Lead Opinion
Opinion by Judge HAWKINS; Dissent by Judge FERGUSON
We must decide whether, under the Treaty Clause of the Constitution, the United States may enter into a “treaty” with a non-sovereign entity, such as Hong Kong. We conclude that such a treaty is constitutional, and therefore uphold the validity of the “Agreement Between the Government of the United States of America and the Government of Hong Kong for the Surrender of Fugitive Offenders” (“Extradition Agreement”). We also hold that a magistrate judge has jurisdiction under the Federal Magistrates Act to issue a Report and Recommendation (“R & R”) regarding a habeas petition without the defendant’s explicit consent.
I. BACKGROUND
In 2003, Hong Kong Magistrate Bina Chainrai issued a warrant authorizing Michael Wang’s arrest. The warrant listed eighteen counts of theft (adding up to $15,834,000 in Hong Kong currency) and two counts of dealing with property known or believed to represent proceeds of an indictable offense. After the Hong Kong Department of Justice formally requested Wang’s surrender pursuant to the Extradition Agreement, the United States filed a request to extradite him. United States Magistrate Judge Rosalyn M. Chapman held a hearing, found that all of the requirements for the extradition had been
Wang filed a habeas petition challenging the extradition ord'er, contending (1) that the court lacked subject matter jurisdiction to certify extradition because the Extradition Agreement between the United States and Hong Kong is not a proper “treaty” under the Constitution, and (2) that no probable cause supports certain charges against him. Wang’s habeas petition was heard by Magistrate Judge Chapman, who issued a R & R to District Judge Christina A. Snyder. Although Wang did not explicitly consent to Magistrate Judge Chapman’s review of his habeas petition, Wang made no objection to her appointment. Judge Snyder conducted a.de novo review of the R & R, approved and adopted the R & R, and entered an order denying the petition for habeas corpus.
II. DISCUSSION
On July 1, 1997, the United Kingdom returned sovereignty over Hong Kong to China. See 22 U.S.C. § 5701. The Hong Kong Special Administrative Region (“HKSAR”) of China was set up “to enjoy a high degree of autonomy on all matters other than defense and foreign affairs.” Id. The transfer of sovereignty implemented a “one country, two systems” policy, “under which Hong Kong will retain its current lifestyle and legal, social, and economic systems until at least the year 2047.” Id.
From 1977 to June 30, 1997, extradition relations between the United States and Hong Kong were governed by an extradition treaty between the United States and the United Kingdom. In light of the transfer of sovereignty over Hong Kong from the United Kingdom to China, the United States and Hong Kong concluded the Extradition Agreement, for which President Clinton requested the Senate’s advice and consent to ratify “as a treaty.” China had already approved Hong Kong entering into the agreement. The Senate subsequently ratified the Extradition Agreement. See 143 Cong. Rec. S 11165 (Oct. 23,1997).
A. Political Question
The government argues that the constitutionality of the Extradition Agreement is a nonjusticiable political question, framing the issue as whether Hong Kong is a “sufficiently sovereign foreign power for the purpose of entering into a treaty.” However, this court need not decide the status of Hong Kong’s sovereignty. Rather, the constitutional issue that Wang has raised is whether the term “treaty” in the Treaty Clause encompasses agreements with non-sovereigns, such as Hong Kong— and that question is clearly justiciable under Baker v. Carr,
The Second Circuit’s separation of justi-ciable and nonjusticiable issues regarding the Hong Kong Extradition Agreement is instructive:
Federal courts lack the authority and institutional competence to make the political judgments involved in ascertaining the legitimacy of foreign systems. Thus, in this case, it is not for the courts to decide whether the HKSAR government is a legitimate government. Instead, our role is limited to answering the prior definitional question: what does the term “foreign government” in the extradition statute mean? More precisely, the question we must answer is whether the government of a subs-overeign constitutes a “foreign govern*995 ment” or the government of a “foreign country” for purposes of [18 U.S.C.] § 3184. Put another way, for most purposes of United States foreign relations, the HKSAR government is the government of Hong Kong because it has been recognized as such by the Executive, but it is a “foreign government” within the meaning of the extradition statute only if the judiciary interprets that term to encompass subsovereigns.
Cheung v. United States,
While recognition of foreign governments ... strongly defies judicial treatment ... and the judiciary ordinarily follows the executive as to which nation has sovereignty over disputed territory, once sovereignty over an area is politically determined and declared, courts may examine the resulting status and decide independently whether a statute applies to that area.
Baker’s six factors to determine whether an issue is a nonjusticiable political question supports finding justiciability here:
Prominent on the surface of any case held to involve a political question is found [1] a textually demonstrable constitutional commitment of the issue to a coordinate political department; or [2] a lack of judicially discoverable and manageable standards for resolving it; or [3] the impossibility of deciding without an initial policy determination of a kind clearly for nonjudicial discretion; or [4] the impossibility of a court’s undertaking independent resolution without expressing lack of the respect due coordinate branches of government; or [5] an unusual need for unquestioning adherence to a political, decision already made; or [6] the potentiality of embarrassment from multifarious pronouncements by various departments on one question.
Id. at 217,
Justice Powell distilled the Baker test into three inquiries: “(i) Does the issue involve resolution of questions committed by the text of the Constitution to a coordinate branch of Government? (ii) Would resolution of the question demand that a court move beyond areas of judicial expertise? (iii) Do prudential considerations counsel against judicial intervention?” Goldwater v. Carter,
The issue here is whether the term “treaty” in the Treaty Clause encompasses agreements with non-sovereigns. On this issue of constitutional interpretation, there is no “textually demonstrable constitutional commitment of the issue to a coordinate political department,” Baker,
2. No Lack of Judicially Discoverable and Manageable Standards; No Requirement for an Initial Policy Determination
The second Goldwater factor lumps together the second and third Baker inquiries — whether there is “a lack of judicially discoverable and manageable standards” and whether a decision is impossible “without an initial policy determination of a kind clearly for nonjudicial discretion.” See Goldwater,
3. Prudential Considerations
The remaining Baker inquires may be seen as prudential considerations, the third of the Goldwater inquiries. The dissent is concerned that addressing the requirements of the Treaty Clause would risk the nation’s ability to speak with one voice in the field of foreign affairs with Hong Kong. (Dissent.) Though a valid concern, it is overstated. Even if the court were to find that the Treaty Clause did not encompass agreements with non-sovereigns, the President could still enter into an executive agreement, or pass legislation with both houses of Congress, that would establish identical extradition obligations (and other treaty obligations) between the United States and Hong Kong.
The court is “cognizant of the interplay” between the interpretation of the Treaty Clause and the conduct of this Nation’s foreign affairs, but one of the judiciary’s characteristic roles is to interpret the Constitution, and “we cannot shirk this responsibility merely because our decision may have significant political overtones.” Cf. Japan Whaling,
B. The United States May Enter Into a Treaty with a Nonr-Sovereign
We review whether a constitutionally valid extradition treaty exists de novo. In the Matter of Then v. Melendez,
1. The Text, Framer’s Intent, and the Indian Treaties
The text of the Treaty Clause of the United States Constitution
Wang argues that the United States cannot constitutionally enter into a “treaty” with a non-sovereign such as Hong Kong. However, there is no credible source that supports the proposition that the Treaty Clause permits only a treaty with a sovereign nation. Indeed, it would be difficult for the Founders to have this thought at the drafting of the Constitution, since, as Wang concedes, non-sovereign entities “were not prevalent in 1787.”
The Second Circuit has upheld the constitutionality of the Hong Kong Extradition Agreement.
Although the term “treaty” is commonly understood in modern usage as a “con-tractu between independent nations,” the term was not necessarily so limited in the mid-19th century (or now) when the federal extradition statute was enacted. It is true that at the time Congress passed the act, the United States had ratified only two extradition treaties, both with sovereign nations— France and England. However, the United States had also ratified hundreds of treaties with Indian tribes or nations. From the first years of our constitutional republic, the Indian treaties have enjoyed a status “on a par with foreign treaties.” This has been the case even though Indian treaty partners have been described as “domestic dependent nations” insofar as they had ceded powers generally associated with sovereignty, including the right freely to carry out foreign relations and trade.
Thus, it is clear that the term “treaty” had a meaning broader than an agreement between fully sovereign or independent entities.
Cheung,
The Supreme Court’s treatment of United States treaties with Indian nations, despite an evolving debate about their sovereignty status,
2. The Significance of 25 U.S.C. § 71
Wang also argues that the 1871 implementation of 25 U.S.C. § 71,
First, it is a stretch to argue that based on United States relations with Indian nations via an 1871 statute, without any interpretation of the Treaty Clause, the term “treaty” should be constitutionally defined solely as between two sovereigns.
Second, as Cheung points out, pre-1871 decisions did refer to Indian nations as non-sovereign, or at least as less than fully sovereign. See, e.g., Cherokee Nation v. Georgia,
Thus, the United States’ history of treaties with nonsovereign Indian nations fills in the silence of the Treaty Clause and the extradition statute with respect to the term'“treaty”: it is constitutional for the United States to enter into a treaty with a non-sovereign, such as Hong Kong.
C. Appointment of Same Magistrate Judge to Handle Extradition Certification and Habeas Challenge Was Proper
We review the “scope of authority and powers of a magistrate judge” de novo. United States v. Sanchez-Sanchez,
The United States District Court for the Central District of California issued General Order 01-13, which fills in specific additional duties' assigned to magistrate judges. Federal habeas corpus petitions and extradition proceedings are among the types of cases assigned to magistrates. The Order explains that once a case is randomly assigned to a magistrate judge for a report and recommendation (as Magistrate Judge Chapman was assigned to Wang’s extradition proceeding), all subsequent habeas corpus cases filed by the same party shall be assigned to the same magistrate judge. Thus, under General Order 01-13, Magistrate Judge Chapman was well within her authority to issue a R & R for Wang’s habeas petition. The issue presented here is whether, in this scenario, the magistrate judge exceeded the authority granted under § 636(b)(3)— the catch-all provision.
Wang argues that Magistrate Judge Chapman lacked jurisdiction under § 636 to submit a R & R because he did not explicitly consent to his habeas petition
Here, the magistrate judge’s R & R was not a final and independent determination of fact or law, as the district judge reviewed the habeas petition de novo. Thus, the issuance of the report was not a “critical stage” of the proceedings. ■
United States v. Rivera-Guerrero,
Raddatz makes clear that the delegation to magistrate judges of matters that implicate constitutional rights for proposed findings and recommendations is constitutional so long as the findings and recommendations are subject to de novo review by an Article III judge.
Id. (citing United States v. Raddatz, 477 U.S. 667, 683,
There is no reason to question the de novo review done by Judge Snyder here. The Order adopting the R & R states that “the Court reviewed the Petition and other papers along with the attached Report and Recommendation ... as well as petitioner’s objections and respondent’s response to petitioner’s objections, and has made a de novo determination.” Considering this de novo review, there was no violation of the Federal Magistrates Act or a deprivation of review by an Article III judge.
CONCLUSION
For all of the foregoing reasons, the extradition of Wang is constitutional, and the issuance of the R & R by Magistrate Judge Chapman comported with the Federal Magistrates Act.
AFFIRMED.
Notes
. The Department of State listed the Extradition Agreement in "Treaties in Force, A List of Treaties and Other International Agreements of the United States in Force on January 1, 2004.”
. The Treaty Clause states that the President "shall have Power, by and with the Advice and Consent of the Senate, to make Treaties,
. 18 U.S.C. § 3184 authorizes extradition of fugitives from foreign countries "[wjhenever there is a treaty or convention for extradition between the United States and any foreign government.”
. Ninth Circuit, Tenth Circuit, and Fourth Circuit district courts have also upheld this treaty. In Re Coe,
. As the Supreme Court described in United States v. Lara,
. "From the commencement of its existence, the United States has negotiated with the Indians in their tribal condition as nations, dependent, it is true, but still capable of making treaties.”
. In discussing an 1837 treaty with the Chippewa Indians, the Court stated:
Indian treaty rights can coexist with state management of natural resources. Al*998 though States have important interests in regulating wildlife and natural resources within their borders, this authority is shared with the Federal Government when the Federal Government exercises one of its enumerated constitutional powers, such as treaty making. U.S. Const., Art. VI, cl. 2.
(citing, as an example, Forty-Three Gallons of Whiskey,
. 25 U.S.C. § 71 states, in relevant part: “No Indian nation or tribe within the territory of the United States shall be acknowledged or recognized as an independent nation, tribe, or power with whom the United States may contract by treaty; but no obligation of any treaty lawfully made and ratified with any such Indian nation or tribe prior to March 3, 1871, shall be hereby invalidated or impaired.”
. It is worth noting that the 1871 passage of 25 U.S.C. § 71 had as much to do with the irritation of the House of Representatives with being left out from the regulation of Indian affairs as it had to do with Indian sovereignty. See Blake v. Arnett,
. The Supreme Court recounted the status of Indian tribes:
[Indian tribes] are considered as within the jurisdictional limits of the United States, subject to many of those restraints which are imposed upon our own citizens. They acknowledge themselves in their treaties to be under the protection of the United States; they admit that the United States shall have the sole and exclusive right of regulating the trade with them, and managing all their affairs as they think proper.... Treaties were made with some tribes by the state of New York, under a then unsettled construction of the confederation, by which they ceded all their lands to that state, taking back a limited grant to themselves, in which they admit their dependence.
Though the Indians are acknowledged to have an unquestionable, and, heretofore, unquestioned right to the lands they occupy, until that right shall be extinguished by a voluntary cession to our government; yet it may well be doubted whether those tribes which reside within the acknowledged boundaries of the United States can, with strict accuracy, be denominated foreign nations. They may, more correctly, perhaps, be denominated domestic dependent nations. They occupy a territory to which we assert a title independent of their will, which must take effect in point of possession when their right of possession ceases. Meanwhile they*999 are in a state of pupilage. Their relation to the United States resembles that of a ward to his guardian.
They look to our government for protection; rely upon its kindness and its power; appeal to it for relief to their wants; and address the president as their great father. They and their country are considered by foreign nations, as well as by ourselves, as being so completely under the sovereignty and dominion of the United States, that any attempt to acquire their lands, or to form a political connexion with them, would be considered by all as an invasion of our territory, and an act of hostility.
. As the government concedes, § 636 does not explicitly provide for the preparation of a R & R regarding a habeas petition challenging an extradition order. Therefore, the magistrate judge's jurisdiction, if any, must lie in the catch-all provision § 636(b)(3).
. The Rivera-Guerrero court analyzed the issue both as a duty under § 636(b)(1)(B) and § 636(b)(3), id. at 1070, so the decision's reasoning applies here.
. Of course, de novo review of a R & R is only required when an objection is made to the R & R, United States v. Reyna-Tapia,
Dissenting Opinion
dissenting.
Not every constitutional question requires judicial scrutiny or resolution. While the judiciary has the power to ad
I.
The majority rules that whether the President has the constitutional authority to enter into treaties with non-sovereigns, like Hong Kong, is a clear justiciable question under Baker v. Carr,
A.
First, mindful of the fact that not “every case or controversy which touches foreign relations lies beyond judicial cognizance,” Baker,
The majority narrowly reframes the issue for purposes of the first Baker test, as whether the term “treaty” in the Treaty Clause encompasses agreements with non-sovereigns. Maj. op. at 997. But the real issue here is not as simple as the majority would have us view it. While it is undisputed that the judiciary has the power to interpret the language of the Constitution, including the Treaty Clause, see Cooper v. Aaron,
As Chief Executive, U.S. Const, art. II, § 1, cl. 1, and Commander in Chief, U.S. Const, art. II, § 2, cl. 1, the President is “the guiding organ in the conduct of our [nation’s] foreign affairs.” Ludecke v. Watkins,
Here, the President, acting within his grant of constitutional authority, engaged in diplomatic relations with Hong Kong while under British and now Chinese rule. On the basis of this preexisting relationship, the President considered Hong Kong a foreign power — sovereign or non-sovereign — with which the United States could cooperate and reach various agreements, including an extradition agreement. To effectuate his interest in establishing an extradition policy with Hong Kong, the President entered into the Hong Kong Extradition Agreement (HKEA) with the Senate’s approval pursuant to the President’s constitutionally committed power to “make Treaties, provided two thirds of the Senators present concur.” U.S. Const, art. II, § 2, cl. 2. The HKEA is, therefore, a Senate-approved treaty that represents the President’s ongoing interest in maintaining foreign relations with Hong Kong.
It is not the role of the courts to question whether the President properly exercised his political power by entering into a treaty with Hong Kong in the process of conducting foreign affairs. See Harisiades v. Shaughnessy,
Moreover, given the President’s broad textual grants of authority in conducting the nation’s foreign affairs, the Supreme Court has reasonably invoked the political question doctrine distinctly in the area of foreign affairs. See Oetjen, 246 U.S. at
While the treaty power of the Executive expressly involves the participation of the Legislature, nowhere does the Constitution contemplate the participation by the third, non-political branch, that is the Judiciary, in any fashion in the making of international agreements or the recognition of foreign governments .... [T]his is one of those areas of foreign relations textually committed to the political branches to the exclusion of the Judiciary.
Antolok v. United States,
Although the Constitution does not spell out a pronounced textual limit on the authority granted to the President to make treaties under Article II, it is clear, from both its text and structure, that the Constitution grants the President expansive power in the area of foreign affairs. The power to make treaties, with the advice and consent of the Senate, necessarily implies in the President the power to choose the nation’s treaty partners-sovereign or non-sovereign. By intervening in this case, the majority forgets that we must defer to the political branches in political questions even where we think, as the majority does here, that we can provide a basis for sanctioning the President’s contested action. See id. at 383 (explaining that “it is against that very invasion that the political question doctrine protects the political realm from judicial invasion”).
B.
Second, the courts lack judicially manageable standards to determine what constitutes a constitutionally cognizable treaty partner under the Treaty Clause. As in Goldivater and Made in the USA Found., the crux of the challenge in the present case is not centered on 'the treaty’s substantive provisions, but rather on what it means to adopt a treaty. In Goldwater, for example, the Supreme Court addressed the abrogation of a treaty, a plurality of the Court holding that the question of whether the President could unilaterally terminate a treaty is governed by political standards.
Such decisions require that we consider areas beyond our judicial expertise. Indeed, in Made in the USA Found., the Eleventh Circuit held that it lacked the legal tools to decide what constitutes a treaty requiring Senate ratification in part because “the Treaty Clause [ ] fails to outline the circumstances, if any, under which
Not surprisingly, because the Constitution does not speak to this issue, the majority relies upon a “neutral analysis of the Indian treaty line of cases,” Maj. op. at 996, to infer that the President may enter into treaties with non-sovereigns. The majority’s position, like the Second Circuit’s position in Cheung v. United States,
The majority explains that in Cherokee Nation v. Georgia, for example, the Supreme Court described Indian nations as “domestic dependent nations,” suggesting their non-sovereign status.
The condition of the Indians in relation to the United States is perhaps unlike that of any other two people in existence. In general, nations not owing a common allegiance are foreign to each other. The term foreign nation is, with strict propriety, applicable by either to the other. But the relation of the Indians to the United States is marked by peculiar and cardinal distinctions which exist no where else.... [Tjhey are considered as within the jurisdictional limits of the United States, subject to many of those restraints which are imposed upon our own citizens.
Id. at 16-17,
The fact that Congress passed 25 U.S.C. § 71, which prohibited treaties with Indian tribes after 1871, furthers this argument. There, the statute reads, in relevant part:
No Indian nation or tribe within the territory of the United States shall be*1005 acknowledged or recognized as an independent nation, tribe, or power with whom the United States may contract by treaty; but no obligation of any treaty lawfully made and ratified with any such Indian nation or tribe prior to March 3, 1871, shall be hereby invalidated or impaired.
25 U.S.C. § 71 (emphases added). Wang contends that this language suggests congressional intent to strip Indian tribes of their sovereign status and affirm the inter-sovereign nature of treaties. Yet the statute could also be read as proof that Indian tribes were never recognized as sovereign nations, but rather as dependent nations.
While it is unclear whether Indian tribes were sovereign or non-sovereign at the time the President entered into treaties with them, what is clear .is that Indian nations are historically distinct. To compare United States-Indian treaties to the HKEA, therefore, is neither reasonable nor rational and fails to “fill[] in the silence of the Treaty Clause and the extradition statute with respect to the term ‘treaty.’ ” Maj. op. at 999; see Alperin,
C.
Last, prudential considerations militate against reaching the merits of Wang’s appeal. The Supreme Court clearly stated in Baker that it is crucial that the nation speaks with one voice in the field of foreign affairs.
The majority contends that this one-voice concern is “overstated” because, even if the court had reached the opposite result, the President would still have the power to enter into an executive agreement or pass legislation with both houses of Congress. Maj. op. at 996. While I accept that the President may use alternative measures to reach an extradition agreement with Hong Kong, I submit that there is no reason to question the President’s decision when both the State Department and the Senate have sanctioned the present action. Cf Alperin,
The question of whether the President has the constitutional authority to enter into treaties with non-sovereigns, like Hong Kong, is by its nature political and, thereby, non-justiciable. The Baker tests inform us, in fact, that the resolution of the issue is inextricably linked to the President’s broad authority in the field of foreign relations; that the judiciary lacks the legal tools to resolve the issue in a principled manner; and that prudential considerations weigh against our involvement in the case. The majority today, as a result, announces an unnecessary constitutional ruling that has the effect of seriously threatening the strength of the political question doctrine. For these reasons, I must dissent.
