A special role amongst various efforts to combat transnational criminal activity belongs to extradition, which has transformed into a form of international cooperation and became an indispensable tool for ensuring criminal responsibility in any part of the world. However, for a long period of time, an individual in the process of extradition has been treated as a passive object of intergovernmental relations which have a significant political component. In this thesis, the claim is that treatment of an individual as a rights bearer and an active subject of legal relationships among other parties of the process, combined with transfer of final decision-making right from the executive to judiciary branch of power, is capable to enable application of the Rule of law principles to particular extradition cases, limit broad discretion of decision makers and minimize political component of extradition.

Compte tenu des engagements internationaux du Canada à l'égard de l'interdiction de la torture et de la peine de mort, il ne peut extrader une personne vers un pays où elle risque d'être soumise à ce genre de traitement. Par ailleurs, en raison de la présomption d'innocence prévue dans la Charte canadienne des droits et libertés, il ne peut maintenir cette personne en détention si elle n'est pas accusée au pays, ce qui ne saurait être le cas si elle a commis son crime à l'étranger puisque le Canada n'a juridiction, sauf exception, que sur les crimes commis sur son territoire. Dans pareil cas, le Canada fait face au problème suivant: quoi faire avec la personne requise par un pays étranger pour un crime qu'elle y aurait commis mais vers lequel le Canada ne peut accepter de la retourner en raison des risques d'atteinte à son intégrité physique et à sa vie? Dans ce contexte, le Canada fait également face à un autre dilemme du fait que d'une part, il ne pourrait lui-même accuser cette personne en raison de son absence de juridiction sur les crimes commis à l'étranger mais d'autre part, il ne souhaiterait pas la laisser impunie pour un crime reconnu sur son territoire ou prendre le risque de mettre en péril la sécurité du pays en laissant en liberté une personne qui pourrait être dangereuse pour la société, surtout lorsqu'il s'agit d'un crime grave. Ce sont les questions que nous avons voulu examiner dans ce travail. Nous présentons au début de ce texte les normes internationales et nationales relatives à l'interdiction de la torture et de la peine de mort afin de bien faire comprendre leur importance et l'engagement du Canada à leur égard. Nous analysons également la jurisprudence afin d'exposer la position des tribunaux canadiens sur cette question ainsi que celle d'instances internationales et de dégager les principes de base qui doivent guider les États dans l'application des conventions internationales en matière de protection contre la torture et les traitements cruels. En deuxième partie, nous abordons les solutions envisageables dans les cas où l'extradition n'est pas possible pour les raisons exposées ci-dessus. Nous examinons d'abord le recours aux assurances diplomatiques afin de garantir que la peine de mort ou la torture ne sera pas pratiquée contre une personne faisant l'objet d'une extradition. Ensuite nous exposons les principes à la base de la souveraineté territoriale en vertu de laquelle le Canada n'a pas autorité pour poursuivre une personne lorsque le crime a été commis à l'étranger. Nous verrons cependant différents exemples en droit canadien où une exception a été prévue à cette règle et comparerons avec la pratique adoptée en France et dans plusieurs conventions internationales dans les mêmes circonstances. Enfin, tout en faisant état des difficultés que peut poser cette solution, nous soumettons la possibilité, dans certaines situations, que le Canada nomme un procureur indépendant pour représenter la personne extradée dans le cadre de son procès dans le pays où elle a été retournée afin de s'assurer du respect de ses droits fondamentaux et du droit international, particulièrement en matière de torture et de peine de mort. ______________________________________________________________________________ MOTS-CLÉS DE L’AUTEUR : Extradition, Peine de mort, Assurances diplomatiques, Procureur indépendant.

Thesis (LLM)--University of Stellenbosch, 2003. / ENGLISH ABSTRACT: The object of the thesis is to examine the content and status of the double criminality principle in international extradition law. The double criminality principle says a fugitive c annat be extradited unless the conduct for which his extradition is sought is criminal in both the requesting state and the requested state. This thesis is based on a study of sources of international law and domestic law and ideas presented in legal literature. The double criminality principle has developed over several centuries and it has been embraced by most states in one form or the other. The principle serves several purposes, of which the most dominant is the notion of state sovereignty. States apply the double criminality principle differently due to its multiple rationale. Legal literature has distinguished two main methods of interpretation, called interpretation in abstracto and in concreto. Whereas the in abstracto method focuses on the theoretical punishability of the conduct, the in concreto method attaches importance to all factual, personal and legal aspects. There are also ways of interpretation that are a combination of these two methods. Most states can be classified into one of the two main groups of interpretation, but in general most states have adopted a specific method of interpretation that is unique to each particular state. There is thus no uniform method of interpretation in international extradition law. This thesis attempts to determine whether the double criminality principle has become a rule of customary international law. Though most instruments on international or domestic extradition law include the double criminality principle, the strong disagreement among legal scholars as to the legal status of the principle leads to the conclusion that the double criminality principle is not a rule of international law today. This thesis contains an examination of whether the principle of double criminality can be classified as an international human rights norm. Though the principle of double criminality has striking similarities with human rights as it partly aims at protecting individuals facing extradition, there are also a number of aspects that distinguish the principle from traditional human rights. This is partly attributable to the fact that international extradition law is not the arena where general international human rights have developed. It is therefore concluded that the double criminality principle does not form part of international human rights law. / AFRIKAANSE OPSOMMING: Die oogmerk van hierdie tesis is om die inhoud en status van die beginsel van dubbelkriminaliteit in internasionale uitleweringsreg te ondersoek. Hierdie beginsel behels dat die handeling ten opsigte waarvan die uitlewering versoek is, misdade in beide die staat wat uitlewering versoek as die staat waarvan uitlewering versoek word, is. Die metode wat hierdie tesis onderlê is 'n literatuurstudie van bronne in die internasionale en nasionale reg. Die dubbelkriminaliteitsbeginsel het oor etlike eeue ontwikkel. Dit word gevind in die meeste regstelsels. Die beginsel dien verskeie oogmerke, waarvan staatsoewereiniteit sekerlik die belangrikste is. State pas die beginselop verskillende maniere toe weens die verskeie bestaansredes vir die beginsel. Regsliteratuur tref 'n onderskeid tussen twee belangrike metodes van interpretasie, naamlik die in abstracto en in concreto benaderings. Terwyl die in abstracto metode op die teoretiese strafbaarheid van die handeling fokus, plaas die in concreto benadering klem op die feitelike, persoonlike en konkrete regsaspekte. Daar is kombinasies van hierdie metodes. Meeste state kan geklassifiseer word volgens die twee benaderings, maar tog pas state hierdie benaderings by hul besondere behoeftes aan. Daar is dus geen uniforme metode van interpretasie in internasionale uitleweringsreg nie. Hierdie tesis poog om te bepaal of die dubbelkriminaliteitsbeginsel 'n reël van gemeenregtelike internasionale reg geword het. Alhoewel meeste wetgewing op die terrein van internasionale en nasionale uitleweringsreg die beginsel van dubbelkriminalitiet insluit, is daar sterk meningsverskilonder regsgeleerdes tov die status van die beinsel. Die gevolgtrekking is dat die beginsel nie 'n algemene reël van die internasionale reg is nie. Ten slotte word daar gekyk of die dubbelkriminaliteitsbeginsel as 'n beginsel van internasionale menseregte geklassifiseer kan word. Alhoewel die beginsel ooreemste met menseregtenorme toon - veral die beskerming van die individu in uitleweringsaangeleenthede - is daar 'n aantal aspekte wat d it van menseregte 0 nderskei. I nternasionale uitleweringsreg en internasionale menseregte deel nie dieselfde ontwikkelingsgeskiedenis nie. Die gevolgtrekking is dus dat die dubbelkriminaliteitsbeginsel nie deel vorm van internasionale menseregte nie.

Regulation of Extradition Procedure in International Law The subject of research of the thesis is the institute of extradition. The issue of extradition of persons by one state to another state with the purpose of criminal proceedings or imposition or enforcement of a sentence is very topical. Progressing process of globalization and easy ways of travelling enable perpetrators of criminal offences to hide from justice in various states. The extradition plays an important part in extradition of perpetrators of "ordinary" criminal offences as well as it is significantly instrumental in a fight against transnational organized crime, cybercriminality and other forms of transnational crimes. Cooperation of states in extradition of persons is therefore absolutely crucial in a fight against impunity of perpetrators of criminal offences. The extradition law may be divided into a material branch and a formal branch. The material extradition law analyzes conditions for granting the extradition. The formal extradition law represents an overview of procedural measures relating to the commencement of extradition proceedings, its course and its termination. The topic of the thesis is the "Extradition in International law". However, the subject of the thesis itself is narrower. The thesis focuses only on the...

Révolution dans l’ordre juridique international pénal, le mandat d’arrêt européen a été la traduction, concrète, d’un espace judiciaire européen en matière pénale. La création du mandat d’arrêt européen est né du constat d’un décalage, dont tirait profit la criminalité : alors que la liberté de circulation des biens, des services et des personnes était devenue une réalité au sein de l’Union européenne, l’effet des décisions de justice, expression de la souveraineté étatique, restait confiné aux limites frontalières nationales de chaque Etat membre. Visant à remplacer le système classique d’extradition au sein de l’Union européenne, en imposant à chaque autorité judiciaire nationale de reconnaître, moyennant un contrôle minimum, une demande de remise émanant de l’autorité judiciaire d’un autre Etat membre, le mandat d’arrêt européen est la conséquence d’une volonté de coopération efficace, visant à apporter une réponse pénale, forte, à la criminalité. L’ « euromandat » a été la première application concrète du principe de reconnaissance mutuelle des décisions de justice. Pierre angulaire de la coopération pénale européenne, ce principe repose sur le préalable nécessaire et fondamental de confiance mutuelle que doivent s’accorder, entre eux, les Etats membres, quant au fonctionnement de leur système juridique pénal interne et à la qualité des décisions rendues par leurs juridictions respectives. Théoriquement, le principe de reconnaissance mutuelle des décisions de justice implique l’existence de véritables standards communs des droits fondamentaux dans l’Union européenne, en ce sens que tous les Etats membres doivent assurer, de manière équivalente, le respect des libertés individuelles, des droits de l’homme et des garanties procédurales. Pourtant, en pratique, le mandat d’arrêt européen fait courir le risque, pour un Etat membre, de remettre une personne (y compris un national), aux autorités judiciaires d’un autre Etat membre, qui ne garantirait pas, effectivement, les droits fondamentaux, en général, et les droits de la défense, en particulier. / A Revolution in the international criminal legal order, the European arrest warrant was the concrete translation of a European judicial area for criminal issues. The European arrest warrant was created to close a loophole which benefitted criminals: while the free circulation of goods, services and people had become a reality within the European Union, the effect of legal decisions, the expression of a State’s sovereignty, remained confined to the national borders of each Member State. Aimed at replacing the classic extradition system within the European Union, by forcing each national judicial authority to recognise a request to surrender a suspect, from the judicial authority of another Member State, the European arrest warrant is the result of a desire for efficient cooperation, and is intended to send a strong message to criminals. The “Euro-warrant” was the first concrete application of the principal of mutual recognition of judicial decisions. The Cornerstone of the European criminal cooperation, this principal relies on the fundamental requirement of mutual trust between the Member States, with respect to the functioning of their internal criminal justice systems and the quality of the rulings made by their respective jurisdictions. Theoretically, the principal of mutual recognition of judicial decisions implies the existence of true common standards of fundamental rights in the European Union, in the sense that all the Member States must respect individual freedoms, human rights and procedural guarantees. However, in practice the European arrest warrant runs the risk of surrendering a person (including a national) to the judicial authorities of another Member State who do not effectively guarantee the fundamental rights in general and more specifically the right to defend oneself.

International criminality has been a challenging phenomenon for national police forces for years. States have developed international police cooperation relations and extradition instruments in order to fight international criminal activity. This treatise explores the reasons for the rise in transnational organized crime activities in Europe and presents an in-depth explanation concerning the emergence, mandates, and structures of multilateral police collaboration systems such as Interpol, Trevi, Schengen, and Europol. Since the extradition has become an inseparable part of international policing, this study examines the improvements in extradition procedure and emphasizes the importance of extradition. Finally this study compares traditional (European Convention on Extradition of 1957) and new (European Arrest Warrant) extradition systems.

À la fin du XIXe siècle, à la faveur du développement en Europe des premières formes contemporaines d’un terrorisme internationalisé, la France participe à la naissance d’une première grammaire de la coopération internationale contre le terrorisme, qui se décline en une coopération politique multilatérale, une coopération policière secrète et une coopération de nature judiciaire ayant pour fondement l’extradition. Il s’agit dès lors d’écrire l’histoire des coopérations internationales de la France contre le terrorisme depuis cette période jusqu’à la fin des années 1980, dans ses versants tant politiques que policiers et judiciaires, en analysant les appréhensions, adaptations et spécialisations des différents organes de l’État, en fonction non seulement de l’évolution du terrorisme lui-même mais aussi des relations internationales dont elles constituent un élément à part entière. À l’ère du terrorisme anarchiste à la fin du XIXe siècle succède un entre-deux-guerres durant lequel la France fait l’expérience du terrorisme balkanique et où pour la première fois une organisation internationale, la SDN, se saisit du terrorisme. À l’issue de la Seconde Guerre mondiale, la France fait de nouveau l’expérience de la coopération durant la guerre d’Algérie, et à partir de la fin des années 60 participe à un mouvement d’européanisation de ses enjeux et de ses pratiques tant au niveau bilatéral que multilatéral. L’Europe géographique autant qu’institutionnelle devient l’espace de référence de la coopération antiterroriste, du fait de la persistance du phénomène tant d’origine domestique qu’international et de sa transformation en enjeu majeur pour la société internationale. / At the end of the nineteenth century, in response to the rise of a modern internationalized terrorism, European states, and chiefly among them France, draft a first grammar of international cooperation against terrorism, a multilateral political cooperation, a secret police cooperation and a judicial cooperation of which extradition is the cornerstone. The history of France’s international cooperation against terrorism from this point on to the end of the 1980s shall thusly be written with regards to its political, policing, intelligence and judicial implications and take into account not only the evolving nature of the understanding of the phenomenon by and within the state, but the evolution of terrorism itself and that of international relations, of which international cooperation against terrorism is an integral part. Following the era of anarchist terrorism, during the interwar years, the rise of nationalist terrorism in the Balkans provide France with a new outlook and the phenomenon becomes, for the first time, an issue on the agenda of an international organization, the League of Nations. After WWII, France faces anew the challenges of international cooperation during the Algerian War, and, from the end of the 1960s on, takes part in a differential process of Europeanization of international cooperation against terrorism. In its geographical and institutional incarnations, and due to the persistence of both domestic and international terrorism, Europe thus becomes the core of France’s international efforts against terrorism.

O combate efetivo ao flagelo secular do terrorismo, ainda que possa se revestir de muitas formas, não prescinde da repressão penal de seus autores. Em vista da maciça internacionalização do terrorismo, a partir do Século XX, a cooperação jurídica internacional em matéria penal (aí incluída a extradição) consolida-se como instrumento de essencial importância para a repressão do terrorismo pela comunidade internacional, com a vantagem de resguardar o domínio do direito e, por conseguinte, de assegurar a paz e a segurança internacionais. A evolução do tratamento do crime de terrorismo pelo direito penal transnacional influenciada pelo direito da segurança coletiva, especialmente a partir dos atentados de 11 de setembro de 2001 exerceu expressivo impacto no direito extradicional. O entendimento desse efeito é fundamental para extrair-se do instituto da extradição todo o seu potencial para a repressão penal do terrorismo. Desde que presentes determinados requisitos, uma conduta de caráter terrorista à luz de parâmetros internacionais gera a obrigação estatal de extraditar ou processar seu autor, mesmo na ausência de tratado. Além disso, a extradição exercida ou não em decorrência de obrigação convencional tem seus princípios afetados pela obrigação internacional de repressão do terrorismo, particularmente no que se refere a questões como extraditabilidade, extradição por crimes políticos e extradição de refugiados. O direito brasileiro apresenta algumas vulnerabilidades para o cumprimento da obrigação aut dedere aut iudicare e a prática judicial brasileira relativa à extradição de acusados de atos de terrorismo poderia reportar-se mais ao direito internacional, com vistas a evitar o risco de violação de obrigações internacionais pelo Brasil. / Even though the effective struggle against the secular plague of terrorism can assume many forms, it cannot leave out the aspect of the criminal repression of its perpetrators. In view of the intense internationalisation of terrorism since the 20th Century, international legal co-operation in criminal matters (extradition included) consolidates itself as an instrument of crucial importance to the repression of terrorism by the international community, with the advantage of safeguarding the rule of law and, therefore, guaranteeing international peace and security. The evolution of the approach of the crime of terrorism by transnational criminal law influenced by the law of collective security, especially since the September 11th 2001 attacks exerted an expressive impact on extradition law. The understanding of this effect is essential to extract from the institute of extradition all its potential regarding the criminal repression of terrorism. Once certain requisites are present, a conduct of terrorist character according to international parameters creates the State obligation to extradite or prosecute its perpetrator, even in the absence of a treaty. Moreover, the extradition carried out or not as a consequence of a treaty obligation has its principles affected by the international obligation of repression of terrorism when it concerns particularly to matters such as extraditability, extradition for political offences and extradition of refugees. Brazilian law has vulnerabilities concerning the compliance of the aut dedere aut iudicare obligation and the Brazilian judicial practice regarding the extradition of accused of acts of terrorism could refer more to international law, in order to avoid the risk of violation of international obligations by Brazil.

Alguns casos de extradição julgados pelo STF possuem especial relevância por apreciarem a ocorrência dos crimes internacionais. Assim, o estudo dessas decisões mostra-se importante para que se possa averiguar o efetivo exercício do direito internacional penal, que regula o tratamento especial dado a estes crimes. A presente Tese tem por objetivo averiguar a incidência das normas de direito internacional penal nos julgamentos do STF de pedidos de extradição. Apresenta-se, ainda, o impacto que o entendimento firmado nesses casos tem surtido no julgamento de outras ações, inclusive por outras esferas do Poder Judiciário brasileiro. Também é possível realizar um comparativo com o quanto decidido no julgamento da ADPF nº 153, em que se reafirmou a validade da lei de anistia brasileira, que, por sua vez, extinguiu a punibilidade dos crimes internacionais cometidos durante o Regime Militar no Brasil. Por fim, a partir desses estudos, enfatiza-se a necessidades de dar efetiva aplicação ao direito internacional penal nos julgamentos realizados no âmbito do STF. / Some extradition cases trialed at Brazil Supreme Court of Justice show special relevance because they deal with international crimes. Therefore, the study of these judicial decisions is important so that it can be possible to verify the effectiveness of International Criminal Law, which regulates the special treatment given to those crimes. The present Thesis aims to examine the incidence of the rules and principles of international criminal law by Brazilian Supreme Court at extradition trials. It also presents the impacts of the understanding exposed in those trials on other cases and actions, subjected to other organs of Brazils Judiciary system. It is either possible to create a comparative between the jurisprudence of extradition cases and what has been decided at the ADPF nº 153, reaffirming Brazilian amnesty law, which has granted amnesty to international crimes committed during Brazils military regime. Finally, trough these reviews, it emphasizes the need to give real enforcement to international criminal law when Brazils Supreme Court analyzes extradition requests.

O combate efetivo ao flagelo secular do terrorismo, ainda que possa se revestir de muitas formas, não prescinde da repressão penal de seus autores. Em vista da maciça internacionalização do terrorismo, a partir do Século XX, a cooperação jurídica internacional em matéria penal (aí incluída a extradição) consolida-se como instrumento de essencial importância para a repressão do terrorismo pela comunidade internacional, com a vantagem de resguardar o domínio do direito e, por conseguinte, de assegurar a paz e a segurança internacionais. A evolução do tratamento do crime de terrorismo pelo direito penal transnacional influenciada pelo direito da segurança coletiva, especialmente a partir dos atentados de 11 de setembro de 2001 exerceu expressivo impacto no direito extradicional. O entendimento desse efeito é fundamental para extrair-se do instituto da extradição todo o seu potencial para a repressão penal do terrorismo. Desde que presentes determinados requisitos, uma conduta de caráter terrorista à luz de parâmetros internacionais gera a obrigação estatal de extraditar ou processar seu autor, mesmo na ausência de tratado. Além disso, a extradição exercida ou não em decorrência de obrigação convencional tem seus princípios afetados pela obrigação internacional de repressão do terrorismo, particularmente no que se refere a questões como extraditabilidade, extradição por crimes políticos e extradição de refugiados. O direito brasileiro apresenta algumas vulnerabilidades para o cumprimento da obrigação aut dedere aut iudicare e a prática judicial brasileira relativa à extradição de acusados de atos de terrorismo poderia reportar-se mais ao direito internacional, com vistas a evitar o risco de violação de obrigações internacionais pelo Brasil. / Even though the effective struggle against the secular plague of terrorism can assume many forms, it cannot leave out the aspect of the criminal repression of its perpetrators. In view of the intense internationalisation of terrorism since the 20th Century, international legal co-operation in criminal matters (extradition included) consolidates itself as an instrument of crucial importance to the repression of terrorism by the international community, with the advantage of safeguarding the rule of law and, therefore, guaranteeing international peace and security. The evolution of the approach of the crime of terrorism by transnational criminal law influenced by the law of collective security, especially since the September 11th 2001 attacks exerted an expressive impact on extradition law. The understanding of this effect is essential to extract from the institute of extradition all its potential regarding the criminal repression of terrorism. Once certain requisites are present, a conduct of terrorist character according to international parameters creates the State obligation to extradite or prosecute its perpetrator, even in the absence of a treaty. Moreover, the extradition carried out or not as a consequence of a treaty obligation has its principles affected by the international obligation of repression of terrorism when it concerns particularly to matters such as extraditability, extradition for political offences and extradition of refugees. Brazilian law has vulnerabilities concerning the compliance of the aut dedere aut iudicare obligation and the Brazilian judicial practice regarding the extradition of accused of acts of terrorism could refer more to international law, in order to avoid the risk of violation of international obligations by Brazil.