O presente trabalho tem como objetivo a análise da atuação da jurisprudência como base de confiança no contexto do ordenamento jurídico, na vigência da Constituição da República Federativa do Brasil de 1988. Especial atenção será dispensada à construção dos contornos da autovinculação do Poder Judiciário, que permite que o indivíduo possa ter a legítima expectiva de que o entendimento adotado pela jurisprudência será aplicado a seu caso e, em consequência, possa legitimamente definir sua conduta com base nesse entendimento, permitindo, por consequência, que a jurisprudência atue como base de confiança. Receberão atenção especial também os elementos que permitem aferir a aptidão da jurisprudência para gerar confiança e avaliar a evolução da capacidade da jurisprudência para gear confiança no tempo. A pesquisa desenvolvida é exploratória quanto a sua técnica e justificativa quanto a seu objetivo. É exploratória, porque busca no ordenamento jurídico brasileiro, na jurisprudência do Supremo Tribunal Federal e do Superior Tribunal de Justiça assim como na doutrina elementos que permitam compreender a atuação da jurisprudência como base de confiança; é justificativa quanto a seu objetivo, pois busca compreender os fenômenos jurídicos envolvidos na atuação da jurisprudência como base de confiança, buscando explicálos adequadamente e identificar, no âmbito do ordenamento jurídico brasileiro, os elementos que permitem construir a autovinculação do Poder Judiciário e que possibilitam estabelecer critérios para a aferição da aptidão da jurisprudência para gerar confiança. Deste estudo resulta que a autovinculação do Poder Judiciário no ordenamento jurídico brasileiro e a definição de seus contornos podem ser reconstruídas não apenas a partir de princípios estruturantes — como o princípio da igualdade e o princípio da segurança jurídica — e de postulados hermenêuticos — como o postulado da unidade e o postulado da coerência —, mas também dos diversos mecanismos que visam a assegurar que, uma vez que a interpretação do texto normativo pelo Poder Judiciário atingiu determinado grau de definitividade, ela seja adotada nos outros casos sujeitos à aplicação da norma, seja pelo Poder Judiciário, seja pela Administração Pública, exigindo-se que os indivíduos se conformem com a aplicação dessa interpretação, a partir dos quais pode ser induzida uma regra geral segundo a qual: a) o Poder Judiciário deve uniformizar e estabilizar a interpretação dada aos textos normativos e o conteúdo das normas a partir deles reconstruídas; b) uma vez uniformizado e estabilizado o conteúdo da norma, ele deverá ser adotado pelo Poder Judiciário e pela Administração Pública nos demais casos em que a norma for aplicável; e c) os indivíduos devem se conformar com essa aplicação. Resulta, também, que a utilização pelo Poder Judiciário (e, em alguns casos, também pela Administração Pública) de mecanismos processuais cuja aplicação pressupõe a existência de jurisprudência que ostente as características que a tornam apta a atuar como base de confiança fornece elementos para que se afira se a jurisprudência está apta a atuar como base de confiança e para acompanhar a evolução no tempo da capacidade da jurisprudência de gerar confiança e da intensidade da confiança gerada. / This work aims at analyzing precedents as the basis for legitimate expectation within the Brazilian legal system under the 1988 Constitution, especially concerning the definition of the circunstances under what will a precedent be considered binding, allowing individuals to legitimately expect that their cases will be ruled in accordance with the suitable precedent, and of the conditions for precedents to be deemed suitable to serve as grounds for legitimate expectation and of the criteria to gauge whether precedents can generate expectation. Attention will be given also to the criteria to assess whether case law generates confidence and to follow the evolution of its capability of generating confidence. This research conducted is exploratory as to its method and justificatory as to its objective. It is exploratory because it seeks to find within the Brazilian legal system and case law, as well as within doctrine, instruments to understand the role of precedents as grounds for legitimate expectation. It is justificatory as to its objective in that it seeks to understand the legal phenomena involved in precedents as the grounds for legitimate expectation, by seeking to explain such phenomena properly and to identify within the Brazilian legal system the conditions that must be present for precedent to become the grounds for legitimate expectation and the criteria that can be applied to assess whether precedent is suitable to generate expectation. This study has demonstrated that the hypothesis in which judicial courts must follow precedents can be defined not only according to principles and postulates, but also in accordance with the mechanisms provided for in the Brazilian legal system to ensure that, once the judiciary has consolidated the interpretation of a given legislative text, said interpretation is adopted in other cases that are subject to the application of the precedent whether by the judiciary or by public authorities, while demanding that individuals comply with the application of this interpretation. From these mechanisms, a general rule can be drawn whereby: a) the judiciary should standardize and consolidate the interpretation given to legislative texts and the content of the rules drawn therefrom; b) once the content of the rules are standardized and consolidated, they must be adopted by the judiciary and by the public administration in other cases to which the same standard applies; and c) individuals must comply with such application. This general rule evidences the boundaries of the binding effects of the precedents within the Brazilian legal system and the suitability of precedents as grounds for legitimate expectation, as a means to define the behavior to be adopted by the individual. These mechanisms also allow for the definition of the criteria to assess whether case law generates confidence and to follow the evolution of its capability of generating confidence.

Este trabalho versa sobre a aplicação do princípio da confiança legítima no Direito Tributário brasileiro, com foco no art. 100, inciso III, do Código Tributário Nacional (CTN), que trata das práticas reiteradamente observadas pelas autoridades administrativas. Parte-se da origem do princípio, aproximando a investigação por meio do princípio da segurança jurídica, da certeza do direito e da irretroatividade; em seguida, diferencia-se a proteção da confiança da boa-fé objetiva e prossegue-se pelo princípio da legalidade e a evolução jurisprudencial a respeito da conservação positiva ou negativa dos atos eivados de vícios quando deles se originaram direitos. Foca-se, então, nos requisitos para a configuração da confiança digna de proteção e os mecanismos de proteção positiva ou negativa dessa confiança. Desse ponto em diante, o estudo passa a desenhar a proteção da confiança legítima nos atos do Poder Executivo, por meio da análise do art. 100 do CTN, como fonte secundária de direito tributário. Conceituam-se as normas complementares, a origem e sua função, para então proceder-se ao exame específico das práticas reiteradamente observadas pelas autoridades administrativas e sua relação com o princípio da confiança legítima. Em seguida, analisa-se o parágrafo único do art. 100 do CTN para avaliar se são corretas a não atualização monetária da base de cálculo do tributo e a admissão de retroatividade parcial dos efeitos do reconhecimento da ilegalidade da prática administrativa em que confiou o contribuinte. Examina-se, de início, se a inércia da Administração Pública acerca de lançamento cuja homologação se dê de maneira tácita seria um silêncio positivo a configurar prática reiterada suficiente para dar respaldo à proteção do parágrafo único do art. 100 do CTN. O estudo avalia se, no caso dos tributos indiretos, pela impossibilidade de o contribuinte transferir ao consumidor a exação, justificaria uma proteção maior do que aquela conferida pelo próprio parágrafo único do art. 100 do CTN. Por derradeiro, a norma do art. 146 é confrontada com a do art. 100, inciso III, ambos do CTN, para fins de estabelecer os campos de aplicação de uma e de outra e em que medida elas se relacionam com a proteção da confiança legítima. / This work deals with the application of the principle of legitimate expectations in Brazilian tax law, focusing on Article 100, section III of the Brazilian Tax Code, which deals with the practices observed repeatedly by administrative authorities. The proposed scientific part of the origin of the principle, approaching research through the principle of legal security, legal certainty and non-retroactivity. Then differentiates the protection of reliable objective good faith and goes by the principle of legality and judicial developments regarding conservation (positive or negative) of the acts riddled with addictions when their rights originated. Focuses, then, on the requirements for setting up trust worthy of protection and the protection mechanisms positive or negative that trust. Thereafter the study is to draw back the protection of legitimate expectations in the acts of the Executive, through the analysis of Article 100 of the Internal Revenue Code, as secondary sources of tax law. Conceptualize themselves supplementary rules, the origin and function, down to the specific scope of practice repeatedly observed by the administrative authorities and their relation to the principle of legitimate expectations. Then we analyze the sole paragraph of article 100 of the Internal Revenue Code to assess whether it is correct not to monetary base tax calculation and admission of retroactivity of the effects of partial recognition of the illegality of administrative practice that relied on the taxpayer. Turning to specific issues initially analyzed is the inertia of public administration, which tacitly approves taxes charged for approval, would be a positive silence configuring repeated practice enough to give birth to protect the sole paragraph of article 100 of the Tax Code national. The study evaluates whether, in the case of indirect taxes, the inability of the taxpayer to transfer the consumer the exaction would justify greater protection than that afforded by the sole paragraph of article 100 of the Internal Revenue Code. Finally, the norm of Article 146 is confronted with Article 100, item III, both of the National Tax Code, for purposes of establishing fields of application of one and the other and the extent to which both relate to the protection of legitimate expectations.

The concept of legitimate expectations plays a significant role in international investment law. Although it is only in the past roughly fifteen years that the concept has come to the spotlight, its importance and utilization is on the rise. Generally speaking, the concept of legitimate expectations, under certain conditions, allows a foreign investor to claim compensation in situations where the conduct of a host State creates a legitimate and reasonable expectation that the investor may rely on such conduct, and consequently the host State fails to fulfill those expectations, causing damages to the investor. However, the concept of protection of legitimate expectations has stirred up debates as to the legitimacy of its use in investment law and raised concerns due to its imprecise boundaries and excessively extensive interpretation. Accordingly, it is the goal of this thesis to either confirm or refute two main propositions. The first proposition suggests that the principle of protection of legitimate expectations is an established principle of investment law with traceable origins in both domestic law and general international law. The examination of the first proposition addresses theoretical roots of the concept of legitimate expectations justifying its application in investment law together...

This dissertation analyses the implications of international investment law on host states’ legal ability to protect the environment, regulate sustainable use of natural resources, and develop new approaches to manage environmental risks and uncertainties. ‘Environmental policy space’ is found to be a useful term when exploring the regulatory autonomy in this context. On one hand, investment law aims to ensure stability of the investment environment. On the other hand, environmental law needs flexibility to react to the degradation of the environment. It is found that those different aims do not have to be in conflict. There are useful mechanisms in national environmental law which provide for accessible, transparent and predictable decisions for the private actor. These mechanisms can fulfill the aim of stability in investment law. It is, however, concluded that core provisions of international investment treaties risk to put constraints to environmental law in a variety of ways. To diminish these risks, states, when concluding investment treaties, should make clear that constraining environmental regulation is not compatible with the overarching aim of sustainable development. Furthermore, the interpretation of provisions of investment protection must respect principles and instruments of environmental law not to continue being unbalanced towards investor interests. It is also concluded that allowing for investor – state arbitration, without the investor exhausting local remedies, will ignore the important national administrative review system of public environmental measures.

Le législateur a introduit, à la fin des années 1980, une institution permettant à tout individu majeur et apte de confier, advenant son inaptitude, son bien-être, la gestion de ses biens et, de façon générale, sa protection à une personne en qui il a confiance. Cette institution s’appelle le mandat donné en prévision de l’inaptitude du mandant. Toutefois, les besoins du mandant ne peuvent être déterminés avec précision avant la survenance de son inaptitude. Cette situation a amené une certaine doctrine, en vue d’assurer la sauvegarde de l’autonomie résiduelle du mandant, à invoquer en matière de mandat de protection les principes gouvernant les régimes de protection. Malheureusement, en l’absence de disposition expresse à cet effet, il semble que cette voie ne puisse être adoptée. En conséquence, le présent mémoire tente de démontrer que les principes énoncés à la Charte des droits et libertés de la personne et les fondements du régime contractuel prévu au Code civil du Québec permettent d’assurer la protection du mandant dans le respect de ses intérêts et de ses attentes légitimes. Cette approche concilie également le respect de l’autonomie résiduelle du mandant, de ses volontés et de son besoin de protection et assure l’efficacité de l’institution. / In the late 1980s, the legislator introduced an institution allowing an individual of full age and able to exercise his civil rights to entrust, in the event of his inability, his well-being, the administration of his patrimony and, in general, his protection to a trusty person. This institution is called the mandate given in anticipation of the mandator’s incapacity. However, the onset of the mandator’s inability is a precondition to an accurate evaluation of his needs. This situation has led a certain doctrine, in order to safeguard the residual autonomy of the mandator, to invoke the principles governing the protective supervision of a person of full age. Unfortunately, without a specific provision to that effect, it appears that this pathway cannot be adopted. Accordingly, this text attempts to demonstrate that the principles brought up by the Charter of human rights and freedoms and the general provisions governing contractual agreements under the Civil Code of Québec allows to ensure the protection of the mandator in respect of his interests and his legitimate expectations. This approach also reconciles the respect of the mandator’s residual autonomy, his wishes and his need of protection and ensures the effectiveness of the institution.

Šiame moksliniame tyrime nagrinėjamas teisėtų lūkesčių principo turinio įgyvendinimas valstybės tarnyboje. Siekiant atskleisti temą, analizuojami Valstybės tarnybos įstatymas, valstybės ekonominę būklę apibūdinantys teisės aktai, teismų praktika bei Lietuvos ir užsienio mokslinė literatūra. Pirmoje dalyje aptariama teisėtų lūkesčių principo kilmės istorija bei samprata. Analizuojant teisės šaltinius, atskleidžiama, kada asmuo gali įgyti teisėtus lūkesčius bei valstybės pareiga gerbti asmens teises. Tuo pačiu nurodoma, jog teisėtų lūkesčių principas nėra absoliutus bei atskleidžiamos aplinkybės, kurioms egzistuojant, viešoji valdžia gali keisti teisinį reglamentavimą. Antroje mokslinio tyrimo dalyje pabrėžiamas valstybės tarnautojų vaidmuo valstybės valdyme bei valstybės pareiga paisyti šių asmenų teisėtų lūkesčių. Nagrinėjami teisės aktai, reglamentuojantys valstybės tarnautojų darbo užmokesčio dydį bei socialines garantijas, ir atskleidžiami konkretūs aukščiausių valstybės institucijų priimti sprendimai, kurie pažeidžia valstybės tarnautojų teisėtus lūkesčius ir kelia nepasitikėjimą valstybe. Trečioje mokslinio tyrimo dalyje yra apžvelgiama naujausia Europos Teisingumo Teismo praktika, kurioje nagrinėjamas Europos Sąjungos pareigūnų darbo užmokesčio ir socialinių garantijų didinimo ribojimo klausimas. Tuo pačiu, atsižvelgiant į antrojoje dalyje identifikuotas problemas, yra analizuojama Konstitucinio Teismo jurisprudencija bei suformuojamos pagrindinės sąlygos, kurias... [toliau žr. visą tekstą] / In this scientific research the implementation of substance of principle of legitimate expectations in the public service is analyzed. In order to reveal the point of this subject, the Public service Act, act’s revealing complicated economical and financial situation of state, Court practice and scientific literature of Lithuania as well as foreign countries are analyzed. Firstly, we discuss historical development and conception of principle of legitimate expectations. Analyzing sources of law we reveal when person is able to gain legitimate expectations and duty of state to respect person’s rights. Herewith, it is said that principle of legitimate expectations is not undeniable and circumstances when public authority is able to chance it legal acts are revealed. In Part two we reveal the importance of officials in administration of state and the duty of state to respect officials’ legitimate expectations. Herewith, legal acts related with officials’ salary and social securities are analyzed and problems that arise: decisions which were made by authority of state and which can infringe officials’ legitimate expectations and trust in state. In Part three the point of practice of European Court of Justice of the European Union realated with officials’ salaries and social securities restraint is revealed. Herewith, readers attention is paid to situation in Lithuania: we recall problems identified in Part two and analyze practice of Constitutional Court in order to set main... [to full text]

Le législateur a introduit, à la fin des années 1980, une institution permettant à tout individu majeur et apte de confier, advenant son inaptitude, son bien-être, la gestion de ses biens et, de façon générale, sa protection à une personne en qui il a confiance. Cette institution s’appelle le mandat donné en prévision de l’inaptitude du mandant. Toutefois, les besoins du mandant ne peuvent être déterminés avec précision avant la survenance de son inaptitude. Cette situation a amené une certaine doctrine, en vue d’assurer la sauvegarde de l’autonomie résiduelle du mandant, à invoquer en matière de mandat de protection les principes gouvernant les régimes de protection. Malheureusement, en l’absence de disposition expresse à cet effet, il semble que cette voie ne puisse être adoptée. En conséquence, le présent mémoire tente de démontrer que les principes énoncés à la Charte des droits et libertés de la personne et les fondements du régime contractuel prévu au Code civil du Québec permettent d’assurer la protection du mandant dans le respect de ses intérêts et de ses attentes légitimes. Cette approche concilie également le respect de l’autonomie résiduelle du mandant, de ses volontés et de son besoin de protection et assure l’efficacité de l’institution. / In the late 1980s, the legislator introduced an institution allowing an individual of full age and able to exercise his civil rights to entrust, in the event of his inability, his well-being, the administration of his patrimony and, in general, his protection to a trusty person. This institution is called the mandate given in anticipation of the mandator’s incapacity. However, the onset of the mandator’s inability is a precondition to an accurate evaluation of his needs. This situation has led a certain doctrine, in order to safeguard the residual autonomy of the mandator, to invoke the principles governing the protective supervision of a person of full age. Unfortunately, without a specific provision to that effect, it appears that this pathway cannot be adopted. Accordingly, this text attempts to demonstrate that the principles brought up by the Charter of human rights and freedoms and the general provisions governing contractual agreements under the Civil Code of Québec allows to ensure the protection of the mandator in respect of his interests and his legitimate expectations. This approach also reconciles the respect of the mandator’s residual autonomy, his wishes and his need of protection and ensures the effectiveness of the institution.

Driving a car or another vehicle involves a risk per se, but it is allowed since it is a necessary activity for society. However, the risk remains. That is the reason for demanding from drivers a duty of care. Nevertheless, how far should this duty go?In the present article, the author analyzes the precedent in negligent crimes in the road traffic.The author emphasizes that it is necessary to apply technical regulations, also taking into account other factors that may cause the risk, and not limiting the reasoning to understand that the drivers are the only guilty participants. / Conducir un auto u otro medio de transporte de por sí implica un riesgo, pero se permite por ser una actividad necesaria. No obstante, el riesgo permanece, y es por ello que se exige a los conductores un deber de cuidado. Pero, ¿hasta dóndedebe llegar ese deber?En el presente artículo, el autor hace un análisis de cómo la jurisprudencia viene pronunciándose acerca de los delitos imprudentes en el marco del tráfico rodado, haciendo énfasis en que es necesario aplicar las reglas técnicas teniendo en cuenta también otros factores que pueden causar los hechos, y no quedándose con entender a los conductores como los únicos culpables.

La force obligatoire du contrat est universelle. Ce consensus contraste fortement avec les débats qui affectent les règles qui lui sont consacrées : quelle est l’assise du contrat ? faut-il que la cause et l’objet demeurent des conditions de sa validité ? comment adapter la protection du consentement aux contrats d’adhésion ? faut-il faire de la lutte contre les clauses abusives une question de droit commun ? quelle place accorder à la bonne foi ? quel office reconnaître au juge ? faut-il admettre la révision judiciaire pour imprévision ? quel rôle laisser à l’interprétation objective ? quel rôle reconnaître à l’article 1135 du Code civil ? de quelles sanctions assortir l’inexécution du contrat ? existe-t-il une hiérarchie entre elles ? comment concilier la prolifération des exceptions au principe d’intangibilité du contrat avec la cohérence d’ensemble de la force obligatoire ? A ces diverses questions, notamment, l’étude se propose de répondre en révélant le chaînon permettant de mettre en cohérence les règles relatives à la force obligatoire : l’intérêt au contrat, lequel désigne les éléments essentiels et « essentialisés » déterminants du consentement des parties. Organisée autour de ce pivot, la force obligatoire promeut et garantit le respect de l’intérêt au contrat, en application des fonctions utilitariste et sociale qui lui sont assignées. Assise et mesure de la force obligatoire, l’intérêt au contrat unifie le corpus normatif qui la gouverne. / The binding force of the contract has a universal effect. This consensus contrasts sharply with the debates that affect the rules governing the binding force : what is the basis of contract ? Should the “cause” and the subject matter (“l’objet”) of the contract remain conditions of its validity ? How to adapt the protection of the consent to standard form contracts ? Should the regime against unfair contract terms be part of ordinary law ? What role should “good faith” play ? What role should the judge play ? Should we accept judicial revision for unforeseeability ? What role should objective interpretation play ? What importance should article 1135 of the French Civil Code have ? What sanctions should be associated to the termination of contract ? Is there a hierarchy between these sanctions ? How to reconcile the proliferation of the exceptions to the principle of intangibility of contract and the overall consistency of the binding force ? To all of these questions, among others, the study intends to answer by uncovering the link that ties together consistently all the rules on the binding force: the point to the contract, which refers to the essential (and “essentialized”) elements that are key to the consent of the parties. Structured around this link, the binding force promotes and ensures the protection of the point to the contract, pursuant to the utilitarian and the social functions assigned to it. Being both the basis and the measure of the binding force, the point to the contract unifies the body of law that governs it.

La gouvernance des sociétés par actions canadiennes accorde une place aux créanciers, qui contribuent considérablement à leur financement. Les créanciers fournissent une prestation en échange d’une promesse d’être payé plus tard, de sorte qu’ils sont en conflit d’agence avec d’autres parties prenantes de la société par actions, particulièrement les dirigeants. Principale voie procédurale des litiges en droit des sociétés, le recours en cas d’abus (ou « recours en oppression ») permet d’endiguer certains aspects de ce conflit d’agence en octroyant aux tribunaux de larges pouvoirs pour pallier les abus. Cette intervention judiciaire s’exprime par la théorie des attentes raisonnables, selon laquelle le tribunal doit protéger non seulement les droits des parties, mais également leurs attentes raisonnables. La jurisprudence permet de conclure à des attentes raisonnables relativement à l’information fournie par la société, au patrimoine social et au processus décisionnel des dirigeants. Elle laisse également entrevoir une attente raisonnable à l’égard des modifications du partage des risques découlant d’un événement imprévisible. / Creditors feature prominently in the corporate governance of Canadian business corporations and significantly contribute to their funding. Creditors perform in exchange for a promise to be paid later, so that they are in an agency conflict with other stakeholders of the corporation, especially managers. The main procedural route for litigation in corporate law, the oppression remedy helps curb some aspects of the agency conflict by granting courts broad powers to remedy oppressive conduct. This judicial intervention is expressed through the theory of reasonable expectations, which states that the court must not only protect the legal rights of the parties but also their reasonable expectations. The case law shows that creditors have reasonable expectations toward the information provided by the corporation, its assets and the decision-making process of managers and directors. It also suggests a reasonable expectation with respect to changes in the sharing of risks arising from an unforeseeable event.