Thesis (Ph. D.)--Ohio State University, 2005. / Title from first page of PDF file. Document formatted into pages; contains xiv, 421 p.; also includes graphics. Includes bibliographical references (p. 390-412). Available online via OhioLINK's ETD Center

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Conventional wisdom views authoritarian legislatures as 'rubber stamps'. According to this model, non-democratic parliaments are entirely subservient to dominant executives, having no influence on the development of policy; as a result, all bills introduced into the legislature become laws without amendment. Although these bodies might perform other functions, they serve - according to this account - a purely ceremonial function in the policy-making process. There is evidence, however, inconsistent with this portrayal from a range of non-democracies, including evidence of executive bill failure and bill amendment. Existing attempts to explain these apparently deviant observations refer to some degree of legislative autonomy - bills fail and change as a result of legislator influence. According to these accounts, authoritarian elites use legislatures to co-opt members of the opposition and to gather information about citizen grievances. This dissertation, in contrast, argues that legislative activity in non-democracies can be driven by executive concerns. Whereas the 'rubber stamp' model infers from executive dominance an absence of legislative activity, the approach proposed by this dissertation suggests there are a variety of reasons why executive actors might want to amend or kill off their own bills in the legislature. In particular, these legislative policy developments can result from clashes between executive factions, which use legislative institutions to monitor, challenge, and amend each others' proposals. This dissertation proposes and assesses this new approach using fine-grained data on legislative processes and outputs from the contemporary Russian State Duma. The analysis draws on a variety of data sources, using both qualitative and quantitative methods. The findings suggest that legislative institutions can still 'matter' in non-democracies, even with an entirely subservient body of legislators.

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This thesis seeks to define the American President's role as legislative leader and to trace the origin and development of that role throughout the history of the office of the presidency. Presidents were not consistently active in this capacity until the middle of the twentieth century. The first part of the thesis examines precedents set by strong presidents prior to and early in the twentieth century, as well as an important institutional change in the government, the creation of the Budget System, which smoothed the way for Presidential adoption of the tasks of legislative leader. The middle sections of the work examine the three American Presidents who fully adopted and institutionalized the role of legislative leader within the presidency, Franklin Roosevelt, Harry Truman and [)wight Eisenhower. Finally, the conclusions section examines the implications of presidential adoption of this role in the American system of government with respect to the balance between the President and the Congress. Research for this paper consisted of careful examination of primary sources, books and periodicals covering the history of the presidency, as well as examination of political commentary on the office and many of its occupants. In addition, communication with the Office of Legislative Reference in the Executive Office of the President provided helpful information.

published_or_final_version / Law / Doctoral / Doctor of Philosophy

O objeto central desta dissertação é a transição da crise política estabelecida durante o governo João Goulart para o Golpe Político Militar de 1964. Trabalhando especificamente com a dimensão política do Golpe de Estado, analisamos o conflito conjuntural sistêmico existente entre o Poder Executivo e o Poder Legislativo como sendo sua principal causa político-institucional. Partimos então da seguinte questão: como em um intervalo de menos de três anos o Poder Legislativo foi capaz de abandonar sua postura anti-golpista, sendo determinante para a efetivação do regime militar? Nesse contexto, formulamos a hipótese de que, além de potencializar os conflitos ideológicos da sociedade, as decisões políticas tomadas no Congresso Nacional em meio aos debates sobre as reformas foram cruciais para o desgaste e isolamento político de João Goulart. De tal modo, avaliamos como a incompatibilidade entre o caráter reformista do Poder Executivo e a predominância de uma postura conservadora no Congresso Nacional foi determinante para o término do período democrático da República de 46. Utilizamos os Diários do Congresso Nacional, os discursos presidenciais e as atas de algumas Convenções Partidárias, para analisar os principais conflitos políticos ocorridos entre 1963 e 1964, sendo eles: o restabelecimento do presidencialismo, o Plano Trienal, as negociações em torno de diferentes projetos de Reforma Agrária, a Vigília Cívica, e os conflitos ocorridos durante o mês de março de 1964. Deste modo, buscamos contrapor as teses que tendem a explicar o Golpe de 1964 a partir da justificativa de que ele foi resultado da radicalização dos autores, ou até mesmo, da falta de um compromisso com o regime democrático. Assim, no decorrer da pesquisa buscamos apresentar o protagonismo exercido pelo Poder Legislativo no processo de formulação, execução e legitimação do Golpe de Estado. / The main object of this dissertation is the transition of the political crisis established during the government of João Goulart, to the Political Military Coup of 1964. Considering specifically the political dimension of the coup, we analysed the existing conflict between the executive and the legislative power based on a systemic conjuncture, and as the main political-institutional cause. Therefore, we assume the following question: How was the legislative power capable, in less than three years, of abandoning its anti-coup position, being decisive on the validation of the military regime? In this context, we came up with the hypothesis that, besides potentiating ideological conflicts of society, the political decisions taken in congress during debates about reforms were crucial for the political wearing out and isolation of João Goulart. In that way, we evaluated how the incapability between the reformist character of the executive power and the predominance of a conservative posture on congress was decisive to the end of the democratic times of the Republic of 46. We used the National Congress diaries, presidential speeches and the minutes of a few party conventions to analyse the main political conflicts occurred between 1963 and 1964, being them: the reestablishment of the presidential system, the Triennial Plan, negotiations surrounding different agrarian reform projects, civic vigil, and the conflicts occurred during the March of 1964. Among the objectives of this research, we intended to oppose the thesis, which tend to explain the Military Coup with the justification that it was the result of a radicalization of its authors, or even a lack of 8 compromise with the democratic regime. Therefore, along the research, we intended to present the role of the legislative power in the formulation, execution and legitimation process of the coup.

A presente dissertação tem como objetivo o estudo do controle de constitucionalidade que envolve finalidades. Nesse âmbito, o trabalho pretende identificar e analisar quais as principais relações que as finalidades nutrem com as normas jurídicas e com outras finalidades; que fatores exercem influência sobre essas relações; qual a posição do legislador ordinário em face das finalidades da Constituição; e quais os tipos de raciocínio de que se vale o julgador ao lidar com fins. Para tanto, com arrimo na doutrina e na jurisprudência, a dissertação desenvolve certas distinções, tais como: finalidades contidas nas normas e finalidades justificantes das normas; normas-comando e normas-fim; valores e estados de coisas; relações conceituais e relações causais; promoção e restrição; oposição e divergência; interpretação e concretização, além de procurar estabelecer alguns critérios mínimos para a decisão no controle finalístico. Com base nos conceitos trabalhados, estuda-se o chamado desvio de poder legislativo. Com o fito de aplicar e exemplificar as ideias desenvolvidas, coletam-se manifestações de ministros do Supremo Tribunal Federal em litígios submetidos a sua apreciação. Relaciona-se sucintamente, por fim, o tema principal com os temas: controle incidental, efeitos da decisão e natureza da inconstitucionalidade / This dissertation aims to study the constitutionality control that involves finalities. In this extent, the work intends to identify and analyze which are the main relationships that finalities maintain with juridical norms and other finalities; which factors influence these relationships; which is the position of ordinary legislator in view of Constitution; and what kinds of reasoning the judge apply when dealing with ends. To perform this task, with the support of doctrine and jurisprudence, the dissertation develops some distinctions as: finalities contained in norms and finalities that justify norms; command-norms and endnorms; values and states of affairs; conceptual relationships and causal relationships; promotion and restriction; opposition and divergence; interpretation and concretization, besides attempting to establish some minimum criteria to the decision in finalistic control. On the basis of these concepts, the work studies the so-called deviation of legislative power. In order to apply and exemplify the developed ideas, there are selected some manifestations of judges from Supreme Federal Court in disputes submitted to their appreciation. At last, the dissertation briefly relates the main theme to the following themes: incidental control, decision effects and nature of unconstitutionality.

As análises recentes sobre a participação do Poder Legislativo na definição da política externa nacional criticam o entendimento de que os parlamentares brasileiros seriam desinteressados nas questões externas. Assume-se que o comportamento parlamentar apareceria circunscrito por limitantes político-institucionais, os quais definiriam a forma como ocorre a participação. A presente pesquisa parte desse pressuposto para avaliar os trabalhos legislativos no âmbito da Comissão de Relações Exteriores e Defesa Nacional do Senado Federal. Os achados permitem afirmar que os membros da Comissão assumiram não somente uma postura interessada, mas também exerceram controle e influenciaram a política externa colocada em vigor pelo Executivo. / Recent analyses about the participation of the Legislative Power on the definition of the national foreign policy review the judgment that the Brazilian members of parliament are disinterested in external issues. It is assumed that the parliamentary behavior appears circumscribed by political and institutional restrains, which are defining the manner on which participation occurs. The present research parts from this presumption to evaluate the legislative work in the Foreign Policy and National Defense Committee of the Federal Senate. The findings allow us to affirm that the Committee members not only assumed an interested posture, but also exerted control and influenced the foreign policy carried out by the Executive Power.