Table of Contents
I. Background 762
A. The FSIA Terrorism Exception 763
B. History of this Litigation 765
II. Extrajudicial Killings 769
A, Textual Arguments 770
1. State action requirements under international law 770
2. International law and the TVPA 772
3. State action requirements in the TVPA and the FSIA terrorism exception 773
B. Statutory Purpose 775
O. ■ Statutory History 777
III. Sufficiency of the Evidence Supporting. Jurisdiction 778
A. The Evidentiary Hearing 779
1. The sources of evidence presented 779
2. The district court’s findings of fact 781
B. Standard of Review 784
C. Admissibility of the Evidence 786
1. The expert testimony 787
2. The State Department reports 792
D. Sufficiency of the Evidence 793
1. Proximate causation 794
2. Sudan’s-specific intent 798
IV. Timeliness of Certain Claims 799
V. Jurisdiction and Causes of Action for Claims of Third Parties 804
A. Jurisdiction 805
B. Causes of Action 807
VI. Punitive Damages 812
A. Whether to Review the Awards of Punitive Damages 812
B. Retroactivity of Punitive Damages Under § 1605A(c) 814
1. Section 1605A operates retroactively 815
2. Clear statement of retroactive effect 816
C. Retroactivity of Punitive Damages Under State Law 817
VII. Vacatur Under Rule 60(b) 818
A. Excusable Neglect Under Rule 60(b)(1) 819
B. Extraordinary Circumstances Under Rule 60(b)(6) 824
On August 7,1998 truck bombs exploded outside the United States embassies in Nairobi, Kenya and in Dar es Salaam, Tanzania. The explosions killed more than 200 people and injured more than a thousand. Many of the victims of the attacks were U.S. citizens, government employees, or contractors.
As would later'be discovered, the bombings were the work of al Qaeda, and only the first of several successful attacks against U.S. interests culminating in the September 11, 2001 attack on the United States itself. From 1991 to 1996, al Qaeda and its leader, Usama bin Laden, maintained a base of operations in Sudan. During this time, al Qaeda developed the terrorist cells in Kenya and Tanzania that would later launch the embassy attacks. This appeal considers several default judgments holding Sudan liable for the personal injuries suffered by victims of the al Qaeda embassy bombings and their family members.
I. Background
Starting in 2001 victims of the bombings began to bring suits against the Republic of Sudan and the Islamic Republic of Iran, alleging that Sudan, its Ministry of the Interior, Iran, and its Ministry of Information and Security materially supported al Qaeda during the 1990s. Specifically, the plaintiffs contended Sudan provided a safe harbor to al Qaeda and that Iran, through its proxy Hezbollah, trained al Qaeda militants. In bringing these cases, the plaintiffs relied upon a provision in the Foreign Sovereign Immunity Act (FSIA) that withdraws sovereign immunity and grants courts jurisdiction -to hear suits against foreign states designated as sponsors of terrorism. 28 U.S.C. § 1605(a)(7). This provision and its successor are known as the “terrorism exception” to foreign sovereign immunity.
Initially, neither Sudan nor Iran appeared in court to defend against the suits. In 2004 Sudan secured counsel and participated in the litigation. Within a year, its communication with and payment of its attorneys ceased but counsel continued to litigate until allowed to withdraw in 2009. In the years that followed, several new groups of plaintiffs filed suits against Sudan and Iran. The sovereign defendants did not appear in any of these cases, and in 2010 the district court entered defaults in several of the cases now before us. After an evidentiary hearing in, 2010 and the filing of still more cases, the court in 2014 entered final judgments in all pending cases. Sudan then reappeared, filing appeals and motions to vacate the judgments. The district court denied Sudan’s motions to vacate, and Sudan again appealed.
Today we address several challenges brought by Sudan on direct appeal of the default judgments and collateral appeal from its motions to vacate. Most of Sudan’s contentions require interpretation of the
A. The FSIA Terrorism Exception
Enacted in 1976, the FSIA provides the sole means for suing a foreign sovereign in the courts of the United States.
Argentine Republic v. Amerada Hess Shipping Corp.,
When first enacted, the FSIA generally codified the “restrictive theory” of sovereign immunity, which had governed sovereign immunity determinations since 1952. Under the restrictive theory, states are immune from actions arising from their public acts but lack immunity for their strictly commercial acts.
Verlinden B.V. v. Cent. Bank of Nigeria,
None of the original exceptions in the FSIA created a substantive cause of action 'against a foreign state. Rather, the FSIA provided “the foreign state shall be liable in the same manner and to the same extent as a private individual under like circumstances” except that it prohibited the award of punitive damages against a sovereign. 28 U.S.C. § 1606. As a result, a plaintiff suing a foreign sovereign typically relied upon state substantive law to redress his grievances. In this way, the FSIA “operate[d] as a ‘pass-through’ to state law principles,”
Pescatore v. Pan Am. World Airways, Inc.,
Until 1996 the FSIA provided no relief for victims of a terrorist attack. Courts consistently rebuffed plaintiffs’ efforts to fit terrorism-related suits into an existing exceрtion to sovereign immunity.
See, e.g,, Saudi Arabia v. Nelson,
money damages are sought against a foreign state- for personal injury or death that was caused by an act of torture, extrajudicial killing, aircraft sabotage, hostage taking, or the provision of material support or resources ... for such an .act if such act or provision of material support is engaged in by an official, employee, or agent of such foreign state while acting within the scope of his or her office, employment,. or agency.
Id.
at § 221,
This new “terrorism exception” applied only to (1) a suit in which the claimant or the victim was a U.S. national, 28 U.S.C. § 1605(a)(7)(B)(ii), and (2) the defendant state was designated a sponsor of terrorism under State Department regulations at or around the time of the act giving rise to
■ Initially, there was some confusion about whether the new exception created a cause of action against foreign sovereigns.
See In re Islamic Republic of Iran Terrorism Litig,,
[A]n official, employee, or agent of a foreign'state designated as a state sponsor of terrorism ... while acting within the scope of his or her office, employment; or agency shall be liable to a United States national or the national’s legal representative for personal injury or death caused by acts , of that official, employee, or agent for which the courts of the United States may maintain jurisdiction under section 1605(a)(7) of title 28, United States Code, for money damages which may include economic damages, solatium, pain, and suffering, and punitive damages if the acts were among those described in section 1605(a)(7).
This amendment was known as the Fla-tow Amendment after Alisa Flatow, a Brandéis University student mortally wounded in a suicide bombing in the Gaza Strip. The Flatow Amendment, which the Congress intended to deter state support for terrorism, (1) provided a cause of action against officials, employees, or agents of a designated state sponsor of terrorism and (2) authorized the award of punitive damages against such a defendant. These two changes marked a departure from the other FSIA exceptions, none of which provided a cause of action or allowed for punitive damages. See 28 U.S.C. § 1606.
Although it referred in terms only to state' officials, for a time some district courts read the Flatow Amendment and § 1605(a)(7) to create a federal cause of action against foreign states themselves.
See, e.g., Kilburn v. Republic of Iran, 277
F.Supp.2d 24, 36-37 (D.D.C. 2003).
But see Roeder v. Islamic Republic of Iran,
The pass-through approach, however, produced considerable difficulties. In cases with hundreds or even thousands of claimants, courts faced a “cumbersome and tedious” process of applying choice of law rules and interpreting state law for each claim.
See Iran Terrorism Litig.,
The Congress addressed these problems in 2008. Section 1083 of the National Defense Authorization Act for Fiscal Year 2008 (NDAA) repealed § 1605(a)(7) and replaced it with a new “Terrorism exception to the jurisdictional immunity of a foreign state.” Pub. L. No. 110-181, § 1083, 122 Stat. 3, 338-44 (2008) (hereinafter NDAA) (codified at 28' U.S.C. § 1605A). The new exception withdrew immunity, granted jurisdiction, and authorized suits against state sponsors of terrorism for “personal injury or death” arising from the same predicate acts—torture, extrajudicial killing, aircraft sabotage, hostage taking, and the provision of material support—as had the old exception.' 28 U.S.C. § 1605A(a)(l). Jurisdiction' for suits under the new exception extended to “claimants or victims” who were U.S. nationals, and for the first time, to members of the armed forces and to government employees or contractors acting within the scope of their employment. 28 U.S.C. § 1605A(a)(2)(A)(ii). Most important, the new exception authorized a “[pjrivate right of action” against a state over which a court could maintain jurisdiction ■ under § 1605A(a). 28 U.S.C. § 1605A(c). By doing so, the Congress effectively abrogated
Cicippio-Puleo
and provided a uniform source of federal law through which .plaintiffs. could seek recovery against a foreign sovereign.
Iran
Terrorism
Litig.,
Like its predecessor, the new exception contained a ten-year limitation period on claims brought under § 1605A. Notwithstanding the limitation period, the NDAA provided two means of bridging the gap between the now-repealed § 1605(a)(7) and the new § 1605A. Claimants with claims “before the courts in any form” who had been adversely affected by the lack óf a federal cause of action in § 1605(a)(7) could move to convert or refile their cases under § 1605A(c). NDAA § 1083(c)(2). Furthermore, “[i]f an action arising out of an act or incident has been timely commenced under section 1605(a)(7) or [the Flatow Amendment],” then a claimant could bring a “related action” “arising out of the same act or incident” within 60 days of the entry of judgment in the original action or of the enactment of the NDAA, whichever was later. NDAA § 1083(c)(3). Each of these, provisions is examined below in greater detail as they relate -to Sudan’s arguments.
B. History of this Litigation
This appeal follows 15 years of litigation against Sudan arising from the 1998 embassy bombings. In October 2001 plaintiff James Owens filed-the first lawsuit against Sudan and Iran for his personal injuries. Other plaintiffs joined the
Owens
action in the following year. These included individuals (or the legal representatives of individuals) killed..or injured in the bombings, who sought recovery for their physical injuries (or deaths), and the family members
When Sudan failed to appear, the district court entered an order of default in May 2003. The default was translated into Arabic and sent to Sudan in accordance with 28 U.S.C. § 1608(e). In February 2004 Sudan secured counsel and in March 2004 moved to vacate the default and to dismiss the Owens action. Sudan argued, among other things, it remained immune under the FSIA because the plaintiffs had not adequately pleaded facts showing it had materially supported al Qaeda or that its support had caused the bombings. Sudan attached to its motion declarations from a former U.S. Ambassador to Sudan and a former FBI agent stating that it neither assisted al Qaeda nor knew of the group’s terrorist aims during the relevant period.
In March 2005 the district court granted, in part, Sudan’s motion to dismiss and vacated the order of default.
Owens v. Republic of Sudan,
The plaintiffs then amended their complaint, and Sudan again moved to dismiss. Sudan once again argued the complaint had not sufficiently alleged material support and that any support it provided was pot a legally sufficient cause of the embassy bombings. Assuming the truth of the plaintiffs’ allegations, the district court denied Sudan’s motion in its entirety.
Owens v. Republic of Sudan,
While the motions to dismiss were pending, difficulties arose between Sudan and its counsel. After filing the first motion to dismiss, Sudan’s initial counsel withdrew due to a conflict of interest with the Iranian codefendants. Sudan retained new counsel, but their relationship soon deteriorated. Starting in January 2005 new counsel filed several motions to withdraw, citing Sudan’s unresponsiveness and failure to pay for legal services. Sudan’s last communication with counsel was in September 2008. The district court eventually granted a final motion to withdraw in January 2009, leaving Sudan without representation.
Despite these difficulties, counsel for Sudan continued to defend their client until the court granted the motion to withdraw in January 2009. Following the denial of its second motion to dismiss, Sudan pursued an interlocutory appeal to this court. Its appeal, in part, challenged the legal sufficiency of the plaintiffs’ allegations that Sudan’s material support had caused the embassy bombings. In July 2008 we affirmed the district court’s decision, holding that “[ajppellees’ factual allegations and the reasonable inferences that can be drawn therefrom show a reasonable enough connection between Sudan’s interactions with al Qaeda in the early and mid-1990s and the group’s attack on the embassies in 1998” to maintain jurisdiction under the FSIA.
Owens v. Republic of Sudan,
Shortly after our decision, several new groups of plaintiffs filed actions against Sudan and Iran arising from the embassy bombings. These actions—brought by the Wamai, Amduso, Mwila, and Osongo plaintiffs—were filed after the enactment of the new terrorism exception and before the expiration of its limitation period. This brought the total number of suits against Sudan to six, including the original Owens action and a suit filed by the Khaliq plaintiffs under § 1605(a)(7).
From that point on, neither Sudan nor its counsel participated in the litigation again until after the 2014 entry of final judgment in Owens. After entering new orders of defaults against Sudan in several of the pending actions, the court held a consolidated evidentiary hearing in order to satisfy a requirement in the FSIA that “the claimant establish! ] his claim or right to relief by evidence satisfactory to the court.” 28 U.S.C. § 1608(e). Without considering this evidence, the court could not transform the orders of default into enforceable default judgments establishing liability and damages against Sudan.
For three days, the district court heard expert testimony and reviewed exhibits detailing the relationship between both Iran and Sudan and al Qaeda during the 1990s. Shortly after this hearing the district court held both defendants liable for materially supporting the embassy bombings.
Owens v. Republic of Sudan,
The court also addressed the claims of non-American family members of those killed or injured in the bombings. Although those plaintiffs could not make use of the federal cause of action in § 1605A(c), the court concluded they could pursue claims under state law, as was the practice under the previous terrorism exception. Id. at 153. The court’s opinion was translated into Arabic and served upon Sudan in Sep-tember2012.
The district court then referred the cases to special masters to hear evidence and recommend the amounts of damages to be awarded. While this process was ongoing, two new sets of plaintiffs entered the litigation. In July 2012 the Opati plaintiffs filed suit against Sudan, claiming their suits were timely as a “related action” with respect to the original Owens litigation. In May 2012 the Aliganga plaintiffs sought to intervene in the Owens suit. Notwithstanding the expiration of the ten-year limitation period starting from the date of the bombings, the district court allowed both groups of plaintiffs to proceed against Sudan and to rely upon the court’s factual findings of jurisdiction and liability. The court then referred the Aliganga and Opa-ti claims to the special masters.
In 2014 the district court entered final judgments in favor of the various plaintiffs. All told, the damages awarded against Sudan came to more than $10.2 billion. Family members, who outnumbered those physically injured by the bombing, received the bulk of the award—over $7.3 billion. Of the total $10.2 billion, approximately $4.3 billion was punitive damages.
See, e.g., Opati v. Republic of Sudan,
In those motions, Sudan raised a number of arguments for vacatur, most of them challenging the district court’s subject matter jurisdiction. As before, Sudan also attacked the plaintiffs’ evidence. It argued the judgments were void because they rested solely upon inadmissible evidence to prove jurisdictional facts, which Sudan argued was impermissible under § 1608(e). It also argued the evidence did not show it proximately caused the bombings because al Qaeda did not become a serious terrorist threat until after Sudan had expelled bin Laden in 1996..
Sudan raised a host of new arguments as well. In its most sweeping challenge, Sudan argued it did not provide material support for any predicate act that would deprive it of immunity under the FSIA. In making this argument, Sudan contended the embassy bombings, carried out by al Qaeda, were not “extrajudicial killings” because that term requires the involvement of a state actor in the act of killing. Sudan also contended the claims brought by the Opati, Aliganga, and-Khaliq plaintiffs were barred by the statute of limitation in § 1605A(b) which, it argued, deprived the court of jurisdiction to hear their suits. 1
Sudan’s .last jurisdictional challenge took aim at the family members of those physically injured or killed by the bombings. Sudan argued that the court could hear claims only from a person who was physically harmed or killed by the bombings or the legal representative of that person. And even if jurisdiction was proper, Sudan contended, foreign (i.e., non-U.S.) family members could not state a claim under either the federal cause of action or state law.
Finally, Sudan raised two nonjurisdic-tional arguments: First, it urged the district court to vacate its awards of punitive damages to the plaintiffs- proceeding under state law, contending § 1605A(c) is the sole means for obtaining punitive damages against a foreign state. Second, Sudan argued the court should vacate the default judgments under Federal Rule of Civil Procedure 60(b) for “extraordinary circumstances” or “excusable neglect” on Sudan’s part, In support of the latter argument, Sudan submitted, a declaration from the Sudanese Ambassador to the United States detailing the country’s troubled history of civil unrest, natural disaster, and disease, which allegedly impeded Sudan’s participation in the litigation.
After a consolidated hearing, the district court denied the motions to vacate in all respects.
Owens v. Republic of Sudan,
At the end of the day, we affirm the judgments in most respects, holding the FSIA grants jurisdiction over all the claims and claimants present here. We hold also that those plaintiffs ineligible to proceed under the federal cause of action may continue to press their claims under state law. We also vacate all the awards of punitive damages and certify a question of local tort law to the District of Columbia Court of Appeals.
We turn first to Sudan’s challenges to the district court’s subject matter jurisdiction, starting with those that would dispose of the entire case. In Part II we address Sudan’s challenge to the meaning of “extrajudicial killings” under the FSIA. In Part III we review the sufficiency of the evidence supporting the conclusions that Sudan provided material support to al Qaeda and that this support was a jurisdic-tionally sufficient cause of the embassy bombings.
We then proceed to Sudan’s jurisdictional challenges that would eliminate the claims of particular plaintiffs. In Part IV we consider whether some of the plaintiffs’ claims are barred by the statute of limitation in the FSIA terrorism exception, which- Sudan contends is jurisdictional. In Part V we address both jurisdictional and nonjurisdictional arguments opposing the claims of the family members of victims physically injured or killed by the embassy bombings. Finally, we address Sudan’s purely nonjurisdictional arguments in Part VI—whether the new terrorism exception authorizes punitive damages for a sovereign’s pre-enactment conduct—and Part VII—addressing Sudan’s arguments for vacatur under Rule 60(b)(1) and 60(b)(6).
II. Extrajudicial Killings
Sudan first argues the 1998 embassy bombings were not “extrajudicial killings” within the meaning of the FSIA terrorism exception. As noted above, § 1605A divests a foreign state of immunity and grants courts jurisdiction over cases
in which money damages are sought against a foreign state for personal injury or death that was caused by ... extrajudicial killing ... or the provision of material support or resources for such an act if. such act or provision of material support or resources is engaged, in by an official, employee, or agent of such foreign state while acting within the scope of his or her .office, employment, or agency,
Because this argument poses a challenge to the court’s subject matter jurisdiction, it was not forfeited by Sudan’s failure to appear in the district court.
See Practical Concepts,
Section 1605A(h)(7) of the FSIA provides that the term “extrajudicial killing” has the meaning given to it in § 3(a) of the Torture Victim Protection Act of 1991, which defines an extrajudicial killing as:
a deliberated killing not authorized by a previous judgment pronounced by a regularly constituted court affording all the judicial guarantees which are recognized as indispensable by civilized peoples. Such term, however, does not include any such killing that, under international law, is lawfully carried out under the authority of a foreign nation.
Pub. L. No. 102-256, § 3(a), 106 Stat. 73, 73 (1991) (codified at 28 U.S.C. § 1350 note) (hereinafter TVPA).
On its face, this definition contains three elements: (1) a killing; (2) that is deliberated; and (3) is not authorized by a previous judgment pronounced by a regularly constituted court. The 1998 embassy bombings meet all three requirements and do not fall within the exception for killings carried out under the authority of a foreign nation acting in accord with international law. First, the bombings caused the death of more than 200 people in Kenya and Tanzania. The bombings were “deliberated” in that they involved substantial preparation, meticulous timing, and coordination across multiple countries in the region.
See Mamani v. Berzain,
Sudan offers a host of reasons we should ignore the plain meaning of “extrajudicial killing” in the TVPA and exclude terrorist bombings like the 1998 embassy attacks from jurisdiction under the FSIA terrorism exception. Sudan’s arguments draw upon the text and structure, the purpose, and the legislative history of the TVPA and of the FSIA terrorism exception. Each of Sudan’s arguments shares the same basic premise: Only a state actor, not a nonstate terrorist, may commit an “extrajudicial killing.”
A. Textual Arguments
We begin, as we must, with the text of the statute. First, Sudan contends the text of the TVPA, and, by extension of the FSIA, defines an “extrajudicial killing” in terms of international law, specifically the Geneva Conventions. According to Sudan, international law generally and the Geneva Conventions specifically prohibit only killings carried out by a state actor. The plaintiffs vigorously contest both propositions.
1. State action requirements under international law
Sudan bases its argument that principles of international law supply the meaning of “extrajudicial killing” in the FSIA upon similarities between the TVPA and the prohibition on “summary executions” in Common Article 3 of the Geneva Conventions of 1949, which condemns “the passing of sentences and the carrying out of executions without previous judgment pronounced by a regularly constituted court, affording all the judicial guarantees which are recognized as indispensable by civilized peoples.” Geneva Convention for the Amelioration of the Condition of the Wounded and Sick in Armed Forces in the Field, art. 3(l)(d), Aug. 12, 1949, 6 U.S.T. 3114, 75 U.S.T.S. 85. The similarities between the two definitions, Sudan contends, shows the Congress intended to define an “extrajudicial killing” in the TVPA with reference to principles of international law adopted in the Geneva Conventions,
To Sudan, this is of critical importance because the Geneva Conventions and international law, it argues, proscribe killings only when committed by a state agent, not when perpetrated by a nonstate actor. Three pieces of evidence are said to dem
Each of these references to international law is both inapposite and rebutted by the plaintiffs. If Sudan means to say the TVPA incorporates the prohibition against a “summary execution” in the Geneva Conventions, then it must show what was meant by that term in the Geneva Conventions themselves. In doing so, however, Sudan principally relies upon U.N. documents published more than a quarter century after the ratification of the Geneva Conventions in 1949, rather than the deliberations over the proposed Conventions, which Sudan does not cite at all. Odder still, none of these documents (or the terminology database) actually says the Geneva Conventions proscribe only “summary executions” committed by a state actor. See Summary or Arbitrary Executions, supra p. 22, ¶¶ 35-36 (noting Article 3 of the Geneva Conventions prohibits “murder” in general and “also specifically prohibits the passing of sentences and the carrying out of executions without previous judgement pronounced by a regularly constituted court”). Indeed, the plaintiffs present reasons to doubt whether the Geneva Conventions in specific, or international law in general, prohibit only killings by a state actor. As the plaintiffs note, Article 3 of the First Convention prohibits “violence to life and person, in particular murder of all kinds.” Geneva Convention, art. 3(l)(a), Aug. 12, 1949, 6 U.S.T. 3114, 75 U.S.T.S. 85. Likewise, the U.N. Terminology Database lists “[kjillings committed by vigilante groups” as an example of an “extrajudicial killing.” And finally, a “Handbook” published by the U.N. Special Rapporteur on Summary or Arbitrary Executions contains a full chapter on “killings by non-state actors and affirmative state obligations,” which states that “Human rights and humanitarian law clearly apply to killings by non-State actors in certain circumstances.” Project on Extrajudicial Executions, UN Special Rapporteur on Extrajudicial Executions Handbook, ¶ 45, http://www.extrajudicialexecutions.org/ application/media/Handbook%20Chapter% 203-Responsibility% 20of% 20states% 20for% 20non-state% 20killings.pdf (last visited July 19, 2017).
This does not mean Sudan’s interpretation of international law as it pertains to summary executions (as opposed to extrajudicial killings) is wrong or that direct state involvement is not needed for certain violations of international law. Rather, the point is that the role of the state in an extrajudicial killing appears less clear under international law than Sudan would have us believe; indeed it appears less clear than the definition of an “extrajudicial killing” in the TVPA itself. Accordingly, we doubt the Congress intended categorically to preclude state liability for killings by nonstate actors by adopting
2. International law and the TVPA
More important, even if Sudan’s, interpretation of the Geneva Conventions and international law is correct, its argument would fail because the TVPA does not appear to define an “extrajudicial killing” coextensive with the meaning of a “summary execution” (or any similar prohibition) under international law. For example, the TVPA does not adopt the phrasing of the Geneva Conventions wholesale. Rather, as the plaintiffs point out, the TVPA substitutes the term “deliberated killing” for “the passing of sentences and the carrying out of executions” in the Geneva Conventions. While “the passing of sentences and the carrying out of executions” strongly suggests at least some level of state involvement, a nonstate party may commit a “deliberated killing” as readily as a state actor. Indeed, several other statutes contemplate “deliberate” attacks by nonstate entities, including terrorist groups.
See, e.g.,
6 U.S.C. § 1169(a) (requiring the Secretary of Transportation, to assess vulnerability of hazardous materials in transit to a “deliberate terrorist attack”); 42 U.S.C. § 16276 (mandating research on technologies for increasing “the security of nuclear facilities from deliberate attacks”). Due to the substitution of “deliberated” killings for “the passing of sentences and the carrying out of executions,” the inference of direct state involvement is much less strong in the TVPA than in the Geneva Conventions. The difference between the definition in the TVPA and the .prohibition in the Geneva Conventions also signals the Congress intended the TVPA to reach a broader range of conduct than just “summary executions.” For the court to rely upon the narrower prohibition in the Geneva Conventions would contravene the plain text of the TVPA, which is, after all, the sole “authoritative statement” of the law.
See Exxon Mobil Corp.
v.
Allapattah Servs., Inc.,
Resisting. this conclusion, Sudan points to two phrases that, it contends, impose a state actor requirement upon the definition of an extrajudicial killing in the TVPA. First, Sudan notes that an extrajudicial killing must not be one “authorized by a previous judgment pronounced by a regularly constituted court.” As Sudan would have it, the “only killings that can be reasonably be imagined to be authorized by a ‘previous judgment’ are those by. state actors.” Regardless whether Sudan is right on this point, the argument does not imply what Sudan intends. If only a state actor may lawfully kill based upon a “previous judgment,” then all killings committed by a nonstate actor are, by definition, not “authorized by a previous judgment.” Therefore, only a killing committed by a state actor might not be an “extrajudicial killing,” that is, if it was “authorized by a previous judgment pronounced by a regularly constituted court.” Accepting Sudan’s premise, no other outcome can “reasonably be imagined.”
Similarly, Sudan argues the second sentence in the definition of an “extrajudicial killing” in the TVPA anchors the meaning of the first sentence in international law which, in Sudan’s view, prohibits only summary executions by state actors. Even accepting Sudan’s view of international law, we .are not persuaded. In the first sentence of § 3(a), the Congress defined the proscribed conduct (i.e., a “deliberated killing”) in terms that extended beyond the prohibition on a “summary execution” under international law. The second sentence excludes from the
Moreover, the reference to international law in the second sentence of § 3(a) of the TVPA highlights its omission in the first sentence. Had the Congress intended the definition of an “extrajudicial killing” to track precisely with that of a “summary execution” under international law, § 3(a) could have expressly referenced international law in both the prohibition and its limitation. That approach is found elsewhere in the FSIA,
see
28 U.S.C. § 1605(a)(3) (authorizing jurisdiction where “rights in property [are] taken in violation of international law”), as well as in other statutes,
see
18 U.S.C. § 1651 (proscribing “the crime of piracy as defined by the law of nations”). Indeed, the Congress specifically defined other predicate acts in § 1605A by reference to international treaties,
see
28 U.S.C. § 1605A(h)(l),(2) (defining “aircraft sabotage” and “hostage taking” with reference to international treaties), but referenced only a U.S. statute, the TVPA, in its definition of “extrajudicial killing.” That the Congress incorporated international law expressly into other jurisdictional provisions undermines the inference that it intended implicitly to do so here.
See Dep’t of Homeland See. v. MacLean,
— U.S. -,
3. State action requirements in the TVPA and the FSIA terrorism exception
The plaintiffs provide another persuasive reason Sudan’s textual arguments are flawed. The TVPA authorizes an action only for harms arising from the conduct of a state actor.
See
TVPA § 2(a) (providing a cause of action against an “individual who, under actual or apparent authority, or color of law, of any foreign nation” engages in torture or extrajudicial killing). Sudan argues the state actor requirement for a suit under the TVPA is “necessarily incorporated” in § 3(a) and therefore applies to those actions arising from “extrajudicial killings” under the FSIA. The limitation of actions to state actors, however, is found not in § 3(a) but in § 2(a) of the TVPA. As the plaintiffs note, when passing the current and prior FSIA terrorism exceptions, the Congress each time incorporated the section of the TVPA that defined an “extrajudicial killing” but not the section that limited the cause of action under the TVPA to state actors. If the Congress had wanted to limit extrajudicial killings to state actors, then it could have incorporated both sections of the TVPA into the FSIA terrorism exception. That it did not compels us to conclude the state actor limitation in the TVPA does not transfer to the definition of an “extrajudicial killing”
Indeed, the reason the Congress declined to incorporate the state-actor limitation in the TVPA is plain on the face of the FSIA terrorism exception. As the plaintiffs observe, the TVPA and the FSIA share a similar structure. Each statute defines the predicate acts that give rise to liability in one section—TVPA § 3 and FSIA § 1605A(h)—and then limits who may be subjected to liability in another—TVPA § 2 and FSIA §§ 1605A(a)(l) and (c). Both statutes also require a plaintiff to show a certain type of nexus to a foreign sovereign. In the TVPA, a state official must act “under actual or apparent authority, or color of law” of a foreign sovereign. In the FSIA, liability arises when the state official, employee, or agent acting within the scope of his authority either directly commits a predicate act or provides “material support or resources” for another to commit that act. If the more stringent state-actor limitation in the TVPA travelеd with the definition of an “extrajudicial killing” in that statute, then it would all but eliminate the “material support” provision of § 1605A(a), at least with respect to extrajudicial killings. For example, § 1605A(a) would extend jurisdiction over a sovereign that did not directly commit an extrajudicial killing only if an official of the defendant state materially supported a killing committed by a state actor from a different state. We seriously doubt the Congress intended the exception to immunity for materially supporting an extrajudicial killing to be so narrow.
Sudan attempts to avoid the conclusion that the FSIA does not adopt the state-actor limitation in the TVPA in two ways. First, Sudan contends the introductory clause of § 3(a) implicitly incorporates the state actor limitation of § 2(a). This clause statés that an “extrajudicial killing” is defined “[f]or the purposes of this Act.” That supposedly indicates the Congress intended to import the state actor limitation of § 2(a) into the definition of an extrajudicial killing in § 3(a). But Sudan’s reading of this phrase leads to an illogical conclusion. A statutory definition made expressly “[f]or the purposes of this Act” informs our understanding of the entire statute. In other words, the definitions in TVPA § 3 govern the use of those defined terms elsewhere in the Act. Under Sudan’s interpretation, however, the reverse would occur: in order to understand the meaning of a defined term, we would have to look to the remainder of the statute, and not to the definition itself. What then, we wonder, would the definition contribute to the statute? Would it be wholly redundant, a conclusion that conflicts with our usual interpretive presumptions?
See Nat’l Ass’n of Home Builders v. Defs. of
Wildlife,
Second, Sudan contends the definition of an “extrajudicial killing” in the TVPA implicitly incorporates international law (and the supposed state-actor limitation therein) even without reference to the state-actor limitation in § 2(a). Here Sudan relies principally upon a dictum in a Second Cir
Sudan’s argument that the definitions in the TVPA incorporate international law is flawed as a matter of statutory interpretation. If the definition of an “extrajudicial killing” (and “torture”) in TVPA § 3(a) already had a state actor limitation from international law, then the additional state actor limitation in § 2(a) would be surplus-age.
See Gustafson v. Alloyd Co.,
In sum, Sudan’s textual arguments that an extrajudicial killing requires a state actor all fail. Even if international law contained such a limitation—a proposition we doubt but do not decide—the TVPA does not incorporate international law (or any limitations therein) into its definition of an “extrajudicial killing.” Because the FSIA terrorism exception references only the definitions in TVPA § 3, and not the limitation to state actors in TVPA § 2(a), nothing in the text of the FSIA makes a state actor a prerequisite to an extrajudicial killing.
B. Statutory Purpose
Without a viable textual basis for its position, Sudan argues the purpose of the TVPA and the FSIA extend only to an “extrajudicial killing” committed by a state actor. Even if we could ignore the statutory text in pursuit of its supposed purpose, Sudan’s arguments from the purpose of the statutes would still not be convincing.
With respect to the purpose of the TVPA, Sudan pursues a line of reasoning parallel to that of its textual arguments: Because the TVPA was intended to “carry out obligations of the United States under the United Nations Charter and other international agreements ... by establishing a civil action for recovery of damages from an individual who engages in torture or extrajudicial killing,” Pub. L. No. 102-256, 106 Stat. at 73 (preamble), Sudan contends the supposed state-actor requirement for a killing to violate international law also limits the definition of an “extrajudicial killing” in the TVPA and hence the jurisdictional requirements of the FSIA. Even if international law both motivated enact
In any event, the different purposes of the TVPA and the FSIA are plain on the' face of those statutes. The TVPA targets individual state officials for their personal misconduct in office, while the terrorism exception to the FSIA targets sovereign nations in an effort to deter them from engaging, either directly or indirectly, in terrorist acts.
Sudan’s own arguments tacitly admit the FSIA serves a different purpose than the TVPA, but it again frames this purpose in terms of international law. To Sudan, the FSIA serves to withdraw sovereign immunity only for “certain universally defined and condemned acts” that are “firmly grounded in international law.” Once again Sudan contends, this excludes killings committed by nonstate terrorists because international law proscribes killings only when committed by a state actor. Furthermore, § 1605A, Sudan contends, should be read to exclude acts of terrorism because terrorism lacks “universal condemnation, or even [an] accepted definition .,. under international law.” Other predicate acts included in § 1605A, particularly aircraft sabotage and hostage taking, are inconsistent with this reading of the FSIA. As the plaintiffs and the district court recognized, “[f]or the past fifteen years it has been hard to think of a more quintessential act of terrorism than the purposeful destruction of a passenger aircraft in flight—yet such an act is manifestly covered by § 1605A.”
Owens V,
As the district court correctly recognized, § 1605A strives to hold designated state sponsors of terrorism accountable for their sponsorship of terror, regardless whether they commit, atrocities themselves or aid others in doing so.
Owens V,
C. Statutory History
Sudan next resorts to the legislative history of the FSIA and the TVPA'to explain why an “extrajudicial killing” requires state involvement. The short answer to its long and winding argument through the characteristically inconclusive background materials is' that when the meaning of a statute is clear enough on its face, “reliance on legislative history is unnecessary.”
See Mohamad v. Palestinian Auth.,
Subsequent legislation, on the other. hand, because it is enacted and not just compiled, may inform our understanding of a prior enactment with which it should be read in harmony. In this instance, the Congress made clear that an extrajudicial killing includes a terrorist bombing when, in l'996, it enacted the Flatow Amendment to the FSIA to provide a federal cause of action against state officials who had committed or materially supported one of the predicate acts listed in § 1605(a)(7), including an extrajudicial killing.
See
Pub. L. No. 104-208, § 589,
Subsequent' events in the Flatow saga reinforce this conclusion. Immediately following passage, relatives of'the victim sued Iran' under the Amendment, and the district court asserted jurisdiction based upon this “extrajudicial killing."
Flatow,
Finally, after courts had applied the FSIA terrorism exception to terrorist bombings for oVer a decade,
2
the Congress
To summarize, the plain meaning of § 1605A(a) grants the courts jurisdiction over claims against designated state sponsors of terrorism that materially support extrajudicial killings committed by nonstate actors. Contrary to Sudan’s contention, the purpose and statutory history of the FSIA terrorism exception confirm this conclusion. Therefore, this court may assert jurisdiction over claims arising from al Qaeda’s bombing of the U.S. embassies in 1998 if the plaintiffs have adequately demonstrated Sudan’s material support for those bombings.
III. Sufficiency of the Evidence Supporting Jurisdiction
Sudan’s weightiest challenge to jurisdiction relates to the admissibility and sufficiency of the evidence that supported the district court’s finding of jurisdiction. As discussed above, § 1605A(a)(l) of the FSIA grants jurisdiction and withdraws immunity for claims “caused by an act of ... extrajudicial killing ... or the provision of material support or resources for such an act.”
In order to establish the court’s jurisdiction, the plaintiffs in this case must show (1) Sudan provided material support to al Qaeda and (2) its material support was a legally sufficient cause of the embassy bombings.
See Kilburn v. Socialist People’s Libyan Arab Jamahiriya,
In its opinion rejecting Sudan’s motion to vacate the default judgments, the district court identified two bases upon which the plaintiffs established material support and causation for the purpose of jurisdiction. For plaintiffs proceeding under the federal cause of action in § 1605A(c), the court—following then-binding Circuit precedent—held the plaintiffs had established jurisdiction by making a “non-frivolous” claim that Sudan materially supported al Qaeda and that such support proximately
The decision in
Helmerich,
however, left intact the district court’s second basis for concluding the plaintiffs had sufficiently shown material support and causation in this case. For reasons no longer relevant, the district court concluded that plaintiffs who are ineligible to use the federal cause of action in § 1605A(c)—namely, victims or claimants who were not U.S. nationals, military service members, or government employees or contractors—could not establish jurisdiction simply by making a non-frivolous claim of material support and causation.
Owens V,
In each of the cases, the plaintiffs’ evidence was received at. the three-day evi-dentiary hearing held by the district court in October 2010. The court held that hearing to satisfy the FSIA requirement that, in order to secure a default judgment, a claimant must “establish[] his claim or right to relief by .evidence satisfactory to the court.”. 28 U.S.C. § 1608(e). At the hearing, the court received evidence of both Iran’s and Sudan’s support for al Qaeda in advance of the embassy bombings, but we limit our discussion here to the evidence pertaining to Sudan.
In evaluating Sudan’s evidentiary arguments, we proceed in three steps. First, we summarize the proceedings at the 2010 evidentiary hearing and the facts presents ed by the plaintiffs and their expert witnesses. Then we consider Sudan’s two challenges to this evidence. In the first, Sudan argues the district court relied upon inadmissible evidence to conclude that it materially supported al Qaeda. In the second, Sudan contends that, even if admissible, the evidence presented could not establish material support and causation as a matter of law.
A. The Evidentiary Hearing
At the October 2010 evidentiary hearing the plaintiffs presented evidence from a variety of sources. Reviewing this evidence as a whole, the district court concluded it sufficed both to establish jurisdiction and to prove Sudan’s liability on the merits. We first describe the .sources of evidence the court received and then briefly summarize the factual findings the court drew from this evidence.
1. The sources of evidence presented
As is apparent from the opinions of the district court, the testimony of expert witnesses and al Qaeda operatives was of critical importance to its factual findings.
■ First, the plaintiffs called terrorism consultant Evan Kohlmann to testify about the relationship between Sudan and al Qaeda in the 1990s. Kohlmann advised government and private clients on terrorist financing, recruitment, and history. He has authored a book and several articles on terrorism and has testified as an expert in multiple criminal trials. Kohlmann based his opinions regarding Sudan’s support for al, Qaeda upon a review of secondary source materials, including but not limited to the exhibits introduced at the hearing, testimony from criminal trials, and firsthand interviews he conducted with al Qae-da affiliates over the past decade. Kohl-mann testified that this information was of the. type routinely relied upon by. experts in the counterterrorism field.
Next, the court received a written expert report from Dr, Lorenzo Vidino on “Sudan’s State Sponsorship of al Qaeda.” Dr. Vidino was a fellow at the Belfer Center for Science and International Affairs, Kennedy School of Government, at Harvard University. Like Kohlmann, Vidino has authored books and articles on terrorism and has previously testified in federal court on Sudan’s support for al Qaeda. Vidino based his report upon open source materials initially gathered around 2004, which he reviewed and updated for the present case.
The district court also received live testimony and a written report from Steven Simon, a security consultant and Special Advisor for Combatting Terrorism at the Department of State. From 1995 to 1999, during which time al Qaeda bombed the embassies, Simon served on the National Security Council (NSC) as Senior Director for Transnational Threats. His responsibilities at the NSC included directing counterterrorism policy and operations on behalf of the White House. After his government service, Simon published a book and several articles on international terrorism and taught graduate courses on counterterrorism.
, The court also heard recorded trial testimony from three former al Qaeda operatives. In particular, the plaintiffs’ star witness, Jamal al Fadl, cast a long shadow over the proceedings, al Fadl was a Sudanese national and former senior al Qaeda pperative turned FBI informant. Now in the witness protection program, in 2001 he testified at the criminal trial of Usama bin Laden and other terrorists arising from the. African embassy bombings. Al Fadl was particularly well-suited to address the relationship between al Qaeda and the government of Sudan in the 1990s because he served then as a principal liaison between the terrorist group and Sudanese intelligence. He had also been instrumental in facilitating al Qaeda’s relocation from Afghanistan to Sudan in 1991 and had assisted the group in acquiring properties there. Although al Fadl did not testify at the evidentiary hearing, his prior testimony provided much of the factual basis for the expert witnesses’ opinions.
The court also received transcripts of prior testimony from two other al Qaeda operatives: Essam al Ridi and L’Houssaine Kherchtou. Both al Ridi' and Kherchtou were members of al Qaeda when the terrorist group was based in Sudan, and both testified at the bin Laden trial. They testified, based upon firsthand knowledge, about the Sudanese government and military facilitating al Qaeda’s movement throughout East Africa and protecting al Qaeda leadership. The plaintiffs also sub
In addition to this witness testimony, the court-viewed videos produced by al Qaeda describing its move to Sudan and its terrorist activities thereafter. And finally, the court considered reports from the U.S. Department of State and the Central Intelligence Agency describing Sudan’s relationship with al Qaeda in the 1990s. 3
2. The district court’s findings of fact
From the plaintiffs’ evidence, the district court found that Sudan had provided material support to al Qaeda and that such support caused the embassy bombings. This support was provided in several ways, which we recount in a much abbreviated form.
First, the district court found Sudan provided al Qaeda a safe harbor from which it could direct its operations.
Owens IV,
In 1991 al Qaeda accepted Sudan’s invitation. According to Kohlmann and Simon, the invitation benefited both bin Laden and the Sudanese government. For bin Laden, it allowed al Qaeda to depart an increasingly unstable Afghanistan and relocate closer, to its strategic interests in the Middle East. For Sudan, outreach to terrorist groups provided leverage against the government’s enemies at home and
Once bin Laden had determined Sudan was a trustworthy partner, al Qaeda moved its operations there. All three experts described al Qaeda purchasing several properties in Sudan, including a central office and a guesthouse in Khartoum, and starting terrorist training camps on farms throughout the country. Al Fadl personally participated in some of these transactions. For a time, according to Kohlmann, al Qaeda even shared offices with the al Tu-rabi’s NIF party in Khartoum. The close relationship between al Qaeda and the Sudanese government continued throughout the early 1990s, according to Kohlmann and Vidino, even after bin Laden publicized his intent to attack American interests in a series of fatwas and after al Qaeda members claimed responsibility for the killing of U.S. soldiers in Mogadishu, Somalia. For example, bin Laden appeared in multiple television broadcasts with al Bashir and al Turabi celebrating the completion of infrastructure projects financed, in part, by bin Laden. Sudanese intelligence officials also worked hand-in-glove with al Qaeda operatives to screen purported al Qaeda volunteers entering the country in order “to ensure that they were not seeking to infiltrate bin Laden’s organization on behalf of a foreign intelligence service.” Al Fadl personally took part in these efforts.
Sudan also helped al Qaeda develop contacts with other terrorist organizations. In 1991 the NIF organized an unprecedented gathering of terrorist organizations from around the world in Khartoum at the Popular Arab and Islamic Congress. Several of these groups, including the Egyptian Islamic Jihad (EIJ), whose membership would later overlap with that of al Qaeda, and the Iranian-backed Hezbollah, which later provided training to al Qaeda operatives, also established bases in Sudan. According to Kohlmann and Simon, Sudanese intelligence actively assisted аl Qaeda in forming contacts with these groups, allowing the nascent organization to acquire skills and to recruit members from the more experienced groups that it would later use with devastating effect.
Although Sudan expelled bin Laden in 1996 under international pressure, Kohl-mann, Vidino, and one other expert testified that some al Qaeda operatives remained in the country thereafter. They based this conclusion, in part, upon an unclassified report of the CIA, dated December 1998. A State Department report from 1998, published after the embassy bombings, reinforced the conclusion that “Sudan continued to serve as a meeting place, safe haven, and training hub for a number of international terrorist groups, particularly Usama Bin Ladin’s al-Qaida organization.” U.S. Dep’t op State, Patterns op Global Terrorism: 1998 (1999). Although expelling bin Laden was a “positive step[ ],” the CIA concluded Sudan continued to send “mixed signals about cutting its terrorist ties” after his expulsion but before the embassy bombings. Cent. Intel. Agency, Sudan: a Primer on Bilateral Issues With the United States, at 4 (May 12, 1997). Notably, Sudan remains a designated state sponsor of terrorism today.
The district court also found Sudan had provided financial, governmental, military, and intelligence support to al Qaeda.
Owens IV,
From the very beginning Sudan also aided al Qaeda’s movement throughout the region. Relying upon al Fadl’s testimony, Kohlmann testified that al Qaeda circulated copies of President al Bashir’s letter of invitation among its operatives. Al Qaeda agents could present these copies to Sudanese officials in order to “avoid having to go through normal immigration and customs controls” and to head off any “problems with the local police or authorities.” According to Kohlmann, Sudanese intelligence also transported weapons and equipment for al Qaeda from Afghanistan to Sudan via the state-owned Sudan Airways. On at least one occasion, Sudan allowed al Qaeda operative Kherchtou to smuggle $10,000 in currency—an amount above that permitted by law—to an al Qaeda cell in Kenya. This Kenyan cell ultimately carried out the bombing of the U.S. embassy in Nairobi in 1998.
In addition to aiding al Qaeda’s movements directly, all three experts testified that the government provided al Qaeda members hundreds of passports and Sudanese citizenship. Al Qaeda operatives needed these passports because they were “de facto stateless individuals” who could no longer safely travel on passports from their countries of origin. Upon returning from abroad, Sudanese officials allowed al Qaeda operatives to bypass customs and immigration controls. As al Fadl testified, this allowed militants to avoid having their passport stamped by a nation that had come under increasing scrutiny for its ties to terrorist organizations.
Finally, the district court identified several instances in which Sudan provided security to al Qaeda leadership.
Owens IV,
From the expert testimony, trial transcripts, and government reports, the district court concluded that the plaintiffs had met their burden of demonstrating “to the satisfaction of the court” that Sudan had provided material support to al Qaeda and that such support was a legally sufficient cause of the embassy bombings. Owens IV, 826 F.Supp.2d. at 150. As such, the plaintiffs both established jurisdiction and prevailed on the merits of liability. When faced with Sudan’s Rule 60(b)(4) motion to vacate the default judgments as void, the district court reaffirmed that its findings of material support and causation satisfied the standard for jurisdiction under § 1605A(a). Owens V, 174 F,Supp.3d at 276.
On this appeal, Sudan contends the record contains insufficient evidence of material support and causation to give the court jurisdiction under the FSIA, Its attack comes in two forms. First, Sudan disputes the admissibility of much of the evidence introduced to support the district court’s factual findings. It does so despite having failed to participate in the evidentiary hearing, where such challenges would have been properly raised. Second, even assuming the evidence was admissible, Sudan contends, the district court’s factual findings on material support and causation were clearly erroneous and insufficient to sustain jurisdiction as a matter of law. As we shall see, neither argument has merit.
B. Standard of Review
Sudan faces an uphill battle with its evidentiary challenges for two reasons. First is the burden of proof applicable to a FSIA case. The FSIA “begins with a presumption of immunity” for a foreign sovereign,
Bell Helicopter Textron, Inc. v. Islamic Republic of Iran,
Although a court gains jurisdiction over a claim against a defaulting defendant when a plaintiff meets his burden of production, the plaintiff must still prove his case on the merits. This later step, however, does not affect the court’s jurisdiction over the case,- and a defaulting defendant normally forfeits its right to raise nonjuris-dictional objections.
See Practical Concepts,
Unlike the court’s conclusions of law, which we review de novo, we review for abuse of discretion the district court’s satisfaction with the evidence presented.
Hill v. Republic of Iraq,
The district - court also has an unusual degree of discretion over eviden-tiary rulings in a FSIA case against a defaulting state sponsor of terrorism. For example, we have allowed plaintiffs to prove their claims using evidence that might not be .admissible in a trial.
See Han Kim v. Democratic People’s Republic of Korea,
In this case, the district court has already undertaken to weigh the plaintiffs’ evidence and determine its admissibility without any assistance from Sudan. Under these circumstances, we accord even more deference to the district court’s factual findings and evidentiary rulings in a FSIA case than in reviewing default judgments to which the strictures of § 1608(e) (or Rule 55(d)) do not apply.
Deference is especially appropriate when considering the lengthy history of the proceedings in the district court. The same learned judge has presided over this litigation since 2001. Over that time, the court has gained considerable familiarity with the plaintiffs’ evidence and, during the periods when Sudan participated, with its objections to that evidence. The court has issued four lengthy and detailed opinions that directly address many of Sudan’s challenges to the evidence of material support and jurisdictional causation. Through its opinions and actions, it is abundantly clear that the district court both appreciated and carried out is obligation under § 1608(e).
Cf. Compania Interamericana Exp.-Imp., S.A. v. Compania Dominicana de Aviacion,
C. Admissibility of the Evidence
Sudan first challenges the admissibility of evidence supporting the district court’s findings of material support and
jurisdictional causation. In order to issue a default judgment under § 1608(e), a court must base its findings of fact and conclusions of law upon evidence admissible under the Federal Rules of Evidence.
Kim,
Reviewing the admissibility of evidence supporting a default judgment presents significant challenges, which color our treatment of Sudan’s arguments. The adversarial process gives the parties an incentive to raise evidentiary challenges at the earliest opportunity because failure to do so ordinarily results in their forfeiture. Raising evidentiary challenges early on also provides the proponent of the evidence the opportunity to respond by offering an alternative theory of admissibility or different, admissible evidence on the same point. Thus, the adversarial process properly places the burden of admissibility upon the interested party, allocates the original determination of admissibility to the district court, which is more familiar with the evidence, and preserves evidentia-ry disputes for appellate review with the aid of a full trial record. Furthermore, allowing a defaulting defendant to benefit from sandbagging the plaintiff with an admissibility objection on appeal would be unfair and would encourage gamesmanship. When the defendant defaults, therefore, we do not consider its evidentiary challenges on appeal.
These principles do not map neatly to a FSIA case because a defaulting defendant may challenge the factual basis for the court’s jurisdiction for the first time on appeal. And because a FSIA plaintiff must produce evidence that is both admissible,
Kim,
In this case, Sudan principally challenges the admissibility of two types of evidence: (1) the plaintiffs’ expert testimony and (2) reports from the Department of State and the CIA. We find no error in the district court’s reliance upon either.'
1. The expert testimony
In its opinions on liability and on Sudan’s Rule 60(b) motion, the district court discussed the experts’ testimony in great detail and concluded it sufficed to establish jurisdiction.
Owens V,
The testimony of expert witnesses is of crucial importance in terrorism cases,
see, e.g., Kilburn,
Sudan raises three challenges to the expert testimony presented at the evidentia-ry hearing. First, despite conceding that expert testimony is “doubtless admissible” in a FSIA default proceeding, Sudan contends that experts alone are insufficient to establish jurisdiction in the absence of other direct, admissible evidence. Second, Sudan objects that the plaintiffs’ experts merely served as conduits for inadmissible hearsay, upon which the district court relied. Finally, Sudan quarrels with the inferences drawn by the experts and by the district court from the underlying factual background. None of these arguments is persuasive.
a. Need for direct evidence
The recent case of
Han Kim v. Democratic People’s Republic of Korea
demonstrates the importance of expert testimony in FSIA proceedings and forecloses Sudan’s first argument. In
Kim,
relatives of a pastor who was a U.S. citizen sued the Democratic People’s Republic of Korea (DPRK) under the FSIA terrorism exception, alleging the regime abducted, tortured, and killed the cleric for his ministry to DPRK refugees.
In these circumstances, requiring that the Kims prove exactly what happened to the Reverend and when would defeat the Act’s very purpose: to give American citizens an important economic and financial weapon to compensate the victims of terrorism, and in so doing to punish foreign states who [sic] have committed or sponsored such acts and deter them from doing so in the future. This is especially true in eases of. forced disappearance, like this one, where direct evidence of subsequent torture and execution will, by definition, almost always be unavailable, even though indirect evidence may be overwhelming. Were we to demand more of plaintiffs like the Kims, few suits like this could ever proceed, and state sponsors of terrorism could effectively immunize themselves by killing their victims, intimidating witnesses, and refusing to appear in court.
Id. at 1048-49 (internal citations and quotation marks omitted).
Here, as in
Kim,
the plaintiffs face a state sponsor of terrorism that has refused to participate in the litigation. By skipping discovery and the evidentiary hearing, Sudan made it virtually impossible for the plaintiffs to get. eyewitness accounts of its activities in the 1990s, Nor can the plaintiffs ordinarily subpoena members of al Qaeda, many of whom are dead or in hiding, to testify regarding the actions of the regime. The Congress originally enacted the terrorism exception in the FSIA because state sponsors of terrorism “ha[d] become better at hiding their material support” and misdeeds.
Kilbum,
Nevertheless, Sudan persists that expert testimony alone cannot establish jurisdiction and liability under the FSIA, To wit, Sudan complains that the plaintiffs did not offer “any admissible factual evidence” or “call any percipient witnesses competent to testify about relevant facts in Sudan in the 1990s.” In particular, Sudan would have us distinguish Kim as having turned solely upon a piece of non-expert evidence.
Sudan’s argument is both legally and factually flawed. Neither § 1608(e) nor any other provision of the FSIA requires a court to base its decision upon a particular type of admissible evidence.. As long as the evidence itself is admissible, as expert testimony certainly may be, and the court finds it satisfactory, its form or type is irrelevant.
Cf. Holland v. United States,
Sudan’s attempt to distinguish
Kim
on its facts is similarly unpersuasive. True, in
Kim,
we placed great weight upon a single piece of admissible non-expert evidence: the conviction of a DPRK agent who had kidnapped the victim, of which the district court took judicial notice.
Kim,
Our conclusion, however, turned upon the specific facts of that case; we did not announce a categorical requirement of direct evidence in FSIA cases. Whereas the conviction in Kim linked the defendant sovereign to the plaintiffs disappearance, in the present case there is no missing link between Sudan’s actions and the embassy bombings. It is undisputed that al Qaeda came to .Sudan in the early 1990s and maintained its headquarters there. It is also beyond question that al Qaeda perpetrated the embassy bombings in 1998. As in Kim, expert testimony supplies the predicate act (here material support, in Kim torture and extrajudicial killing) linking these two events and conferring jurisdiction upon the court. But here, unlike, in Kim, we need no further evidence beyond the expert testimony to connect the defendant sovereign to the extrajudicial killings. The expert testimony therefore suffices to meet the plaintiffs’ burden of production on jurisdiction.
b. Reliance upon inadmissible hearsay
■ Sudan next contends the experts recited facts based upon inadmissible hearsay and the district court improperly relied upon those facts to establish jurisdiction and to hold Sudan liable.
Under Federal Rule of Evidence 703, a properly qualified expert may base his opinion upon otherwise inadmissible sources of information as long as those sources are reasonably relied upon in his field of expertise. Further, the expert may disclose to the factfinder otherwise inadmissible “underlying facts or data as a preliminary to the giving of an expert opinion.”
See, e.g.,
Fed, R. Evid. 705 advisory committee’s note. Indeéd, disclosure is often necessary to enable the court to “decidfe] whether, and to what extent, the person should be allowed to testify.”
Id.-,
2 McCormick on Evidence § 324.3 (7th ed. 2016) (“otherwise the opinion is left unsupported with little way for evaluation of its correctness”). Nevertheless, “the underlying information” relied upon by a qualified expert “is not admissible simply because the [expert’s] opinion or inference is admitted.”
See
Fed, R. Evid. 703 advisory committee’s note. Thus, as Sudan points out, “a party cannot call an expert simply as a conduit for introducing hearsay under the guise that the testifying expert used the hearsay as the basis of his testimony.”
Marvel Characters, Inc. v. Kirby,
Applying these standards to the case at hand, we see that, the district .court properly distinguished the‘experts’ clearly admissible opinions from the potentially inadmissible facts underlying their testimony. Sudan principally objects to the district court’s recitation of those under
At the outset, we note the district court did not err—much less prejudicially err—in reciting potentially inadmissible facts in its 2011 opinion on liability. For their conclusions to be admissible and credible, the plaintiffs’ experts needed to disclose the factual basis for their opinions.
See, e.g., Fox v. Taylor Diving & Salvage Co.,
The district court also needed to engage with the underlying facts in order to explain why it admitted and credited the experts’ opinions. Without those facts, we too would struggle to evaluate Sudan’s evi-dentiary challenges to the opinion testimony. Hence, some discussion of the potentially inadmissible underlying facts was unavoidable in the 2011 opinion in order to admit, to credit, and to enable our review pf the experts’ opinions.
More important, the district court properly based its findings upon the experts’ “undoubtedly admissible” opinions and not upon any arguably inadmissible facts. The district court’s 2011 and 2016 opinions extensively quote the experts’ opinions in reaching the conclusion that Sudan’s material support caused the embassy bombings.
See Owens V,
In a supplemental filing, Sudan compares the experts’ opinions in this case to those held inadmissible in
Gilmore v. Palestinian Interim Self-Government Authority,
Finally, Sudan belatedly challenges the reliability of the factual bases for the experts’ testimony. Of course, “the decision whether to qualify an expert witness is within the broad latitude of the trial court and is reviewed for abuse of discretion.”
Haarhuis v. Kunnan Enters.,
Here, the plaintiffs’ experts used, among other things, trial testimony of al Qaeda informants, intelligence reports from the U.S. Government, and their exhaustive review of secondary sources to reach their conclusions. Courts hаve consistently held these sorts of materials provide an adequate basis for expert testimony on terrorism.
See Damrah,
c. Reliability of the experts’ conclusions
Sudan’s third objection attacks the reliability of the experts’ opinions in this case as inconsistent with the underlying facts. In other words, Sudan asks this court to hold the expert opinions are inadmissible because the plaintiffs’ witnesses have not “reliably applied [their] principles and methods to the facts of the case.”
See
Fed. R. Evid. 702(d). This challenge also implies the district court based its findings of jurisdiction upon clearly erroneous facts.
See Price,
The problem with this argument is that Sudan has not explained—either at the evidentiary hearing or on appeal—why these expert opinions are unreliable or clearly erroneous. By refusing to participate in the evidentiary hearing, Sudan gave up its opportunity to challenge the fit between the experts’ opinions and the underlying facts. At the hearing, the witnesses described the general bases of their
2. The State Department reports
Of course, the district court did not rely solely upon expert testimony to establish jurisdiction and liability. Of particular importance, the plaintiffs marshaled nearly a decade of State Department reports that speak directly to Sudan’s support for terrorist groups, including al Qaeda,
See, e.g.,
U.S. Dep’t of State, Patterns of Global Terrorism: 1993 (“Despite several warnings to cease supporting radical extremists the Sudanese, government continued, to harbor international terrorist groups in Sudan”); U.S. Dep’t of State, Patterns of Global Terrorism: 1998 (“Sudan provides safe haven to some, of the world’s most violent, terrorist groups, including Usama Bin Ladin’s al-Qaida”); U.S. Dep’t of State,-Patterns of Global Terrorism: 2000 (2001) (“Sudan .., continued to be used as a safe haven by members -of various groups, including associates of Osama bin Laden’s al-Qaeda organization”). These reports both bolster the experts’ conclusions about Sudan’s material support for the al Qaeda. embassy bombings and.,independently show the plaintiffs’ claims “ha[ve] some factual, basis,” as required by § 1608(e).
Giampaoli,
As with the expert testimony, Sudan contends these reports are inadmissible hearsay. The plaintiffs urge the State Department reports were admissible under the hearsay exception for public records.
See
Fed. R. Evid. 803(8). That exception allows the admission of “a record or statement оf a public office if’ it: (1) contains factual findings (2) from a legally authorized investigation.
Id
at 803(8)(iii). Pursuant to the “broad approach to admissibility” under Rule 803(8), a court may also admit “conclusion[sJ or opinion[s]” contained within a public record.
Beech Aircraft Corp. v. Rainey,
The State Department’s
Patterns of Global Terrorism
reports fit squarely within the public records exception., First, the reports contain both, factual findings and conclusions on Sudan’s support for terrorism in general and al Qaeda in. particular. Second, the reports were created
Sudan objects.on appeal to the “trustworthiness” of these, reports, but that objection should have been made in the district court.
See
Fed. R. Evid. 803(8)(B) (providing for the admission of public records if “the opponent does not show that the possible source of the information or other circumstances indicate a lack of trustworthiness”). Even now, Sudan does not present any reason, beyond their reliance upon hearsay, to deem these reports unreliable.
See Kehm v. Procter & Gamble Mfg. Co.,
D. Sufficiency of the Evidence
This brings us to Sudan’s second major challenge to the plaintiffs’ evidence. In addition to disputing the admissibility of the evidence, Sudan argues the totality of the evidence cannot establish material support and jurisdictional causation as a matter of law. First, Sudan contends the plaintiffs cannot show its actions caused the plaintiffs’ injuries because its conduct neither substantially nor foreseeably provided ma
1. Proximate causation
Sudan’s first challenge to the sufficiency of the evidence rests upon the standard for jurisdictional causation,
viz.,
proximate cause. In
Kilbum,
we held a plaintiff must show proximate cause to establish jurisdiction under § 1605(a)(7), the predecessor of the current FSIA terrorism exception.
Proximate cause requires “some reasonable connection between the act or omission of the defendant and the damage which the plaintiff has suffered.”
Id.
(quoting Prosser & Keeton on the Law of Torts 263 (5th ed. 1984)). It “normally eliminates the bizarre,”
Jerome B. Grubarb, Inc. v. Great Lakes Dredge & Dock Co.,
a. Substantial factor
Sudan offers two reasons its actions were not a “substantial factor” in al Qaeda’s embassy bombings. Most basically, Sudan contends it did not provide any material support at all to al Qaeda during the 1990s, making proximate causation impossible. Much of this argument reprises Sudan’s objections to the inferences drawn by the experts from al Fadl’s testimony, which objections we have considered and rejected.
Nevertheless, Sudan points to a number of events as to which it contends the district court erroneously found material support for al Qaeda. For example, Sudan criticizes the district court’s discussion of al Qaeda purchasing properties, starting businesses, and establishing terrorist training camps in Sudan.
Owens IV,
Sudan also disputes the district court’s finding that it provided financial support to al Qaeda. To the contrary, Sudan argues, al Qaeda financially supported Sudan by investing in Sudanese infrastructure. Su
Finally, Sudan invokes the testimony of Simon, the former NSC staffer overseeing counterterrorism activities, that Sudan provided no “useful information on bin Laden’s” activities that “might have helped the U.S. unravel the plots to attack the two East African U.S. embassies.” Id. at 145. The district court’s finding of material support, Sudan argues, is unsustainable “without a showing that Sudan had useful intelligence and nonetheless elected not to share it.” Although the district court did not say what Sudan knew about al Qaeda or when it knew it, Sudan’s claims of ignorance regarding al Qaeda’s aims defies both reason and the record. After all, Sudan invited “literally every single jihadist style group,” including al Qaeda, to relocate to Sudan in the early 1990s. At the time, bin Laden was known as a wealthy Islamist financier and a leader in the Af-ghani mujahedeen. As soon as al Qaeda took up residence in Sudan, bin Laden began issuing fatwas denouncing the United States and calling for attacks upon U.S. interests. And after the Battle of Mogadishu in 1993, al Qaeda operatives publically boasted about killing U.S. soldiers in Somalia. According to Kohlmann, bin Laden himself took to the Arab press and U.S. cable television to claim responsibility for this attack. Sudanese intelligence officers would have been privy to all this information because they frequented al Qaeda’s guesthouses, and al Turabi’s NIF shared offices with al Qaeda for a time.
Sudan’s own actions also gave it knowledge of al Qaeda’s capabilities and aims. For example, Sudanese intelligence must have known that al Qaeda operated training camps where explosives were used because it shielded those camps from interference by the local police. Sudan also knew al Qaeda was transporting large, undeclared sums of money to Kenya because Sudanese agents shepherded operatives with this money past airport inspections. Likewise, Sudan knew something of al Qaeda’s arsenal because its own planes transported al Qaeda’s weapons from Afghanistan to Sudan. Indeed, on one occasion, a Sudanese official even assisted al Qaeda in an ultimately unsuccessful bid to obtain nuclear weapons frоm a smuggler in South Africa. Contrary to Sudan’s contention, all this information would have aided the United States in appreciating the threat of al Qaeda and attempting to disrupt its operations. Sudan’s refusal to divulge any of this information—even after a specific request from the United States in 1996—certainly qualifies as material support.
Cf. Estate of Parsons v. Palestinian Auth.,
Sudan’s second argument that its actions were not a “substantial factor” causing the plaintiffs’ injuries focuses upon the temporal distance between Sudan’s support for al Qaeda and the embassy bombings. Principally, Sudan argues that by expelling bin Laden in 1996 it broke the chain of causation leading to the 1998 embassy bombings. We confronted and rejected the
Fast-forwarding to the present day, the plaintiffs have substantiated their allegations of material support and jurisdictional causation with admissible evidence, which Sudan did not challenge at the evidentiary hearing. Once again, the district court found the evidence established "a “reasonable connection” between Sudan’s actions and the embassy bombings. As in our 2008 decision, we see nothing erroneous. with this conclusion for two reasons.
First, we do hot-believe Sudan broke the chain of proximate causation by completely disassociating itself from al Qaeda in or after 1996. A declassified CIA President’s Daily Brief in December 1998—months after the embassy bombings—reports a “Bin Laden associate in Sudan” sending materials to al Qaeda in Afghanistan, The State Department’s 1998 Patterns of Global Terrorism further reports that “Sudan continued to serve as a meeting place, safehaven, and training hub for a number of international terrorist group’s, particularly Usama Bin Ladin’s al-Qaida organization” even after the embassy bombings. Although counterterrorism cooperation between the United States and Sudan improved after the bombings, the 2000 Patterns of Global Terrorism report reiterates “Sudan continued to serve as a safehaven for members of al-Qaida, the Lebanese Hizballah, al-Gama’a al-Islamiyya, Egyptian Islamic Jihad, the PIJ, and HAMAS.” In addition, both Kohlmann and Simon testified that al Qaeda operatives remained in Sudan after 1996. Sudan insists that a gap remained between its expulsion of bin Laden and the government reports detailing al Qaeda’s presence in Sudan in late 1998, but it strains credulity that Sudan would immediately resume relations with al Qaeda following bombings for which the group claimed credit after completely cutting ties two years earlier. Rather, as the. district court inferred, it is far more likely that Sudan, despite having expelled bin Laden in 1996, continued to harbor al Qaeda terrorists until and after the bombings.
Second, even if Sudan were correct on this factual point, severing ties with al Qaeda would not preclude a finding that its material support remained a substantial factor in the embassy bombings.
See Boim,
Sudan counters by selectively quoting the 9/11 Commission Report, stating “Bin
b. Reasonable foreseeability
Sudán contends even if its support was a “significant factor.” in the embassy bombings, the attacks were not “reasonably foreseeable or anticipated as a natural consequence” of that support, Principally, Sudan argues it was not foreseeable in 1991-—when Sudan invited bin Laden to relocate—that al Qaeda would engage in terrorist activities. As evidence, Sudan points' out that - bin Laden was not yet infamous for acts of terrorism and the United States had not-yet designated al Qaeda a terrorist organization , or bin Laden a terrorist and did not do so until after the embassy bombings.. Designation of Foreign Terrorist Organizations, 64 Fed. Reg. 55,112, 55,112/1 (Oct-. 8, 1999); Exec. Order No. 13099, 63 Fed. Reg. 45,167, 45,167 (Aug. 20,1998). That bin Laden and al Qaeda “may have abused their opportunities” in the country, Sudan urges, does not mean it should be held accountable when “its residents later turn out to be terrorists.”
Once again Sudan ignores the broader context of its actions. In the early 1990s the Sudanese government reached out to numerous terrorist groups, including the “Palestinian HAMAS movement, the, Palestinian Islamic Jihad, Hezbollah, ... al Qaeda, the Egyptian Islamic Jihad, the Libyan Islamic Fighting Group, dissident groups from Algeria, Morocco, the Eritrean Islamic Jihad movement.”
Owens TV,
Furthermore, as its relationship with al Qaeda deepened, Sudan undoubtedly became aware of al Qaeda’s hostility to the United States and its intention to launch attacks against American intеrests. Starting in 1991, bin Laden issued a series of fatwas against the United States from Khartoum, and al Qaeda operatives pub-lically boasted about attacking American soldiers in Somalia in 1993. Despite this, Sudan continued to assist the group in moving people and resources throughout the region. Sudan’s claimed ignorance of al Qaeda’s specific aim to bomb American embassies focuses too narrowly upon those events; Sudan could not help but foresee that al Qaeda would attack American interests wherever it could find them.
In sum, Sudan’s actions in the 1990s were undoubtedly a “substantial factor in the sequence of responsible causation” that led to the embassy bombings.
Rothstein,
2. Sudan’s specific intent
Sudan resists this conclusion by attempting to graft an additional requirement onto the proximate cause analysis. The FSIA terrorism exception, Sudan argues, requires something more than proximate causation: “The foreseeability aspect of proximate causation” it says, “is reinforced by § 1605A(a)(l)’s requirement that material support be provided ‘for’ the predicate act.” Sudan’s point is that the use of “for” with reference to “the provision of material support” indicates that the FSIA “requires a showing of intent” on the part of the foreign sovereign to achieve the predicate act, for which it refers us to
Village of Hoffman Estates v. Flipside, Hoffman Estates, Inc.,
Although the record contains Much evidence of Sudan’s support for al Qaeda and its general awareness of the group’s terrorist aims, nothing suggests that Sudan specifically knew of or intended its support to cause the embassy bombings. Nothing in the FSIA, however, requires a greater showing of intent than proximate cause. Indeed, we dispatched a similar argument
A terrorist organization is supported by two foreign states. One specifically instructs the organization to carry out an attack against a U.S. citizen. Can the state which only provides general support, but was not involved with the act giving rise to the suit, also be stripped of its immunity?
Further, we rejected the related argument that the “provision of material support or resources ...
for such an ad”
required that “a state’s material support must go directly for the specific act.”
Id.
at 1130. That limitation, we explained, “would likely render § 1605(a)(7)’s material support provision ineffectual” because material support “is fungible” and “terrorist organizations can hardly be counted on to keep careful bookkeeping records.”
Id.
Indeed, in other situations, courts have required neither specific intent nor direct traceability to establish the liability of material supporters of terrorism.
See Boim,
⅜ # ⅜ ⅜ *
In short, the plaintiffs have offered sufficient admissible evidence that establishes that Sudan’s material support of al Qaeda proximately caused the 1998 embassy bombings. The district court, therefore, correctly held the plaintiffs met their burden of production under the FSIA terrorism exception. Because Sudan failed to participate in the litigation, it did not rebut that its material support caused these extrajudicial killings. Therefore, this court has jurisdiction to hear claims against Sudan arising from the 1998 embassy bombings.
IY. Timeliness of Certain Claims
The remainder of Sudan’s jurisdictional arguments apply only to certain groups of plaintiffs. Even if we rule for Sudan on all these matters, many of the judgments— and the district court’s 2011 holding on liability-will therefore remain intact.
One such argument is that the claims of certain plaintiffs are barred by the statute of limitation in the FSIA, which Sudan views as a jurisdictional limit on the court’s power to hear a case. Like its predecessor, the current version of the FSIA terrorism exception contains a limitation period on personal injury claims against a state sponsor of terrorism. Application of the limitation period requires analysis of three components of the 2008 NDAA.
The first is the limitation period itself. Codified at § 1605A(b), the FSIA provides that:
An action may be brought or maintained under this section if the action is commenced, or a related action was commenced under section 1605(a)(7) ... or[the Flatow Amendment] not later than the latter of (1) 10 years after April 24, 1996; or (2) 10 years after the date on which the cause of action arose.
The. second component is § 1083(c)(3) of the 2008 NDAA, which defines the contours of a “related action” and imposes an additional time limitation on the filing of related actions:
(3) RELATED ACTIONS.—If an action arising out of an act or incident has’been timely commenced under section 1605(a)(7) ,., or [the Flatow Amendment], any other action arising out of the same act or incident may be brought under section 1605A ... if the action is commenced not later than the latter of 60 days after—(A) the date of the entry of judgment in the original action; or (B) the date of the enactment of this Act.
Finally, in addition to filing a new action or a “related action,” the NDAA offers a second way to avoid the limitation period if the plaintiff had previously brought a claim under § 1605(a)(7). Section 1083(c)(2) of the NDAA provides, in part:
(2) PRIOR ACTIONS.—(A) IN GENERAL.—With respect to any action that—(i) was brought under section 1605(a)(7) of title 28, United States Code, or [the Flatow Amendment] before the date of enactment of this act .., and ... is before the courts in any form ... that action, and any judgment in the action shall, on motion made by plaintiffs ... be given effect as if the action had originally been filed under section 1605A(c).
For these “prior actions” the NDAA removes the “defenses of res judicada, collateral estoppel, and [the] limitations period” if the plaintiff moved to convert his prior action or refiled a new action under § 1605A(c). NDAA § 1083(c)(2)(B). A new claim using § 1083(c)(2) is timely if it complies with the limitation period in § 1605A(b) or was filed within 60 days of enactment of the NDAA. ' Id. § 1083(c)(2)(C).
Each provision comes into play in Sudan’s challenge to the timeliness of the plaintiffs’ actions. In this case, the plaintiffs’ causes of action arose on August 7, 1998, the date of the embassy bombings.
See Vine v. Republic of Iraq,
Sudan does not dispute that several of the plaintiffs .have filed timely actions under § 1605A. The Owens plaintiffs filed their original action under § 1605(a)(7) in October 2001 and after passage of the NDAA timely moved to convert their prior action pursuant to § 1083(c)(2). Days before the statutory deadline, the Amduso and Wamai plaintiffs filed new actions under § 1605A, and the Osongo and Mwila plaintiffs filed suit on the last possible day. Sudan does not challenge the timeliness of these plaintiffs.
The Khaliq, Opati, and Aliganga .plaintiffs are another story. The Khaliq plaintiffs filed a complaint in November 2004 but missed the statutory deadline to convert that prior action under § 1083(c)(2) into a new action under § 1605A.
See Khaliq v. Republic of Sudan,
No. 1:04-cv-01536, at *3 (D.U.C. Sept 9, 2009) (deny
After the court held the evidentiary hearing and made its findings on liability and well past August 2008, the Aliganga plaintiffs moved to intervene in the Owens action, which the district court allowed, holding their claims were “related” to the Owens action per § 1083(c)(3). The Opati plaintiffs joined last, filing a suit “related” to the Owens action under § 1083(c)(3) on July 24, 2012. The court allowed both the Aliganga and Opati plaintiffs the benefit of its earlier findings on liability and jurisdiction.
■ Sudan challenges the timeliness of the Khaliq, Opati, and Aliganga plaintiffs, which raises two issues, only one of which we need to address on appeal. First, Sudan asserts that the limitation period in § 1605A(b) is jurisdictional and therefore bars a court from hearing any untimely action. Unless the limitation period in § 1605A(b) is jurisdictional, Sudan forfeited this affirmative defense by defaulting in the district court.
See Practical Concepts,
811 F.2d at .1547. The plaintiffs argue that the tipie bar, like most statutes of limitation, is not jurisdictional and hence is forfeit.
See Day v. McDonough,
Assuming the limitation period is jurisdictional, Sudan contends the Khaliq, Opati, and Aliganga claims are barred because they are not “related actions” under § 1605A(b). A “related action,” Sudan urges, must be filed by the same plaintiff who had filed an earlier action under § 1605(a)(7), which the Opati and Aliganga plaintiffs did not do. We need not, however, decide what qualifies as a “related action” because we hold the limitation period in § 1605A(b) is not jurisdictional. As a consequence Sudan forfeited its limitation defense by defaulting in the district court.
See Harris v. Sec’y, U.S. Dep’t of Veterans Affairs,
A line of recent Supreme Court cases has defined the circumstances in which a statute of limitation is jurisdictional. These cases uniformly recognize that a limitation period is not jurisdictional “unless it governs a court’s adjudicator capacity, that is, its subject-matter or personal jurisdiction.”
Henderson ex rel. Henderson v. Shinseki,
Of course, the Congress need not incant “magic words” in order clearly to demonstrate its intent.
Henderson,
We begin, as we must, with the text of § 1605A(b), which we note does not appear to “speak in jurisdictional terms”:
An action may be brought or maintained under this section ... if commenced ... [within] 10 years after April 24, 1996; or 10 years after the date on which the cause of action arose.
Nothing in the section refers to the “court’s power” to hear a case. Nothing in § 1605A(a) “conditions its jurisdictional grant on compliance with [the] statute of limitations” in § 1605A(b).
Musacchio,
Sudan nonetheless contends that the reference to “actions” rather than “claims” imbues the provision with jurisdictional import. For this proposition Sudan cites
Spannaus v. U.S. Department of Justice,
This analogy has several problems. First, as the plaintiffs point out,
Spannaus
was decided nearly a decade before the Supreme Court erected the presumрtion against jurisdictional effect,
see Carlisle v. United States,
Further, Sudan’s invocation of the nostrum that identical words in similar statutes demand an identical construction finds little support in the most relevant precedents.
See Wong,
Sudan next argues from the structure of the statute in which § 1605A(b) appears: Because the limitation period follows immediately after the grant of jurisdiction in § 1605A(a), it takes on the jurisdictional nature of the prior provision. Again, precedent suggests otherwise. As the plaintiffs note, the Supreme Court has held the “separation” of a time bar “from jurisdictional provisions” implies the limitation period is not jurisdictional.
Gonzalez v. Thaler,
Sudan also argues the history of § 1605A supports reading the time bar in § 1605A(b) as jurisdictional. Prior to the enactment of the 2008 NDAA, the FSIA terrorism exception under § 1605(a)(7) contained a similar time bar of ten years. See 28 U.S.C. § 1605(f) (2006). Sudan now contends that § 1605 was “undisputedly a purely jurisdictional statute,” rendering both the current and the former limitation periods jurisdictional as well.
This argument mischaracterizes both old § 1605(f) and new § 1605A. The time bar in the former terrorism exception was in a separate subsection of the FSIA, § 1605(f), from the grant of jurisdiction over claims against a state sponsor of terrorism in § 1605(a)(7). Section § 1605 did have several jurisdictional provisions,
see
§§ 1605(a)(l)-(7), (b), (d),- but each one ex
Sudan lastly argues that waivers of sovereign immunity must- be strictly construed.
See Spannaus,
824 F.2d,at 55.
But see Scarborough v. Principi,
In any event, Sudan misses the distinction between a waiver of sovereign immunity and an exception to the statutory grant of foreign sovereign immunity. The Congress “did not waive [a foreign state’s] sovereign immunity in enacting [the FSIA terrorism exception]” because “only the sovereign can forswear the sovereign’s legal rights.”
Simon,
Having reviewed the text, structure, or history of the FSIA terrorism exception, we see “no authority suggesting the Congress intended courts to - read [§ 1605A(b)] any more narrowly than its terms suggest.”
Id,
Sudan’s arguments to the contrary fail. We therefore hold that the limitation period in § 1605A(b) is not jurisdictional. It follows that Sudan has forfeited its affirmative defense to the
Khaliq,. Opati,
and Aliganga actions by' failing to raise it in the district court.
See Musacchio,
136 S.Ct. at
717; Harris,
V. Jurisdiction and Causes of Action for Claims of Third Parties
Sudan next takes aim at claims brought under state and federal law by the family members of those killed or injured in the embassy bombings. First, Sudan contends § 1605A(a) does not grant the court jurisdiction to hear a claim from a plaintiff (or the legal representative of a plaintiff) who was not physically injured by a terrorist attack. Second, even if jurisdiction is prop
A. Jurisdiction
Wé turn first to Sudan’s jurisdictional argument, which we are obliged to address notwithstanding Sudan’s default. The plaintiffs in this case have brought two different types of claim’s under various sources of law. First are the claims of those physically injured by 'the embassy bombings or by the legal representatives of those now deceased or incapacitated. Second are the claims of family members of those physically injured or killed by the bombings who seek damages for their emotional distress. Sudan contends the FSIA extends jurisdiction only to members of the first group and their legal representatives. The claims of family members for emotional distress, it argues, are outside the jurisdiction conferred upon the court.
Sudan’s argument turns upon the meaning of the phrase “the claimant or the victim”- in § 1605A(a)(2)(A)(ii). Section 1605A(a) gives the court jurisdiction and withdraws immunity only when “the claimant or the victim” 'falls within- one of four categories: U.S. nationals, members of the armed forces, and employees or contractors of the United States acting within the scope of their employment. A separate subsection of the terrorism exception provides a federal cause оf action to the same groups of plaintiffs and their legal representatives. 28 U.S.C. § 1605A(c).
Sudan contends that “the claimant” in § 1605A(a)(2)(A)(ii) refers only to the legal representative of a victim of a terrorist attack. This would effectively align- the grant of jurisdiction with the federal cause of action under § 1605A(c). That is, under Sudan’s proffered interpretation, a court would have jurisdiction only over claims brought by persons who could invoke the federal cause of action in § 1605A(c). Applied to the case- at hand, this might preclude jurisdiction over a- claim for emotional distress brought by a relative of someone killed or injured by the embassy bombings because a family member is arguably neither a victim of the attack nor the legal representative of a victim.
Sudan’s argument has several problems. First and foremost, Sudan’s interpretation is inconsistent with the plain meaning and the structure of the statute, as is clear from the differences between the grant of jurisdiction in § 1605A(a) and the cause of action in § 1605A(c). Section 1605A(a)(2) grants jurisdiction when “the claimant or the victim” is a member of one of the four enumerated groups. In contrast, § 1605A(c) authorizes a cause of action.not only for those four groups but also for the legal representative of a member of those groups. If the .Congress had intended § 16Q5A(a)(2) to mirror the scope of § 1605A(c), then it would have used the same term—“legal representative”—in both subsections (i.e., “the legal representative or the victim”), as it did with’ the verbatim enumeration of the four qualifying groups. That it did not signals its intent to give' the term • “claimant” in § 1605A(a)(2) a meaning different from and broader than “the legal representative”'in §
1605A(c): See Russello v. United States,
What, then, does the .FSIA mean by the terms “claimant” and “legal representative”? The plain meaning of claimant, the plaintiffs correctly note, is simply someone who brings a claim for
Sudan nonetheless offers three reasons we should narrowly interpret “claimant” to mean no more than “legal representative.” First, Sudan argues that interpreting “claimant” to mean “legal representative” is necessary to “harmonize[ ]” the scope of jurisdiction under § 1605A(a) with the cause of action under § 1605A(c). If the terms had different meanings, Sudan warns, then “certain plaintiffs [could] establish jurisdiction under § 1605A(a)” but anomalously could not “avail[ ] themselves of the private right of action in § 1605A(c).” Here Sudan is assuming a grant of jurisdiction must be no broader than the causes of action that may be brought under it. But that does not follow.
Cf. FDIC v. Meyer,
Furthermore, even under the prior terrorism exception, the Congress authorized a cause of action—in the Flatow Amendment—with a narrower reach than the grant of jurisdiction in § 1605(a)(7).
See Leibovitch v. Islamic Republic of Iran,
Second, Sudan contends a broad interpretation of “claimant” would “render[] the term ‘victim’ superfluous.” Not so; as the plaintiffs note, the use of both terms affords jurisdiction when “either the claimant or the victim is a national of the United States” or is within one of the other three groups identified in the statute.
La Reunion Aerienne v. Socialist People’s
Third, Sudan argues that reading “claimant” to mean “one who brings a claim” would “greatly expand[] the universe of possible plaintiffs, contrary to Congressional intent.” The term “claimant,” unlike the term “victim,” is indeed less bounded by the underlying acts that give the courts jurisdiction: Only a limited set of individuals could properly be considered victims of the 1998 embassy bombings, whereas the term “claimant” may appear to encompass a larger universe of possible plaintiffs. That universe is actually quite limited, however. The FSIA itself limits claimants to those seeking “money damages” “for personal injury or death,” 28 U.S.C. § 1605A(a)(l).
See La Reunion Aerienne,
Substantive law also limits who is a proper claimant under the FSIA. This is clearly the case with the federal cause of action in the FSIA, which limits claimants to the four enumerated groups and their legal representatives. So too with substantive law outside the FSIA: We have held the common-law tort of IIED limits recovery to the immediate family of a victim who is physically injured or killed.
See Bettis v. Islamic Republic of Iran,
In sum, by its plain text, the FSIA terrorism exception grants a court jurisdiction to hear a claim brought by a third-party claimant who is not the legal representative of a victim physically injured by a terrorist attack. Who in particular may bring a claim against a foreign sovereign is a question of substantive law, wholly separate from the question of our jurisdiction.
B. Causes of Action
Sudan next contends the foreign family members cannot state a claim under any source of substantive law. Starting from first principles, we reiterate that the question whether a statute withdraws sovereign immunity is “analytically distinct” from whether a plaintiff has a cause of action.
See Meyer,
Sudan would have us find an abrogation of a plaintiffs access to state law in § 1606 of the FSIA, which provides in relevant part:
As to any claim for relief with respect to which a foreign state is not entitled to immunity under section 1605 or 1607 of this chapter, the foreign státe shall be liable in the same manner and to the same extent as a private individual under like circumstances; but a foreign state except for an agency or instrumentality thereof shall not be liable for punitive damages.
When the original FSIA terrorism exception was in force, § 1606 governed what a claimant could recover from a foreign sovereign. This was because the original exception was codified as a subsection of § 1605, to which § 1606 expressly applied. After we declined in
Cicippio-Puleo
to infer a federal cause of action against a foreign sovereign arising from § 1605(a)(7) or from the Flatow Amendment, a plaintiff using the old' terrorism exception could press a claim under state law, as qualified by § 1606, in the same manner as any other FSIA plaintiff. When the Congress passed the 2008 NDAA, it repealed old § 1605(a)(7) and codified the current terrorism exception in new § 1605A. As a result, § 1606, which references only § 1605 and § 1607, does not apply to the current FSIA terrorism exception. This, Sudan contends, demonstrates the Congress’s intent to foreclose a plaintiff from relying upon state law when suing under § 1605A. Essentially, Sudan suggests the Congress struck a deal when it recodified the new terrorism, exception in.§ 1605A: A plaintiff could sue under the new federal cause of action but could no longer press a state-law claim against a foreign sovereign via the pass-through process endorsed by Cicippio-Puleo, Therefore, according to Sudan, plaintiffs who are ineligible for the purportedly exclusive remedy of the federal cause of action—including the foreign family members in this case—were left without .a “gateway” to any substantive law under which to state a claim.
Contra Leibovitch,
One might wonder, as the plaintiffs do, why we need to reach this nonjurisdictional argument, which Sudan forfeited by failing to appear in the district court.
See Practical Concepts,
811 F..2d at 1547. We do so because we have discretion to reach the question,
see Aeree,
In our view, Sudan assigns undue significance to § 1606. On its face, that section does not authorize a plaintiff to resort to state (or federal or foreign) law in a suit against a foreign sovereign. Nor does it create a substantive body of law for such an action.
See First Nat’l City Bank,
One might wonder, then, why the Congress moved the FSIA terrorism exception from § 1605, where it was covered by § 1606, to § 1605A, where it is not. Contrary to Sudan’s convoluted argument about an implied withdrawal of remedies under state law, the new exception itself provides a ready answer. If the Congress had reenacted the new terrorism exception in the same section as the old one, then it would have created an irreconcilable conflict between the new federal cause of action, which allows the award of punitive damages, and § 1606, which prohibits them. In order to avoid this conflict, a court would have either to disregard a central element of the federal cause of action or to hold the new exception implicitly repealed § 1606 as applied to state sponsors of terror.
See Morton v. Mancan,
Of course, in most cases brought under the new terrorism exception, the plaintiff need not rely upon state tort law. This does not, however, imply that the Congress intended to foreclose access to state law by those who need it, as do foreign family members, U.S. nationals will continue to sue under § 1605A(c) and benefit from its consistent application. But the pass-through approach remains viable to effectuate the intent of the Congress to secure recoveries for other plaintiffs harmed by a terrorist attack.
C. Intentional Infliction of Emotional Distress
We turn now to Sudan’s third and final argument respecting family members who have brought state-law claims for IIED. The district court held that District of Columbia law controls these actions,
Owens IV,
That case does not extend as far as Sudan contends. In
Pitt,
we noted “[t]he District of Columbia has adopted the standard for intentional infliction of emotional distress from the Restatement (Second) of Torts.”
Id.
(citing
Sere v. Grp. Hospitalization, Inc.,
Where such [extreme and outrageous] conduct is directed at a third person, the actor is subject to liability if he intentionally or recklessly causes severe emotional distress (a) to a member of such person’s immediate family who is present at the time, whether or not such distress results in bodily harm, or (b) to any other person who is present at the time, if such distress results in bodily harm.”
The Restatement, however, also provides that “there may ... be other circumstances under which the actor may be subject to liability for the intentional or reckless infliction of emotional distress.” Restatement (Second) op Torts § 46 (1965) (caveat). A comment to the Restatement expressly applies this caveat to the presence requirement, “leav[ing] open the possibility of situations in which presence at the time may not be required.” Id. cmt. I. 6
Although we did apply the presence requirement in
Pitt,
the factual situation there was quite different than in the present case. The plaintiff in
Pitt
alleged emotional distress from the “filing of a false and misleading affidavit and possible evidence tampering.”
At the same time, we proceed with caution when applying D.C. tort law to this novel situation. The District of Columbia has yet to decide whether it would apply the presence requirement or the exception in the Restatement to an act of international terrorism. Neither has Maryland, the common law of which is authoritative when D.C. law is silent.
Clark v. Route,
In contrast, a terrorist bombing is not so precisely targeted at certain absent individuals. Rather than leveraging distress inflicted upon specific third parties to achieve their aims, terrorist bombings typically target the public at large in order to create a general environment of fear and insecurity. Widespread distress, rather than distress “directed at” or confined to particular persons, provides a considerably weaker basis for IIED liability. Indeed, the Second Restatement would preclude an individual’s recovery for an event causing widespread emotional distress, absent some unique, foreseeable, and intended harm to the plaintiff. Restatement (Second) of Torts § 46 cmt. 1. For this reason too, the drafters of the Third Restatement of Torts have criticized several district court decisions for abandoning the presence requirement in FSIA terrorism cases.
See
Restatement (Third) of Torts: Phys. & Emot. Harm § 46 (2012) reporter’s note cmt. m (criticizing the “questionable determination that the terrorists acts were directed not only to the victims of the attack but also at their family members”). Although we have not decided the matter, we too have expressed skepticism that the sensational nature of a terrorist attack warrants an exception to the limitations of IIED in the Restatement.
See Bettis,
We believe a court may reasonably characterize a terrorist bombing as falling either within the caveat in the Second Restatement or beyond the scope of a sovereign’s liability to third parties. The plaintiffs once again urge us not to reach this nonjurisdictional question forfeited by Sudan’s default, but as with the availability of state law claims, we see sound reasons for exercising our discretion to consider the matter.
See Aeree,
That said, the choice is not ours to make. District of Columbia law controls the scope of IIED liability, and the D.C. Court of Appeals has yet to render a decision on the matter. Therefore, we shall certify the question to that court pursuant to D.C. Code Ann. § 11-723.
This case presents such a question. We are genuinely uncertain whether the D.C. Court of Appeals would apply the presence requirement in the Second Restatement of Torts- to preclude recovery for IIED by family members absent from the scene of a terrorist bombing. Other states have reached different conclusions on this question.
See Peterson,
Furthermore, the question is one of significant public interest in the District of Columbia.
See Eli Lilly & Co. v. Home Ins. Co.,
We therefore certify the following question to the D.C. Court of Appeals:
Must a claimant alleging emotional distress arising from a terrorist attack that killed or injured a family member have been present at the scene of the attack in order to state a claim for intentional infliction of emotional distress?
VI. Punitive Damages
Having affirmed that the district court properly asserted jurisdiction over the plaintiffs’ claims and held Sudan liable for their injuries, we now review the amount in damages it awarded to the plaintiffs. The court awarded $10.2 billion in damages,- including more than $4.3 billion in punitive damages under both state and federal law.
See, e.g., Opati,
Sudan’s renewed request to vacate these awards-is now before us both on appeal from the denial of Sudan?s Rule 60(b). motions and on direct appeal from the final judgments. Sudan principally contends the FSIA terrorism exception does not retroactively authorize the imposition of punitive damages against a sovereign for conduct occurring before the passage of § 1605A. As explained below, we agree. But before reaching the merits, we first explain why we are addressing the- matter despite Sudan’s default in the district court.
A. Whether to Review the Awards of Punitive Damages
The plaintiffs contend, and the district court agreed, we need not consider Sudan’s argument against the awards of punitive damages because it forfeited this
First, Supreme Court precedent generally favors more searching appellate review of punitive damages than of other nonjurisdictional matters.
See Pac. Mut. Life Ins. v. Haslip,
In order to avoid possible constitutional infirmities, other Circuits too have reviewed denials of Rule 60(b)(6) motions to vacate punitive damages awarded in default judgments.
See Watkins v. Lundell,
B. Retroactivity of Punitive Damages Under § 1605A(c)
In challenging the punitive damage awards, Sudan raises the “presumption against retroactive legislation” explicated in
Landgraf v. USI Film Products,
An analysis of retroactivity entails two steps. First, the court must determine “whether Congress has expressly prescribed the statute’s proper reach.”
Id.
at 280,
1. Section 1605A operates retroactively
As for the latter point, it is obvious that the imposition of punitive damages under the new federal cause of action in § 1605A(c) operates retrоactively because it increases Sudan’s liability for past conduct. Under § 1605(a)(7), the predecessor to the current terrorism exception, and the pass-through approach recognized in Cicippio-Puleo, § 1606 expressly barred courts from awarding punitive damages against a foreign sovereign. The 2008 NDAA plainly applies the new cause of action in § 1605A(c) to the pre-enactment conduct of a foreign sovereign. Further, recall that, pursuant to NDAA § 1088(c), a plaintiff may convert a pending, prior action under § 1605(a)(7) into a new action under § 1605A(e) or file a new suit arising from the same act or incident as an action “related” to an original suit timely filed under § 1605(a)(7). In both cases, the new actions under § 1605A(c) necessarily are based upon the sovereign defendant’s conduct before enactment of § 1605A.
The plaintiffs dispute this, relying upon
Republic of Austria v. Altmann,
Unlike the grant of jurisdiction held retroactive in
Altmann,
the authorization of punitive damages “adheres to the cause of action” under § 1605A(c), making it “essentially substantive” and thereby triggering retroactive operation.
Id.
at 695 n.15,
Having failed to distinguish the FSIA terrorism exception from the Supreme Court’s core concerns in
Landgraf,
the plaintiffs advance a policy argument transplanted from
Altmann.
There the Court explained the “aim of the presumption [against retroactivity] is to avoid unnecessary
post hoc
changes to legal rules on which parties relied in shaping their primary conduct.”
This principle applies equally to state sponsors of terrorism. As the' Supreme Court has said, “[e]ven when the conduct in question is morally reprehensible or illegal, a degree of unfairness is inherent whenever the law imposes additional burdens based on conduct that occurred in the past.”
Id.
at 282 n.35,
2, Clear statement of retroactive effect
Having concluded that § 1605A(c) operates retroactively, the next question is whether the Congress has made a clear statement authorizing punitive damages for past conduct. We will find that authorization only if the statute is “so clear that it could sustain only one interpretation.”
See Lindh v. Murphy,
As a starting point, we look for a clear statement in § 1605A(c), which provides that a designated state sponsor of terrorism:
shall be liable ... for personal injury or death caused by acts described in subsection (a) (1) of that foreign state, or of an official, employee, or agent of that foreign state, for which the courts of the United States may maintain jurisdiction under this section for money damages. In any such action, damages may include economic damages, solatium, pain and suffering* and punitive damages. In any such action, a foreign state shall be vicariously liable for the acts of its officials, employees, or agents.
On its face, nothing in the text of § 1605A(c) speaks to whether punitive damages are available under the federal cause of action for pre-enactment conduct. Nor does precedent provide support for retroactivity. Although Altmann held the grant of jurisdiction in § 1605(a) applies retroactively (despite lack of a clear statement to that effect), the authorization of punitive damages under the current terrorism exception lies in the cause of action under § 1605A(c), not in the grant of jurisdiction under § 1605A(a).
The plaintiffs contend that § 1083(c) of the 2008 NDAA, when combined with the authorization
oí
punitive damages in § 1605A(c), provides a clear statement of retroactive effect. As we have seen,
supra
part IV, both a converted prior action un
This argument takes one too many a logical leap. Yes, by allowing a plaintiff to convert an action brought under § 1605(a)(7), § 1083(c)(2) clearly authorizes the federal cause of action to apply retroactively. This, however, does not mean that § 1083(c) authorizes the punitive damages in § 1605A(c) to apply retroactively as well.
Cf. Roeder v. Islamic Republic of Iran,
There being no clear textual command, the plaintiffs urge that the purpose of § 1083(c) supplies the necessary clear statement of congressional intent. An argument based solely upon the purpose of a statute can hardly supply a “clear statement” of any sort.
See Bowen v.
Georgetown
Univ. Hosp.,
C. Retroactivity of Punitive Damages Under State Law
The same principle applies to the awards of punitive damages to plaintiffs proceeding under state law. Sudan makes two arguments against the availability .of punitive damages for them. Sudаn first contends that § 1605A(c) provides the sole source for - seeking punitive damages against á foreign sovereign. Sudan rests this view upon § 1606 of the FSIA, which precludes punitive damages against a'sovereign defendant. As we have recognized,
supra
p. 808, § 1606, by its terms, applies only to claims brought under § 1606 and § 1607 of the FSIA.
Owens V,
If this were the end of the analysis, however, a puzzling outcome would arise from our holding that punitive damages
As it happens, the retroactive authorization of punitive damages under state law fails for the same reason it does under the federal cause of action: The authorization of § 1605A, read together with § 1606, lacks a clear statement of retroactive effect. Without the
Landgraf
presumption, the enactment of § 1605A would have lifted the restriction on punitive damages in § 1606 from state law claims. If the express authorization of punitive damages under § 1605A(c) lacks a clear statement of retroactive effect, then the implicit, backdoor lifting of the prohibition against punitive damages in § 1606 for state law claims fares no better.
Cf. Landgraf,
VII. Vacatur Under Rule 60(b)
Finally, Sudan argues the district court abused its discretion in denying its motions to vacate the default judgments, invoking three sections of the Rule 60(b): the judgments are void for lack of subject matter jurisdiction per § (b)(4); default was due to “excusable neglect” per § (b)(1); and relief may be justified for “any other reason” per § (b)(6). The first jurisdictional ground is nondiscretionary,
Bell Helicopter,
We review the district court’s decision to deny vacatur on the other two grounds for abuse of discretion.
Gonzalez,
Sudan, as “the party seeking to invoke Rule 60(b),” bears “the burden of establishing that its prerequisites are satisfied.” Id. at 5 (internal alterations and quotation marks removed). As we have said before, “no principle of sovereign immunity law upsets the parties’ respective burdens under Rule 60(b); nor do oft cited ephemeral principles of fairness” demand a different result for a foreign sovereign than for a private litigant. Id. In order to secure vacatur, therefore, Sudan must shоw the district court, in denying its motion for relief, relied upon an incorrect understanding of the law or a clearly erroneous fact. Sudan has not met this burden.
A. Excusable Neglect Under Rule 60(b)(1)
We begin with Sudan’s claim of excusable neglect, which the district court addressed in detail. In evaluating a claim of excusable neglect, a court makes an equitable determination based upon “the danger of prejudice to the [non-moving party], the length of the delay and its potential impact on judicial proceedings, the reason for the delay, including whether it was within the reasonable control of the movant, and whether the movant acted in good faith.”
Pioneer Inv. Servs. Co. v. Brunswick Assocs.,
In its motion, Sudan submitted a three-page declaration from Maowia Khalid, the Ambassador of Sudan to the United States, explaining its failure to participate in much of the litigation. First, the Ambassador asserted Sudan’s ongoing domestic problems, including natural disasters and civil war, rendered it unable to appear. Khalid Deck ¶ 4. Second, the Ambassador said a “fundamental lack of understanding in Sudan about the litigation process in the United States” accounted its prolonged absence from the litigation.
Id.
¶ 5. The district court soundly rejected both reasons. On Sudan’s domestic troubles, the district court noted that “[s]ome of that turmoil ... has been of the Sudanese government’s own making,” but, regardless of blame, Sudan could not excuse at least six years of nonparticipation without sending a single communication to the court.
Owens V,
' Although the district court, in denying Sudan’s Rule 60(b) motion, addressed all the elements of “excusable neglect” mentioned in
Pioneer,
on appeal Sudan challenges only the “reason for the delay” and the “length of the delay.” The district court’s unchallenged finding that “vacatur would pose a real risk of prejudice to the plaintiffs,”
Owens V,
Preliminarily, Sudan also contends the district court “ignored” the “policy favoring vacatur under Rule 60(b)” as it applies to a foreign sovereign. Sudan then claims error in the district court purportedly blaming Sudan for the circumstances that
On the first point, Sudan correctly notes that precedent in this Circuit supports a liberal application of Rüle 60(b)(1) to default judgments:
See Jackson v. Beech,
For these reasons, the U.S. Government on many occasions has submitted an ami-cus brief urging vacatur of a default judgment against a foreign sovereign.
See, e.g., id.; FG Hemisphere,
Absent an expressed governmental concern with the liability of a foreign sovereign, the general policy favoring vacatur, by itself, cannot control the resolution of Sudan’s Rule 60(b) motion. After all, the FSIA expressly authorizes default judgments against absent' sovereigns.
See
28 U.S.C. § 1608(e). If policy considerations alone made vacatur of judgments against foreign sovereigns under Rule 60(b) near-automatic, then the general policy favoring vacatur would render the specific authorization of default judgments in the FSIA a nullity. A district court would abuse its discretion if it were simply to apply the general policy, as Sudan asks us to do now, without considering the specific facts at hand.
See FG Hemisphere,
Sudan’s own actions place it well outside the general policy favoring vacatur. In the cases it cites, relief was justified because the defendant had no notice of the default and promptly responded once made aware of the judgment.
See Bridoux v. E. Air Lines,
Furthermore, this is not the first time Sudan has sought to vacate its default or default judgment. In May 2003 the district court entered a default against Sudan for failure to appear. Ten months later, Sudan secured counsel and moved for vacatur under Rule 55(c), which the court granted based upon the very “presumption against an entry of' default ‘ judgment against a foreign state” that Sudan claims the court ignored in 2016.
Owens I,
Beyond relying upon the general policy in favor of vacatur, Sudan challenges the reasoning behind the district court’s decision. In particular, Sudan faults the district court for holding it responsible for its domestic troubles, contending a court may not consider “the question of blame” in analyzing excusable neglect. Sudan is twice wrong. Not only have courts consistently recognized that a defendant’s “culpable conduct” may justify denying it relief under Rule 60(b)(1),
see Mfrs.
’
Indus. Relations Ass’n v. E. Akron Casting Co.,
Domestic turmoil would surely have justified requests by Sudan for extensions of time in which to respond to the plaintiffs’ filings. It would have also probably led the Court to forgive late filings. And perhaps it would have even justified a blanket stay of these cases. But Sudan was not merely a haphazard, inconsistent, or sluggish litigant during the years in question—it was a complete and utter nonlitigant. Sudan never sought additional time or to pause any of these cases in light of troubles at home. Sudan never even advised the Court of those troubles at the time they were allegedly preventing Sudan’s participation—not through formal filings, and not through any letters or other mode of communication with the Court. The idea that the relevant Sudanese officials could not find the opportunity over a period of years to send so much as a single letter or email communicating Sudan’s desire but inability to participate in these cases is, quite literally, incredible.
Owens V,
Sudan also objects to the district court’s discussion of its unresponsiveness, arguing the court demonstrated “a lack of appreciation of the operational realities of a least developed nation in turmoil.” But the one conclusory paragraph in the three-page declaration of its Ambassador to the United States that Sudan cites as evidence for this proposition does not show it was incapable of maintaining any communication with the district court. Indeed, Sudan participated in the litigation during its civil war and while negotiating a peace treaty bringing that war to a close. See UNMIS Background, United Nations Mission in the Sudan, http://www.un.org/en/ peacekeeping/missions/past/unmis/ background.shtml (last visited July 19, 2017). This shows Sudan could participate in legal proceedings despite difficult domestic circumstances. Without record evidence supporting Sudan’s complete inability to participate, the district court did not abuse its discretion in holding Sudan failed to carry its burden of proving excusable neglect.
As a final argument under Rule 60(b)(1), Sudan faults the district court’s comparison of this case to
FG Hemisphere.
In
FG Hemisphere
we vacated a default judgment against the Democratic Republic of Congo (DRC) rendered under the FSIA exception for commercial activity, § 1605(a)(2).
Unlike the DRC in
FG Hemisphere,
Sudan had notice of the litigation from the time it was first sued. The district court’s 2011 opinion on liability was translated into Arabic, Sudan’s national language, and delivered through diplomatic channels. Sudan cannot, and does not, complain about defects in notice or service of process.
See Owens V,
Nor can Sudan claim to be surprised by the suits, as was the defendant in FG Hemisphere. Sudan actively participated in the litigation from February 2004 until January 2005. Even after disengaging from the ease, Sudan contacted its counsel for a status update in September 2008. If Sudan indeed needed to divert “all [its] meager legal and diplomatic personnel” to the “cession of south Sudan,” as its Ambassador now suggests, then it could have communicated this affirmative decision to the court, along with a request to stay the proceedings. In light of this history, it was not unreasonable for the district court to demand something more than a conclusory assertion without virtually any record evidence of Sudan’s inability to participate in the litigation.
B, Extraordinary Circumstances Under Rule 60(b)(6)
Sudan also challenges the district court’s denial of its motion under Rule 60(b)(6), claiming its failure to appear was justified by “extraordinary circumstances.” 11 Because Rule 60(b)(1) contains a one-year filing deadline for claims of “excusable neglect,” which Sudan missed with respect to the Mwila and Khaliq judgments, Sudan’s Rule 60(b)(6) motions are the only way it may obtain vacatur of those default judgments.
Perhaps recognizing this, Sudan rephrased its earlier arguments asserting “excusable neglect” as requests for relief from those default judgments under Rule 60(b)(6). As with the other cases, the declaration of Ambassador Khalid figures, prominently in Sudan’s
Mwila
and
Khaliq
motions. This gets Sudan nowhere. In order
The district court acknowledged this- distinction and denied Sudan’s motion under Rule 60(b)(6) as merely a “rehash of Sudan’s Rule 60(b)(1) argument for excusable neglect,”
Owens V,
Undeterred, Sudan now argues
Ungar
demands vacatur when there would be “political ramifications[ ] and, [a] potential effect on international relations” from a default judgment, as Sudan claims there would be in this case.
Ungar,
⅜ ⅜ ⅜* ⅜ ⅜
To conclude, we (1) affirm the district court’s findings of jurisdiction with,respect to all plaintiffs and all claims; (2) affirm the district court’s denial of vacatur; (3) vacate all awards of punitive damages; and (4) certify a question of state law—-whether a plaintiff must be present at the scene of a terrorist bombing in order to recover for IIED—to the District of Columbia Court of Appeals.
So ordered.
Notes
. As we discuss infra, the Khaliq plaintiffs later asserted claims under § 1605A.
. See, e.g., Salazar v. Islamic Republic of Iran,
. Sudan did put some evidence into the record before absenting itself from the litigation. For its 2004 motion to dismiss, Sudan obtained statements disputing its support for the 1998 embassy bombings from Timothy Carney, the U.S. Ambassador to Sudan from 1995 to 1997, and from John Cloonan, a FBI Special Agent charged with building the conspiracy case against Bin Laden during the 1990s. The plaintiffs moved for leave to depose Carney and Cloonan, but the FBI and the Department of State successfully opposed the motion, arguing the request did not comply with each agency’s so-called Touhy regulations for obtaining permission to solicit testimony from former government officials, see 22 C.F.R. §§ 172.1-172.9;'28 C.F.R. §§ 16.21-16.29. The agencies also noted that Sudan had not properly sought approval to take the declarations,
Sudan then ceased participating in the litigation, Although Sudan does not now contend the declarations were admissible,
see Owens V,
. In a supplemental filing, Sudan compares these reports to excerpts on an Israeli governmental website in
Gilmore
that we excluded as inadmissible hearsay outside the exception for public records. But
Gilmore
turned upon the plaintiffs’ failure to establish a foundation for admissibility; they "rested on a bare, one-sentence assertion that the web pages were ■ admissible under Rule 803(8)” and gave no “further explication of how the pages conveyed ‘factual findings from a legally authorized investigation.’ ”
. Sudan also objects to the admission of the recorded testimony of Jamal al Fadl at the Bin Laden criminal trial, contending it is inadmissible hearsay. We agree to the extent that al Fadl’s prior testimony is not admissible as "former testimony” under the hearsay ■ exception in Rule 804(b)(l) because it was not “offered against a party who had ... an opportunity and similar motive to develop it by” cross-examination in the prior criminal- case.
The district court held, and the plaintiffs argue on appeal, that Sudan's inability to cross-examine al Fadl was irrelevant in a non-adversarial evidentiary hearing. After all, they note, courts have admitted sworn affidavits in § 1608(e) hearings in previous FSIA cases.
Owens V,
. Several district courts have applied this exception to claims for emotional distress under the federal cause of action in the new FSIA terrorism exception.
See, e.g., Estate of Heiser v. Islamic Republic of Iran, 659
F.Supp.2d 20, 26-27 (D.D.C. 2009) (“All acts of terrorism are by their very definition extreme and outrageous and intended to cause the highest degree of emotional distress, literally, terror, in their targeted audience”) (quoting
Stethem v. Islamic Republic of Iran,
. These circumstances distinguish the review of retroactive punitive damages from the review of Sudan’s forfeited limitations defense.
See Musacchio,
. The circumstances of this case also distinguish it from
Bankers Life & Casualty Co. v. Crenshaw,
.
See Owens TV,
. In a supplemental filing, Sudan points to our recent decision in
Gilmore,
in which we
. In addition, Sudan moves to vacate the judgments in favor of foreign family members and the awards of punitive damages under Rule 60(b)(6), claiming the district court's errors of law on these questions also provide "extraordinary circumstances" supporting va-catur. We have addressed these nonjurisdic-tional matters separately in the preceding sections. Although a "dispute over the proper interpretation of a statute,” by itself, does not likely justify relief under Rule 60(b)(6),
Carter v. Watkins,
