United States v. Aybar-Ulloa
Opinion
Johvanny Aybar-Ulloa ("Aybar") pleaded guilty in 2015 to two counts of drug trafficking in international waters while aboard a "stateless" vessel in violation of the Maritime Drug Law Enforcement Act ("MDLEA"),
I.
At the change of plea hearing, the government described, and Aybar does not dispute, the following events as having occurred on August 9, 2013. HMS Lancaster , a foreign warship, was on patrol in the Caribbean Sea and launched a helicopter that spotted a small vessel dead in the water. The vessel was located in international waters at the time and contained "numerous packages."
HMS Lancaster launched a small boat in order to conduct a right-of-visit approach. During this approach, Aybar and his co-defendant, who were aboard the vessel with the packages, claimed to be citizens of the Dominican Republic, although the vessel bore "no indicia of nationality."
Law enforcement personnel aboard the small boat conducting the approach then determined that the vessel was "without nationality," as Aybar conceded to the District Court was true, and boarded it. 1 The men on board the vessel, including Aybar, were transferred to HMS Lancaster along with the packages that were taken from the vessel.
*50 A narcotics field test performed on board HMS Lancaster confirmed that the packages contained cocaine. At this point, Aybar was transferred to a United States Coast Guard vessel and transported to Puerto Rico, where he was held in custody by United States law enforcement.
On August 13, 2013, a federal grand jury in the District of Puerto Rico returned an indictment against Aybar. The indictment charged him under the MDLEA with conspiring to possess with intent to distribute cocaine on board a vessel subject to the jurisdiction of the United States, in violation of
The MDLEA provides in part: "While on board a covered vessel, an individual may not knowingly or intentionally ... manufacture or distribute, or possess with intent to manufacture or distribute, a controlled substance ...."
On October 2, 2014, Aybar filed a motion to dismiss the indictment for lack of jurisdiction. He argued that Congress lacked the power to criminalize his conduct, given the lack of what Aybar claimed to be any constitutionally sufficient nexus between his charged conduct and the United States, because Congress's power under Article I of the Constitution "[t]o define and punish Piracies and Felonies committed on the high Seas, and Offences against the Law of Nations," U.S. Const. art. I, § 8, cl. 10, did not extend to his conduct in such circumstances.
The government opposed Aybar's motion. The District Court denied Aybar's motion on December 22, 2014 and issued a nunc pro tunc opinion and order on January 5, 2015. The District Court acknowledged that the vessel was not a "vessel of the United States" within the meaning of the MDLEA,
Following a change of plea hearing, Aybar entered a guilty plea to all charges on March 11, 2015. At that hearing, Aybar engaged in the following colloquy with the Magistrate Judge:
The Magistrate: Now, do you admit that in addition to the conspiracy you actually and the other co-defendants possessed with the intent to distribute these substances, this cocaine?
Aybar: Yes, Your Honor.
The Magistrate: In the same circumstances on board this vessel without nationality and therefore subject to jurisdiction of the United States?
Aybar: Yes, Your Honor.
*51 The District Court accepted Aybar's guilty plea, and the case proceeded to sentencing. A probation officer prepared a presentence report ("PSR") using the 2014 United States Sentencing Guidelines Manual. The PSR assigned Aybar a base offense level of thirty-eight under the United States Sentencing Guidelines. After receiving the PSR, Aybar filed an objection in which he argued that two levels should be subtracted from his offense level under § 3B1.2(b) of the Guidelines because he was a minor participant.
At sentencing, the District Court declined to reduce his offense level as Aybar had argued and sentenced Aybar to 135 months in prison. Aybar timely filed a notice appealing the judgment entered against him.
II.
In prior cases in our circuit that have presented constitutional challenges to MDLEA convictions not unlike the one that Aybar now makes to us, the defendant had either waived or forfeited the constitutional argument challenging the scope of Congress's power under Article I to criminalize conduct supposedly lacking a sufficient nexus to the United States.
See, e.g.
,
United States
v.
Diaz-Doncel
,
The government does separately argue that Aybar waived his right to bring this challenge because he conceded in the plea colloquy that the vessel he was on board was "without nationality" -- which is one of the MDLEA's definitions for a "vessel subject to the jurisdiction of the United States."
Thus, we review de novo the district court's rejection of Aybar's constitutional challenge to Congress's power to criminalize the conduct for which he was convicted.
See
United States
v.
Bravo
,
A.
Aybar contends that Congress exceeded its authority under Article I in criminalizing *52 his conduct under the MDLEA because Congress lacked the necessary power to criminalize such conduct under the Define and Punish Clause. That Clause gives Congress the power "[t]o define and punish Piracies and Felonies committed on the high Seas, and Offences against the Law of Nations." U.S. Const. art. I, § 8, cl. 10. In responding to Aybar's constitutional challenge, the government does not identify any other source of constitutional authority pursuant to which Congress may criminalize Aybar's conduct. We thus focus here solely on the dispute between the parties regarding the scope of the power that the Define and Punish Clause affords Congress to criminalize Aybar's conduct.
Aybar's constitutional challenge relies heavily on Judge Torruella's dissent in
United States
v.
Cardales-Luna
,
Aybar further contends, again by quoting the following portion of Judge Torruella's Cardales-Luna dissent, that the " 'Law of Nations' is generally understood to be the eighteenth and nineteenth-century term for 'customary international law' " and that customary international law does not recognize drug trafficking as an offense against the law of nations.
Of course, Aybar recognizes that, even if these arguments are right, he still must show that Congress could not criminalize his conduct pursuant to its power to define and punish "Felonies" committed on the high seas. He acknowledges, as precedent compels him to do, that this portion of the Clause gives Congress an independent source of power to define and punish conduct on the high seas, separate and apart from the power that Congress has under the other portions of the Clause that we have just discussed.
See
United States
v.
Smith
, 18 U.S. (5 Wheat.) 153, 158-59,
In arguing that the portion of the Clause that empowers Congress to punish "Felonies" on the high seas does not permit Congress to criminalize his conduct, Aybar contends that Congress cannot define and punish his conduct as a "Felon[y]" within the meaning of Article I, Section 8, Clause 10, because there was no nexus between that conduct and the United States. 4 And Aybar bases that argument entirely on an assertion about the way that international *53 law -- which he appears to treat as having been invariant in the relevant respect from the Founding to the present -- treats drug trafficking and a nation's power to prosecute it in circumstances like those involved here.
We note that, in advancing this argument about the content of international law, Aybar is less than clear in explaining the precise extent to which, in his view, international law reflects limits on national power that the Constitution incorporates in the portion of Article I that empowers Congress to define and punish "Felonies" committed on the high seas. But, be that as it may, it is at least clear that Aybar's constitutional contention with respect to the scope of Congress's power under this part of Article I is necessarily premised on the underlying assertion that he makes about the content of international law as it relates to a nation's ability to criminalize conduct on the high seas where there is no more connection between that conduct and the United States than there is here. And so we now turn to a consideration of that international-law-based premise for his constitutional argument concerning Congress's power, for, unless we accept that premise, his constitutional challenge must fail. 5
B.
In asserting this premise, Aybar again relies heavily on the reasoning set forth in portions of Judge Torruella's dissent in
Cardales-Luna
. Aybar begins by quoting Judge Torruella's conclusion that, "under the international law doctrine of universal jurisdiction (UJ), a nation may prosecute certain serious offenses even though they have no nexus to its territory or its nationals, and no impact on its territory or its citizens."
Cardales-Luna
,
The problem for Aybar in advancing this argument is that, notwithstanding his contention that international law does not authorize the United States to prosecute conduct like his own due to what he claims to be the lack of any nexus between that conduct and the United States, we set forth a contrary view of international law in
United States
v.
Victoria
,
To be sure,
Victoria
did not fully spell out why its conclusion that international law authorizes the United States to treat a stateless vessel as its own means that, as a matter of international law, the United States could prosecute a person on board such a vessel for a drug offense.
Victoria
nevertheless made it clear that its ruling was definitive as to this point through its approving and extensive references to out-of-circuit precedents holding similarly and "explain[ing] in detail why this is so."
We do recognize that
Victoria
did not consider a constitutional challenge to Congress's power under Article I, such as Aybar now makes to us. In
Victoria
, the defendant argued merely that the statute there at issue did not reach his conduct in light of the
Charming Betsy
canon,
see
Murray
v.
The Schooner Charming Betsy
, 6 U.S. (2 Cranch) 64, 118,
There is, in addition to
Victoria
, another of our precedents that is at odds with Aybar's contention that international law of its own force requires there to be more of a nexus between a person charged with drug trafficking and the nation that wishes to criminally prosecute it than is present here. That precedent is
United States
v.
Cardales
,
In
Cardales
, the defendants argued that the Due Process Clause, rather than the Define and Punish Clause, "requires the government to prove a nexus between their criminal conduct and the United States in a prosecution for violating the MDLEA,"
*56
Moreover, Cardales, unlike Aybar's case, involved a foreign-flagged vessel,
But, apart from that aspect of our ruling, we also stated in Cardales that the application of the MDLEA in that case was consistent with the "protective principle" of international law, which permits a nation "to assert jurisdiction over a person whose conduct outside the nation's territory threatens the nation's security."
There is no indication in this aspect of Cardales's reasoning that its broad assertion regarding the United States' entitlement to assert protective jurisdiction, under international law, was limited only to cases in which the flag nation has consented to the United States' assertion of jurisdiction over a vessel and those on board it. See id. at 553. Thus, the language on this point in Cardales is, like the language referenced in Victoria concerning international law that we have described above, directly contrary to Aybar's sole constitutional contention, given the assertion about international law on which his contention rests.
Moreover, Aybar makes no argument as to why, notwithstanding our conclusion to the contrary in Cardales, his conduct does not fall within the United States' protective jurisdiction. He instead contends only that his crime of drug trafficking is outside the United States' universal jurisdiction. He thus develops no argument for reconsidering our statement in Cardales concluding that the scope of protective jurisdiction encompasses conduct of the kind present here. See Zannino , 895 F.2d at 17.
III.
Aybar next argues that the District Court erroneously denied him a minor participant reduction under § 3B1.2(b) of the Sentencing Guidelines based on five factors that he contends show that he was a minor participant. That guideline provides that "[i]f the defendant was a minor participant in any criminal activity, decrease by 2 levels." U.S. Sentencing Guidelines Manual § 3B1.2(b) (2014).
Application Note 3(C) of the November 2015 edition of the Sentencing Guidelines sets forth the five factors on which Aybar relies in challenging his sentence. U.S. Sentencing Guidelines Manual § 3B1.2, cmt. n.3(C) (2015). But, as the government points out, he was sentenced according to the November 2014 edition of the Guidelines in effect at the time of his October 21, 2015 sentencing, and the application note to the minor-role guideline in that edition did not include those specific factors.
*57
Nevertheless, Aybar did file a letter under Rule 28(j) calling our attention to our ruling in the companion case to this one,
United States
v.
Sarmiento-Palacios
,
The government argues that vacating the sentence and remanding for resentencing is not appropriate here, because, even under the factors set out in Amendment 794, Aybar would still have been denied the minor-role reduction. But the same argument was unsuccessful in Sarmiento , and we reject it for the same reasons that we did there:
we think it prudent to leave that determination in the hands of the able district court judge. Accordingly, a remand is justified to allow the sentencing court the opportunity to consider the "Commission's current policy position[,] ... [which] may have some influence on the judge's ultimate discretionary choice of sentence."
IV.
We therefore affirm the convictions. But we vacate the District Court's sentence and remand for resentencing under the Commission's clarified guidance, as reflected in Amendment 794.
TORRUELLA, Circuit Judge, joining in part and dissenting in part.
I join the majority with respect to Aybar's sentencing appeal in light of our recent decision in
Sarmiento-Palacios
,
The majority correctly identifies that Aybar's conviction hinges on the provision of the Define and Punish clause which gives Congress the authority to define and punish "Felonies" on the high seas. See Smith , 18 U.S. at 159 ; U.S. Const. art. I, § 8, cl. 10. But as explained below, the majority's reliance and application of this court's precedent to the issues in Aybar's case is inapt.
The majority opinion relies to a great degree upon the rationale in
Cardales
,
Notably, the Cardales court discussed international law principles in dicta for the sole purpose of explaining why that court's application of the MDLEA to the facts in that case did not violate the precepts of due process. In its superfluous discussion of international law's protective principle, the Cardales court looked to a presumptuous Congressional statement that "trafficking in controlled substances aboard vessels is a serious international problem and ... presents a specific threat to the security ... of the United States."
I pause for a moment to note that the Congressional statement relied upon by the Cardales court does not make an application of the MDLEA to entirely foreign nationals and foreign conduct, with no nexus to the United States, consistent with the "protective principle" of international law. The protective principle of international law requires a showing that the regulated conduct has some nexus or effect on the prosecuting nation; the protective principle cannot be invoked simply through a blanket assertion that some disfavored conduct creates a "specific threat to the security" of that nation.
A broad grant of power to the executive branch to prosecute any and all vessels carrying illegal substances that are not in the United States' waters, are not headed for or departing from the United States, are not flying the United States' flag, and are not carrying United States nationals, is plainly inconsistent with international law.
*59
Having established that our precedent does not compel us to reject Aybar's as-applied constitutional challenge, I next address the constitutional limitations of Congress' ability to regulate Felonies on the high seas under the mandates of constitutional and international law. I am emphatically of the view that doing so requires us to hold that Congress' power under this clause is necessarily limited to instances where there is a nexus between the conduct underlying the felony and the United States.
See
Cardales-Luna
,
Early Supreme Court cases support the requirement of such a nexus. When first faced with the opportunity to determine the scope of Congress's ability to legislate extraterritorially, the Supreme Court held that, aside from universal jurisdiction crimes (that is, certain serious offenses recognized by international law that all nations may prosecute even without a nexus or impact to that nation's territory or citizens), there must be a nexus between the United States and the regulated conduct.
See
United States
v.
Klintock
, 18 U.S. (5 Wheat). 144, 151-52,
Here, Aybar was interdicted on a vessel in international waters, far from the United States. His vessel did not depart from the United States nor was there any evidence that it was bound for the United States. No concrete evidence suggests that the drugs aboard this specific vessel were intended for distribution in the United States. Aybar did not commit any offense against a vessel or citizen of the United States, or within the United States' territory. Save for the fact that he was intercepted by officers of the United States Coast Guard, who in fact were aboard a foreign vessel, there is absolutely nothing connecting Aybar to the United States. The United States nexus was artificially provided by the actions of the United States, a unique condition unheard of in the criminal law -- in which it is the government that provides one of the elements of the crime that is charged. Given this lack of nexus, the Felonies provision of the Define and Punish clause does not give Congress the authority to create laws criminalizing Aybar's conduct.
Because Cardales did not address the issues presented in this case, and constitutional and international law do not support the conclusion that the majority reaches, this Court need not and should not adopt the rationale in Cardales to reject Aybar's constitutional challenge.
See
United States
v.
Irizarry-Colón
,
Nor does Aybar's admission that he was aboard a vessel without nationality provide a nexus to give the United States prescriptive jurisdiction to prosecute his conduct under its domestic laws. The majority points to
Victoria
, in which this Court broadly stated that "as United States courts have interpreted international law, that law gives the 'United States ... authority to treat stateless vessels as if they were its own.' "
First, in
Victoria
, there was evidence of a nexus between the conduct on the stateless vessel and the United States.
Third, like in
Cardales
, the defendant in
Victoria
appealed his conviction on grounds not at issue here. The
Victoria
defendant partly based his argument on the
Charming Betsy
canon, in with the Supreme Court stated that "an act of Congress ought never to be construed to violate the law of nations if any other possible construction remains."
Murray
v.
The Schooner Charming Betsy
, 6 U.S. (2 Cranch) 64, 118,
Before moving forward, I must fall on my own sword and recognize that I, like the
Victoria
court and the majority here, have made too broad an assertion.
See
Sarmiento-Palacios
,
It is widely accepted that international law confers the right of any nation to approach and "visit" a vessel if it is suspected that the vessel is stateless.
See
United Nations Convention on the Law of the Sea [hereinafter "UNCLOS"] art. 110, Dec. 10, 1982, 1833 U.N.T.S. 397. But, international law distinguishes between a nation's authority to prescribe law extraterritorially as to the conduct of foreign persons and its authority to interfere with the navigation of a vessel encountered on the high seas. Although stateless vessels enjoy no diplomatic protections and thus are subject to being stopped and boarded by any other nation's vessels, it does not follow that this "right to visit" confers jurisdiction on the boarding vessel's nation to prosecute the occupants of the stateless vessel -- who continue to enjoy diplomatic protection from their nation -- under the visiting nation's substantive criminal laws without some nexus between their conduct and the boarding nation.
See
James-Robinson
,
A review of customary international law reveals that in all instances for which a state may interfere with the right of passage of another vessel, aside from the universal jurisdiction crimes of piracy and slave trading, international law requires some independent nexus between the visiting state and the suspected basis for the interference.
See
UNCLOS at art. 110. For example, customary international law allows a State to board a foreign vessel on the high seas if the State has reason to believe that the foreign vessel is engaged in unauthorized broadcasting.
13
*63
110(c). But that State may only prosecute those individuals engaged in that unauthorized broadcasting if that State has an independent basis for asserting jurisdiction over those individuals or that conduct.
See
Moreover, allowing all nations to prosecute crewmembers aboard stateless vessels under that nation's own domestic laws simply because of their presence aboard that stateless vessel would convert the operation of a stateless vessel into a universal jurisdiction crime. "There are two premises underlying universal jurisdiction. The first involves the gravity of the crime. ... The second involves the
locus delicti
(place of the act)."
Bellaizac-Hurtado
, 700 F.3d at 1260 (Barkett, J., concurring) (quoting Michael P. Scharf,
Application of Treaty-Based Universal Jurisdiction to Nationals of Non-Party States
,
Just as Congress cannot pass legislation "attempting to apply the criminal laws of the United States, with the Bolivian government's consent, to the conduct of Colombian nationals in Bolivia,"
Cardales-Luna
,
There is no denying that most circuits, including our own, have upheld the application of the MDLEA to the crews of stateless vessels. However, this Court has not yet directly addressed the exact constitutional *64 challenge Aybar has raised, and we need not be constrained by related but non-binding precedent. And because the Felonies provision of the Define and Punish clause requires that there be a nexus between the conduct and the United States to pass constitutional muster, and no such nexus has been shown here, Aybar's conviction must be overturned. For the foregoing reasons, I respectfully dissent.
The government represented in a filing in the District Court that the law enforcement personnel were United States Coast Guard members who were embarked on HMS Lancaster . However, the government did not mention this allegation while describing the factual basis for the convictions at the change of plea hearing.
We rejected a similar as-applied challenge to the constitutionality of the MDLEA under the Define and Punish Clause on plain error review in
Nueci-Peña
.
See
The defendant in
Cardales-Luna
did not raise a constitutional challenge to Congress's power under Article I to regulate conduct aboard stateless vessels on the high seas absent any nexus between that conduct and the United States.
Specifically, Aybar asserts the following: He was "interdicted in a vessel in international waters"; "no offense occurred within the territorial jurisdiction of the United States"; his vessel neither departed from nor was bound for the United States; "there is no evidence that the cocaine aboard the vessel was intended for distribution" in the United States; he "did not commit any offense against a vessel of the United States"; and he was "located by and taken in custody aboard" a foreign warship.
We note that the Supreme Court addressed Congress's constitutional power to define and punish piracies and felonies in a series of cases in the early nineteenth century.
See
United States
v.
Furlong
, 18 U.S. (5 Wheat.) 184, 195-98,
At oral argument, when asked why our holding in
Victoria
was not dispositive, Aybar's counsel responded that
Victoria
did not address the distinction between statelessness under the MDLEA and statelessness for the purposes of international law. But, while Aybar's brief asserts in a footnote that the MDLEA's definition of statelessness is broader than international law's, he does not develop any argument for distinguishing
Victoria
on this basis.
See
United States
v.
Zannino
,
For this reason, we do not find significant the fact, not mentioned by the defendant here, that there was some evidence in
Victoria
-- as there is not here -- that the vessel in that case was potentially bound for the United States.
See
The dissent disputes the merits of
Victoria
's holding as to international law, as well as the necessity of
Victoria
having resolved the
Charming Betsy
issue on the basis of that understanding of international law.
See
Diss. Op. 60-62. But, under the law of the circuit doctrine, what matters is simply whether
Victoria
did rely on that proposition for its holding that the
Charming Betsy
canon did not require a narrower construction of the MDLEA, and it is clear that
Victoria
did. In fact, in defending that view of international law,
Victoria
cited extensively to out-of-circuit precedent and included parentheticals in which those circuits set forth that very proposition of international law.
See
Victoria
,
The dissent also observes that
Smith
,
We note that Aybar's brief mentions that the warship that intercepted the stateless vessel on which he was aboard was a foreign one. That was not the case in either
Victoria
or Cardales (a point Aybar does not himself point out), but Aybar makes no argument as to why this difference should matter with respect to whether the exercise of United States jurisdiction over his conduct aboard the stateless vessel was consistent with international law.
See
Zannino
,
Consent, after all, is the cornerstone of international law.
See generally
The Paquete Habana
,
See
United States
v.
Bellaizac-Hurtado
Victoria
,
UNCLOS defines "unauthorized broadcasting" as "the transmission of sound radio or television broadcasts from a ship or installation on the high seas intended for reception by the general public contrary to international regulations, but excluding the transmission of distress calls." UNCLOS at art. 109(2).
Reference
- Full Case Name
- UNITED STATES of America, Appellee, v. Johvanny AYBAR-ULLOA, Defendant, Appellant.
- Cited By
- 3 cases
- Status
- Published