Lead Opinion
OPINION
Like cases should end in like judgments. Once this court decides questions of law presented in a dispute, a nearly identical dispute ought to yield a similar outcome. Emily Rutherford challenges the Columbia Gas Transmission Corporation’s ability to maintain its pipeline easement by clearing certain trees from her land, but her appeal comes to us soon after we affirmed the same magistrate’s rejection of another landowner’s similar claims concerning a similar easement relating to the same gas pipelines. The facts and legal arguments of the two appeals are nearly indistinguishable, so our prior decision requires affirmance of the judgment below.
While the application of stare decisis to this case is straightforward, the procedural posture creates problems of appellate jurisdiction. This suit commenced when Rutherford (a citizen of Ohio) filed an Ohio court suit to keep Columbia from cutting down seven trees that grew on Columbia’s easement on her land. She sought a declaratory judgment protecting the trees, a declaratory judgment defining the easement, damages, and costs. Columbia (incorporated in Delaware; principal place of business in West Virginia) removed based on diversity jurisdiction and filed various counterclaims. Columbia’s counterclaims included a request for a declaratory judgment defining its easement, permitting it to remove the trees, and finding Rutherford liable for various damages; a claim for injunctive relief; a claim for damages for breach of contract and property rights; a claim for punitive damages; and a claim for attorney fees and costs.
After we directed the parties to supplement their inadequate jurisdictional briefing and address this problem, the parties evidently asked the district court to amend the judgment. The magistrate entered an order entitled “Nunc Pro Tunc Order Entry of Judgment.” The order reiterates the previously entered judgment, without explanation adds a declaratory judgment finding a right of way of 25 feet on each side of the pipelines, and dismisses Columbia’s other counterclaims.
The magistrate did not seek leave under Fed.R.Civ.P. 60(a) to correct the judgment while an appeal was docketed in this court, and it is hardly clear that an order that adds new relief to a judgment could be a correction within the scope of Rule 60(a). But resolution of that question is not necessary because at oral argument Columbia explicitly stated that it was willing to relinquish all of its claims for relief in order to ensure appellate jurisdiction. While we do not encourage this procedure, it is enough to permit the exercise of appellate jurisdiction in this case. See Scarbrough v. Perez,
These claims are largely controlled by our recent decision in Andrews v. Columbia Gas Transmission Corp.,
In her reply brief, Rutherford argues that the court should distinguish Andrews because Rutherford’s trees likely had been planted in the mid-1950s, around the time Columbia’s predecessor obtained the last of the easements at issue. The Andrews trees did not exist at the time of the creation of the easements at issue in that case. Id. at 625. Rutherford argues that the fact that the gas company allowed small trees to remain on the property when it installed the second gas line shows that the parties contemplated allowing large trees to grow on the easement. But in construing an express easement with unclear dimensions, the court considers not only “circumstances surrounding” the creation of the easement, but also “what is reasonably necessary and convenient to serve the purposes for which the easement was granted.” See id. at 624 and cases
Because in Andrews we upheld an indistinguishable factual finding that a cleared right of way is reasonably necessary to serve the purpose of the easement, we must uphold that magistrate’s finding in this case that Columbia may clear trees from Rutherford’s easement. And clearing even a 15-foot right of way on each side of the pipelines would require the removal of the seven trees at issue here. Thus, Rutherford is not entitled to relief on any of her claims.
Rutherford also contests the magistrate’s holding that various equitable doctrines do not apply to express easements as a matter of Ohio law. But when pressed on this point at oral argument, her counsel conceded that Andrews’s identical holding controls, and counsel merely invited us to “reconsider” Andrews. A published prior panel decision “remains controlling authority unless an inconsistent decision of the United States Supreme Court requires modification of the decision or this Court sitting en banc overrules the prior decision.” Salmi v. Sec’y of Health & Human Servs.,
Where no controlling state decision exists, the federal court must attempt to predict what the state’s highest court would do. In performing this ventriloquial function, however, the federal court is bound by ordinary principles of stare decisis. Thus, when a panel of this Court has rendered a decision interpreting state law, that interpretation is binding on district courts in this circuit, and on subsequent panels of this Court, unless an intervening decision of the state’s highest court has resolved the issue.
Wankier v. Crown Equip. Corp.,
That conclusion is sufficient to resolve this case. Moreover, we decline to exercise our discretion to certify questions of state law to the Ohio Supreme Court. First, no party has requested certification at any stage of this litigation. Second, certification is not warranted because it would arguably be inconsistent with the Andrews court’s determination not to seek such a certification sua sponte. Third, available evidence does not suggest that the Ohio Supreme Court is likely to disagree with Andrews’s interpretation of Ohio law.
At the parties’ request, we consider the district court’s purported nunc pro tunc order as a confirmation that Columbia has agreed to the dismissal of its counterclaims. Because the order appealed from
Concurrence Opinion
concurring in part and dissenting in part.
Although I agree with much of the majority’s reasoning, I disagree with the notion that, at least with respect to Rutherford’s claims regarding the equitable doctrines of waiver, laches, and estoppel, stare decisis requires us to blindly defer to our decision in Andrews v. Columbia Gas Transmission Corp.,
I.
Our decision in Andrews, like the magistrate judge’s decision in this case, relied almost exclusively on the Ohio Court of Appeals’ decision in Lone Star Steakhouse & Saloon of Ohio, Inc. v. Ryska, No.2003L-192,
A review of Ohio law reveals very persuasive “data” that the Supreme Court of Ohio would not accept the rule of Lone Star. The Supreme Court of Ohio has applied these equitable doctrines in the context of other written contracts, see, e.g., Pedler v. Aetna Life Ins. Co.,
Furthermore, the rule announced in Lone Star seems to be predicated on a fundamental misreading of Zimmerman v. Cindle,
To the extent that there is a conflict between Zimmerman and Lone Star, we would be obliged to apply the earlier rule of Zimmerman. See Sowards v. Loudon County, Tenn.,
In addition, although the law of other states does not dictate the result here, it is relevant to our inquiry. See, e.g., Herman Miller, Inc. v. Palazzetti Imps. & Exps., Inc.,
Despite this significant evidence that the holding of Lone Star is not an accurate statement of Ohio law, our decision in Andrews relied almost exclusively on Lone Star in determining that Ohio law precludes the application of these equitable doctrines in the context of express easements. Because of this likely error, I disagree with the majority’s conclusion that we have no choice but to resolve Rutherford’s claims by reference to the rule set forth in Andrews. The approach endorsed by the majority glosses over the shortcomings of our inquiry in Andrews, and in fact compounds the error by lending credence to such an approach.
II.
According to the majority, we are “bound” to follow Andrews because no intervening Ohio state court decision “has suggested that Andrews misapplied Ohio law or reached a contrary holding.” Maj. Op. at 618-19 (citing Blaine Constr. Corp. v. Ins. Co. of N. Am.,
What the majority fails to recognize, however, is that certifying a question to a state court does not implicate, much less contradict, our obligations under stare decisis. Wdien we certify a question to a state court, we are not modifying, overturning, or otherwise refusing to follow prior precedent. Rather, we are seeking guidance from a court to which we are bound to defer on issues of state law. Certifying a question regarding Ohio law to Ohio’s highest court thus does not run counter to or even implicate whatever obligations we have to follow Andrews, it merely reflects sound judicial management.
Confronted with a wrongly decided prior panel decision, our only option normally would be to follow that decision and encourage the en banc Sixth Circuit or Supreme Court to reconsider the issue. In a diversity case such as this, however, we have the additional option of certifying a question to the state’s highest court, at least where that court’s rules make the certification procedure available. If the rules of the Supreme Court of Ohio did not make the certification procedure available, then I would agree that we would be bound by Andrews. But because the certification option is available here, and in light of the interests at stake, I believe that we are compelled to exercise our discretion and provide the Supreme Court of Ohio an opportunity to address this issue.
A.
The doctrine of stare decisis et non quieta movere — meaning “to stand by things decided, and not to disturb settled points,” Black’s Law Dictionary 1414 (7th ed.1999) — reflects the principle that, for the sake of consistency and order, courts should follow prior decisions regarding the same points of law. But stare decisis “is not an ‘inexorable command.’ ” Planned Parenthood v. Casey,
Where, such as here, our jurisdiction is predicated on the diversity of parties, we are obliged to apply state law in resolving the substantive issues presented. See Erie R.R. v. Tompkins,
In certain cases, our “duty” to properly determine and apply state law comes into conflict with the interests that normally would support our deferring to prior precedent. In such cases, some courts have recognized that the obligation to properly determine state law is more important than the general dictate to defer to prior federal precedent construing state law. See United States v. Maness,
B.
Confronted with these competing considerations, the majority resolves the issue by suggesting that stare decisis operates in this case not as a merely prudential and pragmatic consideration, but as a binding rule. In other words, according to the majority, it is not just that we would “usually defer” to Andrews, as was the ease in Maness, but that we are required to do so.
The majority’s position does have some appeal, at least superficially, in that our case law dictates that prior reported panel decisions are binding on all subsequent panels “unless an inconsistent decision of the United States Supreme Court requires modification of the decision or this Court sitting en banc overrules the prior decision.” Salmi v. Sec’y of Health & Human Servs.,
But this “binding” rule is not implicated by our certifying a question of Ohio state law to the Supreme Court of Ohio because that procedure does not “overrule” Andrews. While there may be sound and persuasive practical reasons not to exercise the certification option in certain cases — none of which are present here— we certainly are not precluded from doing so by Rule 206(c) or our decisions in Sal-mi Blaine Construction, or Big Lots. Indeed, none of these decisions even considers whether the unique dynamics of cases arising under our diversity jurisdiction re
Significantly, the “binding” rule of Sal-mi and Rule 206(c) includes important elements that make it more constraining than the traditional doctrine of stare decisis. Like stare decisis, the requirement that a subsequent panel must follow reported decisions of prior panels implicates considerations of consistency and order. That much is obvious. What perhaps is less obvious, however, is that this rule also includes the separate notion that the authority to modify or reverse a ruling should reside only in the hands of a superi- or body, and includes as a minor premise the unextraordinary proposition that panels within the same circuit are co-equals. While I do not disagree with either this rule or its underlying premises, the majority’s contention that this rule applies unyieldingly in this case overlooks several critical factors that suggest that this binding rule operates differently in diversity cases such as this.
Most importantly, it makes sense to transform the pragmatic doctrine of stare decisis into a binding rule with respect to co-equal panels only because there are at least two higher authorities — the en banc court and the Supreme Court — from which a dissatisfied party can seek reconsideration of a wrongly decided question. As our rules suggest, it makes sense to construe reported panel decisions as “binding” on subsequent panels only because en banc reconsideration always is available to correct panel mistakes. See 6 Cir. R. 35(a) and 206(c). Whereas the rule precluding subsequent panels from overturning prior reported panel decisions promotes consistency and reliability, this availability of review functions as a safety valve that allows for the vindication of the interests of accuracy and justice. See, e.g., Adkins v. Wolever,
However, this obligation to defer to “higher” courts is complicated when we sit in diversity. In diversity cases, we are obliged to apply state law and, therefore, are required to defer to the decisions of state courts. See Erie,
These considerations add a dimension of complexity to our stare decisis obligations because state courts are “co-ordinate” courts, neither superior nor inferior, in our federalist system. See id. at 33,
In addition, diversity cases also include another unique feature: namely, the potential for us to seek guidance (via the certification procedure) from the court to which we must defer. With respect to questions of federal law, subsequent panels must follow prior precedent, even if wrongly decided, and are limited to encouraging en banc reconsideration. See, e.g., Adkins,
As a result of this inversion of deference, it is impractical to expect correction by a superior federal authority. See, e.g., MacGregor,
III.
Because there is significant data to suggest that the Supreme Court of Ohio would reject the rule of Lone Star, I believe that the proper course of action is to certify a question to the Supreme Court of Ohio and allow that court to weigh in on this issue directly. I recognize that we owe deference to, and generally would be bound by, Andrews because it is a prior published decision that is almost directly on point. See Darrah,
The United States Supreme Court has recognized that, where state law makes the certification procedure available, the decision to certify a question to á state
Although “the mere difficulty in ascertaining local law is no excuse for remitting the parties to a state tribunal,” comity, cooperative federalism, and practical considerations regarding judicial economy are factors that legitimately may be considered in determining whether to certify a question to a state supreme court. Lehman Bros.,
In rejecting this suggestion, the majority points to case law in this circuit suggesting that we should defer to Andrews because state law has not “measurably changed in the meantime.” See Maj Op. at 619 (quoting Big Lots,
IV.
Therefore, I respectfully dissent.
Notes
. In Pedler, the Supreme Court of Ohio ultimately found that the claimant could be denied coverage based on information contained in the "plan summary” and "other material outlining his ineligibility,” holding that "[t]he failure of the appellee to specifically note the limitation on the face of the certificate is not sufficient, standing alone, to estop
. Justice Brandéis’ argument is limited to cases "involving the Federal Constitution” where "legislative action is practically impossible” only because legislative correction of mistakes involving matters of statutory interpretation is much more feasible than amending the Constitution, as would be required to effect a non-judicial correction of a mistake involving a matter of constitutional interpretation.
. But see Lee,
