12A310 Moloney Stay Opp
12A310 Moloney Stay Opp
12A310
ED MOLONEY AND ANTHONY McINTYRE, APPLICANTS v. UNITED STATES OF AMERICA, ET AL. _______________ ON APPLICATION FOR A STAY PENDING THE FILING AND DISPOSITION OF A PETITION FOR A WRIT OF CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE FIRST CIRCUIT _______________ MEMORANDUM FOR THE UNITED STATES IN OPPOSITION _______________ The Solicitor General, on behalf of respondents, respectfully files this memorandum in opposition to the application for a stay pending the filing and disposition of a petition for a writ of certiorari. STATEMENT 1. to the This case involves a formal request by the United Kingdom United States, the seeking 1972 assistance and with a criminal of Jean
investigation McConville.
into
murder
kidnapping
between the United States and the United Kingdom (U.S.-U.K. MLAT) generally provides that the two governments shall provide mutual
documents, records, and articles of evidence that are located in one country and may be useful for an investigation or prosecution in the other. See Treaty Between the Government of the United
States of America and the Government of the United Kingdom of Great Britain and Northern Ireland on Mutual Legal Assistance in Criminal Matters, S. Treaty Doc. No. 13, 109th Cong., 2d Sess. 354 (Art. 1); see id. at 367 (Art. 19). Pursuant to that treaty and 18 U.S.C.
3512, the United States submitted an application, ex parte and under seal, to the United States District Court for the District of Massachusetts, requesting that an Assistant United States Attorney be appointed commissioner to gather evidence on the United
Kingdoms behalf.
(permitting a federal judge, upon application by an appropriate federal official, to issue such orders as may be necessary to execute a request from a foreign authority for assistance in a criminal matter). Appl. App. A10. The commissioner subsequently issued two sets of subpoenas to officials at Boston College, requesting materials archived there, many of which had been collected as part of an academic project known as the Belfast Project. Appl. App. A10. In the Belfast The district court granted the application.
Project, which ran from 2001 to 2006, researchers sponsored by Boston College had interviewed former members of the Irish
3 Republican Army, the Provisional Sinn Fein, the Ulster Volunteer Force, Protestant paramilitary groups, and law enforcement, who were involved in the Troubles in Northern Ireland from 1969 forward. Id. at A5-A9. The agreements signed by the interviewees
purported to grant them the authority to control the release of their interview materials during their lifetimes, but Boston
College has absolute title to those materials, and the materials are stored at Boston College. Id. at A8.
The commissioners first set of subpoenas, issued in May 2011, sought records of interviews with two particular interviewees. Appl. App. A10. The Boston College officials voluntarily produced
responsive materials related to one of the interviewees (who was deceased), but not the other. Id. at A11. The second set of
subpoenas, issued in August 2011, sought records of any and all interviews with certain other interviewees containing information about the abduction and death of Mrs. Jean McConville. 2. subpoenas. Ibid.
The Boston College officials moved to quash both sets of Appl. App. A11. The district court concluded that it
had discretion, similar to the discretion it would have in the grand-jury context, to quash these subpoenas, but it declined to do so. 831 F. Supp. 2d 435, 449, 452-453, 459. It rejected the
Boston College officials contention that the requested materials were shielded from disclosure by a First Amendment privilege for confidential academic materials. Id. at 453-458. The court
information deserve heightened scrutiny, but reasoned, based on the evidence of the parties (some of which was submitted under seal), that the subpoenas were in good faith, and relevant to a nonfrivolous criminal inquiry; that the requested materials were not readily available from a less sensitive source; that the serious[ness] of the potential crimes under investigation
weigh[ed] strongly in favor of enforcement; and that disclosure would cause no harm to the free flow of information related to the Belfast Project itself because the Belfast Project stopped
Ibid.
Although it declined to quash the subpoenas in their entirety, the district court did grant some limited alternative relief. Appl. App. A13-A15. First, it agreed to review the materials
requested in the May subpoena in camera before requiring their disclosure. Id. at A12. Following that in camera review, the
district court ordered enforcement of the May subpoenas, and the Boston College officials have not appealed that order. Ibid.
Second, following extensive in camera review, the district court ordered the disclosure only of some materials in response to the August subpoenas, concluding that certain other materials were beyond the subpoenas scope. Id. at A15 & n.9. The Boston College
officials have appealed that order, id. at A15, and the appeal is still pending.
and one of its primary researchers (who is a former member of the Irish Republican Army). Appl. App. A6-A7. They moved to intervene
as of right, or for permissive intervention, in the subpoena proceedings initiated by the Boston College officials, raising arguments arguments. that largely tracked the Boston College officials
The court reasoned that applicants had no federal statutory right to intervene; that the U.S.-U.K. MLAT prohibits them from
challenging the Attorney Generals decisions to pursue the MLAT request; recipients that of the the Boston College officials, who were the any
subpoenas,
adequately
represent[ed]
potential interests of applicants; and that those officials had in fact argued ably in favor of protecting the interests of
Applicants then proceeded to file a separate civil action presenting the same legal theories as their prior intervention complaint. Appl. App. A14. In a ruling from the bench, the Ibid. The court concluded
that applicants lacked standing to bring claims under the U.S.-U.K. MLAT; that their First Amendment claims were the same as the already-rejected claims of the Boston College officials; that the Attorney General as a matter of law ha[d] acted appropriately;
6 and that were this case to go forward on the merits, it could conceive of no different result than the one it had already reached in rejecting the motions to quash. Ibid. (brackets
motion and the dismissal of their separate civil complaint. App. A4-A5.
appeals affirmed.
The court concluded, as an initial matter, that applicants claims under the US-UK MLAT fail because [they] are not able to state a claim that they have private rights that arise under the treaty, and because a federal court has no subject matter
jurisdiction to entertain a claim for judicial review of the Attorney Generals actions pursuant to the treaty. see id. at A18-A27. App. App. A17;
Article 1 of the U.S.-U.K. MLAT expressly states that the treaty shall not give rise to a right on the part of any private person * * * to impede the execution of a request. Id. at A19
(quoting U.S.-U.K. MLAT, S. Treaty Doc. No. 13, 109th Cong., 2d Sess. 354). The court of appeals additionally concluded that even assuming the district court had discretion under federal law to quash the subpoenas -- an issue the court of appeals expressly declined to decide -- the district court had not abused its discretion in
7 determining that the balance of interests favored enforcement. Appl. App. A28-A30. In a footnote, the court of appeals rejected
applicants argument that the district courts discretion should have been guided by the factors set forth in Intel Corp. v. Advanced Micro Devices, Inc., 542 U.S. 241 (2004). n.17. Appl. App. A28
developed in the context of a different statute -- 28 U.S.C. 1782(a) -- that was not at issue in this case, and that here, the U.S.-U.K. MLAT itself supplies the substantive standards for
Finally, the court of appeals concluded that that applicants First Amendment allegations were properly dismissed for failure to state a claim. Appl. App. A30-A40. The court of appeals found
applicants assertions of an academic-confidentiality privilege to be foreclosed by this Courts decision in Branzburg v. Hayes, 408 U.S. 665 (1972), which held that the fact that disclosure of the materials sought by a subpoena in criminal proceedings would result in the breaking of a promise of confidentiality by reporters is not itself a legally cognizable First Amendment or common law injury. Appl. App. A33; see also id. at A35-A36 (relying also on University of Pennsylvania v. EEOC, 493 U.S. 182 (1990), which rejected a claim that peer review materials produced in a university setting should not be disclosed in response to an EEOC subpoena in an investigation of possible tenure discrimination, Appl. App. A35).
8 Observing that Branzburg had balanced law-enforcement interests against individual interests, the court of appeals reasoned that the law-enforcement interest in this case (which touched on the interests of two separate sovereigns) was potentially even stronger than in Branzburg, and that applicants interests in non-disclosure were no stronger than the personal-safety, criminal-liability, and job-security interests asserted on behalf of the confidential informants in Branzburg. Id. at A36-A38. The court of appeals
additionally concluded that [e]ven if Branzburg left us free, as we think it does not, to engage in an independent balancing * * * , we would still affirm, for the same reasons. Id. at A36
n.24. Judge Torruella concurred in the judgment. A46. Appl. App. A42-
they lack a cognizable interest under the First Amendment, but because any such interest has been weighed and measured by the Supreme Court and found insufficient to overcome the governments paramount concerns in the present context. respect to applicants doubts as intervention to whether Id. at A45-A46. Judge With
motion,
harbor[ed]
Boston
College
adequately represent the interest of academic researchers who have placed their personal reputations on the line, but
acknowledged that such concerns were moot because applicants are unable to assert a legally-significant protectable interest, as
9 the federal rules require in the context of a motion to intervene as of right. 5. banc. Id. at A46.
The court of appeals denied rehearing and rehearing en Appl. 9. It also denied a motion to stay the mandate
pending the filing of a petition for a writ of certiorari, but granted a temporary stay to permit applicants the opportunity to seek a stay from this Court. Appl. App. B1-B2. ARGUMENT As applicants acknowledge (Appl. 9), a stay pending
disposition of a petition for a writ of certiorari is warranted only when the applicant can show (1) a reasonable probability that four Justices will consider the issue sufficiently meritorious to grant certiorari or to note probable jurisdiction; (2) a fair prospect that a majority of the Court will conclude that the decision below was erroneous; and (3) a likelihood that irreparable harm will result from the denial of a stay. Indiana State Police
Pension Trust v. Chrysler LLC, 556 U.S. 960, 960 (2009) (per curiam) (quoting Conkright v. Frommert, 556 U.S. 1401, 1402 (2009) (Ginsburg, Circuit Justice, in chambers)); see Conkright, 556 U.S. at 1402 (Ginsburg, Circuit Justice, in chambers) (stating that an applicant must demonstrate all three factors). not made that showing here. 1. The stay application asserts that certiorari is warranted (1) whether the lower courts denied applicants a Applicants have
on three issues:
10 right to be heard on First Amendment objections to the subpoenas (Appl. 9-16); (2) whether the First Amendment precludes the
enforcement of the subpoenas (Appl. 16-21); and (3) whether the court of appeals applied the correct factors in reviewing the district courts exercise of discretion (Appl. 21-24). None of
those issues merits further review, nor would review of any of them result in reversal of the court of appeals decision. a. Applicants first contend (Appl. 9-16) that they were
denied their right to be heard on their First Amendment objections to the government subpoenas. That contention is misplaced. Both
lower courts considered on the merits -- and rejected on the merits -the First Amendment claims raised in applicants civil
complaint.
To the extent applicants contend that they should have been allowed to intervene in support of the Boston College officials motion to quash, that contention does not warrant this Courts review. Not only is the contention immaterial because applicants
First Amendment arguments were later fully heard in the context of their separate civil action, but it is at bottom simply a factbound challenge to the district courts conclusion that the Boston College officials adequately represented applicants interests. See 831 F. Supp. 2d at 458. Also without merit is applicants contention that they should have been allowed to submit evidence in support of their First
court of appeals accept[ed] as true all well-pleaded facts, analyz[ed] those facts in the light most hospitable to
[applicants] theory, and dr[ew] all reasonable inferences for applicants, yet nevertheless concluded that applicants had
the proposition that a district court is precluded from dismissing a First Amendment claim at the pleading stage for legal
insufficiency.
556 U.S. 662, 678 (2009) (To survive a motion to dismiss, a complaint must contain sufficient factual matter, accepted as true, to state a claim to relief that is plausible on its face.) (internal quotation marks and citation omitted). In any event, the
district court did in fact consider evidence from applicants, as the Boston College officials submitted affidavits from them in connection with the motion to quash the subpoenas. 54. Because the lower courts addressed applicants First Amendment arguments on the merits, applicants err in claiming (Appl. 11) that the decision below conflicts with New York Times Co. v. Gonzales, 459 F.3d 160, 165-166 (2006), in which the Second Circuit likewise permitted a declaratory-judgment action challenging a subpoena. Applicants contention that they were denied a hearing accordingly Govt C.A. Br.
12 does not warrant this Courts review, let alone provides a basis for reversing the court of appeals decision. b. Applicants second contention (Appl. 16-21) is that the
court of appeals erred in concluding that their complaint failed to state a valid First Amendment claim. The court of appeals
decision, however, correctly applied settled First Amendment law to the particular facts of this case. In Branzburg v. Hayes, 408 U.S. 665 (1972), this Court
decline[d] to interpret[] the First Amendment to grant newsmen a testimonial privilege that would preclude enforcement of a grandjury subpoena, id. at 690. After weighing the competing
constitutional and policy concerns, and surveying the relevant history, the Court concluded that reporters may not assert such a privilege either to protect a source who was himself engaged in criminal conduct or to protect a source not engaged in criminal conduct but [possessing] information suggesting illegal conduct by others. Id. at 692-693; see id. at 682-708. The Court has
subsequently applied similar reasoning to reject an academic freedom privilege that would have precluded enforcement of a civil administrative document subpoena seeking confidential peer review materials from a university. U.S. 182, 195-201 (1990). The court of appeals in this case determined that Branzburg, as supplemented by University of Pennsylvania, was controlling here See University of Pa. v. EEOC, 493
13 because it demonstrated that, in this context, governmental lawenforcement interests outweigh interests in confidentiality and journalistic or academic freedom. Appl. App. A32-A40; see
Branzburg, 408 U.S. at 690 (Fair and effective law enforcement aimed at providing security for the person and property of the individual is a fundamental function of government.); id. at 696 ([I]t is obvious that agreements to conceal information relevant to commission of crime have very little to recommend them from the standpoint of public policy.). Indeed, the court of appeals
reasoned that the governments interest in this case (carrying out its treaty obligation to assist in a foreign sovereigns lawenforcement efforts) was potentially even stronger than the more typical law-enforcement interest that the Court found to be
overriding in Branzburg.
of appeals accepted that a potential exception to Branzburg could exist where a subpoena is issued with a bad faith purpose to harass, it found no plausible claim of that here. n.22. Applicants identify no decision of any other court of appeals that conflicts with the decision below. To the contrary, circuit Id. at A34
decisions they cite that involve journalists attempts to resist government or grand-jury criminal-investigatory subpoenas have -in accord with the decision below -- rejected the journalists arguments. In re Grand Jury Subpoena, Judith Miller, 438 F.3d
14 1141, 1146-1147 (D.C. Cir. 2006); United States v. Smith, 135 F.3d 963, 968-972 (5th Cir. 1998); In re Shain, 978 F.2d 850, 852-853 (4th Cir. 1992); In re Grand Jury Proceedings, 810 F.2d 580, 583586 (6th Cir. 1987); see also In re Grand Jury Proceedings, 5 F.3d 397, 399-402 (9th Cir. 1993), cert. denied, 510 U.S. 1041 (1994). Applicants suggest (Appl. 18-19) that some courts of appeals are more solicitous of journalists First Amendment concerns in the context of civil subpoenas than in the context of criminal
subpoenas.
But that issue has no direct bearing on this case, Other decisions
cited by applicants involve subpoenas by criminal defendants on collateral or impeachment-related matters, not subpoenas by the government or a grand jury seeking evidence in furtherance of an ongoing criminal investigation. F.2d 1487, 1503-1504 (11th United States v. Caporale, 806 1986) (defense request for
Cir.
potential evidence about jury tampering), cert. denied, 482 U.S. 917, and 483 U.S. 1021 (1987); United States v. Burke, 700 F.2d 70, 76-77 (2d Cir.) (defense request for impeachment evidence), cert. denied, 464 U.S. 816 (1983); United States v. Cuthbertson, 630 F.2d 139, 146-147 (3d Cir. 1980) (same), cert. denied, 449 U.S. 1126 (1981); see also McKevitt v. Pallash, 339 F.3d 530, 531-533 (7th Cir. 2003) (rejecting claim of reporters privilege raised in response to foreign defendants request for impeachment materials). Whatever the appropriateness of case-specific interest balancing
15 outside the context of law-enforcement requests, none of those decisions demonstrates that the deciding court would feel free to reexamine Branzburgs balancing of interests in cases, like this one, that involve law-enforcement investigations. This case would, in any event, be an unsuitable vehicle for addressing any disagreement among the circuits about the scope of Branzburg. First, the court of appeals interpretation of
concluded, as an alternative to its main holding, that even were it free * * * to engage in an independent balancing of the
relevant interests, it would still affirm, for the same reasons. Appl. App. A36 n.24. Second, this case arises in the unusual
context of a subpoena issued under 18 U.S.C. 3512, pursuant to a mutual-assistance investigation. create an even treaty, in aid of a foreign criminal
The court of appeals suggested that this might clearer case for rejecting a First Amendment
privilege than Branzburg itself (Appl. App. A37), and further review in this case is unlikely to provide useful guidance for the more common scenarios in which Branzburg-type issues typically arise. c. Applicants third contention (Appl. 21-24) is that the
court of appeals looked to the wrong factors in assessing whether the district court abused its discretion in enforcing the
subpoenas.
16 creates a circuit conflict on this issue -- or even that any other circuit has addressed the issue -- and for that reason alone, this Court is unlikely to grant certiorari to review it. See Sup. Ct.
R. 10; see also Appl. App. A3 (This appears to be the first court of appeals decision to deal with an MLAT and 3512.). Applicants, moreover, demonstrate no error in the court of appeals judgment. directed to the Most of applicants arguments (Appl. 22-23) are issue of whether district courts have any
The court of
appeals, however, assumed (without deciding) that district courts do have such discretion and concluded that the district court did not abuse it here. Appl. App. A28-A30. The actual issue
presented, therefore, is a narrow question about the precise factors that bear on a district courts exercise of discretion (assuming such discretion exists at all). In applicants view, the
district court was required to consider various factors that this Court has identified in the context of a request for assistance under 28 U.S.C. 1782(a), such as the nature of the foreign tribunal, the character of the proceedings underway abroad, whether foreign proceedings were pending or imminent, and whether the same discovery is permitted in the foreign jurisdiction. Appl. 22
(citing Intel Corp. v. Advanced Micro Devices, Inc., 542 U.S. 241, 264-265 (2004)).
17 Applicants offer no reason to believe that the Section 1782(a) factors have a special significance in the context of a request pursuant to an MLAT and Section 3512. Section 1782(a), which has
its genesis in statutes dating back over 150 years, is a generalpurpose statute permitting a foreign or international tribunal or any interested person to ask a U.S. court to procure evidence for use in a foreign proceeding or criminal investigation. 1782(a); see Intel Corp., 542 U.S. at 247-248. 28 U.S.C.
was enacted three years ago, specifically addresses the situation in which an official of the U.S. government seeks the aid of a federal court in carrying out a request from a foreign authority in relation to a criminal matter. See Foreign Evidence Request
Efficiency Act of 2009, Pub. L. No. 111-79, 2(4), 123 Stat. 2087 (2009). 1782(a), Factors drawn from the legislative history of Section see Intel Corp., 542 U.S. at 264, have no obvious
application to Section 3512. Rather than providing a vehicle for general requests for assistance -- such as the private civil discovery request at issue in Intel Corp., see 542 U.S. at 246 -- Section 3512, as applied in this case, enables the United States to comply with its obligations under a mutual legal assistance treaty. Even assuming a court has
discretion to deny a request like the one at issue here, that discretion will necessarily be more limited than in the Section 1782(a) context. Requests made pursuant to Section 3512 have
18 already been vetted by the Executive Branch, which has primary authority over foreign relations, see, e.g., Pasquantino v. United States, 544 U.S. 349, 369 (2005) (In our system of government, the Executive is the sole organ of the federal government in the field of international omitted); relations.) see also (internal Jama v. quotation Immigration marks & and
citation
Customs
Enforcement, 543 U.S. 335, 348 (2005) (noting Courts customary policy of deference to the President in matters of foreign
affairs). Applicants suggestion that the governmental subpoena in this case is no different from a discovery request by a private civil litigant accordingly lacks merit and does not warrant this Courts review. It is far from clear, moreover, that a decision on this
issue would be outcome-determinative, as applicants advance no argument that the case would turn out differently even if the Intel factors were, in fact, applicable. 2. The unlikelihood that this Court will grant certiorari
and reverse the court of appeals decision means that a stay is unwarranted irrespective of applicants arguments (Appl. 24-26) that they will be irreparably harmed in the absence of a stay or that the equities favor one. See Eugene Gressman et al., Supreme
Court Practice 876-877 (9th ed. 2007) (citing cases); see also Indiana State Police Pension Trust, 556 U.S. at 960 (noting that in a close case it may be appropriate to balance the equities)
19 (quoting Conkright, 556 U.S. at 1402 (Ginsburg, Circuit Justice, in chambers)). No sound reason exists to postpone the effective date
of a judgment that this Court is likely to leave undisturbed, particularly when such postponement would further delay the United States in complying with its treaty obligations. See Gressman 877;
see also Indiana State Police Pension Trust, 556 U.S. at 961 (A stay is not a matter of right, even if irreparable injury might otherwise result.) (quoting Nken v. Holder, 556 U.S. 418, 433 (2009)). In any event, applicants err in analogizing (Appl. 24) the circumstances here to cases in which a stay has been granted to prevent a premature disclosure under the Freedom of Information Act (FOIA), 5 U.S.C. 552. To begin with, applicants are incorrect in
asserting that the denial of a stay at this point will necessarily moot further review. Because the Boston College officials appeal
of the district courts rulings on the August subpoenas is still pending, the denial of a stay would not result in the immediate enforcement of those subpoenas. Rather, the only materials at
issue in this stay are the remaining materials requested in the more limited May subpoenas, which involve only a single
interviewee.
See p. 3, supra.
case, disclosure would be to a member of the public, the subpoenas here sought disclosure only to the government of the United States, for the sole purpose of transmitting the materials to the
public dissemination of the information by the United Kingdom itself is imminent, and the British courts have thus far seen no reason to preclude the British government from receiving the subpoenaed materials. Applicant McIntyre recently sought an order from the High Court of Justice in Northern Ireland to enjoin the Police Service of Northern Ireland (PSNI) from accepting the materials. infra, 1a-9a. App.,
concluding in part that McIntyre failed to make out an arguable case that disclosure of the Boston College tapes would, as he claimed, increase the risk to his life or to his family. 4a. Id. at
investigator on the case, which stated that the PSNI has extensive experience in the field of identification of risk to the life of individuals and of managing identified risks; that the PSNI considered the question of risk to the applicant and are not aware of any risk to the applicants life connected to the seeking of the Boston College materials; and that British intelligence
authorities had assessed that the threat to the applicant from Northern Ireland-related terrorist groups would remain LOW in the event that the material from the Boston College tapes were released to the PSNI. observed that Ibid. (emphasis omitted). applicants had The British court also publicized their
themselves
21 involvement in the Belfast Project long before the subpoenas here were issued (including through the publication of a book), and that applicants themselves are responsible for the publicity about the subpoenas, which were originally filed under seal. 3. Id. at 5a-6a.
a lower courts resolution of [a] stay application is entitled to great weight. 414 U.S. 1304, Gressman 880 (quoting Holtzman v. Schlesinger, 1314 (1973) (Marshall, Circuit Justice, in
chambers)).
denied the same stay that applicants now seek in this Court. App. B1-B2.
have heard the merits fully argued, and should be trusted to grant stays in worthy cases. United States ex rel. Knauff v.
McGrath, No. 89 (May 17, 1950) (unreported) (Jackson, Circuit Justice, in chambers) (reprinted in 96 Cong. Rec. A3751 (1950) (statement of Rep. Roosevelt)); see Breswick & Co. v. United States, 75 S. Ct. 912 (1955) (Harlan, Circuit Justice, in
chambers).
Applicants present no persuasive reason to set aside See also New York Times v. Gonzales,
549 U.S. 1049 (2006) (denying stay in case raising claims of journalists privilege in response to grand-jury subpoena).
22 CONCLUSION The application for a stay should be denied. Respectfully submitted. DONALD B. VERRILLI, JR. Solicitor General Counsel of Record OCTOBER 2012
APPENDIX
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