AMUL R. THAPAR, District Judge.
The plaintiff in this heartbreaking Federal Tort Claims Act ("FTCA") case seeks to hold the United States liable for negligently causing him grievous injury while visiting a National Guard training facility in eastern Kentucky. The government now moves to dismiss. It contends the Court lacks jurisdiction because the allegedly negligent government employees acted pursuant to a discretionary function and thus the FTCA's limited waiver of sovereign immunity does not apply. Since it remains unclear whether the government's alleged conduct fell within its discretion, the Court will deny without prejudice the United States' motion to dismiss and order new briefing on the remaining questions.
This case arises out of a tragic accident at the Harold L. Disney Training Center ("HLDTC"), a military training ground in Artemus, Kentucky, used primarily by the Kentucky Army National Guard and the United States Army Reserve.
Stanford sued the United States for negligence pursuant to the Federal Tort Claims Act. See R. 1. The Kentucky Association of Counties Workers' Compensation Fund ("KACo") also joined the suit as an intervening plaintiff. R. 12. Stanford and KACo
The United States disavows any fault in Stanford's accident, see R. 11, and moved to dismiss Stanford's complaint pursuant to Rule 12(b)(1) of the Federal Rules of Civil Procedure, or in the alternative, for summary judgment, see R. 108.
Most of the plaintiffs' arguments against the application of the discretionary function exception are unavailing. But because some legal questions remain, the Court will order new briefing.
The Federal Tort Claims Act is a "limited waiver" of the government's sovereign immunity. Molzof v. United States, 502 U.S. 301, 305, 112 S.Ct. 711, 116 L.Ed.2d 731 (1992). Generally speaking, that waiver exposes the United States to liability for torts "in the same manner and to the same extent as a private individual under like circumstances." 28 U.S.C. § 2674; see also 28 U.S.C. § 1346(b)(1) (conferring original jurisdiction on district courts over tort claims arising from injuries caused by federal employees that would otherwise be actionable if the United States were a private party). But there are several important exceptions. Federal courts lack jurisdiction over claims arising out of "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. § 2680(a). The purpose of this carve-out, commonly known as the discretionary function exception ("DFE"), is "to prevent judicial `second-guessing' of legislative and administrative decisions grounded in social, economic, and political policy." United States v. S.A. Empresa de Viacao Aerea Rio Grandense (Varig Airlines), 467 U.S. 797, 814, 104 S.Ct. 2755, 81 L.Ed.2d 660 (1984).
Determining whether the DFE bars liability involves a two-part test. See
The DFE is not merely an affirmative defense; it is a jurisdictional bar. If an alleged tort falls within the exception, the Court lacks subject-matter jurisdiction over the associated claim and accordingly must dismiss it. See Kohl v. United States, 699 F.3d 935, 940 (6th Cir.2012). A motion to dismiss based on the DFE is thus properly brought under Rule 12(b)(1). See Hatcher v. United States, 512 Fed. Appx. 527, 528 (6th Cir.2013).
Attacks on subject-matter jurisdiction under Rule 12(b)(1) come in two forms: facial and factual. See Gentek Bldg. Prods., Inc. v. Sherwin-Williams Co., 491 F.3d 320, 330 (6th Cir.2007). Facial attacks assert that the plaintiff has not sufficiently pled subject-matter jurisdiction. Id. When considering a facial attack, the Court must take the plaintiff's allegations as true. Id. Factual attacks, on the other hand, challenge the particular facts that support subject-matter jurisdiction. Id. When it comes to such jurisdictional facts there is no presumption of truthfulness. Id. In response to a factual attack, the Court must weigh the conflicting evidence in the record to determine whether jurisdiction exists. Id.; see also Ohio Nat. Life Ins. Co. v. United States, 922 F.2d 320, 325 (6th Cir.1990) (noting court has power to resolve factual disputes on 12(b)(1) motion). And if the record reveals genuine issues of material fact, then the Court can only make the necessary factual findings after a preliminary hearing or hearing at trial. See Commodities Exp. Co. v. U.S. Customs Serv., 888 F.2d 431, 436 (6th Cir.1989). The standard for determining whether a hearing is needed is thus the same as the standard that applies at summary judgment. Id. Absent complex factual questions, the Court is not required to hold a hearing. See Cook v. Providence Hosp., 820 F.2d 176, 178 (6th Cir.1987).
The government here has mounted both a facial and factual attack on jurisdiction.
Before applying the two-prong DFE analysis, the "crucial first step" is to properly frame the conduct at issue. Rosebush v. United States, 119 F.3d 438, 441 (6th Cir.1997). Courts must avoid framing the conduct simply as the failure to exercise due care because such a narrow characterization collapses the DFE inquiry into the question of whether the defendants were negligent, and negligence is irrelevant to the DFE. Id. at 442. Similarly, an overly broad characterization risks insulating all conduct from liability, because at a high enough level of generality, everything is discretionary. Id. For example, "the management and operation" of a campground is too broad, as the decision whether even to have a campground is itself discretionary. Id. at 441-42. Since no bright-line test exists, reasoning by analogy from case law is the only guide.
Other circuits have also endorsed the principle that the plaintiff's status is relevant to framing the conduct for DFE analysis. The Tenth Circuit relied on that principle in Weiss v. United States, 889 F.2d 937 (10th Cir.1989), a case involving a helicopter pilot injured when he collided with a cable hanging above federal land. The Tenth Circuit held that a seemingly general requirement that the Forest Service mark or eliminate all air hazards was intended only for the benefit of the agency, rather than for members of the public like the plaintiff. Weiss, 889 F.2d at 938. The regulation therefore did not remove the government's discretion regarding the conduct in that case. Id. at 939. And the First Circuit invoked the same idea in Ayer v. United States, 902 F.2d 1038 (1st Cir.1990), a case involving a civilian visitor injured on a missile launch site. The court in Ayer held that the DFE precluded liability because there was "no specific policy or regulation mandating procedures to assure public safety." Id. at 1042-43 (emphasis added). Ayer even noted that the applicable standards were instead directed at military needs. Id. at 1043-44. So for purposes of the DFE's first prong, the plaintiff's status as a civilian visitor on federal land can be just as important to defining the conduct as how he was injured. Regulations governing safety might not apply to such visitors.
The plaintiffs object that narrowing the relevant conduct to civilian visitors would "create a facile distinction between the level of care owed to the United States soldiers and the rest of the general public allowed access to the same training facility." R. 126 at 16. Far from facile, however, the distinction between the standard of care owed soldiers and that owed civilians
But even beyond the military context, it is entirely normal to focus on the class of persons involved to determine whether a particular rule supplies the relevant standard of care. That is how negligence per se works. See Restatement (Third) of Torts: Phys. & Emot. Harm § 14 (2010) ("An actor is negligent if, without excuse, the actor violates a statute that is designed to protect against the type of accident the actor's conduct causes, and if the accident victim is within the class of persons the statute is designed to protect."). So, for example, a workplace violation of an occupational safety regulation that happens to injure a visiting invitee rather than an employee would not support a claim of negligence per se. Id. cmt. g. Similarly, it makes perfect sense to differentiate between soldiers and civilian visitors when framing the conduct for purposes of the DFE.
Taken as a whole, the cases indicate the appropriate characterization of the conduct in this case is allowing civilian visitors to use the military obstacle course at HLDTC. The Court thus must ask whether any mandatory regulations govern the circumstances under which civilian visitors are permitted such use, including how civilian visitors are approved, supervised, and warned, and how obstacle courses used by civilians are designed and maintained.
The plaintiffs argue that several mandatory regulations or policies govern the defendants' conduct in this case, removing their discretion. These include: 1) Army Field Manual ("AFM") 21-20; 2) Obstacle/Confidence Course Inspection Criteria issued by Army Training and Doctrine Command ("TRADOC"); 3) Kentucky Army National Guard ("KYARNG") Regulation 350-7; 4) National Guard Regulations 420-10 and 415-5, and their associated pamphlets; and 5) unwritten policies governing obstacles and the safety of civilian visitors. See R. 126 at 18-24, 31-32; R. 127 at 22-29.
AFM 21-20 does not govern obstacle courses used by civilians.
KACo insists that the TRADOC Inspection Criteria provide mandatory construction and safety standards for the obstacle courses at HLDTC. R. 126 at 19. But like the Army Field Manual provisions discussed above, the TRADOC Inspection Criteria also only apply to obstacle courses used by soldiers.
Stanford and KACo also claim that HLDTC staff lacked discretion because they violated mandatory Kentucky National
The United States nevertheless contends that the particular provisions of KYARNG 350-7 at issue do not apply to HLDTC because a separate chapter of the regulation entitled "Eastern KY Training Sites (Artemus and Hidden Valley)" — a clear reference to HLDTC in Artemus — covers that facility. See R. 153 at 19. By negative implication, the government argues, that chapter indicates that the rest of the regulation does not govern HLDTC. Id. But that is a stretch. First of all, the provisions relating to construction of training areas and approval procedures for civilian visits are generally worded. And while the chapter the government refers to has a more specific focus than the regulation as a whole, that chapter contains no provisions either contradicting or even pertaining to the same subject matter as the provisions in question.
But are those provisions mandatory, and did the alleged conduct violate it? Yes.
This still leaves one major unanswered question: is KYARNG 350-7 even "a federal statute, regulation or policy"? Gaubert, 499 U.S. at 322, 111 S.Ct. 1267 (internal quotation marks omitted) (emphasis added). Only federal law counts for purposes of the DFE. And the government correctly points out that KYARNG 350-7 is a Kentucky regulation, see R. 153 at 18, promulgated by the Adjutant General, a state officer, see 32 U.S.C. § 314. Identifying KYARNG 350-7 as state or federal for purposes of the DFE is not as simple as pointing to its front page, however, given the National Guard's hybrid state-federal status. On the one hand, the FTCA defines "federal agency" as including "the military departments ... of the United States." 28 U.S.C. § 2671. This might best be construed as not covering state National Guards because they technically are separate from the United States military (even though state guardsmen are also federal reservists). See Perpich v. Dep't of Def., 496 U.S. 334, 345, 110 S.Ct. 2418, 110 L.Ed.2d 312 (1990). On the other hand, state National Guards count as federal agencies for some purposes and not for others.
Echoing its arguments regarding KYARNG 350-7, KACo also argues that the failure to get approval for construction of the Slide for Life at HLDTC violated various mandatory federal National Guard Regulations because it did not go through the proper approval process. See R. 126 at 20-23. KACo specifically points to NGR 420-10 and 415-5. Id. Unlike KYARNG 350-7, these regulations are unambiguously federal because they are issued by the National Guard Bureau, a federal agency. See 10 U.S.C. § 10503. But even as federal regulations, they only apply to state conduct. And since the officer who built the Slide for Life was acting exclusively in a federal capacity when he built it, these regulations do not cover his conduct.
Contrary to what one might expect for federal regulations, NGR 420-10 and 415-5 do not actually govern federal construction on state National Guard facilities. Instead, both regulations are directed solely at how state Guards conduct their construction. For example, NGR 420-10 and its associated pamphlet are expressly directed at the "conduct and management of State level public works activities." R. 126-1 at 3 (NGR 420-10 § 1-1); R. 126-5 at 4 (NGR Pam 420-10 § 1-1). Even the provision requiring construction approval is directed at state entities. R. 126-1 at 10 (NGR 420-10 § 5-1(b)) (providing that "[n]o entity within the State ... shall start any project work without" prior approval). NGR 415-5 is no different, providing policies and procedures only for the Adjutant General and the United States Property and Fiscal Officer. R. 126-2 at 4 (NGR 415-5 § 1-1). As already discussed, the Adjutant General is the commander of the state's National Guard, a state officer. See 32 U.S.C. § 314. The job of the Property and Fiscal Officer likewise is to oversee how state Guards spend federal funds. See 32 U.S.C. § 708(b)(1). NGR 420-10 and 415-5 thus simply do not govern construction done by federal officials.
So far so good, but how does this relate to MSG Miles and construction of the Slide for Life? As it turns out, Miles's status was exclusively federal when he built that obstacle, and the National Guard regulations invoked by KACo therefore do not cover his construction. As Stanford describes in his complaint, "[t]he HDTC staffer who designed and constructed the `Slide for Life' obstacle ... was active duty / federal status Army National Guard at the time." R. 139 at 2 (emphasis added). Understanding the significance of that active duty status requires a bit more background on the dual federal-state role of the National Guard.
Organized under Title 32, the "National Guard" comprises the "organized militia of the several States." 32 U.S.C. § 101. As a result, when Guardsmen serve in so-called "Title 32" status they are state officers under state command. Gilbert v. United States, 165 F.3d 470, 473-74 (6th Cir.1999); see also Maryland for Use of Levin v. United States, 381 U.S. 41, 47, 85 S.Ct. 1293, 14 L.Ed.2d 205 (1965), vacated on other grounds, 382 U.S. 159, 86 S.Ct. 305, 15 L.Ed.2d 227 (1965) (explaining that
As such, whether MSG Miles's construction of the Slide for Life is covered by the federal regulations governing state National Guards depends on his Title 32 or Title 10 status. If Miles built the obstacle while serving under Title 32, then he remains a state officer and his conduct is governed by NGR 420-10 and 415-5. If he built the Slide for Life under Title 10, however, he does not come within their scope.
As Stanford alleges, Miles was on federal active duty at the time, R. 139 at 2, which means he was serving under Title 10 and thus was not covered by the federal regulations in question. Stanford's complaint might be read as imprecisely pleading nominal federal status under Title 32, but even so, that claim is not supported by the record. Miles testified that during his time at HLDTC he was in federal service on Active Duty Special Work ("ADSW"). R. 118 at 4 (Tr. at 9-10). This assignment status is exclusively federal — full blown federal active duty pursuant to Title 10. See Col. Kevin Cieply, Charting A New Role for Title 10 Reserve Forces: A Total Force Response to Natural Disasters, 196 Mil. L.Rev. 1, 34 & n. 102 (2008). Miles therefore was not serving in a state capacity at all when he built the Slide for Life. Since NGR 420-10 and 415-5 did not apply to Miles's conduct, they could not strip him of discretion.
The plaintiffs finally contend that HLDTC officers violated several presumably unwritten but nevertheless mandatory polices requiring staff to properly identify and monitor civilian visitors, provide a military sponsor, and include a safety harness with the Slide for Life. See R. 126 at 31-32 (generally referring to "mandatory policy" requiring proper identification of visitors and military sponsors for civilian groups), R. 127 at 26-27 (citing testimony and the inapplicable TRADOC Inspection Criteria as evidence of "established Army policy" requiring fall protection). It is unclear, however, if unwritten policies can remove discretion under the DFE. Some case law suggests that they can, but few opinions
Assuming no Kentucky National Guard regulation or unwritten policy removed the government's discretion, however, the DFE still does not apply unless the challenged conduct is "of the kind that the... exception was designed to shield from liability." Kohl, 699 F.3d at 940 (quoting Gaubert, 499 U.S. at 322-23, 111 S.Ct. 1267) (internal quotations omitted). So even if a federal employee's conduct was discretionary, the government still might be liable if that employee committed a garden-variety tort unrelated to policy, like negligent driving. See Gaubert, 499 U.S. at 325 n. 7, 111 S.Ct. 1267. Thus, to be protected by the DFE, the government's conduct must involve public policy judgment "grounded in social, economic, and political policy." Varig Airlines, 467 U.S. at 814, 104 S.Ct. 2755. This is an objective inquiry: it does not matter whether policy concerns actually formed the basis of the challenged conduct, only that the decision is susceptible to policy analysis. See Rosebush, 119 F.3d at 444. And according to the Supreme Court, if there is room for discretion, then the government's actions are presumably based on policy. See Gaubert, 499 U.S. at 324, 111 S.Ct. 1267 ("When established governmental policy, as expressed or implied by statute, regulation, or agency guidelines, allows a Government agent to exercise discretion, it must be presumed that the agent's acts are grounded in policy when exercising that discretion.").
The conduct challenged here — the construction and maintenance of obstacle courses used primarily by the military, associated warnings, and the supervision of civilian visitors — is all susceptible to policy analysis and thus comes within the scope of the DFE. In general, decisions about how to make federal property safe for visitors involve policy judgments requiring careful management of scarce resources, including funds and manpower. See Hatcher v. United States, 512 Fed.Appx. 527, 530 (6th Cir.2013); Rosebush, 119 F.3d at 443. The appropriate level of supervision also implicates similar financial and staffing considerations. See Sharp ex rel. Estate of Sharp v. United States, 401 F.3d 440, 447 (6th Cir.2005) (security decisions are susceptible to policy analysis); Carlyle, 674 F.2d at 556-57 (decision whether to supervise Army recruits was a discretionary function). Decisions about appropriate warnings likewise involve policy concerns including cost, feasibility, and effectiveness. See Reetz v. United States, 224 F.3d 794, 797 (6th Cir.2000); Rosebush, 119 F.3d at 443; Graves v. United States, 872 F.2d 133, 137 (6th Cir.1989). But see Caplan v. United States, 877 F.2d 1314, 1316-17 (6th Cir.1989) (holding in a case predating the objective test established by Gaubert that the government's failure to warn of a dangerous condition in a forest did not involve policy judgment and thus was not protected by the DFE). And most importantly, the design of military equipment involves particularly sensitive policy judgments balancing safety and
The policy concerns discussed across these cases are all equally applicable to the conduct here. Warning signage, safety briefings, and supervising visitors on a National Guard base all require government officials to balance the effectiveness of the obstacle courses, financial considerations, and staff time. The construction and maintenance of obstacle courses like the Slide for Life similarly involve balancing economic and military policy. See Hawes v. United States, 409 F.3d 213, 220 (4th Cir.2005) (finding that a Marine's decision not to complete repairs on an obstacle course over a holiday weekend implicated economic and military policy, and thus claims of unsupervised civilian injured as a result were barred by the DFE). The conduct challenged here thus comes well within the scope of the conduct the DFE is designed to shield. This confirms the Court must address the remaining questions regarding the relevance of state National Guard regulations and unwritten federal policies. The Court will therefore order new briefing addressing both.
For the foregoing reasons, it is accordingly