PROGDQGRRjVXDLPDJHPHVHPHOKDQoD&DEHDROHJLVODGRUDMXVWDUR'LUHLWR3RVLWLYRDHVVDUHDOLGDGHVRFLDO

VRE SHQD GH QXQFD HODERUDU OHL HILFD] $ HILFiFLD GH XPD OHL GHSHQGH GR UHFRQKHFLPHQWR GD DFHLWDomR H GD
DGHVmRGDVRFLHGDGHDHVVDOHLDQRUPDMXUtGLFDFRPRDVGHPDLVQRUPDVVRFLDLVSDUDTXHVHMDFXPSULGDSDUD
TXH VH FRQYHUWD HP IRUoD HIHWLYDPHQWH FRQILJXUDGRUD GDV FRQGXWDV H[LJH XP FRQKHFLPHQWR XPD DGHVmR GD
FRPXQLGDGHLVWRpGDPDLRUSDUWHGRVLQGLYtGXRVTXHLQWHJUDPRJUXSReJUDoDVDHVVHUHFRQKHFLPHQWRTXH
DQRUPDVHLQFRUSRUDjYLGDGRJUXSR
1HVVHVHQWLGRpWDPEpPDFRUUHWDOLomRGH3DXOR1DGHU³2OHJLVODGRUQmRSRGHVHUPHURHVSHFWDGRUGR
SDQRUDPD VRFLDO 6H RV IDWRV FDPLQKDP QRUPDOPHQWH j IUHQWH GR 'LUHLWR FRQIRUPH RV LQWHUHVVHV D VHUHP
SUHVHUYDGRV R OHJLVODGRU GHYHUi DQWHFLSDUVH DRV IDWRV (OH GHYH ID]HU GDV OHLV XPD FySLD GRV FRVWXPHV
VRFLDLV FRP DV GHYLGDV FRUUHo}HV H FRPSOHPHQWDo}HV 2 Volksgeist GHYH LQIRUPDU jV OHLV PDV R 'LUHLWR
FRQWHPSRUkQHRQmRpVLPSOHVUHSHWLGRUGHIyUPXODVVXJHULGDVSHODYLGDVRFLDO6HGHXPODGRR'LUHLWRUHFHEH
JUDQGH LQIOX[R GRV IDWRV VRFLDLV SURYRFD LJXDOPHQWH LPSRUWDQWHV PRGLILFDo}HV QD VRFLHGDGH 4XDQGR GD
HODERUDomR GD OHL R OHJLVODGRU KDYHUi GH FRQVLGHUDU RV IDWRUHV KLVWyULFR QDWXUDO H FLHQWtILFR H D VXD FRQGXWD
VHUi D GH DGRWDU HQWUH YiULRV PRGHORV SRVVtYHLV GH OHL DTXHOH TXH PDLV VH KDUPRQL]H FRP RV WUrV IDWRUHV´
2EFLWS 
3HORH[SRVWRYHULILFDVHVHUDHILFiFLDXPGRVHIHLWRVGDQRUPD(IHLWRpJrQHURHILFiFLDpHVSpFLHeR
HIHLWRWtSLFRGDQRUPDVHXHIHLWRSULQFLSDORXUHDOeXPDFHUWDTXDOLGDGHGRHIHLWRSURGX]LGRSHODQRUPDXP
HIHLWRFRQGL]HQWHFRPVXDVILQDOLGDGHV

47. EFEITOS POSITIVOS DA LEI

-iYLPRVTXHHIHLWRVVmRWRGRVHTXDLVTXHUUHVXOWDGRVSURGX]LGRVSHODQRUPD(VVHVHIHLWRVSRGHPVHU
SRVLWLYRV RX QHJDWLYRV (IHLWRV SRVLWLYRV VmR RV UHVXOWDGRV FRPSDWtYHLV FRP RV LQWHUHVVHV VRFLDLV H
QHJDWLYRVa contrario sensuVmRRVUHVXOWDGRVFRQWUiULRVDRVLQWHUHVVHVGDVRFLHGDGH
2 HVWXGR GRV HIHLWRV GD OHL p HP RXWUDV SDODYUDV R HVWXGR GD LQIOXrQFLD FRQGLFLRQDQWH GR 'LUHLWR
FRQVWLWXtGRVREUHDVRFLHGDGHGDTXDOIDODYD6LFKHVFRQIRUPHPHQFLRQDGRQDSDUWHDQWHULRU
$ QRUPD TXDQGR HILFD] SURGX] QRUPDOPHQWH HIHLWRV SRVLWLYRV 3RGHPRV DWp GL]HU TXH D HILFiFLD p R
SULQFLSDO HIHLWR SRVLWLYR GD QRUPD $ QRUPD HILFD] Vy QmR SURGX] HIHLWRV SRVLWLYRV VH FRQFRUUHUHP RXWURV
IDWRUHVFRPRWHUHPRVRSRUWXQLGDGHGHYHU
(QWUHRVHIHLWRVSRVLWLYRVGDQRUPDGHVWDFDUHPRVDSHQDVTXDWUR

 GHFRQWUROHVRFLDO
 HGXFDWLYR
 FRQVHUYDGRU
 WUDQVIRUPDGRU


47.1. O controle social

2FRQWUROHVRFLDOpXPGRVWHPDVPDLVLPSRUWDQWHVHDEUDQJHQWHVGDVRFLRORJLD2VHXREMHWLYRFRPXPp
DGDSWDUDFRQGXWDGDVSHVVRDV QDWXUDLVHMXUtGLFDV DRVSDGU}HVGHFRPSRUWDPHQWRVGRPLQDQWHV
4XDQWRDRVPRGRVGHH[HUFtFLRRFRQWUROHSRGHVHUGHorientaçãoRXGHfiscalização
4XDQWR DRV GHVWLQDWiULRV R FRQWUROH VRFLDO SRGH VHU localizado RX difuso ± ILVFDOL]DomR GR
FRPSRUWDPHQWRGHWRGRVRVFLGDGmRV4XDQWRDRVDJHQWHVUHDOL]DGRUHVRFRQWUROHSRGHVHUIHLWRSHORVórgãos
estatais RX SHOD sociedade ± SUHVVmR H[HUFLGD SHOD RSLQLmR S~EOLFD SHOD IDPtOLD SHOR DPELHQWH GH WUDEDOKR
6$%$'(//$QD/XFLD2EFLWS 
(P QRVVR HQWHQGHU R FRQWUROH VRFLDO PDLV DEUDQJHQWH H HIHWLYR p DTXHOH TXH p H[HUFLGR SHOR SUySULR
'LUHLWR
HOD UHGX]LX HP  R tQGLFH GH PRUWHV QR WUkQVLWR QDV  FDSLWDLV GR SDtV H HP  R Q~PHUR GH
LQWHUQDo}HVKRVSLWDODUHVGHYtWLPDVGHGHVDVWUHVQRWUkQVLWR5HGX]LXWDPEpPRVFDVRVGHYLROrQFLDGRPpVWLFD
±YtWLPDVGHHVSDQFDPHQWRHVSHFLDOPHQWHPXOKHUHVHFULDQoDV
3DUD R HQWmR 0LQLVWUR GD -XVWLoD 7DUVR *HQUR R LPSDFWR GD /HL 6HFD DLQGD QmR DWLQJLX RV QtYHLV
HVSHUDGRV PDV RV GDGRV GR 0LQLVWpULR GD 6D~GH VmR DXVSLFLRVRV ³1RVVD FRQFOXVmR é que se iniciou uma
grande mudança 1mR VH WUDWD GH WHU XPD YLVmR WULXQIDOLVWD GD OHL PDV GH FRQFOXLU TXH HOD WHYH efeitos
altamente positivos QmR Vy QD FRQGXWD GDV DXWRULGDGHV S~EOLFDV SDUD FRLELU R XVR GR iOFRRO DVVRFLDGR j
GLUHomR PDV QD HQRUPH VDWLVIDomR GDV SHVVRDV TXH VRSUDP R EDI{PHWUR DR VHUHP ILVFDOL]DGDV´ O Globo,
 

47.3. Efeito conservador da norma

$VQRUPDVMXUtGLFDVWXWHODPGHWHUPLQDGRVEHQVGDYLGDVRFLDOTXHVHWUDQVIRUPDPHPMXUtGLFRVTXDQGR
UHFHEHPDSURWHomRGR'LUHLWR7RPHPRVFRPRH[HPSORR'LUHLWR3HQDOWRGDVDVQRUPDVTXHLQFULPLQDPR
KRPLFtGLRRLQIDQWLFtGLRRDERUWRYLVDPDWXWHODGDYLGDDVTXHLQFULPLQDPRIXUWRRURXERRHVWHOLRQDWR
SURWHJHPRSDWULP{QLRHDVVLPSRUGLDQWH
$ QRUPD WXWHOD QmR VRPHQWH EHQV PDV WDPEpP LQVWLWXLo}HV 4XDQGR R OHJLVODGRU HQWHQGH TXH FHUWDV
LQVWLWXLo}HVVmRYDOLRVDVHLQGLVSHQViYHLVjYLGDVRFLDOFHUFDDVGHIHQGHDVHVWDEHOHFHQGRHPWRUQRGHODVD
SURWHomR MXUtGLFD 9HMDP R FDVR GD IDPtOLD 7UDWDVH GH LQVWLWXLomR EDVLODU GD VRFLHGDGH ( R TXH VH IH] HP
UHODomRDHOD"3URFXURXVHSURWHJrODDWUDYpVGHXPDLQILQLGDGHGHQRUPDV+iQRUPDVQR&yGLJR&LYLO XP
OLYURWRGRTXHVyWUDWDGRGLUHLWRGHIDPtOLD QR&yGLJR3HQDO GRVFULPHVFRQWUDDIDPtOLDDUWV H
QD SUySULD &RQVWLWXLomR GHVWLQDGDV j SURWHomR GD IDPtOLD $VVLP WHP FRQVHJXLGR D VRFLHGDGH EHP RX PDO
SUHVHUYDUHVWDLQVWLWXLomRDWUDYpVGRVVpFXORVHDGHVSHLWRGHWRGDVDVLQIOXrQFLDVSHUQLFLRVDVTXHFRQVSLUDP
FRQWUD HOD 2 SUySULR (VWDGR TXH p D LQVWLWXLomR PDLRU QHFHVVLWD GD SURWHomR GR 'LUHLWR H SRU LVVR H[LVWHP
OHLVDFRPHoDUSHOD&RQVWLWXLomRGHVWLQDGDVDRUJDQL]iORHFRQVHUYiOR
$IXQomRFRQVHUYDGRUDGR'LUHLWRDVVLQDODRLQVLJQH$QGUp)UDQFR0RQWRUROLJDVHDRFDUiWHUHVWiWLFR
TXH HOH UHSUHVHQWD DR JDUDQWLU D PDQXWHQomR GD RUGHP VRFLDO H[LVWHQWH 3DUD PXLWRV HVVD p D FDUDFWHUtVWLFD
HVVHQFLDO GDV QRUPDV MXUtGLFDV PDV QR HQWHQGHU GR LOXVWUH MXULVWD LVVR Vy p YHUGDGH HP SDtVHV SOHQDPHQWH
GHVHQYROYLGRV HVWDELOL]DGRV H RUJDQL]DGRV 1RV SDtVHV HP GHVHQYROYLPHQWR H WUDQVIRUPDo}HV SURIXQGDV R
HUURGHVVDSRVLomRpSDWHQWH5HGX]LURGLUHLWRDXPDIRUoDFRQVHUYDGRUDpSHUSHWXDURVXEGHVHQYROYLPHQWRH
RDWUDVR Introdução à ciência do direito.HG6mR3DXOR5HYGRV7ULEXQDLVS 'DtDLPSRUWkQFLD
GR'LUHLWRFRPRLQVWUXPHQWRGHWUDQVIRUPDo}HVVRFLDLV

47.4. Efeito transformador da norma

e DTXL TXH SHUFHEHPRV PDLV GLUHWDPHQWH R HIHLWR FRQGLFLRQDQWH GR 'LUHLWR VREUH D VRFLHGDGH 0XLWDV
YH]HV HP UD]mR GH QHFHVVLGDGHV VHQWLGDV D QRUPD HVWDEHOHFH QRYDV GLUHWUL]HV D VHUHP VHJXLGDV IL[D QRYRV
SULQFtSLRV D VHUHP REVHUYDGRV HP GHWHUPLQDGDV TXHVW}HV GHWHUPLQD D UHDOL]DomR GH FHUWDV PRGLILFDo}HV $
VRFLHGDGH HQWmR SDUD GDU FXPSULPHQWR j OHL WHP TXH VH HVWUXWXUDU HTXLSDUVH DSDUHOKDUVH H DVVLP
SDXODWLQDPHQWHYDLRSHUDQGRVHQVtYHLVWUDQVIRUPDo}HVHPVHXPHLR(LVDtRHIHLWRWUDQVIRUPDGRUGDOHL
([HPSOLILTXHPRVHVWHSRQWRFRPDVLWXDomRGRWUDEDOKDGRUDQWHVGDVYLJHQWHVOHLVWUDEDOKLVWDV4XDOHUD
D VXD VLWXDomR" $ PDLV ODPHQWiYHO SRVVtYHO 7UDEDOKDYD D YLGD WRGD H GHSRLV GH YHOKR H FDQVDGR HUD
GLVSHQVDGRVHPTXDOTXHUGLUHLWR&RPRQmRPDLVSRGLDWUDEDOKDUILFDYDDRGHVDPSDURSDVVDQGRSULYDo}HVH
FDXVDQGR SUREOHPDV VRFLDLV JUDYHV ,VVR WHYH TXH VHU PXGDGR YLHUDP DV OHLV WUDEDOKLVWDV H SUHYLGHQFLiULDV
HVWDEHOHFHQGR HP IDYRU GR WUDEDOKDGRU GLUHLWR D IpULDV LQGHQL]DomR DSRVHQWDGRULD DVVLVWrQFLD PpGLFR
KRVSLWDODUDX[tOLRGHGRHQoDLQGHQL]DomRSRUDFLGHQWHGHWUDEDOKRHWF(TXDOIRLDFRQVHTXrQFLDGLVVRWXGR"
$ VRFLHGDGH WHYH TXH VH HVWUXWXUDU DSDUHOKDUVH SDUD FXPSULU D OHL H R UHVXOWDGR IRL XPD WUDQVIRUPDomR
VRFLDO $V IiEULFDV H LQG~VWULDV WLYHUDP TXH RIHUHFHU PHOKRUHV FRQGLo}HV H DPELHQWH GH WUDEDOKR DRV VHXV
HPSUHJDGRVPXLWDVGHODVFRPUHIHLWyULRYHVWLiULRHVFRODFUHFKHDPEXODWyULRIRLQHFHVViULRDWpDFULDomRGH
XPJLJDQWHQDFLRQDO ,166 SDUDFXLGDUGDDSRVHQWDGRULDHDVVLVWrQFLDPpGLFDGRVWUDEDOKDGRUHVTXHSRUVHU
JUDQGHGHPDLVQmRIXQFLRQDDFRQWHQWR
2XWUR H[HPSOR 1R SDVVDGR D SHQD HUD FRQVLGHUDGD XP FDVWLJR RX SXQLomR PDO MXVWR FRQWUD TXHP
SUDWLFRXPDOLQMXVWR1HVVHWHPSRTXDQWRSLRUHVDVSULV}HVPHOKRU6HRILPGDSHQDHUDSXQLUHQWmRRUpX
GHYHULD VHU PHVPR FRORFDGR QR SLRU OXJDU GR PXQGR 9rP GDt DV PDVPRUUDV RV FDODERXoRV DV SULV}HV
IpWLGDV LPXQGDV H QRFLYDV EHP FRPR DV SHQDV PDLV WHUUtYHLV TXH VH SRVVD LPDJLQDU +i TXHP GLJD TXH D
KLVWyULDGDSHQDpSLRUTXHDGRFULPH
(VVDSRVLomRTXDQWRjSHQDWURX[HRVSLRUHVUHVXOWDGRVVRFLDLVSRVVtYHLVSRLVQDGDID]LDQRVHQWLGRGD
UHFXSHUDomR GR FULPLQRVR QHP QR VHQWLGR GH SUHYHQLU D VRFLHGDGH FRQWUD D IXWXUD FULPLQDOLGDGH 7RUQDYD R
UpX SLRU ± PDLV SHULJRVR UHYROWDGR H GHVSUHSDUDGR SDUD YROWDU j VRFLHGDGH $ SULVmR SDVVRX D VHU D PHOKRU
HVFRODGHFULPH3LRUGRTXHWXGRQmRGDYDjVRFLHGDGHQHQKXPLQVWUXPHQWRGHGHIHVDFRQWUDHVVHLQGLYtGXR
HVHXVIXWXURVFULPHV
3RU WRGRV HVVHV PRWLYRV R SHQVDPHQWR PRGHUQR D UHVSHLWR GRV ILQV GD SHQD PXGRX 3URFXUDVH KRMH
ID]HUGDSHQDXPLQVWUXPHQWRGHGHIHVDVRFLDODWULEXLQGROKHXPDIXQomRSUHYHQWLYD$SHQDQmRpPDLVXPD
IRUPD GH FDVWLJR RX SXQLomR PDV VLP XP PHLR GH UHHGXFDomR H UHVVRFLDOL]DomR GR UpX 1mR YDPRV PDLV
SXQLUPDVFRUULJLU
3DUD WDQWR R TXH VHUi SUHFLVR" 2QGH HGXFDU" 1D SULVmR" 1D PDVPRUUD" &RPR FDVWLJDQGR
LPSLHGRVDPHQWH" 1mR (QWmR VHUi SUHFLVR WUDQVIRUPDU QRVVDV SULV}HV HP HVFRODV H UHIRUPDWyULRV 6H H
TXDQGRLVVRDFRQWHFHUWHUiDQRUPDH[HUFLGRDVXDLQIOXrQFLDWUDQVIRUPDGRUD3HORPHQRVMiVHIDODKRMHHP
UHIRUPD SHQLWHQFLiULD H HP DOJXQV HVWDGRV Mi FRPHoDP D VXUJLU DV SULPHLUDV WUDQVIRUPDo}HV DWUDYpV GH
PRGHUQRVHVWDEHOHFLPHQWRVSHQDLVDGHTXDGRVjVQRYDVH[LJrQFLDVOHJDLV
6HPG~YLGDRPHOKRUH[HPSORGRHIHLWRWUDQVIRUPDGRUGR'LUHLWRYDPRVHQFRQWUDUQDVOHLVHFRQ{PLFDV
TXHLPSODQWDUDPR3ODQR5HDO$HFRQRPLDGRSDtVHVWDYDjGHULYDFRPXPDLQIODomRDVWURQ{PLFDFRUURHQGR
RVDOiULRGRWUDEDOKDGRUJHUDQGRPLVpULDIRPHGHVHTXLOtEULRVRFLDOHDEXVRVHFRQ{PLFRVGHWRGDRUGHP$
HVWDELOL]DomR GD PRHGD TXH HVSHUDPRV VHMD GXUDGRXUD WURX[H XPD PHOKRU GLVWULEXLomR GH UHQGD HIHWLYR
FRQWUROH GRV SUHoRV PDLRU SRGHU DTXLVLWLYR GD SRSXODomR TXH HP FRQVHTXrQFLD SDVVRX D FRPHU PDLV H
PHOKRU $ UHIRUPD HFRQ{PLFD GHVHQFDGHRX RXWUDV UHIRUPDV QD SUHYLGrQFLD QD $GPLQLVWUDomR 3~EOLFD QR
PRQRSyOLR HVWDWDO QD SULYDWL]DomR GH HVWDWDLV QD RUGHP WULEXWiULD WRGDV FRP DPSOR DSRLR GD VRFLHGDGH
JHUDQGRSURIXQGDVDOWHUDo}HVQDUHDOLGDGHEUDVLOHLUD
,VVRWXGRHYLGHQFLDTXHR'LUHLWRTXDQGRFRUUHWDPHQWHXWLOL]DGRSRGHVHURJUDQGHLQVWUXPHQWRGHXPD
SROtWLFDGRGHVHQYROYLPHQWRQDFLRQDO&HUWDVOHLVFRPRDVRUoDPHQWiULDVFRPDQGDPDH[HFXomRGHSODQRVGH
GHVHQYROYLPHQWR VRFLDO PHGLDQWH QRUPDV TXH SURPRYHP D HGXFDomR D VD~GH R EHPHVWDU D FXOWXUD H D
SDUWLFLSDomRHTXLWDWLYDGHWRGDDSRSXODomRQDUHQGDQDFLRQDO
6RE R WtWXOR ³$ GpFDGD JDQKD´ 5LFDUGR 3DHV GH %DUURV SHVTXLVDGRU GR ,3($ HVFUHYHX O Globo,
  ³'HVGH R LQtFLR GR QRYR PLOrQLR D UHQGD per capita YHP DXPHQWDQGR SDUD WRGRV HPERUD RV
PDLV SREUHV WHQKDP H[SHULPHQWDGR R PDLRU FUHVFLPHQWR   $ UHQGD GRV PDLV SREUHV FUHVFH D XP ULWPR
FKLQrVHQTXDQWRTXHRVPDLVULFRVSHUFHEHPWD[DGHFUHVFLPHQWRVLPLODUjGD$OHPDQKD
(VWDGLIHUHQoDpUHIOH[RGHXPDTXHGDVHPSUHFHGHQWHVQRJUDXGHGHVLJXDOGDGHQRSDtVTXHDOLDGDDR
FUHVFLPHQWR HFRQ{PLFR IH] FRP TXH UHGX]tVVHPRV D H[WUHPD SREUH]D j PHWDGH DR ORQJR GR ~OWLPR
TXLQTXrQLR YHORFLGDGH FLQFR YH]HV PDLV DFHOHUDGD TXH D SUHFRQL]DGD SHOR 3ULPHLUR 2EMHWLYR GR 0LOrQLR
UHGX]LUDH[WUHPDSREUH]DjPHWDGHHPDQRV 
$VVLPWmRIXQGDPHQWDOTXDQWRRHVSHWDFXODUSURJUHVVRDOFDQoDGRpDPDQXWHQomRGHVWDWUDMHWyULD&RPR
RDPELHQWHHFRQ{PLFRHDQDWXUH]DGDSREUH]DVHDOWHUDPFRQWLQXDPHQWHRJUDQGHGHVDILRjIUHQWHpGHVHQKDU
HUHGHVHQKDURVSURJUDPDVVRFLDLVSDUDTXHQmRVHSHUFDDH[FHSFLRQDOHIHWLYLGDGHGHPRQVWUDGDDWpHQWmR´

48. EFEITOS NEGATIVOS DA NORMA

(ODERUDGD SDUD SURGX]LU HIHLWRV SRVLWLYRV SRGH D QRUPD HQWUHWDQWR HP GDGDV FLUFXQVWkQFLDV SURGX]LU
HIHLWRV QHJDWLYRV FRQWUiULRV DRV LQWHUHVVHV VRFLDLV e FODUR TXH TXDQGR LVVR FKHJD D DFRQWHFHU p WHPSR GH
UHYRJDUDOHLVXEVWLWXLQGRDSRURXWUDPDLVDGHTXDGD