A presente tese de doutorado tem por objetivo demonstrar que a atividade probatória conduzida pelo Conselho Administrativo de Defesa Econômica - CADE, nos processos administrativos de investigação de cartéis, apresenta deficiências e demanda aperfeiçoamento. Para comprovação da tese, foi revisada a jurisprudência do órgão em um período de 15 anos (1999-2014), identificando-se as características e os procedimentos relacionados a essa que é a mais importante etapa dos processos sancionadores: a reconstrução histórica dos fatos controversos. No primeiro capítulo, são examinados o poder de polícia do CADE, suas formas de manifestação, a infração de cartel, a estrutura da autoridade, os tipos de processo, as penalidades e os poderes de investigação. No segundo capítulo, a abordagem recai sobre o objeto, os meios, os modos de obtenção e os momentos da prova. No terceiro capítulo, são identificados os fatores que causam deficiências à atividade probatória à luz do contraditório e da paridade de armas, princípios que devem nortear o exercício da função administrativa. Com base nesse diagnóstico, as notas conclusivas apresentam propostas de aprimoramento da atuação do CADE no campo probatório, que podem contribuir para a tomada de decisões mais céleres, robustas e legítimas. / This doctoral thesis aims at demonstrating that the evidentiary activity conducted by the Administrative Council for Economic Defense - CADE, in cartel investigation administrative proceedings, presents deficiencies and requires improvement. For this purpose, CADEs case law for the past 15 years (1999-2014) has been reviewed to identify the characteristics and proceedings related to this stage of the sanctioning process, which is the most important one: the historical reconstruction of the disputed facts. In the first chapter, the following items are discussed: CADEs police power and how it is exercised, cartel violations, authority structure, types of proceedings, penalties, and powers of investigation. In the second chapter, the focus is on the evidence object and phases, means of evidence and means of gathering evidence. In the third chapter, the factors that cause deficiencies to the evidentiary activity are reviewed in light of the adversarial and equality of arms principles that must guide the fulfillment of the administrative function. Based on this diagnosis, the conclusions present proposals to improve CADEs operations in the evidentiary field, which may contribute to render the decision-making process more expedite, solid, and legitimate.

A presente tese de doutorado tem por objetivo demonstrar que a atividade probatória conduzida pelo Conselho Administrativo de Defesa Econômica - CADE, nos processos administrativos de investigação de cartéis, apresenta deficiências e demanda aperfeiçoamento. Para comprovação da tese, foi revisada a jurisprudência do órgão em um período de 15 anos (1999-2014), identificando-se as características e os procedimentos relacionados a essa que é a mais importante etapa dos processos sancionadores: a reconstrução histórica dos fatos controversos. No primeiro capítulo, são examinados o poder de polícia do CADE, suas formas de manifestação, a infração de cartel, a estrutura da autoridade, os tipos de processo, as penalidades e os poderes de investigação. No segundo capítulo, a abordagem recai sobre o objeto, os meios, os modos de obtenção e os momentos da prova. No terceiro capítulo, são identificados os fatores que causam deficiências à atividade probatória à luz do contraditório e da paridade de armas, princípios que devem nortear o exercício da função administrativa. Com base nesse diagnóstico, as notas conclusivas apresentam propostas de aprimoramento da atuação do CADE no campo probatório, que podem contribuir para a tomada de decisões mais céleres, robustas e legítimas. / This doctoral thesis aims at demonstrating that the evidentiary activity conducted by the Administrative Council for Economic Defense - CADE, in cartel investigation administrative proceedings, presents deficiencies and requires improvement. For this purpose, CADEs case law for the past 15 years (1999-2014) has been reviewed to identify the characteristics and proceedings related to this stage of the sanctioning process, which is the most important one: the historical reconstruction of the disputed facts. In the first chapter, the following items are discussed: CADEs police power and how it is exercised, cartel violations, authority structure, types of proceedings, penalties, and powers of investigation. In the second chapter, the focus is on the evidence object and phases, means of evidence and means of gathering evidence. In the third chapter, the factors that cause deficiencies to the evidentiary activity are reviewed in light of the adversarial and equality of arms principles that must guide the fulfillment of the administrative function. Based on this diagnosis, the conclusions present proposals to improve CADEs operations in the evidentiary field, which may contribute to render the decision-making process more expedite, solid, and legitimate.

Submitted by Filipe dos Santos (fsantos@pucsp.br) on 2017-12-11T11:13:43Z No. of bitstreams: 1 Maria Carolina de Melo Amorim.pdf: 2199765 bytes, checksum: 06fa5f530178565d5f59215bf811c009 (MD5) / Made available in DSpace on 2017-12-11T11:13:43Z (GMT). No. of bitstreams: 1 Maria Carolina de Melo Amorim.pdf: 2199765 bytes, checksum: 06fa5f530178565d5f59215bf811c009 (MD5) Previous issue date: 2017-11-30 / The Brazilian criminal procedure has undergone transformations in its form of application, being, nowadays, represented by a new practice – harsher on the defendant – that represents a procedural right more efficient for the prosecution and less concerned with the individuals guarantees. The need for swifter procedures results in faster cases and less susceptible to the prescription of punitive pretention, following the regulations of international treaties and the idea of access to justice listed in the Federal Constitution. However, eagerness in reducing time and procedural phases are resulting in several measures, commonly adopted, that violates another constitutional principle, that of the equality of arms. Analyzing the criminal procedure, it has been noted that these measures to streamline the process are unbalancing the powers between parties and causing inequality between the proof gathering for the plaintiff and the defendant. Therefore, regarding the time of process (being included, also, the pre-procedural phase), there is no equitable treatment for the parties to achieve, on equal terms, the persuasion of the judge. This work sought to identify, from specific situations in the Brazilian criminal procedure, the reasons of unbalance of powers between the procedural parties, discussing such issues under the idea of the need to reestablish the equality of arms and the necessity to follow the regulations and constitutional principles. As a result, are being appointed the failures of the Brazilian criminal procedural law and the misconceptions in the courts jurisprudence that, in the analyzed cases, damage the production of proof by the defense (defendant) during the process, and, from these specific situations, solutions will be appointed to each listed problem / O processo penal brasileiro vem sofrendo transformações em sua forma de aplicação, sendo hoje representado por uma nova atuação – mais dura com o acusado – que representa um direito processual mais eficiente para a acusação e menos garantista. A necessidade de agilidade do procedimento redunda em processos mais céleres e menos sujeitos à prescrição da pretensão punitiva, cumprindo a normatização de tratados internacionais e a ideia de acesso à justiça elencada na Constituição Federal. No entanto, na ânsia de diminuir o tempo e as fases processuais, diversas medidas corriqueiramente adotadas estão violando outro princípio constitucional, o da isonomia entre as partes. A partir da observação da prática processual penal, vê-se que medidas de agilização do processo estão desequilibrando a balança de poderes entre as partes e causando desigualdade entre a atuação probatória da acusação e da defesa. Não há, pois, em relação ao tempo do processo (e aqui é incluída, também, a fase pré-processual) tratamento equânime para as partes firmarem, em igualdade de oportunidades, o convencimento do magistrado. O trabalho buscou identificar, a partir de situações pontuais do processo penal brasileiro, as causas de desequilíbrio de poderes entre as partes processuais, discutindo tais questões à luz da necessidade de restabelecimento da isonomia e da observação das normas e princípios constitucionais. Dessa forma, são apontadas as falhas da legislação processual penal brasileira e os equívocos de posições jurisprudenciais que, nos casos analisados, prejudicam a produção de prova defensiva no processo e, a partir dessas pontuais situações, passa-se ao elenco das soluções a cada problema apresentado

Le principe de l'égalité des armes est devenu, à travers la jurisprudence de la Cour européenne des droits de l'homme, la pierre angulaire du droit à un procès équitable. Il implique qu'aucune partie ne soit placée dans une situation nettement plus défavorable par rapport à celle de son adversaire. L'essor de ce standard au niveau international et l'intensification du phénomène de circulation normative ont conduit les juridictions pénales internationales et internationalisées à reconnaître, de manière prétorienne et unifiée, ce principe et à l'importer dans leur contentieux afin d'assurer la légitimité de leurs décisions. Toutefois, ce principe directeur du procès entre en tension avec un autre objectif assigné à la justice pénale internationale : l'efficacité de la lutte contre l'impunité. Perçue comme un frein à la répression, l'acception de l'égalité des armes a été cantonnée tant dans sa substance que dans sa procédure de mise en œuvre. Les juridictions reposent, en outre, sur des déséquilibres structurels et procéduraux, puisque la défense, "pilier oublié", manque de moyens pour réaliser ses missions, contrairement au bureau du procureur, organe "tout-puissant". Dans ces circonstances, le déséquilibre inhérent aux interactions entre le procureur et l'accusé ne peut pas être compensé. Pour redonner sa valeur et sa portée de principe directeur du procès à l'égalité des armes, des propositions de rééquilibrages et de modifications paradigmatiques du contentieux seront alors effectuées. Ainsi, la justice pénale internationale pourra pleinement retrouver sa légitimité. / The principle of equality of arms has become, through the jurisprudence of the European Court of Human Rights, the cornerstone of the right to a fair trial. It implies that no party shall be placed in a substantial disadvantage vis-à-vis his opponent. The development of this standard at the international level and the intensification of normative interactions phenomenon have led international and internationalized criminal courts to recognize, as a court creation and in unified way, this principle and import it into their litigation procedure to ensure the legitimacy of their decisions. However, this guiding principle of the trial conflicts with another objective assigned to international criminal justice: the effectiveness of the fight against i:mpunity. Perceived as a barrier to repression, the equality of arms’ meaning was restricted both in in substance and in its implementation process. Furthermore, the courts are based on structural and procedural imbalances, since the defense, "forgotten pillar", lacks of resources to carry out its missions, unlike the prosecutor's office, which would be an "almighty" organ. In these circumstances, the inherent imbalance in the interactions between the prosecutor and the accused person cannot be compensated. In order to restore the value and scope of equality of arms as a principle of the trial, proposals for rebalancing and paradigmatic changes of the litigation will be made. Thus, internationally criminal justice can fully regain its legitimacy.

No description available.

La protection des droits de l’accusé est tributaire du respect du procès équitable dans presque tout débat judiciaire. Ce faisant, la création de la CPI suscite une attention particulière en vertu non seulement de son caractère permanent et universel, mais aussi de l’ampleur des crimes internationaux qu’elle connait. Sous l’effet de cette configuration, la recherche laisse découvrir une protection à l’efficacité relative et utopique malgré l’exigence de compatibilité du droit applicable aux droits de l’homme internationalement reconnus. Toutefois, le respect apparent de ces droits, l’application du principe du contradictoire et l’exigence de la présence de l’accusé dans son procès ne garantissent pas l’effectivité de l’égalité des armes, l’exercice des droits de la défense et le respect de la présomption d’innocence. Au contraire, la prééminence du déséquilibre processuel, de la durée excessive des procès et du maintien en détention de l’accusé conduit à faire objection sur l’existence possible de la protection efficace des droits de l’accusé. La dite protection cède plutôt devant la lutte contre l’impunité, la délicatesse des victimes et témoins et la souveraineté des Etats. A l’issue de cette étude, il est nécessaire de procéder à un rééquilibrage des droits entre les parties et à une reconceptualisation de la compétence de la Cour. / Protecting the rights of the accused depends in any legal debate on respect for a fair trial. In doing so, the creation of the ICC merits special attention by virtue not only of its being permanent and universal, but also the extent of international crimes with which it deals. As a result of this broad scope, research suggests any protective coverage is relative in its effectiveness and utopian, despite the requirement of compatibility of the law applicable to internationally recognized human rights. The apparent respect for these rights, the principle of due process and the requirement of the presence of the accused at his or her trial do not guarantee an effective equality of arms, the exercise of one’s rights or respect for the presumption of innocence. Instead, the procedural rule of imbalance, the excessive length of trials and the continued detention of the accused have led to objections about effectively protecting the rights of the accused. So-called protection gives way instead to the fight against impunity, the reticence of victims and witnesses and the sovereignty of States. Following this study, it is necessary to rebalance the rights of the parties and rethink the jurisdiction of the Court.

O presente estudo tem por escopo principal verificar a aplicabilidade do princípio da paridade de armas na cooperação jurídica internacional penal. Em face dessa premissa, analisam-se os regramentos nacionais e internacionais que devem ser levados em consideração pelos Estados que se intitulam Democráticos e, sobretudo, de Direito, a fim de assegurar uma persecução penal equânime, sob a ótica dos princípios do contraditório, da ampla defesa e da igualdade processual entre acusação e defesa. Para tanto, realizou-se um levantamento bibliográfico, a partir do qual se buscou elidir visão reducionista da cooperação jurídica internacional, no sentido de que não se olvide que no outro lado da missão punitiva do Estado encontra-se uma pessoa, com inúmeras garantias e direitos historicamente assegurados. No primeiro capítulo, aborda-se a cooperação jurídica internacional sob três aspectos: histórico, principiológico e analítico-descritivo. No segundo capítulo, estudam-se os princípios e garantias inerentes ao devido processo legal, os quais não podem ser suprimidos, sobretudo em âmbito internacional, por se tratar de direitos humanos consagrados. O terceiro capítulo aborda a instrumentalidade decorrente do cabedal teórico construído nos capítulos anteriores. Assim, a produção da prova em processos penais transnacionais é analisada sob o viés da cooperação jurídica internacional, passando-se pelo mecanismo do auxílio direto fundamentado em acordos bilaterais e pelas tentativas de equilibrar o sistema dentre outras, a possibilidade de se utilizar essa modalidade na cooperação internacional penal para a produção de prova em prol da defesa , para então se propor que a Defensoria Pública da União possa atuar a fim de promover o acesso internacional à justiça e a efetiva equalização do regime cooperacional. Por fim, reputa-se que o futuro da cooperação jurídica penal internacional está em se disponibilizar à defesa os mesmos mecanismos disponíveis à acusação, em plena e devida igualdade, haja vista não existir valor maior a ser respeitado do que a dignidade da pessoa humana. / The presente work has as main scope to verify the applicability of the equality of arms in international legal assistance in criminal matters. Given this premise, it attempts to analyze international and national specific regulations that must be taken into consideration by the states that call themselves democratic and, above all, of law, in order to ensure an equitable criminal prosecution, from the perspective of the principles of adversary proceeding, full right to defense and the equality of arms. Therefore, we carried out a literature review, from which it was sought to elide reductionist view of international legal assistance, in the sense that we cannot forget that, on the other side of the punitive function of the State, there is a person with numerous safeguards and rights provided historically. The first chapter deals with the international legal assistance in three aspects: historical, applicable principles and analytical-descriptive. In the second chapter, we study the principles and guarantees inherent to the due process of law, which can not be suppressed, because it is enshrined human rights. The third chapter addresses the instrumentality derived from the theoretical leather built in previous chapters. Thus, the production of evidence in transnational criminal proceedings is examined under the bias of international legal assistance, going up by the reasoned direct assistance mechanism of bilateral agreements and by attempts to balance the system, among others, the possibility of using this modality in international criminal cooperation for the production of evidence for the defense, and then propose that the Public Defense can act to promote international access to justice and the effective equalization of cooperacional regime. Finally, it believes that the future of international legal assistance in criminal matters is to make available to the defense the same mechanisms available to the charge, in full and due equal rights, because there is no greater value to be respected than the dignity of the human person.

Si l’on s’accorde à dire que les droits de la défense sont un principe fondamental du droit processuel sans lequelune procédure ne saurait être dite équitable, le sens technique de cette notion demeure aujourd’hui toujoursobscur. En effet, l’approche traditionnelle consistant à définir les droits de la défense comme un ensemble degaranties dont dispose toute partie à une procédure afin d’y défendre ses intérêts ne parvient pas à lever toutesles incertitudes et, surtout, ne permet pas de comprendre rationnellement l’ensemble des hypothèses danslesquelles on peut constater leur utilisation technique et concrète.En arrière-plan des différentes garanties, les droits de la défense semblent se présenter comme un conceptdistinct de celles-ci. Ils sont en eux-mêmes une véritable norme introduite en droit positif sous la forme d’unprincipe fondamental dont les différentes garanties assurent l’effectivité. Imposant que toute personne soumise àun pouvoir décisionnel soit mise en mesure de se défendre, c’est-à-dire de soutenir ou de contester uneprétention, cette norme irrigue concrètement le droit positif en fondant aussi bien la nullité d’une procédure quel’irresponsabilité pénale de l’auteur d’une infraction. / If it is agreed that defense rights are a fundamental principle of procedural law, without which, no trial could besaid to be fair, the technical sense of this concept still remains obscure today. Traditionally defined as anensemble of guarantees, which each party to the proceedings is entitled to in order to defend its interests, thisplural approach to the concept does not however remove all uncertainties. It especially does not allow us torationally understand all the situations in which we can see its concrete and technical application.Among the different guarantees, defense rights seem to present themselves as a distinct, separate concept. Theyare in themselves a true standard introduced into the substasntive law in the form of a fundamental principlewhere the different guarantees ensure its effectiveness. Stating that any person subject to a decision-makingauthority should be able to defend her or himself, that is to say to support or to deny a claim, this legal standardencompasses, concretely, positive law by basing both the nullity of a procedure and the irresponsibility of anoffender.

O presente estudo tem por escopo principal verificar a aplicabilidade do princípio da paridade de armas na cooperação jurídica internacional penal. Em face dessa premissa, analisam-se os regramentos nacionais e internacionais que devem ser levados em consideração pelos Estados que se intitulam Democráticos e, sobretudo, de Direito, a fim de assegurar uma persecução penal equânime, sob a ótica dos princípios do contraditório, da ampla defesa e da igualdade processual entre acusação e defesa. Para tanto, realizou-se um levantamento bibliográfico, a partir do qual se buscou elidir visão reducionista da cooperação jurídica internacional, no sentido de que não se olvide que no outro lado da missão punitiva do Estado encontra-se uma pessoa, com inúmeras garantias e direitos historicamente assegurados. No primeiro capítulo, aborda-se a cooperação jurídica internacional sob três aspectos: histórico, principiológico e analítico-descritivo. No segundo capítulo, estudam-se os princípios e garantias inerentes ao devido processo legal, os quais não podem ser suprimidos, sobretudo em âmbito internacional, por se tratar de direitos humanos consagrados. O terceiro capítulo aborda a instrumentalidade decorrente do cabedal teórico construído nos capítulos anteriores. Assim, a produção da prova em processos penais transnacionais é analisada sob o viés da cooperação jurídica internacional, passando-se pelo mecanismo do auxílio direto fundamentado em acordos bilaterais e pelas tentativas de equilibrar o sistema dentre outras, a possibilidade de se utilizar essa modalidade na cooperação internacional penal para a produção de prova em prol da defesa , para então se propor que a Defensoria Pública da União possa atuar a fim de promover o acesso internacional à justiça e a efetiva equalização do regime cooperacional. Por fim, reputa-se que o futuro da cooperação jurídica penal internacional está em se disponibilizar à defesa os mesmos mecanismos disponíveis à acusação, em plena e devida igualdade, haja vista não existir valor maior a ser respeitado do que a dignidade da pessoa humana. / The presente work has as main scope to verify the applicability of the equality of arms in international legal assistance in criminal matters. Given this premise, it attempts to analyze international and national specific regulations that must be taken into consideration by the states that call themselves democratic and, above all, of law, in order to ensure an equitable criminal prosecution, from the perspective of the principles of adversary proceeding, full right to defense and the equality of arms. Therefore, we carried out a literature review, from which it was sought to elide reductionist view of international legal assistance, in the sense that we cannot forget that, on the other side of the punitive function of the State, there is a person with numerous safeguards and rights provided historically. The first chapter deals with the international legal assistance in three aspects: historical, applicable principles and analytical-descriptive. In the second chapter, we study the principles and guarantees inherent to the due process of law, which can not be suppressed, because it is enshrined human rights. The third chapter addresses the instrumentality derived from the theoretical leather built in previous chapters. Thus, the production of evidence in transnational criminal proceedings is examined under the bias of international legal assistance, going up by the reasoned direct assistance mechanism of bilateral agreements and by attempts to balance the system, among others, the possibility of using this modality in international criminal cooperation for the production of evidence for the defense, and then propose that the Public Defense can act to promote international access to justice and the effective equalization of cooperacional regime. Finally, it believes that the future of international legal assistance in criminal matters is to make available to the defense the same mechanisms available to the charge, in full and due equal rights, because there is no greater value to be respected than the dignity of the human person.

Les droits de la défense émanent d'une époque où les justiciables subissaient le procès et les atteintes pouvant en résulter pour leurs droits et leurs libertés. Protéiforme, héritier des garanties issues de la notion de procès équitable telle que définie par la Cour européenne des droits de l'homme, ce concept prend une coloration spécifique dans le procès pénal. Il est incarné, en soi, par l'avocat pénaliste qui, en symbiose avec lui, doit s'adapter aux mutations dont il a parfois fait l'objet. Instruite d'expériences menées à l'étranger sur l'introduction des Technologies de l'Information et de la Communication dans le domaine de la justice, la France, elle aussi, a décidé de moderniser ses procédures judiciaires en y recourant dans la sphère pénale. Révolution copernicienne, porteuse d'espoirs au plan managérial et de l'administration de la justice, les technologies modernes suscitent de facto craintes et résistances en raison de leur relative complexité et de leur caractère novateur. Ainsi, à des difficultés techniques qui limitent les retombées positives des réformes, s'ajoutent des aspects symboliques concernant le déroulement du rituel judiciaire, instaurant une dialectique nouvelle entre intervenants de la "chaîne pénale" et modifiant les rapports entre professionnels du droit ainsi qu'entre ceux qui unissent justice et justiciables. Il s'ensuit une mutation des cadres du procès et, corrélativement, une reformulation des schémas de pensée au regard des droits de la défense et de l'exercice de la défense pénale. / The rights of the defense come from a time when individuals undergoing trial and damage that may result to their rights and freedoms. Protean, they are born guaranteed from the notion of a fair trial as defined by the European Court of Human Rights. Taking a specific color in the criminal trial, this notion appears embodied in itself, the criminal lawyer who, in harmony with his specialty, must adapt to the changes which it has sometimes been. Technologies of Information and Communication have gradually invested the field of Justice and in particular the criminal sphere. Educated the results of experiments conducted abroad, France has also decided to modernize its judicial procedures using these new techniques. Copernican revolution, full of hope at the managerial level and the administration of justice, modern technologies raise fears facto resistance due to their relative complexity and novelty. Thus, a technical difficulty that limits the positive impact of the reforms, in addition symbolic aspects concerning the conduct of judicial ritual, introducing a new dialectic between stakeholders "criminal justice system" and changing the relationship of legal professionals as well as those that unites justice and litigants. It follows a change of management of the trial and, correspondingly, a restructuring of the thought patterns of the rights of defense and the practice of criminal defense.