Submitted by Maike Costa (maiksebas@gmail.com) on 2016-08-09T13:46:00Z No. of bitstreams: 1 arquivo totral.pdf: 872708 bytes, checksum: 820c8c5c7d98ab7b6b36024f30b2d91e (MD5) / Made available in DSpace on 2016-08-09T13:46:00Z (GMT). No. of bitstreams: 1 arquivo totral.pdf: 872708 bytes, checksum: 820c8c5c7d98ab7b6b36024f30b2d91e (MD5) Previous issue date: 2016-02-15 / The present work has as study object the federalization of crimes against human rights and judicial implementation of international human rights treaties to which the Federative Republic of Brazil is a signatory. To this end, it has as main objective to analyze the competence shift incident as a preventive institute of international accountability, focusing on the effective state response against impunity and the achievement of social justice of the decision rendered by the Judiciary. Analyzed the incident Competence Shift a protective human rights instrument from the case Manoel Mattos and the effects of judicial precedents and jurisprudence of the Inter-American Court of Human Rights in order to contribute to the importance of preventing international accountability which governs the Brazilian State. The duty to investigate and prosecute criminals agents in cases of serious violations of human rights arises from the conduct of obligation assumed by the State in the International Covenants on Human Rights. The State willful failure to not punish those responsible, constitutes a real affront to human rights, subject to international condemnation. To evade the International Responsibility for the inertia of the Brazilian states, the EC No. 45/2004 authorized the federalization of crimes against human rights in the cases of Article 109, Paragraph 5 of CF / 88, thus allowing the Superior Court Justice shift the responsibility of the police investigations or ongoing claims in state court to federal court, by application of the Attorney General. Within the Competence Shift incidents judged by the Supreme Court, there was considerable speed in the progress of cases, however, the little amount of proposed incidents is not yet able, by itself, to reflect on the effectiveness of this procedural instrument. It used inductive method of approach therefore departed from the case Manoel Mattos, seeking to discuss the federalization as a preventive mechanism of international accountability. The prime research technique was the literature, with the analysis of laws, judicial decisions of international nature, especially the jurisprudence of the Inter-American Court of Human Rights and specialized doctrine. / O presente trabalho tem como objeto de estudo a federalização dos crimes contra os direitos humanos como garantia judicial ao cumprimento dos tratados internacionais de direitos humanos ao qual a República Federativa do Brasil é signatária. Para tanto, tem-se como objetivo geral analisar o incidente de deslocamento de competência como instituto preventivo de responsabilização internacional, tendo como foco a resposta estatal efetiva contra a impunidade e a realização da justiça social da decisão exarada pelo Poder Judiciário. Analisou-se o Incidente de Deslocamento de Competência como instrumento protetor dos direitos humanos a partir do caso Manoel Mattos, bem como os efeitos dos precedentes judiciais e a Jurisprudência da Corte Interamericana de Direitos Humanos a fim de contribuir com a importância da prevenção da responsabilização internacional a que está sujeito o Estado brasileiro. O dever de investigar e de processar os agentes criminosos nas hipóteses de grave violações dos direitos humanos decorre da obrigação de conduta assumida pelo Estado nas Convenções Internacionais de Direitos Humanos. A omissão dolosa Estatal em não punir os responsáveis, constitui-se em verdadeira afronta aos direitos do homem, passível de reprovação internacional. Para eximir-se da Responsabilidade Internacional pela inércia dos Estados da Federação, a EC nº 45/2004 autorizou a federalização dos crimes contra os Direitos Humanos, nas hipóteses do artigo 109, §5º da CF/88, permitindo, assim, ao Superior Tribunal de Justiça deslocar a competência dos inquéritos policiais ou de processos em andamento na Justiça Estadual para a Justiça Federal, por petição do Procurador Geral da República. Dentro os Incidentes de Deslocamento de Competência julgados pelo STJ, observou-se considerável celeridade no andamento dos processos, todavia, a pouca quantidade de incidentes propostos ainda não é capaz, por si só, de refletir sobre a eficácia do presente instrumento processual. Utilizou-se do método de abordagem indutivo, pois, partiu-se do caso Manoel Mattos, buscando-se problematizar a federalização como mecanismo preventivo de responsabilização internacional. A técnica de pesquisa privilegiada foi a bibliográfica, com a análise de leis, decisões judiciais de cunho internacional, principalmente a jurisprudência da Corte Interamericana de Direitos Humanos e doutrina especializada.

La doctrine internationaliste a accordé une attention notable au dommage depuis l'apparition de la responsabilité internationale en tant que discipline au sein du droit des gens. Toutefois, depuis plusieurs décennies, elle a délaissé les analyses transversales pour se concentrer sur des dommages précis subis soit par l’État, soit par les particuliers. Ce clivage a laissé subsister un angle mort dans l'analyse de la pratique internationale : l'étude des lésions dont la victime n'est ni une personne publique ni une personne privée, mais une entité collective composée par les unes et/ou par les autres et qui ne peut être réduite à l'addition de ses composantes. La prise en compte des lésions dont peuvent être victimes des entités comme la famille, les peuples, l'humanité ou la communauté internationale est l'un des principaux défis auxquels sera confrontée la responsabilité internationale à l'avenir. Afin de proposer une catégorie qui rende possible une analyse d'ensemble de ces atteintes, il est indispensable de clarifier le cadre conceptuel des lésions prises en compte par la responsabilité internationale. Cette réflexion conduit à constater qu'en plus du dommage, celle-ci tient compte d'une deuxième forme de lésion, purement juridique et inhérente au fait internationalement illicite. Les dommages et lésions juridiques peuvent être regroupés dans la catégorie des «lésions collectives» lorsqu'ils portent atteinte à des droits, des intérêts ou des biens collectifs. Des conséquences particulières découlent des lésions collectives ainsi définies dans le cadre de la responsabilité internationale. Elles se manifestent notamment au regard de son invocation et de son contenu. / The emergence of international responsibility as an autonomous field of study in International Law has compelled the international legal doctrine to devote considerable attention to damage and injury. However, during the last decades, scholars have progressively abandoned the cross-sectional analysis of these concepts in order to further focus on specific injuries and damages suffered by States or individuals. This rift has thus Ieft a blind spot in the analysis of international practice: the study of injury and damage whose victim is neither a public nor a private person, but rather a "collective entity" integrated by either, or both, public and private actors; an entity which cannot be simply reduced to the addition of its components. To take into account the injury and the damage -suffered by entities such as the family, peoples, humanity or the international community - is indeed one of the main challenges that faces international responsibility in the near future. In order to suggest a new category which allows for an overall analysis of such injuries and damages, it is necessary to clarify the conceptual framework of both, injury and damage, within the framework of international responsibility. This clarification leads to the conclusion that, in addition to damage, international responsibility also takes into consideration a purely legal injury which is inherent to the internationally wrongful act. Damage and legal injury can be qualified as "collective whenever they infringe collective rights, interests or goods. Specific effects result from this kind of injuries and damages in particular with regard to the invocation as well as to the legal consequences which arises from international responsibility.

La protection diplomatique, autrefois institution centrale des relations internationales peut-elle être considérée aujourd’hui comme une sorte de vieil outil désormais rarement utilisé et promis sans doute très prochainement à un rangement définitif au grenier des concepts d’antan ? On pourrait au vue des mécanismes de protection internationale des droits de l’homme répondre par l’affirmative. Il ne s’agit nullement d’enterrer définitivement l’institution, mais de la replacer dans le contexte qui est celui de l’évolution d’autres mécanismes de protection des droits individuels dans le système international. Quel est l’état du droit applicable sur la mise en œuvre de la protection diplomatique ? Existe-t-il des instruments internationaux protégeant les nationaux à l’étranger en dehors de la protection diplomatique ?Le principe de souveraineté peut-il peut devenir un obstacle pour l’individu ou l’Etat protecteur dans l’exercice de la protection diplomatique ? Peut- on parler de protection diplomatique en écartant systématiquement la souveraineté des Etats ?La protection internationale des droits de l’homme concurrence t-elle l’exercice de la protection diplomatique ? / Diplomatic protection, formally the central institution of international relations could be considered today as a guiding tool, rarely used and could be definitely put aside of antan concepts ? We could from the observation of certain mechanisms of international protection of human right answer by affirmations. These allegations do not mean a definite putting aside of the institution, but a reiterations in a context whereby other mechanisms geared to protect human rights evaluate in an international system. What is the state of the law applied in the implementation of diplomatic protection? Do international instruments protecting nationals abroad exist apart from diplomatic protection?Could the principle of sovereignty be an obstacle for an individual or the state protector in the implementation of diplomatic protection? Could we talk of diplomatic protection while putting aside systematically the sovereignty of States? Does international protection of human rights compete with the exercising of diplomatic protection?

La démocratie est généralement abordée par la doctrine en droit international comme une valeur politique ayant des influences plus ou moins importantes sur le droit international depuis la fin de la Guerre Froide. Cette étude traite la démocratie comme étant l’expression d’une obligation internationale adressée aux États pour mettre en place un système politique basé sur des élections libres et honnêtes, le respect des droits politiques et l’instauration d’un État de droit. Ce trépied forme les éléments constitutifs de l’obligation démocratique et lui donne une structure composite. L’approche choisie part de l’étude du cycle de vie de cette obligation en droit international qui comprend deux phases principales : le processus de formation de l’obligation démocratique et les effets qu’elle génère.S’agissant du processus de formation, il inclut plusieurs étapes allant de la gestation de l’obligation démocratique jusqu'à sa formalisation par les modes formels de production des normes en droit international. En effet, cette obligation n’a pas pris forme dans l’ordre juridique international soudainement tel le Big Bang, mais a suivi une évolution déterminée.En ce qui concerne les effets générés par l’obligation démocratique, ils ont une double nature : directs et indirects. Les premiers sont normativement attachés à l’obligation dans le sens qu’ils créent un devoir juridique à la charge des États pour mettre en place un gouvernement démocratique et déclenchent la mise en œuvre de la responsabilité internationale de ceux qui ne s’y conformeraient pas. Les seconds sont d’ordre systémique et assurent l’applicabilité sociale de l’obligation démocratique en influant sur les dimensions institutionnelle et relationnelle de la société internationale. / Since the end of the Cold War, the mainstream scholars approach democracy as a political value which influences international law. This study analyses democracy as the content of an international obligation addressed to States to establish a political system based on free and fair elections, respect of political rights and the establishment of the rule of law. This tripod forms the constituent elements of the democratic obligation and gives it a composite structure. The chosen approach starts from the study of the obligation life cycle in international law, which comprises two main phases: the law-making process of the democratic obligation and its effects.The law-making process includes several stages ranging from the gestation of the democratic obligation to its formalization by the formal modes of production of norms in international law. Indeed, this obligation did not take form in the international legal order suddenly and similar to the Big Bang, but rather it followed a determined evolution.As for the effects generated by the democratic obligation, they have a dual nature: direct and indirect. The direct effects are normatively attached to the obligation in the sense that they create a legal duty addressed to States to establish a democratic government and trigger the implementation of the international responsibility of those who do not comply with it. The indirect effects have a systemic nature and ensure the social applicability of the democratic obligation by influencing the institutional and relational dimensions of international society.

Lorsqu’il a fallu moderniser les instruments du droit international humanitaire le conflit armé non international n’était qu’un épiphénomène et son avènement a toujours été considéré comme un élément perturbateur d’une scène internationale profondément étatisé. Néanmoins l’importance croissante de ce type de conflit a permis de mettre en exergue le rôle sans cesse croissant d’un nouveau type d’acteurs à savoir les groupes armés non étatiques. Désormais, ils sont les acteurs majeurs de conflits largement majoritaires. Pour cette raison, nous pensons qu’il est temps de changer d’approche et de revoir les solutions proposées dans les instruments internationaux applicables. Pour toutes ces raisons et pour adapter le droit aux réalités des conflits actuels, une approche dépouillée de toute charge idéologique et péjorative doit primer par rapport à celle actuelle. De même, il est fondamentalement nécessaire de faire assumer à ces groupes les conséquences de leurs agissements en engageant leur responsabilité internationale. / When the instruments of international humanitarian law had to be modernized, the non-international armed conflict was an epiphenomenon and its advent has always been considered a disruptive element of a deeply internationalized international scene. Nevertheless, the growing importance of this type of conflict has highlighted the ever-increasing role of a new type of actors, namely non-State armed groups. From now on, they are the major actors of conflicts largely majority. For this reason, we believe that it is time to change the approach and review the solutions proposed in the applicable international instruments. For all these reasons and to adapt the law to the realities of current conflicts, an approach stripped of any ideological and pejorative burden must take precedence over the current one. Similarly, it is fundamentally necessary to make these groups bear the consequences of their actions by committing their international responsibility.

Le statut du chef de l'État et des gouvernants, qui n'était déjà plus un obstacle insurmontable aux poursuites judiciaires depuis le droit de Nuremberg, apparaît désormais comme un bastion menacé. Les principes classiques du droit international comme l'immunité des chefs d'État, la sauvegarde de la fonction représentative et la souveraineté de l'État permettaient aux gouvernants d'échapper à toute poursuite pénale. Le droit international, qui s'analysait simplement comme un droit interétatique, a connu de profondes mutations. Ce droit ne se limite plus aux seuls États : de nouveaux sujets comme de nouveaux domaines de compétence émergent. Les individus ont ainsi pris une place de plus en plus importante dans le droit international avec des préoccupations d'humanité afin de prévenir les atrocités qu'a déjà connues le monde à l'occasion de différents conflits armés. La responsabilité du chef de l'État n'est dès lors plus une affaire d'ordre interne, mais bien également d'ordre international, avec l'émergence d'une nouvelle branche du droit international : le droit pénal international. Les nouvelles tendances du droit pénal international, marquées par l'exigence croissante de répression des crimes les plus graves, s'opposent désormais à la conception classique de l'immunité qui a longtemps triomphé dans l'ordre juridique international et visent à atténuer la raison d'État. Ce mouvement part de la conception selon laquelle « on ne saurait plus accepter l'idée même d'immunité lorsqu'il est commis un crime qui ébranle les fondements mêmes de la communauté internationale et révolte la conscience de tous les hommes ». Cette prise de conscience de l'incompatibilité entre immunités et droits de l'homme se manifeste à travers l'évolution de la protection internationale des droits de l'homme favorable à une « immunisation » du régime des immunités des gouvernants, organes de l'État coupables de violations graves du droit international. En dépit de quelques réticences, la responsabilité pénale du chef de l'État est aujourd'hui une réalité qui mérite d'être universellement approuvée et soutenue. / The status of the Head of State and governments, which was already no longer an insurmountable obstacle to prosecution since Nuremberg law, has emerged as a threatened bastion. The traditional principles of international law as the immunity of Heads of State, the protection of the representative function and state sovereignty allowed the rulers to escape criminal prosecution. International law, which is simply analyzed as an interstate law, has undergone profound changes. This right is no longer limited only to States: new topics as new emerging areas of competence (areas of competence or fields of jurisdiction). Individuals have taken an increasingly important role in the international law with the concerns of humanity to prevent atrocities which the world has already known on the occasion of various armed conflicts. The responsibility of the Head of State is therefore no longer a matter of a domestic order, but also an international one, with the emergence of a new branch of international law: international criminal law. New trends in the international criminal law, marked by the increasing demand for dealing with the most serious crimes, henceforth oppose to the classical conception of immunity that has prevailed for a long time in the international legal order, and aim at reducing the State cause. This movement starts from the idea according to which "we can no longer accept the idea of immunity when a crime is committed that undermines the very foundations of the international community and revolts the conscience of all mankind." This awareness of the incompatibility between immunities and human rights is developed through the evolution of the international protection of human rights in favor of "immunization" of the regime of immunities of rulers, State bodies responsible for serious violations of international Law. Despite some misgivings, the criminal responsibility of the Head of State is a reality that should be universally endorsed and supported.

Esta dissertação concentra suas investigações nas contramedidas do direito internacional geral e da Organização Mundial do Comércio (OMC). No âmbito do direito internacional, estudou-se a essência política da sociedade internacional descentralizada, bem como a tendência do processo de fragmentação do direito internacional em direção a regimes mais regulados pelo direito. Além disso, investigou-se a tentativa de ampliação da normatização das contramedidas por meio do Projeto de Artigos sobre Responsabilidade Internacional do Estado de 2001. No âmbito do regime especial da OMC, analisou-se o maior adensamento jurídico das contramedidas como ponto culminante na fase de implementação das decisões no sistema de solução de controvérsias da OMC. Com base na avaliação sobre a necessidade de reforma do instituto das contramedidas da OMC, foram pesquisadas as principais propostas para sua modificação, buscando-se identificar a tentativa de redução do espaço político. A hipótese deste trabalho partiu da afirmação sobre a existência de uma tendência evolutiva no direito internacional geral e na OMC no que tange ao aumento da juridicidade do instituto das contramedidas. Entretanto, essa hipótese confirmou-se apenas parcialmente, pois a tentativa de aprimorar a regulamentação jurídica do instituto das contramedidas ocorre em meio à permanência de elementos políticos. / This thesis focused on countermeasures in general International Law and in the World Trade Organization (WTO). Regarding International Law, the thesis studied the political foundation of the decentralized international society, as well as the trend of fragmentation of International Law towards law-based regimes. Moreover, this thesis researched the attempt to regulate countermeasures through the Draft Articles on Responsibility of States for Internationally Wrongful Acts. Regarding the WTO special regime, the thesis analyzed its more law-based countermeasure as the last stage in the implementation of decisions in the WTO dispute settlement system. Based on the necessity of WTO countermeasures reform, the thesis investigated the main reform proposals, seeking to identify the attempt to reduce the political interference. The hypothesis of this research is the tendency towards a more law-based countermeasure in general International Law and in the WTO. However, this hypothesis has only been partially confirmed because political elements do not disappear despite the attempt to increase the legality of countermeasures.

Esta dissertação concentra suas investigações nas contramedidas do direito internacional geral e da Organização Mundial do Comércio (OMC). No âmbito do direito internacional, estudou-se a essência política da sociedade internacional descentralizada, bem como a tendência do processo de fragmentação do direito internacional em direção a regimes mais regulados pelo direito. Além disso, investigou-se a tentativa de ampliação da normatização das contramedidas por meio do Projeto de Artigos sobre Responsabilidade Internacional do Estado de 2001. No âmbito do regime especial da OMC, analisou-se o maior adensamento jurídico das contramedidas como ponto culminante na fase de implementação das decisões no sistema de solução de controvérsias da OMC. Com base na avaliação sobre a necessidade de reforma do instituto das contramedidas da OMC, foram pesquisadas as principais propostas para sua modificação, buscando-se identificar a tentativa de redução do espaço político. A hipótese deste trabalho partiu da afirmação sobre a existência de uma tendência evolutiva no direito internacional geral e na OMC no que tange ao aumento da juridicidade do instituto das contramedidas. Entretanto, essa hipótese confirmou-se apenas parcialmente, pois a tentativa de aprimorar a regulamentação jurídica do instituto das contramedidas ocorre em meio à permanência de elementos políticos. / This thesis focused on countermeasures in general International Law and in the World Trade Organization (WTO). Regarding International Law, the thesis studied the political foundation of the decentralized international society, as well as the trend of fragmentation of International Law towards law-based regimes. Moreover, this thesis researched the attempt to regulate countermeasures through the Draft Articles on Responsibility of States for Internationally Wrongful Acts. Regarding the WTO special regime, the thesis analyzed its more law-based countermeasure as the last stage in the implementation of decisions in the WTO dispute settlement system. Based on the necessity of WTO countermeasures reform, the thesis investigated the main reform proposals, seeking to identify the attempt to reduce the political interference. The hypothesis of this research is the tendency towards a more law-based countermeasure in general International Law and in the WTO. However, this hypothesis has only been partially confirmed because political elements do not disappear despite the attempt to increase the legality of countermeasures.

L’effet horizontal implique l’application de la Convention EDH dans les relations interindividuelles. Justifiée par la théorie des obligations positives, cette construction jurisprudentielle permet la mise en jeu de la responsabilité internationale de l’État lorsque celui-ci ne prend pas les mesures nécessaires pour prévenir et réprimer les violations de la Convention commises par les personnes privées. La reconnaissance de l’effet horizontal par le juge européen a pour conséquence la prolifération des obligations substantielles et procédurales de l’État. La transposition de celles-ci dans l’ordre juridique interne astreint les autorités publiques, y compris les tribunaux, à intervenir dans les rapports privés. Nécessaire à l’effectivité des droits de l’homme, la diffusion de l’effet horizontal a pour contrepartie l’accroissement de l’intervention étatique dans la sphère privée et l’apparition des devoirs individuels fondés sur le respect des droits et libertés d’autrui. La Cour EDH, pionnière de l’ « horizontalisation », refuse d’en élaborer une théorie générale. Le défi est dès lors de délimiter l’extension des droits de l’homme aux relations interindividuelles afin que celle-ci ne devienne pas un facteur d’affaiblissement de la protection verticale des droits de l’homme. / The horizontal effect involves the application of the ECHR in interindividual relationships. Justified by the theory of positive obligations, this jurisprudential construction allows to establish the international responsibility of the State when it fails to take necessary measures to prevent and suppress violations of the Convention committed by private persons. Recognition of the horizontal effect by the European judge results in the proliferation of substantive and procedural obligations of the State. Transposing them into domestic law compels public authorities, including courts, to interfere in private relations. Necessary for the effectiveness of human rights, the diffusion of the horizontal effect generates, in return, an extension of State intervention in the private sphere and the emergence of individual duties based on the respect of the rights and freedoms of others. The European Court of Human Rights, pioneer of the « horizontalization », refuses to develop a general theory. The challenge is therefore to delimit the extension of human rights to relations between individuals so that it does not become a factor of weakening of the vertical protection of human rights.

Etant membre de la communauté internationale, l'Etat ne peut pas être irresponsable pour ses actions. De même la spécificité principale de la responsabilité internationale est liée aux particularités du droit international et de ses sujets principaux- Etats souverains. La compréhension du mécanisme de la mise en œuvre de la responsabilité internationale des Etats et de son rapport avec la souveraineté montre la validité et l'efficacité du droit international. La réalisation de la responsabilité en tant que processus est examinée en thèse en tenant compte des différents critères : comme la réalisation des éléments de la responsabilité (application de mesures de contrainte), le processus de l’attribution de la responsabilité (le procès de l’attribution à l'Etat des faits des autres sujets du droit international) et la réalisation des phases de la responsabilité (les questions liées à la procédure judiciaire et à l’exécution des décisions internationales).La corrélation de ces deux notions est conçu en thèse sous deux aspects: à savoir, si l'Etat souverain peut en se couvrant sous la souveraineté tenter d'éviter la responsabilité et quels sont les mécanismes pour l’en empêcher et à contrario, comment la réalisation de la responsabilité peut toucher ou même violer la souveraineté des Etats. / Being a member of the international society, the State can not be irresponsible for its actions. At the same time the peculiarity of international responsibility is joined to the peculiarities of the international law and its subjects-sovereign states.The understanding of the mechanism of application of State’s international responsibility and its relation with sovereignty shows the validity and the efficiency of the international law.The realization of the responsibility is regarded in this research as a process taking into account different criterions: as the realization of elements of responsibility (application of coercive measures), as a process of attribution of responsibility (a process of attribution to a State the acts of other subjects of the international law) and as a realization of phases of the responsibility (questions related to the court procedures and to the execution of the international awards).This research considers the correlation of these two legal concepts in two aspects: on the one hand, if the Sovereign state by using the principle of sovereignty can escape the responsibility and what are the mechanisms to prevent it, and, on the other hand, how the realization of responsibility could touch or even violate the sovereignty of the states.