Pantalone v. Aurora Pump Co.Pantalone v. Aurora Pump Co.
RULING ON PLAINTIFF’S MOTION TO REMAND
Plaintiff Margaret Pantalone filed this state-law products-liability action in Connecticut Superior Court on July 17, 2003, alleging that her husband Thomas Pantal-one (“Pantalone”) was injured and ultimately died as a result of his earlier exposure to asbestos materials. Plaintiffs complaint alleges, among other things, that Pantalone developed malignant mesothelio-ma due to his contact with asbestos-containing products manufactured by Defendant Buffalo Pumps, Inc. (“Buffalo Pumps”) while serving in the U.S. Navy between 1951 and 1956. (Compl. [Doc. # 1] ¶ 5.)
On September 4, 2007, Buffalo Pumps removed the case pursuant to the federal-officer-removal statute,
I. Relevant Background
Plaintiffs complaint alleges, in pertinent part, that Pantalone “was exposed to various asbestos containing products while in the U.S. Navy, at various jobsites, at various times during the years 1951-1956 and while working in Connecticut as a Maintenance Mechanic at various jobsites, at various times during the years 1956-1987.” (Compl. ¶ 5.) Plaintiff further alleges that Pantalone’s exposure to asbestos during this time was the result of his contact with products manufactured or supplied by each of the Defendants (including Buffalo Pumps), thus giving rise to their liability under Connecticut law. {Id. ¶¶ 3, 6-11.)
After the case had been pending for more than four years, Plaintiff disclosed the report of its expert, Captain R. Bruce Woodruff, on August 3, 2007. In this report, Captain Woodruff outlined the details of Pantalone’s Navy service, including that he worked on the U.S.S. Fulton, on the U.S.S. Dortch, and at the New London *328 submarine base. (Woodruff Rep. at 4-8.) Following this disclosure, Buffalo Pumps then removed the case on the basis of the following assertions:
5. Buffalo Pumps manufactured and supplied pumps for Navy ships pursuant to vessel-specific contracts between it and the United States Navy.
6. Buffalo Pumps is a “person” within the meaning of28 U.S.C. § 1442(a) .
7. As evidenced by the Kraft Affidavit, the Navy issued specifications and other technical documentation identified in applicable contract documents that controlled the pumps’ design and construction and specified the materials to be used, including asbestos gaskets. The Navy retained ultimate decision-making authority with respect to the design and final approval of all Buffalo Pumpsfs] pumps constructed for Navy vessels. All pumps supplied by Buffalo Pumps to the Navy were manufactured under reasonably precise specifications and other technical documentation dictated by the United States Government and identified in applicable contract documents.
8. The Navy’s specifications also covered the nature of any communication affixed to pumps or equipment supplied to the Navy. As such, Buffalo Pumps was required to submit for approval and acceptance by the federal government drafts of any manuals, drawings, or other written materials required to be provided with regard to pumps it manufactured for the Navy. Buffalo Pumps would not have been permitted ... to attach any type of warning or cautionary statement not required and approved by the Navy, including any statements related to asbestos, without prior discussion, approval and acceptance by the Navy.
9. Therefore, Buffalo Pumps was, at all times, acting under the direct and detailed authority and control of an officer of the United States Navy in carrying out its contract for the manufacture of pumps used on United States Naval vessels.
(Not. Removal at 3-4 (citations omitted).) Consequently, Buffalo Pumps contended, it had a colorable basis for asserting the “government contractor” defense recognized in
Boyle v. United Technologies Corp.,
To bolster its grounds for removal under
These affidavits, Buffalo Pumps maintains, provide sufficient support for its grounds for removal pursuant to
II. Removal Pursuant to
A statute that traces its history to the War of 1812,
First, they must show that they are persons within the meaning of the statute who acted under a federal officer. Second, they must show that they performed the actions for which they are being sued under color of federal office. Third, they must raise a colorable federal defense.
Id. at 135 (citations and quotation marks omitted).
Unlike other removal provisions,
In light of these principles, the Court will assess the three necessary elements for removal under
*330 A. “Acting Under” a Federal Officer
To be considered “acting under” a federal officer, a “person”—which is a term that “includes corporate persons,”
id.
at 136—must have done more than merely complied with a federal legal or regulatory scheme.
Watson,
Unlike the tobacco companies in Watson, Defendants received delegated authority; they were not simply regulated by federal law. Through their contracts with the Government to produce Agent Orange, the chemical companies “assisted” and “helped carry out the duties or tasks of’ officers at the Department of Defense. Defendants thus had the “special relationship” with the Government required by the “acting under” prong.
Id. (citation omitted).
The Plaintiff does not quarrel with the proposition that Buffalo Pumps was, at all relevant times, a person acting under a federal officer. The notice of removal and supporting affidavits establish that Buffalo Pumps manufactured pumps pursuant to contracts with, and according to specifications provided by, the Navy. Thus, Buffalo Pumps and the Navy had the kind of “special relationship” that
B. “Under Color of’ Federal Office
The second prerequisite for
The same conclusion follows here. In their affidavits, Admiral Horne and Kraft explained that the Navy retained ultimate decision-making authority with respect to the design and final approval of all pumps that Buffalo Pumps manufactured for Navy vessels, including the products implicated by Plaintiffs claims. Because the action challenged by Plaintiff— *331 namely, the use of hazardous asbestos— occurred while Buffalo Pumps was carrying out its Navy-directed duties, the necessary causal requirement is met.
Plaintiff disputes this conclusion, offering its own evidence that Buffalo Pumps could have gone further than the Navy’s specifications and included asbestos warnings on its pumps.
Isaacson
is particularly helpful on this point in two respects. First, citing
Jefferson County v. Acker,
To choose between those readings of the [county ordinance giving rise to the asserted federal defense] is to decide the merits of this ease. Just as requiring a “clearly sustainable defense” rather than a colorable defense would defeat the purpose of the removal statute, so would demanding an airtight case on the merits in order to show the required causal connection. Accordingly, we credit the [defendants’] theory of the case for purposes of both elements of our jurisdictional inquiry and conclude that the [defendants] have made an adequate threshold showing that the suit is “for an act under color of office.”
C. Colorable Federal Defense
Finally, a defendant can remove under the statute only if it raises a color-able federal defense. Buffalo Pumps has raised the “government contractor” defense recognized in
Boyle,
which “protects a government contractor from liability under state tort law when the Government approved the product’s general design, the product conformed to that design, and the contractor warned the Government of the risks of the product.”
Isaacson,
Plaintiff contends that Buffalo Pumps has not provided a sufficient basis for asserting the government-contractor defense because there is no evidence that the Navy actually prohibited warnings about the health hazards posed by asbestos materials. As above, Plaintiff cites her own proffered evidence purportedly showing that Navy regulations would have permitted such asbestos warnings. However, this dispute goes to the heart of the case, and is a matter which must be determined at trial and not at this preliminary stage. Through the factual assertions in its notice of removal and supporting affidavits, Buf
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falo Pumps has met the three elements of the government-contractor defense: (1) the Navy “approved reasonably precise specifications” for the pumps supplied by Buffalo Pumps (Horne Aff. ¶¶4-5, 9-13, 15-16); (2) these pumps “conformed” to the Navy’s detailed and precise specifications (Kraft Aff. ¶¶ 4-6, 10-12); and (3) the Navy was already aware of the asbestos-related “dangers in the use of the equipment” supplied by Buffalo Pumps (Forman Aff. ¶¶ 8-9).
In re Agent Orange Prod. Liab. Litig.,
Therefore, because Buffalo Pumps’s factual assertions support its claim that it has met the statutory requirements and has a colorable federal defense, the Court concludes that removal was proper under
III. Timeliness of Removal
Pursuant to
If the case stated by the initial pleading is not removable, a notice of removal may be filed within thirty days after receipt by the defendant, through service or otherwise, of a copy of an amended pleading, motion, order or other paper from which it may first be ascertained that the case is one which is or has become removable.
Buffalo Pumps contends that the factual basis for invoking
In its opposition brief, Buffalo Pumps described what the complaint lacked that would have otherwise made removability apparent:
Absent from the Complaint was any indication as to [] whether Plaintiffs alleged exposure in connection with Buffalo Pumps’fs] produces] occurred while Plaintiff served in the Navy, while in his post-Naval employment, or both. Nor did the complaint address any additional details regarding his alleged exposure to asbestos from Buffalo Pumps equip *333 ment[ ] (including such critical information as how, where and when such exposure occurred).
(Def.’s Opp’n Remand [Doc. # 41] at 2.) Buffalo Pumps also cited similar deficiencies in the April 2007 interrogatory answers:
[A]s with the Complaint, these minimalist discovery responses again failed to address the critical issues of whether Plaintiffs alleged exposure to Buffalo Pumps’[s] products stemmed from his Naval service, his post-Naval employment, or both. Nor did the discovery provide any additional details regarding his alleged exposure to Buffalo Pumps products (including information as to how, where and when such exposure occurred).
(Id. at 3.) Thus, only with the disclosure of Captain Woodruff s report in August 2007 was Buffalo Pumps made aware of this “critical” missing information:
This paper marked the first time in this litigation that Plaintiffs alleged that Mr. Pantalone’s exposure to asbestos from his work on or around Buffalo Pumps [products] was specifically linked to his service in the Navy on the [Dortch and Fulton ], and it provided for the first time the details of such alleged exposure.
(Id.) Counsel for Buffalo Pumps emphasized at oral argument that this information is essential to the removal determination because Buffalo Pumps supplied its products to both the government and private companies. Buffalo Pumps argues that, without clarification by the Plaintiff, it could not ascertain the source of Pantal-one’s alleged exposure to asbestos materials, despite the fact that Plaintiff “could have easily stated, in either the Complaint or the answers to interrogatories, that [Pantalone’s] alleged exposure to Buffalo Pumps [products] occurred during his Navy service, and not during his post-Navy career at Devon Powerhouse (or during both).” (Id. at 5-6.) 2
Contrary to Buffalo Pumps’s characterization, however, Plaintiff did in fact allege in her complaint that Pantalone was exposed to asbestos materials supplied by Buffalo Pumps during his Navy service. In Count I, Plaintiff alleged, in relevant part, that Pantalone “was exposed to various asbestos containing products while in the U.S. Navy, at various jobsites, at various times during the years 1951-1956”; that the many Defendants (including Buffalo Pumps) supplied these “asbestos-containing products to [Pantalone’s] employer(s)”; that Pantalone “was forced to come into contact with” these materials “as part of [his] employment”; that the Defendants’ products “reached [Pantalone’s employer(s) ] without any substantial change in their condition”; that the Defendants knew of the health dangers posed by asbestos products and yet failed to provide proper warnings; that Pantalone was severely injured as a result of this exposure; and that each Defendant is therefore liable under Connecticut law for such tortious acts. (Compl. ¶¶3, 5, 7-8, 10-13, 17-20.) Thus, the information Buffalo Pumps claims was available only later, following Captain Woodruffs report — whether Pan-talone was exposed during his Navy service, during his civilian employment, or both — was already alleged in the complaint. Accordingly, once it was served with the complaint in 2003, Buffalo Pumps was on notice that it was being sued, in part, based on the products delivered pursuant to its Navy contracts.
*334 Moreover, Buffalo Pumps’s notice of removal was based on no material facts not already available prior to the disclosure of Captain Woodruff s report. In the notice, Buffalo Pumps does not cite the report other than to state that “[o]n August 3, 2007, Defendant received the preliminary report of plaintiffs expert, R. Bruce Wood-ruff, a copy of which is annexed as Exhibit 2.” (Not. Removal ¶ 2.) Rather than incorporating the details of Pantalone’s Navy service which Woodruff described (and which were purportedly critical to the removal determination), Buffalo Pumps instead proffered its factual basis for removal in broad, general terms. According to the notice, Buffalo Pumps had satisfied the statutory requirements for removal during the time relevant to Plaintiffs complaint because all pumps it supplied to the Navy — not just those to which Pantalone was allegedly exposed — were designed and manufactured according to the Navy’s precise specifications. Admiral Horne used similarly sweeping language and averred that all equipment intended for installation on Navy vessels — not just Buffalo Pumps’s pumps, and also not just the equipment aboard the Fulton and the Dortch — was subject to the Navy’s close supervision and tight control. The generalized assertions in the Kraft and Forman affidavits were no different, except that they did not cite the facts disclosed in Captain Woodruffs report at all.
In short, other than the brief mention of the particular Navy vessels on which Pan-talone served, Buffalo Pumps’s grounds for removal are not traceable to the information confirmed and described by Captain Woodruff in his report. Plus, the identification of these two vessels became inconsequential once Buffalo Pumps asserted that all of its equipment bound for any Navy vessel was subject to the same constraints. Therefore, the claim that the Woodruff report was the event which triggered removability is belied by Buffalo Pumps’s own submissions.
Returning to the requirements of
Consequently, because Buffalo Pumps has not demonstrated that it could not have reasonably ascertained the case’s re-movability before August 3, 2007, it has not carried its burden of showing that the notice of removal was timely filed pursuant to
IV. Conclusion
In summary, Buffalo Pumps properly removed this case under
IT IS SO ORDERED.
Notes
. The interplay between state-law asbestos litigation and the federal-officer-removal statute
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has been the subject of many decisions in the last few years, including three by judges in this District.
See Contois v. Able Indus. Inc.,
. Contradicting itself, Buffalo Pumps conceded in the same brief that, in the discovery responses, Plaintiff provided what it termed "a sliver of additional information": "that while in the Navy, [Pantalone] was exposed while serving as a screw machine operator on board the [Dortch and Fulton ].” (Def.’s Opp'n Remand at 4.)
. In its briefing and at oral argument, Buffalo Pumps suggested that precisely where on the Dortch and Fulton Pantalone worked is “particularly pertinent” to Buffalo Pumps's determination of how it may be liable. (Def.'s Opp’n Remand at 6.) But this is an argument which goes to the merits of the case, not removability, and bears no relation to the grounds on which removal was originally based.