Banca de DEFESA: Vania Lucia Ribeiro Vieira

Uma banca de DEFESA de DOUTORADO foi cadastrada pelo programa.
STUDENT : Vania Lucia Ribeiro Vieira
DATE: 19/12/2023
TIME: 10:00
LOCAL: https://meet.google.com/mwq-sstr-zuw
TITLE:

The assessment of corporate behavior in the administrative sanctioning process: State responsiveness in the analysis of the legal person's culpability due to a permanent self-regulation deficit

KEY WORDS:

regulation; responsive; behavior; conduct; company; legal person; responsibility; culpability.

PAGES: 400
BIG AREA: Ciências Sociais Aplicadas
AREA: Direito
SUMMARY:

This thesis examines the challenges related to the regulation of corporate behavior, especially when sanctions are used as an exclusive or privileged instrument of enforcement, as occurs in systems that emphasize command and control regulatory techniques. In this sense, presenting the historical path that culminated in the understanding of regulation as the main instrument for shaping conduct and aiming to verify whether, and to what extent, the company's conduct has been the subject of assessment in Brazilian law, the work was dedicated to the analysis of the national legal regimes that govern the administrative process sanctioning legal entities in the consumer, bidding, contractual administrative, regulatory, tax, financial, competition, anti-corruption, environmental and data protection spheres. This analysis made it possible to verify the prevalence in Administrative Law of the rule of objective attribution of guilt to the legal entity, even though, more recently, some advances have been observed in legislation and jurisprudence in the sense of adopting mitigated objective liability. Thus, based on the premise that regulatory models anchored in the Theory of Responsive Regulation are more successful in the task of obtaining the conformation of conduct and inducing the adoption of virtuous behaviors beyond compliance, this thesis proposes that the Brazilian administrative sanctioning process be regulated by a general rule that, incorporating the institute of culpability in Criminal Law, interpreted in light of the mixed theory of legal entity liability for permanent self-regulation deficit, by Adán Nieto Martín, establishes the need for corporate culpability – revealed through of the set of measures specifically adopted by the company in compliance with its due diligence duties – is assessed within the scope of the processes in order to ensure that the State's regulatory-sanctioning response, when considering the global profile of the legal entity, is responsively the most effective and appropriate to the specific case. As a development of one of the pillars of the central thesis presented, namely that in a risk society, corporations must be responsible for the prevention, control and remediation of risks, including abstract ones, arising from their activities, it is also proposed , the implementation of compliance duties by certain groups, segments or categories of companies is made mandatory. Finally, it is also suggested that a model be established that is not only equally responsive, but also one of network regulation, supervision and inspection of the fulfillment of these duties by multiple state and non-state actors, in order to allow the State, taking advantage of using dissuasion and persuasion strategies, according to the multiple profiles and postures of the most different companies, inserted in the most diverse circumstances and environments, obtain the best performance in the search for the conformation of corporate behavior.

COMMITTEE MEMBERS:
Externa à Instituição - CRISTIANA MARIA FORTINI PINTO E SILVA - UFMG
Externo à Instituição - EDUARDO SAAD DINIZ - USP-RB
Interno - 1206283 - ALEXANDRE KEHRIG VERONESE AGUIAR
Interna - 1828282 - AMANDA ATHAYDE LINHARES MARTINS RIVERA
Presidente - 2292593 - MARCIO NUNES IORIO ARANHA OLIVEIRA