updated and corrections / mise à jour et corrections: 11 October 2008
 

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

by/par ©François Lareau, 2004, Ottawa, Canada
First posted on the Internet on 3 December 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

L-Q
-----------------------------
see also:

Part II -- Comparative Law/Droit comparé
• A-E
• F-K
• R-Z

Part I:  Canadian law / Droit canadien

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

LACEY, Nicola, "Catching the conscience of the king: corporate players on the international stage",  in Phlip Alston ed.,  Non State Actors in International law, (series; Collected Courses of the Academy of European Law; vol. 13(2)); forthcoming (March 2005);
 

___________" 'Philosophical Foundations of the Common Law' : Social not Metaphysical",  in Jeremy Horder, ed., Oxford Essays in Jurisprudence, Fourth Series, Oxford: Oxford University Press, 2000, [ix], 270 p., Essay 2 at pp. 19-39, ISBN: 0198268580; copy at the Library of the Supreme Court of Canada, K235 093 2000;
 

LACOVANA, Philip, Comment, "The Foreign Corrupt Practices Act and Other Arguments Against a Due Diligence Defense to Corporate Criminal Liability", (1981-82) 29 University of California at Los Angeles [UCLA] Law Review 447-503;
 

LAGASSE, François, Avocat associé “De Wolf & Partners”,  Bruxelles, La responsabilité pénale et la responsabilité civile dans l'entreprise en cas d'infraction à la législation du travail et notamment en cas d'accident du travail (employeur, travailleur, conseiller en prévention, coordinateur de sécurité …), disponible à  http://www.p-i.be/piw/piw01.nsf/52b2da8b666e069080256aaa002ab228/da345d261ab8c93ac1256db4003726f4/$FILE/texte.22.08.2003.pdf (visionné le 26 décembre 2003); 82 p.; droit belge;
 

LAHTI, Raimo, "Finland: National Report", (1983) 54(1-2) Revue internationale de droit pénal / International Review of Penal Law 249-262, see pp. 261-262 (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 Crairo, 1984);
 

LAHTI, Raimo and P. Pölönen, "The implementation of the Corpus Juris 1997 in the Member States: National Report -- Finland /  La mise en oeuvre du Corpus Juris 1997 dans les États Membres: Rapport national -- Finlande",  in Mireille Delmas-Marty & J. A. E. Vervaele, eds., La mise en oeuvre du corpus juris dans les États  membres : dispositions pénales pour la protection des finances de l'Europe / Implementation of the corpus juris in the Member States: Penal provisions for the Protection of European Finances  Antwerpen : Intersentia, c2000, 4 volumes, at vol. 2 at pp. 251-286, 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;
 

LAINGUI, André, Histoire du droit pénal, 2e édtion mise à jour, Paris: Presses universitaires de France, 1993, 127 p., voir "Les personne morales", aux pp. 96-97 (Collection; Que sais-je?; numéro 690), ISBN: 2130450091;

"Les personnes morales [...] l'Ancien droit criminel a toujours admis que l'on pouvait intenter des procès criminels et infliger des peines 'aux Communautés des Villes, Bourgs et Villages, Corps et Compagnies'.  Ce sont là les termes utilisés par le titre XXI de l'Ordonnance criminelle de 1670. [...]"

LALLI, Hervé, Le régime de la responsabilité pénale des personnes morales, Mém. DEA : Droit privé : Aix-Marseille 3: 1994, 87 feuilles plus les annexes; pas de résumé au catalogue Abes; titre noté dans mes recherches mais mémoire non consulté; aucune copie au Canada selon ma vérification du catalogue AMICUS (le 8 mars 2004);
 

LANE, Robert E., "Why Businessmen Violate the Law", (1953-54) 44 Journal of Criminal Law, Criminology and Police Science 151-165; copy at the Library of the Supreme Court of Canada;

[CONTENTS]

[INTRODUCTION]...151

THE ECONOMICS OF VIOLATION...151

AMBIGUITY, IGNORANCE, AND DIFFICULTY OF COMPLIANCE...155

VIOLATORS AND THEIR ASSOCIATES...158

THE PERSONAL EXPERIENCES AND PERSONALITY OF VIOLATORS...161

REDUCING THE RATE OF VIOLATION...163

LANGSTED, Lars Bo, Peter Garde and Vagn Greve, "National Monographs: Denmark" in Lieven Dupont, 1945-, and Cyrille Fijnault, 1946-, eds. International Encyclopaedia of Laws, Criminal Law, vol. 2, The Hague, London, Boston: Kluwer Law International, 1993-, 238 p., see "Personality", at pp. 47-49, Supplement 23 (November 2003), ISBN: 9065449374; copy at Ottawa University, FTX Reference, K 5000 .I58;
 

LANHAM, D., "Criminal Liability of Corporations", (1999) 5 Global Journal of Crime and Criminal Law 19-46; copy at Public Safety and Emergency Preparedness Canada, Library and Information Centre/Sécurité publique et Protection civile Canada, Bibliothèque et Centre d'information; title noted in my research but article not consulted yet;
 

LASKI, Harold J., "The Basis of Vicarious Liability", (1916) 26 Yale Law Journal 105-135; reprint in H.J. Laski, The Foundations of Sovereignty and Other Essays, New York: Harcourt, Brace and Company, 1921, xiv, 317 p., at pp. 250-291; copy of the book at the Library of the Supreme Court of Canada, JA 38 L37;
 

___________"The Early History of the Corporation in England", (1916-17) 30 Harvard Law Review 561-588; reprint in H.J. Laski, The Foundations of Sovereignty and Other Essays, New York: Harcourt, Brace and Company, 1921, xiv, 317 p., at pp. 171-208; copy of the book at the Library of the Supreme Court of Canada, JA 38 L37;
 

___________"The Personality of Associations", (1915-16) 29 Harvard Law Review 404-426; reprint in H.J. Laski, The Foundations of Sovereignty and Other Essays, New York: Harcourt, Brace and Company, 1921, xiv, 317 p., at pp. 139-170; copy of the book at the Library of the Supreme Court of Canada, JA 38 L37;
 

LAUFER, William S., "Corporate Bodies and Guilty Minds", (1994) 43 Emory Law Journal 647-730; copy at Ottawa University, KF 450 .P8 J68  Location: FTX Periodicals; not at the Supreme Court of Canada Library;

"TABLE OF CONTENTS

INTRODUCTION...648

I.  CORPORATIONS AND THE CRIMINAL LAW...651

A. Vicarious Liability and the Imputation of Culpability...653
B. Limitations...659

II. GENUINE CORPORATE CULPABILITY...664

A. Models...665

1. Proactive Fault...665
2. Reactive Fault...666
3. Corporate Ethos...666
4. Corporate Policy...668

B. Limitations...668

1. Implementation...669
2. Pre-Versus Post-Trial Culpability...670
3. Temporal Fallacy...672
4. Culpability, Liability, and Blameworthiness...673

III. REVISITING CORPORATE LIABILITY...674

A. Proposals for Reform...678
B. Constructive Corporate Action...683
C. Corporate Mental States...689

1. Subjective and Objective Fault...691
2. Hybrid Fault...699

a. Relevance of Standards...706
b. Coherence with Reality of Corporate Existence...708
c. Allowance for Reasonable Discovery of Evidence...709
d. Maintenance of Moral Stature of Criminal Law...712

D. Constructive Corporate Culpability...715

1. Purposeful Corporate Acts...716
2. Knowing Corporate Acts...719
3. Reckless Corporate Acts...721
4. Negligent Corporate Acts...722

IV. CONSTRUCTIVE CORPORATE CULPABILITY AND FEDERAL
       SENTENCING GUIDELINES...726

CONCLUSIONS...730" (pp. 647-648)

___________"Corporate Liability, Risk Shifting, and the Paradox of Compliance", (1999) 52 Vanderbilt Law Review 1343-1420; copy at Ottawa University, KFT 69 .V35  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada, Ottawa;

[Contents]

"I.  INTRODUCTION...1344

II.  VICARIOUS FAULT AND CORPORATE STRATEGY...1350

    A. Strategic Posturing...1353
B. Strategic Phases...1356
C. The Idea of Liability Risk Sharing...1359
D. The Emergence of Corporate Risk Shifting...1368

1. Due Diligence and Good faith...1368
2. High Managerial Agents...1373

E. The Contemporaneous Rise of Intracorporate Liability and Loss Shifting...1375

1. Director and Other Losses...1376
2. Employee Losses...1378
3. Loss Shifting and the New Gospel...1380

III.  THE GOOD CITIZEN CORPORATION AND CORPORATE COMPLIANCE...1382

A. Risk Shifting and the Emergence of the Good Citizen Corporation...1382

1. A New Phase of Corporate Law Enforcement...1383
2. Corporate and Prosecutorial Behavior Under the Guidelines...1386
3. Prosecutorial Strategy...1392

B. The Meaning of Compliance...1393
C. Compliance as Integrity...1395
D. Compliance as Risk Management...1397
E. Compliance as Insurance and Self-Insurance...1402

IV.  MORAL HAZARD AND THE FUTURE OF COMPLIANCE...1405

A. Cosmetic Compliance and Institutional Inertia...1407
B. Corporate Deviance and the 'Winking' of Top Management...1410
C.  The Paradox of Compliance and Its Resolution...1415

1. Change in Discretionary Policies...1417
2. Moving Beyond the Rhetoric of 'Effective' Compliance...1419

V. CONCLUSION...1420"   (pp. 1343-1344)

___________"Corporate Prosecution, Cooperation, and the Trading of Favors", (2001-02) 87 Iowa Law Review 643-667; copy at Ottawa University, KFI 4269 .I572  Location: FTX Periodicals;

[Contents]

[Introduction]...643
I. The Dark Side of Guideline Incentives...650
II. Scapegoating, and the Limits of Post-Offense Behavior...657
III. Cooperation and the Search for Culprits...663

___________"Culpability and the Sentencing of Corporations", (1992) 71 Nebraska Law Review 1049-1094; copy at Ottawa University, KFN 69 .N42  Location: FTX Periodicals;

"TABLE OF CONTENTS

I. Introduction...1049

II.  Corporate Criminal Liability...1053

A. Federal Corporate Criminal Liability...1053
B. State Corporate Criminal Liability...1057

III.  Pre-conviction Culpability...1059

A. Culpability under State Law...1060
B. Culpabiluity under Federal Law...1063

1. Wilfulness...1066
2. Inadequate Statutory Law...1073

IV.  Post-conviction Culpability...1077

V. Guidelines and Culpability...1078

A. Proposed Guidelines...1078
B. Final proposals...1078
C. Guidelines and Federal Statutory Law...1084

VI. Genuine Corporate Culpability...1085

VII. Conclusion...1090

VIII.  Appendix...1092" (p. 1049)
 

___________"Corporate Criminal Law, Cooperative Regulation and the Parting of Paths", (2001) Cahiers de défense sociale [Cahiers de la Société internationale de défense sociale pour une politique criminelle humaniste] 103-112, available at  http://www.defensesociale.org/01/2001_11.pdf (accessed on 18 December 2003);
 

LAUFER, William S., and Alan Strudler, "Corporate Intentionality, Desert, and Variants of Vicarious Liability", (2000) 37 American Criminal Law Review 1285-1312; copy at Ottawa University, KF 9202 .A425  Location: FTX Periodicals;

[Contents]

I. INTRODUCTION...1285

II DESERT FOR CORPORATE CRIMINALS...1289

III CORPORATE CRIMINAL LIABILITY...1295

A. Purposes and Limits of Vicarious Liability...1295
B. Risk Shifting to Avoid Vicarious Liability...1298

1. Judicial and Legislative Risk Shifting...1299
2. Prosecutorial Risk Shifting...1302
3. Sentencing Guidelines and Risk Shifting...1305

IV  CULPABILITY STANDARDS...1307

A. Genuine Corporate Fault...1307
B. The Ingredients of Constructive Corporate Fault...1308
C. Constructive Fault and Desert...1310

V. CONCLUSION...1311

LAUNAIS, Henry et Louis Accarias, Droit pénal spécial des sociétés par actions et à responsabilité limitée, par Henry Launais [et] Louis Accarias. Préf. de Roger Houin, [2^e éd.], Paris, Dalloz, 1964, x, 452 p.; notes: First ed., by H. Launais, Y. de La Villeguérin and L. Accarias published in 1947 under the title: Droit pénal financier; titre noté dans mes recherches mais livre non consulté; aucune copie de ce livre dans les bibliothèques de la région d'Ottawa selon ma vérification du catalogue AMICUS de Bibliothèque et Archives Canada (31 mars 2004);
 

LAVAUD, Bénédicte, La responsabilité pénale des personnes morales : rapport entre la faute de la personne morale et celle de la personne physique, Mémoire D.E.A. : droit pénal et sciences criminelles : Bordeaux 4 : 1998, 68 feuilles; titre noté dans mes recherches mais mémoire non consulté; aucune copie au Canada, selon ma vérification du catalogue AMICUS de Bibliothèque et Archives Canada (le 8 mars 2004);
 

LAVENUE, Lionel M., "The Corporation as a Criminal Defendant and Restitution as a Criminal Remedy: Application of the Victim and Witness Protection Act by the Federal Sentencing Guidelines for Organizations", (1993) 18(3) The Journal of Corporation Law 441-521; copy at Ottawa University, KF 1397 .J693  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada, Ottawa;
 

LAWSON, John Davison, 1852-1921, Defences to crime microform : the adjudged cases in the American and English reports wherein the different defences to crimes are contained : with notes, 5 volumes, see v. 3, Disabilities of parties, agency, duress, accident, ignorance and mistake, consent, omissions and attempts, San Francisco:  S. Whitney, 1885-1886, and more partcularly, Chapter 1, "Corporations" at pp. 1-19 (of vol. 3); reprint in 19th-century legal treatises ; no. 45567-45625; copy at the Library of the Supreme Court of Canada; note Lawson wrote vol. 2-5 and vol. 1 is by L.B. Horrigan and Seymour D. Thompson;
 

LAZRAK, Rachid, Le nouveau droit pénal des sociétés au Maroc, Rabat : Editions La Porte, 1997, 216 p., ISBN: 9981889202; titre noté dans mes recherches mais livre non consulté; aucune copie de cette publication dans les bibliothèques du catalogue AMICUS de Bibliothèque et Archives Canada (vérification du 29 septembre 2004);

LECKIE, David and Aisha Anwar, "Corporate Killing -- As the draft Corporate Manslaughter Bill for England and Wales is published after years of discussion, DAVID LECKIE and AISHA ANWAR ask whether legislation on either side of the borders will serve any real purpose -- Bad Company", (May 2005) 50(5) The Journal of the Law Society of Scotland 18-19;
 

LEDERMAN, Eliezer, "Criminal Law, Perpetrator and Corporation: Rethinking a Complex Triangle", (1985) 76 Journal of Criminal Law and Criminology 285-340; copy at Ottawa University, HV 6001 .J633  Location: MRT Periodicals;

"TABLE OF CONTENTS

I.  Introduction...286

II. The Anglo-American Approach...288

III. Deficiencies of Imposing Criminal Liability on Corporate Bodies...293

A. Defining the Problem...293
B. Doctrinal-Conceptual Difficulties...294

1.  Prescription and Human Consciousness...294
2.  The Perpetrator-Corporation Relationship...296

a.  Defining the Problem...296
b.  The Conspiratorial Relationship...298
c.  The Complicity Relationship...302

3. Over-Personification...305
4. The Defenses...308

C. Practical Weaknesses--Sanctioning Corporations...309

1.  Non-Economic Sanctions...309
2. Economic Sanctions...310

a. Pragmatic and Inherent Limitations...310
b. Effectiveness of the Punishment...314

i. retribution...314
ii. deterrence...315

c. Fairness of the Punishment...319
d. Necessity of the Punishment...322

IV.  Towards Personal Liability...324

A.  Imposing Personal Liability...324

1.  The Suggested Approach...324
2.  Perpetration on Behalf of the Corporation...325
3.  Offenses Attributed Solely to the Corporation...326
4.  Manegerial and Supervisory Responsibility...327

a.  Knowledge of Subordinate's Intent...327
b.  Recklessness or negligence...329

B. Supplementary and Preventive Measures...330

1.  Measures Against Directors, Managers and Supervisors...331

a. Disqualification...331

2. Measures Against the Corporation...332

a. Forfeiture...332
b. Dissolution...334
c. Restriction of Activity...335

V. The Exceptional Category--Strict Liability...336

VI.  Conclusion...338" (pp. 285-286)

___________"Models for for Imposing Corporate Criminal Liability: From Adaptation and Imitation Toward Aggregation and the Search for Self-Identity", (2000) 4(1) Buffalo Criminal Law Review 641-708; available at http://wings.buffalo.edu/law/bclc/bclrarticles/4(1)/ledermanpdf.pdf, accessed on 25 October 2003; copy at the Library of the Supreme Court of Canada, Ottawa;
 

LEE, Frederic P., "Corporate criminal liability", (1928) 28 Columbia Law Review 1-28; copy at Ottawa University, KFN 5069 .C657  Location: FTX Periodicals;
 

LEGEAIS, Raymond, Les grands systèmes de droit contemporain: une approche comparative, Paris : Litec : Éd. Juris Classeur, 2004, xiii, 457 p., et voir "La responsabilité des personnes morales: émergence et dynamisme", aux pp. 343-352, SBN:  2711004368; copie à l'Université d'Ottawa, FTX General, K559 .L43 2004;

___________ "Les réponses du droit anglais et du droit allemand aux problèmes de la responsabilité pénale des personnes morales", (1993) Revue des sociétés 371-379; 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;
 

LEGROS, Robert, "Imputabilité pénale et entreprise économique", (1968-69) 49 Revue de droit pénal et de criminologie 365-386, voir "Infractions commises par les personnes morales", aux pp. 380-382; copie à l'Université d'Ottawa, K 21 .D725  Location: FTX Periodicals;
 

___________"Observations sur le rapport de juin 1978 de la commission pour la revision du Code pénal", (12 janvier 1980), 95 Journal des tribunaux 17-25; numéro 5109;  voir "Sixième orientation: responsabilité pénale des personnes morales" aux pp. 23-25; copie à la Cour suprême du Canada;

    "L'idée d'une responsabilité pénale des personnes morales me paraît aller directement à l'encontre des fondements de notre droit pénal, dont la fonction est d'infliger une peine ou de faire subir une mesure à un être concient de sa responsabilité et ce, dans un but précis, qui ne pourra être réalisé qu'en faisant appel et confiance à ce sentiment de responsabilité.  Relisons à cet égard les principes énoncés par la commission elle-même aux pages 3 et 26 de son rapport notamment.  La terminologie employée est concluante: personnalisation, prévention générale et spéciale, le délinquant et sa famille, réprobation, dissuasion...toutes considérations qui perdent leur sens s'il s'agit d'une société ou d'une association, singulièrement lorsque les personnes physiques, auteurs de l'état infractionnel, en ont été exclues par ou à la suite de leur condamnation, voire à la suite de leurs agissements.

   Rappelons que notre droit pénal n'ignore pas, à proprement parler, la responsabilité pénale des personnes morales, ni même celles des groupements ou associatons de fait.

    Ce qu'il ignore, c'est leur punissabilité, la peine à leur égard, celle-ci étant prononcée contre les personnes physiques qui, dans la réalité des choses, ont commis l'infraction et assument la responsabilité de la société ou de l'association." (p. 24, première colonne)

___________"RAPPORT sur La responsabilité pénale des administrateurs des sociétés et le droit pénal général en droit belge", 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. 160-181 et voir en particulier "La responsabilité pénale des personnes morales" aux pp. 164-168 (Collection; Travaux de l'Association Henri Capitant; t. 15); copie à l'Université d'Ottawa, FTX General: K 110 .A825 A327 V.15 1967;
 

___________"La responsailité pénale des dirigeants des sociétés et le droit pénal général", (1963-64) 44 Revue de droit pénal et de criminologie 3-28; copie à l'Université d'Ottawa, K 21 .D725  Location: FTX Periodicals;
 

LEIGH, L.H., (Leonard Herschel), "By Whom Does a Company Permit?", (1966) 29 Modern Law Review 568-570; copy at Ottawa University, KD 322 .M62  Location: FTX Periodicals;
 

__________"The Criminal Liability of Corporations and Other Groups: A Corporative View", (1982) 80 Michigan Law Review 1508-1528; copy at Ottawa University, KFM 4269 .M52  Location: FTX Periodicals;
 

___________The Criminal Liability of Corporations in English Law, London : Weidenfeld & Nicolson, 1969, vii, 221 p. (series; London School of Economics and Political Science research monographs; volume 2), ISBN:  0297178180; copy at the Library of the Supreme Court of Canada, KF 1386 C7 L44;

"Contents

Preface

1  Introduction...1

2  Early bars to the development of corporate criminal liability...3

3  The development of corporate criminal liability...15

4 The attainment of corporate criminal liability...29

5  Corporate criminal liability: a general view...43

6  The relationship between vicarious liability and corporate criminal liability...74

7  The doctrine of identification and corporate representation...91

8  The bases upon which corporate criminal liability is imposed...113

9  The social policy of corporate criminal liability ...131

10  Future developments in the law...170

I  Appendix: model penal code, tentative draft no 4 Section 2.07...191

II Appendix: Combines Investigation Act R.S.C. c. 314.  Section 41...193

Table of cases...195

Table od Statutes...213

[Index ...219]" (p. v)

___________"Politique et mesures pénales relatives aux infractions économiques: Aspects criminologiques de la délinquance d'affaires", dans Conseil de l'Europe, Comité européen pour les problèmes criminels, Conférence de directeurs d'instituts de recherches criminologiques, 12e, Strasbourg, 1976, Aspects criminologiques de la délinquance d'affaires, Strasbourg : Le Conseil, 1977, 188 p. (Collection; Conseil de l'Europe; Études relatives à la recherche criminologique; volume 15); note: aussi publié en anglais dans / also published in English: "Policy and Punitive Measures in Respect of Economic Crime", in Conference of Directors of Criminological Research Institutes (12th : 1976 : Strasbourg, France), Criminological aspects of economic crime : [proceedings of the] Twelfth Conference of Directors of Criminological Research Institute, Strasbourg, 15-18 November, 1976, Strasbourg : Council of Europe, 1978, 275 p., at pp. 78-138; copy of the English version at Ottawa University,  FTX General, KJE 6456 .A92 1976;
 

LEROY-CLAUDEL, Rose-Marie épouse, 1956-, Le droit criminel et les personnes morales de droit privé, thèse d'État: droit, Nancy 2, 1987, 359 p.;

"Résumé
Le droit français s'efforce d'atténuer le principe de l'irresponsabilité pénale des personnes morales proclamé par la Chambre criminelle: des amendes et mesures de sûreté peuvent être prononcées contre des groupements.  Certains textes affirment la responsabilité pénale corporative qui, par ailleurs, se trouve consacrée dans le projet de code pénal déposé au Sénat le 20 février 1986.  Une évolution du droit positif se dessine également à l'égard des groupements victimes d'infractions: de plus en plus, le législateur dérogeant au droit commun de l'action civile, habilite certaines personnes morales de droit privé à agir en justice lorsqu'une infraction porte atteinte aux intérêts collectifs qu'elles défendent.  L'extension continue de l'action civile des groupements ainsi que l'admission progressive de leur responsabilité pénale traduisent l'existence d'un droit criminel des personnes morales de droit privé.  Les dispositions du Code pénal et du Code de procédure pénale actuels n'étant prévues que pour des êtres physiques, des adaptations sont nécessaires afin de mettre en oeuvre le droit criminel des groupements.  Une personne morale ne peut être poursuivie pénalement que lorsqu'une infraction a été commise par son organe, agissant au nom et pour le compte de celle-ci.  Un groupement ne peut défendre en justice ses intérêts collectifs que s'il présente des garanties de sérieux." (source: catalogue Abes, disponible à http://corail.sudoc.abes.fr/, visionné le 28 décembre 2003)

LEUNG, Sui Fai, "How to make the fine fit the corporate crime?  An analysis of static and dynamic optimal punishment theories", (1991) 45 Journal of Public Economics 243-256; copy at Ottawa University, HJ 101 .J68  Location: MRT Periodicals;

"[Abstract]  This paper investigates dynamic optimal punishment theory.  Previous studies of optimal punishment theory have all been confined to a static setup.  The most celebrated result in the literature is Becker's (1968) optimal punishment theory, which states that the original fine should be a multiple of the social cost of the crime.  I show that this result is no longer valid in a dynamic environment.  This implication of the dynamic model of optimal punishment are found to be strikingly different from those of the static model." (p. 243)

LEVASSEUR, Georges, "Les personnes morales, victimes, auteurs ou complices d'une infraction en droit français", (1954-55) Revue de droit pénal et de criminologie 827 ou 887; titre noté dans mes recherches mais article non consulté; aucune copie de ce numéro de périodique dans les bibliothèques de la région d'Ottawa; ;
 

___________"La responsabilité pénale des sociétés commerciales en droit positif français actuel et dans les projets de réforme envisagés",  (1987) 58 Revue internationale de droit pénal 21-55; note: "Les sociétés commerciales et le droit pénal, Colloque organisé les 2, 3 et 4 mai 1985 à la Faculté de Droit et des Sciences Politiques et Économiques de Tunis par l'Association Tunisienne de Droit Pénal et le Centre d'études, de recherches et de publications de la Faculté de Droit et des Sciences Politiques et Économiques de Tunis";

Table des matières

[Introduction]...21

I. LA TIMIDITÉ QUANT À LA RECONNAISSANCE D'UNE
    RESPONSABILITÉ PÉNALE DIRECTE DES SOCIÉTÉS
    COMMERCIALES...28

II. HARDIESSE QUANT À L'ADMISSION D'UNE RÉFORME
    ATTÉNUÉE DE LA RESPONSABILITÉ PÉNALE...46

A. Le droit positif actuel...47
B.  Les extensions envisagées par la réforme du code pénal...53

__________"Sanctions pénales et personnes morales", (1975-76) 56 Revue de droit pénal et de criminologie 707-719; 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;
 

LEVENSON, Alan B., Harvey L. Pitt and Arthur F. Matthews, Co-chairmen, The Foreign corrupt practices act of 1977 : do you know this act covers domestic business activities?, New York : Law Journal Seminars Press, c1978, 427 p.; title noted in my research but document not consulted; no copy of this book in the librairies covered by the catalogue AMICUS of Library and Archives Canada (verification of 15 June 2004);
 

LEVI, Michael, "Suite justice or sweet charity?  Some explorations of shaming and incapacitating business fraudsters", (2002) 4(2) Punishment and Society 147-163;
 

__________"White-Collar Crime Victimization" in Kip Schlegel and David Weisburd, eds., White Collar Crime Reconsidered, Boston: Northeastern University Press, 1992, xv, 384 p., at pp. 269-286, ISBN: 1555531415; notes; "Papers originally presented at a conference held at Indiana University in May 1990"; copy at Ottawa University, MRT General: HV 6769 .W485 1992; for the table of contents, see the Catalogue of Columbia University, PEGASUS, at  http://pegasus.law.columbia.edu/;

[Contents]

[Introduction]...169

Methodology and Sources of Evidence...171

Research and Findings...172

- The Victims...173
- The 1989 Corporate Victimization Findings on the Amount of
   Fraud against Large Companies...175
- Investigation and Prosecution: The Victim Experience...177
- What Did Victims Feel about the Way 'Their' Offenders Were
   Dealt With?...178
- The 1989 Survey of Corporate Experiences of Policing and
   Criminal Justice...180
- Business Motives for Reporting Fraud and Confidence in the
  Authorities...181
- Reporting Fraud and Confidence in Policing...183
- Company Policies on Fraud Reporting and Prosecution...183

A Social Movement against White-Collar Crime?...185

White-Collar Advantage: Justice for All?...188

REFERENCES...191

LEVIN, Marjorie H., "Corporate Probation Conditions: Judicial Creativity or Abuse of Discretion?", (1983-84) 52 Fordham Law Review 637-662; copy at Ottawa University, KFN 5069 .F672  Location: FTX Periodicals; not at the Supreme Court of Canada Library;

[Contents]

[INTRODUCTION]...637

I. THE INADEQUACY OF FINES TO CONTROL CORPORATE
   CRIMINAL BEHAVIOR...639

II. THE PROBATION ACT...641

III. THE LIMITS OF CORPORATE PROBATION CONDITIONS...644

A. Monetary Conditions of Probation...645
B. Non-Monetary Probation Conditions: Extraordinary Terms and Constitutional Limitations...648

1. Extraordinary Probation Terms...648
2. Constitutional Limitations...649

C. Establishment Clause...651

IV. PROBLEMS WITH REMEDIES UNDER THE PROBATION ACT...652

A. Unguided Sentencing Discretion...653

1. Monetary and Non-Monetary Probation Conditions Compared to Fines...654
2. Judicial Favoritism...655
3. Disparate Conditions...656

B. Rehabilitative Purpose of the Probation Act...657

V. THE COMPREHENSIVE CRIME CONTROL BILL OF 1983...657

CONCLUSION...661
 

[Contents]

I. INTRODUCTION...783

II. DISCUSSION...785

A. Is Current Sentencing of Corporate Defendants Too Lenient?...785

B. Will Courts Impose the Enhanced, But Non-Mandatory, Probation
     Conditions in the Proposed Guildlines Which Are Intended to Ensure
     That a Transgressor Company Will Compensate Society?...789

C. Will the proposed Guildlines Force Socially-Responsible Companies to
     Pay for the Criminal Conduct of Errant Employees?...792

E. Will the Proposed Guildlines Provide an Adequate Incentive for
     Corporation to Implement Self-Policing?...797

III. CONCLUSION AND RECOMMENDATIONS...798

LEWIS, Ewart, "Organic Tendencies in Medieval Political Thought", (1938) 32 American Political Science Review 849-876; copy at Ottawa University, JA 1 .A6  Location: MRT Storage (kept at MRT-PER); copy at Carleton University, SER JA1.A6;

    "The purpose of this paper is a re-examination of the thesis set forth by Otto von Gierke: that in medieval political theory there were certain organic tendencies which, because the jurists failed to develop the concept of the real personality of the group, ultimately gave way to an atomistic construction of the state.  The paper is not concerned with the actual structure of medieval society, nor with the legal concepts of jurists, but with the theoretical doctrines of the publicists which Gierke interprets in that section of Das deutsche Genossenschaftsrecht which, in Maitland's translation,¹ has become a classic for students of political theory.  It is my contention that, while his treatment of subordinate issues of medieval political theory is often masterly, Gierke's main theses in regard to the medieval concepts of the nature of the group, the relation of officers to the group, and the relation of groups to one another are fundamentally inaccurate....
-------
¹ Otto Gierke, Political Theories of the Middle Age, tr. F.W. Maitland (Cambridge, 1900)." (p. 849)

LIBERMAN, Jonathan and Jonathan Clough, "Corporations That Kill: The Criminal Liability of Tobacco Manufacturers", (2002) 26 Criminal Law Journal 223-236;

"[Abstract]  In April 2002 British American Tobacco Australia became the first tobacco company in Australia to be ordered to pay compensation to a person dying of smoking-related illness.  In the United States such civil claims have resulted in tobacco companies being ordered to pay massive remedial and punitive damages.  While many now accept that tobacco companies may be civilly liable, little attention has been given to their potential criminal liability.  This article challenges the false assumptions surrounding the 'legality' of the tobacco industry and outlines the case for criminal responsibility.  It then concludes with suggestions for reform of the tobacco industry." (p. 223)

LIDBETTER, Andrew, Company investigations and public law : a practical  guide to government investigations, Oxford/Portland: Hart Pub., 1999, xxv, 364 p., ISBN: 1841130745; deals with English law; title noted in my research but no copy in the Canadian libraries covered by the AMICUS catalogue of Library and Archives Canada (verification of 21 February 2005),
 

LIEBSCHER, Viktor, "Autriche: Rapport", (1983) 54(1-2) Revue internationale de droit pénal / International Review of Penal Law 103-116, voir les pp. 109-110 sur la responsabilité pénale des groupements" (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 Crairo, 1984);
 

LIGETI, Katalin, "Hongrie/Hungary", (2003) 74(1-2) International Review of Penal Law 291-323; notes: article in English; national report; XVIIth International Congress of Penal Law, Preparatory Colloquium, Section II, Corruption and Related Offences in International Economic Acrtivities, November 11-12, 2002, Tokyo (Japan);

"Criminal law liability of legal entities

It has been often argued that in order to make prosecution of corruption offences effective, the criminal responsibility of legal entities must be established.  In line with this argumentation both the Council of Europe Corruption Convention and all EU legislation in this field emphasize the need to adopt necessary legislative measures allowing to prosecute and punish legal entities for corruption offences discussed under chapter II-IV of the present report.

The models of corporate liablity and the tension prevailing in some continental systems in respect of criminal law responsibility of legal persons are well documented and do not need to be elaborated here.  It is sufficient to recall, that from an economic point of view, business delinquency can be often sanctioned more effectively by administrative, penal-administrative means than by criminal law.  For the purposes of the preventive goals of the sanction, regulatory or administrative fines work equally efficient compared to criminal law.  The reason why international organisations, in particular the European Union, stress the need for criminal law sections, can be explained against the background of procedural efficiency.  Only if criminal law responsibility of legal entities is provided can investigation authorities apply security measures, such as seizure and forfeiture of property, in the early stages of investigation.  This gives a powerful tool into the hands of prosecution agencies, who in turn, regard criminal law liability of legal entities as an indispensable mean for the successful fight against certain offences, such as corruption, money laundering, organised crime, etc.  The fact that at present these offences receive high political attention in Europe, contributes to increase the pressure put on national legislations to ensure the criminal law liability of legal entities.

As far as the Hungarian legislator is concerned, the adoption of rules for criminal law liability is part of the harmonisation that is a prerequisite for membership in the European Union.  This background explains that the Law on the Criminal Law Measures against Legal Persons adopted in 2001 by the Hungarian parliament shall enter into force on the day Hungary becomes a member of the European Union.

As a preliminary remark it is worth mentioning that Hungarian criminal law largely roots in German traditions, i.e. the notion of personal Schuld (culpa) is of central importance and serves as an indispensable prerequisite for punishment.  It follows from this tradition, that the newly adopted law does not use the term 'criminal law sanction' in relation to legal entities, but speaks of 'criminal law measures' that can be applied.  Thereby the drafters of the law intended to leave the dogmatical structure of Hungarian criminal law intact.

According to the Law on the Criminal Law Measures against Legal Persons the application of any criminal measure against a legal entity sets out that a natural person (representatitives of the legal person, members of its supervisory board, members or employees) deliberately committed an offence, that resulted in financial benefit for the legal entity.  Thus the application of criminal law measures against legal entities is contingent upon the criminal law liability of natural persons.  The criminal law measures that can be applied contain fines, the liquidation of the legal entity and limiting its scope of activity (such as e.g. excluding it from public tendering).

The Law on the Criminal Law Measures against Legal Persons attracted heated debate in Hungary, and several scholars questioned the efficiency of such legislation.  In particular liquidation of the legal entity and limiting its scope of activity was criticised, since if the natural person behind the legal entity establish a new legal entity, they may pursue their activity unhindered under a new name thereby avoiding completely the sanction.  With a view to the foreseeable inefficiency of such provisions, it was argued that the Law on the Criminal Law Measures against Legal Persons does not filfill the requirements of the rule of law." (pp. 318-320)

LILLIHÖÖK JACOBSSON, Madeleine, "Background Information on National Legal Systems: Sweden", in HUGLO LEPAGE, Associés conseils, ed., Criminal Penalties in EU Member States’ environmental law, Final Report, 15 September 2003, 988 p., at pp. 123-129, 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);

[Sweden]
Legal persons may, in conformity with natural persons, be subject to forfeiture of the economic benefit of the environmental crime and may also be imposed an environmental sanction charge. Moreover, legal persons may also be subject to imposed fines, to the imposing of an injunction against carrying on a business and may also be deprived of the possibility of obtaining an environmental permit.

Unlike natural persons, a legal person may also be charged to pay company fines. The company fine should be set to minimum € 1. 000 (SEK 10.000) and maximum € 300. 000 (SEK 3.000.000)."  (pp. 124-125)

LINDLEY, Cicero J., "Criminal Acts of Corporations and Their Punishment", (1899) 7 The American Lawyer 564; published by New York : Stumpf & Steurer, 1893-1908; available on microfilm from University Microfilms (American periodical series: 1850-1900); copy at University of Alberta, Cameron Library; 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 (17 November 2004);
 

LINDLEY, Nathaliel, "On the Principles Which Govern the Criminal and Civil Liability of Corporations", (1858-1863) 2 Papers read before the Juridical Society 31-39;  published by London : Stevens & Norton; copy at the Library of Parliament, Ottawa, KD 640 A75 J8 A14 v. 2;  available at http://books.google.com/books?id=nhobAAAAYAAJ&printsec=frontcover&dq=editions:0Rlq_sbH-xk0hq#PPA31,M1 (accessed on 12 October 2008);

    "It cannot be too often repeated, nor too steadily borne in mind, that the capacity of a corporation is determined by the power which creates it.  Some jurists have argued from this that corporations can do no wrong; for being created for some legal purpose only, they can, it is argued, have no capacity to do what is illegal.  A little consideration will, however, show the fallacy of this.  For, suppose a corporation is created for the performance of certain acts.  It is, then, under an obligation or duty to do those acts; and, if it does not perform them as required, it obviously does that which is illegal.  To say that a corporation can do no wrong, is, in fact, tantamount to saying it has no duties or obligations to perform: such a doctrine is as untenable in theory as it is dangerous in practice.  But, admitting that unlawful as well as lawful acts must be imputable to corporations, it sill remains to consider the limits of this doctrine, and for this purpose it will be convenient to separate criminal from civil responsibility.

    First. -- As regards crimes.  Can a corporation be guilty of a crime? Some jurists say 'yes'; but 'no' seems to be the proper answer to the question.  No one is responsible for a crime who is not personally party or privy to it.  Crime is never imputed to any one by a fiction, but it is only by a fiction that a corporation can be deemed guilty of a crime. To contend that a corporation can be guilty of a crime, is therefore to contend for that in the case of a corporation which has no analogy in the case of ordinary individuals.  Nor would there be any use in establishing such a doctrine.  The object of criminal laws is to punish.  Punishment, to be effectual, must fall on beings who can feel; in the case of corporations, therefore, it should fall on the individuals who have been guilty of the crime perpetrated.  Nor ought they, nor can they, on any principle be screened from punishment on the ground that the guilt is imputable to the corporation; for, admitting that to be so, they are not the less also punishable, having, ex hypothesi, themselves committed the criminal acts in question.  Those who maintain that corporations can commit crimes, are driven to make exceptions; for no jurist asserts that adultery or bigamy can on any principle, or by analogy, be imputed to bodies corporate.  On the other hand it must be acknowledges that corporations may be guilty of offences, the remedy of which is a public prosecution, e.g., the non-repair of a highway.  But such acts are not crimes in any accurate sense of the word; and using the term, criminal law, in its natural and popular sense, it may fairly be said that it has no application to any except natural persons." (pp. 34-35)
 

LITTLE, Charles G., "Punishment of a Corporation - The Standard Oil Case", (1908-09) 3 Illinois Law Review 446-453; copy at Ottawa University, KFI 1269 .I55  Location: FTX Periodicals;
 

LIU, Xin Kui, Étude comparée du droit pénal chinois et du droit pénal français de l'entreprise, Doctorat de droit pénal, Paris 11, 1998, 413 p.; directeur de thèse: Jean Penneau;  title noted in my research but thesis not consulted; no copy of this document located in the AMICUS catalogue of Library and Archives Canada (verification of 29 September 2004);

Sommaire
"Le Code pénal chinois revisé le 14 mars 1997 a été enrichi de plusieurs dispositions facilitant une étude comparée avec le droit pénal français de l'entreprise dans le cadre de l'introduction de la présente recherche, l'évolution du droit pénal en Chine populaire, les modalités de la renovation du Code pénal chinois de 1997 et la définition du droit pénal de l'entreprise ont été examinés.  La première partie de la thèse a pour objet l'étude comparative du droit pénal général de l'entreprise. Cette étude concerne tout d'abord les éléments constitutifs de l'infraction, à savoir les sujets de l'infraction, l'aspect subjectif, les objets et l'aspect objectif de l'infraction.   Elle s'atache ensuite à l'analyse des peines et aux points essentiels pour leur détermination.  Il existe beaucoup de points communs et de différences entre le droit pénal des deux pays concernant en particulier la responsabilité pénale des personnes morales, la complicité, les catégories de peines.  La seconde partie est consacrée à l'étude comparative du droit pénal spécial de l'entreprise.  La comparaison porte d'abord sur les infractions relatives à la gestion de l'entreprise, soit les atteintes aux intérêts sociaux et négligences de fonction.  Sont ainsi  les infractions liées à la finance de l'entreprise, soit celles relatives aux capitaux, aux activités comptables et aux activités fiscales.  Les infractions prévues en droit pénal chinois sont moins précises, mais les sanctions sont plus sévères.  Dans la conclusion générale, le bilan de la présente recherche, l'intérêt et la perspective qu'elle représente ont été établis.  Il est apparu que l'existence d'une loi économique unique conduit inévitablement au rapprochement des systèmes juridiques des différents pays.  Quelques principes généraux semblent ainsi être dégagés en vue d'une internationalisation du droit pénal de l'entreprise." (source: catalogue Abès, un sommaire en anglais est aussi disponible);

LOFQUIST, William S. (William Steel), Crafting corporate crime controls : the development of organizational probation and its implications for criminology, PhD. Thesis, University of Delaware, 1992, 2 v. (xiii, 477 leaves ); title noted in my research but thesis not consulted; no copy of this document located in the AMICUS catalogue of Library and Archives Canada (verification of 29 September 2004);
 

___________"A Framework for Analysis of the Theories and Issues in Corporate Crime", in William  F. Lofquist, Mark A. Cohen and Gary A. Rabe, eds., Debating Corporate Crime, Cincinnati (Ohio): Anderson Publishing and Academy of Criminal Science; Highland Heights, KY : Academy of Criminal Justice Sciences , Northern Kentucky University, 1997, vii, 265 p., ISBN: 0870841858; title noted in my research but article not consulted; no copy of this book in the Ottawa area according to my verification of the AMICUS catalogue of Library and Archives Canada (verification of 29 September 2004);
 

___________“Organizational Probation and the U.S. Sentencing Commission," (January 1993) 525 The Annals of the American Academy of Political and Social Science 157-169; copy at Ottawa University, MRT Periodicals, H1 .A55 v. 525 1993;

[CONTENTS]

ABSTRACT...157

[INTRODUCTION]...158

A BRIEF HISTORY OF ORGANIZATIONAL PROBATION...159

- Legislative development...159
- Judicial uses of organizational probation...160
- The efforts of the United States Sentencing Commission...161
- The final organizational probation provisions...161

THE SIGNIFICANCE OF ORGANIZATIONAL PROBATION...163

- Statutory foundations...163
- Politics and markets...164
- Relationship to organizational theory...164
- Organizational probation and enforced self-regulation...165

EXPLAINING UNEXPECTED LEGAL OUTCOMES...166

THE FUTURE OF ORGANIZATIONAL PROBATION...167

LOGAN, Wayne A., "Criminal Law Sanctuaries", (Summer 2003) 38(2) Harvard Civil Rights-Civil Liberties Law Review 321-391, and see in particular, "The Corporation" at pp. 348-364 and "The Corporation" at pp. 377-383;
 

LOMBOIS,  C., "La responsabilité pénale des personnes morales" , (6 octobre 1993) Les Petites affiches p. 51; note: Actes du Colloque de Limoges du 11 mai 1993. La responsabilité pénale des personnes morales, organisé par l'université de Limoges, faculté de droit;  titre noté dans mes recherches mais numéro non consulté; aucune copie de numéro dans les bibliothèques de la région d'Ottawa comprises dans le catalogue AMICUS de Bibliothèque et Archives Canada (vérification du 24 juillet 2004);
 

LOMNICKA, Eva, "Janet Dine, Criminal Law in the Company Context Dartmouth, 1995, 218pp, ISBN 1-85521-342-7 Hb £39.50 -- Reviewed by Eva Lomnicka",  (1996) 2 WebJCLI; available at  http://webjcli.ncl.ac.uk/1996/issue2/lomnicka2.html(accessed on 24 April 2004);
 

LONGHI, Silvio, "Responsabilité pénale des personnes juridiques [Rapport au Congrès de l'Association internationale de droit pénal (Bucarest, 1929) -- question sur l'ordre du jour]" (1929) 6 Revueinternationale de droit pénal 246-259; copie à la Bibliothèque de la Faculté de droit de l'Université de Montréal, HAZE R454i;;
 

LOOS, Robert, "Luxembourg:  Le droit de l'environnement et le droit pénal", (1994) 65 Revue internationale de droit pénal 1050-1063, voir "Les sujets actifs de l'infraction: le problème de la responsabilité pénale des personnes morales", aux pp. 1058-1059; note: Colloque préparatoire, section 1, Les atteintes à l'environnement, problèmes de droit pénal général, Ottawa (Canada), 2-6 novembre 1992;
 

LOPEZ, Frank René, "Corporate Social Responsibility In a Global Economy After September 11: Profits, Freedom and Human Rights", (2003-2004) 55 Mercer Law Review 739-777; copy at Ottawa University, KFG 69 .M47  Location: FTX Periodicals;

[CONTENTS]

I. INTRODUCTION...739

II. HISTORICAL SKETCH OF THE CORPORATION...743

A. Early Corporations...743

B. The Role of Today's Corporation: Public Service or Profit Maximization...746

III. ECONOMIC AND POLITICAL POWER OF GLOBAL CORPORATIONS...749

A. Comparing the Top Global Economics in the World...749

B. Corporate Influence in U.S. and Foreign Governments...752

IV. GLOBAL CORPORATIONS AND EXPLOITATION...755
 

C. [sic] Human Rights Violations, Mistreatment of Workers, Low Wages, Forced Labor, and Child Labor...756

D. [sic] Corporations and the Environment...759

1. Exportation of the Natural Resources...759
2. Dumping Toxic and Dangerous Byproducts without clean-up...761

V. FREEDOM AND DEMOCRACY...763

A. Message of Freedom and Democracy...762

B. Corporations as U.S. Ambassadors...763

C. The Message We Convey...764

D. Corporation Creating Foreign Policy and Delivering a Message of Democracy...765

VI. IMPROVING CORPORATE SOCIAL RESPONSIBILITY ON A GLOBAL SCALE...766

A. Disclosure Requirement to Make Global Corporations Transplant...768

1. Corporate Transparency...769
2. Disclosure Statement...769
3. Sanctions...771

B. Monitoring Corporate Activity Abroad...771

C. Open Information Requests of Global Corporations...773

D. Labor Regulations...774

E. Establishing a Global Minimum Wage...775

VII. CONCLUSION...776

"Abstract

This chapter reviews the economic literature on corporate crime. Economists have discussed and answered a number of questions about corporate crime in only few years time span. Perhaps this unusual success is due to the questions involving corporations being so similar to other crime issues, previously analysed. However, a number of questions remain largely nexplored. Why do certain firms commit crimes while others do not? What are the social costs imposed by the very high corporate criminal penalties?  How does the criminal justice process shape the organisation of firms?" (source: http://encyclo.findlaw.com/8600book.pdf, accessed on 17 June 2004)
 

___________"Optimal Penalties versus Minimising the Level of Crime: Does it Matter Who is Correct?", (1991) 71 Boston University Law Review 439-446; copy at Ottawa University, K 2 .O678  Location: FTX Periodicals;
 

LOWELL, Abbe David and Kathyn C. Arnold, Essay, "Corporate Crime after 2000: A New Law Enforcement Challenge or Déjà Vu?", (2003) 40(2) American Criminal Law Review 219-240; copy at the Library of the Supreme Court of Canada;

Table of Contents

INTRODUCTION...219

II.  CONGRESS PROVIDES NEW TOOLS AND PENALTIES FOR BUSINESS CRIMES: WERE THEY NECESSARY?...220

A. The Sarbanes-Oxley Act of 2002...222

1.  New Substantive Offense for Securities Offenses...223
2.  Obstruction of Justice...224
3.  Increase in Maximum Penalties for Existing and New Offenses...226

III.  GOING AFTER CORPORATE LEADERS: 'LOWERING THE BAR' FOR PROVING KNOWLEDGE OR INTENT...229

A.  Conscious Avoidance...229
B.  Conscious Avoidance As a Tool...230

IV.  THE RESURRECTION OF PARALLEL PROCEEDINGS: PILING ON BY AGENCIES AND LAWYERS...233

A.  Introduction to Parallel Proceedings...233
B. The Impact of Parallel Proceedings...234
C. Problems and Issues of Parallel Proceedings...235

1. National Information Infrastructure Protection Act of 1996...235
2. Parallel Proceedings Wreak Havoc on Internal Compliance...236

D. Eliminating Some of the Proceedings...237

V.  CONCLUSION...240

LUNDE, Leiv and Mark Taylor, with Anne Huser, Commerce or Crime?  Regulating Economies of Conflict.  Economies of Conflict: Private Sector Activity in Armed Conflict, [Norway]: Fafo Institute for Applied Social Science, 2003, 62 p., (series; programme for International Co-operation and Conflict Resolution; Fafo report; 424),  ISBN:  8274224140; available at  http://www.fafo.no/pub/rapp/424/424.pdf(accessed on 27 July 2004);
 

LYNCH, Gerard E., "The Role of the Criminal Law in Policing Corporate Misconduct", (1997) 60(3) Law and Contemporary Problems 23-65; available at  http://www.law.duke.edu/shell/cite.pl?60+Law+&+Contemp.+Probs.+23+(Summer+1997) (accessed on 23 June 2004); see comments on that article in BIALKIN, Kenneth J., supra; and MUKASEY, Michael B., infra;

[Contents]

I. INTRODUCTION...23

II. THE BLURRING OF THE CIVIL/CRIMINAL DISTINCTION...26

A. The Growth of the Punitive Civil Remedy...27
B. Applicability of Punitive Sanctions to Business Crimes...31

1. The Appropriateness of Monetary Sanctions...31
2. The Relative Abundance of Corporate Plaintiffs...32
3. Specialized Agencies for Public Enforcement...33

C. Theoretical Questions Raised by Punitive Civil Sanctions...34
D. The Expanding Domain of Criminal Law...36

III. THE ROLE OF MORALITY IN THE CRIMINALIZATION OF CORPORATE MISCONDUCT...44

A. The Moral Bases of the Criminal Law...44
B. Retaining a Moral Grounding for the Punishment of Corporate Crimes...48

1. The Moral/Stigmatic Perspective...49
2. The Remedial Limits of Monetary Compensation...52
3. Coordination of Administrative and Prosecutorial Expertise...53

IV.  THE PROSECUTOR AS ADMINISTRATOR...54

A. The Erosion of Adversarialism...54
B. The Increase of prosecutorial Power and its Effect on the Law of Business Crimes...58

V. SOME TENTATIVE CONCLUSIONS...63

LYNCH, Michael J., Danielle McGurrin and melissa Fenwick, "Disappearing act: The representation of corporate crime research in criminological literature", (2004) 32 Journal of Criminal Justice 389-398;
 

LYNXWILLER, John, Neal Shover, and Donald Clelland, "Determinants of sanction severity in a regulatory bureaucracy",  in Ellen Hochstedler, ed., Corporations as criminals, Beverly Hills: Sage Publications, 168 p., (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;
 

MAAKESTAD, William J., “Corporate Homicide -- William Maakestad writes on the American experience” (16 March 1990) 140 New Law Journal 356-357, issue number 6447;
 

MACALUSO, Alain, "Les nouvelles dispositions du Code pénal [suisse] sur la responsabilité de l'entreprise.  I. La punissabilité", (Février 2002) La Lettre du Conseil -- Ordre des avocats de Genève, numéro 32, aux pp. 127-130, disponible à  http://www.odage.ch/pdf/lettre_32.pdf (visionné le 30 juillet 2004);   "Les nouvelles dispositions du Code pénal [suisse] sur la responsabilité de l'entreprise.  II.  La procédure", (Décembre 2001) La Lettre du Conseil -- Ordre des avocats de Genève, numéro 31, aux pp. 101-104, disponible à   http://www.odage.ch/pdf/lettre_31.pdf (visionné le 30 juillet 2004);
 

___________La responsabilité pénale des personnes morales et de l'entreprise : éléments de droit comparé et étude des articles 100 quater et 100 quinquies CPS, Lausanne : Impr. Réunies, 2004, xxxvii, 268 p.; Thèse de droit, Université de Lausanne, 2004; titre noté dans mes recherches; livre non consulté; aucune copie de cette thèse dans les bibliothèques canadiennes comprises dans le catalogue AMICUS de Bibliothèque et Archives Canada (vérification 20 juin 2004);
 

MACEY, Jonathan R., "Agency Theory and the Criminal Liability of Organizations", (1991) 71 Boston University Law Review 315-340; copy at Ottawa University, K 2 .O678  Location: FTX Periodicals;

[Contents]

INTRODUCTION...315

I. AGENCY THEORY AND THE CRIMINAL CORPORATION...320

A. Agency Theory in General...320
B. Risk Aversion and Corporate Criminal Conduct...322
C. The Self-Interest Assumption...324

1. Criminal Activity, Managerial Shirking, and the Risk of
     Insolvency...326
2. Criminal Activity and Corporate Culture...329
3. Organizational Crime and Mistake...330
4. The Interplay of the Factors Leading to Corporate
    Criminal Conduct...332

D. Corporate Criminality and Shareholder Welfare...333
E. Agency Costs as a Source of Criminal Law...336

II. AGENCY THEORY AND OPTIMAL PENALTY THEORY...337

CONCLUSION...339

MACHEN, Arthur W., "Corporate Personality", (1910-11) 24 Harvard Law Review 253-267 and 347-365; copy at Ottawa University, FTX Periodicals, KFM 2469.H457;
 

MAGARITY, Gregory T., "RICO Investigations: A Case Study", (1979-80) 17 American Criminal Law Review 367-378; copy at Ottawa University, KF 9202 .A425  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada, Ottawa;

"[Abstract]
RICO has provided investigators and prosecutors with sophisticated tools with which to combat intricate, ongoing criminal schemes.  A typical RICO investigation is proactive -- forward-looking in nature; and it requires close cooperation between the FBI and local U.S. Attorneys' Offices.  In this article, Mr. Magarity recounts the investigation of a case which he prosecuted.  The narration demonstrates the author's belief that a team approach is necessary for the sucessful completion of a proactive investigation." (p. 367)

MAGNOL, Joseph, "Une expérience de mise en oeuvre de la responsabilité pénale des personnes morales.  D'après l'ordonnance du 5 mai 1945 relative à la poursuite des entreprises de presse, d'édition, d'information et de publicité coupables de collaboration avec l'ennemi", (1946) Revue internationale de droit pénal 58; aucune copie de ce numéro de périodique dans les bibliothèques de la région d'Ottawa;
 

MAGNUSON, Jay C. and Gareth C. Leviton, "Policy Considerations in Corporate Criminal Prosecutions After People v. Film Recovery Systems, Inc.", (1986-87) 62 Notre Dame Law Review 913-939;

[Contents]

[Introduction]...913

I.  People v. Film Recovery Systems, Inc.: Statement of Facts....913

II.  The Corporate Homicide Doctrine...915

A. Statutory Scheme...915
B. Apllicability to Corporations...916
C. Personal Criminal Liability for Acts Committed in Futherance
     of One's Business or Occupation...918

III.  The Foreseeability Issue...920

IV.  Derivative Liability: Criminally Piercing the Corporate Veil...922

V.  Defenses to Corporate Criminal Liability...925

A. Due Diligence...925
B. Federal Preemption of State Law...926

VI.  Policy Considerations in Corporate Criminal Prosecutions...928
VII.  Conclusion...939

MAITLAND, Frederic William, 1850-1906, "Moral Personality and Legal Personality", in H.A.L. Fisher, ed., The collected papers of Frederic William Maitland: Downing professor of the laws of England,  Cambridge, [England] : University Press, 1911, vol. 3, vol. 3 at pp. 304-320; see the bibliography at pp. 329-330 (mostly French titles); copy at the Library of the Supreme Court of Canada, KF213 M34 v.3;

"Lately in the House of Commons the Prime Minister spoke of trade unions as corporations.  Perhaps, for he is an accomplished debater, he anticipated an interruption.  At any rate, a distinguished lawyer on the Opposition benches interrupted him with 'The trade unions are nor corporations.'  'I know that, retorted Mr Balfour, 'I am talking English, not law.'  A long story was packed into that admirable reply¹.
--------
¹ The Standard, April 23, 1904. Mr Balfour: 'The mere fact that funds can be used, or are principally used, for benefit purposes, is surely not of itself a sufficient reason for saying that trade unions, and trade unions alone, out of all the corporations in the country, commercial -- --'  Sir R. Reid: 'The trade unions are not corporations'.  Mr Balfour: 'I know; I am talking English, not law' (cheers and laughter)" (pp. 305-306)

MAKKAI, Toni and John Braithwaite, "The Dialectics of Corporate Deterrence", (1994) 31(3) Journal of Research in Crime and Delinquency 347-373, with references at pp. 370-373;
 

MANGUM, Garth L., "Murder in the Workplace: Criminal Prosecutions v. Regulatory Enforcement", (1988) Labor Law Journal 220-231; copy at Ottawa University, KF 3302 .L325  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada, Ottawa;

[Contents]

[Introduction]...220
Precedential Cases...221
Ensuing Cases...222
Where's the Mens Rea?...225
Where's OSHA?...227
The Durability of the Criminal Law Approach...229

MANIS, Jerome G., "Criminal Corporations: Recidivist Law Violators", available at http://www.lava.net/~manis/criminal.html (accessed on 17 November 2004);

"Professionally and publicly, criminal corporations must be specifically  recognized for what they are--recidivist law violators. Moreover, we must not forget Sutherland's belief that criminology ought not overlook actions by corporations that should be made illegal.  Or, more strikingly, the words of Martin Luther King, Jr.  'Never forget that everything Hitler did in Germany was legal.'  Such concerns will be increasingly important in this growing era of global corporations.

A basic imperative is the need for criminology to turn its long-time focus away from individual offenders to the recidivists responsible for much of the nation's serious law violations--criminal corporations."

MANN,  Kenneth, "Procedures Rules and Information Control. Gaining Leverage over White-Collar Crime", in Kip Schlegel and David Weisburd, eds., White Collar Crime Reconsidered, Boston: Northeastern University Press, 1992, xv, 384 p., at pp. 332-351, 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]...332

The Relationship Between Procedure and Sanction...333

Informatioon Rules...334

The Role of Procedure in Expanding Use of Civil Penalties...336

- Advantages of Criminal Procedure...336

Advantages in Civil Procedure...338

Convergence of Criminal and Civil Procedure...340

Reforms in Pretrial Discovery...341

Reforms in Government Civil Investigatory Powers...342

Procedural Rules and White-Collar Crime...346

REFERENCES...347

NOTES...349

MANN, Kenneth, Stanton Wheeler and Austin Sarat, "Sentencing the White-Collar Offender", (1979-80) 17 American Criminal Law Review 479-500; copy at Ottawa University, KF 9202 .A425  Location: FTX Periodicals;

"[Abstract]
This article is based on a field study of sentencing which is part of a research program on white-collar crime being undertaken at Yale Law School.  In this preliminary report, the authors conclude that while judges take a serious view of white-collar crime, they are often influenced by several factors to find a non-incarcerative disposition.  They also conclude that judges tend to rely predominantly on general deterrence as a rationale for sentencing in cases of white-collar crime." (p. 479)

MANSUY, Grégoire, Les sanctions applicables aux personnes morales et le projet de code pénal, Mémoire de DEA : Droit pénal et sci. criminelles : Aix-Marseille 3 : 1991, 212, 40 f.; titre noté dans mes recherches mais thèse non consultée;
 

MARCEY, Jonathan R., "Agency Theory and the Criminal Liability of Organizations", (1991) 71 Boston University Law Review 315-340; copy at Ottawa University, K 2 .O678  Location: FTX Periodicals;
 

MARCHAL, André, "La responsabilité pénale des personnes morales et des associations professionnelles au regard du droit pénal français économique, social et militaire: Vèmes Journées d'études de l'Institut de criminologie de l'Université de Paris II, 19 & 20 mai 1976", (1975-76) 57 Revue de droit pénal et de criminologie 958-967; compte-rendu des Journées; copie à l'Université d'Ottawa, K24 .D725, Location: FTX Periodicals;
 

MARINO, Gaëtan di, "Le développement de la responsabilité pénale des personnes morales", (mars 2004) Revue pénitentiaire et de droit pénal 27-38; copie à l'Université d'Ottawa, KJJ 0 .R487  Location: FTX Periodicals;

[TABLE DES MATIÈRES]

[INTRODUCTION]...27

I - LES AXES DU DÉVELOPPEMENT DE LA RESPONSABILITÉ
     PÉNALE DES PERSONNES MORALES

A. L'AXE LÉGISLATIF...29

1- L'extension des incriminations...29
2- Le renforcement du dispositif répressif...30

B. L'AXE JUDICIAIRE...31

1- L'application de la loi...32
2- L'interprétaion de la loi...32

II- LES PERSPECTIVES DE DÉVELOPPEMENT DE LA RESPONSABILITÉ
     PÉNALE DES PERSONNES MORALES...35

A. LA PERSPECTIVE DE GÉNÉRALISATION DE LA RESPONSABILITÉ PÉNALE DES PERSONNES MORALES...35

1- L'avenir du principe de spécialité...36
2- L'avenir du principe d'égalité...36

B. LA PERSPECTIVE D'UN RENFORCEMENT DES POURSUITES...37

1- Les perspectives en matière d'action publique...37
2- Les perspectives en matière d'action civile...38

MARK, Gregory A., Comment, "The Personification of the Business Corporation in American Law", (1987) 54 University of Chicago Law Review 1441-1483;

[Contents]

[Introduction]...1441

I.  THE PROBLEM OF THE CORPORATION...1443

II.  THE LEGACY OF Dartmouth College...1447

III.  THE PARTNERSHIP ANALYSIS AND Santa Clara...1455

IV. THE ORGANICIST REAL/REAL ENTITY THEORY OF THE CORPORATION...1464
 

[Table des matières]

[Introduction]...571

1. Analyse générale des condamnations...572

A. Origine des condamnations...572
B. Attitude des magistrats...572

1^o Politique pénale des Parqiets...572
2^o Attitude des juges correctionnels...572

C. Délinquants et victimes...573

1^o Personnes morales délinquantes...573
2^o Victimes...573

2. Les problèmes de procédure...573

A. L'engagement des poursuites...573

1^o Modalité de saisine de la juridiction...573
2^o Représentation de la personne morale...574

B. Durant la phase du jugement...575
C. L'exécution du jugement...575

3. Questions de fond...576

A. Conditions de la responsabilité des personnes morales...576

1^o Infractions sanctionnées...574
2^o Conditions de l'imputation de l'infraction à la personne morale...576

B. Peines prononcées...577

Conclusion...578

MARRETT, Cora B., "Corporate Organizations", in Edgar Borgatta and Rhonda J.V. Montgomery, eds., Encyclopedia of Sociology, 2nd edition, New York: Macmillan Reference, 2000, vol. 1, xxxix, 719 p., at pp. 441-446, ISBN: 0028648498 (v. 1) and 0028648536 (set of 5 volumes); copy at the Library of Parliament HM 425 E53 2000 v. 1;

   "The corporation constitutes a social invention.  The form evolved to handle problems that arose within religious, political, and other kinds of communities.  It holds a place of importance in contemporary Western societies.  Because it is the product of social conditions and an influence on them, the corporation represents a topic of substantial interest in sociology.
......

 The influence that corporations have produces [sic] concerns about the control of them.  Much of the work on corporations that sociologists have undertaken highlights these concerns." (pp. 441 and 442)

MARTIN, Jay G., "Conducting a Successful Internal Environmental Investigation", (1999-2000) 6 The Environmental Lawyer 673-761;
 

MARTINEZ, José Augustin, "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 234-239; copie à la bibliothèque de la Faculté de droit, Université de Montréal, HAZE R454i;

    "Il a été considéré comme un axiome consacré par tous les traités scientifiques et reconnu par toutes les législations en vigueur, depuis le Code bavarois de 1813, que la responsabilité, au point de vue répressif, ne pouvait être que personnelle.  Selon ce que Feuerbach avait exprimé, 'l'individu seulement est sujet possible d'un délit: jamais une personne morale, une 'universitas'.

    Ce principe paraissait si évident que, le Code de Darmstadt (art. 44) qui établissement formellement que 'quand une pluralité, ou une communauté, commet un délit, seul le membre coupable doit être puni', ne fut pas mis à exécution par les législations postérieures, qui considèrent superflu sans doute d'écrire un précepte d'une évidence telle, selon l'opinion de Goltdammer, auquel Berner fait allusion!

    Cette solution particulière avait des précédents d'une grande valeur dans le Droit Romain.  Ulpien disait que l'accusation pouvait avoir lieu contre ceux-mêmes qui administraient la ville, et non contre la ville elle-même: 'de dolo decurionum in ipsos decuriones debiutur de dolo actio'; et Gaius répétait cette phrase, qui a été par la suite sujette à interprétations contraires, mais nous basant sur l'autorité de Pessina, nous interprétons dans le même sens que ce vénérable maître : 'singulorum propium est maleficium'.  Il est certain que quelques passages du Droit Romain paraissent indiquer un critérium contraire; mais ces passages se rapportent à des indemnités civiles, ou à la réparation des préjudices, sans qu'il soit question des délits eux-mêmes, ni de vraies peines, en vertu de ce principe qui inspirait tout le Droit Romain en cette matière, et que plus tard devait confirmer la Cour de Cassation italienne, dans sa sentence du 29 décembre 1897: 'ibi esse poenam, ubi noxa est'.

    Le Droit allemand montre une tendance contraire, qui a des racines, cela ne paraît pas douteux, dans le début de réaction de la primitive vengeance personnelle, qui n'était pas limitée à la personne de l'offenseur, sinon à tout groupe, clan ou famille, auxquels l'offenseur appartenanit.  Selon les lois de Eurico, celles du Jutland et d'autres, les habitants des villes se divisaient en 'dizaines' et 'centaines', et si un des dix commettait un délit, les autres devaient payer le 'guidrigildo', ou livrer l'offenseur pour qu'il puisse subir le châtiment demandé par la vengeance.  En Angletrerre, jusqu'au siècle IX^e ou X^e, l'épouse était châtiée pour les crimes de son mari.  Sous le règne d'Edouard le Confesseur, chaque 'municipalité' répondait du délit commis par l'un de ses membres, et d'après le Statut de Wintu, en vigueur pendant plusieurs années, les membres du 'hundredth' (cent) étaient solidairement responsables pour les dommages causés sur leur teritoire par les brigands de grands chemins.

    Le Droit canonique admettait, dans certains cas, la responsabilité des personnes morales; certaines peines graves comine l'excommunion, équivalente à l'expulsion du groupe social, furent souvent appliquées à des villes entières et à des régions déterminées.

    Dans l'ancien Droit des Deux-Siciles, Frédéric II soumettait à des peines arbitraires l''universitas' qui 'couvrait' les auteurs des délits clandestins, comme coupables de 'defensa injustae imposita', et menaçait de 'dissolution' 'l'universitas' qui intentait de concéder à quelqu'un une juridiction que le Prince seul pouvait donner.  Selon Caline, cette responsabilité des personnes morales, était souvent admise par les législations statutaires, et le Droit français intermédiaire l'admettait aussi.

    En Espagne, la responsabilité collective apparaît souvent dans le Droit du Moyen âge.  Dans le Fuero de Léon (X^e siècle) tous les hommes ingénus payaient au Roi les 'omecillos' et les 'rossos', non seulement pour les délits qu'ils auraient commis personnellement, mais aussi pour les délits faits par les autres voisins.  Cette coutume devait être très ancienne; et on croit que le Fuero Juzgo essaya de la reprimer par une disposition très rationnelle et humanitaire dans ce temps de barbarie, selon laquelle 'tous les péchés doivent suivre ceux qui les commettent, et le père ne doit pas être puni pour le fils, ni le fils pour le père, ni la femme pour son mari, ni le voisin pour le voisin, etc.'  Le Roi Wamba avait une même conception de la responsabilité pénale, en établissement que la peine devait être personnelle et non atteindre, dans ses effets, plus loin que le coupable, moyennant le sage principe: anima qui sola peccaverit, sola puniatur'.

    Quant aux législations positives postérieures, nous avons relaté antérieurement qu'elles avaient abrogé, depuis de longues années, cette forme de responsabilité.  La loi pénale du Monténégro de 1803, en vigueur pendant un demi-siècle, par laquelle s'ordonnait la vengeance du sang, qui seule se rachetait par paiement du prix de cette vengeance, imposait l'obligation de la payer, non seulement au coupable, sinon à tout le village entier où le délit avait été commis.  Le 5 avril 1884, la France abrogea une loi du 10 Vendémiaire de l'an IV, qui condamnait les communes à payer une amende à la République chaque fois que ses habitants participaient aux émeutes populaires, mutineries et désordres.

    Au point de vue de la doctrine, on avait aussi abandonné le vieux principe du Moyen Age de la responsabilité criminelle collective, quand vers 1887-1889, la thèse reapparut, soutenue par Gierke, Mestre et quelques autres.

    Gierke et Mestre soutenaient principalement que les personnes morales avaient une existence 'a se', une existence propre, légalement distincte, en vertu d'une vieille fiction juridique d'une réalité inconstestable, de l'existence de chacun des membres qui la composent, lesquels ont des droits et obligations distincts des droits et obligations de chacun des membres qui la forment; et ils ajoutent: si la personne juridique peut contracter et peut ne pas remplir ses obligations indépendamment du travail individuel de chacun de ses membres, pourquoi ne peut-elle pas commettre un délit?  Si elle peut promettre qu'elle paiera et renier ses dettes ensuite, pourquoi ne pourrait-elle pas commettre une escroquerie?  Et si la personne juridique peut commettre un délit, pourquoi n'encourrait-elle aucune peine?  Elle est susceptible de subir la peine de mort, parce qu'on peut décréter sa dissolution ou abolition et les peines pécuniaires, parce que l'on peut saisir ses biens et obtenir le paiement de celles qui lui sont imposées; et si elle ne peut subir une peine de prison, parce qu'elles sont 'difficilement' emprisonnables, elles peuvent certainement subir des peines infamantes, parce qu'elle peuvent être 'dégradées'; et en dernier lieu cette impossibilité ne prouverait rien, parce que la responsabilité criminelle des insolvables subsiste, dans le cas même où il est notoire qu'ils ne paieront pas l'amende; et la peine de travaux forcés ne peut s'appliquer à des individus qui auront atteint un certain âge, malgré qu'ils peuvent être déclarés responsables.  Ils terminent en affirmant que la peine contre la personne morale non seulement est possible, sinon juste; et que si le délit a été commis par la personne morale, il est juste que ce soit sur elle que retombe la peine.

    Sur ce point, Gierke et Mestre se séparèrent.  Le premier croit que la peine appliquée à la corporation, exclut toute peine individuelle pour les particuliers qui la composent, en vertu, sans doute, du principe 'non bis in idem'; et Mestre soutient que la peine imposée aux personnes morales n'exclut pas la responsabilité individuelle, personnelle de chacun des membres qui la composent, parce que la peine 'corporative' ne retombe pas sur chaque membre qui compose l'association; et parce que sans peine individuelle plus appliquée, il y aurait des mesures égales pour les innocents et coupables, directeurs et employés, meneurs et menés." (pp. 234-237).

MARTINS, M.T. Alves,  "The implementation of the Corpus Juris 1997 in the Member States: National Report -- Portugal /  La mise en oeuvre du Corpus Juris 1997 dans les États Membres: Rapport national -- Portugal", 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. 679-774, 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;
 

MASSET, Adrien, "La loi du 4 mai 1999 instaurant la responsabilité pénale des personnes morales: une extension du filet pénal modalisée", (16 octobre 1999) 118 Journal des Tribunaux 653-660 (3 colonnes par pages); notes: numéro 5940; publication belge; copie à la Bibliothèque de la Cour suprême du Canada; contribution importante;

[Table des matières]

Introduction - Historique...653

1.  Les palliatifs à l'absence de la loi avant 1999: la responsabilité civile des amendes,
     les amendes administratives et les transation administratives...654

2. La loi du 4 mai 1999 instaurant la responsabilité pénale des personnes morales:
    les raisons et les étapes du changement...654

3. Le principe de la responsabilité pénale des personnes morales: un principe
    presque général...655

4. Le principe de la responsabilité pénale des personnes morales: la personne morale
    est punissable, tantôt seule, tantôt avec la personne physique...655

5. Le régime des sanctions pénales applicables aux personnes morales déclarées
    coupables...657

1. -- L'amende...657
2. -- La confiscation spéciale...658
3. -- La dissolution...658
4. -- L'interdiction d'exercer une activité relevant de l'objet social...658
5. -- La fermeture...658
6. -- La publication ou la diffusion de la décision...658

6.  Les dispositions de procédure pénales propres à la répression des infractions
     commises par les personnes morales...658

1. -- La représentation en justice de la personne morale poursuivie
        pénalement...658
2. -- L'exercice de l'action publique en dépit de la dissolution de la
        personne morale...659
3. -- La compétence territoriale des autorités judiciaires...659
4. -- Les mesures provisoires...659
5. -- Le casier judiciaire des personnes morales...659

Conclusion...660

___________"Rapport belge [La responsabilité pénale des personnes morales] dans, sous la direction de Travaux de l'Association Henri Capitant des amis de la culture juridique française [du 15 au 18 mars 1999 au Panama], La responsabilité.  Aspects nouveaux (Journées panaméennes), Paris : Librairie Générale de Droit et de Jurisprudence, 2003, xxiv, 814 p., aux pp. 695-708 (Collection; travaux des journées internationales; tome 50; année 1999), ISBN: 2275022864; copie à la Bibliothèque de la Cour suprême du Canada, Ottawa, K555 T73 t. 50;

[Table des matières]

I. -- Votre ordre juridique connaît-il la responsabilité pénale des personnes
        morales ou des entreprises?...695

II. -- Le destinataire de la réglementation est-elle la personne morale ou
         l'entreprise?  Quel est le statut des groupements à qui n'est pas reconnue
         la personnalité morale?  Sont-ils également soumis à la réglementation?...697

III. -- L'ordre juridique belge connaît-il un "droit administratif à caractère pénal"
         selon le modèle allemand des Ordnungswidrigkeiten, au sein duquel les
         personnes morales ou les entreprises peuvent être sanctionnées?...698

IV. -- Le mécanisme d'imputation de la responsabilité...700

V. -- La responsabilité pénale des personnes morales de droit public...701

VI. -- Rapports avec la punissabilité des personnes physiques: le cumul
      ou la subsidiarité des responsabilités pénales...701

VII. --  L'hypothèse des groupes de sociétés...703

VIII. -- Le régime des sanctions pénales applicables...704

1. -- L'amende...704
2. -- La confiscation spéciale...705
3. -- La dissolution...706
4. -- L'interdiction d'exercer une activité relevant de l'objet
        social...706
5. -- La fermeture...706

IX. -- Les dispositions de procédure pénales propres à la répression
          des infractions commises par les personnes morales...707

1. -- La représentation en justice de la personne morale
        poursuivie pénalement...707
2. -- L'exercice de l'action publique en dépit de la dissolution
        de la personne morale...707
3. -- La compétence territoriale des autorités judiciaires...707
4. -- Les mesures provisoires...707
5. -- Le casier judiciaire des personnes morales...708

MASSOT, Groupe d'étude sur la responsabilité pénale des décideurs publics, présidé par,  La responsabilité pénale des décideurs publics : rapport au garde des Sceaux,  Paris : La Documentation française, 2000 (Collection; Collection des rapports officiels, ISSN 0981-3764), 122 p., voir le chapitre 2, "Étendre la responsabilité pénale des personnes morales", ISBN:  2110044950; disponible à  http://www.sante-publique.org/Massot/massot.htm (visionné le 19 juillet 2003);

MATSOPOULOU, Haritini, "Extension de l'imputabilité des personnes morales", dans Michel Danti-Juan, sous la direction de, Dix après la réforme de 1994: Quels repères dans le Code pénal?, Paris: Cujas, 2005, 255 p., aux pp.67-86,  ISBN: 2254054058; copie à l'Université d'Ottawa, FTX général, KJV 7979 .D59 2004;
 

MAURER, Ronald J., Comment, "The Federal Sentencing Guidelines for Organizations: How Do They Work and What Are They Supposed to Do?", (1993) 18  University of Dayton Law Review 799; title noted in my research but article not consulted; no copy of this periodical in the Ottawa are libraries according to my verification of the AMICUS catalogue of the Library and Archives Canada (verification of 28 May 2004);
 

MAURO, Christina,  La responsabilité pénale des groupements dans l'espace international, thèse de doctorat, droit public, Paris 2, 1999, 2 volumes (539 p.); directeur de thèse: Fouchard, Philippe (1937-2004); titre noté dans mes recherches mais thèse non consulté; aucune copie dans les bibliothèques canadiennes comprises dans le catalogue AMICUS (vérification du 15 juillet 2004);

"Résumé :

Le droit pénal est directement sollicité par le développement de l'activité criminelle internationale des groupements privés de personnes physiques ou morales.  Il est donc nécessaire d'étudier dans quelle mesure le droit pénal international et le droit international pénal reconnaissent et mettent en oeuvre la responsabilité pénale, au sens large, des groupements dans l'espace international.  Plusieurs principes permettent de déclarer la responsabilité pénale des personnes morales pour des infractions contenant un élément d'extranéité, notamment les principes de la territoralité et de la compétence personnelle active.  Leur application repose sur l'analyse de l'incidence de la notion de nationalité des personnes morales en droit pénal international.  Les dispositions du Code pénal ne permettent cependant pas de déclarer la responsabilité pénale du groupe de sociétés en tant que tel en raison du principe de l'autonomie juridique des sociétés du groupe.  Toutefois, la reconnaissance des liens intra-groupe par le droit pénal est possible et elle permettrait d'étendre la responsabilité dans les groupes de sociétés.  Pareille reconnaissance a déjà lieu dans le droit communautaire de la concurrence.  Plus généralement, l'évolution du droit européen des droits de l'homme, le développement de la coopération entre États et la perspective de l'unification de l'espace pénal européen démontrent que les groupements peuvent être des sujets du droit européen en matière pénale, malgré les différences entre les législations européennes.  À l'échelle de la communauté internationale dans son ensemble, il est plus difficile pour les États de trouver des terrains d'entente.  Reste que la diversification des moyens de prévention et de répression de la criminalité économique transfrontière, ainsi que le développement d'instruments internationaux prenant spécialement en considération les personnes morales, témoignent d'une évolution possible de la situation actuelle." (source: catalogue Abès)

MAXWELL, Seth, "The Foreign Corrupt Practices Act and Other Arguments Against a Due Diligence Defense to Corporate Criminal Liability", (1981-82) 29 University of California at Los Angeles [UCLA] Law Review 447-503;
 

MAY, Larry, The Morality of Groups, Notre Dame: Notre Dame University Press, 1987, xii, 200 p., (series; Soundings; Notre Dame University; volume 1), ISBN: 0268013667, copy at Carleton University, HM216.M315;

"Contents

Introduction...1

1. The Nature of Social Groups...9

- Against the Existence of Social Groups...11
- For the Existence of Social Groups...18
- The Middle Position...24

2. Collective Action

- Mob Action...33
- Corporations and Vicarious Agency...41
- Apparent Authority and Informal Associations...48

3. Collective Intent...58

- The Intentions of Mobs...48
- Corporate Intent and Decision Procedures...65

4. Collective Responsibility...73

- Mobs and Collective Responsibility...73
- Corporate Responsibility
- Corporate Criminality...89
- Distrurbing Responsibility in Mobs...106

5. Common Interests and Group Rights...112

- The Common Interests of Ethnic Groups...112
- Corporate Interests...120
- Corporate Property Rights...125

6. Harming Groups...135

- Sexual Stereotypes and Group Harm...135
- Corporate Harms and Free Speech Rights...144

7 Justice for Groups...156

- Class Action Suits and Rights Conflicts...157
- Organized Groups and Disadvantaged Individuals...174

Conclusion...179

Notes...183

Index...197...197" (pp. vii-viii)

___________"Vicarious Agency and Corporate Responsibility", (1983) 43 Philosophical Studies 69-82; copy at Ottawa University, B 21 .P53  Location: MRT Periodicals;

"I will contend that corporations have the peculiar property of only being able to act vicariously.  In virtue of this fact the fiction that corporations are full-fledged moral and legal agents should not be sustained.  Instead corporations should be given a distinct moral or legal status of their own, where they have to satisfy special conditions before they can be held liable or responsible.  In the first part of this paper I will set out my reasons for indentifying corporate agency with vicarious agency; and in the second part of this paper I will discuss the moral and legal implications of this view by considering one model of corporate responsibility which does justice to the peculiar metaphysical properties of these corporations." (p. 69)

MAYER, Carl J., "Personalizing the Impersonal: Corporations and the Bill of Rights", (1989-90) 41 Hastings Law Journal 577-667;

[Contents]

[Introduction]...577

I. The Corporate Bill of Rights in the Modern Political Economy...579

A. The Rise of Corporate Theory...579
B. The Bill of Rights and an Evolving Political Economy...582

(1) Progressive Era Regulation...583

a. The Political Economy...583
b. The Corporate Legal Response...588

(2) New Deal Regulation...593

a. The Political Economy...593
b. The Corporate Legal Response...597

(3) Modern Regulation...601

a. The Political Economy...601
b. The Corporate Legal Response...605

i.  The Fourth Amendment...606
ii. The First Amendment...611
iii. The Fifth Amendment...618

II. The Demise of Corporate Theory...620

A. The progressive and New Deal Periods: Personhood Theory...621

(1) The Fifth Amendment: Artificial Entities...621
(2) The Fourth Amendment: Artificial v. Natural...624
(3) The First Amendment: Artificial v. Natural...627

B.  The Modern Period: The Demise of Corporate Theory...629

(1) The Fourth Amendment: Commercial Property...629
(2) The First Amendment: Serving the Free Market...633
(3) The Fifth Amendment: In Search of a Theory...634
(4) Corporate Theory: Critical of Corporate Rights...637

C. From Theory to Pragmatism...639

(1) The Realist and Institutionalist Legacy...639
(2) Current Crises in Corporate Theory...641
(3) Intangible Rights: The Strain on Personhood...643
(4) Judicial Legitimacy: The Specter of Lochner...645
(5) Corporate Legitimacy: The National Debate...647

III. Corporations and the Bill of Rights: The Future...651

A. The Onslaught of Corporate Rights...651
B. Challenges to a Corporate Bill of Rights...652

(1) Particularized Critiques: The First Amendment...652
(2) Generalized Critiques...655

a. The Intuitive Approach...655
b. Tyranny of the Minority: Managerial Power...656
c. Personhood and Modern Constitutional Theory...657
d. The Zero-Sum Game...658

C. A Constitutional Amendment...660

Conclusion...661
Appendix 1: The Corporation's Bill of Rights...664
Appendix II: Other Corporate Rights under the Constitution....666

MAYER, D., "Essai d'analyse de la responsabilité pénale des personnes morales à partir de la conception fonctionnelle des sociétés commerciales adoptée par Michel Jeantin, dans Prospectives du droit économique : dialogues avec Michel Jeantin.  Mélanges Michel Jeantin, Paris : Dalloz, 1999, xx, 502 p., aux 291 à approx. 296, ISBN:  2247030637; 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 la Bibliothèque nationale du Canada; copie à l'Université Laval, KJV 5545.8 P966 1999;
 

MAYS, Richard, "The criminal liability of corporations and Scots law: the lessons of Anglo-American jurisprudence", (2000) 4(1) The Edinburgh Law Review 46-73; title noted in my research but article not consulted; the verification of the AMICUS catalogue of Library and Archives Canada indicates that there is no copy of this periodical in the Canadian libraries covered by the catalogue (28 May 2004);

"[Abstract]  Corporate illegality has not yet been perceived as a major social ill in Scotland. Nevertheless, the proliferation of the corporate form in the modern era has expanded the scope of, and potential for, behaviour damaging to the wider community. It is the contention of this article that Scotland, in response to the social, economic and physical dangers of corporate crime, requires a properly constructed framework of corporate criminal liability based on ideas drawn from Anglo-American jurisprudence.  A proposal for such a framework is put forward and explained." (source:  Corporate illegality has not yet been perceived as a major social ill in Scotland. Nevertheless, the proliferation of the corporate form in the modern era has, accessed on 28 May 2004)

McADAMS, John B., "The Appropriate Sanctions for Corporate Criminal Liability: An Eclectic Alternative", (1977-78) 46 University of Cincinnati Law Review 989-1000; copy at Ottawa University, KFO 69 .U54  Location: FTX Periodicals;

[CONTENTS]

I  PREFACE...989

II ANALYTICAL FRAMEWORK...990

A. Historical Introduction to Corporate Criminal Liability...990
B. Justification for Corporate Punishment...992

III  ANALYSIS OF ALTERNATIVE SANCTIONS FOR CORPORATE LIABILITY...992

A. Fines...993
B. Disgorgement of Illegal Profits...997
C. Prosecution of Corporate Officials Responsible for Criminal Activity...999

IV CONCLUSION...1000

McADAMS, Tony and C. Burk Tower, "Personal Accountability in the Corporate Sector", (1978-79) 16 American Business Law Journal 67-82; copy at Ottawa University, KF 872 .A425  Location: FTX Periodicals;
 

McCALLUM, Leslie, 1969-, Canadian companies guide to the Sarbanes-Oxley Act, Markham (Ontario): LexisNexis Butterworths, 2004, x, 191 p., ISBN: 0433444126; not consulted yet (17 January 2005);
 

McCHESNEY, Fred S., Comment, "Desparately Shunning Science?", (1991) 71 Boston University Law Review 281-289;
 

McCOLGAN, A., "The Law Commission Consultation Document on Involuntary Manslaughter -- Heralding Corporate Liability?", [1994] Criminal Law Review 547-557;
 

McCONVILL, James and Mirko Bagaric, "Criminal responsibility based on complicity among corporate officers", (2004) 16(2) Australian Journal of Corporate
Law 172-185; note: periodical from the University of Canberra. Centre for National Corporate Law Research ; title noted in my research but article not
consulted; no copy of this periodical in the Ottawa area libraries covered by the AMICUS catalogue of Library and Archives Canada (verification of 26 November 2004);
 

McGRANE, Richard J., and Ian M. Gault, "Corporate Manslaughter in Major Disasters", (1991) 2 International Company and Commercial Law Review166; published by London, UK : Sweet & Maxwell; ISSN: 0958-5214;  title noted in my research but article not consulted; no copy of this periodical in the librairies covered by the AMICUS catalogue of Library and Archives Canada (verification of 1 December 2004);
 

McGRAW, W.D., Criminal liability of officers of a corporation for corporate acts, thesis (B.L.), University of Wisconsin, 1908; deals with criminal liability of corporations notwithstanding title; title noted in my research but thesis not consulted; no copy of this research document in the Canadain libraries covered by the AMICUS catalogue of the Library and Archives Canada (verification of 24 July 2004);
 

MERCADAL, Barthélémy, "Rapport introductif:  La responsabilité pénale des personnes morales/Introductive Report: Criminal Liability and Legal Entities" (1995) 5  Revue de droit des affaires internationales 541-561, suivi par /followed by "Débats / Discussion" aux pp. 562-591; notes: textes en français et anglais; texts in French and English on French law; copie à l'Université d'Ottawa, K 7340 .A13 R489  Location: FTX Periodicals; copie à la Bibliothèque de la Cour suprême du Canada;
 

___________"La responsabilité pénale des personnes morales et celles des personnes physiques auteurs ou complices des mêmes faits", (1994) Revue de jurisprudence de droit des affaires 375; titre noté dans mes recherches mais article non consulté; aucune copie de ce périodique au Canada selon ma vérification du Catalogue AMICUS de Bibliothèque et Archives Canada (1^er octobre 2004);
 

MERLE,  Roger, 1922-,  et André Vitu, Traité de droit criminel -  t. 1. Problèmes généraux de la science criminelle; Droit pénal général, 7e éd., Paris: Editions Cujas, 1997, 1068 p., voir "L'imputabilité des personnes morales", aux pp. 804-819; copie à l'Université d'Ottawa, FTX General, KJV 7979 .M47 1997  v.1;

[TABLE DES MATIÈRES

CHAPITRE III --L'IMPUTABILITÉ DES PERSONNES MORALES

SECTION I  L'ÉVOLUTION DES IDÉES...804
Bibliographie...804

§ 1. -- L'ANCIEN DÉBAT DOCTRINAL

637. Les arguments en faveur de l'irresponsabilité pénale...805
638.  Les arguments favorables à la responsabilité pénale des personnes morales...806

§ 2. -- LES SOLUTIONS POSITIVES ANTÉRIEURES AU NOUVEAU CODE PÉNAL...807

639. Les solutions législatives...807
640. Les solutions jurisprudentielles...809

SECTION II -- LE MÉCANISME ACTUEL...810
Bibliographie...810
 

§1. -- CONDITIONS GÉNÉRALES D'APTITUDE DES PERSONNES
          MORALES À LA RESPONSABILITÉ PÉNALE

642.  La notion de personne morale apte à la responsabilité pénale...811

A. -- Les personnes morales de droit privé...811

B. -- Les personnes morales de droit public...812

C. -- Nécessité de la personnalité juridique...812

643.  Les infractions pouvant être reprochées aux personnes morales...813
644.  Les peines applicables aux personnes morales...814

§ 2. -- LES CONDITIONS PARTICULIÈRES D'APTITUDE DES PERSONNES
          MORALES À LA SANCTION...814

645.  Les avatars de la personnalité morale...814

A. -- Les liens unissant l'auteur ou le complice de l'infraction avec la
        personne morale...815

a) Le lien de représentation...815

646. Les organes ou représentants de la personne morale...815
647. Les dirigeants de fait, ou agissant irrégulièrement...816

b) Le lien d'intérêt collectif

648. Une infraction réalisée 'pour le compte' de la personne morale...817

B. -- L'infraction commise par le représentant de la personne morale...818

649. L'infraction imputable à la personne morale...818
650. L'infraction imputable à la personne physique...818

§ 3. -- CONDITIONS DE PROCÉDURE...819

651. La procédure applicable aux personnes morales...819

MESSINNE, Jules, "Propos provisoires sur un texte curieux: la loi du 4 mai 1999 instituant la responsabilité des personnes morales", (2000) 80(6) Revue de droit pénal et de criminologie 637-659; copie à l'Université d'Ottawa, FTX Périodiques, K 21 .D725  Location: FTX Periodicals;
 

___________"La responsabilité pénale des personnes morales en droit belge au regard de la protection des intérêts financiers des Communautés européennes" dans Gilles de Kerchove et Anne Weyembergh, éds., Vers un espace judiciaire pénal européen = Towards a European judicial criminal area, Bruxelles: Institut d'études européennes, Université de Bruxelles, 2000, xiii, 373 p., aux pp. 277-291, (Collection; Collection "Études européenes" (Université libre de Bruxelles. Institut d'études européennes)), ISBN: 2800412488; copie à l'Université d'Ottawa, FTX General: KJC 9430 .V47 2000;

[Table des matières]

1. Introduction...277

2. Le cheminement parlementaire...279

3. L'anthropomorphisme...280

4. Les exclusions...282

5. Les conditions de la responsabilité de la personne morale et des personnes physiques...284

6. Quelques observations...288

7. Conclusion...290
 

___________"Rapport de M. Mestre à la Société des prisons et discussion", (1920) Revue pénitentiaire 238; titre noté dans mes recherches mais article non consulté; aucune copie de ce numéro de périodique dans les bibliothèques de la région d'Ottawa;
 

METZGER, Michael B., "Corporate Criminal Liability for Defective Products: Policies, Problems and Prospects", (1984) 73 The Georgetown Law Journal 1-88; with the same title in Leonard Orland, ed., Corporate and White Collar Crime: An Anthology, [Cincinnati, Ohio]: Anderson Publishing, 1995, xiii, 438 p., ISBN: 0870848704;

[Contents]

INTRODUCTION...1

I.  THE CRIMINAL SANCTION...6

A. UTILITARIAN THEORIES...7
B.  RETRIBUTION THEORIES...10

II. THE NATURE OF CORPORATE DECISION MAKING...12

A. THE RATIONAL-ACTOR THEORY...13

1. Human Limitations...16
2. Organizational Norms...18
3. Organizational Structure...20

B. THE ORGANIZATIONAL-PROCESS MODEL...23
C. BUREAUCRATIC-POLITICS MODEL...25

III. PUNITIVE DAMAGES IN PRODUCTS LIABILITY CASES...27

IV. THE CRIMINAL SANCTIONS IN THE CORPORATE CONTEXT...47

A. THE EVOLUTION OF CORPORATE CRIMINAL LIABILITY...47
B. INDIVIDUAL CRIMINAL LIABIABILITY IN THE CORPORATE CONTEXT...53
C.  THE EFFICACITY AND DESIRABILITY OF CORPORATE CRIMINAL LIABILITY...62

V. THE DESIRED DIMENSIONS OF CRIMINAL PRODUCTS LIABILITY...74

CONCLUSION...86

METZGER, Michael B. and Dan R. Dalton, "Seeing the Elephant: An Organizational Perspective on Corporate Moral Agency", (1995-96) 33 American Business Law Journal 489-576; copy at Ottawa University, KF 872 .A425  Location: FTX Periodicals; important philosophical contribution;

[CONTENTS]

INTRODUCTION...489

LEGAL OICTURES OF THE CORPORATION...494

- What Is It?...494
- How Can We Make It Behave?...498

PHILOSOPHICAL PICTURES OF THE CORPORATION...510

- The Opponents of Corporate Moral Agency...510
- The Proponents of Corporate Moral Agency...527

AN ORGANIZATIONAL PICTURE OF THE CORPORATION...538

- Is It Really a Rational Actor?...538
- Alternative Models of the Firm...546

- The Bureaucratic Politics Model...547
- The Organizational Process Model...549

- Selecting the Right Model...551

IMPLICATIONS OF THE ORGANIZATIONAL PERSPECTIVE...554

- Theories of the Corporation...554
- Corporate Moral Agency...555

-Viewing the Ethicists' Views...555
- Warnock and the Object of Moral Evaluation...557
- Are Corporations Warnokian "Rarional Beings"?...560
- Corporate Culpability...569
- Business Ethics Instruction...574

CONCLUSION...576

MEYER, Edward E., The police power over corporations, Thesis (LL. M.), Yale Law School, 1909, xiii, 11 leaves; microform, [Buffalo, N.Y.] : Hein, [1996] 1 fiche, Hein's legal theses and dissertations ; v. 004-00347); copy at Ottawa University, Faculty of Law Library, K 46 .H44 v.004-00347 1909a;.
 

MEYER, Jürgen, "Criminal Responsibilities of Legal and Collective Entities   Comments on Developments 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.129-134 (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);
 

MEYER, William H., "Activism and Research on TNCs and Human Rights: Building a New International Normative Regime",  in Jedrej George Frynas and Scott Pegg, eds., Transnational Corporations and Human Rights, Houndmills, Basingstoke (New Hampshire)/New York : PALGRAVE MACMILLAN, c2003, xiv, 223 p., at pp. 33-52, ISBN: 0333987993; copy at Ottawa University, FTX General, HD 2755.5 .T64745 2003;

[Contents]

Introduction...33

Research...33

The politics of compliance monitoring and full disclosure...36

A regime for TNCs and human rights: a role for the WTO?...41

The next steps for research...48

Notes...51

References...51

MICHAELS, Alan C., "Fastow and Arthur Andersen: Some Reflections on Corporate Criminality, Victim Status, and Retribution", (2004) 2(1) Ohio State Journal of Criminal Law 551-571; available at  http://moritzlaw.osu.edu/osjcl/issue2_articles/Michaels.pdf (accessed on 5 September 2004);
 

MICHOUD, Léon, 1855-1916, "Responsabilité de l'État", (mai-juin 1895), Revue du droit public et de la science politique en France et à l'étranger,  tome III, circa p. 408;  titre noté dans mes recherches mais article non consulté; aucun copie de ce numéro de volume dans les bibliothèques de la région d'Ottawa;
 

MICHOUD, Léon, 1855-1916, et Louis Trotabas, La théorie de la personnalité morale et son application au droit français, 2e éd. mise au courant de la législation, de la doctrine et de la doctrine et de la jurisprudence, par Louis Trotabas, Paris : Librairie générale de droit & de jurisprudence,1924, 2 volumes (iv, 513 p.; vol. 1)  (527 p.; vol. 2); voir en particulier, "Responsabilité pénale des personnes morales", aux pp. 246-258; contribution importante au sujet; notes: Comprend des références bibliographiques. 1. ptie. Notion de personnalité morale, classification et création des personnes morales.-  2. ptie. La vie des personnes morales, leur suppression et ses conséquences; copie à la Bibliothèque de la Cour suprême du Canada, KJV584 M53 1924, et à l'Université d'Ottawa, KJV584 M53 1924;
 

MIESTER, Donald J., Comments, "Criminal Liability for Corporations That Kill", (1990) 64 Tulane Law Review 919-948; copy at Ottawa University, KFL 69 .S69  Location: FTX Periodicals;

[Table of Contents]

I.  INTRODUCTION...919

II. THE HISTORY OF LIABILITY FOR CORPORATE KILLERS...923

A. Origins of Corporate Criminal Liability...923
B. Early Attempts to Prosecute Corporations for Homicide...925
C. The Modern Era: Ford Motor Co. and Beyond...927

1. State v. Ford Motor Co.: "Pinto Leaves You With That Warm Feeling"...927
2. Beyond Ford Motor...929

III. SANCTIONING CORPORATE KILLERS...930

A. Should Corporations Be Sanctioned at All?...930
B. The Efficacy of Corporate Penalties...932

1. Fines...932

a. Cash Fines...932
b. Equity Fines...934
c. Pass-Through Fines...939

2. Probation...939
3. Adverse Publicity...942
4. Redress Facilitation...946
5.  Putting the Corporation in Jail...946
6.  The Death Penalty...947

IV. CONCLUSION...947

MILIEU ENVIRONMENTAL LAW & POLICY, Study of Crminal Penalties in a Few Candidate Countries' Environmental Law -- Final Report, vol 1, Consolidated Report, Brussells: Milieu Ltd., 6 October 2003, 216 p.; notes: For the European Commission (DG Environment) Contract No. B4-3040/2002/342084/MAR/A3; covers: Czech Republic, Hungary, Lituania, Poland and Slovakia; available at  http://europa.eu.int/comm/environment/crime/criminal_penalties_candidate_countries_vol1.pdf (accessed on 8 January 2005); see also vol. 2 and the executive summary at  http://europa.eu.int/comm/environment/crime/#studies;
 

MILITELLO, Vincenzo, "The Basis for Criminal Responsibility of Collective Entities in Italy",  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. 181-187 (series: Beiträge und Materialien aus dem Max-Planck-Institut für Ausländisches und Internationales Strafrecht Freiburg i. Br.; Bd. S 78),  ISBN:  3861139421; available at http://www.iuscrim.mpg.de/verlag/online/Band_S78/8-SUBJN-3a.pdf  (accessed on 13 December 2003);
 

MILLER, "Corporate Criminal Liability: A Principle Extended to Its Limits", (1979) 38 Federal Bar Journal 49;  title noted in my research, no copy of this periodical in the Ottawa area according to my verification of the AMICUS catalogue on 13 March 2004;
 

MILLER, Emmett H., "Federal Sentencing Guidelines for Organizational Defendants" (1993) 46 Vanderbilt Law Review 197-234;

[Table of Contents]

"I.  INTRODUCTION...198

II. BACKGROUND...198

A. Past Legal Approaches to Organizational Sanctions...199

1. Organizational Sanctions Prior to the Sentencing Reform Act of 1984...200
2. The Sentencing Reform Act of 1984 and Beyond...201

B. Theories of Organizational Sanctions...203

1. The Neo-Classical Economics Approach...203

2.  The Organization Theory Approach...206

a. Arguments That Fines Generally Are Ineffective...206
b. Arguments That Organizations Are Not Always profit Maximizers...208
c. Arguments That Organizations Are Not Always Rational...209

III. THE WORK OF THE UNITED STATES SENTENCING COMMISSION...211

A. Prior Draft Proposals of Sentencing Guidelines for Organizational Defendants...212
B. The 1991 Sentencing Guidelines for Orgamizational Defendants...218

1. Remedying Harm from the Offense...218
2. Fines...219
3. Probation...223

IV. ANALYSIS...224

A. Why Sentencing Guidelines for Organizations?...225
B. Assessment of Guidelines Pertaining to Monetary Sanctions...226
C. Assessment of Guidelines Pertaining to Probation...232

V. PROPOSED AMENDMENTS...233

VI. CONCLUSION...234"   (pp. 197-198)

MILLER, Jeremy M., "Mens Rea Quagmire: The Conscience or Consciousness of the Criminal Law", (2001-2002) 29 Western State University Law Review 21-56, and see "A Thirteenth Quagmire: Can a Corporation Commit a Crime?", at pp. 49-50;
 

MILLER, Samuel R. and Lawrence C. Levine, "Recent Developments in Corporate Criminal Liability", (1984) 24 Santa Clara Law Review 41-51;

[Contents]

[INTRODUCTION]...41

I.  RECENT CASES AND THE GENERAL PRINCIPLES...42

II.  COMPANY POLICIES, COMPLIANCE PROGRAMS AND
      A "DUE DILIGENCE" DEFENSE...43

III. CRIMINAL LIABILITY OF DISOLVED CORPORATIONS
      AND THEIR SUCCESSORS...46

IV. PROBATION AND FINES...47

V. CONSPIRACY AND THE RICO ENTERPRISE...49

VI.  CONCLUSION...51
 

MILWARD, Simon, HUGLO LEPAGE & Partners, "Background Information on National Legal Systems: United Kingdom", in HUGLO LEPAGE, Associés conseils, ed., Criminal Penalties in EU Member States’ environmental law, Final Report, 15 September 2003, 988 p., at pp. 130-151, 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);

[United Kingdom]
"In UK criminal law, bodies corporate can be tried and sentenced similarly to natural persons.  Any director, manager, secretary or other similar officer of a corporate body can be prosecuted personally if the offence is committed with their consent or connivance, or is attributable to neglect. However, criminal liability for legal persons requires express provision to this effect in the relevant legislation (see tables in section II). In such cases, the penalties available to courts do not include custodial or community sentences.

In many cases the legislation will contain provision for a senior company officer to be tried alongside the body corporate (e.g. the Environmental Protection Act – see the next section). In order to choose whether to try legal persons, natural persons or both, the court, after initial consideration of the offences, will determine which people’s actions fall under vicarious liability (i.e. apply to individuals acting in the ordinary course of employment), in which case they are attributed to the company, and which peoples actions merit trial as individuals. It is possible that both a company and individuals from that company will be tried in which case they would be prosecuted simultaneously.

Where an offence results from a company’s activities, the two main prosecutors in environmental cases – the Environment Agency for England and Wales and the Scottish Environmental Protection Agency (SEPA) for Scotland – both state that if there has been one person with sufficient power and responsibility to direct corporate strategy alone then they will consider reporting those individuals for prosecution. However, in reality, directors, as individuals, are seldom prosecuted under environmental legislation and normal policy is to take action against a company in which case the company will bear the costs of any fines, compensation orders or other sanctions that may be applied." ( p. 131)

MINKES John P. and A.L" Minkes, "The criminology of the corporation", (2000) 26(2) Journal of General Management 1- 16; copy at Ottawa University, HG 1 .J657  Location: MRT Periodicals;
 

MIQUELON, Miriam, "Dispositions in Criminal Prosecutions of Business Organizations", (May 2003) 51(3) The United States Attorneys Bulletin 33-36; available at  http://www.usdoj.gov/usao/eousa/foia_reading_room/usab5103.pdf (accessed on 18 May 2004);
 

MITCHELL, E., "A theory of corporate will", (1945) 56 Ethics 96-105; no copy of this particular volume at Ottawa University, MRT;  article not consulted;
 

MITSILEGAS,Valsamis, 1971-, Money laundering counter-measures in the European Union : a new paradigm of security governance versus fundamental legal principles, The Hague: New York : Kluwer Law International, c2003, xiii, 207 p., see "Liability of legal persons" at pp. 120-123 (series; European business law & practice series; v. 20), ISBN: 9041121315; copy at Ottawa University, FTX General: KJE 7475 .M47 2003;
 

MOHAMED EL SAYED, Kamal Eldin, 1954-, Le Problème de la responsabilité pénale des personnes morales, Th. : Droit privé : Paris 1 : 1988, 2 volumes, 651 pages; titre noté dans mes recherches mais thèse non consultée; aucune copie de ce document dans les bibliothèques comprises dans le catalogue AMICUS de Bibliothèque et Archives Canada (28 mai 2004);
 

MÖHRENSCHLAGER, Manfred, "Developments on the International Level", 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. 89-103 (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); important contribution;
 

MOKHIBER, Russell, "Top 100 Criminal Corporate Criminals of the Decade", web site at  http://www.corporatepredators.org/top100.html (accessed on 11 December 2003);

"The 100 corporate criminals fell into 14 categories of crime: Environmental (38), antitrust (20), fraud (13), campaign finance (7), food and drug (6), financial crimes (4), false statements (3), illegal exports (3), illegal boycott (1), worker death (1), bribery (1), obstruction of justice (1) public corruption (1), and tax evasion (1)."

MOMMAERT, Raymond et Niko Gunsburg, voir supra, Gunsburg, Niko et Raymond Mommaert;
 

MOMMSEN, Théodore, Le droit pénal romain, 3 tomes, traduction de J. Duquesne, Collection "Manuel des antiquités romaines", vol. XVII-XIX, Paris, Fontemoing, 1907, xvi, 401 (t. 1), 443 (t. 2 ), et 420 p. (t. 3);

Communautés.
4.  Sont aussi exclus du droit pénal les sujets de droit pour lesquels la question de moralité ne se pose pas.  Cette règle s'applique à toute communauté de plusieurs personnes(2), même quand l'État leur a accordé la capacité d'accomplir des actes juridiques.  L'acte, qui au point de vue du droit du patrimoine est regardé comme celui de la corporation, est considéré, au point de vue moral et par conséquent au point de vue du droit pénal, comme l'acte des individus qui y ont concouru, et la peine éventuellement encourue à raison du dol ou de la violence les atteint seuls(3). ....
----
...
(2) Quand des notions délictuelles sont appliquées à une communauté, quand par exemple l'insurrection est considérée comme une vis du populus (Dig., 4, 2, 9, 1), le mot populus n'est qu'une désignation abrégée du plus ou moins grand nombre d'insurgés.  Le droit pénal ne connaît que des citoyens insurgés, mais pas de cité insurgée.

(3) Dig., 4, 3, 15, 1: an in municipes de dolo detur actio dubitatur; et puto ex suo quidem dolo non posse dari; quid enim municipes dolo facere possunt? ... de dolo autem decurionum in ipsos decuriones dabitur de dolo actio.  On agit aussi dans ce cas contre les curiales; une punition de la curie elle-même est contraire au droit, ainsi que l'exprime, par exemple, Majorien, Nov., 7, 11: numquam curiae a provinciarum rectoribus generali condemnatione multentur, cum utique hoc et aequitas suadeat et regula juris antiqui (qui à vrai dire ne concerne pas cette question), ut noxa tantum caput sequatur ne propter unius fortasse delictum alii dispendiis adfligentur." (p. 81)

MOOHR, Geraldine Szott, "An Enron Lesson: The Modest Role of Criminal Law in Preventing Corporate Crime", (2003) 55(4) Florida Law Review 937-975; copy at Ottawa University, KFF 69 .F45  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada, Ottawa;

"[Contents]

I.  THE CRIMINAL LAW LANDSCAPE BEFORE AND AFTER THE SABANES-OXLEY ACT...940

A. Mail and Wire Fraud...943

1. Mail Fraud Before the Sarbanes-Oxley Act...944
2. Mail Fraud After the Sarbanes-Oxley Act...945

B. Securities Fraud...946

1. Insider Trading Before the Sarbanes-Oxley Act...946
2. Insider Trading After the Sarbanes-Oxley Act...948

C. Obstruction of Justice...948

1. Obstruction of Justice Before the Sarbanes-Oxley Act...949
2. Obstruction of Justice After the Sarbanes-Oxley Act...949

D. Sarbanes-Oxley's New Obligations...951

II. AN EVALUATION OF SABANES-OXLEY'S CRIMINAL PROVISIONS...952

A. Substantive Criminal Laws and Enforcement...953
B. The Penalty Provisions...954

III. USING CRIMINAL LAW TO ENCOURAGE LAW-ABIDING BUSINESS CONDUCT...956

A. A Conscious Choice to Obey the Law...956

1. A More Complete Rational Choice Model...956
2. An Impediment from White Collar Crime...959

B. An Unconscious Instinct to Obey the Law...961

1. The Limitations of the Social Norm Model...962
2. The Influence of Subgroups...963

C. The Enron Experience...965

IV. A COMPREHENSIVE APPROACH TO ENCOURAGE LAWFUL BUSINESS CONDUCT...966

A. Market Incentives and Private Actions...968
B. Government Administrative Actions...972
C. A Modest Role for Criminal Law...973

V. CONCLUSION...975" (pp. 937-938)

___________"Prosecutorial Power in an Adversarial System: Lessons from Current White Collar Cases", (2004) 8(1) Buffalo Criminal Law Review 165-220, 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);
 

MOORE, Jennifer, "Corporate Culpability Under the Federal Sentencing Guidelines", (1992) 34 Arizona Law Review 743-797; copy at Ottawa University, KFA 2469 .A739  Location: FTX Periodicals;

"TABLE OF CONTENTS

INTRODUCTION...744

I. CULPABILITY AND THE CRIMINAL LAW...746

A. Culpability at the Trial Stage...747
B. Culpability at the Sentencing Stage...750
C. Corporate Culpability...753

II. CONCEPTUALIZING CORPORATE CULPABILITY...757

A. Respondeat Superior...758

1. Problems of Overinclusiveness...759
2. Problems of Underinclusiveness...762

B. The Model Penal Code...764
C. The Corporate Character Theory...767

1. Contours of the Corporate  Character Theory...768
2.  Municipality Liability Under § 1983...773
3. Implemementing the Corporate Character Theory...777

III. THE CORPORATE CHARACTER THEORY AND THE FEDERAL
      SENTENCING GUIDELINES...779

A.  The Use of Culpability in the Organizational Sentencing Guidelines...780
B. The Organizational Guidelines and the Corporate Character Theory...785

1. Participation of High Managerial Officials...785
2. Prior History...787
3.  Obstruction of Justice and Cooperation with Authorities...789
4. Program to Prevent and Detect Violations of the Law...790

C. Corporate Culpability and the Aims of Corporate Criminal Law...792

1. Retribution / Just Deserts...793
2.  Incapacitation and Rehabilitation...794
3. Deterrence...795

CONCLUSION...796" (p. 744)

MONGALO, Tshepo, "The emergence of corporate governance as a fundamental research topic in South Africa", (2003) 120(1) The South African Law Journal 173-191;
 

MONTEALEGRE LYNETT, Eduardo, "Rapport belge [La responsabilité pénale des personnes morales] dans, sous la direction de Travaux de l'Association Henri Capitant des amis de la culture juridique française [du 15 au 18 mars 1999 au Panama], La responsabilité.  Aspects nouveaux (Journées panaméennes), Paris : Librairie Générale de Droit et de Jurisprudence, 2003, xxiv, 814 p., aux pp. 733-738 (Collection; travaux des journées internationales; tome 50; année 1999), ISBN: 2275022864; copie à la Bibliothèque de la Cour suprême du Canada, Ottawa, K555 T73 t. 50;

[Table des matières]

I. -- La responsabilité pénale limitée des personnes morales dans le régime
       juridique pénal columbien...733

II. -- Destinataires de la réglementation pénal...734

III. -- Les personnes morales et le droit administratif sanctionnant...735

IV. -- Mécanisme d'imputation de la responsabilité...736

V. -- Responsabilité pénale des personnes physiques de droit public...736

VI. -- Relations avecla pénalité des personnes physiques...737

VII. -- Groupement de sociétés et responsabilité pénale...737

VIII. -- Sanctions pénales applicables aux personnes morales...737

IX. -- Dispositions relatives aux procès...738
 

"Le chapitre 2 aborde la question de la responsabilité pénale des personnes morales sous l'angle du droit comparé.  L'auteur a choisi d'analyser en premier lieu les pays de l'Union européenne ayant le plus d'incidence sur le droit espagnol, c'est-à-dire l'Allemagne (p. 102), la France (p. 110), l'Italie (p. 118), le Portugal (p. 125).  Puis elle examine les États-Unis et les pays de common lawqui ont façonné depuis longtemps un système de répression pénale des entreprises (p. 126).  Enfin, l'auteur termine son étude de droit comparé par les pays d'Amérique latine (p. 130), dans la mesure où ses [sic] pays sont historiquement liés à l'Espagne (Argentine, Colombie, Pérou, Venezuela, Brésilet Guatemala).  Les pays qui ne reconnaissent pas la responsabilité pénale des personnes morales ont tendance à remettre en question le principe 'societas delinquere non potest' de deux façons: soient ils développent le système des sanctions pénales administratives (Allemagne, Italie, Portugal), soit ils prévoient la responsabilité pénale des personnes morales dans des lois spéciales extérieures au code pénal relatives à la criminalité économique ou à la protection de l'environnement (pays d'Amérique latine et Portugal pour la criminalité économique).  L'auteur exprime cependant son regret de voir que la plupart de ces pays finissent par sanctionner les personnes morales au moyen d'une responsabilité objective, sans leur accorder toutes les garanties du droit pénal classique.  Dans les pays qui reconnaissent la responsabilité pénale des personnes morales (France, Pays-Bas et pays anglo-saxons), les discussions actuelles sont centrées autour de la question de l'imputabilité des personnes morales.  […]" (p. 750)

MOORE, Charles A., "Taming the Giant Corporation?  Some Cautionary Remarks on the Deterrability of Corporate Crime", (1987) 33(2) Crime & Delinquency 379-402; copy at Ottawa University, HV 6001 .N2  Location: MRT Periodicals;

"[Abstract] Conventional wisdom accords deterrence a prominent role in the control of corporate crime.  It is argued that current confidence in a deterrence strategy is unfounded, first, because it is based on an unrealistic view of corporate decision making and second, because it makes an overly optimistic appraisal of our legal system's capacity to control corporate conduct through punitive means.  It is further argued that efforts to increase the sanctions imposed on corporate offenders may produce unintended consequences that would increase, rather than lessem the victimization resulting from corporate wrongdoing. 'Penetrating' legal controls, such as incapacitation and rehabilitation, are proposed as preferable alternatives." (p. 379)

MORAN, Leslie J., "Corporate Criminal Capacity: Nostalgia for Representation", (1992) 1 Social and Legal Studies 371-391; copy at Ottawa University, K 202 .S63  Location: FTX Periodicals;

[Contents]

Introduction...371

Zeebrugge...372

Personality...373

Representation/Simulation...373

Corporality...375

Crinal Capacity...376

Nostalgia...379

The Herald of Free Entreprise...382

Conclusion...387

Notes...388

References...389
 

[Contents]

Introduction...156

Metaphor and the Anthropomorphic Imagination of Law...160

Anthropomorphic Metaphors and Criminal Capacity...164

The Corporate Mind...171

Conclusion...177

Notes...177

MOREAU, J., "La responsabilité pénale des personnes morales de droit public en droit français",  (11 décembre 1996) numéro spécial 149 Les Petites affiches 41-45; 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 bibliothèques de la région d'Ottawa comprises dans le catalogue AMICUS de Bibliothèque et Archives Canada (vérification du 24 juillet 2004);
 

MOREILLON Laurent, "La responsabilité pénale de l'entreprise", (1999) Revue pénale suisse 325-346; titre noté dans mes recherches; article non consulté; aucune copie de ce périodique (pour cette année-là) dans les bibliothèques répertoriées par le catalogue AMICUS (vérification du 7 janvier 2004);
 

MORETTI, Enrico, "The Sarbanes-Oxley Act of 2002", (2002) 5(2) Canadian International Lawyer 113-116; copy at the Library of the Supreme Court of Canada;
 

MORRIS, Norval, "Commentary: The Interplay Between Corporate Liability and The Liability of Corporate Officers", (1980-81) 1 Northern Illinois University Law Review 36-39; copy at the library of the Supreme Court of Canada, check catalogue;
 

MORSI, Wazir Abdelazim, "Égypte: Rapport national", (1983) 54(1-2) Revue internationale de droit pénal / International Review of Penal Law 179-213, voir "La responsabilité pénale de la personne morale", aux pp. 197-198 (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);
 

MOULOUNGUI, Clotaire, "L'élément moral dans la responsabilité pénale des personnes morales", (juillet-septembre 1994) Revue trimestrielle de droit commercial et de droit économique 441-454; copie à l'Université d'Ottawa, KJJ 0 .R492  Location: FTX Periodicals;

Sommaire

I  L'inutilité d'une délibération assimilable à une volonté criminelle...443

A. Le rejet de l'exigence d'une délibération ad hoc...444

1. La prépondérance concevable de la délibération...444
2. Les inconvénients de l'exigence d'une délibération...445

B. La sanction d'une politique génératrice du préjudice pénal...446

1. La politique d'entreprise fautive....446
2. Le souci de réparation du préjudice...447

II  La suffisance d'actes d'individus de l'état-major social...449

A. La présomption d'intérêt de la personne morale dans l'acte délicteux...449
B. La prise en compte de dirigeants non assimilables à la personne morale...451

Conclusion...454

___________"La nature de la responsabilité pénale des personnes morales en France", (1995) Revue de droit pénal et de criminologie 143-161; copie à l'Université d'Ottawa, K 21 .D725  Location:  FTX Periodicals;

[Introduction]...143

I. Le rejet apparent des caractères personnel et international de la responsabilité pénale...146

A. L'indifférence du défaut de volonté criminelle issue d'une délibération...146

1. L'unanimité scientifique sur l'exigence d'une délibération...146
2. Le risque d'échappement des infractions involontaires...148

B. L'imputation à la personne morale d'actes de dirigeants non assimilables à elle...149

1. Le refus d'une distinction entre organismes et représentants...149
2. La prise en compte des agissements des dirigeants de fait...151

II. Les raisons d'un recul des caractères personnel et intentionnel de la responsabilité pénale...152

A. La détermination contre le climat infractionnel des entreprises...152

1. La déduction de la faute sociale de l'existence du préjudice pénal...153
2. La neutralisation des avantages tirés de l'infraction...155

B. L'amélioration de la situation des victimes des personnes morales...157

1. L'expression de la sollicitude des rédacteurs du Code...157
2. La contribution indemnitaire de la matière pénale...158

[Conclusion]...161

MRAZEK, Joseph C., "Organizational Sentencing", (1995-96) 33 American Criminal Law Review 1065-1078, copy at the Library of the Supreme Court of Canada, Ottawa;

"[Table of Contents]

I. INTRODUCTION...1065

II. GUIDELINES PROVISIONS: OFFENSES COVERED AND SANCTIONS PERMITTED...1067

A. Remedial Measures...1068

B. Probation...1069

C. Imposition of Fines...1069

1. Base Offense Level...1070
2. Base Fine...1070
3. Culpability...1071

a. Calculation...1071
b. Corporate Cooperation...1072
c. Corporate Compliance Programs...1073

4. Multipliers...1076
5. Disgorgement...1077
6. Implementation...1077
7. Departures...1078

III. PROPOSED AMENDMENTS...1078" (p. 1065)

MUCHLINSKI, Peter, Multinational Enterprises and the Law, updated edition, Oxford and Cambridge(Mass): Blackwell Publishers, 1999, lxii, 674 p., ISBN: 0631216766; titre noté dans mes recherches mais livre non consulté; aucune copie de ce livre dans les bibliothèques de la région d'Ottawa selon ma vérification du catalogue AMICUS, le 28 décembre 2003; note: first edition in 1995;
 

MUELLER, "Advantages of the Department of Justice Proposal for Sentencing Organizations", (November/December 1990) 3 Federal Sentencing Reporter 130; title noted in my research but document not consulted; no copy in the Ottawa area libraries according to my verification of the AMICUS catalogue of Library and Archives Canada (28 May 2004);
 

MUELLER, Gerhard O.W., "Mens Rea and the Corporation: A Study of the Model Penal Code Position on Corporate Criminal Liability", (195758) 19 University of Pittsburgh Law Review 21-50; also published in Leonard Orland, ed., Corporate and White Collar Crime: An Anthology, [Cincinnati, Ohio]: Anderson Publishing, 1995, xiii, 438 p., ISBN: 0870848704;

[Contents]

INTRODUCTION...21

THE POSITION OF THE MODEL PENAL CODE -- ANOTHER LEAP WITHOUT A LOOK...24

CIVIL LAW OF CORPORATE CRIMINAL LIABILITY...28

France...29
Germany...31
Japan...32
The Philippines...33
Yugoslavia...35
Czechoslovakia...35

RECONCILING CORPORATE CRIMINAL LIABILITY AND MENS REA...38

APPENDIX -- LITTERATURE...48

Brief comments on articles listed under D...49

___________"Criminal Law and Administration", (1959) 34 New York University Law Review 83-116; see "Corporate Criminal Liability" at pp. 93-94; copy at Ottawa University, KFN 69 .N493  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada;
 

MUHONEN, "The Proposed Legislation for Criminal Liability of Enterprises in Finland", (1995) 6 International Company & Commercial Law Review 3; title noted in my research but article not consulted; no copy of this periodical in the libraries covered by the catalogue of the National Library of Ottawa, AMICUS (24 May 2004);
 

MUIR, I. A., "Tesco Supermarkets, Corporate Liability and Fault", (1972-73) 5 New Zealand University Law Review 357-372; copy at Ottawa University, KTC 0 .N493  Location: FTX Periodicals;
 

MUKASEY, Michael B., "Comment on Lynch",  (1997) 60 Law and Contemporary Problems 71-72; available at   http://www.law.duke.edu/shell/cite.pl?60+Law+&+Contemp.+Probs.+71+(Summer+1997) (accessed on 23 June 2004); note: in reply to LYNCH, Gerard E., supra;
 

MULLEN, Hugh Peter, 1917-, Development and rationale of corporate criminal liability, S.J.D. dissertation, New York University, 1951, 156 leaves; also available in the series: William S. Hein's & Co., Inc., Legal Theses and Dissertations Microfiche Project,  number 001-00257; copy at Ottawa University, FTX microfiche, K 46 .H44 v.001-00257 1951a on microform;

"CONTENTS

I  INTRODUCTION

II  DEVELOPMENT OF CORPORATE CRIMINAL LIABILITY...8

Procedural Aspects...8

Indictment...10
Appearance...14
Punishment...18

Substantivce Aspects...22

The Criminal Act...22
Criminal Intent: Mens Rea and Moral Culpability...23

III THE PRESENT LAW...40

IV  THEORIES OF CORPORATE CRIMINAL LIABILITY...99

Respondeat Superior...99
Superior Agent Doctrine...106
Punitive Damages Doctrine...108
Public Necessity Doctrine...109

V  FACTORS INVOLVED IN CORPORATE CRIMINAL LIABILITY...112

VI  RATIONALE OF CORPORAWE CRIMINAL LIABILITY...123

VII  RECOMMENDATIONS...138

BIBLIOGRAPHY...141

INDEX...152"

MURPHY, Diana E., "The Federal Sentencing Guidelines for Organizations: A Decade of Promoting Compliance and Ethics", (2002) 87 Iowa Law Review 697-719; available at  http://www.ussc.gov/corp/Murphy1.pdf (accessed on 16 December 2003);
 

MURPHY, Joseph E., 1948-, and Gregory Wallance, co-chairs, Corporate compliance : how to be a good citizen corporation through self-policing, New York: Practising Law Institute, c1996, 736 p. (series; Corporate law and practice course handbook series; no.B-943), ISBN: 087224251X; title noted in my research; book not consulted; no copy in the Ottawa area libraries according to my verification of the AMICUS catalogue (7 February 2004);
 

NAGEL, Ilene H., and Winthrop M. Swenson, "The Federal Sentencing Guidelines for Corporations: Their Development, Theoretical Undepinnings, and Some Thoughts About Their Future", (1993) 71 Washington University Law Quarterly 205-259; note: "Hodge O'Neal Corporate and Securities Law Symposium: Corporate Sentencing"; copy at Ottawa  University, KFM 7869 .W37  Location: FTX Periodicals;

[Contents]

I. INTRODUCTION...205

The Sentencing Reform Act and the Federal Sentencing Guidelines...206

II. QUESTION ONE: WHY DID THE COMMISSION VENTURE INTO THE
     THORNY AREA OF CORPORATE SENTENCING?...211

A. Statutory Guidance...213
B. Evidence that the Courts Lacked a Coherent Rationale for Sentencing
    Corporations...214

III. QUESTION TWO: HOW DID THE COMMISSION ARRIVE AT THE JUST
      PUNISHMENT AND DETERRENCE-RELATED PHILOSOPHIES THAT
      UNDERLIE THE CORPORATE SANCTIONS PROMULGATED TO CONGRESS?

A. The Search for 'Optimal Penalties'...217
B. No Safety in Numbers...222
C. Toward Practical Conceptualizations of Just Punishment and
    Deterrence...226

IV.  QUESTION THREE: HOW DID THE PRINCIPLES OF JUST PUNISHMENT
       (ORGANIZATIONAL CULPABILITY) AND DETERRENCE (CARROT AND
       STICK INCENTIVES) SHAPE THE FINE GUIDELINES WITH RESPECT TO
       KEY STRUCTURAL RULES ISSUES -- WHAT OTHER FACTORS PLAYED
       A ROLE?...228

A. Compromise...228
B. The Overall Framework of the Corporate Guidelines: A Structural Basis for
    the Fine Guidelines' Focus on Just Punishment and Deterrence...232
C. Vicarious Liability...234
D. Guidelines vs. Policy Statements...240
E. The Coordination of Individual and Corporate Penalties...244
F. The Coordination of Collateral Sanctions...245
G. The Size of the Corporation...248

V. QUESTION FOUR: ARE THE SENTENCING GUIDELINES FOR ORGANIZATIONS
     CAST IN STONE, OR CAN CHANGES BE EXPECTED?...251

A. The Corporate Guidelines as Evolutionary Law...251
B. The Development of Environmental Fine Guidelines...254

CONCLUSION...259

NAGEL, Trevor William, The Fine as a Sanction against Corporations, Thesis Law, University of Adelaide, Law School, 1979; title noted in my research but thesis not consulted; no copy of this document in the Canadian libraries covered by the National Library of Canada catalogue AMICUS (24 May 2004);
 

NATIONAL RESEARCH CENTRE FOR OHS REGULATION, web site, at  http://www.ohs.anu.edu.au/ (accessed on 29 May 2004);
 

NELKEN, David, ed., White-collar crime, Aldershot : Dartmouth, c1994, xv, 622 p. (series; The international library of criminology, criminal justice and penology), ISBN: 1855213761; copy at Ottawa University, HV 6768 .W439 1994 MRT;
 

NETHERLANDS, The Dutch Penal Code, Translated by Louise Rayar and Stafford Wadsworth in collaboration with Mona Cheung, Gudule Geelen, Marjolein Heesbeen, Maike de Lange, Gert Van Slik, and Jolien Zwarts, Revision by Hans Lensing, Instructions by Grat Van Den Heuvel and Hans Lensing, Littleton (Colorado): Rothman, 1997, xxiii, 277 p., (The American series of penal codes; vol. 30), ISBN: 0837700507; copy at the Library of the Supreme Court of Canada, K5001 A63 no. 30;

"Article 51

    1.  There are two categories of criminal offenders: natural persons and juristic persons.

    2.  Where a criminal offense is committed by a juristic person, criminal preceedings may be instituted and such penalties and measures as are prescribed by law, where applicable, may be imposed:

(1) against the juristic person; or
(2) against those who have ordered the commission of the criminal offense, and against those in control of such unlawful behavior; or
(3) against the persons mentioned under (1) and (2) jointly.

3.  In the application of the preceding sections, the following are deemed to be equivalent to juristic persons: a ship owning firm [rederij] and unincorporated associations, such as an unincorporated company (vennootschap zonder rechtspersoonlijkheid), a partnership (maatschap) and special funds.
[5-23-1990]"  (p. 78)

NEUMANN VU, Stacey, "Corporate Criminal Liability: Patchwork Verdicts and the Problem of Locating A Guilty Agent", (March 2004) 104(2) Columbia Law Review 459-495;

[Contents]

INTRODUCTION...459

I. CORPORATE CRIME AND GUILTY AGENTS...463

A. Criminal Pitfalls for Corporations...463
B. Problems of the Narrow Respondeat Superior
     Approach...467

II. THE COLLECTIVIST CONTOURS OF CORPORATE CRIMINAL
     LIABILITY...471

A. Facets of Corporate Criminal Law That Depart from Strict
     Respondeat Superior Liability...471

1. Actus Reus of Agents...471
2. Inconsistent Verdicts...472
3. Wilful Blindness...473
4. Collective Knowledge Doctrine...473

B. Safeguards Against Overbroad Application of Corporate
    Criminal Law...475

1. Intent to Benefit Employer Requirements...475
2. Prosecutorial Guidelines...476
3. Sentencing Guidelines...477

C. Toward a "Corporate Intent"...477

III. DUE PROCESS AND PATCHWORK VERDICTS...480

A. The Requirement of Substantial Factual Agreement...480
B. Agents as "Mere Means" of Corporate Crime...484

IV. UNANIMITY AND CORPORATE CRIMINAL LAW...486

A. Patchwork Verdict Instruction...486
B. Efficient Deterrence...487
C. Retribution...492
D. Corporate Intent and the Rule of Lenity...494

CONCLUSION...495

The new offence of corporate killing : implications for transport : full conference transcripts: 11th October 2000, The Marlborough Hotel, London,  London: Waterfront Conference Company, c2000, 90 p.; title noted in my research but book not consulted; no copy of this document in the Canadian libaries covered by the AMICUS catalogue of Library and Archives Canada catalogue AMICUS (24 May 2004);
 

NEZKUSIL, Jiri and Oldrich Suchy, "Czechoslovak Socialist Republic", (1983) 54(1-2) Revue internationale de droit pénal / International Review of Penal Law 731-741, see p. 737 (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; copy at Ottawa University, K 5012 .R47  Location: FTX Periodicals;
 

NIELSEN, Gorm Toftegaard, "Criminal Liability of Collective Entities -- The Danish Model",  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. 189-194 (series: Beiträge und Materialien aus dem Max-Planck-Institut für Ausländisches und Internationales Strafrecht Freiburg i. Br.; Bd. S 78),  ISBN:  3861139421; available at http://www.iuscrim.mpg.de/verlag/online/Band_S78/8-SUBJN-3a.pdf  (accessed on 13 December 2003);
 

___________"Procedural Law for Corporate Entities: A Danish View", 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. 321-329 (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_S78/12-SUBJN-5.pdf (accessed on 14 December 2003);
 

NIHOUL, Marc, "L'immunité pénale des collectivités publiques est-elle 'constitutionnellement correcte'?", (juin 2003) 83 Revue de droit pénal et de criminologie 799-839;

NIHOUL, Marc, sous la direction de, et la participation de Fabienne Kéfer, La responsabilité pénale des personnes morales en Belgique : une évalutation de la loi du 4 mai 1999 instaurant la responsabilité pénale des personnes morales en Belgique après cinq années d'application: actes de colloque, Namur, 6 mai 2004, Bruxelles: La Charte, 2005, 429 p., ISBN: 2874031216; titre noté dans mes recherches mais livre non consulté; aucune copie dans le catalogue AMICUS de Bibliothèque et Archives Canada (vérification du 13 juillet 2006);
 

NIJBOER, J.F., "A Plea for a Systematic Approach in Developing Criminal Procedural Law Concerning the Investigation, Prosecution and Adjudication of Corporate Entities",  in Albin Eser, Günter Heine, and Barbara Huber, eds., Criminal Responsibility of Legal and Collective Entities - International Colloquium Berlin, May 4-6,  1998, Freiburg im Breisgau: Eigenverlag Max-Planck-Institut fur Auslandisches und Internationales Strafrecht, 1999, 379 p., at pp. 303-319 (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_S78/12-SUBJN-5.pdf (accessed on 14 December 2003);
 

NOCK, R.S., "Reviews [of Books]: The Criminal Responsibiliuty of Corporations in English Law by Dr. L.H. Leigh...", (1970) 33 Modern Law Review 591-593;  copy at Ottawa University, KD 322 .M62  Location: FTX Periodicals;
 

NORRIE, Alan W. (Alan William), 1953-, Crime, Reason and History - A Critical Introduction to Criminal Law, London: Weidenfeld and Nicolson, 1993, xx, 279 p., see "Assimilation: Corporate Liability" at pp. 95-105 and "Conclusion" at pp. 105-107 (series; Law in context), ISBN: 0297821504; book at home;
 

NORWAY/NORVÈGE, Penal Code, articles 48(a) and (b) since 1991;

Chapter 3 a. Criminal liability of enterprises

§ 48 a. When a penal provision is contravened by a person who has acted on behalf of an enterprise, the enterprise may be liable to a  penalty. This applies even if no individual person may be punished for the contravention.
By enterprise is here meant a company, society or other association, one-man enterprise, foundation, estate or public activity.  The penalty shall be a fine. The enterprise may also by a judgment be deprived of the right to carry on business or may be prohibited from carrying it on in certain forms, cf. section 29.

§ 48 b. In deciding whether a penalty shall be imposed on an enterprise pursuant to section 48 a, and in assessing the penalty vis-à-vis the enterprise, particular consideration shall be paid to

a) the preventive effect of the penalty,
b) the seriousness of the offence,
c) whether the enterprise could by guidelines, instruction, training, control or other measures have prevented the offence,
d) whether the offence has been committed in order to promote the interests of the enterprise,
e) whether the enterprise has had or could have obtained any advantage by the offence,
f) the enterprise's economic capacity,
g) whether other sanctions have as a consequence of the offence been imposed on the enterprise or on any person who has acted on its behalf, including whether a penalty has been imposed on any individual person. (source:  http://www.coe.int/T/E/Legal_affairs/Legal_co-operation/Conferences_and_high-level_meetings/European_Public_Prosecutors/00_Norway_Penal%20Code.asp (accessed on 24 May 2005)

[Contents]

[Introduction]...1641

I. The Corporate Person as a Bearer of Rights and Duties...1641

A. Traditional Models of Corporate Personality:
     First National Bank v. Bellotti...1642
B. Constitutional Rights of the Corporate Person...1643

II. Traditional Explanations of Corporate Personality...1645

A. Fiction Theory...1645
B. Contract Theory...1647
C. Realism...1649

III. A New Model for the Corporate Person...1652

A. The Corporation as Set of Role Relations....1652
B. The Corporate Agent...1652
C. A New Mode of Legal Analyses: the Deconstitutionalization
    of Corporate Rights...165
D. Toward a Unified Theory of Corportae Rights...1657

Conclusion...1658

Note, "Corporations as Criminals", (22 March 1924) 88(12) Justice of the Peace 197-199; copy at the Library of the Supreme Court of Canada, periodicals;
 

Notes, "Corporate Criminal Liability in New York", (1948) 48 Columbia Law Review 794-798;
 

Notes, "Criminal Liability of Corporations", (1914) 14 Columbia Law Review 241-243; copy at Ottawa University, KFN 5069 .C657  Location: FTX Periodicals;
 

Notes, "Criminal Liability of Corporations for Acts of their Agents", (1946-47) 60 Harvard Law Review 283-289; copy at Ottawa University, KFM 2469 .H457  Location: FTX Periodicals;
 

Notes, "Decisionmaking Models and the Control of Corporate Crime", (1975-76) 85 Yale Law Journal 1091-1129; copy at Ottawa University, KFC 3669 .Y34  Location: FTX Periodicals; the article is not signed but research indicates that the author may be Simeon M. Kriesberg;

[Contents]

[Introduction]...1091

I  Shortcomings of Current Federal Law: Entity and Employee Liability for Corporate Crime...1092

II  The Models: Rational Actor, Organizational Process, and Bureaucratic Politics...1100

III  Implications for Legal Policy...1105

A.  The Rational Actor Model...1106
B.  The Organizational Process Model...1112
C.  The Bureaucratic Politics Model...1121

Conclusion...1128

Notes, "Developments in the Law -- Corporate Crime: Regulating Corporate Behavior Through Criminal Sanctions", (1979) 92 Harvard Law Review 1227-1375; copy at Ottawa University, KFM 2469 .H457  Location: FTX Periodicals; also published in Leonard Orland, ed., Corporate and White Collar Crime: An Anthology, [Cincinnati, Ohio]: Anderson Publishing, 1995, xiii, 438 p., ISBN: 0870848704;

"TABLE OF CONTENTS

I. INTRODUCTION...1229

II. RATIONALE...1231

A. The Rationale for Regulatory Crimes...1231
B. Corporate Moral Blameworthiness...1241

III. STANDARDS OF LIABILITY...1243

A. Corporate Liability...1246

1. Respondeat Superior...1247
2. The Model Penal Code...1251
3. Critique...1253
4. A Proposal...1257

B. Individual Liability...1259

1. Direct Actors...1259
2. Indirect Actors...1261

(a) Strict Liability...1262
(b) Specific Intent...1265
(c) Reckless Supervision...1270

IV. CRIMINAL PROCEDURE AND CORPORATE CRIME...1276

A. Production of Documentary Evidence...1276

1. Privilege Against Self-Incrimination...1277
2. Fourth Amendment Prohibitions Against Unreasonable
    Seizures...1286
3. The Attorney-Client Privilege and the Corporate Client...1289

B. Complex Cases: The Problem of Multiple Representation...1293

V. THE CHOICE BETWEEN CIVIL AND CRIMINAL SANCTIONS...1300

A. Legislative Discretion...1301
B. Administrative Discretion...1307

VI. PARALLEL CIVIL AND CRIMINAL PROCEEDINGS...1311

A. Adninistrative Agency Access to Grand Jury Information...1312
B. Use of Administrative Summonses for Criminal Investigation...1320

1. The Improper Purpose Doctrine...1321
2. Summons Enforcement Proceedings and Suppression at
    Trial...1330

C. Parallel Civil and Criminal Suits...1333

1. Stays of Civil Proceedings...1333

(a) Fifth Amendment...1333
(b) Encroachment on Criminal Discovery...1335
(c) Disclosure of Defense Strategy...1336

2. Warnings and Misrepresentations as to Nature of
    Investigation...1337
3. Promises Not to Prosecute...1338

VII. COLLATERAL CONSEQUENCES...1340

A. Subsequent Government Actions Against the Same Defendant...1341

1. Double Jeopardy...1342
2. Subsequent Civil Suits ...1349

B. Consequences of Criminal Prosecutions in Subsequent Private
    Actions...1350

1. Nonmutal Collateral Estoppel...1350
2. Section 5(a) of the Clayton Act: prima Facie Effect of Criminal
    Convictions in Subsequent Treble Damage Actions...1351
3. Disclosure of Grand Jury Materials to Subsequent Plaintiffs...1356

C. Consequences of Regulatory Decisions in Subsequent Government Actions
    Against Third Parties...1360

VII.  CONCLUSION: AN EVALUATION AND PROPOSAL...1365

A. The Effectiveness of Criminal Sanctions in Deterring Corporate Crime...1365
B. Maximizing Fairness and Deterrence Through Civil and Criminal
    Enforcement...1369" (pp. 1227-1228)

Notes, "The Good, the Bad, and their Corporate Codes of Ethics: Enron, Sarbanes-Oxley, and the Problems with Legislating Good Behavior", (2003) 116 Harvard Law Review 2123-2141;

[Table of Contents]

[INTRODUCTION]...2123

1. CORPORATE CODES OF BEHAVIOR....2125

A. Forces Driving the Adoption of Codes...2126
B. The Incentives Debate...2127
C. Recent Events and the Shift in the Debate...2128

II. ENRON'S DOWNFALL AND THE IRREVANCE OF ITS
     CODE OF CONDUCT...2128

III. THE NEW APPROACH TO CORPORATE CODES...2130

A. Disclosure of Adoption of a Code of Any Waiver...2131
B. The SEC's Implementation of Section 406...2132

IV. CORPORATE CODES AFTER SARBANES-OXLEY:
      THE IMPACT OF DISCLOSURE...2134

A. Controlling the Information Generated by Codes...2135
B. Prophylactic Codes...2136
C. Prohibited Transactions, Narrow Codes, and the Loss of
    Preventive Power...2137
D. Attractive Investor Attention and Increased Litigation...2139

V. CONCLUSION...2140

Notes, "Growing the Carrot: Encouraging Effective Corporate Compliance", (1995-96) 109 Harvard Law Review 1783-1800;

[Contents]

[INTRODUCTION]...1783

I. PROMULGATION OF THE GUIDELINES...1784

A. Enacting the Guidelines...1784
B. Results under the Guidelines...1786

II. GUIDANCE FOR CORPORATIONS...1788

A. The Guidelines and Government-Imposed Programs...1788
B. Department of JusticeProsecutorial Directives for
     Environmental Offenses...1792
C. Industry Initiatives...1793

III. MEETING THE GUIDELINES' DETERRENCE GOAL...1794

A. Selective Amnesty...1795
B. Self-Evaluative Privilege...1797
C. Cooperative Preapproval...1798

IV. CONCLUSION...1800

Notes, "Shame, Stigma, and Crime: Evaluating the Efficacy of Shaming Sanctions in Criminal Law", (2003) 116 Harvard Law Review 2186-2207;

[Contents]

INTRODUCTION...2186

I. THE LITTERATURE ON SHAMING SANCTIONS...2187

A. Defining Shaming Penalties...2187
B. Understanding the Deterrent Effect of Shaming...2189

1. The Traditional Law and Economics...2189
2. The Preference-Shaping View...2190
3. The Critical View...2193

II. STIGMA AND SHAME...2194

A. Community Participation in Partially Communicative Shaming...2195
B. Partially Communicative Shaming and Alienation...2197

1. Those Who Try To Pass...2197
2. Those Who Reveal Their 'True' Identities....2190

C. The Conflicting Implications of Alineation...2200

III. POLICY RECOMMENDATIONS....2202

A. The General Benefits of Ex Post Incentives...2203
B. Ex Post Incentives and Shaming Sanctions...2205

CONCLUSION...2207

Notes, "Structural Crime and Institutional Rehabilitation: A New Approach to Corporate Sentencing",  (1979) 89 Yale Law Journal 353-375; copy at Ottawa University, KFC 3669 .Y34  Location:FTX Periodicals;

[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 Sentencs: The Inadequacy of Fines...360

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

III.  The 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

NUNES, Jeffrey W., Comments, "Organizational Sentencing Guidelines: The Conundrum of Compliance Programs and Self-Reporting", (1995) 27 Arizona State Law Journal 1039-1061; copy at the Library of the Supreme Court of Canada, Ottawa;

[Contents]

I. INTRODUCTION...1039

II. ILLUSTRATIVE CASE...1040

III. CORPORATE CRIME PRIOR TO THE GUIDELINES...1041

IV. CHAPTER 8 -- THE ORGANIZATIONAL SENTENCING GUIDELINES...1043

A. Chapter 8 Development...1043
B. Operation of Chapter 8...1044

1. How Does It Work?...1044
2. The Key of Compliance Programs and Disclosure...1046

V. "EFFECTIVE" COMPLIANCE PROGRAMS, AND THEIR EFFECT ON ORGANIZATIONS...1048

A. What Constitutes an "Effective" Compliance Program?...1048
B. Problems Within the Guidelines: Compliance Programs...1050
C. Use of Compliance Programs and Their Effects on Corporations...1051

1. The "Duty" of Compliance Programs...1051
2. Corporation's Police Function...1052

VI. THE COMPLICATIONS OF SELF-REPORTING...1053

A. Corporate Incentive to Self-Report...1053
B. Authorization for Self-Reporting...1054
C. Who Takes The Fall?...1056

VII.  IS THERE A SOLUTION?...1058

A. Changing the Work Environment...1058
B. A Just System?...1058
C. Is The Punishment Enough?...1059

VIII. CONCLUSION...1060

NUOTIO, Kimmo, "Finlande [Finland]: Crimes against the Environment", (1994) 65 Revue internationale de droit pénal / International Review of Penal Law 923-945; article in English; part of the Preparatory Colloquium, Section 1, Crimes against the Environment -- General Part, Ottawa (Canada), November 2-6, 1992;
 

NYLUND, Michael, Hannes Snellman, "Background Information on National Legal Systems: Finland", in HUGLO LEPAGE, Associés conseils, ed., Criminal Penalties in EU Member States’ environmental law, Final Report, 15 September 2003, 988 p., at pp. 48-51, 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);

[Finland]
"According to Finnish criminal law, both natural and legal persons may be subject to criminal liability. However, criminal liability for legal persons requires an express provision to this effect regarding the offence in question.

One of the main objectives of criminal liability for legal persons is to bring legal persons into the sphere of criminal liability for environmental offences. The prerequisite for criminal liability is that a physical person within the legal entity’s organisation or a member of its management is implicated in the offence, that such person has allowed the offence to take place or that the organisation has neglected the diligence and caution required for preventing the offence. The legal person may be sentenced even if the actual perpetrator (the physical person) is not sentenced or remains unidentified." (p. 48)

OBERMAIER, Otto, "Sentencing Redux VIII -- Corporate Sentencing", (1988) New York Law Journal 3; title noted in my research but article not read; no copy of this periodical in the Ottawa area libraries covered by the AMICUS catalogue of  Library and Archives Canada (verification of 27 May 2004);
 

___________"Vicarious Liability of Corporations and Corporate Officers", in Leonard Orland and Harold R. Tyler, Jr., eds. (co-chairmen), New Developments and Perspectives on Corporate Crime Law Enforcement in America, New York (N.Y.) : Practising Law Institute, 1987, 2 v., at p. 51 (series; Criminal law and urban problems course handbook series; no. 142-143) (series; Litigation and administration practice series), (series; Litigation and administrative practice series); NOTES: "Prepared for distribution at the New developments and  perspectives on corporate crime law enforcement in America program, January 22-23, 1987, New York City"--p. 5, "C4-4177."; title noted in my research but article not consulted; no copy of these books in the Ottawa area libraries covered by AMICUS, the National Library of Canada catalogue (27 May 2004);

O'CONNOR, Vivienne and Colette Rausch, eds., with Hans Joerg Albrecht and Goran Klemencic, Model codes for post-conflict criminal justice, Washington, D.C. : United States Institute of Peace Press, 2007-,  and see "Criminal Responsibility of Legal persons" at pp. 72-75, ISBN: 9781601270115 (pbk. : alk. paper); 1601270119 (pbk. : alk. paper); 9781601270122 (hardcover : alk. paper);  1601270127 (hardcover : alk. paper); available at http://books.google.com/books?id=FL3nJkyxDBkC&pg=PR23&dq=%22comparative++criminal+law%22&lr=&as_brr=3&ei=XSDxSPaCIoO6yAT4-aziAw&sig=ACfU3U0jIcI2f4BPr_OTvi5RqgnWG9DcMg#PPA72,M1 (accessed on 11 October 2008);

OI, W., "On Socially Acceptable Risks", in Jennifer Phillips, ed., Safety at work: recent research into the causes and prevention of industrial accidents : papers presented to  a conference in Oxford in March 1977, Oxford: Centre for Socio-Legal Studies, Wolfson College; [London]: Social Science Research Council, 1977, [2], iv, 86 p. (series; Conference papers -- Centre for Socio-Legal Studies; no. 1;  ISSN 0140-5489; no. 1), ISBN: 0900296658; copy at CISTI, Canada Institute for Scientific and Technical Information/ICIST, Institut canadien de l'information scientifique et technique, T55.A1 S128 1977; title noted in my research but document not consulted yet;
 

OKOLI, Chijioke, "Criminal liability of corporations in Nigeria: a current perspective", (1994) 38 Journal of African Law 33-45; copy at the Library of the Supreme Court of Canada, Ottawa;

[Contents]

INTRODUCTION...35

THE BASIS AND ANALYSIS OF CORPORATE CRIMINAL LIABILITY...35

- The pre-CAMA [pre-Companies and Allied Matters Act]...35
- The position under CAMA...37
- Some relevant provisions of other statutes...39

THE CORPORATE AFFAIRS COMMISSION AND PROSECUTION OF
CORPORATIONS FOR CRIMINAL OFFENCES...39

- The Corporate Affairs Commission...39
- Prosecution of corporations for criminal offences...40

ADENIJI v. THE STATE AND THE POSITION OF DIRECTORS...41

- Position of directors...43

CONCLUSION...43

OLECK, Howard L., "Remedies for Abuses of Corporate Status", (1972-73) 9 Wake Law Forest 463-502;

O'NEIL, Rory, "Criminal Neglect: How Dangerous Employers Stay Safe from Prosecution", (Fall 2003) 7(2) WorkingUSA 24-42;
 

ORGANISATION FOR ECONOMIC CO-OPERATION AND DEVELOPMENT (OECD), Convention on Combatting Bribery of Foreign Public Officials in International Business Transactions (1997), available at  http://www.oecd.org/document/21/0,2340,en_2649_37447_2017813_1_1_1_37447,00.html (accessed on 13 July 2004);  also available in French / aussi disponible en français: ORGANISATION DE COOPÉRATION ET DE DÉVELOPPEMENT ÉCONOMIQUES (OCDE), Convention sur la lutte contre la corruption d'agents publics étrangers dans les transactions commerciales internationales, disponible à  http://www.oecd.org/document/21/0,2340,fr_2649_37447_2649236_1_1_1_37447,00.html (visionné le 13 juillet 2004);

"Article 2 -- Responsibility of Legal Persons

    Each Party shall take such measures as may be necessary, in accordance with its legal principles, to establish the liability of legal persons for the bribery of a foreign official."

----------

"Article 2 - Responsabilité des personnes morales

    Chaque Partie prend les mesures nécessaires, conformément à ses principes juridiques, pour établir la responsabilité des personnes morales en cas de corruption d'un agent public étranger."

___________Country Reports on the Implementation of the Convention on Combating Bribery of Foreign Public Officials in International Business Transactions and the 1997 Revised Recommendation; note: each report contains very important contribution on the reponsibility of legal persons, sanctions, etc.; see http://www.oecd.org/document/24/0,2340,en_2649_34855_1933144_1_1_1_1,00.html (accessed on 20 December 2003); also published in French / aussi publié en français: Rapports par pays sur la mise en oeuvre de la convention sur la lutte contre la corruption d'agents publics étrangers dans les transactions commerciales internationales et la recommendation révisée de 1997, chaque rapport rapport contient des renseignements très importants sur la responsibilité des personnes morales, les sanctions, etc., voir: http://www.oecd.org/document/24/0,2340,fr_2649_34855_2759409_1_1_1_1,00.html (visionné le 20 décembre 2004);

Phase 1 Country Reports
Argentina / Argentine**Australia/ Australie**Austria/Autriche**Belgium/Belgique**Bulgaria/Bulgarie** Canada/ Canada**Czech Republic/République Tchèque**Denmark/Danemark**Finland/ Finlande**France/France**Germany/Allemagne**Greece / Grèce**Hungary(updated March 2003)--Hungary - Phase 1bis (February 2003)/Hongrie(mise à jour mars 2003) --/Hongrie - Phase 1bis (février 2003)**Iceland/Islande**Ireland/ Irlande**Italy / Italie**Japan (updated May 2002)/Japon (mise à jour mai 2002)**Korea/ Corée **Luxembourg / Luxembourg**Mexico / Mexique**Netherlands / Pays-Bas**New Zealand (May 2002)/ Nouvelle-Zélande(mai 2002)**Norway/Norvège**Poland  / Pologne**Portugal  (May 2002) /  Portugal (mai 2002)**Slovak Republic (updated February 2003)/République slovaque (mise à jour février 2003)**Spain/**Sweden/Suède**Switzerland/Suisse**United Kingdom-(1) and  United Kingdom (2)/ Royaume-Uni(1) et Royaume-Uni (2)**United States/États-Unis

Phase 2 Country Reports
 Bulgaria (June 2003)/Bulgarie (juin 2003)**Finland(May 2002)/Finlande (mai 2002)**Germany (June 2003)/ Allemagne(juin 2003)** Iceland (March 2003) Islande (mars 2003)** United States (October 2002)/ États-Unis (octobre 2002)

October/octobre 2003

• Steps taken and planned future actions by participating countries, available at  http://www.oecd.org/dataoecd/50/33/1827022.pdf (accessed on 7 January 2004)

• Mesures prises et prochaines initiatives prévues par les différents pays, disponible à  http://www.oecd.org/dataoecd/50/22/1827070.pdf (visionné le 7 janvier 2004)
 

___________The OECD Guidelines for Multinational Enterprises, Revision 2000, 65 p., available at http://www.oecd.org/dataoecd/56/36/1922428.pdf (accessed on 12 January 2005); also published in French / aussi publié en français: Les principes directeurs de l'OCDE à l'intention des entreprises internationales, 2000, 71 p.; disponible à  http://www.oecd.org/dataoecd/56/39/1922470.pdf (visionné le 12 décembre 2005);
 

ORLAND, Leonard and Charles Cachera, "Corporate Crime and Punishment in France: Criminal Responsibility of Legal Entities (Personnes Morales) Under the New French Criminal Code (Nouveau Code Pénal)", (1995-96) 111-168 Connecticut Journal of International Law 111-168; copy at Ottawa University, K 3 .O547  Location: FTX Periodicals;

[CONTENTS]

I. INTRODUCTION: THE POLITICAL PROBLEM OF CRIMINAL CODIFICATION...112

II. TWO MODELS OF CORPORATE CRIMINAL LIABILITY...114

A. Corporate Crime and Punishment: The Traditional French Model...115
B. Corporate Crime and Punishment: The American Model...117

III  CROSSING THE RUBICON: THE EMERGENCE OF CORPORATE
      CRIMINAL LIABILITY IN FRANCE...121

IV  THE NEW FRENCH MODEL: CORPORATE CRIMINAL LIABILITY
      UNDER THE NOUVEAU CODE PÉNAL...123

V  CONCLUSION: THE EMERGENCE OF THE NEW FRENCH MODEL
     OF ENTITY LIABILITY...125

    Appendix A...127
    Appendix B...137
    Appendix C...163
    Appendix D...167

ORLAND, Leonard, Harold R. Tyler, Practising Law Institute, eds., New developments and perspectives on corporate crime law enforcement in America,  New York, N.Y. (810 7th Ave., New York 10019) : Practising Law Institute, 1987, 2 volumes (series; Criminal law and urban problems course handbook series; number o. 142-143) (series; Litigation and administration practice series); notes:  "Prepared for distribution at the New developments and  perspectives on corporate crime law enforcement in America program, January 22-23, 1987, New York City"; no copy of these books in the Ottawa area Libraries covered by the catalogue of the National Library of Canada, AMICUS (verification of 14 June 2004);
 

ORLAND, Leonard, "Beyond Organizational Guidelines: Toward a Model Federal Corporate Criminal Code" (1993) 71 Washington University Law Quarterly 357-373;

Contents

[Introduction]...357

1.   Scope...360
2.  Principles of Corporate Liability...361
3.  Elimination of Corporate Probation
     and Creation of New Presumptive Sanctions...361
4.  Gradation...361
5.  Aggravants and Mitigants...314
6.  Ancillary Provisions...364

Conclusion...365
MODEL FEDERAL CORPORATE CRIMINAL CODE...365

___________ed., Corporate and White Collar Crime: An Anthology, [Cincinnati, Ohio]: Anderson Publishing, 1995, xiii, 438 p., ISBN: 0870848704; see the table of contents at  http://www.jlaw.com/Articles/ (accessed on 16 December 2003); no copy of this book in the Ottawa area libraries covered by the National Library of Canada catalogue AMICUS (verification of 27 May 2004);
 

___________Corporate criminal liability : regulation and compliance / Leonard Orland ; introduction by Jose A. Cabranes, New York : Aspen Publishers, c2004, ISBN: 073555076X; title noted in my research but book not consulted; no entry yet in the AMICUS catalogue of Library and Archives Canada (verification of 1 October 2004);

"Table of Contents

Part 1- Corporation Encounter Criminal Law

1. Corporate Crime
2. Criminal Liability: The Corporate Entity
3. Criminal Liability: The Corporate Executive
4. Congressional Response: The Sarbanes-Oxley Act
5. Beyond Sarbanes-Oxley: State and European Approaches to Corporate Misconduct

Part 2 - Prosecution and Sentencing of Corporations and Corporate Executives

• Prosection
• Sentencing

Part 3 - Federal Criminal Law

• The Development of Federal Criminal Law: Fraud
• The Expansion of Federal Criminal Law: RICO and Extra-Territorial Offenses
• Overlapping Administrative, Civil and Criminal Enforcement

Part 4 - Economic Crime

• Banking
• Securities
• Antitrust

Part 5 - Corporate Crime and Corporate Counsel

• Corporate Counsel Responsibilites in the Post Sarbanes-Oxley Era" (source:  http://www.aspenpublishers.com/Product.asp?catalog_name=Aspen&category_name=&product_id=073555076X&promoID=I821&cookie%5Ftest=1 (accessed on 1 December 2004)

___________"Corporate Punishment by the U.S. Sentencing Commission", (1991) 4 Federal Sentencing Reporter 50; also with the same title in Leonard Orland, ed., Corporate and White Collar Crime: An Anthology, supra; no copy of these publications in the Ottawa area libraries covered by the Library and Archives  Canada catalogue AMICUS (verification of 27 May 2004);
 

___________"Reflection on Corporate Crime: Law in Search of  Theory and Scholarship", (1980) 17 American Criminal Law Review 501-520; copy at Ottawa University, KF 9202 .A425  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada;

"[Abstract]
In the last hundred years, the federal government has come to rely increasingly on criminal law as a means of regulating corporate behavior.  In this article, Professor Orland examines the failures of the present system of corporate criminal justice administration, which overcriminalizes neutral corporate misconduct and underprosecutes truly culpable corporate misconduct.  He evaluates criminological studies which purport to measure the extent of corporate crime, discusses the limits of conventional criminal sanctions when applied to corporate crime, and suggests several possible areas of future research on corporate criminality." (p. 501)

O'SULLIVAN, Julie R., "Some Thoughts on Proposed Revisions to the Organizational Guidelines", (2004) 1(2) Ohio State Journal of Criminal Law 487-514; available at  http://moritzlaw.osu.edu/osjcl/issue2_articles/OSullivan.pdf (accessed on 5 September 2004);
 

OTTLEY, Bruce L., "Criminal Liability for Defective Products: New Problems in Corporate Responsibility and Sanctioning", (1982) 53 Revue internationale de droit pénal 145-170;

[Contents]

Introduction...145

I. Corporate Criminal Responsibility: The Basic problems...146

A. What corporate acts should be made subject to criminal
     sanctions?...147
B. Should a criminal prosecution be brought against the corporation or
     limited to the corporate officers, agents and employees?...150
C. Should corporate crime be treated in the same manner as other crime?...152

II. Corporate Criminal Responsibility: The basis of liability...154

A. Vicarious Liability...154
B. Doctrine of Identification...155
C. Model Penal Code...156

III. Sanctioning...157

A. Deterrence...158

(1) Fines...158
(2) Publicity...159

B. Retribution...160
C. Sanctions under the proposed Federal Criminal Code...160

(1) Fines...160
(2) Restitution...161
(3) Notice of conviction...161

IV. Conclusion...162
Footnotes...164

PACKER, Herbert, The Limits of the Criminal Sanction, Stanford (California): Stanford University Press, 1968, xi, 385 p., see "The Businessman as Criminal", at pp. 354-363, ISBN: 0804706565 and 0804708991 (pbk.);
 

PAGE, Geneviève, La responsabilité des personnes morales, mémoire de licence, Université de Lausanne, Faculté de droit, Sciences criminelles, Institut de criminologie et de droit pénal, hiver 2001, 25 p., disponible à http://www.unil.ch/penal/quoi/memoires_environnement/personnesmorales.pdf (visionné le 17 novembre 2002);

"[Résumé]
Societas delinquere non potest. L'évolution de la responsabilité pénale des personnes morales. Le rejet des arguments contre une telle responsabilité. La situation actuelle en Suisse (art. 7 DPA). Droit anglais et théorie de l'identification. Droit français et art. 121-2 CP. Droit allemand et art. 30 OwiG. Droit belge et droit pénal administratif. Droit européen. Le projet de responsabilité pénale du droit suisse. La raison d'être de ce projet. Examen de l'article 102 du projet. Les problèmes non résolus par le projet." (source:  http://www2.unil.ch/icdp/quoi/memoires_environnement/memoire_environnement.html#onze , visionné le 7 janvier 2004)

PAGH, Peter, "Background Information on National Legal Systems: Denmark", in HUGLO LEPAGE, Associés conseils, ed., Criminal Penalties in EU Member States’ environmental law, Final Report, 15 September 2003, 988 p., at pp. 41-47, 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);

[Denmark]
"Legal persons: According to sections 25 and 26 of the Penal Code legal persons (corporations, associations, State and local authorities) are subject to criminal penalties in form of fines. It requires however, that it is possible to identify a crime committed by a physical person (section 27)." ( p. 42)

___________"[Environmental Criminal Law --] Denmark", in Michael G. Faure and Günther Heine, coordinated by, Final Report: Criminal Penalties in EU Member States' Environmental Law, Maastricht (The Netherlands): Maastricht European Institute for Transnational Legal Research Faculty of Law, Maastricht University and  Berne, Switzerland: Institute for Criminal Law and Criminology,  Faculty of Law, University of Berne, October 2002, 352 p.aux pp. 156-165,  available at http://europa.eu.int/comm/environment/crime/criminal_penalties1.pdf (accessed on 18 June 2004);

[Denmark]
Legal persons: In most cases corporations and other legal persons including public authorities are criminal liable under Danish environmental legislation. The different Parliamentary Act on environment all include a provision on the criminal responsibility of legal persons in the same formulation found in the Environmental Protection Act section 110(4): “Corporations and other legal persons may incur criminal liability under the rules of Part 5 of the Penal Code”.

If the offence regards a Ministerial Regulation, legal persons are only criminal liable, if the Ministerial Regulation includes a provision similar to the Environmental Protection Act section 110(4). For example, in a criminal proceeding against a local council operating a sewage, it was obvious the discharged wastewater didn’t comply with the limit values in the Ministerial Regulation no. 785 of 10 December 1987 on limit values for discharge of certain substances into the aquatic environment.
However, because the Regulation at that time didn’t include a provision on criminal liability of legal persons including, the local council was at the appeal court found not criminal liable for this offence. The old Ministerial Regulation has been replaced by Ministerial Regulation no. 501 of 21 June 1999 on wastewater permits under the Environmental Protection Act, which in section 60(4) contain a provision on criminal liability of legal persons.

Legal entities fall within the scope of this provision. However, in practice, the prosecutor goes against the daughter-company - not the mother company or the legal entity as a whole. So until now, no legal entities have been found guilty in an environmental crime.

Cumulation: In environmental crime cases its often seen that the corporation as well as the manager of the corporation are convicted. The manager will normally be penalized by a fine (in few cases imprisonment in few month) and the corporation will be penalized by a fine and confiscation of the profit gained from the offence." (Peter Pagh, p. 164; notes omises)

PALAZZO, Francesco, "La responsabilité pénale dans l'entreprise en Italie", (avril -juin1997) Revue de science criminelle et de droit pénal comparé 309-324, avec une bibliographie de travaux en italien, à la p. 324; 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);
 

PALAZZO, Francesco et Robert Guerrini, "Rapport italien [La responsabilité pénale des personnes morales] dans, sous la direction de Travaux de l'Association Henri Capitant des amis de la culture juridique française [du 15 au 18 mars 1999 au Panama], La responsabilité.  Aspects nouveaux (Journées panaméennes), Paris : Librairie Générale de Droit et de Jurisprudence, 2003, xxiv, 814 p., aux pp. 765-777 (Collection; travaux des journées internationales; tome 50; année 1999), ISBN: 2275022864; copie à la Bibliothèque de la Cour suprême du Canada, Ottawa, K555 T73 t. 50;
 

PALIERO, Carlenrico E., "Criminal Liability of Corporations -- Italy",  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. 251-273, 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;
 

PANSIER, Frédéric-Jérôme, 1959-, La prévention du risque pénal par le chef d'entreprise, Paris : Ellipses, 2004, 158 p., ISBN: 2729806709; titre noté dans mes recherches mais livre non consulté; aucune copie de ce livre dans les bibliothèques canadiennes comprises dans le catalogue AMICUS, de Bibliothèque et Archives Canada (vérification du 25 novembre 2004);
 

___________"La responsabilité pénale des personnes morales", (28 mars 1996) Gazette du Palais, I. doctrine p. 249-252; copie à l'Université d'Ottawa, soit KJV 9 .G39  Location: FTX Periodicals/ FTX Law Reports, SLR 4-38;
 

PARIENTE, Maggy, "Les groupes de sociétés et la responsabilité pénale des personnes morales", (1993) Revue des sociétés 247-254; 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;
 

PARISI, Nicolette, "Theories of Corporate Criminal Liability (or Corporations Don't Commit Crimes, People Commit Crimes)" 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. 41-68 (series; perspectives in criminal justice; volume 6), ISBN: 0803921586 and 0803921594 (pbk.); copy at the Library of Parliament, HD2785 C67;

[Contents]
[INTRODUCTION]...41
SETTING THE STAGE...42
THEORIES OF CORPORATE CRIMINAL LIABILITY...44

Ultra Vires...44
No Mind...45
Duty Creates Liability...45
Aiding and Abetting...46
Identification...48
Imputation....49
Ratification and Toleration...51
Statutory Construction...53

ILLUSTRATING THE ISSUES: HOMICIDE AND CONSPIRACY...54

Homicide...54
Conspiracy...59

CONCLUSION...63
NOTES...64
REFERENCES...66
CASES...68

PARKER, Christine, and Olivia Conolly, "Is there a Duty to Implement a Corporate Compliance System in Australian Law?", (August 2002) 30 Australian Business Law Review 273-293; copy at Ottawa University, KTA 0 .A96  Location: FTX Periodicals;

"[Abstract]  There is an assumption emerging in Australian law that companies should have management systems to ensure compliance with legal responsibilities.  In company law directors probably have a duty to monitor compliance.  The Commonwealth Criminal Code and various other regulatory regimes require evidence that companies and their senior officers should actively ensure a corporate culture of compliance for the purposes of liability, penalty determinations or licensing.  This article argues that the courts are requiring (1) a substantial and actively implemented compliance system; with (2) demonstrated capacity to detect and correct breaches.  AS3806-1998  Compliance Programs may be used by some regulators and, perhaps, courts as a guide." (p. 273)

PARKER, Jeffrey S., "Criminal Sentencing Policy for Organizations: The Unifying Approach of Optimal Penalties", (1988-89) 26 American Criminal Law Review 513-604; copy at Ottawa University, KF 9202 .A425  Location: FTX Periodicals;

"[Table of Contents]

I.  INTRODUCTION...514

II.  THE CONTEXT OF ORGANIZATIONAL SENTENCING...518

A. Organizational Offenses in the Federal Courts...520

1. Corporate Offenders...522
2. Vicarious Liability and Joint Prosecution with Agents...523
3. Property and Regulatory Crimes...528
4. Monetary Criminal Sanctions...529
5. Collateral Civil Enforcement...533

B.  The Sentencing Commission's Task...534

1. The Sentencing Reform Act...541
2. The Commission and Its Work to Date...544
3. Organizational Sentencing Options...550
4. Sentencing Guidelines and Policy Statements for Organizations...551

III.  THE CHOICE OF OPTIMAL PENALTIES...552

A. The Economic Approach...554
B. The Purpose of Criminal Punishment...554

1. Deterrence...563
2. Proportionality...566
3. Public Protection and Rehabilitation...568
4. Compensation to Victims...568

C.  The Aims of the Criminal Law...568
D. The Forms of Organizational Sanctions...570

IV.  DEVELOPING AN OPTIMAL PENALTY POLICY...573

A.  Derivation of the Optimal Penalty Rule...574
B.  The Sentencing Commission's Perspective...575
C.  Determining Loss and Probability...576

1. Loss...576
2. Probability...578

D. Refinements...581

1. Effect of the Penalty Level on Probability...581
2. 'Risk-Bearing' Costs...582
3. Erroneous Convictions...583

E. Limitations...584

1. 'Monetizing' Loss...584
2. Inability to Pay...585

V.  THE ELEMENTS OF A GUIDELINES STRUCTURE...586

A. Computing the Total Penalty...587

1. Loss Rules...587
2. The Multiple...589

B. Allocating the Total Penalty...589
C. Screning Cases for Nonmonetary Penalties...591

VI.  CONCLUSIONS...591

___________"The Current Corporate Sentencing Proposals: History and Critique", (1990) 3 Federal Sentencing Reporter 133; title noted in my research but article not consulted; no copy of this document in the Ottawa area libraries according to my verification of the National Library of Canada catalogue AMICUS (27 May 2004);
 

___________"Doctrine for destruction: The case of corporate criminal liability", (1996) 17(4) Managerial and Decision Economics 381-398; copy at Ottawa University, HD 28 .M13  Location: MRT Periodicals;
 

___________"Rules Without...: Some Critical Reflections on the Federal Corporate Guidelines", (1993) 71 Washington University Law Quarterly 397-442;

[Contents]

INTRODUCTION...397

I. RULES WITHOUT RATIONALITY...401

A. Punishment Without Principle...403

1. The Big "Stick"...404

- Arbitrary Levels I: Guidelines Fines at the Statutory Maxima...405
- Arbitrary Levels II: Offense Levels as "Seriousness"...405
- Arbitrary Structure I: Find the Highest Number...407
- Arbitrary Structure II: The Obsession with 'Pecuniary Gain."...408

2. The Poisonous "Carrot"...410

- Guilt by "Culture"...412
- Big is Bad...415
- The Obsession with Control...418

B. Policy Without Reality...423

II. RULES WITHOUT AUTHORITY...426

A. Taxation Without Representation...427
B. Regulation Without Legislation...429
C. Punishment Contrary to Law: The "Punitive Publicity" Sanction...430
D. Defective Process...432

III. RULES WITHOUT CONSTITUTIONALITY: THE CASE OF THE "CRIMINAL PURPOSE ORGANIZATION"...433

IV. WRONG WITHOUT REMEDY?...438
 

[CONTENTS]

I  INTRODUCTION...423

II. THE LIMITED ROLE OF CORPORATE CRIMINAL LIABILITY...424

III.  DATA SOURCES AND METHODS...430

IV. MODELLING AND EMPIRICAL RESULTS...433

A. Did the Guidelines Affect Mean Sanction Levels or Variance?...433
B. Did the Guidelines Affect Penalty Structure?...438
C. Did the Corporate Guidelines Affect the Joint Determination
     of Individual Penalties?...441
D. Did the Guidelines Affect Compliance Behavior?...443

V. DISCUSSION...446

VI. CONCLUSION...448

APPENDIX:  Analysis of Assumed Data Truncation...449

BIBLIOGRAPHY...451

PARKINSON, J.E (John E.), Corporate power and responsibility : Issues in the theory of company law, Oxford : Clarendon Press; New York: Oxford University Press, 1993, xxxii, 464 p., see in particular, "Strengthening the Constraints", Chapter 11, at pp. 347-396, ISBN: 0198259891; copy at the Library of the Supreme Court of Canada, KF1415 ZC2 P37 1993;
 

PARSONS, Simon, "The Doctrine of Identification, Causation and Corporate Liability for Manslaughter", (2003) 67(1) The Journal of Criminal Law 69-81; copy at Ottawa University, KD 7862 .J653  Location: FTX Periodicals;

Abstract
This article examines corporate liability for manslaughter. It considers the legal effect of the 'identification' doctrine and how it operates as a legal barrier to potential corporate liability.  The question of whether the 'conduct' of a corporation is a cause of death is also examined.  The article maintains that the Court of Appeal in Attorney-General's Reference (No. 2 of 1999) had the opportunity to remove the legal fiction of identification and to overcome the problem of causation, so that a proper appraisal of an organisational structure can be made in order to ascertain whether a corporation's safety performance was grossly negligent." (p. 69)

PATERNOSTER, Raymond and Sally Simpson, "A Rational Choice Theory of Corporate Crime", in Ronald V. Clarke and Marcus Felson, eds.,  Routine Activity and Rational Choice, New Brunswick (NJ) : Transaction Publishers, c1993, x, 418 p., at pp. 37-58 (series; Advances in criminological theory; no.5), ISBN: 15600008721993; copy at Solicitor General Canada, Ministry Library and Reference Centre/Solliciteur général Canada, Bibliothèque ministérielle et centre de référence, call number: HV 6018 A3 v.5 1993; with the same title in Neal Shover and John Paul Wright, eds., Crimes of privilege : readings in white-collar crime, New York : Oxford University Press, 2001, xiii, 433 p., at pp. 194-210 (series; Readings in crime and punishment), ISBN: 0195136217, 0195136211 and 0195136209; copy at Ottawa University, MRT General: HV 6768 .C75 2001;
 

___________"Sanction Threats and Appeals to Morality: Testing a Rational Choice Model of Corporate Crime", (1996) 30 Law and Society Review 549-583, with references at pp. 581-583; copy at Ottawa University, K 12 .A865  Location: FTX Periodicals;

"[Abstract]  We specify and test a rational choice model of corporate crime.  This model includes measures of the perceived costs and benefits of corporate crime (for both the firm and the individual), perceptions of shame, persons' assessment of the opprobrium of the act, and contextual characteristics of the organization.  Consistent with this model, we find that intentions to commit  four types of corporate crime are affected by sanction threats (formal and informal), moral evaluations, and organizational factors.  Net of the various incentives and disincentives for corporate crime, persons' personal moral code was found to be a very important source of inhibition.  In fact, when moral inhibitions were high, considerations of the cost and benefit of corporate crime were virtually superflous.  When moral inhibitions were weak, however, persons were deterred by threats of formal and informal sanctions by organizational context.  We contend that theoretical models of corporate crime and public policy efforts must contain both instrumental (threats of punishment) and deontological (appeals to morality) factors." (p. 549)

PAYNE, Brian K., Incarcerating White-Collar Offenders, Springfield (Illinois): Charles C. Thomas, 2003, xvii, 174 p., see Chapter 2, "Motivations for White-Collar Crime", at pp. 25-55, ISBN: 0398073449 and 0398073457 (pbk.); copy at Ottawa University, MRT General, HV 6768 .P39 2003;

"Routine activity theory was developed by Cohen and Felson (1979) in the late 1970s [L.E. Cohen and M. Felson, "Social Change and Crime Rate Trends: A Routine Activities Approach", (1979) 44 American Sociological Review 588-608].  The theory posits that crime occurs when three elements are present: 1) a suitable target, 2) the absence of a capable guardian, and 3) a motivated offender. ...

Cohen and Felson (1979) never directly considered what the term "motivated offender" means in regard to white-collar crime.  Using the white-collar crime literature and several prominent criminological theories, however, a number of possible motivations become apparent and are addressed in the following section.  The motivations to be considered include the following:

• Pleasure seeking
• Learned behavior
• Weak bonds with society
• Low self-control
• Personality flaws
• Stress/Strain
• Greed
• Gambling
• Drugs
• Denials" (pp. 27 and 30)

PAYNOT-ROUVILLOIS, Anne, "Personne morale", dans, publié sous la direction de Denis Alland et Stéphane Rials, Dictionnaire de la culture juridique, Paris : Presses universitaires de France, 2003, xxv, 1649 p., aux pp. 1153-1157 (Collection; Quadrige. Dicos poche),  ISBN: 213053936X;

[Table des matières]

[Introduction]...1153

Émergence de la personne morale...1153

Personne morale et Willenstheorie...1554

La personne morale réalité sociale...1155

De la réalité technique à la réalité purement juridique...1156

L'épuisement de la controverse réalité-fiction...1157

[Notes -- Bibliographie]....1157

PEARCE, Frank, Crimes of the powerful : Marxism, crime, and deviance / Frank Pearce ; foreword by Jock Young, London : Pluto Press, 1976, 172 p., ISBN: 0904383059; copy at Ottawa University, MRT General: HV 6791 .P4 1976;
 

PEDRAZZI, Cesare, "Italie: Rapport national", (1983) 54(1-2) Revue internationale de droit pénal / International Review of Penal Law 423-438, voir les pp. 434-435 (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 Crairo, 1984);
 

PEDRAZZI, "La responsabilité pénale non individuelle", International Congress of Comparative Law (10th : 1978: Budapest, Hungary).  Associazione italiana di diritto comparato, Rapports nationaux italiens au Xe Congrès international de droit comparé, Budapest, 1978 = Italian national reports to the Xth International Congress of Comparative Law, Budapest, 1978, Milano : Giuffrè, 1978, xi, 800 p., at p. 750; title noted in my research; no copy of this book in the Ottawa area libraries covered by the National Library of Canada catalogue, AMICUS (verification of 10 June 2004); copy at McGill University, Humanities and Social Sciences Library (McLennan/Redpath), K555;I5;1978 mcl; copy at McGill University, McGill University, Nahum Gelber Law Library/Université McGill, Bibliothèque de droit Nahum Gelber, K;555;I57;1978g law; copie à l'Université de Montréal, AAZF/C749r/1978li;
 

PEDRAZZI,  C.,  "Responsabilité pénale des personnes morales : rapport de synthèse",  (1996) numéro spécial 149 Les Petites affiches 62; 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 bibliothèques de la région d'Ottawa comprises dans le catalogue AMICUS de Bibliothèque et Archives Canada (vérification du 24 juillet 2004);
 

PEGG, Scott, "An Emerging Market for the New Millennium: Transnational Corporations and Human Rights", in Jedrej George Frynas and Scott Pegg, eds., Transnational Corporations and Human Rights, Houndmills, Basingstoke (New Hampshire)/New York : PALGRAVE MACMILLAN, c2003, xiv, 223 p., at pp. 1-32, ISBN: 0333987993; copy at Ottawa University, FTX General, HD 2755.5 .T64745 2003;

[Contents]

Introduction...1

Critique and defense of the human rights approach...2

Historical background on corporate social responsibility...6

When corporations are responsible for human rights...11

Legal liability of TNCs for human rights violations...15

Voluntary approaches and self-regulation of TNC behavior...21

Conclusion...25

Notes...29

References...29

PENNSYLVANIA BAR INSTITUTE, The New federal sentencing guidelines for corporations & organizations, [Harrisburg, Pa.]: Pennsylvania Bar Institute, c1992, x, 117 p. (series; Series; PBI (Series); no. 1992-704); note: Alt title: Federal sentencing guidelines for corporations & organizations; no copy of this book in the librairies covered by the catalogue AMICUS of the Library and Archives Canada (verification of 29 November 2004);
 

____________Understanding the Sarbanes-Oxley Act of 2002, [Mechanicsburg, Pa.]: Pennsylvania Bar Institute, c2002, 2 v. (xii, 547 p.);  title noted in my research but document not consulted; no copy of this book in the librairies covered by the catalogue AMICUS of Library and Archives Canada (verification of 15 June 2004);
 

PERCY, Kumar, "Fighting Corporate and Government Wrongdoing: A Research Guide to International and U.S. Federal Laws on White-Collar Crime and Corruption", 15 August 2002; available at  http://www.llrx.com/features/whitecollarcrime.htm#IIC(accessed on 20 December 2003);

"Table of Contents

Introduction

I. Selected White-Collar Crime and Anti-Corruption Laws

A. Selected International Treaties and Other Agreements

1. Regional and Non-Governmental Agreements
2. United Nations Treaty and Declarations

B. Selected Federal Substantive Crimes

1. Selected Federal White-Collar Crimes with International Scope
2. Selected Domestic Federal White-Collar Crimes

II.  Selected Research Sources

A. Websites

1. International Websites
2. U.S.-Focused Websites

B. Research Texts
C. Selected Policy Publications
D. Selected Recent Journal Articles

1. Selected Journal Articles Regarding International Anti-Corruption Efforts
2. Selected Journal Articles Regarding U.S. White-Collar Criminal Law"

PEREZ, Jacob, Corporate Criminality: A Study of the One Thousand Largest Industrial Corporations in the U.S.A., Thesis (Ph.D) - University of Pennsylvania, 1978, xix, 271 leaves; copy on microform (Ann Arbor, Mich.: University Microfilms, 1981) available at Solicitor General Canada, Ministry Library and Reference Centre/Solliciteur général Canada, Bibliothèque ministérielle et centre de référence, Ottawa, call number: HV 6769 P4 1981;
 

PERRIMOND, Marc, La responsabilité pénale des personnes morales de droit public, Mém. DEA : Droit privé : Aix-Marseille 3 : 1996,  147 feuilles; pas de résumé au catalogue Abes; titre noté dans mes recherches mais mémoire non consulté; aucune copie au Canada selon ma vérification du catalogue AMICUS, le 8 mars 2004;
 

PERRONE, Santina., When Life is Cheap: Governmental Responses to Work-related Fatalities in Victoria, 1987-1990, Ph.D. thesis, Department of Criminology, The University of Melbourne, 2000, xv, 478 leaves; title noted in my research but thesis not consulted; no location in Canada with the AMICUS catalogue of Library and Archives Canada;
 

____________"Workplace Fatalities and the Adequacy of Prosecution", (1995) 13(1) Law in Context 81-105; titre noté dans mes recherches mais article non consulté; aucune copie de ce périodique dans la région d'Ottawa selon ma vérification du catalogue AMICUS, de Bibliothèque et Archives Canada (vérification du 23 octobre 2004);
 

PETRY, J., "The implementation of the Corpus Juris 1997 in the Member States: National Report -- Luxemburg /  La mise en oeuvre du Corpus Juris 1997 dans les États Membres: Rapport national -- Luxembourg", 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. 533-636, 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;
 

PEZARD, A. et  G. Insolera, "Responsabilité pénale des personnes morales : notion de responsabilité individuelle et de responsabilité collective", (1996) numéro spécial 149 Les Petites Affiches 12; 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 bibliothèques de la région d'Ottawa comprises dans le catalogue AMICUS de  la Bibliothèque et Archives Canada (vérification du 24 juillet 2004);
 

PICARD, Étienne, "Les personnes morales de droit public.  La responsabilité pénale des personnes morales de droit public: fondements et champ d'application", (1993) Revue des sociétés 261-287; 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;
 

PIETH, Mark, "Criminal Responsibility of Legal and Collective Entities: international Developments", 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. 113-117 (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);
 

PILCHEN, Saul M., "When corporations commit crimes: sentencing under the federal 'organizational guidelines' -- Although notions of corporate criminal culpability have been broadened over the years, initial prosecutions under the federal sentencing guidelines for organizations have generally been limited in scope" (January-February1995) 78(4) Judicature: The Journal of the American Judicature Society 202-206; copy at Ottawa University, KF 175 .J82  Location: FTX Periodicals;

[Contents]

[Introduction]...202

Organizational criminal liability...203

The Organizational guidelines...204

The first 50 cases...205

Analysis...206
 

"TABLE OF CONTENTS

I.  INTRODUCTION...1246

II.  THE CASE AGAINST THE CORPORATION...1252

A. Criticisms and proposals...1253

1. Shareholders...1255
2. Employees...1256
3. Consumers and the Public...1256

B.  The Justification for Outside Controls...1257

1. Reasons and Justifications...1257
2. Behaviorism and the Function of Law...1258
3. Private or Public?...1260

III. RIGHTS AND OBLIGATIONS...1262

A. State-of Nature Theory...1262
B. Are There Rights?...1264

1. The Problem of Justification...1264
2. Acceptance or Consent Theory...1266
3. The Pinciple of Generic Consistency...1268

C. What Are There Rights To?...1269

1. Problems of Interpretation...1270
2. Action, Inaction, and Freedom...1271
3. Interference and Property...1274
4. Special Relationships...1284

IV.  CORPORATIONS AND RIGHTS...1297

A. The Legitimacy of the Corporation...1297

1. Classifying and Justifying Associations...1297
2.  The Corporate Birth...1300

B. The Legitimacy of Corporate Behavior...1319

1. Individual and Corporate Rights...1320
2. General Relationships...1326
3. Special Relationships...1346

V. RESPONSIBILITY...1365

VI.  CONCLUSION...1369"   (pp. 1245-1246)

PINA, David, Advogados Associados, "Background Information in National Legal Systems: Portugal", in HUGLO LEPAGE, Associés conseils, ed., Criminal Penalties in EU Member States’ environmental law, Final Report, 15 September 2003, 988 p., at pp. 114-118, 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);

[Portugal]
"En droit pénal portugais la règle qui prévaut comme principe est celle du caractère personnel de la responsabilité. Ainsi, seules les personnes physiques sont susceptibles de voir responsabilité engagée sur le plan pénal (art.1 du Code Pénal) sauf disposition contraire."  (p. 114)

PINIOT, Marie-Charlotte, "Rapport de synthèse", (avril -juin1997) Revue de science criminelle et de droit pénal comparé 351-361; copie à l'Université d'Ottawa, KJJ 0 .R489  Location: FTX Periodicals; aussi publié dans: La responsabilité pénale dans l'entreprise: vers un espace judiciaire européen unifié?, sous la direction de Mireille Delmas-Marty, Paris: Dalloz, 1997, ISBN: 2247027458 (même pagination que dans la revue); note: partie des travaux de la Journée d'études du 13 décembre 1996 "consacrés au thème de la responsabilité pénale dans l'entreprise (art. 10 à 14 du Corpus)" (p. 253);

[Table des matières]

[Introduction]...352

I. -- LA RESPONSABILITÉ PERSONNELLE...354

II. -- LA RESPONSABILITÉ DU CHEF D'ENTREPRISE...355

III. -- LA RESPONSABILITÉ DES GROUPEMENTS...358

___________"Sanctions administratives et personnes morales : une autre forme de répression",  (1996) numéro spécial 149 Les Petites affiches 54; 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 bibliothèques de la région d'Ottawa comprises dans le catalogue AMICUS de  Bibliothèque et Archives Canada (vérification du 24 juillet 2004);
 

PINTO, Amanda and Martin Evans, Corporate criminal liability, London: Thomson/Sweet and Maxwell, 2003, xliii, 391 p., ISBN: 0421792809; copy at Ottawa University, FTX General, KF 9236.5 .P56 2003;

"As a result of the seemingly relentless rise in fatal accidents and disasters, the public is more concerned than ever with corporate responsibility and accountability and criminal law is increasingly invoked to punish corporate fault.

 This work provides a practical guide to the implications of this ever-growing area of law. It reviews the background to corporate criminal liability, considers who is responsible, discusses specific offences, and examines the present position of
corporations facing a manslaughter allegation and what an Involuntary Homicide Act is likely to change.
• Practical treatment of major offences affecting companies
• Gathers together a wide range of material-enabling immediate reference on procedure, evidence and law in a single
source
• Sets out the relevant parts of leading authorities on the subject

Contents: Historical background to corporate criminal liability • Early development of corporate criminal liability • Personal and vicarious liability of corporations • The doctrine of identification • The principle of delegation • Directors’ liability • Jurisdiction over corporations • Territorial jurisdiction • Proceedings in criminal courts • Categories of offence • Corporations and human rights • Sentence • Costs • Corporate manslaughter • Financial offences • Regulatory offences • Appendices." (source:  http://www.carswell.com/law/law_book_news/LBNI03AprMay.pdf, accessed on 19 September 2003)

PITT, Harvey L. and Karl A. Groskaufmanis, "Minimizing Corporate Civil and Criminal Liability: A Second Look at Corporate Codes of Conduct", (1989-90) 78 Georgia Law Journal 1559-1654; copy at Ottawa University, KFG 69 .G46  Location: FTX Periodicals;

[Contents]

I. INTRODUCTION...1559

II. CORPORATE LIABILITY AND EMPLOYEE CONDUCT...1562

A. CORPORATE TORT LIABILITY...1563
B. CORPORATE CRIMINAL LIABILITY...1570

III. HISTORICAL ROOTS OF CORPORATE CODES...1574

A. THE EVOLUTION OF THE CORPORATION AND
     CORPORATE SELF-REGULATION...1575
B. THE "ELECTRICAL CASES" AND ANTITRUST
    COMPLIANCE PROGRAMS...1578
C. THE FOREIGN CORRUPT PRACTICES ACT OF 1977
     AND CORPORATE CODES...1582
D. THE INSIDER TRADING SCANDALS OF THE 1980s...1587
E. DEFENSE CONTRACTORS AND CORPORATE CODES...1593
F. RICO AND CORPORATE CODES...1596
G. OVERVIEW: THE AGE OF ETHICS...1598

IV. EMPIRICAL STUDIES OF CORPORATE CODES...1601

A. THE COMMON ACCEPTANCE OF CODES...1602
B. THE SCOPE OF TYPICAL CORPORATE CODES...1602
C. THE ADMINISTRATION AND ENFORCEMENT OF
     CORPORATE CODES...1604

V. THE LEGAL EFFECTS OF LEGAL CODES...1605

A. CORPORATE CODES AND TORT LIABILITY...1606
B. CRIMINAL LIABILITY AND CORPORATE CODES...1610
C. SECTION 20(a) AND CORPORATE PROCEDURES...1614
D. CHINESE WALLS...1617

1. Chinese Walls in the Securities Industry...1617
2. Bank Chinese Walls...1624
3. Law Firm Chinese Walls... 1626

E. OVERVIEW...1630

VI. CRITICISMS OF CORPORATE CODES...1630

VII. A RESPONSE TO THE CRITICS...1633

A. PRAGMATIC CONSIDERATIONS AFFECTING A DECISION
     TO ADOPT (OR RETAIN) A CORPORATE CODE...1634
B. LEGAL CONSIDERATIONS AFFECTING A DECISION
     TO ADOPT (OR RETAIN) A CORPORATE CODE...1636

VII. DRAFTING AND ADOPTING A CORPORATE CODE...1637

A. SELECTING A TEAM...1637

1. The Chief Executive Officer...1638
2. The Chief Financial Officer...1638
3. Other Active Managers...1638
4. The General Counsel/Chief Administrative Officer...1638
5. Labor Counsel...1638
6. Various Counsel Expert in the ProposedCode's
    Subject Areas...1638
7. Public Relations or Writing Experts...1638

B. TAILORING A CODE TO THE CULTURE OF THE COMPANY...1639
C. TAKING INVENTORY...1640
D. CRAFTING A CORPORATE CODE....1641
E. ADOPTING A CORPORATE CODE...1641
F. ADMINISTRATION OF THE CODE...1643

IX. A MODIFIED DUE DILIGENCE STANDARD...1645

A. DUE DILIGENCE AND CORPORATE VICARIOUS LIABILITY...1645
B. REWARDING DUE DILIGENCE...1647
C. RATIONALE...1652

X. CONCLUSION...1653

__________"Mischief afoot: the need for incentives to control corporate criminal conduct -- Part I and II", (November-December1993) 12 National Banking Law Review 95-96 and (January-February1994) 13 National Banking Law Review 1-3; copy at the Library of the Supreme Court of Canada, Ottawa; article originally published in (1991) 71 Boston University Law Review 447-453;

Contents
I.  Introduction...95
II.  Corporate Criminal Sanctions in the 1990s...96
Notes [end of Part I]...96
III.  The Paradox of Corporate Criminal Liability...1
IV.  Conclusion...2
Notes [end of Part II]...2

PLANQUE, Jean-Claude,  La détermination de la personne morale pénalement responsable ...préface d'Alain Prothais, Paris/Budapest/Torino: l'Harmattan, 2003, 523 p.,  (Collection Logiques juridiques, ISSN 1159-375X), ISBN: 2747540707; note: Texte remanié de : Thèse doctorat : Droit pénal : Lille 2 : 2000;
 

___________La détermination de la personne morale pénalement responsable, Thèse Doctorat : Droit pénal, Université de Lille 2, 2000, 486 p.;

"Résumé:

L'introduction de la responsabilité pénale des personnes morales a été unanimement présentée comme l'une des innovations majeures du Code pénal de 1994.  Lorsqur l'on confronte les solutions dégagées pour les personnes physiques et le particularisme des personnes morales, on constate souvent qu'il est nécessaire d'adapter ou d'abandonner celles-ci le législateur a laissé doctrine et jurisprudence face à une immense friche juridique: l'ensemble du pénal doit être réexaminer en tenant compte de la spécificité de ces nouveaux acteurs.  Mais, il convient, au préalable d'identifier les groupements que le législateur a entendu soumettre à la loi pénale et qu'il désigne par le terme générique de 'personne morale'.  Cette recherche passe par l'étude d'autres branches du droit dont les règles devront être examinées en tenant compte des impératifs de la répression et du principe d'autonomie du droit pénal.  Ce n'est qu'après avoir désigné les groupements qui sont potentiellement pénalement responsables qu'il convient de rechercher les conditions devant être remplies pour qu'il y ait effectivement responsabilité pénale.  Certaines de ces conditions sont propres à la responsabilité pénale des personnes morales.  D'abord, il faut que les faits matériels aient été commis par un 'organe' ou un 'représentant', notions employées par le Code pénal sans être définies.  Ensuite, il faut aussi que le législateur ait expressément prévu la possibilité de l'engagement de la responsabilité pénale des personnes morales.  Les autres conditions sont celles qui s'appliquent également aux personnes physiques.  Mais, elles réclament une attention particulière dans le cas des personnes morales en tentant de répondre à ces questions, doctrine et jurisprudence, ont la difficile tâche de poser les règles de cette nouvelle responsabilité et son influence sur celle des personnes physiques contribuant ainsi à la création de ce qu'il convient d'appeler le droit pénal des personnes morales." (source: catalogue Abes, disponible à  http://www.sudoc.abes.fr/)

___________"Plaidoyer pour une suppression réfléchie de la responsabilité pénale des personnes morales", (7 janvier 2004) Petites affiches 3-10; titre noté dans mes recherches mais article non consulté; aucune copie de ce numéro de périodique dans les bibliothèques de la région d'Ottawa selon ma vérification du catalogue AMICUS de Bibliothèque et Archives Canada (vérification du 2 janvier 2005);
 

PLOSCOWE, Morris, "La responsabilité pénale des personnes morales dans la jurisprudence anglo-américaine", (1929) 4 Études criminologiques 48-53; avec le même titre dans: (1929) 9 Revue de droit pénal et de criminologie 424-431; titre noté dans mes recherches mais article non consulté; aucune copie de ces volumes particuliers de ces périodiques dans la région d'Ottawa selon ma vérification du catalogue AMICUS, de Bibliothèque et Archives Canada (vérification du 23 octobre 2004);
 

PODGOR, Ellen S., " 'Defensive Territoriality': A New Paradigm for the Prosecution of Extraterritorial Business Crimes", (2002-2003) 31 Georgia Journal of International and Comparative Law 1-30; copy at Ottawa University, K 521 .G467 Location: FTX Periodicals;
 

POLING, Jonathan C. and Kimberly Murphy White, "Corporate criminal liability", (2001) 38 American Criminal Law Review 525-554; note: 16th Annual Survey of White Collar Crime;

[Contents]

I. INTRODUCTION...525

II. CORPORATE CRIMINAL LIABILITY...528

A. Criminal Liability for Agent Action: Scope and Nature of Employment...529

1. The Common Law...530
2. The Model Penal Code...531
3. Employee Actions Prohibited by the Corporation...531

B. Benefiting the Corporation...532

C. Imputing Knowledge and Action to the Corporation...533

1. Collective Knowledge Doctrine...533
2. Wilful Blindness Doctrine...534
3. Conspiracies...534
4. Mergers, Dissolutions, and Liability...535
5. Misprison of Felony...536

III. SENTENCING UNDER THE ORGANIZATIONAL GUIDELINES...537

A. Introduction: Purpose and Scope  of the Organizational Guidelines...537

B. Guidelines Provisions: Offenses Covered and Sanctions Permitted...540

1. Remedies...541
2. Probation...542
3. Imposition of Fines...543

a. Base Offense Level...545
b. Base Fine...545
c. Culpability Score...546

i. Calculation: Increasing Factors...546
ii. Calculation: Decreasing Factors...547

I. Effective Corporate Compliance Programs...548
II. Cooperation...551

d. Multipliers...552
e. Disgorgement...553
f. Implementation...553
g. Departures...554"     (p. 525)

POLITOFF, S.I., and F.A.J. KOOPMANS, "National Monographs - Chile" in Lieven Dupont and Cyrille Fijnault, eds. International Encyclopaedia of Laws, Criminal Law, vol. 1,  The Hague, London, Boston: Kluwer Law International, 1993-, 258 p., Supplement number 24, November 2003, ISBN: 9065449374;

"No Corporate Liability

... The Chilean Criminal Code lays down the principle -- as do almost all legal systems of continental Europe¹ -- that only persons of flesh and blood are capable to perpetuate an offence.  Corporations as such cannot be held responsible for criminal offences; instead of liability of the corporation there is liability of the natural persons who physically perpetrated the act.  This lack of corporate criminal liability does not prejudice civil liability incurred by the corporations when natural persons acted in their name (s. 39CPP; s. 58 CPP 2000).²

1.  An exception is the Netherlands (s. 51 WvSr) and recently the new French Penal Code (ss. 121-122).  Corporate liability is likewise known in English and American criminal law, while the Chilean Draft of 1938 provided for liability of corporations.
2.  The following may assumed to be an exception: contravention of the law against monopolizing (DL 211 of 17.12.73, s. 3) carry as additional penalty sanctions directed against corporation itself (dissolution or withdrawal of corporate rights)." (p. 72)

POLLOCK, Frederick, A First Book on Jurisprudence, 4th edition, London: MacMillan, 1918, xviii, 367 p.; copy at the Library of the Supreme Court of Canada, K 230 P64 F57 1918;

"...a corporation cannot commit crimes, for it cannot authorize them. If the members or representatives of a corporation affected to authorise a criminal act in its name, they would merely make themselves liable as individuals. To put an extreme case, if the East India Company had rebelled against the Crown, not the Company but the directors would have been guilty of high treason.  Supposing, again, that a corporation could commit high treason or any other offence punishable with death or imprisonment, the sentence could not be executed.  'From corporal penalties Nature hath exempted all bodies politique.'¹  But abuse of corporate powers may lead to what we may call approximate capital punishment, namely, the dissolution of the corporation by the judicial revocation of its charter, or other appropriate process of law.  Moreover, a corporation may have positive duties imposed on it by public law, and may incur penalties (though not criminal punishment in the strict sense) by failure or neglect in that respect.  Such duties may be directly imposed on a corporation in connection with the special purposes for which it is constituted, or as an equivalent for privileges granted by the State; or the corporation may incur them by carrying on a trade or business to which they are attached by the general law.  Further, a corporation may be liable for civil wrongs committed by its agentts in the course of their employment, just as a natural person may be; and this is of very great importance in practice. ..."
------
¹ Hobbes, Leviathan, c. 22." (p. 127)

___________"Has the Common Law Received the Fiction Theory of Corporations?", (1911) 27 The Law Quarterly Review 219-235;
 

POLLOCK, Frederick, Sir, 1845-1937 and Frederic William Maitland, 1850-1906, The history of English law before the time of Edward I, 2nd ed. reissued; with a new introduction and select bibliography by S. F. C. Milsom, London: Cambridge University Press, 1968, 2 v., Bibliography: v. 1, p. lxxv-xci,  ISBN: 0521095158 (v.1) and  0521095166 (v.2), see in vol. I, "Corporations and Churches" at pp. 486-511; see also "The Borough" at p. 678; copy at Ottawa University, FTX General, KD 608 .P6 1968 v. 1 and MRT General, FTX General, KD 608 .P6 1968 v. 1;
 

PONCET, Dominique et Alain Macaluso, "Évolution de la responsabilité pénale de l'entreprise en Suisse et perspective inspirée de modèles étrangers", in von Andreas Donatsch, Marc Forster, and Christian Schwarzenneger, eds., Strafrecht, Strafprozessrecht und Menschenrechte, Festschrift für Stefan Trechsel zum 65 Geburtstaq, Zurich: Schulthess, 2002, xviii, 909 p., aux pages 517 et suivantes, ISBN: 3725544247; titre noté dans mes recherches mais article non consulté; aucune copie de ce livre dans les bibliothèques comprises dans le catalogue AMICUS de Bibliothèque et Archives Canada, Ottawa (vérification du 27 mai 2004);
 

___________"Quelques réflexions sur l'introduction d'une responsabilité pénale des personnes morales dans le code pénal suisse", dans Responsabilité civile et assurance : études en l'honneur de Baptiste Rusconi/ recueil edit par Jerome Benedict ... [et al.] avec la collaboration de Frederic   Berthoud, Lausanne : Bis et Ter, 2000, 526 p., aux pp. 295-314; titre noté dans mes recherches mais livre non consulté; aucune copie de ce livre dans les bibliothèques d'Ottawa, selon ma vérification du catalogue AMICUS (8 mars 2004); copie à McGill University, Nahum Gelber Law Library/Université McGill, Bibliothèque de droit Nahum Gelber, KK 839 R47 2000;
 

PONTELL, Henry N., Kitty Calavita and Robert Tillman, "Corporate Crime and Criminal Justice System Capacity: Government Response to Financial Institution Fraud", (1994) 11(3) Justice Quarterly 383-410; copy at Ottawa University, HV 6001 .J88  Location: MRT Periodicals;
 

POSNER, Richard A., "Optimal Sentences For White Collar Criminals", (1979-80) 17 American Criminal Law Review 409-418; copy at Ottawa University, KF 9202 .A425  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada, Ottawa; also published in Leonard Orland, ed., Corporate and White Collar Crime: An Anthology, [Cincinnati, Ohio]: Anderson Publishing, 1995, xiii, 438 p., ISBN: 0870848704;

"[Abstract]
Those concerned by the growth of white-collar crime disagree over the choice of a fine or imprisonment as the more appropriate sentence.  In this article, professor Posner argues that a sufficiently large fine is an equally effective deterrent that is cheaper to administer and therefore socially preferable." (p. 409)

POUND, Roscoe, 1870-1964, Jurisprudence, vol. IV,  Part 6. Application and Enforcement of Law. Part 7. Analysis of General Juristic Conceptions, St. Paul (Minn.): West Publishing, 1959, xv, 543 p., see "Juristic persons", at pp. 200-261; copy at Ottawa University, Law Library, K 24 .P6 1959 v. 4;

[Contents]

Juristics persons...200

(1) Kinds of juristic legal units...200

(2) History of the theories of juristic persons...209

- The unincorporated association as an entity...217
- Entities other than groups or associations...219

(3) The Theories in detail...220

(a) The concession theory...222
(b) The fiction theory...226
(c) The organism theory...240
(d) The group personality (realist, sociological) theory...244
(e) Jhering's (the "bracket") theory...250
(f) The form of ownership theory...254
(g) Kelsen's theory...259

POWER, Helen, and Brian Dorwick, "Issues in Corporate Crime: An Introduction", (1998) 2 WebJCLI; available at  http://webjcli.ncl.ac.uk/1998/issue2/power2.html (accessed on 24 April 2004); note: "First Published in Web Journal of Current Legal Issues in association with Blackstone Press Ltd.";
 

PNG, Cheong-Ann, Corporate liability : a study in principles of attribution, London/Boston : Kluwer Law International, c2001, xxvi, 191 p. (series; Studies in comparative corporate and financial law; volume 13), ISBN: 9041198466; note: "Originally presented as the author's thesis (doctoral--London University)"; copy at Carleton University, Floor 4, K1329.5 .P59 2001;

"[Partial Contents]
Foreword / Justice Lightman...ix
Preface...xi
Postscript...xiii
Table of Cases...xv

1  Introduction...1
2  Principles of Attribution...17
3  Principles of Attribution in Civil Proceedings...41
4  Principles of Attribution in Criminal Proceedings...59
5  Principles of Attribution in Regulatory Proceedings...81
6  Aggregation in Principles of Attribution...101
7  Barriers to Principles of Attribution...115
8  Individual Liability and Liability of Holding Corporations in Corporate Groups...131
9  Conclusion...149
App.  Transcript of the Prosecution's Submission on Aggregation in Attorney General's Reference (No. 2 of 1999) [2000] 3 All E.R. 182 (pp. 98-103 of the Transcript)...159
Bibliography...161
Index...185" (Source: Columbia University catalogue, PEGASUS and consultation of the book)

PRABHU, Mohan, "General Report [of the Preparatory Colloquium, Section 1, Crimes against the Environment -- General Part, Ottawa (Canada), November 2-6, 1992]", (1994) 65 Revue internationale de droit pénal / International Review of Penal Law 699-728; also published in French / aussi publié en français: "Rapport général [Colloque préparatoire, section 1, Les atteintes à l'environnement, problèmes de droit pénal général, Ottawa (Canada), 2-6 novembre 1992)]", (1994) 65 Revue internationale de droit pénal / International Review of Penal Law 663-698;

"2.2.1.1.2 Legal persons, in particular corporations

    As mentioned earlier, a majority of continental European countries adhere to the principle of personal liability.  A corporation or other legal person, and others with or without legal personality not being physical persons, cannot commit a crime.  When a crime has been committed within the confines of corporate activity, it is necessary in these countries to identify and prosecute individuals behind the corporate veil, such as employees, managers and executives, however high the trail may lead.

     In the Hungarian rapporteur's view, it is better to change the decades old situation that the environment law and the enforcement is divided into several segments according to legal branches and even the protected media, than give up the several centuries old legal practice of the continental system of personal responsibility in the criminal law.  He calls for inter-disciplinary of environmental law, using penal measures against corporate leaders and a sound civil law case against the corporationi itself.  Unless these measures go hand in hand, imprisonment of a couple of leaders or employees of the corporation itself will not stop pollution of the environment.

    Countries in our survey which adhere to the civil law tradition in this respect include Austria, Belgium, Finland, France, Germany, Greece, Hungary, Italy, Poland, Portugal, Romania, Spain, Sweden, Switzerland and Turkey.

    Where sanctions other than penal punishment are involved, e.g. forfeiture, corporate fines, administrative sanctions (licence revocation, etc.), the corporation may be directly penalized.

    Under Belgian statutes, the law frequently establishes the civil responsibility of the legal person for the payment of fines inflicted on its organs and employees.  Through this, the legal person assumes the pecuniary consequences of a penal condemnation inflicted on its members but retains the principle of right of recourse against those penally responsible.  While the penal law's response is far from satisfactory, the Belgian rapporteur does not favour a clean sweep of the centuries old civil law principles and instead recommends that penal measures against physical persons, especially against the leaders of the entreprise, be further combined with a system of protective measures, confiscation, safety measures and garantee obligations.

    In Germany, where a distinction has been made between criminal offences and administrative offences (Ordnungswidrigkeiten), a non-criminal administrative fine (Geldbusse) can be assessed against legal persons and associations if a legal representative of the entity (being a natural person) commits either a crime or an administrative violation, although his or her identity need not be ascertained.  Even if no crime or violation has been committed by a legal representative (because of diffused organizational structure) a Geldbusse can still be imposed if there has been a violation of managerial duties.  In such an instance, if no case has been filed against a natural person for criminal or administrative violation, the Geldbusse can be assessed independently against the legal person.

    In Swiss Administrative Penal Law, when an offence has been committed and the probable fine for it is not over SF5.000, and if the prosecution of physical persons would indicate investigation measures out of proportion with respect to the foreseen sentence, then the prosecution of these persons can be by-passed and in their place the legal person and others, and those without legal personality, can be ordered to pay the fine.

    In Finland under the proposed amendment to the Penal Code, when an environmental offence has been committed, the legal person could be condemned to pay a corporation fine the amount of which could range from Fim 5.000 (about US$1,000.00) to Fim 5 million (about one million U.S. dollars).  However, in order to be liable, either the guilty persons need to be identified or it must be shown that the legal person did not use due diligence to prevent the crime.  The environmental crimes would be the first and only sphere of application to this provision.

    The Netherlands rapporteur states that Dutch law has since 1976 accepted in principle that crimes can be committed not only by natural persons, except in respect of those crimes which by their very nature can only be committed by natutal persons (e.g. rape).  This principle has been incorporated in section 51 of the Dutch Penal Code.

    Legal persons, such as corporations, are subject to criminal liability in countries with a common law tradition.  In our survey, these are Canada, Israel and the United States.  China and Japan also accept the principle of corporate criminality.

    Prosecuting corporations in the U.S., China, Japan, etc. where criminality can be imputed to corporations, does not, of course, exonerate individuals implicated in the offence from criminal liability.  This is generally made very clear in the laws of the above referred countries.  However, it is often expedient to prosecute only the corporation because it spares the investigating and prosecuting officials the trouble of going behind the corporate veil and identifying the actual director, manager or other employee responsible for the crime.  Such a task is particularly difficult in large, complex organizations.  On the other hand, stigmatizing the corporation could have spillover effects on the corporation, its employees and suppliers." (pp. 715-717)

PRACTISING LAW INSTITUTE, Advanced corporate compliance workshop, New York, N.Y. : Practising Law Institute, c1999- (series; Corporate law and practice course handbook series), Frequency: Annual; ISSN:  1537-5730; title noted in my research but document not consulted; no copy of this book in the Canadian librairies covered by the catalogue AMICUS of  Library and Archives Canada (verification of 15 June 2004);
 

PRADEL, Jean,  "Criminal liability of legal persons in legislation of European countries", (1999) 8 Juridica 370-375; notes: periodical number: ISSN 1406-1074; see synopsis of article at ; publisher : Tartu (Estonia) : Tartu Ülikooli ƒOigusteaduskond; note: article may be in Estonian with summary in English; no copy of this periodical in the Canadian libraries covered by the AMICUS catalogue of Library and Archives Canada (verification of 23 June 2004);

"Summary

The concept of criminal liability of legal persons introduced at the beginning of the 19th century has been gradually gaining ground. It is now commonly believed that a legal person is not a mere fiction but a sociological reality which may commit crimes and which can be punished. However, countries vary in their attitudes towards the principle of criminal liability of legal persons.

The author examines positions of countries who have opted for or against the introduction of criminal liability of legal persons and the arguments underlying such positions.

The author scrutinises different techniques applied by the countries which have enacted criminal liability of legal persons and addresses issues concerning the bases and conditions for and the legal consequences of such liability. Further the author deals with issues relating to direct and indirect criminal liability, specification of crimes committed by legal persons, establishment of a link between a legal person and the committed crime, etc.

The article is based on a presentation made at the Faculty of Law of the University of Tartu on 16 September 1999." (source:  http://www.juridica.ee/juridica_en.php?document=en/articles/1999/8/15760.SUM.php, accessed on 23 June 2004)

___________Droit pénal comparé, 2^eédition, Paris: Dalloz, 2002, x, 803 p., voir, "Les personnes morales" aux pp. 351-363 (Collection; précis -- droit privé), ISBN: 2247041108; copie à la Bibliothèque de la Cour suprême du Canada, K 5015.4 P73 2002 c. 01;

Table des matières

Les personnes morales...351

Vue générale...351

§ 1.  Législations rejetant la responsabilité pénale des personnes morales...352

A.  Le principe...352
B.  Les limites...354

§ 2  Législations consacrant la responsabilité pénale des personnes morales

A.  Fondement de la responsabilité
B.  Conditions de la responsabilité...361

___________Histoire des doctrines pénales, deuxième édition corrigée, Paris: Presses Universitaires de France, 1991, 126 p. (Collection; "Que sais-je"; numéro 2484), ISBN: 2130432735;

"Au  congrès de l'Association internationale de droit pénal de Bucarest, en 1929, J.-A. Roux expliquait qu'en punissant la personne morale, on frappe indistinctement tous ses membres, ceux qui n'ont pas voulu le délit aussi bien que ceux qui l'ont voulu.  Cependant, à la même époque, les idées évoluaient.  Il apparaissait en effet, que, pour beaucoup d'infractions commises dans le cadre d'entreprises (en droit du travail, de la consommation, de l'environnement notamment), l'entreprise, souvent personne morale, était 'l'instrument' par lequel agissent des individus.  La responsabilité de la personne morale allait en découler.  Les auteurs le comprirent et, s'aidant d'exemples tirés du droit anglo-américain, changèrent de cap.  Après celui de Bucarest, malgré l'avis de Roux, divers congrès subséquents admirent cette responsabilité (Rome,1953; Budapest, 1978; Pau, 1978).  Les législateurs actuels s'orientent vers cette solution." (p. 120)

___________"La mondialisation du droit pénal: enjeux et perpectives", (2001) 35 Revue juridique Thémis 201-272; disponible à http://www.themis.umontreal.ca/revue/rjtvol35num1_2/pradel.pdf (visionné le 8 mai 2004);

"[ p. 250] Pendant longtemps, la responsabilité pénale des personnes morales ne fut consacrée que dans les pays appartenant au common law (Royaume-Uni, États-Unis et Canada, notamment). Or en quelques années, les droits d’Europe continentale en viennent à admettre eux aussi cette idée : les Pays-Bas en 1952, la France en 1994, la Finlande en 1995, l’Estonie en 1998, la Belgique en 1999 ..., sans parler de l’Allemagne qui a consacré une responsabilité administrative, punitive et non pénale, et de l’Espagne qui permet au tribunal d’appliquer à la personne morale des « conséquences accessoires » de la condamnation comme la fermeture d’établissement¹⁸. Sans doute dans les droits ayant reconnu expressément ce nouveau type de responsabilité, le régime n’est-il pas identique alors que, par exemple en France, la personne morale n’est responsable que si un dirigeant a lui-même commis une
------
¹⁸  E . B A C I G A L U P O, Curso de derecho penal económico, Madrid, Barc e l o n e, Marcial Pons, 1998, p. 65 et suiv.
 

[p. 251] infraction (théorie du ricochet), les Pays-Bas et la Belgique admettent la responsabilité de l’être moral, même si aucune personne physique n’est convaincue d’avoir commis personnellement une infraction. De même, le législateur est-il beaucoup plus prolixe ici qu’ailleurs : on comparera la sécheresse des dro i t s français, belge et hollandais avec le luxe de détails du Code pénal finlandais qui va jusqu’à énumérer les fondements de la sentence quand le principe de la responsabilité est admis¹⁹.  Il n’en reste pas moins que le rapprochement entre pays de common law et pays d’Europe continentale est significatif²⁰.  [...]
------
¹⁹ C.P. 1889, modifié en 1995, c. 9, art. 4 où sont énumérés la nature de la faute, le statut de l’auteur au sein de la personne morale, la gravité du délit et ses conséquences, les mesures de prévention adoptées par la personne morale afin d’éviter la commission de nouveaux délits, etc.
²⁰ En Amérique latine, une apparition timide de cette responsabilité se fait jour, par exemple au Brésil."

___________"La responsabilité des personnes morales en droit pénal comparé", dans, sous la direction de,  Marcel Alexander Niggli, Franz Riklin, et Jose Hurtado Pozo, Strafjustiz und Rechtsstaat : Symposium zum 60. Geburstag von Franz Riklin und José Hurtado Pozo/ Justice pénale et État de droit: Symposium pour le 60e anniversaire de Franz Riklin et de José Hurtado Pozo, Zürich; Basel; Genf : Schulthess, 2003, 118 p., aux pp. 49-68, ISBN: 3725545383; titre noté dans mes recherches mais article non consulté; aucune copie de ce livre dans les bibliothèques couvertes par le catalogue AMICUS de Bibliothèque et Archives Canada (vérification du 12 mars 2004);
 

PRINS, Adolphe, 1845-1919, Science pénale et droit positif, Bruxelles: Bruylant-Christophe; et Paris: Librairie A. Marescq, 1898, xxxviii, 589 p.; copie à l'Université de Sherbrooke (Québec, Canada); livre rare au Canada;

"DU SUJET DE L'INFRACTION

    194.  Seule, la personne humaine est, dans notre droit pénal, auteur d'infraction.

    En vertu de l'esprit individualiste qui pénètre le droit moderne, on ne peut attribuer, d'après la loi positive, une action coupable et appliquer une peine qu'à l'individu.
 

    195.    Le groupe, la corporation, la personne morale ne peut délinquer.  Nous avons subi, depuis Savigny surtout, l'influence de la doctrine romaine en vertu de laquelle la personne civile n'avait qu'une existence factice, puisée uniquement dans les statuts octroyés par le prince et ne possédait, en dehors des limites de ces statuts, aucune vie juridique ni pour le bien, ni pour le mal.  Avec la tradition impériale, nous considérons comme contraire au droit et à l'équité, à la personnalité de la peine comme à l'essence de la personne morale, d'admettre que celle-ci puisse être auteur responsable d'une infraction.
 

    196.  Ce système est l'antithèse de l'ancien droit et notamment de la conception du droit germanique.  Qu'il s'agisse du droit scandinave ou franc, ou anglo-saxon, ou allemand, l'unité n'est pas l'individu, mais la collectivité (famille, clan, gilde, communauté), dont les membres forment un tout organique, indivisible, indissoluble.  L'obligation de maintenir l'ordre et la paix et de répondre du trouble causé est une obligation solidaire.  On trouve, aux premiers siècles de l'histoire, l'expression la plus nette de la garantie mutuelle et de la responsabilité collective dans la loi anglaise dite 'loi de Frank-pledge', qui est la forme légale du cautionnement mutuel.

    Le droit canonique, à son tour, a souvent admis le principe de la responsabilité collective et, à partir du XI^e siècle, l'interdit a plus d'une fois été mis sur des Etats ou sur des villes.

    Au XVII^e siècle, l'Ordonnance Criminelle de 1670 reconnaît que les villes, bourgs, villages, corporations et autres êtres moraux peuvent commettre des crimes.  Et nous rencontrons actuellement encore une survivance de cette conception dans la loi vedémiaire an IV sur la responsabilité des communes, qui est en vigueur dans notre pays et qui, en cas de troubles et de pillages, permet d'imposer à la commune sur le territoire de laquelle les dégâts ont eu lieu, le payement du double du dommage causé.
 

    197.   Aujourd'hui que la législation sociale tend à la reconstitution des groupements organiques (syndicats, unions professionnelles, trade unions, Innungen, etc.), il paraît rationnel de ne pas nier la possibilité de délinquer là où l'on reconnaît, avec la propriété, la réalité de la vie organique et une capacité juridique, expression de la volonté collective.  La loi protège la corporation qui accomplit des actes licites;  elle a le droit de la frapper quand elle accomplit des actes illicites et de lui infliger dans la personne de ses représentants des pénalités, comme l'amende.
 

    198.  La science pénale va plus loin encore: instruite par la statistique, par les études sociologiques, par l'expérience, elle recommence à croire à la responsabilité du milieu social en constatant l'action prépondérante, bonne ou mauvaise, du milieu social.  Il y a des milieux bienfaisants, comme il y en a où se développe le penchant criminel.  L'enfant des bas-fonds qui grandit dans le vice, la débauche, la corruption, est la victime de son entourage, et la société qui l'abandonne est responsable des crimes qu'il commet, comme la tribu franque était responsable du crime des siens.  C'est en vertu de ces principes que la société actuelle considère la protection de l'enfance comme un devoir sacré.
 

    199.   Enfin, la science pénale contemporaine, s'éloignant jusqu'à l'extrême du principe que l'individu seul peut être sujet de d'infraction, affirme la conception opposée de la foule criminelle.  De l'individualisation de la culpabilité, on retourne dans ce cas à l'idée d'une culpabilité collective.  Contrairement à la théorie de M.H. Spencer, on admet que la foule est un être différent des individus qui la composent, et que, dans la foule, la personnalité des individus s'évanouit pour donner naissance à une âme collective.
 

    200.  Les récentes enquêtes sur la psychologie des foules distinguent:

    a.  Des foules homogènes et organiques composées d'individus semblables avec une origine commune, des tendances et des intérêts communs et dont les instincts sont honnêtes; le type élémentaire de ces foules est la famille;

    b.  Des foules hétérogènes et inorganiques, composées d'éléments disparates, rassemblés au hasard, et où les prédispositions instinctives poussent plutôt au mal: le type le plus caractéristique de la foule hétérogène est la multitude anonyme des rues.  Dans ces agrégats, l'ensemble est inférieur à l'individu, la contagion de l'exemple est toute-puissante.  Leurs signes distinctifs sont la mobilité et la soudaineté des explosions, la violence des impulsions; le nombre rend plus courageux pour le mal comme pour le bien;  les individus se suggestionnent les uns les autres avec d'autant plus de facilité qu'ils sont plus nombreux; aussi il suffit de peu de choses pour rendre la foule criminelle.
 

    201.  C'est en définitive dans certains foules que subsiste l'instinct sauvage, que l'on trouve la prédisposition aux actes nuisibles et le penchant criminel; la caractéristique de ces foules surexcitées, c'est que les que les qualités de l'humanité s'y neutralisent, les défauts s'y accusent et l'écume monte à la surface.

    Aussi, quand une foule s'est livrée à des actes délictueux, il ne peut assurément être question de la considérer en cette qualité comme auteur d'infraction et de la rendre passible de peines, mais pourtant la notion de la foule criminelle a des conséquences juridiques.

    Cette notion a modifié certains principes reçus en matière de participation, en montrant le danger de l'association en elle-même, peu importe que les associés soient auteurs ou complices (voy. n^os 591 à 597).

    Elle a ensuite, quand une infraction peut être attribuée à une foule, à un groupe ou à une bande, fait comprendre la nécessité de rechercher et de frapper sévèrement les meneurs et de ne réserver l'indulgence qu'aux menés (voy. n^o 570).

    Elle a aussi prouvé le danger de la provocation comme telle, même quand elle n'est pas suivie d'effet, alors que le droit positif ne punit que très exceptionnellement la provocation non suivie d'effet (voy. n^os 571 à 575).
 

    202.  Laissant de côté ces considérations, nous nous retrouvons en présence du droit positif affirmant que l'homme seul peut être auteur d'infraction. ..." (pp. 118-123)

PRITCHARD, Melanie, "Corporate Manslaughter: The Dawning of a New Era?", (1997) 27(1) Hong Kong Law Journal 40-73; copy at the Library of the Supreme Court of Canada;

Introduction...40

Academic debate...40
Objectives...41
The English conviction...42
The Hong Kong conviction...42

Rationale for corporate manslaughter...45

Ineffectiveness of present alternatives...46
Breach of safety legislation...46
Action for civil negligence...49
Prosecution of the individual concerned...51

Current basis for corporate manslaughter...54
Development of corporate liability...54
The application of corportae criminal liability to the law of manslaughter...57
Recent development in the law of manslaughter...59

Is the likelihood of further corporate manslaughter conviction increased?
The gross negligence and reckless test compared...62
Application of the identification theory to the gross negligence test...65
Recent developments...67

Hong Kong's response...68

Conclusions...71
Aggregation...71
Corporate punishment...72
 

PUBLIC CONCERN AT WORK, "Reforming the Law on Involuntary Manslaughter: Response to the proposals on Corporate Killing -- Reforming the Law on Corporate Killing", September 2000; available at  http://www.pcaw.co.uk/news/press_9.html (accessed on 1 July 2004); note: "Public Concern at Work, founded in 1993, is the leading authority on public interest whistleblowing";
 

PUNCH, Maurice, "Suite Violence: Why Managers Murder and Corporations Kill", (2000) 33 Crime, Law and Social Change 243-280;

[Contents]

Abstract…243
Introduction…243

Herald of Free Enterprise…248

The managerial mind and corporate culture…253

Size/complexity…254
Goals…255
The Company as a total institution…256
Culture…256
Personality/idendity…257
Depersonalization…258
Ideology/rationalizations…259
Business as war…260
Fun/excitement…261
Risk-takers…262
Corporate heroes and leadership…263
Tricks and treaters: Dirty workers…265
Pressure…266
Homo economicus…267
Organization man…268
Groupthink…269
Cognitive dissonance…270
The amoral chameleon…271

Conclusion: Getting away with murder…272
References…275

PURI,  Poonam and Leslie McCallum, Canadian Companies' Guide to the Sarbanes-Oxley Act,  Butterworths,  April 2004, 208 p., ISBN: 0433 444126; copy at Ottawa University, FTX General,  FTX General: KF 1446 .A3117 M324 2004; copy at the Library of Parliament

"The U.S. Sarbanes-Oxley Act (SOX) was enacted in 2002 in response to a number of well-publicized corporate scandals. The purpose of the Act is to protect the interests of investors by addressing several concerns including: the certification of financials, disclosure requirements, and auditing and corporate governance standards.

Currently, SOX applies to all issuers whose securities are listed in the U.S. or who are required to file annual or periodic reports with the SEC - including Canadian companies reporting under the Canada-U.S. Multi-jurisdictional Disclosure System.

"This publication is geared specifically to those who advise Canadian companies that engage or plan to engage in capital market activity in the U.S.  The text of the legislation, the SEC rules and form requirements are organized by subject matter, and each subsection of this book opens with commentary and analysis of selected sections of the Act, along with new or amended SEC rules, amended or new sections of the Exchange Act of 1934, certain SEC forms and relevant criminal code sections.  It also addresses the regulation of the accounting profession as it intersects with the new rules for reporting companies." (Source: http://www.lexisnexis.ca/bookstore/bookinfo.php?pid=671)
 
 

"Table of contents [Partial]

Chapter 1: Certification Requirements...1

Chapter 2: Corporate Disclosures...21

Chapter 3: Corporate Responsibility...71

Chapter 4: Regulation of Audit Committees and Auditor Independence...99

Chapter 5: Penalties and Corporate and Criminal Fraud Accountability...141

Chapter 6: Regulation of Attorneys...169"

PURVIS, Rodney N., Corporate Crime: a consideration of crime, corporations and commercial morality in Australia, Sydney : Butterworths, 1979, xxxix, 806 p., ISBN: 040946340X; copy at Ottawa University, FTX General: HV 6768 .A8P8 1979;

"Contents

            Page
Foreword...iv
Preface...ix
Acknowledgments...xi
Table of Cases...xv
Table of Statutes...xxix

Introduction...1

1  The Nature of Corporate Crime...9

2  Commercial Criminality...28

3  Crime and Business...45

4  Significance of Corporate Crime in Totality of Crime...61

5  The Corporate Way of Life...70
    -- The Companies Act and the Offender as a Company Officer

6  The Corporate Way of Life...137
    -- The Companies Act and Offences generally under it

7  The Corporate Way of Life...229
    -- The Crimes Act and the Offender as a Company Officer

8  The Corporate Way of Life...245
    -- The Crimes Act and the Offender as an Employee

9  The Corporate Way of Life...267
    -- The Crimes Act and Offences generally under it

10  The Corporate Way of Life...301
      -- The Trade Practices Act and Offences generally under it

11  The Corporate Way of Life...325
      -- The Securities Industry, the Act and Offences generally under it

12  The Corporate Way of Life...373
      -- The Income Tax Act and Offences generally under it

13. Corporate Liability...391

14  Common Law Offences...402

15  Computer Crime...422

16  The Accountant and Corporate Crime...449

17  Investigations...473

18  Investigation, Inspection and Prosecution -- The Corporate Affairs Commission...487

19  The Criminal Investigation Branch -- Investigation and Prosecution...527

20  Principals, Accomplices, Aiders and Abettors...532

21  Apprehension, Custody and Bail...547

22  Procedure -- To Trial...554

23  Trial Proceedings...564

24  Conviction and the Machinery of Mitigation...578

25  Prevention...585

APPENDICES

A  Trade Practices Act 1974, Sections 45 to 51...606

B  Trade Practices Act 1974, Sections 52 to 75A...622

C  Trade Practices Act 1974, Sections 111 to 143...644

D  Anti-Trust (Restrictive Trade Practices)...656

E.  Securities Industry Regulations 1976...661

F.  Income Tax Assessment Act, Sections 82s, 82SA...670

G Interrogation of Persons by members of the Police Force. ...675
    The Commissioner's Directions

H. International Chamber of Commerce: Commission on Ethical Practices --
     Recommendations to combat Extortion and Bribery in business transactions...679

I. Comparative provisions of the New South Wales and Victorian Crimes Act,
    the Crimes Act Code of Queensland and the Commonwealth Crimes Act...687

J  The Crimes Act 1958 of Victoria -- Relevant Provisions...691

K  The Criminal Code Act 1899 of Queensland -- Relevant Provisions...740

L  The Commonwealth Crimes Act 1914-1966 -- Relevant Provisions...764" (pp. vii-viii)
 

QUINNEY, Earl R., "The Study of White Collar Crime: Toward a Reorientation in Theory and Research", (1964) 55 Journal of Criminal Law, Criminology and Police Science 208-214;

[Abstract] Now that Sutherland's concept of white collar crime has undergone extended treatment in the literature, what can be said to be the range of the concept?  Has it become so broad as to lose its scientific utility?  Is the blue-collar-white-collar-criminal properly comprise in the concept?  Is the white collar deviant a useful addition thereto?  Considering these and related questions, in the following article, Dr. Quinney proposes a method of delineating homogeneous units for study within the concept of white collar crime and suggests the employment of different levels of explanation in future studies of occupational crime and deviation -- Editor" (p. 208);

[Return to home page / retouner à la page d'acceuil]
[Return to criminal law main page / retourner à la page principale du droit pénal]