906 F.3d 1082
9th Cir.2018Background
- E.V., a civilian alleged sexual-assault victim, had brief mental-health records (a February 2015 Naval Hospital discharge summary) used to support a military reassignment and later sought psychotherapy; Sgt. David Martinez was court-martialed for the alleged assault.
- During the court-martial presided over by Military Judge Lt. Col. Eugene H. Robinson, Jr., Martinez sought production of E.V.’s mental-health records; Judge Robinson conducted in camera review and ordered redacted portions released under a protective order, invoking the crime-fraud exception and a purported “constitutionally required” exception.
- E.V. sought mandamus review in the military appellate courts (NMCCA denied relief; CAAF dismissed for lack of jurisdiction) and then sued Judge Robinson in federal district court in his official capacity seeking injunctive relief (including destruction of records).
- The district court dismissed on sovereign-immunity grounds; E.V. appealed. After dismissal, Judge Robinson released the redacted records; E.V. sought an order requiring destruction of records.
- The Ninth Circuit applied Larson/Dugan framework to determine whether claims against Judge Robinson (official capacity) are “against the government” for sovereign-immunity purposes, and whether any waiver (e.g., under UCMJ Article 6b(e) or APA §702) applies.
Issues
| Issue | Plaintiff's Argument | Defendant's Argument | Held |
|---|---|---|---|
| Whether sovereign immunity bars E.V.’s non-constitutional claims | E.V.: suit seeks specific injunctive relief against Judge Robinson’s procedural/evidentiary violations and is not effectively against the U.S. | Robinson: official-capacity suit is a suit against the U.S., so sovereign immunity bars it | Held: Non-constitutional claims are "against the government" under Larson (they allege erroneous exercise of delegated authority) and are barred absent waiver |
| Whether 1976 APA §702 abrogated Larson exceptions here | E.V.: §702 waives sovereign immunity broadly for official-capacity equitable relief | Robinson: §702 abrogated Larson entirely, so Larson not available | Held: §702 replaced Larson only where §702 applies; it does not apply to courts-martial judges (not an "agency"), so Larson remains controlling here |
| Whether naming an official in his official capacity is per se a suit against the government | E.V.: official-capacity pleading can fall within Larson exceptions when alleging ultra vires or constitutional violations | Robinson: official-capacity naming automatically makes the suit against the government | Held: Larson controls substance over form; official-capacity suit is not per se barred—Larson exceptions still apply to official-capacity injunctive suits |
| Constitutional claims (Fourth Amendment and Article III usurpation): sufficiency and redressability | E.V.: disclosure violated Fourth Amendment and Judge Robinson implicitly declared a statute unconstitutional (usurped Article III power) | Robinson: constitutional claims either fail on the merits or are unredressable because other rulings (crime-fraud) independently support the disclosure | Held: Constitutional claims are not barred by sovereign immunity but were dismissed — Fourth Amendment claim for failure to plead sufficient facts; Article III usurpation claim dismissed for lack of redressability (independent crime-fraud basis and sovereign-immunity bar to challenging it) |
Key Cases Cited
- Larson v. Domestic & Foreign Commerce Corp., 337 U.S. 682 (U.S. 1949) (framework for when suits against federal officers are considered suits against the sovereign; ultra vires and constitutional exceptions)
- Dugan v. Rank, 372 U.S. 609 (U.S. 1963) (formulation of Larson exceptions: officer acted beyond statutory power or acted pursuant to constitutionally void authority)
- Malone v. Bowdoin, 369 U.S. 643 (U.S. 1962) (reaffirming Larson exceptions)
- Mashiri v. Dep’t of Educ., 724 F.3d 1028 (9th Cir. 2013) (application of Larson/D.C. Circuit approach where ultra vires and merits may merge)
- E.E.O.C. v. Peabody West Coal Co., 610 F.3d 1070 (9th Cir. 2010) (discussing effect of APA §702 on Larson framework)
- United States v. Yakima Tribal Court, 806 F.2d 853 (9th Cir. 1986) (applying Larson in federal sovereign-immunity context)
- Gilbert v. DaGrossa, 756 F.2d 1455 (9th Cir. 1985) (official-capacity damages suits treated as suits against the government for sovereign immunity; distinguished here as damages vs. equitable relief)
- Schlesinger v. Councilman, 420 U.S. 738 (U.S. 1975) (equitable abstention principles re: intervening in court-martial proceedings)
