updated and corrections / mise à jour et corrections: 2 June 2008
 

- 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, 2004-, Ottawa, Canada
First posted on the Internet on: 7 August 2004

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 II --  Comparative Law / Droit comparé

A-E
--------------------------------------
see also:

Part/Partie II: Comparative Law/Droit comparé
• F-K
• L-Q
• R-Z

Part/Partie I:  Canadian law / Droit canadien

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

ACEVEDO PINZO, Beatriz, La responsabilidad penal de las personas juridicas, Bogota : [S.n.], 1967, Thesis (LL.D.)--Pontificia Universidad Javeriana, 1967, 160 p.; copy at Ottawa University, FTX General: KHH 5451 .A7867 1967;

ACQUAAH-GAISIE,  Gerald, "Corporate Crimes: Criminal Intent and Just Restitution",  (2001) 13 Australian Journal of Corporate Law 219-228; available at  http://www-personal.buseco.monash.edu.au/~geraldg/Temp/corp_crimes_crim_intent.pdf (accessed on 3 June 2006);
 

ACQUAVIVA, Jean, et al., Le risque pénal dans l'entreprise, Levallois-Perret : Fidal éditions : Nouvelles Editions fiduciaires, c1996, 127 p., (Collection; La Réponse des praticiens, 0752-0409), ISBN: 2865440648 and 2908712067; titre noté dans mes recherches mais livre non consulté; aucune copie de ce livre dans les bibliothèques couvertes par le catalogue de la Bibliothèque nationale du Canada, AMICUS (vérification du 14 juin 2003);
 

ADDO, Michael K., ed., Human rights standards and the responsibility of transnational corporations, The Hague; Boston: Kluwer Law International, 1999, xxv, 384 p., ISBN: 9041112464; no copy of this book in the Ottawa area libraries according to my verification of the AMICUS catalogue of the National Library of Canada, Ottawa (11 April 2004);
 

ADLESTEIN, Alan L., "A Corporation's Right to a Jury Trial Under the Sixth Amendment", (1993-94) 27 University of California at Davis Law Review 375-458; copy at Ottawa University, KFC 69 .U54  Location: FTX Periodicals;

"TABLE OF CONTENTS

INTRODUCTION...376

  I. BACKGROUND: LAW AND PARADOXES...382

A. The Corporate Criminal Liability Paradox...383
B. The Constitutional Jury Right Paradox...388

  II. DEVELOPMENT OF THE INDIVIDUAL CONSTITUTIONAL
       RIGHT TO A CRIMINAL JURY TRIAL...396

A. The Opening Chapter -- The Federal 'Petty/Serious'
    Demarcation...396
B. The Middle Chapter -- Constitutional Incorporation and the
    Six Months Indicator...401
C. The Latest Chapter -- Blanton v. City of North Las Vegas and
    United States v. Nachtigal...410

  III. THE STATUTORY REFERENCE POINT APPROACH TO THE
        SIXT AMENDMENT..419

  IV. THE CRIMINAL CONTEMPT CASES AND THE STANDARD
       OF THE PENALTY ACTUALLY IMPOSED...425

A. The Natural Person Cases...425
B. The Entity Cases and Muniz v. Hoffman...428

  V. THE ADMINISTRATIVE PUNISHMENT OF CORPORATIONS AND THE SENTENCING GUIDELINES...438

A. Administrative Punishment...438
B. The Sentencing Guidelines and the New Chapter Eight...444

  VI. AN APPROACH TO SOLUTION...449

CONCLUSION...457" (p. 375)

AHERN, Deirdre, "Corporate Killing: The Way Forward?", (2003) 13(3) Irish Criminal Law Journal 10-14; copy at the Library of the Supreme Court of Canada;

AINSLIE, Elizabeth K., "Indicting Corporations Revisited: Lessons of the Arthur Andersen Prosecution", (Winter 2006) 43(1) American Criminal Law Review 107-142;

ALEXANDER, Cindy R., "On the Nature of Reputational Penalty for Corporate Crime: Evidence", (1999) 42 Journal of Law and Economics 489-526; copy at Ottawa University, KF 418 .E2 J653  Location: FTX Periodicals; abstract available at  http://econpapers.hhs.se/article/ucpjlawec/v_3A42_3Ay_3A1999_3Ai_3A1_3Ap_3A489-526.htm (accessed on 7 July 2004) and at  http://ideas.repec.org/a/ucp/jlawec/v42y1999i1p489-526.html (accessed on 7 July 2004);
 

ALEXANDER, Cindy R., Jennifer Arlen and Mark A. Cohen, "Regulating Corporate Criminal sanctions: Federal Guidelines and the Sentencing of Public Firms",  (1999) 42 Journal of Law and Economics 393-422; copy at Ottawa University, KF 418 .E2 J653  Location: FTX Periodicals;

"ABSTRACT
   Federal Sentencing Guidelines Governing Organizations purport to constrain judicial discretion over corpoerate criminal penalties.  We investigate the effect on courts' sentencing decision using pre- and post-Guidelines data, including evidence on cases and penalties that the Guidelines do not completely control.  We find that fines and total penalties are higher than they were previously.  Evidence that fines increased more in Guidelines-constrained case than elsewhere suggests the effort to constrain judicial discretion has had a direct effect.  Evidence of highrer total penalties, even in cases not directly constrained by the Guidelines, suggests that judges may have cooperated with the policy of imposing higher fines and total sanctions, although not to the extent that the Guidelines prescribe.  Our findings are inconsistent with the basic attitudinal model from the political science literature.  We explore other forces that may be at work." (p. 393)

ALEXANDER, Cindy R. and Mark A. Cohen, "New Evidence on the Origins of Corporate Crime", (1996) 17 Managerial and Decision Economics 421-435; copy at Ottawa University, HD 28 .M13  Location: MRT Periodicals;

[Abstract]
The intuition that poorly performing corporations are more likely to engage in crime is found through-out the contemporary literature on the economics of corporate misconduct. Yet little evidence of such a relationship exists. This paper presents new evidence on the relationship between prior performance and corporate crime using panel data on public corporations" (source: http://ideas.repec.org/p/fth/usjuat/96-05.html#author, accessed on 26 December 2003)

___________"Regulating Corporate Criminal Sanctions: Federal Guidelines and the Sentencing of Public Firms", (1999) 42 The Journal of Law and Economics 393-422; copy at Ottawa University, KF 418 .E2 J653  Location: FTX Periodicals;

"ABSTRACT

    Federal Sentencing Guidelines Governing Organizations purport to constrain judicial discretion over corporate criminal penalties.  We investigate the effect on court's sentencing decisions using pre- and post-Guidelines data, including evidence on cases and penalties that the Guidelines do not completely control.  We find that fines and total penalties are higher than they were previously.  Evidence that fines increased more in Guidelines-constrained cases than elsewhere suggests the effort to constrain judicial discretion has had a direct effect.  Evidence of higher total penalties, even in cases not directly constrained by the Guidelines, suggests that judges may have cooperated with the policy of imposing higher fines and total sanctions, although not to the extent that the Guidelines prescribe.  Our findings are inconsistent with the basic attitudinal model from the political science literature.  We explore other forces that may be at work." (p. 393)

___________"Why Do Corporations Become Criminals? Ownership, Hidden Actions, and Crime as an Agency Cost," (March 1999) 5(1) Journal of Corporate Finance 1-34;
 

ALEXIADIS, Stergios, "Grece [Greece]: Crimes against the Environment in Greece", (1994) 65 Revue internationale de droit pénal / International Review of Penal Law 959-971; note: Colloque préparatoire, section 1, Les atteintes à l'environnement, problèmes de droit pénal général, Ottawa (Canada), 2-6 novembre 1992;

"Liability of legal persons

    Greek penal law accepts the principle of criminal liability only of human persons.  Legal entities or legal persons of whatever kind are not criminally liable as such, even when the principals, directors or employees of such entities commit crimes.  There is no indication that this practice will be altered in the near future.¹

    The principle concerning non-liability of legal entities or persons applies to crimes against the environment as well as other crimes.  This meaans that only individuals who violate the provisions establishing crimes against the environment can be held criminally liable.  Nevertheless, where crimes provided for in paragraph 1 of article 28 of law Nr. 1650/1986 have resulted from the activity of a legal entity, regardless of the liability of the individual offender, the legal entity is responsible according to civil law to pay the total sum of the penal fine (pecuniary penalty) in the cases where it is not paid by the individual offender (paragraph 4, article 28, law Nr. 1650/1986). ...
------
1  Recommendation R(88) 18 of the Committee of European Ministers dealing with 'Criminal Liability of enterprises having legal personality for offencested in the exercise of their activities' has been signed by Greece under reservation." (p. 964)

ALLEN, Francis A., "La responsabilité pénale des sociétés privées en droit américain", (1957) 27 Revue internationale de droit pénal 9-48; copie à l'Université d'Ottawa, K 5012 .R47  Location: FTX Periodicals;
 

ALLEN, P. Blake, "What Canadians Need to Know About Changes to the United States Securities Law: The Sarbanes-Oxley Act and Initiatives of the New York Stock Exchange, Nasdaq and the State of California", (2002) 5(2) Canadian International Lawyer 84-89; copy at the Library of the Supreme Court of Canada, periodicals;

[Contents]

[Introduction]

Potential Criminal Liability for CEOs and CFOs...85

Ban on Loans to Executive Officer and Directors...86

'Real Time' Disclosure of Insider Transactions...86

'Real Time' Disclosure of Company Developments...86

Protection of Whistle-Blowers...87

Attorney Reporting of Violations...87

Financial Disclosure...87

Audit Committee...88

Code of Ethics for Principal Executive Officers and Senior Financial Officers...88

Public Accounting Firms...88

Disgorgement of Executive Compensation upon Restatement...88

NYSE and Nasdaq Initiatives...88

California Corporate Disclosure Act...89

Conclusion...89

ENDNOTES...89

ALLENBAUGH, Mark H., Comment, "What's Your Water Worth?:  Why We Need Federal Fine Guidelines For Corporate Environmental Crime", (1999) 48(4) American University Law Review 925-966; copy at Ottawa University, KF 4225 .A425  Location: FTX Periodicals;

"TABLE OF CONTENTS

Introduction...926

  1. A Brief History of the United States Sentencing Commission
      and the Organizational Guidelines...932

A. The Formation of the United States Sentencing Commission...932
B. The Organizational Sentencing Guidelines...933

  II. Why Environmental Crime Was Excluded from the Organizational
       Guidelines' Fine Provision...937

A. The problem of Determining Base Fines...938

B. The Problem of Determining Culpability...939

C. The Problem of Overlapping Enforcement...940

D. The Problem of Balancing Economic and Environmental Interests...940

  III. The Proposed Guidelines for Organizational Environmental Crime...941

A. The Mechanics of the Proposed Guidelines...942

B. Why the Proposed Guidelines Were Not Adopted...943

  IV. Why It Is Time to Implement Sentencing Guidelines for Organizational
         Environement Crime...945

A. Sentencing Solutions Exist...946

1. Scaling fines to the statutory maximum...946
2. Using 'reactive fault' as a measure of culpability...947
3. Managing overlapping enforcement...948
4. The limits of cost-benefit analysis in regard to public policy...951

B. The Propososed Guidelines Offer an Equitable Sentencing Structure...952

C. The Public Perception of Organizational Environmental Crime: Substantive
     Punishment Is Deserved...959

Conclusion...962
Appendices...964" (pp. 925-926)

ALSCHULER, Albert W., Comment, "Ancient Law and the Punishment of Corporations: Of Frankpledge and Deodand", (1991) 71 Boston University Law Review 307-313; copy at Ottawa University, K 2 .O678  Location: FTX Periodicals;
 

ALWART, Heiner, "Establishing a Basis for Criminal Responsibility of Collective Entities",  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. 143-152 (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 13 December 2003);
 

AMANN, Diane Marie, "Capital Punishment: Corporate Criminal Liability for Gross Violations of Human Rights", (2000-01) 24 Hastings International and Comparative Law Review 327-337; copy at Foreign Affairs and International Trade, Library/Affaires étrangères et Commerce international, Bibliothèque, V.7 #1 1984- K 8 .H13 PER;
 

AMAR, Jacques, "Contribution à l'analyse économique de la responsibilité pénale des personnes morales", (octobre 2001) 13(10) Revue de droit pénal 4-7, chronique numéro 37; copie à l'Université d'Ottawa, FTX Periodicals, KJV 7972. D757;
 

AMAZI, M., "La responsabilité pénale des sociétés commerciales en droit marocain", (1987) 58 Revue internationale de droit pénal 57-68; note: "Les sociétés commerciales et le droit pénal, Colloque organisé les 2, 3 et 4 mai 1985 à la Faculté de Droit et des Sciences Politiques et Économiques de Tunis par l'Association Tunisienne de Droit Pénal et le Centre d'études, de recherches et de publications de la Faculté de Droit et des Sciences Politiques et Économiques de Tunis";

Table des matières

I.  UNE ATTITUDE FAVORABLE À L'ADMISSION DE LA
    RESPONSABILITÉ PÉNALE DES PERSONNES MORALES...60

II.  LES CONSÉQUENCES LIMITÉES DE CETTE ATTITUDE...64
 

"As far as the jurisdiction over natural persons is concerned, paragraph 1 states the obvious.  Already the International Military Tribunal found that international crimes are 'committed by men not by abstract entities'.  However, the decision whether to include 'legal' or 'juridical' persons within the jurisdiction of the court was controversial.  The French delegation argued strongly in favour of inclusion since it considered it to be important in terms of restitution and compensation orders for victims.  The final proposal presented to the Working Group was limited to private corporations, excluding states and other public and non-profit organizations.  Further, it was linked to the individual criminal responsibility of a leading number of a corporation who was in a position of control and who committed the crime acting on behalf of and with the explicit consent of the corporation and in the course of its activities.  Despite this rather limited liability, the proposal was rejected for several reasons which as a whole are quite convincing.  The inclusion of collective liability would detract from the Court's jurisdictional focus, which is on individuals.  Furthermore, the Court would be confronted with serious and ultimately overwhelming problems of evidence.  In addition, there are not yet universally recognized common standards for corporate liability; in fact, the concept is not even recognized in some major law systems.  Consequently, the absence of corporate criminal liability in many states would render the principle of complementary (article 17) unworkable." (pp. 477-478; notes omitted).

AMERICAN ASSOCIATION OF JURISTS and CETIM (Centre Europe -- Tiers Monde / Europe Third World Centre), "Will the UN compel transnatioanl corporations to comply with international human rights standards?," 2002, 16 p.; available at  http://www.aaj.org.br/artigos/02stn1_en.pdf (accessed on 31 December 2004);
 

___________"Written statement submitted by the Europe-Third World Centre, a non-governmental organization in general consultative status and
the American Association of Jurists (AAJ),   a non-governmental organization in special consultative status", 2004, published by the United Nations, Economic and Social Council, Commission on Human Rights, E/CN.4/2004/NGO/122, 8 March 2004; available at  http://www.unhchr.ch/huridocda/huridoca.nsf/0/484B0AD7A2BF4BCAC1256E58004B6B93/$File/G0411628.pdf?OpenElement (accessed on 31 December 2004);
 

AMERICAN BAR ASSOCIATION, Standing Committee on Association Standards for Criminal Justice,  Collateral consequences of convictions of organizations : final report, [Chicago, Ill.] : American Bar Association, [c1991], 108, 17, [11] p; notes: "At head of title: American Bar Association, Fund for Justice and Education, Section of Criminal Justice, White Collar Crime Committee. Cover title.  "February 1991", ISBN: 0897076796 (pbk.); title noted in my research but book not consulted; no copy of this publication in the Ottawa area libraries covered in the AMICUS catalogue of the Library and Archives Canada, Ottawa (verification of 18 July 2004);
 

___________Representing the corporation and its officers in criminal proceedings, [Chicago, Ill.] : ABA Section of Business Law, c1999, 53 p. (series; American Bar Association (Microform series); KF325.12324.A8R47 1999; notes: At head of title: San Francisco, 1999 Spring Meeting; Microfiche. [Buffalo, N.Y.] : W.S. Hein, [2002]. 1 microfiche : negative. (ABA : KF325.12324.A8R47 1999);  title noted in my research but book not consulted; no copy of this publication in the Canadian libraries covered in the AMICUS catalogue of the Library and Archives Canada, Ottawa (verification of 18 July 2004);
 

AMERICAN BAR ASSOCIATION TASK FORCE ON CORPORATE RESPONSIBILITY, "Preliminary Report of the American Bar Association Task Force on Corporate Responsibility July 16, 2002", (November 2002) 58(1) The Business Lawyer 184-218; copy at Ottawa University, FTX Periodicals, KF 297. A1 B877;

[CONTENTS]

[INTRODUCTION]...189

PART I: INTRODUCTION AND OVERVIEW...190

- BACKGROUND OF RECENT FAILURES OF CORPORATE
  RESPONSIBILITY...190
- IDENTIFYING CRITICAL CAUSES OF FAILURES OF CORPORATE
  RESPONSIBILITY...193
- SUBJECTS OF THE TASK FORCE'S RECOMMENDATIONS...194

PART II: RECOMMENDATIONS REGARDING INTERNAL CORPORATE
GOVERNANCE...195

- INTRODUCTORY PERSPECTIVES...195
- PROPOSED CORPORATE GOVERNANCE RECOMMANDATIONS...197

PART III: RECOMMENDATIONS REGARDING THE CONDUCT OF LAWYERS...201

- INTRODUCTORY PERSPECTIVE...201
- PROPOSED AMENDMENTS TO THE MODEL RULES OF PROFESSIONAL
  COMDUCT...202

- Communication Between General Counsel and Independent Directors...209
- Communication Between Outside Counsel and General Counsel...211

- ISUES FOR FURTHER STUDY...212

EXHIBIT A -- SUMMARY OF RECOMMENDATIONS...213
EXHIBIT B -- SELECTED MODEL RULES OF PROFESSIONAL CONDUCT...215

AMERICAN CORPORATE COUNSEL ASSOCIATION BUREAU OF NATIONAL AFFAIRS (Washington, D.C.), BNA/ACCA compliance manual : prevention of corporate liability, current report, [Washington, D.C.] : Bureau of National Affairs : American Corporate Counsel Association, [c1993]-, 2 volumes (loose-leaf); title noted in my research but document not consulted; no copy of this book in the librairies covered by the catalogue of the National Library of Canada, AMICUS (verification of 15 June 2004);
 

THE AMERICAN LAW INSTITUTE, Model Penal Code and Commentaries (Official Draft and Revised Comments) Part I  General Provisions §§ 1.01 to 2.13, Philadelphia (PA): The American Law Institute, liii, 420 p., see § 2.07, "Liability of Corporations", at pp. 329-348;
 

___________Model Penal Code: Proposed Official Draft, Philadelphia: The American Law Institute, 1962, xxii, 346 p., see section 2.07;

"Section 2.07.  Liability of Corporations, Unincorporated Associations and Persons Acting, or Under a Duty to Act, in Their Behalf.

(1) A corporation may be convicted of the commission of an offense if:

(a) the offense is a violation or the offense is defined by a statute other than the Code in which a legislative purpose to impose liability on corporations plainly appears and the conduct is performed by an agent of the corporation acting in behalf of the corporation within the scope of his office or employment, except that if the law defining the offense designates the agents for whose conduct the corporation is accountable or the circumstances under which it is accountable, such provisions shall apply; or

(b) the offense consists of an omission to discharge a specific duty of affirmative performance imposed on corporations by law; or

(c) the commission of the offense 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 office or employment.

(2) When absolute liability is imposed for the commission of an offense, a legislative purpose to impose liability on a corporation shall be assumed, unless the contrary plainly appears.

(3)  An unincorporated association may be convicted of the commission of an offense if:

(a) the offense is defined by a statute other than the Code which expressly provides for the liability of such an association and the conduct is performed by an agent of the association acting in behalf of the association within the scope of his office or employment, except that if the law defining the offense designates the agents for whose conduct the association is accountable or the circumstances under which it is accountable, such provisions shall apply; or

(b) the offense consists of an omission to discharge a specific duty of affirmative performance imposed on associations by law.

(4) As used in this Section:

(a) "corporation" does not include an entity organized as or by a governmental agency for the execution of a governmental program;

(b) "agent" means any director, officer, servant, employee or other person authorized to act in behalf of the corporation or association and, in the case of an unincorporated association, a member of such association;

(c)  "high managerial agent" means an officer of a corporation or an unincorporated association, or, in the case of a partnership, a partner, or any other agent of a corporation or association having duties of such responsibility that his conduct may fairly be assumed to represent the policy of the corporation or association.

(5) In any prosecution of a corporation or an unincorporated association for the commission of an offense included within the terms of Subsection (1)(a) or Subsection (3)(a) of this Section, other than an offense for which absolute liability has been imposed, it shall be a defense if the defendant proves by a preponderance of evidence that the high managerial agent having supervisory responsibility over the subject matter of the offense employed due diligence to prevent its commission. This paragraph shall not apply if it is plainly inconsistent with the legislative purpose in defining the particular offense.

(6) (a)  A person is legally accountable for any conduct he performs or causes to be performed in the name of the  corporation or an unincorporated association or in its behalf to the same extent as if it were performed in his own name or behalf.

(b) Whenever a duty to act is imposed by law upon a corporation or an unincorporated association, any agent of the corporation or association having primary responsibility for the discharge of the duty is legally accountable for a reckless omission to perform the required act to the same extent as if the duty were imposed by law directly upon himself.

(c).When a person is convicted of an offense by reason of his legal accountability for the conduct of a corporation or an unincorporated association, he is subject to the sentence authorized by law when a natural person is convicted of an offense of the grade and the degree involved." (pp. 35-37)

___________Model Penal Code, Tentative Draft No 4, Philadelphia: The American Law Institute, 1955, xv, 302 p., see "Section 2.07.  Liability of corporations, unincorporated associations and persons acting, or under a duty to act, in their behalf", at pp. 146-155;

"The law of corporate criminal responsibility is of comparatively recent origin, the modern development having occurred almost entirely within the last century-and-a-quarter.  In the early years the recognition of corporate responsibility was inhibited by certain procedural difficulties, on the one hand, and certain conceptual notions, on the other.  The most persistent of the latter was the idea that a corporation might not be held for a crime involving a criminal intent.  In recent years most of these limitations have been swept aside.  The modern development, however, has proceeded largely without reference to any intelligible body of principle and the field is characterized by the absence of articulate analysis of the objectives thought to be attainable by imposing criminal fines on corporate bodies." (p. 146)

___________Model Penal Code, Tentative Draft No. 5, Philadelphia: The American Law Institute, 1956, xi, 187 p., see "Section 2.07.  Liability of Corporations, Unincorporated Associations and Persons Acting, or Under a Duty to Act, in Their Behalf", at pp. 67-69;
 

___________Proceedings American Law Institute, 33rd Annual Meeting, 1956,  Philadelphia: The American Law Institute, 1956, at pp. 170-207; the Supreme Court of Canada Library, Ottawa has a microfiche copy of these proceedings;
 

___________Proceedings American Law Institute, 39th Annual Meeting, 1962,  Philadelphia: The American Law Institute, 1963, at pp. 80-81 and 226; the Supreme Court of Canada Library, Ottawa has a microfiche copy of these proceedings;
 

AMERICAN LAW INSTITUTE - AMERICAN BAR ASSOCIATION COMMITTEE ON CONTINUING PROFESSIONAL EDUCATION, "Criminalization" of civil law claims : April 18-19, 1991, New York, New York, Philadelphia (PA): American Law Institute-American Bar Association Committee on Continuing Professional Education, c1991, xii, 243 p.; note: "C640"; title noted in my research but document not consulted; no copy of this book in the librairies covered by the catalogue of the National Library of Canada, AMICUS (verification of 18 June 2004);
 

____________Enron, WorldCom, and the Sarbanes-Oxley Act of 2002 : corporate governance, financial disclosure, auditing, and other issues : November 21-22, 2002, Washington, D.C. : ALI-ABA course of study materials, Philadelphia, PA : American Law Institute-American Bar Association Committee on Continuing Professional Education, c2001, xx, 506 p.;  title noted in my research but document not consulted; no copy of this book in the librairies covered by the catalogue of the National Library of Canada, AMICUS (verification of 15 June 2004);

AMNESTY INTERNATIONAL, Human Rights Guidelines for Companies, available at  http://www.amnesty.org.uk/business/pubs/hrgc.shtml  (accessed on 27 December 2005);
 

AMOROSO, Henry J., "Organizational Ethos and Corporate Criminal Liability", (1995) 17 Campbell Law Review 47-70; title noted in my research; article not read; no copy of this periodical in the Ottawa area libraries;
 

ANCEL, Marc, "Les sanctions en matière économique" dans *International Congress of Comparative Law (5th : 1958: Brussels), Rapports généraux au V^e Congrès international de droit comparé Bruxelles, 4-9 août 1958, Bruxelles: Bruylant, 1960, 2 volumes, au vol. 1, pp. 851-868 (Collection; Centre interuniversitaire de droit comparé; volumes 1 et 2); titre noté dans mes recherches mais article non consulté; aucune copie dans les bibliothèques de la région d'Ottawa selon ma vérification du catalogue AMICUS de Bibliothèque et Archives Canada (vérification du du 1^er janvier 2005); aucune copie également à la Bibliothèque du Parlement;
 

ANDERSON, Douglas S., "Corporate Homicide: The Stark Realities of Artificial Beings and Legal Fictions", (1980-81) 8 Pepperdine Law Review 367-417; copy at Ottawa University, KFC 69 .P46  Location: FTX Periodicals;

"[Abstract]

  In the aftermath of one of the most highly publicized trials in product liability annals -- the celebrated Pinto case -- the legal question raised by that litigation remains unresolved.  Controversy continues as to whether a corporation should be convicted of homicide when it knowingly markets an unsafe product that results in death.  Today the answer is a resounding 'no', in light of state statutes defining homicide as the killing of one human being by another, difficulties in finding the requisite criminal intent, and the practical problems of placing a legal fiction behind bars.  However, there are recent indications that these present obstacles to a corporate homicide conviction appear to be dissolving.

  The author explores the theories of corporate criminal liability as they relate to homicide and examines the attitudes and policies upon which those theories are predicated.  Finally, the author examines legislative proposals which attempt to expand present liability schemes aimed at deterring individual acts of reckless disregard for human life to include similar acts inflicted by the corporate body." (p. 367)
 

[Contents]

I. Introduction...231

II. Interpretation of Applicable Texas Penal Code Provision...234

III. Comparison with Other Jurisdictions...240

IV. Vaughan & Sons Inconsistent with Other Jurisdictions...246

V. Vaughan & Sons  Contrary to Public Policy...250

VI. Conclusion...252
 

ANGELIS, Francesco de, "Allocution d'ouverture", (avril-juin 1997) Revue de science criminelle et de droit pénal comparé 255-258; copie à l'Université d'Ottawa, KJJ 0 .R489  Location: FTX Periodicals; aussi publié dans: La responsabilité pénale dans l'entreprise: vers un espace judiciaire européen unifié?, sous la direction de Mireille Delmas-Marty, Paris: Dalloz, 1997, ISBN: 2247027458 (même pagination que dans la revue); note:  partie des travaux de la Journée d'études du 13 décembre 1996  "consacrés au thème de la responsabilité pénale dans l'entreprise (art. 10 à 14 du Corpus)" (p. 253);
 

"Annexe 2.  Articles 10 à 14 du Corpus juris",  (avril -juin1997) Revue de science criminelle et de droit pénal comparé 368-369; copie à l'Université d'Ottawa, KJJ 0 .R489  Location: FTX Periodicals; aussi publié dans: La responsabilité pénale dans l'entreprise: vers un espace judiciaire européen unifié?, sous la direction de Mireille Delmas-Marty, Paris: Dalloz, 1997, ISBN: 2247027458 (même pagination que dans la revue); note: partie des travaux de la Journée d'études du 13 décembre 1996 "consacrés au thème de la responsabilité pénale dans l'entreprise (art. 10 à 14 du Corpus)" (p. 253);
 

ARKIN, Stanley S., lead author, with Earl C. Dudley, Jr., Michael Eisenstein, Jed S. Rakoff, Donald M. Re, and John S. Siffert, Business Crime: Criminal Liability of the Business Community, Matthew Bender, 1981-, 7 volumes, ISBN: 0820512656, loose-leaf;

"Description

The most complete guide to the many criminal questions that can arise in modern business practice. Provides how-to guidance for: setting up compliance programs to prevent corporate liability; effectively conducting internal corporate investigations, and parallel administrative, civil and criminal proceedings.

Also included are:

Authoritative discussions of substantive law, including comprehensive coverage of insider trading and fraud against the government.

The tactical and case law information you need for grand jury representation or monitoring criminal counsel.

Forms covering every area and stage of business crime practice.

Also includes Business Crime Commentary, a bi-monthly reporter providing a lead article addressing business crime issues and annotations of recent cases impacting on the practice of business crime counsel." (source: http://bookstore.lexis.com/bookstore/product/10401.html (accessed on 15 July 2004)
 

___________"Why the Commission's Proposal Is Not Good Economics", (November/December 1990) 3 Federal Sentencing Reporter 138; 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 the National Library of Canada (27 May 2004);
 

ARLEN, Jennifer and Reiner Kraakman, "Controlling Corporate Misconduct: An Analysis of Corporate Liability Regimes", (1997) 72 New York University Law Review 687-779; copy at Ottawa University, KFN 69 .N493  Location: FTX Periodicals; with the same title at  http://www.law.harvard.edu/programs/olin_center/papers/pdf/216.pdf (accessed on 6 March 2004);

"[Abstract]

Corporations have historically been held to a standard of strict vicarious liability for the wrongdoing of their employees.  However, several areas of federal and state law have shifted to new duty-based schemes that mitigate liability for companies that have implemented compliance programs or reported wrongdoing to the government.  Some states even grant privilege to environmental audit reports.

Professors Arlen and Kraakman compare the norm of vicarious liability with various types of duty-based liability regimes, analyzing the benefits and costs of each approach.  They conclude that social welfare is maximized by a mixed regime that includes elements of both strict and duty-based liability.  The authors find that the mixed liability regime with the widest application is a composite regime, which imposes high penalties subject to mitigation for firms that engage in compliance activities.  Under this regime, firms that satisfy all enforcement duties would nonetheless face substantial residual liability equal to the harm caused by wrongdoing divided by its probability of detection.  They then examine the existing composite liability regimes embodied in the United States Sentencing Guidelines for corporate defendants and the evidentiary privileges that many states have adopted for companies' environmental audit reports.  They conclude that both current approaches are flawed, as they do not adequately create proper incentives for companies to monitor, investigate, and report employee wrongdoing." (pp. 687-688)
 

"TABLE OF CONTENTS

A. INTRODUCTION...1

B. UNITED STATES OF AMERICA...3

B.1 EVOLUTION OF THE CONCEPT OF CORPORATE
       MANSLAUGHTER...3
B.2 PRESENT POSITION OF LAW...6

C. UNITED KINGDOM...8

C.1 THE CORPORATE HOMICIDE BILL, 2000...8
C.2 GENESIS OF THE CONCEPT OF CORPORATE KILLING...8
C.3 JUDICIAL INTERPRETATION...10
C.4 A CRITIQUE...13

D. AUSTRALIA AND NEW ZEALAND...14

D.1 LORD HALDANE’S ENUNCIATION OF THE PRINCIPLE...15
D.2 STATUTORY ENUNCIATION OF THE PRINCIPLE...15
D.3 FORMS OF CORPORATE CRIMINAL LIABILITY...16
D.4 POSITION IN NEW ZEALAND...17
D.5 CORPORATE MANSLAUGHTER...18
D.6 A CRITIQUE...21

E. CONCLUSION...23" (p. i)

ASSOCIATION BELGE DES JURISTES D'ENTREPRISES.  COLLOQUE (1999; Bruxelles) / Association des juristes praticiens du droit social. Colloque (1999; Bruxelles), Les sociétés bientôt punissables : quel impact sur la vie des entreprises ? : actes du colloque du Jeudi 27 mai 1999 / Association belge des juristes d'entreprise, Association des juristes praticiens du droit social = Vennootschappen weldra strafbaar : wat is de weerslag op het bestaan van de ondernemingen ? : akten van het colloquium dd Donderdag 27 mei 1999 / Belgische vereniging van bedrijfsjuristen, Vereniging van praktijkjuristen in sociaal recht, Vereniging voor arbeidsrecht, Bruxelles : Bruylant, 1999, 236 p., ISBN: 2802713078; titre noté dans mes recherches; aucune copie de ce livre dans les bibliothèques de la région d'Ottawa selon ma vérification du catalogue AMICUS de la bibliothèque nationale du Canada (vérification du 19 juin 2004); copie à l'Université de Montréal, HAHD S678 1999; copie à l'Université Laval, KJK 3895 A85 1999;
 

ASSOCIATION FRANÇAISE DE DROIT PÉNAL, Congrès (9e : 1987 : Lyon, France), Bilan et perspectives du droit pénal de l'entreprise / IXe Congrès de l'Association française de droit pénal, Lyon, 26-28 novembre 1987, Aix-en-Provence : Presses universitaires d'Aix-Marseill; Paris : Economica, c1989, 254 p., ISBN: 2717817891; not at Ottawa University; copie aux bibliothèques suivantes: 'Université de Montréal, HAFF/A849/1987b; Université Laval, KJV/2281/A67/1987; Dalhousie University, KE 1142 A84 1987; ouvrage non consulté;
 

ASSOCIATION INTERNATIONALE DE DROIT PÉNAL, IIe Congrès tenu à Bucarest en 1929, (1929) Revue internationale de droit pénal 219-310; titre noté dans mes recherches mais aucune copie de ce volume particulier dans la région d'Ottawa;
 

___________Projet de résolution adopté, XIVe Congrès de l'Association, (1988) 50 Revue internationale de droit pénal 519-523; texte français et anglais; recommendation in French and English;

"XIVème Congrès International de Droit Pénal.  Colloque préparatoire sur la Question 1: LES PROBLÈMES JURIDIQUES ET PRATIQUES POSÉS PAR LA DIFFÉRENCE ENTRE LE DROIT CRIMINEL ET LE DROIT ADMINISTRATIF PÉNAL.  STOCKHOLM, 14-17 JUIN 1987.

[...]

Recommandations suivantes

I. Principes de droit substantiel [...]

b) La responsabilité en matière de Droit pénal devrait, pour les personnes physiques, se fonder sur l'existence d'une faute personnelle (intention ou négligence).

c) Mais la nature des sanctions administratives pénales peut faciliter, par rapport au Droit Pénal, l'admission du principe de la responsabilité des personnes morales."

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

"XIVth International Congress on Penal Law.  Pre-Colloquium.  Question 1: THE LEGAL AND PRACTICAL DIFFERENCE BETWEEN CRIMINAL LAW AND ADMINISTRATIVE PENAL LAW.  STOCKHOLM, JUNE 14-17, 1987.

...

Recommendations

I. Principles of Substantive Law ...

b) Administrative penal responsibility of physical persons should be based on personal fault (intent or negligence).

c) However, the nature of administrative penal sanctions makes the field of administrative penal law more than criminal law conductive to the recognition of corporate liability."

___________Résolutions du Coloque préparatoire, Fribourg-en- Brisgau, 20-23 septembre1982 au XIIIe Congrès de l'Association internationale de droit pénal, "Conceptions et principes du droit pénal économique et des affaires y compris la protection du consommateur", (1983) 54 Revue internationale de droit pénal 77-79;

"Culpability and criminal responsibility
......
10.  Criminal responsibility on account of offences by employees is to be recognized in the chain of command when there is both a breach of supervisory duty and personal culpability.  The general principles of participation are not affected by this recommendation.

11. Criminal responsibility of legal entities is recognized in an increasing number of countries as an appropriate way of controlling economic and business offences.  Countries which do not recognize such criminal liability, may wish to consider the possibility of imposing administrative sanctions against such entities" (p. 78)
 

"Art. 33 b
Individual and State Responsibility

1. A person who commits a crime under this Statute is individually responsible and liable for punishment.

2. The official position of an individual who commits a crime under this Statute and particularly the fact that he acts as head of state or government or as a responsible government official does not relieve him of criminal responsibility nor mitigate
punishment.

3. The fact that a crime under this Statute was committed by a subordinate does not relieve his superiors of criminal responsibility, if they knew or had reason to know, under the circumstances of the time, that the subordinate was committing or was going to commit such a crime and if they did not take all necessary measures within their power to
prevent or repress the crime.

4. The fact that the present Statute provides criminal responsibility for individuals does not prejudice the responsibility of states or corporate liability under international law." (p. 50; emphasis in bold added)

AUDÉOUD, Olivier, "Les collectivités publiques non-étatiques", dans, sous la direction de Hervé Ascensio, Emmanuel Decaux et Alain Pellet, Droit international
pénal / Centre de droit international de l'Université de Paris X - Nanterre (CEDIN Paris X), Paris : Pedone, 2000, xvi, 1053 p., chapitre 12, aux pp. 151-154,
ISBN: 2233003721; copie à la Bibliothèque de l'Université d'Ottawa, FTX General, K 5055 .D76 2000;
 

AUSTRALIA, Australian Capital Territory (ACT), Crimes (Industrial Manslaughter) Amendment Act 2003, available at  http://www.legislation.act.gov.au/a/2003-55/default.asp (accessed on 23 February 2004); in force 1 March 2004;

AUSTRALIA, Australian Law Reform Commission, Same crime, same time: sentencing of federal offenders, Sydney: Australian law Reform Commission, 2006, 924 p. (series; report; Australian Law Reform Commission; number 103), ISBN:  0975821334; available at http://www.austlii.edu.au/au/other/alrc/publications/reports/103/ (accessed 1 September 2006) and see chapter 30, "Corporations", available at http://www.austlii.edu.au/au/other/alrc/publications/reports/103/36.html (accessed 1 September 2006);
 

AUSTRALIA, Commonwealth of Australia (federal legislation), Criminal Code 2002, see Part 2.5, available at  http://www.legislation.act.gov.au/a/2002-51/default.asp (accessed on 28 December 2003);
 

___________Criminal Code Act 1995 (web site #1) and  Criminal Code Act 1995  (web site # 2), see sections 12.3 and 12.4;
 

___________ Criminal Code Bill 1994, Explanatory Memorandum, Circulated by authority of the Minister for Justice, the Hon. Duncan Kerr, The Parliament of the Commonwealth of Australia, House of Representatives, 1994, 42 p.;

"PART 2.5 -- CORPORATE CRIMINAL RESPONSIBILITY
DIVISION 12

Proposed section 12.1 -- General Principles

Proposed subsection 12.1(1) provides that the Code applies to bodies corporate in the same way as it applies to individuals.  It provides that this occurs with such modifications as are set out in the Part and with such other modifications as are made necessary because criminal liability is being imposed on bodies corporate rather than individuals.

While some of those modifications are set out in the section itself, others will have to be developed by the courts as this area develops.  The subsection applies the general principles of liability, such as the definition of conduct in proposed subsection 4.1(2) and the definitions of the various fault elements in proposed sections 5.1-5.6 (eg recklessness in proposed section 5.4) to companies.

Subsection 12.1(2) provides a body corporate may be found guilty of any offence, including one punishable by imprisonment.  The English Draft Code (s. 30(7)) restricts liability to offences punishable by a fine.  This is not acceptable, see for example, VLRC, Homicide paras 15-21.

Proposed section 12.2 -- Physical elements

This proposed section provides that if a physical element of an offence is committed by an employee, agent or officer of a body corporate acting within the actual or apparent scope of his or her employment, or within his or her actual or apparent authority, the physical element must also be attributed to the body corporate.
 

Proposed subsection 12.3 -- Fault elements other than negligence

Proposed subsection 12.3(1) provides that if intention, knowledge or recklessness is a fault element in relation to a physical element of an offence, that fault element must be attributed to a body corporate that expressly, tacitly or impliedly authorised or permitted the commission of the offence.

Proposed subsection 12.3(2) indicates the means by which such an authorisation or permission may be established.  These include proving that the body corporate board of directors intentionally, knowingly or recklessly carried out the relevant conduct, or expressly, tacitly or impliedly authorised or permitted the commission of the offence (proposed paragraph 12.3(2)(a)).

They also include proving that a high managerial agent of the body corporate intentionally, knowingly or recklessly engaged in the relevant conduct, or expressly, tacitly or impliedly authorised or permitted the commission of the offence (proposed paragraph 12.3(2)(b)).

According to proposed paragraphs 12.3(a) & (b), it may be shown that the conduct was performed or tolerated by the board of directors or a high managerial agent (defined as someone whose position in the company can be said to represent the policy of the company (proposed subsection 12.3(6)).  The test is based almost exactly on s. 2.07(1)(c) US Model Penal Code.  It is envisaged that this provision will be used in one-off situations where it cannot be said that there is any ongoing authorisation of the conduct.  The company has a defence in the case of a high managerial agent if the company proves that it used due diligence to prevent the offence.  The defence is not available in the case of the board of directors itself.

A further means by which it may be proved that a body corporate authorised or permitted the commission of the offence is proof that a corporate culture existed within the body corporate that directed, encouraged, tolerated or led to non-compliance with the relevant provisions (proposed paragraph 12.3(2)(c)).

A final means of proving the authorisation or permission is proving the body corporate failed to create and maintain a corporate culture that required compliance with the relevant provision (proposed paragraph 12.3(2)(d)).

Proposed subsection 12.3(4) provides that factors relevant to the corporate culture provisions include whether authority to commit an offence of the same or a similar character had been given by a high managerial agent of the body corporate and whether the employee, agent or officer of the body corporate who committed the offence believed on reasonable grounds, or entertained a reasonable expectation, that a high managerial agent of the body corporate would have authorised or permitted the commission of the offence.

'Corporate culture' is defined in proposed subsection 12.3(6) to mean an attitude, policy, course of conduct or practice existing within the body corporate generally or in the part of the body corporate in which the relevant activities take place.

Proposed paragraph 12.3(2)(c) deals with the more elusive situation of implicit authorisation where the corporate culture encourages non-compliance or fails to encourage compliance.  The rationale for holding corporations liable on this basis is that '...the policies, standing orders, regulations and institutionalised practices of corporations are evidence of corporate aims, intentions and knowledge of individuals within the corporation.  Such regulations and standing orders are authoritative, not because any individual devised them, but because they have emerged from the decision making process recognised as authoritative within the corporation.' (See Field and Jorg, 'Corporate Manslaughter and Liability: Should we be going Dutch?" [1991] Crim LR 156 at 159).

The proposed subsection extends the rule in Tesco Supermarkets Ltd v Nattrass [1972] AC 153 at 173 which recognises that corporations can be held primarily responsible for the conduct of very senior officers.  The rationale for this primary responsibility is that such an officer is acting as the company and the mind which directs his or her actions is the mind of the company.

It also extends the Tesco rule by allowing the prosecution to lead evidence that the company's unwritten rules tacitly authorised non-compliance or failed to create a culture of compliance.  It would catch situations where, despite formal documents appearing to require compliance, the reality was that non-compliance was expected.  For example, employees who know that if they do not break the law to meet production schedules (eg by removing safety guards on equipment), they will be dismissed.  the company would be guilty of intentionally breaching safety legislation.  Similarly, the corporate culture may tacitly authorise reckless offending (eg recklessly disregarding the substantial and unjustifiable risk of causing serious injury by removing the equipment guards).  The company would be guilty of a reckless endangerment offence.

As a general rule, reversal of the onus of proof just because a company was charged, especially for the most serious offences (eg manslaughter), could not be justified.  Nevertheless it recognised that it is still open to the legislature to employ reverse onus of proof provisions or strict liability for offences where the normal rules of criminal responsibility are considered inappropriate.

At the federal level this will need to occur in a number of important areas, such as environmental protection, where the potential harm of committing the offence is enormous and difficult to detect before the damage is done.  The Government is not planning to water down the requirements of section 65 of the Ozone Protection Act 1989 in regards to the matters covered by that Act.  Proposed section 12.3 contains general principles suitable for ordinary offences and it will be the basis of liability if no other basis is provided.

In cases where the degree of harm and difficulty of detection is a particular problem, a stricter basis of liability will be appropriate, such as now exists in many Commonwealth offence provisions concerning corporations.  It is not intended that Part 2.5 will become a new exclusive basis for corporate liability for Commonwealth offences.

Proposed subsection 12.3(5) provides that if recklessness is not a fault element in relation to a physical element of an offence, subsection 12.3(2) does not enable the fault element to be proved by proving that the board of directors, or a high managerial agent, of the body corporate recklessly engaged in the conduct or recklessly authorised or permitted the commission of the offence.
 

Proposed Section 12.4 -- Negligence

Proposed subsection 12.4(1) provides the test for negligence for a body corporate is set out in proposed section 5.5 as there was some confusion about the standard for negligence in the case of corporations.

According to proposed subsection 12.4(2) where negligence is the requisite fault element, and no individual employee, agent or officer has that fault element, the fault element may exists on the part of the body corporate if the body corporate's conduct is negligent when viewed as a whole.

Proposed subsection 12.4(3) provides that negligence may be evidenced by the fact that the prohibited conduct was substantially attributable to inadequate corporate management, control or supervision of the conduct of one or more of its employees, agents or officers or failure to provide adequate systems for conveying relevant information to relevant persons in the body corporate.

It is not necessary to establish that any one employee, etc. was negligent.  If the conduct of the company when viewed as a whole (that is by aggregating the acts of its servants, agents, employees and officers), is negligent, then the corporation is deemed to be negligent.  In some cases this may involve balancing the acts of some servants against those of others in order to determine whether the company's conduct as a whole was negligent.  This changes the common law on this point, see R v HM Coroner for East Kent; ex parte Spooner (1989) 88 Crim App R 10.
 

Proposed section 12.5 -- Mistake of fact (strict liability)

Proposed subsection 12.5(1) provides that a body corporate can rely on proposed section 8.2 (mistake of fact - strict liability) in respect of conduct that would, apart from the section, constitute an offence on its part if the employee, agent or officer of the body corporate was under a mistaken but reasonable belief about facts that, had they existed, would have meant that the conduct would not have constituted an offence.  The body corporate must also prove that it exercised due diligence to prevent the conduct.

Under proposed subsection 12.5(2) a failure to exercise due diligence may be evidenced by the fact that the prohibited conduct was substantially attributable to inadequate corporate management, control or supervision of the conduct of one or more of its employees, agents or officers or failure to provide adequate systems for conveying relevant information to relevant persons in the body corporate.

These provisions are consistent with the general approach adopted in relation to the rest of Part 2.5.
 

Proposed section 12.6 -- Intervening conduct or event.

Proposed section 12.6 provides that a body corporate cannot rely on section 10.1 (intervening conduct or event) in respect of a physical element of an offence brought about by another person if the other person is an employee, agent or officer of the body corporate." (pp. 41-45)
 

AUSTRALIA, Commonwealth of Australia, Attorney-General's Department, Review of Commonwealth Criminal Law, Interim Report -- Principles of Criminal Responsibility, Canberra: Australian Government Publishing Service, vii, 491, iii 31, 5, 3 p., see Part V, "Offences by Corporations", at pp. 291-312 (Chairman: The Right Honourable Sir Harry Gibbs);
 

AUSTRALIA, Commonwealth of Australia, Parliamentary Library, Bills Digest No. 135  2003-04 Occupational Health and Safety (Commonwealth Employment) Amendment (Promoting Safer Workplaces) Bill 2004; "The Bill proposes to exclude Commonwealth authorities and Commonwealth government business enterprises from the effect of: the Crimes (Industrial Manslaughter) Amendment Act 2003 (Australian Capital Territory), and any future similar legislation enacted by a state or territory; available at:  http://www.aph.gov.au/library/pubs/BD/2003-04/04bd135.htm#Endnotes (accessed on 18 July 2004);
 

AUSTRALIA, Criminal Law Officers Committee of the Standing Committee of Attorneys-General, Model Criminal Code, Chapter 2 General Principles of Criminal Responsibility -- Discussion Draft, Canberra: Commonwealth Government Printer, July 1992, x, 107 p., see "Part 5 -- Corporate criminal responsibility" at pp. 94-101, ISBN: 064425372X (Chairman: David Neal), ISBN: 064425372X;
 

___________Chapter 2 General Principles of Criminal Responsibility - Final Report December 1992, Canberra: Australian Government Publishing Service, Commonwealth of Australia, 1993, x, 119, [ii] p., and see Part 5, "Corporate Criminal Responsibility" at pp. 105-113 (Chairman: David Neal), ISBN: 0644287438; note: "Chapters 1 and 2 of the Model Criminal Code, which were released in the Criminal Law Officers Committee (now Model Criminal Code Officers Committee) Final Report of December 1992 was modified by the Standing Committee of Attorneys-General in 1993 shortly before the Commonwealth Government drafted what was enacted as the Criminal Code Act 1995", see  http://www.ag.gov.au/www/rwpattach.nsf/viewasattachmentPersonal/743ACB88E0EE2266CA256BB30000A0E5/$file/modelcode_ch1_general_principles.pdf at Part 5, "Corporate Criminal Responsibility" (accessed on 27 September 2003);
 

AUSTRALIA, The Law Reform Commission, Sentencing: Penalties, Sydney (New South Wales): The Commission, [1987], xii, 234 p., see "Sentencing options for corporate offenders", at pp. 165-178 (paragraphs 283-307) (series; Discussion Paper; number 30) (Commissioner in Charge of the Reference: Mr. George Zdenkowski); copy at the Library of Parliament; title not consulted yet (26 July 2004);

"[Contents -- excerpt]

Sentencing options for corporate offenders...283 [paragraph]

  Introduction...283

Corporate offenders: focus...283
Nature of harm...284
Community perception of corporate crime...285
Inadequate enforcement...286
To punish or persuade?...287

   Current sentencing practice...288

Reliance on monetrary penalties...288
Advantages of monetary penalties...289
Disadvantages of monetary penalties...290

    Possible additional sentencing options...291

Overview...291
Dissolution...292
Disqualification from governments contracts...293
Equity fines...294
Supervisory orders...295
Internal discipline orders...296
Organisational reform orders...297
Punitive injunctions...298
Advantages of supervisory sanctions...299
Possible disadvantages of supervisory orders...300
Community service orders...301
Advantages of community service orders...302
Disadvantages of community service orders...303
Publicity orders...304
Advantages of publicity orders...305
Disadvantages of publicity orders...306

  The Commission's tentative view...307

Broader range of sanctions required...307" (pp. x-xi)

AUSTRALIA, New South Wales, Crimes Amendment (Corporate Manslaughter) Bill 2002, first reading on 9 April 2002, introduced by Arthur Chesterfield-Evans; see its Explanatory Note at  http://www.chesterfieldevans.com/pdfetc/ip_health_corpmanslaughter_leg.pdf (accessed on 17 July 2004);
 

AUSTRALIA, NEW SOUTH WALES LAW REFORM COMMISSION, Sentencing: Corporate Offenders, Sydney : New South Wales Law Reform Commission, 2001, viii, 38 p. (series; issues paper; number 20), ISBN: 0731304543; available at http://www.lawlink.nsw.gov.au/lrc.nsf/pages/ip20toc (accessed on 14 December 2003);
 

___________Sentencing: Corporate Offenders, Sydney : New South Wales Law Reform Commission, 2003, xiv, 268 p. (series; report; number 102),bibliography at pp. 240-250, ISBN: 0734726007; available at http://www.agd.nsw.gov.au/lrc.nsf/pages/r102toc (accessed on 28 January 2004);
 

AUSTRALIA, Queensland Government, Department of Justice and Attorney General, Dangerous Industrial Conduct -- Discussion Paper, Brisbane: Department of Justice and Attorney General, 2000, 12 p.; available at http://www.justice.qld.gov.au/ourlaws/papers/diconduct.doc (a download file; accessed on 21 July 2004)
 

AUSTRALIA, Review of Commonwealth Criminal Law, Secondary offences and offences by corporations, Canberra : The Review, 1988, [42] leaves (series; discussion paper; number 10); title noted in my research but document not consulted; no copy of this publication in the Canadian libraries covered in the AMICUS catalogue of the Library and Archives Canada, Ottawa (verification of 19 July 2004);
 

AUSTRALIA, South Australia, Criminal Law and Penal Methods Reform Committee of South Australia, Fourth Report: The Substantive Criminal Law,  [Adelaide : The Committee], 1977, xlviii, 460 p., see "Corporate Criminal Responsibility", at pp. 354-369 (Chairman: The Honourable Justice Roma Flinders Mitchell);

Contents

Corporate Criminal esponsibility...354
5.1  Introduction...354
5.2  Social Importance...355
5.3  Sanctions and Remedies...357
5.4  General Approach...358
5.5. Preventive Orders...359

5.5.1  Advantages...359
5.5.2  Principles...360
5.5.3  Jurisdiction...361

5.6  Internal Discipline Orders...361

5.6.1  Advantages...363
5.6.2  Principles and Jurisdiction...362

5.7  Unjust Enrichment Orders...362
5.8  Fines...363
5.9  Publicity...363
5.10  Community Services Orders...364
5.11  Criteria of Responsibility...365

5.11.1  Functional Incongruence of Present Law...365
5.11.2  Personal and Vicarious Corporate Responsibility...366
5.11.3  Implications of Reform...367

5.12  Recommendations with respect to Corporate Criminal Responsibility...368

AUSTRALIA, South Australia, Review of the Occupational Health, Safety and Welfare System in South Australia, February 2003, 130 p. (Stanley Report); note : vol 3 of the study Review of Workers Compensation and Occupational Health, Safety and Welfare Systems in South Australia; available at http://www.workcover.com/ftp/documents/CorpReviewVol3.pdf (accessed on 5 May 2004);
 

AUSTRALIA, Tasmania Law Reform Institute, Criminal Liability of Organizations, Hobart: Tasmania Law Reform Institute, June 2005, 66 p. (series; issues paper; number 9); available at   http://www.law.utas.edu.au/reform/Publications/Criminal%20Liability%20of%20Organizations/CrimLiabOrgIssuesPaper_9June05.pdf (accessed on 26 July 2005); see also the responses to the issues paper at  http://www.law.utas.edu.au/reform/responses.htm (accessed on 25 September 2005);

AUSTRALIA, Tasmania Law Reform Institute, Criminal Liability of Organizations, 2007, v,  86 p. (series; report; 9); available at http://www.law.utas.edu.au/reform/CrimLiabOrgFinalA4.pdf  (accessed on 16 May 2007);
 

AUSTRALIA, Tasmania Law Reform Institute, "Work in Progess", available at  http://www.law.utas.edu.au/reform/work_in_progress.html#corpmans (accessed on 18 July 2004);

"Corporate Manslaughter

This project considers the desirability of introducing a corporate manslaughter provision. Such a provision would provide specific definitions of manslaughter in the case where the alleged perpetrator is a corporation, as well as providing specific penalties.

It has been argued that such legislation is needed to make companies accountable for the work place environment that they create and to encourage them to take the issues of workplace safety more seriously. Every year, 650,000 Australian workers suffer injuries or illness, 500 workers are killed and that roughly 2500 die from occupationally related diseases. While many employer and industry groups would see the majority of such deaths as accidents, it is argued that some would more appropriately be treated as manslaughter.

It is arguable that death by workplace should be punished in the same way as other deaths by negligence (such as negligent driving or failing to take care with a weapon). The current law fails to do this because it inadequately takes into account the way large companies or employers operate. As the law currently stands, in order to prove manslaughter, a 'controlling mind' must be found, a difficult task. Only once in the past 16 years has such a controlling mind been found in a manslaughter case in Australia.

The project would consider recent legislative proposals and developments in Victoria, the ACT and Queensland as well as significant developments in some European countries. The project would also make case studies of some Tasmanian workplace deaths, and consider case studies of workplace deaths in other jurisdictions.

The project was proposed by Ben Bartl.

An issues paper is to be released in 2004."
 

"Criminal Liability of Organizations

This law reform project will consider the current criminal law relating to organizations (such as corporations or government bodies) that cause death.

This issue has become particularly prominent in recent years following deaths in incidents such as the Esso Longford gas explosion, the Ford Pinto scandal and the P&O Zeebrugge Ferry disaster, in which many people felt that the organizations involved should have been convicted of manslaughter by criminal negligence. These high profile incidents and the growing recognition by society that employers have a duty to provide a safe environment, have led to a trend in jurisdictions the world over to enact legislation that will convict organizations in instances of grossly negligent behaviour.

At a more local level, the rate of workplace death and serious injury in Tasmania remains high. According to Workplace Standards Tasmania, over the five-year period between 1998 and 2003, 46 people were killed in Tasmanian workplaces. In July 2004 a 16-year-old boy was killed while working at a small goods plant in Launceston when the forklift he was driving overturned. In August 2004 an 18-year-old chainsaw operator was killed while working under a stack of logs when one of the logs rolled off and crushed him. While these incidents may or may not be examples of criminal negligence, they do indicate that deaths in the workplace are a serious issue in Tasmania.

Although the law formally treats organizations as individuals, it is argued that the criminal law has not developed sufficiently to effectively attribute liability to organizations. This is essentially because to be convicted of most crimes a person (including an organization) must be found to have the particular ‘guilty’ state of mind that is proscribed by the offence. The requisite ‘state of mind’ is difficult to establish when dealing with organizations for the obvious reason that an organization such as a corporation is not generally thought of as having a ‘mind’ at all. To deal with this problem case law has developed the concept of the ‘controlling mind’. This allows a corporation to be held to have the required guilty state of mind if a person who was the ‘controlling mind’ of the corporation (such as a chief executive officer) committed the offence with the proscribed guilty state of mind. It is argued that this method of attributing criminal liability to organizations is inadequate and does not adequately reflect the way that modern, large organizations operate. Only once in the past 16 years has such a controlling mind been found in a manslaughter case in Australia. This can be argued to indicate that the current criminal justice system inadequately deals with organizational criminals.

The project will consider a number of options for reform, including:
- Introducing new provisions to the criminal responsibility chapter of the Code (which applies to all crimes) setting out how mental elements can be proved when dealing with an entity or corporation (this could be based on the Commonwealth Criminal Code);
- Introducing a new provision to our Code to specifically deal with deaths caused by organizations;
- Introducing new provisions to the Workplace Health and Safety Act in relation to negligently or recklessly causing death or serious injury.

Consideration will also be given to the need for offences specifically relating to senior officers.

Another important aspect of the project is a consideration of the sentencing options available when dealing with organizations. Traditionally, organizations have been punished primarily by fines. However more innovative options could be introduced such as adverse publicity orders or supervision orders. The need to increase the level of fines imposed under the Workplace Health and Safety Act will also be considered.

The project will consider recent legislative proposals and developments in Victoria, the ACT and Queensland as well as significant developments in the United Kingdom and Canada. The project will also make use of Tasmanian case studies, as well as case studies in other jurisdictions, both nationally and internationally.

The project was proposed by Benedict Bartl.

An issues paper is to be released in January 2005. If you would like to receive a copy of the issues paper please contact the Institute."

AUSTRALIA, Victoria, Law Reform Commission of Victoria, Homicide,  Melbourne: LawReform Commission of Victoria, Melbourne, 1991, vi, 166 p. (series; report; number 40), ISBN: 730623149;
 

AUSTRALIA, Victoria, Parliament of Victoria, Crimes (Workplace Deaths and Serious Injuries) Bill, first reading on 21 November 2001; defeated by the Legislative Council (2nd House) on 5 June 2002; available at  http://www.dms.dpc.vic.gov.au/archive/Autumn_2002/bills/B01048/ (accessed on 19 December 2003);
 

AUSTRALIA, Victorian Law Reform Commission, Criminal liability for workplace death and serious injury in the public sector : report, Melbourne : Victorian Law Reform Commission, c2002, x, 108 p., ISBN : 0957967845; available at  http://www.lawreform.vic.gov.au/CA256902000FE154/Lookup/Crown_Liability/$file/Final_Report.pdf (accessed on 19 July 2004);

"Contents:
The report discusses how to impose criminal liability on government when the negligence of a governmental or semi-governmental body results in the death or serious injury of a public sector employee or a person providing                   services to government" (source:  http://www.liv.asn.au/research/library/cat/7947.html, accessed on 19 July 2004)

AXINN, Stephen M. and Jed S. Rakoff, co-chairmen, Corporate criminal liability : representing corporations, CEOs, corporate officers, and the impact of the sentencing guidelines, New York:  Practising Law Institute, c1991, 480 p. (series; Criminal law and urban problems course handbook series;  no. 161), (series; Litigation and administrative practice series);
 

AYRES, Ian, and John Braithwaite, Responsive Regulation: Transcending the Deregulation Debate, Oxford/New York : Oxford University Press, 1992, viii, 205 p. (series; Oxford socio-legal studies). ISBN: 0195070704 and 0195093763 (pbk); copy at Carleton University, K3842.A97 (copy not on the shelves, 25 July 2004); copy at the Library of Parliament, Ottawa, HD3612 A97; copy at Ottawa University, MRT General: K 3842 .A97 1992 see summary at  http://islandia.law.yale.edu/ayers/respons.htm (accessed on 20 February 2004);

"Contents

1. The Politics of an Idea,  3
2. The Benign Big Gun,  19
3. Triparism,  54
4. Enforced Self-Regulation,  101
5. Partial-Industry Intervention,  133
6. Delegation and Participation in a
    Responsive Regulatory order,  158
    Notes,  163
    References,  183
    Index,  197" (p. ix)

BACIGALUPO, E.,  "The implementation of the Corpus Juris 1997 in the Member States: National Report -- Spain /  La mise en oeuvre du Corpus Juris 1997 dans les États Membres: Rapport national -- Espagne", in Mireille Delmas-Marty & J. A. E. Vervaele, eds., La mise en oeuvre du corpus juris dans les États  membres : dispositions pénales pour la protection des finances de l'Europe / Implementation of the corpus juris in the Member States: Penal provisions for the Protection of European Finances  Antwerpen : Intersentia, c2000, 4 volumes, at vol. 3 at pp. 775-814, ISBN:  9050950981 (v. 1), 905095099X (v. 2), 9050951007 (v. 3), and 9050951902 (v. 4); notes: volume 1. part. 1. Synthesis -- part.2. Horizontal syntheses of comparative law; part. 3. Legal bases for the  implementation; volumes 2-3. National reports of the 15 Member States; volume 4. Horizontal and vertical cooperation; French and/or English; titre noté dans mes recherches mais non consulté; ma vérification du catalogue AMICUS de la Bibliothèque nationale du Canada indique que seulement l'Université de Montréal a une copie de ces volumes, KJE7975 .M57 2000 (9 mai 2004); voir http://www2.law.uu.nl/wiarda/corpus/fransdx.html pour les rensignements en français, et en anglais  http://www2.law.uu.nl/wiarda/corpus/engelsdx.html;
 

BACIGALUPO, Silvina, " 'Accessory Consequences' Applicable to Legal Entities under the Spanish Criminal Code of 1995", 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. 255-266 (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 13 December 2003);
 

BAGARIC, M. and J. Du Plessis, "Expanding criminal sanctions for corporate crimes -- deprivation of right to work and cancellation of education qualifications", (2003) 21(1) Company and Securities Law Journal 7-25; Australian publication (N.S.W.); title noted in my research but document 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 (verification of 15 February 2005);
 

BAILLE, Genevieve et Evelyne Degottex, La responsabilité pénale des personnes morales, Mémoire DEA : Droit pénal et sci. criminelles : Aix-Marseille 3 : 1995, 31 feuilles; pas de résumé au catalogue Abes; titre noté dans mes recherches; aucune copie de ce mémoire dans les bibliothèques couvertes par le catalogue AMICUS (vérification du 20 février 2004); mémoire non consulté;
 

BAJKOWSKI, Sean and Kimberly R. Thompson, "Corporate Criminal Liability", (1996-97) 34 American Criminal Law Review 445-456; copy at the Library of the Supreme Court of Canada; copy at Ottawa University, KF 9202 .A425  Location: FTX Periodicals;

[Contents]

"I. INTRODUCTION...445

II. CORPORATE CRIMINAL LIABILITY FOR AGENT ACTION...446

A. Scope of Employment...446
B. For the Benefit of the Corporation...447
C. Signifance of the Agent's Employment Status...449

1. Common Law Standard...449
2. Model Penal Code Standard...450

III. CORPORATE MENS REA...451

A. Implications of Management Response to Suspect Activity by Agents...452
B. The Collective Knowledge Doctrine...454

IV. CORPORATE DEFENSES...455

A. Compliance Programs...455
B. Infeasibility...455" (p. 445)

BALASUBRAHMANYAM, V., "Group Liability", in S. Govindarajulu, ed., Essays on the Indian Penal Code: published on the occasion of the centenary of the Indian Penal Code, Bombay: N.M. Tripathi, 1962, pp. 94-106; title noted in my research but article not consulted (27 April 2007);

BALDWIN, Rignal, "The Application of the Federal Probation Act to the Corporate Entity", (1974) 3 University of Baltimore Law Review 294-306; title noted in my research but article not consulted; the University of Ottawa, does not have volume does not have vol. 2, at KFM 1269 .B34  Location: FTX Periodicals; the microfiche collection at the Supreme Court of Canada starts after 1974;
 

BALDWIN, Robert, "The New Punitive Regulation", (May 2004) 67(3) Modern Law Review 351-383; copy at the Library of the Supreme Court of Canada;

"Abstract:

There is now some evidence of a potential drift towards 'punitive' approaches to regulation in which greater emphasis is placed on criminal sanctions. This new enthusiasm for punishment can be seen in government policy, legislation and some regulators' public stances. There is evidence, however, that companies (even top ones) deal with punitive regulatory risks in a confused manner and that even when they do act rationally, this may not lead to compliance. One response to punitive approaches and their limitations is to move towards greater reliance on stimulating the self-regulatory capacities of corporations. Such stimulation, however, has to be carried out with an awareness of the dangers of self-regulation - notably that it may lead to controls that lack legitimacy, prove unfair and are exclusive and inefficient." (source http://papers.ssrn.com/sol3/papers.cfm?abstract_id=536347, accessed on 20 November 2004);

BALL, Harry V. and Lawrence M. Friedman, "The Use of Criminal Sanctions in the Enforcement of Economic Legislation: A Sociological View", (1964-65) 17 Stanford Law Review 197-223; copy at Ottawa University, KFC 69 .S725  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada, Ottawa; with the same title in Leonard Orland, ed., Corporate and White Collar Crime: An Anthology, [Cincinnati, Ohio]: Anderson Publishing, 1995, xiii, 438 p., ISBN: 0870848704; with the same title in Gilbert Geis, ed., White-Collar Criminal: The Offender in Business and the Professions, New York: Atherton Press, 1968, [xv], 448 p., at pp. 410-431; copy at Ottawa University, MRT General, HV 6635 .G35 1968;
 

BALSMEIER, Phillip and Jennifer Kelly, "The Etrhics of Sentencing White-Collar Criminals", (1996) 15 Journal of Business Ethics 143-152; copy at the University of Ottawa, MRT Periodicals, HF 5387 .J68;

[Contents]

ABSTRACT...143

White-collar crimes: definitions and types...143

Rationalization of white-collar criminals...143

Courts of white-collar crimes to business...144

White-collar crimes...more detrimental than street crimes?...144

Sentencing of white-collar criminals...144

Alternative sentencing...145
Who should be punished?...145

United States Sentencing Commission...146

Sentencing guidelines for individuals...146
Sentencing guidelines for corporations...147

Separation of powers...149

Mistretta v. United States

Conclusion...149

Appendix A: History of the United States Sentencing Commission

References

BALZANO, John, "Criminal Liability for Labor Safety Violations in the People's Republic of China", (2004) 3 Washington University Global Studies Law Review 503-527; no copy of this publication in the Canadian libraries covered in the AMICUS catalogue of the Library and Archives Canada, Ottawa (verification of 22 July 2004); available at  http://law.wustl.edu/Publications/WUGSLR/Issues/3-2%20PDF%20Files/p503%20Balzano%20book%20pages.pdf (accessed on 30 July 2004);
 

BANCHEREAU, Olivier, Responsabilité civile et responsabilité pénale des personnes morales, Mémoire de DEA : Droit privé / Paris 1; année universitaire: 1993; pas de résumé au catalogue Abes; titre noté dans mes recherches; aucune copie de ce mémoire dans les bibliothèques couvertes par le catalogue AMICUS (vérification du 20 février 2004); mémoire non consulté;

BARBONE, Louis, "The Corporation's Liability in Criminal Law.  Systematic and Procedural Policy Choices Constituting a Reckless Disregard for Human Life", (Summer 1986) 20(1) The Prosecutor 13-36; also published in (1985) 9(1) New Jersey Criminal Justice Quarterly; copy of The Prosecutor publication at Ottawa University, KF 9640 .A15 P76  Location: FTX Periodicals;
 

BARLOW, T.B., "The Criminal Liability of a Company, Its Directors and Its Servants", (1946) 63 South African Law Journal 502-513; copy at Ottawa University, KR 0 .S69  Location: FTX Periodicals;
 

BARNARD, Jayne W., "Reintegrative Shaming in Corporate Sentencing", (1998-99) 72 Southern California Law Review 959-1007;

[Contents]

"INTRODUCTION...960

I. OVERVIEW...964

II. SHAME AS A DETERRENT IN THE CORPORATE
     SENTENCING PROCESS...966

A. SHAME AND THE LEADERSHIP CLASS...966

B. SHAME AS A PRACTICAL DETERRENT...969

C. THE CONCEPT OF REINTEGRATIVE SHAMING...972

III. WHY THE CORPORATE ICON PROCEEDING SHOULD BE
      MANDATORY...974

A. CEOs SERVE AS A COMPELLING MORAL VOICE...976

B. CEOs SERVE AS A SACRIFICIAL GOAT...981

C. THE PROCEEDING OFFERS AN OCCASION FOR
     EXPRESSING COMMUNITY VALUES...981

IV. HOW THE CORPORATE ICON PROCEEDING SHOULD BE
      ORGANIZED...983

V. WHY THE BOARD OF DIRECTORS, AS WELL AS THE CEO SHOULD
     BE INVOLVED IN THE CORPORATE SENTENCING PROCESS...985

A. DIRECTORS' DUTIES REQUIRE THEM TO ENSURE THAT AN
     EFFECTIVE INFORMATION AND REPORTING SYSTEM IS IN PLACE...986

B. DIRECTORS' ACTIONS -- AS WELL AS THE CEO's  -- COMMUNICATE
    IMPORTANT ORGANIZATIONAL CULTURAL VALUES...991

1. The Strategic Use of Board-Level Committees...992
2. Other Actions as Board May take to Influence the Corporate Culture...994

C. INVOLVING DIRECTORS IN THE SENTENCING PROCESS WILL ADD
    TO THE DETERRENT IMPACT OF THE CORPORATION'S SENTENCE...995

1. Woodshedding Will Reinforce the Teachings of Caremark...996
2. Woodshedding Will Facilitate the Transmission of Moral Messages...996

VI.  HOW WOODSHEDDING WILL WORK...997

VII.  PREDICTABLE CRITIQUES AND A RESPONSE...999

A. CONSTITUTIONAL CONSIDERATIONS...999

B. CONCERNS ABOUT 'RETRIBUTIVE SPECTACLE'...1001

C. CONCERNS ABOUT A CHILLING EFFECT...1002

D. CONCERNS ABOUT 'SHAMING OVERLOAD'...1003

E. CONCERNS ABOUT COST-EFFECTIVENESS...1004

F. BUT WILL IT WORK?...1005

CONCLUSION...1006" (pp. 959-960)

BARNES, J., "The implementation of the Corpus Juris 1997 in the Member States: National Report -- Ireland /  La mise en oeuvre du Corpus Juris 1997 dans les États Membres: Rapport national -- Irlande", in Mireille Delmas-Marty & J. A. E. Vervaele, eds., La mise en oeuvre du corpus juris dans les États  membres : dispositions pénales pour la protection des finances de l'Europe / Implementation of the corpus juris in the Member States: Penal provisions for the Protection of European Finances  Antwerpen : Intersentia, c2000, 4 volumes, at vol. 2 at pp. 465-488, ISBN:  9050950981 (v. 1), 905095099X (v. 2), 9050951007 (v. 3), and 9050951902 (v. 4); notes: volume 1. part. 1. Synthesis -- part.2. Horizontal syntheses of comparative law; part. 3. Legal bases for the  implementation; volumes 2-3. National reports of the 15 Member States; volume 4. Horizontal and vertical cooperation; French and/or English; titre noté dans mes recherches mais non consulté; ma vérification du catalogue AMICUS de la Bibliothèque nationale du Canada indique que seulement l'Université de Montréal a une copie de ces volumes, KJE7975 .M57 2000 (9 mai 2004); voir http://www2.law.uu.nl/wiarda/corpus/fransdx.html pour les rensignements en français, et en anglais  http://www2.law.uu.nl/wiarda/corpus/engelsdx.html;
 

BARNETT, Harold, C., "Corporate Capitalism, Corporate Crime", (January 1981) Crime and Delinquency 4-23; copy at Ottawa University, MRT Periodicals: HV 6001 .N2;
 

BARNETT, James D., "The Criminal Liability of American Municipal Corporations", (1938) 17 Oregon Law Review 289-306; copy at Ottawa University, KFO 2469 .O72  Location: FTX Periodicals;
 

BARRETT, Brenda, "Enterprise Liability and The Guilty Employee", (1971) 34 The Modern Law Review 220-223; discusses Tesco Supermarkets Ltd. v. Nattrass, [1970] 3 All E.R. 357; this article is a comment before the House of Lords decision in Tesco Supermarkets Ltd.; copy at Ottawa University; KD 322 .M62  Location: FTX Periodicals;
 

BARUCHEL, Nathalie, 1973-, La personnalité morale en droit privé : éléments pour une théorie / Nathalie Baruchel; préface de Bruno Petit, Paris : L.G.D.J., c2004, xvii, 436 p., sur la responsabilité pénale des personnes morales, voir en particulier les pp. 113-129 et 349-350 (Collection; Bibliothèque de droit privé t. 410), ISBN: 2275024441; riche bibliographie aux pp. 369-410; copie à l'Université d'Ottawa, FTX General KJV 442 .B52 v.410 2004;
 

___________La personnalité morale en droit privé: éléments pour une théorie, Thèse doctorat : Droit privé : Grenoble 2  [Université Pierre Mendès France] : 2002, 495 feuilles; thèse sous la direction de Bruno Petit; Num. national de thèse: 2002GRE21030;

"Résumé: La personnalité morale en droit privé apparaît communément comme une notion classique, clef de voûte de notre système juridique. Pourtant, cette notion ne semble plus susciter une véritable réflexion quant à sa nature juridique. La thèse consiste à démontrer que la crise actuelle de la notion de personnalité morale conduit nécessairement à la recherche d'une nouvelle conception de celle-ci. Certaines théories modernes font de l'utilité le seul critère de la notion de personnalité morale. Une telle perspective se révèle en réalité peu opportune, en raison des dérives qu'elle entraîne ou qu'elle laisse présager. Une conception unitaire de la personnalité juridique peut dès lors être défendue : l'intérêt, qu'il soit individuel ou collectif, constitue le fondement de la personnalité juridique, de sorte que la personnalité morale n'est qu'une application particulière de la notion plus générale de personnalité juridique." (source: Abes -- Système universitaire de documentation)

BATISTA, Nilo, "Brésil: Rapport national", (1983) 54(1-2) Revue internationale de droit pénal / International Review of Penal Law 157-169 (Actes du Colloque International, "Conception et principes du droit pénal économique et des affaires y compris la protection du consommateur", tenu à Freiburg-en-Brisgau, République Fédérale d'Allemagne, 20-23 septembre 1982, en préparation pour le 13^e Congrès international de droit pénal de l'Association internationale de droit pénal (AIDP) au Caire en 1984 /  Report of the Proceedings of the International Colloquium, "Concept and Principles of Economic and Business Criminal Law",  held in Freiburg i. Br., Federal Republic of Germany, September 20-23, 1983, in preparation for the 13th International Congress of Penal Law of the International Association of Penal Law (IAPL) in Cairo, 1984);

"Dans la vision pénale brésilienne prédomine de façon absolue le principe societas delinquere non potest.  Il paraît très difficile que tel principe soit surmonté sans sacrifier certaines pierres de touche du droit pénal civilisé, parmi lesquelles le concept de culpabilité agit comme fondement et limite de la peine." (p. 165)

BATTAGLINI, M.G., "Responsabilité pénale des personnes morales?", (1930) 7 Revue internationale de droit pénal 347-358;  copie à la bibliothèque de la Faculté de droit, Université de Montréal, HAZE R454i;;
 

BAUCUS, Melissa S. and Terry Morehead Dworkin, "What is Corporate Crime?  It is not Illegal Corporate Behaviour", (1991) 13 Law and Policy231-244; copy at Ottawa University, K 3220 .L37  Location: FTX Periodicals;

[Abstract]

"Corporate misconduct is of increasing concern to society -- and researchers.  Despite this increased research focus, little is known about the factors that lead to such wrongdoings, the consequences of such behavior, and consequently of meaningful remedies and deterrence measures.  A large factor in this information problem is the ambiguity surrounding the definition and use of the terms 'corporate crime' and 'illegal corporate behavior.'  Researchers use them interchangeably despite the fact they are two different phenomena.  This article reviews some of the definitions and uses of these terms, and points out the confusion which results.  It then discusses major differences between illegal corporate behavior and corporate crime, and the positive implications of treating them separately." (p. 213)

BAXT, Bob, "Corporate Governance -- Is this the Answer to Corporate Failures?", (2003) 29(2) Monash University Law Review 234-260; copy at Ottawa University, FTX periodicals, KTA O.M65;
 

BAYLE, Marcel, "[Environmental Criminal Law --] France", dans Michael G. Faure and Günther Heine, coordinated by, Final Report: Criminal Penalties in EU Member States' Environmental Law, Maastricht (The Netherlands): Maastricht European Institute for Transnational Legal Research Faculty of Law, Maastricht University and  Berne, Switzerland: Institute for Criminal Law and Criminology,  Faculty of Law, University of Berne, October 2002, 352 p., at pp. 177-184; corporate criminal liability is covered at pp. 179-184 in this article in the French language; available at http://europa.eu.int/comm/environment/crime/criminal_penalties1.pdf (accessed on 18 June 2004);

[France]

"Le droit français a institué la responsabilité pénale des personnes morales depuis l’entrée en vigueur du nouveau code pénal en 1994. Les juristes français ont donc eu le temps de réfléchir à cette question et peuvent faire part du début de cette expérience institutionnelle." (Marcel Bayle, à la p. 179; l'auteur traite de la responsabilité pénale des personnes morales aux pp. 179-184)

BAYSINGER, Barry D., "Organization Theory and Criminal Liability of Organizations", (1991) 71 Boston University Law Review 341-376; copy at Ottawa University, K 2 .O678  Location: FTX Periodicals; with the same title in Leonard Orland, ed., Corporate and White Collar Crime: An Anthology, [Cincinnati, Ohio]: Anderson Publishing, 1995, xiii, 438 p., ISBN: 0870848704;

[Contents]

INTRODUCTION...341

Policy Preferences and Assumptions...342
The Assumption of Effective Managerial Control...343

I. ORGANIZATION THEORY AND INDIVIDUAL
    BEHAVIOR...346

A. Coordination and Information Processing...346
B. Organizational Economics...348
C. Shaping Behavior: Leadership and Control...349

II. BEHAVIORAL IMPLICATIONS OF VARIOUS CONTROL
     STRATEGIES...350

III. ACCOPMPLISHING LAWFUL ENDS THROUGH UNLAWFUL
      MEANS...353

IV. CORPORATE STRATEGY, STRUCTURE, AND WHITE
       COLLAR CRIME...355

A. Preliminary Observations on Organizational
     Dysfunction...355
B. Strategy, Structure and Internal Controls...356
C. The Degeneration of the Ideal M-form...357
D. Financial Control and Organizational Crime...359

V. A CRITICAL EVALUATION OF THE SENTENCING
     GUIDELINES...361

A. The private Deterrence of Organizational Crime...361
B. Shaping Behavior in Large Organizations: Forrester's Law...361

VI. OTHER VIEWS ON THE GUIDELINES: AN EVALUATION...363

A. The 'Serious Time' Position...364
B.  The 'Hands Off Corporate America' Position...366

1. Organization Theory Perspective...366
2. Agency Theory Perspective...369

C. The Loyal Opposition Position...371

SUMMARY AND CONCLUSIONS...374

BAZEX, La responsabilité pénale des personnes morales en droit international, mémoire, Institut de criminologie et de sciences pénales de Toulouse, 1958; title noted in my research but document not consulted; no copy of this publication in the Canadian libraries covered in the AMICUS catalogue of the Library and Archives Canada, Ottawa (verification of 19 July 2004);
 

BEALE, Sara Sun and Adam G. Safwat, "What Developments in Western Europe Tell Us about American Critiques of Corporate Criminal Liability", (2004) 8(1) Buffalo Criminal Law Review 89-163, Symposium on “White Collar Criminal Law in Comparative Perspective: The Sarbanes-Oxley Act of 2002 (April 3-4, 2004)”; should eventually be published at  http://wings.buffalo.edu/law/bclc/bclr.htm (not published as of 17 June 2005); important contribution;
 

BEAUCHAMP, Tom L. and Norman E. Bowie, Ethical Theory and Business, 4th edition, New Jersey: Prentice Hall, 1993, xiii, 653 p., ISBN: 0132903474 copy at Ottawa University, MRT General  HF 5387 .E82 1993;
.

BECK, Matthew E., and Matthew E. O'Brien, "Corporate Criminal Liability", (2000) 37(2) American Criminal Law Review 261-289; copy at the Library of the Supreme Court of Canada, Ottawa;

[Contents]

I. INTRODUCTION...261

II. CORPORATE CRIMINAL LIABILITY...264

A. Criminal Liability for Agent Action: Scope and Nature of Employment...265

1. The Common Law...266
2. The Model Penal Code...267
3. Employee Actions Prohibited by the Corporation...267

B. Benefiting the Corporation...268

C. Imputing Knowledge and Action to the Corporation...269

1. Collective Knowledge Doctrine...270
2. Wilful Blindness Doctrine...270
3. Conspiracies...270
4. Mergers, Dissolutions, and Liability...271
5. Misprison of Felony...272

III. ORGANIZATIONAL SENTENCING GUIDELINES...274

A. Introduction: Scope and Purpose of the Organizational Guidelines...274

B. Guidelines Provisions: Offenses Covered and Sanctions Permitted...276

1. Remedies...277
2. Probation...278
3. Imposition of Fines...279

a. Base Offense Level...280
b. Base Fine...281
c. Culpability...281

i. Calculation...281
ii. Decreasing Factors...282

d. Multipliers...287
e. Disgorgement...288
f. Implementation...288
g. Departures...289"     (p. 261)

BECKER, Brian R, Notes, "Corporate Successor Criminal Liability: The Real Crime", (1991-92) 19 American Journal of Criminal Law 435-483;

"Table of Contents

I. Introduction...436

II. Criminal Law...437

A. General Theory...437
B. Criminal Law in the Corporate Context...439

III. Criminal Alternatives to Civil Fines--Why They do not Work...441

IV. Corporate Successor Liability...444

A. Traditional Theories...444
B. Corporate Theory...446
C. Products Liability...447
D. Punitive Damages...449
E. Criminal Liability...450

V. Texas Successor Liability...450

A. Texas' Civil Statutes and Penal Code...451

1. Texas Civil Statutes...451
2. Texas' Penal Code...453

B. Corporate Theory...454
C. Products Liability...455
D. Punitive Damages...457
E. Criminal Liability...459

VI. A Proposal for Texas...461

A. General Corporate Liability...461
B. Corporate Criminal Liability...462
C. Corporate Successor Liability...463
D. Texas' Attitude Towards General Liability, Products
     Liability, and Punitive Damages Being Imposed
     Successor Corporation...465

E. A Proposal for Texas...467

VII. Rationale Behind The Texas proposal...469

A. Criminal Liability...469
B. Punitive Damages...470
C. Civil Liability Through Express Assumption...471
D. Escrow Account...474

VIII. Effects of Proposal...475

IX. A Case in Point: The Exxon Valdez...478

A. Facts of the Exxon Valdez Incident...478
B. Four Scenarios...479
C. Application of Proposal...480
D. Summary of key points...482

X. Conclusion...483" (pp. 435-436)

BEIN, Dan, "Non-individual criminal liability in Israel (Sect. V.A.3)", in Stephen R. Goldstein, ed., 1938-, and International Congress of Comparative Law (10th : 1978 : Budapest, Hungary), Israeli reports to the Tenth International Congress of Comparative Law, Jerusalem : Harry Sacher Institute for Legislative Research and Comparative Law, 1978, 265 p.; title noted in my research but article not consulted yet; may be in hebrew; to be verified; copy at McGill University, Nahum Gelber Law Library/Université McGill, Bibliothèque de droit Nahum Gelber, K;555;I57;1978f law; copy at University of Montreal, AAZF C749r 1978is;
 

BELBOT, Barbara A., "Corporate Criminal Liability", in Michael B. Blankenship, 1955-, ed., Understanding Corporate Criminality, New York/London: Garland Publishing, Inc., 1995, xxiii, 266 p., at pp. 211-237, (series; current issues in criminal justice; vol. 3), (series; Garland reference library of social science; v. 845), ISBN: 0815308833;

[Contents]

[Introduction]...211

What Is a Corporation?...213

Development of the Corporate Business Structure...216

Development of Corporate Criminal Liability...219

Current Status of Corporate Criminal Liability...223

Criticisms of the Current Federal Law...225

Response to the Criticisms...227

Evidentiary Problems in Prosecuting Corporations...229

The Fourth Amendment...230

The Fifth Amendment...230

Attorney-Client Privilege...231

Summary and Conclusion...232

REFERENCES...235

CASES CITED...237

BELCHER, Alice, "Corporate Killing as a Corporate Governance Issue", (2002) 10 Corporate Governance 47-54;

[Contents]
Introduction...47
Corporate killing: The perceived problem...48
Corporate killing: The proposed solution...49
The resulting corporate governance issues...49
The risk-based approach in the Turnbull guidance...50
Potential problems / future debates...52
Conclusions...53
References...54

___________"Employers' Liabilities for Work-related Stress", (Autumn 2003) 54(3) Northern Ireland Legal Quarterly 289-310, see "Criminal Liabilities", at pp. 292-299; copy at Ottawa University, KDK 87 .N67  Location: FTX Periodicals;
 

BELGHOUL, Fabrice, L'extension de la responsabilité pénale pour les personnes morales, Mémoire DEA de droit économique et des affaires d'Orléans, 96 p.; disponible à  http://www.village-justice.com/journal/articles/ftp/responsabilitepenale.pdf (visionné le 23 novembre 2004);
 

BELGIQUE, "Loi du 4 mai 1999 instaurant la responsabilité pénale des personnes morales"; publié au Moniteur belge du 22 juin 1999; loi entrée en vigueur, le 2 juillet 1999; copie à l'Université d'Ottawa, SLR 4-(11-12)  Location: FTX Statutes; disponible à http://www.ejustice.just.fgov.be/cgi/welcome.pl (visionné le 30 juillet 2004); aussi disponible à l'Université d'Ottawa, K 21 .D725  Location: FTX Periodicals;
 

BELGIQUE, Commission pour la révision du Code pénal, Rapport sur les principales orientations de la réforme, [Bruxelles]: Ministère de la justice, juin 1979, 125 p., voir "Sixième orientation -- Responsabilité pénale des personnes morales", aux pp. 89 à 95; copie à l'Université d'Ottawa, Bibliothèque de la Faculté de droit, KE 8809.5 .C3453;
 

__________Rapport sur l'état des travaux, [Bruxelles]: Ministère de la Justice, 1978, 36 p., voir "Responsabilité pénale des personnes morales" aux pp. 35-36; copie à l'Université d'Ottawa, FTX général, KE 8809.5 .C345 1978; aussi dans (1978) Revue de droit pénal et de criminologie 713-748;
 

BELGIQUE, Robert Legros, Avant-projet de Code pénal, préface de J. Gol, vice-premier ministre et ministre de la Justice, Bruxelles: Éditions du Moniteur[belge], [1985], 216 p.; Notes: At head of title: Ministère de la justice. 1985; rendu public le 28 janvier 1986; monsieur Legros est commissaire royal à la réforme du Code pénal par arrêté royal du 8 avril 1983; aucune copie de cette publication trouvée au Canada; peut aussi contenir l'"Exposé des motifs"; je serais très reconnaissant si un lecteur pouvait m'aider dans mes recherches à localiser ce document ou en recevoir une copie, svp communiquer avec moi, François Lareau,  à flareau@rogers.com (22 juillet 2004);
 

BENGÜ, Cemil Halit, La responsabilité pénale des groupements de personnes (spécialement des personnes juridiques), Genève: Imprimerie du Journal de Genève, 1941, 192 p.; thèse de doctorat en droit, Université de  Genève, 1941; titre noté dans mes recherches mais thèse non consultée; aucune copie de ce document dans les bibliothèques comprises dans le catalogue AMICUS de la Bibliothèque nationale du Canada (vérification du 5 juiller 2004);
 

BENJAMIN, Martin, "Can Moral Responsibility be Collective and Non-distributive?", (1976-78) 4 Social  Theory and Practice 93-106; copy at Ottawa University, H 1 .S63  Location: MRT Periodicals;
 

BENJAMIN, Martin, and Daniel A. Bronstein, "Moral and Criminal Responsibility and Corporate Persons", in Warren J. Samuels, 1933-, and Arhur Selwyn Miller, 1917-, eds., Corporations and society: Power and responsibility, New York: Greenwood Press, 1987, xv, 328 p., at pp. 277-282, ISBN: 0313250723; copy at Carleton University, KF1414.C675;

"The fact is that corporations cannot be treated as persons under the criminal law despite the concept of legal personhood.  Corporations are entirely goal directed in their nature and outlook; persons in ordinary morality and the criminal law are not.  Thus it is inappropriate to extend to corporations many of the legal and constitutional protections enjoyed by human persons.  In this area, both lawyers and philosophers will continue to face many unresolved problems in attempting to reconcile the fiction of legal persons with with the logic of corporate behavior." (p. 291)

BENNER, Klaus-Dieter, "Forms of Criminal Responsibility of Organisations and Reasons for their Development.  A Description of the Legal Practice in Germany", 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. 53-58 (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_S78/6-SUBJN-1.pdf (accessed on 13 December 2003);
 

BENNION, Francis, "Corporate Homicide", (5 May 2000) 150 New Law Journal 652; issue number 6934; copy at the Library of the Supreme Court of Canada; copy at Ottawa University, KD 322 .N49  Location: FTX Periodicals;
 

BENNUN, M.E., "Corporate Criminal Liability", in International Congress of Comparative Law (10th : 1978 : Budapest), UK national reports submitted to the Congress, [Nottingham] : [United Kingdom National Committee of Comparative Law], 353 p., at pp. VA3/1 to VA3/11; copy at the Library of the Supreme Court of Canada, K 555 I57 1978 -;

[Contents]

Introduction....VA3/1

Is the liability based on statute or case-law?...VA3/1
The extent of the liability and the nature of the offences...VA3/2
The physical persons responsible...VA3/4
Sanctions over the Delinquent Corporate Entity...VA3/6
Procedural Matters at the Trial of a Corporation...VA3/9

Footnotes...VA3/9

BENSON, Michael L., “Prosecuting Corporate Crime: Problems and Constraints”, in Neil Shover and John Paul Wright, eds., Crimes of Privilege : readings in white-collar crime, New York: Oxford University Press, 2001, xiii, 433 p., at pp. 381-392 (series; Readings in crime and punishment), ISBN: 0195136217, 0195136211 and 0195136209; copy at Ottawa University, MRT General: HV 6768 .C75 2001;
 

BENSON, Michael L. and Francis T. Cullen, Combatting corporate crime: local prosecutors at work, Boston: Norteastern University Press, 1998, xii, 264 p. (series; The Northeastern series on white collar and organizational crime), ISBN: 1555533531 and 1555533523 (pbk.); title noted in my research but book not consulted; no copy in the Canadian libraries covered by the catalogue AMICUS of the National Library of Canada (verification of 5 June 2004);
 

BENSON, Michael L., Francis T. Cullen, William J. Maakestad, "Community Context and the Prosecution of Corporate Crime", in Kip Schlegel and David Weisburd, eds., White Collar Crime Reconsidered, Boston: Northeastern University Press, 1992, xv, 384 p., at pp. 269-286, ISBN: 1555531415; notes; "Papers originally presented at a conference held at Indiana University in May 1990"; copy at Ottawa University, MRT General: HV 6769 .W485 1992; for the table of contents of the entire book, see the Catalogue of Columbia University, PEGASUS, at http://pegasus.law.columbia.edu/;

[Contents]

[Introduction]...269

The Office of Prosecuting Attorney...270

The Data and the Theory...272

Analysis...277

Results...277

The Contextr of Corporate-Crime Control...280

REFERENCES...283

NOTES...286
 

"[Abstract]

A mail survey of California attorneys regarding corporate crime focused on the recent experiences of the prosecutors with such crimes and on factors that limit the likelihood of their prosecuting corporate offenders.  A significant majority of the district attorneys had prosecuted a variety of corporate crimes, and a sizable minority anticipated devoting more resources to corporate crime prosecutions in the future.  There was a strong consensus among the district attorneys that the primary obstacle to corporate crime prosecutions is not political but practical and inheres in the level of resources available to them.  Prosecutors in small districts were more constrained by the potential impact that a corporate prosecution might have on the local economy than their counterparts in large districts.  The finding suggests that community context may influence social control responses to corporate lawbreakers." (p. 505)

BERGMAN, David, 1950-, "Boardroom GBH.  David Bergman cannot understand why the Health and Safety Executive fail to prosecute in thousands of major injuries", (5 November 1999) 149 New Law Journal 1656-1657; opy at the Library of the Supreme Court of Canada; copy at Ottawa University, KD 322 .N49  Location: FTX Periodicals;
 

___________"Corporate Sanctions and Corporate Probation.  The rehabilitation of offending companies should be the priority of the criminal law, argues David Bergman", (25 September1992) 142 New Law Journal 1312-1313; issue number6569; this issue missing at the Library of the Supreme Court of Canada; copy at Ottawa University, KD 322 .N49  Location: FTX Periodicals;
 

___________Deaths at Work: Accidents or Corporate Crime?: The failure of inquests and the criminal justice system, London: Workers' Educational Association (WEA)/London Hazards Centre/Inquest, 1991, 79 p.; title noted in my research but publication not consulted; my verification of the AMICUS catalogue on 2 February 2004 indicates no locations in Canada;
 

___________Disasters : where the law fails : a new agenda for dealing with corporate violence, London : Herald Charitable Trust on behalf of the Herald Families Association, 1993, [5], 80 p., ISBN: 0951999516; notes: "Published on behalf of the Herald Families Association by the Herald Charitable Trust" and "This publication forms part of a corporate responsibility study conducted by the Herald Charitable Trust and funded by the Joseph Rowntree Charitable Trust"; title noted in my research but book not consulted; no copy of this publication in the Canadian libraries comprised in the AMICUS catalogue of the National Library of Canada, Ottawa (verification of 5 July 2004);
 

___________"Manslaughter and corporate immunity -- David Bergman observes a desparate desire for reform", (3 March 2000) 150 New Law Journal 316-317; issue 6925;
 

___________"Manslaughter in the Tunnel: With the death of Charles McCourt -- the seventh Channel Tunnel worker to die on the English side -- David Bergman argues that the police ought to undertake a manslaughter inquiry into the conduct of Trans-Manche Link", (3 August 1990) 140 New Law Journal 1108-1109 and 1129; issue 6467;
 

___________The Perfect Crime?:  How Companies Escape Manslaughter Prosecution  in the workplace: an in depth study into investigations carried out by the Health and Safety Executive and local authorities into deaths at work, [Birmingham]: West Midlands Health and Safety Advice Centre, 1994, 103 p., ISBN: 0952296209; title noted in my research but book not consulted; according to my verification of the AMICUS catalogue on 20 February 2004, there are no copy in the Canadian libraries covered by AMICUS;
 

___________"Recklessness in the boardroom: David Bergman on the collapse of the P&O case", (26 October 1990) 140 New Law Journal 1496 and 1501; issue 6477;
 

___________"Weak on crime -- weak on the cause of crime.  As the HSE [Health and Safety Executive] publishes its annual statistics showing an 11% rise in the workplace deaths.  David Bergman argues that the Govrnment must do more than simply enact a new offence of corporate killing", (14 November 1997) 147 New Law Journal 1652 and 1665; issue 6816; copy at the Library of the Supreme Court of Canada; copy at Ottawa University, KD 322 .N49  Location: FTX Periodicals;
 

___________"Whither Corporate Manslaughter: David Bergman finds confidence in prosecution has been misplaced", (11 october 1991) 141 New Law Journal 1381; issue 6523;
 

BERMAN, Harold J., 1918-,  Law and Revolution: The Formation of the Western Legal Tradition, Cambridge (Masschusetts): Harvard University Press, 1983, xii, 657 p., see in particular "Corporation Law as the Constitutional Law of the Church", at pp. 215-221, ISBN: 0674517741 and 0674517768 (paper); important contribution;

"The twelfth-century canonists utilized earlier Roman, Germanic, and Christian concepts of corporate entities in developing a new system of corporation law applicable to the Church. ...

The following questions illustrate the kinds of practical issues that arose in litigation in the twelfth century. ...

Can a corporation commit crimes?  Can it commit torts?  Is it liable for the crimes or torts of its officers?" (pp. 217-218)

BERNARD, Thomas J., "The Historical Development of Corporate Criminal Liability", (1984) 22 Criminology 3-17; copy at Ottawa University, HV 6001 .C68  Location: MRT Periodicals;

[CONTENTS]

[INTRODUCTION]...3

EARLY CORPORATIONS AND THEIR LIABILITY...4

CORPORATE CRIMINAL LIABILITY FOR TRANSPORTATION SYSTEMS...6

ATTRIBUTING CRIMINAL INTENTION TO CORPORATIONS...8

CORPORATE LIABILITY FOR CRIMINAL HOMICIDE...11

CONCLUSION...12

NOTES...14

CASES...16

REFERENCES...16

BERNARDI, Roger, "Personne morale", novembre 2001, 15 p., dans Réperoire de droit pénal et de procédure pénale, tome 4, Paris: Dalloz; copie à la bibliothèque de la Cour suprême du Canada, Ottawa;
 

BIALKIN, Kenneth J., "Comment on Lynch", (1997) 60 Law and Contemporary Problems 67-69; available at  http://www.law.duke.edu/shell/cite.pl?60+Law+&+Contemp.+Probs.+67+(Summer+1997) (accessed on 23 June 2004); note in reply to LYNCH, Gerard E., infra;
 

BIBLIOGRAPHIE SÉLECTIVE, "La responsabilité pénale des personnes morales", (1993) Revue des sociétés 484-489;
 

BITTO, Marian and Sandor Fülöp, "Hongrie [Hungary].  Crimes against the Environment", (1994) 65 Revue internationale de droit pénal / International Review of Penal Law 974-993, see "Subject of criminal liability", at pp. 978-981; note: Colloque préparatoire, section 1, Les atteintes à l'environnement, problèmes de droit pénal général, Ottawa (Canada), 2-6 novembre 1992;
 

BIXBY, Michael B., "Was It an Accident or Murder? New Thrusts in Corporate Criminal Liability for Workplace Deaths", (July 1990) 41 Labor Law Journal 417-423; copy at Ottawa, KF 3302 .L325  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada, Ottawa;

[Contents]
- [Introduction]...417
- Impact of Decision...418
- Criminal Penalties Under OSHA...419
- People v. Hegedus...419
- Procedural Setbacks...420
- Trends at DOL and OSHA...421
- Conclusion...422

BLACKSTONE, William, 1723-1780, Commentaries on the Laws of England, vol. 1, Book 1, "Of the Rights of persons", Chapter 18, "Of Corporations"; written the first time in 1765;

"THERE are also certain privileges and disabilities that attend an aggregate corporation, and are not applicable to such as are sole; the reason of them ceasing, and of course the law. It must always appear by attorney; for it cannot appear in person, being, as Sir Edward Coke says,³¹  invisible, and existing only in intendment and consideration of law. It can neither maintain, or be made defendant, to, an action of battery or such like personal injuries; for a corporation can neither beat, nor be beaten, in its body politic.³² A corporation cannot commit treason, or felony, or other crime, in its corporate capacity:³³  though its members may, in their distinct individual capacities. Neither is it capable of suffering a traitor's, or felon's punishment, for it is not liable to corporal penalties, nor to attainder, forfeiture, or corruption of blood.³⁴  It cannot be executor or administrator, or perform any personal duties; for it cannot take an oath for the due execution of the office. It cannot be seized of lands to the use of another;³⁵  for such kind of confidence is foreign to the ends of its institution: neither can it be compelled to perform such trust, because it cannot be committed to prison;³⁶  for its existence being ideal, no man can apprehend or arrest it. And therefore also it cannot be outlawed; for outlawry always supposes a precedent right of arresting, which has been defeated by the parties absconding, and that also a corporation cannot do: for which reasons the proceedings to compel a corporation to appear to any suit by attorney are always by distress on their lands and goods.³⁷ Neither can a corporation be excommunicated; for it has no soul, as is gravely observed by Sir Edward Coke:³⁸ and therefore also it is not liable to be summoned into the ecclesiastical courts upon any account; for those courts act only pro salute animae , and their sentences can only be enforced by spiritual censures: a consideration, which, carried to its full extent, would alone demonstrate the impropriety of these courts interfering in any temporal rights whatsoever.
-------------
31.   10 Rep. 32.
32.    Bro. Abr. tit. Corporation. 63.
33.    10 Rep. 32.
34.    The civil law also ordains that, in any misbehavior of a body corporate, the directors only shall be answerable in their personal capacity, and not the corporation. Ff. 4. 3. 15.
35.    Bro. Abr. tit. Feofsm. Al uses. 40. Bacon of uses. 347.
36.    Plowd. 538.
37.    Bro. Abr. tit. Corporation. 11. Outlaw- &. 72.
38.    10 Rep. 32." (source:  http://www.lonang.com/exlibris/blackstone/index.html?bla-118.htm&bla-118fn.htm&../footer.htm (accessed on 7 July 2004)

BLANKENSHIP, Michael B., 1955-, "Understanding Corporate Criminality: Challenges and Issues" in Michael B. Blankenship, 1955-, ed., Understanding Corporate Criminality, New York: Garland Publishing, 1993, xxiii, 266 p., at pp. xi-xxiii (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;
 

BLOCK, Michael K., "Optimal Penalties, Criminal Law and the Control of Corporate Behaviour", (1991) 71 Boston University Law Review 395-419; copy at Ottawa University, K 2 .O678  Location: FTX Periodicals;

[Contents]

[Introduction]...395

I. OPTIONAL PENALTIES...397

A. The Theory...397
B. An Application -- The Oil Spill...398

1. Optimal Fine Levels...400
2. Optimal Prevention Levels...400
3. Optimal Fines and Insolvency...402
4. Optimal Mitigation...403
5. Insolvency and the Structure of Penalties...404
6. Mitigation and Optimality...407
7. Benefits and Costs...408
8. Optimal Multiples and the Size of the Loss...409

II. CRIMINAL LAW: DO CORPORATIONS NEED IT?...410

A. Optimal Procedure...411

1. Reputational Effects and Stigma...411
2. Additional Empirical Evidence...413
3. Criminal Versus Civil Action...414

B. Loss Estimation and Criminal Procedure...415

CONCLUSION...417

BLUMBERG, Phillip I., 1919-, The multinational challenge to corporation law : the search for a new corporate personality, New York: Oxford University Press, 1993, xx, 316 p.,  ISBN:  0195070615; title noted in my research but book not consulted; no copy of this publication in the Ottawa area libraries covered in the AMICUS catalogue of the Library and Archives Canada, Ottawa (verification of 6 July 2004);
 

BOCCON-GIBOD, Didier, La responsabilité pénale des personnes morales: présentation théorique et pratiques,  Paris: Éditions ESKA; [Lyon]: Éditions Alexandre Lacassagne, 1994, 44 p. (Collection; Collection juridique Editions Alexandre Lacassagne), ISBN: 2869112688; copie a l'Université Laval, KJV 4895 B664 1994; titre noté dans mes recherches mais livre non consulté;
 

BOIZARD, Martine, "Amende, confiscation, affichage ou communication de la décision", (1993) Revue des sociétés 235-238; copie à l'Université d'Ottawa, K 650 .R49  Location: FTX Periodicals; copie à la Bibliothèque de la Cour suprême du Canada; note: Colloque du 7 avril 1993 organisé par l'Université de Paris 1 (Panthéon-Sorbonne) et le Centre de recherches fondamentales de droit privé;
 

BOLLE, Pierre-Henri, "La responsabilité pénale des personnes morales", dans Les Fiches juridiques suisses : documentation fédérale et cantonale de pratique juridique, économique, sociale et fiscale, publiée sur fiches constamment tenues à jour, Genève : Fiches juridiques suisses, 1941-, Fiche Juridique Suisse 6 (mise au point du 1^er juillet 1981), 5 p.; copie à l'Université d'Ottawa, KKW 1600 .A13 F5  Location: FTX General;

"I. LA RÈGLE GÉNÉRALE DU CODE PÉNAL

1. La responsabilité pénale implique de pouvoir agir avec conscience et volonté (art. 18 CP), ce qu'en droit pénal suisse, seules peuvent les personnes physiques.  Il en découle que, faute de pouvoir agir ainsi, les personnes morales et les groupements de personnes ne sont pas assujettis au Code pénal et, en principe, ne peuvent être l'objet de poursuites pénales.  [...]

2. L'adage societas delinquere non potest règne donc en droit pénal suisse, selon lequel une collectivité ne saurait être poursuivie, mais seulement ceux de ses membres qui ont réellement participé à l'infraction.  Deux arguments fondent cette conception.  Tout d'abord, le droit pénal suisse est basé sur la faute (Schuldstrafrecht), qui implique chez l'auteur une volonté propre.  Quiconque en est dénué -- et une collectivité l'est -- ne peut commettre d'infraction.  Ensuite, les sanctions du Code pénal sont instituées pour être appliquées aux seules personnes physiques, et sont soumises au principe de la personnalité selon lequel ne peuvent être condamnés que ceux qui ont pris part à la commission de l'infraction.  Or, reconnaître aux collectivités la responsabilité pénale permettrait de châtier des personnes étrangères à l'acte délictueux." (p. 1)

BONFILS, Sébastien, Fondements logiques de la responsabilité pénale des personnes morales, Mémoire de DEA : Philosophie du droit / Paris 2; session de 1995, 88 feuilles; pas de résumé au catalogue Abes; titre noté dans mes recherches; aucune copie de ce mémoire dans les bibliothèques couvertes par le catalogue AMICUS (vérification du 20 février 2004);
 

BONICHOT, Jean-Claude, "La responsabilité pénale des personnes morales de droit public", Gazette du Palais, 10 juin 1999, pp. 768-773;  copie à l'Université d'Ottawa, KJV 9 .G39  Location: FTX Periodicals;
 

BONNEFOY, Gaston, La responsabilité pénale des personnes morales et spécialement des sociétés et de leurs représentants, 2e édition mise au courant de la législation et de la jurisprudence, Choisy-le-Roi, Impr. du Droit, Paris, Libr. des Juris-Classeurs-éditions Godde, 25-27, place Dauphine : 1932, 78 p.; titre noté dans mes recherches; aucune copie de ce mémoire dans les bibliothèques couvertes par le catalogue AMICUS (vérification du 20 février 2004);
 

BORCY, Violaine, La responsabilité pénale des personnes morales, facultés universitaires Notre-Dame de la paix,  Faculté des sciences économiques, sociales et de gestion (Départment de droit), Namur, mémoire de maîtrise en sc. de gestion, 2000, 93 feuilles, directeur: Michel Coipel; titre noté dans mes recherches mais mémoire non consulté; aucune copie de cette th'ese dans les bibliothèques canadiennes comprises dans le catalogue AMICUs de Bibliothèque et Archives Canada (vérification du 4 août 2004);

"Résumé : Après être resté fidèle pendant de nombreuses années à l'adage 'Societas delinquere potest sed puniri non potest', le législateur belge a introduit dans notre droit la loi du 4 mai 1999 qui consacre le principe de la responsabilité pénale des personnes morales.  Plusieurs adaptations se sont avérées nécessaires par rapport au régime applicable aux personnes physiques, que ce soit au niveau du principe de cette responsabilité, des sanctions ou de la procédure pénale. Cette loi n'ayant, à l'heure actuelle, donné lieu à aucune jurisprudence, un doute subsiste quant à l'interprétation à donner à certains articles. Une comparaison est réalisée entre la législation belge et la législation française, dans laquelle ce principe est prévu depuis le 1er mars 1994. Certains points sont semblables mais d'autres sont tous à fait différents, en particulier la manière de percevoir la personne morale. (source:  http://www.eco.fundp.ac.be/cahierpromo/mem2000/mborcyv.htm, visionné le 26 décembre 2003)

BORRICAND, Jacques, "Pour une responsabilité pénale de tous les groupements?,  (1981) 18 Annales de la Faculté de droit et de science politique / Université de Cldermont 127-150; copie à l'Université d'Ottawa, KJJ 0 .A535  Location: FTX Periodicals;

[Table des matières]

[INTRODUCTION]...129

1ère PARTIE: L'OPPORTUNITÉ D'UNE RESPONSABILITÉ PÉNALE DE
TOUS LES GROUPEMENTS...130

A- L'opportunité sur le plan théorique...130

B- L'opportunité sur le plan pratique...132

1^o -- Le risque de potentialités criminelles...133
2^o -- Le risque d'impunité...134

2ème PARTIE: LA MISE EN OEUVRE DE LA RESPONSABILITÉ PÉNALE
DE TOUS LES GROUPEMENTS

A- L'imputabilité...141

B- Les sanctions...144

1^o -- Nature des sanctions...145
2^o -- L'exécution des sanctions...145

CONCLUSION...146

NOTES...147
 

BOSLY, Henri D., "Le droit pénal des sociétés, examen de doctrine et de jurisprudence", (1974) Revue pratique des sociétés civiles et commerciales vers les pages 121; titre noté dans mes recherches; aucune copie de ce numéro de périodique dans les bibliothèques canadiennes comprises dans le catalogue de la bibliothèque nationale du Canada, Amicus (vérification du 18 juin 2004);
 

___________"Responsabilité et sanctions en matière de criminalité des affaires", (1982) 53 Revue internationale de droit pénal 125-143;

[Table des matières]

Chapitre 1er. -- La responsabilité...125

Section 1. -- La personne physique...125

1. -- L'imputabilité légale...126
2. -- L'imputabilité judiciaire...127

A. Infraction commise par une personne morale...127
B. L'infraction d'omission...127
C. Le dirigeant de fait de l'entreprise...127

Section 2. -- La responsabilité pénale des groupements...128

Chapitre II. -- Les sanctions...128

Section 1. -- Les sanctions pénales...128

1. -- L'emprisonnement...129
2. -- L'amende...129
3. -- La confiscation...130
4. -- L'injonction judiciaire...131
5. -- Interdiction professionnelle, privation de droits ou d'avantages...131
6. -- La fermeture d'entreprise...131
7. -- La publicité...132

Section 2. -- Sanctions administratives et civiles...132

1.-- Droit européen de la concurrence...133
2. -- En République fédérale d'Allemagne...133
3. -- En Italie...134

Considérations finales...134

NOTES...136

___________"La responsabilité pénale des personnes morales et le nouveau droit pénal des sociétés," in Centre Jean Renauld du droit des sociétés (Louvain-la-Neuve), Le nouveau code des sociétés / Université catholique de Louvain, Centre d'études Jean Renauld, Bruxelles : Bruylant ; Louvain-la-Neuve : Academia-Bruylant, 395 p. (Collection; Droit des sociétés; 8), ISBN: 2802713442 (Bruylant) et 2872095705 (Academia); titre noté dans mes recherches mais article non consulté; selon ma vérification du catalogue AMICUS de la Bibliothèque nationale du Canada, aucun bibliothèque comprise dans ce catalogue n'a ce volume sur le droit belge;
 

BOSLY, Henri et Jean-P. Spreutels, "Belgique -- Rapport national", (1983) 54(1-2) Revue internationale de droit pénal / International Review of Penal Law 117-155, voir "La Responsabilité pénale des personnes morales", à la p.135 et "La responsabilité civile de paiement de l'amende", aux pp. 135-136 (Actes du Colloque International, "Conception et principes du droit pénal économique et des affaires y compris la protection du consommateur", tenu à Freiburg-en-Brisgau, République Fédérale d'Allemagne, 20-23 septembre 1982, en préparation pour le 13^e Congrès international de droit pénal de l'Association internationale de droit pénal (AIDP) au Caire en 1984 /  Report of the Proceedings of the International Colloquium, "Concept and Principles of Economic and Business Criminal Law",  held in Freiburg i. Br., Federal Republic of Germany, September 20-23, 1983, in preparation for the 13th International Congress of Penal Law of the International Association of Penal Law (IAPL) in Cairo, 1984;
 

BOTTOMLEY, Stephen, "Book Review: The Prosecution of Corporations by Jonathan Clough and Carmel Mulhern (Melbourne: Oxford University Press, 2002) pages i–xl, 1–239. Price A$79.95 (softcover). ISBN 0 19 550645 6", (2003) 27(2) Melbourne University Law Review 627-633; copy at Ottawa University, KTA 0 .M454  Location: FTX Periodicals; available at: http://www.austlii.edu.au/au/journals.OLD/MULR/2003/23.html (accessed on 7 July 2004); see Clough, Jonathan and Carmel Mulhern, infra;
 

BOUERAOUI, S., "Les sociétés commerciales et le droit pénal ou les sociétés commercials entre droit pénal économique et le droit pénal des affaires", (1987) 58 Revue internationale de droit pénal 9-20; note:"Les sociétés commerciales et le droit pénal, Colloque organisé les 2, 3 et 4 mai 1985 à la Faculté de Droit et des Sciences Politiques et Économiques de Tunis par l'Association Tunisienne de Droit Pénal et le Centre d'études, de recherches et de publications de la Faculté de Droit et des Sciences Politiques et Économiques de Tunis";

Table des matières

RAPPORT INTRODUCTIF...9

PREMIÈRE PARTIE -- LE DROIT...11
A. L'hétérogénéïté du droit pénal...12
B. L'harmonisation des droits spécifiques...13

a) L'unité criminologique...14
b) La même recherche de l'identité du responsable...14
c) Structure de l'infraction...15

DEUXIÈME PARTIE -- LE FAIT...16
A. L'évasion du fait...16
B. L'opacité du fait...17

BOULOC, Bernard, "Le casier judiciaire des personnes morales", (1993) Revue des sociétés 364-368; copie à l'Université d'Ottawa, K 650 .R49  Location: FTX Periodicals; copie à la Bibliothèque de la Cour suprême du Canada; note: Colloque du 7 avril 1993 organisé par l'Université de Paris 1 (Panthéon-Sorbonne) et le Centre de recherches fondamentales de droit privé;
 

____________"La Criminalisation du comportement collectif -- France", in La criminalisation du comportement collectif : XIVe Congrès international de droit comparé / Académie internationale de droit comparé ; prép. par Hans de Doelder [et] Klaus Tiedemann Criminal liability of corporations : XIVth International Congress of Comparative Law / International Academy of Comparative Law, The Hague/London/Boston : Kluwer Law International, 1996, xvi, 401 p., aux pp. 235-249, ISBN: 9041101659; titre noté dans mes recherches; article non consulté; aucune copie de ce livre dans les bibliothèques de la région d'Ottawa selon ma vérification du catalogue AMICUS, le 30 janvier 2004;
 

__________"Le domaine de la responsabilité pénale des personnes morales", (1993) Revue des sociétés 291-297; copie à l'Université d'Ottawa, K 650 .R49  Location: FTX Periodicals; copie à la Bibliothèque de la Cour suprême du Canada; note: Colloque du 7 avril 1993 organisé par l'Université de Paris 1 (Panthéon-Sorbonne) et le Centre de recherches fondamentales de droit privé;
 

___________"Le droit pénal général en matières d'affaires", (mars 2002) Revue pénitentiaire et de droit pénal 17-26, voir "C'est certainement à cause d'un certain développpement de la criminalité d'affaires (scandales immobiliers, affaires des sociétés civiles foncières faisant appel public aux épargnants) que les rédacteurs du premier projet de code pénal de 1994 ont estimé utile d'envisager la responsabilité pénale des personnes morales", aux pp. 23-25;  copie à l'Université d'Ottawa, KJJ 0 .R487  Location: FTX Periodicals;

"Quant aux personnes morales, les difficultyés proviennent de ce qu'elles n'ont pas de véritable 'vouloir' propre.  La loi, on le sait, prévoit qu'elles sont responsables des infractions commises pour leur compte, par leurs organes ou représentants.  En fait, deux grandes situations se présentent: le cas d'infractions intentionnelles, et le cas d'infractions involontaires.  Pour les infractions intentionnelles, il est nécessaire que l'organe ou le représentant ait eu conscience et volonté de commettre l'infraction pour la personne morale.  C'est ce qui ressort de la jurisprudence de la Cour de Cassation du 2 décembre 1997.  Une telle situation est logique, car il importe que le représentant ou l'organe ait voulu agir sciemment pour la personne morale.

Dans l'hypothèse d'une infraction d'imprudence, où se trouve en cause parfois une mauvaise organisation de la personne morale, il n'est pas nécessaire que l'agent ait eu conscience, mais il importe qu'une faute de la nature de celles envisagées par la loi puisse être établie." (p. 24; une note omise)

___________"Généralités sur les sanctions applicables aux personnes morales", (1993) Revue des sociétés 327-329; copie à l'Université d'Ottawa, K 650 .R49  Location: FTX Periodicals; copie à la Bibliothèque de la Cour suprême du Canada; note: Colloque du 7 avril 1993 organisé par l'Université de Paris 1 (Panthéon-Sorbonne) et le Centre de recherches fondamentales de droit privé;
 

___________"La responsabilité pénale des entreprises en droit français", (1994) 46 Revue internationale de droit comparé 669-681; copie à l'Université d'Ottawa, K 7001 .R467  Location: FTX Periodicals;
 

BOUOUD, Lassaad, La responsabilité pénale des dirigeants des personnes morales en procédures collectives en droit tunisien, Mémoire DEA : Droit, institutions, société, Islam et Afrique francophones : Université de Perpignan : 2000, 85 feuilles - annexes; pas de résumé au catalogue Abes; titre noté dans mes recherches; aucune copie de ce mémoire dans les bibliothèques comprises dans  le catalogue AMICUS de la Bibliothèque nationale du Canada (vérification du 20 février 2004); mémoire non consulté;
 

BOUVIER, Émile, De la solidarité active en droit romain. De la responsabilité pénale et civile des personnes morales en droit français, Lyon: Impr. nouvelle, 1887, 289 p.; thèse pour le doctorat, Université de France, Faculté de droit de Lyon, 1887; titre noté dans mes recherches mais livre non consulté; aucune copie au Canada selon ma vérification du catalogue AMICUS de la Bibliothèque nationale du Canada (15 avril 2004);
 

BOWMAN III, Frank O., "Drifting Down the Dnieper with Prince Potemkin: Some Skeptical Reflections about the Place of Compliance Programs in Federal Criminal Sentencing", (2004) 39(3) Wake Forest Law Review 671-690; copy at Ottawa University, KFN 7469 .W35  Location: FTX Periodicals;
 

BOYER, Jérôme, La responsabilité pénale des personnes morales dans les accidents du travail, Mém. DESS : Lutte contre la délinquance et les déviances : Aix-Marseille 3 : 1994, 127 feuilles; pas de résumé au catalogue Abes; titre noté dans mes recherches mais livre non consulté; aucune copie au Canada selon ma vérification du catalogue AMICUS de la Bibliothèque nationale du Canada (15 avril 2004);
 

BRADY, Alan, "Corporate Homicide: Some Alternative Legal Approaches", (2002) 12(2) Irish Criminal Law Journal 12-15; copy at the Library of the Supreme Court of Canada, Ottawa; important contribution for common law countries;
 

BRAITHWAITE, John, 1951-, "Challenging Just Deserts: Punishing White-Collar Criminals", (1982) 73 Journal of Criminal Law and Criminology 723-763;

[Contents]

I. INTRODUCTION...723

II. WHO DESERVES TO BE PUNISHED?...724

III. PUBLIC ATTITUDES TO WHITE-COLLAR CRIME...731

IV. THE PITFALLS OF MESURING DESERT BY SURVEYS...738

V. MEASURING DESERT BY OBJECTIVE HARM...742

VI. THE VOLUME OF WHITE-COLLAR CRIME...745

VII.  PITFALLS OF MEASURING DESERT BY OBJECTIVE
        HARM...747

VII.  WHY JUST DESERTS IS UNWORKABLE...750

VIII.  INCOMPATABILITIES BETWEEN PROPORTIONALITY
         AND OTHER VALUED GOALS

IX.  BACK TO UTILITARISM...758

X.  AFTERWORD ON MIXED RETRIBUTIVIST STRATEGIES...761

___________Corporate Crime in the Pharmaceutical Industry, London/Boston: Routledge & Kegan Paul, 1984, viii, 440 p., ISBN: 0710200498; copy at Ottawa University, MRT General, HV 6769 .B7 1984; copy at the Library of Parliament;

"Contents

    Preface...vii

1  Introduction: an industry case study of corporate crime...1
2  Bribery...11
3  Safety testing of drugs: from negligence to fraud...51
4  Unsafe manufacturing practices...110
5  Antitrust...159
6  The corporation as pusher
7  Drug companies and the Third World...345
8  Finding...279
9  Strategies for controlling corporate crime...290

    Appendix Getting interviews with corporate
        executives...384
    Notes....389
    Bibliography...408
    Index...428"  (p. v)
 

"Contents
    Preface...page vii
1  Whither criminological theory?...1
2  The dominant theoretical traditions: labelling, subcultural
    control, opportunity and learning theories...16
3  Facts a theory of crime ought to fit...44
4  The family model of the criminal process: reintegrative shaming...54
5  Why and how does shaming work?...69
6  Social conditions conducive to reintegrative shaming...84
7  Summary of the theory...98
8  Testing the theory...108
9  Reintegrative shaming and white collar crime...124
10  Shaming and the good society...152
    References...187
    Index...216

___________"Enforced Self-Regulation: A New Strategy for Corporate Crime Control", (1982) 80 Michigan Law Review 1466-1507;

[Contents]

[Introduction]...1466

I. CONTROLLING CORPORATE CRIME THROUGH ENFORCED
   SELF-REGULATION...1467

A. The Theory of Self-Regulation...1467
B. The Model...1470
C. An Illustration Regulating Corporate Accounting Standards...1473

II. STRENGTHS OF THE ENFORCED SELF-REGULATION MODEL...1474

A. Rules Would Be Tailored To Match the Company...1475
B. Rules Would Adjust More Quickly to Changing Business
    Environments...1475
C. Regulatory Innovation Would Be Fostered...1476
D. Rules Would Be More Comprehensive in Their Coverage...1477
E. Companies Would Be More Committed to Rules They Wrote...1478
F. The Confusion and Costs That Flow from Having Two Rulebooks
    (the Government's and the Company's) Would Be Reduced...1479
G. Business Would Bear More of the Costs of Its Own Regulation...1480
H. More Offenders Would Be Caught More Often...1480
I. Offenders Who Were Caught Would Be Subjected to Internal Discipline
    In a Larger proportion of Cases Than Under Traditional Government
    Regulation...1481
J. It Would be Easier For Government Prosecutors To Obtain Corporate
    Crime Convictions...1481
K. Compliance Would Become the path of Least Corporate Resistance...1482

III. INCIPIENT MANIFESTATIONS OF THE ENFORCED SELF-REGULATION
    MODEL...1483

IV. WEAKNESSES OF THE ENFORDED SELF-REGULATION MODEL...1490

A. Regulatory Agencies Would Bear Costs of Approving a Vastly Increased
    Number of Rules Each Year...1490
B. Cooptation of the Regulatory Process by Business Would Be Worsened...1492
C. Companies Would Bear Increased Costs in Delay and Paperwork from
    Getting New Rules Approved...1493
D. Western Jurisprudence Might Not Be Able to Accomodate Privately Written
    Rules Being Accorded the Status of Publicly Enforceable Laws...1493
E. Particularistic Laws Might Weaken the Moral Force of Laws That Should
    Be Universal...1494
F. The Model Would Encourage the Trend to "Industrial Absolutism"...1495
G. Companies Would Write Their Rules in Ways Which Would Assist Them To
    Evade the Spirit of the Law...1495
H. Companies Cannot Command Compliance as Effectively as Government...1496
I. The Independence of the Compliance Group Could Never Be Fully
    Guaranteed...1497

V. FOR A MIX OF REGULATORY STRATEGIES...1500

CONCLUSION...1503

APPENDIX: THE CORPORATE CASE LAW APPROACH...1504

___________"The Limits of Economism in Controlling Harmful Corporate Conduct", (1981-82) 16 Law & Society  Review 481-504; copy at Ottawa University, K 12 .A865  Location: FTX Periodicals;

[Summary]

"Economism is seen as having a number of disadvantages compared with legalism as the preferred model for regulating hazardous industrial practices such as pollution.  Economism forces public policy to react retrospectively to hazards when efforts could be made to prevent the hazard before it occurs.  Economism engenders a moral relativism which weakens the moral force of the law;  it makes detection and deterrence more difficult than under legalism.  The regulatory approaches of economism may involve reduced cost burdens on business but lesser predictability of those costs.  Economism does not relieve business of the burdens of government inspections;  it simply replaces technical inspectors with tax investigators because taxes on hazards can easily be evaded.  Legalism, unlike econonomism, is not wedded to the assumption that business enterprises always behave rationally.  In practical terms it is impossible to calculate economically optimal levels of taxes on social harm.  Even if it were possible, the costs of making such calculations would be prohibitive.  It is concluded that economistic strategies have quite limited, though important, roles in business regulation." (p. 481)

___________"SELF-REGULATION: INTERNAL COMPLIANCE STRATEGIES TO PREVENT CRIME BY PUBLIC OTGANISATIONS",  in Peter Grabosky, 1945-, ed., assisted by Irena Le Lievre, Government Illegality, Canberra, A.C.T.: Australian Institute of Criminology, 1987, v, 232 p., at pp. 145-170  (series; Proceedings / AIC Seminar, ISSN: 0813-7005; no. 17), ISBN: 0642115400; note: "This paper draws heavily on John Braithwaite and Brent Fisse, "Self-Regulation and the Control of Corporate Crime", in C. Shearing and P. Stenning (eds.), Private Policing, Beverly Hills: Sage, in press" (p. 146);  copy at the Library of Parliament, Ottawa, JQ 4024 G69;

[CONTENTS]

[INTRODUCTION]...146

NOBLESSE OBLIGE...146

THE VIRTUES OF SELF-REGULATION...147

THE ESSENTIAL REQUIREMENTS OF AN EFFECTIVE
SELF-REGULATORY SYSTEM...150

CLOUT FOR INTERNAL COMPLIANCE GROUPS...150

CLEARLY DEFINED ACCOUNTABILITY...152

MONITORING COMPLIANCE PERFORMANCE...153

U.S. Steel...154

Exxon...155

IBM...157

COMMUNICATION OF COMPLIANCE PROBLEMS...160

TRAINING AND SUPERVISION FOR COMPLIANCE...164

HATCHING FOR NON-COMPLIANCE...165

REFERENCES...168

[Contents]

[Introduction]...39

A Vigilant Board...39

Open Corporate Governance...43

Watching Pressures for Irresponsibility...48

Specialized Compliance Functions...49

Governmentally Mandated Internal Compliance Guarantees...53

NOTES...58

___________"Poverty, Power, and White-Collar Crime.  Sutherland and the  Paradoxes of Criminological Theory", in Kip Schlegel and David Weisburd, eds., White Collar Crime Reconsidered, Boston: Northeastern University Press, 1992, xv, 384 p., at pp. 78-107, ISBN: 1555531415; notes; "Papers originally presented at a conference held at Indiana University in May 1990"; copy at Ottawa University, MRT General: HV 6769 .W485 1992; for the table of contents, see the Catalogue of Columbia University, PEGASUS, at  http://pegasus.law.columbia.edu/;

[Contents]

[Introduction]...78

Opportunity Theory...81

The Social Structure of Humiliation...91

Criminology as a Model of How to Do Social Theory?...101

REFERENCES...102

NOTES....106

___________To Punish or Persuade: Enforcement of Coal Mine Safety, Albany (New York): State University of New York Press, 1985, xi, 206 p., ISBN: 0873959310 and 0873959329 (pbk.); copy at Human Resources Development Canada, Departmental Library, call number: TN311 B81; copy at CISTI, Canada Institute for Scientific and Technical Information/ICIST, Institut canadien de l'information scientifique et technique; TN311 B814; title noted in my research but book not consulted yet (26 July 2004);
 

BRAITHWAITE, John, and B. Fisse, "On the Plausibility of Corporate Crime Control", in Gilbert Geis, Robert F. (Robert Frank) Meier, 1944-, and Lawrence M. Salinger, eds., White Collar Crime: Classic and Contemporary Views, 3rd ed., New York: The Free Press, 1995, vii, 511 p., at pp. 432-449, ISBN: 0029116015;  copy at Carleton University, Ottawa, HV6635.W45 1995; note: reprinted from (1990) 2 Advances in Criminological Theory 15-37;

[Contents]

[INTRODUCTION]...432

CORPORATIONS ARE LIKE REAL PERSONS...434

CORPORATIONS ACT...434

CORPORATIONS HAVE INTENTIONS...439

CORPORATIONS CAN COMMIT CRIME...444

CORPORATIONS CAN SUFFER FROM PUNISHMENT...444

THE SAME THEORY CAN BE APPLIED TO INDIVIDUAL AND CORPORATE CRIMINALS...446

CONCLUSION...447

Notes...447

___________"Varieties of Responsibility and Organizational Crime", (1985) 7 Law and Policy 315-343; copy at Ottawa University, K 3220 .L37  Location, FTX Periodicals;

[Abstract]

"Data from interviews at the head offices of Japanese companies are used to illustrate the highly varied ways in which large organizations hold individuals and subunits responsible for corporate wrongdoing.  Noblesse oblige, captain of the ship responsibility, nominated accountability and fault-based responsibility are identified as important types of individual accountability all of which can be unjust and ineffective when decision making is more or less collective.  In the face of immense diversity in varieties of responsibility for organizational crime, different strategies for bringing law and organizational culture into alignment are tentatively evaluated." (p. 315)

BRAITHWAITE, John, 1951-,  and Gilbert Geis, "On theory and action for corporate crime control", (April 1982) 28(2) Crime and Delinquency 292-314; copy at Ottawa University, HV 6001 .N2  Location: MRT Periodicals;

[Abstract]

"The recent surge of governmental and scholarly interest in corporate crime seems likely to end or to slow down considerably under the Reagan administration.  This paper examines six propositions jointly suggesting that corporate crime represents a more feasible and significant crime control target than traditional crime.  It is argued that the discredited doctrines of crime control by public disgrace, deterrence, incapacitation, and rehabilitation can be successfully applied to corporate crime.  This would be particularly true if the implications of our propositions were to form the basis for alterations in criminal law and criminal procedure." (p. 292)

BRAITHWAITE, John, 1951-,  and Toni Makkai, "Testing an Expected Utility Model of Corporate Deterrence", (1991) 25 Law and Society Review 7-40, with references at pp. 36-39; copy at Ottawa University, K 12 .A865 Location: FTX Periodicals; copy also at the library of the Supreme Court of Canada, Ottawa;

[Abstract]

    This article reports on the first quantitative perceptual deterrence study of corporate (rather than individual) deterrence.  The study is based on interviews with 410 chief executives of small organizations and their officially recorded compliance with regulatory standards.  We find partial support for the certainty of detection as a predictor of both self-reported and officially recorded compliance but no support for the certainty or severity of sanctioning.  The narrow range of sanctions available in the particular regulatory domain studied (regulation of nursing home quality) has enabled a fuller specification than was possible in previous studies of an expected utility model for all sanctions.  Managers' expected corporate disutility from all sanctions fails to explain compliance.  Deterrence does not work significantly more effectively for chief executives (a) of forprofit versus nonprofit organizations, (b) who are owners compared with those who are not owners, (c) who say they think about sanctions more (sanction salience), (d) who may better fit the rational choice model in that they are low on emotionality, (e) who have a weaker belief in the law.  Nor is deterrence more effective when compliance costs are low." (p. 7)
 

BRICKEY, Kathleen F., "Andersen's Fall from Grace", (2003) 81(4) Washington University Law Quarterly 917-959; copy at the Library of the Supreme Court of Canada;
 

___________"Close Corporations and the Criminal Law: On 'Mom and Pop' and a Curious Rule", (1993)  71 Washington University Law Quarterly 189-204; copy at Ottawa University, KFM 7869 .W37  Location: FTX Periodicals; with the same title in Leonard Orland, ed., Corporate and White Collar Crime: An Anthology, [Cincinnati, Ohio]: Anderson Publishing, 1995, xiii, 438 p., ISBN: 0870848704; last title not at Ottawa University;

[Contents]

I. INTRODUCTION...189
II. "Mom and Pop"...191
III. A CURIOUS RULE...198
IV. CONCLUSION...204"

___________"Corporate Criminal Accountability: A Brief History and an Observation", (1982-83) 60 Washington University Law Quarterly 393-423; copy at Ottawa University, KFM 7869 .W37  Location: FTX Periodicals;

[Contents]

I.  INTRODUCTION...393

II.  HISTORICAL DEVELOPMENT OF ENGLISH DOCTRINE...397

A.  Evolution of the Corporate Form...397
B.  The Corporate Personnality...400
C.  Development of Corporate Liability...401

III.  HISTORICAL DEVELOPMENT OF AMERICAN DOCTRINE...404

A.  The Colonial Corporation...404
B.  Evolving Theory...405

1.  Nuisance...405
2.  Nonfeasance Versus Misfeasance...407
3.  Crimes requiring Intent...410

IV.  A RELATED HISTORICAL DEVELOPMENT: VICARIOUS CRIMINAL LIABILITY...415

A.  Historical Origin of the Respondeat Superior Doctrine...416
B.  Historical Origin of the Doctrine of Parties to Crime...416

1.  Nuisance...418

V.  AN OBSERVATION...421

___________"Corporate Criminal Liability: A Primer for Corporate Counsel", (November 1984) 40(1) Business Lawyer 129-158; copy at Ottawa University, KF 297 .A1 B877  Location: FTX Periodicals;  copy at the Supreme Court of Canada, Ottawa;

[Contents]

[INTRODUCTION]...129

WHEN IS A CORPORATION LIABLE FOR THE CRIME OF ITS
AGENTS?...131

- GENERAL PRINCIPLES...131
- SUBSIDIARIES AND DIVISIONS AS AGENTS...133
- MENS REA CRIMES...134
- RELATIONSHIPS BETWEEN INSTITUTIONAL AND
  INDIVIDUAL LIABILITY...135

WHEN IS A CORPORATE OFFICER OR AGENT LIABLE FOR CRIMES
THAT OCCUR DURING THE COURSE OF HIS EMPLOYMENT?...138

MAJOR FEDERAL CRIMINAL STATUTES: A REPRESENTATIVE SAMPLING...143

- CONSPIRACY...143
- RICO...145
- SECURITY LAWS...147
- MAIL AND WIRE FRAUD...149
- FOREIGN CORRUPT PRACTICES ACT...150
- TAX CRIMES...152
- FALSE STATEMENTS...153
- OBSTRUCTION OF JUSTICE...155

CONCLUSION...158

___________Corporate criminal liability : a treatise on the criminal liability of corporations, their officers, and agents, 2nd ed., Deerfield, IL : Clark Boardman Callaghan, c1992-c1994, 3 v. ; last update 10/02; copy at the Library of the Supreme Court of Canada, KF9236.5 B74 1991;

"This multivolume set analyzes critical components of liability under major federal criminal statutes applicable to corporate behavior, such as RICCO,CERCLA, RLRA, the Hobbs Act, the Hatch Act, and the Foreign Corrupt Practices Act. It includes coverage of topics such as schemes to defraud, sensitive domestic payment, and offenses related to Internal Revenue Code violations;   obstruction of justice; perjury and false statements; environmental crimes; interpretation of acts of wrongdoing regardless of intent; bribery and gratuity; major tax crimes; and corporate slush funds. Presents strategies for minimizing corporate criminal liability." (source: http://west.thomson.com/store/product.asp?product_id=13512479&cookie%5Ftest=1, accessed on 27 November 2003)

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

"Summary of Contents

                     Volume 1

                         Part 1: General Principles of Corporate Criminal Liability
                         Part 2: Liability Under Major Federal Statutes

                     Volume 2

                         Part 2: Liability Under Major Federal Statutes (continued)

                     Volume 3

                         Part 2: Liability Under Major Federal Statutes (continued)

                         Selected Statutes
                         Selected Regulations
                         Statute Distribution Table
                         Regulation Distribution Table
                         Table of Cases
                         Index" (source:  http://west.thomson.com/store/SummaryOfContents.asp?product_id=13512479&cookie%5Ftest=1& (accessed on 27 November 2003)

___________"Death in the Workplace: Corporate Liability for Criminal Homicide", (1987) 2 Notre Dame Journal of Law, Ethics and Public Policy 753-790; with the same title  in Leonard Orland, ed., Corporate and White Collar Crime: An Anthology, [Cincinnati, Ohio]: Anderson Publishing, 1995, xiii, 438 p., ISBN: 0870848704; title noted in my research but article not consulted; no copy of both these publications (the particular volume in the case of the periodical) were found in the Ottawa area libraries covered by the AMICUS catalogue of Library and Archives Canada (verification of 21 July 2004);
 

___________"Enron's Legacy", (2004) 8(1) Buffalo Criminal Law Review 221-276, Symposium on “White Collar Criminal Law in Comparative Perspective: The Sarbanes-Oxley Act of 2002 (April 3-4, 2004)”; should eventually be published at  http://wings.buffalo.edu/law/bclc/bclr.htm (not published as of 17 June 2005);
 

___________"From Enron to WorldCom and beyond: life and crime after Sarbanes-Oxley", (2003) 81(2) Washington University Law Quarterly 357-401; copy at Ottawa University,  KFM 7869 .W37  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada, Ottawa; note the whole issue 81(2) is entitled: "F. Hodge O'Neal Corporate and Securities Law Symposium.  After The Sarbanes-Oxley Act: The Future of the Mandatory Disclosure System";

[Contents]

[INTRODUCTION]...357

I. CORPORATE WHISTLEBLOWERS

A. Enron...360

1. Sherron Watkins...360
2. Sarbanes-Oxley...364

B. WorldCom...369

1. Cynthia Cooper...369
2. Sarbanes-Oxley...370

II. COOPERATING WITNESSES...370

A. Adelphia Communications...370
B. WorldCom...371
C. Cooperation Agreements...373
D. Sarbanes-Oxley...375

CONCLUSION...381

APPENDIX A -- MAJOR CORPORATE FRAUD PROSECUTIONS
                            MARCH 2003-AUGUST 2003...382

___________"Rethinking Corporate Liability Under the Model Penal Code", (1987-88) 19 Rutgers Law Journal 593-634;

[Contents]

I. Introduction...593

II. THE MODEL PENAL CODE SCHEME OF LIABILITY...596

A. The Rules...597
B. Interpreting the Rules...598

1. Legislative Purpose to Impose Liability...598
2. High Managerial Agents...601

C. Tension Between the Rules...604

III. UNDERLYING RATIONALES...611

A. Legal Line Drawing...611
B. Rationale for Limiting Corporate Liability for True Crimes...613
C. Rationale for Recognizing Corporate Liability Under Respondeat Superior Principles...614

IV. CRITIQUE OF RATIONALES...615

A. Economic Rationale...615

1. Solicitude for Shareholders...615
2. Cost to Consumers...619

B. Deterrence Rationale...620

1. Corporate Liability...620
2. Personal Liability...621
3. Civil Liability...623
4. Postcript on Shareholders' Role...624

V. FACTS OF MODERN CORPORATE LIFE...625

A. Diffusion of Responsibility...625
B. The Role of the Board...626
C. Comment...628

VI. CONCLUSION...629

APPENDIX --SUMMARY OF STATE CORPORATE
  LIABILITY STATUTES WITH MODEL PENAL CODE
  ANALOGS...633
 

[CONTENTS]

I. INTRODUCTION...338

II. THE LAW OF CORPORATE CRIMINAL LIABILITY...339

A. Corporations are Only Liable for the Acts of Employees if the
     Employees are Acting Within the Scope and Nature of Their Employment...340

B. A Corporation Will Not be Liable for the Acts of its Employees Unless
    Those Actions are Designed to Benefit the Corporation...343

C. To Hold a Corporation Liable for the Acts of its Employees, a Court Must
    Impute the Intent of the Individuals to the Corporation...344

1. Conspiracies...344
2. Mergers, Dissolutions, and Liability...345
3. Misprision of Felony...346
4. The Willful Blindness Doctrine...347
5. The Collective Knowledge Doctrine...347

III. ORGANIZATIONAL SENTENCING GUIDELINES...348

A. Introduction: Purpose and Scope of the Organizational Guidelines...348

1. Controls on Prosecutorial Discretion...348
2. Promulgation of the Organizational Sentencing Guidelines...349
3. General Principles...349
4. Organizations Covered by Chapter 8 of the Guidelines...350
5. Purpose and Effect of the Organizational Guidelines...350
6. Case Law Concerning the Organizational Guidelines...351

B. Guidelines Provisions: Offenses Covered and Sanctions Permitted...352

1. Remedies...353
2. Probation...354
3. Imposition of Fines...355

a. Base Offense Level...356
b. Base Fine...357
c. Culpability Score...357

i. Calculation: Increasing Factors...358
ii. Calculation: Decreasing Factors...359

(1) Effective Corporate Compliance Programs...359
(2) Cooperation...363

d. Multipliers...364
e. Disgorgement...364
f. Implementation...365
g. Departures...365

BRODUT-MALINCONI ISTRIA, Christel, L'application jurisprudentielle de la responsabilité pénale des personnes morales, Thèse Doctorat : Droit : Aix-Marseille 3 : 1999, 2 vol., 358 f + annexes; pas de résumé au catalogue Abes; titre noté dans mes recherches mais thèse non consultée; aucune copie au Canada pour les bibliothèques couvertes par le catalogue AMICUS de la Bibliothèque nationale du Canada (28 avril 2004);
 

BROOKBANKS, W., "Corporate manslaughter:  (No 2 of 1999)" [2000] 3 WLR 195", (2000) 6 New Zealand Business Law Quarterly 228; title noted in my research but article not consulted; no copy of this periodicals in the Canadian libraries comprised in the AMICUS catalogue of the National Library of Canada, Ottawa (verification of 5 July 2004);
 

BROS, Carol L., "A Fresh Assault on the Hazardous Workplace: Corporate Homicide Liability for Workplace Fatalities in Minnesota", (1989) 15 William Mitchell Law Review 287-326;  copy at the Library of the Supreme Court of Canada, Ottawa, on microfilm;

"[Contents]

INTRODUCTION...287

I. OVERVIEW OF CORPORATE CRIMINAL LIABILITY FOR
   HOMICIDE...290

A. Corporate Criminal Liability...290
B. Corporate Criminal Liability for Homicide...294

1. Statutory Interpretation: Is a Corporation a Person?...295
2. Intent...298

II. THE CURRENT WAVE OF CORPORATE HOMICIDE
     CASES...303

A. The Film Recovery Systems Case...303
B. Post-Film Recovery Systems Cases...305
C. Possible OSHA Presumption...309

III. CORPORATE CRIMINAL LIABILITY FOR HOMICIDE IN
      MINNESOTA: COULD IT HAPPEN HERE?...314

A. Review of Corporate Criminal Liability in Minnesota...315
B. Minnesetoa Homicide Statutes...319

CONCLUSION...324" (p. 287)

BROWN, Brendan Francis, 1898-, The canonical juristic personality with Special References to Its Status in the United States, Washington (D.C.) : Catholic University of Americal, 1927, v, 212 p. (series; canon law studies; volume 39); copy at Saint-Paul University, Ottawa, BQV 104 W3C3 1916- 39;

"CONTENTS

PREFACE...iii

CHAPTER...PAGE

I.  SCOPE AND SIGNIFICANCE OF THE SUBJECT...1

II. THE ROMAN JURIDICAL PERSONALITY AS THE
     PREDECESSOR OF THE CANONICAL...8

III. THE HISTORY OF THE CANONICAL JURIDICAL PERSONALITY...24

IV.  THE METAPHYSICAL CONCEPTION OF THE CANONICAL
       JURIDICAL PERSONALITY...43

V.  THE LEGAL BASIS OF THE CANONICAL JUSTICE PERSONALITY
      BEFORE THE CODE...61

VI.  THE LEGAL BASIS OF THE CANONICAL JUSTICE PERSONALITY
       AFTER THE CODE...88

VII. THE CHURCH IN THE UNITED STATES UNDER FEDERAL AND
        STATE CONSTITUTIONAL LAW...110

VIII. THE RECOGNITION OF THE CORPORATE PERSONALITY OF THE
         CHURCH IN THE FEDERAL AND STATE COURTS....121

IX.  FORMS OF THE ECCLESIASTICAL JURIDICAL PERSONALITY
       UNDER STATUTORY LAW...132

X. OPERATION, POWERS AND PRIVILEGES OF THE ECCLESIASTICAL
      CORPORATION...159

XI. LIMITATIONS OF THE ECCLESIASTICAL CORPORATION...179

XII. CONCLUSION...190

Bibliography...197
Table of Cases Cited...200
Tituli...208
Bibliographical Note...212" (p. v)
 

"It was largely through the influence of Canon law that the principle of the corporation was made a part of English common law, supported here, as elsewhere, by the theological concept of the mystical body.  Following Roman jurisprudence as applied by ecclesiastics, the English common law conferred corporate charters first, upon municipalities, and secondly, upon trade guilds.  The Weavers' Guild was incorporated as early as the reign of Henry III.  But the terms 'corporation' and 'body corporate' first appeared in public documents during the reign of Henry IV. The way had indeed been paved by the concept of the Church andits subdivisions which was accepted in England as well as on the Continent, as may be gleaned from the Anglo-Saxon Charters and Domesday Books.  This chronological advantage of the Church in the creation of juristic personality was long maintained in the right conceded the Church by common law jurists to establish its own corporations independent of the State.  It was from the incorporated monasteries that common law first applied the principle of incorporation in England, i.e., to mayors and communities, though in England a 'head' was regarded as fundemental, so that the ideal person was not the town of Norwich, but the mayor, sheriffs, and commonalty of Norwich." (p. 69)

BROWN, Darryl K., "The Problematic and Faintly Promising Dynamics of Corporate Crime Enforcement", (Spring 2004) 1(2) Ohio State Journal of Criminal Law 521-549; available at  http://moritzlaw.osu.edu/osjcl/issue2_articles/Brown.pdf (accessed on 5 September 2004);
 

___________"Street Crime, Corporate Crime, and the Contingency of Criminal Liability", (2001) 149(5) University of Pennsylvania Law Review 1295-1360; copy at Ottawa University, KFP 69 .U54  Location: FTX Periodicals;

[Contents]

INTRODUCTION...1295

I. SOCIAL NORMS, SOCIAL COSTS, AND STRUCTURAL
    LIMITATIONS...1298

A. Social Norms and Social Influence...1299
B. Legitimacy and Enforcement Practices...1301
C. Social Capital and Social Costs...1305
D. Structural Influences...1309

II. DIVERGENT STRATEGIES FORWRONGDOING IN STREET
    AND WHITE-COLLAR SETTINGS...1311

III. CONCEPTUAL AND POLITICAL IMPLICATIONS OF
      CORPORATE LIABILITY...1316

IV.  THE POLITICAL POWER OF CONCEPTUAL
       DISTINCTIONS DETERRENCE VERSUS
       RETRIBUTIVE RATIONALES...1323

A.  The Force of Retributivism and Deterrence Rationales...1323
B. Shifting Enforcement from Judging Culpability to Fostering Compliance...1327

1. Civil Sanctions and Culpability...1327
2. Social Costs as Mediators of Sanction Options...1332

C. The Meaning of Enforcement and Punishment Strategies...1334
D. The Implications of Structural Thinking and the Contingency of Culpability...1338
E. Political Process Problems and Offenders' Influence...1342

V. HOW STREET CRIME POLICY COULD BE MORE LIKE WHITE-COLOR CRIME POLICY...1345

A. Community Policing...1345
B. Drug Treatment Courts...1351
C. Therapeutic and Restorative Justice Approaches to Street Crime...1353

1. Victim-Offender Mediation...1353
2. "Survivor-Centered" Domestic Violence Policies...1355

D. Conclusion...1357

CONCLUSION...1358

[CONTENTS]

INTRODUCTION...469

I. SUCCESSOR LIABILITY FOLLOWING A MERGER OR
   CONSOLIDATION...470

II.  SUCCESSOR LIABILITY FOLLOWING AN ASSET PURCHASE...482

A. Agreement to Assume the Liability of the Acquired Company...484
B. De Facto Merger...486
C. Substantial Continuity...489
D. Fraud...496

III. STRATEGIES FOR AVOIDING SUCCESSOR CRIMINAL LIABILITY
      UNDER FEDERAL COMMON LAW...497

CONCLUSION...499

___________"Vicarious Criminal Liability of Corporation for the Acts of their Employees and Agents" (1995-96) 41 Loyola Law Review 279-328;  copy at Ottawa University, KFL 69 .L693  Location: FTX Periodicals;

[CONTENTS]

[INTRODUCTION]...279

I. VICARIOUS CORPORATE CRIMINAL LIABILITY...280

A. Whose Acts Will Subject the Corporation to Liability...283
B. The Authority to Act on Behalf of the Corporation...289
C. The Intent to Benefit the Corporation...294
D. Corporate Mens Rea...296

1. Imputed Knowledge...299
2. Imputed Willfulness...302

E. Summary...306

II. THE RELEVANCE OF CORPORATE POLICIES AND COMPLIANCE
     PROGRAMS TO CORPORATE LIABILITY...308

A. Cases Recognizing Compliance Efforts as a Defense to Vicarious
     Criminal Liability...309
B. The Defense Rejected...312
C. Treatment Under the Federal Sentencing Guidelines...321

III. CONCLUSION...326

BROWN, Stephen E. and Chau-Pu Chiang, "Defining Corporate Crime: A Critique of Traditional Parameters", in Michael B. Blankenship, 1955-, ed., Understanding Corporate Criminality, New York: Garland Publishing, 1993, xxiii, 266 p., at pp. 29-55 (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]...29

A Conceptual Framework...31

Crimes That Are Punishable...34

Harms from Economic Crimes...34
Harms from Violent Crime...38
Consumers...40
Workers...43
The Public...43

Crimes That Should Be Punishable...45

Dumping in Third-World Countries...45
The Tobacco Industry...47
Workers...49

Summary and Conclusions...50

REFERENCES...52

BROWN, W. Jethro, "The Personality of the Corporation and the State", (1905) 21 Law Quarterly Review 365-379; copy at Ottawa University, KD 322 .L37  Location: FTX Periodicals;
 

BUCHANAN, Mary Beth, "Effective Cooperation by Business Organizations and the Impact of Privilege Waivers", (2004) 39(3) Wake Forest Law Review 587-611; copy at Ottawa University, KFN 7469 .W35  Location: FTX Periodicals;
 

BUCKLAND, W. W. (William Warwick), 1859-1946, A Text-book of Roman law from Augustus to Justinian, Cambridge : University Press, 1921, xiv, 756 p., see on personality and corporations, pp. 175-179; copy at the Library of the Supreme Court of Canada, KJA147 B38 1921;

"In the Republic there were three types of corporate body: the State (populus Romanus), the municipality, and private corporations of various kinds." (p. 176)

__________"Corporate Criminal Liability" in Joshua Dressler, editor in chief,  Encyclopedia of crime & justice, 2nd ed., New York : Macmillan Reference USA, c2002,  4 v. (xxxvi, 1780 p.), in vol. 1, pp. 259-266, ISBN : 002865319X (for set of 4 volumes) and 0028653203 (v. 1 );

Contents

History...259
American standards of Corporate Criminal Liability...259
Critique of Corporate Criminal Liability...262
Procedural rights of corporate defendants...264

Conclusion...265
Bibliography...265
 

"TABLE OF CONTENTS

Introduction...1102

I. Background...1102

A. The Current Standards of Corporate Criminal Liability...1102
B. The Jurisprudential Role of Intent...1105
C. How Corporate Criminal Liability Developed Without An Intent Requirement...1114

II. The Corporate Ethos Standard of Corporate Criminal Liability...1121

A. Proving the Elements...1121

1. The Existence of Corporate Ethos...1121
2. A Corporate Ethos That 'Encourages'...1127

a. The Hierarchy...1129
b. Corporate Goals...1133
c. Educating Corporate Employees about Legal Requirements...1134
d. Monitoring Compliance with Legal Requirments...1136
e. Investigating the Current Offense...1138
f. Corporate Reaction to Past Violations and Violators...1138
g. Compensation Incentives for Legally Appropriate Behavior...1139
h. Indemnification...1140
i. Conclusion...1146

3. Criminal Conduct...1147
4. By Agents of the Corporation...1148

B. A Comparison of the Corporate Ethos Standard to Standards Currently Used to
     Impose Corporate Criminal Liability...1150

C. A Comparison of the Corporate Ethos Standard to Other Proposed Standards
     for Imposing Corporate Criminal Liability...1158

III. Procedural Implications of a Corporate Ethos Standard of Liability...1165

A. Impact on Defense Strategy...1165
B. Conflict of Interest...1169
C. Confrontation of Witnesses...1172

IV. A Response to Critics...1176

Conclusion...1182" (pp. 1095-1096)

___________"Organizational Sentencing Guidelines: The Cart Before the Horse", (1993) 71 Washington University Law Quarterly 329-355; copy at Ottawa University, KFM 5469 .M55  Location: FTX Periodicals;

[CONTENTS]

[INTRODUCTION]....329

I.  MEASURING CORPORATE CULPABILITY UNDER
    THE SENTENCING GUIDELINES...330

II. ASSESSING THE CURRENT STANDARDS OF
     CORPORATE CRIMINAL LIABILITY...333

III.  A PROPOSED STANDARD OF CORPORATE
       CRIMINAL LIABILITY...338

IV. ARE THE SENTENCING GUIDELINES A SUFFICIENT
      ANSWER TO THE PROBLEMS PRESENTED BY
      CURRENT STANDARDS FOR ASSESSING
      CORPORATE CRIMINAL LIABILITY?...350

CONCLUSION...354

BUFFELAN-LANORE, Yvaine, "La procédure applicable aux infractions commises par les personnes morales", (1993) Revue des sociétés 315-323; copie à l'Université d'Ottawa, K 650 .R49  Location: FTX Periodicals; copie à la Bibliothèque de la Cour suprême du Canada; note: Colloque du 7 avril 1993 organisé par l'Université de Paris 1 (Panthéon-Sorbonne) et le Centre de recherches fondamentales de droit privé;
 

BUFFONE, Samuel J., Jed S. Rakoff, and Richard A., co-chairs, The New federal sentencing guidelines for organizations, Englewood Cliffs, NJ : Prentice Hall Law & Business, c1992, iv, 263 p.; title noted in my research but document not consulted; no copy of this book in the Ottawa area librairies covered by the catalogue of the National Library of Canada, AMICUS (verification of 15 June 2004);
 

BULAI, Constantin, "Roumanie.  Les crimes contre l'environnement: application de la Partie générale", (1994) 65 Revue internationale de droit pénal 1149-1161,  note: Colloque préparatoire, section 1, Les atteintes à l'environnement, problèmes de droit pénal général, Ottawa (Canada), 2-6 novembre 1992;

"La responsabilité criminelle

    En droit pénal roumain, la responsabilité pénale n'est imputable qu'aux personnes physiques.  La loi consacre la thèse selon laquelle les personnes morales ne peuvent pas commettre des infractions et que pour les infractions commises dans le cadre des activités des personnes morales et au nom de celles-ci, seules sont responsables les personnes physiques qui les ont perpétrées.

    La loi prévoit cependant que les sanctions contraventionnelles (amendes) peuvent être appliquées aussi aux personnes morales, mais celles-ci sont en droit d'imputer les amendes aux personnes physiques coupables de la perpétration de ces contraventions, y compris celles contre l'environnement.

    À l'occasion de l'élaboration de la nouvelle loi pour la protection de l'environnement dans les conditions de l'économie de marché, la question de la responsabilité des personnes morales est réexaminée lorsque les infractions contre l'environnement sont commises lors de l'exécution des décisions adoptées par les organismes collectifs de direction d'une personne morale.  Pour les personnes morales coupables de telles infractions, on admet en principe que la nouvelle loi doit prévoir des peines spécifiques telles que la dissolution, la suspension de l'activité et l'amende dans un quantum correspondant.  La responsabilité pénale des personnes morales n'exclut pas la responsabilité pénale des personnes physiques coupables pour la perpétration d'une infraction contre l'environnement par son propre fait." (pp. 1157-1158)

___________"Roumanie: Rapport national", (1983) 54(1-2) Revue internationale de droit pénal / International Review of Penal Law 653-668, voir les pp. 663-664 (Actes du Colloque International, "Conception et principes du droit pénal économique et des affaires y compris la protection du consommateur", tenu à Freiburg-en-Brisgau, République Fédérale d'Allemagne, 20-23 septembre 1982, en préparation pour le 13^e Congrès international de droit pénal de l'Association internationale de droit pénal (AIDP) au Caire en 1984 /  Report of the Proceedings of the International Colloquium, "Concept and Principles of Economic and Business Criminal Law",  held in Freiburg i. Br., Federal Republic of Germany, September 20-23, 1983, in preparation for the 13th International Congress of Penal Law of the International Association of Penal Law (IAPL) in Cairo, 1984);
 

BURG, Bertrand and Matthieu Wemaëre, Huglo Lepage & Partners, "Background Information on National Legal Systems: France", in HUGLO LEPAGE, Associés conseils, ed., Criminal Penalties in EU Member States’ environmental law, Final Report, 15 September 2003, 988 p., at pp. 51-61, Reference Study Contract: ENV.B.4-3040/2002/343499/MRA/A; available at  http://europa.eu.int/comm/environment/crime/criminal_penalties2.pdf(accessed on 19 June 2004);

[France]

"La responsabilité pénale des personnes morales est une des innovations les plus marquantes résultant du nouveau code pénal entré en vigueur le 1^er mars 1994.  En matière d’environnement, toutefois, la jurisprudence des cours d’appel ne laisse entrevoir que des contours très simplifiés de cette nouvelle responsabilité.

Pour mémoire on rappellera que l'article 121-2 du Code pénal, applicable aux infractions commises après le 1er mars 1994 est ainsi rédigé:

"Les personnes morales, à l'exclusion de l'Etat, sont responsables pénalement, selon les distinctions des articles 121-4 à 121-7 et dans les cas prévus par la loi ou le règlement, des infractions commises, pour leur compte, par leurs organes ou représentants.

Toutefois, les collectivités territoriales et leurs groupement ne sont responsables pénalement que des infractions commises dans l'exercice d'activités susceptibles de faire l'objet de conventions de délégation de service public.  La responsabilité pénale des personnes morales n'exclut pas celle des personnes physiques auteurs ou complices des mêmes faits".

Au-delà des problèmes pratiques que pouvait poser la responsabilité des personnes morales, la doctrine considérait que la responsabilité pénale des personnes morales revenait en réalité à une responsabilité pénale du fait d'autrui à laquelle, en son principe, le droit pénal s'oppose.

La nécessité d'une juste répression de certains comportements, l'apparition de sanctions à caractère pénal dans certains domaines comme le droit boursier (sanctions pécuniaires infligées aux personnes morales pour les manquements aux règlements édictés par la commission des opérations de bourse) ou le droit de la concurrence, ont conduit à l'apparition
de la responsabilité pénale des personnes morales.

Deux grandes conditions sont nécessaires pour que la responsabilité d'une personne morale de droit public ou de droit privé puisse être engagée.

La première est une condition légale : Il est nécessaire qu'un texte spécial prévoit expressément la répression des personnes morales.

Les autres conditions ont trait aux conditions d’imputation du délit à la personne morale.

D’une façon générale, les juges du fond semblent hésiter entre deux conceptions très différentes de la responsabilité pénale des personnes morales : pour qu’il y ait responsabilité de la personne morale, les juges doivent-ils caractériser un comportement fautif précis de la part des organes la constituant, ou peuvent-ils déduire la responsabilité de la personne morale du seul comportement de ses dirigeants? [...]" (pp. 55-56)

BURLES, David, "The criminal liability of corporations: Despite recent prosecutions, corporate manslaughter could become a no-go area for prosecutors argues David Burles", (3 May 1991) 141 New Law Journal 609-611; issue 6502;
 

BURROWS, P., "The Responsibility of Corporations under Criminal Law", (1948) 1 The Journal of Criminal Science 1;  copy at the Library of the Supreme Court of Canada, periodicals; I have been unable to locate this periodical on the shelves of the library; two volumes were published; article not consulted;
 

BUSINESS & HUMAN RIGHTS RESOURCE CENTRE, an independent organisation in partnership with Amnesty International Business Groups & leading academic institutions, WEB site at  http://www.business-humanrights.org/Home (accessed on 14 July 2004);

BUSINESS LEADERS INITIATIVE ON HUMAN RIGHTS, UNITED NATIONS GLOBAL COMPACT, AND THE OFFICE OF THE HIGH COMMISSIONER FOR HUMAN RIGHTS, A Guide for Integrating Human Rights in Business Management, 2005, 44 p., available at http://www.ohchr.org/english/issues/globalization/docs/gihrbm-business.pdf  (accessed on 27 December 2005); 

BUTLER, Henry N., "A National Conference on Sentencing of the Corporation.  Introduction", (1991) 71(2) Boston University Law Review 189-191; copy at Ottawa University, K 2 .O678  Location: FTX Periodicals;
 

BYAM, John T., Comments, "The Economic Inefficiency of Corporate Criminal Liability’, (1982) 73 Journal of Criminal Law and Criminology 582-603; copy at Ottawa University, HV 6001 .J633  Location: MRT Periodicals;

[CONTENTS]

I. INTRODUCTION...582

II. CRIMINAL LAW AND THE CORPORATION...582

III. CORPORATIONS AS CRIMINALS...586

IV. AN ECONOMIC FRAMEWORK OF CORPORATE LIABILITY...588

VERSION A...588
VERSION B...593

V. ENFORCEMENT MECHANISMS...594

A. PRIVATE ENFORCEMENT...595
B. PUBLIC ENFORCEMENT...597
C. PUBLIC ENFORCEMENT: CIVIL VERSUS CRIMINAL LEVIES...599

VI. CONCLUSION...603

CAMPAGNA, Julie, "United Nations Norms on the Responsibilities of Transnational Corporations and other Business enterprises with Regard to Human Rights: the International Community Asserts Binding Law on the Global Rule Makers", (2004) 37 The John Marshall Law Review 1206-1252; copy at Ottawa University, KFI 69 .J637  Location: FTX Periodicals;
 

CANFIELD, George F., "Corporate Responsibility for Crime", (1914) 14 Columbia Law Review 469-481; copy at Ottawa University, KFN 5069 .C657  Location, FTX Periodicals;
 

CANNON, Tom, Corporate responsibility : a textbook on Business Ethics, Governance, Environment: Roles and Responsibilities, London : Pitman Publishing, 1994, x, 341 p.,  ISBN:  0273602705; 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 Library and Archives Canada (verification of 2 July 2004);
 

CANNU, Paul E., "Dissolution, fermeture d'établissement et interdiction d'activités (Code pénal, art. 131-39, 1^o, 2^o, 4^o)", (1993) Revue des sociétés 341-348; copie à l'Université d'Ottawa, K 650 .R49  Location: FTX Periodicals; copie à la Bibliothèque de la Cour suprême du Canada; note: Colloque du 7 avril 1993 organisé par l'Université de Paris 1 (Panthéon-Sorbonne) et le Centre de recherches fondamentales de droit privé;
 

CARACCIOLI, Ivo, "Italie.  La protection de l'environnement en droit pénal italien", (1994) 65 Revue internationale de droit pénal 1014-1036, voir "La responsabilité des collctivités", aux pp. 821-822; note: Colloque préparatoire, section 1, Les atteintes à l'environnement, problèmes de droit pénal général, Ottawa (Canada), 2-6 novembre 1992;

"Le droit pénal actuellement en vigueur en Italie n'admet que la responsabilité de chaque individu.  Cela dérive des dispositions contenues à l'article 27 de la Constitution, dont le 1er alinéa prévoit que la 'responsabilité pénale est personnelle'.  Toute interprétation lato sensu de l'adjectif  'personnelle', visant notamment à considérer aussi l'acceptation juridique de la personnalité, est exclue de façon catégorique par le 3ème alinéa de cet article de la Constitution, qui non seulement prévoit que 'les peines ne peuvent pas être contraires au sens commun d'humanité', mais qui de plus impose que les peines 'soient conçues de sorte à permettre la rééducation du condamné': nous savons cependant de toute évidence, que la personne juridique n'est pas, en tant que telle, susceptible d'éducation et donc, a fortiori, de rééducation." (p. 1026)

CARAVITA, Beniamino, "Reflections on the Penal Responsibility of Corporate Bodies and the Protection of the Environment: An Italian Perspective", 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. 484-490  (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);
 

CARBONNIER, Gilles, "Corporate responsibility and humanitarian action.  What relations between the business and humanitarian worlds?", (Decembre 2001) 83 International Review of the Red Cross 947-968; number 844; available at   http://www.icrc.org/Web/eng/siteeng0.nsf/htmlall/57JRLN/$FILE/0947-0968_Carbonnier.pdf (accessed on 19 November 2004);
 

CARR, Cecil T. (Cecil Thomas), Sir, b. 1878-, The General Principles of the Law of Corporations (being the Yorke prize essay for the year 1902), Cambridge: Cambridge University Press, 1905, xiii, 211 p.; reprint in: Littleton, Colo. : F.B. Rothman, 1984, ISBN: 0837720060; title noted in my research but book not consulted; no copy in the Ottawa area libaries covered by the AMICUS catalogue of Library and Archives Canada (verification of 4 December 2004); copy at Université McGill, Bibliothèque de droit Nahum Gelber/McGill University, Nahum Gelber Law Library  KD;2057;C37;1984 law;
 

CARRASCO, Cynthia E., and Michael K. Dupee, "Corporate Criminal Liability", (1999) 36 American Criminal Law Review 445-473;

"[CONTENTS]

I. INTRODUCTION...445

II. CORPORATWE CRIMINAL LIABILITY...448

A. Criminal Liability for Agent Action: Scope and Nature of
    Employment...448

1. The Common Law...449
2. The Model Penal Code...450
3. Employee Actions Prohibited by the Corporation...451

B. Benefiting the Corporation...452
C. Imputing Knowledge and Action to the Corporation...453

1. Collective Knowledge Doctrine...453
2. Willful Blindness Doctrine...453
3. Conspiracies...454
4. Mergers, Dissolutions, and Liability...455
5. Misprision of Felony...456

III. ORGANIZATIONAL SENTENCING GUIDELINES...457

A. Introduction: Scope and Purpose of the Organizational
    Guidelines...457
B. Guidelines Provisions: Offenses Covered and Sanctions
    Permitted...459

1. Remedies...460
2. Probation...462
3. Imposition of Fines...462

a. Base Offense Level...464
b. Base Fine...464
c. Culpability...464

i.  Calculation...465
ii. Decreasing Factors...466

d. Multipliers...471
e. Disgorgement...471
f. Implementation...472
g. Departures...473"     (p. 445)

CARSAU, W., "La question de la responsabilité pénale des personnes morales.  Une thèse différente", (1980) 60 Revue de droit pénal et de criminologie 475-478; copie à l'Université d'Ottawa, K 21 .D725  Location: FTX Periodicals;
 

CARSON, Kit and Richard Johnstone, "The Dupes of Hazard: Occupational Health and Safety and the Victorian Sanctions Debate", (1990) 26 Australian and New Zealand journal of sociology 126-141; copy at Ottawa University, HM 403 .A88  Location: MRT Periodicals; current title of periodical is Journal of Sociology;

"Abstract

This paper takes issue with those who are currently arguing in favor of recourse to charges of manslaughter in some cases of occupational fatality.  Such a step, it is argued, would effectively involve collusion with a protracted historical process which rendered occupational health and safety offences ambiguous with regard to their criminality.  This historical process is summarised and the use of sanctions in this area of Victorian legislation is reviewed.  While sympathising with the objectives of those who support stronger action in the occupational health and safety field, the authors nonetheless argue that they have been duped into a position which, by treating some offences as unequivocally criminal, implies that the vast majority are not.  Instead, it is suggested, an offence of causing death through violation of the Occupational Health and Safety Act 1985, should be created." (p. 126)

CARTER, James Treat, 1891-, The nature of the corporation as a legal entity, with especial reference to the law of Maryland, Baltimore: Curlander, 1919, xv, 239, [1] p.; note: thesis,  Johns Hopkins University; title noted in my research but book not consulted; no copy of this thesis in the Ottawa area libraries included in the National Library of Canada catalogue, AMICUS; copy at Laval University, K/46.5/JHU/1919/C323;
 

CARTIER, M.-E.,  "Nature et fondement de la responsabilité pénale des personnes morales dans le nouveau Code pénal français", (1996) numéro spécial 149 Les Petites affiches 18; note: numéro spécial sur La responsabilité pénale des personnes morales.  Colloque de Sienne, 25 et 26 mai 1996; titre noté dans mes recherches mais article non consulté; aucune copie de ce numéro dans les bibliothèque de la région d'Ottawa comprises dans le catalogue AMICUS de Bibliothèque et Archives Canada (vérification du 24 juillet 2004);
 

___________"La responsabilité pénale des personnes morales", dans Pierre Méhaignerie, 1939-, directeur de la publication, Le nouveau code pénal: enjeux et perspectives, Paris, Dalloz, 1994, vi, 155 p., p. 37 (Collection; Thèmes et commentaires, ISSN 1255-1155; 1994), ISBN: 224701822X; note: Colloque organisé par le Ministère de la justice, Direction des affaires criminelles et des grâces, Service de l'information et de la communication, 27-28 janvier 1994; titre noté dans mes recherches mais article non consulté; aucune copie de ce livre dans la région d'Ottawa selon ma vérification du catalogue AMICUS de Bibliothèque et Archives Canada (22 juillet 2004);
 

CARTWRIGHT, Peter, "Corporate Fault and Consumer Protection: A New Approach for the U.K.", (1998) 21 Journal of Consumer Policy 71-89;

"[Abstract] Many of the prosecutions for consumer protection offences which take place in the UK are against corporations, in particular, limited companies. As the criminal law had originally developed with human defendants in mind, many of its concepts were inappropriate where the defendant was a corporation. Corporations have, it is sometimes said, "no soul to be damned and no body to be kicked." As a result of  industrialisation and the rise of the corporation in everyday life, legal principles had to be developed to deal with this new form of legal person. It began to be recognised that as well as having the ability to own property, enter contracts and the like, corporations were also capable of committing criminal offences.

The purpose of this article is to examine the ways in which a corporation can be convicted of committing consumer protection offences under UK law. This is a topic which has received considerable attention in recent years, and is one which continues to undergo change. In particular, the article will consider the implications of a number of important recent decisions on corporate liability, and will consider their implications for those concerned with the enforcement of consumer law. It will be argued that the recent case law suggests that a new approach has emerged, but that the extent and implications of this approach, although potentially highly significant, are still not entirely clear." (source:  http://www.kluweronline.com/article.asp?PIPS=158773, accessed on 16 April 2004)
 

Case and Comment, "Tesco Supermarkets Ltd. v. Nattras", [1971] The Criminal Law Review 668-670, with commentary at pp. 669-670; copy at Ottawa University, KD 7862 .C734  Location:  FTX Periodicals;
 

The Case of Sutton's Hospital, 77 English Reports 937; note: Coke 5-13 King's Bench; case of 1612;

"[F]or a corporation aggregate of many is invisible, immortal, and rests only in intendment and consideration of the law .... They cannot commit treason, nor be (e) outlawed, nor excommunicate, for they have no souls, neither can they appear in person, but by attorney 33 H. 8 Br. Fealty. ...
----
(e) Br. Corporation 11.    Br. Utlagary 72.    39 E.3.13.a.    Br. Fealty 15   1 H.P.C. 252    Vin Ab. Corp. H.2.
 7  Co. 10. b.    Co. Lit. 66. b.    4 Co. 11. a."  (p. 973)

CASS, Ronald, Comment, "Sentencing Corporations: The Guidelines' White Collar Blues",  (1991) 71 Boston University Law Review 291-305;

[Contents]

I. THE SENTENCING COMMISSION'S TASK...291

II. HELP IN THEORY: THE PROFESSOR'S ROLE...291

III. PROFESSOR'S COFFEE'S THESES: REFORMATION OF CRIMINAL LAW...292

IV. PROFESSOR'S COHEN DATA: PROBLEMS IN PRACTICE...300

CONCLUSION...304

CASSEL, Doug, "Corporate Aiding and Abetting of Human Rights Violations: Confusion in the Courts" , (2008) 6(2) Northwestern University Journal of International Human Rights 304-326; available at SSRN: http://ssrn.com/abstract=1137970  (accessed on 2 June 2008);

CASSIERS, Willy, "La responsabilité pénale des personnes morales: une solution en trompe-l'oeil?", (1999) 79 Revue de droit pénal et de criminologie 823-859; copie à l'Université d'Ottawa, K 21 .D725  Location: FTX Periodicals;

Table des matières

Intrdoduction 823

I. Position traditionnelle...824

A. L'imputabilité du fait de l'agent...827
B. Difficultés liées à la répression des personnes morales...828

II. Position moderne...832

A. Nouvelle conception de la personnalité morale...832
B. Pénologie des êtres collectifs...837

1. Technique des peines...837
2. Personalité des peines...840

III. Perspective critique sur les arguments en faveur et en défaveur d'une
      responsabilité pénale des personnes morales...844

A. Insuffisance de la position classique...844

1. Volonté et sujet de volition...844
2. Variabilité du concept de peine...846
3. Nouveaux risques sociaux...847

B. Enjeux et faiblesses de la solution moderne...849

1. Les enjeux de la responsabilté pénale des personnes morales...849
2. Dangers et faiblesses de la position moderne...852

IV. Quelques propositions de dépasser la querelle des aniciens et des modernes...854

A. Le retour du principe "societas delinquere non potest"...854
B. Solution non pénale à la dangerosité des personnes morales...856

Conclusion...857

CASTELL, Nicolas et Claire Derycke, "Les entreprises", dans Droit international pénal / Centre de droit international de l'Université de Paris X - Nanterre (CEDIN Paris X),  sous la direction de Hervé Ascensio, Emmanuel Decaux et Alain Pellet, Paris : Pedone, 2000,  xvi, 1053 p., chapitre 13, aux pp. 155-166, ISBN: 2233003721; copie à la Bibliothèque de l'Université d'Ottawa, FTX General, K 5055 .D76 2000; copie à la Bibliothèque de la Cour suprême du Canada, K5000 D76 2000;
 

CASTINIERA, Teresa, Ramon Ragués, and Antonieta Fernandez, "[Environmental Criminal Law --] Spain", in Michael G. Faure and Günther Heine, coordinated by, Final Report: Criminal Penalties in EU Member States' Environmental Law, Maastricht (The Netherlands): Maastricht European Institute for Transnational Legal Research Faculty of Law, Maastricht University and  Berne, Switzerland: Institute for Criminal Law and Criminology,  Faculty of Law, University of Berne, October 2002, 352 p., at pp. 230-236; available at http://europa.eu.int/comm/environment/crime/criminal_penalties1.pdf (accessed on 18 June 2004);

[Spain]
"Does the law of the state provide for criminal responsibility of legal persons?

The Spanish Criminal Code does not establish criminal responsibility for legal persons. However, Article 129 establishes a series of consequences, imposed on legal persons, some of which are applicable to the environmental crimes described in Articles 325 and 326 (Art. 327). There are no other legal provisions. In practice, liability exists for those natural persons who act in the name of and represent legal persons, whether directly or through the structure of the commission by default or indirect authorship." (Teresa Castiñiera, Ramon Ragués, and Antonieta Fernandez, p. 236)
 

CENTRE FOR CORPORATE ACCOUNTABILITY (CCA), London England, web site at http://www.corporateaccountability.org/ (accessed on 13 June 2006);
 

CENTRE FOR HUMAN RIGHTS AND GLOBAL JUSTICE, New York University Law School, web site at  http://www.nyuhr.org/index.html (accessed on 29 September 2004);

"Globalization and Human Rights

The Center aims to promote research focusing on some of the key challenges to human rights that arise within the context of the processes of globalization. In this respect three major initiatives are currently under way...

(iii) Corporate Accountability for Human Rights  Law Students for Human Rights has a special focus during 2003-04 year on the topic of corporate accountability for human rights violations. It seeks to examine situations in which corporations have been complicit with national governments and international financial institutions in perpetuating human rights abuses throughout the world." (source: http://www.nyuhr.org/research_current.html (accessed on 29 September 2004)

CHAPUT, Yves, "Les sanctions et les personnes morales en redressement judiciaire", (1993) Revue des sociétés 358-363; copie à l'Université d'Ottawa, K 650 .R49  Location: FTX Periodicals; copie à la Bibliothèque de la Cour suprême du Canada; note: Colloque du 7 avril 1993 organisé par l'Université de Paris 1 (Panthéon-Sorbonne) et le Centre de recherches fondamentales de droit privé;
 

CHARLES, Nadine, La responsabilité pénale des personnes morales dans l'avant-projet de code pénal, Mém. DEA : Droit pénal : Aix-Marseille 3 : 1991, 189 feuilles; pas de résumé au catalogue Abes;  titre noté dans mes recherches mais mémoire non consulté; aucune copie au Canada pour les bibliothèques couvertes par le catalogue AMICUS de la Bibliothèque nationale du Canada (28 avril 2004);
 

CHAVANNE, Albert, "Le droit pénal des sociétés et le droit pénal général", (1963) 18 Revue de science criminelle et de droit pénal comparé 683-702; copie à la Bibliothèque de l'Université d'Ottawa, KJJ 0 .R489  Location: FTX Periodicals;

"Seule, la société elle-même, en raison du principe de l'irresponsabilité pénale des personnes morales², ne pourra faire l'objet de poursuites.  A part quelques textes spéciaux en matière fiscale ou en matière d'infractions économiques, les sociétés ne peuvent être déclarées pénalement responsables³.  Seuls ses représentants peuvent être poursuivis⁴. [...]
______
2. Crim., 6 juill. 1954, Rev. Sc. crim., 1956, p. 319.
3. Cf. DAUVERGNE ET HERZOG, Rev. Sc. crim., 1962, p. 798
4. Orléans, 8 nov. 1887, D., 1888.2.97 et note Garraud." (p. 700)

CHEFFINS, Brian R., "The Trajectory Of (Corporate Law) Scholarship", (June 2004) 63(2) The Cambridge Law Journal 456-506;
 

CHENG YANG, Vincent, "Corporate Crime: State-Owned Enterprises in China", (1995) 6 Criminal Law Forum 143-165; copy at Ottawa University, K 5000 .A13 C747  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada;
 

CHESTERMAN, Simon, “The Corporate Veil, Crime and Punishment: The Queen v Denbo Pty Ltd and Timothy Ian Nadenbousch” (1993-94) 19 Melbourne University Law Review 1064-1074; copy at Ottawa University, KTA 0 .M454  Location: FTX Periodicals;

[Abstract] "[This paper critically discusses corporate criminal liability in the light of the first Australian conviction of a corporation for manslaughter.  It argues that the uncritical insertion into the criminal law of a corporate criminal subject (epitomised in The Queen v Denbo Pty Ltd) both fails on its own terms as a means of deterrence and exposes crucial gaps in our understanding of the rule of law.  These theoretical issues must be taken seriously before we can meaningfully consider the more practical issues of procedure and punishment that dominate mainstream consideration of this issue.] (p. 1064)

CHILDS, Mary, "Medical manslaughter and corporate liability", (1999) 19(3) Legal Studies 316-338; copy at Ottawa University, K 12 .E357  Location: FTX Periodicals;

[Summary]

"Recent years have seen a rise in the number of manslaughter prosecutions following deaths caused by improper medical treatment.  Such prosecutions of individual doctors are problematic because, in many cases, a complex pattern of failures has contributed to the death.  One alternative approach would be that of pursuing corporate manslaughter prosecutions against hospital trusts, but current law makes such prosecutions difficult.  The Law Commission's proposed offence of corporate killing could, if adopted, form the basis of prosecutions following some hospital deaths.  The article considers arguments for and against the use of criminal law in response to deaths caused by medical negligence." (p. 316)

CHRISTODOULOU, Dimitrios, The international safety management (ISM) code and the rule of attribution in corporate criminal responsibility under English law, Athens : Ant. N. Sakkoulas, 2000, 54 p., (series; Publications of the Hellenic Association of International Private Law; number 11), ISBN: 960150186X; title noted in my research but book not consulted; no copy of this publication in the Canadian libraries covered in the AMICUS catalogue of the Library and Archives Canada, Ottawa (verification of 6 July 2004);
 

CHROUST, Anton-Hermann, "The Corporate Idea and the Body Politic in the Middle Ages", (1947) 9 Review of Politics 423-452; copy at the Universty of Ottawa, MRT Storage, JA 1 .R4;
 

CHUN-XI, Yang, and Liu Sheng-jung, "Chine [China]: China's Treatment of Crimes against the Environment", (1994) 65 Revue internationale de droit pénal / International Review of Penal Law 849-863, see "Corporations", at p. 854 and "Criminal liability of leaders and members of corporations", at pp. 854-855; article in English; part of the Preparatory Colloquium, Section 1, Crimes against the Environment -- General Part, Ottawa (Canada), November 2-6, 1992;
 

CIGALA, Saalvatore,  "La responsabilité pénale des personnes morales [Rapport au Congrès de l'Association internationale de droit pénal (Bucarest, 1929) -- question sur l'ordre du jour]", (1929) 6 Revue internationale de droit pénal 260-274; copie à la bibliothèque de la Faculté de droit, Université de Montréal, HAZE R454i;
 

"Le V^e Congrès de l'Académie internationale de droit comparé (Bruxelles 4-9 août 1958)", (1958) Revue internationale de droit comparé 799-800;

"Résolutions
[...]
Section IV B: 'Droit pénal'

La section, sur les trois questions soumises à son examen,
[...]

3^o 'Les sanctions en matière de droit pénal écononomique'

a abouti aux conclusions ci-après
[...]

3^o La sauvegarde des droits de la personne exige que la législation pénale économique se réfère en principe aux normes générales du droit pénal communs.

    Il importe néanmoins de reconnaître un certain assouplissement des règles du droit pénal commun, particulièrement en ce qui concerne la responsabilité des personnes morales et la signification de l'erreur de droit.

    Il serait souhaitable qu'une loi pénale économique générale établisse dans chaque pays le répertoire des sanctions économiques afin d'en préciser la nature et les modalités d'aplication." (pp. 794, 799-800)

CLAPHAM, Andrew, "The International Council on Human Rights Policy -- Whither the State of Human Rights Protection? (New ways to hold non-state actors accountable)", draft, June 1998; 69 p., available at  http://www.humanrights.ch/cms/pdf/000303_danailov_clapham.pdf (accessed on 1 July 2004);
 

___________"On Complicity", in Marc Henzelin et Robert Roth, sous la direction de, Le droit pénal à l'épreuve de l'internationalisation, Paris: L.G.D.J.; Genève: Georg; Bruxelles: Bruylant, 2002, xvii, 355 p., aux pp. 241-275, ISBN: 2275022155 (L.G.D.J.); 282570783X Georg); 2802715887 (Bruylant); copie à la Bibliothèque de la Cour suprême du Canada, K5036 H46 2002;
 

___________"The Question of Jurisdiction Under International Criminal Law Over Legal Persons: Lessons from the Rome Conference on an International Criminal Court", in Menno Kamminga and Saman Zia-Zarifi, eds., Liability of multinational corporations under international law, Boston, Mass. : Kluwer Law International, 2000, xxii, 408 p., at pp. 139-195, (series;  Studies and materials on the settlement of  international disputes  v. 7), ISBN:  9041115048; title noted in my research but book not consulted; no copy of this publication in the Ottawa area libraries covered in the AMICUS catalogue of the Library and Archives Canada, Ottawa (verification of 30 December 2004);  for the contents of this book, see the University of Columbia catalogue PEGASUS, at http://pegasus.law.columbia.edu/, accessed on 5 June 2004);
 

CLAPHAM, Andrew and Scott Jerbi, "Categories of Corporate Complicity in Human Rights Abuses", (2000-2001) 24 Hastings International and Comparative Law Review 339-349; available at  http://209.238.219.111/Clapham-Jerbi-paper.htm (accessed on 27 July 2004);
 

CLARK, Glenn A., Notes, "Corporate Homicide: A New Assault on Corporate Decision-making", (1979-79) 54 Notre Dame Lawyer 911-924; copy at Ottawa University, KF 1269 .N657  Location: FTX Periodicals;

[Contents]

I.  Introduction...911

II.  Corporate Liability for Homicide -- A Trend Without a Rule...911

A.  Historical Perspective...911
B.  Homicide -- A Problem of Semantics...912
C.  Homicide in the Courts...913

III.  The Model Penal Code and Corporate Criminal Liability for Homicide...917

IV.  The Pinto Case -- What Did the Legislature Really Intend?...919

A.  The Staturory Setting...919
B.  Judicial Resolution...920

V.  Is Corporate Criminal Liability for Homicide Necessary or Desirable?...921

A.  The Pros and Cons of Corporate Criminal Liability for Homicide...921
B.  The Case for Corporate Criminal Liability...922

VI.  Conclusion...924

CLARK, Roger S., "The Mental Element in International Criminal Law: The Rome Statute of the International Criinal Court and the Elements of Offences", (2001) 12 Criminal Law Forum 291-334; copy at the Library of the Supreme Court of Canada, Periodicals;

"Among the many matters on which agreement could not be obtained at Rome was the criminal responsibility of legal persons, now seldom controversial in the common law.  Placing legal persons within the jurisdiction of the ICC would have raised some interesting mental element issues, and would have enhanced the possibilities of obtaining reparation, had it not proved too controversial.  See Andrew Clapham, The Question of Jurisdiction Under International Criminal Law Over Legal Persons: Lessons from the Rome Conference on the International Criminal Court, in LIABILITY OF MULTINATIONAL CORPORATIONS UNDER INTERNATIONAL LAW 139 (M.T. Kamminga and S. Zia-Zarifi, eds., 200)." (p. 295, note 14)

___________"The United Nations Convention against Transnational Organized Crime", draft paper 31 October 2003, 31 p.; paper for Conference at Wayne State University School of Law in Honor of the late Professor Edward Wise, 27 October 2003; available at  http://www.temple.edu/iilpp/images/PDFs/ClarkRogerTransationalOrganizedCrime.pdf (accessed on 27 July 2004);
 

CLARKSON, C.M.V., "Context and Culpability in Involuntary Manslaughter: Principle or Instinct?", in Andrew Ashworth and Barry Mitchell, eds., Rethinking English Homicide Law, Oxford; New York : Oxford University Press, 2000, xx, 205 p., at pp. 133-165,  ISBN: 0198299044 and 019829915X (pbk); copy at the Library of the Supreme Court of Canada, Ottawa, KF9305 R48 2000;

[Contents]

A. INTRODUCTION...133

B. PRESENT LAW...134

1. Subjective-Reckless Manslaughter...135
2. Constructive Manslaughter...135
3. Gross-Negligence Manslaughter...135

C. LAW COMMISSION'S PROPOSALS...137

1. Constructive Manslaughter...137
2. Gross-Negligence Manslaughter...137
3.  Corporate Manslaughter...137

1.  Reckless Killing...138
2.  Killing by Gross Negligence...138
3.  Corporate Killing...140

D.  The WAY FORWARD...141

1. Separate Offences...141
2.  Bases of Separate Offences and their Fault Requirements...145

(i) Causing death by driving...149
(ii) Corporate killings...151
(iii) Grossly careless killings...153
(iv) Killings resulting from dangerous unlawful acts..156

3. Fair Labelling: Nomenclature and Offence Seriousness...163

E.  CONCLUSION...165

__________"Corporate Culpability", [1998] 2 Web Journal JCLI; available at http://webjcli.ncl.ac.uk/1998/issue2/clarkson2.html;
 

___________"Corporate Manslaughter: Yet More Government Proposals", [2005] The Criminal Law Review 677-689;
 

___________"Kicking Corporate Bodies and Damning their Souls", (1996) 59 Modern Law Review 557-572; copy at Ottawa University, KD 322 .M62  Location: FTX Periodicals;

[Contents]

[Introduction] ...557
The Context...557
The Practice...558
Corporate or personal liability?...562
Direct or vicarious liability?...563
Corporate culpability...566
Structuring corporate liability...569
Conclusion...572

CLEMENS, René, Personnalité morale et personnalité juridique, Paris : Librairie du Recueil Sirey, 1935, xvii, 272 p., copie à l'Université St-Paul, K 650 C54P4 1935;
 

CLIFTON, Richard, "Boardroom GBH", (28 January 2000) 150 New Law Journal 104-105; issue 6920; article in reply to Bergman, "Boardroom GBH.  David Bergman cannot understand why the Health and Safety Executive fail to prosecute in thousands of major injuries", supra;  copy at the Library of the Supreme Court of Canada; copy at Ottawa University, KD 322 .N49  Location: FTX Periodicals;
 

CLINARD, Marshall B. (Marshall Barron), 1911-, Corporate Ethics and Crime: The Role of Midlle Management, Beverley Hills (California): Sage Publications, 1983, 189 p., ISBN: 0803919727; copy at Ottawa University, MRT General: HV 6769 .C562 1983;

"CONTENTS

Preface...7
1. White Collar and Corporate Crime...9
2. Middle Management...9
3. Ethics of Industry and Corporations...35
4. Why Some Corporations Are More Ethical than Others...53
5. The Role of  Top Management...71
6. Pressures on Middle Management...91
7. Government Regulation...103
8. Interpretation...131
Appendix A...165
Appendix B...171
Bibliography...177
Index... 183
About the Author...189"

CLINARD, Marshall B., 1911-, and Peter C. Yeager, with the collaboration of Ruth Blackburn Clinard, Corporate Crime, New York: Free Press; London: Mcmillan, 1980, xiii, 386 p., ISBN: 0029057108; copy at Ottawa University, MRT General: HV 6769 .C56 1980;

"Contents

Preface...ix

1. Corporations and Illegal Behavior...1

2. The Growth and Development of the Corporation...22

3. Corporate Organization and Criminal Behavior...43

4. The Federal Government Presence...74

5. Corporate Violations...110

6. Antitrust: Policy and Politics...133

7. Political Contributions, Bribery, and Foreign Payments...155

8. Illegalities and the Accounting Profession...187

9.  Are Corporations Socially Responsibile?...200

10. The Failure of Business Ethics...213

11. Oil, Autos, and Pharmaceuticals...237

12. Corporate Executives and Criminal Liability...272

13. Controlling Corporate Crime...299

    Appendices...327

    References...351

    Index...374" (p. vii)

CLOUGH, Jonathan, "Sentencing the Corporate Offender: The Neglected Dimension of Corporate Criminal Liability", (March 2003) 1(1) Corporate Misconduct EZine; available at  http://www.lawbookco.com.au/academic/Corporate-Misconduct-ezine/pdf/Jonathan%20Clough.pdf (accessed on 6 March 2004);

"[Abstract]
Corporate criminal liability is imposed in virtually all areas of corporate activity including consumer protection, workplace safety, environmental protection, securities regulation and taxation. In addition, the enactment of Part 2.5 Criminal Code Act 1995 (Cth) has introduced to Commonwealth offences arguably the most sophisticated regime of corporate criminal liability in the world. However the utility of imposing corporate criminal liability is undermined by the lack of appropriate sanctions. This article reviews recent developments in the area of corporate sentencing and considers a range of alternative sanctions. It is argued that there is an urgent need for sentencing legislation directed specifically at corporate offenders to be enacted."

___________"Will the Punishment Fit the Crime?  Corporate Manslaughter and the Problem of Sanctions", (February 2005) 8(1) The Flinders Journal of Law Reform 113 to approx. 132; 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);
 

CLOUGH, Jonathan and Cramel Mulhern, The prosecution of corporations, Oxford; New York : Oxford University Press, 2002, xl, 239 p., ISBN: 0195506456; title noted in my research but book not consulted; no copy of this publication in the Canadian libraries of the Ottawa area covered by the AMICUS catalogue of  Library and Archives Canada, Ottawa (verification of 6 July 2004); see book review by Bottomley, Stephen, supra;

Contents:
1. Introduction
The corporate era
Prosecute the corporation or the individual?
Civil or criminal liability?
The role of corporate criminal liability

2. The Investigation and Prosecution of Corporate Crime
The regulators
Powers of investigation
Compulsory production of documents
Enter and search premises
Seizure of evidence
Compulsory interrogation
Offences for failing to comply with investigative powers
Responses to compulsory disclosure
Prosecution
Securing the attendance of the corporation at trial

3. General Principles of Corporate Criminal Liability
Which artificial entities are subject to criminal liability?
Which offences can be committed by a corporation?
The evolution of corporate criminal liability
Vicarious criminal liability
Direct corporate criminal liability

4. Statutory Models of Corporate Criminal Liability
Specific statutory regimes
The United States Model Penal Code
Part 2.5 Criminal Code Act 1995 (Cth)
Due diligence
Civil Penalties
Corporate manslaughter

5. Sentencing the Corporate Offender
The purpose of sentencing corporations
Models of organisational behaviour
Sentencing options for corporate offenders

6. The Way Forward
Lessons from Longford
The way forward
Bibliography
Index

COEURET, Alain, "La responsabilité en droit du travail, continuité et rupture", (1992) Revue de science criminelle et de droit pénal comparé 475-492, voir "La responsabilité des personnes morales", aux pp. 484-492; copie à l'Université d'Ottawa, KJJ 0 .R489  Location, FTX Periodicals;
 

____________"Les propositions 'Espace judiciaire européen' confrontées à la situation en France", (avril-juin1997) Revue de science criminelle et de droit pénal comparé 295-287; copie à l'Université d'Ottawa, KJJ 0 .R489  Location: FTX Periodicals; aussi publié dans: La responsabilité pénale dans l'entreprise: vers un espace judiciaire européen unifié?, sous la direction de Mireille Delmas-Marty, Paris: Dalloz, 1997, ISBN: 2247027458 (même pagination que dans la revue); note partie des travaux de la Journée d'études du 13 décembre 1996 "consacrés au thème de la responsabilité pénale dans l'entreprise (art. 10 à 14 du Corpus)" (p. 253);

[Table des matières]

[Introduction]...295

I. -- L'INFRACTION...296

A. -- La participation à l'infraction...296
B. -- La culpabilité...299

II. -- LES RESPONSABILITÉS LIÉES À L'ENTREPRISE...301

A. -- La responsabilité pénale des directeurs...301
B. -- Responsabilité pénale des groupements...305

COFFEE, John C. (John Collins), "Beyond the Shut-Eyed Sentry: Toward a Theoretical View of Corporate Misconduct and an Effective Legal Response", (1977) 63 Virginia Law Review 1099-1278;

"[CONTENTS]

INTRODUCTION...1100

I.  TOWARD A THEORETICAL VIEW: FROM OBSERVATION
    TO MODEL BUILDING...1115

A. A QUICK TOUR OF YESTERDAY'S HEADLINES...1115
B. THE BASIC PATTERNS: AN ARRANGEMENT IN
    GRAY AND BLACK...1118

1. THE "AGGRESSIVE" PAYMENT...1118
2. THE "DEFENSIVE" PAYMENT...1119
3. THE "GREASE" PAYMENT...1120
4. BRIBERY BY PROXY: USE OF THE MIDDLEMAN...1122
     THE "LEGAL" POLITICAL CONTRIBUTION...1128

C. THE  UNDEFINED DUTIES...1125
D. THE  BREAKDOWN IN CORPORATE NORMS...1127

1. THE DOMINANCE OF OPERATIONS OVER POLICY...1129
2. THE IMBALANCE BETWEEN THE BOARD AND
    THE CHIEF EXECUTIVE OFFICER...1130
3. THE PROBLEM OF INFORMATION BLOCKAGES...1131

E. AN OVERVIEW OF INTERNAL CORPORATE DECISION
    MAKING...1182
F. A PROPOSED MODEL: THE MINI-BOARD -- MAKING
     STRUCTURE FOLLOW STRATEGY...1147

II. TOWARD A LEGAL VIEW: SURVEYING THE CONTEMPORARY
     LEGAL TERRAIN...1156

A. A COOK'S TOUR OF COMMERCIAL BRIBERY...1157
B. THE PLAINTIFF'S CASE: TAKING INVENTORY OF THE
     THEORIES AVAILABLE...1161

1. THEORIES OF STRICT LIABILITY...1162

a. NEGLIGENCE PER SE...1162
b. ULTRA VIRES...1166
c.  THE "KNOWING VIOLATION"...1172

2.  NEGLIGENCE THEORIES...1183
3.  THE PUBLIC POLICY DOCTRINE...1190
4.  A PRELIMINARY EVALUATION...1197

C. CORPORATE COUNSEL REBUTS: A SURVEY OF THE
     DEFENSES...1199

1. THE DEFENSE OF RELIANCE UPON COUNSEL VERSUS
    THE "DUTY TO DISCLOSE"...1199
2. THE DURESS DEFENSE: THE CORPORATION AS
    VICTIM...1208
3.  THE PROXIMATE CAUSE DEFENSE AND THE NET LOSS
     RULE...1213
4.  THE BUSINESS JUDGMENT DEFENSE: BUT WHO WILL
     GUARD THE GUARDIANS?...1222

a.  PROCEDURAL LIMITATIONS...1229
b.  SUBSTANTIVE LIMITATIONS...1237

D. SUMMARY...1241

III. THE FEDERAL SECURITIES LAWS AND CORPORATE MISCONDUCT:
      DOES THE SEC HAVE A BETTER IDEA?...1246

CONCLUSION...1275" (pp. 1099-1100)

___________"Corporate Crime and Punishment: A Non-Chicago View of the Economics of Criminal Sanctions", (1979-80) 17 American Criminal Law Review 419-476; copy at Ottawa University, KF 9202 .A425  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada;  also published in Leonard Orland, ed., Corporate and White Collar Crime: An Anthology, [Cincinnati, Ohio]: Anderson Publishing, 1995, xiii, 438 p., ISBN: 0870848704;
 

"[Abstract]
In this article, Professor Coffee argues that fines are an inefficient mean by which to deter organizational crimes.  Instead, he urges a focus on the individual decision-maker and a system of competitive bids with respect to the choice of a fine as an alternative punishment." (p. 419)

___________"Corporate Criminal Liability" in Stanford H. Kadish, ed., Encyclopedia of Crime and Justice, vol. 1, New York: The Free Press, A Division of Macmillan; London: Collier Macmillan Publishers, 1983, at pp. 253-263, ISBN: 0029181100 (set of four volumes); also published in Leonard Orland, ed., Corporate and White Collar Crime: An Anthology, [Cincinnati, Ohio]: Anderson Publishing, 1995, xiii, 438 p., ISBN: 0870848704;

Contents

Introduction...253

Development of corporate criminal liability...253
Current state of the American law: some complexities in respondeat superior...255
A policy appraisal: is corporate criminal liability useful?...256

The debate over rationale...257
The utility of corporate punishment...259
The alternative of civil remedies...261
Affirmative defenses...261

Summary...262
Bibliography...263

___________"Corporate Criminal Liability: An Introduction and Comparative Survey", 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. 9-37 (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_S78/6-SUBJN-1.pdf (accessed on 13 December 2003);
 

___________"Does 'Unlawful' Mean 'Criminal'?  Reflections on the Disappearing Tort/Crime Distinction in American Law", (1991) 71 Boston University Law Review 193-246; copy at Ottawa University, K 2 .O678  Location: FTX Periodicals; also published in Leonard Orland, ed., Corporate and White Collar Crime: An Anthology, [Cincinnati, Ohio]: Anderson Publishing, 1995, xiii, 438 p., ISBN: 0870848704; last title not at Ottawa University;

[Contents]
INTRODUCTION...193

I.  THE BLURRING OF THE BORDER...201

A. Criminalizing the Civil Law...202

1. The Criminalization of Fiduciary Duties...202
2. The Hobbs Act...208

B. The Diminution of Mens Rea...210
C. Vicarious Liability...213
D. The 'Technicalization' of Crime...215
E. An Initial Summary: The Uncertainty Cost/Benefit Calculus...219

II. THE RATIONALE FOR THE TORT/CRIME DISTINCTION...221

A.  The Criminal Law as a System of Moral Education...223

1. Prohibiting Versus Pricing...225
2. When Should the Criminal Law Price?...228
3. Private Enforcement and the Criminal Law...230

B. Normative Arguments...233
C. The Debate over Overcriminalization...234

III. SEPARATING TORT FROM CRIME: TOWARD IMPLEMENTATION...238

A. The Role of the Sentencing Commission...240
B. An Agenda for the Sentencing Commission...243

CONCLUSION...246

___________"Making the Punishment Fit the Corporation: The Problems of Finding an Optimal Corporation Criminal Sanction", (1980-81) 1 Northern Illinois University Law Review 3-36; copy at the Library of the Supreme Court of Canada, Ottawa;

[Contents]

[INTRODUCTION]...3

THE PROBLEMS DEFINED: THE PARAMETERS OF
CORPORATE DETERRENCE...5

THE EQUITY FINE: TOWARD REDUCING SPILL-OVER...14

ADVERSE PUBLICITY AS A CRIMINAL SANCTION...21

INTEGRATING CRIMINAL AND CIVIL PENALTIES...28

CONCLUSION: TOWARDS IMPLEMENTATION...35

___________" 'No Soul to Damn: No Body to Kick': An Unscandalized Inquiry Into The Problem of Corporate Punishment", (1981) 79 Michigan Law Review 386-459; copy at Ottawa University, KFM 4269 .M52  Location: FTX Periodicals; also published in Leonard Orland, ed., Corporate and White Collar Crime: An Anthology, [Cincinnati, Ohio]: Anderson Publishing, 1995, xiii, 438 p., ISBN: 0870848704;

[Table of contents]

[INTRODUCTION]...386

I.  PERSPECTIVES ON CORPORATE PENALTIES: WHY
    SANCTIONS FALL SHORT...388

A.  The Deterrence Trap...389
B.  The Behavioral Perspective...393
C.  The Externality Problem...400
D.  The Nullificatioon Problem...405

II.  THE INDIVIDUAL AS TARGET...407

III. OPTIMIZING CORPORATE DETERRENCE: FROM
      DESCRIPTION TO PRESCRIPTION...411

A.  The Equity Fine: Toward a More Focused "Capital Punishment"...413
B.  The Hester Prynne Sanction: Using Adverse Publicity to Trigger Internal Reform...424

- First, the government is a relatively poor propagandist...425
- Second, government publicity may be drowned out because the communication channels of our society are already inundated with criticism of corporations...426
- Third, corporations can dilude this sanction through counter-publicity...426
- Fourth, the efficacy of publicity in cases involving consumer fraud or jeopardy to the public safety does not imply that publicity will be equally effective in dealing with "regulatory" crimes...426
- Fifth, if publicity directed against the corporation is effective, it will produce the same externalities as cash fines...427
- Finally, civil liberties issues surround the use of publicity as a sanction...428

C. Integrating Public and private Enforcement: A Reaxamination of the private Attorney General...434
D. Corporate Plea Bargaining...440
E. Corporate Criminal Liability: A Pragmatic Reassessment...444

IV.  BEYOND DETERRENCE: THE IMPLEMENTATION OF PREVENTIVE RESTRAINTS...448

A. Dangers to Life, Health or Safety...450
B. The 'Wraparound Sentence'...452
C. Activating Internal Discipline...455
D. Realizing the Manager's Interests...456

CONCLUSION: TOWARD PUNISHMENT THAT FITS THE CORPORATION...457

__________"Rebuttal: The Individual or The Firm? Focusing the Threat of Criminal Liability", (1980-81) 1 Northern Illinois University Law Review 3-36; copy at the Library of the Supreme Court of Canada, Ottawa;
 

___________"Understanding Enron: 'It's About the Gatekeepers, Stupid'", (August 2002) 57(4) The Business Lawyer 1403-1420;
 

COFFEE, John C., Richard Gruner and Christopher D. Stone, "Standards for Organizational Probation: A Proposal for the United States Sentencing Commission", (1988) 10 Whittier Law Review 77-102;
 

COFFEE  and Whitehead, "The Convicted Corporation", in Robert G. Morvillo, 1938-, and Otto G. Obermaier, 1936-, eds., White collar crime : business and regulatory offenses, New York: Law  Journal Seminars-Press, 1990, 2 v. (looseleaf), at p. 318  (series; Litigation series); title noted in my research but article not consulted;  no copy of this publication in the Canadian libraries covered in the AMICUS catalogue of the Library and Archives Canada, Ottawa (verification of 6 July 2004);
 

COHEN, Mark A., "Corporate Crime and Punishment: A Study of Social Harms and Sentencing Practice in Federal Courts, 1984-1987", (1988-89) 26 American Criminal Law Review 605-660; copy at Ottawa University, KF 9202 .A425  Location: FTX Periodicals;

"[Table of contents]

I.  INTRODUCTION...606
II.  DESCRIPTION OF SAMPLE AND DATA...608
III  ANALYSIS OF CORPORATE OFFENSES AND CURRENT SENTENCING PRACTICE...610

A. Monetary Sanctions...610
B. Nonmonetary Sanctions...613
C. Social Harm and the 'Multiple'...616
D. Gain versus Harm and Underdeterrence versus Overdeterrence...621
E. Real Offense versus Charging Offense...623
F. Relevant Sentencing Factors under Current Practice...624

1. Culpability...625
2. Bribes and Kickbacks...625
3. Victim Vulnerability...626
4. Risk or Actual Physical Injury...627

G. Disparity in Current Practice...627

IV. DETAILED ANALYSIS OF THE SOCIAL HARM AND SANCTIONS IMPOSED ON CORPORATE OFFENDERS...629

A. Private Fraud...629

1. Consumer Fraud...630
2. Commercial Fraud...632

B. Government Fraud...633

1. Program Faud...633
2. Procurement Fraud...636

C. Tax Offenses...638
D. Property Offenses...640

1. Property Theft or Destruction...640
2. Commercial Infringement...640

E. Environmental Offenses...642
F. Food, Drug and Agricultural Offenses...646
G. Regulatory Reporting Offenses...647
H. All other Organizational Offenses...649

1. Export Controls...649
2. Currency Reporting...650
3. Protected Wildlife...651
4. Worker Safety...652
5. Payments to Foreign Officials...653
6. Miscellaneous Cases...654

I. Multiple Offenses...656

V. CONCLUSION...657" (pp. 605-606)

___________"Corporate Crime and Punishment: An Update on Sentencing Practices in the Federal Courts, 1988-1990", (1991) 71 Boston University Law Review 247-280; copy at Ottawa University, K 2 .O678  Location: FTX Periodicals;

"TABLE OF CONTENTS

I. INTRODUCTION...249

II. DESCRIPTION OF DATA...250

A. Data Collection and Sampling Methods...250
B. Comparison of Data Sets, Offenders and Offenses...251

1. Data Sets...251
2. Types of Offenders...251
3. Types of Offenses...252

C. Antitrust Versus All Other Offenses...253

III.  MONETARY SANCTIONS FOR CONVICTED ORGANIZATIONS...253

A. Trends in Monetary Sanctions, 1984 to 1990...254
B. Comparison of Monetary Sanctions, Pre- and Post- the Criminal Fine
     Enforcement Act of 1984...256
C. Preliminary Estimates of "Total Sanctions" from Recent Cases...262
D.Criminal Negligence, Vicarious Liability and Ex Post Corporate Conduct...263

IV. OTHER SANCTIONS FOR CORPORATE MISCONDUCT...264

A. Nonmonetary Government Sanctions Against Organizations...265
B. Marketplace Penalties Against Organizations...266
C. Sanctions Against Individuals...267

1. Fines versus Jail Sentence for Family Owned Business...268
2. Corporate Officer Liability to Investors: Shifting Monetary
    Sanctions to Responsible Individuals...269

D. Private Tort Settlements...270

V. DETAILED ANALYSIS OF ENVIRONMENTAL CRIMES...270

VI. DETAILED ANALYSIS OF ANTITRUST OFFENSES       273

        VII.   CONCLUSION: IMPLICATIONS FOR SENTENCING GUIDELINES...276

A.  The Search for the Elusive "Multiple"...276
B.  Fines Should Be Based Primarily on Monetary Harm...    276
C.  Sanction Corporate Misconduct, Not Corporate Misfortune...278
D.  Criminal Sanctions Are Only One Part of the Total Picture...279
E.  The Need to Monitor Corporate Sanctions and Their Effect on
     Corporate Behavior...279" (pp. 249-250)

__________"Environmental Crime and Punishment: Legal/Economic Theory and Empirical Evidence on Enforcement of Federal Environmental Statutes", (1991-92) 82 Journal of Criminal Law and Criminology 1054-1108; copy at Ottawa University, HV 6001 .J633  Location: MRT Periodicals;

"TABLE OF CONTENTS

I. INTRODUCTION...1056

II. THEORIES OF CRIMINAL ENFORCEMENT...1057

A. Legal Theories...1058
B. Economic Theories...1061

1. The Purpose of the Criminal Law...1061
2. The Basic 'Optimal Penalty' Model...1063
3. Optimal Penalties with 'Moral Hazard'...1064

III. CRIMINAL LIABILITY FOR ENVIRONMENTAL OFFENSES...1066

IV. EMPIRICAL EVIDENCE ON SANCTIONS FOR ENVIRONMENTAL
      CRIMES...1070

A. Distribution of Offenses and Offenders...1072

1. Types of Offenses...1072
2. Types of Offenders...1073

B. Criminal Sanctions for Convicted Organizations and Individual
    Co-Defendants...1075

1. Introduction...1075
2. Monetary Sanctions for Organizations...1077
3. Nonmonetary Criminal Sanctions for Organizations...1082
4. Criminal Sanctions for Individual Co-Defendants...1084
5. Criminal Liability, Culpability and Judicial Discretion...1086

a. Vicarious Corporate Liability and Ex Post Firm
    Response...1086
b. Individual Criminal Liability for Strict Liability
    Crimes...1087
c. Fines versus Prison for Owners of Closely Held
    Businesses...1088

6. Empirical Analysis of Current Monetary Sanctions...1088

C. Noncriminal Sanctions for Corporate Crimes...1096

1. Marketplace Penalties Against Organizations...1096
2. Private Tort Settlements...1096
3. Other Government-Imposed Sanctions...1097
4. Corporate and Officer Liability to Investors...1098

V. IMPACT OF SENTENCING GUIDELINES ON ENVIRONMENTAL
     SANCTIONS...1099

VI. CONCLUSION...1102

A. Are We 'Overcriminalizing' Environmental Law?...1102
B. Criminal Sanctions Should be Based on Harm...1105
C. Criminal Sanctions Should Be Based on the Probability
     of Detection...1106
D. Criminal sanctions Are Only One Part of the Total Picture...1107
E. Future Research Issues...1107"   (pp. 1054-1055)

___________ "Theories of Punishment and Empirical Trends in Corporate Criminal Sanctions",  (July 1996) 17 Managerial and Decision Economics 399-411; copy at Ottawa University, HD 28 .M13  Location: MRT Periodicals;
 

COHEN, Mark A., Chih-Chin. Ho, Edward D. Jones III, and Laura M. Schleich, "Organizations as Defendants in Federal Court: A Preliminary Analysis of Prosecutions, Convictions, and Sanctions 1984-1987", (1988) 10 Whittier Law Review 103-124;

"TABLE OF CONTENTS

I.  Introduction...104

II. Background on Data Sources...104

III. General Description of Criminal Cases Against Organizations...106

A. Distribution of Offenses and Offenders...106

1. Offense Types...106
2. Multiple Defendants...106
3. Distribution by Circuit...07
4. Size Distribution...107

B. Monetary Sanctions...107

C. Nonmonetary Sanctions...107

IV. Analysis of Presentence Investigations...108

A. Total Monetary Sanctions...109

B. Loss Multiples under Current Practice...109

C. Sentencing Patterns...111

V. Conclusion...111

VI. Tables...114" (pp. 103-104)

COLE, Lance, "Corporate Criminal Liability in the 21st Century: A New Era?", (2003) 45(1) South Texas Law Review 147-170; copy at Ottawa University, KFT 1269 .S687  Location: FTX Periodicals;

"[Contents]

I. HISTORICAL OVERVIEW: EXPANDING THEORIES OF CORPORATE
   CRIMINAL LIABILITY...148

A. Historical Background: the Beginning of the 20th Century...148
B. Mid-Century Cases: Dramatically Expanded Corporate Criminal
    Liability...148
C. Late 20th Century Cases: Aggressive and Creative Theories of
    Corporate Criminal Liability...149
D. The Turn of the New Century: Corporate Criminal Liability is the
    Rule, Not the Exception...149

II. THE OTHER SHOE FALLS: EXPANSIVE CORPORATE CRIMINAL
     LIABILITY IS COUPLED WITH COOPERATION, VOLUNTARY
     DISCLOSURE, AND SELF-REPORTING PROGRAMS...150

A. The Department of Justice 1999 Memorandum on 'Federal
    Prosecution of Business Organizations'...151
B. The Department of Justice's January 2003 'Principles of
    Federal Prosecution of Business Organizations'...153
C. The Securities and Exchange Commission's Cooperation
    Policy...155

1. Measures of Cooperation...156
2. Attorney-Client Privilege Issues...157

D. Other Federal Government Cooperation, Voluntary Disclosure,
     and Self-Reporting Programs...159

III. CONGRESS RAISES THE STAKES EVEN HIGHER: THE
      SARBANES-OXLEY ACT OF 2002...160

A. Effect of Section 307 on the Attorney-Client Corporate
    Relationship...161
B. SEC Rulemaking Activity to Date...162

1. The SEC's Original Proposal...162
2. The SEC's 'Up-the-Ladder' Attorney Reporting Rule...163
3. The SEC's New Proposal on 'Reporting Out' By Attorneys...165

C. Section 307 and Waiver of Privilege Protections...167

IV.  CONCLUSION: CAN A BUSINESS ENTITY STILL CONTEST
       OR EVEN AGGRESSIVELY DEFEND AGAINST CRIMINAL
       CHARGES?...169" (pp. 147-148)

COLEMAN, Bruce, "Is Corporate Criminal Liability Really Necessary?", (1975) 29 Southwestern Law Journal 908-927; copy at Ottawa University, KFT 1269 .S698  Location: FTX Periodicals; not at SCC's library;

[Contents]

[INTRODUCTION]...908

I. EXTENT OF CRIMINAL RESPONSIBILITY OF CORPORATIONS...908

A. Development of the Common Law...908
B. Statutory Law...912

II. CRIMINAL SANCTIONS IMPOSED ON CORPORATIONS...914

III. CRIMINAL SANCTIONS AGAINST CORPORATIONS: ARE THEY
      EFFECTIVE?...917

A. Why Corporate Crime Exists...917
B. Purposes and Efficacy Against Corporations...919
C. Proposed Limitations on Corporate Criminal Liability...925

IV CONCLUSION...926

COLEMAN, James William, "The Theory of White-Collar Crime: From Sutherland to the 1990s", in Kip Schlegel and David Weisburd, eds., White Collar Crime Reconsidered, Boston: Northeastern University Press, 1992, xv, 384 p., at pp. 53-77, ISBN: 1555531415; notes; "Papers originally presented at a conference held at Indiana University in May 1990"; copy at Ottawa University, MRT General: HV 6769 .W485 1992; for the table of contents, see the Catalogue of Columbia University, PEGASUS, at  http://pegasus.law.columbia.edu/;

[Contents]

[Introduction]...53

The First Wave: Sutherland and His Students...54

The Period of Latency...57

The Resurgence of Interest...58

The Social Psychology of White-Collar Crime...58

The Structural Dimension: Law and Culture...61

The Theory of Organizational Crime...64

- Organizational Goals...65
- Organizational Environement...66
- Internal Culture and Structure...68

Putting It All Together...71

Conclusions...73

REFERENCES...74
 

[CONTENTS]

INTRODUCTION

PART ONE --CORPORATE MANSLAUGHTER IN AUSTRALIA:
A BACKGROUND

A: How Can a Corporation Be Guilty of Manslaughter?
B: Workplace Deaths and the Legal Response in Australia

PART TWO --CORPORATE MANSLAUGHTER PROSECUTIONS:
THE PRACTICAL PROBLEMS

A: Three Shields to Accountability: The Identity Doctrine, Corporate
     Action and The Corporation as Separate Legal Entity
B: Sanctions: The Shortcomings of Fines
C: The Scarcity of Corporate Manslaughter Prosecutions

PART THREE--CORPORATE MANSLAUGHTER PROSECUTIONS:
A THEORETICAL CRITIQUE AND AN ALTERNATIVE THEORY AS
THE BASIS FOR AN ALTERNATIVE APPROACH

A: Do Corporate Manslaughter Prosecutions Really Deliver Moral
     Retribution or Stigmatisation?
B: Do Corporate Manslaughter Prosecutions Provide `Equality Before the Law'?
C: Desert Theory: An Inadequate Guide For a Legal Response to Workplace
    Deaths Caused By Corporate Negligence
D: An Alternative Theory: A Republican Theory of Criminal Justice

1 A Republican Notion of Equality

PART FOUR -- A `REPUBLICAN' APPROACH: SOLVING THE
PROBLEMS OF CORPORATE MANSLAUGHTER PROSECUTIONS

A: The Accountability Model
B: The Accountability Model and Workplace Death
C: Overcoming the Barriers to Corporate and Individual Liability for
    Workplace Deaths Caused By Corporate Negligence

1 Securing Corporate Accountability
2 Securing Individual Accountability

D: Remedying the Scarcity in Prosecutions of Corporations for Workplace
    Deaths Caused By Corporate Negligence
E: Remedying the Problems With Sanctions

1 Transcending the Deterrence Trap
2 Providing Greater Satisfaction to Victims' Communities

CONCLUSION--A `REPUBLICAN' APPROACH TO WORKPLACE
DEATHS CAUSED BY CORPORATE NEGLIGENCE

APPENDIX A --FIGURE 1: AVERAGE NUMBER OF PROSECUTIONS AND
CONVICTIONS OF CORPORATIONS FOR OHS OFFENCES, BY JURISDICTION

BIBLIOGRAPHY

COLLIER, N.C., "Impolicy of modern decisions and statutes making corporations indictable; and the confusion in morals thus created", (16 December 1910) 71(24) The Central Law Journal 421-427;
 

COLOMBANT, Romuald, La responsabilité pénale des personnes morales, pour les infractions relevant spécifiquement du droit pénal des affaires, Mémoire DEA : Droit pénal et sci. criminelles: Aix-Marseille 3: 1994, 131 feuilles; pas de résumé au catalogue Abes; titre noté dans mes recherches mais mémoire non consulté; aucune copie au Canada pour les bibliothèques comprises dans le catalogue AMICUS de la Bibliothèque nationale du Canada (28 avril 2004);
 

COLVIN, Eric, "Corporate Personality and Criminal Liability", (1995) 6 Criminal Law Forum 1-44; copy at the Library of the Supreme Court of Canada; copy at Ottawa University, K 5000 .A13 C747  Location: FTX Periodicals;

[Contents]

INTRODUCTION...1

DERIVATIVE MODELS OF CORPORATE CRIMINAL LIABILITY...4

The Corporation as a Fictional Entity...4
Vicarious Liability...6
The Doctrine of Identification...8
The Herald of Free Enterprise...16

AGGREGATION...18

ORGANIZATIONAL MODELS OF CORPORATE CRIMINAL LIABILITY...23

Corporate Negligence...25
Corporations and Subjective Mental States...31

Conclusions...42

[Contents]

[Introduction]...870

Case Law...871

Proposed [Federal] Legislation...877

Liability of Agents for Corporate Violations...884

Penalty Provisions...890

COMMISSION DES COMMUNAUTÉS EUROPÉENNES, Livre vert: sur le rapprochement, la reconnaissance mutuelle et l’exécution des sanctions pénales dans l’Union européenne (présenté à la Commission), Bruxelles, le 30.04.2004, 100 p., COM(2004)334 final; disponible à  http://www.ms.gov.pl/ue_koop/crim_sanctions_fr.pdf (visionné le 20 juin 2004); aussi disponible en anglais/also available in English: COMMISSION OF THE EUROPEAN COMMUNITIES, Green Paper: on the approximation, mutual recognition and enforcement of criminal sanctions in the European Union
(presented by the Commission), Brussels, 30.04.2004, COM(2004)334 final; available at  http://europa.eu.int/eur-lex/en/com/gpr/2004/com2004_0334en01.pdf (accessed on 20 June 2004);

"Sanctions à l’encontre des personnes morales.

Depuis l’adoption en 1997 du deuxième protocole à la convention relative à la protection des intérêts financiers des Communautés européennes, qui prévoyait que chaque Etat membre devrait prendre les mesures nécessaires pour assurer que les personnes morales puissent être tenues pour responsables d'un fait de fraude, de corruption active et de blanchiment de capitaux, de nombreux instruments législatifs fondés sur le Titre VI du TUE, adoptés ou en cours d’adoption, contiennent ce type de dispositions qui obligent les Etats membres à prendre les mesures nécessaires pour que les personnes morales puissent être tenues responsables pour les infractions visées dans l’instrument, et à prévoir des sanctions.

Ces instruments n’obligent pas les Etats membres à établir une responsabilité pénale pour les personnes morales -- celle-ci peut être administrative -- compte tenu du fait que la responsabilité pénale des personnes morales n’est pas connue dans tous les Etats membres. La responsabilité établie pour les personnes morales n’est pas générale mais limitée aux infractions concrètes et les sanctions prévues doivent être effectives, proportionnées et dissuasives, y inclus des amendes pénales ou non pénales. D’autres sanctions peuvent aussi être imposées, notamment des mesures d’exclusion du bénéfice de tout avantage ou aide octroyé par les pouvoirs publics, des mesures d’interdiction temporaire ou permanente d’exercer une activité commerciale, le placement sous surveillance judiciaire et une mesure judiciaire de dissolution.

La décision-cadre du Conseil relative au trafic des êtres humains, la décision-cadre relative à l’exploitation sexuelle des enfants et la pédopornograhie et la proposition de décision-cadre relative au trafic de drogues prévoient aussi la fermeture temporaire ou définitive d’établissements ayant servi à commettre l’infraction.

On peut constater que chaque fois qu’au niveau de l’Union un rapprochement des éléments constitutifs des infractions a été réalisé dans un secteur particulier, ceci a été accompagné par un rapprochement de sanctions imposées aux personnes physiques et morales.

D’autre part, les instruments horizontaux sur la confiscation et sur la reconnaissance des amendes s’appliquent aussi aux personnes morales, même pour des infractions non harmonisées." (pp. 21-22; notes omises)

...........

"Sanctions à l’encontre des personnes morales.

S’agissant des sanctions à l’encontre des personnes morales, il existe des différences considérables entre les Etats membres. Un certain nombre d’entre eux prévoient la responsabilité -- et parfois de manière spécifique la responsabilité pénale -- des personnes morales: par exemple la France, l’Irlande, le Royaume-Uni, la Belgique et les Pays-Bas. Ceci n’est pas le cas, par exemple en Grèce, en Allemagne, au Luxembourg ou en Italie. La responsabilité des personnes morales fait l’objet de nombreux débats. Les adversaires de cette idée avancent principalement que la personne morale n'ayant pas d'esprit propre, elle ne peut être reprochée d’une culpabilité en matière criminelle (societas delinquere non potest). Les partisans de la responsabilité pénale des personnes morales adoptent une toute autre perspective. Selon eux, les personnes morales ne sont pas de simples fictions. Ces institutions existent, occupent une position prédominante dans l'organisation de notre société et doivent être responsables des infractions qu'elles commettent.

Au Royaume-Uni, par exemple, la jurisprudence fonde la responsabilité des personnes morales sur la théorie dite de l'identification. En vertu de cette théorie, il y a identité entre la personne morale et les personnes qui en sont l'âme dirigeante, c'est à dire les personnes, cadres ou dirigeants, dont les fonctions au sein de l'entreprise sont telles qu'elles ne reçoivent pas, dans l'exécution de leurs fonctions, d'ordre ou de directives de la part d'un supérieur hiérarchique. La commission d'une infraction par une personne ou un groupe de personnes identifiées à l'organisation constitue donc aussi une infraction de la part de la personne morale. Néanmoins, en dépit des différences avec les systèmes de common law, d’autres Etats membres tels que la France, prévoient la responsabilité pénale des personnes morales." (p. 34)

.............

"Personnes morales.

Il n'existe pas d'instrument général prévoyant des sanctions communément applicables aux personnes morales. Il faut tenir compte du fait que la plupart des personnes morales exercent des activités et possèdent des avoirs dans plusieurs Etats membres. Si ces mesures ne sont pas disponibles dans tous les États membres il y a un risque que ces personnes morales localisent leurs activités et/ou leurs avoirs dans l’État membre où le risque de sanction est le plus faible, sinon inexistant.

Comme c’est le cas pour les sanctions pécuniaires, on peut réfléchir au rapprochement des sanctions à l’encontre des personnes morales lorsque ceci s'avère indispensable pour assurer la mise en œuvre efficace d'une politique de l'Union dans un domaine ayant fait l'objet de mesures d'harmonisation." (p. 56)
 
 

"Article 3

Chaque État membre s'assure que les personnes morales peuvent être tenues pénalement ou, à défaut, autrement responsables des infractions relevant de l'article 2, paragraphe 1, commises par ladite personne morale, selon des modalités à définir dans son droit interne. Cette responsabilité de la personne morale ne préjuge pas la responsabilité pénale des personnes physiques qui sont les auteurs ou les complices de ces infractions. Chaque État membre s'assure notamment que les personnes morales peuvent être sanctionnées de façon effective, proportionnée et dissuasive et qu'elles peuvent àtre frappées de sanctions de nature patrimoniale et économique.  La présente action commune entre en vigueur le jour de sa publication."

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

"Article 3

Each Member State shall ensure that legal persons may be held criminally or, failing that, otherwise liable for offences falling within Article 2(1) which are committed by that legal person, in accordance with procedures to be laid down in national law. Such liability of the legal person shall be without prejudice to the criminal liability of the natural persons who were the perpetrators of the offences or their accomplices. Each Member State shall ensure, in particular, that legal persons may be penalised in an effective, proportionate and dissuasive manner and that material and economic sanctions may be imposed on them."

____________"ACTION COMMUNE du 22 décembre 1998 adopté par le Conseil sur la base de l'article K.3 du traité sur l'Union européenne,
relative à  la corruption dans le secteur privé", Acte adopté en application du titre VI du traité sur l'Union européenne, Journal officiel des Communautés européennes, L358/2, 31.12.98; disponible à  http://europa.eu.int/eur-lex/pri/fr/oj/dat/1998/l_358/l_35819981231fr00020004.pdf (visionné le 13 juillet 2004); aussi disponible en anglais/also available in English: "JOINT ACTION of 22 December 1998 adopted by the Council on the basis of Article K.3 of the Treaty on European Union, on corruption in the private sector", Act adopted pursuant to Title VI of the Treaty on European Union, Official Journal of the European Communities, L358/2, 31.12.98, available at  http://europa.eu.int/eur-lex/pri/en/oj/dat/1998/l_358/l_35819981231en00020004.pdf (accessed on 13 July 2004);
 

"Article premier
Définitions
Aux fins de la présente action commune:
[...]
– l'expression 'personne morale' désigne toute entité ayant ce statut en vertu du droit national applicable, exception faite des États ou des autres entités publiques dans l'exercice de leurs prérogatives de puissance publique et des organisations internationales publiques.
[...]
 

Article 5
Responsabilité des personnes morales

1. Chaque État membre prend les mesures nécessaires pour que les personnes morales puissent être tenues pour responsables d'un fait de corruption active visé à l'article 3 commis à leur bénéfice par toute autre personne, agissant
soit individuellement soit en tant que membre d'un organe de la personne morale, qui exerce un pouvoir de direction en son sein, sur les bases suivantes:

– un pouvoir de représentation de la personne morale
ou
– une autorité pour prendre des décisions au nom de la personne morale
ou
– une autorité pour exercer un contrôle au sein de la personne morale,

ainsi que de la participation à la commission de cette infraction en qualité de complice ou d'instigateur.

2. Outre les cas déjà prévus au paragraphe 1, chaque État membre prend les mesures nécessaires pour qu'une personne morale puisse être tenue pour responsable lorsque le défaut de surveillance ou de contrôle de la part d'une personne visée au paragraphe 1 a rendu possible la commission d'un fait de corruption active visé à l'article 3 au bénéfice de ladite personne morale par une personne soumise à son autorité."

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

"Article 1
Definitions

For the purposes of this Joint Action: ...
– `legal person' means any entity having such status under the applicable national law, except for States or other public bodies acting in the exercise of State authority and for public international organisations,
....

Article 5
Liability of legal persons

1. Each Member State shall take the necessary measures to ensure that legal persons can be held liable for active corruption of the type referred to in Article 3 committed for their benefit by any person, acting either individually or as part of an organ of the legal person, who has a leading position within the legal person, based on:

– a power of representation of the legal person, or

– an authority to take decisions on behalf of the legal person, or

– an authority to exercise control within the legal person,

as well as for involvement as accessories or instigators in the commission of such an offence.

2. Apart from the cases already provided for in paragraph 1, each Member State shall take the necessary measures to ensure that a legal person can be held liable where the lack of supervision or control by a person  referred to in paragraph 1 has made possible the commission of an act of active corruption of the type referred to in Article 3 for the benefit of that legal person by a person under its authority."
 

 
"Article 6
Responsabilité des personnes morales

1. Chaque État membre prend les mesures nécessaires pour que les personnes morales puissent être tenues pour responsables des actes visés aux articles 2 et 3, commis pour leur compte par toute personne agissant soit individuellement soit en qualité de membre d'un organe de la personne morale, qui exerce un pouvoir de direction en son sein, sur les bases
suivantes:

a) un pouvoir de représentation de la personne morale, ou

b) une autorité pour prendre des décisions au nom de la personne morale, ou

c) une autorité pour exercer un contrôle au sein de la personne morale,

ainsi que de la participation à la commission des actes visés à l'article 2 en qualité de complice ou d'instigateur.

2. Abstraction faite des cas déjà prévus au paragraphe 1, chaque État membre prend les mesures nécessaires pour qu'une personne morale puisse être tenue pour responsable lorsque le défaut de surveillance ou de contrôle de la part d'une personne
visée au paragraphe 1 a rendu possible la commission des actes visés aux articles 2 et 3 pour le compte de ladite personne
morale par une personne soumise à son autorité.

La responsabilité de la personne morale en vertu des paragraphes 1 et 2 n'exclut pas les poursuites pénales contre les
personnes physiques auteurs, instigateurs ou complices des actes visés aux articles 2 et 3.
 

Article 7
Sanctions à l'encontre des personnes morales

Chaque État membre prend les mesures nécessaires pour qu'une personne morale tenue pour responsable au sens de l'article 6 soit passible de sanctions effectives, proportionnées et dissuasives, qui incluent des amendes pénales ou non pénales et éventuellement d'autres sanctions, notamment:

a) des mesures d'exclusion du bénéfice d'un avantage ou d'une aide d'origine publique;

b) des mesures d'interdiction temporaire ou permanente d'exercer une activité industrielle ou commerciale;

c) un placement sous surveillance judiciaire;

d) une mesure judiciaire de dissolution;

e) l'obligation d'adopter des mesures spécifiques pour éviter les conséquences d'agissements analogues à ceux sur lesquels
était fondée la responsabilité pénale."

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

Article 6
Liability of legal persons

1. Each Member State shall take the necessary measures to ensure that legal persons can be held liable for conduct referred
to in Articles 2and 3 committed for their benefit by any person, acting either individually or as part of an organ of the legal person, who has a leading position within the legal person, based on

(a) a power of representation of the legal person, or

(b) an authority to take decisions on behalf of the legal person,
or

(c) an authority to exercise control within the legal person,

as well as for the involvement as accessories or instigators in the commission of conduct referred to in Article 2.

2. Apart from the cases already provided for in paragraph 1, each Member State shall take the necessary measures to ensure
that a legal person can be held liable where the lack of supervision or control by a person referred to in paragraph 1 has
made possible the commission referred to in Articles 2 and 3 for the benefit of that legal person by a person under its
authority.

Liability of a legal person under paragraphs 1 and 2 shall not exclude criminal proceedings against natural persons who are
perpetrators, instigators or accessories in the conduct referred to in Articles 2 and 3.
 

Article 7
Sanctions for legal persons

Each Member State shall take the necessary measures to ensure that a legal person held liable pursuant to Article 6 is punishable by effective, proportionate and dissuasive sanctions, which shall include criminal or non-criminal fines and may include other sanctions such as:

(a) exclusion from entitlement to public benefits or aid;

(b) temporary or permanent disqualification from the practice of industrial or commercial activities;

(c) placing under judicial supervision;

(d) a judicial winding-up order;

(e) the obligation to adopt specific measures in order to avoid the consequences of conduct such as that on which the criminal liability was founded.

___________ Deuxième protocole à la convention relative à la protection des intérêts financiers des Communautés européennes (1997), Journal officiel des communautés européennes, n° C 221 du 19/07/1997, p. 11; disponible à  http://admi.net/eur/loi/leg_euro/fr_497Y0719_02.html (visionné le 13 juillet 2004); aussi disponible en anglais/also available in English: Second Protocol to the Convention on the Protection of the European Communities' Financial Interests (1997), Official Journal of the European Communities No C221, 19.07.1997, p. 11;

"Article premier -- Définitions

Aux fins du présent protocole, on entend par: [...]
d) «personne morale», toute entité ayant ce statut en vertu du droit national applicable, exception faite des États ou des autres entités publiques dans l'exercice de leurs prérogatives de puissance publique et des organisations internationales publiques;

[...]

Article 3 -- Responsabilité des personnes morales

1. Chaque État membre prend les mesures nécessaires pour assurer que les personnes  morales puissent être tenues pour responsables d'un fait de fraude, de corruption active et de blanchiment de capitaux commis pour leur compte par toute personne, agissant soit individuellement, soit en tant que membre d'un organe de la personne morale, qui exerce un pouvoir de direction en son sein, sur les bases suivantes:

- un pouvoir de représentation de la personne morale
ou
- une autorité pour prendre des décisions au nom de la personne morale
ou
- une autorité pour exercer un contrôle au sein de la personne morale,

ainsi que de la participation à la commission de ce fait de fraude, de corruption active ou de blanchiment de capitaux en qualité de complice ou d'instigateur, ou de la tentative de commission de ce fait de fraude.

2. Abstraction faite des cas déjà prévus au paragraphe 1, chaque État membre prend les mesures nécessaires pour assurer qu'une personne morale puisse être tenue pour responsable lorsque le défaut de surveillance ou de contrôle de la part d'une personne visée au paragraphe 1 a rendu possible la commission d'un fait de fraude, de corruption active ou de blanchiment de capitaux pour le compte de ladite personne morale par une personne soumise à son autorité.

3. La responsabilité de la personne morale en vertu des paragraphes 1 et 2 n'exclut pas les  poursuites pénales contre les personnes physiques auteurs, instigateurs ou complices du fait de fraude, de corruption active ou de blanchiment de capitaux.
 

Article 4 -- Sanctions à l'encontre des personnes morales

1. Chaque État membre prend les mesures nécessaires pour assurer qu'une personne morale déclarée responsable au sens de l'article 3 paragraphe 1 soit passible de sanctions effectives, proportionnées et dissuasives, qui incluent des amendes pénales ou non pénales et éventuellement d'autres sanctions, notamment:

a) des mesures d'exclusion du bénéfice d'un avantage ou d'une aide publique;

b) des mesures d'interdiction temporaire ou permanente d'exercer une activité commerciale;

c) un placement sous surveillance judiciaire;

d) une mesure judiciaire de dissolution.

2. Chaque État membre prend les mesures nécessaires pour assurer qu'une personne morale déclarée responsable au sens de l'article 3 paragraphe 2 soit passible de sanctions ou  mesures effectives, proportionnées et dissuasives."

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

"Article 1 -- Definitions

For the purposes of this Protocol: ...

(d) 'legal person` shall mean any entity having such status under the applicable national law, except for States or other public bodies in the exercise of State authority and for public international organizations ...

......

Article 3 -- Liability of legal persons

1. Each Member State shall take the necessary measures to ensure that legal persons can be held liable for fraud, active corruption and money laundering committed for their benefit by any person, acting either individually or as part of an organ of the legal person, who has a leading position within the legal person, based on

- a power of representation of the legal person, or
- an authority to take decisions on behalf of the legal person, or
- an authority to exercise control within the legal person,

as well as for involvement as accessories or instigators in such fraud, active corruption or money laundering or the attempted commission of such fraud.

2. Apart from the cases already provided for in paragraph 1, each Member State shall take the necessary measures to ensure that a legal person can be held liable where the lack of supervision or control by a person referred to in paragraph 1 has made possible the commission of a fraud or an act of active corruption or money laundering for the benefit of that legal person by a person under its authority.

3. Liability of a legal person under paragraphs 1 and 2 shall not exclude criminal proceedings against natural persons who are perpetrators, instigators or accessories in the fraud, active corruption or money laundering.
 

Article 4 -- Sanctions for legal persons

1. Each Member State shall take the necessary measures to ensure that a legal person held liable pursuant to Article 3 (1) is punishable by effective, proportionate and dissuasive sanctions, which shall include criminal or non-criminal fines and may include other sanctions such as:
(a) exclusion from entitlement to public benefits or aid;
(b) temporary or permanent disqualification from the practice of commercial activities;
(c) placing under judicial supervision;
(d) a judicial winding-up order.

2. Each Member State shall take the necessary measures to ensure that a legal person held liable pursuant to Article 3 (2) is punishable by effective, proportionate and dissuasive sanctions or measures."

CONSEIL DE L'EUROPE, COMITÉ DES MINISTRES, Comité restreint d'experts sur la responsabilité pénale des personnes morales, Responsabilité des entreprises pour infractions : recommandation no R (88) 18 adoptée par le Comité des ministres du Conseil de l'Europe le 20 octobre 1988 et exposé des motifs / [élaborée par le Comité restreint d'experts sur la responsabilité pénale des personnes morales] , Strasbourg : Conseil de l'Europe, 1990, 16 p. (Collection; Conseil de l'Europe; Affaires juridques), ISBN:  9287117497; copie à l'Université de Montréal, DNHF R332 no R88-18 1990; aussi publié en anglais/ also published in English: COUNCIL OF EUROPE, Committee of Ministers, Liability of Enterprises for Offences -- Recommendation No. R (88) 18 adopted by the Committee of Ministers of the Council of Europe on 20 October 1988 and explanatory memorandum, Strasbourg: Council of Europe, 1990, 16 p., ISBN: 92-87117500 (series; Council of Europe; Legal Affairs); copy at the Library of the Supreme Court of Canada, Ottawa, call number KJC 2467 A5 C68 1990;
 

___________COMITÉ DES MINISTRES, "RECOMMANDATION N° R (88) 18  DU COMITÉ DES MINISTRES AUX ÉTATS MEMBRES CONCERNANT LA RESPONSABILITÉ DES ENTREPRISES PERSONNES MORALES  POUR LES INFRACTIONS COMMISES DANS L'EXERCICE DE LEURS ACTIVITÉS (adoptée par le Comité des Ministres le 20 octobre 1988,  lors de la 420e réunion des Délégués des Ministres)", disponible à  http://cm.coe.int/ta/rec/1988/f88r18.htm, (visionné le 1 mai 2004); aussi publié en anglais/ also published in English: COUNCIL OF EUROPE, Committee of Ministers, Recommendation No. R (88) 18 of the Committee of Ministers to Member States Concerning Liability of Enterprises Having Legal Personality for Offences Committed in the Exercise of their Activities (Adopted by the Committee of Ministers on 20 October 1988 at the 420th meeting of the Ministers' Deputies), available at  http://cm.coe.int/ta/rec/1988/88r18.htm(accessed on 27 December 2003);
 
 

___________COMITÉ DES MINISTRES, "RECOMMANDATION N° R (82) 15 DU COMITÉ DES MINISTRES AUX ÉTATS MEMBRES SUR LE RÔLE DU DROIT PÉNAL DANS LA PROTECTION DES CONSOMMATEURS (adoptée par le Comité des Ministres le 24 septembre 1982, lors de la 350e réunion des Délégués des Ministres) disponible à  https://wcm.coe.int/index.jsp (visionné le 10 juillet 2004); aussi publié en anglais/ also published in English: COUNCIL OF EUROPE, Committee of Ministers,  RECOMMENDATION No. R (82) 15 OF THE COMMITTEE OF MINISTERS TO MEMBER STATES ON THE ROLE OF CRIMINAL LAW IN CONSUMER PROTECTION Adopted by the Committee of Ministers on 24 September 1982 at the 350th meeting of the Ministers' Deputies), available at  https://wcm.coe.int/rsi/CM/index.jsp (accessed on 10 July 2004);

"Le Comité des Ministres, en vertu de l'article 15.b du Statut du Conseil de l'Europe [...]

Recommande aux gouvernements des Etats membres : [...]

6. d'envisager l'opportunité d'introduire dans leur législation la responsabilité pénale des personnes morales, ou des institutions visant les mêmes buts"

---------

"The Committee of Ministers, under the terms of Article 15.b of the Statute of the Council of Europe ...

Recommends that the governments of the member states : ...

6. consider the advisability of introducing into their legislation the concept of the criminal liability of legal persons or institutions designed to achieve the same object"
 

"Article 1 – Terminologie

Aux fins de la présente Convention: [...]

d «personne morale» s’entend de toute entité ayant ce statut en vertu du droit national applicable, exception faite des Etats ou des autres entités publiques dans l’exercice de leurs prérogatives de puissance publique et des organisations internationales publiques.

[...]
 

Article 18 – Responsabilité des personnes morales

1  Chaque Partie adopte les mesures législatives et autres qui se révèlent nécessaires pour s’assurer que les personnes morales puissent  être tenues pour responsables des infractions de corruption active, de trafic d’influence et de blanchiment de capitaux établies en vertu de la présente Convention, lorsqu’elles sont commises pour leur compte par toute personne physique, agissant soit individuellement, soit en tant que membre d’un organe de la personne morale, qui exerce un pouvoir de direction en son sein, sur les bases suivantes:

– un pouvoir de représentation de la personne morale; ou
– une autorité pour prendre des décisions au nom de la personne morale; ou
– une autorité pour exercer un contrôle au sein de la personne morale;

ainsi que de la participation d’une telle personne physique en qualité de complice ou d’instigatrice à la commission des infractions mentionnées ci-dessus.

2  Abstraction faite des cas déjà prévus au paragraphe 1, chaque Partie prend les mesures nécessaires pour s’assurer qu’une personne morale puisse être tenue pour responsable lorsque l’absence de surveillance ou de contrôle de la part d’une personne physique visée au paragraphe 1 a rendu possible la commission des infractions mentionnées au paragraphe 1 pour le compte de ladite personne morale par une personne physique soumise à son autorité.

3  La responsabilité de la personne morale en vertu des paragraphes 1 et 2 n’exclut pas les poursuites pénales contre les personnes physiques auteurs, instigatrices ou complices des infractions mentionnées au paragraphe 1.
 

Article 19 – Sanctions et mesures

1  Compte tenu de la gravité des infractions pénales établies en vertu de la présente Convention, chaque Partie prévoit, à l’égard des  infractions établies conformément aux articles 2 à 14, des sanctions et des mesures effectives, proportionnées et dissuasives incluant,  lorsqu’elles sont commises par des personnes physiques, des sanctions privatives de liberté pouvant donner lieu à l’extradition.

2  Chaque Partie s’assure qu’en cas de responsabilité établie en vertu de l’article 18, paragraphes 1 et 2, les personnes morales soient passibles de sanctions efficaces, proportionnées et dissuasives de nature pénale ou non pénale, y compris des sanctions pécuniaires.

3  Chaque Partie adopte les mesures législatives et autres qui se révèlent nécessaires pour lui permettre de confisquer ou de priver autrement des instruments et des produits des infractions pénales établies en vertu de la présente Convention, ou des biens dont la valeur correspond à ces produits."

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

"Article 1 – Use of terms

For the purposes of this Convention: ...

d    "legal person" shall mean any entity having such status under the applicable national law, except for States or other public bodies in the exercise of State authority and for public international organisations.
......

Article 18 – Corporate liability

1    Each Party shall adopt such legislative and other measures as may be necessary to ensure that legal persons can be held liable for the criminal offences of active bribery, trading in influence and money laundering established in accordance with this Convention, committed for their benefit by any natural person, acting either individually or as part of an organ of the legal person, who has a leading position within the legal person, based on:

– a power of representation of the legal person; or
– an authority to take decisions on behalf of the legal person; or
– an authority to exercise control within the legal person;

as well as for involvement of such a natural person as accessory or instigator in the above-mentioned offences.

2    Apart from the cases already provided for in paragraph 1, each Party shall take the necessary measures to ensure that a legal person can be held liable where the lack of supervision or control by a natural person referred to in paragraph 1 has made possible the commission of the criminal offences mentioned in paragraph 1 for the benefit of that legal person by a natural person under its authority.

3    Liability of a legal person under paragraphs 1 and 2 shall not exclude criminal proceedings against natural persons who are perpetrators, instigators of, or accessories to, the criminal offences mentioned in paragraph 1.
 

Article 19 – Sanctions and measures

1    Having regard to the serious nature of the criminal offences established in accordance with this Convention, each Party shall provide, in respect of those criminal offences established in accordance with Articles 2 to 14, effective, proportionate and dissuasive sanctions and measures, including, when committed by natural persons, penalties involving deprivation of liberty which can give rise to extradition.

2    Each Party shall ensure that legal persons held liable in accordance with Article 18, paragraphs 1 and 2, shall be subject to effective, proportionate and dissuasive criminal or non-criminal sanctions, including monetary sanctions.

3    Each Party shall adopt such legislative and other measures as may be necessary to enable it to confiscate or otherwise deprive the  instrumentalities and proceeds of criminal offences established in accordance with this Convention, or property the value of which corresponds to such proceeds."
 

"Article 9 – Responsabilité des personnes morales

    1  Chaque Partie adopte les mesures appropriées qui pourraient être nécessaires pour infliger des sanctions et mesures pénales ou administratives aux personnes morales pour le compte desquelles une infraction visée aux articles 2 ou 3 a été commise par leurs organes, un membre de leurs organes ou d'autres représentants.

    2   La responsabilité des personnes morales au sens du paragraphe 1 de cet article n'exclut pas les poursuites contre des personnes physiques.

    3  Tout Etat peut, au moment de la signature ou du dépôt de son instrument de ratification, d'acceptation, d'approbation ou  d'adhésion, dans une déclaration adressée au Secrétaire Général du Conseil de l'Europe, préciser qu'il se réserve le droit de ne pas appliquer le paragraphe 1 du présent article, ou une partie quelconque de ce paragraphe, ou que celui-ci ne s'applique qu'aux infractions spécifiées dans une telle déclaration."

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

"Article 9 – Corporate liability

     1 Each Party shall adopt such appropriate measures as may be necessary to enable it to impose criminal or administrative sanctions or  measures on legal persons on whose behalf an offence referred to in Articles 2 or 3 has been committed by their organs or by members thereof or by another representative.

     2 Corporate liability under paragraph 1 of this article shall not exclude criminal proceedings against a natural person.

     3 Any State may, at the time of signature or when depositing its instrument of ratification, acceptance, approval or accession, by a declaration addressed to the Secretary General of the Council of Europe, declare that it reserves the right not to apply paragraph 1 of this article or any part thereof or that it applies only to offences specified in such declaration."

___________Convention sur la protection de l'environnement par le droit pénal,  (STE n° 172) -- Rapport explicatif, disponible à   http://conventions.coe.int/treaty/FR/Reports/Html/172.htm (visionné le 10 juillet 2004); aussi disponible en anglais/ also avauilable in English: Convention on the Protection of the Environment through Criminal Law (ETS No. 172) -- Explanatory Report; available at   http://conventions.coe.int/treaty/EN/Reports/Html/172.htm (accessed on 10 July 2004);

"Article 9 - Responsabilité des personnes morales

L'Article 9 concerne la responsabilité des personnes morales. Il est clair que la majeure partie des infractions contre l'environnement est commise dans le cadre des personnes morales. Or, la pratique révèle de graves difficultés à poursuivre pénalement les personnes physiques agissant dans le cadre de ces personnes morales. Par exemple, étant donné la taille des sociétés et la complexité des structures de leur organisation, il devient de plus en plus difficile d'identifier une personne physique que l'on peut tenir pour responsable (dans le sens du droit pénal) de l'infraction. De plus, si un agent de direction est condamné, la sanction peut facilement être "compensée" par la personne morale.

A l'échelon international, la tendance qui se dessine semble soutenir la reconnaissance générale de la responsabilité de la personne morale dans le droit pénal, même dans les pays qui n'ont adopté que récemment le principe selon lequel une société ne peut pas commettre d'infraction pénale. Par conséquent, les présentes dispositions de la Convention sont en harmonie avec ces tendances récentes, et notamment avec les recommandations des institutions internationales (voir les Recommandations de l'AIDP en 1994 - Portland/Rio de Janeiro) et la Recommandation N° R (88) 18 du Comité des Ministres du Conseil de l'Europe. Ces dispositions laissent cependant à la discrétion des Etats la possibilité d'imposer des "sanctions et des mesures pénales ou administratives aux personnes morales" en fonction de leurs traditions légales.

L'Article 9, paragraphe 1 porte sur la responsabilité des personnes morales. Ce type de responsabilité nécessite quelques explications en ce qui concerne ses trois conditions. La première condition suppose qu'une infraction pénale a été commise contre l'environnement, comme le spécifie l'Article 2 (intentionnellement) ou l'Article 3 (par négligence). La deuxième condition suppose que l'infraction a été commise "pour le compte" de la personne morale. La troisième condition, qui limite cette responsabilité, nécessite l'implication de "leurs organes, un membre de leurs organes ou d'autres représentants" dans l'infraction pénale, supposant que les personnes physiques auxquelles on fait référence, exercent, en droit ou en fait, une fonction qui peut engager la responsabilité de la personne morale. Des manquements à leur devoir de surveillance sont, à cet égard, suffisants.

L'Article 9, paragraphe 2, précise que la responsabilité des personnes morales n'exclut pas la responsabilité individuelle. Pour un cas concret, différentes sphères de responsabilités peuvent être déterminées en même temps, par exemple la responsabilité d'un organe, etc., peut être séparée de la responsabilité de la personne morale dans son ensemble. La responsabilité individuelle peut se combiner avec n'importe quelle autre catégorie de responsabilités.

L'Article 9, paragraphe 3 établit que chaque Partie "peut, au moment de la signature ou du dépôt de son instrument de ratification, d'acceptation, d'approbation ou d'adhésion, dans une déclaration adressée au Secrétaire Général du Conseil de l'Europe, préciser qu'elle se réserve le droit de ne pas appliquer le paragraphe 1 du présent Article ou une partie quelconque de ce paragraphe ou que celui-ci ne s'applique qu'aux infractions spécifiées dans une telle déclaration". Cette possibilité figure dans cet Article, parce que, en dépit des tendances internationales mentionnées en ce qui concerne la responsabilité des personnes morales dans le droit pénal, certains Etats membres continuent à renvoyer ces problèmes (ou une partie d'entre eux) au droit administratif ou au droit civil, et par conséquent ne peuvent appliquer ces principes dans leur intégralité."

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

"Article 9 – Corporate liability

     Article 9 deals with the liability of legal persons. It is a fact that a major part of environmental crimes is committed within the framework of legal persons,  while practice reveals serious difficulties in prosecuting natural persons acting on behalf of these legal persons. For example, in view of the largeness of corporations and the complexity of structures of the organisation, it becomes more and more difficult to identify a natural person who may be hold responsible (in a criminal law sense) for the offence. Furthermore, if an agent of management is sentenced, the sanction can easily be compensated by the legal person.

     The international trend at present seems to support the general recognition of corporate liability in criminal law, even in countries which only a few years ago formally adopted the principle according to which corporations cannot commit criminal offences. Therefore, the present provision of the Convention is in  harmony with these recent tendencies, e.g. the recommendations of international institutions (see 1994 AIDP Recommendations – Portland/Rio de Janeiro) and Recommendation No. R (88) 18 of the Committee of Ministers of the Council of Europe. The provision leaves, however, open to the States to impose "criminal or administrative sanctions or measures on legal persons" corresponding to their legal traditions.

     Article 9, paragraph 1 refers to corporate liability of legal persons. This type of liability necessitates clarification regarding its three conditions. The first condition is that an environmental criminal offence must have been committed, as specified in Article 2 (intentionally) or Article 3 (by negligence). The second condition is that the offence must have been committed "on behalf of" the legal person. The third condition, which serves to limit this liability, requires the involvement of "an organ, a member of its organs or other representatives" in the criminal offence, assuming that those physical persons referred to are legally or by fact in such position which may engage the liability of the legal person. Violations of the supervisorial duties are in this respect sufficient.

     Article 9, paragraph 2 clarifies that corporate liability does not exclude individual liability. In a concrete case, different spheres of liability may be established at the same time, for example the responsibility of an organ etc. separately from the liability of the legal person as a whole. Individual liability may be combined with any of these categories of liability.

     Article 9, paragraph 3 states that each Party "may, at the time of signature or when depositing its instrument of ratification, acceptance, approval or accession, by a declaration addressed to the Secretary General of the Council of Europe, declare that it reserves the right not to apply paragraph 1 of this Article or any part thereof or that it applies only to offences specified in such declaration". The reason of providing such a possibility is that irrespective of the mentioned international tendencies regarding corporate liability in criminal law, some member States still address these problems (or part of them) in administrative law or in civil law, therefore they cannot entirely apply these principles."

CONSTANT, Jean, "La responsabilité pénale des personnes morales et de leurs organes en droit belge", (1951) 22 Revue internationale de droit pénal 597-626; titre noté dans mes recherches mais article non consulté; aucune copie de ce numéro de périodique dans les bibliothèques de la région d'Ottawa; aussi publié séparément: Melun: Impr. administrative, 1953, 32 p.;
 

___________"La responsabilité pénale non individuelle" dans International Congress of Comparative Law (10th : 1978 : Budapest), and  Zoltán Péteri, Vanda Lamm, eds., General  reports to the 10th International Congress of Comparative Law = Rapports généraux au 10e Congrès international de droit comparé, Budapest : Akadémiai Kiadó, 1981, 1048 p., at pp. 937-952, ISBN:  9630523698; copy at Ottawa University, FTX General: K 555 .I48 1978; contribution importante sur le sujet; je tiens à souligner le rôle important que cet article a joué dans mes recherches;

[Table des matières]

INTRODUCTION...937

PAYS DE COMMON LAW...940

PAYS DE DROIT ROMANO-GERMANIQUE ET PAYS
EUROPÉENS DE DROIT SOCIALISTE...942

SANCTIONS...949

CONCLUSION...951

____________"La responsabilité pénale non individuelle", dans Congrès international de droit comparé (10e : 1978 : Budapest, Hongrie), Centre interuniversitaire de droit comparé, Rapports belges au X^eCongrès international de droit comparé, Budapest, 23-28 août 1978 / préf. Jean Limpens, Bruxelles : É. Bruylant, 1978, xi, 709 p., à la p. 9 (Collection; Centre interuniversitaire de droit comparé; tome 10), ISBN: 2802702076; je n'ai pas vérifié ce volume; aucune copie dans les bibliothèques de la région d'Ottawa comprises dans le catalogue AMICUS de Bibliothèque et Archives Canada (vérification du 27 septembre 2004);
 

CONWAY, Gerard, "The Criminal Character of a Company", (1999) Irish Student Law Review; available at  http://www.islr.ie/Reviews/1999/Review9923.html (accessed on 1 November 2003);
 

CONYERS, Hon. John, "Corporate and White-Collar Crime: A View by the Chairman of the House Subcommittee on Crime", (1979-80) 17 American Criminal Law Review 287-300; copy at Ottawa University, KF 9202 .A425  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada, Ottawa;

"[Abstract]
As Chairman of the Subcommittee on Crime, Congressman Conyers is in a unique position to comment on, and influence the course of legislation in, the burgeoning area of white-collar crime.  In the following article, Congressman Coyers reflects on the progress and importance of the movement to reverse the tide of white crime, with particular emphasis on corporate crime.  The author begins with an examination of the nature and scope of corporate crime, followed by a brief discussion of the shortcomings of the present enforcement efforts.  He then concludes with a discussion of the current legislative proposals submitted by the Subcommittee on Crime." (p. 287)

COOPER, D.E., "Collective Responsibility", (1968) 43 Philosophy 258-268; see review of this article by Downie, R.S., infra; copy at Ottawa University, B 1 .P55  Location, MRT Periodicals;
 

CORLETT, J. Angelo, 1958-,  "Corporate Responsibility and Punishment", (1988) 2 Public Affairs Quarterly 1-16; copy at Carleton University, Ottawa, SER H97.A1P74;
 

___________"French on Corporate Punishment: Some Problems", (March 1988) 7(3) Journal of Business Ethics 205-210; copy at Ottawa University, MRT Periodicals, HF 5387 .J68;
 

___________Responsibility and Punishment, Dordrecht/Boston: Kluwer Academic Publishers, 2001, ix, 168 p., see in particular Chapter 7, "The Problem of Collective Responsibility", at pp. 88-100, and Chapter 8, "Corporate Responsibility and Punishment", at pp. 101-113 (series; Library of Ethics and Applied Philosophy; volume 9), ISBN: 0792371674; copy at Ottawa University, MRT General: BJ 1451 .C67 2001; important contribution;

"CHAPTER 8
CORPORATE RESPONSIBILITY AND PUNISHMENT....101

[INTRODUCTION]...101

CORPORATE RESPONSIBILITY...102

- MODELS OF CORPORATE RESPONSIBILITY...102

ANALYZING CORPORATE RESPONSIBILITY...104

- CORPORATE INTENTIONALITY...104
- CORPORATE VOLUNTARINESS...106
- CORPORATE KNOWLEDGE...106
- CORPORATE GUILT AND FAULT...107

CORPORATE-COLLECTIVE PUNISHMENT...107

- THE NATURE OF CORPORATE-COLLECTIVE PUNISHMENT...108
- CORPORATE-COLLECTIVE PROPORTIONAL PUNISHMENT...108
- METHODS OF CORPORATE-COLLECTIVE PUNISHMENT...109

CORNS, Chris, "The liability of corporations for homicide in Victoria", (1991) 15(5) Criminal Law Journal 351-366; copy at Ottawa University, KTA 0 .C735  Location: FTX Periodicals;

"Summary

Although a number of homicide prosecutions have been successfully conducted in overseas jurisdictions, no equivalent cases have occurred in Australia.  There are, however, sound policy reasons to justify the initiation of such prosecutions in appropriate cases.  This article explores some of the conceptual and procedural difficulties likely to arise in accommodating corporate liability for homicide within current Victorian criminal law." (p. 351)

"Corporate crime punishment", Web Site, with links, available at http://www.stungunresources.com/corporate_crime_punishment.html (accessed on 16 July 2004);
 

Corporate crime reporter; [Washington, D.C. : American Communications and Pub. Co., 1987-], ISSN:  0897-4101; title noted in my research; my verification of the AMICUS catalogue of Library and Archives Canada indicates that the only location for gthat periodical is York University, Law Library, with v.1, no.1 (April 13, 1987)-v. 5, no. 48 (Dec. 16, 1991). PER C815 V.3 1989  LAW-GRNDFL (verification of 11 July 2004);
 

"Corporate Law: Corporate Criminal Liability Developments in Europe and beyond",  (2001) 39(7) Law Society Journal (New South Wales) 62; title noted in my research but article not consulted;
 

"Corporate Misconduct", (Summer and Autumn 1997) 60(3-4) Law and Contemporary Problems; copy at the Library of the Supreme Court of Canada, Ottawa; available at  http://www.law.duke.edu/journals/lcp/ (accessed on 23 June 2004);
 

Corpus Juris, 1997, articles 12 to14; available at http://www.euroscep.dircon.co.uk/corpus1.htm#Top(accessed on 21 February 2004); note: "European Union code for conducting criminal procedures known as Corpus Juris was originally requested by the European Parliament and compiled by a group of "academic experts" under the aegis of the European Commission";

Article 12 -- Individual criminal liability

1 -- Any person may be held responsible for the offences defined above (Articles 1 to 8) as a principal offender, inciter or accomplice;

a) as principal offender, if he commits the incriminating facts or participates, as co-offender, in committing the offence;
b) as an inciter if he, by means of a bribe, promise, threat, order, abuse of authority or power provokes the offence or gives instructions for it to be committed;
c) as an accomplice if he knowingly, by providing assistance, facilitates the preparation or the commission of the offence.

Article 13 -- Criminal liability of the head of a business

1 -- If one of the offences defined above (Articles 1 to 8) has been committed for the benefit of a business by a person subject to their authority, the head of the business is also criminally liable, and any other person with powers of decision       or control within the business, if he has knowingly given orders, allowed the offence to be committed or omitted to exercise the necessary supervision.

2 -- The delegation of powers and criminal liability is only valid as a defence if it is partial, precise and specific, if it corresponds to a structure necessary for the running of the business and if the delegatees are really in a positon to be able to fulfil the functions delegated to them. Such delegation does not exclude the general responsibilities of monitoring, supervision and selection of personnel, and does not include matters proper to the head of the business such as general organisation of work within the business.
 

Article 14 -- Criminal liability of organisations

1 -- The offences defined in Articles 1 to 8 above may be committed by corporations, and also by other organisations which are recognised by law as competent to hold property in their own name, provided the offence is committed for the benefit of the organisaton by some organ or representative of the organisation, or any person acting in its name and having power, whether by law or merely in fact, to make decisions.

2 -- Where it arises, the criminal liability of an organisation does not exclude that of any natural person as author, inciter or accomplice to the same offence."

CORREIA, Eduardo, et Jorge de Figueiredo Dias, "Portugal: Rapport national", (1983) 54(1-2) Revue internationale de droit pénal / International Review of Penal Law 511-523, voir les pp. 518-519 (Actes du Colloque International, "Conception et principes du droit pénal économique et des affaires y compris la protection du consommateur", tenu à Freiburg-en-Brisgau, République Fédérale d'Allemagne, 20-23 septembre 1982, en préparation pour le 13^e Congrès international de droit pénal de l'Association internationale de droit pénal (AIDP) au Caire en 1984 /  Report of the Proceedings of the International Colloquium, "Concept and Principles of Economic and Business Criminal Law",  held in Freiburg i. Br., Federal Republic of Germany, September 20-23, 1983, in preparation for the 13th International Congress of Penal Law of the International Association of Penal Law (IAPL) in Cairo, 1984);
 

CORSTENS, Geert and Jean Pradel, European Criminal Law, The Hague/London/New York: Kluwer Law International, xii, 650p., see "Liability of corporate entities [The Second protocol to the Convention on the protection of the European Communities' financial interests]", at pp. 549-551, ISBN: 9041113622; copy at the Library of Parliament KJC 7975 C67 2002e; also published in French/aussi publié en français, voir, Pradel, Jean et Geert Corstens, infra;
 

COUNCIL OF EUROPE, Committee of Ministers, Liability of Enterprises for Offences -- Recommendation No. R (88) 18 adopted by the Committee of Ministers of the Council of Europe on 20 October 1988 and explanatory memorandum, Strasbourg: Council of Europe, 1990, 16 p., (series; Council of Europe; Legal Affairs), ISBN: 92-87117500; copy at the Library of the Supreme Court of Canada, Ottawa, call number KJC 2467 A5 C68 1990; also published in French / aussi publié en français: Conseil de l'Europe, Comité des ministres, Comité restreint d'experts sur la responsabilité pénale des personnes morales, Responsabilité des entreprises pour infractions : recommandation no R (88) 18 adoptée par le Comité des ministres du Conseil de l'Europe le 20 octobre 1988 et exposé des motifs / [élaborée par le Comité restreint d'experts sur la responsabilité pénale des personnes morales],Strasbourg : Conseil de l'Europe, 1990, 16 p., (Collection; Conseil de l'Europe; Affaires juridques), ISBN:  9287117497; copie à l'Université de Montréal, DNHF R332 no R88-18 1990;

"1.  Recommendation No. R (88), adopted by the Committee of Ministers of the Council of Europe on 20 October 1988, was prepared by the Select Committee of Experts on the Criminal Liability of Corporate Bodies (PC-R-CL), set up under the authority of the European Committee on Crime Problems (CDPC).  The text of the Recommendation is reproduced hereafter.

2.   This publication also contains the explanatory memorandum on Recommendation No. R (88) 18 as prepared by the select committee and adopted by the CDPC." (p. 3)

___________COMMITTEE OF MINISTERS, "RECOMMENDATION No. R (88) 18 OF THE COMMITTEE OF MINISTERS TO MEMBER STATES CONCERNING LIABILITY OF ENTERPRISES HAVING LEGAL PERSONALITY FOR OFFENCES COMMITED IN THE EXERCISE OF THEIR ACTIVITIES (Adopted by the Committee of Ministers on 20 October 1988 at the 420th meeting of the Ministers' Deputies)", available at http://cm.coe.int/ta/rec/1988/88r18.htm (accessed on 1 May 2004); also published in French / aussi publié en français: Conseil de l'Europe, COMITÉ DES MINISTRES,  "RECOMMANDATION N° R (88) 18  DU COMITÉ DES MINISTRES AUX ÉTATS MEMBRES CONCERNANT LA RESPONSABILITÉ DES ENTREPRISES PERSONNES MORALES  POUR LES INFRACTIONS COMMISES DANS L'EXERCICE DE LEURS ACTIVITÉS (adoptée par le Comité des Ministres le 20 octobre 1988,  lors de la 420e réunion des Délégués des Ministres)", disponible à  http://cm.coe.int/ta/rec/1988/f88r18.htm, (visionné le 1 mai 2004);
 

COURAKIS, Nestor-Constantin, "Grèce: Rapport national (adjoint)", (1983) 54(1-2) Revue internationale de droit pénal / International Review of Penal Law 331-370, voir la p. 362 (Actes du Colloque International, "Conception et principes du droit pénal économique et des affaires y compris la protection du consommateur", tenu à Freiburg-en-Brisgau, République Fédérale d'Allemagne, 20-23 septembre 1982, en préparation pour le 13^e Congrès international de droit pénal de l'Association internationale de droit pénal (AIDP) au Caire en 1984 /  Report of the Proceedings of the International Colloquium, "Concept and Principles of Economic and Business Criminal Law",  held in Freiburg i. Br., Federal Republic of Germany, September 20-23, 1983, in preparation for the 13th International Congress of Penal Law of the International Association of Penal Law (IAPL) in Cairo, 1984);
 

COUTURIER, Gérard, "Répartition des responsabilités entre personnes morales et personnes physiques", (1993) Revue des sociétés 307-314; copie à l'Université d'Ottawa, K 650 .R49  Location: FTX Periodicals; copie à la Bibliothèque de la Cour suprême du Canada; note: Colloque du 7 avril 1993 organisé par l'Université de Paris 1 (Panthéon-Sorbonne) et le Centre de recherches fondamentales de droit privé;
 

COUVRAT, P., "La responsabilité pénale des personnes morales: un principe nouveau", (6 octobre 1993) Les Petites affiches, numéro 120, pp. 13-15; note: Actes du Colloque de Limoges du 11 mai 1993. La responsabilité pénale des personnes morales, organisé par l'université de Limoges, faculté de droit;  titre noté dans mes recherches mais numéro non consulté; aucune copie de numéro dans les bibliothèques de la région d'Ottawa comprises dans le catalogue AMICUS dela Bibliothèque et Archives Canada (vérification du 24 juillet 2004);
 

COX, James D., special editor, Corporate misconduct, Durham, N.C. : School of Law, Duke University, 1997, 243 p. (series; Law and contemporary problems; ISSN: 0023-9186; volume 60, number 3 and 4); note: Law and Contemporary Problems is a legal periodical;
 

COWAN, Andrew, Notes, "Scarlet Letters for Corporations?  Punishment by Publicity Under the New Sentencing Guidelines", (1991-2) 65 Southern California Law Review 2387-2420;

[CONTENTS]

I. INTRODUCTION...2387

II. THE GOALS OF CORPORATE PUNISHMENT...2389

A. DETERRENCE...2390

1. The Deterrability of Corporations...2390
2. Deterrence Through Fine...    2391
3. Prosecution of Corporate Insiders...2393

B. REHABILITATION...2394

III. ADVERSE PUBLICITY AS A SANCTION...2395

A. ADVERSE PUBLICITY IN NONCRIMINAL CONTEXTS...2396
B. ADVERSE PUBLICITY AS A DETERRENT TO CORPORATE CRIME...2398

1. Impact on Corporate Prestige...2398
2. The "Spotlight Syndrome": Nonfinancial Collateral Effects...2402
3. Impact on Corporate Profits...2403

IV. OBSTACLES TO THE PUBLICITY SANCTION...2404

A. SASTISFYING DETERRENCE...2405
B. COUNTERPUBLICITY AND LACK OF AUDIENCE INTEREST...2407
C. CONSTITUTIONALITY...2408

1. First Amendment...2408
2. Eight Amendment...2409

D. ETHICS-BASED ETHICS...2411

V. THE SENTENCING GUIDELINES FOR ADVERSE PUBLICITY...2412

A. ORGANIZATIONAL PROBATION UNDER THE SENTENCING
     GUIDELINES...2412
B. ADVERSE PUBLICITY RELATIVE TO PROBATION...2413
C. ADVERSE PUBLICITY AND JUDICIAL DISCRETION...2414

1. When the Publicity Sanction is Appropriate...2414
2. "Format" and "Media" of the Publicity Sanction...2415
3. Duration of the Publicity Sanction...2417
4. Content of the Publicity Sanction...2417

VI. PROPOSED MODIFICATIONS...2418

VII. CONCLUSION...2419

COWDERY, Nicholas, "The Modernisation of Crime.  Plenary 10: Corporate Homicide: Australian Developments -- Especially in the Workplace", paper submitted by Mr. Cowdery at the 19th International Conference of the International Society for the Reform of Criminal Law held at Edinburgh, Scotland from June 26 - June 30, 2005, 6 p., available at  http://www.isrcl.org/ (accessed on 7 October 2005);
 

CRABTREE, Maryjane, "Corporate culpability for industrial manslaughter: finding the 'soul' of the Australian corporation", (1994) 22(5) Australian Business Law Review 376-381; copy at Ottawa University, KTA 0 .A96  Location, FTX Periodicals;

[Contents]

[Introduction]...376

What Is the Guilty Mind and When is it Required?...377

Strict and Vicarious Liability...377

Direct Liability...377

The Australian Position: Direct Liability...378

Application of Direct Liability: Aggregation versus Alter Ego Theory...378

The Likely Outcome of a Corporate Manslaughter Trial in Australia...379

CRADY, Ann, "Corporate Criminal Liability", (1995-96) 33 American Criminal Law Review 1053-1063; copy at the Library of the Supreme Court of Canada, Ottawa;

[Contents]

"I. INTRODUCTION...1053

II. CORPORATE CRIMINAL LIABILITY FOR AGENT ACTION...1053

A. Scope of Employment...1054
B. For the Benefit of the Corporation...1055
C. Signifance of the Agent's Employment Status...1057

1. Common Law Standard...1057
2. Model Penal Code Standard...1058

III. CORPORATE DEFENSES...1059

A. Compliance Programs...1059
B. Infeasibility...1060

IV. CORPORATE MENS REA...1060

A. Implications of management response to suspect activity by agents...1061
B. The Collective Knowledge Doctrine...1062" (p. 1053)

CRANE, Mark, "Commentary: The Due Process Considerations in the Imposition of Corporate Liability", (1980-81) 1 Northern Illinois Law Review 39-48; copy at the Library of the Supreme Court of Canada, Ottawa;
 

CRESSEY, Donald R., "The Poverty of Theory in Corporate Crime Research", in William S. Laufer and Freda Adler, eds., Advances in Criminological Theory, volume 1, New Brunswick (USA) : Transaction Publishers, 1989, at pp. 31-55, ISBN: 0887381820; copy at Carleton University, Ottawa, HV6018.A39; copy at Ottawa University, MRT General, HV6018.A39 1989; with the same title in Neal Shover and John Paul Wright, eds., Crimes of privilege : readings in white-collar crime, New York : Oxford University Press, 2001, xiii, 433 p., at pp. 175-194 (series; Readings in crime and punishment), ISBN: 0195136217, 0195136211 and 0195136209; copy at Ottawa University, MRT General: HV 6768 .C75 2001;
 

CROALL, Hazel, Book Review, "CORPORATE CRIME, LAW AND SOCIAL CONTROL., BY SALLY S. SIMPSON (Cambridge: Cambridge University Press, 2002, xi, 180 pp. ...)", (Summer 2003) 43(3) The British Journal of Criminology 643-645; see SIMPSON, Sally S. (Sally Sue), Corporate crime, law, and social control, infra, for Table of Contents;
 

CRUMP, Susan W., "The Attorney-Client Privilege and Other Ethical Issues in the Corporate Context Where There Is Widespread Fraud or Criminal Conduct", (2003) 45(1) South Texas Law Review 171-191; copy at Ottawa University, KFT 1269 .S687  Location: FTX Periodicals;

"[Contents]

I. INTRODUCTION...172

II. THE ATTORNEY-CLIENT PRIVILEGE...173

A. The Privilege in General...173

1. The privilege and its Purpose...173

B. The Privilege in the Corporate Context...174

1. Corporations as Clients...174
2. Waiver of the Privilege in the Corporate Setting...174

a. Problems Facing In-House Counsel in Preserving
    the Privilege...175
b. One Opportunity to Waive the Privilege -- Internal
    Investigations...175
c. Another Opportunity For Waiver: Stockholder
    Derivative Suits and Garner v. Wolfinbarger...176
d. And Yet Another -- Corporate Bankruptcy...176

C. The Crime-Fraud Exception...177

1. In General...177
2. Interpreting the Crime-Fraud Exception...178
3. A Typical Case...179

D. Pressure to Waive the Privilege Once Criminal Investigation
    Begin...181

1. The Department of Justice Cooperation Requirement
    Factor...182
2. The Holder Memorandum...182
3. Consider Enron: Between a Rock and a Hard Place...183

III. OTHER WAYS IN WHICH THE ATTORNEY-CLIENT PRIVILEGE
      MAY BE INAPPLICABLE IN THE CORPORATE CONTEXT -- THE
      FIFTH AMENDMENT AND THE FISHER PROBLEM...184

IV. ETHICAL COMPLICATIONS: DISCLOSURE AND WITHDRAWAL...184

A. Model Rule 1.13...185
B. Model Rule Rule 1.6...186
C. The Cheek Report...186
D. Sarbanes-Oxley Act...187

1. The General Nature of the Act...187
2. Proposal: A Lawyer's Duty to Report Under
    Sarbanes-Oxley...187
3. Proposal: 'Noisy-Withdrawal'...188

E. A Comparision of the Ethical Requirements of the Model Rules and the
    SEC's Proposal Under Sarnaes-Oxley: Some Concerns...189

V. COMMENTS AND RECOMMENDATIONS...190" (pp. 171-172)

CRUVER, Donald R., 1941-, Complying with the Foreign Corrupt Practices Act : a guide for U.S. firms doing business in the international marketplace, Chicago: Section of Business Law, American Bar Association, c1994,  ix, 106 p., ISBN: 1570730156; title noted in my research but document not consulted; no copy of this book in the Ottawa area librairies covered by the catalogue of the National Library of Canada, AMICUS (verification of 15 June 2004);
 

CULLEN, Francis T., William J. Maakestad, and Gray Cavender, Corporate Crime under Attack: The Ford Pinto Case and Beyond, Cincinnati (Ohio): Anderson Publishing, 1987, [xiii], 398 p., (series; Criminal Justice Studies), ISBN: 0870841777; copy home;
 

"Table of Contents

Preface...ix

Part I Corporate Crime under Attack

Chapter 1  The Movement Against White-Collar Crime...1

-  The Social Movement Against White-Collar Crime
-  The Social Movement Framework Applied
-  Genesis of the Movement
-  White-Collar Crime as a Revitalization Movement
-  The Symbolic Movement Against White-Collar Crime
-  Conclusion
-  Notes

Chapter 2  The Corporate Crime Problem...37

-  Corporate Crime as White-Collar Crime: Definitional Issues
-  Images of the Crime Problem
-  The Prevalence of Corporate Crime
-  The Economic Costs of Corporate Crime
-  The Social Costs of Corporate Crime
-  The Physical Costs of Corporate Crime
-  Conclusion
-  Notes

Chapter 3  Corporate Criminal Liability: An Historical Overview...101

-  Law and the Social Order
-  The Development of the Corporation
-  Corporations in the United States
-  Conclusion
-  Notes

Part II
The Ford Pinto Case and Beyond

Chapter 4 Assessing Blame...145

-  A Sign of the Times
-  The Pinto Crusade
-  Blaming Ford
-  Conclusion
-  Notes

Chapter 5  Getting to Trial:  The Obstacle Course Begins...189

-  Fears at Ford
-  Building a Local Team
-  Automakers and Liability for Defective Products:  Edging Toward Culpability?
-  The Indictment of an American Corporation:  Facing the Obstacles
-  Conceptual Obstacles
-  Constitutional Obstacles
-  Corporate Homicide and the Distributive and Reductive Functions of Law
-  Conclusion: Closing the Debate
-  Notes

Chapter 6  Trying Ford...245

-  The Road to Winamac: A Change of Venue
-  The Art and Science of Selecting a Jury
-  Preparing for Trial: Documenting Ford's Culapbility
-  Prosecuting Ford: Profits Over Lives
-  Defending Ford:  The Legal Machine Responds
-  The Verdict
-  Epilogue
-  Notes

Chapter 7  Beyond the Ford Pinto Trial...309

-  Corporate Crime Under Attack
-  Corporate Criminal Sanctions: The Obstacles
-  Corporate Criminal Sanctions:  The Prospects
-  Corporate Deterrence:  Much Ado About Something?
-  Corporate Criminals or Criminal Corporations?
-  Conclusion
-  Notes

Index...371" (pp. v-vii)

CULLEN, Francis T., William J. Maakestad, Gray Cavender, "THE FORD PINTO CASE AND BEYOND: Corporate Crime, Moral Boundaries, and the Criminal Sanction",  in Ellen Hochstedler, ed., Corporations as criminals, Beverly Hills: Sage Publications, 168 p., at pp. 107-130 (series; Perspectives in criminal justice; 6),  ISBN: 0803921586 and 0803921594 (pbk.); note: "Published in cooperation with the Academy of Criminal Justice Sciences"; copy at the Library of Parliament, HD2785 C67; copy at Ottawa University, MRT General: KF 9236.5 .A75 C67 1984;

[CONTENTS]

[INTRODUCTION]...107

ASSESSING BLAME...111

GETTING TO TRIAL...116

TRYING FORD...121

CONCLUSION: BEYOND THE FORD PINTO CASE...125

NOTES...127

REFERENCES...128
 

[CONTENTS]

I. INTRODUCTION...785

II. SANCTIONS FOR CRIMINAL CORPORATIONS...789

III.  APPLYING PROBATION AS A SANCTION TO
       CRIMINAL CORPORATIONS...792

IV.  THE SENTENCING REFORM ACT OF 1984...797

A. Legislative History of the Sentencing Act...797
B. Presentence Report...798
C. Purposes of Sentencing...799
D. General Provisions of the Sentencing Act...799
E. Sentencing Commission and Guidelines System...802

V. GUIDELINES FOR APPLYING PROBATION TO CRIMINAL
     CORPORATIONS...804

A. Reasonable Relation...804
B. Work Within the Corporation...805
C. 'Tailored' Conditions...806

VI.  CONCLUSION...807

CUTLER, Hugh Mercer, Shame, Responsibility and the Corporation, New York: Haven, 1986; 195 p., ISBN: 093058631X; title noted in my research but book not consulted; no copy of this publication in the Ottawa area Canadian libraries covered in the AMICUS catalogue of Library and Archives Canada, Ottawa (verification of 6 July 2004);
 

DAILLIER, Patrick, "Les organisations internationales", dans, sous la direction de Hervé Ascensio, Emmanuel Decaux et Alain Pellet, Droit international pénal /
Centre de droit international de l'Université de Paris X - Nanterre (CEDIN Paris X), Paris : Pedone, 2000, xvi, 1053 p., chapitre 11, aux pp. 139-150, ISBN:
2233003721; copie à la Bibliothèque de l'Université d'Ottawa, FTX General, K 5055 .D76 2000;
 

DALLAS, Lynne L., "A preliminary inquiry into the responsibility of corporations and their officers and directors for corporate climate: the psychology of Enron's demise", (Fall 2003) 35(1) Rutgers Law Journal 1-67; copy at Ottawa University, KFN 1869 .R87  Location: FTX Periodicals;

[CONTENTS]

I  INTRODUCTION...1

II BRIEF LEGAL BACKGROUND...4

III  SOCIAL CONTEXT IMPORTANT TO INDIVIDUAL ETHICAL/UNETHICAL
      DECISION-MAKING...8

IV  COMPONENTS OF INDIVIDUAL ETHICAL/UNETHICAL DECISION-MAKING,
      MORAL DEVELOPMENT AND THE IMPORTANCE OF SOCIAL ENVIRONMENT...10

A. Pre-Conventional Level...14
B. Conventional Level...15
C. Post-Conventional Level...16

V ASCERTAINING CORPORATE CLIMATES AND THEIR EFFECT ON EMPLOYEE
    ETHICAL/UNETHICAL DECISION-MAKING...22

A. Methods for Ascertaining Ethical Climates...23
B. Victor and Cullen's Ethical Climate Questionnaire...25
C. The Effects of Climates on Ethical/Unethical Decision-Making...28

VI  FACTORS RELEVANT TO ETHICAL CORPORATE CLIMATES...32

A. Codes of Ethics...32
B. Formal Employee Reporting Mechanism...33
C. Reward System...34
D. Leadership...40
E. Other Factors...43

VII ENRON'S CLIMATE...45

A. Enron's Climate...45
B. An Analysis of Enron's Climate...52

1. Unethical Climate...52
2. An Arrogant Climate...54

VIII FINAL ANALYSIS...55

A. Recommendations...55
B. NYSE Proposed Rules...58
C. U.S. Sentencing Guidelines...59
D. Disclosure and Fiduciary Duty Claims...62

IX CONCLUSION...63

DALMASSO, Thierry, Responsabilité pénale des personnes morales: évaluation des risques et stratégie de défense, Paris: Éd. EFE (Édition formaltion entreprise), 1996, xiii, 229 p. (Collection; Collection référence première), ISBN: 2908413264 (EFE) et 2908413264 (br.); titre noté dans mes recherches mais livre non consulté; aucune copie de cette publication dans les bibliothèques canadiennes comprises dans le catalogue AMICUS de Bibliothèque et Archives Canada (vérification du 15 juillet 2004);
 

DAN-COHEN, Meir, Rights, Persons and Organizations: A Legal Theory for Bureaucratic Society, Berkeley/London: University of California Press, 1986, xi, 271 p., ISBN:  0520047117; copy at the Library of the Supreme Court of Canada, KF1355 D36;

"Contents

Acknowledgments...xi
Introduction: On Legal Theory...1

PART I.  THE DISTINCTIVENESS OF ORGANIZATIONS

  I. Changing Conceptions of Irganization...13

A Failure in Legal Ontology...13

The Changing Image of the Corporation...16

From Corporations to Organizations...21

  II.  What Is an Organization?...26

Personification, Aggregation, and the 'What Is an Organization?'
    Question...26

Organization Theory and the Distinctiveness of Organizations...30

Conclusion...38

  III. The Story of Personless Corporation...41

Prologue: In Search of a Metaphor...41

The Story of Personless Corporation...46

The Moral of the Story...49

PART II.  ORGANIZATIONS AND RIGHTS

  IV. A Theory of Organizations' Rights...55

The Normative Background...55

On Having Rights...57

Organizations' Rights Within the Autonomy Paradigm...60

Organizations' Rights Within the Unity Paradigm...78

From Entities to Interactions...82

  V. The Analysis of Organizations' Legal Rights...85

Structure and Application of Compound Legal Rights...85

Organizational Freedom of Speech: The Anatomy of a Derivative Right...102

The Legal Use of Ockham's Razor...113

Conclusion: The Partial Disengagement of Autonomy and Utility...117

PART III: ORGANIZATIONS AND THE THEORY OF ADJUDICATION

  VI. The Expanding Reach of Judicial Decisions...123

Two Models of Adjudication...123

The Relationship Between the Models...126

Organizations and the Effects of Judicial Decisions...129

Conclusion...135

  VII.  The Form of Organizational Adjudication...136

Introduction...136

Past Orientedness...139

Parties Orientedness...145

The Method of Precedent...150

Judicial Passivity...154

Conclusion...156

PART IV.  LAW, ORGANIZATIONS, AND THE STATE

  VIII. Individual Rights and the Political Structure of Society...163

Introduction...163

The Organizational Society Model: Beyond the Minimal State...166

The Private Governments Model and the Protection of Individual Rights...173

The Neo-Feudalism Model and the Autonomy of Organizations...176

The Corporate State Model and the Countermajoritarian Problem...179

Conclusion...184

  IX. The Organizational Conception of the State...185

The Organizational State Model...185

Normative Implications...187

Activism or Restraint in Judicial Review...189

Conclusion: Organizations, Position-Holders, Communities, and Oversize Bees...199

Notes...211

Index...261" (pp. vii-ix)

DANIELS, Jason and Ian Smith, "Manslaughter and Corporate Immunity",  (5 May 2000) 150 New Law Journal 656-657; issue 6934; copy at Ottawa University, copy at Ottawa University, KD 322 .N49  Location: FTX Periodicals;
 

DANNECKER Gerhard, "La responsabilité pénale dans l'entreprise. Vers un espace judiciaire européen unifié?  Les propositions 'Espace judiciaire européen' confrontées à la situation en Allemagne", (avril-juin1997) Revue de science criminelle et de droit pénal comparé 275-287; copie à l'Université d'Ottawa, KJJ 0 .R489  Location: FTX Periodicals; aussi publié dans: La responsabilité pénale dans l'entreprise: vers un espace judiciaire européen unifié?, sous la direction de Mireille Delmas-Marty, Paris: Dalloz, 1997, ISBN: 2247027458 (même pagination que dans la revue); note partie des travaux de la Journée d'études du 13 décembre 1996 "consacrés au thème de la responsabilité pénale dans l'entreprise (art. 10 à 14 du Corpus)" (p. 253);

[TABLE DES MATIÈRES]

[Introduction]...275

I. -- LA RESPONSABILITÉ PERSONNELLE...276

1. Différenciation entre auteur (principal) et participant...276

a) Comparaison entre auteur (principal) et participant...276
b) Prise de position relative à la réglementation proposée...276

2. Différenciation entre auteur, instigateur et complice...277

a) Comparaison du principe proposé avec la situation légale
    nationale...277
b) Prise de position relative à la réglementation proposée...278

II. -- LA RESPONSABILITÉ PÉNALE DU FAIT D'AUTRUI...278

1. L'introduction d'une réglementation spéciale de la responsabilité du
    chef d'entreprise et du "décideur"...278

a) Comparaison du principe proposé avec la situation légale
     nationale...278

aa) Chef d'entreprise et décideur comme auteurs indirects...279
bb) La responsabilité du chef d'entreprise et du décideur face
      à l'omission...280

b) Prise de position relative à la réglementation proposée...280

2. Délimitation de la responsabilité du chef d'entreprise et du décideur...281

a) Comparaison du principe proposé avec la situation légale
     nationale...281
b) Prise de position relative à la réglementation proposée...281

III. -- LA RESPONSABILITÉ DES GROUPEMENTS COLLECTIFS...281

1. Introduction de peines criminelles contre les groupements collectifs...281

a) Comparaison du principe proposé avec la situation légale
     nationale...281
b) Prise de position relative à la réglementation proposée...284

IV. ELÉMENT MORAL

1. Comparaison de la proposition avec la situation légale nationale...286
2. Prise de position relative à la réglementation proposée...286

V. -- ÉVALUATION SOMMAIRE...287

DANTI-JUAN, Michel, "La responsabilité pénale des sociétés", (mars 2002) Revue pénitentiaire et de droit pénal 91-100; copie à l'Université d'Ottawa, KJJ 0 .R487  Location: FTX Periodicals;

 
[TABLE DES MATIÈRES]

[INTRODUCTION]...91

I - L'ASSUJETTISSEMENT DES SOCIÉTÉS À LA RESPONSABILITÉ
     PÉNALE...93

A- UN ASSUJETTISSEMENT ÉTENDU À TOUTES LES
      SOCIÉTÉS...93
B- UN ASSUJETTISSEMENT LIMITÉ À CERTAINES
     INFRACTIONS...95

II- LE FONCTIONNEMENT DE LA RESPONSABILITÉ PÉNALE DES
     SOCIÉTÉS...97

A- ARTICULATION DE LA RESPONSABILITÉ PÉNALE DES
     SOCIÉTÉS...97
B- MISE EN OEUVRE DE LA RESPONSABILITÉ PÉNALE DES
     SOCIÉTÉS...99

DARLING, Sterling P.A., "Mitigating the impressionability of the incorporeal mind: reassessing unanimity following the obstruction of justice case of United States v. Arthur Andersen, L.L.P.", (2003) 40(4) American Criminal Law Review 1625-1654; copy at Ottawa University, KF 9202 .A425  Location: FTX Periodicals;

[Contents]

INTRODUCTION...1625

"I. THE RISE AND RUIN OF ARTHUR ANDERSEN...1628

A. Athur Andersen, 1913-2002...1628
B. The Corporate Sin of Corrupt Persuasion...1628
C. The Trials of Trying an Entity...1630
D. The Origins and Implications of a Mooted Question...1632

II. OBSTRUCTION OF JUSTICE AND THE COMPARTMENTALIZATION
     OF WITNESS TAMPERING...1634

A. The Initial Codification of Obstruction and 18 U.S.C. 1503...1635
B. The Lessening of Mens Rea?  Witness Tampering and Destruction
     of Documents as Distinct Forms of Obstruction...1637

1. Congress's First Partition: Witness Tampering...1637
2. The Second partition: Destruction of Documents...1641

III. THE EVOLUTION OF CORPORATE INTENT DOCTRINE...1642

A. The Theoretical Death of the Benevolent Corporation...1644
B. The Corporation as a Collection of Agents...1645

IV.  JUROR UNANIMITY...1648

A. The Extent and Meaning of Unanimity...1648
B. The Necessity of Maintaining Blameworthiness...1650

V.  THE INTERSECTION OF AGGREGATE INTENT AND JUROR
      UNANIMITY IN THE CONTEXT OF WITNESS TAMPERING
      OBSTRUCTION OF JUSTICE...1652

VI. CONCLUSION...1654

D'AUTRICOURT, J.Y., "L'orientation moderne des notions d'auteur de l'infraction et de participation en Droit International Pénal", (1957) 27 Revue internationale de droit pénal 86-116, voir "La responsabilité pénale des personnes morales", aux pp. 88-91; copie à l'Université d'Ottawa, copie à l'Université d'Ottawa, K 5012 .R47  Location: FTX Periodicals;
 

DAUVERGNE, B. et J.-B. Herzog, "Problèmes de procédure concernant la responsabilité pénale des personnes morales", (1962) Revue de science criminelle et de droit pénal comparé 798-800; copie à l'Université d'Ottawa, KJJ 0 .R489  Location: FTX Periodicals;
 

DAVIDS, Leo, "Penology and Corporate Crime", (1967) 58 The Journal of Criminal Law, Criminology and Police Science 524-531; copy at the Supreme Court of Canada; copy at Ottawa University, HV 6001 .J633  Location: MRT Periodicals;

    "[Abstract]  The author, who recieved his M.A. at the City College of New York in 1961, is Lecturer in Sociology at Hunter College.  He has taught Criminology and Juvenile Delinquency at various campuses of The City University of New York, and has also published in the area of Family Problems.  He is currently preparing his doctoral dissertation at New York University.

    Mr. David's article considers crime by major corporations in the light of the penal sanctions now available to control it.  Statistical data and case-history information are joined with sociological analyses to support the thesis that present law is inadequate to cope with problems of commercial crime.  Suggestions for a realignment of the pertinent legislation with current realities in this field are presented." (p. 524)

DAVIDSSON, Pall A., Note, "Legal enforcement of corporate social responsibility within the EU", (2002) 8 Columbia Journal of European Law 529-556; title noted in my research but article not consulted; no copy of this periodical in the Ottawa area libraries covered by the AMICUS catalogue of Library and Archives Canada (verification of 27 July 2004);
 

DAVIS, Michael L., "The Impact of Rules Allocating Legal Responsibilities between Principals and Agents", (July 1996) 17 Managerial and Decision Economics 413-420; copy at Ottawa University, HD 28 .M13  Location: MRT Periodicals;
 

DEAKIN, Simon, "Economic Effects of Criminal and Civil Sanctions in the Context of Company -- Law Research Note for the DTI Company Law Review", ESRC Centre for Business Research, University of Cambridge, July 2000, 10 p.; available at  http://www.dti.gov.uk/cld/deakin_z.pdf (accessed on 16 June 2004);
 

DEDECKER, Francis, Les personnes morales responsables de leurs actes en droit belge et les difficultés de l'imputation, mémoire de DEA: Droit pénal et sciences pénales, Université de Paris II (session de 2000), 96 feuilles; titre noté dans mes recherches mais mémoire non consulté; aucune copie dans les bibliothèques canadiennes comprises dans le catalogue AMICUS de Bibliothèque et Archives Canada;
 

DEISER, George F., "The Juristic Person -- I [II, and III]", (1908-09) 57 University of Pennsylvania Law Review 131-142, 216-235 and 300-314; copy at the Library of the Supreme Court of Canada;
 

DEJEMEPPE, B., "Responsabilité pénale des personnes morales", (1983) (1-2) Annales de droit de Louvain 69-72; copie à la Bibliothèque de la Cour suprême du Canada, Ottawa;
 

DELATTE, Pierre, "La question de la responsabilité pénale des personnes morales en droit belge", (1980) 60 Revue de droit pénal et de criminologie 191-223; note: "Rapport national présenté à la Conférence internationale sur la responsabilité pénale des personnes morales en droit communautaire à Messine (Italie) du 30 avril au 5 mai 1979 par le Centre international de recherches et d'études sociologiques, pénales et pénitentiaires, sous les auspices de la Commission des Communautés européennes" (p. 191, note); copie à l'Université d'Ottawa, K 21 .D725  Location: FTX Periodiques;

"SOMMAIRE.

Introduction...193

Remarques préliminaires relatives à la terminologie employée...194

Première partie: Affirmation du principe de l'irresponsabilité pénale
                          des personnes morales...195

Deuxième partie: Mécanismes juridiques visant à pallier les inconvénients
                           résultant de l'irresponsabilité pénale des personnes morales...200
 

Chapitre I: L'imputabilité...200
Chapitre II: La responsabilité civile au paiement de l'amende...207
Chapitre III: Sanctions pénales dont les effets atteignent directement la
                    personne morale...209
Chapitre IV: Sanctions autres que les peines pouvant être infligées aux
                    personnes morales...212

Troisième partie: Exceptions apparentes à l'irresponsabilité pénale des personnes
                          morales...219

Conclusions...220" (p. 191)

DELEBECQUE, Philippe, "Les sanctions de l'article 131-39, 3^o, 5^o et 7^o [du Code pénal], (1993) Revue des sociétés 349-357; copie à l'Université d'Ottawa, K 650 .R49  Location: FTX Periodicals; copie à la Bibliothèque de la Cour suprême du Canada; note: Colloque du 7 avril 1993 organisé par l'Université de Paris 1 (Panthéon-Sorbonne) et le Centre de recherches fondamentales de droit privé;
 

DELMAS-MARTY, Mireille, 1941-, "L'avant-projet de révision du Code pénal.  La responsabilité des groupements", (1980) 51 Revue internationale de droit pénal 39-54;
 

___________"Avant-propos", (avril -juin1997) Revue de science criminelle et de droit pénal comparé 253; copie à l'Université d'Ottawa, KJJ 0 .R489  Location: FTX Periodicals; aussi publié dans: La responsabilité pénale dans l'entreprise: vers un espace judiciaire européen unifié?, sous la direction de Mireille Delmas-Marty, Paris: Dalloz, 1997, (Collection; thèmes et commentaires), 123 p., ISBN: 2247027458, copie à la Bibliothèque de la Cour suprême du Canada, KJC 8130 A8 1996 (même pagination que dans la revue); note: partie des travaux de la Journée d'études du 13 décembre 1996 "consacrés au thème de la responsabilité pénale dans l'entreprise (art. 10 à 14 du Corpus)" (p. 253);
 

___________"Les conditions de fond de mise en jeu de la responsabilité pénale", (1993) Revue des sociétés 301-306; copie à l'Université d'Ottawa, K 650 .R49  Location: FTX Periodicals; copie à la Bibliothèque de la Cour suprême du Canada; note: Colloque du 7 avril 1993 organisé par l'Université de Paris 1 (Panthéon-Sorbonne) et le Centre de recherches fondamentales de droit privé;
 

__________"Personnes morales étrangères et françaises (Questions de droit pénal international)", (1993) Revue des sociétés 255-260; copie à l'Université d'Ottawa, K 650 .R49  Location: FTX Periodicals; copie à la Bibliothèque de la Cour suprême du Canada; note: Colloque du 7 avril 1993 organisé par l'Université de Paris 1 (Panthéon-Sorbonne) et le Centre de recherches fondamentales de droit privé;
 

___________"Rapport général", (1983) 54(1-2) Revue internationale de droit pénal / International Review of Penal Law 41-63, voir/see pp. 57-59 (Actes du Colloque International, "Conception et principes du droit pénal économique et des affaires y compris la protection du consommateur", tenu à Freiburg-en-Brisgau, République Fédérale d'Allemagne, 20-23 septembre 1982, en préparation pour le 13^e Congrès international de droit pénal de l'Association internationale de droit pénal (AIDP) au Caire en 1984 /  Report of the Proceedings of the International Colloquium, "Concept and Principles of Economic and Business Criminal Law",  held in Freiburg i. Br., Federal Republic of Germany, September 20-23, 1983, in preparation for the 13th International Congress of Penal Law of the International Association of Penal Law (IAPL) in Cairo, 1984;
 

___________"Rendre le droit pénal des affaires plus dissuasif", (1981) Revue de droit pénal et de criminologie 299-309; copie à l'Université d'Ottawa, K 21 .D725  Location: FTX Periodicals;
 

___________"La responsabilité pénale dans l'entreprise en France (à propos du droit positif et de l'avant-projet de révision du code pénal)", (1976-77) 57 Revue de droit pénal et de criminologie 493-496; copie à la l'Université d'Ottawa, K 21 .D725 Location: FTX Periodicals;
 

___________sous la direction de,  La responsabilité pénale dans l'entreprise: vers un espace judiciaire européen unifié?, Paris: Dalloz, 1997, 123 p. (Collection; thèmes et commentaires), ISBN: 2247027458; copie à la Bibliothèque de la Cour suprême du Canada, KJC 8130 A8 1996 (même pagination que dans la revue); notes: extrait du numéro (avril -juin1997) Revue de science criminelle et de droit pénal comparé;
 

DELMAS-MARTY, Mireille et Commission européenne, Direction générale du contrôle financier, Corpus juris : portant dispositions pénales pour la protection des intérêts financiers de l'Union européenne = Corpus juris : introducing penal provisions for the purpose of the financial interests of the European Union / sous la direction de Mireille Delmas-Marty, Paris : Economica, 1997, 179 p., ISBN: 2717833447; j'ai vérifié le catalogue AMICUS de Bibliothèque et Archives Canada le 21 juillet 2004 et je n'ai trouvé qu'une localisation pour ce périodique, soit l'Université Laval, KJE 7050 C822 1997; livre non-consuté;
 

DELMAS-MARTY, Mireille et Yves Guyon, "La responsabilité pénale des personnes morales [Colloque du 7 avril 1993 organisé par l'Université de Paris 1 (Panthéon-Sorbonne) et le Centre de recherches fondamentales de droit privé]", (1993) Revue des sociétés 227; copie à l'Université d'Ottawa, K 650 .R49  Location: FTX Periodicals; copie à la Bibliothèque de la Cour suprême du Canada;
 

DELMAS-MARTY, Mireille et S. Manacorda, "The implementation of the Corpus Juris 1997 in the Member States: National Report -- France /  La mise en oeuvre du Corpus Juris 1997 dans les États Membres: Rapport national -- France", in Mireille Delmas-Marty & J. A. E. Vervaele, eds., La mise en oeuvre du corpus juris dans les États  membres : dispositions pénales pour la protection des finances de l'Europe / Implementation of the corpus juris in the Member States: Penal provisions for the Protection of European Finances  Antwerpen : Intersentia, c2000, 4 volumes, at vol. 2 at pp. 287-348, ISBN:  9050950981 (v. 1), 905095099X (v. 2), 9050951007 (v. 3), and 9050951902 (v. 4); notes: volume 1. part. 1. Synthesis -- part.2. Horizontal syntheses of comparative law; part. 3. Legal bases for the  implementation; volumes 2-3. National reports of the 15 Member States; volume 4. Horizontal and vertical cooperation; French and/or English; titre noté dans mes recherches mais non consulté; ma vérification du catalogue AMICUS de Bibliothèque et Archives Canada indique que seulement l'Université de Montréal a une copie de ces volumes, KJE7975 .M57 2000 (9 mai 2004); voir http://www2.law.uu.nl/wiarda/corpus/fransdx.html pour les rensignements en français, et en anglais  http://www2.law.uu.nl/wiarda/corpus/engelsdx.html;
 

DELMAS-MARTY, Mireille et Klaus Tiedemann, "La criminalité, le droit pénal et les multinationales", La Semaine juridique I. Doctrine (1979)  2935, 16 pp.; copie à  l'Université d'Ottawa, KJJ 0 .S452  Location: FTX Periodicals;
 

DELMAS-MARTY, Mireille & J.A.E. Vervaele, eds., La mise en oeuvre du corpus juris dans les États  membres : dispositions pénales pour la protection des finances de l'Europe / Implementation of the corpus juris in the Member States: Penal provisions for the Protection of European Finances  Antwerpen : Intersentia, c2000, 4 volumes, ISBN:  9050950981 (v. 1), 905095099X (v. 2), 9050951007 (v. 3), and 9050951902 (v. 4); notes: volume 1. part. 1. Synthesis -- part.2. Horizontal syntheses of comparative law; part. 3. Legal bases for the  implementation; volumes 2-3. National reports of the 15 Member States; volume 4. Horizontal and vertical cooperation; French and/or English; titre noté dans mes recherches mais non consulté; ma vérification du catalogue AMICUS de Bibliothèque et Archives Canada indique que seulement l'Université de Montréal a une copie de ces volumes, KJE7975 .M57 2000 (9 mai 2004); voir http://www2.law.uu.nl/wiarda/corpus/fransdx.html pour les rensignements en français, et en anglais  http://www2.law.uu.nl/wiarda/corpus/engelsdx.html;
 

DE MAGLIE, Christina, "Corporate Crime and Sentencing: The Italian Solution",  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. 285-291 (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 13 December 2003);
 

DeMOTT, Deborah A., "Organizational Incentives to Care about the Law", (1997) 60(3) Law and Contemporary Problems 39-66;

[CONTENTS]

I  INTRODUCTION...39

II VICARIOUS LIABILITY...41

A. Events Underlying Caremark...41
B. Organizational Incentives and Vicarious Liability...43
C. The Boundaries of Control...52

III DIRECTORS AS MONITORS...59

A. Duty Ariculated in Caremark...59
B. Reforming the Bisiness Judgment Rule...63

IV CONCLUSION...65

DE NAUW, Alain, "La délinquance des personnes morales et l'attribution de l'infraction à une personne physique par le juge" (1992) 46 Revue critique de jurisprudence belge 552-572; copie à l'Université d'Ottawa, KJM 0 .R48  Location: FTX Periodicals;

[TABLE DES MATIÈRES]

I. -- L'ABANDON DU PRINCIPE "SOCIETAS NON DELINQUERE
       POTEST"...553

II. -- L'AFFINEMENT DE LA JURISPRUDENCE ET LA CRITIQUE
        DE LA DOCTRINE...556

III. -- L'ATTRIBUTION DE L'INFRACTION À UNE PERSONNE
         PHYSIQUE...560

IV. -- RESPONSABILITÉ PÉNALE POUR FAIT D'AUTRUI?...565

V. -- LA JURISPRUDENCE ACTUELLE, RÉPONSE ÉQUITABLE À LA
        DÉLINQUANCE DES PERSONNES MORALES...567
 

DENMARK, The Danish Criminal Code, English version by Gitte Hoyer, Martin Spencer and Vagn Greve, Copenhagen: DJOF Publishing, 1999, 201 p., ISBN: 8757401373;

"Chaper 5: Criminal Responsibility for Legal Persons

§ 25.
A legal person may be punished by a fine, if such punishment is authorized by law or by rules pursuant thereto.
 

§ 26.
(1)  Unless otherwise stated, provisions on criminal responsibility for legal persons etc. apply to any legal persons, including joint-stock companies, co-operative societies, partnerships, associations, foundations, estates, municipalities and state authorities.

(2)  Furthermore, such provisions apply to one-person businesses if, considering their size and organization, these are comparable to the companies referred to in Subsection (1) above.
 

§27.
 (1) Criminal Liability of a legal person is conditional upon a transgression having been committed within the establishment of this person by one or more persons connected to this legal person or by the legal person himself.

(2)  Agencies of the State and of municipalities may only be punished for acts committed in the course of the performance of functions comparable to functions exercised by natural or legal persons." (pp. 25-26)

DERSHOWITZ, Alan M., Notes and Comments, "Increasing Community Control Over Corporate Crime -- A Problem in the Law of Sanctions", (1961-62) 71 Yale Law Journal 280-306; notes: written by Alan Dershowitz (although not indicated in the Yale Law Journal);  with same title and name of author in : Gilbert Geis, ed., White-Collar Criminal: The Offender in Business and the Professions, New York: Atherton Press, 1968, [xv], 448 p., at pp. 136-154; copy at Ottawa University, MRT General, HV 6635 .G35 1968; with the same title in Leonard Orland, ed., Corporate and White Collar Crime: An Anthology, [Cincinnati, Ohio]: Anderson Publishing, 1995, xiii, 438 p., ISBN: 0870848704;

[CONTENTS]

[INTRODUCTION]...280

A PROPOSED HYPOTHESIS...281

PRESENTLY IMPOSED SANCTIONS... 283

The Criminal Fine...285
The Treble Damage Suit...288
Criminal Policy Against Policy Formulators...291

CAN THE PRESENT SYSTEM OF SANCTIONS BE MADE
    EFFECTIVE BY MODIFICATION?...294

The Criminal Fine...294
The Treble Damage Suit...295
Criminal Policy Against Policy Formulators...297

PROPOSALS...297

Attachment of Illegal Profits...298
Compensation...300
Direct Coercion...301

CONCLUSION...305

___________"Sociétés-loi du 4 mai 1999 – Responsabilité pénale des persones morales”, (1999) Revue de droit commercial belge 653-657; titre noté dans mes recherches mais article non consulté; aucune copie de ce périodique dans les bibliothèques de la région d'Ottawa comprises dans le catalogue AMICUS de  Bibliothèque et Archives Canada; copie à l'Université de Montréal (vérification du 23 juin 2004);
 

DeSANTIS, William J., "Punishing the Corporation: Charitable Contributions as a Condition of Probation", (1983-84) 15 Rutgers Law Journal 1069-1089; copy at the Library of the Supreme Court of Canada, Ottawa;

[CONTENTS]

I. INTRODUCTION...1069

II.  PROBATION FOR CORPORATIONS -- A HISTORICAL PERSPECTIVE...1071

III.  ANALYSIS OF FEDERAL PROBATION ACT...1073

A. Purposes of the Act...1073
B. Limits of Authority...1075
C. Conflicting Statutory Interpretations...1076

IV. POLICY CONSIDERATIONS...1079

A. Purposes of Probation...1079
B. Community Service Sanctions...1081

V. ALTERNATIVE SANCTIONS...1085

VI. CONCLUSION...1088
 

DESPORTES, Frédéric, "Les conditions d'imputation d'une infraction à une personne morale", (2000) C.J.E.G. 426; CJEG = Cahiers juridiques électricité-gaz; notes: cahiers édités par Electrictié de France et Gaz de France; Paris : Librairie Dalloz, 1952-; titre noté dans mes recherches mais article non consulté; aucune copie de ce numéro de périodique dans les bibliothèques canadinnes couvertes par le catalogue AMICUS de la bibliothèque nationale du Canada (vérification du 15 juillet 2004);
 

___________"Responsabilité pénale des personnes morales (art. 121-2 C. Pén.)", 2001, 32 p., in  Juris-Classeur pénal, Paris: Éditions du Juris-Classeur, vol. 1; note: bibliographie aux pp. 31-32; copie à l'Université d'Ottawa, bibliothèque de droit, Général, KJV 7979 .J87 v. 1-5;
 

___________ "La responsabilité pénale des personnes morales en droit français", (mars 1996) C.J.E.G. 93-106; CJEG = Cahiers juridiques électricité-gaz; numéro 519; notes: cahiers édités par Electrictié de France et Gaz de France; Paris : Librairie Dalloz, 1952-; titre noté dans mes recherches mais article non consulté; aucune copie de ce numéro de périodique dans les bibliothèques canadiennes comprises dans le catalogue AMICUS de Bibliothèque et Archives Canada (vérification du 15 juillet 2004);
 

DESPORTES, Frédéric et Francis Le Gunehec, Le nouveau droit pénal, 10^e éd., Paris : Economica, 2000, xv, 1055 p. (Collection; Collection Droit pénal. Série Enseignement et pratique), ISBN:  2717846719; voir en particulier: "La responsabilité pénale des personnes morales" aux pp. 525-588 et  "Les peines applicables aux personnes morales", aux pp. 771-792; voir également la bibliographie aux 532-534 (la bibliographie couvre la période antérieure à la réforme; la période postérieure à la réforme; des articles généraux et la responsabilité des personnes morales en droit public; et sur les droits étrangers; copie à la Bibliothèque de la Cour suprême du Canada, KJV7979 D49 2000;
 

DEVA, Surya, "Human Rights Violations by Multinational Corporations and International Law: Where From Here?", (Fall 2003) 19(1) Connecticut Journal of International Law 1-57; copy at Ottawa University, K 3 .O547  Location: FTX Periodicals;
 

"Developments  in  the  Law -- International  Criminal  Law",  (2001) 114  Harvard  Law  Review 1943-2073; copy at Ottawa University, KFM 2469 .H457  Location: FTX Periodicals;  check also 1943-2073;

"[Abstract]  In recent years, the international community has begun to move beyond norm articulation toward norm enforcement in international criminal law. This Development surveys recent changes in international criminal law, identifying many substantial achievements. It also identifies serious challenges that the world faces as it attempts to establish an international rule of law. The main parts are the following: II) The Promises of International Prosecution; III) Fair Trials and the Role of International Criminal Defense; IV) Defining Protected Group Under the Genocide Convention; V) Corporate Liability for Violations of International Human Rights Law; VI) The International Judicial Dialogue: When Domestic Constitutional Courts Join the Conversation. The last part has a clear transsystemic interest." (source:  http://www.law.mcgill.ca/research/bulletin1-1.pdf , accessed on 11 July 2004)

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

[Part of the Table of Contents]

"V. CORPORATE LIABILITY FOR VIOLATIONS OF INTERNATIONAL
     HUMAN RIGHTS LAW...2025

A. The Range of Corporate Human Rights Violations...2027

1. Economic, Social, and Cultural Rights...2027
2. Civil and Political Rights...2028
3. Rights Protected Under International Humanitaria Law...2029

B. The Gap in International Law...2030
C. Corporate Liability Under the ATCA...2033

1. Background...2033
2. Establishing Subject Matter and Personal Jurisdiction Under
    the ATCA...2036

(a) Subject Matter Jurisdiction...2037
(b) Personal Jurisdiction over Corporations...2039

3. Damages and Deterrence...2040
4. Limitation of the ATCA...2042

D. Expanding Subject Matter Jurisdiction Under the ATCA...2043
E. A Multilateral Approach to Filling the Remedial Gap...2046
F. Conclusion...2048" (p. 1945)

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

"The disagreement among states about corporate criminal liability was apparent at the 1998 Rome Conference on an International Criminal Court.  The draft statute under consideration at the Rome Conference included a French proposal to extend the ICC's jurisdiction to legal persons.⁴⁶  Despite three weeks of negotions on various versions of this proposal, delegates failed to reach agreement.⁴⁷  As a result, the Statute of the International Criminal Court adopted at the conclusion of the Rome Conference provided for jurisdiction only over natural persons.⁴⁸"
------
⁴⁶ The provision read as follows:

The Court shall also have jurisdiction over legal persons, with the exception of States, when the crimes committed were committed on behalf of such legal persons or by their agencies or representatives.
The criminal responsibility of legal persons shall not exclude the criminal responsibility of natural persons who are perpetrators or accomplices in the same crimes.

Draft Statute for the International Criminal Court, art. 23.  ]] 5-6, U.N. Doc. A/CONF.183/2/Add.I (1998)
⁴⁷Andrew Clapham, The Question of Jurisdiction Under International Criminal Law over Legal Persons: Lessons from the Rome Conference on an International Criminal Court, in LIABILITY OF MULTINATIONAL CORPORATIONS UNDER INTERNATIONAL LAW 150 (Stud. & Materials on Settlement Int'l Disputes vol. 7, Menno T. Kamminga & Saman Zia-Zarifi eds., 2000).  According to Clapham, some delegations opposed the proposal because the entire notion of corporate criminal responsibility was alien to them.  Id. 157.  Others felt that insufficient time remained in the negotiating process to work out all the remaining areas of dispute.  Id.
⁴⁸ See Rome Statute, supra note 32, art. 25." (pp. 2031-2032)

DEWEY, John, "The Historic Background of Corporate Legal Personality", (1925-26) 35 Yale Law Journal 655-673; copy at Ottawa University, copy at Ottawa University, KFC 3669 .Y34  Location: FTX Periodicals;
 

DE WULF, Maurice, "L'individu et le groupe dans Scolastique du XIIe siècle", (1920) 22 Revue Néo-Scolastique de Philosophie 341-357; notes: publiée par Louvain: Société philosophique de Louvain, 1910-1945; titre noté dans mes recherches mais article non consulté car aucune copie de ce numéro de périodique ne se trouve dans les bibliothèques de la  région d'Ottawa selon ma vérification du catalogue AMICUS de la Bibliothèque nationale du Canada (vérification du 14 juillet 2004);
 

D'HAENENS, Jules, "La responsabilité pénale des personnes morales", (1983) (1-2) Annales de droit de Louvain 59-64; copie à la Bibliothèque de la Cour suprême du Canada, Ottawa; note:"Président de la Commission [belge] pour la révision du Code pénal, Professeur à la Rijksuniversiteit Gent"

SCHEMA DE RAPPORT

I. La controverse doctrinale -- Les deux thèses en présence...59

II. La mise en oeuvre de la responsabilité pénale des personnes morales...61

__________"Sanctions pénales et personnes morales [rapport général]", (1975-76) 56 Revue de droit pénal et de criminologie 731-759; copie à l'Université d'Ottawa, K 21 .D725  Location: FTX Periodicals; note: travaux des XVe Journées belgo-france-luxembourgeoises de science pénale, Bruxelles, 14 et 15 mai 1976;
 

D'HULST, Xavier, Brussels (Flemish Region) and François Brault, Huglo Lepage & Partners (Walloon Regions), "Background Information on National Legal Systems: Belgium", in HUGLO LEPAGE, Associés conseils, ed., Criminal Penalties in EU Member States’ environmental law, Final Report, 15 September 2003, 988 p., at pp. 29-40, Reference Study Contract: ENV.B.4-3040/2002/343499/MRA/A; available at  http://europa.eu.int/comm/environment/crime/criminal_penalties2.pdf(accessed on 19 June 2004);

[Belgique]
"Outre la responsabilité des personnes physiques, la Loi du 4 mai 1999 (loi fédérale car de procédure) prévoit que la personne morale devient pénalement responsable des infractions liées à la réalisation de son objet ou à la défense de ses intérêts, ou de celles qui ont été commises pour son compte et commises après le 1er juillet 1999.

Désormais, les condamnations sont nul seulement possible à l’encontre des personnes physiques responsables des faits ou dirigeant les sociétés, mais peuvent être directement prononcées à l’encontre des sociétés, une pénalisation cumulable étant possible.

La loi étant assez récente une jurisprudence est en train de se dégager en Flandre pour déterminer les conditions de cumul." (p. 29)

DI MARINO, Gaëtan, "Le développement de la responsabilité pénale des personnes morales", (2004) numéro 1 Revue pénitentiaire et de droit pénal 27-38; copie à l'Université d'Ottawa, KJJ 0 .R487  Location: FTX Periodicals;

[TABLE DES MATIÈRES]

[INTRODUCTION]...27

I - LES ACTES DE DÉVELOPPEMENT DE LA RESPONSABILITÉ
     PÉNALE DES PERSONNES MORALES...28

A- L'AXE LÉGISLATIF...28

1. L'extension des incriminations...29
2. Le renforcement du dispositif répressif...30

B- L'AXE JUDICIAIRE...31

1. L'application de la loi...32
2. L'interprétation de la loi...32

II -  LES PERSPECTIVES DE DÉVELOPPEMENT DE LA RESPONSABILITÉ
       PÉNALE DES PERSONNES MORALES...35

A- LA PERSPECTIVE DE GÉNÉRALISATION PÉNALE DES PERSONNES
     MORALES....35

1. L'avenir du principe de spécialité...36
2. L'avenir du principe d'égalité...36

B- LA PERSPECTIVE D'UN RENFORCEMENT DES POURSUITES...37

1. Les perspectives en matière d'action publique...37
2. Les perspectives en matière d'action civile...38

DIMENTO, Joseph F.C., Gilbert Geis, and Julia M. Gelfand, "Corporate Criminal Liability: A Bibliography", (2000) 28 Western State University Law Review 1-64;almost exclusively on American law; copy at Ottawa University, KFC 69 .L38  Location: FTX Periodicals;
 

DINE, Janet, Criminal Law in the Company Context, Aldershot; Brookfield, Vt.: Dartmouth, c1995, xi, 218 p., ISBN:1855213427;

[Contents]
"List of Cases
Preface
1  Introduction...1
2  The Background to the Criminal Provisions...5
3  Insider Dealing...41
4  Fraudulent and Wrongful Trading...65
5  Company Director Disqualification...79
6  Money Laundering...105
7  Mainstream Criminal Law...129
8  Section 151 and Part X of the Companies Act 1985...153
9  Investigations and the Right to Silence...165
10  The Way Forward...183
Index...209" (source: Biddle Law Library,  http://lola.law.upenn.edu/screens/opacmenu.html)

DINTILHAC, J-P. et F. Corbi, "Responsabilité pénale des personnes morales : des peines et de leur exécution", (1996) numéro spécial 149 Les Petites affiches 46; note: numéro spécial sur La responsabilité pénale des personnes morales.  Colloque de Sienne, 25 et 26 mai 1996; titre noté dans mes recherches mais article non consulté; aucune copie de ce numéro dans les bibliothèque de la région d'Ottawa comprises dans le catalogue AMICUS de Bibliothèque et Archives Canada (vérification du 24 juillet 2004);
 

DIXON, Ronald L., "Corporate Criminal Liability",  in Margaret P. Spencer and Ronald R. Sims, eds., Corporate misconduct : the legal, societal, and management issues, Westport (Conn.) : Quorum Books, 1995, xi, 215 p., at pp. 41 to approx 56, ISBN: 0899308791; title noted in my research but article not consulted; according to my verification of the AMICUS catalogue of Library and Archives Canada, Ottawa, there is no copy of this book in the Ottawa area libraries (1 May 2004); for a look at the table of contents, see the catalogue of Columbia University, Pegasus, at http://pegasus.law.columbia.edu/, accessed on 5 June 2004;
 

DOELDER, Hans de, "Criminal Liability of Corporations -- Netherlands", in La criminalisation du comportement collectif : XIVe Congrès international de droit comparé / Académie internationale de droit comparé ; prép. par Hans de Doelder [et] Klaus Tiedemann Criminal liability of corporations : XIVth International Congress of Comparative Law / International Academy of Comparative Law, The Hague/London/Boston : Kluwer Law International, 1996, xvi, 401 p., aux pp. 289-310, ISBN: 9041101659; titre noté dans mes recherches; article non consulté; aucune copie de ce livre dans les bibliothèques de la région d'Ottawa selon ma vérification du catalogue AMICUS de Bibliothèque et Archives Canada, le 30 janvier 2004;
 

DOELDER, Hans de and Arthur R. Hartmann, "The Criminal Liability of Private and Public Corporations. A Dutch Perspective", (1999) 1(1) Turku Law Journal  75-92;  title noted in my research but article not consulted; according to my verification of the AMICUS catalogue of Library and Archives Canada on 20 February 2004, there are no copy in the Canadian libraries covered by that catalogue;
 

DOLAN, James V. and Richard B. Rebeck, Notes, "Corporate Criminal Liability for Acts in Violation of Company Policy", (1962) 50 Georgetown Law Journal 547-565;
 

DÖLLING, Dieter, "Rapport Général", (2003) 74(1-2) Revue internationale de droit pénal 17-35; notes: XVIII^e Congrès international de droit pénal, Colloque préparatoire, Section II, La corruption et les délits apparentés dans les transactions commerciales internationales, 11-12 novembre 2002, Tokyo (Japon); aussi publié en anglais/also published in English: DÖLLING, Dieter, "General Report", (2003) 74(1-2) International Review of Penal Law 37-51; notes: article in English; XVIIth International Congress of Penal Law, Preparatory Colloquium, Section II, Corruption and Related Offences in International Economic Acrtivities, November 11-12, 2002, Tokyo (Japan);

"The provisions on criminal responsibility of legal persons differ.  In the People's Republic of China and in France, legal persons can be punished with a fine.  The criminal law of China provides for the crimes of accepting bribes by units and offering bribes by units.  According to most legal systems, legal persons are not criminally responsible.  In some states (e.g. Finland, Germany, Greece and Sweden), legal persons can be sentenced to a corporate fine or to an administrative fine. In Finland, according to the provisions of Chapter 9 of the PC, legal persons may be sentenced to a corporate fine if a person belonging to a statutory organ or other management thereof, or exercising actual power of decision therein, has been an accomplice to an offence or allowed the commission of the offence, or if the care and diligence necessary for the prevention of the offence has not been observed in the operations of the corporation.  In Germany, legal persons can be sentenced to pay an administrative fine if a natural person in a position of responsibility has committed an offence in violation of the legal person's legal duties or the offence has led or should lead to an enrichment of the legal person (§ 30 Regulatory Offences Act).  In Greece, administrative sanctions apply to enterprises profiting from criminal acts committed by individuals acting on their personal capacity or as agents of the enterprise concerned.  In Sweden, an entrepreneur shall be ordered to pay a corporate fine if the crime has entailed gross disregard for the special obligations associated with the business activities or is otherwise of a serious kind, and the entrepreur has not done what could reasonably be required of him for prevention of crime.  In France, restrictions of activities, supervision, exclusions from public markets and dissolution of a company are possible.  In Greece, the exercise of business activities can be prohibited and in Japan companies can be excluded from tending procedures.  In Hungary, such measures are planned." (p. 42)

DOMINGUEZ, Francis, Le droit pénal des sociétés commerciales, 1. La S.A.R.L. (Société à responsabilité limitee) et L'E.U.R.L. (Entreprise Unipersonnelle à responsabilité limitée), S.l. : Edition du Guerrier, 1997,  400 p., ISBN:  2911347021; title noted in my research but book not consulted; no copy of this publication in the Canadian libraries covered in the AMICUS catalogue of Library and Archives Canada, Ottawa (verification of 6 July 2004);
 

DONÀ, Gabriele, "Towards a European judicial area? A corpus juris introducing penal provisions for the purpose of the protection of the financial interests of the European Union” (1998) 6 European journal of crime, criminal law, and criminal justice 282-297; copy at the Library of the Supreme Court of Canada, Ottawa;

[CONTENTS]

FOREWORD...282

1. INTRODUCTION...282

2. LEGAL BASIS OF THE CORPUS JURIS...284

3. THE CONTENT OF THE CORPUS JURIS: CRIMINAL LAW...289

4. CRIMINAL PROCEDURE...290

4.1  Principle of European territoriality...291
4.2  Principle of judicial control...293
4.3  The principle of contradiction...294
4.4 The principle of subsidiary application of national law...296

5. CONCLUSIONS...296

DONALDSON, Thomas, 1945-, Corporations and morality, Englewood Cliffs, N.J. : Prentice-Hall, c1982, ix, 214 p., ISBN: 0131770144 and 0131770063 (pbk.); available at  http://people.uleth.ca/~mckenna/donaldson/index.html (accessed on 25 January 2004);
 

DONCEEL, J. Donckier de, "Responsabilité pénale non-individuelle", dans Congrès international de droit comparé (10e : 1978 : Budapest, Hongrie), Centre interuniversitaire de droit comparé, Rapports belges au Xe Congrès international de droit comparé, Budapest, 23-28 août 1978 / préface Jean Limpens, Bruxelles : É. Bruylant, 1978, x, 709 p., aux pp. 603-619 (Collection; Centre interuniversitaire de droit comparé; volume 10), ISBN:  2802702076; titre noté dans mes recherches mais article non consulté; aucune copie de ce livre dans les bibliothèques de la région d'Ottawa (vérification du catalogue AMICUS, 15 juillet 2004);
 

DONNEDIEU DE VABRES, Henri, "Le procès de Nuremberg devant les principes modernes du droit pénal international", (1947-I) Recueil des cours de l'académie de droit international de La Haye 476-580, et voir "La criminalité des groupements et organisations", aux pp. 543-558; copie à l'Université d'Ottawa, KZ 24 .H35  Location: FTX Periodicals;
 

_____________"Les limites de la responsabilité pénale des personnes morales", (1950) 21 Revue internationale de droit pénal 342; titre noté dans mes recherches mais article non consulté; aucune copie de ce numéro de périodique dans les bibliothèques de la région d'Ottawa;
 

DOTTI, René Ariel, "Brésil: Les atteintes à l'environnement: responsabilité et sanctions pénales", (1994) 65 Revue internationale de droit pénal 815-830, voir "La responsabilité des collctivités", aux pp. 821-822; note: Colloque préparatoire, section 1, Les atteintes à l'environnement, problèmes de droit pénal général, Ottawa (Canada), 2-6 novembre 1992;

"La responsabilité des collectivités

    Le présent rapport n'exclut pas la possibilité, in these, qu'une collectivité soit l'objet de quelques unes des sanctions mentionnées ci-dessus.  Mis à part la première d'entre elles, dont la nature est éminement physique, les autres pourraient se destiner aux personnes juridiques.  En effet, les peines pécuniaires, comme la perte des biens, les amendes les prestations de service social alternatif (comme par exemple, le travail en faveur de la communauté) et les peines restrictives d'activité, comme la suspension et l'interdiction des droits, peuvent être appliquées, en principe, contre une personne tout aussi bien physique que morale.  Malgré cette compatibilité formelle, la Constitution interdit l'hypothèse d'ammener une personne juridique au banc des accusés. Le raisonnement opposé implique le renversement de toute la théorie de l'application de la loi, aussi bien que des théories sur le délit et les réactions pénales (peines et mesures de securité).

    Le Code Pénal brésilien, avec la réforme introduite par la Loi n^o7.209, du 11 juillet 1984, n'admet pas la capacité pénale des personnes juridiques." (p. 821)

DOWNIE, R.S., "Collective Responsibility", (1969) 44 Philosophy 66-69; reviewing the article by Cooper, D.E., supra; copy at Ottawa University, B 1 .P55  Location: MRT Periodicals;
 

DUCOULOUX, Cl. et Cr. de Maglie, "Défense et illustration de la responsabilité pénale des personnes morales", (1996) numéro spécial 149 Les Petites affiches 36; note: numéro spécial sur La responsabilité pénale des personnes morales.  Colloque de Sienne, 25 et 26 mai 1996; titre noté dans mes recherches mais article non consulté; aucune copie de ce numéro dans les bibliothèque de la région d'Ottawa comprises dans le catalogue AMICUS de Bibliothèque et Archives Canada (vérification du 24 juillet 2004);
 

DUFF, Patrick William, 1901-, Personality in Roman private law, Cambridge (England): The University Press, 1938, xiii, 241 p.; copy at Carleton University, Ottawa, Floor 4, KBD.D85P57;  copy at Bibliothèque USP Library - Collection générale - General collection, KJA 2192 D84P47 1938;
 

"CONTENTS

PREFACE...PAGE... ix

CHAPTER I.  Persona, Caput, Corpus, Universitas...1

    II.  Populus snad Fiscus...51

    III. Towns...62

    IV. Collegia: the Ius Coendi...95

    V. Collegia and Corporate Capacity...129

    VI. Societates Publicanorum...159

    VII. Hereditas Iacens...162

    VIII. Charities...168

    IX.  Roman Law and Legal personality...206

INDEX OF PRINCIPAL TEXTS...237

INDEX OF SUBJECTS...239"

DUFT, Heinz, Dietmar Seidel, Hans Weber, "German Democratic Republic: National Report", (1983) 54(1-2) Revue internationale de droit pénal / International Review of Penal Law 525-537, voir la p. 534 (Actes du Colloque International, "Conception et principes du droit pénal économique et des affaires y compris la protection du consommateur", tenu à Freiburg-en-Brisgau, République Fédérale d'Allemagne, 20-23 septembre 1982, en préparation pour le 13^e Congrès international de droit pénal de l'Association internationale de droit pénal (AIDP) au Caire en 1984 /  Report of the Proceedings of the International Colloquium, "Concept and Principles of Economic and Business Criminal Law",  held in Freiburg i. Br., Federal Republic of Germany, September 20-23, 1983, in preparation for the 13th International Congress of Penal Law of the International Association of Penal Law (IAPL) in Cairo, 1984);
 

DUNCAN, J. T. Skip, et al., White-collar crime : a selected bibliography / compiled by J.T. Skip Duncan, Marc Caplan ; Marjorie Kravitz, supervising editor; National Criminal Justice Reference Service -- , Washington, D.C. : U.S. Dept. of Justice, National Institute of Justice : For sale by the Supt. of Docs., U.S. G.P.O., 1980, vii, 82 p. (series;.Selected bibliography / National institute of Justice); Note: "Prepared for the National Institute of Justice, U.S. Department of Justice, by Aspen Systems Corp., under contract number J-LEAA-023-77"--T.p. verso;  "September 1980", "NCJ 69331"; copy at Ottawa University, Reference, FTX Reference KF 9223 .A1D8;
 

DUNFORD, Louise and Ann Ridley, " 'No Sould to be Damned, No Body to be Kicked': Responsibility, Blame and Corporate Punishment", (1996) 24 International Journal of the Sociology of Law 1-19; copy at Ottawa University,  HV 6001 .I58  Location: MRT Periodicals;
 

EDAGAR, Andrew, "Corporate Manslaughter is Just Around the Corner",  (2001) 12 International Company and Commercial Law Review 117; notes: 0958-5214 published by Sweet and Maxwell Ltd., London, U.K.; title noted in my research but article not consulted; no copy of this publication in the Canadian libraries covered in the AMICUS catalogue of Library and Archives Canada, Ottawa (verification of 6 July 2004);
 

EDELMAN, Peter T., "Corporate Criminal Liability for Homicide: The Need to Punish Both the Corporate Entity and its Officers", (1986-87) 92 Dickinson Law Review 193-222; copy at Ottawa University, KFP 69 .F67  Location: FTX Periodicals;

[Contents]

I. Introduction...193

II. Corporate Criminal Responsibility...195

A. Early History...195
B. Crimes Requiring the Formulation of Intent...197
C. Recent Decisions...206
D. Causation...209

III. People v. Film Recovery Systems, Inc.

A. The Decision...212
B. Analysis...215

IV. Conclusion...222

EDGERTON, Henry W., "Corporate Criminal Liability", (1927) 36 Yale Law Journal 827-844; copy at Ottawa University, KFC 3669 .Y34  Location: FTX Periodicals;

[CONTENTS]

[INTRODUCTION]...827

THE AUTHORITIES...827

REASONS FOR RESPONSIBILITY...832

THE INNOCENT STOCKHOLDER...836

CORPORATE "GUILT"...840

EDWARDS, Robin, "Corporate Killers", (2001) 13 Australian Journal of Corporate Law 231-252; title noted in my research but article not consulted; no copy of this periodical in the Canadian libraries covered by the AMICUS catalogue of Library and Archives Canada for the Ottawa region, Ottawa (verification of 6 July 2004);
 

EGGLESTON, R., "The Duties and Responsibilities of Corporate Officers",  in University of Sydney, Institute of Criminology, Corporate crime: report of a seminar, [Sydney : Government Printing Office, 1975], [158] p., at p. 9; notes: Cover title: "Held in the State Office Block, on 9 May 1974. General editor: G. J. Hawkins"; title noted in my research but article not consulted; no copy of this publication in the Canadian libraries covered in the AMICUS catalogue of Library and Archives Canada, Ottawa, except Dalhousie University, Sir James Dunn Law Library, KB 90 S98 no.19 (verification of 23 July 2004);
 

EIDAM, Gerd, "Forms of Criminal Responsibility of Organisations: Aspects of Legal Practice in Germany", 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. 59-66 (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_S78/6-SUBJN-1.pdf (accessed on 13 December 2003);
 

EISENBERG, Milton, "Corporate Criminal Liability" in Barbara A. Reeves, George C. Harris, 1953-,  Carl H. Loewenson, 1957-, editors, Federal criminal litigation : a practical and strategic guide to key issues, Chicago, Ill. : Section of Litigation, American Bar Association, c1994, xvi, 396 p., at pp. 83 to approx. 103, ISBN: 1570730199 (pbk.); title noted in my research but article not consulted; no copy of the book in the Ottawa area libraries according to my verification of the National Library of Canada AMICUS catalogue (10 May 2004);
 

EKROOS, Ari, "[Environmental Criminal Law --] Finland", in Michael G. Faure and Günther Heine, coordinated by, Final Report: Criminal Penalties in EU Member States' Environmental Law, Maastricht (The Netherlands): Maastricht European Institute for Transnational Legal Research Faculty of Law, Maastricht University and  Berne, Switzerland: Institute for Criminal Law and Criminology,  Faculty of Law, University of Berne, October 2002, 352 p., at pp. 165-177, available at http://europa.eu.int/comm/environment/crime/criminal_penalties1.pdf (accessed on 18 June 2004);

[Finland] The penal Ciode of Finland includes the special provisions concerning the corporate criminal liability. These provisions are in chapter 9 of the Penal Code. According to section 1 (chapter 9) of the Penal Code a corporation, a foundation or any other legal entity, in whose operations an offence has been committed, may on the request of the public prosecutor be sentenced to a corporate fine, if such sanction has been provided in this Penal Code. The provisions concerning corporate liability shall not be applied to offences committed in the exercise of public authority (paragraph 2, section 1, chapter 9). Section 9 (chapter 48, environmental offences) it is stated that the provisions on corporate criminal liability apply to the offences referred to in chapter 48 (environmental offences) of the Penal Code.

Section 2 (chapter 9) of the Penal Code contains the prerequisites for liability. A corporation may be sentenced to a corporate fine, if a person belonging to a statutory organ or other management thereof, or exercising actual power of decision therein, has been an accomplice to an offence or allowed the commission of the offence, or if the care and diligence necessary for the prevention  of the offence has not been observed in the operations of the corporation. It should be noticed that it is not compulsory to sentence a corporate fine. A corporate fine may be imposed even if the offender cannot be identified or otherwise is not punished. However, no corporate fine shall be imposed for a complainant offence which is not reported by the injured party so as to have charges brought, unless there is a very important public interest for the bringing of charges The offence shall be deemed to have been committed in the operations of a corporation, if the offender has acted on the behalf or for the benefit of the corporation, and belongs to its management or is in a service or employment relationship with it or has acted on assignment by a representative of the corporation (section 3, chapter 9). The corporation shall not have the right to compensation from the offender for the corporate fine that it has paid, unless such liability is based on separate provisions on corporations and foundations.

The Penal code also includes provisions concerning the amount of the fine and the basis for calculation of the corporate fine. A corporate fine shall be imposed as a lump sum and it shall be at least 850 € and at most 850.000 € (section 5, chapter 9). The amount of the corporate fine shall be determined in accordance with the nature and extent of the neglect and the participation of the management and the financial standing of the corporation. When evaluating the significance of the neglect and the participation of the management, the following shall be duly taken into account: the nature and seriousness of the offence; the status of the offender as a member of the organs of the corporation; whether the violation of the obligations of the corporation manifests heedlessness of the law or the orders of the authorities; as well as the grounds for sentencing provided elsewhere in the law. When evaluating the financial standing of the corporation, the following shall be duly taken into account: the size of the corporation; its solvency; as well as the earnings and the other essential indicators of the financial standing of the corporation."  (Ari Ekroos, pp. 166-167)

ELKINS, James R., "Corporations and the Criminal Law: An Uneasy Alliance", (1976-77) 65 Kentucky Law Journal 73-129; copy at Ottawa University, K 1269 .K453  Location: FTX Periodicals;

"[Abstract]
...In his article Professor Elkins traces the development of the criminal law as applied to corporations from the early days of 18th century England to the state of corporate criminal law in the United States today, including the proposed changes of the Model Penal Code and the Federal Criminal Code. He concentrates especially on doctrines imputing misconduct and intent of subordinate employees to the corporate entities, and the limits on doctrines of imputation borrowed largely from the law of agency. In the face of arguments that criminal sanctions should not be imposed on corporations, Professor Elkins con- cludes: 'The social good now demands the use of all available means to control corporate power, including the use of criminal sanctions.' " (p. 73)

ELLIS, Lori A., and Sally S. Simpson, "Informal Sanction Threats and Corporate Crime: Additive Versus Multiplicative Models", (November 1995) 32(4) Journal of Research in Crime and Delinquency 399-424;
 

ELSON, Charles M. and Christopher J. Gyves, "In Re Caremark: Good Intentions, Unintended Consequences", (2004) 39(3) Wake Forest Law Review 691-706; copy at Ottawa University, KFN 7469 .W35  Location: FTX Periodicals;

ENGLE, Eric, "Extraterritorial Corporate Criminal Liability: A Remedy for Human Rights Violations?", (2006) 20(2) St. John's Journal of Legal Commentary 287; available at http://new.stjohns.edu/media/3/5ca75ae0f4fe4a66821b7507fa223a68.pdf (accessed on 26 February 2008);
 

ENGSTRÖM, Viljam, "Who Is Responsible for Corporate Human Rights Violations?", Åbo Akademi University Institute for Human Rights, January 2002, iv, 51 xviii (bibliography) p.; available at  http://www.abo.fi/instut/imr/norfa/ville.pdf (accessed on 1 July 2004);

"Table of Contents

Abbreviations

1 Introduction...1
1.1 Identifying the Multinational Corporation... 2
1.2 Multinational Corporations in the Global Context...4
1.3 The Human Rights System...6
1.4 The Responsibility Concept...8

2 State Responsibility...10
2.1 Obligations of States under International Human Rights Law...11
2.2 The International Rules on State Responsibility...13
2.3 The Relationship between Human Rights Law and Rules on State
Responsibility...15
2.4 Asserting State Responsibility for MNC Acts...17
2.4.1 Home/Host State Responsibility...17
2.4.2 Due Diligence...19
2.5 Assessing State Responsibility...20

3 Corporate Responsibility...23
3.1 Direct International Responsibilities...24
3.1.1 The Selection of Human Rights Principles...24
3.1.2 The Applicability of Human Rights Instruments...26
3.1.3 Corporations and International Crimes...28
3.2 National Approaches...29
3.3 Non-Legal Responsibilities...33
3.4 Assessing Corporate Responsibility...36

4 Individual Responsibility...39
4.1 Human Rights Duties of Individuals...40
4.2 Enforcing Individual Responsibilities...41
4.3 Holding an Individual Accountable for Corporate Action...43
4.4 Assessing Individual Responsibility...45

5 Concluding Remarks...48

Bibliography" (pp. ii-iii)
 

[Luxemburg]
Luxembourg has not yet organised the penal responsibility of legal persons.

As many offences are committed in the context of the running of a company, the State Prosecutor sues the manager and the courts do not hesitate to convict him.

It was easy for the courts to pronounce penal convictions against the company directors (organ of the company) or the employees, as the environmental breaches of environmental law are only "material offences" (see here above): they exist even if the offensor has not fraudulent intention and has not committed any fault.

When defining the company director, the courts include the manager de facto, the one having real power of management in the company.  The courts of Luxembourg justify the conviction by the fact that the manager or director has the
authority on men and machines constituting together the factory.

.......

In practice, the fine and the restoration are paid by the company but it is not bound by the law.

Nor the State Prosecutor nor the Tax Services (in charge of receiving the fines) are ready to raise the question.

As a matter of fact, the personal penal responsibility of the companies director helps to keep the pressure on him in a view of environment respect.

At this moment in Luxembourg, we can find only legislation on financial sector and on insurances, which provide administrative fines against companies; these fine are not penal provisions but are at least punitive.

Nothing similar exists in environmental law.

The only penal sanction against legal persons can be found in article 203 of the law on commercial companies, which provide that the Tribunal d'arrondissement may pronounce (on request of the State Prosecutor) the winding-up of a company that leads activities against any penal legislation." (Fernand Entringer and Claude Veriter, pp. 214-215)

ERMAN, Sahir, "Turquie: Rapport national", (1983) 54(1-2) Revue internationale de droit pénal / International Review of Penal Law 743-759, voir la p. 755 (Actes du Colloque International, "Conception et principes du droit pénal économique et des affaires y compris la protection du consommateur", tenu à Freiburg-en-Brisgau, République Fédérale d'Allemagne, 20-23 septembre 1982, en préparation pour le 13^e Congrès international de droit pénal de l'Association internationale de droit pénal (AIDP) au Caire en 1984 /  Report of the Proceedings of the International Colloquium, "Concept and Principles of Economic and Business Criminal Law",  held in Freiburg i. Br., Federal Republic of Germany, September 20-23, 1983, in preparation for the 13th International Congress of Penal Law of the International Association of Penal Law (IAPL) in Cairo, 1984);
 

ERVINE, W.C.H., Notes, "Corporate Criminal Liability at Scots Common Law [Dean v. John Menzies (Holdings) Ltd., 1981 S.L.T. 50]", (1981) 97 The Law Quarterly Review 528-531; copy at Ottawa University, KD 322 .L37  Location: FTX Periodicals;
 

ESER, Albin, "Comparative Observations",  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. 363-365 (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_S78/14-SUBJN-7.pdf (accessed on 14 December 2003);
 

___________"Individual Criminal Responsibility", in Antonio Cassese, Paola Gaeta and John R.W.D. Jones, eds., The Rome Statute of the International Criminal Court, volume I, Oxford/New York: Oxford University Press, 2002, cxl, 1048 p., at pp. 767-822, ISBN: 0199243123 (vol. 1) and 0198298625 (set of 3 volumes); copy at Ottawa University,  FTX General: KZ 6310 .R64 2002 v. 1;

"This inclusion of legal persons was demanded in particular by the French Delegation in order to make it easier for victims of crimes to sue for restitution and compensation.  This proposal, however, was not successful in the end as it had -- among others -- these arguments against it: from a pragmatic point of view it was feared that the ICC would be faced with tremendous evidentiary problems when prosecuting legal entities, and from a normative-political point of view it was emphasized that criminal liability of corporations is still rejected in many national legal orders, an international disparity which could not be brought in concord with the principle of complementarity (Article 17 of the ICC Statute).  Furthermore, it was felt 'morally obtuse for States to insist on the criminal responsibility of all entities other than themselves'." (p. 779; 4 notes omitted)

___________"Opening Address: Aim and Structure of the Colloquium", 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. 1-6, (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_S78/5-OPENING.pdf (accessed on 25 April 2004);
 

___________ "Preface", 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. v-vi, (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_S78/2-PREFACE.pdf (accessed on 25 April 2004);
 

ESER, Albin, 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., (Series :  Beiträge und Materialien aus dem Max-Planck-Institut für Ausländisches und Internationales Strafrecht Freiburg i. Br. ; Bd. S 78),  ISBN:  3861139421; important contribution; available at  http://www.iuscrim.mpg.de/verlag/online/Band_S78/band78.html (accessed on 1 November 2003);
 

ESTUDIO DURRIEU ABOGADOS (Firm), The Argentine penal code and selected excerpts from corporate criminal law, Ardsley, NY : Transnational Publishers, c2004, ISBN: 1571053271; title noted in my research but book not consulted; no copy of this publication in the Canadian libraries covered in the AMICUS catalogue of the Library and Archives Canada, Ottawa (verification of 14 July 2004); titre dans mes recherches mais article non consulté; aucune copie de ce numéro du périodique dans le bibliothèques de la région d'Ottawa;
 

ETTINGER, Mieczyslaw, "Responsabilité pénale des personnes morales [Rapport au Congrès de l'Association internationale de droit pénal (Bucarest, 1929) -- question sur l'ordre du jour]", (1929) 6 Revue internationale de droit pénal 274-286; copie à la bibliothèque de la Faculté de droit, Université de Montréal, HAZE R454i;
 

ETZIONI, Armitai, "The U.S. Sentencing Commission on Corporate Crime: A Critique" (January 1993) 525 The Annals of the American Academy of Political and Social Science 147-156; copy at Ottawa University, MRT Periodicals, H1 .A55 v. 525 1993;

    "ABSTRACT:  The author argues that when commissions do not include in their analyses major social and political forces that will affect the implementation of their recommendations, their work is incomplete.  The U.S. Sentencing Commission first disregarded these forces and as a result had to redraft its recommendations drastically.  After several twists and turns, it ended up with some creative responses to pressures by the business community.  The commission tried to follow suggestions made on the basis of neoclassical economists; however, these proved to be impossible to implement and in conflict with basic values." (p. 147)

EVANS, T. David, Francis T. Cullen and Paula Dubeck, "Public Perceptions of Corporate Crime",  in Michael B. Blankenship, 1955-, ed., Understanding Corporate Criminality, New York: Garland Publishing, 1993, xxiii, 266 p., at pp. 85-114 (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]...85

Evaluating Corporate Crime...87

The Public View: Seriousness of Corporate and White-Collar Crime...88

Violent Corporate and White-Collar Crime...88
Violations of Trust...91

The Public View: Punishment of Corporate and White-Collar Crime...92

Violent Corporate and White-Collar Crime...92
Violations of Trust...94

Public Response in Context...95

What Is the Public View on Corporate and White-Collar Crime?...97

The Social Context of Public Attitudes Toward Corporate Crime: Shifting Moral Boundaries...98

The Changing Context of Risk: Perception and Acceptability...98

Confidence in Institutions, Risk Perceptions, and the Public's Attitude toward Corporate Crime...102

The Rule of Law and Public Attitudes Toward Corporate Crime...106

Changing Public Conceptions: Implications for Criminal Justice Policy...108

REFERENCES...109

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