updated and corrections / mise à jour et corrections: 27 September 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, 2005, Ottawa, Canada
First posted on the Internet on: 22 January 2005

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

R-Z
--------------------------------------
see also:

Part II -- Comparative Law/Droit comparé
• A-E
• F-K
• L-Q

Part I:  Canadian law / Droit canadien

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

RABE, Gary A., Sentencing organizational criminals : factors associated with judicial decision-making, Thesis (Ph.D.), University of Delaware, 1995, xi, 143 leaves; title noted in my research but thesis not consulted; no copy in the Canadian libraries covered by the AMICUS catalogue of Library and Archives Canada (verification of 27 June 2004);
 

RADIG, James W., Notes, "Corporate Contributions to Charity As a Condition of Probation Under the Federal Probation Act", (1983-84) 9 The Journal of Corporation Law 241-269; copy at Ottawa University, KF 1397 .J693  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada, Ottawa;

"[Contents]

I. INTRODUCTION...241

II. BACKGROUND...242

A. Corporate Criminal Sanctions...242
B. The Federal Probation Act...245
C. Cases Imposing Corporate Contributions to
     Charity...246

i. Contributions to Charity as a Basis for Sentence
    Mitigation...247
ii. Contributions to Charity as a Condition of
    Probation...249

III. ANALYSIS...254

A. Statutory Construction...254

i. Constructing the Words 'Fines,' 'Restitution,' and
    'Support'...254
ii. Construing the Paragraph that Provides for Monetary
     Payment...255

a. The Legislative History...256
b. The Purpose of the Paragraph that Provides for
     Monetary Payments...257

B. Rehabilitation of Corporations...261
C. Judicial Discretion...265

IV. CONCLUSION...268" (p. 241)

RADIN, Max, "The Endless Problem of Corporate Personality", (1932) 32 Columbia Law Review 643-667; copy at Ottawa University, KFN 5069 .C657  Location:FTX Periodicals;
 

RADIN, Stephen A., "Corporate Criminal Liability for Employee-endangering Activities", (1983-85) 18 Columbia Journal of Law and Social Problems 39-75; copy at Ottawa University, KFN 5069 .C656  Location: FTX Periodicals;

[Contents]

I. INTRODUCTION...39

II. People v. Warner-Lambert Co....41

III. CORPORATE CRIMINAL LIABILITY: THE PROBLEMATIC
    FRAMEWORK...45

A. HISTORICAL AND STATUTORY PROBLEMS...45
B. PRACTICAL PROBLEMS...49

1. The Problem of Moral Neutrality...50
2. The Overspill Problem...52

C. THE RESULTING INEFFECTIVENESS...54

IV. AN ALTERNATIVE TO THE PRESENT APPROACH...60

A. CIVIL PENALTIES...60

1.  An Effective Deterrent...61
2. A Case Study: OSHA....63

B. POTENT CRIMINAL SANCTION...67

1. Homicide Indictments Under State Law...68
2. An Endangerment Offense....68

a. Culpability...70
b. Conduct proscribed...71
c. Jurisdiction...73
d. An Assessment...74

V. CONCLUSION...75

RADULESCO, Jean, "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 286-306; copie à la bibliothèque de la Faculté de droit, Université de Montréal, HAZE R454i;
 

RAGOZINO, Anthony, "Replacing the Collective Knowledge Doctrine with a Better Theory for Establishing Corporate Mens Rea: The Duty Stratification Approach", (1994-95) 24 Southwestern University Law Review 423-471; copy at Ottawa University, KFC 69 .S697  Location: FTX Periodicals; not at the Library of the Supreme Court of Canada;

[CONTENTS]

I. INTRODUCTION...423

II. THE ORIGIN OF THE COLLECTIVE KNOWLEDGE DOCTRINE
     AND OTHER-KNOWLEDGE-PROVING SUBSTITUTES...428

A. The Collective Knowledge Doctrine...428
B. Other Doctrines for Proving Knowledge and Intent in Criminal Cases...429

1. Respondeat Superior...430
2. Wilful Blindness...431

C. How These Doctrines Differ From the Collective Knowledge Doctrine...432

III. CASES ILLUSTRATING THE APPLICATION OF THE COLLECTIVE
      KNOWLEDGE DOCTRINE...433

A. United States v. Bank of New England...433
B. United States v. T.I.M.E.-D.C., Inc....435

IV. SHOULD THE COLLECTIVE KNOWLEDGE DOCTRINE BE RETAINED
      AND EXPANDED OR DISCARDED AND REPLACED?

A. Reasons in Favor of Retaining and Expanding the Collective Knowledge Doctrine...436

1. Deterrence...436
2. Corporate Responsibility...438

B. Reasons for Eliminating the Collective Knowledge Doctrine...439

1. The Doctrine's Inconsistency with Criminal Law...439

a. The Need for Culpability...439
b. Corporation is Incapable of Possessing Intent...440

2. Failure to Consider Corporate Structure...440

V. OTHER PROPOSED ALTERNATIVES FOR ESTABLISHING CORPORATE
     MENS REA...441

A. The Corporate Ethos Standard...441
B. Three-Prong Framework...443
C. Reactive Corporate Fault...444

VI. A NEW AND MORE EFFECTIVE THEORY FOR ESTABLISHING CORPORATE
      MENS REA: THE DUTY STRATIFICATION APPROACH...448

A. Introduction to the Duty Stratification Approach...448
B. Adopting Corporate Compliance Programs...449

1. The Benefits of Compliance Programs...451

C. Retain Mens Rea Requirements by Imposing a Special Duty...454

1. Corporate Liability Under the Duty Stratification Approach...457
2. Superior Liability Under the Duty Stratification Approach    458
3. Acting Employee Liability Under the Duty Stratification Approach...459

C. [sic] Upon Whom Should the Duty Be Imposed?...461
D. Application of the Duty Stratification Approach...462

VII. WHY THE DUTY STRATIFICATION APPROACH IS BETTER THAN THE
       COLLECTIVE KNOWLEDGE DOCTRINE...465

A. This Approach Retains the Mens Rea Element...465
B. This Approach Will Provide Greater Deterrence than the Collective Knowledge Doctrine...467
C. This Approach is More Consistent With the Role of Corporations in Society...469

VIII. CONCLUSION...470

RAKOFF, Jed S., Linda R. Blumkin, 1944-, and Richard A. Sauber, Corporate sentencing guidelines : compliance and mitigation, New York, N.Y. : Law Journal Seminars-Press, 1994,  1 v. (loose-leaf); title noted in my research but book not consulted;  no copy in the Ottawa area libraries according to my verification of the AMICUS catalogue of Library and Archives Canada (21 April 2004);
 

RAKOFF, Jed. S., "Avoiding Corporate Indictments Under New Sentencing Guidelines: Lessons From the First 26 Cases", (1994) Business Crimes Bulletin: Compliance and Litigation 1; title noted in my research but article not consulted; no copy of this periodical in the Canadian libraries covered by the AMICUS catalogue of Library and Archives Canada (verification of 27 June 2004);
 

RAMIREZ, Mary Kreiner, "The science fiction of corporate criminal l;iability: containing the machine through the corporate death penalty", (2005) 47 Arizona Law Review 933-1002;

RATNER, Steven R., "Corporations and Human Rights: A Theory of Legal Responsibility", (2001) 111 Yale Law Journal 443-545;

"CONTENTS

I. THE SWINGING PENDULUM: A HISTORICAL REVIEW
    OF INTERNATIONAL LAW'S APPROACH TO THE BUSINESS-
    HUMAN RIGHTS DYNAMIC...452

A. Action: The Colonial Era...452
B. Reaction: Decolonization and Its Aftermath...454
C. Counterreaction: Globalization and the Emphasis on Corporate
     Rights...458
D. The Missing Link: Business Relations with Individuals...460

II.  WHY CORPORATE RESPONSIBILITY?...461

A. The Limits to Holding States Accountable for Human Rights
     Violations...461

1. Corporations as Global Actors...461
2.  The Problem of State Action...565

B. The Limits to Holding Individuals Accountable for Human Rights
    Violations...473

III. TRENDS OF INTERNATIONAL DECISION IN FAVOR OF CORPORATE
      DUTIES...475

A. The World War II Industrialist Cases...477
B. International Labor Law...478
C. International Environmental Law and Polluter Responsibility...479
D. Anti-Corruption Law...482
E. United Nations Sanctions...483
F. European Union Practice...484
G. Treaty Interpretations Bodies...485
H. Soft Law Statements of Direct Duties...486

IV.  PRIMARY RULES AND SECONDARY RULES: INTERNATIONAL
       LAW's DOCTRINAL STARTING POINT...489

A. The Responsibility of States: A Primer...489
B. The Responsibility of Individuals: A (Shorter) Primer...491
C. The Corporate Parallel...492

1. The Barriers to Transposing Primary Rules...492
2. The Barriers to Transposing Secondary Rules...495
3. A Methodology for Deriving Norms of Corporate Responsibility...496

V. CIRCUMSCRIBING CORPORATE DUTIES: A THEORY IN FOUR
     PARTS...496

A. The Company's Relationship to the Government...497

1.  State Responsibility -- The Mirror Image...497
2. Corporations as Government Agents...499
3. Corporations as Complicit with Governments...500
4. Corporations as Commanders?...504

B. The Corporation's Nexus to Affected Populations...506
C. The Substantive Rights at Issue...511

1. Can the Corporation Infringe the Right?...511
2. The Imperative of Balancing Interests...513
3.  Derivative Duties on Corporations...516

D. Attribution Principles: The Relevance of Corporate
     Structures...518
E. A Brief Word on Fault...522

VI. RECAPITULATION AND SOME APPLICATIONS...524

A. Enron in Maharastra State (India)...526
B. Diamonds and the Sierra Leone Civil War...528
C. Clothing Production in Latin America and Asia...529

VII. IMPLEMENTING THE THEORY -- SOME PRELIMINARY
       POSSIBILITIES...530

A. Corporate-Initiated Codes of Conduct...531
B.  NGO Scrutiny...533
C. National Legal Remedies...533
D. Soft International Law...536
E. The Treaty Process -- A Binding Code of Conduct...538

VII. CONCLUSION...540"   (pp. 443-445)

RAYMOND, Robert L., "The Genesis of the Corporation", in Corporations, essays on corporate law selected from the pages of the Harvard Law Review, Cambridge: The Harvard Law Review Association, 1963, 500 p., at p. 1; title noted in my research but book not consulted; no copy in the Ottawa area libraries;
 

Recent Developments, "The Application of the Federal Probation Act to the Corporate Entity: United States v. Atlantic Richfield", (1974) 3 University of Baltimore Law Review 294; title noted in my research but article not consulted; not at the Library of the Supreme Court of Canada; the collection at Ottawa University, KFM 1269 .B34  Location: FTX Periodicals, misses vol. 3;
 

"Recommendations", 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. 366-371 (series: Beiträge und Materialien aus dem Max-Planck-Institut für Ausländisches und Internationales Strafrecht Freiburg i. Br.; Bd. S 78),  ISBN:  3861139421; available at  http://www.iuscrim.mpg.de/verlag/online/Band_S78/14-SUBJN-7.pdf (accessed on 14 December 2003);
 

REICHMAN, Nancy, "Moving Backstage.  Uncovering the Role of Compliance.  Practices in Shaping Regulatory Policy", in Kip Schlegel and David Weisburd, eds., White Collar Crime Reconsidered, Boston: Northeastern University Press, 1992, xv, 384 p., at pp. 244-268, 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]...244

The Construction of Regulatory Meanings...246

The Securities Case...250

Regulatory Context...251

Compliance Nteworks...252

Toward a Model of Regulatory Authority and White-Collar Crime...256

Conclusion...260

REFERENCES...261

NOTES...266

REILLY, David J., Comment, "Murder Inc., The Criminal Liability of Corporations for Homicide", (1988) 18 Seton Hall Law Review 378-404; copy at Ottawa University, KFN 1869 .S475  Location: FTX Periodicals; not at the Supreme Court of Canada Library;

[CONTENTS]

I. INTRODUCTION...378

II. HISTORICAL PERSPECTIVE...379

A. The Early Cases: 1613-1890...379
B. The Development of Criminal Liability for Corporate Manslaughter: 1900-1960...383
C. The Modern Cases: 1974-1988...389

III. Analysis...397

A. The Distinct Policy Considerations Underlying Civil and Criminal Responsibility for Wrongful Death...397
B. The Utility of Criminal Prosecutions of Corporate Entities for Homicide...401

IV. CONCLUSION...403

REINER, Ira and Jan Chatten-Brown, "When it is not an Accident, but a Crime.  Prosecutors Get Tough with OSHA Violations", (1989-90) 17 Northern Kentucky Law Review 83-103; copy at Ottawa University, KFN 1269 .N67  Location: FTX Periodicals;

[Contents]

I.  INTRODUCTION...83

II. SCOPE OF THE PROBLEM...84

III. THE CRIMINAL SANCTIONS IN THE OSH ACT ARE RARELY APPLIED...85

IV. STATE PROSECUTORS FILL THE VOID...87

V.  THE PARADOX OF ARGUING PREEMPTION...90

VI. THE LOS ANGELES DISTRICT ATTORNEY'S OSHA PROSECUTION PROGRAM...94

VII. CONCLUSION...103
 

"Resolutions of the Colloquium", (1983) 54(1-2) Revue internationale de droit pénal / International Review of Penal Law 77-79 (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;

"Culpability and criminal responsibility

9.  As a general rule of penal law, the principle of culpability should be applied in the field of economic and business offences.  Where strict liability offences exist they should at least be subject to the defense of impossibility.  Reform efforts should be directed to abolish strict liability offences as quickly as possible.

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

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

La responsabilidad penal de las personas jurídicas,  Anuario de derecho penal, Universität Freiburg, available at http://www.unifr.ch/derechopenal/anuario/96/an96.htm (accessed on 19 May 2006);

"La responsabilité pénale des personnes morales", (6 octobre 1993) Les Petites affiches, numéro 120, 83 p.; 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 bibliothèque de la région d'Ottawa comprises dans le catalogue AMICUS de Bibliothèque et Archives Canada (vérification du 24 juillet 2004);
 

RICHIER, Georges, La responsabilité pénale des personnes morales, Lyon : Bosc frères, M. et L. Riou, 1943, 183 p.; thèse de doctorat, Université de Lyon. Faculté de droit; titre noté dans mes recherches mais livre non consulté; aucune copie de ce livre dans les bibliothèques du catalogue AMICUS, de Bibliothèque et Archives Canada (5 juin 2004);
 

RIDLEY, Ann and Louise Dunford, "Corporate Killing -- Legislating for Unlawful Death?", (1997) 26(2) Industrial Law Journal 99-113; copy at the University of Ottawa, KD 3002 .I527  Location: FTX Periodicals;

[Contents]

1. INTRODUCTION...99

2. DEREGULATION AND THE HEALTH AND SAFETY
    EXECUTIVE...100

3. CORPORATE MANSLAUGHTER AND HEALTH AND
    SAFETY REGULATION...102

A. The Current Position...104
B. The Law Commission proposal -- a realistic reform?..108.

4. CONCLUSION...112

RIES, David G. and James M. Ginocchi, "The Carrot, the Stick and the Hammer: An Overview of Criminal Enforcement of Federal Environmental Laws", (2000) 20 Energy and Min. L. Inst. 46-101; see table of contents at  http://www.emlf.org/Cart/excerpt.pdf?excerptname=Ries_00_excerpt.pdf&id=50 (accessed on 21 February 2005);
 

RIIHIJÄRVI, M., "Criminal Liability of Corporations -- Finland", 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. 203-233, ISBN: 9041101659; titre noté dans mes recherches; article non consulté; aucune copie de ce livre dans les bibliothèques de la région d'Ottawa selon ma vérification du catalogue AMICUS de Biblioth'eque et Archives Canada (30 janvier 2004);
 

RIVERA, Marny Shannon, All the news unfit to print: a multi-method analysis of corporate wrongdoing conceptualization and the presence of influential factors in news stories of corporate offenses, Indiana University of Pennsylvania, Dissertation, 2002, xvi, 306 p.; title noted in my research but thesis not consulted; my verification of Library and Archives Canada AMICUS catalogue indicates that no copy of this paper is found in the libraries covered by AMICUS (26 May 2004);
 

ROBERT, Christian-Nils, "Délinquance d'affaires: L'illusion d'une politique criminelle", (1985) Revue de droit suisse 1-133; copie à l'Université d'Ottawa, KKH 0 .R49  Location: FTX Periodicals; copie à la Bibliothèque de la Cour suprême du Canada;

"[…] il demeure que de nombreux arguments plaident encore pour le maintien du fameux principe societas delinquere non potest.¹⁰ […]
------
¹⁰ Il n'est pas sans intérêt ni pertinence de noter d'ailleurs que cette maxime, dont l'interprétation peut rester assez contradictoire en droit romain, même tardif, semble ne rendre son sens et sa force que dans la phase de construction du droit pénal classique, dès la fin du XVIII^e et au tout début du XIX^e siècle.  Elle est donc, sinon née, du moins activement ranimée au moment où se mettent en place les éléments les plus forts d'une dogmatique pénale fondée sur le comportement supposé de l'homme, et non sur celui des groupes d'individus. […]"  (p. 88)

ROBERT, E., " Quinzièmes Journées franco-belgo-luxembourgeoises de science pénale.  Sanctions pénales et personnes morales", (1977) Revue de science criminelle et de droit pénal comparé 451-464; copie à l'Université d'Ottawa, KJJ 0 .R489 Location: FTX Periodicals; copie à la Bibliothèque de la Cour suprême du Canada; notes: les travaux de ces Journées ont été publiés dans la Revue de droit pénal et de criminologie; procès-verbal des Journées; les interlocuteurs sont: P. Cornil, .H. Vanderpoorten, le conseiller Rouquet, le Président (de la séance) Combaldieu, le conseiller Liesch, le Doyen Pierre Bouzat, le Président Ancel, Thizy, Screvens, Rolland, P.-E. Trousse, D'Haenens, Legros, Frédéric Beauthier, Yvonne Marx, Delmas-Marty, Franchimont, Georges Levasseur, Messine, et Bekaert;
 

ROBERT, Jacques-Henri Robert, 1940-,  et Stamatios Tzitzis, sous la direction de, La personne juridique dans la philosophie du droit pénal, Paris : Editions Panthéon-Assas : L.G.D.J. Diffuseur, [2003], 125 p. (Collection; Droit privé (Editions Panthéon-Assas)), ISBN: 2913397468; note: Proceedings of a conference organized by l'Institut de criminologie de Paris de l'Université Panthéon-Assas (Paris II), held Oct. 18, 2001/ Ouvrage issu d'un colloque organisé par l'Institut de criminologie de Paris de l'Université Panthéon-Assas (Paris II) le 18 octobre 2001; copie à l'Université de Montréal, droit; en traitement; livre non consulté (vérification du catalogue AMICUS de Bibliothèque et Archives Canada, 6 décembre 2004);
 

ROBERT, Jacques-Henri, 1940-, "Les préposés délégués sont-ils les représentants de la personne morale?", Mélanges offerts à Pierre Couvrat : la sanction du droit, Paris: Presses universitaires de France, 2001, viii, 559 p., à la p. 383, ISBN: 2130518400 (Collection; Publications de la Faculté de droit et des sciences sociales de Poitiers; t. 390); titre noté dans mes recherches mais article non consulté; aucune copie de ce livre dans la région d'Ottawa selon ma vérification du catalogue AMICUS, de Bibliothèque et Archives Canada (vérification du 15 janvier 2005); copie à l'Université de Montréal, AZZD M517 C872 2001; et à Université McGill, Bibliothèque de droit Nahum Gelber/McGill University, Nahum Gelber Law Library, K 561 M46 2001;
 

___________"Responsabilité pénale des personnes morales", (29 mars-4 avril 1993) La vie judiciaire; numéro 2451; titre noté dans mes recherches mais non consulté; numéro manquant à l'Université d'Ottawa, KJJ 0 .V53  Location: FTX Periodicals;

ROBERTS, A.J., Global Digest, "Corporate Liability -- Ireland.  Law Reform Commission of Ireland, Report No. 77 (2005), Corporate Killing" , [May 2006] Criminal law Review 465-467;
 

RODELLA, Patricia B., Comments, "Corporate criminal liability for homicide: has the fiction been extended too far?", (1983-84) 4 Journal of Law and Commerce 95-126; copy at Ottawa University, KF 872 .J685  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada, Ottawa;

[Contents]

I. INTRODUCTION...95

II.  HISTORICAL PERSPECTIVE...96

A. Theoretical Difficulties in Imposing Corporate Criminal Liability...96

1. Crimes Requiring Formation of Intent...96
2. Crimes Requiring Imprisonment as Penalty...98

B. Statutory Interpretation Difficulties...100

1. New York...100
2. New Jersey...102
3. Kentucky...102
4. Oregon...104

III. COMPONENTS AND DEFENSES OF CORPORATE CRIMINAL
      LIABILITY...105

A. Components Necessary to Establish Liability...105

1. Inner Circle Theory...106
2. On Behalf of the Corporation...108
3. Within the Scope of Employment...108

B. Corporate Defenses...109

1. Due Diligence of High Managerial Agent to Prevent Commission
    of Offense...109
2. Ultra Vires Doctrine...111

IV. A POLARIZATION OF JUDICIAL OPINION...112

A. Vaughan & Sons, Inc. v. State...112
B. Commonwealth v. McIlwain School Bus Lines...113

V. EFFICACY OF CRIMINAL JUSTICE SYSTEM OBJECTIVES WHEN
     APPLIED TO CORPORATE CRIMINAL LIABILITY FOR INVOLUNTARY
     MANSLAUGHTER...116

A. Pro's and Con's of Corporate Criminal Liability...116
B. Practical Difficulties...120
C. Philosophical Difficulties...121

VI. ALTERNATIVES REMEDIES...122

VII. CONCLUSION...125

RODRIGUES, Anabela,  "Portugal.  Les crimes contre l'environnement.  Quelques points du droit portugais", (1994) 65 Revue internationale de droit pénal / International Review of Penal Law 1125-1148, voir "L'attribution de la responsabilité" aux pp. 1142-1146; note: Colloque préparatoire, section 1, Les atteintes à l'environnement, problèmes de droit pénal général, Ottawa (Canada), 2-6 novembre 1992;
 

RODRIGUES, Anabela, Leones Dantas, and Maria Paula Ribeiro de Faria, "[Environmental Criminal Law -] Portugal", in Michael G. Faure and Günther Heine, coordinated by, Final Report: Criminal Penalties in EU Member States' Environmental Law, Maastricht (The Netherlands): Maastricht European Institute for Transnational Legal Research Faculty of Law, Maastricht University and  Berne, Switzerland: Institute for Criminal Law and Criminology,  Faculty of Law, University of Berne, October 2002, 352 p., at pp. 218-229; available at http://europa.eu.int/comm/environment/crime/criminal_penalties1.pdf (accessed on 18 June 2004);

[Portugal]
"The inability to hold legal persons criminally responsible derives from Article 11 of the CP [Criminal Code], which enshrines the personal nature of criminal responsibility in classical criminal law or justice. Thus, only individuals can be punished for crimes of damage to nature and pollution.

There is therefore a serious breach in the legal-criminal protections of the environment, all the more serious since one cannot doubt that the greatest source of environmental problems is currently to be found in companies.

Furthermore, the said Article 11 of the CP does not exclude the possibility of sundry legislation calling for the criminal responsibility of legal persons. To date, however, the Portuguese legislator has not yet made use of this faculty in the field of aggression against the environment.

Possible means of dealing with “corporate criminality” include punishment for “acting in the name of others” (article 12 of the CP), in keeping with which punishment may be meted out to “those voluntarily acting as the holder of office in the service of a legal person, company or de facto association”, or the punishment of natural persons (the manager of a company, for example), through the general participation criteria.
.......

Does the law of the state studied provide for criminal responsibility of legal persons?

No. Criminal responsibility is considered to be eminently personal, warranting social and moral condemnation for the acts committed, which cannot be expressed with respect to legal persons. Thus, they are not considered to be criminally responsible. A possible solution would have been to include crimes against the environment in separate criminal legislation, creating specific sanctions for legal persons (closure of a company, for example). The proposed revision of the Penal Code provided in its art. 273 that the criminal responsibility of legal entities would be governed in a special law, but that provision did not pass into the final text of the Penal Code.

However, administrative penal fines can be imposed on legal persons, see for example Art. 22 Decret 140/99.

Is criminal law applicable to legal entities as well as natural persons or are alternative systems (administrative, civil sanctions) applicable? Can the environmental criminal law that you have described before also be applied to legal entities or do specific problems arise in that respect?

As legal entities are not criminally responsible there is also no criminal responsibility of public legal entities. There is no special rule contained in the Penal Code with respect to punishment of public servants for crimes against the environment. Illegal authority granted by a government employee to a polluting agent does not render said employee criminally responsible for a crime of pollution, as criminal responsibility arises from violation by the agent of prohibitions or limits imposed by the competent administrative authority. The employee is also not punishable in such cases, for omission of acts which could have prevented the polluting result, as the employee is not in the position of guarantor. Only where the employee has the duty to avoid the environmental assault can he be considered criminally responsible." (Anabela Rodrigues, Leones Dantas, Maria Paula Ribeiro de Faria, pp. 219 and 229)
 

[p. 287] "And yet it was Roman law which evolved the intricate legal conception of a person existing only in contemplation of law.¹  The juristic notion of Roman law was later absorbed by Canon law and transfused into the body of the law of the European continent and from there into the
------
¹Cf. Wernz-Vidal, Ius Canonicum as Codicis Normam Exactum, 7 vols. in 8, Vol. II, De Personis (3. ed.; Romae: Universitas Gregoriana, 1943), pp. 25-26.
 
 

[p. 288] English common law.  From this latter source it has entered American jurisprudence.²

    Nowhere does the Code of Canon Law proffer a real definition of the notion of a juristic personality.  And at Anglo-American law, judges and lawyers have merely reiterated the doctrine that a corporation is an intangible legal entity, without body and without soul, separate and distinct from the personality of the members who compose it.  The jurisprudence of both Canon law and Anglo-American law, while both  in their way delineate and suggest preferences to a certain extent in this controversial matter, has not formulated a clear notion of the metaphysical nature of a juridical person.  European jurists have waged war over this question; indeed, volume upon volume has been devoted to the subject.  But at Anglo-American law, <the literature on the subject, on the orthodox side, consists in a dictum by Coke [Sutton's Hospital Case, in 10 Co. 32], referred to by Blackstone [in I Commentaries, 476], and reiterated monotonously by every law student, together with a number of modern decisions which apply, or misapply, the doctrine.'³

    Savigny, in the first half of the 19th century in Germany, began the modern scientific consideration of the subject.⁴   He observed that property can belong in law to a corporation and not to any individual.  His question, then, was 'Who or what is the real owner of this property?'  And his answer to that question gave rise to the Fiction Theory: corporate property belongs to a fictitious being and not to any real person or entity. ....
------
²For the Roman law doctrine, cf. Brown, The Canonical Juristic Personality with Speciaal Reference to Its Status in the United States of America, The Catholic University of America Canon and Civil Law Studies, n. 39 (Washington, D.C., 1927), pp. 8-23; Schulz, Classical Roman Law (Oxford: Clarendon Press, 1954), pp. 86-102.

³Machen, 'Corporate Personality,' in 24 Harvard Law Review 253.

⁴Savigny expounded his theory in his System des heutigen Römischen Rechts (Berlin, 1840)."  (pp. 287-288)

ROGGEN, Françoise, "La responsabilité pénale des personnes morales", dans Françoise Roggen, coordinatrice; Christian De Valkeneer, Emmanuel Roger France, Actualité de droit pénal, Bruxelles: Bruylant, c2005, 133 p., aux pp. 1-54 (Collection; UB3; 5), ISBN: 2802720724; copie à l'Université d'Ottawa, FTX général, KJV 3799 .A38 2005;
 

ROMANO, Roberta, Comment, "Theory of the Firm and Corporate Sentencing: Comment on Baysinger and Macey", (1991) Boston University Law Review 377-382; copy at Ottawa University, K 2 .O678  Location: FTX Periodicals;
 

RONTCHEVSKI, Nicolas, "Les conditions de la mise en jeu de la responsabilité pénale des personnes morales à la lumière de la jurisprudence récente", Revue de jurisprudence de droit administratif 3/98, p. 175;  titre noté dans ma recherche mais article non consulté; périodique non disponible dans la région d'Ottawa (vérification du catalogue AMICUS, 15 janvier 2005);
 

___________"Rapport français [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. 738-763 (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]

[Introduction]...739

I. -- Nature de la responsabilité pénale des personnes morales...749

A. -- RESPONSABLITÉ INDIRECTE...750
B. -- RESPONSABILITÉ PERSONNELLE...754

II. -- Incidence de la responsabilité pénale des personnes morales sur celle du chef d'entreprise...757

A. -- ADMISSION DU CUMUL DE RESPONSABILITÉS...758
B. -- PRATIQUE JUDICIAIRE...761

RONTCHEVSKI, N. et M. Comporti, "Responsabilité pénale des personnes morales : la notion d'entité personnifiée", (1996) numéro spécial 149 Les Petites Affiches 7; note: numéro spécial sur La responsabilité pénale des personnes morales.  Colloque de Sienne, 25 et 26 mai 1996;
 

ROSE, Alan, Developments in Criminal Law and Criminal Justice, "1995 Australian Criminal Code Act: Corporate Criminal Provisions", (1995) 6 Criminal Law Forum 129-142;
 

ROSENZWEIG, Simon, Notes and Comments, "Corporations: Quo Warranto: Forfeitures of Franchise on Account of Crime", (1927-28) 13 Cornell Law Quarterly 92-99;
 

ROSIN, Jeffrey M., "New Chapter 9: An analysis of the proposed sentencing guidelines for organizational environmental offenders and the historic evolution of a compliance nightmare", (1994-95) 3 New York University Environmental Law Journal 559-591;

[CONTENTS]

INTRODUCTION...559

I  HISTORICAL BACKGROUND OF THE NOVEMBER PROPOSAL...566

II  TOWARD A RIGID MODEL OF CORPORATE COMPLIANCE...572

A.  Developping Compliance Theory Outside Environmental Law...574
B.  Compliance Evolution in Environmental Law...578

III  THE WORKING GROUP'S ENVIRONMENTAL COMPLIANCE PROGRAM...581

IV  RECOMMENDED CHANGES...587

CONCLUSION...590

ROSS, Jenifer, "Corporate criminal liability: one form or many forms?", [1999] Juridical Review 49-65; copy at Ottawa University, KD 322 .J854  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada;

[Contents]

- [Introduction]...49
- The "controlling mind doctrine"...49
- Statutory liability...49
- Qualified absolute liability: reasonable practicability...57
- Qualified absolute liability: due diligence defence...59
- Alternatives...61
- Culpability: individual and corporate...63
- Conclusion...64

ROSS, J.M., "Corporate Liability for Crime", [1990] Scots Law Times (News) 265; title noted in my research but article not consulted; this volume is missing from the Library of the Supreme Court of Canada, Ottawa (2 June 2004); 

 
ROSTAD, H. (Helge), "Fines against legal persons in Norway -- A brief sketch", in Bernd Schünemann and Carlos Suárez Gonzalez, eds., Bausteine des europäischen Wirtschaftsstrafrechts. Madrid-Symposium für Klaus Tiedemann, Köln: Heymann, 1994, at pp. 323-325; title noted in my research but article not consulted (29 Aoril 2007);

ROTH, Robert, 1952-, "Rapport général [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. 683-693 (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. -- Tableau général de l'évolution de la législation et de la jurisprudence...683

II. -- Caractéristiques de la responsabilité des personnes morales...686

III. -- Sanctions applicables aux personnes morales...690

IV. -- Quelques sujets encore en friche...692

V. -- Conclusion...693

___________ "Responsabilité pénale de l'entreprise: modèles de réflexion", (1997) 115 Revue pénale suisse 345-381; titre noté dans mes recherches; article non consulté; aucune copie de ce périodique dans les bibliothèques de la région d'Ottawa;
 

___________"Une responsabilité sans culpabilité ? : l'entreprise, la "faute d'organisation " et le droit pénal", (2003) 125(7) La semaine judiciaire. II, Doctrine aux pp. 187-207; note: Genève; non-consulté; non disponible dans les bibliothèques de la région d'Ottawa;
 

ROTHERY, J.M., "Is the Law Adequate -- Are Penal Sanctions Appropriate for Corporate Crime?", in University of Sydney, Institute of Criminology, Corporate crime: report of a seminar, [Sydney : Government Printing Office, 1975], [158] p., at p. 78; notes: Cover title: "Held in the State Office Block, on 9 May 1974. General editor: G. J. Hawkins"; title noted in my research but article not consulted; no copy of this publication in the Canadian libraries covered in the AMICUS catalogue of the Library and Archives Canada, Ottawa, except Dalhousie University, Sir James Dunn Law Library, KB 90 S98 no.19 (verification of 23 July 2004);
 

ROUNDTREE, J. Clarke (Joshua Clarke), Judicial invention in cases contributing to the development of corporate criminal liability : a multi-dimensional dramatistic analysis, Ph.D. thesis, University of Iowa, 1988, x, 445 leaves; notes:  thesis adviser: Lyne, John R.; UMI order no.: AAT 8903962; not at Ottawa University;

[Abstract]
"The problem of how to control corporate wrongdoing has been an issue almost as long as corporations have existed. This issue was made more salient by the rise of powerful modern corporations at the turn of the century. The American judiciary has played an important role in creating corporate responsibility by theorizing corporate action so that the sanctions of criminal law could be applied to corporations. Applying the criminal law to corporations has been a difficult task, since the criminal law evolved with reference to human transgressors. Yet unlawful intent and personal action itself do not have clear parallels in corporate behavior. This dissertation investigates the inventional strategies of courts in opinions from appellate cases contributing to the development of corporate criminal liability. In studying judicial opinions as a form of rhetoric, it offers an alternative to the analyses made by legal scholars, who typically stress only those inventional resources that legal terminologies show them: rules, principles, precedents, and so forth. From the perspective adopted in this study, based upon dramatism, judicial invention may be seen to rely upon the configuration of a great number of acts, ranging from previous judicial decisions to hypothesized future decisions, from legislative enactments to constitutional conventions, and from specific criminal acts to the potential acts of corporations. This critical approach to judicial opinions moves past the idealized vision of jurisprudential theories to see how judges actually support their decisions. The perspective helps explain how the various acts considered by courts are characterized and interrelated such that an intertextual web of connections fixes the judicial decision, making it appear more a product of the 'rule of law' than of a sophisticated judicial rhetoric." (source: DAI-A 49/11, p. 3203, May 1989; Digital Dissertation -- UMI Proquest))

ROUQUET, F., "Sanctions pénales et personnes morales", (1975-76) 56 Revue de droit pénal et de criminologie 698-706; 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;
 

ROUX, J.A., "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 239-246; copie à la bibliothèque de la Faculté de droit, Université de Montréal, HAZE R454i;
 

RUSH, Fred L., "Corporate Probation: Invasive Techniques for Restructuring Institutional Behavior", (1987) 21 Suffolk University Law Review 33-89; not at the Supreme Court of Canada Library; copy at Ottawa University, KFM 2469 .S84  Location: FTX Periodicals;

[CONTENTS]

I. INTRODUCTION...33

II.  INADEQUACIES OF CORPORATE FINING...40

A. Cash Fines and Fining Dynamics...41
B. Noncash Fines...46

1. Equity Fines...46
2. Pass-Through Fines...48

II.  CORPORATE PROBATION UNDER THE SENTENCING REFORM ACT OF 1984...49

A. Statutory Predicates for Corporate Probation...49
B. Discerning a Guiding Principle...57

III.  NONINVASIVE CORPORATE PROBATION...58

A. The Noninvasive/Invasive Distinction...58
B. Assessing Noninvasive Probation...60

1. Community Service and Charitable Contributions...60
2. Publicity Sanctions...67
3. Supervisory Conditions...71

IV.  INVASIVE CORPORATE PROBATION...72

A. Corporate Rehabilitation...72
B. Assessing Invasive Probation...75

1. Procedural Reform and Intensive Supervision...75
2. Personnel Interjection...79
3. Transactional Limitations...81
4. Corporate Quarantine...83
5. Forced Dissolution...85

IV.  CONCLUSION...88

RUSSELL, Steve  and Michael J. Gilbert, "Truman’s Revenge: Social Control and Corporate Crime",  (1999) 32 Crime, Law, and Social Change 59-82,

"Abstract.
Many criminologists have found that corporate crime does more harm than street crime, whether measured by property lost, money stolen, or lives taken. Yet, public concern about crime is almost exclusively focused on street crime and “just deserts” for the offender.  The authors argue that corporate criminality is more likely than individual criminality to be planned and subjected to cost/benefit analysis than street crime and therefore more likely to be deterred by raising the costs of corporate criminality. The Model Penal Code is used to demonstrate that both individual and corporate crime produce a comparable array of avoidable harms. Public policies that demand just deserts for individual offenders (natural persons) are revealed as highly inconsistent with policies that protect corporations (juristic persons) from accountability for the harms they create. A philosophical and legal foundation for corporate crime control strategies is provided. The authors propose a sanctions regime for corporate criminals comparable to the sanctions regime imposed on natural persons for street crimes. Strategies to avoid risk shifting by corporations are suggested." (p. 59)

RYAN, C.L., "Book Review: Corporate Liability, by Neil Hawke (Sweet and Maxwell, London, 2000) 264 pp", (2000) 8(2) Asia Pacific Law Review 229-236;
 

SAGALONGOS, Celestino, "Corporate criminal liability", (March 1932) 11(9) Philippine Law Journal 263-276; not at Ottawa University; copy on microform at the Library of the Supreme Court of Canada;
 

SAINT-PAUL, Jean-Christophe, "La responsabilité des personnes morales: réalité et fiction", dans Philippe Conte, Chantal Giraud-van Gaver, Jacques-Henri Robert etJean-Christophe Saint-Pau [les auteurs], Le risque pénal dans l'entreprise.  Questions d'actualité.  Actes de la journée d'études des éditions du Juris-Classeur, Paris: Litec, Groupe LexisNexis, Éditions du Juris-Classeur, xii, 121 p., Chapitre 4, aux pp. 71-113, ISBN: 2711002446; copie à l'Université d'Ottawa, FTX Général, KJV 3237  .R568;

"TABLE DES MATIÈRES [...]

Section 1. Responsabilité personnelle…73

§1.  Personnes morales…73

A. Personnes morales de droit public…74

1^o Principe de responsabilité générale…74
2^o Limitation pour les collectivités territoriales et leurs groupements…74

B. Personnes morales de droit privé…76

1^o Acquisition de la personnalité morale…77
2^o Extinction de la personnalité morale…80

§ 2. Fait personnel…81

A. Principe de responsabilité du fait personnel des personnes morales…81

B. Conséquences techniques de la responsabilité du fait personnel…83

1^o Fait nécessaire de l'organe et du représentant…84
2^o Fait suffisant de l'organe ou du représentant…86

Section 2. Responsabilité par représentation…87

§1. Conditions de la représentation…88

A. Condition objective: une infraction…88

1^o Infraction spéciale…89
2^o Infraction pour le compte…93

B. Condition subjective: les organes ou représentants…97

1^o Qualité d'organe ou de représentant…97
2^o Identification d'une personne physique…100

§2. Effets de la représentation…103

A. Dualité de responsabilités…104

1^o Dualité de responsables…104
2^o Dualité d'imputation…106

B. Unité de responsabilité…109" (pp.121-122)

"But very difficult issues of substance remained to be resolved.  One which followed us to the very end of the Conference was whether to include criminal responsibility of legal entities alongside that of individuals or natural persons.  This matter deeply divided the delegations.  For representatives of countries whose legal system does not provide for the criminal responsibility of legal entities, it was hard to accept its inclusion, which would have had far-reaching consequences for the question of complementarity.  Others strongly favored ther inclusion on grounds of efficiency, and argued that it would have seemed retrograde, after the Nürnberg and Tokyo trials, not to so. ...." (p. 199)

SALEILLES, Raymond, 1855-1912, De la personnalité juridique : histoire et théories : vingt-cinq leçons d'introduction à un cours de droit civil comparé sur les personnes juridiques / avec préf. de M.H. Capitant, 2e éd., Paris: Librairie A. Rousseau, 1922, xvi, 684 p.; copie à la bibliothèue de la Cour suprême du Canada, Ottawa, K625 S24 1922;  cette même bibliothèque a aussi la première édition:  Paris: Librairie nouvelle de droit et de jurisprudence, 1910, viii, 678 p., K 625 S24;

"TABLE DES MATIÈRES

PRÉFACE DE LA DEUXIÈME ÉDITION...V

PRÉFACE DE LA PREMIÈRE ÉDITION...XIII

PREMIÈRE LEÇON. -- Le Droit collectif et l'École philosophique du XVIII^e siècle...1

DEUXIÈME LEÇON. -- La mainmorte et la réaction contre les abus de l'École du XVIII^e siècle. -- Le droit comparé...22

TROISIÈME LEÇON. -- L'histoire et le concept de personnalité.  Droit romain. -- Les associations à Rome. ...45

QUATRIÈME LEÇON. -- La théorie de l'Universitas...68

CINQUIÈME LEÇON. -- Les conséquences de la personnalité civile en droit romain...92

SIXIÈME LEÇON. -- Théorie de la fondation...116

SEPTIÈME LEÇON. -- La fondation en droit romain...135

HUITIÈME LEÇON. -- Les personnes juridiques au moyen-âge : la propriété commune. -- La Gesamte Hand...161

NEUVIÈME LEÇON. -- L'association germanique. -- La Genossenschaft...184

DIXIÈME LEÇON. -- La corporation, la Körperschaft.  -- La fiction de personnalité...213

ONZIÈME LEÇON. -- Les associations en ancien droit.  Les corps et établissements: la fondation.  L'Édit de 1749...241

DOUZIÈME LEÇON. -- L'Encyclopédie et les fondations.  La fondation dans le droit moderne...260

TREIZIÈME LEÇON. -- Les établissements privés. -- Les sociétés de commerce...288

QUATORZIÈME LEÇON. -- Les théories en matière de personnalité.  -- Savigny et le système de la fiction. -- Les conséquences qui en dérivent...306

QUINZIÈME LEÇON. -- Les inconvénients pratiques de la théorie de la fiction. -- Les questions de responsabilité.  L'intérêt collectif et le système de la fiction...340

SEIZIÈME LEÇON. -- Critique de la théorie de la fiction...361

DIX-SEPTIÈME LEÇON. -- Les théories négatives de l'idée de personnalité.  -- La thèse de la propriété collective. -- Son application au droit français: construction exégétique...387

DIX-HUITIÈME LEÇON. -- Examen critique de la théorie de la propriété collective...420

DIX-NEUVIÈME LEÇON. -- Les conséquences pratiques du système de la propriété collective.  Les autres théories négatives de l'idée de personnalité.  Systèmes de MM. Van den Heuvel et de Vareilles-Sommières.  Système de Brinz.  Le Zweckvermögen; les patrimoines d'affectation...449

VINGTIÈME LEÇON. -- Les sytèmes analytiques, construits sur l'idée de relation juridique: Hölder et Binder  La propriété fiduciaire...485

VINGT ET UNIÈME LEÇON. -- La thèse de la réalité.  La construction initiale.  Son rattachement à la théorie de la volonté: la Willenstheorie.  La théorie biologique.  Les sytèmes organicistes...521

VINGT-DEUXIÈME LEÇON. -- La notion de droit subjectif.  La notion de sujet de droits.  La notion de personnalité.  Critique de l'École positiviste.  La théorie de la réalité juridique: théorie institutionnelle...541

VINGT-TROISIÈME LEÇON. -- Développement de la notion de réalité juridique.  Son application aux associations et fondations...572

VINGT-QUATRIÈME LEÇON. -- Le concept de relation juridique.  Des notions de fiction et de réalité juridique...610

VINGT-CINQUIÈME LEÇON. -- Conséquences pratiques de la théorie de la réalité juridique.  Conclusion...631.

TABLE ALPHABÉTIQUE...683" (pp. 683-684)

SALINGER, Lawrence M., General Editor, Encyclopedia of white-collar & corporate crime, Thousand Oaks (California): Sage, 2005, 2 volumes, ISBN:0761930043; note: NOTES: "A Sage reference publication."; title noted in my research but books not consulted; no copy yet in the Canadian libraries covered by the AMICUS catalogue of Library and Archives Canada (verification of 19 January 2005);

"Topics of Study

* Business Fraud & Crimes
* Companies
* Consumers
* Countries & Regions
* Criminology & Justice
* Financial & Securities Fraud
* Government
* Laws
* Medical & Healthcare Fraud
* People
* Political Scandals
* Pollution
* Products
* Regulation
* Scams & Swindles
* War-Profiteering
* Work-Related Crimes" (source:  http://www.sagepub.com/book.aspx?pid=10232&sc=1, accessed 19 January 2005)
 

[Contents]

[INTRODUCTION]...421

I. JUSTIFICATIONS FOR PROSECUTING PERSONS...422

A. Purpose of Prosecution and Conviction...422
B.  The Benefis of Prosecuting the Organization Alone...425

1. Reducing the Burdens of Investigating and Convicting...425
2. Increasing the Likelihood of Vonviction...426
3. Avoiding Procedural Problems...427
4. Shifting the Burden of Imposing Sanctions on Individuals
    to Organizations...428
5. Summary...428

C. Prosecuting both Individuals and the Organization...429

1. Preserving Sentencing Options...429
2. Compensating Victims and Deterring Future Crimes...430
3. Stigmatizing the Organization and Individual Defendants...431
4. Increasing the Likelihood of Conviction...432

II. MEASURING THE PUBLIC INTEREST...432

A. Clearly Identifiable Individuals Defendants...432
B. Small and Closely Held Organizations...433
C. Criminal Conduct Which Violates Organizational Policies...433

III. EXTENT OF THE PUNISHMENT...434

A. Optional Fines...434
B. Individuals Versus Organizations...435
C. Economic Harms Versus Other Types of Harm...436
D. Aggravating and Mitigating Considerations...436

1. Self-monitoring Organizations...436
2. Cooperation in Investigation and Prosecution...437
3. Restitution...437

IV. CONCLUSION...438

SALVE de Bruneton, Jean de, La responsabilité pénale des personnes morales et le projet de réforme du code pénal, Mémoire de DEA : Droit privé / Paris 1; sessions de novembre et décembre 1991, 38 p.;  pas de résumé au catalogue Abes; titre noté dans mes recherches mais livre non consulté; aucune copie de ce mémoire dans les bibliothèques de la région d'Ottawa, selon ma vérification du catalogue AMICUS, de Bibliothèque et Archives Canada, Ottawa (2 mai 2004);
 

SANDERS, Joseph, and V. Lee Hamilton, with Gennady Denisovsky, Naotaka Kato, Mikio Kawai, Polina Kozyreva, Takashi Kubo, Michael Matskovsky, Haruo Nishimura, and Kazuhiko Tokoro, "Distributing Responsibility for Wrongdoing Inside Corporate Hierarchies: Public Judgments in Three Societies", (1996) 21 Law and Social Inquiry 815-855;

"[Abstract]   The decision rules individuals use to judge wrongdoing committed inside corporations and other hierarchical organizations are not well understood.  We explore this issue by asking random samples of individuals in Moscow, Tokyo, and Washington, D.C., to respond to four short vignettes describing acts of wrongdoing by people in corporations. The vignettes are experiments that manipulate the actor's mental state, the actor's position in the organization, and whether the actor's decision was influenced by others in the organization. We examine (1) the distribution of responsibility among people in the organization, (2) how individual responsibility affects the attribution of responsibility to the organization itself, and (3) cross-national differences in attributions. We find that both what the actors did (their deeds) and the position they occupied (their roles) significantly influence the responsibility attributed to them. The responsibility attributed to the organizations themselves is a function of the responsibility attributed to the actors inside the organization, but not a function of the independent variables in the experiments. Cross-national differences emerge with respect to the responsibility assigned both to individuals and to the organizations themselves. We discuss implications of these results for past and future work." (pp. 815-816)

SARRE, Rick, "Legislative Attempts to Imprison Those Prosecuted For Criminal Manslaughter", (September 2002), 9(3) E Law - Murdoch University Electronic Journal of Law available at http://www.murdoch.edu.au/elaw/issues/v9n3/sarre93.html(accessed on 29 January 2004);
 

___________"Rethinking Corporate Practice and Corporate Governance in light of Recent Corporate Collapses: Some evaluative questions and agenda items", available at  http://www.aes.asn.au/conference/sarre.pdf (accessed on 6 March 2004); note: "Paper presented at the 2002 Australasian Evaluation Society International Conference October/November 2002 – Wollongong Australia. www.aes.asn.au";

[Abstract]

"The number and scope of corporate collapses in recent times clearly illustrates that corporate accountability practice is failing to match the rhetoric, even when regulatory enforcement is mandated by law and enforced by criminal and civil penalties. Evaluation theory and theoretical work in the field of deterrence, however, reveals that the more we can rely upon regulatory creativity, and appeal to the sense of social responsibility of those in a position to prevent wrong-doing, the more persuasion can replace criminal law enforcement in the punishment hierarchy. This paper reviews some of the current research needs. It suggests where evaluation is required in order to test further the sorts of options available to policy-makers to deter corporate wrong-doing and prevent irresponsible practices. These methods and regulatory options are becoming increasingly needed, given the inadequacies and inefficiencies of the current legal framework and the public rhetoric that suggests that the best response is (simply) more law."

SARRE, Rick, Meredith Doig and Brenton Fielder, "Reducing the Risk of Corporate Irresponsibility: The Trend to Corporate Social Responsibility", (September 2001) 25(3) The Accounting Forum 300-317;

[Abstract]

"What can be done to control and minimise the risk of corporate irresponsibility?   This question has been raised anew in Australia with the collapse in May 2001 of  the nation's second largest general insurer HIH leaving a A$4 billion (US$2 billion)  shortfall. The official regulator, the Australian Prudential Regulation Authority  (APRA), claimed a lack of resources contributed to its neglect. The auditors  claimed that they had been given incorrect information. The government suggested tightening the law and enforcing more rigorously its criminal sanctions. The  problem, however, lies with the misconception that such fiascos can be avoided by  governments creating and enforcing appropriate rules. This is simply not the case.  For while legislation and regulatory mechanisms that seek to enforce organisational rules and policies are necessary, they are simply not sufficient to establish and entrench corporate accountability and responsibility. In this paper, the authors demonstrate how corporate entities can and should develop a 'culture'  of corporate social responsibility (CSR) in order to reduce the risks associated with  irresponsible practices. CSR principles and initiatives can be delivered and  enticed by a broad range of facilitators, including governments, industries and regulatory bodies. They can also be used for the purpose of enhancing the broader  notion of corporate governance. The authors illustrate the manner in which CSR initiatives can and should become fundamental tools of risk assessment and risk  management in modern corporate and organisational practice." (available at  http://www.ingentaconnect.com/content/bpl/accf/2001/00000025/00000003/art00068, accessed on 18 January 2005)

SARRE, Rick and Jeremy Richards, "Criminal manslaughter in the workplace: what options for legislators?", (January-February 2004) 78(1-2) Law Institute Journal 59-61; copy at the Library of the Supreme Court of Canada, Ottawa;

"Victoria is one of the Australian states considering legislation which could see employers who implicitly condone or even expect non-compliance with safety standards sentenced to imprisonment." (p. 59)

___________"Responding to Culpable Corporate Behaviour — Current Developments in the Industrial Manslaughter Debate", (February 2005) 8(1) The Flinders Journal of Law Reform 93 to approx. 112; title noted in my research but article not consulted; no copy of this periodical in the Ottawa area libraries according to my verification of the AMICUS catalogue of Library and Archives Canada (21 October 2005);
 

SAVAGE, Joseph F. and Stephanie A. Martz, "How Corporations Spell Relief: Substituting civil sanctions for criminal prosecution", (1996) 11 Criminal Justice 10-14; no copy at Ottawa University; copy at the Library of the Supreme Court of Canada;
 

SAVIGNY, Friedrich Karl von, 1779-1861-, System des heutigen römischen Rechts [System of Roman Law], vol. II, Berlin 1840, p. 310 et seq.; translation by  Manfred Möhrenschlager;

"Criminal law has to do with natural persons as thinking and feeling persons exercising their free will. A legal person however is not such a person, but merely a property owning being, [...] with its reality based on the representative will of certain individual persons, which, by way of fiction, is attributed to its own will. Such a representation [...] can be acknowledged everywhere in civil law, but never in criminal law. Everything which is considered as a legal person’s crime is always only the crime of its members or organs, this means of single human beings or natural persons. [...] If a legal person were to be punished for a crime, the basic principle of criminal law, the identity of the offender and of the sentenced person, would be violated.” (source: Möhrenschlager, Manfred, supra, p. 1)

SCANNELL, Yvonne, "Environmental criminal law in Ireland", in Michael G. Faure and Günther Heine, coordinated by, Final Report: Criminal Penalties in EU Member States' Environmental Law, Maastricht (The Netherlands): Maastricht European Institute for Transnational Legal Research Faculty of Law, Maastricht University and  Berne, Switzerland: Institute for Criminal Law and Criminology,  Faculty of Law, University of Berne, October 2002, 352 p., at pp. 196-201; available at http://europa.eu.int/comm/environment/crime/criminal_penalties1.pdf (accessed on 18 June 2004);

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

Yes. Most criminal offences in environmental law apply not only to individuals but also to companies and to directors and senior management of companies although there are minor differences in how corporate liabilities are imposed under various pieces of legislation. The actual person who committed the offence and the corporate entity and the directors/senior manager can be prosecuted although in practice, prosecutors tend to prosecute the company only. The same penalties apply to all except that the corporate entity cannot be imprisoned. There have only been two examples (to this writer's knowledge) ever of company directors being imprisoned for environmental offences. There is no jurisprudence on corporate liability for environmental offences in Ireland but Irish and English law on this subject are probably the substantially similar. The discussion of the main criminal offences below illustrates the nature of corporate liability for environmental crimes." (Yvonne Scannell, p. 200)

SCHABAS, William A., "Enforcing international humanitarian law: Catching the accomplices", (June 2001) 83 International Review of the Red Cross 439-459; issue number 842; available at  http://www.icrc.org/WEBGRAPH.NSF/Graphics/439-460_Schabas.pdf/$FILE/439-460_Schabas.pdf (accessed on 18 November 2004); réumé en français à  http://www.icrc.org/Web/fre/sitefre0.nsf/iwpList183/CA4D5F65774A8584C1256C750043965B (visionné le 18 novembre 2004);
 

SCHANE, Sanford A., "The Corporation is a Person: The Language of a Legal Fiction", (1987) 61 Tulane Law Review 563-609; copy at Ottawa University,  KFL 69 .S69  Location: FTX Periodicals;
 

SCHAUMANN, N., "The Sarbanes-Oxley Act: a bird's view", (2004) 30(4) William Mitchell Law Review 1315-1350; not at the Library of the Supreme Court of Canada; issue 34 is on corporate governance; copy on microfiche at the Library of the Supreme Court of Canada eventually; article not consulted; article too recent to be on microfiche (December 2004);
 

SCHEIL, Andreas, "Background Information on National Legal Systems: Austria", in HUGLO LEPAGE, Associés conseils, ed., Criminal Penalties in EU Member States’ environmental law, Final Report, 15 September 2003, 988 p., 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);

[Austria]
"Austria still sticks to the principle societas delinquere non potest, only natural persons are liable. Discussions about corporate liability are still going on, but only in criminal law." (p. 14)

___________"Environmental Criminal Law -- Austria", 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., available at http://europa.eu.int/comm/environment/crime/criminal_penalties1.pdf (accessed on 18 June 2004);

[Austria]
"In administrative penal law as in criminal law only natural persons but no legal entities are liable. Their representatives are liable, but they can and they must, if the authority or a statute asks for to secure penal liability, engage another natural person to be responsible for observing the administrative law (“verantwortlicher Beauftragter”, responsible representative). The entity is only liable for the pecuniary fine imposed on the (responsible) representative -. As shown above, some statutes provide for liability for culpa in eligendo or custodiendo besides.
......
(General) Rules of the Criminal Code
As already mentioned, Austria still sticks to the principle societas delinquere non potest. Discussions about corporate liability are still going on, well informed sources say, it is very likely that Austria is unable to solve this problem and that the European Commission will have to refer this subject to the European Court of Justice – Austria just missed the deadline (June 18th 2002) to comply with the Second Protocol of the Convention on the protection of the European Communities' financial interests -. The representatives of legal entities are liable, if they commit the crime; and they are liable for culpa in eligendo or custodiendo of managers or other employees. Contrary to administrative penal law (see II. F. a.) a legal entity is not liable for the pecuniary fine imposed on a representative or another employee. Additional confiscation of profits to deprive an offender or anyone else of financial profits – that can be a legal entity as well - is possible ('Gewinnabschöpfung')."  (Andreas Scheil, pp. 128 and 134)

SCHELLENBERG WITTMER, "Criminal Liability of Legal Entities", Newsletter, November 2003, 4 p., available at  http://www.complianceofficers.ch/member/news/att/Newsletter_Nov_03_E.pdf (accessed on 20 December 2003); Swiss Law; with the same title at (April 2004) 20(4) International Enforcement Law Report 133;
 

SCHLEGEL, Kip, and David Weisburd, "INTRODUCTION -- White-Collar Crime.  The Parallax View", in Kip Schlegel and David Weisburd, eds., White Collar Crime Reconsidered, Boston: Northeastern University Press, 1992, xv, 384 p., pp. 3-27, ISBN: 1555531415; notes; "Papers originally presented at a conference held at Indiana University in May 1990"; copy at Ottawa University, MRT General: HV 6769 .W485 1992; for the table of contents of the book, see the Catalogue of Columbia University, PEGASUS, at http://pegasus.law.columbia.edu/;

[Contents]

[Introduction]...3

White-Collar Crime and Criminal Behavior

- Individual Motivation...4
- Organizational Offenders and Criminal Morivation...8
- Linking Individuals abnd Organizations: The Macro-Micro Connection...10

Victimization...11

Guardianship...14

- Policing...14
- Sanctioning...18

- Sentencing Disparity...18
- Organizational Sanctions...19

Conclusion...23

REFERENCES..23

SCHLEGEL, Kip, Just deserts for corporate criminals, Boston : Northeastern University Press, 1990, xvi, 235 p., ISBN : 1555530761; copy at Ottawa University, MRT General: KF 9236.5 .S35 1990;

"Contents

Preface...ix
Acknowledgments...xv

1. Punishing Corporations: From Practice to Theory...3

2. The Deterrent Effectiveness of Corportae Criminal Sanctions...19

3. The Development of Desert...43

4. Desert, Retribution, and the Theory of Punishment for Corporations and Their Agents...53

5. Liability and Desert: Are Corporations Worthy of Blame?...75

6. Assessing the Seriousness of Corporate Crime: The Concept of Harm...91

7. Culpability and Corporate-Offense Seriousness...117

8. Scaling Punishments for Corporations and Their Agents...147

9. The Application and Limits of Desert...177

Notes...193

Bibliography...219

Index ...229" (pp. vii-viii)

SCHMID, Niklaus, "Suisse: Rapport National", (1983) 54(1-2) Revue internationale de droit pénal / International Review of Penal Law 693-715, voir les pp. 704-705 (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);
 

SCHONHERR, Vienna, "Corporate Criminal liability", (November 2005) International Financial Law Review 1; Austria;

SCHOTT, Patrick J., "Corporate criminal liability for work-site deaths: old law used a new way", (1987-88) 71 Marquette Law Review 793-814; copy at Ottawa University, KFW 2469 .M354  Location: FTX Periodicals;

[Contents]

I. INTRODUCTION...793

II. BACKGROUND...794

A. Emergence of Criminal Sanctions Against Corporations...795
B. State Law...796

III. HOLDING CORPORATIONS CRIMINALLY LIABLE...799

A. Including Corporations Within the Statutory Definition
     of "Person"...799
B. Imputing the Agent's Mens Rea to the Corporation...801
C. Who/What 'Caused' the Death?...805

IV. VIABILITY OF A CORPORATE HOMICIDE CHARGE IN WISCONSIN...806

V. POST-CHARGING OPTIONS AND OTHER CONSIDERATIONS...810

VI. CONCLUSION...814

SCHRAGER, Laura Shill and James F. Short, "Toward a Sociology of Organizational Crime", (1977-78) 25 Social Problems 407-78; copy at Ottawa University, HN 1 .S58  Location: MRT Periodicals;

    [Abstract]  "This paper identifies as organizational crimes those illegal actions taken in accordance with operative organizational goals which do serious harm either physical or economic, to employees, consumers, or the general public.  The idea of white-collar crime is insufficient to deal with this phenomenon because it seldom recognizes physical impact or the peculiar features of crime in an organizational setting.  Public evaluation of the seriousness of an offense is based on the seriousness of its effect so that, in sharp contrast to common crime parties are seldom held accountable for harmful acts.  Organizational illegality is shielded by difficulties attendant on efforts to establish criminal intent, to determine individual responsibility, and to apply traditional civil-criminal distinctions.  We survey patterns of physical impact of illegal and dangerous organizational behavior upon their victims, which suggest the magnitude of the problem, the failure to perceive its social risks, and the need to develop data sources and do further research in this area." (p. 407)

SCHUDSON, Charles B., Aston P. Onellion, and Ellen Hochstedler, "Nailing an Omelet to the Wall: Prosecuting Nursing Home Homicide",  in Ellen Hochstedler, ed., Corporations as criminals, Beverly Hills: Sage Publications, 168 p., at  pp.131-145 (series; Perspectives in criminal justice; 6),  ISBN: 0803921586 and 0803921594 (pbk.); note: "Published in cooperation with the Academy of Criminal Justice Sciences"; copy at the Library of Parliament, HD2785 C67; copy at Ottawa University, MRT General: KF 9236.5 .A75 C67 1984;

[Contents]

THE CASE...131

THE DESIRABILITY OF CRIMINAL PROSECUTION...134

THE DIFFICULTY OF CRIMINAL PROSECUTION...136

Investigative Difficulties...136
Prosecution Difficulties...137

SOME PRACTICAL SUGGESTIONS FOR SUCCESSFUL PROSECUTIONS...139

CONCLUSION,,,140

APPENDIX...141

NOTES,,,144

REFERENCES...144

CASES...145

SCHULZ, Fritz, 1879-, Classical Roman Law, Oxford: Clarendon Press, xii, 650 p., see Chapter 11, "Corporations", at pp. 86-102; copy at the University of Ottawa, FTX General, KJA 149 .S37513 1951;
 

SCHÜNERMANN, Bernd, "Criticising the Notion of a genuine Criminal Law Against Legal 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. 225-233 (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_S78/9-SUBJN-3b.pdf (accessed on 25 April 2004);
 

___________"Placing the Enterprise Under Supervision ("Guardianship") as a Model Sanction Against Legal and Collective Entities", in Albin Eser, Günter Heine, and Barbara Huber, eds., Criminal Responsibility of Legal and Collective Entities - International Colloquium Berlin, May 4-6,  1998, Freiburg im Breisgau: Eigenverlag Max-Planck-Institut fur Auslandisches und Internationales Strafrecht, 1999, 379 p., at pp. 293-299 (series: Beiträge und Materialien aus dem Max-Planck-Institut für Ausländisches und Internationales Strafrecht Freiburg i. Br.; Bd. S 78),  ISBN:  3861139421; available at  http://www.iuscrim.mpg.de/verlag/online/Band_S78/11-SUBJN-4b.pdf (accessed on 13 December 2003);
 

___________"The Sarbanes-Oxley Act 2002: A German Perspective", (2004) 8(1) Buffalo Criminal Law Review 35-50, 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);
 

SCHUTYSER, Frederik, and Kurt Deketelaere, "[Environmental Law] Belgium" in International encyclopaedia of laws. Environmental law, The Hague : Kluwer Law International, 1991-; the monograph of Belgium (Suppl. 25)  has 254 p. and is dated May 2000; copy at Ottawa University, FTX Reference,  K 3585 .I58;

[Relevant part of the contents]

IV. Criminal Liability within Corporate Entities...223
A. History...223
B. Legal Doctrine...225
C. Various Proposals...225-227
 

"DETAILED TABLE OF CONTENTS...

INTRODUCTORY MEMORANDUM...163

1.  Should Corporate Criminal Liability Be Restricted or Extended?...163
2.  Under What Circumstances Should 'Unauthorized' Misbehavior Give Rise to Corporate Criminal Responsibility?...164
3.  Defense of 'Exceptional Occurrence Without Fault In Supervision or Management'...165
4.  Should Unincorporated Associations Be Treated Differently From Corporations?...165
5.  Should States, Municipalities, and Other Governmental Entities Be Exempted From Criminal Liability?...165
6.  Special Sanctions Against Organizational Offenses...166
7.  Should Organizational Officials Be Criminally Responsible for 'Wilful Default in Supervision'?...166
8.  Should the Criminal Court Be Empowered to Disqualify Convicted Organization Officials From Engaging in Management Functions?...166
.

STAFF MEMORANDUM...167

I.  EXISTING LAW...167

A. FEDERAL STATUTORY AND DECISIONAL LAW...167

1.  Liability of the Entity...167

a.  Corporations...168
b.  Partnerships and Other Unincorporated Associations...173
c.  Governmental Corporations...173

2. Liability of Individuals Acting for the Entity...176

II.  MAJOR POLICY CONSIDERATIONS...181

A.  BACKGROUND; POSSIBLE TARGETS FOR CRIMINAL SANCTIONS...181

- Actors (including accomplices)...183
- Nonactors (individuals other than the actor and his accomplices, and the corporate entity)...185
1.  Directors and officers...186
2.  The corporation...188

B. EVALUATION OF VARIOUS MEANS OF DISTRIBUTING RESPONSIBILITY, IN TERMS OF SPECIFIC CATEGORIES OF OFFENSES...193

1.  Offenses Involving Wilful Conduct Which Causes or Is Likely To Cause on Immediate Injury to Another...194
2.  Regulatory Offenses for Which Liability Is Sought To Be Imposed Under Subsection (2)(a) of Section 1006;  Strict Liability Offenses Under Other Statutes...198
3.  Culpable Regulatory Offenses and Noncode Offenses Under Regulatory Statutes...199

C.  PROSECUTORIAL DISCRETION UNDER A BROAD STATUTE...203

EXTENDED NOTE -- MAJOR POINTS TO BE COVERED BY A STATUTORY SCHEME CREATING A GOVERNMENT-LED CLASS SUIT PROCEDURE...203

APPENDIX A...207

1.  EXAMPLES OF STATUTES DEFINING 'PERSON' TO INCLUDE CORPORATIONS AND OTHER ARTIFICIAL ENTITIES...207

2.  EXAMPLES OF STATUTES INCLUDING CORPORATIONS AND OTHER ARTIFICIAL ENTITIES IN THEIR PENALTY CLAUSES...208

3.  EXAMPLES OF STATUTES CONTAINING BOTH A DEFINITION OF 'PERSON,' WHICH INCLUDES CORPORATIONS AND OTHER ARTIFICIAL LEGAL ENTITIES, AND A PENALTY CLAUSE INCLUDING SUCH BODIES...208

4.  EXAMPLES OF STATUTES CONTAINING A PROVISION TO THE EFFECT THAT THE ACT, OMISSION OR FAILURE OF ANY OFFICIAL, AGENT OR OTHER PERSON ACTING FOR AN ARTIFICIAL ENTITY WITHIN THE SCOPE OF HIS EMPLOYMENT SHALL BE DEEMED THE ACT, OMISSION OR FAILURE OF THE ENTITY AS WELL...208

APPENDIX B -- EXAMPLES OF STATUTES SPECIFICALLY IMPOSING LIABILITY ON INDIVIDUALS FOR CONDUCT ENGAGED IN ON BEHALF OF CORPORATIONS AND OTHER ARTIFICIAL LEGAL ENTITIES...209" (pp. xix-xx, vol. 1)

SCREVENS, Raymond, "Les sanctions applicables aux personnes morales dans les États des Communautés Européennes", (1980) 60 Revue de droit pénal et de criminologie 163-190; copie à l'Université d'Ottawa, K 21 .D725  Location: FTX Periodicals;

[TABLE DES MATIÈRES]

INTRODUCTION...163

I  SITUATION DANS CHACUNE DES LÉGISLATIONS
   NATIONALES...165

Belgique...166

A. Responsabilité pénale...166
B. Mesures pouvant atteindre les personnes morales...167

Dannemark...168

A. Responsabilité pénale...168
B. Mesure pouvant atteindre les personnes morales...169

France...169

A. Responsabilité pénale...169
B. Mesures pouvant atteindre les personnes morales...167

Italie...173

A. Responsabilité pénale...173
B. Mesures applicables aux personnes morales...173

Pays-Bas...174

A. Responsabilité pénale...174
B. Sanctions pouvant atteindre les personnes morales...175

République fédérale d'Allemagne...176

A. Responsabilité pénale...176
B. Sanctions pouvant atteindre la personne morale...176

Royaume Uni de Grande-Bretagne et d'Irlande du Nord...177

A. Responsabilité pénale...177
B. Sanctions pouvant atteindre les personnes morales...17*

II. NATURE JURIDIQUE DES SANCTIONS APPLICABLES AUX PERSONNES MORALES...179

III. QUAND S'INDIQUE-T-IL DE PRÉVOIR DES SANCTIONS À L'ÉGARD DES PERSONNES MORALES?...181

IV. SANCTIONS APPLICABLES AUX PERSONNES MORALES...183

- Amende...183
- Confiscation...184
- Avertissement...185
- Injonction judiciaire...185
- Caution...185
- Réparation des dommages...186
- Privation de droits ou d'avantages...186
- Interdiction professionnelle...187
- Fermeture de l'établissement et sanctions voisines...187
- Déchéance de la qualité de personne morale...188
- Dissolution...188
- Publicité...189
- Sanctions réelles ou personelles?...189

SCREVENS, Raymond et le Centre international de recherches et d'études sociologiques, pénales et pénitentiaires. Conférence internationale (1978), Les sanctions applicables aux personnes morales :  rapport général / par Raymond Screvens  La responsabilité pénale des personnes morales en droit communautaire,  [S. l. : s. n., 1978?], 1 v. (pagination variée); notes: En-tête du titre:  La responsabilité pénale des personnes morales en droit communautaire.  "Centre international de recherches et d'études sociologiques, pénales et pénitentiaires de Messine, Conférence internationale du 30 avril au 6 mai 1978"; copie à l'Université de Montréal; 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 la bibliothèque nationale du Canada, Ottawa (2 mai 2004);
 

SEALES, Frank and Margaret P. Spencer, "Corporate Codes of Conduct",  in Margaret P. Spencer and Ronald R. Sims, eds., Corporate misconduct : the legal, societal, and management issues, Westport (Conn.): Quorum Books, 1995, xi, 215 p., at pp. 165 to approx. 181, ISBN: 0899308791; title noted in my research but article not consulted; according to my verification of the AMICUS catalogue of Library and Archives Canada, Ottawa, there is no copy of this book in the Ottawa area libraries (1 May 2004);
 

SENISE FERREIRA, Ivette, "Rapport brésilien [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.709-716 (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;
 

SERPILLON, François, Code criminel, ou, Commentaire Sur l'Ordonnance de 1670: contenant les règles prescrites par les anciennes & nouvelles ordonnances pour l'instruction des procès..., Lyon: Chez les frères Perisse, 1767, 4 volumes, voir le volume 3, troisième partie, Titre XXI: "De la maniere de faire le Procès aux communautés es Villes, Bourgs, Villages, Corps & Compagnies", aux pp. 952-958 (copie du volume 3 à l'Université d'Ottawa); copie à la bibliothèque de la Cour suprême du Canada, Ottawa (collection de livres rares); copie à l'Université d'Ottawa, Archives Rare, KJV 8415.8 .S47 1767  v. 3; note: la bibliothèque de l'Université d'Ottawa n'a que le volume 3; note: pour le texte du titre XXI, voir supra, FRANCE, Ordonnance criminelle -- Saint-Germain-en-Laye, 26 août 1670;

   "3.  Les principaux crimes sont comme le porte cet article, les rebellions ou violences à l'occasion des Droits du Roi, ou des ordres de la Justice.  Par exemple des émotions populaires, & des assemblées illicites.  Ce qui forme autant de cas Royaux de la compétence des Lieutenants Criminels privativement à tous autres Juges, suivant l'article XI, du titre I, de cette Ordonnance.  Quoique les habitants d'une ville, où village, aient droit de s'assembler pour leurs affaires communes, leurs assemblées deviennent illicites lorsqu'elles sont faites pour délinquer" (commentaire sous l'article 1, p. 953)

......

    "1.  On peut ajouter aux peines indiquées par cet article une aumône; mais il faut faire attention que l'aumône ne peut être prononcée conjointement avec une amende envers le Roi, sinon dans les cas expliqués par la Déclaration de 1685, rapportée sur l'article IV du titre I, n. 2, savoir lorsqu'il y a sacrilege, ou lorsque l'aumône fait partie de la réparation.

    2. Quant aux autres peines, c'est ordinairement la privation des privileges, la descente des cloches pour un temps, la démolition de quelques portes ou murs, ou édifices publics.  Mais cette démolition ne peut être executée sans permission du Roi: aussi bien qu'une condamnation à élever dans une place un monumnet public avec inscription.  On se contente souvent au lieu d'ordonner la démolition d'une porte de ville d'ordonner que les portes en bois seront descendus pendant un temps." (commentaire sous l'article 4, pp. 955-956)

SERRA, Teresa, "[Portugal] Establishing a Basis for Criminal Responsibility of Collective Entities",  in Albin Eser, Günter Heine, and Barbara Huber, eds., Criminal Responsibility of Legal and Collective Entities - International Colloquium Berlin, May 4-6, 1998, Freiburg im Breisgau: Eigenverlag Max-Planck-Institut fur Auslandisches und Internationales Strafrecht, 1999, 379 p., at pp. 203-215 (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_S78/9-SUBJN-3b.pdf (accessed on 25 April 2004);
 

SERRATRICE, Brigitte, La responsabilité pénale des personnes morales dans le nouveau code pénal, Doctorat (nouveau doctorat): sciences criminelles: Aix Marseilles 3, 1993, 2 vol., 535 feuilles plus les annexes; titre noté dans mes recherches mais thèse non consultée;

[Résumé]

"La responsabilité pénale des personnes morales prévue par le nouveau code pénal a souvent été présentée par les parlementaires et les auteurs comme une nouveauté sur le plan de la théorie juridique.  Tout d'abord, il est vrai qu'elle met en cause la conception traditionnelle de la personne morale qui, par un artifice juridique, devient l'auteur ou le complice potentiel d'une infraction, et peut notamment subir les peines nombreuses et variées précisées par le nouveau code pénal.  Cependant cette nouveauté est atténuée par des éléments de droit comparé, le droit positif français antérieur au nouveau code pénal et la formulation adoptée par ce même code.  Sur le plan de la pratique ensuite, une approche prospective révèle que la mise en oeuvre de cette forme de responsabilité pénale sera possible pour un très grand nombre d'infractions, des adaptations procédurales ayant été réalisées notamment dans le but de permettre la représentation judiciaire de la personne morale.  La mesure présente par ailleurs des avantages dans des domaines infractionnels de prédilection de la personne morale (pollution, contrefaçon...), mais aussi peut être dangereuse, ce qui explique les garanties prises par le nouveau code pénal.  En conclusion, elle pourrait se révéler comme un outil commode mais que le juge devra utiliser avec prudence." (source: Catalogue Abes)

SEXER, Yves, "Les conditions de la responsabilité pénale des personnes morales", (janvier 1996) Droit et patrimoine,  numéro 34, aux pp. 38-46; copie à l'Université d'Ottawa, KJV 187 .A15 D76  Location: FTX Periodicals;
 

SEXTY, Robert W., "Corporate Social Responsibility", 2003, available at  http://www.ucs.mun.ca/~rsexty/business8107/CSocialR.htm (accessed on 8 August 2004);
 

SHAMIR, Ronen, "Catastrophes and Humanitarian Corporate Responsibility", June 2004; available at  http://spirit.tau.ac.il/socAnt/shamir/PDF/catastroph%20and%20hum.pdf (accessed on 27 July 2004); note: will be published in Austin Sarat, Lawrence Douglas, Martha Umprey, eds., Law and Catastrophe, Stanford: Stanford University Press (forthcoming);

"Abstract
This paper explores the interface of catastrophes susceptible to humanitarian interventions and multinational corporations. The basic argument is that multinational corporations have largely remained outside current debates about the meaning and scope of humanitarianism, about moral duties towards distant suffering, and about the potential role of international law in assigning duties and responsibilities at times of mass disasters. At the conceptual level, the paper tries to offer links between emerging norms of corporate social responsibility and extant norms of responsibility relating to catastrophes and humanitarian interventions. At the empirical level, and for illustrative purposes, the paper looks at a legal dispute over the complicity of one multinational corporation with famine and genocide in Sudan." (p. 1)

SHIBAHARA, Kuniji, "Le droit japonais de la responsabilité pénale en particulier la responsabilité pénale de la personne morale", 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. 39-51 (series: Beiträge und Materialien aus dem Max-Planck-Institut für Ausländisches und Internationales Strafrecht Freiburg i. Br.; Bd. S 78),  ISBN:  3861139421; available at http://www.iuscrim.mpg.de/verlag/online/Band_S78/6-SUBJN-1.pdf (accessed on 13 December 2003);
 

___________"Japan: National Report", (1983) 54(1-2) Revue internationale de droit pénal / International Review of Penal Law 439-452, voir les pp. 446-447 et 449 (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);
 

SHIER, Carlton Seelye, Kentucky Corporate Criminal Prosecutions: A Study of Factors Influencing the Decision of Kentucky Commonwealth's Attorneys to Prosecute Corporate Crimes, MS thesis, University of Louisville, 1994, 137 p., publication number: AAT 1359467;

[Abstract]

"Corporate crime has grown to incredible proportions in this country. It costs the government, consumers, and taxpayers billions of dollars each year. It, however, still goes relatively unpunished in a criminal context. Prosecutors are plagued with difficulties with the law, money, politics, and time. Corporate crime is very difficult to prosecute, and these outside factors are a reason for that. In an effort to tap some of the special knowledge that prosecutors have on this issue, a replication of the California Study by Benson, Maakestad, Cullen, and Geis (1988) was conducted. All the Commonwealth's Attorneys from the state of Kentucky were surveyed by mail about what things limited them in their decision to take a corporate case to criminal court. They were asked about a number of factors and about how each effected their decision to take a corporate case. The results showed that legal and technical problems plagued the prosecutors the most. Other outside problems also effected their decisions on corporate cases.  Efforts to correct this problem, of outside influence, must be made if corporate crime is to be successfully punished in Kentucky and the rest of the United States. (source: MAI 33/03, p. 788, Jun 1995; Digital Dissertations UMI Proquest)."

SHLOER, Bernhard and Filipenko Olena, Ukrainian-European Policy and Legal Advice Centre, "Criminal liability of legal persons. Criminal Codes examples (within the context of the corruption offences): European states experience", Appendix 21 to June 2003, available at  http://www.ueplac.kiev.ua/eng/Activities/3.21.pdf (acccessed on 21 December 2003);

Covers:

Bulgaria
France
Germany
Greece
Iceland
Ireland
Latvia
Luxembourg
Norway
Romania
Sweden

SHOUPILOV, Valery P., "USSR: National Report", (1983) 54(1-2) Revue internationale de droit pénal / International Review of Penal Law 761-772, voir la p. 771 (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);
 

SHOVER, Neal and Kevin M. Bryant, "Theoretical Explanations of Corporate Crime", in Michael B. Blankenship, 1955-, ed., Understanding Corporate Criminality, New York: Garland Publishing, 1993, xxiii, 266 p., at pp. 141-176 (series; Garland reference library of social science; vol. 845) and (series; Garland reference library of social science; Current issues in criminal justice; vol. 3), ISBN: 0815308833; copy at Ottawa University, MRT General, HV 8079 .W47 U53 1993;

[Contents]

[Introduction]...141

Aggregate-Level Theory...143

Supply of Criminal Opportunities...144
Supply of Offenders...147

Firm-Level Theory...152

Structural and procedural Complexity...153
Performance Pressure...154
Estimated Aversive Consequences...155
Crime-Facilitative Culture...156

Assessing Theories of Corporate Crime...160

Conceptual and Research Issues...161
Empirical Record...164

Concluding Comments...166

REFERENCES...168
 

"Contents/contributors
Preface

1  Conceptual Issues and Skirmishes
Introduction
- Edwin H. Sutherland: White-Collar Criminality
- Edwin H. Sutherland: Is "White-Collar Crime" Crime?
- Susan P. Shapiro: Collaring the Crime, Not the Criminal:
    Reconsidering the Concept of White-Collar Crime
- Alber J. Reiss, Jr. and Michael Tonry: Organizational Crime
- Frank Pearce: Crime and Capitalist Business Corporations

2  Victims and Costs
Introduction
- Elizabeth Moore and Michael Mills: The Neglected Victims
    and Unexamined Costs of White-Collar Crime
- Richard M. Titus: Personal Fraud and Its Victims
- Michael Levi: White-Collar Crime Victimization
- Neal Shover, Greer Fox, and Michael Mills: Consequences
    of Victimization by White-Collar Crime
- Linda Ganzini, Benston McFarland, and Joseph Bloom: Victims
    of Fraud: Comparing Victims of White-Collar and Violent Crime

3  White-Collar Criminal Opportunities
Introduction
- Kitty Calavita and Henry N. Pontell: "Heads I Win, Tails You
    Lose": Deregulation, Crime, and Crisis in the Savings and Loan Industry
- Hugh D. Barlow: From Fiddle Factors to Networks
    of Collusion: Charting the Waters of Small Business Crime
- Diane Vaughan: Transaction Systems and Unlawful Organizational Behavior
- John Liederbach: Opportunity and Crime in the Medical Profession
- Judy Root Aulette and Raymond Michalowski: Fire in Hamlet: A Case
    Study of a State-Corporate Crime

4  Decision Making
Introduction
- Donald R. Cressey: Poverty of Theory in Corporate Crime Research
- Raymond Paternoster and Sally Simpson: A Rational Choice
    Theory of Corporate Crime
- Andrew L. Hochstetler and Heith Copes: Organizational Culture
    and Organizational Crime
- Anne Jenkins and John Braithwaite: Profits, Pressure, and
    Corporate Law-Breaking
- Diane Vaughan: Rational Choice, Situated Action, and the Social
    Control of Organizations

5  Sources and Characteristics of White-Collar Offenders
Introduciton
- Hazel Croall: Who Is the White-Collar Criminal?
- Kathleen Daly: Gender and Varieties of White-Collar Crime
- D. Bilimoria: Corporate Control, Crime, and Compensation: An
    Examination of Large Corporations
- Diane Vaughan: Toward Understanding Unlawful
    Organizational Behavior
- Nicole Leeper Piquero and Alex Piquero: Characteristics
    and Sources of White-Collar Crime
- James W. Coleman: Competition and Motivation to White-Collar Crime

6  Controlling White-Collar Crime?
Introduction
- John Braithwaite and Gilbert Geis: On Theory and Action for
    Corporate Crime Control
- Michael L. Benson: Prosecuting Corporate Crime: Problems
    and Contraints Corporate Crime and Criminal Justice System
    Capacity: Government Response to Financial Institution Fraud
- Valerie Braithwaite and John Braithwaite: An Evolving Compliance
    Model for Tax Enforcement
- Laureen Snider: Cooperative Models and Corporate Crime:
    Panacea or Cop-Out?"
(source: http://www.oup.co.uk/isbn/0-19-513621-7?view=lawview, accessed on 16 December 2003)
 

__________"The implementation of the Corpus Juris 1997 in the Member States: National Report -- Italy /  La mise en oeuvre du Corpus Juris 1997 dans les États Membres: Rapport national -- Italie", in Mireille Delmas-Marty & J. A. E. Vervaele, eds., La mise en oeuvre du corpus juris dans les États  membres : dispositions pénales pour la protection des finances de l'Europe / Implementation of the corpus juris in the Member States: Penal provisions for the Protection of European Finances  Antwerpen : Intersentia, c2000, 4 volumes, at vol. 2, pp. 489-532, 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;
 

SICURELLA, R., auteur et  E. Bacigalupo et G. Grasso, experts responsables, "Droit pénal général: Articles 9-17", 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. 1 at pp. 257-316, 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;
 

SIEBER, Ulrich, "Report on the Discussions", (1983) 54(1-2) Revue internationale de droit pénal / International Review of Penal Law 81-99, see "Criminal Responsibility of Legal Entities", at pp. 93-94 (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;
 

SIGLER, Jay A. and Joseph E. Murphy, 1948-, Interactive corporate compliance : an alternative to regulatory compulsion, New York : Quorum Books, c1988, xii, 211 p., ISBN:  0899302432;  no copy of this book in the Ottawa area Libraries covered by the catalogue of Library and Archives Canada, AMICUS (verification of 14 June 2004);
 

SIKLOI, György, and György Kalman, "Hongrie: Rapport national", (1983) 54(1-2) Revue internationale de droit pénal / International Review of Penal Law 371-396, voir la p. 394 (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);
 

SILETS, Harvey M. and Susan W. Brenner, "The Demise of Rehabilitation: Sentencing Reform and the Sanctioning of Organizational Criminality", (1985-86) 13 American Journal of Criminal Law 329-380; copy at Ottawa University, KF 9202 .A427  Location: FTX Periodicals;

[CONTENTS]

I. INTRODUCTION...329

II. CORPORATE CRIMINAL LIABILITY...331

A. Introductory Comments...331
B. Corporate Criminal Responsibility: Evolution of a Legal Concept...332

1.  The Corporation as Criminal Actor...337
2. Attribution of Mens Rea...343

C.  The Problem of Differential Criminality...349

III. THE NEW FEDERAL SENTENCING STRUCTURE...336

IV.  SANCTIONS FOR CORPORATE CRIMINALITY...362

A. Sanctions for Rational Behavior...363
B. Alternative Deterrence Sanctions...367

1. Fines...368
2. Special Conditions of Probation...370
3. Publicity Sanction...375
4. Recidivism...378

V. CONCLUSION...379

SILVING, Helen, Criminal Justice, vol. 2, Buffalo: W. S. Hein, 1971, copy at Ottawa University, FTX General, K 31 .S5 1971  v.2;.

"CORPORATE RESPONSIBILITY IN COUNTRIES
OF CIVIL-LAW TRADITION...

    In continental Europe, rejection of vicarious responsibility has been interpreted also to exclude the criminal responsibility of corporate bodies, on the ground that the latter are fictitious beings without personal will so that were they subject to pecuniary sanctions (fines or forfeitures), these would fall upon all members, even those who have nothing to do with the crime in issue.  However, pecuniary sanctions and withdrawals of licenses have been occasionally imposed upon 'personnes morales' in France in cases such as, sales of prohibited beverages: the company was held responsible for the act of its manager (Cass. crim. July 15, 1943); economic legislation (Ordinance of June 20, 1945); fiscal and foreign exchange legislation (Ordinance of May 30, 1945); and collaboration by the press (Ordinance of May 5, 1945).  Usually an attempt is made to construe some 'guilt' on the part of the company.  In Germany corporate liability is construed as a means of depriving the corporation of the economic benefits of the crimes of its agents." (pp. 643-644)

SIMONART, Valérie, La personalité morale en droit comparé: l'unité du concept et ses applications pratiques - Allemagne, Angleterre, Belgique, États-Unis, France, Italie, Pays-Bas et Suisse, Bruxelles : Bruylant, 1995,  xxii, 670 p., voir "La Responsabilité pénale" aux pp. 246-266 (series; Collection de la Faculté de droit de l'Université libre de Bruxelles), ISBN:  2802706802; importante contribution au sujet; copie à la Bibliothèque de la Cour suprême du Canada, K650 S56 1995; copie à l'Université d'Ottawa, K650 .S596 1995;

"TABLE DES MATIÈRES [extrait]

9^o Responsabilité pénale...246
    289. Plan...246

a) Théorie traditionnelle...247
290. Signification...247
291. Habileté à commettre des infractions...249

b) Critique de la théorie traditionnelle...250
292. Absence de fondement légal...250
293. Textes en faveur de la responsabilité pénale des
        personnes morales...251
294. Liens avec les théories de la personnalité
        morale...253
295. Contradiction...253
296. Principe de la personnalité des peines...255
297. Possibilité d'appliquer des sanctions aux personnes
        morales...255
298. Rôle de la peine...258
299. Personnes morales de droit public...258

c) Responsabilité pénale atténuée des personnes
    morales...259
300. Responsabilité civile pour les amendes...259
301. Amendes administratives...260
302. Sanctions contre l'entreprise...262

d) Systèmes juridiques admettant la responsabilité
     pénale des personnes morales...262
303. Droit français...262
304. Droit néerlandais...263
305. Droits anglo-saxons...264
306. Suite. Droit américain...265
307. Suite. Droit anglais...266" (pp. 643 et 654-655)

SIMPSON, Sally S. (Sally Sue), "Corporate-Crime Deterrence and Corporate-Control Policies: Views from the Inside",  in Kip Schlegel and David Weisburd, eds., White Collar Crime Reconsidered, Boston: Northeastern University Press, 1992, xv, 384 p., at pp. 289-308, 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]...289

Background Research...290

Data and Methods...292

Views from the Inside: Images of Offense and Offender Type...294

Costs and Benefits of Crime: Are Managers Rational Calculators?...295

Facilitating Corporate-Crime Control...299

- Alternatives to the Legal Sanction...299
- Assessing Corporate Control Systems...300
- Visibility...301

Conclusions...302

REFERENCES...303

NOTES...306

___________Corporate crime, law, and social control, Cambridge: Cambridge University Press, 2002, xi, 180 p., (series; Cambridge studies in criminology), ISBN: 0521580838 and 0521589339 (pbk.); copy at Carleton University, Ottawa, Floor 4, HV6768 .S56 2002 ;

"Contents

Preface...page ix
 

1   Criminalizing the Corporate Control Process...1
     Definitions...6
     Criminalization of Corporate Crime and Post-Watergate Era...10
     The Facts of Criminalization...16
     Conclusions...20

2    Deterrence in Review...22
      Rationality and Crime...22
      Empirical Support for Deterrence...26
      Conclusions...42

3   Assessing the Failure of Corporate Deterrence and Criminal Justice...45
     Criminal Law and the Corporation...45
     Criminal Law and Corporate Managers...56
     Conclusions

4   Corporate Deterrence and Civil Justice...61
     Civil Law and Corporate Offending...61
     Can Civil Law Deter Corporate Crime?...73
     Conclusions...78

5   Corporate Deterrence and Regulatory Justice...79
     Business Regulation in the United States...80
     The Deterrent Capacity of Administrative Law...84
     Punishment or Persuasion...94
     Conclusions...97

6   Cooperative Models of Corporate Compliance: Alternatives to Criminalization...98
     Enforced Self-Regulation...100
     Informal Social Control...106
     Enforcement Pyramid...112
     Tit-for-Tat Regulatory Philosophy...112
     Conclusions...115

7  Criminalization versus Cooperation: An Empirical Test...116
     Study One...117
     Study Two...139
     Conclusions...151

8   Shaping the Contours of Control...153
     The Failure of 'Strict' Deterrence...153
     Policy Challenges...155
     Future Directions for Compliance Research...160

Appendix A: Study One: Questionnaire Items and Responses...163
Appendix B: Study One: Sample Characteristics...169
Appendix C: Study Two: Questionnaire Items and Responses...170
Appendix D: Study Two: Sample Characteristics...173

Name Index...174
Subject Index...176" (pp. vii-viii)

SIMPSON, Susan Sally S., Anthony R. Harris, and Brian A. Mattson, "Measuring Corporate Crime",  in Michael B. Blankenship, 1955-, ed., Understanding Corporate Criminality, New York: Garland Publishing, 1993, xxiii, 266 p., at pp. 115-140  (series; Garland reference library of social science; vol. 845) and (series; Garland reference library of social science; Current issues in criminal justice; 3), ISBN: 0815308833; copy at Ottawa University, MRT General, HV 8079 .W47 U53 1993;

[Contents]

[Introduction]...114

Currennt Data Sources...117

Official Crime Counts...117

- City and State-level Data...117
- Federal-level Data...118
- State and Federal Case Decision Summaries...121
- Corporate Self-Reports...121
- Victimization Data...121

Limitations of Current Sources...122

- The Dark Figure of Crime...122
- Sources of Bias in Official Data Sources...122
- Temporal Considerations...123
- Availability and Access...124

Alternative Sources of Corporate Crime Measurement...125

- A White-Collar Crime Index...125
- Surveys..126
- Survey Limitations in General...127

Constructing a Measurement Ideal...128

- Building a Rate Measure: Logical Units of
  Opportunity and Serial Production...128
- Problems with GINI-Crime...133

Conclusions...135

NOTES...135
REFERENCES...137
 

[CONTENTS]

INTRODUCTION...347

BACKGROUND...348

- CONVENTIONAL OFFENDING AND DETERRENCE...348
- WHITE-COLLAR OFFENDING AND DETERRENCE...348
- CORPORATE CRIME AND DETERRENCE...350

METHODS...352

- CRIMES VARIABLES...353
- OPPORTUNITY AND MOTIVATION VARIABLES...356

ANALYSIS...358

- MODELS OF "DETERRENCE"...358
- TIME-VARYING, FULL "DETERRENCE" MODEL...362
- MOTIVATION AND OPPORTUNITY VERSUS "DETERRENCE"...362

DISCUSSION AND CONCLUSIONS...366

REFERENCES...369

- APPENDIX 1  CORPORATIONS AND INDUSTRIES FROM WHICH SAMPLE IS DRAWN...373
- APPENDIX 2 SERIOUSNESS HIERARCHY OF ANTITRUST CASE OUTCOMES...374
- APPENDIX 3 DESCRIPTIVE STATISTICS OF VARIABLES...375

SIMS, Ronald R., and Margaret P. Spencer, "Understanding Corporate Misconduct: An Overview and Discussion", in Margaret P. Spencer and Ronald R. Sims, eds., Corporate misconduct : the legal, societal, and management issues, Westport (Conn.) : Quorum Books, 1995, xi, 215 p., at pp. 1 to approx. 22, ISBN: 0899308791; title noted in my research but article not consulted; according to my verification of the AMICUS catalogue of Library and Archives Canada, Ottawa, there is no copy of this book in the Ottawa area libraries (1 May 2004);
 

SIMS, Serbrenia and Ronald R. Sims, "Countering Corporate Misconduct: The Role of Human Resource Management", in Margaret P. Spencer and Ronald R. Sims, eds., Corporate misconduct : the legal, societal, and management issues, Westport (Conn.) : Quorum Books, 1995, xi, 215 p., at pp. 183 to approx. 208, ISBN: 0899308791; title noted in my research but article not consulted; according to my verification of the AMICUS catalogue of Library and Archives Canada, Ottawa, there is no copy of this book in the Ottawa area libraries (1 May 2004);

SINGH, Dharm Veer, "Corporate Criminal Liability: A Jurisprudential and Comparative Approach",  available at http://www.legalserviceindia.com/articles/cor_dr.htm (accessed on 17 February 2007);

SINGHVI, Angira, "Corporate Crime and Sentencing in India: Required Amendments in the Law", (July 2006) 1(2) International Journal of Criminal Justice Sciences; article available at http://www17.brinkster.com/ijcjs/angira.htm (accessed on 17 February 2007); also available at http://www.ijcjs.co.nr/ (accessed on 12 August 2007);
 

SLAPPER, G.A. (Gary A.), Blood in the bank: social and legal aspects of death at work / Gary Slapper with an introduction by Noam Chomsky, Aldershot (Hants England)/Brookfield (VT)  Ashgate/Dartmouth, 1999, xvi, 288 p., (series; advances in criminology), ISBN: 1840140798;  no copy of this book in the Ottawa area libraries according to my verification of the AMICUS catalogue of  Library and Archives Canada, Ottawa (2 May 2004);

"[Contents]

List of Cases
List of Statutes, Statutory Instruments and EC Legislation
Acknowledgements
Introduction
Series Preface
Preface...1

1  The Theoretical Framework: Criminal Law, Manslaughter, the CPS,
    the Police, the HSE, and the Coronial Inquest...9

2  The Development of Corporate Liability and the Scale of Corporate
    Risk-Taking...46

3  The Legal Process (1): The Police, the CPS and the HSE...70

4  The Legal Process (2): The Inquest...90

5  Social Perceptions of the Dramatis Personae...114

6  The Historical and Economic Context...163

7  Legal, Criminological and Social Science Perspectives 202

Bibliography...221
Appendices...237
Appendix 1...239
Appendix 2...240" (source: Columbia University catalogue, Pegasus, at http://pegasus.law.columbia.edu/)
 

___________"A corporate killing -- Gary Slapper assesses the impact of the OLL [Ltd] case", (6 December 1994) 144 New Law Journal 1735; issue 6676;
 

_________"Corporate Manslaughter: An Examination of the Determinants of Prosecutorial Policy", (December 1993) 2(4) Social and Legal Studies 423-443; copy at Ottawa University, K 202 .S63  Location: FTX Periodicals; not at S.C.C.;

[Contents]

INTRODUCTION...423

CRIME IN THE SUITES...425

- THE EVIDENCE OF CORPORATE MANSLAUGHTER...425

THE SCALE OF THE PROBLEM...426

CORPORATE LIABILITY...430

A CRIME WITHOUT CONVICTION...431

- THE MECHANICS OF THE SYSTEM...432
- SOCIAL PERCEPTIONS...435
- HISTORICAL AND ECONOMIC INFLUENCES...436

CONCLUSIONS...440

NOTES...441

REFERENCES...442
 

[Contents]

I. Introduction...161
II. The Current English Law...162
III. New Offence of Corporate Killing...165
IV. The Complications Thicken...166
V. The Government’s Response to the Law Commission’s Proposals...169

___________"Corporate Punishment -- Gary Slapper weighs up the effectiveness of existing methods", (7 January 1994) 144 New Law Journal 29-30; issue 6630;
 

___________"Crime without a conviction -- Gary Slapper considers the law of corporate manslaughter", (14 February 1992) 142 New Law Journal 192-193; issue 6539;
 

___________"Involuntary manslaughter -- Gary Slapper considers the Law Commission's paper", (8 March 1996) 146 New Law Journal 342; issue 6734;
 

SLAPPER, Gary and Steve Tombs, Corporate Crime/ Gary Slapper and Steve Tombs ; with a foreword by Michael Mansfield, Harlow: Longman, 1999, xi, 279 p. (series;  Longman criminology series), ISBN: 0582299802;  no copy of this book in the Ottawa area libraries according to my verification of the AMICUS catalogue of Library and Archives Canada, Ottawa (2 May 2004);

"NOTES: Includes bibliographical references (p. [238]-271) and index. 1. Introduction -- 2. The emergence of corporate crime -- 3. Mapping and measuring the extent of corporate crime -- 4. Counting and costing corporate crime -- 5. Crime, law and order agendas: the (in)visibility of corporate crime -- 6. Accounting for corporate crime: corporations and pathology -- 7. Accounting for corporate crime: corporations and political economy --  8. Regulating corporations? -- 9. Punishing corporations? -- 10. Conclusion." (Source: AMICUS catalogue)

SMITH, Margareth, "The U.S. Sarbanes-Oxley Act of 2002: reforming corporate governance and disclosure", [Ottawa] : Library of Parliament, Parliamentary Research Branch, 2002, 9 p. (series; [In brief]; PRB 02-42E); notes: "4 November 2002"; also available in French / aussi disponible en français: "La Sarbanes-Oxley Act of  2002 aux États-Unis: réformer la gouvernance et le régime déclaratif des entreprises", [Ottawa] : Direction de la recherche parlementaire, 2002, 10 p. (Collection; [En bref]; PRB 02-42F);
 

SOESANTO, L.C., "The Spectrum of Corporate Crime in Indonesia", in Heather Strang and Julia Vernon, eds., International trends in crime : east meets west : proceedings of a conference held 10-13 December 1990, Canberra : Australian Institute of Criminology, 1992, 182 p. (series; Australian Institute of Criminology; Conference Proceedings; ISSN 1034-5086number 12),  ISBN 0642173594; note: the article is 6 p.; available at http://www.aic.gov.au/publications/proceedings/12/heuvel.pdf (accessed on 4 July 2004);

SOLOVEIRÈIKAS, Deividas, "Criminal Responsibility of Corporate Bodies: Another Area to Pass the Threshold of Ultima Ratio?", (2004) 50 Teise 1-15; available at http://www.leidykla.vu.lt/inetleid/teise/50/straipsniai/str13.pdf (accessed on 24 February 2008);
 

SPENCER, John R., "La responsabilité pénale dans l'entreprise en Angleterre", (avril -juin1997) Revue de science criminelle et de droit pénal comparé 289-294; 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]...289

I.  Le "GROUPEMENT" COMME SUJET DE DROIT PÉNAL EN ANGLETERRE...290

a) Regulatory offences...290
b) Le "principe d'identification"...291

II. LA RESPONSABILITÉ PÉNALE DU CHEF D'ENTREPRISE...292

CONCLUSION...294

SPENCER, J.,  A. Brown and  R.E. Bell,  "The implementation of the Corpus Juris 1997 in the Member States: National Report -- United Kingdom /  La mise en oeuvre du Corpus Juris 1997 dans les États Membres: Rapport national -- Royaume-Uni (?)", 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, p. 856, ISBN:  9050950981 (v. 1), 905095099X (v. 2), 9050951007 (v. 3), and 9050951902 (v. 4); notes: volume 1. part. 1. Synthesis -- part.2. Horizontal syntheses of comparative law; part. 3. Legal bases for the  implementation; volumes 2-3. National reports of the 15 Member States; volume 4. Horizontal and vertical cooperation; French and/or English; titre noté dans mes recherches mais non consulté; ma vérification du catalogue AMICUS de 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;
 

SPENCER, Margaret P., "A Look at Corporate Crime", in Margaret P. Spencer and Ronald R. Sims, eds., Corporate misconduct : the legal, societal, and management issues, Westport (Conn.) : Quorum Books, 1995, xi, 215 p., at pp. 23-40, ISBN: 0899308791; copy at Carleton University, Ottawa,  Floor 4, KF9236.5.C67;

[CONTENTS]

[INTRODUCTION]...23

- DEFINING CORPORATE CRIME...24

- DISTINGUISHING CORPORATE CRIME FROM STREET CRIME...25

- THE CAUSES OF CORPORATE CRIMINALITY...28

- Corporate Criminal Conduct as a Result of Financial problems...29
- Profit Maximization...30
- Economic Environment...31

- THE LEGAL RESPONSE -- ADDED REGULATION...32

- OTHER AREAS...33

- LITIGATION TRENDS -- CIVIL...34

- LITIGATION TRENDS -- CRIMINAL...35

- NOTES...38

SPENCER, Rebecca, "Corporate law and structures: exposing the roots of the problem", Corporate Watch, 2004, 30 p.; available at  http://www.corporatewatch.org.uk/publications/corporate_structures.pdf (accessed on 11 June 2004);
 

SPENCER, Tamieka, "Talking about Social Responsibility: Liability for Misleading and Deceptive Statements in Corporate Codes of Conduct", (2003) 29(2) Monash University Law Review 297-315; copy at Ottawa University, FTX periodicals, KTA O.M65;
 

SPIELMAN, Dean, "Rapport luxembourgeois [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. 779-801 (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]

Introduction...779

I. -- L'irresponsabilité pénale traditionnelle des personnes morales
       ou des entreprises...779

II. -- Imputabilité des infractions et rapports avec la punissabilité des
         personnes physiques...782

III. -- Vers des sanctions pénales et quasi pénales infligées aux personnes
          morales...796

Conclusion: Vers une reconnaissance progressive d'une responsabilité
des personnes moralesen droit pénal?...799

___________"La responsabilité pénale des personnes morales en droit luxembourgeois et étranger", (1994) Annales du droit luxembourgeois 127; titre noté dans mes recherches mais article non consulté; selon ma vérification du catalogue de Bibliothèque et Archives Canada AMICUS, l'Université Laval a une copie de ce périodique (vérification du 11 juin 2004);
 

___________"La responsabilité pénale des personnes morales en droit luxembourgeois et étranger : vers une responsabilité pénale des personnes morales?", (2000) 30 Bulletin droit et banque - Luxembourg 41-51; titre noté dans mes recherches mais article non consulté; selon ma vérification du catalogue de Bibliothèque et Archives Canada AMICUS, aucune bibliothèque canadienne n'a une copie de ce périodique (11 juin 2004);
 

SPINDLER, Gerald, "Alternatives to Criminal Responsibility of Corporations Considerations by a Corporate Lawyer",  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. 341-359 (series: Beiträge und Materialien aus dem Max-Planck-Institut für Ausländisches und Internationales Strafrecht Freiburg i. Br.; Bd. S 78),  ISBN:  3861139421; available at http://www.iuscrim.mpg.de/verlag/online/Band_S78/13-SUBJN-6.pdf  (accessed on 14 December 2003); important contribution;
 

SPINELLIS, Dionysios, "The implementation of the Corpus Juris 1997 in the Member States: National Report -- Greece /  La mise en oeuvre du Corpus Juris 1997 dans les États Membres: Rapport national -- Grèce", 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. 417-464, 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;
 

___________"Penal and Administrative Sanction", in Peter J. Cullen, ed., Enlarging the fight against fraud in the European Union : penal and administrative sanctions, settlement, whistleblowing and corpus juris in the candidate countries / [ERA, Europäische Rechtsakademie], Köln : Bundesanzeiger Verlagsgesellschaft, c2004, c2003, 447 p., at pp. 91-112 and see in particular, "3. Criminal and administrative sanctions against legal entities", at pp. 95-96 and "4. Possibility of introduction of criminal sanctions against legal entities", at pp. 96-97 (series; Schriftenreihe der Europäischen Rechtsakademie Trier ; Bd. 36 = Serie de publications de l'Academie de Droit Europeen de Treves; Bd.36 = Series of publications by the Academy of European Law Trier; Bd. 36), ISBN: 3898173658; covers: Bulgaria, Czech Republic, Estonia, Hungary, Lithuania, Poland, Romania, Slovak Republic and Slovenia; copy at the University of Ottawa, FTX General, KJE 8643 .E55 2004; important contribution;
 

SPURGEON, W. Allen and Terence P. Fagan, "Criminal Liability for Life-Endangering Corporate Conduct", (1981) 72 Journal of Criminal Law and Criminology 400-433;

[Contents]

INTRODUCTION...400

I.  LIFE ENDANGERING ACTIVITY AND PROPOSED FEDERAL LEGISLATION...401

A. SOCIALLY HARMFUL CORPORATE CONDUCT...401
B.  PROVISIONS AND HISTORY OF THE ENDANGERMENT OFFENSE...405

II.  MORAL BLAMEWORTHINESS AND THE PUNISHMENT OF LIFE-ENDANGERING CORPORATE ACTIVITY...409

A. PURPOSES AND GOALS OF CRIMINAL LAW...410
B. MORAL BLAMEWORTHINESS AND CORPORATE LIFE-ENDANGERING CONDUCT...412
C. CULPABILITY AND CORPORATE CONDUCT...420

III.  APPLYING THE ENDANGERMENT OFFENSE TO CORPORATIONS...423

A. CRIMINAL LIABILITY OF THE CORPORATION AND ITS EMPLOYEES...423
B. DETERRENCE' RETRIBUTION AND IMPOSING CRIMINAL SANCTIONS ON CORPORATIONS AND EMPLOYEES...426

Deterring the Corporation...426
Deterring Corporate Employees...428
Criminal Conviction and Retribution...430

C. THE SCOPE OF AN EFFECTIVE ENDANGERMENT OFFENSE...430

CONCLUSION...432
 

STAUFFACHER, E., "La criminalisation du comportement collectif -- Suisse", 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. 347-367, 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;
 

STEEN-SUNDBERG, Christina, "Suède [Sweden]: Crimes against the Environment in Sweden",  (1994) 65 Revue internationale de droit pénal / International Review of Penal Law 1163-1185, see "To whom is criminal liability imputable under your law?", at pp. 1170-1171; article in English; part of the Preparatory Colloquium, Section 1, Crimes against the Environment -- General Part, Ottawa (Canada), November 2-6, 1992;
 

STERN, Yedidia Z., "Corporate Criminal Personal Liability -- Who Is the Corporation?", (1987-88) Journal of Corporation Law 125-143; copy at Ottawa University, KF 1397 .J693  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada;

[TABLE OF CONTENTS]

I. INTRODUCTION...125

II. THE NEED FOR IDENTIFICATION...128

III. DIFFICULTIES OF IDENTIFICATION...130

IV. CRITERIA FOR IDENTIFICATION...132

A. Vague Description...132
B. Format Criteria...132

1. Primary Organs Test...132
2. Delegation Test...133
3. Authorized Acts Test...133
4. Corporate Selection Test...134

C. Pragmatic Approach...134
D. Analysis of Hierarchy...135
E. Analysis of Function...138
F. Proposed Criterion -- Analysis of Function
     and Hierarchy Combined...139

V. CONCLUSION...142" (p. 125)

STESSENS, Guy, "Corporate Criminal Liability: A Comparative Perspective", (1994) 43(3) International and Comparative Law Quarterly 493-520; copy at Ottawa University, K 1701 .I569  Location: FTX Periodicals;

[CONTENTS]

I.  INTRODUCTION...493

II. THE HISTORY OF CORPORATE CRIMINAL LIABILITY...494

A.  The Beginning of Corporate Sanctioning...494
B.  Continental Jurisdictions: the Twentieth-Century Evolution...498
C.  Substitute Models of Corporate Sanctioning...501

III.  THE APPLICATION OF CORPORATE SANCTIONING SYSTEMS...506

A.   Which Natural Persons Can Make the Corporation Criminally Liable?...506
B.   Capacity of the Acting Individuals...512
C.  The Benefit Criterion...514
D.  Sanctioning Corporations...515
E.  Cumulative Prosecution of Corporate and Individual Offenders...517

IV. CONCLUSIONS...518

STEVENSON, Russel B., "Corporations and Social Responsibility: In Search of the Corporate Soul", (1973-74) 42 George Washington Law Review 709-736;

[Contents]

[Introduction]...709

The Nature of the Problem...711

Manifestation of the Problem...715

Corporate Lobbying...715
Product Safety...717
Voluntarism...718

Some Tools of Governance

Regulation...722
Countervailing Power...723
Public Image...724

The "Corporate Constitution"...728

Conclusion...736

STEWART, C. Evan, "Problems posed by corporate criminal liability", (12 January 2001) 225(9)  New York Law Journal 1; title noted in my research but article not consulted; no copy of this periodical at the University of Ottawa (verification of 20 January 2005);
 

STEWART, David Overlock, "Basics of Criminal Liability for Corporations and Their Officials, and Use of Compliance Programs and Internal Investigations", (1992-93) 22 Public Contract Law Journal 81-99; copy at Ottawa University, KF 842 .P82  Location, FTX Periodicals;

"[Contents]

I. Corporate Criminal Liability...82

A. Scope of Liability...83
B. Intent to Benefit the Corporation, at Least in Part...84

II. Responsible Corporate Officer Doctrine...84

A. Origins of the Responsible Corporate Officer Doctrine...85
B. The Statutory RCOD: Environmental Laws...87

III. Compliance Programs...88

A. Purpose and Rules of Compliance Programs...88
B. Elements of Compliance Programs...90

1. Shared Elements...91
2. Businesses and Types of Legal Problems Addressed...92

IV. Managing Internal Investigations...94

A. Why Use Lawyers?...94
B. Which Lawyer?  House Counsel versus Outside Counsel...95
C. Issues in Conducting the Investigation...96

1. Who Is Your Client?...96
2. What Are the Individual's Rights?...97
3. What Kind of Record Should You Keep?...98

D. What to Do with the Results...98" (p. 81)

STITT, B. Grant and David J. Giacopassi, "Assessing Victimization from Corporate Harms",  in Michael B. Blankenship, 1955-, ed., Understanding Corporate Criminality, New York: Garland Publishing, 1993, xxiii, 266 p., at pp. 57-83  (series; Garland reference library of social science; vol. 845) and (series; Garland reference library of social science; Current issues in criminal justice; 3), ISBN: 0815308833; copy at Ottawa University, MRT General, HV 8079 .W47 U53 1993;

[Contents]

[Introduction]...57

Corporate Crime: The Definitional Problem....58

The Attribution of Victimization...63

Types of Corporate Harm...67

The Paradox of Victimization...71

The Government's Role in Corporate Victimization...75

Conclusions...77

NOTES...79

REFERENCES...80

STOLOWY, Nicole, "Responsabilité pénale.  La disparition du principe de spécialité dans la mise en cause pénale des personnes morales.  Loi n^o 2004-204 du 9 mars 2004, dite Perben II", (2 juin 2004) numéro 23 La Semaine Juridique, I- Doctrine 138, aux pp. 995-999; copie à la Bibliothèque de la Cour suprême du Canada;

[Sommaire] Le législateur a mis fin au principe de spécialité de la responsabilité pénale des personnes morales par la loi n^o 2004-204 du 9 mars 2004 portant adaptation de la justice aux évolutions de la criminalité.  L'amendement du Sénateur Fauchon, devenu l'article 54 de la nouvelle loi supprime le fait que les personnes morales n'étaient, jusqu'à présent responsables que 'dans les cas prévus par la loi ou le règlement'.  La suppression de ce principe de spécialité a été envisagée au nom de la cohérence et de la simplification du droit pénal.  En revanche, les exclusions touchant aux personnes morales visant l'État et les collectivités territoriales dans certaines circonstances sont bien maintenues." (p. 995)

___________"La responsabilité pénale des personnes morales : une application pratique", (16 décembre 1994) Les Petites affiches, numéro 150, aux pp. 10-14; titre noté dans mes recherches mais article non consulté; aucune copie de ce numéro dans les bibliothèque de la région d'Ottawa comprises dans le catalogue AMICUS de  Bibliothèque et Archives Canada (vérification du 24 juillet 2004);
 

STONE,  Christopher D., "A Comment on 'Criminal Responsibility in Government'",  in J. Roland Pennock and John W. Chapman, eds., Criminal Justice, New York : New York University Press, 1985, xiii, 372 p., at pp. 241-266 (series; NOMOS; XXVII), ISBN: 0814765882; copy at Ottawa University, MRT General K5018 .A3 1985;

[CONTENTS]

[INTRODUCTION]

THE GENERAL BUREAUCRATIC CONSIDERATIONS...242

- The Criminal Liability of the Entity but not of any Agent...244
- Liability of the Agent and the Entity (A+E)...251
- Liability of the Agent but not the Entity (A but not E)...252
- Neither the Agent nor the Entity (not A and not E)...254

THE SPECIAL GOVERNMENTAL CONSIDERATIONS...255

NOTES...263

___________"Controlling corporate misconduct", (Summer 1977) 48 The Public Interest 55-71; copy at Ottawa University, H 1 .P86  Location: MRT Periodicals;
 

___________"Corporate Regulation: The Place of Social Responsibility", in Brent Fisse and Peter A. French, eds., Corrigible Corporations and Unruly Laws, San Antonio : Trinity University Press, c1985,  233 p., at pp. 13-38, ISBN: 0939980126 and 0939980134 (pbk.); copy at Carleton University,  KF1414.C68;
 

___________"Corporate Vices and Corporate Virtues: Do Public/Private Distinctions Matter?", (1981-82) 130 University of Pennsylvania Law Review 1441-1509;

[Contents]

[INTRODUCTION]...1441

I.  PUBLIC AND PRIVATE IN THE LIFE OF LEGAL FICTIONS:
    AN OVERVIEW...1445

A. The Complexity of Corporate Activity and Organization...1445
B. The Public/Private Distinction in the Sorting of Immunities
     and Liabilities...1449

II. THE REGION OF PUBLIC IMMUNITIES, PRIVATE LIABILITIES...1451

A. Two Fundamental Strategies for Controlling Corporate
     Misconduct...1451
B. The Choice of Strategy...1456

1. Prescriptive Considerations Other than the Public/Private
    Characteristics...1456
2. Prescriptive Considerations Derivable From Public or Private
    Organizational Characteristics...1459

a. Differences in the Organizational Motive...1459
b. Differences in Independent Legal Rules...1460
c. Differences in Managerial Incentives...1463
d. Differences in Control through Electoral
     Accountability...1467
e. Differences in the Distributional Consequences...1472
f. Differences in Constitutional Ramifications...1474

III. THE REGION OF PUBLIC LIABILITIES/PRIVATE IMMUNITIES...1479

A. The Nonconstitutional Sources of the Second Region...1480
B. The State Action Sources of the Second Region...1483
C. The "State Action" Implications for Public and Private Orgamnizational Characteristics...1485
D. A Case for the Public/Private Distinction: The Moral Exemplar Model...1492
E. The Moral Exemplar Model Illustrated...1496

CONCLUSION...1506

__________"Foreword.  Large Organizations and the Law at the Pass: Toward a General Theory of Compliance Strategy", (1981) Wisconsin Law Review 861-890; copy at Ottawa University, KFW 2469 .W57  Location: FTX Periodicals;
 

___________"The Place of Enterprise Liability in the Control of Corporate Conduct", (1980-81) 90 Yale Law Journal 1-77; copy at Ottawa University, KFC 3669 .Y34  Location: FTX Periodicals;
 

___________Comment, "Sentencing the Corporation", (1991) 71 Boston University Law Review 383-394; copy at Ottawa University, K 2 .O678  Location: FTX Periodicals;

[CONTENTS]

I. COMMENTS ON BARRY BAYSINGER'S ARTICLE...383

II. COMMENTS ON JOHN MACEY'S ARTICLE...388

__________Where the Law Ends: The Social Control of Corporate Behaviour, New York: Harper & Law, 1975, xiii, 273 p., ISBN: 0060141336; copy at Ottawa University, MRT General: KF 1416 .S7 1975;

"Contents

      Acknowledgments...ix

      Introduction...xi

I  CORPORATIONS AND THE LAW DEVELOP -- BUTNOT APACE
1  The Corporation as Actor...3
2  'Corporate' and Individual Responsibility in Early Law...8
3  Corporations and the Law: The First Skirmishes...11
4  The Industrial Revolution -- The Die Is Cast...19

II THE HISTORICAL LEGACY
5  What Do We Want the Law to Accomplish?...30
6  Measures Aimed at the Organization Itself...35
7  Measures Aimed at 'Key' Individuals...58

III  THE CORPORATE SOCIAL RESPONSIBILITY DEBATE
8   What Exactly Are 'Antis' Against?...74
9   Why Shouldn't Corporations Be Socially Responsible?...80
10  Why the Market Can't Do It...88
11  Why the Law Can't Do it...93
12  What 'Corporate Responsibility' Might Really Mean...111

IV CONTROLLING CORPORATIONS: PUTTING THE MODEL TO WORK
13  Structural Variables: The Room at the Top...122
14  Reforming the Board...134
15  General Public Directorships...152
16  Special Public Directorships...174
17  Managing with Management...184
18  Mending the Information Net...199
19  Redesigning the Decision Process...217
20  The Culture of the Corporation...228

      Notes...249
      Index...267" (pp. vii-viii)

STONER, John E., "Corporate Criminal Liability for Homicide: Can the Criminal Law Control Corporate Behavior?", (1984-85) 38 Southwestern Law Journal 1275-1296; copy at Ottawa University KFT 1269 .S698  Location: FTX Periodicals;

[Contents]

[INTRODUCTION]....1275

I  HISTORY OF CORPORATE CRIMINAL LIABILITY FOR HOMICIDE...1276

A. Early History...1276
B. Modern Decisions...1280
C. New Developments: Six Flags Indicted...1285

II   THE EFFICACY OF CORPORATE CRIMINAL LIABILITY...1286

A. Deterrence...1286
B. Incapacitation and Rehabilitation...1293
C. Retribution...1294

III  CONCLUSION...1296

STRADER, J. Kelly, "The Judicial Politics of White Collar Crime", (1998-99) 50 Hastings Law Journal 1199-1273; copy at Ottawa University, KF 292 .H3 H367  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada;

"TABLE OF CONTENTS

I. Defining The Inquiry...1204

A. Setting the Parameters of 'White Collar Crime'...1205

(1) Social/Professional Status...1206
(2) Nature of the Conduct...1207
(3)  Practical Considerations...1209

B. Issues of Categorization...1211

(1) The Problem of Overlap...1211
(2) 'Substance' vs. 'Procedure'...1212
(3) 'Civil' vs. 'Criminal'...1214

II. Criminal Justice Philosophies in Non-White Collar Cases...1215

A. Voting Patterns...1215
B. Non-White Collar Cases...1217

(1)  Fourth, Fifth, and Sixth Amendment Issues...1217
(2)  Remaining Criminal Law Issues...1223

(a) Substantive and Procedural Due
     Process...1224
(b) Eighth Amendment...1225

C. Common Patterns in the Non-White Collar Cases...1227

III. Criminal Justice Philosophies in White Collar Cases...1228

A. Voting Patterns...1229
B. White Collar Cases...1230

(1)   Economic Regulation...1230

(a) Securities Fraud...1231
(b) Tax Fraud...1236

(2)  Public Corruption...1237
(3)  Cross-Over Crimes...1241
(4)  Procedural Issues...1243

C. Common Patterns in White Collar Cases...1245

IV. An Analysis of White Collar Judicial Politics...1245

A. Socio-Economic/ClasslRace-Based Decision-Making ...1246

(1) Imagery and Bias in Non-White Collar Crime
     Cases...1247
(2) Imagery and Bias in White Collar Cases...1249
(3) Evaluating the Traditional Explanation...1251

B. Issue Definitions and the 'Substance' of Statutory Construction...1252

(1) White Collar Crime and the "Substance" of Statutory
      Construction...1253
(2) 'Substance' vs. 'Procedure' Revisited...1255
(3) Evaluating the Issue-Based Explanation...1256

C. The Politics of Limiting Federal Power...1257

(1) The State/Federal Dichotomy...1258
(2) Protection of the Market Economy...1261
(3) Evaluating the Federal/lPolitical Explanation...1262

D. Criminalization and the Weighing of  'Harm'...1263

(1) The Perceived 'Harm' in Non-White Collar Crime Cases...1264
(2) The Perceived 'Harm' in White Collar Crime Cases...1266

E. Reevaluating White Collar Criminalization...1267

Conclusion...1270
Appendix...1271"   (pp. 1199-1200)

STROBEL, Lee Patrick, 1952, Reckless Homicide?  Ford's Pinto Trial, South Ben (Indiana): And Books, c. 1980, 286 p., [8] leaves,  ISBN:  089708022X; title noted in my research but book not consulted; no copy of this book in the Ottawa area libraries according to my verification of the catalogue AMICUS of Library and Archives Canada (15 May 2004);
 

SUISSE, Code pénal, disponible à  http://www.admin.ch/ch/f/rs/c311_0.html (visionné le 20 Décembre 2003);

"Art. 100quater

Punissabilité

1  Un crime ou un délit qui est commis au sein d’une entreprise dans l’exercice d’activités commerciales conformes à ses buts est imputé à l’entreprise s’il ne peut être imputé à aucune personne physique déterminée en raison du manque d’organisation de l’entreprise. Dans ce cas, l’entreprise est punie d’une amende de cinq millions de francs au plus.

2   En cas d’infraction prévue aux art. 260ter, 260quinquies, 305bis, 322ter, 322quinquies ou 322septies, l’entreprise est punie indépendamment de la punissabilité des personnes physiques s’il doit lui être reproché de ne pas avoir pris toutes les mesures d’organisation raisonnables et nécessaires pour empêcher une telle infraction.

3  Le juge fixe l’amende en particulier d’après la gravité de l’infraction, du manque d’organisation et du dommage causé, et d’après la capacité économique de l’entreprise.

4  Sont des entreprises au sens du présent article:
a. les personnes morales de droit privé;
b. les personnes morales de droit public, à l’exception des corporations territoriales;
c. les sociétés;
d. les entreprises en raison individuelle.
 

Art. 100quinquies

Procédure pénale

1 En cas de procédure pénale dirigée contre l’entreprise, cette dernière est représentée par une seule personne, qui doit être autorisée à représenter l’entreprise en matière civile sans aucune restriction. Si, au terme d’un délai raisonnable, l’entreprise ne nomme pas un tel représentant, l’autorité d’instruction ou le juge désigne celle qui, parmi les personnes ayant la capacité de représenter l’entreprise sur le plan civil, représente cette dernière dans la procédure pénale.

2 La personne qui représente l’entreprise dans la procédure pénale possède les droits et les obligations d’un prévenu. Les autres représentants visés à l’al. 1 n’ont pas l’obligation de déposer en justice.

3 Si une enquête pénale est ouverte pour les mêmes faits ou pour des faits connexes à l’encontre de la personne qui représente l’entreprise dans la procédure pénale, l’entreprise désigne un autre représentant. Si nécessaire, l’autorité d’instruction ou le juge désigne un autre représentant au sens de l’al. 1 ou, à défaut, un tiers qualifié."

SULLIVAN, Bob, "Corporate Killing -- Some Government Proposals", [2001] The Criminal Law Review 31-39; copy at Ottawa University, KD 7862 .C734  Location:  FTX Periodicals;

"Summary:  This article examines the Government's proposals for an offence of corporate killing.  It pays particular attention to suggestions that the offence of corporate killing be extended to non-incorporated organisations and that individuals associated with an offence of corporate killing should be exposed to penal sanctions.  These extensions of the ambit of the offence go beyond the Law Commission's recommendations and pose questions of principle and policy." (p. 31)

SULLIVAN, G.R., "The Attribution of Culpability to Limited Companies", (1996) Cambridge Law Journal 515-546; copy at Ottawa University, KD 322 .C329  Location: FTX Periodicals; note: "A review article of Celia Wells, Corporations and Criminal Responsibility (Clarendon Press, Oxford 1993)";

[Contents]

[Introduction]...514

The Doctrine of Identification...517

"Corporate" Corporate Guilt...524

(i)  Reactive fault...525
(ii) The theory of aggregation...527
(iii) The Law Commission's proposal for an offence of corporate killing...529
(iv) Are corporations real?...532

Attributing Culpability for Vicarious Liability tempered by Due Diligence...539

Conclusion...546

___________"Expressing Corporate Guilt", (1995) 15 Oxford Journal of Legal Studies 281-293; copy at Ottawa University, KD 418 .O93  Location: FTX Periodicals;
 

SURBER, Jere, "Individual and Corporate Responsibility: Two Alternative Approaches", (Summer 1983) 2(4) Business and Professional Ethics Journals 67-88; copy at Industry Canada, Competition Bureau, Resource Centre/Industrie Canada, Bureau de la concurrence, Centre de ressources, Place du Portage, 16e étage, 50, rue Victoria, Gatineau, P.Q., tel. 819-997-1634; title noted but article not consulted;
 

SUTER, Edouard, La responsabilité de la société anonyme à raison des actes illicites de ses représentants, [S.l.] : [s.n.], 1935 (Montreux : Impr. Nouvelle Ch. Corbaz), 253 p.; Thèse de droit, Université de droit Lausanne, 1934; titre noté dans mes recherches; aucune copie de cette thèse dans les bibliothèques canadiennes comprises dans le catalogue AMICUS de Bibliothèque et Archives Canada (vérification du 20 juin 2004);
 

SUTHERLAND, Edwin H. (Edwin Hardin), 1883-1950, "White-Collar Criminality", (1940) 5 American Sociological Review 1-12;  copy at Ottawa University, HM 403 .A57  Location: MRT Periodicals; with same title in: Gilbert Geis, ed., White-Collar Criminal: The Offender in Business and the Professions, New York: Atherton Press, 1968, [xv], 448 p., at pp. 40-51; copy at Ottawa University, MRT General, HV 6635 .G35 1968; with 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. 4-11 (series; Readings in crime and punishment), ISBN: 0195136217, 0195136211 and 0195136209; copy at Ottawa University, MRT General: HV 6768 .C75 2001;
 

___________White Collar Crime.  Foreword by Donald R. Cressey, New York/Chicago : Holt, Rinehart and Winston, [1961], xvi, 272 p.; 1949 copy at Ottawa University, MRT General: HV 6635 .S8 1961;
 

___________White Collar Crime: The Uncut Version / Edwin H.  Sutherland ; with an introduction by Gilbert Geis and Colin Goff,  New Haven : Yale University Press, c1983, xxxiii, 291 p., ISBN:  0300029217; copy at Ottawa University, MRT General: HV 6769 .S93 1983;

"CONTENTS

List of Tables...vii
Introduction: Gilbert Geis and Colin Goff...ix

PART I / INTRODUCTION...1

1. The Problem of White Colar Crime...3

PART II / RECORDS OF SEVENTY LARGE CORPORATIONS...11

2. The Statistical Record...13
3. Three Cases Histories...26
4. Is "White Collar Crime" Crime?...45
5. Restraint of Trade...63
6. Rebates...94
7. Patents, Trademarks, and Copyrights...99
8. Misrepresentation in Advertising...122
9. Unfair Labor Practices...135
10. Financial Manipulations...153
11. War Crimes...174
12. Miscellaneous Violations of Laws...192

PART III / PUBLIC UTILITY CORPORATIONS...199

13. Records of Fifteen Power and Light Corporations...201

PART IV / INTERPRETATION...225

14. White Collar Crime as Organized Crime...227
15. A Theory of White Collar Crime...240
16. Variations in the Crimes of Corporations...258

Notes...265
Index...281" (p. v)

SWIGERT, Victoria and Ronald A. Farrell, "Corporate Criminal Liability: The Role of the Appellate Courts",  in Victoria L. Swigert, ed., Law and the legal process, Beverly Hills, Calif. : Published in cooperation with the American Society of Criminology [by] Sage Publications, c1982, 160 p., at pp. 73-90 (series; Sage research progress series in criminology; v. 25), ISBN: 080391900X and 0803919018 (pbk.); copy at Ottawa University, MRT General: KF 9223 .A75 L38 1982;
 

___________ "Corporate homicide: Definitional Processes in the Creation of Deviance", (1980-81) 15 Law and Society Review 161-182; copy at Ottawa University, K 12 .A865  Location: FTX Periodicals;

"[Abstract] A conception of corporate behavior as criminal has entered the scientific and popular vocabulory.  This has been accompanied by an expansion of common law to include the activities of corporations.  The definitional change is exemplified by the indictment and trial of Ford Motor Company on charges of reckless homicide.  The present work focuses on the history of events surrounding the precedent action. Using information from media accounts, it explores the definitional processes by which the world's second largest automobile manufacturer was indicted as criminal.  Content analysis of these reports suggests that the expansion of legal parameters to include formerly exempt behavior was preceded by the development of a vocubulary of deviance, personalization of harm, and attributions of nonrepentance to the offender.  Public reevaluation of corporate actors and actions in terms of a vocabulory previously reserved for conventional criminality, the transformation of the definition from one of product defect and diffuse consumer cost to one of personal injury, and depiction of the corporation as refusing to recognize the harms associated with its acts, it is argued, opened the way to the application of criminal statutes." (p. 161)

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

"[TABLE OF CONTENTS]

[INTRODUCTION] ...938

I.  THE CRIMINAL LAW LANDSCAPE BEFORE AND AFTER
     THE SARBANES-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...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 Before the Sarbanes-Oxley Act...949
2. Obstruction After the Sarbanes-Oxley Act...949

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

II. AN EVALUATION OF SARBANES-OXLEY'S CRIMINAL
     PROVISIOMS...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...957
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)

TALWAR, Rahki and Andrew Dawson, "Corporate killing", (13 June 2003) 153 New Law Journal 908-909; number 7084; on the draft Bill of 2003 with concept of "management failure";
 

TAM, Victor C.K., "May on Corporate Responsibility and Punishment", (1990) 8 Business & Professional Ethics Journal 8; copy at Industry Canada, Competition Bureau, Resource Centre/Industrie Canada, Bureau de la concurrence, Centre de ressources; title noted in my research but article not consulted yet;
 

TAPPAN, Paul W., "Who is the criminal?, (1947) 12 American Sociological Review 96-102; copy at Ottawa University, HM 403 .A57, Location: MRT Periodicals; with the same title in Gilbert Geis, ed., White-Collar Criminal: The Offender in Business and the Professions, New York: Atherton Press, 1968, [xv], 448 p., at pp. 136-154; copy at Ottawa University, MRT General, HV 6635 .G35 1968;
 

TAYLOR, William W., "Forfeiture under 18 U.S.C. § 1963 -- RICO's Most Powerful Weapon", (1979-80) 17 American Criminal Law Review 379-398; copy at Ottawa University, KF 9202 .A425  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada, Ottawa;

"[Abstract]
The forfeiture provisions of RICO are unique in American criminal law.  Mr. Taylor argues that many attempted applications of these forfeiture provisions exceed the limitations imposed by both the Constitution and the language of the statute as evidenced by the relevant legislative history.  The author also discusses various practical aspects of litigation of RICO forfeiture cases." (p. 379)

TCHALIM, Tchictchao,  La détermination des responsables en droit pénal des sociétés, thèse de doctorat, sciences juridiques,Université Toulouse 1, Sciences sociales, 1992; directeur de thèse: Jean Deveze; titre noté dans mes recherches mais thèse non consultée; aucune copie de cette thèse dans les bibliothèques canadiennes comprises dans le catalogue AMICUS de Bibliothèque et Archives Canada (vérification du 26 juin 2004);

"Résumé

Le sujet traité soulève des problèmes nombreux et difficiles, mais intéressants.

L'un des plus apparents est la particularité du droit pénal des sociétés qui se traduit par l'application à des relations contractuelles privées des règles de droit pénal.

Pour s'adapter aux réalités spécifiques du droit des sociétés, le droit pénal des sociétés emploie des règles dérogatoires du droit pénal général.

En vue de la réalisation de son objet, la société, être moral, agit par l'intermédiaire de ses organes ou représentants ; beaucoup d'autres personnes à différents titres y participent.

La finalité du sujet est la recherche du type de répression mise en oeuvre pour une meilleure protection des participants les plus faibles à la vie sociale, et pour ce faire, les personnes responsables.

On constate au bout de l'analyse : que le droit pénal des sociétés concentre la répression autour des seuls dirigeants, allant jusqu'à ne leur reconnaître aucune possibilité d'exonération de responsabilité même lorsque l'infraction est commise par une personne à qui ils ont délégué leurs pouvoirs ou qui a agi de fait en leur lieu et place. Mais que cette impossibilité d'exonération n'est pas toujours insurmontable. Mieux qu'il ressort des textes ou de la jurisprudence que la plupart des autres participants à la vie de la société sont pénalement responsables; la société elle-même, en tant qu'être moral n'est pas épargnée dans certains cas particuliers.  Enfin, il apparaît que ce phénomène de concentration de la responsabilité, en dépit des limites sus-énoncées et surtout du prochain principe de la responsabilité pénale de la société personne morale en cours d'adoption au parlement, subsistera.  Il est plus que vraisemblable, en l'état actuel de l'organisation et du fonctionnement de la société, que cette nouvelle responsabilité, loin de remplacer celle des dirigeants, la complétera en la renforçant tant mieux pour la protection des plus faibles." (source:  http://www.univ-tlse1.fr/recherche/theses/Theses92/tchalimtc.html, visionné le 26 juin 2004)

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

[Other summary  -- Catalogue Abès]

"The subject discussed in this text is the research,among the people in a corporation, of those responsible for a crime when there is one using laws derived from penal law, corporate penal law designates the executives or their representatives as completely responsible.  However this situation is limited by the existence of concurrent or parallel responsabilities, among which, that of the corporation it self, as an ethical being, which principle is in the process of adoption and which complements that of the executives"  (catalogue Abès)

THOMPSON, Dennis F., "Criminal Responsibility in Government",  in J. Roland Pennock and John W. Chapman, eds., Criminal Justice, New York : New York University Press, 1985, xiii, 372 p., at pp. 201-240 (series; NOMOS; XXVII), ISBN: 0814765882; copy at Ottawa University, MRT General K5018 .A3 1985;

[CONTENTS]

[INTRODUCTION]...201

THE PROBLEM OF MORAL RESPONSIBILITY...202

- Personal responsibility in Organizations...203
- Organizational Responsibility...210

THE PROBLEM OF POLITICAL RESPONSIBILITY...214

- Personal Responsibility in Government...219
- Organizational Responsibility in Government...223

THE LIMITS OF CRIMINAL RESPONSIBILITY...226

NOTES...231

THOMPSON, P., "Why Do We Need a Theory of Corporate Responsibility" in H. Curtler, ed., Shame, Responsibility and the Corporation, New York: Haven Pub., 1986, 195 p., at pp. 113-135, ISBN: 093058631X; title noted in my research but article not consulted; no copy of this book in the Ottawa area libraries covered by the AMICUS catalogue of the Library and Archives Canada (verification of 4 July 2004);

THORNTON, John, "Criminal Liability of Organizations",  International Conference paper, International Society for the Reform of the Criminal Law, Dublin, 2008; deals with Australian Commonwealth law;

TIEDEMANN Klaus, 1938-, "Commentaire sur le sujet du colloque", (1983) 54(1-2) Revue internationale de droit pénal / International Review of Penal Law 33-40 (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;

[Questions sur les] Principes directeurs du droit pénal des affaires [...]

13.  Les personnes morales et les autres groupements sont-ils responsables sous l'angle du droit pénal ou pareillement, p.e. selon le droit pénal administratif?  En cas de réponse affirmative: Quelles sont les personnes capables d'engendrer la responsabilité collective du groupement?  Y a-t-il des tendances de réforme ou des doutes envers la solution traditionnelle de cette question dans votre pays?" (pp. 37-39)

___________"La criminalité socio-économique aspects internationaux et de droit comparé", (1974) Revue de science criminelle et de droit pénal comparé 749-763; copie à la Cour suprême du Canada;
 

___________"Rapport introductif", (avril -juin1997) Revue de science criminelle et de droit pénal comparé 259-274; 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]...259

I. -- LA RESPONSABILITÉ PERSONNELLE...260

II. -- LA RESPONSABILITÉ PÉNALE DITE DU FAIT D'AUTRUI
        (Responsabilité du chef d'entreprise et du "décideur")...265

III. -- LA RESPONSABILITÉ DES GROUPEMENTS...268

IV. -- ÉLÉMENT MORAL...272

CONCLUSION...274

TIEDEMANN, K. and J. Vogel, "The implementation of the Corpus Juris 1997 in the Member States: National Report -- Germany /  La mise en oeuvre du Corpus Juris 1997 dans les États Membres: Rapport national -- Allemagne", 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. 349-416, 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.htmlpour les rensignements en français, et en anglais  http://www2.law.uu.nl/wiarda/corpus/engelsdx.html;
 

TIERNEY, Brian, 1922-, Foundations of the Conciliar Theory: the contribution of the medieval canonists from Gratian to the Great Schism, Leiden: E.J. Brill, 1998,  xxxii, 255 p. (series; Studies in the history of Christian thought; v. 81), ISBN: 9004109242; copy at Bibliothèque USP Library - Collection générale -General collection BQT 31 A1S88H5 1966- 81; note: Originally published: Cambridge, England : University Press, 1955, xi, 280 p.; copy of that edition also at St-Paul University, BQT 369 T54F68 1955.  Carleton University, has a copy of the 1998 edition, BX822.T54 1998; of the 1968 edition, BX821.T5 1968; and the 1955 edition, BX821.T5;

"[PARTIAL] CONTENTS

PART II ASPECTS OF THIRTEENTH-CENTURY ECCLESIOLOGY

I  Changing Views on Church Government...87

(i) Papal Monarchy...87
(ii) Decretalist Corporation Concepts...96

II.  The Structure of a Medieval Ecclesiastical Corporation...106

(i) Head and Members...108
(ii) The Prelate as Proctor...117
(iii) Episcopal Vacancies...127

III The Whole Church as a Corporation...132

(i) Corpus Mysticum...132
(ii) Plenitudo Potestatis...141
(iii) Hostiensis and the Roman Church...149" (partial contents of the 1955 edition)

TIGAR, Michael E., "It Does the Crime But Not the Time: Corporate Criminal Liability in Federal Law", (1989-90) 17 American Journal of Criminal Law 211-234;

"Table of Contents

I. Principles of Corporate Criminality...211

A. Introduction...211
B. The Theoretical Basis of Corporate Criminal Liability...212
C. Regulatory Offenses...213
D. The Corporation and Serious Crimes...215
E. Federal Law on Corporate Liability...218
F. Model Penal Code and State Laws...226

II. Defenses to Corporate Criminal Liability...227

A. No Intent to Benefit Corporation...227
B. Lack of Authority...229
C. Actions Contrary to Corporate Policy...231

III.  Other Associational Liability Issues...232

IV. Conclusion...233" (p. 211)

TILBURY, Roger Graydon, Corporate criminal responsibility, LL.M. thesis, Columbia University, 1950, 80 leaves; title noted in my research but thesis not consulted; according to my verification of the AMICUS catalogue of the Library and Archives Canada, Ottawa, there is no copy of this thesis in the libraries covered by that catalogue (1 May 2004);
 

TODARELLO, Vincent, "Corporations Don't Kill People -- People Do: Exploring the Goals of the United Kingdom's Corporate Homicide Bill", (2002-2003) 46 New York Law School Law Review 851-865 available at  http://www.nyls.edu/docs/v46n3-4p851-865.pdf (accessed on 15 May 2004); also with the same title in (2003) 19 New York Law School Journal of Human Rights 481-495;
 

TOENSING, Victoria, "Statutory and Policy Arguments in Favor of Judicial Discretion in Corporate Sentencing", (1990) 3 Federal Sentencing Reporter 145;  title noted in my research but article not consulted; no copy of this periodical in the Ottawa area libraries covered by Library and Archives Canada catalogue AMICUS (1 June 2004);
 

TOMASIC, Roman, "Corporate Crime" in Duncan Chappell and Paul Wilson, eds., The Australian Criminal Justice System.  The Mid 1990s, Sydney: Butterwoths, 1994, x, 328 p., at pp. 253-269, ISBN: 0409305839; copy at the Library of the Supreme Court of Canada, KF 9220 ZD2 A97 1994;

[Contents]

[Introduction]...253

The Problem of Definition...254

Corporate Crime and the Aims of Corporate Criminal Law...260

Corporate Sanctions and Law Enforcement...262

Some Illustrations of Corporate Criminality...265
Abuse of the Corporate Form...265
Abuse of Directors' Duties...267
Insider Trading and Securities Market Abuses...268

Conclusions...268

___________ Corporate Crime and Corporations Law Enforcement Strategies in Australia, Belconnen, ACT, Australia : Centre for National Corporate Law Research, University of Canberra, 1993, 56 p. (Discussion Paper 1/93, Centre for National Corporate Law Research,University of Canberra, Canberra, 1993); title noted in my research but article not consulted; no copy of this book in the Canadian libraries comprised in the AMICUS catalogue of Library and Archives Canada (verification of 4 July 2004);
 

___________"Corporate Crime: Making the Law More Credible", (1990) 8 Company and Secuties Law Journal 369-382; tile noted in my research but article not consulted; no copy of this periodical in the Ottawa area libraries of the Ottawa region included in the AMICUS catalogue of Library and Archives Canada (verification of 14 August 2004);
 

___________ "Sanctioning Corporate Crime and Misconduct: Beyond Draconian and Decriminalization Solutions" (1992) 2 Australian Journal of Corporate Law 82; title noted in my research but document not consulted; no copy of this periodical in the Ottawa area libraries covered by the AMICUS catalogue of Library and Archives Canada (verification of 4 July 2004);
 

TOMBS, Steve, "Law, Resistance and Reform: 'Regulating' Safety Crimes in the UK", (1995) 4  Social and Legal Studies 343-365; copy at Ottawa University, K 202 .S63  Location: FTX Periodicals;

CONTENTS

[INTRODUCTION]...343

REGULATION CORPORATE CRIMES...343

SAFETY AT WORK: THE INADEQUACIES OF 'SELF-REGULATION'...347

- From Robens to the Health and Safety at Work Act 1974...347
- From Self-Regulation to Deregulation?...348

THE CRIMINALIZATION OF CORPORATE OFFENDERS?...350

- Disasters, Struggle and the Re(emergence) of "Corporate Manslaughter"...350
- A Trend Towards Criminalization...352
- Hitting Corporate Offenders where it Hurts Most?...353

REGULATING SAFETY CRIMES: THE INCREASING INFLUENCE OF THE EUROPEAN UNION...357

- The EU as a Source of Social Regulation...357

CONCLUSION: LAW, RESISTANCE AND REFORM...361

NOTES...362

REFERENCES...362

TOMPKINS, Dorothy Louise Campbell Culver, compiled by, White collar crime; a bibliography, Berkeley : Institute of Governmental Studies, University of California, 1967, vii, 85 p.; copy at Carleton University, HV6768 BIBL .T65;
 

TOUFFAIT,  Adolphe, avec le concours de Jean Robin, André Audureau et Jacques Lacoste, Délits et sanctions dans les sociétés, 2e édition, Paris : Sirey, 1973, xli, 1126 p.; note: "Revision of the work by M. Rousselet and M. Patin published in 1938 under title: Délits et sanctions dans les sociétés par actions"; copie à la Bibliothèque de la Cour suprême du Canada, KJV 3169 T68 1973;
 

TRAEST, Phillipe, "La loi du 4 mai 1999 instaurant la responsabilité pénale des personnes morales", Bulletin d'information de l'Institut des reviseurs d'entreprises, numéro 2, 2000;  note: Philippe Traest: Chargé de cours à l'Université de Gand, Avocat De Bandt, Van Hecke, Lagae & Loesch Linklater & Alliance; disponible à  http://www.ibr-ire.be/fra/periodiekeberichten/berichten000205.aspx (visionné le 7 janvier 2004); droit belge;
 

TRIPODI, Stefania, JAUSAS, NADAL & VIDAL DE LLOBATERA, "Background Information on National Legal Systems: Italy", in HUGLO LEPAGE, Associés conseils, ed., Criminal Penalties in EU Member States’ environmental law, Final Report, 15 September 2003, 988 p., at pp. 71-76, 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);

[Italy]
" “Criminal liability is personal” (Article 27 Italian Constitution). This is a fundamental principle in the Italian legal system.

 It is not possibile, therefore, to ascribe to a company a criminal liability, because our legal system applies the principle that “societas delinquere non potest”, so that the sanction inflicted as consequence of a crime must be served by a physical person. In the case that a company is liable for a crime, the sanction is served by the person, who, in the company, holds a directional, control or administrative office, that is usually the “Board of Directors”.  The latest jurisprudential trends (Corte di Cassazione) allow that the Board of Directors delegates some powers from which criminal liability could arise to a third person; this  possibility is granted only if following conditions are met:

- in the case of a big enterprise, that is dowered of a properly organized structure;
- the delegate must have independent economic and decisional powers, otherwise, the delegation would be void and the liability would be supported by the delegator.

D.Lgs. 231/01 has introduced the possibility to ascribe administrative liability deriving from the commission of crimes to companies. For the existence of administrative liability of the company, the commission of the crime must have been carried out by the top management personel (or their subordinates) in the interest of the company." (p. 71)

___________"Background Information in National Legal Systems: Spain", in HUGLO LEPAGE, Associés conseils, ed., Criminal Penalties in EU Member States’ environmental law, Final Report, 15 September 2003, 988 p., at pp. 119-122, 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);

[Spain]

"In Spanish Penal Law the accountable for an offence can only be an individual who acts with malice or fault. In some cases the subjective element is not required, and objective responsibility is contemplated instead. Objective responsibility originates in the mere occurrence of a fact in concurrence with other elements, e.g. belonging to a certain category of workers.

Corporations or legal persons cannot be prosecuted because of their legal form. Penal sanctions cannot be imposed to anything but to individuals. For this reason the administrator of a corporation or the representative of a legal person is to be personally responsible for crimes. Charges will always be filed upon him."  (p. 119)
 

TROTTER,  Stephanie, "Corporate manslaughter -- After Southall and the Attorney-General's reference, how could the law be changed? asks Stephanie Trotter", (31 March 2000) 150 New Law Journal 454-455; issue 6929;
 

TRUCHE, Pierre, "Allocution d'ouverture", (1993) Revue des sociétés 231-232; 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;
 

TSITSOURA, Aglia, "Les travaux du Conseil de l'Europe", (1983) 54(1-2) Revue internationale de droit pénal / International Review of Penal Law 811-824;

"Responsabilité pénale des personnes morales

    Les législations du Common Law ont depuis longtemps reconnu cette responsabilité.  Il n'en est pas de même des législations européennes basées sur le droit romain, et le principe inébranlable 'societas delinquere non potest'.

    Pourtant, de plus en plus de brèches à l'application rigoureuse de ce principe sont constatées dans les législations nationales.  La nécessité d'assurer une répression efficace des activités criminelles des entreprises mène plusieurs pays à la recherche d'une solution qui attribue aux personnes morales une responsabilité pénale.

    La résolution (77) 28 du Conseil de l'Europe relative à la contribution du droit pénal à la protection de l'environnement (point 3), la Recommandation R (81) sur la criminalité des affaires (point III, 2) ainsi que le projet de recommandations sur le rôle du droit pénal dans la protection de l'environnement, recommandent aux gouvernements d'étudier la possibilité d'introduire cette responsabilité dans leurs législations respectives.

    Compte tenu de leur importance et de leur actualité les problèmes relatifs à la responsabilité pénale des personnes morales feront l'objet d'étude au sein d'un Comité restreint du CDPC, dont les travaux commenceront fin 1982." (pp. 817-818)

TUOHEY, Mark H., "Corporate Criminal Liability in the United States: Has Reform in the Law Brought Reform in the Boardroom?", available at http://www.isrcl.org/Papers/tuohey.pdf  (site of the International Society for the Reform of the Criminal Law, accessed on 1 June 2004) and on the background of the paper, see http://www.isrcl.org/Conference_Papers.htm (accessed on 1 June 2004);
 

TUOHEY, Mark H., William E. Lawler and Craig D. Margolis, "Corporate criminal liability in the US", (December 1996-January 1997) International Commercial Litigation 75;
 

TULLY, Stephen, "Delimiting Corporate and State Responsibility for Human Rights in a Globalised World", (June 2001) Human Rights Law Review 32-37; note: Student Supplement 2000-2001; published by The University of Nottingham Human Rights Centre; copy at the Supreme Court of Canada;
 

UEHLEIN, Nora A., Annotation, "Corporation's Criminal Liability for Homicide", (1986) 45 A.L.R. 4th 1021-1036 and the supplement issued August 2003, at pp. 115-116; note: supersedes 83 A.L.R. 2d 1117;
 

UFFELMAN, John, Comments, "Corporate Criminal Liability in Oregon: State v. Pacific Powder and the New Oregon Criminal Code", (1971-72) 51 Oregon Law Review 587-595; copy at Ottawa University, KFO 2469 .O72 Location: FTX Periodicals;

[Contents]

[INTRODUCTION]...587

THE HOLDING, THE CONTEXT TEST, AND THE NEW CODE...589

THE NEW TEST...591

OTHER CHANGES...593

CONCLUSION...595

ULEN, Thomas S., "The economics of corporate criminal liability", (July 1996) 17(4) Managerial and Decision Economics 351-362; copy at Ottawa University, HD 28 .M13  Location: MRT Periodicals;
 

ULLMANN, W., "The Delictual responsibility of medieval corporations", (1948) 64 The Law Quarterly Review 76-96;

"Few subjects have engaged the interest of jurists and commanded the attention of practical lawyers to a higher degree than the criminal liability of corporations.  Broadly speaking, interest and attention were less focussed on the essence, structure and theory of a corporation than on the practical question of whether sanctions against a corporation were permissible. ...If we can take Azo and Bracton as typical representatives of thirteenth-century legal thought, we may well agree that the problematical nature of a corporate criminal liability was at that time not even perceived, quite apart from the larger question of the nature of a corporation. This lack of any constructive thought on the part of these two great jurists is not indeed surprising, as Roman Law itself cannot be considered to have been as clear a guide on this topic as in some other respects.  The Roman lawyers, it appears, were vague and elusive.  Speaking of Ulpian's dictum in D. 4. 2. 9. 1., a modern authorithy [Professor P. W. Duff] claims that he 'is certainly not making a considered statement on corporate delictual responsibility'. (p. 76; footnotes omitted)

UNITED NATIONS, Commission on Human Rights, "Commentary on the Norms on the Responsibilities of Transnational Corporations and Other Business Entities with Regard to Human Rights", U.N. Doc. E/CN.4/Sub.2/2003/38/Rev.2 (2003); available at  http://www1.umn.edu/humanrts/links/commentary-Aug2003.html (accessed on 12 January 2005);
 

___________Commission on Human Rights, "Norms on the Responsibilities of Transnational Corporations and Other Business Enterprises with Regard to Human Rights", U.N. Doc. E/CN.4/Sub.2/2003/12/Rev.2 (2003); Approved August 13, 2003, by U.N. Sub-Commission on the Promotion and Protection of Human Rights resolution 2003/16, U.N. Doc.E/CN.4/Sub.2/2003/L.11 at 52 (2003); available at  http://www1.umn.edu/humanrts/links/norms-Aug2003.html (accessed on 27 July 2004); see WHAT'S NEW on this topic at  http://www.uscib.org/index.asp?DocumentID=2936 (accessed on 12 January 2005);
 

___________Economic and Social Council, "Implementation of the United Nations Declaration against Corruption and Bribery in International Commercial Transactions Report of the Secretary-General", 15 February 2002, 14 p., see "Corporate Criminal Liability", at pp. 6-8 (paragraphs 33-42); notes: Commission on Crime Prevention and Criminal Justice, Eleventh session, Vienna, 16-25 April 2002, Item 4 of the provisional agenda, United Nations standards and norms in crime prevention and criminal justice; E/CN/15/2002/6; available at  http://www.unodc.org/pdf/crime/commissions/11comm/6e.pdf (accessed on 24 June 2004); also translated in French /aussi traduit en français: Nations Unies, Conseil économique et social, "Application de la Déclaration des Nations Unies sur la
corruption et les actes de corruption dans les transactions commerciales internationales -- Rapport du Secrétaire général", 15 février 2002, note: Commission pour la prévention du crime et la justice pénale Onzième session Vienne, 16-25 avril 2002 Point 4 de l’ordre du jour provisoire? Règles et normes des Nations Unies dans le domaine de la prévention du crime et de la justice pénale; disponible à  http://www.unodc.org/pdf/crime/commissions/11comm/6f.pdf (visionné le 24 juin 2004);
 

___________United Nations Convention Against Transnational Crime Organized Crime, United Nations 2000; also available in French/aussi disponible en français: Convention des Nations Unies contre la criminalité transnationale organisée, Nations Unies, 2000;
 

"Article 10
Liability of legal persons

1. Each State Party shall adopt such measures as may be necessary, consistent with its legal principles, to establish the liability of legal persons for participation in serious crimes involving an organized criminal group and for the offences established in accordance with articles 5, 6, 8 and 23 of this Convention.

2. Subject to the legal principles of the State Party, the liability of legal persons may be criminal, civil or administrative.

3. Such liability shall be without prejudice to the criminal liability of the natural persons who have committed the offences.

4. Each State Party shall, in particular, ensure that legal persons held liable in accordance with this article are subject to effective, proportionate and dissuasive criminal or non-criminal sanctions, including monetary sanctions." (available at  http://www.uncjin.org/Documents/Conventions/dcatoc/final_documents_2/convention_eng.pdf, accessed on 13 July 2004)

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

"Article 10
Responsabilité des personnes morales

1. Chaque État Partie adopte les mesures nécessaires, conformément à ses principes juridiques, pour établir la responsabilité des personnes morales qui participent à des infractions graves impliquant un groupe criminel organisé et qui commettent les infractions établies conformément aux articles 5, 6, 8 et 23 de la présente Convention.

2. Sous réserve des principes juridiques de l’État Partie, la responsabilité des personnes morales peut être pénale, civile ou administrative.

3. Cette responsabilité est sans préjudice de la responsabilité pénale des personnes physiques qui ont commis les infractions.

4. Chaque État Partie veille, en particulier, à ce que les personnes morales tenues responsables conformément au présent article fassent l’objet desanctions efficaces, proportionnées et dissuasives de nature pénale ou non pénale, y compris de sanctions pécuniaires." (disponible à  http://www.uncjin.org/Documents/Conventions/dcatoc/final_documents_2/convention_french.pdf, visionné le 13 juillet 2004)

UNITED STATES OF AMERICA, Congress, House, Committee on the Judiciary, Subcommittee on Crime, Corporate criminal liability : hearings before the  Subcommittee on Crime of the Committee on the Judiciary, House of Representatives, Ninety-sixth Congress, first  and second session, on H.R. 4973 ... November 15, December 13, 1979, February 4, March 14, 24, and April 22, 1980, Washington : U.S. G.P.O., 1981, v, 906 p.; note; "Serial no. 71"; Item 1020-A, 1020-B (microfiche),  Bibliography: p. 901-906; US Gov't Document Class. System:  Y 4.J 89.1:96/71; hard copy at Carleton University, Flr 2 Documents DDV, US1 AK6 81.C51 .ENG;
 

___________Congress, House, Committee on the Judiciary, Subcommittee on Criminal Justice, Oversight on the U.S. Sentencing Commission and Guidelines for Organizational Sanctions: Hearings before the Subcommittee on Criminal Justice of the Committee on the Judiciary, House of Representatives, One Hundred First Congress, second session, March 7 and May 24, 1990s, Washington : U.S. G.P.O, 1990,  iii, 481 p.; notes: "Serial no. 112"; 1020-A, 1020-B (MF); Hearings, 101st. Cong., 2d sess., 7 March and 24 May 1990; no copy in the Ottawa area libaries covered by the AMICUS catalogue of Library and Archives Canada (verification of 19 January 2005);
 

___________Department of Justice, The Deputy Attorney General, "Memorandum - Bringing Criminal Charges against Corporations" with attached document "Federal Prosecution of Corporations", 16 June 1999,  known as the "Holder Memo", available at  http://www.usdoj.gov/criminal/fraud/policy/Chargingcorps.html#Federal Prosecution of (accessed on 10 July 2004);
 

___________Department of Justice, Larry D. Thompson,  Deputy Attorney General, "Memorandum -- Principles of Federal Prosecution of Business Organizations", 20 January 2003, available at  http://www.usdoj.gov/dag/cftf/corporate_guidelines.htm (accessed on 10 July 2004);
 

___________National Commission on Reform of Federal Criminal Laws, Final Report of the National Commission on Reform of Federal Criminal Laws, Washington (D.C.): U.S. Government Printing Office, xxv, 364 p., see § 402. Corporate Criminal Liability, § 403. Individual Accountability for Conduct on Behalf of Organizations and  § 409. General Provisions for Chapter 4, available at  http://wings.buffalo.edu/law/bclc/codein.htm(accessed on 11 April 2004);
 

___________United States Sentencing Commission, "Amendments to the Organizational Sentencing Guidelines, May 10, 2004", (2004) 39(3) Wake Forest Law Review 707-*; copy at Ottawa University, KFN 7469 .W35  Location: FTX Periodicals;
 

___________United States Sentencing Comission, "Discussion Draft of Sentencing Guidelines and Policy Statements for Organizations", (1988-89) 10 Whittier Law Review 7-75;

"TABLE OF CONTENTS

CHAPTER EIGHT: Sentencing of Organizations...7

Part A -- General Principles...8

1. The Basic Approach to Sentencing Organizations...8
2. Principles for Determining and Organization's Sentence... 9
3. The Scope and Structure of Chapter Eight...16

Part B -- Offense Conduct...17

1. General Rules for Evaluating Offense Conduct 17
2. Offense Loss...20
3. Offense Multiple...41
4. Enforcement Costs...47

       Part C -- Monetary Sanctions...48

1. The Total Monetary Sanction and Special Assessments...49
2. Restitution...50
3. Forfeitures...52
4. Fines...53
5. Departures and Adjustments to Fines...57

Part D --Notice to Victims and Probation...63

1. Notice to Victims...63
2. Probation...64" (p. 7)

___________United States Sentencing Commission, Discussion materials on organizational sanctions, [Washington, D.C. : The Commission, 1988], 1 v. (various pagings);  note: Cover title: "July 1988"; title noted in my research but document not consulted; only location in Canada, Dalhousie University, Sir James Dunn Law Library, KB 92.S47 U587 (verification of the AMICUS catalogue of Library and Archives Canada, 20 January 2005);

"Contents: Discussion draft of sentencing guidelines and policy statements for organization -- Draft proposal on standards for organizational probation / John C. Coffree, Jr., Richard Gruner and Christopher Stone -- Report on sentencing of organizations in the federal courts, 1984-1987 / Mark A. Cohen [et al.] -- Staff working paper on criminal sentencing policy for organizations / Jeffrey S. Parker -- American Bar Association standards for criminal justice, standard 18-2.8, organizational sanctions" (source: Catalog Biddle Law Library, University of Pennsylvania)

___________United States Sentencing Commission, Supplementary Report on Sentencing Guidelines For Organizations, Washington (D.C.): The Commission, [August 1991]; notes:"Supplements and further explains the sentencing guidelines for organizational defendents (proposed Chapter Eight of  the Guidelines Manual) submitted to Congress on May 1, 1991"--Introd. "August 30, 1991." (source: Hollis Catalogue, Harvard University); title noted in my research but not consulted; my verification of the AMICUS catalogue of Librarary and Archives Canada indicates no location in Canada (20 January 2005);
 

___________United States Sentencing Commission, 2003 Federal Sentencing Guideline Manual, see Chapter 8, "Sentencing of Organizations", available at  http://www.ussc.gov/2003guid/TABCON03.htm (accessed on 16 December 2003);
 

__________United States Sentencing Commission, Organizational Sentencing Guidelines Bibliography, March 2003; 17 p., available at  http://www.ussc.gov/corp/Biblio2003.pdf (accessed on 16 December 2003); important contribution to research;
 

___________United States Sentencing Commission, Website at  http://www.ussc.gov/ (accessed on 16 December 2003);
 

UNIVERSITY OF MELBOURNE, "Archive of Corporate Law Bulletins", available at  http://cclsr.law.unimelb.edu.au/Bulletins/ (accessed on 19 July 2004);
 

UNIVERSITY OF MINNESOTA, Human Rights Library, "OTHER MULTILATERAL INSTRUMENTS AND GUIDELINES FOR CORPORATE BEHAVIOR -- [LINKS]", available at  http://www1.umn.edu/humanrts/links/omig.html (accessed on 14 July 2004);
 

URBAIN-PARLÉANI, "Les limites chroniques à la mise en jeu de la responsabilité pénale des personnes morales", (1993) Revue des sociétés 239-246; 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;
 

UROFSKY, Philip, "Prosecuting Corporations: The Federal Principles and Corporate Compliance Programs", (March 2002) 50(2) The United States' Attorney Bulletin 19 -25; available at  http://www.usdoj.gov/usao/eousa/foia_reading_room/usab5002.pdf (accessed on 17 May 2004);
 

VALEUR, Robert,  La responsabilité pénale des personnes morales dans les droits français et anglo-américains, avec les principaux arrêts faisant jurisprudence en la matière/ par Robert Valeur; préface de Harold Cooke Gutteridgee, Paris: M. Giard, 1931, xxiv, 256 p. (Collection; Bibliothèque de l'Institut de droit comparé de Lyon. Série de criminologie et de droit pénal comparé, tome 3); titre noté dans mes recherches mais livre non consulté; copie disponible à York University, Law Library, K 5015.4 V35 1931;
 

VAN DEN BRANDEN DE REETH, A. (Baron Alain), "La responsabilité pénale des personnes morales", (1953-54) Revue de droit pénal et de criminologie 623-642; titre noté dans mes recherches mais article non consulté; aucune copie de ce numéro de périodique dans les bibliothèques de la région d'Ottawa; aussi publié séparemment: Adrien van den, La responsabilité pénale des personnes morales : Aperçus actuels et perspectives, Nivelles (Belgique) : Impr. pénitentiaire, 1954, 20 p.; note: extrait de la Revue de droit pénal et de criminologie, avril 1954;
 

VAN DEN WYNGAERT, Christine, editor, and Guy Stessens and Liesbeth Janssens, assistant editors,  International Criminal Law: A Collection of International and European Instruments, 3rd ed., Leiden/Boston: Martinus Nijhoff, 2005, xviii, 1542 p., see the index, at p. 1535, under "Legal persons" where the authors refer to 36 instruments, ISBN: 900414232 and 9004142940 (pbk.); copy at the Library of the Supreme Court of Canada, K5301 A35 I58 2005;
 

VANDE MEULEBROECKE, O., "XVèmes Journées belgo-france-luxembourgeoises de science pénale", (1976-77) 57 Revue de droit pénal et de criminologie 497-508; compte rendu des travaux des journées du 14 et 15 mai 1976, Bruxelles, sur le thème "Sanctions pénales et personnes morales"; copie à l'Université d'Ottawa, K 21 .D725  Location: FTX Periodicals;
 

VANDERLINDEN, Ch., "La loi instaurant la responsabilité pénale des personnes morales et le droit pénal social", (2000) 80 Revue de droit pénal et de criminologie  660-688; droit belge; copie à l'Université d'Ottawa, K 21 .D725  Location: FTX Periodicals;

[Table of Contents]

I. Introduction...660

II. Principles...660

II.1 Champ d'application rationae personae...660
II.2 Champ d'application rationae materiae...662
III.3 Imputabilité...662

a. Imputabilité matérielle...662
b. Imputabilité morale...663

II.4  Cumul de la responsabilité pénale des personnes
       morale et physique...664

III. Les sanctions...672

III.1 Les sanctions prévues par la loi du 4 mai 1999...672

A. L'amende...672
B. La confiscation spéciale...673
C. La dissolution...673
D. L'interdiction temporaire ou définitive d'wexercer une
     activité relevant de l'objet social...674
E. La fermeture, temporaire ou définitive d'un ou plusieurs
     établissements...675
F. La publication ou la diffusion de la décision...675

III.2 Sursis, suspension et probation...676
III.3 Exécution des peines...676
III.4 Sanctions pénales nouvelles et mécanismes existants...677

IV.  Les règles de procédure...679

IV.1 Compétence territoriale...679
IV.2 Citations et notifications...679
IV.3 Les mesures provisoires...682
IV.4 Extinction des poursuites...683
IV.5 Le casier judiciaire des persones morales...684?

IV. Constation des infractions...684

V. Application de la loi pénale dans le temps...684

VI. Conclusion...686

VANHOULE, Jan, "[Environmental Criminal Law --] Belgium", in Michael G. Faure and Günther Heine, coordinated by, Final Report: Criminal Penalties in EU Member States' Environmental Law, Maastricht (The Netherlands): Maastricht European Institute for Transnational Legal Research Faculty of Law, Maastricht University and  Berne, Switzerland: Institute for Criminal Law and Criminology,  Faculty of Law, University of Berne, October 2002, 352 p., at pp. 136-156; important contribution to the subject; available at http://europa.eu.int/comm/environment/crime/criminal_penalties1.pdf (accessed on 18 June 2004);

[Belgium]
Additional penalties with respect to legal entities

As a result of the introduction of the criminal liability of legal entities in Book I of the Penal Code, a distinction should be made between the penalties that can be imposed to natural persons and those that can be imposed to legal entities. The point of departure should be that legal entities and natural persons have to be assimilated as much as possible, but because penalties of deprivation of freedom can not possibly - because of their nature - be imposed to legal entities on the one hand, and because on the other hand, the legislator concentrates the chastisement of crimes on the natural person, a new set of penalties for legal entities had to be developed. The main penalty that should always be imposed to the legal entity is a fine. To this end the criminal legislator has developed in art. 31bis of the Penal Code a conversion mechanism to convert penalties of deprivation of freedom into a fine. Furthermore the legislator has provided a series of additional penalties that can be imposed dependent on the case in criminal, correctional and police matters (the special confiscation) or only in criminal and correctional matters: (winding-up (art. 35), prohibition to carry on activities forming part of the corporate object (art. 36),
closing of one or more establishments (art. 37) and publication or circulation of the decision (art. 37bis).

It is of great importance that the prohibition to carry on activities forming part of the corporate object of legal entities, temporary or definitive closing of one or more establishments of the legal entity and publication or circulation of the decision at the costs of the convict can be imposed only as additional penalty to the legal entity in the cases provided by the Law. For what regards the winding-up and special confiscation, no additional legal basis is required. For environmental law, that is mainly a regional matter, this means concretely that the regional decree-maker should determine each time explicitly in which cases these three additional penalties are possible. This does not apply to the provisions in the matter of the winding-up and special confiscation that are in principle applicable automatically. ( Jan Vanhoule, pp. 145-146, notes omises; see also 148-156; important contribution to the subject).
 

VAN REMOORTERE, Francis, "La question de la responsabilité pénale des personnes morales en droit de l'environnement", (1991) 71(4) Revue de droit pénal et de criminologie 311-371; copie à l'Université d'Ottawa, K 21 .D725  Location: FTX Periodicals;

"SOMMAIRE                        N^os

CHAPITRE I. INTRODUCTION
A. Intérêt de la problématique de la responsabilité pénale des personnes morales
     pour le droit de l'environnement ...1-2
B. Un ancien débat doctrinal...3-5
C. La situation à l'étranger...6

CHAPITRE II.  LA DIFFICULTÉ DE TROUVER UNE
                         PERSONNE PHYSIQUE RESPONSABLE,
                         CAUSE D'IMPUNITÉ
A. Comment trouver la personne physique responsable
      au sein d'une personne morale?...7-11
B. Les problèmes d'imputabilité propres aux autorités publiques...12-15

CHAPITRE III. LES OBJECTIONS ÉLEVÉES CONTRE
                         L'INTRODUCTION DE LA RESPONSABILITÉ
                         PÉNALE DES PERSONNES MORALES...16-18

CHAPITRE IV.  LES SOLUTIONS ALTERNATIVES
A. Position du problème...19
B. Les amendes administratives...20-23
C. La responsabilité civile des amendes...24-31
D. Le cautionnement légal...32-33
E. Mesures limitant l'activité...34-41bis
F. La publicité de la peine infligée à l'organe...42
G. La confiscation d'un objet dont la personne morale est propriétaire...43-48
H. La confiscation du profit...49
I. La confiscation d'un objet dont la personne morale est civilement responsable...50
J. L'imputabilité conventionnelle...51-52
K. Conclusion...53

CHAPITRE V. L'EMPLOI DES SOLUTIONS ALTERNATIVES PAR LES RÉGIONS
A. Importance de cet aspect...54
B. Analyse...55-62
C. Synthèse...63

CHAPITRE VI. QUI EST COMPÉTENT POUR INTRODUIRE LE
                          PRINCIPE DE LA RESPONSABILITÉ PÉNALE DES
                          PERSONNES MORALES?...64-67

CHAPITRE VII.  LES MODALITÉS D'APPLICATION DE LA RESPONSABILITÉ
                            PÉNALE DES PERSONNES MORALES
A. Objet de ce chapitre...68
B. Modalités d'imputabilité...69-79
C. Transformation et fin de la personne morale...80-83
D. Peines destinées aux personnes morales...84-86
E. procédure pénale...87

CHAPITRE VIII.  LES SOLUTIONS ENVISAGÉES DANS L'AVANT-PROJET
                             DE CODE PÉNAL...88-90

CHAPITRE IX. DE LEGE FERENDA...91" (pp. 311-312)

VAREILLES-SOMMIÈRES, Gabriel comte La Broüe de, 1846-1905, Les personnes morales / par le marquis de Vareilles-Sommières, Paris : Librairie générale de droit et de jurisprudence, 1919, 683 p.; notes: "Nouveau tirage conforme à celui de 1902.  Bibliogr. : p. [677]-680. 1. ptie. Apercu général et critique sommaire de la doctrine de l'École en France et des autres théories contemporaines sur la personne morale  -- 2. ptie. Les  principes -- 3. ptie. Les applications." (Catalogue AMICUS); titre noté dans mes lectures; aucune copie dans les bibliothèques de la région d'Ottawa, selon ma vérification du catalogue AMICUS de la Bibliothèque et Archives Canada (15 mai 2004);

VAUGHAN, Diane, Controlling Unlawful Organizational Behavior: Social Structure and Corporate Misconduct, Chicago: University of Chicago Press, 1983, xiv, 174 p., (series; Studies in crime and justice), ISBN: 0226851710 and 0226851729 (pbk.); copy at Ottawa University, MRT General: HV 6768 .V38 1983;

"Contents

Acknowledgments...ix

Introduction...xi

The History of the Case...1

The Social Control Network...20

Sanctioning the Corporation...39

Toward Understanding Unlawful Organizational Behavior...54

Opportunities for Unlawful Organizational Behavior...67

Autonomy, Independence, and Social Control...88

Epilogue: Controlling Unlawful Organizational Behavior...105

Appendix: Organizations as Research Settings...113

Notes...137

Selected Reading...159

Index...169" (p. vii)

___________"The Dark Side of Organizations: Mistake, Misconduct and Disaster", (1999) 25 Annual Review of Sociology  271-305; copy at Ottawa University, HM 403 .A58  Location: MRT Periodicals;

"ABSTRACT

In keeping with traditional sociological concerns about order and disorder, this essay addresses the dark side of organizations.  To build a theoretical basis for the dark side as an integrated field of study, I review four literatures in order to make core ideas of each available to specialists in the others.  Using a Simmelian-based case comparison method of analogical theorizing, I first consider sociological constructs that identify both the generic social form and the generic origin of routine nonconformity: how things go wrong in socially organized settings.  Then I examine three types of routine nonconformity with adverse outcomes that harm the public: mistake, misconduct, and disaster produced in and by organizations.  Searching for analogies and differences, I find that in common, routine nonconformity, mistake, misconduct, and disaster are systematically produced by the interconnection between environment, organizations, cognition, and choice.  These patterns amplify what is known about social structure and have implications for theory, research, and policy." (p. 271)

___________"Toward Understanding Unlawful Organizational Behavior", (1982) 80 Michigan Law Review 1377-1402; copy at Ottawa University, KFM 4269 .M52  Location: FTX Periodicals; 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. 313-329 (series; Readings in crime and punishment), ISBN: 0195136217, 0195136211 and 0195136209; copy at Ottawa University, MRT General: HV 6768 .C75 2001;

[CONTENTS]

[INTRODUCTION]...1377

I. THE STRUCTURAL IMPETUS...1378
II. OPPORTUNITIES FOR UNLAWFUL CONDUCT...1387

A. Organizational Processes...1389
B. Organizational Structure...1393

III. IMPLICATIONS FOR ENFORCEMENT...1396

VAUTHIER, Maurice Eugène Auguste, 1860-1931, Études sur les personnes morales, dans le droit romain et dans le droit français, Bruxelles, A. Manceaux : Paris, G. Pedone Lauriel, 1887, x, 416 p.; thèse, Université libre de Bruxelles; titre noté dans mes recherches mais non consultée; aucune copie de ce livre dans les bibliothèques canadiennes comprises dans le catalogue AMICUS, de Bibliothèque et Archives Canada (vérification du 13 janvier 2005);

VAZQUEZ, Osvaldo, "The History and Evolution of Corporate Criminality" (04/05/07). Available at SSRN: http://ssrn.com/abstract=978883; 
 

VELASQUEZ, Manuel.G., "Why Corporations are Not Morally Responsible for Anything They Do", (1983) 2 Business and Professional Ethics Journal 1; copy at Industrie Canada, Bureau de la concurrence, Centre de ressources/Industry Canada, Competition Bureau, Resource Centre, Gatineau, Québec; with the same title in Larry May and Stacey Hoffman, eds., Collective responsibility : five decades of debate in theoretical and applied ethics, Savage, Md. : Rowman & Littlefield, c1991, viii, 292 p., at pp. 111-131, ISBN: 0847676919 and 0847676927 (pbk.); copy at Ottawa University,  MRT General BJ 1451 .C64 1991;
 

VELDT FOGLIA, Mappie, "Rapport néerlandais [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. 803-812 (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?...803

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?...804

III. -- Votre ordre juridique 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?...805

IV. -- Dans la réglementation pénale: quel est le mécanisme d'imputation de la
          responsabilité...805

a) Qui peut engager la responsabilité de la personne morale ou de l'entreprise?
    Un organe seulement?  Toute personne agissant pour l'entreprise?...805

b) Le modèle représentatif...806

c) La personne morale ou l'entreprise peut-elle se disculper au motif d'une
    transgression par la personne physique (non-respect des instructions:
    agissement en dehors de son domaine de compétence, etc.)?...807

d) l'intention criminelle de la personne morale...808

V. -- Quid des personnes morales ou entreprises de droit public?  Leur
         responsabilité peut-elle être engagée?...809

VI. -- Quelles sont en résumé les sanctions pénales applicables aux personnes
          morales ou aux entreprises?...810

VII. -- Votre ordre juridique comprend-il des dispositions particulières de nature
            procédurale (en particulier au sujet de la représentation en justice de la
            personne morale ou de l'entreprise, de ses droits de partie, etc.)?...811

VENANDET, Guy, "La responsabilité pénale des personnes morales dans l'avant-projet de code pénal", (1979) Revue trimestrielle de droit commercial 731-765; importante contribution au sujet;

[Table des matières]

[INTRODUCTION]...732

I   LE PRINCIPE DE RESPONSABILITÉ PÉNALE DES PERSONNES
    MORALES...734

A. -- La justification du principe de responsabilité pénale des personnes
         morales...734

1^o  Le débat doctrinal classique...735
2^o  L'argumentation réaliste actuelle...736

B. -- Le domaine de la responsabilité pénale: les groupements dont l'activité
        est de nature commerciale, industrielle ou financière...739

1^o  Le groupement...739
2^o  L'activité de nature commerciale, industrielle ou financière de
     groupement...741

II.  LA MISE EN OEUVRE DE LA RESPONSABILITÉ PÉNALE: L'IMPUTABILITÉ
     DE l'INFRACTION À LA PERSONNE MORALE...744

A. -- L'imputabilité matérielle de l'infraction...745

a) La volonté délibérée des organes du groupement...745

1) Les organes du groupement:...745
2^o La volonté délibérée...746

b) La commission de l'infraction au nom du groupement...747

B. -- L'imputabilité morale de l'infraction: la commission du délit dans
        l'intérêt collectif...749

C. -- La condition non retenue: la commission du délit dans le cadre des fonctions
        de l'organe...750

III  LA CONSÉQUENCE DE LA RESPONSABILITÉ PÉNALE: LA PUNISSABILITÉ
      DE LA PERSONNE MORALE...752

A. -- Les particularités procédurales...752

B. -- La pénologie spécifique...754

a) Le fondement de la sanction...755
b) La nature des sanctions...756
c) L'exécution des sanctions...759

C. -- Les suites indirectes du délit...761

CONCLUSION...763

VERCHER, Antonio, "Some reflections on the use of the criminal law for the protection of the environment", (2002) Cahiers de défense sociale [Cahiers de la Société internationale de défense sociale pour une politique criminelle humaniste] 103-125; available at  http://www.defensesociale.org/02/13.pdf and  http://www.defensesociale.org/revista2002/9.4.htm (accessed on 8 January 2004);
 

VERHAEGEN, Jacques, "Responsabilité pénale des personnes morales", (1983) (1-2) Annales de droit de Louvain 65-67; copie à la Bibliothèque de la Cour suprême du Canada, Ottawa;
 

VERNY, Édouard, Le membre d'un groupe en droit pénal / Édouard Verny; préface de André Decocq, Paris : L.G.D.J., c2002, vi, 444 p. (Collection; Bibliothèque des sciences criminelles; 0523-5049; tome 37); note: Présenté à l'origine comme thèse de doctorat de l'auteur, Université Panthéon-Assas (Paris II), ISBN:  275022651; titre noté dans mes recherches mais livre non consulté; selon ma vérification du catalogue de Bibliothèque et Archives Canada, il n'y a aucune copie de ce livre dans les bibliothèques de la région d'Ottawa (15 mai 2004); copie à l'Université de Montréal, HAFD V545m 2002;
 

VERVAELE, John A.E., "La responsabilité pénale de et au sein de la personne morale aux Pays-Bas.  Historique et développements récents", (octobre 2002) Revue pénitentiaire et de droit pénal 469-494; copie à l'Université d'Ottawa, KJJ 0 .R487  Location: FTX Periodicals;
 

___________"La responsabilité pénale de et au sein de la personne morale aux Pays-Bas.  Mariage entre pragmatisme et dogmatisme juridique", (avril-juin1997) Revue de science criminelle et de droit pénal comparé 325-346; 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]...325

I. -- LA PUNISSABILITÉ DES PERSONNES MORALES AUX
        PAYS-BAS DANS UNE PERSPECTIVE HISTORIQUE...328

II. -- LA RESPONSABILITÉ PÉNALE DES PERSONNES MORALES ET DES
         DIRIGEANTS DE FAIT/DÉCIDEURS: L'ARTICLE 51 DU CODE PÉNAL...333

2.1 La responsabilité pénale des personnes morales et des dirigeants
      d'entreprise...333
2.2 La qualité d'auteur de la personne morale: le critère
      IJzerdraad...334

- Imputation de l'élément matériel...334
- Imputation de l'élément moral...335

2.3 La punissabilité du fonctionnaire dirigeant fondée sur la qualité d'auteur de la
      personne morale: le critère Slavenburg...339

III.-- LA RESPONSABILITÉ PÉNALE DES PERSONNES MORALES AYANT
         AUTORITÉ PUBLIQUE...342

- Analyse jurisprudentielle...342

Conclusion...345

VERVAELE, J. and A. Klip, "The implementation of the Corpus Juris 1997 in the Member States: National Report -- Netherlands /  La mise en oeuvre du Corpus Juris 1997 dans les États Membres: Rapport national -- Pays-Bas", 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. 637-678, 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;
 

VICHNIEVSKY, Laurence, "Bilan sommaire de la mise en oeuvre de la répression à l'encontre des personnes morales",  (1996) Revue de science criminelle et de droit pénal comparé 289-292; copie à l'Université d'Ottawa, KJJ 0 .R489  Location: FTX Periodicals; copie à la Bibliothèque de la Cour suprême du Canada;

[TABLE DES MATIÈRES]

[INTRODUCTION]...289

I. -- LES DÉCISIONS RENDUES...289
II.-- QUE DIRE DE CES DÉCISIONS?  QUE PEUT-ON EN DÉDUIRE?...290

VIDAL, Dominique, Droit des sociétés, 4e édition, Paris : L.G.D.J., 2003, 674 p., voir "La responsabilité pénale des sociétés" aux pp. 71-75 (Collection; Manuel (Librairie générale de droit et de jurisprudence), ISBN: 2275023585; copie à l'Université d'Ottawa, FTX général, KJV 2999 .V54 2003;

[Table des matières]

La responsabilité pénale des sociétés...71

a. Situation antérieure au nouveau Code pénal...71

115. Solution adoptée au XIX^esiècle...71
116 Retour à la resoponsabilité pénale de la personne morale...71
117. Évolution...71
118. Renversement du principe...72

b. Les dispositions du nouveau Code pénal...72

119. Conditions de la responsabilité...72

1) Infractions...73
120. Domaine limité...73
121 Infractions visés au nouveau Code pénal...73
122 Lois postérieures...74

2) Poursuites...74
123. Personnes visées...74
124 Représentation de la personne morale poursuivie...74
125 Contrôle judiciaire...75

3) Peines...75

VINEY, Geneviève, "Conclusions  [Colloque du 7 avril 1993 sur la responsabilité des personnes morales organisé par l'Université de Paris 1 (Panthéon-Sorbonne) et le Centre de recherches fondamentales de droit privé]", (1993) Revue des sociétés 381-388; copie à l'Université d'Ottawa, K 650 .R49  Location: FTX Periodicals; copie à la Bibliothèque de la Cour suprême du Canada;
 

VINING, Joseph, "Corporate crime and the religious sensibility", (2003) 5(3) Punishment and Society 313-325;
 

VINOGRADOFF, Paul, "Juridical Persons", (1924) 24 Columbia Law Journal 594-604;
 

VIOUT, Jean-OLivier, "France [Expert Panel: Environmental Protection Through Criminal Law: Limits of Individual Responsibility -- Potentials of Collective Liability]", in Günter Heine, Mohan Prabhu, Anna Alvazzi del Frate, Environmental Protection - Potentials and Limits of Criminal Justice Evaluation of Legal Structures Freiburg im Breigau, Germany: Edition iuscrim; Rome: UNICRI, c1997, x, 530 p., at pp. 492-495, (series; Publication (United Nations Interregional Crime and Justice Research Institute; number 56), ISBN: 3861139588 (Edition Iuscrim) and 9290780320 (UNICRI); copy at Solicitor General Canada, Ministry Library and Reference Centre/Solliciteur général Canada, Bibliothèque ministérielle et centre de référence call number: K 3484.6 E5 1997; available at  http://www.iuscrim.mpg.de/verlag/online/Band_S68/16_expert.pdf (accessed on 28 May 2004);
 

VITTON, Béatrice, Les sanctions applicables aux personnes morales dans le nouveau code pénal,  Mémoire DESS : Lutte contre la délinquance et les déviances : Aix-Marseille 3, 1994, 93 feuilles; titre noté dans mes recherches mais thèse non consultée; source: catalogue Abes (Système universitaire de documentation);
 

VITU, André, "La responsabilité pénale des personnes morales et la responsabilité pénale du fait d'autrui", dans VIIème Congrès international de droit pénal: rapports français / présentation de Marc Ancel, Paris: Éditions Cujas, 1957, viii, 355 p.; note: publication du Centre français de droit comparé; title noted in my research but article not consulted; according to my verification of the AMICUS catalogue of Library and Archives Canada, Ottawa, there is no copy of this book in the Ottawa area libraries (4 December 2004);
 

___________"Regards sur le droit pénal des sociétés", dans Aspects actuels du droit commercial français : études dédiées à René Roblot, Paris : Librairie générale de droit et de jurisprudence, R. Pichon et R. Durand-Auzias,1984, 574 p., aux pp. 247-270, ISBN: 2275010041; copie à la Bibliothèque de la Cour suprême du Canada, KJV2199 A87 1984;

[Contenu]

[Introduction]...247

I. -- Le droit pénal des sociétés, une législation envahissante...250

A. -- La conquête d'un vaste domaine...250
B. -- La multiplication des textes incriminateurs...253

II. -- Le droit pénal des sociétés, une législation sévère...259

A. -- Des sanctions rigoureuses...259
B. -- A la recherche des vrais coupables...263

a) Les auteurs des infractions sociales...263
b) Le complice des infractions sociales...266

C. -- Quelques aménagements procéduraux...267

[Conclusion]...269

VOGEL, Joachim, "How to Determine Individual Criminal Responsibility in Systemic Contexts: Twelve Models", [2002] Cahiers de défense sociale; available at  http://www.defensesociale.org/revista2002/10.3.htm (accessed on 20 November 2005);

"12. «Collective responsibility» model

A last attempt to cope with responsibility in complex system contexts is to make the system itself, the collective entity, the organisation responsible – which may be called «collective responsibility» model. However, collective responsibility is not an alternative to individual responsibility but an addition: There is not a single legal system known to me where punishing an individual is excluded if the collective entity is punishable or after the collective entity has been punished. Indeed, «dual» responsibility is the rule – also because most legal systems require an offence committed by an individual member of the collective entity which is imputed to the entity as such. In legal doctrine, it has often been said that collective criminal responsibility serves as substitute where individual criminal responsibility cannot be proven. At least the German experiences do not support such a suspicion.

It is well known that the criminal responsibility of organisations, companies, legal persons or other collective entities is not generally accepted although more and more legislations have introduced or are introducing such a responsibility. On the other hand, practically all legal systems do intervene if members of a collective entity commit offences on its behalf or in its favour and make use of administrative measures, administrative sanctions (in particular fines like the German «Geldbuße») or civil liability for harm resulting from the offence.

The doctrinal debate started from the fundamentalist argument that «societas non delinquere potest» because a collective responsibility would run against the very idea of cri­minal law, punishment and culpability. Meanwhile, it is well established that collective cri­minal responsibility is possible although its structures differ from the structures of in­dividual criminal responsibility. Important concepts are: derivative or vicarious lia­bility; alter-ego-model; aggregation theory; doctrine of self-identity; corporate attitude / climate. Therefore, the discussion turns to real questions: Which is the «trigger mechanism» for collective responsibility (ratione materiae, ratione personae)? Which are the sanctions, and which the criteria for sanctioning? Which is the standard of proof? Which procedural rules apply? And how do you enforce sanctions against collective entities which may change their legal status, may be bought by another entities and even dissolve themselves any time? A rich reservoir of answers can be found in the E.C. law: Collective responsibility is triggered rationae materiae by acting on behalf or in favour of the collective entity, ratione personae by persons with power to represent or to decide or to control. Sanctions are fines, but also exclusion from public subsidies or contracts, judicial supervision, dissolution. Criteria for sanctioning are gravity of the offence, proceeds from the offence, annual turnover. The requirements of responsibility must be proven beyond reasonable doubt; however, it must not be proven which person exactly committed the offence, and negligence may be proven by comparing the company with a careful company. Certain procedural guarantees tailored to natural persons – e.g. the right to be silent – do not or only partly apply to legal persons. Changes in the legal status as such do not matter." (Footnotes omitted)
 
 

[Contents]

I. INTRODUCTION...969

II. BACKGROUND: CIVIL AND CRIMINAL LIABILITY FOR
    EMPLOYEE-ENDANGERING ACTIVITIES...971

A. Tort Liability for Employee-Endangering Activities...973

1. Common Law Liability of the Employer...973
2. State Workers's Compensation Statutes...975

B. Criminal Liability for Employee-Endangering Activities...977

1. The Corporation as Defendant...978
2. The Individual as Defendant...980
3. People v. Warner-Lambert Co. and People v
    . O'Neill...981

III.  ANALYSIS: MENS REA AND DETERRENCE...983

A. Workers' Compensation Statutes...983
B. The Criminal Law: OSHA and State Law
     Enforcement...985

1. The Corporation as Defendant...986
2. The Individual as defendant...989

IV. PROPOSAL: APPLY CRIMINAL HOMICIDE STATUTES TO
     WORK-RELATED DEATHS...991

A. Recent Proposals for Reform in the Area of Employee-Endangering
     Activities...991

1. The Expansion of Civil Liability under Workers' Compensation
    Statutes...991
2. The Endangerment Offense..992
3. Civil and Administrative Remedies...993
4. People v. O'Neill and the Criminal Homicide Statutes...995

B. Criminal Homicide Statutes: The Most Effective Deterrent to
     Employee-Endangering Activities...997

V. CONCLUSION...998

VOUYOUCAS, Constantin, "Grèce: Rapport national", (1983) 54(1-2) Revue internationale de droit pénal / International Review of Penal Law 299-330, voir les pp. 325-326 (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);
 

VU, Stacey Neumann, "Corporate criminal liability: patchwork verdicts and the problem of locating a guilty agent", (2004) 104 Columbia Law Review 459-495; copy at Ottawa University, KFN 5069 .C657  Location: FTX Periodicals;

[CONTENTS]

INTRODUCTION

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. Facts 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

WAETERINCKX, Patrick, "La responsabilité pénale, un risque maîtrisable pour l'entreprise?"  La délégation de pouvoirs en droit pénal", (avril 2003) 83 Revue de droit pénal et de criminologie 425-473; copie à l'Université d'Ottawa, K 21 .D725  Location: FTX Periodicals;

[Table des matières]

Introduction...425

I. L'imputation d'infractions commises dans un contexte d'entreprise...430

A. Situation avant la loi du 4 mai 1999...430

a) L'imputation matérielle...431
b) L'imputation légale...431
c) L'imputation conventionnelle...432
d) L'imputation judiciaire...433

B. Situation après la loi du 4 mai 1999...434

C. La délégation de pouvoirs est-elle encore nécessaire après la loi du 4 mai 1999?...437
 

II. Le risque d'une reponsabilité pénale peut-il être maîtrisé par une délégation de pouvoirs?...438

A. Généralités...438

B. Définitions et nature juridique de la délégation de pouvoirs...440

1. La délégation de pouvoirs est une construction de la jurisprudence et de la doctrine -- vers une définition...440
2. Comparaison avec des formes apparentées de délégation de pouvoirs...442

C. Les matières sujettes à la délégation de pouvoirs?...443

D. Option ou obligation?...444

E. Conditions de validité de la délégation de pouvoirs...447

1. Conditions de fond...447

a) Arrêt de la Cour d'appel de Bruxelles, en date du 7 septembre 1994...447
b) Absence de faute et de fraude...448
c) Interdiction de délégation générale...448
d) La délégation doit être claire et explicite...449
e) Le délégataire doit accepter la délégation de pouvoirs et être totalement informé des limites et de l'étendue de sa mission...450
f) Le délégataire doit-il être un subordonné?...450
g) Un transfert de pouvoirs effectif...452
h) Le délégataire doit posséder la compétence, l'autorité et les moyens nécessaires à l'exécution de sa mission

(1) Introduction...453
(2) Compétence...454
(3) Autorité...454
(4) Moyens...455

i) La surveillance régulière de la bonne exécution des tâches déléguées...456

2. Conditions de forme...457

a) Un écrit?...457
b) La délégation implique-t-elle une modification (unilatérale) des conditions de travail?...458
c) Contenu de l'écrit de la délégation de pouvoirs...459

F. Quelques particularités...459

1. Subdélégation...459
2. La délégation et la personne morale...461

G. Les conséquences d'une délégation de pouvoirs valable...466

1. Généralités...466
2. L'influence de la nature du mécanisme d'interprétation...467

a) L'imputation légale et conventionnelle...467
b) L'imputation judiciaire...468

3. Cumul de responsabilités entre une personne morale et une personne physique -- Recherche de la faute la plus grave...468
4. En principe.  Application limitée en cas de négligence...469

H. Fin de la délégation...470

I. La délégation et les infractions continues...470

Conclusion...472

WAGNER, Markus, "Corporate Criminal Liability -- National and International Responses", Background paper for the International Society for the Reform of  Criminal Law, 13th International Conference, Commercial and Financial Fraud: A Comparative: A Comparative Perspective,  Malta, 8-12 July 1999; available at  http://www.icclr.law.ubc.ca/Publications/Reports/CorporateCriminal.pdf (accessed on 8 June 2003); very important contribution; with the same title in (1999) 25 Commonwealth Law Bulletin 600;
 

WAILING, Cornélie, Ingeborg M. Koopmans, Marianne Rutgers, Jan M. Sjöcrona, Nastja van Strien and Peter J.P. Tak, "Pays-Bas [Netherlands]: Crimes against the Environment", (1994) 65 Revue internationale de droit pénal / International Review of Penal Law 1065-1099, see "2.1.1 Legal entities", at pp. 1071-1074 and "2.1.2  Personal Liability of those in charge", at pp. 1074-1078; article in English; part of the Preparatory Colloquium, Section 1, Crimes against the Environment -- General Part, Ottawa (Canada), November 2-6, 1992;
 

WAILING, Cornélie, "The Netherlands [Expert Panel: Environmental Protection Through Criminal Law: Limits of Individual Responsibility -- Potentials of Collective Liability]", in Günter Heine, Mohan Prabhu, Anna Alvazzi del Frate, Environmental Protection - Potentials and Limits of Criminal Justice Evaluation of Legal Structures Freiburg im Breigau, Germany: Edition iuscrim; Rome: UNICRI, c1997, x, 530 p., at pp. 496-504, (series; Publication (United Nations Interregional Crime and Justice Research Institute; number 56), ISBN: 3861139588 (Edition Iuscrim) and 9290780320 (UNICRI); copy at Solicitor General Canada, Ministry Library and Reference Centre/Solliciteur général Canada, Bibliothèque ministérielle et centre de référence call number: K 3484.6 E5 1997; available at  http://www.iuscrim.mpg.de/verlag/online/Band_S68/16_expert.pdf (accessed on 28 May 2004);
 

WALEY-COHEN, Joanna, "Collective Responsibility in Qing", in Karen G. Turner, James V. Feinerman, and R. Kent Guy, 1948-, eds., The Limits of the Rule of Law in China. Seattle: University of Washington Press, 2000, xiv, 348 p., at pp.112 to approx. 131, (series; Asian law series ; no. 14),  ISBN: 0295979070; copy at Affaires étrangères et Commerce international, Bibliothèque/Foreign Affairs and International Trade, Library, Lester B. Pearson Building, 125 Sussex Drive, Ottawa ON  K1A 0G2, call number: KNQ 2025 .L56 2000; title noted but article not consulted;
 

WALKER Helen, "Criminalising companies - will corporate killing make a difference?", (12 October 2001) 151 New Law Journal 1494-1495; issue7003;
 

WALLON, Patrick, "La responsabilité pénale des personnes morales", (1996) Revue pénitentiaire et de droit pénal 265-275; copie à l'Université d'Ottawa, KJJ 0 .R487 Location FTX Periodicals,
 

WALSH, Charles J. and Alissa Pyrich, "Corporate Compliance Programs as a Defence to Criminal Liability: Can a Corporation Save its Soul?" (1994-95) 47 Rutgers Law Review 605-691; copy at Ottawa University, KFN 1869 .R88  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada;

[CONTENTS]

I.  INTRODUCTION...606

II. THE MODERN DOCTRINE OF CORPORATE CRIMINAL
     LIABILITY...608

A. A Brief History of Corporate Criminal Theory...610
B. Theories of Corporate Criminal Liability...618

1. Corporate Criminal Liability in the Federal Courts...619
2. Corporate Criminal Liability Under the Model Penal
    Code...626

C. Rationales for Corporate Liability...632
D. Conceptual Problems with Corporate Criminal Liability...640

III. THE RISE OF CORPORATE COMPLIANCE PROGRAMS...645

A.  What is a corporate Compliance Program?...645
B.  History of Corporate Compliance Programs...649
C.  Present Treatment of Corporate Compliance Programs Under the
     Law...662

1. Defense to Liability...662
2. Relevant Evidence...664
3. Mitigation of Penalty or Prosecutorial Discretion...666

a. Decisions Not to Prosecute...666
b. The Federal Sentencing Guidelines...671

IV.  CORPORATE COMPLIANCE PROGRAMS SHOULD CONSTITUTE
       A DEFENSE TO CRIMINAL PROSECUTION...676

A. Rationale for the Defense...677

1. Consistency with Traditional Notions of Criminal Responsibility...677
2. Encouragement of Corporation Self-Regulation...678
3. Encouragement of Good Corporate Citizenship...680
4. Long-Term Cost-Effectiveness...681

B. Nature of the Defense...684

V.  CONCLUSION...690

WALT, Steven and William S. Laufer, "Corporate Criminal Liability and the Comparative Mix of Sanctions,”  in Kip Schlegel and David Weisburd, eds., White Collar Crime Reconsidered, Boston: Northeastern University Press, 1992, xv, 384 p., at pp. 309-331, ISBN: 1555531415; notes; "Papers originally presented at a conference held at Indiana University in May 1990"; copy at Ottawa University, MRT General: HV 6769 .W485 1992; for the table of contents of the volume, see the Catalogue of Columbia University, PEGASUS, at  http://pegasus.law.columbia.edu/;

[CONTENTS]

[INTRODUCTION]...309

CORPORATE PERSONHOOD...310

THE IRRELEVANCE OF PERSONHOOD...311

DISPARITY IN THE MIX OF SANCTIONS...312

CORPORATE IMPRISONMENT...315

CORPORATE INCAPACITATION THROUGH PROBATION CONDITIONS...318

EXTERNALITIES...323

CONCLUSION...326

REFERENCES...327
 

WALTZING, Jean Pierre, 1857-1929, Étude historique sur les corporations professionnelles chez les Romains depuis les origines jusqu'à la chute de l'Empire d'Occident, Louvain, C. Peeters, 1895-1900: Roma: L'erma di Bretschneider, 1968, 4 volumes; copie à l'Université d'Ottawa, MRT General, DG 109 .W22 1968  v.1 à 4;
 

WARIN, F. Joseph and Jason C. Schwartz, "Corporate Compliance Programs as a Component of Plea Agreements and Civil and Administrative Settlements", (1998-99) 24 Journal of Corporation Law 71-87;

[CONTENTS]

I. INTRODUCTION...72

II. PROFILE OF THE FIVE CASE STUDIES...73

A. Company A. ...73
B. Tyson Foods...73
C. NME Psychiatric Hospitals...74
D. Buffalo Hospital Supply...74
E. Thomas Jefferson University...75

III. THE COMPLIANCE AGREEMENTS...75

A. Role of the Board of Directors...75
B. Corporate Compliance Officer or Committee...77
C. Inspection of Company Books and Records...78
D. Voluntary Disclosure of Wrongdoing...79
E. Waiver of Any Applicable Privileges...80
F. Training...82
G. Term of the Agreement...83
H. Summary...83

IV. THE SEVEN KEY FACTORS IN HHS-OIG MODEL COMPLIANCE PROGRAMS...84

A. Role of the Board of Directors...84
B. Corporate Compliance Officer or Committee...85
C. Inspection of Company Books and Records...85
D. Voluntary Disclosure of Wrongdoing...85
E. Waiver of any Applicable Privileges...86
F. Training...86
G. Term of the Agreement...86
H. Summary...86

V. CONCLUSION...87" (pp. 71-72).

___________"Deferred Prosecution: The Need for Specialized Guidelines for Corporate Defendants", (1997) 17 The Journal of Corporation Law 121-134;

[CONTENTS]

--I. INTRODUCTION...121

II. REVIEW OF CURRENT STANDARDS...122

A. Initiating or Declining Prosecution: Use of
     Non-Criminal Alternatives...122
B. The Pre-Trial Diversion Program...123

III. CASE STUDIES...124

A. Case One: Salomon Brothers...124
B. Case Two: Sequa Corporation...125
C. Case Three: Prudential Securities Incorporated...125
D. Case Four: Coopers & Lybrand...126
E. Comparison of the Case Studies...127

IV. APPLICABILITY OF THE UNITED STATES ATTORNEYS' MANUAL
      AND OTHER SOURCES OF GUIDANCE...129

V. RECOMMENDATION FOR NEWS STANDARDS...132

VI. CONCLUSION...133" (p. 121)

WASHINGTON LEGAL FOUNDATION, web site, topic -- Corporate Criminal Liability, available at  http://www.wlf.org/Publishing/pubsbytopic.asp?topic=8 (accessed on 7 May 2004);
 

WATKINS, L., "Much Ado About Nothing (The Corporate Manslaughter Bill)", (25 June 2005) 169(26) Justice of the Peace 488-492;
 

WAWRYK, Alex, "Regulating Transnational Corporations through Corporate Codes of Conduct",  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. 53-78, ISBN: 0333987993; copy at Ottawa University, FTX General, HD 2755.5 .T64745 2003;

[Contents]

[Introduction]...53

Public international codes of conduct...53

Issues to be addressed in formulating a public code of conduct...54

Strengths and limitations of a public international code of conduct...58

Private internal corporate codes of conduct...59

Issues to be addressed in formulating a private internal code of conduct...59

Strengths and limitations of private internal codes of conduct...61

Industry association codes of conduct...64

Strengths and limitations of industry association codes of conduct...66

Non-government organization codes of conduct...69

Strengths and limitations of NGO codes of conduct...70

Conclusion...73

Notes...73

References...75
 

"This article addresses steps a business organization can take to protect itself and its executives from criminal liability.  First, it discusses general principles of corporate criminal liability.  Second, it describes the indictment process and the factors considered by prosecutors when deciding whether to seek an indictment against a corporation or business executive.  Third, it analyzes the Federal Sentencing Guidelines and how they are applied to business and executives.  Finally, it discusses the creation and implementation of an effective program to limit exposure to criminal liability." (p. 617)

WEBB, Dan K. and Steven F. Molo, "Some Practical Considerations in Developing Effective Compliance Programs: A Framework for Meeting the Requirements of the Sentencing Guidelines", (1983) 71 Washington University Law Quarterly375-396; available at  http://www.winston.com/MeetingCN.nsf/vPublicationLU/SomePracticalConsiderationsinDevelopingEffectiveCompliancePrograms:AFrameworkforMeetingtheRequirementsoftheSentencingGuidelines (accessed on 28 May 2004);

[CONTENTS]

I. INTRODUCTION...375

II. THE ADVANTAGES TO IMPLEMENTING AN EFFECTIVE
     COMPLIANCE PROGRAM...376

A. Disseminating a Positive Corporate Ethos...376
B. Detecting Misconduct...377
C. Persuading a Prosecutor Not to Indict...377
D. Minimizing the Severity of a Sentence Upon Conviction...378

III. THE DISADVANTAGE TO IMPLEMENTING AN EFFECTIVE
      COMPLIANCE PROGRAM...379

IV.  THE NECESSARY ELEMENTS OF AN EFFECTIVE COMPLIANCE
       PROGRAM...380

A. Timing...380
B. Subject Matter of the Program...380
C. Degree of Formality...381
D. Industry Practice...381
E. Due Diligence...381

V.  A PRACTICAL FRAMEWORK FOR DEVELOPING A COMPLIANCE
      PROGRAM...383

A. Step I -- Enlisting the Support of the Board and Chief Executive Officer...384
B. Step II -- Surveying Existing Business Activities...385
C. Step III -- Surveying Compliance Efforts Within the Industry...387
D. Step IV -- Structuring the Formal Program...387

1. Selecting the Program Administrator...388
2. Written Policies...389

a. Codes of Conduct...390
b. Supplemental Policies and Procedures...392

3. A Process for Reporting Violations...392
4. A Process for Disciplining Violators...393

E. Step V -- Implementing the Structure...393

1. Training Employees...394
2. Monitoring and Auditing Compliance...395
3. Disciplining Employees...395

F. Step VI -- Updating and Revising the Program...395

VI. CONCLUSION...396

WEBB, Daniel, 1945-, Steven F. Molo, 1957-, and Robert W. Tarun, 1949-, Corporate internal investigations, New York, N.Y. : Law Journal Seminars-Press, c1993-, 1 v. (loose-leaf) (series; Litigation series); title noted in my research but document not consulted; no copy of this book in the Ottawa area librairies covered by the catalogue of Library and Archives Canada, AMICUS (verification of 15 June 2004);
 

WEBER, Ulrich, "République Fédérale d'Allemagne: Rapport national -- Partie dogmatique II --", (1983) 54(1-2) Revue internationale de droit pénal / International Review of Penal Law 581-627 (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);
 

WEIGEND, Thomas, "Allemagne/Germany", (2003) 74(1-2) International Review of Penal Law 71-92; 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); see the Gesetz über Ordnungswidrigkeiten (OWiG) referred hereunder at  http://www.datenschutz-berlin.de/recht/de/rv/sich_o/owig/index.htm (accessed on 22 January 2005);

"Criminal liability of legal persons

Because bribery is often committed on behalf of business companies or other legal persons, many international instruments om combatting corruption call for the introduction of sanctions directed at legal persons⁶⁵.  A growing number of legal systems provide for criminal liability of legal persons.  Responsibility of legal persons for unlawful acts committed by their executive organs for the benefit of the legal person certainly is a useful and justifiable instrument of imposing liability.  It does not, however, fit well into the system of criminal law, which is based on the principle of individual moral guilt.  It is therefore recommendable to maintain the German system of providing for liability of legal persons under the heading of administrative infractions (§ 30 Gesetz über Ordnungswidrigkeiten).  This sytem provides the possibility of imposing heavy fines on legal persons while upholding the individual character of 'core' criminal liability⁶⁶.
------
...
65. See, e.g., Art. 2 OECD Convention on Combating Bribery of Foreign Public Officials in International Business Relations (1997); Art. 4 Second Protocol of the European Communities Convention on the Protection of Financial Interests of the European Community (97/C221/02) (1997); Art. 19 II Council of Europe Draft Criminal Law Convention on Corruption (1998).

66.  Accord, Bannenberg (n.2), pp. 409 et seq.; for a contrary view see Ransiek, StV 1996, 446 at 452 (arguing that the enterprise is the 'real culprit' and individual responsibility is not of interest here)." (p. 88)

____________"The Legal and Practical Problems Posed by the Difference Between Criminal Law and Administrative Penal Law", (1988) 59 Revue internationale de droit pénal 67-93;  see the Gesetz über Ordnungswidrigkeiten (OWiG) referred hereunder at  http://www.datenschutz-berlin.de/recht/de/rv/sich_o/owig/index.htm (accessed on 22 January 2005);

"Corporate Liability

    Under the German Criminal Code corporate entities cannot be held liable for criminal wrongdoing.  This solution is based on two considerations, one theoretical and one practical: corporations lack the capacity for personal blameworthiness, one prerequisite for criminal responsibility; and they cannot be imprisoned.  Neither of these rationals apply to administrative penal law: the fact that Ordnungswidrigkeiten responsibility is conceived of as ethically neutral permits to acknowledge corporate liability, at least as an accessory to the personal responsibility of the individuals in charge of corporate affairs; and the pecuniary sanctions provided by Ordnungswidrigkeiten law can effectively be imposed on corporations.

    Corporate liability is indicated, e.g., when a manager or other organ of a corporate entity commits an Ordnungswidrigkeit but does not or only marginally reap personal profit from his wrongdoing: since the amount of the administrative fine is to be tailored to the economic situation of the defendant, the imposition of a fine only on the individual manager would leave the illegal profits of the corporation intact.  A system of unlimited Ornungswidrigkeiten liability of corporate entities, on the other hand, would create the problem of double punishment: if, e.g., a partner in an economic enterprise, acting on behalf of the company, commits an administrative violation and if he as well as the company were held liable, the partner would in fact be punished twice for the same offence.

    § 30 OWiG provides a wise compromise solution to this dilemma: this norm offers the option of making the corporation liable for an Ordnungswidrigkeit committed on its behalf as an ancillary sanction to the personal liability of a manager or organ of the corporation.  But the accessorial nature of corporate liability in § 30 OWiG is a conceptual tool, not an impediment to effectiveness: administrative fines can be enforced against the corporation even if it is inopportune or impossible (for factual reasons, e.g. because the responsible agent cannot be individualised) to hold an individual liable for the violation (§ 30 sec 4 OWiG).  The maximum amount of an administrative fine imposed on a corporate entity is one million Deutsche Mark (§ 30 sec, OWiG).  Fines can exceed this amount if necessary to skim off an illegal profit (§ 17 sec. 4 OWiG)." (p. 73)

WEINSTEIN, Martin J. and Patricia Bennett Ball, "Criminal Law's Greatest Mystery Thriller: Corporate Guilt Through Collective Knowledge", (1994) 29 New England Law Review 65-91;  no copy at the Library of the Supreme Court of Canada; copy at Ottawa University, KFM 2469 .N49 Location: FTX Periodicals;

[CONTENTS]

I. INTRODUCTION TO CONTEMPORARY CORPORATE CRIME...65

II.  A PRIMER ON THE JURISPRUDENCE OF CORPORATE CRIMINAL LIABILITY...67

A. Legal Theory...67
B. Early Struggles with Collective Knowledge...70
C. The Bank of New England Prosecution...75

III  THE IMPACT OF A COLLECTIVE GUILT STANDARD ON CORPORATE CRIME...79

A. Efficient Economics in the Judicial System...79
B. The Imposition of Corporate Criminal Liability Based Upon Collective Knowledge Can Effectively Make Corporations Strictly Liable for Specific Intent Crimes...81
C. Corporate Criminal Liability Beyond United States Borders...82

1. The United Kingdom and Common Law Countries...83
2. The Netherlands...86
3. Germany...88
4. Japan...89
5. Summary...90

IV. CONCLUSION...90

WEISBURD, David and Kip Schlegel, "CONCLUSION -- Returning to the Mainstream.  Reflections on Past and Future White-Collar Crime Study", in Kip Schlegel and David Weisburd, eds., White Collar Crime Reconsidered, Boston: Northeastern University Press, 1992, xv, 384 p., at pp. 352-362, 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]...352

What Is White-Collar Crime?...353

Is White-Collar Crime Different from Common Crime?...357

Future Directions for White-Collar Crime Research and Theory...361

REFERENCES...363

NOTES...365

WEISSBRODT, David, "Principles relating to the human rights conduct of companies.  Working paper prepared by Mr. David Weissbrodt", E/CN.4/Sub.2/2000/WG.2/WP.1, 25 May 2000, COMMISSION ON HUMAN RIGHTS, Sub-Commission on the Promotion and Protection of Human Rights
Fifty-second session, Item 4 of the Provisional Agenda, Sessional working group on the working methods and activities of transnational corporations, 29 p.; available at  http://www.unhchr.ch/Huridocda/Huridoca.nsf/e06a5300f90fa0238025668700518ca4/4c9f4b9319945428c125691b00438fdf/$FILE/G0013862.pdf (accessed on 14 July 2004); also translated in français/ aussi traduit en français: "Principes relatifs au comportement des sociétés en matière des droits de l'homme.  Document de travail établi par M. David Weissbrodt", E/CN.4/Sub.2/2000/WG.2/WP.1, 25 mai 2000, COMMISSION DES DROITS DE L'HOMME, Sous-Commission de la promotion et de la protection des droits de l'homme, Cinquante-deuxième session, Groupe de travail de session sur les méthodes de travail
et les activités des sociétés transnationales, 26 p., disponible à: http://www.unhchr.ch/Huridocda/Huridoca.nsf/0/22e9d4b997beae33c125691b0044f0a6/$FILE/G0013863.pdf (visionné le 27 juillet 2004);
 

WEISSBRODT, David, and Muria Kruger, "Responsibilities of Transnational Corporations and Other Business Enterprises With Regard to Human Rights",  in Phlip Alston ed.,  Non State Actors and Human Rights, Oxford University Press, (series; Collected Courses of the Academy of European Law; vol. 13(2)), ISBN: 0199272824; forthcoming in August 2005 (research entry made on 13 January 2005);
 

WELHAM, Michael, Tolley's corporate killing : a managers' guide to legal compliance, London : Tolley, 2002, xv, 266 p., ISBN: 0754510662; note: other title: Corporate Killing; title of article noted in my research but book not consulted as there is no copy of it in the Ottawa area libaries according to my verification of Library and Archives Canada AMICUS catalogue (29 May 2004);
 

WELLS, Celia, Book Review, "Catching the Conscience of the King: Corporate Complicity in Human Rights Violations", in Philip Alston, ed.,  Non State Actors and Human Rights  Oxford University Press, 2004 -- forthcoming (series; Collected Courses of the Academy of European Law; volume 13);
 

___________"Corporate Criminal Liability in Europe and Beyond", (2001) 39(7) New South Wales Law Society Journal 62-66;  not at Ottawa University; title noted in my research but article not consulted; article available to members at  http://www.lawsociety.com.au/page.asp?PartID=303 (accessed on 8 February 2004);
 

___________"Corporate Killing -- Celia Wells assesses the impact of the proposals in Law Commission's Paper 237 [Involuntary Manslaughter]", (1997) 147 New Law Journal 1467-1468; issue 6811;
 

___________"Corporate Law: Corporate Criminal Liability -- Developments in Europe and Beyond", (2001) 39(7) Law Society Journal 62; http://www.lawsocnsw.asn.au/resources/lsj/aug2001/62_1.html.; note: Law Society of New South Wales; title noted in my research but article not consulted; according to my verification of the AMICUS catalogue of Library and Archives Canada, Ottawa, there is no copy of this periodical in the Ottawa area libraries (4 December 2004);
 

___________"Corporate Liability and Consumer Protection: Tesco v Nattrass Revisited", (1994) 57 Modern Law Review 817-823; copy at Ottawa University, KD 322 .M62  Location: FTX Periodicals;
 

___________"Corporate Manslaughter: A Cultural and Legal Form", (1995) 6 Criminal Law Forum 45-72; copy at the Library of the Supreme Court of Canada;

[CONTENTS]

[INTRODUCTION]...45

CRIMINAL LAWS...48

Flawed Traditional Conceptions...48
Criminal Regulation of Safety...51
Corporate Manslaughter -- The Emergence of an Idea...52

CORPORATE CRIMINAL LIABILITY...56

Protean Doctrine...56
Corporate Manslaughter -- A Legal Form...62

CULTURE, BLAME, AND COLLECTIVE RESPONSIBILITY...66

___________"The Corporate Manslaughter Proposals: Pragmatism, Paradox and Peninsularity”,  [1996] The Criminal Law Review 545-553; copy at Ottawa University, KD 7862 .C734  Location:  FTX Periodicals;
 

___________Corporations and criminal responsibility, 2nd ed., Oxford ; New York : Oxford University Press, 2001, xvii, 198 p.(series; Oxford monographs on criminal law and justice), ISBN: 0198267932 and 019924619X (pbk.); copy at Solicitor General Canada, Ministry Library and Reference Centre/Solliciteur général Canada, Bibliothèque ministérielle et centre de référence; limited preview at http://books.google.com/books?id=x3cItjBCqncC&pg=PA140&dq=%22german+criminal+law%22&lr=&as_brr=3&ei=3RbLR-WnKojOiQHwx9x6&sig=I1iHrNAv3
VEP6dtggbQFvPre72U#PPP1,M1 and http://books.google.com/books?id=x3cItjBCqncC&dq=%22german+criminal+law%22&lr=&as_brr=3&source=gbs_summary_s&cad=0 (accessed on 2 March 2008);

"[Contents]

Table of Cases

Table of Statutes

1. Safety and Public Welfare...1

1  Regulatory offences...3
2  Real crime and real persons...5
3  Corporations and crime...8

2 The role of criminal law...13

1  Why criminal law?...14
2  Theories of punishment...18
3  Crime and regulation...21
4  Corporate Sanctions...31

3 Attribution of responsibility...40

1  Social constructions of crime...40
2  Blame attribution...43
3  Cause and blame...46
4  Institutional influences...53

4 Criminal responsibility and the corporate entity...63

1  Notions of criminal responsibility...64
2  Culpability and strict liability...67
3  Groups, associations, and corporations...70
4  The corporate entity...74

5 Corporate liability in England and Wales...84

1  Historical development...86
2  Corporate liability - a maturing idea...99

6 Corporate manslaughter...106

1  Key developments...106
2  Culpability and risk...115
3  Unlawful act manslaughter - the forgotten question...117
4  Corporate killing - a proposed offence...120

7 Comparative and international solutions...127

1  Comparative cautions...128
2  Common law variations...129
3  Civil law changes...138
4  Convergence...140

8 The responsible corporation...146

1  The corporate organization...146
2  Strict (vicarious) liability versus due diligence...152
3  People, systems, and culture...154
4  Individual liability...160
5  The responsible corporation...164

Bibliography...169

Index...185" (source: Columbia University catalogue, Pegasus, at http://pegasus.law.columbia.edu/ )
 

"Summary:  Calls for corporate criminal liability reflect cultural attitudes towards technological hazard.  This article explores the relationship between risk and legal notions of recklessness, analyses the development of corporate liability principles and proposes a blue print for future debate." (p. 551)

___________"Criminal Liability in England and Wales", in Francesco Palazzo, a cura di Francesco Palazzo, Societas puniri potest : la responsabilita da reato degli enti collettivi: atti del Convegno organizzato dalla Facolta di Giurisprudenza e dal Dipartimento di diritto comparato e penale dell'Universita di Firenze, 15-16 marzo 2002, Padova : CEDAM, 2003, viii, 410 p., at pp. 103-135, ISBN: 8813245483; title noted in my research but article not consulted; according to my verification of the AMICUS catalogue of the Library and Archives Canada, Ottawa, there is no copy of this book in the Ottawa area libraries (4 December 2004);
 

___________"Criminal Liability of Corporations.  Edited by HANS DE DOELDER and KLAUS TIEDEMANN. [Dordrecht: Graham and Trotman (Kluwer Group). 1995. 401 pp. ISBN 90-411-0165-9 ...]", (1997) 46 International and Comparative Law Quarterly 230;

"North American and European jurisdictions are well represented in 13 essays (originally papers at the 1994 International Congress of Comparative Law), and there are also valuable contributions from Australia and Japan.  Before a sensible comparative debate could be launched, a definitional question had to be asked: what is meant in each jurisdiction by 'criminal penalty'?  While there are normal separations between the criminal, regulatory and administrative spheres in the continental civil law systems, that distinction in the United States and in England and Wales is largely informal and/or ideological; and other jurisdictions, notably Canada and Australia, fall somewhere in the middle.  A questionnaire issued by the editors anticipated this problem and ensured a measure of uniformity in the various papers." (p. 230)

___________"Criminal Responsibility of Legal persons in Common Law Jurisdictions", Paper prepared for OECD Anti-Corruption Unit Working Group on Bribery in International Business transactions, Paris 4th October 2000, 10 p.; available at  http://www.greco.coe.int/evaluations/seminar/Wells_revised.pdf (accessed on 4 March 2004);
 

___________"The Decline and Rise of English Murder: Corporate Crime and Individual Responsibility", [1988] The Criminal Law Review 788-801; copy at Ottawa University, KD 7862 .C734  Location:  FTX Periodicals;
 

__________"Developments in Corporate Liability in England ans Wales", 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. 217-224 (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_S78/9-SUBJN-3b.pdf (accessed on 25 April 2004);
 

___________"International Trade in Models of Corporate Liability", available at  http://www.brass.cf.ac.uk/cacorptoolkitCW0203.pdf (accessed on 6 March 2004);
 

___________"Manslaughter and Corporate Crime -- Celia Wells examines the possible impact of the Zeebrudge summonses on the law's treatment of corporate crime", (7 July 1989) 139 New Law Journal 931-932 and 934; issue number 6415;
 

__________"The Millennium Bug and Corporate Criminal Liability", (1999), number 2, The Journal of Information, Law and Technology; available at  http://elj.warwick.ac.uk/jilt/99-2/wells.html (accessed on 30 January 2004);
 

___________"More than Money: Understanding Deaths at Work" (review of G. Slapper's book Blood in the Bank: Social and Legal Aspects of Death at Work  (2001) 7 Res Publica 215-221;
 

___________Negotiating Tragedy: Law and Disasters, London: Sweet and Maxwell, 1995; xxi, 213 p., (series; Modern legal studies), ISBN: 0421473800;  title noted in my research but book not consulted; according to my verification of the AMICUS catalogue of the Library and Archives Canada, Ottawa, there is no copy of this book in the Ottawa area libraries (4 December 2004);
 

___________"A New Offence of Corporate Killing -- the English Law Commission's Proposals",  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. 119-128 (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);
 

___________"Prosecuting safety - a cautionary tale: Celia Wells believes it would be a mistake to concentrate soley on corporate manslaughter", (10 November 2000) 150 New Law Journal 1648-1649; issue number 1648;
 

___________"A quiet revolution in corporate liability for crime -- Celia Wells believes legal conceptions of corporate decision-making are shifting", (15 September 1995) 145 New Law Journal 1326-1327; issue number 6711;
 

__________ "The Reform of Corporate Criminal Liability" in John de Lacy, ed., The reform of United Kingdom company law, London/Portland (Oregon): Cavendish, 2002, xlvi, 503 p., at pp.  291-306,  ISBN: 1859416934; title of article noted in my research but article not consulted; no copy of this book in the Ottawa area libaries according to my verification of  Library and Archives Canada AMICUS catalogue (15 April 2004); for the contents of this book, see the Columbia University catalogue, PEGASUS, at http://pegasus.law.columbia.edu/;
 

WELLS, Celia, Derek Morgan and Oliver Quick, “Disasters: A challenge for the Law”, (1999-2000) 39 Washburn Law Journal 496-525; copy at Ottawa University, KFK 69 .W37  Location: FTX Periodicals;

"[Contents]

I. Introduction...496

II. Disasters: Definitions, Types, and Cause...497

III. Risk and Blame...503

IV. Sites of Legal Activism...508

A.  Public-Law Instruments...511
B.  Criminal Proceedings...513
C.  Tort Law...516

i.   Procedural Differences...517
ii.  Damages...519
iii. Post-traumatic Stress Disorder...522

V. Conclusion...525"  (p. 496)

WELSH, R.S., "The Criminal Liability of Corporations", (1946) 62 The Law Quarterly Review 345-365; copy at Ottawa University, KD 322 .L37  Location: FTX Periodicals;
 

WEMARËRE, Matthieu, HUGLO LEPAGE & Partners, "Background Information in National Legal Systems: Ireland", in HUGLO LEPAGE, Associés conseils, ed., Criminal Penalties in EU Member States’ environmental law, Final Report, 15 September 2003, 988 p., pp. 77-96, 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);

[Ireland]
Criminal offences by a body corporate.

Most recent statutory measures enacted for the protection of the environment contain very similar, if not standard, provision which states that “Where an offence under this Act is committed by a body corporate or by a person acting on behalf of a body corporate and is proved to have been so committed with the consent, connivance or approval of, or to have been facilitated by any neglect on the part of any director, manager, secretary or any other officer of such body, such person shall also be guilty of an offence” (Section 8 of EPA Act 1992, Section 9 of Waste Management Act 1996, Section 8 of the Dumping at Sea Art 1981).

Section 23 of the Local Government Water Pollution Act Amending the Act of 1997 contains a similar provision: '(subsection 1) Where an offence under the Principal Act or this Act has been committed by a body corporate and is proved to have been committed with the consent or connivance of or to be attributable to any neglect on the part of a person being a director, manager, secretary or other officer of that body corporate, or a person who was purporting to act in any such capacity, that person shall also be guilty of an offence and be liable to be  proceeded against and punished as if he were guilty of the first mentioned offence.  (Subsection 2) Where the affairs of a body corporate are managed by its members, subsection (1) shall apply in relation to the acts and defaults of a member in connection with his functions of management as if he were a director or manager of the body corporate'." (p. 80)
 

[Luxembourg]
"La responsabilité pénale est individuelle. Sont punis comme auteurs d'un crime ou d'un délit ceux qui l'auront exécuté ou qui auront coopéré directement à son exécution, ou encore ceux qui, par un fait quelconque, auront prêté pour l'exécution une aide telle que, sans leur assistance, le crime ou le délit n'eût pu être commis (article 66 du Code pénal).

En conséquence, la peine ne peut en principe être prononcée que contre une personne physique, auteur réel de l’infraction, pas contre une personne morale de droit public ou privé (Cour de cassation, 10 janvier 1948, P.14, 307). Si le droit pénal Luxembourgeois ne connaît pas la responsabilité pénale des personnes morales, la jurisprudence a aménagé le principe de la responsabilité individuelle, notamment lorsqu’il y a lieu de rechercher au cas par cas la ou les personnes physiques – organe ou préposé  – à l’intérieur de la personne morale qui, par omission ou commission, est la cause de l’état infractionnel. La Cour de Cassation Luxembourgeoise dans un arrêt 160/90 (du 22 octobre 1990, C.S.J.) s’est basée sur un arrêt de la Cour de Cassation française du 28 février 1956 (Dalloz 1956, page 391) pour attribuer la responsabilité des délits apparus à l’occasion du fonctionnement de l’entreprise à celui qui détient le pouvoir de décision." (p. 101)

WENHAM, David, Recent Cases, "Commentary: Recent developments in corporate homicide", (2000) 29(4) Industrial Law Journal 378-385; copy at Ottawa University,  KD 3002 .I527  Location: FTX Periodicals;

[Contents]

1. INTRODUCTION...378

2. CIRCUMSTANCES OF THE APPEAL...379

3. THE APPEAL...380

4. CORPORATE HOMICIDE BILL...381

"What Impediments are there to the Criminalisation of Corporate Misconduct?", (2000) 1 Scots Law Student Journal, 13 p., available at  http://www.scottishlaw.org.uk/journal/oct2000/anonccgess.pdf (accessed on 25 October 2003);
 

WHEELER, Stanton, and Dan M. Kahan,  "White-Collar Crime: History of an Idea", in Joshua Dressler, editor in Chief, Encyclopedia of Crime & Justice, 2nd ed., vol. 4, New Yor/Detroit/etc: MacMillan Reference USA, Gale Group/Thomson Learning, 2002, at pp. 1672-1677, bibliography at pp. 1676-1677, ISBN: 0028653238 (v. 4) and 002865319X (set of 4 volumes);

"Conclusion

    As this review suggest, the concept of white-collar crime is in a state of disarray.  Its evolution has been marked by changes in meaning that often preserve, rather than reduce, fundamental ambiguities.  The term still denotes crimes of high status to some, while to others it refers to either occupational or organizational illegality.  Some concentrate on the nature of the offense; others, on its consequences.  The offending conduct appears in a different guise when the enforcement perspective is examined, and analysts still cannot agree whether it should be regarded as criminal. ..." (pp. 1675-1676)
 

[Contents]

[Introduction]...1403

I. Design of the Inquiry...1406

II. RESULTS...1410

A. The Nature of the Illegality...1410
B. The Economic and Social Consequences of Illegality...1413
C. The Nature of the Defendants...1419
D. Sanctions and Legal Processing...1421

III. DISCUSSION AND CONCLUSION...1422

WHEELER, Stanton, David Weisburd, Elin Waring and Nancy Bode, "White Collar Crimes and Criminals", (1987-88) 25 American Criminal Law Review 331-357; copy at Ottawa University, KF 9202 .A425  Location: FTX Periodicals;

[Contents]

[INTRODUCTION]...331

I.  THE STUDY DESIGN...332

II. DIFFERENCES BETWEEN WHITE COLLAR AND
    COMMON CRIMES AND CRIMINALS...337

III.  ON THE DIVERSITY WITHIN WHITE COLLAR CRIME:
       THE HIERARCHY OF WHITE COLLAR OFFENDING...342

IV. DIVERSITY WITHIN STATUTORY CATEGORIES...347

V. GARDEN VARIETY WHITE COLLAR OFFENDING...349

VI. JOINING OF OFFENSE AND OFFENDER: THE ROLE
      OF STATUS AND PRESTIGE...351

VII. JOINING OFFENSE AND OFFENDER: THE ROLE OF AGE,
       RACE AND SEX...353

VIII. DISCUSSION...354

IX. CONCLUSION...356

WHEELER, Stanton, "White-Collar Crime: History of an Idea", in Sanford H. Kadish, editor in Chief, Encyclopedia of Crime and Justice, vol. 4, New Tork: The Free Press, 1983 at pp. 1652-1656, ISBN: 0029181100; 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]...1652
The evolution of white-collar crime...1652

The legacy of Sutherland...1652
From offender to offense...1653
From offense to organization and consequence...1654

White-collar crime from the enforcement perspective...1655
Conclusion...1655
Bibliography...1656

WHEELWRIGHT, Karen, "Corporate Liability for Workplace Deaths and Injuries -- Reflecting on Victoria's Laws in the Light of the Esso Longford Explosion", (2002) 7(2) Deakin Law Review 323-347; copy at the Library of the Supreme Court of Canada, Ottawa; available at http://www.lawbookco.com.au/academic/Corporate-Misconduct-ezine/pdf/Corporate%20Liability%20for%20Workplace%20DLRwheelwright.pdf (accessed on 16 December 2003); also published at  (March 2003) 1(1) Corporate Misconduct EZine; available at  http://www.lawbookco.com.au/academic/Corporate-Misconduct-ezine/pdf/Corporate%20Liability%20for%20Workplace%20DLRwheelwright.pdf (accessed on 6 March 2004); also available at  http://www.austlii.edu.au/au/journals.OLD/DLR/2002/16.html (accessed on 6 July 2004);

CONTENTS

I  Introduction...324

A The Longford Explosion...324

1  Immediate causes...324
2  'Real' Causes...325

II Legal Liabilities of Corporate Employers in Victoria for Injuries and Deaths of their Workers

A  The extent of workplace deaths and injuries and the role of the law...326

B The liabibility of companies under the OHS Act...328

1  The general duty...328
2  Criminal offence of strict liability...329
3 Penalties...330

C Esso's conviction under the OHS Act...330

D Prosecuting corporations under Victoria's criminal law...333

1  The attribution rule...334
2  Two Victorian prosecutions...334

III The Limitations of Current Law and Practice in Addressing Corporate Liability for Deaths and Serious Injuries in the Workplace...335

A OHS law and practice

1  Are offences against the OHS Act perceived as serious crimes?
2. Enforcement and prosecutions...337
3 Penalties...338

B Criminal law and practice...338

1 What are the shortcomings of the attribution doctrine...339

IV The Victorian Model for Corporate Offences for Workplace Deaths and Injuries...340

A  Criminal Code Act 1995

B  The Victorian Model...342

1 What is negligence?...342
2 Evidence of negligence...343
3 Determining corporate conduct -- individual conduct and 'corporate' conduct...343
4 Penalties...344
5 Individual officer liability...346

V Conclusion...346

___________"Prosecuting corporations and officers for industrial manslaughter -- recent Australian developments", (August 2004) 32(4) Australian Business Law Review 239-253; copy at Ottawa University, KTA 0.A96, location: FTX Periodicals;

[Contents]

Abstract...239

INTRODUCTION...239

DEATHS AND SERIOUS INJURIES AT WORK -- THE LEGAL CONTEXT...240
- The problem of workplace fatalities and OHS regulation...240
- OHS regulation and workplace fatalities...241
- The criminal law approach...242
- Responding to the problem of workplace fatalities...242

THE CRIMES (INDUSTRIAL MANSLAUGHTER) ACT 2003 (ACT)
- Overview...243
- The employer offence...243

- 'Employer' and 'worker' definitions...244
- Meaning of 'recklessness' and 'negligence'...244

- Prosecuting corporate employers under s 49C...244
- The 'senior officer' offence...245

- Who is a 'senior officer' for the purpose of the new offence?...246

- Penalties...246

- Fines for corporations...246
- Other penalty orders for corporations...247
- Penalties -- natural persons...247

DEVELOPMENTS IN OTHER AUSTRALIAN JURISDICTIONS...248
- Victoria...248
- New South Wales...249
- Queensland...249
- Western Australia...250
- Commonwealth...251

CONCLUSIONS...251

WICKINS, R.J. and  C.A. Ong, "Confusion Worse Confounded: The End of the Directing Mind Theory", [1997] The Journal of Business Law 524-556; copy at Ottawa University, KD 1622 .J653  Location: FTX Periodicals;

[Abstract]

"This article traces the origins of the directing mind theory and examines the sources for the proposition that the theory is a general rule for determining corporate liability for civil and criminal wrongs committed by agents and servants.  The article further analyses the implications of recent decisions of the Court of Appeal, the House of Lords and the Privy Council, and argues that the theory has fallen into disfavour.  Its relevance may now be strictly confined to issues of statutory interpretaion in regard to isolated pieces of legislation." (p. 524)

WIENER, Imre, "Outline to the General Report for the Socialist Countries", (1983) 54(1-2) Revue internationale de droit pénal / International Review of Penal Law 65-74, see pp. 72-73 (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^eCongrès 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;
 

WILKINS, William W., "Sentencing Guidelines for Organizational Defendants", (1990) 3 Federal Sentencing Reporter 118; 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 Libarry and Archives Canada, Ottawa (28 May 2004);
 

WILKINSON, Meaghan, "Corporate Criminal Liability: The Move Towards Recognising Genuine Corporate Fault", (2003) 9(1) The Canterbury Law Review 142-178; not at Ottawa University; copy at the Library of the Supreme Court of Canada;

[Contents]

I. INTRODUCTION...142

II. HISTORICAL DEVELOPMENT...143

III. CORPORATE CRIMINAL LIABILITY...148

The Derivate Models...148

Vicarious Liability (respondeat superior)...149

The Identification Approach...151

Early Development...151
The 'Directing Mind and Will'...152
Attribution Liability...154

An Alternative Route...158

Criticisms -- A Summary...160

IV. THE SEARCH FOR THE INDIVIDUAL -- PRACTICAL
      PROBLEMS

The Rule Against Aggregation...161

V. THE CORPORATION AS A 'DING AN SICH'...164

VI. HOLISTIC THEORIES...167

Specific Offences...167

- Corporate Manslaughter -- United Kingdom Draft
    Proposals...167
- Corporate Manslaughter -- States of Australia...170

Reactive Fault...171

Part 2.5 of the Australian Criminal Code...173

VII.  ALL QUIET ON THE NEW ZEALAND FRONT...176

VIII. CONCLUSION...177

WILKITZKI, Peter, "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. 135-139 (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);
 

WILLIAMS, Bradley L. and Kirk J. Kavanaugh, "Compliance Programs and the Federal Organizational Sentencing Guidelines", (1993) 36 Res Gestae 558; published by the Indiana State Bar Association; 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 (1 January 2005);
 

WILLIAMS, Glanville, Criminal Law: The General Part, 2nd ed., London: Stevens and Sons, 1961, liv, 929 p., see Chapter 22, "Corporations" at pp. 853-870;

[Contents]

CHAPTER 22
CORPORATIONS

278.  Former procedural difficulties...853
279.  Former substantial difficulties...854
280.  Examination of the alter ego doctrine...857
281.  Crimes for which a corporation can be convicted...859
282.  Public corporations...862
283.  The social policy of corporate responsibility...862
284.  Responsibility of officers and members...865
285.  Corporations as prosecutors...870

___________Textbook of Criminal Law, 2nd ed., London: Stevens & Sons, 1983, xlv, 1007 p., ISBN: 0420468501 and 0420468609 (pbk.), see Chapter 44, "Corporations: Exceptions to Strict Liability", at pp. 969-987;

[Contents]

CHAPTER 44
CORPORATIONS; EXCEPTIONS TO STRICT LIABILITY

§ 44.1  CORPORATIONS...969
§ 44.2  IDENTIFICATION...970
§ 44.3  THE POLICY OF CORPORATE LIABILITY...974
§ 44.4  AN EMPLOYERS AND IDENTIFICATION...977
§ 44.5  THE DEFENCE OF NO NEGLIGENCE...978
§ 44.6  BLAMING A THIRD PERSON...980
§ 44.7  PROSECUTORIAL DISCRETION...985
SUMMARY...986

WILLISTON, Samuel, "History of the Law of Business Corporations Before 1800", (1888-89) 2 Harvard Law Review 105-124 and 149-166;

"It has often been questioned whether a corporation could commit a tort or crime.  The better opinion in the Roman law seems to have been that the question should be answered in the negative, at least whenever dolus or culpa was necessary to make the act under consideration wrongful.¹   In England, however, it was very early held that corporations might be liable in actions on the case or in trespass,² and afterwards in trover.³  But it is not likely that a corporate body would have been held liable for any tort of which actual malice or dolus was an essential part.  Similarly it was held that a corporation could not be guilty of a true crime,⁴ that is, it could not have a criminal intent, but it could be indicted for a nuisance or for breach of a prescriptive or statutory duty, and, in general, where only the remedy was criminal in its nature.⁵  ...
-----------
    ¹Savigny, System, §§ 94, 95.
    ²See Grant on Corp. 277, 278, and notes, in which are cited many cases from the Year Books.
    ³Yarborough v. Bank of England, 16 East, 6.
    ⁴Anon., 12 Mod. 559; that it cannot commit treason see Vin. Abr., Corpor. Z, pl. 2.
    ⁵Grant on Corp. 283, 284." (pp. 123-124)

WINN, C.R.N., "The criminal responsibility of corporations", (1927-29) 3 Cambridge Law Journal 398-415; copy at Ottawa University, KD 322 .C329  Location:  FTX Periodicals;
 

WISE, E.M., "Criminal Liability of Corporations -- USA",  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. 383-401, ISBN: 9041101659; titre noté dans mes recherches; article non consulté; aucune copie de ce livre dans les bibliothèques de la région d'Ottawa selon ma vérification du catalogue AMICUS de Bibliothèque et Archives Canada (30 janvier 2004);
 

WOLF, Martin, "On the Nature of Legal Persons", (1938) 54 The Law Quarterly Review 494-521; copy at Ottawa University, KD 322 .L37  Location: FTX Periodicals; copy at the Library of the Supreme Court of Canada, Ottawa;

 
"No single doctrine on the nature of the juristic person can be said to predominate. ...

First: the so-called Fiction  Theory.  According to this, only human beings can be persons, foundations are not persons, and therefore subjects of rights.  Corporations, States, foundations are not persons, but they are treated as if they were.  In contrast to human beings, who are by nature capable of having rights, corporations and foundations are endowed with this capacity by the law.  This theory which we find in numerous divergent forms since Pope Innocent IV (1245), will be discussed in detail below.

The second theory, set up by E.I. Bekker, Aloys Brinz and Demelius declares that a so-called juristic person is no person at all, but is 'subjectless property destined for a particular purpose' (' subjectloles Zweckvermögen '), that there is ownership but no owner. ...

A third theory, set up by  Jhering and developed particularly by the Marquis de Vareilles-Sommières, looks on the members of corporations and on the beneficiaries of foundations as the true subjects of the rights of the legal person. ...

More widely accepted than Jhering's theory is the fourth, the organism doctrine.  According to this, a legal person is a real personality in an extra-juridical, pre-juridical sense of the word.  In contra-distinction to the others, this theory assumes that the subjects of rights need not be human beings, that every being which possesses a will and a life of its own may be the subject of rights and that States, corporations, foundations are beings just as alive and just as capable of having a will as are human beings.  They are-- so it says-social organisms just as humans are physical organisms.  Their will (' common will ') is different from the will of the members of the corporation or from the will of the founder.  Their actions are their own, not carried out by agents or representatives like those of incapables (infants, lunatics), but in the same way as those of normal adults." (pp. 496-498, notes omitted)

WOLF, Susan, "The Legal and Moral Responsibility of Organizations",  in James Rolland Pennock, 1906-, and J.W. Chapman, eds., Criminal Justice, New York, 1985, xiii, 372 p., at pp. 267-286 (series; Nomos; vol. 27), ISBN: 0814765882; copy at Ottawa University, MRT General: K 5018 .A3 1985;
 

WOLTRING, Herman F., "Director UNICRI [Expert Panel: Environmental Protection Through Criminal Law: Limits of Individual Responsibility -- Potentials of Collective Liability]", in Günter Heine, Mohan Prabhu, Anna Alvazzi del Frate, Environmental Protection - Potentials and Limits of Criminal Justice Evaluation of Legal Structures Freiburg im Breigau, Germany: Edition iuscrim; Rome: UNICRI, c1997, x, 530 p., at pp. 506-508, (series; Publication (United Nations Interregional Crime and Justice Research Institute; number 56), ISBN: 3861139588 (Edition Iuscrim) and 9290780320 (UNICRI); copy at Solicitor General Canada, Ministry Library and Reference Centre/Solliciteur général Canada, Bibliothèque ministérielle et centre de référence call number: K 3484.6 E5 1997; available at  http://www.iuscrim.mpg.de/verlag/online/Band_S68/16_expert.pdf (accessed on 28 May 2004);
 

WONG, Darlene, "Stigma: A More Efficient Alternative to Fines in Deterring Corporate Misconduct", (October 2000) 3 California Criminal Law Review; available at  http://www.boalt.org/CCLR/v3/v3wong.PDF (accessed on 23 May 2004);
 

WOOLF, Tahnee, "The Criminal Code Act 1995 (Cth) -- Towards a Realist Vision of Corporate Criminal Liability", (1997) 21 Criminal Law Journal 257-272; copy at Ottawa University, KTA 0 .C735  Location: FTX Periodicals;

"[Abstract]

Part 2.5 of the Criminal Code Act 1995 (Cth) is a recent attempt by the Australian legislature to create a regime of corporate criminal liability based on genuine corporate fault.  This article explains how the Act departs from traditional 'nominalist' conceptions of corporations, recognising that corporations are each unique entities which can be morally culpable at an organisational level.  The author explores the conceptual and practical implications of the Act's use of corporate culture and collective negligence as tests of direct corporate liability.  Whilst the bold approach of the legislation is applauded, the article exposed important drafting flaws and contradictions in the provisions and suggests necessary modifications." (p. 257)

WRAGG, Sheryl, Comment, "Corporate Homicide: Will Michigan Follow suit?", (1984-85) 62 University of Detroit Law Review 65-85; copy at the Library of the Supreme Court of Canada;

[CONTENTS]

I. INTRODUCTION...61

II. BACKGROUND...67

A. The Early Cases...67

1. Statutory definitions of manslaughter...67
2. Common-law definitions of manslaughter...70

B. Recent Cases...71

1. Statutory definitions of manslaughter...71
2. Common-law definitions of manslaughter...72

C. Analysis of Decisions...75

1. Analysis of judicial decisions in jurisdictions using a
    statutory manslaughter definition...76
2. Analysis of judicial decisions in jurisdictions using a
    common-law manslaughter definition...76

D. Summary of Courts' Analyses...77

III.  THE PURPOSE OF CRIMINAL LAW...77

IV. RESPONSE TO ADVOCATES OF CORPORATE LIABILITY FOR HOMICIDE...79

A. Traditional Civil Actions...79
B. Impossibility of Corporate Humiliation...80
C. Stigmatization...81
D. The Identity Problem...82

V. CORPORATE LIABILITY FOR HOMICIDE IN MICHIGAN...83

VI. CONCLUSION...85
 

[CONTENTS]

[INTRODUCTION]...2017

I. TWO MODELS INFLUENCING CORPORATE PROBATION...2019

II. THE EVOLUTION OF CORPORATE PROBATION...2022

A. Corporate Probation Before the Sentencing Reform Act of 1984...2022
B. The Sentencing Reform Act of 1984...2023
C. The New Organizational Sentencing Guidelines...2026

III.  ASSESSING PROBATION UNDER THE NEW GUIDELINES...2029

A. Promotion of the Sentencing Reform Act's Stated Purposes...2030

1. "Just Punishment"...2030
2. Deterrence...2032
3. Incapacitation...2033
4. Rehabilitation...2034
5. Determinacy...2035
6. Restitution...2037

B. Juxtaposition with Administrative and Civil Enforcement Mechanisms...2038

IV. LIMITING CORPORATE PROBATION: AMENDING THE GUIDELINES...2039

V. CONCLUSION...2042

WULF, M. de, "L'individu et le groupe dans la scolastique du XIII^e siècle", (1920) 22 Revue néo-scolatique de philosophie 341-347; copy at St-Paul University, Periodicals, B2 R55 1910; note: "Extrait d'un recueil de Vanuxem lectures faites à l'Université de Princeton en avril 1920.  L'ouvrage paraîtra sous le titre: Civilisation and Philosophy in the 13^th century" (p. 341);
 

WYANT, Christopher, "Executive Certification Requirements in the Sarbanes-Oxley Act of 2002: A Case for Criminalizing Executive Recklessness", (2003) 27(2) Seattle University Law Review 561-584; no copy of this periodical in the Ottawa area libraries covered by the AMICUS catalogue of Library and Archives Canada catalogue; not consulted; see article excerpt at http://www.law.seattleu.edu/lawrev/vol27/272/wyant.html (accessed on 27 June 2004);
 

WYNGAERT, C. van den  and G. Stessens, "The implementation of the Corpus Juris 1997 in the Member States: National Report Belgium /  La mise en oeuvre du Corpus Juris 1997 dans les États Membres: Rapport national -- Belgique" 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. 75-220, 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;
 

YAMAGUCHI, Atsushi, "Japon/Japan", (2003) 74(1-2) Revue internationale de droit pénal/International Review of Penal Law 337-350; 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);

"Sanctions for Legal Persons

Legal persons are subject to punishment only when there are special provisions for dual punishment penalizing not only executives or employees of legal persons but also legal persons themselves.  Only criminal fine can be imposed on legal persons.  There are no provisions for dual punishment for the offences of bribery with the exception of the offence of giving bribery to foreign public oficials provided for in the Unfair Competition Prevention Law where legal persons can be punished with a fine of not more than 300 million yen (Art. 15, Unfair Competition Prevention Law).

Moreover, companies giving bribe to public officials can be excluded from the tendering procedures by national or local governments.  This measure can be regarded as equivalent to a sanction." (p. 344)
 

[Contents]

[Introduction]...143

Danwei (Unit) Crime...146
Faren (Legal Person) Liability...151
Gongsi (Company) as Independent Offender...155
The Corporate Mind and the State...158

Conclusion...164
 

[CONTENTS]

INTRODUCTION...93

Notes on Definitions...95

CAUSES: PROFITS AND ETHICS...96

Corporate Culture and Illegal Behavior...99

CONDITIONS: ORGANIZATIONS AND THEIR ENVIRONMENTS...104

Relations Between Organizations and Environments...104

Organizational Structure and Processes...109

FINAL NOTES ON FUTURE RESEARCH...112]

NOTES...114

REFERENCES...115

YODER, Stephen A., Comments, "Criminal Sanctions for Corporate Illegality", (1978) 69 Journal of Criminal Law and Criminology 40-58;

[CONTENTS]

[INTRODUCTION]...40

THE PROBLEM OF MORAL NEUTRALITY...41

THE PURPOSE OF THE CRIMINAL SANCTION...44

THE EFFECTIVENESS OF EXISTING CRIMINAL
    SANCTIONS...47

- Sanctions Directed Against the Corporation...47
- Sanctions Directed Against the Individual...48

PROPOSALS FOR REFORM...50

- Sanctions Directed Against the Corporation...51

- Fines...51
- Formal Publicity...52
- Corporate Rehabilitation...53
- Corporate Quarantine...54
- Liberal Construction of Existing Statutes and
   Regulations...54

- Sanctions Aimed at the Individual...55

- Individual Fines...55
- Imprisonment...56
- Disqualification...56
- Behaviorial Sanctions...57

 CONCLUSION...57

ZAGROCKI, Eric J., Comment, "Federal Sentencing Guidelines: The Key to Corporate Integrity or Death Blow to Any Corporation Guilty of Misconduct?", (1991-92) 30 Duquesne Law Review 331-351; copy at Ottawa University, KFP 69 .D87  Location: FTX Periodicals; copy at the Suprme Court of Canada, Ottawa;

[CONTENTS]

[INTRODUCTION]...331

PENALTIES IMPOSED UNDER THE GUIDELINES...334

CORPORATE COMPLIANCE PROGRAMS...338

ADDITIONAL INCENTIVES UNDER THE GUIDELINES...342

DESIREABILITY AND POTENTIAL INADEQUACY...346

CONCLUSION...350
 

ZARIN, Don, 1949-, Doing business under the Foreign Corrupt Practices Act, New York City : Practising Law Institute, c1995-, 1 v. (loose-leaf) (series; Practising  Law Institute's corporate and securities law), ISBN:  0872240878; note: "B1-1347"; title noted in my research but document not consulted; no copy of this book in the librairies covered by the catalogue of Library and Archives Canada, AMICUS (verification of 15 June 2004);
 

ZARKY, Alan, Defending the corporation in criminal prosecutions : a legal and practical guide to the responsible corporate officer and collective knowledge doctrines, Washington, D.C. : Bureau of National Affairs, c1990, 1 v. (various pagings) (series; BNA special report), ISBN: 1558711805; no copy of this book in the Ottawa area Libraries covered by the catalogue of the Library and Archives Canada, AMICUS (verification of 14 June 2004);
 

ZUROWSKI, Marian, "Penal responsibility of organized communities in the writing of the decretalists: A study in evolution", in Stephan Kuttner, 1907-1996 and Kenneth Pennington, 1941-, eds., Proceedings of the Sixth International Congress of Medieval Canon Law, Berkeley, California, 28 July-2 August 1980, Città del Vaticano : Biblioteca apostolica vaticana, 1985, xxix, 665 p., at pp. 519-531 (series; Monumenta iuris canonici; volume 7), ISBN: 8821005704; copy at St Paul University, Ottawa, BQV 104 I58M63 1965- 7; important contribution;

    "The capacity of an organized community to commit a delict is denied by some of the decretalists.  They reason this way: no delict can be committed without intelligent and free deliberation.  But intelligence and freedom belong to individuals, hence no community can commit a delict.  The root of their difficulty was in the classical definition of 'person' as 'naturae rationalis individua substantia', a definition commonly held by medieval theologians and philosophers.  They took this definition too literally, and they concluded that an organized community 'non potest proprie delinquere'.

    But the old tradition was different.  The Decretists such as Rufinus, Huguccio, Damasus, the Glossa ordinaria as Decretum, and Raymundus de Pennaforte etc. held that an organized community could commit a delict.  To this statement they added reasoned arguments.  For instance, they said that an organized community is liable for decision taken collegially, for carelessness or neglect, for authorizing a criminal act, or for ratifying one." (pp. 527-528; 7 notes omitted)

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