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A prova nas investigações internas corporativas
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Esta dissertação estuda o regime de obtenção de provas nas investigações internas corporativas e tem como problema as limitações a elas aplicadas com maior foco no ordenamento jurídico brasileiro. Estudam-se os programas de prevenção de ilícitos, originalmente chamados de compliance, uma vez que a própria noção de investigação interna passa necessariamente pela existência desses programas como modelo de autorregulação empresarial. Por essa razão, adotou-se a abordagem histórica do compliance no regime internacional e no Brasil, passando pelas exigências de idoneidade desses programas. A pesquisa dedicou um capítulo específico para responsabilidade penal da pessoa jurídica, pois aqui se entende insuficiente que as investigações internas tenham foco apenas na relação sancionatória administrativa da empresa. A segunda parte é dedicada à conceituação de investigação interna, à regulação na experiência internacional e, com foco no ordenamento jurídico brasileiro, demonstrar que a lacuna legislativa existente não inviabiliza a existência do instituto, que é suprido por garantias constitucionais. Ato contínuo, o trabalho entra no regime de provas. Historicamente, o regime de proibição de obtenção de prova se aplicava exclusivamente ao Estado. Notadamente, no Direito Continental Europeu, a Declaração de Direitos do Homem e do Cidadão teve o objeto ampliado, impondo ao Estado não apenas freios à atuação, como também tornando-o guardião do bem-estar dos cidadãos. Portanto, cria-se a denominada eficácia horizontal dos direitos fundamentais que, por via de consequência, impõe aos particulares a observância dos direitos e das garantias fundamentais também nas relações privadas. A conclusão foi de que o limite à produção de prova deve compreender a finalidade da investigação. Se o objetivo for o de utilizar aquele caderno investigativo em futura ação penal contra o colaborador, os limites serão iguais àqueles das instâncias públicas de investigação. Caso contrário, princípios típicos de direito penal são contrabalanceados com regras do direito do trabalho e civilista.
This dissertation studies the exclusionary rules in internal corporate investigations and its problem is to determine the limitations applied to them, with greater focus on the Brazilian legal system. It studies illicit prevention programs, originally called compliance programs, since the very notion of an internal investigation necessarily involves the existence of these programs as a model of corporate self-regulation. For this reason, a historical approach to compliance in the international system and in Brazil was adopted, including the requirements for the suitability of these programs. The research has dedicated a specific chapter to the criminal liability of legal entities, as it is considered insufficient for internal investigations to focus solely on the company's administrative sanctions. The second part is dedicated to the conceptualization of internal investigations, their regulation in international experience and, with a focus on the Brazilian legal system, demonstrating that the existing legislative gap does not make the existence of the institute unfeasible, which is supplied by constitutional guarantees. The work then enters the evidence regime. Historically, the exclusionary rules applied exclusively to the state, by the State action doctrine. Notably in continental European law, the Declaration of the Rights of Man and of the Citizen has broadened the scope of the prohibition, imposing on the state not only curbs on its actions, but also making it the guardian of citizens' well-being. Therefore, the so-called horizontal effectiveness of fundamental rights was created which, as a consequence, imposes on private individuals the observance of fundamental rights and guarantees in private relations as well. The conclusion was that the limit on the production of evidence must include the purpose of the investigation. If the aim is to use that investigative file in a future criminal action against the collaborator, the limits will be the same as those of public investigation bodies. Otherwise, typical criminal law principles are balanced against labor and civil law rules.
This dissertation studies the exclusionary rules in internal corporate investigations and its problem is to determine the limitations applied to them, with greater focus on the Brazilian legal system. It studies illicit prevention programs, originally called compliance programs, since the very notion of an internal investigation necessarily involves the existence of these programs as a model of corporate self-regulation. For this reason, a historical approach to compliance in the international system and in Brazil was adopted, including the requirements for the suitability of these programs. The research has dedicated a specific chapter to the criminal liability of legal entities, as it is considered insufficient for internal investigations to focus solely on the company's administrative sanctions. The second part is dedicated to the conceptualization of internal investigations, their regulation in international experience and, with a focus on the Brazilian legal system, demonstrating that the existing legislative gap does not make the existence of the institute unfeasible, which is supplied by constitutional guarantees. The work then enters the evidence regime. Historically, the exclusionary rules applied exclusively to the state, by the State action doctrine. Notably in continental European law, the Declaration of the Rights of Man and of the Citizen has broadened the scope of the prohibition, imposing on the state not only curbs on its actions, but also making it the guardian of citizens' well-being. Therefore, the so-called horizontal effectiveness of fundamental rights was created which, as a consequence, imposes on private individuals the observance of fundamental rights and guarantees in private relations as well. The conclusion was that the limit on the production of evidence must include the purpose of the investigation. If the aim is to use that investigative file in a future criminal action against the collaborator, the limits will be the same as those of public investigation bodies. Otherwise, typical criminal law principles are balanced against labor and civil law rules.
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Compliance Obtenção de prova Direitos fundamentais Teses de mestrado - 2024 Compliance Obtaining evidence Fundamental rights