Rozprawy doktorskie na temat „Criminal classes”

Within Victorian society there was a public perception that within the wider field of class there were a number of levels at the bottom of which was a criminal class. This, a very diverse group growing out of the working class, was considered to be responsible for the vast majority of offences ranging from begging to murder. Following the ending of transportation in the 1850’s the Metropolitan Police were faced with a number of new problems and responsibilities. These left them open to allegations that they were so targeting sections of the community that they were creating this criminal class from within the casual poor and those already known to police. As the period progressed the police were given wider powers to deal with the changed situation as well as extra responsibility for the compilation of criminal records and the supervision of released convicts. As a result of these changes allegations were made that the police so harassed those on tickets of leave and under supervision that it impossible for many to obtain employment. In order for this to have the case it would have been necessary for the police to be able to identify those with previous criminal convictions and to target their resources against them. The way in which resources were to be used had been established in 1829 with the objective of preventing crime, by way of uniformed officers patrolling beats and concentrating on night duty. Police resources were not efficiently used and failed to adapt to changing circumstances. In particular, whilst the available evidence especially for the early years is not complete it will be argued that, despite the allocation of considerable resources, the police were very poor at a very important part of their role, that of the identification of criminals. The concept of a criminal class has been examined in two ways. There was a ‘subjective’ public perception of the situation which included all those committing offences but it is argued that in reality what happened was that there were a series of legislative changes focussing on a gradually reducing group of habitual offenders which can properly be called a criminal class. This small group was responsible for the majority of serious crime during the period. As a result the police came to be targeting a very narrowly defined group and they as the agents, the public face of the changes, were the ones against whom complaints were most commonly made. This research shows that the Metropolitan Police were very poor at some important aspects of their role and that they were given additional responsibilities without always having the proper backing of the legislative framework. It also shows that the police were very aware of the difficulties they faced in dealing with released convicts and took great pains not only to allay public fears but also made contributions to the well being of many of those released from prison.

Coordenação de Aperfeiçoamento de Pessoal de Nível Superior
A presente tese faz um estudo sobre a criminalização secundária e a justiça penal hegemônica a partir da análise criminológica do caso de Eldorado de Carajás. A metodologia usada é a pesquisa bibliográfica agregada à pesquisa documental. Nestas, extraiu-se o discurso das criminalizações e sua função subterrânea no Estado Policial. A metodologia empreendida na realização deste trabalho parte da perspectiva do materialismo histórico. Os processos criminalizantes secundários subterrâneos não se exaurem em um momento efêmero, mas são a continuidade histórica de uma tragédia, de uma mesma matriz massacrante, seguindo a lógica da luta de classes. Essa continuação se dá pelas violências institucionais e estruturais com matriz nos conflitos agrários antecedentes e que detêm raízes legitimantes de massacres nos discursos criminológicos que vão do pré-positivismo ao criticismo contemporâneo. A comprovação da tese ocorre pela análise da ação penal que ficou mundialmente conhecida como O Caso do Massacre de Eldorado dos Carajás. O ponto de partida é a verificação concreta do respectivo caso, avançando para uma concepção abstrata da criminalização secundária subterrânea. O papel de pulsão vingativa do Estado contra a miséria e a adesão subjetiva à barbárie pela Justiça Penal deixam claros seu caráter hegemônico e a existência de uma criminalização vitimológica (secundária e subterrânea) em razão da distribuição desigual dos bens positivos e negativos aos condenados da terra.
This thesis is a study about the secondary criminalization and the hegemonic criminal justice from the criminological analysis of the Eldorado de Carajás case. The used methodology is literature assembled with documental research from which the discourse of the decriminalization and its furtive role inside the Police State was extracted. The method undertaken to perform this work starts from the perspective of the historical materialism. The secondary and illegal criminalizing processes do not wear themselves out in a fleeting moment, but, are the historical continuity of a tragedy, from an equal massacre matrix, following the logic of the class struggle. Such continuation happens through the structural and institutional violence rooted in the previous agrarian conflicts and holds legitimizing roots of massacres in the criminological discourses that go from pre-positivism to contemporary criticism periods. The proof of the thesis happens with the analysis of the prosecution worldwide known as O Caso do Massacre de Eldorado dos Carajás. The starting point is the concrete verification of the respective case, moving towards an abstract conception of the secondary and furtive criminalization. The role of the vengeful impulse of the State against misery and the subjective adhesion by the Criminal Justice to the barbarism make clear their hegemonic character and the existence of a victimological criminalization (secondary and furtive) due to the uneven distribution of both positive and negative rights to the land wretched ones.

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This study it approached cases of conflicts characterized for physical, moral, economic and racial the violence, for work questions, that involve deriving Italian immigrants of diverse regions of Italy and other ethnic groups on coffee plantations of the judicial district of Araraquara in the period of 1890-1914, using as source criminal records. The present work searched to understand the values that guided a violent behavior in the daily conflicts, investigating the solidarity possibilities between the ethnic groups in the individual actions, mainly between the Italians. In this perspective, the work evidenced that the regional differences between the Italians limited the solidarity of the group, over all of the northern ones and of central Italy in relation to the meridionals. The analysis of the criminal records also evidenced that the main values that guided a violent behavior in the daily conflicts were to receive a wage just and to have movement freedom. These values had been verified for all the ethnic groups in question.
Este estudo abordou casos de conflitos caracterizados pela violência física, moral, econômica e racial, por questões de trabalho, que envolvem imigrantes italianos oriundos de diversas regiões da Itália e outras etnias nas fazendas de café da comarca de Araraquara no período de 1890-1914, usando como fonte processos criminais. O presente trabalho buscou compreender os valores que orientavam uma conduta violenta nos conflitos cotidianos, investigando as chances de solidariedade entre as etnias nas ações individuais, principalmente entre os italianos. Nesta perspectiva, o trabalho evidenciou que as diferenças regionais entre os italianos limitavam a solidariedade do grupo, sobretudo dos setentrionais e da Itália central em relação aos meridionais. A análise dos processos também evidenciou que os principais valores que orientavam uma conduta violenta nos conflitos cotidianos eram os de receber um salário justo e de ter liberdade de movimento. Esses valores foram verificados para todas as etnias em questão.

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Brazilian Criminal Law emerges as a power apparatus that organizes social relations and is based on an ideology that is racist, patriarchal, homophobic and classist. The Brazilian State has always occupied a prominent place in the production of unfavorable historical conditions for the social development of black women. However it is in the administration of criminal justice that the focus manifests explicitly the intersection of the axes of vulnerabilities - delineated by race, class and gender and in the production of categories of punishable individuals. Incarcerated black women have a specific vulnerability: they are marked by their color and gender condition in a society structured on inequality between men and women, and led by a criminal-racial State, a producer of social suffering and reproducer of the conception of crime and penalty based on the punishment of the black body. On this basis, it is proposed an analysis of race and colonial justice as historical factors in the contemporary Brazil
O Direito Penal brasileiro surge como sistema de poder que organiza as relações sociais e fundamenta-se por uma ideologia racista, patriarcal, homofóbica e classista. Embora o Estado brasileiro tenha sempre ocupado lugar de destaque na produção das condições históricas desfavoráveis ao desenvolvimento social da mulher negra, é a administração da justiça penal o foco onde se manifesta de forma explícita a intersecção dos eixos de vulnerabilidades delineadas por raça, classe e gênero e na produção de categorias de indivíduos puníveis. As mulheres negras encarceradas possuem uma vulnerabilidade específica: são marcadas por sua condição de cor e de gênero em uma sociedade estruturada a partir de desigualdades entre homens e mulheres e conduzida por um Estado penal racial, produtor de sofrimento social e reprodutor da concepção de crime e de castigo baseado na punição do corpo negro. Propõe-se, a partir disso a análise de raça e colonialidade da justiça como fatores históricos no Brasil contemporâneo

Thesis advisor: C. Shawn . McGuffey
Thesis advisor: Zine . Magubane
This dissertation analyzes the impact of U.S. law on women of color at home and abroad, as well as the ways in which women of color respond to and resist U.S. law. In their resistance, they challenge the domestic failings of the U.S. criminal justice system as well as the systems which connect state violence internationally. The first article of this project explores the space of the sentencing hearing as a site for rhetorically reclaiming Black motherhood in the face of its pathologization. I use the case of Marissa Alexander to show how the defendant and her family resist the exclusionary politics of legal protection. The second article examines the relationship between police militarization and strategies of black digital resistance and theorizes Black Lives Matter as a cyborg feminist social movement that can serve as a base for a global, intersectional resistance against systems of state violence. The third article challenges the dominant narrative of liberal imperialism in the U.S. anti-human trafficking project which positions U.S. as sole capable leader in the fight against “modern-day slavery” and the liberation of poor women of color in the global South and East. Though each article employs a slightly different framework, my dissertation is grounded in a qualitative sociological approach to content analysis and is informed by interdisciplinary concepts from legal studies and critical rhetorical approaches. My research centers multiple feminisms, including Critical Race Feminism, cyborg feminism, and postcolonial legal feminism, and incorporates important scholarship on technology and social movements. In this project, I demonstrate affinity between feminist theoretical approaches. More broadly, I contribute to bodies of research that challenge the notion that institutions such as the criminal justice system, digital spaces, and humanitarian aid are designed to protect and provide remedies for victims of domestic and state sponsored violence. I propose framework of feminisms in dialogue for both analyzing and resisting the hegemony of U.S. law which legitimizes and reproduces interlocking systems of racism, sexism, and imperialism
Thesis (PhD) — Boston College, 2019
Submitted to: Boston College. Graduate School of Arts and Sciences
Discipline: Sociology

Delinquency in adolescence has captured the imagination of thinkers and researchers for generations. In this thesis, a unique segment of adolescent delinquency is examined: delinquency in upper-class adolescents. My experience working in residential treatment centers was a catalyst for this research and inspired the primary question which guides the work: "Why would upper-class adolescents commit delinquent acts?" In an attempt to answer this question, the "Big Three" (strain, control, and social learning) sociological theories of crime and delinquency are used to explore upper-class or "elite" delinquency. After examining each theory I demonstrate how none of them, individually, can adequately explain this phenomenon. Thus, I present an integrated approach to understanding upper-class or "elite" delinquency.

This article intends to analyze treatment and functions assigned to the penalty by our Peruvian Constitution and the way this legal institution is conducted at the prescribed basic penalty level (imposed by the legislator ineach type of criminal offence), the specific penalty level (imposed by the judge according to its individual characteristics in each case) and at the penitentiary enforcement level. Finally recommends some considerations for carrying out a possible legislative reform in accordance with a criminal policy plan within our constitutional framework.
El presente trabajo busca efectuar un análisis en torno al tratamiento y las funciones que nuestra Constitución política asigna a la pena, y la manera como dicha institución se desarrolla en nuestro país con respectoa la pena abstracta (la impuesta por el legislador en cada tipo penal), la pena concreta (la impuesta por el juez luego de una individualización en cada casoconcreto), y su ejecución en el ámbito penitenciario. Finaliza proponiendo algunas consideraciones para una eventual reforma legislativa conforme conun plan de política criminal que se encuentre dentro del marco constitucional.

Based on six-years ethnographic research, this thesis provides an in-depth account of a contemporary British drug market. The study follows a group of twenty-five friends, termed The Lads, during their transition from late-adolescence (16-22) through to early adulthood (22-28). This was a critical stage in their life course; it was a time when many had begun advancing into the world of work and business entrepreneurship, in search of their chosen career. Yet it was during this time that two key developments occurred: bulk volumes of illicit drugs became available to The Lads through credit and the UK experienced several years of economic recession and stagnation. The economic constraints The Lads encountered during this time prompted many to become involved in the trafficking of illegal drugs. Though their entry into the markets was not necessarily motivated out of absolute need or poverty, the experience of low-paying salaries, the loss of work and income, and the inability to secure legitimate investment capital, all made drug dealing an alluring source of untaxed revenue, available as and when needed. This study assesses the practices of this cohort of closed-market drug dealers, who capitalised on their expansive social networks as a means of trafficking a variety of illegal substances at the time of these two developments. During the course of the research their involvement came to span several stages of the supply chain, including: mid-level wholesale brokerage, import/export, wholesale, and retail (i.e. to the end-users). The study addresses various structural elements of their trade, including drug purchasing and selling, the assessment and mitigation of risks in relation to law enforcement, and the use of informal credit (i.e. ‘fronting’) as one of the principle facilitating factors of The Lads’ various trade networks. A variety of data collection methods were employed over many years to garner a depth of understanding and appreciation difficult to achieve in the study of active offenders. The data comprises of life narratives, observations, interview data and economic data. The findings offer some new insight into: the kinds of people who deal drugs; what characteristics they share; how they function as traders; what motivates them to either enter or exit the trade, and what social structures influence their offending careers?These young men were not the archetypal drug dealer: they were neither predatory nor territorial. They were ambitious and hard working. Drug dealing was simply a shortcut to the lifestyle they aspired to; it was a source of capital; a means of funding their studies; a ‘means to an end’. To these young men, drug dealing was just another form of work: a bad job that paid a good salary.

Dissertação (mestrado)—Universidade de Brasília, Faculdade de Direito, 2010.
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A pesquisa propõe a análise de 564 (quinhentas e sessenta e quatro) decisões judiciais proferidas pelos cinco Tribunais Regionais Federais do Brasil, sobre crimes de furto, roubo e peculato, entre os anos de 2006 e 2007. O objetivo geral é investigar a existência da reprodução, nos textos das decisões, de termos que reforçam a seletividade do sistema penal na tutela de bens públicos e privados, seguindo a linha da Criminologia Crítica e a técnica da Análise de Discurso, considerando também o conceito de habitus desenvolvido por Pierre Bourdieu. Interessam aqui, portanto, os “meandros” da decisão – a construção da narrativa, a evolução para eventuais condenações e absolvições, ações e omissões, palavras e silêncios. A dissertação traça, em seu primeiro capítulo, um breve estudo histórico sobre a estrutura do sistema penal no Brasil, para demonstrar a herança de práticas patrimonialistas, a influência do bacharelismo e as “decisões diferentes para classes diferentes”, refletindo o discurso positivista e a distinção social dos juízes. O Capítulo 2 traz os fundamentos teóricos utilizados para a realização e interpretação da pesquisa empírica, incluindo-se o paradigma da Criminologia Crítica, a construção da narrativa na decisão judicial e os princípios da Análise de Discurso. Nos capítulos seguintes, as duas formas de pesquisa utilizadas no trabalho – quantitativa e qualitativa – são explicadas com o detalhamento necessário. Os resultados encontrados indicam o uso de artifícios e práticas discursivas para a reafirmação da seletividade do sistema penal, com a clara diferença de tratamento entre os condenados por crimes contra o patrimônio e contra a administração pública, como indica a pesquisa quantitativa. Abordam-se, assim, temas um tanto incômodos para o universo jurídico: a motivação das decisões judiciais e o comportamento dos juízes, tendo como pano de fundo a difícil distinção entre público e privado que historicamente compõe nosso sistema de justiça. _______________________________________________________________________________ ABSTRACT
This search proposes the analysis of 564 (five hundred and sixty-four) judgments handed down by the five Regional Federal Courts of Brazil, on crimes of theft and an embezzlement case, between the years 2006 and 2007. The overall objective is to investigate the existence of reproduction in the texts of decisions, which reinforce the selectivity of the penal system in the supervision of public goods and private ones. Critical Criminology and technical of Discourse Analysis, also the concept of habitus developed by Pierre Bourdieu, will be important. It will be interesting for research the construction of narrative, the evolution towards any convictions and acquittals, actions and omissions, words and silences. This work outlines, in your first chapter, a brief historical study on the structure of the criminal justice system in Brazil, to demonstrate the inheritance of “private practices”, through "decisions differently for different classes", to reflect the positivist discourse and social distinction of judges. Chapter 2 brings the theoretical fundamentals used for the implementation and interpretation of empirical social research, including the paradigm of Critical Criminology, the construction of narrative in judicial decision and the principles of Discourse Analysis. In the following chapters, the two forms of search used at work – quantitative and qualitative – are explained with detail needed. The results found using tricks and discursive practices for the reaffirmation of the selectivity of the penal system, with the clear difference in treatment between convicted of crimes against heritage and against public administration, as indicated by the quantitative research. Address is thus difficult subjects for legal matters: the motivation of judicial decisions and the behavior of judges, in view of the difficult distinction between public and private that historically composes our justice system.

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Fundação de Amparo à Pesquisa do Estado de São Paulo (FAPESP)
This research aimed to understand how the institutions and state operators’ crime control are being affected by the emergence of new forms of organization of the "world of crime." It wondered how the institutions and operators find themselves affected by the emergence of the First Command of the Capital, the PCC; which the impact on their work, on the ways to exercise control and institutional management of the crime; which representations they elaborate about the changes in the contexts they operate and develop their professional activities. Therefore, it started analyzing two empirical cases that took place in São Paulo, involving the PCC and the so-­‐‑called "debate" -­‐‑ a new management mechanism of violence brought from the consolidation of the CPC in and out of the São Paulo prison system. The cases also help to identify two main strategies to crime control in São Paulo: i) a militarized control guided mainly by lethal and selective fighting with alleged criminals, played by the Military Police and; a classic judicial control, in which the logic of the investigation remains linked to archaic model of the police investigation and prioritizes incarceration for certain types of crimes and people, while holding the low levels of punishment for cases of police lethality. Part of the field work was conducted through interviews with civil and military police, sheriffs, prosecutors and judges who work in crime control, including the Special Group Against Organized Crime of the Prosecutor's Office (GAECO). It was developed a research based on official data on crime and on investments in public safety in order to observe trends, preferences and policy choices of area managers in the last decade. The results indicate that the emergence of the PCC has affected the crime control strategies performed by each of these institutions, although continuities have been observed. The PCC started seen as "organized crime", sign often claimed to justify violent and lethal actions in alleged confrontations. Investigations involving the PCC have been recurrently conducted through a partnership between prosecutors and military police, often rather of the judicial police, which has generated tensions between the institutions and their operators. The Civil Police, in its turn, operates with the coexistence of "inquisitorial logic" of investigation and effort to operates the transformations that the emergence of "organized crime" has imposed, besides seeking to circumvent the arising obstacles "scrapping" of institution.
O objetivo desta pesquisa foi compreender a forma como as instituições e os operadores estatais do controle do crime estão sendo afetados pela emergência das novas formas de organização do “mundo do crime”. Perguntou-se como as instituições e os operadores se veem afetados com a emergência do Primeiro Comando da Capital, o PCC; qual o impacto disto sobre o seu trabalho, sobre os modos de exercer o controle e a administração institucional do crime; quais representações eles elaboram sobre as mudanças nos contextos em que atuam e desenvolvem suas atividades profissionais. Para tanto, partiu-se da análise de dois casos empíricos ocorridos no interior de São Paulo, envolvendo o PCC e o chamado “debate” - um novo mecanismo de gestão da violência trazido com a consolidação do PCC dentro e fora do sistema prisional paulista. Os casos também auxiliaram na identificação de duas estratégias centrais no controle ao crime em São Paulo: i) um controle militarizado pautado, sobretudo, pelo enfrentamento letal e seletivo de supostos criminosos, rotagonizado pela Polícia Militar e; ii) um controle judicial clássico, no qual a lógica da investigação permanece vinculada ao modelo arcaico do inquérito policial e que prioriza o encarceramento para determinados tipos de crimes e sujeitos, ao mesmo tempo em que sustenta os baixos índices de punição para os casos de letalidade policial. Parte do trabalho de campo foi realizado por meio de entrevistas com policiais civis e militares, delegados, promotores e juízes que atuam no controle do crime, incluindo o Grupo de Atuação Especial Contra o Crime Organizado do Ministério Público (GAECO). Também foi elaborada uma pesquisa com base em dados oficiais sobre a criminalidade e sobre os investimentos em segurança pública, a fim observar as tendências, preferências e escolhas políticas dos gestores da área na última década. Os resultados indicam que a emergência do PCC tem afetado as estratégias de controle do crime executada por cada uma destas instituições, ainda que permanências tenham sido observadas. O PCC passou a carregar o signo de “crime organizado”, muitas vezes acionado para justificar ações violentas e letais em supostos confrontos. As investigações que envolvem o grupo têm sido recorrentemente, executada por meio de uma parceria entre Ministério Público e Polícia Militar, muitas vezes, em detrimento da polícia judiciária, o que tem gerado tensões entre as instituições e seus operadores. A polícia civil, por sua vez, convive com a coexistência entre a “lógica inquisitorial” da investigação e o esforço em operar as transformações que a emergência do “crime organizado” tem lhe imposto, além buscar driblar os obstáculos advindos do “sucateamento” da instituição.

Notam-se semelhanças fundamentais entre os delitos patrimoniais e os crimes de sonegação fiscal, os quais possuem dignidade penal no ordenamento jurídico nacional. Não obstante isso, ao comparar o tratamento dado a eles pelas agências formais de controle social, percebe-se uma escancarada preferência em criminalizar os autores de crimes contra o patrimônio, que são, em sua grande maioria, pertencentes às classes sociais mais pobres, enquanto se imunizam comportamentos típicos de indivíduos pertencentes às classes dominantes, como a sonegação fiscal. Nota-se que o Direito Penal, supostamente igualitário, é seletivo e discriminatório; é o Direito desigual por excelência. A teoria crítica da Criminologia, a partir do método materialista-histórico de Karl Marx, procura explicar que, em uma sociedade (capitalista) embasada fundamentalmente em relações de propriedade, a diferença de classes estrutural acaba por circunscrever a operacionalidade do sistema de justiça penal. O preconceito de classe conduz toda a seletividade do Direito Penal: as imunidades e a criminalização incidem em medida correspondente às relações de poder entre as classes sociais. Desvenda-se uma ordem legal ideológica e imaginária, fundada em conceitos de igualdade e de justiça social e projetada para legitimar a ordem vigente, em contrapartida a uma ordem real opressiva, que se dirige aos pobres, marginalizados, despossuídos e não proprietários, com uma função distinta da que prega: reproduzir as relações de desigualdade e as massas criminalizadas. A escola crítica, defronte a esse quadro e tratando-se de uma teoria comprometida com a construção de uma sociedade mais igualitária, apresenta propostas para tentar reduzir os mecanismos discriminatórios da justiça penal.
Fundamental similarities can be observed between property crimes and tax evasion, both of which having penal legitimacy in the public legal order. Notwithstanding, by comparing the treatment the official agencies of social control applied to them, it can be noticed a clearly preference to criminalize the agents of property crimes, who, in great number, belong to the poor social class, while typical conducts from high social class, as tax evasion, are immunized. It can be noticed that Criminal Law, supposedly egalitarian, is selective and discriminatory; it is the unequal Law par excellence. The critical theory of Criminology tries to explain, from Karl Marxs historical-materialist method, why in a (capitalist) society, structured mainly on properties relations, the differences between classes limit the criminal justice system operation. The class prejudice conducts the Criminal Law selectiveness: immunities and criminalization are focused correspondingly to power relations between the social classes. It can be unveiled an ideological and imaginary legal order, founded in equality and social justice, projected in order to legitimate the existing order, in contrast to an oppressive real order and directed to the poor, marginalized, dispossessed, nonproprietary, which performs in a different way of its speech: reproducing the unequal relations and the criminalized mass. The critical theory, in front of this frame, as a theory committed to the construction of a more equal society, presents proposals to try to reduce the discriminatory mechanisms of the criminal justice.

This Ph.D. work is made of different reseach problems which have in common the precence of latent variables. Chapters 1 and 2 provide accessible primer on the models developped in the subsequent chapters. Chapters 3 and 4 are written in form of articles. A list of references at the end of each chapter is provided and a general bibliography is also reported as last part of the work. The first chapter introduces the models of depedence and association and their interpretation using graphical models which have been proved useful to display in graphical form the essential relationships between variables. The structure of the graph yields direct information about various aspects related to the statistical analysis. At first we provide the necessary notation and background on graph theory. We describe the Markov properties that associate a set of conditional independence assumptions to an undirected and directed graph. Such definitions does not depend of any particular distributional form and hence can be applied to models with both discrete and continuous random variables. In particular we consider models for Gaussian continuous variables where the structure is assumed to be adequately described via a vector of means and by a covariance matrix. The concentration and the covariance graphs models are illustrated. The specification of the complex multivariate distribution through univariate regressions induced by a Directed Acyclic Graph (DAG) can be regarded as a simplification, as the single regression models typically involve considerably fewer variables than the whole multivariate vector. In the present work it is shown that such models are a subclass of the structural equation models developed for linear analysis known as Structural Equation Models (SEM) The chapter is concluded by some bibliographical notes. Chapter 2 takes into account the latent class model for measuring one or more latent categorical variables by means of a set of observed categorical variables. After some notes on the model identifiability and estimation we consider the model extension to study latent changes over time when longitudinal studies are used. The hidden Markov model is presented cosisting of hidden state variables and observed variables both varying over time. In Chapter 3 we consider in detail the DAG Gaussian models in which one of the variables is not observed. Once the condition for global identification has been satisfied, we show how the incomplete log-likelihood of the observed data can be maximize using the EM algorithm. As the EM does not provide the matrix of the second derivatives we propose a method for obtaining an explicit formula of the observed information matrix using the missing information principle. We illustrate the models with two examples on real data concerning the educational attainement and criminological research. The first appendix of the chapter reports details on the calculations of the quantities necessary for the E-step of the EM algorithm. The second appendix reports the code of the statistical software R to get the estimated standard errors, which may implemented in the R package called ggm. Chapter 4 starts from the practical problem of classifying criminal activity. The latent class cluster model is extended by proposing a latent class model that also incorporates the longitudinal structure of data using a method similar to a local likelihood approach. The data set which is taken from the Home Office Offenders Index of England and Wales. It contains the complete criminal histories of a sample of those born in 1953 and followed for forty years.

L’actualisation des données sur le contentieux privé des pratiques anticoncurrentielles fait naître laconviction que l’état de sous-développement souvent pointé est aujourd’hui dépassé. Les statistiquessont nettes : des dizaines d’affaires sont plaidées chaque année. Toutefois, ce contentieux s’esquissesous des traits qui ne sont pas exactement ceux du contentieux indemnitaire de masse faisant suite àla commission d’ententes internationales. C’est un fait majeur qui doit être noté car l’essentiel desprojets de réforme furent bâtis sur cet idéal type. Trois des caractères les plus saillants de la réalitéjudiciaire témoignent de cette fracture entre droit positif et droit prospectif. D’abord, le contentieuxprivé est majoritairement un contentieux contractuel entre professionnels aux forces déséquilibrées. Ensuite, c’estun contentieux national – voire local – plus qu’un contentieux international. Enfin, c’est plutôt uncontentieux autonome se déployant devant les juridictions judiciaires sans procédure préalable oupostérieure des autorités de concurrence (stand alone). Paradoxalement, les actions complémentaires(follow-on), pourtant réputées d’une mise en oeuvre aisée, sont plus rares. Ces observations invitentalors à réviser l’ordre des priorités de toute réflexion prospective. Ainsi, la lutte contre l’asymétried’informations et de moyens entre litigants, l’essor de sanctions contractuelles efficaces, larecomposition du rôle des autorités juridictionnelles et administratives dans le procès civil ou encorele développement des procédures de référé s’imposent avec urgence. Mais s’il paraît légitime desoutenir ce contentieux autonome déjà existant, il n’en reste pas moins utile de participer à laréflexion déjà amorcée pour développer le contentieux indemnitaire de masse tant attendu et dont onne peut négliger les atouts. De lege ferenda, le contentieux privé de demain présenterait donc uncaractère bicéphale ; il serait à la fois autonome et complémentaire. Il faut alors tenter de concevoir unrégime efficace pour ces deux moutures du contentieux privé en tenant compte de leurs exigencesrespectives. Or l’analyse positive et prospective de leurs fonctions révèlent que contentieuxautonome et contentieux complémentaire s’illustrent autant par les fonctions qu’ils partagent que parcelles qui les distinguent. Il serait donc excessif de vouloir en tous points leur faire application derègles particulières ou, à l’inverse, de règles identiques. C’est donc vers l’élaboration d’un régime commun complété par un régime particulier à chacun d’eux que s’orientera la présente recherche.PREMIÈRE PARTIE. Le régime commun aux contentieux privés autonome et complémentaireSECONDE PARTIE. Le régime particulier à chacun des contentieux privés autonome et complémentaire
Pas de résumé en anglais

Le professionnel que l'on croyait capable de défendre ses intérêts, par opposition au salarié ou au consommateur, s'est révélé tout autant victime de contrats déséquilibrés depuis quelques décennies. L'apparition de puissantes entreprises privées dans différents secteurs entraîne, de toute évidence, une inégalité entre les professionnels. Notre étude souligne la complexité de trouver un juste critère pour identifier de manière juste ce qu'est un professionnel partie faible. Il n'est pas possible de dire si, de manière générale, telle entreprise est plus puissante qu'une autre, car la personne morale partie au contrat peut cacher des intérêts difficiles à cerner au premier abord. Le juge ne peut pas non plus être l'arbitre autoritaire des prix sans risquer un détournement de sa fonction. Nous développerons le parti suivant : un contrat entre professionnels est dit d'adhésion lorsque celui-ci n'a pas donné lieu à une négociation idoine ; le juge doit alors s'efforcer de regarder le processus de pourparlers ainsi que les circonstances qui ont précédé la convention. De multiples critères peuvent aider le juge, tels que la taille de chaque entreprise, les parts de marché, les propos échangés par les parties, leur bonne ou mauvaise foi ou encore les efforts engagés par elles. Si le choix de l'analyse des négociations nous apparaît ultimement le plus juste, nous tiendrons cependant compte de ses limites. Il serait illusoire de penser que le juge peut toujours parvenir de manière certaine à connaître l'intégralité des circonstances antérieures au contrat. C'est pourquoi nous ajouterons à l'analyse des négociations un système de présomptions - quoique réfragables - lorsque la disproportion des prestations ou la différence de taille des entreprises ne laisse pas de place au doute. Nous mettrons enfin en lumière les stratégies employées par les parties fortes pour contourner cette analyse des négociations, comme des stipulations néfastes ou une tactique d'internationalisation. Il sera donc préféré une impérativité renforcée en droit national ainsi qu'en droit international. Une fois l'analyse des négociations effectuée, nous essayerons de proposer des sanctions à la hauteur du phénomène. Le juge, selon nous, doit être en mesure de modifier le contrat de façon souple, aussi bien de manière rétroactive que par un changement en cours d'exécution du contrat. Le caractère extrême de certains comportements contractuels nous incite à réfléchir à la possibilité d'un droit pénal plus dissuasif ou bien un droit « quasi pénal » sanctionnant ces comportements de manière plus appropriée. Néanmoins, c'est surtout au niveau de la procédure que se joue la protection contractuelle des professionnels. Un référé ajusté à cet objectif a tout lieu de répondre aux exigences de célérité qui gênent les parties faibles dans leurs démarches. Nous soulignerons aussi l'importance d'un système d'actions collectives qui surmontent efficacement l'écueil du coût du procès. À l'inverse, la sécurité juridique des entreprises nous conduira à proposer une procédure de protection par un système de droit doux. Première partie : L'identification du contrat d'adhésion entre professionnels. Deuxième partie : Le traitement judiciaire des contrats d'adhésion entre professionnels
The professional, supposed to be able to defend his interests, by opposition to the employee or the consumer, has proven to also be victim of imbalanced contracts for a few decades. The emergence of powerful private companies in various sectors clearly leads to inequalities between professionals. Our study underlines the difficulty to find the best criterion to identify what a professional weaker party is. It is impossible to say that globally such company is stronger than another because the legal person party to the agreement can hide many interests, which are hard to seize at first sight. Nor can the judge arbitrate prices in an authoritarian way without risking a misappropriation of his part. We shall side for this idea: a business-to-business agreement is to be qualified of adhesion contract as long as it does not give place to adequate bargaining; so the judge has to look the bargaining process and the circumstances preceding the contract. Many criteria can help the judge such as the size of the company, market parts, exchanged words, the good or bad faith of the parties or the efforts they have made. If we consider the bargain analysis as the ultimately rightest choice, we have to contemplate its limitations. It would not be realistic to consider that the judge could always discover every circumstance prior to the agreement. This is why we shall join a system of presumptions - albeit rebuttable - to the bargain analysis, when the difference of size of companies or the disproportion of provisions is obvious. We shall put into light the strategies used by strongest parts to bypass the bargain analysis, such as harmful clauses or internationalization tactics. Thus, we shall opt for high obligatory standards, as well as in national law than in international law. Once the bargain analysis is done, we shall try to suggest sanctions adapted to the concern. The judge, in our opinion, must be able to modify the agreement in a very flexible way, either retroactively or during the implementation of the said agreement. The gravity of various contractual behaviors must lead us to think about a form of criminal law or a "quasi criminal" law in order to combat those behaviors in a more suitable mean. Nevertheless, the protection of the professional weaker part is also to be dealt on a procedural ground. A proceeding for interim measures is likely to face the needs for celerity, which bother the weakest parts for their action. We shall also underline the advantages of a class action, which could overcome the financial issue of the lawsuit. Conversely, the legal security of business will bring us to foster a protection by a soft law system. First Part: The identification of the business-to-business adhesion contract. Second Part: The judicial treatment of business-to-business adhesion contracts

Contexte et objectifs. La carrière criminelle est un sujet d’intérêt criminologique depuis plus de 80 ans. Les travaux sur cette question ont permis de mieux comprendre l’évolution des personnes contrevenantes et leurs crimes au fil du temps. Bien que beaucoup d’efforts aient été déployés pour étudier les hommes, les recherches portant sur les trajectoires criminelles des femmes demeurent relativement rares, ceci étant notamment attribuable à la petite taille des échantillons. L’objectif de ce mémoire est de réaliser une étude comparative de la carrière criminelle d’hommes et de femmes de 18 à 47 ans relevant de la juridiction de la province de Québec. Méthodologie. L’échantillon est composé de 3320 délinquants sous responsabilité provinciale, soit 216 femmes (6,5 %) et 3104 hommes (93,5 %). Des statistiques descriptives seront réalisées afin de dresser un portrait de la clientèle et une approche par variable latente catégorielle sera utilisée pour modéliser les parcours criminels. Plus précisément, cette analyse permet d’estimer des sous-groupes de délinquants au sein de la population qui suivent des courbes de croissance distinctes. La proportion d’individus appartenant à chacun de ces sous-groupes peut donc être estimée. Résultats. Les analyses indiquent que les femmes ont une fréquence de délits commis plus faible que les hommes, et ce, particulièrement au début de leur carrière criminelle. En effet, la différence quant à la fréquence tend à s’atténuer avec le temps, pour disparaître vers 40 ans. Également, il apparaît que les hommes et les femmes suivent un nombre de trajectoires criminelles similaires; cependant, la prévalence chez ces dernières apparaît relativement différente. En effet, il ressort que les femmes commencent plus tardivement leur carrière criminelle que les hommes, avec une proportion plus importante pour les crimes contre les biens. Finalement, les antécédents juvéniles influent sur la chronicité et la persistance, quel que soit le genre ou le type de crime. Conclusion. Les résultats démontrent que la différence selon le sexe est un sujet d’intérêt criminologique primordial puisque les femmes présentent des risques différents quant à la fréquence et au type de crime. Qui plus est, ces dernières semblent commencer leur carrière criminelle plus tardivement que les hommes.
Context and objectives. Criminal careers has been a subject of interest among criminologists for over 80 years. This research has allowed a better understanding of the evolution of criminalised individuals over time. However, research focusing on the criminal careers of women are relatively rare, this being mainly attributed to the nature of the chosen sample. While overcoming the potential limitations found in previous studies, the objective of this research is to conduct a comparative study of criminal careers among men and women (as of 18 until 47 years old) under provincial jurisdiction. Method. The sample consists of 3,320 offenders under provincial jurisdiction. The sample includes 216 female participants (6.5%) and 3104 male participants (93.5%). Descriptive statistics will be presented in order to provide a detailed portrait of offenders from 18 to 47 years old. Then, the categorical latent variable approach will be used. This type of analysis provides an estimate of sub-groups of offenders within the population that follow the growth curves separately. Thus, the proportion of individuals belonging to each of these subgroups can be estimated. Results. Women have a lower incidence of crime than men especially at the beginning of a criminal career; however this difference disappears towards the age of 40. It appears that men and women, at a certain period of time have similarities in their criminal careers. However, the prevalence of criminality among women is quite different from men. Indeed, it appears that women begin their criminal careers later than men, with a higher proportion of crimes against property. The juvenile history of criminal offence influences the perseverance in criminal careers among men and women, regardless of the type of offence. Conclusion. The results demonstrate the relevance of the difference between men and women during their criminal career. It should be one of the top interests for criminologists since women have different risks leading to offenses, as well as frequency and type of offense. Moreover, they appear to begin their criminal careers later than men.

Temat oszust ubezpieczeniowych jest tematem dość popularnym. Coraz więcej osób dopuszcza się popełniania przestępstw ubezpieczeniowych, zarówno w sferze ubezpieczeń majątkowych jak i ubezpieczeń osobowych. W sferze wyłudzeń ubezpieczeń majątkowych największą popularnością cieszą się ubezpieczenia komunikacyjne takie jak OC i AC, jak również wyłudzenia w zakresie samego majątku przedsiębiorstw np. podpalenia lokali, towaru, który niedługo traci ważność. Jeżeli chodzi o wyłudzenia osobowe, najwięcej do takich dochodzi w zakresie fingowania śmierci, chorób nowotworowych, samookaleczenia. Ubezpieczeni sami wyrządzają sobie krzywdę, a następnie składają wnioski o wypłatę świadczeń. Ubezpieczalnie na szczęście posiadają z roku na rok coraz większe doświadczenie w zakresie metod zwalczania przestępczości ubezpieczeniowej. Współpracują z bankami, Policją Narodowym Funduszem Zdrowia. Rozszerzają bazy danych, zbierają wszelkie informacje o wnioskodawcach również z portali społecznościowych, takich jak np. Facebook. Jednakże nie jest sprawą łatwą wykryć, iż osoba, która złożyła wniosek o wypłatę odszkodowania z tytułu ubezpieczenia majątkowego bądź świadczenia z tytułu ubezpieczenia osobowego ma na celu wyłudzenie. Najtrudniejszą sprawą jest wykrycie, czy do zdarzenia doszło, czy zostało ono sfingowane. Ubezpieczalnie szybciej wykrywają próby wyłudzenia, jeżeli w zdarzeniu wzięło udział więcej niż jedna osoba, gdyż w drodze przyjmowanych wyjaśnień, okoliczności zdarzenia zeznania muszą się w 100% pokrywać, jeżeli jest jakaś rozbieżność daje to sygnał ubezpieczalni, iż któraś z osób poświadcza nieprawdę. Wówczas ubezpieczalnia może, ale nie musi złożyć zawiadomienie na prokuraturę o próbie popełnienia przestępstwa z art. 298 §1 k.k., a następnie cała sprawa jest wyjaśniana. Mimo tak wielu przypadków prób wyłudzenia odszkodowań majątkowych, (jest to zawsze ok tysiąca spraw rocznie) liczba ta cały czas wzrasta, metod popełniania przestępstw przybywa, a do najczęstszych sfer wyłudzenia dochodzi w zakresie ubezpieczeń komunikacyjnych. Jest to łatwy sposób na zarobienie szybkich pieniędzy. W ostatnim czasie rozwojowa stała się także sprawa wyłudzeń ubezpieczeń z polis na życie. Ubezpieczeni podejmują próby wyłudzenia udając chorobę, fałszując dokumentację medyczną z udziałem lekarza, a następnie dzielą się zyskiem. Bardzo niebezpieczne stały się zorganizowane grupy przestępcze, które poszukują osób, które np. ucinają sobie palce, a następnie składają wniosek do swojego ubezpieczyciela o wypłatę. Ubezpieczalnia ma obowiązek wówczas wypłacić świadczenie, które może wynieść nawet do kilku tysięcy złotych, a takich osób w takich grupach jest bardzo dużo. Regulacja prawna z art. 298 kk jest dość łagodna, gdyż z tego tytułu sprawca może odpowiadać karą do 5 lat pozbawienia wolności, gdzie większość wyroków wydawana jest w zawieszeniu bądź sąd orzeka grzywnę. Badania uwzględnione w pracy doktorskiej pokazały, że istnieje społeczne przyzwolenie na popełnianie tego rodzaju przestępstw, gdyż nie można go porównać np. do gwałtu czy rozboju. Ludzie uważają, iż to ubezpieczalnie nas okradają, więc dlaczego to my nie możemy okradać ubezpieczalni. Rodzaj tego przestępstwa zaliczany jest do łagodniejszych, gdzie nie ma większego protestu, a tym samym ustawodawca nie zdecydował się na zwiększenie kary pozbawienia wolności np. do 8 lat, tak jak jest to w przypadku art. 286 §1 k.k. tj. zwykłego oszustwa. W mojej ocenie należy w przyszłości zadbać o to aby regulacja prawna w zakresie art. 298 §1 kk była bardziej surowa, co miałoby na celu odstraszenie sprawcy od popełnienia tego rodzaju przestępstwa. Uważam także, że ubezpieczalnie powinny bardziej wrócić uwagę na pracowników ubezpieczalni, którzy znają wszelkie procedury wewnętrzne związane ze zwalczaniem przestępczości ubezpieczeniowej w zależności od rodzaju ubezpieczenia. Pracownicy ubezpieczalni często dopuszczają się antydatowania umów ubezpieczenia bądź też fałszują dokumenty co nie powinno mieć miejsca. Problem przestępczości ubezpieczeniowej istnieje nie tylko w Polsce, ale na terenie bynajmniej całej Europy. Zauważalny jest on dość intensywnie w Niemczech, gdzie największą sferą wyłudzeń pozostają ubezpieczenia domów, mniej samochodów. Do zwalczania przestępczości ubezpieczeniowej niezbędne jest podjęcie kroków zmiany ustawy kodeks karny, w zakresie zwiększenia kary nawet do 10 lat pozbawienia wolności, także zwrotu kwoty odszkodowania nie tylko z odsetkami, ale w kwocie większej aniżeli pobrana uwzględniając przestępczy charakter czynu. Nie powinno być tutaj żadnych ulg w tym zakresie, a sprawca powinien odpowiadać równie surowo, jak za inne przestępstwa z większą dolegliwością karną. Ubezpieczalnie powinny także położyć większy nacisk na szkolenia swoich pracowników w poznawaniu nowych metod zwalczania przestępczości ubezpieczeniowej, a tym samym ich współpraca ze sprawcą powinna generować nie tylko odpowiedzialność karną w tym zakresie, ale wysokie kary finansowe z uwagi na to, iż dopuszczają się oni także okradania swojego pracodawcy. Tylko sztywne i surowe prawo może przyczynić się do zmniejszenia przestępczości ubezpieczeniowej, a szeroko rozwinięta technika powinna pomóc w wykrywaniu zdarzeń, które mają charakter przestępczy.
The topic of insurance crimes is quite popular. More people and more people commit insurance crimes, including property and personal insurance. Property insurance fraud consist mainly of communication insurance extorsions (OC and AC) and intentional company property destruction (burning down buildings or expiring merchandise). On the other hand, examples of personal insurance extorsions are faking death, self-inflicting injuries or falsely reporting a cancer disease. Luckily, each year companies are more experienced in fighting insurance crimes. They cooperate with banks, the Police and the National Health Service. They update their database and collect information of the claimants from social media, such as Facebook. However, it is not easy to discover if the person who files a property or personal insurance claim commits fraud. The hardest part is to discover whether the situation occurrs or is faked. Insurance companies discover fraud faster if more than one person takes part in the event. It happens because the version of events must be a 100% match - if it is not, then it is a signal that someone doesn’t tell the truth. If such situation occurs, the insurance company will notify the prosecution of an attempt to commit crime, based on article 298 par.1 of the polish Criminal Code for further investigation. Despite so many cases of insurance fraud (around a thousand cases each year), the number continues to increase as well as the amount of criminal methods. The most common area is communication insurance especially because this is a fast way to extort money. Lately life insurance crimes also have been growing. People attempt to commit fraud by faking disease or medical documentation. The documentation fraud involves doctors and splitting the shares with them. Organized crime groups have become very dangerous as they search for people who inflict self-injuries for money. For example they cut off their finger and then file a claim with the insurance company which is obliged to pay the claim (up to a few thousand zlotys). Later on victims and the group share their profits. The legal provisions of article 298 of the polish Criminal Code are quite mild, as the perpetrator may receive up to 5 years of deprivation of liberty, however most often courts sentence limitation of liberty or a fine. Presented in this PhD research shows that there is a public acceptance to commit such crimes, because they cannot be compared to rape or robbery. People share the opinion that insurance companies stole from them, so why couldn’t they stole from the companies? This type of crime is considered light, and the legislator has not decided to raise the punishment to 8 years, contrary to 286 par.1 of the criminal code (regular fraud). In my opinion, it is important to make 298 par.1 more severe, which would discourage from committing these types of crimes. I also think that insurance companies should become more aware of their employees, who know all the procedures related to fighting insurance crimes, depending on the type of insurance. Insurance employees often fraud dates on insurance certificates or falsify documents, which must not take place. The problem of insurance crimes is present not only in Poland, but also in Europe. It is noticed in Germany, where the most insurance crimes are committed in the area of property insurance and less in the area of communication insurance. Inorder to fight insurance fraud, it is necessary to change the Criminal Code. Raising the punishment, even up to 10 years of deprivation of liberty, returning claims with additional interest. There should not be any reliefs in this matter, and the perpetrator should receive punishment as strict as other criminal punishments. Insurance companies should also focus on educating their employees in new methods of committing insurance fraud. Furthermore, the employeescooperation with the perpetrator should result in not only criminal liability, but also high financial penalties, considering that this cooperation is theft of their employer. Only strict laws can contribute to the drop of insurance crime rates, yet broadly developed technology should help discovering such criminal events.