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Norfolk Southern Railway Co. v. Box

February 11, 2009

NORFOLK SOUTHERN RAILWAY COMPANY, PLAINTIFF-APPELLANT,
v.
CHARLES E. BOX AND THE OTHER COMMISSIONERS OF THE ILLINOIS COMMERCE COMMISSION, DEFENDANTS-APPELLEES.



Appeal from the United States District Court for the Northern District of Illinois, Eastern Division. No. 06 C 641-Virginia M. Kendall, Judge.

The opinion of the court was delivered by: Easterbrook, Chief Judge.

ARGUED DECEMBER 8, 2008

Before EASTERBROOK, Chief Judge, and BAUER and SYKES, Circuit Judges.

Illinois requires rail switching yards built or substantially renovated after February 2005 to include walkways, parallel to each track, for persons who work there. 625 ILCS 5/18c--7401.1; 92 Ill. Admin. Code §1546.10 et seq. Norfolk Southern Railway contends that federal law supersedes this requirement. A federal regulation "covering the subject matter of the State requirement" preempts it. 49 U.S.C. §20106. And even if no federal regulation covers the subject, states are forbidden to adopt laws or regulations that conflict with or prevent achievement of federal objectives. See CSX Transportation, Inc. v. Easterwood, 507 U.S. 658 (1993). The district court determined that the national government has not adopted any regulation "covering the subject matter" of paths adjoining railroad tracks. 2007 U.S. Dist. LEXIS 23879 (N.D. Ill. Mar. 30, 2007). Then, after a bench trial, the court found that Illinois's requirements do not conflict with any federal objective. 2007 U.S. Dist. LEXIS 92367 (N.D. Ill. Dec. 17, 2007). The court entered judgment for the state, and the railroad has appealed.

Several states have laws or regulations requiring walk-ways in rail switching yards. Both state and federal courts are divided on the question whether these rules are compatible with federal law. Compare Southern Pacific Transportation Co. v. California Public Utilities Commission, 820 F.2d 1111 (9th Cir. 1987) (California rules valid), Elston v. Union Pacific R.R., 74 P.3d 478 (Colo. App. 2003) (Colorado rules valid), and CSX Transportation, Inc. v. Miller, 159 Md. App. 123, 858 A.2d 1025 (2004) (Maryland rules valid), with Missouri Pacific R.R. v. Texas Railroad Commission, 948 F.2d 179 (5th Cir. 1991) (Texas rules preempted), and Black v. Seaboard System R.R., 487 N.E.2d 468 (Ind. App. 1986) (Indiana rules preempted). These decisions start, as do we, with this federal law:

Laws, regulations, and orders related to railroad safety and laws, regulations, and orders related to railroad security shall be nationally uniform to the extent practicable. A State may adopt or continue in force a law, regulation, or order related to railroad safety or security until the Secretary of Transportation (with respect to railroad safety matters), or the Secretary of Homeland Security (with respect to railroad security matters), pre-scribes a regulation or issues an order covering the subject matter of the State requirement. A State may adopt or continue in force an additional or more stringent law, regulation, or order related to railroad safety or security when the law, regulation, or order-

(1) is necessary to eliminate or reduce an essentially local safety or security hazard;

(2) is not incompatible with a law, regulation, or order of the United States Government; and

(3) does not unreasonably burden interstate commerce.

49 U.S.C. §20106 (recodified from 45 U.S.C. §434 in 1994 and amended in 2002). Norfolk Southern contends that federal regulations already cover the subject of walkways, thus preempting the state rules (for Illinois does not contend that they may be sustained under the "essentially local . . . hazard" proviso).

The major problem with the railroad's position is that no federal regulation deals with walkways. Railroads are free to install them, or not, as they see fit. And if railroads may choose whether to have walkways, how then could it be said that there is a federal regulation that forbids states from acting? Norfolk Southern's answer is that federal regulations do specify how rail lines must be built. See 49 C.F.R. §213.103. The railroad must prepare a roadbed (or subgrade) of compacted earth. A layer of sub-ballast, made of crushed stone, goes on top of the roadbed. Then a section of sloped ballast, made from slightly smaller crushed stone, goes on top of the sub-ballast. The crossties and rails are laid on the ballast, which transmits the load to the roadbed while allowing water to drain through without turning the roadbed to mud. Federal rules set a maximum slope and minimum size of the ballast. See 49 C.F.R. §§ 213.1 to 213.241 (four parts covering track safety standards). None of these rules deals with walkways, but Norfolk Southern maintains that they "cover" the subject because any walkway is bound to affect the slope of the ballast, its drainage properties, or both.

This understanding of what it means for a federal regulation to "cover" a subject would make §20106's second sentence internally contradictory. Here is that sentence again: "A State may adopt or continue in force a law, regulation, or order related to railroad safety or security until the Secretary of Transportation (with respect to railroad safety matters), or the Secretary of Homeland Security (with respect to railroad security matters), prescribes a regulation or issues an order covering the subject matter of the State requirement." The sentence deals with state laws and regulations that are "related to railroad safety and security" and provides that they are preempted if there is a federal regulation "covering the subject matter of the State requirement." Norfolk Southern observes that many federal regulations deal with railroad safety. It necessarily follows, from the Railway's perspective, that any state regulation "related to railroad safety" must be "covered" by a federal regulation. But then the sentence we have quoted is self-defeating: Instead of providing a division between state and federal spheres (in which the state rule prevails unless a federal rule covers the topic), the sentence would effectively read: "All state laws and regulations related to railroad safety and security are preempted." That is not, however, what the actual sentence says. The structure of the statute's second sentence makes sense only if the category of "covering" federal regulations is a subset of all topics related to railroad safety and security. And that is how the Supreme Court has understood the word "cover", giving it a relatively narrow scope compared with all safety-related issues. Easterwood, 507 U.S. at 664--65. The rules for roadbed construction and maintenance do not "cover" the subject of adjacent walkways.

Norfolk Southern relies on a policy statement as well as the roadbed regulations. In 1978 the Federal Railroad Administration told railroads to ignore any regulations that the Occupational Safety and Health Administration had prescribed for walkways, because walkways in railroad yards "are so much a part of the operating environment that they must be regulated by the agency with the primary responsibility for railroad safety." 43 Fed. Reg. 10,587 (1978). This does not sound like a statement that the regulations for roadbeds, ballast, and drainage already deal with the topic; the safety of workers on walkways-whether they are too steep or slippery, whether the walkways are too close to the rails and create a risk of workers being struck by moving trains, and so on-is distinct from questions about stability and drainage of tracks. The 1978 declaration suggests that the FRA contemplated issuing rules about walkways, but in the ensuing 30 years it has not done so. To the contrary, it has left in place a decision taken in 1977 that federal walkway rules should not be adopted. In 1976 the FRA had asked for comments on the question whether it should require walkways adjacent to the tracks on trestles and bridges. 41 Fed. Reg. 50,302 (1976). After receiving comments the FRA decided not to act, explaining that, "if an employee safety problem does exist because of the lack of walkways in a particular area or on a particular structure, regulation by a State agency that is in a better position to assess the local need is the more appropriate response." 42 Fed. Reg. 22,184--85 (1977). Illinois took the FRA at its word.

On to the question whether Illinois's system conflicts with federal rules or objectives. Illinois allows the railroads considerable discretion over the size, placement, and materials of the walkways. They may be made from concrete, asphalt, wood, or gravel. All that the state requires is that they be non-slippery, at least two feet wide, and slope no more than 1 inch of elevation change for 8 inches of width or length. Norfolk Southern says that wooden walkways are impractical and that impervious materials (concrete or asphalt) would direct rainwater and snowmelt toward the tracks and overwhelm their drainage-control systems, so gravel is the only feasible material. At the bench trial, two experts ...


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