776 F.2d 571 United States Court of
Appeals, Sixth Circuit. John DEMJANJUK,
Petitioner-Appellant, v. Joseph PETROVSKY, et al., Respondents-Appellees. No. 85-3435. Argued July 8, 1985. Decided Oct. 31, 1985. PRIOR HISTORY: U.S. v. Demjanjuk, 518
F.Supp. 1362 (N.D.Ohio Jun. 23, 1981) (No. C77-923) Judgment Affirmed by: U.S. v.
Demjanjuk, 680 F.2d 32 (6th Cir.(Ohio) Jun. 8, 1982) (No. 81-3415) Certiorari Denied: Demjanjuk v. U.S., 459 U.S. 1036
(Nov. 29, 1982) (No. 82-414) Demjanjuk v. Petrovsky, 612 F.Supp. 571 (N.D.Ohio May 17, 1985)
(No. C85-1226) Judgment Affirmed by: this opinion SUBSEQUENT HISTORY: Demjanjuk v.
Petrovsky, 10 F.3d 338, 27 Fed.R.Serv.3d 437 (6th Cir.(Ohio) Nov 17, 1993) (No.
85-3435), rehearing and suggestion for rehearing en banc denied (Feb 24, 1994) Certiorari Denied: Rison v. Demjanjuk, 513 U.S. 914 (Oct
03, 1994) (No. 93-1875) Disagreed With by: U.S. v. Cuevas, 847 F.2d 1417, 25
Fed. R. Evid. Serv. 1217 (9th Cir.(Cal.) Jun. 2, 1988) (No. 87-5007) Leighnor v. Turner, 884 F.2d 385 (8th Cir.(Mo.) Sep. 5, 1989) (No.
88-2096) U.S. v. Abello-Silva, 948 F.2d 1168 (10th Cir.(Okla.) Nov. 6,
1991) (No. 90-5161) Declined to Follow by: U.S. v. Puentes, 50 F.3d 1567, 42 Fed. R. Evid. Serv. 207 (11th
Cir.(Fla.) May 2, 1995) (No. 93-4073) [*575] COUNSEL: Mark OConnor
(argued), Buffalo, N.Y., John J. Gill, David C. Eisler, Cleveland, Ohio, for
petitioner-appellant. Patrick F. McLaughlin, Asst. U.S. Atty., Gary D. Arbeznik,
Cleveland, Ohio, Alvin D. Lodish (argued), Murray R. Stein (argued), Office of
Intern. Affairs, Washington, D.C., for respondents-appellees. JUDGES: Before: LIVELY, Chief Judge, KEITH and
MERRITT, Circuit Judges. OPINION BY: LIVELY, Chief Judge. This international extradition case is before the court on appeal
from the denial of a petition for a writ of habeas corpus, 612 F.Supp 571. I. The petitioner, John Demjanjuk, is a native of the Ukraine, one of
the republics of the Soviet Union. Demjanjuk was admitted to the United States
in 1952 under the Displaced Persons Act of 1948 and became a naturalized United
States citizen in 1958. He has resided in the Cleveland, Ohio area since his
arrival in this country. In 1981 the United States District Court for the Northern District
of Ohio revoked Demjanjuks certificate of naturalization and vacated
the order admitting him to United States citizenship. See United States v.
Demjanjuk, 518 F.Supp. 1362 (N.D.Ohio 1981), affd per curiam, 680
F.2d 32 (1982), cert. denied, 459 U.S. 1036, 103 S.Ct. 447, 74 L.Ed.2d 602
(1982). Chief Judge Battisti of the district court entered extensive findings
of fact from which he concluded that the certificate and order were
illegally procured and were procured by willful misrepresentation of material
facts under 8 U.S.C. § 1451(a). 518 F.Supp. at 1386. The district court found that Demjanjuk was conscripted into the
Soviet Army in 1940 and was captured by the Germans in 1942. After short stays
in several German POW camps and a probable tour at the Trawniki SS training
camp in Poland, Demjanjuk became a guard at the Treblinka concentration camp,
also in Poland, late in 1942. In his various applications for immigration to
the United States the petitioner misstated his place of residence during the
period 1937-1948 and did not reveal that he had worked for the SS at Treblinka
or served in a German military unit later in the war. In the denaturalization
proceedings Demjanjuk admitted that his statements concerning residence were
false and that he had in fact served in a German military unit. He steadfastly
denied that he had been at Trawniki or Treblinka, though documentary evidence
placed him at Trawniki and five Treblinka survivors and one former German guard
at the camp identified Demjanjuk as a Ukrainian guard who was known as
Ivan or Iwan Grozny, that is, Ivan the
Terrible. Following the denaturalization order the government began
deportation proceedings against Demjanjuk. While these proceedings were
underway the State of Israel filed with the United States Department of State a
request for the extradition of Demjanjuk. The United States Attorney for the
Northern District of Ohio, acting on behalf of the State of Israel, filed a
complaint in the district court seeking the arrest of Demjanjuk and a hearing
on the extradition request. Following a hearing the district court entered an
order certifying to the Secretary of State that Demjanjuk was subject to
extradition at the request of the State of Israel pursuant to a treaty on extradition
between the United States and Israel signed December 10, 1962, effective
December 5, 1963. Bond previously granted Demjanjuk was revoked and he was
[*576] committed to the custody of the Attorney General of
the United States pending the issuance of a warrant of surrender by the
Secretary of State. II. A. There is no direct appeal from an order certifying extradition,
and the only method of review is by collateral habeas corpus proceedings. Collins
v. Miller, 252 U.S. 364, 369, 40 S.Ct. 347,
349, 64 L.Ed. 616 (1920); Caplan v. Vokes, 649 F.2d 1336, 1340
(9th Cir.1981). The scope of review in habeas corpus following an extradition
order is quite narrow. After differentiating between the requirements of
probable cause and proof beyond a reasonable doubt, Justice Holmes delineated
the scope of review as follows in Fernandez v. Phillips, 268
U.S. 311, 312, 45 S.Ct. 541, 542, 69 L.Ed. 970 (1925): The foregoing are general principles relating to extradition, but
there are further limits to habeas corpus. That writ as has been said very
often cannot take the place of a writ of error. It is not a means for rehearing
what the magistrate already has decided. The alleged fugitive from justice has
had his hearing and habeas corpus is available only to inquire whether the
magistrate had jurisdiction, whether the offence charged is within the treaty
and, by a somewhat liberal extension, whether there was any evidence warranting
the finding that there was reasonable ground to believe the accused guilty. Benson
v. McMahon, 127 U.S. 457, 8 S.Ct. 1240, 32
L.Ed. 234. Re Luis Oteiza y Cortes, 136
U.S. 330, 10 S.Ct. 1031, 34 L.Ed. 464. Bryant v. United States, 167
U.S. 104, 105, 17 S.Ct. 744, 745, 42 L.Ed. 94. Elias v. Ramirez, 215
U.S. 398, 406, 30 S.Ct. 131, 134, 54 L.Ed. 253. Though Demjanjuk acknowledges these limitations on the scope of
appeal, he presents a somewhat confusing melange of arguments. We will attempt
to deal with them separately. B. Before reaching the more technical arguments related to
jurisdiction of the district court and the question of whether the crimes
charged were within the treaty provisions, we deal with the sufficiency of the
evidence. As noted, there was sworn testimony by affidavits from six witnesses
who were at Treblinka in 1942 and 1943 who identified Demjanjuk. These
witnesses stated that Demjanjuk was a guard who herded prisoners into the gas
chambers and then actually operated the mechanism which filled the chambers
with gas. In addition, several of the witnesses testified that they saw
Demjanjuk beat and maim prisoners, some of whom died. Justice Holmes wrote in
Fernandez that our task is to determine whether there was any evidence
warranting the finding that there was reasonable ground to believe the accused
guilty. Id. (emphasis added). Surely the evidence in this case
satisfied this lenient standard. This court does not sit to rehear the district courts
findings. Escobedo v. United States, 623 F.2d 1098, 1101
(5th Cir.1980). The evidence which the district court relied upon was properly
authenticated by an official of the U.S. Department of State as required by 18
U.S.C. § 3190. If properly authenticated, evidence may be received in
an extradition case which could not have been received at a preliminary
examination under state law. Collins v. Loisel, 259
U.S. 309, 313, 42 S.Ct. 469, 471, 66 L.Ed. 956 (1922). Thus it is
immaterial that Demjanjuk had no opportunity to cross examine the affiants. The
only evidentiary function of the extradition court is to determine whether
there is sufficient evidence to justify holding a person for trial in another
place. We are satisfied that the district court relied upon admissible evidence
in making its determination in this case. As noted earlier, Demjanjuk was identified by documentary evidence
as having been at the SS training camp, Trawniki Exhibits 5 and 6 were the front
and back of a German document which identified Iwan [*577]
Demjanjuk as a guard in an SS unit. The heading showed that it was
issued at Trawniki. On appeal Demjanjuk argues strenuously that the Trawniki
documents were forged and that the government perpetrated a fraud upon the
court by introducing them. This same argument was made in the denaturalization
proceedings. The district court discussed this issue at some length in its
opinion in those proceedings, and rejected Demjanjuks contentions.
518 F.Supp. at 1365-69. This issue was also addressed by the district court in
denying post-judgment motions for relief. In making these arguments as to the authenticity of the Trawniki
documents, Demjanjuk overlooks one very important fact. The district court in
the extradition proceedings made a specific finding that the other evidence
identifying Demjanjuk as the guard Ivan at Treblinka was
sufficient to support the extradition order without reference to the Trawniki
document. Thus, even if this documentary evidence had been rejected, the
eyewitness evidence alone was found sufficient. Since the district court did
not rely on the Trawniki card, its validity is not before
the court. Of course, if we found any support in the record for the claim that
the government deliberately offered a forged document as evidence, we would
examine the entire proceedings for other evidence of fraud. However, the record
before us lends no support to this very serious charge, and we reject it.
Witnesses fully qualified to testify on the subject stated their opinions that
the Trawniki documents were authentic. C. One other issue raised by Demjanjuk requires consideration. On
appeal Demjanjuk argues that Judge Battisti, having presided at the
denaturalization proceedings, should have recused himself from the extradition
hearing. In making this contention Demjanjuk relies on 28 U.S.C. §
455(a) which requires a judge to disqualify himself in any proceeding
in which his impartiality might reasonably be questioned. The
argument is that Judge Battisti, having found that Demjanjuk committed acts
which required his denaturalization, might reasonably be considered biased
against the same party in a subsequent extradition action. The problem with
this argument is that in order to be disqualifying, a judges alleged
bias must emanate from some extrajudicial source rather
than from participation in judicial proceedings. United States v. Grinnell
Corp., 384 U.S. 563, 583, 86 S.Ct. 1698,
1710, 16 L.Ed.2d 778 (1966). Recusal is not required of a judge assigned to consider a habeas
corpus action following conviction at a trial over which the judge presided. In
fact Rule 4(a) of the rules applicable to actions seeking habeas relief from a
federal conviction pursuant to 28 U.S.C. § 2255 requires the petition
to be presented to the judge who presided over the petitioners trial
or sentencing. While the present action was brought under a different habeas
corpus statute, 28 U.S.C. § 2241, the reasons for the rule apply
equally to both. Judicial economy is served by requiring a judge familiar with
the case to consider collateral attacks on the judgment. In the absence of some
evidence of actual bias or prejudice from some source other than his prior
judicial contact with a related case, § 455(a) does not require a
judge to disqualify himself in extradition proceedings. David v. Attorney
General, 699 F.2d 411, 416 (7th Cir.), cert. denied, 464 U.S. 832, 104
S.Ct. 113, 78 L.Ed.2d 114 (1983). We find no evidence of actual bias in this
case. Under a local rule of the Northern District of Ohio
Demjanjuks habeas corpus action was assigned to Chief Judge Battisti.
The district court entered a memorandum and order in which it dealt with each
of the habeas corpus claims and concluded that Demjanjuk was not being held in
violation of the Constitution, treaties or laws of the United States. The
effect of the certification to the Secretary of State was stayed and Demjanjuk
appealed to this court. [*578] III. A. The pertinent portions of the treaty (Convention on Extradition)
between the United States and Israel (hereafter the Treaty) found in the first
three articles and the thirteenth article, are set forth: Article I Each Contracting Party
agrees, under the conditions and circumstances established by the present
Convention, reciprocally to deliver up persons found in its territory who have
been charged with or convicted of any of the offenses mentioned in Article II
of the present Convention committed within the territorial jurisdiction of the
other, or outside thereof under the conditions specified in Article III of the
present Convention. Article II Persons shall be
delivered up according to the provisions of the present Convention for
prosecution when they have been charged with, or to undergo sentence when they
have been convicted of, any of the following offenses: 1. Murder. 2. Manslaughter. 3. Malicious wounding;
inflicting grievous bodily harm. * * * Article III When the offense has
been committed outside the territorial jurisdiction of the requesting Party,
extradition need not be granted unless the laws of the requested Party provide
for the punishment of such an offense committed in similar circumstances. The words
territorial jurisdiction as used in this Article and in
Article I of the present Convention mean: territory, including territorial
waters, and the airspace thereover belonging to or under the control of one of
the Contracting Parties, and vessels and aircraft belonging to one of the
Contracting Parties or to a citizen or corporation thereof when such vessel is
on the high seas or such aircraft is over the high seas. * * * Article XIII A person extradited
under the present Convention shall not be detained, tried or punished in the
territory of the requesting Party for any offense other than that for which
extradition has been granted nor be extradited by that Party to a third State
unless: (Exceptions not
applicable). The Israeli warrant on which the extradition request was based was
issued pursuant to a request which charged Demjanjuk with having
murdered tens of thousands of Jews and non-Jews while
operating the gas chambers to exterminate prisoners at Treblinka. It further
asserts that the acts charged were committed with the intention of
destroying the Jewish people and to commit crimes against humanity.
The complaint in the district court equated this charge with the crimes of
murder and malicious wounding [and] inflicting grievous bodily
harm, listed in the Treaty. The warrant was issued pursuant to a 1950
Israeli statute, the Nazis and Nazi Collaborators (Punishment) Law. This statute
made certain acts, including crimes against the Jewish
people, crimes against humanity and war
crimes committed during the Nazi period punishable under Israeli law.
The statute defines these crimes as follows: crime
against the Jewish people means any of the following acts, committed
with intent to destroy the Jewish people in whole or in part: 1. killing Jews; 2. causing serious
bodily or mental harm to Jews; 3. placing Jews in
living conditions calculated to bring about their physical destruction; 4. imposing measures
intended to prevent births among Jews; 5. forcibly
transferring Jewish children to another national or religious group; [*579] 6.
destroying or desecrating Jewish religious or cultural assets or values; 7. inciting to hatred
of Jews; crime
against humanity means any of the following acts: murder, extermination,
enslavement, starvation or deportation and other inhumane acts committed
against any civilian population, and persecution on national, racial, religious
or political grounds; war
crime means any of the following acts: murder, ill-treatment
or deportation to forced labour or for any other purpose, of civilian
population of or in occupied territory; murder or ill-treatment of prisoners of
war or persons on the seas; killing of hostages; plunder of public or private
property; wanton destruction of cities, towns or villages; and devastation not
justified by military necessity. B. Notes Demjanjuk contends that the district court had no
jurisdiction to consider the request for extradition. He advances several
discrete arguments in support of this position. As he did in the district
court, Demjanjuk maintains that the crime he is charged with is not included in
the listing of offenses in the treaty. It is his position that
murdering thousands of Jews and non-Jews is not covered by
the treaty designation of murder. It is a fundamental
requirement for international extradition that the crime for which extradition
is sought be one provided for by the treaty between the requesting and the
requested nation. 18 U.S.C. § 3184; Fernandez v. Phillips, 268 U.S.
at 312, 45 S.Ct. at 542. We have no difficulty concluding that
murder includes the mass murder of Jews. This is a logical
reading of the treaty language and is the interpretation given the treaty by
the Department of State. That interpretation is entitled to considerable
deference, as this court noted in Argento v. Horn, 241 F.2d
258, 263 (6th Cir.1957): A construction of a treaty by the political department of the
government, while not conclusive upon a court called upon to construe such a
treaty in a matter involving personal rights, is nevertheless of much weight.
[Quoting Charlton v. Kelly, 229
U.S. 447, 468, 33 S.Ct. 945, 952, 57 L.Ed. 1274 (1913).] Demjanjuk also argues that the district court had no jurisdiction
because there is a requirement of double criminality in
international extradition cases. The Restatement of the Foreign Relations Law
of the United States, Tentative Draft No. 5 (1984) (hereafter
Restatement), provides in § 487: (1) No person may be
extradited pursuant to § 486 [The Basic Rule] * * * (c) If the offense
with which he is charged or of which he has been convicted is not punishable as
a serious crime both in the requesting and in the requested state. The Supreme Court stated in Collins v. Loisel, 259
U.S. 309, 311, 42 S.Ct. 469, 470, 66 L.Ed. 956 (1922),
It is true that an offense is extraditable only if the acts charged
are criminal by the laws of both countries. See also Brauch v.
Raiche, 618 F.2d 843, 847 (1st Cir.1980) (The requirement that the
acts alleged be criminal in both jurisdictions is central to extradition
law
.). We believe the double criminality requirement was met in this
case. As the Court stated in Collins v. Loisel: The law does not
require that the name by which the crime is described in the two countries
shall be the same; nor that the scope of the liability shall be coextensive,
or, in other respects, the same in the two countries. It is enough if the
particular act charged is criminal in both jurisdictions. 259 U.S. at 312, 42 S.Ct. at 470 (Emphasis added). If the acts
upon which the charges of the requesting country are based are also proscribed
by a law of the requested nation, the requirement of double criminality [*580] is
satisfied. Murder is a crime in every state of the United States. The fact that
there is no separate offense of mass murder or murder of tens of thousands of
Jews in this country is beside the point. The act of unlawfully killing one or
more persons with the requisite malice is punishable as murder. That is the
test. The acts charged are criminal both in Israel and throughout the United
States, including Ohio. Demjanjuks argument that to interpret murder
to include murder of Jews would amount to judicial amendment of the Treaty is
absurd and offensive. IV. A. A separate jurisdictional argument concerns the territorial reach
of the statutory law of Israel. Demjanjuk relies on two facts to question the
power of the State of Israel to proceed against him. He is not a citizen or
resident of Israel and the crimes with which he is charged allegedly were
committed in Poland. He also points out that the acts which are the basis of
the Israeli arrest warrant allegedly took place in 1942 or 1943, before the
State of Israel came into existence. Thus, Demjanjuk maintains that the
district court had no jurisdiction because Israel did not charge him with
extraditable offenses. The scope of this nations international extradition
power and the function of the federal courts in the extradition process are set
forth in 18 U.S.C. § 3184: § 3184.
Fugitives from foreign country to United States Whenever there is a
treaty or convention for extradition between the United States and any foreign
government, any justice or judge of the United States, or any magistrate
authorized so to do by a court of the United States, or any judge of a court of
record of general jurisdiction of any State, may, upon complaint made under
oath, charging any person found within his jurisdiction, with having committed
within the jurisdiction of any such foreign government any of the crimes
provided for by such treaty or convention, issue his warrant for the
apprehension of the person so charged, that he may be brought before such
justice, judge, or magistrate, to the end that the evidence of criminality may
be heard and considered. If, on such hearing, he deems the evidence sufficient
to sustain the charge under the provisions of the proper treaty or convention,
he shall certify the same, together with a copy of all the testimony taken
before him, to the Secretary of State, that a warrant may issue upon the
requisition of the proper authorities of such foreign government, for the
surrender of such person, according to the stipulations of the treaty or
convention; and he shall issue his warrant for the commitment of the person so
charged to the proper jail, there to remain until such surrender shall be made. Section 3184 clearly provides that the extradition complaint must
charge the person sought to be extradited with having committed crimes
within the jurisdiction of any such foreign government,
that is, the requesting state. This same condition is reflected in §
486(a) of the Restatement, which requires the requested state to comply with
the request to arrest and deliver a person sought on charges of
having committed a serious crime within the jurisdiction of the requesting
state. The question is whether the murder of Jews in a Nazi
extermination camp in Poland during the 1939-1945 war can be considered, for
purposes of extradition, crimes within the jurisdiction of the State of Israel. B. We look first at the Treaty. Article III provides that when an
offense has been committed outside the territorial jurisdiction of the
requesting party, extradition need not be granted unless the laws of
the requested party provide for the punishment of such an offense committed in
similar circumstances. Demjanjuk maintains that the need
not language of Article III prohibits extradition in this case
because the laws of the United States do not provide punishment for war crimes
or crimes *581 against humanity. He places principal reliance on Valentine
v. United States ex rel. Neidecker, 299 U.S. 5, 57 S.Ct. 100, 81
L.Ed. 5 (1936). In Valentine the treaty provided in part, Neither of
the contracting parties shall be bound to deliver up its own citizens or
subjects under the stipulations of this convention. Id. at 7, 57
S.Ct. at 101. The Supreme Court concluded that this language did not grant
discretion to the government to extradite citizens of the United States.
Demjanjuk argues that the need not
unless
language in the Treaty presently before us similarly precludes an exercise of
discretion to extradite for any offense for which the laws of the United States
provide no punishment under similar circumstances. Similar arguments were made by the petitioners in In re
Assarsson, 635 F.2d 1237 (7th Cir.1980), cert. denied, 451 U.S. 938, 101
S.Ct. 2017, 68 L.Ed.2d 325 (1981), and In re Assarsson, 687 F.2d
1157 (8th Cir.1982). These cases involved two brothers who were charged in Sweden
with several crimes, including a scheme to defraud an insurance company by
causing a warehouse in Copenhagen, Denmark to be burned. The extradition treaty
between the United States and Sweden contained language identical to that in
Article III of the United States-Israeli treaty. The Seventh Circuit construed
need not
unless to mean that the decision
whether to extradite is discretionary where laws of the requested party do not
provide punishment of the described offense under similar circumstances. The
court effectively distinguished Valentine as dealing with an
unusual treaty which when read in its entirety was logically found to prohibit
the extradition of U.S. citizens rather than to grant discretion. 635 F.2d at
1245. The Eighth Circuit adopted the same construction in upholding the denial
of habeas corpus relief to the second brother. 687 F.2d at 1163-64. Valentine construed the treaty to grant no discretion
because it was silent on this question whereas many other treaties explicitly
granted discretion. [T]he fact that our Government had favored
extradition treaties without excepting citizens puts the omission of the
qualifying grant of discretionary power in a strong light. 299 U.S.
at 13, 57 S.Ct. at 104. No comparison with other existing treaties requires
this strict reading of the Treaty in the present case. [16] Link to KeyCite Notes We agree with the two courts which have
construed the language which is common to the treaties with Sweden and Israel.
In our view the treaty language makes two things clear: (1) the parties
recognize the right to request extradition for extra-territorial crimes, and
(2) the requested party has the discretion to deny extradition if its laws do
not provide for punishment of offenses committed under similar circumstances.
This provision does not affect the authority of a court to certify
extraditability; it merely distinguishes between cases where the requested
party is required to honor a request and those where it has discretion to deny
a request. That the specific offense charged is not a crime in the United
States does not necessarily rule out extradition. The Israeli statute under which Demjanjuk was charged deals with
crimes against the Jewish people, crimes against
humanity and war crimes committed during the Nazi
years. It is clear from the language defining the crimes, and other references
to acts directed at persecuted persons and committed in places of confinement,
that Israel intended to punish under this law those involved in carrying out
Hitlers final solution. This was made explicit in
the prosecution of Adolph Eichmann in 1961. Attorney General v. Eichmann, 36 I.L.R.
277 (Sup.Ct.Israel 1962), reprinted in 2 Friedman, The Law of War at 1657-1687
(1972). Such a claim of extraterritorial jurisdiction over criminal offenses is
not unique to Israel. For example, statutes of the United States provide for
punishment in domestic district courts for murder or manslaughter committed
within the maritime jurisdiction (18 U.S.C. § 1111) and murder or
manslaughter of internationally protected persons wherever they are killed (18
U.S.C. § 1116(c)). We *582 conclude that the reference in 18 U.S.C.
§ 3184 to crimes committed within the jurisdiction of the requesting
government does not refer solely to territorial jurisdiction. Rather, it refers
to the authority of a nation to apply its laws to particular conduct. In
international law this is referred to as jurisdiction to
prescribe. Restatement § 401(1). C. The law of the United States includes international law. The
Paquete Habana, 175 U.S. 667, 712 (1900). International law recognizes a
universal jurisdiction over certain offenses. Section 404
of the Restatement defines universal jurisdiction: § 404:
Universal Jurisdiction to Define and Punish Selected Offenses A state may exercise
jurisdiction to define and punish certain offenses recognized by the community
of nations as of universal concern, such as piracy, slave trade, attacks on or
hijacking of aircraft, genocide, war crimes, and perhaps terrorism, even where
none of the bases of jurisdiction indicated in § 402 is present. This
universality principle is based on the assumption that some
crimes are so universally condemned that the perpetrators are the enemies of
all people. Therefore, any nation which has custody of the perpetrators may
punish them according to its law applicable to such offenses. This principle is
a departure from the general rule that the character of an act as
lawful or unlawful must be determined wholly by the law of the country where
the act is done. American Banana Co. v. United Fruit Co., 213 U.S. 347, 356, 29
S.Ct. 511, 512, 53 L.Ed. 826 (1909). The wartime allies
created the International Military Tribunal which tried major Nazi officials at
Nuremberg and courts within the four occupation zones of post-war Germany which
tried lesser Nazis. All were tried for committing war crimes, and it is
generally agreed that the establishment of these tribunals and their
proceedings were based on universal jurisdiction. E.g. Sponsler, The
Universality Principle of Jurisdiction and the Threatened Trials of American
Airmen, 15 Loy.L.Rev. 43, 48-51 (1968-69). Demjanjuk argues that the post-war trials were all based on the
military defeat of Germany and that with the disestablishment of the special
tribunals there are no courts with jurisdiction over alleged war crimes. This
argument overlooks the fact that the post-war tribunals were not military
courts, though their presence in Germany was made possible by the military
defeat of that country. These tribunals did not operate within the limits of
traditional military courts. They claimed and exercised a much broader
jurisdiction which necessarily derived from the universality principle.
Whatever doubts existed prior to 1945 have been erased by the general
recognition since that time that there is a jurisdiction over some types of
crimes which extends beyond the territorial limits of any nation. Turning again to the Restatement, § 443 appears to apply
to the present case: § 443.
Jurisdiction to Adjudicate in Aid of Universal and Other Non-Territorial
Crimes. A states
courts may exercise jurisdiction to enforce the states criminal laws
which punish universal crimes (§ 404) or other non-territorial
offenses within the states jurisdiction to prescribe
(§§ 402-403). Israel is seeking to enforce its criminal law for the punishment
of Nazis and Nazi collaborators for crimes universally recognized and condemned
by the community of nations. The fact that Demjanjuk is charged with committing
these acts in Poland does not deprive Israel of authority to bring him to
trial. Further, the fact that the State of Israel was not in existence
when Demjanjuk allegedly committed the offenses is no bar to Israels
exercising jurisdiction under the universality principle. When proceeding on
that jurisdictional premise, neither the nationality of the accused or the
victim(s), nor *583 the location of the crime is significant. The underlying
assumption is that the crimes are offenses against the law of nations or against
humanity and that the prosecuting nation is acting for all nations. This being
so, Israel or any other nation, regardless of its status in 1942 or 1943, may
undertake to vindicate the interest of all nations by seeking to punish the
perpetrators of such crimes. D. We conclude that the jurisdictional challenges to the district
courts order must fail. The crime of murder is clearly included in
the offenses for which extradition is to be granted under the treaty. Murder is
a crime both in Israel and in the United States and is included in the
specifications of the Nazis and Nazi Collaborators (Punishment) Law; the
requirement of double criminality is met; and, the State of
Israel has jurisdiction to punish for war crimes and crimes against humanity
committed outside of its geographic boundaries. Though it was not explicitly argued, we have considered whether
recognition of the power of Israeli courts to punish for war crimes committed
outside of its national territory violates any right of Demjanjuk under the
Constitution of the United States. Demjanjuk had notice before he applied for
residence or citizenship in the United States that this country, by
participating in post-war trials of German and Japanese war criminals,
recognized the universality principle. Israel has chosen to proceed under that
principle, and we do not supervise the conduct of another judicial system. To
do so would directly conflict with the principle of comity upon which
extradition is based. Jhirad v. Ferrandina, 536 F.2d
478, 485 (2d Cir.), cert. denied, 429 U.S. 833, 97 S.Ct. 97, 50 L.Ed.2d 98
(1976). In the absence of any showing that Demjanjuk will be subjected to
procedures antipathetic to a federal courts sense of
decency, Gallina v. Fraser, 278 F.2d 77, 79 (2d
Cir.), cert. denied, 364 U.S. 851, 81 S.Ct. 97, 5 L.Ed.2d 74 (1960), this court
will not inquire into the procedures which will apply after he is surrendered
to Israel. There is absolutely no showing in this record that Israel will
follow procedures which would shock this courts sense of
decency. United States ex rel. Bloomfield v. Gengler, 507 F.2d
925, 928 (2d Cir.1974). V. The remaining inquiry relates to how the principle of
specialty applies to this case. This principle requires that the
requesting country not prosecute for crimes listed in the treaty but for which
extradition was not granted. Shapiro v. Ferrandina, 478 F.2d
894, 905 (2d Cir.), cert. dismissed, 414 U.S. 884, 94 S.Ct. 204, 38 L.Ed.2d 133
(1973). It is also a condition found in Article XIII of the Treaty, which
provides that a person extradited thereunder shall not be tried or punished by
the requesting party for any offense other than that for which
extradition has been granted. The district court clearly certified that Demjanjuk was subject to
extradition solely on the charge of murder. Though some of the acts which
Demjanjuk is charged with may also constitute other offenses listed in the
treaty, he may be tried in Israel only on that charge. However, the particular
acts of murder for which he may be tried depend upon Israeli law. Israel may
try him under the provisions of the Nazis and Nazi Collaborators (Punishment)
Law for crimes against the Jewish people (killing
Jews, a species of murder), crimes against
humanity (murder
of civilian
population) and war crimes (murder
of civilian population of or in occupied territory). The
principle of specialty does not impose any limitation on the particulars of the
charge so long as it encompasses only the offense for which extradition was
granted. We have discussed the principle of specialty because it was argued
by Demjanjuk and we have attempted to deal with every issue raised. However, we
feel constrained to note that there is a serious [*584]
question whether Demjanjuk has standing to assert the principle of specialty.
The right to insist on application of the principle of specialty belongs to the
requested state, not to the individual whose extradition is requested. Berenguer
v. Vance, 473 F.Supp. 1195, 1197 (D.D.C.1979). See also Shapiro v.
Ferrandina, 478 F.2d at 906, where the court recognizes this rule of
international law while proceeding in a habeas appeal to remedy the failure of
the magistrate to separate extraditable and non-extraditable offenses. CONCLUSION The district court did not err in denying Demjanjuks
petition for a writ of habeas corpus. Under established principles of
international law the request by the State of Israel for extradition of
Demjanjuk was within the provisions of the Treaty. The district court also
correctly determined that it had jurisdiction of the matter and that the
evidence presented was sufficient to sustain the charge as required by 18
U.S.C. § 3184. The district court properly certified to the Secretary
of State that Demjanjuk is subject to extradition to Israel. Neither the district court nor this court is empowered to order
the extradition of any person. Extradition is an act of the Executive Branch.
The ultimate decision to extradite is a matter within the exclusive
prerogative of the Executive in the exercise of its powers to conduct foreign
affairs. Escabedo v. United States, 623 F.2d at 1105
(citations omitted). A decision to attach conditions to an order of extradition
is within the discretion of the Secretary of State, not the courts. The judgment of the district court is affirmed. |