updated and corrections / mise à jour et corrections: 19 January 2012  

- To assist researchers, please do not hesitate to suggest titles to these bibliographies.  Thank you.
- Pour le bénéfice de tous, n'hésitez pas à suggérer des ajouts aux bibliographies.  Merci.
flareau@rogers.com
 

by/par ©François Lareau, 2003-, Ottawa, Canada
First posted on the Internet on: 13 December 2003

Selected Bibliography on the Criminal
Liability of Corporations (with elements
of criminology, history, philosophy and
sociology)
-------------------------
Bibliographie choisie sur la responsabilité
pénale des corporations (avec des éléments de
criminologie, d'histoire, de philosophie et de
sociologie)
 

Part I -  Canadian Law/ Droit canadien

-------------------------
see also:

Part/Partie II -- Comparative Law/Droit comparé

• A-E
• F-K
• L-Q
• R-Z

------------------------------

ASPLUND, C. Thomas, "Corporate Criminality: A Riddle Wrapped in a Mystery Inside An Enigma", (1985) 45 Criminal Reports (3rd series) 333-340;
 

ARCHIBALD, Todd, Kenneth Jull and Kent Roach, "The Changed Face of Corporate Criminal Liability", (2004) 48(3) The Criminal Law Quarterly 367-396;

[Contents]

[Introduction]...367

1. The Old Law of Directing Minds and the Policy-Making/Managerial Divide...370

(1) Multiple Minds...371
(2) Policy versus Operational Decisions...371

2. The New Law of Expanded Organizational Criminal Liability...374

(1) Expanded Definition of "Organization"...374
(2) Expanded Definition of "Representative"...375
(3) New Definition of "Senior Officer"...375
(4) Subjective Intent Offences...378
(5) Negligence Offences...385
(6) Protecting Workers...388

3. A New Sentencing Regime for Organization...388

(1) Sentencing Principles for Organizations...389
(2) Probation Orders for Organizations...392

4. A Preliminary Evaluation of the New Law...392

___________Regulatory and corporate liability : from due dilligence to risk management, Aurora, Ont. : Canada Law Book, c2004-, loose-leaf, ISBN: 0888044208; copy at the Library of the Supreme Court of Canada, KF1418 A6 A73 2004;
 

BAKAN, Joel, The corporation : the pathological pursuit of profit and power, New York: Free Press, 2004, 228 p., ISBN: 0743247442; copy at the Library of the Supreme Court of Canada, HD2731 B35 2004; copy at Ottawa University, MRT General: HD 2731 .B24 2004; Professor Bakan teaches at UBC Law Faculty;

"Contents

Introduction...1

ONE  The Corporation's Rise to Dominance...5

TWO   Business as Usual...28

THREE  The Externalizing Machine...60

FOUR  Democracy Ltd....85

FIVE  Corporations Unlimited...111

SIX   Reckoning...139

    Notes...169
    Selected Bibliography...201
    Acknowledgments...215
    Index...219"  (p. [iii])
 

BANSAL, Pratima and Sonia Kandola, "Corporate social responsibility: why people behave badly in organizations" (March 2004) 68 Ivey Business Journal number 4; pp. 1-5; available at   http://www.iveybusinessjournal.com/view_article.asp?intArticle_ID=469 (accessed on 12 August 2004); note: Ivey Business Journal Online is published by Ivey Management Services a division of the Richard Ivey School of Business, The University of Western Ontario; see  http://www.iveybusinessjournal.com/;
 

BEARE, Margaret E, Scott K. Fenton, 1958-, and W. Graeme Cameron, Osgoode Hall Law School. Professional Development Programme, Corporate crime and accountability in Canada 2003, [Toronto, Ont.] : Osgoode Hall Law School, York University Professional Development Program, 2003, 1 v. (various pagings); notes: "Friday, December 5, 2003"; Course chairs, Scott K. Fenton, Margaret Beare; faculty, W. Graeme Cameron ... [et al.];  title noted in my research but book not consulted; no copy of this publication in the Ottawa area libraries covered by the AMICUS catalogue of the National Library of Canada (verification of 4 July 2004);
 

BEAUCHESNE, Eric, "U.S. firms surpass Canadian companies in governance: study", The Ottawa Citizen, Wednesday, September 8, 2004, p. B3;

" 'The countries that tend to have the best governance profiles are Canada, the U.S., the U.K. and Australia,' said Gavin Andersen, chief executiveof the research firm.

    'If you ask yourselves what's the common dominator, there is the Anglo-Saxon legal system and the protection of property rights.' " [note: the research firm is Governance Metrics International, New York]

BEEHO, Jason, "Bill C-45: proposed amendments to Criminal Code intended to promote safe workplaces and ensure corporate responsibility", (September 2003) 13(2) Employment and Labour Law Reporter 45-50; copy at the Library of the Supreme Court of Canada, Ottawa;
 

BEHARIE, Nicolette and Angela Stelmakowich, "Corporate Liability: There Oughta Be A Law --The federal government is considering adding health and safety obligations to the Criminal Code.  What would it look like?  And what would it mean?", (March 2003) 19(2) OH&S Canada [Canada's Occupational Health & Safety Magazine] 42-44 and 46-47;
 

BÉLANGER, Michel, 1961-, "La responsabilité de l'État et ses sociétés en environnement" dans Actes des Journées strasbourgeoises de l'Institut canadien d'études juridiques supérieures 1992, Droits de la personne: l'émergence de droits nouveaux: aspects canadiens et européens, Cowansville, Québec : Éditions Yvon Blais, 1993, [viii], 708 p., aux pp. 415-439, ISBN: 2890738582; copie à l'Université d'Ottawa, FTX General: KE 4381 .A66 I57 1992;

"PLAN

Introduction...417

1. Les privilèges et immunités de la Coruronne...418

1.1. L'immunité d'application des lois...418
1.2  L'immunité de la poursuite...421

2.  La responsabilité dans l'exercice des pouvoirs de l'État en matière d'environnement...426

2.1  L'exercice du pouvoir de contrôle et d'inspection...429
2.2. L'exercice du pouvoir d'émission de permis de polluer...433

Conclusion...435" (p. 415)

BÉLIVEAU, Pierre, "La responsabilité pénale des corporations en droit canadien", [1999] Revue de science criminelle et de droit pénal comparé 1-16; copie à l'Université d'Ottawa, KJJ 0 .R489  Location: FTX Periodicals; copie à l'Université d'Ottawa, KJJ 0 .R489  Location: FTX Periodicals; importante contribution;

Table des matières

I.  Les infractions de nature criminelle...2

A. -- La problématique...2

B. -- La théorie de l'identification...4

1.  Le principe...4

a) Le domaine d'application du principe...4

1) Les personnes morales de droit privé...4
2)  Les personnes morales de droit public...6

b) l'âme dirigeante...7

2.  Les limites...10

a) En matière de responsabilité...10

1) L'ennemi de la corporation...10
2) Les infractions de nature particulières...11

b) Dans les autres domaines...12

1) La contraignabilité...12
2) La sentence...13

II. -- Les infractions réglementaires...14

A. -- Les infractions de responsabilité absolue...15

B. -- Les infractions de responsabilité stricte...15

BERGER, Stanley David, The Prosecution and Defence of Environmental Offences, 2 volumes, Aurora: Canada Law Book, 2002-, ISBN: 0920722571; copy at the Library of the Supreme Court of Canada, Ottawa, K 3775A6 B47 1994, v. 1 and 2;

Contents

volume 1
1. Constitutional Issues
2. Environmental Regulations
3. Hot Calls
4. Procedure and Evidence
5. Due Diligence Defence
6. Corporate Liability

Volume 2
7. Sentencing
- Tables and Index

BERNARD, Nathalie Y., 1966-, The Legal Liability of Directors and Officers of Corporations for Environmental Degradation, LL.M. thesis, Dalhousie University, Faculty of Law, Halifax (Nova Scotia), 1992, viii, 245 p.; copy at the National Library, Ottawa; title noted in my research but thesis not consulted yet;
 

BEVERIDGE, Duncan R. and Patrick J. Duncan, Review of the Nova Scotia Public Prosecution Service : report on the Westray prosecution,  [Halifax]: Department of Justice, 2000. 2 volumes (v. 1, 286 p.; v. 2, various pagings); copy at the National Library of Canada, Ottawa; title noted in my research but document not consulted yet;
 

BIRKHOLZ, Matthias, 1962-, Blame it on the Flow Chart? : Rethinking Corporate Criminal Law, LL.M. Thesis, University of Toronto, Faculty of Law, 1990, 278, [11] p.; copy at the National Library of Canada, Ottawa; title noted in my research but thesis not consulted yet;
 

BOISVERT, Anne-Marie, 1960-, Comments on the white paper proposals concerning the liability of corporations, [Ottawa] : Law Reform Division, Dept. of Justice Canada, 1994, 26, [5]  p. (Collection; 6386-100-09e), available at my Digital Library; also published in French / aussi publié en français: Commentaires sur les propositions du livre blanc concernant la responsabilité des personnes morales, [Ottawa] : Division de la réforme du droit, Ministère de la justice du Canada, 1994, 28, [4] p. (Collection;  6386-100-09f), disponible à ma Bibliothèque numérique;
 

___________"Corporate Criminal Liability", [Ottawa]: Uniform Law Conference, 1999, (series; criminal law study paper), available at http://www.ulcc.ca/en/criminal/index.cfm?sec=3&sub=3e#Footref74 and  http://www.law.ualberta.ca/alri/ulc/99pro/ecrliab.htm (accessed on 3 November 2003); also published in French / aussi publié en français: "Document de discussion sur la responsabilité pénale des personnes morales", [Ottawa]: La conférence pour l'harmonisation des lois au Canada, 1999 (Collection; Études sur le droit criminel), disponible à  http://www.ulcc.ca/fr/criminal/index.cfm?sec=3&sub=3e  et  http://www.law.ualberta.ca/alri/ulc/99pro/fcrliab.htm (visionnés le 3 novembre 2003);
 

___________Corporate culture as a basis for the criminal liability of corporations, [Ottawa : Dept. of Justice, 1995], 21 p.; also published in French / aussi publié en français: La culture corporative comme fondement de la responsabilité pénale des personnes morales, [Ottawa : Ministère de la justice, 1995], 24 feuilles;
 

BOISVERT, Anne-Marie, 1960-, and Patrick Healy, "Editorial [on Bill C-45]", (2004) 8(3) Canadian Criminal Law Review / Revue canadienne de droit pénal 281-282; also published in French / aussi publié en français: "Éditorial [sur le projet de loi C-45]", aux pp. 283-284;
 

BOURQUE, Sophie et Mathieu Beauregard, "Quand l'accident de travail devient un crime: C-21, la terreur des conseils d'administration", dans sous la direction du Service de la formation permanente du Barreau du Québec, Développements récents en droit criminel, Cowansville (Québec): Éditions Yvon Blais, 2004, xiii, 263 p., aux pp. 123-149 (Collection; Service de la formation permanente du Barreau du Québec; volume 211), ISBN: 289451778;  notes: C-21 = Loi modifiant le Code criminel (responsabilité pénale des organisations), L.C. 2003, ch. C-21 (Projet de loi C-45); colloque, "Développements récents en droit criminel", Montréal, 15 octobre 2004; copie à la Cour suprême du Canada, KF 9220 ZA2 D48 2004;

[TABLE DES MATIÈRES]

INTRODUCTION...125

I- L'étude et l'analyse des nouvelles dispositions législatives...126

A. Qui sont les personnes visées par les nouvelles dispositions?...129

1. L'organisation...129
2. Les individus...130

a) Celui qui dirige...130
b) Les agents de l'organisation...130
c) Les cadres supérieurs de l'organisation...131

B. Quels sont les incidents visés par la nouvelle loi?...131
C. Les peines adaptées à l'organisation...132
D. La norme de diligence raisonnable...134

1. Le devoir de prévoyance...135
2. Le devoir d'efficacité...137
3. Le devoir d'autorité...139

II- L'analyse de l'interaction entre l'enquête criminelle et les enquêtes d'organismes de réglementation...140

A. Les pouvoirs d'enquête de la C.S.S.T....141

1. La collaboration de l'organisation...142
2. La collaboration des cadres supérieurs...143
3. La collaboration des agents de l'organisation...143

B. Les pouvoirs d'enquête du coroner...143
C. Les pouvoirs d'enquête du policier...144
D. Le droit à l'avocat et le droit de garder le silence...144

1. Le droit à l'avocat...144

E. L'utilisation ultérieure de la preuve recueillie lors de ces enquêtes dans le cadre d'une poursuite criminelle...146
F. L'exigence du respect des garanties procédurales...146

III- Les mandataires, sous-traitants et commanditaires de l'organisation...147

A. La responsabilité de l'organisation pour les gestes de ses sous-taitants...147
B. La esponsabilité de l'organisation pour les gestes de ses mandataires...148

CONCLUSION...149" (pp. 123-124)

BOYLE, Christine, "Corporate Criminal Liability -- Reviewing: Celia Wells, Corporations and Criminal Respopnsibuility. Oxfiord: Clarendon Press, 1993, 165 pp.", (1994) 5 Criminal law Forum 715-722;
 

BOWAL, Peter, "White Collar Sentencing", (June/July 1998) 22(6) Law Now 44-45;

[Contents]

Sentencing Corporations...44

Manager Liability...44

Liability as a Principal Offender...44
Liability as Director...45

BOWDEN, Marie-Ann and Tim Quigley, "Pinstripes or Prison Stripes?  The Liability of Corporations and Directors for Environmental Offences", (1995) 5 Journal of Environmental Law and Practice 209-261;

CONTENTS

1. Introduction...210

2. The Present Regime for Environmental Offences in Canada...213

(a) The Evolution of Environmental Regulation in Canada... 213
(b) The Development of Environmental Offences...217

3.  Corporate Liability...221

(a) Why Have Corporate Liability at All?...221
(b) A Survey of the Bases for Corporate Criminal Liability...224

(i) vicarious liability...224
(ii) The identification theory...226
(iii) Recent reform proposals...228

(c) Constitutional Considerations...231

4.  The Characterization of Existing Environmental Offences...233

5. Current Problems in Enforcement...238

6.  Our Proposals
(a) Corporate Liability...242

7.  The Liability of Officers and Directors...253

8.  Conclusion...260

BRANCO, Daniela, Towards a New Paradigm of Corporate  Criminal Liability in Brazil:  Lessons from Common Law  Development, LL.M. thesis, University of Saskatchewan, 2006, available at http://www.collectionscanada.ca/obj/s4/f2/dsk3/SSU/TC-SSU-04192006112943.pdf (accessed on 20 July 2006);

BRISSETTE, Marc, "La criminalité des affaires et les sentences applicables aux personnes morales", (1982) 15 Criminologie 77-104; copie à l'Université d'Ottawa, HV 6002 .A35  Location: MRT Periodicals; copie à la Bibliothèque de la Cour suprême du Canada, Ottawa; disponible à http://www.erudit.org/revue/CRIMINO/1982/v15/n1/017151ar.pdf  (site visité le 31 mars 2006);
 

___________Les sanctions pénales et les personnes morales, thèse LL.M., Université de Montréal, 1979, x, 347 feuilles; copie à la Bibliothèque nationale du Canada, Ottawa; titre noté dans mes recherches mais thèse pas encore consultée;
 

BROCKMAN, Joan, Subjecting the Corporation to Criminal Sanctions : A Review of the Issues, LL.M. thesis, University of British Columbia, 1982; title noted in my research but thesis not consulted yet;

"ABSTRACT
This thesis reviews some of the issues concerning the criminal liability and sanctioning of corporations and individuals involved in corporate crime. Prohibitions against conspiracies to lessen competition and illegal mergers under the Combines Investigation Act are used for illustrative purposes. The nature of these offences and the goals which they are designed to achieve, from an economic and political point of view, are discussed.

The limitations of the criminal law and the criminal justice system, as presented by the Law Reform Commission of Canada and Professor Packer, are used to evaluate the appropriateness of the criminal law and the criminal justice system for enforcing prohibitions against conspiracies to lessen competition and illegal mergers. It is concluded that the system is appropriate for enforcing the laws against conspiracies to lessen competition and inappropriate for regulating mergers.

The corporate entity is the most common vehicle through which conspiracies to lessen competition take place. The nature of the corporation, how it makes and implements decisions, and its relationship to individuals within the corporate structure are examined in order to shed some light on how corporate behavior can be controlled.

The present methods used to attach criminal liability to corporations and an alternative method, structural liability, are discussed. The liability of individuals involved in corporate crime through aiding or acquiescing, is also considered. There is a discussion of some of the rules peculiar to corporations.

The goals which judges hope to achieve in sentencing corporations for illegal conspiracies and the appropriate criminal sanctions to be used to achieve compliance from corporations and individuals involved in corporate crime are considered. A number of recommendations are made with regard to improving the control of corporate behavior through the criminal justice system." (Source: http://www.library.ubc.ca/law/abstracts/brockman.html, accessed on 25 October 2003)

BROWN, Michael F., "Corporate Criminal Liability", (May 1991) 4 Crown's Newsletter 3-26; published by the Ontario Crown Attorneys Association; copy of this periodical at the Library of the Supreme Court of Canada, Ottawa;

CONTENTS

Introduction...3

Primary Liability v. Vicarious Liability...4
Vicarious Liability...4
Primary Liability...10
Absolute Liability Offences...11
Strict Liability Offences...12
Mens Rea Offences...13
Who is the "Directing Mind"?...16
The Defence of Fraud...16
Compelling Self-Incrimination...18
Corporate Mergers...18
Must there be an identifiable guilty party to
  secure a conviction of the corporation...19
The Rights of a Corporation to seek Charter relief...19
Personal Liability of Corporate Officers and Directors...22

Endnotes...25

BURNS, Peter, "A Feature of Corporate Criminal Liability or Why the Brains of a Corporation Are Not Necessarily Its 'Intimate Friends' ", (1977-78) 2 The Canadian Business Law Journal 474-476; discusses in part the case of R. v. Parker Car Wash System Ltd (1997) 35 C.C.C. (2d) 37 (Ont. H.C.J.); copy at Ottawa University, KE 912 .C343  Location: FTX Periodicals;
 

CAIRNS-WAY, Rosemary, 1956-, Dimensions of Criminal Law -- Toni Pickard, Phil Goldman, Renate M. Mohr, 3rd ed., Toronto: Emond Montgomery Publications, 2002, xxvi, 1004 p., see "Comment on Canadian Dredge & Dock", at pp. 309-311, ISBN: 155239050; copy at Ottawa University, location: FTX general, KE 8808.5 .P528 2002;
 

CAMPBELL, R.L., "Corporate Criminal Liability", in R.L. Campbell, ed., The Legal Framework of Business Enterprises, 3rd ed., North York, Ont.: Captus Press, 2001, vii, 394 p. (series; Canadian legal studies series), ISBN: 1553220234; copy at the National Library of Canada, Ottawa; title noted in my research but document not consulted yet (as of 12 November 2003);
 

CANADA/PROVINCES, Report of the Working Group on Chapter 2 of the Law Reform Commission of Canada Report 30 "Recodifying Criminal Law", [Ottawa]; [Department of Justice Canada], January 1988, v, 118 p., see "Clause 2(5) Corporate Liability" at pp. 91-100; Chapter 2 of report 30  is entitled "Principles of Liability".  This report was submitted to the Federal-Provincial Coordination Committee of Senior Justice Officials.  Members of the Working Group were from: the Department of Justice Canada, and from the following provincial Attorney General departments or Ministries/Departments of Justice: Ontario, Québec, Nova Scotia, Saskatchewan, Alberta and  British Columbia. This report is available from the Department of Justice Canada.  It was obtained by François Lareau in 1998 under Access to Information Request number A98-00184; available at http://www.lareau-legal.ca/WorkingGroupGeneralPartEnglish2.pdf and at my Digital Library, http://www.lareau-law.ca/DigitalLibrary.html; also available in French / aussi disponible en français: CANADA/PROVINCES, Rapport du Groupe de travail chargé de l'étude du chapitre 2 du Rapport no 30 de la Commission de réforme du droit du Canada "Pour une nouvelle codification du droit pénal" (Volume I), [Ottawa]: [Ministère de la Justice Canada],  janvier 1988, vi, 134 p., voir "Paragraphe 2(5) Responsabilité des personnes morales" aux pp. 103-114; le chapitre 2 du rapport 30 a pour titre "Principes régissant la responsabilité".  Ce rapport a été soumis au Comité fédéral-provincial de coordination composé de fonctionnaires de niveau supérieur de la justice.  Les membres du groupe de travail proviennent du Ministère de la Justice Canada et des ministères des procureurs généraux /ministères provinciaux de la justice de: l'Ontario, Québec, Nouvelle-Écosse, Saskatchewan, Alberta et Columbie-Britannique. Ce rapport est disponible au Ministère de la Justice Canada.  Il a été obtenu par François Lareau en 1998 suite à une demande d'accès à l'information numéro A-98-00177; disponible à http://www.lareau-legal.ca/WorkingGroupGeneralPartFrench2.pdf et à ma Bibliothèque digitale,  http://www.lareau-law.ca/DigitalLibrary.html;

"Clause 2(5) Corporate Liability

1. LRC Proposals

a. Recommendation

2(5) Corporate Liability.

(a) With respect to crimes requiring purpose or recklessness, a corporation is liable for conduct committed on its behalf by its directors, officers or employees acting within the scope of their authority and identifiable as persons with authority over the formulation or implementation of corporate policy.

(b) With respect to crimes requiring negligence a corporation is liable as above, nothwithstanding that no director, officer or employee may be held individually liable for the same offence.
[pp. 22-23 of the Report]
 

[Alternative
2(5) Corporate Liability.  A corporation is liable for conduct committed on its behalf by its directors, officers or employees acting within the scope of their authority and identifiable as persons with authority over the formulation or implementation of corporate policy, notwithstanding that no director, officer or employee may be held individually liable for the same offence.]
[p. 23 of the Report]
 

b. Appendix A Provision (Draft Legislation)
 

c. 27 [Corporate liability]  With respect to crimes requiring purpose or recklessness as the relevant state of mind, a corporation is criminally liable for conduct engaged in on its behalf by its directors, officers or employees acting within the scope of their authority and identifiable as persons with authority over the formulation or implementation of corporate policy.

(2) [Idem]  With respect to crimes requiring negligence as the relevant state of mind, a corporation is criminally liable for conduct engaged in on its behalf by its directors, officers or employees acting within the scope of their authority and identifiable as persons with authority over the formulation or implementation of corporate liability, notwithstanding that no such director, officer or employee may be held individually liable for the same offence.
[p. 103 of the Report]

2. Existing Law

a. Criminal Code Provisions

    Section 2 of the Criminal Code ensures that corporations can be held criminally liable for an offence since that section defines a 'person' as including corporations:

s. 2 ["every one" "person" "owner"] "every one", "person", "owner", and similar expressions include Her Majesty and public bodies, bodies corporate, societies, companies and inhabitants of counties, parishes, municipalities or other districts in relation to the acts and things that they are capable of doing and owning respectively;

Since a corporation is not a human person, the Criminal Code provides special rules of procedure for a corporation:

- s. 466 (appearance of a corporation at a preliminary inquiry by counsel or agent; procedure when not appearance);

- s. 486 (appearance, non-appearance and corporation not electing at trial by provincial court judge);

- s. 548 (appearance by counsel or agent);

- s. 550 (procedure on default of appearance);

- s. 551 (trial of corporation);

- s. 592(4) (procedure for greater punishment for previous conviction where non-appearance);

- s. 631.2 (service of process on a corporation); and

- s. 735(3) (appearance by corporation in summary conviction proceedings).

Since a corporation can not serve a sentence of imprisonment, a corporation is liable, in lieu of imprisonment, to a fine.  Section 647 reads as follows:

647. [Fines on corporations]  Notwithstanding section 646, a corporation that is convicted of an offence is liable, in lieu of any imprisonment that is prescribed as punishment for that offence, to be fined in an amount, except where otherwise provided by law,

(a) that is in the discretion of the court, where the offence is an indictable offence; or

(b) not exceeding twenty-five thousand dollars, where the offence is a summary conviction offence.

Finally, s. 648 provides for the procedure to enforce fines on corporations.
 

b. Common Law

A corporation can be liable for an offence of absolute liability, strict liability or an offence requiring mens rea.  Fore a discussion of these categories of offences and the meaning of mens rea, see the heading 'Existing Law' for clause 2(2), conduct and liability.

A corporation will be found guilty of an offence of absolute liability, if the corporation's employee committed the actus reus or prohibited conduct of the offence; a corporation will be found guilty of a crime of strict liability, if the corporation's employee committed the actus reus of the offence and the corporation can not establish a defence of due diligence.  On the defence of due diligence for corporations, the Supreme Court of canada stated in R. v. Sault Ste. Marie, [1978] 2 S.C.R. 1299 at p. 1331:

The due diligence which must be established is that of the accusedl alone....  The availability of the defence to a corporation will depend on whether such due diligence was taken by those who are the directing mind and will of the corporation, whose acts are therefore in law the acts of the corporation itself.

The rest of our comments will concern crimes having a mens rea.

In R. v. McNamara et al. (No. 1) (1981), 56 C.C.C. (2d) 193 at p. 312, the Ontario Court of Appeal approved the direction of the trial judge that one of the bases of corporate liability was as follows:

A company may be responsible for the criminal acts of its servant ...if the servant has authority, express or implied, to do the act. [p. 308]

On appeal to the Supreme Court of Canada, Canadian Dredge & Dock Co. v. The Queen, [1985] 1 S.C.R. 662 at pp. 701-702, the Court did refer to the above basis of liability but did not deal with it as it was concerned with the second ground of liability for corporations, the identification theory.  It seems, however, from p. 675 of the report, that the authority given to the servant for the first ground of luiability woul have to come from the board of directors.

In Canadian Dredge & Dock Co. v. The Queen, the Supreme Court of Canada dealt exclusively with the identification theory as a ground of liability for corporations.  The law is difficult to sum up without citing a few excerpts of the Supreme Court decision:

It [the identification theory] produces the element of mens rea in the corporate entity, otherwise absent from the legal entity but present in the natural person, the directing mind. This establishes the "identity" between the directing mind and the corporation which  results in the corporation being found guilty for the act of the natural person, the employee....[p. 682]

....

The essence of the test is that the identity of the directing mind and the company coincide so long as the actions of the former are performed by the manager within  the sector of corporation operation assigned to him by the corporation. The sector may be functional, or geographic, or may embrace the entire undertaking of the corporation. The requirement is better stated when it is said that the act in question must be done by the directing force of the company when carrying out his assigned function in the corporation. [p. 685]

....

 The identity doctrine merges the board of directors,  the managing director, the superintendent, the manager or anyone else delegated by the board of directors to whom is delegated the governig executive authority of the corporation, and the conduct of any of the merged entities is thereby attributed to the corporation.... [A] corporation may ... have more than one directing mind.  This must be particularly so in a country such as Canada.... [p. 693; emphasis added]

....

...[T]he identification doctrine  only operates where the Crown demonstrates that the action taken by the directing mind (a) was within the field of operation assigned to him; (b) was not totally in fraud of the corporation; and (c) was by design or result partly for the benefit of the company. [pp. 713-714]
 

When the corporation is found guilty of the offence, it means generally that the directing mind is also guilty of the offence (Canadian Dredge & Dock Co., supra, at pp. 685-686).  The Crown can bring charges against the directing mind (the directors involved etc.), the corporation or both.

There has been no decision by the Supreme Court of Canada if s. 7 or any of the provisions on s. 11 of the Charter apply to corporations.  In Re B.C. Motor Vehicle Act, supra, Lamer J. speaking for the majority stated:

...I understand the concern of many as regards corporate offences, specially, as was mentioned by the Court of Appeal, in certain sensitive areas such as the preservation of our vital environment and our natural resources.  This concern might well be dispelled were it to be decided, given the proper case, that s. 7 affords better protection to human persons only and does not extend to corporations.

Even if it be decided that s. 7 does extend to corporations, I think the balancing under s. 1 of the public interest against the financial interests of a corporation would give different results from that of balancing public interest and the liberty or security of the person of a human being.

3.  Comments on Proposals

a.  Position on Clause 2(5)(a) and Points in Issue

    Position of the members on clause 2(5)(a).  The members are unanimously opposed to clause 2(5)(a) as drafted for the following reasons:

    Reasons raised in one of the papers.  All the members agreed generally with the comments made in one of the papers (Document 31 at Appendix A):

'a) Individuals Capable of Giving Rise to Corporate Liability

The LRC proposal states that a corporation is liable for conduct committed on its behalf by its 'directors, officers or employees'.  This class of individuals is too restricted.  Any person given authority by the corporation to act on its behalf should be capable of giving rise to corporate liability.  The term 'agent', which is referred to in s. 1(2) of the draft Code, should be utilized to properly include all corporate representatives within the class of individuals capable of giving rise to corporate liability.

b) 'On Its Behalf'
The phrase 'on its behalf' will give rise, I suspect, to considerable litigation.  Corporate lawyers will argue that only acts authorized at the Annual Meeting or by the Board of Directors are done 'on behalf' of the corporation.  It will also be argued that conduct which benefits the individual who performed it, as well as the corporation, cannot be said to have been done 'on behalf' of the corporation.  The common law is now clear that if the corporation obtained any benefit from conduct performed by a corporate directing mind, the corporation will be liable notwithstanding that the conduct also benefitted the directing mind personally.  This issue will probably be re-litigated if the draft Code becomes law.

c) 'Scope of Their Authority'
This is another phrase much litigated in the past.  Originally, it was thought that no illegal act was within the scope of a corporate agent's authority.  The phrase now refers to the area of corporate activity over which the corporate agent has responsibility.  The phrase belongs to the delegation authority, which is not specifically addressed in the draft Code (see infra).  It is a term of art.  To the extent that the draft Code seeks to articulate its principle in language understandable to laymen, this phrase is not very useful.

d) 'Authority Over the Formulation
    or Implementation of Corporate Policy'
Once again, this phrase will give rise to substantial litigation.  The trick is to arrive at a formulation which will make the corporation liable for the criminal conduct of those members of its personnel who can truly be said to 'represent' the corporation, but not liable for the crimes of every corporate agent.  To a certain extent it can be said that all corporate employees, no matter how menial the tasks they perform, have 'authority ... over the ... implementation of corporate policy'.

On the other hand, the phrase could be interpreted narrowly and restricted in its application to very few senior corporate agents (as in the Tesco case).  This would ignore the reality of corporate structures in Canada, where corporate decision making is often geographically spread out.  The delegation theory, developped in the St. Lawrence case, recognizes that corporations often delegate authority to regional or division managers whose authority, while effective in the area over which they have responsibility, is quite limited having regard to the overall structure of the corporation.

e) Low level Employees Acting on Instruction
The LRC draft Code does not appear to address situations where decision making officers instruct lower level employees to engage in conduct that is criminal.  The draft Code refers to 'conduct' by the corporation's directing minds giving rise to corporate liability.  However, in most cases the senior executive will not perform the conduct himself; the actual conduct itself will most likely be performed by someone else.  On a strict reading of the draft Code, it could be said that the conduct in such circumstances was not committed by a person capable of giving rise to corporate liability.'

In connection with point a) above, several members are of the view that the LRC proposal is too narrow in that it does not reflect today's corporate structuring or functioning.  This is especially true for corporations acting through contractors who provide services or handle part of the corporation's activities or corporations' agents that are not 'directors, officers or employees'.

In connection with point e) above, one member pointed out that clause 2(5)(a) did not cover the ground of liability referred to in R. v. McNamara et al., supra (Document 2 at Annex A).
 

b) Position on Clause 2(5)(b) and Points in Issue

    Position of the members on clause 2(5)(b).  The members are opposed to c. 2(5)(b) as drafted for the following reasons:

    1) Reasons raised in one of the papers.  All the members agreed generally with the first paragraph and a majority of members agreed generally with the second paragraph of one of the papers (Document 31 in Appendix A) that states:

f) Negligence
Draft Code s. 2(5)(b) addresses corporate liability for negligence.  The LRC's stated intention to cover negligence flowing from 'organizational process' rather than the conduct of individuals is commendable and reflects developments in the United States law.  However, I am not sure that the words of the section make this intention as clear as the Comment suggests.

A deficiency in the section is its restriction to the conduct of 'directing minds'.  When it comes to crimes requiring negligence, I do not see why negligence of any corporate agent should not give rise to corporate liability, unless the corporation ... can show that it exercised due diligence in its attempts to prevent negligence by its employees.
 

    2) Different meaning of negligence.  Some members states that the offence referred to 'crimes requiring negligence' but that the definition of negligence at clause 2(4)(b) is not appropriate for the 'negligence in the organizational process' referred to in that clause.  On this point, one member wrote:

As to c. 2(5)(b), the LRC abandons the identification theory in favour of a concept of negligence which it refers to in the comment as 'negligence in the organizational process rather than in the conduct of any single individual'.  Nothing is said about the definition or test that sort of negligence which would be different from the definition of negligence found in c. 2(4)(b).  In the absence of more information and discussion, I find the proposal to be vague and I cannot agree with it.
[Document 2 at Appendix A]

c. Clause 2(5) -- The Alternative

The members did not have the time to thoroughly discuss the alternative and will make no recommendation as to it.  One member commented on that alternative by writing that 'this proposal does not discuss the issue if such an extension of the criminal law is required and if in practice such a provision is required.  Again, in the absence of a more in depth discussion, I  cannot agree with it'  (Document 2 at Appendix A).

d. Codification

Retention of criminal corporate liability.  The members discussed a proposal made in one of the papers (Document 31 of Appendix A) that corporate liability should be abolished.  All the members are in favour of the retention of criminal corporate liability.  One reason is that the abolition of criminal corporate liability would deprive the provinces of a most effective way of prohibiting or limiting an activity, in the event that it needs to be prohibited or limited.  Another reason is that it may be easier to prove a case against a corporation than against an individual because the Crown can call as witnesses all the individuals of the corporation that have made the decision.  Finally, fining a corporation is a viable alternative to fining insolvent directors.

In the paper advancing that criminal corporate liability ought to be abolished, it was proposed that where human agents of the corporation had committed a crime and that a corporation had profited from it, 'a sentencing mechanism could be developed that required the corporation to make restitution....'   Members were opposed to such a scheme because the whole part of such a trial would focus on the issue of guilt of an individual and at the time of sentencing, the corporation, another legal entity, would be penalized.

    Proposal for further study.  The LRC acknowledges at p. 24 of the Report that that more work is required in the area of corporate liability.  A majority of members voted in favour of the following resolution:

A further examination should be made with a view towards making corporations liable where individuals acted under the apparent authority of the company.  The corporation would be liable unless it shows that it took all reasonable steps to prevent the commission of the crime.  This resolution only applies to crimes of negligence.

  Mosaic of opinions expressed on corporate liability.  The members expressed a mosaic of views on corporate criminal liability.  One member thought that the identification theory should continue to apply to crimes of negligence and that there was no place in the Criminal Code for strict liability offences.  One member is in favour of the above resolution because, inter alia, he does not think that s. 7 of the Charter applies to corporations.  One member wrote that there 'should be liability for all criminal conduct attributable to the organization but not to any individual officers because of diffuse participation" and that a 'case can also be made for criminal liability in some cases where an officer or agent acted outside formal authority, especially where there is acquiescence and a potential benefit to the organization' (Document 6 at Appendix A).  One member thinks that vicarious liabilitry for corporations is appropriate in some areas.  One member thinks that a strict liability type of offence for corporations could possibly be applied for some particular areas such as environmental crimes.  One member is of the view that the principle of restraint should guide any extension of liability for corporations.  Several members are of the view that criminal liability for corporations should be expanded.  This mosaic of views substantiate the need for further work.

e) Recommendations

The members recommend:

  1) unanimously that clauses 2(5)(a) and (b) be rejected;
  2) unanimously that criminal corporate liability be retained;
  3) by a majority that a further examination of corporate liability should be made with a view towards making corporations liable for a crime of negligence where individuals acted under the apparent authority of the company; the corporation would be liable unless it shows that it took all resaonable steps to prevent the commission of the crime; and
  4) unanimously that more work and study is required in the area of corporate liability." (pp. 91-100)

["Document 2 at Appendix A": Comments on Chapter II of the LRC Report # 30 submitted November 16, 1987 and as amended by "Appendix A (Revised)", dated November 23, 1987, [submitted by] Ontario;

"Document 6 at Appendix A": LRC Report # 30 Vol. 1, chapter 2, Principles of Liability, dated October 21, 1987, [submitted by] British Columbia;

"Document 31 at Appendix A": LRC Draft Criminal Code -- Corporate Criminal Liability, dated September 22, 1987, [submitted by] Ontario]
 

CANADA, Department of Justice Canada, Brian Jarvis and Darren Littlejohn,  Reforming the General Part of the Criminal Code: A Summary and Analysis of the Responses to the Consultation Paper, [Ottawa]: Department of  Justice Canada, Communications and Consultation Branch, 1995, 123 p., and see "Question 3 -- Corporate Liability", at pp.24-37; document obtained by François Lareau with letter from Department of Justice Canada, Access to Information and Privacy Office, dated 22 February 1999, Request file A98-00147, released pages 000731-000853; this document is available at my Digital Library on Canadian criminal law at, http://www.lareau-law.ca/DigitalLibrary.html; there are also two shorter versions of that document also available at my Digital Library: Reforming the General Part of the Criminal Code: Analysis of the Responses to the Consultation Paper, 51 p., and Analysis of Responses to the Consultation Paper on Reforming the General Part of the Criminal Code -- Executive Summary, 15 p; on these three documents,  see Background Document;

"3.  CORPORATE LIABILITY

Question posed:

Should corporate criminal liability be extended so that a corporation would be guilty of a crime if its representatives' acts, taken together, are a crime (even if no one has committed a crime individually)?

If so, should liability be based on 'corporate culture'?

Should corporate criminal liability also apply to unincorporated groups and organizations, such as partnerships, trade unions, community organizations, Indians bands, and churches?
 

RESPONSES

Responses to this question received from 2 community service groups, 1 legal academic, 20 members of the general public, 4 business groups, 1 member of the judiciary, 2 women's groups, 2 members of the police, 1 professional association, and 2 other federal departments.
 

GENERAL PUBLIC

All but 1 of the general public who responded supported the first option of extending corporate liability.  In this category a clear majority (10 respondents) supported the second option of basing liability on corporate culture.  Four respondents opposed this idea.  All but 2 respondents supported criminal liability to unincorporated groups and organizations.

Few respondents gave reasons for their views, but the tone of a number of the letters suggests that people think corporations do not take enough responsibility for their actions.  One respondent said that corporate culture must encourage and reward all employees for obeying not only the letter of the law, but the spirit of the law.  Unincorporated groups also do this.

On the other hand, one respondent asked how conclusions can be drwan from elusive concepts like 'corporate culture'?  The proposal seems to lower the standard of 'intent' by holding a corporation responsible for criminal liability without actually identifying specific culpable actions of its representatives.
 

CORPORATIONS/BUSINESS GROUPS

Long, detailed, and carefully reasoned responses were received from the Chamber of Commerce of a city in western Ontario, a large oil company, a large chemical company, and a group of telecommunications companies.  These respondents all expressed considerable concern over the options described in this section of the consultation paper.  The Chamber of Commerce wrote:

We emphasize our serious concerns that 'corporate culture' might be considered or adopted in any future legislation as the basis for corporate liability under the Criminal Code.  The objects of the reform are to make the law more complete and understandable to Canadians, reflect modern Canadian social values, and uphold the respect, commitment and confidence of Canadians.  We believe that the 'corporate culture' model is inappropriate and inconsistent with these goals.   We oppose its adoption as the basis for extending criminal liability in Canada.

Along the same lines, the oil company wrote that 'in an attempt to solve what appears to be a largely academic concern, as opposed to any readily identifiable need, the proposals have the potential to significantly expand corporate liability in a fundamentally unjust way.'
 

COMMUNITY SERVICE GROUPS

The Union of British Columbia Municipalities was also concerned about this question and it opposed the suggestion that the liability of corporate executives be expanded.  'We do not believe that the liability of elected officials, in the case of local government a mayor or a councillor, should be expanded to cover a broader range of activities undertaken by local government employees.'

The response of the other community service group was not exactly on point.
 

LEGAL ACADEMICS

The one legal academic who responded said she was not in a position to comment to any extent on these options, although she found the corporate culture idea interesting.  She also pointed out that the identification theory is problematic.
 

WOMEN'S GROUPS

Both the Provincial Advisory Council on the Status of Women, Newfoundland and Labrador, and the Catholic Women's League supported both the idea of extending corporate criminal liability and of basing liability on corporate culture.  The league added that it supports applying corporate criminal liability to unincorporated groups and organizations.  The League also suggested that corporate crimes attract large financial penalties, 'coupled with the officers and management of the entity being made to serve the time should the corporation be found guilty of any crime.'
 

PROFESSIONAL ASSOCIATIONS

The Institute of Chartered Secretaries and Administrators commented that if a corporation can be prosecuted and convicted on the strength of poor 'corporate culture', then the Code should establish presumptions or safe harbours which will encourage, protect and comfort those corporations wishing to establish and foster a 'good citizen' type of corporate culture. The Institute also expresses its opposition to the idea of Applying corporate criminal liability to unincorporated groups and organizations.
 

JUDICIARY

[This part of the paper was blanked out by the Department of Justice Canada under the claim of exemption of  s. 21(1)(b) of the Access to Information Act]
 

POLICE

One RCMP officer agreed that corporate liability should be extended.  However, this officer opposed basing liability on corporate culture because this would bring uncertainty to the law and would be difficult to prove, vague, and at risk to successful Charter challenge.  He added that extending liability to unincorporated groups, while consistent, would be difficult in practice due to new definitions being required.

A metropolitan Toronto Police officer agreed that corporate liability should be extended and include unincorporated groups and organizations.
 

FEDERAL/PROVINCIAL GOVERNMENTS

[This first part of this section was blanked out by the Department of Justice Canada under the claim of exemptions under paragraphs 21(1)(a) and (b) of the Access to Information Act]

Canadian Heritage wrote that it supports option 2 concerning corporate liability and option 3 pertaining to corporate culture, as set out in the technical paper.  As for extending corporate criminal liability to other organizations, the Department stated that this should be left to the common law." (pp. 8-11)

___________Department of Justice Canada, Brian Jarvis and Darren Littlejohn, Communications and Consultation Branch, Analysis of Responses to the Consultation Paper on Reforming the General Part of the Criminal Code, [Ottawa]: [Department of Justice Canada], August 1995, 15 p., see "Corporate Liability" at p. 3; document obtained by François Lareau, further to an Access to Information Act request;
 

CANADA, Department of Justice Canada and James W. O'Reilly, Toward a New General Part of the Criminal Code of Canada - Details on Reform Options -, [Ottawa]: [Department of Justice Canada], [December 1994], ii, 50 p., see "Corporate Liability" at pp. 24-27; available at my Digital Library, at http://www.lareau-law.ca/DigitalLibrary.html; also published in French/aussi publié en français: Ministère de la Justice Canada et James W. O'Reilly, Pour une nouvelle codification de la Partie générale du Code criminel du Canada -- Options de réforme --, [Ottawa]: [Ministère de la Justice Canada], [décembre 1994], ii, 51 p., voir la "Responsabilité des personnes morales", aux pp. 24-27; disponible à ma bibliothèque digitale à http://www.lareau-law.ca/DigitalLibrary.html;

 
[p. 24] "Corporate Liability

(a) White Paper Provisions  [see infra, CANADA, Minister of Justice Canada, The Honourable Pierre Blais]

Enacting Clause: Clause 8

Intended Effect: Enact a revised s. 22 of the Criminal Code

Commentary

The revised s. 22 would set out the conditions for corporate liability.  These conditions vary according to whether the offence charged requires intent or recklessness, on the one hand, or criminal or simple negligence, on the other hand.  For offences of intent or recklessness, s. 22(1) sets out the conditions for corporate liability; for offences of criminal negligence or negligence, s. 22(2) applies.  Other features of the provision are as follows:

The range of individuals for whose acts the corporation may be liable is very broad in both subsections.  However, the range is more circumscribed as regards the mental element.  Where the offence requires intent or recklessness, the state of mind must be found on the part of a person in authority in the corporation.  For offences requiring negligence or negligence, there need be no individual attribution of the failure to exercise reasonable are: the corporation may be liable for the collective failure of its managerial people to exercise reasonable care.

'Corporation' and 'bodies corporate' are defined to include partnerships, limited partnerships, and trade unions.  This takes into account the recent decision of the Supreme Court in United Nurses of Alberta v. Alberta (A.G.).²⁵

Subsection 22(3) codifies the existing law to the effect that a corporation may be found guilty of an offence not only as the one who actually commits it, but also as a party.

Subsection 22(6) makes applicable to any entity that falls within the extended definition of  'corporation', the provisions of the Criminal Code applying on their face to corporations proper.  Thus, for example, the provisions allowing for an ex parte trial of a corporation would apply, with the necessary changes, to a partnership charged as a 'corporation'.
------
²⁵ (1992), 13 C.R. (4th) 1 (S.C.C.).
 

[p. 25]
(b) Discussion and Options

The White Paper proposes that express rules of corporate liability be added to the Criminal Code.  Currently, these rules derive from common law.  Section 22 of the White Paper would expand the liability of corporations.   At present, corporations are liable when an offence is committed by a senior executive in the firm in the course of his or her duties.  This is referred to as the 'identification theory' of liability.  The liability of the corporation is identified with the liability of an individual within it.

Under the approach proposed, a corporation could be liable even where no one individual is identified as having committed an offence.  The corporation could be liable if responsibility for the offence were spread among two or more persons within the corporation.

The drafting of s. 22 is complex, given that it contains both the fault and physical elements of corporate liability.  Subsection (1) applies to offences of intention and recklessness.  Subsection (2) applies to offences of negligence.  The drafting could be simplified if the fault and physical elements were separated.

Another possible basis for corporate liability is where a 'corporate culture' within the firm leads to commission of an offence.  A corporation could be made liable for offences where senior individuals within the firm created a climate that fostered non-compliance with legal requirements or did not encourage compliance.  A proposal along these lines has been discussed in Australia.²⁶

The definition of 'corporation' in s. 22(4) is quite broad.  It would include a public body, body corporate, society, company, partership, limited partnership and trade union.  The question arises whether there is, or whether there should be, any limit on the scope of the principles of corporate liability.  Should the same principles apply to the liability of any organization, such as a church, a school, or an Indian band?  Alternatively, should the rules be limited in application to organizations formed for the purposes of generating profit, on the grounds that it is in relation to these kinds of groups that there are the most serious problems with compliance with the law?  There is little jurisprudence on this issue in Canadian law.  The White Paper gives some indication of where the rules of liability would apply, but would leave it  the courts to expand on them were appropriate, as they now do.
------
²⁶  See the Discussion Draft of the Australian Model Criminal Code, ch. 2, General Principles of Criminal Responsibility, Part 5, at 94-96.
 

[p. 26]

Options in Relation to Corporate Liability

Option 1: The definition of corporate liability could provide the fault and physical aspects of corporate liability in a single provision.  (White Paper s. 22)

Option 2:  The definition of corporate liability could separate the fault and physical aspects along the following lines:

(1)  For the purposes of paragraph 21(1)(a), a corpration commits an offence when one or more of its representatives, acting under its express, implied or apparent authority, do or make, individually or collectively, the act or omission specified in the description of the offence, and the fault requirements of subsection (2) are satisfied.

(2) No corporation commits an offence unless

(a) in the case of offences of intention or recklessness, one or more of its representatives,

(i) knows that the conduct referred to in subsection (1) is taking place, has taken place, or will take place,
(ii) has its express or implied authority to direct, manage or control its activities in the area concerned; and
(iii) has, while executing that authority, the state of mind required for the commission of the offence; or

(b) in the case of offences of criminal negligence or negligence, one or more of its representatives, having its express or implied authority to direct manage or control its activities in the area concerned, and in the execution of that authority, fail, individually or collectively, to the degree applicable to that offence, to exercise reasonable care to prevent the conduct referred to in paragraph (1)

(3) A corporation may be found liable whether or not the representatives referred to in subsections (1) and (2) are the same person or persons, whether or not any of them is identified, and whether or not any of them

[p. 27]

has been prosecuted for or convicted of the offence.

Option 3: The concept of corporate culture leading to commission of offences could be introduced into the Criminal Code, in addition or as an alternative to the identity theory of liability.  Corporate culture, as a basis of liability, could be confined to offences of [recklessness], negligence and criminal negligence.  Such a provision could state as follows:

A corporation commits an offence when one or more of its representatives do or make, individually or collectively, the act or omission specified in the description of the offence, and there exists within the corporation an attitude, policy, or practice that directed, encouraged , tolerated or led to the offence, or that failed to require its representatives to comply with the law.

Option 4:  The application of the General's provisions on corporate liability could

(a) be limited to profit-oriented organizations,
(b) be expanded to a wide range of organizations, such as a church, a school, or an Indian band, or
(c) be left to the common law."

CANADA, Department of Justice Canada, Reforming the General Part of the Criminal Code: A Consultation Paper, [Ottawa]; [Department of Justice Canada], [November 1994], v, 35 p., see "Corporate Liability" at pp. 7-9; available at my Digital Library, at http://www.lareau-law.ca/DigitalLibrary.html; also published in French/aussi publié en français: Ministère de la Justice Canada, Projet de réforme de la Partie générale du Code criminel : Document de consultation,  [Ottawa], [Ministère de la Justice Canada], [Novembre 1994], v, 39 p., voir "Responsabilité des personnes morales" aux pp. 9-11; disponible à ma bibliothèque digitale à http://www.lareau-law.ca/DigitalLibrary.html;

"Corporate liability

Corporations can be charged with a criminal offence

How does a corporation commit a crime?

A corporation is a legal entity which is legally separate from the people who own, manage, and work for it.

The Criminal Code allows corporations to be prosecuted for crimes.  However, the Criminal Code offences require people to commit them.  The Code does not explain how the courts should decide when or through which people a corporation commits a crime.

The courts have developed the 'identification' theory to decide when a corporation commits a crime.  According to this theory, if a senior representative of a corporation commits a crime in the course of his or her duties, and mostly for the benefit of the corporation, the corporation is also said to have committed the crime.  The senior person must be the responsible decision maker in the area concerned.  The acts of a junior employee with no managerial authority, for instance, might be a crime committed by the employee, but would not normally be a crime committed by the corporation.

Many people have said that the identification theory of corporate liability has a severe limitation.  For a corporation to commit a crime, a person must have committed the crime.  However, there may be situations where a number of people have done things on behalf of the corporation.  None of those people may have individually done enough to have committed a crime, but through the various people's acts, taken together, a crime has been committed.

The White Paper [see infra, CANADA, Minister of Justice Canada, The Honourable Pierre Blais] therefore proposes that a corporation could commit a crime through the acts, taken together, of any number of its representatives.  The representatives could be at any level in the corporation, as long as a senior representative knows about the acts and meets the fault requirement -- intent, recklessness or criminal negligence, depending on the offence.  So, for example, a corporation could be convicted of a crime if junior employees break the law and dump hazardous waste each day, with the knowledge of management.

Some people have suggested that the criminal law should be changed to reflect corporate realities.  A recent proposal in Australia suggests that a corporation commits a crime if its 'corporate culture' leads to the crime.  The prosecution could prove that senior representatives of the corporation created a climate that encouraged them to obey. Routine management directives to comply with the law would not be sufficient to avoid criminal liability.

Other people are concerned that this approach might leave corporations in a constant state of uncertainty as to whether or not they are committing crimes.  Individuals can look at the Criminal Code to see exactly what behaviour is a crime, but corporations could be committing crimes whenever their 'corporate culture' is inadequate and fails to prevent a crime.  Also, for crimes with a fault requirement of intent or recklessness, individuals commit a crime only if they know what they are doing or risking, but corporations could commit a crime merely because of a sloppy corporate culture.

What types of groups are 'corporations'?

If corporate criminal liability is to be separately defined, the next question concerns what groups or entities this definition should apply to.  If a corporation can commit a crime through the collective acts of several representatives or through its corporate culture, should the same be the case for other profit-oriented bodies?  It may be just chance that a group of people do business together as a corporation, rather than through an unincorporated partnership or a limited partnership.

Recently, the Supreme Court of Canada has made it clear that a trade union can commit a crime, even if the union is not incorporated as a society.  Should the Criminal Code specify that other groups and organizations can commit crimes?  Is so, should it spell out the types of groups, such as community organizations, churches, Indian bands, or schools, that would be covered?

Some people would argue that special rules about group criminal liability should apply only to organizations formed for the purpose of making profit.  They argue that only profit-oriented groups are motivated to commit serious crimes.

Others say that this is not necessarily the case.  For instance, representatives of a community organization migh be motivated to commit a property offence that would enrich the organization.  And some crimes may never be motivated by profit.  Members of a church, for example, might commit a crime in practising or defending its beliefs.
 

QUESTION (3)

Should corporate criminal liability be extended so that a corporation would be guilty of a crime if its representatives' acts, taken together, are a crime (even if no one has committed a crime individually)?

Is so, should the liability be based on 'corporate culture'?

Should corporate criminal liability also apply to unincorporated groups and organizations, such as partnerships, trade unions, community organizations, Indian bands, and churches?" (pp. 7-9)

CANADA, Federal Statutes, examples of relevant  / Statuts du Canada, exemples de lois pertinentes :

•  An Act to amend the Canada Labour Code (Part II) in respect of occupational health and safety, to make technical amendments to the Canada Labour Code (Part I) and to make consequential amendments to other Acts, Statutes of Canada 2000, chapter 20 (Bill C-12); also published in French / aussi publié en français: Loi modifiant la partie II du Code canadien du travail, portant sur la santé et la sécurité au travail, apportant des modifications matérielles à la partie I du Code canadien du travail et modifiant d'autres lois en conséquence, Lois du canada (2000), chapitre 20 (Projet de loi C-12); available/disponible à  http://www.parl.gc.ca/PDF/36/2/parlbus/chambus/house/bills/government/C-12_4.pdf (accessed on 26 November 2003);

Introduced and read the first time -- October 28, 1999

    Debated at second reading; read the second time and referred to the Standing Committee on Natural Resources and Government      Operations -- March 24, 2000  (Committee meetings: 28 to 31)

    Reported with amendments (Sessional Paper No. 8510-362-56) -- May 17, 2000

    Debated at report stage --  May 19, 2000

    Order respecting the deferred recorded divisions on May 30, 2000 -- May 19, 2000 (See Other Business No. 4)

    Concurred in at report stage with a further amendment -- May 30, 2000

    Debated at third reading; read the third time and passed -- May 31, 2000

    Passed by the Senate; Royal Assent (Chapter No. 20) -- June 29, 2000

------------

Dépôt et première lecture -- 28 octobre 1999

    Débat en deuxième lecture; deuxième lecture et renvoi au Comité permanent des ressources naturelles et des opérations gouvernementales --  24 mars 2000 (réunions du comité : 28 à 31)

    A fait l'objet d'un rapport avec des amendements (document parlementaire no  8510-362-56) --

    Débat à l'étape du rapport --19 mai 2000

    Ordre relatif aux votes par appel nominal différés le 30 mai 2000 -- 19 mai 2000 (Voir Autres affaires no 4)

    Adoption à l'étape du rapport avec un autre amendement -- 30 mai 2000

    Débat en troisième lecture; troisième lecture et adoption -- 31 mai 2000

    Adoption par le Sénat, sanction royale (chapitre no 20) -- 29 juin 2000

• Canadian Environmental Protection Act, 1999, available at http://laws.justice.gc.ca/en/C-15.31/; also available in French/aussi disponible en français: Loi canadienne sur la protection de l'environnement (1999), disponible à http://lois.justice.gc.ca/fr/C-15.31/index.html

"Damage to environment and risk of death or harm to persons
274. (1) Every person is guilty of an offence and liable on conviction on indictment to a fine or to                         imprisonment for a term of not more than five years, or to both, who, in committing an offence under subsection 272(1) or 273(1),

(a) intentionally or recklessly causes a disaster that results in a loss of the use of the environment; or
(b) shows wanton or reckless disregard for the lives or safety of other persons and thereby causes a risk of death or harm to another person.

Criminal negligence
(2) Every person who, in committing an offence under  subsection 272(1) or 273(1), shows wanton or reckless  disregard for the lives or safety of other persons and thereby causes death or bodily harm to another person is subject to prosecution and punishment under section 220 or 221 of the Criminal Code."

• Criminal Code, Revised Statutes 1985, chapter C-46, available at http://laws.justice.gc.ca/en/C-46/index.html (accessed on 1 June 2003); also available in French / aussi disponible en français: Code criminel, Lois Refondues 1985, chapitre C-46, article 786, disponible à  http://lois.justice.gc.ca/fr/C-46/index.html (visionné le 1 juin 2003);
 

• Criminal Code -- Annotated codes used by practioners/ Code criminel --codes annotés utilisés par les practiciens

    in English (published every year) /en anglais:

GOLD, Allan D., The Practioner's Criminal Code, Markham, Ont.: LexisNexis Canada, 2008;

GREENSPAN, Edward L. and Marc Rosenberg, annotations by, Martin's Annual Criminal Code 2008, Aurora: Canada Law Book Inc.;

WATT, David and Michelle Fuerst, annotations by, The 2008 Annotated Tremeear's Criminal Code, Toronto: Carswell, A Thomson Company;

 
•  Excise Act 2001, Statutes of Canada 2002, chapter 22   / Loi de 2001 sur l'accise, Lois du Canada (2002), chapitre 22;    available at  http://www.parl.gc.ca/PDF/37/1/parlbus/chambus/house/bills/government/C-47_4.pdf (accessed on/visionné le:  7 December 2003);

Officers of corporations etc.
226.  If a person other than an individual commits an offence under this Act, every officer, director or agent of the person who directed, authorized, assented to, acquiesced in or participated in the commission of the offence is a party to and guilty of the offence and liable on conviction to the punishment provided for the offence, whether or not the person has been prosecuted or convicted.
 

Offences by employees or agents
227.  In any prosecution for an offence under this Act, it is sufficient proof of the offence to establish that it was committed by an employee or agent of the accused, whether or not the employee or agent is identified or has been prosecuted for the offence, unless the accused establishes that the offence was committed without the knowledge or consent of the accused and that the accused exercised all due diligence to prevent its commission.

---------------------

Cadres de personnes morales
226.  Lorsqu’une personne, autre qu’un particulier, commet une infraction prévue à la présente loi, ceux de ses dirigeants, administrateurs ou mandataires qui ont ordonné ou autorisé l’infraction, ou y ont consenti ou participé, sont considérés comme coauteurs de l’infraction et passibles, sur déclaration de culpabilité, de la peine prévue, que la personne ait été ou non poursuivie ou déclarée coupable.

Infraction commise par un employé ou un mandataire
227.  Dans une poursuite pour une infraction à la présente loi, il suffit pour prouver l’infraction d’établir qu’elle a été commise par un employé ou un mandataire de l’accusé, que cet employé ou mandataire ait été ou non identifié ou poursuivi. L’accusé peut se disculper en prouvant que la perpétration a eu lieu à son insu ou sans son consentement et qu’il avait pris les mesures nécessaires pour l’empêcher.
 

CANADA, Minister of Justice Canada, The Honourable Pierre Blais, Reforming the General Part of the Criminal Code: A Consultation Paper, [Ottawa]; [Department of Justice Canada], [November 1994], v, 35 p.; note: referred to as the "White Paper"; available at my Digital Library, at http://www.lareau-law.ca/DigitalLibrary.html; also published in French/aussi publié en français: Ministre de la Justice, l'honorable Pierre Blais, Projet de réforme de la Partie générale du Code criminel, [Ottawa], [Ministère de la Justice Canada], [Novembre 1994], v, 39 p.; note: on parle de ce document comme étant le "Livre blanc"; disponible à ma bibliothèque digitale à http://www.lareau-law.ca/DigitalLibrary.html;

"Corporate liability
22. (1)  For the purposes of paragraph 21(1)(a), a corporation commits an offence, other than an offence referred to in section 12.6 or 12.7, if

(a) one or more of its representatives, acting under its express, implied or apparent authority, do or make, individually or collectively, the act or omission specified in the description of the offence, and

(b) one or more of its representatives

(i) knows that the occurrence described in paragraph (a) is taking place, has taken place, might take place or will take place,
(ii) has its express or implied authority to direct, manage or control its activities in the area concerned; and
(iii) has, while executing that authority, the state of mind required for the commission of the offence,

whether or not the representatives referred to in paragraph (a) and those referred to in paragraph (b) are the same person or persons, whether or not any of them is identified, and whether or not any of them has been prosecuted for or convicted of that
offence.

Idem
(2) For the purposes of paragraph 21(1)(a) a corporation commits an offence referred to in section 12.6 [what constitutes criminal negligence] or 12.7 [what constitutes negligence, etc.] if

(a) one or more of its representatives acting under its express, implied or apparent authority, do or make, individually or collectively, the act or omission specified in the description of the offence, and

(b) one or more of its representatives, having its express or implied authority to direct, manage or control its activities in the area concerned, and in the execution of that authority, fail, individually or collectively, to the degree applicable to that offence, to exercise reasonable care to prevent the occurence described in paragraph (a).

whether or not the representatives referred to in paragraph (a) and those referred to in paragraph (b) are the same person or persons, whether or not any of them is identified, and whether or not any of them has been prosecuted for or convicted of that offence.
 

Application of section
(3) This section applies, with such modifications as the circumstances require, in respect of paragraph 21(1)(b) to (d) [parties to an offence]
 

Definitions
(4) In subsections (1) and (2),

'corporation'  includes a public body, body corporate, society, company, partnership, limited partnership and trade union;

'representative" includes a director, officer, employee, member or agent.
 

Meaning of 'bodies corporate'
(5) The expression 'bodies corporate' in the definition 'every one', 'person', 'owner' in section 2 includes corporations, partnerships, limited partnerships and trade unions.
 

Application of other provisions
(6)  Any provision of this Act that is expressed to apply to a corporation applies, with such modifications as the circumstances require, to any entity that is a corporation within the meaning of subsection (4)." (pp. 6-7)
 

 
"CORPORATE LIABILITY
 

THE PRINCIPLE

Corporations are equally capable as natural persons of causing wrongful harm and justice requires that they be held criminally responsible
 

THE PRESENT LAW

    S. 2 of the Criminal Code provides that the terms 'everyone', 'person', 'owner' and similar expressions include bodies corporate, but it leaves to case law the task of working out rules to determine when a body corporate is liable for committing an offence.  According to the case law, a corporation is criminally responsible for actions done by those forming its 'directing mind' acting within the scope of their authority.  Such responsibility does not depend on formal delegation, express authorization by the board of directors or even awareness on their part.  The corporation will not, however, be responsible for acts committed totally in fraud of the corporation or intended for the exclusive benefit of the directing mind itself.

    The degree of involvement necessary to constitute a directing mind is to be determined on the facts of each case, but the courts have been prepared to find that the directing mind may reside in such low-level officials as sales managers or accountants.
 

CANADIAN RECOMMENDATIONS

The Law Reform Commission [of Canada] was divided on this issue.  The majority recommended that a provision should be placed in the General Part that a corporation should be liable for conduct committed on its behalf by its directors, officers, or employees acting within the scope of their authority and identifiable as persons with authority over the formulation or implementation of corporatwe policy and further that it should be liable for crimes of negligence even if no director officer or employee is individually liable for the  same offence.

    The advantage of such a provision would be to codify the law on corporate liability and permit liability for negligence resulting from organizational process where no individual is necessarily liable.  The disadvantage is that it fails to attach criminal liability for purpose and recklessness crimes where the wrongdoing results from organizational process.

    The minority recommended that a corporation should be criminally responsibile for conduct committed on its behalf by its directors, officers or employees acting within the scope of their authority and identifiable as persons with authority over the formulation or implementation of corporate policy even if no director, officer or employee is individually liable for the same offence.

    The advantage of this version of the provision is to allow liability for organizational wrongdoing in purpose and recklessness crimes as well as in crimes of negligence.  This disadvantage is that this still fails to deal with situations where the corporation acquiesces in employee wrongdoing which is unauthorized but which benefits the corporation.

    An alternative would be to include a further provision imposing liability on a corporation that knows of the action of its officer or employee, stands to benefit from it and fails to repudiate it.  The advantage of such a provision would be to prevent corporations from conniving at and thereby benefiting from the wrongdoing of its employees.  Even with this further provision, however, the criminal law would still not deal with wrongdoing by unincorporated bodies which may be as large, wealthy and powerful as their incorporated counterparts.

    This could be provided for by widening the provisions to impose collective liability in appropriate circumstances on all business structures, e.g. partnerships or joint ventures.  The advantage of this additional provision is establishing a general principle of group liability to replace the present arbitrary discrimination between incorporatd and unincorporated bodies.  The disadvantage may be the political repercussions of applying criminal liability under this principle to trade unions.

    The Working Group on the General Part recommended that the criminal liability of corporations be retained.  Further it recommended that a corporation be criminally liable for all crimes of negligence where the individuals acted under the apparent authority of the corporation unless the corporation can show that it took all reasonable steps to prevent the commission of the crime.  This proposal is less restrictive than that of the LRC and better reflects today's corporate structure and functioning.

    The Canadian Association of Chiefs of Police recommended that any new provision on corporate liability impose create [sic] a positive 'policing' duty on an employer to prevent the continuation of a crime which is known to him or her.
 

OTHER JURISDICTIONS

The New Zealand Crimes Bill does not make any provision as such regarding corporate liability.

    The English Law Commission's Draft Code (s. 30) provides that a corporation may be guilty as either a principal or an accessory of an offence if one of its controlling officers, acting within the scope of his or her duties and with the fault required is concerned in the offence.  The Draft Code defines a controlling officer as being a person participating in the control of the corporation in the capacity of a director, manager, secretary or other similar officer.  Furthermore, a controlling officer is concerned in an offence if he or she does, procures, assists, encourages or fails to prevent the acts specified for the offence.

    The American Law Institute's Model Penal Code § 2.07 provides that both a corporation and an unincorporated association may be convicted of an offence in one of two ways.  First, if the offence is a violation or the offence is defined by a statute other than the Code in which a legislative purpose to impose liability on corporations or unincorporated associations plainly appears and the conduct is performed by an agent of the corporation or association acting in behalf of the corporation or association within the scope of his or her employment, except that if the law defining the offence designates the agents for whose conduct the corporation or association is accountable or the circumstances under which it is accountable such provisions shall apply.  A second situation creating criminal liability for a corporation or association arises when the offence consists of an omission to discharge a specific duty of affirmative performance imposed on corporations by law.

    A third means by which criminal liability may arise but only for a corporation is if the commission of the offence was authorized, requested, commanded, performed or recklessly tolerated by the board of directors or by a high managerial agent acting in behalf of the corporation within the scope of his or her office or employment.

    The Australian Draft Bill [of 1990] (s. 4BA) provides that in relation to offences not involving fault where the offence is stated in terms that are capable of applying to the corporation as well as to the director, servant or agent, the latter's conduct if acting within the scope of his or her office, employment or engagement and, where relevant, state of mind, are to be attributed to the body corporate.

    In relation to other offences, conduct engaged in by a controlling officer of a corporation acting within the scope of his or her office, employment or engagement and, where relevant, state of mind would be attributd to the corporation.  Conduct engaged in by any director, servant or agent of a corporation acting within the scope of his or her office, employment or engagement and, where relevant, the state of mind of such person would be attributed to the corporation if the corporation failed to take measures that, in the circumstances, were appropriate to prevent, or reduce the likelihood of, the commission of the offence.  There would be a defence that the corporation had taken measures appropriate in the circumstances to prevent, or reduce the likelihood of, the commission of the offence.

    In relation to any offence, where a corporation has authorized a person to communicate to other persons on its behalf or has conducted itself so as to give other persons reason to believe that a person is authorized by the corporation to so communicate in relation to a matter, the conduct of this person by way of communication in relation to the matter and, where relevant, the state of mind of the person in making that communication, are to be attributed to the corporation.
 

ISSUES FOR CONSIDERATION

1. Should a provision be placed in the General part that would make a corporation liable for conduct on its behalf by either a director, officer, or employee acting within the scope of his or her authority and identifiable as a person with authority over the formulation or implementation of corporate policy?

2. Should a corporation be liable for crimes of negligence even if no director, officer, or employee would be individually liable for the crime?

3.  In accordance with the view of the minority of the Law Reform Commission should a corporation also be liable for crimes the mental state of which is intention or recklessness even if no individual director, officer, or employee would be liable?  Should it only be so liable if it knew of the action if its director, officer, or employee, stood to benefit from the action, and did not repudiate it?

4.  Would a better formulation of the principle of corporate liability as proposed by the Working Group, namely, that a corporation be criminally liable for all crimes including crimes of negligence where the individuals acted upon the apparent authority of the corporation unless the corporation can show that it took all reasonable steps to prevent the commission of the crime?

5.  Should whatever provisions which are adopted also apply to unincorporated bodies?" (pp. 42-45)

CANADA, Parliament et al.,
Bill C-45 /
CANADA, Parlement et al.,
Projet de loi C-45

CANADA, Department of Justice Canada, also published in French /aussi publié en français, CANADA, Ministère de la Justice Canada:

 
• "A Plain Language Guide Bill C-45 -- Amendments to the Criminal Code Affecting the Criminal Liability of Organizations", Ottawa, 31 October 2003, available at http://web.archive.org/web/20041204092601/www.canada.justice.gc.ca/en/dept/pub/c45/index.html (accessed on 9 February 2011),  and in pdf format at http://www.justice.gc.ca/eng/dept-min/pub/c45/c45.pdf; (accessed on 9 February 2011); also published in (November 2003) 14(11) Canadian Environmental Regulation & Compliance News 2525-25258; also published in French /aussi publié en français, "Un Guide en language simple: modifications adoptées par le projet de loi C-45 aux dispositions du Code criminel sur la responsabilité pénale des corporations", Ottawa, 31 octobre 2003, disponible à http://web.archive.org/web/20041012221455/www.canada.justice.gc.ca/fr/dept/pub/c45/index.html (visionné le 5 février 2011), http://www.justice.gc.ca/fra/min-dept/pub/c45/ (v/rifi/ le 9 f/vrier 2011) et en format pdf à  http://www.collectionscanada.gc.ca/webarchives/20060209174711/http://www.justice.gc.ca/fr/dept/pub/c45/ccl_french.pdf (visionné le 8 février 2011) et http://www.justice.gc.ca/fra/min-dept/pub/c45/ (vérifié le 9 février 2011);
 

• Newsroom, "Justice Minister Introduces Measures to Protect Workplace Safety and Modernize Corporate Liability", Ottawa, 12 June 2003, available at http://web.archive.org/web/20030704163226/www.canada.justice.gc.ca/en/news/nr/2003/doc_30922.html  (accessed on 5 February 2011); also published in French /aussi publié en français, Salle de nouvelles, "Le ministre de la Justice dépose des mesures pour protéger la sécurité en milieu de travail et moderniser la législation visant la responsabilité des organisations", Ottawa, le 12 juin 2003, disponible à  http://web.archive.org/web/20030620182614/www.canada.justice.gc.ca/fr/news/nr/2003/doc_30922.html (visionné le 5 février 2011);
 

• Newsroom, "Stronger Laws Dealing with Criminal Liability of Organizations Come Into Force",  Ottawa,  31 March 2004; available at http://web.archive.org/web/20040606192320/canada.justice.gc.ca/en/news/nr/2004/doc_31154.html (accessed on 5 February 2011);  also published in French /aussi publié en français, Salle de nouvelles, "Des lois renforcées visant la responsabilité pénale des organisations entrent en vigueur", Ottawa, 31 mars 2004, disponible à http://web.archive.org/web/20040603144623/canada.justice.gc.ca/fr/news/nr/2004/doc_31154.html (visionné le 5 février 2011);
 

• Newsroom, "Parliament Passes Bill C-45: Stronger Laws Affecting the Criminal Liability of Organizations",  Ottawa, 31 October 2003, available at http://www.collectionscanada.gc.ca/webarchives/20060210022039/http://www.justice.gc.ca/en/news/nr/2003/doc_31024.html (accessed on 6 February 2011);  also published in French /aussi publié en français, Salle de nouvelles, "Le Parlement adopte une loi plus contraignante envers la responsabilité des organisations", Ottawa, le 31 octobre 2003, disponible à http://www.collectionscanada.gc.ca/webarchives/20060210005436/http://www.justice.gc.ca/fr/news/nr/2003/doc_31024.html (visionné le 6 février 2011);

CANADA, Parliament, House of Commons, Bill C-45, An Act to amend the Criminal Code (criminal liability of organizations); also published in French /aussi publié en français: CANADA, Parlement, Chambre des Communes, Projet de loi C-45,  Loi modifiant le Code criminel (responsabilité pénale des organisations):

•  Bill C-45, First reading, 12 June 2003, available at  http://www.parl.gc.ca/37/2/parlbus/chambus/house/bills/government/C-45/C-45_1/C-45_cover-E.html (accessed on 13 June 2003);  also published in French /aussi publié en français, Projet de loi C-45, première lecture, le 12 juin 2003, disponible à  http://www.parl.gc.ca/37/2/parlbus/chambus/house/bills/government/C-45/C-45_1/C-45_cover-F.html (visionné le 13 juin 2003);
 

• Debates in the House of Commons before 2nd reading, see Official Report (Hansard) of  15 and 19 September 2003, available at http://www.parl.gc.ca/common/Chamber_House_Debates.asp?Language=E&Parl=37&Ses=2.
(accessed on 8 November 2003);  also published in French /aussi publié en français, Débats à la Chambre des communes avant la 2^e lecture, 15 et 19 Septembre 2003, voir le Compte rendu officiel (Hansard), disponible à  http://www.parl.gc.ca/common/Chamber_House_Debates.asp?Language=F&Parl=37&Ses=2 (visionné le 8 novembre 2003);
 

• Standing Committee on Justice and Human Rights, Minutes of Proceedings and Evidence on Bill C-45, see meeting number 72, held on 22 October 2003, available at  http://www.parl.gc.ca/infocom/CommitteeMinute.asp?Language=E&Parliament=138&Joint=0&CommitteeID=3297 (accessed on 27 October 2003);  also published in French /aussi publié en français : Comité permanent de la Justice et des droits de la personne, Liste des réunions, procès-verbaux et témoignages, sur le Projet de loi C-45, voir le procès-verbal, numéro 72, du 22 octobre 2003, disponible à  http://www.parl.gc.ca/infocom/CommitteeMinute.asp?Language=F&Parliament=138&Joint=0&CommitteeID=3297 (visionné le 27 octobre 2003);
 

• Standing Committee on Justice and Human Rights, "Report 5, Bill C-45, An Act to amend the Criminal Code (criminal liability of organizations)", tabled in the House of Commons on 23 October 2003, available at  http://www.parl.gc.ca/infocom/PubDocument.asp?FileID=63234&Language=E (accessed on 27 October 2003); also published in French /aussi publié en français : Comité permanent de la Justice et des droits de la personne, "Rapport 5, Projet de loi C-45, Loi modifiant le Code criminel (responsabilité pénale des organisations)", déposé à la Chambre des Communes, le 23 octobre 2003, disponible à http://www.parl.gc.ca/infocom/PubDocument.asp?FileID=63234&Language=F (texte visionné le 27 octobre 2003);
 

• Bill C-45, Reprinted as amended by the Standing Committee on Justice and Human Rights as a working copy for the use of the House of Commons at Report Stage and as reported to the House on October 23, 2003, available at  http://www.parl.gc.ca/PDF/37/2/parlbus/chambus/house/bills/government/C-45_2.pdf (accessed on 27 October 2003);  also published in French /aussi publié en français : Projet de Loi C-45, Réimprimé tel que modifié par le Comité permanent de la justice et des droits de la personne comme document de travail à l'usage de la Chambre des communes  à l'étape du rapport et présenté à la Chambre le 23 octobre 2003 disponible à  http://www.parl.gc.ca/PDF/37/2/parlbus/chambus/house/bills/government/C-45_2.pdf (texte visionné le 27 octobre 2003);
 

•  Debates in the House of Commons before 3rd reading, see Official Report (Hansard) of  27 October 2003, available at http://www.parl.gc.ca/common/Chamber_House_Debates.asp?Language=E&Parl=37&Ses=2.
(accessed on 8 November 2003);  also published in French /aussi publié en français, Débats à la Chambre des communes avant la 3^e lecture, 27 octobre 2003, voir le Compte rendu officiel (Hansard), disponible à  http://www.parl.gc.ca/common/Chamber_House_Debates.asp?Language=F&Parl=37&Ses=2 (visionné le 8 novembre 2003);
 

• Bill C-45, As passed by the House of Commons, 27 October 2003, available at  http://www.parl.gc.ca/PDF/37/2/parlbus/chambus/house/bills/government/C-45_3.pdf (accessed on 30 October 2003); also published in French /aussi publié en français : Projet de loi C-45, tel qu'adopté par la Chambre des communes, 27 octobre 2003, disponible à http://www.parl.gc.ca/PDF/37/2/parlbus/chambus/house/bills/government/C-45_3.pdf (visionné le 30 otobre 2003);
 
 

CANADA, Parliament, Senate, Bill C-45, An Act to amend the Criminal Code (criminal liability of organizations); also published in French /aussi publié en français: CANADA, Parlement, Sénat, Projet de loi C-45,  Loi modifiant le Code criminel (responsabilité pénale des organisations)

• Debates of the Senate before 2nd reading on Bill C-45, see Official Report (Hansard), 29 October 2003, available at http://www.parl.gc.ca/common/Chamber_Senate_Debates.asp?Language=E&Parl=37&Ses=2 (accessed on 8 November 2003);  also published in French /aussi publié en français : Débats du Sénat avant la 2^e lecture du Projet de loi c-45, voir le Compte rendu officel (Hansard), 29 octobre 2003, disponible à http://www.parl.gc.ca/common/Chamber_Senate_Debates.asp?Language=F&Parl=37&Ses=2 (visionné le 8 novembre 2003);
 

• Proceedings of the Standing Committee on Legal and Constitutional Affairs on Bill C-45, see issue of 30 October 2003, available at http://www.parl.gc.ca/37/2/parlbus/commbus/senate/Com-e/lega-e/16evb-e.htm?Language=E&Parl=37&Ses=2&comm_id=11  (accessed on 10 June 2004); also published in French /aussi publié en français: Délibération du Comité permanent des affaires juridiques et constitutionnelles sur le Projet de loi C-45, du 30 octobre 2003, disponible à disponible à  http://www.parl.gc.ca/37/2/parlbus/commbus/senate/com-f/lega-f/16evb-f.htm?Language=F&Parl=37&Ses=2&comm_id=11;
 

• Report of the Standing Committee on Legal and Constitutional Affairs on Bill C-45, dated 30 October 2003, note the observations, available at http://www.parl.gc.ca/37/2/parlbus/commbus/senate/com-e/lega-e/rep-e/rep08oct03-e.htm (accessed on 9 November 2003);  also published in French /aussi publié en français: Rapport du Comité permanent des affaires juridiques et constitutionnelles sur le Projet de loi C-45, du 30 octobre 2003, à noter les observations; disponible à http://www.parl.gc.ca/37/2/parlbus/commbus/senate/com-f/lega-f/rep-f/rep08oct03-f.htm ;
 

• Debates of the Senate before 3rd reading on Bill C-45, see Official Report (Hansard), 30 October 2003, available at  http://www.parl.gc.ca/common/Chamber_Senate_Debates.asp?Language=E&Parl=37&Ses=2 (accessed on 8 November 2003);  also published in French /aussi publié en français : Débats du Sénat avant la 3^e lecture du Projet de loi c-45, voir le Compte rendu officel (Hansard), 29 octobre 2003, disponible à  http://www.parl.gc.ca/common/Chamber_Senate_Debates.asp?Language=F&Parl=37&Ses=2 (visionné le 8 novembre 2003);
 

• Royal Assent on 7 November 2003, Statutes of Canada, chapter 21, available at  http://www.parl.gc.ca/37/2/parlbus/chambus/house/bills/government/C-45/C-45_4/C-45_cover-E.html; also published in French /aussi publié en français : Sanctionné le 7 novembre 2003, Lois du Canada (2003), chapitre 21, disponible à http://www.parl.gc.ca/37/2/parlbus/chambus/house/bills/government/C-45/C-45_4/C-45_cover-F.html (visionné le 20 novembre 2003);

• Chapter 21 comes into force on 31 March 2004/le chapitre 21 entre en vigueur le 31 mars 2004, see/voir SI/2004-22  --  TR/2004-22, available at  http://canadagazette.gc.ca/partII/2004/20040225/pdf/g2-13804.pdf (accessed on 3 March 2004);
 

CANADA, Parlement, Library of Parliament,  "Legislative Summary: Bill C-45, An Act to amend the Criminal Code (criminal liability of organizations)", prepared by David Goetz, [Ottawa]: Library of Parliament, Parliament Research Branch, Law and Government Division, July 2003, available at http://www2.parl.gc.ca/Sites/LOP/LEGISINFO/index.asp?Language=E&query=3750&Session=11&List=ls (accessed in February 2011); also published in French /aussi publié en français : "Résumé législatif:  Projet de loi C-45,  Loi modifiant le Code criminel (responsabilité pénale des organisations)", préparé par David Goetz, Ottawa: Bibliothèque du Parlement, Direction de la recherche parlementaire, Division du droit et du gouvernement, juillet 2003, disponible à http://www2.parl.gc.ca/Sites/LOP/LEGISINFO/index.asp?Language=F&query=3750&Session=11&List=ls (exte visionné en février 2011);
 
 

CANADA, Parliament, House of Commons, Bill C-284, An Act to amend the Criminal Code (offences by corporations, directors and officers);  tabled by Ms. Desjarlais, M.P. (Churchill, NDP); also published in French /aussi publié en français : CANADA, Parlement, Chambre des Communes, Projet de loi C-284, Loi modifiant le Code criminel (infractions commises par des personnes morales, administrateurs et dirigeants), déposé par Mme Desjarlais, député (Churchill, NPD):

• Bill C-284, First reading, 26 February 2001, available at  http://www.parl.gc.ca/PDF/37/1/parlbus/chambus/house/bills/private/C-284_1.pdf (accessed on 27 October 2003); also published in French /aussi publié en français : Première lecture du Projet de loi C-284,  le 26 février 2001, disponible à http://www.parl.gc.ca/PDF/37/1/parlbus/chambus/house/bills/private/C-284_1.pdf (visionné le 27 octobre 2003);
 

• Debates in the House of Commons on Bill C-284 before 2nd reading, see Official Report (Hansard) of  20 September 2001, 8 November 2001; and 19 February 2002, available at  http://www.parl.gc.ca/common/Chamber_House_Debates.asp?Language=E&Ses=1&parl=37 (accessed on 9 November 2003); also published in French /aussi publié en français : Débats à la Chambre des communes sur le Projet de loi C-284, avant la 2^e lecture, voir le Compte rendu officiel (Hansard) du 20 septembre 2001, 8 novembre 2001 et du 19 février 2002, disponible à http://www.parl.gc.ca/common/Chamber_House_Debates.asp?Language=F&Ses=1&parl=37 (visionné le 9 novembre 2003);
 

• Standing Committee on Justice and Human Rights, Minutes of Proceedings and Evidence on Bill C-284, see meetings No. 84 to 87, 89 to 92 and 94; (2, 7-9, 22-23, 28-30 May 2002); also published in French /aussi publié en français : Comité permanent de la Justice et des droits de la personne, Liste des réunions, procès-verbaux et témoignages sur le Projet de loi C-284,  voir les procès-verbaux  des réunions, numéros 84 à 87, 89 à 92 et 94; (2, 7-9, 22-23, 28-30 mai 2002);
 

• Standing Committee on Justice and Human Rights Bill C-284, An Act to amend the Criminal Code (offences by corporations, directors and officers), Fifteenth Report, tabled in the House of Commons on 10 June 2002, sessional paper number 8510-371-178, available at http://www2.parl.gc.ca/HousePublications/Publication.aspx?DocId=1032122&Language=E&Mode=1&Parl=37&Ses=1 (accessed in February 2011); also available in French/aussi disponible en français: Parlement, Chambre des communes, Comité permanent de la justice et des droits de la personne, Quinzième rapport, déposé à la Chambre des communes, le 10 juin 2002, document parlementaire numéro 8510-371-178, disponible à http://www2.parl.gc.ca/HousePublications/Publication.aspx?DocId=1032122&Mode=1&Parl=37&Ses=1&Language=F (visionné en février 2011);

"The Standing Committee on Justice and Human Rights has the honour to present its

FIFTEENTH REPORT

In accordance with its Order of Reference of Tuesday, February 19, 2002, your Committee has considered the subject-matter of Bill C-284, An Act to amend the Criminal Code (offences by corporations, directors and officers).
Your Committee has agreed on Thursday, June 6, 2002, to recommend that the Government table in the House legislation to deal with the criminal liability of corporations, directors, and officers.

In accordance with Standing Order 109, the Committee requests that the Government table a comprehensive response to the report.

A copy of the relevant Minutes of Proceeding  (Meetings No. 84 to 87, 89 to 92 and 94) is tabled.

Respectfully submitted,
Andy Scott
Chair"
 

• Department of Justice Canada publishes the Government Response to the Fifteenth Report of the Standing Committee on Justice and Human Rights: Corporate Liability, [Ottawa]: [Department of Justice Canada], November 2002, 18 p., available at http://web.archive.org/web/20050411222223/www.canada.justice.gc.ca/en/dept/pub/ccl_rpm/  (accessed on 5 February 2011) with a backgrounder available at http://web.archive.org/web/20021219193603/canada.justice.gc.ca/en/news/nr/2002/doc_30718.html (accessed on 6 February 2011) and the fifteenth report of the Committee available at   http://www2.parl.gc.ca/HousePublications/Publication.aspx?DocId=1032122&Language=E&Mode=1&Parl=37&Ses=1 (accessed in February 2011); also published in French /aussi publié en français, MINISTÈRE DE LA JUSTICE CANADA, Réponse du gouvernement au quinzième rapport du Comité permanent de la justice et des droits de la personne: Responsabilité des personnes morales, [Ottawa]: [Ministère de la Justice Canada], Novembre 2002, 20 p., disponible à http://web.archive.org/web/20060206123322/www.canada.justice.gc.ca/fr/dept/pub/ccl_rpm/index.html (vérifié le 5 février 2011), voir aussi la fiche documentaire disponible à http://web.archive.org/web/20021117113201/canada.justice.gc.ca/fr/news/nr/2002/doc_30718.html  (visionné le 8 février 2011), enfin le quinzième rapport est disponible à http://www2.parl.gc.ca/HousePublications/Publication.aspx?DocId=1032122&Mode=1&Parl=37&Ses=1&Language=F (visionné en février 2011);

CANADA, Parliament, House of Commons, Private Members' Motions and Public Bills  / Projets de lois publics et motions émanant des députés et motions:

 
Motion M-455 -- Mr. MacKay (Pictou -- Antigonish -- Guysborough) -- Westray mine disaster -- Notice -- September 21, 1998

"That, in the opinion of this House, the Criminal Code or other appropriate federal statutes should be amended in accordance with Recommendation 73 of the Province of Nova Scotia's Public Inquiry into the Westray disaster, specifically with the goal of ensuring that corporate executives and directors are held properly accountable for workplace safety."

Placed on the Order of Precedence -- March 15, 1999
Designated as a votable item -- April 13, 1999
Debate -- April 23 and  June 1, 1999

Motion M-455 -- Mr. MacKay (Pictou -- Antigonish -- Guysborough) -- Tragédie de la mine Westray -- Avis -- 21 septembre 1998

"Que, de l'avis de la Chambre, le Code criminel et d'autres lois fédérales pertinentes devraient être modifiés conformément à la recommandation no 73 de la Commission d'enquête de la province de Nouvelle-Écosse sur la tragédie de la mine Westray, de sorte que les cadres d'entreprise et administrateurs soient tenus responsables de la sécurité au travail."

Inscription à l'Ordre de priorité -- 15 mars 1999
Choisie comme affaire qui fait l'objet d'un vote -- 13 avril 1999
Débat -- 23 avril  et 1^er juin 1999

Motion M-79 -- as amended,approved, 21 March 2000; see Hansard of 18 February 2000 available at; 3 March 2000 available at; 13 March 2000 available at http://www.parl.gc.ca/36/2/parlbus/chambus/house/debates/063_2000-03-13/HAN063-E.htm (accessed on 2 November 2003) and of 21 March 2000 available at http://www.parl.gc.ca/36/2/parlbus/chambus/house/debates/068_2000-03-21/HAN068-E.htm (accessed on 2 November 2003); supplementary information concerning this motion: Mr. MacKay (Pictou -- Antigonish -- Guysborough), Westray mine disaster, Notice, October 12, 1999; placed in the order of precedence and designated a votable item pursuant to Order made Thursday, October 14, 1999; also published in French / aussi publié en français: CANADA, Parlement, Chambre des Communes, Initiatives parlementaires, Motion 79, tel qu'amendée, adoptée le 21 mars 2000, voir le Hansard du 18 février 2000 disponible à ; 3 mars 2000 disponible à; 13 mars 2000, disponible àhttp://www.parl.gc.ca/36/2/parlbus/chambus/house/debates/063_2000-03-13/HAN063-F.htm (visionné le 2 novembre 2003) et du 21 mars 2000, disponible à http://www.parl.gc.ca/36/2/parlbus/chambus/house/debates/068_2000-03-21/HAN068-F.htm (visionné le 2 novembre 2003); détails supplémentaires concernant cette motion:  M. MacKay (Pictou -- Antigonish -- Guysborough), Tragédie de la mine Westray, Avis, 12 octobre 1999; inscription dans l'ordre de priorité et désignation comme affaire faisant l'objet d'un vote conformément à l'ordre adopté le jeudi 14 octobre 1999 -- 14 octobre 1999;

Motion 79

"That, in the opinion of this House, the Criminal Code or other appropriate federal statutes should be amended following study by the Standing Committee on Justice and Human Rights  in accordance with Recommendation 73 of the Province of Nova Scotia's Public Inquiry into the Westray disaster, specifically with the goal of ensuring that corporate executives and directors are held properly accountable for workplace safety."

------

Motion 79

"Que, de l'avis de la Chambre, le Code criminel ou d'autres lois fédérales pertinentes devraient être modifiées suite à une étude devant le Comité permanent de la justice et des droits de la personne conformément à la recommandation no 73 de la Commission d'enquête de la province de la Nouvelle-Écosse sur la tragédie de la mine Westray, de sorte que les cadres d'entreprise et administrateurs soient tenus responsables de la sécurité au travail."

BILL C-468 --Alexa McDonough, NDP MP, Halifax, Nova Scotia, introduced Bill C-468, An Act to amend the Criminal Code (criminal liability of corporations, directors and officers), first reading, 5 February 1999; available at   http://www.parl.gc.ca/PDF/36/1/parlbus/chambus/house/bills/private/C-468_1.pdf (accessed on 2 November 2003); also published in French / aussi publié en français: Projet de loi C-418, Loi modifiant le Code criminel (responsabilité criminelle des sociétés, administrateurs et dirigeants), première lecture, le 5 février 1999, disponible à  http://www.parl.gc.ca/PDF/36/1/parlbus/chambus/house/bills/private/C-468_1.pdf (visionné le 2 novembre 2003);

Pursuant to Standing Order 86(3), jointly seconded by:

         Mr. Robinson (Burnaby -- Douglas) -- February 9, 1999

         Ms. Davies (Vancouver East) -- February 25, 1999

         Ms. Vautour (Beauséjour -- Petitcodiac) -- March 11, 1999

         Mr. Godin (Acadie -- Bathurst) -- March 22, 1999

         Ms. Desjarlais (Churchill) -- April 13, 1999

         Mr. Martin (Winnipeg Centre) -- April 20, 1999
 

Conformément à l'article 86(3) du Règlement, appuyé conjointement par :

         M. Robinson (Burnaby -- Douglas) -- 9 février 1999

         Mme Davies (Vancouver-Est) -- 25 février 1999

         Mme Vautour (Beauséjour -- Petitcodiac) -- 11 mars 1999

         M. Godin (Acadie -- Bathurst)) -- 22 mars 1999

         Mme Desjarlais (Churchill) -- 13 avril 1999

         M. Martin (Winnipeg-Centre) -- 20 avril 1999

Bill C-259 -- Alexa McDonough, NDP MP, Halifax, Nova Scotia, introduced Bill C-259, An Act to amend the Criminal Code (criminal liability of corporations, directors and officers), first reading, 21 October 1999; available at  http://www.parl.gc.ca/PDF/36/2/parlbus/chambus/house/bills/private/C-259_1.pdf (accessed on 2 November 2003); also published in Fench / aussi publié en français: Projet de loi C-259, Loi modifiant le Code criminel (responsabilité criminelle des sociétés, administrateurs et dirigeants), première lecture, le 21 octobre 1999, disponible à  http://www.parl.gc.ca/PDF/36/2/parlbus/chambus/house/bills/private/C-259_1.pdf (visionné le 2 novembre 2003);
 

Pursuant to Standing Order 86(3), jointly seconded by:

         Mr. Robinson (Burnaby -- Douglas) -- October 28, 1999

         Ms. Wasylycia-Leis (Winnipeg North Centre) -- November 18, 1999
 

Conformément à l'article 86(3) du Règlement, appuyé conjointement par:

         M. Robinson (Burnaby -- Douglas) -- 28 octobre 1999

         Mme Wasylycia-Leis (Winnipeg-Centre-Nord) -- 18 novembre 1999
 

Bill C-418 -- Alexa McDonough, NDP MP, Halifax, Nova Scotia, introduced Bill C-418, An Act to amend the Criminal Code (criminal liability of corporations, directors and officers), first reading, 20 March 2003; available at http://www.parl.gc.ca/PDF/37/2/parlbus/chambus/house/bills/private/c-418_1.pdf (accessed on 2 November 2003); also published in Fench / aussi publié en français: Projet de loi C-418, Loi modifiant le Code criminel (responsabilité criminelle des sociétés, administrateurs et dirigeants), première lecture, le 20 mars 2003, disponible à http://www.parl.gc.ca/PDF/37/2/parlbus/chambus/house/bills/private/c-418_1.pdf (visionné le 2 novembre 2003);


Bill C-331 -- Mr. Martin, MP, introduced Bill C-331, An Act to amend the Criminal Code (legal duty outside Canada), first reading 19 June 2006; available at http://www.parl.gc.ca/common/Bills_House_Private.asp?Language=E (accessed on 21 June 2006); also published in Fench / aussi publié en français: Projet de loi C-331, Loi modifiant le Code criminel (obligation légale à l’étranger), première lecture, le 19 juin 2006; disponible à http://www.parl.gc.ca/common/Bills_House_Private.asp?Language=F (site visité le 21 juin 2006);

"SUMMARY
This enactment amends the Criminal Code to extend the legal duty of every person who directs how another person does work or performs a task to Canadian citizens and organizations wherever they are in the world."

------

"SUMMARY [sic]
Le texte modifie le Code criminel afin d’étendre aux organisations canadiennes et aux citoyens canadiens, où qu’ils se trouvent dans le monde, l’obligation légale à laquelle est tenu quiconque dirige l’accomplissement d’un travail ou l’exécution d’une tâche."

CANADA, Parliament, House of Commons, Standing Committee on Justice and Human Rights, the Committee unanimously recommended  to the Minister of Justice and the Department of Justice that they bring forward legislation in accordance with motion 79 passed by the House on March 21st, 2000 and with the principles underlying Bill C-259 for consideration by the Standing Committee on Justice and Human Rights, see Minutes of Evidence and Proceedings of 6 June 2000, available at  http://www.parl.gc.ca/infocom/CommitteeMinute.asp?Language=E&Parliament=2&Joint=0&CommitteeID=162 (accessed on 1 November 2003); also published in French /aussi publié en français, CANADA, Parlement, Chambre des Communes, Comité permanent de la justice et des droits de la personne, recommande unaniment que le ministre de la Justice et le ministère de la Justice présentent une mesure législative conforme à la motion 79  adoptée par la Chambre le 21 mars 2000 et aux principes qui sous-tendent le projet de loi C-259 et la soumettent au Comité permanent de la justice et des droits de la personne, voir la liste des réunions, procès-verbaux et témoignages, 6 juin 2000, disponible à  http://www.parl.gc.ca/infocom/CommitteeMinute.asp?Language=F&Parliament=2&Joint=0&CommitteeID=162 (visionné le 1 novembre 2003);
 

CANADA, Parliament, House of Commons, Subcommittee on Human Rights and International Development of the Standing Committee on Foreign Affairs and International Trade, Third Report, adopted by the Standing Committee on Foreign Affairs and International Trade on 20 June 2005, [7 p.], available at  http://www.parl.gc.ca/infocomdoc/38/1/parlbus/commbus/house/SDEV/report/RP1901089//FAAE_Rpt14/FAAE_Rpt14-e.pdf (accessed on 23 September 2005);  also published in French/aussi publié en français: Canada, Parlement, Chambre des Communes, Sous-comité des droits de la personne et du développement international du Comité permanent des affaires étrangères et du commerce international a présenté, Troisième Rapport, adopté par le Comité permanent des affaires étrangères et du commerce international, le 20 juin 2005, [8 p.]; disponible à  http://www.parl.gc.ca/infocomdoc/38/1/parlbus/commbus/house/SDEV/report/RP1901089//FAAE_Rpt14/FAAE_Rpt14-f.pdf (visionné le 23 septembre 2005);

"In particular, the Subcommittee urges the government to:

2. Put in place stronger incentives to encourage Canadian mining companies to conduct their activities outside of Canada in a socially and environmentally responsible manner and in conformity with international human rights standards. Measures in this area must include making Canadian government support – such as export and project financing and services offered by Canadian missions abroad – conditional on companies meeting clearly defined corporate social responsibility and human rights standards, particularly through the mechanism of human rights impact assessments;

3. Strengthen or develop new mechanisms for monitoring the activities of Canadian mining companies in developing countries and for dealing with complaints alleging socially and environmentally irresponsible conduct and human rights violations. Specifically, the government must clarify, formalize and strengthen the rules and the mandate of the Canadian National Contact Point (NCP) for the OECD Guidelines for Multinational Enterprises, and increase the resources available to the NCP to enable it to respond to complaints promptly, to undertake proper investigations, and to recommend appropriate measures against companies found to be acting in violation of the OECD Guidelines. The government shall develop specific rules for companies operating in conflict zones;

4. Establish clear legal norms in Canada to ensure that Canadian companies and residents are held accountable when there is evidence of environmental and/or human rights violations associated with the activities of Canadian mining companies;" (pp. 2-3)

------

"Le Sous-comité exhorte en particulier le gouvernement à :

2. Mettre en place des incitatifs plus vigoureux pour encourager les entreprises minières canadiennes à mener leurs activités à l’étranger d’une manière responsable sur le plan social et environnemental et en conformité avec les normes internationales sur les droits de la personne. Parmi les mesures qui doivent être prises dans ce secteur, notons subordonner l’obtention d’une aide du gouvernement canadien – comme le financement des projets et exportations et les services offerts dans les missions canadiennes à l’étranger – au respect par les entreprises de normes clairement définies sur la responsabilité sociale et les droits de la personne, en particulier en ayant recours à des mécanismes comme les évaluations de l’impact sur les droits de la personne.

3. Renforcer les mécanismes existants, ou en développer de nouveaux, pour la surveillance des activités des entreprises minières canadiennes dans les pays en développement, ainsi que pour le traitement des plaintes alléguant des cas de conduite irresponsable sur les plans social et environnemental et de violations des droits de la personne. De manière plus précise, le gouvernement doit clarifier, officialiser et renforcer les règles et le mandat du Point de contact national du Canada pour les Principes directeurs de l’OCDE à l’intention des entreprises multinationales, et augmenter les ressources mises à la disposition de ce PCN afin de lui permettre de répondre rapidement aux plaintes, d’entreprendre les enquêtes appropriées, et de recommander la prise des mesures qui s’imposent à l’endroit des entreprises violant les Principes directeurs de l’OCDE. Le gouvernement élaborera des règles particulières pour les entreprises menant des activités en zone de conflit;

4. Établir des normes juridiques claires au Canada pour s’assurer que les entreprises et résidants canadiens doivent rendre des comptes dans les cas où il existe des preuves de l’environnement ou des droits de la personne liées aux activités d’entreprises minières canadiennes;" (pp. 2-3)

CANADA, Parliament, House of Commons, Sub-Committee on the Recodification of the General Part of the Criminal Code of the Standing Committee on Justice and the Sollicitor General, Report of the Sub-Committee on the Recodification of the General Part of the Criminal Code of the Standing Committee on Justice and the Sollicitor General: First Principles: Recodifying the General Part of the Criminal Code of Canada, in Minutes of Proceedings and Evidence of the Sub-Committee on the recodification of the General Part of the Criminal Code of the Standing Committee on Justice and the Solicitor General, [Ottawa]: Queen's Printer for Canada, 1993,  issue no. 11 of 10 December 1992 and  2, 4, and 16 February 1993, xi, 93 p., see "Chapter VII: Corporate Liability" at pp. 29-31; also published in French/aussi publié en français: Canada, Parlement, Chambre des Communes,  Sous-comité sur la Recodification de la Partie générale du Code criminel du Comité permanent de la justice et du Solliciteur général, Principes de base: recodification de la Partie générale du Code criminel du Canada.  Rapport du Sous-comité sur la recodification de la Partie générale du Code criminel du Canada du Comité permanent de la justice et du Solliciteur général dans Procès-verbaux et témoignages du Sous-comité sur la Recodification de la Partie générale du Code criminel du Comité permanent de la justice et du Solliciteur général,  [Ottawa]: I'Imprimeur de la Reine pour le Canada, 1993,  fasicule 11 du 10 décembre 1992 et 2,4,16 février 1993, xi, 99 p., voir le "Chapitre VII, La responsabilité des personnes morales" aux pp. 31-33;

"[p. 29]
CHAPTER VII
CORPORATE LIABILITY

(a) Current Situation

    Under the existing Criminal Code, the definition of 'person' in section 2 includes bodies corporate.  Thus, a corporation is as capable of committing a crime as a natural person.  Obviously, though, corporations can only act by way of the actions of those individuals who have been given decision-making authority within them.  So, while corporations can be prosecuted and convicted of crimes under the Criminal Code, one must look to the actions of the individuals in charge of their activities to determine liability.  However, obviously not all decisions made by individuals within a corporation are attributable to it.  One must look to the common law for guidance on the question as to when the corporation will be criminally responsible for the actions of its officers or directors.  the Criminal Code contains no express provisions on this issue.

     The current approach to the question of corporate liability was established by the Supreme Court of Canada in the case of R. v. Canadian Dredge and Dock Co. Ltd.⁶⁵  The Court held that a corporation will generally be liable for an offence if a corporate director or officer commits an offence for the benefit of the corporation in the course of his or her employment.  The question is whether the particular individual represents the 'directing mind' of the corporation.  Those with the status of president, vice-president or general manager generally come within this test.
 

(b) The Sub-Committee's View

    The Sub-Committee believes that corporate liability should be clarified in Canada by the inclusion of express rules in the General Part of the Criminal Code.

    It is particularly important for this to be done, in the Sub-Committee's view, once the rules on omissions and fault are codified.  For example, the Sub-Committee wishes it to be clear that corporations may be liable for criminal negligence for their failure to discharge their responsibilities under federal statutes and regulations.

    The Sub-Committee is at a disadvantage with respect to this issue.  Witnesses did not address this area of the law in their testimony.  Nor did any written brief make recommendations on it.  However, the Law Reform Commission made recommendations on corporate liability in its Report 31.
------
⁶⁵ [1985] 1 S.C.R. 662.
 

[p. 30]
    A majority of the Commissioners recommended inclusion of two provisions on corporate liability in the General Part.  One dealt with liability for crimes of purpose or recklessness.  The other dealt with offences of negligence:

2(5) Corporate Liability.

(a) With respect to crimes requiring purpose or recklessness, a corporation is liable for conduct committed on its behalf by its directors, officers or employees acting within the scope of their authority and identifiable as persons with authority over the formulation or implementation of corporate policy.

(b) With respect to crimes requiring negligence a corporation is liable as above, nothwithstanding that no director, officer or employee may be held individually liable for the same offence.
 

    The first of these provisions would essentially enact the law set out by the Supreme Court of Canada in Canadian Dredge and Dock.⁶⁷  The second clause would be new.  Its effect would be to impose corporate liability for negligence even where there are no identifiable persons whom one could pinpoint as responsible for the actions or omissions making up the offence.  In other words, there would be no necessity in relation to crimes of negligence to identify the individuals for whose actions the corporation is alleged to be responsible.

    A minority of the Commissioners preferred an alternative formulation.  It would apply to all offences the approach that the majority would confine to negligence offences.  In other words, these Commissioners would not require that there be an individual who could be identified as the perpetrator of the offence in order for the corporation to be found liable.  It would be sufficient to show that the conduct was carried out by the principal decision-makers in the firm:

A corporation is liable for conduct committed on its behalf by its directors, officers or employees acting within the scope of their authority and identifiable as persons with authority over the formulation or implementation of corporate policy, notwithstanding that no director, officer or employee may be held individually liable for the same offence.⁶⁸

    The Sub-Committee favours the latter approach as it allows a maximum of flexibility and is probably more consistent with decision-making processes within corporations, particularly large ones.  By this approach, in situations where there is a particular individual who could be said to be responsible for a criminal act or omission, that person could obviously be charged.  In addition, the corporation could be charged if the offence was committed for the benefit of the corporation by a person with authority who was acting in the course of his or her responsibility.  Further, if there was no such individual, the corporation could be held liable for the collective conduct of those in charge.  One person or group of persons may have the mens rea of the offence while others actually committed the acts.  Still, the corporation would be liable.  With respect to omissions, the corporation
------
⁶⁶ Report 31, at 26.
⁶⁷ Supra, note 65.
⁶⁸ Report 31, at 26.
 

[p. 31]
would be liable in criminal negligence if those responsible within the corporation failed to discharged its legal duties, the failure constituted a marked departure from the standard of conduct expected of it in the circumstances and death or bodily harm resulted.

Recommendation Ten

The Sub-Committee recommends that a recodified General Part of the Criminal Code contains a provision on corporate liability that makes clear that corporations will be liable for conduct committed by those with authority over its actions, whether or not there is an individual who could be held personally liable for the conduct." (pp. 29-31)
 

___________Navigating Through "The Perfect Storm": Safeguards to Restore Investor Confidence.  Report of the Standing Senate Committee on Banking, Trade and Commerce, Ottawa, 2003, xiii, 76 p. (Chair: The Honourable E. Leo Kolber; Deputy Chair: The Honourable David Tkachuk), available at  http://www.parl.gc.ca/37/2/parlbus/commbus/senate/com-e/bank-e/rep-e/rep12jun03-e.pdf (accessed on 14 July 2004); also published in French/aussi publié en français: Après « La tempête du siècle » : Rétablir la confiance des investisseurs.  Rapport du Comité sénatorial permanent des banques et du commerce, Ottawa: 2003, xiii, 82 p. (Président: L’honorable E. Leo Kolber; Vice-président: L’honorable David Tkachuk), disponible à http://www.parl.gc.ca/37/2/parlbus/commbus/senate/Com-f/bank-f/rep-f/rep12jun03-f.pdf (visionné le 14 juillet 2004);
 

CANADIAN ASSOCIATION OF POLICE CHIEFS / L'ASSOCIATION CANADIENNE DES CHEFS DE POLICE, An Evaluation of Volume I of the Report 30 Published by the Law Reform Commission Canada and titled "Recodifying Criminal Law", [Ottawa?]: The Canadian Association of Police Chiefs, 1987, 112 p., see "Section 27: Corporate Liability", at pp. 41-42; published in English only / publié en anglais seulement;

"Section 27: Corporate Liability

    Insofar as the Law Reform Commission concedes that it has much work yet to do in respect of this subject, it is submitted that there be a review of the alternative Clause 2(5) on page 23 of the Report.  This aternative is preferable to Section 27 as it is drafted more simply yet assigns corporate liability and responsibility for crimes of purpose, recklessness, and negligence.  The appropriate amendment is therefore requested.

    With respect to the questions and issues raised by the Commission, the following observations are made:

1.  Corporate criminal liability ought to be assigned when actions are taken in its name which are criminal in nature, and when the conduct of the relevant directors, officers, or employees becomes known to the company which then avoids the first reasonable opportunity to repudiate that criminal conduct.  Indeed, this obligation should be characterized as a positive duty imposed on the employer to prevent the continuation of a collective crime which is known to him.  Any breach of this duty should constitute the employer as a furtherer of the crime.

2.  The Minister is strongly urged to develop a principle of collective liability which will include other types of collective activity: partnership; and joint ventures by individuals, partnerships, or corporations." (pp. 41-42)

___________"Submission and Brief by the Canadian Association of Chiefs of Police for the House of Commons Standing Committee on Justice and the Solicitor General concerning The Framework Document on the Proposed New General Part of the Criminal Code",  May 1991, published in Canada, House of Commons, Sub-Committee on the Recodification of the General Part of the Criminal Code of the Standing Committee on Justice and the Solicitor General, Minutes of Proceedings and Evidence of the Sub-Committee on the Recodification of the General Part of the Criminal Code of the Standing Committee on Justice and the Solicitor General, [Ottawa]: Queen's Printer for Canada, issue number 10, of 8 December 1992, pp. 10A: 1 to 10A: 12, and see "Corporate Liability" at p. 10A: 6; also published in French /aussi publié en français, "Présentation et mémoire de l'Association canadienne des chefs de police au Comité permanent de la Chambre des Communes de la Justice et du Solliciteur général au sujet du document cadre sur la nouvelle Partie générale du Code criminel", dans CANADA, Sous-comité sur la Recodification de la Partie générale du Code criminel du Comité permanent de la justice et du Solliciteur général, Procès-verbaux et témoignages du Sous-comité sur la Recodification de la Partie générale du Code criminel du Comité permanent de la justice et du Solliciteur général,  [Ottawa]: I'Imprimeur de la Reine pour le Canada, 1991, fasicule numéro 10, du 8 décembre 1992 aux pp. 10A : 24 à 10A :38, voir "Responsabilité des personnes morales" aux pp. 10A : 30 - 10A : 31;
 

CANADIAN BAR ASSOCIATION, "CBA Recommends Caution in Criminal Liability for Corporations", The Information Service of the Canadian Bar Association, 23 May 2002, available at  http://www.cba.org/cba/News/2002_Releases/2002-05-23_corporate.asp (accessed on 25 October 2003); also published in French /aussi disponible en français: Barreau canadien, "L'ABC recommande la prudence en matière de responsabilité criminelle des personnes morales", Service d'information du Barreau de lAssociation du Barreau, 23 mai 2002, disponible à  http://www.cba.org/ABC/Nouvelles/2002_communiques/2002-05-23_morales.asp (texte visionné le 25 octobre 2003);
 

___________letter of the, to the Standing Committee on Justice and Human Rights studying Bill C-284, An Act to amend the Criminal Code (offences by corporations, directors and officers), signed by John McIninch Chair, Corporate Law Sub-Committee, National Business Law Section, and Heather Perkins-McVey, Chair, National Criminal Justice Section, available at http://www.cba.org/cba/pdf/2002-05-24_criminal.pdf (accessed on 25 October 2003);
 

CANADIAN BAR ASSOCIATION, Ontario Branch, Continuing Legal Education, Cross-border corporate crimes, [Toronto, Ont.] : Canadian Bar Association-Ontario, Continuing Legal Education, 2001, 1 v. (various pagings); notes: Co-chairs: Milos Barutciski, Charlotte M. Janssen,  Joseph Kenkel;         "Wednesday, May 9, 2001", ISBN:  1551722593; title noted in my research but document not consulted;
 

___________ Ontario Branch, Continuing Legal Education, "Developments in corporate criminal liability and  liability of corporate officers and directors [sound recording]", Markham, Ont. : Audio Archives of Canada, c1984, 1 sound cassette : 4.75 cm/s.; notes: Audio Archives of Canada, 7449 Victoria Park Ave., Markham, Ont. L3R 2Y7; Publisher no.:  CLE 177/81 Audio Archives of Canada; title noted in my research but tape not listened to;
 

___________Ontario Branch, Continuing Legal Education, How to deal with theft, fraud, breach of trust and other  crimes of greed : practical advice for corporate counsel, [Toronto] : Canadian Bar Association-Ontario, Continuing  Legal Education, [1994], 1 v. (various pagings), ISBN:  189580681X; notes: "Thursday, March 24, 1994"; Seminar held at CBAO Education and Meeting Centre, Toronto; copy at the National Library of Canada, Ottawa; title noted in my research but document not consulted;

• Fuerst, Michelle K. and John A. Olah, "Reviewing the Stolen Monies: Looking for Deep Pockets & the Police and Criminal Courts";

• Fuerst, Michelle K., "The Criminal Law Perspective", 12 p.;

•  James, Arthur B., "Ethics and the Corporate Counsel", 25 p.;

• Thorburn, Craig C., "Corporate Crime: Liability and Disclosure Issues for Directors and Officers", 22 p.;
 

CANADIAN CONSTRUCTION ASSOCIATION, letter by the President, Michael Atkinson, to the Hon. Martin Cauchon, Minister of Justice and Attorney General of Canada, "Re: Bill C-45 – An Act to Amend the Criminal Code (Criminal Liability of Organizations)", dated 23 October 2003, 2 p., available at available at http://www.cca-acc.com/news/government/billc45/letter.pdf (accessed on 9 November 2003);  also published in French / aussi publié en français: Lettre du Président, Michael Atkinson, à l'honorable Martin Cauchon, Ministre de la Justice et procureur général du Canada, "Objet : Projet de loi C-45 – Loi modifiant le Code criminel (responsabilité pénale des organisations)", 23 octobre 2003, 2 p., disponible à  http://www.cca-acc.com/news/government/billc45/letterfr.pdf (visionnée le 19 novembre 2003);
 

___________"Summary of Bill C-45 An Act to Amend the Criminal Code (Criminal Liability of Corporations)", dated October 2003, 4 p., available at http://www.cca-acc.com/news/government/billc45/summary.pdf (accessed on 19 November 2003); also published in French / aussi publié en français: Association canadienne de la construction, "Résumé du Projet de loi C-45: Loi modifiant le Code criminel (responsabilité pénale des organisations)", daté octobre 2003, 4 p., disponible à  http://www.cca-acc.com/news/government/billc45/summaryfr.pdf (visionné le 19 novembre 2003);
 

CANADIAN COUNCIL OF CHIEF EXECUTIVES Web site, at  http://www.ceocouncil.ca/en/ (accessed on 24 February 2005); also published in French / aussi publié en français: CONSEIL CANADIEN DES CHEFS D'ENTREPRISE, site web, disponible à  http://www.ceocouncil.ca/fr/   (visionné le 24 février 2005);
 

CANADIAN DEMOCRACY AND CORPORATE ACCOUNTABILITY COMMISSION, The new balance sheet : corporate profits and responsibility in the 21st century : final report, Toronto : Canadian Democracy and Corporate Accountability, 2002, iv, 51 p.2002, ISBN 0973024909, available at  http://www.corporate-accountability.ca/pdfs/FullReport2002.pdf (accessed on 24 October 2003); also published in French / aussi publié en français: Commission sur la démocratie canadienne et la responsabilisation des entreprises, Une nouvelle équation: les profits et les responsabilités des entreprises à l'aube du 21e siècle, Rapport final, Toronto : Canadian Democracy and Corporate Accountability Commission. 2002, v, 51 p., ISBN:  0973024925, disponible à  http://www.corporate-accountability.ca/pdfs/RapportFinal2002.pdf (texte visionné le 25 octobre 2003);
 

CANADIAN INSTITUTE, THE, New Criminal Liability for Organizations under Bill C-45, The Canadian Institute, 2004, code: P219L04-TOR, price $351.92; the Conference, "New Criminal Liability for Organizations Under Bill C-45" was held on 3-4 May 2004, Toronto, see  for details and participants etc., http://www.canadianinstitute.com/program_conference/conf_details_section.cfm?page=1&ID=2562&Mode=Normal;

[Contents]
 "How will the Criminal Code provisions interact with existing regulatory laws?
- What are the key differences between Bill C-45 and existing OH&S legislation?
- Practical tips and strategies for responding to Bill C-45
- What can you expect in regulatory and/or criminal investigations, and what are your legal rights and obligations?
- What are the essential elements of an effective work safety management system?
- What practical steps must be taken by your organization, the senior officers, and the employees, to prevent
   the commission of a criminal offence?
And much more!" (source:  http://www.canadianinstitute.com/frames.cfm, accessed on 7 July 2004)

CANADIAN LABOUR CONGRESS, "Subject: Presentation to the House of Commons Standing Committee on Justice and Human Rights in regard to Bill C-284, an Act to amend the Criminal Code (Offences by Corporations, Directors and Officers)", May 9, 2002; available at  http://clc-ctc.ca/web/menu/english/en_index.shtml?load=action.web.ca/home/clccomm/en_readingroom_briefs.shtml?sh_itm=c976ec9de7d8019a9f407b8bfb52d86d (accessed on 27 June 2004); also available in French /aussi disponible en français: CONGRÈS DU TRAVAIL DU CANADA, "Mémoire présenté au Comité permanent de la justice et des droits de la personne au sujet du projet de loi C-284, loi modifiant le Code criminel (infractions commises par des  personnes morales, administrateurs et dirigeants)", 9 mai 2002; disponible à  http://action.web.ca/home/clccomm/fr_readingroom_briefs.shtml?sh_itm=5e8d49a80cadb5ded1fe9561a6f08db0 (visionné le 27 juin 2004);
 

CANADIAN MANUFACTURERS' ASSOCIATION, letter  by Douglas Montgomery, Vice-President, Government Relations, to The Honourable Allan Rock, Minister of Justice, dated 17 August 1995, 5 p., on the Department of Justice document: Reforming the General Part of the Criminal Code: A Consultation Paper; documents 000440-000445 obtained by François Lareau further to an Access to Information Act request of 5 March 1999 to the Department of Justice Canada, request number A99-00005;
 

CAROLINE, Michael W., "Corporate Criminality and the Courts :  Where are They Going?", (1985) 27 The Criminal Law Quarterly 237-254;

CONTENTS

[Introduction]...237

The Corporation in Society...237

Judicial Interpretation of Corporate Criminal Responsibility...240

Policy Considerations...248

CARTER, Donald D., Geoffrey England, Brian Etherington and Gilles Trudeau,  Labour law in Canada, 5th ed., Markham (Ont.) : Butterworths Canada; The Hague (The Netheralnds) : Kluwer Law International, 2002, 406 p., see in particular, Chapter 2 of Part 1, "Rights and Duties of the Parties to the Rmployment RElationship", at pp. 113-201, ISBN:  9041117504; note: "This book was originally published as a monograph in  the International Encyclopaedia of Laws/Labour law and Industrial Relations";
 

CASEY, John, "Corporate Crime and the State: Canada in the 1980s",  in Thomas Fleming, ed., The New Criminologies in Canada: Crime, State and Control, Toronto: Oxford University Press, 1985, xii, 343 p., at pp. 100-111, ISBN: 0195404890; copy at Ottawa University, MRT General: HV 9960 .C2 N48 1985;

Contents

Is Corporate Crime "Crime"...100
Why Study Corporate Crime...102
Methodological Problems...107
Conclusions 109
References...110
Miscellaneous...111

CASSIDY, P., “The Exposure of Officers and Directors to Criminal and Quasi-Criminal Liability For Environmental Offences: An Update” (1995) 53 The Advocate 899-905;

CONTENTS

[Introduction]...899

Statutory Liability for Environmental Incidents...900

The Wake-Up Call: Bata...902

Beyond Bata...904

Conclusion...905

CASSIDY, Paul and Gloria Chao, "The Exposure of Directors, Officers and Employees to Criminal and Quasi-Criminal Liability for Environmental Offences: Beyond Bata", (2003) 61(6) The Advocate 847-861;

CONTENTS

INTRODUCTION...847

Purpose and Scope of Paper...847
Background: General Basis for Liability for
    Environmental Non-Compliance...847

ANALYSIS OF RECENT ALBERTA' BRITISH AND ONTARIO
    CASE LAW ON LIABILITY ISSUES...849

Roles and Responsabilities of Directors, Officers and Employees...849

Directors...849
Officers...849
Employees...849

Meeting, Environemental Due Diligence Criteria: Responsibilities for the
    Director, Officer and Employee...850

General case law on the due diligence defence for corporate
    non-compliance...850
Directors...852
Officers...852
Employees...853
Summary...855

Legislative Comparison: Different Language Leads to Different Effects?...855

EMERGING CHALLENGES IN LIABILITY FOR CORPORATE
    NON-COMPLIANCE...856

Profit-stripping: An Emerging Liability Concern for Environmental
    Non-Compliance...856
Certification by Senior Executives: Prospects
    and Possible Effects...856
Directors...858

CONCLUSION AND RECOMMENDATIONS...857

Corporations...857
Officers...859
Employees...860

CAUCHON, Martin, "Speech for the Honourable Martin Cauchon, Minister of Justice and Attorney General of Canada, to the Empire Club of Canada, 20 March 2003, Toronto, Ontario -- Check against Delivery", available at http://canada.justice.gc.ca/en/news/sp/2003/doc_30860.html (accessed on 15 April 2003); also available in French/ aussi disponible en français: "Allocution de l'honorable Martin Cauchon ministre de la Justice et Procureur général du Canada devant l'Empire Clubd du Canada, le 20 mars 2003, Toronto (Ontario) -- L'allocution prononcée fait foi", disponible à  http://canada.justice.gc.ca/fr/news/sp/2003/doc_30860.html (visionné le 25 octobre 2003);

"One area where it may be argued that we have too little criminal law now is the matter of holding corporate leaders and corporations to account for harmful behaviour.

We have all seen the stories about American corporate fraud on a massive scale, such as with Enron and WorldCom. And we have also seen the stories of small investors whose life savings and retirement dreams have disappeared, not because of some unfortunate disaster, but rather because some corporate leaders lost their moral compass and pursued greed over responsibility. This is not part of the Canada we want.

We have gone to the US and England to talk to their experts. We have concluded that we need to strengthen our capacity to investigate and prosecute major corporate frauds and to make the penalties for such behaviour a real deterrent.

I am working with my colleagues-the Ministers of Finance, Industry, and the Solicitor General-on proposals to strengthen the law on corporate fraud and to introduce tougher penalties.

This could involve changes to the Criminal Code or it may require that we create an entirely new law. But either way, our message is clear: we as a society must protect the integrity of our markets and our investors, whether they have invested thousands or millions of dollars."

CHAMBER OF COMMERCE OF KITCHENER & WATERLOO, letter of Terry Flynn, President and Ed Lemont, Chair & Provincial Affairs Committee, to the General Part Recodification, Communications and Consultation Branch, Department of Justice Canada, dated 10 April 1995, 2 p., on the "White Paper and related documents concerning the Department of Justice's options for reform of the Criminal Code"; documents 000446-000447 obtained by François Lareau further to an Access to Information Act request of 5 March 1999 to the Department of Justice Canada, request number A99-00005;
 

CHICK, Timothy Paul, 1961-, Corporations and the Canadian Charter of Rights and Freedoms: The Dignitarian Exclusion, LL.M. thesis, Dalhousie University, Halifax, Nova Scotia, 1993, viii, 230 leaves; copy at Ottawa University, KE 1394 .C45 1993a FTX; copy at the National Library of Canada, Ottawa; title noted in my research but thesis not consulted yet;

[Abstract]

"The author argues that corporations do not have any rights under the Canadian Charter of Rights and Freedoms. Many Canadian Courts, including the Supreme Court of Canada, have by and large accepted this conclusion. However, most of these Courts have based their no corporate rights decisions on the assumption that the Charter does not protect economic rights. The author, on the other hand, has reached this conclusion by arguing that there are no 'points of intersection' between corporations and the purpose of the Charter. There are no points of intersection, because the purpose of constitutional rights is the protection and advancement of human dignity, whereas the purpose of corporations is the accumulation of economic wealth. In order to ensure that the Courts reach this conclusion, the author argues that the Courts should replace their current use of a 'liberal' approach to the Charter with a 'dignitarian' approach to the Charter. A dignitarian approach places the emphasis of constitutional law on protecting and advancing individual dignity and self worth, and would ensure that corporations do not have Charter rights because the fact that a corporation lacks human dignity becomes constitutionally significant. The author also contends that a dignitarian approach to the Charter should be used in order to permit the Courts to protect a number of important individual economic rights. Although a number of recent cases contain fairly blunt statements that the Charter does not protect any economic rights, because the Courts have readily acknowledged that many sections of the Charter are capable of an economic rights interpretation, the author contends that the failure of the Charter to protect economic rights is the fault of judges, not the fault of the drafters of the Charter, or indeed of the Charter itself. (Abstract shortened by UMI.)" (source:  http://amicus.nlc-bnc.ca:80/, accessed on 18 November 2003)

COCKBURN, Neco, "Judge acquits OPG [Ontario Power Generation] in Calabogie frownings -- Two rorkesr stiff face charges over dam deaths in 2002", The Ottawa Citizen, Wednesday, 15 November 2006, at pp. A1 and A2; the title at p. a" is "OPG: Dam manager found not to have 'full discretion' as necessary under old law";

COHEN, Gail, "Corporate ethics and the new regulatory climate", (November#December 2004) 28(11) Canadian Lawyer 41-42;

"The corporate landscape is changing dramatically, with governments and the public expecting companies to adhere strictly to new ethical standards.  Tough legislation in both Canada and the United States now holds companies responsible for a wide range of crimes, with sanctions to match.  It's a brave new world for corporate counsel and the lawyers in private practice who advise the." (p. 41)

Corporate Liability, a journal devoted to corporate liability under criminal, regulatory and other statute law, published by [Montréal] : Federated Press, 1992?-; copy at the National Library of Canada, Ottawa;
 

CÔTÉ-HARPER, Gisèle, 1942-, Pierre Rainville, 1964-, et  Jean Turgeon, 1951-, Traité de droit  pénal canadien, 4^e édition refondue et augmentée, Cowansville: Éditions Yvon Blais, 1998, lv, 1458 p., voir "L'attribution d'une intention à une personne morale" aux pp. 427-436 et "Les personnes morales et les infractions réglementaires", aux pp. 634-638, ISBN: 2894512589; note de recherche: la première édition porte le tite: Principes de droit pénal général,1981; la deuxième édition en 1984 et la troisième édition en 1989 avec le supplément de 1994 portent le tite Droit pénal canadien;
 

CYR, Caroline, "L'affaire Belmoral", (1988) 21 Criminologie 83-94;

Abstract

"This note reports on the various causes underlying the collapse of the Belmoral Mine in Val d'Or, Québec, in May 1980.  It relays the facts concerning the events prededing and following this tragedy: reports on the working conditions, the public inquest and its conclusions, and the court hearings.  Based on information drawn from these sources and from the press, the author reconstructs the events surrounding the tragedy and the arguments presented by Belmoral management and independent experts, denying or supporting the theory that the collapse of the mine was foreseeable and therefore preventable.  The object of this paper is to state the facts, as objectively as possible, allowing the readers to draw their own conclusions concerning this matter." (p. 83)

DAMBROT, Michael R., and Antoinette Issa, "Corporate Criminal Liability" in National Criminal Law Program: Substantive Criminal Law, University of Manitoba Winnipeg, Manitooba, July 15 to 19, 1996, Winnipeg, Man. : The Federation of Law Societies of Canada, 1996, vol. 1 of 2, section 1.7, 22 p; copy at the Library of the Supreme Court of Canada, KF 9220 ZA2 N38 1996 v. 1;

Contents

Introduction...1

Part I Corporate Criminal Liability in the Canadian Context...4

Vicarious Liability...5
Primary Liability...5

(a) Absolute Liability Offences...6
(b) Strict Liability Offences...7
(c) Offences Requiring Mens Rea...7

Corporate Criminal Liability in the Canadian Context...7
Identification Doctrine...10
Scope of Identification Doctrine...12

Part II -- Practical Considerations...14

Compellability of Corporate Officers...14
Double Jeopardy...16

Part III -- The Notion of Corporate Fault...17

Sentencing...18

DANDURAND, Yvon, "Entertaining Realistic Expectations About the Effect of Criminal Sanctions Imposed on Corporate Entities: Canada", in Albin Eser, Günter Heine, and Barbara Huber, eds., Criminal Responsibility of Legal and Collective Entities - International Colloquium Berlin, May 4-6,  1998, Freiburg im Breisgau: Eigenverlag Max-Planck-Institut fur Auslandisches und Internationales Strafrecht, 1999, 379 p., at pp. 267-276  (series :  Beiträge und Materialien aus dem Max-Planck-Institut für Ausländisches und Internationales Strafrecht Freiburg i. Br.; Bd. S 78),  ISBN:  3861139421; available at  http://www.iuscrim.mpg.de/verlag/online/Band_S78/10-SUBJN-4a.pdf (accessed on 27 November 2003);
 

DESBIENS, Patrice, "Nouvelle responsabilité criminelle des organisations", (1^er mai 2005) 37(8) Le Journal du Barreau 21 et 23;
 

DESROSIERS, Guy, "La responsabilité pénale des administrateurs et dirigeants en matière d'environnement" (1992) 52 Revue du Barreau 715-730;

Table des matières

1.   Analyse critique de l'affaire Bata...715

1.1  Les faits...715
1.2  La responsabilité de la compagnie...716
1.3  La responsabilité des administrateurs et dirigeants...717

1.3.1   Le fardeau de preuve incombant à la poursuite...717
1.3.2   La compagnie et ses administrateurs ont-ils des intérêts opposés?...718
1.3.3   La défense de diligence raisonnable..719

1.3.3.1  La notion de diligence conceptuelle...720
1.3.3.2  La notion de diligence opérationnelle...721

2. L'impact de l'affaire Bata au Québec...723

2.1 La responsabilité des administrateurs et dirigeants en droit québécois...724

2.1.1  La responsabilité à titre principal...724
2.1.2  La responsabilité à titre de complice...727
2.1.3  Responsabilité pénale du fait d'autrui...727
2.1.4  Le régime spécial applicable aux administrateurs et dirigeants...728

2.1.4.1  L'article 109.3...728
2.1.4.2  L'article 113...729

2.2. L'affaire Bata et l'évolution du droit québécois...729

Developments in corporate criminal liability and liability of  corporate officers and directors [sound recording], Markham, Ont. : Audio Archives of Canada, c1984, PUBL. NO.:  Publisher no.:  CLE 177/81;  title noted in my research but audio tape not listened to;
 

DOOREY, David, "Corporate Criminal Liability: Background Research for Discussion", 1999?; David Doorey, a lawyer who had drafted a detailed legal brief on
corporate manslaughter; paper discussed at hearings of 6 June 2000 o Standing Committee of Justice, see  http://www.parl.gc.ca/infocom/PubDocument.asp?DocumentID=1040419&Language=E ; title noted in my research but document not consulted yet;

DRAGATSI, Hélène, Criminal Liability of Canadian Corporations for international crimes, Toronto : Carswell, c2011. xxxv, 212 p.;
 

DUBBER, Markus Dirk,  "Commentary",  in  Don Stuart, 1943-,  R.J. Delisle and Allan Manson, eds., Towards a Clear and Just Criminal Law: A Criminal Reports Forum, Scarborough (Ontario): Carswell, Thomson Professional Publishing, 1999, v, 574 p., at pp. 156-182, see "Corporations" at pp. 181-182, ISBN: 045927077X; comments on Professor Stuart's proposals on the General Part, see Stuart, "A Case for a General Part", infra;
 

DuPONT Canada, letter by Seymourr B. Trachimovsky, General Counsel and Corporate Secretary, to the General Part Recodification, Communications and Consultation Branch, Department of Justice Canada, dated 31 March 1995, 5 p., on the Department of Justice document: Reforming the General Part of the Criminal Code: A Consultation Paper; and "related matters", documents 000448-000452 obtained by François Lareau further to an Access to Information Act request of 24 August 1998 to the Department of Justice Canada, request number A989-00147;
 

DUSOME, Paul, "Criminal Liability under Bill C-45: Paradigms, Prosecutors, Predicaments", (September 2007) 53(1) The Criminal Law Quarterly 98-148;

EATON, J. David, "Corporate (Organizational) Criminal Liability", in National Criminal Law Program (2004 : Halifax, N.S.), Dalhousie University, Faculty of Law, and Federation of Law Societies of Canada, Substantive criminal law : 2004 National Criminal Law Program, Dalhousie University, Halifax, Nova Scotia, July 12 to 16, 2004 / presented by the Federation of Law Societies of Canada in conjunction with the Faculty of Law, Dalhousie University, [s.l. : s.n.], 2004, 3 v., in volume 1, Tab 2.7, 11 p.; copy at the Library of the Supreme Court of Canada KF9220 ZA2 N38 2004;
 

EDWARDS, Cheryl, and Ryan J. Conlin, "FAQs About the New Criminal Code Provisions", Report -- Criminalization of Health and Safety Arrives in Canada!      (January 16, 2004),  Law Firm of Stringer, Brisbin, Humphrey from Ontario; available at  http://www.sbhlawyers.com/repo/index.asp?action=edit&report_cat_id=26  (accessed on 3 March 2004);
 

___________"Criminalization Of Health And Safety Arrives In Canada!  FAQs about the new Criminal Code provisions", 1 March 2004, Law Firm of Stringer, Brisbin, Humphrey from Ontario; available at  http://www.sbhlawyers.com/filesreport/file_3411728_OHS_due_diligence_update_march_2004__updated_for_proclamat.pdf (accessed on 21 April 2004);
 

____________"Workplace Safety Amendments to Criminal Code Introduced", OH&S Due Diligence Update - July 2003, Law Firm of Stringer, Brisbin, Humphrey from Ontario; available at  http://www.sbhlawyers.com/repo/index.asp?action=edit&report_cat_id=21 (accessed on 3 March 2004);

[Contents]
[Introduction]
1. Positive OH&S Duty Added to Criminal Negligence Section
    of the Criminal Code
2. Difference Between Proposed Criminal Code and OHSA
    Duties and Violations
3. "Corporate" Criminal Liability Will Apply to a Broad Range
     of Organizations
4. Corporate Prosecutions under Current Criminal Negligence
     Provisions
5. Proposed Lifting of Barriers to Convict Organizations of Criminal
    Negligence
6. Offences Other Than Negligence
7. Pinstripes to Prison Stripes: What Would Happen to Those
    Convicted?

(i) Factors the Courts Would Consider
(ii) Broad Range of Creative Sentencing Options

ELLIS, Desmond, and Walter Dekeseredy, The wrong stuff : an introduction to the sociological study of deviance, 2nd ed., Scarborough, Ont. : Allyn & Bacon Canada, 1996, xii, 340 p., see "Corporate Crime and Deviance", Chapter 8, at pp. 230-259, ISBN: 0205188249; copy at Ottawa University, MRT General, HM 811 .E55 1996;
 

ELLIS, Desmond, The Wrong Stuff: an Introduction to the Sociological Study of Deviance, Don Mills: Collier Macmillan Canada, 1987, xv, 247 p., see "Corporate Crime in the Suites", at pp. 83-116, ISBN: 002947020X; copy at Ottawa University, MRT General, HM 811 .E55 1987;
 

ESSON, Andrea E., "The Liability of Officers and Directors in the Workplace", in Ontario Branch, Continuing Legal Education, The new battlefield for litigators : criminal law invades the boardroom,  Toronto : Canadian Bar Association-Ontario, Continuing  Legal Education, 1992, 1 v. (various pagings); notes: "Saturday, March 28, 1992", ISBN: 1895200849; copy at the National Library of Canada, Ottawa; title noted in my research but document not consulted;
 

EWASCHUK,  Eugene G.,  "Corporate Criminal Liability and Related Matters", (1975) 29 Criminal Reports New Series 44-78;

Contents

- Historical...44
- Corporate Criminal Liability...47
- American Position on Corporate Criminal Liability...53
- Strict Liability...55
- The Corporate Right Against Self-Incrimination...59
- Corporate Criminal Responsibility...62
- Corporate Merger...65
- Corporate Admission...65
- Corporate Documents...68
- Criminality of Corporate Directors...69
- Conclusions...73
- Appendix -- Relevant Code Sections Relating to Corporations...75

___________Criminal Pleadings and Practice in Canada, 2nd ed., Aurora (Ontario): Canada Law Book, 1987-, loose-leaf, 3 vols., see vol. 1, at  15-1070 for corporate liability, ISBN: 0888040687 (vol. 1); copy at the Library of the Supreme Court of Canada, KF 9656 E93;
 

FAILES, Michael D., "The Criminalization of Health and Safety in the Workplace (Bill C-45),  Law Firm of Filion Wakely Thorup Angeletti, LLP, Management Labour Lawyers; 2004, i, 8 p.; available at  http://www.filion.on.ca/pdf/MDF%202004%20Paper.pdf (accessed on 7 July 2004);
 

FERGUSON, Gerry, "The Basis for Criminal Responsibility of Collective Entities in Canada" in Albin Eser, Günter Heine, and Barbara Huber, eds., Criminal Responsibility of Legal and Collective Entities - International Colloquium Berlin, May 4-6,  1998, Freiburg im Breisgau: Eigenverlag Max-Planck-Institut fur Auslandisches und Internationales Strafrecht, 1999, 379 p., at pp. 153-180 (Series :  Beiträge und Materialien aus dem Max-Planck-Institut für Ausländisches und Internationales Strafrecht Freiburg i. Br. ; Bd. S 78),  ISBN:  3861139421; available at  http://www.iuscrim.mpg.de/verlag/online/Band_S78/8-SUBJN-3a.pdf (accessed on 1 November 2003);
 

___________"Corruption and Corporate Criminal Liability", paper presented at the Seminar on Corruption and Bribery in Foreign Business Transactions: New Global and Canadian Standards Vancouver, B.C. 4 - 5 February 1999available at  http://www.transparency.ca/Vancouver/FergusonG.pdf (accessed on 25 October 2003);
 

___________"Recent Developments in Canadian Criminal Law", (2000) 24(4) Criminal Law Journal 248-263, see "Corporate criminal liability" at  pp. 254-256; copy at Ottawa University, KTA 0 .C735  Location: FTX Periodicals;
 

___________"Recent developments in Canadian criminal law", (2004) 28(2) Criminal Law Journal 93-109, see "New Provisions on Corporate Criminal Liability", at pp. 93-95;

"The 'aggregation' principle has been applied in the United States but rejected in England.  See United States v Bank of New England 484 US 943 (1987); HM Coroner for East Kent; Ex parte Spooner (1989) 88 Cr App R 10; Attorney General's Reference (No 2 of 1999) [2000] QB 796.  The aggregation principle is included in the federal Australian Criminal Code Act 1995, s. 12.4 but, like s. 22.1 of the Canadian Bill C-45, only in the context of crimes of negligence, not for subjective mens rea offences.  The aggregation principle was also rejected by the Law Commission of England in Legislating the Criminal Code: Involuntary Manslaughter (1996) (Law Com Report No 237) at [733], and in the Irish Consultation Paper: see Corporate Killing, n 1, pp. 35-37." (p. 94)

Contents

Introduction...421

Corporate Liability: An Overview...422
Development of Corporate Liability...424
Primary Corporate Liability and The 'Alter Ego' Theory...428
The Present State of the Law and the Doctrine of Identification...430
Crimes Which a Corporation Can Commit...434
The Policy of Primary Corporate Liability...436

Conclusion...437

FINDLAY, Joanna, compiled by, White Collar Crime: a bibliography, Ottawa, RCMP HQ Library, April 1980, i, 105 p.; copy at the Library of the Supreme Court of Canada, KF 9300 F56 c. 2;

"TABLE OF CONTENTS

Accountants/Accounting, Auditors/Auditing...1

Accountants/Accounting, Auditors/Auditing - Canada...2

Bankers/Banking...6

Bankers/Banking - Canada...8

Bribery/Kickbacks...9

Bribery/Kickbacks - Canada...12

Business and professional Ethics...16

Corporate Crime / Corporate Criminal Liability...19

Corporate Crime / Corporate Criminal Liability - Canada...25

Criminology...26

Embezzlement...31

Fraud...39

Fraud - Canada...44

Land Fraud / Mortgage Fraud...55

Legal Professionals - Canada...57

Sociology of White Collar Crime...59

Stock Market Manipulation and Fraud...61

Stock Market Manipulation and Fraud - Canada...61

Tax Evasion -- Canada...69

White Collar Crime...71

White Collar Crime - Canada...100

List of Abbreviations Used...105"
 

"Table of Contents

I.  INTRODUCTION...173

II.THE NEW ORDER AND MILITARIZED COMMERCE...174

A. Oil in South America...175

1. Colombia...175
2. Chile...177

B.  Oil in Burma...178
C.  Oil in Africa...179

1. Sub-Saharan Africa...179
2. North Africa...180

D. Power in India...181
E.  Mining in Indonesia...182
F.  Mining in Africa...183
G. Conclusion...184

III.  CORPORATE CRIMINAL LIABILITY FOR HUMAN RIGHTS
       ABUSES COMMIUED BY SECURITY FORCES...186

A. "Transnational" Jurisdiction"...186

1. Crimes with a Real and Substantial Link...186
2. Extraterritorial Crimes...190

B. Criminal Code Offences for "Complicity" in Human Rights Abuses...192

1.  Aiding and Abetting...192
2.  Counselling an Offence that is Committed...194
3.  Jurisdictional Complications...195
4. Conspiracy...197
5. Criminal Negligence...198

C.  Militarized Commerce and the Issue of Corporate Mens Rea...199
D.  Conclusion...201

IV.   CIVIL LIABILITY...201

A.  "Transnational" Civil Jurisdiction...201

1.  Source of Liability...206
2.  Nature of Liability...208
3.  Conclusion...210

V. CONCLUSION...211" (p. 172)

FONDS D'ASSURANCE RESPONSABILITÉ PROFESSIONNELLE DU BARREAU DU QUÉBEC, "C-21: L'employeur n'est pas à l'abri d'une poursuite criminelle suite à un accident du travail", (avril 2005) 6(2) Bulletin de prévention 3-4;  disponible à  http://www.assurance-barreau.com/fr/bulletin.html (visionné le 19 mai 2005);
 

FORTIN, Jacques et Louise Viau, Traité de droit pénal général, Montréal: Éditions Thémis, 1982, xi, 457 p., voir "La responsabilité des corporations", aux pp. 377-386;
 

FOSTER, Elizabeth, "Corporations and Constitutional Guarantees", (1990) 31 Cahiers de droit 1125-1152;
 

FRASER, J. Lynn, "Legislating safety -- a contentious claim.  Bill C-45 is redefining the criminal liability of organizations of all descriptions, but will it really make a dent in solving past problems?", (May 2004) 78 CMA Managenment 30-32; note published by CMA [Certfied Management Accountants] Canada;
 

FRENKEL, David A. and Yotam Lurie, "Culpability of Corporations -- Legal and Ethical Perspectives", (2002) 45(4) The Criminal Law Quarterly465-487;

Contents
1. Introduction...465
2. Legal Approaches to Corporate Liability...467
3. Ethical Perspectives -- Moral Personhood...479
4.  The Questions of Punishment -- Recommendations...483

GAGNÉ, Jacques, 1930-, et Pierre Rainville, Les infractions contre la propriété : le vol, la fraude et certains crimes connexes, Cowansville, Québec : Éditions Y. Blais, 1996, xxxiii, 514 p., voir le "Chapitre 5 - La personne morale face aux crimes contre la propriété", aux pp. 415-431, ISBN:  2894510527; copie à l'Université d'Ottawa,  FTX General, KE 8958 .G336 1996; copie à la Bibliothèque de la Cour suprême du Canada, KF 9350 G34 1996;

Table des matières [...]

"Chapitre 5 - La personne morale face aux crimes contre la propriété...415

I. La personne morale délinquante...415

1. Le principe de la responsabilité criminelle de la personne morale et de ses dirigeants...415
2.  Les lacunes du principe de la responsabilité morale en matière de crimes contre la propriété...425

II.  La personne morale dépouillée...428" (p. xxxiii)

GERVAIS, Jean-Pierre, "Les personnes morales et la Charte canadienne des droits et libertés", (1993) 38 McGill Law Review 263-365; see summary / voir le sommaire à http://www.journal.law.mcgill.ca/abs/382gerva.htm?french=1;

"Sommaire

Introduction...264

I.  Les personnes morales en tant que sujets de droits...270

II.  Les personnes morales en tant que bénéficiaires directes de la Charte canadienne des droits et libertés...281

A.  Les personnes morales en tant que titulaires de droits et libertés: approche suggérée...281
B. Les libertés fondamentales (article 2) ...285

1.  La liberté de conscience et de religion (alinéa 2a)...286
2.  La liberté de presse et d'expression (alinéa 2b))...289
3.  La liberté d'association (alinéa 2d))...302

C. La liberté de circulation et d'établissement (article 6)...306
D.  Les garanties juridiques (articles 7-14)...312

1.  Le droit à la vie, à la liberté et à la sécurité de la personne (article 7)...312
2.  Le droit à la protection contre les fouilles, les perquisitions ou les saisies abusives (article 8)...318
3.  Les droits de l'inculpé (article 11)...323

a.  Le privilège contre l'auto-incrimination (alinéa 11c)) 325
b.  La protection contre le double péril (alinéa 11h))...329

E. Les droits à l'égalité (article 15)...330

1.  L'emploi des termes individual et 'personne' au paragraphe 15(1)...332
2.  Les concepts d'égalité et de discrimination...340
3.  Les motifs de discrimination énumérés au paragraphe 15(1)...344

F.  Le rôle de l'article premier comme médiateur entre les intérêts corporatifs et humains...351

III.  Les personnes morales en tant que bénéficiaires indirectes de la Charte canadienne des droits et libertés...355

Conclusion...363"
(p. 264; les numéros de page ont été ajoutés par moi)
 

GLASBEEK, H. J. and Poonam Puri, The corporation as criminal, winter 2000, [North York, Ont. : Osgoode Hall Law School, 2000], 2 v. (xi, 583 p.); notes;   Prepared for the use of students of Osgoode Hall Law School, York University; "Materials originally prepared by Harry Glasbeek. Updated by Professor Poonam Puri with the assistance of Anjali Banka and Stephanie Ben-Ishai"; title noted in my research but document not consulted;
 

GLASBEEK, Harry J. and Susan Rowland, "Are Injuring and Killing at Work Crimes?", (1979) 17 Osgoode Hall Law Journal 506-594;
 

GLASBEEK, H.J. (Harry J.) and Eric Tucker, "Death by Consensus: The Westray Story", North York: York University, Centre for Research on Work and Society, 1992, 37 leaves (series; working paper; number 3); also published in (summer 1993) New Solutions, p. 14;  title noted noted in my research but documents not consulted;

"Abstract from 'Death by Consensus: The Westray Story'.

At about 5:20 on the morning of May 9, 1992, an explosion ripped through the Westray coal mine in Pictou County, Nova Scotia, killing 26 miners. A ten day search and rescue operation led to the recovery of only fifteen of the miners' bodies. The horror and anxiety of the families and friends can only be imagined. Politicians and the mine owner expressed their condolences in sonorous tones and praised the herculean efforts of the unsuccessful rescue workers.

In a sense, all of this is humdrum. Mining disasters involving mass deaths are familiar events. In Pictou County itself, 246 miners already had been killed in a series of explosions which occurred between 1838 and 1952. Most miners suffered accidental deaths from other causes (i.e. falls of stone, crused by coal cars, mangled by mining machinery) between 1866-1972. In addition, an unknown number of miners were killed betweent the time commercial mining began, 1809, and the year record keeping began, 1866. Also unknown is the number of workers who died prematurely from occupational diseases. In short, it is routine for miners to be killed, maimed or made ill by their work." (source:  http://www.yorku.ca/crws/wpd3.html, accessed on 4 December 2003)

GLASBEEK, H. J. (Harry J.), "The Corporate Social Responsibility Movement: The Latest in Maginot Lines to Save Capitalism", (1987-88) 11 Dalhousie Law Journal 363-402;
 

___________"More Direct Director Responsibility: Much Ado About... What?", (1995) 25 Canadian Business Law Journal 416-459;

I.  Introduction...416

II.  Personal Liability of Directors: Two Approaches
1. The Legal Model...423
2.  The Efficiency Model...429

III. Impetus for Making Directors Personally Responsible...437

IV. The Increase in Number and in Kinds of Director Responsibilities...439

IV. Possible Effects on Corporate Governance...444

V. The Issue of Class...451

VI.  Summary...457
 

Contents

"INTRODUCTION...69

PART 1: THE CHARACTERIZATION OF OCCUPATIONAL HEALTH AND SAFETY...72

Section 1: The Starting Premise -- Neutrality...72
Section 2: An  Associated Thought -- Work as Incidental to Life...72
Section 3: The Fall-Out of These Premises is No Accident...73
Section 4: The Design of Accidents...74

PART 2: THE BROAD CONTEXT OF OCCUPATIONAL HEALTH AND SAFETY LAW DESIGN...76

Section 1: The Primacy of the Market Model and the Attendant Ideology...76
Section 2: The Pivotal Role of Consensual Contract Myth...78

PART 3: THE POTENTIAL OF CRIMINAL LAW...83

Section 1: The Trends in Occupational Health and Safety...83
Section 2: A Prima Facie Argument in Support of the Use of Criminal Law Proper...87
Section 3: The Case against the Use of Criminal Law Proper...89
Section 4: The Political Case in Support of the Use of Criminal Law Power...83" (pp. 67-68)

___________"More Criminalization in Canada",  (February 2005) 8(1) The Flinders Journal of Law Reform 39-56 approx.; title noted in my research but article not consulted; no copy of this periodical in the Ottawa area libraries according to my verification of the AMICUS catalogue of Library and Archives Canada (21 October 2005);
 

___________"Preliminary Observations on Strains of, and Strains in, Corporate Law Scholarship" in Frank Pearce and Laureen Snider, Corporate Crime: Contemporary Debates, Toronto: University of Toronto Press, 1995, xiii, 426 p., at pp. 111-131, ISBN: 0802006671 and 0802076211 (pbk.); copy at the Library of Parliament, Br. B HV 6768 C67;
 

___________"A Role for Criminal Sanctions in Occupational Health & Safety" in New developments in employment law = Le Contrat de travail : problèmes et perspectives, Montreal : Éditions Yvon Blais, 1989, xvii, 373 p., at pp. 125-149 (series; Meredith Memorial Lectures; 1988), ISBN: 2890737241; copy at Ottawa University, FTX General: KE 3109.5 .N486;
 

__________Wealth by stealth : corporate crime, corporate law, and the perversion of democracy, Toronto : Between the Lines, 2002, viii, 378 p., ISBN: 1896357415; copy at Ottawa University, MRT General: HV 6771 .C2 G53 2002;

"Contents

Acknowledgements...vi
Introduction...1

1  The Corporation as an Invisible Friend...6
2  An Ill-Assorted Trio: Capitalism, the Market, and the Corporation....15
3  The 'Small Is Beautiful' Campaign...25
4  The Small and the Ugly...37
5  The Westray Story...61
6  The Undemocratic Innards of the Large Corporation...67
7  When Big Corporations Speak, Government Listen...90
8  Corporate Deviance and Deviants: The Fancy Footwork of Criminal Law...118
9  'It's Not a Crime:' Reclassifying Corporate Deviance...144
10 New Corporate Responsibilities -- or More Window Dressing?...168
11  The Legal Corporate Social Responsibility Movement: A Politics of Impotence...183
12  The Stakeholder/Social Responsibility Movement Goes Private...206
13 Government in Their Own Image: Corporations and Political Power...229
14 Outing the Captains of Industry, Finance, Retail, and Everything Else...252

Notes and Sources...285
References...336
Index 358" (p. v)

___________"Why Corporate Deviance Is not Treated as Crime -- The Need to Make 'Profits' a Dirty Word", (1984) 22 Osgoode Hall Law Journal 393-439;

[Abstract]

"In an indictment of a system which permits Corporations -- Literally -- to get away with what would be deemed criminal in a non-corporate setting, Professor Glasbeek examines a number of theories that apologize for and purportedly explain this phenomenon.  He presents a compelling argument that corporate decision makers and controlling share-holders are exempted from culpability because they are members of or closely associated with the ruling class.  His conclusion includes a rationale for changing the manner in which corporate wrongdoers are perceived (by regulators, legislators, the judiciary and society) so that sanctions will attach to criminals regardless of class." (p. 393)

GOFF, Colin Harford, 1949-, and Charles E. Reasons, Corporate Crime in Canada: A Critical Analysis of Anti-Combines Legislation, Scarborough: Prentice-Hall, 1978, xv, 136 p., ISBN: 0131733028; copy at Ottawa University, FTX General: KE 1639 .G625 1978;
 

__________"Corporations in Canada: A  Study of Crime and Punishment", (1975-76) 18 The Criminal Law Quarterly 468-498; an update version is found in "Corporate Crime and and Punishment", in  Edmund W. Vaz, 1924-,  and Abdul Q. Lodhi,1937-, Crime and Delinquency in Canada, Scarborough (Ontario): Prentice-Hall of Canada, 1979, x, 390 p., at pp. 342-377, ISBN: 013192708;
 

GOLD, Alan D., in Corporate Crime in Canada, Toronto: Law Society of Upper Canada,  Dept. of Education, 1988, 1 v. (various pagings); note: "These materials were planned and organized by Gordon E. Kaiser ... for the program held in Toronto on Friday, December 2,1988."; copy at Ottawa University, FTX General: KE 8958 .Z85 C657 1988; title noted in my research but book not consulted; loose-leaf article missing from binder!
 

GOLDFARB, Clifford S., "Regina v. Beamish Construction Co. Ltd. et al.: Privilege of a Corporation Against Self-Incrimination", (1968) 26 Faculty Law Review -- University of Toronto 91-103;
 

GOLDMAN, Calvin S. and M. Delphine Brooker, "Supreme Court of Canada clarifies against self-incrimination", (July 1995) 14(4) Legal Alert 25-27; copy at the Library of the Supreme Court of Canada, Ottawa;
 

GONTRAN, Chamard, "Responsabilité criminelle des corporations. Négligence criminelle", (1979) 3(3) Revue de droit pénal 69-78; the full title of the law review is  / le titre complet de cette revue est : Revue de droit pénal, Publication générale de Droit et de Jurisprudence du Bureau des Substituts du Procureur général du Québec; copie à l'Université d'Ottawa, KEQ 1168 .A13 R49  Location: FTX Periodicals;
 

GOODE, Matthew R., "Corporate conspiracy: Problems of mens rea and the parties to the Agreement", (1975-76) 2 Dalhousie Law Journal 121-156; copy at Ottawa University, KEN 7404 .D353;

"[Contents]

1. Introduction...121

2. The Subjective Element: Attribution of Mens Rea to the Company...122

(A) Development of the Identification Theory...122
(B) The Identification Theory and Vicarious Liability...124
(C) Who May Engage Corporate Responsibility?  The Scope of the Theory...126
(D) The Limitation of Scope of Authority...129
(E) Conclusion...130

3. The Objective Element (1): The 'One Man Company'...130

4. The Objective Element (2): A Company and its Directors...135

(A) Conspiracy Between a Company, One Director, and an Employee...135
(B) Conspiracy Between a Company and Two of its Directors...136
(C) The Director who Acts in More Than One Capacity...138
(D) The American Approach...141

5. The Objective Element (3): Vertical Integration and 'Single Corporate Form'...143

(A) Dominion Steel and Coal And Some General Issues...143
(B) Other Canadian Anti-Combine Cases...148
(C) A Notion American Anti-Trust...149
(D) Conclusion...151

6. Conclusions...152

___________Criminal Conspiracy in Canada, Toronto: Carswell, 1975, xxix, 276 p., ISBN: 0459315404; copy at Ottawa University, FTX General, KE 9112 .A76G6 1975;

"TABLE OF CONTENTS...

CORPORATE CONSPIRACY: PROBLEMS OF MENS REA AND
THE PARTIES TO THE AGREEMENT...109

(1)  Introduction...109

(2)  The Subjective Element: Attribution of Mens Rea to the Company...109

(a) Development of the Identification Theory...109
(b) The identification Theory and Vicarious Liability...111
(c) Who May Engage Corporate Responsibility?  The Scope of the Theory...112
(d) The Limitation of Scope of Authority...115
(e) Conclusion...116

(3)  The Objective Element (1): The 'One Man Company'...116

(4)  The Objective Element (2): A Company and its Directors...120

(a) Conspiracy Between a Company, One Director, and an Employee...120
(b) Conspiracy Between a Company and Two of its Directors...121
(c) The Director who Acts in More Than One Capacity...122
(d) The American Approach...125

(5)  The Objective Element (3): Vertical Integration and 'Single Corporate Form'...127

(a) Dominion Steel and Coal And Some General Issues...127
(b) Other Canadian Anti-Combine Cases...131
(c) A Notion American Anti-Trust...132
(d) Conclusion...133

(6) Conclusions...134" (p. vii)

GORDON, Robert M. and Ian T. Coneybear, "Corporate Crime" in Margaret A. Jackson, 1942-,  and Curt T. (Curt Taylor) Griffiths, 1948-, eds., Canadian Criminology: Perspectives on Crime and Criminality, 2nd ed., Toronto, Harcourt Brace Jovanovich, 1995, xix, 483 p., at pp. 399-423, ISBN: 0774732636; copy at Ottawa University, MRT General : MRT General: HV 6807 .C38 1995;
 

GRANDBOIS, Maryse, "Le droit pénal de l'environnement: une garantie d'impunité", (1988) 21 Criminologie 57-81; copie à l'Université d'Ottawa, HV 6002 .A35  Location: MRT Periodicals; copie à la Bibliothèque de la Cour suprême du Canada, Ottawa;

Abstract

"The limits of pollution authorized by law are constantly being exceeded in Quebec and throughout Canada, as evidenced by acid rain, the disposal of dangerous refuse in nature and the uncontrolled use of pesticides.  The criminal law on the environment exists, to be sure, but its application is highly relative.  In principle, certain infractions under the Criminal Code can be used against polluters but the State rarely makes use of them. As to the statutory criminal law -- the main subject of this article -- the author notes that it suffers from a lack of clarity and precision.  Complex and unorganized, it is characterized by a multitude of infractions and a disparity of sanctions.  However, the fact is that the public administration very seldom resorts to the provisions of this law to have industrial activities conform to the laws and regulations.  When it does so, very often the courts hesitate to impose sanctions of a truly deterrent nature.  In spite of all this, the fact is that the main obstacle to the criminal law on the environment is the lack of a firm determination on the part of the legislators and public administrations to use severe measures against polluters.  As long as this political will is lacking, notes the author, certain major industrials will continue to contaminate the environment with impunity." (p. 57)

GREENSPAN, Edward L., "A Charter of Rights for People: A Charter of Wrongs for Corporations", in Canadian Professional Conferences (Firm), The Impact of the new Charter of Rights and Freedoms on Canadian business : February 5, 1982, Toronto, Ontario, Toronto : Canadian Professional Conferences, 1982, 1 v. (loose-leaf), ISBN: 0919413404; title noted in my research but article not consulted; no copy in the Ottawa area libraries; copy at University of Calgary, Library, KF1416 .I47 1982;
 

ok___________"Vicarious liability and corporate liability", in National criminal law program:. substantive criminal law (1986 : St. John's, Newfoundland), Federation of Law Societies of Canada, National criminal law program / The Federation of Law Societies of Canada Substantive criminal law, St. John's : Federation of Law Societies, 1986, 2 v.; title noted in my research but document not consulted yet;
 

GROIA, Joseph and Linda Adams, "Searching for a Soul to Damn and a Body to Kick: The Liability of Corporate Officers and Directors",  in Commercial crime and commercial law = Le droit des affaires face au droit pénal, Cowansville (Quebec) : Éditions Y. Blais, 1991, xvi, 467 p., at pp. 127-157, (series; Meredith Memorial Lectures; 1990), ISBN: 2890737640; copy at the Library of the Supreme Court of Canada, KF385 ZA2 W35 1990;

"Synopsis

1. Introduction...129

2. Current Standards of Corporate Criminal Liability...133

3.  The Impact of the Charter...135
  3.1 Section 6 Issues...135
  3.2 Section 8...140
  3.3 Section 11...141

4.Why Pursue Corporate Officers and Directors?  The Inadequacy of Corporate Criminal Liability...143
  4.1 Problems With Corporate Criminal Liability...145

5.  Catching Them -- The Problem with Pursuing Corporate Officers and Directors for Corporate Acts...149

6.  Some Alternative Approaches...150
  6.1 Securities Regulation...150
  6.2 Environmental Law...151
  6.3 Comments & Reform...152

7. Conclusion...157" (p. 127)

GRONDIN, Rachel, "Le droit canadien concernant la responsabilité pénale des personnes morales au XXI^e siècle", (2002) 32(3) Revue générale de droit 663-674;

"SOMMAIRE
Introduction ....665

I.  La théorie de l'identification et la responsabilité du fait d'autrui....666

    A. La responsabilité du fait d'autrui...667
    B. La théorie de l'identification...667

II. La théorie de l'identification et la faute de la personne morale en droit pénal...669

    A. La protection constitutionnelle de la faute en droit pénal...670
    B. La faute de la personne morale...672

Conclusion....673" (p. 664)
 

"SOMMAIRE

Introduction...380

I. La responsabilité pénale des personnes morales fondée sur la faute individuelle...383

  A. La théorie de l'identification : une réponse à un besoin...383

1. Le développement de la théorie de l'identification en droit pénal: une nouvelle orientation...384
2.  Fondement éthique de la théorie de l'identification...384

  B. La théorie de l'identification: une théorie inadéquate (problématique)...387
 

II. La responsabilité pénale des personnes morales fondée sur la faute d'une organisation....390

  A. La responsabilité pénale organisationnelle...390

1. La personne morale: une organisation...390
2. Les structures variées des organisations...392
3. La faute organisationnelle...394

  B. La responsabilité pénale individuelle...397

1. Coexistence de la responsabilité pénale des personnes physiques et des personnes morales...398
2.  Des moyens de défense distincts...398

Conclusion...401" (p. 380)

GUTHRIE, Becky, "Westray's Legacy", (25 October 2004) 77(21) Canadian Business 167-170;

HAGAN, John, "White Collar and Corporate Crime", in Rick Linden, [general editor]; contributing authors, Tullio Caputo ... [et al.], Criminology: A Canadian Perspective, Toronto: Holt, Rinehart and Winston of Canada, 1987, 368 p., at pp. 320-326; copy at Ottawa University, ISBN: MRT General,  HV 6807 .C785 1987;
 

___________"White Collar and Corporate Crime", in Rick Linden, general editor, 2nd ed., Toronto : Harcourt Brace Jovanovich Canada, c1992, xvi, 492 p., at pp. 451-473,  ISBN: 0039227901; copy at Ottawa University, MRT General: HV 6807 .C785 1992; note: there is also a 3rd ed. in 1996, 4th ed. in 2000, and 5th ed., in 2003 which I have not consulted yet; 

HAIG, Benjamin, doing research on this matter at Durham University, U.K.;

Under the supervision of Mr Chris Riley and Professor Michael Bohlander, Benjamin's current research explores the current position in relation to Corporate Liability, specifically in relation to Corporate Manslaughter. The main focus of the research will be upon the Corporate Manslaughter and Corporate Homicide Act 2007, its effectiveness and its impact. The research will also reflect upon the previous approach that was taken in relation to corporate liability, namely the identification doctrine. It will also consider the approach taken in other jurisdictions, focusing specifically upon the Canadian response. (source: http://www.dur.ac.uk/law/staff/stafflist/?mode=staff&id=7969)

HANNA, Don, "Corporate Criminal Liability", (1988-89) 31 The Criminal Law Quarterly 452-480;

CONTENTS

[Introduction]...452

1.  Current Law...453
  (1) Vicarious Liability...453
  (2) Primary Liability...458

(a) Absolute Liability...459
(b) Strict Liability...461
(c) Mens rea offences...462

2. Reform Considerations...468
  (1) Corporate Fault...478
  (2) Sanctions 474

Conclusion...479

HANSON, Jason and Patricia Ross, "Criminal Code amendments extend liability to organizations failing to protect the health and safety of workers and public", (14 May 2004) 24(2) The Lawyers Weekly 9 and 14;
 

HARRICKS, Paul H., "Australian 'Corporate culture' regime proposal in Canada", (September 2002) 21(6) Legal Alert 41-42 and 46; copy at the Library of the Supreme Court of Canada, Ottawa;
 

HEALY, Patrick, "Criminal Liability of Corporations - Canada",  in International Congress of Comparative Law (l4th : 1994 : Athens, Greece), H. de Doelder, Klaus Tiedemann, International Academy of Comparative Law, La criminalisation du comportement collectif : XIVe Congrès international de droit comparé / préparé par Hans de Doelder and Klaus Tiedemann = Criminal liability of corporations : XIVth International Congress of Comparative Law / edited by Hans de Doelder and Klaus  Tiedemann, The Hague ; Boston : Kluwer Law International, xvi, 401 p., at pp. 169-202, ISBN: 9041101659; note:  At head of title: Académie international de droit comparé  = International Academy of Comparative Law; title noted in my research; no copy of this book in the Ottawa area libraries, according to my verification of the AMICUS catalogue on 19 November 2003;  limited preview at http://books.google.com/books?id=L0GpN1Ch2LYC&pg
=PA343&dq=%22new+criminal+code+of%22&lr=&as_brr=3&ei=4PjQR-3QN4PQiQHfg5SkDg&sig=MIwAM8gO3_2KO9AZX4BvXsg3YT8#PPA178,M1 and http://books.google.com/books?id=L0GpN1Ch2LYC&dq=%22new+criminal+code+of%22&lr=&as_brr=3&source=gbs_summary_s&cad=0 (accessed on 7 March 2008);
 

___________"Orientations of Corporate Criminal Liability in Canada",  in International Congress of Comparative Law (14th : 1994 : Athens, Greece), Association québécoise de droit comparé, Canadian Association of Comparative Law, McGill University. Institute of Comparative Law, Contemporary law, 1994 : Canadian reports to the 1994  International Congress of Comparative Law, Athens, 1994 / Canadian Comparative Law Association et Québec Society of Comparative Comparative Law = Droit contemporain, 1994 : rapports canadiens au Congrès international de droit comparé,  Athènes, 1994 / Association canadienne de droit comparé et Association québécoise de droit comparé, Cowansville (Province of Québec): Éditions Yvon Blais, 1995, xv, 943 p., at pp. 845-873,  ISBN: 289451011X; copy at the Library of the Supreme Court of Canada, K 555 I57 1994; copy at Ottawa University, FTX General, KE 555 .I57 1995;

Contents

`"Introduction...845

I.  Three Constraints...846

II.  The Basis of Corporate Criminal Lability in Canada...853

A.  Capacity for crime...855
B.  So-called 'true-crimes'...856
C.  Offences of strict and absolute liability...858

III.  Reform

A.  Judicial developments...861
B.  Codification...862
C.  Alternative theories...869

IV.  Sentencing...871

Conclusion...873" (p. 845)
 

HENDERSON, A.G., "Criminal Liability of Corporations" in, W.S. Berardino, A.G. Henderson and the Continuing Legal Education Society of Brish Columbia, Fraud in commercial transactions : materials prepared for  a Continuing Legal Education seminar held in Vancouver,  B.C., October 1, 1982 / course co-ordinator, A.G. Henderson ; leaders, W.S. Berardino ... [et al.], Vancouver: The Continuing Legal Education Society of British Columbia, 1982, 1 v. (various pagings); title noted in my research but article not consulted; copy at the National Library of Canada, Ottawa;
 

HOLLAND, W.H., "Comments on the Consultation Paper", February 1995, 7 p.; copy obtained under an Access to Information Act request made to the Department of Justice Canada by François Lareau;

"Corporate Liability:

    The identification theory is problematic (see for example the problems with prosecuting P & O Ferries in connection with the Zeebrugge disaster).  The suggestion of changing the test to focus on 'corporate culture' sounds interesting.  However, I am not in a position to comment on the problems of such an approach.  (I had a recent phone conversation with Heather Holmes and she indicated that there was a recent publication of the Society for Reform of the Criminal Law which does deal with this issue).  We do not have a copy of this publication in our library and I suspect I am not alone in wishing that the consultation paper had contained more details about 'corporate culture' to enable us to formulate a response."

HOULIHAN, Patricia L., "Corporate Responsibility & Executive Liability", in Martin L. Palleson, Course Co-ordinator, Environmental Issues  for Corporate Lawyers, Materials prepared for a Continuing Legal Education seminar held in Vancouver, B.C., on May 25, 1992, Vancouver: The Continuing Legal Education Society of Bristih Columbia, 1992, various pagings, chapter 2, 44 p. (series; PA92082), ISBN: 0865046077; deals with criminal liability of directors; copy at the Library of the Supreme Court of Canada, KF 1298 A75 E582 1992;

HUGHES, Jula, "Restraint and Proliferation in Criminal Law", (2010) 15(1) Review of Constitutional Studies,; available at http://papers.ssrn.com/sol3/papers.cfm?abstract_id=1738957 (accessed on 26 Jukly 2011);

HURLBUT, Ken, Legal Services. OPSEU (Ontario Public Service Employees Union), "Bill C-45: Impact on Unions", available at  http://www.opseu.org/legal/legalupdate39.htm (accessed on 3 January 2003);
 

HURTUBISE, Paul, "The Corporate Victim's Response: Institutional Prevention, In-House Investigations"  in Commercial crime and commercial law = Le droit des affaires face au droit pénal, Cowansville (Quebec) : Éditions Y. Blais, 1990, xvi, 467 p., at pp. 159-177, ISBN: 2890737640; copy at the Library of the Supreme Court of Canada, KF385 ZA2 W35 1990;

"Synopsis

1.  Introduction...161

2.  Basic Defenses: Internal Audit and Security...163

  2.1 Internal Audit...163
  2.2 Corporate Security...166

3.  Specific Problem Areas...167

3.1 Computer Crimes...167
3.2 Theft of Intellectual property...171
3.3 Environmental Crimes...173
3.4 Insider Trading...174
3.5 Offenses Related to Competition....176

4. Summary and Conclusion...177" (p. 159)

ILLICO INC., "La responsabilité pénale d'une compagnie pour les actes de son employé", CR-3229, juin 1993?; voir http://www.illico.ca/ (visionné le 26 novembre 2003);
 

IMPERIAL OIL LIMITED, letter by George A. Howse, Assistant General Counsel, to General Part Recodification, Communications and Consultation Branch, dated 29 March 1995, 2 p., on the Department of Justice document, Reforming the General Part of the Criminal Code: A Consultation Paper, documents 000453-000454 obtained by François Lareau further to an Access to Information Act request of 5 March 1999 to the  Department of Justice Canada, request number A99-00005;
 

Indecent Exposure  Behind the Corporate Veil: Protecting Directors and Officers: Due Diligence and Other Defences to Prosecutions:  Friday, May 13, 1994, [Toronto] : Canadian Bar Association-Ontario, Continuing Legal Education, 1994, 1 v. (various pagings), ISBN: 1895806909; copy at the National Library of Canada; title noted in my research but document not consulted;
 

INDUSTRIAL ACCIDENT PREVENTION, "Bill C-45, Media & What's New, February 2004, available at  http://www.iapa.ca/about_iapa/news/bill_c45.htm (accessed on 3 March 2004);
 

INSTITUTE OF CHARTERED SECRETARIES AND ADMINISTRATORS -- QUEBEC BRANCH (THE), letter from Mr. Rod McKinnon, Chair. Legislative Review Committee, "Re Proposed Amendments to the General Part of the Criminal Code of Canada", 8 March 1995, 2 p.; documents 000498-000499, obtained by François Lareau further to an Access to Information Act request of 5 March 1999 to the  Department of Justice Canada, request number A99-00005;
 

INTERNATIONAL PEACE ACADEMY AND FAFO AIS, Business and International Crimes: Assessing the Liability of Business Entities for Grave Violations of International Law, "A Comparative Survey of Private Sector Liability for Grave Violations of International Law in National Jurisdictions -- Canada", 2003, 6 p., available at  http://www.fafo.no/liabilities/Canada.pdf (accessed on 29 August 2005);
 

INTERNATIONAL SOCIETY FOR THE REFORM OF THE CRIMINAL LAW, Papers presented to the conference, "The Corporation and the Criminal Law - Victim and Violator Hong Kong December 1994"; the papers dealing with canadian law should be available from the Society, ( http://www.isrcl.org/ ); note: about this conference, we read at their website: "This conference comprehensively examined all aspects of the interaction of the criminal law and the modern corporation, from the intersection of the corresponding legal theories to the actual application of the criminal law to corporations." (accessed 16 November 2002);
 

JARVIS, William H., "Corporate Criminal Liability -- 'Legal Agnosticism'", (1961) 1 Western Law Review 1-27; published by the students of the Faculty of Law at the University of Western Ontario. copy at Ottawa University, KEO 180 .W38  Location: FTX Periodicals;
 

JOHNSON, Pierre-Marc, "Réflexions éthique sur la responsabilité pénale des dirigeants d'entreprises en matière de dommages écologiques", in Commercial crime and commercial law = Le droit des affaires face au droit pénal, Cowansville (Quebec) : Éditions Y. Blais, 1991, xvi, 467 p., at pp. 257-295 (series; Meredith Memorial Lectures; 1990), ISBN: 2890737640; copy at the Library of the Supreme Court of Canada, KF385 ZA2 W35 1990;

KAISER, Gordon E., Corporate crime and civil liability,  Markham, Ont. : LexisNexis, c2012. xxi, 694 p. ; 24 cm.; copy at the Library of the Supreme Court of Canada, Ottawa;
KF9350 K452 2012
 

KAURA, Belle, "The Corporate Governance Conundrum: Re-Inventing the Board of Directors and Board Committees", in Poonam and Jeffrey Larsen , eds.,  Corporate Governance and Securities Regulation in the 21st Century, Markham (Ontario): Lexis Nexis, Butterworths, 2004, xviii, 338 p., at pp. 7-59, ISBN: 0433442921; copy at the Library of the Supreme Court of Canada, KF1415 ZA2 C67 2004;

TABLE OF CONTENTS

1. Introduction...8
2. Corporate Governance -- What is it and Does it Matter?...9
3.  Agency Theory...11
4. The Canadian Governance Debate...12

A. Made-in-Canada Solution....12

(i) The Debate...12
(ii) Need for a Made-in-Canada Solution...13

B. Guidelines versus Rules...16

(i) The Debate...16
(ii) Responding to the Principles versus Rules Debate...17
(iii) Market Self-Correction Theory...19
(iv) Regulatory Response as the Recommended Approach...19

5. Board Reform...21

A. Board Composition...21

(i) Role of the Board of Directors...21
(ii) Is Independence the Solution?...21
(iii) Analysis of Board Independence Rules...25

B.  What Else do we Need to do to Improve Boards?...28

(i) Board Competence, Skill Sets and Dynamics...28
(ii) Overcoming Inherent Board Problems...30
(iii) Sound Board Processes...32
(iv) Honesty and Integrity...34
(v) Better Alignment of Board and Shareholder Incentives...35
(vi) Separation of Chair and CEO...36
(vii) Are Professional Directors the Answer?...38
(ix) Monitoring the Monitors...39
(x) Board Selection....40

6. Board Committees...40

A. Nominating and Corporate Governance Committee...40

(i) Nominating Committee as a Remedy to Agency Problems...40
(ii) Board Selection -- Effect of New Governance Rules on Director Recruitement...41
(iii) Performance Evaluations...42
(Iv) Orientation and Ongoing Education...40

B. Audit Committees...44

(i) The Canadian Debate -- Audit Committees...44
(ii) The Role of the Audit Committee...44
(iii) Audit Committee Composition -- New U.S. and Canadian Regulatory Regimes...45
(iv) Auditor Independence...48

C. Compensation Committees...49

(i) The Executive Compensation Problem...49
(ii) Causes and Solutions -- Hyper-Inflation of Executive Compensation...50

7. Conclusion...58" (pp.7-8, also at pp. xiii-xiv)

KEITH, Norman, 1956-, Canadian Health and Safety Law: A Comprehensive Guide to the Statutes Policies and Case Law, Aurora (Ontario): Canada Law Book, 1997-, 1 vol. (loose-leaf), ISBN:  0888042485; see for example chapter 3, "Workplace Duties and Responsibilities"; copy at the Library of the Supreme Court of Canada, KF3568.4 K45 1997;

___________ Corporate crime and accountability in Canada : from prosecutions to corporate social responsibility,  Markham, Ont. : LexisNexis, c2011, 295 p., ISBN: 9780433468806;

Table of Contents
Chapter 1: Introduction to Corporate Crime and Accountability

Chapter 2: The Evolution of Corporate Accountability

Chapter 3: Models of Corporate Liability and Categories of Offences

Chapter 4: Bill C-45 – A Game Changer

Chapter 5: Catalogue of Corporate Crimes and Offences

Chapter 6: Corporations and the Criminal Justice System

Chapter 7: Rights of Corporations under the Charter

___________"Sentencing the Corporate Offender",  (2010)  56(3) The Criminal Law Quarterly 294;
 

___________“Special Report: Criminalizing OHS Violations -- A proposed federal Criminal Code amendment would target corporate reckless”, (January/February 2003) Accident Prevention 10-11, available at http://www.accidentprevention.ca/ (accessed on 4 December 2003); also with the same in (december 2003) Ontario OH&S Law Report at pp. 4-5, Ontario OH&S Law Report = Ontario occupational health and safety law report; and continues: Occupational health & safety law review; copy of the Ontario OH&S Law Report at the National Library, Ottawa and the Human Resources Development Canada Departmental Library, Hull, P.Q.; I have not verified the Ontario OH&S Law Report;
 

___________Workplace health and safety crimes: Bill C-45 and Westray criminal offennces, Markham (Ontario): LexisNexis Butterworths, 2004, xiii, 193 p., ISBN: 0433444738; copy at the Library of the Supreme Court of Canada, KF3570 K45 2004;

"Effective March 31, 2004, Bill C-45 (the"Westray Bill") will law.  Bill C-45 is federal legislation that introduces an explicit new legal duty regarding workplace health and safety within the criminal negligence sections of the Criminal Code.

Bill C-45 increases the potential criminal liability of a greater number of individuals by casting the net of potential liability both deeper into the organizational structure and wider to include more individuals and all "organizations".  It establishes a very broad and overarching legal duty to protect workers and the public at large - a duty, if not complied with, will amount to the prohibited act of the offence of criminal negligence and could result in penalties in the millions of dollars for organizations and a maximum jail term of life imprisonment for convicted individuals.

This book covers the sequence of events that led to the development of Bill C-45, provides an overview of the law of criminal negligence and presents a section by section analysis of the Bill (including the extensive sentencing and probationary provisions it introduces). The book also offers a general overview of Canadian OHS law including a discussion of the internal and external responsibility systems as well as a brief description of the salient authority, stages of the process and legal rights that an accused has during the criminal justice process." (source: http://www.lexisnexis.ca/bookstore/bookinfo.php?pid=673, accessed on 10 April 2004)

KEITH, Norm and James Ferguson, "Bill C-45 and the Canadian Petroleum Industry", (July 2005) 43(1) Alberta Law Review 159-181;
 

KEITH, Norman, 1956-, and Cindy R. Wasser, chairpersons, Understanding new duties and risks under bill C-45: advising clients facing criminal liability for workplace health and safety negligence/materials for the program chaired by Norman A. Keith, Cindy R. Wasser, [Toronto]: Continuing Legal Education, Law Society of Upper Canada = Barreau du Haut-Canada, [2004], 1 volume (various pagings, total pages: 211 p.), ISBN: 0887593488; title noted in my research but book not consulted; no copy in the Ottawa area libraries (verification of 26 April 2005, Amicus catalogue of Library and Archives Canada); for further information, see http://ecom.lsuc.on.ca/html/cle/2004/CLE04-0061301.html (accessed on 26 April 2005);

"Criminal defence lawyers complain the bill is seriously flawed and was rushed through Parliament without sufficient public hearings.  They warn the law could be used to mount unfair prosecutions against corporations and even non-business 'organizations' on a range of matters". (p. A-4)

KING, C. Graham W., "Improving standards of corporate governance", (21 June 2004) 15(20) Law Times 7;
 

KRISHNA, Vern, Financial Matters, "The lawyer as whistle-blower", (31 May 2004) 15(17) Law Times 6;

"Following on the heels of the Sarbanes-Oxley Act in the United States, the Law Society of Upper Canada adopted new rules of professiobnal conduct that require lawyers to become whistle-blowers in certain limited circumstances" (p. 6)

LAGARDE, Irénée, "Assignation et procès des corporations en matière pénale", (1964) 24 Revue du Barreau 61-74;
 

__________"La doctrine de la responsabilité stricte et la responsabilité pénale des 'corporations'", (1964) 24 Revue du Barreau 181-218;
 

___________"Responsabilité de la 'corporation' lors d'une infraction ou d'un acte criminel exigeant la 'mens rea' ou doctrine de l''alter ego'", (1964) 24 Revue du Barreau 505-527;
 

___________"La responsabilité par délégation et reponsabilité pénale des 'corporations'", (1964) 24 Revue du Barreau 305-328;

LAING,  Ian, The Criminal Liability and Punishment of Corporations in Canada, LL.M., Dalhousie University, 2005, vii, 198 p.;

LALONDE, Marc, "[La responsabilité pénale des personnes morales]: Rapport canadien", dans, sous la direction de Travaux de l'Association Henri Capitant des amis de la culture juridique française [du 15 au 18 mars 1999 au Panama], La responsabilité.  Aspects nouveaux (Journées panaméennes), Paris : Librairie Générale de Droit et de Jurisprudence, 2003, xxiv, 814 p., aux pp. 717-732 (Collection; travaux des journées internationales; tome 50; année 1999), ISBN: 2275022864; copie à la Bibliothèque de la Cour suprême du Canada, Ottawa, K555 T73 t. 50;
 

___________"La responsabilité pénale des personnes morales", (1999) 101 Revue du notariat 259-279;

"TABLE DES MATIÈRES

INTRODUCTION

I.  Les sources de la responsabilité pénale
a) Principes généraux d'interprétation
b) Le droit criminel
c) Les infractions réglementaires

II. Les catégories d'infractions et les moyens de défense
a) Les infractions de mens rea
b) Les infractions de responsabilité stricte
c) Les infractions de responsabilité absolue

III. Les garanties juridiques protégées par la Charte

IV.  Les sanctions

V. La responsabilité pénale individuelle
a) La responsabilité personnelle
b) La complicité
c) Le complot
d) Les dispositions législatives particulièeres

CONCLUSION" (p. 259)

LALONDE, V. Philippe, M. Jacqueline Sheppard, and B.M. Woudstra, "Protecting Directors, Officers and Employees from Liability for Environmental Offences: The Due Diligence Defence", in Environmental Law Issues Confronting the Oil and Gas Industry, Mississauga: Insight Educational Services, 1989, various pagings (for the book), 67 p. for the article, ISBN: 1550491342; copy at Ottawa University, FTX General: KE 3619.5 .E568 1989; subject: provincial penal law;
 

LARSON, E.N., "Lobbying the Canadian Way: An Analysis of  Corporate Crime in Canada", (Fall, 1981) 4(1) Canadian Criminology Forum 23-29; copy at Ottawa University, HV 6001 .C28  Location:  MRT Periodicals;
 

LAUCIUS, Joanne, "Ethics weren't valued at old Nortel, 'and you see where that got them' -- The move by William Owens to install a chief ethics officer strikes a positive tone with the last person [Megan Barry] who held that job but left in 1999", The Ottawa Citizen, Saturday, 21 August 2004, pp. D1 and D2 ("Ethics: Right thing to do");

"Ms. Barry points out that there is a difference between compliance and ethics.  Compliance is what companies must do under the law.

Ethics is much less well-defined area.  But if business neglects ethics, behaviour can drift from the questionable to downright illegal." (p. D1)

___________"Nortel joins growing U.S. trend of adding ethics and compliance officer -- Success depends on new officer's clout", The Ottawa Citizen, Friday, 20 August 2004, pp. E1 and E4;
 

LAW REFORM COMMISSION OF CANADA Criminal  responsibility for group action, Ottawa : Information Canada, 1976, x, 68 p. (series; Working Paper; number 16); copy of the English version of this working paper is available in pdf format at my Digital Library -- Canadian Criminal Law; also published in French / aussi publié en français: Commission de réforme du droit du Canada, Responsabilité pénale et conduite collective, Ottawa : Information Canada, 1976, x, 78 p.;

"Table of Contents

Foreword...ix;

Introduction...1;

Criminal Responsibility for Corporate Action - The Existing Law...5;

Individual Responsibility...6;
Corporate Responsibility...7;
The Scope of the Inquiry...8;

Real Crimes and the Regulatory Offences...11;

Individual and Corporate Criminal Responsibility: - The Fault Element...15

Individual Responsibility...15;
Corporate Responsibility...19;
Corporate Fault and Due Diligence...23;

Interrelationship Between Individual and Corporate Responsibility...29

A Case for Corporate Responsibility...29
Maintaining a Balance...33;

Sanctioning the Corporate Offender...37

Observations on the Present System...37
Sentencing Objectives...40
Implications of the Group Process...42

(a) Considerations of Fairness...42
(b) Considerations of Effectiveness...44

Corporations and Economic Power...46

(a) Redressing Injuries...46
(b) The Corporation in the Economic Matrix...47

Negotiated Sanctions...49

Group Criminal Responsibility in a Wider Context...53

Criminal Responsibility for Corporate Action - A Limited Role...57;

Summary of Main Conclusions...65" (pp. vii-viii)

___________Patrick Fitzgerald, 1928-,  R.L. Campbell, Brian Hill, and Jacques Fortin, 1937-1985, Working paper on corporate criminals liability Corporate criminal liability, [Ottawa : Law Reform Commission of Canada, 1983?, 2, 71, 6 leaves; copy at the National Library; copy at the Department of Justice Canada Library, Ottawa, L.R/KA/80.6/.F5761/1983; title noted in my research but document not consulted yet;
 

___________and T.F. Schrecker, Political Economy of Environmental Hazards -- a Study Paper prepared for the Law Reform Commission of Canada, Ottawa : Law Reform Commission of Canada, c1984, [ii], 112 p., see in particular, Chapter 4, "Business Corporations as Policy Makers", at pp. 59-70, ISBN: 066213236X; copy at Ottawa University, FTX General, KE 3575 .A72 S35 1984; also available in French / aussi disponible en français: Commission de réforme du droit du Canada et T.F. Schrecker, L'élaboration des politiques en matière d'environnement : un document d'étude préparé à l'intention de la Commission de réforme du droit du Canada, Ottawa : La Commission de réforme du droit du Canada,  c1984, 124 p. (Collection; Série Protection de la vie), ISBN: 0662926447; copie à l'Université d'Ottawa, FTX General: KE 3575 .A72 S3514 1984;
 

___________Recodifying Criminal Law, vol. 1, Ottawa: Law Reform Commission of Canada, 1986, [14], 117 p., ISBN: 0662547322 (series; Report; number 30; copy of the English version of this report is available in pdf format at my Digital Library -- Canadian Criminal Law); information on the French version/informations sur la version française, Commission de réforme du droit du Canada, Pour une nouvelle codification du droit pénal, vol. 1, Ottawa : Commission de réforme du droit du Canada, 1986, [14], 117 p.,  ISBN: 0662547322 (collection; Rapport; numéro 30);
 

___________Recodifying Criminal Law (Revised and Enlarged Edition of Report 30), Ottawa: Law Reform Commission of Canada, 1987, [16], 213 p., (series; Report; number 31), ISBN:0662547578; copy of the English version of this report is available in pdf format at my Digital Library -- Canadian Criminal Law; also available in French / aussi disponible en français: Commission de réforme du droit du Canada,  Pour une nouvelle codification du droit pénal (Édition révisée et augmentée du rapport n^o 30) , Ottawa: Commission de réforme du droit du Canada, 1987, [16], 233 p., (Collection; Rapport; numéro 31), ISBN: 0662547578;

 
"2(5) Corporate Liability.

(a) With respect to crimes requiring purpose or recklessness, a corporation is liable for conduct committed on its behalf by its directors, officers or employees acting within the scope of their authority and identifiable as persons with authority over the formulation or implementation of corporate policy.
 

Comment

    This clause is intended to articulate and clarify the criteria for imposing corporate criminal liability.  Thepresent Criminal Code simply states in section 2 that 'person' includes bodies corporate, without attempting to articulate the criteria for imposing criminal liability on a corporate entity.

    At common law, a corporation may be held criminally liable for acts or omissions committed on behalf of the corporation by its officers, agents or employees who can be identified as part of the corporation's 'directing mind and will.'  The new Code retains this identification doctrine as the basis for corporate criminal liability but clarifies its scope.  It provides that a corporation may be held criminally liable for the conduct of directors, officers or employees identifiable as persons with managerial or supervisory authority over the formulation or implementation of corporate policy, acting on behalf of the corporation and not exclusively on their own behalf or in fraud of the corporation.

(b) With respect to crimes requiring negligence a corporation is liable as above, nothwithstanding that no director, officer or employee may be held individually liable for the same offence.
 

Comment

    The sort of harm prohibited by criminal law may well result from corporate activity involving negligence in the organizational process rather than in the conduct of any single individual.  It may result from the collective participation of numerous directors, officers or employees, no one of whom may individually have had the requisite culpability.  For this reason the new Code provides that a corporation may be made liable for 'negligence' crimes on account of the conduct of its directors, officers or employees even if no such person is individually liable.

[Alternative
2(5) Corporate Liability.  A corporation is liable for conduct committed on its behalf by its directors, officers or employees acting within the scope of their authority and identifiable as persons with authority over the formulation or implementation of corporate policy, notwithstanding that no director, officer or employee may be held individually liable for the same offence.]
 

Comment

     The alternative provision widens the proviso in clause 2(5)(b) to apply to all crimes, on the ground that collective participation may well lead in similar circumstances to commission of a 'purpose' or 'recklessness' crime.  One director might do the actus reus, another might have the mens rea, but neither might be liable.  If the corporation were a real person, the actus and mens would combine.  The alternative provision puts the fictitious person constituting the corporation on the same footing as such a real person.

    There are two situations however, which are not addressed by this clause.  First is the more general problem of group collective participation in a crime.  Clause 2(5) limits liability to corporations.  However, there is the larger question -- When should the collective be liable for actions taken in its name?  It may be that liability should extend to the other kinds of collective action, such as partnerships, joint ventures and non-profit organizations.

    The problem of diffusion of the elements of a crime among members of the group, discussed above in the context of corporations, also applies to other forms of collective group action.  For example, one member of a partnership might to the actus reus, another might have the mens rea, but neither might be liable.  Similarly, in a joint venture of individuals, partnerships, corporations of some mix thereof, the elements of a crime may be spread out among the different members.  These situations may warrant imposition of criminal liability on the collective.  However, this notion of collective responsibility for group action is very complex and we have not been able to formulate any definitive recommendations on this particular issuein our proposed Code.  We are of the view that further study on the whole issue of collective responsibility for group action is needed before any radical changes are made in the substance of our criminal law as it relates to this subject.

    The second situation not addressed by clause 2(5) nor indeed anywhere in the proposed Code is how far an employer should be liable for the criminal acts of his employee.  It is clear that an employer cannot be held responsible for the acts of an employee who goes off on a frolic of his own, unbeknownst to the employer.  Much less clear though is the situation where the employer who has control over the employee knows of the employee's criminal activities but stands to benefit from them and acquiesces in them for the purpose of obtaining the benfit.  Should there be a positive duty on an employer to prevent such a crime?  Or should the employer be liable as a furtherer?  This is an issue deserving a further careful consideration." (pp. 26-27)
 

LAWSON, Peter, "The Criminal Liability of Corporations: A Comment on Section 2(5) of the LRCC's Draft Criminal Code" in Canada, Parliament, House of Commons, Sub-Committee on the recodification of the General Part of the Criminal Code of the Standing Committee on Justice and the Solicitor General, Minutes of Proceedings and Evidence of the Sub-Committee on the recodification of the General Part of the Criminal Code of the Standing Committee on Justice and the Solicitor General, Ottawa: Canada Communication Group -- Publishing, Supply and Services Canada, 1992, Issue number 2, June 15, 1992, at pp. 2A:85 to 2A:93; also published in French / aussi publié en français: Peter Lawson, "La responsabilité criminelle des compagnies: commentaire du paragraphe 2(5) du projet de Code criminel de la CRDC",  dans Canada, Parlement, Chambre des Communes, Sous-comité sur la Recodification de la Partie générale du Code criminel du Comité permanent de la justice et du Solliciteur général, Procès-verbaux et témoignages du Sous-comité sur la Recodification de la Partie générale du Code criminel du Comité permanent de la justice et du Solliciteur général, Ottawa: Groupe Communication Canada -- Édition, Approvisionnements et Services Canada, fasicule numéro 2, 15 juin 1992, aux pp. 2A : 228 à 2A : 240;

Contents

Is a Distinct Principle of Corporate Criminal Liability Necessary?...2A:85

Is the LRCC's Formulation of the Principle of Corporate Criminal Liability Adequate as to its Form and Substance?...2A:87

A.  Case Law...2A:87
B.  Codification Proposals...2A:88

Is the LRCC's Formulation Adequate as to its Scope?...2A:90

What Are the Implications of the LRCC's Provision for other Areas of the Criminal Law?...2A:92

Conclusion...2A:93

____________"The Criminal Liability of Corporations and Other Groups", (1977) 9 Ottawa Law Review 247-302; note: "This study was prepared as a background paper for the use of the Law Reform Commission of Canada in preparing CRIMINAL RESPONSIBILITY FOR GROUP ACTION, WORKING PAPER 16 (1976)." (p. 247);

Contents

I.  Historical Background...247

II.  Personal Liability under Existing Law...251

A.  Entities liable ...251
B.  Persons in respect of whose actions liability may be ascribed...252
C.  Conspiracy...256
D.  Course of employment and corporate benefit...257
E.  Ultra vires...258
F.  Limitations on Liability...259
G.  Pre-incorporation crimes and dissolution...264

III.  Comparative Law and Corporate Liability...264

A.  Civil Law Systems...264
B.  United States...266
C.  Liability in Canada and under the Model Penal Code...272

IV.  Personal Liability of Individuals...274

V.  Some Proposals for Reform...283

VI.  Envoi...302

LÉTOURNEAU, Gilles et Pierre Robert, Code de procédure pénale du Québec annoté, 6e édition, Montréal : Wilson et Lafleur, 2004, xiiv, 919 p., voir en particulier "La responsabilité pénale des corporations" aux pp. 98-100, "La complicité lorsque l'infraction est commise par une corporation" aux pp. 105-107 et "La présomption d'acquiescement des administrateurs ou représentants à la composition de l'infraction" aux pp. 107-108, ISBN: 2891276442; copie à l'Université d'Ottawa, KEQ 1174 .A3117 L47 2004; note: droit pénal provincial;
 

LIPPEL, Katherine, "Les victimes sans crimes: le traitement pénal des accidents de travail", (1988) 21 Criminologie 35-56; article in French;

"[Abstract]

More people die in Canada every year from work related accidents and illnesses than as a result of murder.  More work days are lost to work accidents and illnesses than to strikes and lockouts.  Yet the illegalities committed in the field of health and safety in the workplace are, for all intents and purposes, left unnoticed by the criminal justice system.

This article addresses the use of penal and criminal law in Quebec against employers who have violated health and safety legislation and the Criminal Code.

The first part examines the historical, political and social reasons why deaths and injuries in the work place are perceived as normal and inevitable, rather than as aberrations often of a criminal nature.

The second part examines the application of statutory legislation in Quebec, particularly the Act Respecting Occupational Health and Safety (R.S.Q. c. S-2.1).  The nature of the offences therein provided for is studied, as well as the attitude of the judiciary and the Quebec Health and Safety Commission (C.S.S.T.) towards their application.

In the final section the relevant provisions of the Criminal Code are studied, in the light of the rare examples from case law where criminal negligence charges have been laid.

The article concludes with the assertion that a change of attitude both on the part of the state and on the part of public opinion is necessary if we wish that health and safety in the workplace be taken seriously by employers." (p. 35)

LITTLE, Christopher M. and Natasha Savoline, "Corporate Criminal Liability in Canada: The Criminalization of Occupational Health & Safety Offeences", Filion Wakely Thorup Angeletti LLP Management Labour Lawyers, 2003, 24 p.; available at http://www.filion.on.ca/pdf/CML%202003%20Paper.pdf (accessed on 27 November 2003);
 

LIZÉE, Marcel, "De la capacité organique et des responsabilités délictuelle et pénale des personnes morales", (1996) 41 McGill Law Journal 131-167; disponible à  http://www.journal.law.mcgill.ca/arts/411lizee.pdf (texte visionné le 25 octobre 2003);
 

LOWE, Jeffrey J., "Responses in Canada to the Sarbanes-Oxley Act of 2002", (2002) 5(2) Canadian International Lawyer 90-94; available at the Library of the Supreme Court of Canada, periodicals;

[Contents]

[Introduction]...90

Ontario...90

The West...91

Quebec...92

National Initiatives...93

Conclusion...93

ENDNOTES...94

MACKAY, Wayne, "The Charter of Rights and the Corporation: Beyond the Corporate Veil", in Frank E. McArdle, ed., The Cambridge Lectures 1989 -- Selected Papers Based upon Lectures Delivered at the Conference of the Canadian Institute for Advanced Legal Studies, 1989, held at Cambridge University, England, Montreal: Éditions Yvon Blais, 1990, xii, 432 p., at pp. 97-126, ISBN: 2890737527; copy at the Library of the Supreme Court of Canada, K 175 C36 1989;
 

MACPHERSON, Darcy L., "Criminal Liability of Parterships: Constitutional and Practical Impediments", (2009) 33(2) Manitoba Law Journal 329-390;

___________"Extending Corporate Liability?: Some Thoughts on Bill C-45", (2004) 30(3) Manitoba Law Journal 253-284;
 

MAKIN, Kirk, "Quietly passed could have loud implications: Organizations now liable even in the case of a manager failing to take precautions", The Globe and Mail, Monday, 26 April 2004, p. B12;

MAISONVILLE, Mariam, "Rethinking Theories of Corporate Liability in Criminal Law: Pushing the Legislative Enveloppe -- A Comparaison of Canadian, American, and English Development",  paper submitted at the 20th Anniversary Conference of the International Society for the Reform of Criminal Law held in Vancouver, Canada from June 22 – June 26, 2007, available at http://www.isrcl.org/  (accessed on 9 September 2007);

MANIRABONA, Amissi Melchiade, "La négligence criminelle en milieu de travail: pour une application cohérente des nouvelles dispositions du Code criminel", (2010) 40(2) Revue générale de droit ;

___________La responsabilité pénale des sociétés canadiennes pour les crimes contre l’environnement survenus à l’étranger, thèse de doctorat 2010, Université de Montréal, https://papyrus.bib.umontreal.ca/jspui/handle/1866/3791?locale=fr  (vérifié le 16 novembre 2010);  
 

MANN, Michelle, "Au pays des cols blancs: De nouveaux amendements au Code criminel accroissent la responsabilité des administrateurs", (August/September 2004) 13(5) National 48 (1 p. seulement); the National is published by the Canadian Bar Association;
 

___________"White-collar wars.  Lawyers who advise CEOs and boards of directors need to know about two new pieces of legislation that raise the stakes for corporate malfeasance and create new pitfalls for directors and officers", (August/September 2004) 13(5) National 46-48 and 50-52; the National is published by the Canadian Bar Association;
 

MARLIN, Beth, "Canada should catch up to U.S. and U.K.: OH&S criminal prosecutions still untested", (20 February 2006) 17(7) Law Times 13;

"Almost two years have passed since Bill C-45 introduced potential criminal sanctions for health and safety violations resulting in harm or death, yet no prosecutions have proceeded in Canada under the new section to date."

MAY, Kathryn, "Crown agencies need U.S.-style overhaul.  Law created in wake of Enron scandal good model for Canada, Fraser says", The Ottawa Citizen, Wednesday, 16 February 2005, p. A4; note: the law is The Sarbanes Act;
 

McCHESNEY, Allan and Terry Mueller, "Environmental Offences in Canada: Criminal and Regulatory Regimes", (1994) 65 Revue internationale de droit pénal 831-847;
 

MCLEOD, Roderick M. and Bruce McMeekin, "Expanded Corporate Criminal Liability" (1996) 2 Corporate Liability 110; title noted in my research but document not consulted yet;
 

McMAHON, Kirsten, "Lawyers predict corporate legal trends for 2005", (21 February 2005) 16(6) Law Times 3;

"CORPORATE GOVERNANCE

In the wake of financial scandals of previous years, Canadian companies will continue to be preoccupied with regulatory compliance and accounting reforms." (p. 3)

McMEEKIN, Bruce J., "Don't Expand Corporate Criminal Liability", April 2003, 10 p., available at  http://www.millerthomson.ca/ArticlesPDF/a_BJMCorpLiability.pdf (accessed on 18 June 2004);
 

McMULLAN, John L., 1948-, Beyond the limits of the law : corporate crime and law and order, Halifax, N.S. : Fernwood Publishing, 1992, 181 p., ISBN: 1895686032; copy at Ottawa University, MRT General, HV 6768 .M35 1992;

___________"Lost Lives at Westray: Official Discourse, Public Truth and Controversial Deaths", (2007) 22(1) Canadian Journal of Law and Society 21-42;
 

McNAUGHTON, William K., "Criminal liability for environmental offences", (30 April 2004) 23(49) The Lawyers Weekly 17; note: discusses Bill C-45;
 

MELNITZER, Julius, "Companies, directors face Criminal Code sanctions: New legislation creates duty to protect workers and public from corporate negligence", (15 December 2003) 14(43) Law Times 9;

___________"Negligence charges laid against Quebec company", (13 November 2006) 17(36) Law Times 10; Transpave corporation, employee Steve L'Ecuyer, crushed to death by machinery, October 2005, charges laid by St-Eustache police, criminal negligence causing death; article explains why OHSA legislation is used more often than the Criminal code;
 

MEUNIER, Pierre B., and Charles Kazaz, "Liability of corporate directors and officers under environmental statutes", in Les société par actions à la croisée des chemins -- Corporations at the Crossroads, [Montreal]: Faculty of Law, McGill University, 1995, iv, 535 p., at  pp. 211-254 (series; Meredith Memorial Lectures 1994/95), no ISBN number in the book; copy at Ottawa University, FTX General: KE 1389.5 .S627 1995;

"Synopsis

1. Introduction...213

2.  Liability of Officers and Directors...215
  2.1  Why Seek to Impose Liability upon Directors and Officers?....215
  2.2   Defining a Director and an Officer...218

3.  The Imposition of Statutory Liability on Corporate Officers and Directors...221
  3.1 General...221
  3.2  The Imposition of Statutory Liability on Corporate Officers and Directors...222

3.2.1 Passive Acquiecence/Permitting or Allowing a Prohibited Act...223
3.2.2  Participation in or Aiding and Abetting in the Commission of an Offence...224
3.2.3  Statutes Specifically Imposing Liability on Officers and Directors...226

3.2.3.1 Federal....226

3.2.3.1.1  Canadian Environmental Protection Act...226
3.2.3.1.2  Transportation of Dangerous Goods Act, 1992...227
3.2.3.1.3  Fisheries Act...227

3.2.3.2  Quebec...228

3.2.3.2.1  Environment Quality Act...228
3.2.3.2.2  Use of petroleum Products Act...230

3.2.3.3  Ontario...230

3.2.3.3.1  Environmental Protection Act...230
3.2.3.3.2  Ontario Water Resources Act...232

4.  The Case Law...232
  4.1  The Legal Standard of Due Diligence...232
  4.2  Due Diligence in Environmental Matters in General...233
  4.3  Due Diligence for Directors and Officers...236

4.3.1  R. v. Bata Industries Ltd....236
4.3.2  R. v. Varnicolor Chemicals Ltd....240
4.3.3  R. v. Blackbird Holdings Ltd....241
4.3.4  R. v. Courtaulds Fibres Canada...241
4.3.5  An American Perspective:  Kelley ex. rel., Michigan Natural Resources Commission v. Arco Industries Corp....242
4.3.6  Recents Trends in Due Diluigence...244

5.  Factors to be Considered in Determining the Requisite Standard of Due Diligence...249
  5.1  Preliminary Matters...249
  5.2  Corporate Structure...250
  5.3  Corporate Commitment...250
  5.4  Environmental Management System...251
  5.5  Information...252
  5.6  Reporting to the Committee or the Board...252
  5.7  Ongoing Compliance Reviews...253
  5.8  Reaction Time...253
  5.9  Knowledge of Industry Standards...253
  5.10  Pro-Active Management...253

6.  Conclusion...254" (pp. 211-212)
 

MORAND, Alain, "Les infractions relatives au bien-être public", dans Claude Leblond, responsable du secteur Droit pénal, École du Barreau du Québec, Droit pénal (Infractions, moyens de défense et sentence), Cowansville (Québec): Les Éditions Yvon Blais, une société Thomson, 2003, 278 p., aux pp. 23-54, voir "La responsabilité des personnes morales dans les infractions contre le bien-être public" aux pp. 52-53 (Collection; Collection de droit 2002-2003; volume 11), ISBN: 2894515863; copie à la Bibliothèque de la Cour suprême du Canada, KF385 ZB5 C681 v. 11  2002-03 c. 01;

Table des matières

La responsabilité des personnes morales dans les infractions contre le bien-être public...52

A- Les infractions de "mens rea"...52
B- Les infractions de responsabilité stricte...53
C- Les infractions de responsabilité absolue...53

MORRITT, David S. and Tanya M. Goldberg, "New government proposals on corporate criminal liability", (1995) 4 Canadian Corp. Counsel 58-60; note: Toronto : Emond Montgomery Publications, 1991-; copy at Canadian Heritage, Library and Research Centre, Knowledge Centre/Patrimoine canadien, Bibliothèque et Centre de recherche, Centre du savoir, KE1369.C36; copy at the National Library of Canada, Ottawa; title noted in my research but article not consulted yet;

MULLAN, John L., "News, Truth and the Recognition of Corporate Crime", (October 2006) 48(6) Canadian Journal of Criminology and Criminal Justice 905-939; "This article is a study of how the press registered and re-registered news of truth about the Westray explosion and its aftermath from 1992 to 2002." (excerpt of the summary, p. 905);
 

NGWAFOR, Ephraim N., Corporate Criminal Liability : A Comparative Study, LL. M. Thesis, Dalhousie University, 1978, vii, 195 leaves; copy at Ottawa University, microform, FTX General: KE 8833 .N473 1978A; covers English, Canadian, French and US law;
 

___________Corporate criminal responsibility, 2nd ed., London : Institute of Third World Art & Literature, c1989, xv, 119 p., ISBN: 0948977108; title noted in my research but book not consulted yet;
 

___________"Re-visitation of the alter ego doctrine in corporate criminal liability", (April1983) 13(1) Kingston Law Review 3-33; copy at Ottawa University, KD 322 .K553  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada;

[Introduction]...3

 The Attitude of the English and Canadian Courts...4

The French Approach...9

How Close Are We?...14

The Alter Ego Doctrine: A Persistent Dielemma...17

Egalitarianism As A Solution to the Problem of Drawing The Line...22

Conclusion...32

OECD/OCDE, Directorate for Financial and Enterprise Affairs, "Canada Phase 2.  Report on the Application of the Convention on Combatting Bribery of Foreign Public Officials in International Business Transactions ans the 1997 Recommendation on Combating Bribery in International Business Transactions -- This report was approved and adopted by the Working Group on Bribery in International Business Transactions (CIME) on 25 March 2004", available at  http://www.oecd.org/dataoecd/20/50/31643002.pdf (accessed on 26 June 2004);

"Commentary

The lead examiners welcome the most recent initiative of the Government of Canada to reform the law on corporate criminal liability by clarifying (through codification) and expanding its scope, and believe that the revised law would significantly improve the effectiveness of the liability of legal persons for the bribery of a foreign public official. In addition, the lead examiners recommend that the issue of corporate criminal liability be followed-up once Bill C-45 [“An Act to amend the Criminal Code (criminal liability of organizations)”] has been enacted and has been in place long enough for the Working Group to assess its effectiveness in practice in respect of CFPOA cases." (p. 30)
 

OLIVER, Eden M. and Andrew J. MacDougall, "Reform of Canadian and U.S. Corporate Governance Standards: Constrasts in Approach", (2002) 5(2) Canadian International Lawyer 71-83; available at the Library of the Supreme Court of Canada, periodicals;

[Contents]

[Introduction]...71

I. Independence of Directors...72

A. Definition of Independence...72
B. Majority of Independent Directors...74
C. Treatment of Controlled Companies...74
D. Director Meetings in the Absence of Management...74
E. Nominating Committees
F. Compensation Committees
G. Audit Committees...75

II. Auditor Independeence...76

III. Certification of Financial Statements by Senior Executives...77

IV. Executive Compensation and Reporting...77

A. Shareholder Approval of Equity Compensation Plans...77
B. Reimbursement of Incentive Compensation...77
C. Insider Trading...77
D. Disclosure of Material Changes...78

VI. Lawyers' Responsibilities...78

VII. Enforcement Provisions...79

VIII. Conclusion...80

ENDNOTES...80

ONTARIO, John C. Pearson, "LRC [Law Reform Commission of Canada] Draft Criminal Code [Report 30] -- Corporate Criminal Liability", 22 September 1987;  paper number 31, Appendix "A" in CANADA/PROVINCES, Report of the Working Group on Chapter 2 of the Law Reform Commission of Canada Report 30 "Recodifying Criminal Law", supra, and quoted in part in that report, at pp. 96-97;
 

OSLER, Hoskin & Harcourt, Comments by Brett Ledger, David Morritt and David Stratas, of the firm, dated January 1995, "New Government Proposals on Corporate Criminal Liability [contained in the Department of Justice document Reforming the General Part of the Criminal Code: A Consultation Paper], 7 p.,documents 000491-000497 obtained by François Lareau further to an Access to Information Act request of 21 August 1998 to the Department of Justice Canada, request number A99-000147;
 

PAQUIN, Marc, 1964-, Le droit de l'environnement et les administrateurs d'entreprises, thèse LL.M., McGill University, 1991, 133 p.; copie à la Bibliothèque nationale du Canada; titre noté dans mes recherches mais thèse non encore consultée;
 

PARKER, Graham, "Developments in Criminal Law: the 1983-84 Term", (1986) 8 The Supreme Court of Canada Law Review 165-193;

"Estey J. [in Canadian Dredge & Dock Co. Ltd. et al. v. The Queen, [1985] S.C.R. 662] has written a tongue-in-cheek essay on legal fictions.  I would have liked to read some home truths about how corporate decisions are really made.  I would like to know what role should be played by corporate counsel and the law firms who advised the defendant corporations, particularly members of the latter who are also directors.  I would have preferred Estey J. to have given me some legal realism instead of a judgment that is a smokescreen of legalism.  Perhaps Estey had no alternative.  The prosecution was trying to control industrial brigandage with inadequate statutory resources.  Surely, our legislative drafters can come up with some better way of controlling corporate crime than the vague and amorphous crime of conspiracy to defraud and a theory of accountability a little less antiquated than nineteenth century notions of vicarious liability." (p. 193)

PATTERSON, Kelly, "Churches push for industry ethics rules: Canadians often the 'the bad guys' in overseas mining operations", The Ottawa Citizen, Tuesday, 20 May 2007, p. A4;

PEARCE, Frank and Laureen Snider, eds., Corporate Crime: Contemporary Debates, Toronto: University of Toronto Press, 1995, xiii, 426 p., ISBN: 0802076211; note: "Based on the conference, Corporate crime: ethics, law and the state, held Nov. 12-14, 1992"; copy at Ottawa Public Library, 364.168 C822; copy at the Library of Parliament; copy at the Library of Parliament, Ottawa HV6768 C67; research note: contains an extensive bibliography of the references (Canadian & American) at pp. 369-408;
 

PEARCE, Frank,  "Accountability for Corporate Crime",  in Philip C. Stenning, ed., Accountability for Criminal Justice: Selected Essays, Toronto: University of Toronto Press, 1995, xiii, 530 p., pp. 213- 238, ISBN: 0802006477 and 0802076017 (pbk.); copy at Ottawa University, MRT General: HV 7405 .A3 1995; copy at the Library of the Supreme Court of Canada, KF9223 A93 1995 -;

[Contents]

[Introduction]...213

Corporations and Accountability...214

The Corpration's Economy...216

Regulation, Corporate Governance, the Market or Regulastory Agencies?...218

Neoclassical Theories of Regulation: A Critique...220

Countervailing Powers : Occupational Safety and Health in the United States
-- A Brief Contextual History...225

Beyond OSHA?...228

Civil and Criminal Law...231

Conclusion...236

Notes...237

___________"The Contribution of 'Left Realism' to the Study of Commercial Crime" in John Lowman, 1950-, and Brian D. MacLean, eds., Realist Criminology: Crime Control and Policing in the 1990s, Toronto: University of Toronto Press, 1992, xiv, 370 p., at pp. 313-335, ISBN: 0802028284 and 0802077021 (pbk.); copy at Ottawa University, MRT General: HV 6025 .R43 1992; copy at Carleton University, Floor 4, HV6025.R43  c.2
 

___________"Corporate Rationality as Corporate Crime", (Spring 1993) 40 Studies in Political Economy -- A Socialist Review 135-162; copy at Ottawa University, HB 73 .S88  Location: MRT Periodicals;
 

___________" 'Responsible Corporations' and Regulatory Agencies", (1990) 61(4) Political Quarterly 415-430; copy at Ottawa University, JA 8 .P72  Location: MRT Periodicals;
 

___________Review article, "Corporate Crime: Power, Crime and Mustification, S. Box, Tavistock, London, 1983, pp 257...;  Corporate Crime in the Pharmaceutical Industry, Braithwaite, J., Routledge and Kegan Paul, London, 1985, pp 440...; Corporate Crime, Clinard, M.B. and Yeager, P.C., Free Press, New York, 1980, pp 386...; White-Collar Crime: An Agenda for Research, Edelhertz, E. and Overcast, T.D. (eds), Lexington Books, D.C. Health and Co. Lexington, 1982, pp 235...; White-Collar and Economic Crime: Multidisciplinary and Cross-National Perspectives, Wickham, P. and Daley, T. (eds),  Lexington Books, D.C. Health and Co. Lexington, 1982, pp 285...", (Summer 1987) 7(1) Critical Social Policy     125; note: issue number 19; copy at Ottawa University, HN 1 .C66  Location: MRT Periodicals;
 

PEARSON, John, "Bigger brother is watching : a prosecutor's perspective on the criminal law exposure of corporate officials", in Canadian Bar Association, Ontario Branch, Continuing Legal Education, Directors under siege, Toronto : Canadian Bar Association-Ontario, Continuing Legal Education, 1999, 1 v. (various pagings), ISBN: 1551729725; note: "May 7, 1999";  title noted in my research but article not consulted;
 

___________"Delegating Away Responsibility?: A Case comment on Regina v. Safety Kleen Canada Inc. [(1998) 16 C.R.  (5th) 90 (Ont. C.A.)]", (1998) 16 C.R. (5th) 99-102;
 

PERKEL, Colin, "Law arising from Westray mine disaster casts wide criminal net for companies", CANOE, Your Internet Ntework, Law and Order, Monday, November 3, 2003, available at  http://cnews.canoe.ca/CNEWS/Law/2003/11/03/245813-cp.html (accessed on 11 January 2004);

"Yost [counsel the Department of Canada] said the decision against widespread hearings was a political one, but said the government made its intentions clear about a year ago."

PIETTE, Jean et Isabelle Fournier, "Le développement des moyens de défense en droit pénal de l'environnement", dans Développements résents en droit de l'environnement, Textes des conférences du colloque tenu le 14 octobre 1994, Cowansville (Qu/bec): Éditions Yvon Blais, 1994, v, 411 p., aux pp. 291-306 et voir "La défense de diligence raisonnable", aux pp. 303-306, ISBN: 2890739945 (Formation permanente du Barreau du Québec - Volume 55); copie à l'Université d'Ottawa, FTX General: KEQ 885 .Z85 D476  1994;

    "Lorsque la prévenue est une corporation, la jurisprudence indique clairement que les dirigeants de l'entreprise doivent pouvoir démontrer qu'ils ont fait preuve de toute la diligence nécessaire.  Idéalement, tous les employés de l'entreprise devraient exercer en tout temps une diligence raisonnable. Mais il sera suffisant d'établir que les dirigeants ont été diligents si l'infraction résulte du comportement d'un employé qui a négligé de suivre les instructions données par la direction.

    Pour pouvoir constituer une défense de diligence raisonnable, il est souhaitable de retrouver différentes mesures préventives au sein d'une entreprise, notamment: [...]" (une note omise; pp. 292-293)

PILLAY, Sukanya, "Forcing Canada's Hand?  The Effect of the Sarbanes-Oxley Act on Canadian Corporate Governance Reform", (2004) 30(3) Manitoba Law Journal 285-314;

PIRAGOFF, Donald, "Criminal Liability of Organizations in Canada", paper submitted at the 20th Anniversary Conference of the International Society for the Reform of Criminal Law held in Vancouver, Canada from June 22 – June 26, 2007, available at http://www.isrcl.org/  (accessed on 9 September 2007);  
 

PLAMONDON, Chantal, When a Corporation's Criminogenic Culture Encourages the Commission of Crimes: Introducing the Crime of Corporate Negligence, thèse LL.M. approuvée en 2001 (citée dans "Liste des mémoires de maîtrise et thèses de doctorat acceptées en 2001, (2001) 61 Revue du Barreau 575, à la p. 576);
 

POIRIER, Michel, "La responsabilité pénale des dirigeants et administrateurs de corporations en droit québécois et canadien de l'environnement", dans Actes des Journées strasbourgeoises de l'Institut canadien d'études juridiques supérieures 1992, Droits de la personne: l'émergence de droits nouveaux: aspects canadiens et européens, Cowansville (Québec): Éditions Y. Blais, 1993, [viii], 708 p., aux pp. 441-459, ISBN: 2890738582; copie à l'Université d'Ottawa, FTX General, KE 4381 .A66 I57 1992; copie à la Bibliothèque de la Cour suprême du Canada, KF4483 C514 1992 I57 -;

"PLAN

Introduction...443

I- Le cadre législatif...443

A.  La Loi sur la qualité de l'environnement du Québec...443
B.  La Loi canadienne sur la protection de l'environnement...447

II-  Les tribunaux et la responsabilité des administrateurs et dirigeants des corporations...450

A. La défense de diligence raisonnable...450
B. La détermination de la peine...455

Conclusion...458" (p. 441)

POLE, Kenneth, Federal legislation, "Criminal Code changes apply to environment", (August 2003) 14(5) Environment Policy & Law 501 (1 page only); notes: ISSN: 1181-7607; copy at the Library of Parliament: Br. B K5 N58 A12;
 

POLLOCK, Robert Elliot, 1966-, Corporate executive liability for environmental offences : a comparison of the Ontario and United States approach, LL.M. thesis, York University, 1994, vii, 203 leaves; copy at the National Library of Canada, Ottawa; title noted in my research but thesis not consulted yet;

[Abstract]
"This thesis discusses one of the most recent weapons used by the government in the fight against environmental degradation--the prosecution of corporate officers and directors.  I argue that this is an effective method of ensuring that corporations comply with environmental laws.  Chapter 2 is primarily devoted to an examination of the traditional corporate sanction -- the fine.  I argue that the fine is inadequate in ensuring corporate compliance with environmental laws; in addition, I discuss some of the injustices that accompany the imposition of a corporate fine.  Chapter 3 examines and compares the legislation and caselaw of Ontario and the United States with respect to corporate executive liability for environmental offences.  Chapter 4 is devoted to a discussion of the principles of sentencing in environmental cases. A detailed comparison is made of the manner in which environmental offenders are sentenced in Canada and the United States: the Canadian scheme, which essentially involves an application of six factors enumerated in a decision of the Yukon Territories, is contrasted with the progressive United States Sentencing Guidelines, which attempts to reduce disparity between similar offences with a mechanical formula.  The final chapter examines alternative sanctions which can be imposed upon the corporate entity in place of the corporate fine.  The chapter primarily focuses on the most effective alternative sanction, corporate probation.  The remainder of the chapter is devoted to two other sanctions which are ideally imposed as components of a corporate probation order: community service and adverse publicity. (Abstract shortened by UMI.)" (source: AMICUS catalogue)

POWELL, Clay M. and J. David Watt, "An Examination of the 'Dredging Case': "R. v. McNamara et al., O.C.A. Jan 15, 1981", (February1981) Criminal Law Audio Series, side 1 & 2, 60 minutes; copy at the Library of the Supreme Court of Canada, Ottawa;
 

PRABHU, Mohan, "Criminal Liability of Organisations in Canada", in Günter Heine, Mohan Prabhu, Anna Alvazzi del Frate, Environmental Protection - Potentials and Limits of Criminal Justice Evaluation of Legal Structures Freiburg im Breigau, Germany: Edition iuscrim; Rome: UNICRI, c1997, x, 530 p., at pp. 468-477 (Expert Panel: Environmental Protection Through Criminal Law: Limits of Individual Responsibility -- Potentials of Collective Liability), (series; Publication (United Nations Interregional Crime and Justice Research Institute; number 56), ISBN: 3861139588 (Edition Iuscrim) and 9290780320 (UNICRI); copy at Solicitor General Canada, Ministry Library and Reference Centre/Solliciteur général Canada, Bibliothèque ministérielle et centre de référence call number: K 3484.6 E5 1997; available at  http://www.iuscrim.mpg.de/verlag/online/Band_S68/16_expert.pdf (accessed on 28 May 2004);
 

PRÉFONTAINE, Daniel C., "Effective Criminal Sanctions Against Corporate Entities: Canada", in Albin Eser, Günter Heine, and Barbara Huber, eds., Criminal Responsibility of Legal and Collective Entities - International Colloquium Berlin, May 4-6,  1998, Freiburg im Breisgau: Eigenverlag Max-Planck-Institut fur Auslandisches und Internationales Strafrecht, 1999, 379 p., at pp. 277- 284 (series :  Beiträge und Materialien aus dem Max-Planck-Institut für Ausländisches und Internationales Strafrecht Freiburg i. Br.; Bd. S 78),  ISBN: 3861139421; available at  http://www.iuscrim.mpg.de/verlag/online/Band_S78/11-SUBJN-4b.pdf (accessed on 2 November 2003);
 

PRIEST, Margot and Hartley R. Nathan, Directors' duties in Canada: Managing Risk, 2nd ed., Toronto: CCH Canadian, c2002,  ix, 260 p., ISBN: 1551410494; copy at the Library of the Suprme Court of Canada, KF1423 D55 2002;
 

PURI, Poonam, "Sentencing the Criminal Corporation", (Summer 2001) 39(2-3) Osgoode Hall Law Journal 611-653;

"[CONTENTS]

I.  Introduction...612
II. Policy Choices for Controlling Corporate Misconduct...613
III.  The Intersection of Doctrinal Corporate and Criminal Law: Proving Elements of the Offence...614
IV.  Optional Sanctions for the Criminal Corporation...616
V.  Survey of Existing Sentences for Criminal Corporations...619
VI.  Conclusion...624
Appendix...625" (p. 611)
 

[Contents]

"Introduction

I.  The Corporation as a Responsible Actor

A. The Attribution of Responsibility
  1.  The Foundations of Criminal Responsibility
  2. The Responsible Actor

B. The Nature of Corporations
  1. Types of Organization
  2. The Characteristics of an Organization

C. Corporate Intentionality

D. Justifications for Corporate Responsibility
 

II. The Conditions for Liability

A. Act Requirements
  1.  The Notion of Act and the Requirement of Voluntariness
  2.  Causation
  3.  Justifications

B.  Fault Requirements
  1.  The Notion of Corporate Fault
  2.  Types of Fault
    a. Fault Based on an Aware State of Mind
      i. Knowledge or intention
      ii. Recklessness and Wilful Blindness
    b. Strict Liability
  3. Defences

Conclusion" (p. 68)
 

Contents

[Introduction]...29

1.  The Impact of Corporate Criminal Liability on the Individual...31

(1) Principles of Criminal Liability...31
(2) Constitutional Rights...37

2. The Possible Solutions: Theories of Corporate Personality Revisited...45

3.  Conclusion...51

RAYMOND, Mélanie, "Au pays des cols blancs -- De nouveaux amendements au Code criminel accroissent la responsabilité des administrateurs et dirigeants",
(August/September 2004) 13(5) National 48; the National is published by the Canadian Bar Association;
 

REASONS, C., "Crimes Against the Environment: Some Theoretical and Practical Concerns", (1991-92) 34 The Criminal Law Quarterly 86-105;

Contents

What is a Crime...86

Crimes Against the Environment?...89

Fundamental value...90
Seriously Harmful or Endangering?...92
Mental Element Test...94
The enforcement test...95
Effectiveness test...96

Workplace Pollution: A Case Study...100

Conclusion...104

REINSCH, Candac, "Review of: Bad Business: Corporate Crime in Canada, Laureen Snider, Scarborough: Nelson Canada, 1993, x, 230 pp.", (1995) 10 Canadian Journal of Law and Society 248-250; copy at the Library of the Supreme Court of Canada, Ottawa;

Research Note: in Ontario, many prosecutions for homicides and serious injuries are under the Occupational Health and Safety Act (22 November 2011);

REYNOLDS, Graham, "Criminal Liability and the Corporation" in Western Canada Crown Seminar  (4th : 1981 : Banff, Alta.), Alberta. Dept. of the Attorney General; British Columbia, Dept. of the Attorney-General; Manitoba. Dept. of the Attorney-General,  Saskatchewan, Dept. of the Attorney General, Western Canada Crown Seminar / sponsored by the Attorneys General of Manitoba, Saskatchewan, Alberta and British Columbia; Western Canada Prosecutors Conference, Banff : The Seminar, 1981; notes: "Annual seminar Banff Centre, Alberta March 29-April 3, 1981 "; Collected papers presented at the Western Canada Crown Seminar, also known as the Western Canada Prosecutors Conference; copy at the Department of Justice Canada,Prairies Region, Edmonton Office, Law Library / Ministère de la Justice Canada, Région des prairies, Bureau d'Edmonton, Bibliothèque de droit, KF 9223 A75 W47 1981; title noted in my research but article not consulted yet;
 

___________"Self-incrimination by the corporation", in Western Canada Crown Seminar  (4th : 1981 : Banff, Alta.), Alberta. Dept. of the Attorney General; British Columbia, Dept. of the Attorney-General; Manitoba. Dept. of the Attorney-General,  Saskatchewan, Dept. of the Attorney General, Western Canada Crown Seminar / sponsored by the Attorneys General of Manitoba, Saskatchewan, Alberta and British Columbia; Western Canada Prosecutors Conference, Banff : The Seminar, 1981; notes: "Annual seminar Banff Centre, Alberta March 29-April 3, 1981 "; Collected papers presented at the Western Canada Crown Seminar, also known as the Western Canada Prosecutors Conference; copy at the Department of Justice Canada,Prairies Region, Edmonton Office, Law Library / Ministère de la Justice Canada, Région des prairies, Bureau d'Edmonton, Bibliothèque de droit, KF 9223 A75 W47 1981; title noted in my research but article not consulted yet;
 

RICHARD, Mr. Justice K. Peter, Commissioner, see WESTRAY MINE PUBLIC INQUIRY, infra;
 

RICHMOND, Randall, 1955-, Corporate liability for criminal and statutory offences, LL.M. thesis, Université de Montréal, 1989, vii, 121 leaves; copy at the National Library of Canada, Ottawa; title noted in my research but thesis not consulted yet;
 

ROACH, Kent, 1961-, Criminal Law, 2nd ed., Toronto (Ontario): Irwin Law, 2000, xx, 370 p., on corporate liability, see pp. 13-15, 170-171, 175-176 and 178-180 and 324 (series; Essentials of Canadian Law), ISBN: 1552210413;
 

ROMAN, Andrew J., "Personal Liability of Directors and Officers of Corporations for Violation of Environmental Norms, Part I and II", (January-February 1993) 12(2) National Banking Law Review 20-32 and (May-June 1993) 12(3) National Banking Law Review 33-35; copy at Ottawa University, KE 992 .N37  Location: FTX Periodicals;

Contents

I.  Introduction...20

1.1  The Old Style of Environmental Law...20

2.  The Risk Cannot Be Entirely Eliminated...23

3.  Looking for Number One...23

3.1  The Bata Case...23
3.2  CEO Now Also Means "Chief Environmental Officer"...24

4. How Individuality Liability Arises...25

4.1  Federal Statutes...25

4.1.1 Canadian Environmental Protection Act...25
4.1.2 Other Federal Statutes...26

4.2  Provincial Statutes...26

4.2.1  Ontario's Environmental Protection Act...26
4.2.2  Other Ontario Statutes...27
4.2.4  British Columbia Statutes...28

4.3 Penalties...28

4.3.1  Criminal Code...28
4.3.2  Principal to a Specific Offence...28
4.3.3  Parties to An Offence: Aiding and Abetting...28
4.3.4 Civil Liability

5.  Methods of Reducing the Risk of Liability...30

5.1 Corporate Compliance Strategy versus Due Diligence...30

5.1.1  The Gravity of the Potential Harm...30
5.1.2 The Alternatives...30
5.1.3  The Likelihood of Harm...30
5.1.4 The Degree of Skill Expected...30

Notes...31 (End of Part I)
 

5.2  The Diligent Director...33

5.3  The Diligent Officer...34

5.4  Environmental Audits...34
 

6. Conclusions...35

Notes...35

ROY, Nicole, "Les intérêts économiques corporatifs et la Charte canadienne des droits et libertés: impact sur la protection de l'environnement", (1993) 34 Les Cahiers de droit 395-516;
 

RUBY, Clayton, 1942-, Jill Copeland, Breese Davies, Delmar Doucette and Richard Litkoski, Setencing, 6th ed., Markham (Ontario): LexisNexis Butterworths, 2004, see Chapter 12, "Corporate Crime", at pp. 425-432, ISBN: 0433443162; copy at the Library of the Supreme Court of Canada, KF9685 R82 2004;
 

RUTKUS, Daniel-Paul, Criminal Liability of Corporations, Their Directors, Officers and Managers for Crimes at International Law in The Canadian Judicial System: A Treatise, mémoire de maîtrise en droit (LL.M.), Université d'Ottawa, 2003; titre noté dans mes recherches mais mémoire non consulté; source: "Liste des mémoires de maîtrise et thèses de doctorat acceptés en 2003", (Automne 2003) 63 La Revue du Barreau 435-447, à la p. 437;
 

SARGENT, Neil C., "Law, Ideology and Corporate Crime: A Critique of Instrumentalism", (1989) 4 Canadian Journal of Law and Society 39-75; copy at Ottawa University, KE 3098 .A13 C287  Location: FTX Periodicals;

"Abstract -- The paper explores the limitations of class instrumentalist analyses of law in accounting for the failure of the criminal justice system to control corporate crime.  The first part of the paper examines current theoretical perspectives in Canadian corporate crime research, with particular emphasis on the class instrumentalist analyses of law which predominate in the literature.  The remainder of the paper seeks to develop a critical analysis of corporate crime which avoids the reductionism of such class instrumentalist analyses.  In particular, it is argued that attempts to theorize the failure of the criminal justice system to respond to corporate crime require investigation not only of external factors influencing the enactnment and enforcement of legislation, but also of the manner in which ideological discourses are articulated through the form and content of criminal law in such a way as to reproduce the popular consent for the differential treatment of suite and street crime.  Failure to problematize the ideological role of criminal law in legitimazing the differential treatment of corporate and street crime is likely to undermine attempts to make corporate offenders more accountable for their illegal behaviour by further criminalizing certain types of corporate behaviour." (p. 39)

__________"Law, Ideology and Social Change: An Analysis of the Role of the Law in the Construction of Corporate Crime", (Spring 1990) 1(2) The Journal of Human Justice 97-116; copy at the Library of the Supreme Court of Canada, Ottawa;

Abstract
 "This paper explores recent efforts to theorize the potential of law as an agency for progressive social change in the context of the debate over corporate crime.  Drawing on feminist experience with criminal law reform in the area of domestic violence, the author argues that the strategy of criminalizing corporate violations needs to be problematized, and that attention should also be focussed on exploring other avenues for progressive legal and political struggles aimed at the control of corporate crime." (p. 97)

__________ "Legal Individualism and Corporate Accountability: the Limits of the Criminal Law's Response to Corporate Crime", Ottawa: Carleton University, Faculty of Social Sciences, 1986, 32 p. (series; Working paper series (Carleton University Jurisprudence Centre); notes: "Prepared for presentation to the 1986 annual meeting of the Canadian Law and Society Association, June 5, 1986, Winnipeg, Manitoba"; "Draft only"; copy at Ottawa University, K 203 .W65 S267 1986 FTX;
 

SARRA, Janis, ed., Corporate governance in global capital markets, Vancouver: University of British Columbia Press, 2003, xxiv, 372 p., ISBN: 0774810041; copy at the Library of the Supreme Court of Canada, HD2741 C68 2003 (new book, November 2003); not consulted yet; see table of contents, at  http://www.ubcpress.ca/search/title_book.asp?BookID=2911, accessed on 2 December 2003;
 

___________"Corporate Social Responsibility in the Global Economy: Canadian Domestic Law and Legal Processes as a Vehicle for Creating and Enforcing International Norms", in Patricia Hughes and Patrick A. Molonari, eds., Partipatory justice in a global economy: the new rule of law = Justice et participation dans un monde global,  Montréal: Éditions Thémis, 2004, xii, 519 p., at pp. 333-388, ISBN:  2894001959; copy at the University of Ottawa, FTX General, KE 4238 .P27 2004; notes: Papers presented at a conference organized by the Canadian Institute for the administration of
Justice, held in Banff, Alta., Oct. 16-18, 2003 / Textes présentés lors d'une conférence organisée par l'Institut canadien d'administration de la justice, tenue à Banff, Alb., du 16 au 18 oct. 2003; available at https://papyrus.bib.umontreal.ca/dspace/bitstream/1866/126/1/icaj.pdf (accessed on 12 July 2006);

SASS, Robert, "Workplace Health and Safety: Report from Canada", (1986) 16(4) International Journal of Health Services 565-582; copy at Ottawa University, RA 421 .I65  Location: MRT Periodicals;

"[Abstract]  This article represents a critical analysis of the major policy responses to workplace health and safety in Canada.  It examines the deficiencies inherent in the legislative development of Joint Health and Safety Committees in most Canadian jurisdictions, the limitations regarding standard-setting of worker exposure to contaminants, and disincentive for employers to positively improve the workplace because of Workers Compensation legislation.  Collective bargaining agreements in Canada have had only limited positive effects, while the ultimate legal sanction of criminal prosecution by the regulatory agencies has weakened enforcement and compliance of existing regulations.  These has never been a successful criminal prosecution of an employer in Canada, even for multiple deaths.

    This article suggests the following four reasons for this 'underdevelopment' of occupational health and safety in Canada: (1) the concealment of the dimension of the incidence of industrial disease based on Workers Compensation Board statistics; (2) the application of an incorrect theory of causation of both industrial disease and injury by both managers and government administrators of occupational health and safety programs; (3) the resistance of both senior and middle managers against increased worker participation in both work organization and job design questions; and (4) the general 'moral underdevelopment,' rather than ignorance, of managers in favoring economic considerations or values at the expense of worker health and safety.

    In light of the magnitude of the problem and the deficiencies of existing policy approaches, the author proposes the need for greater workplace democratization of production and industry as a necessary and sufficient reform of workplace health and safety." (p. 565)

SAXE, Dianne, 1952-, Environmental offences : corporate responsibility and executive liability, Aurora, Ont. : Canada Law Book, c1990, xxxiv, 254 p., ISBN:  0888041020; note: "This book is based on a thesis prepared in partial satisfaction of the requirements for obtaining the degree Doctor of Jurisprudence at Osgoode Hall Law School, York University." (p. ix)
 

__________"Fines Go Up Dramatically in Environmental Cases", (1989) 3 Canadian Environmental Law Review (New Series) 104-121; copy at Ottawa University, KE 3612 .A13 C42512  Location: FTX General; subject: Ontario penal law;
 

___________"The Impact of Prosecution of Corporations and their Officers and Directors Upon Regulatory Compliance by Corporations", (1991) 1 Journal of Environmental Law and Practice 91-109;

"[Abstract]  The authors assesses the impact of prosecutions for environmental offences and corporate behavior.  She reviews the theoretical and factual background in the environmental field, and reports on the results of a survey of corporate officers and directors concerning the effect of prosecution on the environmental protection activitions of their companies.  The impact of holding directors and officers personally liable for the environmental activities of their companies and involving them in the prosecutions is also assessed." (p. 91)

___________"Personal Liability for Officers, Directors and Employees" in Geoffrey Thompson, Moira L. McConnell and Lynne B. Heustis, eds., Environmental Law and Business, Aurora (Ontario): Canada Law Book, 1993, xxvii, 599 p., at pp. 291-340, ISBN: 088804125X; copy at Ottawa University, FTX Reserve:  KE 3619 .T456 1993; note: "based primarily upon excerpts from D. Saxe", 1990;
 

SELICK, Karen, "Westray and workplace safety", (September 2004), 28(9) Canadian Lawyer 62 (1 page only);
 

SIMMONDS, Ralph L., "Judicial Personality in Canada: The Case of the Corporation", in Contemporary law: Canadian reports to the 1990 International Congress of Comparative Law, Montreal, 1990 / presented by the Canadian Comparative Law Association & l'Association québécoise de droit comparé = Droit contemporain : rapports canadiens au Congrès international de droit comparé, Montréal, 1990 / présentés par l'Association canadienne de droit comparé & l'Association québécoise de droit comparé, Cowansville: Éditions Yvon Blais, 1992, ix, 799 p., at pp. 60-82, ISBN: 2890738000; copy at the Library of the Supreme Court of Canada, K 555 I57 1990; copy at Ottawa University, FTX General: K 555 .C636 1992;

[Contents]

I. Introduction...60

II.  Understanding the Importance of the Idea of Corporate Personality in Canadian Law...62

III.  Corporate personality, the shareholder and the creditor...65

A.  Lifting the Corporate Veil for the Benefit of shareholders...68
B.  Lifting the corporate veil for the benefit of creditors...71
C.  The Significance of Corporate Personality in Private Law...72

IV.  Penal Liability of Corporations...72

A.  The Liability of Canadian Corporations for Offences without Mens Rea Requirements...72
B.  Crimes of Intent and the Corporation: the Directing Mind Theory...73
C.  The Relevance to Penal Liability of Fraud on the Corporation by its Directing Mind...75
D.  Corporate Criminality and the Application of the Directing Mind Theory...76
E.  Corporate Criminal Liability and Theories of Corporate Personality...78

V.  The Corporation and the Canadian Federal Union: the Case of the Charter of Rights and Freedoms...79

A.  The Charter in Overview...79
B.  The Charter and the Corporation...80

VI.  Conclusion: the Need for a Better Theory of Corporate Personality in Canada...81" (p. 60)

SMITH, Margaret, "Director's liability", [Ottawa]: Library of Parliament, Parliamentary Research Branch, Law and Government Division, 2000, 8 p. (series; PRB 99-44E), available at  http://www.parl.gc.ca/information/library/PRBpubs/prb9944-e.htm (accessed on 9 November 2003); also published in French /aussi publié en français, "Responsabilité des administrateurs", [Ottawa]:  Bibliothèque du Parlement, Direction de la recherche parlementaire, Division du droit et du gouvernement, 2000, (Collection; PRB 99-44F) disponible à  http://www.parl.gc.ca/information/library/PRBpubs/prb9944-f.htm (visionné le 9 novembre 2003);
 

SMYTH,  J. E. (James Everil), 1920-, A.J. Easson,  and D.A. Soberman, 1929-, The law and business administration in Canada, 10th ed., c2004, xlv, 794 p., see "Criminal Liability of Corporations", at pp. 621-625,  ISBN: 0131000969; copy at the Library of Parliament; does not discuss the 2004 legislation, nor Bill C-45;
 

SNIDER, Laureen, 1944-, and W. Gordon West, "A Critical Perspective on Law in the Canadian State: Deliquency and Corporate Crime", in Thomas Fleming, ed., The New Criminologies in Canada: Crime, State and Control, Toronto: Oxford University Press, 1985, xii, 343 p., at pp. 100-111, ISBN: 0195404890; copy at Ottawa University, MRT General: HV 9960 .C2 N48 1985;
 

SNIDER, Laureen, 1944-, Bad Business: Corporate Crime in Canada,  Scarborough: Nelson Canada, 1993, x, 230 p. (series: The Nelson Crime in Canada Series under the leadership of series editors Leslie Kennedy, U. of Alberta and Vincent Sacco, Queen's University) ISBN: 0176041443; copy at the Library of Parliament, HV 6771 C2 S65; copy at Ottawa University, HV 6771 .C2 S62 1993 MRT;

"Contents

Foreword...viii
Preface...ix

Introduction...1
The Extent and Costs of Corporate Crime...1
Defining and Conceptualizing Corporate Crime 8
Typologies of Corporate Crime...15
Why We Study Corporate Crime...17
Outline of Chapters...19

CHAPTER 1  Prevalence, Incidence, and Measurement...21
Introduction...21
History and Growth of the Corporation...22
Measuring Incidence and Estimating Prevalence...27
Problems with Measurement: Case
  Studies of Corporate Crime...35
Summary...38
Notes...39

CHAPTER 2  Dominant Theoretical Approaches...43
Introduction...43
Dominant Theoretical Approaches: Consensus Theories...44
    Pluralism...47
Dominant Theoretical Approaches: Conflict Theories...48
    Marxism...49
      Instrumentalism...50
      Structuralism...52
Feminist Theories...54
Summary...57

CHAPTER 3  Theories of Causality...59
Introduction...59
The Psychological Level...61
    Motivation...63
    Opportunity...67
    Access...71
The Organizational Level...72
    Corporate Goals...74
    Corporate Structure...77
    Organizational Environment...81
Macro-Level Factors...83
Summary...86

CHAPTER 4  The Struggle to Secure Legal Regulation...89
Introduction...89
History of Attempts to Control Corporate Crime...92
    Combines Law in Canada...100
Current Developments in The Regulatory Struggle...106
    Combines Law Revisited...108
Summary...112

CHAPTER 5  The Regulatory Agency...113
Introduction...113
Characteristics of Regulatory Agencies...114
    Powers and Sanctions...114
    Models of Regulatory Agencies...114
    Personnel...115
    Environmental Effects on Regulatory Agencies...117
Characteristics of the Enforcement Process...120
    Case Studies from the United States...124
    The Situation in Canada...131
The Role of the Regulatory Agency: Criminalization versus Compliance...133
    Criminalization...133
    Cooperation...133
    Contradictions in Regulatory Effectiveness...139
Summary...143
Notes...144

CHAPTER 6  Sanctions...145
Introduction...145
Canadian Federal Agencies...146
    The 1986 Revisions...149
    Results of the 1986 Revisions....152
      Mergers and Monopolies...152
      Sanctions Assessed...154
      Financial Effects...156
      Misleading Advertising and Deceptive Marketing Practices...157
Comparative Sanctions in Other Jurisdictions...159
The Effect of Sanctions...164
Summary...166
Notes...167

CHAPTER 7 Understanding Ineffectiveness...169
Introduction...169
The Political Economy of Enforcement...171
Specific Initiatives and Examples...178
Applying These Principles...182
    Occupational Health and Safety Laws...182
    Antitrust...186
    Securities and Regulation of the Stock Market...190
    Environement Protection...192
Summary...197

CONCLUSION...199
REFERENCES...205
INDEX...226" (p. v-vii)

___________" 'But They're Not Real Criminals': Downsizing Corporate Crime", in Bernard Schissel, 1950-, and Carolyn Brooks, eds., Marginality and Condemnation: An Introduction to Critical Criminology, Halifax, N.S. : Fernwood Pub., c2002, xv, 451 p., at pp. 215-233, ISBN: 1552660915; copy at Ottawa University, HV 6025 .M355 2002;
 

___________"Commercial Crime" in V. Sacco, ed., Deviance: Conformity and Control in Canadian Society, Scarborough: Prentice Hall Canada, 1988, 390 p., at pp. 231-283 (Chapter 6), ISBN: 0132083728; copy at Ottawa University, MRT General: HM 811 .D49 1988;
 

___________"Commercial Crime",  in V. Sacco, ed., Deviance: Conformity and Control in Canadian Society, 2nd ed., Scarborough: Prentice Hall Canada, 1992, vi, 410 p.,  at pp. 313-362, ISBN: 0132043483 at MRT General: HM 811 .D49 1992;
 

___________“Cooperative Models and Corporate Crimes: Panacea or Cop-Out^” (July 1990) 36(3) Crime & Delinquency 373–390; copy at Ottawa University, HV 6001 .N2  Location: MRT Periodicals;

___________"Eau empoisonnée, réglementation de l'environnement et crime contre l'environnement: création d'un nouveau sujet non coupable à Walkerton, en Ontario", dans Commission du droit du Canada, sous la direction de, Qu'est-ce qu'un crime?  Mémoires du concours perspectives juridiques 2002, Saint-Nicolas (Québec): Les Presses de l'Université Laval, 2005, 296 p., aux pp.253-296, ISBN:2763781276;
 

___________"History and Growth of the Corporation", in R.L. Campbell, ed., The Legal Framework of Business Enterprises, 3rd ed., North York, Ont. : Captus Press, 2001, vii, 394 p. (series; Canadian legal studies series), ISBN: 1553220234; copy at the National Library of Canada, Ottawa; title noted in my research but document not cosulted yet (as of 12 November 2003);
 

__________"Nouvelle donne législative et causes de la criminalité corporative", (1990) 30(1) Criminologie 9-34; copie à l'Université d'Ottawa, HV 6002 .A35  Location: MRT Periodicals; copie à la Bibliothèque de la Cour suprême du Canada, Ottawa;

"This paper examines the ideological and political collapse of laws regulating corporate crime in North America.  In an era where social control and criminalization are steadily increasing, corporate crime has been normalized, shorn of its negative, criminal implications, de-regulated in law.  The paper asks why this has happened, looking first at the century-long battle waged by labour and other counter-hegemonic groups to censure and control the antisocial acts of corporations through the passage of criminal legislation.  Second, it examines the role of criminology as a discipline played in this process, and the subsequent replacement of criminological discourse and influence by the newly-ascendent law and economics movement, which has provided the much of the academic support for de-regulation.  Both developments, it is argued, are linked to changes in global capitalism and the weakened nation-state.  Finally, the paper argues that the removal of regulation through criminal or administrative law, and of its accompanying rhetorics of denunciation, has grave consequences for social policy.  The structural and ideological forces of global capitalism that have normalized corporate crime have also provided ideal conditions for increases in its incidence and impact." (p. 9)

___________"Relocating Law: Making Corporate Crime Disappear" in Gordon West and Ruth Morris, eds., The Case for Penal Abolition, Toronto: Canadian Scholars' Press, 2000, 362 p., at pp. 229-258, ISBN: 1551301474; copy at Ottawa University, MRT Reserve, HV 8665 .C37 2000;
 

___________“Regulating Corporate Behavior,”  in Michael B. Blankenship, 1955-, ed., Understanding Corporate Criminality, New York: Garland Publishing, 1993, xxiii, 266 p., at pp. 177-210 (series; Garland reference library of social science; vol. 845) and (series; Garland reference library of social science; Current issues in criminal justice; 3), ISBN: 0815308833; copy at Ottawa University, MRT General, HV 8079 .W47 U53 1993;

[Contents]

[Introduction]...177

Characteristics of Regulatory Agencies...178

Characteristics of Agency Personnel...180

Characteristics of the Enforcement process...182

Politics and the Regulatory Process...187

Ideology and the Regulatory Process...193

Cooperation: An Alternative to Criminalization?...196

Limitations of the Cooperative Model...199

Summary...203

REFERENCES...204
 

___________"Towards a Political Economy of Reform, Regulation and Corporate Crime", (1987) 9(1) Law and Policy 37-68; copy at Ottawa University, K 3220 .L37  Location: FTX Periodicals;

"[Abstract]

This paper focuses on the passage and enforcement of laws regulating the corporate sector, specifying patterns which seem to emerge from this literature in the major English speaking democracies.

The creation of regulatory laws, the typical resistance by the industry and the state, and the crucial role of crises in the successful passage of laws are examined first.  The patterns which law enforcement follows, and the key role of the regulatory agency in shaping these, are delineated next.  The theoretical implications of these empirically based generalizations are then set out.

The author argues that neither the pluralist nor the mainstream Marxist analyses adequately explain the very real progress that has occurred over the past 400 years in containing corporate crime, because it has happened largely in spite of rather than because of laws and regulatory activity.  Real reform resulted because ongoing struggles forged at the ideological level, and this in turn led to improvements at the level of production.  By raising the price of legitimacy for corporations in a particular nation-state, prolaterian groups and their allies can create the conditions for change. Law and regulatory agencies have been of secondary importance, it is argued, in the struggle to restrain the predatory behavior of the corporate sector." (p. 37)

___________"White-Collar Crime", in James H. Marsh, editor in Chief, The Canadian Encyclopedia, 2nd ed., Edmonton: Hurtig Publishers, vol. 4, p. 2300, ISBN: 0888303262 (set of 4 volumes) and 0888303300 (volume 4);
 

SNYDER, Ronald M., 1959-, The 2002 Annotated Canada Labour Code, Toronto: Carswell, a Thomson Company, 2002, cxviii, 1080 p., ISBN: 0459271008,
 

SOPINKA, J., "The Charter of Rights and Corporations", in Canadian Institute for Advanced Legal Studies. Conference (1989 : Cambridge University) and Frank E. McArdle, ed., The Cambridge lectures 1989 : selected papers based upon lectures delivered at the Conference of the Canadian Institute for Advanced Legal Studies, 1989, held at Cambridge University, England / edited by Frank E. McArdle, Montréal : Éditions Y. Blais, c1990, xxii, 432 p. at pp. 127-134, ISBN: 2890737527; copy at the Library of the Supreme Court of Canada, Ottawa,
 

STELMAKOWICH, Angela, "Dutifully yours",  (January / February 2004) 20(1) OH & S Canada 34-39;
 

STENTOR TELECOM POLICY INC., "Reforming the General Part of the Criminal Code: A Consultation Paper -- Comments submitted to The Department of Justice Canada", submitted by Greg van Koughnett, Vice President, Legal and Corporate Affairs, [Ottawa]: [Stentor Telecom Policy], 28 February 1995, 9 p.,  documents 000456-000463; documents obtained by François Lareau further to an Access to Information Act request of 21 August 1998 to the Department of Justice Canada, request number A98-00147;
 

STUART, Don, "A Case for A General Part" in Don Stuart, 1943-, R.J. Delisle and Allan Manson, eds., Towards a Clear and Just Criminal Law: A Criminal Reports Forum, Scarborough (Ontario): Carswell, Thomson Professional Publishing, 1999, v, 574 p., at pp. 95-145, see "Corporations" at pp. 135-138, ISBN: 045927077X;
 

__________Canadian Criminal Law: A Treatise, 4th ed., Scarborough:  Carswell, 2001, liv, 733 p., see "Corporate Responsibility", at pp. 620-646, and on "one Person Companies" conspiracy, p. 690, ISBN: 0459261703 (bound) and 0459261118 (pbk.);  there is now a 5th ed.: Toronto: Thomson/Carswell, 2007, xix, 815 p., ISBN: 978 0779812950 (covers corporations, criminal organizations and terrorist groups);

Contents

Corporate Responsibility...629

1.  Canada...629
2.  United Kingdom...634
3.  United States...635
4.  Applying General Principles to Corporations...637
5.  Reform Options...640 (4th ed.)

__________"Punishing Corporate Criminals with Restraint", (1995) 6(2) Criminal Law Forum  219-256; copy at Ottawa University, K 5000 .A13 C747  Location: FTX Periodicals;
 

Supreme Court of Canada decisions / Arrêts de la Cour suprême du Canada

• Canadian Dredge & Dock Co. Ltd. et al. v. The Queen, [1985] 1 S.C.R. 662; available at  http://www.lexum.umontreal.ca/csc-scc/en/pub/1985/vol1/index.html (accessed on 20 October 2003);
 

• Dywidag Systems International,  Canada Ltd. v. Zutphen Brothers Construction Ltd., [1990] 1 S.C.R. 705; available at http://www.lexum.umontreal.ca/csc-scc/en/pub/1990/vol1/index.html (accessed on 21 November 2003);
 

• Irwin Toy Ltd. v. Quebec (attorney general), [1989] 1 S.C.R. 927; available at  http://www.lexum.umontreal.ca/csc-scc/en/pub/1989/vol1/index.html (accessed on 11 November 2003);
 

• R. v. Amway Corp., [1989] 1 S.C.R. 21; available at http://www.lexum.umontreal.ca/csc-scc/en/pub/1989/vol1/index.html (accessed on 11 November 2003);
 

• R. v. Big M Drug Mart Ltd., [1985] 1 S.C.R. 295; available at  http://www.lexum.umontreal.ca/csc-scc/en/pub/1985/vol1/index.html (accessed on 21 November 2003);
 

• R. v. CIP Inc., [1992] 1 S.C.R. 843; available at http://www.lexum.umontreal.ca/csc-scc/en/pub/1992/vol1/index.html (accessed on 11 November 2003);
 

• R. v. City of Sault Ste. Marie, [1978] 2 S.C.R. 1299;
 

• R. v. Wholesale Travel Group Inc., [1991] 3 S.C.R. 154; available at  http://www.lexum.umontreal.ca/csc-scc/en/pub/1991/vol3/index.html (accessed on 24 November 2003);
 

• Rhône (The) v. Peter A.B. Widener (The), [1993] 1 S.C.R. 497; available at  http://www.lexum.umontreal.ca/csc-scc/en/pub/1993/vol1/index.html (accessed on 24 November 2003);
 

• Slaight communications inc. v. Davidson, [1989] 1 S.C.R. 1038; available at  http://www.lexum.umontreal.ca/csc-scc/en/pub/1989/vol1/index.html (accessed on 21 November 2003);

 
• United Nurses of Alberta v. Alberta (Attorney General), [1992] 1 S.C.R. 901; available at  http://www.lexum.umontreal.ca/csc-scc/en/pub/1992/vol1/index.html (accessed on 11 November 2003);

SWAIGEN, John, 1944-, and Gail Bunt, Sentencing in environmental cases / study paper prepared for the Law Reform Commission of Canada, Ottawa : Law Reform Commission of Canada, 1985, [v], 81 p. (series; study paper; Protection of Life series), ISBN: 0662138295; copy at Ottawa University, FTX General: KE 9355 .A73 S92 1985; also published in French / aussi publié en français: John Swaigen, 1944-, et Gail Bunt, La détermination de la peine en droit de l'environnement: un document d'étude préparé à l'intention de la Commission de réforme du droit du Canada, Ottawa: La Commission de réforme du droit du Canada, 1985, [v], 94 p. (Collection; document d'étude; série Protection de la vie), ISBN: 0662930592; copie à l'Université d'Ottawa, FTX General: KE 9355 .A73 S9214 1985;
 

SWAIGEN, John, 1944-, Regulatory Offences in Canada: Liability and Defences, Toronto, Ont. : Carswell, 1992, xl, 250 p., hardcover, ISBN: 0459556657; note: Canadian Institute for Environmental Law & Policy"; copy at Ottawa University, FTX: Reserve KE 1277 .S827 1992;  copy at the Library of the Supreme Court of Canada, KF 1292 S93 1992;
 

TANOVICH, David M. and Gerry Ferguson, Annual Review of Criminal Law 2003, Toronto: Thomson/Carswell, 2004, xxvi, 400 p., see "New Criminal Code Provisions on Corporate Criminal Liability", at pp. 1-6, ISBN: 0459273713; important contribution;
 

THEN, Edward, "Corporate client liability"  in National criminal law program (2001 : Charlottetown, P.E.I.), ed., National criminal law program / The Federation of Law Societies of Canada, Charlottetown : Federation of Law Societies, 2001, in vol. 1 of 2; copy at Department of Justice Canada, Prairies Region, Edmonton Office, Law Library, call number: KF 9655 N36 2001; title noted in my research but document not consulted; no copy of this this document in the Ottawa area libraries;
 

TOLLEFSON, Chris, Case Comments, "Constitutional Law -- Charter of Rights -- Strict Liability Offences -- Reverse Onus Clauses -- Standing of Corporations -- Charter of Rights and Freedoms, ss. 1, 7, 11(1)(d) -- Competition Act, R.S.C. 1970, c. C-23, ss. 36(1)(a), 37.3(2): R. v. Wholesale Travel Group Inc.", (1992) 71Canadian Bar Review 369-383; copy at the University of Ottawa, KE 365 .A2 C344  Location: FTX Periodicals;
 

___________"Corporate Constitutional Rights and the Supreme Court of Canada", (1993-94) 19 Queen's Law Journal 309-349; copy at Ottawa University, KEO 180 .A13 Q43  Location: FTX Periodicals;

[Summary] "In this article, Professor Tollefson reflects on how the Supreme Court of Canada has responded to Charter claims advanced by corporations.  A close reading of this corporate rights jurisprudence reveals that the Court has invoked varying theories of the corporation as a legal entity.  As a result, the author contends, the jurisprudence in this area increasingly exhibits doctrinal contradictions." (p. 309)

___________"Ideologies Clashing: Corporations, Criminal Law, and the Regulatory Offence", (1991) 29 Osgoode Hall Law Journal 705-745; copy at the University of Ottawa, KEO 5 .O574  Location: FTX Periodicals;

"[Summary]  This article explores the ideological dimensions of the current debate over the constitutional status of the regulatory offence.  It contends that what animate this debate is an underlying conflict between competing liberal ideologies in which an emergent libertarian classical liberalism is increasingly undermining the dominance within legal discourse of a more statist-oriented pluralist liberalism.  Moreover, it suggests that it is a debate which is closely connected to a more far-reaching ideological controversy over the future of the regulatory state.  The article concludes by arguing that, within this debate, fundamental questions about the nature of corporate power and legal status are obscured, questions that a critical theory of the regulatory offence must confront." (p. 705)

TOUGAS, Marie-Louise, Transnational corporations and international law: Liability or impunity?, LL.M. thesis, Queen's University (Kingston, Ontario), 2004, 186 p.;
 
 

TRUDELL, William M., CCDL Corner, "Corporate Criminal Liability on the World Stage", (2003) 24(3) Criminal Lawyer's Association Newsletter - For the Defence 30-31; now available on QuickLaw;

"Bill C-45 started off as workplace safety legislation.  It now has become a monster..." (p. 30)

___________CCDL Corner, "The Corporate Veil is Not a Shield", (May/June 2002) 23(3) Criminal Lawyer's Association Newsletter - For the Defence 42-43;
 

TUCKER, Eric, "The Westray Mine Disaster and Its Aftermath: The Politics of Causation", (1995) 10 Canadian Journal of Law and Society 91-123;

"Abstract - Causation analysis is densely political in at least three ways. First, because causation is crucial to our system of attributing moral, legal and political responsibility, causation arguments are advanced for purely instrumental purposes. They do political work. Second, because any particular occurrence is  the outcome of an almost infinite number of antecedent events, "but for"  causation analysis produces trivial results. A judgement about causal significance  is required and will depend, in part, on the goals of the analysis. The choice of  goals is political, but unstated goals and hidden assumptions often exclude consideration of some possible causes as significant. These politics of causation  need to be made explicit. Third, the institutional setting in which official  determinations of causation are made influence the outcome. Hence, it is necessary to explore these as well. Each of these three dimensions of the politics of causation is explored through an analysis of the 1992 Westray mine disaster which killed 29 miners in Nova Scotia, and the official responses to it. It  is argued that if the goal is to protect workers and nothing else, then the  political-economic context that promotes the creation of hazardous conditions  must be considered a significant cause of harmful occurrences. It is unlikely, however, that any of the official responses to the disaster will take this approach." (p. 91; also available at  http://www.utpjournals.com/jour.ihtml?lp=cjls/cjls-101.html#WESTRAY, accessed on 5 November 2003; the abstract is also available in French / le résumé est aussi disponible en français à:http://www.utpjournals.com/jour.ihtml?lp=cjls/cjls-101.html#WESTRAY, visionné le 5 novembre 2003)

UNION OF BRITISH COLUMBIA MUNICIPALITIES, Letter of Mayor Steve Wallace, Chair, Justice and Protective Services Committee, to General Part Recodification, Communications and Consultation Branch, Department of Justice Canada, dated 26 January 1995, 2 p. on the Department of Justice Canada document, Reforming the General Part of the Criminal Code: A Consultation Paper, documents 000489-000490  obtained by François Lareau further to an Access to Information Act request of 5 March 1999 to the Department of Justice Canada, request number A99-00005;
 

UNITED STEELWORKERS, "Brief to Standing Committee on Justice and Human Rights on Amendments to the Criminal Code", presented by Lawrence McBrearty, National Director for Canada, United Steelworkers of America, May 8, 2002, 25 p., available at  http://www.uswa.ca/eng/westray/westray_brief.PDF(accessed on 20 October 2003); also available in French / aussi disponible en français: Syndicat des Métallos, "Mémoire présenté au Comité permanent de la justice et des droits de la personne sur les modifications au Code criminel", par Lawrence McBrearty, Directeur national pour le Canada, Métallurgistes unis d’Amérique, 8 mai 2002, 29 p., disponible à  http://www.uswa.ca/fr/westray/westray_fr.PDF (visionné le 20 Octobre 2003);
 

VIAU, Louise, "La question de la responsabilité des personnes  morales en droit canadien", (1994) 74 Revue de droit pénal et de criminologie 523-527; copie à la Bibliothèque de l'Université d'Ottawa, K 21 .D725  Location: FTX Periodicals;
 

___________"Réflexions sur la responsabilité pénale des personnes morales à l'heure de la Charte canadienne des droits et libertés" in Commercial crime and commercial law = Le droit des affaires face au droit pénal, Cowansville (Quebec) : Éditions Y. Blais, 1991, xvi, 467 p., aux pp. 232-255 (Collection; Conférences Commémoratives Meredith; 1990), ISBN: 2890737640; copy at the Library of the Supreme Court of Canada, KF385 ZA2 W35 1990;

"Synopsis

1.  Introduction...235

2.  L'application de la théorie de l'identification...236

2.1 Position du problèeme...236
2.2 La jurisprudence...239
2.3 Analyse...242

3. La possibilité pour les personnes morales d'invoquer la Charte pour échapper à une condamnation...245

3.1 Position du problème...245
3.2 La jurisprudence...248

3.2.1 L'article 7 de la Charte...248
3.2.2. L'alinéa 11(d)...252

3.3 Analyse...253

4 Conclusion...254" (p. 232)

YAROSKY, Harvey, "The Criminal Liability of Corporations", (1964) 10 McGill Law Journal 142-157;
 

WADDAMS, S.M., "Aler Ego and the Criminal Liability of  Corporations: Upholsters International Union of North America, Local 1 v. Hankin and Struck Furniture Ltd., et al.," (1966) 24 Faculty Law Review -- University of Toronto 145-153;

WANLESS, W. Cory, "Corporate Liability for International Crimes Under Canada's Crimes Against Humanity and War Crimes Act", (2009) 7 Criminal Journal of International Justice 201-221;

WATT, David, commentator, "Corporate Criminal Liability: The Identification Theory: Canadian Dredge and Dock v. The Queen, S.C.C. May 23, 1985",  (1985) 6 Criminal Law Audio Series, side 2, part 3, 6 minutes; copy at the Supreme Court of Canada, Ottawa;
 

WEBB, Kernaghan, "Controlling Corporate Misconduct through Regulatory Offenses: The Canadian Experience" in Frank Pearce and Laureen Snider, Corporate Crime: Contemporary Debates, Toronto: University of Toronto Press, 1995, xiii, 426 p., at pp. 339-351, ISBN: 0802006671 and 0802076211 (pbk.); copy at the Library of Parliament, Br. B HV 6768 C67;
 

WEIN, Bonnie J., "Environmental Responsibilities of Corporations and their Directors: the Bata Decision", in Canadian Bar Association. Ontario Branch. Continuing Legal Education, The New Battlefield for Litigators: Criminal Law Invades the Boardroom, Toronto : Canadian Bar Association-Ontario, Continuing Legal Education, 1992, 1 v. (various pagings), ISBN: 1895200849; copy at the National Library of Canada, Ottawa; title noted in my research but document not consulted yet;
 

WELLING, Bruce, 1949-, "Corporate criminals some views from Canada", in Lindy Jenkins, Prosecuting the corporation : issues and developments, Perth, W.A.: Centre for Commercial and Resources Law of the University of W.A. and Murdoch University, c1996, 19, [3], 3, 28 p., ISBN: 0864224761; title noted in my research but article not consulted yet; no copy of this book in Canada according to my verification of the AMICUS catalogue of 23 September 2004;
 

WESTRAY MINE PUBLIC INQUIRY, The Westray story: a predictable path to disaster: report of the Westray Mine Public Inquiry / K. Peter Richard, Commissioner, [Halifax, Nova Scotia]: Westray Mine Public Inquiry, 1997, 4 volumes; notes: v. 3: Reference; v. 4: executive summary; ISBN: 0888714653 (v. 1); 08887114661 (v. 2); 088871467X (v. 3); and 0888714688 (v. 4); note: the Executive Summary is available at  http://www.gov.ns.ca/enla/pubs/westray/execsumm.htm (accessed on 13 November 2003);

[Recommendation 73]
"The Government of Canada, through the Department of Justice, should institute a study of the accountability of corporate executives and directors for the wrongful or negligent acts of the corporation and should introduce in the Parliament of Canada such amendments to legislation as are necessary to ensure that corporate executives and directors are held properly accountable for workplace safety."

WESTRAY RESPONSE COMMITTEE, Westray, a plan of action: government's response to the report of the Westray Mine Public Inquiry, [Halifax, Nova Scotia]: Westray Response Committee, 1997, 56 p. (Chairman: Don Downe);

"Corporate Accountability

The Westray report renewed concerns about the accountability of corporations and their executives.  This was viewed as a weakness in the legal system.

Criminal accountability
Current situation: The Criminal code and all matters relating to criminal accountability fall within the exclusive constitutional jurisdiction of the federal government.

-----------
Inquiry Recommendation
73.  The Government of Canada, through the Department of Justice, should institute a study of the accountability of corporate executives and directors for the wrongful or negligent acts of the corporation and should introduce in the Parliament of Canada such amendments to legislation as are necessary to ensure that corporate executives and directors are held properly accountable for workplace safety.
------------

Government Response: Accept.  The Minister of Justice for Nova Scotia has referred this recommendation to the Federal Minister of Justice.

Action: Letter to Federal Minister of Justice

Accountability: Department of Justice

Timing: Completed" (p. 20)
 

WHITE,  Mervyn F., Bruce W. Long, and Shen Goh, "Bill C-45 and Its Effect on Criminal Liability and Insurance Coverage for Charities", 30 January 2004, in Terrance S. Carter, ed., Charity Law Bulletin , number 45; note: Law firm of Carter & Associates, affiliated with Fasken Martineau DuMoulin; available at  http://www.carters.ca/pub/bulletin/charity/2004/chylb35.htm (accessed on 3 March 2004);

[Contents]

A. Introduction
B. Effect of Bill C-45 on Criminal Liability

1. Criminal Negligence - Section 22.1
2. Criminal Offences Other Than Negligence - Section 22.2
3. A New Duty - Section 217.1

C. Effect of Bill C-45 on Insurance coverage
D. Conclusion

WILLIAMSON, Doug, "Police consider charging hospital in nurse's stabbing death", The Ottawa Citizen, 9 February 2006, p. A5;  case of Lori Dupont, nurse, killed by ex-boyfriend Dr. Marc Daniel while she was working at the hospital;

"The author critically examines Sentencing in Environmental Cases, a Report of the Law Reform Commission of Canada by John Swaigen and Gail Bunt.  The Report emphasizes the traditional sanctions for preventing pollution, including fines and incarceration.  The author believes, however, that more fundamental reforms are necessary in the area of environmental law -- the traditional remedies are inadequate and create problems, especially on a theoretical level, when they are applied to artificial entities such as corporations.  More innovative remedies, including divesture, licence revocation, and probation should be developed.  The author advocates decriminalization since civil law remedies would be both more flexible and more effective."
(p. 313)

----------------------------

Contents

I.  Introduction...314

II.  The Argument Regarding Fines...315

III.  The Argument Regarding Incarceration...321

IV.  Fundamental Reform...325

1.  Innovative Remedies...325
2.  Decriminalization...330

V.  Conclusion...332

WINTERDYK, John A., Canadian criminology, Scarborough, Ont. : Prentice Hall Canada Career & Technology, c2000, xviii, 590 p., see Chapter 11, "Organized and Corporate Crime: Economic Crimes of the Powerful, pp. 365-407, ISBN: 0130140961; copy at Ottawa University, MRT General, HV 6025 .W56 2000; copy at the Library of Parliament, HV 6025 .W56 2000;  title noted in my research but book not consulted yet;
 

WITTMAN, N.C., Case Comments and Notes, "Evidence -- Corporate Accused -- Privilege Against Self Incrimination -- Production of Documents -- Compellability as Crown Witness -- Regina v. J.J. Beamish Construction Co. Ltd.", (1967-68) 6 Alberta Law Review 103-108; copy at Ottawa University, KEA 4 .L23  Location: FTX Periodicals;
 

WOODS, Mervyn, "Lifting the Corporate Veil in Canada", (1957) 35 Canadian Bar Review 1176-1194;
 

WYLIE, Michael I., "Corporations and non-compellability right in criminal proceedings", (1990-91) 33 The Criminal Law Quarterly 344-363; copy at Ottawa University, KE 8802 .C534  Location: FTX Periodicals;

Contents

1. Introduction...344

2.  Existing Law...345

3.  Suggested Approach to Corporate Compellibility...351

(1) The Policies Behind the Rule Against Compellability...351
  (a) Historical...351
  (b) Current Justification for the Rule...352
(2) Corporations and the Non-Compellability Rule...354

4.  Conclusion...363

YOUNGER, J.W., "Rethinking Criminal Sanctions for Corporations", (18 November 1983) 2(4) Ontario Lawyers Weekly 14; copy at the Library of the Supreme Court of Canada, shelved with Lawyers Weekly;
 

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