direct, orientate, supervise and control corrective activities in the scope of CAPES.
2- To require or set up inquires related to irregularities in CAPES, being them administrative, disciplinary, patrimonial or of other nature, duly observing all steps, rights and guarantee of full defense and adversarial proceedings, and make decisions concerning archiving of denouncements and legal representations.
3- To send to the Presidency of CAPES judgement of disciplinary administrative processes that might result in penalties and
4- To perform further activities as established in Art. 5, Decree nº 5.480 of 2005.
Art 13th – The Ombudsman holds as competences:
1- To execute activities established in Art. 13 of Law nº 13.460 of June 26th, 2017.
2- To inform the Federal Executive Ombudsman System in matters concerning the evaluation and follow-up of activities in the scope of CAPES.
3- To organize and divulge information concerning activities and operational procedures.
4- To produce and proceed information analysis in the scope of the institution.
5- To secure fulfillment of norms related to information access and administer the Citizen Service channels, as established by Law nº 12.527 of November 18th, 2011 and
6- To secure and guide other branches of CAPES as for the fulfillment of norms related to the protection of personal information as established by Law nº 13.709 of August 14th, 2018.
Art. 14th – The Management Direction holds as competences:
1- To plan and elaborate, in the scope of CAPES, the execution of activities related to the following systems:
a) Federal Financing Administration
b) Federal Accounting
c) Archive Management – Siga
d) Budget and Planning Integrated – Siop
e) Federal Administration Personnel – Sipec
f) Federal Budget and Planning
g) General Services
2- To coordinate accountability activities related to administrative charges concerning scholarships, allowances and covenants.
3- To coordinate accountability activities related to allowances and covenants.
Art. 15th – The Technology of Information Direction holds as competences:
1- To plan, evaluate, follow coordinate and evaluate execution and control of activities related to the Technology of Information Administration Resource System.
2- To plan, coordinate and follow activities related to the management of technology of information and data security in the scope of CAPES.
3- To establish and coordinate the impletion of the Government Digital Strategy.
Section III
On Single Specific Organs
Art. 16th – The Scholarships in the Country and Programs Direction holds as competences:
1- To supervise and coordinate the processes of granting of scholarships and allowances and to encourage the solidification and maintaining of postgraduate teaching.
2- To support through incentive programs and scholarships the creation of postgraduate courses in areas considered of strategic value by CAPES.
3- To promote development of human resources aiming at the scientific and technological improvement through impletion of special programs of scholarships and allowances.
4- To homologate advice given by scientific consultants in the scope of its competences.
5- To plan, coordinate and supervise the functioning of the Portal of Periodicals, aiming at the promotion of scientific and educational production in the Country.
Art. 17th – The Evaluation Direction holds as competences:
1- To promote and coordinate the follow-up and evaluation processes in the scope of CAPES.
2- To arrange examination and voting by the Technical-Scientific Higher Education Council of legal opinion given by the evaluation commissions in regard of the quality of proposals for the establish of new postgraduate courses and the periodical evaluation of courses.
3- To supports visits and inductive activities seeking the improvement or creation of new postgraduate courses, with particular attention to regions and micro-regions considered strategic in the scope of CAPES.
Art 18th – The International Affairs Direction holds as competences:1
1- To promote the internationalization of Brazilian postgraduate studies in connection, whenever necessary, with other educational sectors.
2- To promote and participate, in connection with the Ministries of Education and Foreign Affairs and other government organs, in negotiations involving agreements, exchange covenants and educational, scientific and technological programs.
3- To supervise and coordinate the process of the granting of scholarship abroad and of international cooperation in the educational, scientific and technological areas in the scope of CAPES and
4- To homologate advice given by the scientific consultants concerning the merit and quality of requests for scholarships, allowances and support to technical cooperation projects in the scope of the Direction.
Art. 19th – The Basic Education Direction holds as competences:
1- To foment the collaboration and articulation between higher and basic education, including the postgraduate sector, for the impletion of the National Policy for the Qualification of Basic Education Personnel.
2- To subsidize the creation of policies regarding the initial and continuous qualification of basic education teachers.
3- To support the qualification of basic education teachers through the granting of scholarships and allowances aiming at the development of studies, innovative projects, curricular contents and teaching material.
4- To support qualification of basic education teachers through career stimulation programs.
5- To foment the use of informational and communication technologies in the process of basic education qualification.
6- To elaborate, in connection with the Long-Distance Direction, the annual review of basic education activities.
Art. 20th – The Long-Distance Direction holds as competences:
1- To foment higher education institutions belonging to the Brazilian Open University System (UAB) and its in-person centers to expand courses and programs of higher education throughout the Country.
2- To integrate higher education UAB personnel to in-person centers.
3- Subsidize the elaboration of policies aiming at the initial and continuous qualification of teachers, giving support to long-distance education, especially in the scope of UAB.
4- To support the initial and continuous qualification of basic education teachers through the granting of scholarships and allowances to professionals belonging to UAB and its respective in-person centers.
5- To plan, coordinate, foment and evaluate the offering of long-distance higher education courses and the physical and personal infrastructure of in-person centers, aiming at the initial and continuous qualification of basic education teachers and
6- To elaborate, in joint effort with the Basic Education Direction, the annual review of basic education activities.
Section IV
On the Executive Organ
Art. 21st – The Executive Direction holds as competences:
1- To propose guidelines and strategies for CAPES in line with the general policies of the Ministry of Education.
2- To follow the elaboration of programs, plans and actions concerning the goals and competencies of CAPES, observing, whenever te case, the deliberations of the Superior Council and the Technical-Scientific Council, and
3- To promote the necessary internal and external articulations to the execution of activities of the institution.
Section V
Subsection I
On the Superior Council
Art.22th – The Superior Council of CAPES is composed of:
1- The President of CAPES
2- The Secretary of Basic Education, from the Ministry of Education
3- The Secretary of Higher Education, from the Ministry of Education
4- The president of the National Council for Scientific-Technological Development – CNPq
5- The president of Projects and Studies Financier – FINEP
6- The director of the Guimarães Rosa Institute, from the Ministry of Foreign Affairs
7- The president of the National Association of Federal Higher Education Directors
8- By designation:
a) Seven members chosen among professionals of solid competence in the teaching and research areas and
b) Two members chosen from leaderships in the corporate sector
9- By representation:
a) One member from the collegiate of the Pro-Deans National Forum in Postgraduate and Research, holder doctorate degree in an institution recommended by CAPES.
b) One member – doctorate student – of the Postgraduate National Association
c) One member of the Technical-Scientific Higher Education Council of CAPES, chosen by her/his peers
d) One member of the Technical-Scientific Basic Education Council of CAPES, chosen by her/his peers
- §1 – Members dealt in subparagraphs IV to VII of caput might be substituted in hers/his absence by their legal substitutes
- §2 – Members dealt in subparagraph VII of caput will be designated by the Minister of Education for a 4-year mandate, with possible reappointment to office
- §3 – Members referred in indent A of subparagraph VIII caput will preferably be chosen with the inclusion of CAPES various segments and epistemological areas
- §4 – Members referred in indents A and B of subparagraph IX caput will be designated by the Minister of Education for a 4-year office period, conditioned to the maintaining of requirements in the date of designation, and with possible reappointment
- §5 – Members referred in indents C and D of subparagraph IX caput will be designated by act of the Minister of Education for mandate coincident to his/her prior collegiate posts, with possible reappointment to office
§6 – Organs and entities referred to in indents A to D of subparagraph IX caput may indicate professionals in substitution to holders of posts, as long as holding the same requirements of the substituted members, as established in §4 and §5
Art.23rd – The Superior Council, a deliberative collegiate organ, holds as competences:
1- To establish, from proposals by the President, priorities and guide lines for the activities of the institution
2- To exam the National Postgraduate Plan to be forwarded to the Minister of Education
3- To subsidize the National Educational Plan with proposals concerning CAPES´ goals
4- To exam criteria, priorities and proceedings for the granting of scholarships and allowances
5- To approve CAPES´ annual calendar
6- To approve CAPES´ budget
7- To approve CAPES´ annual activities report
8- To approve the appointment and exoneration of the Chief Auditor
9- To exam proposals concerning alterations in the Statute and the Internal Rules of Procedure
10- To exam appeals forwarded by the National Education Council and
11- To define the process and choice criteria for the coordinators in the evaluation area as stated in §2 and §3 and send to the President, in the form of a triple list, the chosen names
Subsection II
On the Technical-Scientific Higher Education Council
Art 24th – The Technical-Scientific Higher Education Council is composed of:
1- The Evaluation Director, President of the Council
2- The Scholarships in the Country and Programs Director
3- The Foreign Affairs Director
4- Representatives of each of the major epistemological areas, as established in Art. 25
5- One representative of the National Dean´s Postgraduate and Research Forum
6- One doctorate student, representing the Postgraduate National Association
§1 – Members referred in indents I to III caput will be represented, in his/her impediments or absences, by his/her legal substitutes.
§2 – The coordinators referred to in §2 of Art. 25 will elect, in a 30-day period counting from taking office, the representatives defined in indent IV caput, with offices terminating 30 days after the coordinator´s leave.
§3 – Members referred to in indents V and VI will be appointed by the President of CAPES for mandates coinciding with the closing terms of the coordinators, with possibility of reappointment and providing the fulfillment of requirements established by the time of the original appointment.
§4 – Organs referred to in indents V and VI caput may indicate substitutes to fill absences and impediments, following the requirements established in §3.
Art. 25th – Three electoral colleges will select the representatives of the major epistemological areas taking seats at the Technical-Scientific Higher Education Council, according to their respective areas of expertise.
§1 – The grouping of epistemological areas will be indicated by the Executive Direction of CAPES with assistance by the Technical-Scientific Higher Education Council and approval by the Superior Council.
§2 – Each college will elect, following the taking of office by the coordinators, their representatives in the Technical-Scientific Higher Education Council, with a total of six members, with the minimum of one and maximal of three representatives for each of the major epistemological areas.
§3 – Each of the colleges, following the selection of counselors, will proceed to the selection of alternates, bearing the necessary balance among the epistemological areas.
Art. 26th – The Technical-Scientific Higher Education Council holds as competences:
1- To provide assistance to the Executive Direction in the elaboration of specific policies and guide lines concerning the qualification of human resources for postgraduate programs and the national scientific-technological development system.
2- To collaborate in the elaboration of the National Postgraduate Plan.
3- To provide advice concerning CAPES´ annual schedule in the scope of higher education.
4- To provide advice, in its specific scope, in matters concerning criteria and proceedings for the granting of scholarships and allowances.
5- To provide advice concerning cooperation agreements between CAPES and national and international institutions.
6- To propose criteria and proceedings for the evaluation and follow-up of postgraduate studies and programs in the scope of CAPES.
7- To deliberate about proposals concerning the opening of new courses and concepts appearing during the evaluation of postgraduate programs.
8- To propose the execution of studies and programs aiming at the qualification of high-standard personnel for the postgraduate system and the national scientific and technological development system.
9- To give advice pertaining issues addressed to the President and
10- To elect its representative in the Superior Council.
Subsection III
On the Technical-Scientific Basic Education Council
Art 27 – The Technical-Scientific Basic Education Council is composed of:
1- The Director of Basic Education Qualification, sitting as president.
2- By the following representatives from the Ministry of Education:
a) The Secretary for Basic Education
b) The Secretary for Higher Education
c) The Secretary for Professional and Technological Education
d) The Secretary for Supervision and Regulation of Higher Education
e) The Secretary for Literacy
3- The Long-Distance Education Director
4- The Evaluation Director
5- The Foreign Affairs Director
6- By up to twenty representatives from civil society chosen among professionals of solid competence in basic education, observing whenever possible regional representation and respective areas of expertise
§1st – Members related in indents I to V caput will be represented, in case of absence or impediment, by his/her legal substitutes
§2nd- Members dealt by indent VI caput will be designated by the president of CAPES from a triple list and will work on a 3-year mandate, with one possible reappointment
Art. 28th – The Technical-Scientific Basic Education Council holds as competences:
1- To provide assistance to the Executive Directory in the elaboration of specific policies and guide lines for CAPES concerning the initial and continuous qualification of basic education teachers and the construction of a national qualification system for basic education teachers.
2- To assist the Basic Education Qualification Directory and the Long-Distance Directory concerning collaborative actions among the different government levels.
3- To discuss long-term guide lines aiming at the initial and continuous qualification of basic education teachers.
4- To establish parameters for the evaluation of demands for basic education teachers, including subsidizing the building of in-person centers.
5- To follow evaluations of initial qualification courses in the processes conducted by INEP.
6- To collaborate with proposals concerning the initial and continuous qualification of basic education teachers, aiming at the consolidation and subsidizing of The National Education Plan.
7- To provide advice on the institution´s annual agenda in basic education teaching qualification and the valorization of basic education as a whole.
8- To provide advice concerning criteria and proceedings orientation of policies in curricular contents for basic education teachers.
9- To establish parameters for CAPES´ foment programs.
10- To propose studies and foment programs for CAPES.
11- To provide advice concerning issues submitted by the President of CAPES and
12- To elect the Superior Council representative.
Subsection IV
On the Common Provisions of the Collegiate Organs
Art. 29th – The Superior Council, the Technical-Scientific Higher Education Council and the Basic Education Council will hold meetings twice a year I ordinary character and once a year in extraordinary character, summoned by their presidents or by the majority of its members.
§1- The quorum required for the meetings of the three councils is of absolute majority and quorum for approvals of simple majority. Deliberations will occur by roll call vote, duly registered and signed by the respective presidents.
§2 – In case of tie vote the presidents of the three councils will hold both ordinary and quality votes.
§3 – The presidents of the three councils might invite to the meetings other personnel from CAPES, as well as representatives from institutions and persons in general interested in the agendas.
§4 – The Superior Council, the Technical-Scientific Higher Education Council and the Basic Education Council might propose meetings aiming at the exam of issues requiring specific analyses.
§5 – At the end of each meeting a minute will be drawn, where deliberations and their substantiations will be registered.
§6 – The substantiation referred to in §5 might take the form of Rapporteur´s vote, vote-view, divergent vote or collegiate legal opinion.
Art.30th – Counselors are not allowed participation in more than one Council, except in the case of representatives of Technical-Scientific Councils in the Superior Council.
Art 31st – Titular counsels will lose their mandates in case of resignation or:
1- When loss of mandate occurs as consequence of final judicial ruling or conviction in disciplinary administrative process.
2- When absent in two consecutive or four alternate meetings of his/her Council.
3- When the essential institutional link of his/her condition as counselor is broken and
4- When, by a 2/3 decision of the members, the collegiate votes for the unsuitability or lack of decorum justifying his/her exclusion.
Single Paragraph: In case of vacancy each council will proceed the succession for the remaining period of the mandate.
Art.32nd – Meetings of the Superior Council and the Technical-Scientific Higher Education and Basic Education Councils will be open to public, except in cases where secrecy is essential and previously justified.
Section V
On the Direction´s Assignments
Art. 33rd – The President of Capes holds as assignments:
1- To submit issues in his/her scope to the Superior Council, as stablished in the Rules of Procedure.
2- To plan, direct, coordinate and control the activities of CAPES.
3- To guide and coordinate, in all levels, the general functioning of the institution and its plans, policies, programs and projects proposed by the Ministry of Education.
4- To sign contracts, covenants, agreements, adjustments and other documents of similar nature.
5- To designate posts of direction for technical and administrative units, as defined in the Rules of Procedure.
6- To appoint coordinators for the evaluation sector, as established in §2nd and §3rd, and its representatives in the Technical-Scientific Higher Education Council, as stated in Art. 26.
7- To designate the members of the Technical-Scientific Basic Education Council, as stated in indent VI caput of Art. 27.
8- To authorize the hiring of consultants and to organize technical commissions aiming at the execution of studies and elaboration of advice according to the specific needs of the institution and in accordance to the present legislation.
9- To perform the necessary acts related to administrative, financial and technical management of the institution and
10- To act as instance of appeals from decisions made by Technical-Scientific Higher Education and Basic Education Councils.
Section II
On Direction Posts
Art 34th – Directors, the Chief Attorney, The Chief Auditor, the Ombudsman and other personnel in posts of commend hold as competences to direct, coordinate, guide, follow and evaluate the execution of activities in his/her respective units and perform other acts requested by the President of CAPES.
Chapter V
General Provisions
Art. 35th – CAPES will annually submit to the Ministry of Education the general report of the previous activities of the institution, observing what the present legislation stablishes.
Art 36th – CAPES may undertake credit operations with national, foreign and international organs, observing the current legislation and with the approval by the Superior Council.
Art 37th – CAPES may sign contracts with national, foreign or international organs for the execution of actions necessary for its activities concerning the development of Science and Technology, observing what is stablished in indents XIV, XXI and XXV caput of Art. 24, Law nº 8666 of June 21st, 1993, and the hypothesis stablished in Art. 75, Law nº 14 133 of April 1st, 2021.
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