Avec l’accentuation du libéralisme, les entreprises multinationales ne cessent d’être de plus en plus présentes dans les États en développement, et certaines sont peu scrupuleuses du respect des normes environnementales. Par ailleurs, notons que la plupart de ces États ne disposent pas de mécanismes juridiques contraignant ces entreprises de répondre à d’éventuels crimes contre l’environnement qu’elles sont susceptibles de commettre sur leurs territoires. Or, en l’absence de telles dispositions, peu de sociétés se conforment aux politiques permettant d’internaliser les risques en raison de leur coût élevé. La volonté de maximiser le profit amène ces entreprises à se livrer à des actes attentatoires à l’environnement, à la santé et à la sécurité des individus lorsque rien ne les contraint à procéder autrement. De façon générale, il appartient à l’État sur le territoire duquel opère une société de réglementer ses activités. Précisons que dans plusieurs États en développement, les entreprises multinationales échappent aux mesures contraignantes en vertu de l’influence financière qu’elles exercent sur les dirigeants de ces États. De même, l’impunité des crimes contre l’environnement commis dans les pays en développement découle aussi du manque de volonté politique accentué par le phénomène de la corruption. Malgré la multiplicité de traités et de conventions internationales dédiés à la protection de l'environnement, ces instruments ne sont pas directement applicables aux sociétés multinationales, considérées comme des acteurs non-étatiques. Alors, les pays développés d’où proviennent la majeure partie des entreprises multinationales sont appelés à combler cette lacune en prenant des mesures qui obligent leurs entreprises à se préoccuper de la préservation de l’environnement dans leurs activités. Cette thèse propose d’examiner les mécanismes juridiques par lesquels les crimes contre l’environnement survenus dans les pays en développement peuvent entraîner des poursuites pénales au Canada. En l’absence de législation ayant une portée extraterritoriale explicite en la matière, cela exige de se référer au droit existant et de proposer une nouvelle approche d’interprétation et d’adaptation tenant compte des récents développements envisageant la protection de l’environnement comme une valeur fondamentale pour la société canadienne. De nos jours, la portée de la protection de l’environnement au Canada requiert l’abandon des anciennes conceptions du principe de la territorialité pour adopter une autre approche plus soucieuse des nouvelles réalités entraînées par la mondialisation économique. Il serait donc légitime pour le Canada d’étendre sa compétence pour réprimer les crimes contre l’environnement survenus à l’étranger lors des activités menées par ses ressortissants. La nécessité de réprimer les atteintes à l’environnement survenues à l’étranger devient plus pressante lorsque ces crimes présentent un degré de gravité comparable à celui des crimes internationaux. / Due to trade liberalization, multinational enterprises (MNEs) are overwhelmingly engaged in developing countries’ industries. Unfortunately, many of those MNEs pay scant attention to environmental preservation. Yet, almost all developing countries lack effective rules designed to protect the environment from polluting activities operated by MNEs. In the absence of any incentive, it is impossible for MNEs to avoid environmentally harmful operations. As economic agents, MNEs are not willing to adopt environmental protection costs without any legislation compelling them to do so. The profit maximization rationale underlying corporate policy leaves little room for incurring environmental preservation costs and only voluntary measures are applied in the management of polluting operations. As a general principle, the regulation of MNEs’ conduct falls upon the State whose territory is directly harmed by polluting operations. However, the lack of resources of developing countries as well as the financial influence of MNEs has weakened environmental protection regulation in many states. The preservation of the environment from polluting activities of MNEs has also undermined by the lack of political will of developing countries which is increased by the corruption phenomenon. Despite the large number of international treaties and conventions designed to protect the environment from pollutant threats, those international instruments cannot directly apply to MNEs as they are non-state actors. Hence, developed countries, under whose law many MNEs are incorporated, are required to fill this gap in regulating their MNEs’ activities abroad. This dissertation suggests the examination of juridical mechanisms by which environmental crimes which take place in developing countries may trigger criminal prosecution in Canada. Given the absence of Canadian regulation dealing explicitly with extraterritorial criminal conduct of MNEs, this research seeks to provide a new approach to existing law in order to deal with transnational environmental crimes, bearing in mind that environmental protection has emerged as a fundamental value in Canadian society. Nowadays, the values represented by environmental protection entail the shift of the traditional territoriality principle since worldwide economic activities have brought transnational threats of global concern. Therefore, we hold that Canada would be entitled to extend its competence so as to assert jurisdiction over environmental crimes occurred abroad during operations conducted by Canadian citizens. The need to assert extraterritorial jurisdiction to environmental crimes committed within foreign sovereignty becomes more pressing if those crimes reach the same level of gravity as international crimes.

Submitted by Rosina Valeria Lanzellotti Mattiussi Teixeira (rosina.teixeira@unisantos.br) on 2018-02-09T16:20:16Z No. of bitstreams: 1 Nadia Vitoria Schurkim.pdf: 1334833 bytes, checksum: a149e06207c121e89e8a083ad1ee9cd9 (MD5) / Made available in DSpace on 2018-02-09T16:20:17Z (GMT). No. of bitstreams: 1 Nadia Vitoria Schurkim.pdf: 1334833 bytes, checksum: a149e06207c121e89e8a083ad1ee9cd9 (MD5) Previous issue date: 2017-10-23 / The object of the present study is the Chevron case, an accident occurred in Campos dos Goytacazes, 107 km from the coast of the State of Rio de Janeiro, in the Brazilian Exclusive Economic Zone, between November 2011 and March 2012, which caused damages to the environment due to the oil exploration activity, focusing on issues relevant to the application of criminal law in maritime areas, highlighted by the denunciation of the federal public ministry and judicial decisions handed down in criminal proceedings whose application and outlines are not peaceful, which justifies the relevance of this study. Throughout this research, the maritime domain, sovereignty and jurisdiction of the Brazilian State in the Exclusive Economic Zone (EEZ) and the Continental Shelf (CS) will be analyzed. The problem is focused on the identification of the sovereignty of Brazil as a Coastal State, of the sea, sea surface and subsoil, the application of its legislative and judicial powers; in the verification if the EEZ and CS are part of the Brazilian maritime territory; in identifying the applicable legal regime in case of environmental crimes arising from the exploitation of oil in these maritime areas; extraterritoriality or territoriality of criminal law. The systematized study of the national and international legal system, through concepts of International Law, Criminal Law and Environmental Law, showed that the conflicts of interpretations observed in the case occur because the legal regime of EEZs and CS, established in UNCLOS III, when dealing with the distinction between rights of sovereignty and the jurisdiction of the coastal State does not provide clear definitions of maritime borders, providing a variety of interpretations. / O objeto do presente estudo consiste na análise do Caso Chevron, acidente ocorrido no Campos dos Goytacazes, a 107 Km do litoral do Estado do Rio de Janeiro, na denominada Zona Econômica Exclusiva brasileira, entre novembro de 2011 e março de 2012, que causou danos ao meio ambiental em decorrência da atividade de exploração de petróleo, tendo como foco as questões pertinentes à aplicação da lei penal nos espaços marítimos, destacadas da denúncia do órgão ministerial federal e das decisões judiciais proferidas no processo criminal cuja aplicação e contornos não são pacíficos, o que se justifica a relevância desse estudo. Ao longo dessa pesquisa, o domínio marítimo, a soberania e a jurisdição do Estado Brasileiro na Zona Econômica Exclusiva (ZEE) e na Plataforma Continental (PC) serão objeto de análise. A problemática concentra-se na identificação da soberania do Brasil, enquanto Estado Costeiro, do mar, da superfície e do subsolo marítimos, da aplicação de seus poderes legislativos e judiciários; na verificação se a ZEE e a PC integram o território marítimo brasileiro; na identificação do regime jurídico aplicável em caso de ocorrência de crimes ambientais decorrentes da exploração de petróleo nesses espaços marítimos; na extraterritorialidade ou da territorialidade da lei penal. O estudo sistematizado do ordenamento jurídico nacional e internacional, por meio de conceitos do Direito Internacional, Direito Penal e Direito Ambiental, demonstrou que os conflitos de interpretações observados no caso ocorrem porque o regime jurídico das ZEE e PC, estabelecidos na CNUDM III, ao tratar da distinção entre direitos de soberania e jurisdição do Estado costeiro não traz definições claras sobre as fronteiras marítimas, proporcionando diversidade de interpretações.

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In the search for sustainability in the present days, companies format policy stuffed of the actions with responsible orientations in the social and environmental, at the same time that show concern for the relationships between its stakeholder groups. Explain this format of environmental management a delineation preventive and mitigation of environmental impacts, proposing that the environmental issue is an organizational value. But, from the moment that its operations cause environmental damage and social impacts to the society, such as atmospheric pollution, the environmental context is checkmated. Soon, as the practice of environmental crime comes against socially responsible discourse, this study aimed to understand the causes of a common effect, existing in these contexts: corporate environmental crime versus environmental responsibility. Methodological procedure to achieve the goals we conducted a survey of descriptive character and qualitative nature of documentation of the industries that are accompanied by the Secretaria do Meio Ambiente da Prefeitura Municipal de Uberlândia-MG. The method of procedure adopted was the case study in an industry with the largest historical occurrences of environmental crimes and involved as a source of evidence documentation related to environmental crimes, documents, publications and press releases related to social responsibility initiatives undertaken by the company. When analyzing the possible causes of a common effect, it was possible to show the existence of dissonance between the discourse of the organization that pointed to a stage where environmental initiatives were considered a value and of a preventive nature of environmental damage, but in fact, the company acted only in corrective regarding the mechanisms causing environmental damage. In addition, there was not concern in managing relationships with the community impacted by the crimes caused, mainly air pollution, which makes a case \"perfumed\". This demonstrates the lack of an integrated environmental management, since administrative actions do not go in the same direction of social and environmental policies. Thus, it was possible to characterize the relationships between environmental crimes versus environmental responsibility as: without direction, without pattern and indifferent. And from this characterization, it was possible to propose a framework that enables the company to seek an integrated environmental management. / Na busca pela sustentabilidade nos dias atuais, as empresas formatam políticas recheadas de ações com orientações responsáveis no âmbito social e ambiental, ao mesmo tempo em que evidenciam preocupação com as relações entre seus grupos de stakeholders. Explicitam nesse formato de gestão socioambiental um delineamento preventivo e mitigador de impactos ambientais, propondo que a questão socioambiental é um valor organizacional. Mas, a partir do momento em que suas atividades operacionais provocam danos ambientais e impactos sociais junto à sociedade, como poluição atmosférica, este contexto socioambiental é colocado em cheque. Logo, como a prática do crime ambiental vem de encontro ao discurso socialmente responsável, esse estudo buscou entender a intercausalidade existente nestes contextos: crime empresarial ambiental versus responsabilidade socioambiental. Como procedimento metodológico para atingir os objetivos foi realizada uma pesquisa de caráter descritivo e natureza qualitativa na documentação das indústrias que são acompanhadas pela Secretaria do Meio Ambiente da Prefeitura Municipal de Uberlândia-MG. O método de procedimento adotado foi o estudo de caso em uma indústria com o maior histórico de ocorrências de crimes ambientais e envolveu como fonte de evidência a documentação relacionada aos crimes ambientais; documentos, publicações e comunicados referentes às ações de responsabilidade social desenvolvidas pela empresa. Ao analisar esta intercausalidade foi possível mostrar a existência de dissonâncias entre o discurso da organização que apontava um estágio onde as ações socioambientais eram consideradas como valor e de caráter preventivo de danos ambientais, mas que na verdade, a empresa agia apenas de forma corretiva com relação aos mecanismos causadores dos danos ambientais. Além disso, não houve a preocupação em gerenciar as relações com a comunidade, impactada pelos crimes provocados, principalmente a poluição atmosférica, o que a torna um caso perfumado . Isso demonstra a inexistência de uma gestão socioambiental integrada, uma vez que as ações administrativas não caminham no mesmo sentido das políticas sociais e ambientais. Assim, foi possível caracterizar as relações entre crimes ambientais versus responsabilidade socioambiental como: sem direção, sem padrão e indiferentes. E, a partir dessa caracterização, foi possível propor uma estrutura que possibilite à empresa buscar uma gestão socioambiental integrada. / Mestre em Administração