US International Law
Enforcement Cooperation:
A Case Study in Thailand
Jonathan
W. Leeds*
Chaninat & Leeds Co., Ltd., Thailand
Attorneys
Sovereignty and the
Effects Doctrine
The
basic problem encountered in international law enforcement efforts is
the principle of national Sovereignty, which operates as a barrier to
a foreign nation asserting jurisdiction outside of its borders. The principle
of Sovereignty can be summarized as the government’s exclusive power within
its own borders, and virtually nowhere else; and it is this doctrine that
presents the greatest obstacle to the international enforcement of criminal
law. According to the principle of sovereignty , the effective jurisdiction
of a state law enforcement powers extends no farther than its own borders.26
The
primary basis for criminal jurisdiction involving bilateral treaties between
states is the territorial principle which allows for jurisdiction over
persons or things within a state’s territory or conduct outside the territory
which has substantial effects on it (The latter variant is known as “objective
territorial jurisdiction”, or the “effects” doctrine). Although a state
may claim extraterritorial effect for its criminal laws, it does not have
the power to enforce those laws outside its borders.27 Therefore the principle of Sovereignty requires that transnational law
enforcement efforts be carried out through the aid of bilateral agreements.28
There
are two principle bilateral treaties between the United States and Thailand
controlling the role of law enforcement and the cooperation of law enforcement
between the two countries. The Treaty on Mutual Assistance on Criminal
Matters was signed in Bangkok on March 19, 1986, and went into force on
June 10, 1993.29 The second treaty is
the extradition treaty.30 In addition
to the above, Thailand and the United states have also entered into a
Memorandum of Understanding on Cooperation in the Narcotics Field.31
Gathering
evidence in foreign jurisdictions has proved to provide a number of obstacles
primarily due to differences in law enforcement systems.32 In furtherance of their goals, the United States uses a number of techniques
to facilitate the collection and admissibility of evidence from abroad.
One of the primary techniques used is the Mutual Legal Assistance Agreement
(MLAT).
Prior
to the use of MLAT’s, the United States had to rely on the process of
Letters Rogatory for obtaining of evidence from abroad. However this process
was considered time consuming and cumbersome.33 When the United States first began considering the use of MLAT’s, they
looked to Western Europe, where most evidentiary requests are governed
by the European Convention on Mutual Assistance ion Criminal Matters.34 The first US MLAT was negotiated with Switzerland in 1973, prompted by
concerns that organized criminals were exploiting Swiss secrecy laws to
hide illegally obtained assets.35
The
Thai-US MLAT, signed on March 19, 1986, and entering into force on June
10, 199336, attempts to provide a flexible
framework to allow joint law enforcement, and evidence and witness transferal
between the two nations. Pursuant to the treaty, each contracting State
has an obligation to provide assistance in: a) taking statements and testimony,
b) providing documents, records, or evidence, c) serving documents, d)
executing requests for search and seizures, e) transferring persons in
custody for testimonial purposes, f) locating persons, initiating proceedings
upon request, and g) assisting in forfeiture proceedings.37 Thus the treaty provides the framework for one government to effectively
make use of the other’s police forces in carrying out its objectives.
In contradistinction to the Thai-US Extradition treaty, the MLAT has no
requirement of dual criminality, i.e., assistance, pursuant to the treaty,
shall be provided whether or not the acts which are the subject of the investigation are prohibited by the law of the requested State.
The Thai-US. Extradition
Treaty
In
the United States, extradition38 capabilities
rely primarily upon bilateral treaties and make little use of international
treaties.39 Some authorities assert that
the United States is the world leader in the negotiation of bilateral
law enforcement treaties. There are many reasons for this, the most obvious
of which is that the United States, unlike many other common law and civil
law countries, lacks domestic legislation authorizing extradition in the
absence of a treaty.40
One
of the greatest frustrations to the United States efforts to prosecute
violators of its laws living abroad has been the refusal of most governments
to extradite their own citizens. There are two views on the question of
extradition of one’s own nationals, one representing the approach of common
law nations, and the other reflecting the attitude of civil law states.
This situation has sometimes resulted in the US taking unilateral action
to abduct fugitives from a foreign country.41 The common law nations, emphasizing the strict territoriality of the crime
freely extradite their nationals42, while
the civil law states, emphasizing a citizen’s right to be protected in
his homeland, and the exigencies of trial before a foreign court steadfastly
deny extradition.43
Thailand,
in general accord with its civil law heritage, is reluctant to extradite
its nationals. The applicable legislation, in the absence of a treaty,
reserves the right of the Thai government to refuse extradition, based
on its duty to protect its citizens, concerns regarding a fair hearing,
abroad, humanitarian concerns, and issues of sovereignty.44
The
United States has devoted increasing energy to the re-negotiation of outdated
extradition treaties.45 Thailand’s original
extradition treaty with the United States dates back to December 30,1922.
The current extradition treaty between the United States and Thailand
was signed on December 14,1983, and entered into force on May 17,1991.46
The
US-Thai treaty allows for non-extradition of a requested state’s own nationals
in certain exceptional cases, such as political and military offenses,47 and also provides that a state may refuse to extradite a person for an
offense which was committed in whole or in part within its territory.
The Treaty does however include a vicarious prosecution clause that requires
the State that refuses extradition to proceed against that person according
to its own laws.48
Part
3
Footnote
26)
Research in International law under Auspices of the Faculty of the Harvard
Law School, Jurisdiction with Respect to Crime, 29 AM. J. INT’L L 435
(Supp. 1935); see also Zagaris & Rosenthal, United States Jurisdictional
Considerations in International Criminal Law, 15 CAL.W. INT’L L.J. 303,
305-310 (1985).
27) Nadelmann, supra note 1, at 41.
28) Id. at 41
29) Treaty on Mutual Assistance in Criminal Matters, March
19, 1986, US-Thail., Hein’s No. KAV 1941, (entered into force on June
10, 1993).
30) Extradition Treaty, December 14, 1983, US-Thail.,
Hein’s KAV 1940, (entered into force May 17, 1991).
31) Memorandum of Understanding on Cooperation in the
Narcotics Field, US-Thail., September 28, 1971, T.I.A.S. 7185 (entered
into force September 28, 1971).
32) Nadelmann, supra note 1, at 57
33) See Jones, International Judicial Assistance:
Procedural Chaos and a Program for Reform, 62 Yale L.J. 515, 554 (1953).
34) European Convention on Mutual assistance in Criminal
Matters, Apr. 20, 1959, Europ. T.S. No. 30; see also Additional Protocol
to the European Convention on Mutual Assistance in Criminal Matters, Mar
17, 1978, Europ. T.S. No. 99.
35) Treaty on Mutual Assistance in Criminal Matters, May
25, 1973, United States-Switzerland 27 U.S.T. 2019, T.I.A.S. No . 8302
For an analysis of the treaty negotiation process, see Nadelmann, Negotiations
in Criminal Law Assistance Treaties, 33 AM. J. COMP. L. 467, 470-81
(1985) ; see also Ellis & Pisani, The Unite States Treaties
on Mutual Assistance in Criminal Matters, in 2 INTERNATIONAL CRIMINAL
LAW; PROCEDURE 151 (M. Bassiouni ed. 1986).
36) Extradition Treaty, US-Thai supra note 29.
37) Treaty between the Government of the Kingdom of Thailand
and the Government of the United States of America on Mutual Assistance
in Criminal Matters, supra, Note 28, arts. 1, 2
38) The classic definition of extradition is found in
Terlinden v. Ames, 184 US 270, 289 (1902): Extradition may be sufficiently
defined to be the surrender by one nation to another of an individual
accused or convicted of an offence outside of its own territory, and within
the territorial jurisdiction of the other, which being competent to try
and punish him, demands the surrender. See also Ortega v. Kansas City,
Kan., 875 F.2d 1497, 199-1500 (10th Cir. 1989)
39) Nadlemann, supra Note 1 at 65
40) Id. at 65
41) Pursuant to the Ker-Frisbie rule, under certain circumstances,
the United states may abduct fugitives from a foreign country without
first obtaining the foreign state’s consent. See Ker v. Illinois, 119
US 436, 7 S.Ct 225, 30 L.Ed. 421 (1886); Frisbie v. Collins, 342 US 519,
72 S.Ct. 509, 96 L.Ed. 541 (1952) However, if the United States has an
extradition treaty with the foreign country, it is necessary either to
obtain the foreign state’s cooperation or consent prior to apprehension,
or for the foreign state not to protest the apprehension. See United States
v. Verdugo-Urquidez, 939 F.2d 1341 (9th Cir. 1991).
42) SHEARER, EXTRADITION IN INTERNATIONAL LAW 42
at 102(1971).
43) Id. at 118
44) Prarachabanyat song poo rai kam dan (The Statute Concerning
Extradition in the Thai Kingdom (B.E. 2472) arts 2.3-2.5, states that:
“If there is no treaty or bilateral convention or contract, Thailand is
not bound to extradite its citizens to a requesting country based on the
following considerations:
2.2.
A nation has a duty to protect its citizens, and look after their well-being,
and extradition may violate that duty;
2.3.
There is concern that the extradited Thai national may not receive a fair
hearing, particularly if the requesting country is an enemy of Thailand,
or there is a political dispute between Thailand and that country.
2.4.
Extradition of one’s own nationals violates the principle that citizens
have a right to live in their own country, and may indirectly amount to
banishment from one’s own homeland
2.5
The extradition of one’s own nationals is an affront too the sovereignty
of the nation. “
45) Evans, The New Extradition Treaties of the
United States, 59 AM. J. INT’L. L. 351, 352 (1965)
46) Extradition Treaty, US -Thail. supra Note 29.
47) Extradition Treaty US-Thai supra note 29 at
art. 3.
48) Id. at art. 4 |