ORDER:
The Court having been polled at the request of one of the members of the Court and a majority of the Circuit Judges who are in regular active service not having voted in favor of it (Rule 35, Federal Rules of Appellate Procedure; Eleventh Circuit Rule 35-5), the Suggestion of Rehearing En Banc is DENIED.
dissenting from the denial of rehearing en banc, in which BARKETT, Circuit Judge, joins:
The panel in this case vacated the defendants’ convictions for conspiracy and for substantive violations of the Clean Water Act (“the Act” or “CWA”), holding that the jury charge was inconsistent with the Supreme Court’s intervening decision in Rapanos v. United States,
In my view, the panel’s decision cannot be reconciled with Supreme Court and Eleventh Circuit precedents addressing the proper application of fractured Supreme Court decisions. Moreover, the decision fails as a matter of common sense, as it gives no legal effect to a standard under which eight Justices would find CWA jurisdiction. This error is one of exceptional importance, implicating both the jurisdictional scope of the CWA and the interpretation of fragmented decisions generally. Accordingly, I would grant the United States’ petition for rehearing en banc.
I. BACKGROUND
The CWA prohibits the discharge of pollutants into “navigable waters,” 33 U.S.C. §§ 1311(a), 1362(12), which are defined to mean “the waters of the United States, including the territorial seas,” id. § 1362(7). The defendants were prosecuted for conspiracy to violate the CWA and for several substantive CWA violations arising out of the discharge of pollutants into Avondale Creek, a stream that indirectly feeds into the Black Warrior River. Relying on our decision in United States v. Eidson,
Following the defendants’ convictions, the Supreme Court issued its Rapanos decision. Rapanos involved two consolidated cases in which the Court construed the terms “navigable waters” and “the waters of the United States” in relation to wetlands located near ditches or drains that eventually emptied into traditional navigable waters. See Rapanos,
In a separate concurrence, Justice Kennedy concluded that a different standard is applicable. According to Justice Kennedy, a water or wetland is within- the scope of CWA jurisdiction if it “possesses] a ‘significant nexus’ to waters that are or were navigable in fact or that could reasonably be so made.” Id. at 759,
Justice Stevens dissented in an opinion joined by three other Justices. The dissenters would have deferred to the Army Corps of Engineers’ interpretation of the Act as encompassing the wetlands at issue. Id. at 788,
The defendants in this case argued on appeal that the district court’s jury instruction was erroneous in light of Rapanos and that Avondale Creek is not a “navigable water” within the meaning of the CWA. The panel noted that there is a circuit split over which Rapanos opinion provides the controlling definition of that term. United States v. Robison,
Applying that standard, the panel held that the jury instruction failed to comport with the “significant nexus” test and thus was erroneous. Id. The panel determined that this error was not harmless because the government presented no evidence about the possible chemical, physical, or biological effect that Avondale Creek may have on the Black Warrior River. Id. at 1223. Accordingly, the panel vacated the defendants’ convictions and remanded the case for a new trial.
The panel recognized that “[t]his case arguably is one in which Justice Scalia’s test may actually be more likely to result in CWA jurisdiction than Justice Kennedy’s test.” Id. Therefore, the panel noted, “the decision as to which Rapanos test applies may be outcome-determinative in this case.” Id. at 1224. Although the jury instruction was also erroneous under the plurality’s test, the error “may well have been harmless” under that standard because a government witness “clearly and unambiguously testified that there is a continuous, uninterrupted flow between Avondale Creek and the Black Warrior River.” Id. Nevertheless, in light of its conclusion that Marks required it to adopt Justice Kennedy’s test, the panel determined that the harmless error analysis should be based on that standard alone. Id. For the same reason, the panel instructed the district court to apply Justice Kennedy’s test on remand. Id.
II. DISCUSSION
A.
In Marks, the Supreme Court held: “When a fragmented Court decides a case and no single rationale explaining the result enjoys the assent of five Justices, ‘the holding of the Court may be viewed as that position taken by those Members who concurred in the judgments on the narrowest grounds.’”
In Marks, the defendant asserted a due process challenge to his conviction for transporting obscene materials, arguing that he had been punished retroactively under a definition of obscenity established after his conduct occurred. The Court looked to a prior obscenity case, Book Named “John Cleland’s Memoirs of a Woman of Pleasure” v. Attorney General of Massachusetts,
The source of Marks’s “narrowest grounds” language, Gregg v. Georgia, was a death penalty ease in which the Court considered its prior fragmented decision in Furman v. Georgia,
As these cases indicate, the Marks framework makes sense only in circumstances in which one Supreme Court opinion truly is “narrower” than another — that is, where it is clear that one opinion would apply in a subset of cases encompassed by a broader opinion. In Memoirs, for example, the Justices taking the absolutist view of the First Amendment would always rule in favor of protecting speech, while the Justices who believed that only non-obscene speech is protected would reach the same conclusion in a subset of those cases. Similarly, in Furman, the Justices who believed that capital punishment is per se unconstitutional would invalidate death sentences in all future cases. The Justices who limited their decisions to the death penalty statutes before the Court would agree with that result in a subset of such cases. In each instance, the “narrower” opinion “fit entirely within a broader circle drawn by the others.” King v. Palmer,
B.
Neither the Rapanos plurality’s nor Justice Kennedy’s test is a subset of the other. The two tests simply set forth different criteria for determining whether a water is within the scope of the CWA. Unlike the Justices in Memoirs and Furman, neither the plurality nor Justice Kennedy necessarily would agree with the outcome reached by the other in any given case. In many instances, Justice Kennedy’s test would result in a finding of CWA jurisdiction where the plurality’s test would not. In others, however, the plurality would find jurisdiction even if Justice Kennedy reached the opposite conclusion. See Johnson,
Nevertheless, the panel concluded that Justice Kennedy’s test is narrower than the plurality’s because, “at least in wetlands cases such as Rapanos, [it] will classify a water as ‘navigable’ more frequently.” Id. at 1221. The panel based this conclusion on the fact that Justice Kennedy rejected two “limitations” imposed by the plurality’s test: “the requirement that ‘navigable waters’ must be ‘relatively permanent, standing or flowing bodies of water’ and the requirement of a ‘continuous surface connection.’ ” Id. at 1221-22 (citations omitted). However, Justice Kennedy’s test imposes a limitation that is absent under the plurality’s test: the showing of a “significant nexus” between the water at issue and “waters that are or were navigable in fact or that could reasonably be so made.” Rapanos,
Moreover, the Marks rule does not turn on the frequency with which a given test will be satisfied. Under Marks, the “narrowest” ground is that which reflects a common denominator implicitly supported by the Justices concurring in the judgment. See King,
For these reasons, I agree with the First Circuit that Marks provides little, if any, guidance as to the proper interpretation of Rapanos. See Johnson,
C.
In considering its own prior fragmented decisions, the Supreme Court has frequently analyzed dissents in combination with other opinions to identify the legal principles that have the support of a majority of the Justices. See, e.g., League of United Latin Am. Citizens v. Perry,
However, the Supreme Court has expressly approved the consideration of dissenting Justices’ views by a court of appeals. In Moses H. Cone (a post-Marks case), the petitioner argued that the Colorado River test
We have followed the same approach in interpreting fractured Supreme Court decisions. For example, in Martin v. Dugger,
Thus, a majority of the court agrees that a showing of innocence is a factor that may be appropriately considered. Although in Kuhlmann the premise that factual innocence is one of the grounds to be considered commands a “majority” only by grouping justices who disagree as to the result, nonetheless we believe this situation is sufficiently analogous to that of ... Marks v. United States to warrant deference to the common ground among members of the fragmented Court. This is especially true as the three dissenting justices made explicit their agreement with the more limited premise (that factual innocence was one of the factors to consider), which was encompassed by the position of the four justice plurality.
Id. at 809 n. 2 (citations omitted).
As in Kuhlmann, the dissenters in Rápanos explicitly stated their agreement with the narrower premises advocated by the Justices supporting the judgment. That is, they agreed that waters described by either the plurality’s or Justice Kennedy’s test are within the scope of CWA jurisdiction. See Rapanos,
Our decision in McCullough v. Singletary,
In light of this authority, I believe that the panel erred in basing its harmless error analysis exclusively on Justice Kennedy’s test. The panel also should have
D.
The panel’s error, I believe, is of sufficient magnitude as to warrant en banc consideration. Review by the full court is appropriate where a panel decision constitutes a “precedent-setting error of exceptional importance” and is “in direct conflict with precedent of the Supreme Court or of this circuit.” 11th Cir. R. 35-3. For the reasons discussed above, I conclude that the panel’s decision conflicts with the Supreme Court’s decision in Moses H. Cone and with our decisions in Martin and McCullough. The exceptional importance of this error is apparent in view of the geography of the states in the Eleventh Circuit and the frequency with which CWA cases are likely to arise in this Circuit in the future. The large number of water bodies and wetlands in the region, coupled with the significant pace of development, suggests that later disputes over the scope of federal authority under the Act may occur with some regularity.
An additional consideration supporting en banc review is the fact that the panel’s opinion goes farther than the other circuit court decisions that have found Justice Kennedy’s test to be the applicable Rapanos standard. No other circuit has held that the plurality’s test is never applicable, even where, as here, that test may result in a finding of jurisdiction. Thus, the Ninth Circuit amended its original opinion in Northern California River Watch v. City of Healdsburg to note that Justice Kennedy’s concurrence provided “the controlling rule of law for our case” and that it is “the narrowest ground to which a majority of the Justices would assent if forced to choose in almost all cases.”
Finally, I note that the reach of the panel’s decision will not be confined to CWA cases. The decision will have relevance across a range of future cases involving the interpretation of a fractured Supreme Court decision. To ensure that our case law conforms to the Court’s teachings on that issue and provides consistent guidance to courts in this Circuit, en banc review would have been proper in this case.
For these reasons, I respectfully dissent from the denial of rehearing en banc.
Notes
. The factual background and procedural history are set forth in greater detail in the panel opinion. See United States v. Robison,
. See Colorado River Conservation Dist. v. United States,
. The United States notes in its petition for rehearing en banc that many tributaries in this Circuit flow year-round and thus would readily satisfy the plurality's test.
. The court’s initial opinion discussed Rapanos in more categorical terms. See N. Cal. River Watch v. City of Healdsburg,
