# Petition for Writ of Certiorari — Mora v. New York (No. 08-106)

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## Record

- **Collection:** Supreme Court brief
- **Document type:** Petition for Writ of Certiorari
- **Published:** January 1, 2008

## Text

Supre:.ne Court, U.S.
FILED

98-10 & 2 3 7008

No. 08-___ OFFICE OF THE CLERK

Supreme Court of the Gnited States

RICARDO A. DE LOS SANTOS MoRa,
Petitioner,

We
THE PEOPLE OF THE STATE OF NEW YORK,
RICHARD A. BROWN, DISTRICT ATTORNEY, AND
FLUSHING QUEENS POLICE DEPARTMENT,
Respondents.

On Petition for a Writ of Certiorari
to the United States Court of Appeals
for the Second Circuit

PETITION FOR A WRIT OF CERTIORARI

JON ROMBERG WALTER DELLINGER
Seton Hall University SRI SRINIVASAN

School of Law (Counsel of Record)
Center for Social Justice IRVING L. GORNSTEIN
833 McCarter Highway O’MELVENY & MYERS LLP
Newark, NJ 07102 1625 Eye St., N.W.
(973) 642-8700 Washington, D.C. 20006

(202) 383-5300

Attorneys for Petitioner

i
QUESTION PRESENTED

Article 36(1)(b) of the Vienna Convention on Con-
sular Relations provides that local authorities “shall

. inform” the appropriate consular post of the de-
tention of a foreign national, “if he so requests,” and
“shall forward” any communication addressed to the
consular post by that person. Article 36(1)(b) further
provides that the authorities “shall inform” the per-
son detained of “his rights under this’ sub-
paragraph.” The question presented is:

Whether Article 36(1)(b) grants a detained for-
eign national a judicially enforceable right to be in-
formed of his entitlement to consular notification
and communication.

ii
PARTIES TO THE PROCEEDING BELOW

Pursuant to Rule 14.1(b) of the Rules of this
Court, petitioner states as follows:

Appellant before the court of appeals was peti-
tioner Ricardo A. de los Santos Mora.

Appellees before the court of appeals were the
People of the State of New York, the Queens County
District Attorney, and the New York City Police De-
partment. App., infra, 16a. The caption used by pe-
titioner in his complaint and by the court of appeals
in its opinion refers to the New York City Police De-
partment as the “Flushing Queens Police Depart-
ment.” Jd. at 16a n.11.

li

TABLE OF CONTENTS

QUESTION PRESENTED
TABLE OF AUTHORITIES

A. There Is A Conflict In The Circuits On

The Question Presented

B. The Question Presented Is One Of
Recurring National And International
Importance

C. The Court Of Appeals’ Decision Is
Incorrect

D. This Case Presents A Favorable Vehicle
For Review Of The Question Presented

CONCLUSION

APPENDIX A:
Court of Appeals Opinion

APPENDIX B:
District Court Opinion

APPENDIX C:
Relevant Treaty Provisions

iv

TABLE OF AUTHORITIES

CASES

Asakura v. Seattle,
265 U.S. 332 (1924)

Case Concerning Avena and Other
Mexican Nationals (Mex. v. U:S.),
2004 I.C.J. 12 (Mar. 21)

Bacardi Corp. of Am. v. Domenech,
311 U.S. 150 (1940)

Breard v. Greene,
523 U.S. 371 (1998)

Breard v. Pruett,
134 F.3d 615 (4th Cir. 1998)

Cannon v. Univ. of Chicago,
441 USS. 677 (1979)

Christ v. Detroit Police Dep’t,
2007 WL 2050793 (E.D. Mich. July
13, 2007)

Cornejo v. County of San Diego,
504 F.3d 853 (9th Cir. 2007)

De Lima v. Bidwell,
182 U.S. 1 (1901)

District of Columbia v. Heller,
128 S. Ct. 2783 (2008)

Erickson v. Pardius,
127 S. Ct. 2197 (2007)

Gamez-Reyes v. Dobre,
2007 WL 954238 (E.D. Tex. Mar. 26,

Gandara v. Bennett,
--- F.3d ---, 2008 WL 2130577 (11th
Cir. May 22, 2008)

Vv

TABLE OF AUTHORITIES

Gardner v. Meggs,
2007 WL 3231734 (N.D. Fla. Oct. 30,

Gomez v. Cal. Bd. of Prison Terms,
2008 WL 1946540 (E.D. Cal. May 1,

Gonzaga Univ. v. Doe,
536 U.S. 273 (2002)

Hauenstein v. Lynham,
100 U.S. (10 Otto) 483 (1880)

Jacko v. Mich. State Police,
2007 WL 1017648 (E.D. Mich. Mar.
30, 2007)

Jogi v. Voges,
480 F.3d 822 (2007)

Johnson v. Browne,
205 U.S. 309 (1907)

Keszthelyi v. Bowman,
2007 WL 626221 (E.D. Tenn. Feb.
23, 2007)

Kolovrat v. Oregon,
366 U.S. 187 (1961)

LaGrand Case (F.R.G. v. U.S.),
2001 I.C.J. 466 (June 27)

Leka v. United States,
2008 WL 686797 (N.D.N.Y. Mar. 10,

Lopez v. Wallace,
266 Fed. App’x 882 (11th Cir. 2008)

Medellin v. Dretke,
544 U.S. 660 (2005)

vl

TABLE OF AUTHORITIES

Perkins v. Elg,
307 U.S. 325 (1939)

Sanchez-Llamas v. Oregon,
126 S. Ct. 2669 (2006)

Shanks v. Dupont,
28 U.S. (3 Peters) 242 (1830)

United States v. Alvarez-Machain,
504 U.S. 655 (1992)

United States v. Emuegbunam,
268 F.3d 377 (6th Cir. 2001)

United States v. Jimenez-Nava,
243 F.3d 192 (5th Cir. 2001)

United States v. Li,
206 F.3d 56 (1st Cir. 2000)

United States v. Lombera-Camorlinga,
206 F.3d 882 (9th Cir. 2000)

United States v. Stuart,
489 U.S. 353 (1989)

42 U.S.C. § 1983

TREATY PROVISIONS

Vienna Convention on Consular
Relations,
21 U.S.T. 77, 596 U.N.T.S. 261

vii

TABLE OF AUTHORITIES

OTHER AUTHORITIES

Amnesty International, United States of
America: A time for action —
Protecting the consular rights of

foreign nationals facing the death
penalty (Aug. 2001)

Br. of Honduras, et al. as amici curiae,
Bustillo v. Johnson, No. 05-51 (Sept.
23, 2005)

Br. of United States as Amicus Curiae
in Support of Petition for Rehearing
and Rehearing En Banc, Jogi v.
Voges, No. 01-1657 (7th Cir. Nov. 16,

Mark J. Kadish, Article 36 of the Vienna
Convention on Consular Relations: A
Search for the Right to Consul, 18
Mich. J. Intl L. 565 (1997)

1 Official Records, United Nations
Conference on Consular Relations
338 (1963)

U.S. Census Bureau, The Foreign-Born
Population: 2000 (Dec. 2003)

Mark Warren, Human Rights
Research, Foreign Nationals and the
Death Penalty in the United States
(updated Feb. 29, 2008)

nl
7

1
PETITION FOR A WRIT OF CERTIORARI

Petitioner Ricardo A. de les Santos Mora respect-
fully prays that a writ of certiorari issue to review
the judgment of the United States Court of Appeals
for the Second Circuit in this case.

OPINIONS BELOW

The opinion of the court of appeals (App. A) is re-
ported at 524 F.3d 183 (2d Cir. 2008). The opinion of
the district court (App. B) is unreported.

JURISDICTION

The judgment of the court of appeals was entered
on April 24, 2008. The jurisdiction of this Court is
invoked under 28 U.S.C. § 1254(1).

TREATY PROVISIONS INVOLVED

Relevant provisions of the Vienna Convention on
Consular Relations, 21 U.S.T. 77, 596 U.N.T.S. 261
(1969), are set forth in the appendix to the petition
(App. C).

STATEMENT OF THE CASE

Petitioner has alleged that respondents violated
his right under Article 36(1)b) the Vienna Conven-
tion to be informed of his entitlement to consular no-
tification and communication. Consistent with the
directive in the Convention that remedies are de-
termined in the first instance by the law of the host
country, see Article 36(2), petitioner seeks relief un-
der, inter alia, 42 U.S.C. & 1983, for respondents’ al-
leged violation of his treaty rights.

The court of appeals ruled against petitioner on
the threshold ground that Article 36(1)(b) of the Vi-
enna Convention does not confer on detained foreign

2

nationals a judicially enforceable right to be in-
formed of their entitlement to consular notification
and communication. The court expressly declined to
decide whether, if Article 36(1)b) confers such a
right, petitioner would be able to seek relief under
§ 1983 for respondents’ violation of that right. This
case therefore presents a single question: whether
Article 36(1)(b) of the Vienna Convention confers on
detained foreign nationals a judicially enforceable
right to be informed of their entitlement to consuiar
notification and communication.

This Court has previously granted certiorari to
decide that question; there is a square conflict in the
circuits on the question; the question is one of recur-
ring national and international importance; the deci-
sion below is incorrect; and this case presents a fa-

vorable vehicle for resolving the issue. This Court
should therefore grant review.

1. Because the courts below dismissed peti-
tioner’s complaint for failure to state a claim, the
facts in the complaint must be assumed to be true
for purposes of review. Erickson v. Pardus, 127 S.
Ct. 2197, 2197 (2007) (per curiam). Those facts are
as follows:

Petitioner is a native and citizen of the Domini-
can Republic. In 1991, petitioner immigrated to the
United States. In 1992, petitioner was arrested in
Queens, New York, and charged with attempted
robbery. At the time of the arrest, petitioner did not
speak English. App., infra, 15a.

Although petitioner told his arresting officers in
Spanish that he did not understand their questions
and that he wanted to speak with someone in Span-
ish, the arresting officers interrogated petitioner in

3

English. Petitioner later received court-appointed
counsel, but that attorney did not speak Spanish ei-
ther. Without the benefit of an interpreter, peti-
tioner was coerced into pleading guilty. Petitioner
was sentenced to six months of imprisonment and
_ five years of probation. App. 15a.

The district attorney and the arresting officers
knew that petitioner was a citizen of the Dominican
Republic. App. 15a-16a. Under Article 36(1)b) of
the Vienna Convention on Consular Relations, 21
U.S.T. 77, 100-01, 596 U.N.T.S. 261 (1969), they
were therefore obligated to inform petitioner that he
was entitled to communicate with his home consu-
late. Yet petitioner was never informed that he
could communicate with the Dominican consulate.
App. 15a-16a.

2. Petitioner filed a pro se complaint in the
United States District Court for the Eastern District
of New York, alleging that respondents, the Queens
County District Attorney and New York City Police
Department, violated his rights under Article 36 “by
failing to inform him that he could contact the Do-
minican consulate.” App. 16a &n.11. Petitioner fur-
ther alleged that if he “would [have] known of his
Vienna Convention rights,” then “[t]he outcome of
[his] case would have been different.” App. 16a. Pe-
titioner also alleged that the failure to provide notice
was a “serious error” that cost petitioner “his free-
dom.” Jd. Petitioner has not challenged the underly-
ing criminal conviction, but instead has requested
damages and other appropriate relief, including
nominal damages. See id.; C.A. App. A6; Pet. C.A.
Supp. Br. 6.

A

The district court dismissed petitioner’s com-
plaint for failure to state a claim upon which relief
can be granted, holding that “(t]he Vienna Conven-
tion was meant to protect the rights of states to care
for their nationals traveling abroad, not to protect
the rights of individuals.” App. 18a; see also id. at
6la. The court certified that any appeal from its or-
der would not be taken in good faith. Jd. at 62a.

Petitioner filed a timely notice of appeal, and the
court of appeals appointed counsel to represent him.
The court also invited the United States to file a
brief as amicus curiae.

3. The court of appeals then affirmed. The court
noted that “[{ojur sister Courts of Appeals are split”
on the question whether the Vienna Convention con-
fers judicially enforceable rights. App. 7a. The court
explained that the Fifth, Sixth, and Ninth Circuits
had held that “Article 36’s obligation to inform aliens
of their right to consular notification does not create
judicially enforceable individual rights,” while the
Seventh Circuit had held that “Article 36 creates in-
dividual rights to be informed of consular notifica-
tion and access that can be vindicated in a private
action.” Jd. Agreeing with the position of the Fifth,
Sixth, and Ninth Circuits, the court of appeals held
that Article 36(1)(b) does not confer on detained for-
eign nationals a judicially enforceable right to be in-
formed of their entitlement to consular notification
and communication. Id. at 25a.

The court of appeals relied on two textual consid-
erations in Article 36(1)(b) to support that conclu-
sion. First, the court noted that, while at least some
of the requirements in Article 36(1) “are explicitly
referred to as rights,” the entitlement to notice of

5

those rights “is never itself specifically referred to as
a ‘right.” App. 23a. Second, the court found it sig-
nificant that the Convention contains no express
statement that “private individuals can seek redress
for violations of this obligation—or any other obliga-
tion set forth in Article 36—in the domestic courts of
States-parties.” Id.

The court of appeals also relied on a statement in
the preamble to the Convention noting generally
that “the purpose of [consular] privileges and immu-
nities is not to benefit individuals but to ensure the
efficient performance of functions by consular posts
on behalf of their respective States.” 21 U.S.T. at 79.
That language, the court concluded, reflects a broad
principle “that the Convention is concerned primar-
ily, if not exclusively, with establishing relationships
and rights as between States and Stcste officials.”
App. 29a.

In addition, the court of appeals invoked a legal
presumption “against inferring individual rights
from treaties.” App. 42a. In the court’s view, the
language of Article 36(1) was not sufficiently clear to
overcome that presumption. Jd. at 46a. The court of
appeals also assigned “great weight” to the United
States’ view that that no provision of Article 36 cre-
ates a judicially enforceable individual right. Jd.

The court of appeals recognized that the Interna-
tional Court of Justice (ICJ) had held that Article 36
grants foreign nationals an individual right to be no-
tified that they may communicate with their home
consulate, and that those rights may be “asserted ...
within the domestic legal system of the United
States.” Case Concerning Avena and Other Mexican
Nationals (Mex. v. U.S.), 2004 I.C.J. 12 (Mar. 21); see

6

also LaGrand Case (F.R.G. v. U.S.), 2001 I.C.J. 466
(June 27) (“The clarity of these provisions, viewed in
their context, admits of no doubt.”). The court dis-
agreed with the ICJ’s conclusion, however, empha-
sizing that “[wle are not bound .. . to give [the ICJ’s]
interpretation any particular weight when consider-
ing the text and context of a treaty.” App. 51a.

Moreover, the court of appeals rejected peti-
tioner’s reliance on the references in the treaty’s ne-
gotiating and drafting history (travaux prépara-
toires) to the “sacred rights” of foreign nationals to
communicate with their consular officials. App. 54a.
Those statements were unhelpful to petitioner, the
court concluded, because they did not specify that
those rights could be enforced by individuals in judi-
cial proceedings. Id.

The court of appeals observed that, in Sanchez-
Llamas v. Oregon, 126 S. Ct. 2669 (2006), this Court
“assumied], without deciding,’ that Article 36 cre-
ated a judicially-enforceable right to consular notifi-
cation and access,” and decided the case on the sepa-
rate ground “that an exclusionary remedy was inap-
propriate.” App. 35a-36a n.23. The court of appeals
expressly declined to follow that approach, i.e., that
of “avoid[ing] the question whether the treaty cre-
ate[s] an individual right.” Jd. Instead, the court
held that Article 36 does not create an individual
right, and specifically declined to reach the separate
remedial question whether, if there were such a
right, it could be vindicated in an action for damages
under § 1983. Id.

In fact, the court stated that “assuming arguendo
that [petitioner] has an individual right under the
Convention, his claim for damages pursuant to

7

§ 1983 would likely be actionable” because “§ 1983
would likely provide a cause of action for damages in
the case of a treaty violation in the same manner
that [it] provides a cause of action for remedying a
statutory violation.” Jd. Accordingly, while the
court of appeals at certain points characterized its
decision as addressing whether Article 36(1)(b) con-
fers a judicially enforceable right that can be vindi-
cated in an action for damages, see, e.g., id. at 5a, 9a,
19a, the court in fact ultimately rested its decision
solely on the determination that, even assuming any
right conferred by Article 36(1)(b) could be vindi-
cated in an action for damages under § 1983, Article
36(1)(b) fails as an antecedent matter to confer on a
foreign national a judicially enforceable right to be
informed of his entitlement to consular notification

and communication. Id. at 20a-22a, 35a-36a n.23.
REASONS FOR GRANTING THE WRIT

In Sanchez-Llamas v. Oregon, 126 S. Ct. 2669
(2006), this Court granted certiorari to decide the
question “whether Article 36 of the Vienna Conven-
tion grants rights that may be invoked by individu-
als in a judicial proceeding.” Jd. at 2677. Because
the Court concluded that the petitioners in that case
would not be entitled to the relief they sought in any
event, however, the Court did not resolve that fun-
damental threshold question. Instead, “it assumed,
without deciding,” that Article 36 grants foreign na-
tionals “an enforceable right to request that their
consular officers be notified of their detention, and
an accompanying right to be informed by authorities
of the availability of consular notification,” and ruled
against the petitioners on other grounds. /d.

8

Like Sanchez-Llamas, this case presents the
question whether Article 36 confers on foreign na-
tionals a judicially enforceable right to be informed
of their entitlement to consular notification and
communication. For the same reasons that the
Court granted certiorari on that question in San-
chez-Llamas, it should also grant certiorari on that
question here. Indeed, the importance of resolving
that threshold question has only increased since the
Court’s decision in Sanchez-Llamas.

First, the decision below is in direct conflict with
a decision of the Seventh Circuit, deepening an ac-
knowledged circuit split. That conflict can only be
resolved by this Court.

The issue is also one of substantial national and
international importance. The issue “has arisen

hundreds of times in the lower federal and state
courts,” Sanchez-Llamas, 126 S. Ct. at 2694 (Breyer,
J., dissenting), evidencing a disturbing lack of com-
pliance with Article 36’s terms. See Medellin v.
Dretke, 544 U.S. 660, 674 (2005) (O’Connor, J., dis-
senting) (“In this country, the individual States’ (of-
ten confessed) noncompliance with the treaty has
been a vexing problem.”).

The decision below is also incorrect. As the four
Justices who have addressed the question have con-
cluded, Article 36 confers on foreign nationals a judi-
cially enforceable right to be informed of their enti-
tlement to consular notification and communication.
Sanchez-Llamas, 126 S. Ct. at 2694-98. (Breyer, J.,
dissenting); cf. Breard v. Greene, 523 U.S. 371, 376
(1998) (per curiam) (Article 36 “arguably confers on
an individual the right to consular assistance follow-
ing arrest”).

9

Finally, this case provides a favorable vehicle for
resolving that question because it is the only ques-
tion presented by the petition. While petitioner has
argued that he can vindicate his right through an
action for damages under § 1983, the court of ap-
peals declined to reach that question, and instead
rested its decision solely on the absence of an indi-
vidual right. This Court should therefore grant re-
view and hold that a detained foreign national has a
judicially enforceable right to be informed of his enti-
tlement to consuiar notification and communication.

A. There Is A Conflict In The Circuits On The
Question Presented

There is a square conflict in the circuits on the
question presented in this case. The holding of the
court below that Article 36 does not confer on foreign
nationals a judicially enforceable right to be in-
formed of their entitlement to consular notification
and communication is consistent with the decisions
of four other circuits. In particular, the Fifth, Sixth,
Ninth, and Eleventh Circuits have held that Article
36 does not create judicially enforceable rights.
United States v. Jimenez-Nava,‘ 243 F.3d 192, 198
(5th Cir. 2001) (rejecting argument that “Article 36
creates judicially enforceable rights”); United States
v. Emuegbunam, 268 F.3d 377, 391-94 (6th Cir.
2001) (“[T]he Vienna Convention does not create a
right for a detained foreign national to consult with
the diplomatic representatives of his nation that the
federal courts can enforce.”); Cornejo v. County of
San Diego, 504 F.3d 853, 855 (9th Cir. 2007) (“Arti-
cle 36 does not create judicially enforceable rights.”);
Gandara v. Bennett, --- F.3d ---, 2008 WL 2130577,
at *4-5 (11th Cir. May 22, 2008) (“[T]he Vienna Con-

10

vention does not confer enforceable individual
rights.”).

As the court below acknowiedged (App. 7a), those
decisions directly conflict with the Seventh Circuit’s
decision in Jogi v. Voges, 480 F.3d 822 (2007). In
Jogi, the question presented was “whether a foreign
national who is not informed of his right to consular
notification under Article 36 of the Vienna Conven-
tion .. . has any individual remedy available to him
in a U.S. court.” Id. at 824. The Seventh Circuit re-
solved that question by squarely holding that “Arti-
cle 36 confers individual rights on detained [foreign]
nationals.” Jd. at 835. The court specifically relied
on the language in Article 36 specifying that au-
thorities “shall” inform a detained foreign national of
“his rights.” Jd. at 833. The court explained that be-
cause this text emphasizes that Article 36 rights “are
the citizen’s,” and because the language is “manda-
tory and unequivocal,” Article 36 satisfies the test
for the creation of judicially enforceable individual
rights. Id.

Thus, in the Seventh Circuit, detained foreign
nationals have a judicially enforceable right to be in-
formed of their entitlement to consular notification
and. communication, while detained foreign nationals
in the Second, Fifth, Sixth, Ninth, and Eleventh Cir-
cuits have no such right.

That circuit conflict is also firmly entrenched.
Five circuits have held that Article 36(1) does not
create judicially enforceable rights, and there is no
realistic possibility that the Seventh Circuit will re-
consider its position that Article 36(1) does create
judicially enforceable rights. At the time the Sev-
enth Circuit issued its unanimous decision in Jogi,

11

the Fifth and Sixth Circuits had already; held that
Article 36(1) does not confer judicially enforceable
rights. Moreover, the Seventh Circuit’s decision re-
flects a careful consideration of all the major argu-
ments bearing on the question presented.

In addition, after the Seventh Circuit issued its
initial decision in Jogi holding that Article 36(1) con-
fers on foreign nationals judicially enforceable
rights, the defendants sought rehearing en banc.
The United States filed a brief as amicus curiae in
support of that petition, arguing that Article 36(1)
does not create judicially enforceable rights.! In re-
sponse to the petition, no judge in the Seventh Cir-
cuit voted to grant rehearing en banc. See Jogi, 480
F.3d at 824-25 & n.*. Instead, the court issued a de-
cision on rehearing unanimously reaffirming its ini-

tial conclusion that Article 36(1) confers judicially
enforceable rights. Thus, there is an entrenched
conflict in the circuits on the question presented that
can only be resolved by this Court.

Nor does it matter that the circuits are aligned 5-
1 in favor of the Second Circuit’s position. The fact
remains that foreign nationals have rights in one
circuit that they do not have in others. That 5-1
alignment also masks a substantial division of opin-
ion among the judges that have considered the ques-
tion.

In particular, a number of judges have written
concurring and dissenting opinions concluding that

1 See Br. of United States as Amicus Curiae in Support of
Petition for Rehearing and Rehearing En Banc, at 6-10,
Jogi v. Voges, No. 01-1657 (7th Cir. Nov. 16, 2005), avail-
able at http://‘www.ca7.uscourts.gov/efn/efns.fwx?submit
=showbr&caseno=01-1657 &shofile=01-1657_ 008.pdf.

12

Article 36(1)(b) creates a judicially enforceable right
to be informed of the entitlement to consular notifi-
cation and communication. For example, Judge Nel-
son has concluded that “foreign nationals have a
right to be informed that the competent authorities
are required upon request of the foreign national to
notify the sending State of the arrest or detention”
under the “clear language in Article 36(1)(b).”
Cornejo, 504 F.3d at 864-73 (Nelson, J., dissenting).
Judge Tourella has stated that “I have some diffi-
culty envisioning how it is possible to frame lan-
guage that more unequivocally establishes that the
protections of Article 36(1)(b) belong to the individ-
ual national, and that the failure to promptly notify
him/her of these rights constitutes a violation of
these entitlements by the detaining authority.”
United States v. Li, 206 F.3d 56, 68-76 (1st Cir.
2000) (en banc) (Tourella, C.J., concurring in part
and dissenting in part). And Judge Butzner has
noted that “the text emphasizes that the right of
consular notice and assistance is the citizen’s” and
this language is “mandatory and unequivocal.”
Breard v. Pruett, 134 F.3d 615, 622 (4th Cir. 1998)
(Butzner, J., concurring), affd sub nom., Breard v.
Greene, 523 U.S. 371 (1998) (per curiam); see also
United States v. Lombera-Camorlinga, 206 F.3d 882,
890 (9th Cir. 2000) (en banc) (Boochever, J., dissent-
ing); Gandara, 2008 WL 2130577 at *5-12 (Rodgers,
J., specially concurring).

Those opinions underscore what the Eleventh
Circuit acknowledged even while ultimately conclud-
ing that Article 36(1)(b) fails to confer judicially en-
forceable rights: that the “arguments in favor of in-
dividual rights under the Treaty are impressive.”
Gandara, 20008 WL 2130577, at *3. Indeed, the

13

four Justices of this Court who have addressed the
question presented in this case have all concluded
that Article 36(1) creates judicially enforceable
rights. Sanchez-Llamas, 126 S. Ct. at 2694-98
(Breyer, J., dissenting). Given the division in the
circuits and the division in judicial opinion on the
question presented, this Court’s review is warranted.

B. The Question Presented Is One Of Recur-
ring National And International Importance

The question whether Article 36 creates judicially
enforceable individual rights “has arisen hundreds of
times in the lower federal and state courts.” San-
chez-Llamas, 126 S. Ct. at 2694 (Breyer, J., dissent-
ing). That litigation attests to the recurring impor-
tance of the question presented.

Those cases also reflect a disturbing reality: de-
spite the efforts of the federal government, see App.
31a n.22, notifying arrested foreign nationals of their
rights under the Article 36 has been the exception,
rather than the rule, in the United States. An ex-
amination of New York City arrest records from
1997 revealed that 53,000 foreign nationals were ar-
rested, but consulates were notified of the arrests in
only four cases.? Even in capital cases, less than five
percent of foreign nationals sentenced to death re-
ceived timely notification of their rights under Arti-
cle 36.3 Because of the “vexing problem” of state and

2 Mark Warren, Human Rights Research, Foreign Na-
tionals and the Death Penalty in the United States (up-
dated Feb. 29, 2008), available at http://
www.deathpenaltyinfo.org/article.php?did=198&scid=31.

3 Id. (concluding that “only 7 cases of complete compliance
with Article 36 requirements have been identified so far,
out of more than 160 total reported death sentences”); see

14

local authorities’ “(often confessed) noncompliance”
with Article 36, such cases present “questions that
will inevitably recur.” Medellin, 544 U.S. at 674-75
(O’Connor, J., dissenting).

There is no evidence that compliance with the ob-
ligations in Article 36(1) has substantially improved
since this Court’s decision in Sanchez-Llamas.
Moreover, in the two years since Sanchez-Llamas,
the question whether Article 36(1) creates judicially
enforceable rights has continued to arise with regu-
larity. See, e.g., App. 16a n.12 (citing cases); Gan-
dara, 2008 WL 2130577; Lopez v. Wallace, 266 Fed.
App’x 882, 883 (11th Cir. 2008); Cornejo, 504 F.3d at
854-55.4 The frequent litigation confirms the con-
tinuing importance of the issue.

This Court’s responsibility to ensure the uniform
interpretation and application of federal law is par-
ticularly important in this context. As five nations
that are signatories to the Vienna Convention ex-
plained in urging the Court to grant review in the
companion case to Sanchez-Llamas: “When nations

also Amnesty International, United States of America: A
time for action — Protecting the consular rights of foreign
nationals facing the death penalty, at 4 (Aug. 2001).

4 See also, e.g., Gomez v. Cal. Bd. of Prison Terms, 2008
WL 1946540, at *1 (E.D. Cal. May 1, 2008); Leka v.
United States, 2008 WL 686797, at *2 (N.D.N.Y. Mar. 10,
2008); Gardner v. Meggs, 2007 WL 3231734, at *1-2 (N.D.
Fla. Oct. 30, 2007); Christ v. Detroit Police Dep’t, 2007
WL 2050793, at *2 (E.D. Mich. July 13, 2007); Jacko v.
Mich. State Police, 2007 WL 1017648, at *2 (E.D. Mich.
Mar. 30, 2007); Keszthelyi v. Bowman, 2007 WL 626221,
at *4 (E.D. Tenn. Feb. 23, 2007); Gamez-Reyes v. Dobre,
2007 WL 954238, at *3 (E.D. Tex. Mar. 26, 2007).

15

such as amici treat with the United States on impor-
tant matters such as the right to consular notifica-
tion, it is essential that they have assurance that the
United States will be able to ensure compliance with
its treaty obligations by all organs of the govern-
ment. ... [Cjonflicting judicial decisions on the ap-
plication and interpretation of a treaty undermine
this assurance.” Br. of Honduras, et al. as Amici Cu-
riae, Bustillo v. Johnson, No. 05-51, at 11 (Sept. 23,
2005), available at 2005 WL 2376680.

The question presented is therefore one of recur-
ring national and international importance. “(Given
its importance,” Sanchez-Llamas, 26 S. Ct. at 2694
(Breyer, J., dissenting), review is warranted.

C. The Court Of Appeals’ Decision Is Incorrect

Review is also warranted because the court of ap-

peals’ decision is incorrect. As four Justices of this
Court have concluded, Article 36(1)(b) grants de-
tained foreign nationals a judicially enforceable right
to be informed of their entitlement to consular notifi-
cation and communication. Sanchez-Llamas, 126 S.
Ct. at 2694-98 (Breyer, J., dissenting).

1. In determining whether a treaty creates a ju-
dicially enforceable right, the Court begins with an
examination of the text. United States v. Alvarez-
Machain, 504 U.S. 655, 661 (1992). Subparagraph
1(b) of Article 36 provides as follows:

(if he so requests, the competent authorities
of the receiving State shall, without delay, in-
form the consular post of the sending State if,
within its consular district, a national of that
State is arrested...or is detained in any
other manner. Any communication addressed
to the consular post by the person ar-

16

rested ... shall also be forwarded by the said
authorities without delay. The said authori-
ties shall inform the person concerned without
delay of his rights under this sub-paragraph.

21 U.S.T. at 101 (emphasis added).

That language establishes that Article 36(1)(b)
creates three judicially enforceable rights. Each sen-
tence of the subparagraph uses mandatory language
(“shall”) and expressly links the duty described to
the detained foreign national (“if he so requests,”
“communication ... by the person arrested,” “inform
the person concerned”). The final sentence uses not
only the term “rights,” but also the possessive adjec-
tive “his,” making clear that the rights belong to “the
person” arrested or detained. Thus, the plain lan-
guage of Article 36(1) creates judicially enforceable
rights. Sanchez-Llamas, 126 S. Ct. at 2694-98
(Breyer, J., dissenting).

This Court’s approach to deciding whether a
statute creates a judicially enforceable right con-
firms that conclusion. In that context, this Court
asks whether the statute uses “rights-creating” lan-
guage—language that is both mandatory and “indi-
vidually focused.” Gonzaga Univ. v. Doe, 536 US.
273, 284 n.3, 287 (2002); see Cannon v. Univ. of Chi-
cago, 441 U.S. 677, 692 n.13 (1979). Because Article
36(1) uses language that is both mandatory and in-
dividually focused, applying that approach here
leads to the conclusion that Article 36(1) creates ju-
dicially enforceable rights.

2. The court of appeals’ reasons for reaching a
contrary conclusion are unpersuasive. First, the
court concluded that, while “at least some of thel[]
requirements [of subparagraph (1)(b)] are explicitly

17

referred to as ‘rights’ of the individual foreign na-
tionals, . . . a receiving State’s obligation to inform a
detained foreign national of his ‘rights’ under para-
graph 1(b)” is “never itself expressly referred to as a
right.” App. 23a. (emphasis added).

That distinction is untenable. All three sentences
share the same structure, describing what local au-
thorities “shall” do. The first and third sentences
even use the same verb: the authorities shall inform
the consulate of the arrest upon request, and shall
inform the arrested person of his rights. Moreover,
all three sentences frame the obligation as one run-
ning to a specific class of detained foreign nationals.
The common structure of the three sentences estab-
lishes that they have a common effect, and that all
three create judicially enforceable rights.

Indeed, the provision establishing a duty to in-
form foreign nationals of their entitlement to consu-
late notification and communication is especially
clear in creating a judicially enforceable individual
right. While the first two obligations refer to the
right of both the detained individual and the consu-
late, the obligation to inform a foreign national of his
rights “exclusively concerns the detained individual.”
Medellin, 544 U.S. at 687 (O’Connor, J., dissenting).

Furthermore, obligations to provide notice of
other rights are readily understood as creating
rights themselves. As Justice O’Conner has ex-
plained, if a statute required “that arresting authori-
ties ‘shall inform a detained person without delay of
his right to counsel,” it is difficult to imagine what
“more would be required before a defendant could
invoke that statute to complain in court if he had not
been so informed.” Jd.

18

The court of appeals’ distinction also makes little
sense. There is no plausible reason to confer on a
foreign national a judicially enforceable right both to
consular notification and to consular communication,
only to deny judicial enforcement of the closely re-
lated entitlement to be informed of those rights, and
to require resort to claims by national governments
in the international arena. That is particularly true
because when, as here, a foreign national is unaware
of his rights to consular notification and communica-
tion, a violation of his right to notice operates as a
denial of the other two rights. The court of appeals
offered no reason why the parties to a treaty would
create such an incoherent scheme.

The court of appeals also erred in emphasizing
the absence of an express statement in the treaty to
the effect that “private individuals can seek redress
for violations of this obligation ... in the domestic
courts of States-parties.” App. 23a (emphasis
added). This Court “has repeatedly enforced treaty-
based rights of individual foreigners” based on trea-
ties that “do not share any special magic words.”
Medellin, 544 U.S. at 687 (O’Connor, J., dissenting).
For example, in Kolovrat v. Oregon, 366 U.S. 187,
192 (1961), the Court held that a treaty provision
that conferred on foreign nationals “rights which the
{United States’? laws grant” created a judicially en-
forceable individual right. Similarly, in Asakura v.
Seattle, 265 U.S. 332, 340 (1924), the Court held that
a treaty provision granting foreign nationals “liberty
... to carry on trade... upon the same terms as na-
tive citizens or subjects” created a judicially enforce-
able individual right. Neither of those treaties ex-
pressly referred to “domestic courts” or judicial en-

19

forcement. See Medellin, 544 U.S. at 687 (O’Connor,
J., dissenting).

The court of appeals’ insistence on such language
is particularly inappropriate in the context of the Vi-
enna Convention because Article 36(2) of the Con-
vention provides that “[t]he rights referred to in
paragraph 1 of this Article shall be exercised in con-
formity with the laws and regulations of the receiv-
ing State,” provided that “the said laws and regula-
tions must enable full effect to be given to the pur-
poses for which the rights accorded under this Arti-
cle are intended.” 21 U.S.T. at 101. As the Court
explained in Sanchez-Liamas, that provision makes
clear that the Vienna Convention “expressly leaves”
the remedies for violation of the rights protected by
Article 36 to “domestic law.” 126 S. Ct. at 2678.

The court of appeals (App. 29a-30a) also relied on
the language in the Convention’s preamble stating
that the “purpose” of the consular privileges and
immunities described in the treaty “is not to benefit
individuals but to ensure the efficient performance of
functions by consular posts on behalf of their respec-
tive States.” 21 U.S.T. at 79. The general language
of a preamble, however, cannot trump the plain lan-
guage of Article 36(1). Jogi, 480 F.3d at 834; cf. Dis-
trict of Columbia v. Heller, 128 S. Ct. 2783, 2789
(2008) (a prefatory clause “does not limit or expand
the scope of the operative clause”). In any event, the
preamble is not in any tension with the conclusion
that Article 36(1) creates judicially enforceable
rights. Granting foreign nationals a judicially en-
forceable right to be informed of their entitlement to
consular notification and communication plainly ad-
vances the purpose of ensuring “the efficient per-

20

formance of functions by consular posts.” 21 U.S.T.
at 79.

3. Other considerations also support the conclu-
sion that Article 36(1) creates judicially enforceable
individual rights. In LaGrand, the ICJ found it
“(slignificant[]” that subparagraph 1(b) obligates au-
thorities to inform an arrested person of “his rights”
and that paragraph 1(c) allows the person to refuse
consular assistance by “expressly oppos[ing] such ac-
tion.” 2001 I.C.J. at 494. The court concluded that
“(t]he clarity of these provisions, viewed in their con-
text, admits of no doubt” and that the rights belong
to individuals. Jd. In Avena, the court further held
that “the individual nghts of nationals under para-
graph 1 (b) of Article 36 of the Vienna Convention
are rights which are to be asserted, at any rate in
the first place, within the domestic legal system of
the United States.” 2004 I.C.J. at 35. As an “inter-
pretation of an international agreement by an inter-
national court,” those decisions are entitled to “re-
spectful consideration” by United States courts.
Sanchez-Llamas, 126 S. Ct. at 2685 (internal quota-
tion marks omitted).

The negotiating and drafting history (travaux
préparatoires) of Article 36 reinforce the conclusion
that the drafters intended to confer judicially en-
forceable rights on foreign nationals. See, e.g., 1 Of-
ficial Records, United Nations Conference on Consu-
lar Relations 338 (1963) (“Official Records”) (state-
ment of Korea) (calling Article 36(1)(b) “extremely
important because it relate[s] to one of the funda-
mental and indispensable rights of the individual”);
id. at 332 (statement of Spain) (“the rights of the na-
tionals of a sending State” to consular access are
among “the most sacred rights of foreign residents in

21

a country”). Indeed, some delegates opposed the
language of Article 36(1)(b)—and unsuccessfully at-
tempted to amend it to omit any mention of individ-
ual rights—precisely because it “introduced a nov-
elty to the convention by defining the rights of the
nationals of the sending States and not... the rights
of consular officials.” Jd. (statement of Kuwait); see
Mark J. Kadish, Article 36 of the Vienna Convention
on Consular Relations: A Search for the Right to
Consul, 18 Mich. J. Intl L. 565, 596 (1997).

In addition, this Court has held that “where a
provision of a treaty fairly admits of two construc-
tions, one restricting, the other enlarging, rights
which may be claimed under it, the more liberal in-
terpretation is to be preferred.” Bacardi Corp. of
Am. v. Domenech, 311 U.S. 150, 163 (1940). This
Court has consistently followed that principle of
treaty construction for two centuries. See United
States v. Stuart, 489 U.S. 353, 366 (1989); Kolovrat,
366 U.S. at 193; Hauenstein v. Lynham, 100 U.S. (10
Otto) 483, 487 (1880); Shanks v. Dupont, 28 U.S. (3
Peters) 242, 249 (1830). As Justice Story put it for
the Court in Shanks: “If the treaty admits of two in-
terpretations, and one is limited, and the other lib-
eral; one which will further, and the other exclude
private rights; why should not the most liberal expo-
sition be adopted?” 28 U.S. at 249. Thus, even if Ar-
ticle 36(1) were ambiguous, it should be interpreted
to create judicially enforceable rights.

4. The court of appeals held that there is a pre-
sumption against treaties creating judicially en-
forceable rights that can be overcome only by a clear
showing that the drafters intended to “confer rights
that could be vindicated in the manner sought by the
affected individuals.” App. 45a. That clear state-

22

ment rule is inconsistent with the principle of liberal
construction articulated by Justice Story, and this
Court has never adopted it. See Sanchez-Llamas,
126 S. Ct. at 2697 (Breyer, J., dissenting) (“The prob-
lem with that argument is that no such presumption
exists.”). Even if treaties generally do not create ju-
dicially enforceable rights, there is no basis for deny-
ing judicial enforceability in circumstances in which,
as with Article 36(1)(b), the terms of the treaty in-
voke mandatory, rights-creating language directed to
a specific class of individuals. Decisions like Kolov-
rat and Asakura demonstrate that the treaty lan-
guage in Article 36(1) is sufficiently clear to create
judicially enforceable rights.

Finally, the court of appeals assigned “great
weight” to the government’s position that Article 36
creates no individual rights that can be invoked in
court under any circumstances. App. 46a. This
Court, however, has not hesitated to reject the gov-
ernment’s interpretation of a treaty when, as here, it
is contrary to the text of the treaty. See Perkins vu.
Elg, 307 U.S. 325, 328, 337-42 (1939); Johnson v.
Browne, 205 U.S. 309, 319-21 (1907); De Lima uv.
Bidwell, 182 U.S. 1, 181, 194-99 (1901). As Justice
Breyer stated for four members of this Court in San-
chez-Liamas: Because the “language, the nature of
the right, and the ICJ’s interpretation of the treaty
taken separately or together so strongly point to an
intent to confer enforceable rights upon an individ-
ual, I cannot find in the simple fact of the Executive
Branch’s contrary view sufficient reason to adopt the
Government’s interpretation of the Convention.” 126
S. Ct. at 2698 (Breyer, J., dissenting).

23

D. This Case Presents A Favorable Vehicle For
Review Of The Question Presented

This case presents a favorable vehicle for resolv-
ing the question whether Article 36 confers on for-
eign nationals a judicially enforceable right to be in-
formed of the entitlement to consular notification
and communication. Petitioner’s complaint ex-
pressly alleges that respondents failed to inform him
of his right to contact his consulate, in violation of
his rights under Article 36 of the Vienna Convention.
Because petitioner's complaint was dismissed for
failure to state a claim, petitioner’s allegation must
be accepted as true for purposes of review. Erickson,
127 S. Ct. at 2197.

Moreover, the court below ruled against peti-
tioner solely on the ground that Article 36 does not

confer on foreign nationals a judicially enforceable
right to be informed of the their entitlement to con-
sular notification and communication. App. 20a-22a,
35a-36a n.23. The court expressly declined to reach
the question whether, if Article 36 does confer such a
right, petitioner may seek damages under 42 U.S.C.
§ 1983. Id. at 35a-36a n.23. Thus, this case
squarely oresents only the threshold question
whether Article 36 confers on fore*<n nationals a ju-
dicially enforceable right to be informed of their enti-
tlement to consular notification and communication.

There is also nothing to be gained by awaiting
further development in the lower courts. Six circuits
have now issued decisions resolving the question
presented. Those circuits cover the overwhelming
majority of states with a high concentration of for

24

eign-born residents.5 Moreover, those decisions have
thoroughly canvassed all the arguments bearing on
the proper resolution of the question. This Court
should therefore grant review to resolve the impor-
tant threshold question whether Article 36(1) confers
on foreign nationals a judicially enforceable right to
be informed of their entitlement to consular notifica-
tion and communication.

5 See U.S. Census Bureau, The Foreign-Born Population:
2060 at 3 (Dec. 2003), available at http://(www.census.gov/
prod/2003pubs/c2kbr-34.pdf (as of 2000, the five states
with the highest population of foreign-born residents are
California (8.8 million), New York (3.8 million), Texas
(2.8 million), Florida (2.6 million), and Dlinois (1.5 mil-
lion)).

25
CONCLUSION

For the foregoing reasons, the petition for a writ
of certiorari should be granted.

Respectfully submitted,

JON ROMBERG WALTER DELLINGER
Seton Hall University SRI SRINIVASAN

School of Law (Counsel of Record)
Center for Social Justice IRVING L. GORNSTEIN
833 McCarter Highway O’MELVENY & Myers LLP
Newark, NJ 07102 1625 Eye St., N.W.
(973) 642-8700 Washington, D.C. 20006

(202) 383-5300

July 23, 2008

la

APPENDIX A

COURT OF APPEALS OPINION

UNITED STATES COURT OF APPEALS
FOR THE SECOND CIRCUIT

August Term, 2006

(Argued: April 9, 2007 Decided: April 24, 2008
Errata filed: May 12, 2008)

Docket No. 06-0341-pr.

RICARDO A. DE LOS SANTOS MORA,
Plaintiff-Appellant,

Vv.

THE PEOPLE OF THE STATE OF NEW YORK, RICHARD A.
Brown, District Att., FLUSHING QUEENS POLICE
DEPT.,

Defendants-Appellees.

Before: LEVAL, CABRANES, and RAGGI,
Circuit Judges.

Plaintiff, a foreign national who alleges that
defendants violated Article 36 of the Vienna
Convention on Consular’ Relations (“Vienna
Convention”) by failing to notify him that he could
contact his consulate after having been arrested,
appeals from a judgment of the United States

2a

District Court for the Eastern District of New York
(Raymond J. Dearie, Judge) dismissing his
complaint, which sought $1 million in damages
under the Alien Tort Statute (*ATS”). Pursuant to 28
U.S.C. § 1915A, which governs complaints filed by
prisoners in civil actions, the District Court sua
sponte determined that plaintiff failed to state a
claim upon which relief can be granted because
Article 36 does not confer individual rights that can
be enforced in domestic courts. On appeal, plaintiff
argues that the requirement of Article 36 that
States-parties inform an alien of the availability of
consular notification and access creates individual
rights that can be vindicated by an action for
damages not only through the ATS, but also through
42 U.S.C. § 1983 and an implied private right of
action provided for by the Vienna Convention itself.

We conclude, however, that a State-party’s failure to
fulfill its obligation to inform a detained alien of the
prospect of consular notification and _ access,
pursuant to Article 36, cannot form the basis for
such a suit under the ATS, § 1983, or directly under
the Vienna Convention.

Affirmed.

MICHAEL DOVER, JAE LEE! (Irena Nikolic, Jon
Romberg, on the brief), Seton Hall University
School of Law, Center for Social Justice,
Newark, NJ, for Plaintiff-Appellant.

ALAN BECKOFF, Assistant Corporation Counsel
(Michael A. Cardozo, Corporation Counsel of

1 Law students appearing pursuant to Local Rule
46(e).

3a

the City of New York, Leonard Koerner,
Assistant Corporation Counsel, on the brief),
New York City Law Department, New York,
NY, for Defendants-Appellees.

SHARON SWINGLE, Attorney, Appellate Staff, Civil
Division, United States Department of
Justice, Washington, DC (James H. Thessin,
Acting Legal Adviser, United States
Department of State, Washington, DC; Peter
D. Keisler, Assistant Attorney General,
United States Department of Justice,
Washington, DC; Roslynn R. Mauskopf,
United States Attorney, United States
Attorney’s Office for the Eastern District of
New York, Brooklyn, NY; Douglas N. Letter,
Attorney, Robert M. Loeb, Attorney, Appellate
Staff, Civil Division, United States
Department of Justice, Washington, DC, on
the brief), for Amicus the United States in
Support of Defendants-Appellees.

JOSE A. CABRANES, Circuit Judge:

This appeal concerns obligations imposed by
Article 36 of the Vienna Convention on Consular
Relations (“the Vienna Convention” or “the
Convention”), Apr. 24, 1963, [1970] 21 U.S.T. 77,
100-101, T.LA.S. No. 6820. When a national of one
country is detained by authorities in another
country, paragraph 1 of Article 36 imposes several
requirements. Paragraph 1(b) contains’ three
obligations: (1) “the authorities must notify the
consular officers of the detainee’s home country if
the detainee so requests”; (2) any communication to
the consular officials by a detained alien “shall also

4a

be forwarded by the said authorities without delay”;
and (3) the detaining authorities “shall inform the
person concerned without delay of his rights under
this sub-paragraph.” 21 U.S.T. at 101-02. Under
paragraph l(c), consular officials of the state of the
detained alien “shall have the right to visit.” We
consider here the third of the paragraph 1(b)
requirements-the obligation of States-parties to
inform a detained alien of the availability of consular
notification and access.?

For three decades after the ratification of the
Convention by the United States in 1963, it appears
that no claim was asserted that the Convention
generally, or Article 36(1)(b\third) in particular,
conferred rights upon individuals that could be
enforced in our domestic courts, as distinguished

from the customary claims of treaty violations
asserted by and between States-parties in their
international relations. Understandably, a passing
Suggestion by the Supreme Court in Breard uv.
Greene, 523 U.S. 371, 376, 118 S. Ct. 1352 (1998)

2 In Sanchez-Llamas v. Oregon, 548 U.S. 331, —, 126
S. Ct. 2669, 2675 (2006), the Supreme Court referred to
two requirements imposed by Article 36(1)(b) by eliding
the first and second sentences of Article 36. Because the
three sentences of Article 36(1)(b) impose three distinct
sets of obligations, we will refer to them as Art.
36(1)(b)(first) (the detaining authority’s obligation to
notify the detainee’s consulate if the detainee so
requests), Art. 36(1)(b) ‘second) (any communication to
the consular officers by the detainee shall be forwarded
by authorities without delay), and Art. 36(1)(b)(third) (the
detaining authority's obligation to inform a detainee of
- the availability of consular notification and access).

5a

(per curiam), that the Convention “arguably confers
on an individual the right to consular assistance
following arrest,” triggered an outpouring of
conflicting case law on various permutations of the
broad question of whether the Convention confers
upon individuals any rights that can be enforced in
our courts. The particular settings in which this
broad question has arisen are many, and some are
set forth in the margin.? We consider here only the
narrow question of whether a detained alien may
vindicate in an action for damages the failure of the
detaining authority to inform him of the availability

3 Other courts have considered violations of Article 36
in a variety of contexts. See, e.g., Medellin v. Texas, 552
U.S. —, 128 S. Ct. 1346 (2008) (enforcement in state
courts of the judgment of the International Court of
Justice concerning Article 36 violations); Sanchez-Llamas
vu. Oregon, 548 U.S. 331, 126 S. Ct. 2669, (2006)
(suppression of evidence, in habeas corpus proceeding);
Cornejo v. County of San Diego, 504 F.3d 853 (9th Cir.
2007) (claim for damages); Jogi v. Voges, 480 F.3d 822,
835 (7th Cir. 2007) (on petition for rehearing) (claim for
damages); United States v. Emuegbunam, 268 F.3d 377,
388-94 (6th Cir. 2001) (dismissal of indictment and
reversal of conviction); United States v. Jimenez-Nava,
243 F.3d 192, 198 (5th Cir. 2001) (suppression of
statement); United States v. Santos, 235 F.3d 1105, 1106-
08 (8th Cir. 2000) (suppression of confession and reversal
of conviction); United States v. Li, 206 F.3d 56 (1 st Cir.
2000) (en banc) (suppression of confession and dismissal
of indictment). Our own court has considered an
ineffective assistance of counsel claim based on counsel’s
failure to move to dismiss an indictment on the basis of
violations of Article 36. United States v. De La Pava, 268
F.3d 157, 163-66 (2d Cir. 2001).

6a

of consular notification and access.4 For the reasons
set forth below, we conclude that no such action can
be maintained.

4 We hasten to note some of the questions that we
need not, and do not, reach in order to decide the narrow
question presented by this lawsuit. First of all, we have
no occasion here to consider, much less resolve, the
general and difficult question of whether there are any
other circumstances in which courts could entertain an
individual right of action under the Convention. We do
not consider whether a detaining authority’s refusal to
comply with the first set of requirements of Article
36(1)(b)—by refusing to notify the consulate at the request
of the detained alien-would present such circumstances,
see Art. 36(1)(b)(first). We do not consider whether at the
insistence of a detained alien a court may order such a
recalcitrant detaining authority to notify the consulate of
his detention or to send a communication from a detained
alien to his consulate, see Art. 36(1)(b)(first)-(second); or
direct a recalcitrant detaining authority to permit a
consular official to visit a detained alien or otherwise
allow the consular official to communicate with the
detained alien, see id.; or order notification of obligations
owed when a detained alien, who knows that obligations
are owed but does not know exactly what they are, asks
to be informed with specificity, see Art. 36(1)(b)(third).
And finally, we do not consider whether a detaining
authority that gives 7Oautomatic notification to the
consular post of arrested aliens (before asking for the
consent of the detained alien) presents a case in which
courts could entertain an individual action for violations
of the Convention. In identifying questions that we have
not considered here, we underscore that we intimate no
view on the merits of such questions.

Ta

Similar questions have arisen both in the context
of civil suits for damages by foreign nationals, such
as the case presented here, and in the context of
criminal trials and _ postconviction proceedings
involving foreign nationals, see note 3 ante. The
Supreme Court has thus far avoided answering
those questions, see Medellin v. Texas, 552 U.S. —,
—n.4, 128 S. Ct. 1346, 1357 n.4 (assuming, without
deciding, that Article 36 creates judicially
enforceable individual rights); Sanchez-Llamas uv.
Oregon, 548 U.S. 331, —, 126 S. Ct. 2669, 2677-78
(2006) (same), although four Justices have expressed
the view that these questions should be answered in
the affirmative, see id. at 2693-98 (Breyer, J.,
dissenting, joined by Stevens, Souter, & Ginsburg,
JJ.). Our sister Courts of Appeals are split. Compare
Cornejo v. County of San Diego, 504 F.3d 853, 859-64
(9th Cir. 2007) (concluding that Article 36's
obligation to inform aliens of their right to consular
notification does not create judicially enforceable
individual rights), United States v. Emuegbunam,
268 F.3d 377, 391-94 (6th Cir. 2001) (same), and
United States v. Jimenez-Nava, 243 F.3d 192, 196-98
(5th Cir. 2001) (same), with Jogi v. Voges, 480 F.3d
822, 834-35 (7th Cir. 2007) (concluding that Article
36 creates individual rights to be informed of
consular notification and access that can be
vindicated in a private action). And in cases where
the majority did not reach the question, non-majority
opinions reflect similarly divergent conclusions.
Compare United States v. Santos, 235 F.3d 1105,
1109 (8th Cir. 2000) (Beam, J., concurring)
(concluding that Article 36 does not create a
judicially enforceable individual right to be informed
of a right to consular notification upon arrest), and

8a

United States v. Li, 206 F.3d 56, 66-68 (1 st Cir.
2000) (en banc) (Selya & Boudin, JJ., concurring)
(same), with Li, 206 F.3d at 68-76 (Torruella, J.,
concurring in part and dissenting in part)
(concluding that Article 36 creates a judicially
enforceable individual right to be advised about the
prospect of consular assistance).

Our Court has yet to speak definitively on the
question. In United States v. De La Pava, 268 F.3d
157 (2d Cir. 2001), an appeal from a criminal
conviction, we considered whether it was necessary
to vacate a conviction where the defendant argued
that he had received ineffective assistance of counsel
because his lawyer had not moved to dismiss the
indictment on the basis of an alleged violation of
Article 36(1)(b)(third), id. at 163. We determined
that a violation of Article 36’s obligation to inform
aliens of the prospect of consular notification and
access does not provide a basis for the dismissal of
an indictment, and therefore it is not ineffective
assistance of counsel for a lawyer not to request
dismissal on this basis. See id. at 165-66.

We are thus required to consider the thoughtful,
if conflicting, arguments of some of our colleagues
elsewhere in the federal courts. For the reasons
stated below, and in keeping with the apparent
practices of the other States-parties to the
Convention,® we conclude that Article 36’s obligation

5 We requested that amicus the United States provide
us with information regarding the judicial enforcement of
alleged individual rights in the domestic courts of other
States-parties to the Convention. The United States has
informed us that in January 2007, the U.S. Department

9a

to inform detained aliens of the prospect of consular
notification and access cannot, when violated, be
vindicated by a private action for damages filed in
our courts. We find that the text of the Vienna
Convention and its context make clear that Article
36(1)(b\(third) does not afford detained aliens with
individual rights that they can assert through such
litigation. Interpretive principles, such as_ the
presumption that treaties do not create privately
enforceable rights in the absence of express language
to the contrary, counsel against such an

of State surveyed U.S. embassies worldwide, asking “can
an individual sue in court if he or she did not receive
consular notification and/or access?” Amicus’s May 11,
2007 Supp. Letter Br. 2. The State Department received
96 responses, representing 91 of the 170 countries party
to the Convention. “With one possible exception,” the
State Department was unable to identify any country in
which an individual litigant could sue for money damages
for violation of the consular notification and access
provisions in Article 36. Jd. And “with a handful of
possible exceptions,” no other country’s courts “have
construed the consular notification requirements of the
Convention to create privately enforceable individual
rights.” Id. Moreover, although the governments of 36
countries, acting as amici in a companion case to
Sanchez-Liamas, expressed the view that Article 36
creates judicially enforceable individual rights to be
informed of the prospect of consular notification and
access, they did not identify any statutory authority or
administrative or judicial proceedings in their own
countries affording individuals the rights they assert are
available to detained aliens in the courts of the United
States. Id. at 2 n.3.

10a

interpretation here. See Medellin, 552 U.S. at — n.3,
128 S. Ct. at 1357 n.3 (collecting cases in the court of
appeals acknowledging such a_ presumption).
Pursuant to the instructions of the Supreme Court
with respect to the deference owed to the views of
the Executive on issues of treaty interpretation, we
accord “great weight,” Sumitomo Shoji Am., Inc. v.
Avagliano, 457 U.S. 176, 184, 102 S. Ct. 2374 (1982),
to the settled view of the Executive under successive
national administrations. See Li, 206 F.3d at 63
(noting in 2000, during the Clinton Administration,
the view of the Executive that the Vienna
Convention does not create individual rights); id. at
63-64 (charting the views of the Executive since
1970); see also Amicus’s Br. 5; note 28 post. Finally,
the views of the International Court of Justice

(“ICJ”) on this issue do not persuade us otherwise.
We further conclude that plaintiffs claims for
violation of Article 36(1)(b)(third) do not give rise to
a cause of action under the Alien Tort Statute.

The judgment of the United States District Court
for the Eastern District of New York (Raymond J.
Dearie, Judge), which dismissed plaintiff-appellant’s
complaint pursuant to 28 U.S.C. § 1915A® for failure

6 Section 1915A states that a district court “shall
review, before docketing, if feasible or, in any event, as
soon as practicable after docketing, a complaint in a civil
action in which a prisoner seeks redress from a
governmental entity or officer or employee of a
governmental entity.” 28 U.S.C. § 1915A (a). The court
“shall identify cognizable claims or dismiss the complaint,
or any portion of the complaint, if the complaint .. . fails
to state a claim upon which relief may be granted.” Id. §
1915A(b). At all times relevant to the procedural history

lla

to state a claim upon which relief can be granted, is
therefore affirmed.

BACKGROUND

ien nvention

The Vienna Convention is the product of the
United Nations Conference on Consular Relations
(“the Conference”), which met in the capital of
Austria in March and April of 1963. Working from a
draft prepared by the _ International Law
Commission,’ representatives from the governments
of 92 countries, including the United States, came
together to draft the final document. See generally
Luke T. Lee, Vienna Convention on Consular
Relations 15-18 (1966). One commentator has noted
that, “jaJs the first conference of this kind
participated in by states from all parts of the world,
it hed to strve toward as broad an area of
agreement as possible, acceptable to states old and
new, whatever their political and economic systems.”
Id. at 16. The President of the United States, upon
the advice and consent of the Senate, ratified the

of the instant case, plaintiff was (and continues to be) an
inmate in the custody of the Federal Bureau of Prisons as
the result of a more recent conviction than the one
involved in the instant case.

’ The International Law Commission, which is
“charged with the task of codifying and developing
international law,” was established by the General
Assembly of the United Nations in 1947. See generally 1
Oppenheim’s International Law 103-10 (Sir Robert
Jennings & Sir Arthur Watts eds., 9th ed. 1996).

12a

Convention in 1969. 21 U.S.T. at 77. As of 2006, 170
countries were party to the Conveniion. Sanchez-
Llamas, 126 S. Ct. at 2674.

The Vienna Convention consists of a preamble
and 79 articles. Article 36, which “concerns consular
officers’ access to their nationals detained by
authorities in a foreign country,” id. at 2675, states
in full:

1. With a view to facilitating the exercise of
consular functions relating to nationals of the
sending State:

(a)consular officers shall be _ free_ to
communicate with nationals of the sending
State and to have access to them. Nationals of
the sending State shall have the same freedom
with respect to communication with and access
to consular officers of the sending State;

(b) if he so requests, the competent authorities
of the receiving State shall, without delay,
inform the consular post of the sending State if,
within its consular district, a national of that
State is arrested or committed to prison or to
custody pending trial or is detained in any
other manner. Any communication addressed
to the consular post by the person arrested, in
prison, custody or detention shall also be
forwarded by the said authorities without
delay. The said authorities shall inform the
person concerned without delay of his rights
under this sub-paragraph;

(c) consula officers shall have the right to
visit a national of the sending State who is in
prison, custody or detention, to converse and

13a

correspond with him and to arrange for his
legal representation. They shall also have the
right te visit any national of the sending State
who is in prison, custody or detention in their
district in pursuance of a judgment.
Nevertheless, consular officers shall refrain
from taking action on behalf of a national who
is in prison, custody or detention if he
expressly opposes such action.

2. The rights referred to in paragraph 1 of
this Article shall be exercised in conformity
with the laws and regulations of the receiving
State, subject to the proviso, however, that the
said laws and regulations must enable full
effect to be given to the purposes for which the
rights accorded under this Article are
intended.

21 U.S.T. at 101-02 (emphasis added). Paragraph 2
of Article 36 is said to “provide[ ] guidance regarding
how these requirements, and the other requirements
of Article 36, are to be implemented.” Sanchez-
Llamas, 126 S. Ct. at 2675.

In addition to the Convention itself, the
President, upon the consent of the Senate, ratified
the Optional Protocol Concerning the Compulsory
Settlement of Disputes (“the Optional Protocol” or
“Protocol”), Apr. 24, 1963, [1970] 21 U.S.T. 325,
T.LA.S. No. 6820. The Protocol states that (1) the
ICJ has “compulsory jurisdiction” over “[dlisputes
arising out of the interpretation or application of the
Convention” 8 and (2) accordingly, any State-party to

8 As we explained in Flores v. S. Peru Copper Corp.,
414 F.3d 233, 250 n.24 (2d Cir. 2003):

l4a

the Protocol may bring such a dispute before the
ICJ. Id. at 326. The United States withdrew from
the Protocol in 2005.9 Sanchez-Llamas, 126 S. Ct. at
2675.

The International Court of Justice (“ICJ”) is a
multinational body charged with discerning and
applying international law. Under the Charter of
the United Nations, “[aJll1 Members of the United
Nations [including the United States] are ipso
facto parties to the Statute of the International
Court of Justice.” Charter of the United Nations,
59 Stat. 1033, 1051, T.S. No. 993 (1945), Art. 93
(effective Oct. 24, 1945).

The United States Senate consented to the
Charter of the United Nations on July 28, 1945, 91
Cong. Rec. 8185, 8190 (1945), causing the United
States to be a party to the Statute of the ICJ. The
Senate famously conditioned its adoption of
President Truman’s Declaration that the United
[S]tates would accede to the compulsory
jurisdiction of the ICJ with the Connally
Reservation, which permits the United States to
opt out of the jurisdiction of the ICJ over a
particular dispute if [it] determines that the
dispute is domestic in nature and that its domestic
jurisdiction applies. See Acceptance of Compulsory
Jurisdiction of the International Court of Justice,
92 Cong. Rec. 10,694-97 (1946); Dep’t State Bull.,
Sept. 1946, at 452-53.

®° The international legal consequences of a State-.
party’s unilateral withdrawal from a treaty that has no
explicit withdrawal provision, such as the Optional
Protocol, is a complicated and unsettled question. See
generally, W. Michael Reisman & Mahnoush H.
Arsanjani, No Exit? A Preliminary Examination of the

15a

B. Facts and Procedural History of the Instant Case

The following facts are taken from the pro se
complaint filed in the District Court by plaintiff-
appellant Ricardo A. De Los Santos Mora
(“plaintiff”). We accept these facts as true for the
purposes of this appeal and draw all inferences in
plaintiffs favor. See, e.g., McInerney v. Rensselaer
Polytechnic Inst. , 505 F.3d 135, 138 (2d Cir. 2007).

Plaintiff is a currently incarcerated native and
citizen of the Dominican Republic who entered the
United States in 1991. In 1992, he was arrested in
Queens, New York, and charged with attempted
robbery in violation of New York State law.
According to plaintiffs allegations, he did not speak
English at the time of his arrest, and the arresting
officers did not speak Spanish. He was interrogated
without an interpreter present, although he told
police in Spanish that he did not understand and
wanted to speak with somebody in Spanish. After
appearing before a judge, plaintiff was appointed
counsel who did not speak Spanish. Plaintiff was
then, according to his allegations, “coerced into
taking a plea without the benefit of an interpreter.”
He was sentenced to six months’ incarceration and
five years’ probation. The arresting officers and the
prosecutor knew that plaintiff was a citizen of the
Dominican Republic but never advised him that he

Legal Consequences of the United States’ Notification of
Withdrawal from the Optional Protocol to the Vienna
Convention on Consular Relations, in Promoting Justice,
Human Rights and Conflict Resolution Through
International Law 897 (Marcelo G. Kohen ed., 2007). We
need not address it here.

16a

could request legal assistance from the Dominican
consulate.

On December 5, 2005, plaintiff, who is
represented by counsel on appeal, filed a pro se
complaint under the Alien Tort Statute (“ATS”). 1°
Plaintiffs complaint alleges that defendants-
appellees Queens County District Attorney and New
York City Police Department (jointly, “defendants”)1!
violated Article 36 of the Vienna Convention by
failing to inform him that he could contact the
Dominican consulate. It also claims that “[t]he
outcome of Plaintiff[‘s] case would have been
different if [he] would {have] known of his Vienna
Convention rights,” and that “serious error by the
arresting officers and District Attorney caused [sic]
(him] his freedom.” As relief, plaintiff requested $1
million.!2 Shortly after filing his complaint, plaintiff
requested permission to proceed in forma pauperis.

10 The ATS, sometimes referred to as the Alien Tort
Claims Act, provides that “[t}he district courts shall have
original jurisdiction of any civil action by an alien for a
tort only, committed in violation of the law of nations or a
treaty of the United States.” 28 U.S.C. § 1350.

11 Plaintiff referred to the New York City Police
Department as “Flushing Queens Police Department” in
his complaint.

12 Plaintiff has filed similar complaints in other
federal courts. In November 2005, he brought suit in the
United States District Court for the Eastern District of
Virginia, alleging violations of the Vienna Convention in
connection with a 1997 conviction for drug trafficking.
The District Court in that case concluded that a judgment
in plaintiffs favor would necessarily imply the invalidity

of his conviction; it therefore dismissed the complaint
pursuant to Heck v. Humphrey, 512 U.S. 477, 114 S. Ct.
2364 (1994) (holding that plaintiffs conviction must be
declared invalid before plaintiff can proceed with a claim
for damages based on the unlawful conviction). See De
Los Santos-Mora v. Bradenham, 194 Fed. App’x 100, 101
(4th Cir. 2006). The Fourth Circuit vacated the District
Court’s judgment on the basis that plaintiffs suit was not
“Heck-barred” because Article 36 “does not implicate any
right to consular intervention or cessation of the criminal
investigation and .. . violation of any rights under Article
36 would not trigger application of the exclusionary rule.”
Id. In January 2006, plaintiff brought suit in the United
States District Court for the District of Delaware,
alleging violations of the Vienna Convention in
connection with a 1995 arrest and 1996 acquittal on drug
trafficking charges. The District Court in that case
declined to address whether Article 36 creates individual
rights. Rather, it dismissed plaintiffs complaint for
failure to state a claim upon which relief can be granted,
observing that plaintiff could not show either “causation
or damages” because (1) Article 36 does not guarantee
any consular assistance, (2) plaintiff enjoyed the
protections of the Due Process Clause, and (3) plaintiff
was found “not guilty” by a jury. See De Los Santos Mora
v. Brady, No. 06-46 -JJF, 2007 WL 981605, at *4 (D. Del.
Mar. 30, 2007). Because we conclude that Article 36 does
not confer upon plaintiff an individual right that he can
enforce in the instant case, we take no view on whether
his suit would be barred under Heck or whether he would
be able to pursue claims for nominal damages in the
event he cannot show a causal connection between his
New York conviction and the alleged violations of Article
36.

18a

In a memorandum and order entered on
December 30, 2005, the District Court granted
plaintiffs request to proceed in forma pauperis.
However, the District Court sua sponte dismissed
plaintiffs complaint for failure to state a claim upon
which relief can be granted pursuant to 28 U.S.C. §
1915A, concluding that “[t]he Vienna Convention
was meant to protect the rights of states to care for
their nationals traveling abroad, not to protect the
rights of individuals.” 13 Final judgment was also
entered on December 30, 2005. Plaintiff timely
appealed. On appeal, plaintiff, now represented by
counsel, argues that Article 36 confers upon him
individual rights that he may enforce, not only under
the ATS, but also under 42 U.S.C. § 198314 and
pursuant to an implied private right of action

created by the Vienna Convention itself.

13 The District Court also commented that a violation
of the Vienna Convention does not support dismissing an
indictment or vacating a sentence, conclusions that we
need not address in our consideration of the availability
of a claim for money damages.

14 In relevant part, 42 U.S.C. § 1983 provides that

[e]very person who, under color of any statute,
ordinance, regulation, custom, or usage, of any
State or Territory or the District of Columbia,
subjects, or causes to be subjected, any citizen of
the United States or other person within the
jurisdiction thereof to the deprivation of any
rights, privileges, or immunities secured by the
Constitution and laws, shall be liable to the party
injured in an action at law, suit in equity, or other
proper proceeding for redress... .

19a
DISCUSSION

This appeal requires us to consider whether an
alien may bring an action seeking damages for the
alleged violation of Article 36(1)(b)\(third)-that is, the
obligation of States-parties to inform a detained
alien of the availability of consular notification and
access-directly under the Vienna Convention or
pursuant to § 1983 or the ATS. We conclude that
Article 36(1\b)(third) does not provide for rights that
can be vindicated through such litigation.

In the Head Money Cases, 112 U.S. 580, 5 S. Ct.
247 (1884), the Supreme Court summarized the
basic relationship between treaties and individual
rights. “A treaty,” the Court explained, “is primarily
a compact between independent nations.” Jd. at 598,
5 S. Ct. 247. As such, “[iJt depends for the
enforcement of its provisions on the interest and the
honor of the governments which are parties to it.” /d.
Treaty violations, therefore, are “the subject of
international negotiations and reclamations, so far
as the injured party chooses to seek redress.”
Id.”(W)ith all this the judicial courts have nothing to
do and can give no redress.” Jd. However, “a treaty
may also contain provisions which confer certain
rights upon the citizens or subjects of one of the
nations residing in the territorial limits of the other,
which partake of the nature of municipal [i.e.,
domestic] law, and which are capable of enforcement
as between private parties in the courts of the
country.” Id. The Supremacy Clause of the United
States Constitution, U.S. Const. art. VI, cl. 2,4

15 The Supremacy Clause provides in full:

20a

“places such provisions .. . in the same category as
other laws of [Clongress.” Head Money Cases, 112
U.S. at 598, 5 S. Ct. 247. Thus, “[a] treaty, then, is a
law of the land as an act of [(Clongress is, whenever
its provisions prescribe a rule by which the rights of
the private citizen or subject may be determined.” Jd.
at 598-599, 5 S. Ct. 247. “And when such rights are
of a nature to be enforced in a court of justice, that
court resorts to the treaty for a rule of decision for
the case before it as it would a statute.” Jd. at 599, 5
S. Ct. 247.

Whether a treaty creates a right in an individual
litigant that can be enforced in domestic proceedings
by that litigant is for the court to decide as a matter
of treaty interpretation. See Garza v. Lappin, 253
F.3d 918, 924 (7th Cir. 2001) (“Whether a particular
international agreement provides for private
enforcement is a matter for judicial interpretation of
the agreement.”); Restatement (Third) of the Foreign
Relations Law of the United States (“Restatement
(Third)”) § 907 cmt. a (1987) (“Whether an
international agreement provides a right or requires
that a remedy be made available to a private person
is a matter of interpretation of the agreement.”).!® It

This Constitution, and the Laws of the United
States which shall be made in Pursuance thereof;
and all Treaties made, or which shall be made,
under the Authority of the United States, shall be
the supreme Law of the Land; and the Judges in
every State shall be bound thereby, any Thing in
the Constitution or Laws of any State to the
Contrary notwithstanding.

16 This inquiry is distinct from whether a treaty is
“self-executing.” Restatement (Third) § 111 cmt. h. “[N]Jot

Z2la

is our task in the instant case to determine whether
the requirement that a detaining authority inform

all international law obligations automatically constitute
binding federal law enforceable in United States courts.”
Medellin, 552 U.S. at —, 128 S. Ct. at 1355. “Self-
executing treaties do not require implementing
legislation and become effective as domestic law
immediately upon entry into force. Non-self-executing
treaties do not become effective as domestic law until
implementing legislation is enacted.” JTC Ltd. v.
Punchgini, Inc., 482 F.3d 135, 161 n.21 (2d Cir. 2007); see
also Foster v. Neilson, 27 U.S. (2 Pet.) 253, 314 (1829)
(Marshall, C.J.) (“Our constitution declares a treaty to be
the law of the land. It is, consequently, to be regarded in
courts of justice as equivalent to an act of the legislature,
whenever it operates of itself without the aid of any
legislative provision. But when the terms of the
stipulation import a contract, when either of the parties
engages to perform a particular act, the treaty addresses
itself to the political, not the judicial department; and the
legislature must execute the contract before it can become
a rule for the Court.”), overruled in part on other grounds,
United States v. Percheman, 32 U.S. (7 Pet.) 51 (1833). In
other words, “[t}he label ‘self-executing’ usually is applied
to any treaty that according to its terms takes effect upon
ratification and requires no separate implementing
statute. Whether the terms of such a treaty provide for
private rights, enforceable in domestic courts, is a wholly
separate question.” United States v. Li, 206 F.3d 56, 67
(1st Cir. 2000) (en banc) (Selya & Boudin, JJ., concurring)
(citation omitted).

The Supreme Court has declined to resolve whether
the Vienna Convention is self-executing. See Medellin,
552 U.S. at — n.4, 128 S. Ct. at 1357 n.4. The parties
have not raised this question, and we need not decide it
here.

22a

an alien of the prospect of consular notification and
access set forth in Article 36(1)(bXthird) of the
Vienna Convention crosses the boundary between
possible benefits to individuals secured by States
and State officials and rights conferred directly upon
individuals that are assertable, in a private action
brought directly under the Convention itself or
pursuant to § 1983 or the ATS, by the individuals
themselves in our courts of law.

A. An Alien Cannot Vindicate in an Action for
Damages a Violation of Article 36’s Obligation to
Inform Aliens of the Prospect of Consular
Notification and Access,

1. Text and Context

“(T]he main task of any tribunal which is asked
to apply or construe or interpret a treaty” is to “give[
] effect to the expressed intention of the parties, that
is, their intention as expressed in the words used by
them in the light of the surrounding circumstances.”
Lord McNair, The Law of Treaties 365 (1961). It is
thus a weli-established principle that a court
interpreting a treaty “begin[s] with the text of the
treaty and the context in which the written words
are used.” United States v. Cuevas, 496 F.3d 256, 263
(2d Cir. 2007) (quoting Société Nationale Industrielle
Aérospatiale v. U.S. Dist. Ct. for the S. Dist. of Iowa,
482 U.S. 522, 534, 107 S. Ct. 2542 (1987)) (internal
quotation marks omitted).

The text of Article 36 certainly requires that the
authorities of a “receiving State” (that is, the
detaining State) take certain actions with respect to
the nationals of a “sending State” (that is, the
detainee’s home State). For example, paragraph 1(b)

23a

of Article 36 provides that if a detained individual of
foreign citizenship so requests, the detaining
authorities must alert the individual’s home
consulate of the detention, see Art. 36(1)(b)first);
moreover, the authorities must inform the detained
individual that he can contact his home consulate,
see Art. 36(1)(b\(third). 21 U.S.T. at 101. And at
least some of these requirements are explicitly
referred to as “rights” of the individual foreign
nationals. Paragraph 1(b) instructs the detaining
authorities to inform the foreign national “without
delay of his rights under this sub-paragraph,” Art.
36(1b)\(third), and paragraph 2 _ contains
instructions for the implementation of the “rights
referred to in paragraph 1.” 21 U.S.T. at 101.

It is notable, however, that the critical
requirement at issue in the instant case—a receiving
State’s obligation to inform a detained foreign
national of his “rights” under paragraph 1(b)—is.
never itself expressly referred to as a “right.”
Moreover, the text of the Convention is entirely
silent as to whether private individuals can seek
redress for violations of this obligation—or any other
obligation set forth in Article 36—in the domestic
courts of States-parties. Of course, whether an
individual right exists and how that right may be
enforced by the individual are different questions.
Nevertheless, we think that the lack of any mention
in the text of Article 36(1) (b) as to whether or how
detained foreign nationals might vindicate their
asserted rights at least suggests that the drafters of
the Convention did not intend to confer rights
directly upon individuals. Cf page 25-26 post
(noting treaties that expressly provide for individual

24a

judicial remedies).!7 The language of Article 36 is
set forth in a document that “is primarily a compact
between independent nations,” although it “may also
contain provisions which confer certain rights upon”
individuals, Head Money Cases, 112 U.S. at 598, 5S.
Ct. 247 (emphasis added). But “[nlothing in [the
treaty’s] text explicitly provides for judicial
enforcement of [its] consular access provisions at the
behest of private litigants,” Li, 2u6 F.3d at 66 (Selya
& Boudin, JJ., concurring), or, for that matter,
creates a right to be informed of the prospect of
consular access and notification that can be privately
vindicated directly under the Vienna Convention or
pursuant to § 1983.

Moreover, we have observed that the vocabulary
of “individual rights” may be used to refer to certain

potential benefits provided by treaty that do not
actually create rights enforceable by the individuals
benefitted. See United States ex rel. Lujan uv.
Gengler, 510 F.2d 62, 67 (2d Cir. 1975). As Judges
Selya and Boudin explained in their concurring
opinion in Li:

Of course, there are references in the
[Convention] to a “right” of access, but these

17 Indeed, the Vienna Convention elsewhere provides
for remedies for violations of specific Articles, albeit
remedies of States rather than of individuals. See Vienna
Convention, Art. 23(2), 21 U.S.T. at 92 (providing a
remedy to receiving States for a sending State’s failure to
recall a consular official deemed a persona non grata);
Art. 31, 21 U.S.T. at 97 (providing for compensation to a
State upon the expropriation of consular premises by the
receiving State).

25a

references are easily explainable. The
contracting States are granting each other
rights, and telling future detainees that they
have a “right” to communicate with their
consul is a means of implementing the treaty
obligations as between States.

Li, 206 F.3d at 66 (Selya & Boudin, JJ., concurring)
(emphasis in original). Indeed, even with respect to
statutes, the Supreme Court has on _ several
occasions rejected the argument that references to
the “rights” of persons potentially benefitted by
legislation (appearing both in text and legislative
history) necessarily support the view that the
legislation creates rights in individuals that can be
enforced by those individuals through mechanisms
such as a § 1983 action or an implied private right of
action. See, e.g., Gonzaga Univ. v. Doe, 536 U.S. 273,
289 n.7, 122 S. Ct. 2268 (2002); Pennhurst Siate Sch.
& Hosp. v. Halderman, 451 U.S. 1, 18-20, 101 S. Ct.
1531 (1981). Similarly, the isolated language of
Article 36(1b) is at most ambiguous as to the
existence of rights that can be privately vindicated in
court in the manner sought by plaintiff. Thus, in
accordance with the Fifth and Sixth Circuits, as well
as Judges Selya and Boudin of the First Circuit, we
conclude that the requirement that an alien be
informed of consular notification and access in
Article 36(1)(bXthird), even taken in conjunction
with the several references to “rights,” does not
establish a right in the alien that can be vindicated
in a damages action for failure to inform the alien of
the obligation. See Emuegbunam, 268 F.3d at 391-
94; Jimenez-Nava, 243 F.3d at 196-98; Li, 206 F.3d
at 66-68 (Selya & Boudin, JJ., concurring).

26a

~Several additional textual and _ contextual
considerations militate against construing Article
36’s obligation to inform an alien of the prospect of
consular notification and access. as_ creating
individual rights that, when violated, can be
vindicated through private litigation brought
directly under the Convention or pursuant to § 1983.
For example, the first clause of paragraph 1 of
Article 36 begins with the following statement of
purpose: “[w]ith a view to facilitating the exercise of
consular functions relating to nationals of ihe
sending State.” 21 U.S.T. at 100. Plaintiff argues
that individual enforcement of the Vienna
Convention may aid sending States in the exercise of
their consular functions. However, the introductory
language of Article 36 emphasizes the exercise of
these functions, rather than an individual’s ability to
benefit from these functions-giving rise to ambiguity
as to whether the provisions that follow create
entirely independent individual rights that may be
vindicated by lawsuits in our courts.

The Preamble to the Convention also favors
defendants’ position.18 It bears underscoring that a

18 The Preamble to the Vienna Convention on
Consular Relations reads in full:

The States Parties to the present Convention,

Recalling that consular relations have been
established between peoples since ancient times,

Having in mind the Purposes and Principles of
the Charter of the United Nations concerning the
sovereign equality of States, the maintenance of
international peace and security, and_ the
promotion of friendly relations among nations,

27a

preamble is not without meaning’ under
international law. It provides valuable context for
understanding the terms of a treaty. See Vienna
Convention on the Law of Treaties, art. 31(2), opened
for signature May 23, 1969, 1155 U.N.T-.S. 331, 340
(providing that “(tlhe context for . .. purposels] of...
interpret[ing] .. .a treaty shali comprise .. . the
text, including its preamble and annexes,” as well as
other related agreements (emphasis added)).*9

Considering that the United Nations
Conference on Diplomatic Intercourse and
Immunities adopted the Vienna Convention on
Diplomatic Relations which was opened for
signature on 18 April 1961,

Believing that an international convention on

consular relations, privileges and immunities
would also contribute to the development of
friendly relations among nations, irrespective of
their differing constitutional and social systems,

Realizing that the purpose of such privileges
and immunities is not. to benefit individuals but to
ensure the efficient performance of functions by
consular posts on behalf of their respective States,

Affirming that the rules of customary
international law continue to govern matters not
expressly regulated by the provisions of the
present Convention,

Have agreed as follows. ...
21 U.S.T. at 79 (footnotes omitted).

19 Although the United States has not ratified the
Vienna Convention on the Law of Treaties, our Court
relies upon it “as an authoritative guide to the customary
international law of treaties,” insofar as it reflects actual

28a

The parties focus on the language in paragraph
five of the Preamble stating that “the purpose of
such privileges and immunities is not to benefit
individuals but to ensure the efficient performance of
functions by consular posts on behalf of their
respective States.” Defendants and amicus the
United States argue that this language is evidence
that the Convention is not meant to confer rights on
individuals. Defs.’ Br. 7; Amicus’s Br. 7-8. Plaintiff,
pointing out that the preceding clause in paragraph
four of the Preamble specifies that the “privileges
and immunities” mentioned are “consular,” argues
that paragraph 5’s language “has no bearing on the
existence of rights assertedly granted to private
individuais by specific articles of the treaties, but
rather refers to benefits attaching to consular or
diplomatic officers as a result of their status as
officials representatives of a foreign State.” Pl.’s
Supp. Reply Br. 2. In other words, according to
plaintiff, the Preamble “merely set{s] forth the long-
standing principle that the intent of granting
privileges and immunities to oficial representatives
of foreign States is not to benefit those individuals
personally, but rather to further the amicable
relations between the receiving State and the
sending State ....” 7d. at 3 (emphasis added).

state practices. See Avero Belgium Ins. v. American
Airlines, Inc., 423 F.3d 73, 79 & n.8 (2d Cir. 2005). The
Department of State considers the Vienna Convention on
the Law of Treaties an authoritative guide to current
treaty law and practice. Jd. at 79 n.8.

29a

Even if the Preamble cannot be read as explicitly
or categorically rejecting the creation of rights in
private individuals, it certainly reflects the broader
principle that the Convention is concerned primarily,
if not exclusively, with establishing relationships
and rights as between States and State offivials.2° By
referring only to “consular relations, privileges and
immunities,” the Preamble suggests that any
relations, privileges, or immunities the Convention
creates are strictly those of consular officials. 2}

20 Indeed, this seems to have been the understanding
of the United States at the time that the Vienna
Convention was ratified. The report prepared by the
Senate Committee on Foreign Relations (the
“Committee”) recommending that the Senate give its
advice and consent to ratification of the Convention and
Protocol understood Articles 28 to 57 to be about
“[clonsular facilities, privileges and immunities of
consular officers and other members of a consular post.”
S. Exec. Rep. No. 91-9 at 2 (1969). This understanding
was based in part on testimony from the Deputy Legal
Adviser for Administration that “the particular virtue of
this Convention lies in its establishment of a basic
standard of treatment for consular posts and their
personnel throughout the world. . . .” Jd. at 8 (emphasis
added); see also id. at 6 (“{T]he Convention .. . goes very
far toward clarifying the obligations of states concerning
the treatment to be accorded foreign consular posts and
their personnel. Because of its definite rules and
procedures, the Convention should reduce the possibility
of misunderstanding between governments in this area of
their relations.”).

21 To the extent plaintiffs argument suggests that, as
a general matter, the Convention treats “rights”
differently from “privileges and immunities,” we disagree.

30a

Moreover, the Preamble declares that’ the
overarching aim of the Convention is to “contribute
to the development of friendly relations among
nations.” 21 U.S.T at 79 (emphasis added). The
motivating principles of the Convention as stated in
the Preamble are clearly principles governing the
relations of States inter se-concern for the “sovereign
equality of States, the maintenance of international
peace and security, and the promotion of friendly
relations among nations.” Jd. These passages
suggest that the rights created by the Convention
similarly belong to, and should generally be enforced
by, the States-parties to the Convention and their
official representatives.

The Optional Protocol likewise reinforces the
view that Article 36(1)(b\(third) does not create
rights in an individual that can be vindicated
through an action for damages. Although expressly
designed to implement the terms of the Convention,
it makes no mention of private actions by detained
individuals. Rather, Article I of the Protocol provides

If the consular “privileges and immunities” referred to in
the Preamble are distinct from any consular “rights”
referred to later in the Convention, then those consular
“rights” would not be subject to the preambular limitation
on providing benefits to individuals, rather than to
consular officers in their official capacity. Plaintiffs view
has been explicitly rejected by the Supreme Court. See
Breard, 523 U.S. at 378, 118 S. Ct. 1352 (“Any rights that
the Consul General might have by virtue of the Vienna
Convention exist for the benefit of Paraguay, not for him
as an individual.”).

3la

that “[djisputes arising out of the interpretation or
application of the Convention shall lie within the
compulsory jurisdiction of the [ICJ] and may
accordingly be brought before the [ICJ] by an
application made by any [State-]party to the dispute
being a Party to the present Protocol.” 21 U.S.T. at
326.

The lack of individual rights that can be
vindicated through a private action for damages does
not deprive Article 36 of force for at least four
reasons. First, states-parties can safeguard the
rights in the Convention (and protect their
nationals) through “negotiations and reclamations.”
See Head Money Cases, 112 U.S. at 598, 5S. Ct. 247.
Second, the reciprocal nature of the Vienna
Convention provides receiving states with a natural
incentive to comply with its terms.” For instance,

22 The United States, in a brief signed by the
Department of State and the Department of Justice,
informs us that federal authorities in the United States
have undertaken extensive efforts to raise awareness of,
and secure adherence to, the terms of the Convention at
all governmental levels, notwithstanding the lack of any
successful civil suits by individuals seeking to enforce
Article 36. We note several examples of these efforts here:
Beginning in 1970, the State Department sent letters to
the governors of all 50 states, “advising them that the
Convention had entered into force and reviewing its
requirements.” Amicus’s May 11, 2007 Supp. Letter Br. 6.
In addition, “State Department officials attended
conferences of law enforcement officials, . . . published
articles in law enforcement magazines[,) ... and
conducted periodic mass mailing to major U.S. cities” in
an effort to publicize the requirements of Article 36. Id.
Since 1998, State Department personnel have conducted

32a

approximately 454 training events on Article 36
throughout the United States and its territories. Jd. at 3
(citing http://travel.state.gov/law/consular/consular_3139
-html). In 1998, the State Department published and
widely circulated a manual entitled Consular Notification
and Access: Instructions for Federal, State, and Local
Law Enforcement Officials Regarding Foreign Nationals
in the United States and the Rights of Consular Officials
To Assist Them. Id. at 4. The Department has also made
efforts to incorporate the requirements of Article 36 into
the training curricula and accreditation standards of law
enforcement agencies. Jd. at 4. Furthermore, in its
representations to the ICJ, the United States stated that
the federal judiciary has been “enlisted” directly to help
with Treaty compliance, and further that the “United
States affirmatively encourages judicial authorities to
ensure that consular notification requirements have been
complied with, and some states have placed the obligation
of providing or confirming consular information on their
magistrates.” Declaration of Ambassador Maura A.
Harty, Annex 4 to Counter-Memorial of the United States
at All, | 28, Case Concerning Avena and other Mexican
Nationals (Mex.v.U.S.), 2004 1.C.J. No. 128 (Oct. 25,
2003); Counter-Memorial of the United States at 110,
Case Concerning Avena and other Mexican Nationals
(Mex.v.U.S.), 2004 I.C.J. No. 128 (Nov. 3, 2003). In
addition, regulations govern compliance with Article 36
on the part of federal law enforcement officials. Id. at 9
(citing 28 C.F.R. § 50.5 (Department of Justice); 8 C.F.R.
§ 236.1(e) (Department of Homeland Security); and 28
C.F.R. § 540.45(b) (Bureau of Prisons)). Some states too
have passed laws enacting the substance of Article 36.
See, e.g., Cal.Penal Code § 834c(a) (1) ( “In accordance
with federal law and the provisions of this section, every
peace officer, upon arrest and booking or detention for
more than two hours of a known or suspected foreign
national, shall advise the foreign national that he or she

33a

the United States, in an action brought by the
federal government, can sue state and _ local
governments to ensure compliance. See Amicus’s

has a right to communicate with an official from the
consulate of his or her country .. .”).

The United States also informs us that many of its
compliance efforts have been directed toward New York
City. The State Department has distributed hundreds of
pocket reference cards and training videos to state and
local law enforcement entities in the City, and has
provided training sessions anc briefings for law
enforcement officials on a number of occasions. Jd. at 7-8.

With respect to the policies and practices of New York
City law enforcement authorities themselves, defendants
and the United States have informed us that the New
York City Police Department’s Patrol Guide sets forth
procedure No. 208-56, which governs the processing of the
arrests of foreign nationals and requires that certain
consulates be notified if one of their nationals is arrested
and that nationals from other countries be informed that
they may contact their consulates. The New York City
Department of Corrections maintains a similar procedure
for foreign nationals in custody. These basic requirements
are not significantly different from those in place when
defendant was arrested in 1992. Defs.’ Apr. 18, 2007
Letter 2; Amicus’s May 11, 2007 Supp. Letter Br. 8. The
NYPD’s Police Student’s Guide explains these
requirements, and the City holds seminars for law
enforcement officials on the Convention’s consular
notification provisions. Amicus’s May 11, 2007 Supp.
Letter Br. 8 (citing http:/Awww.nyc.gov/html/unccp/htm)/
consular/special_ events.shtml).

34a

May 11, 2007 Supp. Letter Br. at 10 (“[T]he federal
government is empowered to require that state or
local law enforcement officials who detain foreign
nationals do so in accordance with the substantive
restrictions set out in the Convention.”); see also
Brief for United States, as Amicus Curiae
Supporting Respondents at 15, Sanchez-Llamas uv.
Oregon, 548 U.S. 331, 126 S. Ct. 2669 (2006), 2006
WL 271823, at *15 (“Under longstanding principles,
the United States could bring an action in court to
enforce compliance with a treaty obligation.”) (citing
Sanitary Dist. v. United States, 266 U.S. 405, 425-26,
45 S. Ct. 176 (1925) (Holmes, J.)). Third, the lack of
any privately enforceable right to damages for a
violation of Article 36(1\b\third) may not foreclose
the possibility that a domestic court, having
established that an arrested alien is a foreign
national, might inquire whether he has been
informed that he may contact his consulate and
fulfill the obligation to inform him. Fourth, a
detained alien may be able to petition officials of a
detaining authority, including where appropriate the
courts, to comply with the obligations set forth in
Article 36. These mechanisms might not always
result in outcomes fully satisfactory to the offended
State, but failure to secure optima! compliance or
relief does not deprive a treaty provision of meaning
any more than, for example, a judgment for nominal
damages makes a statute meaningless.

We also reject the argument that plaintiffs
inability to recover damages for the alleged violation
of Article 36(1)(b\third) is incompatible with
paragraph 2 of Article 36, which requires that the
laws and regulations of States-parties “enable full

35a

effect to be given to the purposes for which the rights
accorded under this Article are intended.” 21 U.S.T.
at 102. In Sanchez-Llamas, the Supreme Court,
assuming arguendo the existence of individual rights
under Article 36, considered the claim that applying
procedural default rules to such rights would deny
Article 36 “full effect.” 23 The Court explained its
rejection of this claim as follows:

23 In Sanchez-Llamas, the Court “assumled], without
deciding,” that Article 36 created a judicially-enforceable
right to consular notification and access but concluded
that an exclusionary remedy was inappropriate for
violation of rights conferred by the Vienna Convention.
548 U.S. at -—, 126 S. Ct. at 2677-78; see also Medellin,
552 U.S. at — n.4, 128 S. Ct. at 1357 n.4 (same). This
approach-to “assume without deciding” that the relevant
provision of Article 36 creates privately enforceable
individual rights-arguably could apply to plaintiffs claim
for damages pursuant to an implied private right of
action under the treaty. Such an approach, however, is
inappropriate where the plaintiff claims a (damages
remedy pursuant to § 1983 and would rest on a
fundamental misunderstanding of the _ relationship
between treaty law and § 1983. See also Jogi, 480 F.3d at
831-32 noting the distinction “between a private right, on
the one hand, and various remedial measures that affect
criminal prosecutions, on the other”).

Because we hold that Article 36(1)(b)(third) does not
create rights that can be vindicated in a damages action
brought directly under the Convention or pursuant to §
1983, we disagree that plaintiff can state a claim for a
private right of action created by the Convention.
Nonetheless, we note that assuming arguendo that
plaintiff has an individual right under the Convention,
his claim for damages pursuant to § 1983 would likely be

36a

Sanchez-Llamas argues that the language of
the Convention implicitly requires a judicial
remedy because it states that the laws and
regulations governing the exercise of Article
36 rights “must enable full effect to be given to
the purposes for which the rights ... are
intended,” Art. 36(2), 21 U.S.T., at 101
(emphasis added). In his view, although “full

actionable. See Gonzaga, 536 U.S. at 284, 122 S. Ct. 2268
(“[Bjecause § 1983 generally supplies a remedy for the
vindication of rights secured by federal statutes[,] [o]nce a
plaintiff demonstrates that a statute confers an
individual right, the right is presumptively enforceable by
§ 1983."(citation omitted)). Section 1983 would likely
provide a cause of action for damages in the case of a
treaty violation in the same manner that § 1983 provides
a cause of action for remedying a statutory violation. See,
e.g., Cornejo, 504 F.3d at 858 (“[A]Jn unambiguously
conferred right phrased in terms of the person benefitted
is essential before a statute-and by extension, a treaty
having the force of federal law-may support a cause of
action under § 1983.”) (internal quotation marks
omitted).

Accordingly, a conclusion that the treaty does not
provide a right to damages ignores the fact that it is §
1983 that allows for damages and not the treaty. Notably,
in Sanchez-Llamas, the-remedy sought was based on the
treaty itself, such as suppression of evidence or dismissal
of an indictment. Accordingly, the Court found that the
treaty did not grant such a remedy and avoided the
question of whether the treaty created an individual
right. 548 U.S. at —, 126 S. Ct. at 2677-78.

37a

effect” may not automatically require an
exclusionary rule, it does require an
appropriate judicial remedy of some kind.
There is reason to doubt this interpretation. In
particular, there is little indication that other
parties to the Convention have interpreted
Article 36 to require a judicial remedy in the
context of criminal prosecutions. . . . Of course,
diplomatic avenues-the primary means of
enforcing the Convention-also remain open.

Sanchez-Llamas, 126 S. Ct. at 2680-82 (emphasis in
original). For similar reasons, we do not regard the
Convention’s “full effect” provision as requiring a
damages claim for a failure to inform an alien of the
consular access and notification requirements. In
addition to the remedies normally available to
States-parties to a treaty, courts may themselves

take actions to comply with the Convention that, in
effect, correct violations of the treaty by law
enforcement authorities. A court’s compliance with
Article 36, perhaps in response to a request by our
national government for treaty compliance
addressed to the thousands of law enforcement
authorities in our federal system, see note 22 ante, is
not the same as individual enforcement of alleged
Article 36 rights in a private civil lawsuit for
damages; this independent responsibility or ability
on the part of a court to abide by the Convention has
nothing to do with the existence vel non of rights
enforceable in a private action by an individual.24 We

24 Our holding does not render Article 36’s guarantees
empty nor does it conflict with Sanchez-Llamas, 126 S.
Ct. at 2682 (“If [a foreign national] raises an Article 36
violation at trial, a court can make appropriate

38a

reject any suggestion by plaintiff that Article 36 is
rendered meaningless in the absence of a cause of
action for damages by individual foreign nationals to
vindicate an alleged violation of its notification
provisions.

2. The Presumption Against Conferral of
Individual Rights by International Treaties
Requires a Clear Statement of the Treaty
Drafters’ Intent

“Even when treaties are self-executing . . . the
background presumption is that international
agreements, even those directly benefiting private
persons, generally do not create private rights or
provide for a private cause of action in domestic
courts.” Medellin, 552 U.S. at — n.3, 128 S. Ct. at
1357 n.3 (citation and quotation marks omitted). We

have recognized that international treaties establish

accommodations to ensure that the defendant secures, to
the extent possible, the benefits of consular assistance.”).
The court would not actually be remedying a treaty
violation or allowing enforcement of an individual right,
as it would if it applied the exclusionary rule, or
dismissed an indictment, or allowed a civil suit to
proceed; rather, it would simply be complying with the
terms of the treaty. Thus, even in the absence of
individual rights enforceable by an alien in a civil
proceeding, a court might-possibly in response to requests
for cooperation by our national government, which itself
acts uncer a treaty obligation assumed by _ that
government in its international relations-inquire as to
whether a defendant knows that he may contact his
consulate; it might even order that the prosecuting
authority allow a foreign national to contact his
consulate.

39a

rights and obligations between States-parties-and
generally not between states and _ individuals,
notwithstanding the fact that individuals may
benefit because of a treaty’s existence. This is so
because a treaty is an agreement between states
forged in the diplomatic realm and similarly reliant
on diplomacy (or coercion) for enforcement. Medellin,
552 U.S. at —, 128 S. Ct. at 1857. As the Supreme
Court explained in the Head Money Cases,

A treaty is primarily a compact between
independent nations. It depends for the
enforcement of its provisions on the interest
and the honor of the governments which are
parties to it. If these fail, its infraction
becomes the _ subject of international
negotiations and reclamations, so far as the
injured party chooses to seek redress, which
may in the end be enforced by actual war.

112 U.S. at 598, 5 S. Ct. 247. The mechanisms for
establishing and enforcing international treaties-
namely, the nation’s powers over foreign affairs-have
been delegated by the Constitution to the Executive
and Legislative branches of government. See Oetjen
v. Central Leather Co., 246 U.S. 297, 302, 38 S. Ct.
309 (1918) (“[T]he conduct of the foreign relations of
our government is committed by the Constitution to
the executive and _legislative-’the political’-
departments.”). Accordingly, a due respect for the
Constitution’s separation of powers, and a
recognition of our own weak tools in this area,
require the courts to refrain from venturing
heedlessly into the realm of foreign affairs. See Head
Money Cases, 112 U.S. at 598, 5 S. Ct. 247 (“It is
obvious that with all this [i.e., treaty negotiation and

40a

enforcement] the judicial courts have nothing to do
anc can give no redress.”). Indeed, the Supreme
Court has specifically instructed courts to exercise
“great caution” when considering private remedies
for international law violations because of the risk of
“impinging on the discretion of the Legislative and
Executive Branches in managing foreign affairs.”
Sosa v. Alvarez-Machain, 542 U.S. 692, 727-28, 124
S. Ct. 2739 (2004). For these reasons, when
interpreting treaties, we generally look for a clear
statement of the intent of treaty drafters.

Our cautious approach to recognizing nrivate
rights within treaty provisions obtains even when
international treaties appear to confer benefits on
individuals. Over a quarter of a century ago, we
explained that “even where a treaty provides certain
benefits for nationals of a particular state-such as
fishing rights-it is traditionally held that ‘any rights
arising out of such provisions are, under
international law, those of the states and pis
individual rights are only derivative through the
states.” Gengler, 510 F.2d at 67 (quoting
Restatement (Second) of the Foreign Relations Law
of the United States (“Restatement (Second)”) § 115
cmt. e (1965)); see also Restatement (Third) § 907
cmt. a (“International agreements, even those
directly benefiting private persons, generally do not
create private rights or provide for a private cause of
action in domestic courts, but there are exceptions
with respect to both rights and remedies.”(emphasis
added)).

The presumption that “treaties do not create
privately enforceable rights in the absence of express
language to the contrary” is reflected in the case law

4la

of our own Circuit and that of cur sister circuits. See
Medellin, 552 U.S. at — n.3, 128 S. Ct. at 1357 n.3.25

25 As the Supreme Court has noted, other courts of
appeals have recognized this presumption that treaties
generally “do not create privately enforceable rights in
the absence of express language to the contrary.”
Medellin, 552 U.S. at — n.3, 128 S. Ct. at 1357 n.3. At
least nine of the other courts of appeals have applied such
a presumption. See United States v. Li, 206 F.3d 56, 60
(1st Cir. 2000) (en banc) (“[T]reaties do not generally
create rights that are privately enforceable in the federal
courts.”); Mannington Mills, Inc. v. Congoleum Corp., 595
F.2d 1287, 1298 (3d Cir. 1979) (“Like private rights under
law, a treaty may confer rights capable of enforcement,
but this is not the general rule.”(citations omitted));
Goldstar (Panama) S.A. v. United States, 967 F.2d 965,
968 (4th Cir. 1992) (“International treaties are not
presumed to create rights that are privately
enforceable.”); United States v. Jimenez-Nava, 243 F.3d
192, 195 (5th Cir. 2001) (“[Treaties] do not generally
create rights that are enforceable in the courts.”); United
States v. Emuegbunam, 268 F.3d 377, 389 (6th Cir. 2001)
(“As a general rule .. . international treaties do not create
rights that are privately enforceable in the federal
courts.”); Jogi v. Voges, 480 F.3d 822, 834 (7th Cir. 2007)
(“Although international treaties as a rule do not create
individual rights, Sosa recognizes that international law
in general, and thus treaties in particular, occasionally do
so."(citation omitted)); Cornejo v. County of San Diego,
504 F.3d 853, 859 (9th Cir. 2007) (“Whether or not aptly
characterized as a ‘presumption,’ the general rule is that
[iJnternational agreements, even those directly benefiting
private persons, generally do not create private rights or
provide for a private cause of action in domestic courts,
but there are exceptions with respect to both rights and
remedies.” (international quotation marks and citations
omitted)); Canadian Transport Co. v. United States, 663

42a

Our precedents recognize a presumption against
inferring individual rights from treaties. See, e.g.,
United States v. Rommy, 506 F.3d 108, 129-30 (2d
Cir. 2007) (applying presumption to a bilateral
mutual legal assistance treaty between the United
States and the Netherlands); United States v. Davis,
767 F.2d 1025, 1030 (2d Cir. 1985) (applying
presumption to United States-Switzerland bilateral
mutual legal assistance treaty); Dreyfus v. Von
Finck, 534 F.2d 24, 29-30 (2d Cir. 1976) (applying
presumption to Hague Convention, the Kellogg-
Briand Pact, the Versailles Treaty, and the Four
Power Occupation Agreement); Gengler, 510 F.2d at
67 (2d Cir. 1975) (applying presumption to United
Nations Charter and the Charter of the Organization
of American States).

If contracting States-parties wish to impose upon

themselves legal obligations that extend not only to

F.2d 1081, 1092 (D.C.Cir. 1980) (“[A] treaty must be
interpreted in accord with the rule that treaty violations
are normally to be redressed outside the courtroom.”); see
also Dry v. United States, 235 F.3d 1249, 1256 (10th Cir.
2000) (“It is well-settled that [t]he very great majority of
Indian treaties create tribal, not individual,
rights.”(internal quotation marks and citations omitted));
Ligon v. Johnston, 164 F. 670, 672 (8th Cir. 1908) (“Until
specific, private, individual rights attach pursuant to law,
the enforcement of such trusts [as created by treaty] must
be at the bar of public conscience. They are not justiciable
in the courts.”). It should be noted that courts of appeals
have occasionally conflated the question of whether a
treaty is self-executing with whether the same treaty
creates individual rights. See, e.g., Mannington Mills, 595
F.2d at 1298.

43a

each other, but to all individual foreign nationals, we
would ordinarily expect expression of these
obligations to be unambiguous. Whether we call this
expectation a “presumption,” or refer to it as some
other rule of construction,26 or simply treat it as a
general guide to treaty interpretation, the result is
the same. See, e.g., Medellin, 552 U.S. at —, 128 S.
Ct. at 1357 n.3 (adopting a clear-statement rule for
determining when treaties are self-executing);
Breard, 523 U.S. at 375, 118 S. Ct. 1352 (1998) (“[Tit
has been recognized in international law that,
absent a clear and express statement to the
contrary, the procedural rules of the forum State
govern the implementation of the treaty in that
State.”); Chan v. Korean Air Lines, Ltd., 490 U.S.
122, 135, 109 S. Ct. 1676 (1989) (“We are to find out
the intention of the parties by just rules of
interpretation applied to the subject matter; and

26 Amicus United States argues that the inquiry as to
whether a treaty, as federal law, creates private rights
should be guided by principles, such as the Gonzaga
“clear-statement rule,” governing whether a statute
creates individual rights. See, e.g., Gonzaga University v.
Doe, 536 U.S. 273, 290, 122 S. Ct. 2268 (2002) (“If
Congress wishes to create new rights enforceable under §
1983, it must do so in clear and unambiguous terms-no
less and no more than what is required for Congress to
create new rights enforceable under an implied private
right of action.”). We note that the two other courts of
appeals to address the question of whether a violation of
Article 36(1)(b)(third) is remediable in private action
pursuant to § 1983 have applied the Gonzaga clear-
statement rule in this context. Cornejo, 504 F.3d at 858-
60 (concluding that presumption was not overcome); Jogt,
480 F.3d at 827-28 (finding the presumption overcome).

44a

having found that, our duty is to follow it as far as it
goes, and to stop where that stops-whatever may be

the imperfections or difficulties which it leaves
behind.”).27

We do not, of course, require “robotic
incantations” or “talismanic invocations” by treaty
drafters in order to create individual rights, any
more than we do of Congress, district judges, or
administrative agencies in a variety of spheres. See,
e.g., Xiao Ji Chen v. U.S. Dep’t of Justice, 471 F.3d
315, 336 n.17 (2d Cir. 2006) (reviewing an
immigration judge’s credibility finding); United
States v. Fernandez, 443 F.3d 19, 30 (2d Cir. 2006)
(reviewing a district court’s consideration of the
sentencing set out in 18 U.S.C. § 3553(a)); Riegel
Textile Corp. v. Celanese Corp., 649 F.2d 894, 900 (2d
Cir. 1981) (considering whether Congress created a
statutory private right of action). Indeed, the
Supreme Court, on several occasions, has permitted
foreign nationals to enforce provisions of treaties
that did not explicitly provide for judicial
enforcement of their guarantees. Cf. Kolovrat uv.
Oregon, 366 U.S. 187, 190-91 & n.6, 81 S. Ct. 922
(1961) (allowing foreign nationals to challenge a
state law limiting their inheritance rights under a

27 This presumption comports with the approach
offered by Justice Breyer in his dissent in Medellin:
where a treaty creates “specific, detailed individual legal
rights .. . that judges can readily enforce,” it is likely
directly enforceable, but where enforcement of « treaty
would require the creation of a new cause of action, “it is
not likely that the provision contemplates direct judicial
enforcement.” 552 U.S. at —, i128 S. Ct. at 1382 (Breyer,
J., dissenting).

45a

treaty providing that “{iJn all that concerns the right
of acquiring, possessing or disposing of every kind of
property .. . citizens of [each country who reside in
the other] shall enjoy the rights which the respective
laws grant... in each of these states to the subjects
of the most favored nation”); United States v.
Rauscher, 119 U.S. 407, 410-11, 7 S. Ct. 234 (1886)
(allowing a cri

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/brief%3Amicro_IA40386020_1156%3A1. Public record. Not legal advice.
