Major Harden v. George E. PatakiMajor Harden v. George E. Pataki
- Reporters:
- , ,
- Before:
- Birch
In
Heck v. Humphrey,
512 U.S. 477, 487, 114 S.Ct. 2364, 2372-73, 129 L.Ed.2d 383 (1994), the Supreme Court “held that a state prisoner’s claim for damages is not cognizable under
In May 1986, while serving a twenty-five year sentence in the Federal Prison in Levenworth, Kansas, Appellant Major Harden was extradited to Suffolk County, New York, and convicted and sentenced to a term of twenty-five years to life for another crime. In his
pro se
complaint, he alleged that, several days after his release in May 2000 from his later confinement in the Atlanta federal penitentiary on a different crime, he was arrested and, without a signed extradition warrant, a waiver of his extradition rights, or a habeas hearing, and over his protests, extradited to New York by a private extradition company, presumably to serve his sentence imposed pursuant to the 1986 conviction. He filed a federal complaint pursuant to
II. DISCUSSION
We review a district court’s
sua sponte
dismissal of a suit for failure to state a claim for relief under
In his complaint, Harden alleges that he was denied the right to a preextradition habeas corpus hearing, the right to be turned over to government agents, not a private extradition company, and the right to have a Governor’s warrant issued for his arrest. The first two rights are based on Art. IV, § 2, cl. 2 of the Constitution (“Extradition Clause”)
1
and
The right to a signed Governor’s warrant of arrest, however, is based on the Uniform Criminal Extradition Act (“UCEA”) as it has been adopted and codified in state law, not on the Extradition Clause or
In
Heck,
however, the Court considered a state prisoner’s
We hold that, in order to recover damages for allegedly unconstitutional conviction or imprisonment, or for other harm caused by actions whose unlawfulness would render a conviction or sentence invalid, a§ 1983 plaintiff must prove that the conviction or sentence has been reversed on direct appeal, expunged by executive order, declared invalid by a state tribunal authorized to make such determination, or called into question by a federal court’s issuance of a writ of habeas corpus,28 U.S.C. § 2254 . A claim for damages bearing that relationship to a conviction or sentence that has not been so invalidated is not cognizable under§ 1983 . Thus, when a state prisoner seeks damages in a§ 1983 suit, the district court must consider whether a judgment in favor of the plaintiff would necessarily imply the invalidity of his conviction or sentence; if it would, the complaint must be dismissed unless the plaintiff can demonstrate that the conviction or sentence has already been invalidated.
Id.
at 486-87, 114 S.Ct. at 2372 (footnote omitted). Though cognizant that the case lay “at the intersection of the two most fertile sources of federal-court prisoner litigation’ — the Civil Rights Act of 1871 . . ., as amended,
In the first instance, the jurisdiction of a trial court over a criminal defendant is not vitiated by the violation of extradition procedures. Lascelles v. Georgia, 148 U.S. 537, 544, 13 S.Ct. 687, 690, 37 L.Ed. 549 (1893) (“The jurisdiction of the court in which the indictment is found is not impaired by the manner in which the accused is brought before it.”). In Ker v. Illinois, 119 U.S. 436, 440, 7 S.Ct. 225, 227, 30 L.Ed. 421 (1886), the Court concluded that “for mere irregularities in the manner in which [a criminal defendant] may be brought into custody of the law, we do not think he is entitled to say that he should not be tried at all for the crime with which he is charged.”
[W]hen the governor of one state voluntarily surrenders a fugitive from the justice of another state to answer for his alleged offenses, it is hardly a proper subject of inquiry on the trial of the case to examine into the details of the proceedings by which the demand was made by the one state, and the manner in which it was responded to by the other.
Id. at 441, 7 S.Ct. at 228.
[The] Court has never departed from the rule . . . that the power of a court to try a person for crime is not impaired by the fact that he had been brought within the court’s jurisdiction by reason of a “forcible abduction.” . . . [D]ue process of law is satisfied when one present in court is convicted of crime after having been fairly apprized of the charges against him and after a fair trial in accordance with constitutional procedural safeguards. There is nothing in the Constitution that requires a court to permit a guilty person rightfully convicted to escape justice because he was brought to trial against his will.
Frisbie v. Collins, 342 U.S. 519, 522, 72 S.Ct. 509, 511-12, 96 L.Ed. 541 (1952) (footnote omitted).
We, too, adhere to this doctrine “unequivocally established in
United States v. Winter,
509 F.2d 975 (5th Cir.[1975]).”
United States v. Darby,
744 F.2d 1508, 1530 (11th Cir.1984). “[W]e are convinced that . . . a defendant in a federal criminal trial whether citizen or alien, whether arrested within or beyond the territory of the United States may not successfully challenge the District Court’s jurisdiction over his person on the grounds that his presence before the Court was unlawfully secured.... [T]he Supreme Court has not receded from Ker or Frisbie, and nei
Moreover, extradition procedures, even if they violate federal rights, have no bearing, direct or implied, on the underlying guilt or innocence of the person extradited. See In re Strauss, 197 U.S. 324, 333, 25 S.Ct. 535, 537, 49 L.Ed. 774 (1905) (“[T]he process .of extradition . . . is but one step in securing the presence of the defendant in the court in which he may be tried, and in no manner determines the question of guilt.”). Neither do the extradition decisions of asylum states. See Michigan v. Doran, 439 U.S. 282, 290, 99 S.Ct. 530, 536, 58 L.Ed.2d 521 (1978) (“[W]hen a neutral judicial officer of the demanding -state has determined that probable cause exists, the courts of the asylum state are without power to review the determination.”). “Interstate extradition was intended to be a summary and mandatory executive proceeding derived from the language . . . of the Constitution,” which “served important national objectives of a newly developing country striving to foster national unity” by “preclud[ing] any state from becoming a sanctuary for fugitives from justice of another state and thus ‘balkanize’ the adminístration of criminal justice among the several states.” Id. at 287-88, 99 S.Ct. at 534-55.
[Thus, o]nce the governor has granted extradition,- a court considering release on habeas corpus can do no more than decide (a) whether the extradition documents on their face are in order; (b) whether the petitioner has been charged with a crime in the demanding state; (c) whether the petitioner is the person named in the request for extradition; and (d) whether the petitioner is a fugitive.
Id.
at 289, 99 S.Ct. at 535. Indeed, the UCEA, as codified in Georgia, precludes inquiry into “[t]he guilt or innocence of the accused as to the crime of which he is charged . . . by the Governor or in any proceeding after the demand for extradition . . ., except as it may be involved in identifying the person held as the person charged with the crime.”
’ If the asylum state has no power to question the probable cause determination of the demanding state or the guilt or innocence of the defendant, except as it relates to his or her identity, such that an entirely innocent person may be properly extradited, then the converse must also be true: improper extradition by the asylum state in violation of those rights cannot impugn the probable cause determination of the demanding state or the subsequent adjudication of guilt of the person extradited. Whether the person was convicted or sentenced after the extradition or, as here, before, is inconsequential. 10
There is a second reason to conclude that
Heck
does not bar most
Furthermore, we disagree with the Seventh Circuit’s análysis — the only other circuit court to have addressed this issue in a published opinion. In
Knowlin v. Thompson,
207 F.3d 907, 907, 908 (7th Cir.2000), a state prisoner filed a
The court’s analysis began, like Heck’s, by analogizing the
The court’s reasoning, though syllogistic, is fundamentally flawed. First, the court concludes that, because the tort of malicious prósecution provides the closest analogy to his claim, Knowlin must prove that he was otherwise extraditable, without explaining its minor premise, that is, why the conclusion inevitably follows from the first principle.
12
If it is because of the favorable-termination requirement in that tort, the opinion seems to treat the requirement
Second, irrespective of the analogy to the malicious prosecution tort, a showing that the plaintiff was not extraditable, and that, had a pretransfer hearing been held, he or she would not have been extradited, is not required to recover damages in a
Finally, the opinion in
Knowlin
incorrectly concludes that proving unjustified extradition “would necessarily imply the invalidity of [Knowlin’s] Wisconsin parole revocation, which
Heck
instructs cannot be shown through a
III. CONCLUSION
We hold that a claim filed pursuant to
Notes
. The Extradition Clause provides: “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.”
.
Whenever the executive authority of any State or Territory demands any person as a fugitive from justice, of the executive authority of any State, District, or Territory to which such person has fled, and produces a copy of an indictment found or an affidavit made before a magistrate of any State or Territory, charging the person demanded with having committed treason, felony, or other crime, certified as authentic by the governor or chief magistrate of the State or Territory from whence the person so charged has fled, the executive authority of the State, District, or Territory to which such person has fled shall cause him to be arrested and secured, and notify the executive authority making such demand, or the agent of such authority appointed to receive the fugitive, and shall cause the fugitive to be delivered to such agent when he shall appear. If no such agent appears within thirty days from the time of the arrest, the prisoner may be discharged.
.The right to a pretransfer habeas corpus hearing is a federal right first recognized in
Roberts v. Reilly,
116 U.S. 80, 94-95, 6 S.Ct. 291, 299, 29 L.Ed. 544 (1885). That the right to be turned over only to government agents is federal is far less clear, but we find it at least arguable in the language of
.
See, e.g., Draper v. Coombs,
792 F.2d 915, 919 (9th Cir.1986);
Ross v. Meagan,
638 F.2d 646, 649-50 & n. 4 (3d Cir.1981) (per curiam);
Brown v. Nutsch,
619 F.2d 758, 764 (8th Cir.1980);
McBride v. Soos,
594 F.2d 610, 613 (7th Cir.1979);
Wirth v. Surles,
562 F.2d 319, 323 (4th Cir.1977);
Sanders v. Conine,
506 F.2d 530, 532 (10th Cir.1974);
but see Barton v. Norrod,
106 F.3d 1289, 1295 (6th Cir.1997) (holding that, since “the constitutional and statutory extradition provisions are not designed to protect fugitives!, but r]ather . . . are designed to facilitate the administration of justice between states!, the] failure to comply with established procedures does not deprive the fugitive of any protected right” and, therefore, provides no basis for a
. The Supreme Court has also suggested as much. In
Cuyler v. Adams,
449 U.S. 433, 101 S.Ct. 703, 66 L.Ed.2d 641 (1981), the Court concluded that a prisoner transferred involuntarily under Article IV of the Interstate Agreement on Detainers is “entitled to whatever ‘safeguards of the extradition process’ he might otherwise have enjoyed . . . [under] the [UCEA] (in those States that have adopted it), as well as any other procedural protections the sending State guarantees persons being extradited from within its borders.”
Id.
at 448, 450, 101 S.Ct. at 711-12. Because the prisoner alleged that state officials had transferred him to another jurisdiction pursuant to Article IV without granting him a pretransfer hearing to which he would have been entitled had he been transferred under the UCEA, the Court held that he had adequately stated a
. We find that any claim for injunctive relief is precluded by
Preiser v. Rodriguez,
411 U.S. 475, 93 S.Ct. 1827, 36 L.Ed.2d 439 (1973). There, the Court considered a
. One example of a damages claim for an alleged violation that would be indirectly invalidating, or what the Court in Heck calls “other harm caused by actions whose unlawfulness would render a conviction or sentence invalid,” 512 U.S. at 486, 114 S.Ct. at 2372, is one alleging an unreasonable seizure in violation of the Fourth Amendment by a police officer when arresting the prisoner for resisting arrest. Id. at 486 n. 6, 114 S.Ct. at 2372 n. 6. Because “the crime of resisting arrest [is] defined as intentionally preventing a peace officer from effecting a lawful arrest,” a claim of unreasonable seizure, or unlawful arrest, if successful, would necessarily, though indirectly, invalidate the underlying conviction for resisting arrest. Id.
.
“For example, a suit for damages attributable to an allegedly unreasonable search may lie even if the challenged search produced evidence that was introduced in a state criminal trial resulting in the
. The difference between a purely procedural claim cognizable under
. It could be argued that
Heck
bars a
. While the “legality of extradition” may not be contested, our holding did not intend to preclude appropriate
. The opinion is far from a model of clarity.
. If, on the other hand, the court applied the requirement in a tort action for malicious prosecution that the plaintiff show an absence of probable cause for the proceeding to reach the conclusion that Knowlin must prove that he was not otherwise extraditable, we agree with Justice Souter in
Heck
that doing so would also require application of the tort‘s malice requirement, which
. We have held that “[ejmotional injury is actionable under
. “For purposes of Piphus it does not matter whether the underlying claim involves a deprivation of a procedural or substantive constitutionally-based right” such as those provided in the Extradition Clause and implementing statutes. Draper, 792 F.2d at 921. As the Seventh Circuit itself has noted, the extradition statute is similarly absolute: ” ‘The statute is one involving the substantial rights of citizens, and its essential elements must be strictly followed . . . Only by faithfully following the provisions of the statute may a person be lawfully deprived of his liberty and extradited from an asylum state to another state, there to be tried for the commission of a crime.’ ” McBride, 594 F.2d at 612 (quoting United States v. Meyering, 75 F.2d 716, 717 (7th Cir.1935)).
. Of course, “actual, compensable injury . . . does not encompass the ‘injury’ of being convicted and imprisoned.” Heck, 512 U.S. at 487 n. 7, 114 S.Ct. at 2372 n. 7.
. The opinion also fails to mention that this is true only if the prisoner cannot show that the revocation was invalidated, reversed or expunged.
.As previously noted, an extradition request can only be challenged in an asylum state court habeas corpus hearing on four grounds.
See infra
pp. 1296-1297. Demonstrating the facial invalidity of the extradition papers or that the petitioner is not a fugitive, clearly, does not invalidate a subsequent conviction. Showing that the person to be extradited has not been charged with a crime in the demanding state also does not undermine a subsequent conviction, so long as the person was properly charged in accordance with that state‘s rules of criminal procedure once returned. Similarly, showing that the extradited person was not the person named in the request for extradition does not necessarily invalidate a subsequent conviction. First, the conviction may be for another offense of which the extradited person was guilty.
See Lascelles,
148 U.S. at 547, 13 S.Ct. at 691 (holding that, upon return to the demanding state, a fugitive “may be tried . . . for any other offense than that specified in the requisition for his rendition”). Second, the error may have been merely a scrivener‘s error. If, however, the wrong person was ultimately convicted, or the person was convicted without ever having been properly charged, a