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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, Wash-
- ington, 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.
- 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. ___ (1992). We now affirm.
-
- 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, the Act specifically directs the Secretary of
- Transportation to study and develop solutions to safety
- problems posed by grade crossings. 433. In addition,
- the Secretary is given broad powers to -prescribe, as
- necessary, appropriate rules, regulations, orders, and
- standards for all areas of railroad safety . . . .- 431(a).
- The pre-emptive effect of these regulations is governed by
- 434, which contains express saving and pre-emption
- clauses. Thus, the States are permitted to -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 stan-
- dard covering the subject matter of such State require-
- ment.- Even after federal standards have been promul-
- gated, the States may adopt more stringent safety re-
- quirements -when necessary to eliminate or reduce an
- essentially 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 213.9 (1992). Also in
- 1971, and again in 1972, the Secretary duly reported to
- Congress on the problem of grade crossings and on
- possible solutions. Congress responded by enacting 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. 130. 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. 130(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
- 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.
- 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 gov-
- erned 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.
-
- According to 434, applicable federal regulations may
- pre-empt any state -law, rule, regulation, order, or stan-
- dard 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 negli-
- gence 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 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 Secre-
- tary 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
- remedial measures. 23 CFR pt. 924 (1992). In setting
- priorities, the States are directed to consider and rank the
- dangers posed by grade crossings. 924.9(a)(4). Having
- developed a program, each State must evaluate its effec-
- tiveness and costs, 924.13, and file yearly reports with
- the FHWA. 924.15.
- 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). 23 CFR
- 646.214(b)(1), 655.603 (1992). In addition, for 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 646.214(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 646.214(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 -represen-
- tatives of the parties of interest in [the crossing]- recom-
- mends them. For federally funded installations at
- crossings that do not present the track conditions specified
- in 646.214(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.- 646.214(b)(4).
- The regulations of 23 CFR pt. 924 do not of themselves
- support petitioner's claim of pre-emption. These provi-
- sions 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 regula-
- tions 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
- Northern R. Co., 958 F. 2d 320, 324 (1992). In fact, the
- scheme of negligence liability could just as easily comple-
- ment these regulations by encouraging railroads-the
- entities arguably most familiar with crossing condi-
- tions-to provide current and complete information to the
- state agency responsible for determining priorities for
- improvement projects in accordance with 924.9. In light
- of the relatively stringent standard set by the language
- of 434 and the presumption against pre-emption, and
- given that the regulations provide no affirmative indica-
- tion 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 determina-
- tion of need and selection of devices at a grade
- crossing is made by the public agency with jurisdic-
- tional authority. Subject to such determination and
- selection, the design, installation and operation shall
- be in accordance with the national standards con-
- tained herein.- Manual, at 8A-1.
- According to petitioner, the third sentence of this para-
- graph, 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 implausibil-
- ity: it asserts that established state negligence law has
- been implicitly displaced by means of an elliptical refer-
- ence 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 preten-
- sions: -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 prescrip-
- tion 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,
- 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 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. How-
- ever, 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 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.- Thus, unlike the Manual,
- 646.214(b)(3) and (4) displace state and private decision-
- making authority by establishing a federal-law require-
- ment that certain protective devices be installed or federal
- approval obtained. Indeed, 646.214(b)(3) and (4) effec-
- tively set the terms under which railroads are to partici-
- pate 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. 646.214(b)(3)(i)(F) and (3)(ii). Likewise,
- 646.214(b)(4), which covers federally funded installations
- at crossings that do not feature multiple tracks, heavy
- traffic, or the like, explicitly notes that railroad participa-
- tion 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 646.210(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 Depart-
- ment 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
- 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 -partici-
- pate[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(i) and (j) (1992). Petitioner nevertheless
- contends that the Cook Street 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
- 646.210(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
- 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
- 646.214(b)(3) and (4) to this case, we conclude that
- respondent's grade crossing claim is not pre-empted.
-
- III
- Federal regulations issued by the Secretary pursuant to
- FRSA and codified at 49 CFR 213.9(a) (1992) set maxi-
- mum 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 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, she nevertheless contends that petitioner
- breached its 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
-
- regulations covering the subject matter of the common law
- of train speed.
- On their face, 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 oper-
- ate. 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. Accordingly,
- the Secretary's regulations focus 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
- gates are required for federally funded projects affecting
- crossings over which trains travel at high speeds. 23 CFR
- 646.214(b)(3)(C)-(D). Further support for the view that
- the limits in 213.9(a) were set with safety concerns
- already in mind is found in 213.9(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 opera-
- tion.
- 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 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 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 incompat-
- ible 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.
-
- IV
- We hold that, under the Federal Railroad Safety Act,
- federal regulations adopted by the Secretary of Transpor-
- tation 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.
-