HEC MONTRAL

A Brazilian model of Corporate Social Responsibility:

The case of Ethos Institute
By
Alam Aguilar Platas
Thesis submitted in the view of obtaining
the grade of Master of Science
!"Sc"#
August $%%&
' Alam Aguilar Platas

Summary
This masters thesis focuses on the expansion of the Ethos Institute, a Brazilian non-
profit organization that has contributed to building an infrastructure for corporate social
responsibility (C!" in Brazil# Bet$een %&&' and ())', the Ethos Institute con*ened more
than %,()) small, medium, and large companies to help them manage their businesses in
socially responsible $ays and to ma+e them partners in building a better society in Brazil#
These companies account for approximately ,-. of Brazils /01 and employ some
( million people# The findings of this study suggest that Ethoss success in disseminating
C! $as realized using a model based on positi*e de*iance $ith the guidance of a leader#
The positi*e de*iance leader possesses fi*e psychological characteristics (preitzer and
onenshein, ()),"2 (%" a sense of meaning3 ((" other-focus perspecti*e3 (," self-
determination3 (4" personal efficacy3 and (-" the courage to ris+ brea+ing out of rigid
norms# 1ositi*e de*iance is a concept originating in sociology to describe beha*iors that do
not follo$ dominant beliefs and *alues and that are intended to increase the $ell-being of a
community# The application of this concept e*ol*ed into practices designed to promote
community de*elopment (5# ternin et al#, %&&'3 Cameron, ())-" by systematically
replicating *oluntary beha*iors already in place in a community or organization# This ne$
area of positi*e de*iance proposes that the replication of positi*e de*iant beha*iors by both
indi*iduals and organizations has the potential for successful and inno*ati*e outcomes to
address management and social issues#
This thesis has fi*e chapters# Chapter one outlines the paradigm of $ealth and
scarcity that defines our globalized society# Chapter t$o re*ie$s the literature on corporate
social responsibility and positi*e de*iance, and outlines the conceptual frame$or+ used in
the study# Chapter three explains the research design methods used# Chapter four describes
the Brazilian context prior to the founding of the Ethos Institute, the process used in the
founding of the Institute, and the strategies that Ethos has de*eloped to disseminate C!#
Chapter fi*e analyzes the empirical data $ithin the conceptual frame$or+ chosen# Chapter
I
six presents the conclusions, describes the research limitations, and suggests a*enues for
further research#
Thus far, the literature on corporate social responsibility has addressed the different
moti*ations that firms ha*e for adopting C!# 5ost of the literature focuses on internal
processes, interactions bet$een firms, and their location $ithin social boundaries 6 it is
7orgo-centered8# 9ery little has been $ritten on the external conditions that stimulate the
adoption of C! in a specific country or industry 6 a 7population of organizations8# This
study $ill contribute to an increased understanding of the $ays in $hich a broad social
context can be created to encourage companies to adopt C!# In addition, it $ill contribute
to the de*elopment of ne$ strategies to extend the reach of C!, stemming from positi*e
de*iance#
II
Sommaire
Ce m:moire de ma;trise examine le processus d<expansion de l<Institute Ethos, une
organisation br:silienne sans buts lucratifs ayant contribu: = la cr:ation dune infrastructure
pour la responsabilit: sociale corporati*e (!C"# Entre %&&' et ())', Ethos a rassembl:
plus de % ()) petites, moyennes et grandes entreprises afin de les aider = g:rer leurs
affaires de mani>re socialement responsable et = cr:er des partenariats pour la construction
dune meilleure soci:t: au Br:sil# Ces entreprises repr:sentent approximati*ement du ,- .
du 1IB br:silien et emploient en*iron ( millions de personnes# ?es r:sultats de cette :tude
sugg>rent @ue le succ>s obtenu par Ethos dans la diffusion de la !C au Br:sil pro*ient
d<un mod>le fond: sur la d:*iance positi*e d<un leader# ?e leader de la d:*iance positi*e
poss>de cin@ caract:risti@ues psychologi@ues (preitzer and onenshein, ()),"2 il poss>de
(%" un obAectif personnel 3 ((" la capacit: = sint:resser = autrui 3 (," la d:termination pour
r:aliser ses propres obAectifs 3 (4" une efficacit: personnelle 3 (-" et du courage pour
changer la rigidit: des r>gles# ?a d:*iance positi*e, un concept du domaine de la sociologie
faisant r:f:rence aux comportements ne sui*ant pas les croyances et *aleurs dominantes, a
pour but daugmenter le bien-Btre dune communaut:# ?application de cette th:orie a
:*olu: dans les prati@ues afin de promou*oir le d:*eloppement communautaire (5# ternin
et al#, %&&'3 Cameron, ())-" en r:pli@uant syst:mati@uement et *olontairement des
comportements @ui existent d:A= dans une communaut: ou une organisation# Ce nou*eau
champ dapplication de la d:*iance positi*e propose @ue la duplication des comportements
d:*iants positifs par des indi*idus et des organisations a le potentiel de produire des
solutions fructueuses et inno*atrices pour aborder des enAeux manag:riaux et sociaux#
Ce m:moire contient cin@ chapitres# ?e premier chapitre fait la lumi>re sur le
paradigme de bien-Btre et de p:nurie @ui caract:rise notre soci:t: mondialis:e# ?e deuxi>me
chapitre fait un sur*ol de la litt:rature sur la responsabilit: sociale corporati*e et la
d:*iance positi*e et pr:sente le cadre conceptuel utilis: pour cette :tude# ?e troisi>me
chapitre expli@ue les m:thodes de recherche utilis:es# ?e @uatri>me chapitre d:crit le
contexte br:silien pr:c:dant la fondation dEthos, le processus de fondation de l<Institut, et
les strat:gies @uEthos a utilis:es pour diss:miner la !C# ?e cin@ui>me chapitre analyse
III
les donn:es empiri@ues r:colt:es = l<aide du cadre conceptuel d:*elopp:# ?e sixi>me
chapitre pr:sente les conclusions, les limites de cette recherche et sugg>re certaines
alternati*es pour de futures recherches#
Cus@u= pr:sent, la litt:rature entourant le concept de responsabilit: sociale
corporati*e expli@ue les di*erses moti*ations pour les@uelles des compagnies ladoptent#
Dne grande part de la litt:rature se concentre sur les processus internes, les interactions
entre firmes et leur situation = l<int:rieur des limites sociales# ?a litt:rature est
E organocentriste F# Tr>s peu a :t: :crit = propos des conditions externes @ui stimulent
ladoption de la !C dans un pays sp:cifi@ue ou dans une industrie 3 une E population
d<organisations F# Cette :tude contribuera = am:liorer la compr:hension des m:canismes de
cr:ation d<un contexte social pour encourager les entreprises = internaliser la !C# 0e plus,
ce m:moire contribuera = cr:er de nou*elles strat:gies bas:es sur la d:*iance positi*e
permettant d<:largir len*ergure du concept de !C#
I9
Sumario
?a presente tesis de maestrGa analiza la fundaciHn y el desarrollo del Instituto Ethos,
una organizaciHn sin fines de lucro @ue ha contribuido a desarrollar la infraestructura
necesaria para fomentar la responsabilidad social corporati*a (!C" en Brasil# 0e %&&' a
())', el Instituto Ethos ha reunido a mIs de % ()) pe@ueJas, medianas y grandes empresas
con el fin de ayudarles a administrar sus negocios de una manera socialmente responsable y
asG contribuir al progreso y a la construcciHn de una sociedad e@uitati*a y Austa en Brasil#
Estas empresas actualmente representan aproximadamente un ,-. del 1IB en
Brasil y emplean alrededor de ( millones de personas# ?os resultados de esta in*estigaciHn
sugieren @ue Ethos ha logrado diseminar la !C gracias dos factores, la utilizaciHn de un
modelo fundamentado en la des*iaciHn positi*a, y la guGa de un lGder# El lGder de un modelo
de des*iaciHn positi*a posee cinco caracterGsticas psicolHgicas (preitzer y onenshein,
()),"2 (%" un obAeti*o personal, ((" empatGa y *ocaciHn de trabaAo hacia sus semeAantes, (,"
eficacia a ni*el personal, (4" autodeterminaciHn, y (-" *alor para afrontar el riesgo inherente
de romper la rigidez de normas establecidas#
?a des*iaciHn positi*a es un concepto usado en el campo de la sociologGa para
describir comportamientos @ue buscan incrementar el bien comKn de una comunidad y @ue
no estIn alineados a *alores y creencias predominantes# ?a aplicaciHn de este concepto
e*olucionH en la creaciHn de prIcticas para promo*er desarrollo comunitario (5# ternin et
al# %&&'3 Cameron, ())-", al replicar de manera sistemItica y *oluntaria comportamientos
ya existentes en una comunidad o en una organizaciHn# Esta nue*a Irea propone @ue la
replicaciHn de comportamientos de indi*iduos y de organizaciones @ue se han des*iado
positi*amente de una norma, tienen el potencial de producir soluciones inno*adoras y
exitosas tanto a problemas en la administraciHn como en la sociedad misma#
Este trabaAo de in*estigaciHn comprende cinco capGtulos# El capGtulo primero
subraya el paradigma de bonanza y miseria @ue enfrenta nuestra sociedad globalizada# El
capGtulo segundo presenta una re*isiHn en la literatura de la responsabilidad social
9
corporati*a y la des*iaciHn positi*a, asG mismo se presenta el cuadro conceptual utilizado
en este estudio# El tercer capGtulo explica los m:todos de in*estigaciHn empleados# El
cuarto capGtulo describe el contexto histHrico brasileJo y el proceso de fundaciHn del
Instituto Ethos# El capGtulo @uinto parte compara los datos recabados con el cuadro
conceptual de nuestra elecciHn# CapGtulo seis presenta nuestras conclusiones, las
limitaciones de esta in*estigaciHn y sugiere posibles temas para in*estigaciones futuras#
?a mayor parte de la literatura en responsabilidad social corporati*a analiza las
razones de una empresa en adoptar prIcticas socialmente responsables# 5ucha atenciHn se
ha dedicado a estudiar los procesos internos, interacciones entre empresas, y el
establecimiento de sus fronteras hacia temas sociales# ?a literatura es 7organocentrista8#
5uy poco se ha escrito sobre las condiciones externas @ue estimulan la adopciHn de !C
en un paGs o en un sector industrial en especGfico3 es decir sobre 7un grupo de
organizaciones8# El presente estudio contribuirI a meAorar el entendimiento sobre como un
modelo basado en la des*iaciHn positi*a puede contribuir a crear un contexto @ue moti*e a
las empresas a adoptar la !C#
9I
Table of Contents
SUMMARY.........................................................................................................I
SOMMAIRE......................................................................................................III
SUMARIO.........................................................................................................
TA!LE O" CONTENTS.................................................................................II
LIST O" TA!LES............................................................................................I#
"I$URE LIST....................................................................................................#
AC%NO&LE'$EMENTS( A$RA'ECIMIENTOS.........................................#I
). INTRO'UCTION.........................................................................................)*
+. LITERATURE REIE&, COR-ORATE SOCIAL RES-ONSI!ILITY AN'
-OSITIE 'EIANCE....................................................................................).
$"(" Corporate Social Responsibility CSR# literature re)ie*"""""""""""""""""""""""""""""""(&
(#%#%# Corporate ocial !esponsibility - 0efinition################################################%'
(#%#(# C! 6 !e*ie$###############################################################################################(%
(#%#(#%# 5ar+et (%'')-%&(&" and Lssociati*e (%&,)-%&-&" tages#########################((
(#%#(#(# The ocietal tage (%&M)-%&')"#################################################################((
(#%#(#,# The Efficiency tage (%&')-()%)"##############################################################(4
(#%#,# The Ne$ Institutional Infrastructure for C!###############################################(&
(#%#,#%# Ci*il ociety Initiati*es##############################################################################,)
(#%#,#(# tateO /o*ernment ector Initiati*es##########################################################,%
(#%#,#,# 5ar+etO Business ector Initiati*es############################################################,%
$"$" Positi)e +e)iance"""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""",,
(#(#% 0e*iance#########################################################################################################,,
(#(#(# 1ositi*e de*iance in ociology######################################################################,4
(#(#,# 1ositi*e de*iance in 5anagement#################################################################,-
(#(#,#%# The positi*e de*iance approach in community de*elopment practice#######,M
(#(#,#(# The figure of the leader in the 10 approach###############################################,M
(#(#,#,# 5oral imagination in 1ositi*e de*iance#####################################################,M
(#(#,#4# The psychological conditions for 1ositi*e 0e*iance##################################,M
(#(#,#-# 1ositi*e 0e*iance and the Lbundance Lpproach#######################################,M
9II
$"," Recapitulation""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""",-
+.*. CONCE-TUAL "RAME&OR% ( -RO-OSAL......................................./0
/. RESEARCH 'ESI$N AN' METHO'S...................................................../0
,"(" E.ploratory Research /uestions""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""",-
,"$" Research Interest"""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""",-
,"," Research Strategy""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""",-
,"0" Research !ethodology""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""",-
,"1" +ata Analysis""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""",-
,"-" 2ocus and theoretical concerns of the research""""""""""""""""""""""""""""""""""""""""""""""",-
,"3" Case 4alidity"""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""",-
,"&" Conducting Inter)ie*s""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""",-
,#'#%# Puestionnaire to conduct inter*ie$s#############################################################,M
,#'#(# econdary ources#########################################################################################,M
*. A !RA1ILIAN MO'EL O" COR-ORATE SOCIAL RES-ONSI!ILITY, THE
CASE O" THE ETHOS INSTITUTE.............................................................../0
0"(" The conte.t in Brazil prior to the founding of Ethos"""""""""""""""""""""""""""""""""""""",-
0"$" (55&6 The founding of the Ethos Institute"""""""""""""""""""""""""""""""""""""""""""""""""""""""",-
0"," (5556$%%( CSR6 Raising a*areness"""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""",-
4#,#%# Ethoss C! media campaign########################################################################,M
4#,#(# Ethoss C! publications##############################################################################,M
4#,#,# Ethoss Indicators##########################################################################################,M
4#,#4# Ethoss a$ards###############################################################################################,M
4#,#-# InternEthos#####################################################################################################,M
0"0" $%%$6$%%, Increasing strategic alliances""""""""""""""""""""""""""""""""""""""""""""""""""""""""""",-
4#4#%# Ne$ Llliances for media and communication strategy#################################,M
4#4#(# Dpdating !esources#######################################################################################,M
4#4#,# /raAe$ becomes ?ulas counselor#################################################################,M
0"1" $%%06$%%- CSR 7Promoting social change""""""""""""""""""""""""""""""""""""""""""""""""""""""",-
4#-#%# ocial Impacts################################################################################################,M
4#-#(# DniEthos########################################################################################################,M
9III
4#-#,# IQ (M)))######################################################################################################,M
4#-#4# Ror+ing $ith International Qrganizations####################################################,M
0"-" Conclusions"""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""",-
Brazil8s historical e)ents and Ethos Institute8s Chronology"""""""""""""""""""""""""""""""""",-
2. ANALYSIS 3CSR4 -OSITIE 'EIANCE AN' THE ETHOS INSTITUTE...
........................................................................................................................./0
1"(" Positi)e +e)iance in Ethos 7Analysis"""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""",-
-#%#%# /raAe$- 1sychological Conditions for 1ositi*e 0e*iance############################,M
-#%#%#%# 1ossessing a meaning to acting to change current establishment###############,M
-#%#%#(# Exercising an other-focus perspecti*e rather than Aust achie*ing personal goals
#################################################################################################################################,M
-#%#%#,# Experience self-determination to transform ideas into facts######################,M
-#%#%#4# Exert personal efficacy to out$eigh the possibility of failure####################,M
-#%#%#-# 1ossessing the courage to o*ercome the ris+ of brea+ing out of the rigidity of
norms#######################################################################################################################,M
1"$" The si. 9+8s: Positi)e +e)iance !odel in Ethos 7Analysis"""""""""""""""""""""""""""",-
-#(#%# 0efining the problem to sol*e and define $hat a successful outcome $ould loo+
li+e###########################################################################################################################,M
-#(#(# 0etermining indi*idualsOentities $ith the desired beha*ior##########################,M
-#(#,# 0isco*ering uncommon practicesObeha*iors among the business community in
Brazil that enable 10###############################################################################################,M
-#(#4# 0esigning and implementing acti*ities that enable others to access ne$ beha*iors
#################################################################################################################################,M
-#(#-# 0iscerning the effecti*eness of acti*ities through ongoing monitoring and
e*aluation#################################################################################################################,M
-#(#M# 0isseminating successful process to appropriate 7others8############################,M
-#(#S# Non-se@uential ix 70s8 5odel###################################################################,M
TToc()S(M,,4(
0. CONCLUSIONS........................................................................................../0
RE"ERENCES................................................................................................/0
Appendi.""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""""",-
,#&#(# Puestionnaire#################################################################################################,M
IU
List of Tables
Table %# 0efinitions of Corporate ocial !esponsibility (C!"############################%%S
Table (# 1as@ueros C! tages##############################################################################(%
Table ,# 1rinciples of C!######################################################################################(M
Table 4# C!- ?iterature !e*ie$ ummary ############################################################ ('
Table -# 1sychological conditions for 1ositi*e 0e*iance########################################4(
Table M# The Lbundance Lpproach ########################################################################## 4-
Table S# ternins 10 models ################################################################################## 4M
Table '# 1ositi*e 0e*iance ?iterature !e*ie$ ummary ######################################## 4'
Table &# Conceptual Vrame$or+- Elements ############################################################ 4&
Table %)# Theoretical Vrame$or+ ummary ########################################################### -(
Table %%# !esearch methods 6 ummary#################################################################-4
Table %(# Theory @uestion and data sources############################################################-'
Table %,# Ethoss tages##########################################################################################',
Table %4# Brazils historical e*ents and Ethos Institutes Chronology####################'4
Table %-# 1ossessing a sense of meaning Q! a reason to act##################################&)
Table %M# /raAe$s personal efficacy#######################################################################&M
Table %S# The ix 70s8###########################################################################################&&
Table %'# 0efining the problem#############################################################################%))
Table %&# Inter*ie$ ummaries#############################################################################%((
U
"i5ure List
Vigure %# Ldapted from Cameron et al# (()),, p# -,"##############################################44
Vigure ( Conceptual Vrame$or+#############################################################################-)
Vigure , Conceptual Vrame$or+#############################################################################''
Vigure 4# Enabling others to access ne$ beha*iors###############################################%)4
Vigure -# The ix 70s8 model in Ethos################################################################%)'
UI
A67no8le95ements( A5ra9e6imientos
Esta tesis de maestrGa *a dedicada con mucho cariJo a la memoria de Catherine
?eroy-BeltrIn# ?e agradezco infinitamente a Cathy, mi gran mentora y madre acad:mica
por inspirarme, moti*arme, apoyarme, orientarme, y recomendarme para poder realizar mis
estudios de post-grado en WEC 5ontreal# 0escansa en paz mi @uerida mentora y amiga#
5uchas gracias tambi:n a mis demIs profesores @ue me recomendaron para entrar a WEC,
dan+e shoen Ingo Bobel, merci beaucoup Eric Trochon, muchas gracias Qscar Cim:nez# Es
importante tambi:n mencionar mi gratitud a la ecretarGa de !elaciones Exteriores de
5:xico por la beca @ue me fue concedida# /racias en especial a la licenciada Lna !osa
/uzmIn de ser*icios acad:micos en la ciudad de 5:xico y al licenciado !emigio 9ald:s
del consulado mexicano en 5ontreal por darle seguimiento e importancia a mi expediente
como becario# Ce remercie chaleureusement le Vonds leadership, *olet initiati*es
p:dagogi@ues :tudiantes (V?I1E", de ma*oir attribu: une sub*ention pour :crire un cas
p:dagogi@ue pour WEC#
0e la misma manera @uiero agradecer a mis padres Enri@ue y ?ucy por todo el
apoyo y amor sin condiciones @ue me dieron para emprender y concretar este gran desafGo
leAos de ustedes, el cual hoy ya no es mas un sueJo si no una realidad# /racias tambi:n a ti
Enri@ue hermano mGo por tu apoyo tras bambalinas# /racias 5elita por tu paciencia, amor,
comprensiHn, y apoyo en este proyecto y en los @ue nos esperan# Igualmente gracias a mis
otros hermanos, V:lix, Wumberto, I*In, Er$ing, Vede, y Llberto por animarme en los
momentos mIs duros y complicados de este *iaAe#
0oy gracias a 0aniel, /aby y toda su familia por ayudarme tanto y sin condiciones,
por darme aliento cuando mas lo necesitaba y hacerme sentir parte de su familia# 5erci
0a*id mon grand ami et E colloc F pour ton support, aide, tol:rance et appui pendent tout
mon s:Aour = 5ontr:al et merci aussi = tes parents pour madopter et partager a*ec moi son
amour familial# L todos mis amigos y amigas @ue contribuyeron a meAorar la calidad de mis
textos, les digo gracias por leerme# 0e igual forma agradezco la apertura y hospitalidad de
la gente del Instituto Ethos y todas las facilidades otorgadas para la realizaciHn de esta
UII
in*estigaciHn# 5uito obrigado Qded /raAe$, !icardo Xoung, 1aulo Itacarambi, ?uciana
Lguiar, /usta*o Verreira, olange !ubio, Emilio 5artos e ?adislau 0o$bor# En especial
@uiero agradecer la hospitalidad y candidez @ue toda la familia Verraz me otorgH durante mi
estancia en ao 1aulo#
Vinalmente @uisiera agradecer a mi director de tesis Emmanuel !aufflet por su
apoyo acad:mico, conocimientos, por su increGble paciencia y generosidad, por ayudarme a
ser meAor no solo en lo acad:mico si no tambi:n como persona al mostrarme @ue las
habilidades de negocios pueden ser usadas con fines sociales y no solo para
enri@uecimiento y pro*echo indi*idual# /racias Emmanuel por in*itarme a escribir contigo,
por ayudarme a obtener los medios necesarios para realizar esta in*estigaciHn, gracias por
tu amistad sincera# /racias Emmanuel por creer en mG y apoyarme tanto#
UIII
). Intro9u6tion
Wumanity is li*ing today in a $orld of $ealth that $ould ha*e been unimaginable
centuries ago (en,%&&&"# 1eople li*e much longer on the a*erage than in all human history
than+s to the incredible ad*ances in science and medicine of our era# Than+s to the progress
of information and communication technologies, the different regions of the planet are
closer than e*er# Ne*ertheless, $e also li*e in a $orld $here people are li*ing $ith
oppression, famine and pri*ation of their basic liberties (en, %&&&3 muc+er, ())M3 Yade+,
())4"# The Rorld Ban+s statistics (())M" tell us that around the globe there are ,,)))
million people $ho are li*ing on less than t$o dollars a day, and there are %,))) to (,)))
million people struggling for access to the -) liters of $ater they need to co*er basic needs#
Lccording to the Vood and Lgriculture Qrganization of the Dnited Nations (VLQTLT,
())S", of the M billion people on the planet, half li*e in po*erty and at least one-fifth are
se*erely undernourished# The rest li*e out their li*es in comparati*e comfort and health#
Industrialized countries produce most of the $orlds pollution and consuming '). of the
$orlds resources (Earthtrends, ())S"# Dnprecedented opulence and progressi*e scarcity is
the paradigm of our century#
Rorld leaders, managers, and common people are a$are of these facts but the
panorama is not impro*ing# Qn the contrary, the $orlds problems are becoming more
complex and harder to o*ercome# 5ost of us remain passi*e, silent, deaf, and $ilfully blind
to our global problems, an attitude Bird has described as a general muted conscience
(%&&M"# 1oliticians, executi*es and citizens find it problematic to change their beha*iors to
follo$ their moral con*ictions, because they are afraid of losing their status quo, or because
they thin+ no one $ill listen to ne$ ideas# This silence has ser*ed to aggra*ate our common
troubles and $e ha*e become less proacti*e to find solutions# 5oreo*er, $e tolerate failure
and $e begin to belie*e that someone else $ill find a solution, or e*en $orse, $e thin+ that
real problems do not exist#
%4
In order to find solutions to global and local issues it is necessary to build bridges,
$hich engage interaction, collaboration and empathy $ith others (!aufflet and /urgel,
())S"# The purpose of this thesis is to examine the Ethos Institute, a Brazilian non-profit
organization founded by the business sector# This organization has contributed to building
bridges bet$een the go*ernment, the business sector and ci*il society for creating an
infrastructure (Raddoc+, ())M" for Corporate ocial !esponsibility (C!" in Brazil# The
Ethos Institute has ser*ed as a forum for good con*ersations# 7/ood con*ersation8 may
include many +inds of communication, 7from friendly discussions among colleagues to
negotiations bet$een organizations and their sta+eholders, from executi*e strategy
meetings to hard bargaining sessions, from special *isioning exercises to thoughtful
deliberations, from pri*ate encounters to pri*ate debates8 (Bird, %&&M, p# ()'"# Bet$een
%&&' and ())', the Ethos Institute con*ened more than %,()) small, medium, and large
companies to Aoin in con*ersations about $ays to manage their businesses in socially
responsible $ays# These companies account for approximately ,-. of Brazils /01 and
employ some ( million people# This Institute ser*es as a round table for disseminating C!
among the business sector, the go*ernment and ci*il society# Ethos has contributed to
creating a context to in*ol*e the business community in finding solutions to local and
global issues such as child illiteracy and en*ironmental degradation, and has helped in
building strategies for accomplishing the Dnited Nations millennium goals#
5y aim in this masters thesis is to examine ho$ Ethos has achie*ed this $ide
dissemination of C! ideas in Brazil that has led to the adoption by the business sector of
socially responsible practices, programs and strategies for addressing social issues# This
increased interest of society and go*ernments in socially responsible firms has heightened
the need for the study of C!# !ecent studies explain that corporate social responsibility
has become *oluntary for firms (1as@uero, ())-"# The idea of a ne$ institutional
infrastructure for C! (Raddoc+, ())M" has been proposed to explain the mechanisms by
$hich a firm decides to enhance *oluntarily socially responsible practices# Wo$e*er, little
research has been done on concrete strategies for encouraging businesses to adopt C!#
Creating a context and designing strategies that moti*ate firms to percei*e C! as a tool
for creating a competiti*e ad*antage (1orter and Zramer, ())M" $ould contribute to good
%-
con*ersations around inno*ati*e solutions for alle*iating issues such as extreme po*erty
and hunger, gender ine@uality and discrimination, child mortality, the spread of mortal
diseases, loss and contamination of en*ironmental resources# This thesis focuses on
examining the case of Ethos, ser*ing as an example of such 7good con*ersations8 context
for finding alternati*e solutions to social issues in Brazil#
The findings of this research suggest that the $ide dissemination of C! among
Brazilian companies $as possible by use of positi*e de*iance, $hich $as enabled by the
leadership of Ethoss founder, Qded /raAe$# 1ositi*e de*iance is a concept that emerged
$ithin sociology for describing beha*iors that go against established norms and ser*e as a
source of inno*ation for creating positi*e outcomes for society# The application of positi*e
de*iance e*entually e*ol*ed for creating strategies for community de*elopment (5# ternin
et al#,%&&'" by identifying and replicating the practices of people $ho had disco*ered better
solutions to problems than other people $ho had access to the same resources# It $ould
thus be of interest to learn ho$ to apply positi*e de*iance as a *ehicle to foster C!#
This dissertation comprises fi*e chapters# The first chapter is the present
introduction# Chapter t$o re*ie$s the literature on the central concepts of this research,
$hich include C! and positi*e de*iance# The historical re*ie$ of corporate social
responsibility is based on 1as@ueros (())-" research# I $ill examine 1as@ueros four stages
to describe the C! e*olution from %'') to our era# Ldditionally, I $ill re*ie$ the $or+ of
authors $ho ha*e researched and expanded the thin+ing around C!, such as Vriedman,
(%&S&", Rood (%&&%", Carroll (%&&&", Raddoc+ (())M", muc+er (())M", 1orter and Zramer
(())M", and !eich (())S"# The C! literature suggests that firms are in an era in $hich
being socially responsible has become *oluntary due to most go*ernments correlating strict
regulatory la$s $ith economic stagnation# Vor this reason, in the second part of the
literature re*ie$ I $ill focus on analyzing positi*e de*iance as a model to create the
context for the pri*ate sector to engage in corporate social responsibility acti*ities#
pecifically, I analyze the origins of positi*e de*iance# I also re*ie$ the positi*e de*iance
theories that ha*e emerged in the management field, such as theories of leadership (Puinn
et al, ()))", moral imagination (Lrnold and Wartman, ()),3 ())-a3 ())-b", and models for
%M
community and organizational de*elopment (5# ternin et al#, %&&'3 Cameron, ()),"#
Vinally, I $ill propose a conceptual frame$or+ based on positi*e de*iance, $hich $ill
allo$ me to examine the model behind the C! dissemination by Ethos#
The third chapter presents the research design methods used for in situ research in
ao 1aulo in Cune ())S# This third chapter explains the research strategy, the focus and the
theoretical concerns of this study#
Chapter four describes the e*olution of the infrastructure of the Ethos Institute and
the story of its founder, Qded /raAe$3 both stories are intert$ined# The first section of this
chapter summarizes /raAe$s bac+ground and the historical climate before the founding of
the Ethos Institute# L second section describes the four stages of the de*elopment of the
Ethos Institute from %&&' to ())M 2 (%" the foundation of the Ethos Institute in %&&'3 ((" the
creation of resources for raising a$areness on C! from %&&& to ())% such as self
e*aluation tools and the Ethos a$ards3 (," increasing alliances to disseminating C! from
())( to ()),, and (4" C! 6 1romoting social proAects $ithin the Brazilian business
community to address specific social issues, such as po*erty, hunger, and mortal diseases in
order to build a sustainable and Aust society#
Chapter fi*e analyzes the data collected using the conceptual frame$or+ presented
in the theory chapter# It examines Ethoss strategies bet$een %&&' and ())S for enabling
the context (1ascale, ())-3 Raddoc+, ())M3 1orter and Zramer, ())M" to diffuse C! $ith
a conceptual frame$or+ based on positi*e de*iance (5# ternin et al#,%&&'3 C# ternin and
Choo, ())), ()),, ())-3 Puinn , ())%3 Wartman and Lrnold, ()),, ())-a, ())-b3 preitzer
and onenshein, ()),3 Cameron et al#, ()),"# Chapter six presents the research results,
conclusions, and the contributions of this thesis to the management field# Chapter six
concludes by describing the limitations of this study and suggesting a*enues for future
research#
%S
+. Literature Re:ie8, Cor;orate So6ial Res;onsibility an9
-ositi:e 'e:ian6e
This chapter presents a re*ie$ of the literature on Corporate ocial !esponsibility
and 1ositi*e 0e*iance (10"# This C! literature re*ie$ is di*ided into three parts# The first
part introduces an analysis of C! definitions through time, an historical examination of
four different stages of C! bet$een %&)) and ()%) based on 1as@ueros (())-" historical
analysis and a description of a ne$ institutional infrastructure of C! (Raddoc+, ())M",
and re*ie$s the research of other authors on C! such as Vriedman (%&S&", Rood (%&&%",
Carroll (%&&&", Raddoc+ (())M", 1orter and Zramer (())M", muc+er (())M", and !eich
(())S"# The second part analyzes the main theories and authors on positi*e de*iance,
including a re*ie$ of the sociology origins of positi*e de*iance (Wec+ert, %&'&3 Ben-
Xehuda, %&&)" that e*entually e*ol*ed into practices to promote community de*elopment
(5# ternin et al, %&&'3 Cameron, ())-"# I focus on the positi*e de*iance theories that ha*e
emerged in the management field, such as leadership (Puinn et al, ()))", moral
imagination (Lrnold and Wartman, ()),, ())-a, and ())-b", and models for community
and organizational de*elopment (5# ternin et al, %&&'3 Cameron, ()),"# Theory on
positi*e de*iance is limited and strongly oriented to practice# The third part presents a
positi*e de*iance conceptual frame$or+, in order to examine the model behind Ethoss
dissemination of C!#
2.1. Corporate Social Responsibility (CSR) literature review
+.).). Cor;orate So6ial Res;onsibility ( 'efinition
The concept of C! has been assigned different ideas and definitions through time#
By %&-), the first C! definitions $ere focusing on managerial le*els (Rood, %&&%"# The
main argument $as that business executi*es had obligations beyond the economic interests
of a firm# Business executi*es had to consider ho$ their decisions $ould affect a societys
*alues
%
, stoc+holders, employees, suppliers and local communities
(
# Ne*ertheless, in %&S,,
%
1lease consult definition number one, Table % in the appendix#
(
1lease consult definition number six, table % in the appendix#
%'
Elibert and 1ar+et
,
changed the focus by referring to C! as good [neighborliness,
meaning that companies ha*e to respect the rules of the [neighborhood and must contribute
to sol*ing local problems such as unemployment, pollution and urban decay# Lccording to
Carroll (%&&&", these authors suggested that firms ha*e to collaborate by follo$ing the rules
of society and help sol*ing societys problems *oluntarily# Ln opposite perspecti*e $as
proposed by Vriedman $ho, in %&S), $rote that the only social responsibility that
businesses ha*e is to increase their o$n profits# Vriedman affirmed that managers ha*e a
responsibility to their shareholders and not to society3 thus managers should not use
companys resources for social means# 7The stoc+holders or the customers or the
employees could separately spend their o$n money on the particular action \social
responsibility] if they $ished8 (Vriedman, %&S), p# ((-"# Vriedman stated that by increasing
profits, a firms social contribution is already accomplished and any other social obAecti*es
are the responsibility of the state# Vriedman claimed that if society and the state pushed
enterprises to adopt 7social8 beha*iors, free mar+ets $ould be in danger, $hich is a ris+ for
the economy, and therefore mar+ets need to be 7free8 from any regulation and then find
their o$n balance#
In the %&&)s Carroll (%&&&" argues that there $as little academic interest and efforts
to define C!# Ne*ertheless, /arriga and 5el: (())4" point out that a ne$ landscape of
concepts and theories surrounding the C! field ha*e arisen# This proliferation of ne$
approaches and terms such as corporate responsi*eness, corporate citizenship, sta+eholder
management, corporate social performance, issues management, and corporate sustainable
de*elopment, has enlarged the scope of C! but has also created confusion# In an effort to
clarify this situation, /arriga and 5el: mapped the main C! theories and concepts in four
main dimensions2 (%" instrumental theories, in $hich the main focus is achie*ing economic
obAecti*es and $ealth creation through social acti*ities (Vriedman, %&S)3 1orter and
Zramer, ())M3 1rahalad and Wammond, ())("3 ((" political theories, $hich central feature
is aiming a responsible use of business po$er in the political arena (0a*is, %&M)3 Rood and
?odgson, ())(, Lndriof and 5cIntosh, ())%"3 (," integrati*e theories, $hich focus is on
the integration of social demands and the balance of the interests of sta+eholders of the firm
,
1lease consult definition number eight, table % in the appendix#
%&
(1reston and 1ost, %&S-3 ethi, %&S-3 Rartic+ and 5ahon, %&&43 Rood, %&&%3 Rartic+ and
Cochran, %&'-"3 and (4" ethical theories, based on uni*ersal rights, sustainable de*elopment
and the common good (Vreeman, %&'43 The /lobal ulli*an 1rinciples, DN /lobal
Compact, %&&&3 Rorld Commission on En*ironment and 0e*elopment, %&'S3 5el:, ())("#
/arriga and 5el:s (())4" research suggests that the aforementioned categories should be
manifested $ithin the interactions bet$een businesses and society# In other $ords, a firms
obAecti*e should not only be restrained to produce economic $ealth but also to respect the
en*ironment, uni*ersal rights, as $ell as, the interest of the firms sta+eholders $ith a
responsible use of its business po$er in political arenas# It is not my aim for this chapter to
re*ie$ all concepts and approaches surrounding C!, but $ill describe the main ones
throughout the follo$ing chapter#
Vor the purposes of this dissertation, I ta+e Corporate ocial !esponsibility to mean
7the entirety of obligations 6 legal and *oluntary 6 that a company must assume in order to
be percei*ed as a model of good citizenship in a gi*en en*ironment8 (1as@uero, ())-,
p#'%"# In other $ords, I argue that it is not longer enough for a company to respect only its
legal obligations in order to be considered a socially responsible firm# No$adays, society is
demanding firms to fulfill both legal and *oluntary obligations# Companies that decide to
embrace their obligations can become a model of good citizenship not only for society but
also a model for firms# In a model of corporate citizenship (5atten et al, ()),", firms
assume a more acti*e role in society than indi*idual citizens, thus firms ha*e larger
resources for impro*ing social, political, and ci*il rights# This approach arises from t$o
main statements2 (%" that large corporations ha*e become more po$erful than go*ernments,
and ((" some corporations ha*e gradually replaced go*ernment initiati*es to sol*e societys
issues# The concept citizenship intends to capture the idea that firms ha*e a place in society
next to other citizens in matters of 7rights, responsibilities and possible partners of business
in society8 (/arriga and 5:le, ())4, p-S"# Corporations ha*e the potential of impro*ing
societys rights $here go*ernments ha*e sho$n failure# Qne example is the impro*ement
of labour conditions in de*eloping countries# ome corporations (i#e# Ni+e" ha*e stopped
s$eatshop practices in de*eloping countries e*en if it is accepted by local la$s#
()
E*entually a socially responsible firm is re$arded by consumers preference and
brand loyalty# In doing so, a positi*e context for C! is created, $hich contributes to the
adoption and multiplication of this theory by other firms# Throughout this chapter I $ill
explain ho$ C! has become a *oluntary and strategic choice for firms#
+.).+. CSR 3 Re:ie8
The follo$ing section re*ie$s the e*olution of C! as an obAect of study from %'')
to ())M using a model proposed by 1as@uero (())-"# Lccording to 1as@uero (())-" the
format of C! needs to be understood in the social context in $hich is generated# Vor
analyzing the e*olution of C!, 1as@uero proposes four institutional periods in the
economy of the Dnited tates of Lmerica, $here this concept has its modern origins# The
author identified four stages lin+ed to four types of C!# Table ( summarizes 1as@ueros
analysis on the e*olution of C!2
Table +. -as<uero=s CSR Sta5es
tage 1eriod Target olution Type of C!
5ar+et %'')-%&() Exorbitant
prices
Lnti-trust la$s Induced
Lssociati*e %&,)s Economic
coordination
Industry self
regulation
Vramed
ocietal %&M)-%&') Puality of life !egulatory
agencies
Qbligatory
Efficiency %&')-Today tructural
rigidity
0e-regulation 9oluntary
(Ldapted from 1as@uero, ())-, p# 'M"
The tage names a form of C! at a point in time that is determined by the column
[1eriod# The Target identifies the problem that society $as facing due to the businesses
corporate performance (Rood, %&&%"# The column [olution points out by $hich means
society $as [sol*ing the problems caused by the businesses corporate performance#
Vinally, the column [Type of C!, describes the sort of C! that arose at that time# In this
(%
Table, 1as@uero outlined four stages in the e*olution of C! and the methods by $hich
C! has facilitated the interaction bet$een firms and society at different times in its
history#
+.).+.). Mar7et >)..?()@+@A an9 Asso6iati:e >)@/?()@2@A Sta5es
1as@uero (())-" states that during the mar+et stage, Lmerican society $as
concerned about a*oiding monopolies and their exorbitant prices for products and ser*ices#
Therefore, the go*ernment, to protect consumers, created regulations and anti-trust la$s#
Companies responded to societys demands $ith induced C! practices# The stoc+ mar+et
crash of %&(& profoundly affected the Lmerican economy# Lfter this enormous crash,
changes $ere needed in order to pre*ent future crisis# Therefore, during the associati*e
stage the goal $as to coordinate the economy $ith regulatory systems for a*oiding any
0epression li+e the one in %&(&# Industries began to self-regulate and go*ernmental
legislation fa*ored unions# The corporate social responsibility of this time $as considered
framed by this economic legislation#
Lccording to Carroll (%&&&", during the %&-)s, scholars stated that businesses $ere
*ital centers of po$er# Wence, the li*es of many citizens depended on a companys decision
process# Conse@uently, literature from that time $as focused on @uestioning (Rood, %&&%"
the ethical responsibility of managers decisions# 5anagers $ere considered responsible for
the positi*e or negati*e outcomes of companies# 1o$er $as related $ith responsibility, and
$as the business responsibility to a*oid negati*e outcomes to society#
+.).+.+. TBe So6ietal Sta5e >)@0?()@.?A
1as@uero (())-" states that during the societal stage (%&M)-%&')" the go*ernments
target $as to protect consumers from large-scale manufacturing companies to impro*e
societys @uality of life# Virms $ere limited by state legislation and not by unions as in the
mar+et stage# Companies beha*iors $ere controlled through regulatory agencies3 therefore,
the type of C! in this era is termed obligatory# Vurthermore, the literature from the %&M)s
$as characterized by expanding definitions of C! as scholars focused on analyzing at
((
managerial le*els# In fact, Carrolls (%&&&" research sho$s that during the %&M)s authors
began to state that corporations ha*e obligations beyond their legal and economic
responsibilities, for instance, managers decisions should be focused also on the social
$orld and the 7happiness8 of their employees# 5oreo*er, Carroll (%&&&" suggests
businesses during the %&M)s became a$are of the importance of pro*iding society $ith
better explanations of firms social performance3 as a result, C! became a subAect of
interest for business executi*es# ociety $as demanding to firms to act in $ays that
commensurate $ith their social po$er# Rood (%&&%" claims that the main idea of C! at
this time $as that businesses $ere recognized as important actors in society3 therefore,
society expected firms to respond to social pressures and demands#
Lccording to muc+er (())M", a period of 7near fusion8 of firms and go*ernment
arose in response to social demands# 0uring the sixties and se*enties in most $estern
economies, go*ernments tended to control the economy# Conse@uently, firms $ere forced
by go*ernment agencies to become more socially oriented# 7ocial $elfare programmes
and regulated industries, established in the past to ser*e the public good, had been based on
the assumption of a self-sufficient nation-state that could maintain rates of economic
gro$th in excess of increased costs of social $elfare8 (muc+er, ())M, p#'&"# /o*ernment
$as controlling firms $ith strict regulations in the name of society for impro*ing citizens
@uality of life#
Carroll (%&&&" explains that during the %&S)s, firms actions for responding to
social demands, dro*e businesss interest in corporate philanthropy and community
relations# In fact, during the se*enties the firms concern for clarifying the $ay a company
should respond to social pressures promoted the creation of policies, such as corporate
social programs, socio-cultural goals and codes of conduct# Lnother perspecti*e at this
stage stated that companies priorities $ere not to respond to social demands3 on the
contrary, once firms achie*ed their profit goals, it might be of interest to respond to social
demands (i#e#, Cohnson, %&S%"# In short, the business priority $as profits and C! $as
considered a tool to sol*e and e*en pre*ent social problems caused by corporations#
(,
+.).+./. TBe Effi6ien6y Sta5e >)@.?(+?)?A
Carroll (%&&&" concludes that during the %&')s, fe$er attempts to define C! as a
concept existed# 0uring the %&')s disillusionment $ith strict go*ernment policies began
and the state $as not able to sustain excessi*e $elfare for society in the midst of slo$er
economic gro$th (muc+er, ())M"# E*entually the state began to deregulate its strict
economic policies once considered beneficial for society# Wo$e*er, by %&'4, 0ruc+er
proposed that business could +eep contributing to social $elfare# We proposed to transform
social responsibilities into profitable businesses, in other $ords he stated to turn social
problems into economic opportunities# In doing so, firms $ould be more 7moti*ated8 about
sol*ing social problems and e*entually social problems $ould be sol*ed more efficiently
due to the profit implications#
C! research at this time $as focused on expanding the C! theoretical frame$or+
and *enturing into three main themes2 corporate social responsi*eness
4
3 business ethics3 and
sta+eholder theories# Lccording to Carroll, C! $as then percei*ed as a process, not as a
set of outcomes# Tuzzolino and Lrmandi (%&'%" extended this statement by proposing that
C! had a hierarchy similar to 5aslo$s pyramid in $hich organizations ha*e different
needs and priorities to satisfy3 therefore, not e*ery business $ill ha*e the same C!
outcomes#
C! scholars during the eighties focused their efforts on understanding the
interconnections bet$een businesses and society3 as a result, literature on social issues in
management expanded# Wo$e*er, Rood (%&&%" claims that authors in an effort to
conceptualize C! created too many ideas and models around this concept, ma+ing it
*ague and diffuse#
In %&&%, 0onna Rood proposed a conceptual model, $hich summarized pre*ious
C! theories of authors such as Rartic+ and Cochran (%&'-", 0a*is (%&S,", 1reston and
1ost (%&S-", and Carroll (%&S&"# Roods model integrated three principles of corporate
4
Capability of businesses to anticipate actions and respond to social pressures (Vrederic+, %&S'"#
(4
social responsibility and $as an attempt to organize and clarify pre*ious theories and ideas
around this concept# Roods model encompassed three principles of C! $ith three
different fields of applications# The first principle is the principle of legitimacy# This
principle states that society allo$s businesses to exist and therefore businesses are expected
not to abuse their po$er# If so they $ill tend to lose their pri*ileges# The application of this
principle defines the obligations and sanctions of businesses at an institutional le*el and
defines societys expectations of any business# The second principle, the principle of public
responsibility, states that businesses are responsible for their sta+eholders and the problems
related to their acti*ities on the social, economic, political, economical, en*ironmental and
technological le*els# Vinally, the third principle is the principle of managerial discretion,
$hich is focused on the indi*idual responsibilities that business managers ha*e for society#
This third principle considers the ethical concern that business managers face $hen they
ma+e decisions# Lccording to this principle, society expects managers to focus not only on
the companies interests but also on the implications that their decisions ha*e for society#
In short, Rood (%&&%" proposed that C! is a concept that attempts to place
responsibilities on firms at three le*els2 institutional, organizational, and indi*idual# The
firms that assume their responsibilities on these three le*els $ill contribute to
en*ironmental impro*ement and sustainable de*elopment and $ill enAoy consumer loyalty,
as $ell as impro*ed human resources management# Virms that ignore societys demands on
the other hand $ill tend to lose their po$er (0a*is, %&S,"# The three principles proposed by
Rood (%&&%" ga*e an organized and multi-faceted frame$or+ to the field of social issues in
management# Roods model integrated pre*ious theories, $hich help to conciliate and
organize concepts and models surrounding C!# The @uestion as to $hy firms $ould be
moti*ated to internalize C! into its policies at the three le*els proposed by Rood still
remained unans$ered#
(-
Table /. -rin6i;les of CSR.
The principle of legitimacy
;e)el2 Institutional

4alue2 ociety allo$s businesses to exist and therefore businesses are not expected to abuse their
po$er# If so they $ill tend to lose their pri*ileges# The application of this principle defines the
obligations and sanctions of businesses at an institutional le*el and defines societys expectations for
any business
The principle of Public Responsibility
;e)el2 Qrganizational
4alue2 Businesses are responsible for their sta+eholders and the problems related to their acti*ities on
the social, economic, political, economical, en*ironmental and technological le*els#
The principle of !anagerial discretion
;e)el2 5anagerial
4alue2 ociety expects managers to focus not only on the companies interests but also on the
implications that their decisions ha*e for society#
Ldapted from Rood (%&&%, p# M&M"
0uring the efficiency stage (Table (", the Lmerican go*ernment began to exempt
companies from strict regulations that $ere implemented during the societal stage#
Companies blamed the go*ernment for their inability to compete in international mar+ets
arguing that go*ernment policies reduced their operational efficiency# Therefore, the
go*ernment, by reducing strict regulations on companies, expected to see the economy
gro$ and lea*e behind economic stagnation# muc+er (())M" explains that social programs
once percei*ed by the state as a social in*estment, $ere e*entually percei*ed as
synonymous $ith cost# Lccording to !eich (())S", it $as at this moment that $estern
economies adopted the idea that $ell-being and democracy for society $ould increase if
go*ernments embraced mar+et freedom and capitalism# This ne$ idea created ne$ tensions
among firms, ci*il society, and go*ernment# Businesses are interested in profits and being
more efficient# Virms claim that ne$ rules are necessarily to facilitate a context for reducing
their transaction costs to produce general $ell-being# Qn the other hand, ci*il society is
un$illing to accept business practices that reduce their $ell-being# Lccording to muc+er
(())M", the dilemma is that go*ernments ha*e reduced their regulations on firms#
Therefore, ci*il society has de*eloped social mo*ements and interest groups for demanding
socially responsible practices#
(M
1as@uero (())-" argues that the context surrounding C! dramatically changed
after %&') and that C! has become *oluntary for firms# In other $ords, firms are no
longer strictly regulated as at pre*ious stages to adopt social practices3 strict regulations at
this stage are considered by the state as a factor causing economic stagnation# Vor this
reason, C! in the efficiency stage remains an important model for firms because societies
are still demanding firms to be socially responsible# Qn the other hand, little information
exists to explain the mechanisms by $hich firms are stimulated to internalize C! in an era
$here strict regulations no longer exist#
1orter and Zramer (())M" propose to connect business and C! by mapping social
opportunities and selecting issues that o*erlap $ith business opportunities# 7Efforts to find
shared *alue in operating practices and in the social dimensions of competiti*e context
ha*e the potential not only to foster economic and social de*elopment but to change the
$ay companies and society thin+ about each other8 (1orter and Zramer, ())M, p# %,"# The
authors suggest an approach for in*ol*ing social issues in the companys C! strategy# The
approach includes three dimensions2 (%" Lddressing generic social issues not related to the
core competencies of a company, such as en*ironmental problems or community
de*elopment3 ((" *alue chain social impacts for finding solutions directly related to the
companys acti*ities3 and (," a social dimension for the competiti*e context defined as
factors in the companys external en*ironment that can affect the fundamental dri*ers of
competiti*eness in the places $here the company operates# The strategic frame$or+
suggested by 1orter and Zramer (())M" is designed to situate C! not as a set of
obligations for the business sector (Carroll, %&&&", but as a set of opportunities for creating
a competiti*e ad*antage#
Lccording to Yade+ (())4", companies, before deciding to percei*ing C! not as
an obligation but rather as a strategic resource, ha*e to go, through fi*e stages of a learning
cur*e2 (%" 0efensi*e stage, 7its no our Aob to fix that8# The company $ill deny and resist to
social criticism from direct sta+eholders# ((" Compliance stage, 7Rell do Aust as much as
$e ha*e to8# 9isible policies and conduct codes $ill be established in order to reduce critics
and to protect the firms reputation# Wo$e*er, ci*il society $ill demand a greater
(S
commitment from companies and they $ill not Aust accept 7fa+e pledges8# (," 5anagerial
stage, 7Its the business, stupid8# 0uring this stage, companies realize they are facing a
long-term issue that $ill not be sol*ed $ith public relations strategy or Aust ne$ policies
and conduct codes# The company $ill ha*e to analyze its core business and in*ol*e their
managers to create real solutions# (4" The strategic stage, 7It gi*es us a competiti*e edge8#
L company during this stage learns to intersect its business strategy $ith responsible
business practices as a method to compete and success $ithin its industry# (-" The ci*il
stage, 7Re need to ma+e sure e*erybody does it8# Companies realize that if their industry
does not become socially responsible, e*entually the state could set up strict regulations#
Vor this reason, firms prefer to in*ol*e more companies in responsible practices#
Vurthermore, some organizations ha*e a further *ision and understand that if more
businesses embrace C!, it $ill help to pro*ide global stability to society#
Table *. CSR( Literature Re:ie8 Summary
Author !ain Contribution Type of CSR
1as@uero, Cean (())-" C! history analysis2
5ar+et stage (%''&-%&()"
Lssociati*e stage (%&,)s"
ocietal stage (%&M)-%&')"
Efficiency stage (%&')-^"
Induced
Vramed
Qbligatory
9oluntary
Carroll, Lrchie B# (%&&&" C! definitions re*ie$ ------
Rood, 0onna C# (%&&%a,
%&&%b"#
0efinition model for C! in three le*els2
Institutional
Qrganizational
5anagerial
9oluntary in the
three le*els
1orter and Zramer (())M" The authors related competiti*e ad*antage and C! trategic
Yade+ (())4" 1roposed a learning cur*e $ith - different
implication le*els in C! for firms
trategic
Raddoc+, andra (())M" Ne$ Institutional Infrastructure for Corporate ocial
!esponsibility that comprehends three
classifications2
Ci*il ocietyO ocietally Based Institutions#
tateO /o*ernment ector Initiati*es#
5ar+etO Business ector Initiati*es#
9oluntary in the
three
classifications
Table 4 summarizes the classic C! approaches (1as@uero, ())-3 Carroll, %&&&3
Rood %&&%a, %&&%b" and the ne$ strategic C! *ision represented mainly by 1orter,
Zramer (())M" and Yade+ (())4"# The ne$ strategic C! trend comes from a *ision of
percei*ing societies demands not as a set of obligations but as a set of opportunities#
('
Lccording to Yade+ (())M" businesses ha*e fi*e choices, (%" to deny and resist social
criticism, ((" elaborate *isible policies in order to reduce critics and to protect the firms
image, (," to create real solutions and analyze its core business, (4" to intersect its business
strategy $ith responsible business practices, and (-" to share its socially responsible *ision
$ith the industry and in*ol*e other companies in order to a*oid strict regulations from the
go*ernment# 9isionary companies are choosing both to intersect its business strategy $ith
C! and to *oluntarily share its social *ision# In doing so, firms ha*e both the opportunity
to de*elop a competiti*e ad*antage (1orter and Zramer, ())M" and to positi*ely impact its
external en*ironment#
Ls explained before, C! has mo*ed from a stage in $hich the state forced
companies to in*ol*e itself in socially responsible practices to a stage in $hich C! is only
a choice for firms# C! acti*ities may be *oluntary3 ho$e*er, these can be facilitated by
$hat Raddoc+ (())M" names infrastructure for C!# Behind *oluntary social practices,
ne$ pressure mechanisms ha*e arisen for regulating companies beha*iors# The follo$ing
section examines this proposition#

+.)./. TBe Ne8 Institutional Infrastru6ture for CSR

The options for a company are transforming social pressures into business
opportunities to differentiate themsel*es from their competitors and then contributing to
societys $ealth, or ignoring social pressures and hoping that their competitors do not
respond to societys demands# The internalization of C! practices has become *oluntary
and companies must realize the utility of being socially responsible#
Lccording to 1as@uero (())-", Yade+ (())4", and 1orter _ Zramer (())M" firms are
*oluntarily de*eloping strategies to respond to the social pressures from consumers,
sta+eholders, the state, and society in general# Behind a firms *oluntary decision to adopt
C!, ne$ mechanisms ha*e arisen to pressure companies to be socially responsible,
according to Raddoc+ (())M"2
(&
In the absence of a global go*ernance structure that could hold companies to
account, many companies, particularly highly *isible transnational corporations,
ha*e *oluntarily stepped into this fray in *arious forms of self-regulation,
promoting their corporate responsibilities, engaging in partnerships $ith non-
go*ernmental organizations (N/Qs", arguing that economic de*elopment depends
on the Aobs and other opportunities that they pro*ide, de*eloping explicit social
programs, and generally highlighting their more progressi*e practices and good
citizenship, in efforts to counteract criti@ues# \# # #] This infrastructure attempts to
ad*ance and support corporate responsibility through a *ariety of approaches that
rely predominantly on the still-*oluntary mechanisms of the mar+et and of ci*il
society in an attempt to pro*ide a counter*ailing force to the pressures in the firm
for $ealth maximization for shareholders fostered by still-dominant economic
thin+ing#(pp# ,-4#"
These ne$ mechanisms are based on social pressures and global dialogues among
sta+eholders# 0ialogues $hich are founded on the $illingness to sol*e social issues as
*aried as protection of the natural en*ironment, reduction of the economic gap bet$een the
poor and the $ealthy, elimination of corruption, impro*ements to the @uality of life, and
elimination of businesss predatory practices in de*eloping countries# Raddoc+ (())M"
claims that behind the ne$ pressure mechanisms, a ne$ *oluntary institutional
infrastructure of C! has arisen to regulate firms beha*iors# Raddoc+ proposes three
categories of mechanism2 (%" mar+etObusiness3 ((" ci*il society3 and (," stateOgo*ernment#
+.)./.). Ci:il So6iety Initiati:es

Raddoc+ (())M" claims that society has come together to create multi-sector
initiati*es to encourage firms to be socially responsible# Lmong the most important
initiati*es, for instance, are the DN 5illennium goals that represent an international
agreement on eight social issues# 0ialogue among different sta+eholders on specific
problems is a common issue among the organizations created by ci*il society# In order to
,)
spread their effects, first-person accounts and ran+ings of companies performance are
published in Aournals and magazines (e#g#, Business Ethics Quarterly" as a $ay to
encourage the internalization of C!# Broad-based Aournals and magazines, academic
programs, and research institutes are expanding the theory and research3 in doing so, ne$
managers $ith a consciousness of C! are moti*ating firms from the inside to shift
to$ards C! policies# In another approach, acti*ists and citizen $atchdog groups are
demanding, in some cases $ith *iolence, a halt to s$eatshop practices, polluting facilities,
and predatory corporate beha*ior# Lcti*ism has pro*ed to be one effecti*e $ay for society
to get the attention of large firms $hen other actions ha*e had no results#
+.)./.+. StateC $o:ernment Se6tor Initiati:es
Raddoc+ (())-" states that go*ernments ha*e enacted la$s to protect the
en*ironment, such as the Zyoto 1rotocol, or to prohibit the +ind of corporate corruption
exhibited by Enron# These initiati*es are considered by Raddoc+ (())M" as part of
go*ernment reactions to regulate firms beha*iors#
+.)././. Mar7etC !usiness Se6tor Initiati:es
Raddoc+ (())M" claims that the business community has created initiati*es to
regulate itself and to follo$ mar+et pressures# Businesses ha*e de*eloped C! initiati*es
such as policies, and partnerships $ith non-go*ernmental organizations, that ta+e into
account a broader range of sta+eholders, society and the en*ironment# In an effort to earn
trust and credibility $ithin society, firms are *enturing organizations to certify, *erify, and
conduct research on national and international corporate standards (e#g#, the International
Qrganization for tandardization"# In addition, companies are de*eloping principles of
transparency by reporting their annual acti*ities on their $ebsites# Vurthermore, the need
for responding to the ne$ social pressures has fuelled the creation of for-profit firms
specializing in C! consulting# Qn the other hand, non-for profit organizations *entured by
the business sector ha*e also arisen to diffuse C! (i#e#, The Ethos Institute and Business
for ocial !esponsibility"# Lccompanying the aforementioned initiati*es, a responsible
in*estment mo*ement has created se*eral indices (e#g#, the 0o$ Cones ustainability Index
,%
and the VTE4/ood" to highlight C! performance# The responsible in*estment
mo*ement is supported by firms that encourage in*esting in companies and proAects that
are socially responsible#
To summarize, in this section $e ha*e re*ie$ed t$o main aspects of the C!
infrastructure @uestion2 (%" definitions of C! highlighting the e*olution of business
addressing social issues $hich can be adopted as $ay of creating a competiti*e ad*antage
(1orter and Zramer, ())M"3 ((" a ne$ infrastructure for C! that comes from societal
le*els (Raddoc+, ())M"# Wo$e*er, $e ha*e a limited understanding of ho$ to foster C!
among a population of business organizations using this infrastructure# The follo$ing
section examines the literature on positi*e de*iance, a ne$ approach that is limited in
theory, strongly oriented to practice, and that induces social groups to modify beha*iors
*oluntarily# The positi*e de*iance approach has been used to sol*e problems as *aried as
malnutrition in children (5# ternin et al, %&&'", and labour disputes (Lrnold and Wartman3
()),, ())-a, ())-b", to en*ironmental pollution (Cameron, ()),"# 0espite positi*e
de*iance is a ne$ approach in management3 it has pro*en to be useful in inducing groups to
adopt ne$ beha*iors, $hich are contrary to a certain establishment# By adopting positi*e
de*iant beha*iors an organization 6or a community- can do both sol*e a certain problem
and increase its o$n $ell-being# Therefore, I propose the positi*e de*iance theory as an
approach to be used in the ne$ institutional infrastructure for fostering corporate
responsibility (Raddoc+, ())M" at a stage in $hich adopting C! has become both a
*oluntary (1as@uero, ())-" and strategic choice ( 1orter and Zramer, ())M3 Yadec+, ())4"
for firms# 1ositi*e de*iance is a ne$ approach $hich can be used as a mechanism for
fostering C! among the pri*ate sector# This model ser*es to enhance firms into the last
stage of Yadec+s (())4" C! learning cur*e2 to share its socially responsible *ision $ith
the industry and other companies#

,(
2.2. Positive Deviance
This section re*ie$s the ne$ theory of positi*e de*iance, an approach that is
strongly practice orientated# It $ill first define the concepts of de)iance< positi)e de)iance<
and negati)e de)iance# ubse@uently, it $ill loo+ at positi*e de*iance as an approach to
managing proAects or ideas that ha*e trouble being implemented because their inno*ati*e
methods or re*olutionary concepts are dis@ualified in some $ay, or because of some other
barrier to their achie*ing their final goals# 0ifficulties surrounding positi*e de*iant
organizations or indi*iduals can be as di*erse as finding financial resources, moti*ating
participation, and facing social stigma#
+.+.) 'e:ian6e
The Cambridge Ld*anced ?earner<s 0ictionary (())S", the adAecti*e de*iant
7describes a person or beha*ior that is not usual and is generally considered to be
unacceptable8# The Cambridge 0ictionary of ociology (())M" says de*iance 7\# # #] can be
defined as (purported" non-normati*e beha*ior that, if detected can be subAect to informal
or formal sanctions# 0e*iant beha*ior is norm-*iolating conduct that is subAect to social
control \^]8# The de*iant concept is used to define unusual beha*iors, $hich can be
subAect to sanctions, and it has a negati*e connotation# Vor instance, criminals, child
molesters, alcoholics, delin@uents and drug addicts are considered de*iants because they
*iolate a norm, $hich ser*es to regulate social order#
0efinitions of the $ord 7de*iant8 in the Cambridge 0ictionary of ociology (())M",
the Blac+$ell Encyclopedia of ocial 1sychology (%&&-" and Rebsters ha*e uni*ersally
negati*e connotations3 the dictionaries do not list any examples of positi*e de*iance#
e*eral social scientists, ho$e*er, ha*e argued that there are t$o classes of de*iance2
(%" positi*e3 and ((" negati*e# The follo$ing section examines the debate surrounding the
sociological concept of positi*e de*iance#
,,
+.+.+. -ositi:e 9e:ian6e in So6iolo5y
Negati*e de*iance denotes negati*e, deplorable, de*alued, dis*alued, disreputable,
undesirable, disgusting, frightening beha*iors, such as murder, alcoholism and rape#
1ositi*e de*iance (Ben-Xehuda, %&&)3 Wec+ert, %&'&" is a concept originating in sociology
to describe beha*iors that do not follo$ dominant beliefs and *alues, and that are intended
to increase the $ell-being of a community or an organization (preitzer et al#, ())4"#
0e*iant beha*iors that are positi*e are made by entrepreneurs, *isionaries, social leaders
and geniuses#
ocial scientists $ho defend the existence of t$o classes of de*iance both positi*e
and negati*e (5erton, %&,'3 Ril+ins, %&M43 Wec+ert, %&'&3 Ben-Xehuda, %&&)", argue that
the concept of de*iance should not be limited to a negati*e context# Wence, actions and
beha*iors that *iolate social norms can produce either negati*e or positi*e effects, $hich
may e*entually become ne$ norms# Wec+ert (%&'&" argues that brea+ing the norms can be
considered an undesirable beha*ior in one era or a certain context, but in another era, the
same beha*ior can be percei*ed as a positi*e beha*ior# Qne example gi*en by Wec+ert
(%&'&" is the $or+ of the Vrench Impressionists# Vrench Impressionist art $as de*alued and
undesirable $hen it first appeared# Q*er time, its *ision and techni@ues became recognized
and admired# Wec+ert suggests there are se*eral $ays in $hich de*iance can be manifested#
We does not restrict the term 7positi*e de*iance8 $ith a concrete definition# Instead, he
$idens the spectrum for this term by claiming positi*e de*iance is multi-faceted, from the
Vrench Impressionists to 7gee+y8 adolescents and Nobel 1rize $inners# We explains
positi*e de*iance as being a social inno*ator or an indi*idual $ho differs from that
a*erage, for example, beautiful $omen or mo*ie stars#

Ben-Xehuda (%&&)" argues that to understand positi*e de*iance it is necessary to
comprehend that de*iance is a mutation or creati*e adaptation to a rule that could
e*entually create ne$ rules or ne$ life situations# In other $ords, norms do change o*er
time3 a beha*ior seen as de*iant at one moment in time may not be seen in the same $ay
,4
later, and *ice *ersa# Ben-Xehuda (%&&)" argued that positi*e de*iance should be
recognized as a *alid concept and encouraged other sociologists to study and research this
concept in order to understand it better#
T$o social scientists, agarin (%&'-" and /oode (%&&%", ha*e opposed using the
term de*iance in this $ay# " # agarin (%&'-" states that the concept of 7de*iation8 concerns
only negati*e beha*iors, and hence positi*e de*iance is an oxymoron
-
# /oode (%&&%"
re*ie$ed the debate around positi*e de*iance and claimed 7the concept is sloppy and
inconsistent8# /oode agrees $ith agarin (%&'-" that positi*e de*iance is not a *iable
concept and is contradictory3 hence, this concept should not exist# /oode explained that he
does not oppose studying beha*iors that fall outside the norm3 ho$e*er, he disagrees on
using the term positi*e de*iance to refer to them# /oode claimed that an outstanding
student, successful person, or rebel leader transformed into a hero or a criminal are de*iants
because they all present abnormal beha*iors# E*en if a person could be a source of
creati*ity to produce social change, a de*iant still presents abnormal beha*iors and should
be considered simply de*iant, not a positi*e de*iant# Vor /oode (%&&%", promoting positi*e
change is not a *alid argument for accepting the notion of positi*e de*iance# We goes
further, describing the looseness of current definitions of positi*e de*iance and calling it a
7sponge $ord8 (p# ,)S"#

In ()),, Rest re*ie$ed the positi*e de*iance debate and tried to reconcile the
differences by accepting the contradictions inherent in the term positi*e de*iance# Rest
recognized that this term could be used to refer to and to analyze forms of social life $here
constructi*e or inno*ati*e beha*iors change accepted norms in re*olutionary $ays, such as
/andhi# Rest proposed that ne$ research should create boundaries for the definition of
positi*e de*iance#
+.+./. -ositi:e 9e:ian6e in Mana5ement
-
T$o $ords used together $hich ha*e, or seem to ha*e, opposite meanings#
,-
1ositi*e and negati*e de*iance are not exclusi*e to indi*iduals# These sociological
terms are also applied in theories of organizational change# Ln organization can act in $ays
that are *ie$ed positi*ely and negati*ely in relation to a standard in an industry, or a
country# Vor example, if a company decided $ithout any external pressure to stop
s$eatshop practices, e*en $hen those are legal and accepted in certain countries, this
beha*ior $ould be termed positi*e de*iance, since its decision to go against current
industry and national practices is intended to bring impro*ements to a social ill# L company
$ould be said to display negati*e de*iance if it decided to use child labor e*en though it is
both illegal and fro$ned upon in most societies# 1ositi*e de*iance is a beha*ior that leads
to changes, not only for indi*iduals but also for organizations# In fact, organizations can
exercise a multiplier effect# L successful organization that demonstrates a particular
positi*e de*iant beha*ior has the potential to influence not only indi*iduals but also other
companies to follo$ ne$ practices and ma+e re*olutionary decisions#
The follo$ing section re*ie$s the literature on positi*e de*iance in the field of
management# The purpose is to understand the characteristics of organizations that are
positi*ely de*iant and the model behind them# The reason to find the characteristics and the
model behind positi*e de*iant organizations is to be able to conceptually explain the Ethos
Institutes strategies in disseminating C! in Brazil# This section $ill expand the
understanding of ho$ positi*e de*iance can be used as a *ehicle to diffuse C! and to
encourage the pri*ate sector to create ne$ strategies based in this approach#
+.+./.). TBe ;ositi:e 9e:ian6e a;;roa6B in 6ommunity 9e:elo;ment
;ra6ti6e
The origins of the idea of positi*e de*iance in management change theories stems
from the community de*elopment $or+ of 5oni@ue ternin and Cerry ternin in 9ietnam#
In %&&), the ternins $ere $or+ing for a*e the Children
M
, a non-profit organization# Their
mission $as to create a program to sol*e the problem of childhood malnutrition in 9ietnam#
M
Vor further information about this organization please consult http2OO$$$#sa*ethechildren#org `
http2OO$$$#sa*ethechildren#orgOpublicationsOprogramsOhealthOVNB-*(,n4-supplement#pdf
,M
Before the ternins began $or+ing on their aid program, other attempts to sol*e this issue
had been put in place but $ere unsustainable# Childhood malnutrition al$ays returned after
the programs ended# They decided to find a sustainable solution, and decided to focus their
efforts on finding a solution that $as already in the community# In other $ords, they $anted
to disco*er $ell-nourished children in poor families and then help the rest of the
community replicate the beha*iors that led to that outcome# E*entually, the ternins found
families that had $ell-nourished children despite the fact that these families had access to
the same resources as other families $hose children $ere malnourished# They considered
the families that had healthy children as positi*e de*iants# 1ositi*e de*iants fed children
$ith more fre@uency and ga*e them food li+e crabs and shrimp, $hich the local culture
belie*ed $as inappropriate for young children# Lccording to C# ternin (()),", positi*e
de*iants are those persons $hose practices or beha*iors allo$ them to perform better or to
disco*er better solutions to issues than other people $ho ha*e access to the same resources#
ternins positi*e de*iance (10" approach consists in replicating these practices or
beha*iors# Q*er a t$el*e-year period, the approach enabled communities of more than (#(
million to reduce childhood malnutrition (C# ternin, ()),"#
In %&&', 5oni@ue ternin et al# published a 7field guide8 to designing a community-
based nutrition program using the Wearth model
S
and the positi*e de*iance approach# This
'--page guide used a model $ith fi*e main steps, $hich can be summarized as follo$s2
%# Identification of local resources# This refers to ac+no$ledging a*ailable
alliances, *olunteers, experts, and tools $hich could be useful in applying
the 10 model#
(# Conducting a situation analysis $ith the community $hich has the problem#
This step intends to understand the problem $ith the help of local people
and the use of sur*eys#
,# 1ositi*e de*iance in@uiry# The process of identifying positi*e de*iant
beha*iors $hich had enabled certain indi*iduals to disco*er better solutions
S
The Wearth model (5# ternin et al#, %&&', p# %%" details nutrition and implementation techni@ues and is
grounded in the 10 approach#
,S
to issues than other indi*iduals $ho ha*e access to same resources# 0uring
this process, they compared 10 beha*iors $ith non-10 beha*iors in order to
find differences and also harmful practices $hich had contributed to cause
certain problems#
4# 0esign of a program based on the results of 10 in@uiries# Qnce the positi*e
de*iants $ere identified a plan to diffuse this +no$ledge is enabled# This
plan includes deadlines, rehabilitation periods, educational $or+shops and
strategies to promote beha*ior change#
-# 5onitoring and promotion program# This final phase is focused to maintain
the s+ills de*eloped during the pre*ious step# Beha*ior is monitored by
obser*ing, as $ell as, $ith the use of sur*eys# Ror+shops to reinforce and
promote 10 beha*iors are part of this final phase#
These fi*e steps ha*e been applied in sol*ing different social issues, mainly in the
health domain and in de*eloping countries
'
# Vor example2 pregnancy problems, ending
female genital cutting, nutritional inter*entions, ne$born care practices, and WI9 infection#
Cerry ternin, a co-author of the %&&' Vield /uide, claims to be 7the father of
applied 1ositi*e 0e*iance8 (()),, p# ()"# We too+ the model described in the %&&' 7Vield
/uide8 for community acti*ists and adapted it for a corporate audience# In ())), ternin
$as inter*ie$ed in the business magazine Fast Company
&
(0orsey, ()))"# We explained in
eight steps ho$ businesses can adopt the positi*e de*iance approach to catalyze change#
This publication intended to inform readers in a style that $as non-academic# 0orsey $as
$riting for a general audience, $hile 5# ternin et al# (%&&'" $ere $riting for a specialized
audience#
In ())), C# ternin and Choo co-$rote a t$o-page article in the Harvard Business
Review in an effort to communicate his ideas to the business community and management
scholars# In this article, the authors the ongoing health issue of malnutrition in 9ietnam and
'
Vor further information please consult http2OO$$$#positi*ede*iance#org
&
Vor further information please consult http2OO$$$#fastcompany#comO
,'
the role of the 10 approach in sol*ing this# The authors sho$ed the scope of positi*e
de*iance and its ability to assist $ith sol*ing problems in management and in
organizations# C# ternin claims that an organization can in*est in loo+ing for positi*e
de*iants in their o$n organization rather than in*esting great amounts of money and time in
finding solutions from outside sources that $ill not necessarily $or+ for a corporation
because these solutions might not correspond to an organizations specific needs#
C# ternins frame$or+ $as complemented $ith a second publication in the Harvard
Business Review in ())-# The article, co-$ritten $ith Tanner 1ascale, ga*e practical
applications in business settings, $ith examples from companies using the 10 approach,
such as We$lett-1ac+ard, 5erc+ and No*artis# !ecurrent health cases used in pre*ious
publications by C# ternin $ere considered by the authors to propose a series of 7steps8 for
their 10 model, a model that included six steps
%)
# Vor each step, the authors pro*ided
practical cases about ho$ community and management issues $ere sol*ed in order to pro*e
the utility of their model#
The $or+ of 5# ternin and C# ternin has contributed to promoting the replication
of 10 practices and the model they de*eloped has pro*ed to be useful especially in social
issues# In ())%, they founded The 1ositi*e 0e*iance Initiati*e
%%
at Tufts Dni*ersitys
Vriedman chool of Nutrition cience and 1olicy, $ith funding from the Vord Voundation#
The purpose of this organization is to train practitioners and to ad*ance research in 10# The
organization has documents, guides and free material on their $ebsite that describes
pre*ious cases in $hich the 10 model has been applied# Lmong the documents a*ailable on
the $ebsite, is a presentation that summarizes the positi*e de*iance approach used by The
1ositi*e 0e*iance Initiati*e# The model in this presentation is called 7The M 0s8
%(
#This
model is 7user friendly8 by framing problems into facts# The steps in this model are geared
to$ards facilitating the augmentation of ne$ practices $ithin a gi*en community#
%)
ee Table S#
%%
Vor further information about this organization please consult http2OO$$$#positi*ede*iance#orgO
%(
ee Table S#
,&
+.+./.+. TBe fi5ure of tBe lea9er in tBe -' a;;roa6B
!obert Puinn $rites about leadership and organizational change, and in an article
published in ())) (Puinn, preitzer and Bro$n, ()))", he proposed an 7Ld*anced Change
Theory8 (LCT"# The model for organizational change included ten steps# The $riting style,
similar to that of the ternins, illustrated each step $ith a story, mostly managerial but in
some cases 5artin ?uther Zing, /andhi and e*en Cesus $ere cited as examples# The
authors model included the figure of a leader# This leader helps to guide through change
and inspire others to act# The leader must be able to change at a personal le*el and to
experience personal sacrifices because of the natural resistance of a system to experience
change# In this article, Puinn et al referred to 7leaders of social mo*ement acting as
insurgents to transform societies # # # Qften placing themsel*es in Aeopardy, they do $hat is
right rather than $hat is prescribed by existing la$s, rules, or authority \# # #]8(Puinn et al#,
())), p%-, and %-M"# The leaders description $as similar to the gi*en definitions of
positi*e de*iants# In fact, in ())% Puinn during an inter*ie$ used the term 102
70e*iance is generally *ie$ed as a bad thing# But on one end of the cur*e, $e find
de*iance in the form of excellence# # # ystems dont li+e either positi*e or negati*e
de*iance, though, and are designed to crush both8 (par+s, ())%, p# 4&"#
Puinn during this inter*ie$ explained that the 10 approach could be used in the
scholar system to impro*e education and to lead organizational change# Wo$e*er, he did
not pro*ide a model or theoretical frame$or+, but he expanded the 10 theory by
introducing the leader figure#
+.+././. Moral ima5ination in -ositi:e 9e:ian6e
4)
Lrnold and Wartman explored a ne$ field for the 10 concept# The authors applied
10 to s$eatshop issues# In doing so, they highlighted the potential of replicating 10s
beha*iors for de*eloping, or disco*ering better solutions to s$eatshop practices# Wartman
and Lrnold lin+ed the concept of moral imagination to positi*e de*iants# The authors define
moral imagination as follo$ing2
75oral imagination is the subset of imagination that has as its subAect explicitly
moral constructions# It is moral imagination that permits us to create possible
$orlds that are either morally better or $orse than the $orld as $e find it8 (Lrnold
and Wartman, ()),, p# 4(S"#
In other terms, moral imagination allo$s indi*iduals to go beyond established
limits, to @uestion economic, political, social, cultural structures or e*en an entire system#
These 7special indi*iduals8 or de*iants ha*e the ability to compare and contrast systems
and structures, increasing the number of possibilities of decision and choice# The authors
state that multinational companies (5NC" can also be positi*e de*iants# 7# # # \5NCs] that
de*iate from specific norms in praise$orthy $ays # # # de*iance can occur in reference to
both strategic and legal norms \# # #] (Lrnold and Wartman, ())-a, p# ()M"#

Lccording to the authors, certain firms under pressure or for reasons imposed on
them ma+e uncommon choices to sol*e radical issues, $hich distinguish them from other
firms in the same industry# 0ecisions can de*iate a 5NC positi*ely or negati*ely from an
industry, and it is the firms moral imagination that acts as the mechanism by $hich a firm
$ould decide to perform a [moral leap to$ards positi*e de*iance#
7^ positi*e de*iants ha*e used creati*e approaches to global labour
practices in order to mo*e beyond s$eatshops and to pro*ide $or+ers $ith
$ages and $or+ing conditions that respect their basic human dignity#8
(Lrnold and Wartman, ())-a, p# ()M"#
4%
To explain ho$ these 710 companies8 had ta+en positi*e de*iant decisions, the
authors examined s$eatshop issues in the apparel and foot$ear sectors in de*eloping
countries# Lrnold and Wartman (()),, ())-a, ())-b" explained that 10 firms $hich
respected the rights of $or+ers remain competiti*e in an industry $here s$eatshops are a
relati*ely common and a legal practice in certain countries# 10 firms increase their
employees loyalty and producti*ity by a*oiding s$eatshop practices, and at the same time,
consumers prefer to buy products from socially responsible firms#
The rele*ance of Lrnold and Wartman in the positi*e de*iance approach is their
explanation of ho$ the moral imagination ser*es as a mechanism to trigger 10 in
indi*iduals and organizations# Ne*ertheless, these authors did not describe a model or a
process about ho$ to repeat the 10 approach, or about ho$ companies specifically
addressed s$eatshop issues#
+.+./.*. TBe ;sy6Bolo5i6al 6on9itions for -ositi:e 'e:ian6e
preitzer and onenshein (())," pro*ided a theoretical foundation for 10 in the
boo+ Positive Organizational cholarship! Foundations o" a new discipline# These authors
pro*ided a ne$ definition of 10 and described the psychological conditions that contribute
to the gestation of positi*e de*iant beha*iors# The authors stated that 7at one extreme of the
cur*e \beha*ior cur*e] are negati*e beha*iors such as sabotage or theft that depart from
norms# # # the positi*e extreme of the cur*e# # # focuses on the best of the human condition,
the honorable and the extraordinary8(preitzer and onenshein, ()),, p# ()'"# Lccording to
them, a de*iant beha*ior must be intentional, *oluntary, done on purpose and not as an
accident, and secondly, it must be contrary to the norms of the de*iants referent group#
Vurthermore, preitzer and onenshein proposed fi*e psychological conditions that
facilitate positi*e de*iance2
Table 2. -sy6Bolo5i6al 6on9itions for -ositi:e 'e:ian6e
%# 5eaning# 7a\It] gi*es indi*iduals a reason to ris+ departing the norms of a
referent group# # # people that feel *ital feel more li+ely to initiate ne$
beha*ior8#
(# Qther-Vocus# 7In ta+ing the perspecti*e of others, positi*e de*iants are compelled
4(
by a desire to ser*e others rather than by a chance to achie*e personal glory8#
,# elf-determination 7Rhen people experience self-determination, they see
themsel*es in control of their o$n destiny 6their reasons for ta+ing action are
internalized rather than coerced by external forces8#
4# 1ersonal Efficacy# 7Rhen indi*iduals feel efficacious, they belie*e that the
potential for success out$eighs the possibility of failure8#
-# Courage# 71ositi*e de*iance often in*ol*es significant ris+ as indi*iduals brea+
out of the rigidity of norms and patterns of expected beha*ior# # # courage
pro*ides indi*iduals $ith the bac+bone to engage in positi*ely de*iant
beha*iors8#
ource2 preitzer and onenshein (()),"
Their theories contributed to clarifying the profile of an indi*idual $ho *oluntary
chooses to de*iate positi*ely from certain norms and standards# Ls positi*e de*iants create
positi*e impacts, more indi*iduals, or organizations, $ill tend to imitate 10 beha*iors and
o*er time, they can change norms and transform an entire system#
+.+./.2. -ositi:e 'e:ian6e an9 tBe Abun9an6e A;;roa6B
Zim Cameron co-$rote Positive Organizational cholarship in ()),# Cameron,
along $ith fello$ authors Puinn, 0utton and preitzer, $as interested in studying
successful outcomes in organizations, meaning the results of organizational performance
that go beyond the a*erage# Cameron suggested a $ay to represent successful outcomes
using a normal distribution cur*e# If the performance of an organization $ould be a cur*e
of normal distribution, see Vigure %, the left extreme $ould represent the ineffecti*e,
inefficient and harmful practices in an organization# In the middle the effecti*e, efficient
and healthy practices $ould be located# Qn the right extreme the extraordinary, excellence,
and fla$less practices $ould be represented3 it is on this last extreme of the cur*e that
positi*e de*iance practices are located#
4,
"i5ure ). A9a;te9 from Cameron et al. >+??/4 ;. 2/A
Cameron et al# (())," participated in research on the 1ositi*e Qrganizational
cholarship (1Q", a mo*ement $hich studies and researches the right extreme of the cur*e
(see figure %" on the organizational le*el# The 10 approach is one method proposed to
achie*e the excellence of the right side of the cur*e#
By ())M, Cameron and ?a*ine had examined an actual case from the positi*e side
of the performance line# In other $ords, they examined an organization $ith successful
outcomes and published the case in a boo+ titled $a%ing the &mpossi'le Possi'le! (eading
e)traordinary per"ormance! *he Roc%y Flats story# The boo+ describes a case in $hich a
company conducted the first clean-up in the $orld of a nuclear $eapons facility# This case
examines the solutions to numerous challenges# The cleaning company had to deal $ith an
=egati)e +e)iance =ormal Positi)e +e)iance
Indi)idual:
1hysiological Illness Wealth Rellness
1sychological Illness Wealth Vlo$
>rganizational
Effecti*eness Ineffecti*e Effecti*e Excellence
Efficiency Inefficient Efficient Extraordinary
Puality Error-prone !eliable Vla$less
Ethics Dnethical Ethical Bene*olence
!elationships Warmful Welpful Wonoring
Ldaptation Threat-rigidity Coping Vlourishing
!e*enues ?osses 1rofits /enerosity
>rientation: Problem sol)ing 4irtuousness
Illustrating Positi)e +e)iance
1opulation of indi*iduals or
organizations
Per"ormance
44
antagonistic relationship $ith the $or+force of a nuclear facility, high le*els of pollution on
an area o*er M,))) acres, and difficulty in accessing files and information due to the fact
that acti*ities in this nuclear plant $ere considered a matter of national security# The label
of national security on the nuclear facilities caused a lac+ of inspections, $hich led to a
*iolation of rules and secret pollution#
Lccording to Cameron and ?a*ine, the cleaning company had to adopt an
7abundance approach8 in order to complete its duty# The abundance approach refers to
replicating the best performance of 10 organizations and indi*iduals (Cameron and ?a*ine,
())M"# The positi*e de*iance approach focuses on replicating the conditions $hich in the
past had generated the highest potential and performance, rather than Aust focusing on
o*ercoming a maAor problem or challenge# The authors argue that by adopting the positi*e
and abundance approach, the cleaning company $as able to clean the facility in ten years at
a budget Aust o*er bM billion $hen the estimate $as S) years $ith a budget of b,M billion#
The positi*e de*iance and the abundance approach include fi*e components2
Table 0. TBe Abun9an6e A;;roa6B
Identify E.traordinary Success
0escribe pea+ experiences
Conduct an Analysis of Enablers
Identify enabler of the highest past performance
Identify ?o* to Create Sustainability
Identify $hat could be continued and replicated in the future
+esigning a Positi)e 2uture
0esign inter*entions that create an ideal future $ith extraordinary
performance
Basic Assumption
Qur Aob is to embrace and enable our highest potential
ource2 Cameron and ?e*in (())M, p# (&"
The abundance approach has close similarities $ith the models proposed by
C# ternin# Both models intend to identify and replicate 10 beha*iors de*eloped $ithin a
certain organization that succeeded in sol*ing a particular problem# The abundance
4-
approach $as used to help sol*e a concrete problem2 the clean-up of a nuclear facility#
ternins model $as de*eloped initially for community de*elopment, later he suggested his
10 model could sol*e issues in management# ternin states that an organization could
better in*est in loo+ing for positi*e de*iants in its o$n organization, rather than in*esting
great amounts of money and time in finding solutions from outside sources# Ln outsiders
proposed solutions and best practices might not necessarily $or+ for a corporation, because
they might not correspond to an organizations specific needs#
2.3. Recapitulation
The positi*e de*iance and abundance approach includes a frame$or+ grounded in a
management case $ith successful results# The theory behind the Cameron and ?e*in (())M"
model is complemented by the $or+ of other authors# The $or+ of 5# ternin et al# opened
up a ne$ field of application to 10 in sol*ing social issues# Before C# ternins $or+, 10
$as a concept used in the sociology field to define beha*iors outside the norm that
produced outstanding results# The Table S summarizes and compares the different models
proposed by the ternins#
Table D. Sternin=s -' mo9els
!" Sternin
et al#, (55&"
@" Sternin< in
+orsey< $%%%"
@" Sternin et al#<
$%%,
@" Sternin
and Pascale
$%%1#
The 9Si. +8s: "Retrie)ed
2ebruary $%< $%%& from
***"positi)ede)iance"org
%# Identification
of local
resources
%# 0o not
presume that
you ha*e the
ans$er
0EVINE the
problem and the
outcome of a
successful
program#
%# 5a+e the
group the
guru
%# 0efine the problem and define
$hat a successful
solutionOoutcome $ould loo+ li+e
(# Conducting a
situation analysis
$ith the
community
$hich has the
problem
(# 0o not thin+
of it as a dinner
party
0ETE!5INE if
there are
indi*iduals $ith
the community
$ho already
exhibit the desired
beha*ior
(#!eframe
problems
through facts
(# 0etermine if there are any
indi*idualsOentities in the
community $ho already exhibit
desired beha*ior
,# 1ositi*e
de*iance in@uiry#
,# ?et them do it
themsel*es#
0ICQ9E! the
uncommon
practices or
strategies that
enable the
1ositi*e 0e*iants
to succeed $hen
,# 5a+e it
safe to learn
,# 0isco*er uncommon
practicesObeha*iors enabling the
10s to outperformOfind better
solution to the problem than others
in their community#
4M
their neighbors do
not#
4# 0esign of a
program based
on 10 in@uiry
results#
4# Identify
con*entional
$isdom#
0EI/N an
inter*ention
enabling others in
the community to
access and
practice the 10
beha*iors#
4# 5a+e the
problem
concrete#
4# 0esign, implement acti*ities
enabling others in 7community8 to
access and practice ne$ beha*iors#
-# 5onitoring
and promotion
program#
-# Identify and
analyze the
de*iants#
- -# ?e*erage
social proof
-# 0iscern the effecti*eness of
acti*ities or proAect through
ongoing monitoring an e*aluation#
- M# ?et the
de*iants adopt
de*iations on
their o$n#
- M# Confound
resistance to
change
M# 0isseminate successful process
to appropriate [other#
- S# Trac+ results
and publicize
them#
- - -
- '# !epeat steps
one through
se*en#
- - -
The fi*e different models proposed by the ternins maintain a common premise#
The basis of his models remains in (%" identifying 10 beha*iors that sol*e an issue inside a
community, ((" encouraging the rest of the community to *oluntary embrace ne$
beha*iors, (," setting up a monitoring program, and (4" disseminating ne$ beha*iors to
outside communities# In addition, ternins *arious models are linearly de*eloped, meaning
that each step in a certain model can only be ta+en $hen the pre*ious step has been
completed# In other $ords, step t$o in ternins frame$or+ $ill start only $hen step one is
accomplished# Wo$e*er, I argue here that it is possible to underta+e multiple steps at the
same time once the cycle of 10 has to be repeated in the same community for sol*ing a
different issue or for reinforcing ne$ practices# I further propose that the 10 approach, in
order to be effecti*e, needs the leader figure mentioned by Puinn (())%" 3 a group of
people $ill be more $illing to experiment outlying beha*iors if a leader is there to moti*ate
and organize them#
Wartman and Lrnold (()),, ())-a, ())-b" lin+ed the concept of moral imagination
$ith positi*e de*iance# In doing so, they pro*ided an explanation of ho$ positi*e de*iance
is geared to indi*iduals and organizations# They also presented examples of ho$ 10 can
4S
sol*e management issues and ser*e as a tool for firms to distinguish themsel*es from their
competitors and remain profitable at the same time# preitzer et al# (())), ()),, and ())4"
proposed fi*e psychological conditions that an indi*idual re@uires to de*elop positi*e
de*iant beha*iors for brea+ing a$ay from norms# Vinally, Cameron et al# (()),, ())-,
())M" de*eloped a model capable of generating outstanding performance for sol*ing a
problem# 1ositi*e de*iance can be used to encourage organizational change3 ho$e*er,
researchers still ha*e not set firm boundaries on $hen and $here 10 can be used# Neither
do they mention the organizational structures and culture that facilitate the application of a
10 approach (Cameron, ())-"# Nor are there any indicators to measure positi*e de*iant
beha*iors# 1ositi*e de*iance is an approach that has been used only recently in
management issues3 therefore, its limits ha*e not yet been completely examined# Table '
summarizes the contributions of the maAor authors on positi*e de*iance#
Table .. -ositi:e 'e:ian6e Literature Re:ie8 Summary
Author !ain Contribution
Ben-Xehuda, Nachman(%&&)"
Wec+ert, 0ruann 5aria (%&'&"
0efinition# 1ioneers of 10 in the sociology field#
5# ternin et al# (%&&'" , C#
ternin et al (())), ())(, ()),,
())-"
1roposed a 10 model to sol*e health and management issues#
Puinn, !obert in par+s (())%" Introduced the leader figure in the 10 model as a +ey element to
disseminate positi*e de*iant beha*iors in a group of indi*iduals or
organizations#
Wartman, ?aura et al# (())-a,
())-b"
Explained the mechanism that allo$s positi*e de*iants to de*elop, to
perform better or to disco*er better solutions to issues than other
people $ho ha*e access to same resources# The authors state that moral
imagination allo$s indi*iduals to go beyond established limits, to
@uestion economical, political, social, cultural structures or e*en an
entire system# 1ro*ided examples of 10 on s$eatshop issues#
Rarren, 0anielle E (())," Contributed to illustrate 10 can be used to sol*e management issues#
preitzer et al# (())," 1roposed fi*e psychological conditions that facilitate positi*e de*iance
in indi*iduals# The authors contributed to add conceptual clarity to 10#
Cameron et al# (())-, ())M" Concei*ed a 10 approach that focuses to replicate the conditions,
$hich in the past had generated the highest potential, rather than Aust
focusing in o*ercoming a maAor problem or challenge#
+.*. Con6e;tual "rame8or7 ( -ro;osal
I belie*e that 10 can be used as a mechanism to encourage firms to *oluntarily
embrace C! practices on the basis that this approach is capable of trac+ing, replicating,
4'
and disseminating solutions that $ere created $ithin a community of firms addressing a
common issue# The conceptual 10 frame$or+ I put for$ard for disseminating C! is
sustained in the last of ternins frame$or+s# The 7ix 0s8 model (see Table S"
summarizes preceding *ersions of ternins approaches and has pro*en to succeed in
sol*ing social issues for the positi*e de*iant organization# 5oreo*er, I consider the leader
figure proposed by Puinn (())%" an essential agent to catalyze and guide creati*e solutions
$hich *iolate certain norms or taboos $ithin a community# This leader $ith his moral
imagination (Wartman and Lrnold, ()),, ())-a, and ())-b" must be cable of encouraging
other people to go beyond established limits and to disco*er ne$ creati*e solutions $ithin a
community or an organization# 1ositi*e de*iants in order to succeed in changing the norms
of a system need the follo$ing psychological conditions, as proposed by preitzer and
onenshein (()),"2 meaning3 other-focus3 self-determination3 personal efficacy3 and
courage# The conceptual frame$or+ I propose contains the follo$ing elements2
Table @. Con6e;tual "rame8or7( Elements
The 7ix 0s8# !etrie*ed Vebruary (), ())' from $$$#positi*ede*iance#org
o 0efine the problem (situation analysis" and define $hat a successful
solutionOoutcome $ould loo+ li+e#
o 0etermine if there are any indi*idualsOentities in the community $ho already exhibit
desired beha*ior#
o 0isco*er uncommon practicesObeha*iors enabling the 10s to outperformOfind better
solution to the problem than others in their community#
o 0esign, implement acti*ities enabling others in 7community8 to access and practice
ne$ beha*iors#
o 0iscern the effecti*eness of acti*ities or proAect through ongoing monitoring an
e*aluation#
o 0isseminate successful process to appropriate [other# hare de*iant beha*iors $ith
[community outsiders#
?eadership (Puinn, ())%"# 10 process can be facilitated through a leader#
The fi*e psychological conditions proposed by preitzer and onenshein (()),"2 meaning3
other-focus3 self-determination3 personal efficacy3 and courage#
1ositi*e Ethical 0e*iance inspired by 5oral imagination (Wartman and Lrnold, ()),, ())-a,
4&
and ())-b"
Dsing the elements in Table &, I propose the follo$ing conceptual frame$or+ as a
method to promote, enhance, and foster *oluntary engagement $ith corporate social
responsibility#
-)
"i5ure + Con6e;tual "rame8or7
I propose to use the practice-oriented 7M 0s8 model that is used by the 1ositi*e
0e*iance Qrganization (see table S"# This model includes six main steps that are supposed
to be se@uential3 ne*ertheless, I suggest that the steps can be underta+en simultaneously for
Inno*ation that
challenges current
models and ideas
A?> E=AB;ES C?A=BEC
A leader (Puinn, ())%" $ith fi)e psychological conditions (preitzer and
onenshein, ()),"2
1ossesses a meaning to change current establishment#
Exercises an other-focus perspecti*e, rather than Aust on personal goals#
Experiences self-determination in transforming ideas into facts#
Exerts personal efficacy to out$eigh failure possibilities#
1ossesses courage to o*ercome the ris+ of brea+ing norms rigidity#
!oral Imagination
(Wartman _ Lrnold3
()),, ())-a, and ())-b"
To promote< enhance< foster< )oluntary engagement
*ith CSR
?>AC
Positi)e +e)iance (C# ternin, The 7ix 0s8# !etrie*ed Vebruary (), ())' from
$$$#positi*ede*iance#org"
0efine the problem (situation analysis" and define $hat a successful
solutionOoutcome $ould loo+ li+e#
0etermine if there are any indi*idualsOentities in the community $ho already
exhibit desired beha*ior#
0isco*er uncommon practicesObeha*iors enabling the 10s to outperformOfind
better solution to the problem than others in their community#
0esign, implement acti*ities enabling others in 7community8 to access and practice
ne$ beha*iors#
0iscern the effecti*eness of acti*ities or proAect through ongoing monitoring and
e*aluation#
0isseminate successful process to appropriate [other# hare de*iant beha*iors $ith
[community outsiders#
-%
strategic reasons# L leader $ith all fi*e of the fi*e psychological conditions proposed by
preitzer and onenshein (())," 6 meaning, other-focus, self-determination, personal
efficacy, and courage 6 is capable $ith his or her moral imagination of de*eloping
inno*ations that challenge current models and ideas# I suggest that the inno*ati*e idea of
fostering *oluntary engagement among the business community is possible through positi*e
de*iance# The main theoretical frame$or+s dealt $ith in this chapter are presented in Table
%)# The follo$ing chapter explains the research design methods used for this study#
Table )?. TBeoreti6al "rame8or7 Summary
Theory !ain Thesis Conceptual boundary
Corporate ocial
!esponsibility
Virms can strategically manage
their legal and *oluntary
responsibilities for contributing
to building a sustainable society#
C! does not explain by $hich means
firms $ill *oluntary go beyond their
legal responsibilities#
The Ne$
Institutional
Infrastructure
L ne$ *oluntary institutional
infrastructure of C! has
arisen3 its pressure mechanisms
(mar+etObusiness, ci*il society,
and stateOgo*ernment" are
encouraging firms to be socially
responsible#
The ne$ institutional infrastructure is a
recent approach $hich describes ne$
pressure mechanisms to encourage firms
to be socially responsible3 ho$e*er, this
approach does not go further in
explaining concrete action strategies or
models for *oluntary change#
1ositi*e
0e*iance
Extraordinary outcomes
produced by beha*iors outside
the norm can be replicated and
adopted *oluntarily by
indi*iduals and organizations to
sol*e management and social
issues#
Virm limits on 10 application ha*e not
yet been set# There is no mention of the
organizational structures or cultures that
facilitate the application of 10# There
are no indicators to measure 10
beha*iors#

Llthough, positi*e de*iance is a ne$ approach recently used in management it has
been pro*en in practice to be useful by encouraging both indi*iduals (5# ternin et al,
%&&'" and organizations (Lrnold and Warman, ()),, ())-a, and ())-b" to adopt ne$
*oluntary beha*iors that do not follo$ mainstream# In doing so, organizations and
-(
indi*iduals can in*ol*e others in creating inno*ati*e solutions to address a certain problem
(i#e# s$eatshop practices, health issues"# It is this specific characteristic the lin+ bet$een the
C! theory and positi*e de*iance, thus C! has become a *oluntary (1as@uero, ())-" and
strategic choice (1orter and Zramer, ())M"# Vurthermore, Yade+s (())4" states that during
the last stage of a firms learning cur*e of C!, a company has first to fulfil an indi*idual
change by realizing that C! assists in creating a competiti*e ad*antage# In $ill be Aust
after accomplishing a change at an indi*idual le*el that a firm then $ill be able to mo*e
for$ard to $hat Yade+ (())4" denominates the fifth implication le*el of C!, $hich is to
encourage more companies to *oluntarily adopt C! for strategic reasons# Wo$e*er,
neither Yade+ (())4", nor 1as@uero (())-" did not explain the mechanisms by $hich a
company $ill in*ol*e more companies into responsible practices#
1ositi*e de*iance is the model I put for$ard for explaining ho$ to foster *oluntary
engagement among the business community# Theories such as social entrepreneurship and
leadership $ere considered for explaining by $hich means an indi*idual or a firm can
in*ol*e others in uncon*entional proAects that do not follo$ dominant practices or beliefs#
ocial entrepreneurship is a recent approach that attac+s almost any social problem and that
is used by many authors $ith different meanings, thus creating ambiguous concepts and
raising @uestions of *alidity and reliability (!aufflet, Berranger and Lguilar-1latas, ())'"#
?eadership theories $ere interesting for explaining ho$ a group of indi*iduals and
organizations can both be gathered and mobilized to$ard creating an inno*ati*e solution
for a problem# Wo$e*er, since Puinn (())%" integrated the leader figure in positi*e
de*iance and preitzer and onenshein (())," described psychological conditions that
contribute to the gestation of 10 beha*iors, I decided to relate positi*e de*iance $ith C!#
Xet, 10 has limitations and its frontiers ha*e not been established yet# Ne*ertheless, I
belie*e that by de*eloping this inno*ati*e approach, I can encourage other researchers in
studying and broadening the positi*e de*iances conceptual boundaries#
/. Resear6B 'esi5n an9 MetBo9s
-,
In this chapter, I introduce the research and design methods used in this research for
collecting empirical data and information and for conducting semi-structured inter*ie$s in
ao 1aulo, Brazil#
Lccording to Xin (()),", the research design has to be a connected logical se@uence
of the empirical data collected and then the original research @uestion $ill allo$ the
researcher to establish research conclusions# In this chapter, I $ill present (%" the research
@uestion, ((" the research interest, (," the research strategy, (4" the research methodology,
(-" the data analysis strategy, (M" the focus and theoretical concerns, (S" the case *alidity,
and ('" the inter*ie$ protocol# Table %% summarizes the research methods used for this
research#
Table )). Resear6B metBo9s 3 Summary.
%# Exploratory
research @uestions
-Empirical @uestion2
Wo$ to explain Ethoss $ide C! dissemination $ithin the
business sector in Brazilc
-Theory @uestion2
0oes a conceptual frame$or+ based on positi*e de*iance
contribute to creating a context for disseminating C! $ithin
the business community in Brazilc
(# !esearch interest Inducti*e research
,# !esearch trategy Xin (())-" case study
4# Pualitati*e
5ethod
%' semi-structured inter*ie$s, from %- to &) minutes
long each#
econdary ources#
-# 0ata analysis Narrati*e analysis through inter*ie$s, stories and anecdotes
(Xannis and /riffths, ())4"#
3.1. Exploratory Research uestions
-4
The central obAecti*e of this thesis is to ans$er the follo$ing @uestion2 ?o* to
e.plain Ethos8s *ide CSR dissemination in Brazil *ithin the business sector in BrazilC
To ans$er this @uestion $e decided to do an inducti*e study of the positi*e de*iance
literature# In this $ay, an additional theory @uestion emerged: +oes a conceptual
frame*orD based on positi)e de)iance contribute to creating a conte.t for
disseminating CSR *ithin the business community in BrazilC
Vrom a theory perspecti*e, this research attempts to illustrate ho$ the concept of
positi*e de*iance can be used to create a context to engage companies in corporate social
responsibility# In fact, the concept of positi*e de*iance has been used mainly to promote
community de*elopment# Wo$e*er, I $ill attempt to determine the circumstances and the
+ey persons at Ethos in*ol*ed in creating a context for C! in Brazil using a positi*e
de*iance model#
Empirically, the interest of this research is to present a detailed case in $hich the
focus is on ho$ to understand the mechanisms of in*ol*ing a business community $ith
C!# The significance of the case is that this business community accounts for ,- . of
Brazils /N1# The results of this research are thus aimed at encouraging other researchers
in studying more cases that contribute to encouraging companies to adopt C!# 5oreo*er,
this research $ill help in creating ne$ alternati*e solutions created by pri*ate sector
stemming from positi*e de*iance to extend the reach of C!#
3.2. Research !nterest
Ls mentioned abo*e, this empiric case $ill not ser*e to deducti*ely *alidate a
theory# Virst, a research @uestion $as articulated, and then inter*ie$s and data $ere
collected before re*ie$ing the literature# This research is thus inducti*e3 and the literature
$as re*ie$ed a posteriori in order to understand the collected data#
3.3. Research Strate"y
--
Empiric Euestion:
Wo$ to explain Ethoss $ide C! dissemination in Brazil $ithin the business sector
in Brazilc
Theory Euestion:
0oes a conceptual frame$or+ based on positi*e de*iance contribute to creating a
context for disseminating C! $ithin the business community in Brazilc
In order to +no$ $hich in*estigation strategy $as the best for this study, I identified
the category for the research @uestion# Lccording to Xin (()),", the proposed research
@uestion is presented in the form of a 9?o*: @uestion# 7Wo$ and $hy @uestions are more
explanatory and li+ely to lead to the use of case studies, histories, and experiments as the
preferred research strategies8 (Xin, ()),, p# M"#
Xin proposes different research strategies based on three central conditions2
- The type of research @uestion posed3
- The extent of control an in*estigator has o*er actual beha*ior e*ents3
- The degree of focus on contemporary as opposed to historical e*ents#
In the case of this thesis, the research @uestion is explanatory and as+s about lin+s
o*er time in the historical e*olution of the Ethos Institute# econdly, I do not exert any
control o*er the actual or past history of this non-profit organization# Vinally, I had access
to +ey people $ho played a +ey role in the foundation and e*olution of Ethos# In addition, I
consulted secondary sources such as historical data, files, boo+s, articles from %&&' to ())S
about the Ethos Institute# The case study as a research strategy $as appropriate to co*er the
contextual situations of Ethos# Vor these reasons, I decided to adopt the case study as the
research strategy for this study#
3.#. Research $etho%olo"y
-M
Pualitati*e methods $ere used in this study# To ans$er the research @uestion, it $as
necessary to explore the organizational dimensions of the Ethos Institute that sustained its
gro$th and success# This research explored Ethoss internal structure by inter*ie$ing
employees at different le*els, external sources, such as expert scholars in Brazilian
Corporate ocial !esponsibility and executi*es from enterprises registered as Ethos
members# 5oreo*er, $e had the opportunity to attend the International C! conference
that Ethos organizes e*ery year, the biggest of its +ind in ?atin Lmerica# The @uestions
research dimension $as committed to exploring the description of specific phenomena
(Dsinier et al#+ ()))"# The research methods needed to re*eal inducti*ely different *ie$s of
the studied phenomena# The research methodology assisted me in collecting data and
information from different indi*iduals and situations related to the social phenomena# In
doing so, an inducti*e analysis enabled me to understand the social phenomena and ans$er
the research @uestion#
Before conducting research in situ in ao 1aulo, the research methods,
@uestionnaire and all the documents demanded by the !esearch and Ethics Committee
(Comit: d<:thi@ue de la recherche, CE!" $ere submitted and appro*ed # This research
assured the confidentiality of all opinions from the people in*ol*ed# No information that
could re*eal the identity of any participant $ill be disclosed by the people in*ol*ed in this
research#
3.&. Data 'nalysis
To analyze the collected information it $as necessary to ma+e a chronology of the
e*olution of Ethos Institute from %&'4 to ())M# The information collected in inter*ie$s and
documents $as mapped for constructing a detailed narrati*e of the e*ents surrounding the
foundation and e*olution of Ethos Institute# This strategy applies to case studies (Xannis
and /riffiths, ())4"# L narrati*e strategy allo$s us to understand the general context in
$hich Ethos $as founded, and to identify patterns among data to be trac+ed, analyzed and
integrated# Rhen the narrati*e $as completed, it $as necessarily to match e*ents and dates
-S
$ith secondary sources such as the a*ailable material in the Ethos $ebsite, Ethos
publications, C! academic articles and internet articles# The data collected from primary
sources $as then matched $ith the secondary data, $hich made it possible to identify
patterns and to ans$er the research @uestion# In doing so, I had the elements to $rite a
narrati*e, $hich is chapter four#
In order to guarantee this researchs reliability, I $rote a data protocol, a synthesis
of each article consulted, and notes for e*ery inter*ie$# Lfter$ards, the information and
results $ere discussed $ith the director of this thesis, and I $rote notes about those
discussions#
Table )+. TBeory <uestion an9 9ata sour6es
!esearch @uestion
0ata sources
Wo$ to explain Ethoss $ide C! dissemination $ithin the
business sector in Brazilc
Wistorical data Lrchi*al data about the Ethos Institute e*olution and
foundation#
emi-structured
inter*ie$s
Inter*ie$ $ith Ethos s collaborators or any person closely
related $ith the e*olution and foundation of the Ethos
Institute#
3.(. )ocus an% theoretical concerns o* the research
The Ethos Institute since %&&' has ser*ed to promote socially responsible business
practices in Brazil3 e*en though those practices de*iate from the standard business practices
in Brazil, the business community has gradually adopted them# This study focused on the
proposition that the Ethos Institute has been encouraging national, multinational and small
enterprises to enhance their C! practices using a positi*e de*iancy approach# The
research focus $as on understanding ho$ the Ethos Institute has spread the concept of and
commitment to C! practices to more than %,()) Brazilian companies# Therefore, I not
only collected rele*ant historical information about the e*olution and founding of the Ethos
-'
Institute, I also collected information on and conducted inter*ie$s $ith the *arious
sta+eholders $ho participated in or influenced the Institute#
3.+. Case ,ali%ity
In order to establish *alidity, I accessed multiple data sources such as historical
files, and inter*ie$ed Ethos Institute $or+ers, members and different sta+eholders# By
accessing multiple data sources, I triangulated e*idence from different perspecti*es#
0ifferent patterns from the collected e*idence allo$ed me to better understand the model
behind the Ethos Institutes success and to *alidate the case data# Lccessing multiple data
sources helped to understand different organizational dimensions, organizational *alues,
and an outsiders and an insiders *ision of Ethos as an organization#
emi-structured inter*ie$s $ere conducted $ith former employees and persons
closely related $ith the e*olution and founding of the Ethos Institute# Inter*ie$s $ere part
of the primary material for this research# Eighteen inter*ie$s $ere conducted# Eight
inter*ie$s $ith people $or+ing in the Ethos Institute, one ex-Ethos employee, and three
executi*es from enterprises registered as Ethos members, fi*e expert scholars in Brazilian
Corporate ocial !esponsibility from the Brazilian Business Dni*ersity Vundadeo /etulio
9argas (V/9", and one person $or+ing for a non-profit organization similar to Ethos,
1NBE, the 1ensamento Nacional das Bases Empresariais (National Thin+ing on the
Business Community"# (ee Table %& in Lppendix for the summary of inter*ie$s#"
L$areness about the collection of data during the inter*ie$ is highly recommended
in order to construct *alidity and to de*elop a broader context# Xannis and /riffiths (())4"
agree that narrati*es collected in organizational research are tools that can contribute to
enrich the storytelling process and the research itself# Ne*ertheless, if the research is
conducted using only this techni@ue, the results $ill be ris+y and limited in terms of
scientific *alidation# !esearchers $ho use only narrati*es from inter*ie$s must use
alternati*e tools such as secondary or primary sources to sustain their research arguments3
other$ise, they run the ris+ of finding ambiguous results, thus raising @uestions of *alidity
-&
and reliability# To a*oid this ris+, the information collected during the inter*ie$s $as
re*ised $ith secondary sources#
3.-. Con%uctin" !nterviews
Lccess to conduct inter*ie$s $as facilitated by an insider from the Ethos Institute
and personal contacts from a confidential source# The inter*ie$s $ere conducted face to
face in ao 1aulo# Eighteen inter*ie$s $ere conducted in total# e*enteen inter*ie$s $ere
conducted in Brazilian 1ortuguese, and one inter*ie$ $as conducted in English because the
inter*ie$ee felt more at ease in English# The inter*ie$s $ere tape-recorded and none of the
participants obAected to this procedure# The collected information $as then rated in a
confidential manner# Lll persons $ho had access to this information, including the thesis
director, signed a confidentiality agreement to this effect# The tape recording and
transcriptions are +ept in a secure place# No information that could re*eal the identity of
any participant $ill be disclosed# The purpose of the inter*ie$s $as to document aspects of
the Ethos Institute that $ill not be a*ailable in $ritten documents# L second purpose $as to
study the experience of the participants and to map patterns in the founding and e*olution
of the Ethos Institute# The criteria by $hich inter*ie$ees $ere chosen included $hether the
persons $ere or had been a +ey element in the Ethos Institutes founding and e*olution#
Lnother important factor $as being referred by a sta+eholder# The expertise of the
participants in regards to the research subAect $as considered as an important factor#
/...). Euestionnaire to 6on9u6t inter:ie8s
Ln open protocol of @uestions $as used to obtain the information and data to map
different collaborations in the foundation and e*olution of the Ethos Institute# The
inter*ie$s $ere semi-structured# To establish trust among the participants a pre*ious
informal chat $as necessary# Information related to our trip and impression about Brazil
$as first discussed, then $e explained the confidentiality protocol3 after that $e as+ed
permission to tape record the inter*ie$, and no participants obAected# The @uestionnaire
used during this research can be consulted in the Lppendix of this study#
M)
/...+. Se6on9ary Sour6es
!esearch $as conducted using the +ey$ords Ethos, Qded /raAe$, Corporate ocial
!esponsibility, 1ositi*e 0e*iance, in the follo$ing sources2
Brazilian business magazine E)ame from ())) to 5ay ())S#
Lcademic Brazilian publication !LE (Revista de ,dministra-.o de
Empresas" from ())) to ())S#
Lcademic Brazilian publication from the LN1L0 (Lssociadeo nacional de
pHs-graduadeo e pes@uisa em administradeo 6National 1ostgraduate
Lssociation for 5anagement !esearch" from ())) to 5ay ())S#
0ocuments and articles found using the $eb search engine /oogle, t$o
*ideos on XouTube about Qded /raAe$#
Boo+s, archi*al data, pamphlets and contextual data $ere pro*ided by the
Ethos Institute specifically for this research
%,
#
Electronic data bases CTQ!, 1ro@uest, Else*ier $ere consulted to obtain
academic articles for the literature re*ie$#
Boo+s and documents from the libraries of WEC 5ontreal, Dni*ersity of
5ontreal, 5c/ill, and the Brazilian Business Dni*ersity Vundadeo /etulio
9argas (V/9" $ere consulted#
This chapter presented the research methods and research @uestions of this study#
The next chapter describes the Brazilian context prior to the founding of the Ethos Institute,
the process used in the founding of the Institute, and the strategies that Ethos has de*eloped
to disseminate C!#
*. A !raFilian mo9el of Cor;orate So6ial Res;onsibility,
TBe 6ase of tBe EtBos Institute
%,
This material does not contain pri*ate or confidential information from the Ethos Institute or its members#
M%
Rhile most theories and models of corporate social responsibility ha*e been
gestated in de*eloped countries, one model $as created in a de*eloping country, Brazil# In
Brazil, the Ethos Institute model $as de*eloped by Qded /raAe$, a person $ho has used
business s+ills to help sol*e social problems as *aried as childrens lac+ of rights, and
en*ironmental degradation# In %&&', /raAe$ founded an organization to promote Corporate
ocial !esponsibility (C!" practices among more than %,()) small business and
multinational companies# These companies account for approximately ,-. of Brazils /01
and employ some ( million people#

The present chapter describes the model of the Ethos Institute and the story of
/raAe$3 both stories are intert$ined# /raAe$s Aourney, based largely on his o$n *ision, in
putting a C! theory into practice, needs to be illustrated in order to understand his purpose
in *enturing to set up the Ethos Institute# The first section describes /raAe$s bac+ground
and the historical climate prior to the founding of the Ethos Institute# The second section
outlines the four stages of the Institutes de*elopment2 (%" The first stage describes both the
founding of the Ethos Institute in %&&' and the establishment of its mission and
organizational *alues# ((" Vrom %&&& to ())%, Ethos created the context for raising
a$areness on C! in Brazil# (," Vrom ())( to ()), the organization $idened its alliances
for better disseminating C! practices# (4" Vrom ())4 to ())M, Ethos challenged its
members to address social issues, such as po*erty, hunger, and mortal diseases in order to
build a sustainable and Aust society#
#.1. .he context in /ra0il prior to the *oun%in" o* Ethos
In %&-', Qded /raAe$ arri*ed in ao 1aulo, Brazil from Israel, $ith his family at
the age of t$el*e# Three years later, his father died and he had to become the head of his
family# 0espite the familys financial problems, he obtained a diploma in Electrical
Engineering at the 1olytechnic Dni*ersity of ao 1aulo# ubse@uently, /raAe$ and three
friends, in the midst of a dictatorship (%&M4-%&'4" decided to start a toy company in %&S(,
/row 0ogos e Brinquedos #,# (/ro$ Toys and /ames" $hich soon became a success#
M(
Brazilian society $as ruled by a military dictatorship that limited political and economic
freedom, creating huge social disparities bet$een the rich and the poor#
Brazil is the fifth-largest country in the $orld by area ('#- million +mf" and the fifth
most populous $ith %', million people# It also has one of the ten largest economies in the
$orld# Xet the income distribution among the richest () percent and the poorest () percent
of people in Brazil re*eals one of the highest le*els of social ine@uality in the $orld# ince
%&'%, according to the Dnited Nations research institute for social de*elopment, () percent
of the poorest people ha*e only (#M percent of the total income, $hile the top ten percent of
the $ealthiest Brazilian people ha*e 4S#M percent# Rhen the dictatorship came to an end in
%&'4, people had to face these distressing conditions of ine@uality in a climate of *iolence,
racism, and se*ere po*erty# 1eople $ere desperate for access to basic freedoms and hoping
that democratic processes $ould slo$ly come bac+# By %&'S, in an impro*ed economic
climate, /raAe$ $ith other businessmen founded a non-profit organization called
1ensamento Nacional das Bases Empresariais (1NBE, translated roughly as 7The thin+ing
of the National Business Community8" as a $ay of contributing to Brazils de*elopment#
1NBEs business entrepreneurs realized that the tate $as too inefficient, bureaucratic and
corrupt to handle the issues Brazil $as facing# The 1NBE, acting as a thin+ tan+
%4
, became
one of the first forums for the business community to debate issues li+e business ethics,
corruption in go*ernment, democratic reforms and sustainable de*elopment# Ln academic
close to the e*ents and to /raAe$ himself, tal+ed about the situation prior to the founding of
the 1NBE,
7Brazil has a history of military re*olutions and businessmen $ere all aligned $ith
this model# The 1NBE $as \^] a ne$ businessmen generation, $ith a ne$
perspecti*e2 democracy \^] and $ith a progressi*e *ision#8 (Inter*ie$, Cune -,
())S"# \Lll translations are mine unless other$ise stated#]
%4
5erriam-Rebster (())S"#8Thin+ tan+2 an institute, corporation, or group organized for interdisciplinary
research (as in technological and social problems" gcalled also thin+ factory8#
M,
0uring another inter*ie$, a scholar also close to the e*ents and the people in*ol*ed,
commented2
71NBE $as born $ith \# # #] a *ision from certain businessmen $ho $anted to rebel
and began to rebel against the military dictatorship# \# # #] (Inter*ie$, Cune -, ())S"8
By %&&), 1ensamento Nacional das Bases Empresariais (1NBE" proposed and
signed a 7ocial 1act8 aimed at controlling inflation, reducing economic instability and
promoting national de*elopment
%-
bet$een the CNI (Confederadeo Nacional de Industria,
National Confederation of Industry", CNL (Confederadeo Nacional de Lgricultura,
National Confederation of Lgriculture", CNC (Confederadeo Nacional de Com:rcio", CDT
(Central hnica dos Trabalhadores, Dnified Trade Dnion Vederation of Brazil", and
VEB!LBLN (Vederadeo Brasileira dos Bancos, Brazilian Vederation of Ban+s"# 1NBE
negotiated $ith the Brazilian go*ernment to *alidate the ocial 1act
%M
3 ne*ertheless,
1resident Vernando Collor did not recognize it and e*entually it failed# Llthough the pact
failed, this initiati*e to pro*o+e changes in go*ernment and companies set up an important
precedent# Business entrepreneurs and leaders realized they had the resources to address
social, economical and en*ironmental issues# In addition, they realized that the go*ernment
$as lac+ing the resources and sometimes the influence they had# 1eople participating in
1NBE understood the potential role they had for sol*ing social issues in their country# The
originality of 1NBE stemmed from the consensus of its members to act as a force to find
solutions rather than $aiting passi*ely for an ans$er from Brazils go*ernment#
%-
Valconer, Lndres (())4"# Qded /raAe$2 L ne$ type of Business ?eadership is possible# ynergos Institute
in Cooperation $ith the Brazilian Lssociation of ?eadership 0e*elopment# Ne$ Xor+, ynergos
Institute# %%p# !etrie*ed %% Canuary, ())' from
http2OO$$$#synergos#orgObridgingleadershipOcasestudiesOodedTgraAe$TB#pdf #
%M
Ibid#
M4
In %&&), /raAe$ founded the Lbrin@ Voundation
%S
$ith the collaboration of the toy
manufacturing industry
%'
7to promote defense of the rights and the exercise of citizenship
for children and adolescents8
%&
# We called on the business community to defend the rights
and impro*e the education of children and adolescents in Brazil# The programs of the
Lbrin@ Voundation included a 7Child-friendly8 certification for companies $hich helped in
promoting the engagement of society on the issues surrounding children in Brazil, such as
child labor and illiteracy#
1olitical factors changed the climate in Brazil# In 5ay %&&%, 1resident Collor $as
accused by 1edro Collor, his brother, of corruption
()
# In %&&(, Collor resigned as president
and his *ice-president, Itamar Vranco, replaced him for the remainder of Collors term#
Vranco could not control the economic crisis and the inflation rate in %&&( $as %,))).#
The follo$ing year, the annual inflation rate $as (,S)).
(%
# In the midst of this crisis, in
%&&,, /raAe$ decided to lea*e /ro$ to dedicate himself full-time to the Lbrin@
Voundation# 0uring this period, the N/Q became more acti*e in Brazil# In %&&4, Cardosos
go*ernment proposed the creation of the program $.os 1 O'ra Brasil (et to Ror+ Brazil"
designed to enlarge the participation of society and the state for reducing social ine@uality#
This state policy contributed to the establishment of the so-called 7tercero sector8 (third
sector" $hich is in fact a term to describe Brazilian organized society (Cappellin and
/iuliani, ())4"#
#.2. 111-2 .he *oun%in" o* the Ethos !nstitute
In the follo$ing years, /raAe$ $or+ed in the Lbrin@ Voundation and continued his
acti*ities $ith the 1NBE# Wo$e*er, in %&&S /raAe$ decided $ith his $ife to ta+e a
sabbatical year to tra*el in Europe and the Dnited tates# 0uring this trip, /raAe$ met both
%S
In ())S the Lbrin@ Voundation included -,4M% indi*iduals and companies# http2OO$$$#fundabrin@#org#br,
consulted eptember (M, ())S#
%'
/urgel, Cecilia3 !aufflet, Emmanuel (())S", Bridging Business and ociety2 The Lbrin@ Voundation in
Brazil# Cournal of Business Ethics, 9ol# S,, Ni# %, ())S , pags# %%&-%('#
%&
http2OO$$$#fundabrin@#org#br, consulted eptember (M, ())S#
()
http2OO*eAa#abril#com#brOar@ui*oT*eAaOcapaT%S),%&&,#shtml, consulted eptember (M, ())S#
(%
Verreira, 0enise Ll*es (()),"# Brazilian exchange rate policies in the nineties# The 5iner*a 1rogram,
/eorge Rashington Dni*ersity, Institute of Brazilian Issues# Rashington, 0C# 4)p#
M-
$ith people from organizations $ho $ere primarily addressing social issues and $ith
people from the business community concerned $ith social issues# The experience inspired
him to create at the end of %&&S the Ethos
((
Institute in Brazil, de*oted to disseminating
Corporate ocial !esponsibility (C!" practices throughout the business community#
In %&&S, at an e*ent of the Lmerican Lssociation for Business ocial
!esponsibility
(,
(B!" in 5iami, /raAe$ proposed the idea of creating in Brazil the Ethos
Institute to a number of business entrepreneurs 6most of $hom used to be in*ol*ed $ith
1NBE-, such as Welio 5attar, Lntoninho 5armo Tre*isan
(4
and /uilherme ?eal
(-
, $hom
/raAe$
(M
considered to ha*e an 7ad*anced social consciousness8 (/raAe$, personal
communication, Cune ())S"# The result of this meeting $as the creation of the Ethos
Institute, a non-profit organization founded to spread corporate social responsibility and
encourage the pri*ate sector to internalize it# /raAe$ became the president of Ethos Institute
and the other business entrepreneurs $ith influence and contacts in the Brazilian business
community became the Ethoss board members# L middle manager, $ho has $or+ed $ith
Ethos since ())(, recalls the historical importance of this meeting2
7It $as born \Ethos] $ith the interest from these people \called by /raAe$ for a
meeting] to modify the social and en*ironmental situation of the country# It
consisted of people $ho understood that enterprises are entities that mobilize great
@uantities of resources, financial resources, \# # #] that ha*e an important place in
media and po$er $ith go*ernment# They \Ethoss founders] understood that
companies hold a lot of po$er in society \# # #]8 (Inter*ie$, Cune M, ())S"
((
5erriam-Rebster (())S"#7Ethos, from /ree+ 2thos# The root is the /ree+ ethi%os (jklmn", meaning
7moral, sho$ing moral character8# In rhetoric, the character or emotions of a spea+er or $riter that are
expressed in the attempt to persuade an audience# It is distinguished from pathos, $hich is the emotion the
spea+er or $riter hopes to induce in the audience8#
(,
7ince %&&( Business for ocial !esponsibility (B!" pro*ides socially responsible business solutions to
many of the $orld<s leading corporations# Wead@uartered in an Vrancisco and $ith offices in Europe and
China, B! is a nonprofit business association that ser*es its (-) member companies and other /lobal %)))
enterprises8# http2OO$$$#bsr#orgO consulted Qctober %(, ())S#
(4
Welio 5attar and Lntoninho 5armo Tre*isan mentioned as Ethos founders in
http2OO$$$#ethos#org#brO0es+top0efault#aspxcTabI0o,,&,_LliasoEthos_?angoen-D, consulted Qctober
%,, ())S#
(-
1resented as an Ethos founder in the document http2OO$$$#ces#fg*sp#brOar@ui*osO1L?ET!LNTE#pdf
from the V/9 sustainability research center, consulted Qctober %,, ())S#
(M
Ibid#
MM
/raAe$ decided to mobilize the business sector because, in his o$n $ords, he
belie*ed 7the business sector is the most po$erful sector in society# Qf the hundred greatest
economies in the $orld, fifty-one are businesses#8
(S
# /raAe$ understood that companies had
the potential and influence for contributing to sol*ing social issues in Brazil# The next step
for /raAe$ and the directors of Ethos $as to de*elop +no$-ho$ in C! in order to
establish strategies, $hich $ould enable this organization to function# In %&&', Ethos made
a strategic alliance $ith Business ocial !esponsibility (B!", $hich helped in setting the
organizational basis to start operations# Rith these ne$ ideas, in %&&', Ethoss fifteen board
members discussed for approximately three months in order to determine the *ision, goals
and a mission for this ne$ organization# The result $as the follo$ing mission2
pTo mobilize, encourage and help companies manage their business in a socially
responsible $ay, ma+ing them partners in building a sustainable and Aust society
('
p#
This statement is used as a directi*e and is utilized in the decision ma+ing process
$ithin the institution# Ln Ethoss middle manager commented during an inter*ie$2
7Qded maybe $ill say to you2 7Rord by $ord of Ethoss mission $as carefully
thought and discussed8# It is a mission that is clear and explains itself by its
obAecti*es8 (Inter*ie$, Cune M, ())S"#
In Brazil, philanthropic programs had been common in companies and C! ris+ed
being percei*ed as a synonym of philanthropy# Therefore, Ethos decided to pro*ide
information to Brazilian society and to companies about C! and its benefits, such as
consumer loyalty, better human resource management, and contributions to en*ironmental
impro*ement and sustainable de*elopment# To accomplishing this mission, Ethos
encouraged companies to adopt C! $hile impro*ing their corporate image and
competiti*e ad*antages# In other $ords, Ethos decided to use C! to fulfill its mission
(S
Qded /raAe$# Beyond Corporate ocial !esponsibility# (())M"# http2OO$$$#youtube#comO$atchc*o)-
apLgYCRXI consulted 5ay ((, ())S#
('
http2OO$$$#ethos#org#brO0es+top0efault#aspxcTabI0o,'&)_LliasoethosEnglish_?angopt-B! consulted
eptember ((, ())S#
MS
$hile encouraging the creation of a competiti*e ad*antage based on socially responsible
actions# The definition of corporate social responsibility pro*ided by Ethos can be
translated as follo$s2
7The Ethical and transparent relationship of companies $ith their sta+eholders for
the establishment of common goals on the basis of2 sustainable de*elopment,
natural and cultural resources preser*ation for future generations, $hile respecting
di*ersity and promoting reduction of social ine@ualities8
(&
#
This definition encompasses three main axes, $hich denote the type of C!
disseminated by Ethos2 (%" The concern for promoting ethics and transparency among
companies3 ((" the proposal for establishing common goals bet$een companies and society
to$ards shared issues3 and (," on the commitment to sustainable de*elopment# The
follo$ing section describes some of Ethoss strategies for raising C! a$areness#
Becoming a member of Ethos is relati*ely easy# L company has to fulfill easy
re@uirements2 pay a small fee3 commit to participating in some of the organizations
acti*ities3 and not use the organizations logos or image as publicity or as socially
responsible certification# Ethos decided not to gi*e any certification to a*oid lobbying and
any association $ith industry or politics# The non-profit organizations acti*ities remain
focused on addressing societys issues $ithout expressing a political opinion# Being part of
Ethos means ha*ing access to C! +no$ledge and tools# L company that has an Ethos
membership has access to updated C! +no$ledge, the opportunity to ta+e part in
inno*ati*e business approaches to alle*iate social issues, and a forum for good
con*ersations $ith sta+eholders#
#.3. 111122331 CSR2 Raisin" awareness
(&
7!eladeo :tica e transparente da empresa com todos os pKblicos com os @uais ela se relaciona e pelo
estabelecimento de metas empresariais compatG*eis com o desen*ol*imento sustentI*el da sociedade,
preser*ando recursos ambientais e culturais para as geradqes futuras, respeitando a di*ersidade e promo*endo
a redudeo das desigualdades sociais#8 !etrie*ed 5ay -, ())' from $$$#ethos#org#br
M'
This section describes ho$ Ethos raised a$areness around C! in Brazilian society
from %&&& to ())% and explains ho$ Ethos through a media campaign started to build
communication among ci*il society, go*ernment and firms for promoting a better
understanding of each sectors role in the construction of a sustainable society# It also
highlight the importance of a @uantitati*e and @ualitati*e tool that Ethos de*eloped to
measure the @uality and degree of C! internalization in companies and sta+eholders#
Vinally, this section outlines the *alue of the *irtual +no$ledge community Ethos created in
order to enlarge C! in Brazil#
*./.). EtBos=s CSR me9ia 6am;ai5n
To raise a$areness of C!, Ethos con*ened the participation of Brazilian society3
therefore, communication efforts focused on radio, tele*ision, publications, and
ne$spapers# The media campaign focused on three main features2 (%" to create both
*isibility and a positi*e context for Ethos and its corporate members, ((" to inform
Brazilian society and to raise a$areness on C!, and (," to attract ne$ corporate members#
The media strategy aimed at ci*il society, uni*ersities, ban+s, insurance companies,
shareholders, consumers, labor, corporations, and its *alue chain#
Vor Ethos, informing uni*ersities about C! $as a +ey element to create opinion
leaders# Informing students and professors C! $as intended to create a culture of social
a$areness for future business generations# Ethos attracted the attention of the students, $ho
are the future managers and ha*e the potential of encouraging current managers in adopting
socially responsible practices# Interested students $ould ris+ doing research on C!, $hich
$ould contribute to impro*ing the literature on corporate social responsibility# In doing so,
students e*entually $ould demand more C! +no$ledge from professors and uni*ersities,
encouraging the de*elopment of ne$ courses and research in this field# Qn the other hand,
students and professors are also consumers, $hich $ould e*entually re$ard socially
responsible businesses#
Ethos educated sta+eholders and consumers as part of its media campaign# The
media campaign set a goal of spreading information about the benefits of in*esting and
M&
buying products from socially responsible businesses# Ln informed financial community
$ould e*entually pri*ilege loans to socially responsible firms# 5oreo*er, informed
consumers could then re$ard socially responsible businesses by preferring their products
and ser*ices# Ethoss ())% mar+eting campaign spots $ere carried by six radio stations,
nine tele*ision stations, eighteen cinemas, thirty magazines and fi*e ne$spapers# Interest in
Ethoss acti*ities on the part of the business community in Brazil increased# The number of
corporate members that Ethos assembled rose from %% at its founding to ,(M in ()))#
Ethoss efforts to spread *ision to companies $as displaying results#
*./.+. EtBos=s CSR ;ubli6ations
upplementary to the media campaign, the organization launched a series of
publications about C!# Vor example, in %&&& $ith CEN1EC g Centro de Estudos e
1es@uisas em Educadeo, Cultura e Ldeo (the !esearch and tudies Center on Cultural and
Education actions" Ethos published the manual 7Rhat Business can do for Education8# This
manual in*ited companies to $or+ $ith the go*ernment in order to increase go*ernment
accountability for the education of children bet$een se*en and fourteen years old# In this
manual, the experiences of Brazilian children $ere used to sho$ companies the benefits of
adopting C! and to send the message that businesses can get in*ol*ed in social proAects
and be profitable at the same time# ome of the companies included in this manual $ere2
5otorola, Compa@, Intel, 5icrosoft, Zoda+, Lch: ?aboratorios, and /loboa*es
Lgropecuaria# This manual $as one of Ethoss first publications# Ethos has published (S
manuals and (M guides as of ())S#
*././. EtBos=s In9i6ators
In ())), Ethos created the Ethos Indicators, a @uantitati*e tool, $hich allo$ed
companies to measure the degree of internalization of C! in the company or business
organization# This tool ga*e companies a $ay to self-e*aluate their organization, $ithout
ha*ing the commitment of publishing results# In this $ay, companies could internalize C!
into their policies according to their o$n schedule and priorities# The Ethos Indicators ga*e
companies a list of social responsibility practices and at the same time, companies could
S)
*isualize and measure the effects of internalizing social practices# Ethos indicators
comprise se*en main themes2 (%" 9alues, transparency, and go*ernance, ((" $or+force,
(," en*ironment, (4" suppliers, (-" consumers and customers, (M" community, and (S"
go*ernment and society# ince ())), this C! tool has been re*ie$ed each year, and has
been used continuously by Ethoss members# This tool is free online to anyone $ho has
internet access#
*./.*. EtBos=s a8ar9s
The follo$ing year, in ())%, Ethos launched the 0ataban+ of Corporate ocial
!esponsibility 1ractices $ith the purpose of storing references and documentation about
social responsibility actions ta+en by companies# Companies $ere encouraged to share their
experiences, and if a company agreed to do it, Ethos published those experiences, intended
to encourage other companies to follo$ their example# This 0ataban+ of Corporate ocial
!esponsibility 1ractices ga*e Ethos ne$ cases to publish, and began to encourage more
companies in sharing their experiences and attracting ne$ members to Ethos# To encourage
more companies in sharing their experiences, in ())%, and to recognize openly the
outstanding C! practices of *arious companies, three different a$ards $ere created2
(%" the 1rBmio Ethos de Aournalismo, an a$ard gi*en to Aournalists $ho ha*e done
outstanding $or+ on C! matters, ((" the 1rBmio Ethos 9alor, an a$ard gi*en for
exceptional academic $or+ by uni*ersity students from Brazil, and (," the 1rBmio Balando
ocial, an a$ard gi*en to enterprises $ho during the year ha*e sho$n exceptional
corporate social responsibility practices# By recognizing positi*e actions from students,
Aournalists and the pri*ate sector in public, an open and positi*e image $as created around
C! practices#
*./.2. InternEtBos
S%
Ethoss corporate members $ere increasing fast but most of the participating
companies $ere from ao 1aulo# In ())%, '(.
,)
of its members $ere businesses located in
ao 1aulo and only %'. in the rest of Brazil# To include more companies, a program $as
created called 1rograma de !egionalizadeo (!egional 1rogram", $hich in ())- $as
renamed InternEthos $hen Llcoa
,%
became its ne$ sponsor# Internethos is a *irtual online
community lin+ing Aournalists, uni*ersities, business, unions and trade associations# This
$ebsite allo$s its members to share +no$ledge# Lccompanying this *irtual +no$ledge
community, Ethoss staff organized reunions among InternEthoss members and business
organizations to promote dialog and encourage alliances# Ethoss staff helped to articulate
and diffuse Ethos +no$ledge outside ao 1aulo, $here Ethoss head@uarters are located# Ls
a result, Ethoss members and +no$ledge began expanding across Brazilian tates# Ln
Ethoss manager commented on the effecti*eness of InternEthos2
7Today in ())S $e \Ethos] ha*e -4. \members] in ao 1aulo and 4M. \members]
in other tates# Vrom ())% to ())S, you can see ho$ much $e ha*e progressed, this
means, that from %'. $e changed to 4M. in other tates#8 (Inter*ie$, Cune ',
())S"

Ethoss communication strategies succeeded in educating Brazilian society about
the benefits of C!, and Ethoss members increased from %% companies in %&&' to -)S at
the end of ())%
,(
#
#.#. 233222333 !ncreasin" strate"ic alliances
,)
Information retrie*ed from an inter*ie$ in Cune ', ())S $ith an Ethos manager#
,%
Llcoa is a company that produces and manages primary aluminum# 1lease consult http2OO$$$#alcoa#comO
for further information#
,(
http2OO$$$#ethos#org#brO0es+top0efault#aspxcTabI0o,,4-_?angopt-B_Lliasoethos_itemNotI0o%%- ,
consulted eptember ((, ())S#
S(
In ())%, only three years after its founding, Ethos $as compared positi*ely $ith
organizations li+e Business for ocial !esponsibility
,,
, ocial 9enture Net$or+
,4
, Rorld
Business Lcademy
,-
, and 1rince of Rales Business ?eaders Vorum (IB?V"
,M
in an article in
Brazils management Aournal
,S
# Ethos not only $as recognized in Brazil but also at
international le*els, increasing the organizations standing among the business community#
Ethoss reputation and performance $ere registered in Brazils management re*ie$ Aournal
and in the Brazilian Lcademy of 5anagement $here it is mentioned that Ethos has
participated in ta+ing C! from philanthropic actions to concrete efforts on sustainable
social de*elopment
,'
# By ())(, more than 4,) enterprises $ere registered, $hich accounted
for annual re*enues of approximately (). of the Brazilian /01
,&
#
The next section illustrates the maintenance of incorporating large alliances to focus
in communicating concrete examples of business actions for C!# In addition, it $ill
describe the benefits of impro*ing its $ebsite model# Vinally, it $ill describe /raAe$s
experience as a presidential ad*isor#
*.*.). Ne8 Allian6es for me9ia an9 6ommuni6ation strate5y
Ethos, during ())( and ()),, $idened its media scope and strategic partnerships
$ith alliances $ith2
,,
1lease consult footnote number nine#
,4
7Non-profit organization founded in %&'S $ith head@uarters in an Vrancisco, integrated by a community
of leaders g company founders, pri*ate in*estors, social entrepreneurs and +ey influencers for Ethosgto
build sustainable $orld through business#8 http2OO$$$#s*n#orgO consulted Qctober %(, ())S#
,-
7Non-profit organization The Rorld Business Lcademy $as founded in %&'S as a result of discussions
conducted at the tanford !esearch Institute (!I" International in 5enlo 1ar+, California DL# 0iscussions
centered upon the role and responsibility of business in relation to today<s critical moral, en*ironmental, and
social dilemmas#8 http2OO$$$#$orldbusiness#org consulted Qctober %(, ())S#
,M
7International not-for-profit organization $hich $as founded in %&&) to promote socially responsible
business practices that benefit business and society, and $hich help achie*e socially, economically and
en*ironmentally sustainable de*elopment#8 http2OO$$$#iblf#org consulted Qctober %(, ())S#
,S
Constant 9ergara, yl*ia3 0ur*al Branco, 1aulo (())%"# E51!EL WD5LNIYL0L2 a organizadeo
necessIria e possG*el# !LE - !e*ista de Ldministradeo de Empresas r Lbr#OCun# ())% 9#4%, n#(, p()-,)# 1age
((#
,'
C# de 5endonda, C# !icardo3 de antana /ondal*es, Culio C:sar (())("# 8!esponsabilidade ocial nas
Empresas2 uma @uesteo de imagem ou de substsnciac8 LN1L0, al*ador O BL eptember, ())(, (( to (-#p#
,&
Lugusto Tre*isan, Vernando (())("# 7Balando ocial como instrumento de mar+eting8# !LE-eletrtnica,
9olume %, NKmero (, Aul-dezO())(# %(p# 1age ,#
S,
Ne$s Center of ao 1aulo (Central de NotGcias, C0N" for daily
clippings on C!#
!adio CBN, promoting *oting during elections and a radio program
promoting C!#
?a Vabbrica, an enterprise $hose acti*ity is to promote and to
communicate educational proAects, to promote action on C! in Italian firms#
Cournal 9alor, a ne$spaper from ao 1aolo that ga*e Ethos a C!
column in a monthly brochure#
Exame, a business magazine, committed to in*ol*ing Ethos in the
production of its special issue 7/uide to good citizenship8#
The Business school /etulio 9argas Voundation (V/9" to publish
C! practices in 1aranI tate#
Ethos created mar+eting campaigns through ne$ alliances# Vor instance in ())(,
they produced a t$o-minute film# The film illustrated ho$ an important shoe factory,
VIbrica de caldados do eu Verretti, using a social management approach, $as able to
integrate disabled persons, and to recognize all its employees not only as $or+ers but also
as people $ith rights# The film $as broadcast on t$el*e T9 programs, and in four cinema
chains
4)
#
Ethos focused on enlarging alliances $ith uni*ersities and Aournalists to facilitate
good con*ersations# Vor instance, in ())( Ethos organized a national conference, $hich
included -% academic institutions, fourteen enterprises, six non-profit organizations and
roughly %%) attendees# Ethos also created a course $ith the business school /etulio 9argas
Voundation (V/9"# Vor promoting interest in C! among Aournalists, Ethos published ten
cases based on Aournalists research on C!# In addition, Ethos created (- $or+shops for
disseminating information about socially responsible business practices#
4)
9ideo a*ailable on http2OO$$$#ethos#org#brOTEthosOdocumentsOcampanhaTofflineO())(T()),OEthos-Vabrica
.()de.()apatos()),#mpg, consulted Qctober M, ())S#
S4
*.*.+. U;9atin5 Resour6es
Ethoss communication resources $ere crucial at this stage to communicate
concrete examples of ho$ companies had internalized C!# In ())( its $ebsite changed#
Its ne$ internet portal aimed to pro*ide constant communication concerning Ethoss
proAects and the day by day acti*ities by using a dynamic interface# The ne$ $eb manager
and his colleagues restructured the $ebsite as they $ere as+ed to# The follo$ing year, the
ne$ $ebsite recei*ed a Brazilian a$ard# The iBest prize named it the best $ebsite in the
non-profit organizations category
4%
# Rith its ne$ $ebsite the organization expanded its
communication lin+ing public campaigns, proAects, and partnerships in a more effecti*e
$ay than in pre*ious years#
The $ebsite $as not the only tool to be impro*ed3 during this stage the Ethos
Indicators and some publications $ere impro*ed and translated to English and panish in
order increase a$areness in other regions# Llso during this period, Ethoss Indicators $ere
adapted to measure C! internalization in the bread industry, restaurants, bars, and
gambling sector#
*.*./. $raGe8 be6omes Lula=s 6ounselor
0uring this stage, /raAe$ co-founded $ith Vrancisco (Chico" Rhita+er, a Brazilian
social acti*ist, the Rorld ocial Vorum (RV" in ())%# The RV $as founded as an
alternati*e to the Rorld Economic Vorum for see+ing and build alternati*es to global neo-
liberal policies and to discuss global social problems# In ())(, he participated in organizing
the second Rorld ocial Vorum (RV"# In fact this same year, the Ethos Institute and
Brazilian society $ere about to face important changes# In ())(, ?uiz InIcio ?ula da il*a,
a former union leader from the metallurgic industry, for the fourth time
4(
ran as the
Ror+ers 1arty ( 1artido dos Trabalhadores, 1T" presidential candidate# Qn Qctober (S,
())(, ?uiz InIcio ?ula da il*a (better +no$n as ?ula" $as elected 1resident of Brazil
4,
#
4%
http2OO$$$#premioibest#com#brOibest())MOimgO!esultadosTodos1remiosT10V#pdf consulted eptember ((,
())S#
4(
?ula first ran for the presidency in %&'&, and again in %&&4 and in %&&'#
4,
http2OO$$$#presidencia#go*#brOinglesOpresidentO, consulted Qctober %4, ())S#
S-
This political change represented an opportunity gi*en /raAe$s close relationship $ith
?ula# In ()),, as a result of this close relation, ?ula appointed /raAe$ assessor especial da
Presid3ncia (pecial Ld*isor to the 1resident" and /raAe$ do$n as Ethoss president,
staying on as the president of its deliberati*e council# In No*ember ()),, ho$e*er, /raAe$
resigned as a 1residential Ld*isor and returned to Ethos stating his mission as counselor
$as accomplished
44
#
#.&. 233#2233( CSR 4Pro5otin" social chan"e
0uring this third stage (())(-()),", Ethos $as using concrete examples to
demonstrate ho$ C! practices benefit companies, society and the en*ironment# !egarding
this process, an Ethos manager stated2
7Re \Ethos employees] had, in Ethos, a stage from %&&' to ())4 $here efforts $ere
geared to$ards sensitizing \people about C!]# In our mission to increase
a$areness and mobilization, I no$ realize that the sensitization stage has been
accomplished# Today \())S] $e are in the mobilization stage#8 (Inter*ie$, Cune %,,
())S"
1re*ious stages $ere extremely important for Ethos to be consolidated as an
organization, the communication strategies set up the bases for this stage# In ())4, Ethos
focused on mobilizing its members and their production chains to impact society#
!egarding this process /raAe$ during an inter*ie$ commented2
7No$, little by little $e \Ethos] are focusing \on promoting] social changes
\through business organizations]# Thus, $e $ant to influence the production chain,
$e $ant to influence the @uality of life, to influence society, to impact ethics in
business relations and go*ernment, I mean, to impact go*ernments# Lnd no$ $e are
little by little a step ahead in creating models3 rather than Aust creating an impact#8
(Inter*ie$, Cune %,, ())S"
44
Lrticle published by 1araguassK, ?isandra on eptember (), ())S,
http2OO$$$#estadao#com#brOnacionalOnotTnac--)'&,)#htm consulted eptember (,, ())S#
SM
This last stage describes the impacts mentioned by /raAe$# The follo$ing stage is
di*ided in t$o parts# The first part describes three main features2 (%" Ethoss in*ol*ement in
the 5illennium goals3, ((" the creation of DniEthos a separate organization committed to
the educational process of C! $ith training programs and $or+shops3, and (," /raAe$s
resignation from the Ethos Institute# The second part details Ethoss participation in the
process of creating an international guidance tool for C!, the IQ (M))), and a
description of Ethoss collaboration $ith international organizations#
*.2.). So6ial Im;a6ts
To ma+e their presence +no$n in Brazil, Ethos ad*ised its members to participate in
and to sponsor certain e*ents, for instance, seminars, $or+shops, dialogues, publications,
and proAects on the subAect of specific C! issues# Vor example, in ())4, Ethos organized a
conference
4-
about competiti*eness and social responsibility $here the Brazilian secretary
of En*ironment $as in*ol*ed# 0uring this conference, companies $ere also included3 they
$ere able to engage the secretary in a dialogue on the topic of responsible business
practices and the en*ironment# In ())4, Ethos organized a seminar to discuss and plan ho$
to achie*e the eight millennium goals that the Dnited Nations targeted in ())) $ith a
deadline set for the year ()%-# Ls part of the strategies to accomplish the 5illennium
0e*elopment /oals, Ethos in*ol*ed the go*ernment and business sector and launched
programs
4M
focused to achie*e these goals, such as2 Yero hunger 6 to reduce hunger and
po*erty3 Cisterns program 6 to gi*e safe drin+ing $ater3 Yero Illiteracy 1rogram 6 to
promote education3 and 1romotion of e@uity 6 to eliminate discrimination and empo$er
$omen# Vurthermore, in ())4 the manual 7Business Commitment to the 5illennium
/oals8 $as published online
4S
$here it is a*ailable at no cost#
*.2.+. UniEtBos
4-
http2OO$$$#ethos#org#brO0es+top0efault#aspxcTabI0o,,4)_?angopt-B!_LliasoEthos_itemE*enI0o%
consulted Qctober %', ())S#
4M
$$$#iadb#orgOcsramericasOdocOpresentationyoung#pdf consulted Qctober %&, ())S#
4S
http2OO$$$#ethos#org#brOTDniEthosO0ocumentsOmetasTdoTmilenio#pdf, consulted Qctober %&, ())S#
SS
Ls of Vebruary ())4, Ethos had S&(
4'
corporate members, $ho began as+ing for
specific consulting ser*ices# Ls a result, in 5arch ())4 Ethos created DniEthos# DniEthos,
a non-profit organization, ser*es to accompany Ethos in its educational process and to
finance Ethoss acti*ities by gi*ing companies C! and sustainable de*elopment
customized ser*ices, such as courses and research, but not consulting ser*ices# In ())4,
/raAe$ in*ited !icardo Xoung, a businessman $ith experience in franchises and in the
go*ernment to $or+ in Ethos# Xoung shared /raAe$s *ision of mobilizing the pri*ate
sector to$ards social proAects# In fact, Xoung $as 1NBEs general coordinator in %&&M and
%&&'
4&
# Wo$e*er, in ()), he resigned from 1NBE and in ())4 he Aoined DniEthos as its
chairman and in Ethos he became the chairman of the board#
Xoung became a +ey person for Ethos# In fact, at the end of ())4, /raAe$ decided to
step do$n as president of Ethos# Xoung too+ /raAe$s position and /raAe$ remained as the
chair of the board# There are around -) people $or+ing in Ethos, $hose a*erage age is
around ,)# /raAe$s leadership and dynamism created a *ibrant and independent
organizational en*ironment# The organization continued operating $ith Xoung as its ne$
president# ome Ethoss employees expressed ho$ they felt about $or+ing in Ethos2
7\# # #] In my opinion I belie*e \Ethoss dream] is to be a fairer \Brazilian] society,
and to ha*e companies $hich can participate \in building a fairer society] $ith the
go*ernment, the people, $ith and organizations# Re \people $or+ing in Ethos] $ant
to ha*e a Aust society and this is $hy $e $or+ in doing extra*agant proAects# \# # # ] I
feel I am $or+ing for a cause# I $ould be unsatisfied $or+ing for a company# I feel
it is a great pri*ilege to $or+ here# I feel a pri*ileged person of being close from
Ethoss leaders8# (Inter*ie$, Cune M, ())S"
7\# # #] I began $or+ing in Ethos as a *olunteer, then I $as hired^I feel here there is
a good \$or+] en*ironment, at least comparing $ith companies^ I ha*e the
4'
http2OO$$$#ethos#org#brO0es+top0efault#aspxcTabI0o,,4-_?angopt-B_Lliasoethos_itemNotI0o-'%& ,
consulted eptember ((, ())S#
4&
http2OO$$$#pnbe#org#brO$ebsiteOartigo#aspcido,&S(_codo%'M%_idio%, consulted Qctober %', ())S#
S'
impression it is better \$or+ing] here \Ethos] because the people are $or+ing for a
cause \# # #]8 (Inter*ie$, Cune M, ())S"
7\# # #] It is challenging \$or+ing in Ethos] for the amount of $or+ and limited time
\a*ailable to accomplish their tas+s] \# # #]# But I feel my principles $ill remain
preser*ed# I am not doing anything to offend my *alues and my principles, $hich
are the \same as Ethos] organization principles#8 (Inter*ie$, Cune ', ())S"
7\# # #] I decided that I $anted another personal experience^ I $as \$or+ing] for an
enterprise ^ and no$ I am \$or+ing] for an N/Q $hich promotes changes for
enterprises^ I ha*e this opportunity, $hich I thin+ is a pri*ilege^ I am really
excited to $or+ \for Ethos] and informing and spreading *alues that I belie*e
personally and that I belie*e companies need to ha*e# 7 (Inter*ie$, Cune ', ())S"
/raAe$ remained as the chair of the board and he is still an important figure for the
organization despite no longer acting as its president# /raAe$ has also continued as part of
the Rorld ocial Vorums organization committee# By its fifth year, in 1orto Llegre, more
than ()),))) people from %,- countries too+ part# In ())M, the sixth RV $as held in
Caracas (9enezuela" and Bama+o (5ali", and Zarachi (1a+istan"# In addition to its social
inno*ations, /raAe$ created in ())M the Nossa ao 1aulo (Qur ao 1aulo" mo*ement
-)
#
This ne$ mo*ement in*ol*es Brazilian go*ernment, ci*il society and the business
community to transform the city of ao 1aulo to a more sustainable city# Lpproximately
-)) ci*il organizations are in*ol*ed in this proAect to create proposals to impro*e the
@uality of life, reduce crime and pollution, and to set up a de*elopment agenda, creating
employment for ao 1aulo#
*.2./. ISO +0???
In ())4, The International Qrganization for tandardization (IQ" appro*ed the
creation of a guide on Corporate ocial !esponsibility, the IQ (M))), $hich is expected to
-)
1lease *isit http2OO$$$#nossasaopaulo#org#br for further information#
S&
be published in ())&
-%
# It $ill be a guide for companies# It is not, ho$e*er, a norm and
compliance $ill be *oluntary# In ())-, Ethos created the /T (Ror+ing /roup or /rupo de
*ra'alho" Ethos-IQ (M)))# The proAects obAecti*e $as to ser*e as a forum to discuss and
learn about global trends in C!, $hich helped Ethos and its participants to better
understand the ne$ standard and to disseminate this theme along their *alue chain
-(
# The
/T Ethos- IQ (M))) organized $or+shops to inform and debate the upcoming guide on
C!, $hich then allo$ed Ethos to contribute to the process of creating the IQ (M)))#
*.2.*. &or7in5 8itB International Or5aniFations
In ())- and ())M, Ethos encouraged companies to be in*ol*ed in social proAects#
0uring these years, it $or+ed $ith international organizations, such as the Dnited Nations
(DN", the Inter-Lmerican 0e*elopment Ban+ (I0B" and the Qrganization for Economic
Co-operation and 0e*elopment (QEC0"# The follo$ing section describes these proAects#
By ())-, Ethos assisted, $ith other organizations such as the International Chamber
of Commerce, the Dnited Nations Conference on Trade and 0e*elopment and Transparency
International, in creating a document for the QEC0# The document ser*ed to impro*e 7the
QEC0 !is+ L$areness Tool for 5ultinational Enterprises in Rea+ /o*ernance Yones8 a
tool that helps companies to in*est in countries that ha*e go*ernance issues#
Lnother important proAect in*ol*ing an international organization $as the program
that Ethos and the Inter-Lmerican 0e*elopment Ban+ (I0B" de*eloped in ())- to expand
C! among Brazils small and medium sized companies and their *alue chains# Ethos and
the I0B $anted to increase competiti*eness in six economic sectors2 metallurgic, ci*il
construction, sugar and alcohol, electrical energy, oil and gas, and mining# These sectors
$ere chosen for their importance to the Brazilian economy# The follo$ing year /raAe$ as
the Ethoss decision board chair, $as in*ited by Zofi Lnnan, the ecretary-/eneral of the
-%
1lease *isit http2OOisotc#iso#orgOli*elin+Oli*elin+OfetchO()))O(%((O',)&4&O,&,4'',O,&,-)&MOhome#htmlc
nodeido44-%(-&_*ernumo) consulted Qctober %&, ())S#
-(
Brochure2 L contribution to IQ (M)))2/T Ethos- (M)))# 5ay ())M# (&p#
')
Dnited Nations, to be part of the /lobal Compact
-,
deliberation board# /raAe$ $as part of
the /lobal Compact council and had the opportunity to recommend policies and strategies
on sol*ing global issues#

By participating in international forums, Ethoss credibility increased and its
net$or+ $idened out to international le*els# International alliances represented for Ethos
ne$ learning opportunities due to the interaction $ith other $orld organizations, $hich
ha*e de*eloped inno*ati*e solutions on social issues# Ethoss expertise had contributed to
enabling an infrastructure for disseminating C! $hile facilitating the business
communitys access to the conditions for participating in creating solutions for social issues
in Brazil#
#.(. Conclusions
Wo$ to explain both, Ethoss achie*ements and fast gro$th
-4
from only ele*en
members in %&&' to %,SS members
--
in ())'# This fast gro$th and mobilization of people
from the business community, go*ernment, media and citizens can be explained by three
factors# (%" Ethoss leadership style succeeded in gathering economic resources thus,
creating commitment from people to follo$ re*olutionary proAects and to implement
inno*ati*e ideas# In addition, its social net$or+ facilitated strategic alliances $ith the
follo$ing groups2 the go*ernment, the business sector and the media# 5oreo*er, the social
net$or+ ser*ed to create a positi*e reputation, $hich helped to position Ethos as both an
obAecti*e and credible organization# ((" Ethoss management approach $as also a
fundamental aspect in creating a dynamic and organizational structure# Rith only -)
employees it $as able to diffuse C! to its %,(M% corporate members, create publications,
de*elop media campaigns and create multiple social proAects# In fact, the organizational
culture centres on the idea that Ethos is $or+ing for a maAor cause2 to build a sustainable
-,
7The /lobal Compact is a frame$or+ for businesses that are committed to aligning their operations and
strategies in the areas of human rights, labour, the en*ironment and anti-corruption#8
http2OO$$$#unglobalcompact#orgO consulted No*ember -, ())S#
-4
1lease consult table %, and table %4 for further details about Ethoss achie*ements and historical
chronology#
--
Information retrie*ed 5ay ,
rd
())' from its $ebsite
'%
and Aust society# Wence, Ethoss $or+ers are highly moti*ated and committed and can
manage multiple tas+s and are thus able to better manage stress# (," The Ethoss mar+eting
and communication strategy allo$ed a dialogue to form bet$een different sta+eholders
from society, $hich e*entually pro*o+ed in*ol*ement and action on social issues# The
media campaign aimed to raise a$areness in Brazil about C! practices, $hich ser*ed to
attract ne$ members# The creation of C! indicators allo$ed companies to @uantify the
C! internalization progress and the Ethos a$ards ser*ed as a @ualitati*e tool to highlight
positi*e efforts from ne$spapers, uni*ersities and companies, encouraging additional
participation in C!#
Ethoss leadership, management approach and strategy in disseminating C!, ha*e
been the success factors identified in this case# These success factors explain ho$ it could,
in less than ten years, mobilize businesses and multinational companies that account for
annual re*enues of approximately ,-. of the Brazilian /01# Vor Ethos+ accomplishing
part of its mission has ta+en se*eral years# Ten years ago in Brazil corporate social
responsibility, $as a concept far from the minds of Brazilian companies# In the follo$ing
chapter, I analyze the empirical data using the conceptual frame$or+ proposed in chapter
t$o# The goal of the chapter is to pro*ide a more detailed analysis of Ethoss strategies,
seen through the lens of positi*e de*iance#
'(
Table )/. EtBos=s Sta5es
(55& 2ounding of Ethos (5556$%%( CSR6
Raising
a*areness
$%%$6$%%,
Increasing
strategic alliances
$%%06$%%-
CSR6
Promoting
Social Change
>bFecti)e Creating the Ethos
Institute, a non-profit
organization to diffuse
corporate social
responsibility and
encourage the pri*ate
sector to internalize it#
To raise a$areness
on C! in
Brazilian through
a media campaign
Increasing
alliances by
disseminating
C! examples for
illustrating the
benefits for
companies of
adopting C!#
5obilizing its
members and its
production
chains to impact
society by
sol*ing social
problems, such
as collaborating
to achie*e the
millennium
goals#
Achie)ements Vounding of the Ethoss
Institute and the
construction of its
theoretical frame$or+
(i#e#, mission, *ision,
obAecti*es"#
In*ol*ement of
ci*il society,
uni*ersities, ban+s
and insurance
companies,
shareholders,
consumers, labor
force, enterprises
in C! acti*ities
$ith a media
campaign,
publications,
Ethos a$ards and
the creation of
Ethos Indicators
and the
InternEthos
1rogram#
By ())(, more
than 4,)
enterprises $ere
registered, $hich
account for annual
re*enues of
approximately
(). of the
Brazilian /01#
Ethoss alliances
largely enlarged
and its reputation
and performance
$ere registered in
Brazils
management
re*ie$ Aournal
organization#
/raAe$ became
?ulas counselor#
Collaboration
$ith
international
organizations,
participation in
elaborating the
IQ (M)))
guide, the
creation of
DniEthos to
accompany
Ethos in its
educational
process, gi*ing
companies C!
and sustainable
de*elopment
tailored ser*ices#
In*ol*ement of
the go*ernment
and business
sector to launch
programs
focused to
achie*e the
millennium
goals#
Ethos8s
leadership
/raAe$ mobilized a
number of business people
for creating the Ethos
Institute#
The organization
moti*ated
sta+eholders to be
in*ol*ed in C!
practices
facilitated by its
social net$or+#
The enlargement
of its alliances $as
possible by its
social net$or+
$hich responded
to Ethoss positi*e
reputation as an
organization#
The organization
moti*ated its
members to act
for social
changes in
Brazil, moreo*er
it ser*ed as a
forum to discuss
and learn the
',
$orld trends of
C!, $hich
helped to better
understand the
ne$ standard
and to
disseminate this
theme along the
Brazilian
business sector#
Ethos8s
management
approach
5a+ing this stage part of
Ethoss organizational
culture to moti*ate its
employees#
The organization
directed its
employees, a
group of
professionals, by
its organizational
*alues to commit
in raising
a$areness locally
and regionally#
The organization
managed to update
its resources
despite its limited
budget# 5oti*ated
and committed
employees
maximized the
organization
resources gi*ing
outstanding results
(i#e#, iBest prize
for Ethos $ebsite"#
Ethos remains as
a united
organization
despite /raAe$
resigned from its
presidency# The
organization is
stable and
independent,
thus it can
continue $ith a
!icardo Xoung
as its ne$ leader#
Ethos8s
>rganizational
Strategy
Establishment of an
alliance $ith B!, $hich
help Ethos to create its
theoretical frame$or+#
To raise
a$areness, Ethos
mobilized
sta+eholders
throughout a
media campaign,
publications,
a$ards and a
regionalization
program# Its
strategy $as to
aim its
dissemination
efforts to different
sta+eholders of
Brazilian society#
0emonstrating to
companies C! is
useful to create
consumer loyalty,
to enable better
human resources
management and
to contribute for
en*ironmental
impro*ement by
gi*ing concrete
examples of
pre*ious
experiences#
Ethoss alliances
$ith
international
organizations
increased its
credibility and,
as a result,
$idened its
social net$or+#
5oreo*er,
international
alliances
represented ne$
learning
opportunities
due to the
interaction $ith
other $orld
organizations#
'4
.able 1#. /ra0il6s historical events an% Ethos !nstitute6s
Chronolo"y
&(
-M
This chronology is not exhausti*e
'-
%&'4 1ublic demonstrations $ere held in Brazilian cities against the military regime#
Brazilians demanded change in the electoral system for electing their
president#
%&'- Tancredo Ne*es $as elected president by maAority *ote in the Canuary %-,
%&'-# Tancredo collapsed the night before his inauguration, and the presidency
passed to 9ice 1resident Cos: arney (president, %&'-6&)", long-time
supporter of the military regime#
%&'S /raAe$ $ith other business people founded a non-profit organization called
1ensamento Nacional das Bases Empresariais (1NBE, translated roughly as
7The thin+ing of the National Business Community8"#
%&'' 1resident arney called a National Lssembly to $rite a ne$ democratic
constitution# It $as presided o*er by Dlysses /uimarees, $ho led the ci*ilian
resistance to the military rule#
The ne$ constitution $as proclaimed in Qctober %&'' and restored ci*il and
public rights, such as free speech, lifting of censorship, economic freedom,
direct and free elections and uni*ersal health system#
%&'& 0uring arneys<s presidency, Brazil had three currency units2 Cruzeiro,
Cruzado and Cruzado No*o# Economic domestic troubles led to canceling
payments of Brazilian International 0ebt in %&''# This closed international
financial mar+ets for Brazil and economic situation got $orse#
The first direct presidential election after (& years $as held on Qctober %-,
%&'& (first round" and No*ember %-, %&'& (second round"# Vernando Collor de
5ello ran against ?uis Inacio ?ula da il*a# Collor $as elected $ith -,. of
the *ote for a fi*e-year term#
%&&) /raAe$ established the LB!INP Voundation for Children<s !ights in %&&) and
ser*ed as the president of its administrati*e council# Today, about -,4M%
indi*iduals and companies from *arious economic sectors and geographic
regions in Brazil participate in the LB!INP Voundation#
1NBE proposed and signed a 7ocial 1act8 aimed at controlling inflation,
reducing economic instability and to promoting national de*elopment bet$een
the National Confederation of Industry, Commerce and Lgriculture, the Dnited
Ror+ers Dnion, and the Brazilian Vederation of Ban+s# 1resident Vernando
Collor did not recognize the pact and e*entually it failed
%&&% In 5ay %&&% 1resident Collor $as accused by his brother, 1edro Collor, of
corruption#
%&&( Qn Lugust (M, %&&(, the final congressional in@uiry report $as released, $here
it $as pro*en Collors culpability#
eptember (& , %&&(# Collor $as impeached, and subse@uently remo*ed from
office# Collor resigned his term in office Aust before the Brazilian enate $as to
*ote for his impeachment# Wis *ice-president, Itamar Vranco, assumed the
presidency for the remainder of Collor<s term#
%&&, 1resident Vranco appointed Vernando Wenri@ue Cardoso as 5inister of
Treasury and ga*e him the responsibility to control inflation - the a*erage
annual inflation rate from %&&) to %&&- $as SM4.#
/raAe$ decided to lea*e his toy company to dedicate himself full-time to the
Lbrin@ Voundation#
%&&4 In Qctober ,, %&&4 Vernando Wenri@ue Cardoso, $as elected $ith -4. of the
*otes#
/raAe$ participated in founding the Brazilian Lssociation of Businessmen for
Citizenship (CI9E" an organization that supported the Brazilian Ror+er<s
1arty (1T"#
%&&S /raAe$ decided he needed time to reformulate his ideas3 $ith his $ife he too+ a
sabbatical year to tra*el# We resigned to the Lbrin@ Voundation presidency and
to the 1NBE mo*ement# In this trip he concei*ed the idea of founding the
Ethos Institute#
%&&' /raAe$ founded the Ethos Institute# The organization con*ened %% enterprises
as members# Ethos made a strategic alliance $ith Business ocial
!esponsibility (B!"
Vernando Wenri@ue Cardoso $as re-elected 1resident in Brazil#
%&&& 0i*ulgation of Ethos<s 5ission and 9ision to different sectors through a media
campaign#
Rith the !esearch and tudies Center on Cultural and Education actions
CEN1EC g Centro de Estudos e 1es@uisas em Educadeo, Cultura e Ldeo-
Ethos published the manual 7Rhat Business can do for Education8#
Ethoss first $ebsite is set up on the Internet#
The organization assembled (%' enterprises as members#
'M
2. Analysis 3CSR4 -ositi:e 'e:ian6e an9 tBe EtBos Institute
This chapter presents an analysis of the collected data on the Ethos Institute in light
of our conceptual model# This analysis is based on the conceptual frame$or+ from chapter
one# The analysis $ill ans$er my research @uestion2 Wo$ do $e explain Ethoss $ide C!
dissemination in Brazil $ithin the business sector in Brazilc 5y main argument is that
/raAe$ led a group of business entrepreneurs to create the Ethos Institute to disseminate
C! using positi*e de*iance in order to contribute to building a sustainable and Aust
Brazilian society#
The present analysis comprises t$o parts# The first section focuses on examining
the Ethoss C! dissemination strategy $ith the positi*e de*iance conceptual frame$or+
de*eloped in chapter t$o# In doing so, I $ill re*ie$ ho$ Qded /raAe$, Ethoss founder,
fulfills the fi*e psychological conditions proposed by preitzer and onenshein (())," for a
positi*e de*iant leader (Puinn, ())%"# In addition, I $ill explain the role of /raAe$s moral
imagination (Wartman _ Lrnold, ()),, ())-a, ())-b" in the founding of the Ethos Institute
and I $ill compare ternins 7ix 0s8 positi*e de*iance model $ith Ethoss acti*ities from
%&&' to ())M#The second part of the chapter presents the conclusions of this thesis#
&.1. Positive Deviance in Ethos 4'nalysis
In the theory chapter, I proposed the follo$ing conceptual frame$or+ based on the
literature re*ie$ on positi*e de*iance2
'S
"i5ure / Con6e;tual "rame8or7
Inno*ation that
challenges current
models and ideas
A?> E=AB;ES C?A=BEC
A leader (Puinn, ())%" $ith fi)e psychological conditions (preitzer and
onenshein, ()),"2
1ossesses a meaning to change current establishment#
Exercises an other-focus perspecti*e, rather than Aust on personal goals#
Experiences self-determination in transforming ideas into facts#
Exerts personal efficacy to out$eigh failure possibilities#
1ossesses courage to o*ercome the ris+ of brea+ing norms rigidity#
!oral Imagination
(Wartman _ Lrnold3
()),, ())-a, and ())-b"
To promote< enhance< foster< )oluntary engagement
*ith CSR
?>AC
Positi)e +e)iance (C# ternin, The 7ix 0s8# !etrie*ed Vebruary (), ())' from
$$$#positi*ede*iance#org"
0efine the problem (situation analysis" and define $hat a successful
solutionOoutcome $ould loo+ li+e#
0etermine if there are any indi*idualsOentities in the community $ho already
exhibit desired beha*ior#
0isco*er uncommon practicesObeha*iors enabling the 10s to outperformOfind
better solution to the problem than others in their community#
0esign, implement acti*ities enabling others in 7community8 to access and practice
ne$ beha*iors#
0iscern the effecti*eness of acti*ities or proAect through ongoing monitoring and
e*aluation#
0isseminate successful process to appropriate [other# hare de*iant beha*iors $ith
[community outsiders#
''
Qur conceptual frame$or+ is composed of three elements2 (%" Vi*e psychological
conditions (preitzer and onenshein, ())," of a leader (Puinn, ())%"3 ((" $ho through his
or her moral imagination (Wartman _ Lrnold3 ()),, ())-a, and ())-b" inno*ates in
fostering C! among a business community (in this case, through the founding of the
Ethos Institute for contributing in building a sustainable and Aust Brazilian society"# The
third proposition is that Ethos has based its strategies on positi*e de*iance (10" in order to
diffuse and foster C! among companies# The 10 model, $hich I propose, is based on the
practice experience of 5# ternin and C# ternin, $ho used this approach for promoting
community de*elopment# The follo$ing section describes the aforementioned three
elements of the conceptual frame$or+ *is-=-*is Ethoss actions# I $ill illustrate ho$ Ethos
used 10 to foster C! among the business community#
2.).). $raGe8( -sy6Bolo5i6al Con9itions for -ositi:e 'e:ian6e
preitzer and onenshein (())," proposed fi*e psychological conditions that
facilitate indi*iduals de*iating from norms and $hich enable positi*e de*iance# In the case
of Ethos, its founder led a group of entrepreneurs to use their business s+ills to address
social issues# The follo$ing section examines the fi*e psychological conditions of /raAe$s
leadership proposed by preitzer and onenshein (()),"2 (%" possessing a meaning to
acting to change current, ((" exercising an other-focus perspecti*e rather than Aust achie*ing
personal goals, (," experience self-determination to transforming ideas into facts, (4" exert
personal efficacy to out$eigh failure possibilities, and (-" possessing courage to o*ercome
the ris+ of brea+ing out norms rigidity#
2.).).). -ossessin5 a meanin5 to a6tin5 to 6Ban5e 6urrent
establisBment
75eaning gi*es indi*iduals a reason to ris+ departing the norms of a referent group#
# # Rhen indi*iduals are intrinsically moti*ated, they ha*e a tendency to see+ out
no*elty and challenges, and to extend and exercise their capabilities# # # people that
'&
feel *ital feel more li+ely to initiate ne$ beha*ior8 (preitzer and onenshein, ()),,
p# (%("#
/raAe$ $as dri*en by a sense of meaning 6 he $anted to organize the business
community to$ards creating sustainable de*elopment for a $orld of peace, solidarity, and
en*ironmental preser*ation (Lsho+a, ())M"# The calling to act and change the
establishment $as formed in his early youth# /raAe$ since he $as young faced many
challenges as $e sa$ in chapter four# Table %- summarizes the relation of /raAe$s
personal experiences and the creation of his personal meaning for acting to build a better
Brazilian society#
Table )2. -ossessin5 a sense of meanin5 OR a reason to a6t
Challenge Action to change
current
establishment
Sense of meaning ;e)el of action
/raAe$s family
emigrated from Israel to
Brazil in %&-' $hen he
$as t$el*e years old#
/raAe$ learned a ne$
language and had to
adapt to his ne$ host
country#
To adapt to a ne$ society 1ersonal
Three years after his
arri*al, his father died#
We became the head of
his family
To support his family 1ersonal
tudy electrical
engineering
old club
memberships
To complete his education
and support his family
1ersonal
To $or+ 1articipated in
founding a toy
company %&S(
To employ himself and
his group of his friends
/roup
!epresent the Brazilian
manufacturers industry
Became the Brazilian
manufacturers industry
chairman in %&'&
To lead $ith his *ision the
Brazilian manufacturers
industry
/roup
0efend childrens rights Vounded the Lbrin@
Voundation in %&&)
To eradicate child labor in
Brazil
ocietal
Change current
relations bet$een the
pri*ate sector, state and
ci*il society in Brazil
Lcti*e participation in
1NBE, %&&)
To contribute to bringing
bac+ democratic
processes in Brazil
ocietal
Qrganize the Brazilian
business community to
address social issues
The founding of Ethos
Institute in %&&'
To participate in building
a sustainable and Aust
society in Brazil
ocietal
et up a forum to
discuss $orlds social
issues
The founding of Rorld
ocial Vorum in ())%
To see+ and build
alternati*es to neo-liberal
policies#
ocietal
hare his *ision $ith
Brazils president
Became the
presidents ad*isor in
To ad*ise president ?ula
on social issues
ocietal
&)
()),
In*ol*e ci*il society
and go*ernment for
transforming ao 1aulo
into a sustainable city
The creation of the
social mo*ement
Nossa eo 1aulo in
())S
To impro*e the @uality of
life of people li*ing in
ao 1aulo Brazil
ocietal
uThis Table is not exhausti*e but intends to illustrate /raAe$s traAectory#
/raAe$ faced his first challenges of sur*i*al at a personal le*el $hen his family
emigrated from Israel to Brazil and his father died# By experiencing a purpose of self-
a$areness he $as capable of acting to change his family situation# To support his family
and pay for his education he sold club memberships
-S
# Rhen he graduated as an electrical
engineer in %&S(, his sense of meaning merged in a group $ith four of his friends to
*enture a toy company# By this time, Brazil $as ruled by a dictatorship $ith many social
issues such as po*erty and limited freedoms# /raAe$, a$are of this situation, decided to
participate in bringing bac+ democratic processes in Brazil $hen the dictatorship $as o*er#
Ln analyst describes /raAe$s sense of meaning2
7We is a doer# We dares to import re*olutionary ideas, ideas that $ould fit in the
mind of a lets say, Che /ue*ara and bring ideas to his $orld, $hich is a $orld of
business entrepreneurs and leaders# This is the inno*ation2 he brings ne$,
challenging ideas to the arenas of business entrepreneurs and leaders#8 (Inter*ie$,
Cune M, ())S"
In %&'&, $hen he mobilized the toy manufactures industry and founded the Lbrin@
Voundation in order to eradicate child labor in Brazil, his meaning $as abo*e his personal
interests and his purpose stemmed from defending childrens rights# ince then, /raAe$s
proAects ha*e lined up $ith a societal meaning $ith a social entrepreneurship core# The
prime purpose of his follo$ing proAects has been to change the current established relations
bet$een the Brazilian business community, state and ci*il society# By participating in %&&)
in the foundation of 1NBE he set up the basis for in*ol*ing the Brazilian business
community in participating in reconstructing democracy in Brazil# By %&&', Ethos Institute
$as pursuing this purpose by disseminating C! for building a better society in Brazil# By
-S
/ilberto Nascimento, 7L Elite mudou8, !e*ista Isto:, No# %M,- (0ecember (), ()))", n#p#
&%
())%, /raAe$s sense of meaning engendered further goals than Aust the Brazilian society
and he *entured the Rorld ocial Vorum for see+ing global alternati*es to neo-liberal
policies# 0eparting from his personal sense on social issues the foundation in ())S of the
mo*ement called Nossa ao 1aulo (Qur ao 1aulo" has also a societal meaning for
impro*ing the @uality of life of the city $here /raAe$ li*es# /raAe$s social initiati*es
possess a common sense of meaning at a societal le*el2 to building a better and more
sustainable society in Brazil# This sense of meaning has gi*en to /raAe$ a reason to ris+
and see+ out no*elty and ne$ challenges in his life for mobilizing and encouraging others
to adopt ne$ beha*iors and change the current establishment# Rith his sense of meaning,
he has been able to [build bridges bet$een the pri*ate sector, ci*il society and the state#
2.).).+. EHer6isin5 an otBer(fo6us ;ers;e6ti:e ratBer tBan Gust
a6Bie:in5 ;ersonal 5oals
7In ta+ing the perspecti*e of others, positi*e de*iants are compelled by a desire
to ser*e others rather than by a chance to achie*e personal glory^ Being other-
focused enhances interpersonal facilitation, including cooperati*e helping beha*ior
and human capacity# Qther-focused relationships are life gi*ing than life depleting
\^]8 (preitzer and onenshein, ()),, p(%,"#
/raAe$ began exercising his personal s+ills for his family and personal sur*i*al
(Table %-"# Ls a business entrepreneur he used his abilities $hile $or+ing in /!QR $hich
contributed to this a toy company for selling $ith only of its t$o best puzzle games more
than ()), ))) units a year (!aufflet and /urgel, ())S" in Brazil compared to the $orlds
most successful game, $onopoly, $hich sells about %-),))) units a year in Brazil#
In %&'&, $hile $or+ing for his toy company, /raAe$ became a$are that of 4%
million children aged %S and younger in Brazil, (- million had no access to education,
potable $ater, housing, or nutrition, and that they $ere subAects of *iolence# 5oreo*er,
about %,))) children under fi*e died e*ery day in Brazil
-'
# /raAe$, concerned about, this
maAor issue decided to exercise an other-focus perspecti*e by launching a national
-'
%&'& DNICEVs report about the state of children in the $orld#
&(
campaign to end child labor and to address childrens issues by establishing the Lbrin@
Voundation in %&&)# Ls mentioned early the Lbrin@ Voundation then became one of
/raAe$s other-focus proAects# Wis career from this moment became de*oted not to his
personal benefits but focused to$ards a societal le*el despite the success of his toy
company# In parallel to setting up the Lbrin@ Voundation, /raAe$ focused on contributing
1NBE as a $ay of contributing to Brazils democratization process# By %&&', $ith the
foundation of Ethos Institute, /raAe$ in*ol*ed the business community in a context of C!
for creating a better society $ith the collaboration of ci*il society and the state# The idea of
creating the Rorld ocial Vorum $as based on its being socially acti*e at a global le*el,
thus able to mobilize people and organization from different nations# The social mo*ement
Nossa ao 1aulo is also focused not on /raAe$s personal benefit, but on impro*ing the
@uality of life of the citizens of this metropolis# Q*erall, /raAe$ has committed to sol*ing
societys issues rather than using his personal s+ills for his personal financial benefits# Wis
proAects ha*e ser*ed to create ne$ boundaries of commitment and spaces of collaboration
bet$een state, ci*il society and the business community in Brazil#
2.).)./. EH;erien6e self(9etermination to transform i9eas into fa6ts
^Rhen people experience self-determination, they see themsel*es in control of
their o$n destiny 6their reasons for ta+ing action are internalized rather than
coerced by external forces^ ha*ing more autonomy $ill create additional space for
positi*e de*iance^ $hen indi*iduals experience a sense of autonomy, they $ere
more li+ely to engage in extra-role beha*ior # # # the amount of control pro*idedcc in
ones Aob is a strong predictor of initiati*e-ta+ing8# (preitzer and onenshein, ()),,
p(%4"#
/raAe$ faced an a*oidable autonomy since he $as a teenager $hen his father died
and he had become the head of his family# Wenceforth, he extended his personal limits for
o*ercoming to the absence of his father# /raAe$ by becoming the head of his family had to
de*elop a sense of autonomy and self-determination# Q*er time, this sense of self-
determination and autonomy $ould help him to finish his studies in electrical engineering#
/raAe$s autonomy set the conditions for transforming his ideas into facts $ith three of his
&,
friends by *enturing a toy company# /raAe$ transformed himself into a *ehicle for
*enturing inno*ati*e social proAects $hen he founded Lbrin@# In an inter*ie$ he defined
himself as follo$ing2
7I am a former businessman# I had a toy business# I $as a toy manufacturer# I $as
president of the Toy 5anufacturers Lssociation of Brazil# I $as al$ays trying to
ha*e some social impact and $as *ery interested in political issues and social issues
in my business and then as a business leader# In the Brazilian Lssociation of Toy
5anufacturers I created a foundation for childrens rights that today has the
participation of about (,-)) companies $or+ing for childrens rights and ha*ing an
impact on more than one million children#
I participated, $as leader, in some political mo*ement in Brazil of business# I $as
ma+ing the lin+s, the bridges, bet$een the Ror+ers 1arty in Brazil and the business
sector# I $as al$ays loo+ing for $hat is happening and ho$ $e can change the
social and en*ironmental situation of the $orld# Trying to mobilize the business
sector of the base#8 (Inter*ie$ conducted by Nic 1aget-Clar+e for In 5otion
5agazine on eptember %, ())4 in eo 1aulo, Brazil"
/raAe$, dri*en by a sense of self-determination, has ser*ed as a boundary spanner
to mobilize the Brazilian business community, the state, and ci*il society# The idea for the
Ethos Institute $as born during /raAe$s *acations, dri*en by the $illingness to change the
social and en*ironmental situation of the $orld 6as he defined it himself-# L Brazilian
academic describes /raAe$s self-determination and autonomy during an inter*ie$ in ao
1aulo2
7Qded is someone special# We is someone $ho has been a businessman, business
leader, leader of a specific N/Q, and he $as already in go*ernment^ Qded is a
really perse*erant guy $ho before saying, It is o*er and $e failed, failure $ould
really ha*e to go to the bottom8 (Inter*ie$, Cune M, ())S"
&4
To transform his ideas into facts, /raAe$ uses his personal s+ills, $illpo$er and
social net$or+ for spanning boundaries bet$een society and business# By in*ol*ing the
media in his proAects, he creates positi*e *isibility $hich attracts the attention of other
business leaders $hich helps to in*ol*e them in realizing social proAects $ith Aust a phone
call# L member of Ethos describes /raAe$s leadership and self-determination for founding
Ethos2
7I thin+ that the +ey success factor of Ethos stems from the fact that Qded /raAe$ is
a business leader $ith other business leaders $ho are friends of his# They founded
the Ethos Institute together# These relations already existed before Ethos# Business
leaders $ere tal+ing $ith business leaders# This made it easy to start the first
conference# \^]# This is a mo*ement that started from business president to
business president# \^]# Rhen $e started and needed a sponsoring company, Qded
$ould call and as+2 -?isten, $e are organizing this e*ent, and need this sponsoring,
could you help usc-# Lnd he $ould obtain it# This mo*ement started from the top,
among business leaders, and spread among business organizations#8 (Inter*ie$,
Cune M, ())S"
In short, /raAe$s self-determination stems from experiences of his childhood and
proAects of his youth# This personal perse*erance has allo$ed him to control his career and
proAects# Wis sense of personal independence created the additional space necessary for
positi*e de*iance $hile he too+ a sabbatical year# This sense of autonomy then $as
deliberately used to engage other business leaders to change the social and en*ironmental
situation in Brazil# Rithout this psychological condition, the creation of Ethos and his other
personal proAects $ould not ha*e been possible#
2.).).*. EHert ;ersonal effi6a6y to out8ei5B tBe ;ossibility of failure
7Rhen indi*iduals feel efficacious, they belie*e that the potential for success
out$eighs the possibility of failure# # # Efficacy beliefs influence a persons le*el of
moti*ation, as reflected in ho$ much effort she or he $ill exert in an endea*or and
&-
ho$ long she or he $ill perse*ere in the face of obstacles8 (preitzer and
onenshein, ()),, p# (%M"#
Lccording to the authors, confidence comes from personal efficacy and contributes
to creating confidence to de*elop personal potential $hile expanding choice beha*ior for
positi*e de*iants# Ls mentioned earlier, since his youth /raAe$ began accumulating
personal efficacy first by leading and supporting his family then by *enturing a toy
company and selling the initial production of -,))) units store-to-store# Qnce the company
became a success, he mobilized the toy industry for addressing childrens issues#
ucceeding first at a personal le*el by supporting his family, and then finishing his studies
in electrical engineering, and becoming a successful business entrepreneur, /raAe$ became
interested in de*eloping more complex proAects to impact society# Table %M illustrates ho$
/raAe$s proAects o*er time became more ambitious and $ith a $ider social scope#
Table )0. $raGe8=s ;ersonal effi6a6y
ProFect Purpose Action ;e)el Social scope
%&-' Ldapting to Brazil To adapt to a ne$ society 1ersonal /raAe$
%&M% Becoming the head
of his family
To support his family 1ersonal /raAe$s
family
tudy electrical
engineering
To complete his education and support his
family
1ersonal /raAe$
%&S( /!QR To sell toys to employ himself and his group
of his friends
/roup Benefits for
him, his
partners,
employees
and suppliers#
%&'& Chairman of
Brazilian Toy
5anufacturers
Lssociation
To represent and lead the Brazilian toy
5anufactures industry
/roup Brazilian toy
5anufactures
industry
%&&) Lbrin@ To defend childrens rights ocietal Brazils
children
%&&) 1NBE To contribute to bring bac+ democratic
processes in Brazil
ocietal Brazil
%&&' Ethos Institute 5obilize the Brazilian business community
to build a sustainable and Aust society#
ocietal Brazil
())% Rorld ocial
Vorum
To see+ and build alternati*es to neo-liberal
policies
ocietal Impact on
/lobal
economies
()), 1residential ad*isor Ld*ise 1resident ?ula on social issues ocietal Brazil
())S Nossa eo 1aulo To impro*e the @uality of li*ing of people
li*ing in ao 1aulo Brazil
ocietal ao 1aulo
uThis Table is not exhausti*e but intends to illustrate /raAe$s traAectory#
&M
By %&&', $ith a pre*ious experience from participating in 1NBE that discussed
national issues such as economic democracy, social Austice, and the role of the business
community in the democratization process of Brazil, he founded Ethos Institute to mobilize
the Brazilian business community through the adoption of C! for building a better
society# /raAe$ o*er time increased his personal efficacy to out$eigh failure# 5oreo*er, he
has inno*ated $ith proAects not only aimed at sol*ing Brazils issues, but also proAects at a
global scale such as the Ethoss participation in such $orld arenas as the Dnited Nations to
discuss the millennium goals# ince then, /raAe$ has been continuously creating
re*olutionary ideas and challenging business and society standards#
The progressi*e success of /raAe$s proAects has contributed to out$eighing the
possibility of failure encouraging him to *enture into ne$ proAects# 0uring his life he has
learned that it is possible to succeed in his inno*ati*e proAects o*ercoming the ris+ of
failure#
2.).).2. -ossessin5 tBe 6oura5e to o:er6ome tBe ris7 of brea7in5
out of tBe ri5i9ity of norms
71ositi*e de*iance often in*ol*es significant ris+ as indi*iduals brea+ out of the
rigidity of norms and patterns of expected beha*ior # # # courage pro*ides indi*iduals $ith
the bac+bone to engage in positi*ely de*iant beha*iors8 (preitzer and onenshein, ()),,
p(%S"# preitzer and onenshein state that courage is the $illingness to confront ris+ and do
$hat you belie*e is right regardless of the conse@uences# !egarding the ris+s that /raAe$
has faced for confronting companies that employ children, pollute the en*ironment,
discriminate its labor force, and are in*ol*ed in corruption scandals, a senior scholar
commented2

&S
7I $ould say that he is really bra*e# I ha*e ne*er seen him hesitate for one moment#
This is something incredible# We told me himself the other day that sometimes his
life is in danger# # # Wo$e*er, I belie*e that he has a good sense to +no$ $ell $hich
are the limits of fear and the limits of a transformation per se#8 (Inter*ie$, Cune M,
())S"
Lnother important specialist of the Brazilian transformations described during an
inter*ie$ /raAe$s courage to confront ris+s and ad*ersity2
7/raAe$ is li+e a $iss Ban+er# In Brazil, $e see $iss ban+ers as al$ays
financially successful# If a $iss ban+er decides to Aump from the tenth floor, this
$ould mean that there is money to be made by doing this# /raAe$ is the same 6he
has already Aumped so many times into ne$ inno*ations that ha*e ended up been
ground-brea+ing and successful that e*ery time he Aumps and launches a ne$ idea,
e*eryone pays attention#8 (Inter*ie$, Cune %(, ())S"#
Qn e*ery proAect in $hich /raAe$ has been in*ol*ed, the possibility of failure has
al$ays existed# Ethoss success $as possible due to the participation of different sectors of
society# If /raAe$ $ould not ha*e con*inced the business community to participate, Ethos
$ould ha*e not been created in the first place# /raAe$ can control his personal performance
and +no$s his o$n limits3 ho$e*er +no$ing ho$ far others $ill be $illing to sacrifice is
something out of anyones control# /raAe$s re*olutionary ideas face a double challenge3
they go against the establishment# Wo$e*er, /raAe$ reduces the ris+ of failure $ith his
leadership and courage# In doing so, he is able to brea+ out of the norms and standards of
the business community in Brazil and ta+e ris+s on social proAects to address issues that
might go against the business establishment, namely corruption, and child and sla*e labor#
Q*erall, the results indicate that /raAe$ fulfills the fi*e psychological conditions
proposed by preitzer and onenshein (())," for a positi*e de*iant leader to underta+e
actions against existing la$s, rules, norms, social standards, and authorities $hile assuming
ris+s in order to create extraordinary outcomes# The aforementioned psychological
&'
conditions helped /raAe$ to use his moral imagination in underta+ing inno*ati*e proAects
to$ards creating a better Brazilian society# Virst, he focused on an indi*idual le*el by
starting up a toy company and then he focused to an organizational action by mobilizing the
toy industry to$ards defending children rights, participating in 1NBE and aforementioned
social proAects# By creating Ethos, /raAe$ has been moti*ating the Brazilian business
community to enhance C! for creating a better society# The follo$ing part describes the
strategy that enabled the adoption of ne$ beha*iors among the business community#
&.2. .he six 7D6s8 Positive Deviance $o%el in Ethos 4'nalysis
Ls mentioned earlier, /raAe$ fulfills the fi*e psychological conditions proposed by
preitzer and onenshein (())," for positi*e de*iance# We has a strong sense of meaning to
act to change the establishment by exercising an other-focus perspecti*e $ith self-
determination to transform his ideas into facts $ith courage for o*ercoming the ris+ of
brea+ing out of rigid norms# This section illustrates Ethoss organizational strategy to foster
C! among the Brazilian business community# The 10 model I propose compares Ethos
strategies $ith the six 70s8 positi*e de*iance model of C# ternin# This analysis is
composed of six parts# Each part describes one 708 *is-=-*is Ethoss actions to foster C!#
The six 70s8 of ternins model can be summarized in Table %S2
Table )D. TBe SiH I'=sJ
Positi)e +e)iance (C# ternin, The 7ix 0s8 #!etrie*ed Vebruary (), ())' from
$$$#positi*ede*iance#org"
0efine the problem (situation analysis" and define $hat a successful solutionOoutcome
$ould loo+ li+e#
0etermine if there are any indi*idualsOentities in the community $ho already exhibit desired
beha*ior#
0isco*er uncommon practicesObeha*iors enabling the 10s to outperformOfind better
solution to the problem than others in their community#
0esign, implement acti*ities enabling others in 7community8 to access and practice ne$
beha*iors#
0iscern the effecti*eness of acti*ities or proAect through ongoing monitoring an e*aluation#
0isseminate successful process to appropriate [other# hare de*iant beha*iors $ith
[community outsiders#
The steps can be performed on non-se@uential basis
&&
2.+.). 'efinin5 tBe ;roblem to sol:e an9 9efine 8Bat a su66essful
out6ome 8oul9 loo7 li7e
The problem identified by /raAe$ referred to ho$ to build a Aust society in Brazil#
The ideal result for Ethos is to ha*e a sustainable and Aust society $ith the participation of
socially responsible companies#
Table ).. 'efinin5 tBe ;roblem
+efining the Problem in Ethos To build contribute in building a better society in
Brazil#
Aho can contribute in building a better society
in Brazil
Business organizations collaborating $ith the
Brazilian state and ci*il society
Ahy address enterprises Companies ha*e economical resources and the
influence to influence state and ci*il society#
?o* to engage companies to contribute in
sustainable de)elopment in Brazil
Through positi*e de*iance#
Ahat Dind of positi)e de)iant beha)iors does
Ethos tracD and diffuse
Ethos is committed to trac+ and diffuse corporate
social responsible practices in Brazil# If
necessarily Ethos also $ould recourse to
examples outside Brazil#
Ahy *ould a company adopt corporate social
responsibility
(%" Ls a strategic option to create a
competiti*e ad*antage#
((" To contribute in building a better
Brazilian society#

Table %' defines the problem identified by Ethos and the in@uiries lin+ed to
disseminating C! to companies as a mean to contribute in participating in the Brazilian
democratic process# The next step on positi*e de*iance is to identify companies that already
displayed beha*iors directed to$ards sol*ing the problems identified by Ethos#
2.+.+. 'eterminin5 in9i:i9ualsCentities 8itB tBe 9esire9 beBa:ior
/raAe$ and the members of Ethoss deliberati*e council mostly had experience on
social entrepreneur proAects, $hich in*ol*ed the business community (i#e#, Lbrin@ and
1NBE"# Wence, they $ere a$are that companies exercising socially responsible practices
did exist# The challenge $as to trac+ them and encourage them to share their experiences
and +no$ledge $ith the rest of the community# To identify existing socially responsible
firms, Ethos has run a continuous media campaign on the press, tele*ision, uni*ersities,
radio since its foundation, to encourage those companies to share their experiences and to
pro*ide free information and notions on C!# Rithin, socially responsible firms $ere
%))
trac+ed and also broadcasted as a positi*e example# 5oreo*er, in order to locate companies
$ith C! practices and moti*ate them to share their experiences, Ethos created three
different a$ards as mentioned on chapter four2 (%" 1rBmio Ethos de Aournalismo for
Aournalists, ((" 1rBmio Ethos 9alor an a$ard gi*en to graduate students, scholars $ho are
interested in research or to study C!, and (," 1rBmio Balando ocial an a$ard gi*en to
companies $hich had outstanding C! practices# Rith its communication efforts and
a$ards, Ethos is continuously identifying firms $ith socially responsible beha*iors#
5oreo*er, Ethos $ith the creation of the program InternEthos, helps trac+ socially
responsible companies in the rest of Brazil by organizing meetings among InternEthos
members to promote dialog and encourage alliances#
In short, in order to disco*er socially responsible practices Ethos2 (%" promotes a
media campaign for creating *isibility to$ards C!3 ((" encourages a context for sharing
through different a$ards, conferences, and thematic debates in*ol*ing academia,
Aournalists, and companies3 and (," creates a social net$or+ outside of ao 1aulo through
InternEthos#
2.+./. 'is6o:erin5 un6ommon ;ra6ti6esCbeBa:iors amon5 tBe business
6ommunity in !raFil tBat enable -'
To unco*er socially responsible practices in Brazil, Ethos uses its social net$or+
$hich is comprised by academics, Aournalists, people from the business community, the
program InternEthos and international alliances# Cournalists, academics, graduate and
undergraduate students are in*ited to research and study socially responsible practices
through the a$ards 1rBmio Ethos de Aournalismo and 1rBmio Ethos 9alor# In doing so, these
7pu'licos indutores8 or opinion leaders $iden the understanding of positi*e de*iant
practices that ha*e enabled them to outperform# Ls a result of this positi*e context for
socially responsible beha*iors, companies are $illing to share *oluntary their methods and
experiences# The disco*ering of 7uncommon practices8 is described by one Ethos member
as 7an enriching forum for exploration of ne$ ideas in a non-hierarchical, friendly and safe
context8#

%)%
The program InternEthos promotes dialogue, encourage alliances and helps to
disco*er and understand the uncommon practices of the companies that $ere determined to
be positi*e de*iants# This process is performed by Ethos staff $ho help to articulate
companies +no$ledge through conferences and Ethoss self-diagnosis tool# Ls a result,
Ethoss members and +no$ledge ha*e expanded across Brazil as $e sa$ chapter four#
Vor disco*ering and understanding socially responsible practices Ethos uses mostly
examples in Brazil# Wo$e*er, for expanding and updating its +no$ledge e*ery year Ethos
organizes an international C! conference that has become the largest in ?atin Lmerica#
0uring this e*ent, companies mostly from ?atin Lmerica share their experiences, $hich
enriches the +no$ledge con*ened in Ethos# 5oreo*er, to expand its +no$ledge boundaries
outside of Brazil, this non-profit organization maintains international alliances $ith
organizations such as Business for ocial !esponsibility (B!"# In doing so, Ethos holds
access to disco*er uncommon and inno*ati*e practices, enriching the scope of C!
+no$ledge for its members to international le*els, enabling *isibility in other countries to
socially responsible companies in Brazil# This ser*es as a complementary moti*ator for a
company to share their experiences and to be part of Ethos# 5oreo*er, Ethos has recourse
to international institutions such as the Dnited Nations and the Qrganization for Economic
0e*elopment for disco*ering successful social practices used at international le*els# Qn the
$hole, the disco*ering of uncommon social practices is realized through four main fronts2
(%" Ethoss social net$or+ $hich includes academia and Aournalists, ((" InternEthos,
(," Ethoss acti*ities namely conferences and debates, and (4" international alliances#
2.+.*. 'esi5nin5 an9 im;lementin5 a6ti:ities tBat enable otBers to
a66ess ne8 beBa:iors
In order to foster C! among its members and the rest of the business community,
Ethos designed a series of acti*ities and tools# Vor companies, it designed indicators to self-
e*aluate, national and international conferences to share and enrich their C! +no$ledge,
debates to discuss different solutions for specific issues, programs as InternEthos to
%)(
facilitate regional alliances, free information on the internet to facilitate inclusion of ne$
members, the creation of DniEthos to support Ethos in its educational process to pro*ide
companies $ith tailored sustainable de*elopment ser*ices# Vor Brazilian ci*il society, Ethos
publishes the results of the con*ened social programs, and as aforementioned it created
lin+s $ith media and uni*ersities for realizing research and publishing information about
socially responsible firms# In doing so, Ethos enables others to access ne$ beha*iors and
consumers, ci*il society, and companies ha*e more information a*ailable about C!#
Ethos has gro$n from only ele*en members in %&&' to %,,SS members
-&
in ())' by
enabling ne$ beha*iors through ci*il society, in*ol*ing uni*ersities and media, and the
business community through its corporate members# Vigure , describes the process of
mobilizing the companies# Ethos has con*ened ci*il society, the business community and
Brazilian go*ernment to interact $ith each other, through its acti*ities, tools, and free
information# Ci*il society, influenced by uni*ersities and the media, demands that
go*ernment and the business community introduce socially responsible practices# The
go*ernment then participates in social proAects and public debates $hich encourage
companies to be in*ol*ed in socially responsible practices3 therefore companies ha*e
access to dialogue and as+ for better conditions and support from the go*ernment for
certain proAects (i#e#, Yero hunger 6 to reduce hunger and po*erty3 the Cisterns program 6 to
gi*e safe drin+ing $ater3 the Yero Illiteracy 1rogram 6 to promote education3 and
1romotion of e@uity 6 to eliminate discrimination and empo$er $omen"# Vinally, Vigure 4
sho$s the multiplier effect that Ethos members ha*e to attract ne$ corporate members#
ocially responsible firms attract more companies3 in fact, $hen the rest of a community
realizes that positi*e de*iants are displaying success and positi*e results, they become
curious and open to experiencing ne$ beha*iors (Cameron, ())M"#
-&
Information retrie*ed from Ethos $ebsite dated 5ay ,, ())'
%),
"i5ure *. Enablin5 otBers to a66ess ne8 beBa:iors
%)4
In short, Ethos con*enes acti*ities for the business sector, ci*il society and attempts
to in*ol*e the state $hene*er possible# Rith a series of acti*ities such as conferences to
promote interaction, publications for promoting *isibility and broadcast for positi*e cases,
research programs $ith academia for $idening comprehension on C!, and free tools for
eliminating transaction costs# 5oreo*er, Ethos sensitizes ci*il society, $hich helps in
enabling the business community to access and adopt ne$ beha*iors#
2.+.2. 'is6ernin5 tBe effe6ti:eness of a6ti:ities tBrou5B on5oin5
monitorin5 an9 e:aluation
Ls mentioned earlier, Ethos is an organization that is grounded on pro*iding a
forum for good con*ersations
M)
(Bird, %&&M"# Therefore, the analysis and e*aluation of the
effecti*eness of Ethoss acti*ities is based on dialogue around t$o different axes2 (%" the
M)
7Teleologically-oriented communicati*e exchanges that see+ to reach, interpret, or maintain normati*e
agreement8 (Bird, %&&M, p()'"#
%)-
deliberati*e council e*aluates the effecti*eness of Ethoss acti*ities and performance of its
proAects3 ((" corporate members self-e*aluate through incenti*es and positi*e broadcasting
and through interaction $ith other members for sharing experiences on debates, forums and
conferences#
The Ethoss deliberati*e council continuously dialogues and examines proAects and
ideas from members of its board $ho represent a business organization or a particular
industry# The expertise and experience of each member of the deliberati*e council gi*es the
organization a self-critical point of *ie$ about the effecti*eness of their acti*ities and
strategies to foster C! among their corporate members# 0uring meetings, the council
re*ises and updates its resources, namely, $ebsite, self-e*aluation tools, publications, social
proAects, and communication and mar+eting strategies#
Ethoss corporate members possess the means to discern the effecti*eness of the
C! acti*ities they are adopting through self-e*aluation tools pro*ided by Ethos# Ls
explained in chapter four, the self-e*aluation co*ers se*en areas2 (%" 9alues, transparency,
and go*ernance3 ((" the $or+force3 (," the natural en*ironment3 (4" suppliers,
(-" consumers and customers, (M" community, (S" and go*ernment and society# Qn these
se*en features companies can directly monitor the effecti*eness of their social practices# In
addition, Ethoss members ha*e the access to the ser*ices of DniEthos# Through DniEthos,
companies ha*e the option to participate in C! training programs and educational ser*ices
in order to monitor, e*aluate, or update their organization policies on corporate social
responsibility# Q*er the years, corporate members $ill be in*ited to share their experiences
in debates, $or+shops and they $ill ha*e the opportunity to participate in the largest annual
conference on corporate social responsibility in ?atin Lmerica $hich assembles companies,
academics, and +ey people from different countries# In doing so, companies ha*e access to
+no$ledge that is at the forefront of C!, allo$ing them to compare and discern the
effecti*eness of their o$n policies and acti*ities#
%)M
2.+.0. 'isseminatin5 su66essful ;ro6ess to a;;ro;riate IotBersJ
The dissemination of successful C! practices along the business community is
realized by Ethos by different means, as $e sa$ abo*e# The dissemination of successful
cases and best practices on C! is done on three main fronts2 (%" 5edia campaigns $hich
includes radio, tele*ision, press, and specialized re*ie$s3 ((" academia through publications
and academic Aournals3 and (," Ethos and DniEthos acti*ities, namely, thematic debates,
deliberati*e council meetings, $or+shops, InternEthos, Ethos a$ards, manuals,
conferences, and a ne$sletter to its corporate members# The information is mainly about
successful C! cases in Brazil and also about international experiences# 5oreo*er, it is
disseminates information about other publications, such as manuals (e#g#, Rhat Business
can do for Education, Business Commitment to the 5illennium /oals" and academic
research on C!#
2.+.D. Non(se<uential SiH I'=sJ Mo9el
The original model proposed by C# ternin implied that the steps had to be
performed se@uentially# In other $ords, step t$o can start only $hen step one has been
accomplished, and so on through step six# Wo$e*er, I propose that Ethos Institute has
grounded its strategy in a non-se@uential positi*e de*iance model for strategic reasons# This
means that teps t$o, three, four, fi*e, and six can be underta+en simultaneously in order to
increase the effecti*eness of the model# The ad*antage of performing simultaneous action
on the positi*e de*iance model is that a program or acti*ity can ser*e multiple purposes
$ithin the positi*e de*iance model thus increasing the effecti*eness of the model# In
adopting this simultaneous approach, it is possible for instance to disco*er ne$ positi*e
de*iant practices $hile designing acti*ities to enable others to access pre*iously disco*ered
practices# 5oreo*er, using a non-se@uential six 70s8 model allo$s the monitoring of
current acti*ities and the dissemination of ne$ information from pre*ious experiences
through different means, such as conferences, media, internet, or publications#
%)S
The simultaneous 0 model in Ethos can be described as follo$s# The acti*ities and
proAects are defined, managed, and discussed by deliberati*e council# 1arallel acti*ities
such as academic and Aournalistic research, thematic debates and conferences are conducted
to determine and attract positi*e de*iants# Lt the same time, socially responsible practices
are analyzed and disco*ered $ith the collaboration of uni*ersities and Aournalists that are
assisted by DniEthos $ith training and educational ser*ices# The design and
implementation of acti*ities namely, debates, conferences, $or+shops, and publications are
also coordinated by the deliberati*e council# Through this process, there is a continuous
e*aluation of the effecti*eness of each acti*ity or program by the council# elf-monitoring
tools are a*ailable on Ethoss $ebsite for companies# Concerning the dissemination of
information, information is made a*ailable continuously about successful cases and about
academic research and information on C!# Vigure - illustrates the systematic
interrelationship bet$een the six 70s8 model and Ethoss acti*ities for fostering C!
among the business community to$ards building a better Brazilian society#
"i5ure 2. TBe SiH I'=sJ mo9el in EtBos
%)'
This chapter analyzed the empirical data of this research# Re re*ie$ed the
importance of /raAe$s psychological characteristics as a leader for creating a context of
C! in Brazil# 5oreo*er, $e used a positi*e de*iance frame$or+ for understanding
Ethoss model for disseminating notions on corporate responsibility since %&&'# The next
chapter presents the conclusions, describes the research limitations, and suggests a*enues
for further research#
%)&
0. Con6lusions
5ost of the academic literature focuses on understanding firms and the entire
business system, Aust as if companies and business practitioners $ere subAect of different
rules and 7cut off from nature and all of its myriad effects8 (Vrederic+, %&&', p4%"#5any
studies are centered in understanding firms beha*iors - the literature is 7orgo-centered8#
5any academics focus only in understanding the internal processes of firms in order to
guide businesses to$ards a social path# 9ery little has been $ritten on strategies for both
assisting and to encouraging companies in the adoption of social practices stemming from
external actors of a firm such as ci*il society, non-for-profit organizations, the media, and
the academic community# If academic communities mo*e to$ards no*el approaches $hich
are not necessarily 7orgo-centered8 they could contribute to sol*e problems $ith a more
holistic model# This study has proposed an inno*ati*e model originated in sociology to
describe beha*iors that do not follo$ dominant beliefs and *alues, $hich ha*e the potential
to transform an entire system# In doing so, $e expect to expand the theoretical frame$or+
of firms by including other fields of study# Ln integrati*e analysis bet$een social science
and management $ould pro*ide ne$ tools to encounter the 7orgo-centered8 paradigm $e
are facing# Qrganisations can no longer remain sealed $ithin a glass sphere (Vrederic+,
%&&'"# L management approach is no longer enough# In order to $iden business-and-
societal relations a multidisciplinary *ision is needed, thus firms are affecting not only our
society but also our natural en*ironment (1auchant and 5itroff, ())%"#
This masters thesis has focused on understanding ho$ the Ethos Institute has
created a context for corporate social responsibility and disseminated this notion into the
media, among the business sector and in ci*il society in Brazil# The findings suggest that
this $ide dissemination $as made possible by the application of a model of positi*e
de*iance# The literature on that concept is re*ie$ed in Chapter ( on theory# Re explained in
chapter t$o that 10 is a concept initially de*eloped in sociology for describing beha*iors
distinct from a groups dominant beliefs and *alues, $hich intend to increase the $ell-being
of a community# The application of this theory e*ol*ed into practices that promote
community de*elopment (5# ternin, %&&'3 Cameron, ())-" by systematically replicating
%%)
*oluntary beha*iors already in place in a community or organization# 5oreo*er, $e
described fi*e psychological characteristics (preitzer and onenshein, ())," of a leader to
enable positi*e de*iance in a community or in an organization# In addition, in the theory
chapter $e proposed a conceptual frame$or+ to explain the data collected in situ in ao
1aulo Brazil#
Chapter four, presented a narrati*e of Ethos Institutes e*olution describing the
traAectory of Qded /raAe$, its founder, in fi*e main stages (%" The Brazilian context prior
Ethoss foundation, ((" the foundation of Ethos Institute in %&&', (," !aising a$areness on
C! (%&&&-())%", (4" Increasing strategic alliances (())(-()),", and (-" 1romoting social
change (())4-())M"# This narrati*e chapter allo$ed us to display an analysis in chapter fi*e
using the conceptual frame$or+ described pre*iously#
The results of this research indicate that t$o central features facilitated Ethoss
success in disseminating C!2 (%" /raAe$s leadership and ((" Ethoss organizational
approach# /raAe$s leadership allo$ed a social net$or+ to extend the reach of Ethos to
mobilize# 5oreo*er, the interplay of the psychological characteristics of its founder
facilitated a model of positi*e de*iance# The positi*e de*iance model assisted Ethos in
identifying companies that display beha*iors distinct from standard beliefs and *alues from
the Brazilian business community for increasing their competiti*e ad*antage and the $ell-
being of their community# Ldditionally, Ethos designed and implemented acti*ities bet$een
the Brazilian ci*il society, the state and the business community# In doing so, it created an
infrastructure for the systematic and *oluntary replication and dissemination of socially
responsible practices already existing in the pri*ate sector to address social issues in Brazil#
The second main feature, Ethoss strategy been for creating a forum for good
con*ersations (Bird, %&&M" in Brazil among ci*il society, the state, and companies# The
inclusi*e nature of Ethos for $elcoming, encouraging and ad*ising companies to adopt
social practices for de*eloping a competiti*e ad*antage and to contributing for social
de*elopment rather than Aust exercising critics has been also a central feature for its
success#
%%%
This research has intended to contribute to the understanding of ho$ to encourage
companies to underta+e corporate social responsibility and to create ne$ strategies
stemming from positi*e de*iance to extend the reach of C!# This research has certain
limitations# Re ha*e analyzed an empiric case and therefore results cannot be easily
generalized to other contexts or organizations# Xin (())," replies to this limitation2 \^]
7Wo$e*er, case studies, li+e experiments are generalizable to theoretical propositions and
not to populations or uni*erses#8 (Xin, ()),, p%)"# Concerning the conceptual frame$or+s
limitations, positi*e de*iance is a ne$ly de*eloped frame$or+ strongly practice oriented
mainly to$ards community de*elopment# Conscious of this limitations, $e encourage
future researchers to contribute to extending the literature on positi*e de*iance for use as a
means to encourage companies in adopting corporate social responsibility#
This Brazilian model of corporate social responsibility proposes interesting
elements for future researchers interested in applying social inno*ations to business
contexts# Vurthermore, it $ould be of interest to understand $hat is needed for exporting
this model to both other countries and different cultural en*ironments# ?ittle research exists
about other corporate social responsibility models in ?atin Lmerica# Therefore, it $ould be
of interest to explore the limits on the 7exportability8 of this Brazilian model or other
models created by de*eloping countries that could better fit to local context on these
countries# 5oreo*er, it $ould be of interest to conduct further research to understand the
boundaries and meaning of an Ethoss membership# In other $ords, to +no$ more about
both the internal and external changes that a firm experiences by Aoining Ethos# 0oes a firm
de*elop a competiti*e ad*antage based on C!c

%%(
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Lcademy of 5anagement !e*ie$, ('24, M((-M,(p
Rest, Brad (()),"# ynergies in 8eviance! Revisiting the Positive 8eviance 8e'ate#
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ociety# age 1ublications# 9ol# ,S No# %, 5arch %&&', 4)--&p#
Rood, 0onna C# (%&&%a"# ocial &ssues in $anagement! *heory and Research in Corporate
ocial Per"ormance# Cournal of 5anagement3 Cun %&&%3 %S, (3 LBIOINVQ!5 /lobal, ,',p#
Rood, 0onna C# (%&&%b"# Corporate ocial Per"ormance Revisited# Lcademy of
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rd
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Yade+, imon (())4"# *he Path to Corporate Responsi'ility# War*ard Business !e*ie$,
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%%'
A;;en9iH
Table ). 'efinitions of Cor;orate So6ial Res;onsibility >CSRA
Author< Reference Corporate Social Responsibility +efinition
% Bo$en, W#!# (%&-,"
in Carroll L# (%&&&"#
Corporate ocial
!esponsibility,
e*olution of a
0efinitional
construct#
\# # #] It refers to the obligations of businessmen to pursue
those policies, to ma+e those decisions, or the obAecti*es
and *alues of our society \# # #]
( 0a*is, Z (%&M)" in
Carroll, L# (%&&&"#
Corporate ocial
!esponsibility,
e*olution of a
0efinitional
construct#
\# # #] businessmens decisions and actions ta+en for reasons
at least partially beyond the firms direct economic or
technical interest \# # #]
, Vrederic+, R#
(%&M)" in Carroll, L#
(%&&&"# Corporate
ocial
!esponsibility,
e*olution of a
0efinitional
construct#
\ocial responsibilities] mean that the businessmen should
o*ersee the operation of an economic system that fulfills the
expectations of the public# Lnd this means in turn that the
economys means of production should be employed in such
$ay that production and distribution should enhance total
socio-economic $elfare# \# # #]
4 5c/uire, Coseph
(%&M," in Carroll, L#
(%&&&"# Corporate
ocial
!esponsibility,
e*olution of a
0efinitional
construct#
\# # # ] The idea of social responsibilities supposes that the
corporation has not only economic and legal obligations but
also certain responsibilities to society, $hich extend beyond
these obligations \# # #]
- Vriedman, 5ilton
(%&S)"# The ocial
!esponsibility of
Business is to
Increase its 1rofits#
\# # # ] Qnly people can ha*e responsibilities# L corporation
is an artificial person and in this sense may ha*e artificial
responsibilities, but [business as a $hole cannot be said to
ha*e responsibilities \# # #] there is one and only one social
responsibility of business 6to use its resources to increase
its profits so long as it stays $ithin the rules of the game
\# # #]
%%&
M Cohnson, Warold
(%&S%" in Carroll, L#
(%&&&"# Corporate
ocial
!esponsibility,
e*olution of a
0efinitional
construct#
\# # # ] L socially responsible firm is one $hose managerial
staff balances a multiplicity of interests# Instead of stri*ing
only for larger profits for its stoc+holders, a responsible
firm also ta+es into account employees, suppliers, dealers,
local communities, and the nation#\# # # ]
S 5anne and Rallich
(%&S(" in Carroll, L#
(%&&&"# Corporate
ocial
!esponsibility,
e*olution of a
0efinitional
construct#
\# # # ] I ta+e responsibility to mean a condition in $hich the
corporation is at least in some measure a free agent# To the
extent that any of the foregoing social obAecti*es are
imposed on the corporation by la$, the corporation
exercises no responsibility $hen implements them \# # #]
' Elibert and 1ar+et
(%&S," in Carroll, L#
(%&&&"# Corporate
ocial
!esponsibility,
e*olution of a
0efinitional
construct#
\# # #] the best $ay to understand social responsibility is to
thin+ of as it good [neighborliness# The concept in*ol*es
t$o phases# Qn one hand, it means not doing things that
spoil the neighborhood# Qn the other, it may be expressed as
the *oluntary assumption of the obligation to help sol*e
neighborhood problems \# # #]
& 0a*is (%&S," as a
reference in Rood,
0# (%&&%"# ocial
Issues in
5anagement2
Theory and
!esearch in
Corporate ocial
1erformance#
\# # #] consideration of, and response to, issues beyond the
narro$ economic, technical, and legal re@uirements of the
firm^\to] accomplish social benefits along $ith the
traditional economic gains $hich the firm see+s \# # #]
%) 1reston and 1ost
(%&S-" in Carroll, L#
(%&&&"# Corporate
ocial
!esponsibility,
e*olution of a
0efinitional
construct#
\# # #] In the face of large number of different, and not
al$ays consistent, usages, $e \the authors] restrict our o$n
use of social responsibility to refer only to a *ague and
highly generalized sense of social concern that appears to
underline a $ide *ariety of ad hoc managerial policies and
practices \# # #]
%% Carroll (%&S&" as a
reference in Rood,
0# (%&&%"# ocial
Issues in
5anagement2
Theory and
!esearch in
Corporate ocial
\# # #] the social responsibility of business encompasses the
economic, legal, ethical, and discretionary expectations that
society has of organizations at a gi*en point in time \# # #]
%()
1erformance#
%( Cones, 5# (%&')" in
Carroll, L# (%&&&"#
Corporate ocial
!esponsibility,
e*olution of a
0efinitional
construct#
\# # #] C! is the notion that corporations ha*e obligations to
constituent groups in society other than stoc+holders and
beyond that prescribed by la$ and union contract # # # the
obligation must be *oluntary adopted3 beha*ior influenced
by the coerci*e forces of la$ or union contract is not
*oluntary # # # the obligation is a broad one, extending
beyond the traditional duty to shareholders to other societal
groups such as costumers, employees, suppliers, and
neighboring communities#
%, Carroll, L# (%&'," in
Carroll, L# (%&&&"#
Corporate ocial
!esponsibility,
e*olution of a
0efinitional
construct#
\# # #] C! in*ol*es the conduct of a business so that is
economically profitable, la$ abiding, ethical and socially
supporti*e# To be socially responsible # # # then means that
profitability and obedience to the la$ are foremost
conditions to discussing the firms ethics and the extent to
$hich it supports the society in $hich exists $ith
contributions of money, time and talent \# # #]
%4 0ruc+er, 1# (%&'4"
in Carroll, L#
(%&&&"# Corporate
ocial
!esponsibility,
e*olution of a
0efinitional
construct#
\# # # ] the proper [social responsibility is to tame the
dragon, that is to turn a social problem into economic
opportunity and economic benefit, into producti*e capacity,
into human competence, into $ell-paid Aobs, and into
$ealth# \# # #]
%- Rartic+ and
Cochran (%&'-2
S-'" in Rood, 0#
(%&&%"# ocial
Issues in
5anagement2
Theory and
!esearch in
Corporate ocial
1erformance#
\# # #] the integration of the principles of social
responsibility, the processes of social responsi*eness, and
the policies de*eloped to address social issues \# # #]
%M Rood, 0# (%&&%"#
ocial Issues in
5anagement2
Theory and
!esearch in
Corporate ocial
1erformance#
\# # #] $e \scholars] need le*els to distinguish principles of
social responsibilities at2 (a" an institutional le*el, to
understand $hat is expected of any business3 (b" an
organizational le*el, to understand $hat is expected of any
and e*ery business3 and (c" and indi*idual le*el to
understand the responsibilities of managers and other
corporate actors \# # #]
%S 1as@uero, Cean
(())-"# The social
responsibility of the
firm as a subAect of
management
studies2 Ln
historical o*er*ie$#
\# # # ] By the term corporate social responsibility $e \the
authors] mean the entirely of obligations 6legal and
*oluntary- that a company must assume in order to be
percei*ed as a model of good citizenship in a gi*en
en*ironment \# # #]
%(%
Table )@. Inter:ie8 Summaries
Inter)ie*ee8s position Inter)ie*
length
+ate
C! scholar, Vundadeo /etulio 9argas (V/9" -) min )-O)MO())S
C! scholar, Vundadeo /etulio 9argas (V/9" %M min )-O)MO())S
C! scholar, Vundadeo /etulio 9argas (V/9" S- min )-O)MO())S
Ethoss Lcademic !elations -S min )MO)MO())S
Ethoss Lcademic !elations %) min )MO)MO())S
Ethoss 1ublic !elations &) min )MO)MO())S
Ethoss ex-employee &) min )SO)MO())S
Ethoss 5anager ,- min )'O)MO())S
InternEthoss 5anager 4( min )'O)MO())S
C! scholar, Vundadeo /etulio 9argas (V/9" ,) min %%O)MO())S
pecialist of Brazilian business and society from 1ontGfica Dni*ersidade
CatHlica de eo 1aulo
,) min %(O)MO())S
Executi*es from enterprises registered as Ethos member %- min %,O)MO())S
Executi*es from enterprises registered as Ethos member %S min %,O)MO())S
Ethoss director ,) min %,O)MO())S
Executi*es from enterprises registered as Ethos member ,- min %4O)MO())S
Ethoss director ,) min %-O)MO())S
Ethos director ,) min %-O)MO())S
1NBE executi*e '- min ()O)MO())S
Total 3-3 min
/.@.+. Euestionnaire
DAhat is your direct relation with the Ethos &nstitute:
DAhen and how did this relationship 'egin:
DAhich have 'een your contri'utions to the Ethos &nstitute:
DHow would you e)plain the Ethos &nstituteFs success:
DCould you mention some o" the Ethos &nstituteFs success "actors:
DCould you mention some important persons "rom the Ethos &nstituteFs human capital:
%((
DHow would you descri'e Oded /ra4ewFs personality:
DAhat is your vision "or the Ethos &nstitute in L years and MN years:
D8o you perceive that the Ethos &nstitute has changed since its "oundation:
&" the answer is positive!
- Aho promoted those changes:
- How do those changes have 'een possi'le:
- Ahen those changes have ta%en place:
- Could you descri'e the nature o" those changes:
&" the answer is negative!
- 8o you thin% the Ethos &nstitute should change:
- Ahy should it change: &n what wayOs; should it change:
- Aho should change:
D &" the person was an outsider to Ethos
Could you mention one important moment "or the Ethos &nstitute:
D&" the person was an insider to Ethos
Could you mention the most important moment youFve e)perienced at the Ethos
&nstitute:
D&" the person was an outsider to Ethos
Could you mention the roughest moment "or the Ethos &nstitute:
D&" the person was an insider to Ethos
Could you mention the roughest moment you have e)perienced at the Ethos
&nstitute:
%(,
DCould you suggest someone to interview in order to o'tain "urther in"ormation and a
di""erent point o" view on the situation:
*han% you very much "or your time#
%(4