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A imputação objetiva em Direito Penal consiste na atribuição jurídica de um resultado típico a uma conduta de um agente, a partir da observação do padrão de matriz científica e filosófica da causa-efeito, inerente ao estudo dos comportamentos humanos e das suas consequências práticas, constituindo tal atribuição um dos passos fundamentais da classificação de um facto como crime.
Através do reconhecimento do conceito da causalidade como figura de destaque no âmbito da problemática da imputação, e encontrando-se a presente investigação académica estruturada por referência aos factos
praticados por ação pelas pessoas singulares, inicia-se esta incursão apresentando breve exposição relativa ao panorama existente antes da aplicação desse conceito fundamental ao Direito, nomeadamente através do emprego de ordálias.
Assim definida a essencialidade da causalidade em sede de imputação objetiva, encontram-se reunidas as condições necessárias para a apreciação crítica dos principais modelos teóricos de imputação objetiva, que se identificam como a teoria da equivalência de condições, a teoria da adequação e a teoria da conexão de risco, bem como, a título comparativo, breve estudo dos sistemas de imputação de alguns dos principais países dos ordenamentos jurídicos de common law e do Brasil.
A apreciação da evolução dos termos daquelas, dos seus métodos de funcionamento e aplicação e das críticas recebidas, permite depois a concentração investigativa, devidamente informada, nas questões centrais desta Dissertação, relativas ao concurso de causas e perigos na produção de um evento lesivo.
Nas sociedades modernas, a multiplicidade de fatores que pode convergir, de forma real e efetiva, bem como virtual e não concretizada, na causação de um determinado resultado, constitui um contexto de pluralidade factual tendencialmente cada vez mais frequente, necessitando, por isso, de soluções jurídicas que compreendam e acomodem tais problemas.
Estes não são dotados, porém, de soluções normativas uniformes, sendo que os critérios e fundamentos apresentados para a resolução de tais questões, tanto quando para a produção de um resultado concorrem, de forma neste materializada, várias causas, por meio de diversas possibilidades de combinação causal, bem como no contexto da sua concorrência virtual, em que a concretização de todas estas fica aquém da sua materialização no evento lesivo face à interrupção do nexo causal, e distintas problemáticas a si estreitamente associadas, encontram largas divergências na doutrina e na jurisprudência. Esta Dissertação, através da
pesquisa e investigação apresentadas, procura dar-lhes resposta.
In criminal law, objective imputation consists of the legal attribution of a typical result to an agent´s conduct, from the observation of the scientific and philosophical origin of the cause-effect relation, constituting that attribution one of the critical steps in classifying a fact as a crime. Through the recognition of the concept of causality as the prominent figure in the study of imputation, and since this academic investigation is structured in reference to facts committed by action, by natural persons, this incursion is started with a brief exposition relating to a previous overview, existing before the application of this fundamental concept in the field of Law, namely through the employment of trials by ordeal. Then, having defined, in these terms, the importance of causality in objective imputation, conditions are apt for the critical appreciation of the main theoretical models of attribution, which are the theory of equivalence of conditions, the theory of adequacy and the theory of risk connection, as well as for a brief study of the attribution systems in place in some of the main countries in the common law nations and in the Brazilian penal system. Studying the evolution of theirs terms, their functioning and application methods and the critical reviews which these theories have been subjected to, then allows the concentration of the investigative efforts, duly informed, in the central questions of this Dissertation, relating to concurrent causes and menaces in the origination of a harmful event. In modern societies, the multiplicity of factors which may converge, in a real and effective way, as well as in a virtual and not fully materialized way, in causing a certain result, constitutes a context of factual plurality tendentially more frequent and therefore more in need of juridical solutions which can understand and accommodate such problems. However, these problems do not possess even and equal normative solutions, be it in the situations when, for the production of a result, several causes compete, in actuality, in the production of the result, be it when that causal competition is present in its virtual terms, in which no all causes do not reach the completion stage due to an interruption in the casual link and other issues closely related. In these instances, the criteria facing these questions provides instead several different jurisprudence and doctrinal responses, without a consensus to these questions. This Dissertation, through the research and investigation presented, tries to answer them.
In criminal law, objective imputation consists of the legal attribution of a typical result to an agent´s conduct, from the observation of the scientific and philosophical origin of the cause-effect relation, constituting that attribution one of the critical steps in classifying a fact as a crime. Through the recognition of the concept of causality as the prominent figure in the study of imputation, and since this academic investigation is structured in reference to facts committed by action, by natural persons, this incursion is started with a brief exposition relating to a previous overview, existing before the application of this fundamental concept in the field of Law, namely through the employment of trials by ordeal. Then, having defined, in these terms, the importance of causality in objective imputation, conditions are apt for the critical appreciation of the main theoretical models of attribution, which are the theory of equivalence of conditions, the theory of adequacy and the theory of risk connection, as well as for a brief study of the attribution systems in place in some of the main countries in the common law nations and in the Brazilian penal system. Studying the evolution of theirs terms, their functioning and application methods and the critical reviews which these theories have been subjected to, then allows the concentration of the investigative efforts, duly informed, in the central questions of this Dissertation, relating to concurrent causes and menaces in the origination of a harmful event. In modern societies, the multiplicity of factors which may converge, in a real and effective way, as well as in a virtual and not fully materialized way, in causing a certain result, constitutes a context of factual plurality tendentially more frequent and therefore more in need of juridical solutions which can understand and accommodate such problems. However, these problems do not possess even and equal normative solutions, be it in the situations when, for the production of a result, several causes compete, in actuality, in the production of the result, be it when that causal competition is present in its virtual terms, in which no all causes do not reach the completion stage due to an interruption in the casual link and other issues closely related. In these instances, the criteria facing these questions provides instead several different jurisprudence and doctrinal responses, without a consensus to these questions. This Dissertation, through the research and investigation presented, tries to answer them.
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Keywords
Direito penal Imputação Causalidade Risco Multiplicidade Teses de mestrado - 2018