CSX Transportation, Inc. v. Easterwood
Opinion of the Court
delivered the opinion of the Court.
Thomas Easterwood was killed on February 24, 1988 when a train owned and operated by petitioner and cross-respondent CSX Transportation, Inc., collided with the truck he was driving at the Cook Street crossing in Cartersville, Georgia. His widow, respondent and cross-petitioner Lizzie Easterwood, brought this diversity wrongful-death action, which alleges, inter alia, that CSX was negligent under Georgia law for failing to maintain adequate warning devices at the crossing and for operating the train at an excessive speed. The issue before the Court is the extent to which the Federal Railroad Safety Act of 1970 (FRSA), 84 Stat. 971, as amended, 45 U. S. C. §§421-447 (1988 ed. and Supp. II), pre-empts these claims.
The District Court for the Northern District of Georgia granted summary judgment for CSX on the ground that both claims were pre-empted. 742 F. Supp. 676, 678 (1990). The Court of Appeals for the Eleventh Circuit affirmed in part and reversed in part, holding that respondent’s allegation of negligence based on the train’s speed was pre-empted, but that the claim based on the absence of proper warning devices was not. 933 F. 2d 1548, 1553-1556 (1991). Because Courts of Appeals have differed over the pre-emptive effect of FRSA on negligence suits against railroads, we granted the petitions of both parties. 505 U. S. 1217 (1992).
I
FRSA was enacted in 1970 “to promote safety in all areas of railroad operations and to reduce railroad-related accidents, and to reduce deaths and injuries to persons . . . .” 45 U. S. C. §421. To aid in the achievement of these goals,
In 1971, the Secretary, acting through the Federal Railroad Administration (FRA), promulgated regulations under FRSA setting maximum train speeds for different classes of track. See 49 CB'R §213.9 (1992). Also in 1971, and again in 1972, the Secretary duly reported to Congress on the
Where a state statute conflicts with, or frustrates, federal law, the former must give way. U. S. Const., Art. VI, cl. 2; Maryland v. Louisiana, 451 U. S. 725, 746 (1981). In the
According to § 434, applicable federal regulations may preempt any state “law, rule, regulation, order, or standard relating to railroad safety.” Legal duties imposed on railroads by the common law fall within the scope of these broad phrases. Cf. Cipollone v. Liggett Group, Inc., 505 U. S. 504, 522 (1992) (federal statute barring additional “ 'requirements] ’ . . . ‘imposed under State law’” pre-empts common-law claims); id., at 548-549 (Scalia, J., concurring in judgment in part and dissenting in part) (same). Thus, the issue before the Court is whether the Secretary of Transportation has issued regulations covering the same subject matter as Georgia negligence law pertaining to the maintenance of, and the operation of trains at, grade crossings. To prevail on the claim that the regulations have pre-emptive effect, petitioner must establish more than that they “touch upon” or “relate to” that subject matter, cf. Morales v. Trans World Airlines, Inc., 504 U. S. 374, 383-384 (1992) (statute’s use of “relating to” confers broad pre-emptive effect), for “covering” is a more restrictive term which indicates that pre-emption will lie only if the federal regulations substantially subsume the subject matter of the relevant state law. See Webster’s Third New International Dictionary 524 (1961) (in the phrase “policy clauses covering the situation,” cover means “to com
II
After filing an answer denying the allegations of negligence with respect to the warning devices at Cook Street and with respect to the train’s speed, petitioner moved for summary judgment on the ground that these claims were pre-empted. As the litigation comes to us, petitioner does not assert that the complaint fails to state a claim under Georgia law. The sole issue here is pre-emption, which depends on whether the regulations issued by the Secretary cover the subject matter of the two allegations, each of which we may assume states a valid cause of action.
As indicated above, the Secretary of Transportation has addressed grade crossing safety through a series of regulations. Each State receiving federal aid is required to establish a “highway safety improvement program” that establishes priorities for addressing all manner of highway hazards and guides the implementation and evaluation of
States are subject to further regulations governing the use of particular warning devices. For all projects, they must employ devices that conform to standards set out in FHWA’s Manual on Uniform Traffic Control Devices for Streets and Highways (MUTCD or Manual).
The regulations of 23 CFR pt. 924 do not of themselves support petitioner’s claim of pre-emption. These provisions establish the general terms of the bargain between the Federal and State Governments: The States may obtain federal funds if they take certain steps to ensure that the funds are efficiently spent. On its face, this federal effort to encourage the States to rationalize their decisionmaking has little to say about the subject matter of negligence law, because, with respect to grade crossing safety, the responsibilities of railroads and the State are, and traditionally have been, quite distinct. Before the enactment of FRSA, for example, Georgia’s authority over grade crossing improvements did not excuse a railroad’s liability in negligence for failing to maintain a safe crossing, see n. 5, supra, just as a jury finding
Likewise, the requirement that the States comply with the MUTCD does not cover the subject matter of the tort law of grade crossings. Petitioner’s contrary reading rests primarily on language that appears in Part VIII of the Manual, entitled “Traffic Control Systems for Railroad-Highway Grade Crossings”:
“[T]he highway agency and the railroad company are entitled to jointly occupy the right-of-way in the conduct of their assigned duties. This requires joint responsibility in the traffic control function between the public agency and the railroad. The determination of need and selection of devices at a grade crossing is made by the public agency with jurisdictional authority. Subject to such determination and selection, the design, installa*669 tion and operation shall be in accordance with the national standards contained herein.” Manual, at 8A-1.9
According to petitioner, the third sentence of this paragraph, combined with the directive in 23 CFR § 646.214(b)(1) that the States comply with the Manual, amounts to a determination by the Secretary that state governmental bodies shall bear exclusive responsibility for grade crossing safety.
Petitioner’s argument suffers from an initial implausibility: It asserts that established state negligence law has been implicitly displaced by means of an elliptical reference in a Government Manual otherwise devoted to describing for the benefit of state employees the proper size, color, and shape of traffic signs and signals. Not surprisingly, the Manual itself disavows any such pretensions: “It is the intent that the provisions of this Manual be standards for traffic control devices installation, but not a legal requirement for installation.” Manual, at 1A-4. The language on which petitioner relies undermines rather than supports its claim by acknowledging that the States must approve the installation of any protective device even as the railroads maintain “joint responsibility” for traffic safety at crossings. As is made clear in the FHWA’s guide to the Manual, the MUTCD provides a description of, rather than a prescription for, the allocation of responsibility for grade crossing safety between the Federal and State Governments and between States and railroads:
*670 “8A-6 Grade-Crossing Responsibility
“Jurisdiction
“Jurisdiction over railroad-highway crossings resides almost exclusively in the States. Within some States, responsibility is frequently divided among several public agencies and the railroad.” U. S. Dept, of Transportation, Federal Highway Administration, Traffic Control Devices Handbook (1983).
Rather than establishing an alternative scheme of duties incompatible with existing Georgia negligence law, the Manual disavows any claim to cover the subject matter of that body of law.
The remaining potential sources of pre-emption are the provisions of 23 CFR §§ 646.214(b)(3) and (4), which, unlike the foregoing provisions, do establish requirements as to the installation of particular warning devices. Examination of these regulations demonstrates that, when they are applicable, state tort law is pre-empted. However, petitioner has failed to establish that the regulations apply to these cases, and hence we find respondent’s grade crossing claim is not pre-empted.
As discussed supra, at 666-667, under §§ 646.214(b)(3) and (4), a project for the improvement of a grade crossing must either include an automatic gate or receive FHWA approval if federal funds “participate in the installation of the [warning] devices.”
The remaining question with respect to respondent’s grade crossing claim is whether the preconditions for the application of either regulation have been met. A review of the record reveals that they have not. Petitioner relies on an affidavit from an engineer for the Georgia Department of Transportation (DOT) which was submitted in support of its motion for summary judgment. The affidavit indicates that, in 1979-1980, the DOT decided to install a crossing gate at the West Avenue crossing in Cartersville. That gate could not be installed, however, without placing motion-detection devices at four adjacent crossings, including Cook Street. App. 16. The DOT therefore installed new circuitry at each crossing, and subsequently installed gates at West Avenue and each of the adjacent crossings except Cook Street. Although a gate was also planned for Cook Street and funds set aside for the project, no other devices were installed because the street’s width required the construction of a traffic
These facts do not establish that federal funds “participate[d] in the installation of the [warning] devices” at Cook Street. The only equipment installed was the motion-detection circuitry. Such circuitry does not meet the definition of warning devices provided in 23 CFR §§ 646.204(f) and (j) (1992).
H — 1 HH HH
Federal regulations issued by the Secretary pursuant to FRSA and codified at 49 CFR § 213.9(a) (1992) set maximum allowable operating speeds for all freight and passenger trains for each class of track on which they travel. The different classes of track are in turn defined by, inter alia, their gage, alinement, curvature, surface uniformity, and the number of crossties per length of track. See §§213.51-213.143. The track at the Cook Street crossing is class four, for which the maximum speed is 60 miles per hour. Although respondent concedes that petitioner’s train was traveling at less than 60 miles per hour,
Because the conduct of the automobile driver is the major variable in grade crossing accidents, and because trains offer far fewer opportunities for regulatory control, the safety regulations established by the Secretary concentrate on providing clear and accurate warnings of the approach of oncoming trains to drivers.
Read against this background, § 213.9(a) should be understood as covering the subject matter of train speed with respect to track conditions, including the conditions posed by grade crossings. Respondent nevertheless maintains that pre-emption is inappropriate because the Secretary’s primary purpose in enacting the speed limits was not to ensure safety at grade crossings, but rather to prevent derailments. Section 434 does not, however, call for an inquiry into the Secretary’s purposes, but instead directs the courts to determine whether regulations have been adopted that in fact cover the subject matter of train speed. Respondent also argues that common-law speed restrictions are preserved by the second saving clause of § 434, under which “a State may . .. continue in force an additional or more stringent law ... relating to railroad safety when necessary to eliminate or reduce an essentially local safety hazard, and when not incompatible with any Federal law, rule, regulation, order, or standard ....” The state law on which respondent relies is concerned with local hazards only in the sense that its application turns on the facts of each case. The common law of negligence provides a general rule to address all hazards caused by lack of due care, not just those owing to unique local conditions. Respondent’s contrary view would completely deprive the Secretary of the power to pre-empt state common law, a power clearly conferred by §434. At the least, this renders respondent’s reliance on the common law “incompatible with” FRSA and the Secretary’s regulations. We thus conclude that respondent’s excessive speed claim cannot stand in light of the Secretary’s adoption of the regulations in § 213.9.
We hold that, under the FRSA, federal regulations adopted by the Secretary of Transportation pre-empt respondent’s negligence action only insofar as it asserts that petitioner’s train was traveling at an excessive speed. Accordingly, the judgment of the Court of Appeals is
Affirmed.
See Karl v. Burlington Northern R. Co., 880 F. 2d 68, 75-76 (CA8 1989); Marshall v. Burlington Northern, Inc., 720 F. 2d 1149, 1154 (CA9 1983); Hatfield v. Burlington Northern R. Co., 958 F. 2d 320, 321 (CA10 1992).
The section reads:
“§ 434. National uniformity of laws, rules, regulations, orders, and standards relating to railroad safety; State regulation
“The Congress declares that laws, rules, regulations, orders, and standards relating to railroad safety shall be nationally uniform to the extent practicable. A State may adopt or continue in force any law, rule, regulation, order, or standard relating to railroad safety until such time as the Secretary has adopted a rule, regulation, order, or standard covering the subject matter of such State requirement. A State may adopt or continue in force an additional or more stringent law, rule, regulation, order, or standard relating to railroad safety when necessary to eliminate or reduce an essentially local safety hazard, and when not incompatible with any Federal law, rule, regulation, order, or standard, and when not creating an undue burden on interstate commerce.”
See U. S. Dept. of Transportation, Railroad-Highway Safety, Part I: A Comprehensive Statement of the Problem (1971); U. S. Dept. of Transportation, Railroad-Highway Safety, Part II: Recommendations for Resolving the Problem (1972).
The Court of Appeals found that, because the grade crossing regulations were promulgated pursuant to the Highway Safety Act (rather than FRSA), their pre-emptive effect is not governed by § 434. 933 F. 2d 1548, 1555 (CA11 1991). As petitioner notes, this distinction does not apply to 23 CFR pts. 646 and 1204, which were promulgated under the authority of both statutes. See Brief for Petitioner in No. 91-790, p. 36. In any event, the plain terms of § 434 do not limit the application of its express pre-emption clause to regulations adopted by the Secretary pursuant to FRSA. Instead, they state that any regulation “adopted” by the Secretary may have pre-emptive effect, regardless of the enabling legislation. At the very least, the Court of Appeals’ conclusion is inappropriate with respect to regulations issued under 23 U. S. C. § 130, given that the latter is a direct outgrowth of FRSA.
Because the litigation comes to us in this posture, neither party provides a description of Georgia statute or case law dealing with train speeds or the duties of railroads with respect to grade crossings. However, we note that Georgia Code Ann. §32-6-190 (1991) provides that railroads are under a duty to maintain their grade crossings “in such condition as to permit the safe and convenient passage of public traffic.” While 'final authority for the installation of particular safety devices at grade crossings has long rested with state and local governments, see, e. g., § 40-6-25, this allocation of authority apparently does not relieve the railroads of their duty to take all reasonable precautions to maintain grade crossing safety, Southern R. Co. v. Georgia Kraft Co., 188 Ga. App. 623, 624, 373 S. E. 2d 774, 776 (1988), including, for example, identifying and bringing to the attention of the relevant authorities dangers posed by particular crossings.
. Parallel provisions require state programs to systematically identify hazardous crossings and to develop “a program for the elimination of hazards.” 23 CFR §1204.4 (1992), Highway Safety Program Guideline No. 12(G).
U. S. Dept. of Transportation, Federal Highway Administration, Manual on Uniform Traffic Control Devices for Streets and Highways (1988). The Manual has been incorporated into federal regulations promulgated by the Secretary. See 23 CFR §§666.601-665.603 (1992).
23 CFR § 646.214(b)(3) reads:
“(3)(i) Adequate learning devices under § 646.214(b)(2) or on any project where Federal-aid funds participate in the installation of the devices are*667 to include automatic gates with flashing light signals when one or more of the following conditions exist:
“(A) Multiple main line railroad tracks.
“(B) Multiple tracks at or in the vicinity of the crossing which may be occupied by a train or locomotive so as to obscure the movement of another train approaching the crossing.
“(C) High Speed train operation combined with limited sight distance at either single or multiple track crossings.
“(D) A combination of high speeds and moderately high volumes of highway and railroad traffic.
“(E) Either a high volume of vehicular traffic, high number of train movements, substantial numbers of schoolbuses or trucks carrying hazardous materials, unusually restricted sight distance, continuing accident occurrences, or any combination of these conditions.
“(F) A diagnostic team recommends them.
“(ii) In individual cases where a diagnostic team justifies that gates are not appropriate, FHWA may find that the above requirements are not applicable.”
For the definition of “diagnostic team,” see 23 CFR § 646.204(g) (1992).
Petitioner also notes similar language contained in the Manual, at 8D-1:
“The selection of traffic control devices at a grade crossing is determined by public agencies having jurisdictional responsibility at specific locations.
“. . . Before a new or modified grade crossing traffic control system is installed, approval is required from the appropriate agency within a given State.”
As petitioner has not suggested that the Cook Street crossing is located in, or near the terminus of, a federal-aid highway project, the issue of the proper application of 23 CFR § 646.214(b)(2) (1992) is not before us.
The relevant definitions state:
“(i) Passive warning devices means those types of traffic control devices, including signs, markings and other devices, located at or in advance of grade crossings to indicate the presence of a crossing but which do not change aspect upon the approach or presence of a train.
“(j) Active warning devices means those traffic control devices activated by the approach or presence of a train, such as flashing light signals, automatic gates and similar devices, as well as manually operated devices and crossing watchmen, all of which display to motorists positive warning of the approach or presence of a train.” 23 CFR §§646.204© and (j) (emphases added).
We reject petitioner’s claim of implied “conflict” pre-emption, Brief for Petitioner in No. 91-790, pp. 40-43, on the basis of the preceding analysis. Of course we express no opinion on how the state-law suit against the railroad should come out in light of the decisions taken by Cartersville and the Georgia DOT with respect to the Cook Street project.
Affidavits submitted by the parties indicate that the train was moving at a rate of 32 to 50 miles per hour.
See U. S. Dept. of Transportation, Railroad-Highway Safety, Part I: A Comprehensive Statement of the Problem iv (1971) (“Nearly all grade crossing accidents can be said to be attributable to some degree of ‘driver error.’ Thus, any effective program for improving [crossing] safety should be oriented around the driver and his needs in approaching, traversing, and leaving the crossing site as safely and efficiently as possible”); see also U. S. Department of Transportation, Federal Highway Administration, Rail-Highway Crossings Study 8-1 (1989) (“[T]he most influential predictors of train-vehicle accidents at rail-highway crossings are type of warning devices installed, highway traffic volumes, and train volumes. Less influential, but sometimes significant [is] maximum train speed ...”).
Petitioner is prepared to concede that the pre-emption of respondent’s excessive speed claim does not bar suit for breach of related tort law duties, such as the duty to slow or stop a train to avoid a specific, individual
Concurring in Part
with whom Justice Souter joins, concurring in part and dissenting in part.
I believe that the Federal Railroad Safety Act and the Secretary of Transportation’s implementing regulations preempt neither of respondent/cross-petitioner Easterwood’s state-law tort claims. I therefore concur in Parts I and II of the Court’s opinion but dissent from the remainder.
In Part III of its opinion, the Court holds that the Secretary’s regulation setting “maximum allowable operating speeds for all freight and passenger trains” pre-empts Eas-terwood’s claim that CSX “breached its common-law duty to operate its train at a moderate and safe rate of speed” below the federally specified maximum speed at the Cook Street crossing. Ante, at 673 (citing 49 CFR § 213.9(a) (1992)). The Court concedes, however, that “the provisions of § 213.9(a) address only the maximum speeds at which trains are permitted to travel given the nature of the track on which they operate.” Ante, at 674 (emphasis added). Likewise, CSX makes no effort to characterize any duty to reduce speed under Georgia law as a state-law obligation based on track safety, the precise “subject matter” “cover[ed]” by the Secretary’s speed regulation. 45 U. S. C. §434. Indeed, CSX admits that it shoulders a state-law duty to take measures
The Secretary’s own explanation of his train speed regulation confirms my view that the federal speed standard does not pre-empt state regulation of train speed as a method of ensuring crossing safety. When the Secretary promulgated his speed regulation in conjunction with a set of track safety standards, he declined to consider “variable factors such as population density near the track” because these matters fell “beyond the scope of the notice of proposed rule making.” 36 Fed. Reg. 20336 (1971). See also id., at 11974 (notice of proposed rulemaking).
Only by invoking a broad regulatory “background” can the Court conclude that “§ 213.9(a) should be understood as covering the subject matter of train speed with respect to track conditions.” Ante, at 675. It rests in part on the Manual on Uniform Traffic Control Devices for Streets and Highways, which has no pre-emptive effect by its own terms or under the federal regulations requiring compliance with it. See ante, at 668-670; 23 CFR § 646.214(b)(1) (1992) (permitting “State standards” to “supplement]” the Manual). The Court goes so far as to rely on a federal crossing gate regulation that concededly does not govern the Cook Street site. Compare ante, at 674 (“[Automatic gates are required for federally funded projects”), with ante, at 672 (“These facts do not establish that federal funds ‘participate^] in the installation of the [warning] devices’ at Cook Street”) (quoting 23 CFR § 646.214(b)(3)(i) (1992)). Rather than attempt to excavate such scant evidence of pre-emption, I would follow the most natural reading of the Secretary’s regulations: The Federal Government has chosen neither to regulate train speed as a factor affecting grade crossing safety nor to prevent States from doing so. The Court’s contrary view of these regulations’ pre-emptive effect may well create a jurisdictional gap in which States lack the power to patrol the potentially hazardous operation of trains at speeds below the applicable federal limit.
I would uphold Easterwood’s right to pursue both of the common-law tort claims at issue. Accordingly, I respectfully dissent from the Court’s conclusion that the excessive speed claim is pre-empted.
See generally Ga. Code Ann. § 46-8-190(b) (1992) (requiring an “engineer operating [a] locomotive” to “exercise due care in approaching [a] crossing, in order to avoid doing injury to any person or property which may be on the crossing”); Georgia Railroad & Banking Co. v. Cook, 94 Ga. App. 650, 651-652, 95 S. E. 2d 703, 706-707 (1956); Atlantic Coast Line R. Co. v. Bradshaw, 34 Ga. App. 360, 129 S. E. 304 (1925).
I reject the Solicitor General’s contention that “[t]he Secretary has concluded that reduced train speeds do not represent an appropriate method of preventing crossing accidents.” Brief for United States as Amicus Curiae 29. The very source cited in support of this proposition states that “[i]f a collision [at a crossing] seems unavoidable,” a locomotive engineer “must decide whether the train should be slowed or put into emergency mode.” Rail-Highway Crossings Study, Report of the Secretary of Transportation to the United States Congress 5-10
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