LELAND MIDGETT,
Plaintiff,
v
.
NORTH CAROLINA DEPARTMENT OF TRANSPORTATION,
Employer,
SELF-INSURED (Key Risk Management, Servicing Agent),
Defendant.
Attorney General Roy Cooper, by Assistant Attorney General
Amar Majmundar, for the State.
The Twiford Law Firm, L.L.P., by Branch W. Vincent, III, for
plaintiff-appellant.
HUDSON, Judge.
The plaintiff appeals an Order of the Industrial Commission
dismissing his claim against his employer, the N.C. Department of
Transportation ("DOT"), for lack of jurisdiction under the Tort
Claims Act. We affirm.
Plaintiff was employed by the DOT as a seaman aboard the M/V
Kinnakeet, a ferry boat transporting motor vehicles and passengers
between Hatteras Island and Ocracoke Island. On the morning of 4
July 1995, plaintiff slipped and fell on the deck of the Kinnakeet,
injuring his back. According to the report filed by the
plaintiff's investigating supervisor E.M. Farrow, the accident
occurred because the deck was wet from a rain shower. In addition,
the wrong paint had been applied to the deck of the vessel, so thatinstead of a rough, non-skid finish, the deck had a slick finish.
The plaintiff filed a claim under the Workers' Compensation
Act, N.C. Gen. Stat. §§ 97-1 to 97-200 (2001); the claim was
settled by a compromise settlement agreement between the parties.
The agreement was approved by the Industrial Commission on 25
September 1997.
The plaintiff then filed this claim against the DOT under the
Tort Claims Act, N.C. Gen. Stat. §§ 143-291 to 143-300.1 (2001),
which authorizes claims against the State for injuries due to
negligence if they arose under circumstances where the State of
North Carolina, if a private person, would be liable to the
claimant in accordance with the laws of North Carolina. N.C.G.S.
§ 143-291(a). The plaintiff contended that although his claim was
filed under the Tort Claims Act, it stems from the Jones Act, 46
U.S.C. 688 (2001), a federal statute which governs recovery for
injury to seamen. The State filed a motion to dismiss, asserting:
(1) that plaintiff failed to state a claim upon which relief can be
granted under Rule 12(b)(6) of the North Carolina Rules of Civil
Procedure (2001), because the State has not waived sovereign
immunity for Jones Act claims; (2) that the plaintiff has already
recovered through his exclusive remedy for his injury under the
Workers' Compensation Act, so that this claim is barred; and (3)
that even if the plaintiff stated a claim under the Tort Claims
Act, he failed to allege negligence on the part of a named employee
of the defendant as required by N.C. Gen. Stat. § 143-291 and §
143-297(2) (2001). Deputy Commissioner William C. Bost of theIndustrial Commission entered an order dismissing the claim without
specifying the grounds. The defendant appealed to the Full
Commission arguing only the lack of subject matter jurisdiction due
to sovereign immunity. The Commission entered an order discussing
the issue at some length, and concluding, in pertinent part, that
the matter was not properly before it because:
[t]he North Carolina Department of
Transportation is an agency of the state and
cannot be sued except as provided by statute
and may be sued in tort only as authorized by
the Tort Claims Act. Although granted
jurisdiction to hear claims brought under the
North Carolina Tort Claims Act, the General
Assembly has not waived sovereign immunity for
Jones Act claims and therefore has not granted
the Industrial Commission jurisdiction over
Jones Act claims.
(internal citations omitted). The Full Commission dismissed the
claim for lack of subject matter jurisdiction. The plaintiff
appeals.
The plaintiff assigns error to the Industrial Commission's
conclusion that the Commission lacked jurisdiction over his claim.
Typically findings of fact in final decisions on appeal to this
Court from the Industrial Commission are binding upon this Court if
supported by any competent evidence. See N.C. Gen. Stat. § 143-293
(2001); see also Deese v. Champion Int'l Corp., 352 N.C. 109, 116,
530 S.E.2d 549, 553 (2000). However, a determination of
jurisdiction is not binding upon this Court, and any reviewing
court, including the Supreme Court, has the duty to make its own
independent findings of jurisdictional facts from its consideration
of the entire record. Dowdy v. Fieldcrest Mills, 308 N.C. 701,705, 304 S.E.2d 215, 218 (1983) (citing Lucas v. Stores, 289 N.C.
212, 221 S.E.2d 257 (1986)), reh'g denied, 311 S.E.2d 590 (1984).
Upon consideration of the entire record, we hold that the
Industrial Commission has no jurisdiction over this claim because
the State has not waived its sovereign immunity to Jones Act
claims. The doctrine of sovereign immunity protects the State
and its agencies from suit absent waiver or consent. Wood v. N.C.
State Univ., 147 N.C. App. 336, 338, 556 S.E.2d 38, 40 (2001).
disc. rev. denied, 355 N.C. 292, 561 S.E.2d 887 (2002). Unless
waived, the immunity provided by the doctrine [of sovereign
immunity] is absolute and unqualified. Price v. Davis, 132 N.C.
App. 556, 559, 512 S.E.2d 783, 786 (1999) (internal citations and
quotations omitted). The State waives immunity when the General
Assembly grants statutory authority to be sued, but may then be
sued only in the manner and upon the terms and conditions
prescribed. Alliance Co. v. State Hospital, 241 N.C. 329, 332, 85
S.E.2d 386, 389 (1955) (internal citations and quotations omitted).
Statutes which authorize suit against the State, being in
derogation of the sovereign right to immunity, must be strictly
construed. Guthrie v. State Ports Authority, 307 N.C. 522, 538,
299 S.E.2d 618, 627 (1983).
The Tort Claims Act constitutes such a specific statutory
waiver of immunity. In part, it provides:
N.C.G.S. § 143-291(a) (emphasis added).
Prior to the original enactment of the Tort Claims Act in
1951, the State Highway Commission, now the DOT, was immune from
all liability for ordinary negligence. See Givens v. Sellars, 273
N.C. 44, 159 S.E.2d 530 (1968). Since the passage of the Act, an
injured person has been able to proceed in tort against the DOT, in
the manner provided in the Act. See Davis v. Highway Commission,
271 N.C. 405, 156 S.E.2d 685 (1967). Such claims proceed according
to North Carolina common law principles in the Industrial
Commission. See MacFarlane v. Wildlife Resources Com., 244 N.C.
385, 93 S.E.2d 557 (1956).
Plaintiff filed this tort claim in the Industrial Commission
alleging that the DOT is liable to him under the Jones Act, which
states, in part, that:
Any seaman who shall suffer personal
injury in the course of his employment may, at
his election, maintain an action for damages
at law, with the right of trial by jury, andin such action all statutes of the United
States modifying or extending the common-law
right or remedy in cases of personal injury to
railway employees shall apply . . . .
Jurisdiction in such actions shall be under
the court of the district in which the
defendant employer resides or in which his
principal office is located.
46 U.S.C.A. 688 (2001). He contends that there is nothing in the
Tort Claims Act which prohibits an injured person from pursuing a
claim based on liability under this federal statute. Although this
precise issue has not been addressed by our state appellate courts,
the related cases lead us to disagree.
The Tort Claims Act expressly states that the State may be
liable only in circumstances where the State of North Carolina, if
a private person, would be liable to the claimant in accordance
with the laws of North Carolina. N.C.G.S. § 143-291(a) (emphasis
added). The Tort Claims Act specifically codifies and
automatically raises the defense of contributory negligence in each
claim:
Contributory negligence on the part of the
claimant or the person in whose behalf the
claim is asserted shall be deemed to be a
matter of defense on the part of the State
department, institution or agency against
which the claim is asserted, and such State
department, institution or agency shall have
the burden of proving that the claimant or the
person in whose behalf the claim is asserted
was guilty of contributory negligence.
N.C. Gen. Stat. § 143-299.1 (2001). The Industrial Commission
determines how to apply substantive contributory negligence law,
however, by resorting to North Carolina common law. As the Full
Commission noted here, [the Jones] Act applies the standard ofcomparative negligence. See also Socomy-Vacuum Oil Company v.
Smith, 305 U.S. 424, 431, 83 L. Ed. 265, 270 (1939). Thus, an
employer who would be liable to a partially negligent claimant
under the Jones Act, would not be liable to the same claimant in
accordance with the laws of North Carolina, because of the state
law doctrine of contributory negligence.
The plaintiff argues that the Court's decision in Parsons v.
Board of Education implies that the Commission may entertain a tort
claim that is based on law other than that of the state of North
Carolina. See Parsons v. Board of Education, 4 N.C. App. 36, 165
S.E.2d 776 (1969). There, this Court affirmed a decision of the
Industrial Commission which applied the substantive law of Virginia
in a tort claim against the State of North Carolina. See id. The
claim arose out of a collision between a North Carolina school bus
and an automobile in Virginia. See id. at 39, 165 S.E.2d at 778.
This Court applied the doctrine of lex loci, itself arising from
North Carolina common law, to decide that the substantive rights
and liabilities of the parties would be determined under Virginia
law. See id. Although the decision applied the substantive law of
Virginia, the procedural matters were controlled by the law of
North Carolina. See id. The Court in Parsons did not expressly
expand the jurisdiction of the Industrial Commission to hear claims
brought under Virginia law, absent the application of lex loci.
See id. In fact, the issue was not raised. We do not believe that
Parsons can be read to expand the jurisdiction of the Commission to
tort claims based entirely on federal law, particularly where, ashere, the basis for liability (comparative negligence under the
Jones Act) is inconsistent with state law. Under these
circumstances, we do not believe that Parsons or the express
language of the Tort Claims Act supports such jurisdiction. See
id.
We agree with plaintiff that the Tort Claims Act does not
specifically prohibit Jones Act claims. However, as we have noted,
the General Assembly must specifically waive sovereign immunity
before one can pursue a claim against an agency of the State. See,
e.g., Turner v. Board of Education, 250 N.C. 456, 109 S.E.2d 211
(1959). The Supreme Court stated in Orange County v. Heath that:
As we understand the rule relating to the
immunities attaching to sovereignty, such
attributes are never to be considered as
waived or surrendered by any inference or
implication. The surrender of an attribute of
sovereignty being so much at variance with the
commonly accepted tenets of government, so
much at variance with sound public policy and
public welfare, the Courts will never say that
it has been abrogated, abridged, or
surrendered, except in deference to plain,
positive legislative declarations to that
effect.
Orange County v. Heath, 282 N.C. 292, 296, 192 S.E.2d 308, 310-11
(1972) (internal quotations and citations omitted)).
We also believe that plaintiff's reliance upon Welch v. Texas
Dept. of Highways & Public Transp., 483 U.S. 468, 97 L. Ed. 2d 389
(1987) is inapposite. In Welch, the plaintiff, an employee of the
Texas Department of Highways and Public Transportation, was injured
on a automobile and passenger ferry dock. See id. at 471, 97 L.
Ed. 2d. at 394. She filed suit under the Jones Act against thestate of Texas in federal district court. See id. at 471, 97 L.
Ed. 2d. at 394-395. The District Court for the Southern District
of Texas dismissed the claim as barred by the Eleventh Amendment,
and the Fifth Circuit Court of Appeals subsequently affirmed. See
id. at 471, 97 L. Ed. 2d at 395. Although the United States
Supreme Court subsequently affirmed the dismissal from federal
court, it declined to consider the question of whether the Texas
Tort Claims Act waived the state's sovereign immunity. See id. at
474, 97 L. Ed. 2d. at 397. Plaintiff argues that by not addressing
the issue, the United States Supreme Court implied that states
might be subject to suit in state court by private parties bringing
claims based on the Jones Act. We do not agree, and the United
States Supreme Court has recently addressed the issue in Federal
Maritime Com. v. SCSPA, 535 U.S. ___, 152 L. Ed. 2d 962 (2002).
There, the United States Supreme Court held that even when the
Constitution vests in Congress complete lawmaking authority over a
particular area, the Eleventh Amendment prevents congressional
authorization of suits by private parties against unconsenting
States. Id. at ___, 152 L. Ed. 2d at 982 (citing Seminole Tribe
of Florida v. Florida, 517 U.S. 44, 72, 134 L. Ed. 2d 252, 277
(1996)). In Alden v. Maine, 527 U.S. 706, 144 L. Ed. 2d 636
(1999), where the Supreme Court similarly held that sovereign
immunity shields States from private suits in state courts pursuant
to federal causes of action, the Court further held that statutory
waiver of immunity to some claims did not constitute consent to
suit in all cases. To the extent [a State] has chosen to consentto certain classes of suits while maintaining its immunity from
others, it has done no more than exercise a privilege of
sovereignty concomitant to its constitutional immunity from suit.
See id. at 758, 144 L. Ed. 2d at 680-81.
Further, as stated by the North Carolina Supreme Court in Orange
County v. Heath, even if the Court had implied that states could
waive immunity to Jones Act claims in state court, such an
implication would not be sufficient to waive the State's immunity
in this case. See Orange County, 282 N.C. at 296, 192 S.E.2d at
310-11. The Court stated that
[t]he State and its governmental units cannot
be deprived of the sovereign attributes of
immunity except by a clear waiver by the
lawmaking body. The concept of sovereign
immunity is so firmly established that it
should not and cannot be waived by indirection
or by procedural rule. Any such change should
be by plain, unmistakable mandate of the
lawmaking body.
Id. at 296, 192 S.E.2d at 310. Here, the General Assembly did not
by plain, unmistakable mandate waive the State's immunity to suit
under the Jones Act in a tort claim. The Industrial Commission
therefore lacked jurisdiction, and properly dismissed the
plaintiff's claim.
Defendants also argued in the Industrial Commission and in
their brief to this Court that this claim is barred by the
exclusive remedy provisions of the Workers' Compensation Act. See
N.C. Gen. Stat. §97-10.1 (2001). Because of our holding on
sovereign immunity, we do not reach this issue.
Affirmed. Judges GREENE and BIGGS concur.
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