Chain of custody and corporate internal investigations: possibilities, enforceability and procedural consequences of its violation

Detalhes bibliográficos
Autor(a) principal: Januário, Túlio Felippe Xavier
Data de Publicação: 2021
Tipo de documento: Artigo
Idioma: por
Título da fonte: Revista Brasileira de Direito Processual Penal (Online)
Texto Completo: https://revista.ibraspp.com.br/RBDPP/article/view/453
Resumo: The aim of the present essay is to analyze the following questions: Is it possible and enforceable the observance of the chain of custody of the evidence from corporate internal investigations? Which are the eventual implications of its violation when it is intended to present these elements in a future criminal procedure? To answer these questions, we will initially carry out a brief study on the origins, formalities and purposes of these procedures, which are closely related to the mechanisms of enforced self-regulation, particularly to the compliance programs. However, since they are diligences promoted in a private scope, without due adversarial procedures and with limited state regulations, it is questioned how to ensure the traceability of the evidence sources in these environments. Therefore, after a study on the chain of custody and its fundamentals, we will seek to analyze, from a deductive methodology, how the authenticity and completeness of the documents arising from internal investigations can be assured and what are the possible consequences in criminal proceedings, of the “breaking” of these chain of evidence. 
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spelling Chain of custody and corporate internal investigations: possibilities, enforceability and procedural consequences of its violationCadeia de custódia da prova e investigações internas empresariais: possibilidades, exigibilidade e consequências processuais penais de sua violaçãoCriminal procedure against legal personscomplianceinternal investigationsevidencechain of custody.Processo penal das pessoas jurídicascomplianceinvestigações internasprovascadeia de custódia.The aim of the present essay is to analyze the following questions: Is it possible and enforceable the observance of the chain of custody of the evidence from corporate internal investigations? Which are the eventual implications of its violation when it is intended to present these elements in a future criminal procedure? To answer these questions, we will initially carry out a brief study on the origins, formalities and purposes of these procedures, which are closely related to the mechanisms of enforced self-regulation, particularly to the compliance programs. However, since they are diligences promoted in a private scope, without due adversarial procedures and with limited state regulations, it is questioned how to ensure the traceability of the evidence sources in these environments. Therefore, after a study on the chain of custody and its fundamentals, we will seek to analyze, from a deductive methodology, how the authenticity and completeness of the documents arising from internal investigations can be assured and what are the possible consequences in criminal proceedings, of the “breaking” of these chain of evidence. Pretende-se com o presente trabalho, analisar as seguintes questões: seria possível e exigível a observância da cadeia de custódia dos elementos de informação advindos de investigações internas empresariais? Quais seriam as eventuais implicações de sua violação, caso se pretenda apresentar estes elementos em um posterior processo penal? Para responder a essas perguntas, realizaremos, inicialmente, um breve estudo a respeito das origens, formalidades e finalidades das investigações internas, que se encontram intimamente relacionadas aos mecanismos de autorregulação regulada e, em especial, aos programas de compliance. Uma vez se tratando, porém, de diligências promovidas em ambiente privado, sem contraditório judicial e com parcas regulamentações estatais, levanta-se, dentre outros questionamentos, o de como assegurar a rastreabilidade das fontes de prova nestes ambientes. Assim, após um estudo sobre o instituto da cadeia de custódia e de seus fundamentos, buscaremos analisar, a partir de uma metodologia dedutiva, de que forma pode ser assegurada a autenticidade e a integralidade dos documentos advindos das investigações internas e quais seriam os possíveis reflexos processuais penais da “quebra” da cadeia de custódia destas provas.  Instituto Brasileiro de Direito Processual Penal - IBRASPP2021-08-29info:eu-repo/semantics/articleinfo:eu-repo/semantics/publishedVersionapplication/pdftext/xmltext/xmlhttps://revista.ibraspp.com.br/RBDPP/article/view/45310.22197/rbdpp.v7i2.453Brazilian Journal of Criminal Procedure; Vol. 7 No. 2 (2021); 1453Revista Brasileña de Derecho Procesal Penal; Vol. 7 Núm. 2 (2021); 1453Revista Brasileira de Direito Processual Penal; V. 7 N. 2 (2021); 1453Revista Brasileira de Direito Processual Penal; v. 7 n. 2 (2021); 14532525-510X10.22197/rbdpp.v7i2reponame:Revista Brasileira de Direito Processual Penal (Online)instname:Instituto Brasileiro de Direito Processual Penal (IBRASPP)instacron:IBRASPPporhttps://revista.ibraspp.com.br/RBDPP/article/view/453/386https://revista.ibraspp.com.br/RBDPP/article/view/453/427https://revista.ibraspp.com.br/RBDPP/article/view/453/429Copyright (c) 2021 Túlio Felippe Xavier Januárioinfo:eu-repo/semantics/openAccessJanuário, Túlio Felippe Xavier2021-11-19T09:46:35Zoai:ojs.revista.ibraspp.com.br:article/453Revistahttps://revista.ibraspp.com.br/RBDPPONGhttps://revista.ibraspp.com.br/RBDPP/oairevista@ibraspp.com.br2525-510X2359-3881opendoar:2021-11-19T09:46:35Revista Brasileira de Direito Processual Penal (Online) - Instituto Brasileiro de Direito Processual Penal (IBRASPP)false
dc.title.none.fl_str_mv Chain of custody and corporate internal investigations: possibilities, enforceability and procedural consequences of its violation
Cadeia de custódia da prova e investigações internas empresariais: possibilidades, exigibilidade e consequências processuais penais de sua violação
title Chain of custody and corporate internal investigations: possibilities, enforceability and procedural consequences of its violation
spellingShingle Chain of custody and corporate internal investigations: possibilities, enforceability and procedural consequences of its violation
Januário, Túlio Felippe Xavier
Criminal procedure against legal persons
compliance
internal investigations
evidence
chain of custody.
Processo penal das pessoas jurídicas
compliance
investigações internas
provas
cadeia de custódia.
title_short Chain of custody and corporate internal investigations: possibilities, enforceability and procedural consequences of its violation
title_full Chain of custody and corporate internal investigations: possibilities, enforceability and procedural consequences of its violation
title_fullStr Chain of custody and corporate internal investigations: possibilities, enforceability and procedural consequences of its violation
title_full_unstemmed Chain of custody and corporate internal investigations: possibilities, enforceability and procedural consequences of its violation
title_sort Chain of custody and corporate internal investigations: possibilities, enforceability and procedural consequences of its violation
author Januário, Túlio Felippe Xavier
author_facet Januário, Túlio Felippe Xavier
author_role author
dc.contributor.author.fl_str_mv Januário, Túlio Felippe Xavier
dc.subject.por.fl_str_mv Criminal procedure against legal persons
compliance
internal investigations
evidence
chain of custody.
Processo penal das pessoas jurídicas
compliance
investigações internas
provas
cadeia de custódia.
topic Criminal procedure against legal persons
compliance
internal investigations
evidence
chain of custody.
Processo penal das pessoas jurídicas
compliance
investigações internas
provas
cadeia de custódia.
description The aim of the present essay is to analyze the following questions: Is it possible and enforceable the observance of the chain of custody of the evidence from corporate internal investigations? Which are the eventual implications of its violation when it is intended to present these elements in a future criminal procedure? To answer these questions, we will initially carry out a brief study on the origins, formalities and purposes of these procedures, which are closely related to the mechanisms of enforced self-regulation, particularly to the compliance programs. However, since they are diligences promoted in a private scope, without due adversarial procedures and with limited state regulations, it is questioned how to ensure the traceability of the evidence sources in these environments. Therefore, after a study on the chain of custody and its fundamentals, we will seek to analyze, from a deductive methodology, how the authenticity and completeness of the documents arising from internal investigations can be assured and what are the possible consequences in criminal proceedings, of the “breaking” of these chain of evidence. 
publishDate 2021
dc.date.none.fl_str_mv 2021-08-29
dc.type.driver.fl_str_mv info:eu-repo/semantics/article
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dc.identifier.uri.fl_str_mv https://revista.ibraspp.com.br/RBDPP/article/view/453
10.22197/rbdpp.v7i2.453
url https://revista.ibraspp.com.br/RBDPP/article/view/453
identifier_str_mv 10.22197/rbdpp.v7i2.453
dc.language.iso.fl_str_mv por
language por
dc.relation.none.fl_str_mv https://revista.ibraspp.com.br/RBDPP/article/view/453/386
https://revista.ibraspp.com.br/RBDPP/article/view/453/427
https://revista.ibraspp.com.br/RBDPP/article/view/453/429
dc.rights.driver.fl_str_mv Copyright (c) 2021 Túlio Felippe Xavier Januário
info:eu-repo/semantics/openAccess
rights_invalid_str_mv Copyright (c) 2021 Túlio Felippe Xavier Januário
eu_rights_str_mv openAccess
dc.format.none.fl_str_mv application/pdf
text/xml
text/xml
dc.publisher.none.fl_str_mv Instituto Brasileiro de Direito Processual Penal - IBRASPP
publisher.none.fl_str_mv Instituto Brasileiro de Direito Processual Penal - IBRASPP
dc.source.none.fl_str_mv Brazilian Journal of Criminal Procedure; Vol. 7 No. 2 (2021); 1453
Revista Brasileña de Derecho Procesal Penal; Vol. 7 Núm. 2 (2021); 1453
Revista Brasileira de Direito Processual Penal; V. 7 N. 2 (2021); 1453
Revista Brasileira de Direito Processual Penal; v. 7 n. 2 (2021); 1453
2525-510X
10.22197/rbdpp.v7i2
reponame:Revista Brasileira de Direito Processual Penal (Online)
instname:Instituto Brasileiro de Direito Processual Penal (IBRASPP)
instacron:IBRASPP
instname_str Instituto Brasileiro de Direito Processual Penal (IBRASPP)
instacron_str IBRASPP
institution IBRASPP
reponame_str Revista Brasileira de Direito Processual Penal (Online)
collection Revista Brasileira de Direito Processual Penal (Online)
repository.name.fl_str_mv Revista Brasileira de Direito Processual Penal (Online) - Instituto Brasileiro de Direito Processual Penal (IBRASPP)
repository.mail.fl_str_mv revista@ibraspp.com.br
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