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Full Opinion
E. GRADY JOLLY, Circuit Judge, joined by EDITH H. JONES, Chief Judge, and JERRY E. SMITH, RHESA H. BARKSDALE, EMILIO M. GARZA, EDITH BROWN CLEMENT, OWEN, JENNIFER W. ELROD, SOUTHWICK and HAYNES, Circuit Judges:
The overarching question before the en banc Court is whether a writ of mandamus should issue directing the transfer of this case from the Marshall Division of the Eastern District of Texas â which has no connection to the parties, the witnesses, or the facts of this case â to the Dallas Division of the Northern District of Texasâ which has extensive connections to the parties, the witnesses, and the facts of this case. We grant the petition and direct the district court to transfer this case to the Dallas Division.
I.
A.
On the morning of May 21, 2005, a Volkswagen Golf automobile traveling on a freeway in Dallas, Texas, was struck from behind and propelled rear-first into a flatbed trailer parked on the shoulder of the freeway. Ruth Singleton was driving the Volkswagen Golf. Richard Singleton was a passenger. And Mariana Singleton, Richard and Ruth Singletonâs seven-year-old granddaughter, was also a passenger. Richard Singleton was seriously injured in the accident. Mariana Singleton was also seriously injured in the accident, and she later died as a result of her injuries.
Richard Singleton, Ruth Singleton, and Amy Singleton (Marianaâs mother) filed suit against Volkswagen AG and Volkswagen of America, Inc., in the Marshall Division of the Eastern District of Texas, alleging that design defects in the Volkswagen Golf caused Richardâs injuries and Marianaâs death.
In response to the Singletonsâ suit, Volkswagen filed a third-party complaint against the driver of the automobile that struck the Singletons, alleging that the Singletons had the ability to sue him but did not and that his negligence was the only proximate cause of the damages.
B.
Pursuant to 28 U.S.C. § 1404(a),
The district court denied Volkswagenâs transfer motion. Singleton v. Volkswagen of Am., Inc., 2006 WL 2634768 (E.D.Tex. Sept. 12, 2006). Volkswagen then filed a motion for reconsideration, arguing that the district court gave inordinate weight to the plaintiffsâ choice of venue
C.
Volkswagen then petitioned this Court for a writ of mandamus. In a per curiam opinion, a divided panel of this Court denied the petition and declined to issue a writ. In re Volkswagen of Am. Inc., 223 Fed.Appx. 305 (5th Cir.2007). The panel majority held that the district court did not clearly abuse its discretion in denying Volkswagenâs transfer motion. Judge Garza wrote a dissenting opinion and in it noted that â[t]he only connection between this case and the Eastern District of Texas is plaintiffsâ choice to file there; all other factors relevant to transfer of venue weigh overwhelmingly in favor of the Northern District of Texas.â Id. at 307 (Garza, J., dissenting).
Volkswagen then filed a petition for rehearing en banc. The original panel interpreted the petition for rehearing en banc as a petition for panel rehearing, granted it, withdrew its decision, and directed the Clerkâs Office to schedule the petition for oral argument. A second panel of this Court then heard oral argument on the issues raised for review. The second panel granted Volkswagenâs petition and issued a writ directing the district court to transfer this case to the Dallas Division. In re Volkswagen of Am., Inc., 506 F.3d 376 (5th Cir.2007).
The Singletons then filed a petition for rehearing en banc, which the Court granted. In re Volkswagen of Am., Inc., 517 F.3d 785 (5th Cir.2008).
II.
In this opinion, we will first address whether mandamus is an appropriate means to test a district courtâs ruling on a venue transfer motion. Citing our precedents and the precedents of the other courts of appeals, we hold that mandamus is appropriate when there is a clear abuse of discretion. We note that the Supreme Court has set out three requirements for the issuance of the writ. Of these, we address first whether Volkswagen has established a clear and indisputable right to the writ. We begin by observing that the only factor that favors keeping the case in Marshall, Texas, is the plaintiffsâ choice of venue. We discuss this privilege granted under 28 U.S.C. § 1391, and how the privilege is tempered by the considerations of inconvenience under § 1404(a). We demonstrate that a plaintiffs choice of forum under the forum non conveniens doctrine
III.
Because some suggestion is made that mandamus is an inappropriate means to test the district courtâs discretion in ruling on venue transfers, we will first turn our attention to this subject.
We â and the other courts of appeals that have considered the matterâ have expressly ârecognized the availability of mandamus as a limited means to test the district courtâs discretion in issuing transfer orders.â In re Horseshoe Entmât, 337 F.3d 429, 432 (5th Cir.2003).
Although the Supreme Court has never decided mandamus in the context of § 1404(a), the Supreme Court holds that mandamus is an appropriate remedy for âexceptional circumstances amounting to a judicial usurpation of power or a clear abuse of discretion.â Cheney v. U.S. Dist. Ct., 542 U.S. 367, 380, 124 S.Ct. 2576, 159 L.Ed.2d 459 (2004) (citations and internal quotation marks omitted). Thus, the specific standard that we apply here is that mandamus will be granted upon a determination that there has been a clear abuse of discretion.
The Supreme Court also has said, however, that courts reviewing petitions for mandamus âmust be careful lest they suffer themselves to be misled by labels such as âabuse of discretionâ and âwant of powerâ into interlocutory review of nonappealable orders on the mere ground that they may be erroneous.â Will v. United States, 389 U.S. 90, 98 n. 6, 88 S.Ct. 269, 19 L.Ed.2d 305 (1967); see Bankers Life & Cas. Co. v. Holland, 346 U.S. 379, 382-83, 74 S.Ct. 145, 98 L.Ed. 106 (1953) (rejecting reasoning that implied that âevery interlocutory order which is wrong might be reviewed under the All Writs Actâ). This admonition distinguishes the standard of our ap
Admittedly, the distinction between an abuse of discretion and a clear abuse of discretion cannot be sharply defined for all cases. As a general matter, a courtâs exercise of its discretion is not unbounded; that is, a court must exercise its discretion within the bounds set by relevant statutes and relevant, binding precedents.
Thus, as to the suggestion that mandamus is an inappropriate means to test the district courtâs discretion in ruling on venue transfers, the precedents are clear that mandamus is entirely appropriate to review for an abuse of discretion that clearly exceeds the bounds of judicial discretion.
Because the writ is an extraordinary remedy, the Supreme Court has established three requirements that must be met before a writ may issue: (1) âthe party seeking issuance of the writ [must] have no other adequate means to attain the relief he desires â -a condition designed to ensure that the writ will not be used as a substitute for the regular appeals processâ; (2) âthe petitioner must satisfy the burden of showing that [his] right to issuance of the writ is clear and indisputableâ; and (3) âeven if the first two prerequisites have been met, the issuing court, in the exercise of its discretion, must be satisfied that the writ is appropriate under the circumstances.â Cheney, 542 U.S. at 380-81, 124 S.Ct. 2576 (alterations in original) (citations and internal quotation marks omitted). âThese hurdles, however demanding, are not insuperable.â Id. at 381, 124 S.Ct. 2576.
Although, at the moment, we will not address these requirements in the context of and in the order enumerated in Cheney, we shall tie it all together further into the opinion. We shall first address the second requirement because it captures the essence of the disputed issue presented in this petition.
A.
The second requirement is that the petitioner must have a clear and indisputable right to issuance of the writ. If the district court clearly abused its discretion (the standard enunciated by the Supreme Court in Cheney) in denying Volkswagenâs transfer motion, then Volkswagenâs right to issuance of the writ is necessarily clear and indisputable. In re U.S. Dept. of Homeland Sec., 459 F.3d 565, 571 (5th Cir.2006) (Dennis, J., concurring) (noting that petitioner must show âthat its right to issuance of the writ is âclear and indisputableâ by demonstrating that there has been a âusurpation of judicial powerâ or a âclear abuse of discretionâ â); In re Steinhardt Partners, 9 F.3d 230, 233 (2d Cir.1993) (same); In re Wilson, 451 F.3d 161, 169 (3d Cir.2006) (same); In re Qwest Commcâns Intâl Inc., 450 F.3d 1179, 1184 (10th Cir.2006) (same).
There can be no question but that the district courts have âbroad discretion in deciding whether to order a transfer.â Balawajder v. Scott, 160 F.3d 1066, 1067 (5th Cir.1998) (quoting Caldwell v. Palmetto State Sav. Bank, 811 F.2d 916, 919 (5th Cir.1987)). But this discretion has limitations imposed by the text of § 1404(a) and by the precedents of the Supreme Court and of this Court that interpret and apply the text of § 1404(a).
1.
The preliminary question under § 1404(a) is whether, a civil action âmight have been broughtâ in the destination venue. Volkswagen seeks to transfer this case to the Dallas Division of the Northern District of Texas. All agree that this civil action originally could have been filed in the Dallas Division. See 28 U.S.C. § 1391.
2.
Beyond this preliminary and undisputed question, the parties sharply disagree. The first disputed issue is whether the district court, by applying the forum non conveniens dismissal standard, erred by giving inordinate weight to the plaintiffsâ choice of venue. We have noted earlier that there is nothing that ties this case to the Marshall Division except plaintiffsâ choice of venue. It has indeed been suggested that this statutorily granted choice is inviolable. A principal disputed question, then, is what role does a plaintiffs choice of venue have in the venue transfer analysis. We now turn to address this question.
(a)
When no special, restrictive venue statute applies, the general venue statute, 28 U.S.C. § 1391, controls a plaintiffs choice of venue. Under § 1391(a)(1), a diversity action may be brought in âa judicial district where any defendant resides, if all defendants reside in the same State.â Under § 1391(c), when a suit is filed in a
Congress, however, has tempered the effects of this general venue statute by enacting the venue transfer statute, 28 U.S.C. § 1404. The underlying premise of § 1404(a) is that courts should prevent plaintiffs from abusing their privilege under § 1391 by subjecting defendants to venues that are inconvenient under the terms of § 1404(a). See Norwood v. Kirkpatrick, 349 U.S. 29, 75 S.Ct. 544, 99 L.Ed. 789 (1955); cf. Gulf Oil Corp. v. Gilbert, 330 U.S. 501, 507, 67 S.Ct. 839, 91 L.Ed. 1055 (1947) (â[The general venue] statutes are drawn with a necessary generality and usually give a plaintiff a choice of courts.... But the open door may admit those who seek not simply justice but perhaps justice blended with some harassment.â). Thus, while a plaintiff has the privilege of filing his claims in any judicial division appropriate under the general venue statute, § 1404(a) tempers the effects of the exercise of this privilege.
(b)
With this understanding of the competing statutory interests, we turn to the legal precedents. We first turn to Gilbert because of its historic and precedential importance to § 1404(a), even today.
In 1947, in Gilbert, the Supreme Court firmly established in the federal courts the common-law doctrine of forum non conveniens. See Piper Aircraft Co. v. Reyno, 454 U.S. 235, 248, 102 S.Ct. 252, 70 L.Ed.2d 419 (1981) (noting that âthe doctrine of forum non conveniens was not fully crystallizedâ until Gilbert). The essence of the forum non conveniens doctrine is that a court may decline jurisdiction and may actually dismiss a case, even when the case is properly before the court, if the case more conveniently could be tried in another forum. Gilbert, 330 U.S. at 507, 67 S.Ct. 839.
Shortly after the Gilbert decision, in 1948, the venue transfer statute became effective. The essential difference between the forum non conveniens doctrine and § 1404(a) is that under § 1404(a) a court does not have authority to dismiss the case; the remedy under the statute is simply a transfer of the case within the federal system to another federal venue more convenient to the parties, the witnesses, and the trial of the case. Thus, as the Supreme Court has said, âCongress, by the term âfor the convenience of parties and witnesses, in the interest of justice,â intended to permit courts to grant transfers upon a lesser showing of inconvenience.â Norwood, 349 U.S. at 32, 75 S.Ct. 544.
As to the appropriate standard, in Humble Oil we noted that âthe avoidance of dismissal through § 1404(a) lessens the weight to be givenâ to the plaintiffs choice of venue and that, consequently, âhe who seeks the transfer must show good cause.â 321 F.2d at 56. This âgood causeâ burden reflects the appropriate deference to which the plaintiffs choice of venue is entitled. When viewed in the context of § 1404(a), to show good cause means that a moving party, in order to support its claim for a transfer, must satisfy the statutory requirements and clearly demonstrate that a transfer is â[f]or the convenience of parties and witnesses, in the interest of justice.â Thus, when the transferee venue is not clearly more convenient than the venue chosen by the plaintiff, the plaintiffs choice should be respected. When the movant demonstrates that the transferee venue is clearly more convenient, however, it has shown good cause and the district court should therefore grant the transfer.
3.
We thus turn to examine the showing that Volkswagen made under § 1404(a) and the district courtâs response.
As noted above, we have adopted the private and public interest factors first enunciated in Gulf Oil Corp. v. Gilbert, 330 U.S. 501, 67 S.Ct. 839, 91 L.Ed. 1055 (1947), a forum non conveniens case, as appropriate for the determination of whether a § 1404(a) venue transfer is for the convenience of parties and witnesses and in the interest of justice. See Humble Oil, 321 F.2d at 56.
The private interest factors are: â(1) the relative ease of access to sources of proof; (2) the availability of compulsory process to secure the attendance of witnesses; (3) the cost of attendance for willing witnesses; and (4) all other practical problems that make trial of a case easy, expeditious and inexpensive.â In re Volkswagen AG, 371 F.3d 201, 203 (5th Cir.2004) [hereinafter In re Volkswagen I] (citing Piper Aircraft, 454 U.S. at 241 n. 6, 102 S.Ct. 252). The public interest factors are: â(1) the administrative difficulties flowing from court congestion; (2) the local interest in having localized interests decided at home; (3) the familiarity of the forum with the law that will govern the case; and (4) the avoidance of unnecessary problems of conflict of laws [or in] the application of foreign law.â Id.
Although the Gilbert factors are appropriate for most transfer cases, they are not necessarily exhaustive or exclusive. Moreover, we have noted that ânone ... can be said to be of dispositive weight.â Action Indus., Inc. v. U.S. Fid. & Guar. Corp., 358 F.3d 337, 340 (5th Cir.2004).
(a)
Before the district court, Volkswagen asserted that a transfer was warranted because: (1) the relative ease of access to sources of proof favors transfer as all of the documents and physical evidence relating to the accident are located in the Dallas Division, as is the collision site; (2) the availability of compulsory process favors transfer as the Marshall Division does not have absolute subpoena power over the non-party witnesses; (3) the cost of attendance for willing witnesses factor favors transfer as the Dallas Division is
(b)
Applying the Gilbert factors, however, the district court concluded that: (1) the relative ease of access to sources of proof is neutral because of advances in copying technology and information storage; (2) the availability of compulsory process is neutral because, despite its lack of absolute subpoena power, the district court could deny any motion to quash and ultimately compel the attendance of third-party witnesses found in Texas; (3) the cost of attendance for willing witnesses is neutral because Volkswagen did not designate âkeyâ witnesses and because, given the proximity of Dallas to the Marshall Division, the cost of having witnesses attend a trial in Marshall would be minimal; and (4) the local interest in having localized interests decided at home factor is neutral because, although the accident occurred in Dallas, Texas, the citizens of Marshall, Texas, âwould be interested to know whether there are defective products offered for sale in close proximity to the Marshall Division.â Based on this analysis, the district court concluded that Volkswagen âhas not satisfied its burden of showing that the balance of convenience and justice weighs in favor of transfer.â
(c)
We consider first the private interest factor concerning the relative ease of access to sources of proof. Here, the district courtâs approach reads the sources of proof requirement out of the § 1404(a) analysis, and this despite the fact that this Court has recently reiterated that the sources of proof requirement is a meaningful factor in the analysis. See In re Volkswagen I, 371 F.3d at 203. That access to some sources of proof presents a lesser inconvenience now than it might have absent recent developments does not render this factor superfluous. All of the documents and physical evidence relating to the accident are located in the Dallas Division, as is the collision site. Thus, the district court erred in applying this factor because it does weigh in favor of transfer.
The second private interest factor is the availability of compulsory process to secure the attendance of witnesses. As in In re Volkswagen I, the non-party witnesses located in the city where the collision occurred âare outside the Eastern Districtâs subpoena power for deposition under Fed. R. Civ. P. 45(c)(3)(A)(ii),â and any âtrial subpoenas for these witnesses to travel more than 100 miles would be subject to motions to quash under Fed. R.Civ.P. 45(c)(3).â Id. at 205 n. 4. Moreover, a proper venue that does enjoy absolute subpoena power for both depositions and trial â the Dallas Division â is available. As we noted above, the venue transfer analysis is concerned with convenience, and that a district court can deny any motions to quash does not address concerns regarding the convenience of parties and witnesses. Thus, the district court
The third private interest factor is the cost of attendance for willing witnesses. Volkswagen has submitted a list of potential witnesses that included the third-party defendant, accident witnesses, accident investigators, treating medical personnel, and the medical examiner- â all of whom reside in Dallas County or in the Dallas area. Volkswagen also has submitted two affidavits, one from an accident witness and the other from the accident investigator, that stated that traveling to the Marshall Division would be inconvenient. Volkswagen also asserts that the testimony of these witnesses, including an accident witness and an accident investigator, is critical to determining causation and liability in this case.
In In re Volkswagen I we set a 100-mile threshold as follows: âWhen the distance between an existing venue for trial of a matter and a proposed venue under § 1404(a) is more than 100 miles, the factor of inconvenience to witnesses increases in direct relationship to the additional distance to be traveled.â 371 F.3d at 204-05. We said, further, that it is an âobvious conclusionâ that it is more convenient for witnesses to testify at home and that â[a]d-ditional distance means additional travel time; additional travel time increases the probability for meal and lodging expenses; and additional travel time with overnight stays increases the time which these fact witnesses must be away from their regular employment.â Id. at 205. The district court disregarded our precedent relating to the 100-mile rule. As to the witnesses identified by Volkswagen, it is apparent that it would be more convenient for them if this case is tried in the Dallas Division, as the Marshall Division is 155 miles from Dallas. Witnesses not only suffer monetary costs, but also the personal costs associated with being away from work, family, and community. Moreover, the plaintiffs, Richard Singleton and Ruth Singleton, also currently reside in the Dallas Division (Amy Singleton resides in Kansas). The Singletons have not argued that a trial in the Dallas Division would be inconvenient to them; they actually have conceded that the Dallas Division would be a convenient venue. The district court erred in applying this factor as it also weighs in favor of transfer.
The only contested public interest factor is the local interest in having localized interests decided at home. Here, the district courtâs reasoning again disregarded our precedent in In re Volkswagen I. There, under virtually indistinguishable facts, we held that this factor weighed heavily in favor of transfer. Id. at 205-06. Here again, this factor weighs heavily in favor of transfer: the accident occurred in the Dallas Division, the witnesses to the accident live and are employed in the Dallas Division, Dallas police and paramedics responded and took action, the Volkswagen Golf was purchased in Dallas County, the wreckage and all other evidence are located in Dallas County, two of the three plaintiffs live in the Dallas Division (the
Furthermore, the district courtâs provided rationale â that the citizens of Marshall have an interest in this product liability case because the product is available in Marshall, and that for this reason jury duty would be no burden â stretches logic in a manner that eviscerates the public interest that this factor attempts to capture.
4.
The reader will remember that we began our discussion by addressing the three requirements set out by the Supreme Court in Cheney for the issuance of the writ of mandamus. Up until this point, all of our discussion has focused upon the second requirement: that the right to mandamus is clear and indisputable. The remaining question as to this second requirement is whether the errors we have noted warrant mandamus relief; that is, whether the district court clearly abused its discretion in denying Volkswagenâs transfer motion. The errors of the district court â applying the stricter forum non conveniens dismissal standard, misconstruing the weight of the plaintiffsâ choice of venue, treating choice of venue as a § 1404(a) factor, misapplying the Gilbert factors, disregarding the specific precedents of this Court in In re Volkswagen I, and glossing over the fact that not a single relevant factor favors the Singletonsâ chosen venue â were extraordinary errors. Indeed, â[t]he only connection between this case and the Eastern District of Texas is plaintiffsâ choice to file there.â In re Volkswagen of Am., Inc., 223 Fed.Appx. 305, 307 (5th Cir.2007) (Garza, J., dissenting).
In the light of the above, we hold that the district courtâs errors resulted in a patently erroneous result. Thus, Volkswagenâs right to issuance of the writ is clear and indisputable, and the second requirement, under Cheney, for granting a petition for a writ of mandamus is therefore satisfied.
B.
We now return to the first and the third requirements for determining whether a writ should issue, as provided by the Supreme Court in Cheney.
The first requirement â that the petitioner must have no other adequate means to attain relief â is certainly satisfied here. As Judge Posner has noted, a petitioner âwould not have an adequate remedy for
As to the third requirement for granting a petition for a writ of mandamus, we must assure ourselves that it is appropriate in this case. We have addressed most of the reasons outlined above. The district court clearly abused its discretion and reached a patently erroneous result. And it is indisputable that Volkswagen has no other adequate remedy that would provide it with relief. Further, writs of mandamus are supervisory in nature and are particularly appropriate when the issues also have an importance beyond the immediate case. See United States v. Bertoli, 994 F.2d 1002, 1014 (3d Cir.1993). Because venue transfer decisions are rarely reviewed, the district courts have developed their own tests, and they have applied these tests with too little regard for consistency of outcomes. Thus, here it is further appropriate to grant mandamus relief, as the issues presented and decided above have a