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
 4XDQGR WUDWDPRV GD IXQomR VRFLDO GR 'LUHLWR QR VHJXQGR FDStWXOR  YLPRV TXH DV VXDV SULQFLSDLV
ILQDOLGDGHV VmR SUHYHQLU H FRPSRU FRQIOLWRV GHVWDV D IXQomR SUHYHQWLYD p D PDLV LPSRUWDQWH 2 'LUHLWR p
PXLWR PDLV SUHYHQWLYR GR TXH UHSUHVVLYR ( DL GH QyV VH DVVLP QmR IRVVH &RPR R 'LUHLWR SUHYLQH RV
FRQIOLWRV" (VWDEHOHFHQGR UHJUDV GH FRQGXWD GH GLVFLSOLQDPHQWR VRFLDO 'HVVD IRUPD H[HUFH R 'LUHLWR VREUH
WRGRV XP FRQGLFLRQDPHQWR TXH UHVXOWD QXP FRQWUROH GR FRPSRUWDPHQWR GR LQGLYtGXR GR JUXSR H GDV
LQVWLWXLo}HV4XDQGRDQRUPDQmRpDSOLFDGDFRQYHQLHQWHPHQWHYDLVHSHUGHQGRRFRQWUROHGDVLWXDomRHDYLGD
HPVRFLHGDGHYDLVHWRUQDQGRLPSRVVtYHO
2FRQWUROHVRFLDOpH[HUFLGRSHOR'LUHLWRSULPHLUDPHQWHSHODSUHYHQomRJHUDODTXHODFRDomRSVLFROyJLFD
RXLQWLPLGDomRH[HUFLGDVREUHWRGRVPHGLDQWHDDPHDoDGHXPDSHQDSDUDRWUDQVJUHVVRUGDQRUPD,VWRID]
FRPTXHPXLWRVPHVPRQmRTXHUHQGRDMXVWHPRVHXFRPSRUWDPHQWRjVSUHVFULo}HVOHJDLVSDUDQmRVRIUHUHP
DVDQomR%HUWUDQG5XVVHOREVHUYRXFRPWRGDDSURSULHGDGHTXHRERPFRPSRUWDPHQWRDWpGRFLGDGmRPDLV
H[HPSODU GHYH PXLWR j H[LVWrQFLD GD SROtFLD e LQFRQFHEtYHO XPD VRFLHGDGH QD TXDO R FRPSRUWDPHQWR VRFLDO
VHMDUHJXODPHQWDGRDSHQDVSHODVVDQo}HVPRUDLVGRHORJLRHGDFXOSD
(PVHJXQGROXJDURFRQWUROHpWDPEpPH[HUFLGRSHODSUHYHQomRHVSHFLDODVHJUHJDomRGRWUDQVJUHVVRU
GR PHLR VRFLDO RX D DSOLFDomR GH XPD SHQD SHFXQLiULD LQGHQL]DWyULD SDUD WHU GD SUy[LPD YH] TXH VH VHQWLU
LQFOLQDGRDWUDQVJUHGLUDQRUPDPDLRUHVWtPXORQRVHQWLGRGHDMXVWDUVXDFRQGXWDjVFRQGLo}HVH[LVWHQFLDLV2
SUySULR (VWDGR D VRFLHGDGH JOREDO VRIUH R FRQWUROH GR 'LUHLWR TXDQWR j VXD FRQGXWD WDQWR DVVLP TXH QmR
SRGH SXQLU VHP TXH DOJXpP WHQKD SUDWLFDGR XP IDWR WtSLFR QmR SRGH DSRGHUDUVH GD SURSULHGDGH GH TXHP
TXLVHUDQmRVHUDWUDYpVGRVPHLRVFRQVWLWXFLRQDLVHWF
6mRLQVWUXPHQWRVGHVVHFRQWUROHRVSULQFtSLRVGDlegalidade, impessoalidade, moralidade, publicidade e
eficiência LPSRVWRV SHOR DUWLJR  GD &RQVWLWXLomR )HGHUDO FRPR GH REVHUYkQFLD QHFHVViULD SDUD WRGD D
DGPLQLVWUDomRS~EOLFDGLUHWDHLQGLUHWDGHTXDOTXHUGRV3RGHUHVGD8QLmRGRV(VWDGRVGR'LVWULWR)HGHUDOH
GRV0XQLFtSLRV

47.2. Efeito educativo da norma

(VWiPDLVTXHHYLGHQFLDGRDWUDYpVGHSHVTXLVDVHGDSUySULDH[SHULrQFLDTXHFHUWRVDVVXQWRVWRUQDPVH
PHOKRU FRQKHFLGRV GR JUXSR VRFLDO GHSRLV GH VHUHP GLVFLSOLQDGRV SHOD OHL e TXH D OHL DQWHV GH VH WRUQDU
REULJDWyULD WHP TXH VHU GLYXOJDGD SXEOLFDGD H DVVLP j PHGLGD TXH YDL VHQGR FRQKHFLGD SHOR JUXSR YDL
WDPEpPHGXFDQGRHHVFODUHFHQGRDRSLQLmRS~EOLFD
([HPSOR GLVVR HQFRQWUDPRV QR 'LUHLWR 7UDEDOKLVWD 4XDOTXHU WUDEDOKDGRU GRV QRVVRV GLDV PHVPR R
LJQRUDQWH RX DQDOIDEHWR FRQKHFH RV VHXV GLUHLWRV 6DEH TXH WHP GLUHLWR D IpULDV ƒ VDOiULR IXQGR GH
JDUDQWLD UHSRXVR UHPXQHUDGR DYLVR SUpYLR HWF 3RU TXr" 2QGH DSUHQGHX" 1mR IRL FRP R SDWUmR QHP QD
(VFRODGH'LUHLWRPDVVLPQRSUySULRJUXSR(HOHVDEHDWpPHVPRRQGHHFRPRUHFODPDURVVHXVGLUHLWRV$
&RQVWLWXLomR GH  QRV IRUQHFH RXWUR H[HPSOR HORTXHQWH GHVVH HIHLWR HGXFDWLYR GD OHL &RQVFLHQWL]RX R
FLGDGmR GRV VHXV GLUHLWRV H GR DFHVVR j -XVWLoD QR TXH IRL FRDGMXYDGD SHOR &yGLJR GR &RQVXPLGRU 3URYD
GLVVRVmRRV-XL]DGRV(VSHFLDLVJUDQGHPHQWHSURFXUDGRV6yQR(VWDGRGR5LRGH-DQHLURQRDQRGH
IRUDP SURSRVWDV  UHFODPDo}HV H MXOJDGDV    (P  IRUDP DMXL]DGDV 
UHFODPDo}HV H MXOJDGDV    YDOH GL]HU RV MXL]DGRV FRQWLQXDUDP MXOJDQGR D PDLV UHGX]LQGR R
DFHUYR DWUDVDGR 2V Q~PHURV GH UHFODPDo}HV GLVWULEXtGDV FRQWLQXDP VXELQGR  HP  MXOJDGDV
  HP  MXOJDGDV  H  HP  MXOJDGDV  $V HPSUHVDV SRU VXD
YH] HP IDFH GD QRYD SRVWXUD GRV FRQVXPLGRUHV SHUFHEHUDP TXH WHULDP GH DWHQGHU PHOKRU RV VHXV FOLHQWHV
SDUDQmRSHUGrORVPDLVGRTXHLVVRTXHSRGLDPDSUHQGHUFRPHOHVSDUDPHOKRUDUVHXVSURGXWRVHVHUYLoRV
(VWUXWXUDUDPVH DGHTXDGDPHQWH H FRORFDUDP HP RSHUDomR R 6HUYLoR GH $WHQGLPHQWR DR &OLHQWH 6$&  SRU
PHLR GR TXDO FRQVHJXLUDP SDGURQL]DU SURFHGLPHQWRV UDFLRQDOL]DU DWLYLGDGHV FRQTXLVWDU D ILGHOLGDGH GRV
FOLHQWHV H FRQVWUXLU XPD LPDJHP SRVLWLYD GD HPSUHVD +RMH  GR DWHQGLPHQWR GRV EDQFRV  KRUDV VmR
IHLWRV HOHWURQLFDPHQWH 8PD JUDQGH IRUQHFHGRUD GH VHUYLoR GH WHOHIRQLD DWHQGH PDLV GH  PLOK}HV GH
FKDPDGDVSRUPrVeDIXQomRHGXFDWLYDGR'LUHLWR
2XWUR H[HPSOR HORTXHQWH p D /HL 6HFD /HL Q   TXH HQWURX HP YLJRU HP  GH MXQKR GH
(PEDODQoRIHLWRQRILQDOGRSULPHLURDQRGHYLJrQFLDGD/HL6HFDR0LQLVWpULRGD6D~GHFRQVWDWRXTXH
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