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Compliance, investigações internas e prova penal
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Nos últimos anos, tem-se verificado um crescimento constante da importância do Criminal Compliance no contexto das pessoas coletivas, motivado pela crescente exigência legal e pela necessidade de prevenir a prática de infrações criminais no âmbito empresarial. Um dos principais instrumentos do Criminal Compliance são as investigações internas, que visam apurar infrações cometidas dentro das organizações e assegurar a sua correta gestão. Estas investigações permitem a recolha de diversos elementos informativos que, em certos casos, podem constituir provas valiosas para processos penais subsequentes. Assim, torna-se essencial compreender em que medida os dados e informações recolhidos nestas investigações internas podem ser utilizados como meio de prova em sede penal, respeitando os direitos dos trabalhadores e as garantias do processo penal. Esta investigação dedica-se a clarificar os conceitos fundamentais relacionados com os programas de Compliance e as investigações internas, explorando a sua articulação e as implicações jurídicas decorrentes. Ademais, aborda-se a questão de saber se a realização de investigações internas é um direito, um dever ou uma obrigação para as pessoas coletivas. Por fim, a dissertação pretende contribuir para o debate jurídico-científico sobre os limites à valoração dos elementos recolhidos nas investigações internas enquanto prova penal, evidenciando as dúvidas e preocupações existentes nesta matéria, e propondo orientações para uma melhor harmonização entre a eficácia do Criminal Compliance e a salvaguarda dos direitos fundamentais no processo penal.
In recent years, there has been a steady increase in the importance of Criminal Compliance in the context of legal persons, motivated by growing legal requirements and the need to prevent the commission of criminal offences in the corporate sphere. One of the main instruments of criminal compliance is internal investigations, which aim to investigate offences committed within organizations and ensure their proper management. These investigations allow for the collection of various pieces of information which, in certain cases, can constitute valuable evidence for subsequent criminal proceedings. It is therefore essential to understand the extent to which the data and information gathered in these internal investigations can be used as evidence in criminal proceedings, while respecting the rights of workers and the guarantees of the criminal process. This research is dedicated to clarifying the fundamental concepts related to Compliance programs and internal investigations, exploring their articulation and the resulting legal implications. It also addresses the question of whether conducting internal investigations is a right, a duty or an obligation for legal persons. Finally, the dissertation aims to contribute to the legal-scientific debate on the limits to valuing the elements collected in internal investigations as criminal evidence, highlighting the doubts and concerns that exist in this area, and proposing guidelines for better harmonization between the effectiveness of Criminal Compliance and the safeguarding of fundamental rights in criminal proceedings.
In recent years, there has been a steady increase in the importance of Criminal Compliance in the context of legal persons, motivated by growing legal requirements and the need to prevent the commission of criminal offences in the corporate sphere. One of the main instruments of criminal compliance is internal investigations, which aim to investigate offences committed within organizations and ensure their proper management. These investigations allow for the collection of various pieces of information which, in certain cases, can constitute valuable evidence for subsequent criminal proceedings. It is therefore essential to understand the extent to which the data and information gathered in these internal investigations can be used as evidence in criminal proceedings, while respecting the rights of workers and the guarantees of the criminal process. This research is dedicated to clarifying the fundamental concepts related to Compliance programs and internal investigations, exploring their articulation and the resulting legal implications. It also addresses the question of whether conducting internal investigations is a right, a duty or an obligation for legal persons. Finally, the dissertation aims to contribute to the legal-scientific debate on the limits to valuing the elements collected in internal investigations as criminal evidence, highlighting the doubts and concerns that exist in this area, and proposing guidelines for better harmonization between the effectiveness of Criminal Compliance and the safeguarding of fundamental rights in criminal proceedings.
Descrição
Tese de mestrado, Direito e Prática Jurídica, 2025, Faculdade de Direito, Universidade de Lisboa
Palavras-chave
Responsabilidade penal Pessoas colectivas Criminal compliance Investigação empresarial Direitos dos trabalhadores Processo penal Garantias Prova penal Limites Teses de mestrado - 2025