La création de juridictions internationales pour juger les responsables d'un crime international pose la question des techniques d'imputation. Il s'agit de la mise en oeuvre du principe de la responsabilité pénale individuelle (RPI) en droit international. D'une part, le DPI emprunte les techniques traditionnelles aux droits pénaux internes. Il s'agit des techniques dépendantes de la consommation du crime international : les formes différentes de « commission » et de « complicité ». Sont empruntées, aussi, d'autres techniques traditionnelles d'imputation qui sont indépendantes de la consommation du crime : la tentative et l'incrimination de quelques actes de complicité. Ces techniques correspondent aux exigences de la RPI, d'où la confirmation du principe. D'autre part, le DPI adopte des nouvelles techniques d'imputation pour faire face à la nature collective du crime international. Se fondant sur l'idée de « groupe », des techniques associatives sont mises en place : la responsabilité pour l'appartenance à une organisation criminelle ou bien de la responsabilité des actes du groupe à travers l'entreprise criminelle commune ou le contrôle conjoint sur l'action du groupe. En même temps, le fait que les crimes sont souvent commis par des « structures hiérarchiques » est pris en compte pour envisager des techniques structurelles ; à savoir la responsabilité pour commission indirecte par le contrôle d'une organisation ou de la responsabilité du supérieur hiérarchique pour les crimes commis par ses subordonnés. Chacune de ces techniques s'écarte de ce que l'on entend généralement par la RPI, d'où la métamorphose du principe. Une reconstruction de la notion est à l'ordre du jour. / The establishment of International criminal tribunals raises the question of techniques of attributing criminal liability. Having the individual as « subject », the principle of individual criminal responsibility is at issue. On the one hand, International criminal law borrows traditional techniques of imputing liability from national law. Not only those techniques that depend on the completion of an international crime; as forms of perpetration and complicity, but also those that attribute responsibility independently of the completion of international crime; as attempt and specific incrimination of some forms of complicity. Individual criminal responsibility in its traditional connotation is confirmed. On the other hand, International criminal law forges new techniques of imputing liability to accommodate the collective nature of international crimes. Based on the idea of « group » action, associative techniques are introduced. As such, the responsibility for membership in criminal organisation, or even the responsibility for group crimes through notions like « joint criminal enterprise » or « joint control » are applied. In the meanwhile, the structural aspect of entities committing international crimes is taken in consideration. Superiors who manipulate organisations under their control are considered as indirect perpetrators. Also, superiors who fail to stop or to punish crimes committed by their subordinates are held responsible. Each one of these new techniques of imputing responsibility metamorphoses one or more aspects of what is generally intended by the principle of individual criminal responsibility. Reconstructing the notion seems due.

Made available in DSpace on 2016-04-26T20:30:16Z (GMT). No. of bitstreams: 1 Paula da Rocha e Silva.pdf: 1542612 bytes, checksum: bfae4f7af597ccdf8e68c968a8d0b2b8 (MD5) Previous issue date: 2010-05-11 / The incorporation of the Treaty of Rome, through Decree No. 4388/02, at the Brazilian legal system, represented the acquiescence of Brazilian State to the creation of a permanent International Criminal Court, able to judge the severe crimes with international reach. However, despite the tremendous advance for the protection of human rights, since the incorporation, a situation of conflict has iniciated: the Treaty of Rome has human rights precepts in legal antinomy with fundamental rights precepts established in the 1988 Federal Constitutionº It discusses, so, if the internal sovereignty is placed in check by international sovereignty. In addition, there are doubts about the own conflicts itself: would these conflicts be real or merely apparent? This dissertation wished to resolve the tension between the precepts, which are: prescrition of crimes vs. non-applicability of statute of limitations; nonextradition vs. delivery; imprisonment for a specific number of years versus a tearm of life imprisonment, less onerous way possible / A incorporação do Tratado de Roma, por meio do Decreto nº 4388/02, ao ordenamento jurídico brasileiro, representou o assentimento do Estado brasileiro à criação de um Tribunal Penal Internacional permanente, apto para julgar os crimes de maior gravidade com alcance internacional. Contudo, apesar do enorme avanço à proteção dos direitos humanos, a partir de tal incorporação, instaurou-se uma situação conflituosa: o Tratado de Roma possui normas de direitos humanos em antinomia jurídica com as normas de direitos fundamentais previstas na Constituição Federal de 1988. Discute-se, assim se a soberania interna é colocada em xeque pela soberania internacional. Além disso, surgem dúvidas acerca dos próprios conflitos em si: seriam os conflitos reais ou meramente aparentes? A presente dissertação pretendeu resolver a tensão entre as normas quais sejam: prescritibilidade versus imprescritibilidade; não-extradição versus entrega; prisão por tempo determinado versus prisão perpétua, da maneira menos gravosa possível

La présente thèse a pour objet l’étude de la relation entre la preuve et la responsabilité pénale des supérieurs hiérarchiques devant les juridictions pénales internationales. Ces juridictions sont chargées de juger les responsables des crimes de masse. La question est donc de savoir comment elles procèdent, sur quelles preuves elles se basent et quel mode de participation est le plus adapté pour juger ces responsables. / This thesis deals with the study of the relationship between evidence and criminal responsibility of high ranking officers before international criminal courts. These courts judge the persons responsible for having committed mass crimes. The question is how they proceed, on which evidence they rely and which mode of participation is the most adequate to do so.

Vingt et un an après la création du Tribunal International pour le Rwanda et dix-sept ans après la signature du traité de Rome donnant naissance à la Cour pénale international, la fièvre dénonciatrice que connait cette institution n’est toujours pas apaisée. La CPI est-elle otage des idéaux qui justifient sa création et des forces politiques antagonistes auxquelles elle reste malgré tout liée ? Les africains commettraient-ils davantage de crime passibles de poursuites devant la Cour que les ressortissant d’autres continents ? Si l’étude des procédures judiciaires nées des crimes commis dans des conflits se déroulant sur le continent africain et l’analyse des procédures de mise en cause de certains Chefs d’Etats africains soulignent le très important travail de lutte contre l’impunité que réalise la Cour pénale internationale, le bilan de ce travail met toutefois en évidence la collision des procédures judiciaires avec des impératifs politiques internationaux. Ce travail de recherche montre que si la CPI se veut un prolongement de la sécurité collective, l’efficacité de son action et son universalisme sont aujourd’hui mise en doute, au point de cristalliser les rapports de l’organisme judiciaire international avec le continent africain. / Twenty-one year after the creation of the International Tribunal for Rwanda and seventeen years after the signing of the Treaty of Rome giving rise to the International Criminal Court, the whistleblower fever that knows this institution is still not appeased. Is the ICC hostage ideals that justified its creation and antagonistic political forces which it nevertheless remains bound? African they commit more crime prosecuted before the Court that the national of other continents? If the study of legal proceedings arising from crimes committed in conflicts taking place on the African continent and in the analysis of the party proceedings of some African Heads of States stress the very important work to fight against impunity that makes the International Criminal Court, the outcome of this work, however, shows the collision of legal proceedings with international political imperatives. This research shows that if the ICC is an expansion of collective security, the effectiveness of its action and universalism are now in doubt, as to crystallize the reports of the international judicial body with the mainland African.

Ne bis in idem est bien défini dans les droits nationaux comme un principe fondamental du procès pénal selon lequel un individu ne peut pas être poursuivi deux fois pour les mêmes faits. Mais, en passant au niveau international, le principe familier se change en objet juridique non identifié. Les cours supranationales qui l'abordent en matière pénale (Cour interaméricaine des droits de l'homme, Cour européenne des droits de l'homme, Cour de justice de l'Union européenne, Cour pénale internationale) interprètent des formulations disparates de ne bis in idem à partir desquelles elles forgent leurs variantes. Si l'identité de ne bis in idem semble alors se déliter, il ne s'agit pas d'une disparition. Modelé par les discours de ces cours qui se croisent, se rencontrent ou s'ignorent, ne bis in idem se métamorphose. Au-delà des variantes il est possible d'identifier des mouvements communs dans la fabrique de ne bis in idem : la recherche de cohérences spatiale et temporelle ainsi que le besoin de répondre à la dialectique du bis et de l'idem. De plus, la métamorphose est tantôt création tantôt déconstruction. Les cours consacrent ne bis in idem autant qu'elles le malmènent en établissant de nouveaux contournements. Par exemple, elles permettent de plus en plus de rejuger pour lutter contre l'impunité après une parodie de procès. Ces mouvements contraires conduisent à interroger la nature ambivalente de ne bis in idem entre facettes garantiste et structurelle et entre règle et principe. Enfin, ne bis in idem étant un catalyseur de leurs échanges, cette étude offre une perspective unique sur le rôle des cours supranationales dans l'internationalisation de la justice pénale. / Ne bis in idem (prohibition of double jeopardy) is well defined in national legal frameworks as a fondamental principle of criminal proceedings according to which an individual cannot be prosecuted twice for the same conduct. But, when moving to the international level, the familiar principle becomes an unidentified legal object. The supranational courts that deal with it in criminal matters (Inter-American Court of Human Rights, European Court of Human Rights, Court of Justice of the European Union and International Criminal Court) interpret disparate ne bis in idem formulations from which they construct their variations. If the identity of ne bis in idem then seems to be diluting, it is not disappearing. Shaped by the discourses of these courts that cross paths, meet or ignore each other, ne bis in idem is metamorphosed. Despite the variants, it is possible to identify common movements in the making of ne bis in idem : the search for spatial and temporal coherency and the need to respond to the dialectics of bis and idem. Moreover, metamorphosis is construction as much as deconstruction. The courts enshrine ne bis in idem as much as they circumvent it by establishing new limits and bypasses. For instance, they allow more and more a second procedure to fight impunity if the first procedure constituted a sham trial. These contrary movements lead to questioning the ambivalent nature of ne bis in idem between its two facets as guarantee and structural element and between rule and principle. Finally, as ne bis in idem is a catalyst for their exchanges, this study offers a unique perspective on the role of supranational courts in the internationalization of criminal justice.

Le crime d'agression se veut etre un des quatre crimes internationaux sous la juridiction de la CPI. Lorsque les delegues a la Conference de Rome n'eurent point atteint de consensus sur une definition du crime, celui-ci resta, depuis, indefini en droit. En consequence, la CPI n'aura juridiction pour entendre des causes portant sur le crime d'agression qu'une fois la definition sera adoptee par l'Assemblee des Etats Parties au plus tot en 2009. Ce memoire traite trois problematiques liees au crime d'agression : la question de la responsabilite penale individuelle, le role du Conseil de securite de l'ONU, et les parametres du crime en tant que tel. La responsabilite penale individuelle est analysee, inter alia, du point de vue du principe des sources du droit international. Quant al'eventuelle implication du Conseil de securite dans le champ de competence de la CPI sur le crime d'agression, l'auteure soutient tel que suit: Si le Conseil de securite se voit accorde un pouvoir plus large que celui dont il est presentement dote en vertu des articles 13(b) et 16 du Statut de Rome, chaque membre permanent aura un veto sur toute situation d'agression qui serait autrement portee devant la Cour. Ceci aura pour consequence de politiser la CPI en ce qui a trait au crime et rendra hypothethique toute definition eventuelle. Si la definition est bien con9ue et redigee, on fait valoir, qu'il n' est point necessaire de limiter davantage la competence de la CPI. Les parametres de la definition du crime proposes par l'auteure sont etablis selon les conclusions d'une analyse des notions composantes de l'agression. L'essentiel du concept se veut un recours illegal et non-necessaire qui constitue une rupture ala paix. Amoins qu'il ne soit exerce en « legitime defence» ou en vertu d'un mandat du Chapitre VII, Ie recours ala force constitue prima facie une agression et s'il est suffisamment grave, il s'agira d'un crime d'agression. Ce memoire termine avec un projet de definition du crime d'agression en vue d'avancer Ie discours vers un consensus sur ces problematiques majeures. Non seulement est-il possible d'arriver aun consensus sur la definition, croit l'auteure, mais nous sommes plus que jamais al'aube d'y parvenir. / The crime of aggression is one of the four international crimes under the jurisdiction of the ICC. When delegates at the Rome Conference were unable to agree on the content of a definition, the crime was left undefined. As a result, the ICC can only begin prosecuting individuals for the crime of aggression once a definition is adopted by the Assembly of States Parties in 2009, at the earliest. This thesis examines three issues associated with the crime of aggression: the question of individual criminal responsibility, the role of the UN Security Council and the general scope of the definition of the crime of aggression itself Individual criminal liability is reviewed, inter alia, from the perspective of international sources doctrine. Regarding the role of the Security Council in relation to the crime of aggression, the author concludes: if the Security Council is vested with more powers than it already has under Articles 13(b) and 16 of the Rome Statute, each permanent member will have a veto over any situation of aggression that might otherwise be brought before the Court. This would result in a complete politicization of the ICC and render moot any future definition of the crime of aggression. If a definition for the crime of aggression is properly conceived and constructed, it is argued, there is no need to further limit the Court's exercise of jurisdiction. The author proposes general parameters for the scope ofthe definition based on conclusions reached in the analysis of the conceptual components of aggression. At its essence, the act of aggression is the unnecessary, unlawful use of force which constitutes a breach ofthe peace. Unless employed in "self-defence" or under a Chapter VII mandate, the use offorce constitutes prima facie an act of aggression, and if it is sufficiently grave, a crime ofaggression. This thesis concludes with a working definition ofthe crime of aggression to promote dialogue and ultimately a consensus on these core issues. Not only is a definition is within reach, the author believes, we are closer to it than we ever have been before. / "Mémoire présenté à la Faculté des Études supérieures en vue de l'obtention du grade de LL.M. en Maîtrise en droit Option recherche"

Why has international society been unable to develop political and judicial collective-security arrangements to limit external aggression? The thesis argues that efforts to limit aggression in moral and legal theory have created an unjust order in which great powers have used these theoretical traditions to reinforce their power in the global order. The thesis argues that is not a new development but can be found in one of the oldest traditions of moral reflection on war, the just war tradition. To substantiate this point, the thesis critically surveys the philosophers of the ancient Greek, Roman, Medieval Christian Renaissance, and early modern theorists of just war and demonstrates that their just war ideas contain assumptions about exclusion, identity and power reflecting their cultural superiority which underlie the practices and theories of the leading states and justifications of their aggressive wars. The thesis connects these moral reflections to the emergence of modern international law and the European pluralist international society of states based on mutual respect for sovereignty and the norm of non-intervention, highlighting how justifications of its colonial aggression against non-Europeans established an unjust solidarist order against them which persists in the post-Cold War era. To conclude it presents suggestions for improvement in the current pluralist international arrangements to address the issue of aggression.

Prenant appui sur le Statut de Rome et les textes de référence issus des instances de la Francophonie, cette thèse vise à mettre en lumière la contribution de cet acteur, dans le processus de lutte contre l’impunité. Il s’agit, en effet, de démontrer que les crimes, d’une extrême gravité, prévus et punis par le Statut de Rome sont aux antipodes des valeurs humanistes prônées par la Francophonie.Regroupant 80 Etats et gouvernements (54membres, 3 associés et 23 observateurs) dont 55 sont Parties au Statut, disposant d’un vaste réseau institutionnel et comptant 274 millions de locuteurs à travers le monde, la Francophonie, en dépit de ses imperfections, est tout autant légitime que capable pour insuffler le processus de mise en œuvre du Statut. Pour corriger les imperfections de la Francophonie, cette thèse a insisté, tout particulièrement, sur la nécessité de créer, dans chaque État, des organes ayant pour compétence de mobiliser tous les acteurs susceptibles d’être impliqués dans la mise en œuvre du Statut de Rome. / On the basis of the Rome Statute and the reference or authoritative text from bodies or instances of Francophonie, this dissertation aims to highlight the contribution of this author in the fight against impunity. In fact, this is necessary to demonstrate that extremely serious offences laid down or defined and punishable by the Rome Statute are the clear opposite of humanistic values promoted by the International Organization of the Francophonie (IOF).The IOF consists of 56 states and governments, as well as 23 observers, 3 associates and 54 members in 5 continents. With 55 of members being states parties to the Rome Statute, sharing a wide institutional network and having 274 millions of people speaking a common language. The IOF, in spite of its imperfections, is equally legitimate and has the capacity to provide fresh momentum for the Rome Statute implementation process.To overcome the shortcomings of the present system of Francophonie, this dissertation particularly insists on the need or the importance to create in member’s states authorities or departments in order to mobilize and involve actors or partners to the implementation of the Rome Statute.

Le système de la Cour pénale internationale (CPI), dont la mission est d’assurer la justice internationale, repose sur un lien étroit avec le Conseil de sécurité. Il convient donc de s’interroger sur le rôle du Conseil dans le fonctionnement de la justice pénale internationale. Cette question est fondamentale, car l'intervention d'un organe politique dans l’activité d’un organe judiciaire remet en cause les missions de chacune de ces institutions. L’intrusion du Conseil dans l’activité de la CPI, basée sur sa mission de maintien de la paix, est en fait établie au nom d’un ordre international voulu par le Conseil lui-même. Ce rôle affecte le fonctionnement, l’indépendance et même l’impartialité de la Cour. Les pouvoirs que le Statut de Rome confère au Conseil, lui permettent en effet de saisir la CPI, d’imposer aux Etats de coopérer avec la Cour, de suspendre son activité ou encore de qualifier un acte, de crime d’agression. Cependant, les rapports entre le Conseil et la CPI ne devraient pas être subordonnés, mais entretenus dans le respect mutuel, ainsi une véritable crainte existe concernant le respect du Conseil envers le Statut de Rome. L’étude met en évidence le conflit entre justice et politique et révèle les enjeux actuels en termes de justice pénale internationale. / The international criminal Court system (ICC) whose mission is to ensure international justice, is based on a close relationship with the security Council. So it is proper to wonder about the Council’s role in the functioning of international criminal justice. Such a questionning is fundamental, for the intervention of a political body into the functioning of a judicial body calls into question the missions of both institutions. The Council’s interference in the activity of the ICC, based on its mission of maintaining international peace, is actually carried out on behalf of an international order intended by the Council itself. This role affects the functioning, the independence and even the impartiality of the ICC. The powers the Rome Statute gives to the Council allow it to refer to the ICC, to impose for the States to cooperate with the Court, to suspend its activity or also to qualify an act as a crime of aggression. However the relations between the Council and the ICC should not be subordinated, but maintained in mutual respect. Thus there is a real concern regarding the observance of the Rome Statute by the Council. The study highlights the conflict between justice and politics and reveals the current issues in terms of international criminal justice.

Petróleo Brasileiro S.A. / O trabalho expõe a consolidação do direito à verdade pelo Direito Internacional e a complementaridade entre as comissões da verdade e os tribunais, mecanismos de justiça de transição, como a combinação que melhor lhe confere aplicabilidade. Primeiramente, a tese reivindica que a transição e a consolidação democrática devem se dar por meio da prestação de contas com o passado, o que se torna possível na medida em que se promoveram a partir da 2a Guerra Mundial significativas alterações no Direito Internacional, que se afasta do paradigma vesfaliano de soberania. Aborda-se assim o excepcional desenvolvimento do Direito Internacional dos Direitos Humanos, do Direito Internacional Humanitário e do Direito Penal Internacional, centralizados na ideia de responsabilidade. A tese também abrange o desenvolvimento do direito à verdade no seio da Organização das Nações Unidas e dos sistemas regionais de proteção de direitos humanos, tendo alcançado o status de norma imperativa ou peremptória, sendo explorados os obstáculos ao seu exercício como no caso de anistias e outras medidas similiares como a prescrição, a justiça militar e a coisa julgada. Enfrentam-se, ainda, as potencialidades e limites da verdade que resulta de comissões da verdade e dos tribunais, concebida esta como conhecimento sobre os fatos e o reconhecimento da responsabilidade pelo ocorrido. O trabalho aborda temas como a independência e imparcialidade das comissões de verdade, seus poderes e o alcance de suas conclusões e recomendações. Por sua vez, com vistas a identificar as verdades a serem alcançadas pelos tribunais, privilegia-se o processo criminal, por se entender que a sentença penal pressupõe o exercício mais completo do devido processo. A imperatividade do direito à verdade é também demonstrada pela defesa da participação da vítima no processo criminal e da admissão de culpa por parte do acusado -- ambos consagrados pelo Tratado de Roma. Por fim, a tese analisa alguns cenários para a complementaridade entre estes dois mecanismos de justiça de transição, fazendo o estudo dos casos do Chile, Peru, Serra Leoa e Quênia, casos estes permeados pelo Direito Internacional, seja pela influência da jurisdição universal ou pelo impacto da jurisdição internacional. O caso brasileiro, por certo, não se ajusta a nenhum destes cenários. Sua caracterização como um diálogo em aberto, para efeitos deste trabalho, pressupõe que o Brasil encontra-se em um importante momento de decisão sobre a complementaridade entre comissões da verdade e tribunais - a recente aprovação da Comissão Nacional da Verdade deve conviver com o aparente conflito entre a decisão do Supremo Tribunal Federal, que afirmou a constitucionalidade da Lei de Anistia de 1979, e a decisão da Corte Interamericana no caso Araguaia, que entende nulos os dispositivos da lei que obstaculizam o processamento dos responsáveis, ambas no ano de 2010 - com a oportunidade de demonstrar que a passagem do tempo não arrefece as obrigações a que se comprometeu no cenário internacional. / The dissertation exposes the consolidation of the right to truth by international law and the complementarity of truth commissions and tribunals, both transitional justice mechanisms, as the combination that better confers its aplicability. First, the work claims that transition to and consolidation of democracy should provide accountability for past abuses, what became possible by the changes that have impacted international law after the World War II. The exceptional development of international human rights law, international humanitarian law and international criminal law is explored, considered the idea of responsability. The dissertation takes care of the development of the right to truth within the United Nations Organization and the human rights regional systems, and its status of imperative or peremptory norm, as well the obstacles for its exercise in the case of amnesties and other similar measures as statute of limitation, military justice and doble jeopardy (res judicata). The truth that results from truth commissions and tribunais its potentialities and limits are here conceived as knowledge e acknowledgment of what occured. The work also considers aspects as the independence and impartiality of truth commissions, its powers and the reach of its conclusions and recommendations. On the other hand, considering the truth to be obtained by tribunals, the dissertation priviledges the analysis of criminal procedure, in the sense that a criminal veridict implies due process. The imperativity of the right to truth is also demonstrated by the participation of victims in the criminal procedure and the admission of guilty by the accused both celebrated by the Statute of Rome. The dissertation also covers some sceneries of complementarity between truth commissions and tribunals, making use of the case of Chile, Peru, Sierra Leone and Kenya, cases that suffered significant impact by international law, considered the influence of universal jurisdiction or the impact of international jurisdiction. The Brazilian case, at the end, does not fit precisely in any of these sceneries. Its caracterization as an open dialogue assumes that the country has come face to face with the debate of complementarity the recent approval of the National Truth Commission has to live together with the apparent conflict between two decisions held in 2010: the Supreme Court on the constitutionality of the 1979 Amnesty Law and the Inter-American Court of Human Rights on the Araguaia Case that considered null and void the parts of the law that obstacle the criminal persecution of the ones responsible -, and has opportunity to demonstrate that time has not moderated the obligations to which Brasil has compromised with in the international arena.