Lam v. United States
Lam v. United States
Opinion of the Court
INTRODUCTION
The plaintiff was camping with his family at an Army Corps of Engineers campsite when a tree collapsed on their tent and injured him.
STATEMENT
1. The Injury
On July 5, 2014, the plaintiff and his family were camping at Kyen Campground, which is "a developed recreation fee based campground that is offered to the public by" the Army Corps of Engineers, as part of the Lake Mendocino Recreation Area in Lake Mendocino, California.
2. Lake Mendocino and Kyen Recreation Area
The Army Corps of Engineers constructed the Coyote Valley Dam, which created Lake Mendocino.
3. Tree Condition and Inspection
3.1 Inspection of the Trees That Fell
A maintenance worker named Wayne Shull examined the fallen trees that morning.
The "Interior Live Oak" (the main tree) broke off at the roots on the ground level and fell on the two adjacent interior live oaks, breaking them off at about four feet above the ground.
On October 24, 2014, at the request of the Chief of Operations, a park ranger from the neighboring Lake Sonoma named Lance Pool inspected "the remaining stumps at the site of the fallen tree at Kyen Campground."
3.2 Tree-Inspection Practices - Wayne Shull's Declaration
Mr. Shull said the following about tree maintenance and inspection processes at Lake Mendocino.
First, "Lake Mendocino does not have written polices mandating certain standards for tree maintenance. In managing the trees, leadership at the Lake was sensitive to the need to balance natural habitat and aesthetic with the safety of the public. I was empowered by leadership to remove hazardous and fallen trees, especially those which impacted campsites."
Second, "Lake Mendocino does not have standard inspection lists," and Mr. Shull relies on his "personal knowledge in [his] inspections."
Third, special training is required to remove hazardous trees safely, and only two United States Corps of Engineers staff members - Mr. Shull and John Dane - handled removal of hazardous trees.
Fourth, "there is no requirement to document tree maintenance," and he "did not personally document [his] maintenance activities."
Fifth, for the past nine years, Mr. Shull has "conducted foot patrols at Lake Mendocino" and "would inspect trees visually for potentially hazardous conditions."
A Project Staff member would patrol every recreation area every day, including Kyen campground. During these daily foot patrols, I personally spent time looking for trees with noticeable defects such as dead spots, lack of foliage, cankers, fungi or with a large amount of dead branches. If I spotted a tree that concerned me, I would usually take a closer look at the tree. If the tree posed an immediate threat, I would remove the tree that same day or first thing the following morning. If the tree was not *675an immediate threat, I would make a mental note of the tree and return when I had time to remove it.36
3.3 Tree-Inspection Practices - Christopher Schooley's Declaration
Christopher Schooley, the current Area Operations Manager for Lake Mendocino and Lake Sonoma, and the supervisory park ranger at the time of the accident, explained tree maintenance at Lake Mendocino as follows.
7. The Corps manages and operates Lake Mendocino in accordance with its Operational Management Plan ("OMP"), attached as Exhibit A. The 2013 OMP does not specify mandatory requirements for the Corps and its employees as they inspect and maintain trees at Lake Mendocino. Instead, they provide guidance on how to balance competing policy considerations that impact tree management decisions, including: public safety, employee safety, ecology, wildlife preservation, staffing and budgetary constraints, and park aesthetics.
8. The OMP is a "continuing and dynamic document" that "guides use, development, and management of the natural and man-made resources" in the region.
9. Regarding natural resources management, the OMP lays out several long term policy objectives that include safety, health, and preserving "a diversity of ecological communities." The "objectives are to improve or enhance or restore or rehabilitate vegetation and other environmental conditions, including existing structures and features, for wildlife, fisheries, recreation, aesthetics, woodland, and grassland to promote compatible multiple uses in the park."
10. The OMP states that the goal of the Lake Mendocino recreation program is to "provide quality recreational experiences to a wide spectrum of the public, while ensuring maximum sustained use of park resources consistent with their carrying capacity and aesthetic and biological values."
11. Consistent with Lake Mendocino's safety goals, the OMP says staff will maintain "an active tree pruning program ... to insure that all dead trees, limbs, and 'snags' are removed before they present a hazard to the public."
12. The OMP does not set a particular schedule or procedures for hazard tree mitigation, other than to avoid cutting trees during peak season whenever possible because it is "esthetically undesirable and conflicts with recreational usage." The OMP also set a goal of removing 40 hazard trees a year from fiscal years 2013-2017, without specifying locations or other guidelines for removal. Ultimately, the document gives significant discretion to park staff regarding hazard tree mitigation.
13. The OMP identifies several policy considerations related to tree management.
*676For example, when conducting maintenance operations, "it is extremely important to minimize negative impact on trees because "a mature tree, if destroyed, will leave a void that will take years to replace." And staff can consider saving "older trees with unsound limbs and trunks" if they provide shelter for animals, except when it presents a safety hazard at recreation sites.39
Mr. Schooley addressed certain engineering manuals and the American National Standards Institute standards for tree maintenance.
14. The Corps does not have written policies mandating certain standards for tree maintenance at Lake Mendocino. Prior to this litigation, I was not intimately aware of the American National Standards Institute ("ANSI") standards and had never personally read them.
15. Engineering Manual 385-1-1 "Safety and Health Requirements," attached as Exhibit B, prescribes occupational safety standards for Army Corps of Engineers employees. It does not set standards for ensuring visitor safety. Accordingly, Section 31 "Tree Maintenance and Removal" requires employees to follow certain safety standards to protect themselves when performing tree maintenance, like wearing protective gear, examining for electrical hazards, and clearing the fall area.
16. I understand that Section 31 references several standards for worker safety while felling and pruning trees, including "ANSI Z133, American National Standard for Arboricultural Operations" and "ANSI A300, American National Standard for Tree Care Operations - Tree, Shrub, and other Woody Plant Management - Standard Practices," and "ANSI/SIA A92.2, American National Standard for Vehicle-Mounted Elevating and Rotating Aerial Devices." However, there is no requirement for the Corps to build a tree maintenance program utilizing these ANSI standards.
17. Engineering Manual 1110-1-400, attached as Exhibit C, primarily governs the design of new facilities and major rehabilitation of existing facilities. It does not prescribe standards for ongoing, day-to-day maintenance. The manual requires a Project Design Team to generally follow ANSI guidelines "throughout the designation of recreation areas or facilities."
18. As part of the litigation, I have been made aware of ANSI A300 (Part 9), attached as Exhibit D. I understand that ANSI A300 (Part 9) suggests best practices for tree risk assessment, such as what to include in an assessment report and what tools to use. However, no regulation requires Lake Mendocino staff to follow ANSI A300 (Part 9)'s standards for identifying hazard trees. Regardless, ANSI A300 (Part 9) says that the entity conducting tree maintenance has ultimate discretion to "select and implement the mitigation, schedule repeat or advanced assessments, and to schedule future monitoring and maintenance."41
4. Other Tree Assessment - Plaintiff's Expert Declaration
To counter the government's declarations, the plaintiff submitted a declaration from Kent Julin, Ph.D., a certified arborist with 32 years of professional experience inaboriculture *677and forestry.
Mr. Julin offered the following opinion:
In my opinion, based upon scientific and expert professional judgment, I found clear evidence that the visual condition of the lower trunk of the subject tree demonstrated two large openings (one 22" diameter, and the other 10" diameter) in the lower trunk of the subject tree, that existed for at least 20 years prior to the accident. A level 2 inspection should have been done, and the hazard tree should have been removed to avoid impact upon campers and other occupants of the campsite. Had the ANSI A300 Standards for Tree Management been followed and implemented by the Kyen Rangers, the subject hazard tree would have been removed and the injury to Mr. Lam would not have occurred.46
He disagreed with Mr. Shull's opinion that signs of rot in the center bole would not be visible.
Mr. Julin disagreed with Mr. Schooley's conclusion that the Lake Mendocino 2013 Operational Management Plan did not specify mandatory requirements for the Army Corps regarding tree inspection.
Mr. Julin also disagreed with Mr. Schooley's conclusion that the Army Corps did not have written policies mandating standards for tree maintenance at Lake Mendocino and identified that the Corps' Engineering Manual 385-1-1, section 31, sets forth ANSI A309 practices, which include standard practices on tree-risk assessment to remove "defective hazard trees."
SECTION 31
Tree Maintenance and Removal
31.A.1 General. The references used in this section are: ANSI Z133, American National Standards for Aboricultural Operations - Safety Requirements; 29 C.F.R. Part 1910 OSHA General Industry; 29 CFR 1910.269, Electrical Power Generation, Transmission, and Distribution; ANSI A300, American National Standard for Tree Care Operation - Tree, Shrub, and Other Woody Plant Management - Standard Practices; ANSI/SIA A92.2, American National Standard for Vehicle-Mounted Elevating and Rotating Aerial Devices.
31.A.01 Tree felling and maintenance shall be performed IAW a Tree Felling and Maintenance Program that has been developed by/under the direction of a qualified tree worker and in accordance with references above and this Section. This program shall be submitted to the GDA for acceptance prior to work being performed.
a. The services of other licensed or credentialed professionals may be necessary to properly address the required maintenance to be performed and/or hazards that may be encountered.
b. Examples of credentialed professionals include but are not limited to: TCIA-accredited Tree Care Company, Certified Arborist, Licensed Tree Care Safety Professional (CTSP), Certified Crane Operator, Rigger or Signalperson, or Certified Utility Safety Professional (CUSP).
31.A.02 Personal protective equipment (PPE), as outlined in this section, shall be required when there is a reasonable probability of injury or illness that can be prevented by such protection.
a. A hardhat and eye protection should be worn for all tree maintenance and removal operations.
b. Training shall be provided in the use, care, maintenance, and proper fitting of PPE. See also Section 05.
31.A.03 Working near electrical equipment and systems. > See Section 11 and 29 CFR 1910.269.
a. Employees working in the proximity of electrical equipment or conductors shall consider them to be energized.55
*679GOVERNING LAW
1. Rule 12(b)(1) Subject-Matter Jurisdiction
A complaint must contain a short and plain statement of the ground for the court's jurisdiction (unless the court already has jurisdiction and the claim needs no new jurisdictional support). Fed. R. Civ. P. 8(a)(1). The plaintiff has the burden of establishing jurisdiction. Kokkonen v. Guardian Life Ins. Co. of Am.,
If a court dismisses a complaint, it should give leave to amend unless "the pleading could not possibly be cured by the allegation of other facts." Cook, Perkiss and Liehe, Inc. v. Northern California Collection Serv. Inc. ,
2. Sovereign Immunity, the FTCA, and the Discretionary-Function Exception
A district court has no jurisdiction over a lawsuit against the United States unless the United States has waived its sovereign immunity. Jachetta v. United States,
"Although a plaintiff normally bears the burden of establishing subject matter jurisdiction, in an FTCA case[,] '[t]he government bears the burden of demonstrating that the discretionary function *680exception applies.' " Steinle v. City and Cnty. of San Francisco,
Courts apply a two-part test to determine whether the discretionary-function exception applies. Berkovitz v. United States,
ANALYSIS
The government moved to dismiss the plaintiff's claim for negligent tree maintenance for lack of subject-matter jurisdiction on the ground that the discretionary-function exemption applies.
1. Discretionary Act
An act is discretionary if it "necessarily involved an element of judgment or choice." Chadd v. United States ,
Tree maintenance at Lake Mendocino is discretionary for several reasons. First, the 2013 Operational Management Plan does not mandate specific processes. Instead, it requires only that staff maintain an active tree-pruning program, prune trees during non-peak recreation seasons whenever possible, and remove 40 hazard trees per year from 2013 to 2017.
In cases involving similar facts and similar policies, courts conclude that tree maintenance is a discretionary act.
In Kobi v. United States , for example, the plaintiff visited the Swinging Bridge picnic area, which is in a developed space (with "a number of improvements and additions, including fences and picnic tables") in Yosemite National Park. No. 1:15-cv-00478-DAD-BAM,
Other courts reach similar conclusions results on similar facts. See, e.g. , Autery ,
The court follows these cases as persuasive. Like the National Park Service policies and directives in Autery , Kobi , and Kim , Lake Mendocino's policies and practices do not mandate management methods and instead require only a tree-pruning program and the use of trained staff who identified and removed hazardous trees through daily foot patrols based on their knowledge and expertise.
Moreover, Ninth Circuit authority supports the conclusion that park policies regarding safety goals are discretionary when the goals are attainable only by the exercise of discretion. Chadd ,
In sum, the tree-management decisions at Lake Mendocino are discretionary, and the weight of authority supports the conclusion that prong one of the Berkovitz test is met.
The plaintiff nonetheless argues that Lake Mendocino has mandatory policies for tree removal.
First, the plaintiff possibly contends that the Operational Management Plan mandates tree maintenance (and the identification of the alleged hazard here) by its specification of tasks such as the time period to remove hazard trees, the number of hazard trees to remove, the equipment, the cost of removing trees, and the removal of approximately 40 hazard trees annually.
Second, citing Section 31 of the Operational Management Plan (set forth in full in the Statement, above), the plaintiff contends that the Operational Management Plan requires tree inspection under ANSI standards.
2. Policy Analysis
The government next contends that decisions about tree maintenance at Lake Mendocino involve policy analysis because they require staff to consider factors such as financial resources, safety, the environment, and aesthetics.
If the government shows (as it did here) that the challenged act is discretionary, then there is a "strong presumption" that its decision involves policy analysis. United States v. Gaubert,
At Lake Mendocino, tree maintenance is susceptible to policy analysis because it involves resource allocation, the environment, wildlife, recreational access, public safety, worker safety, and park aesthetics.
In cases involving similar facts and similar policies, courts conclude that tree maintenance involved policy analysis. See, e.g. , Merando v. United States ,
The plaintiff, citing Bear Medicine v. United States ,
In Bear Medicine , the plaintiff was injured and later died when a tree fell on him at a logging site - run through a *684contract between the Bureau of Indian Affairs (BIA) and a BIA contractor - on the Blackfeet Indian Reservation in Montana.
In contrast to Bear Medicine , Lake Mendocino did not have specific safety duties required by statute, regulations, policies, or otherwise. Similarly, and in contrast to Fernandez , Lake Mendocino staff had not identified any hazard, and policy, and in any event did not mandate disposal of any identified hazard. Decisions involving identification and mitigation of tree hazards were "reliant on the judgment and consideration" of Lake Mendocino staff and did not involve the application of requirements "such that only one course of action was appropriate under the circumstances." Kobi,
In sum, prong two of the Berkovitz test is satisfied.
CONCLUSION
The court grants the government's motion to dismiss for lack of subject-matter jurisdiction.
This disposes of ECF No. 26.
IT IS SO ORDERED.
Compl. - ECF No. 1 at 3 (¶¶ 7-9). Citations refer to material in the Electronic Case File ("ECF"); pinpoint citations are to the ECF-generated page numbers at the top of documents.
Mot. - ECF No. 26 at 5.
Compl. - ECF No. 1 at 3 (¶¶ 7-8); see Schooley Decl. - ECF No. 26-1 at 2 (¶ 6).
Compl. - ECF No. 1 at 3 (¶ 7); Shull Decl. - ECF No. 26-5 at 3 (¶¶ 7-8).
Compl. - ECF No. 1 at 3 (¶ 7); Shull Decl. - ECF No. 26-5 at 3 (¶ 7) & Ex. A (Mr. Lam fractured three bones in his right foot and had a large laceration).
Schooley Decl. - ECF No. 26-1 at 2 (¶ 4).
Schooley Decl. - ECF No. 26-1 at 2 (¶ 6).
Shull Decl. - ECF No. 26-5 at 3 (¶ 8).
Id. at 1-2 (¶ 2).
Id. at 3 (¶ 8).
Id. (¶ 9).
Id. at 2 (¶ 6).
Pool Decl. - ECF No. 26-6 at 1-2 (¶¶ 1, 4).
Id. at 1-2 (¶¶ 1-3), & 4 (filled the role of "tree expert" at Lake Sonoma). He was a certified arborist until 1995 but after finishing college and joining the Corps, he let his certification expire. Id. at 2 (¶ 3) & 4.
Id. at 2 (¶ 4); see id. at 4 (did not see rhizomorphs (string-like fungal bodies)).
Id. at 2 (¶ 4).
Id.; see also id. at 4 (Lake Mendocino maintenance worker John Dane told him that the trees exhibited normal foliage growth and vigor before the failure); id. at 4-5 (contributing factors are (1) the multi-trunk situation, where water and moisture can infiltrate the root ball and lay the ground work for rot, (2) the closed canopy of the dense stand of oaks and madrones that inhibits the drying of the soil by the sun and wind, and (3) multi-trunks grown in contact with each other, growing in circumference each year, and these forces can push apart a rotting root ball and could explain the tree premature failure without any signs or symptoms).
Id. at 5.
Shull Decl. - ECF No. 26-5.
Id. at 2 (¶ 3).
Id. (¶ 4).
Schooley Decl. - ECF No. 26-1 at 1-4 (¶¶ 1-2, 7-18).
Id. at 1-2 (¶ 2).
Id. at 2-3 (¶¶ 7-13).
Id. at 4 (¶¶ 14-18).
Julin Decl - ECF No. 27-1 at 1-3 (¶¶ 1-6).
Id. at 3 (¶ 7).
Id. (¶ 8).
Id. at 3-4 (¶ 9).
Id. at 4 (¶ 10) (quoting Schooley Decl. - ECF No. 28-1 at 2 (¶ 7)).
Id. (referencing Ex. D to Julin Decl. - ECF No. 27-2 at 3, which lists costs of $ 2800 for removal of hazardous trees).
Ex. D to Julin Decl. - ECF No. 27-2 at 3-7, 9; see Opp. - ECF No. 27 at 6.
Opp. - ECF No. 27 at 6 (citing Ex. D to Julin Decl. - ECF No. 27-2 at 9).
Julin Decl. - ECF No. 27-1 at 4-5 (¶ 10) (quoting Schooley Decl. - ECF No. 28-1 at 4 (¶ 14)).
Section 31, Tree Maintenance and Removal, Ex. E to Julin Decl. - ECF No. 27-2 at 25 (underlines and highlights omitted); see Opp. - ECF No. 27 at 5 (citing this section).
Mot. - ECF No. 26 at 5-11.
Id. at 5-6.
Id. at 5.
Opp. - ECF No. 27 at 5-11.
Mot. - ECF No. 26 at 7; Ex. A to Schooley Decl. - ECF Nos. 26-2 at 77 (Bates USA00550), 26-2 at 104 (Bases USA785), 26-4 at 98 (Bates USA886), 102 (Bates USA890), 26-4 at 106 (Bates USA894), 26-4 at 110 (Bates USA898); Schooley Decl. - ECF No. 26-1 at 2-3 (¶¶ 8-13); Shull Decl. - ECF No. 26-5 at 2 (¶ 3).
Shull Decl. - ECF No. 26-5 at 2 (¶¶ 3-5).
See also Mot. - ECF No. 26 at 6 n.1 (collecting cases).
Ex. A to Schooley Decl. - ECF Nos. 26-2 at 77 (Bates USA00550), 26-2 at 104 (Bases USA785), 26-4 at 98 (Bates USA886), 26-4 at 102 (Bates USA890), 26-4 at 106 (Bates USA894), 26-4 at 110 (Bates USA898); Schooley Decl. - ECF No. 26-1 at 2-3 (¶¶ 8-13); Shull Decl. - ECF No. 26-5 at 2 (¶¶ 3-5).
Opp. - ECF No. 27 at 5-6.
Opp. - ECF No. 27 at 5-6.
Section 31, Tree Maintenance and Removal, Ex. E to Julin Decl. - ECF No. 27-2 at 25.
See id.
Mot. - ECF No. 26 at 9-11.
See Schooley Decl. - ECF No. 26-1 at 2-3 (¶¶ 7-13) (set forth in full in the Statement, supra).
Mot. - ECF No. 26 at 9 (citing Ex. A to Schooley Decl. - ECF No. 26-3 at 104).
Opp. - ECF No. 27 at 9-11.
Reference
- Full Case Name
- PHONG LAM v. United States
- Cited By
- 1 case
- Status
- Published