O processo estrutural na execução penal: análise das políticas penitenciárias formuladas no plano pena justa do CNJ

Abstract

The Brazilian prison system faces persistent precariousness, marked by overcrowding and systematic violations of fundamental rights, which led to the recognition of a “State of Unconstitutional Affairs” (Estado de Coisas Inconstitucional – ECI) by the Federal Supreme Court in ADPF 347. Against this backdrop, this dissertation examines the gap between the formulation of national public policies (particularly the Pena Justa Plan) and the actual implementation capacity of the Federative Units (UFs). The theoretical framework mobilizes Claus Roxin’s teleological functionalism, the literature on state capacities, and the paradigm of structural judicial review. The methodological approach is qualitative, structured as a single embedded case study, centered on the development of the Statistical-Institutional Capacity Index (ICEI), a structured qualitative assessment tool designed to gauge the “demonstrative capacity” of the 27 UFs based on three operational rubrics: continuous documentary records, quantitative and qualitative databases, and the public dissemination of actions with auditable metrics. The empirical basis encompasses 564 documentary files. The results indicate a concentration of UFs in the medium and high statistical-institutional capacity strata, revealing a minimum level of responsiveness induced by external pressures. However, informational maturity does not, by itself, ensure the material implementation of the established goals. The intersection between the ICEI and the admissibility opinions issued by the Department of Monitoring and Oversight (DMF/CNJ) enabled the construction of five analytical typologies (A to E). Partial formal adherence was observed in most UFs, characterized by a “universal negative finding”: insufficient budgetary detailing, which projects a risk of “symbolic accountability,” converting state plans into “letters of intent” without material traction. The research concludes that the effectiveness of the structural process in criminal enforcement depends on an indivisible triad of capacities: informational (data), decisional (governance), and material (budget). In this context, numerus clausus and the “prison occupancy clearance” (habite-se prisional) emerge as consequences of the material exhaustion of the current model. Finally, the dissertation proposes further studies on the role of the Federal Prosecution Service (Ministério Público Federal) in fostering intersectoral arrangements and bottom-up solutions to overcome administrative isolation and promote constitutional compliance.