Made available in DSpace on 2015-05-07T14:27:28Z (GMT). No. of bitstreams: 1 arquivototal.pdf: 1433100 bytes, checksum: 8ee73d598981780af8f916c529193f0d (MD5) Previous issue date: 2013-10-14 / Coordenação de Aperfeiçoamento de Pessoal de Nível Superior - CAPES / This doctoral thesis deals with the question of labour regulation in a social structure characterised by postmodern mitigation of statehood. Analyzing private instruments of labour regulation, it was identified as the thesis s problem the procedures in which such documents may be inserted in Brazilian legal system. In confronting the defined problem, it was demonstrated the feasibility of embedding these structures of private regulation through a procedure analogous to the reception of international treaties on human rights as a supralegal status. By applying the deductive method, the thesis was built upon confronting the structure of postmodern social environment with its characteristic contingency, to the feasibility coexistence of private regulation instruments in the Brazilian legal framework. Alongside clearly outlining the main features of the postmodern society, it was analyzed how strongly Westphalian parameters were influenced by transversality, fragmentation and presence of private and quasi-private actors. From the evaluation of the relationship between national and international regulatory frameworks, it was concluded that the postmodern social structure bequeathed several non-linear movements between these two normative standards, which cannot be separate as isolated compartments. This change in the structure of the private relations regulations also showed significant effects on the regulation of social issues. Given the characteristics of postmodern society, this subject showed incipient, rhetorical and ideological responses, respectively from supranational and integration law, corporations codes of conduct and global unions. After having observed the inadequacy of orthodox responses, it became imperative to build a conceptual private framework able to be assimilated by domestic law. Accordingly, from the observation of the congruent characteristics of these various regulatory manifestations, it is possible to identify the transnational collective agreement concept as the agreement related to private or quasiprivate actors, designed to regulate social issues in a transnational environment. The transnational collective agreement, as conceptual category recognized, demands the identification of assumptions and requirements suitable to enable their assimilation before the Brazilian legal system. Using, as reference, the postulates about the assimilation of international law in the Brazilian domestic law, and especially the construction of the supralegalidade concept about international treaties on human rights (CF, art. 5th, §§ 2nd and 3rd), it is possible to identify benchmarks reception of labour transnational collective agreement. Being recognized the domestic erga omnes effects of collective bargaining agreements, produced by the private action of unions, identical treatment may be given to labour transnational collective agreement. Just as it operates in relation to the internal instruments of collective bargaining, transnational collective agreements must be assimilated from the observance of in abstracto and in concreto requirements, especially regarding a broader and more effective labour protection. / A presente tese de doutoramento trata da questão relativa à regulação do trabalho em um ambiente pós-moderno marcado pela mitigação da estatalidade. Analisando os instrumentos privados de normatização das relações de trabalho, identificou-se, como problema a ser enfrentado, a forma pela qual tais documentos podem ser recepcionados pela ordem jurídica brasileira. A abordagem do problema delimitado demonstrou a viabilidade da inserção dessas estruturas de regulação privada por intermédio de um procedimento análogo ao de recepção dos tratados internacionais sobre direitos humanos, enquanto norma supralegal. Por meio da aplicação do método dedutivo, a tese foi construída a partir do enfrentamento da estrutura do ambiente social pós-moderno, com suas características marcadas pela contingência, até chegar à viabilidade de convivência dos instrumentos privados de regulação na estrutura jurídica brasileira. Mediante a explicitação das principais características da sociedade pós-moderna, analisou-se como a matriz vestefaliana foi fortemente influenciada pela transversalidade, fragmentação e presença de atores privados e quase-privados. A partir da avaliação da forma de relacionamento das estruturas normativas nacionais e internacionais, concluiu-se que a sociedade pós-moderna legou uma série de movimentos não lineares entre as duas realidades normativas, não sendo possível separá-las por meio de compartimentos isolados. Essa mudança na composição dos regulamentos das relações privadas também apresentou reflexos importantes na regulamentação das questões sociais. Diante das características da sociedade pósmoderna, essa temática apresentou respostas incipientes, retóricas e ideológicas, respectivamente, do direito comunitário e da integração; das corporações, por meio dos códigos de conduta; e das entidades sindicais de atuação global. Constatada a inadequação das respostas ortodoxas, tornou-se imperiosa a construção conceitual de uma estrutura privada capaz de ser assimilada pelo direito nacional. Nesse sentido, a partir da observação das características congruentes dessas diversas manifestações regulatórias, identifica-se, conceitualmente, o contrato coletivo transnacional, como sendo o acordo de vontades, envolvendo atores privados ou quase-privados, destinados a regular questões sociais em um ambiente transnacional. O contrato coletivo transnacional, enquanto categoria conceitual reconhecida neste trabalho, demanda a identificação de pressupostos e requisitos aptos a permitir sua assimilação perante a ordem jurídica brasileira. Tomando como referenciais os postulados acerca da assimilação do direito internacional no direito interno brasileiro e, principalmente, a construção do conceito de supralegalidade dos tratados internacionais sobre direitos humanos (CF, art. 5º, §§ 2º e 3º), é possível identificar referenciais de recepção do contrato coletivo transnacional. Sendo reconhecido, no plano interno, o caráter erga omnes dos acordos e convenções coletivas, produzidos pela atuação privada dos sindicatos, idêntico tratamento pode ser conferido aos contratos coletivos transnacionais. Da mesma forma como se opera em relação aos instrumentos de negociação coletiva interna, os contratos coletivos transnacionais devem ser assimilados a partir da observância de requisitos a priori e in concreto, especialmente quanto ao oferecimento de uma proteção laboral mais ampla e efetiva aos trabalhadores.

This paper studies the impact that the social responsibility commitments of multinational companies are can have in the settlement of labor disputes that arise in its supply chain through a landmark case that occurred in Peru. There, the en masse dismissal of union members and their representatives by the textiles company Topy Top was resolved through the intervention of two international brands that were clients of that company. This intervention not only enabled the reinstatement of the workers, but also generated a series of instruments designed to develop a mature system of industrial relations. Through an analysis of the agreements and instruments adopted and the way the relationship between the company and the union developed thereafter, we evaluate the role that multinational companies can assume to ensure the compliance of fundamental labor rights. / El presente trabajo estudia la incidencia que son capaces de tener los compromisos de responsabilidad social de las empresas multinacionales en la solución de conflictos laborales suscitados en sus cadenas de producción, a través de un caso emblemático que se produjo en el Perú, como consecuencia del cese masivo de representantes y afiliados sindicales por parte de la empresa Topy Top, que se solucionó a través de la intervención de dos marcas internacionales que eran clientes de dicha empresa. Esa intervención no solamente permitió la reposición de los trabajadores, sino que generó una serie de instrumentos que tenían por objeto desarrollar un sistema de relaciones industriales maduro. A través del análisis de los acuerdos e instrumentos adoptados y la forma cómo se desarrollaron las relaciones entre la empresa y el sindicato posteriormente, se evalúa el rol de garantía del cumplimiento de derechos laborales fundamentales que pueden asumir las empresas multinacionales.

South African company law is currently the object of comprehensive review. One o f the areas under scrutiny is that of corporate governance. Control over management is vital in the interests of the company itself, its shareholders and its creditors. Effective accountability should be balanced against the need to allow those who manage a certain measure of freedom and discretion in the exercise of their function. Company directors are subject to various duties. This thesis concentrates on their fiduciary obligation. It is suggested that this sui generis obligation is owed to the company as a separate entity. Interests of other groups may sometimes merit con­ sideration. Against the background o f a com parative investigation, a "corporate opportunity" is defined as any property or economic opportunity to which the com­ pany has a claim. South African law protects a company’s claim to an opportunity if it is in the company’s line of business and if the company has justifiably been relying upon the director(s) to acquire it or to assist in its acquisition for the company. The application of established fiduciary principles suffice to resolve corporate opportunity matters. Essentially the application o f these rules amount to a determination whether the director has complied with his fundamental duty to act in the company’s best interests. There seems to be no need for a separate doctrine of corporate opportunities.' A director should only be absolved from liability on account of the company’s inability to pursue an opportunity or its rejection by the company if there was no real conflict of interest. The appropriation of corporate opportunities should not be ratifiable, both because the ratification constitutes a fraud on the minority, and because the decision to ratify cannot be regarded as being in the interests of the company. The relationship between the appropriation of corporate opportunities, misuse of confidential information and competition is investigated. These aspects fre­ quently overlap, but should be distinguished because their bases, and accordingly their appropriate remedies, may differ. Effective control may benefit by a restatement of directors’ fiduciary duties in the Companies Act. To this end certain amendments to the Act are recommended. / Mercantile Law / LLD

Avec la globalisation de l’économie, l’entreprise traditionnelle est devenue un réseau global de producteurs liés par des contrats. À la suite de certains abus commis par les entreprises multinationales, notamment en ce qui concerne les droits fondamentaux des travailleurs, les entreprises et la société civile ont développé des mécanismes de régulation privés dont les codes de conduite privés. La présente étude cherche à déterminer quels pouvaient être les véritables destinataires des codes de conduite : les travailleurs du pays d’origine de l’entreprise (généralement situés dans un pays développé) ou les travailleurs des pays de production (généralement situés dans des pays en développement). À cette fin, le mémoire compare le contenu des codes de conduite de Nike, de Gap et de Levi-Strauss sur ce sujet avec les observations de l’Organisation internationale du travail pour les travailleurs des États-Unis, de l’Inde et du Bangladesh. Certains écarts entre les protections accordées par les codes et les besoins des travailleurs sont ainsi identifiés. Dans la dernière partie du mémoire, la question d’étude est élargie afin d’examiner si les codes ne seraient pas destinés à des personnes autres que les travailleurs, soient les consommateurs, les actionnaires ou l’entreprise elle-même. / The globalised economy has transformed the traditional corporation into a worldwide network of producers connected by contracts. In light of certain abuses committed by multinational corporations, corporations and civil society have developed regulatory mechanisms including private codes of conduct. The purpose of this study is to determine for which workers the codes of conduct were developed: the workers of the country of origin of the corporation (generally located in developed countries) or the workers of the countries of production (generally located in developing countries). By comparing the content of the codes of conduct of Nike, Gap and Levi-Strauss regarding freedom of association with the observations of the International Labour Organisation for the United-States, India and Bangladesh, we identified a certain number of gaps between the content of the codes and the needs of the workers. In the last part of the study, we widened our research question to determine whether or not the codes might be destined to people other than the workers, namely consumers, shareholders or the corporation itself.

L’influence des multinationales pétrolières dans la société contemporaine est devenue un élément central de la problématique relative aux droits de l’homme et au développement durable. Elles sont maintenant très nombreuses à opérer dans le secteur public et privé avec des stratégies et objectifs particulièrement divers. Grâce à des budgets conséquents, et une technologie complexe et avant-gardiste, elles sont responsables de l’exploration, de la production, du raffinage et de la distribution du pétrole brut. Cela dit, dans le but de pointer du doigt les déséquilibres importants dans les relations entre l’industrie pétrolière et les pays en développement, la commission mondiale sur l’environnement et le développement a très tôt mis en avant le terme de « développement durable », se caractérisant par un « développement qui répond aux besoins du présent sans compromettre la capacité des générations futures à répondre aux leurs ». Le secteur pétrolier et gazier est déjà depuis un certain temps un leader en matière de responsabilité sociale. Les compagnies pétrolières attachent de plus en plus d’importance à leur impact économique, social et environnemental et elles font aussi de plus en plus attention à leur image. En plus d’autres éléments, ce phénomène se démontre par l’extraordinaire augmentation des codes de conduite et par des initiatives relatives à la responsabilité sociale comme le « global compact » de Kofi Annan. Cela dit, l’efficacité de ces initiatives est souvent remise en question et il existe un certain nombre de preuves attestant du fossé existant entre les déclarations de principes et le véritable comportement des acteurs sur le terrain. Toute la question est donc de savoir si une conciliation est possible. Mots- / The influence of Multinational oil corporations in contemporary society is becoming an increasingly central element of human rights and sustainable development problematic. There are now many MNOCs operating in both private and public sectors with remarkably diverse objectives and strategies. Thanks to large budgets and complex advanced technology, they are responsible for exploration, production, refining and crude oil distribution. In order to address the imbalance between industrial oil and lessdeveloped countries, the world commission on environment and development has early pointed up the term « sustainable development » which is « that meets the needs of the present without compromising the ability of future generations to meet their own needs ». As a result, the oil and gas sector has been among the leading industries in championing Corporate Social Responsibility a while ago. Oil companies attach greater importance to their economical, social and environmental impact and they also pay more and more attention to their image. Among other things, this phenomenon is demonstrated by the extraordinary growth in corporate codes of conduct and CSR initiatives such as Kofi Annan’s Global Compact. However, the effectiveness of these initiatives has been regularly questioned and there is a mounting evidence of a gap between the statements of principles and the real actor’s behaviour on the field. Finally, is a conciliation possible?

Dans quelle mesure le renouvellement des sources du droit des affaires influe-t-il sur son évolution ? Telle est la question à laquelle cette étude s’efforce de répondre. L’intérêt d’examiner une telle question se pose aujourd’hui comme une nécessité pour deux raisons principales. La première est que ce domaine du droit est marqué par un foisonnement normatif sans précédent. Effectivement, outre l’émergence de nouvelles sources dans cette branche du droit, on assiste parallèlement à la mutation de ses sources traditionnelles que sont : la loi, la jurisprudence et les usages. Parmi les nouvelles sources, un grand nombre relève du droit souple. La thèse démontre comment celles-ci peuvent être admises au Panthéon des sources de la vie des affaires. La deuxième tient à la mondialisation, qui exacerbe la concurrence entre systèmes juridiques au « sein et en dehors de l’Union européenne ». Dans ce contexte, il est important de vérifier si le renouveau des sources du droit des affaires français favorise ou handicape sa compétitivité. En conséquence, la codification du droit des affaires, son attractivité, son assise épistémologique sont examinées sous le prisme du renouveau des sources de ce domaine du droit. La recherche montre, un droit des affaires renouvelé par ses sources, car celles-ci le rendent plus flexible, l’unifie et renforce son assise épistémologique. Mais ce renouveau doit aussitôt être relativisé, car il génère corrélativement aux avancées qui viennent d’être évoquées de l’insécurité juridique dans la vie des affaires.L’étude propose une approche renouvelée des sources du droit des affaires, et suggère une nouvelle définition du concept de source formelle. Elle ambitionne ainsi de contribuer à l’évolution de la théorie générale des sources du droit. / To what extent does the renewal of business law sources influence its development? This is the question this study seeks to answer. The need to address such an issue arises today as a necessity for two main reasons. The first is that this area of law is marked by an unprecedented proliferation of standards. Indeed, in addition to the emergence of new sources in this branch of law, we are witnessing a parallel shift in its traditional sources: law, jurisprudence and practices. Many of the new sources are soft law. This thesis demonstrates how they can be admitted to the pantheon of the sources of the business world. The second is globalization, which exacerbates competition between legal systems "within and outside the European Union". In this context, it is important to verify whether the renewal of the sources of French business law favours or hinders its competitiveness. Consequently, the codification of business law, its attractiveness and its epistemological basis are examined from the perspective of the renewal of the sources of this field of law. Research shows that business law is renewed by its sources, because they make it more flexible, unify it and strengthen its epistemological basis. This renewal must however be put into perspective as it generates legal uncertainty in business world as a consequence of the aforementioned developments.The study proposes a renewed approach to the sources of business law, and suggests a new definition of the concept of formal source. In this way, it aims to contribute to the evolution of the general theory of the sources of law.

L’influence des multinationales pétrolières dans la société contemporaine est devenue un élément central de la problématique relative aux droits de l’homme et au développement durable. Elles sont maintenant très nombreuses à opérer dans le secteur public et privé avec des stratégies et objectifs particulièrement divers. Grâce à des budgets conséquents, et une technologie complexe et avant-gardiste, elles sont responsables de l’exploration, de la production, du raffinage et de la distribution du pétrole brut. Cela dit, dans le but de pointer du doigt les déséquilibres importants dans les relations entre l’industrie pétrolière et les pays en développement, la commission mondiale sur l’environnement et le développement a très tôt mis en avant le terme de « développement durable », se caractérisant par un « développement qui répond aux besoins du présent sans compromettre la capacité des générations futures à répondre aux leurs ». Le secteur pétrolier et gazier est déjà depuis un certain temps un leader en matière de responsabilité sociale. Les compagnies pétrolières attachent de plus en plus d’importance à leur impact économique, social et environnemental et elles font aussi de plus en plus attention à leur image. En plus d’autres éléments, ce phénomène se démontre par l’extraordinaire augmentation des codes de conduite et par des initiatives relatives à la responsabilité sociale comme le « global compact » de Kofi Annan. Cela dit, l’efficacité de ces initiatives est souvent remise en question et il existe un certain nombre de preuves attestant du fossé existant entre les déclarations de principes et le véritable comportement des acteurs sur le terrain. Toute la question est donc de savoir si une conciliation est possible. Mots- / The influence of Multinational oil corporations in contemporary society is becoming an increasingly central element of human rights and sustainable development problematic. There are now many MNOCs operating in both private and public sectors with remarkably diverse objectives and strategies. Thanks to large budgets and complex advanced technology, they are responsible for exploration, production, refining and crude oil distribution. In order to address the imbalance between industrial oil and lessdeveloped countries, the world commission on environment and development has early pointed up the term « sustainable development » which is « that meets the needs of the present without compromising the ability of future generations to meet their own needs ». As a result, the oil and gas sector has been among the leading industries in championing Corporate Social Responsibility a while ago. Oil companies attach greater importance to their economical, social and environmental impact and they also pay more and more attention to their image. Among other things, this phenomenon is demonstrated by the extraordinary growth in corporate codes of conduct and CSR initiatives such as Kofi Annan’s Global Compact. However, the effectiveness of these initiatives has been regularly questioned and there is a mounting evidence of a gap between the statements of principles and the real actor’s behaviour on the field. Finally, is a conciliation possible?

Avec la globalisation de l’économie, l’entreprise traditionnelle est devenue un réseau global de producteurs liés par des contrats. À la suite de certains abus commis par les entreprises multinationales, notamment en ce qui concerne les droits fondamentaux des travailleurs, les entreprises et la société civile ont développé des mécanismes de régulation privés dont les codes de conduite privés. La présente étude cherche à déterminer quels pouvaient être les véritables destinataires des codes de conduite : les travailleurs du pays d’origine de l’entreprise (généralement situés dans un pays développé) ou les travailleurs des pays de production (généralement situés dans des pays en développement). À cette fin, le mémoire compare le contenu des codes de conduite de Nike, de Gap et de Levi-Strauss sur ce sujet avec les observations de l’Organisation internationale du travail pour les travailleurs des États-Unis, de l’Inde et du Bangladesh. Certains écarts entre les protections accordées par les codes et les besoins des travailleurs sont ainsi identifiés. Dans la dernière partie du mémoire, la question d’étude est élargie afin d’examiner si les codes ne seraient pas destinés à des personnes autres que les travailleurs, soient les consommateurs, les actionnaires ou l’entreprise elle-même. / The globalised economy has transformed the traditional corporation into a worldwide network of producers connected by contracts. In light of certain abuses committed by multinational corporations, corporations and civil society have developed regulatory mechanisms including private codes of conduct. The purpose of this study is to determine for which workers the codes of conduct were developed: the workers of the country of origin of the corporation (generally located in developed countries) or the workers of the countries of production (generally located in developing countries). By comparing the content of the codes of conduct of Nike, Gap and Levi-Strauss regarding freedom of association with the observations of the International Labour Organisation for the United-States, India and Bangladesh, we identified a certain number of gaps between the content of the codes and the needs of the workers. In the last part of the study, we widened our research question to determine whether or not the codes might be destined to people other than the workers, namely consumers, shareholders or the corporation itself.

This thesis examined the institutionalisation of ethics within Australian organisations. A particular focus is the role of the strategic apex, or executive level of the organisation, in establishing the environment in which an ethical culture can develop. The literature review examined both organisational theory and existing approaches to developing organisational ethical culture using formal mechanisms such as written policies, procedures, training and development and reinforcement strategies. This revealed the polarisation of ethics literature between compliance and integrity based approaches. This is seen to be consistent with only two forms of organizations, the mechanistic and organic structures. This was identified as a major flaw in ethics literature as it does not inform organisations about appropriate ethical design for organisations that fall in between this continuum. The review of organisational theory concluded that components of organisational structure are used to discuss organisational moral responsibility and are also the components of the compliance and integrity approaches to organisational ethics. A tentative hypothesis was established that organisational ethics systems would be more effective if they are in fit with an organisation's structure. The study utilised a qualitative case based research method, argued as appropriate given the focus being strategic alignment of organisational structure and ethics frameworks. Thus was also recognised as having limitations, specifically not addressing the behavioural impact of such strategies in a significant way. The study examined the ethical frameworks of three large organisations. This included: an analysis of background to the ethics strategy, the design process, who was given responsibility for design and implementation of the framework. The major characteristics of the program was considered, how it was encultured throughout the organisation and consideration of any evaluation mechanism. This was contrasted against the organization's structural characteristics to establish whether the ethical framework was in fit with the structure of the organization. The analysis and discussion identified that senior management support was evident in all three case studies and crucial to the development of an ethical culture. Extensive written policies (codes of ethics and conduct) were identified in all three cases; however, the extent of appropriate support systems determined the degree to which these policies were effective. There was a general lack of understanding of ethical systems within the organisation with little expertise evident by those responsible for the programs in terms of appropriate strategies for enculturation. Ineffective strategies were mainly due to lack of appropriate support mechanisms (communication, training, reinforcement and reward and review) or inconsistency between support mechanisms and other organisational policies A major conclusion of the thesis is that the strategies used for enculturation of ethics, are basic organisational design variables. As such ethical frameworks need to be informed by organisational theory so as to design systems that achieve fit which leads to greater effectiveness.

La commission européenne définit la responsabilité sociétale des entreprises comme « l'intégration volontaire des préoccupations sociales et écologiques des entreprises à leurs activités commerciales et leurs relations avec leurs parties prenantes » . la rse se subdivise en trois partie : l'écologie, le social et la gouvernance.jusqu'à présent, la rse était cantonnée à des guides de bonne conduite et un discours marketing bien rodé. le seul risque encouru par l'entreprise ne respectant pas ses engagement était une atteinte à son image (plus ou moins importante selon le degré de médiatisation de l'entreprise, allant de la simple condamnation par la presse spécialisée jusqu'au boycott).le terme responsabilité était alors restreint à l'acception commune, une sorte d'exigence morale. mais, la rse tend à investir le droit, et le risque de contentieux juridique apparaît. elle peut alors se comprendre comme la tentative de sanctionner par le droit un comportement autrefois seulement fustigé par l'éthique. elle correspond à un rapprochement de la morale et du droit, dans un mouvement inverse à celui qu'avait connu jusqu'alors la responsabilité.cette responsabilité émerge dans l'actualité. c'est l'affaire de l'erika. le tribunal correctionnel de paris a récemment condamné l'affréteur total à 192 millions d'euros de dommages et intérêts pour « préjudice écologique » en reconnaissant notamment l'atteinte au « vivant non commercial ». on assiste à une extension de la chaîne des responsabilités. de l'affréteur aux oiseaux et au littoral en passant par un armateur, des sociétés de notation, des gestionnaires du navire, des personnes publiques et des associations des défense de l'environnement. l'écran juridique de la société est écarté au profit de la notion plus large d'entreprise. / Social responsibility standards voluntarily set by a company create obligations both in respect of their issuers and their receptors. Law operates a double movement of legalization (they shall become binding for employees) and control (this binding nature is to exist only if it satisfies the justification and proportionality criteria) to standards that create new constraints for employees. The employer may, espacially by means of a code of conduct, restrict the exercise of freedom of its employees provided that such limitation is justified by the interest of the company and proportionate to the aim pursued. In addition, under the influence of a renovated corporate governance, social interest is now open to the interests of stakeholders. This changes the responsibilities of executives and forces them to set up and report on their corporate social responsibility policies. Once acquired the idea that a company has to integrate social responsibility into its business, the question of the legal nature of the measures implemented comes into play. One may distinguish on the one hand unilateral initiatives of the company, usually by means of a code of conduct and, on the other hand, concerted initiatives taking the form of international framework agreements. Both of these CSR instruments are relatively foreign to lawyers. After comparing codes of conduct and unilateral commitments, I attempted to legally qualify international framework agreements through a contractual perspective. From these analyzes, it appears that commitments entered into by a company, whether unilaterally or adopted after consultation, generate binding obligations. Standards of corporate social responsibility are subject to a process of legalization and individuals can now usefully use them as part of a trial to assert their claims.