United States v. Bulger

928 F. Supp. 2d 294, 2013 WL 781925, 2013 U.S. Dist. LEXIS 28872
CourtDistrict Court, D. Massachusetts
DecidedMarch 4, 2013
DocketCriminal Action No. 99-10371-RGS
StatusPublished

This text of 928 F. Supp. 2d 294 (United States v. Bulger) is published on Counsel Stack Legal Research, covering District Court, D. Massachusetts primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Bulger, 928 F. Supp. 2d 294, 2013 WL 781925, 2013 U.S. Dist. LEXIS 28872 (D. Mass. 2013).

Opinion

MEMORANDUM AND ORDER ON GOVERNMENT’S MOTION PURSUANT TO FED. R. CRIM. P. 12(b)(2) AND 12(d) TO RESOLVE DEFENDANT’S IMMUNITY CLAIM PRIOR TO TRIAL

STEARNS, District Judge.

On December 6, 2012, the court ordered defendant James Bulger to respond to the government’s contention, set out initially in its November 16, 2012 response to defendant’s November 2, 2012 motion for discovery, that his claim of immunity from prosecution is a matter of law to be decided by the court. On January 14, 2013, defendant submitted his response, in which he insists that it is his right to try the issue of immunity to a jury. On February 6, 2013, the government filed a formal motion pursuant to Fed.R.Crim.P. 12(b)(2) and 12(d), asking the court to resolve the issue prior to trial. A hearing on the motion was held on February 13, 2013. For the reasons set out below, the government’s motion will be granted. Further, defendant’s claim of prospective immunity will be denied, while additional briefing on the issue of historical immunity will be ordered.

DISCUSSION

Rule 12 of the Federal Rules of Criminal Procedure, which governs pretrial motions, establishes in subdivision (b) two classes of such motions: those that “may” be made before trial, and those that “must” be made. See Fed.R.Crim.P. 12(b)(2)-(3).1 Because immunity falls [297]*297within the class of objections and defenses “which the defendant at his option may raise by motion before trial,” Notes of Advisory Committee to the 1944 Adoption (Advisory Notes), defendant asserts that the Rule “empowers the defense, and not the government or the court, with the choice of pursuing the issue of immunity as a defense at trial.” Def.’s Mem. at 2. Defendant maintains that when he makes that choice, the court’s function is limited to simply determining whether the evidence presented at trial plausibly supports a theory of immunity, and, if it does, to instructing the jury as to the law it must apply in making its findings of fact.2

Defendant’s argument is premised on a faulty reading of Rule 12. As the Advisory Committee comment from which defendant selectively quotes makes plain, Rule 12 creates a dichotomy between objections and defenses that must, on pain of forfeiture, be raised prior to trial, and those that may, but need not necessarily, be raised. See 1944 Advisory Notes (“These two paragraphs classify into two groups all objections and defenses to be interposed by [pretrial] motion.... In one group are defenses and objections which must be raised by motion, failure to do so constituting a waiver. In the other group are defenses and objections which at the defendant’s option may be raised by motion, failure to do so, however, not constituting a waiver.”). Viewed in this context, the permissive language of Rule 12(b)(2) does no more than provide that certain objections and defenses are not forfeited if they are not raised in a pretrial motion. See United States v. Jarvis, 7 F.3d 404, 414 (4th Cir.1993) (“Failure to raise a contemporaneous objection of immunity before trial does not constitute a forfeiture of the objection....”). What the Rule does not confer is a right to a jury determination where one does not otherwise exist.

Properly viewed, Rule 12 is intended to encourage the resolution of disputes of law prior to trial. See generally 1974 and 1975 Advisory Notes. To this end, the rule permits the filing of pretrial motions relative to “any defense, objection, or request that the court can determine without a trial of the general issue,” Fed.R.Crim.P. 12(b), and requires the court to decide any such motion if deferring a ruling on a motion would “adversely affect a party’s right to appeal,” or where no good cause for deferral exists. Fed.R.Crim.P. 12(d). A claim of immunity is not the “general issue” to which the Rule refers. “The general issue in a criminal trial is, of course, whether the defendant is guilty of the offense charged.” United States v. Doe, 63 F.3d 121, 125 (2d Cir.1995), citing United States v. Yater, 756 F.2d 1058, 1062 (5th Cir.1985); accord United States v. Barletta, 644 F.2d 50, 58 (1st Cir.1981).

Rule 12 “clearly envision[s] that a district court may make preliminary findings of fact necessary to decide the questions of law presented by pre-trial motion so long as the court’s findings on the motion do not invade the province of the ultimate finder of fact.” United States v. Jones, 542 F.2d 661, 664-665 (6th Cir.1976), citing 8 James Wm. Moore, Moore’s Federal Practice § 12.04 at 12-24, 25 (2d ed. 1976); see also Fed.R.Crim.P. 12(d) (which expressly contemplates judicial fact finding in deciding pretrial motions). Indeed, the Rule in [298]*298its original incarnation defined issues susceptible to pretrial determination as those in which a jury trial was not required “under the Constitution or an Act of Congress.” Fed.R.Crim.P. 12(4) (1944), reprinted in 1A Charles Alan Wright et al., Federal Practice & Procedure § 190, at n. 2 (4th ed. 2011). Although the reference to issues that must be tried by the jury was deleted as surplusage, the deletion was not intended to effect any change in existing law or practice. See Wright et al. § 190, n. 21. Rather, the Rule embodies the longstanding presumption in favor of pretrial resolution of matters to which no jury right attaches.

That no jury right attaches to defendant’s claim of immunity is firmly established by binding precedent. The First Circuit has expressly held that a defendant’s rights under an alleged immunity agreement “are determined by the terms and conditions of the bargain as found by the court.” United States v. McLaughlin, 957 F.2d 12, 16 (1st Cir.1992) (emphasis added); see also United States v. Flemmi, 225 F.3d 78, 82-91 (1st Cir.2000) (assuming no procedural error in district court’s pretrial evaluation of an alleged oral immunity agreement); cf. United States v. Rodman, 519 F.2d 1058, 1059-1060 (1st Cir.1975) (affirming the pretrial dismissal of an indictment based on a breach of a promise to recommend no prosecution).3 Other Courts of Appeals are in accord that a claim of immunity is to be decided by the judge, and not a jury. See, e.g., United States v. Plummer, 941 F.2d 799, 802-803 (9th Cir.1991) (“The district court’s interpretation of the agreement between [defendant] and the government, and whether that agreement was violated, determined whether the motion to dismiss the indictment would be granted or denied.”); United States v. Butler, 297 F.3d 505, 512-513 (6th Cir.2002) (same);

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Bluebook (online)
928 F. Supp. 2d 294, 2013 WL 781925, 2013 U.S. Dist. LEXIS 28872, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-bulger-mad-2013.