Made available in DSpace on 2015-09-25T12:22:10Z (GMT). No. of bitstreams: 1 PDF - Luiz da Rosa Garcia Filho.pdf: 690059 bytes, checksum: 1840b21a7f696be5a567f8e9fff65654 (MD5) Previous issue date: 2011-10-31 / Conselho Nacional de Desenvolvimento Científico e Tecnológico / This dissertation seeks to identify the role that the permanent International Criminal Court (ICC) occupies in the international system. In this paper, we analyze the formation of an international governmental organization (IGO) in light of theories of international relations, addressing the major theoretical schools, and giving special focus, to the applicability of the theory of hegemonic stability, bearing in mind the opposition that the United States offers to the Organization. We also draw a profile of the historical formation of the International Court, rescuing its predecessors and leaning on the principles that guide its activities, giving special attention to the principle of complementarity, which aims to safeguard the sovereignty of States Parties to the Rome Statute, an international treaty that gave start to ICC. Our research also takes care of the issue of the difficulties faced by this Court, in particular those under the opposition it faces in the International System (IS), addressing conciliation options and charting a prognosis for the future of the Organization in a world increasingly interdependent and globalized. / A presente dissertação de mestrado busca identificar o papel que o Tribunal Penal Internacional Permanente (TPIP) ocupa no sistema internacional. Neste trabalho, analisaremos a formação desta Organização Internacional Governamental (OIG) sob a luz das teorias de Relações Internacionais, abordando as principais vertentes teóricas e, dando especial enfoque, a questão da aplicação da teoria da estabilidade hegemônica, tendo em mente a oposição dos Estados Unidos em relação à Organização. Também traçaremos um perfil da formação histórica da Corte Internacional, resgatando seus precedentes e nos debruçando sobre os princípios que norteiam sua atividade, dando especial atenção ao princípio da complementaridade, que visa resguardar a soberania dos Estados signatários do Estatuto de Roma, tratado internacional que deu início ao TPIP. Nossa pesquisa cuida ainda da questão das dificuldades enfrentas pela referida Corte, em especial as decorrentes da oposição que enfrenta no Sistema Internacional (SI), abordando opções de conciliação e traçando um prognóstico para o futuro da Organização em um mundo cada vez mais interdependente e globalizado.

Este trabalho tem por objetivo propor a adoção do instituto da desconsideração da personalidade jurídica pelo Tribunal Penal Internacional como forma de aumentar a efetividade de seus requerimentos de cooperação aos Estados. Para isto, foram analisadas as intervenções humanitárias e a criação dos tribunais penais internacionais de Ruanda e da Ex-Iugoslávia. Esta análise concluiu que a falta de efetividade tem sido o maior problema enfrentado pelas ações voltadas à proteção internacional dos direitos humanos. Sob este aspecto foi estudada a criação do Tribunal Penal Internacional, sua estrutura, suas normas de cooperação e apontada a falta de um instituto que garanta a eficácia de seus atos jurídicos quando estes dependem da cooperação com Estados. Através do estudo da desconsideração da personalidade jurídica percebeu-se sua compatibilidade com o Direito Internacional, em relação aos Estados sob atuação da jurisdição complementar do Tribunal. Sendo assim, defende-se sua adoção como uma contra-medida tomada no contexto da responsabilidade de um Estado perante o Tribunal Penal Internacional por um ato de não cooperação, quando este for caracterizado por fraude ou abuso de competência. Assim, afirma-se a possibilidade e a conveniência da adoção do instituto da desconsideração da personalidade jurídica como um instrumento que garanta uma maior efetividade do Tribunal no exercício de suas funções. / This work has for objective to consider the adoption of the institute of the disregard of the legal entity for the International Criminal Court as form to increase the effectiveness of its cooperation requirements to the States. For this, the humanitarian interventions and the creation of international the criminal courts of Rwanda and of Former-Yugoslavia had been analyzed. This analysis concluded that the effectiveness lack has been the biggest problem faced for the actions directed to the international protection of the human rights. Under this aspect was studied the creation of the International Criminal Court, its structure, its norms of cooperation and pointed the lack of an institute that guaranties the effectiveness of its legal acts when these they depend on the cooperation with States. Through the study of the disregarding of the legal entity its compatibility with the International Law was perceived, in re1ation to the States under performance of the complementary jurisdiction of the Court. Being thus, its adoption is defended as a countermeasure taken in the context of the responsibility of a State before the International Criminal Court for an act of non-cooperation, when this will be characterized by fraud or abuse of power. Thus, it is affirmed possibility and the convenience of the adoption of the institute of the disregarding of legal entity as an instrument that guaranties a bigger effectiveness of the Court in the exercise of its functions.

LL.M. (International Law) / Although international law is still a relatively new field within the South African legal system, South Africa has come a long way since the unsuccessful prosecution of Wouter Basson (1999- 2002) for apartheid crimes in the North-Gauteng high court. Recent cases as well as media reports have focused the attention once again on South-Africa‟s obligation to investigate and prosecute certain international crimes. Although criminal investigation and prosecution is generally, not only the duty of a domestic legal system, but also within the discretion of the domestic authorities, certain offences are so heinous that they are regarded as international crimes. It has been accepted since the Nuremburg trials, conducted after World War II, that the whole international community has an interest in the effective punishment and deterrence of international crimes.2 A right and sometimes even a duty to prosecute international crimes may arise from a multilateral treaty to which a state is party, such as the Rome Statute of the International Criminal Court, the four Geneva Conventions of 1949 and the Additional Protocols thereto, the Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment and various terrorism conventions. South Africa is a signatory to the abovementioned treaties. The focus of this dissertation is on South Africa‟s responsibility in terms of international law to investigate and prosecute international crimes. The author researched the question whether South Africa complied with its international law obligations.

La quête d’une réponse à l’impunité des crimes internationaux a connu un pas de géant avec l’adoption par un grand nombre d’États du Statut de Rome créant la Cour pénale internationale. Néanmoins, toujours jaloux de leur souveraineté, ces États ont fait de cette dernière une juridiction complémentaire. Cette Cour n’agit que lorsque des crimes relevant de sa compétence, commis par de hautes autorités, ne font pas l’objet d’enquêtes ou poursuites sérieuses sur le plan national. Mais aussi, dans une approche proactive de sa complémentarité, elle est appelée à catalyser l’organisation des enquêtes ou poursuites au niveau national en assistant ou en encourageant les instances nationales. Cette complémentarité de la CPI par rapport aux systèmes judiciaires nationaux constitue le seul moyen par lequel cette cour lutte contre l’impunité des crimes internationaux. Cependant, au lieu de constituer un remède à l’impunité, la mise en œuvre de ce principe et la manière dont il est libellé dans le Statut de Rome, en serait plutôt, dans la plupart des cas, la source. Pour étayer ces propos, cette étude met en exergue la politisation et l’instrumentalisation qui entachent la mise en œuvre de ce principe ainsi que l’exploitation insuffisante de la complémentarité positive. Après avoir interrogé l’évolution de la justice pénale internationale pour dégager son caractère complémentaire, ce mémoire décortique le sens et la portée du principe de complémentarité. Il vérifie ensuite notre hypothèse par l’analyse de la mise en œuvre de ce principe dans les situations en Côte d’Ivoire et en Libye. Au final, il suggère la révision de la base juridique de ce principe et l’optimisation de la complémentarité positive comme véritable rempart contre l’impunité des crimes internationaux les plus graves. / Many States have ratified the Rome Statute establishing the International Criminal Court (ICC). In response to the issue of international crimes which usually go unpunished, this represents a giant step forward. However, by exercising much of their sovereignty, these States have made the ICC a supplementary jurisdiction which only acts when crimes within its jurisdiction committed by high authorities, are not subject to serious investigations or prosecutions at the national levels. As a proactive approach to its complementarity, it is required to catalyze the organization of investigations or prosecutions at the national levels by assisting or encouraging local authorities. This complementarity of the ICC to the national judiciary systems constitutes the only way this court has available to fight against international crimes impunity. However, the implementation of this principle and the way it is worded in the Rome Statute, constitute, in most cases, the source of impunity rather than its remedy. In order to do so, this study first highlights the politicization and instrumentalisation that plagued the implementation of this principle and the insufficient exploration of positive complementarity. It secondly gives an overview of the evolution of international criminal justice stressing its complementary nature. The meaning and scope of the principle of complementarity will be then scrutinized which will allow for testing our hypothesis; taking Ivory Coast’s and Libya’s contexts as cases in point. In light of the results, suggestions in terms of revisions of the legal basis of this principle and the optimization of positive complementarity as a true weapon against impunity of such unheard of crimes are discussed.

Magister Legum - LLM / The first part of this study evaluates the historical events that led to the referral of the DRC situation to the ICC. This includes the background of the conflict and the extent to which international crimes have been committed. Both regional and domestic attempts and initiatives to address the conflict are discussed, with specific reference to peace agreements and restorative justice mechanisms. The second part of the study deals with the prosecution of the perpetrators by the ICC. It examines the approach of the Pre- Trial Chamber to two legal issues, the principle of complementarity and modes of criminal participation as part of the ICC Statute. In this regard, the study makes a critical evaluation of two preliminary decisions confirming the charges against Lubanga, Katanga and Chui before the cases proceeded to the trial stage. / South Africa

Magister Legum - LLM / This paper analyses head of state immunity, a traditional rule of international law, in relation to the indictments by the International Criminal Court (ICC) in 2009 against the current Sudanese President Omar Hassan Ahmad Al Bashir. It can be agreed that the doctrine of immunity in international law attempts to overcome the tension between the protection of human rights and the demands of state sovereignty. The statutes and decisions of international criminal courts make it clear that no immunity for international crimes shall be attached to heads of states or to senior government officials. However, the case against the Sudanese President, where the jurisdiction of the ICC was triggered by the UN Security Council‟s referral of the situation in Darfur to the Court, represents the first case where a serving head of state has, in fact, been indicted before the ICC. From this case, a number of legal issues have arisen; such as the questions where the ICC‟s jurisdiction over an incumbent head of state, not party to the ICC Statute, is justified, and the obligations upon ICC state parties to surrender such a head of state to the requesting international criminal court. This paper gives an analysis of these questions. / South Africa

Magister Legum - LLM / With regard to the establishment of legislative frameworks for investigating and prosecuting genocide, crimes against humanity and war crimes at both national and international level, a number of pertinent issues come up concerning the Court which should have primacy to deal with a particular case. States have had a variety of options at their disposal, such as complementarity, exclusivity, subsidiarity and concurrent jurisdiction principles. As a rule, these experiences find their limits in the full criminalisation of conduct that is also punishable before the international criminal tribunals under international law, ignoring the fact that international law does not provide definite guidance with respect to a number of questions in relation to interaction between national and international jurisdiction vis-à-vis the ‘core crimes.’ In addition,a considerable increase in the content of international law and divergences in various legal systems in criminal law, both general and special, since the end of World War II, influence the effective prosecution of ‘core crimes.’ Against this background; this work is organised into five chapters. Chapter one gives a general introduction and background to the study. Chapter two will set out the present international legal framework governing the prosecution of ‘core crimes’ in national courts and a description of the relevant practice in various states. Chapter three will examine critically the jurisdiction and overlaps of the international courts and ad hoc tribunals,along with the corresponding models of international criminal justice of exclusivity, subsidiarity, complimentarity and concurrent jurisdiction. Chapter four seeks to discuss the optimal relationship based on interactions between national and international jurisdictions. It will also include the merits and limits of both jurisdictions, basing on existing precedents and legislation.Finally, Chapter five contains a summary of conclusions drawn from the whole study and winds up with a set of recommendations.

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"This paper deals with the prosecution of a crime of crimes, genocide, at international and national levels. The international community has shown interest in penalizing perpetrators of gross human rights violations since the Nuremberg trial, and then the adoption of the 1948 UN Genocide Convention. After these times, significant numbers of international tribunals, although at an ad hoc level, have been established to punish gross violations of human rights including the crime of genocide. Along with these tribunals, quite a number of national courts have engaged in the prosecution of genocide. Nevertheless, due to legal and practical problems, the two legal systems are adopting different approaches to handle the matter, although the crime is one and the same. Therefore, the objective of this paper is to assess critically where the difference lies, the cause and impact of the disparity on the rights of the accused to fair trial. Moreover, the study will posit some recommendations that might assist to ameliorate this intermittent situation." -- Synopsis. "This work consists of five chapters. Chapter one is addressing the general introduction of the work, and it has already been discussed. Chapter two deals with the crime of genocide and its criminal responsibility as indicated under different national and international laws. The third chapter is devoted to focus on the right to fair trial and the prosecution of genocide, and specifically addresses the issues of the right to legal assistance, speedy trial, obtain and examine evidence, and sentencing. In chapter four the role of the Rome Statue in protecting the rights of the accused, its impact on on national laws, the complementarities of the International Criminal Court and national courts will be discussed. Finally, the work will come to an end by giving concluding remarks and recommendations under the fifth chapter." -- Introduction. / Thesis (LLM (Human Rights and Democratisation in Africa)) -- University of Pretoria, 2003. / Prepared under the supervision of Dr. Henry Onoria at the Faculty of Law, Makerere University, Kampala / http://www.chr.up.ac.za/academic_pro/llm1/dissertations.html / Centre for Human Rights / LLM