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Norfolk Southern Railway Co. v. City of Alexandria
608 F.3d 150
4th Cir.
2010
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Docket

*4 GREGORY, Before KING Circuit GOODWIN, Judges, and JOSEPH R. States,District Chief Judge United for the sitting Southern of West Virginia, District by designation. I. part, in part,

Affirmed in dismissed opinion. in part published vacated A. in opinion, which Judge KING wrote began April Norfolk Southern joined. Judge Judge GREGORY operating transloading facility an ethanol concurring in opinion wrote GOODWIN (the Alexandria, “Facility”) Virginia. dissenting part. part and Facility enables Norfolk Southern from shipments transfer bulk of ethanol its

OPINION tank that are railcars onto surface trucks operated by parties. Shippers third con- KING, Judge: Circuit tract Norfolk to have etha- with Southern three appeals concern whether These rail, shipped Facility by nol of federal law serve to separate provisions expense Southern includes the preempt an ordinance enacted price for trans- transloading its overall (the Alexandria, Virginia “City”). The porting ethanol. Norfolk Southern’s applied ordinance has been to Nor- (“RSI”), agent, Leasing, Incorporated RSI (“Norfolk Railway Company folk Southern *5 performs transloading operations the Southern”) through per- a series of haul Facility.2 arrangements the All further City maintains appeal, mits. In its the regarding transportation the of ethanol ruling that the district court erred truck, however, Facility by from the Interstate two federal statutes —the Com- shippers made between the ethanol (the Act merce Commission Termination private trucking compa- receivers and the “ICCTA”) the Hazardous Materials nies. The tank trucks loaded at the Facili- “HMTA”)— (the Act Transportation ty transport City’s ethanol via the streets haul permits. the ordinance and preempt nearby to interstate highways and en route Ry. City Co. v. Alexan S. See to their ultimate destinations. dria, 1:08-cv-618, 2009 No. WL Facility City The is located the near (E.D.Va. 2009) (the “District April neighborhoods, two residential an elemen- By Opinion”).1 cross-appeal, Court Nor- school, tary the Van Dorn Metro Station challenges folk the con- Southern lot, parking and associated commuter statute, clusion that a third the Federal populated other areas. Because ethanol is (the “FRSA”), Safety Rail Act does volatile, highly City the flammable and preempt permits. also the ordinance and steps took at two in June 2008 to least below, First, affirm perceived safety As we the dis- alleviate concerns. City petitioned Transpor- trict court’s on with the the preemption decision Surface (the “STB”), respect independent to the that dis- tation Board an ICCTA. Because position agency, regarding renders moot the alternative bases federal for a declaration preemption, City’s authority regulate for federal we dismiss the the to the Facili- Second, HMTA aspect City’s appeal, ty. pursuant pro- as well to ordinance Finally, hibiting hauling as the vacate the of certain on cross-appeal. we materials streets, judgment City unilaterally the court’s on the HMTA the issued a its thirty-day FRSA haul permit claims. to Norfolk Southern Opinion cross-appeal. party 1. The District Court is found at J.A. 2. RSI is also a to the For (Citations reference, primarily 97-136. herein to "J.A.-” refer ease of refer to the Appendix cross-appellants simply to the filed two "Norfolk Joint appeal.) this Southern.” (the “Permit”).3 Norfolk Southern de- B. by any to aspect clined abide of the Per- 16, 2008, On June Norfolk Southern filed

mit, taking the that it position facially was declaratory action in the and, inapplicable Facility, in any Eastern Virginia District of against event, preempted by was federal law. City and City’s Richard Baier of the De- on response, City June partment Transportation and Environ- original amended its explicitly ordinance to mental Services.5 In three counts of its govern transportation City within the complaint, Norfolk alleged Southern materials,” of “bulk including ethanol. Ordinance, as applied through the Per- 5-2-27(a) (as City Code of Alexandria mit, preempted by was separate three “Ordinance”).4 fed- amended, A violation statutes, (Count Three), eral FRSA the Ordinance constitutes a misdemean- (Count Four), or criminal offense. to Pursuant the Ordi- and the HMTA nance, 3, 2008, City, July (Count Five).6 unilateral- relief, For Norfolk South- ly thirty-day issued second Permit sought ern a declaration that the Ordi- Permit, Norfolk Southern. This and those nance and Permit preempted were and an thereafter, issued contained the same re- injunction barring enforcing from original strictions as the Permit. Norfolk them. Southern, however, position adhered to its On June filed its an- federal law ef- complaint, swer to the third-party com- regulate fort transloading ethanol at the RSI, plaint against Facility and thus refused to and a counterclaim abide Permit’s restrictions. Norfolk Southern. third-par- *6 conditions, 5) imposed 3. The Permit permit several in- This will be revoked should this hauled, cluding limiting speci- operation what could by any be governing be halted au- fying hauling through City, route the thority. restricting days the and times for such haul- During J.A. 198. period, City the relevant the ing. specifically, provided: More the Permit sought every thirty days. to reissue the Permit simplicity, For the sake of we refer to the 1) dirt, No mud or debris shall be tracked/ permits singular, various in the the as "Per- spilled public right-of-way. onto the mit,” despite permits the fact that such were 2) copy permit provided A of this must be recurrently issued. routing each driver. Failure to follow will permit. result in revocation of this No en- Ordinance, amended, provides 4. The tering city jake the before 7:00 a.m. No pertinent part "[hjauling that ... bulk materi- engine braking city brakes or within the prohibited als ... is on all streets within the obey signs limits. Driver shall all traffic City, except pursuant permit to a [by issued markings. 5-2-27(a). City].” § Ordinance 3) Hauling route is from the Alexandria facili- Road, ty to Metro Metro Road to Eisenhow- City collectively 5. Baier and the referred Avenue, er west on Eisenhower Avenue to “City.” to herein as the Street, Van Dorn south on Van Dorn Street city and out of the limits. claims, 6. In addition to its three Hauling permitted Monday through is Fri- complaint alleged original day, that the p.m. only. 7:00 a.m. ordi- to 7:00 inapplicable nance Hauling hauling was to ethanol is limited to a maximum of 20 (Count One) per day. vagueness and was trucks void for (Count Two). 4) permit being despite concluding After city This is issued that moot, objections claims in these first concerns and to Norfolk South- two counts were relating ap- summary judgment ern and its the district contractors to the court awarded propriateness transloading City of ethanol on them. Norfolk Southern does appeal ruling. this location. not that under the sought preempted de- Ordinance was and counterclaim ty complaint id., against both FRSA. 2009 WL *7-8. claratory injunctive relief See partial support City appeals and RSI. from the award Norfolk Southern Southern, thereof, City alleged summary judgment to Norfolk the Ordinance is not maintaining [bjecause and RSI Southern] [Norfolk by either the or the preempted the volume of ethanol to increase intend have HMTA. Norfolk Southern and RSI to a 24-hour a transloading operations basis, cross-appealed, contending that the Ordi- 7-day a and to use day, week nance is also under the FRSA. permit than the al- many more trucks jurisdiction to 28 lows, controversy possess pursuant actual be- We there is an authori- parties regarding U.S.C. tween City

ty regulate the use of II. by ethanol-filled trucks from streets Dorn Yard. Van novo a We review de district Following discovery, J.A. 81. summary judgment. Bryant award of summary judgment, filed cross-motions Md, Inc., Bell Atl. 288 F.3d of law. seeking relief as a matter Cir.2002). summary On cross-motions for judgment, a district court should “rule Before the district court ruled on the upon party’s separately each motion cross-motions, the STB issued its decision summary judgment determine whether is for an petition on the administrative appropriate as to each under the [Federal City’s authority concerning declaration Rule Procedure] of Civil standard.” Facility. Notably, regulate the STB Paving Excavating, Monumental & Inc. v. opera- concluded Norfolk Southern’s Co., Pa. Ass’n Ins. transportation by tion thereof “constitutes Mfrs.’ (4th Cir.1999). Summary judgment ap- rail carrier” and thus is “shielded from propriate only if the record shows “there is laws, including zoning most state and local genuine any no issue as to material fact laws, by preemption provision [of judg- Alexandria, and that the movant is entitled to Virginia— ICCTA].” *7 ment as a matter of law.” Fed. R. Order, Civ. Declaratory for Finance Petition 56(c). (S.T.B. 17, Proc. 1 Docket No. 35157 at Feb.

2009) (the Decision”).7 “STB The STB III. explained Facility

Decision that “the is part opera- rail [Norfolk Southern]^ appeals Our resolution these and, such, Facility qualifies tions” as “the implicates important principles two preemption.” for federal Id. at 3. First, constitutional law. the doctrine of Decision, preemption

Two months after the STB in the Constitution’s —rooted Congress parties’ Supremacy permits district ruled on the cross- Clause— summary judgment. perti- expressly displace motions for In or local in state law part, any given Cyan- nent the court concluded that field. v. Am. See Worm (4th Co., 1301, Ordinance was under both the amid 970 F.2d 1304 Cir. 1992) (“Congress may expressly provide ICCTA and the HMTA. See District Court 1011653, Opinion, authority 2009 state supplants WL *7-15. Addi- federal law ”).8 however, Second, tionally, particular the court ruled that the in a field.... Supremacy provides al 7. The STB Decision is found J.A. 443-49. 8. The Clause Constitution and laws of the United States are

157 (the “ICC”), principle of constitutional avoidance set sion regulated which rail transportation Valley years. forth Ashwander v. Tennessee Congress ICCTA, Authority requires the federal courts to enacted the which ter- minated the rendering replaced strive to avoid constitutional ICC it with the STB, jurisdiction which has “broad rulings absolutely necessary. unless See over ‘transportation by rail L.Ed. carriers.’” U.S. S.Ct. Island Park, (1936) (“It (Brandeis, J., LLC v. CSX Transp., 559 F.3d concurring) (2d Cir.2009) (quoting 49 is not the habit of the Court to decide U.S.C. 10501(b)(1)). § Indeed, the questions of a Constitutional nature un STB has ex- “(1) jurisdiction clusive over absolutely necessary transportation to a less decision of (internal (2) by rail carriers ... quotation the case.” marks omit construc- ted)). tion, acquisition, operation, abandonment, tracks, ... discontinuance of or facili- Although the district court addressed 10501(b). § ties.” 49 U.S.C. “Transporta- upon and ruled each of Norfolk Southern’s by includes, tion” rail carriers in relevant statutory alternative preemption, bases for part, our resolution of these appeals may rest on (A) facility ... [a] related to the move- only one of those if it bases satisfies the ment of passengers both, or property, or legal standards for preemption. See Ca- rail, by regardless of ownership or an tawba Indian Tribe v. City S.C. Rock agreement use; concerning Hill, Cir.2007) 372 n. 4 (B) movement, services related to that (“We ,.. entitled to affirm the district including receipt, elevation, delivery, any ground court on support would transit, transfer storage, han- favor of the party prevail- dling, and interchange of property. below.”). And, ing herein, we 10102(9). are content to affirm § the court’s ruling Id. The ICCTA also contains Ordinance, that the as applied to Norfolk an express preemption clause: “the reme- Permit, through Southern preempt- provided dies part under this respect with ed the ICCTA. disposi- Because our regulation of rail transportation are tion of the ICCTA claim renders moot exclusive and preempt the pro- remedies Norfolk Southern’s other preemption vided under Federal and State law.” Id. claims, 10501(b). need not reach or address the preemption aspect HMTA Our Court has heretofore recog “ appeal or the FRSA preemption pre- issue nized that Congress ‘narrowly has tai sented cross-appeal. Southern’s lored the provision to We therefore dismiss the HMTA and *8 i.e., displace only “regulation,” those state aspects FRSA appeals these and vacate may laws that reasonably be said to have the court’s on those two claims. the effect of “managing” or “governing” rail transportation.’” Phosphate PCS Co. A. 212, v. Corp., S. 559 F.3d 218 Norfolk 1887, Cir.2009) In the Interstate Commerce Act (quoting Fla. E. Ry. Coast Co. v. created the Interstate Beach, Commerce City Commis- 1324, W. Palm supreme "the any Thing Law of the Land ... analyzed way nances is in the same as that of any in the Constitution or Laws of State to the Hillsborough statewide County, laws.” Fla. v. Const, Contrary notwithstanding.” U.S. art. Labs., Inc., 707, Automated Med. 471 U.S.

VI, purposes Supremacy cl. 2. For of the 713, (1985). 105 S.Ct. 85 L.Ed.2d 714 Clause, constitutionality "the of local ordi- (2000) (11th Cir.2009)). contrast, (holding that 750 A.2d By regulation or and local “must not have those state state preempt does not foreclosing restricting or the effect of or that have a more remote local laws ability operations railroad’s to conduct its transportation. rail impact incidental in- Moreover, govern- unreasonably burdening or otherwise state and local id. See (internal act, quotation commerce” general to their terstate may pursuant ments omitted)).9 certain areas marks powers, regulate to police activity; example, lo- affecting railroad that, Norfolk Southern maintains fire, electric, building, plumbing cal if, “by asserting power to determine See generally preempted. codes are when, under what conditions trucks Vermont, 404 Corp. R.R. Mtn. Green may Facility, City’s enter or leave the Cir.2005). (2d F.3d directly regulate Facility.” actions do Appellees Br. of 17. The district court af likewise concluded “the Ordinance matter, we first consid- assessing In City nearly fords the unlimited discretion Ordinance, as applied er whether regarding when and under what conditions Permit, regulates “transporta- through the grant permits.... to railroad is re ‘[T]he carrier,” tion a rail as defined permit from until a [its activities] strained Any regulation preempt- ICCTA. such Opinion is issued....’” District Court a permissi- ed unless it can be classified as Mtn., 643). (quoting Green F.3d City’s police powers. ble exercise of the Put simply, agree with the district Although agree that ethanol regu- the Ordinance Permit transloading falls within the ICCTA’s transloading Facility. late ethanol at the they disagree preemptive scope, on wheth- The Ordinance authorizes the to im- directly regu- and Permit er Ordinance restrictions, pose any “conditions and Facility transloading oper- late the and its transportation] may the director deem [of ations. appropriate promote safety.” to traffic 5-2-27(b). open-ended Ordinance This It is well that a established state or provision grants the unlimited control law that a permits entity local non-federal Facility over the transloading. and its prohibit operations a restrict Moreover, the reveals the record substan- preempted rail carrier is under the ICC- practical implications tial en- See, Mtn., e.g., TA. Green 404 F.3d at 643 deposition, forcement actions. his (concluding that ICCTA state trainmaster Southern “unduly environmental law that inter proposition the common-sense by giving with interstate commerce fere^] body ability deny limiting the local the carri of trucks that number leave right Facility] directly many er the to construct facilities or con affects how [the (internal operations” can quotation duct marks railcars be unloaded.... would [I]t omitted)); just Ridgefield Vill. Park v. N.Y. be short amount of time before my I Susquehanna Ry. Corp., & W. 163 N.J. tracks would be full *9 regulations imposing permitting 9. The STB has heretofore concluded that lo- "a local regulation interfering opera- cal with railroad process prerequisite as a to the railroad's See, preempted by e.g., tions is the ICCTA. of its facilities are because [use] Borough of Riverdale-—Petition for Declarato- would, necessity, impinge upon they the of Order, ry Finance Docket No. 33466 at 8 commerce”). regulation federal of interstate (S.T.B. 10, 1999) Sept. (concluding that local

159 railroad, to the traffic for no service to” the wouldn’t be able switch valuable as it my service oth- my only other customers and permittee’s “operation involved the of er customers as required. private facility” a distribution on railroad- owned .land. See 266 F.3d at 1336. The 292. Southern em- J.A. Another Norfolk Eleventh Circuit held that backlog that the rail ployee observed by specified restrictions traffic caused the existing zoning general of ap- ordinances adversely in the Permit would affect the plicability, which are enforced a freight through “continuous movement private entity leasing property from a Moreover, yards.” our Id. at 276. this transportation pur- railroad for non-rail ripple through effect “could elsewhere the poses, sufficiently are not linked to rules system.” rail Id. at [Norfolk Southern] governing operation the of the railroad 258. so to respect as constitute laws “with to City The the regu- asserts that Permit regulation transportation.” of rail only leaving Facility, lates the the trucks at Id. 1331. The in that dispute case itself, not the transloading process and application involved the of local laws to a “delivery, transporta- and therefore receiver’s happened business that to be on tion, complete upon transloading.” Br. property. railroad In this dispute, howev- According Appellants City, 25. to the er, the Permit directly Ordinance and im- regulate any the Permit not aspect “do[es] pact ability Norfolk Southern’s to move trains, unloading of the movement of the fact, In goods shipped by rail. the Elev- trains, or the transloading day time of carefully distinguished enth Circuit its de- occur, during transloading which can presented here, cision from the situation that can the number of trucks be filled permitting requirements where the local any day.” with ethanol in Id. Although “unduly interfere with interstate com- City relies on decisions for several its by body merce giving ability the local here, legal position of those authori- none deny right to the carrier the to construct actually support position ties facilities or conduct operations.” Id. at E. appeal. Ry., See Fla. Coast n. (emphasis quotation internal 1328; Operating City F.3d CFNR Co. v. omitted).10 marks Canyon, Am. F.Supp.2d (N.D.Cal.2003); Ry., 171 In re Vt. Vt. dispute City between the (2000). 769 A.2d 648 Southern, by contrast, necessarily regulate

For Ordinance and Permit example, in Florida East Coast Railway, transloading operations a use of of Norfolk permittee’s a.railyard Thus, activity Facility. City not Southern at the was within ICCTA’s preemptive scope yard regulated “transportation by has a rail because car rier,” public provide[d] by no function and as “serve[d] defined the ICCTA.11 City relied attempt other authorities on ation or otherwise with or interfere inapposite. Ry., regulate are likewise See Vt. 769 A.2d operations”). rail (concluding at 653-55 ICCTA did not 11. The that the also maintains Ordinance preempt regulated activity local laws that —a carrier,” regulate Permit do not "rail as operation salt distributorship— railroad's of a sought regu- contends that has it "ancillary operations of the rail line” only travelling late to and those trucks from impact that did not have "an economic Facility. This contention is also without operations”); Operating [the CFNR railroad's] above, Co., reg- merit. As the activities F.Supp.2d (concluding at 1118 are, regulation ulated preempt ICCTA did not the Ordinance Permit that did STB, "prevent anyone running oper- recognized by integral part “an from rail *10 160 rail conducting opera- before permit issued 2. “permit- to as generally referred tions— that, if Next, even City asserts requirements ting” “preclearance” or —will regulate “trans Ordinance

the Permit and on rail an unreasonable burden impose carrier,” yet it was by a rail portation Mtn., See, 404 transportation. e.g., Green pursuant to its the Permit entitled to issue Gov’t, 643; City Auburn v. U.S. F.3d at local for a state or powers. order police (9th Cir.1998). 1025, 1030-31 154 F.3d police proper to be a exercise regulation Here, City power example, for has context, regulation a power such the trans- significantly halt or diminish (1) rail carri discriminate must not by Facility at the de- (2) loading operations rail car unreasonably burden ers or permits by haul or increas- Ry. Corp. clining to issue Susquehanna N.Y. & W. riage. (3d Cir.2007) Jackson, 238, a specified therein. As ing restrictions 643). Mtn., 404 F.3d at The (citing result, or Green the Ordinance entails “extended decision Mountain Second Circuit’s Green delays” on the open-ended based are regulations that local explains further Permit, of the and issuance issuance “at to the extent that least necessarily “the exercise requires Permit safety, are [they] public health and protect Mtn., City. by of discretion” Green defined, obeyed can be with settled and at The Ordinance and Permit F.3d 643. certainty, entail no extended reasonable notwithstanding are preempted, thus delays, approved can be open-ended powers possessed by City. Ac- police (or rejected) the exercise of discre without Permit, cordingly, the Ordinance and as subjective questions.” 404 F.3d tion on Southern, preempt- applied to 643. ed under the ICCTA.12 and Per Although the Ordinance commendably public

mit seek to enhance B. unreasonably rail car safety, they burden aspect appeal, separate As of its escape pre cannot riage and thus City reverse the district asks we exception. emption police power under the ruling provides that the HMTA recognized courts have re Several locally preemption. basis for And quiring a rail carrier to obtain alternative however, operations, provision transportation by and Permit on such [the railroad's] Transp., argument rail Hi Tech LLC—Petition plainly carrier.” meritless. See render this Order, Declaratory Locke, Finance Docket No. United States v. 529 U.S. 14, Indeed, (S.T.B. 2003). Aug. 34192 at 7 1135, ("[A]n (2000) as- S.Ct. 146 L.Ed.2d 69 Facility considering precise at issue in this sumption' nonpre-emption triggered is not appeal, the STB Decision concluded that regulates in an where when the State area “transloading transporta- bundled with the history significant there has been a federal provides tion that [Norfolk Southern] services Servs., LLC, Fayard v. presence.”); Ne. Vehicle shippers.” STB Decision 4. As a to ethanol result, (1st Cir.2008) ("Historically, F.3d transloading operations at the Fa- regulation federal of railroads has been exten- carrier,” cility by a as are conducted "rail ”). prin- The seeks to avoid this sive. defined the ICCTA. again asserting ciple by that the Ordi- once city applies only traffic on nance to "truck applica- also seeks to forestall the The Appellants streets.” Br. of 12. As relying legal pre- preemption by on a tion of above, See, reject that characterization because sumption against preemption. federal Permit, Ordinance, Medtronic, Lohr, applied through the e.g., 518 U.S. Inc. v. (1996). transpor- regulates L.Ed.2d 700 116 S.Ct. much more than local history regulation of federal of railroad tation of ethanol truck. operations the Ordinance and the effect of

161 through cross-appeal, its Norfolk Southern folk Southern’s alternative pre- bases for ruling us to reverse the court’s emption asks under the HMTA or the FRSA preempted by the Ordinance was not any practical could have effect on the are constrained to FRSA. We decline both outcome of this case. Whether those stat- invitations. Our decision on the ICCTA utes preempt the Ordinance and Permit preempts issue—that federal law the Ordi- impact would have no on disposition our being applied nance from to Norfolk matter, namely, the Ordinance through Southern the Permit —moots the and Permit preempted by the ICCTA. pursued HMTA and FRSA issues here. Thus, pass were we to on the HMTA and FRSA bases for preemption, we could of- always obliged We are to as fer nothing more than an advisory opinion dispute sure ourselves that a live exists potentially on questions difficult of federal- parties stages between the at all of litiga ism and constitutional law. See Friends of tion. English See Arizonans for Official Everglades Dist., v. S. Fla. Mgmt. Water Arizona, 43, 67, 1055, v. 520 117 U.S. S.Ct. 1210, (11th Cir.2009) (“To 570 F.3d 1216 (1997). dispute 137 L.Ed.2d 170 A is moot decide a moot issue is to issue an advisory when “the lack a legally cognizable opinion----”); Md., see also Bell Atl. Inc. interest the outcome.” Erie v. v. Prince George’s County, 863, 212 F.3d AM., 277, 287, Pap’s 529 U.S. 120 S.Ct. (4th Cir.2000) (discussing constitution- (2000) (internal 1382, 146 L.Ed.2d quo al nature analysis). The omitted). tation marks And the parties Ashwander doctrine of constitutional when, lack such interest for example, avoidance—which applies with equal force our possi resolution of an issue could not to preemption claims—cautions bly any practical have effect on the out any such endeavor. See Columbia Ven- come of the matter. See Fla. Ass’n of ture, Davis, LLC, LLC v. Dewberry & Facilities, Rehab. Dep’t Inc. v. Fla. Cir.2010) F.3d 828-29 (citing Sens., Health & Rehabilitative 225 F.3d Auth., Ashwander v. Valley Tenn. 297 U.S. (11th Cir.2000) (“When 1208, 1217 events 288, 341-47, 56 S.Ct. 80 L.Ed. 688 subsequent to the commencement of a law (1936) (Brandeis, J., concurring)). Accord- suit create a situation which the court ingly, we will not blithely tread into other longer can give plaintiff no meaningful complex disposition issues when our relief, the case is moot and must be dis ICCTA claim definitively resolves this missed.”). Thus, although the parties may matter. opinion desire we “render an to satis fy their demand curiosity for vindication or customary practice when a right about who’s in the and who’s in the case is rendered moot on appeal is to

wrong,” may only “decide cases that vacate the moot aspects of the lower matter the real Wyoming world.” judgment. Smith, See Alvarez v. Interior, Dep’t U.S. 587 F.3d — — -, U.S. 130 S.Ct. (10th Cir.2009) (“[0]ur inability to ren - (2009) L.Ed.2d (explaining that judgment der hypothetical nice or advi “normally courts ... vacate the lower sory questions ... distinguishes the role of in a moot case because judge the federal from that of the advisor doing so path clears the relitiga- future order.”). or academic in our constitutional tion of the issues parties” between the (internal

The foregoing principles are con quotation omitted)); marks see trolling with respect to the HMTA and also v. Bunting, Mellen (4th Cir.2003) (“If Any ruling by FRSA issues. us on Nor- a claim becomes moot *12 nt) customary to deviate from our a court’s final reason entry the of district after vacating judg- the lower court’s completion practice of of prior judgment review, the claims. generally we vacate ment as to moot appellate practice The established judgment....”). however, warranted, “only IV. vacatur is

of through hap- has occurred mootness where we affirm the foregoing, Pursuant to the through than the volun- rather penstance, the judgment court’s on district Mellen, losing party.” of the tary action issue, dismiss the balance preemption is not Although at 364. vacatur moot, as and vacate the appeals these has been rendered when case warranted as to the and FRSA judgment HMTA settlement, seeks by party “a who moot preemption issues. ruling, an adverse of the merits of review PART, IN DISMISSED AFFIRMED vagaries the of circum- by is frustrated but PART, IN PART. IN AND VACATED stance, in fairness be forced to ought not Bancorp U.S. judgment.” in acquiesce GOODWIN, Judge, District Chief P’ship., Mortgage Co. v. Bonner Mall dissenting part: in in concurring part 18, 25, L.Ed.2d 233 115 S.Ct. U.S. join majority affirming I the dis- (1994). issue, ruling trict court’s on the ICCTA circumstances, we are satisfied In these disagree with its decision respectfully but judg- court’s that vacatur of district rulings to vacate the district court’s on preemption on the HMTA and FRSA ment Rather than HMTA and FRSA issues. Addressing is warranted. those is- counts I affirm the vacating rulings, those would advisory in an simply would result sues judgment district court’s on the ICCTA being rendered on moot issues. opinion issue, City’s appeal of the dismiss the Furthermore, City’s appeal of the ruling, court’s HMTA and dismiss preemption ruling and Norfolk HMTA rul- cross-appeal Southern’s FRSA cross-appeal pre- of the FRSA Southern’s ing. by were rendered moot not emption ruling By ask us to appeals, parties their any voluntary action of either virtue rulings of cir- address the district party, vagaries but instead short, preempted by is parties are de- whether the Ordinance cumstance. major- I agree adverse de- HMTA and FRSA. with the appellate nied review those invitation, ity of our decision on that we should decline this terminations as result because our decision on the ICCTA issue the ICCTA issue and be- effectively of some unilateral action on their moots the HMTA and FRSA cause Assn., Int’l v. Thus, issues. See Air Line Pilots as settlement.13 there is part, such sincerely appreciate thoughtful judgments We tur of the HMTA and FRSA is warranted, implicit expressed by distinguished whether the vacatur views our col- sufficiently opinion, par- partial league separate his advocated dissent fine ticularly protects the and the thank him for his concurrence in the interests above, system. preemption aspect opinion. judicial We see of this also As essential, ruling primar- essentially question. explicit agree on the mootness vacatur (''[0]ur ily post application because of the constitutional See at 19 decision on the ICCTA effectively denied Norfolk South- moots the HMTA and FRSA avoidance doctrine has issue issues.”). rights appeal, pursu- appears their It that our sole difference ern one, may greater 28 U.S.C. of the district court's a narrow which well be of ant to preemp- community and FRSA than to on the HMTA interest to the academic everyday litigants: explicit vaca- whether an tion claims. Corp., 897 F.2d gage UAL 1396-97 Co. v. Bonner P’ship, Mall 513 U.S. Cir.1990). 115 S.Ct. 130 L.Ed.2d 233 (1994). majority bases its decision to

Nevertheless, the HMTA and is- FRSA vacate on its belief that customary “[t]he traditional, sues are not “moot” practice when a case is rendered moot on is, III Article sense of that word. That we *13 appeal is to vacate the moot aspects of the possess jurisdiction continue to to review (cit- lower judgment.” Ante at 161 them, may but decline to do out of so — Smith, ing Alvarez v. -, U.S. prudential concerns. As the Seventh Cir- — - 576, 581, S.Ct. (2009), L.Ed.2d explained, cuit has concep- there is both a and Mellen Bunting, 355, tual practical and a reason for this: “The (4th Cir.2003)). Upon inspection, closer conceptual reason is that it is cases rather however, the cases upon by relied the ma- than reasons that become moot. Whether jority materially are distinguishable from gives a court grounds one or ten for its this case. result is not a question to which III Article

prescribes practical an answer. The rea- Méllen, In both Alvarez and the issues son is that grounds the alternative are ripe appeal on became moot they before were deciding may decision and them help a presented appellate court. For in- a higher subsequent court.” (citing Id. stance, in the petitioner Alvarez sued state Leon, 897, United States v. 468 U.S. 924- unlawfully officials for seizing his property. 25, 3405, (1984); 104 S.Ct. 82 L.Ed.2d 677 After the court of appeals judg- rendered a Wright, 13B Charles Alan Arthur R. Mil- ment, but argument before oral in the ler & Edward H. Cooper, Federal Practice Court, Supreme the state returned the (2d ed.1984)). § and Procedure petitioner’s property. Because this left no

Therefore, Article III case or controversy, while we could the decide these Court held that it III, jurisdiction issues within the confines lacked of Article over the dispute, vacated doing decision, so this case the lower-court inappropri- would be and out, ate. As remanded with majority points instructions to federal dismiss. Alvarez, 130 long Mellen, courts have S.Ct. at 583. adhered to the And constitu- cadets at the Virginia tional avoidance Military doctrine. See Ashwander Institute Auth., sought declaratory Valley injunctive v. Tenn. 297 U.S. relief (1936) (Bran- superintendent the VMI 56 S.Ct. 80 L.Ed. 688 for violat- déis, J., (“The ing religious their concurring) freedoms. Court will not After the district judgment, court ‘formulate rule of but before constitutional law argued case was on required by appeal, broader than is precise plaintiff- ” graduated. to which cadets applied.’ Judge King facts it is to be (quot- ing a claim Liverpool, “[i]f N.Y. & Phila. becomes moot after the Steamship Comm’rs, entry of a district Emigration Co. v. court’s final judgment 113 U.S. (1885))). prior to the completion 5 S.Ct. 28 L.Ed. of appellate This review, we generally admonition is particularly apt judgment vacate the pre- context, emption Mellen, remand for where federalism dismissal.” issues Thus, F.3d at 364. panel the forefront. vacated the judgment district court and dismissed the But majority unnecessary takes the case. step of vacating the HMTA and FRSA aspects of the district court situations, decision—what In those agree I that vacatur Supreme Court has termed an “ex- was appropriate. Something happened traordinary remedy.” Bancorp U.S. Mort- factually prior to an appellate decision— — Manning's lead in this I would follow appeal, depriv- the issues

that mooted have chosen not to address the case. We juris- III court of Article appellate ing rulings court’s HMTA and FRSA district the cases became moot Because diction. prudential out of concerns. Because appeal, be reviewed on they could before issues, those have chosen not to address essentially was judgment lower-court only law from the district point unreviewable. any effect is opinion preclusive court with however, on the Here, it is our decision (Sec- See Restatement ruling. its ICCTA issue, any underlying rather than ond) (1982) Judgments 27 cmt. 0 facts, that has “mooted” the in the change (“If [trial] FRSA issues. Unlike HMTA of two is- was based on determination *14 Mellen, those in Alvarez moot issues sues, indepen- standing either of which appellate from re- not insulated issues are dently support would be sufficient jurisdic- federal a lack of view because result, up- appellate and .... reasons, Rather, we prudential tion. determinations as suffi- holds one of these them. declining to address cient and refuses to consider whether accordingly not the other is sufficient and presented was situation A similar is con- judgment, affirms the Manning, v. 527 F.3d 828 States United determination.”). By clusive as to the first Cir.2008). case, In that the United expressing propriety no view on the Washington state envi- challenged States issues, and rulings district court’s on those The district court in- ronmental statute. court on the affirming instead the district the state statute on several validated alone, only the ICCTA issue ICCTA issue that it The district court ruled grounds. extraordinary viability. has continued law, and that it federal was remedy of vacatur is therefore unneces- immunity, sovereign federal contravened sary this case. Clause, and the Contract the Commerce Washington appeal- The State Clause. rulings. The court of of these

ed each the district court’s deci- affirmed

appeals Having issue.

sion on which to affirm ground one

identified judgment, the court the district America, UNITED STATES of other chal- declined to address State’s Plaintiff-Appellee, footnote, explained, lenges. In a the court “Because the CPA is invalid under GRAHAM, Clause, Defendant- Robert E. Supremacy we do not need Appellant. chal- reach the additional constitutional not reach the lenges. Although we do No. 09-6013. immunity chal- sovereign issue of or the Appeals, United States Court of lenges under the Commerce Clause Fourth Circuit. Clause, we decline to vacate the Contract order portions those of the district court’s 27, 2010. Argued: Jan. Rather, requests. simply as the State Decided: June unnecessary to express no view on issues Manning, 527 F.3d at 837 opinion.” n. 8.

Case Details

Case Name: Norfolk Southern Railway Co. v. City of Alexandria
Court Name: Court of Appeals for the Fourth Circuit
Date Published: Jun 16, 2010
Citation: 608 F.3d 150
Docket Number: 09-1566, 09-1608
Court Abbreviation: 4th Cir.
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