Lead Opinion
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.
Parretti’s appeal presents two constitutional questions: First, did the warrant issued for Parretti’s arrest violate the Fourth Amendment? Second, did Parretti’s detention without bail before his extradition hearing 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 Parretti’s “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-Pathe’s subsidiaries; that each of the offenses charged in the French arrest warrant
The sole basis for the allegations of wrongdoing made in the AUSA’s 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
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 don’t know what the investigating magistrate based those statements on.
ER at 150; RT at 7 (tr. of hr’g 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 Reichmann’s 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, hr’g on renewed bail application). The AUSA acknowledged that the “conveying of the facts was done in an informal way, that it wasn’t in a way of formal evidence,” but argued that “there’s nothing that prohibits that.” Id. (unofficial tr. of Nov. 1, 1995, hr’g on renewed bail application).
In denying Parretti’s 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 Parretti’s argument that the government had failed to make any evidentiary showing that he had committed a crime, the district court said at the hearing, “That’s 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 Parretti’s claim that his detention violated the Fourth Amendment, Judge Reichmann ruled that the government’s recital of the allegations of the French arrest warrant was “sufficient at this stage.” ER at 29 (unofficial tr. of Nov. 1,1995, hr’g 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 Parretti’s “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, that’s another matter”; “I don’t have all the papers, so I can’t 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
In response to Parretti’s 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. Appellee’s 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.
In support of this position, the government argues that the Secretary of State’s decision to enforce an extradition treaty authorizing provisional arrest upon information of a foreign warrant reflects the Secretary’s determination that the foreign nation’s 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 Secretary’s decision and accept at face value the foreign warrant as a basis for issuing a warrant for “provisional arrest.”
The district court also rejected Parretti’s bail application, even though it found that Parretti was not a flight risk. In rejecting the government’s request for a finding that Parretti was a flight risk, the district court said, “I can’t say that he’s a flight risk____ I don’t see him as a flight risk.” Reporter’s Tr. of Proe’gs, Nov. 9,1995.
The district court noted that under the doctrine of “special circumstances” that has its origins in Wright v. Henkel,
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
After the district court denied Parretti’s application for bail and petition for a writ of habeas corpus, Parretti filed a motion under Ninth Circuit Buie 27-3 seeking emergency review.
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,
A
The Rule of Judicial Non-Inquiry
Invoking the rule of judicial non-inquiry, the government argues that the war
authorizes provisional arrest upon information ... of a warrant of arrest[, tjhis must be accepted as reflecting a determination by both the Secretary of State and the Congress, which approved the treaty, that France’s 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 reh’g at 8 n. 8.
In arguing that an independent judicial determination of probable cause is not required, 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 nation’s 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,
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 government’s invitation. The rule of judicial non-inquiry was not designed to relieve the federal courts of our “unflag
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 country’s legal and penal systems. See Glucksman,
In citing these cases, the government overlooks the critical distinction between justiciable and non-justiciable controversies. For example, the government cites Quinn,
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: “[Evaluations of the motivation behind a request for extradition so clearly implicate the conduct of this country’s foreign relations as to be a matter better left to the Executive’s discretion.” Eain,
*1371 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 Judiciary’s deference to the Executive on the “subterfuge” question is appropriate since political questions would permeate any judgment on the motivation of a foreign government.
Earn,
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,
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,
In sum, we reject the government’s notion that our courts should invoke the rule of
B
The Government’s Theory of a “Provisional Arrest” Exception to the Warrant Clause
We now turn to the merits of the government’s 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 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,
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 Caltagirone’s “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,
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,
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 farther information, if any, as may be required by the requested Party.”
Sahagian v. U.S.,
In keeping with time-honored precepts of judicial restraint,
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,
We could also avoid reaching the Fourth Amendment question by interpreting 18 U.S.C. § 3184,
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 Parretti’s appeal by finding that a showing of probable cause has in fact been made. See In re Russell,
We are therefore obligated to reach the constitutional question that the Second, Fifth, and Seventh Circuits managed to avoid in Caltagirone, Russell, and Sahagian. Parretti’s 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 government’s 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 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,
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 Reh’g at 7.
We cannot accept the government’s 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 government’s purpose in making the arrest is to enforce treaties or our own domestic laws. See Vernonia Sch. Dist. v. Acton, —U.S.-,-,
Thus, we must reject the government’s 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
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,
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,
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 he in the requirement of probable cause.” Caltagirone,
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” be
In the final analysis, the government is really arguing that its interests in extradition cases are greater than its interests in domestic law enforcement.
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.
C
The Government’s 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.
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.
We agree with Parretti that the government failed to make the evidentiary showing required to obtain a warrant for his arrest. The question is not whether we are willing to defer to the Secretary of State’s judgment that the French investigating magistrate is rehable. The question is whether the government has made the evidentiary showing of probable cause required by the Fourth Amendment. All the government presented in applying for the warrant to arrest Parretti were the French investigating magistrate’s allegations of fact. According to the information and belief allegations of the AUSA’s 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 Reiehmann with a “ ‘substantial basis for ... concluding’ that probable cause exist[s].” Gates,
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 official’s “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 Reh’g at 9. The government’s reliance on Yordi v. Nolte,
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,
The government’s reliance on In re Russell,
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.”
In citing these cases for the proposition that probable cause was established by the AUSA’s 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
In sum, the warrant for Parretti’s 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. Reporter’s Tr. of Proc’gs, Nov. 9, 1995 (“I can’t say he’s a flight risk.... I don’t see him as a flight risk.”).
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.
We review the district court’s determination that special circumstances do not exist for abuse of discretion, see Smyth,
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 conceding that no court has ever discussed or even alluded to the due process question, responds that Wright v. Henkel,
It is a time-honored principle of stare decisis that “[questions 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,
B
The Merits of Parretti’s Due Process Claim
In arguing the merits of Parretti’s due process claim, both Parretti. and the government rely on United States v. Salerno,
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 Reh’g 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 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 government’s 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 Reh’g at 14.
If the government’s 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 eases. 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 Reh’g 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 pretrial 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,
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 government’s 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 individual’s “core” liberty interest in being free from bodily restraint, see Foucha v. Louisiana,
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,
CONCLUSION
The issuance of the warrant for Parretti’s arrest violated the Fourth Amendment and Parretti’s detention without bail prior to the extradition hearing violated the Due Process Clause of the Fifth Amendment.
The judgment of the district court denying Parretti’s petition for habeas corpus and its order denying bail pending his extradition hearing are REVERSED.
Notes
. 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.
. 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.
. 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 Reh'g, at 7 n. 6. The government’s judicial non-inquiiy argument, however, is implicit in the government’s 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, Appellee’s br. at 36 n. 10. Accordingly, the government's judicial non-inquiry argument is not waived.
. 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.
. 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.
. 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 Parretti’s 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 bisk. Id. (May 31, 1996) (minute order correctly stating that ”[t]he Magistrate Judge is of the opinion that the Ninth Circuit's 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 government’s 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.
.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 government’s Petition for Rehearing and in Parretti’s Response thereto.
. Although neither our court nor any other has ever denied extradition based on the fugitive's 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,
. Colorado River Water Conservation Dist. v. United States,
. See also Semmelman, supra note 8, at 1214-21 (citing cases).
. See also Garcia-Guillern v. United States,
. See, e.g., Ashwander v. Tennessee Valley Auth.,
. 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*1374 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.
. 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).
. See also Spatola v. United States,
. 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 relator's release from custody does not bar a subsequent extradition demand by the requesting state on the same charge____ [Ijn the Government’s view, a foreign state could apply for, and the Government could effect, the unlimited detention of Caltagirone by stringing together an infinite strand of foriy-five day provisional arrests, all without a judicial determination of probable cause....
Caltagirone,
. 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,
. 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,
. 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,” Appellant’s 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.
. See also Wong Sun v. United States,
. Later, after he was convicted on state charges in Delaware, Pairetti fled that jurisdiction while on bail pending his sentencing hearing. See A Financier Flees Before Court Date, 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 court’s 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 Parretti’s 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 court’s 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 court's 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,
. Parretti does not challenge the district court’s finding that he had not established the special circumstance of deteriorating medical health due to incarceration.
. Cases applying the "special circumstances” doctrine rely on the dictum in Wright v. Henkel that "[w]e are unwilling to hold that ... while bad 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.”
. 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 society’s 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*1384 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 liberly 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,
. In Paretti's 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.
. 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).
Concurrence Opinion
concurring:
I concur in Judge Norris’s 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 opinion’s 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,
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 ease 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 Court’s opinion in Wright v. Henkel,
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 eases 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,
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 eases. The only plausible reading of the paragraph as a whole is that the Court declined to adopt 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
Nevertheless, this court and others have on a number of occasions invoked some sort of “special circumstances test.” See, e.g., Martin v. Warden,
II.
Although the Supreme Court did not adopt the unconstitutional special circumstances
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.
Nevertheless, there are foreign extradition cases — and undoubtedly not a small number — that 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 eases 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
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,
Given the substantially changed conditions, the prediction in Wright v. Henkel that po
Because the United States is not the prosecutor in international extradition cases, the government’s 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 government’s 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,
To sum up, in addition to the conclusions we express today that the warrant for Parretti’s 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 eases 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 Court’s comment in Wright v. Henkel were not without merit, today’s 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 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 bail — not the application of a special circumstances test.
. 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,
. We have only mentioned the special circumstances doctrine in four cases, none of which sheds any light on our inquiry into the doctrine’s content or its constitutionality. In Kamrin v. United States,
. Wright v. Henlcel involved an individual who was being extradited for making, circulating, and publishing false corporate reports with the intent to defraud shareholders.
. In addition to flight risk, bail may be denied on the ground of danger to the community. See Salerno,
. In this case, the treaty provided for an initial period of forty days from the date of Parretti’s incarceration during which France could decide whether to seek his extradition. The enabling statute for United Stales extradition treaties authorizes provisional arrest and detention for up to ninety days prior to the foreign government’s 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,
Dissenting Opinion
dissenting:
During the course of these extradition proceedings, Gianearlo 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 defendant’s appeal because his absence “disentitles the defendant to call upon the resources of the Court for determi
Dismissal is an appropriate option under the disentitlement doctrine because dismissal preserves this court’s “interest in efficient, dignified appellate practice.” Ortega-Rodriguez v. United States,
