in English The theme of this dissertation is the subject matter jurisdiction of the International Criminal Court (ICC). Offences such as aggression, genocide, crimes against humanity and war crimes, sometimes called the "core crimes", are the most serious crimes ever indentified under international law. These crimes do not violate only some particular rights, but they threaten the whole international community, peace, security and well-being of the world. Therefore it is essential to have a precise legal definition of these grave crimes and to establish an effective judicial mechanism for prosecution of the most dangerous criminals. However, it is not easy to find general consent on these matters among the international community. There is not much space for internationalisation in the field of criminal law, which was traditionally considered an important part of national sovereignty. Thus the path towards establishment of the ICC, which is the first permanent international criminal judicial body ever, was extremely difficult, as was definition of the four core crimes falling within its jurisdiction. This thesis scrutinises the concrete provisions of the ICC Statute, the "Rome Statute", which constitute substantive law by defining the crime of genocide (art. 6), crimes against humanity (art. 7), war...

A rebours de la croyance populaire qui veut que le temps efface les blessures, le constat s'impose de l'omniprésence de la mémoire comme matrice des orientations décidées par nos gouvernants. Soixante-dix ans après la fin de la Seconde Guerre mondiale, elle occupe l'espace public dans toutes ses composantes et pousse à l'adoption de lois de reconnaissance des victimes et de sanction des discours de négation. Parallèlement, le législateur doit répondre à ses engagements conventionnels et satisfaire aux exigences de la justice pénale internationale. Mais ici encore, les contingences politiques sont fortes, qui sclérosent la réflexion juridique et conduisent à l'élaboration de dispositions controversées. Ce phénomène, ostensible en France, l'est moins chez notre voisin allemand, pourtant tributaire d'un lourd héritage mémoriel. Cette observation peut surprendre celui qui ne tient pas compte des évolutions conjointes mais divergentes des deux Etats depuis 1945, quant à la « gestion » des crimes internationaux par nature et de leurs suites ; d'où l'utilité d'une approche transversale, historique et comparative de ces questions. / Contrary to the popular belief that the time clears injuries, the finding must be made of the omnipresence of the memory as a matrix of guidelines decided by our leaders. Seventy years after the World War II ended, it occupies public space in all its components and drives the adoption of laws recognizing victims and punishing speech of negation. Meanwhile, the legislature must meet its conventional obligations and the requirements of international criminal justice. But again, the political contingencies are strong, which block legal thinking and lead to the creation of controversial provisions. This phenomenon, striking in France, is less at our german neighbor, yet reliant on a heavy legacy memorial. This observation may surprise those who do not consider the joint but divergent evolutions of the two states since 1945, on the « treatment » of international crimes by nature and their consequences ; hence the usefulness of a transverse, historical and comparative approach to these issues.

Este trabalho tem por objetivo debater a contribuição e o papel que a jurisprudência do Tribunal Penal Internacional para a ex-Iugoslávia desempenhou no processo de produção e desenvolvimento do direito internacional penal costumeiro sobre crimes contra a humanidade e sua influência na formação do conteúdo normativo atual do art. 7o(1),(2)(a), do Estatuto de Roma, que trata do crime contra a humanidade. Para isso, analisa-se como a Corte determinou o costume válido sobre as elementares do crime contra a humanidade nos casos Duko Tadie Draen Erdemovi, julgados antes da conferência de Roma. Em seguida, examina-se a teoria das fontes, mais especificamente, o costume internacional, seu fundamento, seus dois elementos (combinação de prática e opinio iuris), bem como seus sujeitos criadores e veículos de exteriorização, em especial a jurisprudência internacional. Nesse percurso, apontam-se as práticas destoantes do costume e a dificuldade de sua determinação, para então indicar o binômio valor e poder como elementos que influenciam sua manifestação. Depois, procura-se verificar o contexto político e jurídico de criação do Tribunal Penal Internacional para a ex-Iugoslávia, associando-o à proteção do valor paz mundial e às alterações das estruturas de poder da ordem internacional. Então, faz-se uma avaliação da contribuição dos julgados analisados como veículos para exteriorização do costume ou de seus elementos. Por fim, com a análise da coincidência de resultados no que tange à estrutura de algumas das elementares decididas pelo Tribunal Penal Internacional para a ex-Iugoslávia e o conteúdo normativo atual do art. 7o(1),(2)(a) do Estatuto de Roma, pode-se concluir que a jurisprudência estudada veiculou parte da opinio iuris do direito costumeiro sobre crimes contra a humanidade, contribuindo, assim, com o desenvolvimento do direito internacional penal sobre o tema. / This work aims to discuss the contribution and the role that the jurisprudence of the International Criminal Tribunal for the former Yugoslavia played in the production and development of international criminal customary law on crimes against humanity and its influence in shaping the article 7o(1),(2)(a), of the Rome Statute, about crime against humanity. In order to accomplish this task, it analyses how the Court defined valid custom on the chapeau elements of crime against humanity in the Duko Tadi and Draen Erdemovi cases. Next, it considers the theory of sources, more specifically, international custom, its basis, its two elements (combination of state practice and opinion juris), as well as its subjects and forms of externalization, including international decisions. About this, it points out the dissonant ways custom emerges and the difficulty of its determination, then indicating values and power as elements that influence its manifestation. After, it analyses the political and juridical contexts in which the International Criminal Tribunal for the former Yugoslavia was established, relating it with the protection of world peace, as a value, and the changes in the power structures of international order. Then, it unpacks the contribution of the above decisions (Duko Tadi and Draen Erdemovi cases) as vehicles of externalization of custom or, at least, one of its elements. Finally, with the analyse of the coincidence between the chapeau elements of crimes against humanity as decided by the International Criminal Tribunal for the former Yugoslavia and the current normative content of article 7o(1),(2)(a),of the Rome Statute, it can be concluded that the jurisprudence studied ran part of the opinion jurisabout crimes against humanity as an element of custom, thus, contributing to the development of international criminal law on that issue.

During the 1990s Yugoslavia and Rwanda were swept by wars accompanied by serious violations of international humanitarian law. Grave and severe crimes wiped away lives and destroyed properties. The United Nations Security Council determined that the violations committed constituted threats to international peace and security, declaring itself empowered to take action. It established international ad hoc criminal tribunals for Yugoslavia and Rwanda with the mandate of prosecuting individuals responsible for those crimes as an enforcement measure under Chapter VII of the United Nations Charter. Investigating the tribunals’ effectiveness enables one to assess whether they achieved the anticipated outcomes based on the tribunals’ mission, goals, and objectives without creating other problems. The research relies on naturalism and positivism to put the tribunals in a moral and ethical perspective. By examining how the tribunals were established, their objectives, the investigation and prosecution processes, the reliance on guilty plea and judicial notice and the imputation of criminal responsibility by applying joint criminal enterprise and command responsibility doctrines; the study argues that prosecution has not been an effective tool as contemplated by the Security Council. An analytical and comparative review of various domestic and international legal resources helped to provide an insightful approach for an effective prosecution of international crimes. Credible, legitimate and legal judicial institutions in which professional judges and prosecutors discharge their function independently, impartially and are accountable may achieve justice for the victims of international crimes. Ad hoc tribunals failed to thoroughly investigate and assume the dual role of prosecution. They conveniently used legal procedural tools that fit petty domestic crimes; unfortunately demeaning the magnitude of international crimes of concern. Criminal responsibility was mostly imputed without properly scrutinising the legality, extent, actual participation and guilty mind of the alleged perpetrators. Effectiveness should be a value assessment. Imposed and overburdened ad hoc tribunals are inappropriate and should be abandoned. / Public, Constitutional, and International / LL. D.

Les crimes contre l’humanité, les crimes contre la paix, les crimes de guerre, le génocide constituant le noyau dur des crimes internationaux représentent les actes qui causent les dommages les plus graves à la sécurité humaine et internationale. Ils sont codifiés dans les statuts des tribunaux pénaux internationaux. Les crimes transnationaux ou les crimes de traités ne sont pas codifiés dans ces statuts ou sont codifiés d’une manière assez limitée. L’apartheid, la torture, l’esclavage, la piraterie maritime, le terrorisme sont les exemples de ces crimes. Selon les règles de transformation du système international de Morton Kaplan, une variable du système international cause des transformations ou joue un rôle dans l’essor des systèmes internationaux. Le noyau dur des crimes internationaux est abordé dans notre travail comme l’une de ces variables du système. Dans ce but, le système bipolaire (1945- 1991), le nouvel ordre mondial (1991-2001) et le nouveau système depuis les attentats de 11 septembre 2001 ont été analysés. Les Tribunaux Internationaux de Nuremberg, de Tokyo, pour l’Ex-Yougoslavie, pour le Rwanda et la CPI sont devenus les études de cas. / Crimes against humanity, crimes against peace, war crimes and genocide constitute the hard core of most threatful acts to human and international security. They have been codified through the statutes of international criminal tribunals. Transnational crimes or treaty crimes are not codified in these statutes or they are narrowly codified. Examples of such crimes include the apartheid, torture, slavery, maritime piracy, and terrorism. According to the rules of international system transformation as defined by Morton Kaplan, one variable of the international system entails transformations and plays a role in the emergence of international systems. In this study, the hard core of international crimes is considered as one of the variables of the system. Thus, the bipolar system (1945-1991), the new world order (1991- 2001) and the new system after September 11 attacks are analysed. International Tribunals such as Nuremberg, Tokyo, for the former Yugoslavia, Rwanda and the International Penal Court constitute case studies.

The International Criminal Tribunal for the Former Yugoslavia (ICTY) has been both contentious and successful. By examining the ICTY from a Levinasian ethical standpoint, we might be able to understand how the court uses language to enforce ethical and moral standards upon post-war societies. Using linguistic methods of analysis combined with traditional data about the ICTY, I empirically examine the court using ordinary least squares (OLS) in order to show the impact that language has upon the court's decision making process. I hypothesize that the court is an ethical entity, and therefore we should not see any evidence of bias against Serbs and that language will provide a robust view of the court as an ethical mechanism.

Les violations aux droits humains causent des milliers de victimes chaque année, des mécanismes de justice sont élaborés afin de répondre à ces crimes, mais les victimes demeurent peu consultées. Par le biais d’entretiens semi-directifs, cette étude présente le point de vue et les attentes des victimes de crimes contre l’humanité du Cambodge et du Rwanda sur la justice. La justice sociale constitue le cadre théorique de cette étude. Les résultats montrent que la justice pénale est centrale à la définition de la justice. La réparation et la vérité en constituent aussi les éléments essentiels. Toutefois, la capacité des tribunaux à rendre compte de la vérité est critiquée par les répondants créant un écart entre ce qu’elles veulent et ce qu’elles obtiennent. La qualité de la prise de décision et du traitement interpersonnel favorise aussi la perception de justice du point de vue des victimes. Les différentes composantes de la justice perçues, comme la punition, la réparation et la procédure, varient toutefois en fonction du contexte social et historique de la victimisation. / Human rights violations cause thousands of victims every year. Justice mechanisms, such as the International Criminal Court, have been developed to respond to these crimes, but victims remain under consulted. In this study, semi-structured interviews were conducted with Rwandan and Cambodian victims of crimes against humanity. Using social justice theories as a theoretical framework, this study examines victims’ perceptions of justice. The results show that while criminal justice is central in victims’ definition of justice, reparation and truth also are essential components. However, the criminal court’s ability to achieve truth is criticized by respondents creating a gap between the truth that they seek and the truth that they obtain. The quality of decision-making as well as how victims are treated also contribute to victims’ perception of justice. However, victims’ justice objectives vary according to the social and historic context.

Thèse numérisée par la Division de la gestion de documents et des archives de l'Université de Montréal

Submitted by JULIANA SCHWARTZ DAL PIVA (julianadalpiva@gmail.com) on 2016-09-28T01:11:07Z No. of bitstreams: 1 ACONSTRUCAODABUSCAPORRUBENSPAIVA-final.pdf: 17155688 bytes, checksum: c6fe160f2c31b5feab444bbce3ad340e (MD5) / Approved for entry into archive by Rafael Aguiar (rafael.aguiar@fgv.br) on 2016-10-06T13:22:42Z (GMT) No. of bitstreams: 1 ACONSTRUCAODABUSCAPORRUBENSPAIVA-final.pdf: 17155688 bytes, checksum: c6fe160f2c31b5feab444bbce3ad340e (MD5) / Made available in DSpace on 2016-10-17T17:07:30Z (GMT). No. of bitstreams: 1 ACONSTRUCAODABUSCAPORRUBENSPAIVA-final.pdf: 17155688 bytes, checksum: c6fe160f2c31b5feab444bbce3ad340e (MD5) Previous issue date: 2016-09-01 / This study examined the investigations undertaken into the disappearance of congressman Rubens Paiva between 1971 and 2014 as an iniciative to understand the long and tortuous path that led to a Federal Court recognize that the case configured a crime against humanity - decision which is unprecedented in the Brazilian judiciary. This sentence was given after 40 years of investigations into the crime against the parliamentarian. With different purposes and in different contexts, four state agencies performed investigations about the crime: the inquiry of the Army (1971), the investigation of the Federal Police (1986) then transformed into a Military Police Inquiry and conducted by the Army (1987), the survey made by the National Truth Commission and the Rio Truth Commission (2012-2014) and the investigation of the Federal Public Ministry (2012-2014). In addition, this research incorporated to analyze some specific periods of the Paiva family fight, as the request for investigation made by Eunice Paiva in the Council of the Human Rights (CDDPH) in 1971 and then in 1979. This reflection of the Rubens Paiva case procedures allowed to find representations of the paradoxes with which victims of human rights violations were addressed in different contexts since the military regime, exemplifying the cycles of this struggle. / O presente estudo analisou as investigações empreendidas sobre o desaparecimento do deputado federal Rubens Paiva entre 1971 e 2014 para tentar compreender a longa e tortuosa trajetória que levou a 2a Turma Especializada do Tribunal Regional Federal a reconhecer que o caso configurava um crime de lesa-humanidade – decisão até então inédita no Judiciário brasileiro. Essa sentença foi dada após 40 anos de investigações sobre o crime contra o parlamentar. Com diferentes objetivos e em distintos contextos, foram realizados quatro procedimentos de apuração de órgãos estatais sobre o desaparecimento de Rubens Paiva: (I) a Sindicância do Exército (1971), (II) o inquérito da Polícia Federal (1986), depois transformado em Inquérito Policial-Militar e conduzido pelo Exército (1987), (III) a pesquisa da Comissão Nacional da Verdade e da Comissão da Verdade do Rio (2012-2014) e (IV) a investigação do Ministério Público Federal (2012-2014). Além disso, a pesquisa incorporou para a análise alguns períodos específicos da luta da família Paiva, como o pedido de investigação feito por Eunice Paiva no Conselho dos Direitos da Pessoa Humana (CDDPH), em 1971, e depois em 1979. A análise sobre os procedimentos do caso Rubens Paiva permitiu encontrar representações dos paradoxos com as quais as vítimas de violações de direitos humanos foram tratadas em contextos distintos desde o regime militar, exemplificando os ciclos dessa luta.

Este trabalho tem por objetivo debater a contribuição e o papel que a jurisprudência do Tribunal Penal Internacional para a ex-Iugoslávia desempenhou no processo de produção e desenvolvimento do direito internacional penal costumeiro sobre crimes contra a humanidade e sua influência na formação do conteúdo normativo atual do art. 7o(1),(2)(a), do Estatuto de Roma, que trata do crime contra a humanidade. Para isso, analisa-se como a Corte determinou o costume válido sobre as elementares do crime contra a humanidade nos casos Duko Tadie Draen Erdemovi, julgados antes da conferência de Roma. Em seguida, examina-se a teoria das fontes, mais especificamente, o costume internacional, seu fundamento, seus dois elementos (combinação de prática e opinio iuris), bem como seus sujeitos criadores e veículos de exteriorização, em especial a jurisprudência internacional. Nesse percurso, apontam-se as práticas destoantes do costume e a dificuldade de sua determinação, para então indicar o binômio valor e poder como elementos que influenciam sua manifestação. Depois, procura-se verificar o contexto político e jurídico de criação do Tribunal Penal Internacional para a ex-Iugoslávia, associando-o à proteção do valor paz mundial e às alterações das estruturas de poder da ordem internacional. Então, faz-se uma avaliação da contribuição dos julgados analisados como veículos para exteriorização do costume ou de seus elementos. Por fim, com a análise da coincidência de resultados no que tange à estrutura de algumas das elementares decididas pelo Tribunal Penal Internacional para a ex-Iugoslávia e o conteúdo normativo atual do art. 7o(1),(2)(a) do Estatuto de Roma, pode-se concluir que a jurisprudência estudada veiculou parte da opinio iuris do direito costumeiro sobre crimes contra a humanidade, contribuindo, assim, com o desenvolvimento do direito internacional penal sobre o tema. / This work aims to discuss the contribution and the role that the jurisprudence of the International Criminal Tribunal for the former Yugoslavia played in the production and development of international criminal customary law on crimes against humanity and its influence in shaping the article 7o(1),(2)(a), of the Rome Statute, about crime against humanity. In order to accomplish this task, it analyses how the Court defined valid custom on the chapeau elements of crime against humanity in the Duko Tadi and Draen Erdemovi cases. Next, it considers the theory of sources, more specifically, international custom, its basis, its two elements (combination of state practice and opinion juris), as well as its subjects and forms of externalization, including international decisions. About this, it points out the dissonant ways custom emerges and the difficulty of its determination, then indicating values and power as elements that influence its manifestation. After, it analyses the political and juridical contexts in which the International Criminal Tribunal for the former Yugoslavia was established, relating it with the protection of world peace, as a value, and the changes in the power structures of international order. Then, it unpacks the contribution of the above decisions (Duko Tadi and Draen Erdemovi cases) as vehicles of externalization of custom or, at least, one of its elements. Finally, with the analyse of the coincidence between the chapeau elements of crimes against humanity as decided by the International Criminal Tribunal for the former Yugoslavia and the current normative content of article 7o(1),(2)(a),of the Rome Statute, it can be concluded that the jurisprudence studied ran part of the opinion jurisabout crimes against humanity as an element of custom, thus, contributing to the development of international criminal law on that issue.