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- NOTICE: This opinion is subject to formal revision before publication in the
- preliminary print of the United States Reports. Readers are requested to
- notify the Reporter of Decisions, Supreme Court of the United States, Wash-
- ington, D.C. 20543, of any typographical or other formal errors, in order that
- corrections may be made before the preliminary print goes to press.
- SUPREME COURT OF THE UNITED STATES
- --------
- No. 91-712
- --------
- UNITED STATES, PETITIONER v. HUMBERTO
- ALVAREZ-MACHAIN
- on writ of certiorari to the united states court of
- appeals for the ninth circuit
- [June 15, 1992]
-
- The Chief Justice delivered the opinion of the Court.
- The issue in this case is whether a criminal defendant,
- abducted to the United States from a nation with which it
- has an extradition treaty, thereby acquires a defense to the
- jurisdiction of this country's courts. We hold that he does
- not, and that he may be tried in federal district court for
- violations of the criminal law of the United States.
- Respondent, Humberto Alvarez-Machain, is a citizen and
- resident of Mexico. He was indicted for participating in the
- kidnap and murder of United States Drug Enforcement
- Administration (DEA) special agent Enrique Camarena-
- Salazar and a Mexican pilot working with Camarena,
- Alfredo Zavala-Avelar. The DEA believes that respondent,
- a medical doctor, participated in the murder by prolonging
- agent Camarena's life so that others could further torture
- and interrogate him. On April 2, 1990, respondent was
-
- forcibly kidnapped from his medical office in Guadalajara,
- Mexico, to be flown by private plane to El Paso, Texas,
- where he was arrested by DEA officials. The District Court
- concluded that DEA agents were responsible for respond-
- ent's abduction, although they were not personally involved
- in it. United States v. Caro-Quintero, 745 F. Supp. 599,
- 602-604, 609 (CD Cal. 1990).
- Respondent moved to dismiss the indictment, claiming
- that his abduction constituted outrageous governmental
- conduct, and that the District Court lacked jurisdiction to
- try him because he was abducted in violation of the
- extradition treaty between the United States and Mexico.
- Extradition Treaty, May 4, 1978, [1979] United States-
- United Mexican States, 31 U. S. T. 5059, T. I. A. S. No.
- 9656 (Extradition Treaty or Treaty). The District Court
- rejected the outrageous governmental conduct claim, but
- held that it lacked jurisdiction to try respondent because
- his abduction violated the Extradition Treaty. The district
- court discharged respondent and ordered that he be
- repatriated to Mexico. Caro-Quintero, supra, at 614.
- The Court of Appeals affirmed the dismissal of the
- indictment and the repatriation of respondent, relying on
- its decision in United States v. Verdugo-Urquidez, 939 F. 2d
- 1341 (CA9 1991), cert. pending, No. 91-670. 946 F. 2d 1466
- (1991). In Verdugo, the Court of Appeals held that the
- forcible abduction of a Mexican national with the authoriza-
- tion or participation of the United States violated the
- Extradition Treaty between the United States and Mexico.
- Although the Treaty does not expressly prohibit such
- abductions, the Court of Appeals held that the -purpose- of
- the Treaty was violated by a forcible abduction, 939 F. 2d,
- at 1350, which, along with a formal protest by the offended
- nation, would give a defendant the right to invoke the
- Treaty violation to defeat jurisdiction of the district court to
- try him. The Court of Appeals further held that the
- proper remedy for such a violation would be dismissal of the
- indictment and repatriation of the defendant to Mexico.
- In the instant case, the Court of Appeals affirmed the
- district court's finding that the United States had autho-
- rized the abduction of respondent, and that letters from the
- Mexican government to the United States government
- served as an official protest of the Treaty violation.
- Therefore, the Court of Appeals ordered that the indictment
- against respondent be dismissed and that respondent be
- repatriated to Mexico. 946 F. 2d, at 1467. We granted
- certiorari, 502 U. S. -- (1992), and now reverse.
- Although we have never before addressed the precise
- issue raised in the present case, we have previously
- considered proceedings in claimed violation of an extradi-
- tion treaty, and proceedings against a defendant brought
- before a court by means of a forcible abduction. We
- addressed the former issue in United States v. Rauscher,
- 119 U. S. 407 (1886); more precisely, the issue of whether
- the Webster-Ashburton Treaty of 1842, 8 Stat. 576, which
- governed extraditions between England and the United
- States, prohibited the prosecution of defendant Rauscher for
- a crime other than the crime for which he had been
- extradited. Whether this prohibition, known as the doctrine
- of specialty, was an intended part of the treaty had been
- disputed between the two nations for some time. Rauscher,
- 119 U.S., at 411. Justice Miller delivered the opinion of the
- Court, which carefully examined the terms and history of
- the treaty; the practice of nations in regards to extradition
- treaties; the case law from the states; and the writings of
- commentators, and reached the following conclusion:
- -[A] person who has been brought within the jurisdic-
- tion of the court by virtue of proceedings under an
- extradition treaty, can only be tried for one of the
- offences described in that treaty, and for the offence
- with which he is charged in the proceedings for his
- extradition, until a reasonable time and opportunity
- have been given him, after his release or trial upon
- such charge, to return to the country from whose
- asylum he had been forcibly taken under those proceed-
- ings.- Id., at 430 (emphasis added).
- In addition, Justice Miller's opinion noted that any doubt as
- to this interpretation was put to rest by two federal statutes
- which imposed the doctrine of specialty upon extradition
- treaties to which the United States was a party. Id., at
- 423. Unlike the case before us today, the defendant in
- Rauscher had been brought to the United States by way of
- an extradition treaty; there was no issue of a forcible
- abduction.
- In Ker v. Illinois, 119 U. S. 436 (1886), also written by
- Justice Miller and decided the same day as Rauscher, we
- addressed the issue of a defendant brought before the court
- by way of a forcible abduction. Frederick Ker had been
- tried and convicted in an Illinois court for larceny; his
- presence before the court was procured by means of forcible
- abduction from Peru. A messenger was sent to Lima with
- the proper warrant to demand Ker by virtue of the extradi-
- tion treaty between Peru and the United States. The
- messenger, however, disdained reliance on the treaty
- processes, and instead forcibly kidnapped Ker and brought
- him to the United States. We distinguished Ker's case
- from Rauscher, on the basis that Ker was not brought into
- the United States by virtue of the extradition treaty
- between the United States and Peru, and rejected Ker's
- argument that he had a right under the extradition treaty
- to be returned to this country only in accordance with its
- terms. We rejected Ker's due process argument more
- broadly, holding in line with -the highest authorities- that
- -such forcible abduction is no sufficient reason why the
- party should not answer when brought within the jurisdic-
- tion of the court which has the right to try him for such an
- offence, and presents no valid objection to his trial in such
- court.- Ker, supra, at 444.
- In Frisbie v. Collins, 342 U. S. 519, rehearing denied, 343
- U. S. 937 (1952), we applied the rule in Ker to a case in
- which the defendant had been kidnapped in Chicago by
- Michigan officers and brought to trial in Michigan. We
- upheld the conviction over objections based on the due
- process clause and the Federal Kidnapping Act and stated:
- -This Court has never departed from the rule an-
- nounced in [Ker] that the power of a court to try a
- person for crime is not impaired by the fact that he had
- been brought within the court's jurisdiction by reason
- of a `forcible abduction.' No persuasive reasons are now
- presented to justify overruling this line of cases. They
- rest on the sound basis that due process of law is
- satisfied when one present in court is convicted of
- crime after having been fairly apprized of the charges
- against him and after a fair trial in accordance with
- constitutional procedural safeguards. There is nothing
- in the Constitution that requires a court to permit a
- guilty person rightfully convicted to escape justice
- because he was brought to trial against his will.-
- Frisbie, supra, at 522 (citation and footnote omitted).
- The only differences between Ker and the present case
- are that Ker was decided on the premise that there was no
- governmental involvement in the abduction, 119 U. S., at
- 443; and Peru, from which Ker was abducted, did not object
- to his prosecution. Respondent finds these differences to
- be dispositive, as did the Court of Appeals in Verdugo, 939
- F. 2d, at 1346, contending that they show that respondent's
- prosecution, like the prosecution of Rauscher, violates the
- implied terms of a valid extradition treaty. The Govern-
- ment, on the other hand, argues that Rauscher stands as an
- -exception- to the rule in Ker only when an extradition
- treaty is invoked, and the terms of the treaty provide that
- its breach will limit the jurisdiction of a court. Brief for
- United States 17. Therefore, our first inquiry must be
- whether the abduction of respondent from Mexico violated
- the extradition treaty between the United States and
- Mexico. If we conclude that the Treaty does not prohibit
- respondent's abduction, the rule in Ker applies, and the
- court need not inquire as to how respondent came before it.
- In construing a treaty, as in construing a statute, we first
- look to its terms to determine its meaning. Air France v.
- Saks, 470 U. S. 392, 397 (1985); Valentine v. United States
- ex. rel. Neidecker, 299 U. S. 5, 11 (1936). The Treaty says
- nothing about the obligations of the United States and
- Mexico to refrain from forcible abductions of people from
- the territory of the other nation, or the consequences under
- the Treaty if such an abduction occurs. Respondent
- submits that Article 22(1) of the Treaty which states that
- it -shall apply to offenses specified in Article 2 [including
- murder] committed before and after this Treaty enters into
- force,- 31 U. S. T., at 5073-5074, evidences an intent to
- make application of the Treaty mandatory for those
- offenses. However, the more natural conclusion is that
- Article 22 was included to ensure that the Treaty was
- applied to extraditions requested after the Treaty went into
- force, regardless of when the crime of extradition
- occurred.
- More critical to respondent's argument is Article 9 of the
- Treaty which provides:
- ``1. Neither Contracting Party shall be bound to deliver
- up its own nationals, but the executive authority of the
- requested Party shall, if not prevented by the laws of
- that Party, have the power to deliver them up if, in its
- discretion, it be deemed proper to do so.
- ``2. If extradition is not granted pursuant to paragraph
- 1 of this Article, the requested Party shall submit the
- case to its competent authorities for the purpose of
- prosecution, provided that Party has jurisdiction over
- the offense.'' Id., at 5065.
- According to respondent, Article 9 embodies the terms of
- the bargain which the United States struck: if the United
- States wishes to prosecute a Mexican national, it may
- request that individual's extradition. Upon a request from
- the United States, Mexico may either extradite the individ-
- ual, or submit the case to the proper authorities for
- prosecution in Mexico. In this way, respondent reasons,
- each nation preserved its right to choose whether its
- nationals would be tried in its own courts or by the courts
- of the other nation. This preservation of rights would be
- frustrated if either nation were free to abduct nationals of
- the other nation for the purposes of prosecution. More
- broadly, respondent reasons, as did the Court of Appeals,
- that all the processes and restrictions on the obligation to
- extradite established by the Treaty would make no sense if
- either nation were free to resort to forcible kidnapping to
- gain the presence of an individual for prosecution in a
- manner not contemplated by the Treaty. Verdugo, supra,
- at 1350.
- We do not read the Treaty in such a fashion. Article 9
- does not purport to specify the only way in which one
- country may gain custody of a national of the other country
- for the purposes of prosecution. In the absence of an
- extradition treaty, nations are under no obligation to
- surrender those in their country to foreign authorities for
- prosecution. Rauscher, 119 U. S., at 411-412; Factor v.
- Laubenheimer, 290 U. S. 276, 287 (1933); cf. Valentine v.
- United States ex. rel. Neidecker, supra, at 8-9 (United
- States may not extradite a citizen in the absence of a
- statute or treaty obligation). Extradition treaties exist so
- as to impose mutual obligations to surrender individuals in
- certain defined sets of circumstances, following established
- procedures. See 1 J. Moore, A Treatise on Extradition and
- Interstate Rendition, 72 (1891). The Treaty thus provides
- a mechanism which would not otherwise exist, requiring,
- under certain circumstances, the United States and Mexico
- to extradite individuals to the other country, and establish-
- ing the procedures to be followed when the Treaty is
- invoked.
- The history of negotiation and practice under the Treaty
- also fails to show that abductions outside of the Treaty
- constitute a violation of the Treaty. As the Solicitor
- General notes, the Mexican government was made aware,
- as early as 1906, of the Ker doctrine, and the United States'
- position that it applied to forcible abductions made outside
- of the terms of the United States-Mexico extradition
- treaty. Nonetheless, the current version of the Treaty,
- signed in 1978, does not attempt to establish a rule that
- would in any way curtail the effect of Ker. Moreover,
- although language which would grant individuals exactly
- the right sought by respondent had been considered and
- drafted as early as 1935 by a prominent group of legal
- scholars sponsored by the faculty of Harvard Law School,
- no such clause appears in the current treaty.
- Thus, the language of the Treaty, in the context of its
- history, does not support the proposition that the Treaty
- prohibits abductions outside of its terms. The remaining
- question, therefore, is whether the Treaty should be
- interpreted so as to include an implied term prohibiting
- prosecution where the defendant's presence is obtained by
- means other than those established by the Treaty. See
- Valentine, 299 U. S., at 17 (-Strictly the question is not
- whether there had been a uniform practical construction
- denying the power, but whether the power had been so
- clearly recognized that the grant should be implied-).
- Respondent contends that the Treaty must be interpreted
- against the backdrop of customary international law, and
- that international abductions are -so clearly prohibited in
- international law- that there was no reason to include such
- a clause in the Treaty itself. Brief for Respondent 11. The
- international censure of international abductions is further
- evidenced, according to respondent, by the United Nations
- Charter and the Charter of the Organization of American
- States. Id., at 17. Respondent does not argue that these
- sources of international law provide an independent basis
- for the right respondent asserts not to be tried in the
- United States, but rather that they should inform the
- interpretation of the Treaty terms.
- The Court of Appeals deemed it essential, in order for the
- individual defendant to assert a right under the Treaty,
- that the affected foreign government had registered a
- protest. Verdugo, 939 F. 2d, at 1357 (-in the kidnapping
- case there must be a formal protest from the offended
- government after the kidnapping-). Respondent agrees that
- the right exercised by the individual is derivative of the
- nation's right under the Treaty, since nations are autho-
- rized, notwithstanding the terms of an extradition treaty,
- to voluntarily render an individual to the other country on
- terms completely outside of those provided in the Treaty.
- The formal protest, therefore, ensures that the -offended-
- nation actually objects to the abduction and has not in some
- way voluntarily rendered the individual for prosecution.
- Thus the Extradition Treaty only prohibits gaining the
- defendant's presence by means other than those set forth in
- the Treaty when the nation from which the defendant was
- abducted objects.
- This argument seems to us inconsistent with the
- remainder of respondent's argument. The Extradition
- Treaty has the force of law, and if, as respondent asserts, it
- is self-executing, it would appear that a court must enforce
- it on behalf of an individual regardless of the offensiveness
- of the practice of one nation to the other nation. In
- Rauscher, the Court noted that Great Britain had taken the
- position in other cases that the Webster-Ashburton Treaty
- included the doctrine of specialty, but no importance was
- attached to whether or not Great Britain had protested the
- prosecution of Rauscher for the crime of cruel and unusual
- punishment as opposed to murder.
- More fundamentally, the difficulty with the support
- respondent garners from international law is that none of
- it relates to the practice of nations in relation to extradition
- treaties. In Rauscher, we implied a term in the Webster-
- Ashburton Treaty because of the practice of nations with
- regard to extradition treaties. In the instant case, respon-
- dent would imply terms in the extradition treaty from the
- practice of nations with regards to international law more
- generally. Respondent would have us find that the
- Treaty acts as a prohibition against a violation of the
- general principle of international law that one government
- may not -exercise its police power in the territory of
- another state.- Brief for Respondent 16. There are many
- actions which could be taken by a nation that would violate
- this principle, including waging war, but it cannot seriously
- be contended an invasion of the United States by Mexico
- would violate the terms of the extradition treaty between
- the two nations.
- In sum, to infer from this Treaty and its terms that it
- prohibits all means of gaining the presence of an individual
- outside of its terms goes beyond established precedent and
- practice. In Rauscher, the implication of a doctrine of
- specialty into the terms of the Webster-Ashburton treaty
- which, by its terms, required the presentation of evidence
- establishing probable cause of the crime of extradition
- before extradition was required, was a small step to take.
- By contrast, to imply from the terms of this Treaty that it
- prohibits obtaining the presence of an individual by means
- outside of the procedures the Treaty establishes requires a
- much larger inferential leap, with only the most general of
- international law principles to support it. The general
- principles cited by respondent simply fail to persuade us
- that we should imply in the United States-Mexico Extradi-
- tion Treaty a term prohibiting international abductions.
- Respondent and his amici may be correct that respond-
- ent's abduction was -shocking,- Tr. of Oral Arg. 40, and that
- it may be in violation of general international law princi-
- ples. Mexico has protested the abduction of respondent
- through diplomatic notes, App. 33-38, and the decision of
- whether respondent should be returned to Mexico, as a
- matter outside of the Treaty, is a matter for the Executive
- Branch. We conclude, however, that respondent's abduc-
- tion was not in violation of the Extradition Treaty between
- the United States and Mexico, and therefore the rule of Ker
- v. Illinois is fully applicable to this case. The fact of
- respondent's forcible abduction does not therefore prohibit
- his trial in a court in the United States for violations of the
- criminal laws of the United States.
- The judgment of the Court of Appeals is therefore
- reversed, and the case is remanded for further proceedings
- consistent with this opinion.
- So ordered.
-