The Supreme Court Nominations in Brazil (1985-2010): Presidential Or Coalitional Preferences?

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The Supreme Court Nominations in Brazil (1985-2010): Presidential Or Coalitional Preferences? V Congreso Latinoamericano de Ciencia Política. Asociación Latinoamericana de Ciencia Política, Buenos Aires, 2010. The Supreme Court Nominations in Brazil (1985-2010): Presidential or Coalitional Preferences?. Barreiro Lemos Leany y Llanos Mariana. Cita: Barreiro Lemos Leany y Llanos Mariana (2010). The Supreme Court Nominations in Brazil (1985-2010): Presidential or Coalitional Preferences?. V Congreso Latinoamericano de Ciencia Política. Asociación Latinoamericana de Ciencia Política, Buenos Aires. Dirección estable: http://www.aacademica.org/000-036/573 Acta Académica es un proyecto académico sin fines de lucro enmarcado en la iniciativa de acceso abierto. Acta Académica fue creado para facilitar a investigadores de todo el mundo el compartir su producción académica. Para crear un perfil gratuitamente o acceder a otros trabajos visite: http://www.aacademica.org. The Supreme Court Nominations in Brazil (1985-2010): Presidential or Coalitional Preferences? Leany Barreiro Lemos Oxford-Princeton Post-Doctoral Fellow – University of Oxford [email protected] Mariana Llanos GIGA German Institute of Global and Area Studies – Hamburg [email protected] Paper Outline: 1. Introduction (p.2) 2. A Framework for the Analysis of Brazilian Nominations (p.4) 3. Brazilian Federal Courts: General Features and Nomination Rules (p.7) 4. Presidential or Coalitional Preferences: Indicators and Data (p.12) 4.a. The President and the Senate (p.13) 4.b. The Selection of a Candidate (p.16) 5. Discussion (p.22) 6. Conclusion (p.24) References (p.26) Table 3 – Legislative Process of Supreme Court Nominations, Brazil, 1989-2010 (p.28) Table 4 – Winning Candidates Profile - Supreme Court Judges, 1985-2010 (p.30) 1 1. Introduction In the last decades there has been a considerable growth of both legislative and judicial studies in the Latin American region. A prominent place among the first ones corresponds to works dealing with executive-legislative relations, whilst the study of executive-court relations has done remarkable progress among the second as well. Still, quite few works within these research areas address the nomination and appointment process for higher court justices, the central focus of this paper. Presidents and Congresses are usually key institutions in these processes, but the role they play in the dynamics of nominations are mostly unknown. Under what constraints do presidents select the nominees? Who else participates in the process? Is there anticipation of preferences of the different political actors, leading to a more centred candidate, or is it a unilateral unconstrained decision that ends up in overtly closed ideological choices? In this paper we concentrate mainly on the analysis of the nomination process for the Federal Supreme Court (STF) in Brazil since the new Constitution of 1988. Brazil is a very interesting case for understanding president-court relations, combining powerful presidents with powerful and independent courts. Indeed, the Brazilian executive was granted a prominent position in the constitution of 1988, and many authors have stressed how presidents enjoy considerable legislative prerogatives (e.g. on budget and by issuing emergency decrees), as well as agenda power, informational advantages, and expertise (Carey and Shugart 1998; Shugart and Carey 1992; Mainwaring and Shugart 1997; Figueiredo 2001). Also, mirroring the US constitution, Brazilian presidents were granted the prerogative to nominate the members of the upper courts, after confirmation by the Senate. However, contrasting with the formal power they have to set the legislative agenda and organise the executive branch, the presidents’ power over the nomination of higher courts’ judges is relatively limited. Firstly, the rules for nomination in the higher courts are very tight: only for the Federal Supreme Court can the president choose “freely”. For the other higher courts – military, higher justice court, higher labour court etc. – the president chooses over a short list of three that is prepared by the courts themselves. Secondly, presidents in Brazil do not discharge judges, and new appointments can only happen after the resignation, 70-year compulsory retirement or death of their members. Because resignations are very rare, presidents know in advance how many seats they will appoint, and when this will happen. Brazil is the only country in the region in which judicial turnover does not significantly change during the first months of a new administration (Perez Liñán and Castagnola 2009: 2 107). President Luiz Inácio “Lula” da Silva (2003-2010) was the first president in the democratic period initiated in 1985 to appoint more than 50 percent of the supreme court justices. Because the Brazilian Senate hardly ever refused a nomination1, it could in principle be affirmed that presidents select according to their preferences, and that the Senate rubber- stamps presidential candidates. Nevertheless, the features of particular appointment processes and those of the winning appointees suggest that politics plays a role in the process and that presidents often act under constraints. In the following pages, we depart from the established idea that Brazilian presidents are at the centre of a mixed political system with contradictory incentives –including both majoritarian and consensual elements (Lijphart 1999), which sometimes allows them to impose their view and sometimes forces them to negotiate. It is known that tensions within this system affect the contents of the presidential legislative agenda, and we assume that they will also have an impact on judicial appointments. Moreover, the study of judicial appointments in a political system characterised by “coalition presidentialism” adds new evidence to the fragmentation theory and its effects for judicial empowerment. Brazilian presidents run majority coalitions, as a result of which the two branches of government are coordinated and presidents get their policies/candidates approved. However, majority coalition governments do not work as typical single-party majority governments and presidential proposals succeed once they have passed the many filters posed by the system, particularly (but not only) those of the coalition partners located at the centre and centre-right of the political spectrum. This paper is organized in five sections. Section two provides the literature review and introduces the analytical framework for the study of Brazilian appointments. The third section brings a brief description of the judicial system in Brazil, as well as the formal rules governing the nomination process for the upper courts. In section four we present a set of indicators of presidential and coalitional preferences that we use to analyse the 21 appointment processes that took place in the period of analysis. Section five brings some tentative explanations of the variations in appointment processes found out in the previous section. Section six concludes. 2. A Framework for the Analysis of Brazilian Nominations 1 It happened only 5 times, all in the 19th century, under President Floriano Peixoto (1891-1894). 3 For a long time, political scientists have pointed at the concentration of power in the presidency as one of the main challenges to the rule of law in new democracies (Haggard, MacIntyre and Tiede 2008). During the third wave of democratization, different reform processes gave courts an increasingly important political role, which could be observed in growing judicial influence on policies and increased resort to the courts by different social and political actors (Gloppen, Gargarella and Skaar 2004; Sieder, Schjolden and Angell 2005). With courts increasingly making substantive policy as well as regulating political activities, there was also a growing political and public interest in who judges were and how they were chosen (Malleson and Russell 2006). Elected officials, in particular, regained interest to influence as far as possible who sits on the courts and who fills important positions in the judicial system, as some recent works on Latin America highlight (Domingo 2004). Since the 1990s, unaccountable presidents have been caught governing by bypassing the legislative branch, whilst their encroachments upon the judiciary and other agencies of government have been regarded as the most serious threat to “horizontal accountability” (O’Donnell 2003: 45). A recent comparative study on Supreme Court appointments in Latin America has demonstrated that, just as in the US case, Supreme Court vacancies and appointments have been influenced by political considerations. However, in Latin America, more common than not, presidents rather than justices themselves are those responsible for the timing of judicial retirements and nominations (Perez Liñan and Castagnola 2009). In democratic regimes, extreme executive actions are more likely under particular contextual situations. A prominent theory within the judicial studies states that the level of political fragmentation among the branches of government – the executive and the legislature - has important consequences for the empowerment and independence of the courts (Chavez 2004; Ríos Figueroa 2007; Solomon 2007: 127). When the elective institutions of a political system are dominated by a single party, there are more risks that judicial decisions be overruled, challenged with non-compliance or with more aggressive policies, such as court-packing and impeachment. Instead, when fragmentation increases, coordination among those branches becomes
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