Norfolk Southern Railway Co. v. Sumner
Norfolk Southern Railway Co. v. Sumner
Opinion
This is an appeal by a railroad corporation from a judgment in favor of one of its employees in an action brought under the Federal Employers' Liability Act ("FELA"),
FACTS AND PROCEEDINGS
In accordance with familiar principles of appellate review, the facts will be stated in the light most favorable to the prevailing party at trial. Mark A. Sumner (the plaintiff) was an employee of Norfolk Southern Railway Company (the defendant), a corporation operating a railroad as a common carrier in interstate commerce.
On February 26, 2013, the plaintiff was working as the conductor of a northbound Norfolk Southern freight train running from Greensboro, North Carolina through Danville, Virginia and points north. The temperature was in the 30's and it was cloudy with light mist or rain. The yardmaster at Greensboro warned the train's engineer, Teddy Lester, that some ice might be encountered farther north. The engineer had orders to proceed through the railroad yard at Danville and stop at a point about two miles north of the yard where a side track called the "East Bradley pass track" diverged from the northbound main line. The train crew was directed to make a "cut," a designated series of cars that were to be separated from the train and left on the side track to be picked up by another locomotive later for delivery to a nearby destination. The train's remaining cars were then to be reunited on the main line and continue northbound. The train was stopped on the main line at a point where the last car of the "cut" was just south of the switch to the side track.
As conductor, the plaintiff's duties required him to separate the last car of the "cut" from those to be left on the main line, to board the last car of the "cut," and, using his hand-held radio, to call the engineer to proceed. The locomotive then pulled the "cut" north of the switch to the side track and stopped on the conductor's signal. This part of the operation was performed without incident.
Thereafter, the evidence is entirely circumstantial as to the fall that resulted in the plaintiff's injury. The plaintiff had no memory of the event and there were no eyewitnesses to the fall. The conductor's duties required him to dismount the last car in the "cut" and walk south, away from the locomotive, turning off an electric timing device on the switch, and continue walking south nearly 200 feet to release the "derail," a protective device to prevent movement of cars on the side track. He would then return north to throw the switch and call the engineer to back the "cut" onto the side track.
After the plaintiff dismounted and began to walk south, the engineer expected a radio call from him but heard nothing. He called the plaintiff but there was no response. Concerned, he dismounted the locomotive and began walking south in the "walk path" that ran east of and parallel to the side track. Close to the east edge of the path was a steep embankment that dropped down a 70-degree slope into a ravine. Looking over the edge of the embankment, the engineer saw movement and recognized the plaintiff lying about 36 feet below. The engineer climbed down to the plaintiff with some difficulty, using one hand to support himself. The plaintiff was lying on his back, with his head uphill. At trial, the engineer testified that the plaintiff was conscious but "very disoriented." The plaintiff said: "What are we doing here? What happened?" He complained of great pain in his shoulder and chest. He had bitten through his tongue. Using the plaintiff's handheld radio, which was lying nearby, the engineer called the Danville Yardmaster who in turn called a team of paramedics to come to the scene. The team tied the plaintiff to a "backboard," placed it inside a fiberglass "sled," and with ropes pulling from above and men pushing from below, hoisted the plaintiff out of the ravine.
The plaintiff was taken to the Danville Medical Center where he was treated for his injuries. At trial, two medical expert witnesses testified by video deposition. Steven Norris, M.D., an orthopedic surgeon, diagnosed the plaintiff with a displaced fracture of the clavicle (i.e., collarbone) and three fractured ribs. This required surgery on two occasions: the first to realign the fragments of the clavicle, to secure them with a metal pin, and the second to remove the pin when healing was well advanced. David Meyer, M.D., a neurologist, diagnosed a brain concussion. It was his opinion that this had caused the plaintiff to suffer amnesia, which destroyed his memory of the traumatic event itself and for the events during the period of time immediately preceding and following it. In some patients, he said, fragmentary recollections of these events would occur in later years, but others would never recall them. He testified that brain scans showed no condition that would have caused the plaintiff to have a seizure or spontaneous "blackout." The doctors found the plaintiff to be disabled by his injuries but able to return to work eight months after his fall.
The plaintiff brought this action in the Circuit Court of the City of Danville to recover damages under the FELA for his injuries. The case culminated in a three-day jury trial wherein the jury found for the plaintiff and awarded him damages in the amount of $336,293. The court entered judgment on the verdict and we awarded the defendant an appeal.
At trial, the plaintiff testified that he had no memory of any events after he dismounted the train to begin his walk south. He said: "It's like somebody flipped a switch." He had no memory of his hospital stay. He testified that he later had a vague, dreamlike recollection of Teddy Lester, the engineer, looking down at him and of being placed on a "backboard." He said that continuous, accurate memory did not begin again until he was in therapy in July, five months after the accident. As stated above, there were no eyewitnesses to the fall.
The plaintiff called as an expert witness Raymond Duffany as an expert in "railroad engineering practices, including track construction, inspection, maintenance and repair, especially with respect to railroad walkways." There was no objection to his qualifications. He had a degree in Civil Engineering and had been working in the railroad industry since 1975 as a construction engineer, an executive and as a safety consultant. He examined the scene of the accident in 2015, two years after the plaintiff's fall. He went over the scene with Terry Lester, the engineer, and examined depositions of other witnesses and photographs of the scene taken at the time of the accident. He concluded that the conditions he observed were substantially unchanged from those existing at the time of the plaintiff's fall.
The East Bradley pass track ran parallel to, and just east of the Norfolk Southern northbound main line. The terrain on the east side of the pass track sloped downhill at an angle of 20 degrees to the walkway the railroad provided for its employees to walk between the switch to the north and the derail to the south. The walkway ran along the foot of this slope. The eastern edge of the walkway extended to a cliff that dropped at an angle of approximately seventy degrees into a ravine over 30 feet deep. No guardrail or other protection was provided to prevent falls into the ravine. Both tracks, the 20-degree slope down to the walkway, and the walkway itself, were covered with "track ballast." These facts were undisputed at trial and were shown to the jury by photographs admitted into evidence.
Duffany testified that, at the point where the plaintiff had evidently fallen and gone over the edge of the embankment, the walkway was only 15 inches wide. At the north end, beside the switch, it was about 48 inches wide, but rapidly narrowed to 15 inches and remained at that approximate width all the way south to the derail. In his opinion, those conditions did not afford railroad employees a safe place in which to work. He testified that safety standards accepted by railroads throughout the country specify a minimum width of 24 inches for walkways. 1 He said that a walkway 24 inches wide "gives you that extra margin you have to recover from a possible fall or an area [in which] to fall [ ] other than over the cliff." He said that this is especially important when walking over ballast rock "which moves and tends to roll under foot traffic." A 24-inch walkway "give[s] you an adequate place to walk [and] if you do stumble on the ballast or trip, you have room to recover." The grade of a walkway, he testified, should be relatively flat, not exceeding seven to eight degrees in slope. For that reason, the area west of the walkway was unavailable to foot traffic as it sloped upward at an angle of 20 degrees. This state of affairs confined users of the walkway to a narrow and unprotected passage between the toe of the slope and the edge of the cliff.
Duffany also testified that the walkway was covered with "track ballast," defined as large crushed rock pieces 2 to 2 ½ inches in diameter used to support and stabilize the main line of the railroad. This large ballast is unsafe for foot traffic because of its tendency to roll or slide underfoot. Instead, he said that smaller pieces of crushed rock should be used in railroad yards and on walkways. This material, called "yard ballast," was about ¾ inch in diameter, compacted well, was stable, and made a smooth walking surface.
ANALYSIS
The FELA,
What constitutes negligence under the FELA is a federal question and federal decisions govern such cases in state courts.
Norfolk & W. Ry. v. Hodges
,
Under the FELA, a railroad has a non-delegable and continuing duty to use reasonable care to furnish its employees a safe place to work.
Norfolk & W. Ry.
,
The issue of proximate cause is also treated more leniently in FELA cases than in common-law tort actions. In
Rogers v. Missouri Pacific Railroad
,
At the conclusion of the evidence, the defendant moved the court to strike on the ground that the evidence was insufficient to go to the jury. The court denied the motion.
The court then gave instructions agreed upon by counsel as correct statements of the applicable law, although the defendant preserved its objection to the court's ruling on its motion to strike. Among other things, the instructions told the jurors that there were two issues for them to decide: whether the defendant was negligent and if so, did that negligence play a part, no matter how small, in producing the plaintiff's injury. The jurors were told that they could use their common sense in judging the evidence and could draw all reasonable inferences from it. They were also instructed that the defendant had a continuing duty to afford the plaintiff a reasonably safe place to work and to maintain and keep it in a safe condition. A failure to perform these duties was negligence. As instructions given without objection, these instructions became the law of the case.
Online Res. Corp. v. Lawlor
,
On appeal, the defendant assigns two errors: (1) That the circuit court erred in admitting Duffany's testimony as it exceeded the scope of his expertise, was speculative and not based on facts in evidence "regarding how a wider walk path might have prevented some falls," and (2) That the court erred in failing to grant the defendant's motion to strike and motion to set aside the verdict because the evidence was insufficient to create a jury issue with respect to causation.
The admission of expert testimony rests within the sound discretion of the trial court and will not serve as a cause of reversal in the absence of an abuse of discretion.
Keesee v. Donigan
,
The defendant objected at trial to Duffany's testimony that a railroad walkway should have a minimum width of 24 inches to be safe and that the walkway at the point above which the plaintiff was found was only 15 inches wide and therefore not in compliance with industry safety standards. The court overruled the objection. The defendant's opening brief expressly waives that objection on appeal. The only remaining assertion that Duffany made bearing on causation was the danger of 2 ½ inch pieces of ballast rock shifting underfoot, leading to stumbling, tripping and possible falling. The defendant makes no challenge to this evidence on appeal. Moreover, to the extent that testimony fell outside the range of expert opinion, it was merely declaratory of matters within the common knowledge and experience of the jury. There is no error in permitting a witness to refer to such matters and the jury was expressly instructed that it could rely on its common sense in considering any testimony. Accordingly, we find no merit in the defendant's first assignment of error.
There were two issues before the jury, negligence and causation. The second assignment of error, like the first, does not address negligence. The jury's finding that the defendant was negligent in failing to provide the plaintiff a safe place to work is, for that reason, not before us. The second assignment of error presents the question whether the evidence was sufficient to create a jury issue with regard to causation.
In FELA cases, causation may be proved by circumstantial evidence alone and does not require direct evidence.
Norfolk & W. Ry.
,
The present case is one of a small but instructive group of FELA cases in which a railroad worker suffered injury or death while performing his duties where there were no eyewitnesses to the event. In
Lavender v. Kurn
,
An even greater "measure of speculation and conjecture,"
Because the evidence of causation in unwitnessed cases is often entirely circumstantial and the result must depend on the inference to be drawn from the circumstantial evidence, the Supreme Court stated that it is not the function of an appellate court to search the record in such cases for conflicting circumstantial evidence "to take the case away from the jury on the theory that the proof gives equal support to inconsistent and uncertain inferences."
Tennant v. Peoria & Pekin Union Ry.
,
In
Bly v. Southern Ry.
,
CONCLUSION
Because the issue of the defendant's negligence in failing to furnish its employees a safe place to work is not before us on this appeal, the sole question remaining is whether the evidence was sufficient to create a jury issue on causation. There was evidence to support the inference that the defendant's negligence played a part, however small, in causing the fall which was the source of the plaintiff's injury. The evidence may also have been sufficient to support an inference that the plaintiff's fall resulted from causes unrelated to the defendant's negligence. Under the settled principles governing FELA cases, that juxtaposition created a jury issue as to which inference should be drawn.
See
Lavender
,
Armed with a jury verdict in his favor, approved by the trial court, the plaintiff is entitled to have the evidence, and all the inferences that may reasonably be drawn from it, viewed in the light most favorable to him,
RGR, LLC v. Settle
,
We find no error in the judgment of the circuit court and accordingly will affirm it.
Affirmed .
I respectfully dissent because, in my view, the plaintiff's evidence failed to establish the foundational "but for" causation that is required to establish the railroad's liability. Although the FELA has diluted the standard for proximate causation, a plaintiff must still prove "but for" causation. The plaintiff's theory was that the railroad was negligent in that it provided only 15 inches of level walkway instead of 24 inches, which, according to the plaintiff's expert, is the industry standard. The plaintiff theorized that the extra nine inches in width would have allowed the plaintiff to recover his step and avoid the fall. No evidence, however, supported this theory. No witness established where the plaintiff was standing or how he fell. There is, therefore, no basis in fact upon which a jury could draw an inference that the extra width would have spared the plaintiff from a fall, and the plaintiff thus failed to establish that "but for" the railroad's negligence, he would not have fallen.
I. THE FELA REQUIRES THE PLAINTIFF TO PROVE "BUT FOR" CAUSATION.
Causation is ordinarily a two-step inquiry. The first step is factual causation. "The requirement of factual causation is often described as the 'but for' or
sine qua non
rule. Generally a person is not liable to another unless[,] but for his negligent act[,] the harm would not have occurred."
Wells v. Whitaker
,
While, as the majority notes, "[t]he issue of proximate cause is also treated more leniently in FELA cases than in common-law tort actions,"
ante
at 813, the plaintiff's burden of proving "but for" causation remains intact. In
CSX Transportation, Inc. v. McBride
,
II. THE PLAINTIFF'S EVIDENCE UTTERLY FAILS TO PROVE "BUT FOR" CAUSATION.
No evidence established "but for" causation. Neither the plaintiff nor any other witness could testify about how the accident occurred. Sumner has no memory about his fall. No other witness was there to observe the fall. The plaintiff's expert opined that the level portion of the walkway was too narrow: it was 15 inches wide when it should have been, at a minimum, 24 inches wide. The plaintiff's expert was unable to provide a causal link between the narrowness of the walkway and Sumner's fall. He was asked the following question:
Q. You have no idea what role, if any, that that walk path could have played, he could have been looking over his shoulder, he could have been distracted, he could have been not paying attention, you have no idea, all we know is that he was walking south somewhere; isn't that true?
A. Correct. [App. 150]
The plaintiff's theory was that a wider path would have provided an "extra margin ... to recover from a possible fall." The evidence establishes only that the plaintiff fell. No evidence establishes where the plaintiff was situated when he fell. He could have been walking in the middle of the path, on the edge of the path, or off of the path altogether. No evidence establishes how he fell, or why he fell. From this evidence, a number of possible conclusions emerge:
• The plaintiff slipped, tripped, or stumbled in such a way that he pitched forward and fell with no opportunity to recover;
• The plaintiff fell because he lost consciousness due to some medical episode;
• The plaintiff was walking on the edge of the path such that the hypothetical extra width would not have helped him recover;
• The plaintiff was not walking on the level portion of the path at all;
OR
• The plaintiff was positioned in the path and slipped, tripped, or stumbled in such a way that the extra inches would, in fact, have helped him recover his step and he would not have fallen.
There is no evidence that justifies a factual finding that this final possibility is the correct one - that but for a few extra inches of width on the level portion of the path, the plaintiff would have recovered and would not have fallen down the embankment.
III. PRECEDENT DOES NOT ABROGATE THE BEDROCK REQUIREMENT THAT A PLAINTIFF PROVE "BUT FOR" CAUSATION.
None of the cases cited by the majority supports a conclusion that juries may base a verdict on sheer speculation. In
Lavender v. Kurn
,
The railroad's theory was that the employee had been attacked by vagrants who were known to ride the rails.
The plaintiff's theory was that the decedent employee was struck by the curled end or tip of a mail hook that protruded from the train as the train was backing up.
In short, there was conflicting evidence from which the jury could draw inferences either in favor of the plaintiff's theory or the railroad's theory. As the Court stated:
Whenever facts are in dispute or the evidence is such that fair-minded men may draw different inferences, a measure of speculation and conjecture is required on the part of those whose duty it is to settle the dispute by choosing what seems to them to be the most reasonable inference. Only when there is a complete absence of probative facts to support the conclusion reached does a reversible error appear. But where, as here, there is an evidentiary basis for the jury's verdict, the jury is free to discard or disbelieve whatever facts are inconsistent with its conclusion.
In
Gallick v. Baltimore & Ohio Railroad Company
,
(1) insects were seen on, over and about this stagnant pool;
(2) the employee stood near the pool for about a half a minute; then he started to walk away and was bitten on the leg after he took a few steps, perhaps one or two seconds later;
(3) the employee had at times seen insects of about the same size as that which bit him crawling over the dead rats and pigeons in the stagnant pool;
(4) two medical witnesses testified that stagnant, rat-infested pools breed and attract insects; and
(5) the jury specifically found that the pool accumulated and attracted bugs and vermin.
Finally, in
Bly v. Southern Railway Co.
,
The railroad argued that the employee could have fallen in any number of ways that did not implicate the absence of a walkway on the bridge.
Id. at 175,
We reversed the judgment of the trial court. We observed that "[t]he focal point of judicial review is the reasonableness of the particular inference or conclusion drawn by the jury."
Id. at 175,
There are some superficial similarities between the instant case and
Bly
: the plaintiff fell and no one witnessed the accident. The similarities end there. The facts presented in
Bly
permitted the jury to link the negligence of the defendant to the plaintiff's death. The railroad required the plaintiff to perform a dangerous, gymnastic-style maneuver, in the dark, to alight upon a bridge - and plunge to his death if he got it wrong. The plaintiff's body was found approximately under the point on the bridge where the caboose rested.
Id. at 170,
When a plaintiff presents sufficient circumstantial evidence that permits a factfinder to draw inferences from that evidence, as in the cases above, it is the reviewing Court's duty to see to it that the jury has the opportunity to weigh the evidence. Conversely, when evidence of causation is absent, a court has a duty to grant a motion to strike.
See
Garza v. Norfolk S. Ry. Co.
,
This case bears a striking resemblance to
Fedorczyk v. Caribbean Cruise Lines, Ltd.
,
The trial court granted summary judgment in favor of the defendant, and the Third Circuit affirmed.
Here, like in
Fedorczyk
, the record is devoid of any evidence tending to show what caused the plaintiff to fall. It is possible in this case that Sumner fell because the walkway was too narrow, just like it is possible that Fedorczyk fell because of inadequate stripping in the bathtub. But the law requires more. "A mere possibility of causation is not enough; and when the matter remains one of pure speculation or conjecture, or the probabilities are at best evenly balanced, it becomes the duty of the court to direct a verdict for the defendant."
IV. SUMMARY AND CONCLUSION.
The FELA holds railroads liable for employees' injuries "
resulting
in whole or in part from [carrier] negligence."
As one appellate court observed, some FELA cases have been submitted to juries based upon evidence "scarcely more substantial than pigeon bone broth."
Williams v. Nat'l R.R. Passenger Corp.
,
Duffany testified that these standards are specified by safety codes published by railroad safety engineering associations, are specified by safety manuals used by major trans-continental railroads and are codified into law in four states.
An employee's contributory negligence, however, may be considered by the fact-finder in fixing the quantum of damages.
Reference
- Full Case Name
- NORFOLK SOUTHERN RAILWAY COMPANY v. Mark A. SUMNER
- Status
- Published