RAYMOND A. JACKSON, District Judge.
Before the Court is the Joint Motion of Defendants to Dismiss Count One of the Superseding Indictment pursuant to Rule 12(b)(2) of the Federal Rules of Criminal Procedure. The Court held a hearing on this motion on July 29, 2010. For the reasons stated herein, the Defendants' Motion to Dismiss Count One is
Defendants were named in a live-count Indictment on April 21, 2010. On July 7, 2010, the Government filed an eight-count Superseding Indictment. The Government alleges that on or about April 10, 2010, around 5:00 a.m., Defendants approached the USS Ashland in a small skiff in the Gulf of Aden. As Defendants' skiff became even with the USS Ashland on the USS Ashland's port side, at least one person
On June 9, 2010, Defendants filed the above-referenced motion. The Government filed a response to this motion on June 21, 2010. Defendants filed a reply on June 28, 2010. A hearing was held on this matter on July 29, 2010. All Defendants jointly move the Court to dismiss Count One of the Superseding Indictment, which alleges that Defendants "committed the crime of piracy as defined by the law of nations," in violation of 18 U.S.C. § 1651. Defendants argue that the Count should be dismissed pursuant to Rule 12(b)(2) of the Federal Rules of Criminal Procedure because under no set of facts was the offense of "piracy" committed where Defendants did not board or take control of the USS Ashland and did not obtain anything of value from it. (Def.'s Mot. to Dismiss 1.) The Government argues in response that this motion should be denied because piracy has historically included different types of conduct and is not limited to the common law definition of robbery on land. (Govt's Resp. 2.) More specifically, the Government asserts that piracy, as defined by the law of nations, does not require the actual taking of property: rather, any unauthorized armed assault or directed violent act on the high seas is sufficient to constitute piracy. (Govt's Resp. 2-3.)
Federal Rule of Criminal Procedure 12(b)(2) states that "[a] party may raise by pretrial motion any defense, objection, or request that the court can determine without a trial of the general issue." Included in the motions that may be made before trial is "a motion alleging a defect in the indictment or information." Fed.R.Crim.P. 12(b)(3). A 12(b) motion is permissible only when "it involves a question of law rather than fact." United States v. Shabbir, 64 F.Supp.2d 479, 481 (D.Md.1999) (citing United States v. Nukida, 8 F.3d 665, 669 (9th Cir.1993) (internal citation omitted)).
To survive Defendants' Motion to Dismiss Count One, the indictment must allege that Defendants committed acts which, if proven, would sustain a violation of 18 U.S.C. § 1651. Title 18 U.S.C. § 1651 states, "[w]hoever, on the high seas, commits the crime of piracy as defined by the law of nations, and is afterwards brought into or found in the United States, shall be imprisoned for life." This statute was originally enacted in 1819, and as is the case with the current version, the 1819 version did not specifically identify what conduct constituted "piracy as defined by the law of nations."
Article I of the United States Constitution grants Congress the power to "define and punish piracies and felonies committed on the high seas, and offenses against the law of nations." U.S. CONST. ART. I § 8. Inherent in this grant is the understanding that a set of international laws separate from domestic United Slates law exists. See Ex Parte Quirin, 317 U.S. 1, 29-30, 63 S.Ct. 2, 87 L.Ed. 3 (1942). The "law of nations" refers to the body of law known as "customary international law." See Flores v. S. Peru Copper Corp., 343 F.3d 140, 154 (2d Cir.2003). The courts considering the phraseology "law of nations," in the civil context have held that in determining what offenses violate the
Despite its reference to international law, piracy under the law of nations in § 1651, as with every other criminal statute in the United States criminal code, is subject to the constitutional rigors of due process. At a minimum, constitutional due process requires fair warning of the charged conduct. See United States v. Hassan, 542 F.3d 968, 978 (2d Cir.2008). Accordingly, the principle of due process is "that no man shall be held criminally responsible for conduct which he could not reasonably understand to be proscribed." Bouie v. City of Columbia, 378 U.S. 347, 351, 84 S.Ct. 1697, 12 L.Ed.2d 894 (1964) (quoting United States v. Harriss, 347 U.S. 612, 617, 74 S.Ct. 808, 98 L.Ed. 989 (1954)). This "fair warning requirement" bars enforcement of "a statute which either forbids or requires the doing of an act in terms so vague that men of common intelligence must necessarily guess at its meaning and differ as to its application." United States v. Lanier, 520 U.S. 259, 266, 117 S.Ct. 1219, 137 L.Ed.2d 432 (1997) (quoting Connally v. General Constr. Co., 269 U.S. 385, 391, 46 S.Ct. 126, 70 L.Ed. 322 (1926)).
Furthermore, as a corollary point to the vagueness doctrine, "the cannon of strict construction of criminal statutes, or rule of lenity, ensures fair warning by so resolving ambiguity in a criminal statute as to apply it only to conduct clearly covered." Lanier, 520 U.S. at 266, 117 S.Ct. 1219. Finally, due process bars courts from setting forth a "novel" construction of a criminal statute "to conduct that neither the statute nor any prior judicial decision has fairly disclosed to be within its scope." Id.
For the first time since 1820, this Court is faced with the task of interpreting the piracy statute, 18 U.S.C. § 1651, as it applies to alleged conduct in international waters. As detailed above, Defendants contend that Count One should be dismissed because it is undisputed that Defendants did not board, take control, or otherwise rob the USS Ashland; therefore, under no set of facts did Defendants commit the offense of "piracy" as defined by the United States Supreme Court ("Supreme Court") in United States v. Smith, 18 U.S. 153, 5 Wheat. 153, 5 L.Ed. 57 (1820) (Story, J.). Relying in part on contemporary international law, the Government's argument is essentially two-fold: (1) the definition of "piracy, defined by the law of nations" includes, and has always included, any unauthorized violent acts or
The Court must interpret a statute by its ordinary meaning at the time of its enactment. Dep't of Labor v. Greenwich Collieries, 512 U.S. 267, 275, 114 S.Ct. 2251, 129 L.Ed.2d 221 (1994) ("Courts interpret Congress' use of a term in light of its history, and presume Congress intended the phrase to have the meaning generally accepted in the legal community at the time of its enactment"); see Norfolk S. Ry. Co. v. Bhd. of Locomotive Eng'rs, 217 F.3d 181, 188-89 (4th Cir.2000) (citing Gebser v. Lago Vista Indep. Sch. Dist., 524 U.S. 274, 284, 118 S.Ct. 1989, 141 L.Ed.2d 277 (1998) ("We attempt to infer how the ... Congress [at the time of enactment] would have addressed the issue.")). This rule applies whether the statute at issue is criminal or civil. See United States v. Cardenas, 864 F.2d 1528, 1535 (10th Cir. 1989) (noting that "there is no evidence in the language of [the criminal statute at issue] or its legislative history that Congress intended the word ... to have a different meaning than the legal meaning in 1968," the year the statute was enacted). This Court must therefore determine what Congress meant by piracy as defined by the law of nations, as stated in § 1651 at its 1819 enactment.
Since the statutory language of § 1651 is devoid of any guidance on the scope of piracy under the law of nations, the Court must examine any relevant judicial opinions to answer this question. The Supreme Court addressed the issue of § 1651's scope in Smith. In fact, Smith is the only case to ever directly examine the definition of piracy under § 1651. In Smith, the Government indicted the defendant for piracy under the 1819 version of § 1651.
Moreover, the cases the Government cites do not provide concrete examples of ¶ 1651 being expanded beyond the definition laid out in Smith. For instance, in Harmony v. United States, 43 U.S. 210, 2 How. 210, 11 L.Ed. 239 (1844),
Furthermore, the Court slated that "[t]he word `piratical' in the act is not to be limited in its construction to such acts as by the laws of nations are denominated piracy." Id. at 210. In other words, "piracy" has a much narrower meaning than "piratical" acts. Other courts have also made this distinction between piracy and mere piratical undertakings. For example, in The Ambrose Light, 25 F. 408, 415 (S.D.N.Y.1885). another civil forfeiture case, the Court distinguished piracy from mere "piratical undertakings." The Court
In The Chapman, 5 F.Cas. 471, 473 (N.D.Cal.1864), which the Government also cites, the court described another civil forfeiture provision that was enacted in 1861. The Court stated that the offenses of "aggression, search, restraint, depredation or seizure" referred to in the provision would be "deemed piratical under the laws of nations." The statutes referenced in The Chapman are now codified at 33 U.S.C. §§ 384 and 385. The Chapman court also stated that "general piracy" includes "any act which denotes ... universal hostility.... Not only an actual robbery, therefore, but cruising on the high seas without commission, and with intent to rob." Id. at 474. However, it is unclear if this language is mere dicta, because in a later part of the opinion, the court contradicts itself by stating that "[a]ll agree that piracy, under the laws of nations, is the offense of depredating on the seas without authority or commission from any sovereign or belligerent state," i.e., sea robbery. Id. at 475. Therefore, this case provides the Government weak authority for the expansive definition of piracy it urges.
Finally, the Government also relies on United States v. Shi, 525 F.3d 709, 721 (9th Cir.2008), also a non-§ 1651 case, to support its expansive reading of piracy under § 1651. In Shi, the Ninth Circuit determined that because the defendant's offenses involved interference with property on the open sea through lite use of force, they were within Congress' overall authority to define and punish crimes of piracy under Article 1, Section 8 of the Constitution. Id. Therefore, the District Court had jurisdiction to find the defendant guilty of 18 U.S.C. §§ 2280(1)(1)(A) and (a)(1)(B). Id. The Ninth Circuit noted that these provisions "proscribed offenses which meet the definition of piracy." Id. However, this Court finds the Government's argument that this case confirms the inclusion of all unauthorized acts of violence in the definition of piracy under § 1651 unavailing. Notably, the Ninth Circuit also slated that piracy has "traditionally been defined as robbery at sea." Id. (citing Smith, 18 U.S. at 161). The Court reads the Ninth Circuit's reference to "piracy" in discussing §§ 2280(a)(1)(A) and (a)(1)(B) as a general statement of Congress' authority to punish crimes that fall under the umbrella of "Piracies and Felonies on the High Seas." This reading makes sense considering the fact that the defendant in the Shi case was contending that the district court lacked jurisdiction over him because the crime occurred outside United States territory. Id. at 720.
Secondly, the Government argues that even if Smith and subsequent case law defined piracy as "robbery or forcible depredations," this definition includes "a variety of offense conduct," including Defendants' alleged acts of attacking the USS Ashland with an AK-47 rifle. (Hrg. Tr. 45.) It asserts that "forcible depredations" is not specific to any criminal offense. (Hrg. Tr. 58.) However, it is clear to the Court that this argument is without merit. The Government's interpretation of the phrase "forcible depredations" as something other than robbery or plunder is contrary to the unambiguous definition of "depredation," See BLACK'S LAW DICTIONARY
In sum, the Government simply fails to cite to one case in United States jurisprudence in which the Defendant was criminally prosecuted for "piracy in violation of the law of nations," for conduct that fell short of robbery or seizure of a ship. Finding none, this Court concludes that the Supreme Court in Smith set forth the authoritative definition of piracy as robbery or forcible depredations on the high seas, i.e., sea robbery.
A review of the statutory history of § 1651 reveals that the definition espoused in Smith has remained unchanged. For instance, in the 1901 Report to the Commission to Revise and Codify the Criminal and Penal Laws of the United States, the Commission noted that the definition of "piracy by the law of nations is: A robbery or forcible depredation on the high seas, without lawful authority, done amino furandi, in the spirit and intention of universal hostility." Alex C. Botkin et al., PENAL CODE OF THE UNITED STATES: REPORT OF THE COMMISSION TO REVISE AND CODIFY THE CRIMINAL AND PENAL LAWS OF THE UNITED STATES XXVII (1901). This Commission, led by Alex C. Botkin, David K. Watson, and WM D. Bynum, was appointed by the President, with the advice and consent of the Senate, to revise and codify the criminal and penal laws. The purpose of the report was to indicate any proposed changes in the substance of existing law before the 1909 recodification of the criminal code. Thus, by 1901, the Commission determined that "piracy" meant the same thing as it did in 1820, as stated by Justice Story in Smith. Although this report is not a direct Congressional enactment or proclamation, it is certainly persuasive evidence of the commonly regarded viewpoint of the statute's meaning of piracy.
Furthermore, in 1948, Congress comprehensively revised all of Title 18 of the United Slates Criminal Code. See Act of June 25, 1948. ch. c. 645, 62 Stat. 774 (1948). However, § 1651 was not substantively updated. Indeed, the only substantive change to § 1651 since its enactment has been the removal of the death penalty for the offense as opposed to the current penalty of life imprisonment. See Piracy And Other Offenses Upon The Seas, ch. 321, sec. 290, 35 Stat. 1145 (1909).
The analysis does not end here. The Court discerns further support for the limitation of piracy in § 1651 to robbery or forcible depredations by reviewing § 1659 of Title 18, in which Congress explicitly provided that "[w]hoever, upon the high seas or other waters within the admiralty and maritime jurisdiction of the United States, by surprise, or open force, maliciously attacks or sets upon any vessel belonging to another, with an intent unlawfully to plunder the same ... shall be fined under this title or imprisoned not more than ten years, or both." 18 U.S.C. § 1659. The Government contends that it is common for criminal statutes in the Federal Criminal Code to overlap in proscribing penalties for certain conduct and that §§ 1651 and 1659 can be read together.
Accordingly, two sections in the same chapter of the criminal code should not be construed such that one is made completely superfluous. Section 1659 clearly addresses exactly the conduct charged against Defendants in this case of shooting at the USS Ashland with an AK-47 rifle. See Daeche v. United States, 250 F. 566, 571 (2d Cir.1918) (holding that Defendant could be held liable for conspiring to attack and plunder a vessel based on evidence of a plan to destroy Allied ammunition ships, even though that plan was unsuccessful). Furthermore, the Court must consider the far-reaching consequence of the Government's interpretation of §§ 1651 and 1659. The Government concedes that an act as minor as a sling-shot assault, a bow and arrow, or even throwing a rock at a vessel could be considered an act of violence and subject a defendant to the penalty of life in prison for piracy under § 1651. (Hrg. Tr. 60.) This surely is not a logical interpretation of Congressional intent in enacting § 1651, especially in light of the ten year imprisonment penalty Congress promulgated for a violation of § 1659.
Despite the Supreme Court's holding in Smith that piracy as defined by the law of nations in § 1651 is sea robbery, to support its expansive definition of piracy, the Government urges the Court to consider contemporary international law sources. (Govt's Resp. 15.) It points to the International Maritime Bureau, the British Privy Council, the 1958 Geneva Convention, the 1982 United Nations Convention on the High Seas, and certain published treatises by a German law professor as secondary authorities. (Govt's Resp. 15-19.) Defendants argue that Congress defined the offense in 1819, and to the extent that piracy has changed in the international community since Smith, it has only become more clouded with the emergence of new international bodies; thus, the only consistent standard is the one set forth in Smith. (Def.'s Reply 15-16.)
In order to determine whether a particular rule is a part of customary law in the international community, courts must consider concrete evidence of the customs and practices of the States through not only formal laws and scholarly work, but also controlling judicial actions. See Flores, 343 F.3d at 156. Consequently,
The first foreign source the Government points to is the British Privy Council. The British Judicial Committee of the Privy Council is the independent court of final appeal for Commonwealth countries.
Finally, in his treatise on International Law, Professor Oppenheim states that "[p]iracy, in its original and strict meaning, is every unauthorized act of violence committed by a private vessel on the Open Sea against another vessel with intent to plunder." Oppenheim, International Law, § 276, 325 (1905). Furthermore, Oppenheim notes that "[t]he act of violence need not be consummated: a mere attempt, such as attacking or even chasing a vessel for the purpose of attack, by itself comprises piracy." Id.
Despite the declarations by these international bodies, scholars nevertheless disagree on whether there is an authoritative definition of piracy in the international community. See Helmut Turek, The Resurgence of Piracy: A Phenomenon of Modern Times, 17 U. MIAMI INT'L & COMP. L. REV. 1, 10 (2009) ("Under customary international law, there is no authoritative definition of piracy"); George D. Gabel, Jr., Smother Seas Ahead: The Draft Guidelines as an International Solution to Modern-Day Piracy, 81 TUL. L. REV. 1433, 1434-35 (2007) (noting that customary international law provides no authoritative definition of "piracy"); Barry H. Dubner, Piracy in Contemporary National and International Law, 21 CAL. W. INT'L L.J. 139, 142 (1990) (doubling that "an
In fact, a number of scholars define piracy just as Justice Story did in the Smith decision. See Eugene Konlorovich, The Piracy Analogy: Modern Universal Jurisdiction's Hollow Foundation, 45 HARV. INT'L L.J. 183, 237 (2004) ("The crime of piracy consists of nothing more than robbery at sea"); Jay S. Bybee, Insuring Domestic Tranquility: Lopez, Federalization of Crime, and the Forgotten Role of the Domestic Violence Clause, 66 GEO. WASH. L. REV. 1, 26 (1997) ("Piracy is well defined by the law of nations as robbery on the sea"). Moreover, in contrast to the British Privy Council. Geneva Convention and UNCLOS, the International Maritime Bureau, the anti-crime arm of the International Chamber of Commerce, defines piracy as "an act of boarding (or attempted boarding) any vessel with the apparent intent to commit theft or any other crime with the apparent intent or capacity to use force in furtherance of that act." (Govt's Resp. 19) (quoting PETER CHALK, THE MARITIME DIMENSION OF INTERNATIONAL SECURITY: TERRORISM, PIRACY, AND CHALLENGES FOR THE UNITED STATES 3 (Rand 2008)). This definition is much narrower than that set forth by the UNCLOS, the Geneva Convention and the British Privy Council, and is arguably more in line with Justice Story's definition of sea robbery.
Indeed, following any of these international sources as authoritative is questionable. The International Maritime Bureau does not have the authority to create binding laws, and neither an international maritime peacekeeping force nor an international tribunal with jurisdiction to try or punish pirates exists. Furthermore, "in developing the Harvard Research Draft Convention for the law of Piracy (from which a majority of the definition of piracy for the UNCLOS was derived), the reporters flatly stated, `[t]here is no authoritative definition.'" and there was plenty of debate as to whether the definition in the UNCLOS "adequately and accurately codified piracy." Joshua Michael Goodwin, Universal Jurisdiction and the Pirate: Time for an Old Couple to Part, 39 VAND. J. TRANSNAT'L L. 973, 999 (2006) (internal citations omitted). And while most countries have ratified the UNCLOS, the United States has chosen not to ratify it.
Additionally, there is no single court that can bring order to various interpretations of the UNCLOS. Rather, enforcement actions against pirates and criminal prosecutions of pirates are left to individual countries, many of which have different penalties for the crime of piracy ranging from three years to life in prison.
Most importantly, § 1651, as every other criminal statute under United States Criminal Code, is subject to the constitutional rigors of due process. Sea United States v. Sun, 278 F.3d 302, 309 (4th Cir. 2002). There is nothing special about § 1651 such that it should not receive the same scrutiny. If the Court only relied on the Government's international sources— as they stand at this point in time—in formulating the definition of piracy under the law of nations, it could hold that the charged conduct in this case is sufficient to withstand a Motion to Dismiss because Defendants' acts are included as piracy in the range of conduct these various international bodies proscribe. However, following this line of reasoning would be contrary to Supreme Court precedent, and would inevitably deny Defendants due process.
The Smith Court held that § 1651 was not unconstitutionally vague because piracy under the law of nations had a specified meaning: robbery at sea. 18 U.S. at 162. If the Court accepted the Government's request to adopt the definition of piracy from these debatable international sources whose promulgations evolve over time, defendants in United States courts would be required to constantly guess whether their conduct is proscribed by § 1651. This would render the statute unconstitutionally vague. See Ladner v. United States, 358 U.S. 169, 178, 79 S.Ct. 209, 3 L.Ed.2d 199 (1958) ("[T]he Court will not interpret a federal criminal statute so as to increase the penalty that it places on an individual when such an interpretation can be based on no more than a guess as to what Congress intended"); United States v. Wiltberger, 18 U.S. 76, 105, 5 Wheat. 76, 5 L.Ed. 37 (1820) ("[P]robability is not a guide which a court, in construing a penal statute, can safely take").
The Court concludes that the definition of piracy in the international community is unclear and not consistent with Congress' understanding of § 1651 as recognized by the Supreme Court. See Lanier, 520 U.S. at 266, 117 S.Ct. 1219 (noting that due process bars courts from setting forth a "novel" construction of a criminal statute "to conduct that neither the statute nor any prior judicial decision has fairly disclosed to be within its scope"); Sosa v. Alvarez-Machain, 542 U.S. 692, 728, 124 S.Ct. 2739, 159 L.Ed.2d 718 (2004) (in construing the Alien Tort Statute, 28 U.S.C. § 1350, holding that courts "have no congressional mandate to seek out and define new and debatable violations of the law of
The Court finds that the Government has failed to establish that any unauthorized acts of violence or aggression committed on the high seas constitutes piracy as defined by the law of nations in 18 U.S.C. § 1651. Following the Government's assertions would subject Defendants to an enormously broad standard under a novel construction of the statute that has never been applied under United States law, and would in fact be contrary to Supreme Court case law.
In the Superseding Indictment, the Government has recognized that Defendants' alleged conduct is proscribed by a variety of federal statutes. The Government has charged Defendants with: 18 U.S.C. § 1659, Attack to Plunder a Vessel, having a penalty of ten years imprisonment; 18 U.S.C. § 2291(a)(6), Acts of Violence Against Persons on a Vessel, having a penalty of twenty years imprisonment; 18 U.S.C. § 2291(a)(9), Conspiracy to Perform Acts of Violence Against Persons on a Vessel, having a penalty of twenty years imprisonment; 18 U.S.C. §§ 111(a)(1) and (b). Assault with a Dangerous Weapon on Federal Officers and Employees, having maximum penalties of eight and twenty five years; 18 U.S.C. § 924(o), Conspiracy Involving Firearm and a Crime of Violence, having a penalty of twenty years; and 18 U.S.C. § 924(c)(1)(A)(iii), Use of Firearm During a Crime of Violence, having a penalty of ten years. However, 18 U.S.C. § 1651 is not a statute under which Defendants' alleged conduct falls. Accordingly, Defendants' Motion to Dismiss Count I is