Brian and Karyn Degen appeal from judgments entered against them in the district court on their claims to the defendant properties in this civil forfeiture action. The district court held in a published opinion that Brian Degen (hereinafter referred to as “Brian”) was “disentitled” from pursuing his claim to the defendant properties under the fugitive disentitlement doctrine.
See, e.g., United States v. $129,374 in United States Currency,
We have jurisdiction under 28 U.S.C. § 1291 and now affirm as to both appellants.
FACTS AND PROCEDURAL HISTORY
This civil forfeiture action under 21 U.S.C. §§ 881(a)(6) & (7) involves several million dollars worth of real and personal property, bank accounts, property income, and business interests located in California, Nevada, and Hawaii. The government initiated forfeiture proceedings against a wide array of property in 1989; after the Degens filed claims to a substantial portion of the property, the government severed those properties and made them the subject a second complaint. The complaint alleges that all the defendant properties were the fruits of and/or used to facilitate a massive marijuana trafficking operation Brian had participated in for over twenty years, beginning in the late 1960s. In a separate proceeding, a grand jury in the District of Nevada indicted Brian on a wide array of criminal charges relating to the alleged marijuana smuggling and related money laundering activities.
Brian is a Swiss citizen. Shortly before being indicted, he left the United States and resettled with his family in Switzerland. Under the extradition treaty between Switzerland and the United States, neither country is obligated to extradite its own nationals, so the United States government has been unable to secure his return to this country to face the criminal charges in Nevada. Brian refused to return voluntarily to the United States when he learned of the criminal charges against him. He was apparently arrested in Switzerland in late 1992, although
The government first moved for summary judgment in May 1990. The district court granted the motion with respect to Brian, holding that he was a fugitive from justice in the related criminal case and therefore was not entitled to contest the civil forfeiture action. The court denied the first motion against Karyn, finding that she had raised triable issues of fact with respect to her innocent owner defense.
The government moved again for summary judgment in December 1992, against Karyn only. The second motion was supported by affidavits of three of Brian’s alleged partners in his drug smuggling business, detailing their illegal activities and the sizeable amounts of money Brian earned therefrom over the years. The affiants also alleged that Brian had no significant income from legitimate sources during the long period covered by the criminal indictment. The motion was further supported by documentary evidence and an accompanying authenticating affidavit by the Assistant United States Attorney handling the case.
Under Local Rule 140-4, Karyn initially had fifteen days in which to respond to the summary judgment motion. She obtained numerous extensions of this deadline, claiming that sealing orders obtained by the government made it impossible to gather evidence in support of her claims. After a hearing in February 1993, the district court made all relevant documents available to Karyn to use in preparing her response to the motion, and reopened discovery for sixty days. When Karyn failed to file a response to the summary judgment motion before a final deadline imposed by the district court had passed, the court entered judgment against her pursuant to Local Rule 140-6.
I.
The disentitlement doctrine provides that a fugitive from justice under certain circumstances loses the right to call upon the resources of the courts. In a leading Supreme Court case on the subject, for example, a criminal defendant fled after being convicted and the Court held that his escape “disentitle^ him] to call upon the resources of the Court for determination of his” direct appeal.
Molinaro v. New Jersey,
The disentitlement doctrine applies in more contexts than just direct criminal appeals. The circuit courts have extended the doctrine to disentitle fugitives from participating in civil proceedings related to the criminal cases they have fled.
See, e.g., Conforte v. Commissioner of Internal Revenue,
The present case differs from prior Ninth Circuit applications of the disentitlement doctrine in one respect. In prior cases, the claimants have fled after being convicted in a related criminal proceeding.
See, e.g., $129,374,
The district court correctly concluded in its opinion dismissing Brian’s claims in December 1990 that he was at that time a fugitive from justice because he knew he had been indicted in Nevada but refused to return.
Brian was apparently arrested by Swiss authorities on November 19,1992. His counsel strenuously argued in the district court and again in this court that the Swiss arrested Brian at the behest of the United States government, which wished to “transfer” its prosecution to Switzerland because extradition was impossible. While counsel argues this point, however, the record contains no admissible evidence to support these claims.
The only document submitted to the district court that even arguably tended to prove that Brian was arrested in Switzerland was an affidavit of the Degens’ counsel, submitted by Karyn Degen in support of a request for an extension of time to respond to the second summary judgment motion. The affidavit, however, consists of hearsay, multiple hearsay, and virtually no factual statements based on personal knowledge.
The only other purported
evidence
of United States involvement in Brian’s arrest in Switzerland are two letters from the Department of Justice Office of International Affairs to Swiss authorities, supposedly proving that the United States government was “transferring” its prosecution of Brian to Switzerland. There are numerous obstacles to Brian’s attempt to use these letters as evidence of improper activity by the government. To begin with, the letters are unauthenticated and, so far as we can discern, are hearsay not subject to any exception. Furthermore, the letters were never submitted
Even putting these problems aside, Brian has never proffered any supporting evidence or argument explaining the import of the letters. For example, despite being in contact with Brian’s Swiss local counsel and possibly with Brian himself, Brian’s counsel in this ease has apparently failed to obtain a copy of the Swiss charges against Brian in the two years since the arrest in Switzerland. Without even that basic piece of information, any conclusion as to whether the Swiss prosecution was a “transfer” of the Nevada charges would be sheer speculation. Brian has also submitted no legal authority explaining how the purported “transfer” of prosecutions from the United States to Switzerland was effected. Our research reveals no treaty between the United States and Switzerland which authorizes such transfers of prosecution; other bilateral treaties to which the United States is a party, however, do explicitly provide such a mechanism. See, e.g., Treaty on Extradition, U.S.-Denmark, June 22, 1972, art. 5, 25 U.S.T. 1298 (if the requested state declines to extradite its own national, “the requested State shall submit the case to its competent authorities for the purpose of prosecution”); Extradition Treaty, U.S.-Finland, June 11, 1976, art. 4(2), 31 U.S.T. 944 (same); Treaty of Extradition, U.S.-Netherlands, June 24, 1980, art. 4(3), T.I.A.S. 10733 (“If extradition is not granted solely on the basis of the nationality of the person sought, the Requested State shall, at the request of the Requesting State, submit the case to its competent authorities for the purpose of prosecution, provided that the offense constitutes a criminal offense under the law of that State and that State has jurisdiction over the offense.”).
All in all, we find that there is no credible evidence properly in the record before us to support Brian’s allegations of government involvement in his arrest and prosecution in Switzerland. Furthermore, there is language in several cases suggesting that the fact that a fugitive is incarcerated in a foreign jurisdiction does not preclude application of the fugitive disentitlement doctrine.
See, e.g., Timbers Preserve,
The district court erred in one respect in its 1990 opinion. The district court found that upon finding that Brian was a fugitive from justice, this court’s decision in
$129,371.
allowed for no discretion in the application of the disentitlement doctrine. As a result, the court did not consider whether the doctrine should, in the exercise of its discretion, be applied. Subsequent decisions, however, have made clear that the doctrine is discretionary, not mandatory.
See, e.g., Ortega-Rodriguez,
- U.S. at - n. 23,
II.
Karyn argues that the district court erred in entering summary judgment against her under Local Rule 140-6. She contends that genuine issues of material fact exist as to her innocent owner defense to the forfeiture action, and that she was unable to prepare a response to the government’s second summary judgment motion due to the sealing of various documents and the inability of certain witnesses to testify in depositions about matters also under seal. We find, however, that the district court properly exercised its discretion in granting the government’s second summary judgment motion.
A. Procedural Background
The government filed its second summary judgment motion on December 2, 1992. District court Local Rule 140-6 provides that “[t]he failure of an opposing party to file a memorandum of points and authorities in opposition to any motion shall constitute a consent to the granting of the motion.” Under Local Rule 140-4, a party normally has fifteen days in which to respond to any motion. The government initially agreed to a fifteen-day extension of that deadline. Karyn did not, however, adhere to that timetable.
On January 5, 1993, several days after the first extended deadline passed, Karyn moved for an extension of time to reply. Karyn argued that the sealing of several documents, including affidavits supporting the government’s summary judgment motion, made it impossible to defend the motion. She also complained that she was unable to respond to the motion because the assistance of Brian Degen was essential and he had been arrested by Swiss authorities, allegedly at the behest of the United States government, and was being held “incommunicado.”
In response to this motion, the district court held a hearing. At the close of the hearing, the court found that two of the government’s affidavits supporting its motion should not have been sealed and ordered them made available to Karyn. A third affidavit, that of Ciro Mancuso, was ordered sealed but made available to Karyn and her counsel to prepare their response to the motion. The court also reopened discovery for sixty days and allowed Karyn until twenty days after the new close of discovery to respond to the summary judgment motion.
When Karyn failed to respond to the motion by the new deadline, the district court, on May 3, sua sponte granted an additional two week extension. The court warned, however, that if Karyn failed to respond by May 17, “said motion will be forthwith granted.” Rather than comply, however, Karyn on May 5 filed a Motion for Order Staying Further Proceedings in This Case Pending Resolution of Related Criminal Actions. On May 19, the government filed an opposition to Karyn’s request for a stay, and a request for judgment in accordance with the May 3 Minute Order.
On June 2, the district court denied Karyn’s motion for a stay and granted an additional twenty days in which to respond to the summary judgment motion. The court again explicitly warned Karyn that it would enter summary judgment against her if she failed to respond:
[Karyn] has failed to respond [to the summary judgment motion] within the time period required by the rules. However, rather than to default [her] at this time, the Court will grant an additional period oftwenty (20) days to respond to the motion for summary judgment. If [Karyn] fails to respond to said motion within 20 days summary judgment will be entered. [Karyn] has been allowed ample time to file a response to this motion.
When Karyn failed to file any response or other motion, the district court entered summary judgment against Karyn in an order dated June 23, 1993.
B. Discussion
Federal Rule of Civil Procedure 83 permits the district courts to promulgate local rules governing practice and procedure, so long as the rules do not conflict with the Federal Rules. In appeals from grants of default summary judgment, this court has upheld two Arizona district local rules which are substantially identical to Nevada Local Rule 140-6.
Henry v. Gill Indus., Inc.,
In
Henry,
we noted that the “interrelationship between Rule 56 and Rule 83” requires that the local rule leave a measure of discretion in the hands of the district court.
Local Rule 140-6 provides that failure to file an opposition to a motion “shall constitute a consent to the granting of the motion.” While the rule allows no discretion in finding that
consent
has been given, it does not remove the district court’s discretion as to whether to
grant
the motion. As this court observed in
Warren,
“‘[c]onsent’ when imposed by rules such as 11(g) can be ‘withdrawn’ by ‘permission’ of the court given in its ‘discretion.’ That is, fictional ‘consent’ under Rule 11(g) is never a burden from which the transgressor can not be relieved.”
Local Rule 140-6 allows the same discretion approved in Warren, so that the district court retains the power not to grant judgment despite a violation of the rule, if the underlying motion is deficient. We therefore hold that the rule is facially valid.
The district court’s grant of summary judgment against Karyn would consequently be permissible so long as the government’s motion satisfied Rule 56, and we find that it did. Civil forfeiture actions under 21 U.S.C. §§ 881(a)(6) & (7) are in rem proceedings in which the property seized is the defendant.
United States v. One 1985 Mercedes,
The government submitted all new evidence in support of its second summary-judgment motion. The affidavits supporting the second motion consist of statements by Brian Degen’s “smuggling partners” which, if believed, establish that Brian earned enormous amounts of money from illegal narcotics trafficking and had virtually no legitimate income. 3 This evidence suffices to establish probable cause that all of the properties seized were purchased with the proceeds of, or used to facilitate, illegal transactions.
In response to the first summary judgment motion, the Degens submitted evidence intended to establish that some of the defendant properties were not forfeitable in their entirety because they had been purchased in part with Karyn’s separate property. Without expressing any opinion as to whether the district court properly ruled that this evidence raised a genuine issue of fact with respect to Karyn’s claims at the time of the first motion, we find the evidence irrelevant to our review of the district court’s Local Rule 140-6 decision of the second motion.
Under
Henry,
default summary judgment is proper unless “the
movant’s papers are themselves insufficient
to support a motion for summary judgment or
on their face
reveal a genuine issue of material fact.”
Here, unlike in Marshall, the government’s papers were sufficient and on their face revealed no factual issue. Karyn might possibly have averted summary judgment simply by resubmitting the same evidence she offered in response to the first motion. She did not do so, however, and therefore cannot complain that the evidence was not considered when she defaulted. While Karyn was under no obligation to submit evidence in opposition to the motion, the government was entitled to summary judgment on the basis of its undisputed evidence.
We review the district court’s decision to grant judgment for violation of Local Rule 140-6 for abuse of discretion.
See Warren,
Karyn had the opportunity to depose all witnesses whose affidavits the government submitted in support of its motion.
4
We also
The district court specifically warned Karyn at least twice that it would enter judgment under Local Rule 140-6 if she failed to respond. The court sua sponte granted an additional extension. Under these circumstances, granting the government’s motion was not an abuse of discretion.
5
See, e.g., Henderson v. Duncan,
III.
Shortly before oral argument in this ease, the Degens filed a document entitled “Motion to Remand with Instructions to Dismiss with Prejudice.” The gist of the motion, which in reality raised a new issue on appeal which had not previously been briefed by the parties, is that this civil forfeiture case must be dismissed on double jeopardy grounds. We find this argument to be utterly without merit.
The Degens rely on the recent decision by a panel of this court in
United States v. $405,089.23 U.S. Currency,
The motion purports to be on behalf of both appellants. So far as Karyn Degen is concerned, the suggestion that she has been placed in double jeopardy comes dangerously close to being frivolous. It requires no probing analysis to conclude that one’s right to be free from double jeopardy cannot be violated by being placed only once in jeopardy. Unlike her husband, Karyn has not been indicted, much less tried or convicted, of any criminal charges related to this forfeiture action. Karyn therefore has no plausible argument that she is entitled to relief under the Double Jeopardy Clause.
Brian’s double jeopardy claim is almost as weak. He has been indicted in the District of Nevada on drug trafficking and money laundering charges related to the present forfeiture action. He has not, however, been arrested or tried. It is well-
IV.
The judgments of the district court against both Brian and Karyn Degen are
AFFIRMED.
ORDER
May 5, 1995
Appellant Brian Degen’s Motion for Leave to File Reply in Support of Petition for Rehearing and Suggestion for Rehearing En Banc is DENIED.
The opinion filed February 10, 1995, is amended to include the following new footnote number 2, inserted after the last word on page 1518:
With these amendments, the panel has voted unanimously to deny the petition for rehearing. Judge Hall votes to reject the suggestion for rehearing en banc and Judges Sneed and Norris so recommend. The full court has been advised of the suggestion for rehearing en banc and no active judge has requested a vote on whether to rehear the matter en banc. Fed.R.App.P. 35.
The petition for rehearing is DENIED and the suggestion for rehearing en banc is REJECTED.
Notes
. Just prior to oral argument, the Degens made a formal motion to supplement the record on appeal with these letters. We denied the motion. The present discussion is intended in part to explain that ruling.
. While this appeal was pending, the Supreme Court decided
United States v. James Daniel Good Real
Property,-U.S.-,
. The Degens claim that the government's affidavits in support of the motion were defective. This contention is meritless. The declarations all appear to be based on personal knowledge, relating events which the declarants witnessed or were told by Brian in the course of their smuggling and financial dealings. Certainly, the De-gens might have been able to attack the declar-ants' credibility had the case gone to trial, but such impeachment would affect the weight of the evidence, not its admissibility, and is immaterial for summary judgment purposes.
. Karyn argues that she was unable fully to depose certain witnesses because they refused to answer questions regarding their sealed plea agreements in related criminal cases. Therefore, she claims, she was unable to elicit testimony showing the witnesses’ bias. This claim, however, is irrelevant: on a motion for summary judg
. Karyn further contends that the district court erred by not granting her motion for a stay pending completion of the related criminal proceedings, when no further sealing orders would be necessary. The decision to grant a continuance is committed to the discretion of the trial judge.
See Ungar v. Sarafite,
