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NOTICE: This opinion is subject to formal revision before publication in
the preliminary print of the United States Reports. Readers are
requested to notify the Reporter of Decisions, Supreme Court of the
United States, Washington, D.C. 20543, of any typographical or other
formal errors, in order that corrections may be made before the
preliminary print goes to press.
SUPREME COURT OF THE UNITED STATES
--------
Nos. 91-790 AND 91-1206
--------
CSX TRANSPORTATION, INC., PETITIONER
91-790 v. __
LIZZIE BEATRICE EASTERWOOD
LIZZIE BEATRICE EASTERWOOD, PETITIONER
91-1206 v. __
CSX TRANSPORTATION, INC.
ON WRIT OF CERTIORARI TO THE UNITED
STATES COURT OF APPEALS FOR THE ELEVENTH
CIRCUIT
[April 21, 1993]
JUSTICE WHITE 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 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. SS421-447 (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 91-790 & 91-1206 - OPINION
2 CSX TRANSPORTATION, INC. v. EASTERWOOD ____
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. ___ (1992). (Ftnote. 1) We now affirm. (Ftnote. 1)
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. S421. To aid in the achievement of
these goals, the Act specifically directs the Secretary of Transportation to
study and develop solutions to safety problems posed by grade crossings. S433.
In addition, the Secretary is given broad powers to "prescribe, as necessary,
appropriate rules, regulations, orders, and standards for all areas of railroad
safety . . . ." S431(a). The pre-emptive effect of these regulations is
governed by S434, which contains express saving and pre-emption
clauses. (Ftnote. 2) Thus, the States are permitted to "adopt or (Ftnote. 2)
____________________
1) See Karl v. Burlington Northern R. Co., 880 F. 2d 68, 75-76 (CA8 1989); 1) _____ __________________________
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). __________________________
2) The Section reads: 2)
"S434. 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." 91-790 & 91-1206 - OPINION
CSX TRANSPORTATION, INC. v. EASTERWOOD 3 ____
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." Even
after federal standards have been promulgated, the States may adopt more
stringent safety requirements "when necessary to eliminate or reduce an essen-
tially local safety hazard," if those standards are "not incompatible with"
federal laws or regulations and not an undue burden on interstate commerce.
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 CFR S213.9 (1992). Also in 1971, and again
in 1972, the Secretary duly reported to Congress on the problem of grade
crossings and on possible solutions. (Ftnote. 3) Congress responded by enacting (Ftnote. 3)
the Highway Safety Act of 1973, Title II of the Act of Aug. 13, 1973, 87 Stat.
282, as amended, note following 23 U. S. C. S130. This Act makes federal funds
available to the States to improve grade crossings, in return for which the
States must "conduct and systematically maintain a survey of all highways to
identify those railroad crossings which may require separation, relocation, or
protective devices, and establish and implement a schedule of projects for this
purpose." 23 U. S. C. S130(d). Further conditions on the States' use of
federal aid to improve grade crossings have been set out in regulations promul-
gated by the Secretary through the Federal Highway
____________________
3) See U. S. Dept. of Transportation, Railroad-Highway Safety, Part I: A 3)
Comprehensive Statement of the Problem (1971); U. S. Dept. of Transportation,
Railroad-Highway Safety, Part II: Recommendations for Resolving the Problem
(1972). 91-790 & 91-1206 - OPINION
4 CSX TRANSPORTATION, INC. v. EASTERWOOD ____
Administration (FHWA) under FRSA and the Highway Safety Act. See 23 CFR pts.
646, 655, 924, 1204 (1992). It is petitioner's contention that the Secretary's
speed and grade crossing regulations "cove[r] the subject matter" of, and
therefore pre-empt, the state law on which respondent
relies. (Ftnote. 4) (Ftnote. 4)
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 interest of avoiding unintended encroachment on the
authority of the States, however, a court interpreting a federal statute
pertaining to a subject traditionally governed by state law will be reluctant to
find pre-emption. Thus, pre-emption will not lie unless it is "the clear and
manifest purpose of Congress." Rice v. Santa Fe Elevator Corp., 331 U. S. 218, ____ ________________________
230 (1947). Evidence of pre-emptive purpose is sought in the text and structure
of the statute at issue. Shaw v. Delta Air Lines, Inc., 463 U. S. 85, 95 ____ ______________________
(1983). If the statute contains an express pre-emption clause, the task of
statutory construction must in the first instance focus on the plain wording of
the clause, which necessarily contains the best evidence of Congress' pre-
emptive intent.
____________________
4) The Court of Appeals found that, because the grade crossing regulations 4)
were promulgated pursuant to the Highway Safety Act (rather than FRSA), their
pre-emptive effect is not governed by S434. 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 S434 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. S130,
given that the latter is a direct outgrowth of FRSA. 91-790 & 91-1206 - OPINION
CSX TRANSPORTATION, INC. v. EASTERWOOD 5 ____
According to S434, applicable federal regulations may pre-empt 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. ___, ___ (1992) _________ ___________________
(slip op., at 16) (federal statute barring additional "requirement[s] . . .
`imposed under state law'" pre-empts common-law claims); id., at ___ (slip op., ___
at 5-6) (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. ___, ___ (1992) (slip op., at 7) (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 comprise, include, or embrace
in an effective scope of treatment or operation"). The term "covering" is in
turn employed within a provision that displays considerable solicitude for state
law in that its express pre-emption clause is both prefaced and succeeded by
express saving clauses. See supra, at 3. _____
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 91-790 & 91-1206 - OPINION
6 CSX TRANSPORTATION, INC. v. EASTERWOOD ____
pre-empted. As the case 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. (Ftnote. 5) As indicated above, the Secretary of (Ftnote. 5)
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
remedial measures. 23 CFR pt. 924 (1992). (Ftnote. 6) In setting priorities, (Ftnote. 6)
the States are directed to consider and rank the dangers posed by grade
crossings. S924.9(a)(4). Having developed a program, each State must evaluate
its effectiveness and costs, S924.13, and file yearly reports with the FHWA.
S924.15.
States are subject to further regulations governing the use of particular
warning devices. For all projects, they
____________________
5) Because the case comes to us in this posture, neither party provides a 5)
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. S32-6-190 (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., id., S 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.
6) Parallel provisions require state programs to systematically identify 6)
hazardous crossings and to develop "a program for the elimination of hazards."
23 CFR pt. 1204.4 (1992), Highway Safety Program Guideline No. 12(G). 91-790 & 91-1206 - OPINION
CSX TRANSPORTATION, INC. v. EASTERWOOD 7 ____
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). (Ftnote. 7) 23 CFR SS646.214(b)(1), 655.603 (1992). In addition, for (Ftnote. 7)
projects which involve grade crossings "located within the limits of or near the
terminus of a Federal-aid highway project for construction of a new highway or
improvement of [an] existing roadway," see S646.214(b)(2), or in which "Feder-
al-aid funds participate in the installation of the [warning] devices,"
regulations specify warning devices that must be installed. See
SS646.214(b)(3) and (4). Thus, States must employ automatic gates with
flashing light signals as part of any improvement project that concerns a
crossing which features, inter alia, multiple tracks, high speed trains ___________
operating in areas of limited visibility, heavy vehicle or train traffic, or if
a diagnostic team made up of "representatives of the parties of interest in [the
crossing]" recommends them. (Ftnote. 8) For federally funded installations at (Ftnote. 8)
____________________
7) U. S. Dept. of Transportation, Federal Highway Administration, Manual on 7)
Uniform Traffic Control Devices for Streets and Highways (1988). The Manual has
been incorporated into federal regulations promulgated by the Secretary. See 23
CFR SS655.601-655.603 (1992).
8) 23 CFR S646.214(a)(3) reads: 8)
"(3)(i) Adequate warning devices under S 646.214(b)(2) or on any project where ________________________
Federal-aid funds participate in the installation of the devices are 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 S 646.204(g) (1992). 91-790 & 91-1206 - OPINION
8 CSX TRANSPORTATION, INC. v. EASTERWOOD ____
crossings that do not present the track conditions specified in S646.214(b)(3),
"the type of warning device to be installed, whether the determination is made
by a State . . . agency, and/or the railroad, is subject to the approval of the
FHWA." S646.214(b)(4).
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
decision-making 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 of _____
railroad negligence bore no particular significance on the State's safety
efforts beyond that which the State wished to give it. Certainly there is no
explicit indication in the regulations of 23 CFR pt. 924 that the terms of the
Federal Government's bargain with the States require modification of this regime
of separate spheres of responsibility. And, contrary to the view of the Court
of Appeals for the Tenth Circuit, it does not necessarily follow that "[t]he
hit-or-miss common law method runs counter to a statutory scheme of planned
prioritization." Hatfield v. Burlington ________ __________ 91-790 & 91-1206 - OPINION
CSX TRANSPORTATION, INC. v. EASTERWOOD 9 ____
Northern R. Co., 958 F. 2d 320, 324 (1992). In fact, the scheme of negligence_______________
liability could just as easily complement these regulations by encouraging
railroads - the entities arguably most familiar with crossing conditions - to
provide current and complete information to the state agency responsible for
determining priorities for improvement projects in accordance with S924.9. In
light of the relatively stringent standard set by the language of S434 and the
presumption against pre-emption, and given that the regulations provide no
affirmative indication of their effect on negligence law, we are not prepared to
find pre-emption solely on the strength of the general mandates of 23 CFR pt.
924.
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 which appears in Part VIII of the Manual,
entitled "Traffic Control Systems for Railroad-Highway Grade Crossings":
"the 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,
installation and operation shall be in accordance with the national standards
contained herein." Manual, at 8A-1. (Ftnote. 9) (Ftnote. 9)
____________________
9) Petitioner also notes similar language contained in the Manual, at 8D-1: 9)
"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." 91-790 & 91-1206 - OPINION
10 CSX TRANSPORTATION, INC. v. EASTERWOOD ____
According to petitioner, the third sentence of this paragraph, combined with the
directive in 23 CFR S646.214(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
Federal Highway Administration'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:
"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, 91-790 & 91-1206 - OPINION
CSX TRANSPORTATION, INC. v. EASTERWOOD 11 ____
Traffic Control Devices Handbook 8A-6 (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
SS646.214(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 this case, and hence we find respondent's grade crossing claim is not
pre-empted.
As discussed above, supra, at 8, under SS646.214(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." (Ftnote. 10) Thus, unlike the Manual, SS646.214(b)(3) and (Ftnote. 10)
(4) displace state and private decisionmaking authority by establishing a
federal-law requirement that certain protective devices be installed or federal
approval obtained. Indeed, SS646.214(b)(3) and (4) effectively set the terms
under which railroads are to participate in the improvement of crossings. The
former section envisions railroad involvement in the selection of warning
devices through their participation in diagnostic teams which may recommend the
use or nonuse of crossing gates. SS646.214(b)(3)(i)(F) and (3)(ii). Likewise,
S646.214(b)(4), which covers federally funded installations at crossings that
do not feature multiple tracks, heavy
____________________
10) As petitioner has not suggested that the Cook Street crossing is 10)
located in, or near the terminus of, a federal-aid highway project, the issue of
the proper application of 23 CFR S646.214(b)(2) (1992) is not before us. 91-790 & 91-1206 - OPINION
12 CSX TRANSPORTATION, INC. v. EASTERWOOD ____
traffic, or the like, explicitly notes that railroad participation in the
initial determination of "the type of warning device to be installed" at
particular crossings is subject to the Secretary's approval. In either case,
the Secretary has determined that the railroads shall not be made to pay any
portion of installation costs. 23 CFR S646.210(b)(1) (1992). In short, for
projects in which federal funds participate in the installation of warning
devices, the Secretary has determined the devices to be installed and the means
by which railroads are to participate in their selection. The Secretary's
regulations therefore cover the subject matter of state law which, like the tort
law on which respondent relies, seeks to impose an independent duty on a
railroad to identify and/or repair dangerous crossings.
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 affida-
vit 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 island, which
in turn required city approval. When the city declined to approve the island
out of concern for the flow 91-790 & 91-1206 - OPINION
CSX TRANSPORTATION, INC. v. EASTERWOOD 13 ____
of vehicular traffic, the plan for the gate was shelved and the funds allocated
for use in another project.
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 SS646.204(i) and (j)
(1992). (Ftnote. 11) Petitioner nevertheless contends that the Cook Street (Ftnote. 11)
crossing was part of a single project to improve the five Cartersville
crossings, and that the regulations were applicable because federal funds
participated in the installation of gates at the other four crossings. Reply
Brief for Petitioner in No. 91-790, p. 20. Neither party identifies any
statutory or regulatory provisions defining the term "project," although some
usages cast doubt on petitioner's view. See, e.g., 23 CFR S646.210(c)(3) ____ _
(describing the elimination of "a grade crossing" as "the . . . project"). Even
if the term could be construed to include either individual or multiple crossing
projects, it is clear that the Georgia DOT treated the installation of warning
devices at West Avenue and Cook Street as distinct projects. Respondent's own
affiant states that the cost of the motion detector installed at Cook Street
"was included in the estimated costs proposal prepared . . . for the West Avenue
crossing improvements . . . ." App. 17. Moreover, as found by the District
____________________
11) The relevant definitions state: 11)
"(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 SS646.204(i) and (j) (emphases added).___________________ 91-790 & 91-1206 - OPINION
14 CSX TRANSPORTATION, INC. v. EASTERWOOD ____
Court, when Cartersville scotched the plans for the Cook Street gate, "the funds
earmarked for this crossing were . . . transferred to other projects. The
decision to install gate arms at the Cook Street crossing was placed on a list
of projects to be considered at a later time." 742 F. Supp., at 678. In light
of the inapplicability of 23 CFR SS646.214(b)(3) and (4) to this case, we
conclude that respondent's grade crossing claim is not pre-emp-
ted. (Ftnote. 12) (Ftnote. 12)
III
Federal regulations issued by the Secretary pursuant to FRSA and codified at
49 CFR S213.9(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 by the number of crossties per
length of track. See SS213.51-213.143. 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, (Ftnote. 13) she nevertheless contends that petitioner breached its (Ftnote. 13)
common-law duty to operate its train at a moderate and safe rate of speed. See,
e.g., Central of Georgia R. Co. v. Markert, 200 Ga. App. 851, 852; 410 S. E. 2d____ _ _________________________ _______
437, 438 (1991), cert. denied, 1991 Ga. LEXIS 839 (Oct. 18, 1991). Petitioner
contends that this claim is pre-empted because the federal speed limits are
____________________
12) We reject petitioner's claim of implied "conflict" preemption, Brief 12)
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.
13) Affidavits submitted by the parties indicate that the train was moving 13)
at a rate of 32 to 50 miles per hour. 91-790 & 91-1206 - OPINION
CSX TRANSPORTATION, INC. v. EASTERWOOD 15 ____
regulations covering the subject matter of the common law of train speed.
On their face, the provisions of S213.9(a) address only the maximum speeds at
which trains are permitted to travel given the nature of the track on which they
operate. Nevertheless, related safety regulations adopted by the Secretary
reveal that the limits were adopted only after the hazards posed by track
conditions were taken into account. Understood in the context of the overall
structure of the regulations, the speed limits must be read as not only
establishing a ceiling, but also precluding additional state regulation of the
sort which respondent seeks to impose on petitioner.
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 concen-
trate on providing clear and accurate warnings of the approach of oncoming
trains to drivers. (Ftnote. 14) Accordingly, the Secretary's regulations focus (Ftnote. 14)
on providing appropriate warnings given variations in train speed. The MUTCD,
for example, requires the installation at grade crossings of signaling devices
that provide uniform periods of advance notice regardless of train speed.
Manual, at 8C-7. Likewise, as discussed supra, at 8-9, automatic _____
____________________
14) See U. S. Dept. of Transportation, Railroad-Highway Safety, Part I: A 14)
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) ("the 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 . . . ."). 91-790 & 91-1206 - OPINION
16 CSX TRANSPORTATION, INC. v. EASTERWOOD ____
gates are required for federally funded projects affecting crossings over which
trains travel at high speeds. 23 CFR SS646.214(b)(3)(C)-(D). Further support
for the view that the limits in S213.9(a) were set with safety concerns already
in mind is found in S213.9(c). Under that section, railroads may petition for
permission from the Railroad Administrator to operate in excess of the maximum
speed limit of 110 miles per hour, but only upon submission of information
pertaining to the signals, grade crossing protections, and other devices that
will allow safe operation.
Read against this background, S213.9(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 which 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 S434, 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 91-790 & 91-1206 - OPINION
CSX TRANSPORTATION, INC. v. EASTERWOOD 17 ____
conferred by S434. 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 S213.9. (Ftnote. 15) (Ftnote. 15)
IV
We hold that, under the Federal Railroad Safety Act, 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. ________
____________________
15) Petitioner is prepared to concede that the pre-emption of respondent's 15)
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 hazard.
Reply Brief for Petitioner in No. 91-790, p. 3. As respondent's complaint
alleges only that petitioner's train was traveling too quickly given the "time
and place," App. 4, this case does not present, and we do not address, the
question of FRSA's pre-emptive effect on such related claims.