St. Tammany Parish Ex Rel. Davis v. Federal Emergency Management AgencySt. Tammany Parish Ex Rel. Davis v. Federal Emergency Management Agency
We are asked to determine whether the discretionary function exception of the Robert T. Stafford Disaster Relief and Emergency Assistance Act,
I. FACTUAL, REGULATORY, AND PROCEDURAL BACKGROUND
A. Factual History and Relevant Regulations
On August 29, 2005, Hurricane Katrina made landfall along Louisiana’s Gulf of Mexico coast. As a result, President George W. Bush declared that a major disaster existed in the State of Louisiana and initiated the federal government’s involvement in the hurricane recovery effort.
1
See
Notice of the Presidential Declaration of a Major Disaster for the State of Louisiana, 70 Fed.Reg. 53,803-01 (Sept. 12, 2005). The President exercised his authority to declare major disaster areas pursuant to the Robert T. Stafford Disaster Relief and Emergency Assistance Act (“Stafford Act”),
After the President declares a major disaster, the Stafford Act states that “[federal agencies may on the direction of the President, provide assistance essential to meeting immediate threats to life and property resulting from [the] major disaster.”
The Stafford Act authorizes the President to delegate his authority under the Act to a federal agency.
See
Under the regulations, a specific project must be documented in a Project Worksheet, FEMA Form 90-91 (“PW”).
See
The President’s August 29, 2005 declaration that a major disaster existed in Louisiana as a result of the damage caused by Hurricane Katrina in certain areas authorized FEMA “to allocate from funds available for these purposes such amounts as you find necessary for Federal disaster assistance and administrative expenses.” 70 Fed.Reg. 53,803-01, at 53,803. The declaration also authorized FEMA “to provide ... assistance for debris removal.” Id. The President specifically identified St. Tammany Parish (“plaintiff’ or the “Parish”) as a municipality eligible for such assistance. Id.
Pursuant to the Stafford Act and its accompanying regulations, FEMA issued Recovery Policy 9523.13 to help facilitate debris removal from private property after Hurricane Katrina. See FEMA, Debris Removal from Private Property: Recovery Policy 9523.13 (Oct. 23, 2005), amending and replacing Recovery Policy 9523.13 (Sept. 7, 2005). Recovery Policy 9523.13 provides that:
Hurricanes Katrina and Rita in some areas created catastrophic, widespread destruction resulting in vast quantities of debris which may require state or local government to enter private property to remove it in order to prevent disease and other immediate public health and safety threats. In these situations, debris removal from private property may be in the public interest and thus may be eligible for reimbursement, when the unconditional authorization for debris removal and indemnification requirements established by Sections 403 and 407 of the Stafford Act are met.
Recovery Policy 9523.13, at § 6(C). It offers guidance for reimbursing “state, county, and municipal governments for costs incurred in debris removal from private property.”
Id.
at § 7. Section 7 of the Policy provides that FEMA will work with local governments to determine areas in which such debris removal “is in the ‘public interest’ under
On September 12, 2005, the Parish filed a “Request for Public Assistance” for debris removal from public and private property within its jurisdiction. Part of the request sought debris removal from private canals in Coin du Lestin. Coin du Lestin, a private community consisting of approximately 250 residential homes, sits in the eastern part of the Parish. Coin du Lestin utilizes an above-ground drainage system that consists of drainage ditches, drains, and culverts. The drainage system is connected to a number of canals, which, in turn, drain into Bayou Bonfouca and then Lake Pontchartrain. The Coin du Lestin canals were navigable prior to Hurricane Katrina, reaching a depth of at least ten feet. Hurricane-related flooding, however, deposited construction and demolition (“C&D”) materials, a boat, a submerged vehicle, as well as silt, mud, and vegetative materials, into the canals. Citing a potential flood hazard due to clogging in the Coin du Lestin canals, the Parish requested funding for removal of C&D debris and for the dredging of the canals to a depth of eight feet from bank to bank. The proposed scope of work included the removal of approximately 500,000 cubic yards (“CY”) of debris.
In response, FEMA issued PW 2981, authorizing some, but not all, of the Parish’s requested funding for debris removal from the Coin du Lestin canals. See FEMA, Project Worksheet Report 2981 (Feb. 6, 2006). According to PW 2981, FEMA debris specialists conducted an assessment of the canals on February 2, 2006, “to estimate the amount of debris in the canals that posed an immediate threat to improved property, public health and safety.” Id. at 14. FEMA specialists determined that:
[H]igh winds and storm surge associated with Hurricane Katrina ... caused an estimated 130 CY of C&D debris and one (1) recreational boat to be deposited in the St. Tammany Coin [dujLestin canals. The canals serve as access to the surrounding area and are within close proximity to parish residences; therefore, the debris is considered an immediate threat to public health and safety. Also deposited in the canals were large quantities of marsh grass.
Id. at 2. As a result of this assessment, FEMA authorized funding for removal of approximately 130 CY of C&D debris and the recreational boat. FEMA, however, determined that “[mjarsh grass removal from the canal is considered not eligible as its removal is considered to be dredging.” Id. at 3; see also id. at 14 (noting that some debris may not be considered eligible for funding because it “is not considered to pose an immediate threat to improved property, public health and safety, such as marsh grass, soil, and debris that is not in close proximity to improved property”). The approved PW 2981 authorized funding for a total of $7350 for debris removal. Id. at 1.
Nearly a year later, FEMA amended PW 2981 with PW 2981-1.
See
FEMA, Project Worksheet Report 2981-1 (Jan. 10, 2007). The new PW altered the work
In an email dated May 4, 2007, Patrick W. Ruland, FEMA’s Public Assistance officer, proposed an extension of the work to include the removal of some marsh grass to ensure flow within the canals. See Email from Patrick W. Ruland, Public Assistance Officer, to Joe Shoemaker et al. (May 4, 2007). Ruland notified the Parish that FEMA was willing to reconsider funding the removal of some marsh grass from the Coin du Lestin canals. Id. He wrote:
FEMA understands that the Parishes [sic] two primary concerns are the removal of debris to reduce the threat of future flooding and to return the canals to a functional capacity for the residences. But with these waters being tertiary, non-navigable waterways, our concern is primarily to reduce further damages from occurring due to flood waters. The amounts of marsh grass removal FEMA PA would consider reasonable to allow the waters to flow for drainage purposes at the Coin Du Lestin area will be limited to 2’ deep x 10’ wide.... The debris removal will only be eligible at those areas of the waterways in which water flow is severely restricted.
Id. The record does not reveal that either FEMA or the Coin du Lestin community pursued this proposal or completed a new PW before the Parish filed the present suit.
B. Procedural History
On June 22, 2007, the Parish filed a five-count complaint against FEMA and DHS based on FEMA’s refusal to fully fund the Parish’s Request for Public Assistance seeking removal of all debris and sediment from the Coin du Lestin canals to a depth of eight feet. The Parish’s first count alleged that defendants violated the Stafford Act,
Defendants moved to dismiss the case for lack of subject matter jurisdiction on the grounds of sovereign immunity under
In response to defendants’ motion, the Parish argued that the Stafford Act, the FTCA, and the APA waived the United States’s sovereign immunity for purposes of its suit because the Stafford Act and its corresponding regulations mandated that FEMA provide funding for debris removal from the Coin du Lestin canals. Furthermore, the Parish contended that Williams’s affidavit showed that FEMA determined that there was an immediate threat of flooding from the Coin du Lestin canals, thus mandating funding of the requested dredging to remove the immediate threat.
The district court granted defendants’ motion to dismiss for lack of subject matter jurisdiction. The court first noted that § 702 of the APA waives sovereign immunity for claims alleging that a person suffered a legal wrong because of agency action, within the meaning of a relevant statute. The court also noted, however, that the waiver of sovereign immunity is inapplicable when “statutes preclude judicial review.”
On December 21, 2007, the Parish filed a timely notice of appeal. We have jurisdiction under
A. The Stafford, Act’s Discretionary Function Exception
“We review a district court’s dismissal for lack of subject matter jurisdiction de novo.”
Stiles v. GTE Sw., Inc.,
We are asked to determine whether the United States has waived sovereign immunity for its agencies’ decision not to fund the Parish’s requested debris removal. Plaintiff bears the burden of showing Congress’s unequivocal waiver of sovereign immunity.
See Kokkonen v. Guardian Life Ins. Co.,
Plaintiff argues that Congress waived sovereign immunity for its present claims in three statutes: the FTCA, the APA, and the Stafford Act. Plaintiff alleges a claim under the FTCA for wrongful denial of funding under the Stafford Act. The FTCA authorizes suits against the United States for damages arising from:
injury or loss of property, or personal injury or death caused by the negligent or wrongful act or omission of any employee of the Government while acting within the scope of his office or employment, under circumstances where the United States, if a private person, would be liable to the claimant in accordancewith the law of the place where the act or omission occurred.
Any 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.
Id.
The “discretionary function exception is thus a form of retained sovereign immunity.”
In re World Trade Ctr. Disaster Site Litig.,
Plaintiff also brings a claim pursuant to the APA for improper rulemaking under the Stafford Act. The APA is a broadly applicable statute that “undoubtedly evinces Congress’ intention and understanding that judicial review should be widely available to challenge the actions of federal administrative officials.”
Califano v. Sanders,
Thus, plaintiff has alleged claims under two generally applicable statutes, the FTCA and the APA, for violations of the Stafford Act and its corresponding regulations. Although the Stafford Act does not contain a waiver of sovereign immunity,
see Graham v. Fed. Emergency Mgmt. Agency,
[A]ny claim based upon the exercise or performance of or the failure to exercise or perform a discretionary function or duty on the part of a Federal agency or an employee of the Federal Government in carrying out the provisions of this chapter.
Id.
The Stafford Act’s discretionary function exception exists, despite the lack of an express waiver of sovereign immunity, to protect the government from liability for claims based on its discretionary conduct brought pursuant to the FTCA, APA, or other statutes of general applicability.
5
Nonetheless, this provision “precludefs] judicial review of all disaster relief claims based upon the discretionary actions of federal employees.”
Rosas v. Brock,
The government argues that the Stafford Act’s discretionary function exception applies to the funding decisions that form the basis of the present claims. The Parish counters that it has alleged facts that give rise to a nondiscretionary duty to provide funding — i.e., one not sheltered by the discretionary function exception. The first contention between the parties thus is the meaning of the term “discretionary function or duty” within the Stafford Act’s discretionary function exception. 6 Neither the Supreme Court nor this court has considered this question.
Plaintiff argues that the Supreme Court’s interpretation of the term “discre
We hold that “discretionary function or duty” has the same meaning in
“The starting point in statutory interpretation is ‘the language [of the statute] itself.’ ”
United States v. James,
In this case, the language of
Ancillary evidence supports our conclusion. To start, the legislative history suggests that the nearly identical statutory language is the result of Congress’s intentional incorporation of
The Stafford Act is not the only federal statute that provides a “discretionary function” immunity. The [FTCA] also contains a discretionary function exception. The statutes employ practically identical language: both provide protection for “the exercise or performance of or the failure to exercise or perform a discretionary function or duty on the part of a [F]ederal agency or an employee of the [Federal] Government....” Furthermore, we have previously considered the FTCA in analyzing other discretionary function immunities. Finally, it appears that the discretionary function defense in the Stafford Act was based upon the discretionary function exception in the FTCA. Thus, we consider the policies for the FTCA discretionary function exception, and prior interpretations of that exception, for guidance on the nature of the Stafford Act discretionary function immunity.
The government’s counterarguments do not show that Congress intended “a discretionary function or duty” to have a different meaning in
The government also attempts to distinguish the two statutes by reference to the few differences in the statutes’ wordings. Where relevant, however, these differences support our holding. First,
This distinction, however, undermines the government’s next argument — that interpreting
We have further provided that if the agencies of the Government make a mistake in the administration of the Disaster Relief Act that the Government may not be sued. Strange as it may seem, there are many suits pending in the Court of Claims today against the Government because of alleged mistakes made in the administration of other relief acts, suits aggregating millions of dollars because citizens have averred that the agencies and employees of Government made mistakes. We have put a stipulation in here that there shall be no liability on the part of the Government.
96 Cong. Rec. 11895,11912 (1950);
see also
H.R.Rep. No. 81-2727, at 3 (report of Rep. Whittington) (summarizing that the proposed legislation contained an amendment “to provide that the Federal Government shall not be liable for any claims based upon the proper exercise or performance of a function or duty on the part of any Federal agency or any employee of the Government in carrying out the provisions of the section”). Placed in proper context and in light of the clear language of
B. The Funding Decision
We now determine the applicability of the discretionary function exception under
The Supreme Court has developed a two-part test for determining whether agency conduct qualifies as a discretionary function or duty under this exception.
See Gaubert,
Second, “even ‘assuming the challenged conduct involves an element of judgment,’ ” we must still decide that the “ ‘judgment is of the kind that the discretionary function exception was designed to shield.’”
Id.
at 322-23,
In this case, plaintiff argues that the Stafford Act, regulations promulgated pursuant to it, Recovery Policy 9523.13, the Ward Memorandum, and PW 2981.1 created a nondiscretionary duty on FEMA to fund its requested debris and sediment removal in the Coin du Lestin canals to a depth of eight feet. Under the first prong of the Berkovitztest, plaintiff asserts that these authorities prevented FEMA from exercising any choice in whether to fund the dredging. Plaintiffs claim is predominately based on two deductions — first, that once FEMA declared debris removal from private property in the Parish to be in the public interest, it had no discretion to deny funding for the Parish’s request in this specific case; and second, that once FEMA engineers determined that some threat existed to improved property, public health, or safety, it lacked discretion to deny funding for the debris removal. We conclude that, in this case, the cited authorities do not create a nondiscretionary duty mandating that FEMA fund the Parish’s requested dredging of the Coin du Lestin canals.
Nor do the corresponding federal regulations create a mandatory duty. The regulations permit FEMA to provide assistance for removal of eligible debris if in the public interest, but they do not mandate assistance even where that eligibility criterion is met.
See
Similarly, Recovery Policy 9523.13, the Ward Memorandum, and PW 2891.1 do not mandate that FEMA fund the Parish’s request for dredging. Recovery Policy 9523.13 states that FEMA has “authority” to fund debris removal, § 6(A), and that
Under the second prong of the
Berko-vitz
test, we hold that funding decisions related to the extent of debris removal that is necessary to protect improved property, public health, and safety are exactly the type of public policy considerations that
Thus, we hold that in this case, the Stafford Act, its regulations, and related agency guidance do not give rise to a mandatory duty. They instead permit discretionary, policy-oriented choices that
III. CONCLUSION
For the above explained reasons, we AFFIRM the district court’s dismissal for lack of subject matter jurisdiction under
Notes
. On August 27, 2005, anticipating that Hurricane Katrina would strike the Gulf coast, President Bush declared that an emergency existed in Louisiana and authorized federal authorities to coordinate and assist the state government as the storm approached. See Notice of the Presidential Declaration of an Emergency for the State of Louisiana, 70 Fed. Reg. 53,238-01 (Sept. 7, 2005). The relevant declaration for the purposes of the events at issue here, however, is the President's August 29, 2005 declaration that a major disaster existed in Louisiana due to the damage caused by Hurricane Katrina. See 70 Fed. Reg. at 53,803.
. The district court did not distinguish between the various counts of plaintiff's complaint when granting defendants' motion to dismiss. It instead applied
. While the plaintiff bears the burden of showing an unequivocal waiver of sovereign immunity, it is less clear whether the plaintiff or the government bears the burden of proof to show whether a discretionary function exception to a waiver of sovereign immunity applies. Our sister courts of appeals are split. Some place the burden on the plaintiff to show that the governments conduct does not fall within the discretionary function exception.
See Aragon
v.
United States,
In the context of a motion to dismiss, however, the courts have widely held that the plaintiff must invoke jurisdiction by pleading facts that facially allege matters outside of the discretionary function exception.
See Prescott,
. Because the Parish appeals the district court's grant of defendants’ motion to dismiss for lack of subject matter jurisdiction, we need not consider the merits of whether the Parish's claims give rise to tort liability under Louisiana law.
. Because the Parish in this case alleges claims properly brought pursuant to the APA or the FTCA, we need not consider the validity of claims brought pursuant to the Stafford Act that are not augmented by APA or FTCA causes of action.
. Both parties agree that the Stafford Act’s discretionary function exception governs the current dispute. We note that, for this case, our conclusion regarding the applicability of
. We will not entertain legal issues raised for the first time on appeal except "in extraordinary instances when such consideration is required to avoid a miscarriage of justice.”
Bayou Liberty Ass'n v. U.S. Army Corps of Eng'rs,
The government's argument — that "any activity of the United States undertaken to carry out the provisions of the Stafford Act will necessarily trigger
.
See also, e.g., Watson v. FEMA,
No. H-06-1709,
. We also note that
. As discussed above, the Report of the Committee on Public Works that was submitted to the House of Representatives reveals that
. Defendants contend that Recovery Policy 9523.13 provides guidance only for the removal of debris from commercial private property. Its unambiguous text, however, states that it applies to the removal of debris from private property, both commercial and noncommercial. See, e.g., Recovery Policy 9523.13, §§ 4, 6(A)-(C), 7(A)-(C), 7(G)-(H). This conclusion is confirmed by the earlier September 7, 2005 version of the same policy. That version did not mention commercial property. The later October 23, 2005 version (contained in the record below) amended the September 7 version to provide additional guidance related to debris removal from commercial private property, see id. §§ 4, 6(D), 7(D), while preserving the original guidance related to noncommercial private property.
. Upon further review, FEMA concluded that dredging may be necessary to a depth of two feet in certain drainage culverts at high risk for flooding, and, in a later affidavit attached to its motion to dismiss, FEMA extended this conclusion to Coin du Lestin’s entire canal system. While FEMA's later attempts to aid Coin du Lestin with funding for partial dredging might have been the first step to a mandatory duty for FEMA to provide funding for those specific activities, the record does not contain a PW memorializing any such conclusion.
. Because