EDNY Discusses Extraterritorial Application of the Fourth Amendment

At the end of last month, the Eastern District of NY decided U.S. v. Loera, denying two motions to suppress by Joaquin Loera, better known as El Chapo. Loera argued that the U.S. Government violated his Fourth Amendment rights when it searched servers containing his information in the Netherlands, as well as evidence contained in spyware accounts on U.S. servers owned by Amazon.

The Court decided that Loera lacked standing, because he refused to acknowledge the seized data was his (a Catch-22 the Court recognized), but went on to state that even if he possessed Fourth Amendment standing, it would have ruled against him regardless. This is where the Court’s discussion of the extraterritorial application of the Constitution appeared.

The Court relied on Verdugo-Urquidez, noting that much like Verdugo-Urquidez himself, Loera is accused of being a high ranking member of a Mexican drug cartel. While the searches at issue in Loera took place in the Netherlands, as opposed to Mexico, the Court held that the search was outside the United States of property owned by a Mexican citizen, which is exactly the situation the Supreme Court faced in Verdugo-Urquidez.

Loera argued that he had sufficient connections to the United States, as demonstrated by the Government’s affidavits, alleging his wide-ranging criminal conspiracy to import drugs to the United States. The Court rejected this argument for two reasons: 1) the Defendant bears the burden of demonstrating a substantial connection to the United States and may not rely on Government affidavits to meet that burden; and 2) this is not the sort of connection that the Supreme Court envisioned when it discussed the community of people covered by the Fourth Amendment. Rather, purely criminal acts do not entitle a defendant to the Fourth Amendment’s protections.

The Court also made other findings as to why, even if the Fourth Amendment applied, the evidence would not need to be suppressed.

This was a straightforward application of Verdugo-Urquidez and as such, is fairly uncontroversial. I also find the Court’s additional rationales for allowing the searches to be convincing and thus I agree the evidence should not be suppressed. However, as noted elsewhere, I have issues with Verdugo-Urquidez itself. But one aspect of this case bears special mention.

It is odd to argue that purely criminal activities do not establish the “substantial connections” required to render the Fourth Amendment applicable to someone like Loera, when the Fourth Amendment is largely concerned with protecting the rights of criminal defendants. Surely, criminals are a part of the American community, otherwise there would be no basis for finding even American citizens within the ambit of “the people” protected by the Fourth Amendment. Furthermore, courts have regularly found that the Fourth Amendment applies to undocumented immigrants who are found within the United States, and yet their very presence is often described as a criminal act.

Given that, it is hard to credit the Court’s rationale on this particular issue.

Cert petition filed in Ninth Circuit cross-border shooting case

As promised, when the defendant sought to stay the Ninth Circuit’s mandate, a petition for certiorari has been filed in Swartz v. Rodriguez, which concerns a cross border shooting incident. I discussed the Ninth Circuit’s decision here.

The petition is available here.

The petition presents two questions: 1) the “antecedent question” of whether a Bivens remedy applies at all and 2) whether Officer Swartz was entitled to qualified immunity.

As to the first question, it argues that the context of a cross-border shooting is new for Bivens purposes and that four “special factors” counsel hesitation in extending Bivens to this new context. Those special factors are: 1) foreign relations; 2) separation of powers; 3) the extraterritorial application of the Constitution in this case; and 4) the failure of Congress to act to provide a remedy.

I do not find the question of the extraterritorial application to be particularly convincing, because at the time Officer Swartz fired his weapon at J.A., the minor child, he had no idea if J.A. was a Mexican citizen, an American citizen, or whether he had any substantial ties to the United States. All he knew was that J.A. was in Mexico. The Supreme Court just last term in Hernandez v. Mesa frowned upon the use of unknown facts, learned only in hindsight, to justify a grant of qualified immunity. While this petition does ask a slightly different question, I do not believe that this makes a difference here.

Had J.A. been an American citizen, I believe he clearly should be entitled to a Bivens remedy, despite his presence in Mexico. The Supreme Court has consistently held, for over a century, that the Fourth Amendment travels with American citizens abroad. Given this, it does not seem extreme to extend the Bivens remedy abroad to the same extent. For reasons I have articulated elsewhere, I believe that the Fourth Amendment follows the conduct of U.S. officials wherever they act. And in this case, the action taken by Swartz undeniably occurred on U.S. soil, even though the effects occurred in Mexico.

In last term’s Ziglar v. Abbasi, the Court appeared to restrict Bivens to the three contexts in which it had previously been held to apply - unlawful searches and seizures under the Fourth Amendment, due process claims under the Fifth Amendment, and claims under the Eighth Amendment. Here, this seems like a classic Bivens case - indeed, unlike the search in Bivens, the seizure here was much more extreme. Only if the Court takes an extremely cramped view of the context can it be said to be materially different from Bivens itself.

While Congress could make matters a great deal clearer by enacting a statutory remedy for these types of cross-border shootings, its inaction, especially in light of Bivens, does not deprive the Court of the ability to recognize this three-decades old remedy in this familiar context.

Ninth Circuit Allows Cross-Border Shooting Case to Proceed, Splits with the Fifth Circuit

Earlier this month, the Ninth Circuit issued its decision in Rodriguez v. Swartz, 15-16149, affirming the denial of qualified immunity to a Border Patrol officer in the United States who shot and killed a Mexican citizen walking down a street in Mexico.  This is only one of a host of cross-border shooting incidents, the most famous of which was recently heard by the Supreme Court in Hernandez v. Mesa.  However, Hernandez did not reach the underlying constitutional question, vacating and remanding to the Fifth Circuit to determine if a Bivens remedy was available, in light of the Supreme Court's decision in Ziglar v. Abassi.

The Ninth Circuit's decision addresses the case in its earliest phases.  Swartz had moved to dismiss the complaint on the basis of qualified immunity.  The District Court denied the claim.  Swartz appealed.  On appeal, the Court took the facts as pled, which it described as "simple and straightforward murder."  J.A., a minor, was walking along a street in Nogales, Mexico.  Agent Swartz, unprovoked, fired his weapon across the border at J.A., firing between 14 and 30 bullets, hitting J.A. about 10 times, mostly in the back.  At the time of the shooting, Swartz had no way of knowing whether J.A. was an American or Mexican citizen, or whether he had any ties to the United States.

In addressing whether the Fourth Amendment applied, the Ninth Circuit relied on Boumediene v. Bush and distinguished United States v. Verdugo-Urquidez to find that J.A. was entitled to the protections of the Fourth Amendment.

The Court held as follows:

But this case is not like Verdugo-Urquidez for several reasons. For one, Verdugo-Urquidez addressed only “the search and seizure by United States agents of property that [was] owned by a nonresident alien and located in a foreign country.” That type of search and seizure implicates Mexican sovereignty because Mexico is entitled to regulate conduct in its territory. But unlike the American agents in Verdugo-Urquidez, who acted on Mexican soil, Swartz acted on American soil. Just as Mexican law controls what people do there, American law controls what people do here. Verdugo-Urquidez simply did not address the conduct of American agents on American soil. Also, the agents in Verdugo-Urquidez knew that they were searching a Mexican citizen’s property in Mexico, but Swartz could not have known whether J.A. was an American citizen or not.

The practical concerns in Verdugo-Urquidez about regulating conduct on Mexican soil also do not apply here. There are many reasons not to extend the Fourth Amendment willy-nillyto actions abroad, as Verdugo-Urquidez explains. But those reasons do not apply to Swartz. He acted on American soil subject to American law.

(footnotes omitted).

The Court noted it was creating a circuit split with the Fifth Circuit, but attempted to (unconvincingly, in my opinion) distinguish the case. 

Finally, the Court held that a Bivens remedy was appropriate, drawing a dissent from Judge Smith, who would have followed the Fifth Circuit's finding that a Bivens remedy was inappropriate in light of Abassi.

The Ninth Circuit, at the request of Swartz, has stayed its mandate pending a petition for certiorari.

The case is available here.

Puerto Rico and the Appointments Clause

On July 13, 2018, the United States District Court for the District of Puerto Rico issued a decision in In re: The Financial Oversight and Management Board for Puerto Rico as representative of the Commonwealth of Puerto Rico, denying a motion to dimiss the Oversight Board's bankruptcy petition under the Puerto Rico Oversightm, Management, and Economic Stability Act (PROMESA).

Under the terms of the Act, the Financial Oversight and Management Board had filed a petition in federal court to restructure Puerto Rico's debt.  Three of the creditors, Aurelius Investment, LLC, Aurelius Opportunity Fund, LLC and Lex Claims, LLC moved to dismiss the petition, arguing that the Oversight and Management Board was appointed in a manner inconsistent with the Appointments Clause of Article II, Section 2 of the U.S. Constitution.  The following is an excerpt of the facts.  Footnotes and citations have been removed.

In 2016, in response to the longstanding and dire fiscal emergency of theCommonwealth, Congress enacted PROMESA “pursuant to article IV, section 3 of the Constitution of the United States, which provides Congress the power to dispose of and make allneedful rules and regulations for territories.” PROMESA established, among other things, federal statutory authority pursuant to which federalterritories, including the Commonwealth, may restructure their debts.

The Oversight Board is composed of seven voting members, with the Governor or his designee serving ex officio as an additional non-voting member.  PROMESA provides that the President "shall appoint" the seven voting members as follows: one "may be selected in the President's sole discretion" and six "should be selected" from specific lists of candidates by congressional leaders. (emphasis added).  PROMESA does not require Presidential nomination and Senate confirmation for the President's discretionary appointeess and members chosen from the congressional lists.  However, in the event that the President appoints members that are not named on the congressiaional lists, Senate confirmation is required under PROMESA.

 

Aurelius argued that the Appointments Clause procedures were mandatory because members of the Board are either (i) principal "Officers of the United States" who could only be appointed with Senate confirmation; or (ii) inferior officers of the United States whose appointment was improperly delegated to the President.

The United States intervened to defend PROMESA's constitutionality.  It argued that PROMESA’s appointment mechanism is not subject to the Appointments Clause because (i) the Oversight Board members are territorial officers rather than “Officers of the United States,” and (ii) the Appointments Clause does not govern the appointment of such territorial officers.

In addition, the Board argued that the Appointments Clause is not a "fundamental" constitutional provision and so does not apply of its own force to Puerto Rico, under the Territorial Incorporation Doctrine, and, in the alternative, even if were applicable, the Board members were properly appointed.

The Court avoided the tricky question of whether the Appointments Clause applies to Puerto Rico, because it determined that the members of the Board were territorial officers and not "Officers of the United States."  As such, regardless of whether the Clause applied, it would not govern the appointment of Board members.

The Court relied on Congress's plenary power under Article IV, Sec. 3 of the Constitution to "make all needful Rules and Regulations respecting the Territory or other Property belonging to the United States...."  It held that despite the fact the officers are appointed by the President and are only removable by him, they are not "Officers of the United States" within the meaning of the Appointments Clause.  Because territories are not inherently sovereign, like states, the federal government plays two roles in overseeing them - the more familiar federal role, and it can act as states do with regard to their own governments.  The court likened territories to municipal corporations, such as counties.  When acting in that role, the federal government creates officers that belong to the territory and it has the authority to determine how such officers shall be appointed.

This can be a confusing area of law, since most people are not accustomed to thinking of federal power as being divided in this way.  It can also be confusing, given that the Supreme Court has held that the territory's sovereign powers flow from the federal government, such that the two are not distinguishable for Double Jeopardy purposes.  Nevertheless, this distinction between territorial and federal officers is long recognized and it allowed the Court to avoid the more tricky question that would arise under the Board's theory, arising as it does from the Insular Cases.

Further reading:

In re The Financial Oversight and Management Board for Puerto Rico as representative of Commonwealth of Puerto Rico, No. 17 BK 2383-LTS.

Hat tip to Bob Loeb at Orrick for posting a copy of the decision.

Judge Kavanaugh and the Extraterritorial Constitution

With the nomination of Judge Brett Kavanaugh to replace Justice Anthony Kennedy, I have decided to examine Judge Kavanaugh's views on the extraterritorial application of the Constitution.  Because of his position on the D.C. Circuit, he has a higher than usual number of opinions in this area, largely as a result of that Circuit's role in overseeing appeals from detainees held at Guantanamo Bay, Cuba.

This is something of a mixed blessing - on the one hand, it provides a larger number of opinions to analyze; on the other, almost all of them involve questions of war, which tend to be treated differently than other areas of law.  Nonetheless, an examination of Judge Kavanaugh's six opinions dealing with the extraterritorial application of the Constitution is useful.

Special thanks to dccircuitbreaker.org for compiling all of Judge Kavanaugh's opinions in one place for easy reference.

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Case Summary: Boumediene v. Bush

Terror.  Boumediene sought a writ of habeas corpus seeking to challenge his detention and the military commissions used to determine his status as an enemy combatant.  The Court split 5-4.

[Disclosure: I worked to co-author an amicus brief on the applicability of the Geneva Conventions to these prisoners in this case - AM-T].

Factual Background:  Boumediene and others were aliens designated as enemy combatants and held by the United States at the Naval Station in Guantanamo Bay, Cuba.  They sought a writ of habeas corpus, alleging that aspects of Military Commissions Act, which sought to strip the courts of jurisdiction, were unconstitutional violations of the Suspension Clause.

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Third Circuit holds Suspension Clause applies to Special Immigrant Juveniles

Last week, the Court of Appeals for the Third Circuit decided Osorio-Martinez v. Attorney General, 17-2159, a challenge by several Honduran and El Salvadoran children and their mothers to an order of expedited removal.  The Court held that the children, who had been granted Special Immigrant Juvenile (SIJ) status, could not challenge their expedited removal orders, because 8 U.S.C. 1252(e)(2) deprives the courts of jurisdiction to determine anything other than whether an expedited removal order was issued and whether it applies to the petitioners.

This was a follow-on to the Third Circuit's earlier decision in Castro v. Department of Homeland Security, 835 F.3d 422 (3rd Cir. 2016) cert denied 137 S. Ct. 1581 (2017).  There, the Court had made a similar holding regarding these same plaintiffs, prior to their achieving SIJ status.  In Osorio-Martinez, the court confronted the question left open by Castro, whether the jurisdiction-stripping statute violated the Suspension Clause of Article I, Section 9.

In Castro, the court did not reach the question because it determined the juveniles lacked sufficient ties to the United States to invoke the Suspension Clause, relying on Verdugo-Urquidez.  Here, however, the court determined that SIJ status created a sufficient legal relationship between the United States and the juveniles in question to allow them to invoke the Suspension Clause.

The court then used the Supreme Court's test in Boumediene v. Bush, 553 U.S. 723 (2008), to determine that nothing in the juveniles' status prevented them from invoking the Suspension Clause and that the jurisdiction-stripping provision provided no adequate and effective alternative means of challenging their detention and removal.  Therefore, the jurisdiction-stripping provision was unconstitutional as applied to these plaintiffs.

In my opinion, the decision by the Third Circuit here is correct.  However, I take issue with its earlier decision in Castro.  Simply put, the "substantial connections" test of Verdugo-Urquidez has no place in an analysis of whether an alien can invoke the Suspension Clause.  The Suspension Clause has no reference to "the people," and its placement in Article I, Section 9 makes clear it is a limit on Congress' power, not a right granted to individuals.

Finally, the reliance on substantial connections in Castro conflicts with Boumediene itself, which did not examine the connections between the detainees in Guantanamo Bay, Cuba and the United States.  The only connections the detainees had was their presence in military custody, yet the majority still found they had the ability to invoke the Suspension Clause.

This is yet another example of lower courts reading Verdugo-Urquidez to apply far beyond both its facts and its reasoning.  Hopefully, advocates can start pointing out that the substantial connections test, by its very terms, is limited to only those Amendments that reference "the people" and courts will start agreeing.  Beyond that, in a future blog post, I plan to explain why it is time to revisit the reasoning of Verdugo-Urquidez, even if we ultimately decide to keep its holding.

Case Summary: Johnson v. Eisentrager

Johnson v. Eisentrager, 339 U.S. 763 (1950) grew out of World War II and dealt with the question of what rights, if any, detained enemy aliens, who had never entered the United States, could claim.  The Court split 6-3.

The Facts: The case involved petitions of habeas corpus from 21 German nationals being held in Landsberg Prison in Germany, then under U.S. control.  They had been captured in China while supporting German forces following Germany's unconditional surrender on May 8, 1945, but prior to the surrender of Japan.  These prisoners were tried and convicted of war crimes by a military commission sitting in China with the express permission of the Chinese Government.  They were repatriated to Germany to serve their sentences.  The German prisoners claimed that their trial, conviction and imprisonment violated Articles I and III of the U.S. Constitutition, the Fifth Amendment, and other provisions of the Constitution and laws of the United States, as well as provisions of the Geneva Conventions. 

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The Obviously Extraterritorial Constitution

As noted in earlier posts, there are open questions about which provisions of the Constitution apply abroad.  However, there are some provisions that quite clearly do - most notably the "Define and Punish Clause" in Article I, Section 8.

This provision provides that Congress shall have the power "To define and punish Piracies and Felonies committed on the high Seas, and Offenses against the Law of Nations[.]"  By its definition, this power applies outside the territorial boundaries of the United States, at least in part.  Congress has used this power, almost since it first met, to punish piracy, among other international crimes.

Today, this clause is used to combat hijacking of aircraft and is the basis for the Maritime Drug Law Enforcement Act, which is the major basis for Coast Guard actions interdicting drugs making their way to the United States, so long as the vessels are captured on the high seas.

Another clause that, on its face, calls for extraterritorial application, is somewhat related - the juries clause of Article III, Section 2.  This clause holds that "The Trial of all Crimes, except in Cases of Inpeachment, shall be by Jury; and such Trial shall be held in the State where the said Crimes shall have been committed; but when not committed within any State, the Trial shall be at such Place or Places as the Congress may by Law have directed."

This clause plainly contemplates that crimes over which the United States has jurisdiction may well be committed outside the boundaries of the States themselves.  At the time of the Founding, there was very little in the way of territory over which the U.S. exercised sovereign control that was not within the boundaries of a state.  The Northwest Territories were the prime example.  However, historical evidence demonstrates that this language applied to those crimes committed on the high seas as well.  Pirates were subject to the jurisdiction of the first district court into which they found themselves brought.

Although not demonstrated by the text itself, it seems self evident that the limits in Article I, Section 9 would apply to the extraterritorial exercises of jurisdiction allowed by Article I, Section 8.  Thus, it seems to me unremarkable to say that the power to "Define and Punish piracies and Felonies committed on the high Seas" is constrained by the Constitution's prohibitions on Bills of Attainder and ex post facto laws.  In other words, the drug runner who was caught on the high seas on October 5, 2006 (the day before the MDLEA went into effect) would have a valid constitutional defense to charges brought under Act.  Likewise, a bill which targeted an individual for punishment by name, even though that individual was living abroad, would be able to successfully argue that the bill contravened Article I, Section 9.

Given this, it seems that the Court's claim in Johnson v. Eisentrager, that the application of the Constitution abroad was so novel that it would have excited debate, does not withstand scrutiny.  Certainly, the idea that enemy aliens captured and held abroad could claim the protection of the Constitution, which was the core question in Eisentrager, might have raised eyebrows in Philadelphia.  But the idea that the Constitution empowered Congress to act outside the United States was self-evident.  And just as self evident, I argue, is the fact that the limits on Congress's power would travel abroad as well.

Recent scholarship, which I will examine in depth in a future blog post, appears to bear this out.  See Professor Nathan Chapman's excellent article, "Due Process Abroad," for more on this historical practice.