O ativismo judicial é um fenômeno complexo estudado no Brasil e nos Estados Unidos, geralmente designado como a interferência dos Tribunais nas políticas públicas. Este fenômeno, aparentemente se contradiz com a separação dos poderes e a vontade legislativa democrática expressa em suas Constituições e leis. A presente dissertação visa comparar como o ativismo judicial se manifesta no Supremo Tribunal Federal brasileiro e na Suprema Corte estadunidense, avaliando suas diferenças e semelhanças. O poder de controle de constitucionalidade, realizado sobre cláusulas constitucionais abertas, permitiu que ambas as Cortes proferissem decisões de natureza política em inúmeras oportunidades, sendo difícil (ou até mesmo impossível) asseverar se elas se distanciaram da correta interpretação da Constituição, haja vista seus preceitos flexíveis e abstratos. Os presentes juízes da Suprema Corte têm atuado com autocontenção nas últimas décadas, diminuindo os impulsos ativistas atribuídos às Cortes de Warren e Burger. Ao contrário do Brasil, onde a Constituição de 1988 e as leis recentes aumentaram significativamente o poder do Supremo Tribunal Federal, e seus membros tem utilizado-os sem hesitação. / Judicial activism is a complex phenomenon studied both in Brazil and in the United States of America, which usually means court´s interference in public policies. Such phenomenon apparently contradicts to the separation of powers and the democratic legislative will set forth by the Brazilian and American Constitutions and statutes. This dissertation compares how the judicial activism manifests itself in the Brazilian Supreme Federal Tribunal and in the American Supreme Court, examining its differences and similarities. Judicial review based on constitutional open clauses allowed such Courts to make polemic decisions and of political nature in many cases. However it is difficult (rather impossible) to affirm whether such decisions depart from the correct interpretation of both Constitutions due to their flexible and abstract norms. The current Supreme Court´s justices have acted with self-restrained in the late decades, easing the activists impulses accredit to the Warren and Burger´s Courts. In contrast the 1988 brazilian Constitution and its subsequent statutes increased the powers of the Supreme Federal Tribunal and its members are exercising them with no hesitation.

O presente estudo se propõe a investigar em que medida o Parlamento é capaz de exercer, eficazmente, o controle do poder político, no contexto da globalização capitalista, com o objetivo de contribuir com a concretização dos direitos humanos econômicos e sociais. Compreende-se o controle do poder político como o direcionamento das ações do Estado para a realização de seus fins, por meio da fixação de metas e diretrizes, da supervisão e da responsabilização dos agentes políticos. Reconhece-se a importância do Parlamento no desempenho deste papel, porém sua atuação apresenta grandes limites, decorrentes, entre outros fatores, do fenômeno da globalização e da característica histórico-cultural patrimonialista do Estado brasileiro. Diante disso, a sociedade precisa desenvolver outras formas de controle para complementar o parlamentar. / This study wants to investigate in which level the Parliament is able to exercise, with efficacy, the control of the political power, in the context of the capitalist globalization, with the objective to contribute with the concretization of the economics and socials human rights. The control of the political power is understood like the direction of de States actions to the realization of its finalities, by the fixation of objectives and directives, the supervision and the responsabilization of the politics agents. The Parliament has so much importance realizing this paper, but its actuation presents big limits, because some factors, how the phenomenon of the globalization and the historic-cultural characteristic patrimonialista of the Brazilian State. So, the society needs to develop other forms of control to complement the parliamentary.

A partir de dezenove textos publicados por Otto Kirchheimer no período final da República de Weimar, o presente trabalho investiga as possibilidades oferecidas por uma forma específica de organização política o Estado Constitucional Parlamentar para a realização da democracia e, ao mesmo tempo, para a promoção de transformações sociais. Amálgama inconstante entre a crítica de Carl Schmitt às instituições liberais e a crítica marxista da sociedade, a obra weimariana de Kirchheimer apresenta uma análise instigante do ordenamento jurídico e da realidade histórica na qual ele está inserido. Constituição, Estado Parlamentar, separação de poderes e a legitimidade de diferentes meios de ação política são alguns dos temas abordados. O trabalho discute, assim, uma importante ruptura teórica na obra de Kirchheimer nesse período: o progressivo reconhecimento de que o direito pode e deve servir como limitador do poder político, garantindo certo conteúdo mínimo de liberdade. Das falhas no funcionamento do Parlamento e das instituições da democracia formal passa a decorrer, para ele, a necessidade de aperfeiçoá-los e não mais de rejeitá-los. / Based on nineteen texts written by Otto Kirchheimer during the final period of the Weimar Republic, the present work wishes to investigate the possibilities opened by a specific form of political organization the Parliamentary Constitutional State for the implementation of democracy and, at the same time, for the promotion of social change. Shifting combination of Carl Schmitt criticism of liberal institutions and Marxist criticism of society, the weimarian work of Kirchheimer offers a compelling analysis of the legal system and the historical reality in which it inheres. Constitution, Parliamentary State, separation of powers, and the legitimacy of different ways of political actions are some of his main themes. We detect, then, an important cleavage appearing in the writings of Kirchheimer during this period: his progressive conscience that the legal system can and should serve as a counterweight to political power, in order to guarantee a minimum of liberties. From the deficiencies detected in the working of Parliament and, more generally, of democratic institutions, he now arrives at the necessity of enhancing them not anymore of rejecting them.

Submitted by Filipe dos Santos (fsantos@pucsp.br) on 2018-02-07T11:04:38Z No. of bitstreams: 1 Cristiane Maria de Lima Curtolo.pdf: 1538060 bytes, checksum: d8ab47221f26e86c4d9f6ad3fefa5837 (MD5) / Made available in DSpace on 2018-02-07T11:04:38Z (GMT). No. of bitstreams: 1 Cristiane Maria de Lima Curtolo.pdf: 1538060 bytes, checksum: d8ab47221f26e86c4d9f6ad3fefa5837 (MD5) Previous issue date: 2018-02-05 / This paper aims to examine the issue about the (im)possibility of judicial activism in order to defend collective rights. For that, it will be presented the discution of the paradigm of law that rises after the second post-war because of the displacement of the pole of tension from the Legislative and Executive Power towards the Judiciary and the contributions of the post-positivist theory, and because of this reconfiguration, the separation of Powers will be discussed. To understand activism it will be stablished its necessary difference among politics judicialization. After identifying these phenomena and demonstrationg their differences, it´ll be examined the collective res judicata as a groundwork to anilyse manifestations in favor of judicial activism in collective process. Thus, there is going to be discussed good and bad activism. At the end it will be presented some considerations about the possibility of right answers in law as a way of denying judicial activism / O presente trabalho tem por escopo examinar a questão relativa à (im)possibilidade de defesa do ativismo judicial na tutela coletiva. Para tanto, será a apresentado o panorama da discussão acerca do paradigma de direito que exsurge do segundo pós-guerra em razão do deslocamento do polo de tensão dos Poderes Legislativo e Executivo em direção ao Poder Judiciário e as contribuições da teoria pós-positivista. Posteriormente, em razão dessa reconfiguração, será debatida a separação de poderes. Para a compreensão do fenômeno do ativismo será estabelecida sua necessária diferenciação em relação à judicialização da política. Após identificarmos esses fenômenos e demonstrarmos suas diferenças, passaremos a examinar a coisa julgada coletiva como base para a análise das manifestações favoráveis ao ativismo judicial no processo coletivo. Desse modo, abordaremos a discussão sobre a existência ou não de bons ativismos. Ao final, serão apresentadas considerações sobre a possibilidade de respostas corretas em direito como refutação ao ativismo judicial

Esta tese trata do processo legislativo orçamentário e de que maneira uma reformulação dessa atividade exercida pelo Parlamento pode se tomar uma alternativa às limitações que esse Poder tem sofrido no que concerne às suas atividades fundamentais na atual concepção da separação de Poderes no Brasil. A partir do aprimoramento do processo legal de formação das leis do orçamento, o Legislativo pode melhor desempenhar a sua função de elaborador dessas normas e, mais do que isso, pode aprimorar sua atividade de controle sobre as ações da Administração Pública na execução do orçamento. Neste estudo, são apresentadas propostas de mudança do sistema de formação das leis orçamentárias que, além de não exigirem uma alteração substancial na forma do próprio orçamento autorizativo, pressupõem mudanças pontuais e à disposição do Parlamento, que muitas vezes dispensam alterações regimentais, legais ou constitucionais, para bem participar da elaboração das políticas públicas oriundas das peças orçamentárias e, ainda, melhor desempenhar suas atividades de controle sobre os gastos públicos. / This thesis is about the legislative budget process and how a reformulation of this activity practiced by Parliament might become an alternative to the limitations that this power has been going through in regard to their fundamental activities in the current conception of the separation of powers in Brazil. From the improvement of the legal process of forming the budget laws, the legislature can better play its role as the developer of such standards and more than that, can enhance the activity of control over the actions of public administration in implementing the budget. In this study, proposals of changing on the formation procedure of budget laws are introduced to turn the Parliament able to participate in the development of public policy derived from the budget and also better perform their activities of control over public spending.

A partir de dezenove textos publicados por Otto Kirchheimer no período final da República de Weimar, o presente trabalho investiga as possibilidades oferecidas por uma forma específica de organização política o Estado Constitucional Parlamentar para a realização da democracia e, ao mesmo tempo, para a promoção de transformações sociais. Amálgama inconstante entre a crítica de Carl Schmitt às instituições liberais e a crítica marxista da sociedade, a obra weimariana de Kirchheimer apresenta uma análise instigante do ordenamento jurídico e da realidade histórica na qual ele está inserido. Constituição, Estado Parlamentar, separação de poderes e a legitimidade de diferentes meios de ação política são alguns dos temas abordados. O trabalho discute, assim, uma importante ruptura teórica na obra de Kirchheimer nesse período: o progressivo reconhecimento de que o direito pode e deve servir como limitador do poder político, garantindo certo conteúdo mínimo de liberdade. Das falhas no funcionamento do Parlamento e das instituições da democracia formal passa a decorrer, para ele, a necessidade de aperfeiçoá-los e não mais de rejeitá-los. / Based on nineteen texts written by Otto Kirchheimer during the final period of the Weimar Republic, the present work wishes to investigate the possibilities opened by a specific form of political organization the Parliamentary Constitutional State for the implementation of democracy and, at the same time, for the promotion of social change. Shifting combination of Carl Schmitt criticism of liberal institutions and Marxist criticism of society, the weimarian work of Kirchheimer offers a compelling analysis of the legal system and the historical reality in which it inheres. Constitution, Parliamentary State, separation of powers, and the legitimacy of different ways of political actions are some of his main themes. We detect, then, an important cleavage appearing in the writings of Kirchheimer during this period: his progressive conscience that the legal system can and should serve as a counterweight to political power, in order to guarantee a minimum of liberties. From the deficiencies detected in the working of Parliament and, more generally, of democratic institutions, he now arrives at the necessity of enhancing them not anymore of rejecting them.

Embora existam estudos relevantes no Brasil a respeito do controle de constitucionalidade exercido pelo STF, o assunto ainda demanda pesquisa. Uma das áreas de pesquisa que precisa ser aprofundada é a dinâmica da interação ao longo do tempo entre o órgão judicial que exerce o controle de constitucionalidade e os órgãos que editam atos normativos sujeitos ao controle de constitucionalidade. Diante disso, o objeto desta tese é o exame da interação entre o STF e o Congresso Nacional nos anos de 1988 a 2013 decorrente da declaração judicial de inconstitucionalidade de atos normativos do Congresso Nacional. A tese baseia-se em uma pesquisa de jurisprudência e de legislação, e adota perspectiva teórica que reconhece haver um contínuo diálogo institucional entre os Poderes. Um dos objetivos da tese é descrever os padrões das decisões judiciais que declararam a inconstitucionalidade de atos normativos, e as possíveis relações entre a deliberação judicial e a legislação subsequente. Outro objetivo do estudo é proporcionar parâmetros para avaliação da contínua interação entre o controle de constitucionalidade exercido pelo STF e a atividade do Congresso Nacional. Terceiro objetivo é identificar desafios que devem ser enfrentados caso se pretenda fortalecer a legitimidade do diálogo entre os Poderes. / There are relevant studies made in Brazil about Federal Supreme Court judicial review, but the subject still demands research. One of the research areas that needs to be deepened is the dynamic of the interaction over time between the judicial branch that controls the constitutionality of legislation and the legislative branch that make the norms subject to judicial review. In the face of this, the object of this thesis is to exam the interaction between the Federal Supreme Court and the National Congress in the period of 1988 to 2013 derived from judicial decisions that declared norms unconstitutional. The thesis is based on a research of judicial decisions and legislation, and it adopts a theoretical perspective that recognizes a continuous institutional dialogue between the Powers. One of the objectives of the thesis is to describe the patterns of the judicial decisions that declared norms unconstitutional, and the feasible connections between the judicial deliberation and subsequent legislation. Another objective of the study is to provide standards to assess the continuous interaction between the Federal Supreme Court judicial review and the activity of the National Congress. The third objective is to identify challenges that must be faced if one pretend to strengthen the legitimacy of the dialogue between the Powers.

L'objet de la présente thèse est de procéder à l'étude comparée des doctrines et jurisprudences françaises et allemandes consacrées au principe de la séparation des pouvoirs. D'origine philosophique, ce principe n'est pas, aujourd'hui, dépourvu d'effets juridiques pratiques, comme le montrent les problèmes récents, soulevés dans la jurisprudence du conseil constitutionnel et de la cour constitutionnelle allemande. Toutefois, on ne saurait comparer la mise en oeuvre d'un principe dans deux ordres juridiques différents sans faire l'effort d'un retour nécessaire sur la genèse doctrinale de ce principe, sans apporter au travail comparatif une dimension d'histoire de la culture juridique dans les pays comparés. Le point essentiel de ce travail serait d'expliquer les développements jurisprudentiels les plus récents à la lumière de l'histoire des doctrines. Si notre travail sera essentiellement centré sur une comparaison franco-allemande, il doit rester ouvert à toute perspective intéressante que pourraient fournir, sur le sujet, d'autres jurisprudences nationales et européennes. / The thesis focuses on the german constitutional case law and doctrine relating to the principle of the separation of powers. The analysis of the problems concerning the meaning of the rule deducted under article 20 paragraph 2 of the German Basic Law of 23 May 1949 point up its practical application today. The interpretation of the solutions of the Federal Constitutional Court constitues the main part of this research however it is impossible to globally appreciate and understand the principle of the separation of powers without make the necessary effort to explain its genesis in the german constitutionnal law. Ergo, the theories of the Vormärz also the thought of the legal scolars of the Empire and the Weimar Republic are an important key stage that permit to grasp the present form of the principle in the decisions of the judge. The functional justice or the theory of the substantial decision complete the definition of the constitutional separation of powers. The concretisation of these integral elements of the principle create the system of checks and balances that govern the conflicting relations between legislative, executive and judicial powers.

Il est connu que ceux qui ne s’informent pas sur leur passé seront toujours condamnés à répéter les mêmes erreurs et pour déterminer où aller il faut d’abord savoir d’où on vient . La thèse se penche sur l’analyse de plus de deux siècles d’histoire de l’appareil judiciaire malgache à la lumière du concept d’indépendance de la magistrature. L’auteur porte une analyse rétrospective sur une assez longue période qui s’étend de la fin du XVIIIème siècle à nos jours au cours de laquelle il essaie de comprendre l’ensemble des situations ayant prévalu dans le pays témoin, avant, pendant et après la colonisation française. Cette thèse tente d’apporter des argumentaires nouveaux et une méthodologie d’approche nouvelle dans l’analyse de l’appareil judiciaire d’un pays anciennement colonisé. Il s’agit de mettre de côté certaines idées reçues sur les situations des systèmes juridiques des pays anciennement colonisés, notamment malgache et africains. L’étude remet en cause quelques préjugés d’antan qui marquent encore les esprits relativement aux situations précoloniales, à l’arrivée des modèles juridiques occidentaux et plus particulièrement au concept d’indépendance de la magistrature et sa consistance actuelle dans les anciennes colonies, à l’instar de la Grande Île. A travers l'étude du cas particulier de Madagascar, la thèse apporte des réponses à plusieurs questions suscitées par l’acculturation du système juridique des anciennes colonies à partir de leur contact avec les modèles juridiques occidentaux. La question spécifique de recherche consiste à déterminer si le concept d’indépendance de la magistrature est déjà entré dans le système juridique des pays anciennement colonisés comme Madagascar. Pour l’auteur, le concept d’indépendance de la magistrature tel que compris en Occident n’a jamais fait son véritable entrée à Madagascar. Le cadre théorique adopté pour la vérification de l’hypothèse combine le positivisme juridique avec les approches anthropologique et sociologique et se distingue des recherches presque exclusivement positivistes antérieures. Dans la première partie, l’auteur propose le cadre théorique de recherche et rapporte les modes de règlements des conflits à l’époque précoloniale. L’analyse anthropologique de la période a démontré que le concept d’indépendance de la magistrature fut inconnu des traditions judiciaires précoloniales même si une certaine influence occidentale imprégnait le processus de métissage spontanée diligenté par les souverains successifs. Dans la seconde partie, l’auteur livre une analyse de la période coloniale et postcoloniale jusqu’à l’époque contemporaine. Pour la période coloniale, l’ouvrage relate, d’une part, les multiples mesures prises durant les années coloniales, qui éloignèrent le modèle juridique colonial implanté à Madagascar du modèle juridique français original de la métropole. D’autre part, il mesure les impacts de l’instauration du modèle colonial sur les traditions juridiques malgaches précoloniales. Contrairement aux idées reçues, le modèle juridique français et tous ses concepts clés, notamment le concept de séparation des pouvoirs et celui d’indépendance de la magistrature ne furent pas transmis à Madagascar par le fait de la conquête. Ensuite, il a survolé la magistrature des trois républiques successives depuis l’indépendance acquise en 1960. En premier lieu, par une analyse résolument positiviste l’auteur analyse les imperfections initiales des choix et des mesures prises lors de la mise en place du nouveau système juridique de la jeune république durant les premières années de l’indépendance et dont la magistrature malgache est encore tributaire aujourd’hui. En second lieu, par une démarche à la fois positiviste et sociologique, il démontre que les valeurs du concept d’indépendance de la magistrature, reconnues par le système politique et timidement repris par le système juridique, n’ont pas réussi jusqu’ici à pénétrer le cœur de ce dernier / It is well known that those who are unaware of their past will be condemned to repeat the same mistakes in the future and that in order to determine where one should go, it is necessary to know where one comes from. This thesis analyses three hundred years of Malagasy judicial institutions in the light of the concept of independence of the Judiciary; it proposes a retrospective regard on the period extending from the end of the XVIIIth century until now in which the author proposes a reading of all the situations which have occurred in Madagascar before, during and after the French colonization period. Throughout this thesis, the author proposes new approaches as well as a methodology in analysing the judicial institutions of a country formerly colonized. He proposes to set aside certain ideas concerning the situation of formerly colonized countries, notably, Madagascar and, generally, African countries. This research challenges preconceived ideas which are still carried around by many African and Western researchers trained in the West relating to the pre-colonial situations as well as to the importation of Western legal models and their actual survival in former colonies such as Madagascar. From the particular case of Madagascar, the thesis answers many of the questions raised by the acculturation of the legal systems of former colonies after their encounter with Western legal models. The thesis’ central question seeks to determine whether the concept of the independence of the Judiciary is already present in the legal system of formerly colonized countries such as Madagascar. This thesis shows that the Western concept of the independence of the Judiciary has never really penetrated the legal system of Madagascar. The thesis’ theoretical framework combines legal positivism with sociological and anthropological approaches and it differs from the traditional positivistic analysis common to previous researches. In the first part of the thesis, the author proposes a theoretical framework and analyses the dispute resolution mechanisms during the pre-colonial era. The anthropological analysis of this period shows that the concept of the independence of the Judiciary was ignored by the pre-colonial judicial traditions even if a certain Western influence already existed which influenced the process of spontaneous mixing brought forward by the various Kings. In the second part, the author analyses the colonial and post-colonial periods until now. For the colonial era, the study demonstrates on the one hand that numerous measures put forward did distance the legal colonial model implemented in Madagascar from that of the metropolis and, on the other hand, the impacts of the implementation of the colonial model over the precolonized Malagasy legal traditions. Contrary to well received ideas, the author demonstrates that the French legal model and its key concepts, particularly the separation of powers and the independence of the Judiciary, were never transmitted to the colony after the conquest. A description of the judiciary under the three successive republics since 1960 then follows. Through a positivistic analysis, the author analyses the imperfect initial choices made during the initial years of the implementation of the new legal system of the young republic as well as their contemporary impact over the Malagasy Judiciary even today. Through a positivistic as well as sociological approach, the author shows that the values underlying the concept of the independence of the Judiciary recognized by the political system and timidly integrated by the legal system have not succeeded in being fully implemented so far

The objective of this thesis is to analyze the authoritarian Karimov regime in post-Soviet Uzbekistan on a comprehensive basis and shed light on the domestic and international factors that has shaped this regime. The thesis consists of three main parts. The first part of the study defines the concepts of democracy and authoritarianism and provides the criteria to determine if a regime is democratic or authoritarian. The second part applies the theoretical framework developed in the first part to Uzbekistan. The third part deals with the factors that helped Karimov to strengthen his authoritarian rule in the country. The main argument of this study is that the incumbent leadership in Uzbekistan has failed to take steps to establish democracy in the country in post-Soviet period. The changes that were introduced proved to be only decorative, they lacked substance. The president of the country, Islam Karimov, has aimed at consolidating his own authority rather than establishing democracy and that his attempts to realize this aim resulted in the strengthening of executive branch in Uzbekistan at the expense of legislative and judiciary, silencing of the opposition forces, curtailment of the civil and political rights of the citizens, restriction of autonomy of civil society organizations and media.