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Master's Dissertation
DOI
https://doi.org/10.11606/D.2.2018.tde-11092020-144224
Document
Author
Full name
Sérgio Ruy David Polimeno Valente
Institute/School/College
Knowledge Area
Date of Defense
Published
São Paulo, 2018
Supervisor
Committee
Bucci, Maria Paula Dallari (President)
Sundfeld, Carlos Ari Vieira
Coutinho, Diogo Rosenthal
Stuchi, Carolina Gabas
Title in Portuguese
Políticas públicas e a visão jurídicoinstitucional: o caso do saneamento básico no Brasil
Keywords in Portuguese
Dependência de trajetória
Direito e políticas públicas
Neoinstitucionalismo histórico
Oportunidades de veto
Saneamento básico
Abstract in Portuguese
Este trabalho objetiva investigar e mapear as características e defeitos do arranjo jurídicoinstitucional da política nacional de saneamento básico, evidenciando a relação entre a política e o direito. Objetiva, ainda, o desenvolvimento teórico do tema, com o aprimoramento de uma metodologia de análise que possa ser aplicada a qualquer política pública. Considerando o caráter interdisciplinar da matéria, parte-se da base teórica de ciência política, na linha do neoinstitucionalismo histórico, e incorpora-se o ferramental jurídico à análise, com vistas a alargar as possibilidades de aplicação. A identificação de oportunidades de veto juridicamente qualificadas, nos diversos processos que compõem a política de saneamento, indica haver disfunções no arranjo que contribuem para o aumento da assimetria de poder entre atores e o reforço da dependência de trajetória. Esses defeitos têm componentes tanto jurídicos quanto políticos e colaboraram para a manutenção do modelo setorial criado na década de 1970, baseado em companhias estaduais de saneamento. O exame crítico da política sugere que isso se deve a uma série de fatores, entre eles: incertezas sobre a titularidade do serviço, incertezas sobre indenizações ao fim dos contratos, dispensa de licitação para contratação de empresas estatais, sobreposição de papéis, projeções irreais de investimento, ausência de uma estrutura de financiamento que altere a dinâmica de subsídios cruzados e a falta de efetividade de algumas regras, como a obrigatoriedade de edição dos planos municipais. Tais fatores induzem a manutenção do status quo de baixa cobertura dos serviços, especialmente coleta e tratamento de esgoto, que ostentam os piores índices.
Title in English
Public policies and the legal-institutional view: the case of basic sanitation in Brazil
Keywords in English
Basic Sanitation
Historical Neo-institutionalism
Law and Public Policies
Path dependency
Veto points
Abstract in English
This paper aims to investigate and map the characteristics and flaws of the legalinstitutional arrangement of the national policy on basic sanitation, highlighting the relationship between politics and law. It also aims at the theoretical development of the subject, with the improvement of an analysis method that can be applied to any public policy. Considering the interdisciplinary nature of the subject, there is a political science approach - a historical neo-institutionalism background- aligned with a legal standpoint in order to make a more comprehensive analysis, with the purpose of extending its possibilities of use. The identification of legally qualified veto points in the various processes that comprise the sanitation policy indicates that there are dysfunctions in the way things are organized, which contribute to the increase of power imbalance between actors and the reinforcement of path dependency These flaws have both legal and political components, and have helped maintain the sector model created in the 1970s, based on state-owned sanitation companies. A thorough examination of the policy suggests that this comes as a result of various factors, including: uncertainties about service ownership, uncertainties about indemnities at the end of contracts, waiver of bidding for state-owned companies, overlapping of roles, unrealistic investment projections, absence of a financing structure that changes the dynamics of cross-subsidies, and the lack of effectiveness of some rules, such as the obligation to edit municipal plans. These factors induce the maintenance of the status quo of low coverage of services, especially the collection and treatment of sewage, which end up with the worst coverage rates.
 
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Publishing Date
2021-02-23
 
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