Lead Opinion
Reversed and remanded by published opinion. Judge TRAXLER wrote the majority opinion, in which Judge WILLIAMS joined. Judge NIEMEYER wrote a dissenting opinion.
OPINION
Carrie A. McMellon, Lori Dawn White, Kathy D. Templeton, and Cheri Call (collectively, the “plaintiffs”) filed an action against the United States under the Suits in Admiralty Act, 46 U.S.C.A.App. §§ 741-52 (West Supp.2002), seeking recovery for injuries they suffered when they rode jet skis over the gates of the Robert C. Byrd Locks and Dam, a facility owned by the United States government and operated by the Army Corps of Engineers. The district court granted summary judgment in favor of the government, concluding that the government had no duty to provide any warnings about the dam. The plaintiffs appeal, and we reverse and remand for further proceedings.
I.
In August 1999, the plaintiffs were staying at a campground on the Ohio River near the Ohio-West Virginia border. Late one afternoon, they took two jet skis for a ride, with two of the plaintiffs riding on each of the jet skis. The plaintiffs rode upstream for a short period and then turned around and headed downstream. The plaintiffs approached what they all believed to be a bridge; when it was too late, the plaintiffs realized they were going over the gates of a dam. They dropped approximately twenty-five feet, hitting the water below and suffering significant injuries. The plaintiffs stated in their depositions that they did not see any warning signs as they approached the dam and that they could not tell until they were perhaps five feet away from the dam that there was a change in the water levels.
At the time of the accident, there were several warning signs on the upstream side of the dam. The plaintiffs’ evidence, however, indicated that the signs were difficult to see from the river. Thе plaintiffs submitted affidavits from several people who regularly camp and boat in the area around the dam. The affiants stated that a warning sign on the right descending bank cannot be seen from the river because it is obscured by trees and other vegetation and that a sign located in the river on a concrete piling is not readable from a distance and is not readable from the center or right side of the river.
Until 1995, there had been buoys in place marking the entrance of the restricted area around the dam. The buoys were removed when extensive repairs were made to the dam and locks, but they were not replaced after the construction work was completed. In the summer of 2000, after the plaintiffs’ accident, the Corps of Engineers placed two new warning buoys on the upstream side of the dam.
The plaintiffs’ theory of the case was that the government had a duty to warn those on the river of the presence of the dam and that the signs in place were inadequate to carry out that duty. The government moved to dismiss the case, arguing that the district court lacked subject matter jurisdiction because the government’s actions with regard to the dam fell within an implied “discretionary function” exception to the Suits in Admiralty Act’s waiver of sovereign immunity. In the alternative, the government moved for summary judgment, arguing that it had no duty to warn about the dam, that the warnings it did provide were adequate,
The district court rejected the government’s discretionary function argument and denied the government’s motion to dismiss. However, the court granted summary judgment in favor of the govеrnment, concluding that the government had no duty to warn of the dam. The plaintiffs appeal.
II.
The discretionary function issue involves jurisdictional questions of the government’s waiver of sovereign immunity. Accordingly, we address that issue first.
The Federal Tort Claims Act (“FTCA”), 28 U.S.C.A. §§ 2671-2680 (West 1994 & Supp.2002), waives sovereign immunity for most tort claims asserted against the government. The FTCA includes a “discretionary function” exception, which specifically provides that the Act’s waiver of sovereign immunity does not apply to claims “based upon the exercise or performance or the failure to exercise or perform a discretionary function or duty on the part of a federal agency or an employee of the Government, whether or not the discretion involved be abused.” 28 U.S.C.A. § 2680(a). The plaintiffs’ claims against the government, however, do not fall within the FTCA, but instead are brought pursuant to the Suits in Admiralty Act (the “SIAA”), through which the government has consented to being sued in admiralty
Every other circuit to consider the question has agreed with the government. See Mid-South Holding Co. v. United States,
Were we not to find a discretionary function exception to the SAA, we would subject all administrative and legislative decisions concerning the public interest in maritime matters to independent judicial review in the not unlikely event that the implementation of those policy judgments were to cause private injuries. Because such an 'outcome is intolerable under our constitutional system of separation of powers, we hold that a discretionary function exception is implied in the SAA.
Tew,
This court, however, has refused to read a discretionary function exception into the SIAA:
[The SIAA] contains no discretionary function exception, and the Tort Claims Act contains a specific exception of claims for which the Suits in Admiralty Act provides a remedy. Thus it is clear that this action could not have been brought under the Tort Claims Act, and it is properly maintainable under the Suits in Admiralty Act, which is an effective waiver of sovereign immunity.
There is no basis upon which we can import the many exceptions in the Tort Claims Act into the Suits in Admiralty Act, where the United States is to be held accountable in admiralty whenever a private person, in similar circumstances, would be.
Lane,
The government, however, points us to Faust v. South Carolina State Highway Department,
The dissent contends that by following Lane rather than Faust and Tiffany, we are effectively overruling Faust and Tiffany, thus violating the rule that one panel cannot overrule the decision of another panel. We disagree. As Judge Luttig has noted, the
necessary corollary of this rule is that in those instances in which a later opinion impermissibly attempts to modify an earlier opinion, the earlier opinion remains the controlling law in the circuit with respect to matters as to which the two opinions unquestionably conflict. Were it otherwise, willing panels, unconstrained by any sense of obligation to the principles of stare decisis, our own internal rules, or notions of collegiality,could run roughshod over prior precedent, effectively repealing a rule whose importance to both the rule of law and to the orderly operation of a court is beyond dispute.
Harter v. Vernon,
III.
Because this case falls within our admiralty jurisdiction, it is governed by admiralty law. See, e.g., East River S.S. Corp. v. Transamerica Delaval, Inc.,
The plaintiffs contend that the common law imposes a duty to warn upon the government and that a regulation also imposes upon the government such a duty. The plaintiffs also contend that even if the government did not otherwise have a duty to warn, since the government in fact undertook to warn about the dam, it was re
A. Duty upon Undertaking
The plaintiffs argue that even if the government did not otherwise have a duty to warn about the dangers associated with the dam, a duty exists under the “Good Samaritan Doctrine.” That is, the plaintiffs contend that once the government undertook to place some warnings, it became obligated to use due care in the exercise of that undertaking. See Good,
The seminal “Good Samaritan” case in the admiralty context is Indian Towing Co. v. United States,
The Coast Guard need not undertake the lighthouse service. But once it exercised its discretion to operate a light on Chandeleur Island and engendered reliance on the guidance afforded by the light, it was obligated to use due care to make certain that the light was kept in good working order; and, if the light did become extinguished, then the Coast Guard was further obligated to use due care to discover this fact and to repair the light or give warning that it was not functioning.
Id. at 69,
Focusing on the “engendered rebanee” language, this circuit has concluded that Kability under Indian Towing for an undertaken duty arises if the plaintiff rebed to his detriment on the governmental undertaking: “The principle laid down in Indian Towing requires no more than that the government not injure sailors or boaters by inducing reliance on misleading navigational aids. It imposes no general duty upon the government to ensure navi
The plaintiffs do not argue that there is evidence suggesting that they relied upon warnings issued by the government that turned out to be wrong. Instead, they simply contend that Indian Towing does not require reliance on the action undertaken by the government. We disagree. This court, as evidenced by the decision in Faust, and other courts have consistently held that liability under Indian Towing is typically dependent on the plaintiffs rebanee on the action undertaken by the government.
B. Regulatory Duty
As with land-based torts, a maritime duty of care can arise from a statute or regulation. See Southern Nat. Gas Co. v. Pontchartrain Materials, Inc.,
post warning signs. For its part, the government contends that the regulation imposes a duty on boaters, but not itself.
[4] The regulation states:
(s) Restricted areas at locks and dams. All waters immediately above and below each dam, as posted by the respective District Engineers, are hereby designated as restricted areas. No vessel or other floating craft shall enter any such restricted area at any time. The limits of the restricted areas at each dam will be determined by the responsible District Engineer and marked by signs and/or flashing red lights installed in conspicuous and appropriate places.
Id. (emphasis added). The plaintiffs contend that the underscored portion of the regulation imposes upon the government a duty to conspicuously and appropriately mark the limits of the restricted area around the dam. We agree.
There are two ways that section 207.300(s) may be read. First, the regulation could be understood to declare as “restricted” some area above and below each dam on the Ohio River, but to leave to the Corps of Engineers’ discretion the determination of the size of each restricted area. Second, it is possible to read the regulation as giving the Corps of Engineers discretion as to whether any area around a dam should be restricted. Since the Corps of Engineers did in fact restrict an area around the Robert C. Byrd Locks and Dam, it is unnecessary here to decide which of the possible interpretations of the regulation is the correct one. And under either reading of the regulation, we conclude that there is a mandatory duty on the part of the government to conspicuously mark the boundaries of any area surrounding each dam it decides to restrict. See Callas,
regulations.”). While the regulation also imposes a duty on boaters to stay out of the restricted areas, we simply cannot agree that the boater’s duty is the only one created by the regulation, as some courts have held. See Pearce,
A violation of the regulation by the government, however, can support the plaintiffs’ negligence claim only if the plaintiffs are within the class of persons protected by the regulation and if the harm suffered is the type of harm the regulation was intended to prevent. See Southern Nat. Gas Co.,
[5] Regulation 207.300(s) requires the government to conspicuously mark the restricted areas around the dam; nothing in the regulation specifically requires the government to post signs warning of danger. That is, the government could perhaps satisfy its obligation under regulation 207.300(s) by conspicuously posting signs reading “RESTRICTED AREA, DO NOT ENTER,” rather than signs reading “DANGER, DAM AHEAD, DO NOT ENTER.” Because the regulation does not specifically require the government to give express safety warnings, it could be argued that the regulation is directed at the
Preliminarily, we note that there are other subsections of regulation 207.300 that are more specifically aimed at protecting the government’s property from damage. See, e.g., 33 C.F.R. §§ 207.300(b), (n), (o), (q). Moreover, any person who damages a government lock or dam is held strictly liable for those damages. See 33 U.S.C.A. § 408; United States v. American Comm. Barge Line Co.,
As will be discussed in more detail below, the operatiоn of a dam across a navigable waterway is dangerous, and restricting entry into the waters near the dam is perhaps the best way to ensure the safety of the boating public. Boaters who approach a conspicuously marked area they are prohibited from entering will pause and survey their surroundings, giving them an opportunity to recognize the dangers of the dam. In fact, the Corps of Engineers has in the past acknowledged that restricting access to the waters around certain dams is critical to protecting the safety of those on the rivers. See Navigation Regulations; McClellan-Kerr Arkansas Navigation System, 49 Fed.Reg. 10680 (March 22, 1984) (adding various regulations, including one largely identical to section 207.300(s), and noting that the added regulations “pertain to safety items which are essential to protect the locks and dams and the users ” (emphasis added)).
Therefore, while section 207.300(s) may be intended to protect the government’s property, we conclude that it is, at least in part, also a safety regulation intended to protect those navigating a waterway from being injured by the perils that a dam built across a navigable waterway creates. Because the plaintiffs fall within the group of persons the regulation was intended to protect and the harm that befell them was one that the regulation was intended to prevent, the government could be held liable if it breached its duties under section 207.300(s) and that breach proximately caused the plaintiffs’ injuries.
C. Duty under the General Maritime Law
In admiralty cases, unless there is “a relevant statute, the general maritime law, as developed by the judiciary, applies.” East River S.S. Corp.,
In our view, the duty the plaintiffs envision — a duty to warn about the dangers of a dam the government constructs across navigable waters — fits easily within this general duty rubric. To state the obvious: a dam across a navigable waterway is a dangerous thing, in much the same way that a barricade put up by the government across an interstate highway would be a dangerous thing. In fact, a dam across navigable waters is arguably more dangerous than a barricade across an interstate highway, because dams can be less visible and because water currents can make it difficult to stop a boat or steer it away from danger. In light of the nature and operation of a dam built across a navigable waterway, it is clearly foreseeable that those who approach too closely may be injured.
Other courts have reached the same conclusion, determining in cases involving government-operated dams that the government has at a minimum some obligation to warn of such danger. See Kohl v. United States,
Such a duty is similar to the duties imposed by the general maritime law on private defendants responsible for obstructions in navigable waterways. See Smith v. Burnett,
And while it is not dispositive on the question of the existence of a duty under the general maritime law, we also believe the same duty would arise under common law principles. As noted above, land-based common law principles are often incorporated into the general maritime law. See, e.g., East River S.S. Corp.,
Section 343 of the Restatement provides that:
A possessor of land is subject to liability for physical harm caused to his invitees by a condition on the land if, but only if, he
(a)knows or by the exercise of reasonable care would discover the condition, and should realize that it involves an unreasonable risk of harm to such invitees, and
(b) should expect that they will not discover or realize the danger, or will fail to protect themselves against it, and
(c) fails to exercise reasonable care to protect them against the danger.
Restatement (Second) of Torts § 343 (1965); see also Stone v. York Haven Power Co.,
As the language of this section makes clear, section 343 reflects the common-law duty owed to invitees; the Restatement sets forth different standards to be applied when licensеes or trespassers are involved. The government notes that the plaintiffs entered into the restricted area where boats are prohibited, and the government contends that to the extent any common law duties are relevant to this case, the plaintiffs would be considered trespassers to whom it owed no duty.
In Kermarec v. Compagnie Generale Transatlantique,
Without regard to the status that might be accorded the plaintiffs under land-based common law principles, we believe that, of the various statements of a landowner’s duty set forth in the Restatement, the standard set forth in section 343 is the most consistent with the gеneral maritime law’s demand for the exercise of reasonable care under the circumstances. Cf. Gemp v. United States,
The government insists, however, that the dam was open and obvious and that it therefore had no duty to warn. We have no quarrel with the broad proposition that there normally is no duty under the general maritime law to warn of an open and obvious danger. See, e.g., Gemp,
In Gemp, two men were fishing in a “stilling bay” (the area into which water flowing over a dam through an open gate is collected) of a navigational dam across the Ohio River. Because of the nature of the dam’s construction, the water in the stilling bay was typically turbulent, with “spray, foam, white water, аnd a vortex
Thus, all the court did in Gemp was conclude, as a factual matter in that particular case, that the hazards of the dam were open and obvious, so that the government in that case had no duty to warn. But no such factual finding has been made in this case, nor can it be said that the only inference to be drawn from the evidence is that the dam was open and obvious. For example, while the plaintiffs saw the structure of the dam before the accident, none of them recognized it for what it was— they all believed that they were about to pass under a bridge. The reasonableness of this belief is a factual issue that, along with others, must be addressed below in the first instance. Accordingly, the question of whether there was an open and obvious danger so as to reheve the government of its duty to warn is simply not before this court at this time.
The government also contends that the duty urged by the plaintiffs is inconsistent with the rule that it is not an insurer of the safety of navigable waters and that it cannot be charged with the responsibility of warning about all obstructions in navigable waters. We again have no quarrel with the government’s articulation of this general rule. See Faust,
Contrary to the government’s contention, however, the duty at issue in this case is completely consistent with the general rule that the government is not an insurer of the safety of the navigable waters. The duty in this case springs not from the government’s capacity as the “owner” of all navigable waterways, but from its capacity as the owner and operator of an artificial obstruction across one particular navigable waterway. Concluding that the government has a'duty under the general maritime law to warn about a dam that it built, owns, and operates is a far cry from concluding that the general maritime law requires the government to warn about all obstructions in all navigable waterways.
The Ninth Circuit reached a similar conclusion in Sutton v. Earles,
For the United States to be hable in Faust would have required finding a general duty on the part of the UnitedStates to ensure the safety of navigable waters. In contrast, our decision imposes no general duty to ensure the safety of navigable waters. We merely conclude that the Navy must take reasonable precautions to warn of dangers it creates by placing obstructions within the navigable waters of its Weapons Station. Indeed, the government admits that it owed the same duty imposed upon private parties whose property abuts or includes navigable waters — a duty to exercise reasonable care. We agree with the district court that this duty includes, a duty to warn those lawfully plying the Weapons Station waters of the hazard placed there by the Navy.
Id. at 912 (citations omitted).
We therefore conclude that the general maritime law’s requirement of the exercise of reasonable care under the circumstances imposes on the government a requirement to warn about a dam that it operates across navigable waters.
D. Other Issues
Because we have concluded that the government’s ownership and operation of a dam across navigable waters can give rise to a duty to warn, we must briefly address the government’s alternative arguments as to why the district court’s decision should be affirmed.
(i)
As noted above, the SIAA provides that “the United States is to be held accountable in admiralty whenever a private person, in similar circumstances, would be.” Lane,
As noted above, maritime law is federal law. While admiralty courts may apply state law in some circumstances, state law will not be applied if its application would “frustrate national interests in having uniformity in admiralty law.” Coastal Fuels Marketing, Inc. v. Florida Express Shipping Co.,
Although there are many similarities between the various state recreational use statutes, there are significant differences as well. For example, the West Virginia statute provides that liability may be imposed only for deliberate, willful, or malicious actions, see W. Va.Code Ann. §§ 19-25-2, 19-25-4 (Michie 2001), while the South Carolina statute allows liability to be imposed for gross negligence, see S.C.Code Ann. § 27-3-60(a) (1991). In Georgia, the statute does not apply if the plaintiff is injured in an off-limits area within an otherwise open recreational area, see Georgia Power Co. v. McGruder,
(ii)
The government also contends that plaintiffs’ actions were the sole cause of the accident because they failed to consult navigational charts that would have shown the existence of the dam and because they violated various navigational “Rules of the Road”
(hi)
Finally, the government suggests that even if it had a duty to warn, it satisfied that duty by accurately noting on navigational charts the existence of the dam and the extent of the restricted areas surrounding it — charts the plaintiffs admittedly did not consult. See Gemp,
Unlike the Sixth Circuit, this circuit has refused to impute to boaters knowledge of information contained in navigational charts. See Lane,
IV.
To summarize, we conclude that 33 C.F.R. § 207.300(s) imposed on the government a mandatory duty to conspicuously mark the restricted area around the Robert C. Byrd Locks and Dam. We also conclude that the requirement under the general maritime lаw for the exercise of ordinary care under the circumstances generally obligates the government, as the owner and operator of a dam across navigable waters, to warn about the dam.
REVERSED AND REMANDED.
Notes
. Although an accident involving only jet skis would not seem to be the typical admiralty case, this case falls within the admiralty jurisdiction of the federal courts because the accident occurred on navigable waters and bears a sufficient connection to traditional maritime activities. See, e.g., Yamaha Motor Corp. v. Calhoun,
. Contrary to the dissent’s suggestion, this court did not apply a different standard to conflicting panel opinions in Under Seal v. Under Seal,
. Because the district court concluded that the government had no such duty, the court had no occasion to consider any factual issues, such as whether the signs actually posted by the government were sufficient to fulfill any obligation it might have, whether any failing on the part of the government was a proximate cause of the plaintiffs' injuries, or whether the plaintiffs themselves were negligent.
. When Indian Towing was decided, the SIAA waived sovereign immunity only in admiralty cases involving government vessels or government cargo. See Miller v. United States,
. There is, however, an exception to the reliance requirement in cases where the person undertaking the duty increases the risk that would otherwise have existed. See Myers v. United. States,
. Whether the signs in place around the dam were sufficient to satisfy the government’s duty, and whether any breach by the government caused the plaintiffs’ injuries, of course, are factual issues that must be resolved through further proceedings before the district court.
. The general dangers associated with the operation of dams across navigable waters and the foreseeability of injuries seem to be sufficiently apparent to the government as well, given the government's frequent use of pamphlets, news releases, and the like to increase the public’s awareness of the dangers of dams. See Gemp v. United States,
. Contrary to the dissent's suggestion, we do not believe that this rule is inconsistent with the decision in Magno v. Corros,
. The government has fully responded to all of the plaintiffs’ appellate arguments, but the government notes in passing that the plaintiffs did not argue below that a duty to warn arises under the common law and that they should be precluded from making that argument on appeal. See Brief of Appellee at 16, n.6. Nothing in the Joint Appendix reveals the precise arguments raised below. However, even if the plaintiffs did not mention the Restatement or other sources of land-based common law to the district court, we would not be precluded from looking to those sources for support for our determination that a duly to warn exists under the general maritime law, a body of law that often looks to the common law for guidance. See Kamen v. Kemper Fin. Servs., Inc.,
. We note that this duty is not a particularly burdensome one. Where the government owns and operates a dam across navigable waters, the government already has employees in place who are familiar with the dam and the unique dangers it presents. The government can without much difficulty put to use the information it already possesses to fashion an appropriate warning system. By contrast, a duty on the government to warn of every obstruction in navigable waters would be so onerous as to approach impossibility— to carry out such a duty would require vast numbers of employees continuously searching for obstructions in the many thousands of miles of navigable inland and coastal waters.
. In general terms, recreational use statutes “provide incentives for property owners to allow others to use their property gratuitously by altering the duties providers owe recreational users. By redefining the duty of care, the recreational use statutes make it less likely that a property owner will be liable for damages to an injured recreational user.” Terence J. Centner, Revising State Recreational Use Statutes to Assist Private Property Owners and Providers of Outdoor Recreational Activities, 9 Buffalo Envtl. L.J. 1, 2 (Fall 2001) (footnote omitted).
. Although at least one district court has applied a state's recreational use statute in an admiralty case, see Pearce,
. Commonly referred to as the "Rules of the Road,” the Inland Navigation Rules, 33 U.S.C.A. §§ 2001-73, "encompass long-standing steering and sailing rules and principles ... [and] govern navigation on inland waters.” Turecamo Maritime, Inc. v. Weeks Dredge No. 516,
. We again emphasize that the question before this court is the existence vel non of a duty to warn on the part of the government. Thus, we do not consider whether actions that might satisfy the government's duty under regulation 207.300(s) will necessarily satisfy the duty that arises under the general maritime law.
Dissenting Opinion
dissenting:
The four plaintiffs, riding on two jet-skis at speeds between 35 and 50 miles per hour down the center of the Ohio River, went over the Robert C. Byrd dam, plunging 20-25 feet into the water below. They sustained multiple bruises and other soft-tissue injuries. They acknowledge that they were driving down the river for recreational purposes, “goofing off waving at each other” and viewing the scenery. They explain that they went over the dam because they mistook the dam’s superstructure for a bridge. They also assert that they did not see several signs warning of the dam. There were two signs — one on each side of the river approximately 4,000 feet from the dam — one stating “Restricted, No Boats Here to Dam” and the other stating “Restricted, No Boats Beyond This Sign.” There was another sign on a piling in the river approximately 2,000 feet from the dam stating “Restricted, No Boats Beyond This Sign.” Finally, there was a sign on the dam superstructure which simply said “DAM.” Apparently, one of the signs 4,000 feet from the dam was obscured by foliage, but the other signs were visible. The four jet-skiers commenced this action against the United States under the Suits in Admiralty Act, alleging that the United States was negligent in failing adequately to warn them of the dam.
The district court, although rejecting the government’s assertion of sovereign immunity, concluded nonetheless that the government had no duty “to ensure navigable waters are safe or to provide warning devices.” Accordingly, it entered summary judgment in favor of the United States.
In addition to reversing the district court’s decision as to the existence of a duty, the majority holds that the United States does not enjoy sovereign immunity for claims within our admiralty jurisdiction arising out of the federal government’s performance of discretionary functions because the Suits in Admiralty Act does not explicitly provide for such an exception. In rejecting governmental immunity in admiralty for discretionary functions, the majority revives a conflict between this circuit and the ten other circuits that have considered this issue. With regard to the government’s duties, the majority holds that the United States has a duty to the plaintiff jet-skiers, arising out of 33 C.F.R. § 207.300(s), “to conspicuously mark” the restricted area around the dam and a new general maritime law duty “to warn about the dam.” In imposing these new duties on the United States, the majority transforms a regulation designed to protect gоvernment property into a safety regulation and overlooks our own circuit’s precedent controlling the general maritime law issue.
Because I would reconcile our inconsistent precedents on the immunity issue in favor of the constitutionally mandated separation-of-powers principles that accord immunity to discretionary actions of the United States, I would order dismissal of the case on that ground. In any event, because I would find no basis to create new maritime duties, I would affirm the district court’s judgment.
I
Based on the confusing and ambivalent state of our circuit’s jurisprudence created
The fundamental presumption relating to governmental liability is that the United States enjoys sovereign immunity unless it expressly waives that immunity by clear and unambiguous language. See, e.g., Lane v. Pena,
The Suits in Admiralty Act, which grants a limited waiver of the federal government’s sovereign immunity, has a somewhat complicated history, only a portion of which needs to be related here. Although originally passed in 1920, the Act in its present form is the product of a 1960 amendment enacted to address “severe jurisdictional problems facing the plaintiff with a maritime claim against the United States.” United States v. United Continental Tuna Corp.,
Two amendments were designed to clarify the jurisdictional language of the Suits in Admiralty Act. First, the committee added language authorizing suits against the United States where a suit would be maintainable “if a private person or property were involved.” The prior version of the Act had authorized suits against the United States only when suits would be maintainable if the “vessel” or “cargo” were privately owned, operated, or possessed, and that language had generated considerable confusion.
Second, the committee ... deleted the language in the jurisdictional section of the Suits in Admiralty Act requiring that a vessel be “employed as a merchant vessel.”
Id. at 176-77,
This transfer of the statutory basis for the waiver of sovereign immunity for some maritime tort claims from the Federal Tort Claims Act to the Suits in Admiralty Act created the problem at the heart of the present appeal. As the Seventh Circuit explained:
One of the results of the 1960 amendments was to remove maritime claims such as the one at bar [alleging Coast Guard negligence for failure to place a light at the end of a breakwater] from the coverage of the Federal Tort Claims Act (FTCA). However, when the [Suits in Admiralty Act] was amended, the exceptions to thе FTCA’s waiver of sovereign immunity set out in 28 U.S.C. § 2680 were not restated in the [Suits in Admiralty Act]. Thus, if the exceptions expressed in 28 U.S.C. § 2680 are not implied in suits under the [Suits in Admiralty Act], the 1960 amendments to the [Suits in Admiralty Act] will have served not only to eliminate jurisdictional difficulties but also to extend the waiver of sovereign immunity in the area of maritime law. This court must determine whether the 1960 amendments to the [Suits in Admiralty Act] were intended to eliminate the discretionary function exception to the waiver of sovereign immunity expressed in the FTCA or whether this exception should be implied into the [Suits in Admiralty Act],
Bearce v. United States,
The government argues in this case that despite the inartful transfer of the governmental waiver from the Federal Tort Claims Act to the Suits in Admiralty Act, we should apply the discretionary function exception because holding otherwise and “imposing liability upon the basis urged here would involve the court in second-guessing the basic policy decisions of the Corps [of Engineers], in violation of the doctrine of separation of powers — a doctrine that this and other circuits recognize courts must observe ‘even in the absence of an explicit statutory command.’ ” Brief for United States at 29 (quoting Tiffany v. United States,
Without the implication of a discretionary functions exception in the [Suits in Admiralty Act], every decision of a government official cognizable under that Act would be subject to a second-guessing by a court on the claim that the decision was negligent. All the Courts of Appeals which have faced this disruptive and overbearing prospect, with the exception of Lane v. United States [decided by the Fourth Circuit], have recognized the danger and have recognized an implied discretionary function limitation in the [Suits in Admiralty Act], And the Lane case has been severely limited by a later decision of the Fourth Circuit.
See also In re Joint Eastern & Southern Dists. Asbestos Litigation,
The uniformity of the decisions in the other circuits is due in large part to the Supreme Court authority articulating the constitutional foundations of the statutory discretionary function exception in the Federal Tort Claims Act. In particular, the other circuit courts have relied on dictum from United States v. S.A. Empresa de Viacao Aerea Rio Grandense (Varig Airlines),
It was believed that claims of the kind embraced by the discretionary function exception would have been exempted from the waiver of sovereign immunity by judicial construction; nevertheless, the specific exception was added to make clear that the Act was not to be extended into the realm of the validity of legislation or discretionary administrative action.
Id. at 810,
And our decisions in Tiffany and Faust v. South Carolina State Highway Department,
The Supreme Court has further rеcognized Congress’ belief that “claims of the kind embraced by the discretionary function exception would have been exempted from the waiver of sovereign immunity by judicial construction.” United States v. S.A. Empresa de Viacao Aerea Rio Grandense (Varig Airlines),467 U.S. 797 , 810,104 S.Ct. 2755 ,81 L.Ed.2d 660 (1984). It is plain that the discretionary function exception to tort liability serves separation of powers principles by “preventing] judicial ‘second-guessing’ of legislative and administrative decisions grounded in social, economic, and political policy through the medium of an action in tort.” Id. at 814,104 S.Ct. 2755 .
Tiffany,
I would conclude now, based on the circuit precedents of Faust and Tiffany, that we should follow the lead of the Supreme Court and join every other court of appeals to have considered the issue in explicitly recognizing that “[t]he respect for
Accordingly, I would accord the United States in this case sovereign immunity and dismiss this suit on that jurisdictional ground.
Despite our decisions in Faust and Tiffany decided in 1983 and 1991, respectively, the majority relies on our decision in Lane v. United States,
The approach adopted in Lane cannot be reсonciled with our approach taken in our two later cases, Faust and Tiffany. Lane provided no discretionary function exception, whereas both Faust and Tiffany recognized the existence of such an exception. It must be noted that Faust muddied the doctrinal waters by first citing Lane with approval,
The plaintiff in Tiffany was the estate of a civilian pilot who was killed when an Air Force jet unintentionally collided with the tip of his plane’s wing after the Air Force jet scrambled to intercept his plane as it entered an air defense identification zone without a flight plan. The estate brought its action under the Death on the High Seas Act, 46 U.S.CApp. §§ 761-68, which provides a cause of action in admiralty for wrongful death occurring on the high seas. The plaintiff alleged that the Air Force was negligent, relying in part on alleged violations of regulations promulgated by the Air Force and the North American Air Defense Command. Id. at 279-82. We rejected the plaintiffs suit as nonjusticia-ble, stating that “[i]f we were to hold that the United States acted negligently in conducting the defense of its eastern border, we would be interjecting tort law into the realm of national security and second-guessing judgments with respect to potentially hostile aircraft that are properly left to the other constituent branches of gov-
The only conclusion, I respectfully submit, that can be drawn from a review of Lane, Faust, and Tiffany taken together is that our precedents are inconsistent. Whereas Lane categorically rejected any discretionary function exception to the Suits in Admiralty Act, Faust appeared to apply such an exception, and Tiffany explicitly did so. Faust and Tiffany apparently deviated from the exceptionless rule of Lane by recognizing “the existence of a discretionary function exception to the Suits in Admiralty Act in some circumstances.”
Notwithstanding this history, the majority asserts that we are bound by Lane, citing authority in support of the proposition that one panel cannot overrule another panel. See ante at 292-93. That rule, however, is of no help to the majority in the present case because its application of the rule to ignore later panel decisions that deviate from an earlier one amounts to a violation of the very rule it seeks to apply. In other words, the majority’s application of the early exceptionless approach adopted by this court in Lane requires rejection of the later “some circumstances” approach adopted by this court in Faust and Tiffany, and the majority thereby violates the rule thаt one panel cannot overrule prior decisions of the court. By ignoring the later approach and applying instead an earlier approach that is inconsistent with the later approach, the majority, in effect, overrules two cases adopting the later approach, treating these later cases as ultra vires or otherwise illegitimate. But the majority cannot in this case derive from the rule against one panel overruling another the authority to treat Faust and Tiffany as ultra vires. The most that the majority can say is that the latter two opinions violated a prudential decisionmaking rule adopted by this court. But it does not follow that they were
When a panel of this court decides a case, that panel decision decides the case for the circuit because the panel is given authority to make decisions for the circuit. See 28 U.S.C. § 46(c) (providing that “[c]ases and controversies shall be heard and determined by a court or panel of not more than three judges ... unless a hearing or rehearing before the court in banc is ordered by a majority of the circuit judges of the circuit who are in regular active service”). It must follow that a panel has the power to speak for the circuit in modifying or even overruling another panel’s decision. Because a panel has that power, its decision modifying or overruling another panel decision is not ultra vires. Such an exercise of power means simply that the second panel, expressing the law for the circuit, changed the circuit’s mind on the point. Only our prudential decision-making rulе suggests otherwise, but that rule does not go to judicial power.
While I do not suggest any retreat from our prudential decision-making rule that one panel cannot overrule another, because that is important to orderly decisionmak-ing by the circuit as a whole, I only note that the.rule is not a descriptive observation about the extent of the panel’s power to decide cases and make law for the circuit. A more precise formulation of our prudential decisionmaking rule would be that one panel ought not to overrule another panel, not that one panel lacks judicial power to overrule the decision of another panel. Accordingly, the majority cannot ignore that Faust and Tiffany made law that applies in this circuit.
When we conclude, as we must here, that several precedents of the circuit are inconsistent with each other, we must resolve the inconsistency by applying the most appropriate legal principles then before the court. See Under Seal v. Under Seal,
In our system of applying precedents, the general rule is, of course, that later opinions modify and control earlier opinions. Yet this general rule is precisely opposite of that advanced by the majority, that “the earlier opinion remains the controlling law in the circuit with respect to matters as to which the two opinions unquestionably conflict.” Ante at 292 (quoting Harter v. Vernon,
The majority adduces no binding authority in contravention of the argument from first principles which concludes that Faust and Tiffany remain court precedents that must be dealt with by application, distinction, or overruling. The majority neither purports to overrule Faust and Tiffany (for that would violate the rale that it trumpets) nor asserts that Faust and Tiffany were ultra vires. The majority’s determination to ignore Faust and Tiffany appears to be an enforcement mechanism for the rale against one panel overruling another. Unless the majority adopts the position that later inconsistent opinions are ultra vires,- however, it must concede that the enforcement mechanism itself requires violation of the very rule of decision making that it is designed to enforce. Labeling thе enforcement mechanism as a “necessary corollary” does not change the reality of what application of the “corollary” accomplishes, which is the overruling of later opinions.
When we review the relevant legal principles in this case, there can be little dispute that the better approach to adopt in this case would be to recognize a discretionary function exception applicable to claims brought under the Suits in Admiralty Act. This appears to be directed by the intervening Supreme Court dictum in Var-ig Airlines and is the approach adopted by the ten other circuits to have addressed the issue, as well as two decisions in our circuit, Faust and Tiffany.
I regret that the majority has failed to take the opportunity presented in the circumstances of this case to squarely and substantively address the inconsistency produced by Lane, Faust, and Tiffany and to bring our jurisprudence in line with the ten other circuits to have addressed the issue, as well as the dictum given by the Supreme Court in Varig Airlines. But it has failed to do so based on a misunderstanding, I respectfully submit, as to the nature of our prudential rule of decision-making that directs that one panel should not overrule another.
II
On the issue of whether the United States has duties (1) “to conspicuously mark the restricted area” (drawn from regulation 33 C.F.R. § 207.300(s)) and (2) “to warn about the dam” (drawn by analogy from the common law relating to duties of land owners), I also dissent. Neither duty up until now has been recognized by the Supreme Court or in this circuit.
First, the majority reads more into 33 C.F.R. § 207'.300(s) than the language of the regulation states or implies. That regulation provides:
Restricted areas at locks and dams. All waters immediately above and below each dam, as posted by the respective District Engineers, are hereby designated as restricted areas. No vessel orother floating craft shall enter any such restricted area at any time. The limits of the restricted areas at each dam will be determined by the responsible District Engineer and markefd] by signs and/or flashing red lights installed in conspicuous and appropriate places.
33 C.F.R. § 207.300(s). The majority holds that this is a safety regulation; that the jet-skiers in this case are within the class of persons protected by the regulation; and that the harm suffered by the jet-skiers is the type of harm the regulation was intended to prevent. Ante at 294-96.
With due respect, the language of the regulation does not support these conclusions. “Safety” is nowhere to be found in the regulation, either expressed or implied. The regulation authorizes District Engineers to designate areas around locks and dams as “restricted” and to prohibit boats from entering the area. It states nothing more than how the restricted area shall be designated and made manifest by the District Engineer. While the regulation does not state the purpose of designating the areas around locks and dams as restricted, it cannot be inferred that the purpose is to give warning of dangers. It is indeed more likely a regulation to protect the government by designating areas to keep people from government property in order to prohibit interference with government operations, or to protect government property from damage or vandalism, or to protect the government from increased risks of liability that exist in the restricted area. Whatever the purpose, however, the regulation’s language does not support the conclusion that restricted areas are intended to protect the safety of the public. To read the regulation to impose a duty running from the government to the public requires reading much more into this provision than appears. Indeed, a straightforward reading would suggest that if any duty is created by the regulation at all, it would run from the public to the government, imposing on the public a duty (1) not to enter government-restricted areas, (2) not to interfere with government operations, or (3) not to damage or vandalize government property.
With respect to the new maritime duty that the majority imposes on the government to warn the public of danger from a government-owned dam in navigable waters, the majority’s holding is irreconcilable with the holdings of our decisions in Faust v. South Carolina State Highway Department,
In Faust, we decided that the issuance of a permit to operate a ferry was an unreviewable discretionary function and therefore dismissed the case against the United States. But we also rejected any general tort theory of government liability in that case, stating that “[w]e are aware of no authority and counsel has cited none which holds that the United States may be held liable on a common law tort theory of failure to maintain safe conditions on navigable waters which it ‘owns’.” Faust,
The majority acknowledges this statement from Faust, but asserts that the duty that it imposes is consistent with Faust because “[t]he duty in this case springs not from the government’s capacity as the ‘owner’ of all navigable waterways, but from its capacity as the owner and operator of an artificial obstruction across one particular navigable waterway.” Ante at 302. This distinction is not entirely persuasive because Faust involved — like here — an obstruction across a navigable waterway, albeit one that was authorized by the federal government rather than erected by the federal government.
In Magno, we held that the United States was not liable for failing adequately to warn about an obstruction built and maintained by the United States.
The duty imposed by the majority in the present case is indistinguishable from the duty that we determined to be nonexistent in Magno. If the government had no duty to place anything more than a single blinking light at the end of an 1,100 foot steel structure that was not visible to an approaching boater, as we held in Magno, it would seem that the majority in this case would not be entitled to conclude that the government has a duty to supplement the multiple signs that marked the rеstricted area about the locks and dam on the Ohio River. It is no answer to assert that “[wjhether the signs in place around the dam were sufficient to satisfy the government’s duty ... [is a] factual issue[ ] that must be resolved through further proceedings before the district court.” Ante at 297 n. 6. For as the majority recognizes, “the question before this court is the existence vel non of a duty to warn on the part of the government,” ante at 305 n. 14, and the holding of Magno in the negative was rendered as a matter of law, see
Ill
In sum, based on our decisions in Faust and Tiffany, I would accord the United States sovereign immunity from claims based on its discretionary actions brought under the-Suits in Admiralty Act, as has been done by every other circuit to have considered the issue. And in any event, I would not find the existence of the two new duties created by the majority because 33 C.F.R. § 207.300(s) does not support the first and our decisions in Faust and Magno reject the second. Accordingly, I would affirm the judgment of the district court even in the absence of sovereign immunity.
. Tiffany v. United States,
. Because the majority concludes categorically that the discretionary function exception is inapplicable, it does not address whether the placement of signs marking the restricted area falls within that exception. In view of the fact that I would recognize the exception, I would address the issue and conclude that the plaintiffs’ claims arise out of the government’s performance of a discretionary function. See Graves v. United States,
. The majority seeks to distinguish Tiffany on its facts even though Tiffany involved a claim asserted against the United States on the basis of the waiver of sovereign immunity in the Suits in Admiralty Act. But in its attempt, the majority inaccurately observes that "the significance of the military setting required the result quite independently of the discretionary function exception.” Ante 292 (emphasis added). Yet, in Tiffany we in fact relied on the discretionary function exception to conclude that the case was nonjusticiable. See Tiffany,
. Observing that Lane "rejected, without qualification, the argument that the [Suits in Admiralty Act] includes an implied discretionary function exception,” ante at 292 (emphasis added), the majority determines to reject application of both Faust and Tiffany, which recognize such an exception “in some circumstances." To respond to my dissent, the majority relies on an earlier dissenting opinion of our court to justify its role of determining whether panels of our court in earlier cases followed our law and then rejects those cases that it concludes did not, finding them somehow illegitimate. But this is not a role that the majority can play without violating the very rule that it employs to police other cases. Devaluation of two circuit precedents — Faust and Tiffany — that were surely decided under Article III power conferred on the panel in those cases by Congress, see 28 U.S.C. § 46(b), rides "roughshod” over those precedents. See ante at 292.
