L’avènement des AAIRE a grandement contribué à la consécration d’un ordre répressif administratif aux côtés de l’ordre pénal, de même qu’il a contribué au renouvellement de la notion de sanction administrative. En tant que juristes, le pouvoir répressif des AAIRE nous interpelle à plus d’un titre, car il illustre parfaitement l’exorbitance du droit administratif et des pouvoirs de l’administration en matière économique. Si, pour les partisans de la régulation, sanctionner c’est encore réguler, il n’en demeure pas moins que ce pouvoir, qui sonne comme un retour du système de l’administration-juge, manquant de bases juridiques solides, altère les concepts du droit processuel et porte souvent atteinte aux droits fondamentaux du procès. C’est d’ailleurs ce qui explique la réorganisation interne de ces autorités, en distinguant les organes/fonctions de poursuites et d’instruction des organes/fonctions de jugement, et en soumettant l’exercice de ce pouvoir aux principes et règles régissant le droit pénal. Or, le phénomène de processualisation, qui accroît les garanties des administrés, est de nature à entamer l’efficacité tant recherchée à la création de ce type de régulateurs. Enfin, l’étude comparative des droits français et algérien sur ce sujet, nous révèle le hiatus existant entre eux, plus particulièrement à propos du respect des droits de la défense, de même qu’elle nous renseigne sur l’ampleur du phénomène mimétique en droit algérien, mais également ses limites. / The advent of the quasi autonomous non-governmental organizations of economic regulation has largely contributed to the consecration of an administrative repressive order beside the penal order, as well as it contributed to the renewal of the concept of administrative sanction. The repressive power of the Quango challenges us in many respects, because illustrates the exorbitance of the administrative law and the powers of the administration in economic matters.

[pt] Esta tese apresenta os principais resultados de medidas de eficiência dos custos operacionais de 60 distribuidoras brasileiras de energia elétrica. Baseado no esquema yardstick competition, foi utilizado uma Rede Neural d e Kohonen (KNN) para identificar grupos de empresas similares. Os resultados obtidos pela KNN não são determinísticos, visto que os pesos sinápticos da rede são inicializados aleatoriamente. Então, é realizada uma simulação de Monte Carlo para encontrar os clusters mais frequentes. As medidas foram obtidas por modelos DEA (input oriented, com e sem restrições aos pesos) e modelos Bayesianos e frequencistas de fronteira estocástica (utilizando as funções Cobb-Douglas e Translog). Em todos os modelos, DEA e SFA, a única variável input refere-se ao custo operacional (OPEX). Os índices de eficiência destes modelos representam a potencial redução destes custos de acordo com cada concessionária avaliada. Os outputs são os cost drivers da variável OPEX: número de unidades consumidoras (uma proxy da quantidade de serviço), montante de energia distribuída (uma proxy do produto total) e a extensão da rede de distribuição (uma proxy da dispersão dos consumidores na área de concessão). Finalmente, vale registrar que estas técnicas podem mitigar a assimetria de informação e aprimorar a habilidade do agente regulador em comparar os desempenhos das distribuidoras em ambientes de regulação incentivada. / [en] This thesis presents the main results of the cost efficiency scores of 60 Brazilian electricity distribution utilities. Based on yardstick competition scheme, it was applied a Kohonen Neural Networks (KNN) to identify and to group the similar utilities. The KNN results are not deterministic, since the estimated weights are randomly initialized. Thus, a Monte Carlo simulation was used in order to find the most frequent clusters. Therefore was examined the use of the DEA methodology (input oriented, with and without weight constraints) and Bayesian and non- Bayesian Stochastic Frontier Analysis (centered on a Cobb- Douglas and Translog cost functions) to evaluate the cost efficiency scores of electricity distribution utilities. In both models the only input variable is operational cost (OPEX). The efficiency measures from these models reflect the potential of the reduction of operational costs of each utility. The outputs are the cost-drivers of the OPEX: the number of customers (a proxy for the amount of service), the total electric power supplied (a proxy for the amount of product delivered) and the distribution network size (a proxy of the customers scattering in the operating territory of each distribution utility). Finally, it is important to mention that these techniques can reduce the information assimetry to improve the regulator´s skill to compare the performance of the utilities in incentive regulation environments.

Made available in DSpace on 2015-05-07T14:27:26Z (GMT). No. of bitstreams: 1 arquivototal.pdf: 791997 bytes, checksum: f3ad0c758d859a493db03aabe9e56eea (MD5) Previous issue date: 2011-02-07 / Coordenação de Aperfeiçoamento de Pessoal de Nível Superior / Given to the changes occurred from a wave of corporate mergers in recent decades, the global process of liberalization and also some technological advances arising from the current phase of globalization, new challenges were brought up to the economic regulation. As a result, it is questioned whether the regulatory model applied is the most suitable for promoting the goals of economic regulation, or if the most appropriate regulatory model would be different, being necessary to reform the regulatory structure. Thus, this work provides a critical view of the existing regulatory models, especially the unissetorial one, and upholds for a multissetorial, conceived as more appropriate to face the new entrepreneurial behaviors, such as horizontal specialization and internationalization, as well as to promote effective information management, preventing the regulator of the consequences stemming from asymmetric information. It is still unpredictable whether a shift of regulatory standards in the major world economies will minimize the effects of market failures. This paper analyzes the main aspects of this problem in order to promote greater discussion of the models and structure of regulatory agencies. / Diante das transformações advindas da onda de fusões empresariais das últimas décadas, ao processo mundial de liberalização e também alguns avanços tecnológicos decorrentes da fase atual da globalização, novos desafios se apresentam para a regulação econômica. Como consequência, é questionado se o modelo de regulação aplicado é o mais adequado para a promoção dos objetivos da regulação econômica, ou se o modelo regulatório mais apropriado seria outro, sendo necessária a reforma da estrutura regulatória. Nesse sentido, este trabalho estabelece uma visão crítica dos modelos regulatórios existentes, principalmente, o modelo unissetorial, e propugna por um multissetorial, concebido como mais apropriado frente aos novos comportamentos empresariais, como a especialização horizontal e a internacionalização, assim como, para a promoção da gestão informacional eficaz, prevenindo o ente regulador das consequências advindas das informações assimétricas. Ainda é imprevisível saber se uma mudança de atuação regulatória nas grandes economias do mundo minimizará os efeitos das falhas de mercado. Este trabalho analisa os principais aspectos dessa problemática de modo a promover maior discussão sobre os modelos de atuação e estruturação das agências reguladoras.

Made available in DSpace on 2014-12-17T14:27:26Z (GMT). No. of bitstreams: 1 RicardoCFDJ_DISSERT.pdf: 2239139 bytes, checksum: 6274158f5866cc9d35f70c49136bffb7 (MD5) Previous issue date: 2013-08-26 / This work presents an analysis about the legitimation of independent regulatory commission`s rulemaking power by participation procedure. It is observed that political and administrative decentralization and fragmentation of State, with the purpose of approaching citizens and provide, more efficiently, the functions acquired by the passage of the Welfare State, leads to a deficit of legitimacy (democratic crisis), which is noticeable in the making of legal norms by directors of independent regulatory commission to regulate specific economic sector. However, we understand that this crisis stems from the observation of the contemporary world from dogmas and legal institutions of the eighteenth century, without their evolution and adaptation to the modern world. The legitimacy must be perceived as the justification of power, relation command /obedience, which, from the Modern State, has the democracy as standard. Therefore, just as the world has evolved and demanded political and administrative decentralization to accompany him, it is necessary to the development of the idea of representative democracy (formal legitimacy) to participatory democracy (legitimacy stuff). Legitimacy is not confused with the legality: as the legality is on observance to internal legal system, the "rules of play"; legitimacy, as inputs to be fed into this system, the selection of the different expectations in the environment. Nevertheless, the legitimacy will take place by legality, through introduction of rational and communicative procedures: procedures get fundamental importance because these will be the means to select the expectations to be introduced in the legal system in order to make decisions more fair, rational and qualified towards society. Thus, it is necessary to its opening to the environment for dialogue with the government. In this context, we try to make an analysis of constitutional norms based on systematic and teleological interpretation of these norms to build these arguments. According to the Constitution of 1988, participatory democracy is a result of the democratic principle (sole paragraph of art. 1 of the Constitution), and it is an expression of citizenship and political pluralism, both foundations of Republic (respectively Art. 1st, inc . V and II of the Constitution), as well as the national consciousness. From another point of view, that principle consists of an evolution in the management public affairs (principle of Republic). The right of interested participate in the rulemaking process derives both the principle of popular participation (part of the democratic principle) and the republican principle as the due process constitutional (art. 5, LIV and LV, CF/88) and the right to petition (Art . 5 ?, inc. XXXIV, "a", CF/88), and it is the duty of the State not only be open to participation and encourage it. Ignoring stakeholder involvement in procedures and / or expressions compiled can be causes of invalidation of the rule of law produced by addiction of procedure, motive, motivation and/or because of the administrative act. Finally, we conclude that the involvement of stakeholders in the process of making rules within the independent regulatory commission is the legitimacy and the validity of rules; and that, despite of the expressions do not bind the decision making, they will enter the system as juridical fact, balancing the field of technical discretionary of agencies / O trabalho apresenta um estudo sobre a legitima??o do poder normativo das ag?ncias reguladoras pelo procedimento participativo. Constata-se que a descentraliza??o fragmenta??o pol?tico-administrativa do Estado com o objetivo de se aproximar dos cidad?os e prestar, de forma mais eficiente, as fun??es adquiridas pela passagem do Estado Social ocasiona um d?ficit de legitimidade (crise democr?tica); o qual ? percept?vel na cria??o de normas jur?dicas por particulares (os dirigentes das ag?ncias reguladoras) para regular determinado setor econ?mico. No entanto, entendemos que essa crise decorre da observa??o do mundo contempor?neo a partir de dogmas e institutos jur?dicos oitocentistas, sem a sua evolu??o e adequa??o ao mundo atual. A legitimidade deve ser entendida como a justifica??o do poder; rela??o comando/obedi?ncia, a qual, a partir do Estado Moderno, tem como ?nico crit?rio a democracia. Assim, da mesma forma que o mundo evoluiu e exigiu a descentraliza??o pol?tica-administrativa para acompanh?-lo, ? necess?ria a evolu??o da ideia de democracia representativa (legitimidade formal) para a democracia participativa (legitimidade material). A legitimidade n?o se confunde com a legalidade: enquanto a legalidade consiste na observ?ncia interna ao sistema jur?dico, nas regras do jogo ; a legitimidade, nos inputs a serem introduzidos nesse sistema, na sele??o das diversas expectativas presentes no ambiente. Entretanto, a legitimidade decorrer? da legalidade, atrav?s de introdu??o de procedimentos racionais e comunicativos: os procedimentos adquirem fundamental import?ncia, pois, ser?o o meio a selecionar as expectativas a serem introduzidas no ordenamento jur?dico, no intuito de produzir decis?es mais justas, racionais e qualificadas perante a sociedade. Assim, ? necess?rio a sua abertura ao ambiente para o di?logo com o Poder P?blico. Nesse contexto, busca-se fazer uma an?lise das normas constitucionais com base na interpreta??o sistem?tica e teleol?gica dessas para construir tal argumenta??o. Conforme a Constitui??o Federal de 1988, a democracia participativa ? uma decorr?ncia do princ?pio democr?tico (par?grafo ?nico do art. 1? da CF), e ? express?o da cidadania e do pluralismo pol?tico, ambos fundamentos da Rep?blica (respectivamente art. 1?, inc. V e II, da CF), assim como da consci?ncia nacional. Sob outro ponto de vista, o princ?pio ora em comento consiste em uma evolu??o na gest?o da coisa p?blica (princ?pio da Rep?blica). O direito dos interessados participarem do processo normativo decorre tanto do princ?pio de participa??o popular (vertente do princ?pio democr?tico) e do princ?pio republicano quanto do devido processo legal constitucional (art. 5?, LIV e LV , CF/88) e o direito de peti??o (art. 5?, inc. XXXIV, a , CF/88); sendo, portanto, um dever do Estado n?o s? estar aberto ? participa??o quanto incentiv?-la. A n?o observ?ncia da participa??o dos interessados nos procedimentos e/ou das manifesta??es elaboradas pode ser causa de invalida??o da norma jur?dica produzida por v?cio no procedimento, no motivo, motiva??o e/ou causa do ato administrativo. Por fim, conclu?mos que a participa??o dos interessados no processo de cria??o normativa no ?mbito das ag?ncias reguladoras consiste na pr?pria legitimidade e, por conseguinte, validade das normas; e que, apesar das manifesta??es n?o vincularem a tomada de decis?o, elas ingressar?o no sistema como fato jur?dico, relativizando o campo de discricionariedade t?cnica das ag?ncias

L’éclatement sans logique du contentieux des actes des autorités indépendantes de régulation économique ( AAI et API) entre le juge judiciaire et le Conseil d’État rend compte d’une instrumentalisation de l’exigence de bonne administration de la justice censée pourtant fonder un tel partage. L’absence d’unité procédurale comme d’unité jurisprudentielle traduit le caractère inopportun de cette répartition des compétences. L’objectif d’une bonne administration de la justice exige de prendre acte de la spécificité et de l’unité de la mission de régulation confiée par l’État à ces autorités pour unifier le contentieux de leurs actes au profit du Conseil d’État. / The illogical partition of the litigation of the acts of the independent authorities in charge with the economic regulation between the ordinary courts and the Council of State displays an instrumentalisation of the requirement of a proper administration of justice, a requirement that was at first presented as the reason for such a sharing. The absence of procedural and jurisprudential unity reflects the inappropriate nature of thisdivision of powers. The principle of proper administration of justice requires taking into account the specificity and the unity of the regulatory mission entrusted by the State to these authorities and therefore unifying the litigation of their acts in favour of the Council of State.

The author proposes a review of the different experiences relating to public services of economic content, both nationally and internationally, and then he analyze its concept and legal framework in national law. to this end, he reviews therecent literature on the subject, the constitutional basis and the relevant case law in order to offer his concept of Guarantor state , linked to the role and concept of public service in the peruvian legal system. / El autor propone una revisión de las diferentes experiencias relativas a los servicios públicos de contenido económico, tanto a nivel nacional como internacional, paraluego analizar su concepto y régimen jurídico en el ordenamiento nacional. Para ello, pasa revista a la literatura más reciente sobre la materia, las bases constitucionales y la jurisprudencia más relevante, para así ofrecer su concepto de estado/Administración garante, vinculado al rol y concepto del servicio público en elordenamiento jurídico peruano.

O objetivo central desta dissertação é realizar uma análise crítica da política de informática brasileira adotada na década de noventa sob uma perspectiva jurídica. O mote principal é utilizar a Lei de Informática (Lei 8.248/91 e modificações posteriores), seus dispositivos e incentivos, tanto como objeto de análise quanto como centro de referência para compreensão do setor e da política pública adotada. A questão que se propõe responder é que papel pode ser atribuído ao direito dentro de uma política pública setorial voltada ao desenvolvimento de uma indústria de grande importância na economia contemporânea e com alta dinâmica tecnológica como o setor de informática. Na primeira parte realiza-se uma revisão da literatura econômica sobre política industrial e intervenção do Estado na economia, a fim de se estabelecer os marcos teóricos do estudo empírico. Nos dois capítulos subseqüentes é feita a reconstrução histórica da antiga política de informática (a reserva de mercado) dos anos setenta e oitenta, e do novo conjunto de incentivos instituídos nos anos noventa com a Lei de Informática, tentando entender porque uma política inicialmente pensada para durar até 1997 já foi renovada por duas vezes, tendo por prazo atual de duração o ano de 2019. Também é realizado um estudo das três principais ferramentas jurídicas adotadas na nova política (o Plano Produtivo Básico, as exigências de pesquisa e desenvolvimento e o fundo setorial CT-Info), abordando a racionalidade adotada para atacar os problemas identificados, e como o direito e o arcabouço normativo se encaixam e são utilizados dentro dessa racionalidade. Ao final, tenta-se retomar sinteticamente as análises anteriores, respondendo à pergunta sobre a função do direito em três frentes: (i) como elemento que, uma vez positivado como norma jurídica, exerce influência para a evolução ou evolver posterior da política; (ii) como ferramenta jurídica de política industrial utilizada pela Lei de Informática; e (iii) como elemento explicativo fundamental para compreender a própria construção e desenvolvimento do mercado de informática no país. / The main purpose of this essay is to critically analyze under a legal perspective the Brazilian informatics policy adopted during the nineties. The strategy may be described as using the Informatics Law (Law no 8.248/91 and latter amendments), its rules and incentives as the central object of analysis and as a guidance to understand the industry and the public policy. The question to be answered herein is what role may be ascribed to Law in an industry targeted public policy aimed at promoting the development of an industry of great importance in todays economy and with high technological dynamics such as the informatics industry. The first part reviews the economic literature on industrial policy and State intervention in the economy, in order to establish the theoretical grounds of the empirical study. In the two subsequent chapters there is a historical analysis of the former informatics policy (the market reserve) in the seventies and the eighties, and of the new policy established with the Informatics Law in the nineties, arguing why a policy initially thought to last up to 1997 was renewed twice already, with a current deadline in 2019. It is also presented a research on the three most important legal instruments of the new policy (the Basic Productive Plan, the investments required on research and development and the industry specific fund CT-Info), including a study of the rationale intended to correct the identified problems, and how the Law and legal arrangements fit and were used within such rationalities. Finally, the main theses defended along the essay are jointly reviewed, thus answering the question regarding the role of Law in three different ways: (i) as an element that, once approved as legal provision, exerts influence on the further evolution of the public policy in question; (ii) as an industrial policy legal instrument used within the Informatics Law; and (iii) as a fundamental explanatory element to comprehend the constitution and development of the Brazilian informatics market itself.

Financial systems are today one of the most heavily regulated sectors of the world and whose role has been widely discussed in the economic debate, considering the route of infection they pose to the economy, as presented in the recent international financial crisis. Thus, this study aimed at reviewing the theoretical framework pertaining to the economic theories of regulation, the role of financial systems in the economy and the rationale for state intervention in these markets, as well as changes the rules on supervision of the sector financial. It also presented a brief discussion of the international financial crisis and the new role of emerging economies in global economic scenario. / Os sistemas financeiros constituem-se hoje um dos setores mais intensamente regulados do mundo e cujo papel tem sido amplamente discutido no debate econômico, haja vista a via de contágio que estes representam para a economia, como apresentado na recente crise financeira internacional. Dessa forma, este trabalho teve como objetivo apresentar uma revisão do arcabouço teórico referente às teorias econômicas da regulação, do papel dos sistemas financeiros na economia e das bases racionais para a intervenção do Estado nestes mercados, bem como da evolução das regras de supervisão do setor financeiro. Apresentou-se ainda, uma breve discussão da crise financeira internacional e do novo papel das economias emergentes no cenário econômico mundial.

[pt] A perdas não técnicas de energia elétrica (PNT) constituem, atualmente, um dos principais problemas enfrentados pelas concessionárias de distribuição de eletricidade no Brasil. Entende-se que parte desses fatores não são gerenciáveis pelas distribuidoras, e assim, são repassadas aos consumidores através de tarifas de eletricidade, seguindo os limites definidos pela Agência Nacional de Energia Elétrica (ANEEL). Apesar do progresso realizado pela ANEEL, a metodologia atualmente empregada pela Agência utiliza-se de dados em painel para formulações desses limites, no entanto, define-se algumas medidas ad-hoc que acabam resultando em metas de perdas pouco condizentes com a realidade das distribuidoras brasileiras. Essa dissertação tem por objetivo selecionar modelos de forma automática para dados em painel, avaliando sua aplicabilidade na definição das metas de perdas não técnicas. Os modelos propostos foram empregados a um painel de dados contendo observações anuais de 62 concessionárias de distribuição de energia elétrica brasileira no período de 2007 a 2017, gerando, assim, 1.097.789 modelos com respeitando os tipos de regressões em dados em painel, resultando em 3 modelos potenciais com metas de PNT mais aderentes às PNT reais das distribuidoras brasileiras. / [en] Non-technical electricity losses (NTL) are currently one of the main problems faced by electricity distribution utilities in Brazil. It is understood that part of these factors is not manageable by the utilities, and thus, they are passed on to consumers through electricity tariffs, following the limits defined by the Brazilian Electric Energy Agency (ANEEL). Despite the progress made by ANEEL, the methodology currently used by the Agency uses panel data to formulate these limits, however, some ad hoc measures are defined which end up resulting in loss targets that are not consistent with the reality of Brazilian distribution utilities. This dissertation aims to select models automatically for panel data, evaluating their applicability in setting non-technical loss targets. The proposed models were used in a panel data containing annual observations from 62 Brazilian electricity distribution utilities in the period from 2007 to 2017, thus generating 1,097,789 models with respect to the types of regressions in panel data, resulting in 3 potential models with NTL targets more adherent to the real possibilities of the Brazilian distribution utilities.

Since its inception in 1989, the private water sector of England and Wales has been enlisted as a centrepiece in debates concerning the merits of privatisation. Advocates point to increased environmental performance and increased investment. Critics note a significant retraction of the early free market aspirations and increasingly prescriptive regulation. However, market mechanisms and liberalisation are once again being emphasised in policy, reigniting the debate surrounding the commoditisation of water. This thesis engages directly and critically with Karen Bakker's 'Uncooperative Commodity' approach to the 'reregulation' of the industry, arguing its tenants must be adapted to accommodate these recent developments. While Bakker's earlier accounts of the reregulation of the water industry placed a great emphasis on the geography and biophysical properties of water, later work by both her and her contemporaries have developed more refined and socialised models of how water and society interact to produce temporary regularities in the material world. This thesis argues that an appropriate means of developing Bakker's original thesis would be a greater focus on socio-historical context when exploring the materiality of water, and hence the degree to which water may be transformed into a private commodity. Bob Jessop's Strategic Relational Approach (Jessop 2008) is deployed as a means of describing and relating: (1) the degree to which research can identify underlying mechanisms which govern the outcomes of attempts to commoditise water under capitalist modes of production, (2) the role of the state and politics in flanking or supporting the commoditisation of water and (3) the role of existing discursive-institutional structures in introducing path-dependencies and uneven power geometries which in turn effect the outcomes of collective action towards the commoditisation of water. The thesis documents historical developments in English and Welsh resource planning, regulation, and policy from 1945 to 2012 in order to explain the current structure of the industry, its response to water scarcity, and the origins of the current reform programme. It then focuses on the conflicts and tensions between actors in the industry generated by the current reform programme and their role in affecting the degree of success of the programme itself.