A noção de validade e de eficácia. Efeitos da norma. Eficácia da lei.

Efeitos positivos da lei: de controle

social; efeito educativo da norma; efeito conservador da norma; efeito transformador da norma. Efeitos
negativos: pela ineficácia da lei; pela omissão da autoridade em aplicar a lei; pela falta de estrutura
adequada à aplicação da lei.

1R FDStWXOR DQWHULRU DSyV H[DPLQDUPRV R SHQVDPHQWR GH YiULRV DXWRUHV VREUH R REMHWR GD 6RFLRORJLD
-XUtGLFDGHVWDFDPRVRHQWHQGLPHQWRGR3URI5HQDWR7UHYHVRTXDOGLVVHPRVWRPDUHPRVFRPRURWHLURGH
RUDHPGLDQWH
1RVVDWDUHIDVHUiSRLVH[DPLQDURSULPHLURLWHPGDFODVVLILFDomRSRUHOHVXJHULGDSURFXUDQGRGHILQLUD
HILFiFLDHRVHIHLWRVGDVQRUPDVMXUtGLFDVHVWDEHOHFHUDVFDXVDVGDLQHILFiFLDGDVOHLVHRVWLSRVGHHIHLWRVTXH
HODVSRGHPSURGX]LUHSRUTXr
&XPSUHHQWmROHPEUDUTXHDeficáciaHVWiLQWLPDPHQWHUHODFLRQDGDFRPDvalidadeHDexistênciaWUrV
FRQFHLWRVTXHDWRGRPRPHQWRVHUHSHWHPQRHVWXGRGR'LUHLWR/HLDOJXPD RXQHJyFLRMXUtGLFR VHUiHILFD]
VHPTXHDQWHVH[LVWDHVHMDYiOLGDRTXHQRVOHYDDRVFRQFHLWRVGHelementos, de requisitos e de efeitos

43. A NOÇÃO DE EXISTÊNCIA E DE VALIDADE

3DUDTXHXPDFRLVDH[LVWDpQHFHVViULRTXHHODVHMDFRQVWLWXtGDFRPWRGRVRVVHXVHOHPHQWRV$VVLPRV
HOHPHQWRV VmR DV SDUWHV GR WRGR DTXLOR VHP R TXDO D FRLVD QmR H[LVWH $WR LQH[LVWHQWH p DTXHOH TXH QmR
FRQWpP RV HOHPHQWRV QHFHVViULRV SDUD VH FRQVWLWXLU (OH MDPDLV VHUi YiOLGR H SRU YLD GH FRQVHTXrQFLD QmR
SURGX]LUiHIHLWRV
$ YDOLGDGH GHSHQGH GRV UHTXLVLWRV H HVWHV SRU VXD YH] GL]HP UHVSHLWR j TXDOLGDGH GRV HOHPHQWRV
+DYHQGRRVHOHPHQWRVH[LVWHRDWRRXQHJyFLRMXUtGLFRPDVSDUDTXHHVWHVHMDYiOLGRpSUHFLVRTXHRVVHXV
HOHPHQWRV HVWHMDP UHYHVWLGRV GH GHWHUPLQDGRV UHTXLVLWRV 8P FRQWUDWR QR TXDO XPD GDV SDUWHV p LQFDSD]
HPERUDH[LVWDQmRVHUiYiOLGRSRUIDOWDGHXPUHTXLVLWRHVVHQFLDOHPXPGRVVHXVHOHPHQWRV±DFDSDFLGDGH
9HPRVDVVLPTXHYiOLGRpDTXLORTXHWHPWRGRVRVVHXVHOHPHQWRVUHYHVWLGRVGRVUHTXLVLWRVHVVHQFLDLV
4XDQGRTXHUHPRVVDEHUVHXPDWRRXQHJyFLRMXUtGLFRpYiOLGRGHYHPRVYHULILFDUVHIRLHODERUDGRFRPWRGRV
RVVHXVHOHPHQWRVHUHTXLVLWRVHVVHQFLDLV
2H[DPHGDVLWXDomRMXUtGLFDGHXPDWRRXQHJyFLRSRUWDQWRLQLFLDVHSHODH[LVWrQFLDVHHOHSUHHQFKHRV
HOHPHQWRV QHFHVViULRV SDUD TXH VHMD FRQVLGHUDGR 1HVVH PRPHQWR QmR VH DQDOLVDP RV UHTXLVLWRV GRV
HOHPHQWRVDVVXDVFDUDFWHUtVWLFDVPDVDSHQDVDVXDSUHVHQoD8OWUDSDVVDGRHVVHQtYHOYHULILFDVHDYDOLGDGH
GRDWRDVFDUDFWHUtVWLFDVGRVHOHPHQWRV
/HPEUDPRV DJRUD TXH RV HOHPHQWRV H UHTXLVLWRV OHJDLV GH H[LVWrQFLD H YDOLGDGH GR DWR MXUtGLFR HVWmR
SUHYLVWRVQRDUWGR&yGLJR&LYLO)DOWDQGRXPGHOHVRQHJyFLRpLQYiOLGRQXORQmRDOFDQoDQGRRVVHXV
REMHWLYRV
3RULVVRpTXHVHGL]TXH³YiOLGRpDTXLORTXHHVWiUHYHVWLGRGHWRGRVRVVHXVUHTXLVLWRVOHJDLV´3RGHVH
SRLV FRQFOXLU TXH D YDOLGDGH GHFRUUH LQYDULDYHOPHQWH GH R DWR KDYHU VLGR H[HFXWDGR FRP D VDWLVIDomR GH
WRGDVDVH[LJrQFLDVOHJDLV
$ invalidade SDUD (PtOLR %HWWL p DTXHOD IDOWD GH LGRQHLGDGH SDUD SURGX]LU SRU IRUoD GXUDGRXUD H
LUUHPRYtYHO RV HIHLWRV HVVHQFLDLV GR WLSR FRPR VDQomR j LQREVHUYkQFLD GRV UHTXLVLWRV HVVHQFLDLV LPSRVWRV
SHODOHL Teoria geral do negócio jurídico&RLPEUD 

44. A NOÇÃO DE EFICÁCIA

(ILFiFLD p XPD FRQVHTXrQFLD GD YDOLGDGH p D IRUoD GR DWR SDUD SURGX]LU RV HIHLWRV GHVHMDGRV 6y R DWR
YiOLGRUHYHVWLGRGHWRGRVRVVHXVHOHPHQWRVHVVHQFLDLVWHPIRUoDSDUDDOFDQoDURVVHXVREMHWLYRV2DWRQXOR
LQYiOLGR TXH QDVFHX GHIHLWXRVR FRP IDOWD GH XP GH VHXV HOHPHQWRV QmR WHP IRUoD SDUD WDO QmR SURGX]
HIHLWRVVHQGRSRUWDQWRLQHILFD]
&RP HVVDV FRQVLGHUDo}HV SUHOLPLQDUHV FUHPRV Mi SRGHU DJRUD WUDWDU HVSHFLILFDPHQWH GD HILFiFLD GD
QRUPD MXUtGLFD H GRV VHXV HIHLWRV QR DVSHFWR VRFLROyJLFR FXMRV FRQFHLWRV QmR GLYHUJHP GR TXH Mi ILFRX
DVVHQWDGR3RUUD]}HVGLGiWLFDVYDPRVFRPHoDUSHORVHIHLWRV

45. EFEITOS DA NORMA

6mR WRGRV H TXDLVTXHU UHVXOWDGRV SURGX]LGRV SHOD QRUPD GHFRUUHQWHV DWp PHVPR GH VXD SUySULD
H[LVWrQFLD TXDOTXHU FRQVHTXrQFLD PRGLILFDomR RX DOWHUDomR TXH D QRUPD SURGX]D QR PXQGR VRFLDO 7RGD
QRUPDSURGX]HIHLWRVSRLVVXDSUySULDH[LVWrQFLDMipXPHIHLWR2VHIHLWRVSRGHPVHUSRVLWLYRVRXQHJDWLYRV
FRPRWHUHPRVRSRUWXQLGDGHGHYHU
3HOR TXH ILFRX GLWR FRQFOXLVH TXH RV HIHLWRV HQYROYHP XP FRQFHLWR DPSOR JHQpULFR DEUDQJHQWH SRU
LVVRTXHQHOHVHVWmRLQFOXtGRVWRGRVRVUHVXOWDGRVSURGX]LGRVSHODQRUPD

46. EFICÁCIA DA LEI

6HHILFiFLDFRPRMiYLPRVpDIRUoDGRDWRSDUDSURGX]LURVVHXVHIHLWRVSRGHPRVHQWmRGL]HUTXHOHL
HILFD]pDTXHODTXHWHPIRUoDSDUDUHDOL]DURVHIHLWRVVRFLDLVSDUDRVTXDLVIRLHODERUDGD1DSUHFLVDGHILQLomR
GH -RVp $IRQVR GD 6LOYD XP GRV QRVVRV PDLRUHV FRQVWLWXFLRQDOLVWDV ³(ILFiFLD p D FDSDFLGDGH GH DWLQJLU
REMHWLYRVSUHYLDPHQWHIL[DGRVFRPRPHWDV7UDWDQGRVHGHQRUPDVMXUtGLFDVDHILFiFLDFRQVLVWHQDFDSDFLGDGH
GH DWLQJLU RV REMHWLYRV QHOD WUDGX]LGRV TXH YrP D VHU HP ~OWLPD DQiOLVH UHDOL]DU RV GLWDPHV MXUtGLFRV
REMHWLYDGRV SHOR OHJLVODGRU 3RU LVVR p TXH VH GL] TXH D HILFiFLD MXUtGLFD GD QRUPD GHVLJQD D TXDOLGDGH GH
SURGX]LU HP PDLRU RX PHQRU JUDX HIHLWRV MXUtGLFRV DR UHJXODU GHVGH ORJR DV VLWXDo}HV UHODo}HV H
FRPSRUWDPHQWRV GH TXH FRJLWD QHVVH VHQWLGR D HILFiFLD GL] UHVSHLWR j DSOLFDELOLGDGH H[LJLELOLGDGH RX
H[HFXWRULHGDGH GD QRUPD FRPR SRVVLELOLGDGH GH VXD DSOLFDomR MXUtGLFD´ Aplicabilidade das normas
constitucionais  HG 6mR 3DXOR 0DOKHLURV  S   (QWUHWDQWR Vy WHP HVVD IRUoD TXDQGR HVWi
DGHTXDGD jV UHDOLGDGHV VRFLDLV DMXVWDGDV jV QHFHVVLGDGHV GR JUXSR 6y Dt HOD SHQHWUD QR PXQGR GRV IDWRV H
FRQVHJXHGRPLQiORV
3RUFRQVHJXLQWHHILFiFLDpDDGHTXDomRHQWUHDQRUPDHDVVXDVILQDOLGDGHVVRFLDLV(PRXWUDVSDODYUDV
pHILFD]DQRUPDTXHDWLQJHRVVHXVREMHWLYRVTXHUHDOL]DDVVXDVILQDOLGDGHVTXHDWLQJHRDOYRSRUTXHHVWi
DMXVWDGDDRIDWR
'HYH VHU D SULPHLUD SUHRFXSDomR GR OHJLVODGRU ± HODERUDU XPD QRUPD DGHTXDGD j UHDOLGDGH VRFLDO H D
SULPHLUD WDUHID GD 6RFLRORJLD -XUtGLFD ± IRUQHFHU DR OHJLVODGRU RV HOHPHQWRV QHFHVViULRV j HODERUDomR GHVVD
QRUPD/HJLVODGRUTXHQmRWHPFRQKHFLPHQWRGDUHDOLGDGHVRFLDOTXHQmRHVWiDSDUGRGHVHQURODUGRVIDWRV
GRV UHDLV SUREOHPDV H FRQIOLWRV TXH VH WUDYDP QD VRFLHGDGH QmR WHP FRQGLo}HV GH ID]HU OHLV 3RU PDLV
WpFQLFDV H HUXGLWDV TXH IRUHP DV OHLV TXH HODERUDU VHUmR HODV FDUHQWHV GH FRQWH~GR YD]LDV GH SURSyVLWR QmR
SDVVDQGR GH XP FRQMXQWR GH HVWpUHLV IRUPDOLGDGHV 3RGHUmR VHU PXLWR ERDV SDUD RXWUR OXJDU TXDOTXHU TXH
WHQKDVHUYLGRGHLQVSLUDomRDROHJLVODGRUQXQFDSRUpPSDUDDVRFLHGDGHjTXDOVHGHVWLQDP
$ VRFLHGDGH QmR HVSHUD SHOR OHJLVODGRU &RPR GL]LD 6LFKHV D VRFLHGDGH FRQGLFLRQD R GLUHLWR IDWR
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