Gail Collins v. United StatesGail Collins v. United States
Lead Opinion
The United States appeals the district court order denying its motion to dismiss for lack of subject matter jurisdiction; we affirm.
Plaintiffs, two injured miners and the widows of two dead miners, sued the United States under the Federal Tort Claims Act,
The discretionary function exception, contained in
[a]ny claim ... 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.
The issue before us is whether the United States is exempt from FTCA liability because the alleged acts of negligence represent the exercise or performance of discretionary functions under
Our analysis of this issue is guided by the Supreme Court’s decisions in Dalehite v. United States,
[i]t is unnecessary to define, apart from this case, precisely where discretion ends. It is enough to hold, as we do, that the “discretionary function or duty” that cannot form a basis for suit under the Tort Claims Act includes more than the initiation of programs and activities. It also includes determinations made by executives or administrators in establishing plans, specifications, or schedules of operations. Where there is room for policy judgment and decision, there is discretion. It necessarily follows that acts of subordinates in carrying out the operations of government in accordance with official directions cannot be actionable.
In Varig, the Supreme Court further clarified the discretionary function exemption. The two cases before the Court in Varig involved in-flight fires and consequent destruction of aircraft that the FAA or its predecessor had certified under a spot-check certification program. In fact, the planes did not meet FAA standards and may never have been inspected at all. Plaintiffs alleged that the FAA would have discovered the defects had it conducted a plane-by-plane inspection of the aircraft instead of delegating responsibility for satisfying FAA standards to airplane manufacturers, with periodic spot checks to encourage compliance. Here, too, the Supreme Court determined that the alleged negligent conduct came within
The unanimous Court rejected the proposition that Dalehite no longer represents a valid interpretation of the discretionary function exception.
to define with precision every contour of the discretionary function exception____ [Nevertheless] several factors [are] useful in determining when the acts of a Government employee are protected from liability by§ 2680(a) . First, it is the nature of the conduct, rather than the status of the actor, that governs whether the discretionary function exception applies in a given case____ Thus, the basic inquiry concerning the application of the discretionary function exception is whether the challenged acts of a Government employee — whatever his or her rank — are of the nature and quality that Congress intended to shield from tort liability.
Id. at 2765. A second aspect of the exception is that it plainly encompasses “the discretionary acts of the Government acting in its role as a regulator of the conduct of private individuals.” Id. (footnote omitted). This reflects Congress’ desire to “prevent judicial ‘second-guessing’ of legislative and administrative decisions grounded in social, economic, and political policy through the medium of an action in tort.” Id.
Having examined
In the present case, the government advocates radically extending Varig to mean that whenever challenged conduct is regulatory in nature, the conduct is per se discretionary and, as such, shielded from exposure to private tort actions. It is therefore irrelevant, according to the government, whether the employee whose conduct is challenged was granted any choice whether or not to act as he did. Quoting General Public Utilities Corp. v. United States,
We reject the government’s argument that Varig exempts the United States from liability whenever challenged conduct is regulatory in nature. Neither the language nor the structure of the decision in Varig supports such a view. While “the discretionary acts of the Government acting in its role as regulator of the conduct of private individuals” are within
In the context of a challenge to a subordinate’s conduct, Dalehite and Varig demonstrate that the subordinate’s conduct is not within
According to the district court, plaintiffs in today’s case challenge two categories of conduct: (1) terminating Imminent Danger Order No. 195 in March 1977 without further investigation and (2) failing to reclassify the mine as gassy despite evidence on various occasions from 1973 until 1979 that methane levels exceeded .25 percent. None of this conduct involved the initiation of programs or activities or determinations made in establishing plans, specifications, or schédules of operations, nor do plaintiffs challenge the agency’s decision on the system by which it will regulate. Plaintiffs’ claims of negligent conduct focus entirely on the acts of subordinates in “carrying out [or failing to carry out] the operations of government in accordance with official directions” — in this instance statutory and regulatory provisions. Dalehite,
On March 21, 1977, when the inspector issued Imminent Danger Order No. 195, the controlling federal statute was the now-repealed Federal Metal and Nonmetallic Mine Safety Act,
Similarly, we conclude that the district court did not err in finding that
a mine shall be deemed gassy, and thereafter operated as a gassy mine, if ... [a] concentration of 0.25 percent or more, by air analysis, of flammable gas ... has been detected____
A subordinate charged with enforcing
With respect to the second aspect of Varig, we are convinced that our analysis in this case does not amount to judicial second-guessing of decisions entrusted to agency discretion. We disagree with the government that the questioning of any regulatory act necessarily involves judicial second-guessing. Determining whether a decision involves policy at all is not the same as scrutinizing the correctness of that policy decision. To the extent than an employee refuses to carry out a mandatory statute or regulation, one which leaves him no discretion in the manner or extent to which it will be enforced, the employee is simply disobeying a flat command. In this instance, any available discretion had been exercised when the command was adopted; appellees’ challenges do not threaten that discretion. It is certainly conceivable that, in a proper case, policy considerations, perhaps of an emergency nature, might dictate overriding such a command. As a possible example, the attempted rescue of a topped miner might well justify entry into a “gassy” mine even though required safety equipment was inoperable, so that an order forbidding entry in such circumstances might properly be annulled. But no such justification is even suggested here, and none is apparent to us. That being so, we conclude that on the record as it presently stands no act of discretion was involved in today’s case.
Having determined that the alleged acts of negligent conduct are not within
Notes
. According to
. On August 18, 1981, Graham pled guilty to conspiracy to defraud the government.
. To the extent that the holding in Hylin v. United States,
[i]f the regulatory inspection and enforcement activities of an agency require its employees to exercise discretion in performing their duties, the discretionary function exception bars tort claims against the government based upon those performances.
. At least one of the regulations before the Supreme Court in Varig was a mandatory regulation. See S.A Empresa De Viacao Aerea Rio Grandense v. United States,
. The language of
Concurrence Opinion
concurring:
I concur in both the result and the court’s opinion. I add this concurrence to make clear that the Federal Torts Claims Act is not dead. The FTCA is not, as government counsel think and continue to urge, confined to the typical fender bender automobile intersectional collision between a postal truck and a citizen’s child-filled station wagon. We have still the significant, still valid, decisions in Indian Towing,
Added to this is the extensive judicial history reflected in the operation and application of the FTCA — of which Congress has peculiar knowledge — in which the government has been found liable in areas in which the governmental actors inherently and necessarily had to exercise much careful selection of action and, at least, operational judgment. With nothing but rudimentary research, these examples have been routinely chosen from the annotations to
The narrow construction given to the discretionary function exception is abundantly apparent even from this brief survey of the cases which appear in the pages of the Federal Reporter. The decisions are of vital significance because they clearly reflect the congressional intent in enacting the FTCA. The judgments which arise from these decisions must be paid by an appropriation out of the public purse, and, as I will illustrate, the repeated payment of these judgments by the Congress consti
Three Supreme Court cases illustrate the significance of Congressional acts of appropriation as important evidence in the task of divining Congressional intent. Ex Parte Endo,
Of equal importance, in enacting the FTCA, Congress had a dual objective. First, it wished to compensate citizens for damages inflicted by the increasingly complex operations of government. Second, and equally as vital, was its desire to free itself from the burdensome and highly unsatisfactory system of private bills which had evolved as a means of assuaging the “feeling that the Government should assume the obligation to pay damages for the misfeasance of employees in carrying out its work.” Dalehite v. United States,
Every act of a rational being involves some choices — speed up or slow down, turn right or left, put helm port or starboard, go full astern or full ahead, tighten brakes or replace them, glide in or circle, use general anesthetic or local, use a human heart or a JARVIK 7. It is plain that the discretionary function exception of
Unless
This concurrence stands for my conviction that
.
. Rayonier, Inc. v. United States,
. Eastern Airlines, Inc. v. Union Trust Co. aff'd sub. nom., United States v. Union Trust Co.,
. The text of this provision reads:
(a) Necessary amounts are to be appropriated to pay final judgments, awards, compromise settlements, and interest and costs specified in the judgments or otherwise authorized by law when—
(3) the judgment, award, or settlement is payable
(A) under section ... 2672 ... of title 28 [the Federal Tort Claims Act].
. The massive drain of congressional and administrative resources consumed by the flood of private bills which existed at the time of the enactment of the FTCA is illustrated by the following statistics gleaned from a House report quoted in footnote nine of Dalehite.
In the 68th congressional session, 2,200 private bills were introduced, of which 250 became law. In the 70th congressional session, there were 2,268 private bills presented for consideration, of which 144 were enacted for the benefit of tort victims accompanied by appropriations of what was then a modest sum of $562,000 for their compensation. The 74th and 75th congressional sessions witnessed the introduction of over 2,300 private bills each; the 76th, in turn, saw the introduction of over 2,000 bills of which 315 became law together with compensatory appropriations of $826,000. In the 77th, 593 of the more than 1,800 private bills presented became law accompanied by over $1,000,000 in compensatory appropriations. The high water mark of the deluge was reached in the 78th Congress when the 549 private bills enacted carried compensatory awards of $1,355,767.12.