O objeto da dissertação é a regulamentação do uso indevido de informação privilegiada no mercado de capitais. Discute-se no texto qual seria a melhor maneira de reprimir a conduta praticada pelo insider trading, concluindo-se que o sistema ideal seria não mais a dupla repressão como ocorre atualmente, mas sim a separação entre as esferas administrativa e penal. A primeira julgaria as infrações de menor gravidade, deixando apenas as que efetivamente causassem potencialidade lesão grave ao bem jurídico sob a tutela do direito penal. Ante a necessidade de compreensão do contexto em que o delito de uso indevido de informação privilegiada ocorre, o trabalho inicia-se com um breve panorama do mercado de capitais, no qual se trata da formação do mercado de valores mobiliários, das bolsas de valores e das sociedades anônimas. Assim, no primeiro capítulo trata-se da regulamentação do mercado de capitais no Brasil, em especial, das Leis 6.385/1976, a qual regula o mercado de valores mobiliários brasileiro e traz a descrição do tipo penal do crime do insider trading no artigo 27-D, e da Lei 6.404/1976, que regula as sociedades anônimas no Brasil, e trata dos deveres de informar, de lealdade e de guardar sigilo impostos aos administradores das sociedades anônimas de capital aberto. No segundo capítulo, é feita inicialmente uma abordagem do que vem a ser o crime de insider trading e informação privilegiada, mencionando-se quais são argumentos contrários e a favor da repressão da conduta de utilização indevida de informação privilegiada. Na seqüência, faz-se uma breve análise da legislação estrangeira, com destaque para os países Estados Unidos da América, Espanha, Portugal e Itália. O terceiro capítulo trata da regulamentação do crime de insider trading no Brasil, iniciando-se com uma breve análise comparativa entre o tipo penal da legislação pátria e os das legislações estrangeiras estudadas no capítulo anterior. Em seguida, é analisada a tipicidade objetiva e subjetiva do tipo penal, concluindo-se que se trata de crime formal, que não admite tentativa e que se consuma no momento da utilização da 173 informação relevante ainda não divulgada ao mercado, independentemente da obtenção da vantagem indevida. Ainda no terceiro capítulo, trata-se do sujeito ativo e passivo do delito, concluindo-se que, de acordo com a redação do tipo penal, apenas quem tem o dever de manter sigilo pode ser responsabilizado criminalmente no Brasil pelo crime de insider trading, e que o sujeito passivo é a coletividade, a sociedade como um todo. Esse capítulo traz também o debate existente, sobretudo na doutrina estrangeira, de qual seria o bem jurídico tutelado pelo crime em comento. Dentre todas os possíveis bem jurídicos aventados, conclui-se que apenas a igualdade entre os investidores e a confiança no mercado de capitais são dignos de tutela penal e justificam a intervenção dessa esfera do direito. O quarto capítulo trata da relação existente entre o direito penal econômico e o crime de insider trading. Além de tratar das características do direito penal econômico, o capítulo traz críticas à expansão do direito penal moderno e trata da ineficiência da utilização da esfera penal para proteger de forma eficaz os delitos da moderna criminalidade econômica. O quinto e último capítulo trata justamente do título do trabalho: Direito Administrativo Sancionador e o Crime de Insider Trading. Nesse capítulo, explica-se o modelo proposto para sancionar a utilização indevida de informação privilegiada, iniciando-se por tratar da definição de direito administrativo sancionador e sua distinção entre o direito penal. Na seqüência trata-se da possível configuração de bis in idem existente atualmente com a aplicação de sanção administrativa e penal para o mesmo fato, para o mesmo sujeito e com o mesmo fundamento. Trata-se ainda do fortalecimento da CVM como agência reguladora para regulamentar, fiscalizar e punir com eficiência as utilização indevida de informação privilegiada, deixando para o direito penal apenas as infrações capazes de colocar em risco o mercado de capitais. Por fim, são expostas as conclusões do trabalho. / The object of this dissertation is the regulation of the misuse of privileged information in the capital market. It is discussed in the text which would be the best way to repress the conduct practiced by insider trading, concluding that the ideal system would be no more the double repression as currently occurs, but a single repression in administrative or criminal sphere according to the seriousness of the offense. The first would judge the lesser gravity infractions, leaving only those that actually caused any serious injury to the good under the legal protection of criminal law. Before the need to understand the context in which the offense of misuse of privileged information occurs, the dissertation begins with a brief overview of capital markets, in which it comes to the formation of the securities market, stock exchange, as well as corporations. Thus, the first chapter deals with (i) the regulation of the capital market in Brazil, in particular regarding Law 6.385/1976, which regulates the securities market of Brazil and contains a description of the type of criminal offense of insider trading, and (ii) the Federal Act 6.404/1976, which regulates corporations in Brazil and provides the duties to inform, loyalty and confidentiality imposed on directors of stock companies. In the second chapter, it is initially provided an approach of the concept of the insider trading crime, mentioning what are the arguments against and in favor of its repression. Subsequently, there is a brief analysis of foreign law, particularly the legislation of the United States of America, Spain, Portugal and Italy. The third chapter deals with the regulation of the insider trading crime in Brazil, beginning with a brief comparative analysis of criminal hyphotesis provided by Brazilian law and the foreign legislation analyzed in the previous chapter. Then, it is analysed the objective and subjective elements of the criminal hypothesis, concluding that it is a formal crime, which admits no attempt and that occurs at the time of use of relevant information not yet disclosed to the market, independently of obtaining improper benefit. The fourth chapter deals with the relationship between economic crime and insider trading crime. Besides approaching characteristics of the economic criminal law, the chapter provides critics to the expansion of modern criminal law and deals with the inefficiency of using the criminal sphere to protect society against the crimes of modern economic criminality. The fifth and final chapter deals with the relationship between punitive administrative law and insider trading crime. In this chapter it is explained the model proposed to penalize the misuse of inside information, starting with the definition of punitive administrative law and its distinction from criminal law. Following reference is to the possible configuration of bis in idem currently existing in the application of the criminal and administrative sanction for the same offense, same individual and on the same basis. In addition, it is also discussed the strengthening of the Comissão de Valores Mobiliários (the Brazilian Securities and Exchange Commission) as the regulatory agency authorized to regulate, inspect and punish effectively the misuse of inside information, leaving to the penal sphere only the criminal law offenses that are entitled to put the capital market in risk. Finally, the dissertation conclusions are exposed.

O presente trabalho tem como objetivo a análise da ressocialização na execução penal, com especial destaque ao ordenamento jurídico brasileiro. Partindo de uma concepção legitimadora do sistema penal, é feito o estudo das posições fundamentais sobre a finalidade da pena desenvolvidas pelas doutrinas filosófica e penal, com ênfase à finalidade de ressocialização. Seguindo o estudo, são expostos diversos argumentos contra a idéia de ressocialização como única finalidade da pena e também contra sua viabilidade como finalidade da pena no âmbito da execução penal. Por fim, analisa-se o ideal ressocializador nos institutos da Lei de Execução Penal brasileira. São estudados os institutos da execução penal tradicionalmente ligados à idéia de ressocialização e também aqueles cujo enfoque de aplicação muda quando desprezamos tal idéia. Conclui-se o trabalho sustentando-se, em suma, que o ideal ressocializador da execução penal é incompatível com qualquer ordenamento jurídico democrático. / This study\'s goal is to analyze resocialization in corrections, with special emphasis on the Brazilian legal system. Beginning with a legitimating concept of the criminal system, a survey is conducted on the ground theories concerning the purpose of punishment as developed by the philosophical and criminal doctrines, with emphasis on the purpose of resocialization. Thereafter, a number of arguments are exposed that are against the idea of resocialization as the sole finality of punishment and also against its viability as one of the goals of punishment in corrections. Last, the resocialization ideal presented by the Brazilian corrections law is appraised. This appraisal encompasses correctional concepts traditionally related to the idea of resocialization as well as concepts whose application focus changes when one dismisses that notion. The conclusion argues, in short, that the correctional ideal of resocialization is incompatible with any democratic legal system.

Made available in DSpace on 2016-04-26T20:30:02Z (GMT). No. of bitstreams: 1 Michelle Marie Caldas Cruz.pdf: 1245921 bytes, checksum: c1b4066327d739e04e73222c687fa4fd (MD5) Previous issue date: 2009-12-15 / Conselho Nacional de Desenvolvimento Científico e Tecnológico / The present work has the aim to study tributary sanctions in the light of the Federal Constitution, analyzing the limits of the punitive power of the State. Therefore, a doctrinal review was made about the juridical norms theories and the concept of sanction. Sanction, in its basic meaning, is considered a penalty. We defend the existence of a unique Punishment Law, based on constitutional principles and in the least intervention of criminal law. We work in the distinction between illicit tributary and tributary crime, between tributary fee and fee due to fiscal crime, pondering about the accumulation of penalties in the criminal and tributary law, showing the differences between insolvency and fiscal evasion. We also emphasize the question of the lack of a legal device that regulates indexation and its application through the Selic index / O presente trabalho se propõe a estudar as sanções tributárias sobre a ótica da Constituição Federal analisando os limites do poder punitivo estatal. Para tanto promovemos um exame doutrinário acerca das teorias da norma jurídica e do conceito de sanção. Consideramos a sanção, em sua acepção estrita, como penalidade. Defendemos a existência de um Direito Sancionador único pautado nos princípios constitucionais e na intervenção mínima do direito penal. Trabalhamos na distinção entre ilícito tributário e delito tributário, entre a multa tributária e a multa decorrente de delito fiscal, ponderando sobre a cumulação de penalidade nas esferas tributária e penal, diferenciando a inadimplência da sonegação fiscal. Enfatizamos ainda a questão da ausência de dispositivo legal que regule a correção monetária e a aplicação desta, através do índice Selic

A dissertação objetiva defender a possibilidade do princípio da insignificância incidir sobre os atos de improbidade administrativa, à luz da hipótese analisada, na busca de uma interpretação mais humanizante ao viés extremamente sancionatório que a jurisprudência do Superior Tribunal de Justiça aplica à Lei 8.429/92, ao impedir, sequer, cogitar-se do princípio nessa seara. Sem olvidar a relevância da moralidade administrativa, o escopo do trabalho é apenas o de abrir uma fresta para a possibilidade de cabimento do princípio da insignificância, enquanto fundamento de validade principiológica da eventual absolvição de acusados da prática de atos de improbidade administrativa, cuja conduta, na análise do caso concreto, tenha se revelado dotada de ofensividade mínima ao bem jurídico protegido. A relevância normativa dos princípios, bem como das garantias e limites constitucionais contra o poder punitivo do Estado, são decorrência do antropocentrismo que fundamenta a Constituição vigente, levando a Suprema Corte a estabelecer vetores de aplicação do princípio da insignificância, que devem ter a possibilidade de serem estendidos, quando cabíveis, ao julgamento dos atos de improbidade administrativa, seja pelos princípios da proporcionalidade e da razoabilidade, limitadores da discricionariedade, seja por princípios de comum cabimento no direito sancionador, diante do conceito universal de antijuridicidade. Por fim, tendências jurisprudenciais e normativas indicam a possibilidade de aplicação do princípio da insignificância aos atos de improbidade administrativa, para corrigir o entrave criado pelo absolutismo da posição que veda, por completo, a mera cogitação de incidência do princípio. / The purpose of this thesis is to analyze the likelihood of enforcing the principle of insignificance to administrative malfeasance, in view of the hypothesis analyzed, in the search for a more human approach rather than the extremely punitive perspective followed by the Brazilian superior court of justice in relation to Law 8.429/92, by completely disregarding the principle in this sense. Notwithstanding the importance of the administrative morality, the purpose of this paper is to simply look at the possibility of considering the principle of insignificance, as a valid principle of eventual acquittal of those accused of administrative malfeasance, and whose actions might have been perceived as offensive to the assets protected by the law through the analysis of the case. The normative relevance of the principles and the warranties and constitutional limitations against the punitive powers of the State arise from the anthropocentrism that supports the current Constitution, which cause the Brazilian superior court of justice to veto the enforcement of the principle of insignificance, which should be extended, whenever possible, to the judgment of administrative malfeasance, either through principles of proportionality and reasonability, which limit discretion, either through common principles common to the punitive law or to the universal concept of unlawfulness. Finally, case lawrelated and normative trends show the possibility of enforcing the principle of insignificance to administrative malfeasance to correct problems caused by the absolutism of the position that vetoes the possibility of the principle.

O presente trabalho tem como objetivo a análise da ressocialização na execução penal, com especial destaque ao ordenamento jurídico brasileiro. Partindo de uma concepção legitimadora do sistema penal, é feito o estudo das posições fundamentais sobre a finalidade da pena desenvolvidas pelas doutrinas filosófica e penal, com ênfase à finalidade de ressocialização. Seguindo o estudo, são expostos diversos argumentos contra a idéia de ressocialização como única finalidade da pena e também contra sua viabilidade como finalidade da pena no âmbito da execução penal. Por fim, analisa-se o ideal ressocializador nos institutos da Lei de Execução Penal brasileira. São estudados os institutos da execução penal tradicionalmente ligados à idéia de ressocialização e também aqueles cujo enfoque de aplicação muda quando desprezamos tal idéia. Conclui-se o trabalho sustentando-se, em suma, que o ideal ressocializador da execução penal é incompatível com qualquer ordenamento jurídico democrático. / This study\'s goal is to analyze resocialization in corrections, with special emphasis on the Brazilian legal system. Beginning with a legitimating concept of the criminal system, a survey is conducted on the ground theories concerning the purpose of punishment as developed by the philosophical and criminal doctrines, with emphasis on the purpose of resocialization. Thereafter, a number of arguments are exposed that are against the idea of resocialization as the sole finality of punishment and also against its viability as one of the goals of punishment in corrections. Last, the resocialization ideal presented by the Brazilian corrections law is appraised. This appraisal encompasses correctional concepts traditionally related to the idea of resocialization as well as concepts whose application focus changes when one dismisses that notion. The conclusion argues, in short, that the correctional ideal of resocialization is incompatible with any democratic legal system.

Research problem: This research focused on the following problem statement: What management strategies can be developed and used to advance effective social justice practice in schools? Research aims: Arising from the problem question, the research aims were firstly to determine theoretically, the nature of social justice (Chapter Two) and secondly to identify and analyse theoretically, the determinants that contribute to social justice practices (Chapter Three). This was done by means of a comprehensive literature review. The third aim was to qualitatively analyse effective social justice praxis in selected schools in the North-West and Western Cape Provinces (Chapter Four and Five). From the analysis and literature review, management strategies for effective social justice practice in schools (Chapter Six) were developed as part of the empirical investigation. Research methodology: The empirical investigation realised the third aim, to analyse qualitatively effective social justice praxis in selected schools by means of individual and focus group interviews which were based on the philosophical paradigm of a constructivist-grounded theory and a hermeneutic, phenomenological methodology that enabled me to listen and be part of the discursive portrayals of the participant-principals’ effective social justice praxis. The qualitative data collection and methodology entailed considerations with regard to ethical conduct between myself and the role-players, i.e. the researcher, the Ethics Committee (NWU Faculty of Education Sciences), the role of departmental officials, the role of participant principals, and documentation used. Attention was paid to determine the target population, participant and sample selection from the North-West and Western Cape provinces in accordance with predetermined criteria. These criteria were, inter alia, that these principals would: have a proven track record to demonstrate an understanding of the concept of justice and social justice; would adhere to and implement legal determinants of social justice praxis with regard to the constitutional values and human rights; provide proven evidence of social justice praxis as equality, human dignity and freedom; implement political imperatives such as the Manifesto on Values, Education for All; acknowledge the need for fair distribution and educational transformation; provide a moral basis for recognition, identity formation and social justice praxis; apply a deliberative democratic praxis; promote accountability, school achievement, and as prospective and transformative leaders believe in and practice an embracing social justice. The researcher prepared the necessary documentation, the interview protocol and interview schedule to enter the field, as well as entering the field of research (principals at schools and district offices) to conduct and record the interviews which she afterwards transcribed. The method of qualitative data analysis included three phases: Phase I that considered the first hearing-reading, Atlas.ti™ dry-run and initial code-lists; Phase II, the translation processes, and Phase III, the abstraction and crystallisation processes. The criteria for soundness were established in the account of authentic validity and credibility of the study. The collected qualitative data was analysed by means of the Atlas.ti™ software programme as a result of which seven themes and three sub-themes for each theme emerged. These themes were the principal and social justice praxis, learners, education in general, constitutional values, educational partners, the government and political establishments, and social justice: its ontology and praxis. Development of management strategies: Education is about understanding and this study presented those management strategies that culminated in answers to the fundamental question: “What management strategies can be developed and used to advance effective social justice practice in schools?” The development of management strategies are the result of the literature review and the empirical investigation. The strategy development process consisted of a three-phase strategy framework: strategy planning (aims and objectives), strategy implementation (action plan and persons), and strategy evaluation. From this process, seven aims were developed in accordance with the seven identified themes: the principal, the learners, education in general, Constitutional values, partners in education, government, political and union matters, and the ontology and praxis of social justice. These management strategies include inter alia: • Optimising the school principal’s virtues of responsibility, authenticity and presence as gemeinschaft (community) relationships to ensure effective social justice praxis (§5.2). • Inculcate a disciplined school environment for learners to embrace human diversity and dignity, democracy, and Ubuntu-principles (§5.3) to optimise effective social justice praxis. • Influence education in general - system and structures - to optimise effective social justice praxis (§5.4). • Foster constitutional values and human rights as effective social justice praxis (§5.5). • Establish a social justice culture amongst educational partners who are essential to school development and governance to optimise effective social justice praxis (§5.6). • Convince government and union officials and influence political matters to serve the best interest of the child (§5.7) to ensure social justice praxis. • Actualise management strategies for social justice praxis that epitomise compassion, love, care and human rights in a participative and respectful environment (§5.8). • These management strategies were described as techniques or aims, objectives and action steps to provide answers to the questions where and how, which determined on which level or levels these strategies were to be performed. Main findings: • At a conceptual and a theoretical level: Conceptually and theoretically this study established, for the first time, specific determinants of social justice praxis (Chapters Two and Three) and its management. This contribution is found in the syntheses that followed each conceptual discussion of justice (§2.2.7) and social justice (§2.3.4), as well as the syntheses and evaluation of these determinants (§3.2-§3.4) for social justice praxis. These determinants may be regarded as an attempt at purified, cleansed theorising with respect to social justice praxis. This study found that social justice does exist in the hearts of the principals who took part in this study and that social justice belongs to all learners, to all of humanity, whoever they are or whatever their circumstances may be. Social justice is, essentially, embodied and lived love-in-practice towards all. However, the effectiveness of social justice praxis is usually determined by pragmatic circumstances that dictate the scale and scope of its efficacy. This study found that social justice praxis in schools should deviate from a mere legalistic or juridical notion because it progressed beyond the conceptual boundaries and theoretical limits of juristic thinking towards an attempt at linking social justice praxis to a humanising pedagogy. As a consequence, social justice in this research cuts across all man-made barriers: it has become a prospective notion that reflects its restorative and transformational nature and role. • At a strategic level: Strategically, this research found that the possibility of various cycles of action research in schools as well as in higher education institutions exists. The seven themes could be viewed in isolation, but if regarded, as found in this research, as seven levels that build upon each other and whose strengths or weaknesses are interdependent, it becomes self-evident that social justice forms the basis of cohesive and holistic social justice praxis. The seven strategies (§5.2-§5.8) developed in this research may, in future, inform research and praxis in schools and higher learning institutions in order to confirm or refute the theory presented herewith. • At policy-making level: This study has implications for policy design and management development, not only at basic education level, but also at national level. This study found that social justice specifically, has neither adequately, nor officially been addressed in relevant policies. If policy amendments were to be made and management strategies for social justice praxis in schools become an essential part of national policy, it will have implications at the level of further professional development of school principals, such as the current ACE School Leadership Programme. In addition, teachers’ in-service professional development will have to include these management strategies in the offering of short courses. Furthermore curriculum changes will have to follow to incorporate pre-service or initial training programmes of Higher Education institutions that offer teacher training programmes which may have a snowball effect at provincial and school curricula levels. Another important finding of this research is that, in future, the binding agent amongst schools may yet prove to be social justice and not geo-social and/or socio-economic markers, as is the case at present. In this manner social justice may become a lived curriculum that will permeate the entire education system in South Africa, but more so, will permeate the school culture of every school. Recommendations: A management strategy for effective social justice praxis in schools should be developed at national level but specifically to schools should be tailor-made for each school, because social justice praxis becomes visible in the acts of individual men and women, girls and boys, who regard the other as equally well as the self and therefore the following recommendations are important: • Continuous professional development of principals and teachers. • The right to education and its praxis to ensure the best interest of the child should be incorporated in the Life Orientation curriculum. • Have a collective vision of schools that truly strive, cherish and inculcate a pedagogy of social justice praxis to ensure that education is life-generating, life engendering, causing life or life awakening (onderwys is lewe wek). • Fairness as a moral construct should be visible in institutions where values of fairness, equality and social justice permeate the institution and provide a moral and structural frame for judgements based on the principle of fiduciary trust. • Schools should become community hubs as centrifugal force that embraces views on African culture, Ubuntu principles and Indigenous Knowledge Systems. • Create district-wide power teams that will train teachers in positive conduct as well as assist and provide interventions. • Principals and teachers have to take responsibility and agency for social justice pedagogy. / Thesis (Ph.D. (Education Management))--North-West University, Potchefstroom Campus, 2013

No description available.

La situation actuelle des règles relatives à la responsabilité civile de l'entrepreneur pour les dommages environnementaux provoqués par l’exploitation offshore d’hydrocarbure et le transport de ce produit par des navires pétroliers, démontre que le législateur a été de plus en plus concerné par la question de la santé environnementale. Cependant, il y a beaucoup de lacunes dans les lois nationales qui peuvent entraîner une incertitude juridique considérable pour l'entrepreneur et en même temps, ne pas fournir une protection adéquate à l'environnement et à l’homme. L’étude comparée des systèmes juridiques démontre qu’il est extrêmement important que les pays qui sont exposés aux périls des marées noires, notamment ceux qui exploitent des hydrocarbures dans la mer, disposent d’un fonds spécial d’indemnisation pour garantir et faciliter la restauration de l’environnement et le payement des indemnisations aux victimes. Outre la protection de l’environnement et des droits des citoyens, le fonds offre aussi la possibilité d’application des cas exceptés et de la limitation de responsabilité. Le fonds serait utilisé pour couvrir les préjudices au-delà de la limite de responsabilité de l’entrepreneur ou dans les cas où la responsabilité de celui-ci est écartée par un cas excepté. / The current situation of the rules governing the liability of the entrepreneur for environmental damage caused by offshore oil exploration and by the transportation of this product by oil tankers, shows that the legislator is more concerned with environmental health issues. However, there are many gaps in national legislations that can lead to considerable legal uncertainty for the responsible parties. While, at the same time it does not provide adequate protection for the environment and to human beings. The comparative study of legals systems shows the importance that countries that are exposed to the dangers of oil spills, especially those exploiting oil in the sea, to have a special indemnisation fund to guarantee and facilitate environmental restoration and payment of compensation to victims. Besides protecting the environment and citizens' rights, the fund also offers the possibility of applying the defenses of liability and limitation of liability. The funds would be used to cover the losses beyond the limit of liability of the responsible partie or when the responsibility for the accident is ruled out by a liability defense cause.

Made available in DSpace on 2014-12-17T14:27:20Z (GMT). No. of bitstreams: 1 KleberMA_DISSERT.pdf: 1461889 bytes, checksum: 7c8661bbb7361e8b5952cf97119c6280 (MD5) Previous issue date: 2012-04-27 / This paper analyzes the relationship between fundamental rights and the exercise of the claim punitive society in a democratic state. It starts with the premise that there are fundamental rights that limit and determine the validity of all forms of manifestation of the claim punitive society (legislating, investigative, adjudicative or ministerial) and there are others that require the state the right exercise, fast and effective of these activities. Travels to history in order to see that the first meaning of these rights was built between the seventeenth and eighteenth centuries, after all a history of abuses committed by state agents in the exercise of criminal justice, and positively valued in the declarations of human rights and proclaimed in the constitutions after the American and French Revolutions, while the second meaning has been assigned between the nineteenth and twentieth centuries, when, because of the serious social problems generated largely by absenteeism state, it was noted that in addition to subjective rights the individual against the state, fundamental rights are also objective values, which trigger an order directed the state to protect them against the action of the offending individuals themselves (duty to protect), the mission of which the State seeks to discharge, among other means, through the issue of legal rules typifying the behavior detrimental to such rights, subject to penalties, and the concrete actions of public institutions created by the Constitution to operate penal law. Under this double bias, it is argued that the rule violates the Constitution in the exercise of the claim punitive society as much as by excess malfere fundamental rights that limit, as when it allows facts wrong by offending fundamental rights, remain unpunished either by inaction or by insufficient measures taken abstractly or concretely provided / O presente trabalho analisa a rela??o entre os direitos fundamentais e o exerc?cio da pretens?o punitiva da sociedade no Estado Democr?tico de Direito. Parte-se da premissa de que h? direitos fundamentais que limitam e condicionam a validade de todas as formas de manifesta??o da pretens?o punitiva da sociedade (legiferante, investigativa, ministerial ou judicante), assim como h? outros que imp?em ao Estado o exerc?cio certo, r?pido e eficaz dessas atividades. Percorre-se a Hist?ria a fim de se constatar que a primeira acep??o destes direitos foi constru?da entre os s?culos XVII e XVIII, ap?s todo um hist?rico de abusos cometidos pelos agentes do Estado no exerc?cio da justi?a criminal, sendo positivada nas declara??es de direitos humanos e nas constitui??es proclamadas ap?s as Revolu??es Francesa e Americana, ao passo que a segunda acep??o foi assimilada entre os s?culos XIX e XX, quando, em virtude dos graves problemas sociais gerados em grande parte pelo absente?smo estatal, percebeu-se que, al?m de direitos subjetivos do indiv?duo contra o Estado, os direitos fundamentais s?o tamb?m valores objetivos, que desencadeiam uma ordem dirigida ao Estado no sentido de proteg?-los contra a a??o infratora dos pr?prios particulares (dever de prote??o), miss?o da qual o Estado busca se desincumbir, dentre outros meios, atrav?s da edi??o de normas jur?dicas tipificadora de comportamentos lesivos a tais direitos, sob pena de san??o, e da a??o concreta de institui??es p?blicas criadas pela pr?pria Constitui??o para operacionalizar a lei penal. Sob esse duplo vi?s, sustenta-se que o Estado viola a Constitui??o no exerc?cio da pretens?o punitiva da sociedade tanto quando, por excesso, malfere os direitos fundamentais que a limitam, como quando permite que fatos il?citos, por ofensivos aos direitos fundamentais, permane?am impunes, quer por ina??o, quer por insufici?ncia das medidas abstratamente previstas ou concretamente adotadas

Submitted by Mirian Albert Pires (mirianalbert@yahoo.com.br) on 2018-07-26T17:23:09Z No. of bitstreams: 1 Irresponsabilidade Social Empresarial - O caso Mariana - Tese - Mirian - Final.pdf: 2700004 bytes, checksum: 478a9b4de7ac44c898648f186318d969 (MD5) / Approved for entry into archive by ÁUREA CORRÊA DA FONSECA CORRÊA DA FONSECA (aurea.fonseca@fgv.br) on 2018-07-30T18:56:15Z (GMT) No. of bitstreams: 1 Irresponsabilidade Social Empresarial - O caso Mariana - Tese - Mirian - Final.pdf: 2700004 bytes, checksum: 478a9b4de7ac44c898648f186318d969 (MD5) / Made available in DSpace on 2018-08-07T14:36:39Z (GMT). No. of bitstreams: 1 Irresponsabilidade Social Empresarial - O caso Mariana - Tese - Mirian - Final.pdf: 2700004 bytes, checksum: 478a9b4de7ac44c898648f186318d969 (MD5) Previous issue date: 2018-06-27 / Esse trabalho investigou o tema Irresponsabilidade Social Empresarial, a partir de um estudo de caso relativo ao desastre ambiental causado pela Samarco Mineração S.A. ao município de Mariana-MG, que impactou todas as cidades localizadas na região dos rios Gualaxo do Norte, do Carmo e Doce. Diante dessas considerações, apresentou como objetivo geral o propósito de constatar se a identificação social com a Samarco Mineração S.A., que surge em função dos benefícios econômicos proporcionados por ela a alguns municípios, reduz a atribuição de culpa dessa empresa e a intenção punitiva de um evento de irresponsabilidade social, além de gerar impacto para demais atribuições e sentimentos que possam surgir nos indivíduos-alvo da investigação. Alguns modelos teóricos forneceram subsídios para a testagem de dois modelos empíricos que foram testados e possibilitaram alcançar esse objetivo. Em termos metodológicos, trata-se de um estudo quantitativo, adotando a técnica do estudo de caso, aplicando um questionário com 1616 moradores de cinco cidades afetadas pelo desastre, coletado presencialmente na sua maior parte. Os dados de cada cidade foram analisados com o uso da modelagem de equações estruturais, com auxílio do software Stata versão 14, e posteriormente os resultados de cada cidade foram comparados entre si. Com relação a esses resultados, o modelo relacionando os benefícios econômicos e a Irresponsabilidade Social Empresarial, ajustado com base nas sugestões do modification indices, gerou resultados estatísticos com um bom ajuste considerando os indicadores apresentados. Como conclusão desse modelo, foi possível constatar que os benefícios para a economia local afetaram negativamente a intenção punitiva dos moradores das cidades de Anchieta-ES, Guarapari-ES e Mariana-MG, cidades essas que eram beneficiadas economicamente pela Samarco Mineração S.A. Além disso, foi identificado por intermédio desse modelo que, para as cidades de Anchieta-ES, Colatina-ES, Guarapari-ES, Linhares-ES e Mariana-MG, a severidade/gravidade do evento afetou positivamente a atribuição de culpa à empresa; e a intenção punitiva afetou positivamente a intenção de fazer comentários negativos à mineradora. Quanto ao modelo dos sentimentos negativos relacionados à Irresponsabilidade Social Empresarial, que também foi ajustado com base nas sugestões do modification indices, os resultados estatísticos evidenciaram um bom ajuste de acordo com os indicadores apurados. Como conclusão desse segundo modelo, foi verificado que a ganância afetou positivamente a percepção de falta de integridade da empresa, que, por sua vez afetou de forma positiva a sensação de ultraje moral, que, na sequência, gerou efeito positivo sobre os comentários negativos dos indivíduos pesquisados. Houve uma contribuição no sentido de evidenciar os processos da sociedade que contribuem para a existência e manutenção da Irresponsabilidade Social Empresarial. Foram apresentadas as discussões para esses resultados, bem como as contribuições teóricas, metodológicas e práticas do estudo, além da proposição de uma agenda futura de pesquisas relacionadas ao tema irresponsabilidade social empresarial. / This study explores the issue of Corporate Social Irresponsibility, using a case study on the environmental disaster caused by Samarco Mineração SA in the municipality of Mariana-MG, which impacted all cities located in the region of the rivers Gualaxo do Norte, Carmo and Doce. The main objective was to determine whether the social identification of the affected population with Samarco Mineração SA – built based on the economic benefits of the company for the municipalities in the region – reduces the blame attribution and the punitive intention towards the company because of the event of social irresponsibility. And to see whether this social identification impacts on other attributions and feelings that may be observed in the population targeted in the study. Some theoretical models supported the testing of two empirical models that were applied and contributed to achieve the study’s objective. As for the methodology, it is a quantitative study using a case study and applying a questionnaire with 1,616 inhabitants of five cities affected by the disaster, collected mostly in person. The data in each city were analyzed using structured equation modeling processed through the software Stata 14. The results for each of the cities were then compared. Regarding the results, the model relating the economic benefits and the Corporate Social Irresponsibility (adjusted based on the suggestions of the modification indices), generated statistical results with a good adjustment considering the indicators presented. The conclusion, considering this first model, is that the benefits to the local economy negatively affected the punitive intention of the residents of the municipalities of Anchieta-ES, Guarapari-ES and Mariana-MG, benefited economically by Samarco Mineração SA. In addition, it was possible to observe that, for the cities Anchieta-ES, Colatina-ES, Guarapari-ES, Linhares-ES and Mariana-MG, the severity of the event positively affected the blame attribution towards the company; and the punitive intention positively affected the intention of making negative comments to the mining company. As for the model of negative feelings related to Corporate Social Irresponsibility, which was also adjusted based on the suggestions of the modification indices, the statistical results showed a good adjustment according to the indicators presented. The conclusion, considering this second model, is that the perception of greed on the part of the company positively affected the perception around its lack of integrity, which in turn positively affected the feeling of moral outrage, and had a positive effect on the negative comments of the participants. It was possible to highlight the processes of society that contribute to the existence and maintenance of Corporate Social Irresponsibility. The results are discussed considering theoretical, methodological and practical contributions of the study and an agenda for future research is proposed in order to explore the issue of corporate social irresponsibility.