122 F.3d 758 United States Court of
Appeals, Ninth Circuit. Giancarlo PARRETTI,
Petitioner-Appellant, v. UNITED STATES of America, Respondent-Appellee. No. 95-56586. Argued and Submitted
Nov. 21, 1995. Decided May 6, 1997. As Amended Aug. 29,
1997. SUBSEQUENT HISTORY: Opinion at 112 F.3d 1363 amended and
superseded by this opinion Rehearing en banc granted: 124 F.3d 1186 (9th Cir. Oct. 2,
1997) (No. 95-56586) and Opinion Withdrawn on Rehearing by: Parretti v.
U.S., 143 F.3d 508 (9th Cir.(Cal.) May
1, 1998) (No. 95-56586) Certiorari denied: 525 U.S. 877 (Oct. 5, 1998) (No.
98-196) Distinguished by: In re Extradition of Orellana, 2000 WL
1036074 (S.D.N.Y. Jul 26, 2000) (No. 99CR.MISC.1 PG12KNF) [*760] COUNSEL: Richard J. Beada, Santa Monica, CA, and
William J. Genego, Santa Monica, CA, for petitioner-appellant. George S. Cardona, Assistant United States Attorney, Los Angeles,
CA, for respondent-appellee. Appeal from the United States District Court for the Central
District of California, James M. Ideman, District Judge, Presiding. D.C. No.
CV-95- 7593-JMI. JUDGES: Before: PREGERSON, NORRIS, and REINHARDT,
Circuit Judges. OPINION BY: WILLIAM A. NORRIS, Circuit Judge. On October 18, 1995, federal agents entered the Los Angeles office
of the law firm of White & Case, interrupted a deposition being given by
appellant Giancarlo Parretti and arrested him. The arrest was made pursuant to
a warrant issued that morning on the basis of allegations contained in a French
arrest warrant charging Parretti with extraditable crimes. After his arrest,
Parretti was held without bail pending a decision by the French government whether
to request his surrender at a later date. Parrettis appeal presents two constitutional questions:
First, did the warrant issued for Parrettis arrest violate the Fourth
Amendment? Second, did Parrettis detention without bail before his
extradition hearing [*761] violate the Due Process Clause of the Fifth
Amendment? I BACKGROUND In 1990, a corporation headed by Giancarlo Parretti, an Italian
citizen and resident, purchased MGM-United Artists for $1.3 billion. This
leveraged transaction, which resulted in the formation of MGM-Pathe
Communications Corporation, gave rise to a number of lawsuits. On October 9,
1995, Parretti entered the United States in order to answer charges of perjury
in connection with one of these suits in Delaware, and to attend his own
deposition in connection with another in Los Angeles. The following day, France
forwarded a diplomatic note to the Department of State requesting
Parrettis provisional arrest pursuant to Article
IV of the Treaty of Extradition between the United States and France, Jan. 6,
1909, U.S.–Fr., 22 U.S.T. 407, as amended, Feb. 12, 1970, T.I.A.S.
7075, so that he might be held in custody in case France decided to request his
surrender at a later date. Parretti was arrested pursuant to a warrant issued by United
States Magistrate Judge Joseph Reichmann on the basis of allegations contained
in a Complaint for Provisional Arrest Warrant sworn to on
information and belief by an assistant United States Attorney
(AUSA) for the Central District of California,
acting on behalf of the Government of France (the
Complaint). The AUSA alleged that Parretti had been charged
in an international arrest warrant issued in France on May 3, 1995, with
various crimes arising from his alleged looting of the French company Europe
Image Distribution (EID), one of MGM-Pathes subsidiaries; that each
of the offenses charged in the French arrest warrant [FN1] was an extraditable
offense under the treaty; and that France had requested Parrettis
provisional arrest under Article IV of the treaty. Article
IV provides for the arrest and detention of a fugitive
on
information
of the existence of
a warrant of
arrest and for the person provisionally arrested
to be held for up to 40 days pending a possible request that the fugitive be
extradited. At the time the AUSA filed the Complaint, France had not requested
Parrettis extradition. [FN2] FN1. As alleged in the Complaint, the French
arrest warrant charges Parretti with: (1) misuse of the assets of EID; (2)
forging documents and using them; (3) embezzlement from EID by false pretenses;
and (4) knowingly attesting to materially inaccurate facts, and knowingly
making use of such a false attestation. FN2. The AUSA stated in the Complaint,
I am informed through diplomatic channels that the Requesting State
will make a regular diplomatic request for the extradition of Parretti in conformity
with the treaty and will present the completed papers upon which the demand for
extradition is founded within 40 days from the date of commitment, as required
by Article IV of the Treaty. Complaint ¶ 10. The sole basis for the allegations of wrongdoing made in the
AUSAs Complaint is the French arrest warrant. In other words, the
AUSA simply alleges on information and belief that the French arrest warrant
contains various allegations of wrongdoing by Parretti. Complaint ¶ 2
(stating that the French warrant and the diplomatic note requesting
Parrettis arrest provide the basis for the statements set
forth below), ¶ 5 (The arrest warrant alleges the
following facts in support of the charges
.). The French
arrest warrant itself was not attached to the Complaint, nor were any
affidavits or other competent evidence. Parretti argued at his bail hearing and on his habeas petition to
the district court that the warrant issued by Judge Reichmann violated the
Fourth Amendment for two independent reasons. First, Parretti argued that the
warrant was issued without probable cause because it was not based on evidence
that Parretti had committed any of the offenses with which he was charged in
the French arrest warrant. Parretti put it this way: [I]f you look at the language in the
Complaint, what they say, is that based on the French warrant, we are stating
the following. All that they are doing is regurgitating to the court what they
have obtained from the warrant from France. We dont know what the
investigating magistrate based those statements on. [*762] ER at 150; RT at 7 (tr. of hrg on Pet. for Habeas
Corpus). In other words, Parretti argued that the record showed only that the
United States warrant was based solely upon the existence of the French arrest
warrant, and that the government made no showing to Judge Reichmann that the
allegations contained in the French arrest warrant were based upon competent
evidence. In response, the government argued below that Judge
Reichmanns determination of probable cause was supported by
specific facts that are set forth in the Complaint, relaying facts that were
conveyed to the United States by France. ER at 23 (unofficial tr. of
Nov. 1, 1995, hrg on renewed bail application). The AUSA acknowledged
that the conveying of the facts was done in an informal way, that it
wasnt in a way of formal evidence, but argued that
theres nothing that prohibits that. Id. (unofficial tr. of
Nov. 1, 1995, hrg on renewed bail application). In denying Parrettis habeas petition, the district court
ruled that the arrest warrant issued by Judge Reichmann was valid because the
Complaint alleges more than sufficient facts, with more than
sufficient particularity, to establish probable cause to believe that Parretti
committed the offenses with which he is charged in France. Findings
of Fact, Conclusions of Law and Order denying application for bail and habeas
corpus petition, filed Nov. 15, 1995, at 5-6; E.R. exh. 11, at 5-6. In
rejecting Parrettis argument that the government had failed to make
any evidentiary showing that he had committed a crime, the district court said
at the hearing, Thats what they got [sic] 40 days to clear
up and to make a presentation in their extradition proceedings. ER at
150-51; RT at 7-8. As a second, alternative basis for challenging the validity of his
arrest, Parretti argued that his arrest warrant violated the Fourth Amendment
because Judge Reichmann did not make a probable cause determination. According
to Parretti, Judge Reichmann effectively declared that a probable cause
determination was not required for a warrant for a provisional
arrest pursuant to an extradition treaty. In response to
Parrettis claim that his detention violated the Fourth Amendment,
Judge Reichmann ruled that the governments recital of the allegations
of the French arrest warrant was sufficient at this stage.
ER at 29 (unofficial tr. of Nov. 1, 1995, hrg on renewed bail app.).
In other words, Judge Reichmann held that the allegations of the French arrest
warrant, as set forth in the Complaint, provided a sufficient basis for the
issuance of a warrant for Parrettis provisional
arrest, even though Judge Reichmann acknowledged that these naked
allegations might not be sufficient to establish probable cause at the
extradition hearing itself. Id. at 26, 29 (as far as what has to
be done when we get to the remainder of the papers, thats another
matter; I dont have all the papers, so I
cant really make a very strong determination as [to] the possibility
of success [at the extradition hearing].). Parretti also cited the
language of the warrant, which did not even purport to find that
there was probable cause, but instead commanded the arrest
of Parretti to have him answer a complaint charging him with being
subject to extradition to France pursuant to a warrant of arrest issued in that
country
Mem.Supp.Pet. Habeas Corpus, at 14; ER
at 57. In response to Parrettis claim that Judge Reichmann
issued the arrest warrant without making a probable cause determination, the
government argued to the district court a novel Fourth Amendment theory: A
warrant for a provisional arrest in an extradition case may
be issued without an evidentiary showing that the accused has committed a
crime. The government argued that a provisional arrest warrant may issue on a
showing that the fugitive has been duly charged with an extraditable crime, as
distinguished from an evidentiary showing of probable cause to believe he
committed an extraditable crime. Appellees Brief at 36 n. 10. Thus,
the government asks us to read into the Warrant Clause of the Fourth Amendment
a standard of probable cause that would vary depending on whether the purpose
of the arrest is to hold an accused to answer charges of a foreign government
or to answer domestic charges. [*763]
In support of this position, the government argues
that the Secretary of States decision to enforce an extradition
treaty authorizing provisional arrest upon information of a foreign warrant
reflects the Secretarys determination that the foreign
nations charging procedures are sufficiently reliable to satisfy the
probable cause requirement of the Fourth Amendment. The government argues that
under the rule of judicial non-inquiry, the federal courts must defer to the
Secretarys decision and accept at face value the foreign warrant as a
basis for issuing a warrant for provisional arrest. [FN3]
The district court did not address this argument because it held that the
existence of the French arrest warrant was a sufficient basis for issuing a
warrant for Parrettis arrest. [FN4] FN3. Parretti contends that this argument was
waived because it was not made until the government filed a Petition for
Rehearing following the issuance of our order releasing Parretti. Resp. to Pet.
for Rehg, at 7 n. 6. The governments judicial non-inquiry
argument, however, is implicit in the governments theory that a
warrant for provisional arrest pursuant to an extradition
treaty may issue on a showing that the accused is duly charged by the
requesting country. This theory was presented to the district court, Resp. to
Pet. for Habeas Corpus, at 46; ER at 122, and to the motions panel, Appellees
br. at 36 n. 10. Accordingly, the governments judicial non-inquiry
argument is not waived. FN4. The district court framed the question
raised by this argument by the government as whether the standard to
be applied is probable cause that Parretti will be found extraditable on the
French charges, or probable cause that he is guilty of those charges.
Findings of Fact, Conclusions of Law & Order Den. Application for Bail
& Habeas Corpus Pet., filed Nov. 16, 1995, at 9; ER at exh. 11. The district court also rejected Parrettis bail
application, even though it found that Parretti was not a flight risk. In
rejecting the governments request for a finding that Parretti was a
flight risk, the district court said, I cant say that
hes a flight risk
. I dont see him as a flight
risk. Reporters Tr. of Procgs, Nov. 9, 1995. The district court noted that under the doctrine of
special circumstances that has its origins in Wright v.
Henkel,
190 U.S. 40, 63, 23
S.Ct. 781, 787, 47 L.Ed. 948 (1903), bail in extradition cases is
only granted under exceptional circumstances. ER at 148.
Parretti argued that four special circumstances existed warranting bail:
probable success in defeating the French extradition request on the merits, see
Salerno v. United States, 878 F.2d 317, 317 (9th Cir.1989); his need to
participate in civil litigation, see United States v. Williams, 611 F.2d 914, 915
(1st Cir.1979); his deteriorating medical condition, see Salerno, 878 F.2d at
317; and Frances deliberate refusal to make any effort to extradite
him from Italy for over five months after the French arrest warrant issued,
which allegedly demonstrated that France did not need the 40 day period
authorized by the treaty for provisional arrests to prepare
its extradition request. The district court rejected all of the special circumstances
asserted by Parretti. It found that Parretti was likely to be found
extraditable, that his continued detention was not interfering with his
participation in his civil lawsuits, and that he was receiving more than
adequate medical treatment while incarcerated. Findings of Fact, Conclusions of
Law, & Order Denying Application for Bail and Habeas Corpus Pet.,
¶¶ 12-13, 17. The district court also held that the fact that
France did not seek Parrettis extradition from Italy was not a
special circumstance as a matter of law. Because the requirements of the
special circumstances doctrine were not met, the district
court declined to release Parretti on bail. After the district court denied Parrettis application
for bail and petition for a writ of habeas corpus, Parretti filed a motion
under Ninth Circuit Rule 27-3 seeking emergency review. [FN5] We granted his
motion and ordered him released on two independent grounds: first, that his
arrest violated the Fourth Amendment because the government had failed to make
the required evidentiary showing of probable cause to believe Parretti had
committed an extraditable crime; and second, that his detention without bail
violated [*764] the Due
Process Clause of the Fifth Amendment in light of the district courts
finding that he was not a flight risk. United States v. Parretti, No. 95-56586 (9th Cir. Nov. 21, 1995) (order granting
release from custody). [FN6] We now set forth in greater detail the reasons
underlying our original order. [FN7] FN5. Parretti also filed a notice of appeal.
After we issued our order that Parretti be released from custody, Parretti
moved to consolidate the merits review with the motion proceedings. The
government did not oppose the motion to consolidate, and we granted it. FN6. At the time we issued our Order, Parretti
had been incarcerated for 33 days. Eight days later, on November 29, 1995, the
government filed with the magistrate judge a formal request for
Parrettis extradition. In re Extradition of Parretti, No. 95-CV-8163
(C.D. Cal. filed Nov. 29, 1995). On May 10, 1996, Parretti appeared at his
extradition hearing. Id. On May 31, 1996, Parretti was certified extraditable on
all charges. Id. At that point, the magistrate judge was free to revisit the issue
of bail and to make a new determination whether Parretti posed a flight risk.
Id.
(May 31, 1996) (minute order correctly stating that [t]he Magistrate
Judge is of the opinion that the Ninth Circuits Nov. 21, 1995 Order
releasing Mr. Parretti does not preclude committing Mr. Parretti to the custody
of the Marshall, to be confined without bail
now that Mr. Parretti
has been determined to be extraditable). Nonetheless, the magistrate
judge released Parretti on bail, with the governments stipulated
consent, pending the filing of a petition for a writ of habeas corpus by July
1, 1996. Id. (order staying surrender of Parretti). Parretti filed a petition
on July 1, 1996. See In re Extradition of Parretti, No. 96-4572-ghksh (C.D.Cal.
filed July 1, 1996). Although the parties have not advised us of the status of
that related, but separate proceeding, the Central District docket sheet shows
that an order was entered on March 12, 1997, dismissing the habeas petition
with prejudice on the basis of the fugitive disentitlement doctrine. FN7. As stated in note 3 supra, the government filed
a Petition for Rehearing after our order was issued. The government asked us to
consider the Petition only if we decided to publish our order or issue a
published opinion. Because the government filed the Petition before the filing
of this opinion, we denied it without prejudice. Nonetheless, we have
considered the arguments raised in the governments Petition for
Rehearing and in Parrettis Response thereto. II PROBABLE CAUSE The Warrant Clause of the Fourth Amendment provides:
[N]o Warrants shall issue, but upon probable cause, supported by Oath
or affirmation
. U.S. Const. amend. IV. The Fourth Amendment
protects all persons from arbitrary arrests, including persons arrested
pursuant to treaties. Reid v. Covert, 354 U.S. 1, 16-18, 77 S.Ct.
1222, 1230-31, 1 L.Ed.2d 1148 (1957) (plurality opinion); In re Aircrash, 684 F.2d 1301, 1308-09
(9th Cir.1982); Plaster v. United States, 720 F.2d 340, 348 (4th Cir.1983) (the
government must, in carrying out its treaty obligations, conform its
conduct to the requirements of the Constitution). Probable cause to
arrest exists when there is evidence that would warrant a
man of reasonable caution in the belief that a [crime] has been
committed by the accused. Wong Sun v. United States, 371 U.S. 471, 479, 83
S.Ct. 407, 412- 13, 9 L.Ed.2d 441 (1963). We review de novo whether there was
probable cause for the issuance of the warrant for Parrettis arrest. Ornelas
v. United States, 517 U.S. 690,
, 116 S.Ct. 1657, 1659, 134 L.Ed.2d 911 (1996); United
States v. McConney, 728 F.2d 1195, 1203 (9th Cir.) (en banc). A The Rule of Judicial
Non-Inquiry Invoking the rule of judicial non-inquiry, the government argues
that the warrant for Parrettis arrest should be upheld without an
independent judicial determination of probable cause. The government asks us
not to look behind the foreign warrant for some
factual showing beyond the existence of a foreign charging document
setting forth an extraditable offense, Pet. for Rehg at 9,
but to accept the foreign warrant at face value as satisfying the probable
cause requirement of the Warrant Clause. As the government puts it, because the
treaty at issue here authorizes provisional arrest upon information
of a
warrant of arrest [, t]his must be accepted as reflecting a determination by
both the Secretary of State and the Congress, which approved the treaty, that
Frances charging procedures are sufficiently reliable to justify
according their warrants faith and credit sufficient to support an arrest and a
limited period of detention. Pet. for rehg at 8 n. 8. In arguing that an independent judicial determination of probable
cause is not required, [*765] the government asks us to endorse
an unprecedented extension of the rule of judicial non-inquiry to a justiciable
case or controversy. Heretofore, the rule of judicial non-inquiry has been
applied exclusively to the non-justiciable issues raised by challenges to the
general fairness of a requesting nations legal or penal system,
issues that are beyond the purview of Article III judicial power. For instance,
we have refused to decide whether the absence of a statute of limitations in Australia
violated due process of law. Kamrin v. United States, 725 F.2d 1225,
1227-28 (9th Cir.1984). Similarly, in Arnbjornsdottir-Mendler v. United
States,
721 F.2d 679, 683 (9th Cir.1983), we affirmed a district courts
refusal to decide in an extradition proceeding whether the fugitive would be
subjected to brutal and unfair treatment upon her return to the requesting
nation, recognizing that [a]n extraditing court will generally not
inquire into the procedures or treatment which await a surrendered fugitive in
the requesting country. [FN8] See also Glucksman v. Henkel, 221 U.S. 508, 512, 31
S.Ct. 704, 705, 55 L.Ed. 830 (1911) (We are bound by the existence of
an extradition treaty to assume that the trial will be fair.); Escobedo
v. United States, 623 F.2d 1098, 1107 (5th Cir.1980) (refusing to decide whether
accused might be tortured or killed if surrendered to the requesting nation
because this argument raised an issue that properly falls within the
exclusive purview of the executive branch) (quoting Sindona v.
Grant,
619 F.2d 167, 174
(2d Cir.1980)); Garcia-Guillern v. U.S., 450 F.2d 1189, 1192 (5th Cir.1971)
(refusing to inquire into the procedure that would await accused upon his
return to the requesting nation because [s]uch matters, so far as
they may be pertinent, are left to the State Department, which ultimately will
determine whether the [accused] will be surrendered). FN8. Although neither our court nor any other
has ever denied extradition based on the fugitives anticipated
treatment in the requesting country, we have implicitly suggested the
possibility of some judicial inquiry into due process issues by qualifying our
determinations of extraditability with the observation that the accused failed
to make a showing of possible mistreatment. See, e.g., Arnbjornsdottir-Mendler, 721 F.2d at 683
(upholding the accuseds extradition [i]n light of
Icelands outstanding human rights record and [the accuseds]
uncorroborated prediction or maltreatment); Emami v. District
Court,
834 F.2d 1444, 1453 (9th Cir.1987) (rejecting accuseds argument that
he should not be extradited due to his ill health because court-appointed
physician found no serious health condition and requesting country indicated it
would provide adequate medical care). Other courts have also suggested this
possibility. E.g., Gallina v. Fraser, 278 F.2d 77, 79 (2d Cir.1960) (We
can imagine situations where the relator, upon extradition, would be subject to
procedures or punishment so antipathetic to a federal courts sense of
decency as to require reexamination of [the general principle of judicial
non-inquiry].); see also Jacques Semmelman, Federal Courts,
the Constitution, and the Rule of Non-Inquiry in International Extradition Proceedings,
76 Cornell L.Rev. 1198, 1218 (1991) (citing cases). In this case, the government invites us to extend the rule of
judicial non-inquiry to the paradigmatic justiciable question whether an arrest
warrant has been issued in violation of the Fourth Amendment. We respectfully
decline the governments invitation. The rule of judicial non-inquiry
was not designed to relieve the federal courts of our unflagging
obligation [FN9] to decide actual cases or controversies that come before
us. FN9. Colorado River Water Conservation
Dist. v. United States, 424 U.S. 800, 821, 96 S.Ct. 1236, 1248, 47 L.Ed.2d 483
(1976). The government cites no case, and we have found none, in which the
rule of judicial non-inquiry is invoked to relieve a court of its obligation to
decide a justiciable case or controversy. All of the cases cited by the
government involve the question of the general fairness of a foreign
countrys legal and penal systems. See Glucksman, 221 U.S. at 512, 31
S.Ct. at 705; Quinn v. Robinson, 783 F.2d 776, 789-90
(9th Cir.1986) (Secretary of State has sole discretion
to
refuse extradition on humanitarian grounds because of the procedures or
treatment that await the surrendered fugitive); Kamrin, 725 F.2d at 1228; Holmes
v. Laird, 459 F.2d 1211, 1219 (D.C.Cir.1972) ( surrender of an
American citizen required by treaty for purposes of a foreign criminal
proceeding is unimpaired by an absence in the foreign judicial system of
safeguards in all respects equivalent to those constitutionally enjoined upon
American trials). [*766] [FN10] FN10. See also Semmelman, supra note 8, at 1214-21
(citing cases). In citing these cases, the government overlooks the critical
distinction between justiciable and non-justiciable controversies. For example,
the government cites Quinn, 783 F.2d at 776, but fails to recognize that
this distinction is pivotal to Quinn s holding. In Quinn, we refused to invoke
the rule of judicial non-inquiry because the question presented—the
availability of the political offense exception to bar
extraditioninvolves a fact-specific case or controversy typically
decided by the courts. We noted that resolution of the political offense
question required us to determine simply whether an uprising was in
progress [at the time of the alleged offense]. The existence of a
violent political uprising is an issue of past fact: either there was demonstrable,
violent activity tied to political causes or there was
not. Id. at 788 (internal quotation omitted). In
holding that this question, although a difficult one, was capable of resolution
by the courts, we said: [A]s with other complex legal problems, the
basic standards that guide us in deciding whether the exception applies are
refined on a case-by-case basis as new situations arise
. We fail to
see how the judicial construction of [the political offense exception and its]
application
to the facts of a given case, differs from all other
judicial decisionmaking. Id. at 790. Every other circuit that has
addressed the justiciability of the political offense exception has recognized
the distinction between the fact-specific inquiry it involves and the
generalized policy-like determinations that would be necessary to determine the
general fairness of a countrys legal and penal systems. For this
reason, each of these circuits has held that the questions the political offense
exception raises are properly considered by the courts. E.g., In re Mackin, 668
F.2d 122, 137 (2d Cir.1981); Eain v. Wilkes, 641 F.2d 504, 517 (7th
Cir.1981). Although courts have declined to apply the judicial non-inquiry
doctrine to the political offense exception, the doctrine has been invoked to
refrain from deciding the question of subterfuge, i.e., the
question whether the motive of a requesting country in seeking extradition is
not to prosecute the fugitive for extraditable crimes, but for non-extraditable
political crimes. Explaining why courts refrain from deciding the question of
subterfuge in deference to the Secretary of State, the Seventh
Circuit has said: [E]valuations of the motivation behind a request
for extradition so clearly implicate the conduct of this countrys
foreign relations as to be a matter better left to the Executives
discretion. Eain, 641 F.2d at 516. [FN11] The Seventh Circuit
went on to explain why the doctrine of judicial non-inquiry is invoked in a
case involving the subterfuge question but not in a case involving the
political offense exception: FN11. See also Garcia-Guillern v. United
States,
450 F.2d 1189, 1192 (5th Cir.1971) (With respect to
appellants contention that upon his return to Peru he will be charged
with, and tried for, other crimes distinct and unrelated to the offense with
which he is now charged, we are not at liberty to speculate that the Republic
of Peru will not recognize and live up to the obligations subsisting between it
and the United States.). A judicial decision
that
establishes an American position on the honesty and integrity of a requesting
foreign government [i.e., whether there is subterfuge] is distinguishable from
a judicial determination that certain events occurred and that specific acts of
an individual were or were not connected to those events [i.e., whether the
political offense exception to extradition applies]. The latter type of
decision simply categorizes the facts involved in a given case and then
construes the treaty to determine whether or not the facts fall within its
ambit. [But] the Judiciarys deference to the Executive on the
subterfuge question is appropriate since political
questions would permeate any judgment on the motivation of a foreign
government. Eain, 641 F.2d at 516-17. In support of its argument that we should invoke the doctrine of
judicial non-inquiry and not look behind the foreign
warrant, the government also cites Michigan v. Doran, 439 U.S. 282, 99 S.Ct.
530, 58 L.Ed.2d 521 (1978), which held that an asylum state must give full
faith and credit to a requesting states probable cause determination.
[*767] In domestic
extradition cases, a governors grant of extradition is prima facie
evidence that the constitutional and statutory requirements have been met.
Id.
at 289, 99 S.Ct. at 535-36. Doran, however, is inapposite because it is a
domestic interstate extradition case and our Constitution requires courts to
give full faith and credit to the judicial proceedings of the demanding state.
U.S. Const. art. IV, § 2, cl. 2 (A Person charged in any
State with Treason, Felony, or other Crime, who shall flee from Justice, and be
found in another State, shall on Demand of the executive Authority of the State
from which he fled, be delivered up, to be removed to the State having
Jurisdiction of the Crime.). This constitutional requirement,
however, is grounded in the presumption that the judicial proceedings of every
state comport with the requirements of the Constitution. See Doran, 439 U.S. at 290, 99
S.Ct. at 536 (Under Art. IV, § 2, the courts of the asylum
state are bound to accept the demanding states judicial determination
since the proceedings of the demanding state are clothed with the traditional
presumption of regularity.). Because foreign governments are not
bound by the Constitution, we decline to invoke the full faith and credit
clause of the Constitution to clothe foreign arrest warrants with a presumption
of compliance with the Fourth Amendment. Were we to accept the
governments invitation to extend the full faith and credit clause in
this way, we would be effectively amending Article IV of the Constitution. It strikes us as curious that the government asks us to give full
faith and credit to a foreign charging document at the provisional arrest stage
even though we do not give it full faith and credit for probable cause purposes
at the extradition hearing stage. At extradition hearings, the committing
magistrate is called upon to make an independent determination
whether there is competent evidence to justify holding the accused to
await trial. Collins v. Loisel, 259 U.S. 309, 316, 42
S.Ct. 469, 472, 66 L.Ed. 956 (1922). In other words, the committing magistrate
must make an independent judicial determination whether a factual basis exists
for believing that the accused person committed an extraditable crime. See,
e.g., Glucksman, 221 U.S. at 512, 31 S.Ct. at 705 (a man is not to be
sent from the country merely upon demand or surmise,
there [must be]
presented
such reasonable ground to suppose him guilty as to make it
proper that he be should be tried); Quinn, 783 F.2d at 783
(under doctrine of dual criminality, an accused person can be extradited only
if there is evidence that would justify committing the accused for trial under
the law of the nation requesting extradition if the offense had been committed
within the territory of that nation); 18 U.S.C. § 3184 (before an
accused may be certified extraditable, court must hear evidence of criminality
and determine whether it suffices to sustain the charge under the provisions of
the treaty). Just as we do not accept the foreign charging document as a substitute
for the customary showing of probable cause at the extradition hearing, we see
no reason to accept it as a substitute for a judicial determination of probable
cause at the provisional arrest stage. In sum, we reject the governments notion that our courts
should invoke the rule of judicial non-inquiry to abstain from deciding whether
the warrant for Parrettis arrest was based upon competent evidence
that he committed an extraditable crime. We fail to see how [the
question whether the warrant for Parrettis arrest was issued in
violation of the Fourth Amendment] differs from all other judicial
decisionmaking. Quinn, 783 F.2d at 790. B The
Governments Theory of a Provisional Arrest
Exception to the Warrant Clause We now turn to the merits of the governments argument
that the Fourth Amendment permits an arrest warrant to be issued on the basis
of a foreign arrest warrant by a treaty partner, without an independent
judicial determination of probable cause based upon competent evidence. This
argument raises a constitutional question of first impression: May a person be
provisionally arrested and held for 40 days on a showing
that the person has been charged by a foreign government with having committed
an [*768] extraditable crime? In other words, may a warrant for
provisional arrest issue without an evidentiary showing of probable cause to
believe an extraditable crime has been committed? Although we know of no case in which this question has been
decided, the Second Circuit has raised grave questions concerning the
constitutional propriety of issuing an arrest warrant solely on the
basis of the existence of a foreign arrest warrant. Caltagirone v. Grant, 629 F.2d 739, 748
(2d Cir.1980); see also United States v. Williams, 480 F.Supp. 482, 485
(D.Mass.) (expressing doubt as to constitutionality of 30-day provisional
detention based solely on information that the fugitive had been charged with
an extraditable crime), revd on other grounds, 611 F.2d 914 (1st
Cir.1979). 1. The necessity of deciding the Fourth Amendment question. In Caltagirone, the Second Circuit avoided the
constitutional question by interpreting the treaty with Italy as requiring a
full evidentiary showing of probable cause to believe that an extraditable
crime had been committed, and then holding that the warrant for
Caltagirones provisional arrest, which was issued
solely on the basis of the existence of an Italian arrest warrant, violated the
treaty because it was issued without probable cause. Caltagirone, 629 F.2d at 742, 747
(The overwhelming evidence that Article XIII [of the treaty] itself
prohibits provisional arrest without probable cause relieves us of the need to
examine the constitutional propriety of a treaty that purports to permit such
arrests.). The language in the Italian treaty that the Second Circuit
interpreted as requiring probable cause for a provisional arrest warrant was
the following: In case of urgency a Contracting
Party may apply for the provisional arrest of the person sought pending the
presentation of the request for extradition through the diplomatic
channel
. The application shall contain a description of the person sought,
an indication of intention to request the extradition of the person sought and
a statement of the existence of a warrant of arrest
against that
person, and such further information, if any, as would be necessary to justify
the issue of a warrant of arrest had the offense been committed
in
the territory of the requested Party Caltagirone, 629 F.2d at 744 n. 9 (quoting Treaty of Extradition,
Jan. 18, 1973, U.S.–Italy, 26 U.S.T. 493) (emphasis added). In other
words, the Italian treaty provided for the issuance of a warrant for
provisional arrest only upon a showing of both the
existence of an arrest warrant and such further information as would
be necessary to justify the issue of the warrant of arrest had the offense been
committed in the United States. Id. at 745. The Second
Circuit interpreted this further information language as
requiring a showing of probable cause in addition to the existence of an arrest
warrant issued by the requesting state. Id. at 744 (Had the offense
[the fugitive was charged with] been committed in the United States, a showing
of probable cause would have been necessary to justify the issuance of an
arrest warrant.). Because similar further information language
was also included in the extradition treaty with Spain at issue in Sahagian,
the Seventh Circuit was also able to avoid the Fourth Amendment question.
Article XI of the treaty with Spain provided: In case of urgency a Contracting Party
may apply to the other Contracting Party for the provisional arrest of the
person sought
. The application shall contain a description of the
person sought, an indication of intention to request the extradition of the
person sought and a statement of the existence of a warrant of arrest
and such further information, if any, as may be required by the
requested Party. Sahagian v. U.S., 864 F.2d 509, 511 (7th Cir.1988) (emphasis
added). As the Second Circuit had done in Caltagirone, the Seventh Circuit
interpreted the further information language in the treaty
with Spain as requiring a showing of probable cause for the issuance of a
warrant for provisional arrest in addition to the existence of the Spanish
arrest warrant. Id. at 513 (As contemplated by Article XI [of the Spanish
treaty], the [*769] federal officials obtained Sahagians
provisional arrest and detention pending extradition after obtaining an arrest
warrant from a magistrate based upon a showing of probable cause.).
In this way, the Seventh Circuit also avoided the Fourth Amendment question. Id. (the
procedures set forth in Article XI did not deprive Sahagian of any
constitutional rights). In keeping with time-honored precepts of judicial restraint,
[FN12] we too could avoid the constitutional question raised by the
governments argument if the treaty with France, like the treaty with
Italy considered in Caltagirone and the treaty with Spain considered in Sahagian, could fairly be
interpreted as requiring a showing of probable cause in addition to the
existence of a foreign arrest warrant. However, neither the article authorizing
provisional arrests, nor any other provision of the French treaty can fairly be
so interpreted. FN12. See, e.g., Ashwander v. Tennessee
Valley Auth., 297 U.S.
288, 348, 56 S.Ct. 466, 483, 80 L.Ed. 688 (1936) (Brandeis, J., concurring)
(When the validity of an act of the Congress is drawn in question,
and even if a serious doubt of constitutionality is raised, it is a cardinal
principle that this Court will first ascertain whether a construction of the
statute is fairly possible by which the question may be avoided.) (quoting
Crowell v. Benson, 285 U.S. 22,
62, 52 S.Ct. 285, 296-97, 76 L.Ed. 598 (1932)). Article IV of the French treaty provides: The arrest and detention of a fugitive may be
applied for on information, even by telegraph, of the existence of a judgment
of conviction or of a warrant of arrest.
[I]n case of urgency, the
application for arrest and detention may be addressed directly to the competent
magistrate in conformity to the statutes in force.
[T]he person provisionally arrested
shall be released, unless within forty days
from the date of
commitment in the United States, the formal requisition for surrender with the
documentary proofs herein before prescribed be made as aforesaid by the
diplomatic agent of the demanding government or, in his absence, by a consular
officer thereof. Extradition Treaty, Jan. 6, 1909, U.S.–Fr., art. IV, 22
U.S.T. 407, as amended, Feb. 12, 1970, T.I.A.S. 7075 (emphasis added). Thus, in
stark contrast to the treaties with Italy and Spain, Article IV of the treaty
with France contains no further information requirement,
nor any other language that might fairly be interpreted as requiring a showing
of probable cause as required by the Fourth Amendment. The language of Article
IV unambiguously permits the issuance of an arrest warrant solely on the basis
of the existence of a foreign warrant of arrest. The only other language of the French treaty that pertains to the
arrest of fugitives, found in Article I, [FN13] also cannot fairly be
interpreted as requiring probable cause for provisional arrests. Article I
governs when the United States and France must deliver up
fugitives to each other. Deliver up plainly means the
actual act of surrendering the fugitive, and Article Is requirement
of a showing of probable cause simply embodies the well-established principle
that the committing magistrate must make an independent determination of
probable cause before a person may be extradited. See 18 U.S.C. § 3184
(court must hear and consider evidence of criminality before fugitive may be
certified extraditable); Collins v. Loisel, 259 U.S. 309, 314-15, 42
S.Ct. 469, 471-72, 66 L.Ed. 956 (1922); Glucksman v. Henkel, 221 U.S. 508, 512,
31 S.Ct. 704, 705, 55 L.Ed. 830 (1911). FN13. Article I provides: The Government of the United States and the
Government of France mutually agree to deliver up persons who, having been
charged with or convicted of any of the crimes or offences specified in the
following article, committed within the jurisdiction of one of the contracting
Parties, shall seek an asylum or be found within the territories of the other:
Provided that this shall only be done upon such evidence of criminality as,
according to the laws of the place where the fugitive or person so charged
shall be found, would justify his or her apprehension and commitment for trial
if the crime or offence had been there committed. Extradition Treaty, Jan. 6, 1909,
U.S.–Fr., art. I, 22 U.S.T. 407, as amended, Feb. 12, 1970, T.I.A.S.
No. 7075. We could also avoid reaching the Fourth Amendment question by
interpreting [*770] 18 U.S.C. § 3184, [FN14] which authorizes the
issuance of arrest warrants pursuant to extradition treaties, as requiring a
traditional showing of probable cause. Unfortunately, like the French treaty,
§ 3184 cannot fairly be so read. Section 3184 allows an arrest warrant
to issue on the basis of a complaint
charging [the person
to be arrested] with having committed an extraditable offense. Once
again, all § 3184 requires is a showing that the fugitive has been
charged with committing an extraditable crime. Section 3184 does not require an
independent judicial determination of probable cause to believe the fugitive
committed the offense. Under § 3184, the purpose of the arrest is to
allow the fugitive to be brought before a magistrate so that the
evidence of criminality may [then] be heard and considered.
In other words, § 3184 contemplates an arrest so that thereafter, at
the extradition hearing, the evidence of criminality, i.e.,
the existence of probable cause, may be heard. FN14. Section 3184 provides: Whenever there is a treaty or convention for
extradition between the United States and any foreign government,
any judge
may, upon complaint made under oath, charging any person
found within his jurisdiction, with having committed within the jurisdiction of
an any such foreign government any of the crimes provided for by such treaty or
convention
issue his warrant for the apprehension of the person so
charged, that he may be brought before such
judge
to the
end that the evidence of criminality may be heard and considered
. If
on such hearing, he deems the evidence sufficient to sustain the charge under
the provisions of the proper treaty or convention
he shall certify
the same, together with a copy of all the testimony taken before him, to the
Secretary of State, that a warrant may issue upon the requisition of the proper
authorities of such foreign government, for the surrender of such person,
according to the stipulations of the treaty or convention; and he shall issue
his warrant for the commitment of the person so charged to the proper jail,
there to remain until such surrender shall be made. 18 U.S.C. § 3184. Article IV of the treaty provides in pertinent
part: In the United States, the application for
arrest and detention shall be addressed to the Secretary of State, who shall
deliver a warrant certifying that the application is regularly made and
requesting the competent authorities to take action thereon in conformity to
statute. Extradition Treaty, Jan. 6, 1909,
U.S.–Fr., art. IV, 22 U.S.T. 407, as amended, Feb. 12, 1970, T.I.A.S.
7075 (emphasis added). In sum, neither the treaty with France nor § 3184 can
fairly be construed as requiring a traditional showing of probable cause for
the issuance of a warrant for provisional arrest. Nor can we avoid the Fourth
Amendment question presented by Parrettis appeal by finding that a
showing of probable cause has in fact been made. See In re Russell, 805 F.2d 1215, 1217
(5th Cir.1986) (Assuming without deciding that the Treaty requires a
showing of probable cause to support a provisional arrest
we agree
with the district court that the magistrate had enough evidence before him to
show probable cause to detain [the fugitive].). [FN15] Just as in Caltagirone, 629 F.2d at 742-43,
the government, in relying solely on the existence of the French arrest
warrant, has failed to satisfy the probable cause requirement of the Warrant Clause
of the Fourth Amendment. See Part II-C infra. FN15. See also Spatola v. United States, 741 F.Supp. 362, 366
(E.D.N.Y.1990) (noting that magistrate had avoided the constitutional question
raised by defendants Fourth Amendment challenge to the warrant for
his provisional arrest by finding probable cause). We are therefore obligated to reach the constitutional question
that the Second, Fifth, and Seventh Circuits managed to avoid in Caltagirone, Russell, and Sahagian. Parrettis appeal
squarely presents the question whether the Fourth Amendment permits the
issuance of a warrant for a provisional arrest based solely
on the existence of a warrant of arrest (as the French
treaty puts it) issued by a treaty partner. 2. The merits of the Fourth Amendment question. We now turn to the merits of the governments argument
that an arrest warrant may be issued in compliance with the Fourth Amendment
solely on the basis of the existence of an arrest warrant issued by a treaty
partner charging the fugitive with having committed extraditable crimes.
Although the Second Circuit avoided the constitutional question that now
confronts us, it nonetheless expressed grave concerns
[*771] about substituting
a foreign arrest warrant charging a fugitive with a crime for an independent
judicial determination of probable cause to believe the fugitive had committed
the crime. Caltagirone, 629 F.2d at 748. Undaunted by the concerns expressed not
only in Caltagirone, but in Sahagian and Russell as well, the
government once again presses its argument that a fugitive may be
provisionally arrested and detained for up to 40 days
without an evidentiary showing of probable cause. [FN16] FN16. In Caltagirone, the Second Circuit
warned that a fugitive could, in fact, be detained indefinitely without an
independent judicial determination of probable cause because the requesting
country could renew over and over again its request for provisional arrest based
solely on the existence of the foreign arrest warrant: In Collins v. Loisel, the Supreme Court
held that an extradition proceeding which ends in the relators
release from custody does not bar a subsequent extradition demand by the
requesting state on the same charge
. [I]n the Governments
view, a foreign state could apply for, and the Government could effect, the
unlimited detention of Caltagirone by stringing together an infinite strand of
forty-five day provisional arrests, all without a judicial determination of
probable cause
. Caltagirone, 629 F.2d at 747-48
(citation omitted). The government fails to give us any cogent reason why the Fourth
Amendment should be interpreted to allow the arrest of an individual
provisionally for 40 days for treaty enforcement purposes
without the customary judicial determination of probable cause based upon
competent evidence. The only reason the government offers for treating such
provisional arrests differently from all other arrests is
the limited purpose of provisional arrest, which is to hold an
individual charged with extraditable foreign crimes for the limited time (here
40 days) granted the foreign government under the applicable treaty to gather
and transmit the evidence required for extradition. Pet. for
Rehg at 7. We cannot accept the governments argument. To repeat,
the Warrant Clause states, [N]o Warrants shall issue, but upon
probable cause, supported by Oath or affirmation
. U.S.
Const. amend. IV. The clarity of this language allows for no exceptions,
regardless whether the governments purpose in making the arrest is to
enforce treaties or our own domestic laws. See Vernonia Sch. Dist. v. Acton, 515 U.S. 646,
, 115 S.Ct. 2386, 2390, 132 L.Ed.2d 564 (1995)
(Warrants cannot be issued, of course, without the showing of
probable cause required by the Warrant Clause.). When a person is arrested
and detained, he is deprived of his most precious liberty, freedom from
restraint by the government. See Foucha v. Louisiana, 504 U.S. 71, 80, 112 S.Ct.
1780, 1785-86, 118 L.Ed.2d 437 (1992) (freedom from bodily restraint is at the
core of liberty). The severity of that deprivation does not
vary with the governments purpose in making the arrest. Even if it
did, the command of the Warrant Clause that no warrant issue but on probable
cause is immutable. Thus, we must reject the governments invitation to carve
out an exception to the probable cause requirement of the Warrant Clause for
provisional arrests pursuant to treaties. As noted above (supra at 1366), the Bill of
Rights limits the actions of government taken pursuant to treaties as well as
statutes. The Warrant Clause cannot be interpreted as allowing a lesser
standard for arrests made for the purpose of enforcing treaty obligations than
for arrests made for the purpose of enforcing our own domestic laws. It speaks
of probable cause as a necessary condition of every arrest warrant, regardless
of the governmental purpose served by the arrest. And it could be no other way. As authority for the proposition that a warrant for a
provisional arrest may issue without an independent
judicial determination of probable cause, the government cites United States
ex rel. Petrushansky v. Marasco, 325 F.2d 562, 564 (2d Cir.1963). We find
Marasco to be unpersuasive authority for three reasons. First, Marasco did not
address the constitutionality of the governments position. It simply
held, citing Fernandez v. Phillips, 268 U.S. 311, 45 S.Ct. 541,
69 L.Ed. 970 (1925), that a warrant for a provisional
arrest could be issued on the basis of a complaint alleging that
Marasco was charged with murder in Mexico. Second, Marasco s reliance
on Fernandez was misplaced. In Fernandez, the arrest warrant [*772] was issued
on the basis of an abundance of evidence that the fugitive had committed an
extraditable offense. 268 U.S. at 313, 45 S.Ct. at 543 (complaint included a
copy of the proceedings in the [foreign] court finding that the crime
was duly proved against the appellant and ordering his arrest, many pages of
evidence being appended) (emphasis added). Moreover, as the Second
Circuit itself pointed out in Caltagirone, Marasco cannot be understood
to have resolved the constitutional question because, not only does
the Fourth Amendment point seem[ ] not to have been raised
[in Marasco], but evidence establishing probable cause was
produced. Caltagirone, 629 F.2d at 748 n. 19. Finally, in Caltagirone, the Second Circuit
expressly declined to read Marasco in the way the government would have us read
itas authority for the proposition that a provisional
arrest warrant may be based on less than full probable cause. Id. The only other case the government cites for the proposition that
a warrant for provisional arrest may rest solely on the existence of a foreign
arrest warrant is United States v. Wiebe, 733 F.2d 549, 553-54 (8th Cir.1984).
In Wiebe, the Eighth Circuit plainly and correctly stated that a judicial
determination of probable cause to believe the fugitive committed an
extraditable crime was required for a provisional arrest warrant. Id. at 554 (A
magistrate may issue a provisional arrest warrant upon a showing in a sworn
complaint of a treaty of extradition between the United States and any foreign
country, and that the person sought committed in the foreign jurisdiction one
of the crimes set forth in the treaty.) (emphasis added). The Wiebe
court, however, then went astray and inexplicably upheld a warrant even though
it was based on a complaint that alleged only that Wiebe was charged with an
extraditable crime. In any event, to the extent that Wiebe may be read as
supporting the governments argument, we decline to follow it. The government also advances a practical reason for permitting
provisional arrest warrants to be issued without probable
cause. To require it to make a full showing of probable cause for a
provisional arrest, says the government, would be to
require the complete extradition showing at the provisional
arrest stage, which would make the later extradition hearing redundant. There
is no merit to this argument. We agree with the Second Circuit that
though the provisional arrest and extradition proceedings must differ
in some way, the difference does not lie in the requirement of probable
cause. Caltagirone, 629 F.2d at 747. The difference lies in the
fact that before extraditability may be certified, the fugitive is entitled to
a hearing, 18 U.S.C. § 3184, at which he may introduce evidence and
raise certain affirmative defenses, for instance that the crime charged is a
non-extraditable political offense. See Charlton v.
Kelly,
229 U.S. 447, 461-62,
33 S.Ct. 945, 949-50, 57 L.Ed. 1274 (1913); M. Cherif Bassiouni, International
Extradition: United States Law and Practice 545 (2d rev. ed. 1987) (listing
judicial determinations to be made at extradition hearing). The government also argues that to require a showing of probable
cause for the issuance of a provisional arrest warrant
would create a practical impossibility because in many
cases the arrest must be arranged with haste to avoid further
flight. Appellees Br. at 36 n. 10. The result, the
government argues, would ensure[ ] that in some instances
fugitives discovered in the United States will be able to flee before the
foreign country can prepare that evidentiary showing [of probable
cause]. Pet. for Rehg at 11. The government claims that
such a requirement would be logically inconsistent with the limited
purpose of provisional arrest, which is simply to hold an individual charged
with extraditable foreign crimes for the limited time (here 40 days) granted
the foreign government under the applicable treaty to gather and transmit the
evidence required for extradition. Id. at 7. This argument
is also devoid of merit. First, there is language contained in the extradition
treaties with Spain and Italy, but not contained in the treaty with France,
that requires full compliance with the probable cause requirement of the
Warrant Clause of the Fourth Amendment. See Part II-B-1 supra. The fact that the
government willingly included language requiring probable cause in other
extradition treaties belies its [*773] claim of practical
impossibility under the French treaty. Second, the hurdles created by
the Fourth Amendment in the path of treaty enforcement are no different from
the hurdles created for our own law enforcement officers, who are required to
marshal evidence of probable cause and present it to a magistrate no later than
48 hours after a warrantless arrest is made based upon exigency. See County
of Riverside v. McLaughlin, 500 U.S. 44, 57, 111 S.Ct. 1661, 1670, 114 L.Ed.2d 49
(1991). In the final analysis, the government is really arguing that its
interests in extradition cases are greater than its interests in domestic law
enforcement. [FN17] It asks us to do something in the former that we may not do
in the latter: issue an arrest warrant without probable cause. The clear and
emphatic command of the Warrant Clause—[N]o Warrants shall
issue, but upon probable cause, supported by Oath or affirmation
.—bars the issuance of a warrant without probable
cause. The Warrant Clause does not permit the issuance of a warrant based on a
determination that the governments interests in making the arrest
outweigh the liberty interests of the arrestee. Even in the exceptional case of
Terry v. Ohio, where the Court substituted a balancing test for the probable
cause requirement of the Fourth Amendment, the Court took pains to explain that
the case did not involve police conduct subject to the Warrant Clause
of the Fourth Amendment. 392 U.S. 1, 20, 88 S.Ct.
1868, 1879, 20 L.Ed.2d 889 (1968). FN17. We note that the interest asserted by
the government as a justification for not requiring an evidentiary showing of
probable cause as a basis for a provisional arrest warrant has been described
as tenuous by the only court previously to have considered
it. Caltagirone, 629 F.2d at 748 (We doubt that the tenuous
relationship between an application for provisional arrest and a subsequent
request for extradition implicates a sufficiently strong foreign policy
interest in the executive to justify such a departure from usual Fourth
Amendment protections.) (footnote omitted). Like the treaty with
Italy considered in Caltagirone, the treaty with France does not require that
a request for provisional arrest be followed by a formal request for
extradition. At the time Parretti was arrested for up to 40 days, France had
not yet requested his extradition and may never have done so. In conclusion, we hold that Article IV of the extradition treaty
with France violates the Fourth Amendment because it provides for the issuance
of provisional arrest warrants without independent judicial
determinations of probable cause to believe the fugitive committed the offenses
charged. [FN18] We also hold that 18 U.S.C. § 3184 violates the Fourth
Amendment to the extent it authorizes the issuance of provisional
arrest warrants without independent judicial determinations of
probable cause. We reject the governments argument that a warrant for
provisional arrest made pursuant to treaty may be
constitutionally issued on the existence of a foreign arrest warrant charging
the fugitive with having committed extraditable crimes, unsupported by
competent evidence of probable cause. FN18. Parretti also argues that his arrest was
invalid because 18 U.S.C. § 3184 is an unconstitutional violation of
the separation of powers doctrine. His argument is based on the reasoning in Lobue
v. Christopher, 893 F.Supp. 65 (D.D.C.1995), vacated on jurisdictional grounds,
82 F.3d 1081 (D.C.Cir.1996). According to Parretti, § 3184 authorizes
the executive branch to review the courts legal determinations of
extraditability and, through the Secretary of States decision whether
or not to surrender fugitives, in effect to affirm or reverse decisions made by
the judiciary. The government responds that § 3184 establishes a
dual key scheme, whereby the courts determine whether it is
lawful for the Executive branch to surrender the fugitive, and then the
Secretary of State decidesin light of a wide range of foreign policy
concernswhether to exercise his discretion to proceed with the
surrender. We need not decide the question whether § 3184 violates the
separation of powers doctrine because we invalidate the warrant for
Parrettis arrest on the ground that it violated the Fourth Amendment. C The
Governments Probable Cause Showing Parretti argues that the warrant for his arrest was issued on the
basis of no evidence whatsoever. He contends that it was issued solely on the
basis of the allegations of fact contained in the French arrest warrant, and
that allegations are not evidence. [FN19] Parretti asserts that there
is no [*774] indication at all as to the actual source of the
information that is presented, and without some indication
as to the underlying source of the information, there can be no determination
of probable cause
because the judicial officer cannot assess the reliability
of the information and there is no corroboration presented to establish
reliability. Appellants Brief at 22-23. FN19. Parretti argues that even if the
allegations had been backed up by trustworthy evidence, they could not
establish probable cause because (1) there is no conduct by Mr.
Parretti that is even alleged in the complaint, Appellants
Brief at 22, and (2) the allegations do not establish that extraditable crimes
have been committed, either because the facts as alleged do not amount to
criminal conduct or because the offenses charged do not meet the dual
criminality requirement for extradition. We need not reach these arguments
because we hold that the government has not satisfied the evidentiary
requirements for a determination of probable cause. In response, the government contends that the French official
should be presumed to be reliable and that his reliability cloaks his
allegations of fact with sufficient credibility to establish probable cause,
even in the absence of any showing of a basis for crediting whatever evidence
he relied upon. The question, however, is not whether we are willing to defer to
the Secretary of States judgment that the French investigating
magistrate is reliable. The question is whether the government has made the
evidentiary showing of probable cause required by the Fourth Amendment. Indeed,
the governments argument to the contrary seems to amount to a
suggestion that Congress has done the courts work for us: Congress
has provided in § 3184 that a showing that the fugitive has been
charged by a treaty partner with an extraditable crime satisfies the Fourth
Amendment. The government argues, in other words, that since Congress has
determined the charging document to be sufficient evidence of probable cause as
a matter of law, there is nothing left for the courts to decide. But Congress
has no power to prescribe a rule of decision directing the outcome of a case or
controversy. Since U.S. v. Klein, 80 U.S. (13 Wall.) 128, 20
L.Ed. 519 (1871), it has been firmly established that the principle of
separation of powers forbids Congress to prescribe a rule for the
decision of a cause or to deny to a court its prerogative to
give the effect to evidence which, in its own judgment, such evidence
should have. Id. at 146, 147. It is for the courts, not
Congress, to determine when the Fourth Amendments probable cause
requirement is satisfied. [FN20] FN20. Ordinarily, when a court asks whether a
statute has run afoul of the Klein doctrine, it must conduct another,
complementary inquiry and ask whether Congress has merely effected a change to
the law that underlies the dispute in question, rather than attempting to
prescribe a rule of decision for that dispute. See Pennsylvania v. Wheeling
Bridge Company, 59 U.S. (18
How.) 421, 429-30, 15 L.Ed. 435 (1855); Klein, 80 U.S. (13 Wall.)
at 147 (discussing Wheeling Bridge, distinguishing unconstitutional attempt to
prescribe rule of decision from situation where new circumstances
have been created by legislation). In this case, however, such an
inquiry is unnecessary. Congress has no power to modify the Fourth Amendment by
legislative action. Turning to that inquiry, we agree with Parretti that the
government failed to make the evidentiary showing required to obtain a warrant
for his arrest. In applying for the warrant to arrest Parretti, all the
government presented were the French magistrates allegations of fact.
According to the information and belief allegations of the AUSAs
Complaint, the facts alleged in the French arrest warrant were obtained from
investigations by unidentified French authorities and from
unidentified experts, shareholders, and employees of EID. Complaint
¶¶ 5(g)(3), 5(h)(3), 5(k). The government presented no
affidavits, deposition testimony, or other competent evidence that could have
provided Judge Reichmann with a substantial basis
for
concluding that probable cause exist[s]. Gates, 462 U.S. at 238-39,
103 S.Ct. at 2332. [FN21] FN21. See also Wong Sun v. United States, 371 U.S. 471, 479, 83
S.Ct. 407, 412-13, 9 L.Ed.2d 441 (1963) (to obtain an arrest warrant, the
government must establish probable cause on the basis of evidence
that would warrant a man of reasonable caution in the
belief that a [crime] has been committed) (emphasis added)
(citation omitted); Berger v. New York, 388 U.S. 41, 55, 87 S.Ct.
1873, 1881-82, 18 L.Ed.2d 1040 (1967) (Probable cause under the
Fourth Amendment exists where the facts and circumstances within the
affiants knowledge, and of which he has reasonably trustworthy
information, are sufficient unto themselves to warrant a man of reasonable
caution to believe that an offense has been or is being committed.); Rugendorf
v. United States, 376 U.S. 528,
530, 84 S.Ct. 825, 826-27, 11 L.Ed.2d 887 (1964) (upholding probable cause
determination when the hearsay-declarant stated that he personally knew that
the informant had supplied reliable information in the past and the information
provided by the informant was corroborated by information discovered by the
affiant and other information known to the hearsay-declarant); Draper v.
United States, 358 U.S. 307,
313, 79 S.Ct. 329, 333, 3 L.Ed.2d 327 (1959) (probable cause established to
arrest suspect when affiant had personal knowledge that informant had been
reliable in the past and had personally verified every facet of the tip except
for whether the suspect had accomplished his criminal purpose); Giordenello
v. United States, 357 U.S. 480,
486, 78 S.Ct. 1245, 1250, 2 L.Ed.2d 1503 (1958) (no probable cause when
complaint contains no affirmative allegation that the affiant spoke
with personal knowledge of the matters contained therein [and does not]
indicate[ ] any sources for the complainants belief). [*775] In sum, Parretti is correct that the
governments probable cause showing consisted of nothing more than
naked allegations. They may have been relayed to the State Department by a
reliable source, but those allegations without supporting affidavits or other
competent evidence provide no basis for a judicial determination whether there
is probable cause to believe Parretti committed an extraditable crime. In
essence, the government is asking us to equate the existence of a foreign
arrest warrant with a showing of probable cause. Like the Second Circuit in Caltagirone, we decline to do so.
See Caltagirone, 629 F.2d at 744 (reversing the district court, which
simply noted that an Italian warrant of arrest was outstanding [and]
saw no need to determine whether a sufficient showing had been made to support
an arrest under United States law). The government next argues that, even if the fact that Parretti
was duly charged by France with extraditable crimes is insufficient to
establish probable cause, the foreign officials
determinations of fact should be considered sufficient
because warrants for provisional arrest may be based on
facts reported on information and belief without supporting affidavits,
deposition testimony, or other competent evidence. Pet. for Rehg at
9. The governments reliance on Yordi v. Nolte, 215 U.S. 227, 30 S.Ct. 90,
54 L.Ed. 170 (1909), for this proposition is misplaced. In Yordi, which upheld
an arrest and warrant of extradition, the magistrate had before him ample
evidence consisting of the record of the foreign judicial proceedings that had
resulted in the foreign warrant for Yordis arrest, including
the testimony of witnesses. Yordi, 215 U.S. at 229-30,
30 S.Ct. at 91. Thus the magistrate was able to determine that the
prosecution against the accused was based upon real grounds, and not upon mere
suspicion of guilt
. Id. at 230, 30 S.Ct. at 91. It is true, as the government says, that the Yordi Court rejected the
argument that an extradition complaint must be sworn to by persons having
personal knowledge of the facts alleged. However, the Court did so in order to acknowledge
that evidence used to support probable cause findings could take the form of
depositions, warrants, or other papers offered in evidence,
if they shall be properly and legally authenticated so as to entitle
them to be received as evidence of the criminality of the person so
apprehended, by the tribunals of the foreign country
. Yordi, 215 U.S. at 231, 30
S.Ct. at 92 (quoting Rice v. Ames, 180 U.S. 371, 375, 21 S.Ct. 406, 407-08, 45
L.Ed. 577 (1901)). The governments reliance on In re Russell, 805 F.2d 1215 (5th
Cir.1986), for the proposition that a warrant for provisional
arrest may be issued on the basis of information and belief
allegations unsupported by evidence, is also misplaced. In Russell, the magistrate who
issued the arrest warrant had before him sworn testimony from Russell himself
admitting that he had participated in the criminal transaction. Russell, 805 F.2d at 1217-18. The government quotes dicta in Russell that
several cases have approved the use of a complaint based on
information and belief rather than personal knowledge. 805 F.2d at
1217. Russell, however, miscites the two cases it relies on for this dicta. One
is Yordi, 215 U.S. at 227, 30 S.Ct. at 90 which we discussed above. The
other is Grin v. Shine, 187
U.S. 181, 23 S.Ct. 98, 47 L.Ed. 130 (1902). Although Grin v. Shine states that
[a]ll that is required [in extradition proceedings] is that a
complaint shall be made under [*776] oath, it goes on to
explain that the complaint may be made by any person
having knowledge of the facts, or, in the absence of such person, by the
official representative of the foreign government based upon depositions in his
possession
. Grin v. Shine, 187 U.S. at 193, 23
S.Ct. at 103. In citing these cases for the proposition that probable cause was
established by the AUSAs information and belief allegations about
allegations contained in the French arrest warrant, the government effectively
returns to the theory that lies at the core of its argument: that the Fourth
Amendment allows a warrant for a provisional arrest to be
issued for treaty purposes without an evidentiary showing of probable cause. As
we said in Part II-B supra, the Warrant Clause of the Fourth Amendment
allows for no variation in the probable cause standard depending upon the
governments purpose served by making the arrest. In sum, the warrant for Parrettis arrest was issued in
violation of the Fourth Amendment because the government failed to make the
necessary evidentiary showing of probable cause to believe that Parretti had
committed an extraditable offense. III DUE PROCESS We now turn to the question whether the detention of Parretti
without bail prior to his extradition hearing deprived him of liberty in
violation of the Fifth Amendment. The district court denied bail even though
the court refused to find that Parretti posed a risk of flight.
Reporters Tr. of Procgs, Nov. 9, 1995 (I
cant say hes a flight risk
. I dont see
him as a flight risk.). [FN22] FN22. Later, after he was convicted on state
charges in Delaware, Parretti fled that jurisdiction while on bail pending his
sentencing hearing. See A Financier Flees Before
Court Date [PDF. 56 kb], N.Y. Times, Jan. 4, 1997, at 25. His flight after conviction in
Delaware has no bearing, of course, on the question whether the district
courts earlier finding that he was not a flight risk pending a
possible extradition hearing was clearly erroneous. Based upon the evidence
before it at the time, the district court made that finding prior to receiving
a request for Parrettis
extradition, or the holding of any extradition hearing. Although Parretti was
an international businessman with only marginal personal ties to the United
States, faced serious charges in France if the United States were to extradite
him, and was under criminal investigation by both the FBI and the IRS, the
district court could have concluded that he was not a flight risk and that bail
in a sufficiently high amount would secure his appearance, given that he had
willingly appeared in Delaware court after he was released on bail before
trial, he had complied fully with the INS conditions imposed upon his entry
into the United States, he had complied fully with the conditions imposed by
the Italian court while he was in both the United States and Italy, and he had
strong business, if not personal, ties to the United States, including being a
plaintiff in a major civil action. Indeed, he was in Los Angeles having his
deposition taken in the offices of White & Case when he was arrested. See supra page 1365. The
district courts finding that he was not a flight risk was nothing
more, of course, than an assessment of the probabilities that he would not flee
before his extradition hearing. It was not, and could not have been, an
absolute guarantee that he would appear at his extradition hearing if released
on bail. The finding proved to be reliable: He remained in Los Angeles and
appeared at his extradition hearing. The fact that he later fled, after he was
convicted in Delaware, does not alter the reliability of the district
courts prediction that he would appear at his extradition hearing. In his dissent, Judge Pregerson maintains that
we should invoke the fugitive disentitlement doctrine to dismiss the appeal
because Parretti has fled the country. That doctrine is discretionary, so we
are not obliged to raise the issue sua sponte. See United States v. Van
Cauwenberghe, 934
F.2d 1048, 1054-55 (9th Cir.1991) ([W]hile we clearly have the
discretionary authority to dismiss this appeal, there is no per se
requirement of dismissal in [these]
case[s]. Hussein v.
INS, 817 F.2d 63, 63 (9th
Cir.1986) (Norris, J., concurring)). In the circumstances of this
case, we see no reason to decide the issue sua sponte. For present purposes, we
need briefly note only two points. First, Parretti is not seeking further
relief from this court, and the relief we previously provided is of no further
benefit to him. We are simply issuing an opinion explaining our earlier action,
as we promised to do in the order we issued prior to his flight. We believe
that the government and the district court, among others, are entitled to that
explanation. This is particularly so in a case of the type before usa
pre-trial or pre-extradition hearing bail matter, where the issue frequently
becomes moot (for practical purposes, at least) before the full range of
appellate procedures can be exhausted by the parties. Second, we are not
persuaded by Judge Pregersons reason for dismissing the appeal: that
Parrettis continued participation in the litigation is necessary.
Judge Pregerson relies on a dissent by Justice Stevens saying that, even though
a case is not technically moot, the escape of a defendant may
compromise the adversary character of the litigation because the
escapees attorney may have less than zealous
desire to vindicate a faithless client. United States v.
Sharpe,
470 U.S. 675, 724, 105
S.Ct. 1568, 1595, 84 L.Ed.2d 605 (1985) (Stevens, J., dissenting). The Court,
however, did not share Justice Stevens concern about compromising the
adversarial character of the litigation. Id. at 681 n. 2, 105
S.Ct. at 1573 n. 2 (opinion of the Court). Instead, the Court resolved any such
concerns in Sharpe by directing counsel for the fugitives to file a brief as
amicus curiae in support of their absent clients position. Id. We see no reason why
we should not follow the Supreme Courts lead and, should further
briefing prove necessary, direct Parrettis able counsel to file an
amicus brief. Indeed, despite Parrettis absence from the country, his
counsel submitted a brief on the fugitive disentitlement doctrine when
requested to do so by the district court in his related, but separate habeas
proceeding. [*777] In denying Parretti bail even though he was not a
flight risk, the district court relied on its finding that Parretti had failed
to establish special circumstances warranting bail. See United
States v. Smyth (In re Requested Extradition of Smyth), 976 F.2d 1535, 1536
(9th Cir.1992) (denying bail to potential extraditee who was not a flight risk
for failure to show special circumstances); see also United
States v. Kirby (In re Requested Extradition of Kirby), 106 F.3d 855,
864-65 (9th Cir.1997) (as amended) (following Smyth ). Parretti argued that
there were four special circumstances in his case: (1) he was not likely to be
found extraditable; (2) his continued detention interfered with his
participation in his civil suits and (3) with his health; and (4) France had
not sought his extradition from Italy. Memorandum in support of Application for
Review of Magistrate Judges Denial of Bail, dated Nov. 6, 1995, at
26-32; ER 69-74. The district court found that Parretti had not established any
of the first three asserted special circumstances, and held that the fact that
France had not requested Parrettis extradition from Italy was not a
special circumstance as a matter of law. On appeal, Parretti argues that the district court abused its
discretion when it found that Parretti was likely to be found extraditable and
that his continued detention was not interfering with his participation in his
civil lawsuits. [FN23] Parretti also renews his argument that Frances
failure to request Parrettis extradition from Italy is a special
circumstance because it demonstrates that the predicate justifying the 40 day
detention that this period is necessary for the requesting country to
assemble the documentation required to make a formal extradition
requestis not present. The government asserts that the Complaint
itself establishes the probable cause necessary to find Parretti extraditable,
and points to Judge Reichmanns statement that, if necessary, he would
intervene to ensure that the Board of Prisons facilitated Parrettis
participation in his civil litigation during his incarceration.
Frances decision not to seek Parrettis extradition from
Italy is, the government argues, irrelevant to the question of
Parrettis eligibility for bail. FN23. Parretti does not challenge the district
courts finding that he had not established the special circumstance
of deteriorating medical health due to incarceration. We review the district courts determination that special
circumstances do not exist for abuse of discretion, see Smyth, 976 F.2d at
1535, and hold that the district court did not abuse its discretion in
determining that Parretti had not established special circumstances warranting his
admission to bail. We also agree with the district court that the fact that
France did not seek Parrettis extradition from Italy was not a
special circumstance as a matter of law. We therefore confront
Parrettis argument that his detention without bail deprived him of
his personal liberty without due process of law in violation of the Fifth
Amendment because he posed no risk of flight or danger to the community. A Wright v. Henkel and its Progeny as
Precedent Parretti argues that, notwithstanding the special
circumstances doctrine, it remains an open question whether denying
release on bail in the absence of a finding of flight risk or danger to the
community violates due process because no case applying the special
circumstances standard has ever addressed, let alone decided, this
constitutional question. The government, apparently [*778] conceding
that no court has ever discussed or even alluded to the due process question,
responds that Wright v. Henkel, 190 U.S. 40, 23 S.Ct. 781,
47 L.Ed. 948 (1903), and its progeny [FN24] have held sub silentio that the
special circumstances standard is constitutional by
repeatedly applying it to deny bail in extradition cases. Specifically, the
government contends that it cannot be presumed that this
courts and the Supreme Courts earlier decisions ignored due
process concerns in adopting and applying the special circumstances
standard. Pet. for Rehg at 12. Not surprisingly, the
government cites no authority in support of this startling proposition. FN24. Cases applying the special
circumstances doctrine rely on the dictum in Wright v. Henkel that [w]e
are unwilling to hold that
while bail should not ordinarily be
granted in cases of foreign extradition, th[e] courts may not in any case, and
whatever the special circumstances, extend that relief. 190 U.S. at
63, 23 S.Ct. at 787. It is a time-honored principle of stare decisis that
[q]uestions which merely lurk in the record, neither brought to the
attention of the court nor ruled upon, are not to be considered as having been
so decided as to constitute precedents. Webster v. Fall, 266 U.S. 507, 511, 45
S.Ct. 148, 149, 69 L.Ed. 411 (1925); see also United States v. L.A. Tucker
Truck Lines, Inc., 344 U.S. 33,
38, 73 S.Ct. 67, 69, 97 L.Ed. 54 (1952) (Even as to our own judicial
power or jurisdiction, this Court has followed the lead of Mr. Chief Justice
Marshall who held that this Court is not bound by a prior exercise of
jurisdiction in a case where it was not questioned and it was passed sub
silentio.); United States v. More, 7 U.S. (3 Cranch) 159, 172,
2 L.Ed. 397 (1805) (statement of Marshall, C. J., as reported in the arguments
of counsel) (No question was made, in that case, as to the
jurisdiction. It passed sub silentio, and the court does not consider itself as
bound by that case.). Accordingly, we reject the
governments argument that Wright v. Henkel and its progeny
foreclose Parrettis argument that, in the absence of a finding that
he was either a flight risk or a danger to the community, his detention without
bail violated the Fifth Amendment. B The Merits of
Parrettis Due Process Claim In arguing the merits of Parrettis due process claim,
both Parretti and the government rely on United States v. Salerno, 481 U.S. 739, 107
S.Ct. 2095, 95 L.Ed.2d 697 (1987). In Salerno, the Supreme Court
rejected a due process challenge to the Bail Reform Act of 1984, 18 U.S.C.
§ 3142(f) (1994), which authorized pre-trial detention without bail
upon a showing that no release condition would reasonably assure the safety of
the community. After declaring that [i]n our society liberty is the
norm, and detention prior to trial or without trial is the carefully limited
exception, the Court held that the safety of the community was a
sufficiently legitimate and compelling government interest
to justify the carefully limited exception carved out by
Congress in the Bail Reform Act of 1984. Id. at 749, 755, 107
S.Ct. at 2102-03, 2105-06. Such carefully limited exceptions are permitted only
when the governments interest is sufficiently
weighty to subordinate the individuals strong
interest in liberty to the greater needs of
society. Id. at 750-51, 107 S.Ct. at 2103. The government asks us to carve out another exception to the rule
that liberty is the norm in order to deprive extraditees of
their personal liberty pending extradition hearings. It argues that its
interest in fulfilling our obligations under extradition treaties is
sufficiently compelling to justify pre-hearing detention regardless of how
slight the risk that the detainee will jump bail and make it impossible to
deliver him to the requesting government. As the government puts it, detention
is necessary to avoid[ ] any risk that the extraditee may
flee [before an extradition hearing]. Pet. for Rehg at 14
(emphasis added). In other words, the government maintains that its interest in
fulfilling its treaty obligations is so compelling that it justifies detention
pending every extradition hearing regardless of how negligible the risk of
flight. The government is correct, of course, that the enforcement of
extradition treaties is an [*779] important governmental interest. If
we fail to honor our treaty obligations, we run the risk that our treaty
partners will refuse to honor their reciprocal obligations to us, which would
indeed be a blow to our ability to track down suspects and enforce our own
criminal laws. The government is also correct that its inability to fulfill
these treaty obligations could have wide ranging effects on the
governments ability to assure compliance by foreign governments with
their reciprocal treaty obligations to the United States and to convince
foreign governments that it is worth their while to enter into mutual
extradition treaties with the United States. Pet. for Rehg
at 14. The problem with the governments argument is the
implicit premise that its interest in the enforcement of extradition treaties
is materially different from and greater than its interest in the enforcement
of our own criminal laws. In the last analysis, the purpose of extradition
treaties is to strengthen our hand in enforcing our own laws through the
cooperation of other countries in apprehending fugitives. Yet the government
implicitly argues that the law enforcement interest served by extradition
treaties is somehow different from and greater than its interest in enforcing
our domestic laws. The government fails to suggest any difference, and we can
fathom none. If the governments interest in avoiding all risk of
flight pending an extradition hearing justified detention without bail, then it
stands to reason that the same interest would also justify pre-trial detention
in domestic criminal cases. Yet if Parretti had been arrested on charges of
violating our own laws against business fraud, and was neither a flight risk
nor a danger to the community, it would be unthinkable that he could be held
without bail pending trial. It should be equally unthinkable that he may be
held without bail pending an extradition hearing. The government cites no authority for the proposition that its
interest in avoiding any risk that the extraditee may flee,
Pet. for Rehg at 14, is sufficiently weighty to justify detention
without bail pending an extradition hearing. As far as we know, the only
governmental interest that has ever been deemed sufficiently weighty to justify
pre-trial or pre-hearing detention without bail absent a finding of flight risk
is the safety of the community. Indeed, the cases cited by the government only
serve to emphasize that public safety is the only interest that has ever been
deemed sufficiently compelling to justify pre-trial detention without bail in
the absence of a finding of flight risk. In Schall v. Martin, 467 U.S. 253, 104 S.Ct.
2403, 81 L.Ed.2d 207 (1984), for instance, the Supreme Court upheld the
pretrial detention of juveniles when there was a serious
risk that the juvenile might commit a crime before his
return date. Id. at 263, 268, 104 S.Ct. at 2409, 2412. The
Court identified the interest served as protecting the community from
crime. Id. at 264, 104 S.Ct. at 2410. In Jones v. United States, 463 U.S. 354, 103 S.Ct.
3043, 77 L.Ed.2d 694 (1983), the commitment of a mentally ill person following
an insanity acquittal was upheld because the purpose of commitment is
to treat the individuals mental illness and protect him and society
from his potential dangerousness. Id. at 368, 103 S.Ct. at
3052. Similarly, in Carlson v. Landon, 342 U.S. 524, 72 S.Ct.
525, 96 L.Ed. 547 (1952), the detention of Communists without bail pending
deportation proceedings was upheld because there is [a] reasonable
apprehension of hurt from aliens charged with a philosophy of violence against
this Government. Id. at 542, 72 S.Ct. at 535. Recently, our court
held that the detention of an excluded alien whose country would not accept his
repatriation did not violate the Fifth Amendment because the alien was
potentially dangerous. Alvarez-Mendez v. Stock, 941 F.2d 956, 962
(9th Cir.1991). Finally, in Salerno, the Supreme Courts review of its
detention jurisprudence demonstrates that the need to protect the community
from danger was the common thread running through all of the cases permitting
the pre-trial detention of persons who are not found to be flight risks. Salerno, 481 U.S. at 748-49,
107 S.Ct. at 2102-03. [FN25] FN25. All of the cases cited by the Court in Salerno involved the need to
protect the community from danger: For example, in times of war or insurrection,
when societys interest is at its peak, the Government may detain
individuals whom the Government believes to be dangerous. See Ludecke v.
Watkins,
335 U.S. 160, 68 S.Ct.
1429, 92 L.Ed. 1881 (1948) (approving unreviewable executive power to detain
enemy aliens in time of war); Moyer v. Peabody, 212 U.S. 78, 84- 85, 29
S.Ct. 235, 236-37, 53 L.Ed. 410 (1909) (rejecting due process claim of
individual jailed without probable cause by Governor in time of insurrection).
Even outside the exigencies of war, we have found that sufficiently compelling
governmental interests can justify detention of dangerous persons. Thus, we
have found no absolute constitutional barrier to detention of potentially
dangerous resident aliens pending deportation proceedings. Carlson v. Landon, 342 U.S. 524, 537-542, 72
S.Ct. 525, 532-35, 96 L.Ed. 547 (1952); Wong Wing v. United States, 163 U.S. 228, 16 S.Ct.
977, 41 L.Ed. 140 (1896). We have also held that the government may detain
mentally unstable individuals who present a danger to the public, Addington
v. Texas, 441 U.S. 418,
99 S.Ct. 1804, 60 L.Ed.2d 323 (1979), and dangerous defendants who become
incompetent to stand trial, Jackson v. Indiana, 406 U.S. 715, 731-39, 92
S.Ct. 1845, 1854-59, 32 L.Ed.2d 435 (1972); Greenwood v. United States, 350 U.S. 366, 76 S.Ct.
410, 100 L.Ed. 412 (1956). We have approved of postarrest regulatory detention
of juveniles when they present a continuing danger to the community. Schall
v. Martin, supra. Even competent adults may face substantial liberty restrictions
as a result of the operation of our criminal justice system. If the police
suspect an individual of a crime, they may arrest and hold him until a neutral
magistrate determines whether probable cause exists. Gerstein v. Pugh, 420 U.S. 103, 95 S.Ct.
854, 43 L.Ed.2d 54 (1975). Finally, respondents concede and the Court of
Appeals noted that an arrestee may be incarcerated until trial if he presents a
risk of flight, see Bell v. Wolfish, 441 U.S. 520, 534, 99
S.Ct. 1861, 1871, 60 L.Ed.2d 447 (1979) or a danger to witnesses. Salerno, 481 U.S. at 748-49, 107 S.Ct. at
2102-03 (emphases added). We note that although Gerstein v. Pugh allows an
individual to be held without bail without a showing that he is either a flight
risk or a danger to the community, the detention may last only as long as is
required to obtain a hearing before a magistrate, and in no event longer than
48 hours absent extraordinary circumstances. County of Riverside v.
McLaughlin, 500 U.S. 44,
57, 111 S.Ct. 1661, 1670, 114 L.Ed.2d 49 (1991). [*780] In essence, the government asks us to break new
constitutional ground in holding that Parrettis strong
interest in liberty, Salerno, 481 U.S. at 750, 107 S.Ct. at 2103,
may be subordinated, id., to the
governments interest in avoiding the risk of being unable to carry
out its treaty obligations, however attenuated that risk might be. [FN26] On
that logic, the government would never have to prove that an extraditee was a
flight risk. All extraditees could be detained without bail before their
extradition hearings regardless of the magnitude of the risk of flight. Such a
far-reaching exception to the principle that liberty is the
norm cannot be justified by the governments asserted
interest in taking no risk that it will be unable to deliver an extraditee if
he is found to be extraditable. Enforcement of our own laws, which, after all,
is the governmental interest served by extradition treaties, does not justify
pre-trial detention absent a finding of flight risk or dangerousness, and we
see no reason, and the government suggests none, why its interest in fulfilling
its treaty obligations is different from or any more compelling than its
interest in enforcing our own criminal laws. Just as the governments
asserted interest in avoiding all risk that a defendant will not appear for
trial is not sufficient to justify pre-trial detention, the
governments asserted interest in avoiding all risk that an extraditee
will not appear for an extradition hearing cannot justify pre-hearing
detention. FN26. In Parettis case, no treaty
obligation to surrender him had yet arisen at the time of his
provisional arrest because France had 40 more days under
the Treaty to make up its mind whether to request his surrender. We repeat that the district court was free to decide anew whether
to grant or deny Parretti bail once it found Parretti extraditable after his
hearing. See supra footnote 6. Our holding is a limited one: until such time as an
individual is found to be extraditable, his or her Fifth Amendment liberty
interest trumps the governments treaty interest unless the government
proves to the satisfaction of the district court that he or she is a flight
risk. We find support for our holding in the cases that apply the
special circumstances doctrine. Those cases recognize that
individual interests that are not as weighty as an individuals
core liberty interest in being free from bodily restraint,
see Foucha v. Louisiana, 504
U.S. 71, 80, 112 S.Ct. 1780, 1785, 118 L.Ed.2d 437 (1992)
(Freedom from [*781] bodily restraint has always been at
the core of the liberty protected by the Due Process Clause from arbitrary
governmental action.), may outweigh the governments
interest in taking no risk of being unable to fulfill its treaty obligations.
For example, in In re Mitchell, 171 F. 289, 290
(S.D.N.Y.1909) (L.Hand, J.), an extraditee was released on bail because of the
special circumstance that he needed to consult with his
attorney in a civil action upon which his whole fortune
depended. In other words, the special circumstances
doctrine permits even economic interests to outweigh the governments
asserted interest in taking no risk that it will be unable to fulfill its
treaty obligations. [FN27] It follows that Parrettis core liberty
interest also outweighs that interest, absent a finding of flight risk. FN27. One commentator has made the following
poignant comment about the special circumstances doctrine: So long as the accused poses no threat to the
community, the national interests are fully served if the accused does not
abscond. That the accused presents special circumstances
adds nothing to protection of these interests. Conversely, if the accused is
likely to flee, the governmental interests are vulnerable, no matter what the
special circumstances. Note, A Recommended Approach to Bail in
International Extradition Cases, 86 Mich. L.Rev. 599, 614 (1987). In sum, the government asks us to hold that its interest in
avoiding the risk of being unable to fulfill a treaty obligation, however
slight, justifies detention without bail pending an extradition hearing. To
repeat, [i]n our society liberty is the norm, and detention prior to
trial or without trial is the carefully limited exception. Salerno, 481 U.S. at 755, 107
S.Ct. at 2105. The exception the government asks us to make is not carefully
limited, nor is it supported by a sufficiently weighty governmental interest.
Accordingly, Parrettis detention without bail prior to the
extradition hearing denied him due process of law even though Parretti failed
to make a showing of special circumstances to the
satisfaction of the district court. CONCLUSION The issuance of the warrant for Parrettis arrest
violated the Fourth Amendment and Parrettis detention without bail
prior to the extradition hearing violated the Due Process Clause of the Fifth
Amendment. The judgment of the district court denying Parrettis
petition for habeas corpus and its order denying bail pending his extradition
hearing are REVERSED. REINHARDT, Circuit Judge, concurring: I concur in Judge Norriss opinion for the court,
completely with respect to the Fourth Amendment analysis and in large part with
respect to the Fifth Amendment discussion. While I agree unequivocally with all
of the conclusions expressed in that opinion, I write separately regarding the
due process question in order to offer a perspective on the subject that is
different in a few respects, but in my view serves only to bolster the
opinions rationale. Parretti asks us to consider for the first time whether the
general rule of substantive due process
that the government may not detain a person prior to a judgment of guilt in a
criminal trial, United States v. Salerno, 481 U.S. 739, 749, 107
S.Ct. 2095, 2102, 95 L.Ed.2d 697 (1987), applies to detentions involving
foreign extradition proceedings, and, if so, whether it precludes the use of
the so-called special circumstances test as it has
generally been applied. For the reasons stated in Judge Norriss
opinion, I think that an international extraditees Fifth Amendment
interest in release on bail would be infringed by the application of so
inflexible and arbitrary a test. [FN1] However, I believe [*782] that the
governments interests in detaining international extraditees are more
substantial than his opinion suggests and that, while the standards that govern
bail are the same in foreign extradition and domestic criminal cases, the
factual circumstances of the two types of cases are typically quite different
and thus the results will also often be different. More important, I do not
believe that the Supreme Court ever propounded the so-called special
circumstances test or ever intended that such a test be employed. Finally, the
conditions that might once have served as a rationale for a blanket rule making
bail unavailable in foreign extradition cases no longer obtain. There simply
can be no justification for applying any such rule in current times. FN1. Aside from the due process issue, there
is also an independent question as to whether the Excessive Bail Clause of the
Eighth Amendment protects extraditees or potential extraditees against a per se
or special circumstances only ban on bail. The Supreme
Court has never ruled on that question. See Salerno, 481 U.S. at 754, 107
S.Ct. at 2105 ([W]e need not decide today whether the Excessive Bail
Clause speaks at all to Congresss power to define the classes of
criminal arrestees who shall be admitted to bail.). Although Parretti
did not allege an Eighth Amendment violation, we would be free to evaluate the
implications of the Excessive Bail Clause for his case in order to avoid
injustice. See, e.g., Donovan v. Crisostomo, 689 F.2d 869, 874
(9th Cir.1982). We need not do so, however, because, as the opinion for the
court makes plain, the Due Process Clause alone is sufficient to afford
Parretti all the relief he seeks. I. In reaching its decision to deny the bail motion, the district
court held that although Parretti was not a flight risk, he failed to
demonstrate that his case involved special circumstances
warranting release. As I read the relevant case law, neither the Supreme Court
nor this court has ever explained what such a special circumstances
test might entail, or identified the full range of circumstances that
would count as special enough to satisfy it. There is good
reason for that failure, at least as far as the Supreme Court is concerned. The
special circumstances doctrine purportedly derives from the
Courts opinion in Wright v. Henkel, 190 U.S. 40, 23 S.Ct. 781,
47 L.Ed. 948 (1903), a case in which, as Judge Norris explains, the extraditee
did not offer a constitutional challenge to the lower courts refusal
to admit him to bail. Thus, as Judge Norris correctly states, the Supreme Court
did not resolve the issue of the special circumstances doctrines
constitutionality in that case. Even more fundamentaland this the
opinion for the court fails to recognizealthough several circuits
including ours have assumed the existence of a special circumstances doctrine,
supposedly adopted in Wright v. Henkel, neither in that case nor in any other
did the Supreme Court create or intend to create such a doctrine. Instead, in Wright
v. Henkel the Court made only a single, casual remark about
special circumstances, a remark that has subsequently been
blown out of all proportion by lower courts, including most recently ours. The only paragraph in Wright v. Henkel that touches upon the
subject of special circumstances reads: We are unwilling to hold that the Circuit
Courts possess no power in respect of admitting to bail other than as
specifically vested by statute, or that, while bail should not ordinarily be
granted in cases of foreign extradition, those courts may not in any case, and
whatever the special circumstances, extend that relief. Nor are we called upon
to do so as we are clearly of [the] opinion, on this record, that no error was
committed in refusing to admit to bail, and that, although the refusal was put
on the ground of want of power, the final order ought not to be disturbed. Id. at 63, 23 S.Ct. at 787 (emphasis added). Although it ultimately
concluded that Wright failed to show that the trial court had erred in refusing
to release him on bail, the Supreme Court did not hold that he failed to meet
any special circumstances test, nor did it assert that the
trial court lacked the authority to grant the relief he requested. It simply
concluded that no error had occurred. It then went on to
hold that, even without statutory authorization, courts do have discretion
(whatever the relevant limitations) to grant bail in extradition cases. The quoted paragraph contains the only clause
(
while bail should not ordinarily be granted in cases of
foreign extradition
) that might be thought to support the
type of rule that some federal courts have assumed to exist, but the clause is
subject to that interpretation only when read out of context. It is merely a
preliminary, though accurate, comment introducing a conclusion that expands
rather than contracts the power of courts to admit a detainee to bail while
specifically refusing to adopt any rule that would preclude bail in all such
cases. The only plausible reading of the paragraph as a whole is that the Court
declined to adopt [*783] either a per se rule or any form of test
regarding the conditions justifying the denial of bail in foreign extradition
cases because it did not need to reach that question in order to decide the
case before it, and that the Court doubted that any rigid formula could be
imposed because the special circumstances of the case would
be relevant to the determination whether a court should allow bail. In short, the Supreme Court plainly did not hold in Wright v.
Henkel
that special circumstances are required in order to justify
bail in an extradition case. Rather, it said that it would not adopt an
absolute ban on bail that would apply in all cases regardless of the special
circumstances. That, to me, is no different than saying that it would not adopt
a ban that applied regardless of the particular circumstances.
In other words, the Court simply explained that whether a detainee would be
eligible for bail would depend upon the circumstances of the individual case,
whatever they might be. Any interpretation of Wright v. Henkel that suggests
otherwise is, in my view, a misreading of the Supreme Courts opinion. Nevertheless, this court and others have on a number of occasions
invoked some sort of special circumstances test. See, e.g.,
Martin v. Warden, 993 F.2d 824, 827-28 (11th Cir.1993); United States v.
Russell
(In re Extradition of Russell), 805 F.2d 1215, 1216-17 (5th Cir.1986); United
States v. Williams, 611 F.2d 914 (1st Cir.1979) (per curiam) (2-judge panel). We
have done so in cases such as United States v. Smyth (In re Extradition
of Smyth), 976 F.2d 1535 (9th Cir.1992), which Judge Norriss
opinion cites, although we have not even purported to explain what
considerations such a test would involve. [FN2] Moreover, as Judge
Norriss opinion for the court correctly states, we have never
considered whether the elements of such a test are constitutional. Whatever
special circumstances we may have had in mind at any
particular point, the practical effect of cases like Smyth is that they render
the traditional standards governing bail inapplicable and instead focus on a
limited set of factors unrelated to governments interest in insuring
the potential extraditees presence at the extradition proceedings.
The circumstances that courts have labelled as
special include the individuals need to be free
in order to consult with his attorney in a civil action upon which
his whole fortune depends, Williams, 611 F.2d at 915 (1st
Cir.1979) (per curiam) (2-judge panel) (citation omitted), unusual delay in
conducting an extradition hearing, see In re Extradition of Morales, 906 F.Supp. 1368
(S.D.Cal.1995), or a serious deterioration of health while
incarcerated, Salerno v. United States, 878 F.2d 317 (9th
Cir.1989) (2- judge panel). Requiring [*784] incarceration except where
the detainee shows the existence of such a factor would conflict directly with
the principles underlying our historic system of bail. In many cases, it also
would lead inevitably to the unconstitutional deprivation of the potential
extraditees Fifth Amendment liberty interest in retaining his freedom
until such time as he may be proven guilty of a criminal act. See Salerno, 481 U.S. at 748, 107
S.Ct. at 2102. FN2. We have only mentioned the special
circumstances doctrine in four cases, none of which sheds any light on our
inquiry into the doctrines content or its constitutionality. In Kamrin
v. United States, 725
F.2d 1225 (9th Cir.1984), we considered the appellants due
process challenge to extradition for a crime he was alleged to have committed
abroad based upon the fact that the statute of limitations for a similar crime
under United States law would already have run. We rejected
appellants proffered analogy to the bail context, noting in dicta
that bail in foreign extradition cases is not a remedy or
recourse under United States law because its availability is limited to
special circumstances. Next, citing to one out-of-circuit extradition case, two
domestic bail cases, and the Kamrin dicta (as well as misreading Wright v.
Henkel),
a two-judge panel of this court in Salerno v. United States, 878 F.2d 317 (9th
Cir.1989), issued what appears to be a brief order assuming without any
analysis that [t]here is a presumption against bail in an extradition
case and only special circumstances will justify
bail. Id. at 317. (The precedential value of the two-judge order is highly
dubious for reasons that are not worth explaining here. Cf. 28 U.S.C.
§ 46(b); Ninth Circuit General Orders § 6.3.g.(3).) In United
States v. Smyth, 976 F.2d 1535, we again issued a brief order, this time
reversing a district courts finding of special circumstances. In
doing so, we rejected the district judges determination that certain
circumstances were out of the ordinary, but we never so much as mentioned
whether he was actually required to make a finding of special circumstances in
order to justify release on bail. Nor did we state whether or not the appellant
was a flight risk. In our most recent case, United States v. Kirby (In re Requested
Extradition of Kirby), 106 F.3d 855 (9th Cir.1996), we purported to apply a
presumption against bail in foreign extradition cases derived from Wright v.
Henkel. Without discussing what factors must be shown to overcome that
presumption, we criticized the district courts findings of special
circumstances, but then blithely concluded that the case did involve
special circumstances warranting the granting of bail
because the potential extraditees enjoy the sympathy and are objects
of concern of many Americans. Id. at 106 F.3d at 864-65. II. Although the Supreme Court did not adopt the unconstitutional
special circumstances test, or indeed any test, for granting bail when it
decided Wright v. Henkel, there were undoubtedly substantial differences in
1903 between run-of-the-mill domestic cases and the pool of foreign extradition
cases that led the Court to conclude that in most instances international
extraditees were far more likely to flee than domestic detainees. At the time
Wright v. Henkel was decided, foreign extradition cases were rare: The time,
expense, and dangers attendant upon international travel made international
crimes and international criminals most unusual. Further, there were relatively
few classes of conduct that were likely to prompt a foreign government to seek
extradition. [FN3] In short, the group of people likely to be the subject of
extradition requests was not only small in number but relatively homogeneous,
and courts did not generally need to engage in detailed and highly fact-bound
inquiries in order to determine the risk of flight that any particular
extraditee posed. In most instances courts could simply assume that an
individual accused of committing a crime in a foreign country was likely to be
a far greater flight risk than the typical domestic criminal: thus, the dictum
that bail should not ordinarily be granted in foreign
extradition cases. 190 U.S. at 63, 23 S.Ct. at 787. FN3. Wright v. Henkel involved an
individual who was being extradited for making, circulating, and publishing
false corporate reports with the intent to defraud shareholders. 190 U.S. at
41, 23 S.Ct. at 781 (Courts statement of case). The dispute that was
the main subject of the appeal was not whether Wright was entitled to bail but
whether he was extraditable, as the treaty provided for extradition only for
those actions of corporate officers that were crimes under the laws of both
countries. Id. at 46, 23 S.Ct. at 783. Because the State of New York had only
partially criminalized conduct such as Wrights, leaving much of it
subject only to civil penalties (as it traditionally had been), the question
the Court chiefly addressed was whether extradition was even available in that
case. Today, foreign extradition cases as a whole may continue to
present somewhat of a greater risk of flight than cases involving
run-of-the-mill domestic crimes; however, the differences between the two
classes of cases are no longer as significant, and the number of potential
extraditees who are not flight risks is proportionally far greater than a
century ago. As to the continued risk, foreign extraditions frequently involve
citizens of a foreign nation who, like Parretti, are in the United States on
international business when they are apprehended. The potential extraditees are
often people who regularly engage in international travel and whose exclusive
ties and assets are foreign. Some cases involve people who have already fled
another country and are here only because they are seeking to escape
prosecution and punishment elsewhere. In all such instances, there is cause for
heightened concern that the international arrestee will attempt to flee the
United States rather than remain in the jurisdiction while awaiting foreign
extradition. Thus, it is still reasonable to conclude that in a number of cases
international criminals awaiting extradition will be
greater flight risks than the average person awaiting prosecution for the
run-of-the-mill federal or state crime. [FN4] FN4. In addition to flight risk, bail may be
denied on the ground of danger to the community. See Salerno, 481 U.S. 739, 107 S.Ct.
2095, 95 L.Ed.2d 697. With respect to the latter concern, I suspect that
foreign extradition cases generally involve less rather than more such danger
because, as the risk of international flight increases, the likelihood that the
individual will remain here and commit serious offenses diminishes. The
exception may be terrorist activity: In certain types of terrorist cases, at
least, there is frequently both significant flight risk and danger to the
community. [*785] Nevertheless, there are foreign extradition
casesand undoubtedly not a small numberthat are not
ordinary in the historical sense. Today, for example, drug
offenses, economic fraud, and other classes of crimes frequently involve a
large international component, yet many individuals engaged in those activities
do so without ever going abroad. Modern telecommunications and the internet enable
ordinary people to become international criminals in their
own living rooms, and such individuals will in most cases be no more anxious to
flee their country (or even their hometown) to avoid prosecution than the
person charged with the typical domestic offense. Moreover, international
travel is no longer reserved to the privileged few. Many average persons with
homes, families, and principal assets in the United States now frequently visit
foreign countries, for business or for pleasure, and some may, upon returning
home, discover that a foreign government is considering filing charges against
them because of conduct in which they allegedly engaged while abroad.
Additionally, the rise of multinational corporations and the expansion of foreign
criminal laws to encompass conduct previously not prohibited, such as bribery
of government or corporate officials, influence-peddling, or even commercial
espionage, have resulted in persons being subject to prosecution whose conduct
was not previously thought to be unlawful. Many of these persons will also be
most reluctant to flee and will instead desire to assert vigorous challenges to
the recently-enacted legislation or the allegations of wrongdoing. In short,
the net of extraditable crimes is cast far more widely these days and now
covers substantial numbers of persons who have significant ties to the United
States or who for other reasons are not likely to become fugitives and forfeit
the opportunity to reside in this country in the future. Given these
circumstances, it would be particularly inappropriate to adhere to a rule that
requires the incarceration of persons in our jails for substantial periods of
time, without any opportunity to obtain bail, simply because a foreign nation
is considering whether to ask for their extradition. [FN5] FN5. In this case, the treaty provided for an
initial period of forty days from the date of Parrettis incarceration
during which France could decide whether to seek his extradition. The enabling
statute for United States extradition treaties authorizes provisional arrest
and detention for up to ninety days prior to the foreign governments
presentation of a formal extradition request. See 18 U.S.C. § 3187.
Individuals have in fact been incarcerated for periods of years awaiting a
final determination as to extradition. See, e.g., Kirby, 106 F.3d at 863
(three potential extraditees released on bail after being incarcerated in
United States for 3-1/2 years, 3 years, and 11 months respectively pending final
determinations of extraditability); Serge Schmemann, Israel Withdraws Bid to
Extradite a Chief of Hamas, N.Y. Times, Apr. 4, 1997, at A1 (reporting
Israels withdrawal of extradition request after subject of request,
who had been incarcerated in United States for 21 months pending determination
of extraditability, announced that he would no longer contest extradition). One major change in the extradition area is particularly
noteworthy in connection with our examination of contemporary extradition
concerns. When Wright v. Henkel was decided, United States extradition
treaties ordinarily contained an exclusion for United States citizens.
Siegfried Wiessner, Blessed Be the Ties That Bind: The Nexus Between
Nationality and Territory, 56 Miss.L.J. 447, 527 n. 367 (1986) (collecting
treaties). For example, an extradition treaty between the United States and
France signed only a few years after Wright v. Henkel was decided contained
such a provision, see Extradition Treaty, Jan. 6, 1909, U.S.–Fr., T.S.
No. 561, art. V, and the Supreme Court ultimately held that the effect of that
exclusion was to leave the government wholly without authority to grant
extradition of United States citizens to France, see Valentine v. United
States,
299 U.S. 5, 57 S.Ct. 100, 81 L.Ed. 5 (1936). Today, however, our government is
far more willing to grant extradition of United States citizens. See Weissner, supra, at 528. For example,
although the current treaty with France (which governs Parrettis
extradition) still does not require the United States to grant extradition of
its own citizens, it does give the president discretion to do so if he so
chooses. Supplementary Convention to the Extradition Convention of January 6,
1909 Between the United States of America and France, Feb. 12, 1970,
U.S.–Fr., art. III, T.I.A.S. No. 7075. Indeed, some treaties
[*786] currently
in force do require the government to treat requests for extradition of United
States citizens the same as it treats requests for non-citizens. See, e.g.,
Extradition Treaty Between the Government of the United States of America and
the Government of the Republic of Italy, Oct. 13, 1983, U.S.-Italy, art. IV,
T.I.A.S. No. 10837 (A Requested Party shall not decline to extradite
a person because such a person is a national of the Requested
Party.). In light of this significant change in United States
extradition policy, the basis for generalizations about international
extraditees that underlay Wright v. Henkel has been eroded even further. Given the substantially changed conditions, the prediction in Wright
v. Henkel that potential extraditees will not normally qualify for bail is
far less reliable than it was when originally offered. Although I believe that
it is still appropriate to start from the premise that foreign extradition
cases will ordinarily involve a greater degree of flight risk than domestic
criminal cases, the need to evaluate the facts and circumstances in each
extradition proceeding on a case-by-case basis is far greater today than it was
in 1903. From a constitutional standpoint, there is simply no justification for
the automatic denial of bail in extradition cases, even with the theoretical
escape hatch provided by the special circumstances doctrine.
A rule that precludes release notwithstanding the absence of flight risk or
danger to the community is far more likely today than a century ago to result
in the prolonged detention of individuals who under the Due Process Clause of
our Constitution are entitled to remain free on bail. Because the United States is not the prosecutor in international
extradition cases, the governments interests in seeing that the
criminals in those cases are detained while awaiting
extradition, prosecution, and punishment may at first appear to be less weighty
than its interests in detaining persons awaiting domestic prosecution. I agree
with Judge Norris that they are not. However, I disagree that the
governments interests in fulfilling its treaty obligations stems
solely from its interest in domestic law enforcement, i.e., punishing domestic
crimes. Cf. supra at 49-50, 23 S.Ct. at 784. The failure of a country to deliver on
its promises can have many unpredictable consequences quite apart from the effects
on its ability to secure the assistance of others when it is the one that
desires to obtain or exercise the right to extradite. It is important to the
nations overall ability to work effectively in the international
arena that it be thought of as a country that keeps its commitments. Moreover,
our domestic law enforcement interest in fulfilling our treaty obligations is
more direct than Judge Norriss opinion suggests. As I have noted,
these days crimes no less than corporations are multinational, and so are their
consequences. The government frequently has a significant interest in seeing
that criminals who have fled to, or happen to be in, this country are punished
for their foreign crimesif only because those crimes may have a substantial
effect, direct or indirect, on American interests both at home and abroad. In
the end, I agree with the courts opinion that the overall interests
of the United States in preventing flight in foreign extradition cases warrant
roughly the same level of concern as in preventing flight in domestic criminal
proceedings. Although the factual inquiries and considerations are frequently
quite different, neither a greater nor a lesser showing of flight risk is
called for in one category of case or the other. To sum up, in addition to the conclusions we express today that
the warrant for Parrettis arrest violated the Fourth Amendment; that
the special circumstances test courts have sometimes
purported to apply violates the Due Process Clause; and that the showing of
flight risk traditionally required in domestic cases is also the appropriate
showing for foreign extradition cases; and in addition to my own separate
conclusion that the so-called special circumstances test
was never adopted by the Supreme Court and never intended by that Court to be
employed by the lower courts; I would add that while the assumptions that
underlay the Courts comment in Wright v. Henkel were not without
merit, todays circumstances are considerably different. Although in a
number of foreign extradition cases, there may still be a greater justification
for concluding that a potential extraditee is a flight risk, there is now a far
larger [*787] percentage of such cases in which that is plainly not
so. In the absence of a factual showing that a potential extraditee is a flight
risk, or that he is a danger to the community, the Due Process Clause requires
release on bailnot the application of a special circumstances test. PREGERSON, Circuit Judge, dissenting: During the course of these extradition proceedings, Giancarlo
Parretti was released from custody on bail and fled the country. When a
criminal defendant becomes a fugitive from justice, courts have discretion to
dismiss the defendants appeal because his absence
disentitles the defendant to call upon the resources of the Court for
determination of his claims. Molinaro v. New Jersey, 396 U.S. 365, 366,
90 S.Ct. 498, 499, 24 L.Ed.2d 586 (1970) (per curiam); see also Roby v.
United States Dept of the Navy, 76 F.3d 1052, 1055 n. 2 (9th Cir.1996)
(noting that the court would have discretion to dismiss case based on
disentitlement theory where plaintiff took unauthorized leave from the Navy); United
States v. Van Cauwenberghe, 934 F.2d 1048, 1054 (9th Cir.1991) (noting long history
of equitable doctrine of fugitive disentitlement). Dismissal is an appropriate option under the disentitlement
doctrine because dismissal preserves this courts interest
in efficient, dignified appellate practice. Ortega-Rodriguez v.
United States, 507 U.S. 234,
242, 113 S.Ct. 1199, 1204-05, 122 L.Ed.2d 581 (1993). Moreover,
Parrettis flight threatens the effective operation of the appellate
process. Parrettis counsel may have no desire to represent Parretti
zealously in future proceedings that may result from the majoritys
opinion (e.g., petition for rehearing and suggestion for rehearing en banc, en
banc review, or appeal to the Supreme Court). In addition, this court no longer
has control over one of the parties-Parretti. See United States v. Sharpe, 470 U.S. 675, 724, 105 S.Ct.
1568, 1595-96, 84 L.Ed.2d 605 (1985) (Stevens, J., dissenting) (explaining how
the adversary character of the litigation may be compromised when one of the
litigants is a fugitive) (citing Molinaro, 396 U.S. at 366, 90 S.Ct. at 498-99).
Because Parrettis fugitive status creates the risk that the adversary
process will not effectively function, we should exercise our discretion and
dismiss the present appeal. |