ROBB, Judge.
Defendants CSX Transportation, Inc., Gerald Konz, and Cody Cooper (collectively, "CSXT"); the Boone County Commissioners and Boone County Highway Department (collectively, "Boone County"); and the State of Indiana and Indiana Department of Transportation (collectively, "the State"), moved for summary judgment on Joan and James Gochenour's complaint for damages for injuries Joan sustained in a car versus train accident. The trial court ultimately granted summary judgment on all claims to all defendants,
On the afternoon of August 2, 2011, Joan was a passenger in a vehicle driven by Alice Schooler. The vehicle was traveling eastbound on the Boone/Hendricks County Tine Road which intersects a single track grade crossing at an angle ("County Tine Crossing").
On December 6, 2011, the Gochenours filed a complaint against the Estate of Alice Schooler alleging negligence in the operation of the vehicle.
On June 4, 2013, CSXT filed a motion for summary judgment on each of these claims. Boone County and the State eventually joined in CSXT's motion for summary judgment. Several rounds of summary judgment briefing and designation of evidence by both sides followed. After a hearing, the trial court entered the following order on June 4, 2014, granting CSXT's motion for summary judgment:
App. of Appellants at 16-17. An order granting summary judgment for the State followed on June 23, 2014,
The party moving for summary judgment must "affirmatively negate an opponent's claim" by demonstrating that the designated evidence raises no genuine issue of material fact and that the moving party is entitled to judgment as a matter of law. Hughley v. State, 15 N.E.3d 1000, 1003 (Ind.2014) (internal quotation marks and citation omitted); see also Ind. Trial Rule 56(C). Summary judgment is improper if the moving party fails to carry its burden, but if it succeeds, then the nonmoving party must come forward with evidence establishing the existence of a genuine issue of material fact in order to preclude summary judgment. Gill v. Evansville Sheet Metal Works, Inc., 970 N.E.2d 633, 637 (Ind.2012).
We review an order for summary judgment de novo, which is the same standard of review applied by the trial court. Hughley, 15 N.E.3d at 1003. When the trial court has granted summary judgment to the moving party, the nonmoving party has the burden on appeal of persuading us that the grant of summary judgment was in error. Id. However, "we carefully assess the trial court's decision to ensure that [the nonmoving party] was not improperly denied his day in court." Id. In reviewing the record, we consider only the evidentiary matter the parties have designated to the trial court, see T.R. 56(C), (H), and we construe all reasonable inferences in favor of the nonmoving party, Hughley, 15 N.E.3d at 1003. "A fact is `material' if its resolution would affect the outcome of the case, and an issue is `genuine' if a trier of fact is required to resolve the parties' differing accounts of the truth, or if the undisputed material facts support conflicting reasonable inferences." Id. (quoting Williams v. Tharp, 914 N.E.2d 756, 761 (Ind.2009)).
Indiana's heightened summary judgment standard "consciously errs on
The Gochenours assert the trial court erred in finding there was no genuine issue of material fact regarding whether the warning devices at the County Line Crossing were installed with federal funds and determining as a matter of law that their inadequate warning device claims against CSXT, the State, and Boone County were preempted by federal law. They also assert that even if the trial court did not err in this finding, a jury should be allowed to determine whether CSXT gratuitously "assumed a duty of safety" to provide additional warning devices at the County Line Crossing, precluding its federal preemption affirmative defense. Brief of Appellants at 13-14.
In 1970, Congress enacted the Federal Railroad Safety Act ("FRSA") "to promote safety in every area of railroad operations and reduce railroad-related accidents and incidents." 49 U.S.C. § 20101. To aid in developing solutions to railroad grade crossing safety problems, the FRSA provides that the Secretary of Transportation "as necessary, shall prescribe regulations and issue orders for every area of railroad safety supplementing [existing] laws and regulations...." 49 U.S.C. § 20103(a).
In 1973, Congress enacted the Highway Safety Act, which in part made federal funds available to the states to eliminate the hazards at railroad-highway crossings. See 23 U.S.C. § 130 (the "Crossings Program"). As a prerequisite to receiving federal funds under the Crossings Program, 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). The schedule must at a minimum provide signs for all crossings. Id. Additional conditions on the states' use of federal funds to improve crossings are set out in regulations promulgated by the Secretary through the Federal Highway Administration ("FHWA"). See 23 C.F.R. §§ 646, 655, 924, 1204.
The FRSA contains an explicit preemption clause:
49 U.S.C. § 20106(a). Courts are reluctant to find preemption unless "it is the clear and manifest purpose of Congress." CSX Transp., Inc. v. Easterwood, 507 U.S. 658, 664, 113 S.Ct. 1732, 123 L.Ed.2d 387 (1993) (internal quotation marks and citation omitted). The restrictive language of the FRSA preemption clause dictates that, to preempt state law, the federal regulation must "cover" the same subject matter, and not merely "`touch upon' or `relate to' that subject matter." Id.; cf. Morales v. Trans World Airlines, Inc., 504 U.S. 374, 383-84, 112 S.Ct. 2031, 119 L.Ed.2d 157 (1992) (preemption clause in Airline Deregulation Act using the term "relating to" has broad preemptive scope). In Easterwood, the Supreme Court determined that,
Subsections (b)(3) and (b)(4) address the adequacy of warning devices installed under the Crossings Program. Norfolk S. Ry. Co. v. Shanklin, 529 U.S. 344, 348-49, 120 S.Ct. 1467, 146 L.Ed.2d 374 (2000). If certain conditions exist, such as multiple main line railroad tracks or high speed trains, the warning devices are deemed adequate if they "include automatic gates with flashing light signals...." 23 C.F.R. § 646.214(b)(3)(i).
Shanklin, 529 U.S. at 349, 120 S.Ct. 1467. In sum, "state law is preempted only if either subsection (b)(3) or (b)(4) applies, and those subsections apply only if federal funds participated in the installation of traffic warning devices at a particular crossing." Ind. R.R. Co. v. Davidson, 983 N.E.2d 145, 149 (Ind.Ct.App.2012), trans. denied.
Despite establishing that when subsections (b)(3) and (b)(4) apply, they "cover the subject matter of state law which ... seeks to impose an independent duty on a railroad to identify and/or repair dangerous crossings," Easterwood ultimately concluded that the plaintiffs state law claim in that case was not preempted because the railroad had failed to prove that the preconditions for application of either subsection (b)(3) or (b)(4) had been met. 507 U.S. at 671-72, 113 S.Ct. 1732. Thereafter, a conflict among the United States Courts of Appeal arose as to when subsections (b)(3) and (b)(4) are applicable. Compare, e.g., Ingram v. CSX Transp., Inc., 146 F.3d 858, 865 (11th Cir.1998) (holding that federal funding of railroad crossing improvement triggers preemption under FRSA), with Shots v. CSX Transp., Inc., 38 F.3d 304, 308-09 (7th Cir.1994) (holding that participation of federal funds in railroad crossing improvement project was insufficient to trigger preemption; instead, there must also be some evidence that the Secretary actually approved the specific warning devices that were installed). The Supreme Court answered that question in Shanklin, holding that subsections (b)(3) and (b)(4) are applicable to all warning devices installed with federal funds:
529 U.S. at 357-58, 120 S.Ct. 1467 (citations omitted). Our court has summarized the Shanklin decision as standing for "the broader proposition that preemption attaches when federal funds are spent on any of the traffic control devices at the grade crossing. Once preemption attaches, a plaintiff's inadequate warning device claim against the railroad must be dismissed." Davidson, 983 N.E.2d at 150.
Federal preemption is an affirmative defense, and therefore CSXT bears the burden of proof.
The evidence CSXT designated in support of its motion for summary judgment — over the course of its original and several supplemental designations — included: the affidavit of Thomas Rueschhoff, the Senior Rail Projects Engineer for the Indiana Department of Transportation
Id. at 112 (citation omitted). Pursuant to this agreement, CSXT was to install cross-bucks at its crossings, and the State was to reimburse the railroad for ninety percent of its cost: "Upon receipt of the final bill, the State shall promptly reimburse the Railroad for such items of work and expense, in such amounts as are proper and eligible for payment from Federal funds...." Id. at 114. The agreement concludes that it "shall be binding upon the parties hereto, their successors or assigns, and shall not be effective unless and until approved by the Division Engineer of the Federal Highway Administration." Id. at 117. The agreement was signed by the Division Engineer on behalf of the FHWA on September 26, 1979. Documents attached to the agreement estimating the supplies and cost to implement the program show the installation was to be done under "W. O. # 42468." Id. at 124-25.
Exhibit 2 to Rueschhoff's affidavit is a form titled "Letter of Approval and/or Authorization" from the U.S. Department of Transportation — Federal Highway Administration
CSXT also designated the affidavit of Ralph Whitaker, a CSXT employee of at least fourteen years at the time of his affidavit. In his positions as Track Supervisor, Roadmaster, and Engineer of Track, Whitaker "became familiar with the record-keeping practices" of CSXT. Id. at 134. Attached to Whitaker's affidavit are two exhibits which he averred were exact copies of documents retrieved from CSXT's permanent records and which were made in the regular course of business at or near the time of the events recorded. Exhibit 1 is a copy of the State/CSXT Agreement described above. Exhibit 2 is a CSXT "Daily Participation Project Report" which shows that on July 26, 1982, three CSXT employees installed road crossing posts and signs under work order number 42468 at four crossings, including crossing 543038W. Id. at 153. Crossing 543038W is commonly known as the County Line Crossing. Id. at 135.
CSXT subsequently supplemented its designation of evidence with the affidavit of Milton Vermillion, who retired from CSXT with thirty years of railroad experience with CSXT and its predecessors. Vermillion was a member of the "`Crossbuck Gang,' responsible for installing the new crossbuck signs and posts under the State project." Id. at 313. Vermillion worked on the Crossbuck Gang for the entire two and one-half years it took to complete the installations. Attached to his affidavit is the "Daily Participation Project Report" previously attached to Whitaker's affidavit. Vermillion noted that he had personally participated in the installation of crossbuck signs at the County Line Crossing on July 26, 1982, and had signed the report on that date.
Finally, CSXT designated the affidavit of Carl Sanders, the former Administrative Manager for the Indiana division of the FHWA. Attached to his affidavit are several documents which he had obtained from the FHWA archives and which he averred were true and accurate copies of reports of a public office setting forth its regularly conducted and recorded activities. Id. at 341. Exhibit 2 is a "Final Voucher for Work
Exhibit 3 to Sanders's affidavit is a U.S. Department of Transportation "Inspection Report" dated October 27, 1987, for Project No. RRP-RRO-000S(26) describing the project being inspected as "consist[ing] of the installation and upgrading of the passive warning devices at the public rail-highway crossing[s] in Indiana by [CSXT] under work order No. 42468." Id. at 347. The report indicates a "15% random sample" of crossings in the Crawfordsville and Greenfield Districts was inspected, and "[a]ll crossbucks were generally found to be installed satisfactorily." Id.
The Gochenours strongly dispute that this designated evidence comes "anywhere close" to proving that federal funds participated in the installation of the cross-bucks at the County Line Crossing. Br. of Appellants at 31. They argue the evidence is "woefully inadequate" because there is no evidence that the federal funds referenced by the voucher were "specifically expended to install specific warning devices at the County [Line] Crossing" and therefore a "necessary link" is missing. Id. at 12, 31. We do not believe the level of specificity the Gochenours advocate is required. The Gochenours "suggest" evidence CSXT could have produced to meet the burden of establishing that federal funds participated in the installation of the County Line Crossing warning signs: proof that federal funds were received by the State and placed into a special account, the State issued a check or made some other transfer of funds to pay for a specific traffic warning device, and that specific traffic warning device was installed at a specific location. See id. at 22-23. That other evidence might be available does not
The Gochenours also seem to imply that because they designated evidence in response to CSXT's motion, summary judgment is inappropriate, citing to Hughley, 15 N.E.3d at 1005-06. See Br. of Appellants at 15 n. 13 (quoting Hughley. "Because [the nonmoving party] designated competent evidence in response to the [moving party]'s motion for summary judgment, weighing it — no matter how decisively the scales may seem to tip — was a matter for trial, not summary judgment."). In Hughley, the State sought summary judgment in a forfeiture proceeding, designating evidence that when defendant was arrested for dealing cocaine, he had over $3,000 in his pocket. By statute, that makes a prima facie case for forfeiture of the cash. The defendant then designated his own "perfunctory and self-serving" affidavit in which he stated that the cash was neither the proceeds of criminal activity nor intended to be used in furtherance of drug crimes. 15 N.E.3d at 1004. Our supreme court held that because the defendant had designated evidence aside from his pleadings that specifically controverted the State's prima facie case, he had at least minimally raised a genuine factual issue, and a trier of fact should resolve the differing accounts of the truth at trial. Id. The Gochenours' designated evidence is the deposition testimony of Whitaker and Rueschhoff in which they each acknowledge they have no personal knowledge of the actual installation of the crossbucks at the County Line Crossing or of the transfer of federal funds.
According to CSXT's designated evidence, the State of Indiana and CSXT entered into a joint agreement in 1979 to install or upgrade warning devices at CSXT's passive railroad crossings in Indiana. The agreement was approved by the FHWA in 1979, and the project was assigned a federal aid project number and a work order number. CSXT installed reflectorized crossbucks at the County Line Crossing on July 26, 1982, under the same work order number. In 1987, certain crossings — including the County Line Crossing — were randomly inspected by the U.S. Department of Transportation in conjunction with the same federal aid project and work order numbers and determined to be satisfactory. In 1991, the FHWA reviewed and approved the State of Indiana's voucher for costs incurred under the same federal aid project number assigned to the State/CSXT project and paid nearly two million dollars to the State of Indiana, which represented ninety percent of the total cost of the project. It is clear from this evidence that federal funds participated in the installation of crossbucks at the County Line Crossing. In addition, even though this is not required to prove the defense of preemption, CSXT's evidence shows the FHWA actually approved the warning devices at issue.
The Gochenours have not offered any evidence in opposition to CSXT's motion for summary judgment that would so much as suggest that the County Line Crossing crossbucks were not federally funded. Although they assert that CSXT's evidence alone creates the conflicting inferences that either some of the federal funds paid to the State were expended to install crossbucks at the County Line Crossing or none of them were, Br. of Appellants at 29, the latter inference falls into the category of practically anything being possible rather than being a reasonable inference from the evidence. As there is no factual dispute nor are there conflicting reasonable inferences to be drawn from CSXT's designated evidence, the Gochenours' claim regarding inadequate warning devices is preempted as a matter of law, and the trial court properly granted summary judgment to CSXT, Boone County, and the State on this claim.
The Gochenours also contend that the trial court erred in granting summary judgment to CSXT on the basis of preemption because CSXT "assumed a duty of safety" at the County Line Crossing and has therefore waived the preemption defense. Id. at 38.
Indiana recognizes that a duty of care may arise where one would not otherwise exist if a party gratuitously or voluntarily assumes such a duty by affirmative, deliberate conduct. Yost v. Wabash Coll., 3 N.E.3d 509, 517 (Ind. 2014). To impose liability for breach of an assumed duty, "it is essential to identify and focus on the specific services undertaken. Liability attaches only for the failure to exercise reasonable care in conducting the undertaking." Id. (internal quotation marks omitted). If the record contains insufficient evidence establishing such a duty, the court decides the issue as a matter of law. Id.
The Gochenours contend their designated evidence raises at least an inference that CSXT undertook a duty to assure the safety of the County Line Crossing when it interacted with various local officials regarding a plan to increase
First, the case on which the Gochenours rely to support their claim that preemption protection can be lost by assuming a duty is inapposite. In Medtronic, Inc. v. Malander, 996 N.E.2d 412, 419 (Ind.Ct.App.2013), the court held there was no preemption protection before examining whether the defendant had assumed a duty to the plaintiffs. Second, Shanklin made it clear that one of the effects of FRSA preemption is to absolve the railroad of state tort liability, which is exactly what the Gochenours seek to impose here, regardless of the terms in which they cast their claim. 529 U.S. at 357-58, 120 S.Ct. 1467; see also Randall v. Norfolk S. Ry. Co., 800 N.E.2d 951, 956 (Ind. Ct.App.2003) (noting that plaintiff's attempt to avoid preemption by stating his negligence claims in terms of the railroad's duty to petition State and local authorities to upgrade warning devices at an allegedly extra hazardous crossing was ineffective because the claims "ultimately amount to an effort to hold the Railroad responsible for the adequacy of the warning devices"), trans. denied. Finally, Shanklin also made it clear that even if conditions have changed at a crossing where warning signs were installed with federal funds, such that gates and lights would now be appropriate, that "is immaterial to the pre-emption question." Id. at 358, 120 S.Ct. 1467. Thus, the increased train speed did nothing to alter the preemption of state law claims pertaining to the adequacy of the warning devices at the County Line Crossing.
There is also no indication that the crossbucks at the County Line Crossing had in fact been upgraded with State or other funds since their initial installation in 1982, such that federal preemption might no longer apply and regular state tort law might resume. Cf. Davidson, 983 N.E.2d at 152 (concluding there was a genuine issue of fact regarding whether federal preemption continued to apply when cross-bucks which had originally been installed with federal funds in 1978 had been replaced with state funds pursuant to an application which did not incorporate the federal plans from the earlier project and were not placed in the exact same location as those installed with federal funds). Although CSXT sent a letter to the Jamestown Town Council in late 2008 regarding the speed increase and stating that the "signals at the [affected Jamestown] crossings have been upgraded in preparation for the increase in train speeds," App. of Appellants at 545, the letter also indicated that the type of warning device at the County Line Crossing remained crossbuck signs. Vermillion attested in a second affidavit in support of CSXT's motion for summary judgment that the signs that were removed from the County Line Crossing after the accident were the same signs he had personally helped install in
For these reasons, the Gochenours' claim that CSXT assumed a duty to provide adequate warning devices at the County Line Crossing is preempted as a matter of law, and the trial court did not err in granting summary judgment to CSXT on this claim.
The Gochenours' remaining claim is that there was inadequate sight distance and vegetation control at the County Line Crossing. Indiana Code section 8-6-7.6-1 requires a railroad to "maintain each public crossing under its control in such a manner that the operator of any licensed motor vehicle has an unobstructed view for fifteen hundred (1,500) feet in both directions along the railroad right-of-way subject only to terrain elevations or depressions, track curvature, or permanent improvements."
In support of its motion for summary judgment on this claim, CSXT
In response, the Gochenours' designated the affidavit of William D. Berg, Ph.D., P.E., who has "knowledge, training, and experience in civil engineering and highway-railroad crossings." Id. at 294. Berg's affidavit focuses on the engineering of the County Line Crossing and concludes that "the subject grade crossing was unduly, or more than ordinarily hazardous as of 2011 [and] the warning devices — cross-bucks only — present at the County Line Crossing on the day of the Collision were inadequate." Id. at 295. The Gochenours also designated the affidavit of Frank Gentry, a resident of Boone County who is familiar with the County Line Crossing by virtue of driving across it in both directions approximately two to three times daily for thirty years. Gentry went to the railroad crossing two days after the accident and cut down tree limbs he alleges were hanging down to the rocks in the railroad bed and also removed a vine
CSXT then designated the affidavit of John Trone, Road Foreman of Engines on the day of the accident. One of his responsibilities in that job was to respond to accidents and download data from the train's video and event recorders. Attached to Trone's affidavit were several still photographs taken from the train's video recorder immediately before the accident. See id. at 365-75. Trone states that the photos "show that there are no tree limbs `hanging down and touching the rocks in the railroad bed[,]'" contrary to Gentry's affidavit. Id. at 351.
Based upon this evidence, the trial court found that there was no genuine issue of material fact as to whether the failure to provide adequate sight distance and/or vegetation control caused the accident. See id. at 17. The Gochenours contend this was in error. First, the Gochenours point to Berg's expert opinion that the sight distance at the County Line Crossing was inadequate because of the physical configuration of the crossing, and therefore regulatory stop signs or automatic warning devices, rather than cross-bucks, should have been installed. To the extent the Gochenours contend that CSXT, Boone County, and/or the State were negligent in failing to provide different or additional warning devices because of the configuration of the crossing, they essentially make an inadequate warning device claim that is preempted by federal approval of the decision to install federally funded crossbucks. See Shanklin, 529 U.S. at 358-59, 120 S.Ct. 1467; Part II., supra.
To the extent the Gochenours rest their claim on the issue of vegetation control, however, we agree that the trial court erred in granting summary judgment to CSXT.
No genuine issue of material fact exists as to the participation of federal funds in the installation of crossbuck signs at the County Line Crossing, and therefore the Gochenours' state law claims against CSXT, Boone County, and the State regarding inadequate warning devices are preempted by federal law. However, there remains a genuine issue of material fact to be resolved at trial regarding whether the duty to maintain an unobscured view for a motorist at the County Line Crossing has been breached by CSXT's failure to control vegetation within 1,500 feet of the crossing. The trial court's grant of summary judgment to Boone County and the State is therefore affirmed in full, and the grant of summary judgment to CSXT is affirmed in part and reversed in part. This case is remanded to the trial court for further proceedings consistent with this opinion.
Affirmed in part, reversed in part, and remanded.
BAILEY, J., and BROWN, J., concur.