LL.D. / Millions of human lives have been affected by gross human rights violations since 1945. Genocide and crimes against humanity have been perpetrated repeatedly against civilians despite the vow after the Holocaust that such atrocities would “never again” occur. The Holocaust acts were not criminalised as “genocide” in the London Charter, but as “persecutions on political, racial or religious grounds” under the broader international crime of “crimes against humanity”. “Genocide” was criminalised on 9 December 1948 by the adoption of the Convention on the Prevention and Punishment of the Crime of Genocide by the United Nations General Assembly. Two main obligations were imposed on signatory states by Article I of the Genocide Convention, namely to prevent the commission of the international crime of genocide, and the obligation to punish the perpetrators of such a crime. Both genocide and crimes against humanity form part of the “most serious crimes of concern to the international community as a whole”, which are also gross human rights violations. It is of interest to all states of the international community to prevent the commission of these gross human rights violations and to prosecute perpetrators. The prohibition of the international crimes of genocide and crimes against humanity is erga omnes in nature. The research objective of this doctoral thesis is to analyse the causes for the repeated failure of the international community to fulfil the erga omnes obligation to prevent and prosecute gross human rights violations. This endeavour is furthermore aimed at formulating recommendations that will enhance future compliance with the erga omnes obligation in accordance with the international legal developments that will form the subject matter of the thesis. The thesis consists of five parts. Part 1 is an introduction in which the research objective and aims of the thesis are explained and demarcated, as well as the issues focused upon. Core legal concepts, terms and notions explained in Part 1 include “gross human rightsviolations”, “erga omnes obligation”, “jus cogens norms”, “customary international law”, “states upon whom the erga omnes obligations to prevent and prosecute gross human rights violations are imposed”, “the obligation to prevent”, “the obligation to prosecute”, “state responsibility”, “individual criminal responsibility”, “state immunity”, and various other terms. Part 1 further explains the research methodology followed in the thesis and contains a brief overview of the parts and chapters.

This dissertation analyzes the limits of international human rights law (IHRL) in the Arab region. It examines two case studies representing opposing ends of the human rights spectrum. The first focuses on Tunisia, understood to be the only democratic and free country in the region, while the second pertains to the occupied Palestinian territories, which continues to endure the longest territorial occupation in modern history. These two cases illustrate circumstances under which extralegal strategies for diminishing human suffering become not only possible but necessary. In both contexts, arguments rooted in the normative logic of international human rights law have failed and its formal legal and procedural mechanisms have been exhausted. This dissertation seeks to examine precisely the extralegal and sometimes radical logics that have arisen in this new liminal space as alternatives to and complements of the formal structures of IHRL.

The thesis explores the nature of transnational legalisation by identifying one emerging norm - corporate accountability for human rights violations - and tracing its promotion through three separate pathways of legalisation. At the domestic level, the thesis discusses the jurisprudence of domestic courts that have contemplated assuming extraterritorial jurisdiction over alleged human rights violations of transnational corporations (TNCs) in other states. At the international level, the thesis considers developments in the United Nations (UN), which in 2011 launched a new normative framework to bolster the accountability of TNCs in respect of human rights. At the transnational level, the thesis discusses the Kimberley Process Certification Scheme (KPCS), the Extractive Industries Transparency Initiative (EITI), and the Voluntary Principles on Security and Human Rights (VPs), which have been selected as representative of the range of hybrid schemes increasingly developed by government and industry representatives to ameliorate the impact of TNCs on human rights. The thesis also develops a framework with which to analyse these trends by adopting (and further developing) the liberal institutionalist tool of legalisation, which is described in Kenneth Abbott et al's 'The Concept of Legalisation'. This thesis argues that this classic framework can be adapted and reimagined in the context of the transnational legal system, which is characterised by thick configurations of agents working across a multiplicity of issue areas. I suggest that in applying the classic framework in the transnational context, there appears to be an omitted variable - that of implementation, which exists alongside obligation, precision, and delegation. Implementation refers to the specific actions taken by agents to translate legal or law-like principles into practical, workable instructions for courts, governments, companies and other non-state actors to follow. The thesis argues that an increased focus on implementation generally leads to more effective or greater legalisation. The empirical chapters demonstrate that efforts in implementation are often undertaken for the purpose of strengthening one or more other legalisation characteristics in the long run. This suggests that agents will be willing to accept lower levels of obligation, precision and/or delegation if they believe a focus on implementation will help strengthen these characteristics over time.

Submitted by JOSIANE SANTOS DE OLIVEIRA (josianeso) on 2018-10-03T17:02:52Z No. of bitstreams: 1 Paulo Víctor Silva Schroeder_.pdf: 1621111 bytes, checksum: 1bd99e768986a862bc4413e5e1c227e0 (MD5) / Made available in DSpace on 2018-10-03T17:02:52Z (GMT). No. of bitstreams: 1 Paulo Víctor Silva Schroeder_.pdf: 1621111 bytes, checksum: 1bd99e768986a862bc4413e5e1c227e0 (MD5) Previous issue date: 2018-03-19 / CAPES - Coordenação de Aperfeiçoamento de Pessoal de Nível Superior / Desde o período colonial, a proteção dos direitos humanos de comunidades indígenas é sistematicamente afetada por violações decorrentes da extração de minério sob o solo da América Latina, uma prática historicamente realizada pelos estados coloniais e cujos principais agentes, contemporaneamente, são as empresas transnacionais. Em razão do crescente aumento do potencial violador destas empresas, discute-se, no âmbito da ONU, a possibilidade de um tratado internacional que vincule diretamente as empresas transnacionais ao cumprimento de regras de direitos humanos internacionalmente reconhecidas. Todavia, no que se refere aos interesses das comunidades indígenas, a possibilidade de adoção de um tratado internacional para empresas e direitos humanos se insere em um campo de disputas. De um lado, os direitos indígenas são protegidos pela Declaração dos Direitos dos Povos Indígenas da ONU (2007) e pela Convenção nº 169 da OIT (1989); de outro, estes direitos são relativizados pela a ausência de mecanismos de responsabilização direta das empresas transnacionais por violações de direitos humanos. Desde a perspectiva decolonial, observa-se que a adoção de um tratado internacional que vincule diretamente as companhias transnacionais a parâmetros de direitos humanos só será emancipatória para os povos indígenas se incorporar as suas reivindicações comunitárias por autodeterminação, em oposição a uma leitura predominantemente liberal acerca dos direitos humanos. Para referida análise, o método de abordagem adotado é tributário da tradição dialética, tendo em vista a contraposição das reivindicações de direitos pelos indígenas com a lógica moderno/colonial. / Since the colonial period, the human rights protection of indigenous communities has been systematically affected by aggressions from the industrial mining activities over the soil of Latin America, historically carried out by colonial states and whose main agents contemporaneously are transnational corporations. In view of the companies increasing potential for violating human rights, the possibility of an international treaty that binds transnational corporations with human rights parameters is being discussed in the UN. Thus, the possibility of adopting an international treaty for companies and human rights is part of a field overgrown by disputes, which resulted in two contradictory positions for the protection of human rights of indigenous communities. On one hand, indigenous people’s rights are protected by the UN Declaration on the Rights of Indigenous People (2007) and ILO Convention 169 (1989); on the other, these rights are relativized by the absence of mechanisms about transnational corporations legal accountability. From a decolonial perspective, it is noted that discussions about the adoption of an international treaty will only be emancipatory for indigenous people by incorporating the community demands for self-determination, in opposition to a predominantly liberal reading of human rights. For this analysis, the method of approach adopted is tributary to the dialectical tradition, in view of the contraposition arising from indigenous people’s claims with the western-modern-capitalist logic.

Submitted by Maike Costa (maiksebas@gmail.com) on 2017-09-13T14:56:34Z No. of bitstreams: 1 arquivototal.pdf: 1648259 bytes, checksum: 2403d1b9a4f232a7369dc923c5da2e28 (MD5) / Made available in DSpace on 2017-09-13T14:56:35Z (GMT). No. of bitstreams: 1 arquivototal.pdf: 1648259 bytes, checksum: 2403d1b9a4f232a7369dc923c5da2e28 (MD5) Previous issue date: 2016-07-25 / Coordenação de Aperfeiçoamento de Pessoal de Nível Superior - CAPES / Western Modernity that marks the passage from subject to citizen, in replacement Absolutists States by Liberal begins the era of the subjectivity of the rights expressed in the doctrine of human rights. The sec. XX marks the crisis of Western modernity, evidenced by the experience of Totalitarianism, the limitations of a concept of citizenship exclusively state-owned. The need to prevent totalitarian experiences recur, led the International Society in the post-World War II, building an ethic of international relations based on human rights. The asymmetry between these international actors bare the limitations of human rights internationalization. Without the political democratization of these relations, the human rights discourse loses effectiveness and rising voices that denounce the imperialism of Western modernity disguised in humanistic rhetoric of human rights. In a complex international context, where natural law and liberal ideology of human rights is obscured by negative skepticism of political realism, the supranational citizenship appears as a possibility under construction. The study of Brazilian cases in the Inter-American Court of Human Rights is an epistemological framework that aims to collate the viability of the concept of democratic supranational citizenship, a concept that still lives its conceptual childhood and politics in an era marked by crises and transformations without a clear horizon. / A modernidade ocidental que marca a passagem do súdito ao cidadão, na substituição de Estados Absolutistas por Estados Liberais, inicia a era da subjetivação dos direitos expressa na doutrina dos Direitos Humanos. O sec. XX que marca a crise da modernidade ocidental, evidencia, através da experiência do Totalitarismo, as limitações de um conceito de cidadania exclusivamente estatal. A necessidade de se evitar que experiências totalitárias se repitam, levou a Sociedade Internacional, no pós-Segunda Guerra, a construir uma ética das relações internacionais baseadas nos direitos humanos. A assimetria entre esses atores internacionais desnuda as limitações da internacionalização dos direitos humanos. Sem a democratização política dessas relações o discurso dos direitos humanos perde efetividade e levantam-se vozes que denunciam o imperialismo da modernidade ocidental travestida na retórica humanista dos direitos humanos. Em um quadro internacional complexo, onde a ideologia jusnaturalista e liberal dos direitos humanos é obscurecida pelo ceticismo negativo do realismo político, a cidadania supraestatal se apresenta como uma possibilidade em construção. O estudo dos casos brasileiros na Corte Interamericana de Direitos Humanos é um recorte epistemológico que visa a cotejar a viabilidade do conceito de cidadania supraestatal democrática, conceito que ainda vive a sua infância conceitual e política em uma era marcada por crises e transformações sem um horizonte nítido.

Dans un contexte postmoderne, pluriculturel, ambivalent et contingent, comment établir les prémisses d'un système normatif pour les migrations internationales légitimé par l'altérité et les Droits de l'Homme qui soit capable d'apporter des bénéfices aux pays d'origine, de destination et surtout aux migrants ? Avec un abordage bibliographique qualitatif basé sur les herméneutiques phénoménologique et du sujet, la migration est analysée comme un phénomène global, complexe et transdisciplinaire en débattant sur la culture, l'identité, la diversité, l'altérité et les droits humains dans les divers domaines scientifique pour actualiser les concepts et institutions et capturer l'amplitude et la profondeur du spectre de la mobilité humaine. L'objectif est d'identifier les principes pour une réglementation légitime dans une perspective «transcivilisationnelle », basée sur la dignité de la personne humaine et sur l'éthique de l'espèce qui régule le flux migratoire et qui apporte des bénéfices pour toutes les parties concernées. Une comparaison entre la France et le Brésil, en tant que représentants du Nord et du Sud globaux démontre que dans la gestion migratoire, en dépit de la prédominance du discours humanisé, les pratiques des États et des sociétés ne correspondent pas à la rhétorique diffusée. Le résultat de la recherche permet d'identifier les prémisses de l'établissement de nonnes légitimes dans les domaines philosophique, sociologique, socioéconomique et environnemental, politique et juridique, qui incluent Je migrant en tant qu'être humain au centre des débats et décisions comme destinataire mais aussi auteur des politiques migratoires. / In a post-modem, multicultural, ambivalent and contingent environment, it is questioned in this study how to establish premises for a normative model to international migration, focusing on otherness and Human Rights; a model which can bring benefits to the countries of origin, destination and, especially for the migrant? lt was used a bibliographie and qualitative approach based on phenomenological and subject henneneutics to investigate the migration as a global complex and a transdisciplinary phenomenon. This research debates cultures, identities, diversity, otherness, and Human Rights to update concepts and institutions that capture the breadth and depth of human mobility spectrum in its potential. The aim is to identify premises for a legitimate normativity in a transcivilizational perspective based on human dignity, ethics of the species and Human Rights which regulates the global migration and provides benefits to the parties. A comparison between France and Brazil as representatives of the global North and South is made to demonstrate that the migration management, despite the predominance of humanized speech, state and social practices do not match the rhetoric disseminated. Results shows premises philosophical, economic, sociological, politic and legal that identify a legitimate regulation that effectively includes the migrant as a human persan at the center of discussions and decisions as addressed and author in the sense of belonging of immigration policies.

Depuis 2001, l'UE a mené plus d'une vingtaine d'opérations militaires et de missions civiles, et elle est désormais considérée comme une organisation majeure dans le domaine du maintien de la paix.Longtemps perçue comme une organisation intergouvernementale, la mise en place d'une structure européenne de gestion des crises intégrée au coeur de l'organisation, ainsi que la délégation de la gestion courante de la crise aux organes européens, ont participé à l'autonomisation progressive de l'UE par rapport à ses Etats membres. Cette autonomisation de l'organisation se manifeste également dans l'ordre juridique international. Tout un corps de règles s'applique alors à l'UE du fait de son intervention dans l'ordre juridique international, notamment les règles relatives à la responsabilité internationale des organisations régionales. L'intervention effective de l'Union européenne dans le domaine du maintien de la paix – en tant qu'organisation régionale – s'inscrit dans un cadre juridique imprécis. Or, le phénomène de régionalisation a pu être interprété comme portant préjudice au système de sécurité collective instauré par la Charte des Nations unies. Partant,deux aspects de l'intervention effective de l'UE appellent analyse : celui de la conformité de son action au cadre onusien et celui de sa contribution aux évolutions du maintien de la paix / Since 2001, the EU has conducted more than twenty military operations and civilian missions, and is now seen as one of the leading organizations in the field of peacekeeping. For a long time perceived as an intergovernmental organization, the establishment of an integrated structure for crisis management into the heart of the organization, as well as the delegation of this crisis management to the different European organs, have contributed to the gradual empowerment of the EU toward its member states. This process of becoming autonomous is also evident in the international legal order. A large set of rules thus applies to the EU due to its involvement in the international legal order, including rules relating to the international responsibility for regional organizations. The effective intervention of the European Union in the field of peacekeeping – as a regional organization– is in keeping with an unclear legal framework. However, the phenomen on of regionalization could have been interpreted as prejudicing the collective security system established by the UN Charter.Two aspects of the effective intervention of the European Union call for analysis : the conformity of its action to the UN framework and its contribution to the evolution of peacekeeping

Le développement du droit international des droits de l’homme conduit le droit international public à réenvisager la question étatique. Loin de n’être que le relai fonctionnel permettant l’application effective du droit international, l’État devient en effet, par l’intermédiaire de son « appareil interne », un véritable objet de celui-ci. Se développe ainsi, par le biais de cette branche du droit international qu’est le droit international des droits de l’homme, un droit international de l’organisation de l’État. L’obligation structurelle est l’un des outils juridiques permettant cette évolution. Au-delà des seules références que le droit international des droits de l’homme peut faire à l’appareil étatique se développent des obligations internationales destinées à l’organiser d’une certaine façon. Ne pouvant être parfaitement saisies par le biais des typologies d’obligations existantes, une nouvelle typologie reposant essentiellement sur la nature et les effets de telles obligations devait être dressée puis confrontée à la pratique du droit international des droits de l’homme. / Contemporary evolution of international law of human rights leads the doctrine to reconsider the State question. Far from being a mere functional relay allowing an effective application of international law, the State’s ‘internal apparatus’ becomes one of its subject-matter. An international law of States’ domestic organization is therefore developing through this branch of international law. ‘Structural obligations’ is one of the legal tools enabling that evolution. Indeed, beyond simple references to institutional domestic aspects, obligations prescribing how States should organize themselves in order to fully respect their human rights commitments are emerging. These obligations could not be comprehensively described through classical typologies of obligations, so a new one needs to be elaborated and confronted with the international law of human rights practice.

Em dezembro de 2011, a Assembleia Geral aprovou a Resolução 66/137 adotando a Declaração das Nações das Nações Unidas sobre a Educação e Formação em Direitos Humanos em sequencia ao processo educativo em direitos humanos - iniciado em 1948 com a Declaração dos Direitos Humanos - que vem em evolução constante, principalmente a partir da década de noventa. A Declaração é a reafirmação da comunidade internacional da necessidade de uma mudança de paradigma e valores que orientem a vida cotidiana dos indivíduos em todo o mundo e que é responsável pelo estado atual dos direitos humanos. Com a adoção deste novo documento internacional, começa o processo de difusão e disseminação do seu conteúdo visando a efetivação do direito humano à educação em direitos humanos - agora indubitavelmente positivado que, sem embargo, deverá superar diversos obstáculos estruturais para a aceitação dos princípios contidos na Declaração Universal dos Direitos Humanos, vale dizer, os valores e tradições nas sociedades baseadas no patriarcalismo e no capitalismo neoliberal. / In December, 2011, the UN General Assembly approved the Resolution 66/137 adopting the United Nations Declaration on Human Rights Education and Training following the human rights education movement started in 1948 by the Universal Declaration of Human Rights in an on-going evolution mainly as of the 90`s. The Declaration is the ratification by the international community of the need of changing paradigm and values which orient the life of individuals in daily basis worldwide and that is responsible for the current state of the human rights. With the adoption of this new international document the process of diffusion and dissemination of its content started aiming at the effectiveness of the right to human rights education. Yet, the Declaration must overcome many structural obstacles for the acceptance of its principles, in especial, the values and traditions of the societies based on the patriarchy and the neoliberal capitalism.

Em dezembro de 2011, a Assembleia Geral aprovou a Resolução 66/137 adotando a Declaração das Nações das Nações Unidas sobre a Educação e Formação em Direitos Humanos em sequencia ao processo educativo em direitos humanos - iniciado em 1948 com a Declaração dos Direitos Humanos - que vem em evolução constante, principalmente a partir da década de noventa. A Declaração é a reafirmação da comunidade internacional da necessidade de uma mudança de paradigma e valores que orientem a vida cotidiana dos indivíduos em todo o mundo e que é responsável pelo estado atual dos direitos humanos. Com a adoção deste novo documento internacional, começa o processo de difusão e disseminação do seu conteúdo visando a efetivação do direito humano à educação em direitos humanos - agora indubitavelmente positivado que, sem embargo, deverá superar diversos obstáculos estruturais para a aceitação dos princípios contidos na Declaração Universal dos Direitos Humanos, vale dizer, os valores e tradições nas sociedades baseadas no patriarcalismo e no capitalismo neoliberal. / In December, 2011, the UN General Assembly approved the Resolution 66/137 adopting the United Nations Declaration on Human Rights Education and Training following the human rights education movement started in 1948 by the Universal Declaration of Human Rights in an on-going evolution mainly as of the 90`s. The Declaration is the ratification by the international community of the need of changing paradigm and values which orient the life of individuals in daily basis worldwide and that is responsible for the current state of the human rights. With the adoption of this new international document the process of diffusion and dissemination of its content started aiming at the effectiveness of the right to human rights education. Yet, the Declaration must overcome many structural obstacles for the acceptance of its principles, in especial, the values and traditions of the societies based on the patriarchy and the neoliberal capitalism.