Francis v. Southern Pacific Co.
Opinion of the Court
delivered the opinion of the Court.
Petitioners are the minor children of Jack R. Francis who was killed while riding as an interstate passenger on one of respondent’s trains. They brought this suit, acting through their general guardians, to recover damages on account of his death. Jurisdiction in the federal court was founded on diversity of citizenship. The trial judge submitted to the jury only the question of respondent’s wanton negligence. The error alleged is his refusal to submit to the jury the issue of ordinary negligence. The jury returned a verdict for respondent. The Circuit Court of Appeals affirmed. 162 F.2d 813.
In Van Wagoner v. Union Pac. R. Co., — Utah —, 186 P. 2d 293, decided after the petition for certiorari in the present case was filed, the heirs sued to recover damages for the death of the decedent in a grade-crossing accident. The court held that a defense of contributory negligence which would have barred recovery by the decedent likewise bars the heirs. In view of this ruling by the Utah Supreme Court we cannot say that the Circuit Court of Appeals committed plain error in holding that respondent had the same defenses against petitioners as it would have had against the decedent.
The free pass in the present case stated that “the user assumes all risk of injury to person or property and of loss of property whether by negligence or otherwise, and absolves the issuing company . . . from any liability therefor.” In Northern Pacific R. Co. v. Adams, supra, a similar provision in a free pass was sustained as a defense to an action brought under an Idaho statute by the heirs of a passenger.
For years this has been the accepted and well-settled construction of the Hepburn Act. During that long period it stood unchallenged in this Court and, so far as we can ascertain, in Congress too. Then came the Transportation Act of 1940, 54 Stat. 898, 900, with its comprehensive revision of the statutes of which the Hepburn Act was part. Amendments were made to the free-pass provision of the Act to permit free transportation of additional classes of persons.
Petitioners contend that the jury panel from which the jury in this case' was selected was drawn contrary to Thiel v. Southern Pacific Co., 328 U. S. 217. We do not stop
Affirmed.
The Utah Supreme Court in its original opinion in the Van Wagoner case stated that the right granted the heirs is a “right to proceed against the wrongdoer subject to the defenses available against the deceased, had he lived and prosecuted the suit.” On petition for rehearing that statement was eliminated and the follow
That ruling is no deviation from the Utah law as construed by the lower federal courts. It supports the view of Utah law taken by the Circuit Court of Appeals and is in line with the weight of authority in the state courts. See Mellon v. Goodyear, 277 U. S. 335, 344-345. Hence we do not deem it appropriate to remand the case for consideration of the intervening decision in the Van Wagoner case. Cf. Huddleston v. Dwyer, 322 U. S. 232.
The Court said, pp. 453-454:
“The railway company was not as to Adams a carrier for hire. It waived its right as a common carrier to exact compensation. It offered him the privilege of riding in its coaches without charge if he would assume the risks of negligence. He was not in the power of the company and obliged to accept its terms. They stood on an equal footing. If he had desired to hold it to its common law obligations to him as a passenger, he could have paid his fare and compelled the company to receive and carry him. He freely and voluntarily chose to accept the privilege offered, and having accepted that privilege cannot repudiate the conditions. It was not a benevolent association, but doing a railroad business for profit; and free passengers are not so many as to induce negligence on its part. So far as the element of contract controls, it was a contract which neither party was bound to enter into, and yet one which each was at liberty to make, and no public policy was violated thereby.”
See H. R. Rep. 2016,76th Cong., 3d Sess., p. 59.
Dissenting Opinion
with whom
Utah law permits recovery against a railroad when its negligence is responsible for a passenger’s death, whether that passenger rides on a free pass containing an attempted waiver of liability for negligence or pays his fare in money. Because I believe Utah law should govern this case I would reverse this judgment. But I think affirmance of the judgment is equally wrong whether the case is to be considered governed wholly by Utah law, by federal law, or in part by both.
No act of Congress has entrenched upon the long-existing power of all the states, including Utah, to provide damages for such wrongful deaths as this complaint alleged. If there is here any barrier to recovery based upon federal law, it is grounded in judge-made “general commercial law” announced by this Court in the year 1904 in Northern Pac. R. Co. v. Adams, 192 U. S. 440. The rule laid down in that case was that a railroad could by stipulation validly exempt itself from liability under a state statute for negligent injuries inflicted within that state upon passengers carried wholly gratuitously. Creation of the 1904 Adams rule by this Court was under authority of a power then exercised, but repudiated in 1938 in Erie R. Co. v. Tompkins, 304 U. S. 64, whereby
This Court followed the Adams “general commercial law” state rule several times between its creation in 1904 and repudiation of this Court’s power to create state law in 1938 — the last application of the Adams rule having been made by this Court in 1923 in Kansas City So. R. Co. v. Van Zant, 260 U. S. 459. That decision stated that an act of Congress had made the effect of the conditions in an employee’s pass a federal question, but decided that “federal” question entirely by reliance on the old Adams “general commercial law” state rule. Since the Erie-Tompkins decision in 1938, and in fact since 1923, the Adams rule has never been applied by this Court until today. Now it is applied not as a federally created state rule of “general commercial law” but as a judicially created post-Erie-Tompkins rule of purely federal law. While this Court may look to the 1904 pr^.-Erie-Tompkins state rule of general commercial law “as a convenient source of reference for fashioning” a post-Erie-Tompkins federal rule, Clearfield Trust Co. v. United States, 318 U. S. 363, 367, it should not, as the Court does here, automatically accept the old state rule as a federal rule, without any appraisal of its soundness in relation to present day conditions. No such appraisal has been made here. The old Adams rule, questionable enough in its 1904 environment, should in my judgment be critically examined and then abandoned as wholly incongruous with the accepted pattern of our modern society as embodied in legislative enactments.
Furthermore, the 1904 Adams rule, even in its original narrow scope, marked a departure from the philosophy of this Court’s previous decisions. One subsequent line
I.
It should be noted at the outset that tort law has been fashioned largely by judges, too largely according to the ideas of many. But if judges make rules of law, it would seem that they should keep their minds open in order to exercise a continuing and helpful supervision over the manner in which their laws serve the public. Experience might prove that a rule created by judges should never have been created at all, or that their rule, though originally sound, had become wholly .unsuited to new physical and social conditions developed by a dynamic society. A revaluation of social and economic interests affected by the old rule might reveal the unwisdom of its expansion or imperatively require its revision or abandonment.
The Court’s uncritical reliance today on the 1904 judicially created rule, which to me is both undesirable and uncertain in scope, emphasizes one of the inherent dangers in judge-made laws pointed out by an eminent legal commentator in the field of tort law. Professor Bohlen, in his Studies in the Law of Torts, 610-611 (1926), had this to say about “dangers” of court-made tort standards: “The first is that of the undue rigidity which results from the unfortunate feeling, that any decision of a court creates a rule of law which, as law, is absolutely and eternally valid. ... To regard a standard of conduct as fixed
II.
In 1944, Jack Francis, aged 30, his wife, aged 29, and their three children, aged 3, 6, and 8, lived in Carlin, Nevada. Jack was then and had been for several years a conductor and brakeman for the respondent, Southern Pacific Company. His father, Ray E. Francis, had served the respondent in the same capacity for 35 years. The elder Francis and his wife lived in Ogden, Utah, and the young Francis family visited them Christmas week. In the early morning of December 31, Jack and his wife boarded a Southern Pacific train at Ogden bound for Carlin. They took seats in the rear car. Both had passes granted by the respondent because the husband was its employee. Each pass contained a printed stipulation that the user assumed “all risk of injury to person” and absolved the railroad “from any liability therefor.” A short distance out of Ogden, while the train was still
This is one of two suits brought against the railroad by the grandparents as guardians of the three children to recover damages on account of their parents’ deaths. The actions were brought under a Utah law since Congress has never passed any act which provides remedies against railroads for negligently injuring or killing railroad passengers, even interstate passengers on interstate railroads. Whether passengers or their dependents shall have a right of action under such circumstances has been a question left by Congress for regulation by the state in which the injury or death occurred. See, e. g., Chicago, R. I. & P. R. Co. v. Maucher, 248 U. S. 359, 363. See also cases collected in 76 A. L. R. 428-435.
For many years the states did not generally authorize suits for wrongful death. Their omission of such remedies was due to traditional “common law” hostility to recoveries for death. This hostility provoked much lay criticism, echoes of which may be found in the cases cited below.
One count of the complaint here alleged ordinary negligence; the other alleged gross negligence. Either type of negligence would justify a recovery under the Utah statute. And since the complaint claimed recovery under the Utah statute, liability, if any, springs from that statute. See Spokane & I. E. R. Co. v. Whitley, 237 U. S. 487, 494-495. Under Utah law the railroad here could not have defeated liability in this case on the ground that the passes stipulated that the users would assume the risk of injury. The trial judge charged the jury, however, that because of opinions of this Court the pass exemption stipulation was valid and barred recovery “for just ordinary negligence.” The Circuit Court of Appeals affirmed on the basis of this Court’s Adams and Van Zant cases. 162 F. 2d 813, 816. The action of the two lower courts was in accordance with their interpretation of this Court’s opinions notwithstanding the fact that long ago the Utah Supreme Court, in declaring state law, rejected such a contention in the following language: “It is argued that even if the ticket was a free pass gratuitously possessed with the conditions printed thereon, still the defendant could not escape liability for its negligence. We believe the plaintiff is correct in this contention.” Williams v. Oregon Short Line R. Co., 18 Utah 210, 221, 54 P. 991, 994 (1898). See also Houtz v. Union Pacific R. Co., 33 Utah 175, 179, 93 P. 439, 441; Hansen v. Oregon Short Line R. Co.. 55 Utah 577, 581-582, 188 P. 852, 854. This
In the Schuyler case this Court sustained a Utah judgment under the Utah wrongful death statute, which judgment permitted recovery for death of a “gratuitous” passenger killed while riding free, although assuming he was
III.
What is this federal rule of law? Where did a rule emanate which today constrains this Court, without appraisal of the rule’s scope or merits, to deny these children a right to recover damages from a railroad that negligently killed their parents? I say “negligently killed” because that must be assumed since the Court affirms a judgment against the children in a case where the jury was denied a right to award damages for a killing caused by the “ordinary negligence” of the railroad.
The Court points to no records and I can find not a single shred of evidence that Congress has ever directly or indirectly, explicitly or impliedly, through the Hepburn Act, or through any other act, authorized railroads to contract against liability for their negligence which results in the injury or death of a railroad employee or any other person legally riding on a railroad pass. The original rule followed in an expanded form by the Court today is actually a judicial product of the old days of Swift v. Tyson, 16 Pet. 1 (1842), days in which federal courts invoked “a transcendental body of law outside of
As already pointed out, our decision in Erie R. Co. v. Tompkins, supra, repudiated in toto the old Swift v. Tyson, “transcendental” or “general commercial law” power of federal courts. But as I see this case, the Court now perpetuates and strengthens the old rule based on the repudiated Swift v. Tyson doctrine, and the rule applied today rests on no other foundation than a completely uncritical adoption of this Court's 1904 “independent judgment.” That judgment held it to be bad public policy, indeed, offensive to the Court’s “moral sense,” for a state to provide that an injured passenger who rode on a wholly gratuitous and guest basis could recover damages if a railroad had cautiously stipulated in advance that such a free passenger must assume the risks of railroad negligence. An investigation of the evolution of the “rule” from its 1904 beginning and application to its much broader application today will demonstrate, I believe, that it is rooted now, as in 1904, in nothing but the original “transcendental general law” source.
IV.
The background of the 1904 rule throws light on its judicial “general law” origin. In 1852 this Court was unable to find any difference between the kind of duty owed by a railroad to its paying and non-paying passengers; “public policy and safety” were held to require that a railroad exercise “the greatest possible care and diligence” for the safety of all passengers, and any less measure of care entitled an injured passenger to recover. Philadelphia & Reading R. Co. v. Derby, 14 How. 468,
In the Lockwood case this Court refused to follow decisions of the Supreme Court of New York, the State where the carriage contract was made and where the accident occurred, but instead, since there was no controlling New York statute, expressly decided the point as one of “general commercial law.” 17 Wall, at 368. And see Chicago, Milwaukee & St. P. R. Co. v. Solan, 169 U. S. 133, 136-137. Out of this “general commercial law” background emerged the “rule” relied on by the Court in the Adams case.
Y.
The beginning of the doctrine that a railroad could by stipulation exempt itself from liability for negligent injury to strictly free passengers was in Northern Pac. R. Co. v. Adams, supra, and Boering v. Chesapeake Beach R. Co., 193 U. S. 442, both decided in 1904. The decisions in these cases bear internal proof that they rested on the “general commercial law” ground. The Adams opinion treated the newly announced doctrine as no more than a special exception to the rule of “general commercial law” of the Lockwood case, which rule denied railroads power to exempt themselves from the effects of their negligence through the device of “free” passes.
As bearing on the narrow scope of the Adams rule and its “transcendental law” origin, it is of importance that the Adams and Boering cases were decided in 1904, two years before Congress outlawed political passes in the Hepburn Act. There existed at that time a widespread hostility to the use of “strictly free” railroad passes. The pass in the Boering case as well as in the Adams case was “strictly free.” Adams, the deceased, was a lawyer but not employed by the railroad that gave him the pass. Many believed, as shown by the legislative history of the
Charleston & W. C. R. Co. v. Thompson, 234 U. S. 576, is the next case relied on here. It was decided in 1914, eight years after passage of the Hepburn Act, which had, with certain exceptions, prohibited issuance of passes by railroads. 34 Stat. 584, 49 U. S. C. § 1 (7). The suit was brought by the wife of a railroad employee to recover for injuries sustained by her while an interstate railroad
In applying this pr e-Erie-Tompkins court-made transcendental law rule at this time, the Court not only in part neutralizes our Erie-Tompkins decision. It actually leaves a rule standing which might have already fallen under the repudiated Swift v. Tyson doctrine so far as it governed. For though a purely transcendental law rule judicially created by this Court under the pr e-Erie-Tompkins doctrine was “none the less the law of the
VI.
It is said however that Congress, although aware of the Adams transcendental law rule, has never changed it. Indulging for the moment the convenient fiction that Congress knows all about that rule and what it means, why should it think that old rules laid down by this Court and based on the Swift v. Tyson doctrine could survive our decision in Erie v. Tompkins? And why should Congress think that a rule which had never been applied by this Court to bar the children of a deceased employee would be extended to bar recovery by those children? I venture the suggestion that it would be shocking to members of Congress, even those who are in closest touch with
VII.
The legislative history of the Hepburn Act’s free pass provision shows that application of the Adams doctrine to employees’ passes is not in accordance with but directly hostile to the congressional purpose in permitting employee passes. That Congress never would have passed an Act which so penalized employees, may be seen by reading even the few portions of the Congressional Rec
Prior to 1906, there grew up a demand by the people that railroads cease discriminating against some shippers in favor of others and cease using free passes as a means to obtain special favors from public officials and administrative agencies. Public complaint was not against employees using passes. In fact, some unions had bargaining agreements for passes, and Congressmen who spoke on the Hepburn bill considered employees’ passes to be a part of the inducement to work for railroads. Passes were spoken of by those who discussed legislation on the House and Senate floors as part of the compensation of employees. The subject was an important one and was so treated. At one time a conference report recommended to both houses that all passes be prohibited. 40 Cong. Rec. 7741. This report was defeated and the debates in
If any senator or congressman discussing the Hepburn Act had ever heard of the Adams rule, he failed to mention it. But it must be conceded there was no reason for him to mention it, since the purposes of the Act bore no relation, directly or remotely, to liability of a railroad for injury to passengers whether riding on passes or paying their fares. Even if some member of Congress had been acquainted with the Adams rule and had thought that the Hepburn Act bore some remote relation to the liability of railroads for injury to passengers, still he would have had no reason to believe this Court would subsequently expand that rule, then applicable only to “strictly free pass” passengers, to penalize employees and others authorized by Congress to ride on passes. As I see it, today’s decision undermines the purpose Congress had in mind in approving the long-standing practice of employees’ passes. It perverts an advantage expressly saved to employees into a penalty for making use of it. It makes traps of these passes.
VIII.
Moreover, the subjection of railroad employees while passengers to the hazards of uncompensated injuries is at war with the basic philosophy which has found expression in other industrial and social legislation for many years. Employers’ liability acts, compensation acts, social insurance legislation of the federal government and various states, and a host of other legislative policies have been grounded upon the basic premise that care of the accidentally injured should be accepted as a matter of great public concern. Congress has also erased every vestige of the old judicially created fellow-servant and
Whether allowance of damages for negligent death is the best way to meet the problems incident to transpor
IX.
Today’s decision leaves states free to provide that railroads must pay for injury or death of passengers who can and do pay a full money fare for passage. This group is far more likely to include some people who are better able financially to take care of themselves in case of injury than are the members of some of the other groups permitted by the Hepburn Act to ride on free passes, all of whom are penalized by today’s decision. These groups are in addition to railroad employees and their families, employees of other railroads; ministers of religion; Young Men’s Christian Association workers; inmates of eleemosynary institutions; indigent, destitute, and homeless persons; disabled soldiers; and others in analogous categories. In following a course today that
No sound argument has been or can be advanced for application of the 1904 Adams rule in today's entirely different judicial and legislative environment, even as the rule was first narrowly applied to a purely gratuitous carriage, except that it was unquestioningly accepted 34 and 25 years ago in cases where the rule’s soundness was not challenged. When precedent and precedent alone is all the argument that can be made to support a court-fashioned rule, it is time for the rule’s creator to destroy it.
The Van Zant case did hold that since the Hepburn Act the “incidents and consequences” of an employee’s pass raised a federal question. It then held that the user of an employee’s pass must stand by his contract to assume the risks of negligent injury by the railroad. Neither it, nor any other case since the Hepburn Act, until the case today, has held that the penalizing consequences of the father’s contract must be visited upon his children. I would not so extend the more than dubious Van Zant doctrine.
Mr. Justice Cardozo said this about the quest for unvarying and eternal certainty in the law: "I was much troubled in spirit, in my first years upon the bench, to find how trackless was the ocean on which I had embarked. I sought for certainty. I was oppressed and disheartened when I found that the quest for it was futile. . . . As the years have gone by, and as I have reflected more and more upon the nature of the judicial process, I have become reconciled to the uncertainty, because I have grown to see it as inevitable. I have grown to see that the process in its highest reaches is not discovery, but creation; and that the doubts and misgivings, the hopes and fears, are part of the travail of mind, the pangs of death and the pangs of birth, in which principles that have served their day expire, and new principles are born.” The Nature of the Judicial Process, Benjamin N. Cardozo, 166-67 (1921). “Somewhere between worship of the past and exaltation of the present, the path of safety will be found.” Id. at 160.
Van Amburg v. Vicksburg, S. & P. R. Co., 37 La. Ann. 650, 651, 65, 55 Am. Rep. 517, 518; Rowe v. Richards, 35 S. D. 201, 206-207, 151 N. W. 1001, 1003; Salsedo v. Palmer, 278 F. 92, 94; Maney v. Chicago, B. & Q. R. Co., 49 Ill. App. 105, 112-113. For a discussion of the state wrongful death statutes, see annotations: L. R. A. 1915E, 1075, 1095, 1163; 23 A. L. R. 1262; 27 L. R. A. (N. S.) 176.
The recent Van Wagoner Utah Supreme Court decision cited by the Court is not out of harmony with the above cases but, as amended on rehearing, is expressly limited to a holding that contributory negligence of a decedent may bar recovery under the Utah statute on the part of his heirs. That holding simply means that the death was not “wrongful” under the statute. It does not mean that where there is company negligence Utah would hold that a railroad could barter away the beneficiary’s rights.
And as I read the opinion of the Circuit Court of Appeals in the case now before us, it did not hold that under Utah law an action is maintainable only where “the decedent could have maintained an action to recover damages for his injury if death had not ensued.” For that statement in its opinion, the Circuit Court of Appeals relied only on the Adams case and several other opinions of this Court. It did not purport to be construing Utah law. On this point, therefore, there is no question presented as to whether the Circuit Court of Appeals made a “plain error” in the construction of state law. The state law on that subject has been very clearly stated by the State Supreme Court to the effect that it “is beyond the power of the Legislature to take from the dependents of an employee their claim against the employer, where such employee dies as the result of a wrongful injury by the employer.” Hailing v. Industrial Comm’n of Utah, 71 Utah 112, 120-121, 263 P. 78, 80-81.
The Court said: “. . . It is true, a distinction has been taken, in some cases, between simple negligence, and great or gross negligence; and it is said, that one who acts gratuitously is liable only for the latter. But this ease does not call upon us to define the difference, (if it be capable of definition,) as the verdict has found this to be a case of gross negligence.
“When carriers undertake to convey persons by the powerful but dangerous agency of steam, public policy and safety require that they be held to the greatest possible care and diligence. And whether the consideration for such transportation be pecuniary or otherwise, the personal safety of the passengers should not be left to the sport of chance or the negligence of careless agents. Any negligence, in such cases, may well deserve the epithet of ‘gross.’ ”
A note appended to the Lockwood case as reported in 21 L. Ed. 627 cites cases in support of the position there taken that the Adams rule was contrary to the weight of judicial authority. And see 22 L. R. A. 794; 37 L. R. A. (N. S.) 235; 37 Ann. Cas. 623.
The Transportation Act of 1940, 54 Stat. 899, 900, 49 U. S. C. 1 (7), expanded the groups eligible to ride on “free passes.” But no language used in that Act and no legislative history that I have found indicates any congressional knowledge of the existence of the penalizing Adams rule, much less approval of it. Far from indicating a purpose to acquiesce in any kind of reduced employee protection, Congress in § 7 (2) (f) of that Act, 49 U. S. C. § 5 (2) (f), provided a new and extraordinary protection for employees whose jobs might be affected by railroad mergers and consolidations. See Sen. Rep. No. 433, 76th Cong., 1st Sess., 4, 21; H. R. Rep. No. 2832, 76th Cong., 3d Sess., 68-69; Interstate Commerce Comm’n v. Railway Labor Assn., 315 U. S. 373, 379-380.
40 Cong. Rec. 7741, 7851-7852, 7920-7940, 7978-7998. The following statement is typical of the sentiment that brought into the Hepburn Act the exception that permitted issuance of passes to and use of them by employees: “While I am on my feet I will take the opportunity to say in regard to the pass amendment or provision that I have received, as other Senators have, a great many telegrams from railway employees and from organizations of railway employees protesting against any provision being incorporated here that will prevent them from being supplied with or from accepting free transportation. I shall not take time to discuss that, as it has been fully discussed. I simply wish to say that I fully agree with them, and I believe that we ought not to enact any such legislation, and should we do so it would, in my judgment, be perpetrating a very great injustice upon those people. The matter of free transportation, as the Senator from Wisconsin [Mr. Spooner] said yesterday, enters partly into the consideration for their employment, and we have no moral right to deprive them of that privilege.” 40 Cong. Rec. 7981. See also id. at 7984-7985. See Sen. Rep. No. 1242, 59th Cong., 1st Sess., Views of Mr. Tillman and Mr. Newlands, pp. 10, 16; 1 Sharfman, The Interstate Commerce Commission 44 (1931); Sassaman v. Pennsylvania R. Co., 144 F. 2d 950, 956, nn. 7 and 8.
The Boering case was supported by the following statement: “The result we have reached conforms the law applicable to the present issue to that moral sense which justly holds those who accept gratuities and acts of hospitality to perform the conditions on which they are granted.” 193 U. S. at 451.
Railroad Co. v. Lockwood, 17 Wall. 357, 368. See Jacobus v. St. Paul & C. R. Co., 20 Minn. 125, 130: “Whether the case be one of a passenger for hire, — a merely gratuitous passenger, — or of a passenger upon a conditioned free pass, as in this instance, the interest of the state in the safety of the citizen is obviously the same. The more stringent the rule as to the duty and liability of the carrier, and the more rigidly it is enforced, the greater will be the care exercised, and the more approximately perfect the safety of the passenger.”
Reference
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- FRANCIS Et Al. v. SOUTHERN PACIFIC CO.
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