Submitted by Automa??o e Estat?stica (sst@bczm.ufrn.br) on 2017-11-22T20:29:37Z No. of bitstreams: 1 AnneEmiliaCostaCarvalho_TESE.pdf: 3379749 bytes, checksum: 9cca5d6710d5607cf545e0d729f057e2 (MD5) / Approved for entry into archive by Arlan Eloi Leite Silva (eloihistoriador@yahoo.com.br) on 2017-11-23T20:53:06Z (GMT) No. of bitstreams: 1 AnneEmiliaCostaCarvalho_TESE.pdf: 3379749 bytes, checksum: 9cca5d6710d5607cf545e0d729f057e2 (MD5) / Made available in DSpace on 2017-11-23T20:53:07Z (GMT). No. of bitstreams: 1 AnneEmiliaCostaCarvalho_TESE.pdf: 3379749 bytes, checksum: 9cca5d6710d5607cf545e0d729f057e2 (MD5) Previous issue date: 2017-07-07 / No Brasil, alguns dos problemas cr?ticos do setor de saneamento b?sico s?o o relevante d?ficit de acesso aos servi?os de abastecimento de ?gua e esgotamento sanit?rio, a dificuldade dos prestadores de servi?os de ?gua e esgoto (PSAEs) de executarem investimentos e a presen?a de inefici?ncias de opera??o e manuten??o. Como alternativa para superar essas quest?es, o novo marco regulat?rio, institu?do em 2007, fortaleceu a regula??o e estabeleceu, entre seus objetivos regulat?rios, a universaliza??o do acesso e a efici?ncia dos sistemas. Nesse sentido, a presente tese busca analisar o impacto da regula??o sobre a efici?ncia dos PSAEs no Brasil. Para tanto, foi configurado um modelo de an?lise envolt?ria de dados (DEA), in?dito para o setor, que permite a avalia??o da efici?ncia din?mica global e das estruturas internas dos PSAEs, por meio de uma rede composta por 3 divis?es interligadas para refletir os objetivos regulat?rios: 1) Expans?o/Melhoria de Sistemas de Abastecimento de ?gua (SAA); 2) Expans?o/Melhoria de Sistemas de Esgotamento Sanit?rio (SES); e 3) Opera??o/Manuten??o de SAA e SES. Aplicou-se o modelo DEA Network Din?mico para 156 PSAEs, no per?odo de 2006 a 2015, e os resultados indicaram baixos n?veis de efici?ncia global. A divis?o de Expans?o/Melhoria de SAA obteve os melhores escores m?dios de efici?ncia, seguida pela divis?o de Opera??o/Manuten??o de SAA e SES e pela divis?o de Expans?o/Melhoria de SES. Os PSAEs regulados apresentaram melhores m?dias de efici?ncia no caso das divis?es de Expans?o/Melhoria de SAA e Opera??o/Manuten??o de SAA e SES. Na segunda etapa da pesquisa, uma an?lise de conte?do das normas de 52 reguladores identificou a presen?a de incentivos regulat?rios em seis categorias tem?ticas propostas: 1) Regime tarif?rio; 2) Atualiza??o de n?veis tarif?rios; 3) Expans?o e melhoria dos sistemas; 4) Condi??es gerais e qualidade da presta??o dos servi?os; 5) Gest?o empresarial; e 6) Transpar?ncia e responsabiliza??o. A an?lise destas categorias de incentivos revelou mudan?as na forma de atua??o dos reguladores ao longo do tempo e apontou fragilidades, como a baixa utiliza??o de metas regulat?rias e mecanismos tarif?rios de indu??o ? efici?ncia. A identifica??o de incentivos regulat?rios tamb?m permitiu a constru??o de um conjunto de vari?veis representativas da regula??o, que foram aplicadas nos modelos de dados em painel para aferi??o do impacto da regula??o sobre a efici?ncia dos PSAEs. Os resultados obtidos na ?ltima etapa de an?lise permitiram a confirma??o da hip?tese central da tese, de que reguladores atuantes, quanto ? defini??o de mecanismos de incentivos, impactam positivamente a efici?ncia dos PSAEs no Brasil. As novas vari?veis, em conjunto com a an?lise espec?fica para cada uma das divis?es do modelo DEA Network Din?mico, ampliou a discuss?o acerca do impacto da regula??o sob a perspectiva da aplica??o de diferentes estrat?gias regulat?rias, demonstrando que a escolha de incentivos regulat?rios, a intensidade da aplica??o desses incentivos e, at? mesmo, o n?mero de entidades reguladoras atuantes, s?o aspectos decisivos para a efici?ncia dos PSAEs. / In Brazil, some of the critical problems of the sanitation sector are the relevant deficit of water and sewage services, the difficulty of water and sewerage companies (WaSCs) to carry out investments and the existence of operating and maintenance inefficiencies. As an alternative to overcome these issues, the new regulatory framework, enacted in 2007, strengthened regulation and established among its regulatory objectives the universal access and water and sewerage systems efficiency. In this sense, this thesis aims to analyze the impact of regulation on the WaSCs efficiency in Brazil. To this end, we configured a data envelopment analysis (DEA) model unprecedented for the sector, which allows the evaluation of the overall dynamic efficiency and it also allows the evaluation of internal structures efficiency of WaSCs, through a network consisting of 3 interconnected divisions to reflect the regulatory objectives: 1) Expansion/Improvement of Water System; 2) Expansion/Improvement of Sewerage System; and 3) Operation/Maintenance of Water and Sewerage Systems. We ran a Dynamic and Network DEA model for 156 WaSCs in the period 2006-2015 and the results indicated low levels of overall efficiency. The Expansion/Improvement of Water System division achieved the best average efficiency scores, followed by the Operation/Maintenance of Water and Sewerage Systems division and the Expansion/Improvement of Sewerage System division. Regulated WaSCs presented better efficiency measures in the case of Expansion/Improvement of Water System and Operation/Maintenance of Water and Sewerage Systems divisions. In the second stage of the research, a content analysis of the standards issued by 52 regulators identified the presence of regulatory incentives in six proposed thematic categories: 1) Tariff regime; 2) Updating tariffs levels; 3) Systems expansion and improvement; 4) General standards and quality of services provision; 5) Management; and 6) Transparency and accountability. The content analysis of these incentives categories revealed changes in regulators strategies over time and indicated weaknesses, such as a low use of regulatory goals and tariff mechanisms that induce efficiency and productivity gains. The identification of regulatory incentives also allowed the construction of a set of variables capable to represent the regulation, that we applied on panel data models to assess the impact of regulation on WaSCs efficiency. The results obtained in the last stage of analysis allowed confirmation of the central hypothesis of this thesis, that active regulators, regarding the definition of incentive mechanisms, positively impact the WaSCs efficiency in Brazil. The new variables, along with a specific analysis for each Dynamic and Network DEA model division, broaden a discussion about the impact of regulation from a perspective of applying different regulatory strategies, demonstrating that choice of regulatory incentives, the intensity of these incentives and even the number of active regulators are decisive for the WaSCs efficiency.