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Publication
Crime empresarial e a criminologia: os mecanismos de imputação penal no compliance criminal
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Advisor(s)
Abstract(s)
A presente investigação tem como objetivo geral mostrar a importância do instituto do compliance criminal sob o ângulo criminológico e político criminal, situar no plano dogmático. Desdobramentos da presença do compliance em termos da responsabilidade penal e efetividade no combate de delitos realizados por pessoas coletivas. Objetivos específicos são neste caso: análise da legislação especial, crimes imputados às pessoas coletivas, medidas realizadas após condenação se estas são efetivas para o combate a ocorrência de crimes (mudanças na política de compliance ou introdução do mesmo) e a efetividade ou não das atenuantes por introdução do compliance. Questões centrais de investigações acredito que são: Procedimentos de compliance criminal como instrumento de mitigação dos ilícitos corporativos, se esse instrumento é realmente eficaz para a prevenção da criminalidade moderna ? E como ocorre a imputação penal da pessoa coletiva? Qual a responsabilidade da pessoa coletiva e do colaborador que cometeu o ilícito? O compliance criminal ajuda a coibir condutas danosas de colaboradores e gestores que violam leis e trazem prejuízos para a instituição? O compliance criminal ajuda no combate à fraude organizacional e à corrupção?
A abordagem da pesquisa que iremos utilizar será qualitativa, pois exploraremos as informações por meio de dados de texto e imagem, que nos permitirá um olhar mais subjetivo e profundo. Com uma abordagem mais ampla, que nos faz explorar o fenômeno do compliance criminal e compreender o porquê, como ocorre, quais fatores o influenciam e como evitar o cometimento de crimes pela pessoa coletiva (Lakatos e Marconi 1989). Caráter da pesquisa (natureza) será o método de investigação de caráter descritivo e qualitativo, que envolve uma avaliação mais aprofundada das informações coletadas em um determinado estudo. A pesquisa será descritiva tem por objetivo descrever as características de uma população, de um fenômeno ou de uma experiência.
Vamos procurar explicar a relação entre a causa e o efeito do compliance criminal (Lakatos e Marconi 1989). O estudo será transversal, a pesquisa é realizada em um curto período de tempo, em um determinado momento.
O método de pesquisa a usar será a análise documental da literatura (bibliográfica) do tema, documentos institucionais mantidos em arquivos de empresas, órgãos públicos e outras instituições, documentos jurídicos e jurisprudência (documentos oficiais) de casos verídicos. Documentos com teor jurídico, como julgados e jurisprudências serão. utilizados, sendo a documentação tanto impressa quanto eletrônica de acesso público na parte da análise de casos. Na parte empírica do estudo, esta se utilizará da realização de entrevistas semi-estruturadas aos participantes profissionais ou advogados que trabalhem e estudem na área de compliance de dois países diferentes (Portugal e Brasil). A seleção da amostra será da jurisprudência de 4 (número da amostragem) casos de compliance criminal de empresas diferentes e de continentes distintos: Siemens (América do norte - E.U.A.), Grupo BES/GES (Europa - Portugal), Parmalat (Europa -Itália) e Odebrecht (América do Sul - Brasil) (Lakatos e Marconi 1989).
The present investigation has the general objective to show the importance of the criminal compliance institute from the criminological and political criminal angle, to situate at the dogmatic level, unfoldings of the presence of compliance in terms of criminal liability and effectiveness in combating crimes carried out by legal persons. Specific objectives are in this case: analysis of special legislation, crimes imputed to legal persons, measures taken after conviction if they are effective to combat the occurrence of crimes (changes in the compliance policy or introduction thereof), and the effectiveness or not of mitigating by introducing compliance. Central investigation questions, I believe, are: Criminal compliance procedures as an instrument for mitigating corporate wrongdoing, if this instrument is effective for the prevention of modern crime? And how does the criminal imputation of the legal person occur? What are the liability of the legal person and the employee who committed the illicit act? Does criminal compliance help curb harmful conduct by employees and managers that violate laws and harm the institution? Does criminal compliance help in the fight against organizational fraud and corruption? The research approach that we will use will be qualitative, as we will explore the information through text and image data, which will allow us to take a more subjective and in-depth look. With a broader approach, which makes us explore the phenomenon of criminal compliance and understand why, how it occurs, which factors influence it and how to avoid the commission of crimes by the legal person (Lakatos and Marconi 1989). Research character (nature) will be the method of investigation of a descriptive and qualitative character, which involves a more in-depth assessment of the information collected in a given study. The research will be descriptive and aims to describe the characteristics of a population, a phenomenon, or an experience. We will try to explain the relationship between the cause and the effect of the criminal compliance phenomenon (Lakatos and Marconi 1989). The study will be cross-sectional, the research is carried out in a short period. The research method to be used will be the documentary analysis of the literature (bibliographic) on the subject, institutional documents kept in company files, public agencies and other institutions, legal documents and jurisprudence (official documents) of real cases. Documents with legal content, such as judgments and jurisprudence will be used, with both printed and electronic documentation of public access in the case analysis part. In the empirical part of the study, this will use semi-structured interviews with professional participants or lawyers who work and study in the area of compliance from two different countries (Portugal and Brazil). The sample will be selected from the case law of 4 (sample number) criminal compliance cases from different companies and from different continents: Siemens (North America - USA), BES/GES Group (Europe -Portugal), Parmalat (Europe - Italy) and Odebrecht (South America - Brazil) (Lakatos and Marconi 1989).
The present investigation has the general objective to show the importance of the criminal compliance institute from the criminological and political criminal angle, to situate at the dogmatic level, unfoldings of the presence of compliance in terms of criminal liability and effectiveness in combating crimes carried out by legal persons. Specific objectives are in this case: analysis of special legislation, crimes imputed to legal persons, measures taken after conviction if they are effective to combat the occurrence of crimes (changes in the compliance policy or introduction thereof), and the effectiveness or not of mitigating by introducing compliance. Central investigation questions, I believe, are: Criminal compliance procedures as an instrument for mitigating corporate wrongdoing, if this instrument is effective for the prevention of modern crime? And how does the criminal imputation of the legal person occur? What are the liability of the legal person and the employee who committed the illicit act? Does criminal compliance help curb harmful conduct by employees and managers that violate laws and harm the institution? Does criminal compliance help in the fight against organizational fraud and corruption? The research approach that we will use will be qualitative, as we will explore the information through text and image data, which will allow us to take a more subjective and in-depth look. With a broader approach, which makes us explore the phenomenon of criminal compliance and understand why, how it occurs, which factors influence it and how to avoid the commission of crimes by the legal person (Lakatos and Marconi 1989). Research character (nature) will be the method of investigation of a descriptive and qualitative character, which involves a more in-depth assessment of the information collected in a given study. The research will be descriptive and aims to describe the characteristics of a population, a phenomenon, or an experience. We will try to explain the relationship between the cause and the effect of the criminal compliance phenomenon (Lakatos and Marconi 1989). The study will be cross-sectional, the research is carried out in a short period. The research method to be used will be the documentary analysis of the literature (bibliographic) on the subject, institutional documents kept in company files, public agencies and other institutions, legal documents and jurisprudence (official documents) of real cases. Documents with legal content, such as judgments and jurisprudence will be used, with both printed and electronic documentation of public access in the case analysis part. In the empirical part of the study, this will use semi-structured interviews with professional participants or lawyers who work and study in the area of compliance from two different countries (Portugal and Brazil). The sample will be selected from the case law of 4 (sample number) criminal compliance cases from different companies and from different continents: Siemens (North America - USA), BES/GES Group (Europe -Portugal), Parmalat (Europe - Italy) and Odebrecht (South America - Brazil) (Lakatos and Marconi 1989).
Description
Keywords
Compliance criminal Pessoa jurídica Brasil Portugal Crimes Criminologia Criminal compliance Legal person Brazil Crimes Criminology