•

•

..... a:I"'a.y, Uctober2~, 1989

the ntcnllhll money In aebtor l, l,e01.l01 reluhed rrom deb,.

or '1 uccumulAtion of "rulI ("ad' tlUI, no prcl)Cny o( Ihe debtor wu 1""010.·.4. thll instoad 1'" (undl were thOM of debtor" employ •• ·• [.Iel. held in tnat rOt p.ymcnt to tho

1291

statements or IIny summarjol ,hereof to the coun, nor did tl loycrnmcnC claim thlt the at."lTlmtt dCmOft.lUllt'd I t oomm.nllllli of trUII (undl,

United St.t .. , •• lIl thll I '.clull qu .. tlon UltII lila whOlher .i· ne c:u. i, on .... he" theIOyer.m •• 1 failed 10 prod"," II propcny of Ihe dlblar wu Inn,rured. and Ir 10. 10 ",h.1 1 • eyidcnee lhil Ih. Icneral llCcounl on tile d.l. of ,.izure COl UllnL.· nl, nllemen' ..... un,uPpOned by "'nher lepJ , illed of .ny amOunll of money collected •• d ... ilbheld frol 'raumenl otl.ppOnlnl document,: consaqu.nlly It did noth. .mployee ".101. In. f.ct, the IOvommenl in lea plead in. inlla canlroven Ihe IN""', IlMnlo. Ihlt praptny or Ihe .dmllled Iwl •• thaI II ' .... d Ihe propcny or lb. debtor. :ler.tnt hid ~CCI'1 'CIl~cJ by the ,ovC'rnment. Sit f tlJt Nil: '! Balik oIAr;.ollo Y. C;!;" St"'CI Co .. 391 U.S. 253 , 290, 88 S. Ct. Il1l, "93.20 L. Ed.ld l69 (1 961): Feel. Il. Ci • . p. !6(.'.

RuleI6(e) oflhe Fed.,.1 Ruin ofCI.il Proccdure proyldea Ihal .umm.ry julllllll.1 ",ball ba rendmel fonbwltb if Ih. pleQd ln... do_Ilion,. • .. ,.... 10 inl.rroillorln, and .dmi •• lanIOft ftle, loaether with Ih. Imdavlt l, if any, lila .. :hlllho .. 11 no lCIIuine juue 1110 any mllarial 'QCI and Ihal the mo~in. patty ia cntill.a to jud,mar" u a maner of law.1I

Funhcrmo", "(1Jr lho p.ny movinl fer summary judameDI mccll ill inili.1 hUrGen of Id.ntifyinl (or Iha eaun Iho pOl' t/en. of the matertAls Oft fil. Ihlt It btU •• ct dCmOftilTlI. ,h. IbICnce or Iny acnulno I .. u, o( mal.nil faCl, Ihe nanmovinl piny mlY nOI rely on Ih. me .. allcption, in Iho pludin, in oreler to proetude ,umml"! jud,men1.· T. W. t:1~lrl<ol $." ,I" y. I'Q(/.fIe £1«:lrle41 ConlNlors AJIOCl4llon, 109 F.ld 626. ~)O (9th Clr. 1911t, Fed. R. CJy. P. 16(.),

A' .lho mO'linl peny, Ih. 'MlII .. hoel Ih' burden of ~n)vinl cld! el.menl of. uctlon H 1(b) pllfercoli.l lranafer. A, we hay •• "udy nOIed, lh' oDly .lcmlllllbal it dllpultd i, ... h'lher propeny of Ihl 4obloc wu lral\l(emd. tit .. Ih, lrull" p .... nled In .mdl.11 Ihll Ill. IIIndJ .. Iud w.re in , cOlllni,rcial bu,I.,.. locounl Ihll did DOl coolaln any INII .... Ia. nl, WI, 1II1ftc1,01 10 lIIln lhe bllrdla 10 Ihl 10 ...... menl 10 IlllbUlII an Iau, o( fIcI U 10 wI\cU", IheM IIInd' could properl, be ehlrocllrlud U INII ....... S#t Q/ot", Corf/ . •. COI"" • • 71 U.s. 317, 323, 106 So CL 1'.1, l"3. 91 L Ed.leI 265 (1916): NOll, TIl, MOWlIIJ'J Bu""~ J~ .M«/ •• ItIf'Swllllftlll""Jlldlf""nl.1 9I1UlaII L. RIY.1JI, 7l4-lS. nil . Ih • . lIDvernmenl f.iled 10 do. In III oppoainl tnOlIIOranelunI Ih'lOYlmmenl m, .. ly alloaed, willi no,pecifte fUta.lhlllbe aocounl contai.ed INII IIInde. It did nOI .u ... 11101 lbe .«'Qunl contained eamminllad .... " or Ihlt Incinl eould ullbli,h thIIIN"""" O'er; wlzed, Ind II mode no e'on 10 rebul Ih. lru""', ,taim lilolih ... llu,. "'"' mad. on a "'" 0,.1 bUlln ... aceounl.

CONCLUSION

I E,ch tlemenl of. ,.,(bl .yo.~.blt pre'."n," u, "II"b­Iithc:d, n.llO¥,mmenl (ailed to ",abll1hlhe'oaJI"nc:c or In j"u. Or IllllIril1 flCl, Ind ,umml,,! iudl",."t W", property ""nLCd In f.vor of Ihe IrwIN.

AI'I"IRMEO.

PERC; USO~I, Citc\llt J .~e, co""ur.'Ina:

I concur in Ju~. 8runtlti', opinion. bUI .dd In Iddilion.1 oesc" .. lon.

TIll delinqulnl Ilia (0' which Ih. I •• y Ind seizure ... " ""d .... ,. (or Ib, (ounlt quaner 011919. ",.lIInd, "Ized by Ihe IRS ill til. (ounn qUlner or 1980 ...... f'undJ In 1 IInfrat eomlDan:t.! ac=unl 0' Ih. dotIto,. "'In WIt no .videnoe p,e .. nled 10 allow Iftll 1111 wllhhald III tundJ WIre evlt kepI .n 'hi 'CCOUDI, AllhOuen Ihe IID.lm",en, WII IIImllheei cop. I". ollh. lilt ......... of Ih. _nl, h did not p .... nl Ih. t • _ .

ne 10vctn",.nl "'OJ 10lharlie In proseculion of Iho lilis' lion Ind, ., • ,cauh. lOll.

U <:::. /to 4)

CIVIL PROCEDURE District Couri M~II ErJorce Clabna OflranAgQiMAmericall Company

ella u n Oall7JOlll'llai O.A,R.lall?

UNITED STATES COURT OF APPEALS FOR TilE NINTH CIRCUIT

MIHonMvor DIPt!Hn n, TIll I ..... "e ttl.Llauc 0' Ia..N,

PI.tntI§oApPfllnl Crou-ApP'//a.l.

•• OOUlD IN('., CoulD M.lklTtNCI, INC., HOfIPW.N E)I'CIIIT CO.''OMnON, Ind ClouLD INTD"AfK.l"",L, INC'"

f)~rInHnl"A~~1I4."1 Cro'Nfp~lItft.

NOI. ,1-1119,

''''11' D.C. No.

17.036l-RO-GX OPINION

Appo&J from lhe U oillel Sllla Oillriel COlIn (or Ih. Cenlral DimlCl 0( C.llfore"

H.lellord A. O.iboia, J,,, OillriClIQ., ...... Idln •

""Iued .nd Subm ltled Ffbl'\lat'J' 9, 1919- 'III4onl, ~lIromil

Filed Oeloher 23, 191'

B.r.,., WUllam C. C •• by, J • . , ClI.ri .. Wlulm Ind DI.rmuid 1'. O'Sca.n~in, Circuli Jud ...

Opl. ion by JUdie O·!" ... lain

COUNSH.

~m ~. PIIIY, lelIA, 0." R .. vi. 4: PGIIIt, Wuhlnllon" O.C .. (0' IhI dlreadaalloappellanUlCftIIHppcllMa.

Rlcllatcl !oW. 8rak1t101d, Lonl Bucb, ~Ula"lil, (or Ihe : plllalltr.lppeIIecICftIIHppcllaal.

I Abrah.M O. Sof .... lApl Ad.l .. r 10 Unhed Sla.a Dlpln' l meal at SII", WlllllnllOD, D.C. ftled a brief fot Ilia Unilld 5101" al Allllcu, Curi ...

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12918 D:dhJ Avprll. ,t.· n"p"'1 Wedn8lday, October 2.5. l~

OPINION

O'SCANNLAIN, Cirtult Jud,e:

We. are Asked to determ ine whether In IWlrd allinst In AlNncan corporalion .n .. red ~y Iho Iran-United Sll'es C1.lms Trlbunll can be ,nforted In rcderal <O"rt. Th< dill';.' ccl.U1 ruled that s\.!b)cct mauor JurudtctlOn to en(orce Juch Iwud vet'.! under the New York Connntlon Ind the Federul Arbilrallon A<I. W. Ilfle.

A cleat vndanlandin. o( Ihia diapulC requl ... samo .umi· nllion 01 recenl lraniln and Am.ncan hillory. ne (ormer Shah or Iran, Mohamm ... Rna Plhllyi, ruled Iho Impenal Re""bllc oflran (rora 1953. wilen h. Ilium'" control o( lile ",,,,mmCIII, unl il Ihonly blrore hia dealh In 1979. UnAII d".lopld and InICnai6ccl ill lnan durl.1 11II SlIIh'l rule. Led bycon .. ,.lIiv. MOII.m prot"1I, Ih. unral .venlu.U, beaan 10 ItIlp! 1ft Iho lall 1970.. In .. ,po ... , Ibl Shih in 1971 declared mln iallaw in IWIlvo ~ltl" lJId MI up. milil.,y lIlY' Immonl 10 dul wilh .Irikin, aU · worke ... nl_n .. , he appolnled Prime Mlnisler 5hallpur SIkh II., to hcad a 'eaen,y ,ounel! and I.n Ihe <ounl'7, nev~r 10 murn, on Ilnll' IlY 16. 1979.

Melnwhlll, ,,11,d relilinUI IClder AylloUalI Ruholllh KlIomelnl n.mod I provilion.1 ..,.ernmenl couneil; h. mumed 10 Irln IIIonl, lne, Ih. Shah'. d.ptnutl. On F,bru· ary II, len tIIln lwo WC1:1ta aller hll Mum, Khomoilli'.,upo pone,. rouled IhI Imperial GUlrd. brinalnl aboul Ih. colilPM o( lIakhllar's .... mm.nl. 1010"'11.1 Imcrpd ,Ielo­nOlI. I. lite "Null 10 ftilin the muil.nl power VI.uum, .. Iha Mo.l.m cI'fI)' o.e,..w Ihe draRlnl or an Iallmic Conili. tullon lbal ... Icd 6nal .uthorily 10 rule I. the ",,,allah Ind Cltablllllod Ih. 1.lami. Republio or Il1In.

R&mplCl 1.Inf.SI in Iran continued, Ind Oft Nonmbft 41 1979, 1rani.n mililanu Nlud Ihl Ualled Stilet !nIbuay In Tehran and look al hOI, .. n mcmbln o( 1111 Unltld Stala diplolllllig gorpo SllIloned 1111 ... TIlt hotll" IUcB .owed 10 relaln conllOl or,h. hAY'lwo Unlled Shiia IIIl10naliaDd III, .mllluy until til. depowd Sh.h .... reNtIIld to IraD. The Unllocl Sllln rel.lilled wilh I Mrlos o( IClIoIIL Fint, on No •• mber 14, Pmid.nl CUler issued an 1!ucuti.t Order

Th. O.n.ral Oc.I.,llIon .CI (o"h I .... DrineiDles I tncompus lhe butt thrust .".If lhe 'IrCtmtnt lnd ~hi,h ::l Vide:. ,n rete"lnl pan. II (oltows:

A .. .. IT]h. Unitod SIll .. will m lore Ih. ~nan<ill posh 10" of Jr::lR. in so fir QI polIJbfe. '0 that whid'l tJCllteG. orior to Nolttn'lber I., 1919 ....

IT]". United 5111e, commit, itulr to .n.ure Ihe mob,lity and fre'lllna(er of alllrMni.n USCIS wilhin ill jur;ad;ic'\ion . . . 8. II I. Iho purpooa orbolh plni .. ... 10 lmoin.te aU 1IIIIII Ion as bel"'ccn In, Go •• rnmonl 0( ,ucll jIIny Ind Iha naltonll. or Ihe Dlher. and 10 htin& aboul 1114 IC1ll&mlnl and 1I""lnalion 0( .U lu.h ,Iaima IlIrouth blndinl arbitral ion. . .. [T]lIo Unliod 5111. II"" 10 IIrmlnalt alii .... pr0ccc4-Inll 10 United Shlla couna ilIvoJ.i"1 clli .... o( Uniltd SII"" pononl Ind Iftlillutioftl ollinll Iran Ind III lIa" OIl1rpri .... 10 nullitY IU IIll1d1menll aad jwdllllonli obllined IlIeRia, 10 prohibilolJ ru,. Ibor IItlllllOll bued on .II.h clalmlo, and 10 brine aboul the IIrminllion o( ,uQh .Iell .. IhlO\lth bhul. inl arbil~"on. .

Dept. or SIO" 8ull. >I l .

Th. Oenttal etclarallon alsa laid 0111 plOOlClutal det.lI. co •• ernin. tho return o( Iranl.n UICU Ind Uniled Sl&la nlliUMia. !lalially, il provided Ihll once lhe AI"';ln Cen. Itil Saok ccniflod 10 an I .. IOW ~nk in which Ih. lreni.n IIl&\a WOIIId be held thlt all '2 U.oS. OIlioOlIl hed depa".d Iran .. rely, 1111 ncrow bank would Iralllre, 1lIOII o( 1"­-a blcIt to Ira •. The ncrow bank _lei Ihco bold the bal. .... or Ille ...... In I 'SecuriIY "-taa'· lor lhe potrposc or allowi .. U.S. nauo.Ils who PIC.alled OIl cial .. _",I 'ron 10 IlIi.iy IlIIlr .... nk.,

n. CI.lml Setllement Oec1aralion act lIP III, .-aani,m by whic" naliOllAl1 or , ilher cownlty could ~I Ih.ir clalllls 1II101I11II1II_OIIIenl o(lhl 04her. "_bIiaIIcd IhO Iran-United Slalca Clalml Tribunal. i. wilici 1I....os Iuti .. dlctioll over slleh dahlll.nd •• y couotarcUtimlrili-a oul of 1M limo 1I ... _ion. 111110 pro.idtld \lie 4IIIIIa __ min, Ih. operadon 0( llIe Tribunal.

d.oiarin,1 nil lonil cm.rtCn(y ~nd callin. for Ih. (rcolln. of' Till _ oy 1l1li Wama Clu1ltop11er Dopony Seenlary 10m. S 12 billion "",nit or 1ranlln _I in 1M Unhod SlalU . or Shill. InlUaled 1111 "_dl 10 uana! U~IIIII SIaIa IUCIlI and abroad. EJlClc. Ordar No. 12.170, l C.F.R .• " (19'O~ 10 th.ir lerma. "mlclt"1 Can .. i .... ed a..n. o(!UCUti.1 Il0l1 (ollowin,.lO U.S.C. 1170I, H Fed. Rq. 'S.1l9 (197,9). . Qrd,,. ptIIYid,nllor Ihm ,mplcmcnhltlon. Elee. Orde,. No. In April 191O,lh. Uailad SlIla failed In In 1\llmpled m,lI· 12.276015,.' F .... R ... 791J.JZ 0 .... 19. "ltV Thl Mill tary flscua cporatioD .nd broke oIf dlplomotic rc!" iona with da" I'rnidcnl RUlia .... inauturt .. ed. oad shot1ly th • ..,.(. Irln, nllmPIIM drtucd on ... 0 U Ih. Shall d,ed In £1)'1)1 I.r, on F,bruuy 24, 1911, he iuued lJI Eaccud •• Order rail. In luly. Finally, on 1IIIIIary 19, 1911 . mort Ihln on. ~r I\-in, Ihe Implo", .. tin, Ordo,. Prnidllli Can. heel I .. ,,". lner thutormin. o(the Amori .... mbauy in Tehran, repro· I!ue. Order 1~,294, Fad. Rca. 14,111 (Feb. 24. 1911). PRIi • . .. ntali •• oIIN United SlIleslnd lren, thrOllth Ih. inlerme· clent RcapJI·' Ordor lisa 'suapcndad" all ciaillli willlin Ih,. dilry OO •• rofMftl Q( AI,.ri., ruchod In '11'1''''''''1 Ih.t jutildlcUoa 01 ilia Tribunal, provldc4 that .uch cialm. were i pro.ided for Iho rel.au or Ihl "m.ricln hOlt"", n •• po o( no lopl .lIbcI lo • Unitld Sial .. eoun, ancIlIWICIaled thai ""nl, known .. Ih. Alai'" A_rdl ("1M At:COtd."), com· 1111 TtlbulIIIl'. date,,,,inatloo "" Ih. mulu olin, clal", vai­prilld prinelp.lly IWO dOcumenlS: n. Decllrellon or lhe idly ber ... it "silall OpIralC u a anal resallilioll.addi .. hara' De"'ocnlio and Popular Repllbllc or Ai"';1 (Jln. 19. 1911), 01 lba etaim for all pur_," III. /'h. Slafrcml Caun Up/l.ld; ,.,,,In,ttI (It Dept. or Stall Bull No. 2047, Fcb. 1911 , II I Ibll.,lhorhy o(lbe PlftidanllO illullha .. blani .. Orden. • ("0_1 DccIlralion·) .. d the Oecll,,\ion or I~e Oo.em. D<r"'~1<1 Moo,,,, Aqolt, 45l U.s. "., 67., '" (1911). menl or till Democnlic .nd POIIUlar RfllUlMl. o( A_a ConOlmlnlllI1 S.IIl,m.nl or Claim. by Ihe Oo'lm",cnl or till United Statal o( Am.ricaltld lhe Oo.cmm.nl or lliamie R.publie o( Iran (Ian. 19, 1911,. rtp,lltrrd III Dept. or. Sill. Bull. No. 2047, Fcb. 1911 .. 3 ('Clalms StIlIe"".1 DccI\II1Itloo").

In tht .orIy 1970&, when IOm.wllll mote lranquil rlillioni , pre •• i1od beI_o ilia Unit ... $1". a.d Ifill, tile Mloi"ry o( . Wlr or Ihl Imperial Oovommlnl o( lren III. tJo8\nan Elec- J lri. Corpotllioll IIICIIII 11110 IWO COlllracta ~ Hall'. man 'arced 10 ptIIvicit a.d iaallll canal. lDiliur, ._01 .•

. "

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Wedntsda)', Oc:ober 25 , 1989 .

Tho blni.n fCyolut ion <1 llrup,.d pro,,, .. p,aymenu and per­(o,mance "'lied ror under ,h. ",raamen,". In ... Iy 1980. Hotrman flled.n action '&'yin'llra" for bread, of:ontrlC'l in :ho Unilld S'",e. Oia."o, Coun ro, In, Central o im lel or CAl i(orn la. : vcnl ually ob\i\ lnlns I writ o( lua:hmc:lt on lr .. • niDn UICI, hc:id In Inc United State, Ie u ud"y Itl cl"im. St.'" ~~'nully fJ:Jc'fic /"IQ/ 'I S"",Jc v, GIJ)'rrnmC'A/" Stau u/lralt , 51 J F. SuPp. 8b4 , 866 (C.O. C.I. 1911). An.r Pretidenl Re.,an Issue4 Ih' beallive Or4er ,u.pendin, III cllim, ,n U.S, COunt, how ... " 'he dl"rlcI coun vl .. 104 Ihe IIIAehmonl and dllmi ... d wilhout prljudice HolTmln', aclion -subjeel to tho riallt or Any piny to move to roopon the .otion 1\ •• y tim. prior to Ih. enlry "nd loti.(oalo. or. jud,me.t or the MOIt,.1 Tribunal . . . an tile aroundl th.l lhe settlemenl hAl fail"", of I" .... nllal purpose," Id . • t IU,

HolI'm.n in turn ftil:1I Claim. 4~ IIId '0 wllh tho TribunAl .1 th. HAlu" lO.kin, d.m .... f'rom Iran ror b"a.1I or con­tract. 1ft rctponH, in I senn of Itt iC"1 0"'1' the nc'" YCir. Inn ~I ed SlOteme," or oerenlOlo both or HolTman', el1ims. .nd punu.nt 10 ... n . II, sec. I arth. Cl.lm. Settlement Deel.­rallon, ~I.d counte..:I.lm. for breach or conuacl in ",hieh it lou,hl in e.ceu o( sao miilion ... inst H~lI'm.n.· By .... y or countcrc;lalm. Iran .lto s"uaM \0 oblaln c.ertain military ruJ :" equipment in Hall'man'. polleSllan.' Ourlnl the pen· dency of Ihl proceedlnll berare Ih. T,ibunrl, HolTm.D WII mt'led Into Oould "'''kllina. Inc, ("Oould"), • wholly, owrttd lub,ldi.ry or Could Inlemlllo •• I, Inc. (-011",,'

The Tribunal evenlu.Uy ISlued a conlOUd.ted ftnal.",.,d in Cl.lm.49 .nd '0 in which il ruled Ihal COUld Willa pay $3.6 millloo and mum Iht mUlluy radio .qulpm.nllo Inn.' Tlte moncllry .Wlrd ID r.vor or Inn can.tlluled • net ;u:counl inl oltha Inu,)uu'. thllJ Tribunul round ,".t Ir.ln uwcd Oould under CIIim No. 49 .nd Ibll Could awed Inn onaar III. countertllim to Cl.im No. 49.

Vnlike Ihc provilion cre.Iinl the Securily "'c:caUOI .1 lb. etcrow b.nk, the fund. or which .,. to be uted ror the lOla Pl'tJ>OH or IeC1Irinllhe paymenl o( .lIlm. aid/lUI Iran, Ihe ... ccord. provide no speci&: vehicle ror Ihe enfo...,m.,,, of· ow.rd. 111/01"" <lfl"n. ThUI, rOUowinlthe Tribunll', judl­l'I'enl, lnon lOuailt. rulln, thllllla Vnliod SIIIC' so-ernmonl wit requited to Slllsry .... rdl issued unclcr tho ... ccord. in Iran ', r.vcr by ftlln,. -RoqUIII IJr Inlel1Jrelllion' witb Ihe Full Tribun.I, puno.nl to An. Il(l) o(lh, Claim. ScUiemonl oed"'lion. llequ", or Ih. l.z.mie IUp.blle of Iran fo, I.terprctlllon, Iran,U,S. 0.11111 Tribunll, eo .. Al21. July 1915, n,rlllltdi. hul'n AaMUUL R.p, 10,197, 10,901.01 ( 191'),

The FuU Ttlbunll d .. ermlntd lhal the Unilcd ~tA\t. had no luch IpuclAe obllllltion under Ihl Accord" "'am/e Rtpllbo 1/, u/ Iran Y. Unlltd SIQIn. CU. No, Alll , 14 Itln·U.S. C.T.ll . • ll30, Noncthelo ... lhe Tribunal wenl on to IIlte thlt

, It con.ldered the Unila4 SI.tet 10 ~.ve a mor'lrneralnhll .. -lion 10 provide lOme son or Cn(otelme.1 mcch.ntlm ror ,uch

. awar," -wltMn ill nllionai juriadialon.·

Thl Tribunll hu no .lIlhorlly IInder Ihe Allien Declaralionl 10 pr.lCtibe the mean. by which nch or lII. Sillet pro_ldtt for , .. en(orcemenl. Cer­tlinly, I( no en(orcemenl procedure \II.r .... ilable

_, In • S1&1C Piny, or If recourte 10 ,uch pfQ(odufl . we" .vcnlu.Uy to m.h in • re(uIII to Implement

Tribunal.w.rds. or "Milly dol.y their enrotcCmem, Ihia would violli' lile Sla\l', oOli"lionl under the Alailn DccUnlioftJ, It i. Ih.rdo,. inoumbenl on

.. each SI... Ptrty to (>tOvid. .oma proc:cdurc or mcchanllnt wltateb7 tn(otclmcnt m.y be obtaine<!

129:

with in il1 national Jurild;"ion, Ind to ensure Ih.1t the ,u"o,,(ul Piny nil '''HI Ihereto.

Id. II lli. "

II

The Tribunll', rulinl led to the fi linl or Ihe Current UCII ,

in tho Unite4 StltCS Oillria Coun for the Centnol oiu"CI ('I lirornll , in ... ~lch Inn .. ell. conJirmltlon Ind enrorcolnc or ill.wlld II.inll Oould, 00ul4 <t,panded to the polil i< by hlin, • mOllon to dllmi" on the lround Ih1t 'he di.III c:o~t\ IICkl subject mlnet Jurildic:uon 10 dec,d.. ,uch I me tor. Oould 11\ fonll thrtc around. in 'UPllOn of iI, motio, Flnl, it '"lIed thll blCOUM Iron I. nal r .... nlUd form. II by tft. Uftittd St •• " lo\'cmmcnc . neilhtr it ftOt Iny of ir in'1NmcHlllli lia may ",alntain Iny action 1ft. Uni ttd Stile Coun.' s.cond, il.tlu.d thll bocau .. Ih .... Ilian Accord.", not .CICaClltCutlna. no r.dot.' qUI.t'on lIill' OVtr which ttl dltlricl eou" can .lICn juri,dla ion. Third, It ",uad the bocall.e Ih. Trlbunll procecdinp lcadl., up to the IWlld I. i'IIvor or Iran d i~ nOI <umply with ccnaia t.tm, o( the Ne' VO~k .Conventlon, the dlslriCl eoun Improporly e.."'tse. JumdlCllon undcr 9 U.S,C. § 203.

Tlto dl~lti.t coun ItonlOd Gould'i mOlioQ In pan •• c dented II ~n p.n. TIt. coun h.ld Ihal It did not poua, f.dotll ' qucsllon Jurisdlcllon o_er the m.tt.t, "'Iinl lllll il conlid. I .. d llself 10 be bound by l.n'''1II Qf tlli.oou" cone.rnin. the nonMIf-"o.ulln, nllu,. ortlle Accord. in '114",;e R.pubo /If oflrtl.nY. S/H'in, Co .. 77 1 F.2d Jl79 (91h Cir, 19851. None. th.! . ... , LIlt eoun held Ihat it did h •• e jurildlclion 0'1t Iho pellllon under tcctlon 203, OJ I con*luenee of ill rulin, Ih.1 the Tribu •• I" , ... rd IIIJs~ed the requitelllenil of the New Vork Ca.""I'on,

Bolh pI"i .. moved ror ccnificllioll 0( In Imme<li.,t Ippulla Ihil coun, Oould moved ro, 10t .. lo<\lIo'1' review or ,he i ..... of wh~her the dillrlct coun proporly ..... ld ,nroree Ihe Tribun.1 .",.rd under the Now York CotI_tion: Iran mo~ ror InttrlOCUlory .. vi .. or til. iltlll 01 wftetltcr thl AI,JllI Accord •• re .. lr"._lIn .. The dillrict coon ",nted ' both mallonl, and IlIlIed .n order .,"iryi .. bolla qUIIliun, (or In Immedllte Appal,

W •• ,read to hear Ihese Inlerloallory .ppuls pursu.nt 10 28 U.S,C. t 1192(bl,

III

In .N'w Votil in 195', the Unilld Nllion, Ii.ilillted the < ... lIun or an IntemAuonlillrecment p,ovidin, far enro .... menl o((oteill\ "bUral Iwltd .. Convenllon on Ihe Reeoanl­lioa .n4 £nro ...... nl of Foreiln MbitraJ A".,d, 11 US T 2517, T.tA,S, No, 6997 , 330 U,N,T.5, 31 ('the 'N.w Y~rk Con~.nlioa· 0' -Ih. Convenlion '). Plny-Slalet 10 the Con, : venllon 11"" to -,.,.",;u Irbltral .wltdl ,. blndinl .nd . enrotel th.m In ."",,,d.nee with [their OWIII rules of ' procodurt.' 1'1 ... Yorit Coov.nuon, An, III. TIt. Unic.od \ SIll .. bocltm •• pany to the Convenlion in 1910. .nd Con­IfUI 100ft .lIer .nocled I..,.ullon ImPlem'nll", tht prov1-~.n. of I~c Convlntlon Into domntic IIW, cocjiAtd IS i~~!z~~, 11 or Ih. P,dlraJ Arblt rallon "'C!, 9 U . .S.C. ICI:t ion.

AI pan o( thi~ Iqjll.l lon, Conareu .med redenl dlllriCl cou'!. w~11I orilln.1 Jurisdiction eve, .ny lalon Of proceed. ~nl (Alhnl undar Ih. Con_cnlion," a' .uch .n let ion 'Is !. de"l~ to .tllt uMer Ih. I ..... Ind tralliet 0( lilt United '

Slatet, 9 U,S.C, f 203, Tlte .I.nlnl polot rorou, inltrprell_ :. lion I. a .uppl,men .. ry ... Iulory provi.ion wh ich provides thll 1ft ",rblt .. 1 ..... rd ,ri.inl "'" .f • 1<111 r_n.nip I

. wfllctlt.r c:ontl'8Ctuai Of' n01. wh1ch it ec:'t1i<kr:d III comr.u:r~ ,

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12920 19"iI~ ApErllul r N'pert Wednesday, October 25 ,

CIII. Inc:JudinlI lrlnllctlon. ccnlrlct. or .,reemenl described ,n ...,tion 2 ofthll title,fulflllndrrthe Convent ion." 9 U.S. C . . f 202 (emph .. i, lupplild). Tht provis,on ,0<1 on to n«pt . (rom the otAn ition or"ralll under" c:cl"\uin awards mQdc put­IUlftt 10-. domcstu: 1::111 rc latio",hlp which hive no rorciln nCkU I . Jd.

Under Ihe ;>1.," mean,n. o(the SlatulC' then, three buic: requirementS cliu for jurisdictton to be conferred urwn the disuiC:1 -':oun : the award (II must arlst out of a leSl1 rel"lIon-• h.p (2) which i, .0mmelClal in nature and (l) which is not enur.ly dome.he in JCope. Tl\tie th ree conditions ~rf clearl), satts6ed here.

Conlrell hu provided that the New York Convention. with minor mu.Ji6cations. Ihall be enfotl:td in United Statu Couna. 9 U.S.C. 1201. Anicle I dise:u.ses the !COpt of the Con.cot ion. stotinl tha t it "sh.1I apply to the reculnition 4nd enforcement of arllit .. 1 • .,ards made in the territory of a ~"te Olncr t~.n tne Stale where the recolnIlIan .nd enforce. nlcnt ofsueh Iw .. ds arcsou&/tl, and Irisinl oUI o( ditrerc:nc<I belween patlona. whc,her physiCAl or lepl ... [.ncl Ihole aWlrdsl nOI cons.dered II domesl ic .wltds in the Stale wheA Ihcir reco;nitlan .nd enforcemenlaft sou&/tt ." Aniele I. 1 I. Tne Convenllon dlfine. "~rbttral owards" 10 includo Ih_ "mlde by permaneM arbttAI bodies." Anicl. I. '2. nl United S:"tos Imposes In addilional relaled condition on Ihe awarci: it mUI' be -mode in the Iinitory or Inother Con.rlct­in, Stale." 11 U.S.T. l"6. "prln,.d at nolea rol!owin, 9 U.S.C.A. i 201. s.cau .. o(lh. ",hMliapply" Ilnlua .. of An i· cle I, we reacl lhe", rcquir~menlS i'lo Ihe Jurisdic,ional man· date of seclion 203.

The Tribunal'. award m isA •• thesc I<qulremcnll as ... n. That i •• Ih' Tribun.1 . illat Th. H'lue. which i, in 1114 Neth. ,rI.nda. .. hlcb i. a contracun. Stile. In .delillon. tnt award is ob.IOII.ly not domntic In nature beeau .. Iran I. on. o(lhe parli .. to Ihe Iltecment.

IV

GOuld 10\. fonh lWO basic "lumen IS 10 .uppon ita posi. lion Ihat Ihe dlmici roun lach ju&lsdlclion ov.r Ihe .nfoms­

. menl of Ihe lward under tho Convention. Fltll, relyinl on lanlu: .. ln Anlclull and IV . Oould a"uellh.llho Conven­tion .pplin, and henc •• juri.dlclion 10 enforce clim, only .. to Ihou awards Ih., derive frum an arblt .. 1 Ilreement in wril ln, 10 wbieh tbt Pll'1les voluntarily submllled. It Con. tend. Ihll the Accord. documenlllhemscl." du nOI SAtisfy In .. rcqulrcmlnt. Second, Guuld a"ues Ihat tha arllitr.1 aWI,d WII not Irrived at in campli,n .. with Iha Conven. lion's .upposed requiremenl Ih ll Ihe proceedin,s be subloct to. -"acienal- arbitration law.

A

The Convention d.oc:l m~ke severul pronounceml:n ts con­eamtnllhe rorm of Ihc alteement I .. ~inl up to Ihe ow.rd. For uample. tt pla .. a upon Clch contrl.ct l n~ Slalllh, obllp· tlon to fc-colniJc an arburDI.,J\..:nlCnlln wrl\l"1 bct'MC.n the: panles. Con.ention. ArIICI. II. 1 I. ' In uddltion. th' .plrty leekins (n(orcemonl ,null 610 with lhe coun "Illhe o"a.n.1 Qtretmenl referred to in artitle II .. . Of • d.ly .erufted ropy thereof." Convention. A".cle IV.! I(bl. TIo ... pro.isions do Indeed ItI!I'n to indicate uun Ihe o\tlO.,d rderred to in sec:tion ~03 emanlte (rom. wriuen IlrCCmCn\.

We construe Inc ... etordl Ihcmselv .. II rcprestn ll n, Ihe wrinen aar .. m,nl 10 required. on Ih ' stren~lh of the Presl·

~ent's '.Ihority to Itllie claim. on behalf or Uniled ~ nllionlJs th roua,ft inttrnlllonal .vecm.nll. "{llntern.t "rcements ',dlHn, claimt by nttioul, of one sl_'" as. the lovtmm.n1 or anolher ' lfe tlU,bU.hed inletn.,! practicD rtnectinllnadltionaJ intctt\ationlAllftcory,' ,. D. .t Muor,. all U.S . •• 679 (quo.i •• ~ . /I'nkln.l'oreian AI '" Iht C.' nst ill,tion (1972)). :'ojo« lpcc:i6c:al1y. Ihe Cou. D.mrs ci Mooro: held that Ih. Praidenl po .... scd the au t ity 10 nu llifY an •• hmenu and or4er tne tran,re, of I .. : 'IIm.ld. &1674 . and 10 .u.pend claima of Amerieon elt i ... inst Iran. Id. at 616 •

GOUld contenda Ihal DGm" .. M_ should be .. naml"ly COOllnled. I.dead, th. Co." ilself cholt "re •• mrhlli", Ihe narrowne .. o( 0., dcctalo •• We do decide .hll tho Pre.ldln, po_ plenarv power 10 It cloim •• even II aaaitul foreiln SO.lmmenl" cntillca. - I. 681. N •• enlltl .... Ihe Coun went on to ",.ke etta, th.1 haldinlUtendl broadly tnOll&/t 10 encompus Ihe Qulho, of Ihe PreSldenLlo seuil ellim, under till (acu be(ore UL

Th .... bec.use Iha PrClldlnl acted within hil aulhorilY behalf o( Unltod SUtCl .lIi ..... , lho real Question ia r ",hether Gould tn,eltd into a ."illea ..,..rncallo .ubmit claims apinll Iran 10 arbiINdo • • but wh .. hcr Ih. Prealdr

~-i';:i.in. gn benali oi (,;OIl14-CDlfted iato &Yen an 'Irc. menl. Th. Inswer is clearty Y ... Depuly 5etnlary of SI. Wlrron Chrillopha, initialed the AtcOrd, in hi' rol. u . ',enl ror tho Protide"t: and th .... Ihe requiretll4nu of·Anlt II, , I ore IIlisAcd.' In addition, Ihe FInal Tribunal Rul .. Procod ... a .. te Inlt 1tlh. Claims SctUamcm Decl ... ,lt eonstlt.ln an ',I":emonl in writ in. by Iran UId Ihc Urtit. SlaIn. on thdr own behllrs ~.d D. /wNJ1/ Df/Mi, .a,'""" $ubmilllr.,:o arbltralion wilhin Iho framework orth. Alaier Declo,.t ions ond in Iccordancc with tho Tribunal Rulca. J~nal Trlb.nal Rulc of PfOCCdlln I.J (emplt ..... uppti.II).'

Gould u,.. .. lIanII4r tnat the only caom 10 h.ft conslde, .. Ih. issuI, Ihl HlaJI Coutl of E .... nd. Nlod tlll.lhi Accord. do not 1I1I,(y tho "'arccmonl In .. ritlal" 1I...au4o(th. Col" venlion. HI DdJII1J •. 8~"k "'tll.l. I All E.R. 239 (Q.B. 1916). Thi. i" miKhataclCriutlo. Dfthc Hi'" Coutl's opin­ion, howcver. Finl. Ibe Hi&/t Coun III lMJltllcn".a in aNI. inl. on tbt menll o( whether I Tribunal award barred • Pl'OCCedlnl in Enallih eouna .. rca judJOIIa lIMed OA Ih ... rna elllm: Ih. Coun WII nol nllin, on ... hetber It F led juris. dlcl!on under thl Convention. Sceoacl, th. Coun'a I,,'yala fOCl"ad on IIIIYaJ •• lion of whelbu the "coadllCl of Ihe par. tI.. In Ih. arilitratio. and, in paftieuiat. Iheir wrillen pl.adlnp"-not. II a"ued hore, the Accord. Ihemsel._ can.lilulld Ih. -a.,cemenl in writln." III. Finally, Ihe

. Caun's enlire diSC:Ullion appean '0 ba diclum. "/fit""" "rc­tJJQ"I (or me 10 decide tlta quadon at thla ..... , I WOlf/d ' dot/d. tllal lhe procllcljnp "" • nuUity in DulCll law." Id. (,mph .. is supplied).

Morco_, even if the Uniled SlIllIlQvammenl lacked .ulhorilY 10 cnllt inlo Ihe ","ment I. wrlllni required undor Ih. Con.lntion ..... find pemtujyc tile a"Umetlt Ih., Oould. in Rlin, 11I cllim and Irbllralinc It bel'on Iht Tribu • . nal. -tldRod" th4lC1i041 o"he United 5tll&l. ~ id. II 2.14:, uwil, "Whit aoel Around Comll A",~nd: Can Iran. En(om A .... rd. o( tht Iran· U.S. Cl.illUl Tribunal In Ihe . United StaIll1,' 26 CQlum. J. TraDanat11- 5U, ,., (1911).

8 ;

The scrond bali<: "I.mtnl Oould mikes i, prem""d 0' : iooll1&le conllincd in Anicle V, wlticlt llau tbe deftnses' ... ilobl. '0 .114 pan, .pinst whom "'~mcnt ofti Tribu. , naJ A ... ret i. ""'an"" Oould lSoertSI~.t the .. c!C~ftsiv. 9'0- ~

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vi l iunl conl4in .n implic:u rcqu1rcmcMl th;,t lhc Convention ~ppl1cs only to ubi".1 aWArda made in accordance with Iho n .. ionoi arbllrolion lawo(a Parly 51 .... In ~an icul.r, Gould ,e.k. 10 bullr ... iIS ~o.ilion by look in, to Arlicie V. II(e). wl'lic)ol providl1 UtAt the party IIi1inSl whom f:n (orccn\cnt IS so~,hl ma, estlb'ish lh:ll enforcement ,t\ouJd not be &ranted ir It un .hQw Ihol "Ih. aword hu nol yft t>e<:omc blndinl on Lit. pan I ••. or hu been '01 uidc or .uspended by a comptl.nl .uthorily o( Iho eounlry In which, or """ .. 1M luw o{"h/ch. thlc Iward .IS m.lld.," New YOlk Convent jon, Article V, ! 1(0) ( ''''~h .. i. ,vppUed). Gould l\'Iue. Ihar Ihil,ubparA. Illph ....,uld be rendered de.oid o( pracliell mOIGln, il Ih. Convenlion caUl lot thc reeoanll ion o( IWl,d, olher Ihan IhoM whlen III made under a forcilft munieipalilw. ThUl. il concl.dcs th .. bcQIulC Ih. Trlb.nal·' ..... rd In ravor o( Iran Will creature o( lnternilionallAw, and not nadona' IIW, it docs aOI "fall .nd;r" Ihe Convtnlion punuanllO ICCIlon 203.

SCClioft 203 doca nOI eonilift a separale Juri,dictlonal roquircmenllh.llhelward bo ,endered ,.bjocllo I "nAlional law: Lln",.ac penAlnlnllo Ihc "choice o( law" III.e II nol menlioned. or even aUuded 10, in Anlell I, -Melt IIYS OYllh. Con'tnlion's scope of 'pplicabIlIIY. In Iddltion. allhouaft il II a elou qlleuion. \he Illrtll re.dinl 01 Convention ilselt IIlP"" 10 be Ihll il Appliel 10 the en(orcemenl o( non·n .. innal oward,. Ind •• d. a DlllCh COUrl hlllO held. S .... SIJ(';/Ilr f:UfUIU:ftJ'''' d 'c'Wtks t!/ d I~mr'p,,')~~ 'I, 54I('j"/;,I' Ft·J. "'QI R~p"hlir of Yu,,,sluriu. H It I Hoae Rlld der Neuerlan· dcn) NJ 7 • . J61 097.Xhcrotnallcr "S""lol'")." In S,. ·j." •. the HOI' R •• d. lhe hilh .. 1 coun oflhe Nelherlond •• «v"",11 Inc COlin o!"lne H'IUC, which hid tilled lballho DUleh It i.1 coun crred in reeo,"lll., an e/bhrll I .... rd Ihal woo not ISlued l"o((lInl to 'he law of Swillerland. Tho It .... Raad held Ih.1 the ,uielurat o( Anicle V do nol eom. inlO cft'tCI .nlna and until "Ihe pany I,aiul whom Ih, award i,

· Illyoked fIIrn lih •• proo(ot Inc uill'.cc o(oene of lhe impcdl. mcntllpcl<lned ~ndcr la) 10 (e)(ln Anlel. VJ: III. at 1006.07. "The rcillionlhip bclwc;n Ihe .wtld Ind Ihe II .. of. panicu' IAr ;aunlry need only be eumln.d in Ih. (tarncworil of an in ... llptlon 10 be catried OUI (oUowlnl I pica thai Inc ~ul~~~iiliifti ii,~ui~"ncQ in Anici. 'vti) t~i., , , . In I'ftpeel or

: wlli.1I quesllon, ma, .n .. whldl cen be IlISwered onl, willi llreron .. 10 Ih. law 01. plnlad" collnlry." Id.

In addilion. aUowinalhe p.nla 10 IInlOlncr IhemlCl ... rrom • p'HAi,dnl "nalional law" " iU IClYa canain aat. luarda In place 10 IYlrd aplnll entOIQ:IIIGBI o( an olh_i .. u.filr ,rblt,.lion Iward. The Conllllion conilln, ... _at duo proeHl proUlClIo .. rcqulrlnl nOli04 and Iha opponyolly 10 be h.rd at wall u a del .... 10 ,Ulrd aplnll enforcemenl ,o( award. <o.lnl)' 10 public policy. Anlel. V, " I(b), lIb). 'AllO, wlllielhe TrlbuRlllllIIIICl may funetloo ... (arum (or IhI moiulion or IlIlel1lll1 dl'pules, t.,., wheo il Is eall.d

:upon 10 rend ... In opinion II belween Ibl United StalK and I,ao WIder Ankle 11, t 2 or tM Clllmi Scllicmeftl Occlara-

· lion . It primarily i, .oncelfted wilh Ihe rcIQlullon or POVII. la'" ii_hn ~k:d \,1ft wntr-.:hu&llflfrllln¥C11110" f,l.uin" lU ~h," proviSIon of loodsand ",nle ... AnleieU. , I. It cenllnly hu ,erved Ihil lan.r function In Ihi, e ....

Flnlll,.lllhey Itllald OUI. Ih. d.r.nsa ocem 10 .~ply : 10 .rhilftlilwerdt mada punuanl 10 ",.nieip.1 domClIIC II.W

()I' IhOle made PIInuanl 10 law or Ihe pani .. • eh_In .. I' ,n ihls CIS' . In panleulAt. ""Icre v, I(d) Iii0WlI ~any aplnll

: whom cnforeem.nl 1'lOUlhl to dcn:nd al'l nil en(o~menl · if "lb. Irbitral procedure wat nOI in aceordan.., wllh Ihe · • .,umcftt of lhe panles, IJl, r,Uina .u~h Ivccmcnt, 'Ma', Olll

Ln accordance "Nith lhe law or Lho COt.lftifY .... 1\4" d, ... rbllfa­

: IIOB _IOGk.p~· (.mpfte,ia "PllIi.d~

12'

... lIhoulh th i,l.nllullt Item, 10~. allewmull. wi ll o( Anlcle V, I(e) concarnina "lh. counlry ' " undc, Ih o(whiC'h.(lhel o.ward ..... made." it is pouibae to fet'OQ4;i

1"'0 pro., i,ion. In ~ccord.l\tt 'With an inlef'1)tetltion holdl thol the Convention capptic:1 to -non-n.lionG'

; il,*.rc1l. ThMt ii, if the ~1r1lcs choclC not to h ..... their I rt -lion ,o.crncd by a "nllio.alllw." Ihen Ihe 100in, P4ny ply Clnnol .... I illl!l( o( eenlin or th. dcren •• , 'UbpIIA.roph, (al Ind (e).

Th.,. we conclude thOI .n ... ard n«d nOl he IT

"un"'er a nationaJ law" ror 0. t:CI.IA 10 entln.in jurild:ic Dyer hi cn(ofctmcnt pun",an1 to \he Co"venlion.I

'

V

Tho district co.n properly denied Ihal pon,on ul' (Juu modon to dilml •• (or lick or jurildi;llon over thij ma under 9 U.S.C. § 203, because the ..... rd o( Ihe Iran·Un , SIIIIS Clolms Tribunal Ihll Iran Mek, 10 en(om: "r und.r" Ihe New York Co"enllon. 84cauIC .. e conclude I jurladiction " illl undcr lcelion 203, we do nol reach quell ion o( whelher Ihtre WII jurh11ction under 28 U.S f 1331. Therefort ..... do no' con.ioer Iran'l (rou .. ~pe.1 Ih. qUClllon of whelher Ihe Allien "=rdl sel(·CAooullo ..

·AFFIRMED.

'Th. ",,~Ift ...... to ... 1M CH'raI llaok 01 t~. N .. hlfl .... ( Nd'~ "all) rot ma' ll.&1nlftl 1ht s.. .. nl)' "-IAIII. .

."... ..... U" 0Nen ...,.11", Im ..... llf... '..e" ".' 1""l1li ,,_c.ouoll~ II u ..... mIG. If,.. mil s.. .. ''''l~ I',J~" (Pib. U. IIII~

'11_ ..... 001 to.1Io TrIlNlIIII ,1101 "" ... oil" DocIoraU.I ... au.... I .. 10 YIC • COUII"rd&J1I ........ c. .... I .... , IftCllhIt doll.., !old"" .,.~~!! !ur..!(!4..!'..i= !:: :;:..1,.:::. ~i;';i i"''''~ in i • ..n:

011""" ·rt. Tnkntf f'I!jeoIId Uillllfll'lMa, ta .. i~\OIJ Iwltd I

ea. No. .'. llM-U.L C.T."" Ilt.la.

'1tCI ... ttUt *""' ... "Ita wh1\j" 1M I ....... \M Unlltd s. .... I"'''''''*'' U ... ~ic IlllOft ,.rillktu , ...... III •• ...,ltto. It I,.., !ttmt ... u-. MdiliOM Uu IN, 001 be ..... ~ U, ClNftll'J Uti

• IN IecrtIaIy 01 Sll .. h ... 4ttef'llifl" ~ ~ IUppon (or acta , oIlft""'''_~ Irmwi"", 23 U.S.C. t 17ao. TlIIIIIrMary 01 '1111 dt1.cr.

.. mlLlod l1li11 ... 6\ 11110 Uft.hto. on J .. ....., ~l. It ... " 'N. ~ ... lll6 (I tI4~

I ... ,not 1. lbe Seen",,', "'.mUM( .... 1M 0-. fI t.4",nhloni ClOlUrcM rttvtell to 1fUI' 00 ... 14', ,"UC.&*' rot , Itctcw ,. tNbW h \10 .'poIl 1hit eqWpft'Mfti \0 lru i. I" I.

'A. I\ctUM dllfu" apfMCDUy nltu .. lO ~ ...... tI. '('\~J I_ailimalt .......... Ia loa • .,.. 110 H~; lM ....... ,'-' of Ihlt ~ Il 1101 ,......., or Ippro""" 10 dct4I oa nUl l.tcrtoQ"Of'Y tppal ... '* "" 1'riblNlt"bMhYld o..ka ,.,. ....... 1M. M,he cllirnMllft t ___ , .. flit .. win "r" \I ~'I"""'. "Could."

>n.. T~tNlIIII" .II1II __ I. \deVIac .. n _ I\IIIDwI:

no 0.1I1\1III. 00014 M,mll ... I .... I, ...... 10 ,.,y LM

~ ____ ~ lolli'"" Or Cot_ 01 tlte I"""'" lIe",ltI ... r I .... U.1. SI,6<O.1I7. I S. ,

1'111 Coon_'011 lit dllml_ .. 1ItI_

Tho 0.1_, 00u14 toIuUIi .... la. I. 0I0III0I0Il to m." ... ,lJ¥o 10 lito "-0', 10110111" III DoII_ oIl1t1l"" ....

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U922

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6 Iran· U.s. C.T.R. " 211.

~t 4itlrift coyn. tdyin, U 1M "'fttau,\lOC&I SlilltlMnl ot I. term of 1ft. United Sllln Conmm,,,, In ,wPPGn or acec,," or Ir .. 10 Ihi (tdctll !lnUltl roun. (Of IN OUrpoM o( cn(Orc:iftl l'ribuftll 4 wlrd .. round Ihia ltl"mCRI \!nt)Crwu'''c, Ailllillry u/OI/tftt" \II. fNtJl •• /lte., NQ, I1-OU73 (C.C. (~. lu . 14, l UI) (OUS,., dCA,Ift, Gau)4', moue" 10 dlunw).. The iu"" WI' not ('I"I~d \lndt, Jl('fion I 2tJ(bland thut don !tOt (OfM I port

:101\ or Ih' bull or It'll' InterlOCUtory IPflCII .

"l'bc r"n Inl o( Ih' pan.,.pn ruda aa (oUowt:

I. Each Con'Flal"1 Stili tl'!.n mo,",,,, •• ",UfntaC In *rilln, IoID c1tIr ""l.el Ik panl" \lftdlN" 10 WPIII so.artahl'll'OIl aU or .. '~dilf."ncl wf\kh h.'1 anWft or w"kl'l may &tIM.lwa" Iham in r .. pc" o( , acAfttd 1 ... 1 rtlllio"vnD. wMtHt COAtt'lClul or not. Q,nclrttinc' 1"'_JCClI'ftaU.r Clptbit of "l\ltm.tftl by."'''''' IW,Q.

NI. VOl. ('oft-.t:", ioft. Anlcle tI , 1.

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1ft .. "", .In .'6IHf'IW1I1 Oft bcl\&Jt of \ta n.doftll&. ••• ulhorilM b7 DMuI .. . 4/*11 ... W, 40 fMll ., .... the .tDIIN.to. U NYiac I:III!' CQIIW .... ft'tm • cQnltt'llw.1 to I jllCllC'" ptOt'f'M. nw: pt1l('M' '1 not CDCft.,.* to o.e in ... " iet! • n.t~ 'WI'" I pl." .... MOllO"" N!qII .... n dl",,* to be .. 'SM b,. JUte artnu,llnbuAll,. IN'OIPIC' 11'1.1 COftAmldlGml otlhl 4ciql.lle nc,en"""'1 1M eonVtfttloft. Str Not" • Caft\lM'nli. '(h-Mt,. MIt_ .11 .. /1 •• O/I't~'"'' II Am. J. In" 1 ~ 196, 41'. a.lO (IIS'~

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Ill·77

.. s.. ./Jol.cwi&. ·W~ •• a.. A_" C.- A_II4: CII I,.. E.f .... Aw.r4 •• /lhel,...U.S. Clal/ •• TrlbWIIIIn U!c U.lled 5wa! '"1$ CoIoi ... J. T,. ..... ' ~ SIS.I)Q(lU't Wo." C .... ·JIHIlciIIIIf ..... orA_. 01 .1Ie I''''U~;''' S ..... CIa ... Tnbooal: AN III. Ttl ..... 1 A_ OOld!,' I' Law l Policy I .. , a... IH. " .. 100 (I'''t. bou ... AJ. Va. de. Ie .... The New Voft AI'III,.,foft Con ...... '*, of lt'l: Towvcts. U.,. (orm JloIcStaeJ In''I''PM11I0fI1I1J....40 (ltal).

111" .d4i1laR, .. Irt rel"c\I," 10 I"(H 111\00 lbe tlitUle. j\arltGlaiWI reQu lrtmltni bAled 0'"' 't"'I"'" ('OIUllncG lit I dtlfnl1., ellUtI O(UII: Caft-

Wem,esday, October 25.

"" "I IOft. "ll ("ar of 1\I1tn, Oft Ult l'ftt,iI .. To cSo SoU 1'111,"' Wfll aUa_ 10 I vout III h/den o( lM'ODf. An.er aU. illt COWW Ihu camtt l ltC b\l r PICIt','" 1l1.IIM ..... ,.. 11 nOI cOI'III.'In' Willi I~t II. o( 1'" ft,.H08 In \I I, ,. ... iltttd. Anldw V., I f-tt«OillltJon ud ",RNafMa. at It.. ml, be 'CrUtH. 1I Ule n::quUI Or IM ,."., .... 1" .. *fHNrI !I., In¥Oh(l .,fllMA, Ht,."j.,,,.'JIttf 10 II'ICCOrnPl1cl'lt IUIMrilY""'" 1M '''Coanillo tn(:Jrc.c:",.,,1 i, .0101,11. 9roo( Ih., . . ~ Xtlft,I'I.'lt 'loIppli.ll)' :.,0/19 '"

CIUI at", n, N, .. YOit A-b/r/OflOtt ('OJI,.,.""tM 11/ 19j1 II &0 f"{ Tlh .. poIIlbllUI to 0",",1'" ."fotctmtn. on "" IIMM tfl. .. Lbc: lwald I a.anmf\J by an mllt'ltlon I •• 1'10 obt.t" a dcdlA,i .. 01 lilt C'O&In II CO\IDlry U$ .~udt ~I ... td W'II m.de '''I' '''t .... I'd j. no, ... ''''ttJ WI tu pu,.,w. If ita attN\ t1UOlt law·).

CRIMINAL LAW AND PROCEDURE '

Corupiracy Baied 011 Multip:' Offenm Dou Not WamIIIt UlI41Iimitv rnatl'uct/on

CIt. .. " DtllJ Joumal n,A.!L uta

UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT

UWITUI STATUO~ AIoIPIe>,

I'itlm'tff'.A~IIH,

v.

PA!~cr. AITHUI CAIUO. ~/t~IIiI",.~pP'lltllll ,

UNlTall STATU Of AwwCJ" !'IQi"I;6'-'/p~IIH,

v.

HeAlUT TItoNAI Com .. ~/f"dtl",.A~P'I(."',

NO. 87.l227 D.C. t-Io.

CX.I6-04II. I·a

No. 17·lJ40

D.C. No. CR·M.Oo4I I.!.a

OPINION

Appeal {rom tho United S .. tft OlnriCl Coun {or the Soulhern Oi'lnet o( CaJlfomia

Rudl M, BIIWller. DilUie! Jud ... Praidi",

ArJutd &.ad SublftilllCi OlCtmbet 6, 19 .. - 1'uada!&, Califomia

F'lIecI ~ODtt 23, 1989

.. fo,., Cynthia Holcomb Hln. Charlft ""IUlnIIDc! Olvid R. ThomPlOn. C~lIit Juqa.

OpinioD by Ju. TholllpiDII

COUNS£l. I

Bernard O. Skomd. San D; .. ~, Califamia, far tile "10"01"'1' appellant C"'I'O. ',.

II, ' , ;,

Frank r . MoreU. Mormo" Mo"n. Cloull VIItA. C1I1lomla,

United States

Page 6 of 6

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W.N

EWYORKCONVENTIO

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