Extinção do contrato de concessão no setor de saneamento básicoindenização na encampação e caducidade

Resumo

This research aims to investigate the contractual framework for indemnity and payment methods in cases of contract termination in the basic sanitation sector, specifically takeover (encampação) and termination for default (caducidade), with the purpose of identifying the guiding criteria for indemnification due to the concessionaire. The main proposal consists of analyzing the legislation (Law No. 8,987/1995 and Law No. 11,445/2007), the related bibliography, and concrete cases submitted to the Judiciary or Arbitral Tribunal. The investigation involves a comparative analysis of the National Water Agency (ANA) regulations and subnational regulatory agencies (ARSESP-SP, ARSAE-MG, and AGESAN-RS), in addition to two concession contracts considered paradigmatic (SABESP and Sergipe) executed after the new Legal Framework for Sanitation (Law No. 14,026/2020). The main results show that legislation and legal doctrine converge toward comprehensive and prior indemnity in takeover, including non-amortized investments, loss of profits, and consequential damages, while in termination for default, indemnity is restricted to non-amortized investments, without loss of profits or consequential damages and without the obligation of prior payment (which was changed by the rule introduced by Article 42, § 5 of Law No. 11,445/2007). ANA regulations and subnational agencies define the calculation methodologies: adjusted historical cost, new replacement value, and fair value. In this context, fair value is the preferred methodology for new contracts. Finally, recommendations are proposed with the objective of guiding the contractual framework for indemnity, to reduce litigation, ensure legal certainty, and attract investments to the sector.

Ficha do documento

Tipo

Dissertação

Ano

2025

Instituição

Fundação Getulio Vargas

Fonte

Repositório da FGV

Idioma

Português

Acesso

Acesso aberto

Identificador

oai:repositorio.fgv.br:10438/37851

Temas

Gestão PúblicaConcessõesInfraestrutura

Palavras-chave

Saneamento básicoConcessãoIndenizaçãoExtinção por encampaçãoExtinção por caducidadeBasic sanitationPublic service concessionIndemnityTermination on public interest groundsTermination for defaultDireitoSaneamento - LegislaçãoServiços de utilidade pública - LegislaçãoConcessões administrativasContratos administrativos