RESPGE - Procuradoria Geral do Estado de São Paulo

Transcrição

REViSta da
Escola Superior da Procuradoria
Geral do Estado de São Paulo
Journal of São Paulo State’s Attorney Generalship School
Volume 3 – Número 1
Jan / Dez 2012
ISSN 2179-8532
GERALDO ALCKMIN
GOVERNADOR DO ESTADO
PROCURADORIA GERAL DO ESTADO
ELIVAL DA SILVA RAMOS
Procurador-Geral do Estado
MARIÂNGELA SARRUBBO FRAGATA
Chefe do Centro de Estudos
ESPGE
ESCOLA SUPERIOR DA PROCURADORIA
GERAL DO ESTADO DE SÃO PAULO
REVISTA DA ESCOLA SUPERIOR
DA PROCURADORIA GERAL DO ESTADO
DE SÃO PAULO
JOURNAL OF SÃO PAULO STATE’S
ATTORNEY GENERALSHIP SCHOOL
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Editora Científica / Scientific Editor
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Conselho Editorial / Editorial Board
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Corpo Editorial/ Publishers
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Pareceristas / Reviewers
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Revisão de Texto
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Projeto Gráfico
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Editoração
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CTP, Impressão e Acabamento
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Correspondência
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Exchange orders should be addressed to ESPGE.
Normas editoriais disponíveis em: XXXQHFTQHPWCSFTDPMBTVQFSJPSSFWJTUBT
Endereço / Address
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ESCOLA SUPERIOR DA PROCURADORIA GERAL
DO ESTADO DE SÃO PAULO
EQUIPE
Diretoria
Patrícia Ulson Pizarro Werner, Procuradora do Estado, Diretora da ESPGE
Marily Diniz do Amaral Chaves, Procuradora do Estado, Vice-Diretora da ESPGE
Conselho Curador
Ana Lúcia Correa Freire Pires de Oliveira Dias; Cintia Orefice; Liliane Kiomi Ito
Ishikawa; Marcelo Gomes Sodré; Mariana Rosada Pantano; Mariângela Sarrubbo
Fragata (Chefe do Centro de Estudos, membro nato); Mirna Cianci; Nina Beatriz Stocco
Ranieri; Patricia Ulson Pizarro Werner (Diretora da ESPGE, membro nato); Ruth Helena
Pimentel de Oliveira
EQUIPE DE COORDENADORES E MONITORES
Direito do Estado
Coordenadores
Dora Maria de Oliveira Ramos; Carlos José Teixeira de Toledo; Eugênia Cristina Cleto
Marolla
Monitores
Cristiana Corrêa Conde Faldini; Enio Moraes da Silva; Liliane Kiomi Ito Ishikawa;
Luciana Rita Laurenza Saldanha Gasparini; Maria Clara Osuna Diaz Falavigna; René
Zamlutti Júnior.
Filosofia e TGD
Coordenadores
João Carlos Pietropaolo; Haroldo Pereira; Romualdo Baptista dos Santos
Monitores
Alessandra Ferreira de Araujo Ribeiro; Ana Lucia Corrêa Freire Pires Oliveira Dias;
Christiane Mina Falsarella; Julia Cara Giovannetti
Metodologia
Clarice Von Oertzen de Araújo; Márcia Walquiria Batista dos Santos
Didática
Gabriel Veiga Catellani
Direito Processual Civil
Mirna Cianci; Rita de Cássia Conte Quartieri; Fábio Victor da Fonte Monnerat
Monitores
Levi de Mello; Lúcia Cerqueira Alves Barbosa; Maria Luciana de Oliveira Facchina Podval;
Thais Teizen
Direitos Humanos
Coordenação
Ana Paula Zomer; José Luiz Souza de Moraes; Margarete Gonçalves Pedroso
Monitores
Alexandre Aboud; Ana Cláudia Vergamini Luna; Anna Cândida Alves Pinto Serrano; Anna
Luiza Quintella Fernandes; Ivanira Pancheri; Levi de Mello; Luciana Augusta Sanches;
Messias José Lourenço; Paulo David Cordioli; Rene Zamlutti Junior; Rosely Sucena Pastore;
Vera Pimentel Fonseca; Virgílio Bernardes Carbonieri
Direito Tributário e Financeiro
Coordenação
Estevão Horvath; Mara Regina Castilho Reinauer Ong; Monica de Almeida Magalhães Serrano
Monitores
Bruno Maciel dos Santos; Claudia Bocardi Allegretti; Fabrizio de Lima Pieroni; Fabrizio
Lungarzo O’Connor; Lucia de Faria Freitas; Rafael de Oliveira Rodrigues; Silvia Vaz
Domingus; Valéria Martinez da Gama
Direito Ambiental
Coordenação
Marcelo Gomes Sodré; Cintia Oréfice; Daniel Smolentzov
Monitores
Adriana Ruiz Vicentin; Ana Carolina Daldegan Serraglia; Fábio André Uema Oliveira; Jean
Jacques Erenberg; Marcos Narche Louzada; Mariana Rosada Pantano; Tatiana Capochin
Paes Leme; Vivian Alves Carmichael
Funcionários da ESPGE
Arabi Santos Mesquita; Carlos Roberto Trindade Borgonovi; Daniel Martins Silva; Deise
Aparecida Santiago; Izabel Cristina L de Freitas; Leda Regina Machado Lima; Maritza
Cristine Lins de Araujo Rocha e Cabral Sacadura; Monica Achcar de Azambuja; Paulo
Severo dos Santos; Rosana Santoro Henriques; Sergio Antonio Petry; Thiago Blumer
Estagiárias
Caroline Tiemi; Mariana da Costa Battani; Melissa Ibrahim
SUMÁRIO
Editorial
Direito Comparado
La composition du Conseil constitutionnel, un exotisme bien français....... 15
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Tradução:
A composição do Conselho Constitucional: um exotismo bem francês ......
25
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La financiación del Sistema Nacional de Salud Español .............................
35
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Direito Constitucional – nacional
Alteração e mudança da Constituição. O caso brasileiro ............................
65
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Reclamação Constitucional: a preservação da competência e garantia
da autoridade das decisões do STF brasileiro .............................................
81
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Direito Administrativo
A arbitragem nos conflitos entre políticas públicas .................................
107
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Direito Ambiental
Algumas considerações sobre o Direito Ambiental e o impacto das
explorações de petróleo ............................................................................
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Zoneamento ecológico-econômico como instrumento essencial da
política nacional do meio ambiente a ser considerado no
licenciamento ambiental...........................................................................
165
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Direito Processual Civil
Moratória Judicial: interpretação da inovação do artigo 745-A do
Código de Processo Civil..........................................................................
191
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Execução contra a Fazenda Pública por obrigações pecuniárias
decorrentes de títulos judiciais: reflexões sobre o procedimento até a
expedição de ordem de pagamento ..........................................................
227
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Mandado de Segurança e Silêncio Administrativo ...................................
265
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Direito Tributário
A compensação Tributária e o regime constitucional de precatórios
instituídos pela Emenda Constitucional nº 62/2009....................................
291
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Transação Tributária no Brasil: Possibilidades e limites ..........................
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321
EDITORIAL
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Dora Maria Vendramini Barreto
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MENSAGEM AOS ALUNOS FORMANDOS
DAS TURMAS 2010-2011
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TÍP EPVUSJOBEPSFT SFDPOIFDJEPT DPNP BT NBJPSFT BVUPSJEBEFT OPT UFNBT TPCSF
PT RVBJT TÍP DPOWJEBEPT B QBMFTUSBSFN0T TFNJOÈSJPT F QSPWBT TÍP QSFQBSBEPT
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EJWFSTBTDPSSFOUFTEPVUSJOÈSJBTFFOUFOEJNFOUPTKVSJTQSVEFODJBJTTPCSFUFNBTEF
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/ÍPIÈDPNPTFFTRVFDFSRVFPUFNQPTVCUSBÓEPEPDPOWÓWJPEPTGBNJMJBSFT
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0TIJTUØSJDPTFTDPMBSFTPTUSBCBMIPTEFmOBMEFDVSTPQSPEV[JEPTFPUSBCB
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Marily Diniz do Amaral Chaves
1SPDVSBEPSBEP&TUBEP7JDF%JSFUPSBEB&41(&
.FTUSFF%PVUPSBFN%JSFJUP
LA COMPOSITION DU CONSEIL CONSTITUTIONNEL,
UN EXOTISME BIEN FRANÇAIS
The composition of the Constitucional Council, a very French exoticism
Fabrice Hourquebie1
RÉSUMÉ 1SÏTFOUBUJPO-FQSPDÒTFOJMMÏHJUJNJUÏGBJUËMBDPNQPTJUJPOEV$POTFJM1PVS
MBOPNJOBUJPO$POUSFMFTNFNCSFTEFESPJU-BMÏHJUJNJUÏEVQSPDÒTGBJUËMB
DPNQPTJUJPOEV$POTFJM1MVTEFKVSJEJDUJPOOBMJTBUJPO.PJOTEFQPMJUJTBUJPO
4VQQSJNFSMFTNFNCSFTEFESPJU3FNQMBDFSMFTNFNCSFTEFESPJU
3FTTFSSFSMFDPOUSÙMFTVSMBOPNJOBUJPO
RESUMO
0BSUJHPUSB[VNBSFnFYÍPTPCSFBOFDFTTJEBEFEFSFGPSNBEBDPNQPTJÎÍPEP$PO
TFMIP $POTUJUVDJPOBM GSBODÐT &YQÜF PT QSPCMFNBT DFOUSBJT OB QSJNFJSB QBSUF EP
USBCBMIP BP BOBMJTBS BT QFSTQFDUJWBT EP NPEP EF OPNFBÎÍP EF TFVT NFNCSPT BP
RVFTUJPOBS B QPMJUJ[BÎÍP EB JOTUJUVJÎÍP B OÍP FYJHÐODJB EB RVBMJmDBÎÍP KVSÓEJDB EF
TFVTNFNCSPTBEJTDSJDJPOBSJFEBEFEBTOPNFBÎÜFTFBRVFTUÍPEBQFSNBOÐODJBEPT
BOUJHPT1SFTJEFOUFTEB3FQÞCMJDBOP$POTFMIP$POTUJUVDJPOBMDPNPNFNCSPTOBUPTF
WJUBMÓDJPT/BTFHVOEBQBSUFGB[QSPQPTUBTQBSBBQFSGFJÎPBSBMFHJUJNJEBEFEPQSPDFTTP
EFSFQSFTFOUBUJWJEBEFDPNPTVQSJNJSFPVTVCTUJUVJSNFNCSPTOBUPTFUPSOBSNFOPT
SJHPSPTPPDPOUSPMFTPCSFBOPNFBÎÍP
ABSTRACT
5IF QBQFS QSFTFOUT B SFnFDUJPO PO UIF OFFE GPS SFGPSN PG UIF DPNQPTJUJPO PG UIF
'SFODI$POTUJUVUJPOBM$PVODJM&YQPTFTUIFDFOUSBMQSPCMFNTJOUIFmSTUQBSUPGUIF
XPSLXIFOBOBMZ[JOHUIFQSPTQFDUTPGUIFNPEFPGBQQPJOUNFOUPGJUTNFNCFSTCZ
RVFTUJPOJOH UIF QPMJUJDJ[BUJPO PG UIF JOTUJUVUJPO OPU PG UIF MFHBM SFRVJSFNFOU PG JUT
NFNCFSTBOEUIFEJTDSFUJPOPGUIFBQQPJOUNFOUTBOEUIFRVFTUJPOPGUIFQFSNBOFO
DFPGUIFGPSNFS1SFTJEFOUTPGUIF3FQVCMJDPG$POTUJUVUJPOBM$PVODJMBTQFSNBOFOU
NFNCFSTBOEMJGFMPOH*OUIFTFDPOEQBSUNBLFTQSPQPTBMTUPJNQSPWFUIFMFHJUJNBDZ
PGUIFQSPDFTTPGSFQSFTFOUBUJPOBTEFMFUFBOEPSSFQMBDFQFSNBOFOUNFNCFSTBOE
NBLFMFTTTUSJDUDPOUSPMPWFSUIFBQQPJOUNFOU
Palavras-chaves$POTFMIP$POTUJUVDJPOBMo'SBOÎBo$PNQPTJÎÍPoBMUFSBÎÍP
Keywords$POTUJUVUJPOBM$PVODJM'SBODF$PNQPTJUJPODIBOHF
1SPGFTTFVSEFESPJUQVCMJD. 6OJWFSTJUÏ.POUFTRVJFV#PSEFBVY*7. %JSFDUFVSEFM*OTUJUVUQPVSMF%ÏWF
MPQQFNFOUEFM&OTFJHOFNFOU4VQÏSJFVS'SBODPQIPOF*%&46'
. %JSFDUFVSBEKPJOUEV$FOUSFE&UVEFT
FUEF3FDIFSDIFTTVSMFT$POTUJUVUJPOTMFT-JCFSUÏTFUM&UBU$&3$$-&
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EFMB'SBODPQIPOJF
16
Fabrice Hourquebie
1. PRÉSENTATION
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-BEPDUSJOFEPVUFSÏHVMJÒSFNFOUEFMBMÏHJUJNJUÏEFMBDPNQPTJUJPOEV$PO
TFJM .BJT UPVU OFTU QFVUÐUSF QBT CPO Ë KFUFS EBOT MB NBOJÒSF EF DPNQPTFS DFUUF
JOTUJUVUJPOMBMÏHJUJNJUÏOÏUBOUQBTRVVOFRVFTUJPOEFNPEFEFEÏTJHOBUJPONBJT
CJFOBVTTJVOFRVFTUJPOEFRVBMJUÏEFOTFNCMFEFMJOTUJUVUJPOEFGmDBDJUÏFUQBSUBOU
EBDDFQUBUJPOEFTEÏDJTJPOTEFDFUUFKVSJEJDUJPO.
-F$POTFJMDPOTUJUVUJPOOFMFTUDPNQPTÏEFOFVGNFNCSFTOPNNÏTQPVSOFVG
BOTOPOSFOPVWFMBCMFTQBSMFTUSPJTQMVTIBVUFTBVUPSJUÏTQPMJUJRVFTEFM&UBUMF1SÏ
TJEFOUEFMB3ÏQVCMJRVFMF1SÏTJEFOUEV4ÏOBUFUMF1SÏTJEFOUEFM"TTFNCMÏFOBUJP
OBMFBSUEFMBDPOTUJUVUJPOEVPDUPCSF
-FTNFNCSFTEV$POTFJMTPOU
SFOPVWFMÏTQBSUJFSTUPVTMFTUSPJTBOTDGJOGSB
.BJTTJÒHFOUÏHBMFNFOUBV$POTFJM
DPOTUJUVUJPOOFMDPNNF NFNCSFT EF ESPJU FU EPOD Ë WJF MFT BODJFOT 1SÏTJEFOUT EF
MB3ÏQVCMJRVF*MOPVTTFNCMFRVFÎBOFTUQBTUBOUMBQSPDÏEVSFEFOPNJOBUJPOEFT
NFNCSFTQBSMFTBVUPSJUÏTQPMJUJRVFTRVJNFUUFFODBVTFMBMÏHJUJNJUÏEV$POTFJMRVF
MBQSÏTFODFEFTBODJFOTDIFGTE&UBUNFNCSFTEFESPJU&OFGGFUMBWPJFQSPDÏEVSBMFEF
MBOPNJOBUJPOQBSMFTBVUPSJUÏTQPMJUJRVFTFTUËQFVQSÒTBENJTTJCMFTJPOBDDFQUFMJEÏF
RVFMF$POTFJMDPOTUJUVUJPOOFMDPNNFUPVUFKVSJEJDUJPODPOTUJUVUJPOOFMMFUSBODIFVO
ESPJUVODPOnJUFOUSFEFTOPSNFTQBSOBUVSFQPMJUJRVFTMBMPJFUMBDPOTUJUVUJPO
&O
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CMFMFTBODJFOTDIFGTE&UBUOBZBOUSJFOËGBJSFEBOTVOFJOTUJUVUJPORVJWFVUQSÏTFOUFS
MFWJTBHFEVOFBVUIFOUJRVFKVSJEJDUJPO
6OFSÏGPSNFEFMBDPNQPTJUJPOEV$POTFJMDPOTUJUVUJPOOFMFTUFMMFFOWJTBHF
BCMF &MMFOPVTTFNCMFWJWFNFOUTPVIBJUBCMF*MFOWBEFMBMÏHJUJNJUÏEFMJOTUJUVUJPO
FUQBSUBOUEFTBDSÏEJCJMJUÏUBOUBVYZFVYEFTBDUFVSTJOTUJUVUJPOOFMTEVDPOUFOUJFVY
DPOTUJUVUJPOOFMRVFEVQFVQMFGSBOÎBJT
2. LE PROCÈS EN ILLÉGITIMITÉ FAIT À LA COMPOSITION DU CONSEIL
4FMPO +BDRVFT ,SZOFO «La faiblesse du dispositif français ne résiderait pas
tant dans la sélection politique des membres du Conseil que dans les garanties de compétences de ces membres»3 %F NBOJÒSF TDIÏNBUJRVF FU DPNNF PO MJOEJRVBJU FO
3
4VSDFUUFRVFTUJPOW')PVSRVFCJFSur l’émergence du contre-pouvoir juridictionnel sous la Vème République#SVZMBOU
+,SZOFOL’Etat de justice, France, XIII-XXème siècles. L’empire des juges5PNF/3'(BMMJNBSE
Q
RESPGE - SP
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n. 1
jan./dez. 2012
p. 15 a 24
La composition du Conseil constitutionnel, un exotisme bien français
17
JOUSPEVDUJPO JM TFNCMF RVF MJMMÏHJUJNJUÏ TPJU NPJOT VOF BGGBJSF EF QSPDÏEVSF EF
OPNJOBUJPO(A)RVFEFQSÏTFODFEFTNFNCSFTEFESPJU(B).
2.1 Pour la nomination
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EJEBUTQSPQPTÏTQBSMFTIBVUFTBVUPSJUÏTQBSMFTDPNNJTTJPOTEFTMPJTEV4ÏOBUFUEF
M"TTFNCMÏFOBUJPOBMF
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EFMJOTUJUVUJPO« L’esprit de faveur, d’amitié et de complaisance plus difficile à tuer que les
malformations constitutionnelles à redresser pouvait régulièrement guider le choix des autorités de nominations », ÏDSJWBJU$IBSMFT&JTFONBOO4. &UJMFTUWSBJRVFMFDPNQBHOPOOB
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RESPGE - SP
São Paulo
v. 3
n. 1
jan./dez. 2012
p. 15 a 24
18
Fabrice Hourquebie
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Les grandes délibérations du Conseil constitutionnel
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7BMMTù« À titre personnel, oserez-vous censurer un projet de loi soutenu par l’autorité qui vous
a nommé ? » PVEF3FOÏ%PTJÒSF« Que pensez-vous du fait que les anciens Présidents de
la République siègent de droit au sein du Conseil constitutionnel »
FUEFSÏQPOTFTVOQFV
JOBUUFOEVFTEFMJOUÏSFTTÏ(« La dignité humaine a forcément valeur constitutionnelle puisque
tout notre droit est protecteur de la personne humaine »
y
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2.2 Contre les membres de droit
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DPOWBJODSFUPVUKVSJTUFVOUBOUTPJUQFVÏDMBJSÏTVSDFUUFRVFTUJPOù« […] Le Conseil
constitutionnel ne saurait être une juridiction comme une autre. C’est la raison pour laquelle j’ai souhaité qu’il ne soit pas composé que de techniciens du droit et que les anciens
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présidents de la République y conservent leur qualité de membres de droit, parce que
l’expérience d’un ancien chef de l’État, qui a fait fonctionner les institutions, peut apporter
beaucoup à la qualité des décisions du Conseil, à leur équilibre, à leur réalisme ».
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3. LA LÉGITIMITÉ DU PROCÈS FAIT À LA COMPOSITION DU CONSEIL
« Le CC peut-il demeurer longtemps un acteur moyen du jeu politique si la composition et les modes de recrutement ne changent pas » ?12 -FQSPDÒTFOJMMÏHJUJNJUÏTJMDPO
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3.1 Plus de juridictionnalisation
.JDIFM'SPNPOUEJTBJUEV$POTFJMDPOTUJUVUJPOOFMRVJMÏUBJUVOjùNPEÒMFBUZ
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"JOTJ EF MB QBSUJDVMBSJUÏ EF MB DPNQPTJUJPO SÏTVMUF« une récurrente question
sur la nature ambivalente de cet organe lequel participe hautement du pouvoir juridictionnel mais qui, du fait de la désignation discrétionnaire de ses membres par trois autorités
politiques, voit constamment peser sur lui le soupçon de politisation »14$FTUFOUSBNF
EFGPOEMBMBODJOBOUFRVFTUJPOEFMBKVSJEJDUJPOOBMJTBUJPORVJFTUFOEÏCBU$PNNFOU
BENFUUSFRVFMF$POTFJMDPOTUJUVUJPOOFMEFWJFOOFVONFNCSFËQBSUFOUJÒSFEVDMVC
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UJPOOFM)ÏTJUBUJPORVFUSBEVJTBJU.BVSJDF%VWFSHFSQPVSRVJ« Le terme de juridiction
politique exprime le caractère ambigu de l’institution. (…). Elle intervient dans des matières
politiques et plus encore dans des buts politiques ; ses membres doivent avoir l’indépendance
des magistrats mais leur recrutement est politique ».
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')PVSRVFCJFLe pouvoir juridictionnel en FranceQSÏD
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3.2 Moins de politisation
#FSOBSE$IFOPUBODJFO7JDFQSÏTJEFOUEV$POTFJME&UBUBGmSNBJUù« Je n’ai
jamais pensé une seconde que le Conseil fût un organe juridictionnel ; c’est un corps politique
par son recrutement et par les fonctions qu’il remplit ».
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3.2.1 Supprimer les membres de droit 1PVSBVUBOUEPJUPOTFEÏQBSUJSEFMFYQÏSJFODFEFTBODJFOT1SÏTJEFOUTù /PO
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membres », %ÏDJTJPOO¡"/OPWFNCSF1VZEF%ÙNFÒNFDJSD3FDQ
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3.2.2 Remplacer les membres de droit $FMBQFSNFUUSBJUVOBMJHOFNFOUTVSMFTFGGFDUJGTRVJDPNQPTFOUMFT$PVSTDPOTUJ
UVUJPOOFMMFTFO&VSPQFFURVJTPOUQMVTQSPDIFTEFEPV[FPVRVJO[FRVFEFOFVG"JOTJ
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3.2.3 Resserrer le contrôle sur la nomination
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A COMPOSIÇÃO DO CONSELHO CONSTITUCIONAL:
UM EXOTISMO BEM FRANCÊS
(tradução Fernanda Dias Menezes de Almeida)
Fabrice Hourquebie1
Fernanda Dias Menezes de Almeida2
SUMÁRIO
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1. INTRODUÇÃO
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3
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4PCSFFTUBRVFTUÍPW')PVSRVFCJFSur l’émergence du contre-pouvoir juridictionnel sous la Vème République, Bruylant, 2004.
26
Fabrice Hourquebie e Fernanda Dias Menezes de Almeida
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2. O PROCESSO SOBRE A ILEGITIMIDADE FEITA NA COMPOSIÇÃO DO CONSELHO
4FHVOEP+BDRVFT,SZOFOia fraqueza do dispositivo francês não residiria tanto
na seleção política dos membros do Conselho, e sim nas garantias de competências desses
membrosw%FNBOFJSBFTRVFNÈUJDBFDPNPGPJJOEJDBEPOBJOUSPEVÎÍPQBSFDFRVF
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2.1 Pela nomeação
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EBJOTUJUVJÎÍPiO espírito de favor, de amizade e de complacência, mais difícil de matar
que as malformações constitucionais a consertar, poderia regularmente guiar a escolha pelas
+,SZOFOL’État de justice, France, XIII-XXème siècles. L’empire des juges, Tomo 2, NRF Gallimard, 2012, p.329.
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A composição do conselho constitucional: um exotismo bem francês
27
autoridades de nomeaçãowFTDSFWJB$IBSMFT&JTFONBOO&ÏWFSEBEFRVFPDPNQB
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'B[FSOPNFBSPTNFNCSPT
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&PRVFTFQPEFPCTFSWBSÏRVFBNBJPSQBSUFEBTQFSTPOBMJEBEFTEFTJHOBEBTEFQPJT
EFTÍPKVSJTUBTEFGPSNBÎÍPPVTÍPUJUVMBSFTEFEJQMPNBTRVFBCSFNDBNJOIP
EF DBSSFJSBT KVSÓEJDBT $FSDB EF EPT TFTTFOUB F OPWF NFNCSPT OPNFBEPT BUÏ
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EF%JSFJUPUJWFSBNBTTFOUPoNFTNPTFJTUPmRVFCFNBRVÏNEPOÞNFSPEBTPVUSBT
$I&JTFONBOOLe Monde, 5 de março 1959.
7')PVSRVFCJF-FTOPNJOBUJPOTBV$POTFJMDPOTUJUVUJPOOFML.P.A., nº 108, 2001, PP. 9-16.
7QSJODJQBMNFOUF-'BWPSFVF8.BTUPSLes Cours constitutionnelles, Connaissance du droit, Dalloz,
PP.34 e segs.
*CJEQWUBNCÏNBBOÈMJTFFTUBUÓTUJDBEF%PNJOJRVF3PVTTFBVJODroit du contentieux constitutionnel, Montchrestien, 9ème Ed., 2010.
²FNOPTTPTFOUJSVNBGSBRVF[BDSVDJBMBTBCFEPSJBEBTBVUPSJEBEFTEFOPNFBÎÍPDPOEV[SBSBNFOUFB
FTDPMIFSQSPGFTTPSFTEF%JSFJUP0O[FQSPGFTTPSFTEF%JSFJUPOPNFBEPTBUÏIPKF$PNVNiQJDPwFOUSFEF
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8BMJOF3FOÏ$BTTJOF'SBOÎPJU-VDIBJSF
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EBEFEBTMFJTSFGFSFOEÈSJBTOPUBEBNFOUF
7')PVSRVFCJFLe pouvoir juridictionnel en France, LGDJ, 2010; e
também nosso comentário em B.Mathieu, J.P. Machelon, F.Mélin-Soucramanien, D.Rousseau e X. Philippe (dir), Les
grandes délibérations du Conseil constitutionnel, 1958-1983, Dalloz, 2009, PP.133 e segs.
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GPJOBWF[EF.JDIFM$IBSBTTFËJOEBHBÎÍPEF.BOVFM7BMMTiA título pessoal o senhor
ousaria censurar um projeto de lei sustentado pela autoridade que o nomeou wPVEF3FOÏ
%PTJÒSFiO que o senhor pensa do fato de os antigos Presidentes da República terem assento
nato no seio do Conselho Constitucionalw
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UFSFTTBEPiA dignidade humana tem forçosamente valor constitucional pois todo o nosso
Direito é protetor da pessoa humanaw
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2.2 Contra os membros natos
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como outra. É a razão pela qual eu desejei que ele não seja composto apenas por técnicos do
Direito e que os antigos Presidentes da República ali conservem sua qualidade de membros natos,
porque a experiência de um antigo Chefe de Estado que fez funcionar as instituições, pode acrescentar muito à qualidade das decisões do Conselho, a seu equilíbrio, a seu realismow.
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WJTUBEBTDPOTFRVÐODJBTRVFEFDPSSFNEBQSFTFOÎBEPTNFNCSPTOBUPT1PSRVFDPN
PFODVSUBNFOUPEBEVSBÎÍPEPNBOEBUPQSFTJEFODJBMQBSBDJODPBOPTBMJNJUBÎÍPB
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HBNFOUPEBFTQFSBOÎBEFWJEBBNÏEJPQSB[PPTBOUJHPTQSFTJEFOUFTEB3FQÞCMJDB
QPEFSJBNMPHPDPOTUJUVJSBNBJPSJBEPTNFNCSPTEP$POTFMIP
IUUQXXXDPOTFJMDPOTUJUVUJPOOFMGSDPOTFJMDPOTUJUVUJPOOFMGSBOÎBJTOPVWFBVYDBIJFSTEVDPOTFJM
DIJFSOEJTDPVSTQSPOPODFMFFSNBSTQBSNOJDPMBTTBSLP[ZQSFTJEFOUEFMBSFQVCMJ
RVFIUNM
"SUJHPi01SFTJEFOUFEB3FQÞCMJDB[FMBQFMPSFTQFJUPË$POTUJUVJÎÍP&MFBTTFHVSBQPSTVBBSCJ
USBHFNPGVODJPOBNFOUPSFHVMBSEPTQPEFSFTQÞCMJDPTCFNDPNPBDPOUJOVJEBEFEP&TUBEP&MFÏP
mBEPSEBJOEFQFOEÐODJBOBDJPOBMEBJOUFHSJEBEFEPUFSSJUØSJPFEPSFTQFJUPBPTUSBUBEPTw
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&TUFQSPDFTTPEFJMFHJUJNJEBEFEBDPNQPTJÎÍPEP$POTFMIP$POTUJUVDJPOBM
BQBSFDFBTTJNTPCBMHVNBTØUJDBTJOUFJSBNFOUFMFHÓUJNP
3. A LEGITIMIDADE DO PROCESSO FEITO PARA A COMPOSIÇÃO DO CONSELHO
iO CC pode permanecer por muito tempo um ator médio do jogo político se a composição e os modos de recrutamento não mudarem?w0QSPDFTTPEFJMFHJUJNJEBEFTFFMFTF
DPOmOBVNQPVDPËiQSÈUJDBEBDPOWFSTBÎÍPKVSÓEJDBwOÍPQBSFDFNFOPTQFSUJOFOUFË
NFEJEBRVFDPMPDBFNRVFTUÍPBKVSJTEJDJPOBMJ[BÎÍPEBJOTUJUVJÎÍP(A)KVSJTEJDJPOBMJ[BÎÍP
RVFPCSJHBBBMHVNBTSFGPSNBTEBDPNQPTJÎÍPQBSBMJNJUBSBJOEBNBJTBQPMJUJ[BÎÍP(B).
3.1 Mais jurisdicionalização
.JDIFM'SPNPOUEJ[JBEP$POTFMIP$POTUJUVDJPOBMRVFFMFFSBVNiNPEFMP
BUÓQJDPwPRVFRVFSEJ[FSUVEPTPCSFTVBOBUVSF[BKVSJTEJDJPOBMRVFTFBQSFDJBEB
CFNFOUFOEJEPQFMBNFEJEBEPQSPDFEJNFOUPBQMJDÈWFMTFBWBMJBUBNCÏNBMÏNEJT
TPËMV[EPSFDSVUBNFOUPFEBDPNQFUÐODJBEPTKVÓ[FTRVFGPSNBNB$PSUF
"TTJNEBQBSUJDVMBSJEBEFEBDPNQPTJÎÍPSFTVMUBiuma questão recorrente sobre a natureza ambivalente deste órgão que participa elevadamente do poder jurisdicional,
mas pelo fato da designação discricionária de seus membros por três autoridades políticas,
vê constantemente pesar sobre ele a suspeita de politizaçãow²OPQBOPEFGVOEPB
MBODJOBOUFRVFTUÍPEBKVSJTEJDJPOBMJ[BÎÍPRVFFTUÈFNEFCBUF$PNPBENJUJSRVFP
$POTFMIP$POTUJUVDJPOBMTFUPSOFVNNFNCSPQPSJOUFJSPEPDMVCFEBT$PSUFT$POT
UJUVDJPOBJTFVSPQFJBTTFTVBDPNQPTJÎÍPOÍPQFSNJUFSFnFUJSBTHBSBOUJBTRVFBQBSUF
UFNEJSFJUPEFFTQFSBSEFVNQSPDFTTPTFKBFMFDPOTUJUVDJPOBM)FTJUBÎÍPRVF.BVSJDF
%VWFSHFSBTTJNUSBEV[JBiO termo jurisdição política exprime o caráter ambíguo da instituição. (...). Ela intervém em matérias políticas e mais ainda nos fins políticos; seus membros
devem ter a independência dos magistrados, mas seu recrutamento é políticow
"JOEBVNBWF[OÍPTÍPTFHVOEPQFOTBNPTPTNFNCSPTOPNFBEPTRVFGB
[FNQMBJOBSVNBEÞWJEBTPCSFBKVSJTEJDJPOBMJ[BÎÍPQPJTBTHBSBOUJBTEFJOEFQFOEÐODJB
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EFTUBJOEFQFOEÐODJBEPKVJ[DPOTUJUVDJPOBM"JTUPTFBDSFTDFOUBFNVNQMBOPNBJT
+,SZOFOop.cit.Q
%EF#ÏDIJMMPOart.cit.Q
+,SZOFOop. cit.Q
"RVFTFBDSFTDFOUBVNSFHJNFEFJOFMFHJCJMJEBEFTEFJODPNQBUJCJMJEBEFTEFJOUFSEJÎÜFTFVNBPCSJ
HBÎÍPEFSFTFSWB
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TVCKFUJWPPGBNPTPEFWFSEFJOHSBUJEÍPBTFSFYFSDJEPBDPOUBSEPNPNFOUPFNRVF
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iA função se apodera do homem quando o homem é honestowFTDSFWJB(FPSHFT7FEFM²
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ÏFOUSFUBOUPBDFJUÈWFMRVFVNBDBVTBTFKBTVCNFUJEBBVNBJOTUJUVJÎÍPRVFBPNFTNPUFN
QPTFRVFSVNBKVSJTEJÎÍPFRVFDPNQSFFOEFFNTFVTFJPBTQFSTPOBMJEBEFTNBJTQPMÓUJDBT
RVFTFKBNPTQSFTJEFOUFTEB3FQÞCMJDB&TUBDPNQPTJÎÍPOÍPÏBDFJUÈWFMOPRVBESPEP
DPOUSPMFBCTUSBUPEFDPOTUJUVDJPOBMJEBEFFMBÏNFOPTBDFJUÈWFMBJOEBa fortiori,OPRVBESP
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UPNBNQBSUFOBTBVEJÐODJBTEFRVFTUÍPQSJPSJUÈSJBEFDPOTUJUVDJPOBMJEBEFFNSB[ÍPEB
TVBFOPSNFUFDOJDJEBEFOÍPCBTUBQBSBDSJBSBTVTQFJUBEPEFGFJUPEFKVSJTEJDJPOBMJ[BÎÍP
NFTNPRVFFTUFBSHVNFOUPEFQPOIBa contrario,QFMBBVTÐODJBEFDPNQFUÐODJBTVmDJFOUF
EPTBOUJHPTQSFTJEFOUFTOPTDPOUFODJPTPTKVSÓEJDPTUÏDOJDPTFQPSUBOUPQPSTVBFYDMVTÍP
EP$POTFMIP$POTUJUVDJPOBM0$POTFMIPOÍPÏVNDMVCFQSFTUJHJPTPQBSBPTBQPTFOUBEPT
EBQPMÓUJDB"MÏNEJTTPFRVBMRVFSRVFTFKBPDPOUFODJPTPVNBQSFTFOÎBBMFBUØSJBEFJYB
EBËBQSFDJBÎÍPEPNFNCSPOBUPQPEFTFSJOUFSQSFUBEBEFVNMBEPDPNPVNBFTUSBUÏHJB
QPMÓUJDBWJTBOEPBTVTUFOUBSPVBTFPQPSBPQPEFSJOTUBMBEPFEFPVUSPMBEPQPEFUFS
DPNPFGFJUPNVEBSPTFRVJMÓCSJPTFNUFSNPEFSFQBSUJÎÍPEFWP[FTOPNPNFOUPEFVN
WPUPPRVFÏFNJOFOUFNFOUFDPOUFTUÈWFMUBOUPQFMBBVUPSJEBEFEBTEFDJTÜFTRVBOUPQFMB
MFHJUJNJEBEFEBJOTUJUVJÎÍPDPNPKVSJTEJÎÍP
3FGPSNBTOBDPNQPTJÎÍPTFJNQÜFNTFHVSBNFOUFQBSBBGBTUBSBJOEBNBJTP
FTQFDUSPEBQPMJUJ[BÎÍP
3.2 Menos politização
#FSOBSE $IFOPU BOUJHP 7JDF1SFTJEFOUF EP $POTFMIP EF &TUBEP BmSNBWB
iEu jamais pensei por um segundo que o Conselho fosse um órgão jurisdicional; é um corpo
político por seu recrutamento e pelas funções que preenchew
Le Conseil constitutionnel a quarante ans, Conseil constitutionnel et LGDJ, 1999, p.66.
')PVSRVFCJFLe pouvoir juridictionnel em France, préc.
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NPTJNQMFTFNVJUPFWJEFOUFTQPEFNTFSFYQMPSBEBT
3.2.1 Suprimir os membros natos
1BSB UBOUP EFWFNPT BCEJDBS EB FYQFSJÐODJB EPT BOUJHPT QSFTJEFOUFT /ÍP
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BIJQØUFTFEFOPNFÈMPTTFOBEPSFTWJUBMÓDJPTTFGPSQSFDJTPTFNWP[EFMJCFSBUJWB
0RVFFTUBSJBBPNFTNPUFNQPEFBDPSEPDPNOPÎÍPEFBSCJUSBHFNDPOTUJUVDJPOBM
DPOTBHSBEB OP BSU EB $POTUJUVJÎÍP DPN B FYJHÐODJB EF KVSJTEJDJPOBMJ[BÎÍP EP
$POTFMIPFDPNBSFWFSÐODJBRVFTFEFWFBVNBOUJHPDIFGFEF&TUBEP0FYFNQMP
JUBMJBOPQPEFSJBJOTQJSBSPDPOTUJUVJOUFGSBODÐT.
3.2.2 Substituir os membros natos
*TUPQFSNJUJSJBVNBMJOIBNFOUPDPNPTNFNCSPTFGFUJWPTRVFDPNQÜFNBT
$PSUFT$POTUJUVDJPOBJTOB&VSPQBFRVFTÍPNBJTQSØYJNPTEFEP[FPVRVJO[FEPRVF
EF OPWF "TTJN USÐT NFNCSPT TVQMFNFOUBSFT QPEFSJBN TFS OPNFBEPT OP MVHBS EPT
NFNCSPTOBUPTRVFIPKFOVNBIJQØUFTFUFØSJDBFMFWBEBQPEFSJBNQSFDJTBNFOUFTFS
USÐT+$IJSBD7(JTDBSEE&TUBJOHF/4BSLP[Z
%VBTQPTTJCJMJEBEFTQBSBBEFTJHOB
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EFNPEPRVFFMBTEFWFSJBNEPSBWBOUFOPNFBSRVBUSPNFNCSPTBDBEBUSÐTBOPTPRVF
JNQMJDBSJBVNBSFOPWBÎÍPQPSRVBSUPTBDBEBUSÐTBOPTNBTMFWBOUBSJBPQSPCMFNBEF
TBCFSRVFBVUPSJEBEFUFSJBDPNQFUÐODJBQBSBOPNFBSEPJTNFNCSPT4FKBFTTBDPNQF
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FOUÍPBDSÓUJDBEBQPMJUJ[BÎÍPFYDFTTJWBDPSSFPSJTDPEFWPMUBS4FKBVNBRVBSUBBVUPSJ
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MJEBEFDPOTUJUVDJPOBMRVFPDBSBDUFSJ[B
&TUBTPMVÎÍPDPMPDBUBMWF[NBJTQSPCMFNBTEP
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TFKBNOPNFBEPTQFMBTBMUBTKVSJTEJÎÜFT$PSUFEF$BTTBÎÍP$POTFMIPEF&TUBEPF$PSUF
EF $POUBT
DPN EVBT WBOUBHFOT EF QFTP EBS BP $POTFMIP $POTUJUVDJPOBM TFNQSF B
TFHVSBOÎBEFEJTQPSFNTVBTmMFJSBTEFKVÓ[FTFYQFSJFOUFTPRVFJOFHBWFMNFOUFÏVN
&NVNBEFDJTÍPFMFJUPSBMEFEFOPWFNCSPEFP$POTFMIPGPJMFWBEPBTFQSPOVODJBSTPCSFBDPOEJÎÍP
EFMFTFFTUJNPVRVFisob a única reserva de dispensa de juramento, eles são submetidos às mesmas obrigações dos
outros membros”, Decisão nº 84-983, NA, 7 de novembro de 1984, Puy-de-Dôme, 2ème circ, Rec., p.117.
4PCSFFTUBRVFTUÍPWUBNCÏN%EF#ÏDIJMMPOart. cit., p.116.
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$POTFMIP$POTUJUVDJPOBMKVÓ[FTEFTDPOFDUBEPTEFOPNFBÎÜFTEJUBTiQPMÓUJDBTw.
3.2.3 Tornar mais rigoroso o controle sobre a nomeação
² QSFDJTP FTGPSÎBSTF QBSB RVF BT BVEJÐODJBT BHPSB QSFWJTUBT OP BSU EB
$POTUJUVJÎÍPQPTTBNWFSEBEFJSBNFOUFFTDMBSFDFSPTNFNCSPTEBT$PNJTTÜFTEF+VT
UJÎBTPCSFBTNPUJWBÎÜFTFBTDPOWJDÎÜFTEBTQFSTPOBMJEBEFTJOEJDBEBT+ÈEJTTFNPT
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4FNDIFHBSBUÏBUSBOTQPTJÎÍPEPTUFNÓWFJTQSPDFEJNFOUPTEFBVEJÐODJBTEF
DPOmSNBÎÍPEP4FOBEPBNFSJDBOPBThearings
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FBWJEBQSJWBEBPRVFÏEJTDVUÓWFM
EPTKVÓ[FTJOEJDBEPTQBSBB$PSUF4V
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TJTUFNBQSFWFOEPRVFVNBOPNFBÎÍPOÍPQPEFPDPSSFSTFOÍPDPNBDPODPSEÉODJBEF
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UBEBOBTFHVOEBIJQØUFTFPGSBDBTTPEBOPNFBÎÍPÏNBJTJNQVUÈWFMËGBMUBEFTFOTP
QPMÓUJDPEBBVUPSJEBEFEFOPNFBÎÍP3FTUBTBCFSPRVFÏNBJTHSBWF
&NRVBMRVFSEPTDBTPTPFYPUJTNPGSBODÐTUFNBJOEBCFMPTEJBTEJBOUFEFTJ
TBMWPTFBBUVBMDPNJTTÍPEFSFOPWBÎÍPFEFNPEFSOJ[BÎÍPEBWJEBQPMÓUJDBEFTFKBEB
QFMP1SFTJEFOUF)PMMBOEFFQSFTJEJEBQFMPBOUJHP1SJNFJSP.JOJTUSP-JPOFM+PTQJOMF
WBTTFFNDPOUBBRVFTUÍPFGPSNVMBTTFBQSPQPTUBRVFUPEPTPTQSPGFTTPSFTEF%JSFJUP
$POTUJUVDJPOBMFTQFSBN
1SPQPTJÎÍPEF%EF#ÏDIJMMPOart. cit., p.116.
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LA FINANCIACIÓN DEL SISTEMA NACIONAL DE SALUD ESPAÑOL
The financing of the Spanish National Health System
Juan Zornoza Pérez1
RESUMEN
*OUSPEVDDJØO-PTEJTUJOUPTNPEFMPTEFmOBODJBDJØOEFMPTTFSWJDJPTTBOJUBSJPT
-BmOBODJBDJØOEFMBTBOJEBEFOFMNBSDPEFMBmOBODJBDJØOEFMBT$PNVOJEBEFT
"VUØOPNBT -B JODJEFODJB FO MB mOBODJBDJØO EF MB BTJTUFODJB TBOJUBSJB EF MB -FZ
EFEFNBZPEFDPIFTJØOZDBMJEBEEFM4JTUFNBOBDJPOBMEF4BMVE6OB
WBMPSBDJØOmOBMBNPEPEFDPODMVTJPOFT
RESUMO
0 FTUVEP BOBMJTB WÈSJPT NPEFMPT EF mOBODJBNFOUP EP TJTUFNB EF TFSWJÎP EF TBÞEF
FTQBOIPMDPNÐOGBTFOBUSBOTGFSÐODJBEFDPNQFUÐODJBTEFHFTUÍPQBSBBTDPNVOJEBEFT
BVUÙOPNBT"QSPGVOEBRVFTUÜFTTPCSFBTNPEVMBÎÜFTRVFPTJTUFNBFYJHFQBSBBUFOEFSËT
QFDVMJBSJEBEFTEBÈSFBEBTBÞEFDPNPBHBSBOUJBDPOTUJUVDJPOBMEBBVUPOPNJBSFHJPOBM
JOUFHSBÎÍPFVOJmDBÎÍPEBHFTUÍPEPTTFSWJÎPTEFTBÞEFBVNFOUPEPDVTUPNFMIPSJB
EBRVBMJEBEFFYJHJEBOBQSFTUBÎÍPEPTTFSWJÎPTWJODVMBÎÍPEPBVNFOUPEFSFDFJUBBP
DSFTDJNFOUPEFSFDVSTPTUSJCVUÈSJPTOPUFSSJUØSJPEFDBEBDPNVOJEBEFFQPSmNDSJUJDB
BUFOEÐODJBBDPOTUSVJSSFHSBTFTUBCFMFDJEBTQFMPQSJODÓQJPEBBGFUBÎÍPQBSBHBSBOUJSP
TJTUFNBEFJHVBMEBEFFDPFTÍPEPTJTUFNBTBOJUÈSJPPRVBMDPMJEFDPNPQSJODÓQJPEB
BVUPOPNJB mOBODFJSB F B KVSJTQSVEÐODJB DPOTUJUVDJPOBM $PODMVJ QFMB OFDFTTJEBEF EF
FTUBCFMFDFSVNOPWPNPEFMPRVFWJBCJMJ[FBDPPSEFOBÎÍPQFMB"ENJOJTUSBÎÍP(FSBMEP
&TUBEPEFNPEPRVFFWJUFBQSFWBMÐODJBEFJOUFSFTTFTMPDBJTmOBODFJSPTFNQSFKVÓ[PEB
JHVBMEBEFFEBHBSBOUJBEPTEJSFJUPTGVOEBNFOUBJTEPTDJEBEÍPT
ABSTRACT
5IFTUVEZXJMMBOBMZ[FBSBOHFPGGSBNFTFYBNJOFTWBSJPVTNPEFMTPGmOBODJOHTZTUFN
IFBMUIJO4QBOJTIXJUIFNQIBTJTPOUIFUSBOTGFSPGNBOBHFNFOUTLJMMTUPUIF"VUPOPNPVT
$PNNVOJUJFT%FFQFSRVFTUJPOTBCPVUUIFNPEVMBUJPOTUIBUUIFTZTUFNSFRVJSFTUPNFFU
UIF QFDVMJBSJUJFT PG IFBMUI TVDI BT UIF DPOTUJUVUJPOBM HVBSBOUFF PG SFHJPOBM BVUPOPNZ
JOUFHSBUJPOBOEVOJmDBUJPOPGUIFNBOBHFNFOUPGIFBMUITFSWJDFTJODSFBTFEDPTUJNQSPWJOH
UIFRVBMJUZSFRVJSFEJOUIFQSPWJTJPOPGTFSWJDFTMJOLJOHJODSFBTJOHSFWFOVFHSPXUIPGUBY
SFWFOVFTJOFBDIPGUIFDPNNVOJUJFTBOEVMUJNBUFMZDSJUJDJ[FTUIFUFOEFODZUPCVJMESVMFT
FTUBCMJTIFECZUIFQSJODJQMFPGBMMPDBUJPOTZTUFNUPFOTVSFFRVBMJUZBOEDPIFTJPOPGUIF
IFBMUITZTUFNXIJDIDPMMJEFTXJUIUIFQSJODJQMFPGBVUPOPNZmOBODJBMBOEDPOTUJUVUJPOBM
KVSJTQSVEFODF *U DPODMVEFT XJUI UIF OFFE UP FTUBCMJTI B OFX NPEFM UIBU BMMPXT GPS
DPPSEJOBUJPOCZUIF(FOFSBM"ENJOJTUSBUJPOPGUIF4UBUFUPQSFWFOUUIFQSFWBMFODFPGMPDBM
mOBODJBMJOUFSFTUTUPUIFEFUSJNFOUFRVBMJUZBOEHVBSBOUFFUIFGVOEBNFOUBM
Palavras-chaves4JTUFNBT'JOBODJBNFOUP4BÞEF1ÞCMJDB$PNVOJEBEFT"VUÙOPNBT
&TQBOIB
Keywords4ZTUFNT'JOBODJOH1VCMJD)FBMUI"VUPOPNPVT$PNNVOJUJFT4QBJO
1. INTRODUCCIÓN2
6OBEFMBTOPUBTNÈTEFTUBDBEBTEFMNPEFMPEFmOBODJBDJØOEFMBT$PNVOJEBEFT
"VUØOPNBT$$""FOMPTVDFTJWP
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6OJWFSTJEBE$BSMPT***EF.BESJE
&TUFUSBCBKPTFFONBSDBFOMBMÓOFBEFJOWFTUJHBDJØOmOBODJBEBQPSFM.JOJTUFSJPEF$JFODJBZ5FDOPMPHÓB
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64
Juan Zornoza Pérez
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ALTERAÇÃO E MUDANÇA DA CONSTITUIÇÃO. O CASO BRASILEIRO.1
Amendments and Mutation of Constitution. The Brazilian case.
Manoel Gonçalves Ferreira Filho2
SUMÁRIO
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66
Manoel Gonçalves Ferreira Filho
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1. A MUDANÇA NA CONSTITUIÇÃO4
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Alteração e mudança da Constituição. O caso brasileiro
67
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+ÈPm[OPVUSPTUSBCBMIPT1PSFYFNQMPOPKÈSFGFSJEPBSUJHPiO papel político do Judiciário na ordem
constitucionalwQVCMJDBEPOBRevista dos AdvogadosEB""41OÞNFSPEFEJDBEPBPTBOPTEB$POT
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5FSJBTJEP0MJWFS8FOEFMM)PMNFTKVJ[EB4VQSFNB$PSUFEPT&TUBEPT6OJEPT
RESPGE - SP
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p. 65 a 80
79
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SBFYQSJNJOEPBTPCFSBOJBEFNPDSÈUJDB“Todo o poder emana do povo, que o exerce por
meio de representantes eleitos ou diretamente, nos termos desta Constituição”TVCMJOIFJ
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RECLAMAÇÃO CONSTITUCIONAL: A PRESERVAÇÃO DA COMPETÊNCIA
E GARANTIA DA AUTORIDADE DAS DECISÕES DO
SUPREMO TRIBUNAL FEDERAL BRASILEIRO
CONSTITUTIONAL COMPLAINT: to preserve the jurisdiction and ensure
the authority of the Brazilian Supreme Court decisions
Marcia Amino1
SUMÁRIO
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DBCJNFOUPEBSFDMBNBÎÍPOPDPOUSPMFBCTUSBUPPVPCKFUJWPEFDPOTUJUVDJPOBMJEBEF
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"%*/
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3FDMBNBÎÍPDPOUSBBUPRVFEFTSFTQFJUPVFOVODJBEPEBTÞNVMBWJODVMBOUFEP4VQSFNP
5SJCVOBM 'FEFSBM F B -FJ O 0VUSBT IJQØUFTFT EF DBCJNFOUP EF
SFDMBNBÎÍP"SFDMBNBÎÍPQBSBHBSBOUJBEBBVUPSJEBEFEBTEFDJTÜFTEP4VQSFNP
5SJCVOBM'FEFSBMFPTQSPDFTTPTTVCKFUJWPT$PODMVTÜFT#JCMJPHSBmB
RESUMO 0PCKFUPEPQSFTFOUFUSBCBMIPFPFTUVEPEBSFDMBNBÎÍPDPOTUJUVDJPOBMQSFWJTUBOB
$POTUJUVJÎÍP CSBTJMFJSB EF QBSB B QSFTFSWBÎÍP EB DPNQFUÐODJB F HBSBOUJB EB
BVUPSJEBEF EBT EFDJTÜFT EP 4VQSFNP 5SJCVOBM 'FEFSBM &N RVF QFTF P BVNFOUP
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$POTUJUVDJPOBMBJOEBFTUÍPFNDPOTUSVÎÍP
ABSTRACT 5IJT BSUJDMF JOUFOET UP BOBMZ[F UIF $POTUJUVUJPOBM $PNQMBJOU QSPWJEFE JO UIF
$POTUJUVUJPO PG UP QSFTFSWF UIF DPNQFUFODF KVSJTEJDUJPO
PG UIF 'FEFSBM
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UIF PCTFSWFE JODSFBTF JO JUT VTF UIF BQQSPQSJBUFOFTT IZQPUIFTJT PG $POTUJUVUJPOBM
$PNQMBJOUJTTUJMMVOEFSDPOTUSVDUJPO
Palavras-Chaves3FDMBNBÎÍP$POTUJUVDJPOBM4VQSFNP5SJCVOBM'FEFSBM$BCJNFOUP
Keywords$POTUJUVUJPOBM$PNQMBJOU4VQSFNF$PVSU1FSUJOFODF
1. INTRODUÇÃO
0QSFTFOUFFTUVEPUFNDPNPPCKFUPBSFDMBNBÎÍPDPOTUJUVDJPOBMQSFWJTUBOPT
BSUJHPTJODJTP*BMÓOFBiMwDD"fEB$POTUJUVJÎÍP'FEFSBMEFB
1SPDVSBEPSBEP&TUBEPEF4ÍP1BVMP&TQFDJBMJTUBFN%JSFJUPEP&TUBEPQFMB&TDPMB4VQFSJPSEB1SPDV
SBEPSJB(FSBMEP&TUBEPEF4ÍP1BVMP
82
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.
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SFJUPOPSUFBNFSJDBOPTFHVOEPBRVBMEFTEFRVFVNmNÏSFDPOIFDJEPFOFDFTTÈSJP
PTNFJPTTÍPQFSNJUJEPTUPEBTBTWF[FTRVFGPSBUSJCVÓEBVNBDPNQFUÐODJBHFSBMQBSB
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SJPTQBSBSFBMJ[ÈMB"TTJNKVTUJmDBEBOPTQSJNØSEJPTBBENJTTJCJMJEBEFEBNFEJEB
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EFDPNBJOUSPEVÎÍPEBQSFWJTÍPEFNBJTNFDBOJTNPTQBSBPFYFSDÓDJPEPDPOUSPMFin
abstrato FBBUSJCVJÎÍPEFFGFJUPTerga omnesFWJODVMBOUFTBVNFOUPVBTIJQØUFTFTEF
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$POGPSNF1"$)&$0+PTÏEB4JMWB%B3FDMBNBÎÍP *O@O mandado de segurança e outras ações constitucionais típicas. FEJÎÍP4ÍP1BVMP3FWJTUBEPT5SJCVOBJTQ
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Reclamação constitucional
83
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2. CABIMENTO DA RECLAMAÇÃO NO SUPREMO TRIBUNAL FEDERAL
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RESPGE - SP
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n. 1
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p. 81 a 106
84
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“reclamação contra atos decisórios dos ministros ou das Turmas que integram esta Corte
Suprema, dado que tais decisões são juridicamente imputadas à autoria do próprio Tribunal
em sua inteireza”BTTJNDPNP“a reclamação não pode constituir via adequada a cassar
decisão do próprio tribunal. Também não é a reclamação instrumento que possa corresponder a pedido de reconsideração de decisum da Corte”. 4"/504"MFYBOESF.PSFJSB5BWBSFTEPT%B3FDMBNBÎÍP*ORevista dos Tribunais. 7PMVNFOÞNFSP
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“Não cabe reclamação quando já houver transitado em julgado o ato judicial que se alega
tenha desrespeitado decisão do Supremo Tribunal Federal”4ÞNVMBO
"TTJN“não
cabe a reclamação como meio de desfazer, reformar, cassar, modificar decisão transitada em
julgado, pois, nesse caso, estaria fazendo as vezes (sic) de uma ação rescisória”.
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Marcia Amino
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&MMFO(SBDJFBDPNQBOIBOEPPWPUPEPSFMBUPSOPRVFOFHPVQSPWJNFOUPBPBHSBWP
SFHJNFOUBMQFEJVWJTUBP.JOJTUSP(JMNBS.FOEFTOBTFTTÍPEFKVMHBNFOUPTEPEJB
"QSFPDVQBÎÍPNBOJGFTUBEBEVSBOUFPTEFCBUFTQFMP.JOJTUSP.BSDP"VSÏ
MJPGPJEFRVFBTPMVÎÍPEBEBQFMP45'FTUBSJBBUSBOTGPSNBSPTUSJCVOBJTEPQBÓTFNÞMUJ
NBJOTUÉODJB“não admitindo que sua decisão pudesse ser contestada”0.JOJTUSP1SFTJEFO
UF$F[BS1FMVTPDPODPSEPVDPNBUFTFEFRVF“quando o tribunal de origem se equivocar
deve caber recurso ao STF, pois, do contrário, se deixaria a outro tribunal a última palavra”.
0.JOJTUSP(JMNBS.FOEFTPCTFSWPVBDPNQMFYJEBEFEPBTTVOUPRVFP5SJCVOBMBJOEB
FTUÈDPOTUSVJOEPPTJTUFNBEFBQMJDBÎÍPEPJOTUJUVUPEBSFQFSDVTTÍPHFSBMF“pretende
refletir sobre a matéria para propor uma síntese e solução de compromisso sobre a questão.” 33
20"*3FMù.JO(JMNBS.FOEFTKVMHBEP%+F
3DM3FMù.JO&MMFO(SBDJF%+FFOUFOEJNFOUPSFQFUJEPOB3DMEBNFTNB
SFMBUPSB%+F"MFJUVSBEPWPUPDPOEVUPSÏCBTUBOUFFTDMBSFDFEPSBRVBOUPBPTNPUJWPTRVF
MFWBSBNBFTTFFOUFOEJNFOUPRVFUFNTJEPBQMJDBEPFNNJMIBSFTEFGFJUPTFBTTVBTDPOTFRVÐODJBTOP
TJTUFNBSFDVSTBMFTQFDJBMNFOUFRVBOUPBQBTTBSBDBCFSBHSBWPJOUFSOPOP5SJCVOBMEFPSJHFNDPOUSBP
BUPRVFBQMJDBSFQFSDVTTÍPHFSBMFSSPOFBNFOUF
$POGPSNF OPUÓDJB WFJDVMBEB OP QPSUBM EP 45' MPDBMJ[ÈWFM FN XXXTUGKVTCSQPSUBMDNTWFS/PUJDJB
%FUBMIFBTQ JE$POUFVEPVJOUBGFJSB EF BHPTUP EF NJOJTUSPT WPMUBN B EFCBUFS WJB
QSPDFTTVBMQBSBDPOUFTUBS3FQFSDVTTÍP(FSBM
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Marcia Amino
$PNPTFFYQÙTBTIJQØUFTFTEFDBCJNFOUPEBSFDMBNBÎÍPQPSVTVSQBÎÍPEF
DPNQFUÐODJBTÍPUÍPEJWFSTBTRVBOUPÏPSPMEFGFJUPTDVKPKVMHBNFOUPÏBUSJCVÓEPBP
4VQSFNP5SJCVOBM'FEFSBMGB[FOEPSFTTBMUBSBJNQPSUÉODJBEPJOTUJUVUPOBHBSBOUJBEP
EJSFJUPGVOEBNFOUBMBPKVMHBNFOUPQFMB$PSUF.BJPS
2.2 Garantia da autoridade das decisões do STF
/BT ÞMUJNBT EVBT %ÏDBEBT BT USBOTGPSNBÎÜFT PDPSSJEBT TPCSF P DPOUSPMF
EFDPOTUJUVDJPOBMJEBEFGPSBNBDPNQBOIBEBTQFMPEFTFOWPMWJNFOUPEBSFDMBNBÎÍP
DPNPJOTUSVNFOUPEFHBSBOUJBEBBVUPSJEBEFEBTEFDJTÜFTQSPGFSJEBTTFKBFNTFEFEF
DPOUSPMFDPODFOUSBEPTFKBEPDPOUSPMFEJGVTP
2.2.1. O cabimento da reclamação no controle abstrato ou objetivo de
constitucionalidade
&NCPSBIPKFTFKBBTTFOUFPDBCJNFOUPEBSFDMBNBÎÍPQBSBHBSBOUJBEBBVUPSJ
EBEFEFKVMHBEPFNTFEFEFDPOUSPMFBCTUSBUPOFNTFNQSFGPJBTTJNPFOUFOEJNFOUP
EP4VQSFNP5SJCVOBM'FEFSBM"$PSUFDPOTJEFSBWBJOBENJTTÓWFMQPSFYFNQMPBSF
DMBNBÎÍPTFPSFDMBNBOUFOÍPUJWFTTFTJEPQBSUFOPQSPDFTTPFNRVFGPJQSPGFSJEBB
EFDJTÍPDVKBBVUPSJEBEFUJWFTTFTJEPEFTSFTQFJUBEB
"EFDJTÍPQSPGFSJEBFNTFEFEFSFQSFTFOUBÎÍPEFJODPOTUJUVDJPOBMJEBEFOBWJHÐO
DJBEB$POTUJUVJÎÍPBOUFSJPSHP[BOEPEPTFGFJUPTerga omnesBUJOHJBBRVFMFTRVFOFNTF
RVFSmHVSBWBNOBSFMBÎÍPQSPDFTTVBMNBTOÍPTFBENJUJBBSFDMBNBÎÍPQBSBQSFTFSWBÎÍP
EFTVBBVUPSJEBEFDPNGVOEBNFOUPFNRVFBOBUVSF[BPCKFUJWBEPQSPDFTTPEFDPOUSPMF
EFDPOTUJUVDJPOBMJEBEFTFNQBSUFTOPTFOUJEPQSØQSJPEPUFSNPJNQFEJBBVUJMJ[BÎÍPEP
JOTUJUVUPQPSUFSDFJSPT"MJNJUBEBVUJMJ[BÎÍPEBSFDMBNBÎÍPFTQFMIBWBPQSØQSJPTJTUFNBEF
DPOUSPMFEFDPOTUJUVDJPOBMJEBEFDBMDBEPFOUÍPOPDPOUSPMFJODJEFOUBM
$PNBFOUSBEBFNWJHPSEB$POTUJUVJÎÍPEFFPBQFSGFJÎPBNFOUPEPTJOT
USVNFOUPTEFDPOUSPMFEFDPOTUJUVDJPOBMJEBEFPQPTJDJPOBNFOUPFNCPSBJOJDJBMNFO
UFNBOUJEPGPJTPGSFOEPUFNQFSBNFOUPT"QBSUJSEBDPOTUBUBÎÍPEFRVFBTEFDJTÜFT
QSPGFSJEBTFNTFEFEFDPOUSPMFDPODFOUSBEPEFDPOTUJUVDJPOBMJEBEFOFNTFNQSFFSBN
0TKVMHBEPTQBSBEJHNÈUJDPTEBOÍPBDFJUBÎÍPEBSFDMBNBÎÍPQBSBDVNQSJSEFDJTÜFTDPNDBSÈUFSOPSNB
UJWPEFTEFFTUÍPDJUBEPTFN%"/5"4.BSDFMP/BWBSSP3JCFJSP*O.&%*/"+PTÏ.JHVFM(BSDJB
$36;-VBOB1FESPTBEF'JHVFJSFEP$&326&*3"-VJT0UBWJP4FRVFJSBEF(0.&4+6/*03-VJ[
.BOPFMDPPSE
Os poderes do juiz e o controle das decisões judiciais – Estudos em homenagem à Professora
Teresa Arruda Alvim Wambier4ÍP1BVMP3FWJTUBEPT5SJCVOBJTQ
3FMBUBOEPB3DMP.JO.PSFJSB"MWFTBTTFOUPVBPSJFOUBÎÍPFNWJHPSOBEÏDBEBEF$POmSB
TFBFNFOUBFN%"/5"4Q
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PCFEFDJEBTQFMBT$PSUFTPSEJOÈSJBTP4VQSFNPQBTTPVBBENJUJSBSFDMBNBÎÍPQBSBHB
SBOUJBEBBVUPSJEBEFEFEFDJTÍPFNTFEFEFBÎÍPEJSFUBEFJODPOTUJUVDJPOBMJEBEFEFTEF
RVFBKVJ[BEBQPSMFHJUJNBEPQBSBBQSPQPTJUVSBEBQSØQSJBBÎÍPEJSFUBFRVFUJWFTTFP
NFTNPPCKFUPOPKVMHBNFOUPEB3FDMBNBÎÍPSFMBUPS.JOJTUSP$FMTPEF.FMMP
0SFDPOIFDJNFOUPEBMFHJUJNJEBEFEFUFSDFJSPTQBSBQSPQPSSFDMBNBÎÍPQPSEFT
DVNQSJNFOUPEFEFDJTÍPFNTFEFEFDPOUSPMFDPODFOUSBEPQSFOVODJBBJNQPSUÉODJBBUVBM
EBNFEJEBQBSBEPUBSPTJTUFNBEFDPOUSPMFEFDPOTUJUVDJPOBMJEBEFEFNBJPSFmDÈDJB
*NQPSUBOUFFWPMVÎÍPGPJQPTTJCJMJUBEBQFMB&NFOEB$POTUJUVDJPOBMOEF
EFNBSÎPEFRVFBPJOTUJUVJSBBÎÍPEFDMBSBUØSJBEFDPOTUJUVDJPOBMJEBEFBM
UFSBOEPPBSUJHP*BMÓOFBiBwEB$POTUJUVJÎÍP
QSFWJVRVFBTEFDJTÜFTEFmOJUJWBT
EFNÏSJUPOFMBQSPGFSJEBTiQSPEV[JSÍPFmDÈDJBDPOUSBUPEPTFFGFJUPWJODVMBOUFSFMB
UJWBNFOUFBPTEFNBJTØSHÍPTEP1PEFS+VEJDJÈSJPFBP1PEFS&YFDVUJWPwQBSÈHSBGPP
EPBSUJHP
"PKVMHBSBRVFTUÍPEFPSEFNOB"%$OBRVBMTFEFDMBSPVBDPOT
UJUVDJPOBMJEBEFEB&NFOEBPSFMBUPS.JOJTUSP.PSFJSB"MWFTQSFOVODJPVPVTP
EBSFDMBNBÎÍPFNWJSUVEFEBGPSÎBWJODVMBOUFEBTEFDJTÜFTEPSBWBOUFQSPGFSJEBTFN
TFEFEF"%$FYUSBJOEPEPFGFJUPWJODVMBOUFRVFMIFÏQSØQSJPRVF
TFPTEFNBJTØSHÍPTEP1PEFS+VEJDJÈSJPOPTDBTPTDPODSFUPTTPCTFV
KVMHBNFOUP OÍP SFTQFJUBSFN B EFDJTÍP QSPMBUBEB OFTTB BÎÍP B QBSUF
QSFKVEJDBEB QPEFSÈ WBMFSTF EP JOTUJUVUP EB SFDMBNBÎÍP QBSB P 45' B
mNEFRVFFTUFHBSBOUBBBVUPSJEBEFEFTTBEFDJTÍP
$BTPBDPOUSPWÏSTJBTPCSFPDBCJNFOUPEBSFDMBNBÎÍPOPDPOUSPMFBCTUSBUP
EFOPSNBTSFTUPVTVQFSBEBRVBOUPËBÎÍPEFDMBSBUØSJBEFDPOTUJUVDJPOBMJEBEFDPN
SFMBÎÍPËBÎÍPEJSFUBEFJODPOTUJUVDJPOBMJEBEFP45'NBOUFWFOVNQSJNFJSPNPNFO
UPPFOUFOEJNFOUPOPTFOUJEPEPOÍPDBCJNFOUPDPOWFSUFOEPSFDMBNBÎÍPFNBÎÍP
EJSFUBEFJODPOTUJUVDJPOBMJEBEFQBSBQSFTFSWBSEFDJTÍPQSPGFSJEBFNBÎÍPBOUFSJPS
&NTFHVJEBWFJPSFWFSUFSBPSJFOUBÎÍPQBSBBENJUJSBSFDMBNBÎÍP“quando o
mesmo órgão de que emanara a norma declarada inconstitucional persiste na prática de
atos concretos que pressuporiam a validade”.
3DM.$203FM.JO$FMTPEF.FMMPKVMHBEPFN%+0NFTNPSFMBUPS
IBWJBNBOJGFTUBEPFOUFOEJNFOUPQFMPOÍPDBCJNFOUPBOUFSJPSNFOUFOB3DM%+
"%$203FM.JO.PSFJSB"MWFTK%+/FTTFTFOUJEP.&/%&4
3DM3FM.JO/ÏSJEB4JMWFJSBKVMHBEPFN%++ÈWJHFOUFB&$OB
"%*.$3+SFM.JO*MNBS(BMWÍPKVMHBEPFN%+P1MFOPWPMUBBSFQFUJS
BPSJFOUBÎÍPUBNCÏNFYBSBEBOB"%*.$3+SFMBUPS.JO.PSFJSB"MWFTKVMHBEPFN
%+.&/%&4QBOPUBDPOUVEPBFYJTUÐODJBEPFOUFOEJNFOUPNJOPSJUÈSJPDB
QJUBOFBEPQPS4FQÞMWFEB1FSUFODFOB3DMTVTUFOUBOEPiRVBOEPDBCÓWFMFNUFTFBBÎÍPEFDMBSBUØSJB
EFDPOTUJUVDJPOBMJEBEFBNFTNBGPSÎBWJODVMBOUFIBWFSÈEFTFSBUSJCVÓEBËEFDJTÍPEFmOJUJWBEBBÎÍP
EJSFUBEFJODPOTUJUVDJPOBMJEBEFw
3DM1&SFM.JO4FQÞMWFEB1FSUFODF%+
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Marcia Amino
"PKVMHBSDPOTUJUVDJPOBMBEJTQPTJÎÍPDPOTUBOUFEPQBSÈHSBGPÞOJDPEPBSUJHP
EB-FJOoRVFFTUFOEFVËEFDJTÍPEFEFDMBSBÎÍPEFJODPOTUJUVDJPOBMJEBEF
JODMVTJWFBJOUFSQSFUBÎÍPDPOGPSNFB$POTUJUVJÎÍPFBEFDMBSBÎÍPQBSDJBMEFJODPOTUJUV
DJPOBMJEBEFTFNSFEVÎÍPEFUFYUPFmDÈDJBDPOUSBUPEPTFFGFJUPWJODVMBOUFFNSFMBÎÍP
BPTØSHÍPTEP1PEFS+VEJDJÈSJPFË"ENJOJTUSBÎÍP1ÞCMJDBGFEFSBMFTUBEVBMFNVOJDJQBM
oP45'BTTFOUPVBMFHJUJNJEBEFQBSBQSPQPTJUVSBEFSFDMBNBÎÍPQBSBHBSBOUJBEFBVUP
SJEBEFEFEFDJTÍPQSPGFSJEBFNTFEFEFBÎÍPEJSFUBEFJODPOTUJUVDJPOBMJEBEFBUPEPTPT
RVFDPNQSPWFNQSFKVÓ[PEFDPSSFOUFEPOÍPDVNQSJNFOUPEBEFDJTÍP.
0DPOTUJUVJOUFSFGPSNBEPSEFFTUBCFMFDFVRVFBTEFDJTÜFTEFmOJUJWBTEF
NÏSJUPOBTBÎÜFTEJSFUBTEFJODPOTUJUVDJPOBMJEBEFFOBTBÎÜFTEFDMBSBUØSJBTEFDPOTUJ
UVDJPOBMJEBEFQSPEV[JSÍPFmDÈDJBDPOUSBUPEPTFFGFJUPWJODVMBOUFSFMBUJWBNFOUFBPT
EFNBJTØSHÍPTEP1PEFS+VEJDJÈSJPFË"ENJOJTUSBÎÍP1ÞCMJDBEJSFUBFJOEJSFUBOBT
FTGFSBTGFEFSBMFTUBEVBMFNVOJDJQBMBMUFSBOEPPBSUJHPQBSÈHSBGPEB$POT
UJUVJÎÍP 'FEFSBM EF F BTTFOUPV FN EFmOJUJWP P DBCJNFOUP EB SFDMBNBÎÍP OP
DPOUSPMFQFMBWJBEBBÎÍPEJSFUB
&TTFFOUFOEJNFOUPÏBQMJDÈWFMUBNCÏNËTEFDJTÜFTFNBSHVJÎÍPEFDVNQSJ
NFOUPEFQSFDFJUPGVOEBNFOUBM
2.2.2 A reclamação e a eficácia vinculante nas cautelares em ação direta de
inconstitucionalidade (ADIN) e em ação declaratória de constitucionalidade (ADC)
0DBCJNFOUPEFSFDMBNBÎÍPQBSBQSFTFSWBSBBVUPSJEBEFEFDBVUFMBSDPODF
EJEBFNBÎÍPEFDMBSBUØSJBEFDPOTUJUVDJPOBMJEBEFGPJUBNCÏNVNBDPOTUSVÎÍPKVSJT
QSVEFODJBM"PSJFOUBÎÍPGPJmSNBEBQPSPDBTJÍPEPKVMHBNFOUPEB"ÎÍP%FDMBSBUØSJB
EF $POTUJUVDJPOBMJEBEF %' FN RVF P 45' KVMHPV DPOTUJUVDJPOBM P "SU ' EB
-FJOEFEFTFUFNCSPEFRVFWFEBBDPODFTTÍPEFUVUFMBBOUFDJQBEB
DPOUSBB'B[FOEB1ÞCMJDBOBTIJQØUFTFTFNRVFOPNBOEBEPEFTFHVSBOÎBFOBBÎÍP
DBVUFMBSOÍPQPTTBTFSDPODFEJEBBMJNJOBS/FTTFKVMHBNFOUPP1MFOPQPSNBJPSJB
EFGFSJVFNQBSUFPQFEJEPEFNFEJEBDBVUFMBSQBSBTVTQFOEFSex nunce com efeito
vinculante BUÏ FOUÍP QSFWJTUP TPNFOUF QBSB P KVMHBNFOUP EF NÏSJUP OPT UFSNPT
EPBSUJHPfEB$POTUJUVJÎÍP'FEFSBMOBSFEBÎÍPEBSFGPSNBEF
BUÏP
KVMHBNFOUPmOBMEBBÎÍPBDPODFTTÍPEFUVUFMBBOUFDJQBEBDPOUSBB'B[FOEB1ÞCMJDB
RVFUFOIBQPSQSFTTVQPTUPBDPOTUJUVDJPOBMJEBEFPVJODPOTUJUVDJPOBMJEBEFEPBSUJHP
EB-FJOTVTUBOEPJHVBMNFOUFex nuncPTFGFJUPTGVUVSPTEBTEFDJTÜFTKÈ
QSPGFSJEBTOFTTFTFOUJEP
3DM"H33FM.JO.BVSÓDJP$PSSFBKVMHBEPFN%+
$POGPSNF.&/%&4QFUTFR-&0/&-Q
"%$.$3FMù.JO4ZEOFZ4BODIFTKVMHBEP%+
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0 WPUP EP SFMBUPS .JOJTUSP 4ZEOFZ 4BODIFT DPOTJHOB FYQSFTTB NFOÎÍP BP
DBCJNFOUPEBSFDMBNBÎÍPOBIJQØUFTFEFOÍPDVNQSJNFOUPEPEFDJEJEP
$BCF BEWFSUJS QPS OFDFTTÈSJP RVF P FWFOUVBM EFTDVNQSJNFOUP QPS
KVÓ[FTPV5SJCVOBJTEBEFDJTÍPQMFOÈSJBEP45'FTQFDJBMNFOUFRVBOEP
QSPGFSJEBDPNFGFJUPWJODVMBOUF$'"SUQBSÈHSBGP
KVTUJmDBSÈ
B VUJMJ[BÎÍP EF JOTUSVNFOUP DPOTUJUVDJPOBM EB SFDMBNBÎÍP NFTNP
USBUBOEPTF EF KVMHBNFOUP SFGFSFOUF B QFEJEP EF NFEJEB DBVUFMBS FN
TFEFEFBÎÍPEFDMBSBUØSJBEFDPOTUJUVDJPOBMJEBEF²RVFP1MFOÈSJPEP
45'BPEFGFSJSPQFEJEPEFNFEJEBDBVUFMBSOB"%$%'FYQSFTTBNFOUF
BUSJCVJVËTVBEFDJTÍPFmDÈDJBWJODVMBOUFFTVCPSEJOBOUFDPNUPEBTBT
DPOTFRVÐODJBTKVSÓEJDBTEBÓEFDPSSFOUFTJODMVTJWFBRVFMBTEFOBUVSF[B
QSPDFTTVBMDPODFSOFOUFTBPFNQSFHPEPJOTUJUVUPEBSFDMBNBÎÍP
/ÍPTFQPEFJHOPSBSOFTUFQPOUPRVFVNBEBTGVOÎÜFTQSPDFTTVBJTEB
SFDMBNBÎÍPDPOTJTUFQSFDJTBNFOUFFNHBSBOUJSBBVUPSJEBEFEBTEFDJTÜFT
QSPGFSJEBTQFMP45'DPOTPBOUFUFNTJEPFOGBUJ[BEPQFMBKVSJTQSVEÐODJB
EFTUB $PSUF 3DM 1* SFM .JO $FMTP EF .FMMP
&TTF JOTUSVNFOUP
GPSNBM EF UVUFMB iRVF OBTDFV EF VNB DPOTUSVÎÍP QSFUPSJBOBw 35+
CVTDBFNFTTÐODJBGB[FSQSFWBMFDFSOPQMBOPEBIJFSBSRVJB
KVEJDJÈSJBPFGFJUPSFTQFJUPBPTQSPOVODJBNFOUPTKVSJTEJDJPOBJTFNBOBEPT
EFTUB 4VQSFNB $PSUF SFTHVBSEBOEP EFTTF NPEP B JOUFHSJEBEF F B
FmDÈDJB TVCPSEJOBOUF EPT DPNBOEPT RVF EFMF FNFSHFN 35+ SFM .JO $FMTP EF .FMMP
7ÐTF QPSUBOUP RVF P JOUFSFTTF
QÞCMJDPoNFTNPSFDPOIFDJEBBQSFKVEJDJBMJEBEFEFTUFQFEJEPoOÍPmDBSÈ
DPNQSPNFUJEPOFNTFFYQPSÈBRVBMRVFSTJUVBÎÍPEFSJTDPQSFDJTBNFOUF
FNWJSUVEFEBQPTTJCJMJEBEFEFJNFEJBUBVUJMJ[BÎÍPQFMBFOUJEBEFFTUBUBM
RVBOEPGPSPDBTPEPJOTUSVNFOUPDPOTUJUVDJPOBMEBSFDMBNBÎÍP
%P FGFJUP WJODVMBOUF EFDPSSF B QPTTJCJMJEBEF EF QSPQPTJUVSB EF SFDMBNBÎÍP
DPOGPSNF"%$20SFMBUPS.JOJTUSP.PSFJSB"MWFT
"-FJOPEFBPQFS
NJUJSBJNQPTJÎÍPEFFGFJUPWJODVMBOUFBMÏNEBTIJQØUFTFTFYQSFTTBNFOUFQSFWJTUBTOB
$POTUJUVJÎÍP'FEFSBMDPOTBHSPVBJOUFSQSFUBÎÍPEP4VQSFNPOB"%$OPTFOUJEPEF
0QBSBEJHNÈUJDPKVMHBNFOUPJOJDJPVOPFOUFOEFSEF%"/5"4Q
NBJPSGSFRVÐODJBOB
VUJMJ[BÎÍPEBSFDMBNBÎÍPDPNPWJBEFFGFUJWBÎÍPEPDPOUSPMFEFDPOTUJUVDJPOBMJEBEF
4PCSFBDBVUFMBSFNTFEFEFDPOUSPMFBCTUSBUPEFDPOTUJUVDJPOBMJEBEFFTFVTFGFJUPTQBSBmOTEFQSPQP
TJUVSBEFSFDMBNBÎÍPWJEF.&/%&4Q
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Marcia Amino
RVFPQPEFSEFBDBVUFMBSFTUÈDPOUJEPOPQPEFSEFKVMHBSFBGBTUPVPØCJDFRVFNFTNP
OP45'TFPQVOIBBPFOUFOEJNFOUPBEPUBEPQPSPDBTJÍPEFTTFKVMHBNFOUP
"NFTNBratio decidendiRVFGVOEPVPKVMHBNFOUPEB3FDMBNBÎÍPOPTFO
UJEPEFRVFIÈ“similitude substancial de objetos nas ações declaratória de constitucionalidade e
direta de inconstitucionalidade”GVOEBPFOUFOEJNFOUPOPTFOUJEPEFRVFUBNCÏNBTDBVUF
MBSFTOBTBÎÜFTEJSFUBTEFJODPOTUJUVDJPOBMJEBEFHP[BNEFFGFJUPTWJODVMBOUFT
"TTJNPEFTDVNQSJNFOUPQPSRVBJTRVFSKVÓ[FTPVUSJCVOBJTEFEFDJTÜFTDPO
DFTTJWBTEFNFEJEBTDBVUFMBSFToPVUPSHBEBTDPNFGFJUPWJODVMBOUFQFMP1MFOÈSJPEP
45'FNTFEFEFmTDBMJ[BÎÍPBCTUSBUBEFDPOTUJUVDJPOBMJEBEFoBVUPSJ[BPFNQSFHPEB
SFDMBNBÎÍPUBNCÏNWPDBDJPOBEBFNTVBFTQFDÓmDBGVOÎÍPQSPDFTTVBMBSFTHVBSEBSF
BGB[FSQSFWBMFDFSOPRVFDPODFSOFË4VQSFNB$PSUFBJOUFHSJEBEFBBVUPSJEBEFFB
FmDÈDJBTVCPSEJOBOUFEPTDPNBOEPTRVFFNFSHFNEFTFVTBUPTEFDJTØSJPTDoutrina.
Precedentes. (...) A procedência da reclamação, quando promovida com o objetivo de fazer
prevalecer o imperium inerente aos julgados proferidos pelo STF, importará em desconstituição
do ato que houver desrespeitado a autoridade da decisão emanada da Suprema Corte.
3FQVUBTF PGFOTJWP Ë BVUPSJEBEF EF TFOUFOÎB EF NÏSJUP QSPGFSJEB FN BÎÍP
EJSFUBEFJODPOTUJUVDJPOBMJEBEFDPNFGFJUPex tuncPBDØSEÍPRVFKVMHBOEPJNQSP
DFEFOUFBÎÍPSFTDJTØSJBBEPUPVFOUFOEJNFOUPDPOUSÈSJPBJOEBRVFOBWJHÐODJBFOPT
UFSNPTEFMJNJOBSDPODFEJEBOBNFTNBBÎÍPEJSFUBEFJODPOTUJUVDJPOBMJEBEF
1PS PVUSP MBEP “(...) somente as decisões concessivas das liminares em ADIs e
ADCs é que se dotam de efeito vinculante. Não as denegatórias. Ante a natureza subjetiva
do processo, as decisões proferidas em reclamação não têm eficácia erga omnes”.
"PCSJHBUPSJFEBEFEFPCTFSWÉODJBEBEFDJTÍPEFMJNJOBSFNDPOUSPMFBCTUSBUP
SFBMJ[BEPQFMP4VQSFNP5SJCVOBM'FEFSBMJNQÜFTFDPNBQVCMJDBÎÍPEBBUBEBTFTTÍP
EFKVMHBNFOUPOP%JÈSJPEB+VTUJÎB0BKVJ[BNFOUPEFSFDMBNBÎÍPJOEFQFOEFUBOUPEB
QVCMJDBÎÍPEPBDØSEÍPDVKBBVUPSJEBEFTFRVFSHBSBOUJSDPNPEFTVBKVOUBEB
2.2.3 Reclamação e ação direta de inconstitucionalidade por omissão
"PNJTTÍPRVBOUPBPDVNQSJNFOUPEFQSFDFJUPDPOTUJUVDJPOBMUBOUPQPEFUFS
PSJHFNOPTØSHÍPTBENJOJTUSBUJWPTDPNPOPTMFHJTMBUJWPT2VBOUPBP1PEFS-FHJTMBUJWP
/FTTFTFOUJEP%"/5"4Q
1PSFYFNQMPPWPUPEP.JO.BSDP"VSÏMJPQBSBJOEFGFSJSNPOPDSBUJDBNFOUFMJNJOBSOB.FEJEB$BVUFMBS
OB3DMKVMHBEPFN%+"SFDMBNBÎÍPGPJKVMHBEBQSPDFEFOUFQFMPDPMFHJBEP
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RESPGE - SP
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2.2.4 Reclamação e o cumprimento do decidido em Ação de descumprimento de
Preceito Fundamental (ADPF)
²DBCÓWFMBSFDMBNBÎÍPQBSBBTTFHVSBSBBVUPSJEBEFEBEFDJTÍPQSPGFSJEBFN
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RVFEJTQÜFTPCSFPQSPDFTTPFKVMHBNFOUPEFTTBBÎÍP“Caberá reclamação contra o descumprimento da decisão proferida pelo Supremo Tribunal Federal, na forma do seu
Regimento Interno”CFNDPNPDPNSFMBÎÍPËEFDJTÍPQSPGFSJEBFNTFEFEFDBVUFMBS
QPSGPSÎBEPEJTQPTUPOPfPEPBSUJHPPEBNFTNBMFJ
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EFDJEJEPQFMP45'FNWJSUVEFEPEJTQPTUPOPBSUJHPfEB-FJRVFOÍP
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HBUJWBBFTTBRVFTUÍP-FJDPNPNFTNPUFPSEBRVFMBEFDMBSBEBJODPOTUJUVDJPOBMFOUÍP
TØQPEFSJBTFSBUBDBEBQPSBÎÍPBVUÙOPNB
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EFDMBSBEBJODPOTUJUVDJPOBM.
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RESPGE - SP
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n. 1
jan./dez. 2012
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96
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/FTTBQFSTQFDUJWBQBSFDFCBTUBOUFMØHJDBBQPTTJCJMJEBEFEFRVFFNTFEFEF
SFDMBNBÎÍPPUSJCVOBMBOBMJTFBDPOTUJUVDJPOBMJEBEFEFMFJTDVKPUFPSÏJEÐOUJDPPV
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"SFDMBNBÎÍPDPOTUJUVDJPOBMoTVBQSØQSJBFWPMVÎÍPPEFNPOTUSBoOÍPNBJT
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2.2.5. Reclamação contra ato que desrespeitou enunciado da súmula vinculante
do Supremo Tribunal Federal e a Lei nº 11.417/2006
"HSBOEFJOPWBÎÍPOPUFNBFNFTUVEPQSPNPWJEBOPTÞMUJNPTBOPTQPSNV
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$PNFOUBOEPPOPWPQFSNJTTJWPDPOTUJUVDJPOBM(JMNBS.FOEFTressalta “situar-se na seara da Administração Pública o grande desafio na implantação da súmula
vinculante em toda a sua amplitude”,QBSBBmSNBSBOFDFTTJEBEFEFFTHPUBNFOUPEBWJB
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Marcia Amino
DPOUSPWÏSTJBOPÉNCJUPBENJOJTUSBUJWP"RVJSFTJEFVNEPTQPOUPTNBJT
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"TEFDJTÜFTEP4VQSFNPWÐNCBMJ[BOEPBVUJMJ[BÎÍPEBSFDMBNBÎÍPQBSBB
IJQØUFTFEFEFTSFTQFJUPËTÞNVMBWJODVMBOUFFTUBCFMFDFOEPQPSFYFNQMPRVF“inexiste ofensa à autoridade de Súmula Vinculante quando o ato de que se reclama é anterior
à decisão emanada da Corte Suprema”SFTUSJOHJOEPTVBVUJMJ[BÎÍPBPOÍPBBENJUJS
“quando, ao se alegar descumprimento da Súmula Vinculante 3, o ato reclamado não é
proveniente do TCU”,60 “contra demora na cognição de recurso que invoque ofensa à súmula vinculante”PVQPSOÍPUFSDBSÈUFSQSFWFOUJWPEF“impedir que sejam proferidas
decisões judiciais ou administrativas”.
/BEPVUSJOBBTQPTJÎÜFTWBSJBN
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+È-FPOBSEP$BSOFJSPEB$VOIBFOUFOEFRVFBSFTUSJÎÍPÏem princípio razoável, QBSB FWJUBS RVF P 5SJCVOBM TF USBOTGPSNF FN ØSHÍP EF QSJNFJSB JOTUÉODJB
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TFNQSFKVÓ[PEPTEFNBJTNFJPTEFJNQVHOBÎÍPDPNPPNBOEBEPEFTFHVSBOÎB
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UJUVDJPOBM$BCFSJBBPSFDMBNBOUF“expor o motivo pelo qual não se foi possível esperar
a decisão administrativa, demonstrando a utilidade e a necessidade da imediata intervenção do STF para corrigir o ato administrativo que contrariou o enunciado da súmula
.&/%&4Q
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RESPGE - SP
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2.2.6 Outras hipóteses de cabimento de reclamação
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Marcia Amino
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EJSJNJS DPOUSPWÏSTJBT SFMBUJWBT Ë SFMBÎÍP EF USBCBMIP FOUSF P 1PEFS 1ÞCMJDP F TFVT
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JOJDJPVPWPUPOPDPMFHJBEPJOEJDBOEPRVF“o exame do objeto desta reclamação permitirá a esta Corte esclarecer e demarcar adequadamente o sentido mais correto e a amplitude
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2.2.7 A reclamação para garantia da autoridade das decisões do Supremo
Tribunal Federal e os processos subjetivos
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Marcia Amino
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3. CONCLUSÕES
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Os poderes do juiz e o controle das decisões
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106
Marcia Amino
judiciais – Estudos em homenagem à Professora Teresa Arruda Alvim Wambier4ÍP1BVMP
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7PMVNFOÞNFSPQKBOFJSPGFWFSFJSP
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A ARBITRAGEM NOS CONFLITOS ENTRE POLÍTICAS PÚBLICAS
The Arbitration in Conflicts between Public Policy
Eridane Baptista Furlan1
SUMÁRIO
*OUSPEVÎÍP 1PMÓUJDBT 1ÞCMJDBT 'VOÎÜFT FTUBUBJT JOEFQFOEFOUFT F IBSNÙOJDBT "UJWJTNP+VEJDJBMF+VEJDJBMJ[BÎÍPEB1PMÓUJDB1SFTTVQPTUPTEPFYFSDÓDJPQPMÓUJDPQFMP
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FOUJEBEFT FTUBUBJT "HÐODJB SFHVMBEPSB $ÉNBSB EF DPODJMJBÎÍP F BSCJUSBHFN
OB "ENJOJTUSBÎÍP 'FEFSBM $$"'
" BSCJUSBHFN OP TFUPS QÞCMJDP QPSUVHVÐT $PODMVTÍP#JCMJPHSBmB
RESUMO
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'FEFSBMO¡EFEFTFUFNCSPEFOBSFTPMVÎÍPEFDPOnJUPTFTUBCFMFDJEPT
FOUSFQPMÓUJDBTQÞCMJDBTBQBSUJSEFTVBBQMJDBÎÍPQPSBHÐODJBTSFHVMBEPSBTTFUPSJBJTFEB
FYQFSJÐODJBEB$ÉNBSBEF$PODJMJBÎÍPF"SCJUSBHFNEB"EWPDBDJB(FSBMEB6OJÍPDPN
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Ë PCUFOÎÍP EP ØUJNP EFTFNQFOIP EBT GVOÎÜFT FTUBUBJT Ë EFTPCTUSVÎÍP EP 1PEFS
+VEJDJÈSJPFËNJUJHBÎÍPEBTEFTJHVBMEBEFTTPDJBJT
ABSTRACT
5IJTQBQFSJOWFTUJHBUFTUIFQPUFOUJBMVTFPGBSCJUSBUJPOSFHVMBUFECZ'FEFSBM-BXO¡
PG4FQUFNCFSJOSFTPMWJOHDPOnJDUTCFUXFFOFTUBCMJTIFEQVCMJDQPMJDZ
GSPN JUT JNQMFNFOUBUJPO CZ SFHVMBUPSZ BHFODJFT BOE FYQFSJFODF PG UIF Câmara de
Conciliação e Arbitragem da Advocacia Geral da UniãoXJUIBWJFXUPCFUUFSFGGFDUJWFOFTT
PG GVOEBNFOUBM SJHIUT BOE HVBSBOUFFT PCUBJOJOH PQUJNBM QFSGPSNBODF PG TUBUF
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Palavras-chavesQPMÓUJDBTQÞCMJDBTBHÐODJBTSFHVMBEPSBTFBSCJUSBHFN
Keywords: QVCMJDQPMJDZSFHVMBUPSZBHFODJFTBOEBSCJUSBUJPO
INTRODUÇÃO
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i0*%)EP#SBTJMQBSBÏ/PFOUBOUPRVBOEPÏEFTDPOUBEBBEFTJHVBMEBEFEPWBMPSP*%)
108
Eridane Baptista Furlan
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1. POLÍTICAS PÚBLICAS
.BSJB1BVMB%BMMBSJ#VDDJFOTJOBOPTRVFPDPODFJUPEFQPMÓUJDBQÞCMJDBOÍP
TFBQSFTFOUBVOÓTTPOPFOUSFPTEPVUSJOBEPSFTQÈUSJPTFTVBDPODFQÎÍPVTVBMBQPJBTF
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3
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QBSBMIFPGFSFDFSFNGVOÎÍPEPTPCTUÈDVMPTRVFBTEFTJHVBMEBEFTQPEFNMIFJNQPS/FTUBÈSFBP#SBTJM
TFJOTFSFFNVNDPOUFYUPTFNFMIBOUFBPEB"NÏSJDB-BUJOBPOEFBEFTJHVBMEBEFoFNFTQFDJBMEF
SFOEBoGB[QBSUFEFVNQBTTJWPIJTUØSJDPRVFBJOEBSFQSFTFOUBVNHSBOEFPCTUÈDVMPQBSBPEFTFOWPM
WJNFOUP IVNBOPw IUUQQSFTTSPPNJQDVOEQPSHCSBTJMBWBODBOPEFTFOWPMWJNFOUPIVNBOP
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POVIBCJUBUPSHFM&TUBEPEF-BT$JVEBEFTEF"NÏSJDB-BUJOBZFM$BSJCFBDFTTBEPFN
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$POTUJUVJÎÍP'FEFSBMEFBSU
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A arbitragem nos conflitos entre políticas públicas
109
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está na parte, que está no todowFTFNBDPOTJEFSBÎÍPEFTTBQSFNJTTBOÍPOPTQBSFDF
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QPSBJTQFTTPBJTFNBUFSJBJTBBPTDPOUSPMFTEP&YFDVUJWP-FHJTMBUJWPF+VEJDJÈSJP
2. FUNÇÕES ESTATAIS INDEPENDENTES E HARMÔNICAS
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110
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3. ATIVISMO JUDICIAL E JUDICIALIZAÇÃO DA POLÍTICA
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4. PRESSUPOSTOS DO EXERCÍCIO POLÍTICO PELO JUDICIÁRIO
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6. A ARBITRAGEM
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por ela adotados, ou dos tratados internacionais em que a República Federativa do
Brasil seja partew
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6.1. A Arbitragem no Poder Judiciário
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6.2. Legislações com Previsão de Arbitragem
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6.3. A Legislação Específica da Arbitragem
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EFWFSÈJOWPDBSBTQSFSSPHBUJWBTJOFSFOUFTËEFGFTBJODPOEJDJPOBMEPJOUFSFTTFQÞCMJDP
8. A ARBITRAGEM POR ÓRGÃOS E ENTIDADES ESTATAIS
1PS PVUSP MBEP JOUFSFTTBOPT BWFSJHVBS B OBUVSF[B EB BSCJUSBHFN BQMJDBEB
QPSØSHÍPTFFOUJEBEFTFTUBUBJTFTQFDJBMNFOUFQFMBTBHÐODJBTBUVBOUFTTPCSFTFUPSFT
SFHVMBEPTFQFMB$ÉNBSBEF$PODJMJBÎÍPF"SCJUSBHFNEB"EWPDBDJB(FSBMEB6OJÍP
8.1. Agência Reguladora
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P GBDUP EF B MFJ SFDPOIFDFS DPNQFUÐODJB B VNB FOUJEBEF
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QBSUJDVMBSFT PV BUÏ FOUSF PVUSBT FOUJEBEFT BENJOJTUSBUJWBT OÍP QPEF
TJHOJmDBS JNFEJBUBNFOUF B DPOWFSTÍP EFTTB FOUJEBEF BENJOJTUSBUJWB
OVNB FOUJEBEF KVSJTEJDJPOBM VNB WF[ RVF QPS NBJT SFMFWBOUFT RVF
QPTTBNTFSBTEFDJTÜFTPVBDUPTSFTVMUBOUFTEBBUJWJEBEFBENJOJTUSBUJWB
BSCJUSBMAOÍPTÍPFMFTRVFJOEJWJEVBMJ[BNBTGVOÎÜFTEP&TUBEPPVRVF
BGFDUBNPOÞDMFPFTQFDÓmDPEPTØSHÍPTBRVFTÍPDPNFUJEPT
"MÏNEJTTPBTBHÐODJBTOÍPTFTVCNFUFNBPQSJODÓQJPDPOTUJUVDJPOBMEBJOÏSDJB
EBKVSJTEJÎÍPFBBSCJUSBHFNEFNBOEBBWPMVOUBSJFEBEFEBTQBSUFTDVKBNBOJGFTUBÎÍP
EFWPOUBEFRVFOÍPQPEFTFSTVCTUJUVÓEBQFMBMFJ
"EFDJTÍPEBBHÐODJBSFHVMBEPSBTVKFJUBTFBPSFDVSTPBENJOJTUSBUJWPEFTFO
WPMWJEPTPCPTQSJODÓQJPTFQSFDFJUPTEFEJSFJUPQÞCMJDPFËSFWJTÍPKVSJTEJDJPOBM"JO
EBDBTPFTTBFOUJEBEFFODPOUSFTFOBDPOEJÎÍPEFUFSDFJSPOÍPFTUBSÈPCSJHBEBBQBS
UJDJQBSEFQSPDFTTPBSCJUSBMPVNFTNPTFTVCNFUFSBPTFGFJUPTEFVNBEFDJTÍPBSCJUSBM
&TUVEPEFTFOWPMWJEPQPS"OESÏ$BSEPTP(VTLPXEFTUJOBEPËPCSBDPMFUJWB
TPCSFBSCJUSBHFNOP1PEFS1ÞCMJDPQSPQÜFBTTFHVJOUFTDPOEJÎÜFTQBSBPVTPEBBSCJ
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DPODSFUPT F JNFEJBUPT C
P DPOnJUP BQSFTFOUF PCKFUP TVTDFUÓWFM EF
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OPTDPOnJUPTFOWPMWFOEPTVBBUJWJEBEFUÓQJDBPVTFKBBmTDBMJ[BÎÍP
EF EFUFSNJOBEB BUJWJEBEF RVF DPSSFTQPOEB B BMHVN TFSWJÎP QÞCMJDP
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PV B BMHVNB ÈSFB FDPOÙNJDB FN RVF BUVBÎÍP EFQFOEB EF DPODFTTÍP
PVQFSNJTTÍP B BSCJUSBHFN OÍP QPEFSÈ TFS FNQSFHBEB DPNP NÏUPEP
EFDPNQPTJÎÍPKÈFOWPMWJEPTJOUFSFTTFTJOEJTQPOÓWFJT
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"EJDJPOBMNFOUF.BVSP3PCFSUP(PNFTEF.BUUPTBTTFWFSB
UPEBTBTDMÈVTVMBTRVFJNQMJRVFNSFNJTTÍPUSBOTBÎÍPPVSFOÞODJB
EFEJSFJUPTEFDPOUFÞEPQÞCMJDPDPNPBTSFMBUJWBTBPFYFSDÓDJPEPQPEFS
EFQPMÓDJBEPQPEFSJNQPTJUJWPEBTCBTFTEBTUBSJGBTEBEJTQPTJÎÍPEP
EPNÓOJPQÞCMJDPEFDPOUSPMBSBQSFTUBÎÍPEPTTFSWJÎPTDPODFEJEPTOÍP
TÍPBENJUJEPTOPKVÓ[PBSCJUSBMQPSTFSFNFORVBESBEPTDPNPEJSFJUPT
JOEJTQPOÓWFJTFDPNPUBMJOTVTDFUÓWFMEBTPMVÎÍPFYUSBKVEJDJBM
/FTTFTFOUJEPNJTUFSTFGB[DJUBSPNBHJTUÏSJPEF-VJ[B3BOHFMEF.PSBFT
" BUSJCVJÎÍP RVF OPSNBMNFOUF DPOTUB EB EJTDJQMJOB EBT BHÐODJBT
SFHVMBEPSBT OP ÉNCJUP EPT TFSWJÎPT QÞCMJDPT EF DPNQPS DPOnJUPT
FOUSF PT BHFOUFT TVCPSEJOBEPT Ë TVB DPNQFUÐODJB OÍP DPOmHVSB
BVUÐOUJDB BSCJUSBHFN &TTB BUVBÎÍP EFTFOWPMWFTF OP SJTDP EF VN
QSPDFTTPBENJOJTUSBUJWPRVFOÍPQPEFTFSDPOGVOEJEPDPNPQSPDFTTP
EFBSCJUSBHFN
&OUFOEJNFOUPBOÈMPHPBQSFTFOUBB1SPGB.BSJB4ZMWJB;BOFMMB%J1JFUSPBP
BOBMJTBSB-FJ(FSBMEF5FMFDPNVOJDBÎÜFTo-FJO¡
BGVOÎÍPEFÈSCJUSPGPJDPOGFSJEBË"HÐODJBDFSUBNFOUFJOTQJSBEB
QFMPEJSFJUPOPSUFBNFSJDBOPFNRVFBTBHÐODJBTEFTFNQFOIBNGVOÎÜFT
RVBTFKVEJDJBJTTPCSFBTEFDJTÜFTQSPGFSJEBTQFMBTBHÐODJBT/PDBTPEB
-FJ(FSBMEF5FMFDPNVOJDBÎÜFTFUBNCÏNEB3FTPMVÎÍPOPQSØQSJP
WPDÈCVMP BSCJUSBHFN Ï NBM FNQSFHBEP QPSRVF HFSB DPOGVTÍP DPN P
JOTUJUVUPEFmOJEPQFMB-FJEF"SCJUSBHFNPÈSCJUSPOÍPÏFTDPMIJEPQFMBT
QBSUFTFNDPOnJUPBBSCJUSBHFNOÍPTFCBTFJBOBJEFJBEBDPOmBOÎBOP
ÈSCJUSPFOÍPÏMJWSFNFOUFDPOWFODJPOBEBQFMBTQBSUFTFNDPOnJUPFMB
ÏJNQPTUBQFMBMFJ&NDPOTFRVÐODJBOÍPQPEFBEFDJTÍPQSPGFSJEBQFMB
$¬."3""MFYBOESFEF'SFJUBT"SCJUSBHFNOPTDPOnJUPTFOWPMWFOEPBHÐODJBTSFHVMBEPSBT3FWJTUBEF
%JSFJUPEB"TTPDJBÎÍPEPT1SPDVSBEPSFTEP/PWP&TUBEPEP3JPEF+BOFJSPO
$POUSBUP"ENJOJTUSBUJWPFB-FJEF"SCJUSBHFN3FWJTUBEF%JSFJUP"ENJOJTUSBUJWPo3%"OQ
.03"&4-VJ[3BOHFMEF"SCJUSBHFNFBHÐODJBTSFHVMBEPSBT3FWJTUBEF"SCJUSBHFNF.FEJBÎÍPO
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"HÐODJB UFS DBSÈUFS EFmOJUJWP &MB TFNQSF TFSÈ QBTTÓWFM EF BQSFDJBÎÍP
KVEJDJBMQPSFYJHÐODJBEP"SU¡JODJTP9997EB$POTUJUVJÎÍP
*HVBMNFOUF1BVMP#SBODIFSBEPUBUBMQPTJÎÍPBPFYBNJOBSPTDPOnJUPTFOUSF
QSFTUBEPSFTEFTFSWJÎPTEFUFMFDPNVOJDBÎÜFTFVTVÈSJPT
USBUBTF EF IJQØUFTF FN RVF P QSØQSJP 1PEFS &YFDVUJWP BHF OP
TFOUJEPEFNFEJBSFEJTQPSTPCSFPTDPOnJUPTWJTBOEPËTVBTPMVÎÍP
/FTTFTFOUJEPRVBMRVFSQSPDFEJNFOUPJOJDJBEPFEJSFDJPOBEPË"HÐODJB
USBUBSTFÈEFWFSEBEFJSPQSPDFTTPBENJOJTUSBUJWPFOÍPEFBSCJUSBHFN
OPTNPMEFTEB-FJO
1PSUBOUPFNRVFQFTFBQPTTJCJMJEBEFEBBHÐODJBSFHVMBEPSBWBMFSTFEFBM
HVOTQSFTTVQPTUPTHFSBJTEB-FJGFEFSBMO¡OBSFTPMVÎÍPEFDPOnJUPTFOUSF
BHFOUFTEFVNEBEPTFUPSWFSJmDBTFBQFOBTPFYFSDÓDJPEFVNBGVOÎÍPUÓQJDBFJOF
SFOUFËQSØQSJBBUVBÎÍPBENJOJTUSBUJWBOÍPTFDPOGVOEJOEPDPNPJOTUJUVUPEBBSCJ
USBHFNQSPQSJBNFOUFEJUP
8.2. Câmara de Conciliação e Arbitragem da Administração Federal (CCAF)
*HVBMNFOUF PDPSSF DPN B $ÉNBSB EF $PODJMJBÎÍP F "SCJUSBHFN EB "ENJ
OJTUSBÎÍP'FEFSBM$$"'EB"EWPDBDJB(FSBMEB6OJÍPDSJBEBNFEJBOUFP"UP3FHJ
NFOUBMO¡EFEFTFUFNCSPEF4FVFTDPQPWJTBËTPMVÎÍPEFDPOUSPWÏSTJBT
QPTUBTFOUSFPTØSHÍPTFBTFOUJEBEFTQÞCMJDBTGFEFSBJT"ENJOJTUSBÎÍP'FEFSBMF"E
NJOJTUSBÎÍP1ÞCMJDBEPT&TUBEPTPVEP%JTUSJUP'FEFSBMQPSNFJPEBDPODJMJBÎÍPPV
EBBSCJUSBHFNTPCPGVOEBNFOUPEBDPPQFSBÎÍPFEPEJÈMPHPFDPNBPCTFSWÉODJB
EPTQSJODÓQJPTDPOTUJUVDJPOBJTGFEFSBJTFEP%JSFJUP"ENJOJTUSBUJWP
" BUVBÎÍP EB $$"' QPEF TFS DPNQSFFOEJEB NFEJBOUF DBSUJMIB QPTUBEB OP
TÓUJPEB"(6F&NFOUÈSJPEF$PODJMJBÎÍPF"SCJUSBHFNEFFEJTQPOÓWFM
OPTJUFEB"(6NBOUJEPEB8&# %PSFGFSJEPFNFOUÈSJPTPCSFTTBJVPDPOnJUPBNCJFOUBMFTUBCFMFDJEPFOUSFB
6OJÍPFB6TJOBEF9JOHØEB$PNQBOIJB)JESP&MÏUSJDBEP4ÍP'SBODJTDP$)&4'
"BÎÍPDJWJMQÞCMJDBBNCJFOUBMQSPQPTUBQFMP.JOJTUÏSJP1ÞCMJDPGPJFYUJOUBTFNKVM
HBNFOUPEFNÏSJUPQPSGBMUBEFJOUFSFTTFEFBHJSNBOJGFTUBEBDPNBWBMJEBÎÍPUÏDOJDB
1*&530.BSJB4ZMWJB;BOFMMBEJ1BSDFSJBTOB"ENJOJTUSBÎÍP1ÞCMJDB&E"UMBTQ
#3"/$)&31BVMP4PMVÎÜFTEFDPOUSPWÏSTJBFBTBHÐODJBTSFHVMBEPSBT3FWJTUB#SBTJMFJSBEF"SCJUSB
HFNOKBONBSQ
IUUQXXXBHVHPWCSTJTUFNBTTJUF1BHJOBT*OUFSOBT1VCMJDBDBP&NFOUBSJP$PODJMJBDBPBTQY BDFTTBEP
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EP*OTUJUVUP#SBTJMFJSPEP.FJP"NCJFOUFF3FDVSTPT/BUVSBJT*#"."
FNSFMBÎÍP
BPTSFTVMUBEPTFFTUVEPTUÏDOJDPTPCUJEPTFYUSBKVEJDJBMNFOUFQFMBSFGFSJEBFNQSFTB
5BJTFTUVEPTQSPWBWBNBBVTÐODJBEFOFYPDBVTBMFOUSFPFWFOUPBNCJFOUBM
JNQVUBEPFBTBUJWJEBEFTEBVTJOBFP*#"."OBDPOEJÎÍPEFFOUJEBEFBNCJFOUBMEB
6OJÍPBPFYFSDFSQMFOBNFOUFBTTVBTGVOÎÜFTUÏDOJDBTDPOUSJCVJVQBSBBTPMVÎÍPEB
EFNBOEBKVEJDJBMBNCJFOUBM
4VBBUVBÎÍPBJOEBRVFEFFGFJUPTSFnFYPTEFOPUBVNBGVODJPOBMJEBEFBSCJ
USBMTPCSFBBÎÍP&TTBGVODJPOBMJEBEFEFOBUVSF[BFYFDVUJWBJOEV[JVËTPMVÎÍPEBEF
NBOEBDPODJMJBOEPUFDOJDBNFOUFBEJWFSHÐODJBFTUBCFMFDJEBFOUSFB6OJÍPFB$)&4'
DPNQBOIJBJOUFHSBOUFEB"ENJOJTUSBÎÍP1ÞCMJDBGFEFSBM*OEJSFUB
0FNFOUÈSJPEB$"''USB[PVUSBTIJQØUFTFTBHPSBOBFTGFSBBENJOJTUSBUJWB
GFEFSBMBPFYFNQMPEPTQSPDFTTPT
WFSTBOEPTPCSFDPOUSPWÏSTJBTUSJCVUÈSJBTFTUBCFMFDJEBTFOUSFØSHÍPTFFOUJEBEFTEB
"ENJOJTUSBÎÍP'FEFSBMFODBNJOIBEPTQBSB"EWPHBEB(FSBMEB6OJÍPRVFEFUFSNJOB
BTPMVÎÍPBSCJUSBMQFSBOUFB$ÉNBSBEF$PODJMJBÎÍPF"SCJUSBHFNEB"ENJOJTUSBÎÍP
'FEFSBM$$"'
.BTEBNFTNBGPSNBRVFPDPSSFDPNBBSCJUSBHFNEFTFOWPMWJEBOPÉNCJUP
EBTBHÐODJBTSFHVMBEPSBTBBUVBÎÍPEB$$"'ÏEFOBUVSF[BNFSBNFOUFBENJOJTUSBUJWB
QBSBBRVBMB"(6ÏDPOTUJUVDJPOBMFMFHBMNFOUFWPDBDJPOBEB"DPODJMJBÎÍPFBBSCJ
USBHFNPQFSBEBTOB$$"'OÍPTFSFGFSFNQSPQSJBNFOUFËBSCJUSBHFNEB-FJ'FEFSBM
O¡DPORVBOUPQPTTBNTFBQPJBSOPTSFRVJTJUPTFDSJUÏSJPTEFMB
0NPEFMPGB[QBSUFEBBUVBMQPMÓUJDBQÞCMJDBGFEFSBMBEPUBEBFNGBDFEBDVMUVSB
EBMJUJHJPTJEBEFOPÉNCJUPEB"ENJOJTUSBÎÍP0PCKFUJWPQSJODJQBMÏBQSJNPSBSOBFTGFSB
GFEFSBMBFYFDVÎÍPEBTQPMÓUJDBTQÞCMJDBTFBJOUFSMPDVÎÍPDPNPTEFNBJTFOUFTGFEFSBEPT
FWJUBOEPBQSPMJGFSBÎÍPEFDPOnJUPTFOUSFØSHÍPTFFOUJEBEFTEBQSØQSJB"ENJOJTUSBÎÍP
NJOJNJ[BOEPTVBKVEJDJBMJ[BÎÍPFSFUJSBOEPEP+VEJDJÈSJPBTEFNBOEBTFNBOEBNFOUP
/PÉNCJUPFTUBEVBMDPOTJEFSBOEPTFBTBUSJCVJÎÜFTEFBTTFTTPSJBFDPOTVMUP
SJBJOFSFOUFTËT1SPDVSBEPSJBT(FSBJTFTTFNPEFMPQPEFSJBTFSSFQMJDBEP
8.3. A Arbitragem no Setor Público Português
+ÈOBFYQFSJÐODJBJOUFSOBDJPOBMFODPOUSBNPTBWBOÎPTTJHOJmDBUJWPTOBVUJMJ[B
ÎÍPEBBSCJUSBHFN²PDBTPEB"ENJOJTUSBÎÍP1ÞCMJDB1PSUVHVFTBRVFDPNBQVCMJDB
ÎÍPEP&TUBUVUPEPT5SJCVOBJT"ENJOJTUSBUJWPTF'JTDBJTNFEJBOUFP%FDSFUP-FJO¡
EFEFBCSJMEFFEFQPJTEP$ØEJHPEF1SPDFTTPOPT5SJCVOBJT"ENJOJTUSBUJWPT
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o-FJO¡EFEFGFWFSFJSPEFBMUFSBEPQFMB-FJO¡"EFEFGFWFSFJSPEF
DPOTBHSPVTFVNBBSCJUSBHFNEFOBUVSF[BQPUFTUBUJWBQBSBB"ENJOJTUSBÎÍP
%FBDPSEPDPNP"SUEFTTFSFGFSJEPcódexGBDVMUBTFVOJMBUFSBMNFOUFBP
BENJOJTUSBEPFYJHJSEB"ENJOJTUSBÎÍP1ÞCMJDBRVFDFMFCSFDPNQSPNJTTPBSCJUSBM"
BSCJUSBHFNOÍPSFTVMUBEBBVUPOPNJBEBWPOUBEFEBTQBSUFTNBTEFVNBGBDVMEBEF
MFHBMBTFSFYFSDJEBQFMPBENJOJTUSBEPFJNQPTUBBP&TUBEPBQMJDBOEPTFRVBOUPË
DPOTUJUVJÎÍPFGVODJPOBNFOUPEPUSJCVOBMBSCJUSBMPTQSFTTVQPTUPTEBBSCJUSBHFNWP
MVOUÈSJBFBENJUJOEPTFSFDVSTPTQBSBP5SJCVOBM$FOUSBM"ENJOJTUSBUJWPBSUEB
-FJEF"SCJUSBHFN7PMVOUÈSJB
/PDPOUFYUPKVSÓEJDPMFHBMMVTJUBOPTÍPBSCJUSÈWFJTPTMJUÓHJPTTPCSFRVFTUÜFT
SFMBUJWBTBDPOUSBUPTBENJOJTUSBUJWPTJODMVTJWFBRVFMFTEFDPSSFOUFTEPTBUPTBENJOJT
USBUJWPTEFFYFDVÎÍPSFTQPOTBCJMJEBEFDJWJMFYUSBDPOUSBUVBMFFGFUJWBÎÍPEPEJSFJUPEF
SFHSFTTPFBUPTBENJOJTUSBUJWPTQBTTÓWFJTEFSFWPHBÎÍPTPCPVUSPTGVOEBNFOUPTRVF
OÍPSFTWBMFNTPCSFBTVBWBMJEBEFFPDPOUSPMFJODJEFOUBMEFOPSNBTSFHVMBNFOUBSFT
QBSBWJBCJMJ[BSPDPOIFDJNFOUPEFPVUSBTNBUÏSJBTBENJOJTUSBUJWBT
&YDFQDJPOBNTFPNÏSJUPEPTBUPTBENJOJTUSBUJWPTPTBUPTBENJOJTUSBUJWPT
QSFQBSBUØSJPTEBDFMFCSBÎÍPEFDPOUSBUPTPDPOUFODJPTPHFSBMEPTBUPTBENJOJTUSBUJ
WPTFBTOPSNBTSFHVMBNFOUBSFTBWBMJBEBTDPNPRVFTUÜFTQSJODJQBJT
9. CONCLUSÃO
%F UPEP FYQPTUP PCTFSWBTF RVF P JOTUJUVP EB BSCJUSBHFN VUJMJ[BEB QFMP
&TUBEP OB GPSNVMBÎÍP PV OB FYFDVÎÍP EF QPMÓUJDBT QÞCMJDBT BJOEB OB SFTPMVÎÍP
EFDPOnJUPTFOUSFQPMÓUJDBTQÞCMJDBTQPMÓUJDBTHPWFSOBNFOUBJTTFUPSJBJTPVJOUFSTF
UPSJBJTNFEJBOUFPTTFVTØSHÍPTPVFOUJEBEFTBENJOJTUSBUJWBTEJSFUBTPVJOEJSFUBT
OÍPTFDPOGVOEFDPNBBSCJUSBHFNEJTDJQMJOBEBQFMB-FJ'FEFSBMO¡BJOEB
RVFTFVUJMJ[FNBMHVOTEFTFVTFMFNFOUPTQPJTTFUSBUBEFBUJWJEBEFFTUBUBMQSJNÈSJB
"SFTPMVÎÍPEFDPOnJUPTOBGPSNBEFTVBMFHJTMBÎÍPFTQFDÓmDBPVFTQBSTBBBS
CJUSBHFNQBSFDFOPTBVUPSJ[BEBBQFOBTOPTDBTPTFNRVFP&TUBEPmHVSFOBQPTJÎÍPEF
QBSUJDVMBSPVTFKBRVBOEPOÍPIPVWFSEJTDVTTÍPFOWPMWFOEPEJSFJUPTJOEJTQPOÓWFJT
/PFOUBOUPBBSCJUSBHFNEJTDJQMJOBEBQFMB-'DPNPBBUJWJEBEF
BSCJUSBMFYFSDJEBQFMP&TUBEPOPÉNCJUPEFTVBTJODJEÐODJBTBQSFTFOUBNTFFmDB[FT
F FmDJFOUFT BP BQSJNPSBNFOUP EBT QPMÓUJDBT QÞCMJDBT EP EFTFNQFOIP EBT GVOÎÜFT
FTUBUBJTSFEV[JOEPBEFNBOEBEP1PEFS+VEJDJÈSJPJOEV[JOEPËPUJNJ[BÎÍPEPFYFS
DÓDJPEBGVOÎÍPKVSJTEJDJPOBMOBFGFUJWBÎÍPEFEJSFJUPTFHBSBOUJBTJOEJWJEVBJTFTPDJBJT
GVOEBNFOUBJTDPOTUJUVDJPOBMNFOUFQPTJUJWBEPT
#"330$"4 .BOVFM 1FSFJSB .BOVBM EF BSCJUSBHFN *4#/ &E "MNFEJOB 4"
$PJNCSBQB
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BIBLIOGRAFIA
"-&.'BCJP1FESP$PM1SÈUJDBEP%JSFJUPW&E4BSBJWB
#"/%&*3"%&.&--0$FMTP"OUÙOJP$VSTPEF%JSFJUP"ENJOJTUSBUJWPFE&EJUPSB
.BMIFJSPT4ÍP1BVMP1
#"$$&--"3-VJ[3JDBSEP5SJOEBEF'VOÎÍPKVSJTEJDJPOBMEBTBHÐODJBTSFHVMBEPSBT3F
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ALGUMAS CONSIDERAÇÕES SOBRE O DIREITO AMBIENTAL
E O IMPACTO DAS EXPLORAÇÕES DE PETRÓLEO
Some considerations about environmental law and the impact of petroleum haldings
José Fernando Cedeño de Barros1
Lidiani Machado Soares dos Santos2
SUMÁRIO
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TVCTUÉODJBTQPMVJEPSBTDPOUSJCVJÎÍPEPQFUSØMFPQBSBPEFTFOWPMWJNFOUPFTVBQBS
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SUMMARY
*OUFSOBUJPOBM $POWFOUJPOT JNQBDUT PO UIF FOWJSPONFOU EVF UP IVNBO BDUJPO
QSFWFOUJWF MBX BOE HVBSEJBOTIJQT UP BDIJFWF UIF QSFWFOUJPO PG TFB BOE DPBTUBM
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1FUSØMFP
Keywords*OUFSOBUJPOBM$POWFOUJPOT&OWJSPONFOU1SFWFOUJPO1PMVJÎÍP0JM
1. INTRODUÇÃO
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136
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Algumas considerações sobre o direito ambiental e o impacto das explorações de petróleo
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OBDIBNBEBDBNBEBEFQSÏTBMO Pré-sal é uma camada de rocha formada por sal que
delimita um conjunto de reservatórios petrolíferos mais antigos que os depósitos encontrados
sobre a camada pós-sal neoapitiniano e que na costa brasileira se estende desde o Alto Vitória e Santos, nas Bacias de Campos, até o Alto de Florianópolis, respectivamente. Este sal foi
depositado durante a abertura do Oceano Atlântico, após a quebra do Gondwana (Jurássico
Superior-Cretáceo) durante a fase de mar raso e de clima semiárido/árido do Neoapitiniano
(1 a 7 Ma). A descoberta de indícios de petróleo no pré-sal foi anunciada pela Petrobras em
2006. Em 2008, a Petrobras extraiu pela primeira vez petróleo do pré-sal
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33
Art. 177. CF: Constituem monopólio da União: I – a pesquisa e a lavra das jazidas de petróleo e gás natural
e outros hidrocarbonetos fluidos; II – a refinação do petróleo nacional ou estrangeiro; III – a importação e
exportação dos produtos e derivados básicos resultantes das atividades previstas nos incisos anteriores; IV – o
transporte marítimo do petróleo bruto de origem nacional ou de derivados básicos de petróleo produzidos no
País, bem assim o transporte, por meio de conduto, de petróleo bruto, seus derivados e gás natural de qualquer
origem; V – a pesquisa, a lavra, o enriquecimento, o reprocessamento, a industrialização e o comércio de minérios e minerais nucleares e seus derivados, com exceção dos radioisótopos, cuja produção, comercialização e
utilização poderão ser autorizadas sob regime de permissão, conforme as alíneas b e c do inciso XXIII do caput
do Art. 21 desta Constituição Federal. § 1º A União poderá contratar com empresas estatais ou privadas a
realização das atividades previstas nos incisos I a IV deste artigo, observadas as condições estabelecidas em lei.
(...)
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5. CONCLUSÃO: ALGUMAS SUGESTÕES PARA O BRASIL E O MERCOSUL
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Partes en un contexto de libre comercio y consolidación de la Unión Aduanera,
considerando las directrices básicas de política ambiental aprobadas por
la Res. N. 10/94 y los principios del desarrollo sostenido emanados de la
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164
6. BIBLIOGRAFIA
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6NB"OÈMJTF"NCJFOUBM'"1&41"OOB#MVNF
"-7&4'FSOBOEP#BSBUBF(0.&4+PSHF4BMHBEP06OJWFSTPEB*OEÞTUSJBEF1FUSØMFPoEB
QFTRVJTBËSFmOBÎÍP&EJUPSB'VOEBÎÍP$BMPVTUF(VCFOLJBO
#"6%)6*/Princípios de economia contemporânea, volume I – A 1SPEVÎÍP%JGVTÍP&VSPQFJB
EP-JWSP%*'&-1PSUVHBM
#&&3("#&-+PTFUUFRecueil des Traités relatifs à La Mediterranée1ÏEPOF1BSJT
#0*440/%&$)";063/&4%&4("/²3JDIBSEF30."/0$FTBSFProtéction Intrernationale de lÉnvironnement, ²EJUJPOT1ÏEPOF1BSJT
$"/±"%053*/%"%&""%JSFJUPT)VNBOPTF.FJP"NCJFOUF1BSBMFMPEPT4JTUFNBTEF
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'-*&35-ZEJBWBOEFIndigneous Peoples and International Organisations/PUUJOHIBN4QPLFT
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(&453*.BSDPLa gestione delle risorse naturali dínteresse generale per la Comunità Internazionale((JBQQJDIFMMJFEJUPSFo5PSJOP
."35*/43*#&*30.BSJBEB$PODFJÎÍP"7JEB6SCBOB1BVMJTUBOB7JTUBQFMB"ENJOJTUSBÎÍP
.VOJDJQBM.JOIB&EJUPSB.BOPMF
4ÍP1BVMP
4"%&-&&3/JDPMBTEFLes principes du pollueur-payeur, de prévention et de précaution – Essai sur
la gênese et la portée juridique de quelques príncipes du droit de lénvironnement#SVZMBOU"6'
4&/"%0'&%&3"-1SPUPDPMPEF2VJPUPFMFHJTMBÎÍPDPSSFMBUBo$PMFÎÍP"NCJFOUBMoWPMVNF
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4*45&3(BCSJFM.FSDBEPEF$BSCPOPFP1SPUPDPMPEF2VJPUPo"TQFDUPTOFHPDJBJTFUSJCV
UBÎÍP&E&MTFWJFS
%J1MJOJP(JBNQJFSPF'JNJBOJ1BTRVBMFPrincipi di Diritto Ambientale(JVGGSÒ&EJUPSF.JMÍP
16$,&55+JN%ÏDIFUTTBOTGSPOUJÒSFTMFTFOKFVYEFMB$POWFOUJPOEF#ÉMFin Ecologie contre
nature – Développement et politiques díngérence16'1BSJT
1SPUPDPMPEF2VJPUPFMFHJTMBÎÍPDPSSFMBUBo$PMFÎÍP"NCJFOUBMoWPMVNF***#SBTÓMJB
4FOBEP'FEFSBM
8V$IBPLa Pollution du Fait du Transfert Maritime des Hydrocarbures – Responsabilité et Indemnisation des Dommages*/%&.&3.ÙOBDP
1&%0/&1BSJT
IUUQXXXQFUSPCSBTDPNCSQURVFNTPNPTQFSmMGPOUFPCUJEBFNËTI
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ZONEAMENTO ECOLÓGICO-ECONÔMICO COMO INSTRUMENTO
ESSENCIAL DA POLÍTICA NACIONAL DO MEIO AMBIENTE A SER
CONSIDERADO NO LICENCIAMENTO AMBIENTAL
Ecological-Economic Zoning as a essential tool to the National
Environmental Policy to be considered in environment license
Sílvia Helena Nogueira Nascimento1
Thaís Teizen2
SUMÁRIO
*OUSPEVÎÍP -JDFODJBNFOUP DPNP JOTUSVNFOUP EB 1PMÓUJDB /BDJPOBM EP .FJP
"NCJFOUF$PODFJUP$PNQFUÐODJB;POFBNFOUP&DPMØHJDP&DPOÙNJDPo
;&&DPNPJOTUSVNFOUPEB1PMÓUJDB/BDJPOBMEP.FJP"NCJFOUF$PODFJUP
$PNQFUÐODJB%FDSFUP'FEFSBMO¡-FJ'FEFSBMO¡o;&&EB
;POB$PTUFJSB%FDSFUP'FEFSBMO¡-FJ&TUBEVBMO¡
o1MBOP&TUBEVBMEF(FSFODJBNFOUP$PTUFJSPo1&($411PMÓUJDB"HSÓDPMBo-FJ
O¡FP;&&;POFBNFOUP"HSPBNCJFOUBMEPTFUPSTVDSPBMDPPMFJSPOP
&TUBEPEF4ÍP1BVMP-FJO¡o;&&FBBMUFSBÎÍPEPQFSDFOUVBMEF
3FTFSWB-FHBM;POFBNFOUP*OEVTUSJBM;POFBNFOUP"NCJFOUBMOP&TUBUVUPEB
$JEBEF$PODMVTÍP#JCMJPHSBmB
RESUMO
"1PMÓUJDB/BDJPOBMEP.FJP"NCJFOUFCSBTJMFJSPQSFWÐJNQPSUBOUFJOTUSVNFOUPQBSB
BQSJNPSBS BT QPMÓUJDBT QÞCMJDBT EFOPNJOBEP ;POFBNFOUP &DPMØHJDP&DPOÙNJDP
;&&
0 FTUVEP BCPSEB B MFHJTMBÎÍP WJHFOUF DPN ÐOGBTF OPT UFNBT [POB DPTUFJSB
QPMÓUJDBBHSÓDPMB[POFBNFOUPJOEVTUSJBMF&TUBUVUPEB$JEBEF"PmOBMEFNPOTUSBTF
TVBJNQPSUÉODJBQBSBSFBMJ[BSPDPSSFUPPSEFOBNFOUPEPUFSSJUØSJPCSBTJMFJSPBUSBWÏTEB
JOUFHSBÎÍPFmDJFOUFEBPSEFNFDPOÙNJDBTPDJBMFBNCJFOUBM
SUMMARY
5IF#SB[JMJBO/BUJPOBM&OWJSPONFOUBM1PMJDZQSFEJDUTBOJNQPSUBOUUPPMUPJNQSPWF
QVCMJDQPMJDJFTDBMMFE&DPMPHJDBM&DPOPNJD;POJOH;&&
5IJTTUVEZBEESFTTFTUIF
DVSSFOU MFHJTMBUJPO XJUI FNQIBTJT PO PGG TIPSF [POFT BHSJDVMUVSBM BOE JOEVTUSJBM
QPMJDZBOEUIF$JUZ4UBUVUF$PEF$PODMVEFUPEFNPOTUSBUFUIFJNQPSUBODFUPNBLF
UIF DPSSFDU [POJOH PG UIF #SB[JMJBO UFSSJUPSZ GPS BO FGmDJFOU FDPOPNJDBM TPDJBM BOE
FOWJSPONFOUBMJOUFHSBUJPO
Palavras-chaves.FJPBNCJFOUF–JOTUSVNFOUPT–[POFBNFOUP–JOUFHSBÎÍP–
FDPOPNJB
Keywords&OWJSPONFOUUPPMT[POJOHJOUFHSBUJPOFDPOPNZ
1SPDVSBEPSBEP&TUBEPEF4ÍP1BVMPDIFGFEBDPOTVMUPSJBKVSÓEJDBEB4FDSFUBSJBEP.FJP"NCJFOUFEP
&TUBEPEF4ÍP1BVMP.FTUSBOEBFN%JSFJUPT%JGVTPTF$PMFUJWPTQFMB16$41
1SPDVSBEPSBEP&TUBEPEF4ÍP1BVMPFNFYFSDÓDJPOBDPOTVMUPSJBKVSÓEJDBEB4FDSFUBSJBEP.FJP"N
CJFOUFEP&TUBEPEF4ÍP1BVMP&TQFDJBMJ[BÎÍPFN1SPDFTTP$JWJMQFMB&TDPMB4VQFSJPSEB1SPDVSBEPSJB
(FSBMEP&TUBEPFQFMB6OJWFSTJEBEF$BUØMJDBEF4BOUPT&TQFDJBMJ[BÎÍPFN%JSFJUPEP&TUBEPQFMB641
.FTUSBOEBFN%JSFJUPT%JGVTPTF$PMFUJWPTQFMB16$41
166
Sílvia Helena Nogueira Nascimento & Thaís Teizen
1. INTRODUÇÃO
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OÙNJDP;&&
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/BDJPOBMEP.FJP"NCJFOUF1/."
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QSFWJTUPTSFTQFDUJWBNFOUFOPTJODJTPT**F*7EP"SUEB-FJ'FEFSBMOEF
EFBHPTUPEF
&NCPSB OP ÉNCJUP GFEFSBM P MJDFODJBNFOUP BNCJFOUBM TØ UFOIB TF UPSOBEP
PCSJHBUØSJP B QBSUJS EFTTB SFGFSJEB MFJ OP &TUBEP EF 4ÍP 1BVMP B -FJ &TUBEVBM O
BPEJTDJQMJOBSPVTPEPTPMPQBSBBQSPUFÎÍPEPTNBOBODJBJTDVSTPTFSFTFS
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PQSPKFUPBQSPWBEPPVTFNMJDFODJBNFOUP
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KVSJTQSVEFODJBJTBMÏNEFDPOUFNQMBEPTQPSEJWFSTPTEJQMPNBTMFHBJT"JOUFSBÎÍP
FOUSF PT JOTUJUVUPT GPJ CFN PCTFSWBEB QPS "55"/"4*0 +6/*03 & "55"/"4*0
3%"
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DPOIFDJNFOUPHMPCBMEBÈSFBEFFTUVEPEFGPSNBTJTUFNÈUJDBQPTTJCJMJUB
UPNBEBTEFEFDJTÍPNBJTBEFRVBEBTOPRVFEJ[SFTQFJUPËWJBCJMJEBEF
BNCJFOUBMEPFNQSFFOEJNFOUPQSPNPWFOEPVNNBJPSEJOBNJTNPBP
FTUVEPEFJNQBDUPBNCJFOUBM4PV[B
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Zoneamento ecológico-econômico como instrumento essencial da política nacional
167
2. LICENCIAMENTO COMO INSTRUMENTO DA POLÍTICA NACIONAL DO MEIO AMBIENTE
2.1. Conceito
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168
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169
2.2. Competência
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JNQMFNFOUBÎÍPEF1PMÓUJDBT1ÞCMJDBTNBTOFDFTTBSJBNFOUFEFQFOEFEFDPOKVHBÎÍPDPN
PTEFNBJTJOTUSVNFOUPTQSFWJTUPTQFMP"SUQBSBRVFUFOIBNPTDJEBEFTTVTUFOUÈWFJT
“Por cidades sustentáveis pode-se entender aquelas em que o desenvolvimento urbano ocorre com ordenação, sem caos e destruição, sem degradação, possibilitando uma vida
urbana digna para todos.”25&TTFPCKFUJWPFTUÈMPOHFEFTFSBMDBOÎBEPFNDJEBEFTEPQPSUF
EBTRVFDPNQÜFNBTSFHJÜFTNFUSPQPMJUBOBTEF4ÍP1BVMPF3JPEF+BOFJSP
5PEBWJBOÍPÏEFNBJTSFTTBMUBSRVFIÈJOTUSVNFOUPTQBSBCVTDBSFTTFPCKF
UJWPTFOEPP[POFBNFOUPVNBNBOJGFTUBÎÍPDPODSFUBEPQMBOFKBNFOUPOÍPTFOEP
QPTTÓWFMUSBOTGPSNBSBSFBMJEBEFQPSNFJPEPPSEFOBNFOUPEPVTPEPTSFDVSTPTOBUV
SBJTTFNBOUFTQFOTBSRVFSFBMJEBEFTFQSFUFOEFTFKBSFTVMUBOUFEBTJOUFSWFOÎÜFTEP
IPNFNOPNFJPBNCJFOUF
10. CONCLUSÃO
0[POFBNFOUPBNCJFOUBMJOTUSVNFOUPEB1PMÓUJDB/BDJPOBMEP.FJP"NCJFO
UFDPOTJTUFFNQSPDFEJNFOUPEFEJWJTÍPEFEFUFSNJOBEPUFSSJUØSJPFNÈSFBTPOEFiTF
BVUPSJ[BN EFUFSNJOBEBT BUJWJEBEFT PV TF JOUFSEJUB EF NPEP BCTPMVUP PV SFMBUJWP P
FYFSDÓDJPEFPVUSBTwFNSB[ÍPEBTDBSBDUFSÓTUJDBTBNCJFOUBJTTPDJPFDPOÙNJDBTEPMPDBM
/FTTFEJBQBTÍPOÍPIÈDPNPEFJYBSEFSFDPOIFDFSRVFP;&&TFDBSBDUFSJ[B
DPNPVNBGFSSBNFOUBFTTFODJBMOBFMBCPSBÎÍPFJNQMFNFOUBÎÍPEF1PMÓUJDBT1ÞCMJDBT
OFDFTTBSJBNFOUFJNCSJDBEBTDPNEFNBJTJOTUSVNFOUPTEB1/."FOUSFPTRVBJTTF
EFTUBDBPMJDFODJBNFOUPEFGPSNBRVFQFSNJUBPDPSSFUPPSEFOBNFOUPUFSSJUPSJBMCSB
TJMFJSPDPNPCTFSWÉODJBEFBTQFDUPTEFPSEFNFDPOÙNJDBTPDJBMFBNCJFOUBM
EPEJSFJUPEFDPOTUSVJSFEFBMUFSBÎÍPEFVTPP
USBOTGFSÐODJBEPEJSFJUPEFDPOTUSVJSQ
PQFSBÎÜFTVSCBOBT
DPOTPSDJBEBTR
SFHVMBSJ[BÎÍPGVOEJÈSJBS
BTTJTUÐODJBUÏDOJDBFKVSÓEJDBHSBUVJUBQBSBBTDPNVOJEBEFTFHSVQPT
TPDJBJTNFOPTGBWPSFDJEPTT
SFGFSFOEPQPQVMBSFQMFCJTDJUPU
EFNBSDBÎÍPVSCBOÓTUJDBQBSBmOTEFSFHVMBSJ[B
ÎÍPGVOEJÈSJB*ODMVÓEPQFMB-FJOEF
FV
MFHJUJNBÎÍPEFQPTTF*ODMVÓEPQFMB-FJO
EF
7*oFTUVEPQSÏWJPEFJNQBDUPBNCJFOUBM&*"
FFTUVEPQSÏWJPEFJNQBDUPEFWJ[JOIBOÎB&*7
f
0TJOTUSVNFOUPTNFODJPOBEPTOFTUFBSUJHPSFHFNTFQFMBMFHJTMBÎÍPRVFMIFTÏQSØQSJBPCTFSWBEPPEJTQPTUP
OFTUB-FJf/PTDBTPTEFQSPHSBNBTFQSPKFUPTIBCJUBDJPOBJTEFJOUFSFTTFTPDJBMEFTFOWPMWJEPTQPSØSHÍPT
PVFOUJEBEFTEB"ENJOJTUSBÎÍP1ÞCMJDBDPNBUVBÎÍPFTQFDÓmDBOFTTBÈSFBBDPODFTTÍPEFEJSFJUPSFBMEFVTP
EFJNØWFJTQÞCMJDPTQPEFSÈTFSDPOUSBUBEBDPMFUJWBNFOUFf0TJOTUSVNFOUPTQSFWJTUPTOFTUFBSUJHPRVF
EFNBOEBNEJTQÐOEJPEFSFDVSTPTQPSQBSUFEPQPEFSQÞCMJDPNVOJDJQBMEFWFNTFSPCKFUPEFDPOUSPMFTPDJBM
HBSBOUJEBBQBSUJDJQBÎÍPEFDPNVOJEBEFTNPWJNFOUPTFFOUJEBEFTEBTPDJFEBEFDJWJM
.&%"6"30EFUF&TUBUVUPEB$JEBEF35Q
."$)"%01BVMP"GGPOTP-FNF%JSFJUPBNCJFOUBMCSBTJMFJSP4ÍP1BVMP.BMIFJSPTQ
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189
$PNPKÈPCTFSWBEPQPS)FSNBO#FOKBNJO
i0#SBTJMBmSNBTFUFNIPKFVNEPTNBJTBWBOÎBEPTTJTUFNBTEFQSPUFÎÍP
KVSÓEJDBEPNFJPBNCJFOUF1SJPSJUÈSJPQBSBPGVUVSPFQBSBPQSFTFOUF
KÈ
OÍPÏOPFTTFODJBMMFHJTMBS+ÈPm[FNPT0RVFTFFTQFSBBHPSBEPTØSHÍPT
BNCJFOUBJT F EPT DJEBEÍPT PSHBOJ[BEPT PV OÍP Ï P DVNQSJNFOUP EBT
FYJHÐODJBTMFHBJTRVFDPNGSFRVÐODJBOBEBNBJTTÍPEPRVFMFUSBNPSUBw
BIBLIOGRAFIA
"/56/&41BVMPEF#FTTB$PNFOUÈSJPBPBSUEP$ØEJHP'MPSFTUBMOBPCSB“Novo
código florestal: comentários à Lei nº 12.651, de 25 de maio de 2012 e à MedProv
571, de 25 de maio de 2012”DPPSEFOBÎÍP²EJT.JMBSÏ1BVMP"GGPOTP-FNF.BDIBEP
4ÍP1BVMP35
"55"/"4*0+ÞOJPS.BSJP3PCFSUPF"55"/"4*0(BCSJFMB.VMMFS$BSJPCB“O Dever
de Elaboração e Implementação do Zoneamento Ecológico-Econômico e a efetividade do Licenciamento Ambiental.”"SUJHPQVCMJDBEPOB3FWJTUBEF%JSFJUP"NCJFOUBMO
nT&E3FWJTUBEPT5SJCVOBJT+VM4FU
#&/+".*/ "OUÙOJP )FSNBO “Introdução ao Direito Ambiental Brasileiro”. "SUJHP
QVCMJDBEPOB3FWJTUBEF%JSFJUP"NCJFOUBMnT&E3FWJTUBEPT5SJCVOBJT+VM
4FU
%*1*&530.BSJB4ZMWJB;BOFMMBiDireito Administrativow4ÍP1BVMP"UMBT
'"3*"45BMEFO“A Repartição de Competências para o Licenciamento Ambiental e
a Autuação dos Municípios”. "SUJHPQVCMJDBEPOB3FWJTUBEF%JSFJUP"NCJFOUBMnT
&E3FWJTUBEPT5SJCVOBJT+VM4FU
'*(6&*3&%0(VJMIFSNF+PTÏ1VSWJO“Curso de Direito Ambiental”. 4ÍP1BVMP35
'*(6&*3&%0 -ÞDJB 7BMMF “Discriminação Constitucional das Competências Ambientais. Aspectos pontuais do regime jurídico das licenças ambientais.” "SUJHPQV
CMJDBEP OB 3FWJTUB EF %JSFJUP "NCJFOUBM nT &E 3FWJTUB EPT 5SJCVOBJT +VM
4FU
'*03*--0$FMTP"OUPOJP1BDIFDPi$VSTPEF%JSFJUP"NCJFOUBM#SBTJMFJSPw4ÍP1BVMP
4BSBJWB
(6&33"4ÏSHJP“A competência dos entes federados em matéria ambiental”. "SUJHP
QVCMJDBEP OB 3FWJTUB EF %JSFJUP "NCJFOUBM nT &E 3FWJTUB EPT 5SJCVOBJT
"CS+VO
#&/+".*/"OUÙOJP)FSNBOi*OUSPEVÎÍPBP%JSFJUP"NCJFOUBM#SBTJMFJSPw. "SUJHPQVCMJDBEPOB3F
WJTUBEF%JSFJUP"NCJFOUBMnT&E3FWJTUBEPT5SJCVOBJT+VMTFUQÈH
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190
(6*."3°&4+ÞOJPS+PÍP-PQFT“Direito urbanístico, direito de vizinhança e defesa
do Meio Ambiente”. "SUJHPQVCMJDBEPOB3FWJTUBEF%JSFJUP"NCJFOUBMnT
&E3FWJTUBEPT5SJCVOBJT+VMTFU
."$)"%01BVMP"GGPOTP-FNF“Direito ambiental brasileiro”4ÍP1BVMP.BMIFJSPT
.*-"3²²EJT“Direito do ambiente: a gestão ambiental em foco: doutrina, jurisprudência, glossário.”4ÍP1BVMP35
.03"&43BJNVOEPEF+FTVT$PFMIPEF“Judicialização do licenciamento ambiental
no Brasil: Excesso ou garantia de participação?” "SUJHPQVCMJDBEPOB3FWJTUBEF%JSFJUP
"NCJFOUBMnT&E3FWJTUBEPT5SJCVOBJT"CS+VO
1&3&*3"3FHJOBMEPF8*/$,-&34JMWB5FSF[JOIBiInstrumentos de tutela administrativa do Meio Ambiente.w"SUJHPQVCMJDBEPOB3FWJTUBEF%JSFJUP"NCJFOUBMnT
&E3FWJTUBEPT5SJCVOBJT+VM4FU
1'&*''&33PCFSUP"VHVTUP$BTUFMMBOPT“A publiciade e o Direito de Acesso a informação no licenciamento ambiental.” "SUJHPQVCMJDBEPOB3FWJTUBEF%JSFJUP"NCJFOUBM
nT&E3FWJTUBEPT5SJCVOBJT0VU%F[
13&45&47BOÐTDB#V[FMBUP“Resgatando a competência Constitucional concorrente na Constituição Federal: uma crítica à interpretação do STF no caso do amianto.” "SUJHPQVCMJDBEPOB
3FWJTUBEF%JSFJUP"NCJFOUBMnT&E3FWJTUBEPT5SJCVOBJT"CS+VO
13&45&47BOÐTDB#V[FMBUP“A necessidade de compatibiização das licenças ambiental e
urbanística no processo de municipalização do licenciamento ambiental.” "SUJHPQVCMJ
DBEPOB3FWJTUBEF%JSFJUP"NCJFOUBMnT&E3FWJTUBEPT5SJCVOBJT+VM4FU
3³(0 1BUSÓDJB EF "NPSJN F 1&3&*3" .ÈSDJB 3FHJOB EF 4PVTB “ A efetividade do
Direito Ambiental brasileiro: instrumentos legais de proteção do meio ambiente.w
"SUJHPQVCMJDBEPOB3FWJTUBEF%JSFJUP"NCJFOUBMnT&E3FWJTUBEPT5SJCV
OBJT+BO.BSÎP
4"/$)&;-VÓT&OSJRVF“Os papéis da avaliação de impacto ambiental”. "SUJHPQV
CMJDBEPOB3FWJTUBEF%JSFJUP"NCJFOUBMnT&E3FWJTUBEPT5SJCVOBJT
4*-7"'JMIP%FSMZ#BSSFUPF“A processualidade das licenças ambientais como garantia dos administrados”. "SUJHPQVCMJDBEPOB3FWJTUBEF%JSFJUP"NCJFOUBMnT
&E3FWJTUBEPT5SJCVOBJT+BO.BSÎP
4*-7"+PTÏ"GPOTPEBiDireito Ambiental Constitucional”4ÍP1BVMP.BMIFJSPT
SITES CONSULTADOS
IUUQNEGTFDSFMDPNCSENEPDVNFOUTTJEOFZQEG
4JEOFZ(VFSSB$PNQFUÐODJBBNCJFOUBMËMV[EB-FJ$PNQMFNFOUBSO
IUUQXXXDBSUBGPSFOTFDPNCSDPOUFVEPBSUJHPTDPPQFSBDBPGFEFSBUJWBBNCJFOUBMJOP
WBDPFTEBMFJDPNQMFNFOUBS 5IJBHP .BSSBSB $PPQFSBÎÍP GFEFSBUJWB
BNCJFOUBMJOPWBÎÜFTEB-FJ$PNQMFNFOUBS $BSUB'PSFOTF
IUUQXXXSFWJTUBEPVUSJOBUSGKVTCSBSUJHPTFEJDBPBOESF@HPEPZIUNM
PVUo"OESÏ(PEPZZoneamento FDPMØHJDPFDPOÙNJDPFlicenciamento
ambientalVNBBMJBOÎBOFDFTTÈSJB
XXXJCBQPSHDCBQUFTFTNBSDFMPDBNBSHPT@UFTFEPD
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MORATÓRIA JUDICIAL: INTERPRETAÇÃO DA INOVAÇÃO DO
ARTIGO 745-A DO CÓDIGO DE PROCESSO CIVIL
Judicial “Moratorium”: Interpretation of the new
article 745-A of the Code of Civil Procedure
Cristiane Aquino Gonzaga1
SUMÁRIO
*OUSPEVÎÍP.PSBUØSJBEPBSU"EP$1$$SJBÎÍPEP*OTUJUVUP/B
UVSF[BKVSÓEJDB%JSFJUPNBUFSJBM%JSFJUPQSPDFTTVBM4JTUFNÈUJDBEPBSU
"EP$1$1SB[PQBSBPSFRVFSJNFOUPEPFYFDVUBEP0SFDPOIFDJNFOUPEP
DSÏEJUPEFWJEPFPEFQØTJUPQSÏWJPEF)POPSÈSJPTF$VTUBT1BSDFMBNFOUP
*OBEJNQMFNFOUP1POUPTDPOUSPWFSUJEPTEBNPSBUØSJBEPBSU"EP$1$
%JSFJUP4VCKFUJWPEPBVUPS 1SJODÓQJPEB.FOPS0OFSPTJEBEF91SJODÓQJP$POTUJUV
DJPOBMEP$POUSBEJUØSJP1PTJÎÍPEPDSFEPSEJBOUFEB.PSBUØSJBJOTUJUVÓEBQFMB-FJO
'BDVMEBEFEP.BHJTUSBEP "QMJDBÎÍPEPJOTUJUVUPOBGBTFEFDVNQSJ
NFOUPEFTFOUFOÎB%FGFTBEPFYFDVUBEPEJBOUFEB.PSBUØSJBEPBSU"EP$1$
3FDPOIFDJNFOUPKVSÓEJDPEPQFEJEP*OEFGFSJNFOUPFPNBOFKPEPTFNCBSHPTË
FYFDVÎÍP.PSBUØSJBOPOPWPQSPKFUPEP$1$4VHFTUÍPEFlege ferenda$POTJEF
SBÎÜFTmOBJT3FGFSÐODJBT#JCMJPHSÈmDBT
RESUMO
0QSFTFOUFFTUVEPUFNBmOBMJEBEFEFUSBÎBSDPOUPSOPTTPCSFBQMJDBCJMJEBEFEPOPWFM
JOTUJUVUPEB.PSBUØSJBQSFWJTUPOP"SU"IJQØUFTFEFQBSDFMBNFOUPEPWBMPSBTFS
FYFDVUBEPJOUSPEV[JEPOP$ØEJHPEF1SPDFTTP$JWJMQFMB-FJOJOTQJSBEB
OB&NFOEB$POTUJUVDJPOBMODPNWJTUBBEBSNBJTDFMFSJEBEFËQSFTUBÎÍPEB
UVUFMBKVSJTEJDJPOBMFYFDVUJWB
ABSTRACT
5IFQVSQPTFPGUIJTQSFTFOUTUVEZJTUPUBDLMFJNQPSUBOUBTQFDUTBCPVUBQQMJDBCJMJUZ
PGUIFOFXJOTUJUVUFPGUIFi.PSBUPSJVNwBTTUBUFEJOUIFBSUJDMF"UZQFPGBO
JOTUBMMNFOUPGUIFBNPVOUVOEFSFYFDVUJPOUIBUXBTJOUSPEVDFEJOUIF$PEFPG$JWJM
1SPDFEVSFVOEFSUIF-BXOJOTQJSFEJOUIF$POTUJUVUJPOBM"NFOENFOU
OUPHJWJOHDFMFSJUZUPFYFDVUJPOKVSJTEJDUJPOBMQSPUFDUJPO
Palavras-chaves &YFDVÎÍP FYUSBKVEJDJBM o .PSBUØSJB o 1BSDFMBNFOUP EP EÏCJUP o
"QMJDBCJMJEBEF
Keywords&YUSBKVEJDJBM&YFDVUJPOo.PSBUPSJVNo%FCU*OTUBMMNFOUo"QQMJDBCJMJUZ
1. INTRODUÇÃO
$PNPBEWFOUPEB&NFOEB$POTUJUVDJPOBMORVFJOTUJUVJVBQSF
NJTTBEBduração razoável do processoEFTFODBEFPVTFVNBTÏSJFEFSFGPSNBTOP$Ø
EJHP EF 1SPDFTTP $JWJM WJTBOEP B EBS NBJT BHJMJEBEF F FGFUJWJEBEF OB QSFTUBÎÍP EB
&TQFDJBMJTUBFN%JSFJUP1SPDFTTVBM$JWJMQFMB&TDPMB4VQFSJPSEB1SPDVSBEPSJB(FSBMEP&TUBEPEF4ÍP
1BVMP&TQFDJBMJTUBFN%JSFJUP1ÞCMJDPQFMB"/"."(&4.(o"TTPDJBÎÍPEPT.BHJTUSBEPT&TUBEVBJT
EP&TUBEPEF.JOBT(FSBJT5ÏDOJDP+VEJDJÈSJPOP5SJCVOBM3FHJPOBMEP5SBCBMIPo3FHJÍP
192
Cristiane Aquino Gonzaga
UVUFMBKVSJTEJDJPOBM/PUBEBNFOUFOPQSPDFTTPEFFYFDVÎÍPIPVWFBFEJÎÍPEB-FJO
RVFUSBOTGPSNPVPQSPDFTTPEFFYFDVÎÍPEFUÓUVMPKVEJDJBMFNGBTFEF
DVNQSJNFOUPEFTFOUFOÎBCFNDPNPPBEWFOUPEB-FJORVFEFOUSF
PVUSPTJOTUSVNFOUPTJOUSPEV[JVP"SU"OP$ØEJHPEF1SPDFTTP$JWJMDSJBOEPP
JOTUJUVUPEFOPNJOBEPOBEPVUSJOBEFNPSBUØSJBKVEJDJBM
&TTB mHVSB KVSÓEJDB RVF Ï B BCPSEBHFN EP QSFTFOUF USBCBMIP QSFWÐ VNB
FTQÏDJFEFQBSDFMBNFOUPFNRVFPFYFDVUBEPVNBWF[QSFFODIJEPTPTQSFTTVQPTUPT
FYJHJEPTOPEJTQPTJUJWPMFHBMSFDPOIFDFPDSÏEJUPEFWJEPQVHOBOEPQFMPQBHBNFOUP
QBSDFMBEPFNBUÏTFJTWF[FTBQØTEFQPTJUBSPNPOUBOUFEFUSJOUBQPSDFOUP
EP
WBMPSFYFRVFOEPBMÏNEFDVTUBTJOJDJBJTFIPOPSÈSJPTBEWPDBUÓDJPT
/PFOUBOUPQPSIBWFSPSFDPOIFDJNFOUPEPEÏCJUPDPNWFEBÎÍPFYQSFTTB
EFBQSFTFOUBÎÍPEFEFGFTBQPSQBSUFEPFYFDVUBEPTVBJODJEÐODJBÏCBTUBOUFDPOUSP
WFSTBOBEPVUSJOB%FGBUPQPSTFUSBUBSEFJOTUJUVUPOPWPPRVBMJOEVCJUBWFMNFOUF
USPVYFVNBSPVQBHFNQFDVMJBSËTFYFDVÎÜFTEFUÓUVMPFYUSBKVEJDJBJTJNQSFTDJOEÓWFM
VNFTUVEPNBJTBQSPGVOEBEPTPCSFPUFNBEFMJOFBOEPTFVTDPOUPSOPTFBTTJNDPO
USJCVJSQBSBBTVBDPSSFUBBQMJDBCJMJEBEF
2. MORATÓRIA DO ARTIGO 745-A DO CÓDIGO DE PROCESSO CIVIL
2.1. Criação do Instituto
²DFEJÎPRVFPTJTUFNBQSPDFTTVBMDJWJMCSBTJMFJSPWFNQBTTBOEPQPSNVEBO
ÎBTTJHOJmDBUJWBTDPNPQSPQØTJUPEFWJBCJMJ[BSVNJOTUSVNFOUPDBQB[EFHBSBOUJS
ËTQBSUFTBPCUFOÎÍPPVQSPUFÎÍPFGFUJWBEFTFVTEJSFJUPTDFSUPRVFPT1SJODÓQJPTEB
*OTUSVNFOUBMJEBEF&GFUJWJEBEFF$FMFSJEBEFQSPDFTTVBMPTRVBJTTFNQSFOPSUFBSBN
PMFHJTMBEPSBUVBMNFOUFHBOIBSBNVNSFMFWPNBJPSEFNPEPRVFDPNCBUBBNP
SPTJEBEFQSPDFTTVBMFOPQSPDFTTPFYFDVUJWPCVTRVFNBJTSBQJEBNFOUFBTBUJTGBÎÍP
EPDSÏEJUPFYFRVFOEP
/FTTBQSFNJTTBBTBMUFSBÎÜFTUSB[JEBTQFMB-FJOBPQSPDFTTPEF
FYFDVÎÍPFNWJHPSEFTEFEFKBOFJSPEFQSFUFOEFSBNEBSNBJTBHJMJEBEFBP
GFJUPFYFDVUJWPBPJOUSPEV[JSNFDBOJTNPTBMUFSOBUJWPTQBSBDPODSFUJ[BÎÍPEPEJSFJUP
NBUFSJBMKÈBTTFHVSBEPFOUSFFMFTBDSJBÎÍPEBNPSBUØSJBQSFWJTUBOPBSU"EP
$1$DPNBTFHVJOUFSFEBÎÍP
"SU " /P QSB[P QBSB FNCBSHPT SFDPOIFDFOEP P DSÏEJUP EP
FYFRVFOUF F DPNQSPWBOEP P EFQØTJUP EF USJOUB QPS DFOUP
EP
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QBSDFMBTNFOTBJTBDSFTDJEBTEFDPSSFÎÍPNPOFUÈSJBFKVSPTEFVN
QPSDFOUP
BPNÐT
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Moratória Judicial: interpretação da inovação do artigo 745-A do Código de Processo Civil
193
fù4FOEPBQSPQPTUBEFGFSJEBQFMPKVJ[PFYFRVFOUFMFWBOUBSÈBRVBOUJB
EFQPTJUBEBFTFSÍPTVTQFOTPTPTBUPTFYFDVUJWPTDBTPJOEFGFSJEBTFHVJS
TFÍPPTBUPTFYFDVUJWPTNBOUJEPPEFQØTJUPù
fù0OÍPQBHBNFOUPEFRVBMRVFSEBTQSFTUBÎÜFTJNQMJDBSÈEFQMFOP
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EFEF[QPSDFOUP
TPCSFPWBMPSEBTQSFTUBÎÜFTOÍPQBHBTFWFEBEB
BPQPTJÎÍPEFFNCBSHPT
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FYFDVUJWBPCKFUJWBJODFOUJWBSPEFWFEPSBPDVNQSJNFOUPEFTVBPCSJHBÎÍPDPOGF
SJOEPNBJTFGFUJWJEBEFOBCVTDBQFMBTBUJTGBÎÍPEPDSÏEJUPRVFFTUÈTFOEPFYFDVUBEP
"SBLFO EF "TTJT BTTFWFSB RVF io Art. 745-A representa poderoso estímulo ao
cumprimento voluntário e meio hábil para encerrar execução que, inexistisse o parcelamento, recortaria o patrimônio do executadow
$PNDFSUF[BBIJQØUFTFMFHBMÏCBTUBOUFJOUFSFTTBOUFFJTRVFDPOTUJUVJBMUFSOBUJWB
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NPUFNQPBNFOJ[BSBTJUVBÎÍPEPEFWFEPSEBOEPMIFPQPSUVOJEBEFEFTBMEBSTVBEÓWJEB
EFGPSNBQBSDFMBEBTFNRVFIBKBEJMBQJEBÎÍPEFTFVQBUSJNÙOJPQFMPTBUPTEBQFOIPSB
)VNCFSUP5IFPEPSP+ÞOJPSTBMJFOUBRVF
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DPN WBOUBHFOT UBOUP QBSB P FYFDVUBEP DPNP QBSB P FYFRVFOUF 0
EFWFEPSTFCFOFmDJBDPNPQSB[PEFFTQFSBFDPNPBGBTUBNFOUPEPT
SJTDPT F DVTUPT EB FYQSPQSJBÎÍP FYFDVUJWB F P DSFEPS QPS TVB WF[
SFDFCFVNBQBSDFMBEPDSÏEJUPEFTEFMPHPFmDBMJWSFEPTQFSDBMÎPTEPT
FNCBSHPTEPFYFDVUBEP3
/FTTB FTUFJSB Ï GÈDJM QFSDFCFS RVF B JOUSPEVÎÍP EB NPSBUØSJB MFHBM SFQSF
TFOUPVVNBWBOÎPBPQSPDFTTPKVEJDJBMCSBTJMFJSPBQSFTFOUBOEPTFDPNPJNQPSUBOUF
JOTUSVNFOUPËTBUJTGBÎÍPEPEJSFJUPNBUFSJBMAté porque, conquanto deva ser efetivo, o
processo não pode ser uma “arma de destruição”BPSFWÏTEFWFTFSNFDBOJTNPEFBMDBO
DFBPSFTVMUBEPTPDJBMDFSUPRVFBPFODPSBKBSPEFWFEPSSFDBMDJUSBOUFBBEJNQMJSTVB
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3
"44*4"SBLFOManual da ExecuçãoFESFWBUVBMFBNQM4ÍP1BVMP&EJUPSB3FWJTUBEPT5SJCV
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5)&0%030+Á/*03)VNCFSUPCurso de direito processual civil: processo de execução e cumprimento da
sentença, processo cautelar e tutela de urgência7PMFE3JPEF+BOFJSP'PSFOTFQ
4*-7"3JOBMEP.PV[BMBTEF4PV[BFùA moratória do art. 745-A do CPC. Sua aplicação às demandas cognitivas condenatórias.ù+VT/BWJHBOEJ5FSFTJOBBOPOKBO
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2.2. Natureza jurídica
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2.2.1. Direito material
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DJBMDPOmHVSBOEPOBTMJÎÜFTEF-VJ[(VJMIFSNFEB$PTUB8BHOFS+Siuma modalidade de extinção de obrigaçãowWJTUPRVFicaso seja deferido o pagamento parcelado do
débito, ao final, cumprido na sua integralidade, estará o devedor liberado de sua obrigação,
que será considerada extintaw
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.";;&*3PESJHP0QÎÍPEPFYFDVUBEPFNQBHBSQBSDFMBEBNFOUFBEÓWJEBFYFDVUBEB*OReforma do
CPC 2: nova sistemática processual civil/&7&4%BOJFM"NPSJN"TTVNQÎÍP<FUBM>4ÍP1BVMP&EJUPSB
8"(/&3+6/*03-VJ[(VJMIFSNFEB$PTUB$JODPRVFTUÜFTDPOUSPWFSUJEBTEBOPWBTJTUFNÈUJDBEB
FYFDVÎÍPDJWJM*OAspectos Polêmicos da nova execução$PPSE$BTTJP4DBSQJOFMMB#VFOPF5FSFTB"SSV
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FYDFMÐODJBoPDPSSFOEPDPOGPSNFFOTJOBNFOUPTEF0SMBOEP(PNFTiquando o devedor cumpre a obrigação, prestando a coisa, ou o fato, o crédito é diretamente satisfeitow
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TFHVOEP«MWBSP7JMBÎB"[FWFEPié um meio de execução obrigacional que importa a extinção da obrigação primitiva pelo nascimento de uma novaw
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TÍPPTNFTNPTNVEBOEPTFBQFOBTBGPSNBEFQBHBNFOUP
"TTJNTFOEPDPNQBSUJMIPBUFTFEFRVFPJOTUJUVUPDPOmHVSBIJQØUFTFEFUSBOTB
ÎÍPRVF$BJP.ÈSJPEB4JMWB1FSFJSBDPODFJUVBDPNPTFOEPium determinado negócio jurídico, que se realiza por via de um acordo de vontades, e tem por objeto extinguir a obrigaçãow
&TUBBNFVWFSÏBNPEBMJEBEFEFFYUJOÎÍPEBPCSJHBÎÍPRVFNBJTTFFO
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2.2.2. Direito processual
/PQMBOPEP%JSFJUP1SPDFTTVBMBDMBTTJmDBÎÍPEBOBUVSF[BKVSÓEJDBEPJOTUJ
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#SJUP3JPEF+BOFJSP'PSFOTFQ
";&7&%0«MWBSP7JMMBÎBTeoria Geral das ObrigaçõesFESFWFBUVBM4ÍP1BVMP&EJUPSB3FWJTUBEPT
5SJCVOBJTQ
1&3&*3"$BJP.ÈSJPEB4JMWBInstituições de Direito Civil: teoria geral das obrigações.W3JPEF+BOFJSP
&EJUPSB'PSFOTFQ
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JOTUJUVUP B NFV TFOUJS EF NPSBUØSJB MFHBM VNB WF[ RVF B NPSBUØSJB
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FTQÏDJFEF*OKVOÎÍPBTTFSUJWBDPNCBUJEBDPNWFFNÐODJBQPS#SVOP¶UBMP4PV[B1JOUP
BPFYQMJDBSRVFio escopo da injunção é possibilitar a célere formação de título executivo,
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$*"/$*.JSOB<FUBM>Comentários à execução Civil – Título judicial e Extrajudicial4ÍP1BVMP4BSBJWB
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1*/50#SVOP¶UBMP4PVTBArtigo 745-A do CPC: a natureza jurídica do parcelamento da dívida e outras
polêmicas.
30%3*(6&4.BSDFMP"CFMIBManual de Direito Processual CivilFE4ÍP1BVMP&EJUPSB35Q
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3. SISTEMÁTICA DO ART. 745-A DO CÓDIGO DE PROCESSO CIVIL
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3.1. Prazo para o requerimento do executado
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a outra faculdade processualw&NPVUSBTQBMBWSBTise se opõem os embargos não cabe mais o
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3.2. O reconhecimento do crédito devido e o depósito prévio de 30%
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."3*/0/*-VJ[(VJMIFSNF.*5*%*&*30%BOJFMCódigo de Processo Civil comentado artigo por artigo.
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DFTTVBMJTUBEFGFOEFiser possível a complementação, devendo o julgador fixar prazo para
o executado suplementar o depósito inicialw
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.&3±0/7"3("4 4BSBI A faculdade de parcelamento do valor da execução (art. 745-A): requisitos,
procedimento e aplicabilidade...
.";;&*3PESJHPOpção do executado em pagar parceladamente a dívida executada...Q
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3.4. Parcelamento
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da sentença, processo cautelar e tutela de urgênciaQ
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3.5. Inadimplemento
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4. PONTOS CONTROVERTIDOS DA MORATÓRIA DO ART. 745-A DO CPC
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4.1. Direito Subjetivo do autor?
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EFWFEPSia quem cabe decidir sobre a conveniência de exercitá-la ou não, pois tal decisão
põe em cheque a possibilidade de oferecer embargosw.
"SFTQFJUP3PESJHP.B[[FJBEWPHBRVFio art. 745-A do CPC criou para o executado uma opção que pode ou não ser exercida (direito potestativo), por meio de ato volitivow
*OEP NBJT BMÏN "MVJTJP *VOFT .POUJ 3VHHFSJ 3Ï BDSFEJUB RVF io legislador
criou verdadeiro direito subjetivo do devedor ao pagamento parcelado, cujo exercício independe da anuência do credor.w1BSBPEFGFOTPSQÞCMJDPPBSU"EP$1$JOTUJUVJV
ialém de uma faculdade processual, um verdadeiro direito subjetivo e material ao devedor
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3²"MVÓTJP*VOFT.POUJ3VHHFSJO Acesso à justiça do devedor de boa-fé: a atuação da Defensoria Pública
na efetivação do direito ao pagamento parcelado.
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inadimplente de saldar seu débito de forma parceladawJTTPiem contemplação aos novos
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norma comentadaw
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opor-se ao parcelamento caso o executado preencha os pressupostos legais para seu deferimentow
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iao juiz, por sua vez, somente lhe cabe averiguar se presentes estão os requisitos ao exercício
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3²"MVÓTJP*VOFT.POUJ3VHHFSJO Acesso à justiça do devedor de boa-fé: a atuação da Defensoria Pública
na efetivação do direito ao pagamento parcelado...
da sentença, processo cautelar e tutela de urgência..7PMQ
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3. Não obstante, o parcelamento da dívida não é direito potestativo
do devedor, cabendo ao credor impugná-lo, desde que apresente
motivo justo e de forma fundamentada, sendo certo que o juiz
poderá deferir o parcelamento se verificar atitude abusiva do
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optar pela formulação do pedido do Art. 745-Aw
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da sentença, processo cautelar e tutela de urgência..7PMQ
#6&/0$BTTJP4DBSQJOFMMB<FUBM>É possível que o “favor legal” previsto no art. 745-A (parcelamento do
valor executado) seja invocado na etapa de cumprimento de sentença?
#6&/0$BTTJP4DBSQJOFMMB<FUBM>É possível que o “favor legal” previsto no art. 745-A (parcelamento do
valor executado) seja invocado na etapa de cumprimento de sentença?...
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conclusão posse ser alcançada sem que se tenha que levar a cabo qualquer ato constritivo
ou expropriatório78w
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ù
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."35*/43FOBUP$BTUSP5FJYFJSBO parcelamento do Art. 745-A, do CPC, no cumprimento de sentença...
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iA moratória legal ou parcelamento do débito em até seis vezes, com depósito de trinta por cento, instituído pela
Lei nº 11.383/2006, em vigor desde 7 de janeiro de 2007 e que acresceu o Art. 745-A e parágrafos ao Código
de Processo Civil, diz respeito apenas à execução do título extrajudicial, não ao cumprimento de sentença.w
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iEXECUÇÃO POR TÍTULO JUDICIAL. Pretensão da agravante de beneficiar-se com o parcelamento do
débito previsto no Art. 745-A, do CPC. Admissibilidade. Hipótese em que o bem penhorado e posto a leilão
supera em 35 vezes o valor da dívida. Proposta de parcelamento como medida razoável e adequada - Recurso
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5. DEFESA DO EXECUTADO DIANTE DA MORATÓRIA DO ART. 745-A DO CÓDIGO DE
PROCESSO CIVIL
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5.1. Reconhecimento jurídico do pedido
O caputEP"SU"EP$1$FTUBCFMFDFBQPTTJCJMJEBEFEFPEFWFEPSOP
QSB[PQBSBFNCBSHPTQBSDFMBSPEÏCJUPEFTEFRVFSFDPOIFÎBPDSÏEJUPEPFYFRVFOUF
FRVFOPTFOTJOBNFOUPTEF"OUÙOJP$BSMPT.BSDBUUPiequivale a um reconhecimento
jurídico do pedido e impede a futura apresentação de defesa por parte do executado, a não
ser que haja alguma circunstância superveniente a tal reconhecimentow
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OÍPTJHOJmDBRVFio réu tenha aceitado a versão dos fatos tais como narrados pelo autor,
mas a aceitação das consequências jurídicas que pretende, a parte contrária, extrair desses
mesmos fatosw
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fEP"SU"FUFNSFMBÎÍPDPNPQSJODÓQJPivinere contra factum
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PSEFN QÞCMJDB UBM DPNP EFGFOEF 4BSBI .FSÎPO7BSHBT RVF BmSNB TFS itotalmente
razoável que venha se insurgir, por exemplo, contra penhora que tenha recaído sobre bem
impenhorável ou que, de qualquer maneira, exceda às balizas do princípio do menor sacrifício possívelw
.BTIBWFOEPPJOEFGFSJNFOUPEPCFOFGÓDJPQSFWJTUPOP"SU"EP$1$
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RVFOBTMJÎÜFTEPTEPVUSJOBEPSFTFRVJWBMFSJBBVNSFDPOIFDJNFOUPKVSÓEJDPEPQF
EJEPDPNBQSPJCJÎÍPEFPQPTJÎÍPEPTFNCBSHPT ."3$"50"OUÙOJP$BSMPTCódigo de Processo Civil InterpretadoQ
"-7*.&EVBSEP"SSVEBDireito Processual CivilFESFGPSNBUVBMFBNQM4ÍP1BVMP&EJUPSB3F
WJTUBEPT5SJCVOBJTQ
#"3304+BOFUF3JDLFO-PQFTEFDa possibilidade de aplicação do Art. 745-A do CPC na Ação Monitória.
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5.2. Indeferimento e o manejo dos embargos à execução
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SFnFUJSJBVNBPQÎÍPMJWSFEPFYFDVUBEPFYFSDJEBOPÉNCJUPEFTVBEJTQPOJCJMJEBEF.
execução...
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iforça para interromper o prazo para a propositura de embargos, sendo restituído em sua
integralidade ao interessado caso reste indeferido o benefíciow
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6. MORATÓRIA NO NOVO PROJETO DO CÓDIGO DE PROCESSO CIVIL
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f 0 OÍP QBHBNFOUP EF RVBMRVFS EBT prestações acarretará
cumulativamente
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§ 3º A opção pelo parcelamento de que trata este artigo importa
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6.1. SUGESTÃO DE LEGE FERENDA
0DJUBEPBVUPSivisando compatibilizar os eventuais benefícios que a concessão do
parcelamento poderá trazer a um processo executivo com o sagrado direito do credor de não
se obrigado a receber em partes aquilo que ajustou por inteirowTVHFSFEFlege ferenda
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7. CONSIDERAÇÕES FINAIS
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OPUFYUPEBMFJGPSNVMBSQSPQPTUBEPQBSDFMBNFOUPOPQSB[PEFRVJO[FEJBTSFDP
OIFDFOEPPDSÏEJUPEPFYFRVFOUFFQSPDFEFSBPEFQØTJUPEPNPOUBOUFJOJDJBMEF
EPUPUBMEBEÓWJEBBMÏNEBTDVTUBTFIPOPSÈSJPTBEWPDBUÓDJPTTFOEPRVFFWFOUVBM
JOBEJNQMFNFOUPFOTFKBPWFODJNFOUPBOUFDJQBEPEBTEFNBJTQBSDFMBTBMÏNEFNVMUB
QFMPEFTDVNQSJNFOUP
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FYFDVUBEP QPTUP TFS JNQSFTDJOEÓWFM BOVÐODJB EP DSFEPS OÍP QPEFOEP P NBHJT
USBEP DPOUVEP JOEFGFSJS B QSFUFOTÍP VNB WF[ TBUJTGFJUPT UPEPT PT QSFTTVQPTUPT
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DPOTUJUVDJPOBMEBBNQMBEFGFTBIJQØUFTFFNRVFTFSÈSFTUJUVÓEPPQSB[PQBSBJOUFS
QPTJÎÍPEFEFGFTB
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&EJUPSB3FWJTUBEPT5SJCVOBJTFE
"3"Á+0"MFYBOESF$PTUB%F"OBUVSF[BKVSÓEJDBEPQBSDFMBNFOUPEPEÏCJUPQSFWJTUP
QFMPBSUJHP"EP$1$*OÂmbito Jurídico3JP(SBOEF<*OUFSOFU>
%JTQPOÓWFM FN IUUQXXXBNCJUPKVSJEJDPDPNCSTJUFJOEFYQIQ O@MJOLSFWJTUB@BSUJ
HPT@MFJUVSBBSUJHP@JE"DFTTPFN
"3.&-*/%POBMEP#0/*$*0.BSDFMP+PTÏ.BHBMIÍFT$*"/$*.JSOB26"35*&3*
3JUB$PNFOUÈSJPTË&YFDVÎÍP$JWJMUÓUVMPKVEJDJBMFFYUSBKVEJDJBMBSUJHPQPSBSUJHP
4ÍP
1BVMP4BSBJWB
"44*4"SBLFOManual da ExecuçãoFESFWBUVBMFBNQM4ÍP1BVMP&EJUPSB3FWJTUB
EPT5SJCVOBJTFE
";&7&%0«MWBSP7JMMBÎBTeoria Geral das ObrigaçõesFESFWFBUVBM4ÍP1BVMP&EJ
UPSB3FWJTUBEPT5SJCVOBJT
#"3304+BOFUF3JDLFO-PQFTEFDa possibilidade de aplicação do art. 745-A do CPC na
Ação Monitória. $MVCKVT #SBTJMJB%' GFW %JTQPOÓWFM FN IUUQXXXDMVCKVT
DPNCS DPOUFOU"DFTTPFNOPW
%*%*&3 +3 'SFEJF #6&/0 $BTTJP 4DBSQJOFMMB $045" &EVBSEP +PTÏ GB 'POTFDB
"#&-)".BSDFMPÉ possível que o “favor legal” previsto no art. 745-A (parcelamento do
valor executado) seja invocado na etapa de cumprimento de sentença?#JCMJPUFDB%JHJUBM3F
WJTUB#SBTJMFJSBEF%JSFJUP1SPDFTTVBMo3#%1SP#FMP)PSJ[POUFBOPOKBONBS
%JSFUPBPQPOUP%JTQPOÓWFMFNIUUQXXXFEJUPSBGPSVNDPNCSCJECJE$PO
UFVEP4IPXBTQY JE$POUFVEP"DFTTPFN
'"-$°0"NÓMDBSùEF"SBÞKPA natureza jurídica do parcelamento do débito%JTQPOÓWFMFN
IUUQBCEQDPSHCSBCEQD"SUJHPTBTQ PSEFNBSUJHP"DFTTPFN
(0.&40SMBOEPObrigações3FWBUVBMFBVNEFBDPSEPDPNP$ØEJHP$JWJMEF
QPS&EWBMEP#SJUP3JPEF+BOFJSP'PSFOTF
(06-"35 )BSPMEP 4BODIPUFOF Aplicação Subsidiária do art. 745-A no cumprimento de
sentença.%JTQPOÓWFMFNIUUQXXXBCEQDPSHCSBCEQD"SUJHPTBTQ PSEFNBSUJHP
(3&$0 '*-)0 7JDFOUF Direito Processual Civil Brasileiro FE 4ÍP 1BVMP 4BSBJWB
-01&4+PÍP#BUJTUBTutela Antecipada no processo civil brasileiroFESFWBUVBMFBNQM
4ÍP1BVMP&EJUPSB3FWJTUBEPT5SJCVOBJT
-6$0/1BVMP)FOSJRVFEPT4BOUPTEmbargos à execução4ÍP1BVMP4BSBJWB
."$)"%0"OUÙOJP$MÈVEJPEB$PTUBCódigo de Processo Civil InterpretadoFESFWF
BUVBM#BSVFSJ&EJUPSB.BOPMF
."3$"50"OUÙOJP$BSMPTCódigo de Processo Civil InterpretadoFESFWFBUVBM4ÍP
1BVMP&EJUPSB"UMBT
."3*/0/* -VJ[ (VJMIFSNF .*5*%*&*30 %BOJFM Código de Processo Civil comentado
artigo por artigo.4ÍP1BVMP&EJUPSB3FWJTUBEPT5SJCVOBJT
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225
."35*/43FOBUP$BTUSP5FJYFJSB0QBSDFMBNFOUPEPBSU"EP$1$OPDVNQSJ
NFOUPEFTFOUFOÎB*OExecução Civil e cumprimento de sentença$PPSE4FSHJP4IJNVSBF
(JMCFSUP(PNFT#SVTI7PM4ÍP1BVMP.ÏUPEP
.";;&*3PESJHP0QÎÍPEPFYFDVUBEPFNQBHBSQBSDFMBEBNFOUFBEÓWJEBFYFDVUBEB*O
Reforma do CPC 2: nova sistemática processual civil/&7&4%BOJFM"NPSJN"TTVNQÎÍP<FU
BM>4ÍP1BVMP&EJUPSB3FWJTUBEPT5SJCVOBJT
.&3±0/7"3("44BSBI"GBDVMEBEFEFQBSDFMBNFOUPEPWBMPSEBFYFDVÎÍPBSU"
SFRVJTJUPTQSPDFEJNFOUPFBQMJDBCJMJEBEF*OExecução Extrajudicial: modificações da Lei nº
11.382/2006.$PPSE4VTBOB)FOSJRVFTEBDPTUB4ÍP1BVMP&EJUPSB2VBSUJFS-BUJO
.03&*3"+PTÏ$BSMPT#BSCPTBO Novo Processo Civil Brasileiro: exposição sistemática do
procedimento.&ESFWFBUVBM3JPEF+BOFJSP'PSFOTF
/&3:+3/FMTPO/&3:3PTB.BSJBEF"OESBEFCódigo de Processo Civil Comentado e
Legislação Extravagante.FESFWBUVBMFBNQM4ÍP1BVMP3FWJTUBEPT5SJCVOBJT
FE
1&3&*3"$BJP.ÈSJPEB4JMWBInstituições de Direito Civil: teoria geral das obrigações.W
3JPEF+BOFJSP&EJUPSB'PSFOTF
1*/50#SVOP¶UBMP4PVTBArtigo 745-A do CPC: a natureza jurídica do parcelamento da dívida e outras polêmicas+VT/BWJHBOEJ5FSFTJOBBOPOTFU%JTQPOÓWFM
FNIUUQKVTVPMDPNCSSFWJTUBUFYUP"DFTTPFN
3² "MVÓTJP *VOFT .POUJ 3VHHFSJ O Acesso à justiça do devedor de boa-fé: a atuação
da Defensoria Pública na efetivação do direito ao pagamento parcelado. IUUQXXX
EFGFOTPSJBTQHPWCSEQFTQSFQPTJUPSJPEPDVNFOUPTDDTBJ0"$&440
"+645*$"%0%&7&%03%&#0"'$EPD "DFTTP
FN
30%3*(6&4.BSDFMP"CFMIBManual de Execução CivilFE3JPEF+BOFJSP'PSFOTF
6OJWFSTJUÈSJB
4*-7"3JOBMEP.PV[BMBTEF4PV[BFùA moratória do Art. 745-A do CPC. Sua aplicação às
demandas cognitivas condenatórias.ù+VT/BWJHBOEJ5FSFTJOBBOPOKBO
%JTQPOÓWFMFNùIUUQKVTVPMDPNCSSFWJTUBUFYUP"DFTTPFNù
4"/504&SOBOF'JEÏMJTEPTManual de Direito Processual Civil. Execução e Processo Cautela. FE4ÍP1BVMP4BSBJWB
4"/504.PBDZS"NBSBMPrimeiras Linhas de Direito Processual CivilWPMFESFWF
BUVBM4ÍP1BVMP4BSBJWB
@@@@@@@Primeiras Linhas de Direito Processual CivilWPMFESFWFBUVBM4ÍP1BVMP
4BSBJWB
5)&0%030+Á/*03)VNCFSUPCurso de direito processual civil: processo de execução e
cumprimento da sentença, processo cautelar e tutela de urgência7PMFE3JPEF+BOFJSP
'PSFOTF
8"(/&3 +6/*03 -VJ[ (VJMIFSNF EB $PTUB $JODP RVFTUÜFT DPOUSPWFSUJEBT EB OPWB
TJTUFNÈUJDBEBFYFDVÎÍPDJWJM*OAspectos Polêmicos da nova execução$PPSE$BTTJP4DBS
QJOFMMB#VFOPF5FSFTB"SSVEB"MWJN7PM4ÍP1BVMP35
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@@@@@@@@ Sou obrigado a receber parceladamente o meu crédito em execução 3FWJTUB EF
1SPDFTTP3F1SPBOPGFW
8".#*&3-VJ[3PESJHVFT"-.&*%"'MÈWJP3FOBUP$PSSFJBEF5"-".*/*&EVBSEP
Curso Avançado de Processo Civil: processo de execução7PMFESFWBUVBMFBNQM4ÍP
1BVMP3FWJTUBEPTUSJCVOBJT
@@@@@@@5"-".*/*&EVBSEPCurso Avançado de Processo Civil: execução7PMFE
SFWBUVBMFBNQM4ÍP1BVMP3FWJTUBEPTUSJCVOBJT
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EXECUÇÃO CONTRA A FAZENDA PÚBLICA POR OBRIGAÇÕES
PECUNIÁRIAS DECORRENTES DE TÍTULOS JUDICIAIS: REFLEXÕES SOBRE
O PROCEDIMENTO ATÉ A EXPEDIÇÃO DA ORDEM DE PAGAMENTO
EXECUTION AGAINST PUBLIC TREASURY FOR CASH
OBLIGATIONS ARISING OF COURT ORDERED PAYMENTS:
Reflections by the expedition of the payment order
Regina Maria Rodrigues da Silva Jacovaz1
SUMÁRIO
*OUSPEVÎÍP0FNCBUFEPTJOUFSFTTFTQÞCMJDPTDPNPTJOUFSFTTFTQSJWBEPTFN
SFMBÎÍPBPTEÏCJUPTGB[FOEÈSJPT"TSFHSBTDPOTUJUVDJPOBJTFJOGSBDPOTUJUVDJPOBJT
SFMBUJWBTËFYQFEJÎÍPEPTQSFDBUØSJPTFEBTSFRVJTJÎÜFTEFQFRVFOPWBMPSQBSBPTUÓ
UVMPTKVEJDJBJT%PNPEFMPBUVBMEBFYFDVÎÍPOPDØEJHPEFQSPDFTTPDJWJM1FSNB
OÐODJBEPQSPDFTTPBVUÙOPNPEBFYFDVÎÍPDPOUSBB'B[FOEB1ÞCMJDB0QPMÐNJDP
DPODFJUPEFFYFDVÎÍPDPOUSBB'B[FOEB1ÞCMJDB"QMJDBÎÍPEFSFHSBTEPDVNQSJ
NFOUPEFTFOUFOÎB%FmOJUJWJEBEFFQSPWJTJPSJFEBEFEBFYFDVÎÍP3FMBÎÍP
EF QSPWJTJPSJFEBEF DPN B QPTTJCJMJEBEFEFTBUJTGBÎÍPEPEJSFJUPNBUFSJBMFDPNB
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QSFDBUØSJPT%BFYJHÐODJBDPOTUJUVDJPOBMEPUSÉOTJUPFNKVMHBEPQBSBBFYQFEJÎÍP
EPQSFDBUØSJPFEBSFRVJTJÎÍPEFQFRVFOPWBMPS0JOÓDJPEBFYFDVÎÍP0
FGFJUPTVTQFOTJWPEPTFNCBSHPTËFYFDVÎÍPFEPSFDVSTPEFBQFMBÎÍP0USÉOTJUP
FNKVMHBEPOPTFNCBSHPTËFYFDVÎÍP%BTEJTQPTJÎÜFTEPQSPKFUPEPOPWP$1$
$POTJEFSBÎÜFTmOBJT3FGFSÐODJBT#JCMJPHSÈmDBT
RESUMO
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QFDVOJÈSJBTEFDPSSFOUFTEFUÓUVMPTKVEJDJBJTDPNÐOGBTFOPiter QSPDFEJNFOUBMRVF
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FYBNF EB OBUVSF[B KVSÓEJDB EB FYFDVÎÍP DPOUSB B 'B[FOEB 1ÞCMJDB FN DPOGSPOUP
DPN PT QSJODÓQJPT F DBSBDUFSÓTUJDBT EB FYFDVÎÍP DJWJM F BT SFHSBT EP DVNQSJNFO
UP EF TFOUFOÎB BQMJDÈWFJT Ë FYFDVÎÍP DPOUSB B 'B[FOEB 1ÞCMJDB " EFUFSNJOBÎÍP
DPOTUJUVDJPOBM EP USÉOTJUP FN KVMHBEP SFMBUJWB BPT QBHBNFOUPT EPT QSFDBUØSJPT F
EBTSFRVJTJÎÜFTEFQFRVFOPWBMPSGPJDPOTJEFSBEBTPCPFOGPRVFEPTDPODFJUPTEF
AQSPWJTPSJFEBEFFAEFmOJUJWJEBEFEPUÓUVMPFYFDVUJWP1SFUFOEFVTFEFNPOTUSBSRVF
ÏQSFDJTPBNPMEBSPTQSPDFEJNFOUPTQSPDFTTVBJTËTEFUFSNJOBÎÜFTDPOTUJUVDJPOBJT
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UVSF[BEPTJOUFSFTTFTQÞCMJDPTFNFTQFDJBMOPRVFDPODFSOFËFYFDVÎÍPQSPWJTØSJB
ABSTRACT
This paper studies the performance against the public treasury, for pecuniary obligations
arising from judicial titles, with emphasis on iter procedural that culminates with the
issuance of a payment order to the Government. This started from the examination of the
legal nature of execution against the National Treasury in confrontation with the principles
and characteristics of civil enforcement and compliance with the rules applicable to the
enforcement of a judgment against the Revenue. The constitutional determination of res
judicata on payments of judicial requests and requisitions was considered of little value
1SPDVSBEPSBEP&TUBEPEF4ÍP1BVMP&TQFDJBMJTUBFN%JSFJUP1SPDFTTVBM$JWJMQFMB&TDPMB4VQFSJPSEB
1SPDVSBEPSJB(FSBMEP&TUBEP4ÍP1BVMP
228
Regina Maria Rodrigues da Silva Jacovaz
from the standpoint of the concepts of ‘temporariness’ and ‘finality’ of Enforcement. It was
intended to demonstrate that the procedures must conform to the procedural constitutional
provisions relating to judicial requests and requests of small value, taking into account the
nature of public interests, especially with regard to provisional execution,
Palavras-chaves'B[FOEB1ÞCMJDBFYFDVÎÍPQSPWJTØSJBUSÉOTJUPFNKVMHBEPQSFDBUØSJP
Keywords: Public Treasury, provisional execution, res judicata, Court - ordered payment
1. INTRODUÇÃO
" PQÎÍP QFMB BCPSEBHFN EP UFNB SFGFSFOUF Ë FYFDVÎÍP DPOUSB B 'B[FOEB
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TJUPFNWJTUBEPiterQSPDFEJNFOUBMUSBÎBEPQBSBB'B[FOEB1ÞCMJDBFTQFDJmDBNFOUF
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2. O EMBATE DOS INTERESSES PÚBLICOS COM OS INTERESSES PRIVADOS EM
RELAÇÃO AOS DÉBITOS FAZENDÁRIOS
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Execução contra a Fazenda Pública por obrigações pecuniárias decorrentes de títulos judiciais
229
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3. AS REGRAS CONSTITUCIONAIS E INFRACONSTITUCIONAIS RELATIVAS À EXPEDIÇÃO DOS
PRECATÓRIOS E DAS REQUISIÇÕES DE PEQUENO VALOR PARA OS TÍTULOS JUDICIAIS
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DO PROCESSO AUTÔNOMO DA EXECUÇÃO CONTRA A FAZENDA PÚBLICA
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somente uma execução imprópria”.
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Celso Ribeiro Bastos FOTJOB RVF “A regra geral fundamental é que a realização de despesa depende de
previsão na lei orçamentária. O artigo 167 da Constituição proíbe, taxativamente, a realização de despesas ou a
assunção de obrigações diretas que excedam os créditos orçamentários ou adicionais (inc. II), assim como o início
de programas ou projetos não incluídos na lei orçamentária anual (inc. I). Daí resulta o princípio da legalidade:
nenhuma despesa pode ser levada a efeito sem lei que a autorize e que determine o seu montante máximo. Note-se que a autorização para que se efetive a despesa não significa o dever de o administrador levá-la a efeito. Pode
perfeitamente considerar não oportuna a sua realização. O controle dos limites máximos permanece, contudo,
firmemente enfeixado nas mãos do Legislativo. Basta que se considerem os seguintes dispositivos constitucionais,
que vedam: ‘a abertura de crédito suplementar ou especial sem prévia autorização do legislativo e sem indicação
dos recursos correspondentes.’(Art. 167, V).i$VSTPEF%JSFJUP'JOBODFJSPFEF%JSFJUP5SJCVUÈSJPw4ÍP1BV
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“o certo é que verdadeira execução não é aquela que se volta contra
a Fazenda Pública, pois não há invasão imperativa do patrimônio do
Estado pelo juiz (ou seja, pelo próprio Estado). É o devedor mesmo
quem paga (voluntariamente), estimulado pelo ofício requisitório
da autoridade judiciária. HSJGPEPBVUPS
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6. APLICAÇÃO DE REGRAS DO CUMPRIMENTO DE SENTENÇA
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7. DEFINITIVIDADE E PROVISORIEDADE DA EXECUÇÃO
7.1. Relação da provisoriedade com a possibilidade de satisfação do direito
material e com a existência de recurso
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a lei, nesse passo, não cogita do efeito em que o recurso tenha sido
recebido, mas sim do efeito em que os embargos do executado, nessa altura, já tidos como improcedentes, foram recepcionados. Faz
supor, mas escrito não está, que, tendo os embargos sido recebidos
com efeito suspensivo, também a apelação o seria, o que colide com
a previsão do art. 520, V,RVFQSFWÐDPNPSFHSBPFGFJUPTØEFWPMVUJWP
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de regime, pois tal disciplina contrapõe-se ao princípio de que o efeito
suspensivo é óbice para a realização do título, enquanto não decidido
o recurso. No caso, todavia, o efeito suspensivo não é impedimento à
execução, que pode prosseguir, porém sob o signo da provisoriedade.
Relativamente aos títulos judiciais, a questão foi trazida para o p.
1º, do art. 475-I, nos mesmos termos anteriores: as sentenças transitadas em julgado ensejam execução definitiva e as impugnadas
sem recurso no efeito suspensivo, só execução provisória. A clareza
dispersa-se com adornos "TTJN o efeito suspensivo concedido à
impugnação (ex-embargos), que não é recurso, autoriza o prosseguimento da execução, que se faria provisória, sujeita à prestação
de caução (par. 1º, do art. 475-M): que suspensão é esta? De outro
lado, se o recurso pendente de julgamento for agravo de instrumento contra a negativa de seguimento ao especial e/ou extraordinário,
a execução provisória pode ensejar levantamento de dinheiro sem
prestação de caução (art. 475-)- par. 2º, II
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8. DA EXIGÊNCIA CONSTITUCIONAL DO TRÂNSITO EM JULGADO PARA A EXPEDIÇÃO
DO PRECATÓRIO E DA REQUISIÇÃO DE PEQUENO VALOR
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contra a sentença que rejeita os embargos à execução contra a Fazenda Pública, mercê das
referidas exigências constitucionais, há de ser recebida no duplo efeito”.
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8.3. O trânsito em julgado nos embargos à execução
$ÈTTJP4DBSQJOFMMB#VFOPBTTFWFSBRVFPUSÉOTJUPFNKVMHBEPFYJHJEPQBSBB
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Pública”.
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9. DAS DISPOSIÇÕES DO PROJETO DO NOVO CÓDIGO DE PROCESSO CIVIL
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sequestro do numerário suficiente ao cumprimento da decisão, dispensada a audiência da
Fazenda Pública.”
10. CONSIDERAÇÕES FINAIS
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REFERÊNCIAS BIBLIOGRÁFICAS
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5SJCVOBJT
RESPGE - SP
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264
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MANDADO DE SEGURANÇA E SILÊNCIO ADMINISTRATIVO
Writ of Mandamus and the administrative silence
Marina de Lima Lopes1
SUMÁRIO
.BOEBEP EF 4FHVSBOÎB o CSFWF IJTUØSJDP )JQØUFTFT EF DBCJNFOUP 4JMÐODJP
"ENJOJTUSBUJWP .BOEBEP EF 4FHVSBOÎB FN GBDF EP 4JMÐODJP "ENJOJTUSBUJWP 1SJNFJSBIJQØUFTFQSFWJTÍPMFHBMEFQSB[PQBSBBQSÈUJDBEPBUPFEBTDPOTFRVÐODJBT
EBPNJTTÍP4FHVOEBIJQØUFTFQSFWJTÍPMFHBMEFQSB[PQBSBBQSÈUJDBEPBUPTFN
JNQPTJÎÍPEFDPOTFRVÐODJBTQBSBBPNJTTÍP5FSDFJSBIJQØUFTFBVTÐODJBEFQSFWJTÍP
MFHBMEFQSB[PQBSBBQSÈUJDBEPBUPFEBTDPOTFRVÐODJBTEBPNJTTÍP"VTÐODJBEF
SFTQPTUBBSFRVFSJNFOUPBENJOJTUSBUJWP'BMUBEFDVNQSJNFOUPEFEFWFSMFHBM
$PODMVTÍP3FGFSÐODJBT#JCMJPHSÈmDBT
RESUMO
0FTUVEPBOBMJTBBTIJQØUFTFTEFBENJTTÍPEBBÎÍPDPOTUJUVDJPOBMEFNBOEBEPEFTFHVSBO
ÎBDPOUSBBUPTPNJTTPTEP1PEFS1ÞCMJDP"CPSEBPTDBTPTDPNQSFWJTÍPMFHBMEFQSB[PQBSB
BQSÈUJDBEPBUPDPNBVTÐODJBEFQSB[PmYBEPQBSBBQSÈUJDBEPBUPBBVTÐODJBEFSFTQPTUB
BPSFRVFSJNFOUPBENJOJTUSBUJWPFQPSmNBGBMUBEFDVNQSJNFOUPEFEFWFSMFHBM
ABSTRACT
5IF QSFTFOU TUVEZ BOBMZ[FT UIF BQQMJBODF GPS .BOEBNVT BOE JUT IZQPUIFTJT BT B
DPOTUJUVUJPOBM XSJU BHBJOTU UIF 1VCMJD 1PXFS PNJTTJPO "EESFTTJOH DBTFT GPS BO
BCTFODFPOBMFHBMUFSNGPSBTUBUFBDUJPOPSGPSBQVCMJDSFTQPOTFUPUIFBENJOJTUSBUJWF
SFRVFTUTPSmOBMMZUPUIFQVCMJDBENJOJTUSBUJPOUPDPNQMJBODFXJUIBMFHBMEVUZ
Palavras-chaves1SPDFTTP$POTUJUVDJPOBM.BOEBEPEF4FHVSBOÎB4JMÐODJP
"ENJOJTUSBUJWP)JQØUFTFT1SB[P%FDBEFODJBM
Keyword1SPDFTT$POTUJUVUJPOBM8SJUPG.BOEBNVT1VCMJD1PXFSPNJTTJPO-FHBMEVUZ
1. MANDADO DE SEGURANÇA – BREVE HISTÓRICO
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$POTUJUVJÎÍPEFTPCJOnVÐODJBEPTwrits EPEJSFJUPBNFSJDBOPBQØTBSFTUSJÎÍP
EP habeas corpus ËT IJQØUFTFT EF PGFOTB BP EJSFJUP EF MPDPNPÎÍP GFJUB QFMB &NFOEB
$POTUJUVDJPOBMEF
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%BSTFÈ NBOEBEP EF TFHVSBOÎB QBSB EFGFTB EF EJSFJUP DFSUP
F JODPOUFTUÈWFM BNFBÎBEP PV WJPMBEP QPS BUP NBOJGFTUBNFOUF
JODPOTUJUVDJPOBM PV JMFHBM EF RVBMRVFS BVUPSJEBEF 0 QSPDFTTP TFSÈ
1SPDVSBEPSBEP&TUBEP&TQFDJBMJTUBFN%JSFJUP1SPDFTTVBM$JWJMF%JSFJUPEP&TUBEPQFMB&TDPMB4VQF
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.&/%&4(JMNBS'FSSFJSBet al. Curso de Direito Constitucional. FESFWFBUVBM4ÍP1BVMP4BSBJWB
Q
266
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&NFOEB$POTUJUVDJPOBMOEFEFPVUVCSPEF
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BVUPSJEBEFSFTQPOTÈWFMQFMBJMFHBMJEBEFPVBCVTPEFQPEFS
&YDFÎÍP TF EFV OB $BSUB EF RVF BQFOBT QSFWJV P habeas corpus. /P
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QSBUJDBNFOUF OPT UFSNPT EP RVF EJTQVOIB B BOUJHB -FJ O FNCPSBQFSEFOEPPBTTFOUPDPOTUJUVDJPOBMFBTHBSBOUJBTRVFMIFFSBN
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0 $ØEJHP EF 1SPDFTTP $JWJM OBDJPOBM EF BDPMIFV P JOTUJUVUP
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"UVBMNFOUF P NBOEBEP EF TFHVSBOÎB FTUÈ QSFWJTUP OP "SU ¡ -9*9 EP
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3
5"7"3&4"OESÏ3BNPTManual do Novo Mandado de Segurança: Lei 12.016/2009.3JPEF+BOFJSP'P
SFOTFQ
RESPGE - SP
São Paulo
v. 3
n. 1
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Mandado de segurança e silêncio administrativo
267
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n. 1
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p. 265 a 290
268
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corpus PV habeas data RVBOEP TFV UJUVMBS FTUJWFS TPGSFOEP PV OB JNJOÐODJB EF
TPGSFSWJPMBÎÍPFNSB[ÍPEFJMFHBMJEBEFPVBCVTP EF QPEFS QSBUJDBEP QPS BUP PV
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n. 1
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São Paulo
v. 3
n. 1
jan./dez. 2012
p. 265 a 290
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4FSWJEPSFT QÞCMJDPT CVTDBN OB JNQFUSBÎÍP UVUFMB KVSJTEJDJPOBM FN
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BPWFODJNFOUPCÈTJDP5SBUBOEPTFEFJNQFUSBÎÍPDPOUSBPNJTTÍPBENJ
OJTUSBUJWBEFFGFJUPTDPOUJOVBEPTOÍPFTUÈDPOmHVSBEBBEFDBEÐODJB
3FDVSTPPSEJOÈSJPQSPWJEP
RESPGE - SP
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jan./dez. 2012
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285
4VQFSJPS5SJCVOBMEF+VTUJÎB3.4303FDVSTP0SEJOÈSJP
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VO DA ADMINISTRAÇÃO. DECADÊNCIA. INOCORRÊNCIA.
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EFRVFUSBUBOEPTFEFNBOEBEPEFTFHVSBOÎBOPRVBMTFJNQVHOBBMF
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3FHJNFOUBMOP3FDVSTP&TQFDJBMoo3FMBUPS.JOJTUSP
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/PFYFNQMPIJQPUÏUJDPEFVNBMFJRVFEFUFSNJOBTTFBQBSUJSEFTVBWJHÐO
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DPOGPSUP EPT BENJOJTUSBEPT UBM BUVBÎÍP QBSB TFS JNQMFNFOUBEB EFQFOEFSJB EF
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TJUVBÎÜFTQSFNFOUFT
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EJBT
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286
/P DBTP EP mandado de segurança IÈ VN EJSFJUP TVCKFUJWP QÞCMJDP
DPOTUJUVDJPOBM
EF EFGFTB EPT EJSFJUPT MÓRVJEPT F DFSUPT GFSJEPT PV
BNFBÎBEPTVUJMJ[BOEPTFBWJBEPmandamus, FÏEFTTFEJSFJUPRVFEFDBJ
PJOUFSFTTBEPRVFOÍPBVUJMJ[BOPTDFOUPFWJOUFEJBTOÍPEPEJSFJUP
TVCTUBOUJWPRVFGVOEBNFOUBBJNQFUSBÎÍPPRVBMQPEFFWFOUVBMNFOUF
TFSEFGFOEJEPQPSPVUSPTNFJPTQSPDFTTVBJT
"TTJNQPEFNPTJOEJDBSRVFTFSJBDPNPSFHSBQSB[PiSB[PÈWFMwTFBHVBSEBS
BBUVBÎÍPBENJOJTUSBUJWBQPSDFOUPFWJOUF
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KVTUJmDBEBNBJPSUFNQPQBSBTFVDVNQSJNFOUP
"VUJMJ[BÎÍPQPSBOBMPHJBEPQSB[PQSFWJTUPQBSBBJNQFUSBÎÍPEPNBOEBEP
EFTFHVSBOÎBFTUÈBNQBSBEBNBJTVNBWF[OBQSØQSJBOBUVSF[BEPSFNÏEJPDPOT
UJUVDJPOBMRVFWJTBSFTHVBSEBSPGFOTBTQSFNFOUFTBEJSFJUPFOÍPBTJUVBÎÜFTRVFTF
QSPMPOHBSBNOPUFNQP
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PRVFEBSJBFOTFKPBPJOÓDJPEPQSB[PEFDBEFODJBMUBNCÏNEFDFOUPFWJOUF
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EJBTTPNFOUFSFTUB
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*OUFSFTTBOUFOFTUFQPOUPDPOTJHOBSPQPTJDJPOBNFOUPEF7JDFOUF(SFDP'J
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BBVUPSJEBEFTFNBOJGFTUFFNQSB[PFTUBCFMFDJEPQFMPQSFKVEJDBEP.
5BMWF[TFKBFTTBBQPTUVSBNBJTTFHVSBBPBENJOJTUSBEPQBSBHBSBOUJSPVTPEB
WJBDPOTUJUVDJPOBM$VNQSFQPSÏNTBMJFOUBSRVFQPSUSBUBSTFEFQSB[PEFDBEFODJBM
UBMJOUFSQFMBÎÍPOÍPUFSJBPDPOEÍPEFJOUFSSPNQÐMPPVTVTQFOEÐMP
"3"Á+0&ENJS/FUUPEFCurso de direito administrativo. FESFWFBUVBM4ÍP1BVMP4BSBJWB
&TUFFSBPQPTJDJPOBNFOUPEF$FMTP"OUÙOJP#BOEFJSBEF.FMMPBUÏFEJÎÍPEFTFV$VSTPEF%JSFJUP"E
NJOJTUSBUJWPDPOUVEPBMUFSPVTFVFOUFOEJNFOUPOBTFEJÎÜFTQPTUFSJPSFTDPOTJHOBOEPRVFiPOEFGBMUBSMFJ
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EFQSPDFTTPPNFTNPQSB[POFMBFTUBCFMFDJEPw .&--0$FMTP"OUÙOJP#BOEFJSBEF. Curso de Direito Administrativo. FE4ÍP1BVMP.BMIFJSPT&EJUPSFT-UEB, Q
. 5PEBWJBSFTTBMWBEPOPTTPSFTQFJUP
QFMPNFTUSFOÍPBDPNQBOIBNPTBBMUFSBÎÍPEFTFVQPTJDJPOBNFOUPQPJTFOUFOEFNPTRVFPQSB[PDPOUJEP
OBMFJGFEFSBMEFQSPDFTTPBENJOJTUSBUJWPTPNFOUFTFBQMJDBËTIJQØUFTFTEFJOBÎÍPGSFOUFBQFEJEPTBENJOJT
USBUJWPTFOÍPRVBOEPIPVWFSPNJTTÍPSFMBUJWBBEFWFSEFPGÓDJPQPSTFUSBUBSEFIJQØUFTFEJTUJOUB
(3&$0'*-)07JDFOUFO novo mandado de segurança: comentários à Lei n. 12.016, de 7 de agosto de
2009. 4ÍP1BVMP4BSBJWBQ
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São Paulo
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287
"OPUBTFOPFOUBOUPQPTJDJPOBNFOUPEJWFSHFOUFEF.BSJB4ZMWJB;BOFMMBEF
1JFUSPRVFEFGFOEFRVFOFTTBUFSDFJSBIJQØUFTFEFTJMÐODJPBENJOJTUSBUJWPEFNPEP
HFSBMoWJTUPRVFBQSPGFTTPSBOÍPGB[FTTBEJTUJOÎÍPFOUSFPTDBTPTEFBVTÐODJBEFSFT
QPTUBBSFRVFSJNFOUPEFBENJOJTUSBEPFEFGBMUBEFDVNQSJNFOUPEPEFWFSEFPGÓDJP
oOÍPTFDPHJUBSJBFNEFDBEÐODJBQBSBPNBOEBEPEFTFHVSBOÎB“por inexistência de
um termo a quo; enquanto persistir a omissão, é cabível o mandado”41.
&TUFUBNCÏNÏPFOUFOEJNFOUPEF)VNCFSUP5IFPEPSP+ÞOJPSRVFMFDJPOB
RVFRVBOEPPBUPJMFHBMPVBCVTJWPÏQSBUJDBEPEFGPSNBPNJTTJWBOÍPIÈUFSNPJOJDJBM
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0QPSUVOPQPSmNDPOTJHOBSRVFOP&TUBEPEF4ÍP1BVMPBEJTDVTTÍPBDJNBTF
UPSOBFNQSJODÓQJPEFTQJDJFOEBQPJTBKÈNFODJPOBEB-FJORVFSFHVMB
PQSPDFTTPBENJOJTUSBUJWPOPÉNCJUPEB"ENJOJTUSBÎÍP1ÞCMJDB&TUBEVBMFTUBCFMFDFFN
TFVBSUQSB[PQBSBBQSÈUJDBEFBUPTRVFOÍPTFKBNEFSJWBEPTEFQSPDFTTPTBENJOJT
USBUJWPTNBTRVFEFDPSSBNEJSFUBNFOUFEBBQMJDBÎÍPEBMFJPVEFEFDJTÍPBENJOJTUSBUJWB
"SUJHPo4FSÈEFTFTTFOUB
EJBTTFPVUSBOÍPGPSBEFUFSNJOBÎÍP
MFHBMPQSB[PNÈYJNPQBSBBQSÈUJDBEFBUPTBENJOJTUSBUJWPTJTPMBEPT
RVFOÍPFYJKBNQSPDFEJNFOUPQBSBTVBQSPMBÎÍPPVQBSBBBEPÎÍPQFMB
BVUPSJEBEFQÞCMJDBEFPVUSBTQSPWJEÐODJBTOFDFTTÈSJBTËBQMJDBÎÍPEFMFJ
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BBEPÎÍPEBNFEJEBQFSNJUJEBQSPSSPHBÎÍPRVBOEPDBCÓWFMNFEJBOUF
QSPQPTUBKVTUJmDBEB
.FSFDFUSBOTDSJÎÍPPDPNFOUÈSJPEPQSPGFTTPS&ENJS/FUUPEF"SBÞKPBSFT
QFJUPEBOPSNBFNEFTUBRVF
7FSJmDBTFRVFOP&TUBEPEF4ÍP1BVMPVMUSBQBTTBEPTPTTFTTFOUBEJBT
QBSBPTBUPTRVFOÍPUFOIBNiPVUSBEFUFSNJOBÎÍPMFHBMwDPOUBEPTEB
PQFSBDJPOBMJEBEFNFODJPOBEBOPQBSÈHSBGPÞOJDPQPEFSÈDBSBDUFSJ[BS
TF B EFDJTÍP JNQMÓDJUB EF SFKFJÎÍP DPJCJOEP B DFOUFOÈSJB QSÈUJDB EP
iFOHBWFUBNFOUPEFQSPDFTTPTwFQPTTJCJMJUBOEPPNBOEBEPEFTFHVSBOÎB
'JDBPFYFNQMPQBSBPVUSBT"ENJOJTUSBÎÜFT
%*1*&530.BSJB4ZMWJB;BOFMMB. Direito Administrativo. FE4ÍP1BVMP"UMBTQ
5)&0%030+Á/*03)VNCFSUPO mandado de segurança segundo a Lei nº 12.016, de 07 de agosto de
2009. 3JPEF+BOFJSP'PSFOTFQ
"3"Á+0&ENJS/FUUPEFCurso de direito administrativo. FESFWFBUVBM4ÍP1BVMP4BSBJWB, Q
RESPGE - SP
São Paulo
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n. 1
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288
1PSUBOUPFTUBSÈDPOmHVSBEBBPNJTTÍPEB"ENJOJTUSBÎÍP1BVMJTUBQBTTÓWFM
EFJNQVHOBÎÍPWJBmandamus,RVBOEPVMUSBQBTTBEPPQSB[PQSFWJTUPEFTFTTFOUB
EJBTTFNBQSÈUJDBEPBUPRVFEFDPSSBEJSFUBNFOUFEFMFJPVEFDJTÍPBENJOJTUSBUJWBF
EFTEFRVFQSFFODIJEPTPTSFRVJTJUPTMFHBJTQBSBTVBQSPMBÎÍP
5. CONCLUSÃO
%JBOUF EF UPEP P FYQPTUP DPODMVÓNPT RVF OBT IJQØUFTFT EF NBOEBEP EF
TFHVSBOÎBDPOUSBPNJTTÍPUFNFTQFDJBMJNQPSUÉODJBBJEFOUJmDBÎÍPEPTJMÐODJPBENJ
OJTUSBUJWPRVFEFDPSSFEBJOBÎÍPEB"ENJOJTUSBÎÍPDBSBDUFSJ[BEBUBOUPQFMBBVTÐODJB
EFFGFUJWBSFTQPTUBËQSPWPDBÎÍPEPBENJOJTUSBEPRVBOUPQFMBGBMUBEFDVNQSJNFOUP
EPEFWFSEFPGÓDJP
"TTJNDBTPBMFJQSFWFKBVNQSB[PQBSBBQSÈUJDBEPBUPBENJOJTUSBUJWPKÈ
JNQPOEPBTDPOTFRVÐODJBTEPTFVEFTDVNQSJNFOUPTPNFOUFEFQPJTEFmOEPFTUFÏ
RVFQPEFSÈTFDPHJUBSEBJNQFUSBÎÍPRVFEFWFSÈJNQVHOBSPTFGFJUPTDPODSFUPTEBEPT
QFMBMFJBPTJMÐODJPFOÍPQSPQSJBNFOUFBPNJTTÍP$BTPBMFJFNCPSBFTUBCFMFÎBVN
QSB[P QBSB B BÎÍP BENJOJTUSBUJWB OÍP QSFWFKB TBOÎÜFT PV DPOTFRàÐODJBT FYQMÓDJUBT
EPTFVEFTDVNQSJNFOUPEFQPJTEFFYBVSJEPPUFNQPDPODFEJEPË"ENJOJTUSBÎÍP
QPEFSÈTFSVUJMJ[BEBBWJBNBOEBNFOUBMQBSBJNQVHOBSBQSØQSJBPNJTTÍPFFYJHJSB
QSPOÞODJBBENJOJTUSBUJWB
1PS mN TF OÍP IPVWFS QSFWJTÍP FTQFDÓmDB EF QSB[P QBSB B QSÈUJDB EP BUP
OFNEPTFGFJUPTRVFTFSÍPBUSJCVÓEPTBPNJTTÍPFTFFMBFTUJWFSSFMBDJPOBEBBQFEJEP
BENJOJTUSBUJWPTPNFOUFFTUBSÈDBSBDUFSJ[BEBBJOBÎÍPEB"ENJOJTUSBÎÍPFUFSÈJOÓDJPP
QSB[PEFDBEFODJBMTFEFQPJTEFmOEPPQSB[PQSFWJTUPFNMFJRVFSFHVMBPTQSPDFEJ
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EBQSØQSJBOPSNBRVFEFWFSJBUFSTJEPPCTFSWBEBFOÍPGPJPVEFTEFRVBOEPPJNQF
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QPOIBË"ENJOJTUSBÎÍPQSFTUBÎÜFTEFOBUVSF[BDPOUJOVBEBPVEFUSBUPTVDFTTJWPQPS
IBWFSBEFUFSNJOBÎÍPMFHBMEFQBHBNFOUPQFSJØEJDPEFUBJTQSFTUBÎÜFTPEFTDVNQSJ
NFOUPEBPCSJHBÎÍPJNQPTUBTFSÈDPOTUBUBEPFNDBEBVNEPTQFSÓPEPTSFOPWBOEPTF
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SJBNFOUFEBBEPÎÍPEFEFUFSNJOBEBTNFEJEBTBENJOJTUSBUJWBTQBSBBTVBQSÈUJDB
FTUBT EFWFSÍP TFS BEPUBEBT QFMB "ENJOJTUSBÎÍP FN iQSB[P SB[PÈWFMw TPC QFOB EF
FOTFKBSBJNQVHOBÎÍPKVEJDJBMEBPNJTTÍPWJBNBOEBEPEFTFHVSBOÎB²DPOTJEF
SBEP SB[PÈWFM TF BHVBSEBS B BUVBÎÍP BENJOJTUSBUJWB QPS DFOUP F WJOUF
EJBT
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289
QPSBOBMPHJBBPQSØQSJPQSB[PQSFWJTUPQBSBJNQFUSBÎÍPEBTFHVSBOÎBWJTUPRVFUBM
SFNÏEJPDPOTUJUVDJPOBMWJTBSFTHVBSEBSPGFOTBTQSFNFOUFTBEJSFJUPFOÍPTJUVBÎÜFT
RVFTFQSPMPOHBNOPUFNQP
6. REFERÊNCIAS BIBLIOGRÁFICAS
"-7*. + & $BSSFJSB Comentários à nova lei do mandado de segurança – Lei 12.016/09.
$VSJUJCB+VSVÈ&EJUPSB
"3"Á+0&ENJS/FUUPEFCurso de direito administrativo. FESFWFBUVBM4ÍP1BVMP
4BSBJWB
#0/"7*%&41BVMPCurso de Direito Constitucional. FE4ÍP1BVMP.BMIFJSPT&EJUPSFT
-UEB
#6&/0$BTTJP4DBSQJOFMMBO Poder Público em juízo.FESFWBUVBMFBNQM4ÍP1BVMP
4BSBJWB
$"37"-)0 '*-)0 +PTÏ EPT 4BOUPT Manual de Direito Administrativo. FE 3JP EF
+BOFJSP&EJUPSB-VNFO+VSJT
$6/)"-FPOBSEP$BSOFJSPEBA Fazenda Pública em juízo. FE4ÍP1BVMP%JBMÏUJDB
%*1*&530.BSJB4ZMWJB;BOFMMB. Direito Administrativo. FE4ÍP1BVMP"UMBT
("+"3%0/*'FSOBOEPEB'POTFDBet al. Comentários à Nova Lei do Mandado de Segurança: Lei 12.016, de 7 de agosto de 2009. 4ÍP1BVMP.ÏUPEP
(3&$0'*-)07JDFOUFO novo mandado de segurança: comentários à Lei n. 12.016, de 7 de
agosto de 2009. 4ÍP1BVMP4BSBJWB
-*."3VZ$JSOFPrincípios de Direito Administrativo. FE4ÍP1BVMP.BMIFJSPT&EJUPSFT
-UEB
."35*/4+6/*038BMMBDF1BJWBO mandado de segurança e o Direito Administrativo.
*O3FWJTUB &MFUSÙOJDB +VTUJUJB o " 3FWJTUB EP .JOJTUÏSJP 1ÞCMJDP EF 4ÍP 1BVMP 4ÍP
1BVMP%JTQPOÓWFMFNIUUQXXXKVTUJUJBDPNCSBSUJHPTDQEG"DFTTPFN
OPW
.&*3&--&4)FMZ-PQFTet al. Direito Administrativo Brasileiro. FE4ÍP1BVMP.BMIFJ
SPT&EJUPSFT-UEB
.&--0$FMTP"OUÙOJP#BOEFJSBEF. Curso de Direito Administrativo. FE4ÍP1BVMP
.BMIFJSPT&EJUPSFT-UEB
.&/%&4 (JMNBS 'FSSFJSB et al. Curso de Direito Constitucional. FE SFW F BUVBM 4ÍP
1BVMP4BSBJWB
.03"&4"MFYBOESFEFDireito Constitucional. FE4ÍP1BVMP"UMBT
/0)"3"*SFOF1BUSÓDJB.03"&4'*-)0.BSDP"OUPOJP1SBYFEFTEFPSHBOJ[BEPSFT
Processo Administrativo: temas polêmicos da Lei n° 9.784/99. 4ÍP1BVMP"UMBT
'69-VJ[Mandado de Segurança. 3JPEF+BOFJSP'PSFOTF
5"7"3&4"OESÏ3BNPTManual do Novo Mandado de Segurança: Lei 12.016/2009.3JPEF
+BOFJSP'PSFOTF
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São Paulo
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n. 1
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290
5)&0%030+Á/*03)VNCFSUPO mandado de segurança segundo a Lei nº 12.016, de 07
de agosto de 2009. 3JPEF+BOFJSP'PSFOTF
4"%%:"OESÏEfeitos Jurídicos do Silêncio Positivo no Direito Administrativo Brasileiro. *O
3FWJTUB&MFUSÙOJDBEF%JSFJUPEP&TUBEPo3&%&4BMWBEPS*OTUJUVUP#SBTJMFJSPEF%JSFJUP
1ÞCMJDPO¡PVUVCSPOPWFNCSPEF[FNCSP%JTQPOÓWFMFNIUUQXXXEJSFJUP
EPFTUBEPDPNSFWJTUB3&%&0656#30"/%3&4"%%:QEG "DFTTP FN OPW
4$*03*--*.BSDFMPSilêncio e Administração Pública. *O3FWJTUB&MFUSÙOJDB+VTUJUJBo"3F
WJTUBEP.JOJTUÏSJP1ÞCMJDPEF4ÍP1BVMP4ÍP1BVMP%JTQPOÓWFMFNIUUQXXXKVTUJUJB
DPNCSBSUJHPTYQEG"DFTTPFNOPW
RESPGE - SP
São Paulo
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A COMPENSAÇÃO TRIBUTÁRIA E O REGIME CONSTITUCIONAL DE
PRECATÓRIOS INSTITUÍDO PELA EMENDA CONSTITUCIONAL Nº 62/2009
The Tax Offset and the Court-ordered payments regime under the constitutional
framework imposed by the 62º Amendment
Cláudia Bocardi Allegretti1
SUMÁRIO
0JOTUJUVUPEBDPNQFOTBÎÍP"DPNQFOTBÎÍPOP%JSFJUP$JWJM"DPNQFOTB
ÎÍPFNNBUÏSJBUSJCVUÈSJB3FHJNFDPOTUJUVDJPOBMEPTQSFDBUØSJPT%JTDJQMJOBBUVBM
$POTUJUVJÎÍPEF"&NFOEB$POTUJUVDJPOBMO0"SUEB$'
DPNBOPWBSFEBÎÍPEBEBQFMB&$O0BSUJHPEP"%$5DSJBEPQFMB&$
O"DPNQFOTBÎÍPEFDSÏEJUPUSJCVUÈSJPDPNEÏCJUPDPOTVCTUBODJBEPFNQSF
DBUØSJPOB&NFOEB$POTUJUVDJPOBMO4ÓOUFTFDPODMVTJWB3FGFSÐODJBT
RESUMO
&TUFBSUJHPUFNQPSPCKFUJWPBOBMJTBSEJTDVUJSFBPmOBMDPODMVJSQFMBJNQPTTJCJMJEBEF
EFTFQSPDFEFSËDPNQFOTBÎÍPEFEÏCJUPTUSJCVUÈSJPTDPNDSÏEJUPTEFDPSSFOUFTEFQSF
DBUØSJPTFNGBDFEPOPWPSFHJNFJOTUJUVÓEPQFMB&NFOEB$POTUJUVDJPOBMO
FEJUBEBFNEFOPWFNCSPEFËNÓOHVBEBMFJEPFOUFGFEFSBUJWPDPNQFUFOUF
QSFWJTUBOPBSUJHPEP$ØEJHP5SJCVUÈSJP/BDJPOBM
ABSTRACT
5IF PCKFDUJWF PG UIJT QBQFS JT BOBMZ[F UIF BQQMJDBCJMJUZ PG UIF OFX DPOTUJUVUJPOBM
GSBNFXPSL JNQPTFE CZ UIF "NFOENFOU QSFDMVEJOH UIF VTF PG $PVSUPSEFSFE
QBZNFOUTUPTPMWFUBYEFCJUTQSFWJPVTMZQSFEJDUPO3VMF–#SB[JMJBO/BUJPOBM5BY
$PEF
Palavras-chaves: $PNQFOTBÎÍP1SFDBUØSJPT&NFOEB$POTUJUVDJPOBMO
/FDFTTJEBEFEFMFJ"SU$5/
Keyword: UBYPGGTFU–$PVSUPSEFSFEQBZNFOUT–$POTUJUVUJPOBM"NFOENFOU–
.BOEBUPSZMBX–3VMF#SB[JMJBO/BUJPOBM5BY$PEF
1. O INSTITUTO DA COMPENSAÇÃO
1.1. A compensação no Direito Civil
/PTNPMEFTEPBSUJHPEP$ØEJHP$JWJM#SBTJMFJSP“se duas pessoas forem
ao mesmo tempo credor e devedor uma da outra, as duas obrigações extinguem-se, até onde
se compensarem”.
5SBUBTFEFNFJPFTQFDJBMEFFYUJOÎÍPEFPCSJHBÎÜFTBUÏPOEFTFFRVJWBMFSFN
²VNBWBSJBÎÍPEFQBHBNFOUP²GPSNBEFQBHBNFOUPJOEJSFUPFOUSFQFTTPBTRVFTÍP
1SPDVSBEPSBEP&TUBEPEF4ÍP1BVMP.FTUSFFN%JSFJUPEP&TUBEPQFMB1POUJGÓDJB6OJWFSTJEBEF$BUØ
MJDBEF4ÍP1BVMPo16$41&TQFDJBMJTUBFN%JSFJUP5SJCVUÈSJPQFMB&TDPMB4VQFSJPSEB1SPDVSBEPSJB
(FSBMEP&TUBEPEF4ÍP1BVMP
292
Cláudia Bocardi Allegretti
BPNFTNPUFNQPEFWFEPSBTFDSFEPSBTVNBEBPVUSB3FTPMWFSTFÈBPCSJHBÎÍPBUÏ
BDPODPSSÐODJBEPTWBMPSFTEBTQSFTUBÎÜFTEFWJEBT
4ÍPUSÐTBTFTQÏDJFTEFDPNQFOTBÎÍPBENJUJEBTFNOPTTP%JSFJUPBTBCFS
B
DPNQFOTBÎÍPMFHBMÏBBEPUBEBQFMP$ØEJHP$JWJM#SBTJMFJSP&MBBUVBQPSGPSÎB
EFMFJWBMFEJ[FSTFVTFGFJUPTPQFSBNEFQMFOPEJSFJUPJOEFQFOEFOUFNFOUF
EFDPOWFOÎÍPFOUSFBTQBSUFTBHJOEPNFTNPRVFVNBEFMBTTFPQPOIB
"TTJNOPNPNFOUPFNRVFTFDPOTUJUVÓSFNDSÏEJUPTSFDÓQSPDPTFOUSFEVBT
QFTTPBTBDPNQFOTBÎÍPSFBMJ[BTFBVUPNBUJDBNFOUF
C
DPNQFOTBÎÍPDPOWFODJPOBMPVDPNQFOTBÎÍPWPMVOUÈSJBSFTVMUBEF
BDPSEPEFWPOUBEFFOUSFBTQBSUFT5FNBQFDVMJBSJEBEFEFQPEFSFN
BTNFTNBTUSBOTJHJSRVBOEPBBVTÐODJBEFBMHVNEPTQSFTTVQPTUPT
EBDPNQFOTBÎÍPMFHBMJNQFEJSBFYUJOÎÍPEPTEÏCJUPTQPSFTTBWJBF
D
DPNQFOTBÎÍP KVEJDJBM EFUFSNJOBEB QPS BUP EFDJTØSJP EP KVJ[ %F
QFOEFEFBMFHBÎÍPEBTQBSUFTFTFGPSBMFHBEBQFMPSÏVUFNOBUVSF[B
SFDPOWFODJPOBM
&OUSFFMBTBNBJTJNQPSUBOUFFBBEPUBEBQFMP$ØEJHP$JWJMQÈUSJPÏBDPN
QFOTBÎÍPMFHBM
%F DPOGPSNJEBEF DPN P PSEFOBNFOUP KVSÓEJDP CSBTJMFJSP FODPOUSBTF TV
CPSEJOBEBBEFUFSNJOBEPTQSFTTVQPTUPTEFBENJTTJCJMJEBEFUBJTBSFDJQSPDJEBEFEBT
PCSJHBÎÜFTBMJRVJEF[EBTEÓWJEBTBFYJHJCJMJEBEFBUVBMEBTQSFTUBÎÜFTFBGVOHJCJMJ
EBEFEPTEÏCJUPT
1PSSFDJQSPDJEBEFEBTPCSJHBÎÜFTFOUFOEFTFRVFTPNFOUFTFQPEFGBMBSFN
DPNQFOTBÎÍPRVBOEPIÈPCSJHBÎÜFTFDSÏEJUPTSFDÓQSPDPTFOUSFBTNFTNBTQBSUFT
%J[TFMÓRVJEBBEÓWJEBRVBOEPBPCSJHBÎÍPGPSDFSUBRVBOUPËTVBFYJTUÐODJB
FEFUFSNJOBEBRVBOUPBPTFVNPOUBOUF4FHVOEP4JMWJP3PESJHVFT“seria inconcebível
ocorrer compensação de pleno direito, automaticamente, sem que houvesse a certeza quanto
ao montante de uma das dívidas”.3
3FMBUJWBNFOUFËFYJHJCJMJEBEFBUVBMEBTQSFTUBÎÜFTOÍPQPEFTFSDPNQFOTBEPVN
EÏCJUPWFODJEPDPNPVUSPBWFODFS%FGBUPTFPEFWFEPSBJOEBEJTQÜFEFQSB[PQBSBFGFUVBS
QBHBNFOUPEFTVBEÓWJEBOÍPQPEFTFSDPNQFMJEPBOUFDJQBEBNFOUFËDPNQFOTBÎÍP
1PSmNOBDPNQFOTBÎÍPMFHBMFYJHFTFRVFBTEÓWJEBTTFKBNEFDPJTBTGVO
HÓWFJTFOUSFTJJTUPÏEBNFTNBOBUVSF[B%JOIFJSPDPNQFOTBTFDPNEJOIFJSPQPS
FYFNQMP"MFJOÍPBENJUFRVFTFDPNQFOTFEJOIFJSPDPNPVUSPPCKFUPQPJTOJOHVÏN
ÏPCSJHBEPBSFDFCFSQSFTUBÎÍPEJWFSTBEPQBDUVBEP
3
%*/*;.BSJB)FMFOBCurso de Direito Civil BrasileiroWPMFE4ÍP1BVMP4BSBJWBQ/PNFTNP
TFOUJEP30%3*(6&44JMWJPDireito Civil: Parte Geral das ObrigaçõesFE4ÍP1BVMP4BSBJWBQ
30%3*(6&44JMWJPDireito Civil: Parte Geral das ObrigaçõesFE4ÍP1BVMP4BSBJWBQ
("(-*"/01BCMP4UPM[F1".1-0/"'*-)03PEPMGPNovo Curso de Direito CivilObrigaçõesFE
4ÍP1BVMP4BSBJWBQ
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A compensação tributária e o regime constitucional
293
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EJHP$JWJMRVFSQFMBWPOUBEFEBTQBSUFTOPTUFSNPTEPBSUJHPEPNFTNPFTUBUVUP
1.2 A compensação em matéria tributária
&NNBUÏSJBmTDBMBDPNQFOTBÎÍPQPTTVJDBSBDUFSÓTUJDBTEJTUJOUBTEBQSFWJTUB
OP$ØEJHP$JWJM
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PCSJHBÎÍPUSJCVUÈSJBÏBPNFTNPUFNQPDSFEPSEPFSÈSJP
®WJTUBEBJOEJTQPOJCJMJEBEFEPTSFDVSTPTQÞCMJDPTFTFOEPPUSJCVUPex legeP
&TUBEPTØQPEFSFBMJ[BSBDPNQFOTBÎÍPMFHBM&ORVBOUPPTQBSUJDVMBSFTUÐNMJWSFEJTQPTJ
ÎÍPEFTFVTCFOTFEJSFJUPTUBMOÍPPDPSSFDPNP&TUBEPBETUSJUPRVFFTUÈBPQSJODÓQJPEB
FTUSJUBMFHBMJEBEFTØQPEFOEPBHJSOPTFTUSFJUPTMJNJUFTRVFMIFQFSNJUFBNPMEVSBMFHBM
0$ØEJHP5SJCVUÈSJP/BDJPOBMRVFWFJDVMBOPSNBTHFSBJTEF%JSFJUP5SJCVUÈ
SJPFCVTDBGVOEBNFOUPEFWBMJEBEFOPBSUJHP***EB$POTUJUVJÎÍP'FEFSBMFTUB
CFMFDFFNTFVBSUJHPRVFQBSBBSFBMJ[BÎÍPEBDPNQFOTBÎÍPIÈOFDFTTJEBEFEF
BVUPSJ[BÎÍPQPSMFJFTQFDÓmDBEPTFOUFTQÞCMJDPTEPUBEPTEFDPNQFUÐODJBUSJCVUÈSJB
-VDJBOP"NBSPEJTDPSSFOEPTPCSFPJOTUJUVUPEBDPNQFOTBÎÍPUSJCVUÈSJBÏQSFDJTP
no direito tributário, não obstante sua inegável utilidade, tem aplicação
restrita aos casos em que a lei expressamente a preveja, nos termos do Art. 170
do Código Tributário Nacional.(...)A compensação, quando couber, é modo
alternativo de satisfação do débito tributário. O sujeito passivo da obrigação
tributária tem, pois, a faculdade legal de extingui-la por compensação, nos
termos do que for previsto pela lei. Por outro lado, embora o Código diga que
a lei pode atribuir à autoridade administrativa competência para autorizar
a compensação, é claro que o legislador pode também, na própria lei, já
permitir a compensação, independentemente de qualquer ato da autoridade
&TUBCFMFDFNDJUBEPTQSFDFJUPTEP$ØEJHP$JWJMiArt. 373. A diferença de causa nas dívidas não impede a
compensação, exceto: I - se provier de esbulho, furto ou roubo; II - se uma se originar de comodato, depósito ou
alimentos; III - se uma for de coisa não suscetível de penhora. Art. 375. Não haverá compensação quando as
partes, por mútuo acordo, a excluírem, ou no caso de renúncia prévia de uma delas”
%JTQÜFFGFUJWBNFOUFDJUBEPEJTQPTJUJWP“Art. 170 – A lei pode nas condições e sob as garantias que estipular, ou
cuja estipulação em cada caso atribuir à autoridade administrativa, autorizar a compensação de créditos tributários
com créditos líquidos e certos, vencidos ou vincendos, do sujeito passivo contra a Fazenda Pública. Parágrafo único – Sendo vincendo o crédito do sujeito passivo, a lei determinará, para os efeitos deste artigo, a apuração do seu
montante, não podendo, porém, cominar redução maior que a correspondente ao juro de 1% (um por cento) ao mês
pelo tempo a decorrer entre a data da compensação e a do vencimento.”
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294
administrativa. Mas não pode, quando conferir à autoridade competência
para ‘autorizar’ a compensação, outorgar-lhe poderes discricionários. Ensina
Pontes de Miranda que, na compensação, não existe BSCJUSJVN por isso,
onde couber a compensação, sua alegação produz efeitos JQTPKVSF
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2. REGIME CONSTITUCIONAL DOS PRECATÓRIOS
&OTJOB'FSOBOEP'BDVSZ4DBGGRVFQSFDBUØSJPÏ“uma ordem de pagar quantia
certa decorrente de decisão judicial transitada em julgado contra a Fazenda Pública.”12
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33
Distrito Federal e os Municípios que, na data de publicação desta Emenda Constitucional, estejam em mora na quitação
de precatórios vencidos, relativos à sua Administração direta e indireta, inclusive os emitidos durante o período de vigência do regime especial instituído por este artigo, farão esses pagamentos de acordo com as normas a seguir estabelecidas,
sendo inaplicável o disposto no art. 100 desta Constituição Federal, exceto em seus §§ 2º, 3º, 9º, 10,11,12,13 e 14, e,
sem prejuízo dos acordos de juízos conciliatórios já formalizados na data de promulgação desta Emenda Constitucional.”
"SUf “Sem prejuízo do disposto neste artigo, lei complementar a esta Constituição Federal poderá
estabelecer regime especial para pagamento de crédito de precatórios de Estados, Distrito Federal e Municípios,
dispondo sobre vinculações à receita corrente líquida e forma e prazo de liquidação.”
"SUf“O regime especial de pagamento de precatório previsto no inciso I do § 1º vigorará enquanto
o valor dos precatórios devidos for superior ao valor dos recursos vinculados, nos termos do § 2º, ambos deste
artigo, ou pelo prazo fixo de até quinze anos, no caso da opção prevista no inciso II, do § 1º.”
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5. A COMPENSAÇÃO DE CRÉDITO TRIBUTÁRIO COM DÉBITO CONSUBSTANCIADO EM
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do referido parcelamento conforme acentua o caput do art. 78, não é possível
atribuir-lhes o efeito liberatório de pagamento das dívidas tributárias (fl. 239).
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Brasil, WPMUPNP***FE4ÍP1BVMP4BSBJWB
#3"4*-&NFOEB$POTUJUVDJPOBMOEFEFOPWFNCSPEF%JÈSJP0mDJBMEB3F
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XXXQMBOBMUPHPWCSÁMUJNPBDFTTPFN
$"37"-)08MBEJNJSEF4PV[B Iniciação ao estudo do precatório4FQBSBUBEB3FWJTUBEF
*OGPSNBÎÍP-FHJTMBUJWBEP4FOBEP'FEFSBM#SBTÓMJBBOPOPVUEF[
%"/5"4'SBODJTDP8JMEP-BDFSEBExecução Contra a Fazenda Pública: Regime de Precatório, FE4ÍP1BVMP.ÏUPEP
%&1-«$*%0&4*-7"Vocabulário Jurídico, FE3JPEF+BOFJSP'PSFOTF
%*/*;.BSJB)FMFOBCurso de Direito Civil BrasileiroWPMFE4ÍP1BVMP4BSBJWB
'&33&*3"&VEJNBS"MWFT Um Estudo sobre a Compensação Tributária. Direito Tributário
e Financeiro Aplicado'FSOBOEP'BDVSZ4DBGGDPPSE
4ÍP1BVMP2VBSUJFS-BUJO
("(-*"/0 1BCMP 4UPM[F 1".1-0/" '*-)0 3PEPMGP Novo Curso de Direito Civil
ObrigaçõesFE4ÍP1BVMP4BSBJWB
)"3"%",JZPTIJPrecatórios. Suspensão do Art. 78 do ADCT. Consequências$POUFÞ
EP+VSÓEJDP#SBTÓMJB%'EF[%JTQPOÓWFMFNIUUQXXXDPOUFVEPKVSJEJDP
DPNCS DPMVOBTDPMVOJTUBWFSÁMUJNPBDFTTPFNKBO
+645&/'*-)0.BSÎBMEstado Democrático de Direito e Responsabilidade Civil do Estado: a
questão dos precatórios#JCMJPUFDB%JHJUBM3FWJTUBEF%JSFJUP1ÞCMJDPEB&DPOPNJBo3%1&
#FMP)PSJ[POUFBOPOKVM
."$)"%0)VHPEF#SJUPCurso de Direito TributárioFE4ÍP1BVMP.BMIFJSPT
."-&3#*%JWB A cláusula pétrea da legalidade tributária e o instituto da compensação, 3F
WJTUBEF%JSFJUP5SJCVUÈSJPO4ÍP1BVMP.BMIFJSPT
."9*.*-*"/0$BSMPT Hermenêutica e Aplicação do DireitoFE3JPEF+BOFJSP'P
SFOTF
0-*7&*3""OUPOJP'MÈWJP Precatórios: Aspectos Administrativos, Constitucionais, Financeiros e Processuais, FE#FMP)PSJ[POUF'PSVN
1"6-4&/-FBOESPDireito Tributário: Constituição e Código Tributário à luz da Doutrina e
da JurisprudênciaFE1PSUP"MFHSF-JWSBSJBEP"EWPHBEP&EJUPSB&4."'&
3&7*45" &-&53¼/*$" $0/46-503 +63¶%*$0 BDFTTBEB BUSBWÏT EP TJUF XXXDPOKVSDPN
CSBHPPO[FFTUBEPTDPOTUBNMFJTBVUPSJ[BNDPNQFOTBÎÍPÁMUJNPBDFTTPFN
30%3*(6&44JMWJPDireito Civil: Parte Geral das ObrigaçõesFE4ÍP1BVMP4BSBJWB
4$"'''FSOBOEP'BDVSZGrandes Questões Atuais de Direito Tributário – 13º volume7BMEJS
EF0MJWFJSB3PDIBDPPSE
4ÍP1BVMP%JBMÏUJDB
4*-7"+PTÏ"GPOTPComentário Contextual à Constituição,FE.BMIFJSPT4ÍP1BVMP
5"7"3&4"MFYBOESF.BDFEPCompensação do Indébito Tributário4ÍP1BVMP%JBMÏUJDB
50-&%0+3'MBWJP$EFO regime especial dos precatórios à luz da Emenda Constitucional
nº 62.#JCMJPUFDB%JHJUBM'ØSVNEF$POUSBUBÎÍPF(FTUÍP1ÞCMJDB'$(1#FMP)PSJ[POUF
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TRANSAÇÃO TRIBUTÁRIA NO BRASIL: POSSIBILIDADES E LIMITES
TRANSACTION TAX INSTITUTE IN BRAZIL: possibilities and limits
Lucilia Aparecida dos Santos1
SUMÁRIO
*OUSPEVÎÍP 5SBOTBÎÍP USJCVUÈSJB OP #SBTJM PSJHFN F GVOEBNFOUP DPOTUJUV
DJPOBM'VOEBNFOUPEFWBMJEBEF5SBOTBÎÍP5SJCVUÈSJBF3FHJNFEF%JSFJUP
1ÞCMJDP4VQSFNBDJBEPJOUFSFTTFQÞCMJDP*OEJTQPOJCJMJEBEFQFMB"ENJ
OJTUSBÎÍPEPJOUFSFTTFQÞCMJDP*OEJTQPOJCJMJEBEFEPJOUFSFTTFQÞCMJDPFUSBOTB
ÎÍPUSJCVUÈSJB5SBOTBÎÍPUSJCVUÈSJBFDPOUPSOPUSBÎBEPQFMBOPSNBHFSBMEPBSUJHP
EP$5/5SBOTBÎÍPUSJCVUÈSJBFGBDVMEBEFEPFOUFQPMÓUJDP5SBOTBÎÍP
USJCVUÈSJBFMFJQFSNJTTJWB4VKFJUPTEBUSBOTBÎÍPUSJCVUÈSJB5SBOTBÎÍPUSJCV
UÈSJBFmOBMJEBEFUFSNJOBUJWBEFMJUÓHJP-JUÓHJPKVEJDJBMFMJUÓHJPBENJOJTUSBUJWP
-JUÓHJPFNPNFOUPEFTVBJOTUBMBÎÍP"MDBODFEPMJUÓHJPOBUSBOTBÎÍP
USJCVUÈSJB5SBOTBÎÍPUSJCVUÈSJBFDPODFTTÜFTSFDÓQSPDBT$PODFTTÜFTNÞ
UVBT$PODFTTÜFTSFDÓQSPDBTFDSÏEJUPUSJCVUÈSJP5SBOTBÎÍPUSJCVUÈSJBF
DPOEJÎÜFTFTUBCFMFDJEBTOBMFJQFSNJTTJWB%JTDSJDJPOBSJFEBEFBENJOJTUSBUJWB
5SBOTBÎÍPFFGFJUPEFFYUJOÎÍPEPDSÏEJUPUSJCVUÈSJP5SBOTBÎÍPUSJCVUÈSJBF
DPOWÐOJPQBSBP*$.45SBOTBÎÍPUSJCVUÈSJBOPEJSFJUPDPNQBSBEP.PEFMPT
FTUSBOHFJSPT$PODMVTÍP3FGFSÐODJBT
RESUMO
0 FTUVEP BQSFTFOUB OB QSJNFJSB QBSUF VN QBOPSBNB HFSBM EP JOTUJUVUP EB USBO
TBÎÍP USJCVUÈSJB OP #SBTJM F BOBMJTB TVB BmOJEBEF DPN P QSJODÓQJP DPOTUJUVDJPOBM
EB JOEJTQPOJCJMJEBEF EP JOUFSFTTF QÞCMJDP DPN EFTUBRVF B BOÈMJTF EB MFHJTMBÎÍP
JOGSBDPOTUJUVDJPOBM "SU EP $5/
B RVBM BTTFHVSB B DBEB FOUF USJCVUBOUF B
PQÎÍPQPMÓUJDBQFMBUSBOTBÎÍPNFEJBOUFPFYFSDÓDJPEBTVBDPNQFUÐODJBMFHJTMBUJWB
BGBTUBEBBBVUPOPNJBEFWPOUBEFEBTQBSUFTQSØQSJBEBTSFMBÎÜFTKVSÓEJDBTEFEJSFJUP
QSJWBEP/BTFHVOEBQBSUFFOGSFOUBRVFTUÜFTQPMÐNJDBTDPNPBQBSFOUFQBSBEPYP
FOUSFBJOEJTQPOJCJMJEBEFEPJOUFSFTTFQÞCMJDPBQPTTJCJMJEBEFEFEJTQPTJÎÍPEPDSÏ
EJUPUSJCVUÈSJPOBUSBOTBÎÍPFBDSJUJDBEBEJTDSJDJPOBSJFEBEFRVFFOWPMWFBBUVBÎÍP
EBBENJOJTUSBÎÍPOBDFMFCSBÎÍPEPTBDPSEPTTFNRVFDPNJTTPTJHOJmRVFMFTÍP
BPJOUFSFTTFQÞCMJDP&YQMPSBPTMJNJUFTEBFYJHÐODJBEFDPOWÐOJPQBSBBUSBOTBÎÍP
RVFFOWPMWBP*$.4"QSFTFOUBBMHVOTNPEFMPTQJODFMBEPTEPEJSFJUPDPNQBSBEP
FBTSFTUSJÎÜFTEPTJTUFNBCSBTJMFJSPQBSBJNQMBOUÈMPT$PODMVJQFMPDBCJNFOUPEB
USBOTBÎÍPOBTFBSBUSJCVUÈSJBEFOUSPEPTMJNJUFTMFHÓUJNPTFNRVFGPJDPODFCJEB
QFMPPSEFOBNFOUPCSBTJMFJSP
ABSTRACT
5IJTUXPQBSUTTUVEZQSFTFOUTPOUIFmSTUQBSUBOPWFSWJFXPG5SBOTBDUJPO5BY
*OTUJUVUF JO #SB[JM BOE BOBMZ[FT UIFJS BGmOJUZ XJUI UIF DPOTUJUVUJPOBM QSJODJQMF
PG VOBWBJMBCJMJUZ PG QVCMJD JOUFSFTU VOEFS DPOTUJUVUJPOBM MFHJTMBUJPO BSU $5/
XIJDI FOTVSFT FBDI HPWFSONFOUBM FOUJUZ UP VTF BO 5SJCVUBSZ 1PMJDZ
BOE USBOTBDUJPO JOTUJUVUF VQPO UIF FYFSDJTF PG JUT MFHJTMBUJWF QPXFST BXBZ UIF
BVUPOPNZPGUIFQBSUJFTPXOMFHBMSFMBUJPOTPGQSJWBUFMBX*OUIFTFDPOEQBSU
GBDJOHDPOUSPWFSTJBMJTTVFTXJUIUIFBQQBSFOUQBSBEPYCFUXFFOUIFVOBWBJMBCJMJUZ
1SPDVSBEPSBEP&TUBEPEF4ÍP1BVMP1ØT(SBEVBÎÍPlatu sensuFN%JSFJUPEP5SBCBMIPQFMB6OJWFSTJEBEF
EF4ÍP1BVMPo641
1ØT(SBEVBÎÍPlatu sensuFN%JSFJUP5SJCVUÈSJPQFMB&41(&
322
Lucilia Aparecida dos Santos
PGQVCMJDJOUFSFTUUIFQPTTJCJMJUZPGQSPWJTJPOPGUIFUBYDSFEJUJOUIFUSBOTBDUJPO
UIBU JOWPMWFT EJTDSFUJPO BOE DSJUJDJ[FE UIF SPMF PG "ENJOJTUSBUJPO JO UIF
DPODMVTJPOPGUIFBHSFFNFOUTXJUIPVUUIFSFCZNFBOMFTJPOUIFQVCMJDJOUFSFTU
&YQMPSFTUIFMJNJUTPGUIFSFRVJSFNFOUPGBHSFFNFOUGPSUIFUSBOTBDUJPOJOWPMWJOH
UIF*$.41SFTFOUTTPNFNPEFMTCSVTIFEDPNQBSBUJWFMBXBOEUIFSFTUSJDUJPOT
PGUIF#SB[JMJBOTZTUFNUPEFQMPZUIFN$PODMVEFTUIFBQQSPQSJBUFOFTTPGUIF
USBOTBDUJPOJOUIFIBSWFTUUBYXJUIJOMJNJUTMFHJUJNBUFJUXBTEFTJHOFECZUIF
#SB[JMJBOMFHBMTZTUFN
Palavras-chavesUSBOTBÎÍPUSJCVUÈSJBoJOUFSFTTFQÞCMJDPoOPSNBHFSBMoDBCJNFOUP
oMJNJUFT
Keywords5SBOTBDUJPOUBYQVCMJDJOUFSFTUHFOFSBMSVMFOPQMBDFoMJNJUT
1. INTRODUÇÃO
0FYBNFEPJOTUJUVUPEBUSBOTBÎÍPUSJCVUÈSJBÏVNDPOWJUFËSFnFYÍPQPJT
UPDBDPODFJUPTPTNBJTWBSJBEPTDPNPPQSJODÓQJPGFEFSBUJWPFBBVUPOPNJBEBTQFT
TPBT QPMÓUJDBT B SFMBÎÍP KVSÓEJDB USJCVUÈSJB F TFVT QFSTPOBHFOT P SFHJNF EF EJSFJUP
QÞCMJDPFTVBSFMBÎÍPVNCJMJDBMDPNPEJSFJUPUSJCVUÈSJPBOPÎÍPEFJOUFSFTTFQÞCMJDP
QSJNÈSJPFTFDVOEÈSJPBOFDFTTJEBEFEFB"ENJOJTUSBÎÍPTFQBVUBSBRVBMRVFSNP
NFOUPFQPSRVBMRVFSNFJPOBmFMQSPTTFDVÎÍPEPJOUFSFTTFQÞCMJDP
-JNJUBNPTOPTTPFTUVEPBPFYBNFEPDBCJNFOUPEBUSBOTBÎÍPUSJCVUÈSJBOP
EJSFJUPCSBTJMFJSPTFVGVOEBNFOUPEFWBMJEBEFTFVEFTFOIPOPSNBUJWPTVBTDBSBD
UFSÓTUJDBTFMJNJUFTBOBMJTBOEPPBQBSFOUFQBSBEPYPFOUSFPQSJODÓQJPEBJOEJTQPOJCJ
MJEBEFEPJOUFSFTTFQÞCMJDPFBQPTTJCJMJEBEFEFEJTQPTJÎÍPEPDSÏEJUPUSJCVUÈSJPOB
USBOTBÎÍPUSJCVUÈSJB
"OBMJTBNPTBBVTÐODJBEFBVUPOPNJBEPTFOUFTGFEFSBEPTFEP%JTUSJUP'F
EFSBMQBSBJOTUJUVJSUSJCVUBÎÍPFYDFQUJWBFNSFMBÎÍPBP*$.4FPSFnFYPEBFYJHÐODJB
DPOTUJUVDJPOBM EF EFMJCFSBÎÍP QSÏWJB EF UPEPT PT FOUFT OB USBOTBÎÍP USJCVUÈSJB $'
"SUf9**H
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$PNQBSBEPOPUBEBNFOUFFNPSEFOBNFOUPTEFJOTQJSBÎÍPDPOUJOFOUBMDPNPOPTTP
POEFPSFHJNFEPBVUPMBOÎBNFOUPJNQPSUBEPEPTTJTUFNBTBOHMPTBYÜFTTFNTFGB[FS
BDPNQBOIBSEPTNFDBOJTNPTBMUFSOBUJWPTEFTPMVÎÍPEFDPOnJUPTMBSHBNFOUFVUJMJ[B
EPTQPSBRVFMFTTJTUFNBTWFNTVGPDBOEPP1PEFS+VEJDJÈSJPDPNPOBUVSBMBVNFOUP
EBTMJEFTUSJCVUÈSJBT
/ÍPJOWFTUJHBNPTOFOIVNBMFJQFSNJTTJWBFTQFDÓmDB"DBTVÓTUJDBBEFNBJT
ÏMJNJUBEBQPJTPQSØQSJPQSFDPODFJUPFNUPSOPEPJOTUJUVUPGSVUPEFBOÈMJTFTTV
QFSmDJBJTFDSÓUJDBTBQSFTTBEBTBGBTUPVPMFHJTMBEPSEBFYQMPSBÎÍPEFTTBGFSSBNFOUB
QPUFODJBMNFOUFSJDBFNTPMVÎÜFTQBSBDPOnJUPTUSJCVUÈSJPT
"P mOBM BQSFTFOUBNPT OPTTBT DPODMVTÜFT DPOWFODJEPT EB WJBCJMJEBEF EB
USBOTBÎÍPUSJCVUÈSJBOPEJSFJUPCSBTJMFJSPQPSÏNDJFOUFTEFRVFFTTFÏTØPJOÓDJPEF
VNFTUVEPRVFNFSFDFTFSBQSPGVOEBEP
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Transação tributária no Brasil: possibilidades e limites
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2. TRANSAÇÃO TRIBUTÁRIA NO BRASIL: ORIGEM E FUNDAMENTO CONSTITUCIONAL
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OFHØDJPKVSÓEJDPCJMBUFSBMFNRVFEVBTPVNBJTQFTTPBTBDPSEBNFN
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$ØEJHP$JWJM 3
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SP
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MIFTQÙSUFSNP
SFDVSTPBDPODFTTÜFTSFDÓQSPDBTQBSBBMDBOÎBSUBMFTDPQPMJNJUBEB
BPTEJSFJUPTEJTQPOÓWFJTQBUSJNPOJBJT
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UJUVUPBPSFHJNFEFEJSFJUPQÞCMJDPQSØQSJPEBTSFMBÎÜFTKVSÓEJDPUSJCVUÈSJBTBGBTUBOEP
BBVUPOPNJBEBWPOUBEFFTTÐODJBEPEJSFJUPQSJWBEP
0MFHJTMBEPSUSJCVUÈSJPFTUÈQMFOBNFOUFBVUPSJ[BEPBSFHVMBSEFGPSNBEJGF
SFODJBEBJOTUJUVUPTEJTDJQMJOBEPTFNPVUSBTÈSFBTEP%JSFJUPOPTUFSNPTEPRVFEJT
QÜFPTBSUJHPTFEP$5/5SBUBTFEBautonomia de qualificaçãoEPMFHJTMBEPS
USJCVUÈSJPFNBUSJCVJSRVBMJmDBÎÜFTEJTUJOUBTBJOTUJUVUPTSFHVMBEPTFNPVUSPTSBNPT
desde que veiculadas em lei e nos limites do ordenamento.
)FMFOP5BWFJSB5ÙSSFTSFDPOIFDFBMFHJUJNJEBEFEBautonomia de qualificação
EPMFHJTMBEPSUSJCVUÈSJPFBEWFSUFRVFBQFOBTBMFJOÍPPJOUÏSQSFUFQPTTVJFTTFQPEFS
3
.*3"/%"1POUFTEF5SBUBEPEF%JSFJUP1SJWBEP7PMVNFQ4ÍP1BVMP35BQVE'*(6&*3&
%01BVMP)FOSJRVFA transação tributária como expressão dos direitos do cidadão.3FDJGF#BHBÎPQ
"EJTDJQMJOBEBUSBOTBÎÍPOPBOUJHP$ØEJHP$JWJMÏTJNJMBSËBUVBMJODMVTJWFFNSFMBÎÍPËMJNJUBÎÍPEB
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$G30%3*(6&44ÓMWJP&ODJDMPQÏEJB4BSBJWBEP%JSFJUP7PMVNFQ4ÍP1BVMP&E4BSBJWB
BQVE$"37"-)03VCFOT.JSBOEBTransação tributária, arbitragem e outras formas convencionadas de solução de lides tributárias. 4ÍP1BVMP+VBSF[EF0MJWFJSBQ
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324
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SJ[F<>"TQSPQSJFEBEFTEFVNNFTNPGBUPEBWJEBQPEFNTFSDPMIJ
EBTTFHVOEPPTEJWFSTPTJOUFSFTTFT<>%FWFSBTOBEBJNQFEFRVFBMFJ
NBTOVODBPJOUÏSQSFUFFNBUPTEFBQMJDBÎÍPQPTTBEBSRVBMJmDBÎÜFT
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/FTTFDPOUFYUPPOPTTPPSEFOBNFOUPUSJCVUÈSJPqualificouPJOTUJUVUPEBUSBO
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disposiçãoOPTUFSNPTDPOEJÎÜFTFMJNJUFTQSFWJTUPTFNMFJ
2.1. Fundamento de validade
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OPTDPNBOEPTDPOTUJUVDJPOBJT PV TFKB B OPSNBEF RVBMRVFS IJFSBSRVJB CVTDB TFV
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O poder jurídicoEFFYJHJSUSJCVUPEPDJEBEÍPUSBOTmHVSBTFFNcompetência tributáriaRVFTVSHFEPHSBOEFFTPCFSBOPBKVTUFEBTPDJFEBEFCSBTJMFJSBFNUPSOPEB$POTUJUVJÎÍP
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1BVMP35Q
$G$"37"-)01BVMPEF#BSSPTCurso de direito tributário4ÍP1BVMP4BSBJWBQ
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3. TRANSAÇÃO TRIBUTÁRIA E REGIME DE DIREITO PÚBLICO
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.&--0$FMTP"OUÙOJP#BOEFJSBEFCurso de Direito Administrativo4ÍP1BVMP.BMIFJSPTQF
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3.1. Supremacia do interesse público
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EFWJEBQFMPTVKFJUPQBTTJWP0DPODFJUPEFTVKFJUPBUJWPQPSUBOUPEFWFJSBMÏNEP
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UPTNBUFSJBMFTQBDJBMFUFNQPSBMOPDPOTFRVFOUFPTDSJUÏSJPTQFTTPBMFRVBOUJUBUJWP<>wCurso de Direto
Tributário – Constituição e Código Tributário Nacional.4ÍP1BVMP4BSBJWBQ
$G$"37"-)01BVMPEF#BSSPT. Curso de direito tributário.4ÍP1BVMP4BSBJWBQ
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"TTJNDPNPPTVKFJUPBUJWPPTFMFNFOUPTQBSBEFUFSNJOBÎÍPEPTVKFJUPQBT
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0 TVKFJUP QBTTJWP EFWF FTUBS JOWFTUJEP EF capacidade tributária passiva PV
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FOTFKBSÈPOBTDJNFOUPEBSFMBÎÍPKVSÓEJDBUSJCVUÈSJBindependentemente da capacidade
jurídica de quem o pratique ou dele participe (CTN, Art. 126). 4FNQSFRVFPMFHJTMBEPS
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4.4. Transação tributária e finalidade terminativa de litígio
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QÙSmNBPMJUÓHJPiA lei pode facultar, nas condições que estabeleça, [...] celebrar transação
que, mediante concessões mútuas, importe em determinação do litígio e consequente extinção do crédito tributáriow
33
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terminarMJUÓHJPTOBUSBOTBÎÍPUSJCVUÈSJBBQFOBTterminarMJUÓHJPT
4.4.1. Litígio judicial e litígio administrativo
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4.4.2. Litígio e momento de sua instalação
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4.4.3. Alcance do litígio na transação tributária
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1BSB )FMFOP 5BWFJSB 5ÙSSFT B USBOTBÎÍP FTUBSJB MJNJUBEB BPT DBTPT FN RVF TF
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$G("-*/"3*$MFETPO.PSFJSBA aplicabilidade da transação no direito tributário brasileiro%JTQPOÓ
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4.5. Transação tributária e concessões recíprocas
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4.6. Transação tributária e condições estabelecidas na lei permissiva
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4.6.1. Discricionariedade administrativa
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BENJOJTUSBUJWB*OBiblioteca Digital Revista Fórum de Direito Tributárioo3'%57PMVNFBOPNBSÎP
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5. TRANSAÇÃO TRIBUTÁRIA E CONVÊNIO PARA O ICMS
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0"SUEB-$OEJTQÜFRVFPTDPOWÐOJPTEFmOJSÍPBTcondições
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QBSJBËFYJHÐODJBEFDPOWÐOJPQSFWJTUBFYQSFTTBNFOUFOPBSUEB-$OKÈ
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CFOFGÓDJP mTDBMw B KVTUJmDBS B FYJHÐODJB EF DPOWÐOJP QBSB FTUBCFMFDFS BT DPOEJÎÜFT
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$PNPBNQMBNFOUFUSBUBEPOPQSFTFOUFFTUVEPPSPMEFDPODFTTÜFTSFDÓQSP
DBTBDPSEBEBTOVNBUSBOTBÎÍPUSJCVUÈSJBQPEFSÈFOWPMWFSSFNJTTÍPQBSDJBMBOJTUJBEF
NVMUBFKVSPTQBSDFMBNFOUPEJGFSFODJBEPEJGFSJNFOUPFOUSFUBOUPTPVUSPTPVTFKB
UPEPTPVNVJUPTEPTJODFOUJWPTFPVCFOFGÓDJPTmTDBJTFNNBUÏSJBEF*$.4QBSBPT
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MBNFOUPFBNQMJBÎÍPEPQSB[PEFSFDPMIJNFOUPDPOGPSNFMFUSBFYQSFTTBEPcaput
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QPEFSÍP DPODFEFS UBJT JODFOUJWPTCFOFGÓDJPT ² P RVF B EPVUSJOB DPTUVNB EFTJHOBS
convênio autorizativo62PVTFKBFTUBCFMFDFVNBGBDVMEBEFBPFOUFGFEFSBEPRVFQPEF
SÈVOJMBUFSBMNFOUFDPODFEFSNFEJBOUFMFJPTJODFOUJWPTFCFOFGÓDJPTOFMFQSFWJTUPT
FNiDPOEJÎÜFTHFSBJTw
)ÈCPBNBSHFNQBSBEJTDJQMJOBJOEJWJEVBMEBUSBOTBÎÍPUSJCVUÈSJBQFMPFOUF
GFEFSBEPTFNQSFQPSMFJPSEJOÈSJBEFTEFRVFPCWJBNFOUFPCTFSWBEPTPTMJNJUFTEBT
iDPOEJÎÜFTHFSBJTwUSBÎBEBTQFMPDPOWÐOJP
&OUFOEFNPTBJOEBRVFDBTPBUSBOTBÎÍPOÍPFOWPMWBBDPODFTTÍPEFCFOF
GÓDJPTPVJODFOUJWPTRVFOÍPPTKÈBVUPSJ[BEPTFNPVUSPTDPOWÐOJPTBJOEBFNWJHPS
DPSSFTQPOEFOEPBBDPSEPFNUPSOPEFRVFTUÜFTDPOUSPWFSUJEBTEFGBUPPVEFEJSFJUP
RVFSFEV[BNPVFYUJOHBNPDSÏEJUPUSJCVUÈSJPOÍPIBWFSÈBOFDFTTJEBEFEFDPOWÐOJP
FYJHJOEPTFEFRVBMRVFSGPSNBMFJPSEJOÈSJBQFSNJTTJWB
$G+03(&5ÈSTJT/BNFUBMB4BSMPManual do ICMS – Direito Tributário Material, Processual e Direito
Penal Tributário3JPEF+BOFJSP&E-VNFO+VSJTQ
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6. TRANSAÇÃO TRIBUTÁRIA NO DIREITO COMPARADO
1BSBPDBUFESÈUJDPEB6OJWFSTJEBEFEF#BSDFMPOB+PTÏ+VBO'FSSFJSB-BQBU[B
OPRVFQFSUJOFËUSBOTBÎÍPFËTGPSNBTBMUFSOBUJWBTEFTPMVÎÍPEFDPOnJUPTUSJCVUÈSJPT
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QPEFNEFJYBSEFTFSBOBMJTBEPTFNDPOKVOUPFNGVOÎÍPEBGPSUFJOnVÐODJBRVFP
TJTUFNBBOHMPTBYÍPFYFSDFVTPCSFPDPOUJOFOUBMOBTÞMUJNBTEÏDBEBT
/PTJTUFNBKVSÓEJDPBOHMPTBYÍPWJHPSBPSFHJNFEPBVUPMBOÎBNFOUPPOEFP
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NFEJBÎÍPEBmTDBMJ[BÎÍP/PTJTUFNBDPOUJOFOUBMPDPOUSJCVJOUFBQFOBTEFDMBSBPT
GBUPTSFMFWBOUFTQBSBPQBHBNFOUPEFUSJCVUPTÏPmTDPRVFNRVBMJmDBFTTFTGBUPTF
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nJUPTFTVBUFOUBUJWBEFDPSSFÎÍPEFSPUB
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TFS TJNQMFTNFOUF USBOTQMBOUBEP QBSB P PSEFOBNFOUP CSBTJMFJSP QPS IBWFS TÏSJBT
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UFSNPTBNCÓHVPTFJNQSFDJTPTEFDPODFJUPTJOEFUFSNJOBEPTQSFTVOÎÜFTFmDÎÜFTRVFNVEBNBSFB
MJEBEFFMJNJUBNPTNFJPTEFQSPWBEBOEPNBSHFNBJOUFSQSFUBÎÜFTEJWFSTBTFDPOEVUBTFMJTJWBTOFN
TFNQSFBDFJUBTQFMB"ENJOJTUSBÎÍP$G-"1"5;"+PTÏ+VBO'FSSFJSPDireito tributário – teoria geral do
tributo5SBEVUPS3PCFSUP#BSCPTB"MWFT#BSVFSJ.BOPMFQ
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MJNJUBÎÜFTDPOTUJUVDJPOBJTVNBWF[RVFOPTTPTJTUFNBUSJCVUÈSJPTFDBSBDUFSJ[BQPS
VNB BNQMB EJTDJQMJOB EF ÉNCJUP DPOTUJUVDJPOBM UPSOBOEPP SÓHJEP F SFTJTUFOUF B
FYQFSJÐODJBTNBJTPVTBEBT$POUVEPBSJHJEF[EPTJTUFNBUSJCVUÈSJPCSBTJMFJSPGBWP
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NBEVSBEPMFHJTMBEPS
6.1. Modelos estrangeiros
" "MFNBOIB MFHÓUJNB SFQSFTFOUBOUF EP TJTUFNB DPOUJOFOUBM EF EFDMBSBÎÍP F
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TFVTJTUFNBQPSJOUFSNÏEJPEBDIBNBEBFOUSFWJTUBmOBMEJTDJQMJOBEBOP"SUEB
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'ÓTJDB
"USBOTBÎÍPUSJCVUÈSJBFRVJWBMFËDJWJMFSFTVMUBFNDPOUSBUPFOUSFB"ENJOJT
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.BJTEFEBTTBOÎÜFTBQMJDBEBTTFSFTPMWFNQFMBUSBOTBÎÍPFWJUBOEPTF
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ÎBNFOUP "QFTBS EBT QSJNFJSBT FYQFSJÐODJBT DPN NÏUPEPT BMUFSOBUJWPT EF TPMVÎÍP
EFDPOnJUPTEBUBSFNEFBQFOBTFNBTNPEJmDBÎÜFTNBJTJNQPSUBOUFT
GPSBN FGFUJWBNFOUF JNQMBOUBEBT NPUJWBEBT QFMPT FMFWBEPT ÓOEJDFT EF MJUJHJPTJEBEF
USJCVUÈSJB1SFWJTUPOP%FDSFUP-FHJTMBUJWPOEFPaccertamento
con adesioneQPTTVJBNQMPÉNCJUPEFBQMJDBÎÍPUFOEPDPNPGVOEBNFOUPBJOTUJUVDJP
OBMJ[BÎÍPEPEJÈMPHPFOUSFBTQBSUFT
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#BSVFSJ.BOPMFQ
$G-"1"5;"+PTÏ+VBO'FSSFJSPDireito tributário – teoria geral do tributo5SBEVUPS3PCFSUP#BSCPTB
"MWFT#BSVFSJ.BOPMFQ
$G.03"*4$BSMPT:VSJ"SBVKPEF5SBOTBÎÍPFBSCJUSBHFNFNNBUÏSJBUSJCVUÈSJBBFYQFSJÐODJBFT
USBOHFJSBFTVBBQMJDBCJMJEBEFBPEJSFJUPCSBTJMFJSP*ORevista Tributária e de Finanças Públicas7PMVNF
BOPNBSÎPBCSJMQ4ÍP1BVMP35
$G(0%0:"SOBMEP4BNQBJPEF.PSBFTTransação tributária – introdução à justiça fiscal consensual.
#FMP)PSJ[POUF&E'ØSVNQ
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O accertamento con adesione, negoziato PV accertamento concordato DPOTUJUVJTF
QPSUBOUPOVNBDPSEPFOUSFB"ENJOJTUSBÎÍPFPDPOUSJCVJOUFBQBSUJSEFVNQSPDFEJNFO
UPDPOUSBEJUØSJPRVFDVMNJOBFNDPNQSPNJTTPTPCSFPTBTQFDUPTDPOUSPWFSUJEPTEBFTUJ
NBUJWBEPJNQPTUPQPEFOEPSFTVMUBSFNSFEVÎÍPPVNPEJmDBÎÍPEBQSFUFOTÍPFTUBUBM
"OUFT EP JOÓDJP EP DPOUSBEJUØSJP QPEFSÈ PDPSSFS B aquiescenza BQFOBT QBSB
SFEVÎÍPEBTTBOÎÜFT/PÉNCJUPKVEJDJBMFYJTUFBconciliazione giudizialeDPNFYUJOÎÍP
EPMJUÓHJPQFMPDPOTFOTPFFYUJOÎÍPEPQSPDFTTPKVEJDJBM
0 TVDFTTP BMDBOÎBEP QFMB *UÈMJB OB SFEVÎÍP EBT MJEFT USJCVUÈSJBT JOTQJSPV B
&TQBOIBQBÓTEB&VSPQBRVFNBJTBDPMIFVPTJTUFNBEBBVUPMJRVJEBÎÍPFRVFNBJT
SFTJTUJVBPTNFDBOJTNPTBMUFSOBUJWPTEFTPMVÎÍPEFDPOnJUPTBJOUSPEV[JSBJOEB
RVFUJNJEBNFOUFNPEJmDBÎÜFTFNTFVTJTUFNBKVSÓEJDP&NTVSHJVBmHVSBEB
acta com acuerdoQSFWJTUBOPBSUEB-FZ(FOFSBM5SJCVUBSJBOJUJEBNFOUFJOTQJSBEB
OPJOTUJUVUPJUBMJBOP
7. CONCLUSÃO
*OTQJSBEBOBUSBOTBÎÍPEP%JSFJUP$JWJMBUSBOTBÎÍPUSJCVUÈSJBBEBQUPVP
JOTUJUVUPBPSFHJNFEFEJSFJUPQÞCMJDPQSØQSJPEBTSFMBÎÜFTKVSÓEJDPUSJCVUÈSJBTBGBT
UBOEPBBVUPOPNJBEBWPOUBEF$PNBTRVBMJmDBÎÜFTTPGSJEBTBQBSUJSEBTVBEJTDJQMJOB
QFMPSFHJNFKVSÓEJDPUSJCVUÈSJPBUSBOTBÎÍPQBSUJDVMBSJ[PVTF/ÍPPCTUBOUFIBWFSBDPS
EPFOUSFBTQBSUFTOÍPIÈBVUPOPNJBEFWPOUBEF
/P&TUBEP%FNPDSÈUJDPEF%JSFJUPBOPSNBEFRVBMRVFSIJFSBSRVJBCVTDB
TFVGVOEBNFOUPÞMUJNPEFWBMJEBEFOPUFYUPDPOTUJUVDJPOBM"USBOTBÎÍPUSJCVUÈSJBFO
DPOUSBTFVGVOEBNFOUPEFWBMJEBEFOBDPNQFUÐODJBUSJCVUÈSJBEBQFTTPBQPMÓUJDBQBSB
DSJBSFDPOTFRVFOUFNFOUFQBSBEJTQPSEPTUSJCVUPTNFEJBOUFMFJFTQFDÓmDBEPFOUF
USJCVUBOUFOPTMJNJUFTEPPSEFOBNFOUP"SUfEB$'
0%JSFJUP5SJCVUÈSJPFTUÈTVKFJUPBPSFHJNFKVSÓEJDPEFEJSFJUPQÞCMJDPRVF
TFRVBMJmDBFEFMJNJUBFNGVOÎÍPEFEPJTQSJODÓQJPTB
TVQSFNBDJBEPJOUFSFTTFQÞ
CMJDPTPCSFPQSJWBEPC
JOEJTQPOJCJMJEBEFQFMB"ENJOJTUSBÎÍPEPJOUFSFTTFQÞCMJ
DP"TVQSFNBDJBEPJOUFSFTTFQÞCMJDPTPCSFPQSJWBEPQSPDMBNBBTVQFSJPSJEBEFEP
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5¼33&4)FMFOPDireito Tributário e Direito Privado: autonomia privada, simulação, elisão
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RESPGE - SP
São Paulo
v. 3
n. 1
jan./dez. 2012
p. 321 a 352
ESPGE
ISSN 2179-8532
9 772179 853008
ESPGE

RESPGE - Procuradoria Geral do Estado de São Paulo

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