A expansão do direito penal pelos direitos humanos tem no direito penal internacional um privilegiado campo de estudo. Entre as tendências expansivas dos direitos humanos, motivadas pela luta contra a impunidade, e a necessária contenção mecanismo punitivo, princípios, estruturas de aplicação e fundamentação entram em choque, quando se pensava que os direitos humanos e o direito penal originaram-se da mesma matriz liberal de contenção do poder estatal. O tema ganha especial impulso diante da perspectiva expansionista por que passa o direito penal na modernidade, dos influxos da globalização. As decisões dos tribunais penais internacionais, de Nuremberg a Haia, dos tribunais de direitos humanos (europeu e interamericano), fornecem um panorama de como essa relação tem sido construída, favorecendo a aplicação da norma punitiva e flexibilizando garantias clássicas penais e processuais penais. A discussão empreendida busca matizar a luta contra a impunidade que seja tributária dos avanços jurídicos do sistema de garantias, também conquistas sociais e políticas para a efetiva proteção dos direitos humanos. Nesse contexto, alerta-se para o fato de que se estaria produzindo um direito especial motivado pela luta contra os mais graves crimes contra a paz e a segurança mundiais. Finalmente, expõe-se as dificuldades de validação do conteúdo preventivo das normas em direito penal internacional, do déficit democrático de sua produção desconectada da base social sobre a qual atua, e do efeito simbólico de seus enunciados à custa das máximas garantias. / The international criminal law features a special condition for the critical analysis of the expansion of criminal law through human rights. Between the expansive tendencies of human rights, motivated by the fight against impunity, and the necessary containment of punitive mechanism, stands the international criminal law, whose principles, implementation structures and grounds clash, despite the fact that human rights and criminal law originated from the same liberal matrix for the containment of state power. The debate gained particular momentum with the expansionist perspective experienced by the criminal law in modern times of globalization inflows. The decisions of international criminal courts, from Nuremberg to The Hague, human rights tribunals (European and Inter-American), provide an overview of how this relationship has been built, favoring the application of criminal provisions and easing criminal and criminal procedural classical guarantees. The discussion undertaken shades the fight against impunity, that shall be paved by the legal achievements for the effective protection of human rights, warning to the fact that it is producing a special law, away from the legal domestic law principles, motivated by the fight against the most serious crimes against peace and world security. Finally, sets up the difficulties in accepting the preventive content of international criminal provisions, the democratic deficit of its production disconnected of the social contexts in which operates, and the symbolic effect of its legal provisions at the expense of the maximum guarantees.

Les crimes contre l’humanité, les crimes contre la paix, les crimes de guerre, le génocide constituant le noyau dur des crimes internationaux représentent les actes qui causent les dommages les plus graves à la sécurité humaine et internationale. Ils sont codifiés dans les statuts des tribunaux pénaux internationaux. Les crimes transnationaux ou les crimes de traités ne sont pas codifiés dans ces statuts ou sont codifiés d’une manière assez limitée. L’apartheid, la torture, l’esclavage, la piraterie maritime, le terrorisme sont les exemples de ces crimes. Selon les règles de transformation du système international de Morton Kaplan, une variable du système international cause des transformations ou joue un rôle dans l’essor des systèmes internationaux. Le noyau dur des crimes internationaux est abordé dans notre travail comme l’une de ces variables du système. Dans ce but, le système bipolaire (1945- 1991), le nouvel ordre mondial (1991-2001) et le nouveau système depuis les attentats de 11 septembre 2001 ont été analysés. Les Tribunaux Internationaux de Nuremberg, de Tokyo, pour l’Ex-Yougoslavie, pour le Rwanda et la CPI sont devenus les études de cas. / Crimes against humanity, crimes against peace, war crimes and genocide constitute the hard core of most threatful acts to human and international security. They have been codified through the statutes of international criminal tribunals. Transnational crimes or treaty crimes are not codified in these statutes or they are narrowly codified. Examples of such crimes include the apartheid, torture, slavery, maritime piracy, and terrorism. According to the rules of international system transformation as defined by Morton Kaplan, one variable of the international system entails transformations and plays a role in the emergence of international systems. In this study, the hard core of international crimes is considered as one of the variables of the system. Thus, the bipolar system (1945-1991), the new world order (1991- 2001) and the new system after September 11 attacks are analysed. International Tribunals such as Nuremberg, Tokyo, for the former Yugoslavia, Rwanda and the International Penal Court constitute case studies.

The International Criminal Tribunal for the Former Yugoslavia (ICTY) has been both contentious and successful. By examining the ICTY from a Levinasian ethical standpoint, we might be able to understand how the court uses language to enforce ethical and moral standards upon post-war societies. Using linguistic methods of analysis combined with traditional data about the ICTY, I empirically examine the court using ordinary least squares (OLS) in order to show the impact that language has upon the court's decision making process. I hypothesize that the court is an ethical entity, and therefore we should not see any evidence of bias against Serbs and that language will provide a robust view of the court as an ethical mechanism.

Les violations aux droits humains causent des milliers de victimes chaque année, des mécanismes de justice sont élaborés afin de répondre à ces crimes, mais les victimes demeurent peu consultées. Par le biais d’entretiens semi-directifs, cette étude présente le point de vue et les attentes des victimes de crimes contre l’humanité du Cambodge et du Rwanda sur la justice. La justice sociale constitue le cadre théorique de cette étude. Les résultats montrent que la justice pénale est centrale à la définition de la justice. La réparation et la vérité en constituent aussi les éléments essentiels. Toutefois, la capacité des tribunaux à rendre compte de la vérité est critiquée par les répondants créant un écart entre ce qu’elles veulent et ce qu’elles obtiennent. La qualité de la prise de décision et du traitement interpersonnel favorise aussi la perception de justice du point de vue des victimes. Les différentes composantes de la justice perçues, comme la punition, la réparation et la procédure, varient toutefois en fonction du contexte social et historique de la victimisation. / Human rights violations cause thousands of victims every year. Justice mechanisms, such as the International Criminal Court, have been developed to respond to these crimes, but victims remain under consulted. In this study, semi-structured interviews were conducted with Rwandan and Cambodian victims of crimes against humanity. Using social justice theories as a theoretical framework, this study examines victims’ perceptions of justice. The results show that while criminal justice is central in victims’ definition of justice, reparation and truth also are essential components. However, the criminal court’s ability to achieve truth is criticized by respondents creating a gap between the truth that they seek and the truth that they obtain. The quality of decision-making as well as how victims are treated also contribute to victims’ perception of justice. However, victims’ justice objectives vary according to the social and historic context.

Thèse numérisée par la Division de la gestion de documents et des archives de l'Université de Montréal

Submitted by JULIANA SCHWARTZ DAL PIVA (julianadalpiva@gmail.com) on 2016-09-28T01:11:07Z No. of bitstreams: 1 ACONSTRUCAODABUSCAPORRUBENSPAIVA-final.pdf: 17155688 bytes, checksum: c6fe160f2c31b5feab444bbce3ad340e (MD5) / Approved for entry into archive by Rafael Aguiar (rafael.aguiar@fgv.br) on 2016-10-06T13:22:42Z (GMT) No. of bitstreams: 1 ACONSTRUCAODABUSCAPORRUBENSPAIVA-final.pdf: 17155688 bytes, checksum: c6fe160f2c31b5feab444bbce3ad340e (MD5) / Made available in DSpace on 2016-10-17T17:07:30Z (GMT). No. of bitstreams: 1 ACONSTRUCAODABUSCAPORRUBENSPAIVA-final.pdf: 17155688 bytes, checksum: c6fe160f2c31b5feab444bbce3ad340e (MD5) Previous issue date: 2016-09-01 / This study examined the investigations undertaken into the disappearance of congressman Rubens Paiva between 1971 and 2014 as an iniciative to understand the long and tortuous path that led to a Federal Court recognize that the case configured a crime against humanity - decision which is unprecedented in the Brazilian judiciary. This sentence was given after 40 years of investigations into the crime against the parliamentarian. With different purposes and in different contexts, four state agencies performed investigations about the crime: the inquiry of the Army (1971), the investigation of the Federal Police (1986) then transformed into a Military Police Inquiry and conducted by the Army (1987), the survey made by the National Truth Commission and the Rio Truth Commission (2012-2014) and the investigation of the Federal Public Ministry (2012-2014). In addition, this research incorporated to analyze some specific periods of the Paiva family fight, as the request for investigation made by Eunice Paiva in the Council of the Human Rights (CDDPH) in 1971 and then in 1979. This reflection of the Rubens Paiva case procedures allowed to find representations of the paradoxes with which victims of human rights violations were addressed in different contexts since the military regime, exemplifying the cycles of this struggle. / O presente estudo analisou as investigações empreendidas sobre o desaparecimento do deputado federal Rubens Paiva entre 1971 e 2014 para tentar compreender a longa e tortuosa trajetória que levou a 2a Turma Especializada do Tribunal Regional Federal a reconhecer que o caso configurava um crime de lesa-humanidade – decisão até então inédita no Judiciário brasileiro. Essa sentença foi dada após 40 anos de investigações sobre o crime contra o parlamentar. Com diferentes objetivos e em distintos contextos, foram realizados quatro procedimentos de apuração de órgãos estatais sobre o desaparecimento de Rubens Paiva: (I) a Sindicância do Exército (1971), (II) o inquérito da Polícia Federal (1986), depois transformado em Inquérito Policial-Militar e conduzido pelo Exército (1987), (III) a pesquisa da Comissão Nacional da Verdade e da Comissão da Verdade do Rio (2012-2014) e (IV) a investigação do Ministério Público Federal (2012-2014). Além disso, a pesquisa incorporou para a análise alguns períodos específicos da luta da família Paiva, como o pedido de investigação feito por Eunice Paiva no Conselho dos Direitos da Pessoa Humana (CDDPH), em 1971, e depois em 1979. A análise sobre os procedimentos do caso Rubens Paiva permitiu encontrar representações dos paradoxos com as quais as vítimas de violações de direitos humanos foram tratadas em contextos distintos desde o regime militar, exemplificando os ciclos dessa luta.

Este trabalho tem por objetivo debater a contribuição e o papel que a jurisprudência do Tribunal Penal Internacional para a ex-Iugoslávia desempenhou no processo de produção e desenvolvimento do direito internacional penal costumeiro sobre crimes contra a humanidade e sua influência na formação do conteúdo normativo atual do art. 7o(1),(2)(a), do Estatuto de Roma, que trata do crime contra a humanidade. Para isso, analisa-se como a Corte determinou o costume válido sobre as elementares do crime contra a humanidade nos casos Duko Tadie Draen Erdemovi, julgados antes da conferência de Roma. Em seguida, examina-se a teoria das fontes, mais especificamente, o costume internacional, seu fundamento, seus dois elementos (combinação de prática e opinio iuris), bem como seus sujeitos criadores e veículos de exteriorização, em especial a jurisprudência internacional. Nesse percurso, apontam-se as práticas destoantes do costume e a dificuldade de sua determinação, para então indicar o binômio valor e poder como elementos que influenciam sua manifestação. Depois, procura-se verificar o contexto político e jurídico de criação do Tribunal Penal Internacional para a ex-Iugoslávia, associando-o à proteção do valor paz mundial e às alterações das estruturas de poder da ordem internacional. Então, faz-se uma avaliação da contribuição dos julgados analisados como veículos para exteriorização do costume ou de seus elementos. Por fim, com a análise da coincidência de resultados no que tange à estrutura de algumas das elementares decididas pelo Tribunal Penal Internacional para a ex-Iugoslávia e o conteúdo normativo atual do art. 7o(1),(2)(a) do Estatuto de Roma, pode-se concluir que a jurisprudência estudada veiculou parte da opinio iuris do direito costumeiro sobre crimes contra a humanidade, contribuindo, assim, com o desenvolvimento do direito internacional penal sobre o tema. / This work aims to discuss the contribution and the role that the jurisprudence of the International Criminal Tribunal for the former Yugoslavia played in the production and development of international criminal customary law on crimes against humanity and its influence in shaping the article 7o(1),(2)(a), of the Rome Statute, about crime against humanity. In order to accomplish this task, it analyses how the Court defined valid custom on the chapeau elements of crime against humanity in the Duko Tadi and Draen Erdemovi cases. Next, it considers the theory of sources, more specifically, international custom, its basis, its two elements (combination of state practice and opinion juris), as well as its subjects and forms of externalization, including international decisions. About this, it points out the dissonant ways custom emerges and the difficulty of its determination, then indicating values and power as elements that influence its manifestation. After, it analyses the political and juridical contexts in which the International Criminal Tribunal for the former Yugoslavia was established, relating it with the protection of world peace, as a value, and the changes in the power structures of international order. Then, it unpacks the contribution of the above decisions (Duko Tadi and Draen Erdemovi cases) as vehicles of externalization of custom or, at least, one of its elements. Finally, with the analyse of the coincidence between the chapeau elements of crimes against humanity as decided by the International Criminal Tribunal for the former Yugoslavia and the current normative content of article 7o(1),(2)(a),of the Rome Statute, it can be concluded that the jurisprudence studied ran part of the opinion jurisabout crimes against humanity as an element of custom, thus, contributing to the development of international criminal law on that issue.

A expansão do direito penal pelos direitos humanos tem no direito penal internacional um privilegiado campo de estudo. Entre as tendências expansivas dos direitos humanos, motivadas pela luta contra a impunidade, e a necessária contenção mecanismo punitivo, princípios, estruturas de aplicação e fundamentação entram em choque, quando se pensava que os direitos humanos e o direito penal originaram-se da mesma matriz liberal de contenção do poder estatal. O tema ganha especial impulso diante da perspectiva expansionista por que passa o direito penal na modernidade, dos influxos da globalização. As decisões dos tribunais penais internacionais, de Nuremberg a Haia, dos tribunais de direitos humanos (europeu e interamericano), fornecem um panorama de como essa relação tem sido construída, favorecendo a aplicação da norma punitiva e flexibilizando garantias clássicas penais e processuais penais. A discussão empreendida busca matizar a luta contra a impunidade que seja tributária dos avanços jurídicos do sistema de garantias, também conquistas sociais e políticas para a efetiva proteção dos direitos humanos. Nesse contexto, alerta-se para o fato de que se estaria produzindo um direito especial motivado pela luta contra os mais graves crimes contra a paz e a segurança mundiais. Finalmente, expõe-se as dificuldades de validação do conteúdo preventivo das normas em direito penal internacional, do déficit democrático de sua produção desconectada da base social sobre a qual atua, e do efeito simbólico de seus enunciados à custa das máximas garantias. / The international criminal law features a special condition for the critical analysis of the expansion of criminal law through human rights. Between the expansive tendencies of human rights, motivated by the fight against impunity, and the necessary containment of punitive mechanism, stands the international criminal law, whose principles, implementation structures and grounds clash, despite the fact that human rights and criminal law originated from the same liberal matrix for the containment of state power. The debate gained particular momentum with the expansionist perspective experienced by the criminal law in modern times of globalization inflows. The decisions of international criminal courts, from Nuremberg to The Hague, human rights tribunals (European and Inter-American), provide an overview of how this relationship has been built, favoring the application of criminal provisions and easing criminal and criminal procedural classical guarantees. The discussion undertaken shades the fight against impunity, that shall be paved by the legal achievements for the effective protection of human rights, warning to the fact that it is producing a special law, away from the legal domestic law principles, motivated by the fight against the most serious crimes against peace and world security. Finally, sets up the difficulties in accepting the preventive content of international criminal provisions, the democratic deficit of its production disconnected of the social contexts in which operates, and the symbolic effect of its legal provisions at the expense of the maximum guarantees.

The present work intends on analyzing the collection of communications and general data employed by public as well as private actors sustained during times of war on terror . In that regard, the issue of this research consists on conceiving an approach to account for those actors responsibility Nation-States along with private companies, both of which, in the context of law s internationalization and aided by the new information and communications technologies, violate Human Rights while claiming them to constitute antiterrorism strategies and policies. Concerning the methodology, classified as phenomenological-hermeneutical, it proceeds with a critical analysis of the International Criminal Court, Regional Justice Systems, and corresponding bibliography, aiming to diagnose what led the war on terror policies to shift towards the antagonist sentiment of a terror of war . Drawn from conclusion, the observed deviation seems to derive from the violations acted upon by the United States of America and its National Security Agency (NSA) which, while maintaining the pseudo-argument of war on terror , tampered communications between not only its own citizens and chiefs of government but also the ones from allied great powers. In accordance with that, and further critics that permeate the International Criminal Court since its creation, accused of being an eminently political entity in its decisions, ineffective in regards to the absence of coercion elements for its determinations, and even lacking in suitable answers to matters of global interest such as terrorism, drug traffic, and new rights transgressions derived from the internet network a revision of the Rome Statute is proposed upon the purpose of, if not to establish new crimes, provide a more autonomous concept of crimes against humanity against the ones of common violence. To that extension, the war on terror has been confirming some human rights freedom of communication and expression, and the right to privacy are also passive to non-violent restrictions. Therefore, it seems imperative to promote the dilation of the concept of crimes against humanity, howbeit being a juridical category, with the purpose as to encompass clandestine or covert violations which, in turn, are consistently promoted by the previously mentioned actors, Nation-States and private companies, namely Facebook and Google that respectively explore the social medias market and web search engines, just as well as VASTec, AT&T, and Amesys, specialized in mass communications interception. / A presente dissertação tem por escopo analisar o escrutínio de informações e comunicações praticado por atores públicos e privados em tempos de guerra ao terror . O problema de pesquisa se resume a pensar como é possível responsabilizar esses atores Estados-Nação e empresas do setor privado que, usando das facilidades técnicas proporcionadas pelas novas tecnologias de informação e comunicação, no contexto da internacionalização do direito, violam direitos humanos sob a justificativa de constituírem estratégias de políticas e práticas antiterror. No que diz respeito à metodologia, a pesquisa se classifica como fenomenológico-hermenêutica, procedendo-se com a análise crítica do Tribunal Penal Internacional e os Sistemas Regionais de Justiça, revisão e análises bibliográficas, no sentido de diagnosticar por que as políticas de guerra ao terror acabaram por se transvestir no antagônico sentimento de terror à guerra . Como efeito, a migração de um extremo a outro, ao que se concluiu, deriva especialmente das ações de violação praticadas pelos Estados Unidos da América e sua Agência Nacional de Segurança (NSA), que se valendo da pseudo-justificativa de guerra ao terror, violaram as comunicações de muitos cidadãos e chefes de Estado, inclusive os de potências aliadas. Em razão disso, bem como pelas demais críticas que, desde sua criação, ostenta o Tribunal Penal Internacional, acusado de ser um órgão eminentemente político, do ponto de vista de suas decisões, inefetivo, se analisada a ausência de elementos coercitivos ao cumprimento de suas determinações, e mesmo a falta de respostas adequadas a questões como de interesse global o terrorismo, tráfico de drogas e as novas formas de violação de direitos por meio da rede de computadores, por exemplo , é que se propõe a revisão do Estatuto de Roma para o fim de, senão criar novas espécies de tipos penais, ao menos autonomizar o conceito de crimes contra a humanidade de ações de violência típica. A política de guerra ao terror tem provado que alguns direitos humanos, tais qual o direito a comunicação e expressão e mesmo o direito à privacidade, também são passíveis de sofrerem restrições não violentas. Portanto, é fundamental que se promova o alargamento do conceito de crimes contra a humanidade enquanto categoria jurídica, para o fim de englobar também as violações ocorridas de maneira clandestina ou a paisana, diuturnamente executadas por atores tais como os Estados-Nação e mesmo empresas como Facebook e Google, que exploram, respectivamente, o mercado de redes sociais e de provedores de pesquisa, ou a VASTec, AT&T e Amesys, especializadas na interceptação de comunicações em massa.

La Guinée, depuis son accession à l’indépendance en 1958, a été dirigée par des régimes autoritaires successifs et a traversé des périodes marquées par de graves victimisations dont les plus remarquables se sont produites entre 1958 et 1984, sous le règne d’Ahmed Sékou Touré, puis dernièrement en 2009, sous le règne du Capitaine Moussa Dadis Camara. Ces crimes contre l’humanité ont eu des impacts directs et indirects sur la vie des victimes, leurs familles, et proches. Ils ont causé des milliers de morts, provoqué l’exil d’innombrables individus et occasionné le viol de centaines de femmes (Human Rights Watch, 2011). Bien que l’État guinéen ait entrepris de nombreuses actions visant ostentatoirement à faire justice aux victimes de ces faits, ces dernières demeurent insatisfaites et persistent dans leur quête de justice. Ceci nous conduit à des questionnements : qu’est-ce que la justice pour les victimes de crimes contre l’humanité en Guinée ? Comment les victimes arrivent-elles à ce sentiment de justice ? Dans cette thèse, nous explorons le sentiment de justice de 31 victimes de crimes contre l’humanité commis en Guinée. Plus précisément, nous utilisons, comme cadre théorique la théorie de la justice pour examiner les perceptions et expériences de victimes par rapport à la justice afin de promouvoir la réconciliation et la paix durable. Les résultats indiquent que la justice a plusieurs dimensions, à savoir la justice distributive, la justice procédurale et la justice interactionnelle. Bien que la justice distributive (punition et réparation) soit évoquée plus rapidement dans le discours des victimes, la justice procédurale (neutralité des autorités, constance, etc.) et la justice interactionnelle (respect, information, etc.) ont toutes aussi leur importance aux yeux des victimes. Il existe plusieurs similarités entre les deux groupes de victimes étudiés, entre celles de 1958-1984 et celles de 2009, quant aux violences commises, à leurs conséquences et à la définition de la justice. Mais, ces deux groupes diffèrent sous plusieurs autres coutures, notamment par rapport aux types de violences, à la durée de la commission des crimes, à la méthode utilisée pour les commettre, à l’interchangeabilité des rôles victimes-bourreaux, à la durée des conséquences des crimes et à l’importance des éléments compris dans la définition de la justice. Certains éléments de la définition de la justice seraient plus importants que d’autres pour chaque groupe de victimes compte tenu du temps passé depuis la commission des crimes, du décès de la plupart des bourreaux, et de l’interchangeabilité des rôles bourreaux victimes. Cela dit, la justice dans son ensemble est une condition à la réconciliation. Toutefois, le manque de justice vécue par les victimes remet en question la réconciliation en Guinée. / Since its independence in 1958, Guinea has been ruled by authoritarian regimes that caused many victims of serious violations, the most notable dating from 1958 to 1984 under the reign of Ahmed Sékou Touré and recently in 2009 under the reign of Moussa Dadis Camara. The crimes against humanity in Guinea had direct and indirect impacts on the lives of the victims, their families, and their loved ones. They have left thousands of dead, they resulted in the exile of countless individuals and the rape and abuse of hundreds of women (Human Rights Watch, 2011). While some efforts have been made to address this violence, victims nevertheless persist in their demand for justice. This raises many questions: what is justice for the victims of crimes against humanity in Guinea? How do victims come to the sense of justice? In this paper, we explore the perceptions of justice of 31 victims of crimes against humanity in Guinea. More specifically, we use justice as a theoretical framework to examine perceptions and experiences of victims in relation to justice in order to promote reconciliation and lasting peace. The results indicate that justice has several dimensions, namely distributive justice, procedural justice and interactional justice. Although distributive justice (punishment and reparation) comes more quickly in victims’ discourse, procedural justice (neutrality of authorities, constancy, etc.) and interactional justice (respect, information, etc.) are equally important in the eyes of the victims. There are several similarities between the two groups of victims (1958–1984 and 2009) as regards the violence committed, their consequences, and the definition of justice. However, there are differences as well, particularly regarding the types of violence, the duration of the crimes, the method used to commit the crimes, the interchangeability of victim-offender roles, the duration of the consequences of crimes and the importance of the elements included in the definition of justice. Some elements included in the definition of justice would be more important than others for each group of victims given the time that has passed since the commission of crimes, the death of most perpetrators, and the interchangeability of victims perpetrators’ roles. That said, justice as a whole is a condition for reconciliation. However, the lack of justice experienced by the victims calls into question reconciliation in Guinea.