La violence sexuelle est aujourd’hui, comme par le passé, largement utilisée comme arme de guerre et moyen de nettoyage ethnique. L’analyse de la jurisprudence internationale pénale fait ressortir la difficulté d’appréhender le crime sexuel par rapport aux catégories juridiques existantes. Le contexte dans lequel le crime sexuel est commis n’absorbe pas tous les aspects de ce crime. La nature considérée des crimes sexuels n’est pas réductible à la qualification de génocide, de crimes contre l’humanité, ou de crimes de guerre. Le juge international a pu préciser la frontière entre les infractions sexuelles et les autres infractions, montrer leur champ, leur intensité pour les distinguer des autres crimes. Cette avancée jurisprudentielle annonce peu à peu un fondement et une légitimité qui définissent des éléments de l’autonomisation des crimes sexuels en droit international. La codification du droit international par un nouveau traité spécifique aux crimes sexuels, avec des dispositions définissant cette catégorie particulière d’infraction, son appréhension et ses obligations juridiques permettra une meilleure répression de ce crime. / Sexual violence today is, as in the past, widely used as a weapon of war and a means of ethnic cleansing. The analysis of international criminal jurisprudence highlights the difficulty of apprehending this new offense in relation to the existing legal categories. The nature of sexual crimes is not reducible to genocide, crimes against humanity, or war crimes. The international judge, through constant legal reasoning, was able to clarify the boundary between sexual offenses and other offenses, to show their scope and intensity to distinguish them from other crimes. This advance in jurisprudence gradually builds a foundation and legitimacy that define elements of the empowerment of sexual crimes under international law. The codification of international law through a new treaty specific to sexual crimes, with provisions defining this particular category of offense, its apprehension and its legal obligations will allow a better repression of this crime.

A criminalidade transnacional é um dos males da atualidade e tem seu crescimento associado à complexidade dos processos da globalização. Quão mais interligadas estão a economia, cultura e demais comunicações dos Estados, mais vulneráveis estão às ações criminosas. Diante desta constatação a comunidade internacional escolheu o Direito Penal Internacional como um dos instrumentos destinados a fazer frente a este problema contemporâneo. O DPI, como especialização do Direito Penal, atende às exigências da comunidade internacional, por ser constituído pelo binômio criminalização e instituições de repressão e por contemplar dois distintos referenciais, quais sejam o do observador nacional que vê a projeção de seu ordenamento jurídico para fora das fronteiras territoriais e a do observador internacional que vê a projeção das normas internacionais para dentro do território dos Estados. A importância do DPI para o combate ao crime se faz pela pluralidade de espécies de cooperação (administrativa e jurídica) e de formas, que vão desde as mais clássicas como a extradição, a carta rogatória e a homologação da sentença estrangeira às mais modernas como a transferência de presos e a assistência mútua. As formas mais clássicas da cooperação têm se mostrado pouco eficazes e muito burocráticas para alcançar os resultados pretendidos, principalmente pelas barreiras jurídicas impostas pelos Estados, A assistência mútua vai ao encontro das expectativas internacionais, por simplificar a tramitação dos pedidos, em razão da tramitação dos mesmos por Autoridades Centrais e não por vias diplomáticas, por reduzir as barreiras jurídicas, pois há a possibilidade de mitigação do princípio da identidade, a redução dos motivos de recusa e a desnecessidade de submeter ao crivo do Superior Tribunal de Justiça pedidos que notoriamente dispensam juízo de delibação. Embora a assistência mútua traga muitas vantagens para facilitar a persecução penal, o desprendimento às formalidades e às barreiras jurídicas não pode significar desapego às garantias materiais e processuais das pessoas que são os destinatários da ação estatal persecutória, em especial à garantia de não ter contra si aplicadas penas vedadas constitucionalmente (art. 5, XLVII da CF/88). Neste sentido torna-se necessário reconhecer a existência de uma obrigação de não fazer e não cooperar por parte dos Estados que possa ser invocada para obstar atos de cooperação que possam contribuir para a aplicação das penas vedadas. / The transnational criminality is one of the major problems of the present time and its growth is associated with the complexity in the processes of globalization. The more interconnect the economy, the culture and other means of communications of the State, more vulnerable they are to criminal actions. In face of this fact, the international community chose the International Criminal Law as one of the instruments developed to face this contemporary problem. The ICL, as a specialization of the Criminal Law, fulfills the demands of the international community because it is constituted by the binomial criminalization and repression institutions, and because it contemplates two different perspectives: that of the national observer who sees the projection of its own legal system to outside the territorial boundaries, and that of the international observer who see the projection of the international norms to the inside of the State territory. The importance of the ICL for the fight against crime is seen in a plurality of kinds of cooperation (administrative and judicial) and of methods which range from the most traditional ones, such as extradition, rogatory letters, recognition of foreign sentences, to the most modern ones, such as transfer of prisoners and mutual assistance. The most traditional methods of cooperation are proving themselves to be minimally efficient and excessively bureaucratic to achieve the expected result, specially due to the juridical barriers imposed by the States. The mutual assistance method, however, meets the international expectation because it simplifies the transaction of requests, since they are done by central authorities and not by diplomatic means, and also because it reduced the juridical barriers. The reduction in the juridical barriers happens because it is possible to mitigate the identity principle, to reduce the reasons for rejection and because it deems unnecessary to submit requests that notoriously bypass the approval of the brazilians Superior Court of Justice. Although the mutual assistance brings various advantages in facilitating the criminal persecution, in promoting formality detachment and in diminishing the juridical barriers, it cannot result in a dismissal of material and procedural warranties of those people who are the recipient of the persecutory state action, specially with respect to the warranty that prevents one to have a forbidden punishments applied against oneself (5 art., XLVII of the CF/88). Hence, the recognition of the existence of the obligation to not-do, and, from the side of the State, the existence of the obligation to not-cooperate are necessary, so that they can be invoked to prevent cooperation acts that can contribute to the application of forbidden punishments.

Made available in DSpace on 2016-03-15T19:34:10Z (GMT). No. of bitstreams: 1 Ricardo Bastelli.pdf: 978010 bytes, checksum: 1c87ef2cf9546369903bdf0e5ffa7c0d (MD5) Previous issue date: 2014-08-05 / The present dissertation has as a theme the criminal protection of the minority and of the vulnerable groups. The study initiates with the conceptualization of the term minority and its distinction related to the vulnerable groups, having as foundation the international treaties and the study conducted by United Nations. Thereafter, it accomplish the criminal protection analyses conferred to the minority and vulnerable groups, either in the international plan defining the international crimes, just like the duty assumed by the Brazilian State in criminalize the conduct of violation to the human rights of the minority , or in the intern plan, describing the legal instruments that secure many kind of groups. Finally, assayed the foundation of the criminal protection in the dogmatic and criminological aspects, to conclude about its relative aptitude in accomplish the minority rights. / A presente dissertação tem como tema a tutela penal das minorias e dos grupos vulneráveis. O estudo tem início com a conceituação do termo minoria e a sua diferenciação em relação aos grupos vulneráveis, tendo por fundamento os tratados internacionais e os estudos realizados no âmbito da Organização das Nações Unidas. Em seguida, empreende-se a análise da proteção penal conferida aos grupos minoritários e vulneráveis, tanto no plano internacional definindo os crimes internacionais, bem como as obrigações assumidas pelo Estado brasileiro em criminalizar as condutas de violação aos direitos humanos das minorias , quanto no plano interno, descrevendo os instrumentos legais que tutelam os mais diversos grupos. Por fim, examina-se os fundamentos da tutela penal das minorias, nos aspectos dogmáticos e criminológicos, para concluir acerca da sua relativa idoneidade em efetivar os direitos das minorias.

Esta investigación está dedicada al estudio de los crímenes de guerra y, en el marco de esta categoría de Derecho Internacional Penal, busca constatar los términos de su incorporación al derecho interno colombiano. En este sentido, se persigue identificar si, y de qué manera, la práctica jurídica nacional incorpora las exigencias del Derecho Internacional Penal en materia de elementos constitutivos, de responsabilidad penal individual y de ejercicio de la jurisdicción competente. Particularmente, se pretende desvelar los límites de la acción penal nacional en materia de crímenes de guerra y los límites de la jurisdicción en su ejercicio penal, con el fin de establecer el papel de cooperación y complementariedad de la Corte Penal Internacional (CPI). El Capítulo I desarrolla los antecedentes remotos y recientes de la noción de crímenes de guerra. El estudio histórico privilegia la dimensión jurídica, teniendo en cuenta la evolución del Derecho Internacional, a partir de la construcción de la soberanía estatal y haciendo énfasis en la consolidación del concepto de crímenes de guerra como categoría especial de Derecho Internacional Penal. El Capítulo II aborda los elementos constitutivos de los crímenes de guerra. Para ello, define la naturaleza y alcance de los elementos de los crímenes en el marco del Estatuto de Roma y de la jurisprudencia de la CPI, así como las discusiones doctrinales relativas a su naturaleza vinculante. La investigación define, en primer lugar, los elementos materiales de los crímenes de guerra del Estatuto de Roma, relativos a los conflictos armados internacionales y no internacionales. En segundo lugar, se aborda el elemento de intencionalidad de los crímenes de guerra en el Derecho Internacional Penal y en el derecho penal colombiano. En tercer lugar se estudian los elementos contextuales de los crímenes de guerra, desarrollando la tipología actual de los conflictos armados, con una especial referencia a la existencia, naturaleza y características del conflicto armado colombiano a la luz de la jurisprudencia y la doctrina. El Capítulo III emprende el análisis de la responsabilidad internacional penal del individuo. Con este propósito, la investigación identifica los principios que rigen la responsabilidad internacional penal del individuo por crímenes de guerra y define el modelo de responsabilidad del Estatuto de Roma y del Derecho Penal colombiano. A continuación el Capítulo III presenta las teorías de la responsabilidad internacional B penal aplicadas por los tribunales ad hoc, de la CPI y de la jurisdicción penal colombiana y acomete el análisis de las formas de participación en los crímenes de guerra, como autoría directa, co-autoría o co-perpetración, autoría indirecta o mediata y co-autoría indirecta, así como las formas accesorias de participación. El Capítulo IV estudia la jurisdicción competente para perseguir y sancionar los crímenes de guerra en Colombia. De la misma manera, el estudio incluye los límites de la jurisdicción relativos a la imputación, al comportamiento de los órganos del Estado, a los medios disponibles y al tratamiento que reciben las víctimas. Finalmente, el Capítulo IV se aproxima a las modalidades de cooperación y complementariedad de la CPI, inspirándose en los desarrollos de la propia corporación en la materia. Las conclusiones son una síntesis de conceptos y hechos que se consideran probados a lo largo de la investigación, que sirven como punto de partida a una serie de sugerencias y propuestas con miras al fortalecimiento de las instituciones democráticas en Colombia en su tarea de prevenir, perseguir y sancionar los crímenes de guerra que ofenden profundamente la dignidad humana. / This thesis is dedicated to the study of war crimes, and under this category of International Criminal Law, seeks to confirm the terms of its enactment into the Colombian law. In this sense, it aims to establish the role of cooperation and complementarity of the International Criminal Court (ICC). Chapter I develops remote and recent history of the notion of war crimes. The historical study establishes the legal dimension and emphasis of the concept of war crimes as a special category of International Criminal Law. Chapter II examins the nature and scope of the elements of war crimes under the Rome Statute, the jurisprudence of the ICC, and the doctrinal discussions concerning their binding character. The research defines the material, mental, and contextual elements of war crimes. In doing so it develops the current typology of armed conflict with special reference to the existence, nature, and characteristics of the Colombian armed conflict in the way of the jurisprudence and doctrine. An analysis of international criminal responsibility of the individual is offerred in chapter III by identifying its governing principles. In addition to including an analysis of the forms of participation in war crimes, the chapter also presents the theories of international criminal responsibility applied by the ad hoc tribunals, the ICC, and the Colombian criminal jurisdiction. The jurisdiction to prosecute and punish war crimes in Colombia is closely studied in chapter IV. This chapter includes the limits of the internal jurisdiction and is closed by the modalities of cooperation and complementarity of the ICC, inspired by the developments of the cooperation itself in the matter. a The findings are a synthesis of concepts and facts substantiated through research, which serves as a starting point to a number of suggestions and proposals for strengthening democratic institutions in Colombia in their efforts to prevent, prosecute and punishing war crimes that deeply offend human dignity.

Le Conseil de sécurité de l'ONU, par sa Résolution 827, institue le 25 mai 1993, un tribunal pénal international (TPIY) ayant pour but du juger les personnes présumées responsables de violations graves du droit international humanitaire commises sur le territoire de l'ex-Yougoslavie depuis 1991. Ainsi, près de cinquante ans après le procès de Nuremberg, des personnes physiques sont à nouveau poursuivies devant une juridiction pénale internationale. Toutefois, depuis ce procès mémorable l'ordre juridique international a beaucoup changé; le TPIY ne ressemble pas au Tribunal militaire de Nuremberg et les conventions relatives aux droits de l'Homme reconnaissent maintenant un droit fondamental à un procès équitable de tout accusé. Notre étude porte sur l'un des aspects du droit à un procès équitable qualifié d'équité systémique et qui comprend le droit d'être jugé par un tribunal établi par la loi, qui soit compétent, indépendant et impartial. Nous analysons les caractéristiques du TPIY à la lumière du droit comparé et plus particulièrement en examinant si cette institution judiciaire internationale répond aux exigences du principe de l'équité systémique tel que défini à l'article 6 de la Convention européenne des droits de l'Homme (CEDH) et tel qu'interprété par la jurisprudence d'une institution judiciaire supranationale, la Cour européenne des droits de l'Homme. Les conclusions de notre étude sont que le TPIY satisfait en partie aux exigences de l'équité systémique; son indépendance et son impartialité sont sujettes à caution selon les paramètres du standard de la CEDH. / On May 25th 1993, the UN Security Council, by its Resolution 827, established an international criminal tribunal (ICTY) for the purpose of prosecuting persons responsible for serious violations of international humanitarian law committed on the territory of the former Yugoslavia since 1991. Thus, nearly fifty years after the Nuremberg trial, individuals are once again being prosecuted before an international criminal tribunal. However, the international legal order has changed a great deal since this memorable trial: the ICTY is not a carbon copy of the Nuremberg Military Tribunal and the international conventions on Human Rights have recognized to every accused a fundamental right to a fair trial. This thesis analyzes one aspect of the right to a fair trial - the systemic fairness requirement - which encompasses the right to be tried by a competent, independent and impartial court that is established by law. The study of the characteristics of the ICTY is done with a comparative law perspective. More particularly, this work is answering the fol1owing question: is this international judicial tribunal meeting the requirements of systemic fairness as set forth in section 6(1) of the European Convention on Human Rights (ECHR) and developed in the jurisprudence of the European Court of Human Rights? It concludes that the ICTY fulfils these requirements only in part; its independence and impartiality are much dubious with respect to the ECHR standard. / 2002-10

Este trabalho trata da normatização internacional relativa às crianças-soldado e aborda, sobretudo, a utilização de defesas baseadas em alegações de violação aos princípios da legalidade e em ocorrência de erro de proibição por réus de processos penais do Tribunal Especial para Serra Leoa e do Tribunal Penal Internacional. Diante disso, investiga se a proibição geral ao envolvimento infantil em conflitos armados e as infrações a essa vedação particularmente as condutas de recrutar, alistar e utilizar crianças como soldados integram o Direito Internacional Costumeiro e, em caso positivo, em que momento teria ocorrido a inserção nesse campo. Analisa, igualmente, se o argumento da boa-fé pode ser um elemento de defesa válido naqueles processos, com fundamento no relativismo cultural. Pretende, com isso, esclarecer o processo de criminalização daquelas condutas, além de identificar a posição hierárquica ocupada pelas normas em questão. Para tanto, recorre à verificação da prática estatal e da opinio juris relativas ao tema. Com isso, conclui que o regramento possui natureza costumeira e pertence ao domínio do jus cogens. / This work deals with the international rules concerning child soldiers, and addresses, in particular, the use of defenses based on allegations of violation of the principles of legality and mistake of law by defendants in criminal proceedings of the Special Court for Sierra Leone and of the International Criminal Court. Moreover, it investigates if the general prohibition to child involvement in armed conflicts and the infractions to this seal particularly the ducts of recruit, enlist and using children as soldiers are part of the customary international law and, if so, since when they have been integrated to this field. It also analyzes if the argument of good faith can be a valid element of defense in those processes, on the basis of cultural relativism. The main purpose its to clarify the process of criminalization of those acts, and identify the hierarchical position occupied by the rules in question. In this regard, the state practice and the opinio juris concerning the theme are investigated. In result, it is concluded that those norms have a customary nature and they already belong to the domain of jus cogens.

La coutume n’est pas uniquement la cumulation de ses deux éléments que sont la pratique et l’opinio juris, elle est en plus, et peut-être surtout, une opération. L’opération coutumière permet le passage de la pratique à la conviction du droit. Cette opération n’est possible qu’en ce que la pratique n’est pas uniquement la répétition de conduites, mais avant tout l’observation de cette répétition par les destinataires de l’obligation en formation. Dès lors, la coutume peut se définir comme une opération imprévisible par nature, identifiable toujours après coup, par la production de conduites, leur observation par les destinataires de l’obligation, puis par l’existence d’une conviction du droit de ces mêmes destinataires. La conviction en l’existence de l’obligation consiste finalement en une explication, pour les destinataires, de la répétition observée. Pourquoi une telle répétition existe, si ce n’est parce qu’il existe une obligation y contraignant. De ce point de vue, la coutume de droit international pénal, bien qu’identifiée abondamment par les juridictions internationales pénales, présente des difficultés d’identification inédites : les conduites pertinentes sont souvent cachées, elles ne sont pas observables, en particulier en temps de guerre et dans le cadre des hostilités, les destinataires sont les personnes physiques et, enfin, le droit international pénal s’est développé par l’intermédiaire de l’activité de juridictions ad hoc, ayant quasiment une obligation de résultat quant à leur compétence et l’existence de condamnations. Il en ressort une modalité d’identification des normes coutumières posant des questions inédites. / Custom is not only the accumulation of these two elements that are the practice and the opinio juris, it is additionally, and maybe mostly, an operation. The customary operation allows to pass from practice to the conviction of law. This operation is only possible in that practice is not only the repetition of conducts, but above all, the observation of this repetition by the addressee of the obligation in formation. Therefore, custom can be defined as an operation which is, in nature, unforeseeable, identifiable afterwards, by the production of conducts, and their observation by the obligation’s addresses. The conviction in the existence of the obligation actually consists in an explanation, to the addressees, of the observed repetition. Why would the repetition exist if not because of an obligation constraining it to be so. From this point of view, the custom of international criminal law, bears unprecedented identification difficulties. Indeed the pertinent conducts are often hidden and cannot be observed, particularly at times of war and in the context of hostilities. Furthermore, the addressees are natural persons. Lastly, international criminal law has developed through the activity of ad hoc jurisdiction that had practically an obligation of result concerning their jurisdiction and the existence of condemnations. From these difficulties emerges an identification method of customary rules bearing unprecedented issues.

Magister Legum - LLM (Criminal Justice and Procedure) / Traditionally, domestic criminal law was focused on individual guilt as can be seen from the principles of punishment, which are closely linked to blameworthiness and the infliction of loss or punishment to the offender. It most often requires the proof of the offender's mental state at the time of the committing the offence. Due to the emergence of the concept of legal persona, there has emerged a framework of imputing criminal liability on entities with legal personality. This concept has gained momentum in the domestic criminal law systems of many countries. The modern-day development of corporate criminal responsibility (CCR) emerged from the common law countries and has undergone a series of developments. Various models of imputing liability on a corporation have been developed with the United Kingdom having recently passed laws for serious offences like corporate manslaughter.

Este trabalho trata da normatização internacional relativa às crianças-soldado e aborda, sobretudo, a utilização de defesas baseadas em alegações de violação aos princípios da legalidade e em ocorrência de erro de proibição por réus de processos penais do Tribunal Especial para Serra Leoa e do Tribunal Penal Internacional. Diante disso, investiga se a proibição geral ao envolvimento infantil em conflitos armados e as infrações a essa vedação particularmente as condutas de recrutar, alistar e utilizar crianças como soldados integram o Direito Internacional Costumeiro e, em caso positivo, em que momento teria ocorrido a inserção nesse campo. Analisa, igualmente, se o argumento da boa-fé pode ser um elemento de defesa válido naqueles processos, com fundamento no relativismo cultural. Pretende, com isso, esclarecer o processo de criminalização daquelas condutas, além de identificar a posição hierárquica ocupada pelas normas em questão. Para tanto, recorre à verificação da prática estatal e da opinio juris relativas ao tema. Com isso, conclui que o regramento possui natureza costumeira e pertence ao domínio do jus cogens. / This work deals with the international rules concerning child soldiers, and addresses, in particular, the use of defenses based on allegations of violation of the principles of legality and mistake of law by defendants in criminal proceedings of the Special Court for Sierra Leone and of the International Criminal Court. Moreover, it investigates if the general prohibition to child involvement in armed conflicts and the infractions to this seal particularly the ducts of recruit, enlist and using children as soldiers are part of the customary international law and, if so, since when they have been integrated to this field. It also analyzes if the argument of good faith can be a valid element of defense in those processes, on the basis of cultural relativism. The main purpose its to clarify the process of criminalization of those acts, and identify the hierarchical position occupied by the rules in question. In this regard, the state practice and the opinio juris concerning the theme are investigated. In result, it is concluded that those norms have a customary nature and they already belong to the domain of jus cogens.

O objetivo desta pesquisa é realizar uma aplicação da Metodologia da Teoria da Ciência, elaborada pelo prof. José R. Novaes Chiappin, no campo do direito internacional. Essa metodologia procura desenvolver mecanismos racionais para análise e solução de problemas. Tais mecanismos permitem uma melhor compreensão teórica das variáveis envolvidas num problema dado, de modo a fornecer orientações mais seguras para a ação prática. Selecionei o problema da justiça internacional para mostrar como a solução de problemas depende de estruturas teóricas prévias. Mais especificamente, pretendo demonstrar que a criação do Tribunal Penal Internacional representa a emergência do primeiro regime de direito internacional penal, no qual os princípios fundamentais desdobram-se em normas e regras detalhadas e são operacionalizados por mecanismos de tomada de decisão. Diversas outras iniciativas, consubstanciadas em documentos internacionais significativos, já haviam condenado o uso da força nas relações internacionais, afirmado os direitos da pessoa e criminalizado a violação dos mesmos, mas nenhuma obtivera efeito prático satisfatório. Em contrapartida, o TPI apresenta instrumentos concretos para a operacionalização da normativa internacional de direitos humanos. A análise dos documentos constitutivos do TPI à luz da Metodologia da Teoria da Ciência permite identificar a função dos componentes do Tribunal e situá-los com relação ao direito internacional penal como um todo. / The purpose of this research is to make an application of the Methodology of the Theory of Science, created by professor José R. Novaes Chiappin, in the field of international law. This methodology strives to develop rational mechanisms for the analysis and solution of problems. Such mechanisms help to attain a better theoretical understanding of the variables involved in a given problem, thus providing more reliable orientations for practical action. I have chosen the problem of international justice to show how problem solving depends on previous theoretical structures. More specifically, I intend to demonstrate that the creation of the International Criminal Court represents the emergence of the first regime for international criminal law, in which the fundamental principles unfold in detailed norms and rules and are made operative by decision-making devices. Several other initiatives, contained in significant international documents, had already condemned the usage of force in international relations, sustained human rights and transformed their violation into a crime, but none had obtained satisfactory practical effect. On the contrary, the ICC presents concrete instruments to make international human rights law operative. The analysis of the constitutive documents of the ICC in the light of the Methodology of the Theory of Science helps to identify the function of the components of the Court and to situate them in relation to international criminal law as a whole.