Lead Opinion
Defendants-appellants (collectively, “defendants”) Felipe Ramirez-Ferrer (“Ramirez-Ferrer”), Jorge L. Suárez-Maya (“Suárez-Maya”) and Raúl Troche-Matos (“Troche-Matos”) appeal to this court their convictions on drug and firearm charges. A panel of this court: 1) affirmed the convictions of all defendants for possession of cocaine with intent to distribute; 2) affirmed the convictions of Suárez-Maya and Ramirez-Ferrer for using a firearm in relation to a drug trafficking offense, but reversed the conviction of Troche-Matos on a similar charge; and 3) reversed the convictions of all defendants for importation of narcotics into the United States. Thereafter, the full court reheard the case en banc. The en banc court now reverses the convictions of all defendants for importation of narcotics into the United States and remands the firearm convictions for further consideration in light of an intervening Supreme Court decision.
I. BACKGROUND
The evidence, taken in the light most favorable to the government, United States v. Abreu,
Prior to 1989, the boundaries of the United States extended three miles offshore. United States v. Williams,
After verifying that the boat in question was indeed away from its mooring, the United States Customs Service (USCS) and POPR flew to Mona Island on a USCS helicopter. The authorities located the subject boat and Suárez-Maya, accompanied by three other men as described. At approximately 12:30 p.m. the next day, the authorities learned that the boat was leaving Mona Island. The boat was interdicted about one mile off the southwest coast of Puerto Rico.
After the boat was seized, it was found to be carrying about 16 kilograms of cocaine. A subsequent inventory search of the boat turned up a firearm. The seized firearm, a loaded revolver, was found covered by a T-shirt, behind a storage compartment near the location where Ramirez-Ferrer had been seated at the time of the interdiction. The search also revealed evidence linking the vessel to a relative of Suárez-Maya.
On March 31, 1993, a grand jury indicted defendants, charging all three in each of three separate counts. The indictment charged each with possessing approximately 16 kilograms of cocaine with intent to distribute (count 1), 21 U.S.C. § 841(a)(1) (1994); with importing such cocaine into the United States (count 2), id. § 952(a) (1994); and with possessing and carrying a firearm in relation to a drug trafficking crime (count 3), 18 U.S.C. § 924(c)(1) (1994). A superseding indictment corrected the description of the seized firearm in count 3. .
On September 28, 1993, a jury convicted all three defendants on each count. On counts 1 and 2,. relating to possession and importation of cocaine, Suárez-Maya was sentenced to life imprisonment, Ramirez-Ferrer to a term of 240 months, and Troche-Matos to a term of 120 months. The sentences of Suárez-Maya and Ramirez-Ferrer were enhanced under 21 U.S.C. §§ 841(b) and 960(b) on account of prior drug crimes. On count 3, the gun count, each appellant was sentenced to a mandatory minimum term of 60 months to be served consecutively, as required by the statute.
In a decision released April 27, 1995, United States v. Ramirez-Ferrer,
II. THE POSSESSION CHARGE AND THE FIREARM CHARGE
On the possession charge under count 1, the panel concluded that the evidence was sufficient to show that the defendants knowingly possessed the drugs or aided and abetted their possession. Among other evidence, the testimony permitted the jury to conclude that the drugs were stored in a bag with a broken zipper and that the drugs were plainly visible from outside the bag, easily seen by anyone on the 20-foot boat. The en banc court did not request further argument on this issue.
On the firearm charge, the story is more complicated. Section 924(c)(1) is di
The panel had more difficulty with the question of whether a reasonable jury could find that each of the defendants knew that the gun was present; unlike the drugs, the gun was not in plain view. The panel upheld the conviction of Ramirez-Ferrer, since the revolver was located behind a compartment adjacent to his seat and served an obvious purpose to protect the cocaine. The panel also upheld the conviction of Suárez-Maya, who was the central figure in the drug venture and the captain of the boat. As to Troche-Matos, the court ruled that a reasonable jury could not infer that he knew of the weapon.
In their petitions for rehearing on this issue, Suárez-Maya and . Ramirez-Ferrer drew our attention to United States v. Torres-Maldonado,
Although the en banc court agreed to rehear the case as a whole, sufficiency of the evidence is not normally a question for en banc consideration unless a mistaken legal standard has been used. Any possible tension between the panel opinion and the decision in Torres-Maldonado stems from their appraisals of their own respective facts. But given the kaleidoscope of different facts presented in drug and gun eases and the varying compositions of panels in the court, the en banc court was, and remains, of the view that differences in weighing evidence are inevitable in cases of this kind even within a single circuit. Nothing will produce perfect harmony among outcomes unless the court chooses to hear every drug and gun ease en banc, a course that is neither practical nor useful. Therefore, we conclude that the full court should not seek to decide en banc whether the evidence against each appellant in this case was or was not sufficient on the gun charge. As a result, the en banc court declines to review the adequacy of the evidence on either count 1 or count 3.
This does not end the matter. While the en banc opinion was being prepared, the Supreme Court decided Bailey. There, the Supreme Court determined that a conviction for firearm “use” under section 924(c)(1) required “evidence sufficient to show an active employment of the firearm by the defendant, a use that makes the firearm an operative factor in relation to the predicate offense.” Bailey, — U.S. at —,
Although the Supreme Court has rejected the fortress theory of “use” under which defendants were convicted, the issue of their firearm convictions remains unresolved. Section 924(e)(1) imposes a prison term upon a person who “dining and in relation to any ... drug trafficking crime ... uses or carries a firearm.” 18 U.S.C. § 924(c)(1) (em
In light of Bailey, then, we decline to decide en banc defendants’ firearm convictions, and instead require further consideration of count 3 under section 924(c)(1). We think that these problems should be addressed in proceedings before the panel rather than the en banc court.
III. THE IMPORTATION COUNTS
In accord with the panel’s decision, the en banc court has concluded that the importation statute, 21 U.S.C. § 952, does not embrace defendants’ conduct in transporting 16 kilograms of cocaine from Mona Island, Puerto Rico, to approximately one mile offshore of the main island of Puerto Rico, notwithstanding the fact that the contraband traversed international waters during the journey. The court concludes that this interpretation accords with both the wording of the statute and general principles of statutory construction. Furthermore, absent either pertinent legislative history or precedent, the en banc court likewise concludes that the historical application and the potential future application of the statute by the government weigh in favor of this interpretation.
A. Statutory Language
The defendants were convicted under 21 U.S.C. § 952(a) for importing drugs into the United States. In relevant part, § 952(a) provides that
it shall be unlawful ... to import into the United States from any place outside thereof, any controlled substance.
The defendants contend that they did not violate this statute because they did not bring the drugs at issue into the United States from a “place outside thereof.” To the contrary, they argue that the evidence in the record only establishes that they brought the drugs from one location within the jurisdiction of the United States (i.e., Mona Island) to another (i.e., the waters off Puerto Rico’s main island). The government, on the other hand, claims that, because the drugs passed through international waters on their way from Mona Island, the drugs were brought into the United States from a “place outside thereof’ (i.e., international waters). Essentially, the government argues that the quoted language of section 952(a) establishes a kind of transparent curtain around the jurisdictional boundaries of the United States, arid proscribes any deliberate shipment of drugs through that curtain without regard to the “place” from which the shipment actually originated.
In Price Waterhouse v. Hopkins,
We should, first of all, leave no doubt as to what this case is not about. We are not faced with a factual situation in which a defendant leaves United States domestic territory empty-handed, proceeds to international waters or to a foreign territory to acquire contraband there, and then returns to domestic territory with this contraband (for example, when a vessel leaves the United States, sails out to sea where it obtains drugs from a “mother ship” anchored in international waters, and then returns to the United States). In that hypothetical situation, the government might have a somewhat more convincing argument that international waters can be deemed the “place” from which the controlled substance is being imported into the United States.
“The starting point in statutory interpretation is ‘the language [of the statute] itself.’” United States v. James,
[i]t shall be unlawful [1] to import into the customs territory of the United States from any place outside thereof (but within the United States), or [2] to import into the United States from any place outside thereof, any controlled substance.
21 U.S.C. § 952(a). The court concludes that, given a proper interpretation of 21 U.S.C. § 952(a), transport from one part of the United States to another does not rise to the level of importation simply by involving travel through international waters.
The definition of “import” (“any bringing in”) appearing in section 951 does not implicate the origin of a shipment of drugs. Thus, the government argues that the statute does
In addition to its failure to comport with the normal understanding of the word “place,” the government’s interpretation of clause 2 cannot be reconciled with any reasonable reading of clause 1. Clauses 1 and 2 were enacted simultaneously in 1970. If the phrase in clause 2 — “place outside thereof’ refers to the location of the drugs immediately before they pass through the “transparent curtain” into U.S. territory, it must be given the same connotation in clause 1 absent an indication that Congress intended otherwise. See Atlantic Cleaners v. United States,
“A statute ought, upon the whole, to be so construed that, if it can be prevented, no clause, sentence, or word shall be superfluous, void or insignificant.”
First, clause 1 proscribes the importation of illegal drugs into the customs territory of the United States from a place outside the customs territory of the United States, but within the United States. The “customs territory of the United States” is defined as “the States, the District of Columbia, and Puerto Rico.” See Harmonized Tariff Schedule of the United States, n. 2. Thus, clause 1 proscribes importation from any other U.S. territory not within the customs territory (e.g., U.S. Virgin Islands, Guam) into “the States, the District of Columbia, and Puerto Rico.”
That Congress specifically addressed this situation suggests that it believed that the language of clause 2 did not necessarily cover such conduct. The government’s broad reading of clause 2, however, brings any conduct conceivably addressed under clause 1 within the coverage of clause 2. In other words, any contraband shipped from a place inside the United States (but not within the customs territory — e.g., the U.S. Virgin Islands) would first pass through international waters before it entered into the customs territory of the United States. Thus, the conduct aimed at under clause 1 would be proscribed by the government’s interpretation of clause 2. Hence, the government’s reading of clause 2 renders clause 1 completely superfluous.
' Second, the government’s broad reading of clause 2 would make it arguably impossible to prosecute anyone under clause 1. Under the government’s reading, the phrase “any place outside thereof’ essentially means the point at which the drugs were located immediately before passing into the United States (i.e., the international space just outside the jurisdictional limit of the United States). If one applies this reading to the same phrase in clause 1, it is impossible to violate clause 1. In other words, there is no “place” just outside of the jurisdictional limits of the customs territory of the United States, that is also within the United States. Any place that is just outside the customs territory of the United States is international waters. Thus, arguably no individual could ever violate clause 1 because no one could ship from a place within the United States (but outside the customs territory) directly into the customs territory of the United States: the individual would always be directly shipping from international waters. If a prosecutor attempted to charge a defendant under clause 1 for shipping drugs from the U.S. Virgin Islands to Florida (conduct clearly meant to be proscribed by clause 1), the defendant could argue that he or she did not violate the clause because the “place” from which the drugs were imported was not the U.S. Virgin Islands but the international space just outside of Florida. Although the prosecutor could argue that the “place” referred to by the statute included both the international space and the U.S. Virgin Islands, such a reading would be hard to
Third, and perhaps most convincing, a close analysis of clause 1 reveals that Congress contemplated whether or not illegal drugs shipped from one part of the United States through international waters and back into the United States should be prohibited under 21 U.S.C. § 952. Specifically, clause 1 evinces Congress’ intent to proscribe such conduct in the certain instances in which drugs are imported into the customs territory of the United States from a point in the United States but outside the customs territory. Clearly, Congress could have gone further and proscribed any shipment of drugs originating inside the United States that passed through international waters and entered back into the United States, but it did not. By explicitly limiting the statute to the conduct proscribed by clause 1, it is fair to infer that Congress did not intend to proscribe the additional conduct at issue in this ease. The reason for this is clear. In enacting § 952, Congress was attacking classic eases of importation, meaning international importation, not domestic transportation, of drugs.
Thus, unlike the government’s reading, the interpretation adopted by the en banc court both accords with the plain language of the statute and gives meaning to section 952 as a whole act. However, even if such were not the case, the confusion that is patent even from the government’s discussion of the statute brings into play the rule of lenity, and requires us to give defendants the benefit of the doubt on this issue. Ratzlaf v. United States,
B. Congressional Intent
On the specific point at issue, there is no legislative history. Nonetheless, the dissent claims that Congress did not “care one whit whether the drugs were brought from international waters [or international airspace
C. The “Precedents”
As discussed, the interpretation urged by the government leads to unreasonable results. Turning to precedent, we see that the case law does not support the outcome proposed by the government. The government views precedent as carrying special weight in formulating its interpretation of § 952(a). This is obviously a principle which we generally agree with, as far as it goes. However, the “precedent” on which the government relies, with one exception, is inapposite.
The language cited from United States v. Peabody,
In United States v. Phillips,
In United States v. Doyal,
Reliance on the language used by our Circuit in United States v. Nueva,
We thus come to United States v. Pérez,
Thus, the “precedent” cited amounts to bald assertions without analysis.
D. Historical Application of the Statute
Actions speak louder than words. In this case this old adage is not simply poetic expression, for the interpretation of 21 U.S.C. § 952(a) promoted by the government is most certainly at odds with the government’s past enforcement practices under this statute throughout its long life.
It is difficult to accept that Congress intended the government’s reading of § 952(a), considering that this reading of the statute has somehow lain lifeless for 25 years until given breath in this case by the prosecution. The government would have us believe that throughout the life of this statute, which has been on the books in practically the same form since 1970, in every direct flight, commercial or private, between, say, the Mainland and Puerto Rico, or the Mainland and Hawaii or Alaska, or vice versa, or even between Miami and New York, or Nantucket, Massachusetts and Boston, etc., all of whom at some point (or, in fact, throughout most of their passage) fly within international airspace before returning to domestic territory, the occupants have always been subject to being charged under this hitherto overlooked definition of “importation.” The government’s novelty seems all the more striking in this Circuit, where notwithstanding the hundreds (perhaps thousands) of such daily flights, the government has somehow throughout these many years never pressed such a theory of importation. Is this attributable to prosecutorial benevolence or incompetence? Certainly not. What we have is the tacit recognition that such acts could not reasonably be considered “importation” within § 952(a). “Whatever other statutes defendants may have violated, they did not violate this one.” Maravilla,
We have a similar situation with waterborne traffic. There are literally thousands of vessels of all sizes and with all kinds of purposes that daily pass through international waters as they move between domestic areas which, without picking up contraband in international waters or visiting foreign jurisdictions, would be subject to this expanded interpretation of § 952(a). Not only is there the obvious marine traffic between the Mainland and its outlying domestic areas (Hawaii, Alaska, Puerto Rico, U.S. Virgin Islands, etc.), and the considerable coastwise traffic in the Atlantic, Pacific, Gulf and Great Lakes waters which as a matter of course continuously exits and reenters international waters. There are also hundreds of thousands of commercial fishermen, as well as those who fish for sport, who on a daily basis leave domestic waters, enter international waters, and return to domestic waters, again without acquiring contraband in international waters or entering foreign jurisdictions, who would be subject to the contested interpretation of § 952(a). However, contrary to the government’s assertions at oral argument, it does not stop here. For example, a passenger on a commercial whale-watching vessel who left Provincetown, Massachusetts, went thirteen miles offshore into international waters to watch these behemoths, and then reentered domestic waters would be subject to a charge of importation if he or she had drugs when he or she originally left Prov-incetown. A maritime worker traveling to and from an oil rig on international waters in the Gulf of Mexico off Louisiana, or on George’s Bank off New England, would be equally exposed. A sailboat tacking up the coast would engage in an act of “importation” every time it reentered domestic territory, if it had contraband aboard when it tacked out of domestic territory. The height of absurdity,
As if the above scenarios were not ludicrous enough, at oral argument, the government also informed us that in the above situations, since international borders were crossed, border crossing rules are applicable, with all of the consequent diminished Fourth Amendment implications such circumstances bring into play. See United States v. Ramsey,
Furthermore, the undeniable fact is that section 952(a) has not been used at all in the fashion now promoted by the prosecution. On this point, there should be no need to engage in speculation regarding whether or not there are other uncited or unreported prosecutions demonstrative of the government’s view of § 952(a). At oral argument, the government was specifically asked to produce evidence of such a prosecution. Nevertheless, the government has failed to cite even one case in this circuit, at any level, reported or otherwise, in which a defendant was even charged, much less convicted, in the manner now claimed, nor has our own search revealed the existence of such a case.
Considering the possibility that the government may not have prosecuted “small quantities” of drugs transported over international space from a prior United States connection as importation under § 952(a), but that similarly transported large amounts have been considered violations of that provision, we conducted our own search of reported cases. The inquiry revealed that such a distinction simply does not exist. See, e.g., United States v. Marcel,
Nor is the possibility of such forbearance by the government from prosecuting such cases in the future very reassuring. Cf. Donovan v. United States, — U.S. —,
The government also claims that the interpretation set forth here would inordinately burden prosecutors by adding to their burden the obligation of identifying and proving the point of origin of drugs in smuggling operations. However, when a drug-laden ship coming from an unknown point of origin is shown to have traversed international waters and brought drugs into the United States, a jury could presume, without more, that importation from a place outside the United States has occurred — although the precise place from which the drugs emanated is not established. Cf. Turner v. United States,
CONCLUSION
We affirm defendants’ convictions on the possession counts. We also remand the issues surrounding the firearms convictions to the original panel for further proceedings in light of this opinion.
This en banc decision determines, as a matter of statutory interpretation, that the importation statute does not apply to the shipment in this case from one part of the United States and its customs territory (Mona Island, Puerto Rico) to another (the main island of Puerto Rico). We thus reverse the importation convictions of all three defendants.
Accordingly, the judgment of the district court is affirmed in part, remanded in part, and reversed in part.
Notes
. The only evidence in the record is that defendants picked up the cocaine at Mona Island. Mona Island is not just geographically part of the Puerto Rico Archipelago, which includes the Islands of Puerto Rico, Culebra, Vieques, Dese-cheo, Caja de Muertos, Mona and Monito, as well as various other minor islets and keys. Mona Island is also politically part of the Senatorial District of Mayaguez and of the Municipality of Cabo Rojo within that district. P.R. Const, art. VIII, § 1, IV. Thus, in effect, the defendants transported the drugs in question between two points within the same municipality within Puer-to Rico, the equivalent of within two places within Suffolk County in Massachusetts.
. The indictment mistakenly charged the defendants with "having possessed] and carrfied] the firearm." There is no claim that the variance was prejudicial error.
. We agree with the dissent that both the day hiker who strays into Canadian territory and then crosses back into the U.S., and the tourist returning from British territory, see dissent at 1147, would violate section 952 if they carry contraband drugs, because they obviously would be entering U.S. territory from a "place outside thereof.”
. The government treats defendants' trip across the international waters between Mona Island and Puerto Rico's main island as being the same as if defendants had carried drugs from Mona Island into another sovereign nation and then back into Puerto Rico. Doubtless the latter would constitute an importation. International waters, however, are not anything like a sovereign nation. Waters twelve miles beyond Mona Island and the main island of Puerto Rico are “international’' in the sense that the vessels of other nations have a right of free navigation through them. See 54 Fed.Reg. 777 (1988) (Proclamation 5928, entitled "Territorial Sea of the United States of America”) (citing the 1982 United Nations Convention on the Law of the Sea (to which the U.S. is a signatory, but which the U.S. had not ratified as of January 1996)). For 200 miles, however, they are subject to exclusive United States fishing and mineral rights. See 1982 United Nations Convention on the Law of the Sea, Articles 5, 57, 76(1); Burke, The New International Law of Fisheries 1 (1994) (describing this regime as customary international law). See also 43 U.S.C. § 1332 (Congressional declaration of policy regarding the outer Continental Shelf). After a United States vessel has gone beyond the twelve-mile-limit into "international” waters, it is not expected to clear United States customs when it reenters United States territory, as would be required had the vessel entered a foreign country during the voyage. Coastal and fishing vessels and private yachts commonly navigate interchangeably in international and domestic waters when making local trips, paying little attention to where the one ends and the other begins, and with no thought that they are making some kind of reentry into the United States upon their return to domestic waters.
. Moreover, even if we did accept it, we think this thesis actually cuts against the government’s reading of the statute. In other words, if Congress had doubts that the existing statute did not proscribe shipment of drugs from a non-customs territory into customs territory, it must have had, a fortiori, even greater uncertainty that the statute proscribed shipments from customs territory to customs territory (the conduct at issue in this case). But it is clear, that by enacting clause 1, Congress did not proscribe such activity.
. Although we are charged by our dissenting colleagues with the commission of major mayhem to the canons of statutory construction, this claim may very well be a case of whose ox is gored. See Karl N. Llewellyn, Remarks on the Theory of Appellate Decision and the Rules or Canons About How Statutes Are to Be Construed, 3 Vand.L.Rev. 395 (1950). It is interesting to
. One could quibble here because national territorial waters extend farther than state territorial waters off any one state's coast. Thus, it is possible to argue that an individual could violate clause 1 by importing from the national waters (arguably, outside the customs territory, but inside the United States) into the state waters. However, the point fails to undercut our analysis in any significant way. In other words, even if "states” in the definition of customs territory extends only to the state jurisdictional waters (a point which we do not necessarily concede), it seems unlikely that in enacting clause 1, Congress was aiming only at drugs shipped from one state out into national waters and back into that or another state (as everything else that would violate clause 1 would fall within the government's broad interpretation of clause 2). Moreover, such a reading would be inconsistent with the general usage of the term "customs territory” in the Harmonized Tariff Schedule.
. Cf. Llewellyn, 3 Vand.L.Rev. at 401 (concluding that courts should adopt statutory interpretations that accord with "[t]he good sense of the situation” and that represent "a simple construction of the available language to achieve that sense, by a tenable means, out of the statutory language ” (emphasis in original)).
.We agree with the dissent's concessions to the effect that "[i]t is far from clear whether a scheduled non-stop airline flight between two U.S. points could ever be treated as importation under the main clause [of section 952],” and that “a defendant would certainly argue that for all practical purposes, drugs on such a flight are never outside the country.” See dissent at 1146. This contention purportedly refutes our superfluousness argument, yet leaves unexplained the disappearance of the "transparent curtain” which Congress envisioned “around the boundaries of the United States,” the penetration of which, bearing drugs, “is the crime [of importation].” We fail to see how a principled distinction can be made between such an incursion into international airspace, and the present case involving travel between "two U.S. points." The dissent’s "yes if by water, no if by air” formula for installing its transparent curtain appears to respond to no statutory purpose identified by the dissent.
. A difference is that in the present case the two places are within the same jurisdiction, in fact the same municipality. See footnote 1.
. This is despite precedent such as United States v. Carrión,
. See In re Trans Alaska Pipeline Rate Cases,
. Indeed, the Fourth Amendment issues here may be more troubling than in the land border cases, given the relative lack of notice upon entering the United States by water versus by land, since land borders are often marked.
. These real possibilities are not merely lurking Fourth Amendment problems to be resolved in future cases. Although obviously they are not at issue in this case, particularly in view of the Government's assertions at oral argument, they fall within the realm of consequences that will follow from the government’s proposed interpretation of section 952(a), and are valid factors to be considered in determining whether Congress in enacting that statute intended the result espoused by the government. Needless to say, the mere possibility is extremely worrisome as nothing of this sort has ever occurred in the Nation’s history.
Dissenting Opinion
with whom SELYA and LYNCH, Circuit Judges, join, dissenting.
Dr. Johnson once remarked that a man may have a reason why 2 plus 2 equals 5 but it will still equal but 4. The majority has an endless supply of reasons why the statute
The evidence showed that the defendants collected 16 kilograms of cocaine hidden on Mona Island, an island under the jurisdiction of Puerto Rico but physically separated from mainland Puerto Rico by about 39 miles of water. Assuming a 12-mile limit for U.S. territorial waters, at least 15 miles of international waters separate Mona Island from mainland Puerto Rico. Any ship traveling between Mona Island and mainland Puerto Rico is unquestionably outside the United States for a good portion of the trip.
In this case, the origin of the cocaine is unknown; but the ship’s captain reported that it was part of a larger cache hidden on Mona Island. In all likelihood, Mona Island is a transshipment point. Being subject to less surveillance than mainland Puerto Rico, drugs can be brought to Mona Island in bulk from foreign origins and then smuggled in smaller quantities to the Puerto Rico mainland and then to the continental United States. In all events, the defendants were arrested after their small boat crossed from international waters into U.S. waters surrounding Puerto Rico.
The defendants were convicted of various offenses including violation of 21 U.S.C. § 952(a) which prohibits the importation of specified drugs into the United States. Neither at trial nor on appeal did the defendants argue that their conduct fell outside section 952; but at oral argument, the parties were directed by the original panel to brief the statutory issue. Subsequently, the panel by a 2-to-l vote held that section 952 did not reach the defendants’ conduct.
The panel majority’s decision conflicted with a host of decisions in the Fifth, Ninth and Eleventh Circuits. Not surprisingly, the full court voted to rehear the case en banc. What is surprising is that, by a 4r-to-3 vote, the en banc court has now concluded that section 952 does not apply to the defendants’ conduct in bringing 16 kilograms of cocaine from international waters to mainland Puerto Rico. This result is wrong, and it does not take a treatise to show why.
1. “The starting point in statutory interpretation is ‘the language [of the statute] itself.’” United States v. James,
In this case, the defendants brought prohibited drugs from international waters between Mona Island and mainland Puerto Rico to within a mile or so of the mainland coastline, a point that is unquestionably within the United States. The drugs were, therefore, brought or introduced “into the United States” from “any place outside thereof,” namely, international waters — unless “any place” has to be a land area or unless “import” has a specialized meaning excluding drugs first acquired within the United States.
The phrase “any place outside thereof’ assuredly includes international waters. See, United States v. Goggin,
The majority does not deny that international waters may be a “place” under the statute: it assumes that drugs acquired from a mother ship at sea might be imported under the statute; but it says that in this case defendants first acquired the drugs
As for the term “import,” absent a statutory definition the common connotation of foreign-country origin might prevail. But courts are bound, Colautti v. Franklin,
In a further language argument, the majority suggests that its reading of section 952 is supported by a comparison of subsection (a)’s two clauses. The main clause, barring imports “into the United States,” is the core provision whose substance can be traced back to 1909. The other clause — added in a 1970 recodification of drug laws — covers imports into U.S. customs territory (the states, the District of Columbia and Puerto Rico) from any U.S. possession. The majority contends that, on the government’s reading of the main clause, the customs territory clause is superfluous and has no independent effect.
The origin and purpose of the customs territory clause are remarkably obscure (it appeared only in certain House bills and was nowhere explained). But it is fair to think that smuggling from some U.S. possessions to the states had become a problem and Congress therefore included language that would unquestionably cover such shipments. At the time Congress had no knowledge of precisely how the main clause would be read, and it certainly had no interest in narrowing the scope of the main clause by implication.
In any event, the customs clause is neither superfluous nor without substantial independent application. It is far from clear whether carrying drugs aboard a scheduled nonstop airline flight between two U.S. points could ever be treated as importation under the main clause; a defendant would certainly argue that for all practical purposes, drugs on such a flight are never outside the country. Yet such a flight from a U.S. possession to U.S. customs territory, say from Guam to Los Angeles or from the U.S. Virgin Islands to San Juan, could readily be prosecuted under the customs territory clause. That geographic content to the customs clause eliminates the majority’s superfluousness argument.
It is not the government’s position, but that of the majority, that ruptures the superfluousness canon. Under the special definition of import in section 951(b), Congress envisaged a kind of transparent curtain around the boundaries of the United States, and bringing drugs through that curtain is the crime. The majority has effectively repealed and rendered meaningless Congress’ specialized definition, replacing it with a vernacular definition of import that requires no statutory definition at all.
2. The precedents from other circuits, reflecting a previously uniform application of the statute, all treat the introduction of drugs from international waters or international airspace as a violation of the import statute.
Had their cargo or contraband originated in, say, Texas, that would not alter the fact that it was meant to reenter the United States from international waters. That is enough.
Moreover, as the quote from Peabody shows, the circuits treat the U.S. origin of the drugs as no defense if the drugs are removed from the United States and then reintroduced. Similarly, in United States v. Doyal,
Cases like Peabody and Doyal also underline a major fallacy in the majority’s opinion, namely, the majority’s assumption that a drug shipment can only come from one “place.” It is evident that the defendants in this ease possessed the drugs both on Mona Island and, thereafter, in international waters. But it was from international waters that the defendants finally “[brought] in or introduc[ed] ... such articles into” the United States, 21 U.S.C. § 951(b); and reimpor-tation is not a defense to drug smuggling.
The present decision actually contradicts precedent in a fourth circuit as well: In United States v. Nueva,
The majority’s answer to all of these cases is that the decisions of other circuits are ill-reasoned, or that their plain language — adverse to the dissent — was unnecessary, or both. But none of the many different judges who participated in these decisions apparently thought the statute should be read as the majority reads it. As of today, a major criminal statute means one thing in the 15 states of the Fifth, Ninth and Eleventh Circuits; and it means something eccentrically different in four Northeastern states and Puerto Rico.
This parade of appellate cases from other circuits is surely only a sample of similar prosecutions and convictions; there must certainly be others where, as here, the defendants were convicted for importing drugs from international waters and then did not choose to dispute the import charge on appeal. By themselves, the authorities from three circuits refute the majority’s claim that the government’s reading of the statute is newly minted or at odds with enforcement practices. The only novelty in this case is the majority’s decision.
3. A final test of statutory meaning is the underlying purpose of the statute. Borella v. Borden Co.,
It was irrelevant to Congress’ purpose whether the drugs were originally produced within the United States, as might matter under a tariff statute designed to protect U.S. markets from foreign competition and to favor local producers. In enacting section 952, Congress was using the border crossing as a convenient jurisdictional hook on which to catch traffickers. See Peabody,
In smuggling operations a boat arriving from international waters, or a small plane from international airspace, often comes from an unknown point of origin. If one added to the government’s burden of proof the obligation to show the point of origin, time would be spent by courts and parties on an issue wholly irrelevant to Congress’ concern to exclude drugs. In many cases, the government would win; in some it might lose. Such proof serves no purpose except to waste time, squander law enforcement and judicial resources, and cause occasional erratic acquittals of drug importers.
To suggest that Congress could not have intended the statute to apply, the majority summons up visions of federal agents arresting day sailors or airline passengers transiting from one U.S. point to another with a few joints of marijuana on board. But such dubious results are not avoided by distorting the statute: a day hiker with a few joints who strayed over the border to Canada and then back again or a tourist with a few joints returning from London by plane would be importing by any definition.
More to the point, there is no record of prosecutorial abuse of section 952. Indeed, the majority twists this fact into a claim that the government’s interpretation must therefore be a radical change in position, but the majority has confused two different points. The government has not abused the statute by applying it to trivial amounts for personal use; but it has applied it to major drug shipments arriving from international waters or international air space. As the precedents show, it has been upheld in every reported case.
The courts are capable of warding off unjust results, if and when they arise. E.g., United States v. Aversa,
To conclude: The majority opinion is not short of “reasons” for its result; after many pages of argument, one emerges half-dazed from the labyrinth of explanations. But nothing the majority says can overcome a single phrase in the statute — section 951(b)’s definition of “import” as “any bringing in or introduction” of drugs into the United States. That is what the defendants did in this case, and that is why their convictions under section 952 should be affirmed.
. See United States v. Peabody,
. 1969 Public Papers of the Presidents of the United States 513 (Presidential message); Hearings on Legislation to Regulate Controlled Dangerous Substances and Amend Narcotics and Drug
Concurrence Opinion
concurring.
I agree that the importation convictions must be vacated, as ably explained in Section III.A of Chief Judge Torruella’s opinion for the en banc court. I write separately because I believe that neither the majority opinion nor the dissent succeeds in demonstrating that the opposing result is absurd. Whichever result Congress clearly chose to require could not have been rejected by the courts as absurd. Moreover, in my view the interpretation given section 952 by the en banc court reflects greater allegiance to the ordinary meaning of the statutory language Congress did use.
