watergov

This section aims to evaluate the architecture of the sector, made up of the entities that intervene in the sector. It shall establish a clear allocation of responsibilities, without overlaps or gray areas in which it is not clear which entity is responsible for a given function, as well as communication, collaboration and articulation procedures between agents in the sector and with agents from other relevant sectors.

This section aims to evaluate the organization of service provision, which translates into the number and size of service providers, within the scope of the services covered (water supply, wastewater management / sanitation and/or rainwater management) and in taking advantage of economies of scale and range. It is also intended to evaluate existing mechanisms to promote the transition to a better organization of the sector, in cases where this is not adequate.

This section aims to assess the adequacy of the rules and processes relating to the governance of service providers, in terms of ownership and service management models that can be used. They shall ensure uniformity, clarity in the scope of services, equity, and a clear definition of the rights and obligations of the parties. Existing instruments to support good corporate governance practices of service providers are also evaluated.

This section aims to evaluate the sector's strategic planning, which should be materialized in a national plan that provides the main strategic direction for the sector, and the respective processes of formulation, alignment, implementation, enforcement, monitoring and periodic review.

This section aims to evaluate the legal framework of the sector, which defines its operating rules. They shall be updated, consolidated, non-overlapping and clear in terms of scope, objectives, rules, responsibilities, incentives and sanctions. It also defines the processes of public consultation, periodic analysis and evaluation and accountability for the implementation of legislative procedures.

This section aims to evaluate the funding and financing of the sector. Financial planning and tariff policy for services are addressed, which should promote the user-pays principle focused on cost recovery, compatible with the affordability of the population. The sector's subsidy policy, when necessary, and the social support policy, which allows access to services by the most poor and vulnerable populations, is also assessed. Financing procedures for services and procedures to support the improvement of the economic and financial performance of service providers are also addressed.

This section aims to evaluate the tax system, the existence of tax incentives that benefit the sector, due to its nature as an essential public service, and that encourage desirable behaviors in the rational use of resources in the sector.

This section aims to evaluate market access rules and instruments to support and encourage the creation and consolidation of a business fabric around service providers, who provide technological, innovation, management and human resources services, with job creation and economic growth, increased national self-sufficiency and internationalization. It also evaluates the rules and mechanisms for promoting and regulating competition in water and sanitation services, which are motivators of innovation, technical progress, increased efficiency and service quality.

This section aims to evaluate the mechanisms for accountability and customers protection, for supporting society's participation in the sector and promoting communication and awareness.

This section aims to evaluate the infrastructure management instruments necessary for the provision of services. Instruments to support the quality of infrastructure, infrastructure asset management, operational efficiency, resilience and circularity are evaluated.

This section aims to evaluate the responsibilities and instruments to support the management of human capital in the sector, in order to create the conditions to attract, retain and develop talent and capabilities.

This section aims to evaluate the sectoral information system, which should allow the provision of centralized, reliable and updated information on services, with public and transparent access. The procedures for disseminating this information to political decision-makers, professionals and society are also evaluated, allowing support for the definition of public policies, the management of services, the definition of business strategies and communication with society. Existing programs to support the digitalization of the sector are evaluated. The sector's knowledge generation and innovation mechanisms are also evaluated, which aim to reinforce national endogenous knowledge and ensure qualified professionals with access to the most up-to-date information.

This section aims to evaluate the mission and regulatory mandate. When creating the regulator, it is essential for the State to define these aspects clearly, so that the regulator is duly legitimized and can fulfill its function effectively.

This section aims to evaluate the functions defined for the regulator and the powers attributed so that it can carry out its functions. When creating the regulator, it is essential for the State to define these aspects clearly, so that the regulator is duly legitimized and can fulfill its mission effectively and unequivocally.

This section aims to assess the level of independence and autonomy attributed to the regulator, namely organic, financial, technical or functional and in terms of administrative and budgetary management autonomy. Regulatory independence enables the stability and security of the regulatory framework, favor professionalism and political neutrality, separate the business State from the regulatory State, avoid regulatory capture and facilitate self-funding.

This section aims to evaluate the transparency, integrity, control and public accountability procedures, which are fundamental to the legitimacy of the regulator, as there should be no independence without responsibility for the exercise of public functions.

This section aims to assess, in light of the responsibilities assigned to it, the level of adequacy of the regulator's internal structure, namely its decision-making bodies, and its internal organization, including the regulator's strategy and management instruments.

This section aims to assess the level of adequacy of resources available for regulation, including human, financial, physical and technological resources.

This section aims to assess the level of adequacy of the regulator's articulation mechanisms with the main agents in the sector, which are fundamental for the effectiveness of regulation and the general functioning of the sector.

This section aims to assess the regulator's level of intervention in its contribution to the sector's strategy, aiming to contribute to the formulation and monitoring of better public policies. Although it is not the direct responsibility of the regulator, the definition of good public policies can significantly benefit from the information, analyses and studies provided by the regulator, which can thus play an important role in supporting political decision-makers in making good public policy decisions.

This section aims to assess the level of maturity of regulating the service quality provided to customers, aiming to ensure adequate levels.

This section aims to assess the level of maturity of the regulation of water quality for human consumption, aiming to ensure the supply of safe water by service providers, in accordance with applicable legislation, for the benefit of public health.

This section aims to assess the level of maturity of regulation in the definition, implementation and monitoring of contracts that enable the provision of services, when they exist, at all stages of their life cycle.

This section aims to assess the level of maturity of regulation in promoting and protecting competition, aiming to guarantee the freedom to enter the market (free initiative) and the freedom to compete fairly in the market (free competition). By contributing to the promotion and protection of competition, the regulator helps to generate incentives for quality, pressure price reductions, encourage innovation and avoid dominant market positions.

This section aims to assess the level of maturity of the social regulation, contributing the gradual generalization of access to services for poor populations and the fulfillment of human rights. Social regulation is transversal to all regulatory components, introducing specificities in favor of the poor.

This section aims to deepen and assess the level of maturity of the application of differential (simplified) regulation in rural and peri-urban areas, compared to the necessarily more complex regulation in urban areas, in which the provision of services, regulations and regulatory procedures shall be in accordance with the characteristics of the territories and the social, economic and cultural characteristics of the people who inhabit these territories.

This block aims to assess the level of maturity of regulatory mechanisms, which are processes or procedures used by the regulator to guide, influence and monitor the behavior and performance of actors in the sector, particularly the service providers. Here, general aspects transversal to all components are evaluated, with specific aspects being analyzed in each of the previous regulatory components.

This section aims to assess the level of maturity of the regulator's decision-making mechanisms, that is, the formal mechanisms in which the regulator analyzes a request by the service provider and issues a binding or non-binding opinion, with a view to guaranteeing principles of transparency, effectiveness and efficiency of regulatory action.

This section aims to assess the level of maturity of regulatory supervision mechanisms, with a view to monitoring and ensuring compliance with laws and regulations by service providers and the promotion of best practices.

This section aims to assess the regulator's level of maturity in terms of incentive and sanctioning mechanisms, aiming to ensure the effective implementation of the defined rules. One of the main challenges facing regulators is the lack of effective incentive and sanction instruments that allow control over compliance with the regulations they issue.