Submitted by Gisely Teixeira (gisely.teixeira@uniceub.br) on 2016-11-29T17:55:07Z No. of bitstreams: 1 60000235.pdf: 1025971 bytes, checksum: afd8c22d9502ae9a01133d590597ecdc (MD5) / Approved for entry into archive by Rayanne Silva (rayanne.silva@uniceub.br) on 2016-12-12T23:04:30Z (GMT) No. of bitstreams: 1 60000235.pdf: 1025971 bytes, checksum: afd8c22d9502ae9a01133d590597ecdc (MD5) / Made available in DSpace on 2016-12-12T23:04:30Z (GMT). No. of bitstreams: 1 60000235.pdf: 1025971 bytes, checksum: afd8c22d9502ae9a01133d590597ecdc (MD5) Previous issue date: 2005 / Trata-se de dissertação de mestrado que tem por objetivo examinar o Tribunal Penal Internacional, a partir da afirmação contemporânea de uma ideia clássica para que se possa debatê-lo, academicamente, à luz de sua recepção na Constituição brasileira de 1988. Para tanto, após definido o âmbito de aplicação do tema deste trabalho, o Direito Penal Internacional, são apresentados e discutidos os antecedentes do TPI: manifestações anteriores e posteriores à Segunda Guerra Mundial, os Tribunais Militares Internacionais de Nuremberg, e para o Extremo Oriente, a atuação da jurisdição penal dos Estados durante a Segunda Guerra Mundial, o período pós-Segunda Guerra Mundial até a década de 80, os Tribunais Penais Internacionais para a ex-Iugoslávia e para Ruanda, bem como o debate transcultural dos Direitos Humanos e a Conferência de Viena de 1993. Prosseguindo-se, examina-se o TPI em face do Estatuto de Roma para tratar, entre outros assuntos, de sua competência, composição, administração e o Ministério Público. Após, debate-se a recepção do TPI na Constituição brasileira de 1988, mediante a análise do processo de ratificação e de aprovação do Estatuto de Roma no ordenamento constitucional brasileiro, do mecanismo de entrega de nacionais ao TPI, da pena perpétua e da imprescritibilidade dos crimes de competência do TPI e do anteprojeto de lei que define os crimes contra a humanidade, crimes de guerra e crimes contra a administração da justiça do Tribunal Penal Internacional e dispõe sobre o crime de genocídio e sobre a cooperação com o TPI. Finalmente, analisa-se a Emenda Constitucional nº 45, de 8 de dezembro de 2004, com vigência a partir de 31 de dezembro, tendo em vista a inserção de importantes e inéditos tópicos sobre o TPI no ordenamento constitucional brasileiro.

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

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

This thesis attempts to address perennial concerns, mostly raised in some quarters in Africa, pertaining to the development of the complementarity regime established by the Rome Statute of the International Criminal Court. It grapples with a very important question, whether the principle of complementarity, embodied in article 17 of the Rome Statute, was formulated and is being applied by the ICC in a manner that upholds the ideals and theories upon which the regime was founded. The principle of complementarity is designed to mediate the imperatives of State sovereignty and a legitimate international criminal justice system. Essentially, complementarity gives States latitude to try genocide, crimes against humanity, war crimes and aggression nationally, with the ICC only intervening where States are either unable or unwilling to prosecute genuinely. Africa constitutes the biggest regional block of membership to the Rome Statute, however, over the years; support for the ICC on the African continent has waned. It has been argued in some quarters that the ICC is anti-African and that it has interpreted and applied complementarity in a manner that diminishes State sovereignty. The thesis argues that this tension may also be due to textual deficiencies inherent within the Rome Statute, in the provisions that embody this principle. It therefore examines complementarity from a theoretical perspective to provide a comprehensive account of the system contemplated by the drafters of the Rome Statute. In this regard, the thesis argues for expansion of States’ ability at the national level to deal with international crimes without compromising international criminal justice processes or threatening State sovereignty. This is suggested as a way of relieving the tension that has characterised the relationship between African States and the ICC. The thesis further sketches out some of the complexities inherent in the modalities through which the Court may exercise its complementary jurisdiction, particularly within the African continent, given that legal systems in most African countries are particularly weak. It thus dissects the provisions that outline the principle of complementarity in tandem with the Court’s interpretation and application of complementarity in practice. Furthermore, through an exploratory survey of the referral of the Situation in Uganda, and the ICC Prosecutor’s proprio motu investigation of the Situation in Kenya, the thesis illustrates how a positive approach to complementarity can help establish a healthy cooperative synergy between the ICC and States, thereby promoting a functional expeditious criminal justice system. This will go a long way towards assuaging State’s fears that the ICC merely pays lip service to complementarity and arbitrarily supersedes national jurisdiction.

"With the entry into force of the Rome Statute in July 2002 and the election of judges and prosecutors of the Court in 2003, there is need for states parties to the Rome Statute to enact laws to incorporate the crimes defined in the treaty. Currently, 92 states are parties to the treaty. The success of the ICC will depend not only on widespread ratification of the Rome Statute, but also on states parties' compliance with obligations under the treaty. For almost every state this will require some change in national law in accordance with existing laws and proceedings in a given legal system. The experience of most states parties to the treaty is that the Rome Statute will require some form of domestic implementing legislation, even if this is not the normal practice of the state. There is need for co-operation between the Court and state parties on the administration of justice. For the Court to function properly, the immunity of its personnel should be guaranteed and provisions in national constitutions that are incompatible with the Rome Statute should be amended to bring them in conformity with the provisions of the treaty. ... Thus far, South Africa is the only African country that has adopted an implementing legislation domesticating the Rome Statute. Other African countries such as Congo, DRC, Ghana, Nigeria and Senegal have draft bills. There is, therefore, the need for African countries that are state parties to the treaty to positiviely confront the above challnges while incorporating the provisions of the Rome Statute into national law. ... The first chapter is an introduciton. It sketches the background of the study and reviews the materials that will be used for the study. It focuses on several hypothesis and research questions that the study is set out to answer. It highlights the dearth of materials on the implementation of the Rome Statute in Africa. The second chapter analyses the ICC and the emerging international legal system. It discusses the complementarity principle of the Rome Statute and analysis the crimes under the jurisdiction of the Court. The effect of the bilateral immunity agreements signed by states parties to the Rome Statute with the United States of America is also highlighted. The third chapter deals with the ICC and indernational approaches to the implementation of the Rome Statute. This involves discussions on compatibility of the Rome Statute with national constitutions. Approaches adopted by states with regards to specific issues of implementation will also come into focus, followed by discussions on the amendment of constitutions and purposive interpretation as adopted by various states parties to the Rome Statute. The fourth chapter will discuss implications of the Rome Statute for domestic constitutions in Africa. The discussion will focus on immunity from prosecution granted to heads of state and government by constitutions, the surrender of persons to the ICC and sentencing of persons convicted by the Court with regards to their relationship in the implementation of the Rome Statute in Africa. The fifth chapter will be a comparative analysis of impelementation strategies adopted by South Africa, Nigeria and Democratic Republic of Congo (DRC). There will be an analysis of the relationship between the Rome Statute and African human right system. The last chapter is the conclusion with recommendations and arguments on the need for a comprehensive domestic implementation strategy of the Rome Statute in Africa." -- Introduction. / Thesis (LLM (Human Rights and Democratisation in Africa)) -- University of Pretoria, 2003. / Prepared under the supervision of Professor Lovell Fernandez at the Faculty of Law, University of the Western Cape / http://www.chr.up.ac.za/academic_pro/llm1/dissertations.html / Centre for Human Rights / LLM

Examines the situation of child victims through a human rights perspective and identifies the existing legal framework in the international and regional environment. Furthermore, this study seeks to raise awareness about the illegality and harmful consequences of all forms of child trafficking. Also discusses the necessity to take appropriate criminal as well as administrative action, at all levels, to effectively prohibit and penalise child trafficking. / Thesis (LLM (Human Rights and Democratisation in Africa)) -- University of Pretoria, 2007. / A Dissertation submitted to the Faculty of Law University of Pretoria, in partial fulfilment of the requirements for the degree Masters of Law (LLM in Human Rights and Democratisation in Africa). Prepared under the supervision of Professor Julia Sloth-Nielsen of the faculty of Law, of the University of the Western Cape, Cape Town, South Africa. / http://www.chr.up.ac.za/ / Centre for Human Rights / LLM

This thesis argues that the International Criminal Court (ICC) brings a new more deontological paradigm to international interventions, founded upon the universal application of legal principle, and displacing consequentialist notions of justice linked to human rights. Based upon the Court’s Statute and mode of operations, it is argued that this is associated with assumptions concerning the ICC’s primacy, military enforcement, and theory of change. The consequences of this development in volatile contexts are demonstrated. The case study, founded upon analysis from the war-affected community, examines the impact of the International Criminal Court in the Lord’s Resistance Army war, and reveals the relationship between criminal justice enforcement, and community priorities for peace and human rights. On the basis of evidence, and contrary to narratives repeated but unsubstantiated in the literature, it demonstrates that in this case these two imperatives were in opposition to one another. The Court’s pursuit of retributive legal principle was detrimental to the community’s interests in peace and human rights. The subsequent failure of the ICC’s review process to interrogate this important issue is also established. The research establishes that statutory and operational assumptions upon which Court interventions are based do not hold in volatile contexts. For the case study community and elsewhere, this has had adverse impacts, with significant implications for the ICC. The findings indicate that if these issues are not fundamentally addressed, principled international criminal justice enforcement in volatile environments will continue to have profoundly negative human rights consequences.

This study involves a critical appraisal of the legal implications of South Africa’s withdrawal from the International Criminal Court (ICC) in the context of its international and regional human rights obligations. The dissertation also investigates the history and formation of the ICC, South Africa’s involvement and its role as a guardian of international and regional human rights obligations in Africa. The study reviews the circumstances leading to South Africa’s notice of withdrawal from the ICC, including the legal implications and international human rights obligations. This inquiry considers South Africa’s proposed withdrawal from the ICC which is supported by points of departure and a comprehensive literature review. The decision to withdraw from the ICC is considered to be a political one. However, this study raises questions about the executive’s withdrawal in regard to its domestic, regional and international human rights obligations, irrespective of whether it is a member of the ICC. The study surveys the background to South Africa’s participation in the ICC, its membership of the African Union and the implications of ICC membership including the obligations imposed on member states. / Criminal and Procedural Law / LL. M.

Because of its mandate and its enforcement powers, the ICC has been hailed as a major advance on the road towards individual accountability for the perpetration of the most heinous violations of human rights (international crimes) and thus as a major contribution to the prevention of such horrible crimes. However, with its limited resources in terms of human and financial means, the ICC will not be able to deal with all perpetrators of the crimes that come under its jurisdiction wherever such crimes are committed throughout the world. For this reason, in order to end impunity in the commission of international crimes, there will always be a need for combined efforts by the ICC and national courts. This reality is recognised by the Rome Statute which, in the preamble and article 1 of the Statute, provides that the jurisdiction of the ICC is “complementary” to national courts and that, therefore, States Parties retain the primary responsibility for the repression of international crimes. In legal literature, this is generally referred to as the “principle of complementarity” or the “complementarity regime of the Rome Statute”. In order to give effect to the complementarity principle of the Rome Statute, South Africa passed the Implementation of the Rome Statute of the International Criminal Court Act 27 of 2002 (hereafter the Implementation Act); which determines the modalities of prosecuting perpetrators of the crimes of genocide, crimes against humanity and war crimes in South African courts. The Implementation Act also provides that South African courts will have jurisdiction over these crimes not only when they are committed on South African territory but also when they are committed outside the Republic, thus empowering South African courts to exercise “universal jurisdiction” over these three international crimes. This thesis examines the extent to which South African courts, acting under the complementarity regime of the Rome Statute are, or are not, allowed to exercise universal jurisdiction over international crimes committed in foreign States. The study is based on two assumptions. First, it is assumed that since under the principle of complementarity South African courts are required to do the same job as the ICC, they should have the same powers as those States Parties gave to the ICC when they adopted the Rome Statute. Secondly, it is assumed that, although having the same mandate as the ICC in terms of the complementarity principle, South African courts are nonetheless domestic courts as opposed to the ICC which is an international court and that, accordingly, the international law principle of State sovereignty may impose limitations on their ability to exercise universal jurisdiction over international crimes committed in foreign States. In the light of the above assumptions, this study investigates three issues. Firstly, do South African courts have the same powers as the ICC has to disregard immunities of foreign States’ officials which, under international customary law, attach to their functions or status? Secondly, are South African courts entitled, as the ICC is, to disregard amnesties granted by foreign States, either in the process of national reconciliation or as means to shield the criminals from prosecution by the ICC? Finally, are South African courts entitled, as the ICC is, to retry a case which has already been tried in a foreign country but with the aim of shielding the accused from criminal responsibility or where, for example, the sentence imposed was too lenient in comparison with the gravity of the crime? / PhD (Law), North-West University, Potchefstroom Campus, 2014

Because of its mandate and its enforcement powers, the ICC has been hailed as a major advance on the road towards individual accountability for the perpetration of the most heinous violations of human rights (international crimes) and thus as a major contribution to the prevention of such horrible crimes. However, with its limited resources in terms of human and financial means, the ICC will not be able to deal with all perpetrators of the crimes that come under its jurisdiction wherever such crimes are committed throughout the world. For this reason, in order to end impunity in the commission of international crimes, there will always be a need for combined efforts by the ICC and national courts. This reality is recognised by the Rome Statute which, in the preamble and article 1 of the Statute, provides that the jurisdiction of the ICC is “complementary” to national courts and that, therefore, States Parties retain the primary responsibility for the repression of international crimes. In legal literature, this is generally referred to as the “principle of complementarity” or the “complementarity regime of the Rome Statute”. In order to give effect to the complementarity principle of the Rome Statute, South Africa passed the Implementation of the Rome Statute of the International Criminal Court Act 27 of 2002 (hereafter the Implementation Act); which determines the modalities of prosecuting perpetrators of the crimes of genocide, crimes against humanity and war crimes in South African courts. The Implementation Act also provides that South African courts will have jurisdiction over these crimes not only when they are committed on South African territory but also when they are committed outside the Republic, thus empowering South African courts to exercise “universal jurisdiction” over these three international crimes. This thesis examines the extent to which South African courts, acting under the complementarity regime of the Rome Statute are, or are not, allowed to exercise universal jurisdiction over international crimes committed in foreign States. The study is based on two assumptions. First, it is assumed that since under the principle of complementarity South African courts are required to do the same job as the ICC, they should have the same powers as those States Parties gave to the ICC when they adopted the Rome Statute. Secondly, it is assumed that, although having the same mandate as the ICC in terms of the complementarity principle, South African courts are nonetheless domestic courts as opposed to the ICC which is an international court and that, accordingly, the international law principle of State sovereignty may impose limitations on their ability to exercise universal jurisdiction over international crimes committed in foreign States. In the light of the above assumptions, this study investigates three issues. Firstly, do South African courts have the same powers as the ICC has to disregard immunities of foreign States’ officials which, under international customary law, attach to their functions or status? Secondly, are South African courts entitled, as the ICC is, to disregard amnesties granted by foreign States, either in the process of national reconciliation or as means to shield the criminals from prosecution by the ICC? Finally, are South African courts entitled, as the ICC is, to retry a case which has already been tried in a foreign country but with the aim of shielding the accused from criminal responsibility or where, for example, the sentence imposed was too lenient in comparison with the gravity of the crime? / PhD (Law), North-West University, Potchefstroom Campus, 2014