Leonardo
Aravena Arredondo is Professor of Procedural Law at Universidad
Central de Chile and is International Justice Coordinator for
Amnesty International Chile. The following article is the second
chapter of his book, "Derecho Procesal I, General y Organico"
soon to be published by LexisNexis.
Mr. Aravena presented a synopsis of this essay as his participation
in a Panel Discussion sponsored June 7, 2005 by the American
Association of Jurists, Chilean Branch, on the sentence the
Third Penal Chamber of the Spanish High Court (Audiencia Nacional
) issued for crimes committed by Argentine Adolfo Scilingo.
In the study of Procedural Law, at the dawn of the twenty-first
century, we encounter new concepts deriving from globalization
of law as well as global interests of countries and societies,
increasingly interrelated and connected. Therefore, it is
appropriate that we analyze the concept of "universal jurisdiction"
that has gained greater force as a result of daily occurrences
in the lives of nations, particularly due to implications
for individual rights of persons. The courts are increasingly
inclined to issue sentences that reflect consideration for
the rights of men, and respect for life as the most basic
of human rights. Constitutions recognize life as the most
fundamental of rights and the duty of States to take actions
designed to protect life from aggression. (Supreme Court,
30 August 2001 y C. de Santiago, 28 May 2001, "Revista de
Derecho y Jurisprudencia", Tomo XCVIII, Secci—n Quinta, page
199, Editorial Juridica de Chile.)
Two factors are particularly relevant to the evolution and
increasing acceptance of universal jurisdiction in the community
of nations and persons. First, we have seen mounting consensus
that impunity is inadmissible in regards to atrocities committed
in all latitudes of the globe. The widespread coverage of
such acts in the mass communications media has contributed
to the growth of this trend. Second, a latent international
memory or conscience fosters acceptance of common law norms
that condemn such conduct in any part of the world. In regards
to impunity, in the more than 50 years since the end of the
Second World War, most perpetrators of countless human rights
violations have not been subject to justice. National governmental
officials have been unwilling or incapable of bringing these
crimes to courts of law. In any case, in the past, there was
no international tribunal to turn to. The relation between
impunity and the persistence of human rights violations is
more than clear. Impunity permits human rights violations
to become blueprints for abuse. Impunity also results in a
disregard for law, fostering ever more blatant human rights
violations. "We have seen cyclical violence that flares and
is extinguished without ever going to justice. Rights, rage
and anguish of victims are simply been ignored. Therefore,
hatred is on the rise... " (Richard Goldstone, Judge of the
South Africa Constitutional Court, and Prosecuter for the
Internacional Criminal Tribunal for the former Yugoslavia.)
International Criminal Law has gained a greater stronghold
(Všlkerstrafrecht). The term was first coined by Beling (Jesche,
k/Weigend, Parte General ,1996, note 4, page 119, cited by
Kai Ambos.). According to Kai Ambos ("La Parte General del
Derecho Panel Internacional", page 34, "Fundaci—n Konrad Adenauer"
Oficina Montevideo, Uruguay, Spanish translation of the abridged
and updated "Der Allgemeine Teil des Všlkerstrafrechts: AnsŠtze
einer Dogmatisierung", Duncker und Humbolt, Berlin, Germany,
2002 and 2004.) it refers to "the set of international law
norms that set forth legal and penal consequences", and submits
individual conduct to sanctions under international law, in
the context of direct penal responsibility. This is notwithstanding
expanded competency following ratification of the Statutes
of Rome of the International Penal Court. (International treaty
adopted in Rome in 1998 under the auspices of the United Nations
gave rise to the International Criminal Court. Chile subscribed
but has not ratified the treaty.), extending it to other areas
adjacent to criminal law: punishment, enforcement
of judgment,
international cooperation and legal assistance. It also encompasses
new concepts in criminal procedure and issues of judicial
organization. "Thus we find not only a new and autonomous
international legal-criminal framework, but also an expanded
framework." International criminal law can arise from the
ratification of multilateral treaties or through the creation
of common law or general principles of law.
Universal jurisdiction may be traced to 1945, when the Allied
nations exercised universal jurisdiction in crimes against
humanity and war crimes, when such acts were committed during
an armed conflict but not in their own territory and did not
effect their own citizens or residents.
"The post-war period saw the development of an area of international
public law that became increasingly important: international
human rights law. Internationalization of human rights was
not a minor phenomenon; rather it represented a change of
paradigm that bore much more weight than the judicial transformations
of the twentieth century." (Zaffaroni, Eugenio R., Alejandro
Aliaga y Alejandro Slokar, "Derecho Penal Parte General",
p‡gina 194, Editorial Ediar, Buenos Aires, 2000) However,
during the half-century that transpired since then, only a
small number of States incorporated such crimes as part of
domestic law. Israel, Australia, Canada and the United Kingdom
exercised the principle at one time or another in crimes committed
during the war. International human rights law and its direct
implications for the rights of victims and perpetrators is
directly related to international criminal law. However, the
two must not be confused; just as international protection
of human rights must not be confused with criminal justice.
(Interamerican Human Rights Court, Caso Cantoral Benavides,
August 18, 2000, "Revista de Derecho y Jurisprudencia", Tomo
XCVII, Seccion Sexta, Editorial Juridica de Chile.)
Traditionally, courts of a State have competence only over
persons who commit a crime within national borders (territorial
jurisdiction); but international law has begun to recognize
that courts may exercise certain forms of extraterritorial
jurisdiction. These may include crimes committed beyond national
borders by a citizen (personal jurisdiction) of the country,
crimes that affect basic interests of a State in terms of
security (jurisdiction through the principle of protection),
and crimes committed against citizens of the State (jurisdiction
over the passive individual).
High sea piracy, airline hijacking and international terrorism
are acts that foster recognition that the courts of a given
State may exercise jurisdiction, in name of the international
community, over certain serious crimes that threaten international
of law. All States in which individuals are suspected of having
committed such crimes may bring them to trial. In March 2004,
the Spanish Supreme Court overturned a ruling from the Audiencia
Nacional criminal law bench to permit a Chilean retired general
and a former Defense Minister to stand trial in Spain for
crimes of genocide, terrorism and torture committed in Chile
against Spanish diplomat Carmelo Soria, murdered in Santiago
in 1976.
Argentine military officer Adolfo Francisco Scilingo Manzorro
was arrested in Spain and accused of crimes against humanity
during the military dictatorship of Argentina. In April 2005,
Scilingo was sentenced as author of crimes against humanity,
constituted by his responsibility in 30 perfidious murders,
illegal arrests, and torture. The sentence is founded on the
principle of universal criminal jurisdiction, in the sense
that jurisdictional borders are non-existent when it comes
to crimes against humanity. The ruling clearly establishes
jurisdiction of European civil courts to try this type of
crime.
The Geneva Conventions of 1949 protect victims of armed conflicts
and have achieved acceptance throughout the world. The Geneva
Conventions demand that each State party to the treaty seek
and apprehend individuals who commit or order others to commit
serious human rights violations. Suspects must be brought
to trial in national courts, extradited to another State,
or delivered to an international criminal court. The Conventions
call for prosecution of individuals who, during international
armed conflicts, commit crimes against persons protected by
the treaty such as shipwrecked military, naval personnel,
wounded soldiers, civilians and prisoners of war. The Geneva
Conventions also condemn criminal actions such as first degree
murder, torture or inhumane treatment, including biological
experiments, and deliberately causing suffering or serious
physical or psychological harm. Other crimes include the destruction
and the illicit or arbitrary large-scale expropriation of
property not justifiable by military needs. Forcing a prisoner
of war or inhabitant of an occupied territory to serve in
hostile armed forces, deliberately depriving a prisoner of
war or inhabitant of an occupied territory of the right to
a fair trial in civilian courts, the taking of hostages and
deportation or illegal transfer or confinement of an inhabitant
of an occupied territory are crimes as well.
Today many nations recognize that international common law
doctrine as well as general principles of law, provide States
with grounds to exercise universal jurisdiction over individuals
charged with committed acts of genocide, crimes against humanity,
and other war crimes beyond the serious violations outlawed
by the Geneva Conventions. Universal jurisdiction is also
applicable in war crimes committed in non international conflicts,
summary executions, forced disappearances, and torture. Increasingly,
we come to understand that States not only have authority
to exercise universal jurisdiction in such crimes, but also,
the duty to do so or to extradite perpetrators to States that
are capable of exercising that jurisdiction. The Convention
against Torture and Other Cruel, Inhumane, or Degrading Treatment
or Punishment adopted December 10, 1984, demands that States
party to the treaty try these individuals, who are found within
their national territory, their own courts or else extradite
them to a State where they may be brought to trial. The Convention
establishes this obligation under the concept of Universal
Jurisdiction, under clauses b and c and number 1 of article
5.
During many years, few countries granted courts universal
jurisdiction on the basis of domestic law. Later, several
States, including most countries of Latin America, passed
laws that stipulated the exercise of universal jurisdiction
over certain crimes set forth by international law committees
after the Second World War. Germany, Austria, Belgium, Bolivia,
Brazil, Canada, Chile, Colombia, Costa Rica, Denmark, Ecuador,
El Salvador, Spain, France, Guatemala, Honduras, Mexico, Nicaragua,
Norway, Panama, Peru, Switzerland, Uruguay and Venezuela all
have universal jurisdiction statutes. However, few have ever
exercised this jurisdiction.
International criminal law has drawn primarily from common
law doctrine, notably; in relation to certain types of crimes
not on the books but which are founded on international custom.
This would seem to be a flagrant violation of the principle
of nullum crimen. However, treaties such as the 1966 International
Pact on Civil and Political Rights in its article 15, the
1948 Universal Declaration of Rights of Man in article 11,
and the European Convention on Human Rights, in article 7,
establish that a conduct may be imputable "under general principles
of law recognized by the international community." This situation
has lost ground since the codification of crimes and description
of imputable conduct, comprised by the so-called "elements
of crimes," largely in the context of the International Criminal
Court.
A landmark development in this respect was the creation of
International Criminal Courts for the former Yugoslavia and
Rwanda in 1993 and 1994, respectively. Since then, States
have begun to comply with the obligations set forth by international
law by enacting laws that permit their courts to exercise
universal jurisdiction over serious crimes, thus fulfilling
the hopes generated 50 years ago by the Nuremberg International
Military Tribunal. In Germany, Austria, Denmark, the Netherlands,
Switzerland, and Sweden courts have exercised jurisdiction
to investigate and initiate trials for genocide, crimes against
humanity or war crimes committed in Rwanda in 1994, in response
to UN Security Council Resolution 978. That Resolution obliges
States to arrest and imprison, as set forth in domestic law
and international law, individuals who are sought by the Rwanda
Tribunal or by national officials individuals who are discovered
within their territory and for whom there is probable cause
of responsibility in actions that fall under the competence
of that court. Italy and Switzerland have investigated cases
of torture, summary execution, and forced disappearances occurred
in Argentina in the 1970s and 1980s. Spain, Belgium, France
and Switzerland have requested the extradition from United
Kingdom of former Chilean Chief of State, who is charged with
such crimes. On March 24, 1999, the House of Lords ruled that
he did not have procedural immunity from charges of torture
and conspiracy to commit torture, and the Home Secretary allowed
British courts to review the Spanish petition for extradition.
The situation in Latin America has been different. Nations
have resisted change and aperture to internationalization
of certain aspects of justice. This attitude may stem perhaps
from an ancestral and territorial nationalism and an excessive
zeal regarding each nationality and territory, so frequently
the motive for neighborly aggression. Judicial maturity made
possible that countries with very different histories and
cultures such as France, Germany, England, Greece and Turkey
came together to form the European Community. That judicial
maturity is absent in our countries of Latin America.
We must foster processes of change in legal thinking and value
the principle of preeminence of human rights, through debate
and understanding of international human rights treaties.
This requires not just a change in law. Rather, our continent
requires cultural transformation that engenders modernization
and human development without biases or complexes. Professor
Zaffaroni, in explaining the resistance to change so pervasive
in our countries, states that "in Latin America a certain
doctrinaire sector is intent upon minimizing the importance
of international human rights law. This is a sector influenced
by a formalistic legal education or authors associated with
political positions or groups responsible for most grave disregard
of legal protection of human dignity."
The international community must work to suppress existing
differences in international protection. Legislative bodies
of States that are parties to the Statutes of Rome must enact
regulations that allow countries to turn over to the Court
persons accused of such crimes and compel national officials
to cooperate. Once countries ratify these treaties, they must
take measures to ensure that their courts can effectively
respond and complement the International Criminal Court. To
achieve this, not only must they define the crimes that come
under competency of the Court as crimes codified in domestic
law to come in compliance with the Statutes of Rome. They
must also vest national courts with universal jurisdiction
over serious crimes under international law. Such measures
strengthen an integral system of investigation and trial,
thereby contributing to the reduction and eventually elimination
of islands of protection for individuals who commit the worst
crimes in the world. International Criminal Court jurisdiction
is corrective and substitutive or supplementary to the jurisdiction
of States party to the Statutes, and in some cases may review
rulings issued by national courts. The International Criminal
Court has characteristics of an extra-national, permanent
court and exercises jurisdiction over individuals.
The influence of universal jurisdiction in domestic Chilean
law has already left its mark on our statutes. The final clause
of article 250 of the Code of Criminal Procedure, which refers
to the permanent dismissal a judge may order, states that
"the judge shall not dictate permanent dismissal in crimes
that, under international treaties ratified Chile and in effect,
are not subject to statutes of limitation nor amnesty, with
exception of cases that come under numbers 1 and 2 of article
93 of the Criminal Code."
The
Statutes of Rome establish the inapplicability of statutes
of limitation and amnesty laws. As a party to that treaty,
and in light of article 18 of the Vienna Convention of 1969
on the Treaty Law, Chile is obligated not to frustrate the
spirit and purpose of the treaty before it comes into effect.
The failure to prosecute the various situations described
in the International Criminal Court Statute, specifically
in articles 27, 28 and 33, among others, would severely damage
the Treaty. Consequently, the final article cited must be
fully enforced in regards to genocide, war crimes and crimes
against humanity.
Likewise, when the Convention on the Forced Disappearance
of Persons codifies this crime as "international," it has
juridical consequences for the responsibilities of individual
and States. Such responsibilities include the inadmissibility
of the due obedience as extenuating factor, the inapplicability
of statutes of limitation on penal action and other. Moreover,
the "Convention against Torture," as ratified by Chile, contains
norms that internationalize the prosecution of torturers.
Its article 4 establishes that acts of torture, any attempt
to commit torture as well as complicity or participation in
torture, must be codified and punished by domestic legislation.
Clause 1 of the following article adds that all State Parties
shall take actions as necessary to incorporate within their
jurisdiction the crimes described in article 4, indicating
the specific cases that correspond and come under letter c
of article 5. Thus, the Convention distances itself from the
idea of national jurisdiction as related to territory and
mandating the State to exercise extra national and extra territorial
jurisdiction, "when the victim is a citizen of that State
and is considered appropriate."
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