Kristen Giovanni v. United States Department of Na
Opinion
The Giovanni family and the Palmer family live in neighborhoods close to contaminated federal facilities that were owned and operated for decades by the United States Navy. The families filed separate suits in state court under the Pennsylvania Hazardous Sites Cleanup Act
("HSCA"),
We will affirm in part. In our view, the claim for a health assessment or health effects study is barred, as the District Court said, because it challenges ongoing cleanup efforts. But we will vacate and remand in part because we conclude that the medical monitoring claim is not a challenge under CERCLA and that it is not barred by sovereign immunity.
I. BACKGROUND FACTS 1
The Navy owns a number of properties in Pennsylvania, including the Willow Grove Naval Air and Air Reserve Station in Horsham Township and the Naval Air Development Center in Warminster Township (collectively, "the Naval Facilities"). Because of the Navy's activities, both facilities are contaminated with hazardous substances. Among the contaminants are perfluorinated compounds ("PFCs"), including perfluorooctanoic acid ("PFOA") and perfluorooctanesulfonic acid ("PFOS").
Studies have identified the toxic effects that PFCs have on people, including increased risk of kidney cancer, testicular cancer, thyroid disease, ulcerative colitis, pregnancy-induced hypertension, and high cholesterol. And the Environmental Protection Agency ("EPA") has specifically warned that drinking water containing PFOA and PFOS above certain thresholds poses health risks. It issued a non-binding provisional health advisory recommending a maximum combined PFOA/PFOS concentration in public drinking water of 70 parts per trillion (0.07 µg/L).
Groundwater sampling at both the Naval Facilities revealed that the PFOA and the PFOS levels exceeded the health advisory levels. Those facilities, being in need of further investigation to determine the nature and extent of the public health and environmental risks associated with chemical contamination, have been added to the National Priorities List ("NPL"), which is also sometimes called the Superfund List. 2
The Navy has begun environmental cleanup efforts, and the parties do not dispute that those efforts are ongoing in both places.
Kristen Giovanni, along with her husband Charles Giovanni, her son Anthony Giovanni, and two other minor children V.G. and D.G., lives across the street from the Willow Grove facility. The water from their private well had a combined PFOA/PFOS level of 2.88 µg/L, which exceeds the concentration exposure threshold recommended by the EPA. The Navy provided the Giovannis with bottled water for several months before it connected them to the Warrington Township public water supply. But even that public water supply is contaminated with PFCs.
Dorothy Palmer, along with her son George Palmer, has lived less than one mile from the Warminster facility since 1981. For years, they used a private well on their property, until they learned about the PFOA and PFOS contamination in the groundwater. The water from their private well had a combined PFOA/PFOS level of 0.62 µg/L, which exceeds the combined exposure threshold recommended by the EPA. The Navy provided the Palmers with bottled water until it connected them to the Warminster Municipal Authority's public water supply. Subsequent testing of that supply has revealed PFC contamination there too.
II. PROCEDURAL HISTORY
The Giovannis filed a complaint against the Navy in the Montgomery County Court of Common Pleas, and the Palmers did the same in the Bucks County Court of Common Pleas. Both complaints alleged harm from the contaminated public and private water sources for residents around the Naval Facilities due to the Navy's allegedly improper disposal of hazardous substances. Each complaint included a single state law claim under HSCA seeking, among other things, the costs of medical monitoring and an order compelling the Navy to conduct a health assessment or health effects study that would include blood testing for themselves, and "others exposed to the contaminants and hazardous substances released from the Warminster and Willow Grove [f]acilities[.]" (Palmer Appendix ("P.A.") at 16.) They also alleged that the Navy waived its sovereign immunity pursuant to § 120(a)(1) of CERCLA,
The Navy removed both cases to the District Court under
The District Court held a hearing on the competing motions in the Giovannis' case. The parties agreed that removal was proper under
The District Court then disposed of the Palmers' complaint in a footnote order granting the Navy's motion to dismiss, "consistent with the Court's Opinion in Giovanni [.]" (P.A. at 45.) In that order, the District Court rejected an additional argument raised by the Palmers, namely that the cleanup activities were initiated under § 120 of CERCLA 4 and were therefore not affected by § 113(h)'s jurisdictional bar. It concluded that the authority to clean up the Naval Facilities derived from § 104 of the Act, 5 not § 120.
The Giovannis and Palmers filed these timely appeals. Amicus briefs have been filed in support of the Giovannis and Palmers by the following groups: (1) the Delaware Riverkeeper Network and Maya van Rossum, also known as the Delaware Riverkeeper; (2) the Toxics Action Center; and (3) Brendan Boyle, Lori Cervera, Renee Frugoli, Hope Grosse, Yvonne Love, Minde Ruch, Joanne Stanton, and Jacquelyn Rose Wiest, all of whom currently live or formerly lived near the Naval Facilities. 6
III. DISCUSSION 7
We will affirm in part and vacate in part the District Court's dismissal of the Giovannis'
and Palmers' complaints and will affirm its decision not to remand to state court. Although the requests for a government-led health assessment or health effects study are barred under § 113(h) as challenges to ongoing response actions, the requests for the costs associated with private party medical monitoring are not barred by that CERCLA provision because that relief does not interfere with or alter the ongoing cleanup efforts. Moreover, the relief sought by the Giovannis' and Palmers' on their medical monitoring claims is best characterized as injunctive relief, and the federal government has waived sovereign immunity to suits by private parties seeking such relief. We will therefore vacate the District Court's dismissal of the Giovannis' and Palmers' requests for costs associated with private party medical monitoring and remand for further proceedings on those claims.
Our review of a district court's grant of a motion to dismiss is plenary.
Bell v. Cheswick Generating Station
,
A. Lack of Jurisdiction Over "Challenges" Under § 113(h)
The Navy argues that federal courts are without jurisdiction to rule on the Giovannis' and Palmers' state law claims because they are barred under § 113(h) as "challenges" to ongoing cleanup efforts at the Naval Facilities. The Giovannis and Palmers, of course, disagree because, as they see it, their requested relief will not interfere with those ongoing efforts. We therefore first address whether state law claims seeking compensation to fund private party medical monitoring and state law claims seeking a government-led health assessment or health effects study are "challenges to removal or remedial action" under § 113(h). 8 Our conclusion is that the latter are challenges but the former are not. To understand why, we turn to the pertinent portions of CERCLA.
That complex statute was enacted in 1980 "in response to the serious environmental and health risks posed by industrial pollution."
Burlington N. & Santa Fe Ry. Co. v. United States
,
Section 113(b) of the Act provides that "the United States district courts shall have exclusive original jurisdiction over all controversies arising under [CERCLA]."
A well-established body of case law, including our own, provides guidance on what it means to "challenge" a response action. We have said that § 113(h) "clearly preclude[s] jurisdiction to delay or interfere with EPA cleanup activities[.]"
Boarhead Corp. v. Erickson
,
In some cases, "it may be necessary to assess the nexus between the nature of the suit and the CERCLA cleanup: the more closely related, the clearer it will be that the suit is a 'challenge.' "
El Paso Nat. Gas Co. v. United States
,
A suit challenges a response action if it would, for example, "dictate specific remedial actions and ... alter the method and order for cleanup[.]"
Broward Gardens
,
To assess whether a suit is a challenge, we must also consider the meaning of the terms "removal" and "remedial" action as used in § 113(h). The statute defines "response" efforts to include "remove, removal, remedy, and remedial action[.]"
CERCLA defines the term "removal" to mean:
the cleanup or removal of released hazardous substances from the environment, such actions as may be necessary taken [sic] in the event of the threat of release of hazardous substances into the environment, such actions as may be necessary to monitor, assess, and evaluate the release or threat of release of hazardous substances, the disposal of removed material, or the taking of such other actions as may be necessary to prevent, minimize, or mitigate damage to the public health or welfare or to the environment, which may otherwise result from a release or threat of release. The term includes, in addition, without being limited to, security fencing or other measures to limit access, provision of alternative water supplies, temporary evacuation and housing of threatened individuals not otherwise provided for, action taken under section [104(b) of CERCLA], and any emergency assistance which may be provided under the Disaster Relief and Emergency Assistance Act [42 U.S.C.A. § 5121 et seq. ].
The even lengthier definition of "remedial action" is:
those actions consistent with permanent remedy taken instead of or in addition to removal actions in the event of a release or threatened release of a hazardous substance into the environment, to prevent or minimize the release of hazardous substances so that they do not migrate to cause substantial danger to present or future public health or welfare or the environment. The term includes, but is not limited to, such actions at the location of the release as storage, confinement, perimeter protection using dikes, trenches, or ditches, clay cover, neutralization, cleanup of released hazardous substances and associated contaminated materials, recycling or reuse, diversion, destruction, segregation of reactive wastes, dredging or excavations, repair or replacement of leaking containers, collection of leachate and runoff, onsite treatment or incineration, provision of alternative water supplies, and any monitoring reasonably required to assure that such actions protect the public health and welfare and the environment. The term includes the costs of permanent relocation of residents and businesses and community facilities where the President determines that, alone or in combination with other measures, such relocation is more cost-effective than and environmentally preferable to the transportation, storage, treatment, destruction, or secure disposition offsite of hazardous substances, or may otherwise be necessary to protect the public health or welfare; the term includes offsite transport and offsite storage, treatment, destruction, or secure disposition of hazardous substances and associated contaminated materials.
With those definitions in mind, we analyze whether the relief requested by the Giovannis and Palmers constitutes a challenge under § 113(h) to ongoing cleanup efforts at the Naval Facilities. We take a holistic approach that encompasses several considerations. One is whether the relief can be classified as a "removal" or "remedial" step. Another and closely related consideration is the specific form of relief requested and whether it would compel the defendant to take some action or refrain from taking some action, or instead seeks to have the defendant pay for a third party to provide services. A further consideration is whether, on the whole, there is reason to think that a given request for relief will conflict with, impact, or otherwise interfere with the ongoing cleanup efforts. 12 We address each of those three considerations seriatim.
1. Removal and Remedial Actions
The provision at issue here-§ 113(h)-states, in relevant part, that federal courts lack jurisdiction "to review any challenges to removal or remedial action selected under section [104.]"
a. Private Party Medical Monitoring
The text of the statute does not suggest that private party medical monitoring is a removal action. The reference to "monitor[ing]" in the definition of "removal" refers to "monitor[ing], assess[ing], and evaluat[ing] the release or threat of release of hazardous substances," not the monitoring of individuals for latent diseases or injuries.
Nor does the text support classifying private party medical monitoring as a remedial action. Although medical monitoring is certainly "consistent with [a] permanent remedy[,]" it is not taken "to prevent or minimize the release of hazardous substances."
There is precedent for our interpretation. In
Daigle v. Shell Oil Co.
, for example, the United States Court of Appeals for the Tenth Circuit held that medical monitoring does not meet the statutory definitions for removal and remedial actions because both definitions were "directed at containing and cleaning up hazardous substance releases[,]" not "[l]ongterm health monitoring."
The District Court distinguished those cases by stating that they involved an assessment of whether medical monitoring expenses are response costs . It said that the reasoning in those cases is "flawed because it assumes that 'response costs' and 'response' mean the same thing under CERCLA," but "[t]hey do not." (Giovanni Joint Appendix ("G.J.A.") at 114.) The Court determined instead that, while all "removal and remedial actions" are "responses" under CERCLA, not all such actions are "response costs." (G.J.A. at 114-15.) Therefore, it concluded, it "does not follow that all 'response costs' are necessarily 'removal and remedial actions.' " (G.J.A. at 115.) We disagree with that analysis.
As the District Court noted, those particular cases cited by the Giovannis and Palmers were deciding whether a private party could recover the costs of medical monitoring under CERCLA, which required an assessment of whether medical monitoring expenses were "response costs" under § 107(a).
14
But the District Court's heavy reliance on a distinction between the terms "response" and "response cost" is not sound. It is true that CERCLA defines "response," but not "cost" or "response cost."
See
The Navy argues that medical monitoring should nevertheless be considered a "removal or remedial action" under CERCLA because of that statute's provisions concerning the Agency for Toxic Substances and Disease Registry ("ATSDR"). The ATSDR was created when CERCLA was enacted in 1980, and its purpose is the "compiling [of] health effects information[.]" 2 Susan M. Cooke, The Law of Hazardous Waste § 12.04[2][f]. When CERCLA was amended by the Superfund Amendments and Reauthorization Act of 1986 ("SARA"), Congress recognized "that inadequate attention had been given to the health effects of contaminants found at Superfund sites[.]"
The charge given to the agency is to "effectuate and implement [CERCLA's] health related authorities[.]"
Agreeing with the Navy, the District Court said that, because those CERCLA provisions relating to the ATSDR provided for a program that included "both periodic medical testing ... and a mechanism to refer for treatment anyone who needs medical attention[,]" the medical monitoring requested by the Giovannis was a "removal" or "remedial" action as defined by the statute. (G.J.A. at 112 n.6.) The Court did not explore the connection, though, between CERCLA's definitions of "removal" or "remedial" action and its provisions relating to the ATSDR. We think that connection depends on the distinction between private party actors and state actors.
The United States Court of Appeals for the Ninth Circuit has thoroughly considered whether the ATSDR's health "surveillance activit[ies] ... [are] removal or remedial action[s] entitled to the protection of [§ 113(h) ]."
Hanford Downwinders Coalition, Inc. v. Dowdle
,
Significantly, the court did not believe that its conclusion undermined its previous decisions in
Durfey
and
Price
, which "held that
private party
medical monitoring activities, initiated and coordinated independently of ongoing CERCLA cleanup efforts, were not ... removal or remedial actions."
The court bolstered its conclusion that ATSDR's health surveillance activities are response actions with three reasons related to CERCLA's remedial purposes.
The analysis provided by the Ninth Circuit Court in Hanford is persuasive. We adopt it, with the conclusion that CERCLA distinguishes between private party medical monitoring activities and government-led health surveillance. 16 Private party medical monitoring falls outside of the definition of response action, but government-led monitoring does not. 17
Accordingly, the Giovannis' and Palmers' requests for an order compelling the Navy to pay for the costs associated with private party medical monitoring is relief that falls outside of CERCLA's definition of "removal or remedial action." And that counsels in favor of concluding that their requests do not, under § 113(h), constitute a jurisdiction-stripping challenge to an ongoing CERCLA response action.
b. Health Assessment or Health Effects Study
We turn next to the Giovannis' and Palmers' requests for a government-led health assessment or health effects study. As a general matter, a health study would not fit the statute's definition of removal action for the same reasons that private party medical monitoring falls outside that definition. References to "assess[ing]" or "evaluat[ing]" refer to "the release or threat of release of hazardous substances," not the study of the effects of contaminants on human health.
But the Giovannis and Palmers are not requesting a generic health study. They want a government-led health assessment or health effects study. One of the things the ATSDR is charged with "effectuat[ing] and implement[ing]" is the completion of a "health assessment" within one year of an EPA proposal to list a site on the NPL.
18
As discussed above with respect to private party medical monitoring, Congress differentiated between government-led and
private efforts to assess and protect the public health following a release or threat of release of hazardous waste.
Hanford
,
Here, unlike their requests for private party medical monitoring, the Giovannis' and Palmers' requests that the District Court order the Navy to conduct a health assessment or health effects study, including blood testing, do constitute removal or remedial actions for purposes of § 113(h). Because the ATSDR has authority to conduct health assessments on behalf of the government at contaminated facilities, and those activities are response actions under CERCLA, the Giovannis' and Palmers' demand that another agency of the government conduct such a study would, if granted, interfere with a response action under CERCLA.
Therefore, we agree with the District Court's determination that the requested relief mandating that the Navy perform a health assessment or health effects study is a response action under CERCLA, which suggests that it is a challenge under § 113(h). 19
2. Form of Relief Requested
When assessing whether a claim challenges an ongoing cleanup effort, courts have also distinguished among forms of relief as they affect the defending party.
20
Generally, requests for injunctive
relief that relate in any way to pending response actions are viewed as challenges under § 113(h). If a plaintiff demands that a defendant engage in activities that could have been a part of the cleanup plan, then it is a challenge to the selected response actions.
See, e.g.
,
McClellan
,
But the adjectives "injunctive" and "monetary" are descriptors, not by themselves reasoned conclusions. The effect that the sought-for relief has on the cleanup is what must be determinative, not the label a party or court uses to describe the claim for relief. For example, a request that the defendant pay damages could constitute a challenge under § 113(h) if it directly conflicts with the implementation of the cleanup plan.
See
Pakootas v. Teck Cominco Metals, Ltd.
,
a. Private Party Medical Monitoring
Focusing on the specific relief requested here, payment for the costs of a private party medical monitoring program does not appear to be a challenge under § 113(h). The prayer for relief at the end of each complaint expressly states that the Giovannis and Palmers want the Navy to provide "the costs of medical monitoring[.]" (G.J.A. at 27; P.A. at 16.) In their briefing, the Giovannis and Palmers insist that the relief "would simply impose the costs of setting up a medical monitoring trust fund on the [Navy.]" (Giovannis' Opening Br. at 10; Palmers' Reply Br. at 9-10.) Thus, according to both the Giovannis' and Palmers' characterization of the relief that they seek with respect to medical monitoring, the Navy need do nothing but fund a trust. That counsels in favor of concluding that the relief associated with the Giovannis' and Palmers' medical monitoring claim is not a challenge under § 113(h). This is especially so because, as noted earlier, the private party medical monitoring program the Giovannis' and Palmers' want the Navy to fund is not a removal or remedial action.
b. Health Assessment or Health Effects Study
The government-led health study requested by the Giovannis and Palmers, when viewed through the form-of-relief lens, appears in contrast to be a challenge under § 113(h) to ongoing response efforts at the Naval Facilities. That relief amounts to a demand that the Navy take on additional efforts related to cleaning up the contamination at those Superfund sites. Although the facts in this case differ from those in Hanford , which involved an injunction compelling the ATSDR to implement a health surveillance program, the relief requested here is analogous because the government is being asked to conduct a response action that the ATSDR may still be contemplating. And like the plaintiffs in McClellan , who wanted the court to impose additional RCRA reporting and permitting requirements upon an ongoing cleanup, the requested injunctive relief here would interfere with the ongoing cleanup efforts at the Naval Facilities because it would modify or replace the existing remedial plan. The request for a government-led health assessment or health effects study is therefore effectively a request for injunctive relief, which counsels in favor of concluding that it is barred as a challenge under § 113(h).
3. Impact on Ongoing Cleanup Efforts
Another consideration is whether, on the whole, there is some additional reason to think that a given request for relief will conflict with, impact, or otherwise interfere with an ongoing cleanup effort.
See
Boarhead
,
a. Private Party Medical Monitoring
It seems unlikely that the Giovannis' and Palmers' requests for the costs of private party medical monitoring will conflict with, impact, or otherwise interfere with the ongoing cleanup efforts at the Naval Facilities. It will "in no way impede[ ] the progress of the government's ongoing assessment and cleanup" at the contaminated site.
Yslava
,
The District Court nevertheless held that the medical monitoring claims are barred by § 113(h) because they challenge the ongoing cleanups at the Naval Facilities. In so holding, it relied heavily on our decision in
Boarhead
. We said in that case that "Congress enacted CERCLA so that the EPA would have the authority and the funds necessary to respond expeditiously
to serious hazards without being stopped in its tracks by legal entanglement before or during the hazard clean-up."
The District Court here concluded that requiring the Navy to pay for medical monitoring would interfere with the ongoing cleanup efforts because it "would necessarily entail deciding a 'dispute[ ] about who is responsible for [the] hazardous site' and 'who is responsible for its costs.' " (G.J.A. at 113 (alterations in original) (internal citations omitted).) The Court said that those "are decisions that Congress determined 'should be dealt with after the site has been cleaned up.' " (G.J.A. at 113 (quoting
Boarhead
,
That reliance on
Boarhead
is understandable but, in this instance, misplaced. The plaintiff in that case was "challenging the EPA's ability to conduct an [environmental] study pursuant to § 104 of CERCLA before the EPA perform[ed] an appropriate review[.]"
Boarhead
,
Finally, the District Court specifically distinguished the conclusions in Durfey and Yslava that private party medical monitoring claims are not challenges under § 113(h) because, in its view, those cases failed to explain why state law medical monitoring claims are not disputes about who is responsible and hence, under § 113(h), should be dealt with after the cleanup is complete. But we should not expect a discussion of "responsibility" for "necessary costs of response" and "response actions" in a case in which there has already been a determination that the requested remedy is not a "response" or "response cost." Furthermore, Durfey involved a government-owned property that was contaminated with radioactivity during the development of the atomic bomb in the 1940s, so there was likely no dispute that the government was responsible for the contamination. Thus, the District Court's conclusion that the Giovannis' and Palmers' requests for the costs of private party medical monitoring were challenges for purposes of § 113(h) is, in our estimation, without adequate support.
b. Health Assessment or Health Effects Study
The story is different for a government-led health study. There is reason to believe that the Giovannis' and Palmers' requests that the Navy conduct a health assessment or health effects study will conflict with, impact, or otherwise interfere with the ongoing cleanup efforts at the Naval Facilities. That relief "seeks to improve on the CERCLA cleanup" by adding work to the removal or remedial action already selected by the federal government at those facilities.
El Paso Nat. Gas
,
In sum, we conclude that the Giovannis' and Palmers' requests for funds to establish a private party medical monitoring program are not challenges for purposes of § 113(h), 21 but their requests for an order mandating that the Navy conduct a health assessment or health effects study are. We therefore lack jurisdiction to review those latter requests at this time.
4. The Palmers' Argument Under § 120 of CERCLA
Notwithstanding any argument under § 113(h), the Palmers argue that the cleanup activities at the federal Naval Facilities were initiated under § 120 rather than § 104, and thus that § 113(h) is inapplicable to bar their state-law claim. The Navy counters that § 120 merely describes additional procedures unique to federal land, and does not confer any authority outside of that already granted in § 104. We agree with the Navy.
Section 113(h), by its plain text, bars "challenges to removal or remedial action selected under section [104] of [CERCLA.]"
Our analysis of a statute begins, of course, with the text.
Haberle
, 885 F.3d at 178. Section 104 states that "the President is authorized to act ... to remove or arrange for the removal of, and provide for the remedial action relating to ... [a] hazardous substance, pollutant, or contaminant at any time ..., or take any other response measure ... [he] deems necessary to protect the public health or welfare or the environment."
Section 120, which was added to CERCLA in 1986,
see
Pub. L. No. 99-499,
Other courts have similarly concluded that § 120 is not an independent and wholly separate grant of authority from § 104 for the cleanup of federal facilities. In
Werlein v. United States
, the court held that a remedial action at a federal facility was taken "under section [104], subject to the requirements of section [120]."
Section 120 does create unnecessary tension with a logical reading of § 104, but, as we have indicated on numerous occasions, CERCLA is not the Mona Lisa of statutes.
United States v. Rohm & Haas Co.
,
We therefore agree with the District Court that the EPA's cleanup efforts at the Naval Facilities have been undertaken pursuant to § 104, subject to the requirements of § 120. 25
B. Sovereign Immunity
The Navy argues that even if the Giovannis' and Palmers' claims are not barred as challenges to ongoing response actions that they must nevertheless fail because of the government's sovereign immunity. "As a sovereign, the United States is immune from suit unless it consents to be sued."
White-Squire v. U.S. Postal Serv.
,
Section 6001(a) of RCRA provides that each department or agency of the federal government dealing with solid or hazardous wastes "shall be subject to, and comply with, all Federal, State, interstate, and local requirements, both substantive and procedural[.]" It goes on to state that "[t]he Federal, State, interstate, and local substantive and procedure requirements referred to in this subsection include, but are not limited to, all administrative orders and all civil and administrative penalties and fines[.]"
The Giovannis and Palmers characterize their requested relief as an injunction ordering the Navy to fund a trust fund that will pay for private party medical monitoring. That led the District Court to logically concluded that the Giovannis and Palmers lawsuits sought "injunctive relief to compel medical monitoring[.]" (G.J.A. at 112.) Although the case law on that issue is less than clear, we think the better approach on this record is to classify the relief as injunctive.
The characterization of medical monitoring appears to come up most often in mass exposure cases where putative class plaintiffs seek certification of an injunctive relief class under Federal Rule of Civil Procedure 23(b)(2).
See, e.g.
,
Gates v. Rohm & Haas Co.
,
We have also said that "[i]f plaintiffs seek relief that is a disguised request for compensatory damages, then the medical monitoring claim can only be characterized as a claim for monetary damages."
Here, we are faced with a request for medical monitoring under HSCA. We have noted that, in
Redland Soccer Club, Inc. v. Department of the Army
, "[t]he Pennsylvania Supreme Court has endorsed awarding medical monitoring damages as a trust fund which 'compensates the plaintiff for only the monitoring costs actually incurred.' "
Gates
,
A claim for a medical monitoring trust fund is significantly different from a claim for a lump sum award of damages. A trust fund compensates the plaintiff for only the monitoring costs actually incurred. In contrast, a lump sum award of damages is exactly that, a monetary award that the plaintiff can spend as he or she sees fit. Various courts have advocated the trust fund approach instead of the lump sum approach.
That case is not the only one in which a state high court concluded that the type of medical monitoring costs sought here is
best characterized as injunctive relief. The New Jersey and Maryland Supreme Courts also agree.
See
Exxon Mobil Corp. v. Albright
,
The United States Supreme Court likewise appears to agree that a medical monitoring claim can be something other than a claim for money damages. In
Metro-North Commuter Railroad Company v. Buckley
,
The Supreme Court interpreted the Second Circuit's opinion as adopting the idea "that medical monitoring costs themselves represent a separate negligently caused economic 'injury[ ]' ... permitting (as tort law ordinarily permits) the recovery of medical cost damages in the form of a lump sum[.]"
As it relates to the Giovannis' and Palmers' medical monitoring claims under HSCA, we now join those courts that have characterized that type of relief as primarily equitable in nature. The Giovannis' and Palmers' medical monitoring claims do not seek a lump sum of money to compensate them for past harm. Rather, those claims seek an order requiring the Navy to fund a trust that will cover a prospective private
party medical monitoring program. That the Navy will have to expend money does not, in itself, make the desired relief a demand for money damages.
Jaffee
,
Because RCRA waives sovereign immunity to claims for injunctive relief, the Navy is not immune from suit for the costs of private party medical monitoring. Accordingly, those claims may proceed.
IV. CONCLUSION
For the foregoing reasons, we will affirm in part and vacate and remand in part the orders of dismissal.
BIBAS, Circuit Judge, concurring in part and concurring in the judgment.
I agree with the majority that the government took its response actions at Navy facilities under § 9604, so I join part III.A.4 of the majority opinion. I also join part III.B because I agree with the limited holding that RCRA's sovereign-immunity waiver does not bar claims that seek a medical-monitoring trust fund. See Maj. Op. at 121 n.27. So I concur in the judgment.
But I would adopt the D.C. Circuit's definition of a forbidden "challenge," limiting it to actions that would interfere with a cleanup. At root, I disagree that who does an action bears on whether that action meets CERCLA's definitions of "removal" or "remedial." In other words, I am unpersuaded by the Ninth Circuit's decision in Hanford . While that opinion relies on legislative history and remedial purpose, I would stick to the statutory text. At the very least, we should adopt a single workable test to determine what are challenges barred by § 9613(h).
Under the correct test, neither medical monitoring nor health assessments qualify as "challenges to removal or remedial action[s]."
I. WE SHOULD ADOPT THE D.C. CIRCUIT'S INTERFERENCE TEST
To determine what a forbidden "challenge" is, the majority takes a "holistic approach." Maj. Op. at 105. It addresses each of our sister circuits' varied tests and applies them all. But adopting divergent tests leaves district courts without a workable framework. Instead, we should distill the various tests into a single one. The D.C. Circuit has already done that work for us in
El Paso Natural Gas
,
Adopting the other circuits' differing tests could produce divergent results. This case illustrates the point. The Giovannis' and Palmers' health-assessment claims are unlikely to call the remedial plan "into question."
Broward
,
Instead, I would adopt
El Paso
's interference test. The D.C. Circuit nicely synthesized our sister circuits' varied tests into a single framework: a claim is a challenge under § 9613(h)"if it will
interfere
with a 'removal' or a 'remedial action.' "
El Paso
,
II. MEDICAL MONITORING IS NOT A RESPONSE ACTION
The majority artfully explains why private medical monitoring is neither a removal nor a remedial action. But I see no reason why the quality of the action changes simply because the actor is the government.
The Ninth Circuit's opinion in
Hanford
, relied on by the majority, is unpersuasive. Maj. Op. at 108-09. There, the Ninth Circuit resorted too quickly to CERCLA's legislative history and remedial purpose.
Given the statutory text's explicit focus on actions, not actors, I find Hanford 's focus on legislative history and purpose unpersuasive. So I would hold that § 9613(h) does not bar a suit seeking medical monitoring as "challenges to removal or remedial action."
III. NOR ARE HEALTH ASSESSMENTS RESPONSE ACTIONS
Nor does government involvement turn health assessments into removal or remedial actions. CERCLA explicitly distinguishes health assessments from response actions. The statute allows recovery of
(A) all costs of removal or remedial action incurred by the United States Government or a State or an Indian tribe not inconsistent with the national contingency plan;
(B) any other necessary costs of response incurred by any other person consistent with the national contingency plan;
(C) damages for injury to, destruction of, or loss of natural resources, including the reasonable costs of assessing such injury, destruction, or loss resulting from such a release; and
(D) the costs of any health assessment or health effects study carried out under section 9604(i) of this title.
And subparagraph (D) was added later than (A) and (B). Superfund Amendments and Reauthorization Act of 1986, Pub. L. No. 99-499, § 107,
True, there is a colorable argument that the definition of a health assessment falls within the definition of a removal action. Health assessments examine "the potential risk to human health posed by individual sites and facilities."
Nor would a health assessment interfere with any response action. On this record, I do not see how a health assessment would obstruct or hinder any ongoing cleanup. Sure, it might require the EPA to take more action if the assessment revealed a significant risk.
* * * * *
In short, § 9613(h) turns on whether the action would interfere with a removal or remedial action, not whether the actor is the government. Neither medical monitoring nor health assessments would interfere with an ongoing cleanup. So I would hold that neither kind of requested relief turns a suit into a challenge.
I agree with the majority that the court-supervised medical monitoring sought here is not a challenge and is not barred by sovereign immunity, so I concur in part and in the judgment. Because the majority finds that government-led health assessments are challenges barred by § 9613(h), it does not address whether sovereign immunity would bar those claims. So I too decline to reach that question.
The parties do not dispute any material facts bearing on the issue of subject matter jurisdiction, which makes the Navy's attack on the complaints under Rule 12(b)(1) a facial challenge rather than a factual one.
See
Hartig Drug Co. Inc. v. Senju Pharm. Co. Ltd.
,
The NPL is a list, compiled by the EPA, of facilities throughout the United States and its territories that are considered "national priorities" among all the facilities known to have involved releases, or that threaten releases, of hazardous substances, pollutants, and contaminants. Superfund: National Priorities List (NPL), https://www.epa.gov/superfund/superfund-national-priorities-list-npl (last visited June 25, 2018).
Section 113(h), which is codified at
(h) Timing of review
No Federal court shall have jurisdiction under Federal law other than under section 1332 of Title 28 (relating to diversity of citizenship jurisdiction) or under State law which is applicable or relevant and appropriate under section [121 of the Act] (relating to cleanup standards) to review any challenges to removal or remedial action selected under section [104 of the Act], or to review any order issued under section [106(a) of the Act], in any action except one of the following:
(1) An action under section [107 of the Act] to recover response costs or damages or for contribution.
(2) An action to enforce an order issued under section [106(a) of the Act] or to recover a penalty for violation of such order.
(3) An action for reimbursement under section [106(b)(2) of the Act].
(4) An action under section [159 of the Act] (relating to citizens suits) alleging that the removal or remedial action taken under section [104 of the Act] or secured under section [106 of the Act] was in violation of any requirement of this chapter. Such an action may not be brought with regard to a removal where a remedial action is to be undertaken at the site.
(5) An action under section [106 of the Act] in which the United States has moved to compel a remedial action.
Section 120 of CERCLA, which is codified at
Each department, agency, and instrumentality of the United States (including the executive, legislative, and judicial branches of government) shall be subject to, and comply with, this chapter in the same manner and to the same extent, both procedurally and substantively, as any nongovernmental entity, including liability under section [107 of the Act]. Nothing in this section shall be construed to affect the liability of any person or entity under sections [106 and 107 of the Act].
Section 104 of CERCLA, which is codified at
We are grateful for the additional insights provided by the amici.
Our jurisdiction to review the District Court's rulings is uncontested and is rooted in
Medical monitoring is meant "to compensate plaintiffs who have been exposed to various toxic substances" by accounting for latent diseases or injuries.
In re Paoli R.R. Yard PCB Litig.
,
Section 104 of CERCLA defines response authorities under the Act, including the President's authority to institute removal and remedial actions to clean up contaminated facilities; it also sets forth limitations on his response authority, and exceptions to those limitations.
See
That provision of the Act states:
In addition to any other action taken by a State or local government, when the President determines that there may be an imminent and substantial endangerment to the public health or welfare or the environment because of an actual or threatened release of a hazardous substance from a facility, he may require the Attorney General of the United States to secure such relief as may be necessary to abate such danger or threat, and the district court of the United States in the district in which the threat occurs shall have jurisdiction to grant such relief as the public interest and the equities of the case may require. The President may also, after notice to the affected State, take other action under this section including, but not limited to, issuing such orders as may be necessary to protect public health and welfare and the environment.
See also
El Paso Nat. Gas Co. v. United States
,
Our concurring colleague disagrees with our holistic approach and advocates a bright line test for determining whether a claim for relief constitutes a challenge. The concurrence relies on the District of Columbia Circuit's opinion in
El Paso Natural Gas Company v. United States
,
In laying out our analytical framework, we have relied on the collective experience of our own Court and our sister courts, including the D.C. Circuit in El Paso , to create an approach that we hope is sufficiently flexible to account for the myriad circumstances in which CERCLA litigation arises and yet clear enough to give useful guidance to district courts. We appreciate our colleague's desire to simplify the "challenge" analysis for the benefit of future litigants and courts, and we share that desire. But we think that a framework that relies on nothing but the word "interfere" to inform future litigation-a word that does not appear at all in the statutory text but rather emerged through case law-will not be as helpful as our colleague believes.
See also
Ambrogi v. Gould, Inc.
,
Section 107(a), a provision for cost recovery claims, is one mechanism CERCLA provides for potentially responsible parties to recoup costs expended in cleaning up a contaminated site.
The court limited its holding to the specific ATSDR activities under review because it noted that not all ATSDR activities should qualify "per se [as] removal or remedial actions for purposes of CERCLA's Timing of Review provision."
Hanford
,
The Ninth Circuit also determined "that the ATSDR health ... surveillance activities [at the specific site in question] satisfy the definition of removal action."
Hanford
,
The concurrence disagrees that the distinction between private actors and government actors makes a difference in the analysis of whether a claim for relief constitutes a challenge. Concur. Op. at 122-23. Our colleague stresses that the statutory language focuses on "actions" and not "actors."
Id
. We take a different message from the existence of the ATSDR provisions, which create a framework for government actors to conduct medical monitoring and health effect studies.
The statute defines the term "health assessment" to mean:
preliminary assessments of the potential risk to human health posed by individual sites and facilities, based on such factors as the nature and extent of contamination, the existence of potential pathways of human exposure (including ground or surface water contamination, air emissions, and food chain contamination), the size and potential susceptibility of the community within the likely pathways of exposure, the comparison of expected human exposure levels to the short-term and long-term health effects associated with identified hazardous substances and any available recommended exposure or tolerance limits for such hazardous substances, and the comparison of existing morbidity and mortality data on diseases that may be associated with the observed levels of exposure.
The concurrence would not construe the requests for a health effects study as a response action because § 107(a)(4)(A) refers to "removal or remedial action" and § 107(a)(4)(D) separately refers to "any health assessment or healthy effects study carried out under [the ATSDR provisions.]" Concur. Op. at 122-23. According to the concurrence, § 107(a)(4)(D) would be "superfluous" if a health effect study were to be construed as a removal or remedial action.
We note again that § 113(h) only applies when the response actions at issue were selected under § 104, which authorizes the President to take certain actions, or when the order implicated was issued under § 106(a), which refers to additional actions the President may take.
That conclusion is consistent with our decisions in the
In re Paoli
cases.
See
In re Paoli R.R. Yard PCB Litig.
,
Section 101(9) defines "facility" to mean:
(A) any building, structure, installation, equipment, pipe or pipeline (including any pipe into a sewer or publicly owned treatment works), well, pit, pond, lagoon, impoundment, ditch, landfill, storage container, motor vehicle, rolling stock, or aircraft, or (B) any site or area where a hazardous substance has been deposited, stored, disposed of, or placed, or otherwise come to be located; but does not include any consumer product in consumer use or any vessel.
An executive order from the person authorized to act under § 104-the President of the United States-supports that reading. Specifically, Executive Order 12,580 demonstrates that the President and his staff thought CERCLA conferred authority for him to initiate response actions under §§ 104, 113, 117, 119, 121, and 126 of that statute, because he delegated the functions vested under those provisions to various federal departments and agencies. Exec. Order No. 12,580,
We recognize, however, that not every court agrees with that conclusion. In
Fort Ord Toxics Project, Inc. v. California E.P.A.
, the Ninth Circuit held that, while "troubling[,]" it is "most reasonable" to interpret §§ 104 and 120 as separate grants of authority.
The parties dispute whether the District Court was required to remand the claims to state court. Because we have concluded that § 113(h) does not bar the medical monitoring claims, there is federal jurisdiction over those claims and remand to state court is unnecessary. Section 113(h) did not bar filing those claims initially in state court. Nor did § 113(b), because the claims arise under state law, not CERCLA. We will, however, affirm the District Court's decision to dismiss the demands for a health effects study because those demands constitute challenges to the Navy's ongoing cleanup, and thus neither we nor the state courts have jurisdiction to consider those claims at this time.
The Navy did not, however, waive its sovereign immunity under § 120(a)(1) of CERCLA. That provision states that "[e]ach department, agency, and instrumentality of the United States ... shall be subject to, and comply with, [CERCLA] in the same manner and to the same extent, both procedurally and substantively, as any nongovernmental entity[.]"
Our analysis is limited to characterizing claims for private party medical monitoring under HSCA for purposes of the RCRA waiver of sovereign immunity. We do not decide today how to characterize claims for relief outside those limited circumstances.
Reference
- Full Case Name
- Kristen GIOVANNI, Individually and as Parent and Natural Guardian of V.G., a Minor, and D.G., a Minor; Charles Giovanni, Individually and as Parent and Natural Guardian of V.G., a Minor and D.G., a Minor; Anthony Giovanni, Appellants in No. 17-2473 v. UNITED STATES DEPARTMENT OF the NAVY Dorothy Palmer; George Palmer, Appellants in No. 17-3196 v. United States Department of the Navy
- Cited By
- 16 cases
- Status
- Published