RUDOLPH CONTRERAS, District Judge.
After remanding this case to the district court with instructions to dismiss the plaintiffs' claims as moot, the D.C. Circuit recalled its mandate and remanded the record so that this court could indicate whether new evidence made the case newly viable. Having considered the parties' briefing on the question in light of the Circuit's decision, the court concludes that the case remains moot.
The plaintiffs allege that the United States Navy denied them commissions in its Chaplain Corps pursuant to "illegal religious quotas," Compl. ¶ 2, which they call the "Thirds Policy," id. ¶ 18. Under that alleged policy, which the plaintiffs say was in place until 2001, the Navy would hire "one-third liturgical Protestants, one-third non-liturgical Protestants, and one-third divided between Catholics and adherents of `special worship' faiths (heavily weighted towards Catholics)." Larsen v. U.S. Navy, 525 F.3d 1, 3 (D.C.Cir.2008).
The district court dismissed several claims and one plaintiff, see Larsen v. U.S. Navy, 346 F.Supp.2d 122 (D.D.C.2004), then granted summary judgment to the
Over plaintiffs' objections, the Circuit found the Navy's voluntary cessation of the alleged Thirds Policy sufficient to moot this case. As the court noted, "a defendant's voluntary cessation of a challenged practice moots a case only if the defendant shows that: (1) `"there is no reasonable expectation ..." that the alleged violation will recur,' and (2) `interim relief or events have completely and irrevocably eradicated the effects of the alleged violation.'" Id. at 4 (quoting County of Los Angeles v. Davis, 440 U.S. 625, 631, 99 S.Ct. 1379, 59 L.Ed.2d 642 (1979) (quoting United States v. W.T. Grant Co., 345 U.S. 629, 633, 73 S.Ct. 894, 97 L.Ed. 1303 (1953))). Plaintiffs argued "that the Navy flunked condition one because it failed to prove that it wouldn't reinstitute the Thirds Policy and condition two because it still uses the [Chaplain Accession and Recall Eligibility ("CARE")] Board," id., "which recommends to the Chief of Chaplains whether to hire [an] applicant," id. at 2, and which was allegedly responsible for carrying out the Thirds Policy. "As to the first condition," the Circuit held, "because plaintiffs never allege that the Navy is likely to or even considering reinstituting the Thirds Policy, there is `"no reasonable expectation..." that the alleged violation will recur.'" Id. at 4 (quoting Davis, 440 U.S. at 631, 99 S.Ct. 1379 (quoting W.T. Grant Co., 345 U.S. at 633, 73 S.Ct. 894) (alteration in original)). Although plaintiffs noted that "the Navy still has the authority to reinstitute the policy," id., mere authority is not enough to avoid mootness. "Rather, there must be evidence indicating that the challenged [policy] likely will be reenacted." Id. (quoting Nat'l Black Police Ass'n v. District of Columbia, 108 F.3d 346, 349 (D.C.Cir.1997) (alteration in original) (citation omitted)). "The record here," the Circuit found, "contains no such evidence." Id. "As to condition two," the court held that "the Navy's continued use of the CARE Board is irrelevant because the Board no longer applies any type of religious quota system." Id. The Circuit remanded the case to this court "with instructions to dismiss plaintiffs' claim as moot." Id. at 5.
Two years after that ruling, the parties jointly moved the Circuit to recall its mandate, partially vacate its opinion, and remand the record to the district court. The parties explained that plaintiffs' counsel had discovered evidence that the Navy had issued chaplain recruiting goals for certain faith groups for fiscal years 2008 and 2009. The first of those goals was issued while the case was pending on appeal, but neither party's counsel knew of them.
This case has returned to this court in an unusual posture. Because the legal effect of the newly presented evidence "is a mixed question of fact and law, which would ... be facilitated by preliminary District Court consideration," District of Columbia v. Air Florida, Inc., 750 F.2d 1077, 1086 (D.C.Cir.1984), the D.C. Circuit has remanded the record but limited the scope of that remand to the question of voluntary cessation. The case remains on appeal, and the Circuit has retained jurisdiction over it. D.C. CIR. R. 41(b) ("If the record in any case is remanded to the district court ... this court retains jurisdiction over the case."); cf. Pro-Football, Inc. v. Harjo, 415 F.3d 44, 50 (D.C.Cir. 2005) ("While retaining jurisdiction over the case, we remand the record to the district court for the purpose of evaluating whether laches bars [plaintiff's] claim."). On remand, the parties' arguments supplement their summary judgment briefing. See Pro-Football, Inc. v. Harjo, 567 F.Supp.2d 46, 50 n. 3 (D.D.C.2008) (noting that "the parties' ... briefing on remand essentially amounts to supplemental briefing on their original cross-motions for summary judgment, necessitated by the D.C. Circuit's instructions on remand"). But those motions are not before this court in their entirety — only the question of voluntary cessation has been remanded.
In conducting its analysis, the court is bound by the Circuit's opinion in this case, which has not been vacated. Under the law-of-the-case doctrine, "a court involved in later phases of a lawsuit should not re-open questions decided ... by that court or a higher one in earlier phases." Crocker v. Piedmont Aviation, Inc., 49 F.3d 735, 739 (D.C.Cir.1995); see also LaShawn A. v. Barry, 87 F.3d 1389, 1393 (D.C.Cir.1996) (en banc) (describing the law-of-the-case doctrine as the proposition that "the same issue presented a second time in the same case in the same court should lead to the same result"). When a district court hears a case on which the court of appeals has previously ruled, "an even more powerful version of the doctrine," which is "sometimes called the `mandate rule,'" applies. Barry, 87 F.3d at 1393 n. 3. That strong form of the law-of-the-case doctrine "requires a lower court to honor the decisions of a superior court in the same judicial system," id., because "[t]he decision of a federal appellate court establishes the law binding further litigation by another body subject to its authority," City of Cleveland v. Fed. Power Comm'n, 561 F.2d 344, 346 (D.C.Cir.1977). The mandate rule "forecloses relitigation of issues expressly or impliedly decided by the appellate court." United States v. Susi, 674 F.3d 278, 283 (4th Cir.2012) (quoting United States v. Bell, 5 F.3d 64, 66 (4th Cir.1993)). This court will therefore make its indicative ruling within the narrow compass described by the remand order and the mandate rule.
"It is a well-recognized principle that a case will not become moot merely
When "voluntary cessation analysis governs our mootness inquiry," Nat'l Black Police Ass'n, 108 F.3d at 349, the court must "defin[e] the wrong that the defendant is alleged to have inflicted. What ... are the `old ways' to which the voluntarily ceasing defendant might return?" Clarke v. United States, 915 F.2d 699, 703 (D.C.Cir.1990) (en banc) (quoting W.T. Grant Co., 345 U.S. at 632, 73 S.Ct. 894). As the D.C. Circuit has observed, when performing this analysis "[t]he opportunities for manipulation are great. The more broadly we define the wrongful conduct, the more numerous are the possible examples" of it. Id. To discipline the inquiry, the Circuit has said that "where plaintiffs are resisting a mootness claim... they must be estopped to assert a broader notion of their injury than the one on which they originally sought relief." Id. "[T]he wrong at issue for mootness purposes is [therefore] defined by the plaintiffs' theory set forth in the complaint," which should be read with a "focus[] on identifying the factors that were `essential to plaintiffs' original theory of their claim....'" Del Monte Fresh Produce Co. v. United States, 570 F.3d 316, 323 (D.C.Cir.2009) (quoting Clarke, 915 F.2d at 704).
The D.C. Circuit has already construed the plaintiffs' complaint; its interpretation is the law of this case. On the Circuit's reading, the complaint "challenged only the legality of the Navy's alleged Thirds Policy," Larsen, 525 F.3d at 4, which "discriminated against [the plaintiffs] because it underrepresented non-liturgical Protestants in the Chaplain Corps relative to their numbers in the Navy," id. at 3. The Circuit rejected the argument that the plaintiffs challenged anything other than the Thirds Policy. Id. at 5 (ruling that plaintiffs did not "challenge the Navy's current hiring policy as well as its Thirds Policy"). If the plaintiffs included such a challenge in their complaint, they abandoned it on appeal. Id. The Circuit held that the complaint's reference to "the
The plaintiffs urge this court to adopt a far broader reading of their complaint. First, they argue that they have challenged more than the Thirds Policy, which "was only a manifestation of the Navy's ability to arbitrarily change its accession policy and faith group goals." Pls.' Remand Br. at 17.
The Circuit's opinion forecloses both arguments. As that court ruled, the plaintiffs have "challenged only the legality of the Navy's alleged Thirds Policy," Larsen, 525 F.3d at 4, under which the Navy would hire "one-third liturgical Protestants, one-third non-liturgical Protestants, and one-third divided between Catholics and adherents of `special worship' faiths (heavily weighted towards Catholics)," id. at 3. That is the law of this case, as is the mootness of the plaintiffs' claims on the evidence originally presented. This court's only task is to determine whether the new evidence presented on remand has rendered the case no longer moot.
In July 2007, the Navy issued officer recruiting goals for fiscal year 2008. The letter accompanying that release stated that the "Navy desires to have a Chaplain Corps which reflects and is representative of the naval community it serves." Decl. of Diana L. Meehan, May 20, 2011 ("Meehan Decl."), Ex. F (Fiscal Year 2008 Officer Recruiting Goals, July 1, 2007 ("FY 2008 Goals Letter")), at 2. To that end, the letter recorded, the "Commander, Navy Recruiting Command ... adjusts marketing and recruiting efforts to achieve [the] targets delineated in enclosure (2)." Id. That enclosure, entitled "Chaplain Community FY-08 Recruiting Goals," set goals for the number of chaplains to be accessed per denomination or faith group: Protestant, 49; Roman Catholic, 14; Muslim, 2; Orthodox (Eastern), Buddhist, Latter-Day Saints, Jewish, 1 each; and Other, 2. Id., Encl. 2 ("FY 2008 Goals").
The Navy issued similar recruiting goals for fiscal year 2009. The letter describing those goals again stated that the "Navy desires to have a Chaplain Corps that reflects and is representative of the naval community it serves," and that the Commander, Navy Recruiting Command should therefore "adjust marketing and recruiting efforts to achieve [the] targets delineated in enclosure (2)." Meehan Decl., Ex. G (Fiscal Year 2009 Officer Recruiting Goals, July 9, 2008 ("FY 2009 Goals Letter")), at 2. That enclosure, entitled "Chaplain Community FY-09 Recruiting Goals," similarly articulated those goals by number of chaplains to be accessed per denomination or faith group: Protestant, 37; Roman Catholic, 14; Muslim, 2; Orthodox (Eastern), 2; Jewish, 1; and Others, 1. Id., Encl. 2 ("FY 2009 Goals").
When Captain Diana Meehan, the chaplain programs manager and a commander in the Navy Recruiting Command, distributed the fiscal year 2008 recruiting goals she emphasized that the recruiting goals did not limit chaplain accessions. In an email to the officers who oversaw recruiting, Capt. Meehan wrote:
Meehan Decl., Ex. H. In a declaration presented here, Ms. Meehan states that "the [recruiting] goals ... did not equate to hard and fast quotas in any way," but instead were "intended to be viewed more as targets to get recruiters to make a conscious effort to recruit to diversity." Meehan Decl., ¶ 21. Captain Kenneth J. Barrett, who served as diversity director in the Office of the Chief of Naval Personnel and "provided guidance" on the recruiting goals, Decl. of Kenneth J. Barrett, May 19, 2011 ("Barrett Decl."), ¶ 6, offers a similar account, as does Captain Johnny W. Poole, the executive assistant to the Chief of Chaplains. Capt. Poole states that "the fiscal year 2008 Recruiting Goals included a particular focus on recruiting toward diversity," Poole Decl. ¶ 11, by which he seems to mean religious diversity. Capt. Barrett affirms that "one key element of diversity in the Navy is diversity of religious beliefs and practices," Barrett Decl. ¶ 18, and that the fiscal year 2008 and 2009 chaplain recruiting goals "were created to afford recruiters the opportunity and encouragement to focus recruiting assets on particular needs," id. ¶ 19. Specifically, Capt. Barrett says that his office identified an apparent "shortfall of Roman Catholic priests and Muslim clerics" in the Chaplain Corps and determined that too "few applications [were]
Captains Barrett, Meehan, and Poole all emphasize that recruiting and accession were distinct processes, and that the recruiting goals played no role in the decisions about whether the Navy would hire a particular chaplain. Barrett Decl. ¶ 15 ("The efforts to build and maintain diversity through recruiting do not extend to the accession process.... The Recruiting command does not select the applicants in the Chaplain Community."); Meehan Decl. ¶ 14 (stating that once a recruit's application has been fully prepared, "I and my [staff] have no role in the process of recommending applicants for selection to be accessed into the Chaplain Corps"); Poole Decl. ¶ 15 (declaring that the recruiting goals "had no bearing on ... the actual accession decisions"). Recruiters were responsible for determining whether a potential applicant met the minimum qualifications for the Navy chaplaincy, Meehan Decl. ¶¶ 10-11, and for helping applicants complete their applications and submit the proper documentation, id. ¶ 12. Recruiters also interviewed the applicants and submitted an appraisal of them. Id. The completed applications were then submitted to the CARE Advisory Group, which examined the applications and selected the best-qualified applicants. Poole Decl., Ex. A (OPNAV Instruction 1120.9, Appointment of Officers in the Chaplain Corps of the Navy, Dec. 20, 2005), at 6 ("The CARE Advisory Group shall review an applicant's academic performance, graduate theological education, professional experience, professional reputation, interviews by a recruiting officer and a chaplain, and letter of personal or professional recommendation; and shall ensure that an ecclesiastical endorsement has been submitted for each applicant."); Meehan Decl., Ex. D (Chief of Chaplains Instruction 1110.1H, Chaplain Appointment and Retention Eligibility Advisory Group, May 8, 2007), at 2 ("The CARE Advisory Group ensures that the full spectrum of professional prerequisites is considered for each Navy chaplain applicant. The CARE Advisory Group ensures that applicants who are proffered a commission to serve as a chaplain are the best qualified and not simply those who meet minimum requirements."). The CARE Advisory Group did not attempt to meet the accession goals that were issued to Navy recruiters. Poole Decl., ¶ 15 ("[N]othing prevents the CARE Advisory Group from accessing any candidate from a particular faith group or faith group cluster if that applicant is fully qualified; in fact ... accessions are made solely on the basis of the best-qualified standard and do not take faith group or faith group category into account."); Barrett Decl, ¶¶ 16-17 (The "Navy continues to use the best and fully qualified standard to access all applicants regardless of race, ethnicity, gender or religious affiliation. The diversity aspects of the recruiting goals were incorporated to increase applications in underrepresented areas, but in no way were created to direct, regulate or limit the accessions process."). Although the Naval Recruiting Command makes the final decision on whether to access a particular candidate, Capt. Meehan does not believe that it rejected any applicant selected by CARE Advisory Group while the fiscal year 2008 and 2009 recruiting goals were in effect. Meehan Decl., ¶ 16.
Having reviewed the evidence presented on remand, the court now evaluates its legal effect.
The plaintiffs offer two main arguments that the Navy's chaplain recruiting goals save their case from mootness.
In its briefing, the Navy places a heavy emphasis on the difference between the recruiting and accession processes. The Navy argues that although it provided its recruiters with goals articulated in terms of accessions by faith group and denomination, the recruiting goals cannot give new life to the plaintiffs' case because recruiters did not play any role in the final accession decisions. The Navy further argues that even if the recruiting goals indirectly affected accession decisions, they did not represent a return of the alleged Thirds Policy because they were differently structured and especially because they did not advantage liturgical Protestants over their non-liturgical brethren. This last argument is persuasive.
The plaintiffs' first argument is easily dismissed, the Navy's somewhat less easily. As discussed above, the Circuit construed the plaintiffs' complaint as a challenge to the Navy's alleged Thirds Policy. The plaintiffs cannot now reframe their suit in terms of the Navy's need for objective accession goals and its reliance on supposedly arbitrary goals. The Navy's argument that the recruiting goals are irrelevant because of the separation between the recruiting and accession processes is more powerful. The plaintiffs "allege that until 2001 the Navy had a policy of hiring one-third liturgical Protestants, one-third non-liturgical Protestants, and one third divided between Catholics and adherents of `special worship' faiths (heavily weighted towards Catholics)." Larsen, 525 F.3d at 3 (emphasis added). The recruiting goals, the Navy argues, were not a hiring policy. Hiring decisions were made by the CARE Board, which applied religiously neutral criteria. To prove its point, the Navy cites the actual accession statistics from the fiscal years in question. In fiscal year 2008, non-liturgical Protestants accounted for 44% of all chaplain accessions, and liturgical Protestants 37%. Decl. of Veronica Berto, May 20, 2011 ("Berto Decl."), Ex. 3. Together, 81% of accessed chaplains were Protestant, id., though the recruiting goals set a target of 69%, see FY 2008 Goals. In fiscal year 2009, non-liturgical Protestants made up 65% of chaplain accessions and liturgical Protestants 26%, for a total of 91%. Berto Decl., Ex. 3. The recruiting goals indicated a target of 65%. See FY 2009 Goals.
If the recruiting goals were hiring quotas, as the plaintiffs contend, they were
The Navy's promulgation of recruiting goals articulated in terms of actual accessions raises a difficult question that the court need not resolve. On the one hand, the CARE Board used neutral selection criteria to make the ultimate hiring decisions. On the other hand, the Navy instructed its recruiters to work to produce particular hiring patterns. Are recruiting goals phrased as accession goals enough to unmoot a case premised on the existence of hiring quotas? The court need not decide, because the accession goals that the Navy set for its recruiters did not discriminate against non-liturgical Protestants as the Thirds Policy is alleged to have done — and that fact decides this case. As the D.C. Circuit explained, the plaintiffs' case has always concerned the allegation that the Thirds Policy "discriminated against them because it underrepresented non-liturgical Protestants in the Chaplain Corps relative to their numbers in the Navy." Larsen, 525 F.3d at 3. That is, "the Navy illegally refused to hire them because they are non-liturgical Protestants." Id. at 2. In their briefing on remand, the plaintiffs continue to press this argument, alleging that the Navy has historically sought to maintain a majority of Catholics and liturgical Protestants in its Chaplains Corps, Pls.' Remand Reply at 1, by hiring "in a manner that kept control of the Chaplain Corps in the hands of the liturgical faith groups ... and marginalized [n]on-liturgicals," id. at 10. The recruiting goals set targets of 69% Protestants in fiscal year 2008 and 65% in fiscal year 2009. Needless to say, both of those numbers approximate the two-thirds of chaplain accessions allegedly allocated to Protestants under the Thirds Policy, but they do not suggest the even division between liturgical and non-liturgical candidates that was a central feature of that alleged policy. (As discussed above, when accessions were ultimately made Protestant chaplains were hired in numbers exceeding the targets, and the substantial majority of those Protestant chaplains were non-liturgical.) The recruiting goals cannot plausibly be interpreted as an effort to ensure that only one-third of the hired chaplains were non-liturgical Protestants. That fact is fatal to the plaintiffs' case, as a final examination of the Circuit's opinion makes clear.
As to the second factor in the voluntary cessation analysis, the Circuit rejected plaintiffs' argument that the Navy's continued use of the CARE Board — which allegedly carried out the Thirds Policy — meant that the effects of the alleged violation had not been completely and irrevocably eradicated. "[T]he Navy's continued use of the CARE Board is irrelevant," the Circuit wrote, "because the Board no longer applies any type of religious quota system." Larsen, 525 F.3d at 4. In fiscal years 2008 and 2009, this statement remained true: the Board itself continued to choose among the candidates presented to it through a religiously neutral decision-making process. Although the candidates presented to the Board affect the choices that it can make, no plausible interpretation of the recruiting goals would conclude that they gave Navy recruiters an incentive to provide the Board with a pool of candidates that would lead it to hire only one-third non-liturgical Protestants — the core feature of the alleged Thirds Policy, at least as it pertains to the plaintiffs in this case. A recruiter attempting to meet her goals could have aimed to have the Board fill a new class of chaplains with as many as two-thirds non-liturgical Protestants; the Board in fact hired 55% non-liturgical Protestants in the years in question. Such a system does not suggest that the alleged Thirds Policy was reinstated or even that its effects still linger. And the lack of such evidence makes the plaintiffs' claims moot.
The Navy's chaplain recruiting goals for fiscal years 2008 and 2009 did not — and were not intended to — limit the number of non-liturgical Protestants to approximately one third of new hires. Because that limitation was always the core of the plaintiffs' allegations, their case remains moot.
If the Circuit vacated its opinion and remanded this case in full, this court would dismiss it as moot for the reasons stated above. The Clerk of the court is
Larsen v. U.S. Navy, 525 F.3d 1, 2-3 (D.C.Cir. 2008) (quoting Chaplaincy of Full Gospel Churches v. England, 454 F.3d 290, 294 (D.C.Cir.2006) (citations omitted)). "`Special worship' refers to faith groups, both Christian and non-Christian, that have unique or special needs for their worship and religious practices; it includes Jewish, Christian Science, Seventh-Day Adventist, Mormon, Buddhist, Hindu, [Muslim], Jehovah's Witness, and Unitarian faiths." Id. at 3 (quoting Chaplaincy of Full Gospel Churches, 454 F.3d at 295 n. 3 (internal quotation marks omitted)).