updated and corrections / mise à jour et corrections: 8 février 2010
 

- 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 27 September 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

F-K
-----------------------------
see also:

Part/Partie II: Comparative Law/Droit comparé
• A-E
• L-Q
• R-Z

Part/Partie I:  Canadian law / Droit canadien

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

FAIVRE, Pierre, "La responsabilité pénale des personnes morales", (1958) 13 Revue de science criminelle et de droit pénal comparé 547-574; copie à l'Université d'Ottawa, KJJ 0 .R489  Location: FTX Periodicals;

[TABLE DES MATIÈRES]

[INTRODUCTION]...547

I  LES PRINCIPES DU DROIT PÉNAL JUSTIFIANT L'IRRESPONSABILITÉ...550

II  LA JURISPRUDENCE CONTEMPORAINE DÉFEND LE PRINCIPE DE L'IRRESPONSABILITÉ...553

III  EXEMPTIONS LÉGISLATIVES...556

IV  PERSONNES MORALES ET DÉFENSE SOCIALE...565

BIBLIOGRAPHIE RÉDUITE AUX ÉTATS CONTEMPORAINES...573

FASSEUR, "The Criminal Liability of Legal Persons in Netherlands Law",  in INTERNATIONAL CENTRE OF SOCIOLOGICAL, PENAL, AND PENITENTIARY RESEARCH AND STUDIES,  La responsabilita penale delle persone giuridiche in diritto comunitario : atti della conferenza organizzata dal Centro internazionale di ricerche e studi sociologici, penali e penitenziari : Facolta di giurisprudenza, Universita degli studi di Messina : Messina, 30 aprile-5 maggio 1979,  Milano : Giuffre, stampa 1981, xi, 707 p. (series; Pubblicazioni dell'Istituto di scienzegiuridiche, economiche, politiche e socialidella
Universita di Messina; number 121); no copy of this book in Canada according to my verification of the AMICUS catalogue on 15 December 2003;
 

FATINO, John F., "Corporate Compliance Programs: An Approach to Avoid or Minimize Criminal and Civil Liability", (2002) 51 Drake Law Review 81-104; copy at Ottawa University, KFI 4269 .D72  Location: FTX Periodicals;

"Corporate counsel have increasingly found themselves thrust into the role of a criminal defense lawyer. A corporate compliance program is one method of reducing a corporation's exposure to criminal liability. This Article examines the benefits corporate compliance programs bring to corporations and demonstrates the ways these programs minimize corporations' criminal and civil liabilities. This Article analyzes the nature of corporate criminal liability and the responsibility placed upon officers and directors to minimize fines. The Article further analyzes the use of compliance programs in negotiations, trial, sentencing, and civil cases. Counsel will also be alerted to potential problems which may arise through the use of a corporate compliance  program. Finally, the Article discusses the ethical responsibilities of corporate counsel regarding contact with potential witness/'target' defendant employees." (source:  http://www.law.drake.edu/students/organizations/lawReview/51-1abst.html, accessed on 16 June 2004);

FAUCONNET, Paul, La responsabilité: étude de sociologie, Paris: Librairie Félix Alcan, 1928, xxvi, 400 p. (Collection; Travaux de l'année sociologique publiés sous la direction de M. Marcel Mauss, fondateur: Émile Durkheim); disponible à http://classiques.uqac.ca/classiques/fauconnet_paul/la_responsabilite/la_responsabilite.html (vérifié le 17 mai 2008);
 

[p. 339]   "L’examen de quelques faits contemporains fait apparaître la multiplicité des forces sociales qui accélèrent ou retardent l’individualisation de la responsabilité.  Nos sociétés poussent plus loin qu’aucune autre avant elles le culte de la personne  humaine.  Et cependant nous voyons notre moralité et notre droit s’ouvrir à des formes nouvelles de l’idée d’une responsabilité communicable.  Formes et applications nouvelles, disons-nous.  Car il ne s’agit ni de survivances, ni de retours vers le passé.

    En premier lieu, la responsabilité pénale des associations, fondations, syndicats, bref de ce que les juristes appellent des "personnes morales", semble à la veille de s’introduire et de s’épanouir dans nos législations¹.  Les jurisconsultes, suivant la tradition romaine, enseignaient, jusqu’à ces dernières années, que ces personnes morales sont des fictions juridiques et ne sauraient, comme telles, se rendre coupables de délits.  Ils approuvaient donc la loi et la jurisprudence qui ne les déclarent jamais pénalement responsables.  Mais la théorie de la fiction est désormais insoutenable.  Nous sommes aujourd’hui tout pénétrés de cette idée que les groupes sociaux ont une conscience, donc une personnalité et une volonté distinctes de celles de leur membres.  Il n’y a donc aucune raison théorique pour qu’on leur refuse l’aptitude à délinquer.  Et comme,
------
1. Mestre, Les personnes morales et le problème de leur responsabilité pénale, Paris, 1899, notamment pp. 275 sqq.
 

[p. 340] d’autre part, les associations de toute nature ont repris dans les sociétés contemporaines un rôle important, il est de plus en plus nécessaire de reconnaître, comme contre-partie à la liberté et aux droits toujours plus étendus que nous leur accordons, leur responsabilité pénale.  Aussi un mouvement doctrinal très important, dont on peut prévoir qu’il entraînera la jurisprudence et la législation, s’est-il produit en Allemagne, puis en France, dans les dernières années du XIX^e siècle.  On propose de déclarer les personnes morales pénalement responsables et de leur appliquer les diverses peines comminées contre l’individu, sous réserve des modifications nécessaires : celles qui les frapperaient dans leur vie (dissolution), dans leur liberté (bannissement, interdiction de séjour), dans leurs droits civils et politiques, dans leur considération et surtout dans leur patrimoine.  Les défenseurs de ce système cherchent volontiers, dans la responsabilité collective des groupes domestiques et territoriaux, telle que le droit pénal l’a connue autrefois, un précédent et une justification¹.  La responsabilité moderne des personnes morales serait une sorte de retour à une tradition ancienne.  Mais il y a là une assimilation de choses en réalité très différentes.  La doctrine qui reconnaît l’aptitude de l’être collectif à délinquer veut en effet que la peine frappe, pour son délit, la personne morale comme telle, et non les individus qui la composent.  On pourra dissoudre l’association, on ne condamnera pas à mort un quelconque, plusieurs, ou la totalité des membres.  On confisquera le patrimoine social, mais si les cotisants ou actionnaires sont ainsi indirectement atteints, leur patrimoine propre, non engagé dans les affaires de l’association, reste à l’abri de toute atteinte, même si la personne morale est insolvable.  Ainsi, contrairement aux règles anciennes, la responsabilité du groupe et celle des individus
------
1 Cf. Mestre, op. cit., Append. II, p. 304 : responsabilité pénale des communes sous l’empire de la loi du 10 vendémiaire an IV; Appendix. III, p. 308 : Responsabilité collective en Algérie.
 

[p. 341]  sont soigneusement distinguées.  Il y a là, si l’on veut, un nouvel aspect de la responsabilité collective, mais aussi une application conséquente du principe de la responsabilité individuelle.  C’est parce que le groupe est un individu, que sa responsabilité se superpose à celle des individus composants.  Il serait injuste de punir les présidents et les administrateurs pour des fautes qui sont celles de l’association.  Bien loin qu’on soit ici indiférent à l’incidence de la peine, on raffine pour distinguer les individualités les unes des autres.  Cette responsabilité est bien "collective".  Mais on voit qu'elle est aussi individuelle, puisqu'elle n'a été reconnue que le jour où la personnalité des groupes a cessé d'être tenue pour une fiction.  L'histoire des efforts faits par la doctrine, pour élaborer cette notion nouvelle, témoigne de son originalité."

FAURE, Michael, "Criminal Responsibilities of Legal and Collective Entities: Developments in Belgium",  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. 105-112 (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_S78/7-SUBJN-2.pdf (accessed on 13 December 2003);
 

FAURE, Michael G., 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., available at http://europa.eu.int/comm/environment/crime/criminal_penalties1.pdf (accessed on 18 June 2004);
 

FEINBERG, Joel, 1926-, Doing and Deserving, Princeton, N.J. : Princeton University Press, 1970, xi, 299 p., 0691071705; see Chapter 9, "Collective Responsibility, at pp. 244-251; copy at Ottawa University, MRT General: BJ 1451 .F43 1970;
 

FEKI, Nejib, La responsabilité pénale des personnes morales : mémoire présenté en vue de l'obtention du D.E.A. des sciences criminelles, [Tunis] : [Université de Tunis], 1984, 104 p.; titre noté dans mes recherches mais  non consulté; selon ma vérification du catalogue AMICUS, il n'y aucune bibliothèque qui possède ce mémoire au Canada (vérification du 7 mars 2004);
 

FEENSTRA, "L'histoire des Fondations", (1956) 24 Tijdschrift voor rechtsgeschiedenis / Revue d'histoire du droit 411; title noted in my research but article not consulted; copy at Université McGill, Bibliothèque de droit Nahum Gelber/McGill University, Nahum Gelber Law Library;
 

FERGUSON, P.W., "Corporate Culpable Homicide" (28 May 2004, issue 16) Scots Law Times (Articles)  97-101; "The writer discusses corporate culpable homiicde and the issues highlighted in the recent decision of Transco Plc v HM Advocate" (p. 97); copy at the Supreme Court of Canada Library;
 

FERNANDEZ, Miguel Bayo, "Espagne : Rapport national", (1983) 54(1-2) Revue internationale de droit pénal / International Review of Penal Law 215-227, voir les pp. 223-224 (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);
 

FERNANDEZ YOUNG, Anita and Robert Young, Corporate social responsibility : the effects of the Federal Corporate Sentencing Guidelines on a representative self-interested corporation, International Centre for Corporate Social Responsibility, Nottingham University Business School, Nottingham University, 2003, 27 p. (series; Research paper series / International Centre for Corporate Social Responsibility; ISSN: 1479-5124; no. 10-2003); copy available at http://www.nottingham.ac.uk/business/ICCSR/10-2003.PDF (accessed on 7 June 2004);

"Abstract
There continues to be increasing public and governmental concern regarding business ethics and corporate social responsibility (CSR). One dimension of the response to such concern is the introduction of law intended positively to induce socially responsible conduct as well as deter irresponsible behaviour. The Federal Corporate Sentencing Guidelines (FCSG) are a relatively well established instance of such law. In this paper, we consider the effects that the principal provisions of the FCSG would have on a hypothetical rational self-interested firm. By this device, we deduce what sorts of conduct are invited by the FCSG and what sorts are deterred.  In assuming that the firm is rational, we embody the express intent of the FCSG to influence the conduct of firms in general. In taking our hypothetical firm to be selfinterested, we isolate the effects of the FCSG from other motives to participation in CSR activities." (source: ttp://www.nottingham.ac.uk/business/ICCSR/10-2003.PDF, accessed on 7 June 2004)

FERRIER, Bernard, "Une grave lacune de notre démocratie: L''irresponsabilité des personnes administratives", (1983) Revue de science criminelle et de droit comparé 395-408; copie à l'Université d'Ottawa, KJJ 0 .R489  Location: FTX Periodicals; copie à la Bibliothèque de la Cour suprême du Canada;
 

FIEBERG, Gerhard, "National Developments in Germany: An Overview", 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. 83-88 (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_S78/7-SUBJN-2.pdf (accessed on 13 December 2003);
 

FIELD, Stewart and Nico Jörg, "Corporate Manslaughter and Liability: Should we be going Dutch?", [1991] The Criminal Law Review 156-188; copy at Ottawa University, KD 7862 .C734  Location:  FTX Periodicals;

"Summary: Examining the causes of recent transport disasters, this article argues that existing Anglo-Welsh doctrine in Corporate Liability is inappropriate and thus ineffective in regulating unsafe corporate practices.  Recent Dutch development of organisational criteria for liability points the way forward in stressing responsibility for collective processes rather than individual acts." (p. 156)

FINANCIAL ACTION TASK ON MONEY LAUNDERING (FATF), "The Forty Recommendations (2003)",  available at http://www.fatf-gafi.org/ (accessed on 7 January 2004) and  http://www1.oecd.org/fatf/40Recs_en.htm (accessed on 13 July 2004); also available in French / aussi disponible en français: GROUPE D'ACTION FINANCIÈRE SUR LE BLANCHIMENT DE CAPITAUX (GAFI), "Les quarantes Recommandations (1983), disponible à http://www.fatf-gafi.org/index_fr.htm (visionné le 7 janvier 2004) et  http://www1.oecd.org/fatf/40Recs_fr.htm (visionné le 13 juillet 2004);

"THE FORTY RECOMMENDATIONS   20 June 2003
......

A. LEGAL SYSTEMS
Scope of the criminal offence of money laundering ...

2. Countries should ensure that: ...

b) Criminal liability, and, where that is not possible, civil or administrative liability, should apply to legal persons. This should not preclude parallel criminal, civil or administrative proceedings with respect to legal persons in countries in which such forms of liability.  Legal persons should be subject to effective, proportionate and dissuasive anctions. Such measures should be without prejudice to the criminal liability of individuals." (source: http://www.fatf-gafi.org/pdf/40Recs-2003_en.pdf )

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

"LES QUARANTE RECOMMANDATIONS   20 juin 2003
[...]

A. SYSTEMES JURIDIQUES
Champ d’application de l’infraction de blanchiment de capitaux
[...]

2. Les pays devraient s'assurer que : [...]

b) La responsabilité pénale, et si ce n'est pas possible, la responsabilité civile ou administrative devrait s'appliquer aux personnes morales. Ceci n’exclut pas, le cas échéant, les poursuites parallèles, qu’elles soient pénales, civiles ou administratives à l’encontre de personnes morales dans les pays où ce type de responsabilité est prévu par la loi. Les personnes morales devraient pouvoir faire l’objet de sanctions efficaces, proportionnées et dissuasives. Ces mesures ne
devraient pas porter atteinte à la responsabilité pénale des personnes physiques." (source:  http://www.fatf-gafi.org/pdf/40Recs-2003_fr.PDF, visionné le 7 janvier 2004)
 

FINLAND/FINLANDE, The Penal Code of Finland, see Chapter 9 available at  http://www.finlex.fi/pdf/saadkaan/E8890039.PDF (accessed on 25 June 2004);
 

FIORELLI, Paul E., "Guidelines amendments dramastically change the structure of organizational fines", (1992) 35(2) The Catholic Lawyer 181-197; copy at the University of Ottawa,  KF 300 .A1 A374,  Location FTX Periodicals;
 

__________"Will U.S. Sentencing Commission Amendments Encourage a New Ethical Culture Within Organizations?", (2004) 39(3) Wake Forest Law Review 565-586; copy at Ottawa University, KFN 7469 .W35  Location: FTX Periodicals;
 

FIORELLI, Paul E, Cynthia J. Rooney, Institute of Internal Auditors. Research Foundation, Federal sentencing guidelines : a guide for internal  auditors, Altamonde Springs, Fla. : Institute of Internal Auditors Research Foundation, c1996, xi, 115 p., ISBN:  0894133616; title noted in my research but document not consulted; no copy of this book in the Ottawa area librairies covered by the catalogue of Library and Archives Canada, AMICUS (verification of 15 June 2004);
 

FIRST, Harry, "General Principles Governing the Criminal Liability of Corporations, Their Employees, and Officers", in Otto G. Obermaier and Robert G. Morvillo, eds., White Collar Crime: Business and Regulatory Offenses, New York (New York): Law Journal Seminars-Press, 1990, 2 v. (looseleaf) (series; Litigation series); title noted in my research but article not consulted; no copy of this book in the Canadian libaries covered by the catalogue AMICUS of Library and Archives Canada (verification of 4 July 2004);
 

FISCHEL, Daniel R. and Alan O. Sykes, "Corporate Crime", (1996) 25 Journal of Legal Studies 319-349; copy at Ottawa University, KF 262 .J654  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada, Ottawa;

[Contents]

[INTRODUCTION]...319

I. THE ECONOMICS OF CORPORATE CRIMINAL
    LIABILITY...321

A. Individual Crime, Corporate Crime, and Optimal Internal
    Monitoring...322
B. Some Caveats and Clarifications...325
C. Negligence-Based Liability -- Penalties for Failure to
    Monitor Properly...327
D. Government as prosecutor or Plaintiff?...330

II. CORPORATE CRIMINAL LIABILITY IN PRACTICE...333

A. The Erosion of the Common-Law Rule...333
B. Recent Developments...337
C. The Sentencing Guidelines...343

1. The Unconditional Deterrence Paradigm...344
2. Lack of Coordination of Penalties...344
3. The Focus on Gains...345
4. Lack of Focus on the Underdetection
    Problem...345

D. Assessment...346

III. A NOTE ON VICARIOUS PUNITIVE LIABILITY...348

FISHER, Spencer R., "CORPORATE CRIMINAL LIABILITY", (Spring 2004) 41(2) American Criminal Law Review 367-395; note: part of the 19th survey if white collar crime; copy at the Library of the Supreme Court of Canada, Periodicals;

[CONTENTS]

I. INTRODUCTION...368

II. THE LAW OF CORPORATE CRIMINAL LIABILITY...369

A. Corporations are Only Liable for the Acts of Employees if the
     Employees are Acting Within the Scope and Nature of Their Employment...370

B. A Corporation Will Not be Liable for the Acts of its Employees Unless Those
    Actions are Designed to Benefit the Corporation...373

C. To Hold a Corporation Liable for the Acts of its Employees, a Court Must
     Impute the Intent of the Individuals to the Corporation...374

1. Conspiracies...374
2. Mergers, Dissolutions, and Liability...375
3. Misprison of Felony...375
4. The Wilful Blindness Doctrine...376
5. The Collective Knowledge Doctrine...377

III. ORGANIZATIONAL SENTENCING GUIDELINES...377

A. Introduction: Purpose and Scope of the Organizational Guidelines...377

1. Controls on Prosecutorial Discretion...378
2. Promulgation of the Organizational Sentencing Guidelines...379
3. General Principles...379
4. Organizations Covered by Chapter 8 of the Guidelines...379
5. Purpose and Effect of the Organizational Guidelines...380
6. Case Law Concerning the Organizational Guidelines...381

B. Guidelines Provisions: Offenses Covered and Sanctions Permitted...382

1. Remedies...382
2. Probation...383
3. Imposition of Fines...384

a. Base Offense Level...386
b. Base Fine...386
c. Culpability Score...386

i. Calculation: Increasing Factors...387
ii. Calculation Decreasing Factors...388
(1) Effective Corporate Compliance Programs...389
(2) Cooperation...392

d. Multipliers...393
e. Disgorgement...393
f. Implementation...394
g. Departures...395"     (pp. 367-368)

FISSE, Brent, "The Attribution of Criminal Liability to Corporations: A Statutory Model",  (1991) 13 Sydney Law Review 277-297; copy at the Library of the Supreme Court of Canada; not at Ottawa University;
 

___________"Community Service as a Sanction Against Corporations", (1981) Wisconsin Law Review 970-1017; copy at Ottawa University, KFW 2469 .W57  Location: FTX Periodicals;

[CONTENTS]

I   INTRODUCTION...970

II  EXISTING FORMS OF COMMUNITY SERVICE AS A SANCTION AGAINST CORPORATIONS...971

A. Community Service as a Condition of Probation...971
B. Community Service as a Condition of Sentence...973
C. Community Service as a Condition of Non Prosecution...977

III  COMMUNITY SERVICE ORDERED AGAINST CORPORATIONS...978

1. Basic provision...978
2. Quantitative and temporal limits...981
3. Community service projects...983
4. Pre-service and compliance reports...985
5. Compliance and non-compliance...987

IV  ILLUSTRATION...990

A. Sentence Against Allied Chemical: A Different Scenario...990
B. Sentence Against City of Hopewell: Another Scenario...993
C. Pre-service Report by Allied Chemical...995

V ASSESSMENT OF POTENTIAL ADVANTAGES AND DISADVANTAGES...1001

A. Potential Advantages...1001
B. Potential Disadvantages...1008

VI CONCLUSION...1016

___________"Consumer Protection and Corporate Criminal Responsibility: responsibility: A critique of Tesco Supermarkets v. Nattrass", (1971-72) 4 Adelaide Law Review 113-129; copy at Ottawa University, KTA 0 .A35  Location: FTX Periodicals;

[Contents]

[Introduction]...113

1. Tesco Supermarkets v. Nattrass...113

2. Some Implications...115

A. The Purposes of Corporate Criminal Responsibility...115

(i) Difficulty of Locating Guilty Individual Officers and
     Employees...116
(ii) Guilty Officers will be Replaced if the Corporate Employer is
      not also Responsibile...116
(iii) Organizational Loyalty...116
(iv) Avoidance of Harsh Approaches to Individual
      Responsibility...116
(v) Corporate Rehabilitation or Reformation...117
(vi) Foreign Corporations...117
(vii) Public Information...117
(viii) Recovery of Profits from Illegal Operations...118

B. What are "Management Functions"?...119

C. Interrelationship Between Primary, Vicarious, and Corporate Criminal
     Responsibility...123

(i) Relationship Between Primary Individual Responsibility and
    Corporate Responsibility...123
(ii) Relationship Between Vicarious and Corporate Responsibility...126

3. Some Suggestions...127

A. The Purposes of Corporate Criminal Responsibility...127

B. "Management Functions"...128

C. Interrelationship Between  Primary, Vicarious, and Corporate Criminal
    Responsibility...128

(i) Relationship Between Primary Individual Responsibility and Corporate
    Responsibility...128
(ii) Relationship Between Vicarious and Corporate Responsibility...129

4. A Conclusion...129

___________"Controlling Governmental Crime: Issues of Individual and Collective Liability", 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. 121-143  (series; Proceedings / AIC Seminar, ISSN: 0813-7005; no. 17), ISBN: 0642115400; copy at the Library of Parliament, Ottawa, JQ 4024 G69;

[CONTENTS]

I. INTRODUCTION...122

II CONTROLLING ORGANIZATIONAL WRONGDOING: THE
    FOLKLORE OF INDIVIDUALISM...122

III CONTROLLING GOVERNMENT WRONGDOING: THE FOLKLORE
     OF GOVERNMENTAL ORGANISATIONAL IMMUNITY FROM
     CRIMINAL LIABILITY...130

IV CONCLUSION...137

REFERENCES...139

___________"Corporate Criminal Responsibility", (1991) 15(3) Criminal Law Journal 166-174; copy at Ottawa University, KTA 0 .C735  Location: FTX Periodicals;

[Contents]
Introduction...166
(1) Organisational Blameworthiness...168
(2) Tesco Preserved in an Extended and Ill-defined Manner...169
(3) "Communication" as an Unprincipled and Capricious Basis of Liability...171
Conclusion...173

___________"Criminal Law and Consumer Protection", in A.J. Duggan and L.W. Darvall, eds., Consumer Protection : Law and Theory, Sydney: The Law Book Company, 1980, x, 269 p., at pp. 182-199, ISBN: 0455201331; copy at Ottawa University, FTX General: KF 1600 .C58;

[CONTENTS]

1. INTRODUCTION...182

2. RELATIONSHP BETWEEN CORPORATE AND INDIVIDUAL
    CRIMINAL RESPONSIBILITY...182

3. CORPORATE FAULT...186

4. SANCTIONS AGAINST CORPORATIONS...190

5. CRIMINAL LAW AND INTERNAL CORPORATE AFFAIRS...194

6. CONCLUSION...199

___________"The Distinction Between Primary and Vicarious Corporate Criminal Liability", (1967-68) 41 Australian Law Journal 203-210; copy at Ottawa University, KTA 0 .A95  Location: FTX Periodicals;

[Contents]

[Introduction]...203

Should a Distinction be Drawn Between Primary and Vicarious
    Corporate Criminal Liability?...205

Nature of Distinction Between Primary and Vicarious Corporate
    Responsibility...207

Conclusion...209
 

[CONTENTS]

[INTRODUCTION]...69

REASONS FOR CORPORATE AS WELL AS INDIVIDUAL
CRIMINAL LIABILITY...69

Organizational Secrecy...70
Number of Suspects...71
Corporate Profit Motive...72
Expendability of Personnel...73
Personnel Beyond Jurisdiction...74
Offenses Defined by Reference to Corporate Status...75
Corporate Negligence...75
Corporate Intentionality...77
Surrogate Liability...79

REASSESSING THE CAPABILITY OF INDIVIDUAL LIABILITY...80

CONCLUSION...82

REFERENCES...83

CASES...84

___________Howard's Criminal Law, 5th ed., Sydney: Law Book Company, 1990, cxxiii, 660 p., see Chapter 7, "Corporate Criminal Liability", at pp. 589-621, ISBN: 9455207321 and 045520733X (pbk.);

[Contents]

Chapter 7
CORPORATE CRIMINAL LIABILITY

A. INTRODUCTION...589
B. ATTRIBUTION OF CORPORATE RESPONSIBILITY...599
C. CORPORATE OFFENCES...608
D. CORPORATE DEFENCES...615
E. ALLOCATION OF INDIVIDUAL AND CORPORATE RESPONSIBILITY...617

___________"Individual and Corporate Criminal Responsibility and Sanctions Against Corporations", in Richard Johnstone, ed., Occupational Health and Safety Prosecutions in Australia: Overview and Issues, Parkville : Centre for Employment and Labour Relations Law, University of Melbourne, 1994, x, 120 p.at p. 100 (series; Centre for Employment and Labour Relations Law Occasional Monograph Series; vol. 1), ISBN: 0732508134; title noted in my research but article not consulted; no copy of this book in the Ottawa area libraries covered by the AMICUS catalogue of Library and Archives Canada (30 May 2004);
 

__________"Recent developments in corporate criminal law and corporate liability for monetary penalties", (1990) 13(1) University of New South Wales Law Journal 1-41; copy at Ottawa University, KTA 0 .U45  Location: FTX Periodicals;

[CONTENTS]

I  INTRODUCTION...1

II  THE ENVIRONMENTAL OFFENCES AND PENALTIES ACT 1989 (N.S.W.)...2

A. UNWORKABILITY OF THE COMMON LAW BASIS OF CORPORATE
     LIABILITY...2
B. SWEEPING AND UNPRINCIPLED CORPORATE OFFICER LIABILITY...5
C. LIMITATION OF THE MILLION DOLLAR CORPORATE FINE STRATEGY...7

III  THE GIBBS COMMITTEE PROPOSALS...11

A. ORGANIZATIONAL BLAMEWORTHINESS...13
B.  TESCO PRESERVED IN AN EXTENDED AND ILL-DEFINED MANNER...18
C. "COMMUNICATION" AS AN UNPRINCIPLED AND CAPRICIOUS BASIS OF
     LIABILITY...19
D. "INTENTION TO HARM" OR "CONCEAL HARM" AS AN EXCESSIVE
     RESTRICTION...22

IV  THE MENTAL ELEMENT OF PRESCRIBED INTEREST OFFENCES...23

V  THE NEW OFFENCE OF SMURFING...29

VI  THE TOSHIBA DEED...33

VII  ASSESSMENT OF FINES MONETARY PENALTIES AGAINST CORPORATIONS...36
 

"TABLE OF CONTENTS [...1141]

[INTRODUCTION...1143]

I.  DETERRENCE AS A JUSTIFICATION FOR CORPORATE CRIMINAL
    LIABILITY...1145

A. DETERRENT VALUE OF CRIMINAL STIGMA...1147

1. Corporations as Blameworthy Agents...1148
2. 'Unwantedness' of Corporate Crimes...1150
3. Corporate Stigma...1152

B. NONFINANCIAL VALUES IN ORGANIZATIONAL DECISIONMAKING
    AND DETERRENT PUNISHMENT...1154

C. DETERRENCE AS A CATALYST FOR REHABILITATION AND
     INCAPACITATION...1159

1. Crime Prevention Policies...1160
2. Internal Disciplinary Controls...1161
3. Crime-Preventive Standard Operating Procedures...1162
4. Catalytic Deterrence and Punitive Injunctions...1164
5. Catalytic Deterrence and Individual Accountability...1165

D. CONCLUSION REGARDING DETERRENCE...1166

II. RETRIBUTION AS A JUSTIFICATION FOR CORPORATE CRIMINAL
     LIABILITY...1167

A. JUSTICE AS FAIRNESS AS THE BASIS FOR CORPORATE
    RETRIBUTION...1169

1. The Nature of Corporate Unfair Advantage...1170
2. Retributive Justice as Fairness and Inequality of Welfare...1171
3. Retributive Justice and 'Sunk Costs'...1172

B.  JUSTICE AS FAIRNESS AND THE DISTRIBUTION OF PUNISHMENT
     TO INNOCENT ASSOCIATES...1173

C. JUSTICE AS FAIRNESS AND 'MORAL OFFENSES'...1176

D. FAIRNESS-BASED RETRIBUTION AS A GOAL CONCURRENT
    WITH DETERRENCE...1180

1. Incompatibility of the Goals of Retribution and Deterrence...1180
2. Inequality of Welfare...1182

E. CONCLUSION REGARDING RETRIBUTION...1183

III.  CORPORATE FAULT....1183

A. THEORIES OF CORPORATE MENS REA...1185

1. Managerial Mens Rea...1186
2. Composite Mens Rea...1189
3. Strategic Mens Rea...1190

B. VICARIOUS LIABILITY AND REACTIVE CORPORATE FAULT...1192

1. Vicarious Liability...1192
2. Reactive Corporate Fault...1195

C. REACTIVE CORPORATE FAULT AND ATTITUDES TOWARD
     IRRESPONSIBLE CORPORATE REACTIONS...1197

D. REACTIVE CORPORATE FAULT AS A LEGAL CONCEPT:
     TOWARD A WORKABLE PROPOSAL...1201

1. A Suggested Framework...1202

a. Definition of reactive corporate fault...1202
b. Application to substantive offenses...1203
c. Reactive duties...1204

2. Some Practical Considerations...1206

a. Proving corporate mens rea...1206
b. Due diligence defense...1207
c. Leniency toward corporations...1209
d. Harshness toward corporations...1211
e. Interaction of civil and criminal regulation...1211

E. CONCLUSION REGARDING CORPORATE FAULT...1213

IV.  SANCTIONS AGAINST CORPORATIONS...1213

A. LIMITATIONS OF FINES AGAINST CORPORATIONS...1215

1. Failure of Fines to Correspond with the Goals of Deterrence and Retribution...1216
2. The 'Deterrence Trap' and the 'Retribution Trap'...1217
3. Injustice...1219

B. GOAL-DERIVED SANCTIONS AGAINST CORPORATIONS...1221

1. Managerial Intervention...1221
2. Community Service Orders...1226
3. Adverse Publicity...1229
4. Redress Facilitation...1231
5. Equity Fines...1233

C. THE POTENTIAL OF GOAL-DERIVED CORPORATE SANCTIONS FOR
    OVERCOMING THE LIMITATIONS OF FINES...1234

1. Equity Fines...1235
2. Managerial Intervention...1237
3. Community Service, Adverse Publicity, and Redress Facilitation...1238

D. CONCLUSION REGARDING SANCTIONS AGAINST CORPORATIONS...1243

CONCLUSION...1243 (pp. 1141-1143)

___________"Responsibility, Prevention, and Corporate Crime", (1972-73) 5 New Zealand Universiies Law Review 250-279;

[Contents]

[INTRODUCTION]...250

I.  LIMITATIONS OF EXISTING APPROACHES TO CORPORATE
    CRIMINAL RESPONSABILITY...250

A. Corporate Sanctions...251

1. Fines...251
2. Dissolution and related sanctions...252
3. Formal Publicity sanctions...253

B. Corporate Responsibility...253

1. Identification theory...254
2. Vicarious responsibility...255
3. Rule-making offences...256
4. Ratification...256
5. Government agencies and corporations...258
6. Unincorporated associations...259

C. Individual Responsibility...260

1. Direct responsibility...261
2. Composite responsibility...263

D. Enforcement Methods, Sentencing...263

1. Enforcement...264
2. Sentencing...264

II.  TOWARDS PREVENTION...265

A. Prevention Orders...266

1. Nature of orders...266
2. Threshold requirements and discretion...269
3. Consequences of breach...272
4. Procedure, evidence, and ancillary matters...273

B. Advantages...273

1. Corporate sanctions...273
2. Corporate responsibility...274
3. Individual responsibility...275
4. Enforcement methods, sentencing...276

C. Objections...276

1. Excessive judicial discretion...276
2. Injunctive proceedings and crime...277
3. Reactions to Wotton' theory...277
4. Expertise, supervision, and enforcement...278

D. Conclusion...279

____________"Rethinking Criminal Responsibility in a Corporate Society: An Accoutability Model", in Peter Grabosky and John Braithwaite, eds., Business Regulation and Australia's Future, Canberra, ACT: Australian Institute of Criminology, c1993, xi, 274 p. at chapter 18, pp. 255-268, (series; Australian studies in law, crime, and justice), ISBN 0642184534; note: "Papers presented at a conference on the future of regulatory enforcement in Australia, convened by the Australian Institute of Criminology and the Australian National University, Sydney, March 1992" (information from AMICUS catalogue); article available at  http://www.aic.gov.au/publications/lcj/business/chap18.pdf (accessed on 6 June 2004);
 

___________"Sentencing Options Against Corporations", (1990) 1 Criminal Law Forum 211-258;

[CONTENTS]

INTRODUCTION...211

LIMITATIONS OF MONETARY SANCTIONS...214

Limited Punitive Impact...214
Devaluation of the Gravity of Corporate Crime...219
Compromise of Individual Accountavility...221
Nonassurance of Responsive Corporate Reform...225
Loss Minimization via Subsidiaries...226
Spillovers...228

ALTERNATIVE SANCTIONS AND THEIR POTENTIAL FOR
OVERCOMING THE LIMITATIONS OF FINES AND MONETRARY
PENALTIES...229

Stock Dilution (Equity Fines)...230
Probation and Punitive Injunctions...233
Adverse Publicity...239
Community Service...244
Concluding Remarks on the Use of Nonmonetary Alternative
Sanctions...249

CONCLUSION: REACTIVE FAULT AND SENTENCING OPTIONS
AGAINST CORPORATIONS...251

___________"The Social Policy of Corporate Criminal Responsibility", (1978) 6(3) The Adelaide Law Review 361-412; copy at Ottawa University, KTA 0 .A35  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada;

[Contents]

1. Introduction...361

(i) Terminology and Scope...362
(ii) Founts of Explanation...363

(A) COLLECTIVE RESPONSIBILITY...363
(B) CORPORATE PERSONALITY...364
(C) JURISTIC PERSONALITY...365
(D) VICARIOUS LIABILITY...366
(E) EMPIRICAL STUDIES...366
(F) COMPARATIVE LAW...367
(G) MODELS OF CORPORATE
      DECISION-MAKING...367
(H) INFORMED JUDGMENT...369

2. Deterrence...370

(i) Organizational Secrecy...371
(ii) Number of Suspects...372
(iii) Corporate Negligence...373

(A) COMMUNICATION BREAKDOWNS...374
(B) TACIT OPERATION OF AUTHORITY...375
(C) GROUP PRESSURES TO CONFORM...376

(iv) Corporate Profits...377
(v) Corporate Surrogates of Responsibility...378
(vi) Corporate Offences...380
(vii) Corporate Personnel Beyond Jurisdiction...380

3. Internal Discipline...382

(i) Evolution...382
(ii) Present-day Relevance of Internal Discipline as an Aim of
     Corporate Criminal Responsibility...384
(iii) Reasons for Using Corporate as well as Individual Criminal
      Responsibility...386

4. Specific Prevention...386

(i) Significance of a preventive Philosophy of Corporate Crime...386
(ii) Particular Specific Preventive Aims of Corporate Criminal
     Responsibility...387

(A) SPECIFIC PREVENTION AS A CONDITION OF
      NON-PROSECUTION...387
(B) SPECIFIC PREVENTION AS A CONDITION OF PROBATION
      OR CONDITIONAL DISCHARGE...388
(C) SPECIFIC PREVENTION AS A CONDITION OF DEFERMENT
      OR REDUCTION OF SENTENCE...388
(D) SPECIFIC PREVENTION AS A CONDITION OF A
      MANDATORY INJUNCTION OR PREVENTIVE ORDER...389
(E) SPECIFIC PREVENTION AND LINES OF INDIVIDUAL
      ACCOUNTABILITY WITHIN ORGANIZATIONS...389

(iii) Reasons for Using Corporate as well as Individual Criminal
       Responsibility...390

5. General Prevention...391

(i) Socialization...391

(A) ORGANIZATIONAL CONDITIONS CONDUCIVE TO
       CORPORATE CRIME...391
(B) AGGREGATE OR LONG-TERM CORPORATE HARMS...392
(C) INSIDIOUS EFFECT OF UNDESERVEDLY GOOD
      CORPORATE REPUTATIONS...394

(ii) Maintenance of Respect for Law...394

(A) LEGITIMATION OF DEVIANCE...394
(B) UNFAIR DISCRIMINATION...395

(iii) Habit Building...396
(iv) Provision of a Rationale for Conformity...397

6. Compensation, Restitution and Restoration...397

(i) Corporate Offence as Basis of Liability...398

(A) COMPENSATION...398
(B) RESTITUTION...399
(C) RESTORATION...399

(ii) Multiple victims and limitations of class actions...400

(A) COMPENSATION...400
(B) RESTITUTION...401
(C) RESTORATION...402

(iii) Public Harms...402

(A) COMPENSATION...403
(B) RESTITUTION...404
(C) RESTORATION...404

(iv) Remedial Expediency...405

7. Retribution...405

8. Public Information...408

9. Conclusion...409

___________"The Use of Publicity as a Criminal Sanction Against Business Corporations", (1971-72) 8 Melbourne University Law Review107-150; copy at Ottawa University, KTA 0 .M454  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada, Ottawa;
 

[CONTENTS]

[INTRODUCTION]...107

1.  EXAMPLES OF PUBLICITY AS A SANCTION...110

(a) England...110
(b) Australia and New Zealand...112
(c) U.S.A....115

2.  AN ENQUIRY INTO PURPOSES...117

3.  THE FORM OF PUBLICITY SANCTIONS...119

(a) Lowering Prestige...120
(b) Inflicting Monetary Loss...122
(c) Inducing Government Intervention...123
(d) Supplementary Purposes...124

(i) NOTIFYING PROSPECTIVE OFFENDERS OF PENALTIES...124
(ii) WARNING CONSUMERS...125
(iii) EDUCATING AND MORALIZING...125

4. PROBLEMS OF PERSUASION...126

(a) D's Favourable Characteristics...127
(b) Methods of Persuasion...128
(c) Nature of Corporations and Corporate Criminal Liability...130
(d) Type of Offence...131

5. COUNTER-PUBLICITY...133

(a) Examples of Counter-Publicity...133
(b) Methods of Persuasion...135
(c) Publicity Sanctions, The Fine, and Counter-Publicity...138

6. UNCERTAINTY, FISCAL LOSS, AND GENERAL DISADVANTAGES...139

(a) Uncertainty...139
(b) Financial Loss...141
(c) General Disadvantages...141

7. EVALUATION...142

Publicity, Sanctions and Deterrence...142

(i) TOWARDS A 'LIMITED PUBLICITY SANCTION'...142
(ii) LIMITED PUBLICITY SANCTIONS, PROBLEMS OF PERSUASION, AND COUNTER-PUBLICITY...144
(iii) DISADVANTAGES OF A LIMITED PUBLICITY SANCTION...144
(iv) LIMITED PUBLICITY SANCTIONS AND SUPPLEMENTARY PURPOSES...145
(v) THE FORM OF A LIMITED PUBLICITY SANCTION...146

8. CONCLUSION...148

FISSE, Brent, and John Braithwaite, "The Allocation of Responsibility for Corporate Crime: Individualism, Collectivism and Accountability", (1986-88) 11 Sydney Law Review 468-513; copy at the Library of the Supreme Court of Canada; year missing at Ottawa University;

[Contents]

I  Introduction: Contemporary Problems of Accountability for
    Corporate Crime...468

II  Individualism as a Strategy for Allocating Responsibility for
     Corporate Crime...474

III  Methodological Individualism, Corporate Action and Corporate
      Responsibility...475

A. Methodological individualism and corporate action...476
B. Methodological individualism and corporate responsibility...476

IV Deterrence, Corporate Conduct, and Responsibility...488

A. Deterrence and choice...488
B. Deterrence and theories of corporate action...490
C. Deterrence and corporate reform...492
D. Deterrence and the limits of individual liability...494
E. Deterrence and sanctions against corporations...499

IV [sic]  Retribution and Allocation of Responsibility for
    Corporate Crime...502

A. Retribution, responsibility and desert...503
B. Defining Corporate fault...504
C. Retribution and desert in distribution...507

V [sic] Conclusion: Responsibility, Crime, and Enforced Accountability...510

___________Corporations, Crime and Accountability, Cambridge: Cambridge University Press, 1994, vi, 279 p., ISBN: 05214413070, and 0521459230; copy at Carleton University, Ottawa, Floor 4, K5069.F57 (copy not on the shelves, 25 July 2004 and 13 September 2004); copy at Solicitor General Canada, Ministry Library and Reference Centre/Solliciteur général Canada, Bibliothèque ministérielle et centre de référence; not at Ottawa University;

"Contents

Preface...vii
Abbreviations...viii

1  Crime, Responsibility and Corporate Society...1

- Contemporary Problems of Accountability for Corporate Crime...1
- Why Accountability for Corporate Crime is Important...12
- Toward Accountability for Corporate Crime...15

2  Individualism...17

- Individualism as a Strategy for Allocating Responsibility for Corporate Crime...17
- Methodological Individualism, Corporate Action and Corporate Responsibility...19
- Deterrence, Corporate Conduct and Responsibility...31
- Retribution and Allocation of Responsibility for Corporate Crime...44
- Safeguarding Individual Interests...50
- Conclusion: The Need for Strategies That Transcend Individualism...57

3  Enterprise Liability...59

- Enterprise Liability and Economic Analysis of Law...59
- Enterprise Liability: Five Approaches...60
- Economic Rational Actors, Financial Incentives, and Corporate Behaviour...72
- Deterrence and Efficiency...78
- Safeguarding Individuals...93
- Conclusion: The Central Issue of Responsibility...98

4 Organisation Theory Perspectives...101

- Organisation Theory and Allocation of Responsibility...101
- First Cut: Kriesberg's Decionmaking Models for Organisational Action...101
- Second Cut: Mintzberg's Structuring of Organisations...105
- Third Cut: The Dramaturgical Model...109
- Fourth Cut: Braithwaite and Fisse's 'Varieties of Responsibility'...111
- Beyond Positivist Organisation Theory...117
- Conclusion: the Need for Strategies Responsive to the Problems Posed By Organisation Theory...131

5.  Making the Buck Stop...133

- Responsibility for Corporate Crime in Modern Society...133
- Desiderata for the Just and Effective Enforcement of Responsibility for Corporate Crime...135
- Developing a Model for the Allocation for Corporate Crime...138
- The Accountability Model Illustrated...154

6 Assessing the Accountability Model...158

1. Individual Responsibility as a Pillar of Social Control...158
2. Recognition of Corporate Responsibility...162
3. Imposing Responsibility on All Responsible Actors...163
4. Cost-Efficiency...167
5 Safeguarding Individual Interests...169
6 Equal Application of Law...178
7 Control of Scagegoating...182
8 Avoiding Unwanted Spillovers...187
9 Escapuing the Deterrence Trap...189
10 Heeding Motivational Complexity...190
11 Recognising and Using Internal Justice Systems...193
12 Averting Cultures of Resistance...198
13 Reflecting the Diverse Aims of the Criminal Justice System...199
14 Varieties of Responsibility and Organisational Diversity...201
15 Nunanced Imagining of Corporate Action....204
16 Redundancy...208
17 Preserving Managerial Flexibility...209
18 Coping with the Dynamics of Corporate Behaviour...210
19 Transnationality...213
20 Public and Private Organisations...215
Conclusion: Accountability for Corporate Crime in Theory and Practice...216

7  The Possibility of Responsibility for Corporate Crime...218

- Corporate Crime Control: Complexity and Multiplexity...218
- The Accountability Model in Action...222
- The Future of Responsibility for Corporate Crime: Experimentation and Empiricism....237

Bibliography of Cited Works....239
Index....266" (pp. v-vi)

___________The Impact of Adverse Publicity on Corporate Offenders, Albany: State University of New York Press, 1983, viii, 393 p., (series; SUNY series on critical issues in criminal justice), ISBN: 0873957326 and 0873957334 (pbk); title noted in my research but book not consulted; no copy in the libraries covered by Library and Archives Canada catalogue AMICUS, as of 24 April 2004;
 

___________Sanctions against corporations: economic efficiency or legal efficacy?, Sydney: Transnational Corporations Research Project; University of Sydney; 1986, 58 p. (series; Occasional paper / Transnational Corporations Research Project; number 13), bibliography at pp. 42-58, ISBN: 090847072X; copy at Harvard University; according to my verification of 24 April 2004 of Library and Archives Canada catalogue AMICUS, there is no copy in Canada;
 

___________"Sanctions against Corporations: The Limitations of Fines and the Enterprise of Creating Alternatives"  in Brent Fisse and Peter A. French, eds., Corrigible Corporations and Unruly Laws, San Antonio : Trinity University Press, c1985,  233 p., at pp. 137-157, ISBN: 0939980126 and 0939980134 (pbk.); copy at Carleton University, KF1414.C68;

 [Contents]

[Introduction]...137

Limited Deterrent Threat of Fines or Monetary Penalties...138

Stock Dilution (Equity Fines)...141

Probation...144

Publicity...147

Community Service 149

Conclusion...152

NOTES...153
 

___________"Overview: The Social Control of Corporate Behavior" in Brent Fisse and Peter A. French, eds., Corrigible Corporations and Unruly Laws, San Antonio : Trinity University Press, c1985,  233 p., at pp. 3-12, ISBN: 0939980126 and 0939980134 (pbk.); copy at Carleton University, KF1414.C68;
 

FLÉJOU, Olivier, Contribution à l'étude du droit pénal des sociétés commerciales: Droit pénal des sociétés commerciales, Villeneuve-d'Ascq : Presses universitaires du septentrion, c2002, 550 p., ISBN: 2284035698; notes: thèse de doctorat, Université de droit, d'économie et des sciences d'Aix-Marseille, 2000; titre noté dans mes recherches; livre non consulté; selon ma vérification du catalogue AMICUS effectuée le 1^er septembre 2004, il n'y a aucune copie de ce livre dans les bibliothèques canadiennes;.
 

FOERSCHLER, Ann, "Corporate Criminal Intent: Toward a Better Understanding of Corporate Misconduct", (1990) 78 California Law Review 1287-1311; copy at Ottawa University, KFC 69 .C335  Location: FTX Periodicals;

[CONTENTS]

INTRODUCTION...1287

A. Rationale for Prosecuting Corporations...1289
B. The Problem of Inconsistent Verdicts...1290

I  THE PROBLEM OF FINDING CORPORATE "INTENT"...1292

A. The Development of Corporate Criminal Liability...1292

1. Common Law Developments...1292
2. The Model Penal Code's Conception of Corporate Criminal
    Liability...1294

a.  Model Penal Code Section 2.07...1295
b. Criticisms of Model Penal Code 2.07...1295

B. Imputing Intent to Corporations...1296
C. The Case of the Missing Individual...1297

II  ORGANIZATIONAL THEORY AND THE CORPORATION
     PARADIGM...1298

A. How Should We View the Corporate Entity?...1298

1. Problematic Paradigms...1298
2.  Applying Organizational Theory...1299

B. Current Models of Corporate Decisionmaking...1300

1. The Organizational Process Model...1300
2. The Bureaucratic Politics Model...1301

C. Toward a Nonreductionist Approach to Corporate Intent...1302

III CORPORATE INTENT FOUND...1303

A. New Approaches to Institutions and Intent...1303

1. "Institutional Intent" As Applied Segregation...1303
2. Using Institutional Intent to Establish Corporate Criminal
    Liability...1304

a. Focus on Corporate Policies...1304
b. Trend Toward Collective Knowledge...1304

B. A Framework for Determining Corporate Intent...1306

1. Did a Corporate Practice or Policy Violate the Law?...1307
2. Was It Reasonably Foreseeable That the Corporate
    Practice or Policy Would Result in a Corporate Agent's
    Violation of the Law?...1308
3. Did the Corporation Adopt a Corporate Agent's Violation of
    the Law?...1310

CONCLUSION...1311

FORLIN, Gerard, Criminal Health & Safety, "Directing minds: caught in a trap.  With large companies, crown bodies and local authorities before the courts for health and safety offences.  Gerard Forlin asks who, exactly can be considered a 'directing mind'?", (5 March 2004) 154 New Law Journal 326-327; issue number 7118; copy at the Library of the Supreme Court of Canada; copy at Ottawa University, KD 322 .N49  Location: FTX Periodicals;
 

___________"The New Corporate Killing Proposals: Were Are We Now and Where Are We Going?", paper submitted by Mr. Forlin 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, 39 p., available at  http://www.isrcl.org/ (accessed on 7 October 2005);

___________ "The New Corporate Killing Proposals: Were Are We Now and Where Are We Going?"; paper submitted at the 20th Anniversary Conference of the International Society for the Reform of Criminal Law held in Vancouver, Canada from June 22 – June 26, 2007, available at http://www.isrcl.org/  (accessed on 9 September 2007);
 

FORLIN, Gerard, General Editor and Michael Appleby, Editor, Corporate Liability:Work related deaths and criminal prosecutions, London : LexisNexis UK 2003,  xlv, 549 p., ISBN: 0406931763; no location found for this book in Canada, according to my verification of Library and Archives Canada catalogue AMICUS (1 September 2004);
 

FORTUNATO, Stephen, Jr., "Corporate Crime and Voting Rights” (Summer 2002) 49(3) Dissent 56- 61; copy at Ottawa University, MRT Periodicals: HX 1 .D58;  available at  http://www.dissentmagazine.org/archives/2002/su02/fortunato.shtml (accessed on 4 July 2004);
 

FOX, DENNIS R., "The Law Says Corporations are Persons, but Psychology Knows Better", (1996) 14 Behavioral Sciences and the Law 339-359; copy available at  http://www.dennisfox.net/papers/corps-article.html (accessed on 12 April 2004);

"Abstract
Psychologists interested in law and public policy have begun to examine the nature of corporations in American society and the serious consequences of corporate irresponsibility. The dominant trend identifies areas where corporate behavior falls short of ethical standards or leads to unacceptably risky decisions and suggests ways to reform corporations or the laws that regulate them. This well-intentioned approach is consistent with psychology's liberal reformist tendency. Unfortunately, it neither challenges the flawed psychological underpinnings of the legal fiction that corporations are legal persons nor compensates sufficiently for the dynamics of individual behavior in corporate settings. Instead, psychologists should advocate fundamental restructuring of our corporate society." (source: http://www.dennisfox.net/papers/corps-article.html, accessed on 11 April 2004)

FOX, Richard G., "Corporate Sanctions: Scope for a New Eclecticism", (1982) 24 Malaya Law Review 26-47; copy at the Library of the Supreme Court of Canada (shelved with Singapore Journal of Legal Studies);

[CONTENTS]

1. INTRODUCTION

2. IS CORPORATE MISCONDUCT "CRIME"?

3. PAUCITY OF RESEARCH...31

4. EXPANDING THE CHOICE OF SANCTIONS...32

4.1 Counter-personnel measures...33

(a) Imprisonment...35
(b) Fines...35
(c) Probation...36
(d) Disqualification...36

4.2 Counter-organizational measures...37

(a) Fines...37
(b) Dissolution or Disqualification...39
(c) Publicity...40
(d) Injunctions...41
(e) Preventive Orders...42
(f) Corporate Probation...45
(g) Internal Discipline Orders...45

5. CONCLUSIONS...46

FRAGOSO, Heleno Claudio, "RAPPORT sur La responsabilité pénale des administrateurs des sociétés en droit brésilien", dans Association Henri Capitant pour la culture juridique française. Journées (1963 : Rio de Janeiro, Brésil), La responsabilité civile et pénale des administrateurs des sociétés : Journées brésiliennes, [7-14 juillet 1963], Paris: Dalloz, 1967, 491 p., aux pp. 157-159 (Collection; Travaux de l'Association Henri Capitant; t. 15); copie à l'Université d'Ottawa, FTX General: K 110 .A825 A327 V.15 1967;

    "Notre droit ignore la responsabilité pénale des personnes morales.  Il n'a pas suivi, ainsi, l'exemple de l'Angleterre et des Etats-Unis et que beaucoup pensent être inspiré par une vision plus réaliste de la nécessité d'une repression pénale efficace contre de dangereuses formes de criminalité.  Certainement, les personnes morales ne sont pas capables de faute et on ne peut pas leur imposer de véritables peines criminelles.  Les mesures imposées sont de nature administrative ou constituent d'authentiques mesures de sûreté (dissolution de la société, suspension d'activité pour un temps déterminé, restriction de la sphère d'action, confiscation, etc.).

    Il est incontestable que, de nos jours, de grandes organisations commerciales apparaissent comme un instrument d'un nouveau genre de criminalité, de celui que Sutherland appelait, à juste titre, white collar crime.  Cette criminalité est apparue avec l'organisation d'entreprises commerciales de grande envergure qui, d'une manière très efficace, déploient de vastes activités antisociales en vue de l'obtention de grands bénéfices.  Malgré tout, prévaut le jugement que ce fait nouveau, irrécusable, n'altère pas les termes du problème en ce qui concerne la responsabilité pénale, demandée, des personnes morales.

    Au Brésil, nous restons fidèles au principe latin Societas delinquere non potest.  Toutefois, selon la tendance générale de la législation, notre droit contient des dispositions qui visent à la répression de l'abus du pouvoir économique (loi n^o 4137, 10 sept. 1962), établissant de lourdes sanctions applicables aux sociétés commerciales. [...]"   (p. 157)

FRANCE, Code pénal, article 121-2; note: en vigueur depuis 1994;

"ARTICLE 121-2
(Loi nº 2000-647 du 10 juillet 2000 art. 8 Journal Officiel du 11 juillet 2000)

    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 groupements 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, sous réserve des dispositions du quatrième alinéa de l'article 121-3. (source: http://www.legifrance.gouv.fr/, visionné le 18 décembre 2003)

__________Ordonnance criminelle -- Saint-Germain-en-Laye, 26 août 1670, titre XXI, "De la manière de faire le procès aux communautés des villes, bourgs et villages, corps et compagnies dans Recueil général des anciennes lois françaises, depuis l'an 420 jusqu'à la Révolution de 1789 par MM. ISAMBERT... DECRUSY...TAILLANDIER...", Paris : Belin-Le-Prieur, 1829, tome xviii, 442 p., aux pp. 413-414; copie à l'Université d'Ottawa, MRT, Archives Rare  KJV 447.7 .F696 1821  v.18; aussi disponible à http://n.bachelet.free.fr/1670/1670tit21.htm (visionné le 5 juillet 2004);

"TITRE XXI.
De la manière de faire le procès aux communautés des villes, bourgs et villages, corps et compagnies

ART 1.  Le procès sera fait aux communautés des villes, bourgs et villages, corps et compagnies qui auront commis quelque rébellion, violence ou autre crime.

2.  Elles seront tenues pour cet effet de nommer un Syndic ou Député, selon qu’il sera ordonné par le juge, et à leur refus, il nommera d’office un curateur.

3.  Le syndic, le député ou curateur,  subira les interrogatoires, et la confrontation des témoins, et sera employé dans toutes les procédures en la même qualité et non dans le dispositif du jugement, qui sera rendu seulement contre les communautés, et compagnies.

4.  Les condamnations ne pourront être que de réparation civile, domages et intérêts envers la partie, d’amende envers nous,  privation de leurs priviléges, et de quelque autre punition qui marque publiquement la peine qu’elles auront encourue par leur crime.

5.  Outre les poursuites qui se feront contre les communautés, voulons que le procès soit fait aux principaux auteurs du crime et à leurs complices; mais s’ils font condamnés en quelque peine pécuniaire, ils ne pourront être tenus de celles auxquelles les communautés auront été condamnées." (pp. 413-414)

___________"Responsabilité pénale des personnes morales", site web LexInter.net, voir  http://lexinter.net/JF/responsabilite_penale_des_personnes_morales.htm (visionné le 20 décembre 2003);
 

___________Penal Code, article 121-2, English Translation;

"ARTICLE 121-2
Act no. 2000-647 of 10 July art 8 Official Journal of 11 July 2000

    Juridical persons, with the exception of the State, are criminally liable for the offences committed on their account by their organs or representatives, according to the distinctions set out in articles 121-4 and 121-7 and in the cases provided for by statute or regulations.

    However, local public authorities and their associations incur criminal liability only for offences committed in the course of their activities which may be exercised through public service delegation conventions.

    The criminal liability of legal persons does not exclude that of the natural persons who are perpetrators or accomplices to the same act, subject to the provisions of the fourth paragraph of article 121-3."  (source: http://www.legifrance.gouv.fr/, visionné le 18 décembre 2003)
 

"LES GROUPEMENTS A OBJET COMMERCIAL, INDUSTRIEL OU FINANCIER

    Les articles 21071, 21072 et 21073 sont entièrement novateurs et créent le principe de la responsabilité pénale des personnes morales.  Le principe est certes très éloigné des conceptions du droit pénal classique qui tient, nous le savons, pour seule capable de responsabilité pénale la personne physique.  En faisant de la responsabilité morale fondée sur la faute, qui suppose l'intervention d'une volonté personnelle, intelligente et libre, une condition essentielle de l'imputabilité d'une part, et en proclamant, d'autre part, le principe de la personnalité des peines, les codes du 19ème siècle ne permettaient pas de concevoir que la personne morale, à qui on donnait par ailleurs un caractère fictif et abstrait, pût être inculpée et punie.

    Mais force est de constater qu'un mouvement législatif, encore partiel certes mais puissant, s'oriente vers une conception entièrement nouvelle en cette matière.  En effet, le monde actuel n'est plus celui du 19ème siècle; l'évolution des structures industrielles a entrainé un développement des groupements, qui jouent un rôle économique, social et même politique dominant, de sorte qu'ils correspondent à une réalité déjà constatée par le droit civil et commercial; ils doivent l'être maintenant par le droit pénal.

    En effet, un groupement a sa vie propre, indépendante de celle de ses membres; cette vie se caractérise par une volonté et une activité qui dominent la volonté et l'activité des membres, souvent interchangeables.

    La législation française a donc été amenée à tenir compte de cet état de fait et les travaux demandés par la commission énumèrent, tant sur le plan international que national, les textes, certes partiels mais significatifs, qui sont intervenus en la matière, de même que l'effort jurisprudentiel qui a suivi.

    La commission a donc estimé qu'un code nouveau dans sa projection sur l'avenir devait ne plus se contenter de palliatifs mais affirmer le principe nouveau et incontestable de la responsabilité pénale des personnes morales.

    Elle fonde donc sa décision, le dogme de l'irresponsabilité des personnes morales constamment tourné étant devenu anachronique, sur la réalité de l'existence sous tous ses aspects de la personne morale, mode d'expression d'un véritable vouloir collectif, capable d'interdiction , d'action et donc de faute.

    Mais la commission, qui aurait pourrait pu se contenter de relever le principe de la responsabilité pénale des personnes morales, a voulu pousser plus loin son analyse de la réalité des faits; constatant que de nombreuses lois spéciales ont incriminé des agissements d'être collectifs sans subordonner l'imputabilité à l'existence de la personnalité juridique d'un groupemnet, elle a cherché à atteindre le vouloir collectif réel, et non une fiction juridique.

    Retenant une définition de la cour de cassation, selon laquelle la personnalité civile n'est pas une création de la loi mais appartient en principe à tout groupement pourvu d'une possibilité d'expression collective, et s'inspirant de la position du droit pénal européen lorsqu'il vise l'entreprise dans un des règlements de la communauté économique européenne, la commission a posé le principe de la responsabilité du groupement, la difficulté subsistant d'établir la réalité de ce groupement.

    Mais elle a volontairement cantonné cette responsabilité aux groupements à objet commercial, industriel ou financier parce que les problèmes sont essentiels en cette matière et que, d'autre part, l'extension à tous les groupements quelle qu'en soit la nature risquerait de porter atteinte à certains droits inscrits dans la Constitution même.  Il est d'ailleurs intéressant de noter que la commission de réforme des lois du Canada est arrivée, après une étude approndie, aux mêmes conclusions.

    Par ailleurs, elle n'a pas voulu que la responsabilité pénale des groupements constitue un écran utilisé pour masquer les responsabilités personnelles et elle a marqué ce choix dans son texte.

    Le deuxième alinéa de l'article 21072 est ainsi conçu: "Sans préjudice des poursuites exercées contre les personnes physiques, tout groupment à objet commercial, industriel ou financier est pénalement responsable du délit qui a été commis par la volonté délibérée de ses organes, en son nom et dans l'intérêt de l'ensemble de ses membres".

    Ces termes soigneusement pesés marquent bien la nécessité d'une volonté et d'une action collectives.  La commission, soucieuse en effet de l'intérêt des minorités -- notamment des petits actionnaires ou des salariés d'une société commerciale -- a traduit cette préoccupation dans le deuxième alinéa de l'article 21072 en précisant que "lorsque le délit n'a pas été commis dans l'intérêt collectif, sont pénalement responsables de l'infraction les membres du groupement, personnes physiques ou groupements à objet commercial, industriel ou financier, par la volonté et dans l'intérêt desquels les faits ont été accomplis".

   L'article 21073 vise un cas particulièrement grave, qui est celui du groupement pratiquement constitué pour commetttre des infractions; dans cette hypothèse, le texte prévoit la possibilité pour la juridiction pénale de prononcer la dissolution du groupement, qui constitue la sanction la plus grave applicable aux personnes morales.

    La responsabilité pénale des personnes morales entraine des sanctions particulières, car toutes les sanctions prévues par la loi sur un plan général ne leur sont pas applicables; les articles 3161 et 3162 qui prévoient les sanctions applicables aux groupements seront étudiés ultérieurement.

    Cette responsabilité des groupements nécessitera un additif au code de procédure pénale afin de déterminer les cas de représentation de la personne morale, le principe étant qu'elle l'est par son représentant légal au moment du jugement.

    Enfin la commission a prévu dans l'article 21071 un cas déjà existant dans la législation actuelle, celui du préposé qui, par son action personnelle engage la société, soit que ses organes auraient dû assumer une surveillance plus stricte soit qu'elle ait bénéficié directement ou indirectement du produit de l'infraction.  Dans une telle situation, lorsque la loi le prévoit, la société ou le groupement peuvent être condamnés par le tribunal au paiement des amendes et frais infligés au prévenu.

    Ainsi la responsabilité du groupement peut-être engagée des trois façons différentes:

1) dans les cas prévus prévus par la loi, par la mise à sa charge du paiement des amendes prononcées contre un de ses préposés;

2) par une action dirigée contre la société elle-même lorsque le délit a été commis au nom de la société et dans l'intérêt de l'ensemble de ses membres;

3) par une action engagée contre certains de ses membres qui peuvent être eux-mêmes une société telle qu'une filiale lorsque le délit a été commis, non dans l'intérêt de tous les membres du groupement, mais dans celui de certains d'entre eux seulement." (pp. 51-54)

...........................................

"Article 2107-1 -- Dans les cas prévus par la loi, lorsqu'une infraction a été commise dans l'exercise de ses fonctions, par le préposé d'un groupement à objet commercial, industriel ou financier, le tribunal peut décider que le paiement des amendes et frais de justice sera, en totalité ou en partie, à la charge du groupement.

Article 2107-2 -- Sans préjudice des poursuites exercées contre les personnes physiques, tout groupement à objet commercial, industriel ou financier est pénalement responsable du délit qui a été commis par la volonté délibérée de ses organes, en son nom et dans l'intérêt de l'ensemble de ses membres.

    Lorsque le délit n'a pas été commis dans l'intérêt collectif, sont pénalement responsables de l'infraction les membres du groupement, personnes physiques ou groupements à objet commercial, industriel ou financier, par la volonté et dans l'intérêt desquels les faits ont été accomplis.

Article 2107-3 -- Lorsqu'il a été créé ou détourné de son objet pour faciliter la commission du délit, le groupement visé à l'article précédent peut être dissous par décision du tribunal.
_____________

NOTA. -- Les textes relatifs à la responsabilité des groupements devront être complétés par les dispositions suivantes en droit pénal spécial (articles Sn) et en procédure pénale (Pn).

Article S 1 -- L'inéxécution de la décision prononçant la dissolution prévue par l'article 2107-3 ainsi que la reconstitution, par quelque moyen et sous quelque forme que ce soit, du groupement dissous constituent des délits de la 2^o catégorie.

Article P 1 -- Lorsque le groupement n'a pas de représentant légal ou lorsque celui-ci est poursuivi à l'occasion des mêmes faits ou se trouve dans l'impossibilité de représenter le groupement, le président du tribunal de grande instance, saisi sur requête du ministère public et après avoir procédé à toutes auditions et investigations utiles, désigne un représentant spécial." (p. 186)
 

    "L'avant projet de 1978 consacrait la responsabilité pénale des groupements, ce qui aurait permis de condamner des entreprises sans personnalité morale -- entreprises en nom personnel ou groupes de sociétés --.  Cela risquait de susciter de graves difficultés tant en ce qui concerne la mise en oeuvre de la responsabilité que l'exécution de la peine.  Aussi, est-il désormais proposé de retenir la responsabilité pénale des personnes morales, quelle que soit leur nature, la limitation aux groupements de nature 'commerciale, industrielle ou financière' prévue par l'avant-projet de 1978 était en effet discutable.  À l'époque, l'immunité pénale des syndicats et associations avait été retenue pour éviter de porter atteinte à certains droits inscrits dans la Constitution; or la justice pénale ne sanctionne évidemment pas des actes non incriminées et l'extension à toutes les personnes morales, sans distinction, de la responsabilité pénale est conforme au principe fondamental de l'égalité devant la loi.

    L'article 30 présente une autre différence importante par rapport au texte de 1978: la responsabilité de la personne morale pourra être engagée, non seulement en matière correctionnelle, mais aussi en matière criminelle et contraventionnelle.  Cette innovation s'imposait dans la mesure où la responsabilité pénale des personnes morales sera fréquemment recherchée pour des infractions économiques ou financières, dont certaines seront 'criminalisées' en raison des graves perturbations sociales qu'elles provoquent, tandis que d'autres seront punies de peines de police.  Cette extension du champ d'application de l'article 30 trouve son correctif dans le fait que seules certaines infractions pourront entraîner la condamnation des personnes morales: la responsabilité pénale de celles-ci est en effet limitée, désormais, aux 'cas prévus par la loi'.

    Les conditions de mise en oeuvre de cette responsabilité pénale sont également modifiées par rapport à l'avant-projet de code pénal de 1978.  Celui-ci prévoyait que l'infraction devait avoir été commise par 'la volonté délibérée des organes du groupement, en son nom, et dans l'intérêt collectif': une personne morale n'aurait donc pu être poursuivie pour des infractions d'imprudence ou de négligence.  De plus, la référence à l'intérêt collectif était ambiguë: de quel intérêt s'agissait-il?  Celui des actionnaires? Celui des actionnaires et des salariés?  Toutes ces difficultés d'interprétation seront écartées puisque la personne morale est désormais responsable 'des infractions réalisées pour son compte et par ses organes'." (pp. 5-6)

___________Avant-Projet définitif de Code pénal, Livre 1, Dispositions générales, Paris: La Documentation française et Ministère de la Justice, 1978, vii, 171 p., ISBN: 2110001941; copie à l'Université d'Ottawa, KJV 7974.3 1978 .A32 1978 v. 1;
 

___________Projet de nouveau Code pénal, présentation par Robert Badinter, Paris : Dalloz, 1988, 171 p., ISBN: 2247008771; copie à la Bibliothèque de la Cour suprême du Canada, KJV 7974.318 A32 1988;

"Les personnes morales pourront être déclarées pénalement responsables de certaines infractions: ce sera le cas lorsque la loi le prévoiera expressément, par exemple en matière de droit pénal des affaires.  Ainsi, l'entreprise responsable pourra être condamnée à raison des faits de pollution, de fraude, d'homicide involontaire en cas de manquement aux règles de sécurité...

L'immunité actuelle des personnes morales est d'autant plus choquante qu'elles sont souvent, par l'ampleur des moyens dont elles disposent, à l'origine d'atteintes graves à la santé publique, à l'environnement, à l'ordre public économique ou à la législation sociale.  De surcroît, la décision qui est à l'origine de l'infraction est prise par les organes sociaux eux-mêmes, qui déterminent la politique industrielle, commerciale ou sociale de l'entreprise.  A l'instar d'autres pays, tels que les États-Unis ou la Grande-Bretagne, il convient donc de mettre en cause, dans des cas déterminés, et par des peines pécuniaires ou privatives de droits appropriées la responsabilité des personnes morales.  La responsabilité pénale d'un dirigeant d'entreprise pourra également être retenue en même temps que celle des personnes morales s'il est prouvé que ce dirigeant est personnellement intervenu dans la décision ou dans la réalisation de l'infraction, ou si la loi prévoit qu'il répond personnellement de certaines infractions -- réglementation du travail ou de la sécurité sociale, matières économique, fiscale...Mais disparaîtra la présomption de responsabilité pénale qui pèse en fait aujourd'hui sur des dirigeants à propos d'infractions dont ils ignorent parfois l'existence; ainsi sera mieux respecté le principe fondamental selon lequel, en droit pénal, nul ne répond que de son propre fait." (pp. 16-17)

FRANCHI, François, "À quoi peut bien servir la responsabilité pénale des personnes morales?", (1996)  Revue de science criminelle et de droit pénal comparé 277-287; copie à l'Université d'Ottawa, KJJ 0 .R489  Location: FTX Periodicals; copie à la Bibliothèque de la Cour suprême du Canada;

[Table des matières]

[INTRODUCTION]...277

I. -- LES HYPOTHÈSES PRÉVUES ET UTILES D'APPLICATION DU PRINCIPE
       DE LA RESPONSABILITÉ PÉNALE DES PERSONNES MORALES...278

1.1. L'accident de travail...278
1.2  Fausses factures...279
1.3  Banqueroute...290

II. -- LES HYPOTHÈSES NON PRÉVUES ET MANQUANTES DE RESPONSABILITÉ
         PÉNALE DES PERSONNES MORALES...282

1.1  Les infractions au code du travail...282
2.2. Les infractions sur les sociétés (loi du 24 juillet 1966)...283
2.3  Le droit fiscal et douanier...284
2.4  Les pratiques anticoncurrentielles...284
2.5  L'ordonannce du 28 septembre 1967 sur la Commission des
       opérations de bourse...285

III. LES HYPOTHÈSES PRÉVUES ET INUTILES D'APPLICATION DE LA
      RESPONSABILITÉ PÉNALE DES PERSONNES MORALES...286

La contrefaçon...286

En conclusion...287

FRANCIS, Joseph F., "Criminal Responsibility of the Corporation", (1923-24) 18 Illinois Law Review 305-324; copy at Ottawa University, KFI 1269 .I55  Location: FTX Periodicals; no copy at the Library of the Supreme Court of Canada;

[CONTENTS]

[INTRODUCTION]...305

THE NAURE OF A CORPORATION...305

LAW RELATING TO CRIMINAL RESPONSIBILITY...309

REASONS GENERALLY GIVEN FOR CRIMINAL
RESPONSIBILITY...314

1. Criminal Responsibility Is the Logical Result of Holding a Corporation
    Liable for Its Torts Involving Malice or Intent...314

2. The Irresponsibility of the Agent Who Commits the Crime...316

3. It is Incongruous to Hold a Corporation for Nonfeasances and
   Not for Misfeasances...317

4. This Is Merely an Extension of the Rule of Punitive Damages...317

5. The Crime is that of the Corporation and the Corporation Should
    Be Punished...317

6. The Members Consent to the Liability by Accepting the Charter...320

7. The Difficulty of proving the Guilt of the Guilty Parties Makes It Necessary to Hold the Corporation...320

CONCLUSION...321

FRANÇOIS, Lucien, "Implications du delinquere sed non puniri potest",  dans Raymond vander Elst, et al., comité de rédactkion, Mélanges offerts à Robert Legros, Bruxelles, Belgique : Editions de l'Université de Bruxelles, Faculté de droit, c1985,  xxiii, 783 p., aux pp. 189-205, ISBN:  280040839; copie à la Bibliothèque de la Cour suprême du Canada, Ottawa, KJK 3800 M45 1985;

[TABLE DES MATIÈRES]

[INTRODUCTION]...189

I. LE SOUHAITABLE ET LE POSSIBLE, OU LES OBJECTIFS ET LES
   CONTRAINTES DE LA POLITIQUE CRIMINELLE...189

II. PERSONNES MORALES ET AUTRES GROUPEMENTS...196

III.  RÉALITÉ DE LA PERSONNE MORALE ET THÈSE DOTANT
       CETTE PERSONNE D'UN PSYCHISME DISTINCT DE CELUI
       DE SES MEMBRES...198

IV. REMARQUE FINALE...203
 

FRANK, Nancy, "Choosing between criminal and civil sanctions for corporate wrongs", in Ellen Hochstedler, ed., Corporations as criminals, Beverly Hills: Sage Publications, 1984, 168 p., at pp. 85-102 (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]...84

STRICT LIABILITY AND THE CRIMINAL LAW...86

SCHOLARLY CRITICISM OF STRICT LIABILITY...90

THE MODEL PENAL CODE AND THE NATIONAL COMMISSION...92

Strict Liability and the Model Penal Code...92
The National Commission on Reform of Federal Criminal Law...93

INTO THE POLITICAL ARENA...94

DISCUSSION -- RECKLESS ENDANGERMENT...96

DISCUSSION...98

Strict Liability...98
Bifurcated Approach to Sanctions...98
Corporate Power and the Criminal Law...99

CONCLUSIONS...99

NOTES...100

REFERENCES...101

CASES...102

___________Crimes against health and safety, 2nd ed., New York : Harrow and Heston, c1990; title noted in my research but book not consulted; no copy of this book in the Canadian Libraries covered by the catalogue of Library and Archives Canada, AMICUS (verification of 14 June 2004);
 

___________"From criminal to civil penalties in the history of health and safety laws", (1983) 30(5) Social Problems 532-544; copy at Ottawa University, HN 1 .S58  Location: MRT Periodicals;

[Abstract]  When a corporation or corporate executive is caught polluting the water, selling adulterated food, or creating hazardous working conditions, the penalty is typically civil; criminal penalties are rarely imposed for these kinds of acts.  Criminologists have assumed that this is because the corporate sector has used its political influence to insulate corporations and executives from criminal stigma and imprisonment.  This conflict model explanation has never been substantiated.  Nor can it be substantiated that the corporate sector has been primarily responsible for the adoption of civil penalties for the transgressions of corporations and executives.  After examining the development of penalties in health and safety law, I find that civil penalties have been adopted because many people believed that criminal penalties were inappropriate under the circumstances.  The problem of strict liability was raised consistently as a reason for adopting civil rather than criminal penalties." (p. 532)

___________"Maining and Killing: Occupational Health Crimes", (January 1993) 525 The Annals of the American Academy of Political and Social Science 107-118; copy at Ottawa University, MRT Periodicals, H1 .A55 v. 525 1993;

[CONTENTS]

ABSTRACT...107

[INTRODUCTION]...108

HAZARDS IN THE WORKPLACE...109

EVOLUTION OF LEGAL CONTROLS...110

FEDERAL REGULATION...112

OSHA'S ENFORCEMENT RECORD...113

REGULATORY STANDARD SETTING...114

CONCLUSION...117

FRANK, Nancy and Michael Lombness, Controlling corporate illegality : the regulatory justice system, Cincinnati, Ohio : Anderson Pub. Co., c1988, 147 p. (series; Criminal justice studies), ISBN: 0932930786 (pbk.); copy at Solicitor General Canada, Ministry Library and Reference Centre/Solliciteur général Canada, Bibliothèque ministérielle et centre de référence, KF 1418 F7 1988;

"CONTENTS

CHAPTER 1: Corporate Illegality and Regulatory Justice...1
Corporate Illegality and Regulatory Justice
Models of Regulation

The Justice Model of Regulation
The Rational-Legal Model
The Economic Model of Regulation
The Conflict Model of Regulation

Conclusion
References

CHAPTER 2: Regulation in Our Lives...9
Regulation as Social Control

Information Shortages
Externalities
Monopolies

Regulation as Service

Non-existent Markets
Public Goods
Natural Monopolies

Targets of Regulation: Individuals, Corporations, Governments

Regulating Individuals
Regulating Corporations
Regulating Government

The Pervasiveness of Regulation
The Structure of Regulatory Bureaucracies
Functions of Regulatory Agencies

Rule-making
Administration
Adjudication

Conclusion
Notes
References

CHAPTER 3: Rule-making and Regulatory Effectiveness...29
The Delegatiobn of Legislative Powers
Administrative Law and the Rule-making Process
The Politics of Regulatory Rule-making
The FTC and Funeral Regulation
The Civil Aeronautics Board
EPA and the Banning of Aldrin/Dieldrin
The Structure of Rules
Conclusion
Notes
References

CHAPTER 4: The Investigatory Process...49
Investigative Economic Regulatory Violations
Investigating for Violations of Social Regulations
Maintaining Cooperation
Dealing with Ambiguity
Dealing with Limited Resources
Special Investigative Powers of Regulatory Agencies

The Fifth Amendment and Reporting Requirements
United States v. Ward
Mandatory Submissions of Records
Search and Seizure and the Administrative Inspection
Frank v. Maryland
Camara v. Municipal Court of San Francisco

The Services of an Expert
Conclusion
Notes
References

CHAPTER 5: Enforcing Regulations....77
Tools for Deterring Violations

Administrative Remedies and Penalties

Cease-and-Desist Orders
Special Orders
Consent Orders
Summary Orders
License Suspension or Revocation
Administratively-imposed Civil Fines

Judicial Penalties and Remedies

Injunctions
Civil Suits
Judicially-imposed Civil Fines
Criminal Action

Shortcomings of Legal Sanctions

Tools for Persuading Compliance

Rewarding Compliance
Using Friendly Relationships
Providing Information
Threats and Legitimate Authority
The Right Tool for the Job

The Enforcement Ideal

'Good' Discretion

Voluntary Compliance
Legalistic Enforcement
Conclusion
Notes
References

CHAPTER 6: Agency Capture -- Concept and process...101
Defining Agency Capture
Process of Capture

Active Cooptation of Industry Power

Consequences of Capture and Cooptation
Preventing Capture

More Specific Statutory Enactments
Structuring Authority and Discretion
Professionalization of Agency Personnel

Conclusion
References

CHAPTER 7: The Road to Reform...121
Controlling Regulatory Extravagance
Creating New Sanctioning Alternatives
Fostering Corporate Responsibility

Enforced Self-Regulation
Flexible Enforcement

Facilitting Interest Group Formation
Managing for Ideal Enforcement
Conclusion
References

INDEX...139" (pp. [iii-vi])
 

"Abstract
The sentencing of white-collar criminals is puzzling to those outside the court system who perceive judges to be endemically lenient. This paper attempts to explain the difficulties faced by the courts by highlighting a series of paradoxes faced by judges in such cases. These paradoxes revolve around the distinctions between the serious crimes committed and the type of people who commit them, the distinctions between property crimes and crimes of violence, the differences between profits and losses, the disparity between the number of offences committed and the crimes actually charged, the various pathways to justice, the exigencies of the criminal justice system and the pragmatics of plea bargaining, the balance between formal and informal punishments, the competing purposes of sentencing and the differences between the real and symbolic aspects of sentences. The paper examines some empirical evidence relating to sentences imposed on white-collar criminals and explores some alternatives to the current system in Australia." (source: http://www.aic.gov.au/conferences/fraud/freiberg.pdf, accessed on 16 December 2003)

FRENCH, Peter A., Collective and corporate responsibility, New York : Columbia University Press, 1984, xiv, 215 p., ISBN: 0231058365 and 0231058373; copy at Ottawa University, MRT General: HD 60 .F74 1984;

"CONTENTS

Preface  viii

CHAPTER ONE   Types of Collectivities: A Preliminary Sorting 1

CHAPTER TWO  Crowds and Corporations  19

CHAPTER THREE  The Corporation as a Moral person  31

CHAPTER FOUR   Corporate Internal Decision Structures 48

CHAPTER FIVE  The Power of the People in Groups and Corporations 67

CHAPTER SIX   Kinds and Persons  78

CHAPTER SEVEN  Plato, Bradley, Rousseau, and the Corporate Personality 94

CHAPTER EIGHT   Tibes  112

CHAPTER NINE   The Medical Profession  120

CHAPTER TEN  What Is Hamlet to McDonnell-Douglas or McDonnell-Douglas to Hamlet: DC-10  129

CHAPTER ELEVEN   The Principle of Responsive Adjustment: The Crash on Mount Erebus  145

CHAPTER TWELVE   Intention and Corporate Accountability 164

CHAPTER THIRTEEN   Corporate Criminality and the Model Penal Code   173

CHAPER FOURTEEN   Punishing the Criminal Corporation 187

Notes   203
Index   213"  (pp. v-vi)

___________Corporate Ethics, Fort Worth : Harcourt Brace College Publishers, c1995, xv, 380 p., ISBN: 0155011243; title noted in my research but article not consulted; no copy of this book in the in the Canadian libraries included in the AMICUS catalogue of Library and Archives Canada except theUniversity of Saskatchewan, Libraries, HF5387 .F738 1995 (verification of 9 August 2004);
 

__________ "The Corporation as a Moral Person", (1979) 16 American Philosophical Quarterly 207-215; copy at Ottawa University, B 1 .A525  Location: MRT Periodicals; with the same title in Larry May and Stacey Hoffman, eds., Collective responsibility : five decades of debate in theoretical and applied ethics, Savage, Md. : Rowman & Littlefield, c1991, viii, 292 p., at pp. 133-149, ISBN: 0847676919 and 0847676927 (pbk.); copy at Ottawa University,  MRT General BJ 1451 .C64 1991;
 

___________"Integrity, Intentions, and Corporations", (1996) 34 American Business Law Journal 141-155;
 

__________"Principles of Responsibility.  Shame,  and the Corporation", in Hugh Mercer Curtler, ed., Shame, Responsibility, and the Corporation, New York:  Haven Publishing, 1986, 195 p., ISBN: 093058631X; title noted in my research but article not consulted; no copy of this book in the Ottawa area libraries included in the AMICUS catalogue of Library and Archives Canada (verification of 9 August 2004);
 

___________"Publicity and the Control of Corporate Conduct: Hester Prynne's New Image",  in Brent Fisse and Peter A. French, eds., Corrigible Corporations and Unruly Laws, San Antonio : Trinity University Press, c1985,  233 p., at pp. 150-172, ISBN: 0939980126 and 0939980134 (pbk.); copy at Carleton University, KF1414.C68;
 

___________"Types of Collectiveness and Blame", (Spring 1975) 56(2) The Personalist 160-169; copy at Ottawa University, AP 2 .P46  Location: MRT Periodicals;
 

FRESHFIELDS BRUCHAUS DERINGER, "Corporate manslaughter and the proposed corporate killing offence", March 2001, available at  http://www.freshfields.com/practice/disputeresolution/publications/pdfs/cmanslaughter.pdf (accessed on 20 October 2003);
 

FREUND, Ernst, 1864-1932, The Legal Nature of Corporations, Chicago: University of Chicago Press, 1897, 83 p. (series; Studies in political science; University of Chicago); copy at the Library of the Supreme Court of Canada, Ottawa, Microfiche no. 20192 (series; 19th-century legal treatises; no. 20192); the following part of the book may be of interest:

"CONTENTS

I STATEMENT OF THE PROBLEM...7

§ 1  The terms 'corporation'...7
§ 2  The 'juristic person'...8
§ 3  Corporations in relation to government and property...8
§ 4  The doctrine and its difficulties...9
§ 5  The fiction theory...10
§ 6  The organic theory...13"
 

FRIEDMAN, Howard, "Some Reflections on the Corporation as Criminal Defendant", (1979-80) 55 Notre Dame Lawyer 173-202; copy at Ottawa University, KF 1269 .N657  Location: FTX Periodicals;

[Contents]

I.  Introduction...173

II. Some Preliminary Considerations...174

A. The First Layer of Confusion -- The Two Faces of the Corporation...174
B.  The Wages of Permissiveness: Frustated Development of Internal Controls...176

III. Applying Criminal Sanctions to the Corporation...178

A. The Problem...178
B. Clearing Some More Underbush --The Overlapping Tests of Authority, Knowledge and Intent...179
C. The Attempts at Codification...182

IV. The Corporation and the Bill of Rights...188

A. An Overview of the Problem...188
B. The Irrelevance of the First Amendment Cases -- A Digression...191
C. Privacy-Based Protections and the Corporation...192
D. Power-Based Protections and the Corporation...195

V. Conclusion...201

FRIEDMAN, Lawrence, "In Defense of Corporate Criminal Liability", (1999-2000) 23 Harvard Journal of Law and Public Policy 833-858; copy at Ottawa University, K 8 .A683  Location: FTX Periodicals;
 

FRIEL, Raymond J., "Corporate Criminal Liability: A Comparative Analysis --Part I [and] Part II", (1999) 6 Commercial Law Practitioner 191 (Part I) and 226 (Part II); note: Irish publication, ISSN:  0791-895X;  title noted in my research but article not consulted; no copy of this periodical in the Canadian libaries covered by the AMICUS catalogue of Library and Archives Canada (verification of 4 July 2004);
 

FRIENDS OF THE EARTH INTERNATIONAL (FOEI), Briefing --Towards binding corporate accountability friends of the earth international, available at  http://www.foei.org/publications/corporates/accountability.html, FOEI, 2002 (accessed on 26 July 2004); important contribution to the subject;

"extend role of international criminal court

7. extend the jurisdiction of the international criminal court to try directors and corporations for environmental, social and human rights crimes.

The International Criminal Court would provide an independent forum for hearing cases, perhaps including a special tribunal for environmental abuses. Eligibility for hearing or referral to this court would need to be defined."

FUCHS, Helmut, "Autriche: Crimes against the Environment Problems of the General Part", (1994) 65 Revue internationale de droit pénal / International Review of Penal Law 761-775; article in English; part of the Preparatory Colloquium, Section 1, Crimes against the Environment -- General Part, Ottawa (Canada), November 2-6, 1992;

"Legal persons and other collectivities cannot commit a crime." (p. 771)

GAINER, Ronald L., "A Caution Concerning Runaway Criminalization of Corporate Activities", 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. 333-339 (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_S78/13-SUBJN-6.pdf  (accessed on 14 December 2003);
 

GAMET, Louis, "Le principe de personnalité des peines à l'épreuve des fusions et des scissions des sociétés", (2001) La Semaine Juridique -- Doctrine I  345; numéro 37, 12 septembre 2001, pp. 1663-1667; copie à l'Université d'Ottawa, KJJ 0 .S452 Location: FTX Periodicals; copie à la Cour suprême du Canada;

[Table des matières]

[Introduction]…1663

1. L'application du principe de personnalité des peines aux personnes morales…1664

A -- Le principe de personnalité des peines s'oppose à la transmission
        de la responsabilité pénale entre personnes morales…1664
B -- La réserve de la fraude à la loi…1665

2. Une application controversée du principe de personnalité des peines aux
    personnes morales…1665

A -- Les limites d'une application du principe de personnalité des peines
       aux personnes morales…1666
B -- Proposition en vue de prévenir le risque de fraude à la loi…1667

__________"The Penal Responsibility of Judicial Persons in Danish Law", in International Centre of Sociological, Penal, and  Penitentiary Research and Studies, La Responsabilita Penale Delle persone giuridiche in Diritto Communitario : Facoltà di giurisprudenza, Università degli studi di Messina : Messina, 30 aprile-5 maggio 1979 : atti della Conferenza  organizzata dal Centro internazionale di ricerche e studi sociologici, penali e penitenziari, Milano : A. Giuffrè, 1981, xi, 707 p., at p. 321 (series; Pubblicazioni dell'Istituto di scienzegiuridiche, economiche, politiche e socialidella Universita di Messina; number 121); title noted in my research but article and book not consulted; according to my verification of Library and Archives Canada AMICUS catalogue, there is no location for that book in Canada (11 April 2004);
 

GARDINER, Caterina, “Corporate Manslaughter", (2000) 7 Commercial Law Practioner 218;  title noted in my research but article not consulted; no copy of this periodical in the Canadian libaries covered by the AMICUS catalogue of Library and Archives Canada (verification of 4 July 2004);
 

GAROUPA, Nuno, "Corporate criminal law and organization incentives: A managerial perspective", (September 2002) 21(6) Managerial and Decision Economics 243-252;
 

GARRAUD, P., Le régime pénal des sociétés à responsabilité limitée, Paris: Godde, 1928, 16 p.; titre noté dans mes recherches mais document non consulté;
 

GARTNER, Fabrice, "L'extension de la répression pénale aux personnes publiques", (Janvier-Février1994), 10(1) Revue française de droit administratif 126-158; copy at Ottawa University, KJJ 0 .R493  Location: FTX Periodicals;
 

GATTOZZI, Lynn M., Note, "Charitable Contributions as a Condition of Probation for Convicted Corporations: Using Philanthropy to Combat Corporate Crime",  (1986-87) 37 Case Western Reserve Law Review 569-588;  copy at Ottawa University, KFO 69 .W47  Location: FTX Periodicals;

[CONTENTS]

[INTRODUCTION]....569

I.  THE FEDERATION PROBATION ACT...573

II. INTERPRETING THE FEDERAL PROBATION ACT IN
    THE CONTEXT OF CORPORATE PROBATION...575

III. POLICY JUSTIFICATIONS FOR PROBATION...578

A. Charitable Contributions as a Condition of Probation for
     Individuals...579
B. Charitable Contributions as a Condition of Probation for
     Corporations...579

IV. CHARITABLE CONTRIBUTIONS AS EFFECTIVE SANCTIONS
      FOR CONVICTED CORPORATIONS...580

A. Getting Off Easy...580
B. Corporate Manipulation...583

V. INSTITUTIONAL COMPETENCY...584]

VI. IMPACT ON THE NONPROFIT SECTOR...586

VI. CONCLUSION...587

GEBARA, A., Responsabilité pénale des personnes morales, Paris, 1945; titre noté dans mes recherches mais document non consulté;
 

GEEROMS, Sofie, "La responsabilité pénale de la personne morale, une étude comparative", (1996) Revue internationale de droit comparé 533-579; copie à l'Université d'Ottawa, K 7001 .R467  Location: FTX Periodicals;

[Table des matières]

INTRODUCTION...534

I. LES DONNÉES DE LA SITUATION ACTUELLE...536

II. L'IMPUTABILITÉ...539

A. -- L'imputabilité matérielle...540

1. La théorie générale...540

a) La théorie de l'identification ("identification theory")...540
b) La théorie de la responsabilité fonctionelle
     ("functioneel daderschap")...542
c) La théorie de la responsabilité par ricochet...542
d) La théorie de l'imputabilité à l'inverse...543
e) La théorie du rapport d'entereprise ("Verbandsunrecht")...544

2. L'application de la théorie générale...545

a) Quelles personnes physiques peuvent engendrer la responsabilité
    pénale d'une personne morale et sous quelles conditions?...545
b) Le profit de la personne morale...548
c) La transgression des attributions du représentant...550
d) Le représentant de fait et le délégué...551

B. -- L'imputabilité morale...552

1. L'élément moral auprès de la personne physique...553
2. L'élément moral auprès de l'acte matériel...554

III. LES PERSONNES MORALES...554

A. -- La notion de personne morale...555

1. La personnalité juridique...555
2. Les personnes morales de droit public...557

B. -- La relation entre la personne morale et les personnes physiquwes: le
         problème du cumul...559

IV. LA MATIÈRE PÉNALE...562

A. -- Les infractions...562

1. Le principe de généralité...562
2. Le principe de spécialité...565

B. -- Les sanctions...566

1. Des sanctions adaptées...566
2. L'adaptation des sanctions...567

a) Les sanctions pénales...568
b) Les sanctions non pénales...572

- Les sanctions civiles...572
- Les sanctions administratives...573

CONCLUSION -- LA QUESTION DE LA RESPONSABILITÉ PÉNALE DES
PERSONNES MORALES: UNE APPROCHE DIFFÉRENTE...577

GEIS, Gilbert, "Criminological Perspective on Corporate Regulation: A Review of Recent Research",  in Brent Fisse and Peter A. French, eds., Corrigible Corporations and Unruly Laws, San Antonio : Trinity University Press, c1985,  233 p., at pp. 63-84, ISBN: 0939980126 and 0939980134 (pbk.); copy at Carleton University, KF1414.C68;
 

___________"Deterring Corporate Crime", in Ralph Nader and Mark J. Green, eds., Corporate Power in America, New York : Penguin Books, 1977, c1973 (first published), viii, 309 p., at pp. 182-197, with notes at pp. 292-293,  ISBN: 014004566X; copy at Ottawa University, MRT General: HD 2783 .A3 1971A;

[Contents]

STREET VS. CRIME...182

OBSTACLES TO PUBLIC OUTRAGE...185

ALTERNATIVE KINDS OF SANCTIONS...192

THE ISSUE OF DETERRENCE...195

___________"The Evolution of the Study of Corporate Crime", in Michael B. Blankenship, 1955-, ed., Understanding Corporate Criminality, New York: Garland Publishing, 1993, xxiii, 266 p., at pp. 3-28 (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]...3

The South Sea Bubble Case...6

The Muckrakers...11

The Academic Criminologists...16

Conclusion...22

REFERENCES...24

___________"From Deuteronomy to deniability: A historical perlustration on white-collar crime", (March 1988) 5(1) Justice Quarterly: Academy of  Criminal Justice Sciences 7-32; copy at Ottawa University, HV 6001 .J88  Location: MRT Periodicals;

"[Abstract]  The history of social efforts to deal with offenses now categorized as white-collar crime shows a struggle for justice and equity with roots deep in the past.  This paper uses a triad of English marketing offenses--forestalling, regrating, and engrossing--to epitomize the legal background of efforts to control the abuse of commercial power.  The paper notes the spurious ancestry of the doctrine of caveat emptor, and offers explanations for the decline and the subsequent revival of crusades against the exploitation of consumers by business forces.  Scholarly work on white-collar crime is placed in this historical context, followed by a general appraisal of the nature of changes over time--from the dire biblical prophecies in Deuteronomy to the bland explanations of 'plausible deniability' during the recent Iran-Contra hearings before the U.S. Congress." (p. 7)

___________"White-Collar Crime  "What Is It?", in  in Kip Schlegel and David Weisburd, eds., White Collar Crime Reconsidered, Boston: Northeastern University Press, 1992, xv, 384 p., pp. 31-52 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]...31

Sutherland and His Early Disciples...32

In Sutherland's Wake...35

The Middle Years...38

Current Controversies...41

- Sentencing Studies...41
- Organizational Foci...43
- General Theory and Abuse of Trust...44

Conclusion...46

REFERENCES...48

NOTES...51

___________edited, with introductions and notes, by Gilbert Geis, White-collar criminal; the offender in business and the professions, 1 st ed., New York : Atherton Press, 1968, xii, 448 p.; copy at Ottawa University, MRT General, HV 6635 .G35 1968;
 

GEIS, Gilbert and Joseph F.C. Dimento, "Empirical Evidence and the Legal Doctrine of Corporate Criminal Liability", (2001-02) 29 American Journal of Criminal Law 341-375; copy at Ottawa University, KF 9202 .A427  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada, Ottawa;

"Table of Contents

I. Introduction...342

II. Corporate Crime Prior to the Model Penal Code...347

III. On the American Law Institute...348

A. The Model Penal Code on Corporate Crime...350
B. Mueller's Critique of the ALI Proposal...354

IV. Corporate Criminal Liability After the Model Penal Code...359

A. Do Criminal Penalties Deter Corporate Illegality?...360
B. A Current Controversy -- Still Non-Empirical...361
C. The Law of Corporate Crime Today...363
D. Researching Corporate Criminal Liability...365

V.  Conclusion...374

___________"Should We prosecute Corporations and/or Individuals?",  in Frank Pearce and Laureen Snider, Corporate Crime: Contemporary Debates, Toronto: University of Toronto Press, 1995, xiii, 426 p., at pp. 48-71, ISBN: 0802006671 and 0802076211 (pbk.); copy at the Library of Parliament, Br. B HV 6768 C67;
 

GEIS, Gilbert and Colin Goff, "Edwin H. Sutherland: A Biographical and Analytical Commentary, in Peter W. Wickman and Timothy B. Daily, eds., White Collar and Economic Crime: multidisciplinary and cross-national perspectives, Lexington, MA:  Lexington Books, 1982, xviii, 285 p., at pp. 3-21, ISBN: 0669046655; note: "Papers presented at a symposium held Feb. 7-9, 1980 at the State University of New York College at Potsdam and sponsored by the Research Committee on Deviance and Social Control of the International Sociological Association"; copy at Ottawa University, MRT General, HV 6635 .W44 1982;

[Contents]

[Introduction]...3

Sutherland's Heritage...4

Sutherland's Forebears...5

Sutherland's Career...8

The Presidential Address...11

'White-Collar Criminality'...12

Notes...18

References...19

GEIS, Gilbert and Paul Jesilow, eds., White-collar crime, Newbury Park, CA : Sage Periodicals Press, 1993, 210 p., (series; Annals of the American Academy of Political and Social Science; volume 525),  ISBN: 0803946899 (pbk); copy at Ottawa University, MRT General, H1 .A55 v.525 1993;
 

GEIS, Gilbert and Robert F. (Robert Frank), Meier, 1944-, eds., White-collar crime: offenses in business, politics, and the professions,  revised edition, New York : Free Press, c1977,  xii, 356 p., ISBN: 0029115906; copy at Carleton University, HV 6635.G35;
 

GEIS, Gilbert, Robert F. (Robert Frank) Meier, 1944-, and Lawrence M. Salinger, eds., White-collar crime: classic and contemporary views, 3rd ed., New York : Free Press, 1995, vii, 511 p., ISBN: 0029116015; copy at Carleton University, HV 6635 .W46 1995;
 

GEISLER, Stephen Robert, "Voluntary Disclosure of Corporate Violations of Federal Law", (1999-2000) 51 Alabama Law Review 375-390; copy at the Library of the Supreme Court of Canada, Ottawa;

[Contents]

I. INTRODUCTION...375

II. VOLUNTARY DISCLOSURE PROGRAMS...376

III. BENEFITS OF VOLUNTARY DISCLOSURE...379

IV. DISADVANTAGES OF VOLUNTARY DISCLOSURE...384

V. CORPORATE COMPLIANCE PLANS...387

VI. WHEN NONDISCLOSURE IS A CRIMINAL ACT...388

VII. CONCLUSION...389

GEMINEL, Charles, De la responsabilité pénale des associations, Paris: A. Rousseau, 1899, vii, 161 p.; note: thèse de droit, Paris, 1898-1899; disponible à http://gallica.bnf.fr/ark:/12148/bpt6k5772898q.r=.langEN  (vérifié le 8 février 2010);
 

GERAGHTY, Annie, "Corporate Criminal Liability",  (2002) 39 American Criminal Law Review 327-353; copy at Ottawa University, KF 9202 .A425  Location: FTX  Periodicals;

[CONTENTS]

I. INTRODUCTION...328

II. THE LAW OF CORPORATE CRIMINAL LIABILITY...328

A. Corporations are Only Liable for the Acts of Employees if the
     Employees are Acting Within the Scope and Nature of Their Employment...329

B. A Corporation Will Not be Liable for the Acts of its Employees Unless Those
    Actions are Designed to Benefit the Corporation...331

C. To Hold a Corporation Liable for the Acts of its Employees, a Court Must
     Impute the Intent of the Individuals to the Corporation...332

1. The Collective Knowledge Doctrine...333
2. The Wilful Blindness Doctrine...333
3. Conspiracies...333
4. Mergers, Dissolutions, and Liability...334
5. Misprison of Felony...336

III. ORGANIZATIONAL SENTENCING GUIDELINES...336

A. Introduction: Purpose and Scope of the Organizational Guidelines...336

1. Controls on Prosecutorial Discretion...337
2. Promulgation of the Organizational Sentencing Guidelines...337
3. General Principles...337
4. Organizations Covered by Chapter 8 of the Guidelines...338
5. Purpose and Effect of the Organizational Guidelines...338
6. Case Law Concerning the Organizational Guidelines...339

B. Guidelines Provisions: Offenses Covered and Sanctions Permitted...340

1. Remedies...341
2. Probation...342
3. Imposition of Fines...343

a. Base Offense Level...344
b. Base Fine...344
c. Culpability Score...345

i. Calculation: Increasing Factors...345
ii. Calculation Decreasing Factors...347
(1) Effective Corporate Compliance Programs...347
(2) Cooperation...350

d. Multipliers...351
e. Disgorgement...352
f. Implementation...352
g. Departures...353"     (pp. 327-328)

GERAGHTY, James A., Note, "Structural Crime and Institutional Rehabilitation: A New Approach to Corporate Sentencing", (1979-80) 89 Yale Law Journal 353-375;

[Contents]

[Introduction]...353

I. The Unique Qualities of the Corporate Criminal...355

A. Legal Structure: The Separation of Ownership
     and Control...355
B. Organizational Structure: The Diffusion of
     Managerial Decisionmaking...357

II. A Critique of Current Sentences: The Inadequacy of Fines...360

A. A Conceptual Framework: Sentencing Goals and the
    Corporation...360
B. The Impact and Failure of Fines...362

III. An Alternative Sentence: Judicial Intervention Through Corporate Probation...364
A. The Merits of Judicial Intervention...365
B. Implementing the Proposal: Corporate Probation...367
1. What is Corporate Probation?...368
2. When is Corporate Probation Appropriate?...369
3. What Probation Conditions Should Be Imposed?...372
Conclusion...374

GIBSON, Roger, "Corporations, Persons and Moral Responsibility", (Summer 1986) 21 Journal of Thought 17-27;  title noted in my research but 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 (30 August 2004); see response by Hoffman and Frederick, infra;
 

GIERKE, Otto Friedrich von, 1841-1921, Associations and law : the classical and early Christian stages / edited and translated by George Heiman, with an interpretative introduction to Gierke's thought, Toronto/Buffalo: University of Toronto Press, c1977, 166 p., ISBN: 0802053785; copy at Ottawa University, FTX General :  HD 3499 .G5 1977;

Contents

ACKNOWLEDGMENTS...vii

INTRODUCTION...1

1. The Nature of Associations and Fellowships...3

2. Person -- Fictitious and Real...25

3. State and Law...42

4. Natural and Historical Law...56
 

THE ASSOCIATION IN CLASSICAL ANTIQUITY AND
EARLY CHRISTIANITY / OTTO GIERKE...69

Translator's Note...71

I. The Concept of Association in Ancient Philosophy...73

II The Concept of Association in Roman Jurisprudence...95

III. Christianity and the Ancient Concept of Association...143

Index...161  [p. v, arrangement of the "Contents" page is a bit changed by me]

__________Natural Law and the Theory of Society, 1500 to 1800, / by Otto Gierke; With a lecture on the ideas of natural law and humanity, by Ernst Troeltsch; Translated with an introd. by Ernest Barker, Boston: Beacon Press, 1957, xci, 423 p., 1934; copy at Ottawa University, MRT General K 430 .G52513 1957;

"Otto Von Gierke (1844-1921), Professor of Law at the University of Berlin in 1871, at the University of Breslau in 1872, at the University of Heidelberg in 1884, and the University of Berlin in 1887, was one of the great exponents of the Germanistic point of view in the interpretation of the German legal history.  During most of his life, he worked on two monumental works, Das deutsche Genossenschaftsrecht (The German Law of Associations), of which the present volume is a translation of five subsections of the fourth volume and Deutsches Privatrecht." (p. iv)

___________Political Theories of the Middle Ages, translated with an Introduction by Frederic William Maitland, Cambridge: Cambridge University Press, 1913, lxxx, 197 p.; copy at the Library of the Supreme Court of Canada,JC 111 G54 1913;
 

GIFFIN, Timothy G., Comment, "Corporations and the Federal Probation Act - Is the Community an Aggrieved Party: United States v. William Anderson Co", (1983-84) 58 St. John's Law Review 163-181; copy at Ottawa University, KFN 5069 .S76 Location, FTX Periodicals;

[CONTENTS]

[INTRODUCTION]...163

SENTENCING THE CRIMINAL CORPORATION...172

ALTERNATIVE TYPES OF RESTITUTION...175

Community Service...175
Fluid Recovery...179

CONCLUSION...181

GILBERT, Michael J. and Steve Russell, "Globalization of criminal justice in the corporate context", (2002) 38(3) Crime Law and Social Change 211-238;

"Abstract. Globalization, the rising of an economy outside the paradigm of government by nation-states, has created new opportunities for transnational corporate crime, defined broadly here as avoidable harms inflicted across national borders for purposes of economic gain. The authors reexamine theories of corporate criminal liability in the transnational context and
applaud the recent French codification of corporate criminal liability in terms broad enough to encompass the new economic realities. Finally, they examine the inability of current adjudicative fora to effectively assert jurisdiction over transnational corporations and suggest that the harms associated with toxic waste spills, unethical marketing practices, and other corporate misconduct are more ubiquitous and dangerous than the harms of terrorism and war crimes that have captured the attention of the emerging global civil society." (p. 211)

GINSBERG, Robert E., "United States: National Report", (1983) 54(1-2) Revue internationale de droit pénal / International Review of Penal Law 229-248, see p. 240 (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);
 

GILLET, Pierre, 1900-1979, La personnalité juridique en droit ecclésiastique, spécialement chez les Décrétistes et les Décrétalistes et dans le Code de droit canonique, Malines, Godenne, 1927, xx, 282 p. (Collection; Universitas Catholica Lovaniensis; Dissertationes in Facultate Theologica; Ser. 2, t. 18); copie à la Bibliothèque Univresité St-Paul Library -- Collection générale -- General collection, BQV 200 B2G55P4 1927; contribution importante;

"INDEX ANALYTIQUE
                                    P.P.
Préface...VII
Index bibliographique...VIII

LIVRE PREMIER
Histoire de la théorie canonique de la personne morale,
spécialement chez les Décrétistes et les Décrétalistes
 

PREMIÈRE PARTIE
LES ANTÉCÉDENTS DE LA THÉORIE

SECTION PREMIÈRE
Les Personnes Morales dans le Droit Romain

CHAPITRE PREMIER
LES DIVERSES ESPÈCES DE PERSONNES
MORALES EN DROIT ROMAIN

Préliminaires. -- § 1. Les diverses espèces de personnes morales. --  § 2. La Cité. -- § 3. La Curie...3-9

CHAPIRE DEUXIÈME
LES COLLÈGES ET LES CORPORATIONS

§ 1. Notions générales sur les collèges.  La législation avant l'Empire. -- § 2. La législation de l'Empire; la 'Lex Julia'. -- § 3. La capacité juridique des collèges autorisés. -- § 4. La situation des collèges non autorisés...10-20

CHAPITRE TROISIÈME
LES ÉGLISES ET LES ÉTABLISSEMENTS ECCLÉSIASTIQUES

§ 1. Les églises avant Constantin. -- § 2.  Les églises de Constantin à Justinien. -- § 3. La législation de Justinien sur les églises. -- § 4. Les établissements charitables.  Origine de la fondation.  -- § 5. Les monastères...21-31

CHAPITRE QUATRIÈME
LA NATURE DE LA PERSONNALITÉ MORALE EN DROIT ROMAIN: L' 'UNIVERSITAS'

§ 1. La théorie de la fiction. -- § 2. La théorie des droits de la collectivité et du patrimoine corporatif. -- § 3. La notion de l' 'UNIVERSITAS'...32-40

CHAPITRE CINQUIÈME
- LA NATURE DE LA PERSONNALITÉ JURIDIQUE EN DROIT ROMAIN
- LES PERSONNES MORALES ECCLÉSIASTIQUES

§ 1. L'Eglise. -- § 2. Les Monastères. -- § 3. Les Établissements charitables...41-48

SECTION II
La conception chrétienne de l'Eglise

Introduction...49-50

CHAPITRE PREMIER
L'ÉGLISE DANS LE NOUVEAU TESTAMET ET CHEZ LES PÈRES...51-55

CHAPITRE DEUXIÈME
LA DOCTRINE SCOLASTIQUE DE L'ÉGLISE...56-60
 

SECTION III
La Théorie des Glossateurs

INTRODUCTION
Le rôle des glossateurs...61-63

CHAPITRE PREMIER
L'ASSOCIATION EN DROIT GERMANIQUE

§ 1. La forme primitive de l'association germanique: la propriété en main commune. -- § 2. La 'Genossenschaft'...64-67

CHAPITRE DEUXIÈME
LA THÉORIE DES GLOSSATEURS -- PRINCIPES GÉNÉRAUX

§ 1. Le concept de la personne juridique.  -- § 2. Etablissement, cessation et suppression de la personne juridique...68-72

CHAPITRE TROISIÈME
LA CAPACITÉ JURIDIQUE DE LA PERSONNE MORALE

§ 1. Aperçu général.  La capaciter de posséder. -- § 2. Prérogatives de droit public. -- § 3. Capacité de vouloir et d'agir. -- § 4. Premier mode d'action. -- § 5. Deuxième mode d'action. -- § 6. Capacité d'agir en justice. § 7.  Les délits de la corporation...73-78

DEUXIÈME PARTIE
LA THÉORIE DE LA PERSONNE MOROLE CHEZ
LES DÉCRÉTISTES ET LES DÉCRÉTALISTES
Introduction...79-81
 

SECTION PREMIÈRE
Le Décret de Gratien et les Décrétistes

CHAPITRE PREMIER
- LES PERSONNES MORALES ECCLÉSIASTIQUES DANS LE DÉCRET
  DE GRATIEN ET CHEZ LES DÉCRÉTISTES
- LEUR ÉTABLISSEMENT, LEUR DURÉE, LEUR MODIFICATION
  ET LEUR EXTINCTION

§ 1. Les personnes morales mentionnées par Gratien et par les Décrétistes. -- § 2. Etablissement, durée, modification et extinction des personnes morales...82-86

CHAPITRE DEUXIÈME
LE STATUT JURIDIQUE DE LA PERSONNE
ECCLÉSIASTIQUE

§ 1. La capacité de posséder et d'acquérir. -- § 2. La capacité de poser des actes juridiques. -- § 3. Les prérogatives de droit public. --§ 4. Capacité d'agir en justice.  -- § 5. Les agebts de l'église: le Prélat.  -- § 6. Le Chapitre: le principe majoritaire.  -- § 7. Les délits commis par l'église et les peines qu'elle encourt...87-99

CHAPITRE TROISIÈME
LA NATURE DE LA PERSONNIFICATION

§ 1. Le concept juridique de l'église et du monastère. -- § 2. La nature de la personnification...100-105

SECTION DEUXIÈME
Les Décrétales et les Décrétalistes

CHAPITRE PREMIER
LES PERSONNES MORALES DANS l'ÉGLISE; LEURS ESPÈCES;
LEUR ÉTABLISSEMENT ET LEUR EXTINCTION

§ 1.  Les personnes morales dans l'Eglise. -- § 2. Les classifications des personnes morales.  -- § 3. Etablissement des personnes morales.  -- § 4. Durée et extinction de la personne morale...106-115

CHAPITRE DEUXIÈME
LA CAPACITÉ JURIDIQUE

§ 1. La capacité de posséder un patrimoine.  --  § 2. La capacité de poser des actes juridiques. -- § 3. La capacité d'agir en justice. -- § 4. La capacité délictuelle de l'église et de l'Universitas. -- § 5. Prérogatives de droit public....116-127

CHAPITRE TROISIÈME
LES AGENTS DE LA PERSONNE JURIDIQUE

§ 1.  Les divers agents et leurs fonctions. -- § 2. Rôle des agents de l'église dans les principaux actes. -- § 3. Les décisions collégiales. -- § 4. Le principe majoritaire...128-140

CHAPITRE QUATRIÈME
LA THÉORIE DE GIERKE SUR LA DOCTRINE CANONIQUE
DE LA PERSONNALITÉ JURIDIQUE

§ 1. L'apport du droit canonique dans l'élaboration de la doctrine de la personnalité juridique, d'après Gierke.  Considérations générales. -- § 2. Le concept d'institution en droit canonique. -- § 3. Manifestations du concept d'institution en droit canonique. -- § 4. L'influence  de la doctrine canonique sur la théorie de la fiction juridique...141-149

CHAPITRE CINQUIÈME
- ESSAI D'INTERPRÉTATION DE LA THÉORIE CANONIQUE
  DE LA PERSONNE MORALE.
- L''UNIVERSITAS PERSONARUM'

§ 1. Préliminaires et définition. -- § 2. Le rôle des personnes physiques dans la constitution de l''Universitas'. -- § 3. Rôle des membres dans l'action de l''Universitas'. -- § 4. Part des membres dans les droits et les charges de l''Universitas'. -- § 5 La fiction de personnalité de l''Universitas'...150-168

CHAPITRE SIXIÈME
ESSAI D'INTERPRÉTATION DE LA THÉORIE CANONIQUE DE LA PERSONNE MORALE.
SUITE: L'ÉGLISE, l'OFFICE, LA DIGNITÉ, LA PRÉBENDE, LE BÉNÉFICE

§ 1. Préliminaires. -- § 2. L'Eglise universelle. -- § 3. L'Eglise particulière...169-180

------

LIVRE SECOND
La personnalité juridique dans le Code de droit canonique

SECTION PREMIÈRE
Les théories sur la personnalité juridque

CHAPITRE PREMIER
INTRODUCTION -- PROBLÈME -- LES THÉORIES DE LA
FICTION ET DES DROITS SANS SUJET

Introduction. -- § 1. Le problème. -- § 2. La théorie de la fiction. -- § 3. La théorie des droits sans sujet...183-188

CHAPITRE DEUXIÈME
LES THÉORIES DE LA RÉALITÉ DE LA PERSONNE
JURIDIQUE

§ 1. Les origines des théories réalistes.  Les doctrines organiciste et sociologique.  -- La théorie de la volonté. -- § 3. La théorie de Gierke...189-197

CHAPITRE TROISIÈME
LES THÉORIES DE LA RÉALITÉ DE LA PERSONNE JURIDIQUE,
SUITE

§ 1. La théorie de Michoud. -- § 2. La théorie de Saleilles. -- § 3. La théorie de M. Ferrara...198-217

CHAPITRE QUATRIÈME
LA THÉORIE INDIVIDUALISTE OU DE LA PROPRIÉTÉ COLLECTIVE

§ 1. La théorie de Van den Heuvel. -- § 2. La théorie de Vareilles-Sommières. § 3. La théorie de M. Planiol ou d la propriété collective...218-224

CHAPITRE CINQUIÈME
LE PROBLÈME DE LA PERSONNALITÉ JURIDIQUE DEVANT LA PHILOSOPHIE
DU DROIT.  DROIT ET SUJET DE DROIT....225-231
 

SECTION II
La personnalité juridique dans le Code

CHAPITRE PREMIER
NOTION GÉNÉRALE ET DIVISIONS DES PERSONNES MORALES DANS LE CODE

§ 1. Notion générale. -- § 2. Divisions des personnes morales...232-236

CHAPITRE DEUXIÈME
L'ÉRECTION DES PERSONNES MORALES

§ 1. L'intervention du pouvoir.  Principes généraux. -- § 2. Les personnes morales de droit divin. -- § 3. Les personnes morales de droit ecclésiastique. -- § 4. Les personnes morales reconnues par le droit. -- § 5. Les personnes morales de droit ecclésiastique.  Suite: les personnes morales par concession spéciale. -- § 6. Intervention de l'autorité dans l'érection des personnes morales...237-249

CHAPITRE TROISIÈME
LES ÉLÉMENTS DE LA PERSONNE MORALE

§ 1. Les éléments de la personne morale collégiale. -- § 2. Les éléments de la personne morale non collégiale....250-252

CHAPITRE QUATRIÈME
LE STATUT JURIDIQUE DES PERSONNES MORALES

§ 1. Assimilation des personnes morales aux mineurs. -- § 2. Le domicile des personnes morales. -- § La capacité juridiqe des personnes morales. -- § 4. Le mode d'action des personnes morales. -- § 5. L'administration des biens des personnes morales. -- § 6. L'action en justice...253-265

CHAPITRE CINQUIÈME
LA DURÉE, LES MODIFICATIONS ET L'EXTINCTION DES PERSONNES MORALES

§ 1. La durée des personnes morales.  -- § 2. Les modifications des personnes morales. -- § 3. L'extinction des personnes morales...266-271

CHAPITRE SIXIÈME
LA NATURE DE LA PERSONNALITÉ JURIDIQUE DANS LE CODE

§ 1. Le concept de personne morale. -- § 2. Le sujet logique de la personnalité. -- § 3. La personnification procédé de technique juridique...272-279" (pp. xii-xx)

GIVANOVITCH, Thomas, "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 306-310; copie à la bibliothèque de la Faculté de droit, Université de Montréal, HAZE R454i;
 

GLASBEEK, H. J. (Harry J.), Crime, health and safety and corporations : meanings of Victoria's failed Workplace deaths and serious injuries Bill and its equivalents elsewhere, Parkville, Vic. : University of Melbourne, Faculty of Law, Centre for Employment and Labour Relations Law, 2004, 45 p. (series; Working Paper; Centre for Employment and Labour Relations Law, ISSN: 1321-9235; no. 29);
 

GLASER, S., "L'État en tant que personne morale est-il pénalement responsable?", (1948-49) Revue de droit pénal et de criminologie 425-452; titre noté dans mes recherches mais article non consulté; aucune copie de ce numéro de périodique dans les bibliothèques de la région d'Ottawa;
 

GLAZEBROOK, P.R., "A better way of convicting businesses of avoidable deaths and injuries?", (2002) 61(2) The Cambridge Law Journal 405-422;

"The Law Commission’s proposal for an offence of  'corporate killing' (modelled on the common law crime of gross negligence manslaughter) is criticised for vagueness and  imprecison, for not comprehending serious non-fatal injuries, and for failing to recognise  that in the absence of clear rules of attribution, any criminal liability imposed on an  organisation can only be for failing to prevent something happening. It is suggested that offences (patterned on those of causing death by dangerous, or by careless and drunken driving) of causing death or serious injury by breaking (statutory) regulations  would be a much better way of holding businesses and similar bodies as well as individuals liable for death and serious injuries that would not have occurred if those regulations had been obeyed." (source:  http://journals.cambridge.org/bin/bladerunner?30REQEVENT=&REQAUTH=0&500000REQSUB=&REQSTR1=S0008197302001678, accessed on 16 April 2004)

GLEKEL, Jeffrey, "Corporate Criminal Liability", in Abraham Abramovsky, and Fordham Corporate Law Institute (6th : 1979 : New York, N.Y.), eds., Criminal law and the corporate counsel / Sixth Annual Fordham Corporate Law Institute,  New York, N.Y.: Law & Business : Harcourt Brace Jovanovich, c1981,  xiii, 384 p., at pp. 261, ISBN:  0150039832; title noted in my research but article not consulted; no copy of this book in the Ottawa area libraries according to my verification of the AMICUS catalogue of Library and Archives Canada (verification of 27 August and 11 April 2004);
 

GOBERT, James, "Controlling Corporate Culpability: Penal Sanctions and Beyond", [1998] Web Journal; available at  http://webjcli.ncl.ac.uk/1998/issue2/gobert2.html,  (accessed on 29 April 2004);

Contents

- Introduction
- Fines - The Penalty of Default
- Community Service Orders
- Adverse Publicity Orders
- Restraint Oriented Sanctions
- Rehabilitation and Remedial Orders
- Beyond Punishment
- Conclusion

Bibliography

___________"Corporate Criminality: Four Models of Fault", (1994) 14 Legal Studies: The Journal of the Society of Public Teachers of Law 393-410; copy at Ottawa University, K 12 .E357  Location: FTX Periodicals;

[Contents]

[Introduction]...393
Vicarious liability...396
Identification...400
Aggregation...403
Corporate fault...407
Conclusion...409

___________"Corporate Criminality: New Crimes for the Times", [1994] The Criminal Law Review 722-734; copy at Ottawa University, KD 7862 .C734  Location:  FTX Periodicals;

"Summary: Neither conventional criminal law nor regulatory offences have proved to be a particularly effective vehicle for holding companies accountable for harms which occur in the course of their business activity.  This article explores alternative approaches to criminal liability aimed at better capturing the nature of corporate fault." (p. 722)

__________"Corporate Killing at Home and Abroad", (2002) 118 The Law Quarterly Review 72-97;

[CONTENTS]

I. INTRODUCTION...72

II. BACKGROUND TO THE GOVERNMENT'S PROPOSALS...74

III. THE CORPORATE KILLING OFFENCE -- A CLOSER LOOK...77

- Beyond individual fault...78
- An offence of omission...81
- A failure that falls far below what can reasonably be expected in the
   circumstances...82
- Causation...85

IV. THE PARENT-SUBSIDIARY RELATIONSHIP..87

V. ENGLISH PARENTS, FOREIGN SUSIDIARIES AND CORPORATE DEATHS...91

VI. CONCLUSION...96
 

GOBERT, James and Emilia Mugnai, “Coping with Corporate Criminality – Some Lessons From Italy”,  [2002] The Criminal Law Review 619-629; copy at Ottawa University, KD 7862 .C734  Location:  FTX Periodicals;

"Summary:  The English courts have struggled to find a satisfactory test holding companies liable for their criminal wrongdoing.  The government's proposal for a crime of corporate killing constitutes an important advance in this area, but it is still deficient in many respects.  A new Italian statute, on the other hand, offers a more comprehensive and detailed model of corporate criminality." (p. 619)

GOBERT, James J. and Maurice Punch, Rethinking corporate crime, London: Butterworths, LexisNexis, c2003, xxiii, 379 p. (series; Law in context), ISBN:    0406950067; title noted in my research; book not consulted; no copy of this book in the Ottawa area libraries according to my AMICUS catalogue verification of 11 September 2004;

[Contents]
"Preface
Table of statutes
List of cases
Ch. 1  Understanding the nature and causes of corporate crime...1
Ch. 2  Corporate criminality I: Imputed liability...42
Ch. 3  Corporate criminality II: Organisational fault...78
Ch. 4  Corporate criminality III: Endangerment offences...115
Ch. 5  Corporate crime in an era of globalisation...146
Ch. 6  When a company is on trial: Rules of evidence and procedure...179
Ch. 7  Sentencing and sanctions...214
Ch. 8  Individual liability...253
Ch. 9  Policing companies: Dilemmas of regulation...283
Ch. 10  Self-regulation and the socially responsible company...315
Bibliography...347
Index...369" (source: Biddle Law Library Catalogue:  http://lola.law.upenn.edu/screens/opacmenu.html)

GOFF, Colin, "Sanctioning Corporate Criminals",  in Michael B. Blankenship, 1955-, ed., Understanding Corporate Criminality, New York: Garland Publishing, 1993, xxiii, 266 p., at pp. 239-262 (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]...239

Sentencing Disparity...243

White-Collar and Corporate Offenders...244

Regulatory Offenses...251

Organizational Offenders...254

Conclusion...257

REFERENCES...259

GOLDSMITH, Michael and Chad W. King, "Policing Corporate Crime: The Dilemma of Internal Compliance Programs", (1997) 50 Vanderbilt Law Review 1-47;

"[TABLE OF CONTENTS]

I. INTRODUCTION...3

II. COMPLIANCE PROGRAMS AND COMPLIANCE AUDITS...9

A. The Benefits of Internal Compliance Programs and Audits...12

B.  Compliance Programs, Audits, and the United States Sentencing Guidelines...18

1. Preventing and Detecting Violations of Law...19
2. Due Dffigence...20
3. The Compliance Context...21
4. Compliance with Industry Practice...21

III. PROTECTION FOR COMPLIANCE MATERIALS...22

A. Common-Law Evidentiary Privileges...22

1.  The Attorney-Client Privilege...24

a.  Upjohn Co. v. United States... 25
b.  The Subject Matter Test...27

2.  The Work Product Doctrine...28
3.  The Self-Evaluative Privilege...30

B.  Legislative Protection for Audit Materials: Environmental Audit Statutes...33

1.  Statutory Requirements...34
2.  Scope of the Privilege...36
3.  Other Requirements...37

a.  The Business Must Attempt to Remedy the Problem...37
b.   The Corporation Must Have a Program to Prevent and Detect Environmental Violations...37

4.  Limitations on the Privilege...37

a.   Waiver...38
b.   Continued Non-Compliance...38
c.   Present or Impending Danger to Public Health...38
d.   Fraud...39
e.   Compelling Circumstances    39

IV. A NEW APPROACH TO PROTECTING COMPLIANCE MATERIALS...39

V.  CONCLUSION...44

APPENDIX...46"  (pp. 1-2)

GOLLIER, Martine, et F. Lagasse, "La responsabilité pénale des personnes morales : le point sur la question après l’entrée en vigueur de la loi du 4 mai 1999", (1999) Chroniques de droit social 521-529; copie à l'Université Laval, 1994- K 23 O215; Sociaalrechtelijke kronieken = Chroniques de droit social, publiées par  [Antwerpen] : Kluwer Éditions juridiques Belgique, 1981-, volume 1 (1981)-; titre noté dans mes recherches mais non consulté; selon ma vérification du catalogue AMICUS de la Bibliothèque nationale et Archives Canada, aucune copie de ce périodique dans la région d'Ottawa (15 mai 2004); droit belge;
 

GOODE, Matthew, "Corporate Criminal Liability", in Hobart Neil Gunningham, Jennifer Norberry, and Sandra McKillop, eds., Environmental Crime : proceedings of a conference held 1-3 September 1993, Hobart, Canberra: Australian Institute of Criminology, 1995, 14 p.  (AIC Conference Proceedings; number 26); available at http://www.aic.gov.au/publications/proceedings/26/goode.pdf (accessed on 1 November 2003);
 

GOODPASTER, Kenneth E. and John B. Matthews, "Can a Corporation have a conscience?", (January-February1982) Harvard Business Review 132-141; copy at Ottawa University, HF 5001 .H3  Location: MRT Periodicals;
 

GOTTSCH, Priscilla J., "Criminal Law II, United States v. William Anderson Co.: 'Crimes in the Suites,' Alternative Sentencing of Corporate Defendants", (1982-83) 16 Creighton Law Review 1025-1044; copy at Ottawa University, KFN 69 .C725  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada;

"[TABLE OF CONTENTS]

INTRODUCTION...1025

FACTS AND HOLDING...1025

BACKGROUND...1026
- White Collar Crime...1026
- Sentencing Philosophy As Applied to White Collar Crime...1029
- The Federal Probation Act...1031

ANALYSIS...1032
- The Probation Act and Its Application to Corporate Entities...1032
- The Constitutionality of Discretionary Power...1035
- Judicial Discretion and Its Limitations...1037

CONCLUSION...1041

GRABOSKY, P.N., "CONCLUDING OBSERVATIONS ON PUBLIC SECTOR ILLEGALITY AND ITS CONTROL",  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.219-227 (series; Proceedings / AIC Seminar, ISSN: 0813-7005; no. 17), ISBN: 0642115400; copy at the Library of Parliament, Ottawa, JQ 4024 G69;

[Contents]

[Introduction]...219

I  Deterrence and Oversight...220

II Rehabilitation...224

III Compensation...225

IV Denunciation...226

REFERENCES...228

GRABOSKY, Peter and John Braithwaite, "Corporate Crime and Government Response in Australia", in D. Chappell and P. Wilson, eds., 1946-, The Australian Criminal Justice System: The Mid 1980's, Sydney: Butterworths, 1986, ix, 337 p., at pp. 84-96, ISBN: 0409491497; copy at Carleton University, KTA.A866 1986;
 

GRABOSKY, P.N., J.B. Braithwaite and P.R. Wilson, "The Myth of Community Tolerance Toward White-Collar Crime", (1987) 20 Australia and New Zealand Journal of Criminology 33-44; copy at Ottawa University, HV 6001 .A9  Location: MRT Periodicals;

[Contents]

Introduction...33

The American Evidence...33

International Comparative Studies...36

Australian Studies...37

The 1986 Australian Institute of Criminology Survey...38

The Limits of Survey Research...42

Summary...42

Notes...43

References...43

GRABOSKY, Peter N. (Peter Nils), 1945-, and Adam Sutton, "Introduction", in Peter N. Grabosky and Adam Sutton, eds., Stains on a white collar: Fourteen studies in corporate crime or corporate harm,  Annandale, Annandale (NSW) : Federation Press, 1989, xx, 268 p., at pp. xi-xx, ISBN: 1862870098; copy at the Library of the Supreme Court of Canada, K5215 A58;
 

GRANTHAM, Ross, "Attributing Responsibility to Corporate Entities: A Doctrinal Approach", (2000) 19 Company and Securities Law Journal 168; title noted in my research but article not consulted; no copy of this Australian periodical in the Ottawa area libraries covered by the AMICUS catalogue of Library and Archives Canada (verification of 17 August 2004);

"[Summary] Historically, the explanation of how juristic persons such as a corporation could be said to act, know or intend was found entirely in the concepts of the principles of agency. By analysing those natural persons involved in the enterprise as the corporation's agents, the corporation could be said to act and to have knowledge. The central concern of this article, however, is with whether there is, in addition to the application of standard agency principles, a further mechanism for attributing actions of natural persons to the corporation that is specific to corporate law. The author's thesis is that there is indeed a company-specific mechanism for attribution. For the purposes of both the criminal and civil law, responsibility may be attributed to the entity by way of a doctrine variously called 'identification', 'alter ego', 'directing mind and will', and the 'organic approach'. The author further considers the scope of the organic approach and in particular the doctrinal relationship predicted by the organic approach between central corporate law doctrines and the general law." (source:  http://cclsr.law.unimelb.edu.au/bulletins/archive/Bulletin0045.htm, accessed on 17 August 2004);

___________ “Corporate Knowledge: Identification or Attribution?” (1996) 59 Modern Law Review 732-737; no copy at Ottawa University; copy at the Library of the Supreme Court of Canada, Ottawa;
 

GRANTHAM, R. and B. Robertson, "Corporate Knowledge -- Two Views on Meridian", [1996] 2 New Zealand Business Law Quarterly 63; 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 (27 August 2004);
 

GRAVEN, Philippe, "La responsabilité pénale du chef d'entreprise et de l'entreprise elle-même", Semaine Judiciaire, 1985; titre noté dans mes recherches mais article non consulté; aucune copie de ce périodique suisse dans la région d'Ottawa, selon ma vérification du catalogue AMICUS de Bibliothèque et Archives Canada (9 septembre 2004);
 

GRAVEN, Philippe et Charles-André Junot, "Societas delinquere potest?", Mélanges Robert Patry, Lausanne: Payot, 1988, 410 p., aux pp. 351-365, (Collection Juridique Romande), ISBN: 2601027096; copie à l'Université d'Ottawa, FTX General: KKW 74 .M427 1988;
 

GREAT BRITAIN,  Home Office, Corporate Manslaughter: A Regulatory Impact Assessment of the Government's Draft Bill, 2005?, available at  http://www.homeoffice.gov.uk/docs4/ria.pdf (accessed on 26 July 2005);
 

___________Corporate Manslaughter: A Summary of Responses to the Home Office's Consultation in 2000, 2005?, available at  http://www.homeoffice.gov.uk/docs4/cs_corp_mans.pdf (accessed on 26 July 2005);
 

___________Home Office, Corporate Manslaughter: The Government's Draft Bill for Reform, The Stationery Office, 2005, 44 p. (command 6497); available at  http://www.homeoffice.gov.uk/docs4/tso_manslaughter.pdf (accessed on 26 July 2005); on this topic, see also the Home Office's web page at  http://www.homeoffice.gov.uk/docs4/con_corp_mans.html (accessed on 26 July 2005);
 

___________Home Office, Reforming the Law on Involuntary Manslaughter: the Government's Proposals, [London] : Home Office Communication Directorate, [2000], 41 p.; available at  http://www.homeoffice.gov.uk/docs/invmans.html(accessed on 15 December 2003);

"Contents

Foreword by the Home Secretary

Chapter 1: Introduction (including address for responses)

Chapter 2: Scope of the Proposals - Reckless Killing & Killing by Gross Carelessness

Chapter 3: Scope of the Proposals - a New Offence of Corporate Killing

Chapter 4: Transmission of Disease & Consultation Paper on Offences Against the Person

Chapter 5: Conclusion and Summary of Questions

Annex: The Law Commission's Draft Involuntary Homicide Bill & Government Comments on it" (source: http://www.homeoffice.gov.uk/docs/invmans.html (accessed on 15 December 2003);
 

"Criminal Code Act...

Vicarious liability
33.  An element of a Code offence may be attributed to a person by reason of an act done by another only if that other is--

(a)  specified in the definition of the offence as a person whose act may be so attributed; or
(b) acting within the scope of his employment or authority and the definition of the offence specifies the element in terms which apply to both persons; or
(c) his innocent agent under section 30(2)(b)

Corporations: Liability for offence not requiring fault.
34. -- (1)  A corporation may be guilty of an offence not involving a fault element by reason of--

(a) an act done by its employee or agent, as provided by section 33; or
(b) an omission, state of affairs or occurrence that is an element of the offence.

Liability where fault required
(2)  A corporation may be guilty--

(a) as a principal, of an offence involving a fault element; or
(b) as an accessory, of any offence,

only if one of its controlling officers, acting within the scope of his office and with the fault required, is concerned in the offence.

'Controlling officer'.
(3)(a) 'Controlling officer' of a corporation means a person participating in the control of the corporation in the capacity of a director, manager, secretary or other similar officer (whether or not he was validly appointed to his office).

(b) In this subsection 'director', in relation to a corporation established by or under any enactment for the purpose of carrying on under national ownership any industry or part of an industry or undertaking, being a corporation whose affairs are managed by the members thereof, means a member of the corporation.

(c)  Whether a person acting in a particular capacity is a controlling officer is a question of law.

'Concerned in an offence'.
(4) A controlling officer is concerned in an offence if he does, procures, assists, encourages or fails to prevent the acts specified for the offence.

'Fails to prevent'.
(5) For the purpose of subsection (4), a controlling officer fails to prevent an act when he fails to take steps that he ought to take--

(a) to ensure that the act is not done;
(b) where the offence may be constituted by an omission to do an act or by a state of affairs or occurence, to ensure that the omission is not made or to prevent or end the state of affairs or occurrence.

Controlling officer acting to harm corporation.
(6)  A controlling officer does not act 'within the scope of his office' if he acts with the intention of doing harm or of concealing harm done by him or another to the corporation.

Offence not punishable with fine.
(7) A corporation cannot be guilty of murder or of any other offence not punishable with a fine.

Availability of defences.
(8)  A corporation has a defence consisting of or including--

(a) a state of mind only if--

(i) all controlling officers who are concerned in the offence; or
(ii) where no controlling officer is so concerned, all other employees or agents who are so concerned,

have that state of mind;

(b) the absence of a state of mind only if no controlling officer with responsibility for the subject-matter of the offence has that state of mind;

(c) compliance with a standard of conduct required of the corporation itself only if it is complied with by the controlling officers with responsibility for the subject-matter of the offence.

Liability of officer of corporation.
35.-- (1) Where a corporation is guilty of an offence to which this section applies, a controlling officer of the corporation or person purporting to act as such who is not apart from this section guilty of the offence is guilty of it as an accessory if--

(a) he connives at its commission; or
(b) the offence does not involve a fault element and its commission is the result of his careless performance or neglect of his duties.

Connivance.
(2)  A person does not connive at the commission of an offence unless he knows that or is reckless whether it is being or will be committed.

Application of section.
(3)  This section applies to any offence to which it is said to apply by column 7 of Schedule 3." (pp. 117 and 189-191)

___________The Law Commission, Codification of the criminal law : general principles; criminal liability of corporations, London: Her Majesty's Stationery Service, 1972, 3, ii, 43 p. (series; Working paper; number 44); copy at Ottawa University, FTX General: KD 654 .A255 V.44;

[Contents]

LAW COMMISSION INTRODUCTION...1

MEMBERSHIP OF THE WORKING PARTY...3

TABLE OF CONTENTS...i

I. Introduction...1

II. The present position...2

III. Development of corporate liability...7

IV. Corporate liability in other legal systems...10

1. Common law systems...10

Other Commonwealth Countries...10
U.S.A....11
Scotland...12

2. Civil law systems...12

France...12
Germany...14
Italy...14
Scandinavia...15

V. Possible alternatives to the present law...15

(a) Absence of liability...16
(b) Liability confined to offences of strict liability...17
(c) Liability arising out of vicarious liability...18
(d) Liability for strict liability offences with or without a defence of 'no negligence'...20
(e) Limitation of liability by reference to penalty...21
(f) The status quo...22

(i) Possible exceptions to criminal liability...23
(ii) The test of identification...25

Summary of suggested alternatives...28

VI. Factors in the choice of a wide or limited basis of liability...29

Factors favoring a limited liability...29
Factors favoring a general liability...29
Consideration of the factors...30

1. The historical argument...30
2. Identification and personal liability...31
3. Loss to shareholders...32
4. Publicity...33
5. Unjust enrichment...34
6. Inchoate offences; aiding and abetting...36
7. Convenience...37

The bases of restricted liability compared...38

VII. Summary...39

APPENDIX -- Model penal Code: proposed official draft of
                        30 July 1962 [Section 2.07]...41
 

10.2 A controversial subject.  One reason is the controversial character of corporate criminal liability.  The subject is a relatively recent judicial development and was not fully discussed in authoritative judgments before the House of Lords decision in Tesco Supermarkets Ltd. v. Nattrass in 1971.³   We are conscious that we are here proposing the restatement of principles whose underlying theory and rationale remain strangely uncertain.  It is comforting to note, however, that, although the Working Party did review other possible approaches to the subject (including that of abolishing corporate liability altogether), its discussion plainly tended towards the preservation of a slightly modified version of the status quo.  Clause 30 incorporates some of those modifications.

10.3  An undeveloped subject.  The second observation to be made upon the application to corporate criminal liability of our general restatement policy concerns the relatively undeveloped state of the subject.  Although its essentials are reasonably clear, the Code team expressed surprise at the number of points at which, in drafting their suggested clause, they had to fill in gaps in the law for want of authority.⁴   It has therefore been encouraging that the team's clause largely escaped criticism on consultation, and in particular that their proposals for the filling of gaps were not questioned.  We have been able to adopt that clause with very minor amendments. ...
------
³[1972] A.C. 153
⁴Law Com. No. 143, para. 11.2 (referring by way of example to the subject-matter of paras. 10.12, 10.17 and 10.18 below).  'See, respectively, Clean Air Act 1956, s. 1; Control of Pollution Act 1974, s. 31(1)(a)." (vol. 2, p. 213)

___________The Law Commission, Criminal Law Involuntary Manslaughter: A Consultation Paper, London: Her Majesty Stationery Office, 1994, iv, 136 p., (series; consultation paper; number 135), ISBN: 0117302198; copy at Ottawa University, FTX General: KD 7963 .C75 1994;

"[PARTIAL] CONTENTS...

PART IV: THE LIABILITY OF CORPORATIONS

A.  INTRODUCTION...89
B.  THE GENERAL LAW OF CORPORATE LIABILITY...90

-  Background...90
-  The early development of corporate liability...91
-  The principle of identification...93
-  The controlling officers...95

C.  CORPORATE LIABILITY FOR MANSLAUGHTER...97

-  The general theory...97
-  The rejection of the principle of aggregation and the requirement that an individual 'controlling officer' should be guilty...101
-  The 'obviousness' of the risk in the prosecution of P&O European Ferries (Dover) Ltd...104

...

PART V: OPTIONS FOR REFORM
...
G. CORPORATE LIABILITY FOR MANSLAUGHTER...127

-  Introduction...127
-  The difficulties of corporate liability...128
-  Corporate liability and manslaughter...129
-  The corporation should have been aware of the risk...129

H.  The punishment of corporations...133" (pp. iv-v)

___________The Law Commission, Legislating the Criminal code: Involuntary Manslaughter: Item 11 of the Sixth Programme of Law Reform: Criminal Law, London: Her Majesty Stationary Office, 1996, vii, 159 p., (series; number 237); copy at Ottawa University, 0102652961; available at  http://www.lawcom.gov.uk/files/lc237.pdf (accessed on 15 December 2003);

___________The Law Commission, Reforming Bribery: A Consultation Paper, 2007, xiv, 323 p., see "Corporate Liability", at pp. 130-155 (series; consultation paper; 185); disponible à http://www.lawcom.gov.uk/docs/cp185.pdf (accessed on 2 December 2007);
 

___________Parliament, House of Commons, Home Affairs and Work and Pensions Committees, Draft Corporate Manslaughter Bill, First Joint Report of Session 2005-06,

• Vol. 1, Report, Together with Formal Minutes, 2005, 117 p.;
available at http://www.publications.parliament.uk/pa/cm200506/cmselect/cmhaff/540/540i.pdf (accessed on 8 June 2006);

• Vol. 2, Written Evidence, 2005, 344 p.;
available at http://www.publications.parliament.uk/pa/cm200506/cmselect/cmhaff/540/540ii.pdf (accessed on 8 June 2006);

• Vol. 3, Oral and additional written evidence, 2005, 135 p.;
available at http://www.publications.parliament.uk/pa/cm200506/cmselect/cmhaff/540/540iii.pdf (accessed on 8 June 2006);

___________Parliament, House of Commons, Private Member's Bill, Corporate Homicide Bill, April 2000, available at  http://www.parliament.the-stationery-office.co.uk/pa/cm199900/cmbills/114/2000114.htm (accessed on 20 December 2003);

___________Secretary of State for the Home Department, Draft Corporate Manslaughter -- The Government Reply to the First Joint Report from the Home Affairs and Work and Pensions  Committees Session  2005-06 HC 540, March 2006, 33 p.; note: paper presented to Parliament, available at http://www.official-documents.co.uk/document/cm67/6755/6755.pdf (accessed on 8 June 2006);

GREEN, Mark J., Beverly C. Moore, Jr. and Bruce Wasserstein, The Closed Enterprise System; Ralph Nader's study group report on antitrust enforcement, New York: Grossman, 1972, xxii, 488 p., see in particular, Chapter 5, "Criminal Law and Corporate Disorder", at pp. 145-178 with notes at pp. 444-446, ISBN: 067022555X; copy at Ottawa University, MRT General, KF 1649 .G7 1972;
 

GREEN, R.A., "Indications as to the Real Nature of the Criminal Responsibility of Corporations", (1971-73) 6 Victoria University of Wellington Law Review 85-97; copy at the Library of the Supreme Court of Canada, Ottawa;
 

GREEN, Stuart P., "The Concept of White Collar Crime in Law and Legal Theory", March 25, 2004, 32 p., DRAFT, http://faculty.law.lsu.edu/stuartgreen/green.sarbanes.pdf (accessed on 8 May 2004); now published in (2004) 8(1) Buffalo Criminal Law Review 1-34, Symposium on “White Collar Criminal Law in Comparative Perspective: The Sarbanes-Oxley Act of 2002 (April 3-4, 2004)”; available at  http://wings.buffalo.edu/law/bclc/bclrarticles/8/1/green.pdf (accessed on 5 November 2005);
 

GREENPEACE INDIA, "Corporate Accountability", available at  http://www.greenpeaceindia.org/recentnewsdetails.php?rnid=188&Newstype= (accessed on 2 June 2004); site contains several research papers, namely:

Models of Accountability

Corporate Personality: Theories of the firm ( http://greenpeaceindia.org/uploaded/documents/document_81.pdf)

Corporate Criminal Liability (http://greenpeaceindia.org/uploaded/documents/document_82.pdf)

Market Based Instruments ( http://greenpeaceindia.org/uploaded/documents/document_83.pdf)

The Role of Tax Havens ( http://greenpeaceindia.org/uploaded/documents/document_84.pdf)

Self regulation and Voluntary Codes of Conduct ( http://greenpeaceindia.org/uploaded/documents/document_85.pdf)

The Doctrine of Forum Nonconveniens and Corporate Accountablity
(http://greenpeaceindia.org/uploaded/documents/document_86.pdf)

Corporate Criminal Liability- International Comparative Study
(http://greenpeaceindia.org/uploaded/documents/document_87.pdf)
 

GROGIN, Jeffrey P., "Corporations Can Kill Too: After Film Recovery, Are Individuals Accountable for Corporate Crimes?", (1985-86) 19 Loyola of Los Angeles Law Review 1411-1449; copy at Ottawa University, KFC 69 .L69  Location: FTX Periodicals;

[Contents]

I  INTRODUCTION...1411

II CORPORATE, CRIME AND HOMICIDE: AN HISTORICAL
    PERSPECTIVE...1415

A. The Nature of Corporations...1415
B. The Common Law View of the Criminal Liability of
    Corporations...1416
C. The Modern Cases...1418

III  PEOPLE V. FILM RECOVERY SYSTEMS, INC. ...1425

A. The Facts...1425
B. The Trial...1428
C. The Decision...1431

IV. ANALYSIS...1433

A. Public Policy Favors Increased Corporate and
     Individual Criminal Accountability...1433

1. Corporate criminal conduct injures society...1433
2. Criminal liability deters corporate criminal conduct...1434
3. Negative effects of corporate criminal liability...1436

B. The Law Must Expand to Guarantee Corporate Accountability...1437

V. PROPOSAL...1441

A. A proposal for Criminal Culpability...1441
B. A Proposed Sliding Scale of Penalties...1443

1. Fines...1443
2. Community service or probation...1446
3. Jail, civil death and equity securities...1447

V CONCLUSION...1449

GROSKAUFMANIS, Karl A., "Corporate Compliance Programs as a Mitigating Factor", in Jed S. Rakoff, Linda R. Blumkin, 1944-, Richard A. Sauber et al., eds., Corporate Sentencing Guidelines: Compliance and Mitigation, New York, N.Y. : Law Journal Seminars-Press, 1994, loose-leaf volume; title noted in my research but article not consulted; according to my verification of the AMICUS catalogue of Library and Archives Canada, the only location for that book is the University of British Columbia, Walter C. Koerner Library, KM587 .R346 ADP-8925;
 

____________"Preventive Steps That Count: Ten Rules of Thumb for Corporate Compliance Programs", in William A. Hancock, ed., Corporate counsel's guide to the organizational  sentencing guidelines, Chesterland (Ohio) : Business Laws, Inc., c1993-, 1 v. (loose-leaf), ISBN:  0929576942; title noted in my research but article not consulted; no copy of this book in the Canadian libraries covered by the AMICUS catalogue of Library and Archives Canada (verification of 27 August 2004);
 

GROSS, Edward., "Organizations As Criminal Actors", in Paul R. Wilson and John Braithwaite, ed., Two Faces of Deviance: Crimes of the Powerless and Powerful, St. Lucia [Australia, Queensland] : University of Queensland Press, 1978, vi, 309 p., at pp. 199-213; ISBN:070221325X and 0702213268 (pbk.); copy at Ottawa University, MRT General: HV 7173 .T87 1978;

[CONTENTS]

[INTRODUCTION]...199

THE EMPHASIS ON PERFORMANCE IN ORGANIZATIONS...199

PRESSURES ON ORGANIZATIONS THAT ARE CONDUCIVE TO CRIME...201

EVIDENCE FOR ORGANIZATIONAL CRIME...204

SPECIFICATIONS...206

CONCLUSION...209

NOTES...211

GRUNER, Richard S., 1953-, "Background Information on National Legal Systems: Germany", in HUGLO LEPAGE, Associés conseils, ed., Criminal Penalties in EU Member States’ environmental law, Final Report, 15 September 2003, 988 p., at pp. 62-66, 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);

[Germany]
For a better understanding of the European guidelines in the Criminal Law of the German Federal Republic a systematic sketch about the structure of the German Sanction Law under special consideration of the environment criminal law will be discussed first. In general the actual German Criminal Law distinguishes between the so-named Strafrecht and the sonamed
Ordnungswidrigkeitenrecht. The Strafrecht only concerns with criminal acts, which realization harms and in a special way disturb the social living-together. Therefore it is sanctioned with a penalty payment or imprisonment, according to § 46 I StGB is mostly determined by personal responsibility. In comparison the Ordnungswidrigkeitenrecht deals with facts, which realization presents a punishable unjustness without however affecting the society to the extent which would legitimate the appliance of the Strafrecht. Due to the limited personal principle of guilt according to the general Ordnungswidrigkeitenrecht the imposition of fines up to 500.000 EUR against companies are possible, if company-related
duties are violated § 30 OWIG. The difference between Strafrecht- and Ordnungswidrigkeitenrecht lies mainly on the degree rather than on the nature of the fact.

The degree difference effects in particular the type of punishment charged simular to the different types felonies/misdemeanors on the one side and infractions on the other side according to the angloamerican law. This gradual difference has an effect especially on the kind of punishments. Ordnungswidrigkeiten are solely sanctioned by fines and not by imprisonments. Due to the limited personal principle of guilt according to the general Ordnungswidrigkeitenrecht the imposition of fines up to 500.000 EUR against companies are possible, if company-related duties are violated § 30 OWiG. In order to regulate the environmental legislation the German legislation has passed specific rules of the Strafgesetzbuch in 1980, which sum up and expand the different, thus far scattered affairs of environmental criminal law. By this the legislation intends to follow the general preventive guidelines aimed to strengthen the environmental consciousness in the German public.  Legally protected right, as already expressed in the headline, is the environment as a whole rather in its media (Air, soil, water) and in its representation (animals and plants). However it is not as extensive as the national environment criminal law Art. 20 a) of the German constitution (Grundgesetz) relates to the extensive protection of natural live requirements as an end in itself. This aim of constitution goes further than the rules of national criminal law." (p. 62,  notes omitted)

___________"Beyond Fines: Innovative Corporate Sentences Under Federal Sentencing Guidelines", (1993) 71 Washington University Law Quarterly 261-328; note: "Hodge O'Neal Corporate and Securities Law Symposium: Corporate Sentencing"; copy at Ottawa  University, KFM 7869 .W37  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada, Ottawa;

"TABLE OF CONTENTS

I.  THE ROLE OF NON-TRADITIONAL SANCTIONS IN CORPORATE
     SENTENCING...265

II. REMEDIAL SANCTIONS...267

A. Immediate Restitution...267

1. Judicial Discretion Regarding Restitution Sentencing...271
2. Eligible Victims...274
3. Compensable Injuries...280

a. Damage to or Loss of Property...281
b. Bodily Injury or Death...282
c. Excluded Damage...282
d. Court Authority to Order Restitution for Broader Harm...283

4. Complication and Prolongation of the Sentencing Process as Grounds for Witholding Restitution...284
5. Constitutional Limitations on Restitution Sentences...285

B. Deferred Restitution...287
C. Remedial Orders...289
D. Community  Service...292
E. Notices to Crime Victims...295

III. PREVENTIVE SANCTIONS...297

A. Corporate Probation as Criminal Sentence...298

1. Statutory Standards...298
2. Some Lessons from Past Corporate Probation Sentences...301

B. Types of Corporate Probation Sentences...303

1. Probation Sentences Requiring Offender Reforms...304

a. Advantages and Risks...304
b. When Reforms Should be Required...306
c. Types of Required Reforms...308
d. A Strategy for Reform Requirements...313

2. Probation Sentences Expanding Offense Disclosures...319
3. Adverse Publicity...320
4. Punitive Probation Sentences...324

IV. CONCLUSION...326" (pp. 261-262)

___________Corporate Crime Sentencing, Charlottesville (Virginia): Milchie, 1994, xxxi, 1155 p., ISBN : 1558341625; title noted in my research but book not consulted; my verification of Library and Archives Canada AMICUS catalogue indicates one location only: University of British Columbia, Walter C. Koerner Library, call number KM505 .G786 1994 AEA-6596 (29 April 2004); see second edition, GRUNER, Richard S., 1953-, and the editor, William A. Hancock, infra;
 

__________Corporate criminal liability and prevention, New York, N.Y.: Law Journal Press, 2004 (series; Busininess crimes series), ISBN: 1588521257 (loose-leaf : hardcover); title noted in my research but document not consulted; no copy of this book in the librairies covered by the catalogue of Library and Archives Canada  AMICUS (verification of 15 June 2004); limited preview at http://books.google.com/books?id=ASw5CgBaPoUC&printsec=titlepage&dq=penal+code+france+%22criminal+law%22&lr=&as_brr=3&source=gbs_toc_s&cad=1 and http://books.google.com/books?id=ASw5CgBaPoUC&dq=penal+code+france+%22criminal+law%22&lr=&as_brr=3&source=gbs_summary_s&cad=0 (accessed on 2 March 2008);

[Contents] Characteristics of corporate crime -- Rationales for corporate criminal liability -- Corporate criminal liability under federal law -- Corporate criminal liability based on collective knowledge and action -- Special sources and limitations of corporate criminal liability under federal law -- Support for a due diligence defense to corporate criminal liability under federal -- Corporate criminal liability under state laws -- Corporate sentences for federal offenses:an introduction to the organizational sentencing guidelines -- Offense severity characteristics determining corporate fines -- Offender culpability characteristics determining corporate fines -- Adjusting corporate fines: sentencing discretion, guideline departures, and fine reductions -- Beyond fines: innovative corporate sentences -- Collateral consequences of corporate crime -- Preventing corporate criminal liability with law compliance programs -- Constructing and operating compliance programs -- Reducing corporate criminal liability through ..." (source: AMICUS catalogue)

___________"Just Punishment and Adequate Deterrence for Organizational Misconduct: Scaling Economic Penalties Under the New Corporate Sentencing Guidelines", (1992-93) 66 Southern California Law Review 225-287;

[Contents]

[Intrdocuction]...225

I. CORPORATE FINES FOR FEDERAL CRIMES

A. PAST NEGLECT OF CORPORATE SENTENCING...226
B. RECENT STATUTORY REFORMS...227
C. THE ROLE OF THE SENTENCING COMMISSION...228

II. SEVERITY MODELS FOR ORGANIZATIONAL OFFENSES
     AND CORRESPONDING FINE-SETTING STANDARDS...234

A. GAINS...234

1. Limits on Gain-Based Deterrents...236

a. Economic irrationality in organizational behavior...236
b. Low prosecution rates...236
c. Reduced multipliers based on corporate-culpability measures...239

2. Gain-Measurement Issues...240

a. Transactional gains...241

i. Realized gains...341
ii. Anticipated but unrealized gains...243

b. Stategic gains...244
c. Compliance-cost savings...246
d. Agent monitoring-cost savings...247

B. LOSSES...250

1. Limits on Loss-Based Deterrents...253

a. Separation of loss and compliance-expense accountability...253
b. Low prosecution rates...254
c. Limiting fines to intentionally, knowingly, or recklessly caused losses...254

2. Loss-Measurement Issues...258

a. Actual losses...258

i. Immediate losses...258
ii. Consequential losses...260

b. Further intended losses...261

C. OFFENSE LEVELS...263

III. GETTING DOWN TO CASES: REEAVALUATING SOME NOTORIOUS
      CORPORATE CRIMES AND SENTENCES...266

A. STATUTORY FINE CAPS AS LIMITS ON CORPORATE FINES...266
B. ESTIMATING LOSSES FROM ALTERED CONDUCT: THE SPECIAL
     TREATMENT OF ANTITRUST OFFENSES...271
C. MEASURING THE VALUE OF INFORMATION...276
D. FOOD AND DRUG OFFENSES: DISPARATE TREATMENT OF
     ECONOMIC FRAUDS AND HEALTH AND SAFETY THREATS...280
E. FUTURE CHALLENGES FOR CORPORATE SENTENCING: THE
    DILEMMA OF ENVIRONMENTAL CRIMES...285

IV. CONCLUSION...288

___________"Risk and Response: Organizational Due Care to Prevent Misconduct", (2004) 39(3) Wake Forest Law Review 613-669; copy at Ottawa University, KFN 7469 .W35  Location: FTX Periodicals;
 

___________‘To Let the Punishment Fit the Organization: Sanctioning Corporate Offenders Through Corporate Probation", (1988-89) 16 American Journal of Criminal Law 1-106; copy at the Library of the Supreme Court of Canada, Ottawa;

"[Contents]

I. Introduction...3

II.  A brief History of Corporate probation in Federal Sentencing...11

A.  The Emergence of Corporate Probation...12

1. Roots of Individual Probation...12
2. Early Recognition of Corporate Probation: The Arco Case...14

B. Goals of Corporate Probation Under the Federal Probation Act...16

1. Rehabilitation...16
2.  Punishment...16
3. Deterrence...18

C. Corporate Probation Terms...18

1. Charitable Contributions...19
2. Community Service...24
3. Internal Changes in Corporate Operations...25

III. Corporate Sanctions under the Sentencing Reform Act of 1984...26

A. New Provisions for Corporate Fines...28
B. Corporate Probation Under the Sentencing Reform Act...31

IV. Authorized Terms of Corporate Probation...35

A. Mandatory Terms...35

1. Law Compliance...35
2. Other Mandatory Conditions...36

a. Payment of Fines...36
b. Restitution...37
c. Community Service...38

B. Discretionary Conditions of Corporate Probation...41

1. Fines, Restitution and Community Service as Discretionary probation Conditions...42
2. Notice to Victims...42
3. Restrictions on Business Activities of Corporate Probationers...45
4. Probation Terms Related to probation Administration...49
5. Other Conditions within the Discretion of Sentencing Courts...51

V. Standards for Judicial Review of Corporate Probation Terms...51

A. Standards Under the Sentencing Reform Act...51

1. Reasonableness of Probation Terms...51

a. Minimum Rationality...52
b. Corporate Recidivists...53
c. Proportionality...53
d. Affected Corporate Operations...54
e. Costs...55

2. Special Standards for Deprivations of Liberty or Property...55

B. Judicial Standards for Review of Corporate Probation Conditions...57

1. Specificity...57
2. Voluntariness...59
3. Probation Compliance Costs in Excess of Maximum Fines...60
4. Constraints on Legal Conduct...63

C. Constitutional Standards...64

1.  First Amendment Limitations...65
2. Fourth Amendments Limitations...66
3. Due Process Limitations...69

VI. Altering Internal Business Practices Through Corporate Probation...71

A. Policy Justifications...72

B. Institutional Capacity of Courts to Require Effective Internal Corporate Changes...73

1. Developing Corporate Probation Conditions...74
2. Monitoring Compliance...77
3. Sanctions for Violation of probation Terms...77
4. Costs of Probation Administration...80

C. A Less Burdersome Alternative -- Self-Regulation Enforced Through Probation...82

D. An Overview of Desirable Internal Reforms Under Corporate Probation Conditions...85

1. Changes in Organization Designs...87

a. Greater Employee Guidance Regarding Lawful Behavior...88
b. Increasing Information Handling and Monitoring Capabilities...89

1. Expanding Top Management's Role...89
2. Improving Law Compliance at Lower Corporate Levels...90

2.  Changes in Corporate Planning...95
3. Changes in Control Devices...97
4. Changes in Personnel and Personnel Practices...102

E. Judicial Monitoring of Mandated Changes in Internal Corporate Practices...104

1. Audits by Court-appointed Experts...104
2. Audits by Federal Regulatory Personnel...105

VII.  Conclusion...105" (pp. 1-3)

__________"Special Issue on Organizational Sanctions: Introduction", (1988-89) 10 Whittier Law Review 1-5;
 

___________"Towards an Organizational Jurisprudence: Transforming Corporate Criminal Law through Federal Sentencing Reform", (1994) 36 Arizona Law Review 407-472;

[Contents]

[Introduction]...407

I. THE RECENT HISTORY OF CORPORATE SENTENCING FOR FEDERAL OFFENDERS...408

A. Pre-Guideline Practices...408
B. The Sentencing Reform Act of 1984...409
C. Sentencing Guidelines for Individuals...410
D. Sentencing Guidelines for Organizations...411

II.  SENTENCING UNDER CORPORATE SENTENCING GUIDELINES...414

A. Underlying Principles...414
B. Sentencing Covered by the Guidelines...415

1. Entities Covered...415
2. Offences Covered...415

C. Federal Sentencing Procedures for Corporate Offenders...41

III. DETERMINING RECOMMENDED CORPORATE SENTENCES UNDER THE GUIDELINES...421

A. Corporate Fines...421

1. General Standards...421
2. Antitrust Offenses...422
3. Bribery Offenses...423
4. Monetary Offenses...424
5. The Impact of Organizational Culpability...425

B. Other Corporate Sentences...427

IV.  THE IMPACT OF THE GUIDELINES ON CORPORATE CRIMINAL LIABILITY...428

A. Prosecutorial Impacts...429

1. Increased Numbers of Prosecutions...429
2. Expanded Scope of prosecutions...430
3. Changing Patterns of Prosecutorial Discretion...431

B. Corporate Impacts...432
C. Employment Impacts...434

V. CONSTITUTIONAL AND STATUTORY LIMITS ON CORPORATE SENTENCING...436

A. Constitutional Constraints on the Sentencing Commission...436
B. Unresolved Constitutional Issues Concerning the Organizational Sentencing Guidelines...440

VI. UNRESOLVED POLICY QUESTIONS UNDERLYING THE CORPORATE SENTENCING GUIDELINES...451

A. Governing Sentencing Rationales...451

1. Divergent Principles...451
2. Just Deserts...452
3. Utilitarian Deterrence...455
4. Preventive Incentives...457
5. Reconciling Multiple Sentencing Rationales...458

C. [sic] Real Offense Versus Charged Offense Sentencing...460
D. The Role of Sentencing Patterns for Individuals...461

VII.  THE EFFECT OF THE GUIDELINES ON CRIMINAL LAW ENFORCEMENT IN CORPORATE ORGANIZATIONS...463

A. Corporations as Public Trustees Concerning the Prevention of Internal Crimes...463
B. An Agency Analysis of Criminal Law Enforcement Through Corporate Trustees...464
C. The Need for Private Policing in Corporate Organizations...466
D. Entrustment for Corporate Law Enforcement Efforts...467
E. Altered Managerial Relationship Following the Internalization of Corporate Law Enforcement...469

VIII. CONCLUSION: RISKS AND OPPORTUNITIES CONCERNING CORPORATE CRIMINAL LIABILITY...471

GRUNER, Richard S., 1953-, and the editor, William A. Hancock, Corporate crime and Sentencing, 2nd ed., Chesterland, Ohio : Business Laws, Inc., c1997-,  1 v. (loose-leaf),  ISBN : 1567890350; title noted in my research but book not consulted; my verification of the AMICUS catalogue of the National Library of Canada indicates no location for the book in Canada (29 April 2004);
 

GUÉRIN, D., "L'introduction en droit français de la responsabilité pénale des personnes morales", (11 décembre 1996) numéro spécial 149 Les Petites affiches 4-6; 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);
 

GUNSBURG, Niko, et R (Raymond) Mommaert, "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 219-233; avec le même titre aussi dans: (1929) 9 Revue de droit pénal et de criminologie 647-660; copie de la Revue internationale de droit pénal à la bibliothèque de la Faculté de droit, Université de Montréal, HAZE R454i;

" § 1. -- Son opportunité.

    La responsabilité pénale des personnes morales tant publiques que privées était communément admise dans l'ancien droit.

    Les corporations ont fréquemment été condamnées à des amendes.  Les privilèges accordés aux villes prévoyaient des sanctions pénales contre elles 'pro excesso prefacto sive delicto civitatis'.  Le privilège de la ville de Lübeck parlait de la 'civitas rea'.  L'ordonnance criminelle de 1670 consacrait tout un titre à la procédure contre les villes, bourgs, villages, corps et compagnies.

    Les groupements corporatifs devinrent-ils tyranniques?  Toujours est-il qu'ils provoquèrent la haine populaire et que les philosophes, prêchant la doctrine individualiste, parvinrent à les faire supprimer radicalement.  Ce fut l'un des résultats de la Révolution Française de 1789.

    Mais, même après la suppression des corporations, la responsabilité des personnes morales était encore si bien admise que le Décret de Vendémiaire an IV stipulait que, dans le cas où les habitants d'une commune auraient pris part aux délits commis sur son territoire par des attroupements et rassemblements, cette commune serait tenue de payer à la République, une amende égale au montant de la réparation principale.

    Si les théories individualistes n'avaient pas pénétré trop profondéement l'esprit des juristes, les choses en seraient sans doute restées là.  Il n'aurait plus été question de corporations autonomes trop puissantes; les autres associations auraient pu continuer à subsister guère plus dangereuses que le citoyen isolé, mais autant responsables que lui.

    L'opinion publique, elle, était restée favorable à l'idée d'association.  En 1831, la Belgique consacrait solennellement dans la Constitution le droit de s'associer, qui répondait à un besoin de l'âme belge.  L'association n'est-elle pas une caractéristique de la vie nationale belge?  Notre exubérance en cette matière n'a-t-elle même pas inspiré à l'étranger l'admiration, parfois aussi une fine ironie?  (Tibbaut, rapport Doc. Parl. Chambre, session 1920-1921, n^o 198, loi du 27 juin 1921).

    Mais pour les juristes de la première moitié du XIX^e siècle, la personne morale était une constante menace pour le Pouvoir.  Une association ne pouvait, selon eux, procéder que d'une concession gouvernementale et devait faire l'objet d'une surveillance étroite.  Partant le problème qui nous occupe ne pouvait plus se poser.

    Cependant, la loi belge du 13 mai 1873, supprima la nécessité d'une autoriation officielle pour l'octroi de la personnification civile aux sociétés commerciales.  La personnalité civile fut reconnue notamment aux Unions professionnelles par la loi belge du 31 mars 1898 et aux associations sans but lucratif par la loi belge du 27 juin 1921, tandis que la loi belge du 24 mai 1921 garantissait la liberté d'association.

    Il a fallu plus d'un siècle pour restaurer une organisation sociale, qui nous était chère mais que d'aucuns avaient estimé devoir détruire complètement parce qu'elle présentait certains défauts.

    Maintenant que l'édifice est reconstruit, il ne nous reste plus qu'à empêcher que des défauts se reproduisent.

    Une de nos premières préoccupations ne doit-elle pas être d'examiner si les responsabilités de la personne morale sont bien fixées? " (pp. 219-220)

GUYON, Yves, "Les personnes morales de droit privé.  Quelles sont les personnes morales de droit privé susceptibles d'encourir une responsabilité pénale?", (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;
 

HACKER, Erwin, "Les corporations et le problème de leur activité et responsabilité pénale", (1924) 1 Revue internationale de droit pénal 128-140; copie à la Bibliothèque de la Faculté de droit de l'Université de Montréal, HAZE R454i;
 

____________"The Penal Ability and Responsibility of the Corporate Bodies", (1923-24) 14 Journal of Criminal Law, Criminology and Police Science 91-102;
 

HAENTJENS, R.C.P., "Remarques sur la responsabilité pénale des personnes morales en droit des Pays-Bas", (1986) 66 Revue de droit pénal et de criminologie 851-867; note: sur l'art. 51 du Code pénal; copie à l'Université d'Ottawa, K 21 .D725  Location: FTX Periodicals;

[TABLE DES MATIÈRES]

INTRODUCTION...851

LE COMPORTEMENT...854

LE COMPLEXE ACTE-AUTEUR...858

DÉTERMINATION DE LA PEINE...862

QUELQUES REMARQUES À PROPOS DE LA JURISPRUDENCE...864

CONCLUSION ET OBSERVATIONS FINALES...866

HAGAN, John, "The Corporate Advantage: A Study of the Involvement of Corporate and Individual Victims in a Criminal Justice System", in M.P. Baumgartner, ed.,  The Social organization of law, 2nd ed., San Diego, Calif. : Academic Press, c1999, xviii, 435 p., at pp. 343 to approx. 370, ISBN: 0120831708; title noted in my research but article not consulted; no copy of this book in the Ottawa area libraries covered by the AMICUS catalogue of Library and Archives Canada;
 

HAGEMANN, Thomas A. and Joseph Grinstein, "The Mythology of Aggregate Corporate Knowledge: A Deconstruction", (1996-97) 65 George Washington Law Review 210-247; copy at Ottawa University, KF 292 .D4 G46  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada, Ottawa;

[Contents]

[Abstract]...210

Introduction...211

I. Prolegomenon: Two Factual Scenarios...212

A. The "Classic" Scenario...212
B. A Second Scenario...212

II. Myth...212

A. The Birth: United States v. Bank of New England, N.A....212
B. The Retelling: Bank of New England in Commentary...215

III. Reality...218

A. The Mistaken Myth: Bank of New England Revisited...218

1. The Facts Redux...218
2. the Instructions Redux...220

a. Wilful Blindness...220
b. Wilful Blindness and the Bank...224

B. The Myth in Reality: Other Cases Applying Aggregation...227

1. United States v. T.I.M.E.-D.C., Inc....228
2. Inland Freight Lines v. United States...230
3. United States v. Sawyer Transport, Inc....232
4. Steere Tank Lines, Inc. v. United States...233
5. Riss & Co. v. United States...235
6. United States v. Shortt Accountancy Corp....236
7. Summary of cases...236

IV. The Myth Recast...237

A. Separation of Powers Constraints on Collective Knowledge...238
B. Due Process Constraints on Collective Knowledge...241
C. The policy Constraints Against the Improper Use of the Collective
     Knowledge Rule...242
D. The Proper Understanding of Collective Knowledge...245

V. Conclusion...247

HAGER. Mark M., "Bodies Politic: The Progressive History of Organizational 'Real Entity' Theory", (1988) 50 Univresity of Pittsburgh Law Review 575-654;

[CONTENTS]

I. INTRODUCTION...575

II. SOCIAL CRISIS AND THEORIES OF THE CORPORATION...579

III. THE PROGRESSIVE 'GESTALT' OF GIERKE'S THEORY...582

IV. IMPOSING CORPORATE CRIMINAL AND TORT LIABILITY...585

A. Overview: Mens Rea and Ultra Vires...585
B. Mens Rea: The Problem of Corporate Moral Agency...587
C. Ultra Vires: Corporate Charters and Vicarious Liabilities...592
D. Ultra Vires: Controversial Reconciciliations of Fiction Theory
     With Tort Liability...598
E. Left Gierkeanism: Tort Liability Within a Radical Paradigm...604

V. PARTICIPATORY POLITICS AND THE MYTH OF MEDIEVAL
     DEMOCRACY...611

VI. LEGITIMIZING TRADE UNION AMBITIONS...617

VII. SEPARATING THE REAL ENTITY THEORY FROM PRO-CAPITAL
       IMPLICATIONS...625

A. External Relations...625
B. Internal Relations...630

VIII. DEWEY'S PRAGMATISM AND THE FLUIDITY OF LEGAL METAPHYSICS...635

IX. THE POLITICS OF BELLOTTI: CORPORATE WEST AMENDMENT RIGHTS...639

HAINES, Fiona, Corporate regulation : beyond "punish or persuade", Oxford: Clarendon Press; New York: Oxford University Press, 1997, xv, 269 p.(series; Oxford socio-legal studies), ISBN: 0198265727; copy at Carleton University, Ottawa, Floor 4, K5069.H35;
 

__________"Towards Understanding Globalisation and Control of Corporate Harm: A Preliminary Criminological Analysis", (2000-01) 12 Current Issues in Criminal Justice 166-180;
 

HAINSWORTH, A, "The Case for Establishing Independent Schemes of Corporate and Individual Fault in the Criminal Law", (2001) 65 Journal of Criminal Law 420-434;

[Contents]

[Introduction]...420

The origins of corporate crime...420

Imputing the mens rea of company employees onto that company...422

The doctrine of aggregation...423

The challenge of the draftsman and the rise of strict liability...424

The case for divergent fault parameters where corporate liability is appropriately strict...428

Vicarious liability -- a preferable methodology to strict liability...429

The problems of using universally applicable objective fault parameters...431

The corporate manslaughter proposals...432

Conclusion...433

HALL, Andy, and Richard Johnstone, "Exploring The Re-Criminalising of OHS Breaches in the Context of Industrial Death", (February 2005) 8(1) The Flinders Journal of Law Reform 57-92 approx.; title noted in my research but article not consulted; no copy of this periodical in the Ottawa area libraries according to my verification of the AMICUS catalogue of Library and Archives Canada (21 October 2005);
 

HALL, Andy, Richard Johnstone, and Alexa Ridgway, Reflection On Reforms: Developing Criminal Accountability For Industrial Deaths, Australian National University, National Research Centre for Occupational Health and Safety Regulation, April 2004, 104 p. (series; Working Paper 33); available at  http://www.ohs.anu.edu.au/publications/pdf/WorkingPaper26pdf.pdf (accessed on 30 May 2004);
 

HALL, Joseph S., "Corporate Criminal Liability", (1998) 35 American Criminal Law Review 549-560;

[CONTENTS]

I. INTRODUCTION...549

II. CRIMINAL LIABILITY FOR AGENT ACTION: SCOPE AND
     NATURE OF EMPLOYMENT...550

A. The Common Law...552
B. The Model Penal Code...552
C. Employee Actions Prohibited by the Corporation...553
D. Independent Contractors...553

III. BENEFITTING THE CORPORATION...554

IV. IMPUTING KNOWLEDGE AND ACTION TO THE CORPORATION...554

A. Collective Knowledge Doctrine...555
B. Willful Blindness Doctrine...555
C. Conspiracies...555
D. Mergers, Dissolutions, and Liability...556

V. SENTENCING...557

VI. COMPLIANCE PROGRAMS...558

HALLIS, Frederick, 1901-, Corporate Personality: A Study in Jurisprudence, London: Oxford University Press, H. Milford,, 1930, lxiii, 257, [1] p.; reprint: Aalen : Scientia Verlag, 1978; no copy of this book in the Ottawa area libraries according to my verification of the AMICUS catalogue of Library and Archives Canada; the Library of Parliament, in Ottawa no longer has this book (verification during August 2004); book not consulted;
 

HAMEL, Joseph, 1889-, et al., Le droit pénal spécial des sociétés anonymes : études de droit commercial / sous la direction et avec une préface de Joseph Hamel, par Jean-Marie Aussel ... [et al.], Paris : Dalloz, 1955, 395 p. (Collection; Paris. Université. Institut des sciences juridiques et financières appliquées aux affaires); titre noté dans mes recherches; livre non consulté; aucune copie dans les bibliothèques de la région d'Ottawa selon ma vérification du catalogue de Bibliothèque et Archives Canada, AMICUS (31 mars 2004);
 

HAMER, Philippe,  et  Sophie Romaniello, La responsabilité pénale des personnes morales -- Loi du 4 mai 1999, 10e édition, Bruxelles: Kluwer, 1999, 73 p., ISBN:2873773928; 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;
 

HAMILTON, Patrick, Comments, "Corporate Criminal Liability for Injuries and Death", (1992) 40 University of Kansas law Review 1091-1117;

[Contents]

INTRODUCTION...1091

II. IMPUTING CRIMINAL ACTS TO THE CORPORATION: EVOLUTION OF
    THE COMMON LAW...1096

III. CORPORATE PENALTIES...1099

A. Cash Fines...1099
B. Adverse Publicity...1101
C. The "Death" Penalty...1101

IV.  CORPORATE CRIMINAL LAW IN KANSAS...1102

A. Case Law...1102
B. Statutory Law...1103

1. Section 21-3206...1103
2. Recent Amendments...1105

C. Summary...1107

V. AN ANALYSIS OF THE APPARENT LACK OF CORPORATE CRIMINAL
     PROSECUTIONS IN KANSAS...1107

A. No Corporate Crime in Kansas?...1107
B. Inadequate Statutory Provisions...1108
C. Accepting Corporate Crime as Crime...1108
D. Federal Agencies and Corporate Crime...1110
E. Civil Liability as a Deterrent to Corporate Misconduct...1113
F. Political Considerations...1116

VI. CONCLUSION...1116

HAMILTON, Robert W., "Corporate Criminal Liability in Texas", (1968-69) 47 Texas Law Review 60-85; copy at Ottawa University, KFT 1269 .T482  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada;

"[Abstract]

"Texas is the only state without corporate criminal responsibility.  Professor Hamilton reviews the various Texas cases dealing with corporate criminal responsibility and discusses the arguments supporting and opposing the imposition of criminal liability on corporations.  He concludes that criminal liability should be imposed on corporations, and his proposed statute has been presented to the State Bar of Texas Committee on Revision of the Penal Code." (p. 60)

___________"Corporate Governance in America 1950-2000: Major Changes But Uncertain Benefits", (2000) 25 Journal of Corporation Law 349-373;

[CONTENTS]

I. INTRODUCTION...349

II. CORPORATE GOVERNANCE AS OF 1950...349

III. THE FORCES OF CHANGE IN CORPORATE GOVERNANCE :1950-2000...353

A. The Growth of Corporate Investors...353
B. The Development (and Decline) of Takeover Bids: Cash tender Offers and Leveraged Buyouts...357
C. The Nixon Scandals...359
D. Proposals for Improved Corporate Governance...359

IV. CORPORATE GOVERNANCE IN 2000...360

V. EVALUATION OF CHANGES IN CORPORATE GOVERNANCE IN GENERAL...364

VI. ECONOMIC STUDIES OF THE EFFECT OF CHANGES IN CORPORATE GOVERNANCE...366

VII.  DIFFERENT APPROACH TO STUDYING THE IMPACT OF GOVERNANCE PRACTICES ON PROFITABILITY...371" (p, 349)

HANCOCK, William A., editor Organizational sentencing guidelines, Corporate counsel's guide to the organizational sentencing guidelines, Chesterland, Ohio: Business Laws, Inc., c1993-, 1 v. (loose-leaf), ISBN:  0929576942;  title noted in my research but document not consulted; no copy of this book in the Canadian librairies covered by the catalogue of the National Library of Canada, AMICUS (verification of 15 June 2004);
 

HANNEQUART, Yvon, "La responsabilité pénale des personnes morales: punir l'être collectif ou corriger ses déficiences?", (17 avril 1999) 118 Journal des Tribunaux 281-283; numéro 5923; publication belge; copie à la Bibliothèque de la Cour suprême du Canada, section des périodiques;
 

HANS, Valerie P. and Ermann, M. David, "Responses to Corporate Versus Individual Wrongdoing", (1989) 13 Law and Human Behavior 151-166; copy at the Solicitor General; Solliciteur général;

"[Abstract] For many years, researchers assumed that the public was indifferent to corporate wrongdoing, but recent surveys have discovered evidence to the contrary.  Taking insights from these data a step further, this study employed an experimental design to examine whether people responded differently to corporate versus individual wrongdoers.  We varied the identity of the central actor in a scenario involving harm to workers.  Half the respondents were informed that a corporation caused the harm; the remainder were told that an individual did so.  Respondents applied a highrer standard of responsibility to the corporate actor.  For identical action, the corporation was judged as more reckless and more morally wrong than the individual.  Respondents' judgments of the greater recklessness of the corporation led them to recommend higher civil and criminal penalties against the corporation." (p. 151)

HAPKE, Daniel S., edited and compiled by, American Corporate Counsel Association, Corporate internal investigations, Washington, D.C. : ACCA Press, c1992, 1 v. (various pagings); note: "An ACCA Press publication" (source: AMICUS catalogue); title noted in my research but document not consulted; no copy of this book in the Canadian librairies covered by the catalogue of the Library and Archives Canada, AMICUS (verification of 15 June 2004);
 

HARDING, C., "Criminal Liability of Corporations -- United Kingdom", 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. 369-386, 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;
 

HARKESS, Jason, " 'Danger' Sports and the Spectre of Criminal Negligence.  Recent incidents of death at motor sport events raise the possibility of negligent sport administrators being dealt in the criminal juridictions", (December 2002) 76(11) Law Institue Journal 48-53;
 

HARRIS, Brian, "Crime and the Company", (4 February 1978) 142(5) Justice of the Peace 65-68; copy at the Library of the Supreme Court of Canada;
 

HARRISON, Kate, "Manslaughter by Breach of Employment Contract", (1992) 21(1) Industrial Law Journal 31-43; copy at Ottawa University, KD 3002 .I527  Location: FTX Periodicals;

[CONTENTS]

1 INTRODUCTION...31
2. MANSLAUGHTER AS A CONSTRUCTIVE CRIME...32
3. CAUSING DEATH AND THE DUTY TO ACT...33
4. PITTWOOD REVISITED...35

A. Misfeasance...36
B. A Man Might Incur Criminal Liability by Failing to
     Perform a Duty Arising out of Contract...36
C. The Railway Company had Assumed the Liability of
     Protecting the Public Whereever they Crossed the Road...37

5. EARLIER CASES...37
6. DOES THE EMPLOYMENT CONTRACT GIVE RISE TO
    A CRIMINAL LAW DUTY TO ACT?
7. THE CAUSAL LINK BETWEEN OMISSION AND DEATH...39
8. PROPOSALS FOR REFORM...40
9. THE NEED FOR LABOUR LAWYERS TO CONTRIBUTE TO THE DEBATE...41
10. CONCLUSIONS...43

HART, H.L.A., "Definition and Theory in Jurisprudence", (1954) 70 The Law Quarterly Review 37-60; copy at Ottawa University, KD 322 .L37  Location: FTX Periodicals;
 

HARTLEY, Hazel J., Exploring sport and leisure disasters : a socio-legal perspective, London : Cavendish, 2001, 414 p., see Chapter 4, "Safe in Their Hands? Criminal Liability: Breaches of Statutory Duties and Corporate Reckless Manslaughter", at pp.77 to approx.110,  ISBN: 1859416500; 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 11 September 2004);
 

HARVARD UNIVERSITY, Notable Internet Resources 2004, "Corporate Governance", 15 March 2004, available at  http://www.law.harvard.edu/library/resource_archive/2004.php#Mar15 (accessed on 21 March 2004);
 

HASCHKE-DOURNAUX, Mariane, Réflexion critique sur la répression pénale en droit des sociétés, thèse de doctorat, droit, Paris V, 2002, 2 volumes, 453 feuilles; thèse sous la direction de Paul Le Cannu; titre noté dans mes recherches mais thèse non consulté; aucune copie de ce document dans les bibliothèques comprises dans le catalogue AMICUS de la Bibliothèque et Archives Canada (vérification du 29 juin 2004); publié à Paris: LGDJ (Librairie générale de droit et de jurisprudence), 2005, 422 p.;

"Résumé

Longtemps, le droit des sociétés s'est passé du droit pénal. Mais l'essor du capitalisme moderne s'est accompagné de nouvelles formes de malversations épuisant les ressources du droit pénal commun. Au nom de l'efficacité de la répression, nombre d'infractions spécifiques ont été créées. Plus d'une centaine existent encore, relatives à tous les aspects de la vie de la société. Le paradoxe est pourtant que cette pénalisation massive est massivement inefficace : le nombre de condamnations est dérisoire, la plupart concernant le seul délit d'abus de biens sociaux. Cette antinomie montre clairement les limites d'une logique exagérément pénale et oblige à repenser l'opportunité même d'un dispositif répressif spécifique aux sociétés. Une analyse critique permet d'abord d'apprécier combien s'avère impérieuse la nécessité d'une réforme en profondeur. Les déficiences relevées sont nombreuses : congénitales, formelles et fonctionnelles, elles permettent d'expliquer l'impuissance de l'impressionnant arsenal déployé. Passé ce constat, la question se pose naturellement de savoir si la répression pénale est bien opportune en matière des sociétés. Le droit comparé tend à fonder une réponse affirmative tout en incitant à la mesure. Le droit interne confirme la nécessité de la sanction pénale mais là encore, cette opportunité de principe est liée à la mesure avec laquelle il y est fait recours. Un recul du droit pénal en matière de sociétés s'avère indispensable. Une analyse constructive permet de redéfinir les frontières du droit pénal des sociétés selon deux critères : l'un, emprunté au droit pénal, est l'intensité de la transgression; l'autre, emprunté au droit des sociétés, s'attache à la nature de l'intérêt protégé. A la redéfinition de la logique pénale succède naturellement la redéfinition des sanctions applicables. S'il importe de maintenir ou d'améliorer nombre d'infractions, il apparaît non moins nécessaire d'introduire d'utiles alternatives civiles à  la répression pénale.

[Summary]

For a long time, criminal and company law have been dissociated. But the rise of modern capitalism has been followed by new kinds of malpractice that the penal Code did not contemplate. Many specific offences were thus created. Over one hundred of them are still in force, dealing with every aspect of company management. Paradoxically, this repressive approach is widely inefficient. Only a few convictions are pronounced by the Courts, mostly in case of embezzelment. This contradiction shows the limits of a repressive approach and urges to question the very necessity of penal repression in company law. A critical analysis allows to consider the need for a deep reformation. There are numerous deficiencies : congenital, formal and fonctionnal. They explain the inefficiency of the impressive legal weaponry. One has to wonder whether penal repression is really useful in company law. Comparative law leads to a moderate affirmative answer. Domestic law confims the need for penal sanctions but, once again, the opportuneness of the sanction cannot be separated from its mitigation. In matter of company law, criminal law must retreat. A constructive analysis allows to redefine the field of penal law in company law according to two criteria : the first one borrowed from criminal law is the intensity of the transgression. The second one, borrowed from company law is linked to the nature of the protected interest. Then, sanctions need to be redefined. Many offences deseved to be maintained and improved. But it is also necessary to bring up useful civil alternative option to penal sanction." (source: catalogue Abès)
 

"[Contents]

Acknowledgments
Preface
Contents
Table of Cases
Table of Statutes
Table of Statutory Instruments

Ch. 1   Foundations of Liability
Ch. 2   Direct Liability
Ch. 3   Vicarious Liability
Ch. 4   Personal Liability
Ch. 5  Agency-Based Liability
Ch. 6  Limited Liability
Ch. 7  Corporate Entity Liability
Ch. 8  Corporate Enterprise Liability
Ch. 9  Liability Management
Ch. 10 Evidence and Proof
Ch. 11 Liability Enforcement
Ch. 12 Corporate Liability in Perspective
Index" (source: Columbia University catalogue, PEGASUS, at http://pegasus.law.columbia.edu/, accessed on 5 June 2004)

HEEREY, P.C., "The Criminal Liability of Corporations", (1962) 1 University of Tasmania Law Review 677-684; copy at the Library of the Supreme Court of Canada, Ottawa;
 

HEFENDEHL, Roland, "Corporate Criminal Liability: Model Penal Code Section 2.07 and the Development in Western Legal Systems", (2000) 4(1) Buffalo Criminal Law Review 283-300; available at  http://wings.buffalo.edu/law/bclc/bclrarticles/4(1)/hefehndehlpdf.pdf;

    "In Germany, liability is imposed on corporations by state authorities only for administrative offenses.3 There is much debate about whether such penalties should be considered criminal sanctions or morally neutral administrative penalties. The German law of Ordnungswidrigkeiten (administrative penalties) empowers administrative authorities as well as criminal courts to impose administrative fines (Geldbußen) on both natural persons and companies.  These penalties are successors to the former sanctions for minor criminal offenses (Übertretungen) and are similar to regulatory offenses in the United Kingdom. Today, they are not perceived as criminal sanctions either by the public or by defendants, even when imposed by a criminal court.

    In addition, the class of natural persons whose acts may make the corporation liable is very limited.  In general, liability is restricted to instances in which the company’s legal representatives or directors have acted improperly or failed to supervise their employees properly. So far, German policy toward corporate liability is very restrictive compared with that of other European nations. In Germany, penalties imposed on corporations may, at  most, be regarded as “quasi-criminal” sanctions.

    But what are the reasons for this restrictive policy? The discussion has not yet reached a clear consensus, but there appear to be two very important aspects: First, a corporation cannot act; second, it is not possible to speak of a corporation’s criminal responsibility." (p. 286, footnotes omitted)

____________"Enron, WorldCom, and the Consequences: Business Criminal Law Betwen Doctrinal Requirements and the Hopes of Crime Policy", (2004) 8(1) Buffalo Criminal Law Review 51-88, 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);
 

HEINE, Günter, "Allemagne [Germany]: Crimes Against the Environment", (1994) 65 Revue internationale de droit pénal / International Review of Penal Law 731-759; article in English; part of the Preparatory Colloquium, Section 1, Crimes against the Environment -- General Part, Ottawa (Canada), November 2-6, 1992;

"2.1.1  To whom is criminal liability imputable?
2.1.1.1 Basic Principle

    German criminal law recognises the criminal liability of natural persons (individuals).  Legal persons such as associations, agencies or other forms of collective organisation are to a certain extent denied the capacity to act, and overwhelmingly that of incurring blameworthiness. It is therefore always imperative to trace single wrong decisions to ar persons." (p. 740; one note omitted)"
 

"2.1.1.4  Liability under the Law of Administrative Violations
(Ordnungswidrigkeitenrecht)

    A non-criminal administrative fine (GeldbuBe) may be assessed per §  30 OEiG against legal persons and associations if a natural person, who is a legal representative of the enterprise, commits either a crime or an administrative violation (Ordnungswidrigkeit), by virtue of which the association was, or should have been enriched, or its legal obligations have been violated. " (p. 744)
 

"2.1.1.5 Corporate liability for actions of persons in charge

    Until recently legal doctrine overwhelmingly imputed the actions and faulty decisions of the legal representatives to the association - but not as its own actions, but rather those of another.⁵³  On this basis, the relevant behaviour is the imputable action of another (the natural person) and not (in addition) the proper deed of the association.  Tiedemann and others⁵⁴, on the other hand, establish a separate responsibility of the association through its organisational deficiencies: the individual deeds are seen as violations of the association, because, and to the extent that, the company (through its management and representatives) omitted to implement preventive measures which are required, in order to operate an orderly and law-abiding business. ...
------
53  The argument being that associations lack the capacity for action and blameworthiness which was also required by the 'Ordnungswidrig-keitenrecht' (....  On the constitutionality of this imputation, see BVerfGE 20, pp. 323 et seq.)  As a result, the administrative fine for associations was characterized before 1986 as a collateral consequence (Nebenfolge).

54.  Tiedemann, NJW 1986, p. 1844 (still only carefully suggesting), then, in NJW 1988, pp. 1171 et seq. ....This principle of responsibilityof the enterprise as such for organizational deficits relies on the further development of the so-called concept of social blamewirthiness (sozialer Schuldbegriff) which relies on more objective criteria for the determination of criminal responsibility. (now accepted by nearly the majority in the literature)..." (p. 744)

___________"Corporate Criminal Liability: New Challenges for the UK and Germany", in Günther. Weick, ed., Competition or Convergence: : the future of European  legal culture, Frankfurt am Main; New York : P. Lang, c1999, viii, 245 p.at pp.  97-110, ISBN: 3631349637 and 0820443514 (US);  title noted in my rersearch but article not consulted; no copy of this book  in the Ottawa area libraries covered by the AMICUS catalogue by the National Library of Canada (6 June 2004);
 

___________"Criminal Liability of Enterprises and New Risks. International Developments -- National Consequences", (1995) 2(2) Maastricht Journal of European and Comparative Law 107-128; title noted in my rersearch but article not consulted; no copy of this periodical in the Ottawa area libraries covered by the AMICUS catalogue by the National Library of Canada (6 June 2004);
 

___________"Environmental Criminal Law.  Individual Responsibility and Corporate Liability.  International Tendencies and Models", 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. 457-465  (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);
 

___________“New Developments in Corporate Criminal Liability in Europe: Can Europeans Learn from the American Experience - or Vice Versa?”, (1998)
St Louis-Warsaw Transatlantic Law Journal 173-191,  legal periodical published by Saint Louis, Mo. : Saint Louis University School of Law and Warsaw University School of Law, c1995-; 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 catalogue (6 June 2004);
 

___________"Rethinking Criminal Liability of Enterprises: International Developments, Basic Models, National Consequences", in Michael Faure and K. Schwarz, eds., De strafrechtelijke en civielrechtelijke aansprakelijkheid van de rechtsperson en zijn bestuurders, Antwerpen: Intersentia; [Maastricht]: METRO, c1998, 283 p., at pp. 163-178 (series; Ius commune Europaeum  25), ISBN: 9050950612; titre noté dans mes recherches mais article non consulté; aucune copie de ce livre dans les bibliothèques canadiennes comprises dans le catalogue AMICUS de la Bibliothèque nationale du Canada (vérification du 29 juin 2004);
 

___________"Sanctions in the Field of Corporate Criminal Liability", 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. 237-254  (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); important contribution;
 

HEINE, Günter, 1952-, Mohan Prahbu, and Anna Alvazzi del Frate, eds., Environmental protection : potentials and limits of criminal justice : evaluation of legal structures,  Freiburg im Breisgau: Edition Iuscrim; Rome, Italy : UNICRI, 1997, x, 530 p. (series; Beiträge und Materialien aus dem Max-Planck-Institut für Ausländisches und Internationales Strafrecht Freiburg i. Br.; Bd. S  68) (series; Publication / UNICRI ; no. 56); ISBN: 3861139588 (Edition Iuscrim) and 9290780320 (UNICRI); notes: Materials presented at a workshop held at the Ninth United Nations Congress on the Prevention of Crime and the Treatment of Offenders, Cairo, 29 April-8 May 1995); available at  http://www.iuscrim.mpg.de/verlag/online/Band_S68/band68.html (accessed on 18 December 2003);
 

HELVERSON, Alana L., "Can a Corporation Commit Murder?", (1986) 64 Washington University Law Quarterly 967-984; copy at the Library of the Supreme Court of Canada , Ottawa;

[Contents]

[INTRODUCTION]...967

I. HISTORY...968

A. Pre-Twentieth Century Limits Corporate Criminal
    Accountability...968
C. [sic] Statutory Language and Recent Judicial
    Interpretation...972

II. POLICY...976

A. Deterrence...977
B. Retribution & Incapacitation...980
C. The Lack of Alternatives...981

III.  LEGISLATIVE RECOMMENDATIONS...982

IV.  CONCLUSION...984

HENNAU-HUBLET, C., "La criminalisation du comportement collectif -- Belgique",  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. 129-168, 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;
 

HENNAU-HUBLET, C. et J.P. Pieret,  "Belgique: Les crimes contre l'environnement en droit belge", (1994) 65 Revue internationale de droit pénal 777-830, voir "2.1.1.  La responsabilité pénale des personnes morales et autres entités collectives", aux pp. 785-786 et "2.1.2. L'identification de la personne physique responsable", aux pp. 786-791; note: Colloque préparatoire, section 1, Les atteintes à l'environnement, problèmes de droit pénal général, Ottawa (Canada), 2-6 novembre 1992
 

HENNAU, Chr., G. Schamps et J. Verhagen, "Indispensable responsabilité de l'entreprise: inacceptable culpabilité de l'entreprise -- À propos de l'avant-projet de loi belge relative à la responsabilité pénale des personnes morale", (12 septembre 1998) 117 Journal des Tribunaux 561-570 (3 colonnes par page); numéro 5893; notes: publication belge; copie à la Bibliothèque de la Cour suprême du Canada, section périodiques;

[Tables des matières]

[Introduction]...561

I. -- Les principes fondamentaux du droit parmi les plus exposés en matière
       de responsabilité de l'entreprise

1. -- Une responsabilité civile sui generis, indépendante de tout subjectif...562
2. -- Nulla poena sine culpa -- "L'agent n'est coupable que lorsqu'on peut lui
        reprocher une intention criminelle ou une répréhensible négligence"...563
3. -- Inadmissibilité d'une responsabilité pénale "collective"...564
4. -- Comme tout élément constitutif de l'infraction, l'élément moral doit être "prouvé"...564

II. -- Pour une mise en cause "dircte" ou "indirecte" de l'entreprise?...565
III.-- La nécessaire responsabilité "pénale" de l'entreprise est-elle liée à une reconnaissance
        de "culpabilité" et à l'application de sanctions à caractère répressif?
IV. -- L'avant-projet de loi belge...568
V. -- Des mesures à caractère régulateur, protecteur et compensatoire pour répondre
         à des "faits qualifiés infractions"...570
VI. -- Conclusion...570

HENNING, Peter J., "The conundrum of corporate criminal liability: seeking a consistent approach to the constitutional rights of corporations in criminal prosecutions", (1995-96) 63 Tennessee Law Review 793-886;

"Table of Contents

I. THE SUPREME COURT AND CORPORATIONS: PERSONS AND
    CITIZENS IN FEDERAL COURTS...802

A. Corporations as 'Citizens'...802
B. 'Citizens' and 'Persons' Before the Court...804

II. THE ORIGINS OF FEDERAL CRIMINAL PROSECUTIONS OF
     CORPORATIONS: ARTIFICIAL EXISTENCE AS A SHIELD TO
     CRIMINAL LIABILITY...807

III. DEVELOPING THE CONSTITUTIONAL RIGHTS OF CORPORATE
     DEFENDANTS IN CRIMINAL PROSECUTIONS...813

A.  The Power to Regulate Business...814
B.  Hale v. Henkel: Ascertaining the Limits of Constitutional Protection
     for Corporations...816
C. The Expansive View of Corporate Criminal Liability in New York
    Central...822
D. Conclusion...824

IV. MAKING SENSE OUT OF CORPORATE RIGHTS UNDER THE
      SELF-INCRIMINATION CLAUSE AND THE FOURTH AMENDMENT...826

A.  The Expanding Definition of a Collective Entity...826
B.  The Government's Power to Investigate Corporations Under the Fourth
     Amendment...829

1. Outrageous Searches and the Overbroad Subpoena...829
2. Subpoenas in a New Regulatory Environment...831
3. Regulatory Regimes as the Premise for the Right to Search Business
    property...833

a.  Development of the Administrative Search Exception...834
b. Dow Chemical and Burger: Business Just Aren't People...836

4. Consistency Among the Shifting Forms of Analysis of the Corporation's Right
     to Privacy...838

V.  HOW MANY FIFTH AMENDMENTS ARE THERE FOR CORPORATIONS?...841

A. Can a Corporation Survive in a 'Continuing State of Anxiety and Insecurity'...842

1. The Scope of Double Jeopardy...842
2. Applying Double Jeopardy to Corporations Without Asking Why...845
3. Limiting Corporate Double Jeopardy Rights: The Power to Appeal
    Acquittals...849

B. Does a Corporation Have the Right to an Indictment by a Grand Jury?...856
C. Conclusion...861

VI.  AFTER THE CHARGE: THE CRIMINAL CONSTITUTIONAL RIGHTS OF
       CORPORATIONS UNDER THE SIXTH AMENMENT...862

A. Can There Be a Jury of the Corporation's Peers[?]...864

1. The Tortured Development of the Jury Right in Criminal Contempt
    Proceedings...866
2. Bagwell and the Organizational Right to a Jury Trial in Criminal Contempt
    Proceedings...870

B. Can a Corporation Confront Itself?...876
C. The Right to Counsel and the Indigent Corporation...881

VII. CONCLUSION...885"    (pp. 793-794)

HERS, Serge d', Norme pénale et groupements sportifs, Thèse doctorat : Limoges : 2001, 405 feuilles; directeurs de thèse: Georges Vermelle et Jean-Pierre Karaquillo; Thèse : 2001LIMO0485;

"Résumé:
L'argumentation sur laquelle repose notre démarche est fondée sur l'analyse de la responsabilité pénale des groupements sportifs. Pour conduire cette étude, nous avançons trois raisons : l'imitation du droit des étrangers, l'allégement de la responsabilité pénale des personnes physiques, la gravité des dommages causés par les personnes morales.  Le principe de cette nouvelle responsabilité a été acquis depuis le 1er mars 1994 et le droit pénal français, comme l'ensemble des règles qui gouvernent les activités physiques et sportives, se trouve, à l'heure actuelle, en pleine période de transition. Mais la véritable question est de savoir si et comment le droit pénal permet de lutter efficacement contre la délinquance et la déviance des groupements sportifs. Or la réponse est loin d'être certaine et l'arme pénale n'est pas toujours la mieux à même d'éviter les abus. L'intérêt majeur de cet ouvrage est que les groupements sportifs peuvent être à l'origine de nombreux faits délictueux.   Aucun obstacle sérieux ne s'oppose donc à l'incrimination de leurs agissements "anti-sportifs" (dopage, tricherie, corruption...) ni, même à la qualification intentionnelle de certains de ces comportements à condition de prévoir contre ce genre de délinquants comme à l'égard de tous les autres d'ailleurs, des sanctions appropriées.  Il résulte de lien étroit entre droit pénal et sport que la qualité d'une législation pénale ne peut être appréciée indépendamment de celle du système procédural qui en assure la mise en oeuvre. Cette dépendance est d'autant plus forte que les pouvoirs reconnus aux institutions sportives, tant nationales qu'internationales, sont importants. Du reste il serait inexact de présenter le droit pénal comme une sorte de matière neutre dont la véritable nature dépendrait intégralement de la réponse donnée au phénomène criminel." (Source: Catalogue Abès)

[Contents]

[INTRODUCTION]...465

I. THE PROBLEM OF CORPORATE INDICTMENT AND CONVICTION
    FOR CRIMINAL HOMICIDE: A SURVEY OF DECISIONS...466

A. Corporate Inability to Form Requisite Intent for Perpetration of
     Criminal Homicide...467

1. Crimes involving specific specific intent...468
2. Crimes involving negligence...470

B. Inability of the Business Corporation to Suffer Corporal
    Punishment...471

C. Legislative Intent and Purpose to Subscribe Criminal Liability for
    Homicide to the Business Corporation...474
 

1. The "strict common law" cases...476
2. The "statutory common law" cases...479

D. The Corporation Goes to Trial: State v. Ford Motor Company...483

II. CORPORATE CRIMINAL LIABILITY FOR HOMICIDE UNDER THE CALIFORNIA PENAL CODE

III. CONCLUSION...491
 

HILDEBRAND, I.R.A., "Corporate Liability for Torts and Crimes", (1934-35) 13 Texas Law Review 253-277, and see "Responsibility for Crime", at pp. 272-276; copy at Ottawa University, KFT 1269 .T482  Location: FTX Periodicals;
 

HILL, Jennifer, "Corporate criminal liability in Australia: an evolving corporate governance technique?", in Chee Keong Low, ed., Corporate Governance: An Asia-Pacific critique, Hong Kong: Sweet and Maxwell, 2002, xli, 613 p., at pp. 519-566, ISBN:  9626610212, note: Vanderbilt Law and Economics Research Paper No. 03-10 ; no copy in Ottawa area libraries according to my verification of Library and Archives Canada catalogue AMICUS (5 May 2004); not consulted;

"Abstract:

The article concerns developments in Australia in an area of law generally treated as peripheral to corporate  governance - namely, corporate criminal liability.

The article discusses the impact of reforms to corporate criminal liability under Part 2.5 of the Criminal Code, which                commenced full operation in Australia in late 2001. Although corporate law in Australia, including directors' duties, adopts an Anglo-US shareholder-centered model of the corporation, Part 2.5 of the Criminal Code adopts an organizational model of the corporation. The reforms constitute a major paradigm shift in corporate criminal liability, and affect a range of important areas, such as competition and consumer law, occupational health and safety and environmental law.

The article argues that there appears to be a disjunction between the underlying principles in the area of directors' duties and corporate criminal law in Australia. Under traditional Australian corporate law principles, issues of social responsibility are kept at a distance and directors' duty of oversight in relation to corporate misconduct is limited. In contrast, the new Australian corporate criminal liability regime recognizes concepts of organizational due diligence, organizational blameworthiness and "corporate culture."

Under the new paradigm, issues relating to corporate criminal liability will inevitably become more closely integrated at  an operational level into corporate governance, as corporations introduce compliance programs to ensure that their "corporate cultures" do not potentially trigger criminal liability. It is possible that these reforms to corporate criminal liability may be more effective than directors' duties in recognizing that directors are ultimately accountable for their corporation's "culture," and have a corresponding obligation to monitor diligently." (source:  http://papers.ssrn.com/sol3/papers.cfm?abstract_id=429220, accessed on 30 May 2004)

___________"Corporate Criminal Liability in Australia: An Evolving Corporate Governance Technique?", (January 2003) The Journal of Business Law 1-44; copy at Ottawa University, FTX, Per., KD 1622 .J653'

[Contents]

1.  Introduction...1
2.  Corporate Theory and Corporate Criminal Liability...4
3.  Corporate Theory and Corporate Wrongdoing...6
4.  The Prerequisites for Corporate Criminal Liability and the
     Problem of Corporate Groups...10
5.  Shifting Paradigms in Australia -- The Criminal Code...16
6.  Corporate Criminal Liability and the Criminal Code Amendment
     (Bribery of Foreign Public Officials) Act 1999...20
7.  Countervailing Principles to Corporate Accountability -- The Availability
     of the Privilege against Self-incrimination...24
8.  General Areas of Corporate Criminal Liability...27

(a) Trade Practices Legislation...27
(b) Occupational Health and safety Legislation...31
(c) Environement Protection Legislation...37

10. (sic) Conclusion... 44

HILL, Jennifer and Ronald  Harmer, "Criminal Liability of Corporations -- Australia",  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. 71-127, 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;
 

HILLEMANNS, Carolin F., "UN Norms on the Responsibilities of Transnational Corporations and Other Business Enterprises with regard to Human Rights", 4 German Law Journal No. 10 (1 October 2003) - European & International Law; available at  http://www.germanlawjournal.com/article.php?id=330#_edn37(accessed on 26 June 2004); with the same title at  http://www.germanlawjournal.org/pdf/Vol04No10/PDF_Vol_04_No_10_1065-1080_European_Hillemanns.pdf(accessed on 1 July 2004);
 

HINDAWY, Dr. Nour El Din, "Egypte II.  L'étendue actuelle de la protection de l'environnement au R.A. d'Égypte", (1994) 65 Revue internationale de droit pénal 871-878;  note: Colloque préparatoire, section 1, Les atteintes à l'environnement, problèmes de droit pénal général, Ottawa (Canada), 2-6 novembre 1992;

    "En Égypte, comme dans plusieurs autres pays, la plupart des crimes contre l'environnement sont commis par les entreprises industrielles, privées ou étatiques.  Or, les préjudices à l'environnement causés par ces personnes morales sont beaucoup plus grands que ceux causés par les personnes physiques.  Ici, une question se pose, à savoir celle de la responsabilité pénale des personnes morales dans le système juridique égyptien.

    En Égypte, il est possible d'inculper non seulement la personne morale en tant que telle, mais également son représentant juridique (directeur d'une usine ou capitaine d'un navire).  Bien sûr les sanctions prévues sont adaptées à la nature de la personne condamnée: la prison pour la personne physique, alors que pour la personne morale: l'indemnité ou la fermeture, ou encore la suspension temporaire ou définitive des activités. ..." (p. 875)

HIRSCH, Moshe, "Israël.  Criminal-Environmental Law in Israel", (1994) 65 Revue internationale de droit pénal / International Review of Penal Law 995-1011, see "Liability of corporate bodies", at p. 999; article in English; part of the Preparatory Colloquium, Section 1, Crimes against the Environment -- General Part, Ottawa (Canada), November 2-6, 1992;

"Liability of corporate bodies

    Under Israeli law criminal liability is imputable to natural persons as well as to bodies of persons, either incorporated or not.  The doctrinal basis mentioned in the Israeli jurisprudence refers to the well-known theory in the Anglo-American law concerning the organic theory (alter ego).  Accordingly, a corporate body may be found liable if the penal provision provides for a strict liability and the offence is committed by a person while he acts for the corporate body; or, where the offence was made by one of its principal (organs which its act was identified with the corporate body's acts. (The subject of the criminal liability of governmental agencies will be dealt with separately below)." (p. 999; four notes omitted)

HIRSCHI, Travis and Michael Gottfredson, "Causes of white-collar crime", (1987) 25 Criminology 949-974; copy at Ottawa University, HV 6001 .C68  Location: MRT Periodicals;

"[Abstract]  This paper begins with a conceptual analysis of the idea of white-collar crime.  It considers data relevant to popular images of white-collar crime and outlines a general theory of crime explicitly applicable to both ordinary and white-collar crime.  This theory is compared with traditional explanations of white-collar crime, and several explicit empirical tests of rival views are described." (p. 949)

__________"The Significance of white-collar crime for a general theory of crime", (1989) 27 Criminology 359-372; copy at Ottawa University, HV 6001 .C68  Location: MRT Periodicals;

"[Abstract]  Advocates of the concept of white-collar crime have failed to make the case for its scientific value.  Steffensmeir's efforts to save the concept further support our view that it is flawed and misleading.  His efforts support our contention that the correlates of white-collar crime are the same as the correlates of crime, that the age distribution of offending is the same for white-collar crimes as for other crimes, that official statistics have sufficient validity for many etiological purposes, and that the search for a general theory of crime holds great promise for criminology." (p. 359)

HITCHLER, Walter Harrison, "The Criminal Responsibility of Corporations", (1922-23) 27 Dickinson Law Review 89-101 and 121-137; not at the SCC Library; copy at Ottawa University, KFP 69 .F67  Location: FTX Periodicals;

[Contents]
- Introduction...89
- The First Period...89
- The Second Period...91
- The Third Period...93
- Limitations...94
- Crimes Involving Injury to Person...95
- Crimes Involving A Criminal Intent...95
- The Fourth Period...96
- Crimes Involving Intent...97
- Crimes Involving Injury to the Person...98
- Felonies...98
- Basis of Responsibility...99
- Reasons for Irresponsibility...99
- Criminal Act...99
- Criminal Intent...121
- A Corporation is a Real Thing...121
- A Corporation is a Fictitious Person...122
- A Corporation cannot have a Real Intent...123
- Imputation of Intent...123
- Criminal Procedure...127
- Process...127
- Appearance...127
- Punishment...128
- Punishment to Stockholders...130
- Responsibility of Actors...132
- Certain Crimes...133
- Ultra Vires...133
- Authority of Representatives...134
- Intention of A Particular Consequence...135
- Knowledge of a Particular Circumstance...136
- Motive...136
- Intention to Do Act...137

HO, Betty M., "Rethinking the System of Sanctions in the Corporate and Securities Law of Hong Kong", (1996-7) 42 McGill Law Journal 603-648; copy at Ottawa University, KEQ 5 .M35  Location: FTX Periodicals; available at  http://www.journal.law.mcgill.ca/arts/423ho.pdf (accessed on 8 August 2004);
 

HOFFMAN, W. Michael and Robert E. Frederick, "Corporate Moral Responsibility: A Reply to Professor Gibson", (1986) 21 Journal of Thought 27-39;  see article by Gibson, Roger, supra; 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 (30 August 2004);
 

HOLGATE, Geoff, "Corporate Liability.  Bringing criminal charges against corporations is far from straight forward as Geoff Holgate explains", (20 August 1993) 137 Solicitors Journal 826-827;

HOLLER BANCO, Daniella, Towards a New Paradigm for Corporate Liability Liabvility in Brazil: Lessons from Common Law Developments, LL.M., The College of Law, University of Saskatchewan, 2006, viii, 211 p., available at http://library.usask.ca/theses/available/etd-04192006-112943/unrestricted/d_branco.pdf  (accessed on 30 April 2006);
   

HÖPFEL, F., "The implementation of the Corpus Juris 1997 in the Member States: National Report --Austria / La mise en oeuvre du Corpus Juris 1997 dans les États Membres: Rapport national -- Autriche", 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, pp. 1-74, 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;
 

HORWITZ, Morton J., "Santa Clara Revisited: The Development of Corporate Theory", (1985-86) 88 West Virginia Law Review 173-224; copy at Ottawa University, KFW 1269 .W46  Location: FTX Periodicals;
 

HOWARD, Mary Lou, Notes, "Charitable Contributions as a Condition of Federal Probation for Corporate Defendants: A Controversial Sanction Under New Law", (1984-85) 60 Notre Dame Law Review 530-547;

[Contents]

[Introduction]...530

I.  The Historical Debate...533

II. The Sentencing Reform Act of 1984...538

III.  Proposed Guidelines...544

IV. Conclusion...547

HOWELLS, R.W.L., "A Blow against Enterprise Liability", (1971) 34 Modern Law Review 676-680; discussion of Tesco Supermarkets Ltd. v. Nattras, [1971] 2 All E.R. 127 (H.L.);  copy at Ottawa University, KD 322 .M62  Location:  FTX Periodicals;
 

HUBBLE, Gail, "Rape by Innocent Agent", (1997) 21 Criminal Law Journal 204-212, see "The corporate rapist" at pp. 211-212;

"[Abstract]

The Victorian Court of Criminal Appeal has recently endorsed the English case of Cogan and Leak [1976] AB 217, and accepted that the doctrine of inncocent agency is applicable to the crime of rape.  This article critically examines both the decision in Hewitt (1996) 84 A Crim R 440 and the debate surrounding the application of innocent agency in this context.  In particular, the argument that rape is 'too personal' to be committed via the acts of an agent will be assessed.  Finally, the implications of the decision for corporate criminal liability will also be briefly explored." (p. 204; emphasis in bold added)

HUFF, Kevin B., "The Role of Corporate Compliance Programs in Determining Corporate Criminal Liability: A Suggested Approach", (1996) 96 Columbia Law Review 1252-1298; copy at Ottawa University, KFN 5069 .C657  Location: FTX Periodicals;

[CONTENTS]

INTRODUCTION...1252

I.  CORPORATE CRIMINAL LIABILITY...1255

A.  The Elements of Corporate Criminal Liability for the Actions of
      Employees...1255
B.  The Impact of Compliance Programs on the Criminal Liability of the
      Corporation...1263

II.  ALTERNATIVE METHODS OF GIVING EFFECT TO CORPORATE COMPLIANCE
      PROGRAMS...1267

A. Corporate Compliance Programs in Sentencing Prosecutorial Discretion, and Federal Regulations...1267

1.  The Sentencing Guidelines...1267
2.  Prosecutorial Discretion...1269
3.  The Role of Compliance Programs in Federal Regulations...1270

B.  The Normative Debate: What Impact Should Corporate Compliance Programs Have on
      the Liability of Corporations?...1272

1.  Due Diligence Defenses...1272
2.  The View That Compliance Programs Are Legally Irrelevant...1279

III.  THE IMPACT OF CORPORATE COMPLIANCE PROGRAMS ON CORPORATE
       CRIMINAL LIABILITY: SUGGESTED APPROACH...1281

A.  Corporate Compliance Programs Should Be Admitted Into Evidence As a Relevant
      Factor...1283
B.  The Elements of Corporate Criminal Liability: The Relevant Factor Approach...1287

1.  Intent to Benefit the Corporation...1287
2.  The Scope of Employment...1289
3.  The Relevant Factor Approach and the Totality of the Circumstances...1292
4.  Incentives to Comply with the Law...1295

CONCLUSION...1298

HURSTEL, Daniel et Julien Mougel, "La loi Sarbanes-Oxley doit-elle inspirer une réforme du gouvernmenet d'entreprise en France?", (janvier-mars 2003) Revue des sociétés 13-50; copie à la Bibliothèque de la Cour suprême du Canada, Ottawa; copie à l'Université d'Ottawa, K 650 .R49  Location: FTX Periodicals;
 

HURTADO POZO, J., "Quelques réflexions sur la responsabilité pénale de l'entreprise", dans  hrsg. von Jürg-Beat Ackermann, Andreas Donatsch, Jörg Rehberg,  Wirtschaft und Strafrecht: Festschrift für Niklaus Schmid zum 65. Geburtstag, Zürich : Schulthess, 2001, ISBN: 3725542708; aucune copie au Canada, selon ma vérification du Catalogue AMICUS de Bibliothèque et Archives Canada, Ottawa (26 décembre 2003);
 

HUSS, M.A., "Sanctions pénales et personnes morales", (1975-76) 56 Revue de droit pénal et de criminologie 673-697; 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;
 

IDIKE, Chinedu Enyidiuru, The liability of multinational corporations under international law for human rights violations in the Niger Delta, LL.M. thesis, Dalhousie University, Faculty of Law, 2003, xiv, 318 leaves; microform copy also at Library and Archives Canada, Ottawa;.

[Abstract] "The activities of multinational corporations (MNCs) have gained increased attention globally as a result of the deleterious effects arising from their misconduct.  MNCs by their sheer size have turned into major world players with disposition to act with impunity, especially with regard to human rights. This thesis investigates the liability of MNCs under international law for human rights violations using the Nigeria's Niger Delta as a case study. Efforts to seek remedy within the international legal system, as is shown in this thesis, confront strong obstacles. This thesis proffers a two-pronged practical solution to these problems. First, the thesis, after an exploration of various remedies against MNCs, concludes that corporate criminal liability serves a more useful purpose in the present times when corporations and their managers make huge profits at the expense of environmental and human rights. Second, in light of the difficulty in concluding a legally binding multilateral agreement on MNCs, this thesis argues that only a regional mechanism offers a glimmer of hope for Africa in this situation. Thus, it proposes a regional initiative based on African experiences with MNCs and recommends the establishment of an "African Union Agreement on Multinational Corporations and Trade" by the African Union, an exercise which will give the African states a collective power to curtail MNCs' misconduct. (Abstract shortened by UMI.)" (source AMICUS catalogue, Library and Archives Canada, Ottawa).

IJALAYE, David Adedayo, The extention of corporate personality in international law, Dobbs Ferry (NY) : Oceana Publications, and Leiden (The Netherlands): A.W. Sijthoff, 1978, xi, 354 p., ISBN: 0397203286 (Oceana) and 9028602682 (Sijthoff); copy at Ottawa University, FTX General, KZ 3920 .I324 1978;
 

INTERNATIONAL CENTRE FOR CORPORATE CENTRE FOR CORPORATE SOCIAL RESPONSIBILITY (ICCSR) at the Nottingham University Business School, web site at http://www.nottingham.ac.uk/business/ICCSR/(accessed on 14 December 2003);
 

INTERNATIONAL CENTRE FOR CRIMINAL LAW REFORM AND CRIMINAL JUSTICE POLICY, and United Nations Interregional Crime and Justice Research Institute (UNICRI), International Meeting of Experts on the Use of Criminal Sanctions in the Protection of the Environment: Internationally, Domestically and Regionally -- Report,  note: "Organized by the International Centre for Criminal Law Reform and Criminal Justice Policy Vancouver, Canada; The Portland Organizing Committee Portland, Oregon, USA; In co-operation with The United Nations Interregional Crime and Justice Research Institute, Rome, Italy, at Portland, Oregon, USA"; available at  http://www.icclr.law.ubc.ca/Publications/Reports/Portland2.PDF (accessed on 15 August 2004);
 

INTERNATIONAL CENTRE OF SOCIOLOGICAL, PENAL, AND PENITENTIARY RESEARCH AND STUDIES,  La responsabilita penale delle persone giuridiche in diritto comunitario : atti della conferenza organizzata dal Centro internazionale di ricerche e studi sociologici, penali e penitenziari : Facolta di giurisprudenza, Universita degli studi di Messina : Messina, 30 aprile-5 maggio 1979, Milano : Giuffre, stampa 1981, xi, 707 p. (series; Pubblicazioni dell'Istituto di scienzegiuridiche, economiche, politiche e socialidella Universita di Messina; number 121); no copy of this book in Canada according to my verification of the AMICUS catalogue on 15 December 2003; here are some articles that appear in this publication:

- Delatte: "La responsabilité pénale des personnes morales";
- Fasseur, "The Criminal Liability of Legal Persons in Netherlands Law";
- Garde, "The Penal Responsibility of Juridical Persons in Danish Law";
- Levasseur et Bouloc, "La responsabilité pénale des personnes morales d'après le droit positif français actuel";

___________Les rapports sur notre sujet à ce congrès comprennent aussi (note de recherche):

- Belgique -- J. Donckier der Donceel
- Bulgarie --I. Dermendjiev
- France -- B. Schütz
- Grande-Bretagne -- E. Bennum
- Israël -- D. Bein
- Italie -- Cesare Pedrazzi
- Vénézuela - J. de la Rua
- Yougoslavie -- O.M. Djordjevic

International Convention for the Suppression of the Financing of Terrorism, Adopted by the General Assembly of the United Nations in resolution 54/109 of 9 December 1999; also available in French/aussi disponible en français; Convention internationale pour la répression du financement du terrorisme, Nations Unies, 1999;

"Article 5

1. Each State Party, in accordance with its domestic legal principles, shall take the necessary measures to enable a legal entity located in its territory or organized under its laws to be held liable when a person responsible for the management or control of that legal entity has, in that capacity, committed an offence set forth in article 2. Such liability may be criminal, civil or administrative.

2. Such liability is incurred without prejudice to the criminal liability of individuals having committed the offences.

3. Each State Party shall ensure, in particular, that legal entities liable in accordance with paragraph 1 above are subject to effective, proportionate and dissuasive criminal, civil or administrative sanctions. Such sanctions may include monetary sanctions." (source:  http://www.un.org/law/cod/finterr.htm, accessed on 13 July 2004)

---------

"Article 5

1.  Chaque État Partie, conformément aux principes de son droit interne, prend les mesures nécessaires pour que la responsabilité responsabilité d'une personne morale située sur son territoire ou constituée sous l'empire de sa législation soit engagée lorsqu'une personne responsable de la direction ou du contrôle de cette personne morale a, en cette qualité, commis une  infraction visée à l'article 2. Cette responsabilité peut être pénale, civile ou administrative.

2.  Elle est engagée sans préjudice de la responsabilité pénale des personnes physiques qui ont commis les infractions.

3.  Chaque Etat partie veille en particulier à ce que les personnes morales dont la responsabilité est engagée en vertu du paragraphe 1 fassent l'objet de sanctions pénales, civiles ou administratives efficaces, proportionnées et dissuasives. Ces sanctions peuvent être notamment d'ordre pécuniaire." (source: http://untreaty.un.org/French/Terrorism/Conv12.pdf, visionné le 13 juillet 2004)

INTERNATIONAL COUNCIL ON HUMAN RIGHTS POLICY, Beyond Voluntarism human rights and the developing international legal obligations of companies, Versoix (Switzerlans): International Council on Human Rights Policy, 2002, [v], 177 p.,  ISBN 2940259194; available at http://www.ichrp.org/ac/excerpts/41.pdf (accessed on 14 July 2004); a summary is also available in French/aussi un résumé est disponible en français: CONSEIL INTERNATIONAL POUR L'ÉTUDE DES DROITS HUMAINS, Au-delà du volontarisme.  Les droits humains et les obligations émergentes entreprises en droit international -- Résumé, 2002 disponible à http://www.ichrp.org/ (visionné le 14 juillet 2004);
 

NTERNATIONAL PEACE ACADEMY AND FAFO AIS, Business and International Crimes: Assessing the Liability of Business Entities for Grave Violations of International Law, "A Comparative Survey of Private Sector Liability for Grave Violations of International Law in National Jurisdictions", surveys of Canada, France, Norway, the United Kingdom, and the United States, 2003, available at  http://www.fafo.no/liabilities/nat_surv.htm (accessed on 29 August 2005);
 

INTERNATIONAL PENAL LAW CONFERENCE, 6th, Rome, 1953; VI^e Congrès international de droit pénal pénal (Rome, 27 septembre au 3 octobre 1953); notes de recherche:

-Mueller, infra, p. 34, note 69(B)(1) states that the Conference "recommended an expansion of sanctions against corporations in the area of economic violations, following Dutch and Swiss examples";

- voir la troisième résolution;

- Actes du VIe Congrès international de droit pénal, Milan: Éd. Giuffrè, 1957, voir circa aux pp. 207 et 219; aucune copie de ce livre dans les bibliothèques canadiennes comprises dans le catalogue AMICUS de Bibliothèque et Archives Canada (vérification du 21 septembre 2004);

- Revue de droit pénal et de criminologie, 1953-54, p. 386; aucune copie de ce numéro de périodique dans les bibliothèques canadiennes de la région d'Ottawa comprises dans le catalogue AMICUS de Bibliothèque et Archives Canada (vérification du 21 septembre 2004);

INTERNATIONAL SOCIETY FOR THE REFORM OF CRIMINAL LAW, The Corporation and the Criminal Law - Victim and Violator, Hong Kong
December 1994; 8th International Conference;

"This conference comprehensively examined all aspects of the interaction of the criminal law and the modern corporation, from the intersection of the corresponding legal theories to the actual application of the criminal law to corporations." (source:  http://www.isrcl.org/)

IRAOLA, Roberto, "Criminal Liability of a Parent Company for the Conduct of Its Subsidiary: The Spillover of the Exxon Valdez", (January-February 1995) 31(1) Criminal Law Bulletin 3-18; copy at the Library of the Supreme Court of Canada;

[Abstract]

   The author discusses the theories of liability presented by the government in its prosecution of Exxon Corporation for the 1989 grounding of the Exxon Valdez in Prince William Sound, Alaska.  It also provides an overview of the types of legal theories the government may advance to hold a parent corporation vicatiously liable criminally for the conduct of its subsidiary and the factors that generally must be present for these theories to apply." (p. 3)

IRELAND, The Law Reform Commission, Consultation Paper on Corporate Killing, Dublin: The Law Reform Commission, October 2003, xii, 226 p. (series; consultation paper; number 26-2003); available at  http://www.lawreform.ie/6%20Oct%20Final%20CP.pdf (accessed on 14 December 2003);
 

__________ Report Corporate Killing, Dublin: The Law Reform Commission, October 2005, x, 141 p. (series; report; number 77-2005); available at http://www.lawreform.ie/Corporate%20Killing%20Report.pdf (accessed on 5 November 2005);
 

___________The Law Reform Commission, Report on penalties for minor offences, Dublin : Law Reform Commission, 2003, xii, 139 p., see Chapter 6, "Increasing the Maximum for Companies", at pp. 83-104  (series; Ireland; Law Reform Commission; LRC 69-2003); available at  http://www.lawreform.ie/REPORT%20ON%20MIN%20OFFS.pdf (accessed on 2 May 2004);
 

ITOH, Kensuke, "Japon.  Criminal Protection of the Environment and the General Part of Criminal Law in Japan", (1994) 65(3-4) Revue internationale de droit pénal/International Review of Penal Law 1037-1050, see "To whom is criminal liability imputable under your law?, at pp. 1043-1045;

    "It is said that there are nearly 700 criminal provisions at the national law level alone that can punish entities other than individuals (i.e. natural persons) and that this number will increase more or less constantly in the future.  The fact that under the Japanese law criminal liability is imputable to entities other than individuals is indisputable.  Those entities are as a rule supposed to be legal persons, but in some rare cases groups, associations, and other collectivities not recognized as legal persons are declared by specific provisions to be treated in the same way as legal persons and thus to be criminally imputable.  Government agencies and governments themselves are not included in those entities.

    Despite the recognition of potential criminal imputability of entities other than individuals in the positive criminal law in Japan, it is still intensely disputed in theories whether entities other than individuals can commit crimes if there is no explicit reference to those entities' capability of committing crimes in the positive law.  Arguments in the discussion are fundamentally same as the traditional ones under the Continental (Civil) and the Anglo-American law systems, so it is unnecessary to repeat them at length here." (pp. 1043-1044)

___________"Theoretical Efforts and their Limitations in Legitimatising Criminal Liabilities of Organisations in Japan", 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. 478-482  (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);
 

JAATINEN, Heikki, "Corporate Criminal Liability and Neo-Classical Criminal Policy", (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 on 20 February 2004, there are no copy in the Canadian libraries covered by this catalogue; note: law journal from the University of Turku, Finland;
 

JACKSON, Kevin T., "A cosmopolitan court for transnational corporate wrongdoing: Why its time has come", (May 1998) 17(7) Journal of Business Ethics 757-783;

[Contents]

Introduction...757

Philosophical justifications for the court...758

Utilitarian justification...758

Benefits to legal institutions...758
Benefits to transnational corporations...759
Benefits for parties in international business contracts...759
Benefits to victims suffering harm from corporate wrongdoing...760

Deontological justification...761
Global rights and duties...761
Global justice...762

JAEGER, Marc, "Les propositions 'Espace judiciaire européen' confrontées à la situation au Luxembourg", (avril -juin1997) Revue de science criminelle et de droit pénal comparé 347-349; 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]

L'incidence des articles 12, 13 et 14 du Corpus juris sur le droit
pénal luxembourgeois fait l'objet des quelques remarques suivantes.

A. -- La responsabilité pénale du fait personnel...347
B. -- La responsabilité pénale du fait d'autrui...348
C. -- La responsabilité pénale des personnes morales...348

JANSSENS, Edouard, "La responsabilité pénale des personnes morales", (1980) 60 Revue de droit pénal et de criminologie 463-474; compte rendu se la réunion de Rome du 3 décembre 1979 et de la réunion du 25 janvier 1980;
 

___________"La responsabilité pénale des personnes morales dans les pays de la C.E.E.", (23 juin 1979) 94 Journal des Tribunaux  430-431; numéro 5088; contient les rapports de messieurs Falzea, Bricola et Screvens;

    "Le Centre international d'études et de recherches pénales, sociologiques et pénitentiaires de Messine a organisé du 30 avril au 6 mai 1979 dans l'aula magna de l'Université, une conférence internationale ayant pour objet d'étudier l'état de la législation, dans chacun des Etats membres sur la responsabilité pénale des personnes morales.

    Cette conférence était organisée en concertation avec la Commission des Communautés européennes et avec une participation du Conseil de l'Europe." (p. 430)

__________"La responsabilité pénale des personnes morales dans les pays de la C.E.E.", (1979) 59 Revue de droit pénal et de criminologie 652-657; copie à l'Université d'Ottawa, K 21 .D725  Location: FTX Periodicals; note: "Le Centre international d'études et de recherches pénales, sociologiques et pénitentiaires de MESSINE a organisé du 30 avril au 6 mai 1979 dans l'aula magna de l'Université, une conférence internationale ayant pour objet d'étudier l'état de la législation, dans chacun des Etats membres sur la responsabilité pénale des personnes morales.  Cette conférence était organisée en concertation avec la Commission des Communautés Européennes et avec une participation du Conseil de l'Europe." (p. 652); rapports nationaux par "MM. Delatte (Belgique), Garde (Danemark), Levasseur et Bouloc (France), Huss (Luxembourg), Fasseur (Pays-Bas), Oelher (Rép. Féd. Allemagne) et Leigh (Royaume-Uni)" (pp. 652-653

[Table des matières]

[Introduction]...652

A) OBJET DE LA CONFÉRENCE...652

B) ORGANISATION DE LA CONFÉRENCE...652

C) LES PARTICIPANTS...653

D) SYNTHÈSE DES RAPPORTS GÉNÉRAUX...653

a) rapport de M. FALZEA...653
b) rapport de M. BRICOLA...655
c) rapport de M. SCREVENS...656

E) DÉBATS...656

F) CONCLUSIONS GÉNÉRALES...656

JAREBORG, N.,  "The implementation of the Corpus Juris 1997 in the Member States: National Report -- Sweden /  La mise en oeuvre du Corpus Juris 1997 dans les États Membres: Rapport national -- Suède",  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. 815-856, 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;
 

JEFFERSON, M., "Recent Developments in Corporate Criminal Responsibility", (1995) 16(5) Company Lawyer 146-149; 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 (verification of 29 August 2004);
 

JEFFERSON, Michael, "Corporate criminal liability in the 1990s", (2000) 64 Journal of Criminal Law 106-122;

[Contents]

[Introduction]

Marginalisation...106

The Rejection of the Aggregation Doctrine...109

Vicarious liability...113

The Identification Doctrine...117

The Law Commission Report on Involuntary Manslaughter...119

The Australian Criminal Code Act 1995...121

Conclusion...121
 

[Contents]

Introduction...235

Fines...238

Advantages of fines...238
Disadvantages of fines...238
Improving fines...243

New forms of sanctions...244

Equity fines...245
Punitive damages...248
Corporate probation...249
Community service...253
Penal (or preventive) injunction...255
Adverse publicity...256
Dissolution...260

Conclusion...261

JENKINS, Lindy, Prosecuting the corporation : issues and developments, Perth, W.A. : Centre for Commercial and Resources Law of the University of W.A. and Murdoch University, c1996, 19, [3], 3, 28 p ; Contents :  Corporate criminal responsibility in the twenty-first century / Lindy Jenkins -- Corporate criminals some views from Canada / Bruce Welling, ISBN: 0864224761; title noted in my research but document not consulted; no copy of this title in the Canadian libraries covered by the catalogue of the National Libraries of Canada, AMICUS (6 June 2004);
 

JENKINS, Rhys Owen, 1948-, Ruth Pearson, 1945-,  and Gill Seyfang, 1969-, eds., Corporate responsibility and labour rights : codes of conduct in the global economy, London:  Sterling, VA : Earthscan, c2002, xvi, 232 p., ISBN: 1853839310; copy at Ottawa University, MRT General, HD 60 .C664 2002;

"[Contents] Codes of conduct and global deregulation -- Introduction / Rhys Jenkins, Ruth Pearson and Gill Seyfang. The political economy  of codes of conduct / Rhys Jenkins. Labour rights/corporate responsibilities : the role of ILO labour standards / Jill Murray. 'I'll tell you what i want...' : women workers and codes of conduct / Ruth Pearson and Gill Seyfang. Mapping codes through the value chain : from researcher to detective / Stephanie Barrientos -- Codes of conduct : perspectives from stakeholders in the global production chains : stakeholder perspectives. Beyond codes : lessons from the Pentland experience / Lesley Roberts. The international trade union movement and the new codes of conduct / Dwight Justice. The emperor's new clothes : what codes mean for workers in the garment industry / Linda Shaw and Angela Hale. Can codes of conduct help home based workers? / Lucy Brill. Regional perspectives. 'Made in China' : rules and regulations versus codes of conduct in the toy sector / Alice Kwan and Stephen Frost. The contradictions in codes : the Sri Lankan experience / Kelly Dent. The ootential of codes as part of women's organisations' strategies for promoting the rights of women workers : a Central America perspective / Marina Prieto, Angela Hadjipateras and Jane Turner. The fox guarding the chicken coop : monitoring garment production in Los Angeles / Laura Dubinsky. Practical issues in developing and implementing codes. Working with codes : perspectives from the clean clothes campaign / Nina Ascoly and Inneke Zeldenrust. ETI : aa multi-stakeholder approach / Mick Blowfield. Monitoring the monitors : a critique of third-party labour monitoring / Dara O'rourke. Code monitoring in the informal fair trade sector : the experience of Oxfam GN / Rachel Wilshaw." (source: University of Ottawa catalogue, available at  http://137.122.27.60/search, accessed on 8 August 2004);

JESSUP, Etan H., "Environmental crimes and corporate liability: The evolution of the prosecution of 'Green' crimes by Corporate Entities", (1998-99) 33 New England Law Review 721-742; copy at Ottawa University, KFM 2469 .N49  Location: FTX Periodicals;
 

JIACHEN, Justice Liu, "The Legislation and Judicial Practice on Punishment of Unit Crime in China", 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. 71-79 (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);

JOHNSON, Chris. W., "Ten Contentions of Corporate Manslaughter Legislation: Public Policy and the Legal Response to Workplace Accidents",  2006, 19 p., available at http://www.dcs.gla.ac.uk/~johnson/papers/Chris_Corporate_Manslaughter.pdf (accessed on 4 July 2006);
 

JOHNSON, Timothy A., "Sentencing Organizations After Booker", (December 2006) 16(3) The Yale law Journal 632-666;

JOHNSTONE, Richard, From Fiction to Fact -- Rethinking OHS Enforcement, Canberra (ACT): National Research Centre for OHS Regulation, Australian National University,  2003 (series;  Technical Report Working Paper; number 11); available at  http://www.ohs.anu.edu.au/publications/pdf/WP11.Johnstone.pdf (accessed on 24 April 2004);
 

____________"The Legal Construction of Occupational Health and Safety Offences in Victoria: 1983-1991",  in Richard Johnstone, ed., Occupational Health and Safety Prosecutions in Australia, Parkville [Vic., Australia] : Centre for Employment and Labour Relations Law, c1994, x, 120 p., at p. 78 (series; Centre for Employment and Labour Relations Law; Occasional Monograph Series; number 1), ISBN: 0732508134; title noted in my research but article not consulted; no copy of th of this book in the Ottawa area libarries according to my verification of the AMICUS catalogue of Library and Archives Canada (29 August 2004); copy at Laval University, KU 1390 O15 1994;
 

JOMINI, Sandrine, "La responsabilité pénale collectivités publiques et des fonctionnaires", (2002) Revue pénale suisse 26-61; titre noté dans mes recherches; article non consulté; aucune copie de ce périodique au Canada pour les bibliothèques comprises dans le catalogue AMICUS; note: mémoire  de licence, Université de Lausanne, Faculté de droit, Sciences criminelles, Institut de criminologie et de droit pénal, hiver 2001;

"[Résumé]
Ce mémoire a pour objet une étude de droit comparé entre la France et la Suisse. Le Code pénal suisse connaît, tout comme le Code français, des infractions propres aux agents publics, mais contrairement à la France, la Suisse n'a toujours pas admis la punissabilité des personnes morales de droit public." (source: http://www2.unil.ch/icdp/quoi/memoires_environnement/memoire_environnement.html#un, visionné le 7 janvier 2004)

JOO, Thomas W., ed., Corporate governance : law, theory, and policy, Durham, N.C. : Carolina Academic Press, c2004; "Contents : The role of the corporation -- Balancing interests in the corporation -- State corporate law -- Federal corporate law -- Shareholder litigation -- Criminal and regulatory law -- Shareholder voice -- The composition of corporate boards -- The role of the board in the hostile takeover context -- Executive compensation -- The corporate lawyer and other gatekeepers." (source: Hollis catalogue; Harvard University); title noted in my research but book not consulted; no copy of this book in the Canadian libraries covered by the AMICUS catalogue of Library and Archives Canada (verification of 29 August 2004);
 

JORDA, Julien, "La responsabilité pénale des personnes morales de droit public à la lumière de la jurisprudence", La Gazette du Palais, n° 42, 11/02/2001, aux pp. 4-32; aussi dans la Gazette du Palais, Recueil Bimestrial, 2001, numéro1, janvier-février, aux pp. 181-206;  copie à l'Université d'Ottawa, KJV 9 .G39  Location: FTX Periodicals;
 

JORDAAN, Louise, "New perspectives on the criminal liability of corporate bodies", (2003) Acta Juridica 48-71; copy at the Library of the Supreme Court of Canada;

[CONTENTS]

I INTRODUCTION...48

II DERIVATIVE MODELS OF CORPORATE CRIMINAL LIABILITY...49

(1) Vicarious liability...49
(2) The doctrine of identification...53
(3) The principle of aggregation...58

III ORGANISATIONAL MODELS OF CORPORATE CRIMINAL LIABILITY...60

IV CONCLUSION...65

JORG, Nico, "The Promise and Limitations of Corporate Criminal Liability", in William S. Lofquist, Mark A. Cohen and GaryA. Rabe, eds., Debating Corporate Crime, Highland Heights (KY) : Academy of Criminal Justice Sciences, Northern Kentucky University; Cincinnati (OH): Anderson Pub. Co., c1997, vii, 265 p. (series; ACJS/Anderson monograph series), ISBN: 0870841858; titlde noted in my research but article not consulted; no copy of this book in the Ottawa area libraries according to my verification of the Library and Archives Canada catalogue AMICUS, on 24 April 2004; ;
 

JORGENSEN (Jørgensen), Nina H.B., "A Reappraisal of the Abandoned Nuremberg Concept of Criminal Organisations in the Context of Justice in Rwanda", (2001) 12 Criminal Law Forum 371-406; copy at the Library of the Supreme Court of Canada;
 

____________The Responsibility of States for International Crimes, Oxford (England)/ New York : Oxford University Press, 2000, 325 p., see "The Criminal Responsibility of Corporations", at pp. 72-79 (series; Oxford monographs in international law), ISBN:  0198298617372  and  ISBN:  0199258007 (paperback edition, 2003); copy at Ottawa University, FTX General : K 5301 .J67 2000;
 
 

JOSEPH, Sarah, Corporations and Transnational Human Rights Litigation, Oxford (England)/Portland (Oregon): Hart Pub., 2004, xii, 177 p. (series;Human rights law in perspective; volume 4), ISBN: 1841134570; copy at the University of Ottawa,  FTX General, K 3240 .J66 2004;
 

JUNG, William F., ""Recognizing a Corporation's Right under the Indictment Clause", [1983] University of Illinois Law Review  447-514; copy at the Library of the Supreme Court of Canada, periodicals;

[CONTENTS]

I. INTRODUCTION...477

II. THE HISTORY AND PURPOSES OF THE GRAND JURY
    INDICTMENT...479

A. Historical and Constitutional Purpose...479
B. Characteristics of the Grand Jury...482
C. Continuing Validity of the Grand Jury and its Advantage
     Over the Criminal Information...484

III. THE DEFINITION OF INFAMOUS CRIME

A. Common Law Historical Definition...489
B. Case History: Infamy Changes with Time...490
C. Infamous Crime as Defined by the Federal Rules of
     Criminal Procedure...493

IV. CORPORATIONS ARE NOW LIABLE FOR NEARLY ALL
      FEDERAL CRIMES, MANY OF WHICH ARE INFAMOUS
      DESPITE A CORPORATION'S INABILITY TO BE INCARCERATED...494

A. Development of Corporate Criminal Culpability...495
B. "Infamy" Does Not Depend Upon Incarceration...499
C. Public Opinion Holds Corporate Crime in Severe Reproach...503
D. Corporations Are Subject to Infamous Sanctions...506

V. HOW TO IMPLEMENT A CORPORATE RIGHT TO INDICTMENT...507

VI. EFFECTS OF RECOGNIZING A CORPORATE RIGHT TO AN INDICTMENT...509

A. Independent Probable Cause Determination...509
B. Preventing Misuse of the Grand Jury...510

VII. CONCLUSION...512

JurisPedia, "Responsabilité pénale des personnes morales (fr)", disponible à http://fr.jurispedia.org/index.php/Responsabilit%C3%A9_p%C3%A9nale_des_personnes_morales_%28fr%29  (site visité le 26 juillet 2006);

KADISH, Sanford, "Some Observations on the Use of Criminal Sanctions in Enforcing Economic Regulations", (1962-63) 30 University of Chicago Law Review 423-449; with the same title 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. 388-409; copy at Ottawa University, MRT General, HV 6635 .G35 1968;

[Contents]

[Intrdoduction]...423

I...424

II.  427

A. The Problem of Defining the Proscribed Conduct...427
B. The Problem of Corporate Criminality...430
C. The Problem of Moral Neutrality...435

III.  440
A. Requirements of Culpability...440
B. The Criminalization of Morally Neutral Conduct...444

KAGAN, Robert A. and John T. Scholz, "The 'Criminology of the Corporation' and Regulatory Enforcement Strategies", in Keith Hawkins and John M.. Thomas, eds., Enforcing Regulation, Boston: Kluwer-Nijhoff Publishing, 1984, viii, 198 p., at pp. 67-95, (series; Law in social context series), ISBN: 0898381487; copy at Ottawa University, FTX General, KF 5407 .E546 1984;

[Contents]

[Introduction]...67

The Corporation as Amoral Calculator, the REgulator as Policeman...69

- Limits of the 'Amoral Calculator' Theory...71
- Limits of the Regulator-As-Policeman Strategy...72

Corporation as Citizen, Regulator as Politician...74

-Limits of the Corporation-As-Political Citizen Theory...79

The Corporation as Incompetent, The Regulator as Consultant...80
Conclusion...85
Notes...87

KAHAN, Dan M., "Social Meaning and the Economic Analysis of Crime", (1998) 27 Journal of Legal Studies 609-622; copy at Ottawa University, KF 262 .J654  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada;

"ABSTRACT
This essay examines the importance of social meaning for the economic analysis of crime.  Against the background of social norms, the actions of individuals and communities convey information about what they value.  Individuals take these meanings into account when they are responding to the incentives created by criminal law; communities take them into account when they decide what to punish, how to punish it, and how severely.  Because meaning matters in these ways, economic analyses of criminal law that abstract from meaning -- by , say, considering only how various policies affect the expected penalty for wrongdoing -- produce unreliable predictions and prescriptions.  The essay makes out this claim by considering a number of concrete examples, including tax evasion, juvenile gun possession, gang criminality, alternative sanctions (such as shaming penalties), and corporate criminal liabuility." (p. 609)

KAHAN, Dan M., and Eric A. Posner, "Shaming White-Collar Criminals: A Proposal for Reform of the Federal Sentencing Guidelines", (1999) 42 Journal of Law and Economics 365-391; copy at Ottawa University, KF 418 .E2 J653  Location: FTX Periodicals;

"ABSTRACT
   From stigmatizing publicity to coerced gestures of public contrition to ritualized debasement ceremonies, shaming penalties are on the rise in American law.  This paper considers the feasibility and value of such penalties for federal white-collar offenders.  It develops a theoretical model that connects the deterrent efficacy of such penalties to their power to signal the undesirable propensities of wrongdoers and the desirable propensities of citizens who shun wongdoers.  It also considers how the efficiency of such penalties is affected by their power to express publicly valued social meanings.  Finally, it examines practical issues relating to the incorporation of shaming penalties into the Federal Sentencing Guidelines." (p. 365)

KAHN, E., "Can a Company Be Found Guilty of Murder - The Criminal Liability of a Corporation - I", (1990) (19) BML 145; and "Can a Company Be Found Guilty of Murder - The Criminal Liability of a Corporation - II", (1990) (19) Businessman's Law 175;  Businessman's Law = BML (publication of South Africa; ISSN:  0045-3668); title noted in my resaerch but articles not consulted; according to my verification of the AMICUS catalogue of Library and Archives Canada there is no library in Canada who would have this article (verification of 16 September 2004)l
 

KAMMINGA, Menno T., "Holding Multinational Corporations Accountable for Human Rights Abuses: A Challenge for the EC", in Philip Alston, ed., with the assistance of Mara Bustelo and James Heenan, The EU and Human Rights, Oxford, England; New York : Oxford University Press,1999, xxiii, 946 p., at pp. 553-568, ISBN: 0198298064 and 0198298099 (pbk.); note: "Academy of European Law, European University Institute"; copy at the Library of the Supreme Court of Canada, KJE5132 E9313 1999; copy at Ottawa University, MRT General, KJE 5132 .E923 1999;

"There are three principal ways in which MNCs may be held accountable for human rights abuses.

The traditional way is through the host state. ....

The second mechanism, holding MNCs accountable through their home States, should not be ruled out entirely.  However, this approach is politically unattractive because it exposes home States to the legitimate criticism of jurisdictional imperialism. ....

The third and preferred way of confronting human rights abuses by MNCs is to subject companies to direct international obligations and international supervision on a worldwide basis.  In view of the increasing strength of MNCs and the concomitant risk of abuses, it no longer makes sense that international law addresses obligations to respect human dignity to States and to individuals but not to corporations. ..." (pp. 567-568)

KAMMINGA, Menno 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; volume 7), ISBN: 9041115048; for the contents of this book, see the University of Columbia catalogue PEGASUS, at http://pegasus.law.columbia.edu/, accessed on 5 June 2004); title noted in my research but article not consulted; no copy of this book in the Ottawa area libraries covered by the AMICUS catalogue of Library and Archives Canada (verification of 15 August 2004);
 

KAPLAN, Jeffrey M., 1954-, Joseph E. Murphy 1948-, and Winthrop M.Swenson, 1952-, Compliance programs and the corporate sentencing guidelines: preventing criminal and civil liability, Deerfield, IL : Clark Boardman Callaghan, c1993-, 1 volume (loose-leaf); title noted in my research but book not consulted; no copy of this book in the Ottawa area libraries according to my verification of the AMICUS catalogue of the National Library of Canada (14 June 2004);
 

KARABUS, A. (Alan), The criminal liability of corporations, 1957, 48 leaves, thesis,  Hein's legal theses and dissertations: 004-00480; copy at Ottawa University, FTX Microfiche, K 46 .H44 v.004-00480 1957a;
 

KARPOFF, Jonathan M., and John R. Lott, Jr.. "The Reputational Penalty Firms Bear from Committing Criminal Fraud", (1993) 36 The Journal of Law and Economics 757-802; copy at Ottawa University, KF 418 .E2 J653  Location: FTX Periodicals;
 

KASANO, H., "The Punishment of Corporations", (1952) 1 The Japan annual of law and politics. 82; not at Ottawa University; title noted in my research but document not consulted;
 

KATZ, Jack, "Legality and Equality: Plea Bargaining in the Prosecution of White-collar and Common Crimes", (1978-79) 13 Law and Society 431-459; copy at Ottawa University, K 12 .A865,  Location: FTX Periodicals;

[Abstract]   On the basis of a case study of a U.S. Attorney's office, I sketch differences in the prosecution of white-collar crime in order to draw out implications for equality in current proposals to reform plea bargaining.  The extent to which the powers of investigation and prosecution are empirically distinct differs with the two categories of crime.  Because of greater social distance between prosecutor and investigator in the enforcement of laws against common crimes, formal records give a misleading impression that legitimate prosecutorial power is being bargained away.  Because there is relatively little social distance between the prosecutorial and investigative functions in the prosecution of white-collar crime, the formal record greatly under-represents the exercise of the power not to prosecute.  Reforms that would make bargaining over formal dispositions more consistent with legality or 'due' process appear likely to discourage lenience in the prosecution of common crimes while leaving largely unaffected the low visibility exercise of the power not to prosecute white-collar crime." (p. 431)

KEFER, Fabienne, "La responsabilité pénale de la personne morale: une réponse de plus à la délinquance d'entreprise", dans Sandra Berbuto, Luc Bihain, Jean Detienne et al. ; sous la coordination d'Ann Jacobs,  Le Point sur le droit pénal, Liège:  Éditions de la Formation permanente C.U.P. (Commission Université-Palais), 2000,  442 p. aux pp. 7-40 (Collection; vol. 37); titre noté dans mes recherches; article non consulté; aucune copie de ce livre dans les bibliothèques comprises dans le catalogue AMICUS de Bibliothèque et Archives Canada (vérification du 15 août 2004);
 

___________"La responsabilité pénale de l'entreprise et le droit social", in Association belge des juristes d'entreprise, Association des juristes praticiens du droit social, Les sociétés bientôt punissables - Quel impact sur la vie des entreprises? : actes du colloque du jeudi 27  mai 1999 = Vennootschappen weldra strafbaar : wat is de weerslag op het bestaan van de ondernemingen? : akten van het colloquium dd Donderdag 27 mei 1999, Bruxelles : Bruylant, 1999, 236 p., ISBN:  2802713078; titre noté dans mes recherches mais article non consulté; aucune copie de ce livre dans les bibliothèques de la région d'Ottawa; copie à l'Université de Montréal (vérification du catalogue AMICUS, 6 juin 2004);
 

___________"La responsabilité pénale des personnes morales" dans, sous la coordination de, Michel Dumont; Commission université-palais, Le droit pénal social et les contrats de travail spéciaux, Bruxelles: Larcier, 1997, 956 p., ISBN: 204403300; titre noté dans mes recherches mais article non consulté; aucune copie de ce livre dans les bibliothèques de la région d'Ottawa comprises dans le catalogue AMICUS, de Bibliothèque et Archives Canada; copie à l'Université Laval, KJK 1439 D784 1997 (vérification du 24 juin 2004);
 

KENEL, Philippe, La responsabilité pénale des personnes morales en droit anglais, thèse, Université de Lausanne, 1990; voir l'entrée suivante;
 

__________La responsabilité pénale des personnes morales en droit anglais : un modèle pour la Suisse?, Genève : Librairie Droz, 1991, 288, c, viii, 12 p. (Collection; Comparativa; 46); copie à l'Université d'Ottawa, FTX General, KJC 8130 .K46 1991; note: thèse, Université de Lausanne, 1990;
 

KENNEDY, Christopher, "Criminal Sentences for Corporations: Alternative Fining Mechanisms", (1985) 73 California Law Review 443-482; copy at Ottawa University, KFC 69 .C335  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada, Ottawa;

[CONTENTS]

[INTRODUCTION]...443

I  RETHINKING THE RATIONALE FOR THE CORPORATE FINE...445

A. The Economists' Model: Deterring the Rational Corporation...447
B. Shareholders as the Central Target of Fines...448
C. Criticism of the Rational Model: The Innocence and Impotence of
    Shareholders...449
D. The Usefulness of Rational Fines for Semirational Corporations...450
E.  Are Fines Keyed to Expected Gain Unfair?...452

II  THE DEFECTS OF CASH FINES...454

A. Overspill...455
B. Judicial and prosecutorial Nullification...456
C. The Wealth Boundary...457
D. Shareholder and Management Indifference...458

III  EQUITY FINES...460

A. Reduced Overspill...461
B. Reduced Nullification...461
C. The Claim that Equity Fines Pierce the Wealth Boundary...463
D. Reduced Shareholder and Management Indifference...465

1. Shareholder Indifference...465
2. Management Indifference...466

IV  PRO RATA SHAREHOLDER LIABILITY...468

A. Pass-Through Fines...468
B. Superadded Liability...472

V  THE PROBLEM OF PREFERRED SHARES AND NONSHAREHOLDER
    INTERESTS...478

VI  INTEGRATING CORPORATE FINING ALTERNATIVES...481

KENNEDY, Howard, "Corporate Killing", England: London, 2003?, 17 p.; available at  http://www.parkesandson.co.uk/images/h1531210.pdf(accessed on 1 July 2004);
 

KENNEDY, Shayne, Note, "Probation and Failure to Optimally Deter Corporate Misconduct", (1998) 71 Southern California Law Review 1075-1103; copy at Ottawa University, KFC 69 .S696  Location: FTX Periodicals;

[CONTENTS]

INTRODUCTION...1075

I. THE FEDERAL SENTENCING GUIDELINES FOR ORGANIZATIONS...1070

A. PRINCIPLES AND PURPOSES UNDERLYING THE ORGANIZATIONAL
     GUIDELINES...1078

B. THE BASIC LAYOUT OF THE GUIDELINES...1079

1. Restitution...1079
2. Fines...1080
3. Probation...1081

II. CORPORATE LIABILITY...1083

A. FOUNDATIONS OF CORPORATE LIABILITY...1083

B. CRIMINAL LIABILITY VERSUS CIVIL LIABILITY...1084

1. Optimal Penalty Theory...1085

a. Criminal liability is unnecessary when the government
    can impose monetary sanctions equal to the cost of the
    harm...1088
b. Criminal liability may be helfpful when the government
     cannot impose a monetary sanction because of a judgment-proof
     corporation...1091

2. Which Liability Regime Wins?...1094

III. THE USE OF PROBATION UNDER THE GUIDELINES...1095

A. PROBATION AND THE ABILITY TO PAY THE GUIDELINE
     FINE...1096

B. PROBATION AND RESTITUTION...1099

C. PROBATION AND A HISTORY OF MISCONDUCT...1101

CONCLUSION...1102

KENNY, Courtney Stanhope, Outlines of Criminal Law Based on Lectures Delivered in the University of Cambridge, new edition revised by G. Godfrey Phillips, 14th ed., Cambridge: Cambridge University Press, 1933, xxxviii, 552, xiv p., see "Corporations" at pp. 64-67;

"[p. 64] Corporations.

Corporations formerly lay quite outside the criminal law.  If a crime were committed by a corporation's orders, criminal proceedings, for having thus instigated the offence, could only be taken against the separate members, in their personal capacities, and not against the separate members, in their personal [p. 65] capacities, and not against the corporation as itself a guilty person¹.  This was a consequence of the technical rule that criminal courts expected prisoners to stand at their bar, and did not permit 'appearance by attorney².'   But it was further supported also by more scientific considerations, which the Roman law had anticipated and accepted³.  It was urged that a corporation, as it had no actual existence, could have no will; and therefore could have no guilty will⁴.  And it was further urged that, even if the legal fiction which gives to a corporation an imaginary existence may be stretched so far as to give it also an imaginary will, yet the only activities that could consistently be ascribed to the fictitious will thus created, must be such as are connected with the purposes which it was created to accomplish.  If so, it could not compass a crime; for any crime would be necessarily ultra vires.  Moreover a corporation is devoid not only of mind, but also of body; and therefore incapable of the usual criminal punishments.  'Can you hang its common seal?' asked an advocate in James II's days (8 St. Tr. 1138).

  But under the commercial development which the last two generations have witnessed, corporations have become so numerous that there would have grave public danger in continuing to permit them to enjoy this immunity.  The various theoretical difficulties have therefore been brushed aside; and it is now settled law that corporations may, in an appropriate court, be indicted by the corporate name, and
-------
¹ Cf. Pollock and Maitland, I. 473, 661.
^2. But the King's Bench allowed corporations indicted before itself to appear by attorney; hence they became able so to appear at Assizes (28 T.L.R. 197).  The Criminal Justice Act 1925, s. 33(3) will permit them so to appear even at Quarter Sessions.  By s. 49 of the Summary Jurisdiction Act, 1879, corporations may now appear by attorney at Petty Sessions.
³ Yet the theory of Germanic law inclined the other way; as our English institution of Frankpledge (Stubbs' Const. Hist. I 618) may serve to remind us.  Cf. Maitland's Political Theories, p. xxxix.
⁴ Hence, even in civil actions, doubts were long entertained as to the possibility of holding a corporation liable for those Torts in which 'express malice' is necessary.  Contrast Abrath v. N.E. Ry. Co. (11 A.C. 247) with Chuter v. Freeth (27 T.L.R. 467).
 

[p. 66] that fines may be consequently inflicted upon the corporate property. ...." (pp. 64-66)

KHANNA, V.S. (Vikramaditya Singh), "Corporate Crime Legislation: A Political Economy Analysis", University of Michigan, John M. Olin Center for Law & Economics, Paper # 03-012, 2003?, 49 p.; available at http://www.law.umich.edu/CentersAndPrograms/olin/abstracts/discussionpapers/2003/khanna%2003-12.pdf (accessed on 27 June 2004); published in (2004) 82(1) Washington University Law Quarterly 95-141, copy at the Library of the Supreme Court of Canada;
 

___________"Corporate Criminal Liability: What Purpose Does it Serve?", (1996) 109 Harvard Law Review 1477-1534; copy at Ottawa University, KFM 2469 .H457  Location: FTX Periodicals;

[Abstract]

"Although considerable debate surrounds society's increasing reliance on criminal liability to regulate corporate conduct, few have questioned in depth the fundamental basis for imposing criminal liability on corporations.  In this Article, Mr. Khanna explores the underlying rationale for corporate criminal liability and finds it problematic.  After summarizing the historical development of corporate criminal liability and surveying the current legal landscape, the Article explores the justifications for such liability.  Mr. Khanna argues that corporate civil liability can capture the desirable features of corporate criminal liability, especially criminal liabilitty's powerful enforcement and information-gathering dimensions.  Futhermore, he contends that corporate civil liability avoids the undesirable features of corporate criminal liability.  Such undesirable features include criminal procedural protections and criminal sanctions stigma effects.  Mr. Khanna concludes that a modified form of corporate civil liability could make corporate criminal liability obsolete by capturing the advantages of corporate criminal liability while avoiding or mitigating its disadvantages." (p. 1477)

___________"Corporate Liability Standards: When Should Corporations Be Held Criminally Liable?", (2000) 37 American Criminal Law Review 1239-1283; copy at Ottawa University, KF 9202 .A425  Location: FTX Periodicals;

[Contents]

I. INTRODUCTION...1239

II. CORPORATE CRIMINAL LIABILITY -- GENERAL CONSIDERATIONS...1242

A. Vicarious Liability...1242
B. Puposes of Vicarious Corporate Criminal Liability...1243
C. What Do Strict Liability, Negligence, and mens Rea Mean in the
    Corporate Context?...1246

III.  EFFECTS OF CORPORATE MENS REA COMPARED TO STRICT
LIABILITY AND NEGLIGENCE...1248

A. Single Actor Mens Rea Standard (SAMR)...1248

1. Incentive Effects of Alternative Liability Standards...1249
2. Proxy Advantages of the Single Actor Mens Rea Standard...1251

a.  Mens Rea as a Proxy for Factors Relevant to Sanctioning
    Individuals....1251
b.  Individual Mens Rea Requirements as proxies for Factors
    Relevant to Sanctioning the Corporation...1253

3. If We Inquire Into Acting Agent, When Should We Do It?...1256

B. The Collective Mens Rea Standard...1259

1. Possible Proxy Advantages of the Collective Mens Rea Standard...1259
2. Possible Disadvantages of the Collective Mens Rea Standard...1260

IV. COMPARING STRICT LIABILITY AGAINST NEGLIGENCE...1261

A. Effects on Corporate Sanctioning of its Agents...1262
B. Effects on Preventive Measures...1263
C. Effects on Policing Measures...1264
D. Effects on Credibility of Firm's Enforcement Measures...1265

V. COMPOSITE AND MIXED LIABILITY STANDARDS -- A SOLUTION?...1267

A. Strict Liability Plus a Privilege...1267
B. Composite Liability and the Organizational Sentencing Guidelines...1268

VI. CRITICISMS OF COMPOSITE REGIMES AND THE ORGANIZATIONAL
SENTENCING GUIDELINES...1269

A. Structure of the OSGs...1270
B. Factors Considered Under the OSGs...1270
C. Are Compliance Programs A Good Thing?...1271
D. Do the OSGs Increase Prosecutorial Discretion?...1273
E. Has There been A Shift Away From Corporate Liability to Individual
    Liability?...1274
F. Do the OSGs Result in Greater Reliance on Civil Rather Than Criminal
    Sanctions Against Corporations?...1275
G. Has The Line Between Sanctioning and Liability Been Blurred?...1276
H. Deontological Concerns With the OSGs...1277

__________ Corporate mens rea : a legal construct in search of a rationale, Cambridge, MA : Harvard Law School, [1996], 81 p. (series; Discussion paper, ISSN 1045-6333; no. 200); notes: "9/96"; other titles : Discussion paper (John M. Olin Center for Law, Economics, and Business; number 200); title noted in my research but thesis not consulted; no copy of this document in the Canadian libraries covered by Library and Archives Canada catalogue AMICUS (6 June 2004);
 

__________The corporate person in the criminal law, Thesis (S.J.D), Harvard Law School, 1997, 189 leaves; title noted in my research but thesis not consulted; no copy of this document in the Canadian libraries covered by tLibrary and Archives Canada catalogue AMICUS (6 June 2004);
 

___________“Is the Notion of Corporate Fault a Faulty Notion?:  The Case of Corporate Mens Rea” (1999) 79 Boston University Law Review 355-414;

"[Table of Contents]

INTRODUCTION...356

I. HISTORICAL DEVELOPMENT OF CORPORATE MENS REA...360

II. WHAT IS CORPORATE MENS REA TODAY?...366

A. The Variety of Corporate Mens Rea Requirements...366
B. How to Determine if a Corporation Possessed the Required
     Mens Rea...369

1. The Single Actor Mens Rea Standard...369
2. The Collective Mens Rea Standard...371
3. The Third Corporate Mens Rea Standard -- Liability for
     Negligent Procedures and Policies...375

III. THE SINGLE ACTOR MENS REA STANDARD...377

A. Incentive Effects of Alternative Liability Standards...377
B. Proxy Advantages of the Single Actor Mens Rea Standard ... 382

1. Mens Rea as a Proxy for Relevant Factors for Individuals...382
2. Mens Rea Requirements as Proxies for Relevant Factors Under
    the Single Actor Mens Rea Standard...388

C.  Mens Rea Requirements as Checks on Private Investment in
      Information for individuals...391
D. Administrative Costs...399
E. Should Inquiry into Agent Mens Rea Occur at the Liability or
     Sanctioning Stage?...400

IV. THE COLLECTIVE MENS REA STANDARD...407

A.  Possible Proxy Advantages of the Collective Mens Rea Standard...408
B.  Possible Disadvantages of the Collective Mens Rea Standard...409

CONCLUSION...412" (p. 355)

___________"A Political Theory of Corporate Crime Legislation", Columbia Law School The Center for Law and Economic Studies, New York, NY, Working Paper No. 220, April 2003; copy available at  http://www2.law.columbia.edu/law-economicstudies/papers/WP220.pdf (accessed on 28 December 2003);

"Abstract

    Corporate crime has once again become an important issue on the US legislative agenda. Following the recent economic downturn and the spectacular revelations of corporate wrongdoing, Congress and the various regulatory bodies have begun to tighten the law and enhance honesty and completeness in disclosure. The enactment of the Sarbanes-Oxley Act of 2002 is one example and adds to the already sprawling area of corporate criminal liability. However, the continued and rather explosive growth of corporate crime legislation leaves one with a rather strange puzzle: how can such a state of the world arise? After all, corporations and business interests are considered some of the most powerful and effective lobbyists, if not the most effective and powerful, in the country. Yet, we witness the continued expansion of legislation that criminalizes some of their behavior (one estimate suggests over 300,000 federal regulatory offenses that can be prosecuted criminally). How could this have happened given that business interests should be able to lobby to protect themselves? This paper sets out to answer this puzzle.

    An answer is important not only for purposes of understanding the political dynamics of current regulation, but also because it provides insights into the effectiveness of our current approach for regulating corporate wrongdoing. Overall, my analysis suggests that corporate criminal liability – the imposition of criminal sanctions on the corporate entity – serves little deterrent or expressive function above that offered by corporate civil liability. This suggests, on first glance, weak support for the growth of corporate criminal liability. However, this is only on first glance. Indeed, on closer inspection, it appears that corporate criminal liability imposes relatively low costs on corporate interests, may help to avoid legislative and judicial responses that are more harmful to their interests, and may at times help to deflect criminal liability away from managers and executives and on to corporations. These effects may often benefit corporate interests and weakens their opposition to corporate crime legislation. In light of this, the growth of corporate crime legislation becomes more understandable. This not only provides some explanations for the impressive growth of corporate criminal liability, but also leads to some interesting normative conclusions. In particular, it leads to the counter-intuitive result that if one starts with the view that there is under-deterrence of corporate wrongdoing then one would probably prefer to reduce corporate criminal
liability and focus more on corporate civil liability and managerial liability." (source:  http://www2.law.columbia.edu/law-economicstudies/papers/WP220.pdf, accessed on 28 December 2003)
 

[CONTENTS]

INTRODUCTION...30

TRADITIONAL ACCOUNTS...30

THE POLITICAL PUZZLE...31

DO CORPORATIONS PREFER CRIMINAL LIABILITY?...31

- SYMBOLIC MEASURES...31
- TARGETED ENFORCEMENT...32
- EXAMPLES...32

THE SUBSTITUTION THESIS...32

- DEFLECTION...33

OTHER PLAYERS...33

- THE PUBLIC AND VICTIMS...33
- CONGRESS...33
- PROSECUTORS...33
- JUDGES...34

NORMATIVE CONCERNS...34

CONCLUSION...35

READINGS...35

___________"Should the Behavior of Top Management Matter?", Columbia Law School, The Center for Law and Economic Studies, New York, NY, working Paper number 210, September 2003, available at  http://www2.law.columbia.edu/law-economicstudies/papers/WP210.pdf (accessed on 16 December 2003);  forthcoming in (2003) 91(6) Georgetown Law Journal 1215-1256; copy at Ottawa University, KF 292 .D4 G45  Location: FTX Periodicals;
 

KIM, Susanna M., "Characteristics of Soulless Persons: The Applicability of the Character Evidence Rule to Corporations", [2000] University of Illinois Law Review 763-811; copy at Ottawa University, KFI 1269 .U54  Location: FTX Periodicals;

"[Abstract]

    Under Federal Rule of Evidence 404, the character evidence rule, it is well established that evidence of character generally is not admissible to show that a person acted in conformity with that character on a particular occasion.  No consensus exists, however, as to whether the character evidence rule should also apply to corporations.

    In this article, Profesor Kim argues that the ban on character evidence should not be extended to corporations.  Professor Kim begins with a discussion of various rationales offered to support the character evidence rule, emphasizing Kantian conceptions of human autonomy.  She then examines varying definitions of 'character' and concludes that character may best be regarderd as a reflection of the internal operating system of the human organism.  Next, Professor Kim turns to an analysis of the pesonhood of corporations and determines that corporations are persons and moral actors with the capacity to possess character.  This corporate character is separate and apart from the character of the corporation's individual members and reflects the internal operating system of the corporate organization.

    Finally, Professor Kim suggests that the human autonomy rationale for the character evidence rule does not apply with equal force to corporations.  She then concludes with an examination of the practical implications of excluding corporations from the protections afforded individuals under Rule 404." (p. 763)

KIOTO, N., "Criminal Liability of Corporations -- Japan", 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. 275-288, 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;
 

KINLEY, David and Sarah Joseph, "Multinational corporations and human rights.  Questions about their relationship" (February 2002) 27(1) Alternative Law Journal 7-11; available at  http://www.law.monash.edu.au/castancentre/projects/arc_kinley.pdf (accessed on 11 July 2004);

"This article outlines the substance of a major three-year research project into the legal dimensions of the relationship, both present and future, between corporations and human rights beginning in January 2002. The project is being undertaken by the Castan Centre for Human Rights Law, Monash University, in conjunction with its Industry Partners, Reputation Qest and Premier Oil (UK), and is being run under the auspices of an Australian Research Council Linkage Grant. The project is international and domestic in focus. Part of the research will involve significant industry, NGO, government and community consultation and the project team would be happy to hear from organisations who might be interested in participating in or learning more about the project. Contact: <castan.centre@law. monash.edu.au>" (source: http://www.law.monash.edu.au/castancentre/projects/arc_kinley.pdf, p. 7);

KIRKPATRICK, W.W., "The Adequacy of Internal Corporate Controls", (1962) 343 Annals of the American Academy of Political and Social Science 75-83; copy at Ottawa University, H 1 .A55  Location: MRT Storage; copy at Carleton University, H1.A4  Location Floor 4 Serial;

"ABSTRACT: In order for a corporation's activities and conduct to be what its top management wants, there must be adequate internal corporate controls to assure that management's instructions are being carried out.  The antitrust electrical cases, the heavy losses suffered by General Dynamics through its Convair Division, and Chrysler's troubles over conflict of interests among its executives are illustrations which point out the failure of internal systems of control.  In each case, top management did not have the benefit of adequate internal controls so that it could prevent illegal or improper or unfortunate events from occurring, to the detriment of the corporation.  These instances suggest the timeliness of an inquiry into the adequacy of internal corporate controls in the large American corporations in order to ascertain what really is the 'the corporation' " (p. 75)

KLEIN, Michael P., David M. Zornow, co-chairmen, Practising Law Institute, How to handle internal investigations and establish compliance programs,  New York : Practising Law Institute, c1992, 320 p. (series; Corporate law and practice course handbook series; number 763); notes: "B4-6995"; "Prepared for distribution at program held January 7, 1992, New York City" (AMICUS catalogue).title noted in my research but document not consulted; no copy of this book in the Ottawa area librairies covered by the catalogue of Library and Archives Canada, AMICUS (verification of 15 June 2004);
 

KOCH, Alec, Note, "Internal Corporate Investigations: The Waiver of Attorney-Client Privilege and Work-Product Protection Through Voluntary Disclosures to the Government", (1996-97) 34 American Criminal Law Review 347-374; copy at the Library of the Supreme Court of Canada;

"[Contents]

I. INTRODUCTION...347

II. INTERNAL INVESTIGATIONS AND WAIVER ISSUES...348

III. MINORITY APPROACHES: 'SELECTIVE-WAIVER' AND
      'SELF-CRITICAL ANALYSIS'...355

A. Diversified Industries, Inc. v. Meredith and 'Limited Waiver'...356
B. 'Self-Critical' Privilege...356

IV. THE MAJORITY APPROACH: STRICT APPLICATION OF THE
      WAIVER DOCTRINE...358

A. The District of Columbia Circuit's Strict View of Waiver...359
B. Westinghouse Corp. v. Republic of the Philippines...361
C. In re Steinhardt Partners, L.P....363
D. In re Martin Marietta Corporation...364

V. THE SUPREME COURTS LIKELY TREATMENT...365

VI. CLARIFICATION OF INSTANCES AND SCOPE OF WAIVER...371

VII. CONCLUSION...374"  (p. 347)
 

KOLZ, Harald, "Forms of Criminal Responsibility of Organisations: Aspects 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. 67-70 (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);
 

KOPROWICZ,  Kenneth M., "Corporate criminal liability for workplace hazards: a viable option for enforcing workplace safety?", (1986-87) 52 Brooklyn Law Review 183-227; copy at Ottawa University, KFN 5069 .B744  Location: FTX Periodicals;

[CONTENTS]

[INTRODUCTION]...183

I.  WORK RELATED INJURY COMPENSATION...189

A. Before Worker's Compensation...189
B. Passage of Worker's Compensation Statutes...190
C. Worker's Compensation Statutes...190
D. Ineffectiveness of Injury Compensation in Providing a
    Safer Work Environment...193

II.  FEDERAL WORKPLACE STATUTES AND CRIMINAL SANCTIONS...195

A. The OSHA Act...195
B. MSHA...199

III. THE OF STATE HOMICIDE LAW AGAINST CORPORATE EMPLOYERS
      AND THEIR AGENTS...205

A. Liability of the Corporation: The Breakdown of the
     Theoretical Barriers...205
B. Theory of personal Liability of Corporate Agents...208
C. Applications of Personal Liability in the Employer-Employee
     Context...209
D. Effectiveness of Criminal Prosecutions in Ensuring Workplace
    Safety...220

1. Deterring the Corporation...221
2. Deterring Individual Actors...223

CONCLUSION...226

KOUTSOMALLIS, Vivianne, Vgnenopoulos & Partners, "Background Information on National Legal Systems: Greece", in HUGLO LEPAGE, Associés conseils, ed., Criminal Penalties in EU Member States’ environmental law, Final Report, 15 September 2003, 988 p., at pp. 67-70, 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);

[Grèce]
Le Code Pénal Hellénique, en vigueur depuis le 1er janvier 1951, est issu de la loi codifiée n.1492/1950, applicable aujourd’hui dans sa version traduite dans la langue courante, la "dimotike" (décret présidentiel n. 283/1985 FEK A/106).

Conformément au Code Pénal Hellénique, seules les personnes physiques peuvent être déclarées pénalement responsables pour avoir commis l’une des trois infractions prévues à l’article 18 de celui-ci, à savoir : une contravention, un délit ou un crime.

[...]

Le droit de l’environnement grec trouve sa source dans l’article 24 de la Constitution Hellénique qui dispose, dans son paragraphe 1, que “la protection de l’environnement naturel et culturel constitue un devoir pour l’Etat”. Cette même disposition précise que, pour garantir la protection en question, “L’Etat a l’obligation d’adopter des mesures préventives et répressives particulières”.

A cette fin, a été votée, les 15 et 16 octobre 1986, la Loi cadre numéro 1650 (FEK A/160) sur la protection de l’environnement ayant pour objectif de fixer des principes fondamentaux, de consacrer des critères et d’instaurer des mécanismes, en vue de sauvegarder l’environnement naturel.

[...]

A cela, s’ajoute le fait que contrairement au procès pénal qui ne peut être dirigé que contre des personnes physiques, l’article 30 de la Loi Cadre 1650/1986, concernant les sanctions administratives, dispose que ces dernières peuvent être infligées également à des personnes morales, généralement plus solvables que les personnes physiques." (pp. 67-68)

KOWAL, Steven M., "Corporate Compliance Programs: A Shield against Criminal Liability", (1998) 53 Food and Drug Law Journal 517-525;

[CONTENTS]

I. INTRODUCTION...517

II. A COMPLIANCE PROGRAM CAN CONFER SUBSTANTIAL BENEFITS...518

A. The Effect of a Compliance Program on a Criminal Proceeding...519
B. Benefits Can Be Realized in Civil Proceedings...521

III. DEVELOPMENT AND OPERATION OF AN EFFECTIVE COMPLIANCE PROGRAM...523

IV. CONCLUSION...525

KRAAKMAN, Reiner H., et al., "Corporate Liability Strategies and the Costs of Legal Controls", (1983-84) 93 Yale Law Journal 857-898;
 

___________"The Economic Functions of Corporate Liability",  in Klaus J. Hopt, 1940-,  and Gunther Teubner, eds., Corporate Governance and Director's Liabilities: Legal,Economic and Sociological Analyses on Corporate Social Responsiblity , Berlin: W. de Gruyter, 1985, c1984, xii, 462 p. (series; Series A--Law = Droit; 1), ISBN: 3110100274; title noted in my research but article not consulted; no copy of this book in the Ottawa area libraries according to my verification of the AMICUS catalogue (15 May 2004);
 

KRACHT, Robert  L., Note, "A critical analysis of the proposed Sentencing Guidelines for organizations convicted of environmental crimes", (1995) 40 Villanova Law Review 513-543;

[Contents]

I. INTRODUCTION...513

II. BACKGROUND...515

A. A Brief History of the Sentencing Guidelines...515
B. Increased Environmental Enforcement...518
C. Underlying Organizational Liability Issues...519

III. HOW THE PROPOSED GUIDELINES WILL WORK...521

A. Fines...522

1. "Criminal Purpose Organizations"...522
2. All Other Organizations...522

a. Primary Offence Level...523
b. Aggravating Factors...523
c. Mitigating Factors...524
d. Fine Calculation...526

i. General Calculations and Limitations...526
ii. Multiple Count Convictions...527

B. Probation...529

1. When Probation is Imposed...529
2. Probation Conditions...529

IV. CRITICAL ANALYSIS...530

A. Comparison to the First Draft...530
B. Comparison to the Organizational Guidelines...533
C. Extent to Which the Proposed Guidelines Fulfill the Statutory Goals of the
     Sentencing Guidelines...536

1. Sentence Reflects Seriousness of Offense, Promotes Respect for
    the Law and Provides Just Punishment...537
2. Sentence Adequately Deters Criminal Conduct and Protects the
    Public from Further Crimes...538
3. Sentence Adequately Rehabilitates Defendant...539
4. Sentences Are Certain and Fair...539
5. Avoid Sentencing Disparities Among Similarly Situated Defendants
    While Allowing Individualized Sentences...541

V. CONCLUSION...542

KRAMER, Evan N., "This 'Old Corporation Dog' Can Hunt: The Realized Doctrine of Corporate and Association Criminal Liability in Texas", (1989) 20 Texas Tech Law Review 179-202; copy at Ottawa University, KFT 1269 .T484  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada;

[Contents]

[INTRODUCTION]...179

I.  THE EVOLUTION OF CORPORATE CRIMINAL LIABILITY...180

A. Development of the Common Law...180
B. Statutory Formulations...184

II. CORPORATE CRIMINAL LIABILITY IN TEXAS...186

A. Pre-code Cases...187
B. Texas Corporate Criminal Liabiliuty Statutes...190
C. Vaughan & Sons, Inc. v. State...195

III. POLICY CONSIDERATIONS ASSOCIATED WITH CRIMINAL CORPORATE LIABILITY...197

A. Deterrence...197
B. The Potential for Exapansion...200

IV. CONCLUSION...202

KRAMER, Ronald C., "Corporate Crime:  An Organizational Perspective", in Peter W. Wickman and Timothy B. Daily, eds., White Collar and Economic Crime: multidisciplinary and cross-national perspectives, Lexington, MA:  Lexington Books, 1982, xviii, 285 p., at pp. 75-94, ISBN: 0669046655; note: "Papers presented at a symposium held Feb. 7-9, 1980 at the State University of New York College at Potsdam and sponsored by the Research Committee on Deviance and Social Control of the International Sociological Association"; copy at Ottawa University, MRT General, HV 6635 .W44 1982;

[Contents]

[Introduction]...75

Previous Theory and Research on Corporate Crime...78

Organizational Factors Related to Corporate Crime...80

- Organizational Goals...81
- Organizational Structure...84
- Organizational Environment...87

Summary and Conclusion...90

Notes...91
References...91

___________"Corporate Criminality: The Development of an Idea",  in Ellen Hochstedler, ed., in cooperation with the Academy of Criminal Justice Sciences, Corporations as criminals, Beverly Hills : Sage Publications, c1984, 168 p., at pp. 13-37 (series; perspectives in criminal justice; volume 6), ISBN: 0803921586 and 0803921594 (pbk.);

[CONTENTS]

[INTRODUCTION]...13

WHAT IS CORPORATE CRIME?...15

IS CORPORATE CRIME SERIOUS CRIME?...18

Economic Costs...18
Physical Costs...19
Social and Moral Costs...21

IS CORPORATE CRIME REALLY CRIME?...21

PUBLIC CONCERN WITH CORPORATE CRIME...27

SUMMARY AND CONCLUSION...30

NOTES...32

REFERENCES...33
 

"Criminal law should have an important but somewhat limited role to play in regulating corporate compliance with governmental regulations.  Given the other remedial and punitive weapons available to the government, overuse of criminal sanctions, or even their threatened use, can have grievous consequences." (p. 29)

KRULOWSKI, Adam, et Andrzej Zoll, "Pologne: Rapport national", (1983) 54(1-2) Revue internationale de droit pénal / International Review of Penal Law 493-510, voir à la p. 506 (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;
 

KUNICKA-MICHALSKA, Barbara, "Pologne/Poland", (2003) 74(1-2) Revue internationale de droit pénal 351-382; notes: article en français; rapport national; 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);

"Ni l'Etat ni les personnes morales d'Etat (ni les autres personnes morales) ne sont responsables pénalement.  On va parler plus loin du projet de la responsabilité des sujets collectifs, accepté par la Diète (portant il ne concerne pas l'Etat). On a exclu de l'étendue de la loi projetée le Trésor de l'Etat, les unités de l'autonomie territoriale et les organes d'Etat et de l'autonomie teritoriale." (p. 369)

"La Diète a voté déjà un projet gouvernemental de la loi relative à la responsabilité des sujets collectifs pour les actes défendus sous la menace de la peine.  Cette loi (n'est pas en vigueur encore) définit les principes de la responsabilité des sujets collectifs  pour les actes défendus sous la menace de la peine, tels que délits, délits fiscaux, contraventions, contraventions fiscales et les principes de la procédure dans l'objet d'une telle responsabilité.  Dans la définition du sujet collectif en sens dudit projet, on a pris en considération 'les sujets étrangers, si cela résulte des accords internationaux dont la Pologne est une partie'.  Dans ce projet, on a mentionné les types des délits pour lesquels le sujet collectif peut être responsable.  Dans ce catalogue, il e a entre-autre délits contre les échanges économiques, délits fiscaux et parmi eux ceux contre les obligations douanières et contre les principes des échanges des marchandises et services avec l'étranger et aussi délits contre l'activité des institutions d'Etat et de l'autonomie territoriale et parmi eux corruption active et passive, protection payante et abus de compétences par le fonctionnaire publique¹⁹. [...]
------
19.  A part ce projet, il existe aussi un projet d'auteur 'de la loi relative à  la responsabilité pénale des entrepreneurs', élaboré par B. Namyslowska-Gabrysiak et compris dans la thèse de doctorat intitulé 'Responsabilité pénale des personnes morales.'" (p. 381)

KUNICKA-MICHALSKA, Barbara, and Wojeiech Radecki, "Pologne [Poland].  Protection of the Environment Through the Polish Penal Law", (1994) 65 Revue internationale de droit pénal / International Review of Penal Law1105-1123, voir "À qui la responsabilité criminelle est-elle imputable?", à la p.1110; article in English and French / article en anglais et français; part of the Preparatory Colloquium, Section 1, Crimes against the Environment -- General Part, Ottawa (Canada), November 2-6, 1992;

"À qui la responsabilité criminelle est-elle imputable?

    En vertu du droit polonais, la responsabilité criminelle peut être imputée seulement à des personnes physiques.  Il en est de même en ce qui concerne les contraventions.   Les personnes morales, les organismes publics, l'administration peuvent encourir seulement la responsabilité administrative.  La responsabilité criminelle ne peut être objectivement imputée à l'employeur de l'auteur véritable de l'infraction.  Car la règle est que l'on ne peut être criminellement responsable que de son propre acte (et non celui d'autrui) et seulement lorsque est établie la faute personnelle.

    Ces règles sont applicables également aux infractions criminelles contre l'environnement.  Il n'y a pas de règles différentes en cette natière." (p. 1110).

KUNZ, Karl-Ludwig, "Suisse [Switzerland]: Crimes against the environment.  The application of the General Part", (1994) 65 Revue internationale de droit pénal / International Review of Penal Law 1187-1195, see "To whom is criminal liability imputable your law?", at pp. 1191-1192; article in English; part of the Preparatory Colloquium, Section 1, Crimes against the Environment -- General Part, Ottawa (Canada), November 2-6, 1992;
 

KYOTO, N., voir/see supra, KIOTO, N.;

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