The Multilateral Treaty Against Torture

On December 10, 1984, the U.N. General Assembly unanimously adopted by resolution the text of a multilateral treaty against torture. Technically it is called the Convention Against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment (CAT). Under its Article 27(1), the treaty would go into force or effect 30 days after the 20th instrument of ratification or accession had been deposited with the U.N. Secretary-General. In fact, it went into force on June 26, 1987.[1]

CAT’s Article 1(1) defines “torture” as “any act by which severe pain or suffering, whether physical or mental, is intentionally inflicted on a person for such purposes as obtaining from him or a third person information or a confession, punishing him for an act he or a third person has committed or is suspected of having committed, or intimidating or coercing him or a third person, or for any reason based on discrimination of any kind, when such pain or suffering is inflicted by or at the instigation of or with the consent or acquiescence of a public official or other person acting in an official capacity. It does not include pain or suffering arising only from, inherent in or incidental to lawful sanctions.”[2]

Under CAT, each State Party is obligated to (a) take steps to prevent acts of torture within its jurisdiction; (b) not to expel, return (“refouler“) or extradite a person to another state where there are substantial grounds to believe he would be in danger of being tortured; (c) to make acts of torture (and attempts and participation in torture) criminal offenses under its domestic laws; (d) to establish jurisdiction over offenses of torture that are committed on its own territory or on a ship or aircraft registered in that State, or by a national of that State, or when the victim is a national of that State, or when committed outside the State by a foreigner who is present in the State; (e) to investigate and prosecute individuals for alleged torture; (f) to train law enforcement and military personnel and others about the ban on torture; (g) to review and revise interrogation practices to prevent torture; (h) to provide legal remedies for victims of torture;  and (i) to exclude statements invoked by torture from evidence in any proceedings (except for cases for alleged torture).[3]

CAT in Article 2 bans two potential defenses to charges of torture. First, “No exceptional circumstances whatsoever, whether a state of war or a threat of war, internal political instability or any other public emergency, may be invoked as a justification of torture.” (Emphasis added.) Second, an “order from a superior officer or a pubic authority may not be invoked as a justification of torture.” (Emphasis added.)

Under CAT’s Article 16(1), each State Party is obligated ” to prevent in any territory under its jurisdiction other acts of cruel, inhuman or degrading treatment or punishment which do not amount to torture as defined in article I, when such acts are committed by or at the instigation of or with the consent or acquiescence of a public official or other person acting in an official capacity.”

CAT in Articles 17 through 24 establishes a Committee Against Torture (CAT) of 10 independent experts who are elected by the parties to the treaty to monitor its implementation. All States parties are obliged to submit periodical reports to the Committee on how the treaty is being implemented in their countries. The Committee examines each report and addresses its concerns and recommendations to the State party in the form of “concluding observations.”[4]

The Committee may, under certain circumstances, consider individual complaints or communications claiming that their rights under the Convention have been violated, undertake inquiries and consider complaints by states. The Committee also publishes its interpretations of the treaty as “general comments” on thematic issues.[5]

Today 148 of the 193 members of the U.N. (76.7%) are parties to the CAT; a non-U.N. member (the Holy See) is also a party to CAT. One of those parties is the U.S. upon its ratification of CAT on October 21, 1994, which will be the subject of a future post.[6] Here is the geographical breakdown of the states that are and are not parties to this treaty:

Yes No Total
Africa 44   3   47
Asia 26 25   51
Europe 44   2   46
Latin America/Caribbean 22 11   33
Middle East 11   4   15
North America   2   0     2
TOTAL[7] 149 45 194

The development of the text of CAT began in December 1975 with the U.N. General Assembly’s adoption of two resolutions: one was the Declaration for the Protection of All Persons from Being Subjected to Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment; the other asked the U.N. Commission on Human Rights to study the question of torture and how to enforce the Declaration on the subject. Two years later (December 1977) the General Assembly specifically requested the Commission to prepare a draft treaty on the subject.[8]

In February 1978 the Commission started its work on drafting the treaty. The Commission finished its work in March 1984 when it submitted its draft of the treaty to the U.N. Economic and Social Council for ultimate submission to the U.N. General Assembly.  The key issues addressed by the Commission in this process were revising the Declaration’s definition of “torture” and  deciding how a state could exercise jurisdiction over torture outside its territory committed by non-nationals and how to have international supervision of compliance with the treaty.[9]

Two months later (May 1984) that Council turned over the draft to the General Assembly through the latter’s Social, Humanitarian and Cultural Affairs Committee (commonly referred to as the Third Committee), which with some amendments approved the draft for the General Assembly in early December 1984. As noted above, the General Assembly on December 10, 1984, unanimously approved the Convention.[10]

The seven to nine years it took the U.N. to develop and approve this treaty might seem like an unnecessarily long time. However, to obtain international input and consensus through several U.N. bodies on an important subject like creating legal obligations regarding torture is a complicated process. For example, diplomats involved in the actual drafting and negotiating the language of a draft treaty are interacting with other countries’ representatives in multiple languages on multitudes of issues. In addition, each country’s diplomats need to report developments to their superiors in the capitols of the world and to obtain new instructions. Thus, it should not be surprising to take seven to nine years to accomplish these tasks.


[1] CAT, http://www2.ohchr.org/english/law/cat.htm; David Weissbrodt, Fionnuala Ní Aoláin, Joan Fitzpatrick, and Frank Newman, International Human Rights: Law, Policy and Process, at 140-41 (4th ed. 2009).

[2] Id.

[3] CAT, Arts. 2(1), 3(1), 4(1), 5(1), 7(1), 10(1), 11(1), 12, 13, 14, 15.

[4] U.N. High Commissioner for Human Rights, Committee Against Torture, http://www2.ohchr.org/english/bodies/cat/index.htm.

[5]  Id.

[7]  There are 193 members of the U.N., and one non-member of the U.N. (the Holy See) is a Party to the Torture Convention. Thus, the total number of states in the table is 194.

[8]  Audiovisual Library of International Law, Convention Against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment, http://untreaty.un.org/cod/avl/ha/catcidtp/catcidtp.html; J. Herman Burgens, The United Nations Convention Against Torture: A Handbook on the Convention Against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment (Dordrecht; Boston, 1988); Manfred Nowak & Elizabeth McArthur, The United Nations Convention Against Torture: A Commentary at 3-7 (Oxford Univ. Press; Oxford, 2008). The history of the development of a treaty on torture goes back even further, to at least 1948’s Universal Declaration of Human Rights, if not earlier. (Id.)

[9] Id.

[10]  Id.

U.S. Circuit Court’s 1980 Decision Validates Use of Alien Tort Statute To Hold Foreign Human Rights Violators Accountable

The U.S. Alien Tort Statute (ATS) was originally enacted in 1789 and was virtually unused through 1979.[1] This changed in 1980 when the U.S. Court of Appeals for the Second Circuit in New York City decided a case, Filartiga v. Pena-Irala.[2]

Dr. Joel & Dolly Filartiga

The facts giving rise to the case arose in Paraguay in 1976. Dr. Joel Filartiga was well-known in his country as a physician, painter and opponent of his country’s dictator, General Alfredo Stroessner. In March of that year, Filartiga’s 17-year-old son Joelito was kidnapped, tortured and killed. In the middle of the night of the abduction, Joelito’s sister, Dolly, was forced out of the house to go view the mutilated body of her brother. All of these horrendous acts allegedly were committed by Americo Norberto Pena-Irala, who was a police official in the city where the Filartiga family lived.[3]

In 1978 Dolly Filartiga, who was living in New York City, learned that Pena-Irala also was in the City. With the assistance of the Center for Constitutional Rights[4] she commenced a civil lawsuit for money damages under the ATS in U.S. federal court on behalf of herself and her father against Pena-Irala. The complaint alleged that as a police inspector general in Paraguay he had kidnapped and tortured to death Joelito Filartiga in violation of international law.[5] The district court, however,  dismissed the complaint for lack of subject-matter jurisdiction.

On appeal and at the request of the Second Circuit Court of Appeals, the Carter Administration’s Department of Justice advised the court that the universal and fundamental prohibition against torture protected individuals from their own governments, that enforcement of this norm in cases under the ATS would not undermine U.S. foreign policy interests and that failure to entertain such cases could undermine U.S. credibility regarding international human rights and our ability to influence states with poor human rights records.[6]

Later the Second Circuit reversed and remanded the case for further proceedings. The Second Circuit held that “an act of torture committed by a state official against one held in detention violates established norms of the international law of human rights, and hence the law of nations.” As a result, the complaint had a proper basis for federal jurisdiction under the ATS.[7]

On remand, the defendant (Pena-Irala) took no further part in the case and thus defaulted. The district court then entered judgment against him and in favor of the father for $5,210,364 and in favor of the sister for $5,175,000.[8]

This case established many firsts. The ATS supports assertions of extraterritorial jurisdiction over events happening in other countries. International human rights norms are justiciable, i.e., they can be adjudicated by U.S. federal courts. The individual as victim and perpetrator is a proper subject of international law. A robust system of accountability for foreign human rights violations under the ATS is consistent with the national interest of the U.S.[9]

Thereafter for the next 25 years Filartiga was followed by other lower federal courts without any guidance from the U.S. Supreme Court, which will be the subject of another post.


[1]  See Post: The Alien Tort Statute, 1789-1979 (Oct. 21, 2011).

[2]  Filartiga v. Pena-Irala, 630 F.2d 876 (2d Cir. 1980).

[3] Id.; Center for Constitutional Rights, Filartiga v. Pena-Irala,http:ccrjustice.org/ourcases/pastcases; Wikipedia, Filartiga v. Pena-Irala, http://en.eikipedia.org; William Aceves, The Anatomy of Torture: A Documentary History of Filartiga v. Pena-Irala (Brill; 2007); Richard Alan White, Breaking Silence: the Case That Changed the Face of Human Rights (Georgetown Univ. Press; Washington, D.C. 2004); HBO Docudrama, One Man’s War (1991).

[4] The Center for Constitutional Rights (CCR), which was founded in 1966 and based in New York city, is “dedicated to advancing and protecting the rights guaranteed by the United States Constitution and the Universal Declaration of Human Rights.” (CCR, Mission and History, http://www.ccrjustice.org.)

[5]  See n.3 supra.

[6] Schaack, Read On! The Definitive Filartiga, IntLawGrrls (June 27, 2008); Center for Constitutional Rights, Filartiga v. Pena-Irala,http:ccrjustice.org/ourcases/pastcases

[7] Filartiga v. Pena-Irala, 630 F.2d 876 (2d Cir. 1980).

[8]  Filartiga v. Pena-Irala, 577 F. Supp. 860 (E.D.N.Y.1984). Twenty years later, the Filartigas had not collected anything on the judgment, but were still trying to do so. (Boustany, For a Sister, Court Fight Stirs Memories of Paraguay, Wash. Post (Apr. 2, 2004).

[9] Schaack, Read On! The Definitive Filartiga, IntLawGrrls (June 27, 2008).