Questionnaire
In order to comply with her mandate, the Special Rapporteur on the right to safe
drinking water and sanitation, Mrs. Catarina de Albuquerque, will focus her annual
report, in 2013, to the issues related to the sustainability and non-regression in the
realization of the human right to safe drinking water and sanitation.
For this purpose, the Special Rapporteur on the right to safe drinking water and
sanitation wishes to request your Government's views and contributions on the subject,
in particular about the following questions and issues:
Measures in response to the financial and economic crisis:
1.
What legislative measures or public policies have been taken in response to the
economic or financial crises that have direct or indirect impact on the water and
sanitation sector?
The Brazilian Government adopted measures to promote economic growth
associated to the redistribution of wealth and social inclusion, among which: the
resumption and widening of public investments, appreciation of the minimum wage,
reduction of the base interest rate, cash transfer and creation of formal employments.
Such measures generated positive direct and indirect impacts over the water and
sewage sector.
Regarding investments, the Growth Acceleration Program (Programa de
Aceleração do Crescimento - PAC) was expanded to the implementation of
infrastructure works and to the institution of the Differentiated Regime of Public
Contracts (Regime Diferenciado de Contratações), a new bidding modality for
widening the efficiency in the public contracts. Such measures resulted on the widening
of the number of contracts, investments and employed workforce, promoting a faster
celerity on the conclusion of infrastructure water and sewage works in subnational
levels.
Another important social action, with impact on the response to the financial
crisis, is My House My Life Program (Minha Casa Minha Vida) from the Federal
Government for building housings all over the country, as a response to the historical
inhabitance deficit, mainly in low income families. On its first step, started in 2009, 1
million houses were built. Currently, the second step is in course, also for building
another 1 million houses. The program brings positive impacts over basic sanitation, as
water and sewage services are included. Furthermore, the house represents great
advancement in the conditions of environmental wholesomeness, with impacts over the
improvement on the quality of living for low income populations and excluded groups.
More recently, measures for the reduction of the electric power tariffs were
taken in variable percentages for the productive and domestic consumers sectors. For
productive sectors, the reduction may reach up to 32% and for domestic consumers up
to 18%. In relation to services suppliers, it is expected the reduction in the cost of
water and sewage services. For families, the reduction of expenses on the electricity
bill permits a bigger availability of income for expenses with water and sewage.
The building of great ventures to the FIFA World Cup, in 2014, and to the
Olympic Games, in 2016, as well as of four petrochemical centers, in different regions
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of the country, also contribute for overcoming the financial and economic crisis. These
works will generate positive impacts over sanitation services.
Law no. 12.745/2012 establishes that the acquisition of nationally manufactured
products and national services from specific sectors can be required in PAC bids and
contracts. These measures may bring positive impacts over the response to the
financial crisis and favorable consequences to the water and sanitation sector.
2.
If there have been budget reductions, what budget cuts have most affected the
water and sanitation sector- both at national and local levels? Have investments in
infrastructure been reduced? Have subsidy programs been reduced? What other
budgetary, monetary and fiscal measures have been adopted that have a direct or
indirect impact on the water and sanitation sector?
Budget cuts were not performed for water and sanitation sectors. Conversely,
the offer of resources from the federal budget designated to the water and sanitation
works executed in subnational levels responsible by the supplying of these services were
increased.
The budgets and resources coming from the Federal Government Budget
(Orçamento Geral da União -OGU) and from special funds, such as the Government
Severance Fund for Employees (Fundo de Garantia por Tempo de Serviço- FGTS) and
the Workers Supporting Fund (Fundo de Amparo ao Trabalhador- FAT) were used for
increasing investments in water and sewage infrastructure. Since 2007, the Federal
Government’s financing flow for subnational entities has not been interrupted or
reduced, so that the investments in basic sanitation to the year of 2014 shall totalize
around 90 billion Reais.
Regarding FGTS, the Law that created the fund establishes that the application
of its resources shall be made in investments in the inhabitance and sanitation areas.
Resources for investments coming from the OGU are considered “non-onerous”
and the resources of loans taken from FGTS and FAT are hired with subsidized
interests, below the market rates. Such measures aim at guaranteeing and stimulating
financing measures in order to widen and expand water and sewage infrastructure, with
lower impact over consumer's tariffs.
3.
If there is a reduction on social expenditure (e.g. related to pensions,
unemployment benefits, social security, wages); how does this impact on the
affordability of water and sanitation services? Have any measures been taken to mitigate
these impacts in access to water for domestic and personal use?
Social expenses have not been reduced, but improved. The minimum wage was
increased, as well as expenditures with social security, social assistance, and cash
transfer programs. Most recently, Brazil without Misery Plan (Plano Brasil Sem
Miséria- PBSM) has been implemented for overcoming poverty and extreme poverty.
The focus of PBSM are families with per capita income lower than seventy reais
per month (R$ 70.00) and is structured in three axes: income guarantee, urban and
rural productive inclusion and access to public services, among them, water and
sewage.
The value paid to the Family Grant (transference of direct income), which is
part of PBSM, was increased, as well as the number of beneficiary families.
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The PBSM also facilitates access to water and sanitation services both with the
building of houses and of cisterns for water supply using rainwater in disperse rural
areas.
A highlight in Brazilian water and sewage tariffs is the adoption of internal
subsidies, so that the biggest consumers - domestic and non-domestic (industrial and
trade sector, for example), pay a tariff higher than average domestic consumers, who
are normally of low income. Internal crossed subsidies are also a practice, so that cities
with higher average income contribute to the ones with lower average income, through
a higher tariff. At last, the adoption of a social tariff should be highlighted, to benefit
low income population which is supplied by the services in subnational levels.
4.
If there have been changes in the management of public services, have water
and/or sewage utilities assets and/or the operation and management of water and
sanitation services been opened to private sector participation? Are there any plans for
private sector participation? Have there been changes in the tariff system or in the way
disconnections are carried out as a result of these measures? Please explain.
Changes in national scene arising from the financial crisis were not verified,
because the management of water and sewage services, comprising planning,
regulation and inspection is exclusively public. In Brazil, the private participation
occurs in two ways: through concessions for service supplying (including investments
and exploration) without assets transference and through public-private partnerships
(PPP) for the construction and operation of projects, mainly regarding the sewage. In
the last case, the participation of the private sector has increased.
5.
If applicable, have any of the above mentioned measures been taken as part of
the terms of any debt relief or bailout agreement with international and/or regional
institutions, as the International Monetary Fund, the World Bank, the European Union,
the European Central Bank, or regional development banks?
The measures that had positive impact for the water and sanitation sector were
exclusive initiatives of the Brazilian Government.
Ensuring Human Rights Compliance
6.
Has the human rights impact of measures in response to the financial and
economic constraints assessed? How do the measures impact on the enjoyment of the
human rights to water and sanitation?
All measures adopted by the Brazilian Government to answer the crisis
produced positive impacts for the accomplishment and enjoyment of human rights,
especially in what regards the right to water and sanitation. The federal legislation
concerning sanitation establishes principles that react to the public sanitation services
supplying, which are in line with the normative contents of the human right to water
and sanitation. National indicators point to a growing access to water and sanitation in
urban and rural areas. Water offered for domestic and personal use is subject to the
potability criteria established by the Ministry of Health (Ordinance 2.914/11), to and to
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the adequate quantity criteria (Law 11.445/2007). Low income consumers are benefited
by tariff mechanisms to guarantee affordable water and sanitation services.
However, studies or researches that establish a direct correlation between the
impact of the above measures to the exercise of the human right to water and sanitation
do not exist in Brazil. Water and sanitation are not widely considered with a human
rights perspective in public policies in some levels of the government, in the public or
private sector and in the core of the civil society.
7.
Has the particular impact on the most marginalized individuals and groups been
considered? What data or evidence is available about the impacts on specific groups?
What safeguards are in place to assure the continued enjoyment of the human rights to
water and sanitation in particular for disadvantaged or marginalized groups?
The implementation of PAC, MCMV and PBSM has achieved a progressive
reduction in the number of people in situation of poverty and extreme poverty, as well
as an increase on the access of the Brazilian population to water and sanitation
services in rural areas and in urban areas. Policies, plans and programs for women,
elderly people, children, indigenous people and traditional communities, such as
"quilombolas", have been conceived and implemented to improve the access of such
groups to water and sanitation services. The indicators of access to services, of the
physical growth of systems (networks and connections), the increase of the individual
solutions, especially of cisterns for rainwater, and the increase of sewage treated in the
country prove that such policies have achieved important results.
However, studies or researches that establish a direct correlation between the
impact of the above measures to the exercise of the human right to water and sanitation
do not exist in Brazil. Water and sanitation are not widely considered with a human
rights perspective in public policies in some levels of the government, in the public or
private sector and in the core of civil society.
8.
What justifications have been provided for measures taken due to economic or
financial constraints that might have had an impact on the realization of the human
rights to water and sanitation? What alternatives have been considered to these
measures?
Brazil has been dealing with the financial crisis with actions to foment economic
development, mainly with measures to promote the dynamics of the internal economy
and with measures of social protection to low income and vulnerable groups. The
implementation of the Family Grant Program (Programa Bolsa Família) has been
assuring income, access to services and to the social protection network. The widening
of federal investment measures in infrastructure works generated job offers and water,
sanitation and housing works all over the national territory. Such measures produced
positive macroeconomic impacts as well as direct impacts in the daily life of citizens,
which have more access to water and sanitation in their domiciles.
9.
What mechanisms are in place to ensure that the maximum availability of
resources is devoted to protecting human rights in times of economic or financial
constraints?
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Sanitation programs and actions shall respect principles established in the Basic
Sanitation Law (Law no. 11.445/2007) which includes principles of the human right to
water and sanitation, such as universality, equity and access. The National Plan of
Basic Sanitation (Plano Nacional de Saneamento Básico - PLANSAB) presents
guidelines and strategies for the sanitation policy for the next 20 years, in order to
assure the enjoyment of rights in this area.
The Pluriannual Plan 2012-2015 defines the guidelines and main programs to
receive federal government investments. Technical manuals were developed to establish
rules, criteria, and requirements for the elaboration of projects, their execution, and
conditions for financing water and sanitation works by the federal government and
subnational entities. Technical criteria also are important to monitor and evaluate the
execution of works.
10.
How have people participated in the decision-making processes related to any of
the measures taken in response to the economic and financial crisis?
Since 2003, the federal government has developed an institutional environment
which encourages the participation of citizens and social control of public policies,
which are also present in subnational governments.
The Basic Sanitation Law (Law no 11.445/2007) provides for social control as
one instrument of participative management of the public services of water and
sanitation. Social control is considered as important as planning, regulation and
service supplying. Basic Sanitation Municipal Plans must include social control by
citizen's councils, public consultation and public hearings.
In the federal level, the National Council of Cities (Conselho das Cidades) is the
national instance for social control of cities public policies. In such Council, segments
of the public power (federal and subnational – state and municipal governments) are
represented, alongside the private sector and the civil society. Actions related to water
and sanitation are also considered in the Technical Committee of Environmental
Sanitation (Comitê Técnico de Saneamento Ambiental - CTSA), where representatives
from all segments represented in the National Council of Cities act, including water and
sanitation bodies of the Federal Government.
The National Plan of Basic Sanitation (PLANSAB), established by the Basic
Sanitation Law, was elaborated in a participative way, with broad social participation
in workshops, regional seminars, public hearings and public consultations through the
Internet. All phases of the formulation process were planned and programmed in the
CTSA, with active participation of the National Council representatives. PLANSAB
defined indicators, programs and resources for water and basic sanitation in Brazil
from 2010 to 2030.
The elaboration of the Pluriannual Plan 2012-2015 had as a guideline
advancements in social participation and control, in its different phases (elaboration,
management, monitoring and evaluation). Governmental actions are defined in sixtyfive (65) thematic programs, each one integrating, in a traversal way, federal
government’s programs and actions. Water agenda, which includes sanitation, has
been incorporated in twenty (20) programs, of different areas such as cities, urban
areas, rural areas and environment. Water and sanitation agenda is also contemplated
in other traversal agendas, such as the ones of traditional communities and
"quilombolas", women, street population, indigenous people, food security and
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Millennium Development Goals. These agendas also include social participation in the
decision-making process.
Sustainability: The realization of the rights to water and sanitation requires a
long-term perspective that aims at ensuring the enjoyment of these rights for
present and future generations, as well as adequate use of available resources over
time. The impact of some measures in times of economic or financial constraints
may be linked with the sustainability of the services, infrastructures or overall
investments.
11.
What measures and mechanisms are in place to ensure sustainability in the
realization of the human right to water and sanitation more broadly? How are measures
aimed at maintaining access balanced with the aim of extending services to unserved
populations and with the aim of universal access?
The Sanitation Law establishes that regulation and inspection should be carried
out by subnational entities. Regulation entities have been installed in almost two
thousand cities, and are in process of installation in others.
The law also establishes the progressive universalization of water and sanitation
services. PLANSAB was elaborated having as principle the universalization of water
and sanitation services, echoing what was established in the Brazilian Basic Sanitation
Law, the Millennium Development Goals and UN provisions of resolution
A/RES/64/292, about the right to water and sanitation, with special attention to
marginalized groups.
PLANSAB contains guidelines, strategies, investments needs, indicators and
national and regional targets for the next twenty years. The Plan was elaborated in a
collaborative way involving federal bodies acting in water and sanitation sector. It
proposes an integrated action between these bodies, with the purpose of converging
policies, norms, programs, and investments. This is the case, for example, of the solid
waste policy, contained on Law no. 12.305/201, which establishes the elimination of the
waste dump and the adoption of landfills until 2014. Specific programs for rural,
indigenous people and low income populations from urban areas - formed by women
and black people in its majority, are also planned.
Sector policies for rural population, women, indigenous people, traditional
population, elders and black people included health care, with specific goals for water
and sanitation access.
12.
What mechanisms are in place to ensure that water and sanitation infrastructure
(networked as on site) is properly operated and maintained? What mechanisms are in
place to make the necessary capital investments to replace aging infrastructure? What
mechanisms are available to ensure adequate human resource capacity-building and
adequate training?
The municipalities are responsible for the operation and maintenance of
services, which can make it in a direct way or by delegation to third parties (sanitation
companies). Regulation and inspection are also municipalities' responsibility, which
according the provisions of the federal law (Law no. 11445/2007).
Such mechanisms are assured by a general law and local laws (specific
regulations), however, most cities have not created local legislation. They have a legal
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obligation of elaborating City Plans of Basic Sanitation, with a horizon of twenty years,
and the deadline is December 2013. Such process, which will bring institutional
advancements, is occurring all over the country, as the legislation that regulates the
sector is from 2007.
Regarding the quality of the water, it is important to register the obligation of
accomplishing the water potability criteria, regulated by the Ministry of Health
(Administrative Rule no. 2914/2011). In what concerns sewage treatment, several rules
were established by the National Council of Environment (Conselho Nacional do Meio
Ambiente - CONAMA) to regulate the quality of the effluent released in the water.
OGU subventions resources, FGTS and FAT loans are destined to capital
investments for new ventures and for the replacement of obsolete infrastructure, in the
national level, and from water and sewage services taxes, as well as state and
municipal budgets, in the subnational level. PLANSAB defined the necessity of
investments in water and sewage sector, both for construction and widening of systems
such as the replacement of the obsolete infrastructure in the next twenty years. The Plan
distributes the need of investments in three axes: structural investments (infrastructure
implantation and/or replacement), structuring investments (improvement of the
workforce management and qualification), and rural sanitation (to rural population and
traditional communities, such as indigenous people, "quilombolas" and to extractive
reserves).
In the last five years, the federal government has incorporated civil servants in
the technical boards of the Ministry of Cities, Environment, Health and Social
Development, which are responsible for infrastructure actions and social assistance.
The same effort is verified in the subnational level, mainly in water and sewage services
suppliers.
The positive macroeconomical environment has stimulated local work market in
the field of water and sanitation, as well as universities and technical school for
professionalization of workers in engineering and related areas.
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