4 Negligence 4 Negligence
4.1 Introduction to Negligence 4.1 Introduction to Negligence
4.1.1 Preface to Negligence 4.1.1 Preface to Negligence
Introduction
We now arrive at the second, and most expansive, section of this casebook: negligence. Negligence is not merely a device for assigning liability when mistakes occur. Rather, it is the law’s central framework for ordering how individuals must conduct themselves in a world where their choices inevitably affect others. It studies an individual’s failure to exercise the level of care that a reasonable person would use under similar circumstances, resulting in harm to another. By measuring conduct against the standard of the reasonable person, negligence law articulates both an ethic of responsibility and a mechanism of accountability. To study negligence, then, is to study how the law defines the boundaries between permissible risk and wrongful harm.
That’s the foundational definition, and much of the next several chapters will unpack it in detail. But the basic idea is this: the law, drawing on community standards, expects individuals to behave with a certain level of caution and awareness in particular situations. When a person falls short of those expectations and someone else gets hurt as a result, the law may impose liability—even if the harm was unintentional.
A negligence claim has four core elements, each of which must be proven by the plaintiff:
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Duty – The defendant owed the plaintiff a legally recognized obligation of care.
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Breach – The defendant failed to meet that obligation.
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Causation – The breach caused the plaintiff’s harm, both factually and legally.
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Damages – The plaintiff suffered a compensable injury.
Each of these elements has spawned a complex body of rules, exceptions, and policy considerations. We will study them in detail, starting with the question of when a duty of care arises. But as a conceptual preview, consider this description from Justice Oliver Wendell Holmes:
[O]n the one hand, the law presumes or requires a man to possess ordinary capacity to avoid harming his neighbors . . . [but] on the other, it does not in general hold him liable for unintentional injury, unless, possessing such capacity, he might and ought to have foreseen the danger, or, in other words, unless a man of ordinary intelligence and forethought would have been to blame for acting as he did.
Oliver Wendell Holmes, The Common Law 110 (1881). Thus, in Holmes’s formulation, negligence is not merely about causing harm—it’s about blameworthy conduct, judged against the standard of the ordinary person.
A (Brief) History of Negligence
Negligence is a relatively recent development in the long arc of tort law. Scholars tend to place its emergence and gradual adoption in the early 1800s. Brown v. Kendall, 60 Mass. (6 Cush.) 292 (1850), is often cited as its emergence in the United States; in that case the defendant was attempting to break up fighting dogs with a stick, and when he drew the stick back over his shoulder, he inadvertently whacked the plaintiff in the eye. From that accident, negligence was born in America.
Negligence was not a cause of action in common law England. Recall that there were two writs—Trespass and Case—most commonly used for tort claims, and what distinguished them was the directness of the force applied to the plaintiff, not the mental state of the defendant. That said, English judges may have recognized negligence as a possible basis for liability within Case as far back as the sixteenth century. In a famous example the defendant, while trying to shoot a chicken from his doorway, ended up setting his neighbor's (and his own) house on fire. Anonymous, (1582) Cro. Eliz. 10, 78 Eng. Rep. 276. His neighbor sued in Case. The Court of Common Pleas held that the suit could proceed and is recorded as describing the injury as one caused by "mischance" and "misadventure."
Contemporary use of Negligence
Negligence today is both broad and intricate. Litigants have attempted to place a litany of different factual scenarios and resulting harms, whether they be to person or to property, under the heading of negligence. Perhaps as a result, the law of negligence has slowly built itself up into a web of principles, policy rationales, and variations. Despite its short history, negligence is perhaps the chief basis for liability in tort today in the United States and in many parts of the world.
For more on the development of negligence, see, e.g., Percy H. Winfield, The History of Negligence in the Law of Torts, 42 L.Q. Rev. 184 (1926); Robert J. Kaczorowski, The Common-Law Background of Nineteenth-Century Tort Law, 51 Ohio St. L.J. 1127 (1990); S.F.C. Milson, Historical Foundations of the Common Law 283-313, 392-402 (2d ed. 1981); 2 Frederick Pollock & F.W. Maitland, The History of English Law 511-43 (2d ed. 1898); Oliver Wendell Holmes, The Common Law 77-129 (1881); see also Dan B. Dobbs, et al., The Law of Torts §§ 121-23 (2d ed. 2016).
4.1.2 United States v. Carroll Towing Co. 4.1.2 United States v. Carroll Towing Co.
The Unmoored Barge Case
UNITED STATES et al. v. CARROLL TOWING CO., Inc., et al.
Nos. 98 and 97, Dockets 20371 and 20372.
Circuit Court of Appeals, Second Circuit.
Jan. 9, 1947.
*170Robert S. Erskine and Kirlin, Campbell, Hickox & Keating, all of New York City (John H. Hanrahan, of New York City, of counsel), for Grace Line, Inc.
Edmund F. Lamb and Purdy & Lamb, all of New York City, for Conners Marine Co., Inc.,
Christopher E. Heckman and Foley & Martin, all of New York City, for Carroll Towing Co., Inc.
Frederic Conger and Burlingham, Veeder, Clark & Hupper, all of New York City (Chauncey I. Clark, of New York City, of counsel), for Pennsylvania Railroad Company.
Before L. HAND, CHASE and FRANK, Circuit Judges.
These appeals concern the sinking of the barge, “Anna C,” on January 4, 1944, off Pier 51, North River. The Conners Marine Co., Inc., was the owner of the barge, which the Pennsylvania Railroad Company had chartered; the Grace Line, Inc., was the charterer of the tug, “Carroll,” of which the Carroll Towing Co., Inc., was the owner. The decree in the limitation proceeding held the Carroll Company liable to the United States for the loss of the barge’s cargo of flour, and to the Pennsylvania Railroad Company, for expenses in salving the cargo and barge; and it held the Carroll Company also liable to the Conners Company for one half the damage to the barge; these liabilities being all subject to limitation. The decree in the libel suit held the Grace Line primarily liable for the other half of the damage to the barge, and for any part of the first half, not recovered against the Carroll Company because of limitation of liability; it also held the Pennsylvania Railroad secondarily liable for the same amount that the Grace Line was liable. The Carroll Company and the Pennsylvania Railroad Company have filed assignments of error.
The facts, as the judge found them, were as follows. On June 20, 1943, the Conners Company chartered the barge, “Anna C,” to the Pennsylvania Railroad Company at a stated hire per diem, by a charter of the kind usual in the Harbor, which included the services of a bargee, apparently limited to the hours 8 A.M. to 4 P.M. On January 2, 1944, the barge, which had lifted the cargo of flour, was made fast off the end of Pier 58 on the Manhattan side of the North River, whence she was later shifted to Pier 52. At some time not disclosed, five other barges were moored outside her, extending into the river; her lines to the pier were not then strengthened. At the end of the next pier north (called the Public Pier), lay four barges; and a line had been made fast from the outermost of these to the fourth barge of the tier hanging to Pier 52. The purpose of this line is not entirely apparent, and in any event it obstructed entrance into the slip between the two tiers of barges. The Grace Line, which had chartered the tug, “Carroll,” sent her down to the locus in quo to “drill” out one of the barges which lay at the end of the Public Pier; and in order to do so it was necessary to throw off the line between the two tiers. On board the “Carroll” at the time were not only her master, but a “harbormaster” employed by the Grace Line. Before throwing off the line between the two tiers, the “Carroll” nosed up against the outer barge of the tier lying off Pier 52, ran a line from her own stem to the middle bit of that barge, and kept working her engines “slow ahead” against the ebb tide which was making at that time. The captain of the “Carroll” put a deckhand and the “harbormaster” on the barges, told them to throw off the line which barred the entrance to the slip; *171but, before doing so, to make sure that the tier on Pier 52 was safely moored, as there was a strong northerly wind blowing down the river. The “harbormaster" and the deckhand went aboard the barges and readjusted all the fasts to their satisfaction, including those from the “Anna C,” to the pier.
After doing so, they threw off the line between the two tiers and again boarded the “Carroll,” which backed away from the outside barge, preparatory to “drilling” out the barge she was after in the tier off the Public Pier. She had only got about seventy-five feet away when the tier off Pier 52 broke adrift because the fasts from the “Anna C,” either rendered, or carried away. The tide and wind carried down the six barges, still holding together, until the “Anna C” fetched up against a tanker, lying on the north side of the pier below — Pier 51 — whose propeller broke a hole in her at or near her bottom. Shortly thereafter: i. e., at about 2:15 P.M., she careened, dumped her cargo of flour and sank. The tug, “Grace,” owned by the Grace Line, and the “Carroll,” came to the help of the flotilla after it broke loose; and, as both had syphon pumps on board, they could have kept the “Anna C” afloat, had they learned of her condition; but the bargee had left her on the evening before, and nobody was on board to observe that she was leaking. The Grace Line wishes to exonerate itself from all liability because the “harbormaster” was not authorized to pass on the sufficiency of the fasts of the “Anna C” which held the tier to Pier 52; the Carroll Company wishes to charge the Grace Line with the entire liability because the “harbormaster” was given an over-all authority. Both wish to charge the “Anna C” with a share of all her damages, or at least with so much as resulted from her sinking. The Pennsylvania Railroad Company also wishes to hold the barge liable. The Conners Company wishes the decrees to be affirmed.
The first question is whether the Grace Line should be held liable at all for any part of the damages. The answer depends first upon how far the “harbormaster’s” authority went, for concededly he was an employee of some sort. Although the judge made no other finding of fact than that he was an “employee,” in his second conclusion of law he held that the Grace Line was “responsible for his negligence.” Since the facts on which he based this liability do not appear, we cannot give that weight to the conclusion which we should to a finding of fact; but it so happens that on cross-examination the “harbormaster” showed that he was authorized to pass on the sufficiency of the fasts of the “Anna C.” He said that it was part of his job to tie up barges;- that when he came “to tie up a barge” he had “to go in and look at the barges that are inside the barge” he was “handling”; that in such cases “most of the time” he went in “to see that the lines to the inside barges are strong enough to hold these barges”; and that “if they are not” he “put out sufficient other lines as are necessary.” That does not, however, determine the other question: i. e., whether, when the master of the “Carroll” told him and the deckhand to go aboard the tier and look at the fasts, preparatory to casting off the line between the tiers, the tug master meant the “harbormaster” to exercise a joint authority with the deckhand. As to this the judge in his tenth finding said: “The captain of the Carroll then put the deckhand of the tug and the harbor master aboard the boats at the end of Pier 52 to throw off the line between the two tiers of boats after first ascertaining if it would be safe to do so.” Whatever doubts the testimony of the “harbormaster” might raise, this finding settles it for us that the master of the “Carroll” deputed the deckhand and the “harbormaster,” jointly to pass upon the sufficiency of the “Anna C’s” fasts to the pier. The case is stronger against the Grace Line than Rice v. The Marion A. C. Meseck,1 was against the tug there held liable, because the tug had only acted under the express orders of the “harbormaster.” Here, although the relations were reversed, that makes no difference in principle; and the “harbormaster” was not instructed what he should do about the fasts, but was allowed *172to use his own judgment. The fact that the deckhand shared in this decision, did not exonerate him, and there is no reason why both should not be held equally liable, as the judge held them.
We cannot, however, excuse the Conners Company for the bargee’s failure to care for the barge, and we think that this prevents full recovery. First as to the facts. As we have said, the deckhand and the “harbormaster” jointly undertook to pass upon the “Anna C’s” fasts to the pier; and even though we assume that the bargee was responsible for his fasts after the other barges were added outside, there is not the slightest ground for saying that the deckhand and the “harbormaster” would have paid any attention to any protest which he might have made, had he been there. We do' not therefore attribute it as in any degree a fault of the “Anna C” that the flotilla broke adrift. Hence she may recover in full against the Carroll Company and the Grace Line for any injury she suffered from the contact with the tanker’s propeller, which we shall speak of as the “collision damages.” On the other hand, if the bargee had been on board, and had done his duty to his employer, he would have gone below at once, examined the injury, and called for help from the “Carroll” and the Grace Line tug. Moreover, it is clear that these tugs could have kept the barge afloat, until they had safely beached her, and saved her cargo. This would have avoided what we shall call the “sinking damages.” Thus, if it was a failure in the Conner Company’s proper care of its own barge, for the bargee to be absent, the company can recover only one third of the “sinking” damages from the Carroll Company and one third from the Grace Line. For this reason the question arises whether a barge owner is slack in the care of his barge if the bargee is absent.
As,to the consequences of a bargee’s absence from his barge there have been a number of decisions; and we cannot agree that it is never ground for liability even to other vessels who may be injured. As early as 1843, Judge Sprague in Clapp v. Young,2 held a schooner liable which broke adrift from her moorings in a gale in Provincetown Harbor, and ran down another ship. The ground was that the owners of the offending ship had left no one on board, even though it was the custom in that harbor not to do so. Judge Tenney in Fenno v. The Mary E. Cuff,3 treated it as one of several faults against another vessel which was run down, to leave the offending vessel unattended in a storm in Port Jefferson Harbor. Judge Thomas in The On-the-Level,4 held liable for damage to a stake-boat, a barge moored to the stake-boat “south of Liberty Light, off the Jersey shore,” because she had been left without a bargee; indeed he declared that the bargee’s absence was “gross negligence.” In the Kathryn B. Guinan,5 Ward, J., did indeed say that, when a barge was made fast to a pier in the harbor, as distinct from being in open waters, the bargee’s absence would not be the basis for the owner’s negligence. However, the facts in that case made no such holding necessary; the offending barge in fact had a bargee aboard though he was asleep. In the Beeko,6 Judge Campbell exonerated a power boat which had no watchman on board, which boys had maliciously cast loose from her moorings at the Marine Basin in Brooklyn and which collided with another vessel. Obviously that decision has no bearing on the facts at bar. In United States Trucking Corporation v. City of New York,7 the same judge refused to reduce the recovery of a coal hoister, injured at a foul berth, because the engineer was not on board; he had gone home for the night as was apparently his custom. We reversed the decree,8 but for another reason. In The Sadie,9 we affirmed Judge Coleman’s holding10 that it was actionable negligence to leave without a bargee on board a barge made fast outside another barge, in the face of storm warnings. The damage was done to the *173inside barge. In The P. R. R. No. 216,11 we charged with liability a lighter which broke loóse from, or was cast off, by a tanker to which she was moored, on the ground that her bargee should not have left her over Sunday. He could not know when the tanker might have to cast her off. We carried this so far in The East Indian,12 as to hold a lighter whose bargee went ashore for breakfast, during which the stevedores cast off some of the lighter’s lines. True, the bargee came back after she was free and was then ineffectual in taking control of her before she damaged another vessel; but we held his absence itself a fault, knowing as he must have, that the stevedores were apt to cast off the lighter. The Conway No. 2313 went on the theory that the absence of the bargee had no connection with the damage done to the vessel itself; it assumed liability, if the contrary had been proved. In The Trenton,14 we refused to hold a moored vessel because another outside of her had overcharged her fasts. The bar-gee had gone away for the night when a storm arose; and our exoneration of the offending vessel did depend upon the theory that it was not negligent for the bargee to be away for the night; but no danger was apparently then to be apprehended. In Bouker Contracting Co. v. Williams-burgh Power Plant Corporation15, we charged a scow with half damages because her bargee left her without adequate precautions. In O’Donnell Transportation Co. v. M. & J. Tracy,16 we refused to charge a barge whose bargee had been absent from 9 A.M. to 1:30 P.M., having “left the vessel to go ashore for a time on his own business.”
It appears from the foregoing review that there is no general rule to determine when the absence of a bargee or other attendant will make the owner of the barge liable for injuries to other vessels if she breaks away from her moorings. However, in any cases where he would be so liable for injuries to others, obviously he must reduce his damages proportionately, if the injury is to his own barge. It becomes apparent why there can be no such general rule, when we consider the grounds for such a liability. Since there are occasions when every vessel will break from her moorings, and since, if she does, she becomes a menace to those about her; the owner’s duty, as in other similar situations, to provide against resulting injuries is a function of three variables: (1) The probability that she will break away; (2) the gravity of the resulting injury, if she does; (3) the burden of adequate precautions. Possibly it serves to bring this notion into relief to state it in algebraic terms: if the probability be called P; the injury, L; and the burden, B; liability depends upon whether B is less than L multiplied by P: i. e., whether B PL. Applied to the situation at bar, the likelihood that a barge will break from her fasts and the damage she will do, vary with the place and time; for example, if a storm threatens, the danger is greater; so it is, if she is in a crowded harbor where moored barges are constantly being shifted about. On the other hand, the barge must not be the bargee’s prison, even though he lives aboard; he must go ashore at times. We need not say whether, even in such crowded waters as New York Harbor a bargee must be aboard at night at all; it may be that the custom is otherwise, as Ward, J., supposed in “The Kathryn B. Guinan,” supra;17 and that, if so, the situation is one where custom should control. We leave that question open; but we hold that it is not in all cases a sufficient answer to a bargee’s absence without excuse, during working hours, that he has properly made fast his barge to a pier, when he leaves her. In the case at bar the bargee left at five o’clock in the afternoon of January 3rd, and the flotilla broke away at about two o’clock in the afternoon of the following day, twenty-one hours afterwards. The bargee had been away all the time, and we hold that his fabricated story was affirmative evidence *174that he had no excuse for his absence. At the locus in quo — especially during the short January days and in the full tide of war activity — barges were being constantly “drilled” in and out. Certainly it was not beyond reasonable expectation that, with the inevitable haste and bustle, the work might not be done with adequate care. In such circumstances we hold— and it is all that we do hold — that it was a fair requirement that the Conners Company should have a bargee aboard (unless he had some excuse for his absence), during the working hours of daylight.
The decrees will be modified as follows. In the libel of the Conners Company against the Pennsylvania Railroad Company in which the Grace Line was im-pleaded, since the Grace Line is liable in solido, and the Carroll Company was not impleaded, the decree must be for full “collision damages”, and half “sinking damages,” and the Pennsylvania Railroad Company will be secondarily liable. In the limitation proceeding of the Carroll Company (the privilege of limitation being conceded), the claim of the United States and of the Pennsylvania Railroad Company will be allowed in full. Since the claim of the Conners Company for “collision damages” will be collected in full in the libel against the Grace Line, the claim will be disallowed pro tanto. The claim of the Conners Company for “sinking damages” being allowed for one half in the libel, will be allowed for only one sixth in the limitation proceeding. The Grace Line has claimed for only so much as the Conners Company may recover in the libel. That means that its claim will be for one half the “collision damages” and for one sixth the “sinking damages.” If the fund be large enough, the result will be to throw one half the “collision damages” upon the Grace Line and one half on the Carroll Company; and one third of the “sinking damages” on the Conners Company, the Grace Line and the Carroll Company, each. If the fund is not large enough, the Grace Line will not be able altogether to recoup itself in the limitation proceeding for its proper contribution from the Carroll' Company.
Decrees reversed and cause remanded for further proceedings in accordance with the foregoing.
4.1.3 Questions and Notes on Carroll Towing 4.1.3 Questions and Notes on Carroll Towing
Fun Fact
This is perhaps the most famous opinion from one of the most famous federal judges in U.S. history, Learned Hand. His full name was Billings Learned Hand, which was given to him after his maternal grandfather, Billings Peck Learned. Hand disliked the name "Billings," though, finding it pompous. For a time he went by simply "B. Hand" before eventually adopting his middle name as his first. Regardless, Learned Hand was ensconced in the judicial hall of fame for his astute opinions—and probably also for how fitting was his chosen name for the person who wrote them.
Guiding Questions
- Why did Judge Hand hold the Conners Company partly liable? How does the formula B < PL explain the duty owed? What are B, P, and L?
- What were the four elements of negligence in this case? Who owed the duty? How was it breached? What harm did the breach cause, and what were the resulting damages?
Test Your Knowledge
What specific duty did Judge Hand hold was imposed on—and therefore breached by—the Conners Company?
- The duty to maintain proper lines between its barges.
- The duty to ensure a bargee was aboard at all times.
- The duty to push a leaking barge toward shore or, at least, away from other ships.
- The duty to ensure a bargee was aboard during working hours.
Notes and Further Cases
- Economic analysis in practice.
- A Rollerblading Incident. A torts professor takes his daughter roller blading. Kids of all ages are speeding around the rink—some more in control than others. To his dismay, the professor notices that there is a wall around the rink about three feet high made of concrete blocks. Having always sought to emulate the reasonable person, the professor approaches the rink manager. “Why don’t you put some mats on the inside of that wall," the professor asks; "one of these kids could lose control, go into the wall head first, and suffer serious injury.” The manager replies, “it hasn’t happened in 17 years!” The next day, Jane, a 9-year-old daredevil, stumbles and goes into the wall, suffering a serious head injury. What are each of the Hand Formula variables (B, P, and L) in this case? If you were arguing those variables in front of a jury, which party would you think had the stronger arguments? Why?
- The Ford Pinto case. Should a cost-benefit analysis always dictate the determination of negligence? Consider Grimshaw v. Ford Motor Co., 174 Cal. Rptr. 348 (Ct. App. 1981). A car collided with the back of the plaintiffs' 1972 Ford Pinto. What should have been an ordinary fender-bender instead killed one of the plaintiffs and severely burned the other. The force of the collision ripped a gash in the Pinto's fuel tank—which was in the rear(!) of the car—and simultaneously propelled the tank forward into the passenger compartment, showering the inside of the car with gasoline. The Ford Company was aware of the tendency for fender-benders at just 20-30mph to cause dangerous fires inside the Pinto. During crash testing, Ford engineers wrote an internal memorandum weighing the probability of such fires against the cost of installing parts to prevent them according to federal fuel tank safety standards. Despite finding that it would cost just $11 a car to install the parts, the engineers calculated that it would cost Ford $137 million a year in the aggregate. As for the benefits, the engineers estimated the parts would prevent 180 burn deaths a year, which they valued at a $50 million benefit to the automotive industry. Thus, in the lingo of the Hand Formula, B would be greater than (P ⋅ L), hence no negligence in not installing the parts. But the California Court of Appeals rejected this rationale. Finding Ford liable for punitive damages, the court held that Ford's "balancing [of] human lives and limbs against corporate profits" was a "menatality . . . of callous indifference to public safety." Id. at 384. For an exhaustive retelling of the entire story from crash to appeal, see Lee Patrick Strobel, Reckless Homicide? Ford's Pinto Trial (1980); see also Stuart M. Speiser, Lawsuit 355-66 (1980). Cf. Gary T. Schwartz, The Myth of the Ford Pinto Case, 43 Rutgers L. Rev. 1014 (1993) (critiquing the Ford Pinto case's general conception within and influence on the legal community).
- The Hand Formula's derivatives. Perhaps the strongest criticism of the Hand Formula is that it attempts to assign quantitative values to ontologically nonquantitative factors. One such critic was Judge Hand himself. In a later case, Judge Hand wrote that the losses "are always a variable within limits, which do not admit of even approximate ascertainment;" and while the probability of loss "might theoretically be estimated, if any statistics were available, they never are; and, besides, probability varies with the severity of the [losses]." Moisan v. Loftus, 178 F.2d 148, 149 (2d Cir. 1949). "It follows," he concluded, "that all such attempts are illusory; and, if serviceable at all, are so only to center attention upon which one of the factors may be determinative in any given situation." Id. Subsequent cases and scholarship have for the most part gone with Judge Hand's later approach, viewing negligence as the outcome of a factor-balancing inquiry and not as the solution of a rigid, algebraic equation. The Restatement agrees. See Restatement (Third) of Torts: Liability for Physical and Emotional Harm, § 3 (2010) ("[p]rimary factors to consider in ascertaining whether the person's conduct lacks reasonable care are the foreseeable likelihood that the person's conduct will result in harm, the foreseeable severity of any harm that may ensue, and the burden of precautions to eliminate or reduce the risk of harm). For an approach that retains more of the rigor of a formula, see Richard A. Posner, A Theory of Negligence, 1 J. Leg. Stud. 29 (1972) (arguing for determining negligence by weighing the dollar cost of taking precautions against the dollar value of expected damages without the precautions).
4.1.4 Davison v. Snohomish County 4.1.4 Davison v. Snohomish County
The Guardrails Case
[No. 21303.
Department Two.
September 14, 1928.]
Edwin P. Davison et al., Respondents, v. Snohomish County, Appellant. 1
Charles R. Denney, and Phil G. Warnock, for appellant.
Clarence J. Coleman, tor respondents.
Plaintiffs instituted this action against Snohomish county, as defendant, seeking to recover damages alleged to have been suffered by them as the result of the negligence of defendant in the construction and maintenance of the elevated approach to a bridge, known as the “Bascule Bridge,” across Ebey slough. In the southwesterly approach to this bridge, there is a right angle turn towards the south, just *110easterly of the slough, and at this point the causeway or approach to the bridge is at quite an elevation above the ground level. The bridge itself is approximately eighteen feet wide; the approach, leading to the bridge proper, at the curve just to the east of the bridge, increases in width to a maximum of 30.9 feet, narrowing again to eighteen feet at the end of the turn.
At about eight o’clock in the evening of November 11,1926, plaintiffs were driving their Ford automobile toward the city of Snohomish and proceeded to cross the bridge from west to east at a low rate of speed. Plaintiff Edwin F. Davison was driving, and as the car rounded the curve to the east of the slough, he lost control, the car skidded, struck the railing on the east, or outer, edge of the approach just around the curve, broke through the railing and, with plaintiffs, fell to the ground. Both plaintiffs suffered severe and painful injuries, and the automobile was wrecked; for all of which damage plaintiffs prayed for judgment in a large amount.
Defendant answered plaintiffs’ complaint, denying all the allegations of negligence on its part, and affirmatively pleading contributory negligence on the part of plaintiffs. The action came on regularly for trial, and resulted in a verdict in plaintiffs’ favor in the sum of twenty-five hundred dollars. Defendant seasonably moved for judgment in its favor notwithstanding the verdict, or, in the alternative, for a new trial. Both of these motions were denied by the trial court, which thereupon entered judgment upon the verdict, from which judgment defendant appeals.
There is no dispute as to the reasonableness of the amount of the verdict, if appellant is liable at all, the sole question raised being the liability of the county for any damages whatsoever.
Respondents allege that appellant was negligent in *111the construction and maintenance of the approach to the bridge, in that, at the time of the accident, the railing through which respondents’ car broke was insufficient to act as a guard, that the posts which supported the same were decayed, that the floor or deck of the approach was so constructed as to slope out and down from the center of the curve to the outer edge, and that appellant, prior to the accident, had been repairing a road near the west approach of the bridge and in doing this work hauled over the bridge from the east a considerable quantity of dirt, a portion of which was scattered on and over the approach; that, on November 11, 1926, considerable rain fell, and that as a result the deck of the approach, being covered with wet dirt, became very slippery and, coupled with the other conditions alleged, constituted a menace to motor vehicle traffic.
Respondents urge that the combined effect of the different matters of which they complain produced a dangerous situation, and that the suffering of such a condition to exist constituted negligence on the part of appellant and renders appellant liable for the damages suffered by respondents.
Appellant contends that respondents failed to prove negligence on the part of appellant, and that its motion for judgment notwithstanding the verdict should have been granted. Appellant also assigns other errors; but, in view of our opinion upon the question of appellant’s alleged negligence, the other matters assigned as error need not be discussed.
It is undoubtedly the law that it is the duty of a municipality to keep its bridges in a reasonably safe condition for travel. Zolawenski v. Aberdeen, 72 Wash. 95, 129 Pac. 1090. On the other hand, a municipality is not an insurer of the safety of every one who uses its thoroughfares; nor is it required to *112keep the same in such a condition that accidents cannot possibly happen upon them. As was stated by this court in Grass v. Seattle, 100 Wash. 542, 171 Pac. 533, discussing an accident to a pedestrian which it was claimed was caused by a drop in a sidewalk ranging from two and one-half inches at one side of the walk to nothing at the other side:
“Manifestly, it seems to us, a city cannot be held negligent for suffering to remain in a sidewalk a defect so inconsequential as this one was shown to be. A city is not an insurer of the personal safety of every one who uses its public walks. It owes no duty to keep them in such repair that accidents cannot possibly happen upon them. Its duty in this respect is done when it keeps them reasonably safe for use — safe for those who use them in the exercise of ordinary care — and we cannot but conclude that this one was thus reasonably safe.”
Respondents admitted that they were thoroughly familiar with the bridge and its approaches, having driven over the same many times prior to the day of the accident, and they consequently were fully advised as to the existence and location of the curve in the approach, the width of the bridge and the approaches and the different grades therein.
As respondents rely upon three several elements, each of which they claim resulted from the negligence of appellant, all three uniting to render the bridge unsafe and to cause the accident which is the basis of this action, it is necessary to analyze these elements of alleged negligence: first, the insufficiency of the railing or guard to prevent respondents’ automobile from skidding off the approach; second, the fact that the deck of the approach, at the curve, sloped downward toward the outer edge, which had a tendency to cause the automobile to slide in that direction; and, third, the fact that dirt was scattered over the deck *113of the approach, which, being wet by the rain, caused the deck to be more slippery than it would have been had no dirt been scattered over it.
The use of the automobile as a means of transportation of passengers and freight has, during recent years, caused certain changes in the law governing the liability of municipalities in respect to the protection of their roads by railings or guards. A few years ago, when people traveled either on foot or by horse-drawn vehicles, a guard rail could, to a considerable extent, actually prevent pedestrians or animals drawing vehicles from accidentally leaving the roadbed; but, as a practical proposition, municipalities cannot be required to protect long stretches of roadway with railings or guards capable of preventing an automobile, moving at a rapid rate, from leaving the road if the car be in any way deflected from the roadway proper and propelled against the railing. As was said by this court in the case of Leber v. King County, 69 Wash. 134, 124 Pac. 397, 42 L. R. A. (N. S.) 267:
“Eoads must be built and traveled, and to hold that the public cannot open their highways until they are prepared to fence their roads with barriers strong enough to hold a team and wagon when coming in violent contact with them, the condition being the ordinary condition of the country, would be to put a burden upon the public that it could not bear. It would prohibit the building of new roads and tend to the financial ruin of the counties undertaking to maintain the old ones.”
This principle applies with special force to elevated causeways constructed of wood, such as the approach from which respondents’ automobile fell, as upon such a structure the railing can be anchored or secured only to the deck of the causeway. Upon the ground, in situations of special danger, strength can be given to a guard or railing by driving posts into the earth and *114a guard of any desired strength can be constructed in that manner; a concrete viaduct can be constructed with side walls of considerable resisting power ; but the same degree of protection cannot be expected from a guard or railing along the side of an elevated frame causeway or viaduct. Eespondents introduced some testimony to the effect that the posts which supported the railing were, to some extent, rotted. We have carefully considered this testimony, and for the purposes of this opinion assume that it was true; but we still do not think that it was sufficient to take the case to the jury upon the question of appellant’s negligence in connection with the condition of the railing at the time of the accident.
In regard to the second element of alleged negligence urged by respondents, the fact that at the curve in the approach the deck sloped slightly downward towards its outer edge, we are of the opinion that, in view of the fact that the slope was so slight as not to be noticeable to the eye, amounting to no more than a small fraction over an inch to eighteen feet horizontal measurement across the deck, or from two and three-quarters inches to one and one-eighth inches to the entire width of the deck, it is our opinion that the maintenance of the approach in this condition did not constitute such negligence on the part of appellant as would render appellant liable to respondents in this action. The supreme court of Michigan in the case of Perkins v. Delaware Township, 113 Mich. 377, 71 N. W. 643, held, as matter of law, that the maintenance of a bridge,-sixteen feet wide, which had no railings at all, one inch lower on one side than the other, was not negligence on the part of the township. While the facts of the Michigan case differ considerably from the situation now before us, the opinion is *115of value in aiding us in the determination of the ease at bar.
Referring to the third element of negligence relied upon by respondents, the fact that some dirt was scattered over the deck of the approach, and that, due to the fact that considerable rain had fallen and was still falling at the time of the accident, the wet dirt caused the deck to be unusually slippery, we are unable to find any testimony in the record which would justify the submission of this element of alleged negligence to the jury. Appellant would not be liable because of any ordinary accumulation of dirt or similar matter upon the approach, unless a dangerous condition were permitted to exist for such a period of time as would imply, in law, notice to appellant of the fact that its roadway was unsafe, and it should further appear that appellant had been negligent in not remedying the condition within a reasonable time. Respondents contend in this case that the dirt upon the roadway had been scattered by appellant’s employees within a very short time prior to the accident. Giving the testimony upon this point the construction most favorable to respondents’ contention, we feel compelled to hold that, as matter of law, there was no testimony sufficient to go to the jury upon this alleged element of appellant’s negligence.
In the case of Swain v. Spokane, 94 Wash. 616, 162 Pac. 991, 8 L. R. A. 1916D 754, we held that a municipality could not be held liable as an insurer of the tractability of every automobile driven on its streets. In that case, Chief Justice Ellis, speaking for the court, states that it appeared from the face of plaintiffs ’ complaint that, for all ordinary uses of the street, the same was in a safe condition, and that the municipality could not be held liable for injuries occasioned by the “eccentricities of an unmanageable auto*116mobile,” which constituted a contingency not reasonably to be anticipated. The cases of Leber v. King County, and Swain v. Spokane, supra, were by this court quoted with approval in the case of Culley v. King County, 101 Wash. 38, 171 Pac. 1034, in which it was held that the duty to protect a highway “must necessarily depend upon the circumstances of the particular case.”
Measured by this standard, we are of the opinion that it must be held, as matter of law, that there is no testimony in this record which shows negligence for which appellant is liable to respondents. This court has repudiated “the scintilla of evidence” doctrine, and has held that evidence sufficient to support a verdict must be substantial; Ziomko v. Puget Sound Elec. R., 112 Wash. 426, 192 Pac. 1009, and Adams v. Anderson & Middleton Lum. Co., 124 Wash. 356, 214 Pac. 835; and in our opinion this repudiated doctrine would have to be given a liberal construction to permit the verdict rendered in this case to stand.
Respondents rely upon the case of Beach v. Seattle, 85 Wash. 379,148 Pac. 39, in which this court upheld a verdict against the municipality, based upon its negligence in leaving unguarded, poorly lighted and without danger signals, á blind street end at the edge of a gulch. Examination of the opinion in this case indicates that the decision was based largely upon the failure of the city to place a red light or other danger signal at the street end, or to place lights in the vicinity which would disclose the dangerous situation. The city had also neglected to construct any barrier whatsoever which might serve as a visible warning of danger as well as an obstruction. The physical facts which resulted in injury to the plaintiff in this action constituted almost an invitation to the driver of an automobile to continue along the street which was *117broken by tbe deep gulch, there being nothing to suggest danger.
Respondents cite several cases from other jurisdictions which, while based upon different facts, contain statements which support some of the propositions urged by their counsel. On such a question as this, authorities can be found which, in part at least, seem to support almost any proposition which can seriously be urged. We believe, however, that the opinions of this court are decisive of the issues raised on this appeal.
The judgment is reversed with directions to dismiss the action.
Fullerton, C. J., Main, Askren, and Holcomb, JJ., concur.
4.1.5 Questions and Notes on Davison 4.1.5 Questions and Notes on Davison
Fun Fact
Davison lasted forty years before the Washington Supreme Court severely limited it. See Bartlett v. N. Pac. Ry. Co., 447 P.2d 735 (Wash. 1968). The facts in Bartlett were eerily similar: The driver approached a sharp curve on a bridge when he lost control, skidded through the guardrail, and plunged off the side of the bridge. The critical difference, said the Bartlett Court, was that the vehicle was traveling more slowly than the one in Davison. "The precise holding in [Davison] was that a municipality is under no duty to erect barriers sufficient to prevent automobiles traveling at a high rate of speed from crashing through," said the Court. Id. at 737 (emphasis added). And since engineering and guardrail construction had improved considerably in the intervening 40 years, the Court held that towns many need to install guardrails "on dangerous or misleading roadways to stop slow-moving vehicles." Id. (emphasis added).
Guiding Questions
- What duty did Davison claim the County breached, and what facts did he offer to support that claim?
- What did Davison identify as the cause of the accident, and how did he link it to the County’s alleged negligence?
- Why did Justice Beals conclude that the County’s railing—though possibly rotted—was not unreasonably unsafe?
- How did the shift from horse-drawn vehicles to automobiles influence the court’s view of what safety required?
Test Your Knowledge
In 2023, Chad is diagnosed with lung cancer. His doctor explains that this diagnosis is tied to Chad's habitual use of a "vape." These devices deliver nicotine in a vaporized form which is then inhaled by the user. Chad is extremly upset extremely upset because he was unaware of the risk associated with vaping. He decides to sue JUUL, the company who makes his favorite vape, for negligence due to their failure to warn him of its risks. He sues in the same court that held decades ago that a tobacco company is not liable for failing to warn of the dangers of tobacco use. Could the court hold differently in Chad's case?
- No, a court is always bound by its own precedent.
- No, an economic analysis will show it is unreasonable to impose a duty on a company to warn about the dangers of its product.
- Yes, the court likely will reexamine the reasonableness of imposing a duty based on evolving scientific evidence, economic changes, and societal pressure.
- Yes, and the tobacco case is entirely irrelevant to Chad's case.
Notes and Further Cases
- Expert testimony for establishing duty. Experts were called to testify at trial in this case about vehicles and guardrail installation. That is emblematic of the principle that where the "subject in question is so distinctly related to some science, profession or occupation as to be beyond the ken of the average layperson," experts must testify about what the standard of care requires with respect to that subject. District of Columbia v. Arnold & Porter, 756 A.2d 427, 433 (D.C. 2000) (operation and maintenance of municipal water line systems); accord Burke v. Air Int'l, Inc., 685 F.3d 1102 (D.C. Cir. 2012) (applying D.C. law) (provision of security to a nongovernmental organization in an active warzone).
- Risk of harm to third parties relevant to "reasonable conduct." Risk of harm to third parties may be relevant in determining whether a chosen course of conduct is reasonable. See Restatement (Second) of Torts § 295 (1965). Suppose a train operator notices something appear suddenly on the tracks in front of her. She can use the regular brake, but if the train does not stop in time she risks colliding with the object. Alternatively, she can throw the emergency brake, which would risk throwing train passengers around and injuring them. This risk to the third-party passengers is relevant, and the reasonableness of what she chooses to do ultimately will depend on the circumstances. Compare Stewart v. Cent. Vt. Ry. Co., 85 A. 745 (Vt. 1913) (emergency brake reasonable—even though a passenger was injured—where object on the tracks was a man, the man had fallen just a few feet in front of the train, and the train was in the station and moving slowly), with Lucchese v. S.F.–Sacramento R.R. Co., 289 P. 188 (Cal. Dist. Ct. App. 1930) (regular brake reasonable—even though train collided with object—where object was a car, the car was approaching a railroad crossing with several warning signs dozens of yards in front of the train, and the train was traveling at 30-40mph).
4.2 Duty 4.2 Duty
4.2.1 Preface to Duty 4.2.1 Preface to Duty
The first element a plaintiff must establish in a negligence claim is that the defendant owed a duty of care.
To owe a duty is to bear a legal obligation—most often grounded in the common law, though sometimes imposed by statute—to conform one’s conduct to a particular standard of care. That standard reflects the community’s expectations about how a person ought to behave under a given set of circumstances. This formulation raises two foundational inquiries: When does a duty arise, and what does the duty require?
1. When does a duty arise?
At common law, courts typically adopt a bottom-up, case-by-case method for recognizing the existence of a duty. They reason analogically, comparing the situation at hand to prior cases to discern whether an obligation ought to be imposed. Over time, this approach has produced a vast and growing body of doctrine (and duties!). In response, scholars and the Restatements have tried, with mixed success, to synthesize general principles from the case law.
A commonly cited default rule is that one generally has no duty to come to the aid of another, nor to control the conduct of third parties. In class we will call this status "the baseline of no duty". As a result, and as a general matter, nonfeasance—that is, the failure to act—generally does not result in a duty of care and associated liability.
But this rule is subject to important and well-established exceptions. Courts may find a duty:
- where there is a special relationship between the defendant and the plaintiff (or between the defendant and a third-party who poses a foreseeable risk);
- where the defendant's prior conduct created or exacerbated the risk of harm;
- when a defendant chooses to render aid or assume responsibility for another’s protection, even where no duty existed before. We will call this scenario a voluntary undertaking.
- where the legislator imposes such a duty by statute.
We will examine each of these categories in the notes following Buchanan.
2. What does the duty require?
Once a duty exists, the next question concerns its content—what exactly does the law expect the defendant to do, or refrain from doing? In some cases, courts describe duty with specificity. In Carroll Towing, for example, Judge Hand articulated the duty in functional terms: the shipping company was expected to keep a bargee aboard during working hours. In Davison, the court offered similarly specific language, holding that a municipality owed a duty to maintain its bridges in a “reasonably safe” condition.
More often, however, courts invoke a general standard of reasonable care under the circumstances. Increasingly, they prefer this more open-textured approach, which allows flexibility in application and avoids locking future parties—and courts—into rigid behavioral mandates. Reasonableness, as we’ll see, can take many forms depending on the actors involved, their capacities, and their situation.
3. Structure of the Duty Section of this Casebook
The two questions above discussed form the basis of this casebook's duty section. We begin with the threshold question: whether a duty exists at all. We’ll examine a range of cases—from collapsing bridges to errant golf swings—where the court declined to impose a duty, and we’ll ask whether the court framed the plaintiff’s proposed duty narrowly or generally, and how that framing may have shaped the outcome. From there, we turn to the content of duty: the reasonably prudent person standard. We will explore how this standard adapts (or fails to adapt) to different categories of defendants: children, physically and mentally impaired individuals, professionals, common carriers, and persons acting in emergency situations.
With that foundation, we will turn to the more theoretically intricate dimensions of duty. We’ll begin by examining what might be called the jurisprudential “life cycle” of duty—how and why courts recognize a duty in one era, only to discard or reshape it in another. This inquiry will ask you to think historically and normatively: What shifts in social expectation or legal reasoning justify the emergence or obsolescence of a duty? We will call this module "the birth and death of duties".
From there, we will conclude with a close study of two special duties that have received sustained doctrinal development and have proven particularly controversial: the duties landowners owe to those who enter (or approach) their land (what we will call landowner and occupier liability), and the duties individuals may bear to control third-parties.
One last point: duty is a question of law, to be decided by the judge. The remaining elements—breach, causation, and damages—are typically questions of fact, and thus reserved for the fact-finder (typically the jury). See Dan B. Dobbs et al., The Law of Torts § 125 (2d ed. 2011). Understanding this division of responsibility is essential to grasping the judge’s role as a doctrinal gatekeeper: by controlling the duty question as a threshold question, the court determines whether the plaintiff gets to reach the jury at all.
4.2.2 Existence of a Duty 4.2.2 Existence of a Duty
4.2.2.1 Buchanan v. Rose 4.2.2.1 Buchanan v. Rose
The Broken Bridge Case
H. E. Buchanan et ux v. J. H. Rose.
No. 7763.
Decided February 4, 1942.
Rehearing overruled March 4, 1942.
(159 S. W., 2d Series, 109.)
J. W. Ragsdale, of Victoria, Calvin B. Garwood and J. D. O’Bryant, both of Houston, for plaintiffs in error.
Wood, Morrow, Gresham & McQuodale and Newton Gresham, all of Houston, for defendant in error.
delivered the opinion of the Court.
This is a suit for damages for personal injuries. It presents the question whether one who .drives, over a bridge on a public road and thereafter discovers that such bridge, because of its ^defective condition, has broken down under the weight of his vehicle, without negligence on his part, is under any duty to give warning so as to prevent other travelers from being injured as a result of the broken bridge.
According to the testimony most favorable to the plaintiffs, when the defendant’s truck, driven by defendant’s employee, *391passed! over the bridge in question the rear wheels crushed the bridge, causing it to press down at one end below the embankment and thereby become dangerous to- traffic. A witness who was traveling in an automobile a short distance behind the truck by carefully driving was able to cross the bridge and overtake the truck a short distance down the road. He informed the driver that the truck had broken the bridge and asked if he was not going to put up warnings to prevent others from being injured. The driver said that he did not have time, and drove on. Six days later the plaintiffs, Buchanan and wife, while driving along the road, and without negligence on their part, ran onto the broken bridge, and Mrs. Buchanan was severely injured. The road was a graded county road near the village of Fordtram, in Victoria County.
It is conceded that the truck was not overloaded and that neither the defendant nor the driver of the truck was negligent in any manner which caused the bridge_to-break-down. The only negligence relied on is the failure to put up warnings to protect other travelers from being injured as a result of the broken bridge. The jury found that the defendant was negligent, and the trial court rendered judgment for the plaintiffs. The Court of Civil Appeals reversed the judgment of the trial court and rendered judgment for the defendant. 140 S. W. (2d) 203.
We have encountered much difficulty in deciding the question here presented. It is a well-understood rule that negligence is the doing of that which an ordinary prudent person would not have done under the same or similar circumstances, or the failure to do that which an ordinarily prudent person would have done under the same or similar circumstances. Here we are not concerned with any supposed negligence on the part of the defendant in doing something which he should not have done, for it is conceded! that he was not negligent in breaking the bridge down. If the driver of the truck was negligent at all, it was- because of his- failure to do something — to give warning of the broken bridge. Before we can determine whether he was negligent in failing to give warning, we must first decide whether he- owed the legal duty to- do so.
There are many instances in which it may be said, as a matter of law, that there is a duty to do something, and in others it may be said, as a matter of law, that there is no such duty. Using familiar illustrations, it may be said generally, on the one hand, that if a party negligently creates a dangerous- situ*392ation it then becomes his duty to do something about it to prevent injury to others if it reasonably appears or should appear to him that others in the exercise of their lawful rights may be injured thereby. On'the other hand, it may be said generally, as a matter of law, that a mere bystander who did not create the dangerous situation is. not required to become the good Samaritan and prevent injury to others./ Under the last rule, a bystander may watch a blind man or a child walk over a precipice, and yet he is not required to give warning. He may stand on the bank of a stream and see a man drowning, and although he holds in his hand a rope that could be used to rescue the man, yet he is not required to. give assistance. He may owe a moral duty to warn the blind man or to assist the drowning man, but being a mere bystander, and in nowise responsible for the dangerous situation, he owes no legal duty to render assistance.
l"We think it may also be said that if one by his own acts, although without negligence on his part, creates a. dangerous situation in or along a public way and it reasonably appears that another in the lawful use of such way in the exercise of ordinary care for his own safety may be injured by the dangerous situation so created, the one creating the same must give warning of the danger or be responsible for the consequences.! To illustrate: One who in the exercise of a lawful right, and without negligence on his part, makes an excavation across a street or sidewalk or on his premises in close proximity to a public way, or parks a vehicle in a road, or otherwise obstructs the road with a foreign substance, is bound to give warning of the danger created thereby. Kampmann v. Rothwell, 101 Texas 535, 109 S. W. 1089; Roper v. Greenspon, 272 Mo. 288, 198 S. W. 1107; Buesching v. St. Louis Gaslight Co., 73 Mo. 219, 39 Am. Rep. 503.
Likewise, it has- been held that one who-, without negligence, strikes a trolley pole with his automobile and causes it to fall across the road is liable for failure to protect others from injury thereby. Simonsen v. Thorin, 120 Neb. 684, 234 N. W. 628, 81 A. L. R. 1000.
It will be noted, however,| that in each of the above instances the defendant by his own act created the dangerous situation. In the case at bar, it is hardly fair to say that the defendant’s agent created the dangerous, situation. The bridge was already in a defective condition.)It was insufficient in strength to carry *393a normal load. It merely gave way as the result of the usual and legitimate use of the road, it fell as a result of its own inherent defects. Defendant was merely the victim of a defective condition that already existedl.lt would be carrying the matter too far to say that one must give notice of every known defect in a road naturally resulting from his normal and legitimate use thereof. To so hold would make the use of the highways too hazardous from the standpoint of public liability.
In the case of Grapotte v. Adams, 130 Texas 587, 111 S. W. (2d) 690, this Court had before it a case in which the defendant’s cars and those of his customers in the usual and normal use of a driveway over a sidewalk in entering defendant’s garage had worn a hole in the sidewalk, which resulted in an injury to the plaintiff while she was using the sidewalk as a pedestrian. This Court held that the defendant as the lessee of the garage abutting upon the sidewalk, who under the law was not required to keep the sidewalk in repair, was not liable to the injured pedestrian where the hole in the sidewalk had been made dangerous by the lessee and his customers as the natural result of the normal and lawful use of the driveway as a means of access to the garage.
After a most careful consideration, we have concluded that the Court of Civil Appeals was correct in holding that the defendant and his employee were under no duty to give warning of the defect in the bridge.
The judgment of the Court of Civil Appeals, reversing the judgment of the trial court and réndlering judgment for the defendant, is affirmed.
Opinion delivered February 4, 1942.
Rehearing overruled March 4, 1942.
4.2.2.2 Questions and Notes on Buchanan 4.2.2.2 Questions and Notes on Buchanan
Fun Fact
The Texas Supreme Court mentions that the bridge was near the "village" of Fordtran. That's a charitable description, even for the time. At its heyday in 1920, Fordtran's population was 75. It has steadily declined ever since. In 2000—the last census to recognize the village—the population was 18. Today, a couple houses and an historical marker are all that remain of Fordtran, Texas.
Guiding Questions
- Why did the bridge break? Did Buchanan cause it to break? Was he the only reason it broke?
- According to the Chief Justice Alexander, why didn't Buchanan have a duty to warn others of the broken bridge? Would he have had such a duty if his truck were overweight?
- Why does Chief Justice Alexander mention the "good Samaritan"?
Test Your Knowledge
Felix is standing at a street corner, waiting to cross the road. He sees Paul, who is blind, about to step into the street just as a car approaches the intersection. Felix could easily shout a warning to Paul so that Paul does not step into the street and get hurt. But Felix does nothing. Paul steps into the street, and the car runs him over. Under Buchanan v. Rose, has Felix breached a duty he owed to Paul?
- No, because Felix was in no way responsible for the danger Paul faced and thus owed him no duty.
- No, because one never has a duty to warn another of impending danger.
- Yes, because one always has a duty to warn another of impending danger when doing so requires little or no effort.
- Yes, because one who has created a dangerous situation has a duty to warn others of or protect others from that danger.
Notes and Further Cases
- Baseline of no affirmative duty. As mentioned in the Preface to Duty, an "actor whose conduct has not created a risk of physical or emotional harm to another has no duty of care to the other." Restatement (Third) of Torts: Liability for Physical and Emotional Harm § 37 (2012). This principle is, however, a default one. There are exceptions to the no-duty principle, but there is no uniform taxonomy of these exceptions, as they vary between jurisdictions. What follows is modeled after the Restatement (Third)'s approach.
- Exceptions: special relationships. An actor may have a duty of reasonable care to another where a special relationship exists between the two. The Restatement (Third) gives numerous examples, and its list is not necessarily exhaustive: common carriers with their passengers; innkeepers with their guests; landowners with certain people on their land; businesses with their employees; schools with their students; parents with their dependent children; and custodians with those in their custody, including doctors with their patients, prisons with their prisoners, etc. See Restatement (Third) of Torts: Liability for Physical and Emotional Harm §§ 40-41 (2012). The general rule is that the actor has a duty to the other in a special relationship "(a) to protect them against unreasonable risk of physical harm, and (b) to give them first aid after [the actor] knows or has reason to know that they are ill or injured, and to care for them until they can be cared for by others." Restatement (Second) of Torts § 314A(1) (1965). The law often prescribes even more specific duties in certain situations depending on the relationship. For instance, a captain has a duty of search and rescue if a passenger or deckhand goes overboard. See Gardner v. Nat'l Bulk Carries, Inc., 310 F.2d 284 (4th Cir. 1962). And a day-care operator has a duty to secure reasonable medical aid if a child in the operator's care is injured or ill. See Applebaum v. Nemon, 678 S.W.2d 533 (Tex. App. 1984). The same goes for jailers with respect to injured or ill prisoners. See Brownelli v. McCaughtry, 514 N.W.2d 48 (Wis. 1994).
- Exceptions: producing or exacerbating risk of harm. When the defendant's prior conduct (even if not negligent in itself) creates a continuing risk of harm to the plaintiff or exacerbates an existing risk, the defendant must act reasonably to mitigate that risk, and failure to do so is negligent. See Restatement (Third) of Torts: Liability for Physical and Emotional Harm § 39 (2012). The obvious example is a motorist who hits a pedestrian but then drives off with the pedestrian still lying in the road, and then another car comes and runs over the pedestrian. In driving off, the motorist would be liable for failing to exercise the duty to render aid irrespective of whether the motorist was negligent for the initial crash. See Restatement (Second) of Torts § 322, illus. 1 (1965); Maldonaldo v. S. Pac. Transp. Co., 629 P.2d 1001 (Ariz. Ct. App. 1981) (as a result of plaintiff's negligence defendant's train runs him over and severs his limb. Still defendant fails to secure medical assistance and is thus held liable for the failure to render aid).
- Exceptions: voluntary undertakings. "[O]ne who voluntarily assumes [or undertakes] a duty must then perform that duty with reasonable care." Dan B. Dobbs, et al., Hornbook on Torts 624 (2d ed. 2016) (footnote omitted). For instance, an actor who promises to look after a neighbor's pets for a week incurs a duty of reasonable care with respect to the pets, and if the actor forgets to look after them, the actor is liable for any damages the pets suffered as a result of being uncared for. Restatement (Third) of Torts: Liability for Physical and Emotional Harm § 42, illus. 3 (2012). Note that many such promises look like (and may legally be) binding contracts, and there is a body of scholarship on whether the cause of action for breaking such a promise sounds in tort or contract. See, e.g., Gregory C. Keating, The Idea of Fairness in the Law of Enterprise Liability, 95 Mich. L. Rev. 1266 (1997); E. Allan Farnsworth, Decisions, Decisions: Some Binding, Some Not, 28 Suffolk U. L. Rev. 17 (1994).
- Rescuers. A subcategory of undertakings is liability of rescuers. One who volunarily takes charge of another who reasonably appears to be in danger and unable to protect himself incurs a duty to act reasonably while taking charge. See Restatement (Third) of Torts: Liability for Physical and Emotional Harm § 44(a) (2012). The Restatement goes on to say that in such emergency situations the actor cannot then discontinue the aid if doing so still leaves the other in danger or in a position worse than when the actor took charge. Id., § 44(b). The leading case is Parvi v. City of Kingston, 362 N.E.2d 960 (N.Y. 1977), in which police officers voluntarily offered to get two drunkards to safety at night but then drove them to the middle of a golf course adjacent to a highway and left them there to "dry out," whereupon one of the drunkards promptly walked onto the highway and was struck and killed.
- Exceptions: duty by statute. States, of course, may through legislating a statute overwrite the common law and impose a duty where one otherwise would not exist. For example, a recent Vermont law requires anyone who knows that another is exposed to "grave physical harm" to give "reasonable assistance" to the other if doing so does not endanger one's self and no one else is rendering assistance. Vt. Stat. Ann. tit. 12, § 519(a) (2017).
4.2.2.3 Lubitz v. Wells 4.2.2.3 Lubitz v. Wells
The Golf Club Case
Judith Lubitz v. James Wells et al.
Superior Court New London County
File No. 22595
Memorandum filed March 23, 1955.
Sachs, Sachs & Sachs, of New Haven, for the plaintiff.
Brown, Jewett & Driscoll, of Norwich, for the defendants.
The complaint alleges that James Wells was the owner of a golf club and that he left it for some time lying on the ground in the backyard of his home. That thereafter his son, the defendant James Wells, Jr., aged eleven years, while playing in the yard with the plaintiff, Judith Lubitz, aged nine years, picked up the golf club and proceeded to swing at a stone lying on the ground. In swinging the golf club, James Wells, Jr., caused the club to strike the plaintiff about the jaw and chin.
Negligence alleged against the young Wells boy is that he failed to warn his little playmate of his intention to swing the club and that he did swing the club when he knew she was in a position of danger.
In an attempt to hold the boy’s father, James Wells, liable for his son’s action, it is alleged that James Wells was negligent because although he knew the golf club was on the ground in his backyard and that his children would play with it, and that although he knew or “should have known” that *323the negligent nse of the golf club by children would cause injury to a child, he neglected to remove the golf club from the backyard or to caution James Wells, Jr., against the use of the same.
The demurrer challenges the sufficiency of the allegations of the complaint to state a cause of action or to support a judgment against the father, James Wells.
It would hardly be good sense to hold that this golf club is so obviously and intrinsically dangerous that it is negligence to leave it lying on the ground in the yard. The father cannot be held liable on the allegations of this complaint. Goldberger v. David Roberts Corporation, 139 Conn. 629; Wood v. O’Neil, 90 Conn. 497-500.
The demurrer is sustained.
4.2.2.4 Questions and Notes on Lubitz 4.2.2.4 Questions and Notes on Lubitz
Fun Fact
According to Golf Digest (the Sports Illustrated of the golfing world), over 40,000 people a year are injured by errant golf balls and flying club heads. That said, golf club injuries involving eleven- and nine-year-olds are extremely rare.
Guiding Questions
- Did James Wells owe the plaintiff any duty? In other words, do the facts bring to mind any of the exceptions to the no-duty rule (special relationship, prior conduct producing or exacerbating risk of harm, and voluntary undertaking)?
- Why isn't James Wells negligent? Is it fair to ask, "who leaves a golf club just lying around in a yard for anyone to pick up?"
- How about James' son? Should he be negligent?
Test Your Knowledge
Susan bought her grandson, Alex, a science set for his birthday. Among other things, the set contains vials of water of various colors. The next day, Alex, as a prank, splashes some of the red water into his friend Donovan's eyes and announces Donovan "has got blood on him!" Donovan alleges the water irritates his eyes for a short time, and he sues Susan for giving Alex the set. Will Donovan prevail?
- No, the science set was not inherently dangerous, and it was not negligent to give it to a child.
- No, Susan had no control of the set once she relinquished it to Alex and could not be negligent for its malicious use.
- Yes, Susan knew or had reason to know that negligent use of the science set was likely to lead to harm, and providing Alex with the set amounted to negligence.
- Yes, once the possession of the science set was transferred to Alex, Susan had the responsibility of supervising Alex with the chemicals in the set.
Notes and Further Cases
- Kids, toys, and parental negligence. Which toys should trigger a parent's liability? Consider the example in Weisbart v. Flohr (which we briefly discussed in the notes following Garratt v. Dailey). In that case a young boy shot a bow and arrow and took out a girl's eye. Recall that the boy's parents were found not negligent for giving their son the bow and arrow, following a closing argument featuring demonstrations of boomerangs, baseball bats, and toy guns. Do you agree? What if, instead of a toy, a parent allowed a young child to use a garden spade? A scythe? A blow torch? A loaded pistol? Where would you draw the line? What factors would drive your analysis?
- Duties to check around automobiles. Does a driver have a duty to check under or around their car before driving off? In a particularly devastating case, a man parked his car on a Nashville street in front of a house with a front porch, on which a mother and her thirteen-month-old son were sitting. The man walked across the street to visit a friend in the house opposite the mother's. Five minutes later he returned to his car, got in, and started the car. As he pulled away from the curb, he felt a bump. He would later testify that he honestly believed the bump was a stone and thought nothing more of it; in fact, it was the thirteen-month-old baby, who was fatally injured. Is the driver negligent for not checking under his car before setting off? Williams v. Jordan, 346 S.W.2d 583 (Tenn. 1961).
4.2.3 Standard of Reasonable Care 4.2.3 Standard of Reasonable Care
4.2.3.1 Vaughan v. Menlove 4.2.3.1 Vaughan v. Menlove
The Burning Haystack Case
Court of Common Pleas
3 Bing. (N.C.) 468, 132 Eng. Rep. 490
1837
[Menlove, Vaughan's neighbor, built a massive haystack close to the boundary line between their properties. Vaughan was leasing two cottages, which were located on Vaughan's land close to the boundary. Vaughan alleged (1) that for weeks Menlove knew he'd built his haystack in a manner that could cause it to combust spontaneously; (2) that Menlove knew that, should his haystack ignite, it would seriously endanger Vaughan's cottages; (3) that Menlove's maintaining his haystack in this condition was negligent; and (4) that the haystack did indeed go aflame, spread to Vaughan's cottages, and burn them to the ground. Menlove denied all liability.]
At the trial it appeared that the [haystack] in question had been made by [Menlove] near the boundary of his own premises; that the hay was in such a state when put together, as to give rise to discussions on the probability of fire: that though there were conflicting opinions on the subject, yet during a period of five weeks, [Menlove] was repeatedly warned of his peril; that his stock was insured; and that upon one occasion, being advised to take the [haystack] down to avoid all danger, he said "he would chance it." He made an aperture or chimney through the [haystack]; but in spite, or perhaps in consequence of this precaution, the [haystack] at length burst into flames from the spontaneous heating of its materials; the flames communicated to [Menlove's] barn and stables, and thence to [Vaughan's] cottages, which were entirely destroyed.
Patteson, J., before whom the cause was tried, told the jury that the question for them to consider, was, whether the fire had been occasioned by gross negligence on the part of [Menlove]; adding, that he was bound to proceed with such reasonable caution as a prudent man would have exercised under such circumstances.
A verdict having been found for [Vaughan], a rule nisi for a new trial was obtained, on the ground that the jury should have been directed to consider, not, whether [Menlove] had been guilty of gross negligence with reference to the standard of ordinary prudence, a standard too uncertain to afford any criterion; but whether he had acted bona fide to the best of his judgment; if he had, he ought not to be responsible for the misfortune of not possessing the highest order of intelligence. The action under such circumstances, was of the first impression.
. . .
TINDAL, C.J.
I agree that this is a case primæ impressionis [of first impression]; but I feel no difficulty in applying to it the principles of law as laid down in other cases of a similar kind. . . . [T]here is a rule of law which says you must so enjoy your own property as not to injure that of another; and according to that rule [Menlove] is liable for the consequence of his own neglect: and though [Menlove] did not himself light the fire, yet mediately, he is as much the cause of it as if he had himself put a candle to the [haystack]; for it is well known that hay will ferment and take fire if it be not carefully stacked. It has been decided that if an occupier burns weeds so near the boundary of his own land that damage ensues to the property of his neighbour, he is liable to an action for the amount of injury done, unless the accident were occasioned by a sudden blast which he could not forsee. Turbervill v. Stamp (1 Salk. 13). But put the case of a chemist making experiments with ingredients, singly innocent, but when combined, liable to ignite; if he leaves them together, and injury is thereby occasioned to the property of his neighbour, can any one doubt that an action on the case would lie?
It is contended, however, that [Judge Patteson] was wrong in leaving this to the jury as a case of gross negligence, and that the question of negligence was so mixed up with reference to what would be the conduct of a man of ordinary prudence that the jury might have thought the latter the rule by which they were to decide; that such a rule would be too uncertain to act upon; and that the question ought to have been whether [Menlove] had acted honestly and bona fide to the best of his own judgment. That, however, would leave so vague a line as to afford no rule at all, the degree of judgment belonging to each individual being infinitely various. . . . The care taken by a prudent man has always been the rule laid down; and as to the supposed difficulty of applying it, a jury has always been able to say, whether, taking that rule as their guide, there has been negligence on the occasion in question.
Instead, therefore, of saying that the liability for negligence should be co-extensive with the judgment of each individual, which would be as variable as the length of the foot of each individual, we ought rather to adhere to the rule which requires in all cases a regard to caution such as a man of ordinary prudence would observe. That was in substance the criterion presented to the jury in this case, and therefore the present rule must be discharged.
[Concurrences omitted.]
4.2.3.2 Questions and Notes on Vaughan 4.2.3.2 Questions and Notes on Vaughan
Fun Fact
The author of this opinion is Sir Nicholas Conyngham Tindal (1776-1846). When he was merely Nicholas Tindal, Esq., he successfully defended Queen Caroline of Brunswick-Wolfenbüttel in her trial for adultery in 1820. After he became Chief Justice Tindal, he invented more than one important legal doctrine. In addition to the "reasonable person" standard in torts, he developed the basis for the mental disorder defense—historically called the "insanity defense"—in criminal law. See M'Naghten's Case, (1843) 10 Cl. & Fin. 200, 8 Eng. Rep. 718.
Guiding Questions
- Menlove never stepped foot on Vaughan's property. More importantly, he didn't light the haystack, and there's no indication he wanted to burn down Vaughan's cottages (let alone his own barn and stables). So why is he liable?
- Chief Justice Tindal refuses to measure Menlove's actions against Menlove's own best judgment. What is the standard Chief Justice Tindal adopts? What makes it different from the standard he rejects? IWhat are the Chief Justice's reasons for choosing one over the other?
Test Your Knowledge
You are a juror in a basic negligence case. The trial judge is about to instruct you on the applicable standard of care in a negligence action. Which of the following descriptions is most similar to the standard of care Chief Justice Tindal adopted in the principal case?
- The standard of care is what the defendant personally thought he should have done based on his own, subjective appraisal of the situation.
- The standard of care is what the plaintiff personally thought the defendant should have done based on the plaintiff's own, subjective appraisal of the situation.
- The standard of care is what a reasonable person would have done.
- The standard of care is what you on the jury would have done had you been in the same situation.
Notes and Further Cases
- Holmes' rendition. Justice Holmes defended the objective, community-set, reasonable-person standard thus:
The standards of the law are standards of general application. The law takes no account of the infinite verities of temperament, intellect, and education which make the internal character of a given act so different in different men. It does not attempt to see men as God sees them . . . . [W]hen men live in society, a certain average of conduct, a sacrifice of individual peculiarities going beyond a certain point, is necessary to the general welfare. If, for instance, a man is born hasty and awkward, is always hurting himself or his neighbors, no doubt his congenital defects will be allowed for in the courts of Heaven, but his slips are no less troublesome to his neighbors than if they sprang from guilty neglect. His neighbors accordingly require him, at his peril, to come up to their standard, and the courts which they establish decline to take his personal equation into account."
Oliver Wendell Holmes, The Common Law 108 (1881). - Menlove's bad faith. Menlove's counsel framed the accident as a good-faith mistake—that Menlove honestly believed the chances that his haystack would ignite, let alone spread to Vaughan's cottages, were slim to none. But there were facts indicating bad faith. After all, Menlove knew that he was insured if his haystack caused a fire. Perhaps that explains why, in response to repeated warnings of a fire, he said he'd "chance it." Assume these facts to be true. Does the legal analysis of negligence rests on questions of good or bad faith?
- The "reasonable person" standard expressed. Chief Justice Tindal uses the phrase "man of ordinary prudence." The standard has many variations: "reasonable man," Blyth v. Birmingham Waterworks Co., (1856) 11 Ex. 781, 784, 156 Eng. Rep. 1047; "prudent man," Drown v. New England Tel. & Tel. Co., 70 A. 599, 606 (Vt. 1908); man of "ordinary care," Osborne v. Montgomery, 234 N.W. 372, 376 (Wis. 1931); "prudent man of average intelligence," Oliver Wendell Holmes, The Common Law 112 (1881). As Prosser points out, more eccentric versions include "the man in the street" or "the man [on] the Clapham omnibus" or "the man who takes the magazines at home, and in the evening pushes the lawn mower in his shirt sleeves." See Victor E. Schwartz, et al., Prosser, Wade, and Schwartz's Torts: Cases and Materials 158 (13th ed. 2015) (quoting Hall v. Brooklands Club, [1933] 1 K.B. 205, 224). What is common to all of these definitions? What is problematic in all of them?
- Defining reasonableness. The word "reasonable person" means someone who "exercis[es] those qualities of attention, knowledge, intelligence, and judgment which society requires of its members for the protection of their own interests and the interests of others." Restatement (Second) of Torts § 283, cmt. b (1965). Thus, what is "reasonable" is a standard established by the community, an external (and objective) expectation of all those within the community to act to mitigate unreasonable risk. See id., cmt. c.
- Incorrect versions. If what is "reasonable" still eludes you, don't worry; even courts get it wrong. When a judge instructs the jury on the standard of reasonable care, there are two classic ways of expressing the standard incorrectly. One is to say that the defendant is not liable if he did "what he thought was best." The other is to tell the jury that the defendant is not liable if she did "what you would have done." Notice why: Both versions leave the world of the objective, the mindset of an imaginary, reasonable person constructed by the community, for the world of the subjective, the mindset of an actual, identifiable, living person.
4.2.4 Variations on the Standard 4.2.4 Variations on the Standard
4.2.4.1 Roberts v. State ex rel. Louisiana Health & Human Resources Administration 4.2.4.1 Roberts v. State ex rel. Louisiana Health & Human Resources Administration
The Blind Employee Case
William C. ROBERTS, Plaintiff-Appellant, v. STATE of Louisiana, THROUGH the LOUISIANA HEALTH AND HUMAN RESOURCES ADMINISTRATION et al., Defendants-Appellees.
No. 8033.
Court of Appeal of Louisiana, Third Circuit.
March 11, 1981.
Writ Granted May 6,1981.
Broussard, Bolton & Halcomb, Daniel E. Broussard, Jr., Alexandria, for plaintiff-appellant.
Steven R. Giglio, Baton Rouge, for defendants-appellees.
Before GUIDRY, CUTRER and LA-BORDE, JJ.
In this tort suit, William C. Roberts sued to recover damages for injuries he sustained in an accident in the lobby of the U. S. Post Office Building in Alexandria, Louisiana. Roberts fell after being bumped into by Mike Burson, the blind operator of the concession stand located in the building.
Plaintiff sued the State of Louisiana, through the Louisiana Health and Human Resources Administration, advancing two theories of liability: respondeat superior and negligent failure by the State to properly supervise and oversee the safe operation of the concession stand.1 The stand’s *567blind operator, Mike Burson, is not a party to this suit although he is charged with negligence.
The trial court order plaintiff’s suit dismissed holding that there is no respondeat superior liability without an employer-employee relationship and that there is no negligence liability without a cause in fact showing.
We affirm the trial court’s decision for the reasons which follow.
On September 1, 1977, at about 12:45 in the afternoon, operator Mike Burson left his concession stand to go to the men’s bathroom located in the building. As he was walking down the hall, he bumped into plaintiff who fell to the floor and injured his hip. Plaintiff was 75 years old, stood 5'6" and weighed approximately 100 pounds. Burson, on the other hand, was 25 to 26 years old, stood approximately 6' and weighed 165 pounds.
At the time of the incident, Burson was not using a cane nor was he utilizing the technique of walking with his arm or hand in front of him.
Even though Burson was not joined as a defendant, his negligence or lack thereof is crucial to a determination of the State’s liability. Because of its importance, we begin with it.
Plaintiff contends that operator Mike Burson traversed the area from his concession stand to the men’s bathroom in a negligent manner. To be more specific, he focuses on the operator’s failure to use his cane even though he had it with him in his concession stand.
In determining an actor’s negligence, various courts have imposed differing standards of care to which handicapped persons are expected to perform. Professor William L. Prosser expresses one generally recognized modern standard of care as follows:
“As to his physical characteristics, the reasonable man may be said to be identical with the actor. The man who is blind ... is entitled to live in the world and to have allowance made by others for his disability, and he cannot be required to do the impossible by conforming to physical standards which he cannot meet ... At the same time, the conduct of the handicapped individual must be reasonable in the light of his knowledge of his infirmity, which is treated merely as one of the circumstances under which he acts ... It is sometimes said that a blind man must use a greater degree of care than one who can see; but it is now generally agreed that as a fixed rule this is inaccurate, and that the correct statement is merely that he must take the precautions, be they more or less, which the ordinary reasonable man would take if he were blind.” W. Prosser, The Law of Torts, Section 32, at Page 151-52 (4th ed. 1971).
A careful review of the record in this instance reveals that Burson was acting as a reasonably prudent blind person would under these particular circumstances.
Mike Burson is totally blind. Since 1974, he has operated the concession stand located in the lobby of the post office building. It is one of twenty-three vending stands operated by blind persons under a program funded by the federal government and implemented by the State through the Blind Services Division of the Department of Health and Human Resources. Burson hired no employees, choosing instead to operate his stand on his own.
Prior to running the vending stand in Alexandria, Burson attended Arkansas Enterprises for the blind where he received mobility training. In 1972, he took a refresher course in mobility followed by a course on vending stand training. In that same year, he operated a concession stand in Shreveport, his first under the vending stand program. He later operated a stand at Centenary before going to Alexandria in 1974 to take up operations there.
On the date of the incident in question, Mike Burson testified that he left his concession stand and was on his way to the men’s bathroom when he bumped into plaintiff. He, without hesitancy, admitted that at the time he was not using his cane, explaining that he relies on his facial sense which he feels is an adequate technique for *568short trips inside the familiar building. Burson testified that he does use a cane to get to and from work.
Plaintiff makes much of Burson’s failure to use a cane when traversing the halls of the post office building. Yet, our review of the testimony received at trial indicates that it is not uncommon for blind people to rely on other techniques when moving around in a familiar setting. For example George Marzloff, the director of the Division of Blind Services, testified that he can recommend to the blind operators that they should use a cane but he knows that when they are in a setting in which they are comfortable, he would say that nine out of ten will not use a cane and in his personal opinion, if the operator is in a relatively busy area, the cane can be more of a hazard than an asset. (Tr. 164) Mr. Marzloff further testified that he felt a reasonably functioning blind person would learn his way around his work setting as he does around his home so that he could get around without a cane. Mr. Marzloff added that he has several blind people working in his office, none of whom use a cane inside that facility. (Tr. 165)
Mr. Marzloff’s testimony is similar to testimony received from Guy DiCharry, a blind business enterprise counselor with the Blind Services Division. As part of his responsibilities Mr. DiCharry supervised the Alexandria vending stand providing him with an opportunity to observe Mike Burson in a work setting. He testified that Burson knew his way around the building pretty well and that like most of his other blind operators, he did not use a cane on short trips within the building. (Tr. 132-133) He added that he discussed the use of a cane on such short trips as these with some of his other blind operators but they took offense to his suggestions, explaining that it was their choice.
The only testimony in the record that suggests that Burson traversed the halls in a negligent manner was that elicited from plaintiff’s expert witness, William Henry Jacobson. Jacobson is an instructor in peri-pathology, which he explained as the science of movement within the surroundings by visually impaired individuals. Jacobson, admitting that he conducted no study or examination of Mike Burson’s mobility skills and that he was unfamiliar with the State’s vending program, nonetheless testified that he would require a blind person to use a cane in traversing the areas outside the concession stand. (Tr. 200) He added that a totally blind individual probably should use a cane under any situation where there in an unfamiliar environment or where a familiar environment involves a change, whether it be people moving through that environment or strangers moving through that environment or just a heavy traffic within that environment. (Tr. 202)
When cross examined however, Jacobson testified:
“Q. Now, do you, in instructing blind people on their mobility skills, do you tell them to use their own judgment in which type of mobility assistance technique they’re to employ?
A. Yes I do.
Q. Do you think that three (3) years is a long enough period for a person to become acquainted with an environment that he might be working with?
A. Yes I do.
Q. So you think that after a period of three (3) years an individual would probably, if he is normal . .. has normal mobility skills for a blind person, would have enough adjustment time to be ... to call that environment familiar?
A. Yes.
Q. That’s not including the fact that there may be people in and out of the building?
A. Right.
Q. Now is it possible that if he’s familiar with the sounds of the people inside a building that he may even at some point in time become so familiar with the people in an area, regular customers or what not that you could *569say that the environment was familiar, including the fact that there are people there, is that possible?
A. Uh ... I would hesitate to say that, in a public facility where we could not ... uh ... control strangers coming in.
Q. Well, let’s say that a business has a particular group of clients that are always there, perhaps on a daily or weekly basis. Now you’ve stated that a blind person sharpens his auditory skills in order to help him articulate in an area?
A. With instruction, yes.
Q. Right. Isn’t is possible that if he can rely on a fixed travel of a fixed type and number of persons that it’s possible that that is a familiar environment even though there are people there?
A. Only if they were the same people all the time and they know him, yes.”
Upon our review of the record, we feel that plaintiff has failed to show that Bur-son was negligent. Burson testified that he was very familiar with his surroundings, having worked there for three and a half years. He had special mobility training and his reports introduced into evidence indicate good mobility skills. He explained his decision to rely on his facial sense instead of his cane for these short trips in a manner which convinces us that it was a reasoned decision. Not only was Burson’s explanation adequate, there was additional testimony from other persons indicating that such a decision is not an unreasonable one. Also important is the total lack of any evidence in the record showing that at the time of the incident, Burson engaged in any acts which may be characterized as negligence on his part. For example, there is nothing showing that Burson was walking too fast, not paying attention, et cetera. Under all of these circumstances, we conclude that Mike Burson was not negligent.
Our determination that Mike Burson was not negligent disposes of our need to discuss liability on the part of the State.
For the above and foregoing reasons, the judgment of the trial court dismissing plaintiff’s claims against defendant is affirmed and all costs of this appeal are assessed against the plaintiff-appellant.
AFFIRMED.
4.2.4.2 Questions and Notes on Roberts 4.2.4.2 Questions and Notes on Roberts
Fun Fact
The Alexandria U.S. Post Office (USPO) and Courthouse is located at 515 Murray Street in Alexandria, Louisiana. The building has served in this capacity for more than 60 years and is listed on the "National Register of Historic Places."
Guiding Questions
- Is Mr. Roberts' physical disability taken into account when determining the standard of care he must exercise? If so, what variation on the standard of care is proposed? What justifies the variation?
- What distinguishes how the law of negligence treats those with a physical disability and those without?
- Should the same logic extend to those with a mental disability?
Test Your Knowledge
Joe has visual and auditory impairments. Although Joe's physician recommends he wear his assistive devices (glasses and hearing aids) at all times—especially outside of his home—Joe feels perfectly safe walking around his childhood neighborhood without them. One day, Joe's neighborhood hosts a street fair, where artisans are selling their wares. Joe was told about the fair and was cautioned not to go on his daily walk given that the fair might introduce unique obstacles. Joe goes anyway—without any of his assistive devices. During his walk, he bumps into a glassblower's display, and many of the glass objects fall to the ground and break, costing the glassblower over $50,000. Joe was not wearing his assistive devices on this walk. Is Joe liable for the damages?
- No, because Joe acted the same way a reasonable person with his physical disabilities would have acted in these circumstances.
- No, because the glassblower is at fault because for assuming the risk of displaying their art in a place with foot traffic and blind residents.
- Yes, because a person with physical impairments is always liable for any harm that ensues in the course of their unassisted activities.
- Yes, because Joe failed to exercise a reasonable standard of care for a person with his disability in these circumstances.
Notes and Further Questions
- The standard for physical disability. When one is "ill or otherwise physically disabled, the standard of conduct to which he must conform . . . is that of a reasonable man under like disability." Restatement (Second) of Torts § 283C (1965) (emphasis added). Several cases have affirmed this principle in the context of blindness. But the same is true for other disabilities, Kerr v. Connecticut Co., 140 A. 751 (Conn. 1928) (deafness); Stephens v. Dulaney, 428 P.2d 27 (N.M. 1967) (inability to smell); City of Denver v. Willson, 254 P. 153 (Colo. 1927) (inability to walk); Mahan v. State, 191 A. 575 (Md. 1937) (shortness of stature); Ford v. Carew & English, 200 P.2d 828 (Cal. Dist. Ct. App. 1948) (physical illness). The disability need not be permanent or terminal; it need only be sufficiently foreseeable to warrant a deviation from the ordinary standard of care. Where incapacitation is sudden and unforeseeable, most jurisdictions excuse the defendant’s conduct on the ground that the act was non-volitional and therefore not subject to negligence liability. Restatement (Third) of Torts: Liability for Physical & Emotional Harm § 11(b) (2010); id., reporter's n.d. See, e.g., McCall v. Wilder, 913 S.W.2d 150 (Tenn. 1995) (seizure); Denson v. Estate of Dillard, 116 N.E.3d 535 (Ind. Ct. App. 2018) (heart attack, loss of consciousness).
- Negligence and mental disability. The mere presence of a mental disability ordinarily does not alter the applicable standard of reasonable care. See Restatement (Third) of Torts: Liability for Physical & Emotional Harm § 11(c) & cmt. e (2010). Thus, the chronic insomniac is generally still held to the standard of a reasonable person, not a reasonable chronic insomniac. See also Kuhn v. Zabotsky, 224 N.E.2d 137 (Ohio 1967) (defendant suffering apparent psychotic episode held to reasonable person standard).
- Exception: diminished intellectual capacity. Some jurisdictions have held that an adult whose mental capacity is so diminished as to resemble a young child's, enjoys a lesser standard of care that accounts for the diminished mental capacity. See Lynch v. Rosenthal, 396 S.W.2d 272 (Mo. Ct. App. 1965) (farmhand's IQ of 65—less than the average ten-year-old—is a factor when assessing farmhand's contributory negligence). The Restatement (Second), however, appears to disagree. See Restatement (Second) of Torts § 283B, cmt. c (1965) (no allowance for adult's "lack of intelligence"). We will discuss standards of care as applied to children in our next case, Robinson v. Lindsay.
- Exception: institutionalized persons with caretakers. Some jurisdictions have held that a person who is institutionalized for a mental illness and who cannot control his actions or otherwise appreciate their consequences simply cannot be liable in negligence for harm done to his caretaker during a mental illness episode. See, e.g., Creasy v. Rusk, 730 N.E.2d 659 (Ind. 2000); Gould v. Am. Family Mut. Ins. Co., 543 N.W.2d 282 (Wis. 1996).
- Duties toward one who has a physical disability. What if the plaintiff has a physical disability? Take the case of the blind man who trips over a curb in the street. Is the standard of reasonable care for the city modified to account for the plaintiff's affliction? "While a city . . . owes no more than . . . reasonable care toward a blind or other physically afflicted or handicapped pedestrian," answers one jurisdiction, "the effect of the affliction or handicap may be considered in determining whether the required degree of care has been exercised." Fletcher v. Aberdeen, 338 P.2d 743, 745 (Wash. 1959). The plaintiff's affliction in turn may be a factor for the plaintiff's contributory negligence. See Hill v. City of Glenwood, 100 N.W. 522, 523 (Iowa 1904) ("[i]n determining whether [the plaintiff] did exercise due care it [i]s proper for the jury . . . to consider his blindness, and in view of that condition, and all the surrounding facts and circumstances, find whether he exercised ordinary care and prudence. If he did, he was not guilty of contributory negligence"). Congress has weighed in on the matter. In 1990 it enacted the Americans with Disabilities Act (ADA), 42 U.S.C. § 12101 et seq., which requires covered entities to provide accommodations where a disabled person would encounter difficulties or harm. How might the ADA affect the standard of reasonable care in these situations?
- A standard for physical "superability?" What if the defendant has superior physical abilities, e.g., their sense of smell, sight, sound, or physical strength is markedly above average? The Restatement (Third) adopts the position that a superior ability is a fact for the jury to consider in determining what constitutes reasonable care. See Restatement (Third) of Torts: Liability for Physical and Emotional Harm § 12 (2010). What might be the policy rationales for or against assigning heightened liability?
4.2.4.3 Robinson v. Lindsay 4.2.4.3 Robinson v. Lindsay
The Snowmobile Case
[No. 45685.
En Banc.
August 2, 1979.]
William Robinson, Respondent, v. John Lindsay, et al, Appellants, Robert Anderson, et al, Petitioners.
Huppin, Ewing, Anderson & Hegert, P.S., and Robert F. Ewing, for petitioners.
*411 Malott, Southwell & O'Rourke, P.S., and Robert A. Southwell (Richard C. Eymann, of counsel), for respondent.
An action seeking damages for personal injuries was brought on behalf of Kelly Robinson who lost full use of a thumb in a snowmobile accident when she was 11 years of age. The petitioner, Billy Anderson, 13 years of age at the time of the accident, was the driver of the snowmobile. After a jury verdict in favor of Anderson, the trial court ordered a new trial.
The single issue on appeal is whether a minor operating a snowmobile is to be held to an adult standard of care. The trial court failed to instruct the jury as to that standard and ordered a new trial because it believed the jury should have been so instructed. We agree and affirm the order granting a new trial.
The trial court instructed the jury under WPI 10.05 that:
In considering the claimed negligence of a child, you are instructed that it is the duty of a child to exercise the same care that a reasonably careful child of the same age, intelligence, maturity, training and experience would exercise under the same or similar circumstances.
Respondent properly excepted to the giving of this instruction and to the court's failure to give an adult standard of care.
The question of what standard of care should apply to acts of children has a long historical background. Traditionally, a flexible standard of care has been used to determine if children's actions were negligent. Under some circumstances, however, courts have developed a rationale for applying an adult standard.
In the courts' search for a uniform standard of behavior to use in determining whether or not a person's conduct has fallen below minimal acceptable standards, the law has developed a fictitious person, the "reasonable man of ordinary prudence." That term was first used in Vaughan v. Menlove, 132 Eng. Rep. 490 (1837).
*412Exceptions to the reasonable person standard developed when the individual whose conduct was alleged to have been negligent suffered from some physical impairment, such as blindness, deafness, or lameness. Courts also found it necessary, as a practical matter, to depart considerably from the objective standard when dealing with children's behavior. Children are traditionally encouraged to pursue childhood activities without the same burdens and responsibilities with which adults must contend. See Bahr, Tort Law and the Games Kids Play, 23 S.D.L. Rev. 275 (1978). As a result, courts evolved a special standard of care to measure a child's negligence in a particular situation.
In Roth v. Union Depot Co., 13 Wash. 525, 43 P. 641 (1896), Washington joined "the overwhelming weight of authority" in distinguishing between the capacity of a child and that of an adult. As the court then stated, at page 544:
[I]t would be a monstrous doctrine to hold that a child of inexperience — and experience can come only with years — should be held to the same degree of care in avoiding danger as a person of mature years and accumulated experience.
The court went on to hold, at page 545:
The care or caution required is according to the capacity of the child, and this is to be determined ordinarily by the age of the child.
". . .a child is held . . . only to the exercise of such degree of care and discretion as is reasonably to be expected from children of his age."
The current law in this state is fairly reflected in WPI 10.05, given in this case. In the past we have always compared a child's conduct to that expected of a reasonably careful child of the same age, intelligence, maturity, training and experience. This case is the first to consider the question of a child's liability for injuries sustained as a result of his or her operation of a motorized vehicle or participation in an inherently dangerous activity.
Courts in other jurisdictions have created an excep*413tion to the special child standard because of the apparent injustice that would occur if a child who caused injury while engaged in certain dangerous activities were permitted to defend himself by saying that other children similarly situated would not have exercised a degree of care higher than his, and he is, therefore, not liable for his tort. Some courts have couched the exception in terms of children engaging in an activity which is normally one for adults only. See, e.g., Dellwo v. Pearson, 259 Minn. 452, 107 N.W.2d 859, 97 A.L.R.2d 866 (1961) (operation of a motorboat). We believe a better rationale is that when the activity a child engages in is inherently dangerous, as is the operation of powerful mechanized vehicles, the child should be held to an adult standard of care.
Such a rule protects the need of children to be children but at the same time discourages immature individuals from engaging in inherently dangerous activities. Children will still be free to enjoy traditional childhood activities without being held to an adult standard of care. Although accidents sometimes occur as the result of such activities, they are not activities generally considered capable of resulting in "grave danger to others and to the minor himself if the care used in the course of the activity drops below that care which the reasonable and prudent adult would use ..." Daniels v. Evans, 107 N.H. 407, 408, 224 A.2d 63 (1966).
Other courts adopting the adult standard of care for children engaged in adult activities have emphasized the hazards to the public if the rule is otherwise. We agree with the Minnesota Supreme Court's language in its decision in Dellwo v. Pearson, supra at 457-58:
Certainly in the circumstances of modern life, where vehicles moved by powerful motors are readily available and frequently operated by immature individuals, we should be skeptical of a rule that would allow motor vehicles to be operated to the hazard of the public with less than the normal minimum degree of care and competence.
*414 Dellwo applied the adult standard to a 12-year-old defendant operating a motorboat. Other jurisdictions have applied the adult standard to minors engaged in analogous activities. Goodfellow v. Coggburn, 98 Idaho 202, 203-04, 560 P.2d 873 (1977) (minor operating tractor); Williams v. Esaw, 214 Kan. 658, 668, 522 P.2d 950 (1974) (minor operating motorcycle); Perricone v. DiBartolo, 14 Ill. App. 3d 514, 520, 302 N.E.2d 637 (1973) (minor operating gasoline-powered minibike); Krahn v. LaMeres, 483 P.2d 522, 525-26 (Wyo. 1971) (minor operating automobile). The holding of minors to an adult standard of care when they operate motorized vehicles is gaining approval from an increasing number of courts and commentators. See generally Comment, Capacity of Minors to be Chargeable with Negligence and Their Standard of Care, 57 Neb. L. Rev. 763, 770-71 (1978); Comment, Recommended: An Objective Standard of Care for Minors in Nebraska, 46 Neb. L. Rev. 699, 703-05 (1967).
The operation of a snowmobile likewise requires adult care and competence. Currently 2.2 million snowmobiles are in operation in the United States. 9 BNA Envir. Rptr. 876 [1978 Current Developments]. Studies show that collisions and other snowmobile accidents claim hundreds of casualties each year and that the incidence of accidents is particularly high among inexperienced operators. See Note, Snowmobiles — A Legislative Program, 1972 Wis. L. Rev. 477, 489 n.58.
At the time of the accident, the 13-year-old petitioner had operated snowmobiles for about 2 years. When the injury occurred, petitioner was operating a 30-horsepower snowmobile at speeds of 10 to 20 miles per hour. The record indicates that the machine itself was capable of 65 miles per hour. Because petitioner was operating a powerful motorized vehicle, he should be held to the standard of care ánd conduct expected of an adult.
*415The order granting a new trial is affirmed.
Rosellini, Stafford, Wright, Brachtenbach, Horowitz, Dolliver, and Hicks, JJ., and Ryan, J. Pro Tern., concur.
4.2.4.4 Questions and Notes on Robinson 4.2.4.4 Questions and Notes on Robinson
Fun Fact
Many states regulate who can drive a snowmobile. Common regulations include having a license, being of a certain age, passing a safety course, or being under the supervision of an adult. For example, in Illinois 12-15-year-olds must pass a snowmobile safety course before they can ride one. And in Michigan 12-16-year-olds must have a valid snowmobile license.
Guiding Questions
- What are the policy reasons for shielding children from the universal (adult) reasonable person standard?
- What are the policy reasons for holding children to the universal standard when they're engaged in dangerous/adult activities?
- Chief Justice Utter notes that some jurisdictions apply the adult standard to children if they're engaged in adult activities, but he applies it if they're engaged in "inherently dangerous" activities. Why does he opt for the latter?
- Is driving a snowmobile an inherently dangerous activity? What does Chief Justice Utter say? Do you agree?
Test Your Knowledge
Jack, a 12 year old boy, is operating a motorboat. He crosses behind another boat, in which Jill is fishing by trailing line at trolling speed. Jack's propeller runs over the line, which causes Jill's fishing pole to jerk, bend, and shatter. The fragments of fiberglass jettisoned in all directions end up striking Jill in the eye, blinding her. Jack and Jill run up the hill where Jill sues Jack for lack of due care. Will Jack's conduct be evaluated in accordance with the adult standard of care?
- No, Jack is under eighteen so his conduct will be weighed against that of a child of like age, intelligence, and experience.
- No, Jack is between seven and fourteen so he will be presumed incapable of negligence, although that presumption is rebuttable.
- Yes, children are subject to the reasonable person standard.
- Yes, driving a boat is an inherently dangerous activity and, if done by a child, would trigger the reasonable person standard.
Notes and Further Cases
- The minority standard for children: Rule of Sevens. The principle that a minor's capacity for negligence varies every seven years is helpfully known as the "Rule of Sevens." The first record of that phrase in a written opinion dates to a Tennessee Supreme Court case in 1987, see Cardwell v. Bechtol, 724 S.W.2d 739 (Tenn. 1987), but the concept no doubt is far older, see R. v. Smith, (1845) 1 Cox C.C. 260. The Rule of Sevens holds:
- children under the age of seven are incapable of negligence as a matter of law;
- children between seven and fourteen are presumed incapable of negligence, but that presumption is rebuttable;
- children between fourteen and twenty-one are presumed capable of negligence, but that presumption is likewise rebuttable; and
- anyone over twenty-one is capable of negligence, full stop.
At one time the Rule of Sevens was the majority approach, but it has since been superseded by the Restatement approach.
-
- Rebutting the presumptions in (2) and (3). The sort of evidence needed to rebut the presumption of/against the child's negligence concerns the child's "capacity, intelligence, and experience." In Jackson v. McCuiston, for instance, a nine-year-old lost his foot when it got caught in the blade of a large piece of farm machinery, which a twelve-year-old was driving. 448 S.W.2d 33 (Ark. 1969). The court noted that the twelve-year-old had been "trained" in and "regularly operated all different types of farm tractors." Id. at 35. For this reason, the court held that the twelve-year-old's intelligence and experience rebutted the presumption against his being negligent.
- The majority standard for children: Flexible approach. About two thirds of states today follow the Restatement approach (both Second and Third). Under that approach, a child is negligent if he does not do what a reasonable child of like "age, intelligence, and experience" would have done under like circumstances. Restatement (Second) of Torts § 283A (1965); Restatement (Third) of Torts: Liability for Physical and Emotional Harm § 10(a) (2010). In other words, rather than apply arbitrary age ranges, this majority standard compares each child to a fictional child similar to them.
- Exceptions to the majority rule:
- Minimum age. Go back in time to the concept of legal intent. Remember Note 2 after Garratt v. Dailey that a child below a certain age is simply too young to form intent as a matter of law? Remember also that jurisdictions wildly disagree on what that minimum age is? Well, likewise in negligence. Nearly all jurisdictions—even those that have adopted the Restatement (Third)'s flexible approach—agree that a child below a certain age is simply too young to be negligent, this is known as the "tender years" doctrine. Still few if any jurisdiction agrees on what that age is. The Rule of Sevens jurisdictions, of course, set the minimum age at seven. The Restatement (Third) sets it at five. See Restatement (Third) of Torts: Liability for Physical and Emotional Harm, § 10(b) (2010). Delaware sets it below four-and-a-half. See Beggs v. Wilson, 272 A.2d 713, 714 (Del. 1970). And Connecticut sets it somewhere between two and three years, ten months. See Milledge v. Standard Mattress Co., 238 A.2d 602 (Conn. Super. Ct. 1968). As for a minimum age above seven, there is only Georgia, which, by legislative enactment, has set the age at thirteen (yes, 13, you read it right!). See Barrett v. Carter, 283 S.E.2d 609 (Ga. 1981) (twelve-year-old whose catapulted ice chunk struck a girl in the eye incapable of negligence); Horton v. Hinely, 413 S.E.2d 199 (1992) (nine-year-olds who doused seven-year-old with gasoline and set him aflame incapable of negligence).
- Dangerous adult activities. This is the principal case. A child engaged in a "dangerous activity that is characteristically undertaken by adults" is not afforded the reasonable-child standard and instead is judged against the universal reasonable person standard. Restatement (Third) of Torts: Liability for Physical and Emotional Harm, § 10(c) & cmt. f (2010). This is the principal case. Notice, though, what the Third Restatement does: It combines the categories of "dangerous" and "adult" activities. On the contrary, the Second Restatement distinguished them (before adopting the adult-activities formulation). See Restatement (Second) of Torts § 283A (1965). Chief Justice Utter distinguished them too but adopted the dangerous-activities formulation. In theory the formulation should matter. Imagine an activity in which a child could engage that is dangerous but not adult. Now imagine one that is adult but not dangerous. Now one that is both. And one that is neither. How would you formulate the doctrine?
-
- Defining "adult activities." The appropriate standard of care—and therefore whether an activity is an "adult" one—is a question for the judge. What qualifies as an adult activity? According to the mine run of cases, God only knows. See for yourself:
- All of the following were held to be adult activities. Osner v. Boughner, 446 N.W.2d 873 (Mich. Ct. App. 1989) (driving semi-truck); Wollaston v. Burlington N. Inc., 612 P.2d 1277 (Mont. 1980) (driving car); Jackson v. McCuiston, 448 S.W.2d 33 (Ark. 1969) (driving tractor); Ewing v. Biddle, 216 N.E.2d 863 (Ind. Ct. App. 1966) (driving go-kart); Medina v. McAllister, 202 So. 2d 755 (Fla. 1967) (operating motorized scooter); Neumann v. Shlansky, 318 N.Y.S.2d 925 (App. Div. 1971) (playing golf).
- All of the following were held not to be adult activities. Gremillion v. State Farm Mut. Ins. Co., 331 So. 2d 130 (La. Ct. App. 1976) (playing golf; yes, courts apparently disagree); Bixenman v. Hall, 242 N.E.2d 837 (Ind. 1968) (riding a bike); Farm Bureau Ins. Group v. Phillips, 323 N.W.2d 477 (Mich. Ct. App. 1982) (building a fire); Purtle v. Shelton, 474 S.W.2d 123 (Ark. 1971) (hunting deer); Thomas v. Inman, 578 P.2d 399 (Or. 1978) (using a shotgun).
- Defining "adult activities." The appropriate standard of care—and therefore whether an activity is an "adult" one—is a question for the judge. What qualifies as an adult activity? According to the mine run of cases, God only knows. See for yourself:
-
4.2.4.5 Heath v. Swift Wings, Inc. 4.2.4.5 Heath v. Swift Wings, Inc.
The Pilot's Crash Case
RICHARD EDWIN HEATH v. SWIFT WINGS, INC., THE BANK OF VIRGINIA TRUST COMPANY, FRANK W. KISH, RICHARD H. KISH and KERMIT ROCKETT
No. 7824SC367
(Filed 6 March 1979)
1. Aviation § 3.1— airplane crash —standard of care of pilot — erroneous instruction
In an action to recover for the deaths of two passengers in an airplane crash, the trial court erred in referring in the instructions to the “ordinary care and caution, which an ordinary prudent pilot having the same training as [the pilot in this case], would have used in the same or similar circumstances,” since such instruction permitted the iury to consider the pilot’s own particular experience and training in determining the standard of care required of him rather than applying a minimum standard generally applicable to all pilots.
2. Aviation § 3.1— deaths in airplane crash — instruction on emergency procedure-insufficient supporting evidence
In an action to recover for the deaths of two passengers in an airplane crash, testimony that a pilot is taught to switch magnetos when the airplane is experiencing engine roughness was insufficient to support the court’s instruction that switching magnetos constituted an emergency procedure.
3. Aviation § 3.1; Trial § 36.2— contentions of parties —expression of opinion
In an action to recover for the deaths of two passengers in an airplane crash, the trial court expressed an opinion on the evidence in violation of G.S. 1A-1, Rule 51(a) when, in summarizing the contentions of the parties, the court stated that “plaintiff would have [the pilot] adhere to a perfect standard of care whereas the standard is that of the ordinary prudent pilot.”
APPEAL by plaintiff from Howell, Judge. Judgment entered 7 November 1977 in Superior Court, WATAUGA County. Heard in the Court of Appeals 31 January 1979.
On 3 August 1975 a Piper 180 Arrow airplane crashed immediately after takeoff from the Boone-Blowing Rock Airport. Killed in the crash was the pilot, Fred Heath; his wife, Jonna; their son, Karl; and a family friend, Vance Smathers. Valerie Heath, a daughter of Fred and Jonna Heath, and sister of Karl, became the sole survivor of the Heath family. This action was instituted by Richard E. Heath as ancillary administrator of the estates of Jonna and Karl Heath a,gainst (1) Swift Wings, Inc., the corporate owner of the aircraft, on the grounds of agency; (2) the four shareholders of Swift Wings, Inc. —Fred Heath, Frank *159Kish, Richard Kish, and Kermit Rockett — alleging they actually constituted a de facto partnership, and (3) The Bank of Virginia Trust Company, Executor of the Estate of Frederick B. Heath, Jr.
The plaintiff’s complaint alleged several grounds of negligence: (1) operation of the aircraft in an overloaded condition beyond its performance capabilities, (2) failure to follow the operating manual with regard to takeoff distance for short and soft field takeoffs, (3) failure to take into account specific runway and weather conditions, (4) failure to take appropriate emergency steps including aborting takeoff, (5) flying below safe speed, (6) improper control after takeoff, and (7) violation of federal aircraft safety regulations.
Defendants answered, generally denying negligence, the existence of agency, and a de facto partnership.
Plaintiff’s evidence, except to the extent it is quoted from the record, is briefly summarized as follows: Mary Payne Smathers Curry, widow of Vance Smathers, observed the takeoff of the Piper aircraft shortly after 5:00 o’clock on 3 August 1975. She observed Fred Heath load and reload the passengers and luggage, apparently in an effort to improve the balance of the aircraft. He also “walked around [the airplane] and looked at everything . . . She remembers seeing him and thinking that he’s doublechecking it to be sure no one has slashed the tires.” The airplane engine started promptly and the plane was taxied to the end of the runway where it paused for approximately five minutes before takeoff. The airplane came very close to the end of the runway before takeoff. However, “[t]he engine sounded good the entire time, and she did not recall hearing the engine miss or pop or backfire.” After takeoff, the airplane “gained altitude but it didn’t go up very high” and then “leveled off pretty low”.
Joe Maples, the golf pro at Boone Golf and Country Club, was, at the time of the crash, in his pro shop which is located 600 to 800 yards from one end of the runway. He is a licensed pilot and operates on a voluntary basis a “Unicom” radio in the pro shop to issue aircraft traffic advisories. He heard the takeoff and testified that the engine sounded normal. He observed that his thermometer at the time of takeoff registered between 78° and 80° Fahrenheit. Later on that day, he also observed that the grass appeared to have grown to a height of five to six inches on *160parts of the runway, although it was worn somewhat in the middle. The soil was hard and flat. The crash occurred approximately one mile from the end of the runway. There is a gradual, unobstructed rise in the terrain to an altitude of about 200 feet within one mile from the end of the runway. Only crops, isolated trees, and drainage ditches lie on the terrain between the runway and the rise.
Joe Shuford testified that he resides in a house approximately 2,000 feet from the end of the runway from which the Piper aircraft took off. The house overlooks a cornfield which is beneath the path of aircraft departing the runway. He heard the aircraft taking off and “remarked to his wife that it seemed like it was taking a long time for the airplane to get down the runway.” When the plane came in sight it was “bobbing up and down like a ‘yo-yo’ just above the corn. He saw the plane touch into the corn twice.' The engine sounded like it was having a hard time flying.” The lánding gear was up. As the plane approached a set of power lines extending across the cornfield, it lifted several feet and he heard a loud “pop”. The aircraft then passed between two power poles, made a right bank, the left wing struck a tree, and the aircraft continued down the valley without gaining any altitude. The plane eventually crashed near a set of power lines with which the plane apparently collided on Holiday Hills Road.
Robert Bumgardner, a representative of the local electric membership corporation, testified that at the point where they were apparently struck by the plane, the power lines were close to 30 feet above the ground. One pole had been broken some distance above the ground, the cross arm on another had been broken, and one of four power lines had been snapped.
Richard G. Rodriquez, an investigator for the National Transportation Safety Board, testified that his investigation indicated that the grass runway was firm and essentially level. The landing gear was apparently down and locked at the time of the crash. The flaps were up. He testified that the fuel was flowing to all four cylinder injectors and that a test of each magneto indicated that they were functioning properly. He concluded, “Yes, my testimony would be that we found no evidence of preimpact malfunction.”
*161William B. Gough, Jr., a free-lance mechanical engineering consultant and pilot, testified concerning the operation and flight performance of the Piper 180 Arrow. He testified concerning the many factors affecting the takeoff capabilities of the Piper and the calculations to be made by the pilot before takeoff, utilizing flight performance charts. He testified that in his opinion, according to his calculations, the pilot should have used flaps to aid in the takeoff. Furthermore, he stated that in his opinion the reasonably prudent pilot should have made a controlled landing in the cornfield shortly after takeoff if he were experiencing difficulty attaining flight speed, and that if he had done so Jonna Heath and Karl Heath would have survived.
The defendant offered no testimony, but instead relied solely on testimony elicited on cross-examination which is briefly summarized below. Witness Joe Maples conceded that he did not hear the airplane’s -engine as it neared takeoff, because the takeoff was from the end of the runway fartherest from the pro shop. He also stated that he had utilized the airport on numerous occasions before he was ever aware of the power line obstructions in the cornfield. Joe Shuford testified with respect to the engine noise that, “Yes, sir, I have indicated that when I heard this ‘pop’ my first impression was that it was an engine backfiring.” Mrs. Curry admitted that, although she testified that the engine sounded good during takeoff, she would not recognize the sound of an engine that was unable to develop full power. Mr. Rodriquez conceded, under extensive cross-examination, that there were some malfunctions which his inspection may not have detected, and would not deny absolutely that malfunction could have caused the crash. Plaintiff’s expert Gough testified concerning several malfunction possibilities that could conceivably have caused power loss.
After the customary motions at the conclusion of all the evidence, the case was submitted to the jury upon voluminous instructions by the trial court. The jury returned a verdict answering the following issue as indicated: “1. Was Fred Heath, Jr., negligent in the operation of PA —28R ‘Arrow’ airplane on ■August 3, 1975 as alleged in the complaint?” Answer: “No”. Plaintiff appeals assigning error to the exclusion of certain evidence and to the charge to the jury. Defendants cross-appeal assigning *162error to the denial of the motions for a directed verdict by Swift Wings, Inc.
Adams and Jenkins, by W. Thad Adams, III, for plaintiff appellant.
Smith, Anderson, Blount and Mitchell, by James G. Billings, for defendant appellees.
Plaintiff has brought forward on appeal 15 assignments of error directed to 26 exceptions to rulings and instructions of the trial court. We direct our inquiry to a very limited number of assignments of error which identify substantial errors of law sufficiently prejudicial to the plaintiff to require a new trial of this matter. We will not address the remaining assignments of error because of the probability that the same errors, if any, will not recur upon retrial of the cause.
[1] Assignment of error No. 4 is directed to the trial court’s charge concerning the definition of negligence and the applicable standard of care:
“Negligence, ladies and gentlemen of the jury, is the failure of someone to act as a reasonably and careful and prudent person would under the same or similar circumstances. Obviously, this could be the doing of something or the failure to do something, depending on the circumstances. With respect to aviation negligence could be more specifically defined as the failure to exercise that degree of ordinary care and caution, which an ordinary prudent pilot having the same training and experience as Fred Heath, would have used in the same or similar circumstances.”
It is a familiar rule of law that the standard of care required of an individual, unless altered by statute, is the conduct of the reasonably prudent man under the same or similar circumstances. See Williams v. Trust Co., 292 N.C. 416, 233 S.E. 2d 589 (1977); Toone v. Adams, 262 N.C. 403, 137 S.E. 2d 132 (1964). While the standard of care of the reasonably prudent man remains constant, the quantity or degree of care required varies significantly with the attendant circumstances. Pinyan v. Settle, 263 N.C. 578, 139 *163S.E. 2d 863 (1965); Raper v. McCrory-McLellan Corp., 259 N.C. 199, 130 S.E. 2d 281 (1963).
The trial court improperly introduced a subjective standard of care into the definition of negligence by referring to the “ordinary care and caution, which an ordinary prudent pilot having the same training and experience as Fred Heath, would have used in the same or similar circumstances.” (Emphasis added.) We are aware of the authorities which support the application of a greater standard of care than that of the ordinary prudent man for persons shown to possess special skill in a particular endeavor. See generally Prosser, Law of Torts (4th ed.) § 32. Indeed, our courts have long recognized that one who engages in a business, occupation, or profession must exercise the requisite degree of learning, skill, and ability of that calling with reasonable and ordinary care. See e.g., Insurance Co. v. Sprinkler Co., 266 N.C. 134, 146 S.E. 2d 53 (1966) (fire sprinkler contractor); Service Co. v. Sales Co., 261 N.C. 660, 136 S.E. 2d 56 (1964) (industrial designer); Hunt v. Bradshaw, 242 N.C. 517, 88 S.E. 2d 762 (1955) (physician); Hodges v. Carter, 239 N.C. 517, 80 S.E. 2d 144 (1954) (attorney). Furthermore, the specialist within a profession may be held to a standard of care greater than that required of the general practitioner. See generally Dickens v. Everhart, 284 N.C. 95, 199 S.E. 2d 440 (1973). Nevertheless, the professional standard remains an objective standard. For example, the recognized standard for a physician is established as “the standard of professional competence and care customary in similar communities among physicians engaged in his field of practice.” Dickens v. Everhart, 284 N.C. at 101, 199 S.E. 2d at 443.
Such objective standards avoid the evil of imposing a different standard of care upon each individual. The instructions in this case concerning the pilot’s standard of care are misleading at best, and a misapplication of the law. They permit the jury to consider Fred Heath’s own particular experience and training, whether outstanding or inferior, in determining the requisite standard of conduct, rather than applying a minimum standard generally applicable to all pilots. The plaintiff is entitled to an instruction holding Fred Heath to the objective minimum standard of care applicable to all pilots.
[2] Plaintiff assigns error to the portion of the trial court’s summary of the defendant’s evidence as elicited during cross-*164examination. Plaintiff excepts to the following statement by the court:
“That the ignition was on one of the magnetos which would indicate that the pilot, having encountered difficulty, had switched from both, which is an emergency procedure; . . .”
Plaintiff contends that the evidence did not reasonably support the trial court’s statement that the pilot had initiated an emergency procedure. Defendants argue that the court drew a reasonable inference from the evidence. It is conceded by defendants that there was no testimony precisely stating that switching magnetos is an “emergency procedure”.
It is fundamental in this State that the trial court may not submit for the consideration of the jury facts material to the issue of negligence not fully supported by the evidence. Dove v. Cain, 267 N.C. 645, 148 S.E. 2d 611 (1966). The issue of whether the pilot of the Piper 180 Arrow was in fact confronted with an “emergency” due to engine malfunction is a crucial element of the case. Testimony that a pilot is taught to switch magnetos when the aircraft is experiencing engine roughness is, under the facts of this case, insufficient evidence in this record to support the court’s charge which intimated that switching magnetos constitutes per se an emergency procedure. Moreover, there is no evidence to suggest that engine roughness presents an emergency situation when proper safety factors are taken into consideration prior to an attempted takeoff.
[3] Plaintiff also assigns error to the following portion of the court’s summary of the contentions of the parties:
“[T]hat the plaintiff would have Fred Heath adhere to a perfect exact standard whereas the standard is that of the ordinary prudent pilot; . . .”
Such a statement may appear to the jury as an indication of the trial court’s opinion with respect to the merits of plaintiff’s lawsuit. It is clear from the pleadings that the plaintiff is proceeding only on the theory of a failure to exercise the due care required of the ordinary prudent pilot. There is no basis for the trial court’s statement that plaintiff insists on a perfect standard as opposed to a reasonable standard. This Court has held that when the manner of stating the contentions of the parties is in*165dicative of the court’s opinion on the case, the charge is violative of G.S. 1-180. Voorhees v. Guthrie, 9 N.C. App. 266, 175 S.E. 2d 614 (1970). G.S. 1-180 is now embodied in substance within G.S. 1A-1, Rule 51(a). Little v. Poole, 11 N.C. App. 597, 182 S.E. 2d 206 (1971). Furthermore, exceptions to an expression of opinion within the context of the summary of the contentions of the parties may be raised for the first time on appeal. Voorhees v. Guthrie, supra; State v. Powell, 6 N.C. App. 8, 169 S.E. 2d 210 (1969).
This matter was well tried by both counsel for plaintiff and counsel for defendants, and several days were consumed in its trial. Nevertheless, for prejudicial errors in the charge, there must be a
New trial.
Judges MARTIN (Harry C.) and CARLTON concur.
4.2.4.6 Questions and Notes on Heath 4.2.4.6 Questions and Notes on Heath
Fun Fact
While pilots have professional associations, like the Airline Pilot Association (ALPA) and the Aircraft Owners and Pilots Association (AOPA), the primary organ for setting professional standards is the Federal Aviation Administration (FAA), a division of the United States Department of Transportation. Among other things, the FAA sets standards for pilot certification, training, and operations.
Guiding Questions
- Why wasn't Fred Heath held to the typical "reasonable person" standard? What standard was he held to?
- In describing that standard, what did the trial judge do wrong?
- What policy reasons might support holding people like Fred Heath to a standard different from the ordinary reasonable prudent person?
Test Your Knowledge
Amelia, a certified public accountant (CPA), takes on a substantial number of new clients during tax season, exceeding her usual capacity. In preparing a tax return for one such client, she carelessly omits key disclosures and misclassifies several items. The client is subsequently audited and charged with tax fraud. Though the charges are later dropped, the client suffers arrest, reputational damage, and legal expenses. In a negligence action brought against Amelia, could she be held liable for these injuries?
- No, because the accountant-client relationship is fiduciary in nature, and claims arising from such relationships must sound in equity not negligence.
- No, because the client’s injuries were primarily reputational and emotional and are therefore not recoverable in tort.
- Yes, because Amelia’s conduct fell below the professional standard of care owed by a reasonable CPA under similar circumstances.
- Yes, because professionals are strictly liable for any harm that arises from taking on excessive work during high-demand periods.
Notes and Further Questions
- The General Rule. As the principal case demonstrates, the law requires a defendant who is engaged in a particular profession or trade to act as would a reasonable practitioner in that profession or trade. Fred Heath was required to act reasonably for a pilot. Seawall engineers must act reasonably for seawall engineers. If a seawall collapses and causes flooding, liability is judged by that profession’s standard. See Tydings v. Loewenstein, 505 A.2d 443 (Del. 1986).
- Elevated Knowledge. A heightened standard may apply where a professional claims greater skill or specialization. See Restatement (Second) of Torts § 299A & cmt. c–d (1965). For instance, a labor lawyer or pediatrician will be judged against peers in their specialty—not the general profession—because the law evaluates conduct by the skill the professional represents having, not the skill they actually possess.
- Novices in the Profession. Can a newly licensed professional be held to the same standard as a seasoned one? The Restatement contemplates that a person may disclaim full competence and thereby trigger a lower standard. See § 299A cmt. d. Yet a court may be reluctant to allow such variation on the professional standard in case where the disclaimer was not explicitly given. In Centman v. Cobb, 581 N.E.2d 1286 (Ind. Ct. App. 1991), the court held new medical residents to the full standard of a reasonable physician, noting they presented themselves as "doctors" and gave no indication of their limited competence. id. at 1289.
- What Counts as a “Profession”? Traditional professions—law, medicine, accounting, architecture, insurance—are squarely within the scope of § 299A. But not all colloquial “professions” qualify:
- Teachers are generally not held to a professional standard of care, partly due to difficulties in determining why students fail to learn and the lack of uniform agreement on proper ways to teach (especially at different grade levels). There are also loss distribution questions in holding school districts liable. See Page v. Klein Tools, Inc., 610 N.W.2d 900 (2000); Ross v. Creighton Univ., 957 F.2d 410 (7th Cir. 1992). An exception exists for school guidance counselors, who may be held liable for negligent misrepresentation in certain circumstances. See Sain v. Cedar Rapids Cmty. Sch. Dist. (guidance counselor negligently advised student that a certain course would satisfy NCAA English requirements, resulting in lost athletic scholarships and recruitment opportunities).
- Clergy. A core rationale for not applying a particularized standard of care for church leaders is hesitancy to entangle the judiciary in religious affairs, which may implicate the Establishment Clause of the First Amendment. See, e.g., Nally v. Grace Comm. Church of the Valley, 763 P.2d 948 (Cal. 1988).
- Is pharmacy a "profession?" Pharmacists represent a unique category in the law of professionals. Seemingly all jurisdictions to have addressed the issue hold that pharmacy is a "profession" with a heightened standard of care. See Restatement (Second) of Torts § 299A, cmt. b, reporter's n. (1965). Yet a majority also holds that pharmacists have no general duty to warn customers of a drug's side effects. See, e.g., Kowalksi v. Rose Drugs, 378 S.W.3d 109 (Ark. 2011). Isn’t that strange? After all, the average person would probably describe pharmacy as a "profession" and say it encompasses the science and practice of preparing, dispensing, and reviewing drugs, as well as providing clinical advice on their proper use. Since giving such advice—in addition to dispensing the correct medication and maintaining patient confidentiality—would seem to be a core function of the pharmacist, it's unclear in tort law just how "heightened" is the pharmacist's standard of care.
- Expert testimony required. A professional's knowledge and work are special in that they exceed the knowledge and work of the average person. Unsurprisingly, then, a jury of average people cannot be expected to understand the nature of a profession well enough to decide whether the professional acted reasonably—at least, not on their own. They need assistance. Accordingly, the law requires the plaintiff in a professional negligence case to offer expert testimony: statements and affidavits from relevant professionals about the standard of care within that profession. See, e.g., Aetna Ins. Co. v. Hellmuth, Obata, & Kassabaum, Inc., 392 F.2d 472 (8th Cir. 1968) (applying Missouri law) (testimony from architects on architectural standard of care necessary in negligence suit against architect). Cases involving medical professionals are no different. The only exception is for cases in which the medical malpractice is so blatantly obvious that the jury doesn't need the help of a professional to apply the standard of care. For example, in Butts v. Watts a dentist performing a wisdom tooth removal shattered the patient's wisdom tooth and then left a tooth shard the size of an apple seed embedded in the patient's gums. 290 S.W.2d 777 (Ky. 1956). When the patient came back repeatedly and complained of severe pain in the area, the dentist refused to take x-rays and told the patient's father, "I have fooled with him and I am not going to fool with that case any more. I can't help it; I am through." Id. at 778. The jury did not, the Court held, need expert testimony before considering whether the dentist acted like a reasonable dentist. Id. at 779–80. Note that proof of breach in such cases may well be a form of res ipsa loquitur—the facts "speak for themselves"—a legal doctrine we will learn about later. See id. at 780.
4.2.4.7 Andrews v. United Airlines, Inc. 4.2.4.7 Andrews v. United Airlines, Inc.
The Falling Luggage Case
Billie Jean ANDREWS, Plaintiff-Appellant, v. UNITED AIRLINES, INC., a corporation; Does 1 through 50, inclusive, Defendant-Appellee.
No. 92-16663.
United States Court of Appeals, Ninth Circuit.
Argued and Submitted Feb. 10, 1994.
Decided May 13, 1994.
*40Andrew Zabronsky, Susie Injijian, Deborah M. Heller, Sterns, Walker & Lods, San Francisco, CA, for plaintiff-appellant.
Philip R. Diamond, James C. Nielson, Peter M. Hart, Wright, Robinson, McCammon, Osthimer & Tatum, San Francisco, CA, for defendant-appellee.
Before: FLETCHER, KOZINSKI and TROTT, Circuit Judges.
Opinion by Judge KOZINSKI.
We are called upon to determine whether United Airlines took adequate measures to deal with that elementary notion of physics— what goes up, must come down. For, while the skies are friendly enough, the ground can be a mighty dangerous place when heavy objects tumble from overhead compartments.
I
During the mad scramble that usually follows hard upon an airplane’s arrival at the gate, a briefcase fell from an overhead compartment and seriously injured plaintiff Billie Jean Andrews. No one knows who opened the compartment or what caused the briefcase to fall, and Andrews doesn’t claim that airline personnel were involved in stowing the object or opening the bin. Her claim, rather, is that the injury was foreseeable and the airline didn’t prevent it.
The district court dismissed the suit on summary judgment, and we review de novo. Dorsey v. National Enquirer, Inc., 973 F.2d 1431, 1434 (9th Cir.1992). This is a diversity action brought in California, whose tort law applies. Id.
II
The parties agree that United Airlines is a common carrier and as such “owe[s] both a duty of utmost care and the vigilance of a very cautious person towards [its] passengers.” Acosta v. Southern Cal. Rapid Transit Dist., 2 Cal.3d 19, 27, 84 Cal.Rptr. 184, 465 P.2d 72 (1970); see Cal. Civil Code § 2100 (West 1985); United Air Lines, Inc. v. Wiener, 335 F.2d 379, 402 (9th Cir.1964). Though United is “responsible for any, even the slightest, negligence and [is] required to do all that human care, vigilance, and foresight reasonably can do under all the circumstances,” Acosta, 2 Cal.3d at 27, 84 Cal.Rptr. 184, 465 P.2d 72, it is not an insurer of its passengers’ safety, Lopez v. Southern Cal. Rapid Transit Dist., 40 Cal.3d 780, 785, 221 Cal.Rptr. 840, 710 P.2d 907 (1985). “[T]he degree of care and diligence which [it] must exercise is only such as can reasonably be exercised consistent with the character and mode of conveyance adopted and the practical operation of [its] business.... ” Id.
To show that United did not satisfy its duty of care toward its passengers, Ms. Andrews presented the testimony of two witnesses. The first was Janice Northcott, United’s Manager of Inflight Safety, who disclosed that in 1987 the airline had received 135 reports of items falling from overhead bins. As a result of these incidents, Ms. Northcott testified, United decided to add a warning to its arrival announcements, to wit, that items stored overhead might have shifted during flight and passengers should use caution in opening the bins. ER 10. This *41announcement later became the industry standard. ER 81.
Ms. Andrews’s second witness was safety and human factors expert Dr. David Thompson, who testified that United’s announcement was ineffective because passengers opening overhead bins couldn’t see objects poised to fall until the bins were opened, by which time it was too late. Dr. Thompson also testified that United could have taken additional steps to prevent the hazard, such as retrofitting its overhead bins with baggage nets, as some airlines had already done, ER 53,1 or by requiring passengers to store only lightweight items overhead, ER 54.2
United argues that Andrews preseñted too little proof to satisfy her burden under Anderson v. Liberty Lobby, Inc., 477 U.S. 242, 106 S.Ct. 2505, 91 L.Ed.2d 202 (1986). One hundred thirty-five reported incidents, United points out, are trivial when spread over the millions of passengers travelling on its 175,000 flights every year. ER 11. Even that number overstates the problem, according to United, because it includes events where passengers merely observed items falling from overhead bins but no one was struck or injured. ER 80.3 Indeed, United sees the low incidence of injuries as incontrovertible proof that the safety measures suggested by plaintiffs expert would not merit the additional cost and inconvenience to airline passengers.
Ill
It is a close question, but we conclude that plaintiff has made a sufficient case to overcome summary judgment. United is hard-pressed to dispute that its passengers are subject to a hazard from objects falling out of overhead bins, considering the warning its flight crews give hundreds of times each day. The case then turns on whether the hazard is serious enough to warrant more than a warning. Given the heightened duty of a common carrier, Acosta, 2 Cal.3d at 27, 84 Cal.Rptr. 184, 465 P.2d 72, even a small risk of serious injury to passengers may form the basis of liability if that risk could be eliminated “consistent with the character and mode of [airline travel] and the practical operation of-[that] business. . . .” Lopez, 40 Cal.3d at 785, 221 Cal.Rptr. 840, 710 P.2d 907. United has demonstrated neither that retrofitting overhead bins with netting (or other means) would be prohibitively expensive, nor that such steps would grossly interfere "with the convenience of its passengers. Thus, a jury could find United has failed to do “all that human care, vigilance, and foresight reasonably can do under all the circumstances.” Acosta, 2 Cal.3d at 27, 84 Cal. Rptr. 184, 465 P.2d 72.
The reality, with which airline passengers are only too familiar, is that airline travel has changed significantly in recent years. As harried travelers try to avoid the agonizing ritual of checked baggage, they hand-carry more and larger items — computers, musical instruments, an occasional deceased relative. See Jo Beth McDaniel, Final Call for Carry-On Cargo, Travel Weekly, Feb. 28, 1988, at 22; Valarie Basheda, Airline Sued Over Fallen Luggage Cart, Gannett News Serv., Dec. 3, 1992. The airlines have coped with this trend, but perhaps not well enough. Given its awareness of the hazard, United may not have done everything technology permits and prudence dictates to eliminate it. See Treadwell v. Whittier, 80 Cal. 574, 600, 22 P. 266 (1889) (“common carriers ... must keep pace with science, art, and modern im*42provement”); Valente v. Sierra Ry., 151 Cal. 534, 543, 91 P. 481 (1907) (common carriers must use the best precautions in practical use “known to any company exercising the utmost care and diligence in keeping abreast with modern improvement in ... such precautions”).
Jurors, many of whom will have been airline passengers, will be well equipped to decide whether United had a duty to do more than warn passengers about the possibility of falling baggage. A reasonable jury might conclude United should have done more; it might also find that United did enough. Either decision would be rational on the record presented to the district court which, of course, means summary judgment was not appropriate.
REVERSED AND REMANDED.
4.2.4.8 Questions and Notes on Andrews 4.2.4.8 Questions and Notes on Andrews
Fun Fact
Before landing, flight attendants often remind passengers to be "cautious when opening overhead bins as items may have shifted during the flight." You must have heard this standard safety announcement before. FAA Regulation § 121.589 on Carry-on baggage, further requires that the "baggage or cargo stowage compartment" provide "proper restraint" for all baggage. The FAA defines the restraint "load factors" in § 25.561(b)(3) (3g upwards, 9g forward, 6g downward, 3g sideward). § 121.285 further requires that luggage be "properly secured by a safety belt or other tiedown having enough strength to eliminate the possibility of shifting under all normally anticipated flight and ground conditions." Most overhead bins of course don't have seatbelts. But the bins are reinforced with a latching system that is tested to ensure they can handle the typical stresses and load factors.
Guiding Questions
- According to Judge Kozinski, what duty of care applies to common carriers? How does it compare with the duty of reasonable care?
- Judge Kozinski notes that a jury would be "well equipped" to decide this case. Why?
- Think back to the policy reasons for holding common carriers to higher standards in intentional torts. How do those justifications compare in the negligence context, and should common carriers likewise be held to a heightened duty of care?
Test Your Knowledge
Sidney is in a wheelchair after she broke her leg at soccer practice. To get to her law school exam, she has to use the only public bus line in downtown Chicago. The bus that pulls into Sidney's stop is a third generation model (not wheelchair accessible), while the newest buses in the fleet are sixth generation models (wheelchair accessible). The driver of the bus has been having a particularly bad morning and, impatient to get to his next stop, tells Sidney she can "easily" make it up the steps even without the new accessibility features. Sidney tries to force her wheelchair up the steps and promptly injures herself. Under the standard of care Judge Kozinski applied in the principal case, will Sidney likely prevail in a lawsuit against the bus line?
- No, because the bus line was required to act (and did act) as would a reasonable person in the circumstances.
- No, because Sidney is barred from suing after she voluntarily chose to try to get her wheelchair up the steps.
- Yes, because the driver, in hurrying Sidney onto the bus, did not act as would a reasonable person in the circumstances.
- Yes, because the bus line, in not providing Sidney with one of its wheelchair accessible buses, did not act with the utmost care and vigilance of a very cautious person towards its passengers.
Notes and Further Cases
- The standard(s) for common carriers. Judge Kozinski applies a heightened standard of care to common carriers, but you should note that not all jurisdictions do the same. In fact, the Third Restatement has done away with a unique common carrier standard of care, holding carriers instead to the basic reasonable person standard. See Restatement (Third) of Torts: Liability for Physical and Emotional Harm §§ 3 (2010); id., § 40 & cmt. i. Yet some jurisdictions—even after the Third Restatement—have decided to stick with heightened liability. See, e.g., VIA Metro. Transit Auth. v. Meck, 620 S.W.3d 356 (Tex. 2020).
4.2.5 The Birth and Death of Duties 4.2.5 The Birth and Death of Duties
4.2.5.1 Boyd v. Racine Currency Exchange, Inc. 4.2.5.1 Boyd v. Racine Currency Exchange, Inc.
The Bank Robbery Case
(No. 45557.
PINEY BOYD, Appellee, v. RACINE CURRENCY EXCHANGE, INC., et al., Appellants.
Opinion filed Nov. 30, 1973.
Rehearing denied Jan. 29, 1974.
GOLDENHERSH, J., dissenting.
*96Hinshaw, Culbertson, Moelmann, Hoban & Fuller, of Chicago (Joseph W. Griffin and D. Kendall Griffith, of counsel), for appellants.
Marshall I. Teichner Ltd. of Chicago (Edwin A. Strugala, of counsel), for appellee.
delivered the opinion of the court:
Plaintiff’s complaint was dismissed on motion of the defendants by the circuit court of Cook County for failure to state a cause of action. The appellate court reversed and remanded the cause to the circuit court. (8 Ill. App. 3d 140.) We granted leave to appeal.
This is a wrongful death action against Racine Currency Exchange and Blanche Murphy to recover damages for the death of plaintiff’s decedent during an attempted armed robbery. The facts surrounding that event, as alleged in the complaint and admitted by defendants’ motion, are: The plaintiff’s husband, John Boyd, was present in the Racine Currency Exchange on April 27, 1970, for the purpose of transacting business. While he was there, an armed robber entered and placed a pistol to his head and told Blanche Murphy, the teller, to give him the money or open the door or he would kill Boyd. Blanche Murphy was at that time located behind a bulletproof glass window and partition. She did not comply with the demand but instead fell to the floor. The robber then shot Boyd in the head and killed him.
Plaintiff alleges several acts of negligence by the Racine Currency Exchange and Blanche Murphy. Count I alleges that the defendants owed Boyd, a business invitee, the duty to exercise reasonable care for his safety and that they breached this duty when they refused to accede to the robber’s demands. Count I also alleges that defendants acted negligently in adopting a policy, knowledge of which was deliberately withheld from their customers, according *97to which their money was to be protected at all costs, including the safety and the lives of the customers.
In count II the plaintiff alleges that the Currency Exchange was negligent in failing to instruct its employees regarding the course of conduct which would be necessary under the circumstances of this case to prevent exposing customers to unreasonable risks of harm. Count II further alleges that the Currency Exchange was negligent in employing a person who was incompetent to fulfill the responsibilities of her position. Negligence is also alleged in the failure to furnish guidelines of how to act in case of armed robbery, and alternatively that it was negligent in failing to disclose to its customers its policy of preserving its monies at all costs.
It is fundamental that there can be no recovery in tort for negligence unless the defendant has breached a duty owed to the plaintiff. (Hamlin’s Wizard Oil Co. v. United States Express Co., 265 Ill. 156.) The plaintiff contends that a business proprietor has a duty to his invitees to honor criminal demands when failure to do so would subject the invitees to an unreasonable risk. It is claimed that this duty arises from the relationship between a landowner and a business invitee.
It is the general rule in Illinois and other jurisdictions that a person has no duty to anticipate the criminal acts of third parties. (Prosser, Handbook of the Law of Torts (4th ed. 1971), sec. 33.) An exception to this rule exists, however, when criminal acts should reasonably have been foreseen. (Neering v. Illinois Central R.R. Co., 383 Ill. 366.) Neering, and many of the other cases cited by the parties, involved the question of whether facts existed which should have alerted the defendant to a risk of harm to his invitees by' criminals. (See O’Brien v. Colonial Village, Inc., 119 Ill. App. 2d 105; Stelloh v. Cottage 83, 52 Ill. App. 2d 168; Altepeter v. Virgil State Bank, 345 Ill. App. 585; Nigido v. First National Bank, 264 Md. 702, 288 A.2d 127.) These cases are of little help here since our *98case presents a question of whether the defendant who is faced with an imminent criminal demand incurs liability by resisting, not whether he is negligent in failing to take precautions against a possible future crime.
Also of little assistance is Sinn v. Farmers Deposit Savings Bank, 300 Pa. 85, 150 A. 163. In that case recovery for the plaintiff, who was injured when a bank robber detonated dynamite within the bank, was upheld. The plaintiff alleged that had the bank warned him that a bank robbery was in progress, as they had the opportunity to do, he could have escaped unharmed. The plaintiff’s intestate in our case, however, was obviously on notice that a robbery was in progress, and plaintiff does not predicate her claim on the absence of warning.
The Restatement of Torts does not consider the specific issue before us. The Restatement does set forth the principle that a person defending himself or his property may be liable for harm to third persons if his acts create an unreasonable risk of harm to such persons. (Restatement (Second) of Torts, secs. 75 and 83.) However, these sections refer to situations in which the harm is caused directly by a person resisting, not by the criminal, such as where a shot fired at a criminal hits a third person.
We are aware of only two cases which have discussed issues similar to the one with which we are faced here — whether a person injured during the resistance to a crime is entitled to recover from the person who offered the resistance. In Genovay v. Fox, 50 N.J. Super. 538, 143 A.2d 229, rev’d on other grounds, 29 N.J. 436, 149 A.2d 212, a plaintiff who was shot and wounded during the robbery of a bowling alley bar claimed that the proprietor was liable because instead of complying with the criminal demand he stalled the robber and induced resistance by those patrons present. The plaintiff was shot when several patrons attempted to disarm the bandit. The court there balanced the interest of the proprietor in resisting the robbery against the interest of the patrons in not being *99exposed to bodily harm and held that the complaint stated a cause of action. The court stated: “The value of human life and of the interest of the individual in freedom from serious bodily injury weigh sufficiently heavily in the judicial scales to preclude a determination as a matter of law that they may be disregarded simply because the defendant’s activity serves to frustrate the successful accomplishment of a felonious act and to save his property from loss.” (50 N.J. Super, at 558, 143 A.2d at 239-40.) The court held that under the circumstances it was for the jury to determine whether defendant’s conduct was reasonable.
In Noll v. Marian, 347 Pa. 213, 32 A.2d 18, the court held that no cause of action existed. The plaintiff was present in a bank when an armed robber entered and announced “It’s a holdup. Nobody should move.” The bank teller, instead of obeying this order, dropped down out of sight. The gunman then opened fire and wounded the plaintiff. The court held that even though the plaintiff might not have been injured if the teller had stood still, the teller did not act negligently in attempting to save himself and his employer’s property.
In Lance v. Senior, 36 Ill.2d 516, this court noted that foreseeability alone does not result in the imposition of a duty. “The likelihood of injury, the magnitude of the burden of guarding against it and the consequences of placing the burden upon the defendant, must also be taken into account.” 36 Ill.2d at 518.
In the present case an analysis of those factors leads to the conclusion that no duty to accede to criminal demands should be imposed. The presence of guards and protective devices do not prevent armed robberies. The presence of armed guards would not have prevented the criminal in this case from either seizing the deceased and using him as a hostage or putting the gun to his head. Apparently nothing would have prevented the injury to the decedent except a complete acquiescence in the robber’s demand, *100and whether acquiescence would have spared the decedent is, at best, speculative. We must also note that the demand of the criminal in this case was to give him the money or open the door. A compliance with this alternate demand would have, in turn, exposed the defendant Murphy to danger of bodily harm.
If a duty is imposed on the Currency Exchange to comply with such a demand the same would only inure to the benefit of the criminal without affording the desired degree of assurance that compliance with the demand will reduce the risk to the invitee. In fact, the consequence of such a holding may well be to encourage the use of hostages for such purposes, thereby generally increasing the risk to invitees upon business premises. If a duty to comply exists, the occupier of the premises would have little choice in determining whether to comply with the criminal demand and surrender the money or to refuse the demand and be held liable in a civil action for damages brought by or on behalf of the hostage. The existence of this dilemma and knowledge of it by those who are disposed to commit such crimes will only grant to them additional leverage to enforce their criminal demands. The only persons who will clearly benefit from the imposition of such a duty are the criminals. In this particular case the result may appear to be harsh and unjust, but, for the protection of future business invitees, we cannot afford to extend to the criminal another weapon in his arsenal.
For these reasons we hold that the defendants did not owe to the invitee Boyd a duty to comply with the demand of the criminal.
Accordingly, the judgment of the appellate court will be reversed, and the judgment of the circuit court of Cook County will be affirmed. .
Appellate court reversed; circuit court affirmed.
dissenting:
I dissent. The majority opinion fails to take into account the principles of law clearly enunciated in Restatement (Second) of Torts, secs. 302B and 449, and on the basis of pure conjecture concludes that nothing that defendant’s employee could have done would have saved the deceased from death or injury. The majority’s polemic on the subject of the hazards which would be created by an application of established legal principles to this case finds little support in logic and none whatsoever in the legal authorities.
This case comes to us only on the pleadings and I agree with the appellate court that “Whether what defendants did or did not do proximately caused the injury that befell plaintiff’s decedent, whether Blanche Murphy had the time so she could, under the circumstances alleged, exercise the kind of judgment expected of a person of ordinary prudence, were questions of fact which, from all the evidence, must be decided by a trier of the facts, judge or jury.” I would affirm the judgment of the appellate court.
4.2.5.2 Questions and Notes on Boyd 4.2.5.2 Questions and Notes on Boyd
Fun Fact
According to the FBI, "the number of US bank robberies peaked in 1991 when 9,388 were committed. The number has declined pretty much ever since. By 2021, it was just 1,724 after hitting a 51-year low of 1,500 in 2020." What explains this reduction? Likely the slow decline in the return on investment. "The typical robber made away with about $5,200 in the late 1960s. That’s over $38,000 in 2019 dollars. But in 2019, the average was just $4,200." See Jay L. Zagorsky, Why Bank Robbing Has Gone Out of Style? N.Y. Post (Oct. 12, 2022), https://nypost.com/2022/10/12/why-bank-robbing-has-gone-out-of-style/.
Guiding Questions
- What duty does Piney Boyd allege the bank owed her husband, John Boyd? In what ways does Mrs. Boyd allege that the defendant breached that duty?
- What policy rationales does the court give to explain its decision not to impose a duty?
- What is the dissenting judge's reasoning?
Test Your Knowledge
Jimmy runs an ice cream shop. One day a robber runs into the shop and yells, "give me all the ice cream and money you have or I'll shoot the next person who walks in!" Jimmy refuses, and the robber shoots Michael, the next person to walk in the shop, in the foot. Luckily, an officer who was on patrol witnesses the shooting and arrests the robber immediately. Michael, the victim of the shooting, sues Jimmy for negligence, claiming that he would not have been injured had Jimmy complied with the robber's demands. If the court applies the reasoning in Boyd, will Michael be successful in his claim?
- No, because businesses do not owe invitees the duty to comply with criminal demands of third parties.
- No, because there is no general duty to protect others from harm.
- Yes, because Jimmy, as a businessman, has a duty to maintain a safe premises for all patrons.
- Yes, because a reasonable person would have handed over the ice cream money.
Notes and Further Cases
- Duties to comply with ransomware demands. The rise of ransomware—malware that encrypts system data and demands payment for their release—has sparked debate over whether refusing to pay such ransoms can constitute negligence. See generally Asaf Lubin, The Law and Politics of Ransomware, 55 Vand. J. Transnat'l L. 1177 (2022). In Jane Doe v. Lehigh Valley Health Network, Inc., No. 3:23‑CV‑00585 (M.D. Pa. filed Apr. 6, 2023), a hospital’s refusal to pay ransom led hackers to release nude photographs of cancer patients online, prompting claims that the hospital failed to safeguard sensitive data. Similarly, in Teiranni Kidd v. Springhill Medical Center et al., No. CV‑2019‑900123.00 (Cir. Ct. Mobile Cnty., Ala. Jan. 2020; amended Apr. 2020)., a mother alleged that an undisclosed ransomware attack impaired fetal monitoring, contributing to her infant’s death, and argued that the hospital’s failure to disclose the breach denied her the chance to seek safer care elsewhere.
- Standards of care in cybersecurity cases generally. Beyond ransomware, data breaches raise pressing questions about the scope of a digital business’s duty to protect user information. Courts increasingly recognize that businesses owe users a duty of care in safeguarding personal data. See In re Equifax, Inc. Customer Data Sec. Breach Litig., 362 F. Supp. 3d 1295, 1321–27 (N.D. Ga. 2019) (holding Equifax owed a duty to protect the personal information of 150 million users compromised in a 2017 breach). Still, the content of that duty remains unclear. Some courts look to industry standards to assess reasonable cybersecurity measures. See Bass v. Facebook, Inc., 394 F. Supp. 3d 1024, 1038–39 (N.D. Cal. 2019) (evaluating Facebook's use of access tokens in light of prevailing norms).
- Law of Fiduciaries. Legal scholars have proposed treating digital businesses as “information fiduciaries,” given the trust users place in them when disclosing personal data. See Jack M. Balkin & Jonathan L. Zittrain, A Grand Bargain to Make Tech Companies Trustworthy, The Atlantic (Oct. 3, 2016); Jack M. Balkin, The Fiduciary Model of Privacy, 134 Harv. L. Rev. F. 11 (2020). On this model, companies would owe heightened duties of care and loyalty, similar to those governing lawyers, doctors, and trustees. The rise of AI agents intensifies this conversation: as automated systems increasingly make decisions or act on users’ behalf, the asymmetry in power, knowledge, and agency deepens. Scholars have begun exploring whether these agents warrant fiduciary-style regulation. See generally, Ian Ayres & Jack M. Balkin, The Law of Risky Agents Without Intentions, U. Chi. L. Rev. Online (Nov. 27, 2024), https://lawreview.uchicago.edu/online-archive/law-ai-law-risky-agents-without-intentions.
4.2.5.3 The Birth and Death of Duties 4.2.5.3 The Birth and Death of Duties
Earlier we learned that the existence of a duty is circumstance-dependent. It follows that wholly new circumstances may give rise to wholly new duties—what we might call the "birth" of a duty. For instance, the advent of cars necessitated the duty to act as would a reasonable car driver. The advent of organized, professional sports created the duty of coaches to ensure the safety and wellbeing of their athletes.
We've just read material that discusses other possible duty-creating circumstances like cybersecurity and artificial intelligence. Over time courts have cited a number of factors to consider when deciding whether to recognize a new duty:
- The foreseeability of harm to the plaintiff.
- The degree of certainty that the plaintiff suffered injury.
- The closeness of the connection between the defendant's conduct and the injury suffered.
- The moral blame attached to the defendant's conduct.
- The policy of preventing future harm.
- The extent of the burden to the defendant and the consequences to the community of imposing a duty to exercise care with resulting liability for breach.
- The availability, cost, and prevalence of insurance for the risk involved.
If technological, economic, cultural, political, and social developments help create duties, can they also help abolish them? In other words, can duties "die"? The answer is yes, though the subject has rarely been studied.
Over a century ago, a husband could recover substantial monetary damages from someone who had sex with his wife, even if the interloper had no idea she was married. This is one of the many "heartbalm" torts, torts relating to the derailment of intimate relationships. They include other torts such as breach of promise to marry, alienation of affections, and seduction. For further reading see Frederick L. Kane, Heart Balm and Public Policy, 5 Fordham L. Rev. 63 (1936).
A hundred years ago a white train passenger could sue a railroad company if a train conductor directed the passenger to a compartment used by black passengers. A wife could sue a tavern for the wages that its patron—her alcoholic husband—failed to earn because of his frequenting the establishment. And decades ago a telegraph user could sue the telegraph company for unsent, misdirected, or garbled telegrams. Each of these examples involves a duty that has since died. In determining whether to move on from a duty, courts have laid out several factors too:
- The changes in the cultural atmosphere and public policy surrounding a tort.
- History of chronic over- or under-compensation of plaintiffs or over- or under-deterrence of defendants.
- Failure of the tort to produce predictable outcomes and or similar liability standards across jurisdictions.
- Political power of would-be plaintiffs or defendants and capability to organize as a class to fight the tort.
- The attractiveness of alternatives within and outside the tort system.
- Technological evolution that shifts perceptions and capacities and reorients the balance of equities.
For more on the death of duties see Kyle Graham, Why Torts Die, 35 Fla. St. U. L. Rev. 359 (2008).
4.2.6 Special Duties 4.2.6 Special Duties
4.2.6.1 Off-Premises Liability 4.2.6.1 Off-Premises Liability
4.2.6.1.1 Taylor v. Olsen 4.2.6.1.1 Taylor v. Olsen
The Fallen Tree Case
Argued November 8, 1977,
affirmed May 16, 1978
TAYLOR, Appellant, v. OLSEN, Respondent.
(TC 95189, SC 24780)
578 P2d 779
*344Chris P. Ledwidge of Ledwidge & Ledwidge, Portland, argued the cause and filed briefs for appellant.
James C. Tait, Oregon City, argued the cause for respondent. With him on the brief were Hibbard, Caldwell, Canning, Bowerman & Schultz.
Before Holman, Presiding Justice, Tongue and Linde, Justices, and Richardson, Justice pro tempore.
LINDE, J.
Plaintiff sued for damages for injuries she sustained when her car, on a dark and windy January evening, struck a tree which shortly before had splintered and fallen across a Clackamas County road. The trial court directed verdicts for defendant Clackamas County, the owner of the right-of-way on which the tree was located, and Marion Olsen, the adjoining landowner who was alleged to be in possession of the same location. Plaintiff appeals from the judgment entered on the directed verdict for Olsen.
The parties disagree about the measure of responsibility of one in possession or control of land near a public road for injuries to travelers caused by such trees. Defendant maintains that he had no duty of reasonable care with respect to the tree involved in this case. Plaintiff assigns as error, first, that the trial court directed a verdict for defendant on this issue, and second, that the court excluded testimony by local witnesses which was offered to show that defendant should have recognized the danger that the tree might fall onto the road.
This court has not previously had occasion to consider the question of liability for injuries caused by the fall of roadside trees. However, such injuries have long been common enough to develop lines of cases in other jurisdictions.1 Generally, a possessor’s duty of reasonable care toward the traveling public will arise from his actual knowledge of the dangerous condition of the tree.2 The more difficult question is whether he *346will be held liable if he should have known of the danger, and specifically, under what conditions he has a duty to inspect his trees to discover a latent danger.
In assessing conditions under which they have denied such a duty as a matter of law, courts have often been frank to base their conclusion on the impraeticality or economic cost of obligatory inspection in relation to the probability of harm from falling trees or limbs. Half a century ago, the Supreme Court of Minnesota rejected such an affirmative duty in these terms:
Many of our public highways pass through timbered country, and upon the prairies owners have been encouraged to plant trees. It will add a vexy heavy burden on the servient fee owner if he must exercise the supervision and care for the dominant easement in this respect. If such a duty is laid upon him he becomes liable, in case of a failure, to respond in damages that may sweep away the value of his whole farm by some unfortunate accident like the present. Severe wind storms are not rare in this state, and a jury influenced by sympathy for the injured paxty are [sic\ so prone to find the accident the result of negligence upon the slightest pretext.
Zacharias v. Nesbitt, 150 Minn 369, 372-373, 185 NW 295 (1921). Similarly, in a case from West Virginia, a federal court of appeals thought that to allow liability upon an allegation that defendant should have known of the dangerous condition of the tree "will impose a new and unusual burden upon the owners of forest lands,” unjustified by the danger to the public that might result from the failure to inspect. "This danger, in the case of rural lands upon a country road, is, to say the most, a very remote one; and in view of the burden which the requirement of inspection would impose, it *347is too remote, we think, to justify a holding that the landowner is charged with such a duty.” Chambers v. Whelen, 44 F2d 340, 341 (4th Cir 1930).
About the same time, however, the federal court in another circuit let a jury find liability when the latent decay of the falling tree "was known or by the exercise of ordinary care could have been known” by the landowner, where the tree stood in what the court called "a tract of suburban forest” two miles outside a city. Brandywine Hundred Realty Co. v. Cotillo, 55 F2d 231, 231 (3d Cir 1931), cert. denied, 285 US 555 (1932); Annotation, 11 ALR2d 626, 629 (1950). It was only to be expected that the balance of considerations quoted above would shift with increasing suburban and interurban automobile traffic on the one hand and, on the other hand, an increasing readiness to place on owners of land as much as other enterprises the cost of risks associated with their activities. The shift appears between section 363 of the 1934 Restatement of Torts, which qualified the general rule of nonliability to persons outside the land for natural conditions on the land only by a caveat "expressing no opinion” as to roadside trees, and the 1965 Restatement of Torts 2d, which recognizes a duty to "exercise reasonable care” on the possessor in an "urban area” and reduces the caveat of "no opinion” only to "rural” areas.3
In a federal tort claim arising in Oregon 20 years ago, the United States District Court had to anticipate what this court would hold when the falling tree was one of many thousands lining the roads through the *348Willamette National Forest and the road across which it fell was relatively lightly traveled. Judge Solomon concluded that on those facts, Oregon would not apply the duty of care stated in Brandywine Hundred Realty Co. v. Cotillo, supra, but rather Judge Parker’s reasoning in Chambers v. Whelen, quoted above. O'Brien v. United States, 166 F Supp 231 (D Or 1958). The case was tried without a jury, and the Ninth Circuit on appeal found it unclear whether the district court had held as a matter of law that the abutting landowner owed no duty of reasonable care with respect to roadside trees or as a matter of fact that this duty had not been breached. The court of appeals thought that the second view of the trial court’s decision was more probable and sustained it as correct on the facts. But even if the decision stated a rule of law, the court of appeals thought that the statement could be affirmed insofar as it was narrowly limited to "the duty of the owner of forest land in a sparsely-settled area adjoining a little-used highway.” O'Brien v. United States, 275 F2d 696, 698 (9th Cir 1960).
We think OBrien was right in stating that, except for extreme situations, the question of the landowner’s or possessor’s attention to the condition of his roadside trees under a general standard of "reasonable care to prevent an unreasonable risk of harm” is to be decided as a question of fact upon the circumstances of the individual case. The extent of his responsibility either to inspect his trees or only to act on actual knowledge of potential danger cannot be defined simply by categorizing his land as "urban” or "rural.” Surely it is not a matter of zoning or of city boundaries but of actual conditions. No doubt a factfinder will expect more attentiveness of the owner of an ornamental tree on a busy sidewalk (see, e.g., Turner v. Ridley, 144 A2d 269 (DC 1958); Plesko v. City of Milwaukee, 19 Wis 2d 210, 120 NW2d 130 (1963)) than of the United States Forest Service in the OBrien situation, but the great variety of intermediate patterns of land use, road use, traffic density, and preservation of natural stands of *349trees in urban and suburban settings prevents a simple "urban-rural” classification. See Hensley v. Montgomery County, 25 Md App 361, 367-370, 334 A2d 542, 546-547 (1975). Moreover, other factors than the character of the land and of the road are relevant in deciding whether a particular defendant was in a position where he should have given reasonable attention to the potential dangerousness of a roadside tree.
Even in a rural setting, for instance, it can make a difference whether the defendant or others for whom he is responsible are engaged in activities that involve the trees at the location in question or that alter the natural conditions at this location. Decisions like Chambers v. Whelen and O’Brien, supra, stress the burden and the impracticality of a general duty to inspect standing trees when imposed on owners of large tracts of rural land simply as landowners. As a Maryland court recently summarized its review of the cases, the onus on a homeowner of inspecting a few trees in his yard is modest, but the "practical difficulty of continuously examining each tree in the untold number of acres of forests” or in "sprawling tracts of woodland adjacent to or through which a road has been built [can be] so potentially onerous as to make property ownership an untenable burden. This would be particularly true for an absentee landowner.” Hensley v. Montgomery County, supra, 25 Md App at 366-367, 334 A2d at 545. It is less obviously true, however, for one who is engaged in logging or in actively developing the land. Thus our neighboring State of Washington, where standing timber plays much the same role as in Oregon, distinguished O’Brien, surpa, and permitted a plaintiff injured by a fallen tree on a "remote” road to go to the jury against a bank as owner of forest land because the land was not in its natural condition but had recently been logged. Albin v. National Bank of Commerce, 60 Wash 2d 745, 375 P2d 487 (1962). Consequently, we examine the present case with these factors in mind.
*350In this case, the road in question was a two-lane blacktop highway serving a number of communities in Clackamas County. There was testimony that it was used by an average 790 vehicles a day; in other words, a fallen tree might encounter a vehicle within an average of about two minutes, depending on the time of day. Defendant had purchased the land adjoining the road in 1973 for logging purposes, and during the five or six weeks before the accident he had logged about half the timber on his land. This included the trees adjacent to the tree on the county’s right-of-way that eventually fell onto the road. Under these circumstances, we conclude, as did the Washington Court in Albin, supra, that it would be a jury question whether defendant had taken reasonable care to inform himself of the condition of this tree, provided there was evidence that an inspection would have disclosed its hazardous condition.4
The evidence is that after the tree broke and fell onto the road, the center of the tree at the point of the break proved to be decayed. However, the decay did not extend through the bark, or even to the surface below the bark except perhaps in a few places. Only by chopping or boring into the trunk of the tree would there have been a substantial chance of discovering the decay. Thus the question is not so much whether defendant had some responsibility to give his attention to the safety of this tree left behind by his logging operations as, rather, how far that responsibility extends.
*351There was no evidence to suggest that chopping or drilling into the trunk would have been a normal or expected way to examine a standing tree in the absence of external indications that it might not be structurally sound. The only reference to such a procedure came from defendant Olsen himself, when called by plaintiff as an adverse witness. Defendant had testified that the tree, located on county property immediately adjacent to defendant’s land, was about 60 years old and approximately 85 feet tall. It was divided above ground into two separate trunks, "club-by” or short, and leaned a few degrees toward the road. Defendant also testified that a double-trunk tree might rot from water seeping into the tree where the trunks joined, but that he did not observe signs of such rot. His testimony continued:
Q Did you ever examine the tree very closely?
A Yes.
Q When?
A Well, I put a road right past it off the highway and you naturally, if you are in the business, you look at trees and you are always aware of something that might be dangerous or so forth.
Q So you would have — as a logger, you would want to know the condition of .the trees; is that correct?
A That’s correct, yes.
Q All right. How would someone test a tree for rot that is not clearly visible?
A Well, you either have to drill into it or chop into it.
Q Now, by chopping into it you could just chop off the bark, perhaps? Would that be one way of doing it?
A You couldn’t see by chopping the bark off.
Q What if the rot were just beneath the bark?
A If it was just beneath the bark, you could see it.
Q Okay. So you could check for rot by drilling it or chopping it or peeling off the bark if the rot were that close to the surface; is that true?
A That’s correct if the rot were on the surface, which it wasn’t on this tree.
*352Q Not on the surface, but close to the bark; is that correct?
A On this tree it wasn’t close to the surface.
Q You are saying the rot was centered in the tree?
A It was in the center of the tree, yes.
Q And didn’t go beyond the center of the tree?
A That’s correct.
There was no other testimony to suggest that the tree showed exterior signs of possible decay or that chopping or drilling into the trunk would be a common and reasonable practice for inspecting trees generally. Plaintiff called a number of neighborhood witnesses to testify that the tree, left isolated by the logging, swayed violently in strong winds, and he assigns as error the court’s exclusion of their opinion testimony that the tree looked as if it might be blown over. In the context, it is clear that this testimony was offered to establish generally that defendant "should have known” of a possible risk requiring him to make an inspection, not to indicate a particular risk of internal decay.5 We need not pursue this assignment of error, since we have already recognized plaintiff’s general proposition that, under the circumstances, the defendant was not free from any duty of reasonable care to consider the safety of this tree. But the record does not show that the excluded testimony would have been of help on the further issue whether a reasonble examination should have gone so far as to chop or drill into the trunk of the tree. The imposition of such a duty in the setting of this case requires more than the general observation that a tree sways in the wind, especially when it would involve cutting into the tree of an adjoining landowner for which this defendant may be responsible, if at all, only by virtue of his activities on the land and his logging'of the adjacent trees. It *353requires some evidence either that the defendant should have been on notice of possible decay in this tree, or that cutting through the bark to the trunk is a common and ordinary method of examining trees generally. In the absence of such evidence, it was not error to direct a verdict for the defendant.
Affirmed.
4.2.6.1.2 Questions and Notes on Taylor 4.2.6.1.2 Questions and Notes on Taylor
Fun Fact
Tree care—particularly removal of fallen trees—can be incredibly expensive. Removing a single fallen tree can cost approximately $1,000. Where high winds are common, states can spend millions to clear trees that block public highways.
Guiding Questions
- What condition was the tree in? How obvious was the condition? Put differently: What would one have had to do to discover the condition?
- Was the owner engaged in logging or actively developing the land? Did the owner own "sprawling tracts of woodland" or a few trees? Why does Justice Linde think these considerations matter?
Test Your Knowledge
A tree falls and hits a car parked in the street. The tree was quite visibly rotted; even a neighbor who'd pass by the tree on his morning jogs expressed concern about how infirm the tree was. The owner of the land on which the tree grew had purchased the property three weeks prior in a foreclosure sale. Nevertheless, the owner of the car sues the property owner. Is the property owner likely to be found negligent?
- No, because three weeks is an insufficient amount of time in which to establish responsibilities for a new landowner.
- No, because landowners are not liable for harms emanating from rotted trees found on their land.
- Yes, because landowners are liable for all damages from rotted trees found on their land.
- Yes, because the tree suffered from a reasonably noticeable defect and the damage was foreseeable.
Notes and Other Cases
- Natural vs. artificial conditions. The law of off-premises liability has always centered on the distinction between natural and artificial conditions. The Restatement (Second) of Torts defines a natural condition as a condition on the land that "has not been changed by any act of a human being." This includes "the natural growth of trees, weeds, and other vegetation upon land." Restatement (Second) of Torts § 363, cmt. b (1965). It also includes “soil that has not been cultivated, graded or otherwise disturbed.” Restatement (Second) of Torts § 840, cmt. a (1979). What are "disturbances" that make a condition on the land artificial? This is where courts differ. Some take the view that any work done on the land, such as the planting of shrubs and trees, the installation of a rock garden, or the mowing of weeds, so long as they are not "so remote in time or so minimal in effect" is a disturbance. See Spears v. Blackwell, 666 N.E.2d 974, 978 n.4 (Ind. Ct. App. 1996). But other courts have rejected this rule, arguing that the standard "is unworkably malleable." Reece v. Tyson Fresh Meats, Inc., 173 N.E.3d 1031, 1040 (Ind. 2021). These courts have questioned which activities would cross the de minimis threshold: "Would mowing native vegetation render its condition artificial? Or is that minimal-enough human activity for the plants to retain their natural state? What about trees planted twenty-five years ago? How about a hundred years? When does human activity become so remote in time that a once-artificial condition reverts to a natural one?" Id. Courts that adopt this view are more likely to embrace a bright-line rule that treats any vegetation, so long as it is contained within the premises, as a natural condition irrespective of work done to it.
- Landowner's off-premises liability for natural conditions.
- Traditional Rule. Both the First and Second Restatements affirmed the basic rule that a possessor of land is not liable for bodily harm caused to others outside the land by a natural condition of the land. See Restatement (First) of Torts § 363 (1934); Restatement (Second) of Torts § 363 (1965). The only exception relates to the obligation of landowners in urban areas to "exercise of reasonable care to prevent an unreasonable risk of harm arising from the condition of trees on the land near the highway." Id., § 363(2) (emphasis added). The drafters of the Restatement justified the exception by noting that urban areas are known for having "relatively frequent" traffic, land that "is less heavily wooded," and "acreage [that] is small." Id., cmt. e. The possessor of land is required to "inspect all trees which may be in such dangerous condition as to endanger travelers . . . [and] take reasonable steps to prevent harm when he is in fact aware of the dangerous condition of the tree." Id.
- Evolution of the Rule. The Third Restatement took a more expansive approach. As explained by the drafters, "a trend exists toward expansion of the duties of land possessors to a general duty of reasonable care with regard to natural conditions. In conjunction with that development has been wariness about extending that duty fully to require reasonable care in inspecting the land to find latent dangers posed by natural conditions." Restatement (Third) of Torts: Phys. & Emot. Harm § 54, cmt. c (2012). The drafters thus rejected the old dichotomy between urban and rural and replaced it with a distinction between commercial and non-commercial lands. See id., § 54(b):
-
For natural conditions on land that pose a risk of physical harm to persons or property not on the land, the possessor of the land
-
(1) has a duty of reasonable care if the land is commercial; otherwise
-
(2) has a duty of reasonable care only if the possessor knows of the risk or if the risk is obvious.
-
- On the issue of trees in non-commercial land next to highways, for example, the Third Restatement's analysis is agnostic as to whether the land is urban or rural. It instead deploys a balancing test accounting for land use and traffic patterns to determine whether the risk is obvious and known to the possessor.
- Note further that this new duty would extend even to pedestrians in a nearby walkway.
-
- Traditional Rule. Both the First and Second Restatements affirmed the basic rule that a possessor of land is not liable for bodily harm caused to others outside the land by a natural condition of the land. See Restatement (First) of Torts § 363 (1934); Restatement (Second) of Torts § 363 (1965). The only exception relates to the obligation of landowners in urban areas to "exercise of reasonable care to prevent an unreasonable risk of harm arising from the condition of trees on the land near the highway." Id., § 363(2) (emphasis added). The drafters of the Restatement justified the exception by noting that urban areas are known for having "relatively frequent" traffic, land that "is less heavily wooded," and "acreage [that] is small." Id., cmt. e. The possessor of land is required to "inspect all trees which may be in such dangerous condition as to endanger travelers . . . [and] take reasonable steps to prevent harm when he is in fact aware of the dangerous condition of the tree." Id.
4.2.6.1.3 Salevan v. Wilmington Park, Inc. 4.2.6.1.3 Salevan v. Wilmington Park, Inc.
The Foul Ball Case
Jessie Salevan, Plaintiff, v. Wilmington Park, Inc., a corporation of the State of Delaware, Defendant.
*291 (March 21, 1950.)
Wolcott, J., sitting.
.Percy Warren Green for the plaintiff.
William H.'Foulk for the defendant.
Superior Court for New Castle County,
No. 382,
Civil Action, 1949.
The plaintiff brings suit for personal injuries received when struck in the back by a baseball while walking on East Thirtieth Street in the City of Wilmington, past the ball park of the defendant.
The defendant is the owner of land at the southwest corner of the intersection of Thirtieth Street and Governor Printz Bbúle-.vard in the City of Wilmington on which is located the ball park in question. The business of the defendant is the maintenance and renting of the ball park and its facilities, and has been carried on by the defendant for over eight years.
The defendant leases the facilities of its park to ball clubs and, in particular, leases the facilities as its home field to the Wilmington Blue Rocks, a member team of the Inter-State League. When-the Wilmington Blue Rocks are not playing at their home field, the defendant leases the facilities of the park for other athletic exhibitions and, on the night when the injury took place, the park was leased for a game being played between two Negro professional teams from Philadelphia.
*292The park of the defendant is laid out so that the left field foul line runs parallel to Thirtieth Street approximately 160 feet'from that street. Parallel to the left field foul line and to Thirtieth Street is a fence which is 40 feet from the sidewalk running along the southerly side of Thirtieth Street. The grandstand behind the home plate and extending along the foul line between home plate and third base is 40 feet in height with a wire screen erected on its top 10 feet in height. At the easterly end of the grandstand are 20-foot high bleacher stands running parallel to the left field foul line and along the left field fence. Commencing at the end of the bleachers, the fence running parallel to Thirtieth Street is 10 feet in height. The distance from home plate to the beginning of the 10-foot fence is approximately 150 feet.
On the night in question, the plaintiff was walking on the sidewalk on the southerly side of Thirtieth Street in an easterly direction with her daughter-in-law and grandson, aged 10 years. When she reached a point on the sidewalk roughly opposite the point where the bleachers end and the 10-foot fence begins, she was struck in the back by a baseball. The plaintiff testified that she did not see the'ball before it struck her. The plaintiff’s daughter-in-law, who was walking with the plaintiff holding her right arm, testified that she did not see the ball prior to the time it struck the plaintiff but that, immediately after the plaintiff was struck, she heard the announcer over the loud speaker system within the park announce, “Foul ball.” The plaintiff’s grandson testified that he was walking on the right of the plaintiff’s daughter-in-law and saw the ball which struck the plaintiff come over the bleachers out of the ball park. The defendant did not seriously contest this testimony, and I am satisfied that the plaintiff was struck by a fast-moving baseball which came over the fence out of the ball park.
The plaintiff called as witnesses a radio sports announcer, a *293newspaper sports reporter and a young boy who had many times waitéd on Thirtieth Street for baseballs to come over the fence of the defendant’s park. From the testimony of these witnesses, which is not substantially contradicted by the defendant, it appears that in the course of an average ball game, 16 to 18 foul balls come from inside the park into Thirtieth Street and, of them, an average of 2 or 3 foul balls come from within the park over the 10-foot fence and into the area along Thirtieth Street through which the plaintiff was passing at the time of the injury. The manager of the defendant testified that, on an average, 68 baseball games were played at Wilmington Park during the baseball season.
The plaintiff does not contend that the defendant is an insurer of persons lawfully using the highways and sidewalks adjacent to its ball park, but does contend that the defendant, as a landowner, has the duty to exercise reasonable care in the use of its land so as to prevent injury to travelers lawfully using the highways adjacent thereto. The plaintiff contends that the defendant had notice of the passage of baseballs outside of its park into East Thirtieth Street to the danger of persons using that public street, and that the failure of the defendant to take reasonable precautions to safeguard the public was negligence.
The defendant, on the other hand, contends that the plaintiff has wholly failed to establish any negligence; that the defendant had no notice of baseballs passing over the fence in question, and that the defendant had taken whatever precautions were necessary under the circumstances for the protection of the public.
It is clear that the public has a right to the free and unmolested use of the public highways, and that abutting landowners may not so use their land as to interfere with the rights of persons lawfully using the highways. Mills v. Wilmington City Railway Co., 1 Marv. 269, 40 A. 1114; Philadelphia & R. Railway Co. v. Dillon, 1 W. W. Harr. 247, 114 A. 62, 15 A. L. R. 894.
*294Considering the extent to which the game of baseball is played in this country, the reported decisions of injuries caused by baseballs which have been hit out of baseball parks and which strike passers-by on the highways are surprisingly few. Seven cases have been called to my attention and no others have come to view, in which liability^ was sought to be imposed on the landowner. It is necessary to review them briefly.
Louisville Baseball Club v. Hill, 291 Ky. 333, 164 S. W. 2d. 398,-was a suit for an injury to an eleven year old boy struck in the face by a baseball coming over the fence from the defendant’s . park. The jury below returned a verdict for the plaintiff and, on appeal, this verdict was affirmed, although in the course of its opinion, the court stated that the doctrine of res ipso loquitur was applicable and that a verdict for the plaintiff should have been directed. The court said that the defendant owner of the baseball park, had notice that baseballs were often knocked over the particular fence in question and by reason of that knowledge, v\ as bound to anticipate that users of the highways might be injured. This being so, the court stated it was the duty of the defendant park owner to prevent the possibility of such accidents.
Jones v. Kane & Roach, Inc., 182 Misc. 37, 43 N. Y. S. 2d 140, was an action against the City of Syracuse for personal injuries to a pedestrian on a sidewalk running near the ball field on a city-owned park, who was struck in the face by a pitched: baseball. There were no barriers of any kind erected around the' ball field. The court found that the baseball diamond on the city-owned- -park was a well defined one; that the city had constructive notice that baseball games had been played thereon, and that base: balls .often came from the diamond into the highway. On this showing, the .case .was submitted to. the jury and a verdict, was. returned. for,.the plaintiff. .- • . . . . .
Wills v. Wisconsin-Minnesota Light & Power Co., 187 Wis. *295626, 205 N. W. 556, was an action for personal injuries to a twelve year old girl who was struck in the face by a foul ball coming from a baseball diamond located in an amusement park maintained by the defendant. The defendant maintained the amusement park to increase patronage of its trolley line and the plaintiff and her mother went to the amusement park for the purpose of pleasure. While there, the plaintiff was struck by the baseball. There was no protection of any kind around the park to contain balls within it. It was held that a question of fact was presented for the decision of the jury as to whether or not the defendant had taken reasonable precautions for the safety of the patrons of the amusement. park, the court holding that, under the circumstances, the defendant could reasonably have foreseen that persons might be struck by baseballs coming from the baseball diamond.
Honaman v. City of Philadelphia, 322 Pa. 535, 185 A. 750, was. an action for personal injuries by a plaintiff who was struck in the face by a foul ball. The facts were that a baseball game was being played.on a diamond laid out on a public park around which were no backstops or barriers, and so laid out that the catcher stood 8 to 10 feet from the sidewalk running near the diamond. Under these circumstances, the case was submitted to the jury by the trial court and a verdict returned for the plaintiff. On review by the Supreme Court of Pennsylvania, it was held that the city, in maintaining the park, was doing so in its corporate or proprietary capacity and was accordingly liable as other property owners in tort, and the judgment for the plaintiff was affirmed. The court held that landowners who maintain baseball diamonds on their land have a duty to protect persons lawfully using the highway's by the erection of appropriate barriers.
Young v. New York, N. H. & H. R. R., 136 App. Div. 730, 121 N. Y. S. 517, was an action for personal injuries by a plaintiff who was struck by a baseball coming from a game being played *296on an informal baseball field located on a vacant lot owned by the defendant adjacent to its station. The facts were that it was customary in the particular town for boys and men to engage in the game of “knocking up fly balls”, and that the lot in question was surrounded by public streets. On this showing alone, the court dismissed the action holding that ballplaying is not a nuisance. per se and that there was no evidence to establish that the type ot ballplaying going on on the defendant’s land was attended with such degree of danger as made it likely that it would injure persons lawfully using the streets. From this dismissal, an appeal was taken. The Appellate Court affirmed the dismissal but recog- ■ nized that under a proper showing of the inherent danger to persons on the highways, a duty would be imposed to take proper • precautions for the protection of those persons.
In Harrington v. Border City Mfg. Co., 240 Mass. 170, 132 N. E. 721, 18 A. L. R. 610, an action was brought by an employee of the defendant for injuries received when struck by a baseball coming' from a game played by other employees during the lunch hour on a lot owned by the defendant. The evidence showed that • the plaintiff was struck by the baseball while standing in a public street; that she had seen such games played daily during the warm-months; that she had seen the ball come out into the street several times prior to the occasion when she was injured; and that the game was played about 20 to 30 feet from the street in question ."On this showing, a verdict was directed for the defendant.
However, the court recognized the rule that a landowner may not permit acts to be done on his land which would negligently cause injury to a person lawfully on the highways. In the particular case, however, the court held that there was nothing dangerous in the permission granted by the defendant to its employees to play baseball on its large vacant field, and that the plaintiff had not borne the burden’of proving notice to the defendant that baseballs'often *297came from the field where the game was being played into the highways thus creating the danger of injury to persons lawfully using the highways. Since the court held that the defendant could not have foreseen the possibility of persons in the highways being struck by baseballs, it followed that there was no proof of the violation of any duty by the defendant. The verdict was directed, therefore, solely because the plaintiff had failed to carry the burden of proving negligence on the part of the defendant which resulted in the injuries complained of.
Dwyer v. Edison Electric Illuminating Co., 273 Mass. 234, 173 N. E. 594, was an action for personal injuries resulting from being struck by a baseball which came from the premises of the defendant lying along a public street. The defendant’s land had a baseball field located on it surrounded by an 8-foot high fence erected on a 3-foot concrete base. The baseball diamond was used by defendant’s employees after working hours. At the time the plaintiff sustained her injuries, two teams made up of defendant’s employees were playing. The home plate of the diamond was approximately 200 feet from the public highway and it ivas the fact that the baseball which struck the plaintiff crossed the fence surrounding the baseball diamond at a height of less than one foot above the fence. The court below directed a verdict for the defendant on the ground that the fence maintained would ordinarily have been sufficient to prevent a baseball from passing into the highway. On appeal, the directed verdict was affirmed.
The court, however, specifically stated that there was no evidence whatsoever to show that prior to the occurrence of the injury to the plaintiff, a baseball had ever gone over the fence into the highway and that the plaintiff had failed to sustain the burden of showing that the defendant was negligent in not having anticipated that a baseball would go over the fence into the highway. Had there been such evidence, presumably a verdict for the de*298fendant would not have been directed and the case would have been submitted to the jury to determine whether or not the defendant had taken reasonable precautions.
The foregoing referred to authorities are all that have been found dealing with injuries sustained by persons on the highways when struck by a baseball. No difference in principle, however, can exist between injuries from baseballs and injuries from golf balls.
In Gleason v. Hillcrest Golf Course, Inc., 148 Misc. 246, 265 N. Y. S. 886, an action was brought for personal injuries resulting from being struck by a golf ball while the plaintiff was lawfully driving her car on a public highway along which ran one of the fairways of a golf course. The ball which injured the plaintiff came into the highway because it was sliced — that is to say, it was driven to the right in a curving manner by a player on the golf course. The plaintiff sued both the player who drove the ball and the landowner. The court held both the player and the landowner liable. The landowner was held liable for the maintenance of a golf course in such condition that missiles might be set in motion into the highway and for the failure to use reasonable care to prevent injury to persons lawfully upon the highway. The court recognized that golf, like baseball, is not a nuisance per se, but may become such if the game is played in a location or in such a manner as to become dangerous to persons using the highways.
The foregoing cases, when analyzed, are not basically inconsistent. A rule emerges from a careful consideration of them which is harmonious with the result reached in each. This rule is that the playing of baseball with the permission of the landowner on land adjacent to a- highway does not of itself create a public nuisance which would make the landowner an insurer of the safety of persons lawfully using the highway. The inherent nature of the game of baseball, however, is such as to require the *299landowner to take reasonable precautions for the protection ol the traveling public. What precautions are reasonable must depend upon the facts and circumstances of the particular case. Only those precautions are required which die inherent nature of the game and its past history in the particular location make necessary for the protection of a person lawfully using the highways. The burden is on the plaintiff to show the necessity for precautions to have been taken by the landowner for the protection of the public. The failure of the plaintiff to bear that burden will result in non-suit or a directed verdict for the defendant.
The defendant argues that it took every reasonable precaution for the protection of the public using the highways. The architect who designed its ball park testified that the fence lines were established in accordance with the advice of baseball experts who, on a ground plan, had laid out circles showing the general location where baseballs could be expected to land. He also testified that consideration was given at that time to the height of the barriers to be erected — that is to say, the height of the grandstand, the bleachers and the fence around the park, and that those heights were established on the advice of experts.
While the defendant has shown that consideration was given by it to the protection of the public at the time the park was first built, the fact remains that despite the precautions taken, baseballs went out of its park into the public highway and that the defendant either knew that baseballs went out of its park or, under the circumstances, should have known. The evidence is not seriously contradicted that baseballs went out of the park into Thirtieth Street within the area through which the plaintiff was passing at the time of her injury two or three times in each game played in the defendant’s park.
Under the circumstances, it seems clear to me that while the defendant took precautions to protect people passing *300along Thirtieth Street, those precautions were insufficient. It further seems clear that the defendant knew, or should have known, that the precautions taken initially were insufficent to protect the public engaged in its lawful right, that is, using the highways. This circumstance puts the case at bar squarely within the rule I have drawn from the reported decisions, and if this were a jury trial, would be sufficient to submit the case to the jury and would compel, in my opinion, the jury to return a verdict for the plaintiff. Accordingly, my conclusion is that judgment should be entered for the plaintiff.
Judgment being entered for the plaintiff, it remains to determine in what amount that judgment should be. Under the circumstances, I believe the sum of $2500.00 will adequately compensate the plaintiff for the injuries received as a result of the negligence of the defendant.
4.2.6.1.4 Questions and Notes on Salevan 4.2.6.1.4 Questions and Notes on Salevan
Fun Fact
Judge Wolcott notes that, on average, "16 to 18 foul balls" flew out of the park and of those "2 or 3" flew into the area in which the plaintiff was walking. Since "68 baseball games were played" every season, that equates to a yearly average of around 1150 foul balls that left the park and 170 that threatened passersby. Is it any wonder Judge Wolcott found the ballpark's foul-ball protections insufficient? Compare this case to Stone v. Bolton [1951] AC 850 (HL) (appeal from Eng.), in which a homeowner in Manchester was struck by a ball hit out of the nearby Cheetham Cricket Ground. The House of Lords denied liability; members of the cricket club testified that the hit "was altogether exceptional" and that in their 30 years of membership they'd never seen a batsman hit a ball like that.
Guiding Questions
- Why does Judge Wolcott note the number of foul balls that left the ballpark? What does this have to do with anything? What if it were 5 foul balls a game? 1 a game? 1 a year?
- What evidence does Ms. Salevan present to show that the ballpark should have installed greater protection for those on the street?
Test Your Knowledge
Julia, a golf fanatic, opens up a new entertainment driving range called Long Shot Golf. The driving range is multiple stories high, is climate controlled, and offers food and drinks to guests as they hit balls. To ensure that balls do not damage surrounding objects, a large net encircles the range. But one afternoon high winds from a thunderstorm create a small tear in the net a couple inches across. After the storm passes, a customer shanks a wedge shot, and the ball just so happens to go through the tiny hole and smash into Angie's windshield, damaging it beyond repair. Angie sues Julia for failing to take adequate precautions against errant golf balls. Is she likely to prevail?
- No, because Julia is not liable for any damages occurring off her premises.
- No, because it is unlikely Julia was aware of such a new, small tear, and she should not reasonably be expected to have discovered it in the circumstances.
- Yes, because the circumstances were such that Julia should have noticed the tear and made repairs before Angie's windshield was damaged.
- Yes, because Julia is liable for all damages occurring off her premises.
Notes and Further Questions
- Defining artificial conditions. As our discussion of natural condition has demonstrated, an artificial condition is a negative definition. Whatever is not a natural condition is an artificial one. The definition primarily extends to alterations of the natural state of the land. This expansive definition has, of course, led to an impressive array of examples, from poorly dammed streams, Dye v. Burdick, 553 S.W.2d 833 (Ark. 1977), to badly constructed sheds, Durst v. Wareham, 297 P. 675 (Kan. 1931), to vaporous fog-inducing water towers, Westerman v. Stout, 335 A.2d 741 (Pa. Super. Ct. 1975). The doctrine also applies to risky human activity, including carelessly stored fire hazards, Custom Craft Tile, Inc. v. Engineered Lubricants Co., 664 S.W.2d 556 (Mo. Ct. App. 1983), and vision-obscuring weed burning, Brown v. Neb. Pub. Power Dist., 306 N.W.2d 167 (Neb. 1981).
- Landowner's off-premises duties for artificial conditions. Both the Second Restatement and the Third Restatement have long proposed a general duty of reasonable care binding on possessors of land for artificial conditions, activities, or conduct on the land that poses foreseeable risks of bodily harm for those off the premises. See, e.g., Restatement (Second) of Torts §§ 364, 371 (1965); Restatement (Third) of Torts: Phys. & Emot. Harm § 54(a) (2012). The Second Restatement has even identified particular categories of duties, including for example obligations concerning dangerous disrepair of structures on the land, see id., § 365; dangerous conditions on land that appears to be a highway, id., § 367; and dangerous conditions for children deviating from an adjacent highway, id., § 369—to name but a few examples. Not all jurisdictions have adopted the Restatement's interpretation. Let us consider a few concrete examples:
- Duties to motorists on adjacent roads. Courts have sharply diverged on whether a landowner whose crops, planted trees, or other artificial landscaping obstructs visibility on adjacent roadways has a duty to remove those conditions. Compare, e.g., Driggers v. Locke, 913 S.W.2d 269 (Ark. 1996) (holly bushes; no liability); with Guy v. State, 438 A.2d 1250 (Del. Super. Ct. 1981) (corn crops; jury question); and with Langen v. Rushton, 360 N.W.2d 270 (Mich. Ct. App. 1984) (planted trees; liability); RGR, LLC v. Settle, 764 S.E.2d 8 (Va. 2014) (storage of lumber next to railroad crossing which obstructed line of sight; liability); Hinkel v. Weyerhaeuser Co., 494 P.2d 1008 (Wash. Ct. App. 1972) (controlled weed burn spread smoke over highway; liability); Bolton v. Smythe, 432 So. 2d 129 (Fla. Ct. App. 1983), petition for review denied, 440 So. 2d 353 (Fla. 1983) (lawn sprinkler sprayed passing motorcyclist's windshield causing crash; jury question).
- Unusual Risks. So far we spoke about artificial conditions that pose generally routine and foreseeable impairments to visibility for drivers on adjacent highways and roads. But what about other, more unusual categories of risk for motorists on adjacent land?
- The Restatement (Second) of Torts § 368 (1965) introduced a special rule for those kinds of situations: "A possessor of land who creates or permits to remain thereon an excavation or other artificial condition so near an existing highway that he realizes or should realize that it involves an unreasonable risk to others accidentally brought into contact with such condition while traveling with reasonable care upon the highway, is subject to liability for physical harm thereby caused to persons who: (a) are traveling on the highway, or (b) foreseeably deviate from it in the ordinary course of travel."
- Again, here too not all jurisdictions have adopted this rule. For example, the Supreme Court of Ohio explicitly declined to embrace the standard. See Snay v. Burr, 189 N.E.3d 758 (Ohio 2021). Recall that facts of Snay, which we discussed in class: This case involved the "mini fortress" that Burr built to protect his mailbox. The Court affirmed that there is no duty "on public or private landowners to remove an off-road hazard that renders only off-road travel unsafe, unless the off-road travel is shown be an aspect of the usual and ordinary course of travel on the roadway. Otherwise every tree and solid fixed object on roadsides and road-shoulders would impose potential liability on public and private landowners for collisions occurring whenever a vehicle was driven off-road and into the object." Id. at 765 (quoting Turner v. Ohio Bell Tel. Co., 887 N.E.2d 1158, 1163–64 (Ohio 2008)). While the Court rejected the rule in Restatement (Second) § 368, it noted that even the courts that have adopted it have refused to apply it to a "negligent deviation from the regularly traveled portion of the road" such as in unusual cases involving a tire blowout, a drunk driver, or an epileptic seizure. Snay, 189 N.E.3d at 767. "Burr's knowledge that the mailbox's construction was inconsistent with non-binding postal-service guidelines does not warrant a departure from the general rule . . . [as] Snay's deviation from the regularly traveled portion of the road [due to black ice] did not constitute a normal incident of ordinary travel." Id. at 768–69.
- Unusual Risks. So far we spoke about artificial conditions that pose generally routine and foreseeable impairments to visibility for drivers on adjacent highways and roads. But what about other, more unusual categories of risk for motorists on adjacent land?
- Duties for abutting sidewalks. Suppose a public sidewalk lies between a street and, say, a private home or a restaurant property. Does the landowner have a duty of care with respect to dangerous conditions on the sidewalk? Courts have not been in agreement. Compare Altszyler v. Horizon House Condo. Ass'n, 529 N.E.2d 704 (Ill. App. Ct. 1988) (holding condominium association liable for three-inch depression in sidewalk caused by rainwater), with Struzik v. City & Cnty. of Honolulu, 437 P.2d 880 (Haw. 1968) (holding that landowner has no duty at common law to maintain adjacent sidewalk in safe condition).
- Water, snow, and ice. The (loosely) general principle is that a landowner is not liable for the natural flow of water off the premises or for the natural spread of ice or snow off the premises. However, where the landowner's activity alters the natural accumulation of water, snow, or ice, the landowner has been held liable. See, e.g., Towaliga Falls Power Co. v. Sims, 65 S.E. 844 (Ga. Ct. App. 1909) (dammed stream created malarial pond); McKinley v. Fanning, 595 P.2d 1084 (Idaho 1979) (rainwater dripping off restaurant awning created ice patches on abutting sidewalk).
- Duties to motorists on adjacent roads. Courts have sharply diverged on whether a landowner whose crops, planted trees, or other artificial landscaping obstructs visibility on adjacent roadways has a duty to remove those conditions. Compare, e.g., Driggers v. Locke, 913 S.W.2d 269 (Ark. 1996) (holly bushes; no liability); with Guy v. State, 438 A.2d 1250 (Del. Super. Ct. 1981) (corn crops; jury question); and with Langen v. Rushton, 360 N.W.2d 270 (Mich. Ct. App. 1984) (planted trees; liability); RGR, LLC v. Settle, 764 S.E.2d 8 (Va. 2014) (storage of lumber next to railroad crossing which obstructed line of sight; liability); Hinkel v. Weyerhaeuser Co., 494 P.2d 1008 (Wash. Ct. App. 1972) (controlled weed burn spread smoke over highway; liability); Bolton v. Smythe, 432 So. 2d 129 (Fla. Ct. App. 1983), petition for review denied, 440 So. 2d 353 (Fla. 1983) (lawn sprinkler sprayed passing motorcyclist's windshield causing crash; jury question).
4.2.6.2 On-Premises Liability 4.2.6.2 On-Premises Liability
4.2.6.2.1 Preface to On-Premises Liability 4.2.6.2.1 Preface to On-Premises Liability
We just covered duties land possessors owe to people who are not on the land. We now turn to duties owed to those who are on the land. Throughout the development of the common law, those duties varied depending on whether the person on the land falls into one of three categories: trespasser, licensee, or invitee.
Common Law Categories
A trespasser is just that: one who enters or stays on another's land without permission or privilege. See Restatement (Second) of Torts § 329 (1965). As one might expect, the landowner generally has no duty of care toward a trespasser and is not liable if a trespasser is injured on the land. See id., § 333. However, in common law there are a couple narrow but important exceptions:
- Known/frequent trespassers. Where a landowner knows a trespasser is currently on the land and knows that something in the area endangers the trespasser, the landowner is liable to the trespasser who is injured if the landowner failed to take reasonable measures to prevent the harm. See Restatement (Second) of Torts §§ 336–38 (1965). Thus, where an elevator operator knows that trespassing boys have climbed onto the roof of an elevator and could be crushed to death but does not stop the elevator or otherwise take any action to avert the danger, the operator would be liable. See Pridgen v. Boston Housing Auth., 308 N.E.2d 467 (Mass. 1974). The same goes for a landowner who has reason to believe that trespassers frequent part of the land in which there is a danger. Thus, where a landowner finds evidence that people have been riding horses in an area of her land and, as a result, erects a camouflaged barbed wire fence across that area, she is liable to an equestrian who rides into the fence and is injured. See Webster v. Culbertson, 761 P.2d 1063 (Ariz. 1988). Here the expectation is that the landowner cooperates with law enforcement and works through the legal system to address the frequent trespassing, rather than take unilateral self-help action.
- Attractive nuisance. Where a landowner (1) knows about a danger on the land that reasonably may attract child trespassers but (2) fails to use reasonable care to avert injury to the children, the landowner is liable to a child who trespasses and is injured by the danger. See Restatement (Second) of Torts § 339 (1965). The phrase "attractive nuisance" comes from the idea that the danger on the land is "attractive" to children but nevertheless a "nuisance" to them since it could hurt them. In the leading case, a train company maintained a turntable in a railroad yard. The company knew children often trespassed in the yard to use the turntable as a merry-go-round. The company also knew that using the turntable in this way was unsafe, but it did nothing about it. When the turntable eventually crushed a child's foot while the child was playing on it, the company was held liable. See Sioux City & Pac. R.R. Co. v. Stout, 84 U.S. (17 Wall.) 657 (1873). Other examples abound. In one, the defendant failed to stop children from using a factory's second-story supply chute as a slide, and a ten-year-old eventually hit his head on a wooden support beam. See Smith v. Otto Hendrick Post 212, Am. Legion, 62 N.W.2d 354 (Minn. 1954). In another, homeowners did not stop neighborhood children from coming onto their back patio to play in and near the pool, and an eighteen-month-old eventually fell into the pool and drowned. See King v. Lennen, 348 P.2d 98 (Cal. 1959). A few caveats:
- "Child" is left undefined by the Restatement. See Restatement (Second) of Torts § 339, cmt. c (1965). The Restatement does note that while a few states set strict age limits (usually fourteen and under), most states reject any such arbitrary age limit and instead assess whether the child in each case was reasonably old enough to appreciate the dangers of the condition on the land. Either way, make sure you remember that "attractive nuisance" only applies to children, as the doctrine does not extend to adults.
- The Restatement also leaves open whether the attractive nuisance doctrine applies to natural conditions on land, such as a pond or cliff. See Restatement (Second) of Torts § 339, cmt. p (1965). A few states have said that it does not, but most states either have said that it does or appear not to have addressed the issue. Across the pond, Scotland has forgone the artificial-natural distinction entirely and instead asks simply whether the condition—whatever it is—is one whose dangers the child should reasonably understand and appreciate. See City of Glasgow v. Taylor [1922] 1 AC 44.
- There has been disagreement on whether the attractive nuisance doctrine applies where the child is not harmed by the "attractive nuisance," the very thing that attracted the child to the land in the first place. For instance, In United Zinc & Chemical Co. v. Britt, 258 U.S. 268 (1922), two children who were trespassing on the defendant's land discovered a pool of water. The water was clear. The children thought it was harmless and waded into the water, but the water was actually contaminated with sulfuric acid, and the children were poisoned. Justice Holmes held that the attractive nuisance did not apply. The key fact, he said, was that the thing that lured the children into trespassing on the land was not the thing that ended up injuring them; the children discovered the poison pool only after they had already been trespassing (although what actually led the children to trespass in the first place is unclear). Interestingly, however, most jurisdictions have since rejected Justice Holmes' position.
Next, a licensee is someone whom the landowner has allowed to enter or remain on the land. See Restatement (Second) of Torts § 330 (1965). The paradigmatic licensee is a social guest or visiting relative. Landowners at common law generally have a duty of reasonable care toward licensees if and only if the landowner knows (or, in some jurisdictions, should know) that (1) there is a danger on the land and (2) the licensee may encounter that danger. See id., §§ 340, 342. The duty is thus quite limited. As one leading treatise notes, generally the landowner need not go out of her way and "inspect the land or correct unsafe conditions" on the off chance that a licensee happens to swing by. Dan B. Dobbs, The Law of Torts 597 (2000) (footnote omitted). Rather, the landowner incurs a duty only after knowing that the licensee is present and endangered on the premises. Dangers can take the form of an artificial condition on the land. See Carlson v. Ross, 76 Cal. Rptr. 209 (Ct. App. 1969) (jagged pipe); Kenney v. Grice, 465 P.2d 401 (Colo. 1970) (irregular steps); Marks v. Delcastillo, 386 So. 2d 1259 (Fla. Dist. Ct. App. 1980) (trailer housing ten tons of dynamite). Note that jurisdictions disagree where the condition is natural, like snow or ice or a steep cliff. Dangers can also take the form of human activity. See Kessler v. Visteon Corp., 448 F.3d 326 (6th Cir. 2006) (applying Michigan law) (driving a forklift); Silver v. Navarette, 350 S.W.2d 878 (Tex. Civ. App. 1961) (operating a crane in salvage yard). Either way, if the landowner fails to take reasonable steps to avert the danger—like warning of the artificial condition or keeping a lookout during the dangerous activity—the landowner would be liable to the licensee who is thereby injured. However, there is an exception:
- Open/obvious dangers. A landowner generally need not warn licensees about dangers that are reasonably open or obvious. This applies to obvious conditions on the land, like holes and weeds in a tennis court, see Lobsenz v. Rubinstein, 15 N.Y.S.2d 848 (App. Div. 1939), or a large cliff, see Griffin v. State, 295 N.Y.S. 304 (App. Div. 1937). And it applies to obvious dangers inherent in the activity occurring on the land. In Young v. Paxton, 873 S.W.2d 546 (Ark. 1994), for example, the plaintiff was helping the defendant cut down a tree on the defendant's land. The plaintiff was using a chainsaw and standing on a high ladder. The ladder was resting against a large limb some 20 feet above the ground. And the plaintiff was trying to cut it off. In what was to be a vindication of both Isaac Newton and the old proverb not to "saw off the branch on which one sits," the plaintiff's chainsaw completed its journey through the hard wood, the supporting limb of necessity fell earthward, and with it went ladder, plaintiff, and chainsaw. The Arkansas Supreme Court denied the plaintiff's subsequent negligence claim, pointing out that not only was the accident obvious to anyone who cuts down trees, but the defendant also had in fact warned plaintiff of that very danger. For another example, think back to Gutterman v. Target Corp., 242 F. Supp. 3d 695 (N.D. Ill. 2017) (riding a skateboard in a store without protective gear and before taking off the plastic wrap).
Finally, an invitee is someone who enters the land with the permission of the landowner in furtherance of the owner's business or mission. See Restatement (Second) of Torts § 332(3) (1965). The typical example is a store customer, but the passerby who stops into the store just to use the bathroom would also be an invitee, since the store owner provides a restroom as part of the owner's mission. More generally, an invitee would include, say, a churchgoer, a visitor to a public library or park, or a contractor. Landowners' highest duties are to their invitees. Landowners must keep the premises safe, and this often means the landowner must inspect the premises for any hazards or dangerous conditions. Failure to keep the land safe or, at the very least, to warn invitees of the dangers on the land will render the landowner liable. Thus, where a sugar refinery hired a gasfitter to test a gas regulator, the gasfitter was an invitee, and when the refinery did not warn him of or otherwise protect him from a deep, unguarded shaft (into which he promptly fell), the refinery was negligent. See Indermaur v. Dames, L.R. 1, 1 C.P. 274 (1866). The policy rationale for imposing a higher duty toward invitees than licensees focuses on the mindset of the visitor to the land. The licensee does not expect the landowner to adjust the premises for the licensee's benefit; the social guest, in theory, expects to take the land as the owner has it. The invitee, on the other hand, does expect the landowner to adjust the premises for the invitee's benefit; the store owner's invitation to the public to do business carries an implied representation that the store will be made safe for customers, who accordingly anticipate such action from the landowner. See Restatement (Second) of Torts § 332, cmt. a; § 341A, cmt. a; § 343, cmt. b (1965). Lastly, note that many jurisdictions apply the open/obvious danger exception to invitees too, though the Restatement does not if the landowner reasonably should anticipate that an invitee would be harmed despite the danger's openness or obviousness. See id., § 343A.
Modern Developments
This tripartite classification system and its assorted exceptions took shape over centuries of common law in England and early America. For a time it meandered along somewhat steadily, but eventually it encountered a big obstacle: Some visitors simply do not fit neatly into any of the three categories. In a classic case, Campbell v. Weathers, 111 P.2d 72 (Kan. 1941), Campbell visited a lunch- and cigar-stand, which he had frequented for a few years. He loitered for fifteen or twenty minutes, not buying anything, and then started down the hallway toward a toilet, which the stand owner later claimed was not for public use. Halfway down the hallway Campbell plunged into an open trapdoor and broke his arm. Was Campbell a trespasser, licensee, or invitee? Do you see how an argument can be made for all three?
These sorts of cases crept up more and more. A father entered his estranged daughter's land to knock on her front door and tripped over a rock. Trespasser or licensee? See Gable v. Gable, 858 S.E.2d 838 (W. Va. 2021) (licensee). A tenant's girlfriend and her children moved into his apartment without the landlord's permission and were injured therein. Trespassers or invitees? See Worthy v. Ivy Cmty. Ctr., Inc., 679 S.E.2d 885 (N.C. Ct. App. 2009) (jury question). And a public service officer—firefighter, police officer, etc.—was injured while responding to a distress call. Licensee or invitee? See Kreski v. Modern Wholesale Elec. Supply, 415 N.W.2d 178 (Mich. 1987) (neither; sui generis).
As you might imagine, states began to disagree with each other even on materially identical fact patterns. In one case, a store customer while returning to her car cut through the adjacent store's parking lot and tripped over a log. The Connecticut trial court held she was still an invitee. See Gladwin v. Hotel Bond Co., 110 A.2d 481 (Conn. Super. Ct. 1954). But on the same facts (except the log was now a pothole), the Idaho Supreme Court held the customer was now a licensee. See Peterson v. Romine, 960 P.2d 1266 (Idaho 1998). Even judges on the same court sometimes could not agree. In a particularly egregious case, a subway commuter was assaulted, thrown onto the tracks, and then run over by the train. Did the commuter lose his status as an invitee (and become a trespasser) when he was thrown onto the tracks? See Gladon v. Greater Cleveland Reg'l Transit Auth., 662 N.E.2d 287 (Ohio 1996) (plurality: yes; concurrence: jury question; dissent: no).
All of which brings us to our first case, Rowland v. Christian, 443 P.2d 561 (Cal. 1968). There, California became the first state to scrap the tripartite classification system altogether. We will read Rowland in its entirety in order to understand the philosophical and policy arguments for moving away from the trespasser-licensee-invitee triumvirate. Then we will turn to a more recent case representing a variation on the Rowland theme.
4.2.6.2.2 Rowland v. Christian 4.2.6.2.2 Rowland v. Christian
The Cracked Faucet Case
[S. F. No. 22583.
In Bank.
Aug. 8, 1968.]
JAMES DAVIS ROWLAND, JR., Plaintiff and Appellant, v. NANCY CHRISTIAN, Defendant and Respondent.
*109Jack K. Berman for Plaintiff and Appellant.
Healy & Robinson and John J. Healy for Defendant and Respondent.
Plaintiff appeals from a summary judgment for defendant Nancy Christian in this personal injury action.
In his complaint plaintiff alleged that about November 1, 1963, Miss Christian told the lessors of her apartment that the knob of the cold water faucet on the bathroom basin was cracked and should be replaced; that on November 30, 1963, plaintiff entered the apartment at the invitation of Miss Christian; that he was injured while using the bathroom fixtures, suffering severed tendons and nerves of his right hand; and that he has incurred medical and hospital expenses. He further alleged that the bathroom fixtures were dangerous, that Miss Christian was aware of the dangerous condition, and that his injuries were proximately caused by the negligence of Miss Christian. Plaintiff sought recovery of his medical and hospital expenses, loss of wages, damage to his clothing, and $100,000 general damages. It does not appear from the complaint whether the crack in the faucet handle was obvious to an ordinary inspection or was concealed.
Miss Christian filed an answer containing a general denial except that she alleged that plaintiff was a social guest and admitted the allegations that she had told the lessors that the faucet was defective and that it should be replaced. Miss Christian also alleged contributory negligence and assumption of the risk. In connection with the defenses, she alleged that plaintiff had failed to use his “eyesight” and knew of the condition of the premises. Apart from these allegations, Miss Christian did not allege whether the crack in the faucet handle was obvious or concealed.
Miss Christian’s affidavit in support of the motion for summary judgment alleged facts showing that plaintiff was a social guest in her apartment when, as he was using the bathroom, the porcelain handle of one of the water faucets broke in his hand causing injuries to his hand and that plaintiff had used the bathroom on a prior occasion. In opposition to the motion for summary judgment, plaintiff filed an affidavit stating that immediately prior to the accident he told Miss Christian that he was going to use the bathroom facilities, that she had known for two weeks prior to the accident that the faucet handle that caused injury was cracked, that she warned the manager of the building of the condition, that nothing was done to repair the condition of the handle, that she did not say anything to plaintiff as to the condition of the handle, and that when plaintiff turned off the faucet the handle broke *111in his hands severing the tendons and medial nerve in his right hand.
The summary judgment procedure is drastic and should be used with caution so that it does not become a substitute for an open trial. This court in two recent cases has stated: “Summary judgment is proper only if the affidavits in support of the moving party would be sufficient to sustain a judgment in his favor . . . and doubts as to the propriety of granting the motion should be resolved in favor of the party opposing the motion.” (Stationers Corp. v. Dun & Bradstreet, Inc., 62 Cal.2d 412, 417 [42 Cal.Rptr. 449, 398 P.2d 785]; Joslin v. Marin Municipal Water Dist., 67 Cal.2d 132, 146-147 [60 Cal.Rptr. 377, 429 P.2d 889].) A defendant who moves for a summary judgment must prevail on the basis of his own affidavits and admissions made by the plaintiff, and unless the defendant’s showing is sufficient, there is no burden on the plaintiff to file affidavits showing he has a cause of action or to even file counteraffidavits at all. A summary judgment for defendant has been held improper where his affidavits were conclusionary and did not show that he was entitled to judgment and where the plaintiff did not file any counteraffidavits. (de Echeguren v. de Echeguren, 210 Cal.App.2d 141, 146-149 [26 Cal.Rptr. 562]; Southern Pac. Co. v. Fish, 166 Cal.App,2d 353, 362 et seq. [333 P.2d 133].)
In the instant case, Miss Christian’s affidavit and admissions made by plaintiff show that plaintiff was a social guest and that he suffered injury when the faucet handle broke; they do not show that the faucet handle crack was obvious or even noneoneealed. Without in any way contradicting her affidavit or his own admissions, plaintiff at trial could establish that she was aware of the condition and realized or should have realized that it involved an unreasonable risk of harm to him, that defendant should have expected that he would not discover the danger, that she did not exercise reasonable care to eliminate the danger or warn him of it, and that he did not Imow or have reason to know of the danger. Plaintiff also could establish, without contradicting Miss Christian’s affidavit or his admissions, that the crack was not obvious and was concealed. Under the circumstances, a summary judgment is proper in this case only if, after proof of such facts, a judgment would be required as a matter of law for Miss Christian. The record supports no such conclusion.
Section 1714 of the Civil Code provides: “Every one is responsible, not only for the result of his willful *112acts, but also for an injury occasioned to another by his want of ordinary care or skill in the management of his property or person, except so far as the latter has, willfully or by want of ordinary care, brought the injury upon himself. ...” This code section, which has been unchanged in our law since 1872, states a civil law and not a common law principle. (Fernandez v. Consolidated Fisheries, Inc., 98 Cal.App.2d 91, 96 [219 P. 2d 73].)
Nevertheless, some common law judges and commentators have urged that the principle embodied in this code section serves as the foundation of our negligence law. Thus in a concurring opinion, Brett, M. R. in Heaven v. Pender (1883) 11 Q.B.D. 503, 509, states: “whenever one person is by circumstances placed in such a position with regard to another that every one of ordinary sense who did think would at once recognize that if he did not use ordinary care and skill in his own conduct with regard to those circumstances he would cause danger of injury to the person or property of the other, a duty arises to use ordinary care and skill to avoid such danger. ’ ’
California cases have occasionally stated a similar view: “All persons are required to use ordinary care to prevent others being injured as the result of their conduct.” (Hilyar v. Union Ice Co., 45 Cal.2d 30, 36 [286 P.2d 21]; Warner v. Santa Catalina Island Co., 44 Cal.2d 310, 317 [282 P.2d 12]; see also Green v. General Petroleum Corp., 205 Cal. 328, 333 [270 P. 952, 60 A.L.R. 475]; Perkins v. Blauth, 163 Cal. 782, 786 [127 P. 50]; McCall v. Pacific Mail S. S. Co., 123 Cal. 42, 44 [55 P. 706]; Edler v. Sepulveda Park Apts., 141 Cal.App.2d 675 680 [297 P.2d 508]; Copfer v. Golden, 135 Cal.App.2d 623, 627-628 [288 P.2d 90]; cf. Dillon v. Legg, 68 Cal.2d 728, 734 [69 Cal.Rptr. 72, 441 P.2d 912].) Although it is true that some exceptions have been made to the general principle that a person is liable for injuries caused by his failure to exercise reasonable care in the circumstances, it is clear that in the absence of statutory provision declaring an exception to the fundamental principle enunciated by section 1714 of the Civil Code, no such exception should be made unless clearly supported by public policy. (Lipman v. Brisbane Elementary School Dist., 55 Cal.2d 224, 229-230 [11 Cal.Rptr. 97, 359 P.2d 465]; Muskopf v. Corning Hospital Dist., 55 Cal.2d 211, 213 et seq. [11 Cal.Rptr. 89, 359 P.2d 457]; Malloy v. Fong, 37 Cal.2d 356, 366 [232 P.2d 241].)
A departure from this fundamental principle involves the *113balancing of a number of considerations; the major ones are the foreseeability of harm to the plaintiff, the degree of certainty that the plaintiff suffered injury, the closeness of the connection between the defendant’s conduct and the injury suffered, the moral blame attached to the defendant’s conduct, the policy of preventing future harm, the extent of the burden to the defendant and consequences to the community of imposing a duty to exercise care with resulting liability for breach, and the availability, cost, and prevalence of insurance for the risk involved. (Cf. Schwartz v. Helms Bakery Ltd., 67 Cal.2d 232, 237, fn. 3 [60 Cal.Rptr. 510, 430 P.2d 68]; Hergenrether v. East, 61 Cal.2d 440, 443-445 [39 Cal.Rptr. 4, 393 P.2d 164]; Merrill v. Buck, 58 Cal.2d 552, 561-562 [25 Cal.Rptr. 456, 375 P.2d 304]; Chance v. Lawry’s, Inc., 58 Cal.2d 368, 377 [24 Cal.Rptr. 209, 374 P.2d 185]; Lipman v. Brisbane Elementary School Dist., supra, 55 Cal.2d 224, 229-230; Stewart v. Cox, 55 Cal.2d 857, 863 [13 Cal.Rptr. 521, 362 P.2d 345]; Biakanja v. Irving, 49 Cal.2d 647, 650 [320 P.2d 16, 65 A.L.R.2d 1358]; Wright v. Arcade School Dist., 230 Cal.App.2d 272, 278 [40 Cal.Rptr. 812]; Raymond v. Paradise Unified School Dist., 218 Cal.App.2d 1, 8 [31 Cal.Rptr. 847]; Prosser on Torts (3d ed. 1964) pp. 148-151; 2 Harper and James, The Law of Torts (1956) pp. 1052, 1435 et seq.)
One of the areas where this court and other courts have departed from the fundamental concept that a man is liable for injuries caused by his carelessness is with regard to the liability of a possessor of land for injuries to persons who have entered upon that land. It has been suggested that the special rules regarding liability of the possessor of land are due to historical considerations stemming from the high place which land has traditionally held in English and American thought, the dominance and prestige of the landowning class in England during the formative period of the rules governing the possessor’s liability, and the heritage of feudalism. (2 Harper and James, The Law of Torts, supra, p. 1432.)
The departure from the fundamental rule of liability for negligence has been accomplished by classifying the plaintiff either as a trespasser, licensee, or invitee and then adopting special rules as to the duty owed by the possessor to each of the classifications. Generally speaking a trespasser is a person who enters or remains upon land of another without a privilege to do so; a licensee is a person like a social guest who is not an invitee and who is privileged to enter or remain upon land by virtue of the possessor’s consent, and an invitee is a *114business visitor who is invited or permitted to enter or remain on the land for a purpose directly or indirectly connected with business dealings between them. (Oettinger v. Stewart, 24 Cal.2d 133, 136 [148 P.2d 19, 156 A.L.R. 1221].)
Although the invitor owes the invitee a duty to exercise ordinary care to avoid injuring him (Oettinger v. Stewart, supra, 24 Cal.2d 133, 137; Hinds v. Wheadon, 19 Cal.2d 458, 460-461 [121 P.2d 724]), the general rule is that a trespasser and licensee or social guest are obliged to take the premises as they find them- insofar as any alleged defective condition thereon may exist, and that the possessor of the land owes them only the duty of refraining from wanton or willful injury. (Palmquist v. Mercer, 43 Cal.2d 92, 102 [272 P.2d 26]; see Oettinger v. Stewart, supra, 24 Cal.2d 133, 137 et seq.) The ordinary justification for the general rule severely restricting the occupier’s liability to social guests is based on the theory that the guest should not expect special precautions to be made on his account and that if the host does not inspect and maintain his property the guest should not expect this to be done on his account. (See 2 Harper and James, The Law of Torts, supra, p. 1477.)
An increasing regard for human safety has led to a retreat from this position, and an exception to the general rule limiting liability has been made as to active operations where an obligation to exercise reasonable care for the protection of the -licensee has been imposed on the occupier of land. (Oettinger v. Stewart, supra, 24 Cal.2d 133, 138-139 [disapproving contrary cases]; see Rest.2d Torts, § 341; Prosser on Torts, supra, pp. 388-389.) In an apparent attempt to avoid the general rule limiting liability, courts have broadly defined active operations, sometimes giving the term a strained construction in cases involving dangers known to the occupier.
Thus in Hansen v. Richey, 237 Cal.App.2d 475, 481 [46 Cal.Rptr. 909], an action for wrongful death of a drowned youth, the court held that liability could be predicated not upon the maintenance of a dangerous swimming pool but upon negligence “in the active conduct of a party for a large number of youthful guests in the light of knowledge of the dangerous pool.”1 In Howard v. Howard, 186 Cal.App.2d *115622, 625 [9 Cal.Rptr. 311], where plaintiff was injured by-slipping on spilled grease, active negligence was found on the ground that the defendant requested the plaintiff to enter the kitchen by a route which he knew would be dangerous and defective and that the defendant failed to warn her of the dangerous condition. (Cf. Anderson v. Anderson, 251 Cal.App.2d 409, 413 [59 Cal.Rptr. 342]; Herold v. P. H. Mathews Paint House, 39 Cal.App. 489, 493-494 [179 P. 414].) In Newman v. Fox West Coast Theatres, 86 Cal.App.2d 428, 431-433 [194 P.2d 706], the plaintiff suffered injuries when she slipped and fell on a dirty washroom floor, and active negligence was found on the ground that there was no water or foreign substances on the washroom floor when plaintiff entered the theater, that the manager of the theater was aware that a dangerous condition was created-after plaintiff’s entry, that the manager had time to clean up the condition after learning of it, and that he did not do so or warn plaintiff of the condition.
Another exception to the general rule limiting liability has been recognized for cases where the occupier is aware of the dangerous condition, the condition amounts to a concealed trap, and the guest is unaware of the trap. (See Loftus v. Dehail, 133 Cal. 214, 217-218 [65 P. 379]; Anderson v. Anderson, supra, 251 Cal.App.2d 409, 412; Hansen v. Richey, supra, 237 Cal.App.2d 475, 479-480; Huselton v. Underhill, 213 Cal.App.2d 370, 374-376 [28 Cal.Rptr. 822]; Bylling v. Edwards, 193 Cal.App.2d 736, 746-747 [14 Cal.Rptr. 760]; Yazzolino v. Jones, 153 Cal.App.2d 626, 636 [315 P.2d 107]; Ashley v. Jones, 126 Cal.App.2d 328, 332 [271 P.2d 918].) In none of these cases, however, did the court impose liability on the basis of a concealed trap; in some liability was found on another theory, and in others the court concluded that there was no trap. A trap has been defined as a “concealed” danger, a danger with a deceptive appearance of safety. (E.g., Hansen v. Richey, supra, 237 Cal.App.2d 475, 480.) It has also been defined as something akin to a spring gun or steel trap. (Anderson v. Anderson, supra, 251 Cal.App.2d 409, 412.) In the latter case it is pointed out that the lack of definiteness in the application of the term “trap” to any other situation makes its use argumentative and unsatisfactory.
The cases dealing with the active negligence and the trap exceptions are indicative of the subtleties and confusion which have resulted from application of the common law principles *116governing the liability of the possessor of land. Similar confusion and complexity exist as to the definitions of trespasser, licensee, and invitee. (See Fernandez v. Consolidated Fisheries, Inc., supra, 98 Cal.App.2d 91, 96.)
In refusing to adopt the rules relating to the liability of a possessor of land for the law of admiralty, the United States Supreme Court stated: “The distinctions which the common law draws between licensee and invitee were inherited from a culture deeply rooted to the land, a culture which traced many of its standards to a heritage of feudalism. In an effort to do justice in an industrialized urban society, with its complex economic and individual relationships, modern common-law courts have found it necessary to formulate increasingly subtle verbal refinements, to create subclassifications among traditional common-law categories, and to delineate fine gradations in the standards of care which the landowner owes to each. Yet even within a single jurisdiction, the classifications and subclassifieations bred by the common law have produced confusion and conflict. As new distinctions have been spawned, older ones have become obscured. Through this semantic morass the common law has moved, unevenly and with hesitation, towards ‘imposing on owners and occupiers a single duty of reasonable care in all the circumstances. ’ ’ ’ (Footnotes omitted.) (Kermarec v. Compagnie Generale, 358 U.S. 625, 630-631 [3 L.Ed.2d 550, 554-555, 79 S.Ct. 406]; see also Jones v. United States, 362 U.S. 257, 266 [4 L.Ed.2d 697, 705, 80 S.Ct. 725, 78 A.L.R.2d 233]; 2 Harper and James, The Law of Torts, supra, 1430 et seq.; Prosser, Business Visitors and Invitees, 26 Minn.L.Rev. 573; Marsh, The History and Comparative Law of Invitees, Licensees and Trespassers, 69 L.Q.Rev. 182, 359.)
The courts of this state have also recognized the failings of the common law rules relating to the liability of the owner and occupier of land. In refusing to apply the law of invitees, licensees, and trespassers to determine the liability of an independent contractor hired by the occupier, we pointed out that application of those rules was difficult and often abitrary. (Chance v. Lawry’s, Inc., supra, 58 Cal.2d 368, 376-379; cf. Hall v. Barber Door Co., 218 Cal. 412, 419 [23 P.2d 279]; Donnelly v. Hufschmidt, 79 Cal. 74, 75-76 [21 P. 546]; Burke v. Zanes, 193 Cal.App.2d 773, 778 [14 Cal.Rptr. 619].) In refusing to apply the common law rules to a known trespasser on an automobile, the common law rules were characterized as “unrealistic, arbitrary, and inelastic,” and it was *117pointed out that exceedingly fine distinctions had been developed resulting in confusion and that many recent cases have in fact applied the general doctrine of negligence embodied in section 1714 of the Civil Code rather than the rigid common law categories test. (Fernandez v. Consolidated, Fisheries, Inc., supra, 98 Cal.App.2d 91, 96 et seq.) Other cases which have criticized the approach of the common law rules on the basis of the status of the plaintiff with the resulting confusion include Hansen v. Richey, supra, 237 Cal.App.2d 475, 478; Miller v. Desilu Productions, Inc., 204 Cal.App.2d 160, 166 [22 Cal.Rptr. 36]; Hession v. City & County of San Francisco, 122 Cal.App.2d 592, 602 [265 P.2d 542].
There is another fundamental objection to the approach to the question of the possessor’s liability on the basis of the common law distinctions based upon the status of the injured party as a trespasser, licensee, or invitee. Complexity can be borne and confusion remedied where the underlying principles governing liability are based upon proper considerations. Whatever may have been the historical justifications for the common law distinctions, it is clear that those distinctions are not justified in the light of our modern society and that the complexity and confusion which has arisen is not due to difficulty in applying the original common law rules—they are all too easy to apply in their original formulation—but is due to the attempts to apply just rules in our modem society within •the ancient terminology.
Without attempting to labor all of the rules relating to the possessor’s liability, it is apparent that the classifications of trespasser, licensee, and invitee, the immunities from liability predicated upon those classifications, and the exceptions to those immunities, often do not reflect the major factors which should determine whether immunity should be conferred upon the possessor of land. Some of those factors, including the closeness of the connection between the injury and the defendant’s conduct, the moral blame attached to the defendant’s conduct, the policy of preventing future harm, and the prevalence and availability of insurance, bear little, if any, relationship to the classifications of trespasser, licensee and invitee and the existing rules conferring immunity.
Although in general there may be a relationship between the remaining factors and the classifications of trespasser, licensee, and invitee, there are many eases in which no" such relationship may exist. Thus, although the foreseeability Of harm to an invitee" would ordinarily seem greater than the *118foreseeability of harm to a trespasser, in a particular case the opposite may be true. The same may be said of the issue of certainty of injury. The burden to the defendant and consequences to the community of imposing a duty to exercise care with resulting liability for breach may often be greater with respect to trespassers than with respect to invitees, but it by no means follows that this is true in every case. In many situations, the burden will be the same, i.e., the conduct necessary upon the defendant’s part to meet the burden of exercising due care as to invitees will also meet his burden with respect to licensees and trespassers. The last of the major factors, the cost of insurance, will, of course, vary depending upon the rules of liability adopted, but there is no persuasive evidence that applying ordinary principles of negligence law to the land occupier’s liability will materially reduce the prevalence of insurance due to increased cost or even substantially increase the cost.
Considerations such as these have led some courts in particular situations to reject the rigid common law classifications and to approach the issue of the duty of the occupier on the basis of ordinary principles of negligence. (E.g., Gould v. DeBeve (D.C. Cir.) 330 F.2d 826, 829-830 [117 App.D.C. 360]; Anderson v. Anderson, supra, 251 Cal.App.2d 409, 413; Taylor v. New Jersey Highway Authority, 22 N.J. 454 [126 A.2d 313, 317, 62 A.L.R.2d 1211]; Scheibel v. Upton 156 Ohio St. 308 [102 N.E.2d 453, 462-463]; Potts v. Amis, 62 Wn. 2d 777 [384 P.2d 825, 830-831]; see Comment (1957) 22 Mo.L.Rev. 186; Note (1958) 12 Rutgers L.Rev. 599.) And the common law distinctions after thorough study have been repudiated by the jurisdiction of their birth. (Occupiers’ Liability Act, 1957, 5 and 6 Eliz. 2, ch. 31.)
A man’s life or limb does not become less worthy of protection by the law nor a loss less worthy of compensation under the law because he has come upon the land of another without permission or with permission but without a business purpose. Reasonable people do not ordinarily vary their conduct depending upon such matters, and to focus upon the status of the injured party as a trespasser, licensee, or invitee in order to determine the question whether the landowner has a duty of care, is contrary to our modern social mores and humanitarian values. The common law rules obscure rather than illuminate the proper considerations which should govern determination of the question of duty.
It bears repetition that the basic policy of this state *119set forth by the Legislature in section 1714 of the Civil Code is that everyone is responsible for an injury caused to another by his want of ordinary care or skill in the management of his property. The factors which may in particular cases warrant departure from this fundamental principle do not warrant the wholesale immunities resulting from the common law classifications, and we are satisfied that continued adherence to the common law distinctions can only lead to injustice or, if we are to avoid injustice, further fictions with the resulting complexity and confusion. We decline to follow and perpetuate such rigid classifications. The proper test to be applied to the liability of the possessor of land in accordance with section 1714 of the Civil Code is whether in the management of his property he has acted as a reasonable man in view of the probability of injury to others, and, although the plaintiff's status as a trespasser, licensee, or invitee may in the light of the facts giving rise to such status have some bearing on the question of liability, the status is not determinative.
Once the ancient concepts as to the liability of the occupier of land are Stripped away, the status of the plaintiff relegated to its proper place in determining such liability, and ordinary principles of negligence applied, the result in the instant case presents no substantial difficulties. As we have seen, when we view the matters presented on the motion for summary judgment as we must, we must assume defendant Miss Christian was aware that the faucet handle was defective and dangerous, that the defect was not obvious, and that plaintiff was about to come in contact with the defective condition, and under the undisputed facts she neither remedied the condition nor warned plaintiff of it. Where the occupier of land is aware of a concealed condition involving in the absence of. precautions an unreasonable risk of harm to those coming in. contact with it and is aware that a person on the premises is about to come in contact with it, the trier of fact can reasonably conclude that a failure to warn or to repair the condition constitutes negligence. Whether or not a guest has a right to expect that his host will remedy dangerous conditions on his account, he should reasonably be entitled to rely upon a warning of the dangerous condition so that he, like the host, will be in a position to take special precautions when he comes in contact with it.
. It may be noted that by carving further exceptions out of the traditional rules relating to the liability to licensees or
*120social guests, other jurisdictions reach the same result (see Rest.2d Torts, supra, § 342; Annot., Duty of a possessor of land to warn adult licensees of danger (1957) 55 A.L.R.2d 525; 49-55 A.L.R.2d, Later Case Service (1967) 485; but cf. Hansen v. Richey, supra, 237 Cal.App.2d 475, 478-479; Saba v. Jacobs, 130 Cal.App.2d 717, 719 [279 P.2d 826]; Ward v. Oakley Co., 125 Cal.App.2d 840, 844-845 [271 P.2d 536]; Fisher v. General Petroleum Corp., 123 Cal.App.2d 770, 779-780 [267 P.2d 841]), that by continuing to adhere to the strained construction of active negligence or possibly, by applying the trap doctrine the result would be reached on the basis of some California precedents (e.g., Hansen v. Richey, supra, 237 Cal.App.2d 475, 481), and that the result might even be reached by a continued expansion of the definition of the term “invitee” to include all persons invited upon the land who may thereby be led to believe that the host will exercise for their protection the ordinary care of a reasonable man (cf. O’Keefe v. South End Rowing Club, 64 Cal.2d 729, 737-739 [51 Cal.Rptr. 534, 414 P.2d 830,16 A.L.R.3d 1]). However, to approach the problem in these manners would only add to the confusion, complexity, and fictions which have resulted from the common law distinctions.
The judgment is reversed.
Traynor, C. J., Tobriner, J., Mosk, J., and Sullivan, J., concurred.
I dissent. In determining the liability of the occupier or owner of land for injuries, the distinctions between trespassers, licensees and invitees have been developed and applied by the courts over a period of many years. They supply a reasonable and workable approach to the problems involved, and one which provides the degree of stability and predictability so highly prized in the law. The unfortunate alternative, it appears to me, is the route taken by the majority in their opinion in this case; that such issues are to be decided on a case by case basis under the application of the basic law of negligence, bereft of the guiding principles and precedent which the law has heretofore attached by virtue of the relationship of the parties to one another.
Liability for negligence turns upon whether a duty of care is owed, and if so, the extent thereof. Who can doubt that the corner grocery, the large department store, or the financial institution owes a greater duty of care to one whom it has *121invited to enter its premises as a prospective customer of its wares or services than it owes to a trespasser seeking to enter after the close of business hours and for a nonbusiness or even an antagonistic purpose? I do not think it unreasonable or unfair that a social guest (classified by the law as a licensee, as was plaintiff here) should be obliged to take the premises in the same condition as his host finds them or permits them to be. Surely a homeowner should not be obliged to hover over his guests with warnings of possible dangers to be found in the condition of the home (e.g., waxed floors, slipping rugs, toys in unexpected places, etc., etc.). Yet today’s decision appears to open the door to potentially unlimited liability despite the purpose and circumstances motivating the plaintiff in entering the premises of another, and despite the caveat of the majority that the status of the parties may “have some bearing on the question of liability . . . ,” whatever the future may show that language to mean.
In my view, it is not a proper function of this court to overturn the learning, wisdom and experience of the past in this field. Sweeping modifications of tort liability law fall more suitably within the domain of the Legislature, before which all affected interests can be heard and which can enact statutes providing uniform standards and guidelines for the future.
I would affirm the judgment for defendant.
McComb, J., concurred.
4.2.6.2.3 Questions and Notes on Rowland 4.2.6.2.3 Questions and Notes on Rowland
Fun Fact
How does the handle of a sink sever a tendon? It turns out that for porcelain handles this wasn't unheard of. A 1934 article in a leading medical journal recorded twenty cases in four years of patients' presenting to the emergency room or doctor's office with injuries from broken porcelain sink handles. See Harold P. Maloney, Porcelain Faucet Handle Injuries, 103 JAMA 1618 (1934). The article explained that the edges of broken porcelain can be "glasslike," and noted the "frequency" with which those patients suffered "nerve and tendon damage." Id. at 1618. Hands weren't the only victims, either. Dr. Maloney also mentioned the case of a male patient "who, while seated in the bath tub, attempted to close the faucet with his foot," which resulted in a "large, jagged laceration of the sole." Id. at 1619.
Guiding Questions
- The trial court had declared Mr. Rowland a licensee. What does Justice Peters think? Does he treat him as such? as an invitee? a trespasser? Does he say?
- What reasons does Justice Peters give for abandoning the common law classification system for landowner and possessor liability?
- Moving forward, Justice Peters says a determination of landowner liability in each case depends on several factors. What are those factors?
- Justice Burke dissents. Why? Suppose you were one of the Justices hearing the case. Whose position would you have voted for: Justice Peters' or Justice Burke's? (Or would you have adopted your own position?)
Test Your Knowledge
Oliver owns and manages a winery in the southern part of a Midwest state. The winery is just a short drive from a nearby university campus, and Oliver knows it's a popular spot for many a girls' night. Some college students even come just to enjoy the pretty views and "cute" vineyards. Oliver also offers tours of the buildings where the wine is made, which are otherwise off-limits to the public. One day Zack is brainstorming date ideas for Jenna, a girl he met at a party last weekend. One of Jenna's friends tells him that their sorority has done "Wine Wednesdays" at the winery and that Jenna—who isn't 21—still loves to go just for the views and vibes. So, Zack and Jenna head to the winery for a picnic date. As the lovebirds-to-be are lying on the blanket and the sun starts to set, Zack gets nervous and heads off in search of a restroom. He wanders into one of the tour buildings. He spots a winepress and gets curious to see what's at the bottom. As he nears the edge he slips on a grape and tumbles into the press, spraining his wrist. Zack sues Oliver for negligence. Zack claims he was an invitee. Oliver says Zack was a trespasser or, in the alternative, a licensee. (Jenna hasn't texted Zack since.) If the court applies Justice Peters' reasoning in the principal case, how will it classify Zack?
- As an invitee, since he was on the premises in furtherance of Oliver's business mission.
- As a licensee, since he was on the premises as a social guest and with Oliver's permission.
- As a trespasser, since he entered part of the premises without permission or privilege.
- The precise classification is irrelevant, and the court instead will apply a factor-balancing approach to determine whether Oliver acted as a reasonable landowner in the circumstances.
Notes and Further Cases
- Contemporary approaches to landowner and possessor liability. Few areas of tort law display as much doctrinal divergence as landowner liability. The principal case marked the first time a state fully rejected the traditional trespasser-licensee-invitee framework in favor of a uniform duty of reasonable care to all entrants. The Third Restatement later endorsed this model. See Restatement (Third) of Torts: Liability for Physical & Emotional Harm § 51 (2012). But not all jurisdictions have. As of 2016, 24 states retained the common law categories; 8 states and D.C. had adopted the Rowland approach; and 16 collapsed the distinction between licensees and invitees while preserving a separate rule for trespassers (typically no duty of care). See Dan B. Dobbs, et al., Hornbook on Torts (2d ed. 2016). Colorado initially adopted the uniform approach by judicial decision in 1971, only to have the legislature reinstate the common law scheme in 1990. New Jersey takes a case-by-case approach, leaving the classification to trial courts. See Gonzalez v. Safe & Sound Sec. Corp., 881 A.2d 719 (N.J. 2005). Variations also persist in exceptions—such as the treatment of frequent trespassers, attractive nuisances, and open-and-obvious conditions—further fracturing the field.
4.2.6.2.4 Wolf v. National Railroad Passenger Corp. 4.2.6.2.4 Wolf v. National Railroad Passenger Corp.
The Railroad Trestle Case
Warren R. WOLF, in His Capacity as Administrator of the Estate of Brendan L. Houle, et al. v. NATIONAL RAILROAD PASSENGER CORP., d.b.a. Amtrak, et al.
No. 95-168-Appeal.
Supreme Court of Rhode Island.
July 11, 1997.
*1083Amato A. Deluca, Mercedes Deines, Providence, John G.F. Ruggieri, for Plaintiff.
Paul E. Dwyer, Jr., Raymond A. LaFazia, Paul V. Gallogly, Providence, for Defendant.
Before WEISBERGER, C.J., and LEDERBERG, BOURCIER and FLANDERS, JJ.
OPINION
A terrible tragedy hangs heavy over this tale of woe. William J. Houle (Houle) had warned his son, twelve-year-old Brendan, about the dangers they would face when they attempted to traverse a train trestle at night over a body of water. On a clear spring evening in 1990, Houle took his two sons out for a ramble on the train trestle that spans Apponaug Cove in Warwick. Brendan, the younger of Houle’s sons, was unable to restrain himself and stay close to his father as they passed over the water. He soon dashed ahead on the tracks and thereby fatally exposed himself to the very danger about which his father had warned him. Unfortunately Houle then had to watch in mortal dismay as his son perished before his eyes when he was unable to outrun an oncoming Amtrak train. For the reasons that follow, we now affirm a summary judgment that dismissed the claims arising out of this calamity.
Background
The plaintiff, Warren R. Wolf (Wolf), in his capacity as administrator of the estate of Brendan L. Houle (Brendan), appeals from a final judgment entered in favor of defendants, National Railroad Passenger Corp., d.b.a. Amtrak, and Bernard J. McGovern (engineer McGovern) (collectively Amtrak), after they successfully moved for summary judgment. Wolf seeks to recover for the alleged wrongful death of twelve-year-old Brendan, who was killed by an oncoming train on a trestle above Apponaug Cove while he was walking there with his father and his brother one spring night in 1990. Because our de novo review of the record reveals that there were no genuine issues of material fact and that the motion justice applied the correct legal standard to the undisputed facts, we affirm the granting of Amtrak’s summary-judgment motion and the entry of final judgment in its favor.
Early in the morning on a mid-spring day in 1990, Amtrak passenger train No. 94 left the Newport News, Virginia railway station, bound northward for New England. While the train steadily wound its way on a journey that would take it through Rhode Island and then on to Boston, Houle and his nineteen-year-old son, James Houle (James), were at work in Houle’s store in Providence. At about ten of eight that evening, Houle and James closed up shop, hopped in Houle’s ear, and picked up Brendan in Warwick. Houle *1084planned to take his two sons to a video arcade.
While driving to the arcade on that fateful evening, however, Houle decided on the spur of the moment to turn down a dirt road leading to a small parking area at the base of the Apponaug Cove train trestle. Two train tracks running north and south loomed above them atop the trestle, each separated by a four-foot-high divider. In years past, Houle had taken his older son, James, to the waterfront area by the trestle where they would perambulate and skip rocks over the cove’s calm waters. But this night was one of those rare occasions when Houle had both of his boys with him, and he thought it would be nice for them to spend some time together down by the cove.
The trio spent a few minutes skimming rocks along the water before Houle suggested that they cross over the trestle to walk around on the other side of the cove. He warned his offspring about the possibility of encountering a train and how they should fly off the track if one should appear. Father and sons then sealed the steep embankment on a well-worn path and started to head south across the trestle from- its northern end. Although no signs warned them about the danger of approaching trains and no fence impeded their access to the trestle, they joked about the possibility of a train’s coming while they were en route. Perhaps in his excitement and in his eagerness to get to the other side, Brendan ran ahead of the others. James, the older teenager, lagged a distance behind him, and Houle brought up the rear as they trekked across the trestle.
Suddenly a shrill whistle pierced the night. Frantically looking up and down the tracks to locate the source of their shared terror, the trio soon caught sight of a northbound train that suddenly careened into view around a blind bend approximately 1,000 feet from the northern end of the trestle where they had begun their walk. Hurtling through the dusk at seventy-five miles per hour, it charged at them head on from the south. Houle, closest to the northern end of the trestle, turned on his heel and sprinted quickly out of harm’s way off the trestle’s northern end. James spun around and bolted north, screaming, “Train!” before he too was able to dive off the end of the trestle. Thus in a few seconds only Brendan was left on the tracks, running for his life while No. 94 pitilessly bore down on him. Having glimpsed the commotion on the track ahead, engineer McGovern sounded the train’s whistle and activated the emergency brakes, but the trestle proved a bridge too far for Brendan to recross. Caught too close to the trestle’s southern end, he was unable to retrace his steps in time to evade the train. With his father and brother still shouting at him, Brendan was within ten feet of the end of the trestle when the train overtook him.
In due course, after having been appointed to administer Brendan’s estate, Wolf filed a timely wrongful-death suit in Kent County Superior Court against Amtrak and engineer McGovern, alleging essentially negligent design and maintenance of the railroad trestle and its surrounding area.1 After engaging in discovery, Amtrak moved for summary judgment on the basis of this *1085court’s decision in Tantimonico v. Allendale Mutual Insurance Co., 637 A.2d 1056 (R.I.1994). There we abandoned the court’s nineteen-year experiment with a new-premises liability rule, first announced in Mariorenzi v. Joseph DiPonte, Inc., 114 R.I. 294, 333 A.2d 127 (1975), that required property owners to exercise due care toward all persons reasonably expected to be on the premises, regardless of their common-law status when they entered the property. In Tantimonico we returned to the previous common-law rule that property owners owe trespassers “no duty save to refrain from willful or wanton injury.” 637 A.2d at 1061.
The plaintiffs argued below that Tantimonico, decided in 1994, should not retroactively be applied to their claims, which arose in 1990 when Mariorenzi was still the law. The motion justice disagreed, concluding that Tantimonico should be applied retroactively to all pending claims. She also found that there was no material issue of fact regarding Brendan’s status as a trespasser, no evidence to suggest that engineer McGovern had failed to take sufficient emergency measures, and no evidence to indicate that Amtrak had acted willfully or wantonly. Accordingly the motion justice granted Amtrak’s summary-judgment motion and, pursuant to Rule 54(b) of the Superior Court Rules of Civil Procedure,2 entered a final judgment in its favor. On appeal Wolf argues that Tantimonico should not have been applied retroactively and that even if it were to be so applied, there are still genuine issues of material fact that preclude the award of summary judgment.
Analysis
Because “ ‘a prospective-only approach to the operation of a judicial decision is the exception rather than the rule,’ ” Landmark Medical Center v. Gauthier, 635 A.2d 1145, 1154 (R.I.1994) (quoting State v. Porter, 437 A.2d 1368, 1371 (R.I.1981)); see generally Ondis v. Pion, 497 A.2d 13 (R.I.1985) (collecting cases providing for prospective application), and because Wolf has not carried his burden of demonstrating that such a prospective-only application of Tantimonico is warranted,3 see State v. Porter, 437 A.2d 1368, 1371-72 (R.I.1981), we agree that the Tantimonico standard was properly applied to the litigants in this case. See Ondis, 497 A.2d at 17 (“‘[i]n the past this court has chosen to apply new rules of law in the manner best suited to serve the interests of justice and to avoid hardship’ ”); State v. Arpin, 122 R.I. 643, 656, 410 A.2d 1340, 1347 (1980) (“[i]t is well settled that the highest court of a state may choose to apply new rules of law in any manner it deems appropriate and just”). Indeed it would be particularly anomalous if the standard of care announced in Tantimonico and applied retroactively to the litigants in that case was not to be applied to the litigants here. If the holding in Tantimonico had been a candidate for a limited retroactive application, that decision would have been the most appropriate occasion to announce such a restriction. See, e.g., Haddad v. First National Stores, Inc., 109 R.I. 59, 67, 280 A.2d 93, 98 (1971) (adopting attractive-nuisance doctrine to litigants in case at bar and “to all injuries * * * occurring sixty days after the date of the filing of this opinion”).
Moreover, and perhaps most importantly, this is not a situation in which it was likely that the injured parties would have been acting in reliance on the old Mariorenzi rule when they were trespassing on Amtrak’s trestle in 1990. Under Mariorenzi “the question to be resolved” in determining the degree of care owed by a landowner to an entrant upon the land was “whether the own*1086er has used reasonable care for the safety of all persons reasonably expected to be upon [the] premises.” 114 R.I. at 307, 333 A.2d at 133. Here, even Wolf does not contend that Houle and his sons were induced to trespass upon the Apponaug Cove train trestle in reliance upon what they expected would be the duty of reasonable care owed to them by the trestle’s owner. Accordingly we do not believe it was inappropriate or unfair for the motion justice to have followed the general rule that applies decisions like Tantimonico retroactively to factual events that occurred before its announcement. This is especially true when, as here, there is a long and established common-law tradition that denies relief to injured trespassers in circumstances like these. (See cases cited, infra.)
We now turn to a consideration of whether summary judgment was properly granted to Amtrak. The first issue to be determined is whether Brendan’s status at the time of the accident was that of trespasser. Even assuming the existence of a well-worn path leading up to the trestle (presumably indicative of some usage of the trestle as a pedestrian crossing), we agree with the motion justice that Brendan was still trespassing on Amtrak’s trestle at the time of the accident. See Zoubra v. New York, New Haven and Hartford Railroad Co., 89 R.I. 41, 44, 150 A.2d 643, 645 (1959) (“this court has long since adopted the view that in railroad cases the fact that a certain place, where there is no public right of passage, has been used by persons as a crossing does not constitute such place as a public crossing[;][n]or does it confer upon persons using it any other relation to the railroad than that of trespassers”) (citing Boday v. N.Y., N.H. & H.R.R. Co., 53 R.I. 207, 165 A. 448 (1933)). As such, Amtrak owed Brendan a duty to refrain from willful or wanton injury, see Tantimonico, 637 A.2d at 1061, after his trespass was discovered, Zoubra, 89 R.I. at 45, 150 A.2d at 645 (“the law does not impose upon the defendant [railroad] any duty toward the plaintiff as a trespasser * * * unless it has first discovered [him] in a position of danger”); New England Pretzel Co. v. Palmer, 75 R.I. 387, 394, 67 A.2d 39, 43 (1949) (“[a] railroad owes no duty to a trespasser * * * except after discovering his peril”); see also Erenkrantz v. Palmer, 69 R.I. 478, 481, 35 A.2d 224, 225 (1944); Boday, 53 R.I. at 208, 165 A. at 448. Furthermore “ ‘a railroad is under no duty to keep a lookout for trespassers. Their probable presence on the tracks is not such a circumstance which the law requires a railroad to anticipate and reasonably guard against.’ ” Zoubra, 89 R.I. at 45-46, 150 A.2d at 645.
Brendan’s trespass was first discovered by engineer McGovern as the train rounded a bend in the tracks located approximately 1,000 feet from the trestle. At that point Amtrak had the duty to avoid willfully or wantonly injuring Brendan. In response to observing Brendan’s nighttime presence on the tracks, engineer McGovern immediately sounded the train’s whistle and engaged the emergency brakes. The train was traveling at a speed of between seventy and eighty miles per hour in a corridor that had a speed limit of ninety-five miles per hour. Given these facts, the record is devoid of any suggestion that Amtrak did anything willfully or wantonly to cause Brendan’s demise. On the contrary, it appears that Amtrak did all that could reasonably be expected of it after its engineer detected Brendan on the trestle. Unfortunately there was simply not enough time for the train to stop and thereby prevent this catastrophe. Thus on these facts we are of the opinion that the motion justice properly awarded Amtrak summary judgment.
Finally, because the risk of injury from an oncoming train would be apparent to anyone who decides to walk along a train trestle, we hold that as a matter of law the trestle was not an “attractive nuisance.” See Haddad, 109 R.I. at 61-67, 280 A.2d at 95-98 (discussing and adopting the attractive-nuisance doctrine); see also Holland v. Baltimore & Ohio Railroad Co., 431 A.2d 597, 602 (D.C.Ct.App.1981) (en banc) (“[t]he overwhelming weight of authority in jurisdictions across the country is that the attractive nuisance exception does not apply as a matter of law in cases where child trespassers are injured by moving trains”); Brownfeld v. Missouri Pacific Railroad Co., 794 S.W.2d 773, 777 (Tex.Ct.App.1990, writ denied) (“[a]n or*1087dinary railroad trestle is certainly not * * * “well within’ the boundaries of attractive nuisance”). The obvious danger to prospective trespassers posed by a trestle like this one— a deathtrap consisting of tracks separated by a four-foot-high wall, passing above a body of water, surrounded by open airspace — is at least as great as that presented by a crossing. This court has previously recognized the dangers posed by railroad crossings that, unlike this trestle, are usually surrounded by terra firma on all sides. See Francis v. Atlantic Terminals, Inc., 104 R.I. 346, 350, 244 A.2d 415, 417 (1968) (a railroad crossing “is a place of great danger”); Kennedy v. N.Y., N.H. & H.R.R. Co., 43 R.I. 358, 362, 112 A. 429, 431 (1921) (“[i]t is well known that a railroad crossing is a place of great danger”). Having discussed in advance possible ways to extricate themselves in the event they should encounter a train, father and sons were all well aware of the extremely parlous situation in which they had voluntarily placed themselves. Thus, because Brendan must be deemed to have realized the risk of what he was doing, the attractive-nuisance doctrine is inapplicable.
Conclusion
For the foregoing reasons Wolfs appeal is denied and dismissed, the award of summary judgment and the entry of final judgment in Amtrak’s favor is affirmed, and the papers of this ease are remanded to the Superior Court.
GOLDBERG, J., did not participate.
4.2.6.2.5 Questions and Notes on Wolf 4.2.6.2.5 Questions and Notes on Wolf
Fun Fact
The train "trestle" or bridge in question is in Apponaug, Rhode Island, a town about ten minutes west of Warwick and twenty minutes south of downtown Providence. The bridge sits about fifteen feet above the surface of the cove and spans about 150 feet of water. As Justice Flanders mentions, two Amtrak lines run across the bridge, which is about 25 feet wide and has walls four to five feet high on either side.
Guiding Questions
- Justice Flanders notes that Rhode Island has changed its approach to landowner liability. What approach does Justice Flanders apply in this case (the one from Tantimonico)? What approach did Rhode Island take previously (the one from Mariorenzi)? What distinguishes them?
- Applying the common law, when Brendan was on the bridge, was he a trespasser, licensee, or invitee? How about under Tantimonico? Under Mariorenzi?
- Why did Brendan's estate lose? What duty (if any) did Amtrak owe Brendan on the bridge, and why wasn't that duty breached?
- Why wasn't the bridge an attractive nuisance?
Test Your Knowlege
Billy, a twelve-year-old, is accompanying his dad to work for Bring Your Child to Work Day. Steve is employed in the corporate accounting office of a large agribusiness headquartered on the company’s campus. The accounting office is located in a building far from the actual agricultural operations. While waiting in the office lobby during lunch, Billy gets bored and wanders off without Steve noticing. After walking across several parking lots and service roads, he comes upon a large warehouse, plainly marked “AUTHORIZED PERSONNEL ONLY – DANGER: EQUIPMENT IN OPERATION.” Billy enters the building through an open door and finds himself in a dimly lit space filled with crates and rusting equipment. Curious, he climbs up a nearby catwalk to get a better view. While walking along the catwalk, Billy slips on a patch of oil and falls, breaking his arm. The oil had leaked from machinery the company was in the process of decommissioning. Billy sues the company for negligence, arguing the company should have anticipated children might enter and get hurt. Assume the jurisdiction applies the common law categories for landowner and possessor liability. Is Billy likely to prevail?
- No, because Billy became a trespasser when he entered the warehouse, and landowners have no duty to warn unforeseen trespassers of latent dangers on the premises.
- No, because Billy became a licensee when he entered the warehouse, and landowners have no duty to warn licensees of latent dangers on the premises.
- Yes, because Billy was an invitee when he entered the warehouse, and landowners have a duty to warn invitees of latent dangers on the premises.
- Yes, because although Billy became a trespasser when he entered the warehouse, the facility was an attractive nuisance.
Notes and Further Cases
- Flagrant trespassers. The Restatement (Third)'s approach to landowner liability imposes a duty of care even toward trespassers unless the trespasser is "flagrant." While it doesn't define "flagrant"—leaving states to define it should they adopt the approach—it does give some guiding principles. See Restatement (Third) of Torts: Phys. & Emot. Harm § 52, cmt. a (2012). "Flagrant" apparently is supposed to mean "egregious" or "atrocious" rather than merely "conspicuous." Id. And the rationale for "distinguishing particularly egregious trespassers" is that such trespassers' presence on the land is unjustifiably "antithetical to the rights of the land possessor." However, when this textbook went to press, no state supreme court has officially adopted the Restatement (Third)'s approach for its jurisdiction. Nevada arguably has come the closest. See Foster v. Costco Wholesale Corp., 291 P.3d 150 (Nev. 2012). Short of that, support is limited to dicta in concurring or dissenting opinions. See Hayes v. D.C.I. Props.—D KY, LLC, 563 S.W.3d 619, 625 (Ky. 2018) (Minton, C.J., concurring in result); Handy v. Nejam, 111 So. 3d 610, 619 (Miss. 2013) (Kitchens, J., dissenting).
- Open/obvious dangers and trespassers. At common law the open/obvious exception did not apply to trespassers; there was no need to apply because landowners owed trespassers no duty of care in the first place. Some jurisdictions are changing course. The principal case, for example, holds that Brendan was a trespasser and that the dangers of crossing the bridge in these circumstances were obvious. The Third Restatement also advocates applying the open/obvious doctrine to trespassers (as long as they aren't "flagrant," as mentioned above). See Restatement (Third) of Torts: Phys. & Emot. Harm § 51, cmt. k (2012). Ultimately, the precise effect of the doctrine will differ by jurisdiction. In some states, an open or obvious danger remains a complete bar to recovery. See, e.g., Lang v. Holly Hill Motel, Inc., 909 N.E.2d 120 (Ohio 2009). In others, it is merely factored into the determination whether the landowner owed the visitor a duty or breached it. In Tennessee, for instance, "if the foreseeability and gravity of harm posed from a defendant's conduct, even if 'open and obvious,' outweighed the burden on the defendant to engage in alternative conduct to avoid the harm, there is [still] a duty to act with reasonable care." Coln v. City of Savannah, 966 S.W.2d 34, 43 (Tenn. 1998) (emphasis added).
4.2.6.3 Duty to Render Aid 4.2.6.3 Duty to Render Aid
4.2.6.3.1 L. S. Ayres & Co. v. Hicks 4.2.6.3.1 L. S. Ayres & Co. v. Hicks
The Fingers-in-Escalator Case
L. S. Ayres & Company v. Hicks.
[No. 27,632.
Filed March 25, 1942.
Rehearing denied April 28, 1942.]
*90 Fesler, Elam, Young & Fauvre, of Indianapolis (Homer Elliott, of Martinsville, of counsel), for appellant.
Barnes, Hicham, Pantzer & Boyd and Thomas M. Scanlon, all of Indianapolis (Silas C. Kivett, of Martins-ville, of counsel), for appellee.
The appellee recovered a judgment against the appellant for personal injuries. The assigned errors relate to the overruling of the appellant’s motion for a judgment on the interrogatories and the answers thereto and the motion for a new trial. Under the motion for a new trial it is charged that the verdict is not sustained by sufficient evidence; that it is contrary to law; that there was error in the giving and refusal of certain instructions; that appellee’s counsel was guilty of misconduct; and that the damages are excessive.
John Hicks, the appellee, a six-year-old boy, visited the appellant’s department store in company with his mother, who was engaged in shopping. While descending from the third floor on an escalator, the appellee fell at the second floor landing and some fingers of both *91his hands were caught in the moving parts of the escalator at the place where it disappears into the floor.
The appellee’s complaint contained five distinct charges of negligence, as follows:
“1. In operating an escalator so constructed as to leave sufficient space between said ribs, said comb-plate and the teeth thereof to permit the fingers of small children, including plaintiff, to become caught and wedged therein when said escalator could then and prior thereto have been so constructed as defendant knew or should have known with ribs so close together and passing between the teeth and under the comb-plate with so little space between that fingers of children could not have been entangled or wedged therein.
“2. In failing to have a proper guard placed over the teeth of said comb-plate and the openings between said teeth to prevent objects and particularly fingers and other parts of the body of passengers on said escalators which might be drawn therein from being caught therein.
“3. In failing to take proper steps to stop the movement of said escalator with reasonable promptness when it knew, or by exercise of reasonable care should have known, of plaintiff’s position of peril. That the means taken by defendant, if any, with reference to safeguarding passengers upon said escalators by having employees in a position to observe the same and stop said operation in the event of an accident, and the facts with reference to the stopping of the escalator after plaintiff’s said fall are unknown to plaintiff, but are fully known to the defendant.
“4. In failing to take proper steps for the immediate release of plaintiff from said escalator following said accident. That the means taken by defendant with reference to reversing such mechanism upon the happening of an accident and the means adopted by defendant with reference thereto after plaintiff’s said fall are unknown to plaintiff, except as hereinbefore stated, but are fully known to defendant.
“5. In failing to equip said mechanism so that it could be instantly reversed at or near the point *92of the accident in order to extricate therefrom persons who might become caught or entangled therein.”
On review; only the pleadings, the general verdict, and the interrogatories and answers will be considered in determining whether a judgment should have been entered on the answers to interrogatories. The evidence actually introduced at the trial will not be considered, but the court will suppose any evidence that might properly have been introduced under the issues. 2 Watson’s Works Practice, § 1903.
The jury found that the escalators with which the appellant’s store was equipped were purchased and installed in 1934; that no escalator was made prior to the accident that was safer than the one in use; that it was not the practice of stores installing escalators to have an attendant after a year; that the escalator on which appellee was injured was equipped with switch buttons at each floor landing by which it could be stopped in about 2*4 steps; that appellant had clerks working within 50 feet of the place where appellee was injured, all of whom had not been instructed how to stop the escalator; that the escalator was moving at the rate of 90 feet per minute; that appellee’s fingers were caught in the mechanism practically as soon as he fell; that the escalator ran “approximately 70 steps (of 15 inches) or more” before it was stopped; that it was from 3 to 5 minutes after appellee was first injured before his fingers were released; arid that the appellee’s injuries were increased by the grinding effect on his fingers which continued until the escalator was stopped.
*93 *92The appellant asserts that it affirmatively appears from the answers to the interrogatories that it was *93not guilty of any act or omission of negligence charged in the complaint. The facts found by the jury conclusively establish that the appellant was not negligent with respect to the choice, construction, or manner of operating the escalator. This being true, there could have been no incidental duty on the appellant to anticipate an accident, to instruct its employees, or to keep someone in attendance when the machine was in operation. One is not bound to guard against a happening which there is no reason to anticipate or expect. Parry Mfg. Co. v. Eaton (1908), 41 Ind. App. 81, 83 N. E. 510. Having concluded that the appellant was not responsible for the appellee’s initial injury, the question arises whether it may, nevertheless, be held liable for an aggravation of such injury, and, if so, under what circumstances.
It may be observed, on the outset, that there is no general duty to go to the rescue of a person who is in peril. So, in Hurley, Adm. v. Eddingfield, (1901), 156 Ind. 416, 59 N. E. 1058, 83 Am. St. Rep. 198, 53 L. R. A. 135, it was held that a physician was not liable for failing without any reason to go to the aid of one who was violently ill and who died from want of medical attention which was otherwise unavailable. The effect of this .rule was aptly illustrated by Carpenter, C. J., in Buch v. Amory Manufacturing Co. (1897), 69 N. H. 257, 260, 44 A. 809, 810, 76 Am. St. Rep. 163, 165, as follows:
“With purely moral obligations the law does not deal. For example, the priest and Levite who passed by on the other side were not, it is supposed, liable at law for the continued suffering of the man who fell among thieves, which they might and morally ought to have prevented or relieved.”
There may be principles of social conduct so universally recognized as to be demanded that they be *94observed as a legal duty, and the relationship of the parties may impose obligations that would not otherwise exist. Thus, it has been said that, under some circumstances, moral and humanitarian considerations may require one to render assistance to another who has been injured, even though the injury was not due to negligence on his part and may have been caused by the negligence of the injured person. Failure to render assistance in such a situation may constitute . actionable negligence if the injury is aggravated through lack of due care. 38 Am. Jur. Negligence, § 16, p. 658, 69 L. R. A. 533. The case of Depue v. Flatau (1907), 100 Minn. 299, 111 N. W. 1, 8 L. R. A. (N. S.) 485, lends support to this rule. It was there held that one who invited into his house a cattle buyer who called to inspect cattle which were for sale owed him the duty, upon discovering that he had been taken severely ill, not to expose him to danger on a cold winter night by sending him away unattended while he was in a fainting and helpless condition.
After holding that a railroad company was liable for failing to provide medical and surgical assistance to an employee who was injured without its fault but who was rendered helpless, by reason of which the employee’s injuries were aggravated, it was said with the subsequent' approval of this court, in Tippecanoe Loan, etc., Co. v. Cleveland, etc., R. Co. (1915), 57 Ind. App. 644, 649, 650, 104 N. E. 866, 868, 106 N. E. 739:
“In some jurisdictions the doctrine has been extended much further than we are required to- go in deciding this case. It has been held to apply to cases where one party has been so injured as to render him helpless by an instrumentality under the control of another, even though no relation of master and servant, or carrier and passenger existed at the time. It has been said that the mere happening of an accident of this kind creates a *95relation which gives rise to a legal duty to render such aid to the injured party as may be reasonably necessary to save his life, or to prevent a serious aggravation of his injuries, and that this subsequent duty does not depend upon the negligence of the one party, or the freedom of the other party from contributory negligence, but that it exists irrespective of any legal responsibility for the original injury.”
From the above cases it may be deduced that there may be a legal obligation to take positive or affirmative steps to effect the rescue of a person who is helpless and in a situation of peril, when the one proceeded against is a master or an invitor or when the injury resulted from use of an instrumentality under the control of the defendant. Such an obligation may exist although the accident or original injury was caused by the negligence of the plaintiff or through that of a third person and without any fault on the part of the defendant. Other relationships may impose a like obligation, but it is not necessary to pursue that inquiry further at this time.
In the case at bar the appellee was an invitee and he received his initial injury in using an instrumentality provided by the appellant and under its control. Under the rule stated above and on the authority of the cases cited this was a sufficient relationship to impose a duty upon the appellant. Since the duty with which we are presently concerned arose after the appellee’s initial injury occurred, the appellant cannot be charged with its anticipation or prevention but only with failure to exercise reasonable care to avoid aggravation. The measure of that duty is not unlike that imposed by the rule of the last clear chance or doctrine of discovered peril, though it should be observed that the last mentioned rule imposes a *96negative rather than an affirmative obligation and does not depend upon the relationship of the parties. To invoke the application of the last clear chance as it has been defined in this State, the defendant must have had knowledge of the plaintiff’s situation of peril and of his helpless condition and, thereafter, have failed to exercise reasonable care to avoid harming him. Southern R. Co. v. Wahl (1925), 196 Ind. 581, 149 N. E. 72. The same rule must be applied in the case at bar. The third charge of negligence already-quoted invoked the application of this rule and, upon that theory, the facts found by the jury are not incompatible with the general verdict. There was, consequently, no error in overruling the appellant’s motion for a judgment on the answers to the interrogatories.
In the sixth instruction tendered by the appellee and given by the court the jury was told that “In determining the amount, of damages which you will award plaintiff, it is proper to consider every phase of his injuries, as charged in the complaint, and which you find have been established by a preponderance of the evidence.” AH of the appellee’s injuries including' those initially suffered and those which might be said to be the result of the appellant’s negligence were charged in the complaint and the subject of the evidence. The above instruction is, therefore, erroneous. In no event could the appellant be held liable for injuries that were not the proximate .result of its negligence. The apportionment of the damages under such circumstances has been recognized by the practice in this State. In The Standard Oil Company v. Bowker (1895), 141 Ind. 12, 17, 40 N. E. 128, 130, which was an action for personal injuries, we find the following language:
*97“It is argued further that the appellee, having disobeyed the instructions of his physician, in taking improper exercise, contributed to his diseased condition. While this may be true that fact would not deprive him of damages for the original injury, but would probably permit an inquiry as to the extent of the injury sustained alone from the fault ■ of the appellant.”
The Louisville, New Albany and Chieago Railway Company v. Falvey (1885), 104 Ind. 409, 424, 3 N. E. 389, 397, 4 N. E. 908, was a similar case to the one from which we have just quoted. In the latter case the following instruction was approved:
“ Tt was the duty of the plaintiff to use ordinary care, judgment and diligence in securing medical or surgical aid after she received the injuries complained of, if any she received, and if you find from . the evidence that after she received such injuries, if any she did receive, she failed to use such ordinary .care, judgment and diligence in procuring timely medical or surgical aid; and if you further find from the evidence that, by reason of such failure, her condition is now different and worse than it would have been if she had used such ordinary care, judgment and diligence in the premises, then, if you find for the plaintiff, you should take this into account in making up your verdict, and should not allow her any damages for ailments and diseases, if any, that may have resulted from such failure.’ ”
While the above cases arose on factual situations different from the ease at bar, the principles stated therein are applicable. Since the appellee was only entitled to recover for an aggravation of his injuries, the jury should have been limited and restricted in assessing the damages to the injuries that were the proximate result of the appellant’s actionable negligence.
*98This opinion might be extended, but in view of the fact that a new trial will be ordered it is not deemed necessary or proper to say more. Both parties are represented by able counsel and the case was unusually well tried. It is unlikely that the alleged errors not discussed will recur.
The judgment is reversed with directions to sustain the appellant’s motion for a new trial.
Note.—Reported in 40 N. E. (2d) 384.
On Petition for Rehearing.
The appellee’s petition for rehearing challenges only that part of the foregoing opinion which holds that reversible error was committed in the giving of the appellee’s instruction No. 6. It is urged that: (1) Any error in the giving of this instruction was waived if it was presented; (2) standing alone, the instruction is not erroneous; and (3) it is not erroneous when considered with instructions Nos. 7 and 8 tendered by the appellant and given to the jury.
. As to the first point it may be observed that it affirmatively appears from the record and from the appellant’s original brief that the giving of in-struction No. 6 was one of the grounds of the motion for a new trial and that, the overruling of this motion was duly assigned as error on appeal. The proposition supporting this assigned error was stated in the appellant’s original brief as follows: “There was error in the sixth instruction requested by plaintiff and given, which instruction improperly included ■ humiliation as an element of plaintiff’s damages.” This was followed by the citations of many authorities. The question arises then whether we went outside the briefs in concluding that instruction No. 6 *99was bad because it embraced improper elements of . damages other than humiliation. While alleged errors not presented and discussed in the appellant’s brief will be treated as waived, this court does not regard itself as required to accept or reject the specific reasons advanced by a litigant to sustain his contentions. Keeshin Motor Express Co. v. Glassman (1942), 219 Ind. 538, 38 N. E. (2d) 847. The practice rule to the effect that alleged errors, not specifically pointed out in the appellant’s brief, will be treated as waived was not intended to circumscribe the reviewing tribunal. The purpose of the rule is to relieve the court of the burden of searching the record and briefing the case and to place that responsibility on the party asserting error. It will not be carried so far as to require the court to close its eyes to that which is apparent. To do so would not infrequently place us in the unhappy situation of lending tacit approval to an instruction palpably bad on its face, and this could only result in confusing the law and misleading the profession. In Big Creek Stone Co. et al. v. Seward et al. (1895), 144 Ind. 205, 210, 42 N. E. 464, 43 N. E. 5, it was observed in this connection that “If the court were limited to the arguments and reasoning of counsel in its decisions of cases, to the exclusion of its own observations, many cases would lead us far from what we understand to be the true object of the court.” In the instant case we have done nothing more than to state cogent reasons, not advanced by counsel, to sustain an assignment-, properly made and presented, to the effect that reversible error was committed in the giving of the appellee’s sixth instruction. It should be noted that the practice in this regard has been changed by Rule 1-7, not in effect at the time the case at bar was tried, which provides that no error with respect to the giving of instructions *100shall be available as cause for a new trial or on appeal except upon the specific objections made before argument.
The appellee’s instruction No. 6 was as follows:
“If, under the law and the evidence in this case, you find that the plaintiff is entitled to recover, it will then become your duty to fix or determine the amount of his damages. In determining the amount-of damages which you will award plaintiff, it is proper to consider every phase of his injuries, as charged in the complaint, and which you find have been established by a preponderance of the evidence. You may consider the kind and character of his injuries, whether the same are temporary or permanent, any physical pain or mental suffering or humiliation which the plaintiff has suffered or will suffer in the future, if the same be shown by the evidence. It is also proper for you to consider, if shown by the evidence, the effect of the injuries which plaintiff has sustained upon his ability to earn money after he becomes 21 years of age from any proper business, calling, or profession, and the kind and character of work which plaintiff will be prevented from doing after becoming 21 years of age, as a result of his injuries, if shown by the evidence, and from a consideration of all -the facts shown in evidence bearing upon said subject, it will then be your duty to award the plaintiff such sum as will fairly and fully compensate him for all his said injuries which you find from a preponderance of the evidence he has sustained, as charged in the complaint, as the direct and proximate result of any negligence of the defendant, which you find charged in the complaint and established by a preponderance of all the evidence in this case, not exceeding the sum demanded -—$80,000.00.”
In the second sentence of the above instruction the court advised the jury that, “In determining the amount of damages which you will award plaintiff, it is proper to consider every phase of his injuries, as charged in the complaint, and which you find have been established *101by a preponderance of the evidence.” All of the appellee’s injuries, including those received before as well as after the alleged omissions of negligence upon which the appellee must rely as a basis of recovery, were described in the complaint and evidence. The part of the instruction quoted did not undertake to limit the appellee’s damages to those proximately resulting from a violation of the duty resting on the appellant to exercise reasonable care to avoid an aggravation of the appellee’s injuries. “The rule deducible from (the) cases is that where facts are allowed to go in evidence which furnish an incorrect basis for the assessment of damages, an instruction which directs the jury to determine from all the facts, or all the evidence, the amount of recovery, is erroneous.” Stewart v. Swartz (1914), 57 Ind. App. 249, 253, 106 N. E. 719, 721. If the quoted sentence had been separately numbered and given as a complete instruction, it would clearly be erroneous.
The appellee contends, however, that the instruction is saved by the concluding part thereof wherein the jury was told that “. . . from a consideration of all the facts shown in evidence bearing upon said subject, it will then be your duty to award the plaintiff such sum as will fairly and fully compensate him for all his said injuries which you find from a preponderance of the evidence he has sustained, as charged in the complaint, as the direct and proximate result of any negligence of the defendant, which you find charged in the complaint and established by a preponderance of all the evidence in the case, not exceeding the sum demanded. . . .” The first quoted part of the instruction, though a misstatement of the law, is short, clear, and unambiguous, while the part last quoted is lengthy, involved, and dependent upon punctuation for its meaning. While a skilled grammarian *102or a lawyer, experienced in determining the meaning of written instruments, might, perhaps, conclude after careful study that the latter part of the instruction sufficiently modified or amplified the former, this cannot be the test for determining whether a jury usually composed of laymen was correctly instructed as to the law. Bearing in mind the theory upon which the case was apparently tried, we cannot escape the conviction that if instruction No. 6 standing alone was not positively erroneous it was, nevertheless, so confusing and misleading that it ought not to have been, given.
Relying upon the rule that instructions should be considered as a whole and that if as a whole they state the law correctly there is no reversible error even though a part of the instructions considered alone might be erroneous, the appellee urges that any error in instruction No. 6 was cured by the following instructions tendered by the appellant and given to the jury:
No. 7.
“Another charge of negligence in the complaint is failure to stop the escalator with reasonable promptness after the plaintiff’s position of peril should have been known. The Court instructs you that before any verdict could be based on this charge it would have to appear that such delay in stopping the escalator was the proximate cause of the plaintiff’s injury, and if you should believe from the evidence that the plaintiff was injured practically at the instant he fell down, and that his injuries were not materially increased by delay in stopping the escalator, then you would not be justified in basing any verdict against the defendant on this charge of negligence.”
No. 8.
“If you should believe from the evidence that the defendant was guilty of some delay in stopping the escalator after the plaintiff fell, and that such delay somewhat increased the plaintiff’s injuries, you could not base a verdict for the plaintiff on that *103ground as to anything except the extent to which the injuries were thereby increased, and if the evidence does not establish that the delay did increase the injuries, you could not award anything to the plaintiff on account of such delay, even if you find that such delay existed.”
An examination of the appellant’s instructions Nos. 7 and 8 discloses that they relate to the subject of negligence rather than the measure of damages. Both deal with the appellant’s duty to the appellee. Neither informs the jury as to the elements to be taken into consideration in assessing damages if it finds there was a violation of that duty. While these instructions go further than they should have gone with respect to the appellant’s liability and authorize a recovery on grounds not recognized in the principal opinion, we cannot regard them as curing the error in the appellee’s instruction No. 6.
The petition for rehearing is denied.
Roll, J., dissents.
Note.—Reported in 41 N. E. (2d) 195.
Dissenting Opinion
I am unable to agree with the majority opinion. Because of the far reaching results of the rules laid down in the majority opinion, I feel impelled to state my views on the subject.
It will be noted that in the original opinion, the court discussed the question raised by appellant’s motion for judgment on the answers to the interrogatories. In discussing that question, the court set out the four separate acts of negligence charged in the complaint. It was there pointed out that no actionable negligence was proved as charged in the first and second charges, which charges had to do with the choice, construction, *104or manner of operating the escalator. The third charge of negligence had reference to the delay of appellant in stopping the escalator after it knew of appellee’s position. The 'majority opinion pointed out that, “the facts found by the jury conclusively establish that the appellant was not negligent with respect to the choice, construction, or manner of operating the escalator.”
-It is clearly made to appear that by the interrogatories submitted by the court and answered by the jury, that the jury appreciated the fact that appellant was not guilty of any acts of negligence which caused appellee’s initial injury, as charged in the first and second specifications of negligence; and on the other hand the jury was of the opinion that appellee suffered injuries which were the result of appellant’s negligence in failing to use due diligence to stop the escalator, after it had knowledge of appellee’s condition, as charged in the third specification of negligence. This is all very definitely pointed out in the first opinion in this case.
It will also be noted that appellee, in his complaint, very definitely separated the initial injury from the subsequent injuries by the four separate charges of negligence. The evidence introduced at the trial also .emphasized this separation of injuries, and this evidence was effective as disclosed by the answers to the interrogatories. But this is not all. Again this distinction between the initial injuries and the injuries sustained as a result of appellant’s negligence in failing to stop the escalator after appellee’s position of peril was known to it, was very clearly presented to the jury by instructions Nos. 7 and 8, tendered by appellant.
- This brings us to the consideration of instruction No. 6, as discussed by the majority opinion on rehear*105ing. Before discussing the merit of instruction No. 6, it should be observed that appellant made one and only-one objection to this instruction, namely: that said instruction, “improperly included humiliation as an element of damage.”
The only points and authorities urged in appellant’s original brief were directed to this single objection. The majority found that the instruction was not subject to the criticism made against it. Notwithstanding this fact, the majority of the court felt at liberty to reverse the judgment of the trial court upon grounds never urged either in its original brief or reply brief. The court cited only one authority for so doing, and that was the recent case of Keeshin Motor Express Co. v. Glassman (1942), 219 Ind. 538, 38 N. E. (2d) 847, in which opinion I did not concur. Neither did the court in the last cited case find any case to support it. Attorneys in that case as in this case were unable to find authority to support the proposition, and I have made diligent search on my own initiative and have been unable to find such a case. I do not think this practice should be followed, because, if this court is going to examine every instruction objected to by appellant for errors other than those pointed out in appellant’s brief, then appellee must necessarily be put to the task of suggesting in his answer brief every possible objection that could be urged to the instruction, and to meet such possible objection. Otherwise he runs the risk of the court’s reversing the case on a point never urged by appellant to the trial court or this court, and to which objection appellee has never had an opportunity to answer.
The general rule, as I understand it, is that all objections not specifically pointed out by appellant in his brief under points and authorities or discussed in *106his argument, are considered waived, and that appellee in his answer brief has a right to assume that the court will so consider them. The only possible exception to this general rule is, that where there is a general assignment of error, and the error is so apparent and so palpably wrong, that there could be no serious disagreement about the matter, then, in my judgment, the court would be justified in taking notice of such error and reverse the case, even though appellant had not pointed out specifically the real error. For instance, if an instruction, unquestionably erroneous, is given and was objected to by appellant, and he properly saves the question in his motion for a new trial, but in his brief he relies upon some untenable objection, the court might very properly refuse to shut its eyes to the obviously, erroneous instruction, and reverse the case. Appellee could not very well complain of such action by the court because he could not have sustained the instruction, had the proper error been pointed out by appellant in his brief. Consequently, he was not harmed by the action of the court. This court has even refused to go this far in some cases. In the case of P., C., C. & St. L. R. W. Co. v. O'Brien (1895), 142 Ind. 218, 219, 41 N. E. 528, the court said:
“The second paragraph of the complaint is fatally defective in its failure to state that the plaintiff was entitled to possession of the lots. The statute provides that: ‘The plaintiff in his complaint shall state that he is entitled to possession of the premises, particularly describing them, the interest he claims therein, and that the defendant unlawfully keeps him out of possession.’ Burns R. S. 1894, section 1066; R. S. 1881, section 1054; Leary v. Langsdale, 35 Ind. 74; McCarnan v. Cochran, 57 Ind. 166; Vance v. Schroyer, 77 Ind. 501; Levi v. Engle, Admr., 91 Ind. 330; Mansur v. Streight, 103 Ind. 358; Simmons v. Lindley, 108 Ind. 297; Miller v. Shriner, 87 Ind. 141.
*107“Strong as these authorities are in support of the error assigned on the ruling, overruling the demurrer to the second paragraph of the complaint for want of sufficient facts, the appellant has waived it by the failure to discuss the same in its brief.”
But quite a different situation arises, where the question involved is doubtful and questionable. Under such circumstances, I am not persuaded that this court should depart from the general rule and reverse the case on a point not raised by appellant in his brief, and on a point which appellee had no opportunity to be heard. But even had appellant properly questioned the sixth instruction in his brief, the question still remains, is the instruction erroneous, in the light of the facts presented in this case and as hereinbefore pointed out, and in the light of appellant’s instructions Nos. 7 and 8.
The'majority opinion says that instructions 7 and 8 relate to the subject of negligence rather than the measure of damages. I doubt if this assertion is accurate. Both the subject of negligence and damages are mentioned, but not the measure of damages. The measure of damages is set out in No. 6. It is obvious, however, that the court was attempting to get clearly in the minds of the jury that one of the acts of negligence alleged in the complaint was the failure to stop the escalator with reasonable promptness after the plaintiff’s position of peril should have been known. The court then told the jury that if the plaintiff was injured when he fell, and that his injuries were not materially increased by delay in stopping the escalator, then it should not find a verdict for plaintiff on this charge of negligence.
By instruction No. 8, the court in effect told the jury that if it found that the defendant did delay in stopping the escalator after plaintiff fell, and that *108the delay increased plaintiff’s injuries, then it should award plaintiff damages for the increase only. It is difficult for me to conceive how a jury could have been more clearly instructed as to just what injuries the plaintiff- was entitled to recover. If the jury was not confused as to what injuries it was measuring in damages, then instruction No. 6 was not erroneous. It is admitted by the majority opinion that the correct measure of damages was'stated in instruction No. 6 but concluded that instruction No. 6 confused the jury as to the injury for which it was assessing damages. As heretofore pointed out, the initial injury suffered by the fall, was not the result of any fault of appellant, and the jury so found by its answers to the interrogatories. Evidence as to the initial injury was introduced. Also evidence of the increased injury was offered. Plaintiff offered evidence as to how much of his fingers was cut off by the initial injury, and then showed how much additional injury resulted by not stopping the escalator.
When instruction No. 6 is taken in connection with appellant’s own instructions Nos. 7 and 8, and as applied to the facts of this case as they appear from the record, in my judgment instruction No. 6 is not erroneous.
For the reasons above set out, I am unable to concur in the majority opinion.
Note.—Reported in 41 N. E. (2d) 356.
4.2.6.3.2 Questions and Notes on L.S. Ayres 4.2.6.3.2 Questions and Notes on L.S. Ayres
Fun Fact
The principal case references "the priest and Levite who passed by on the other side." This is the Parable of the Good Samaritan in Luke 10:30-37. In the parable, a man has been robbed, beaten, and left helpless on the side of the road. A Jewish priest and a Levite start walking down the road. Both are of high moral stature under the law of Moses, but they cross to the other side and pass the man without helping him. Then a Samaritan approaches. Samaritans and Jews are quite hostile with each other and do not associate. Still, the Samaritan helps the man. Jesus uses the parable to teach a curious lawyer(!) that the one who acted righteously is indeed the Samaritan. While the parable has its own religious significance, Chief Justice Shake uses it to illustrate the principle that while one might have a moral duty to come to another's rescue—to be a "good Samaritan"—one generally does not have a legal duty to do so.
Guiding Questions
- Hicks sued L.S. Ayres for both the initial injury and the subsequent aggravation of that injury. For which is L.S. Ayres held liable?
- Chief Justice Shake notes that there generally is no legal duty to go to another's rescue, yet he holds that L.S. Ayres had just such a duty here. Why the difference in this case?
- Chief Justice Shake points out that the escalator was "under [L.S. Ayres'] control." Why does this matter?
- Recall the notes after Buchanan v. Rose (the bridge collapse case) explaining all the exceptions to the "no-duty" principle. These includes continuing risks of harm, special relationships, voluntary undertakings, etc. The principal case is obviously an exception to the no-duty rule. But under which of those exceptions does it fall? What do you think?
Test Your Knowledge
Cynthia is riding her bike on a neighborhood street. As she crests a hill, a chipmunk darts out from behind a nearby tree. Cynthia swerves to avoid the chipmunk, loses control, and crashes, skidding a ways down the hill and severely injuring her knee. She tries to stand, but doing so causes excruciating pain all down her leg, and she falls back down. Looking around helplessly, she spots Dick who had just come outside to grab his mail. Cynthia shouts for help, but Dick just laughs, grabs his mail, and walks back toward his house. Just then Chad comes flying over the hill in his new Corvette and with no time to react runs over Cynthia, gravely injuring her. Cynthia brings a negligence suit against Dick for utterly failing to help her get out of harm's way. Will Cynthia prevail? Assume the court applies Chief Justice Shake's reasoning in the principal case.
- No, because the squirrel was not an instrumentality in Dick's control and Cynthia was not Dick's invitee.
- No, because Cynthia herself failed to take reasonable steps to get out of danger.
- Yes, because there is a general duty to go to the rescue of another who is in danger.
- Yes, because a person may still be negligent even if the person did not cause the plaintiff's initial injury.
Notes and Further Cases
- Is everything a rescue? Chief Justice Shake twice uses the word "rescue" when describing the duty to render aid. This is a little unfortunate. Yes, many cases about the duty to render aid will involve a factual rescue. But not all will, as shown by a classic case which Chief Justice Shake cites: Depue v. Flatau, 111 N.W. 1 (Minn. 1907), where the landowner banished the ailing cattle buyer into the cold winter's night. In that case, the landowner was held liable not so much for failing to rescue the buyer as for failing to prevent the need for the buyer's rescue at all.
- Negligence and Rescues. When rescue enters the picture, three distinct negligence doctrines may arise: the duty to render aid, liability for voluntary undertakings, and the rescue doctrine. Imagine this: Driver A crashes into B’s car, knocking B unconscious. Bystanders P and Q rush to help. Seeing them, A flees.
- At that moment, A breaches a duty to B—not for the crash itself, but for failing to prevent further harm after placing B in danger. This is the affirmative duty to render aid. See Restatement (Second) of Torts § 322 (1965), and we can say it derives from A's relationship to B and their involvement in producing the B's initial harm.
- P and Q begin to help B, but P abandons the effort midway, leaving Q alone. Though neither had a duty initially, their voluntary undertaking to rescue imposes a duty to act reasonably and not worsen B’s position. See Restatement (Second) § 324; Restatement (Third) § 44. P thus may have breached his duty by walking away.
- As Q struggles alone, leaking fuel ignites and injures her. A may now be liable to Q under the rescue doctrine, which holds that tortfeasors may be liable to third-party rescuers harmed while responding to the danger they created. See Restatement (Third) § 32. As Cardozo put it: “Danger invites rescue. The cry of distress is the summons of relief.” Wagner v. Int’l Ry. Co., 133 N.E. 437, 437 (N.Y. 1921). In our scenario it would make no difference if A had never seen the bystanders coming to rescue B; he would be "accountable as if he had." Id. at 438. We will come back to the rescue doctrine later in this book, for it involves other negligence doctrines we've yet to study.
4.2.6.4 Duties Concerning Third Parties 4.2.6.4 Duties Concerning Third Parties
4.2.6.4.1 Preface to Duties Concerning Third Parties 4.2.6.4.1 Preface to Duties Concerning Third Parties
We've come to the final section in our unit on duties: duties concerning third parties. These are affirmative duties of care. They almost invariably arise because of a relationship between the defendant and the third party, so conceptually they would fall within the Special Relationships exception to the no-duty principle.
The nature of the duty is that the defendant must in some manner prevent the third party from harming a potential plaintiff. In all such cases, the defendant (1) must in fact know or reasonably should know of the third party's risk of causing harm and (2) must have or reasonably should have the capacity to control the third party. As for what relationships qualify, the Restatement (Second) gives the leading examples:
- Parents and children. Parents have a duty to control the conduct of their children to prevent them from harming or unreasonably risking harm to a potential plaintiff. See Restatement (Second) of Torts § 316 (1965). In a classic case from the prairie, a 13-year-old in South Dakota was infamous for being careless with a rifle, but his parents did nothing about it. One day he strode over to a farmhand who was watering her horse and, against the farmhand's entreaties, fired the gun next to the horse. The horse—considerably spooked—took off, entangling the farmhand in its lead and dragging her a considerable distance across the prairie. The parents were liable. See Johnson v. Glidden, 76 N.W. 933 (S.D. 1898). Note here that the parents are not vicariously liable for what the child did. They were liable for their own failure to prevent the harm by controlling their child.
- Employers and employees. Employers have a similar duty to control the conduct of their employees outside the scope of employment if the employee is still on the workplace's premises or is using something belonging to the employer. If the employee is acting within the scope of employment, the employer may be held liable simply through vicarious liability (meaning that the action of the employee is attributable back to the employer as if it was its own action). See Restatement (Second) of Torts § 317 (1965). We will discuss this matter further when we get to the doctrine of Respondeat Superior (Latin for "let the master answer").
- Property owners and users of the property. Owners of property (whether land or chattel) have a similar duty to control the conduct of those whom they allow to use the property. See Restatement (Second) of Torts § 318 (1965). Another classic case: In 1929 defendant allowed eight rowdy boys to take his automobile on a joyride between Northampton and Amherst, Massachusetts. Two rode up front, four rode in the back, and two sat on the roof. All eight sang and waved and shouted at everyone they passed by. When they drove by the defendant, he scolded them to act appropriately. They stopped, but after only a short time they resumed their antics. When they entered Amherst, one of the boys on the roof (while waving) accidentally clotheslined a pedestrian. The defendant was liable. See Wheeler v. Darmochwat, 183 N.E. 55 (Mass. 1932).
- Guardians and those in their custody. Those who take custody over a person so as to deprive that person of their normal capacity for self-protection have a duty to control the conduct of that person while in custody. See Restatement (Second) of Torts § 320 (1965). This is a sort of a catchall category, applying to the range of narrower scenarios that, although rare, do arise. One such scenario is a defendant acting in loco parentis, like a school to its students. Another is a prison guard with prisoners, or a police officer with arrestees. The duty thus extends to those who are prone to the use of physical violence, see id., § 319, but it would also include those who would pose a threat of harm merely by being present around others. The quintessential example is a medical patient with an infectious, dangerous disease. See, e.g., Mo., K. & T. Ry. Co. v. Wood, 66 S.W. 449 (Tex. 1902) (smallpox).
The result is sometimes called a "duty to control third party conduct" or a "duty to prevent." And this is often apt: The prison guard, in controlling the conduct of prisoners, prevents the prisoners from harming potential plaintiffs. Other times, however, you will see courts use the phrase "duty to warn." A doctor, for example, may have a duty to warn an infectious disease patient's family about the patient's risk of spreading the disease to them. Here it's a bit harder to see how the doctor is "controlling" or "preventing" the patient's conduct. One answer may be to broaden the scope of control/prevention; the defendant, in warning the plaintiff, controls (or prevents) the risk of harm the third party would pose absent the warning. The only difference is the directness of the means.
Either way, the duty is of the defendant to the plaintiff but is about a third party. Thus, in the title of this section—Duties Concerning Third Parties—"concerning" is used deliberately; there are a host of duties stemming from the defendant's relationship with a third party, whether or not they ultimately are labeled duties to control, prevent, warn, etc. Referring just to the labels may help illuminate the substance of the duty, but it obscures the thing that creates the duty in the first place: the relationship between the defendant and the third party. So, in the cases that follow, always keep in mind who the defendant, plaintiff, and the third-party are. Then ask yourself whether the defendant and the third party have a special relationship, since that is what creates the duty (whatever label the duty is given).
One aspect of the duty we will not discuss at length is the duty of bystanders, say the duty of a former employer to share information about a former employee who is a serial harasser. For more on that duty see Gilat J. Bachar, Informed Bystanders’ Duty to Warn, 109 Minn. L. Rev. 75 (2024).
4.2.6.4.2 Tarasoff v. Regents of the University of California 4.2.6.4.2 Tarasoff v. Regents of the University of California
The Mental Health Duty to Warn Case
[S.F. No. 23042.
July 1, 1976.]
VITALY TARASOFF et al., Plaintiffs and Appellants, v. THE REGENTS OF THE UNIVERSITY OF CALIFORNIA et al., Defendants and Respondents.
*429Counsel
George Alexander McKray for Plaintiffs and Appellants.
Robert E. Cartwright, Floyd A. Demanes, William H. Tally, Edward I. Pollock, Leonard Sacks, Stephen I. Zetterberg, Sanford M. Gage, Robert O. Angle and Melanie Bellah as Amici Curiae on behalf of Plaintiffs and Appellants.
Ericksen, Ericksen, Lynch, Mackenroth & Arbuthnot, Ericksen, Erick-sen, Lynch & Mackenroth, Ericksen, Ericksen, Lynch, Young & Mack-
*430enroth, William R. Morton, Richard G. Logan, Hanna, Brophy, MacLean, McAleer & Jensen, Hanna & Brophy and James V. Burchell for Defendants and Respondents.
Evelle J. Younger, Attorney General, James E. Sabine, Assistant Attorney General, John M. Morrison and Thomas K. McGuire, Deputy Attorneys General, John H. Larson, County Counsel (Los Angeles), Daniel D. Mikesell, Jr., Deputy County Counsel, Richard J. Moore, County Counsel (Alameda), Charles L. Harrington, Deputy County Counsel, Musick, Peeler & Garrett, James E. Ludlam, Severson, Werson, Berke & Melchior, Kurt W. Melchior, Nicholas S. Freud and Jan. T. Chilton as Amici Curiae on behalf of Defendants and Respondents.
Opinion
On October 27, 1969, Prosenjit Poddar killed Tatiana Tarasoff.1 Plaintiffs, Tatiana’s parents, allege that two months earlier Poddar confided his intention to kill Tatiana to Dr. Lawrence Moore, a psychologist employed by the Cowell Memorial Hospital at the University of California at Berkeley. They allege that on Moore’s request, the campus police briefly detained Poddar, but released him when he appeared rational. They further claim that Dr. Harvey Powelson, Moore’s superior, then directed that no further action be taken to detain Poddar. No one warned plaintiffs of Tatiana’s peril.
Concluding that these facts set forth causes of action against neither therapists and policemen involved, nor against the Regents of the University of California as their employer, the superior court sustained defendants’ demurrers to plaintiffs’ second amended complaints without leave to amend.2 This appeal ensued.
*431Plaintiffs’ complaints predicate liability on two grounds: defendants’ failure to warn plaintiffs of the impending danger and their failure to bring about Poddar’s confinement pursuant to the Lanterman-Petris-Short Act (Welf. & Inst. Code, § 5000 ff.) Defendants, in turn, assert that they owed no duty of reasonable care to Tatiana and that they are immune from suit under the California Tort Claims Act of 1963 (Gov. Code, § 810 ff.).
We shall explain that defendant therapists cannot escape liability merely because Tatiana herself was npt their patient. (1) When a therapist determines, or pursuant to the standards of his profession should determine, that his patient presents a serious danger of violence to another, he incurs an obligation to use reasonable care to protect the intended victim against such danger. The discharge of this duty may require the therapist to take one or more of various steps, depending upon the nature of the case. Thus it may call for him to warn the intended victim or others likely to apprise the victim of the danger, to notify the police, or to take whatever other steps are reasonably necessary under the circumstances.
In the case at bar, plaintiffs admit that defendant therapists notified the police, but argue on appeal that the therapists failed to exercise reasonable care to protect Tatiana in that they did not confine Poddar and did not warn Tatiana or others likely to apprise her of the danger. Defendant therapists, however, are public employees. Consequently, to the extent that plaintiffs seek to predicate liability upon the therapists’ failure to bring about Poddar’s confinement, the therapists can claim immunity under Government Code section 856. No specific statutory provision, however, shields them from liability based upon failure to warn Tatiana or others likely to apprise her of the danger, and Government Code section 820.2 does not protect such failure as an exercise of discretion.
Plaintiffs therefore can amend their complaints to allege that, regardless of the therapists’ unsuccessful attempt to confine Poddar, since they knew that Poddar was at large and dangerous, their failure to warn Tatiana or others likely to apprise her of the danger constituted a breach of the therapists’ duty to exercise reasonable care to protect Tatiana.
Plaintiffs, however, plead no relationship between Poddar and the police defendants which would impose upon them any duty to Tatiana, and plaintiffs suggest no other basis for such a duty. Plaintiffs have, *432therefore, failed to show that the trial court erred in sustaining the demurrer of the police defendants without leave to amend.
1. Plaintiffs’complaints
Plaintiffs, Tatiana’s mother and father, filed separate but virtually identical second amended complaints. The issue before us on this appeal is whether those complaints now state, or can be amended to state, causes of action against defendants. We therefore begin by setting forth the pertinent allegations of the complaints.3
Plaintiffs’ first cause of action, entitled “Failure to Detain a Dangerous Patient,” alleges that on August 20, 1969, Poddar was a voluntary outpatient receiving therapy at Cowell Memorial Hospital. Poddar informed Moore, his therapist, that he was going to kill an unnamed girl, readily identifiable as Tatiana, when she returned home from spending the summer in Brazil. Moore, with the concurrence of Dr. Gold, who had initially examined Poddar, and Dr. Yandell, assistant to the director of the department of psychiatry, decided that Poddar should be committed for observation in a mental hospital. Moore orally notified Officers Atkinson and Teel of the campus police that he would request commitment. He then sent a letter to Police Chief William Beall requesting the assistance of the police department in securing Poddar’s confinement.
Officers Atkinson, Brownrigg, and Halleran took Poddar into custody, but, satisfied that Poddar was rational, released him on his promise to stay away from Tatiana. Powelson, director of the department of psychiatry at Cowell Memorial Hospital, then asked the police to return Moore’s letter, directed that all copies of the letter and notes that Moore had taken as therapist be destroyed, and “ordered no action to place Prosenjit Poddar in 72-hour treatment and evaluation facility.”
*433Plaintiffs’ second cause of action, entitled “Failure to Warn On a Dangerous Patient,” incorporates the allegations of the first cause of action, but adds the assertion that defendants negligently permitted Poddar to be released from police custody without “notifying the parents of Tatiana Tarasoff that their daughter was in grave danger from Posenjit Poddar.” Poddar persuaded Tatiana’s brother to share an apartment with him near Tatiana’s residence; shortly after her return from Brazil, Poddar went to her residence and killed her.
Plaintiffs’ third cause of action, entitled “Abandonment of a Dangerous Patient,” seeks $10,000 punitive damages against defendant Powelson. Incorporating the crucial allegations of the first cause of action, plaintiffs charge that Powelson “did the things herein alleged with intent to abandon a dangerous patient, and said acts were done maliciously and oppressively.”
Plaintiffs’ fourth cause of action, for “Breach of Primary Duty to Patient and the Public,” states essentially the same allegations as the first cause of action, but seeks to characterize defendants’ conduct as a breach of duty to safeguard their patient and the public. Since such conclusory labels add nothing to the factual allegations of the complaint, the first and fourth causes of action are legally indistinguishable.
As we explain in part 4 of this opinion, plaintiffs’ first and fourth causes of action, which seek to predicate liability upon the defendants’ failure to bring about Poddar’s confinement, are barred by governmental immunity. Plaintiffs’ third cause of action succumbs to the decisions precluding exemplary damages in a wrongful death action. (See part 6 of this opinion.) We direct our attention, therefore, to the issue of whether plaintiffs’ second cause of action can be amended to state a basis for recovery.
2. Plaintiffs can state a cause of action against defendant therapists for negligent failure to protect Tatiana.
The second cause of action can be amended to allege that Tatiana’s death proximately resulted from defendants’ negligent failure to warn Tatiana or others likely to apprise her of her danger. Plaintiffs contend that as amended, such allegations of negligence and proximate causation, with resulting damages, establish a cause of action. Defendants, however, contend that in the circumstances of the present case they owed no duty of care to Tatiana or her parents and that, in the absence of such *434duty, they were free to act in careless disregard of Tatiana’s life and safety.
In analyzing this issue, we bear in mind that legal duties are not discoverable facts of nature, but merely conclusoiy expressions that, in cases of a particular type, liability should be imposed for damage done. As stated in Dillon v. Legg (1968) 68 Cal.2d 728, 734 [69 Cal.Rptr. 72, 441 P.2d 912, 29 A.L.R.3d 1316]: “The assertion that liability must ... be denied because defendant bears no ‘duty’ to plaintiff ‘begs the essential question—whether the plaintiff’s interests are entitled to legal protection against the defendant’s conduct... . [Duty] is not sacrosanct in itself, but only an expression of the sum total of those considerations of policy which lead the law to say that the particular plaintiff is entitled to protection.’ (Prosser, Law of Torts [3d ed. 1964] at pp. 332-333.)”
In the landmark case of Rowland v. Christian (1968) 69 Cal.2d 108 [70 Cal.Rptr. 97, 443 P.2d 561, 32 A.L.R.3d 496], Justice Peters recognized that liability should be imposed “for injury occasioned to another by his want of ordinary care or skill” as expressed in section 1714 of the Civil Code. Thus, Justice Peters, quoting from Heaven v. Pender (1883) 11 Q.B.D, 503, 509 stated: “ ‘whenever one person is by circumstances placed in such a position with regard to another . .. that if he did not use ordinary care and skill in his own conduct... he would cause danger of injury to the person or property of the other, a duty arises to use ordinary care and skill to avoid such danger.’ ”
We depart from “this fundamental principle” only upon the “balancing of a number of considerations”; major ones “are the foreseeability of harm to the plaintiff, the degree of certainty that the plaintiff suffered injury, the closeness of the connection between the defendant’s conduct and the injury suffered, the moral blame attached to the defendant’s conduct, the policy of preventing future harm, the extent of the burden to the defendant and consequences to the community of imposing a duty to exercise care with resulting liability for breach, and the availability, cost and prevalence of insurance for the risk involved.”4
The most important of these considerations in establishing duty is foreseeability. As a general principle, a “defendant owes a duty of *435care to all persons who are foreseeably endangered by his conduct, with respect to all risks which make the conduct unreasonably dangerous.” (Rodriguez v. Bethlehem Steel Corp. (1974) 12 Cal.3d 382, 399 [115 Cal.Rptr. 765, 525 P.2d 669]; Dillon v. Legg, supra, 68 Cal.2d 728, 739; Weirum v. RKO General, Inc. (1975) 15 Cal.3d 40 [123 Cal.Rptr. 468, 539 P.2d 36]; see Civ. Code, § 1714.) As we shall explain, however, when the avoidance of foreseeable harm requires a defendant to control the conduct of another person, or to warn of such conduct, the common law has traditionally imposed liability only if the defendant bears some special relationship to the dangerous person or to the potential victim. Since the relationship between a therapist and his patient satisfies this requirement, we need not here decide whether foreseeability alone is sufficient to create a duty to exercise reasonable care to protect a potential victim of another’s conduct.
Although, as we have stated above, under the common law, as a general rule, one person owed no duty to control the conduct of another5 (Richards v. Stanley (1954) 43 Cal.2d 60, 65 [271 P.2d 23]; Wright v. Arcade School Dist. (1964) 230 Cal.App.2d 272, 277 [40 Cal.Rptr. 812]; Rest.2d Torts (1965) § 315), nor to warn those endangered by such conduct (Rest.2d Torts, supra, § 314, com. c.; Prosser, Law of Torts (4th ed. 1971) § 56, p. 341), the courts have carved out an exception to this rule in cases in which the defendant stands in some special relationship to either the person whose conduct needs to be controlled or in a relationship to the foreseeable victim of that conduct (see Rest.2d Torts, supra, §§ 315-320). Applying this exception to the present case, we note that a relationship of defendant therapists to either Tatiana or Poddar will suffice to establish a duty of care; as explained in section 315 of the Restatement Second of Torts, a duty of care may arise from either “(a) a special relation . . . between the actor and the third person which imposes a duty upon the actor to control the third person’s conduct, or (b) a special relation . . . between the actor and the other which gives to the other a right of protection.”
*436Although plaintiffs’ pleadings assert no special relation between Tatiana and defendant therapists, they establish as between Poddar and defendant therapists the special relation that arises between a patient and his doctor or psychotherapist.6 Such a relationship may support affirmative duties for the benefit of third persons. Thus, for example, a hospital must exercise reasonable. care to control the behavior of a patient which may endanger other persons.7 A doctor must also warn a patient if the patient’s condition or medication renders certain conduct, such as driving a car, dangerous to others.8
Although the California decisions that recognize this duty have involved cases in which the defendant stood in a special relationship both to the victim and to the person whose conduct created the danger,9 we do not think that the duty should logically be constricted to such situations. Decisions, of other jurisdictions hold that the single relationship of a doctor to his patient is sufficient to support the duty to exercise reasonable care to protect others against dangers emanating from the patient’s illness. The courts hold that a doctor is liable to persons *437infected by his patient if he negligently fails to diagnose a contagious disease (Hofmann v. Blackmon (Fla.App. 1970) 241 So.2d 752), or, having diagnosed the illness, fails to warn members of the patient’s family (Wojcik v. Aluminum Co. of America (1959) 18 Misc.2d 740 [183 N.Y.S.2d 351, 357-358]; Davis v. Rodman (1921) 147 Ark. 385 [227 S.W. 612, 13 A.L.R. 1459]; Skillings v. Allen (1919) 143 Minn. 323 [173 N.W. 663, 5 A.L.R. 922]; see also Jones v. Stanko (1928) 118 Ohio St. 147 [6 Ohio L.Abs. 77, 160 N.E. 456]).
Since it involved a dangerous mental patient, the decision in Merchants Nat. Bank & Trust Co. of Fargo v. United States (D.N.D. 1967) 272 F.Supp. 409 comes closer to the issue. The Veterans Administration arranged for the patient to work on a local farm, but did not inform the farmer of the man’s background. The farmer consequently permitted the patient to come and go freely during nonworking hours; the patient borrowed a car, drove to his wife’s residence and killed her. Notwithstanding the lack of any “special relationship” between the Veterans Administration and the wife, the court found the Veterans Administration liable for the wrongful death of the wife.
In their summary of the relevant rulings Fleming and Maximov conclude that the “case law should dispel any notion that to impose on the therapists a duty to take precautions for the safety of persons threatened by a patient, where due care so requires, is in any way opposed to contemporary ground rules on the duty relationship. On the contrary, there now seems to be sufficient authority to support the conclusion that by entering into a doctor-patient relationship the therapist becomes sufficiently involved to assume some responsibility for the safety, not only of the patient himself, but also of any third person whom the doctor knows to be threatened by the patient.” (Fleming & Maximov, The Patient or His Victim: The Therapist’s Dilemma (1974) 62 Cal.L. Rev. 1025, 1030.)
Defendants contend, however, that imposition of a duty to exercise reasonable care to protect third persons is unworkable because therapists cannot accurately predict whether or not a patient will resort to violence. In support of this argument amicus representing the American Psychiatric Association and other professional societies cites numerous articles which indicate that therapists, in the present state of the art, are unable reliably to predict violent acts; their forecasts, amicus claims, tend consistently to overpredict violence, and indeed are more often wrong *438than right.10 Since predictions of violence are often erroneous, amicus concludes, the courts should not render rulings that predicate the liability of therapists upon the validity of such predictions.
The role of the psychiatrist, who is indeed a practitioner of medicine, and that of the psychologist who performs an allied function, are like that of the physician who must conform to the standards of the profession and who must often make diagnoses and predictions based upon such evaluations. Thus the judgment of the therapist in diagnosing emotional disorders and in predicting whether a patient presents a serious danger of violence is comparable to the judgment which doctors and professionals must regularly render under accepted rules of responsibility.
We recognize the difficulty that a therapist encounters in attempting to forecast whether a patient presents a serious danger of violence. Obviously, we do not require that the therapist, in making that determination, render a perfect performance; the therapist need only exercise “that reasonable degree of skill, knowledge, and care ordinarily possessed and exercised by members of [that professional specialty] under similar circumstances.” (Bardessono v. Michels (1970) 3 Cal.3d 780, 788 [91 Cal.Rptr. 760, 478 P.2d 480, 45 A.L.R.3d 717]; Quintal v. Laurel Grove Hospital (1964) 62 Cal.2d 154, 159-160 [41 Cal.Rptr. 577, 397 P.2d 161]; see 4 Witkin, Summary of Cal. Law (8th ed. 1974) Torts, § 514 and cases cited.) Within the broad range of reasonable practice and treatment in which professional opinion and judgment may differ, the therapist is free to exercise his or her own best judgment without liability; proof, aided by hindsight, that he or she judged wrongly is insufficient to establish negligence.
In the instant case, however, the pleadings do not raise any question as to failure of defendant therapists to predict that Poddar presented a serious danger of violence. On the contrary, the present complaints allege that defendant therapists did in fact predict that Poddar would kill, but were negligent in failing to warn.
*439Amicus contends, however, that even when a therapist does in fact predict that a patient poses a serious danger of violence to others, the therapist should be absolved of any responsibility for failing to act to protect the potential victim. In our view, however, once a therapist does in fact determine, or under applicable professional standards reasonably should have determined, that a patient poses a serious danger of violence to others, he bears a duty to exercise reasonable care to protect the foreseeable victim of that danger. While the discharge of this duty of due care will necessarily vary with the facts of each case,11 in each instance the adequacy of the therapist’s conduct must be measured against the traditional negligence standard of the rendition of reasonable care under the circumstances. (Accord Cobbs v. Grant (1972) 8 Cal.3d 229, 243 [104 Cal.Rptr. 505, 502 P.2d 1].) As explained in Fleming and Maximov, The Patient or His Victim: The Therapist’s Dilemma (1974) 62 Cal.L.Rev. 1025, 1067: “. . . the ultimate question of resolving the tension between the conflicting interests of patient and potential victim is one of social policy, not professional expertise. ... In sum, the therapist owes a legal duty not only to his patient, but also to his patient’s would-be victim and is subject in both respects to scrutiny by judge and jury.”
Contrary to the assertion of amicus, this conclusion is not inconsistent with our recent decision in People v. Burnick, supra, 14 Cal.3d 306. Taking note of the uncertain character of therapeutic prediction, we held in Burnick that a person cannot be committed as a mentally disordered sex offender unless found to be such by proof beyond a reasonable doubt. (14 Cal.3d at p. 328.) The issue in the present context, however, is not whether the patient should be incarcerated, but whether the therapist should take any steps at all to protect the threatened victim; some of the alternatives open to the therapist, such as warning the victim, will not result in the drastic consequences of depriving the patient of his liberty. Weighing the uncertain and conjectural character of the alleged damage done the patient by such a warning against the peril to the victim’s life, we conclude that professional inaccuracy in predicting violence cannot negate the therapist’s duty to protect the threatened victim.
*440The risk that unnecessary warnings may be given is a reasonable price to pay for the lives of possible victims that may be saved. We would hesitate to hold that the therapist who is aware that his patient expects to attempt to assassinate the President of the United States would not be obligated to warn the authorities because the therapist cannot predict with accuracy that his patient will commit the crime.
Defendants further argue that free and open communication is essential to psychotherapy (see In re Lifschutz (1970) 2 Cal.3d 415, 431-434 [85 Cal.Rptr. 829, 467 P.2d 557, 44 A.L.R.3d 1]); that “Unless a patient... is assured that... information [revealed by him] can and will be held in utmost confidence, he will be reluctant to make the full disclosure upon which-diagnosis and treatment... depends.” (Sen. Com. on Judiciary, comment on Evid. Code, § 1014.) The giving of a warning, defendants contend, constitutes a breach of trust which entails the revelation of confidential communications.12
We recognize the public interest in supporting effective treatment of mental illness and in protecting the rights of patients to privacy (see In re Lifschutz, supra, 2 Cal.3d at p. 432), and the consequent public importance of safeguarding the confidential character of psychotherapeutic communication. Against this interest, however, we must weigh the public interest in safety from violent assault. The Legislature has undertaken the difficult task of balancing the countervailing concerns. In Evidence Code section 1014, it established a broad rule of privilege to protect confidential communications between patient and psychothera*441pist. In Evidence Code section 1024, the Legislature created a specific and limited exception to the psychotherapist-patient privilege': “There is no privilege ... if the psychotherapist has reasonable cause to believe that the patient is in such mental or emotional condition as to be dangerous to himself or to the person or property of another and that disclosure of the communication is necessary to prevent the threatened danger.”13
We realize that the open and confidential character of psychotherapeutic dialogue encourages patients to express threats of violence, few of which are ever executed. Certainly a therapist should not be encouraged routinely to reveal such threats; such disclosures could seriously disrupt the patient’s relationship with his therapist and with the persons threatened. To the contrary, the therapist’s obligations to his patient require that he not disclose a confidence unless such disclosure is necessary to avert danger to others, and even then that he do so discreetly, and in a fashion that would preserve the privacy of his patient to the fullest extent compatible with the prevention of the threatened danger. (See Fleming & Maximov, The Patient or His Victim: The Therapist’s Dilemma (1974) 62 Cal.L.Rev. 1025, 1065-1066.)14
The revelation of a communication under the above- circumstances is not a breach of trust or a violation of professional ethics; as stated in the Principles of Medical Ethics of the American Medical Association (1957), section 9: “A physician may not reveal the confidence entrusted to him in the course of medical attendance .. . unless he is required to do so by law or unless it becomes necessary in order to protect the welfare of *442 the individual or of the community.” 15 (Italics added.) We conclude that the public policy favoring protection of the confidential character of patient-psychotherapist communications must yield to the extent to which disclosure is essential to avert danger to others. The protective privilege ends where the public peril begins.
Our current crowded and computerized society compels the interdependence of its members. In this risk-infested society we can hardly tolerate the further exposure to danger that would result from a concealed knowledge of the therapist that his patient was lethal. If the exercise of reasonable care to protect the threatened victim requires the therapist to warn the endangered party or those who can reasonably be expected to notify him, we see no sufficient societal interest that would protect and justify concealment. The containment of such risks lies in the public interest. For the foregoing reasons, we find that plaintiffs’ complaints can be amended to state a cause of action against defendants Moore, Powelson, Gold, and Yandell and against the Regents as their employer, for breach of a duty to exercise reasonable care to protect Tatiana.16
Finally, we reject the contention of the dissent that the provisions of the Lanterman-Petris-Short Act which govern the release of confidential information (Welf. & Inst. Code, §§ 5328-5328.9) prevented defendant therapists from warning Tatiana. The dissent’s contention rests on the assertion that Dr. Moore’s letter to the campus police constituted an “application in writing” within the meaning of Welfare and Institutions Code section 5150, and thus initiates proceedings under the Lanterman-Petris-Short Act. A closer look at the terms of section 5150, however, will demonstrate that it is inapplicable to the present case.
Section 5150 refers to a written application only by a professional person who is “a member of the attending staff ... of an evaluation *443facility designated by the county,” or who is himself “designated by the county” as one authorized to take a person into custody and place him in a facility designated by the county and approved by the State Department of Mental Hygiene. The complaint fails specifically to allege that Dr. Moore was so empowered. Dr. Moore and the Regents cannot rely upon any inference to the contrary that might be drawn from plaintiff’s allegation that Dr. Moore intended to “assign” a “detention” on Poddar; both Dr. Moore and the Regents have expressly conceded that neither Cowell Memorial Hospital nor any member of its staff has ever been designated by the County of Alameda to institute involuntary commitment proceedings pursuant to section 5150.
Furthermore, the provisions of the Lanterman-Petris-Short Act defining a therapist’s duty to withhold confidential information are expressly limited to “information and records obtained in the course of providing services under Division 5 (commencing with section 5000), Division 6 (commencing with section 6000), or Division 7 (commencing with section 7000)” of the Welfare arid Institutions Code (Welf. & Inst. Code, § 5328). (Italics added.) Divisions 5, 6 and 7 describe a variety of programs for treatment of the mentally ill or retarded.17 The pleadings at issue on this appeal, however, state no facts showing that the psychotherapy provided to Poddar by the Cowell Memorial Hospital falls under any of these programs. We therefore conclude that the Lanterman-Petris-Short Act does not govern the release of information acquired by Moore during the course of rendition of those services.
Neither can we adopt the dissent’s suggestion that we import wholesale the detailed provisions of the Lanterman-Petris-Short Act regulating the disclosure of confidential information and apply them to disclosure of information not governed by the act. Since the Legislature did not extend the act to control all disclosures of confidential matter by a therapist, we must infer that the Legislature did not relieve the courts of their obligation to define by reference to the principles of the common law the obligation of the therapist in those situations not governed by the act.
*444Turning now to the police defendants, we conclude that they do not have any such special relationship to either Tatiana or to Poddar sufficient to impose upon such defendants a duty to warn respecting Poddar’s violent intentions. (See Hartzler v. City of San Jose (1975) 46 Cal.App.3d 6, 9-10 [120 Cal.Rptr. 5]; Antique Arts Corp. v. City of Torrance (1974) 39 Cal.App.3d 588, 593 [114 Cal.Rptr. 332].) Plaintiffs suggest no theory,18 and plead no facts that give rise to any duty to warn on the part of the police defendants absent such a special relationship. They have thus failed to demonstrate that the trial court erred in denying leave to amend as to the police defendants. (See Cooper v. Leslie Salt Co. (1969) 70 Cal.2d 627, 636 [75 Cal.Rptr. 766, 451 P.2d 406]; Filice v. Boccardo (1962) 210 Cal.App.2d 843, 847 [26 Cal.Rptr. 789].)
3. Defendant therapists are not immune from liability for failure to
warn.
We address the issue of whether defendant therapists are protected by governmental immunity for having failed to warn Tatiana or those who reasonably could have been expected to notify her of her peril. We postulate our analysis on section 820.2 of the Government Code.19 That provision declares, with exceptions not applicable here, that “a public employee is not liable for an injury resulting from his act or omission where the act or omission was the result of the exercise of the discretion vested in him, whether or not such discretion [was] abused.”20
*445Noting that virtually every public act admits of some element of discretion, we drew the line in Johnson v. State of California (1968) 69 Cal.2d 782 [73 Cal.Rptr. 240, 447 P.2d 352], between discretionary policy decisions which enjoy statutory immunity and ministerial administrative acts which do not. We concluded that section 820.2 affords immunity only for “basic policy decisions.” (Italics added.) (See also Elton v. County of Orange (1970) 3 Cal.App.3d 1053, 1057-1058 [84 Cal.Rptr. 27]; 4 Cal. Law Revision Com. Rep. (1963) p. 810; Van Alstyne, Supplement to Cal. Government Tort liability (Cont. Ed. Bar 1969) § 5.54, pp. 16-17; Comment, California Tort Claims Act: Discretionary Immunity (1966) 39 So.Cal.L.Rev. 470, 471; cf. James, Tort Liability of Governmental Units and Their Officers (1955) 22 U.Chi.L.Rev. 610, 637-638, 640, 642, 651.)
We also observed that if courts did not respect this statutory immunity, they would find themselves “in the unseemly position of determining the propriety of decisions expressly entrusted to a coordinate branch of government.” (Johnson v. State of California, supra, at p. 793.) It therefore is necessary, we concluded, to “isolate those areas of quasi-legislative policy-making which are sufficiently sensitive to justify a blanket rule that courts will not entertain a tort action alleging that careless conduct contributed to the governmental decision.” (Johnson v. State of California, supra, at p. 794.) After careful analysis we rejected, in Johnson, other rationales commonly advanced to support governmental immunity21 and concluded that the immunity’s scope should be no greater than is required to give legislative and executive policymakers sufficient breathing space in which to perform their vital policymaking functions.
Relying on Johnson, we conclude that defendant therapists in the present case are not immune from liability for their failure to warn of Tatiana’s peril. Johnson held that a parole officer’s determination whether to warn an adult couple that their prospective foster child had a background of violence “presented] no . . . reasons for immunity” (Johnson v. State of California, supra, at p. 795), was “at the lowest, *446ministerial rung of official action” (id., at p. 796), and indeed constituted “a classic case for the imposition of tort liability.” (Id., p. 797; cf. Morgan v. County of Yuba, supra, 230 Cal.App.2d 938, 942-943.) Although defendants in Johnson argued that the decision whether to inform the foster parents of the child’s background required the exercise of considerable judgmental skills, we concluded that the state was not immune from liability for the parole officer’s failure to warn because such a decision did not rise to the level of a “basic policy decision.”
We also noted in Johnson that federal courts have consistently categorized failures to warn of latent dangers as falling outside the scope of discretionary omissions immunized by the Federal Tort Claims Act.22 (See United Air Lines, Inc. v. Wiener (9th Cir. 1964) 335 F.2d 379, 397-398, cert. den. sub nom. United Air Lines, Inc. v. United States, 379 U.S. 951 [13 L.Ed.2d 549, 85 S.Ct. 452] (decision to conduct military training flights was discretionary but failure to warn commercial airline was not); United States v. State of Washington (9th Cir. 1965) 351 F.2d 913, 916 (decision where to place transmission lines spanning canyon was assumed to be discretionary but failure to warn pilot was not); United States v. White (9th Cir. 1954) 211 F.2d 79, 82 (decision not to “dedud” army firing range assumed to be discretionaiy but failure to warn person about to go onto range of unsafe condition was not); Bulloch v. United States (D.Utah 1955) 133 F.Supp. 885, 888 (decision how and when to conduct nuclear test deemed discretionary but failure to afford proper notice was not); Hernandez v. United States (D.Hawaii 1953) 112 F.Supp. 369, 371 (decision to erect road block characterized as discretionary but failure to warn of resultant hazard was not).
We conclude, therefore, that the therapist defendants’ failure to warn Tatiana or those who reasonably could have been expected to notify her of her peril does not fall within the absolute protection afforded by section 820.2 of the Government Code. We emphasize that our conclu*447sion does not raise the specter of therapists employed by the government indiscriminately being held liable for damage despite their exercise of sound professional judgment. We require of publicly employed therapists only that quantum of care which the common law requires of private therapists. The imposition of liability in those rare cases in which a public employee falls short of this standard does not contravene the language or purpose of Government Code section 820.2.
4. Defendant therapists are immune from liability for failing to
confine Poddar.
We sustain defendant therapists’ contention that Government Code section 856 insulates them from liability under plaintiffs’ first and fourth causes of action for failing to confine Poddar. Section 856 affords public entities and their employees absolute protection from liability for “any injury resulting from determining in accordance with any applicable enactment.. . whether to confine a person for mental illness.” Since this section refers to a determination to confine “in accordance with any applicable enactment,” plaintiffs suggest that the immunity is limited to persons designated under Welfare and Institutions Code section 5150 as authorized finally to adjudicate a patient’s confinement. Defendant therapists, plaintiffs point out, are not among the persons designated under section 5150.
The language and legislative history of section 856, however, suggest a far broader immunity. In 1963, when section 856 was enacted, the Legislature had not established the statutoiy structure of the Lanterman-Petris-Short Act. Former Welfare and Institutions Code section 5050.3 (renumbered as Welf. & Inst. Code, § 5880; repealed July 1, 1969) which resembled present section 5150, authorized emergency detention at the behest only of peace officers, health officers, county physicians, or assistant county physicians; former section 5047 (renumbered as Welf. & Inst. Code, § 5551; repealed July 1, 1969), however, authorized a petition seeking commitment by any person, including the “physician attending the patient.” The Legislature did not refer in section 856 only to those persons authorized to institute emergency proceedings under section 5050.3; it broadly extended immunity to all employees who acted in accord with “any applicable enactment,” thus granting immunity not only to persons who are empowered to confine, but also to those authorized to request or recommend confinement.
*448The Lanterman-Petris-Short Act, in its extensive revision of the procedures for commitment of the mentally ill, eliminated any specific statutory reference to petitions by treating physicians, but it did not limit the authority of a therapist in government employ to request, recommend or initiate actions which may lead to commitment of his patient under the act. We believe that the language of section 856, which refers to any action in the course of employment and in accordance with any applicable enactment, protects the therapist who must undertake this delicate and difficult task. (See Fleming & Maximov, The Patient or His Victim: The Therapist’s Dilemma (1974) 62 Cal.L.Rev. 1025, 1064.) Thus the scope of the immunity extends not only to the final determination to confine or not to confine the person for mental illness, but to all determinations involved in the process of commitment. (Cf. Hernandez v. State of California (1970) 11 Cal.App.3d 895, 899-900 [90 Cal.Rptr. 205].)
Turning first to Dr. Powelson’s status with respect to section 856, we observe that the actions attributed to him by plaintiffs’ complaints fall squarely within the protections furnished by that provision. Plaintiffs allege Powelson ordered that no actions leading to Poddar’s detention be taken. This conduct reflected Powelson’s determination not to seek Poddar’s confinement and thus falls within the statutory immunity.
Section 856 also insulates Dr. Moore for his conduct respecting confinement, although the analysis in his case is a bit more subtle. Clearly, Moore’s decision that Poddar be confined was not a proximate cause of Tatiana’s death, for indeed if Moore’s efforts to bring about Poddar’s confinement had been successful, Tatiana might still be alive today. Rather, any confinement claim against Moore must rest upon Moore’s failure to overcome Powelson’s decision and actions opposing confinement.
Such a claim, based as it necessarily would be, upon a subordinate’s failure to prevail over his superior, obviously would derive from a rather onerous duty. Whether to impose such a duty we need not decide, however, since we can confine our analysis to the question whether Moore’s failure to overcome Powelson’s decision realistically falls within the protection afforded by section 856. Based upon the allegations before us, we conclude that Moore’s conduct is protected.
Plaintiffs’ complaints imply that Moore acquiesced in Powelson’s countermand of Moore’s confinement recommendation. Such acquies*449cence is functionally equivalent to determining not to seek Poddar’s confinement and thus merits protection under section 856. At this stage we are unaware, of course, precisely how Moore responded to Powelson’s actions; he may have debated the confinement issue with Powelson, for example, or taken no initiative whatsoever, perhaps because he respected Powelson’s judgment, feared for his future at the hospital, or simply recognized that the proverbial handwriting was on the wall. None of these possibilities constitutes, however, the type of careless or wrongful behavior subsequent to a decision respecting confinement which is stripped of protection by the exception in section 856.23 Rather, each is in the nature of a decision not to continue to press for Poddar’s confinement. No language in plaintiffs’ original or amended complaints suggests that Moore determined to fight Powelson, but failed successfully to do so, due to negligent or otherwise wrongful acts or omissions. Under the circumstances, we conclude that plaintiffs’ second amended complaints allege facts which trigger immunity for Dr. Moore under section 856.24
5. Defendant police officers are immune from liability for failing to
confine Poddar in their custody.
Confronting, finally, the question whether the defendant police officers are immune from liability for releasing Poddar after his brief confinement, we conclude that they are. The source of their immunity is section 5154 of the Welfare and Institutions Code, which declares that: “[t]he professional person in charge of the facility providing 72-hour treatment and evaluation, his designee, and the peace officer responsible for the detainment of the person shall not be held civilly or criminally liable for any action by a person released at or before the end of 72 hours . . . .” (Italics added.)
Although defendant police officers technically were not “peace officers” as contempláted by the Welfare and Institutions Code,25 *450plaintiffs’ assertion that the officers incurred liability by failing to continue Poddar’s confinement clearly contemplates that the officers were “responsible for the detainment of [Poddar].” We could not impose a duty upon the officers to keep Poddar confined yet deny them the protection furnished by a statute immunizing those “responsible for . . . [confinement].” Because plaintiffs would have us treat defendant officers as persons who were capable of performing the functions of the “peace officers” contemplated by the Welfare and Institutions Code, we must accord defendant officers the protections which that code prescribed for such “peace officers.”
6. Plaintiffs’ complaints state no cause of action for exemplary damages.
Plaintiff’s third cause of action seeks punitive damages against defendant Powelson. The California statutes and decisions, however, have been interpreted to bar the recoveiy of punitive damages in a wrongful death action. (See Pease v. Beech Aircraft Corp. (1974) 38 Cal.App.3d 450, 460-462 [113 Cal.Rptr. 416] and authorities there cited.)
7. Conclusion
For the reasons stated, we conclude that plaintiffs can amend their complaints to state a cause of action against defendant therapists by asserting that the therapists in fact determined that Poddar presented a serious danger of violence to Tatiana, or pursuant to the standards of their profession should have so determined, but nevertheless failed to exercise reasonable care to protect her from that danger. To the extent, however, that plaintiffs base their claim that defendant therapists breached that duty because they failed to procure Poddar’s confinement, the therapists find immunity in Government Code section 856. Further, as to the police defendants we conclude that plaintiffs have failed to show that the trial court erred in sustaining their demurrer without leave to amend.
The judgment of the superior court in favor of defendants Atkinson, Beall, Brownrigg, Hallernan, and Teel is affirmed. The judgment of the superior court in favor of defendants Gold, Moore, Powelson, Yandell, and the Regents of the University of California is reversed, and the cause remanded for further proceedings consistent with the views expressed herein.
Wright, C. J., Sullivan, J., and Richardson, J., concurred.
I concur in the result in this instance only because the complaints allege that defendant therapists did in fact predict that Poddar would kill and were therefore negligent in failing to warn of that danger. Thus the issue here is veiy narrow: we are not concerned with whether the therapists, pursuant to the standards of their profession, “should have” predicted potential violence; they allegedly did so in actuality. Under these limited circumstances I agree that a cause of action can be stated.
Whether plaintiffs can ultimately prevail is problematical at best. As the complaints admit, the therapists did notify the police that Poddar was planning to kill a girl identifiable as Tatiana. While I doubt that more should be required, this issue may be raised in defense and its determination is a question of fact.
I cannot concur, however, in the majority’s rule that a therapist may be held liable for failing to predict his patient’s tendency to violence if other practitioners, pursuant to the “standards of the profession,” would have done so. The question is, what standards? Defendants and a responsible amicus curiae, supported by an impressive body of literature discussed at length in our recent opinion in People v. Burnick (1975) 14 Cal.3d 306 [121 Cal.Rptr. 488, 535 P.2d 352], demonstrate that psychiatric predictions of violence are inherently unreliable.
In Burnick, at pages 325-326, we observed: “In the light of recent studies it is no longer heresy to question the reliability of psychiatric predictions. Psychiatrists themselves would be the first to admit that however desirable an infallible crystal ball might be, it is not among the tools of their profession. It must be conceded that psychiatrists still experience considerable difficulty in confidently and accurately diagnosing mental illness. Yet those difficulties are multiplied manyfold when psychiatrists venture from diagnosis to prognosis and undertake to predict the consequences of such illness: ' “A diagnosis of mental illness tells us nothing about whether the person so diagnosed is or is not dangerous. Some mental, patients are dangerous, some are not. Perhaps the psychiatrist is an expert at deciding whether a person is mentally ill, but is he an expert at predicting which of the persons so diagnosed are dangerous? Sane people, too, are dangerous, and it may legitimately be inquired whether there is anything in the education, training or experience of psychiatrists which renders them particularly adept at predicting dangerous behavior. Predictions of dangerous behavior, no *452matter who makes them, are incredibly inaccurate, and there is a growing consensus that psychiatrists are not uniquely qualified to predict dangerous behavior and are, in fact, less accurate in their predictions than other professionals.” ’ (Murel v. Baltimore City Criminal Court (1972)... 407 U.S. 355, 364-365, fn. 2 [32 L.Ed.2d 791, 796-797, 92 S.Ct. 2091] (Douglas, J., dissenting from dismissal of certiorari).)” (Fns. omitted.) (See also authorities cited at p. 327 & fn. 18 of 14 Cal.3d.)
The majority confidently claim their opinion is not offensive to Burnick, on the stated ground that Burnick involved proceedings to commit an alleged mentally disordered sex offender and this case does not. I am not so sanguine about the distinction. Obviously the two cases are not factually identical, but the similarity in issues is striking: in Burnick we were likewise called upon to appraise the ability of psychiatrists to predict dangerousness, and while we declined to bar all such testimony (id., at pp. 327-328) we found it so inherently untrustworthy that we would permit confinement even in a so-called civil proceeding only upon proof beyond a reasonable doubt.
I would restructure the rule designed by the majority to eliminate all reference to conformity to standards of the profession in predicting violence. If a psychiatrist does in fact predict violence, then a duty to warn arises. The majority’s expansion of that rule will take us from the world of reality into the wonderland of clairvoyance.
Until today’s majority opinion, both legal and medical authorities have agreed that confidentiality is essential to effectively treat the mentally ill, and that imposing a duty on doctors to disclose patient threats to potential victims would greatly impair treatment. Further, recognizing that effective treatment and society’s safety are necessarily intertwined, the Legislature has already decided effective and confidential treatment is preferred over imposition of a duty to warn.
The issue whether effective treatment for the mentally ill should be sacrificed to a system of warnings is, in my opinion, properly one for the Legislature, and we are bound by its judgment. Moreover, even in the absence of clear legislative direction, we must reach the same conclusion because imposing the majority’s new duty is certain to result in a net increase in violence.
The majority rejects the balance achieved by the Legislature’s Lanterman-Petris-Short Act. (Welf. & Inst. Code, § 5000 et seq., *453hereafter the act.)1 In addition, the majority fails to recognize that, even absent the act, overwhelming policy considerations mandate against sacrificing fundamental patient interests without gaining a corresponding increase in public benefit.
Statutory Provisions
Although the parties have touched only briefly on the nondisclosure provisions of the act, amici have pointed out their importance. The instant case arising after ruling on demurrer, the parties must confront the act’s provisions in the trial court. In these circumstances the parties’ failure to fully meet the provisions of the act would not justify this court’s refusal to discuss and apply the law.
Having a grave impact on future treatment of the mentally ill in our state, the majority opinion clearly transcends the interests of the immediate parties and must discuss all applicable law. It abdicates judicial responsibility to refuse to recognize the clear legislative policy reflected in the act.
Effective 1 July 1969, the Legislature created a comprehensive statutory resolution of the rights and duties of both the mentally infirm and those charged with their care and treatment. The act’s purposes include ending inappropriate commitment, providing prompt care, protecting public safety, and safeguarding personal rights. (§ 5001.) The act applies to both voluntary and involuntary commitment and to both public and private institutions; it details legal procedure for commitment; it enumerates the legal and civil rights of persons committed; and it spells out the duties, liabilities and rights of the psychotherapist. Thus the act clearly evinces the Legislature’s weighing of the countervailing concerns presently before us—when a patient has threatened a third person during psychiatric treatment.
Reflecting legislative recognition that disclosing confidences impairs effective treatment of the mentally ill, and thus is contrary to the best interests of society, the act establishes the therapist’s duty to not disclose. Section 5328 provides in part that “[a]ll information and records obtained in the course of providing services ... to either voluntary or involuntary recipients of services shall be confidential.” (Italics added.) Further, a patient may enjoin disclosure in violation of statute and. may *454recover the greater of $500 or three times the amount of actual damage for unlawful disclosure. (§ 5330.)
However, recognizing that some private and public interests must override the patient’s, the Legislature established several limited exceptions to confidentiality.2 The limited nature of these exceptions and the *455legislative concern that disclosure might impair treatment, thereby harming both patient and society, are shown by section 5328.1. The section provides that a therapist may disclose “to a member of the family of a patient the information that the patient is presently a patient in the facility or that the patient is seriously physically ill. .. if the professional person in charge of the facility determines that the release of such information is in the best interest of the patient.” Thus, disclosing even the fact of treatment is severely limited.
As originally enacted the act contained no provision allowing the therapist to warn anyone of a patient’s threat. In 1970, however, the act was amended to permit disclosure in two limited circumstances. Section 5328 was amended, in subdivision (g), to allow disclosure “[t]o governmental law enforcement agencies as needed for the protection of federal and state elective constitutional officers and their families.” (Italics added.) In addition, section 5328.3 was added to provide that when “necessary for the protection of the patient or others due to the patient’s disappearance from, without prior notice to, a designated facility and his whereabouts is unknown, notice of such disappearance may be made to relatives and governmental law enforcement agencies designated by the physician in charge of the patient or the professional person in charge of the facility or his designee.” (Italics added.)
Obviously neither exception to the confidentiality requirement is applicable to the instant case.
Not only has the Legislature specifically dealt with disclosure and warning, but it also has dealt with therapist and police officer liability for acts of the patient. The Legislature has provided that the therapist and the officer shall not be liable for prematurely releasing the patient. (§§ 5151, 5154,5173, 5278, 5305, 5306,)
*456Ignoring the act’s detailed provisions, the majority has chosen to focus on the “dangerous patient exception” to the psychotherapist-patient privilege in Evidence Code sections 1014, 1024 as indicating that “the Legislature has undertaken the difficult task of balancing the countervailing concerns.” (Ante, p. 440.) However, this conclusion is erroneous. The majority fails to appreciate that when disclosure is permitted in an evidentiary hearing, a fourth interest comes into play—the court’s concern in judicial supervision. Because they are necessary to the administration of justice, disclosures to the courts are excepted from the nondisclosure requirement by section 5328, subdivision (f). However, this case does not involve a court disclosure. Subdivision (f) and the Evidence Code sections relied on by the majority are clearly inapposite.
The provisions of the act are applicable here. Section 5328 (see fn. 2, ante) provides, “All information and records obtained in the course of providing services under division 5 . . . shall be confidential.” (Italics added.) Dr. Moore’s letter describing Poddar’s mental condition for purposes of obtaining 72-hour commitment was undisputedly a transmittal of information designed to invoke application of division 5. As such it constituted information obtained in providing services under division 5. This is true regardless of whether Dr. Moore has been designated a professional person by the County of Alameda. Although section 5150 provides that commitment for 72 hours’ evaluation shall be based on a statement by a peace officer or person designated by the county, section 5328 prohibits disclosure of all information, not just disclosure of the committing statement or disclosure by persons designated by the county. In addition, section 5330 gives the patient a cause of action for disclosure of confidential information by “an individual” rather than the persons enumerated in section 5150.
Moreover, it appears from the allegations of the complaint that Dr. Moore is in fact a person designated by the county under section 5150. The complaint alleges that “On or about August 20, 1969, defendant Dr. Moore notified Officers Atkinson and Teel, he would give the campus police a letter of diagnosis on Prosenjit Poddar, so the campus police could pick up Poddar and take him to Herrick Hospital in Berkeley where Dr. Moore would assign a 72-hour Emergency Psychiatric Detention on Prosenjit Poddar.” Since there is no allegation that Dr. Moore was not authorized to sign the document, it. must be concluded that under the allegations of the complaint he was authorized and thus a professional person designated by the county.
*457Whether we rely on the facts as stated in the complaint that Dr. Moore is a designated person under section 5150 or on the strict prohibitions of section 5328 prohibiting disclosure of “all informationthe imposition of a duty to warn by the majority flies directly in the face of the Lanterman-Petris-Short Act.
Under the act, there can be no liability for Poddar’s premature release. It is likewise clear there exists no duty to warn. Under section 5328, the therapists were under a duty to not disclose, and no exception to that duty is applicable here. Establishing a duty to warn on the basis of general tort principles imposes a Draconian dilemma on therapists—either violate the act thereby incurring the attendant statutory penalties, or ignore the majority’s duty to warn thereby incurring potential civil liability. I am unable to assent to such.
If the majority feels that it must impose such a dilemma, then it has an obligation to specifically enumerate the circumstances under which the Lanterman-Petris-Short Act applies as opposed to the circumstances when “general tort principles” will govern. The majority’s failure to perform this obligation—leaving to the therapist the subtle questions as to when each opposing rule applies—is manifestly unfair.
Duty to Disclose in the Absence of Controlling Statutory Provision
Even assuming the act’s provisions are applicable only to conduct occurring after commitment, and not to prior conduct, the act remains applicable to the most dangerous patients—those committed. The Legislature having determined that the balance of several interests requires nondisclosure in the graver public danger commitment, it would be anomalous for this court to reweigh the interests, requiring disclosure for those less dangerous. Rather, we should follow the legislative direction by refusing to require disclosure of confidential information received by the therapist either before or in the absence of commitment. The Legislature obviously is more capable than is this court to investigate, debate and weigh potential patient harm through disclosure against the risk of public harm by nondisclosure. We should defer to its judgment.
Common Law Analysis
Entirely apart from the statutory provisions, the same result must be reached upon considering both general tort principles and the public *458policies favoring effective treatment, reduction of violence, and justified commitment.
Generally, a person owes no duty to control the conduct of another. (Richards v. Stanley (1954) 43 Cal.2d 60, 65 [271 P.2d 23]; Wright v. Arcade School Dist. (1964) 230 Cal.App.2d 272, 277 [40 Cal.Rptr. 812]; Rest.2d Torts (1965) § 315.) Exceptions are recognized only in limited situations where (1) a special relationship exists between the defendant and injured party, or (2) a special relationship exists between defendant and the active wrongdoer, imposing a duty on defendant to control the wrongdoer’s conduct. The majority does not contend the first exception is appropriate to this case.
Policy generally determines duty. (Dillon v. Legg (1968) 68 Cal.2d 728, 734 [69 Cal.Rptr. 72, 441 P.2d 912, 29 A.L.R.3d 1316].) Principal policy considerations include foreseeability of harm, certainty of the plaintiff’s injury, proximity of the defendant’s conduct to the plaintiff’s injury, moral blame attributable to defendant’s conduct, prevention of future harm, burden on the defendant, and consequences to the community. (Rowland v. Christian (1968) 69 Cal.2d 108, 113 [70 Cal.Rptr. 97, 443 P.2d 561,32 A.L.RJd 496].)
Overwhelming policy considerations weigh against imposing a duty on psychotherapists to warn a potential victim against harm. While offering virtually no benefit to society, such a duty will frustrate psychiatric treatment, invade fundamental patient rights and increase violence.
The importance of psychiatric treatment and its need for confidentiality have been recognized by this court. (In re Lifschutz (1970) 2 Cal.3d 415, 421-422 [85 Cal.Rptr. 829, 467 P.2d 557, 44 A.L.R.3d 1].) “It is clearly recognized that the very practice of psychiatry vitally depends upon the reputation in the community that the psychiatrist will not tell.” (Slovenko, Psychiatry and a Second Look at the Medical Privilege (1960) 6 Wayne L.Rev. 175, 188.)
Assurance of confidentiality is important for three reasons. Deterrence From Treatment
First, without substantial assurance of confidentiality, those requiring treatment will be deterred from seeking assistance. (See Sen. Judiciary Com. comment accompanying § 1014 of Evid. Code; Slovenko, supra, 6 *459Wayne L.Rev. 175, 187-188; Goldstein & Katz, Psychiatrist-Patient Privilege: The GAP Proposal and the Connecticut Statute (1962) 36 Conn.Bar J. 175, 178.) It remains an unfortunate fact in our society that people seeking psychiatric guidance tend to become stigmatized. Apprehension of such stigma—apparently increased by the propensity of people considering treatment to see themselves in the worst possible light—creates a well-recognized reluctance to seek aid. (Fisher, The Psychotherapeutic Professions and the Law of Privileged Communications (1964) 10 Wayne L.Rev. 609, 617; Slovenko, supra, 6 Wayne L.Rev. 175, 188; see also Rappeport, Psychiatrist-Patient Privilege (1963) 23 Md.L.J. 39, 46-47.) This reluctance is alleviated by the psychiatrist’s assurance of confidentiality.
Full Disclosure
Second, the guarantee of confidentiality is essential in eliciting the full disclosure necessary for effective treatment. (In re Lifschutz, supra, 2 Cal.3d 415, 431; Taylor v. United States (D.C.Cir. 1955) 222 F.2d 398, 401 [95 App.D.C. 373]; Goldstein & Katz, supra, 36 Conn.Bar J. 175, 178; Heller, Some Comments to Lawyers on the Practice of Psychiatry (1957) 30 Temp.L.Q. 401; Guttmacher & Weihofen, Privileged Communications Between Psychiatrist and Patient (1952) 28 Ind.L.J.32, 34.)3 The psychiatric patient approaches treatment with conscious and unconscious inhibitions against revealing his innermost thoughts. “Every person, however well-motivated, has to overcome resistances to therapeutic exploration. These resistances seek support from every possible source and the possibility of disclosure would easily be employed in the service of resistance.” (Goldstein & Katz, supra, 36 Conn.Bar J. 175, 179; see also, 118 Am.J.Psych. 734, 735.) Until a patient can trust his psychiatrist not to violate their confidential relationship, “the unconscious psychological control mechanism of repression will prevent the recall of past experiences.” (Butler, Psychotherapy and Griswold: Is Confidentiality a Privilege or a Right? (1971) 3 Conn.L.Rev. 599, 604.)
Successful Treatment
Third, even if the patient fully discloses his thoughts, assurance that the confidential relationship will not be breached is necessary to *460maintain his trust in his psychiatrist—the very means by which treatment is effected. “[T]he essence of much psychotherapy is the contribution of trust in the external world and ultimately in the self, modelled upon the trusting relationship established during therapy.” (Dawidoff, The Malpractice of Psychiatrists, 1966 Duke L.J. 696, 704.) Patients will be helped only if they can form a trusting relationship with the psychiatrist. (Id., at p. 704, fn. 34; Burham, Separation Anxiety (1965) 13 Arch.Gen.Psych. 346, 356; Heller, supra, 30 Temp.L.Q. 401, 406.) All authorities appear to agree that if the trust relationship cannot be developed because of collusive communication between the psychiatrist and others, treatment will be frustrated. (See, e.g., Slovenko (1973) Psychiatry and Law, p. 61; Cross, Privileged Communications Between Participants in Group Psychotherapy (1970) Law & Soc. Order, 191, 199; Hollender, The Psychiatrist and the Release of Patient Information (1960) 116 Am.J.Psych. 828, 829.)
Given the importance of confidentiality to the practice of psychiatry, it becomes clear the duty to warn imposed by the majority will cripple the use and effectiveness of psychiatry. Many people, potentially violent— yet susceptible to treatment—will be deterred from seeking it; those seeking it will be inhibited from making revelations necessary to effective treatment; and, forcing the psychiatrist to violate the patient’s trust will destroy the interpersonal relationship by which treatment is effected.
Violence and Civil Commitment
By imposing a duty to warn, the majority contributes to the danger to society of violence by the mentally ill and greatly increases the risk of civil commitment—the total deprivation of liberty—of those who should not be confined.4 The impairment of treatment and risk of improper commitment resulting from the new duty to warn will not be limited to a few patients but will extend to a large number of the mentally ill. *461Although under existing psychiatric procedures only a relatively few receiving treatment will ever present a risk of violence, the number making threats is huge, and it is the latter group—not just the former—whose treatment will be impaired and whose risk of commitment will be increased.
Both the legal and psychiatric communities recognize that the process of determining potential violence in a patient is far from exact, being fraught with complexity and uncertainty. (E.g., People v. Burnick (1975) 14 Cal.3d 306, 326 [121 Cal.Rptr. 488, 535 P.2d 352], quoting from Murel v. Baltimore City Criminal Court (1972) 407 U.S. 355, 364-365, fn. 2 [32 L.Ed.2d 791, 796-797, 92 S.Ct. 2091] (Douglas, J., dissenting from dismissal of certiorari); Ennis & Litwack, Psychiatry and the Presumption of Expertise: Flipping Coins in the Courtroom, 62 Cal. L.Rev. 693, 711-716; Rector, Who Are the Dangerous? (July 1973) Bull.Am.Acad. Psych. & L. 186; Kozol, Boucher & Garofalo, The Diagnosis and Treatment of Dangerousness (1972) 18 Crime & Delinq. 371; Justice & Birkman, An Effort to Distinguish the Violent From the Nonviolent (1972) 65 So.Med.J. 703.)5 In fact, precision has not even been attained in predicting who of those having already committed violent acts will again become violent, a task recognized to be of much simpler proportions. (Kozol, Boucher & Garofalo, supra, 18 Crime & Delinq. 371, 384.)
This predictive uncertainty means that the number of disclosures will necessarily be large. As noted above, psychiatric patients are encouraged to discuss all thoughts of violence, and they often express such thoughts. However, unlike this court, the psychiatrist does not enjoy the benefit of *462overwhelming hindsight in seeing which few, if any, of his patients will ultimately become violent. Now, confronted by the majority’s new duty, the psychiatrist must instantaneously calculate potential violence from each patient on each visit. The difficulties researchers have encountered in accurately predicting violence will be heightened for the practicing psychiatrist dealing for brief periods in his office with .heretofore nonviolent patients. And, given the decision not to warn or commit must always be made at the psychiatrist’s civil peril, one can expect most doubts will be resolved in favor of the psychiatrist protecting himself.
Neither alternative open to the psychiatrist seeking to protect himself is in the public interest. The warning itself is an impairment of the psychiatrist’s ability to treat, depriving many patients of adequate treatment. It is to be expected that after disclosing their threats, a significant number of patients, who would not become violent if treated according to existing practices, will engage in violent conduct as a result of unsuccessful treatment. In short, the majority’s duty to warn will not only impair treatment of many who would never become violent but worse, will result in a net increase in violence.6
*463The second alternative open to the psychiatrist is to commit his patient rather than to warn. Even in the absence of threat of civil liability, the doubts of psychiatrists as to the seriousness of patient threats have led psychiatrists to overcommit to mental institutions. This overcommitment has been authoritatively documented in both legal and psychiatric studies. (Ennis & Litwack, Psychiatry and the Presumption of Expertise: Flipping Coins in the Courtroom, supra, 62 Cal.L.Rev. 693, 711 et seq.; Fleming & Maximov, The Patient or His Victim: The Therapist’s Dilemma, 62 Cal.L.Rev. 1025, 1044-1046; Am. Psychiatric Assn. Task Force Rep. 8 (July 1974) Clinical Aspects of the Violent Individual, pp. 23-24; see Livermore, Malmquist & Meehl, On the Justifications for Civil Commitment, 117 U.Pa.L.Rev. 75, 84.) This practice is so prevalent that it has been estimated that “as many as twenty harmless persons are incarcerated for every one who will commit a violent act.” (Steadman & Cocozza, Stimulus/Response: We Can’t Predict Who Is Dangerous (Jan. 1975) 8 Psych. Today 32, 35.)
Given the incentive to commit created by the majority’s duty, this already serious situation will be worsened, contrary to Chief Justice Wright’s admonition “that liberty is no less precious because forfeited in a civil proceeding than when taken as a consequence of a criminal conviction.” (In re Gary W. (1971) 5 Cal.3d 296, 307 [96 Cal.Rptr. 1, 486 P.2d 1201].)
Conclusion
In adopting the act, the Legislature fully recognized the concerns that must govern our decision today—adequate treatment for the mentally ill, safety of our society, and our devotion to individual liberty, making overcommitment of the mentally ill abhorrent. (§ 5001.) Again, the Legislature balanced these concerns in favor of nondisclosure (§ 5328), thereby promoting effective treatment, reducing temptation for overcommitment, and ensuring greater safety for our society. Psychiatric and legal expertise on the subject requires the same judgment.
The tragedy of Tatiana Tarasoff has led the majority to disregard the clear legislative mandate of the Lanterman-Petris-Short Act. Worse, the majority impedes medical treatment, resulting in increased violence from—and deprivation of liberty to—the mentally ill.
*464We should accept legislative and medical judgment, relying upon effective treatment rather than on indiscriminate warning.
The judgment should be affirmed.
McComb, J., concurred.
4.2.6.4.3 Questions and Notes on Tarasoff 4.2.6.4.3 Questions and Notes on Tarasoff
Fun Fact:
Immediately after the decision the medical community was awash with concern about Tarasoff's potential chilling effects: Existing therapy patients could feel betrayed by their therapists, other individuals could be deterred from beginning therapy because they would worry about entanglement with law enforcement, and therapists could have to violate their own clinical judgement by breaching confidentiality to communicate with a potential victim. The concerns have faded little. See Elisia Klinka, It's Been a Privilege: Advising Patients of the Tarasoff Duty and its Legal Consequences for the Federal Psychotherapist-Patient Privilege, 78 Fordham L. Rev. 863 (2009).
Guiding Questions:
- What causes of action do the plaintiffs state in their complaint?
- What factors does Justice Tobriner consider when deciding whether or not to impose a duty? Which factor does he say is most important in this case?
- Does Justice Tobriner ultimately impose a duty on mental health professionals regarding third persons? If so, what kind of duty?
- How does Justice Tobriner address the defendants' public policy concerns?
Test Your Knowledge:
Jodie finds out that her husband Steve has been having an affair with their neighbor, Susan, and is planning on filing for divorce. The next day during therapy, Jodie makes a joke to her therapist that "her life would be so much easier if someone just got rid of her pesky neighbor for good." In response to her therapist's confused look, Jodie laughed and said, "Oh well, life goes on I guess! I wasn't happy with Steve anyways." Later that evening, Susan is killed in a car accident after someone cut her brake lines. Jodie is arrested for first-degree murder, leading Susan's estate to bring a negligence claim against Susan's therapist for failing to warn Susan that Jodie had made threats against her. In a jurisdiction that applies the analysis in Tarasoff, will Susan's estate prevail?
- No, because the therapist-patient privacy privilege trumps any obligation to protect third parties.
- No, because Jodie did not make a specific threat and her therapist had no reason to believe that Jodie posed a serious risk.
- Yes, because mental health professionals owe a duty to third parties to warn them if a patient threatens to harm them.
- Yes, because the therapist had a duty to restrain Jodie and involve the authorities upon her statement during therapy.
Notes and Further Cases:
- Codifying Tarasoff. In 1985 California codified the Tarasoff rule in Cal. Civ. Code § 43.92. The statute was amended in 2013 to change the name of the duty referenced from a duty to warn and protect solely to a duty to protect. It states today that a therapist has a duty to protect any reasonably identifiable victim of a serious threat of physical violence communicated to the psychotherapist by a patient. Therapists can discharge this duty by making reasonable efforts to communicate the threat to the victim and to a law enforcement agency.
- Duty to warn of suicide risks. Some courts have found that therapists have no duty to warn family members when a patient has expressed thoughts of suicide. See Lee v. Corregedore, 925 P.2d 324 (Haw. 1996). But licensed therapists are not the only ones who provide therapy-adjacent care. School counselors, for example, do too, and they have been held to owe a duty to warn parents of suicidal statements made by a child at school. See Eisel v. Bd. of Educ., 597 A.2d 447 (Md. 1991).
- Duty to warn of sexually transmitted diseases. In the preface, we learned that doctors may have a duty to warn family members of infectious disease patients that they could be at risk of catching the disease. What about for STDs? If a patient has HIV or AIDS, say, whom should the physician warn? Family members? Potential future partners? The world at large? No one? A subsequent California appellate court has held that physicians owe a duty to "protect" potential future partners—even if their identities are unknowable at the outset—but that the duty can be performed by warning their patient of the risks of transmitting AIDS. See Reisner v. Regents of Univ. of Cal., 37 Cal. Rptr. 2d 518, 523 (Ct. App. 1995).
- Complex cases. A leading torts textbook gives a nice hypothetical summing up affirmative duties: If you overhear a conversation in the produce section of the grocery store between two people planning to rob a nearby bank, do you have a duty to warn the bank? See Victor E. Schwartz, Kathryn Kelly, & David F. Partlett, Prosser, Wade, and Schwartz's Torts: Cases and Materials 457 n.8 (13th ed. 2015). What about a public school employee who overhears a student come out as gay or trans, knowing the student’s parents are deeply religious and potentially unsupportive? Does the employee have a duty to disclose to the parents? a duty to protect the child? These questions stretch the traditional contours of tort law and suggest that the better framework may lie in professional ethics or agency regulation, rather than private law.
4.2.6.4.4 Hegel v. Langsam 4.2.6.4.4 Hegel v. Langsam
The University-Is-Not-a-Prison Case
Hegel et al. v. Langsam et al.
[Cite as Hegel v. Langsam (1971), 29 Ohio Misc. 147.]
(No. A-345986
Decided March 23, 1971.)
Common Pleas Court of Hamilton County.
Mr. Robert L. Stone and Mr. William Flax, for plaintiffs.
Messrs. Taft, Stettinius & Hollister, Mr. Robert Stachler and Mr. Thomas Allman of counsel, for Walter C. Langsam, Marjorie Stewart, Suzanna C. Moore and Cheryll Dunn, defendants.
Mr. Peter R. Thomas and Mr. Richard A. Casstellini, for The University of Cincinnati, defendant.
This matter is before the court on defendant’s motion for judgment on the pleadings. The gravamen of plaintiff’s petition is that the defendants permitted the minor plaintiff, a seventeen-year-old-female student from Chicago, Illinois, enrolled at the University, to become associated with criminals, to be seduced, to become a drug user and further allowed her to be absent from her dormitory and failed to return her to her parents’ custody on demand.
In our opinion, plaintiffs completely misconstrue the *148duties and functions of a university. A university is an institution for the advancement of knowledge and learning. It is neither a nursery school, a boarding school nor a prison. No one is required to attend. Persons who meet the required qualifications and who abide by the university’s rules and regulations are permitted to attend and must be presumed to have sufficient maturity to conduct their own personal affairs.
We know of no requirement of the law and none has been cited to us placing on a university or its employees any duty to regulate the private lives of their students, to control their comings and goings and to supervise their associations.
We do not believe that R. C. 3345.21, requiring a university to maintain “law and order” on campus, nor R. C. 2151.41, making it a crime to contribute to the delinquency of a child, have any bearing on the fact situation before us.
For these reasons we hold that plaintiffs have failed to state a cause of action and defendants ’ motion for judgment on the pleadings should be granted.
Having so determined, it is not necessary to consider the defense that the university and its employees are immune from suit.
4.2.6.4.5 Questions and Notes on Hegel 4.2.6.4.5 Questions and Notes on Hegel
Fun Fact
Lisa Hegel left her residence hall at the University of Cincinnati on January 14, 1970 and was found a month later on February 20. Her alleged abductor was arrested, but charges of kidnapping against him were ultimately dropped. The case is called Hegel v. Langsam because Lisa's parents sued the president of the university, Walter C. Langsam, on the theory that a university president is required to act in loco parentis (in place of the parent) in supervising their daughter. Langsam would step down from his post as president the following year.
Guiding Questions
- Who was the defendant, plaintiff, and relevant third party?
- Was there a special relationship between the defendant and the third party? Did the defendant therefore have a duty? What does Judge Bettman say?
Test Your Knowledge
Andrew is a mid-career accountant at a major accounting firm. The firm is very flexible and allows him to come in and leave the office whenever he pleases as long as he completes his work efficiently. The firm has very good security on premises. Andrew normally brings his own lunch to save time, but today he went out to treat himself. While at the restaurant, Andrew is mugged. Is the firm liable for Andrew's injuries?
- No, because the firm is not in the business of educating students.
- No, because the firm is not responsible for Andrew's security outside the premises.
- Yes, because in providing security on site the firm undertook a duty to maintain its employees' safety elsewhere.
- Yes, because the firm was lax in keeping its employees to regular attendance.
Notes and Further Cases
- Where a university has been held liable. In 1974 Tanya Gardini, a freshman at San Diego State University (a public school), was raped and murdered in her on-campus dormitory by Lee Ellis Handy, Jr., a Navy seaman. Handy was given a life sentence. Ms. Gardini's mother also filed a civil suit against the State of California on the ground that the university was aware of increasing attacks against its female students at the time and its failure to implement security measures or otherwise prevent Ms. Gardini's death was negligence. The California Court of Appeal agreed and held the State liable. Duarte v. State, 151 Cal. Rptr. 727 (Ct. App. 1979). How do you explain the different outcomes in Duarte and the principal case? Why might the fact patterns be crucial?
- The Clery Act. In the early morning hours of April 5, 1986, Jeanne Clery, a nineteen-year-old freshman at Lehigh University, was raped and murdered in her dorm room. Her attacker, Joseph Henry, was a fellow student, and he gained access to her building because the exterior doors, which were meant to be locked, had been left propped open. Clery's parents sued the university for failing to implement reasonable security measures, arguing that had they known of the university's safety issues they'd have made different decisions about Jeanne's living arrangements. The parties ultimately settled for $25 million. Afterwards, Clery's parents began a grassroots campaign for federal protections and standards for safety on campus and transparency in reporting on-campus incidents. Their efforts led to Congress' enactment of the 1990 Jeanne Clery Campus Safety Act, codified at 20 U.S.C. § 1092 et seq. Among other things, the Clery Act requires all colleges and universities that receive federal funds to disclose specific crimes, such as sexual assault, robbery, and hate crimes, that occur on or near campus, warn the campus community of ongoing or imminent threats to safety, and report annual statistics on these incidents.
4.2.6.4.6 Keener v. Hribal 4.2.6.4.6 Keener v. Hribal
The School Stabbing Case
Gregory KEENER, Plaintiff,
v.
Alexander HRIBAL; Tina Hribal, Individually and as Parent and Natural Guardian of Alexander B. Hribal; Harold Hribal, Individually and as Parent and Natural Guardian of Alexander B. Hribal; Capital Asset Protection, Inc.; Franklin Regional School District, Defendants.
CIVIL ACTION NO. 18-883
United States District Court, W.D. Pennsylvania.
Signed November 21, 2018
*961Peter D. Friday, Jesse A. Drumm, Friday & Cox LLC, Pittsburgh, PA, for Plaintiff.
Arthur J. Leonard, Robert A. Loch, Robb Leonard Mulvihill LLP, James M. Girman, John T. Pion, Todd R. Brown, Pion, Nerone, Girman, Winslow & Smith, P.C., Pittsburgh, PA, for Defendants.
MEMORANDUM OPINION
Table of Contents
I. Introduction...962
II. Background...962
III. Jurisdiction...963
IV. Procedural history...963
V. Standard of review...964
VI. Discussion...965
A. Tina Hribal and Harold Hribal's motion to dismiss (Doc. No. 12)...965
B. Capital Asset Protection's motion to dismiss (Doc. No. 20)...967
C. Franklin Regional School District's motion to dismiss (Doc. No. 29)...969
1. Substantive due process right to bodily integrity...970
2. The state-created danger doctrine...970
3. Monell liability...976
VII. Conclusion...977 *962I. Introduction
More than 20 years ago, the Tenth Circuit Court of Appeals stated: "We are poignantly aware of the seeming transformation of our public schools from institutions of learning into crucibles of disaffection marred by increasing violence from which anguish and despair are often brought to homes across the nation." Graham v. Indep. Sch. Dist. No. I-89 , 22 F.3d 991, 992 (10th Cir. 1994). It is disheartening, to say the least, that this statement still rings true today. In yet another tragic - and indeed senseless - instance of school violence, this matter is now before the Court.
Plaintiff Gregory Keener brings this cause of action against defendant Alexander Hribal, a former classmate of his, who brought two kitchen knives to school and proceeded to stab 20 of his classmates in a seven-minute rampage. Plaintiff barely survived his life-threatening injury. In addition to suing the perpetrator, he sues Alex Hribal's parents, along with the school district and a private security company that performed services at the school.
Plaintiff raises various state law claims for negligence and battery, as well as federal civil rights claims under 42 U.S.C. § 1983. Each of the defendants now brings a motion to dismiss for failure to state a claim. Doc. Nos. 12, 20, and 29. For the reasons that follow, both the parents' motion and the security company's motions will be denied. The school district's motion will be granted. Plaintiff will have 21 days to file an amended complaint that states a viable cause of action under Section 1983 ; otherwise, this case will be remanded to the state courts.
II. Background
Plaintiff Gregory Keener brings this cause of action against the following defendants: Alexander Hribal; Tina and Harold Hribal - the parents of Alexander Hribal (the "parents"); Capital Asset Protection, Inc. ("Capital"); and Franklin Regional School District (the "school district"). As mentioned above, the suit arises out of a stabbing rampage perpetrated by Alexander Hribal, which occurred on April 9, 2014. At approximately 7:00 a.m., Alexander Hribal arrived at Franklin Regional High School (the "school") armed with two 12-inch kitchen knives taken from his parents' home. Doc. No. 1-2 ¶ 13. Alexander Hribal stabbed 20 students and a security guard in the attack. Id. ¶ 14. One of those students was plaintiff, who suffered severe injuries. Plaintiff barely survived; he was hospitalized for nearly 40 days, underwent several surgeries, and lost half the function of his liver and gallbladder. Id. ¶¶ 18-23.
Plaintiff brings claims against Alexander Hribal for battery (Count I), intentional infliction of emotional distress (Count II), negligent infliction of emotional distress (Count III), and negligence (Count IV). In addition, plaintiff brings a negligence claim (Count V)1 against the parents. With respect to the parents, plaintiff asserts that they acted negligently because they knew that their child was mentally ill and potentially dangerous, yet they failed to take adequate steps to prevent the attack. Id. ¶¶ 48-58.
*963Plaintiff also brings a negligence claim (Count VI) against Capital Asset Protection, Inc. The school district hired Capital to perform security services for all buildings and schools in the district, including Franklin Regional High School. Id. ¶¶ 9-10. According to plaintiff, Capital assigned just one security guard to perform security services at the school. The guard, who was 70 years old at the time, was "grossly unqualified, ill-equipped and physically incapable of deterring or stopping the attack, or any other legitimate safety threat to students." Id. ¶ 25. When the attack occurred, the guard allegedly yelled to students to "get out of the building." Id. ¶ 24. The guard was stabbed during the incident. Id.
With respect to the claim against Capital Asset Protection, Inc., plaintiff alleges numerous theories for negligence, to include its failure to implement adequate safety procedures, its failure to exercise reasonable care in selecting employees to perform security services, and its failure to adequately train personnel. Id. ¶ 63. Plaintiff also seeks punitive damages, asserting that Capital's failure to develop and implement adequate safety procedures constituted "willful and wanton indifference" toward his health and well-being. Id. ¶ 64.
Finally, plaintiff brings two constitutional claims against Franklin Regional School District via 42 U.S.C. § 1983. First, plaintiff asserts in Count VII that the school district violated his constitutional right to bodily integrity under the Fourteenth Amendment, which the Court interprets as a municipal liability claim. He then asserts in Count VIII another Fourteenth Amendment due process claim under a "state-created danger" theory. In short, plaintiff maintains that the school district adopted "a practice, custom and policy of deliberate indifference" to his safety and welfare; he further contends that the school district failed to hire a competent and prepared security company, despite its knowledge that the students faced "substantial risk of serious harm or death" as a result of an attack like the one that occurred. See generally id. ¶¶ 65-90. Plaintiff also seeks punitive damages against the school district. Id. ¶ 91.
III. Jurisdiction
The Court exercises subject matter jurisdiction under 28 U.S.C. §§ 1331 and 1367. Venue is proper under 28 U.S.C. § 1391 because a substantial part of the events or omissions giving rise to the claims occurred in this judicial district.
IV. Procedural history
Plaintiff filed his complaint in the Court of Common Pleas of Westmoreland County on May 14, 2018. Doc. No. 1 at 2. The school district filed a notice of removal on July 6, 2018.2 Id.
With respect to the instant motions, the parents filed a motion to dismiss on July 16, 2018. Doc. No. 12. Capital filed a motion to dismiss on July 20, 2018. Doc. No. 20. Finally, the school district filed a motion *964to dismiss on August 13, 2018. Doc. No. 29. On September 18, 2018, the Court held oral argument on these motions. Doc. No. 37. The matters have been fully briefed (see Doc. Nos. 13, 21, 24, 25, 27, 28, 30, 31, 32, and 33) and are ripe for disposition.
V. Standard of review
"To survive a motion to dismiss, a complaint must contain sufficient factual matter, accepted as true, to 'state a claim to relief that is plausible on its face.' " Ashcroft v. Iqbal , 556 U.S. 662, 678, 129 S.Ct. 1937, 173 L.Ed.2d 868 (2009) (quoting Bell Atlantic Corp. v. Twombly , 550 U.S. 544, 570, 127 S.Ct. 1955, 167 L.Ed.2d 929 (2007) ). A claim satisfies the plausibility standard when the facts alleged "allow[ ] the court to draw the reasonable inference that the defendant is liable for the misconduct alleged." Burtch v. Milberg Factors, Inc. , 662 F.3d 212, 220-21 (3d Cir. 2011) (citing Iqbal , 556 U.S. at 678, 129 S.Ct. 1937 ). While the plausibility standard is not "akin to a 'probability requirement,' " Twombly , 550 U.S. at 556, 127 S.Ct. 1955, it does require a pleading to show "more than a sheer possibility that a defendant has acted unlawfully," Iqbal , 556 U.S. at 678, 129 S.Ct. 1937. Avoiding dismissal under Rule 12(b)(6) thus requires a pleading party's complaint to provide "enough factual matter" to allow the case to move beyond the pleading stage of litigation; the pleader must "nudge his or her claims across the line from conceivable to plausible." Phillips , 515 F.3d at 234-35 (quoting Twombly , 550 U.S. at 556, 570, 127 S.Ct. 1955 ) (brackets omitted).
In deciding a 12(b)(6) motion, courts in this circuit apply a three-step analysis: (1) "it must 'tak[e] note of the elements [the] plaintiff must plead to state a claim;' " (2) "it should identify allegations that, 'because they are no more than conclusions, are not entitled to the assumption of truth;' " and, (3) "[w]hen there are well-pleaded factual allegations, [the] court should assume their veracity and then determine whether they plausibly give rise to an entitlement to relief." Connelly v. Lane Construction Corp. , 809 F.3d 780, 787 (3d Cir. 2016) (quoting Iqbal , 556 U.S. at 675, 679, 129 S.Ct. 1937 ; Burtch v. Milberg Factors, Inc. , 662 F.3d 212, 224 (3d Cir. 2011) ).
In making the third determination in this three-step analysis, the Court must be mindful that the matter pleaded need not include "detailed factual allegations," Phillips , 515 F.3d at 231 (quoting Twombly , 550 U.S. at 555, 127 S.Ct. 1955 ), and, as noted, it must construe all alleged facts, and draw all inferences gleaned therefrom, in the light most favorable to the non-moving party. Id. at 228 (citing Worldcom, Inc. v. Graphnet, Inc. , 343 F.3d 651, 653 (3d Cir. 2003) ). Moreover, a pleading party need only "put forth allegations that 'raise a reasonable expectation that discovery will reveal evidence of the necessary element[s].' " Fowler v. UPMC Shadyside , 578 F.3d 203, 213 (3d Cir. 2009) (quoting Graff v. Subbiah Cardiology Assoc., Ltd. , No. 08-207, 2008 WL 2312671 (W.D. Pa. June 4, 2008) ). A well-pleaded complaint, even when "it strikes a savvy judge that actual proof of [the] facts is improbable," will not be dismissed if the pleader demonstrates that his or her claim is plausible. Phillips , 515 F.3d at 234 (quoting Twombly , 550 U.S. at 555-56, 127 S.Ct. 1955 ).
Nevertheless, the facts provided must raise the expectation of relief above a purely speculative level, which includes more than "labels and conclusions, and a formulaic recitation of the elements of a cause of action." Phillips , 515 F.3d at 231 (quoting Twombly , 550 U.S. at 554-56, 127 S.Ct. 1955 ). Rule 8(a)(2) "requires a 'showing,' rather than a blanket assertion, of an *965entitlement to relief." Id. "[T]hreadbare recitals of the elements of a cause of action, supported by mere conclusory statements, do not suffice." Fowler , 578 F.3d at 210 (quoting Iqbal , 556 U.S. at 678, 129 S.Ct. 1937 ).
VI. Discussion
With that legal framework in mind, the Court now turns to each of the motions to dismiss.
A. Tina Hribal and Harold Hribal's motion to dismiss (Doc. No. 12)
As discussed above, plaintiff brings one state law claim (Count V) against the parents. He asserts that they were negligent in failing to prevent the attack despite having knowledge of their son's mental illness and his propensity for violence. See generally Doc. No. 1-2 ¶¶ 53-58. In their motion to dismiss, the parents argue that a parent-child relationship, alone, is insufficient to render them liable for the tortious actions of their child. Doc. No. 12 at 2. To that end, they claim that they did not have the ability or the opportunity to control their child, nor did they have knowledge of his plan to carry out the attack. Id. Furthermore, the parents seek to dismiss plaintiff's claim for punitive damages. Id. at 4.
It is well-established that a federal court shall apply Pennsylvania substantive law and federal procedural rules to the resolution of state law claims. See Erie Railroad Company v. Tomkins , 304 U.S. 64, 58 S.Ct. 817, 82 L.Ed. 1188 (1938). Accordingly, Pennsylvania law governs the disposition of the plaintiff's state law claims.
Ordinarily, "[t]he mere relation of parent and child imposes no liability upon the parent for the torts of the child." J.H. ex rel. Hoffman v. Pellak , 764 A.2d 64, 66 (Pa. Super. Ct. 2000) (citing Condel v. Savo , 350 Pa. 350, 39 A.2d 51, 52 (1944) ; Maxwell v. Keas , 433 Pa.Super. 70, 639 A.2d 1215, 1216 (1994) ). Parents, however, are not always insulated from liability for tortious acts of their children. "Parents may be liable ... where negligence on the part of the parents makes the injury possible." J.H. , 764 A.2d at 66 (citing Frey By & Through Frey v. Smith By & Through Smith , 454 Pa.Super. 242, 685 A.2d 169, 174 (1996) ); see also K.H. v. J.R. , 573 Pa. 481, 826 A.2d 863, 873 (2003). "If the injury ought to have been foreseen by the parents, their negligence is the proximate cause of the injury." Maxwell , 639 A.2d at 1215. Parental duty to supervise a child has been characterized as a duty to "exercise the control which they [the parents] have over their child, when they know, or in the exercise of due care should know, that injury to another is a natural and probable consequence." Condel , 39 A.2d at 53.
Regarding the supervisory responsibilities of a parent, Pennsylvania Courts have adopted the Restatement (Second) of Torts, Section 316:
A parent is under a duty to exercise reasonable care so to control his minor child as to prevent it from intentionally harming others or from so conducting itself as to create an unreasonable risk of bodily harm to them, if the parent
(a) knows or has reason to know that he has the ability to control his child, and
(b) knows or should know of the necessity and opportunity for exercising such control.
RESTATEMENT (SECOND) OF TORTS § 316 ; see J.H. ex rel. Hoffman v. Pellak , 764 A.2d 64, 66 (Pa. Super. Ct. 2000) (stating that Pennsylvania has adopted Section 316 ); K.H. v. J.R. , 573 Pa. 481, 826 A.2d 863, 873 (2003) (quoting Section 316 with approval).
*966The "ability" and "opportunity" elements do not require a parent to be physically present at the "exact instant of the tort"; nevertheless, there must be some "present ability to discipline." K.H. , 826 A.2d at 875. Along these lines, parental liability is conditioned on the parent having (1) notice of a specific type of harmful conduct, and (2) a meaningful opportunity to interfere with it at the relevant time. J.H. , 764 A.2d 64, 67 (Pa. Super. Ct. 2000) (collecting cases).
In reviewing the complaint, the Court finds that the negligence claim against the parents is legally sufficient to survive a challenge under Rule 12(b)(6). A parent has a duty of reasonable care to prevent harm to another when that harm is a natural and probable consequence. The necessary elements center on (1) notice of a specific type of harmful conduct and (2) an ability to interfere at the relevant time. Plaintiff alleges in the complaint that the parents were "aware of their son's intent to carry out this attack, and were otherwise acutely aware of [their son's] serious mental illness(es) and propensity for violence prior to the attack." Doc. No. 1-2 ¶ 28. Plaintiff avers several times that the parents had actual knowledge of their son's mental illness and violent tendencies prior to the attack. Id. ¶ 28, 55, 56, 57. Plaintiff further alleges that the parents knew, or reasonably should have known, about their son's manifesto where he plotted his attack prior to its execution. Id. ¶ 57. These well-pleaded facts, when viewed in the light most favorable to plaintiff, suggest that the parents had notice of the potential harm.
Furthermore, regarding the parents' ability and opportunity to prevent the harm, plaintiff asserts that the weapons used in the attack (i.e., the 12-inch knives) came from the parents' home. Id. ¶ 12. Plaintiff further claims that the parents could have prevented the attack by taking reasonable steps such as (1) keeping their son out of school; (2) ensuring he took his duly prescribed medications; (3) involuntarily committing their son to an inpatient mental health facility; and/or (4) otherwise taking additional steps to seek out appropriate medical treatment. Id. ¶ 56. As discussed above, the ability and opportunity to prevent the harm does not require the parents to be physically present at the time of the attack; instead, what matters is that the parents had some opportunity to control their child at the relevant time. Here, the relevant time would have been prior to the attack, as plaintiff contends in the complaint.
Although plaintiff does not provide significant details to support his claim against the parents, the well-pleaded factual allegations do render the claim plausible. The complaint includes more than mere labels and conclusions. Moreover, the pleading standard does not require "detailed factual allegations." Phillips v. Cty. of Allegheny , 515 F.3d 224, 234 (3d Cir. 2008). Rather, a pleading party need only "put forth allegations that 'raise a reasonable expectation that discovery will reveal evidence of the necessary element[s].' " Fowler v. UPMC Shadyside , 578 F.3d 203, 213 (3d Cir. 2009).
In their motion to dismiss, and at oral argument, parents' counsel spent considerable time discussing Dorley v. S. Fayette Twp. Sch. Dist. , 129 F.Supp.3d 220, 247 (W.D. Pa. 2015) (Hornak, J.). That case involved a high school student who participated in a training camp for members of the school's football team. The student broke his arm after an older, much larger player injured him in a one-on-one blocking drill during the camp. There, the court dismissed a negligence claim against the parents of the older child, finding that plaintiff failed to allege any facts indicating that the parents had any reason to know *967that their son was so reckless, aggressive, or violent that he should not be allowed to participate in a contact sport, or that they had the ability and opportunity to control him when he was under the supervision of his coaches at the camp. Id. Here, that case is distinguishable. Plaintiff alleges that the parents had been acutely aware of their son's violent propensities prior to the attack. There was no such allegation in Dorley .3
As an additional matter, the parents move to dismiss or strike plaintiff's request for punitive damages. Doc. No. 12 at 3. Under Pennsylvania law, punitive damages are proper "only in cases where the defendant's actions are so outrageous as to demonstrate willful, wanton or reckless conduct." Hutchison ex rel. Hutchison v. Luddy , 582 Pa. 114, 870 A.2d 766, 770 (2005). Although ordinary negligence will not support an award of punitive damages, they are appropriate "for torts sounding in negligence when the conduct goes beyond mere negligence and into the realm of behavior which is willful, malicious, or so careless as to indicate wanton disregard for the rights of the parties injured." Id. at 770 (citing RESTATEMENT (SECOND) OF TORTS § 908 (1979) ); see also Moran for & on Behalf of Estate of Moran v. G. & W.H. Corson, Inc. , 402 Pa.Super. 101, 586 A.2d 416, 422 (1991). "The state of mind of the actor is vital." Hutchison , 870 A.2d at 770 (internal citations omitted). To that end, punitive damages must be supported by evidence "sufficient to establish that (1) a defendant had a subjective appreciation of the risk of harm to which the plaintiff was exposed and that (2) he acted, or failed to act, as the case may be, in conscious disregard of that risk." Id. at 772.
Here, plaintiff has pled sufficient facts that, if proven at trial, could support the imposition of punitive damages. Plaintiff has pled that the parents knew about their son's intent to carry out the attack, and that they were aware of his serious mental illness and propensity for violence. Doc. No. 1-2 ¶¶ 28, 55, 56. Furthermore, plaintiff alleges that the parents knew about their son's manifesto before the attack. Id. ¶ 57. Yet, despite having knowledge of the serious risk of harm to students, the parents failed to act in conscious disregard of that risk. Id. These allegations, if proven, may support a claim for punitive damages. The Court thus finds that dismissing plaintiff's punitive damages claim at this stage of litigation would be premature.
B. Capital Asset Protection's motion to dismiss (Doc. No. 20)
The Court now considers plaintiff's punitive damages claim against Capital Asset Protection, Inc., found in Count VI of the complaint. Capital argues that plaintiff has failed to state a claim for punitive damages because (1) he fails to allege that Capital knew or reasonably should have known about the risk of the stabbing rampage; (2) the complaint, at most, raises issues of inadequate safety procedures, which does not amount to recklessness; and (3) the 70-year-old employee's conduct, as pled in the complaint, was not outrageous. See Doc. No. 21 at 3-4.
As discussed previously, punitive damages are only permissible for outrageous acts. The plaintiff must demonstrate that "(1) a defendant had a subjective appreciation of the risk of harm to which the *968plaintiff was exposed and that (2) he acted, or failed to act, as the case may be, in conscious disregard of that risk." Hutchison , 870 A.2d at 772 ; see also Stroud v. Abington Mem'l Hosp. , 546 F.Supp.2d 238, 257 (E.D. Pa. 2008) ("[P]rovided the plaintiff demonstrates that the defendant acted with at least a mental state of recklessness (conscious disregard), punitive damages may be recovered on a claim sounding in negligence.").
Here, plaintiff alleges that Capital was hired by the school district to perform security services for the school. Doc. No. 1-2 ¶ 11. He further pled that Capital hired a 70-year-old guard who was unarmed and physically incapable of deterring any legitimate safety threats at the school. Id. ¶¶ 24, 25. In addition, plaintiff pled in some factual detail how the company was ineffective at preventing or stopping the attack. Id. ¶¶ 10-30, 62. Among other things, plaintiff pled that
(1) Capital failed to develop or implement adequate safety procedures;
(2) Capital failed to properly select, hire, retain, monitor, supervise, and evaluate its employees; and
(3) The security guard intentionally shirked his duty by failing to take appropriate mitigating action during the attack.
See generally id. ¶ 62. Plaintiff alleges that these negligent acts establish willful and wanton indifference and conscious disregard for his health and well-being. See id.
The Court finds that plaintiff has sufficiently pled a claim for punitive damages against Capital to survive a motion to dismiss. Read in the light most favorable to plaintiff, these averments sufficiently allege that Capital knew of the risk of harm to plaintiff - given that Capital was specifically hired to perform security services for the school - and that Capital's actions were sufficiently outrageous based on its reckless mental state.4 While the Court declines to dismiss plaintiff's punitive damages claim at the pleading stage, it certainly acknowledges Capital's well supported argument that plaintiff faces a substantial burden to prove his entitlement to punitive damages in this case. This contention can be raised again at a later stage of litigation.
Finally, the Court briefly addresses Capital's reliance on Feld v. Merriam , 506 Pa. 383, 485 A.2d 742 (1984). There, defendant sought to hold a landlord liable for criminal acts of unknown third parties. The Court held that the trial court erred in submitting the issue of punitive damages to the jury because the type of danger at issue was not "an easily perceptible one." Id. at 748. "In deciding whether to impose punitive damages a court should not look to the third party's criminal conduct, which in this case was truly outrageous; a court should not look at the end result, which in this case also was outrageous; rather, the court should examine the actor's conduct." Id.
Here, Feld is instructive on punitive damages. Nevertheless, the Feld ruling *969was not made at the pleading stage. The court in that instance had the benefit of a fully developed record, including a jury verdict. Furthermore, at this stage, this Court need not determine whether as a matter of law Capital acted with the state of mind necessary to impose punitive damages. "[T]he clear trend in this Circuit is to permit adequately pled claims of punitive damages based on negligence to proceed to discovery." Young v. Westfall , No. 406-CV-2325, 2007 WL 675182, at *3 (M.D. Pa. Mar. 1, 2007). Accordingly, Capital's motion to dismiss will be denied.
C. Franklin Regional School District's motion to dismiss (Doc. No. 29)
This matter is in federal Court based on alleged civil rights violations. Plaintiff brings two claims pursuant to 42 U.S.C. § 1983. Specifically, in Count VII, he asserts a substantive due process violation under the Fourteenth Amendment for "injury to bodily integrity." Although not expressly stated in these terms, the Court interprets the allegations in Count VII as raising a municipal liability claim under Monell v. Dep't of Soc. Servs. , 436 U.S. 658, 98 S.Ct. 2018, 56 L.Ed.2d 611 (1978), and its progeny. In Count VIII, plaintiff further alleges a substantive due process violation resulting from the "state-created danger" doctrine.5 The school district alleges that each count fails to state a claim.
The pertinent language of 42 U.S.C. § 1983 states:
Every person who, under color of any statute, ordinance, regulation, custom, or usage, of any State or Territory or the District of Columbia, subjects, or causes to be subjected, any citizen of the United States or other person within the jurisdiction thereof to the deprivation of any rights, privileges, or immunities secured by the Constitution and laws, shall be liable to the party injured in an action at law, suit in equity, or other proper proceeding for redress.
Section 1983 does not create any substantive rights. Instead, the statute provides a remedy for violations of constitutional rights where the alleged violation was committed by a person acting under the color of state law. Mark v. Borough of Hatboro , 51 F.3d 1137, 1141 (3d Cir.), cert. denied, 516 U.S. 858, 116 S.Ct. 165, 133 L.Ed.2d 107 (1995) ; Kneipp v. Tedder , 95 F.3d 1199, 1204 (3d Cir. 1996) ; Moore v. Tartler , 986 F.2d 682, 685 (3d Cir. 1993). "The first step in evaluating a Section 1983 claim is to identify the exact contours of the underlying right said to have been violated and to determine whether the plaintiff has alleged a deprivation of a constitutional right at all."
*970Morrow v. Balaski , 719 F.3d 160, 166 (3d Cir. 2013) (internal citations and quotations omitted).
1. Substantive due process right to bodily integrity
Here, plaintiff asserts violations of his substantive due process rights under the Fourteenth Amendment, specifically his right to bodily integrity.6 Doc. No. 1-2 ¶¶ 65-90. The Supreme Court has long established that, "[a]s a general matter, ... a State's failure to protect an individual against private violence simply does not constitute a violation of the Due Process Clause." DeShaney v. Winnebago Cnty. Dep't of Social Servs. , 489 U.S. 189, 197, 109 S.Ct. 998, 103 L.Ed.2d 249 (1989). Indeed, "nothing in the language of the Due Process Clause itself requires the State to protect the life, liberty, and property of its citizens against invasion by private actors ... Its purpose was to protect the people from the State, not to ensure that the State protected them from each other." Id.
Although the state generally has no affirmative duties of care and protection, there are two exceptions. The first is known as the "special relationship" exception. It applies when the state "takes a person into custody and holds him there against his will." Id. at 199-200, 109 S.Ct. 998.7 The second exception, known as the "state-created danger" doctrine, applies when "the state's own actions create the very danger that causes the plaintiff's injury." Morrow v. Balaski , 719 F.3d 160, 167 (3d Cir. 2013) ; Kneipp v. Tedder , 95 F.3d 1199, 1201 (3d Cir. 1996). Kneipp was the first Third Circuit case applying the state-created danger doctrine; there, the Court held that a private citizen could assert a substantive due process violation when police officers themselves created the danger that caused the injury. Id. at 1213.
2. The state-created danger doctrine
To prevail under the state-created danger doctrine, a state actor must "create or enhance a danger that deprives the plaintiff of his or her Fourteenth Amendment right to substantive due process." Morrow v. Balaski , 719 F.3d 160, 177 (3d Cir. 2013) (emphasis in original). Plaintiff must prove the following four elements:
1) the harm ultimately caused was foreseeable and fairly direct;
2) a state actor acted with a degree of culpability that shocks the conscience;
3) a relationship between the state and the plaintiff existed such that the plaintiff was a foreseeable victim of the defendant's acts, or a member of a discrete class of persons subjected *971to the potential harm brought about by the state's actions, as opposed to a member of the public in general; and
4) a state actor affirmatively used his or her authority in a way that created a danger to the citizen or that rendered the citizen more vulnerable to danger than had the state not acted at all.
Id. (quoting Bright v. Westmoreland Cnty. , 443 F.3d 276, 281 (3d Cir. 2006) ) (citations and internal quotation marks omitted).
In applying these elements to the instant case, the Court finds plaintiff has failed to state an actionable claim.
As to the first element, foreseeability "requires that officials were actually aware, and thus on notice, of the risk of harm." Id. at 233 (citing Henry v. City of Erie , 728 F.3d 275, 282 (3d Cir. 2013) ); Gremo v. Karlin , 363 F.Supp.2d 771, 784 (E.D. Pa. 2005) ("Under Third Circuit jurisprudence, a harm is foreseeable when a state actor has actual awareness, based on concrete information, of a risk of harm to an individual or class of individuals such that the actor is on notice that his or her act or failure to act significantly enhances that risk of harm."). "Fairly direct" refers to actions that cannot be "separated from the ultimate harm by a lengthy period of time and intervening forces and actions." Id. (quoting Henry , 728 F.3d at 285 ) (internal quotations omitted).
Here, plaintiff argues that the foreseeability element is satisfied because (1) the school district was allegedly aware of Hribal's serious mental illness and violent propensities, and (2) the school district knew that Capital would provide inadequate security. Doc. No. 32 at 11. In his complaint, plaintiff avers, without any supporting facts, that the school district was "aware" of Hribal's violent tendencies and mental illness. Doc. No. 1-2 ¶ 29. He further asserts that the school district knew Capital would provide inadequate security because Capital hired a 70-yearold security guard. Id. ¶¶ 24-25; Doc. No. 32 at 11. Plaintiff further contends that the school district hired Capital as mere "window dressing" to placate students and parents, without any intention of providing meaningful security to students. Doc. No. 1-2 ¶ 86.
Assuming all of the allegations in the complaint are true, and when viewed in the light most favorable to plaintiff, the Court finds that they do not rise to the level of foreseeability as contemplated by the Third Circuit. Nothing about these allegations suggest that the school district had any indication that Hribal would bring knives to school and stab 20 of his classmates. The complaint makes no mention of any previous instances of violence - nor does it provide any concrete information of any kind - suggesting that the school had reason to know Hribal would attack his classmates, particularly in this matter.8 See, e.g, Mohammed v. Sch. Dist. of Phila. , 355 F.Supp.2d 779, 784 (E.D. Pa. 2005), aff'd, 196 F. App'x 79 (3d Cir. 2006) ("The cases in which the Courts have found this element satisfied generally involve situations where a specific harm to a specific person was foreseeable."); see also *972D.M. by Sottosanti-Mack v. Easton Area Sch. Dist. , No. CV 17-1553, 2017 WL 6557560, at *4 (E.D. Pa. Dec. 22, 2017) (holding that a student who stabbed a classmate in the face with a pencil was not foreseeable harm, despite the school knowing that the student had previously assaulted fellow classmates); Gayemen v. Sch. Dist. of the City of Allentown , No. 14-CV-1518, 2016 WL 3014896, at *9 (E.D. Pa. May 26, 2016), aff'd sub nom. Gayemen v. Sch. Dist. of City of Allentown, 712 F. App'x 218 (3d Cir. 2017) (holding that the foreseeability element was not satisfied when plaintiff failed to offer any evidence demonstrating that school officials were aware assailants had previously assaulted anyone else in the school). Even if school officials had reason to believe Hribal had violent propensities or some underlying mental illness, plaintiff must plead more to show that those officials had actual awareness , based on some type of concrete information, that the type of harm in this case was foreseeable and that the school district's affirmative conduct would significantly increase the risk of harm.
Similarly, plaintiff fails to plead that the harm was a "fairly direct" result of any school official's affirmative acts. "A plaintiff must plead that the state officials' actions precipitated or were the catalyst for the harm for which the plaintiff brings suit. It is insufficient to plead that state officials' actions took place somewhere along the causal chain that ultimately led to the plaintiff's harm." D.M. by Sottosanti-Mack v. Easton Area Sch. Dist. , No. CV 17-1553, 2017 WL 6557560, at *4 (E.D. Pa. Dec. 22, 2017) (quoting Henry v. City of Erie , 728 F.3d 275, 285 (3d Cir. 2013) ) ("internal quotations omitted".) As will be discussed, infra , plaintiff has failed to allege any affirmative acts that would give rise to liability under the state-created danger doctrine. In this Court's estimation, the school district's actions (or lack thereof) - that is, its alleged failure to implement proper security measures, and its purported knowledge that the 70-year-old security guard was incapable of stopping a security threat - do not provide a sufficient basis to establish causation.
With respect to the second element, state officials must act "with deliberate indifference or the intent to cause harm." Doe v. Plum Borough Sch. Dist. , No. 2:17-CV-00032, 2017 WL 3492542, at *6 (W.D. Pa. Aug. 15, 2017), dismissed, No. 17-2899, 2018 WL 1224409 (3d Cir. Jan. 17, 2018). Deliberate indifference exists when a party has consciously disregarded a substantial risk of serious harm, or when a risk of harm is so patently obvious that the party should have known of it. Id. "Under this standard, the danger must have been foreseeable to the state actors and the state's actions must evince a willingness to ignore that foreseeable risk of danger." Gremo v. Karlin , 363 F.Supp.2d 771, 788 (E.D. Pa. 2005) (quoting Morse v. Lower Merion Sch. Dist. , 132 F.3d 902, 910 (3d Cir. 1997) ) (internal quotations omitted).
As to the second element, plaintiff argues that the school district acted with culpability that shocks the conscience because (1) it had plenty of opportunity to put in place safety measures that could have prevented Hribal from carrying out the attack, and (2) it hired Capital to placate parents and students without intending to provide real security. Doc. No. 32 at 12. More generally, plaintiff makes a policy argument that the school district knew of the "extreme danger associated with mass school violence," and thus its actions (or lack thereof) are sufficiently "conscience shocking." Id. at 13.
The Court disagrees that the allegations in the complaint establish the requisite degree of culpability to state a claim under the second element. "This standard requires a willingness to ignore a *973foreseeable danger or risk ... It necessarily follows that as threshold matter, the danger must be foreseeable to demonstrate deliberate indifference." D.M. by Sottosanti-Mack v. Easton Area Sch. Dist. , No. CV 17-1553, 2017 WL 6557560, at *5 (E.D. Pa. Dec. 22, 2017) (internal quotations and citations omitted). As discussed above, plaintiff has failed to establish on the face of the complaint that school officials acted in willful disregard of a foreseeable danger. As this Court has previously explained, deliberate indifference occurs when a state official acts in conscience disregard of a substantial risk of harm, or when that risk is so "patently obvious that the party should have known of it." Doe v. Plum Borough Sch. Dist. , No. 2:17-CV-00032, 2017 WL 3492542, at *6 (W.D. Pa. Aug. 15, 2017), dismissed, No. 17-2899, 2018 WL 1224409 (3d Cir. Jan. 17, 2018) ; see also L.R. v. Sch. Dist. of Philadelphia , 836 F.3d 235, 246 (3d Cir. 2016).
Plaintiff avers that the school district (1) failed to properly implement and maintain safety measures in the event of emergencies, despite knowing that students faced a substantial risk of harm; (2) failed to ensure that Capital provided adequate security; and (3) hired Capital as a means to placate parents and students - mere "window dressing" for security. Despite plaintiff's creative arguments, these allegations, at most, amount to negligence, which is insufficient to establish culpability that shocks the conscience. Moreover, to the extent that plaintiff raises policy arguments about schools being aware of the risks of mass violence, this Court is not in a position to expand the confines of the Constitution on grounds of policymaking. Rather, state and federal legislatures retain the authority to respond to these kinds of situations, and to fashion appropriate legal remedies. Although this Court is naturally moved by the horrific circumstances surrounding plaintiff's injury, it is prudent to remember the reasoning in DeShaney :
Judges and lawyers, like other humans, are moved by natural sympathy in a case like this to find a way for [plaintiffs] to receive adequate compensation for the grievous harm inflicted upon them. But before yielding to that impulse, it is well to remember once again that the harm was inflicted not by the State of Wisconsin, but by [the young boy's] father.
489 U.S. 189, 202-03, 109 S.Ct. 998, 103 L.Ed.2d 249 (1989). A court may have sincere sympathy for plaintiff, his family, and all the other victims of this tragedy, but it is well to remember that Alexander Hribal, not the school district, inflicted the blows in this case.
The third element asks whether there is "some relationship"9 between the state actor and the plaintiff. "In the state-created danger context, the relationship between a state and a plaintiff need not be 'custodial' ... but rather requires contact between the parties such that the plaintiff was a foreseeable victim in tort." Doe v. Plum Borough Sch. Dist. , No. 2:17-CV-00032, 2017 WL 3492542, at *7 (W.D. Pa. Aug. 15, 2017) (quoting Knellinger v. York Street Prop. Dev., LP , 57 F.Supp.3d 462, 470 (E.D. Pa. 2014) ).
Here, plaintiff has pled sufficient facts to establish a relationship under the third element. Plaintiff was a member of a discrete *974class of persons - students at Franklin Regional High School - such that he could be viewed as a foreseeable victim in tort. Doc. No. 1-2 ¶¶ 2, 3, 11. Gayemen, 2016 WL 3014896, at *9 ("This Court ... concludes that [plaintiff's] attendance at Allen [High School] constituted a relationship between him and the School District such that he would be a foreseeable victim of an alleged danger created by the School District."); see also Gremo v. Karlin , 363 F.Supp.2d 771, 789 (E.D. Pa. 2005).
Finally, as to the fourth element, there must be "an allegation and subsequent showing that state authority was affirmatively exercised." Bright v. Westmoreland Cty. , 443 F.3d 276, 282 (3d Cir. 2006). "It is misuse of state authority, rather than a failure to use it, that can violate the Due Process Clause." Id.
This fourth prong can be difficult to apply. Courts have readily admitted that "the line between action and inaction may not always be clear." Bright, 443 F.3d at 282 ; see also Morrow v. Balaski , 719 F.3d 160, 177 (3d Cir. 2013), as amended (June 14, 2013). The Third Circuit has elaborated, however, that the issue raised under the fourth element is whether "the state actors 'used their authority to create an opportunity that otherwise would not have existed for the third party's crime to occur.' " Bright , 443 F.3d 276, 283 (3d Cir. 2006) (internal citations and quotations omitted). Ultimately, the fourth element intends to distinguish cases where state officials might have done more, from cases where officials created or increased the risk itself. Morrow , 719 F.3d 160, 179 (3d Cir. 2013).
Even if plaintiff has pled sufficient facts to establish the first three elements, plaintiff makes no allegations that satisfy the fourth prong. This insufficiency, alone, warrants dismissal of the claim. Giovinco v. Foster , No. CIV.A. 3:CV-03-1569, 2003 WL 23573864, at *3 (M.D. Pa. Dec. 15, 2003). As discussed above, plaintiff attempts to couch inaction as affirmative acts. To the extent that any of the allegations in the complaint raise potential affirmative conduct - for example, school officials hiring a security guard - these acts in no way increased the risk of harm to plaintiff. Taken as true and viewed in the light most favorable to plaintiff, the facts establish that the school district:
• failed to develop and implement adequate safety procedures in the event of an emergency (Doc. No. 1-2 ¶ 71, 72);
• failed to ensure Capital provided adequate security (id. ¶ 75); and
• retained Capital knowing that it might not provide adequate protection in the event of an emergency (id. ¶ 86).
Under the most generous reading of the complaint, plaintiff has also established that school officials knew about Hribal's violent propensities and took no action. Id. ¶ 29.
These allegations do not give rise to an actionable claim because they align with those cases where officials might have done more, as opposed to those cases where officials created or increased the risk of harm itself. Morrow , 719 F.3d 160, 179 (3d Cir. 2013).
Instructive on this analysis are two seminal Third Circuit opinions addressing the affirmative-action requirement. In Morrow , parents complained to school officials that a student had been bullying their two daughters. The bully even physically attacked those children in the school's lunchroom. Id. at 164. The school suspended the bully for three days. Id. Nevertheless, the bully continued to physically harass the children. The harassment continued to escalate;
*975at some point, the school district was given two "no-contact" orders after the bully was placed on probation by a juvenile criminal court based on previous assaults of the Morrow children. Id. School officials still took no action, and one of the Morrow children was again assaulted. Ultimately, the school district suggested that the parents enroll their daughters in a different school.
The Morrow Court ultimately found that the state-created danger exception did not apply because the parents failed to allege any affirmative action by school administrators that made the children "more vulnerable than they would have been had the administrators stood by and done nothing at all." Id. at 178. "Although the suspension was an affirmative act by school officials, we fail to see how the suspension created a new danger for the Morrow children or rendered them more vulnerable to danger had the state not acted at all." Id. The Morrow Court further explained that the school district's failure to expel the bully, and its alleged failure to enforce a disciplinary policy, did not trigger a duty to protect. Id. Although school officials might have done more, they did not increase the risk of harm itself. Id. at 179.
By contrast, in Kneipp v. Tedder , 95 F.3d 1199, 1201 (3d Cir. 1996), the Third Circuit held that police officers engaged in affirmative conduct that gave rise to actionable claims under the state-created danger exception because those officers created the danger that caused the injury. In Kneipp , police officers stopped Kneipp and her husband for causing a disturbance on a highway while they were walking home from a bar. The Kneipps were only one-third of a block from their home. Id. at 1201. Kneipp was unable to stand by herself because she was so severely intoxicated. Id. at 1201-03. Her husband asked the police officers if he could leave to tend to their young son who was home with a babysitter. Id. at 1202. The police officer allowed the husband to leave, and he assumed the officers would take care of his wife due to her inebriated state. Instead, the officers sent Kneipp home alone. She was forced to walk home alone in the cold, and she subsequently fell down an embankment and suffered hypothermia resulting in permanent brain damage. Id. at 1201-03.
The Kneipp Court found that the state acted affirmatively in creating a danger because the officers put the woman "in a worse position after the police intervened than she would have been if they had not done so." Id. at 1209. "It is conceivable that, but for the intervention of the police, [the husband] would have continued to escort his wife back to their apartment where she would have been safe." Id. Because the affirmative acts of the police created the dangerous situation, they were required to take additional measures to ensure her safety. Id. at 1210.
Here, plaintiff alleges no facts where a state actor created a dangerous situation.10
*976One cannot say that the school administrators placed plaintiff in a worse position than had its officials not acted at all. Similar to the facts in Morrow , it is alleged here that school administrators did not implement or enforce adequate safety measures. These allegations properly suggest that the school officials could have done more to protect students such as plaintiff. Nevertheless, the administrators' conduct in hiring a security company - even if they suspected that the security might be inadequate - did not render plaintiff more vulnerable to harm than had they not hired a security company at all. Plaintiff raises an interesting argument about the school district attempting to placate students and parents - "window dressing" for adequate safety. Despite the argument's novelty, it is unpersuasive. Because plaintiff unsuccessfully seeks to couch acts of omission as affirmative acts, his constitutional claim fails under the fourth element.11
3. Monell liability
As a final matter, the Court interprets plaintiff's complaint at Count VII as raising a municipal liability claim. Although the pleading is not a model of clarity as to this claim, plaintiff avers that the school district's actions demonstrated an "adopted practice, custom and policy of deliberate indifference to plaintiff's health, safety and welfare." Doc. No. 1-2 ¶ 74. Specifically, plaintiff avers that these "practices, customs and policies are demonstrated by the fact that ... [the school district] failed to properly implement, enforce, or maintain procedures in the event of emergencies," such as the one that occurred. Id. ¶ 75. He further avers that the school district "failed to ensure that defendant Capital was providing adequate security to the premises." Id.
"Courts recognize that municipal government units may constitute 'persons' against whom a claim may be raised under § 1983." Doe v. Plum Borough Sch. Dist. , No. 2:17-CV-00032, 2017 WL 3492542, at *7 (W.D. Pa. Aug. 15, 2017), dismissed, No. 17-2899, 2018 WL 1224409 (3d Cir. Jan. 17, 2018) (citing Jackson v. City of Erie Police Dep't , 570 F. App'x 112, 114 n. 2 (3d Cir. 2014) ). Nevertheless, in Monell v. New York City Dept. of Social Serv. , 436 U.S. 658, 98 S.Ct. 2018, 56 L.Ed.2d 611, the Supreme Court held that
... a local government may not be sued under § 1983 for an injury inflicted solely by its employees or agents. Instead, it is when execution of a government's policy or custom, whether made by its lawmakers or by those whose edicts or acts may fairly be said to represent official policy, inflicts the injury that the government as an entity is responsible under § 1983.
*977Id. at 694, 98 S.Ct. 2018. To that end, municipality liability cannot be based upon a theory of respondeat superior or vicarious liability. Id. at 694, 98 S.Ct. 2018, see also Kneipp v. Tedder , 95 F.3d 1199, 1211 (3d Cir. 1996). Rather, the plaintiff must show that the "municipality itself supported the violation of rights alleged" through the implementation of a policy or custom. Andrews v. City of Philadelphia , 895 F.2d 1469, 1480 (3d Cir. 1990) ; Monell , 436 U.S. at 692-95, 98 S.Ct. 2018.
Here, plaintiff has failed to state a municipal liability claim for at least two reasons. First, plaintiff fails to identify the specific policy or policymaker at issue. Conclusory allegations about a general lack of policies concerning safety measures is insufficient. See D.M. by Sottosanti-Mack v. Easton Area Sch. Dist. , No. CV 17-1553, 2017 WL 6557560, at *8 (E.D. Pa. Dec. 22, 2017). "[A] complaint must include specific factual allegations referencing the conduct, time, place, and persons responsible for any official municipal policy or custom." Kelty v. City of Philadelphia , No. CV 16-0306, 2016 WL 8716437, at *4 (E.D. Pa. June 10, 2016) (quoting Torres v. City of Allentown , No. 07-1934, 2008 WL 2600314, at *5, 2008 U.S. Dist. LEXIS 50522 at *13 (E.D. Pa. June 30, 2008) ).
Second, and equally problematic, plaintiff has not identified a constitutional violation for which he can assert an actionable claim for municipal liability. "A policy, practice, or custom is only unconstitutional because it allows another unconstitutional violation." Giovinco v. Foster , No. CIV.A. 3:CV-03-1569, 2003 WL 23573864, at *4 (M.D. Pa. Dec. 15, 2003) ; see also Sciotto v. Marple Newtown Sch. Dist. , 81 F.Supp.2d 559, 576 (E.D. Pa. 1999). As discussed in Part VI(C)(1)-(2), supra , plaintiff asserts a violation of his substantive due process right to bodily integrity; in this context, that claim is only actionable under the state-created danger doctrine. Because plaintiff has failed to state a claim under that theory, his Monell claim must be dismissed. See, e.g., Giovinco v. Foster , No. CIV.A. 3:CV-03-1569, 2003 WL 23573864, at *4 (M.D. Pa. Dec. 15, 2003) ("Because I have already held that Plaintiffs make no allegations which establish that the state created a danger ... Plaintiffs do not allege any other constitutional violation, there can be no liability for any policy, practice, or custom [the school district] maintained."); Gayemen v. Sch. Dist. of the City of Allentown , No. 14-CV-1518, 2016 WL 3014896, at *12 (E.D. Pa. May 26, 2016), aff'd sub nom. Gayemen v. Sch. Dist. of City of Allentown , 712 F. App'x 218 (3d Cir. 2017) ; Magwood v. French , 478 F.Supp.2d 821, 832 (W.D. Pa. 2007) (collecting cases); D.R. by L.R. v. Middle Bucks Area Vocational Tech. Sch. , 972 F.2d 1364, 1376 (3d Cir. 1992).
Finally, the Court briefly addresses plaintiff's demand for punitive damages against the school district. "Punitive damages claims are barred against municipalities under § 1983." Mitros v. Cooke , 170 F.Supp.2d 504, 507 (E.D. Pa. 2001) (citing City of Newport v. Fact Concerts, Inc. , 453 U.S. 247, 271, 101 S.Ct. 2748, 69 L.Ed.2d 616 (1981) ). To the extent plaintiff seeks punitive damages against the school district, those claims will be dismissed with prejudice. Plaintiff's Section 1983 claims will otherwise be dismissed without prejudice.
VII. Conclusion
For the reasons stated herein, plaintiff has stated a claim under Pennsylvania law regarding the parents' alleged negligence. The actionable claim is not for vicarious liability, but for the parents' own alleged acts in making the injury possible. The Court has found that plaintiff has sufficiently *978alleged that the parents ought to have foreseen the injury and that their negligence is the proximate cause of that injury. Similarly, the Court has found that plaintiff has alleged sufficient facts that, if proven at trial, could support imposition of punitive damages.
Second, plaintiff has alleged sufficient facts that could support punitive damages against the security company. The Court notes that, with respect to both the parents' motion to dismiss and Capital's motion to dismiss, plaintiff will face a substantial burden moving forward. Nevertheless, the well-pleaded facts in the complaint, taken as true, render those claims plausible.
Third, plaintiff has failed to state an actionable Section 1983 claim. In this context, alleged violations of a due process right to bodily integrity is only actionable under the state-created danger doctrine. That is because the state otherwise has no duty to protect a citizen from violence caused by another private citizen. Here, the Court has found that plaintiff has failed to allege any facts that would satisfy the elements of that doctrine. In particular, he has failed to identify (1) that the harm was foreseeable and fairly direct; (2) that a state actor acted with culpability to shock the conscience; or (3) that a state actor acted affirmatively to create a danger to him. While school officials might have done more, their actions did not increase the risk of harm itself. Finally, because plaintiff has not pled sufficient facts to show a constitutional violation, his municipal liability claim also fails as a matter of law.
In granting the school district's motion to dismiss, the Court will permit leave to amend. The Court cannot say with certainty that amendment would be futile, so his Section 1983 claims will be dismissed without prejudice. See Phillips v. Cty. of Allegheny , 515 F.3d 224, 246 (3d Cir. 2008) ; Fletcher-Harlee Corp. v. Pote Concrete Contractors, Inc. , 482 F.3d 247, 251 (3d Cir. 2007) ("Our precedent supports the notion that in civil rights cases district courts must offer amendment-irrespective of whether it is requested-when dismissing a case for failure to state a claim unless doing so would be inequitable or futile."); Ne. Revenue Servs., LLC v. Maps Indeed, Inc. , 685 F. App'x 96, 103 (3d Cir. 2017). Plaintiff will have 21 days to file an amended complaint. If amendment is not forthcoming within that time, his claims against the school district will be dismissed with prejudice. In that instance, the remaining state law claims will then be remanded. See 28 U.S.C. § 1367(c)(3).
An appropriate order follows.
4.2.6.4.7 Questions and Notes on Keener 4.2.6.4.7 Questions and Notes on Keener
Fun Fact
In 2017 Alex Hribal pleaded guilty to 43 criminal counts, which included attempted murder and aggravated assault. His attorneys argued that he had been bullied by some of the students. He was sentenced to 23½ to 60 years in prison, a sentence which he appealed in 2019 and lost. The Pennsylvania Supreme Court refused to take up a further appeal in May 2020. See Paul Pierce, Pa. Supreme Court upholds Alex Hribal plea, prison sentence in Franklin Regional stabbings, Trib Live (May 4, 2020), https://triblive.com/local/westmoreland/pa-supreme-court-upholds-alex-hribal-plea-prison-sentence-in-franklin-regional-stabbings/.
Guiding Questions
- Who is the plaintiff, defendant, and third party?
- What kind of duty does the plaintiff say the defendant owed?
- Most of the discussion focuses on whether the defendant knew about the risk of harm and could have prevented it. What does Judge Fischer say as to each of these points?
Test Your Knowledge
Amelia is a second-grader playing with her friends outside during recess. A man she does not know approaches the group of friends. He hands Amelia what he says is a water gun and tells her to spray it at the girl next to her. It is in fact a loaded pistol, but Amelia—all of seven years old—has never seen a gun in her life (let alone used one), and she does not know it is a real gun. Moreover, Amelia feels threatened by the man. So, she turns to Sandra, her friend next to her, and pulls the trigger, shooting Sandra. Sandra's parents sue Amelia's parents for negligence, arguing that they should be liable for failing to supervise Amelia and prevent the school shooting. Under the reasoning of the principal case, are Amelia's parents liable?
- No, because there is no evidence Amelia's parents reasonably could have prevented the shooting or were aware that it would happen.
- No, because parents cannot be held liable in negligence if their child harms another person intentionally.
- Yes, because Amelia's parents had a reasonable opportunity to control her conduct at the time of the incident.
- Yes, because parents may always be liable in negligence for the intentional torts of their children.
Notes and Further Cases
- Disposition and aftermath. The principal case was a civil suit brought by Greg Keener—one of the student victims—against Hribal's parents, as well as the school district and a private security company hired to staff the school. (Those portions of the opinion are elided.) Keener sued in Pennsylvania state court, but because his claims against the school district raised federal questions, the defendants removed the entire case to federal court and then moved to dismiss. As we read, Judge Fischer denied the parents' motion. She also denied the security company's motion. But she granted the school's motion to dismiss, eliminating the only party that could maintain the case in a federal court. As a result, Judge Fischer remanded the case to the county court in Pennsylvania. Unfortunately, specific details on the final outcome of the case after the remand, including whether the case was settled or went to trial, are not widely reported.
- Tort claims against government actors. Keener's claims against the school were brought under a specific provision of the 1871 Civil Rights Act. That provision is practically famous and goes by multiple names: "Section 1983" (referring to its codification at 42 U.S.C. § 1983) or the "constitutional tort statute". Section 1983 allows a private person to sue state actors for damages in federal court if the state actor violates the person's federal constitutional or statutory rights. Section 1983 also applies to certain municipal actors. See Monell v. Dep't of Soc. Servs., 436 U.S. 658 (1978). Section 1983 deserves a course in itself. For now, just know that it is the primary vehicle through which private persons sue state and local actors for money damages for constitutional wrongs.
- Liability of gun manufacturers and dealers. Some victims of mass shootings have attempted to sue gun manufacturers and dealers for negligence. They've faced an uphill battle. In 2005 Congress passed and President George W. Bush signed the Protection of Lawful Commerce in Arms Act (PLCAA), which generally prohibits civil suits against certain gun manufacturers or sellers for injuries resulting from a third party's unlawful use of a gun. 15 U.S.C. § 7901 et seq. There are some exceptions. Relevant here, a plaintiff can sue a gun seller for selling to someone whom the seller knows (or reasonably should know) is likely to inflict physical injury and then does so. See id., § 7903(5)(A)(ii); see, e.g., Chiapperini v. Gander Mountain Co., Inc., 13 N.Y.S.3d 777 (Sup. Ct. 2014); Minnesota v. Fleet Farm LLC, 679 F. Supp. 3d 825 (D. Minn. 2023). Some of these cases can involve multiple resales. See Williams v. Beemiller, Inc., 952 N.Y.S.2d 333 (App. Div. 2012) (denying defendants' motions to dismiss for failing to state a claim under the PLCAA after Ohio gun manufacturer sold 9mm semi-automatic pistol to Ohio wholesale distributor, which resold pistol to Ohio firearms licensee, which resold it to gun show customer in Ohio, who trafficked the pistol to a gang member in New York, who used it to shoot the plaintiff, a high-school student). In a recent decision Justice Kagan of the U.S. Supreme Court, writing for the majority, cited to this "industry structure" and set a high bar for the threshold knowledge, requiring a showing that manufacturers and distributors know about the exact bad-apple dealers and sell to them despite that knowledge. See Smith & Wesson Brands, Inc. v. Estados Unidos Mexicanos, No. 23-1141, slip op. at 11-12 (U.S. June 5, 2025).
- Liability for gun marketing. Another exception to the PLCAA applies if the gun manufacturer or seller "knowingly violate[s] a State or Federal statute applicable to the sale or marketing" of the gun. 15 U.S.C. § 7903(5)(A)(iii). Again, the opinions seem to come only from the motion-to-dismiss stage. At least one case has made it past this stage. In Soto v. Bushmaster Firearms Int’l, LLC, estates of students killed during the 2012 Sandy Hook Elementary massacre sued Bushmaster—the manufacturer of the semiautomatic rifle used during the attack—for violating Connecticut's unfair trade practices statute. 202 A.3d 262 (Conn. 2019). The estates said Bushmaster marketed its rifle as military grade: "Forces of opposition, bow down. You are single-handedly outnumbered," said one ad, id. at 278; "[w]hen you need to perform under pressure, Bushmaster delivers," said another, id. at 277. These slogans often were set against backdrops of soldiers, troop movements, and military equipment. See id. at 277-78. The Court held that the estates alleged enough to invoke the qualifying unfair marketing statute under the PLCAA and defeat Bushmaster's motion to dismiss. See id. at 294-95. For more on efforts to hold gun manufacturers liable in tort, see Dru Stevenson & Jenna R. Shorter, Revisiting Gun Control and Tort Liability, 54 Ind. L. Rev. 365 (2021).
4.3 Proving Breach 4.3 Proving Breach
4.3.1 Preface to Breach 4.3.1 Preface to Breach
Once the plaintiff has shown that the defendant owed a duty, the next element of proving negligence is that the defendant breached that duty. Specifically, the plaintiff must show that the defendant's behavior in the circumstances did not measure up to the standard of care required of a reasonable person in those circumstances. Like the other elements of negligence, the plaintiff must prove breach by a preponderance of the evidence. Unlike the element of duty, the jury, not the judge, usually decides whether the plaintiff has proved breach.
To prove breach, the plaintiff needs to prove the facts of what happened; the plaintiff needs a lot of evidence. Evidence comes in many forms, and to study the intricacies of them all would require a course in itself. Luckily, most law schools (including ours) offer such a course on evidence, which you should take. For our purposes we will just cover a few basic concepts.
Direct evidence. The strongest evidence for a plaintiff is direct evidence, which directly establishes a fact without the need for inference or presumption. Direct evidence comes in many forms: The defendant admits negligent conduct. An eyewitness testifies to it. An expert reconstructs it. The defendant is convicted of an analogous crime for it. Or the defendant has already been found liable for it, which precludes relitigation of the issue under the doctrine of res judicata. Each sort of direct evidence is subject to formal rules of evidence, which govern its admissibility and the weight it carries. When direct evidence is introduced and not contested, it often leads to a directed verdict for the plaintiff, since it would establish the key facts of the case unequivocally.
Circumstantial evidence. The most common alternative to direct evidence is circumstantial evidence. "Circumstantial evidence" often means that the plaintiff proves a fact from which another fact reasonably follows, or a jury might infer it. Together the fact and its inference tend to prove breach. To see how this works, consider the following two cases in which the plaintiff slips and falls on the defendant's premises. In both, the plaintiff is a train passenger. The defendant is the train company. The premises is the train station. And the fall-causing culprit? A banana peel.
In cases where the plaintiff is injured from a fall on the defendant’s property, the plaintiff must provide evidence that allows a jury to reasonably conclude that the defendant acted unreasonably. Usually, the plaintiff will present information about the condition of the surface or object on which they fell to show that it had been in a hazardous state for long enough that the defendant should have discovered and fixed the issue.
- Suppose the plaintiff proves the following facts. Plaintiff arrived at the station. The station was busy. Many people were exiting the train, entering the train, and standing or moving on the platform while waiting for another train. Plaintiff exited the train car. Plaintiff walked about a car's length away. And there, Plaintiff slipped on the banana peel. Are these facts, taken as a whole, enough for a jury reasonably to conclude that the train station was in breach? Oliver Wendell Holmes, while sitting as Chief Justice of the Massachusetts Supreme Court, handed down an extremely short opinion: "The banana skin upon which the plaintiff stepped, and which caused him to slip may have been dropped within a minute by one of the persons who was leaving the train. It is unnecessary to go further to decide the case. Exceptions overruled." Goddard v. Boston & Me. R.R. Co., 60 N.E. 496 (Mass. 1901). In other words, there was no testimony or other evidence as to the duration the banana peel had been on the platform, thus a directed verdict was upheld for the defendant, who might not have had enough time to address the risk.
- Suppose again Plaintiff exited the train car. This time, plaintiff asked one of the train employees to walk her to a different car. Employee started to lead her thence. Employee walked along a narrow platform. Plaintiff followed a few feet behind. And there, Plaintiff slipped on the peel. This time the peel was "trampled over," "flattened down," "black in color," "and gritty, as if there were dirt upon it." Now is this enough for the jury to find breach? The Court held it was. Anjou v. Boston Elevated Ry. Co., 94 N.E. 386 (Mass. 1911). Distinguishing Goddard, the Court held that here the appearance of the banana warranted an inference that it had been on the train station floor a long time. That inference warranted another inference—that the train station's employees had enough time to notice the banana and remove it. In our imagined facts, the employee further guides the plaintiff through the station, generating further expectations about knowledge and care. And that was key: The strength of circumstantial evidence in every case often depends on the time, the place, the defendant's knowledge, and the parties' physical capacities.
How about these other cases?
- Jasko v. F.W. Woolworth Co., 494 P.2d 839 (Colo. 1972): The plaintiff, Grace Jasko, was injured after slipping on a slice of pizza on the terrazzo floor of a Woolworth store in Denver, Colorado. Woolworth sold pizza by the slice on wax paper, and customers often ate the pizza while walking around the store. The trial court directed a verdict for Woolworth, but the Colorado Supreme Court reversed, holding that the mode of operation of the store created a foreseeable risk of such accidents. The court reasoned that because of the way Woolworth conducted its business, the store had constructive notice of the hazardous condition and a duty to take precautions to prevent such injuries.
- Could there be a defense of custom of the industry here? Don't most pizza places sell their pizzas in this way?
- H.E. Butt Grocery Co. v. Resendez, 988 S.W.2d 218 (Tex. 1999): The plaintiff, Eva Resendez, slipped and fell on grapes in the produce section of a grocery store. This display table "contained a bowl of loose grapes for customer sampling", "a three-inch railing around its edges", "floor mats around the display table[]", and "warning cones" near the display. The Texas Supreme Court cited to another grapes display case, Corbin v. Safeway Stores, Inc., 658 S.W.2d 292 (Tex. 1983). In that case, there "was more evidence than the mere existence of display" from which one could derive unreasonable behavior on part of the grocery store. There the grapes were displayed "in a slanted bin over a linoleum tile floor with no protective floor mat." For Eva there was no parallel evidence from which to build.
Alternative Doctrines. What do you do if you have no direct or circumstantial evidence on which to rely? Tort law offers you two doctrines. Res ipsa loquitur (often shortened to res ipsa or "RIL") and negligence per se ("NPS"). The former is an exception to the general rule that a plaintiff cannot prove breach merely by showing that an accident happened. Res ipsa applies to the rare accident which, by its very nature, implies that negligence must have happened—that the negligence, as the Latin phrase means, "speaks for itself." The latter doctrine, NPS, involves the use of statutes, legislative enactments, or other regulations to circumvent the need to prove duty and breach. Under NPS an act is considered negligent because it violates a statute or regulation; such a violation is automatically deemed to breach the duty of care owed to others, making it unnecessary for the plaintiff to prove that the defendant acted unreasonably under common law negligence principles.
4.3.2 Knowledge, Capacity, and Custom 4.3.2 Knowledge, Capacity, and Custom
4.3.2.1 Baker v. Fenneman & Brown Properties, LLC 4.3.2.1 Baker v. Fenneman & Brown Properties, LLC
The Taco Bell Fainting Case
Aaron BAKER, Appellant-Plaintiff, v. FENNEMAN & BROWN PROPERTIES, LLC and Southern Bells of Indiana, Inc., all d/b/a Taco Bell, Appellees-Defendants.
No. 87A04-0210-CV-492.
Court of Appeals of Indiana.
Aug. 26, 2003.
*1204Lane C. Siesky, Barber and Shoulders, LLP, Evansville, IN, Attorney for Appellant.
Mary Elisabeth Jankowski, Law Offices of Citizens Insurance Co., Indianapolis, IN, Attorney for Appellees.
*1205OPINION
Aaron Baker appeals the trial court's grant of summary judgment to Fenneman & Brown Properties, L.L.C. and Southern Bells of Indiana, Inc., all d/b/a Taco Bell (hereinafter collectively "Taco Bell"). Baker raises one issue, which we restate as whether Taco Bell has a duty to assist a customer who falls to the floor and loses consciousness when the customer's fall was not due to any fault of Taco Bell.1
We reverse and remand.2
FACTS AND PROCEDURAL HISTORY
On August 26, 1999, Baker entered the Taco Bell store in Newburgh, Indiana, to purchase a soft drink. Upon entering the store, Baker felt nauseous, but he continued to the counter, where he ordered a drink. Baker handed the cashier money for the drink and suddenly fell backward. Baker's head hit the floor, and he was knocked unconscious and began having convulsions.3
Baker and Taco Bell disagree regarding whether Taco Bell rendered assistance to Baker. Baker claims that when he regained consciousness, he was staring at the ceiling, he had no idea what was going on, and he did not know where he was. He claims that no Taco Bell employee called for medical assistance or helped him in any way. Taco Bell claims that the cashier walked around the counter to Baker, where she waited for his convulsions to stop, and then she asked Baker if he was okay and if he needed an ambulance. The employee claims Baker said he was fine and he did not need an ambulance, so she walked back around the counter.
What happened next is undisputed. Moments after Baker stood up, he fell again. This time, Baker fell forward and was knocked unconscious. The fall lacerated his chin, knocked out his four front teeth, and cracked the seventh vertebra of his neck. When Baker regained consciousness, he was choking on the blood and teeth in his mouth. Baker stumbled out of the store to a friend, who contacted Baker's fiancé to take him to the hospital.
Baker filed a complaint against Taco Bell, in which he alleged: 1) Taco Bell breached its duty to render assistance to him until he could be cared for by others when Taco Bell employees knew or should have known that he was ill or injured, and 2) Taco Bell's "conduct constituted gross negligence, wanton disregard and wanton recklessness" toward Baker. (Appellant's App. at 8.) Baker sought damages for med*1206ical bills, lost wages, pain and suffering, and mental anguish.
Taco Bell moved for summary judgment, claiming it owed Baker no duty. Baker responded by arguing Taco Bell had a duty to help him, and even if it did not, a Taco Bell employee testified in her deposition that she offered assistance to Baker; Taco Bell, therefore, assumed a duty to provide reasonable assistance to Baker. The trial court granted Taco Bell's motion.
STANDARD OF REVIEW
When we review a trial court's grant of summary judgment, we apply the same standard the trial court applied: we determine whether a genuine issue of material fact existed and whether the moving party was entitled to judgment as a matter of law. Luhnow v. Horn, 760 NE.2d 621, 625 (Ind.Ct.App.2001). While a trial court's grant of summary judgment is clothed with a presumption of validity and the appellant bas the burden of demonstrating the trial court erred, we must assess the trial court's decision carefully to ensure the appellant was not improperly denied his day in court. Id. If the moving party demonstrates that no genuine issue of material fact exists and that it is entitled to summary judgment as a matter of law, then the burden shifts to the nonmov-ant to designate specific facts that raise a genuine issue for trial. Id.
DISCUSSION AND DECISION
Baker claims Taco Bell had a duty to assist him and that it breached that duty by failing to provide assistance to him. Taco Bell argues it had no duty to assist Baker because it was not responsible for the instrumentality that caused Baker's initial injury. We believe Baker is correct.
To effectively assert a negligence claim, Baker must establish: (1) that Taco Bell had a duty "to conform [its] conduct to a standard of care arising from [its] relationship with [Baker]," (2) that Taco Bell failed to conform its conduct to that standard of care, and (8) that Baker incurred injuries as a proximate result of Taco Bell's breach of its duty. See Ind. State Police v. Don's Guns & Galleries, 674 N.E.2d 565, 568 (Ind.Ct.App.1996), trans. denied 688 N.E.2d 592 (Ind.1997). The existence of a duty is a question of law for the court to decide. Id. To determine whether a duty exists, we must balance three factors: "(1) the relationship between the parties; (2) the reasonable foreseeability of harm to the person injured; and (3) public policy concerns." Id.
As a general rule, an individual does not have a duty to aid or protect another person, even if he knows that person needs assistance. L.S. Ayres v. Hicks, 220 Ind. 86, 93, 40 N.E.2d 334, 337 (1942), reh'g denied w/opinion 220 Ind. 86, 41 N.E.2d 195 (1942). See also Restatement (Second) of Torts § 314 ("The fact that the actor realizes or should realize that action on his part is necessary for another's aid or protection does not of itself impose upon him a duty to take such action.") (hereinafter, "Restatement"). However, both common law and statutory exceptions to that general rule exist. Neg, eg., Restatement § 314B (employer has a duty to protect or aid an injured employee); Ind. Code § 85-46-1-4 (neglect of a dependent is a felony). See also L.S. Ayres, 220 Ind. at 94, 40 N.E.2d at 337 ("under some circumstances, moral and humanitarian considerations may require one to render assistance to another who has been injured, even though the injury was not due to negligence on his part and may have been caused by the negligence of the injured person").
Baker claims Taco Bell had the duty to assist him described under Section 314A of *1207the Restatement, which provides the following exception to the general rule that one person need not assist another:
§ 314A. Special Relations Giving Rise to Duty to Aid or Protect
1) A common carrier is under a duty to its passengers to take reasonable action:
(a) to protect them against unreasonable risk of physical harm, and
(b) to give them first aid after it knows or has reason to know that they are ill or injured, and to care for them until they can be cared for by others.
(2) An innkeeper is under a similar duty to his guests.
(3) A possessor of land who holds it open to the public is under a similar duty to members of the public who enter in response to his invitation.
(4) One who is required by law to take or who voluntarily takes the custody of another under cireumstances such as to deprive the other of his normal opportunities for protection is under a similar duty to the other.
The duty that arises under Section 314A exists because of the special relationship between the parties. Restatement § 314A, emt. b. The relationships listed in the rule are not intended to be exclusive, id; nevertheless, some courts have restricted the application of § 314A to business invitees. See, eg., Gilbertson v. Leininger, 599 N.W.2d 127, 131 (Minn.1999) (holding host to an overnight social guest does not have a duty under § 314A). In addition, the exception applies only while the relationship exists, so onee the passenger leaves the train or the guest leaves the hotel, the railroad or hotel no longer has a duty to aid or protect an ill or injured individual. Restatement § 314A, emt. c. See also Sachs v. TWA Getaway Vacations, Inc., 125 F.Supp.2d 1368, 1374 (S.D.Fla.2000) (holding tour operator had no duty to protect tour participants when on bus not owned by tour operator); but see Kellner v. Lowney, 145 N.H. 195, 761 A.2d 421 (2000) (holding motel owner could be liable for injury to boy crossing public highway between two portions of motel property because owner should have foreseen the risk to his guests of crossing the highway to get from hotel rooms to portion of hotel property where religious services were held).
In LS. Ayres, our supreme court considered whether a department store, which was not in any way liable for a boy's initial injury by an escalator, nevertheless could be held liable for aggravation of the injuries caused by its employees' failure to stop the escalator. The court determined
there may be a legal obligation to take positive or affirmative steps to effect the rescue of a person who is helpless and in a situation of peril, when the one proceeded against is a master or an invitor or when the injury resulted from use of an instrumentality under the control of the defendant. Such an obligation may exist although the accident or original injury was caused by the negligence of the plaintiff or through that of a third person and without any fault on the part of the defendant. Other relationships may impose a like obligation, but it is not necessary to pursue that inquiry further at this time.
220 Ind. at 95, 40 N.E.2d at 337. The court noted that the boy "was an invitee and he received his initial injury in using an instrumentality provided by" LS. Ayres and then held LS. Ayres could be liable for the aggravation of the boy's injury caused by its failure to assist him. Id.; 40 N.E.2d at 337-838.
Taco Bell claims it had no duty to assist Baker because it was not responsible for Baker's initial illness or injury. It argues *1208that, under L.S. Ayres, an Indiana business has a duty to assist a customer only if "the injury resulted from the use of an instrumentality under the control of the defendant." Id.; 40 N.E.2d at 337. In essence, Taco Bell argues that Indiana law recognizes only a limited duty under § 314A of the Restatement. Taco Bell's argument fails for a number of reasons.
First, the cases cited by the supreme court in L.S. Ayres suggest the court did not intend to limit the application of § 314A to situations where the plaintiff was an invitee and the instrumentality causing the injury belonged to the defendant. For example, the court discussed Depue v. Flatau, 100 Minn. 299, 111 N.W. 1 (1907), in which a home owner was held liable for aggravation of injuries to a severely ill, fainting, and helpless businessman that the home owner sent away unattended on a cold winter night. L.S. Ayres, 220 Ind. at 94, 40 N.E.2d at 337. There, as here, the initial illness was not the responsibility of the defendant. Nevertheless, our supreme court relied on that case when determining whether L.S. Ayres had a duty to assist the injured boy.
Second, when the supreme court had reason later that same year to mention LS. Ayres in another of its opinions, it summarized the holding as follows: "this court recognized a duty to one in peril on the defendant's premises as an invitee even though the peril was created without negligence on the part of the defendant." Jones v. State, 220 Ind. 384, 48 N.E.2d 1017, 1018 (1942). That summarization suggests the supreme court did not intend, as Taco Bell insists, to limit its holding to situations where a plaintiff could prove both that he was an invitee and that the defendant's instrumentality caused the initial injury.
Third, the Restatement explains:
The duty to give aid to one who is ill or injured extends to cases where the illness or injury is due to natural causes, to pure accident, to the acts of third person, or to the negligence of the plaintiff himself, as where a passenger has injured himself by clumsily bumping his head against a door.
Restatement § 314A, emt d. A number of the illustrations provided in the Restatement parallel the fact pattern here and suggest Taco Bell had a duty to assist Baker. For example, Mustration 2 provides:
A, a passenger riding on the train of B Railroad, suffers an apoplectic stroke, and becomes unconscious. The train crew unreasonably assume[s] that A is drunk, and dofes] nothing to obtain medical assistance for him, or to turn him over at a station to those who will do so. A continues to ride on the train in an unconscious condition for five hours during which time his illness is aggravated in a manner which proper medical attention would have avoided. B Railroad is subject to lability to A for the aggravation of his illness.
Id. § 314A. Mustration 7 provides:
A is a small child sent by his parents for the day to B's kindergarten. In the course of the day A becomes ill with scarlet fever. Although recognizing that A is seriously ill, B does nothing to obtain medical assistance, or to take the child home or remove him to a place where help can be obtained. As a result, A's illness is aggravated in a manner which proper medical attention would have avoided. B is subject to liability to A for the aggravation of his injuries.
Review of decisions from a number of other jurisdictions suggests we should interpret Indiana law to impose a duty in *1209this situation. Seq, eg., Gingeleskie v. Westin Hotel, et al., 145 F.3d 1337, 1998 WL 279393 at ** 2 (9th Cir.1998) (holding question of fact existed regarding whether hotel took reasonable steps under § 314A to get a sick man to a hospital when the employee called a cab rather than an ambulance); Estate of Starling v. Fisherman's Pier, Inc., 401 So.2d 1136, 1138 (Fla.Dist.Ct.App.1981) (holding business has an affirmative duty to take steps to protect a drunk man passed out on business's pier, such that he would not roll into the ocean and drown), rev. denied 411 So.2d 381 (Fla.1981); Miller v. McDonald's Corporation, 439 So.2d 561, 565 (La.Ct.App.1983) (holding business owner had duty to render reasonable aid after learning person on his premises is injured or ill and remanding to allow plaintiff to amend his complaint to so allege), writ not considered 442 So.2d 462 (La.1983); Southland Corp. v. Griffith, 332 Md. 704, 633 A.2d 84, 91-92 (1998) (holding business had a duty to provide aid to injured customer by calling the police when a customer requested the employee do so); Hovermale v. Berkeley Springs Moose Lodge No. 1483, 165 W.Va. 689, 271 S.E.2d 335, 338-40 (1980) (holding business had duty under § 314A of the Restatement to help a man who fainted and that whether business met that duty was a question of fact for the jury); Lloyd v. S.S. Kresge Co., d/b/a K-Mart, 85 Wis.2d 296, 270 N.W.2d 423, 426-27 (Wis.Ct.App.1978) (holding question of fact existed regarding whether K-Mart failed to give reasonable assistance to customer who was ill when it forced her to wait for her ride outside the store on a cold winter night).
Finally, public policy suggests Taco Bell had a duty to provide reasonable care in this situation. When a storeowner opens his property to the public, he does so because he hopes to gain some economic benefit from the public. "Social policy dictates that the storeowner, who is deriving this economic benefit from the presence of the customer, should assume the affirmative duty [to help customers who become ill as] a cost of doing business." Id.
Taco Bell argues placing this duty on businesses is unreasonable because then, in essence, a business would be required to hire employees who were trained to diagnose and provide medical services. See Br. of Appellee at 14 ("A rule requiring first aid to be delivered to any invitee, no matter the type of business and no matter the cireumstances that led to the injury, would require an impossible and frightening standard of care for persons employed in the service industry."); id. at 15 ("Taco Bell sells tacos. Taco Bell does not and has never held itself out to be a medical treatment facility.... To require Taco Bell to treat these 'patients' would be unfair and unsafe for the 'patient' and the Taco Bell employee alike."). We disagree.
As comment f to Section 314A of the Restatement explains:
[The business] is not required to take any action beyond that which is reasonable under the cireumstances. In the case of an ill or injured person, [the business] will seldom be required to do more than give such first aid as [it] reasonably can, and take reasonable steps to turn the sick man over to a physician, or to those who will look after him and see that medical assistance is obtained. [A business] is not required to give any aid to one who is in the hands of apparently competent persons who have taken charge of him, or whose friends are present and apparently in a position to give him all necessary assistance.
Accordingly, the duty that arises is a duty to "exercise reasonable care under the circumstances." Id. emt. e. A high school *1210student employed at Taco Bell would not be expected to provide the type of first aid an emergency room doctor would provide, as such an expectation would not be "reasonable." As a Wyoming court explained:
A restaurant whose employees are reasonably on notice that a customer is in distress and in need of emergency medical attention has a legal duty to come to the assistance of that customer. However, a restaurant does not have a duty to provide medical training to its food service personnel, or medical rescue services to its customers who become ill or injured through no act or omission of the restaurant or its employees. A restaurant in these cireum-stances meets its legal duty to a customer in distress when it summons medical assistance within a reasonable time.
Drew v. LeJay's Sportsmen's Café, Inc., 806 P.2d 301, 304 (Wyo.1991).
Moreover, as a practical matter, we fail to see the logic in Taco Bell's position that it should have no duty to aid in these types of situations. First, we find it unlikely customers would patronize a business that left another customer who was ill or injured lying on the floor of the business simply because the business was not responsible for the customer's illness or injury.
Second, imposing on a business a duty to provide reasonable care even when the business is not responsible for an illness or injury will rarely force a business to act in cireumstances in which it should not already have been acting. For example, if, as Taco Bell asserts, a business has no duty to assist if it is not responsible for the instrumentality, then: 1) if a customer falls to the ground, an employee should determine before offering assistance whether the customer slipped on ice, in which case the business has a duty to act, or whether the customer merely passed out from syncope, in which case the business has no duty; or 2) if a customer's face is turning blue, an employee should determine before providing assistance whether the person is choking on a food item from the business, in which case the employee must offer assistance, or whether the person is having a heart attack or choking on a food item purchased from a third party, in which case the employee need not offer assistance. By implementing policies and procedures that allow their employees to assist injured persons only when the business causes the illness or injury, a business might risk liability claims caused by an employee's failure to act, or failure to act promptly, when an illness or injury was in fact caused by an instrumentality of the business. Consequently, we are not placing a duty on businesses that they should not have already assumed.
In sum, Indiana case law, the Restatement (Second) of Torts, authority from other jurisdictions, and public policy all suggest Taco Bell had a duty, as a business that invited members of the public to enter its facility, to provide reasonable assistance to Baker even though Taco Bell was not responsible for Baker's iliness. Consequently, we hold Taco Bell had a duty to "take reasonable action ... to give ... aid" to Baker after he fell and "to care for [him] until [he could] be cared for by others." Restatement § 314A.
Baker asserts Taco Bell provided no assistance. Taco Bell's employee claims she offered Baker assistance, but he refused to accept it. Thus, there is a question of material fact that precludes summary judgment on this issue, and we must reverse and remand for trial.
Reversed and remanded.
KIRSCH, J., and MATHIAS, J., concur.
4.3.2.2 Questions and Notes on Baker 4.3.2.2 Questions and Notes on Baker
Fun Fact
A survey conducted by the American Heart Association in 2017 suggested that over half of all American employees were either not being offered first aid training on a regular basis, or were unaware of whether such training was being offered. "More than 90% of all employees would likely take [first aid] trainings if their employers offered them, and the majority are interested because it would make them feel better prepared in case of an emergency." See AHA Mediagenic Survey Results (Apr. 28, 2017), https://www.safetyandhealthmagazine.com/ext/resources/files/news/Results---Employee-Survey---FINAL.pdf.
Guiding Questions
- What should restaurants be expected to do to assist a patron who is experiencing an unexpected health condition?
- What direct or circumstantial evidence was available to Mr. Baker to show that Taco Bell was in breach of a duty?
Test Your Knowledge
Sasha is a single mom fighting a custody battle. She walks into the law offices of Spencer & Spencer to discuss her legal matters with her attorney. As her attorney begins to explain to her why she is likely to lose her custody battle, Sasha suffers a panic attack and hits her head on one of the bookcases in the conference room. Sasha begins to bleed from her head and collapses to the ground. Does Spencer & Spencer owe Sasha a duty to call 9-1-1 to get her help for her head injury?
- No, because Spencer & Spencer did not cause her to collapse and therefore need not assist her.
- No, because Spencer & Spencer's duty of care is limited to what is reasonably expected in the circumstances, and calling 9-1-1 goes beyond that.
- Yes, because there is a special relationship under § 314A of the Restatement (Second) since Sasha is a client of Spencer & Spencer.
- Yes, because all people owe a duty of care for those in distress.
Notes and Further Cases
- Breach as a Matter of Capacity and Knowledge. In evaluating duty and breach, courts often tether the standard of care to the actor’s capacity and knowledge. As the court in the principal case rightly observed: "A high school student employed at Taco Bell would not be expected to provide the type of first aid an emergency room doctor would provide." In other words, what is "reasonable" is not measured against an idealized universal standard but against the actor’s actual or expected ability to respond in light of their training, expertise, and situational awareness. Consider two examples:
- In Pipher v. Parsell, 930 A.2d 890 (Del. 2007), the Delaware Supreme Court clarified that a driver may be held liable not merely for their own conduct, but also for failing to mitigate foreseeable dangers posed by a passenger. While a single, spontaneous act of mischief—such as a passenger grabbing the steering wheel—might not give rise to liability, the court emphasized that once such an act has occurred, the driver is on notice of the risk. In this case, Parsell's failure to respond after his passenger first jerked the wheel rendered the second, identical act foreseeable. His acquired knowledge after the first incident served the basis for the breach in the second incident.
- Do you owe a duty not to text someone whom you know is driving? In Kubert v. Best, 75 A.3d 1214, 1219 (N.J. Super. Ct. App. Div. 2013), the court held that a sender of a text message may bear liability for resulting harm, but only if they knew or had special reason to know that the recipient would read and respond while driving. The breach, in this framing, is not in the mere act of texting—but in knowingly exploiting the cognitive vulnerability of the driver under these circumstances.
4.3.2.3 Blyth v. Birmingham Waterworks Co. 4.3.2.3 Blyth v. Birmingham Waterworks Co.
The Burst Water Main Case
Court of Exchequer
11 Exch. 781, 156 Eng. Rep. 1047
1856
ANDERSON, B.
I am of the opinion that there was no evidence to be left to the jury. The case turns upon the question, whether the facts proved show that the defendants were guilty of negligence. Negligence is the omission to do something which a reasonable man, guided upon those considerations which ordinarily regulate the conduct of human affairs, would do or doing something which a prudent and reasonable man would not do. The defendants might have been liable for negligence, if unintentionally, they omitted to do that which a reasonable person would have done, or did that which a person taking reasonable precautions would not have done. A reasonable man would act with reference to the average circumstances of the temperature in ordinary years. The defendants had provided against such frosts as experience would have led men, acting prudently, to provide against; and they are not guilty of negligence, because their precautions proved insufficient against the effects of the exteme severity of the frost of 1855, which penetrated to a greater depth than any which ordinarily occurs south of the polar regions. Such a state of circumstances constitutes a contingency against which no reasonable man can provide. The result was an accident for which the defendants cannot be held liable.
Verdict to be entered for the defendants.
[Concurrences omitted.]
4.3.2.4 Questions and Notes on Blyth 4.3.2.4 Questions and Notes on Blyth
Fun Fact
Although Blyth took place in England, Great Britain's neighboring isle gives us some information about the weather events that gave rise to the facts of this case. According to WeatherWeb, a database for historical climatology, "an unusually extended and occasionally severe spell of cold held sway, from the third week of January until late February, 1855. Even in North West Ireland, close to the coast, frost was persistent and accompanied by falls of snow, that on the 22nd of February was described as heavy. In Ireland specifically, it was referred to for years afterwards as 'The year of the Great Frost." Martin Rowley, Weather in History 1850 to 1899 AD, WeatherWeb.net, https://premium.weatherweb.net/weather-in-history-1850-to-1899-ad/.
Guiding Questions
- How historic was the frost? What if that sort of frost occurred every few years?
- How long had the water main system been in place? What if it had been in place for only a year?
- Normally juries decide the question of breach. Indeed, in the principal case the lower court let the jury decide. Why did the Exchequer reverse? Why doesn't the Birmingham Waterworks have to be at the mercy of the nisi prius jury?
Test Your Knowledge
Olivia lives on a lake which has periods of high water and potential flooding. To protect nearby properties, the city installs floodwalls, and it bears the responsibility of inspecting and repairing the floodwalls as needed. The city last inspected the floodwalls in 2009, and they were found to be up to code in normal weather conditions. In 2015, it rains more than it has in one hundred years, and the lake overflows, ruining Olivia's garden and patio furniture. Is the city liable?
- No, because it was Olivia's responsibility to procure insurance in case of a flood.
- No, because it would be unreasonable to expect the city to foresee that it would rain that much.
- Yes, because it is the city's responsibility to prevent floods.
- Yes, because it is reasonable to expect cities to prepare for the worst possible weather condition.
Notes and Further Cases
- The foreseeability of lightning strikes. Is a lightning strike reasonably foreseeable? In Tex-Jersey Oil Corp. v. Beck, 292 S.W.2d 803 (Tex. Civ. App. 1956), a lightning strike caused a tank at an oil refinery to explode, and the burning oil that escaped the tank spread to the house of Christine Beck, located about 50 feet away. The house burned down, killing Christine and two of her three children. Concluding that the refinery was negligent, a Texas court observed that it is "well known that lightning will strike and will ignite escaping gas vapors from crude oil." Id. at 808. How much do you agree with this observation? Suppose the lightning strike occurs on a golf course. In Hames v. State, after a golfer was struck by lightning, the Court held that the golf course owner was not liable for failing to install storm shelters. 808 S.W.2d 41 (Tenn. 1991). The Court wrote that "lightning is such a highly unpredictable occurrence of nature, that it is not reasonable to require one to anticipate when and where it will strike." Id. at 45. Meanwhile, in the very similar case of Maussner v. Atlantic City Country Club, Inc., the Court's opinion initially seemed to be following Hames, stating that "[a]lthough lightning is foreseeable in the abstract, its occurrence is so random and unpredictable that the risk it poses is quite remote even to persons who frequent the open expanses of golf courses." 691 A.2d 826, 832 (N.J. Super. Ct. App. Div. 1997). But then the Court held that "[e]ven a remote risk . . . can be foreseeable and can give rise to a duty," and it ultimately left the jury to decide the golf course owner's liability. Id. Why the difference? What information are we after in these cases? Is it the frequency of lightning strikes in area? The vulnerability of people in the area (like golfers without storm shelters)? Or perhaps we are, like Learned Hand, trying to balance the cost of preventing the profound unluckiness of being struck by lightning against the magnitude of the damage that a single bolt from the heavens can inflict?
- Controlling the effects of natural forces. Think for yourself: How should our lawmakers control for the effects of natural forces and disasters? Suppose you are a legislator in California, a state known for its earthquakes, who wants to ensure buildings do not topple in the event of an earthquake. Would it satisfy you to hold a builder liable for unsafe construction after an earthquake, or would you take it upon yourself to write a building code in anticipation of the next earthquake? If you opt for the latter, should the state grant funds to encourage safe construction projects? Would it be better to leave it to insurance companies to cover for, well, what they insure? Thinking broadly, how do the effects of climate change affect your answers? What role should the effects play in this legislative debate?
4.3.2.5 Corthell v. Great Atlantic & Pacific Tea Co. 4.3.2.5 Corthell v. Great Atlantic & Pacific Tea Co.
The Snagged High Heel Case
May J. Corthell vs. The Great Atlantic and Pacific Tea Company.
Essex.
May 15, 1935.
June 25, 1935.
Present: Rugg-, C.J., Piebce, Donahue, Lummus, & Qua, JJ.
Negligence, Of proprietor of store. Evidence, Interrogatories, Presumptions and burden of proof.
A party putting in evidence the other party’s answers to interrogatories is bound by them if they are not contradicted by other evidence.
The mere maintenance in the floor of a store of a furnace register with openings seven eighths of an inch square, proved to be of "the ordinary type in common and general use,” was not negligence toward a woman customer who caught the heel of her shoe in one of the openings.
Tort. Writ dated July 15, 1932.
The action was tried in the Superior Court before Gray, J., who, after the recording of a verdict for the plaintiff in the sum of $250, ordered entered a verdict for the defendant under leave reserved. The plaintiff alleged an exception.
W. E. Sisk, for the plaintiff.
J. A. Lane, for the defendant.
The defendant operated a retail grocery and meat store in Lynn, heated by hot air registers in the floor. On May 23, 1932, the plaintiff entered the store and walked towards the grocery counter. She stopped to take a “cookie” from a plate held by a person dressed as a clown, who was engaged in exhibiting “cookies,” though not as a servant of the defendant. When she started to walk again, she found that one of her heels had become caught in one of the openings in a register. In consequence of that, she fell and was hurt.
The judge denied the defendant’s motion for a directed verdict, subject to its exception. After a verdict for the plaintiff, the judge, under leave reserved (G. L. [Ter. Ed.] c. 231, § 120), entered a verdict for the defendant, subject to the plaintiff’s exception. The latter exception brings the case here.
The register was described in an answer by an officer of the defendant to an interrogatory filed by the plaintiff. Since the answer was introduced in evidence by the plaintiff, and was not contradicted by any evidence, the plaintiff is bound by it. Gordon v. Bedard, 265 Mass. 408, 411. Slamin v. New York, New Haven & Hartford Railroad, 282 Mass. 590, 592. Dome Realty Co. v. Cohen, 290 Mass. 36, 39. The description showed a “steel register” of “the ordinary type in common and general use,” containing seventy-two openings, each seven eighths of an inch square.
Obviously the plaintiff’s heel, if not worn out of shape, had to be very small at the bottom in order to get caught in such a register. She described the heel as “an ordinary heel that she wore all the time,” although she testified that at the trial she was wearing shoes with broader heels.
Since due care is that degree of care which a man of ordinary prudence would use under the circumstances (Labrecque v. Donham, 236 Mass. 10), the fact that a certain device or practice is in common use tends to show that its use is not negligent. Cass v. Boston & Lowell Railroad, 14 Allen, 448, 450. McMahon v. McHale, 174 Mass. 320, 326. Dolan v. Boott Cotton Mills, 185 Mass. 576, 579, 580. *244 Moynihan v. Holyoke, 193 Mass. 26. Pitcher v. Old Colony Street Railway, 196 Mass. 69, 71. Long v. Athol, 196 Mass. 497, 508. McCrea v. Beverly Gas & Electric Co. 216 Mass. 495, 498. Hecht v. Boston Wharf Co. 220 Mass. 397, 405. Draper v. Cotting, 231 Mass. 51, 59-61. Bowen, Inc. v. G. R. Armstrong Manufacturers’ Supplies, Inc. 241 Mass. 444, 447. Cronan v. Armitage, 285 Mass. 520, 525. But that fact is not conclusive of due care, for a large number of persons may be wanting in due care in their usual practices. Maynard v. Buck, 100 Mass. 40. Dolan v. Boott Cotton Mills, 185 Mass. 576, 580. Smith v. Gammino, 225 Mass. 285. Wilson v. Alexander, 230 Mass. 242. Bernier v. Pittsfield Coal Gas Co. 257 Mass. 188, 190.
In the present case the register was of a type “in common and general use.” Although that is not conclusive of the defendant’s due care, the plaintiff had the burden of introducing evidence warranting a finding of negligence. There was no evidence that registers with smaller openings were in common use. When the court can see that the physical facts, with any other evidence that may exist, do not warrant the inference that a reasonable man in the position of the defendant would have anticipated danger and guarded against it, a verdict for the plaintiff is not warranted. Lyons v. Boston Elevated Railway, 204 Mass. 227. Phinney v. Eastern Massachusetts Street Railway, 285 Mass. 207, 210. Pastrick v. S. S. Kresge Co. 288 Mass. 194. Zacharer v. Wakefield, ante, 90. Although the plaintiff described her heel as “ordinary,” there is nothing beyond the use of that word to show that the defendant had reason to expect in 1932 that women would do their marketing while wearing heels so small. If, however, the vagaries of fashion had indeed brought into common use for such purposes heels of that -description, there is no evidence how long they had been in vogue. The defendant could not be expected to reconstruct its store immediately to meet the problems occasioned by a sudden, extreme and very likely evanescent fashion. We think the verdict for the defendant was rightly entered.
The case is not like Upham v. Boston, 187 Mass. 220, *245where there was a want of repair, and a hole large enough to be dangerous to ordinary travel. We need not consider Shorkey v. Great Atlantic & Pacific Tea Co. 259 Mich. 450, where a case similar to the present was determined in favor of the defendant on the ground that if the defendant was negligent the plaintiff must have been guilty of contributory negligence.
Exceptions overruled.
4.3.2.6 Questions and Notes on Corthell 4.3.2.6 Questions and Notes on Corthell
Fun Fact
This case has it all: cookies, clowns, heels, and—most importantly—air registers. An air register is like a lid on an air duct. You've probably seen these on your floors, walls, or ceilings as a metal grate with a row of slits for the air to pass through, along with a damper to control the airflow. Older registers (like the one Ms. Corthell tripped on) instead often had a grid of squares. Some of the earliest registers, however, were quite ornate, and antique registers with floral or geometric designs can go for a decent price today.
Guiding Questions
- The sort of air register on the defendant's floor was "in common and general use." Does this fact determine whether the defendant is negligent? (Why or why not?) Is it helpful in determining whether the defendant is negligent? (Why or why not?)
- The plaintiff said the narrow heel she wore was "ordinary" for the time, although Justice Lummus couldn't find evidence of that. Why might it have mattered if it were ordinary?
Test Your Knowledge
Dianne is aware of the public safety custom that one should bike with traffic, i.e., on the right side of the roadway. Dianne goes for a bike ride. She is riding on the right side of the road when, suddenly, Patty, a pedestrian on the sidewalk in front of Dianne, darts into the road. Dianne cannot swerve in time and collides with Patty; Patty's wrist is broken. Patty sues Dianne for negligence, and Dianne introduces evidence of her compliance with the custom of riding on the right side of the road. At trial, the judge tells the jury that whether Dianne did what is customary conclusively determines whether Dianne breached her duty of care. Under Justice Lummus' reasoning in the principal case, was the judge right to make this statement?
- No, because custom determines only whether a duty exists, not whether that duty is breached.
- No, because due care depends on what is reasonable in the circumstances, and custom at most is suggestive of reasonableness.
- Yes, because compliance with custom is conclusive of due care.
- Yes, because Dianne did not breach her duty of care regardless of whether she complied with custom.
Notes and Further Cases
- Effect of custom for proving breach. Custom—also referred to as general habit or common practice—can suggest what constitutes reasonable care in the circumstances, but on its own it is not conclusive of reasonable care. Justice Holmes has a piquant way of putting it: "What usually is done may be evidence of what ought to be done, but what ought to be done is fixed by a standard of reasonable prudence, whether it usually is complied with or not." Tex. & Pac. Ry. Co. v. Behymer, 189 U.S. 468, 470 (1903). The logical consequence is that it is possible (although rare) for the defendant to follow custom and yet be negligent (or to not follow custom and yet not be negligent).
- Offensive custom. Sometimes a plaintiff, hoping to strengthen his claim, invokes custom to show that the defendant disobeyed it. We might call this "offensive custom" (as opposed to "defensive custom," discussed in the next note). In the principal case, it seems that Ms. Corthell tried to do this—Justice Lummus notes that she sent an interrogatory to the defendant to describe the design of the air register—but her attempt failed when the air register's design turned out to comply with industry standards. For a successful use of offensive custom, see Pierce v. Platte-Clay Elec. Co-op., Inc., 769 S.W.2d 769 (Mo. 1989) (electric company negligent where, after a tractor struck a concealed support post for a powerline, leading to an unfortunate series of events in which the dangling power line severed the plaintiff's leg, the plaintiff showed that the electric company did not comply with an industry standard for putting clear markings on power pole support posts).
- Defensive custom. Most cases on this subject involve a defendant's invoking custom defensively, i.e., the defendant shows it followed custom in order to undermine the plaintiff's claim of negligence. While successful use of defensive custom tends to get the defendant off the hook, it is not always so. Perhaps the most famous custom case, The T.J. Hooper, involves a defendant who complied with custom—and still lost. 60 F.2d 737 (2d Cir. 1932). The T.J. Hooper is a tale of woe at sea. Two tugboats were towing three coal barges each from Virginia to New England. Neither tug kept a working weather radio aboard. As weather forecasts worsened, ships with working radios headed for ports along the Atlantic. But the tugs kept sailing, eventually ending up in a gale off the coast of New Jersey. Both tugs' last coal barge in line sprang a leak. The barges' crews were evacuated, and amidst 25-foot seas and 50mph winds the barges sank. When the barges' owner sued the tugs' owner for negligence, the tugs countered that industry custom was not to keep weather radios on board. Be that as it may, held Judge Learned Hand, reasonable care requires more of the entire industry. He wrote of the matter: "[I]n most cases reasonable prudence is in fact common prudence; but strictly it is never its measure; a whole calling may have unduly lagged in the adoption of new and available devices. It never may set its own tests, however persuasive be its usages. Courts must in the end say what is required; there are precautions so imperative that even their universal disregard will not excuse their omission." Id. at 740. For more cases, compare McDermott v. State, 113 A.3d 419 (Conn. 2015) (defensive custom unsuccessful where, after a pedestrian walked past the defendant's warning cones into a tree-removal site and was struck and killed by flying debris, the defendant showed that it complied with industry standards as to the placement of warning cones; the court, citing The T.J. Hooper, held that compliance with custom is but one factor among many for determining breach), with Low v. Park Price Co., 503 P.2d 291 (Idaho 1972) (defensive custom successful where, after a car repair shop stored the plaintiff's car outside between repairs and the car was eventually stolen, the shop showed that car repair shops typically keep cars outside until the repair is finished).
4.3.3 Res Ipsa Loquitur 4.3.3 Res Ipsa Loquitur
4.3.3.1 Larson v. St. Francis Hotel 4.3.3.1 Larson v. St. Francis Hotel
The Falling Armchair Case
[Civ. No. 13573.
First Dist., Div. One.
Jan. 12, 1948.]
BEULAH LARSON, Appellant, v. ST. FRANCIS HOTEL et al., Respondents.
*211Harry G. Henderson for Appellant.
Hoge, Pelton & Gunther and Leo Y. Killion for Respondents.
BRAY, J.
The accident out of which this action arose was apparently the result of the effervescence and ebullition of San Franciscans in their exuberance of joy on V-J Day, August 14, 1945. Plaintiff (who is not included in the above description), while walking on the sidewalk on Post Street adjoining the St. Francis Hotel, just after stepping out from under the marquee, was struck on the head by a heavy, overstuffed armchair, knocked unconscious, and received injuries for which she is asking damages from the owners of the hotel. Although there were a number of persons in the immediate vicinity, no one appears to have seen from whence the chair came nor to have seen it before it was within a few feet of plaintiff’s head, nor was there any identification of the chair as belonging to the hotel. However, it is a reasonable inference that the chair came from some portion of the hotel. For the purposes of this opinion, we will so assume, in view of the rule on nonsuit cases that every favorable *212inference fairly deducible from the evidence must be drawn in favor of plaintiff, and that all the evidence must be construed most strongly against the defendants. (9 Cal. Jur. p. 551.)
At the trial, plaintiff, after proving the foregoing facts and the extent of her injuries, rested, relying upon the doctrine of res ipsa loquitur. On motion of defendant the court granted a nonsuit. The main question to be determined is whether under the circumstances shown, the doctrine applies. The trial court correctly held that it did not.
In Gerhart v. Southern Cal. Gas Co., 56 Cal.App.2d 425 [132 P.2d 874], cited by plaintiff, the court sets forth the test for the applicability of the doctrine. “. . . for a plaintiff to make out a case entitling him to the benefit of the doctrine, he must prove (1) that there was an accident; (2) that the thing or instrumentality which caused the accident was at the time and prior thereto under the exclusive control and management of the defendant; (3) that the accident was such that in the ordinary course of events, the defendant using ordinary care, the accident would not have happened. . . . The doctrine of res ipsa loquitur applies only where the cause of the injury is shown to be under the exclusive control and management of the defendant and can have no application ... to a case having a divided responsibility where an unexplained accident may have been attributable to one of several causes, for some of which the defendant is not responsible, and when it appears that the injury was caused by one of two causes for one of which defendant is responsible but not for the other, plaintiff must fail, if the evidence does not show that the injury was the result of the former cause, or leaves it as probable that it was caused by one or the other.” (Emphasis added.)
Applying the rule to the facts of this case, it is obvious that the doctrine does not apply. While, as pointed out by plaintiff, the rule of exclusive control “is not limited to the actual physical control but applies to the right of control of the instrumentality which causes the injury” it is not clear to us how this helps plaintiff’s case. A hotel does not have exclusive control, either actual or potential, of its furniture. Guests have, at least, partial control. Moreover, it cannot be said that with the hotel using ordinary care “the accident was such that in the ordinary course of events . . . would not have happened.” On the contrary, the mishap would quite as likely be due to the fault of a guest or other person *213as to that of defendants. The most logical inference from the circumstances shown is that the chair was thrown by some such person from a window. It thus appears that this occurrence is not such as ordinarily does not happen without the negligence of the party charged, but, rather, one in which the accident ordinarily might happen despite the fact that the defendants used reasonable care and were totally free from negligence. To keep guests and visitors from throwing furniture out windows would require a guard to be placed in every room in the hotel, and no one would contend that there is any rule of law requiring a hotel to do that.
The cases cited by plaintiff as authority for the application of the doctrine of res ipsa loquitur are easily distinguishable from this case. In Gerhart v. Southern Cal. Gas Co., supra, which involved an explosion from leaking gas, the court found (p. 427) that defendant was in the exclusive ownership, control and management of the supply, flow and existence of the gas which exploded. In Helms v. Pacific Gas & Electric Co., 21 Cal.App.2d 711 [70 P.2d 247], a glass portion of an electrolier fell and injured the plaintiff, who was standing on the sidewalk beneath it. The parties stipulated that the electrolier was owned and maintained by the defendant. There, not only was the instrumentality which caused the accident in the exclusive control and management of the defendant, but the falling of the glass portion was something that in the ordinary course of events would not occur if the defendant used ordinary care in maintaining it.
In Michener v. Hutton, 203 Cal. 604 [265 P. 238, 59 A.L.R. 480], the length of pipe which fell and caused the injury was “unquestionably under the management of the appellants at the time of the accident.” (P. 609.) While the court holds that (p. 608) “The doctrine has also found frequent application in actions for damages for injuries incurred by reason of being struck by falling objects,” it is limited to situations in which the thing is shown to be under the exclusive management or control of the defendant or his servants, or in which it must necessarily follow that the injury would not have occurred had the defendant used ordinary care.
In Mintzer v. Wilson, 21 Cal.App.2d 85 [68 P.2d 370], a paid guest in defendant’s hotel was injured while in bed by the falling of a huge piece of plaster from the ceiling. It was held by the court that the ceiling was in the exclusive *214control of the hotel, and that plaster does not ordinarily fall from properly constructed ceilings.
Hubbert v. Aztec Brewing Co., 26 Cal.App.2d 664 [80 P.2d 185, 1016], holds (p. 688) : “The mere fact that an accident has occurred does not of itself result in any inference of negligence as against a defendant. ... To justify the invocation of the rule res ipsa loquitur the instrumentality which caused the injury must have been under the exclusive management of the defendant” and quotes from Biddlecomb v. Haydon, 4 Cal.App.2d 361, 364 [40 P.2d 873], as follows: “Neither does it apply where the cause of the accident is unexplained and might have been due to one of several causes for some of which the defendant is not responsible.” See, also, Hilson v. Pacific G. & E. Co., 131 Cal.App. 427, 434 [21 P.2d 662], which held that in a situation as last above quoted, the doctrine “can in no event apply.”
Plaintiff quotes 9 California Jurisprudence, page 548 to the effect “that a motion for a nonsuit must point the attention of the court and counsel to the precise grounds upon which it is made” and contends that the motion for nonsuit in the trial court did not do this. The motion was made on the ground that “there is no evidence from which it might be inferred that the hotel was guilty of any negligence which caused the chair” to hit plaintiff. It further points out that the only evidence attempting to connect the hotel with the accident is the fact that it occurred in the proximity of the hotel, and that such proof is not sufficient to establish liability. The motion was sufficient.
In her complaint plaintiff alleged in paragraph III that the defendant was engaged in the hotel business on all the premises described therein and had the right of control and management thereof. In its answer defendants denied all of the allegations of paragraph III and then stated: “Further answering paragraph III, these defendants admit that they operated the St. Francis Hotel at said time as co-partners.” Plaintiff contends that in some way this is an admission that defendants had exclusive control and management of the furniture of the hotel so as to warrant the application of the doctrine of res ipsa loquitur. It is obvious that such contention is without merit.
The judgment appealed from is affirmed.
Peters, P. J., and Ward, J., concurred.
4.3.3.2 Questions and Notes on Larson 4.3.3.2 Questions and Notes on Larson
Fun Fact
"V-J Day" means "Victory over Japan Day." It refers to August 14, 1945, the day on which Imperial Japan surrendered to the Allies, bringing World War II to an end. The Allies' victory in Europe (or "V-E Day") took place a few months earlier on May 8, 1945, when Nazi Germany surrendered.
Guiding Questions
- Why does Judge Bray assume the chair came from the hotel?
- In addition to proving that there was an accident, the plaintiff must show two things to invoke res ipsa loquitur. What are they?
- Does a hotel have exclusive control over its furniture? What does Judge Bray think? What do you think?
- In the ordinary course of events, do chairs fall on people even when ordinary care is used? What does Judge Bray think? What do you think?
- What does Judge Bray say will stop hotel guests from throwing chairs out windows? What do you make of this?
Test Your Knowledge
Betty leases a condo in a small housing complex. There are three other condos, each of which is rented. The condos surround a common green with a small walking path, a bench and table, and an old, rusted clothesline. The green (and everything in it) is free to use for anyone renting a condo, and the landlord generally expects that the tenants will work together to use the amenities in a neighborly fashion. Betty, for example, is the only one with a lawnmower, so she regularly keeps the green looking neat and trimmed. While mowing the lawn one afternoon, Betty is steering the mower around one of the clothesline posts when something slams into her neck and back, throwing her off the lawnmower and injuring her. It turns out one of the clothesline posts had rusted and collapsed on Betty. Betty decides to sue Kendra because Kendra owns the condo closest to the clothesline and Betty has seen Kendra use the clothesline often. Will Betty be able to invoke res ipsa loquitur against Kendra?
- No, because the landlord ultimately owns the clothesline.
- No, because Kendra does not have exclusive control over the clothesline.
- Yes, because a well-maintained clothesline post does not normally collapse.
- Yes, because Betty's injury was caused by a falling object.
Notes and Further Questions
- The rationale of res ipsa: defendant's superior knowledge. Authorities often explain res ipsa in the following way: The defendant has a better knowledge of the facts giving rise to the accident than the plaintiff (or perhaps even the plaintiff cannot possibly obtain such facts), so res ipsa lets the plaintiff tease out that evidence where the defendant would not otherwise be inclined to divulge it. See Restatement (Second) of Torts § 328D, cmt. k (1965). Most states treat the teasing out of the defendant's superior knowledge merely as the "policy" or "spirit" of res ipsa—not as another element to be proved to invoke the doctrine. However, at least two states do require the plaintiff to prove that the defendant has a superior knowledge of the evidence. See Sides v. St. Anthony's Med. Ctr., 258 S.W.3d 811 (Mo. 2008); Reese v. Memorial Hosp., 955 P.2d 425 (Wyo. 1998). Consider what this might mean where the accident results in the death or incapacity of both the plaintiff and the defendant, e.g., a fatal car crash involving both parties, see Johnson v. Foster, 202 So. 2d 520 (Miss. 1967); or a dynamite factory explodes, vaporizing everyone and everything around it, see Judson v. Giant Powder Co., 40 P. 1020 (Cal. 1895). When both parties are dead, isn't it true that neither's knowledge of the evidence is superior to the other's?
- Res ipsa, falling objects, and robots. The principal case involved a chair that falls out a window. This was common for res ipsa cases back then. Scholars have found that res ipsa has been applied to falling objects as far back as Roman Law, including in the Digest of Justinian. See G. Gregg Webb, Note, The Law of Falling Objects: Byrne v. Boadle and the Birth of Res Ipsa Loquitur, 59 Stan. L. Rev. 1065, 1079–81 (2007) (listing studies). Many of the early American res ipsa cases similarly involved falling objects. See, e.g., Corrigan v. Union Sugar Refinery, 98 Mass. 577 (1868) (beer keg tossed out window, landed on plaintiff); Mullen v. St. John, 57 N.Y. 567 (1874) (brick wall fell on plaintiff); R.R. Co. v. Walrath, 38 Ohio St. 461 (1882) (top bunk in train car collapsed on plaintiff); Cummings v. Nat'l Furnace Co., 18 N.W. 742 (Wis. 1884) (molten ore in crane bucket fell on plaintiff); Howser v. Cumberland & Pa. R.R. Co., 30 A. 906 (Md. 1894) (railroad ties rolled off train car onto plaintiff). Today res ipsa is not so limited, applying to a bevy of factual scenarios from exploding soda bottles, Honea v. Coca Cola Bottling Co., 183 S.W.2d 968 (Tex. 1944), to runaway vehicles, Hill v. Thompson, 484 P.2d 513 (Okla. 1971), to collapsing bleachers, Boyer v. Iowa High School Athletic Association, 152 N.W.2d 293 (Iowa 1967). And who knows: Tomorrow it may apply to robots and self-driving cars. See, e.g., Bryan Casey, Robot Ipsa Loquitur, 108 Geo. L.J. 225 (2019) (proposing that res ipsa can be a way to determine who may be at fault for accidents involving automated technology, which would involve several potential parties).
- Exclusive control. What is "exclusive" control? Does a hotel have exclusive control over its bathroom faucets? See Carroll v. Faust, 725 N.E.2d 764 (Ill. App. Ct. 2000) (no; hotel not negligent after guest turned on bathtub faucet and was burned by scalding water). Does a cruise ship have exclusive control over the flush handles on its toilets? See Traub v. Holland-Am. Line, 278 F. Supp. 814 (S.D.N.Y. 1967) (yes; cruise line negligent after flush handle broke off toilet when passenger pushed the handle down, causing the passenger to lose her balance and break her shoulder during the fall). If these two cases tell us anything, it is that jurisdictions have come up with different answers as to what qualifies as exclusive control. One approach—which Justice Bray mentions—is that the defendant merely must have the right or ability to control the instrumentality, even if others have a similar right or ability. See Gandy v. Sw. Bell Tel. Co., 341 S.W.2d 554 (Tex. Civ. App. 1960) (where a loud sound from a phone receiver partially deafened listener, res ipsa applies against the telephone company since it has the ability to moderate phone line volume even though the sound may have also been caused by an unknown third party on the line). Another approach is that the "exclusive control" must be present at the locus actus, the time at which the act giving rise to the tort occurred, not the locus delicti, the time at which the injury completing the tort occurred. See Ex parte Crabtree Indus. Waste, Inc., 728 So. 2d 155 (Ala. 1998) (where a wheel flew off a truck into plaintiff three days after the wheel was repaired, res ipsa possibly applies against the third-party tire repairer but not against the truck driver or owner). Either way, both approaches get at what the Restatement (Second) says is the essence of the "exclusive control" requirement: Res ipsa applies only if "other responsible causes, including the conduct of the plaintiff and third persons, are sufficiently eliminated by the evidence," pointing to the defendant as the likely responsible party. Restatement (Second) of Torts § 328D(1)(b) (1965); accord Restatement (Third) of Torts: Liab. for Phys. & Emot. Harm § 17 & cmt. b (2010).
4.3.3.3 McDougald v. Perry 4.3.3.3 McDougald v. Perry
The Flying Tire Case
Page 783
v.
Henry D. PERRY and C & S Chemicals, Inc., Respondents.
Page 784
Hank B. Campbell and Christine C. Daly of Lane, Trohn, Bertrand & Vreeland, P.A., Lakeland, and Raymond Ehrlich and Scott D. Makar of Holland & Knight, Jacksonville, for Petitioner.
Douglas M. Fraley and Margie I. Fraley of Fraley and Fraley, P.A., Tampa, for Respondent.
WELLS, Justice.
We have for review Perry v. McDougald, 698 So.2d 1256 (Fla. 2d DCA 1997), which conflicts with Cheung v. Ryder Truck Rental, Inc., 595 So.2d 82 (Fla. 5th DCA 1992). We have jurisdiction. Art. V, § 3(b)(3), Fla. Const.
Lawrence McDougald sued Henry Perry and Perry's employer, C & S Chemical, Inc., (collectively referred to as respondents), for personal injuries sustained in an accident which occurred on July 26, 1990, on U.S. Highway 60 West, in Bartow, Florida. On July 26, McDougald was driving behind a tractor-trailer which was driven by Perry. The trailer was leased by C & S from Ryder Truck Rentals, Inc. As Perry drove over some railroad tracks, the 130-pound spare tire came out of its cradle underneath the trailer and fell to the ground. The trailer's rear tires then ran over the spare, causing the spare to bounce into the air and collide the windshield of McDougald's Jeep Wagoneer.
The spare tire was housed in an angled cradle underneath the trailer and was held in place by its own weight. Additionally, the tire was secured by a four to six-foot long chain with one-inch links, which was wrapped around the tire. Perry testified that he believed the chain to be the original chain that came with the trailer in 1969. Perry also stated that, as originally designed, the chain was secured to the body of the trailer by a latch device. At the time of the accident, however, the chain was attached to the body of the trailer with a nut and bolt.
Perry testified that he performed a pretrip inspection of the trailer on the day of the accident. This included an inspection of the chain, although Perry admitted that he did not check every link in the chain. After the accident, Perry noticed that the chain was dragging under the trailer. Perry opined that one of the links had stretched and slipped from the nut which secured it to the trailer. 1 The judge instructed the jury on the doctrine of res ipsa loquitur. The jury subsequently returned a verdict in McDougald's favor.
On appeal, the district court reversed with instructions that the trial court direct a verdict in respondents' favor. The district court concluded that the trial court erred by: (1) not directing a verdict on the issue of negligence; (2) instructing the jury on res ipsa loquitur; and (3) not directing a verdict on the issue of past and future loss of earning capacity. Perry v. McDougald, 698 So.2d 1256, 1258 (Fla. 2d DCA 1997). We granted McDougald's petition for review to resolve the conflict in the application of the doctrine of res ipsa loquitur. 2 For the reasons expressed herein, we quash the decision below and approve the Fifth District's application of res ipsa loquitur to the circumstances of a wayward automobile wheel accident.
This Court discussed the applicability of the doctrine of res ipsa loquitur in Marrero v. Goldsmith, 486 So.2d 530 (Fla.1986); City of New Smyrna Beach Utilities Commission v. McWhorter, 418 So.2d 261 (Fla.1982); and Goodyear Tire & Rubber Co. v. Hughes Supply,
Page 785
Inc., 358 So.2d 1339, 1341 (Fla.1978). In Marrero, we stated:
Res ipsa loquitur is a Latin phrase that translates "the thing speaks for itself." Prosser and Keaton, Law of Torts § 39 (5th ed.1984). It is a rule of evidence that permits, but does not compel, an inference of negligence under certain circumstances. "[T]he doctrine of res ipsa loquitur is merely a rule of evidence. Under it an inference may arise in aid of the proof." Yarbrough v. Ball U-Drive System, 48 So.2d 82, 83 (Fla.1950). In Goodyear, a products liability case, we explained the doctrine as follows:
It provides an injured plaintiff with a common-sense inference of negligence where direct proof of negligence is wanting, provided certain elements consistent with negligent behavior are present. Essentially the injured plaintiff must establish that the instrumentality causing his or her injury was under the exclusive control of the defendant, and that the accident is one that would not, in the ordinary course of events, have occurred without negligence on the part of the one in control.
Goodyear, 358 So.2d at 1341-42, (footnotes omitted).
Marrero, 486 So.2d at 531.
In concluding that it was reversible error for the trial court to give the res ipsa loquitur instruction, the Second District determined that "McDougald failed to prove that this accident would not, in the ordinary course of events, have occurred without negligence by the defendants." McDougald, 698 So.2d at 1259 (citing Goodyear ). The court explained that, "[t]he mere fact that an accident occurs does not support the application of the doctrine." Id. In support of the Second District's conclusion, respondents cite to Burns v. Otis Elevator Co., 550 So.2d 21 (Fla. 3d DCA 1989), in which the Third District stated:
To prevail at trial, plaintiff must still present sufficient evidence, beyond that of the accident itself, from which the jury may infer that the accident would not have occurred but for the defendants' breach of due care.
Id. at 22. Respondents assert that this language means that res ipsa loquitur did not apply in this case because "there was no expert or other testimony or evidence that the failure of the safety chain and the spare tire's exit onto the roadway would not ordinarily occur in the absence of [respondents'] negligence." Answer Brief of Respondents at 19.
The Second and Third Districts misread and interpret too narrowly what we stated in Goodyear. We did not say, as those courts conclude, that "the mere fact that an accident occurs does not support the application of the doctrine." Rather, we stated:
An injury standing alone, of course, ordinarily does not indicate negligence. The doctrine of res ipsa loquitur simply recognizes that in rare instances an injury may permit an inference of negligence if coupled with a sufficient showing of its immediate, precipitating cause.
Goodyear, 358 So.2d at 1342 (emphasis added). Goodyear and our other cases permit latitude in the application of this common-sense inference when the facts of an accident in and of themselves establish that but for the failure of reasonable care by the person or entity in control of the injury producing object or instrumentality the accident would not have occurred. On the other hand, our present statement is not to be considered an expansion of the doctrine's applicability. We continue our prior recognition that res ipsa loquitur applies only in "rare instances."
The following comments in section 328D of Restatement (Second) of Torts (1965) capture the essence of a proper analysis of this issue:
c. Type of event. The first requirement for the application of the rule stated in this Section is a basis of past experience which reasonably permits the conclusion that such events do not ordinarily occur unless someone has been negligent. There are many types of accidents which commonly occur without the fault of anyone. The fact that a tire blows out, or that a man falls down stairs is not, in the absence of anything more, enough to permit the conclusion that there was negligence in inspecting the tire, or in the construction
Page 786
of the stairs, because it is common human experience that such events all too frequently occur without such negligence. On the other hand there are many events, such as those of objects falling from the defendant's premises, the fall of an elevator, the escape of gas or water from mains or of electricity from wires or appliances, the derailment of trains or the explosion of boilers, where the conclusion is at least permissible that such things do not usually happen unless someone has been negligent. To such events res ipsa loquitur may apply.
d. Basis of conclusion. In the usual case the basis of past experience from which this conclusion may be drawn is common to the community, and is a matter of general knowledge, which the court recognizes on much the same basis as when it takes judicial notice of facts which everyone knows. It may, however, be supplied by the evidence of the parties; and expert testimony that such an event usually does not occur without negligence may afford a sufficient basis for the inference. Such testimony may be essential to the plaintiff's case where, as for example in some actions for medical malpractice, there is no fund of common knowledge which may permit laymen reasonably to draw the conclusion. On the other hand there are other kinds of medical malpractice, as where a sponge is left in the plaintiff's abdomen after an operation, where no expert is needed to tell the jury that such events do not usually occur in the absence of negligence.
Restatement (Second) of Torts § 328D cmts. c-d (1965).
We conclude that the spare tire escaping from the cradle underneath the truck, resulting in the tire ultimately becoming airborne and crashing into McDougald's vehicle, is the type of accident which, on the basis of common experience and as a matter of general knowledge, would not occur but for the failure to exercise reasonable care by the person who had control of the spare tire. As the Fifth District noted, the doctrine of res ipsa loquitur is particularly applicable in wayward wheel cases. Cheung; see also Guerra v. W.J. Young Constr. Co., 165 So.2d 882 (La.Ct.App.1964); Dearth v. Self, 8 Ohio App.2d 33, 220 N.E.2d 728 (1966); Wilson v. Spencer, 127 A.2d 840, 841 (D.C.1956) ("Thousands of automobiles are using our streets, but no one expects the air to be filled with flying hubcaps."). We do not agree with respondent that Cheung can be properly distinguished on the basis that in Cheung the escaped tire was attached to the axle, whereas in this case the escaped tire was a spare cradled underneath the truck. Rather, common sense dictates an inference that both a spare tire carried on a truck and a wheel on a truck's axle will stay with the truck unless there is a failure of reasonable care by the person or entity in control of the truck. Thus an inference of negligence comes from proof of the circumstances of the accident.
Furthermore, we do not agree with the Second District that McDougald failed to establish this element because "[o]ther possible explanations exist to explain the failure of the chain." McDougald, 698 So.2d at 1260. Such speculation does not defeat the applicability of the doctrine in this case. As one commentator has noted:
The plaintiff is not required to eliminate with certainty all other possible causes or inferences.... All that is required is evidence from which reasonable persons can say that on the whole it is more likely that there was negligence associated with the cause of the event than that there was not.
W. Page Keeton, et al., Prosser and Keaton on the Law of Torts, § 39, at 248 (5th ed.1984).
Respondents also contend that the res ipsa instruction was inapplicable because McDougald failed to prove that direct evidence of negligence was unavailable. Respondents cite to Goodyear for the proposition that res ipsa is not applicable where "the facts surrounding the incident were discoverable and provable." This statement from Goodyear was made in a products liability tire blow-out case in which the plaintiff was in possession and control of the injury-causing device. In that case, the plaintiff, who was in possession of the product alleged to have been negligently manufactured, was in the best position to determine the alleged
Page 787
cause of the accident. Thus, the res ipsa inference was not applicable. Here, unlike Goodyear, we find that there was insufficient evidence available to McDougald. The likely cause of this accident, the chain and securing device, were in the exclusive possession of respondents and were not preserved. Moreover, this was not the basis upon which the Second District held res ipsa loquitur to be inapplicable.
Accordingly, we quash the decision below, and remand this case with directions that the district court reinstate the trial court's judgment as to respondents' liability based upon the jury's verdict and for further proceedings consistent with the district court's decision on issues related to damages.
It is so ordered.
HARDING, C.J., and OVERTON, SHAW, KOGAN and PARIENTE, JJ., concur.
ANSTEAD, J., concurs with an opinion.
ANSTEAD, Justice, concurring.
I fully concur in the majority opinion, and write separately to note that this case presents a classic scenario whereby an aged appellate opinion giving rise to a legal doctrine in the distant past still illuminates and informs today's society. The thread of common sense in human experience ties today's decision to an opinion voiced by Baron Pollock in the 1863 decision in Byrne v. Boadle, 2 Hurlet & C. 722, 159 Eng. Rep. 299 (Ex. 1863). In Byrne a pedestrian was struck by a barrel which fell from a window of the defendant's flour business. In reversing a directed verdict against the plaintiff, Pollock declared for the Court:
We are all of opinion that the rule must be absolute to enter the verdict for the plaintiff. The learned counsel was quite right in saying that there are many accidents from which no presumption of negligence can arise, but I think it would be wrong to lay down as a rule that in no case can presumption of negligence arise from the fact of an accident. Suppose in this case the barrel had rolled out of the warehouse and fallen on the plaintiff, how could he possibly ascertain from what cause it occurred? It is the duty of persons who keep barrels in a warehouse to take care that they do not roll out, and I think that such a case would, beyond all doubt, afford prima facie evidence of negligence. A barrel could not roll out of a warehouse without some negligence, and to say that a plaintiff who is injured by it must call witnesses from the warehouse to prove negligence seems to me preposterous. So in the building or repairing a house, or putting pots on the chimneys, if a person passing along the road is injured by something falling upon him, I think the accident alone would be prima facie evidence of negligence. Or if an article calculated to cause damage is put in a wrong place and does mischief, I think that those whose duty it was to put it in the right place are prima facie responsible, and if there is any state of facts to rebut the presumption of negligence, they must prove them. The present case upon the evidence comes to this, a man is passing in front of the premises of a dealer in flour, and there falls down upon him a barrel of flour. I think it apparent that the barrel was in the custody of the defendant who occupied the premises, and who is responsible for the acts of his servants who had the control of it; and in my opinion the fact of its falling is prima facie evidence of negligence, and the plaintiff who was injured by it is not bound to shew that it could not fall without negligence, but if there are any facts inconsistent with negligence it is for the defendant to prove them.
We can hardly improve upon this explanation for our decision today. The common law tradition is alive and well.
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1 Perry testified that the last time he saw the chain was when he left the trailer at a repair shop in Waycross, Georgia. As the district court opinion notes, however, spoliation of evidence was not an issue in this case.
2 We decline to address the other issues raised by the parties.
4.3.3.4 Questions and Notes on McDougald 4.3.3.4 Questions and Notes on McDougald
Fun Fact
130lbs may seem quite heavy for a spare tire. That's because in this case it was a tractor-trailer's spare tire. Most passenger cars' spares clock in at a meager 25-50lbs. Either way, a spare tire—complete with temporary lug nuts and rim—catapulted into the air can cause significant damage when gravity brings it smashing down onto your windshield.
Guiding Questions
- Are the facts in this case something that probably wouldn't happen unless there was negligence? What does Justice Wells think? Why?
- What does Justice Wells say about the "exclusive control" requirement? Does he require the plaintiff to disprove every other possible explanation for the injury? What other explanations might there be for the chain's coming loose?
- Was the defendant's knowledge about the cause of the accident superior to the plaintiff's knowledge? What does Justice Wells think?
- Justice Wells notes that in Florida res ipsa—being a rule of evidence—has a particular effect on the jury if proved. What is that effect?
Test Your Knowledge
Landon works as a stocker at a big-box retail store called Walshop. One of his regular duties is unloading shipments of water softener salt, which arrives on pallets stacked with large, floppy bags of round salt pellets. Each bag weighs 40 pounds and is inherently unstable, making careful stacking and securement during transport critical. On a Monday morning, a truck from Ship-We-Do, a regional shipping company, arrives with a new load. When Landon opens the trailer door, he is immediately struck in the face by a heavy steel ramp that had been left standing upright and unsecured between two stacks of salt bags. The ramp topples as the doors swing open, fracturing Landon’s cheekbone and knocking him unconscious. Landon sues Ship-We-Do for negligence and invokes res ipsa loquitur. Which of the following best supports applying the doctrine?
- No, because Landon cannot identify the exact negligent act.
- No, because Landon assumed the risk of injury by unloading freight.
- Yes, because the ramp was under Ship-We-Do’s exclusive control during shipping.
- Yes, because Landon was injured while performing his duties.
Notes and Further Questions
- Effect of res ipsa on jury. The principal case states that once the plaintiff proves res ipsa applies, it "permits, but does not compel, an inference of negligence." This is the majority position: Res ipsa gives the jury the choice of inferring negligence, but it does not require the jury to so infer. See, e.g., Sullivan v. Crabtree, 258 S.W.2d 782 (Tenn. 1953); accord Restatement (Third) of Torts: Liability for Physical & Emotional Harm § 17 cmt. j (2010). A few jurisdictions, however, give res ipsa greater weight, holding that it raises a presumption of negligence which the defendant must rebut if it wants to prevail on the case. See id. Still, whether res ipsa creates a presumption or an inference of negligence, in both cases the crucial effect is that the burden shifts to the defendant to disprove negligence.
- When the thing speaks for itself. Consider each of the following examples. Does res ipsa apply? Is it clear that the harm would not have been felt but for the obvious negligence of the defendant?
- An escalator in a department store abruptly stops, and an injured shopper sues the store owner. Holzhauer v. Saks & Co., 697 A.2d 89 (Md. 1997) (no; escalator's emergency stop buttons in reach of not just store employees but anyone riding on the escalator, so no exclusive control).
- An airplane suddenly enters a patch of turbulence, and a passenger who is thrown from his seat sues the airline. Cudney v. Midcontinent Airlines, Inc., 254 S.W.2d 662 (Mo. 1953) (no; planes bump and jolt for a great many reasons, most of which are unavoidable or at least not indicative of negligence).
- An artist in his gallery turns around to see a man flying through the air at least three feet off the ground directly at a group of plexiglass sculptures, and he sues the man for destroying them. Krebs v. Corrigan, 321 A.2d 558, 560 (D.C. 1974) (yes; "human bodies do not generally go crashing into breakable personal property," and a person obviously has exclusive control over his own body).
- A fertilizer plant blows up, and a person standing 300 feet away who is injured sues the owner of the plant. Collins v. N-Ren Corp., 604 F.2d 659 (10th Cir. 1979) (applying Oklahoma law) (yes; fertilizer plants do not normally explode absent negligence, and plant owner has exclusive control over plant operations and safety).
- No res ipsa in collisions between automobiles. Generally, where two people crash into each other in their cars, neither can invoke res ipsa against the other. Res ipsa also usually does not apply where the crash injures a third person, like a pedestrian on the sidewalk. However, when the incident involves a single car crash, such as a car's suddenly leaving the roadway or careening into a stationary object, some courts have allowed res ipsa. See, e.g., Badela v. Karpowich, 206 A.2d 838 (Conn. 1965) (where car leaves roadway and crashes into tree nine feet away, injured passenger may invoke res ipsa against driver); Tanski v. Jackson, 130 N.W.2d 492 (Minn. 1964) (where car, containing four drunk high-schoolers returning from prom night, fails to negotiate a curve, climbs up a 40-foot-tall ravine to the edge of Lake Superior, and comes to rest upside down more than 200 feet from the roadway, passenger may invoke res ipsa against driver). What explains these differences?
4.3.3.5 Ybarra v. Spangard 4.3.3.5 Ybarra v. Spangard
The Paralyzed Shoulder Case
[L. A. No. 19067.
In Bank.
Dec. 27, 1944.]
JOSEPH ROMAN YBARRA, Appellant, v. LAWRENCE C. SPANGARD et al., Respondents.
*487Marion P. Betty and Wycoff Westover for Appellant.
Parker & Stanbury, Harry D. Parker, Raymond G. Stanbury and Vernon W. Hunt for Respondents.
GIBSON, C. J.
This is an action for damages for personal injuries alleged to have been inflicted on plaintiff by defendants during the course of a surgical operation. The trial court entered judgments of nonsuit as to all defendants and plaintiff appealed.
On October 28, 1939, plaintiff consulted defendant Dr. Tilley, who diagnosed his ailment as appendicitis, and made arrangements for an appendectomy to be performed by defendant Dr. Spangard at a hospital owned and managed by defendant Dr. Swift. Plaintiff entered the hospital, was given a hypodermic injection, slept, and later was awakened by Doctors Tilley and Spangard and wheeled into the operating room by a nurse whom he believed to be defendant Gisler, an employee of Dr. Swift. Defendant Dr. Reser, the anesthetist, also an employee of Dr. Swift, adjusted plaintiff for *488the operation, pulling his body to the head of the operating table and, according to plaintiff’s testimony, laying him back against two hard objects at the top of his shoulders, about an inch below his neck. Dr. Eeser then administered the anesthetic and plaintiff lost consciousness. When he awoke early the following morning he was in his hospital room attended by defendant Thompson, the special nurse, and another nurse who was not made a defendant.
Plaintiff testified that prior to the operation he had never had any pain in, or injury to, his right arm or shoulder, but that when he awakened he felt a sharp pain about half way between the neck and the point of the right shoulder. He complained to the nurse, and then to Dr. Tilley, who gave him diathermy treatments while he remained in the hospital. The pain did not cease, but spread down to the lower part of his arm, and after his release from the hospital the condition grew worse. He was unable to rotate or lift his arm, and developed paralysis and atrophy of the muscles around the shoulder. He received further treatments from Dr. Tilley until March, 1940, and then returned to work, wearing his arm in a splint on the advice of Dr. Spangard.
Plaintiff also consulted Dr. Wilfred Sterling Clark, who had X-ray pictures taken which showed an area of diminished sensation below the shoulder and atrophy and wasting away of the muscles around the shoulder. In the opinion of Dr. Clark, plaintiff’s condition was due to trauma or injury by pressure or strain, applied between his right shoulder and neck.
Plaintiff was also examined by Dr. Fernando Garduño, who expressed the opinion that plaintiff’s injury was a paralysis of traumatic origin, not arising from pathological causes, and not systemic, and that the injury resulted in atrophy, loss of use and restriction of motion of the right arm and shoulder.
Plaintiff’s theory is that the foregoing evidence presents a proper case for the application of the doctrine of res ipsa loquitur, and that the inference of negligence arising therefrom makes the granting of a nonsuit improper. Defendants take the position that, assuming that plaintiff’s condition was in fact the result of an injury, there is no showing that the act of any particular defendant, nor any particular instrumentality, was the cause thereof. They attack plaintiff’s *489action as an attempt to fix liability “en masse” on various defendants, some of whom were not responsible for the acts of others; and they further point to the failure to show which defendants had control of the instrumentalities that may have been involved. Their main defense may be briefly stated in two propositions: (1) that where there are several defendants, and there is a division of responsibility in the use of an instrumentality causing the injury, and the injury might have resulted from the separate act of either one of two or more persons, the rule of res ipsa loquitur cannot be invoked against any one of them; and (2) that where there are several instrumentalities, and no showing is made as to which caused the injury or as to the particular defendant in control of it, the doctrine cannot apply. We are satisfied, however, that these objections are not well taken in the circumstances of this case.
The doctrine of res ipsa loquitur has three conditions: “ (1) the accident must be of a kind which ordinarily does not occur in the absence of someone’s negligence; (2) it must be caused by an agency or instrumentality within the exclusive control of the defendant; (3) it must not have been due to any voluntary action or contribution on the part of the plaintiff.” (Prosser, Torts, p. 295.) It is applied in a wide variety of situations, including cases of medical or dental treatment and hospital care. (Ales v. Ryan, 8 Cal. 2d 82 [64 P.2d 409]; Brown v. Shortlidge, 98 Cal.App. 352 [277 P. 134]; Moore v. Steen, 102 Cal.App. 723 [283 P. 833] ; Armstrong v. Wallace, 8 Cal.App.2d 429 [47 P.2d 740] ; Meyer v. McNutt Hospital, 173 Cal. 156 [159 P. 436]; Vergeldt v. Hartzell, 1 F.2d 633; Maki v. Murray Hospital, 91 Mont. 251 [7 P.2d 228]; Whetstine v. Moravec, 228 Iowa 352 [291 N.W. 425]; see Shain, Res Ipsa Loquitur, 17 So.Cal.L. Rev. 187, 196.)
There is, however, some uncertainty as to the extent to which res ipsa loquitur may be invoked in cases of injury from medical treatment. This is in part due to the tendency, in some decisions, to lay undue emphasis on the limitations of the doctrine, and to give too little attention to its basic underlying purpose. The result has been that a simple, understandable rule of circumstantial evidence, with a sound background of common sense and human experience, has occasionally been transformed into a rigid legal formula, which *490arbitrarily precludes its application in many cases where it is most important that it should be applied. If the doctrine is to continue to serve a useful purpose, we should not forget that “the particular force and justice of the rule, regarded as a presumption throwing upon the party charged the duty of producing evidence, consists in the circumstance that the chief evidence of the true cause, whether culpable or innocent, is practically accessible to him but inaccessible to the injured person.” (9 Wigmore, Evidence [3d ed.], § 2509, p. 382; see, also, Whetstine v. Moravec, 228 Iowa 352 [291 N.W. 425, 432]; Boss v. Double Shoals Cotton Mills, 140 N.C. 115 [52 S.E. 121; 1 L.B.A.N.S. 298]; Maid v. Murray Hospital, 91 Mont. 251 [7 P.2d 228, 231].) In the last-named case, where an unconscious patient in a hospital received injuries from a fall, the court declared that without the doctrine the maxim that for every wrong there is a remedy would be rendered nugatory, “by denying one, patently entitled to damages, satisfaction merely because he is ignorant of facts peculiarly within the knowledge of the party who should, in all justice, pay them.”
The present case is of a type which comes within the reason and spirit of the doctrine more fully perhaps than any other. The passenger sitting awake in a railroad car at the time of a collision, the pedestrian walking along the street and struck by a falling object or the debris of an explosion, are surely not more entitled to an explanation than the unconscious patient on the operating table. Viewed from this aspect, it is difficult to see how the doctrine can, with any justification, be so restricted in its statement as to become inapplicable to a patient who submits himself to the care and custody of doctors and nurses, is rendered unconscious, and receives some injury from instrumentalities used in his treatment. Without the aid of the doctrine a patient who received permanent injuries of a serious character, obviously the result of someone’s negligence, would be entirely unable to recover unless the doctors and nurses in attendance voluntarily chose to disclose the identity of the negligent person and the facts establishing liability. (See Maki v. Murray Hospital, 91 Mont. 251 [7 P.2d 228].) If this were the state of the law of negligence, the courts, to avoid gross injustice, would be forced to invoke the principles of absolute liability, irrespective of negligence, in actions by persons suffering in*491juries during the course of treatment under anesthesia. But we think this juncture has not yet been reached, and that the doctrine of res ipsa loquitur is properly applicable to the case before us.
The condition that the injury must not have been due to the plaintiff’s voluntary action is of course fully satisfied under the evidence produced herein; and the same is true of the condition that the accident must be one which ordinarily does not occur unless someone was negligent. We have here no problem of negligence in treatment, but of distinct injury to a healthy part of the body not the subject of treatment, nor within the area covered by the operation. The decisions in this state make it clear that such circumstances raise the inference of negligence, and call upon the defendant to explain the unusual result. (See Ales v. Ryan, 8 Cal.2d 82 [64 P.2d 409]; Brown v. Shortlidge, 98 Cal.App. 352 [277 P. 134].)
The argument of defendants is simply that plaintiff has not shown an injury caused by an instrumentality under a defendant’s control, because he has not shown which of the several instrumentalities that he came in contact with while in the hospital caused the injury; and he has not shown that any one defendant or his servants had exclusive control over any particular instrumentality. Defendants assert that some of them were not the employees of other defendants, that some did not stand in any permanent relationship from which liability in tort would follow, and that in view of the nature of the injury, the number of defendants and the different functions performed by each, they could not all be liable for the wrong, if any.
We have no doubt that in a modern hospital a patient is quite likely to come under the care of a number of persons in different types of contractual and other relationships with each other. For example, in the present case it appears that Doctors Smith, Spangard and Tilley were physicians or surgeons commonly placed in the legal category of independent contractors; and Dr. Reser, the anesthetist, and defendant Thompson, the special nurse, were employees of Dr. Swift and not of the other doctors. But we do not believe that either the number or relationship of the defendants alone determines whether the doctrine of res ipsa loquitur applies. Every defendant in whose custody the plaintiff was placed for any period was bound to exercise ordinary care to see that no unnecessary harm came to him and each would be liable for *492failure in this regard. Any defendant who negligently injured him, and any defendant charged with his care who so neglected him as to allow injury to occur, would he liable. The defendant employers would be liable for the neglect of their employees; and the doctor in charge of the operation would be liable for the negligence of those who became his temporary servants for the purpose of assisting in the operation.
In this connection, it should be noted that while the assisting physicians and nurses may be employed by the hospital, or engaged by the patient, they normally become the temporary servants or agents of the surgeon in charge while the operation is in progress, and liability may be imposed upon him for their negligent acts under the doctrine of respondeat superior. Thus a surgeon has been held liable for the negligence of an assisting nurse who leaves a sponge or other object inside a patient, and the fact that the duty of seeing that such mistakes do not occur is delegated to others does not absolve the doctor from responsibility for their negligence. (See Ales v. Ryan, 8 Cal.2d 82 [64 P.2d 409]; Armstrong v. Wallace, 8 Cal.App.2d 429 [47 P.2d 740]; Ault v. Hall, 119 Ohio St. 422 [164 N.B. 518, 60 A.L.R 128]; and see, also, Maki v. Murray Hospital, 91 Mont. 251 [7 P.2d 228, 233].)
It may appear at the trial that, consistent with the principles outlined above, one or more defendants will be found liable and others absolved, but this should not preclude the application of the rule of res ipsa loquitur.. The control, at one time or another, of one or more of the various agencies or instrumentalities which might have harmed the plaintiff was in the hands of every defendant or of his employees or temporary servants. This, we think, places upon them the burden of initial explanation. Plaintiff was rendered unconscious for the purpose of undergoing surgical treatment by the defendants; it is manifestly unreasonable for them to insist that he identify any one of them as the person who did the alleged negligent act.
The other aspect of the case which defendants so strongly emphasize is that plaintiff has not identified the instrumentality any more than he has the particular guilty defendant. Here, again, there is a misconception which, if carried to the extreme for which defendants contend, would unreasonably limit the application of the res ipsa loquitur rule. It should be enough that the plaintiff can show an injury resulting *493from an external force applied while he lay unconscious in the hospital; this is as clear a case of identification of the instrumentality as the plaintiff may ever be able to make.
An examination of the recent cases, particularly in this state, discloses that the test of actual exclusive control of an instrumentality has not been strictly followed, but exceptions have been recognized where the purpose of the doctrine of res ipsa loquitur would otherwise be defeated. Thus, the test has become one of right of control rather than actual control. (See Metz v. Southern Pac. Co., 51 Cal.App.2d 260, 268 [124 P.2d 670].) In the bursting bottle eases where the bottler has delivered the instrumentality to a retailer and thus has given up actual control, he will nevertheless be subject to the doctrine where it is shown that no change in the condition of the bottle occurred after it left the bottler’s possession, and it can accordingly be said that he was in constructive control. (Escola v. Coca Cola Bottling Co., 24 Cal.2d 453 [150 P.2d 436].) Moreover, this court departed from the single instrumentality theory in the colliding vehicle cases, where two defendants were involved, each in control of a separate vehicle. (See Smith v. O’Donnell, 215 Cal. 714 [12 P. 2d 933]; Godfrey v. Brown, 220 Cal. 57 [29 P.2d 165, 93 A.L.R. 1072]; Carpenter, 10 So.Cal.L.Rev. 170.) Finally, it has been suggested that the hospital cases may properly be considered exceptional, and that the doctrine of res ipsa loquitur “should apply with equal force in cases wherein medical and nursing staffs take the place of machinery and may, through carelessness or lack of skill, inflict, or permit the infliction of, injury upon a patient who is thereafter in no position to say how he received his injuries.” (Maki v. Murray Hospital, 91 Mont. 251 [7 P.2d 228, 231]; see, also, Whetstine v. Moravec, 228 Iowa 352 [291 N.W. 425, 435], where the court refers to the “instrumentalities” as including “the unconscious body of the plaintiff.”)
In the face of these examples of liberalization of the tests for res ipsa loquitur, there can be no justification for the rejection of the doctrine in the instant case. As pointed out above, if we accept the contention of defendants herein, there will rarely be any compensation for patients injured while unconscious. A hospital today conducts a highly integrated system of activities, with many persons contributing their efforts. There may be, e. g., preparation for surgery by nurses *494and internes who are employees of the hospital; administering of an anesthetic by a doctor who may be an employee of the hospital, an employee of the operating surgeon, or. an independent contractor; performance of an operation by a surgeon and assistants who may be his employees, employees of the hospital, or independent contractors; and post surgical care by the surgeon, a hospital physician, and nurses. The number of those in whose care the patient is placed is not a good reason for denying him all reasonable opportunity to recover for negligent harm. It is rather a good reason for re-examination of the statement of legal theories which supposedly compel such a shocking result.
We do not at this time undertake to state the extent to which the reasoning of this case may be applied to other situations in which the doctrine of res ipsa loquitur is invoked. We merely hold that where a plaintiff receives unusual injuries while unconscious and in the course of medical treatment, all those defendants who had any control over his body or the instrumentalities which might have caused the injuries may properly be called upon to meet the inference of negligence by giving an explanation of their conduct.
The judgment is reversed.
Shenk, J., Curtis, J., Edmonds, J., Carter, J., and Schauer, J., concurred.
Respondents’ petition for a rehearing was denied January 25, 1945. Traynor, J., voted for a rehearing.
4.3.3.6 Questions and Notes on Ybarra 4.3.3.6 Questions and Notes on Ybarra
Fun Fact
On average, a standard surgical team includes around 6 to 8 key members, typically consisting of one or two surgeons, an anesthesiologist, a certified nurse anesthetist, an operating room nurse or circulating nurse, a surgical technologist. There may be other nurses, physician assistants, and even medical device company representatives in the room. The size of the team can also vary depending on the complexity of the surgery. See generally, John Hopkins Medicine, Surgical Team, https://www.hopkinsmedicine.org/health/treatment-tests-and-therapies/the-surgical-team.
Guiding Questions
- Who are the defendants in this case? How many are there?
- If you were the plaintiff (or plaintiff's counsel), which defendant would you think is responsible for the injury? Who would you have sued? Who would you have wanted to testify? What evidence would you have expected to get?
- Why does Chief Justice Gibson apply res ipsa here? Why isn't it a problem that there are multiple defendants? That there could be multiple instrumentalities and no "exclusive control"?
- What is the effect of applying res ipsa here? What do each of the defendants have to prove on remand?
- What is the holding? What does Chief Justice Gibson say about applying it in other cases?
Test Your Knowledge
Cassidy is at her local doctor's office for an annual checkup. She lives in a small town, and her doctor, Amelia, is the only general practitioner in the area. Amelia likes the quaint atmosphere; she bought an old building on Main Street for her office; kept all the antique furniture, wallpaper, and lights to give the inside an historic feel; and employs just one other person, a receptionist. Cassidy is a bit early for her appointment, so she chats with the receptionist in the waiting room. Without warning, the ornate chandelier in the room comes loose from its bracket and falls on top of Cassidy. She suffers a concussion and a lacerated head. Cassidy brings a negligence suit to recover for her injuries. Under Ybarra, will she likely be able to invoke res ipsa?
- No, because Amelia owes no duty to someone who voluntarily chooses to engage her medical services.
- No, because Cassidy does not have any evidence to show which of the two people who work at the office—Amelia or her receptionist—is the one responsible for Cassidy's injury.
- Yes, because Amelia has exclusive control over the chandelier, and chandeliers do not normally fall from their brackets absent some negligence.
- Yes, because Cassidy was injured in a medical setting, and all the possible defendants have better access to the cause of the injury than Cassidy.
Notes and Further Cases
- Applying Ybarra. Chief Justice Gibson notes at the end: "We do not at this time undertake to state the extent to which the reasoning of this case may be applied to other situations in which the doctrine of res ipsa loquitur is invoked." Later cases involving multiple defendants have debated whether to apply Ybarra, with varying results. See for yourself:
- Broken forceps. During an operation the tip of a pair of metal forceps broke off and lodged itself inside plaintiff's spine. Plaintiff sues the surgeon and hospital, as well as the forceps' manufacturer and distributor. Can plaintiff invoke res ipsa? Anderson v. Somberg, 338 A.2d 1 (N.J. 1975) (yes; Ybarra applies, even though some of the defendants were not medical personnel).
- Cigarette fires. Four friends are smoking cigarettes inside a Las Vegas hotel room. A fire starts, and the hotel's insurer sues the four friends. But the friends swore an omertà that what happens in Vegas stays in Vegas, and no one divulges whose cigarette started the fire. Can insurer invoke res ipsa? Fireman's Fund Am. Ins. Cos. v. Knobbe, 562 P.2d 825, 827 (Nev. 1977) (no; Ybarra "has no application in this case, where there is lacking even a scintilla of evidence indicating which respondent had control of the cigarette that started the fire").
- Falling flowerpots. Plaintiff is suddenly struck in the head by a flowerpot falling from a multistory apartment building. Plaintiff has no idea whose flowerpot it was, and since no one will rat on their neighbor, plaintiff sues every tenant in the place. Can plaintiff invoke res ipsa? This was the hypothetical thought up by Justice Traynor on the California Supreme Court a few years after Ybarra to illustrate why he thought Ybarra should not be extended beyond the sort of medical scenario present in that case. Do you agree? See Raber v. Tumin, 226 P.2d 574, 579 (Cal. 1951) (Traynor, J., concurring/dissenting in part).
-
Expert testimony and res ipsa. Occasionally a fact pattern can require expert testimony to invoke res ipsa, and such fact patterns usually involve a medical accident. But wait: how could res ipsa ever allow for expert testimony? How can a thing "speak for itself" when it needs a medical expert to speak for it? The answer is that to those in the profession the fact would speak for itself. The jury just needs a little help to bring themselves to the level of a professional for the purposes of the case. Still, drawing that line can be difficult. You be the judge! A leading casebook offers a salient exercise. See Victor E. Schwartz, Kathryn Kelly, & David F. Partlett, Prosser, Wade, and Schwartz's Torts: Cases and Materials 258 n.4 (13th ed. 2015). Try it yourself. Of the following scenarios, which would an ordinary juror understand to be the sort of accident that usually doesn't happen without negligence, and which would require expert testimony?
- Plaintiff's complications after surgery last three months before a second operation reveals a laparotomy sponge was left inside Plaintiff during the first surgery. Coleman v. Rice, 706 So. 2d 696 (Miss. 1997) (common knowledge).
- A mirrored x-ray causes a dentist to operate on the wrong side of Plaintiff's mouth during wisdom-teeth removal. Pacheco v. Ames, 69 P.3d 324 (Wash. 2003) (common knowledge).
- Plaintiff has surgery to remove a tumor, begins to bleed internally, and then is paralyzed after surgeon packs Plaintiff's wound with cellulosic material in an effort to stop the bleeding. Brannon v. Wood, 444 P.2d 558 (Or. 1968) (expert testimony).
- Plaintiff has abdominal surgery to increase her chances of becoming pregnant and, a few days later, loses function in her left leg. Connors v. Univ. Assocs., 4 F.3d 123 (2d Cir. 1993) (applying Vermont law) (expert testimony).
- Res ipsa as evidentiary doctrine, not claim. A parting note: Res ipsa is not a tort; it is a doctrine of circumstantial evidence. Thus, it is good to remember that one does not sue "for res ipsa," although it is easy to slip into this phrasing. One sues for negligence, and when it comes to proving that the defendant breached a duty, res ipsa is one way of proving breach in some cases.
4.3.4 Negligence Per Se 4.3.4 Negligence Per Se
4.3.4.1 Primer on Statutory Interpretation 4.3.4.1 Primer on Statutory Interpretation
Remember our discussion of White City (is a taco a sandwich)? We saw how courts have struggled to define whether tomatoes are a vegetable and bees are fish.
When these courts sought to answer these questions, they were busy interpreting statutes. Tomatoes were assessed against the definition of "vegetables" under the 1883 Tariff Act enacted by Congress. Bees were assessed against the 1970 California Endangered Species Act, as adopted by the California legislature.
The next few cases in our torts casebook use statutory interpretation too. In applying the doctrine of negligence per se, courts turn to legislation and regulation as a means of proving that duties were breached. To understand how this works remember that American legislatures can add to or overwrite the common law. So, a state legislature could enact a law imposing civil liability on someone who, say, exceeds a speed limit, even if speeding was not a tort at common law. The same is true for administrative agencies if they have power to introduce a regulation that has the same effect.
Whenever a legislature or regulator speak they do so through the written word: statutes, regulations, ordinances, administrative rules, licensing requirements, and environmental standards. This is where interpretation comes into play. Sometimes legislatures and regulators create "private rights of action"; they explicitly write in a law that a certain act creates tort liability and make the judge's job easy—just apply the statute in the proper context. Other times, however, the text's intent and effect on tort law is less clear. The rule-prescriber may forbid a certain conduct—and may even make the conduct a crime—without saying whether a victim may bring a civil tort claim against a defendant for the same conduct. As we will see in our first case, Osborne, a judge must then determine whether the law establishes a standard of care, as well as whether failure to follow the law constitutes breach. If the answers are yes, it is commonly said that failure to follow the law is "negligence per se"—negligence "in itself"—which in most states conclusively establishes that the defendant was negligent. Ultimately, a judge has to determine what the statute means.
What follows is a massively abbreviated introduction to the theories and tools judges use to interpret statutes in the United States. It will have to do for the purposes of this course. But you should consider taking a course on legislation and regulation (Leg Reg for short), for just as writing rules is the stock-in-trade of legislators and regulators, so interpreting what legislators have written is the stock-in-trade of judges and attorneys alike.
Textualism
A textualist determines what a law means by looking principally to the text—"examin[ing] the very words of the instrument." Antonin Scalia & Bryan A. Garner, Reading Law: The Interpretation of Legal Texts § 2 (2011). Most textualists do "not travel[] . . . beyond the borders of the statute." United States v. Great N. Ry., 287 U.S. 144, 154 (1932) (per Cardozo, J.). That is, they do not consult sources of legislative history, like conference reports, committee prints, or floor debates. Instead, they look for the meaning that "a reasonable person would gather from the text of the law." Antonin Scalia, A Matter of Interpretation 17 (1997); Oliver Wendell Holmes, The Theory of Legal Interpretation, 12 Harv. L. Rev. 417, 417-18 (1899) ("we ask, not what this man meant, but what those words would mean in the mouth of a normal speaker of English, using them in the circumstances in which they were used").
To discern that meaning textualists often deploy a variety of tools. Sometimes they use dictionaries—think back to White City. Many times they use "canons of construction," principles of grammar and semantics that "reflect broader conventions of language use." Caleb Nelson, What is Textualism?, 91 Va. L. Rev. 347, 383 (2005). One of these, the ejusdem generis canon, says that when a general term follows a list of specific items, the general term should be understood to include only things similar to those listed. In other words, the broad phrase takes its meaning from the specific examples that come before it. So, in a phrase like “paintings, pictures, and other decorations,” the term “other decorations” would cover items like murals or sculptures—but not parsley, even though it can decorate a plate or garnish food.
Many textualists limit the inquiry in one way or another. Justice Gorsuch, for example, writes that the text must be defined based on when it was written: the words must be understood as they were "at the time of [their] enactment." Neil Gorsuch, A Republic, If You Can Keep It 131 (2019). This approach raises interesting issues and questions about the relationship between law and the passage of time. Other textualists limit how the ordinary meaning is to be collected. Judge Lee, for instance, argues for using corpus linguistics, which attempts to get at ordinary meaning by analyzing databases of publicized uses of the words at issue and engaging in natural language processing. See Thomas R. Lee & Stephen C. Mouritsen, Judging Ordinary Meaning, 127 Yale L.J. 788 (2018). For all the variations in textualism, the common thread is that the words as written are paramount.
Purposivism
Purposivists instead argue that "legislation is a purposive act, and judges should construe statutes to execute that legislative purpose." Robert A. Katzmann, Judging Statutes 31 (2014). The purposivists' goal is to discern the evil or mischief the legislature meant to prevent and then to determine whether the facts of the case are within that legislative purpose. For example, given a statute that prohibits any person from paying a foreigner's way into the United States so that the foreigner can "perform labor" here, the statute would not apply to someone who paid for a pastor's journey if the trouble Congress sought to prevent was the influx of "cheap unskilled labor[ers]." Church of the Holy Trinity v. United States, 143 U.S. 457, 464 (1892). In other words, the Supreme Court held that although the statute's language was broad and could theoretically cover the conduct, when read in light of the purpose it was clear that the travel of "skilled laborers" was never intended to be covered.
Purposivists are principally concerned with "mak[ing] the results in the particular cases" consistent with "some general objective or purpose to be attributed to the statute." Henry M. Hart, Jr. & Albert M. Sacks, The Legal Process: Basic Problems in the Making and Application of Law 1119 (William N. Eskridge, Jr. & Phillip P. Frickey eds., 1994). Because the inquiry is thus more focused on Congress' objective purpose and not the bare words on the page, purposivists are more likely to engage tools of legislative history. See Stephen Breyer, On the Uses of Legislative History in Interpreting Statutes, 65 S. Cal. L. Rev. 845, 847 (1992).
Hybrid Approaches
In practice judges rarely hew to a rigid textualist or purposivist philosophy, instead opting for a mix of the two doctrines. Chief Justice Marshall once wrote that the "rules for construing statutes . . . require that the intent of the Legislature shall have effect, which intent is to be collected from the context,” The Mary Ann, 21 U.S. (8 Wheat.) 380, 387 (1823), endorsing a sort of textually-constrained purposivism. And Chief Judge Easterbrook has written that "[k]nowing the purpose behind a rule may help a court decode an ambiguous text . . . but first there must be some ambiguity [in the words]," National Tax Credit Partners, L.P. v. Havlik, 20 F.3d 705, 707 (7th Cir. 1994), endorsing a sort of purposivist-constrained textualism.
To conclude, statutory interpretation is the bread-and-butter of all law, including our next topic in torts: negligence per se. And it's not just statutes; constitutions, administrative regulations, treaties, executive orders, contracts, wills, property grants, articles of incorporation, and patents, all may force questions of complex interpretation. For, as Justice Story observed long ago, “[t]here is scarcely any law which does not admit of some ingenious doubt.” Barlow v. United States, 32 U.S. (7 Pet.) 404, 411 (1833).
4.3.4.2 Osborne v. McMasters 4.3.4.2 Osborne v. McMasters
The Mislabeled Poison Case
Martin Osborne, Administrator, vs. Sterling R. McMasters.
January 30, 1889.
Statutory Duty — Master Liable for Servant’s Neglect. — Where a statute or municipal ordinance imposes upon a person a duty designed for the protection of others, if he neglects to perform the duty he is liable to those for whose protection it was imposed for any damages resulting proximately from such neglect, and of the character which the statute or ordinance was designed to prevent. Following Bott v. Pratt, 83 Minn. 323.
Neglect of Common-Law Duty — Liability of Master.- — Whether the act constituting negligence was such on common-law principles, or is made such by statute, the doctrine of agency applies, to wit, that the master is liable for the negligence of his servant committed in the course of his employment and resulting in injury to others.
Appeal by defendant from a judgment of the district court for Bamsey county, where the action was tried before Kelly, J., and a jury, and a verdict rendered for plaintiff.
*104 Flandrau, Squires é Cutcheon, for appellant.
M. D. Munn, for respondent.
Upon the 1-ecord in this case it must be taken as the facts that defendant’s clerk in his drug-store, in the course of his employment as such, sold to plaintiff’s intestate a deadly poison without labelling it “Poison,” as required by statute; that she, in ignorance of its deadly qualities, partook of the poison, -which caused her death. Except for the ability of counsel and the earnestness with which they have argued the case, we would not have supposed that there could be any serious doubt of defendant’s liability on this state of facts. It is immaterial for present purposes whether section 329 of the Penal Code or section 14, c. 147, Laws 1885, or both, are still in force, and constitute the law' governing this case. The requirements of both statutes are substantially the same, and the sole object of both is to protect the public against tbe dangerous qualities of poison. It is now well settled, certainly in this state, that where a statute or municipal ordinance imposes upon any person a specific duty for the protection or benefit of others, if he neglects to perform that duty he is liable to those for whose protection or benefit it"was imposed for any injuries of the character which the statute or'ordinance was designed to prevent, and which were proximately produced/ by such neglect. In support of this we need only cite our own decision in Bott v. Pratt, 33 Minn. 323, (23 N. W. Rep. 237.)
Defendant contends that this is only true where a right of action for the alleged negligent act existed at common law; that no liability existed at common law for selling poison without labelling it, and therefore none exists under this statute, no right of civil action being given by it. Without stopping to consider the correctness of the assumption that selling poison without labelling it might not be actionable negligence at common law, it is sufficient to say that, in our opinion, defendant’s contention proceeds upon an entire misapprehension of the nature and gist of a cause of action of this kind. The common law gives a right of action to every one sustaining injuries caused proximately by the negligence of another. The pres*105ent is a common-law action, the gist of which is defendant’s negligence, resulting in the death of plaintiff’s intestate. Negligence is the breach of legal duty. It is immaterial whether the duty is one imposed by the rule of common law requiring the exercise of ordinary care not to injure another, or is imposed by a statute designed for the protection of others. In either case the failure to perform the duty constitutes negligence, and renders the party liable for injuries resulting from it. The only difference is that in the one case the measure of legal duty is to be determined upon common-law principles, while in the other the statute fixes it, so that the violation of the statute constitutes conclusive evidence of negligence, or, in other words, negligence per se. The action in the latter case is not a statutory one, nor does the statute give the right of action in any other sense except that it makes an act negligent which otherwise might not be such, or at least only evidence of negligence. All that the statute does is to establish a fixed standard by which the fact of negligence may be determined. The gist of the action is still negligence, or the non-performance of a legal duty to the person injured.
What has been already said suggests the answer to the further contention that if any civiliiability exis.ts.lt is only againslthe clerk who sold the poison, and who alone is criminally liable. Whether the“act constituting the actionable negligence was such on common-law principles, or is made such by statute, the doctrine of agency applies, to wit, that the master is civilly liable for the negligence of his servant committed in the course of his employment, and resulting in injuries to third persons.
Judgment affirmed.
4.3.4.3 Questions and Notes on Osborne 4.3.4.3 Questions and Notes on Osborne
Fun Fact
The most common over-the-counter rat poison in the late 1800s was arsenic, because it was cheap and readily available as a by-product of the emerging smelting industry. While effective on rats, arsenic can be equally as fatal if ingested by humans. It is one of the most toxic elements on earth.
Guiding Questions
- Justice Mitchell references two statutes, a criminal one and a civil one. What is the "object" of the statutes?
- Did the plaintiff bring the action under one of the statutes or at common law? If at common law, what was the duty? Where did the duty come from?
- What must be shown to hold someone liable in negligence for violating a statute?
- Did Justice Mitchell create a new right of action under the statute?
- Justice Mitchell says the Court has no need to address the defendant's assertion that selling poison without labeling it might not be negligence at common law. Let's address it—would it be? How would you prove the mislabeling constituted breach at common law?
Test Your Knowledge
In Anystate, a law requires all railroads to build fences along their train tracks to prevent cows from wandering onto the tracks and getting struck by a train. The Filet Express is experiencing a shortage in its beef supply, so it decides not to repair a gaping hole in one of its fences in the hopes that cows will wander onto the tracks and—in a manner of speaking—contribute to the beef supply. The hole in question is next to Boone's cattle ranch. Boone is worried his prize heifer, Bessie, will find the hole. Sure enough, one afternoon Bessie lumbers through the hole. She stops beside the tracks to inspect a clump of grass clippings; Filet Express employees had just cut down the tall grasses next to the tracks and left the clippings. Bessie eagerly chows down, turns around, and lumbers back through the hole to Boone's pasture. By morning Bessie is dead; the grass clippings poisoned her. Boone sues the Filet Express for Bessie's death, seeking to invoke negligence per se on the basis of the railroad-fence law. Will Boone likely prevail?
- No, because the law was not designed to protect cows.
- No, because the law was not designed to prevent poisoning deaths.
- Yes, because the law was designed to safeguard animals like Bessie and prevent the manner in which Bessie died.
- Yes, because the Filet Express maliciously refused to repair the hole in its own fence.
Notes and Further Cases
- Violations of labeling statutes. Plaintiffs allege that a when chemical company sold a large quantity of ammonium nitrate (AN) in Kansas, it labeled the AN as "fertilizer grade" under a Kansas labeling statute. The AN the company sold was later used by Timothy McVeigh to carry out the 1995 Oklahoma City bombing. Plaintiffs sue the company under a theory of negligence per se, arguing that the AN was really "explosive grade" and the company violated the Kansas labeling statute by not labeling the AN as such. See Gaines-Tabb v. ICI Explosives, USA, Inc., 160 F.3d 613 (10th Cir. 1998). Should plaintiffs prevail? How does this case compare to Osborne? As an added wrinkle, the AN was sold in Kansas, but the injury occurred in Oklahoma and plaintiffs are Oklahomans; should it matter that the statute giving rise to a negligence per se claim is from a different jurisdiction?
4.3.4.4 Stachniewicz v. Mar-Cam Corp. 4.3.4.4 Stachniewicz v. Mar-Cam Corp.
The Barroom Brawl Case
Argued February 3,
reversed and remanded September 10, 1971
STACHNIEWICZ, Appellant, v. MAR-CAM CORPORATION, Respondent.
488 P2d 436
*584 B. Ryan Lawrence, Portland, argued the cause for appellant. On the brief were Neis Peterson, and Peterson, Chaivoe & Peterson, Portland.
George M. Joseph, Portland, argued the cause for respondent. With him on the brief were Thomas S. Moore, and Morrison & Bailey, Portland.
Before O’Connell, Chief Justice, and McAllister, Denecke, Holman, Howell, and Bryson, Justices.
The patron of a drinking establishment seeks to recover against the operator for personal injuries allegedly inflicted by other customers during a barroom brawl. The jury returned a verdict for defendant. Plaintiff appealed.
Prom the evidence introduced, the jury could find as follows:
A fight erupted in a bar between a group of persons of American Indian ancestry, who were sitting in a booth, and other customers who were at an adjacent table with plaintiff. One of plaintiff’s friends had refused to allow a patron from the booth to dance with the friend’s wife because the stranger was intoxicated. Thereafter, such threats as, “Hey, Whitey, how *585big are yon?” were shouted from the booth at plaintiff and his companions. One of the persons at the table, after complaining to the bartender, was warned by him, “Don’t start trouble with those guys.” Soon thereafter, those individuals who had been sitting in the booth approached the table and one of them knocked down a person who was talking to a member of plaintiff’s party. With that, the brawl commenced.
After a short melee, someone shouted “Fuzz!” and those persons who had been sitting in the booth ran out a door and into the parking lot, with one of plaintiff’s friends in hot pursuit. Upon reaching the door, the friend discovered plaintiff lying just outside with his feet wedging the door open.
Plaintiff suffered retrograde amnesia and could remember nothing of the events of the evening. No one could testify to plaintiff’s whereabouts at the time the band in the booth went on the warpath or to the cause of the vicious head injuries which plaintiff displayed when the brawl was ended.
The customers in the booth had been drinking in defendant’s place of business for approximately two and one-half hours before the affray commenced.
The principal issue is whether, as plaintiff contends, violations of ORS 471.410 (3) and of Oregon Liquor Control Regulation No. 10-065 (2) constitute negligence as a matter of law. The portion of the statute relied on by plaintiff reads as follows:
“(3) No person shall give or otherwise make available any alcoholic liquor to a person visibly intoxicated # *
The portion of the regulation to which plaintiff points provides:
“(2) No licensee shall permit or suffer any *586loud, noisy, disorderly or boisterous conduct, or any profane or abusive language, in or upon his licensed premises, or permit any visibly intoxicated person to enter or remain upon his licensed premises.”
The trial court held that a violation of either the statute or the regulation did not constitute negligence per se. It refused requested instructions and withdrew allegations of negligence which were based on their violation.
1. A violation of a statute or regulation constitutes negligence as a matter of law when the violation results in injury to a member of the class of persons intended to be protected by the legislation and when the harm is of the kind which the statute or regulation was enacted to prevent. Dimick v. Linnell, 240 Or 509, 511, 402 P2d 734 (1965); Smith v. Portland Traction Co., 226 Or 221, 359 P2d 899 (1961). The reason behind the rule is that when a legislative body has generalized a standard from the experience of the community and prohibits conduct that is likely to cause harm, the court accepts the formulation. Justice Tray-nor in Clinkscales v. Carver, 22 Cal2d 72, 136 P2d 777 (1943).
However, in addition, it is proper for the court to examine preliminarily the appropriateness of the standard as a measure of care for civil litigation under the circumstances presented. F. James, Jr., “Statutory Standards and Negligence in Accident Cases,” 11 La L Rev 95, 111-12 (1950-51); Restatement (Second) of Torts § 286, comment d. (1965). The statute in question prevents making available alcohol to a person who is already visibly intoxicated. This makes the standard particularly inappropriate for the awarding of civil damages because of the extreme difficulty, if *587not impossibility, of determining whether a third party’s injuries would have been caused, in any event, by the already inebriated person. Unless we are prepared to say that an alcoholic drink given after visible intoxication is the cause of a third party’s injuries as a matter of law, a concept not advanced by anyone, the standard would be one almost impossible of application by a factfinder in most circumstances.
2. Moreover, while it does not necessarily follow from the inclusion in the same statute of the prohibitions against purveying alcoholic drinks to minors and to intoxicated persons that a violation of either provision should be treated identically, we have already held in Wiener v. Gamma Phi ATO Frat., 255 Or 632, 485 P2d 18 (1971) that the statute, insofar as minors are concerned, is not an appropriate standard of care in civil damage actions brought by a third party who is injured as the result of the acts of a drunken minor. Hence, we agree with the trial court that a violation of the statute should not constitute negligence as a matter of law in a civil action for damages against its violator.
The regulation promulgated by the commission is an altogether different matter. The regulation requires certain conduct of licensees in the operation of bars. The regulation was issued under OES 471.730(5) which provides:
“The function, duties and powers of the commission include the following:
C6& # * # *
“ (5) To adopt such regulations as are necessary and feasible for carrying out the provisions of this chapter and to amend or repeal such regulations. When such regulations are adopted they shall have the full force and effect of law.”
*588ORS 471.030, entitled “Purpose of Liquor Control Act,” provides, in part, as follows:
“(1) The Liquor Control Act shall be liberally construed so as:
“(a) To prevent the recurrence of abuses associated with saloons or resorts for the consumption of alcoholic beverages.
An examination of the regulation discloses that it concerns matters having a direct relation to the creation of physical disturbances in bars which would, in turn, create a likelihood of injury to customers. A common feature of our western past, now preserved in story and reproduced on the screen hundreds of times, was the carnage of the barroom brawl. No citation of authority is needed to establish that the “abuses associated with saloons,” which the Liquor Control Act seeks to prevent, included permitting on the premises profane, abusive conduct and drunken clientele (now prohibited by the regulation) which results in serious personal injuries to customers in breach of the bar owner’s duty to protect his patrons from harm. We find it reasonable to assume that the commission, in promulgating the regulation, intended to prevent these abuses, and that they had in mind the safety of patrons of bars as well as the general peace and quietude of the community. In view of the quoted purpose of the Act and of the history of injury to innocent patrons of saloons, we cannot assume otherwise.
3. In addition, we see no reason why the standard is not an appropriate one for use in the awarding of civil damages. Because plaintiff was within the class of persons intended to be protected by the regulation *589and the harm caused to him was the kind intended to he prevented by the statute, we hold that the trial court erred in not treating the alleged violations of the regulation as negligence as a matter of law.①
4. Besides contending that the regulation should not be used as a standard of care for the protection of plaintiff, defendant also contends that, in any event, there was insufficient evidence to submit to the jury the questions of whether permitting visibly intoxicated persons to remain upon the premises, and failing to remove them therefrom after they had threatened violence, were causes of the injuries to plaintiff. Defendant argues that there is no proof of causation because it was not shown that one of the persons in the booth inflicted the injuries upon plaintiff, nor, if it is inferred that one of them did, could it be shown that it was as the result of defendant’s failure to remove such persons from the premises. We believe it would be fair for the jury to infer, in the circumstances set forth in the statement of the facts, that plaintiff was injured by one of the persons in the booth who had created the disturbance and that the injuries would not have occurred except for defendant’s violation of the commission’s regulation, as alleged.
The judgment of the trial court is reversed and the case is remanded for a new trial.
4.3.4.5 Questions and Notes on Stachniewicz 4.3.4.5 Questions and Notes on Stachniewicz
Club 21, Portland, Oregon, as taken in 1976 and appears and appears in the Library of Congress, used here under Fair Use principles. https://www.loc.gov/resource/mrg.07300/.
Fun Fact
The bar in this case was Club 21, one of Portland’s most historic and iconic dive bars and described as looking like "Snow White's house." The bar was closed in 2017. Mattie John Bamman, Portland Dive Bar That Looks Like Snow White's House Officially Doomed, Eater Portland (Jan. 9, 2017), https://pdx.eater.com/2017/1/9/14220048/club-21-officially-closing-dive-bar-portland.
Guiding Questions
- What was the legislature's purpose in enacting the statute? How about of the commission in enacting the Liquor Control Regulation?
- How does Justice Holman assess whether a violation of the statute or the regulation occurred? What did the laws mean? Does Justice Holman use textualism? Purposivism? A hybrid? Something else entirely?
- Does Justice Holman determine that any violation of the statute constitutes negligence per se? Why or why not? What about the regulation?
Test Your Knowledge
Sections 6880-6885 of the 2010 California Fish and Game Code mandate that a frog that dies during a frog-jumping contest can’t be eaten and must be disposed of as soon as possible. The legislation was enacted following a tradition whereby dead frogs from the annual Calaveras County Fair and Frog Jumping Jubilee were being served to the guests as food products. The legislature was concerned the consumption of such frogs without proper inspection could lead to physical harm due to toxins that can exist in the skin of the frogs.
Wanting to minimize the amount of waste created by the Jubilee, Mark opened a stand selling the deceased frogs preserved in jars as souvenirs from the fair. Jessica, a six-year-old child, saw the frogs on display, found a jar with a broken lid, reached in, and ate the frog. Jessica then got incredibly sick. After she recovered, Jessica's parents sue Mark under a theory of negligence per se for violating sections 6880-6885. Are Jessica's parents likely to prevail?
- No, because Jessica is not a member of the class the legislation was meant to protect.
- No, because Jessica did not suffer a harm of the sort the legislation was meant to prevent.
- Yes, because Jessica is a member of the class the legislation meant to protect and the harm is of the sort that the legislation was meant to prevent.
- Yes, because Mark had a duty to ensure a safe premises to his business invitees and is therefore liable.
Notes and Further Cases
- Statutes vs. administrative regulations. Do administrative regulations hold the same weight for the purpose of negligence that statutes do? Should it make a difference that administrative agencies often issue regulations under a broader parent statute? At least one jurisdiction thinks so. In Chambers v. St. Mary's School, a milkman was injured after he fell on icy steps leading up to the school, and he sued for a violation of an Ohio administrative regulation. 697 N.E.2d 198 (Ohio 1998). The Ohio Supreme Court held that the violation of an agency regulation does not constitute negligence per se, stating that to hold otherwise "would in effect bestow upon administrative agencies the ability to propose and adopt rules which alter the proof requirements between litigants." Id. at 202. It continued: "Altering proof requirements is a public policy determination [for the legislature]. Giving administrative agencies the ability to adopt such rules would be tantamount to an unconstitutional delegation of legislative authority, since administrative agencies cannot dictate public policy." Id. Compare Chambers with Stachniewicz, the principal case. Which reasoning do you find more persuasive (if either)? What if the regulation is a federal one? A municipal ordinance? What weight do you give a safety manual or advisory policy?
- Protected class. What if, in the principal case, the waiter was the one injured in the fracas? Or a plumber who was called to fix the bar's sink? One requirement for invoking negligence per se is that the person injured must be a member of the class of persons the legislature intended to protect. Would the waiter or plumber be in that class? Compare to Lockhart v. Loosen, 943 P.2d 1074 (Okla. 1997). There, Oklahoma enacted a statute forbidding anyone with a venereal disease to marry or engage in sexual activity while infectious. A man has an affair with a woman who has genital herpes, and she passes the disease to him. The man then passes the disease to his wife. The wife sues the woman for negligence per se under the statute, but her claim is denied; because the woman did not marry or have sex with the wife, the Court held, the wife is not in the protected class. Compare also to Kelly v. Henry Muhs Co., 59 A. 23 (N.J. 1904). There, New Jersey enacted a statute requiring all elevator shafts to be guarded for the safety of employees. A firefighter falls into a factory's unguarded elevator shaft. He sues the factory under the statute, but his claim is denied; he is not a factory employee, the Court held, and so not in the protected class.
- Same hazard. Another requirement for invoking negligence per se is that the hazard or injury suffered must be the sort of hazard or injury the legislature intended to prevent. A classic case illustrating a different hazard is Gorris v. Scott, (1874) 9 L.R. (Exch.) 125. There, an English statute required animals on cargo ships to be kept in pens in order to prevent the onboard spread of disease. The defendant did not keep the plaintiff's sheep in pens, and they were washed overboard when a storm hit the ship. The plaintiff sued the defendant for negligence per se under the statute, but his claim was denied; the injury he (and his sheep) suffered, the Court of Exchequer held, was not the sort of injury the statute intended to prevent.
4.3.4.6 Platz v. City of Cohoes 4.3.4.6 Platz v. City of Cohoes
The Carriage Accident Case
Maria L. Platz, Respondent, v. The City of Cohoes, Appellant.
Where, through culpable omission of duty upon the part of the municipal corporation, a city street has become obstructed, and in consequence a traveler upon the street is injured, it is no defense to an action against *220the municipality to recover damages that the accident happened upon Sunday, and that the person injured was, in traveling on that day, violating the statute relating to the “observance of Sunday.” (1 R. S. 676, §70.)
The courts may not add to the penalty imposed by that statute a forfeiture of the right to indemnity for an injury resulting from defendant’s negligence, and the violation of the statute cannot be regarded as the immediate cause of the injury.
Johnson v. Town of Irasburgh(47 Vt. 28 [19 Am. Rep. Ill]), Holcomb v. Town of Danby (51 Vt. 428), Bosworth v. Swansey (10 Mete. 363), Jones v. Andover (10 Allen, 18), disapproved.
(Argued April 19, 1882 ;
decided May 30, 1882.)
Appeal from judgment of the General Term of the Supreme Court, in the third judicial department, entered upon an order made January 25, 1881, which affirmed a judgment in favor of plaintiff, entered upon a verdict.
This action was brought to recover damages for injuries alleged to have been caused by defendant’s negligence.
The material facts are stated in the opinion.
Cf. L. Stedman for appellant.
The court erred in refusing to nonsuit, upon the ground that the plaintiff met with this accident while violating the Sunday law. (3 R. S. [7th ed.] 1975; Bosworth v. Swansey, 10 Metc. 363; Jones v. Andover, 10 Allen, 18; Johnson v. Town of Irashurgh, 47 Vt. 28; Holcomb v. Village of Danby, 51 id. 428; McClary v. Lowell, 44 id. 116; Sutton v. Wauwautosa, 29 Wis. 21; Merritt v. Earle, 29 N. Y. 115, 120; Carroll v. Staten Island R. R. Co., 58 id. 126, 133, 135, 137.)
Rufus W. Peckham for respondent.
There was no error in refusing to charge that, if the plaintiff was riding in violation of the Sunday law, she could not recover. (Carroll v. Railway Co., 58 N. Y. 126; Merritt v. Earle, 29 id. 115; Etchberry v. Leville, 2 Hilt. 40; Wood v. Erie Railway Co., 72 N. Y. 196; Winspear v. Ins. Co., L. R., 6 Q. B. Div. 42; Lawrence v. Ins. Co., 7 id. 216; Reynolds v. Ins. Co., 22 L. T. 820; 18 Weekly Rep. 1141; Masterson v. R. R. Co., 84 N. *221Y. 247, 254; Baldwin v. Barney, 12 R. I. 392; Woodman v. Hubbard, 25 N. H. 67; Sutton v. Town, etc., 29 Wis. 21; Mahoney v. Cook, 26 Penn. St. 342; Schmidt v. Humphrey, 48 Iowa, 658; S. C., 30 Am. Rep. 414, 417; Railroad Co., etc., v. Tow-boat Co., 23 How. [U. S.] 209 ; 20 Alb. L. J. 336 ; 14 Am. Law Reg. 547, 554.) Traveling on Sunday was not unlawful by the common law. (Batsford v. Every, 44 Barb. 618, and note, 620.) The penalty given by the statute can alone be enforced, and a further penalty of submission to wrong without any power or legal right to successfully complain cannot be added to the one provided by statute. (People v. Hislop, 77 N. Y. 331.)
Danforth, J.
The defendant made an excavation in one of its public streets, and neither removing or leveling the earth taken therefrom, left it in the way. While the respondent was riding with her husband, the carriage in which they were was, without carelessness on the part of either, upset by the pile of earth, and she was injured. That the street was defective through the culpable omission of duty on the part of the defendant is not denied, but the accident happened on Sunday, and the learned counsel for the appellant claims that it owed no duty to the plaintiff to keep its streets in repair on that day, because it did not appear that she was then traveling “either from necessity or charity,” nor for any purpose permitted by the law. It is plain, therefore, that she was violating the statute relating to the “observance of Sunday” (1 R. S. 628, title 8, chap. 20, art. 8, § 70), but we do not perceive how that fact relieves the defendant.
It imposed an obligation upon the plaintiff to refrain from traveling, and for its violation prescribed a forfeiture of one dollar. It also declares that upon complaint made before a magistrate, and conviction had, that sum might be collected by distress and sale of the goods and chattels of the offender, or if sufficient could not be found, she might be “committed to the common jail for not less than one or more than three days.” The statute goes no further, and we are aware of no principle upon which *222it can be held that the right to maintain an action in respect of special damage resulting from the omission of a defendant to perform a public duty is taken away because the person injured was at the time disobeying a positive law. The courts are required to construe a penal statute strictly, and having before him, for judgment, an alleged violation of the Sunday law, Lord Mansfield said: “If the act of Parliament gives authority to levy but one penalty, there is an end of the question, for there is no penalty at common law.” (Crepps v. Durden, 2 Cowper, 640.) This was a proceeding to enforce the statute, but in Carroll v. Staten Island R. R. Co. (58 N.Y. 126; 17 Am. Pep. 221), an action by a passenger against a carrier to recover damages for injuries received through its carelessness, this court held that the fact, “that the plaintiff was at the time of the injury traveling contrary to the statute,” was no defense to the action. The policy of the statute and its limitations were then considered, and the court refused to add to the penalty imposed by it a forfeiture of the right to indemnity for an injury resulting from the defendant’s negligence.
The Sunday law received a similar construction in Phila., Wil. & Balt. R. R. Co. v. Phil, & Havre de Grace Steam Towboat Co. (23 How. U. S. Sup. Ct. Rep. 209), the court holding that the offender, the plaintiff in the action, was liable to the fine or penalty imposed thereby, and nothing more, saying, “We do not feel justified, therefore, on any principles of justice, equity, or of public policy, in inflicting an additional penalty of $7,000, on the libelants, by way of set-off, because their servants may have been subject to a penalty of twenty-shillings each for breach of the statute.” To the same effect is Baldwin v. Barney (12 R. I. 392 ; 34 Am. Rep. 670).
It may indeed be said that if the plaintiff had obeyed the law, remained at home, and not traveled, the accident would not have happened. That is not enough. The same obedience to the law would have saved the plaintiffs in the cases just cited. It must appear that the disobedience contributed to the accident, or that the statute created a right in the defendant, which it could enforce. But the object of the statute is the *223promotion of public order, and not the advantage of individuals. The traveler is not declared to be a trespasser upon the street, nor was the defendant appointed to close it against her. In such an action the fault which prevents a recovery is one which directly contributes to the accident; as carelessness in driving, either a vicious or unmanageable horse, or at an improper rate of speed, or without observation of the road, or in an insufficient vehicle, or with a defective harness, or in a state of intoxication, or under some other condition of driver, horse or carriage, which may be seen to have brought about the injury.
It may doubtless be said that if the plaintiff had not traveled, she would not have been injured; and this will apply to nearly every case of collision or personal injury from the negligence or willful act of another. Had the injured party not been present he would not have been hurt. But the act of travel is not one which usually results in injury. It, therefore, cannot be regarded as the immediate cause of the accident, and of such only the law takes notice. At common law the act was not unlawful, and the plaintiff was still under its protection, and may resort to it against a wrong-doer by whose act she was injured. This has been held in many cases where the person injured was at the time doing an act prohibited by the city ordinance or general statute (Steele v. Burkhardt, 104 Mass. 59; Welch v. Wesson, 6 Gray, 505; Norris v. Litchfield, 35 N. H. 271), and even violating the law now in question, or one similar to it. Carroll v. Staten Island Co., and Phila., Wil. & Balt. R. R. Co. v. Phila. & Havre de Grace Towboat Co. have already been referred to. (See, also, Schmid v. Humphrey, 48 Iowa, 652; 30 Am. Rep. 414.)
Sutton v. The Town of Wauwatosa (29 Wis. 21; 9 Am. Rep. 534) is in point, not only in its circumstances but in the relations of the parties. The plaintiff was driving his cattle to market on Sunday, and they were injured by the breaking down of a defective bridge which the defendant, through negligence, had failed properly to maintain. The Sunday statute was relied upon, but the town was held liable. In this State a municipal corporation is regarded as a legal entity, and re*224sponsible for its omission to perform corporate duties, to the same extent as a natural person would be under the same circumstances. (Dillon on Municipal Corporations, § 778; Bailey v. The Mayor, 3 Hill, 531.) The authorities, therefore, which deny to an individual through whose negligence another has been injured immunity from the consequences of his wrong, because the injured person was violating the law in question, apply here. Many of them are referred to in the cases named above and need not again be cited.
There are, as the counsel for the appellant contends, authorities the other way. Decisions by very eminent and learned courts. In Vermont. (Johnson v. Town of Irasburgh, 47 Vt. 28 ; 19 Am. Rep. 111; Holcomb v. Town of Danby, 51 Vt. 428.) In Massachusetts. (Bosworth v. Swansey, 10 Metc. 363; Jones v. Andover, 10 Allen, 18.) And immunity is also given by that court, under the same statute, to a railroad corporation through whose negligence the plaintiff was injured. (Smith v. Boston and Maine R. R., 120 Mass. 490 ; 21 Am. Rep. 538.) But the decisions already made by us (Merritt v. Earle, 29 N. Y. 115; Wood v. Erie Railway Co., 72 id. 196 ; 28 Am. Rep. 125 ; Carroll v. Staten Island R. R. Co., supra) are in the contrary direction, and are sustained, we think, by reasons of justice and public policy. In Baldwin v. Barney (supra) a question arising under the Sunday laws of Massachusetts came before the court in an action by one injured in that State, while traveling on Sunday, by the reckless driving of one also traveling. On the trial the plaintiff was non-suited, but on appeal the Massachusetts cases are reviewed and disapproved, and after a very deliberate discussion of the decisions in that and other States the court held that the defendant could not show the illegality of the plaintiff’s act as a defense, and the nonsuit was set aside. There will be seen great conflict in decided cases, but the weight of authority seems to favor the conclusion already reached by us. (Cooley on Torts, § 157; Wharton on Negligence, § 331.)
This result disposes of the appellant’s objections, for they all rest on the assumption that as one could not lawfully travel on *225Sunday, there was negligence either of the plaintiff or her husband, and if of the latter, that it was to be imputed to her. It is indeed suggested by the learned counsel for the appellant, that before the accident the husband “had been drinking,” and “at the time of the accident was driving a fast horse recklessly.” But if it is intended to present this view as ground for reversal it is not tenable, for neither at the close of the plaintiff’s ease, nor at the end of the testimony when a dismissal of the complaint was asked for, was this subject alluded to. I have, moreover, carefully examined the evidence referred to, and find none which would warrant the defense, or permit a jury to find upon the affirmative of such a proposition. The husband had indeed “drank beer,” but the quantity is not stated, nor does it seem to have affected him. Asked by the defendant’s counsel, “had you drank any beer on that day?” answers: “Yes, sir.” “Who did yon drink with?” answers, “Mr. Webber.” And as for the rate of speed at which he was driving, he says : “at an ordinary slow jog, just off a walk.” and we are referred to no evidence which shows the contrary.
It is not necessary to consider whether, if a different condition had been established, the negligence of the husband in those respects could have been imputed to the wife. The defense relied upon, was the Sunday law, and as it is not available, the judgment appealed from should be affirmed with costs.
All concur, except Finch, J., taking no part, and Tracy, J., absent.
Judgmen affirmed.
4.3.4.7 Questions and Notes on Platz 4.3.4.7 Questions and Notes on Platz
Fun Fact
In the 1800s and early 1900s, many U.S. states had Blue Laws, commonly known as Sunday laws, which prohibited a variety of activities on Sundays to encourage rest and religious observance. One of the more curious prohibitions under these laws was the ban on playing baseball on Sundays in some states! For example, "Section 2145 of the revised New York State Penal code of 1787 outlawed all public sports on Sunday–so as not to 'interrupt the repose of the Sabbath'." The law wasn’t repealed until 1919 (!). Following the repeal Sunday movies were made legal too, "so New Yorkers could indulge in two classic Sunday afternoon pastimes without becoming scofflaws." Michelle Cohen, It was illegal to play baseball in NYC on Sunday until 1919, 6sqft (Apr. 1, 2021), https://www.6sqft.com/it-was-illegal-to-play-baseball-in-nyc-on-sunday-until-1919/.
Guiding Questions
- Who was invoking negligence per se against whom? Is it different than the other cases we've read?
- What caused the accident? Was it that Ms. Platz decided to travel on a Sunday? That the City left the pile of earth where it lay? Both? Neither?
Test Your Knowledge
Carmen is driving on Interstate 70 with two ounces of marijuana in her glove box, which is a crime. A construction crew has strewn multiple large sandbags about Carmen's lane without putting up any sort of warning, and these errant bags cause Carmen to crash into the barrier of the highway and break her ankle. The police arrive on the scene and find the marijuana in Carmen's totaled vehicle. Carmen is arrested for her possession of marijuana, but her toxicology report reveals that she was sober while driving. Police also determine that Carmen was traveling at a reasonable speed and was otherwise operating her vehicle safely. Carmen sues the construction crew for causing her injuries. The crew responds that Carmen is negligent per se because she broke the marijuana law. Under Platz, is the construction crew's argument likely to prevail?
- No, because although Carmen did commit a crime, the crime was not the cause of the accident since the construction crew had placed obstructions in the road.
- No, because Carmen's claims could proceed regardless of whether she committed any crime.
- Yes, because Carmen was a driver and therefore should have known of the risk of sandbags in the highway.
- Yes, because Carmen's violation of the marijuana law precludes her from recovering in a negligence suit against the construction crew.
Notes and Further Cases
- Negligence per se as a defense. The principal case actually involves the use of negligence per se as a defense to the plaintiff's claim. Another such case is Robinson v. District of Columbia, 580 A.2d 1255 (D.C. 1990). There, a police van struck the plaintiff, who was crossing the street but was not using the crosswalk. The police argued the plaintiff was herself negligent for violating a municipal ordinance that mandated the use of crosswalks. The plaintiff countered that her violation of the statute was reasonable because it was extremely common on that particular street (located between the U.S. Department of Labor and its employee parking garage) for people to cross without using the crosswalk. Alternatively, she argued that the police van still had the last opportunity to avert the crash—something we will study later as the Last Clear Chance doctrine. The Court rejected the plaintiff's first argument, explaining that for a violation of the law to be "reasonable" the person must try everything possible to comply with it and, failing in that, only then resort to breaking the law. But the Court agreed that the plaintiff had made out a plausible case of the Last Clear Chance doctrine and ordered a new trial.
4.4 Causation 4.4 Causation
4.4.1 Preface to Causation 4.4.1 Preface to Causation
The third element of negligence the plaintiff must show is that the defendant's breach of his duty caused the plaintiff's damages. We already touched on causation in intentional torts, and causation issues have simmered beneath the surface of the cases in negligence we have already read. Now we will tackle causation head on.
There are two doctrines related to causation in tort law. One is "factual cause" (or "cause in fact"). The defendant's act is the factual cause of the plaintiff's injury if the plaintiff would not have been injured but for the defendant's act. Thus, factual cause embodies our everyday understanding of the word "cause": X "caused" Y because, were it not for X, Y would not have occurred. This may seem simple enough, but in practice applying the "but for" test can get tricky. It gets even trickier when there are multiple possible defendants or when the plaintiff is unsure who exactly the defendant was (a situation we will call "the Phantom defendant"). So, we will start by studying some basic cases involving the "but for" test and then transition to the more difficult cases involving multiple potential tortfeasors and causal attribution problems.
The second doctrine, "proximate cause" (or "scope of liability," "cause in law," "legal cause"), is entirely different. It arguably has nothing to do with our common sense definition of a "cause." Rather, proximate cause refers to the scope of liability for the defendant's conduct. The defendant's act is the proximate cause of the plaintiff's injury if the injury was reasonably foreseeable in the circumstances, i.e., resulted "from the risks that made the [defendant's] conduct tortious" in the first place. Restatement (Third) of Torts: Liability for Physical and Emotional Harm § 29 (2010). We will deal with the intricacies of proximate cause—of which there are many (many!)—after factual cause.
Once we study proximate cause, we will turn to more advanced issues in causation generally. We will explore the difference between when an event "intervenes" in the causal chain and when it "supercedes" it, along with the varying consequences for liability. Then we will turn to the use of causation in particular scenarios such as when a social host may be liable for the conduct of a guest (social host liability) and when a defendant may be liable for negligently inflicting emotional distress (NIED). Note these two issues will equally trigger interesting duty/breach questions alongside the causation challenges.
Finally, note that the plaintiff must prove both factual and proximate cause. As a result, some authorities and commentators have said there are really five elements of negligence, splitting the "causation" element into two. Others stick with four. And still others use four but (confusingly) call the "causation" element the "proximate cause" element. Whatever you choose to call the causation element at the end of the day, just be aware that courts use varying labels to describe the same concepts.
4.4.2 Cause in Fact 4.4.2 Cause in Fact
4.4.2.1 Howard v. Wal-Mart Stores, Inc. 4.4.2.1 Howard v. Wal-Mart Stores, Inc.
The Slipped-on-Soap Case
Dolores HOWARD, Plaintiff-Appellee, v. WAL-MART STORES, INC., Defendant-Appellant.
No. 98-1781.
United States Court of Appeals, Seventh Circuit.
Argued Oct. 8, 1998.
Decided Nov. 3, 1998.
Joan M. Lockwood (argued), Gray & Rit-ter, St. Louis, MO, for Plaintiff-Appellee.
James E. DeFranco (argued), Neville, Richards, DeFranco & Wuller, Belleville, IL, for Defendant-Appellant.
Before POSNER, Chief Judge, and CUMMINGS and ESCHBACH, Circuit Judges.
We have before us a charming miniature of a case. In 1993 Dolores Howard, age 65, slipped and fell in a puddle of liquid soap that someone — no one knows who — had *359spilled on the floor of the aisle in a Wal-Mart store in Cahokia, Illinois. She was injured, and brought suit against Wal-Mart in an Illinois state court; the defendant removed the case to federal district court. At the time the suit was brought and removed, there was enough possibility that Howard’s injury was severe (the injured leg had become infected) to lift the case just over the then $50,000 threshold for a diversity suit. But later she recovered and at trial asked for only $25,000 in damages. The jury awarded her $18,750. Wal-Mart has appealed out of fear (its lawyer explained to us at argument) of the precedential effect in future slip-and-fall cases of the judge’s refusal to grant judgment for Wal-Mart as a matter of law. We don’t tell people whether to exercise their rights of appeal, but we feel impelled to remind Wal-Mart and its lawyer that a district court’s decision does not have precedential authority, e.g., Old Republic Ins. Co. v. Chuhak & Tecson, P.C., 84 F.3d 998, 1003-04 (7th Cir.1996); Anderson v. Romero, 72 F.3d 518, 525 (7th Cir.1995)—let alone a jury verdict or an unreported order by a magistrate judge (by any judicial officer, for that matter) refusing on unstated grounds to throw out a jury’s verdict.
The issue on appeal is whether there was enough evidence of liability to allow the case to go to a jury, and, specifically, whether there was enough evidence that an employee rather than a customer spilled the soap. See Donoho v. O’Connell’s, Inc., 13 Ill.2d 113, 148 N.E.2d 434 (1958); Wind v. Hy-Vee Food Stores, Inc., 272 Ill.App.3d 149, 208 Ill.Dec. 801, 650 N.E.2d 258, 262 (1995). Even if a customer spilled it, Wal-Mart could be liable if it failed to notice the spill and clean it up within a reasonable time. Donoho v. O’Connell’s, Inc., supra, 148 N.E.2d at 437-38; Swartz v. Sears, Roebuck & Co., 264 Ill.App.3d 254, 201 Ill.Dec. 210, 636 N.E.2d 642, 654 (1993). It has a legal duty to make its premises reasonably safe for its customers. But there is no evidence with regard to how much time elapsed between the spill and the fall; it may have been minutes. Wal-Mart is not required to patrol the aisles continuously, but only at reasonable intervals. See Culli v. Marathon Petroleum Co., 862 F.2d 119 (7th Cir.1988) (collecting Illinois cases). So Howard could prevail only if there was enough evidence that an employee spilled the soap to satisfy the requirement of proving causation by a preponderance of the evidence.
The accident occurred in the morning, and morning is also when the employees stock the shelves. The defendant presented evidence that the puddle of liquid soap on which Howard slipped was about the diameter of a softball and was in the middle of the aisle. Howard testified that it was a large puddle on the right side of the aisle and “when I got up, I had it all over me, my coat, my pants, my shoes, my socks.” An employee could have dropped one of the plastic containers of liquid soap on the floor while trying to shelve it and the container could have broken and leaked. Or the cap on one of the containers might have come loose. Or the containers might have been packed improperly in the box from which they were loaded onto the shelves and one of them might have sprung a leak. Alternatively, as Wal-Mart points out, a customer, or a customer’s child, might have knocked a container off the shelf. A curious feature of the case, however, is that the container that leaked and caused the spill was never found. Howard argues, not implausibly, that a customer who had come across a damaged container or had damaged it would be unlikely to purchase it, having lost part of its contents — a large part, if Howard’s testimony was believed; and the jury was entitled to believe it — or indeed to put it in her shopping cart and risk smearing her other purchases with liquid soap. In light of this consideration, we cannot say that the jury was irrational in finding that the balance of probabilities tipped in favor of the plaintiff, though surely only by a hair’s breadth.
Is a hair’s breadth enough, though? Judges, and commentators on the law of evidence, have been troubled by cases in which the plaintiff has established a probability that only minutely exceeds 50 percent that his version of what happened is correct. The concern is illuminated by the much-discussed bus hypothetical. Suppose that the plaintiff is hit by a bus, and it is known that 51 percent of the buses on the road *360where the plaintiff was hit are owned by Bus Company A and 49 percent by Company B. The plaintiff sues A and asks for judgment on the basis of this statistic alone (we can ignore the other elements of liability besides causation by assuming they have all been satisfied, as in this case); he tenders no other evidence. If the defendant also puts in no evidence, should a jury be allowed to award judgment to the plaintiff? The law’s answer is “no.” See Richard W. Wright, “Causation, Responsibility, Risk, Probability, Naked Statistics, and Proof: Pruning the Bramble Bush by Clarifying the Concepts,” 73 la. L. Rev. 1001, 1050-1051 (1988), and cases cited there. Our hypothetical ease is a variant of Smith v. Rapid Transit, 317 Mass. 469, 58 N.E.2d 754 (1945), where the court held that it “was not enough” “that perhaps the mathematical chances somewhat favor the proposition that a bus of the defendant caused the accident.” Id. at 755. Kaminsky v. Hertz Corp., 94 Mich.App. 356, 288 N.W.2d 426 (1979), is sometimes cited as being contrary to Smith, but this is not an accurate reading. Besides the fact that the corresponding percentages were 90 percent and 10 percent, there was nonstatistical evidence pointing to the defendant’s ownership of the truck that had caused the accident.
Smith and Kaminsky involve explicitly probabilistic evidence. But as all evidence is probabilistic in the sense of lacking absolute certainty, all evidence can be expressed in probabilistic terms, and so the problem or dilemma presented by those cases is general. The eyewitness might say that he was “99 percent sure” that he had seen the defendant, and jurors appraising his testimony might reckon some different probability that he was correct. What powers the intuition that the plaintiff should lose the bus case is not the explicitly probabilistic nature of the evidence, but the evidentiary significance of missing evidence. If the 51/49 statistic is the plaintiff’s only evidence, and he does not show that it was infeasible for him to obtain any additional evidence, the inference to be drawn is not that there is a 51 percent probability that it was a bus owned by A that hit the plaintiff. It is that the plaintiff either investigated and discovered that the bus was actually owned by B (and B might not have been negligent and so not liable even if a cause of the accident, or might be judgment-proof and so not worth suing), or that he simply has not bothered to conduct an investigation. If the first alternative is true, he should of course lose; and since it may be true, the probability that the plaintiff was hit by a bus owned by A is less than 51 percent and the plaintiff has failed to carry his burden of proof. If the second alternative is true — the plaintiff just hasn’t conducted an investigation — he still should lose. A court shouldn’t be required to expend its scarce resources of time and effort on a case until the plaintiff has conducted a sufficient investigation to make reasonably clear that an expenditure of public resources is likely to yield a significant social benefit. This principle is implicit in the law’s decision to place the burden of producing evidence on the plaintiff rather than on the defendant. Suppose it would cost the court system $10,000 to try even a barebones case. This expenditure would be worthless from the standpoint of deterring accidents should it turn out that the bus was owned by B. It makes sense for the court to require some advance investigation by the plaintiff in order to increase the probability that a commitment of judicial resources would be worthwhile.
These objections to basing a decision on thin evidence do not apply to the present case. Not only is there no reason to suspect that the plaintiff is holding back unfavorable evidence; it would have been unreasonable, given the stakes, to expect her to conduct a more thorough investigation. This is a tiny case; not so tiny that it can be expelled from the federal court system without a decision, but so tiny that it would make no sense to try to coerce the parties to produce more evidence, when, as we have said, no inference can be drawn from the paucity of evidence that the plaintiff was afraid to look harder for fear that she would discover that a customer and not an employee of Wal-Mart had spilled the soap.
We conclude, therefore, that the jury verdict must stand. And, Wal-Mart, this decision, a reported appellate decision, unlike the *361decision of the district court, will have precedential authority!
Affirmed.
4.4.2.2 Questions and Notes on Howard 4.4.2.2 Questions and Notes on Howard
Fun Fact
Soap is slippery because it reduces the friction between surfaces. This happens because soap, in its molecular structure, has a hydrophobic (water-repelling) "tail" and a hydrophilic (water-attracting) "head." When soap mixes with water, it forms a thin, slippery film that makes it easy for objects (like your hands or feet) to glide over surfaces.
Guiding Questions
- Judge Posner describes this case as a "charming miniature." Why do you think that is? Why does Judge Posner proceed to write a long opinion for this "tiny case"? And yet, how do the size of the stakes help shape Posner's decision?
- This case involves a "hair's breadth" level of evidence? What does that mean? Do we know how the soap ended up on the floor? Who are the possible culprits? What evidence does the plaintiff have?
- In these "whodunits" how does probabilistic evidence play a role? How should we treat probabilistic evidence?
Test Your Knowledge
In the principal case, Judge Richard Posner discussed the use of probabilistic evidence in determining liability. Which of the following best reflects his view on how probabilistic evidence should be evaluated by the court?
- Probabilistic evidence that slightly favors one party (e.g., a 51% probability) is always sufficient on its own for a jury to find in favor of that party.
- Probabilistic evidence can be sufficient to tip the balance in favor of the plaintiff, but only if it would have been unreasonable, given the stakes, to expect the plaintiff to conduct a more thorough investigation.
- Probabilistic evidence is inherently unreliable and should generally be excluded from trials to avoid confusion.
- Probabilistic evidence should only be considered if presented by a certified fortune teller during a lunar eclipse.
Notes and Further Cases
- Probabilistic evidence and the burden of proof. Probabilistic evidence has a complex place in the law, as Judge Posner points out in the principal case. Other courts have agreed with Judge Posner's reasoning. See, e.g., Day v. Boston & Me. R.R., 52 A. 771, 774 (Me. 1902) ("Quantitative probability, however, is only the greater chance. It is not proof, nor even probative evidence, of the proposition to be proved. That in one throw of the dice there is a quantitative probability, or greater chance, that a less number of spots than sixes will fall uppermost [on both dice] is no evidence whatever that in a given throw such was the actual result. Without something more, the actual result of the throw would still be utterly unknown. The slightest real evidence that sixes did in fact fall uppermost would outweigh all the probability otherwise."); Sargent v. Mass. Accident Co., 29 N.E.2d 825, 827 (Mass. 1940) ("the fact that colored automobiles made in the current year outnumber black ones would not warrant a finding that an undescribed automobile of the current year is colored and not black, nor would the fact that only a minority of men die of cancer warrant a finding that a particular man did not die of cancer. . . . The weight or ponderance of evidence is its power to convince the tribunal which has the determination of the fact, of the actual truth of the proposition to be proved. After the evidence has been weighed, that proposition is proved by a preponderance of the evidence if it is made to appear more likely or probable in the sense that actual belief in its truth, derived from the evidence, exists in the mind or minds of the tribunal not withstanding any doubts that may still linger there"). Professor Richard Wright perhaps has one of the best rationales: "Jury instructions often refer to the ‘weight’ of the evidence. Abstract statistics do not have ‘weight’. Concrete evidence specific to the particular case does have ‘weight.'" Richard W. Wright, Proving Causation: Probability Versus Belief, in Perspective on Causation 195, 202 (R. Goldberg ed., 2011).
- "Loss of Chance" doctrine. One well-established probabilistic doctrine is the "Loss of Chance" doctrine. The doctrine is only relevant in medical malpractice cases where a doctor fails to properly diagnose or treat an ill patient and thereby reduces the patient's chances of survival or recovery. As with every good doctrine, it was first introduced in a law review article. See Joseph H. King, Jr., Causation, Valuation, and Chance in Personal Injury Torts Involving Preexisting Conditions and Future Consequences, 90 Yale L.J. 1353 (1981). Many courts have chosen to adopt the proportional approach introduced in that article, yet not all courts are uniform in their application of this doctrine. Let us consider the options:
- Cases where initial chance of survival was at or above 50%:
- Traditional Rule: Under the traditional but for test, a plaintiff needs to prove it was more likely than not that the doctor's negligence caused the death or permanent injury. Where a patient had a 65% chance of survival but died, and the death was due to misdiagnosis or mistreatment, the doctor should be liable in full for the wrongful death, even if their action reduced the chances of recovery by only 30%. See Wilson v. Horton, No. C–040193, 2004 WL 2913562 (Ohio Ct. App. Dec. 17, 2004) (rejecting the loss of chance doctrine where initial chances of survival were above 50%).
- Loss of Chance Rule: Some courts apply the loss of chance rule, even in these cases. See Deburkarte v. Kouvar, 494 N.W.2d 131 (Iowa 1986). Under this rule, the doctor who reduced recovery by 30% can be required to pay only damages that are proportional to that reduction. So if the jury determined that the total amount in damages was $100,000, the doctor would only be required to pay $30,000 (30% * 100,000).
- Cases where initial chance of survival was below 50%:
- Traditional Rule: Say now that a patient had only a 40% chance of survival and that the doctor's misdiagnosis reduced those chances by 20%. Under the traditional rule, the doctor will be required to pay nothing. The chances were better than even those to begin with (60%) that the patient would die, and the patient indeed died. Therefore, it was not proven by the preponderance of the evidence that the loss of chance caused the injury.
- Loss of Chance Rule: Under the loss of chance rule, as affirmed in Herskovits v. Group Health Cooperative, 664 P.2d 474 (Wash. 1983), even in cases where the initial chance of survival was below 50%, a doctor should still be required to pay proportionally. So in these circumstances, for damages assessed at $100,000 the doctor would be liable for $20,000 (20% * 100,000).
- Cases where initial chance of survival was at or above 50%:
4.4.2.3 Brown ex rel. Brown v. Wal-Mart Discount Cities 4.4.2.3 Brown ex rel. Brown v. Wal-Mart Discount Cities
The Phantom's Puddle Case
Joey BROWN, as next friend and natural guardian of Mitchell W. Brown, Appellee, v. WAL-MART DISCOUNT CITIES, Appellant.
Supreme Court of Tennessee, at Nashville.
Jan. 31, 2000.
Tracy Shaw, Alice Margaret Essary, Howell & Fisher, Nashville, for Appellant.
John A. Day, Donald Capparella, Bran-ham & Day, Nashville, W. Charles Doer-flinger, Lawrenceburg, for Appellee.
OPINION
RILEY ANDERSON, Chief Justice.
We granted the application for permission to appeal in this slip and fall case to decide the issue of whether the defendant can attribute fault to an unidentified, or “phantom,” tortfeasor.
In this case, the plaintiff was injured when he slipped on ice and water that had been spilled on the floor in defendant’s store. The defendant argued that the jury should be allowed to consider the fault of the unidentified tortfeasor responsible for spilling the ice and water.
The trial judge instructed the jury that it could consider the fault of the unidentified tortfeasor, and the jury found that the plaintiff had sustained damages in the total amount of $2,625.00. The jury assigned 30% of fault to the defendant and 70% of fault to the unidentified tortfeasor. Upon the plaintiffs motion for a new trial, however, the trial judge issued an order assigning 100% of plaintiffs damages to defendant, finding that it had erred in allowing the jury to assign fault to the unidentified tortfeasor. Accordingly, the trial judge overruled the motion for new trial and held the defendant hable for the entire judgment.
The Court of Appeals affirmed the trial court’s judgment, emphasizing the jury’s finding that the defendant was negligent and holding that the defendant should not be able to attribute any of the fault to an unidentified nonparty unless the defendant can prove the “existence” of the nonparty “whose fault contributed to the plaintiffs injuries by clear and convincing evidence.” *786Because the defendant failed to do so, the Court of Appeals held that “the trial judge correctly attributed all the fault to the original defendant.”
After our consideration of the record, the parties’ arguments, and the applicable authority, we conclude that the defendant may not attribute fault to a nonparty who is not identified sufficiently to allow the plaintiff to plead and serve process on such person pursuant to Tenn.Code Ann. § 20-1-119 (1994 & Supp.1999), even if the defendant establishes the nonparty’s existence by clear and convincing evidence.
BACKGROUND
Three-year-old Mitchell Brown broke his ankle when he slipped and fell on ice and water in the vestibule of defendant Wal-Mart’s store. At trial, Mitchell Brown’s mother, Lisa Brown, testified that she entered the vestibule with her two young children and walked toward the pay telephone to make a call to her husband. As she proceeded to make the call, Ms. Brown saw that her children were standing in the middle of ice and water spilled on the floor. She testified that as soon as she stretched out her hand and told her children to come toward her, her son Mitchell fell. Ms. Brown also testified that when she first entered the store, she noticed a Wal-Mart employee standing at a door to the vestibule.
There was no evidence presented concerning who spilled the ice and water. According to the testimony of Mark Morgan, the assistant manager on duty at the time of the accident, both a cup and the ice on the floor were from Wal-Mart’s self-serve fountain drink dispenser.
Morgan testified that Wal-Mart’s policy was to restrict all drinks to the snack area of the store. Morgan conceded, however, that he was aware of customers carrying drinks throughout the store and that a customer could enter the store, purchase a-drink, and leave through any of the store’s exits without violating the policy to restrict drinks to the snack area. Moreover, Kevin Brewer, a Wal-Mart employee working on the day of the accident, testified that he could get fired if he were to stop anyone from leaving the snack area with a drink.
Brewer also testified, that he was responsible for maintaining the safety of the vestibule. He stated that he had walked through the vestibule “probably within the last five minutes” before the accident occurred and that he had not seen any spills on the floor. Brewer claimed that when he cleaned up the spill after the accident, the ice cubes “were still in ice form ... still real hardened,” so he believed that the spill had not been on the floor for a very long period of time.
At the close of the proof, the trial court instructed the jury that they
must determine the fault, if any, of the parties,... What I’m talking about when I say “parties” in this case is the unknown — what the law calls an unknown tortfeasor. [Wal-Mart’s counsel] argued to you about this person or persons who left this cup of ice on the floor — that unknown person.
The jury found that plaintiff suffered damages in amount of $2,625.00, and assigned 30% of the fault to Wal-Mart and 70% of fault to the “unknown person.” Consequently, the court ordered that Wal-Mart pay the plaintiff $787.50.
The plaintiff filed a motion for a new trial, arguing that the trial court erred by allowing the jury to consider the fault of the unidentified nonparty. The trial court agreed with the plaintiff, stating that “[t]here is no way the Plaintiff in the instant case could sue and obtain judgment against whomever left the cup of ice on the floor at Wal-Mart, because no one knows who to sue.” Because the trial court was satisfied with the jury’s assessment of plaintiffs total damages, it overruled the motion for a new trial but ordered that the judgment of $2,625.00 would “remain intact,” which effectively assigned 100% of the fault to Wal-Mart.
*787On appeal, the Court of Appeals affirmed the trial court, stressing that the jury must have found that Wal-Mart had constructive notice of the dangerous condition. The Court of Appeals further reasoned, however, that the “phantom tortfeasor” defense is consistent with this Court’s cases since our adoption of a modified version of comparative fault. Accordingly, the Court of Appeals held that “[s]ince the phantom tortfeasor defense can be easily abused, we think the original defendant should be required to prove the existence of a third party whose fault contributed to the plaintiffs injuries by clear and convincing evidence.” Because the court found that the defendant had failed to do so, it concluded that “the trial judge correctly attributed all the fault to the original defendant.”
We granted defendant Wal-Mart’s application for permission to appeal.
DISCUSSION
The issue presented is a question of law, and our review is de novo with no presumption of correctness. Ridings v. Ralph M. Parsons Co., 914 S.W.2d 79, 80 (Tenn.1996).
We begin our analysis with the Tennessee Rules of Civil Procedure, which govern complaints and answers. Wal-Mart argues that under the Tennessee Rules of Civil Procedure, a defendant need only describe another potential tortfeasor in an answer in order for the jury to attribute fault to such a tortfeasor. Tenn. R. Civ. P. 8.03. This rule states in pertinent part:
In pleading to a preceding pleading, a party shall set forth affirmatively facts in short and plain terms relied upon to constitute ... comparative fault (including the identity or description of any other alleged tortfeasors).
Id. (emphasis added). According to Wal-Mart, the language “identity or description” could arguably encompass an unidentified comparative tortfeasor.
Rule 8.03 is a rule of pleading which allows a defendant to allege that a nonparty contributed to the plaintiffs damages, ultimately allowing the plaintiff to plead and serve, and the trier of fact to assign fault to, the comparative tortfeasor alleged in defendant’s answer. Rule 8.03 contemplates that at the pleading stage, either the identity or a description of another potential tortfeasor is sufficient to initiate discovery. Cf. George v. Alexander, 931 S.W.2d 517, 521-22 (Tenn.1996) (reasoning that a defendant intending to argue that a nonparty was the cause in fact of plaintiffs injury must identify or describe the non-party in strict adherence to Tenn. R. Civ. P. 8.03 because a plaintiff should be afforded timely notice of the other potential tort-feasor). Tennessee’s case law and statutory law both indicate, however, that when pre-trial discovery fails to identify the “described” comparative tortfeasor alleged in defendant’s answer, the defendant should not be allowed to argue, and the trier of fact should not be permitted to make a determination, that a percentage of fault should be attributed to the unidentified nonparty.
This Court expressed its concern regarding future cases involving nonparties when we adopted a modified version of comparative fault in McIntyre v. Balentine, 833 S.W.2d 52 (Tenn.1992). In adopting comparative fault, we attempted to reconcile the plaintiffs interest in being made whole with the defendant’s interest in paying only that percentage of damages for which that particular defendant is responsible. We anticipated, however, that situations would arise in which one of these interests must yield to the other and that many issues regarding “nonparty” tortfeasors must “await an appropriate controversy.” Id. at 60 (opinion on petition to rehear). In this regard, we stated that:
fairness and efficiency require that defendants called upon to answer allegations in negligence be permitted to allege, as an affirmative defense, that a nonparty caused or contributed to the *788injury or damage for which recovery is sought.... However, in order for a plaintiff to recover a judgment against such additional person, the plaintiff must have made a timely amendment to his complaint and caused process to be served on such additional person. Thereafter, the additional party will be required to answer the amended complaint.
Id. at 58 (emphasis added).
The legislature responded to our decision in McIntyre by enacting Tenn.Code Ann. § 20-1-119 to enable a plaintiff to plead and serve nonparties alleged in a defendant’s answer as potential tortfeasors. This section applies when a defendant raises comparative fault as an affirmative defense and the statute of limitations would otherwise bar the plaintiffs cause of action against the comparative tortfeasor alleged in defendant’s answer. Within ninety days of the filing of the defendant’s answer alleging that a person not a party to the suit caused or contributed to the injury or damages for which the plaintiff seeks recovery, the plaintiff may either “[a]mend the complaint to add such person as a defendant” or “[i]nstitute a separate action against that person.” Tenn.Code Ann. § 20 — 1—119(a)(1), (2). “Person” is defined as “any individual or legal entity.” Tenn.Code Ann. § 20-1-119(f).
Accordingly, in providing that a plaintiff should either amend the complaint or institute a separate suit against the “person” alleged as a comparative tortfeasor in defendant’s answer, Tenn.Code Ann. § 20-1-119 contemplates that the plaintiff will actually know the identity of the alleged individual or entity. See Ridings, 914 S.W.2d at 82 (stating that this section “contemplates that those persons to whom fault may be attributed are limited to those against whom liability for the plaintiffs damages may be asserted.”). Contrary to the conclusion of the Court of Appeals, clear and convincing evidence of the existence of a phantom tortfeasor is not sufficient identification for purposes of pleading and serving process. In our view, unless the nonparty is identified sufficiently to allow the plaintiff to plead and serve process on such person pursuant to Tenn.Code Ann. § 20-1-119, the trial court should not permit the attribution of fault to the nonparty.
Despite Tennessee’s rules of pleading and statutory developments since McIntyre, Wal-Mart argues that the case of Snyder v. LTG Lufttechnische GmbH, 955 S.W.2d 252 (Tenn.1997), permits the attribution of fault against a “phantom” tort-feasor. We disagree.
Snyder was a products liability case involving an employee who was injured by an allegedly defective product in the course and scope of his employment. In that case, we emphasized that a defendant product manufacturer should not “effectively be precluded from presenting a defense.” Id. at 256. We reasoned:
A defense that the product was not defective or unreasonably dangerous when it left the defendants’ control would not be credible unless the defendants were permitted to introduce evidence as to what actually happened to the product leading up to the incident that injured the plaintiff.
Id. Accordingly, we held that the jury could consider the immune employer’s conduct in determining the cause in fact of plaintiffs injuries. The jury in Snyder, however, was precluded from assigning fault to a party against whom the plaintiff could not assert a cause of action. We therefore reject Wal-Mart’s argument that Snyder demands a different outcome in this case.
From our review of other jurisdictions, it appears that the resolution of this issue of an unidentified, or “phantom,” tortfea-sor depends primarily upon how each jurisdiction interprets its own comparative fault statute and rules of pleading, and that there is not a clear majority rule. *789However, we find persuasive the policy reasons relied upon by the Superior Court of New Jersey, which is also a modified comparative fault state, in the case of Bencivenga v. Inc., 258 N.J.Super. 399, 609 A.2d 1299 (App.Div.1992). In holding that an unidentified tortfeasor may not be considered when apportioning fault, the court reasoned:
The amount of plaintiffs judgment and amount of defendant’s liability will vary depending upon whether the absent-unnamed person’s negligence is considered by the fact finder. Defendant, however, has a greater incentive to join and name additional potential tortfeasors or to see that they are identified.... Thus, defendant has significant incentive in naming and joining multiple tortfeasors so as to create the potential for diminishing defendant’s. percentage of liability.... Given that incentive, it is appropriate to place upon defendant the burden of finding and naming any additional person since it is to defendant’s advantage to spread the risk or defeat the claim.
Id. at 1304. As the New Jersey court recognized, a defendant has a substantial interest in finding and naming all potential tortfeasors in order to diminish its percentage of fault. In our view, to allow a defendant to attribute fault to an unidentified nonparty would not only diminish a defendant’s incentive to identify additional tortfeasors, cf. George, 931 S.W.2d at 521-22, but also would effectively impose a burden on the plaintiff to “defend” the unidentified nonparty.
Finally, in light of our conclusion that the trier of fact should not have been permitted to assign fault to an unidentified nonparty, we agree with the Court of Appeals that the trial judge did not err in assigning 100% of the fault to Wal-Mart upon the plaintiffs motion for a new trial. The trial judge did not usurp the role of the jury as we cautioned against in Turner v. Jordan, 957 S.W.2d 815, 824 (Tenn.1997) (where trial court “correctly determined that it lacked the authority to reapportion ... fault in its role as thirteenth juror ). Rather, as the Court of Appeals reasoned, “the [trial judge] was assigning 100 percent of the damages assessed by the jury to Defendant in light of the legal conclusion that Defendant’s fault could not be shared with an unknown tortfeasor.” Accordingly, we affirm the Court of Appeals decision that Wal-Mart is liable for the entire judgment of $2,625.00.
CONCLUSION
After our review of the record, the parties’ arguments, and applicable authority, we conclude that a defendant may not attribute fault to a nonparty who is not identified sufficiently to allow the plaintiff to plead and serve process on such person pursuant to Tenn.Code Ann. § 20-1-119, even if the defendant establishes the non-party’s existence by clear and convincing evidence. Consequently, we affirm the Court of Appeals’ judgment as modified on the separate grounds stated. Costs of appeal shall be paid by the defendant for which execution shall issue if necessary.
DROWOTA, BIRCH, HOLDER, BARKER, JJ., concur.
4.4.2.4 Questions and Notes on Brown 4.4.2.4 Questions and Notes on Brown
Fun Fact
The word "vestibule" refers to a small entrance hall or antechamber that leads into a larger space, such as a building or room. The word "vestibule" comes from the Latin vestibulum, which means "entrance court" or "forecourt." In ancient Roman architecture, a vestibulum was the space immediately inside the entrance of a building, often leading to the main interior rooms or spaces. The Latin term likely derives from an earlier root related to the concept of "clothing" or "garment," metaphorically extending to the idea of a "preparatory space" where one might adjust or prepare oneself before entering a more significant area. The term made its way into English in the early 17th century, retaining its architectural meaning.
Guiding Questions
- We will cover the notion of "comparative fault" later in the course. For now just know that a state that adopts comparative fault rules is seeking to allocate a percentage of fault to each defendant (tortfeasor) as well as to the plaintiff (where their own negligence contributed to the damage). How does this doctrine manifest in the present case?
- What are the rationales for denying Wal-Mart's "phantom tortfeasor" defense?
- What is Wal-Mart expected to do in these circumstances? Is this fair?
Test Your Knowledge
Alice pulled into the Old Sinclair Oil Station and parked at a gas pump. When she stepped out of her vehicle, she slipped on a small puddle of gasoline on the ground and broke her elbow. She sued Old Sinclair. Old Sinclair responded that since its employees do a sweep of the premises every hour for spilled gasoline, Old Sinclair couldn't be liable. Instead, Old Sinclair hypothesized the last person at the pump to fill up their tank may have been responsible. But by the time the parties got to trial, Old Sinclair was unable to identify the last person to fill up their tank at that pump or, indeed, identify any other person who may have caused the spill. Alice seeks to hold Old Sinclair liable for 100% of her damages. If the court applies the reasoning in Brown (the principal case), will Alice prevail?
- No, because Alice has not ruled out the possibility that Old Sinclair did not cause the oil spill.
- No, because the unidentified person responsible for the oil spill is a "phantom tortfeasor."
- Yes, because Old Sinclair has a substantial interest in finding and naming all potential tortfeasors.
- Yes, because Alice would prevail under the doctrine of res ipsa loquitur.
Notes and Further Cases
- Phantom motorists and insurance coverage. Suppose someone hits your parked car and then vanishes without even the courtesy of a note. Or imagine you are the victim of a hit-and-run, and despite your best efforts, you’re unable to identify the perpetrator. In many states, lawmakers have introduced special rules to govern the relationship between you, as the insured victim, and your insurer. For example, in North Carolina if you claim bodily injury as the result of a collision with an unidentified vehicle, you may institute an action directly against your insurer under the "uninsured motorist" coverage. N.C. Gen. Stat. § 20-279.21(b)(3)(b). However, this comes with specific procedural requirements: the accident must be reported, say to a police officer, within 24 hours (or as soon thereafter as practicable); and you must provide notice to your insurer within a reasonable time detailing the time, date, and place of the injury, along with the extent of the injury. These rules balance the interests of the insured, who may have no other recourse after an incident with a phantom motorist, and the insurer, who can use the documentation to verify the legitimacy of the claim and guard against potential fraud.
4.4.2.5 Perkins v. Texas & New Orleans Railroad 4.4.2.5 Perkins v. Texas & New Orleans Railroad
The Train Crossing Accident Case
243 La. 829
Maxine PERKINS v. TEXAS AND NEW ORLEANS RAILROAD COMPANY.
No. 46086.
Supreme Court of Louisiana.
Dec. 10, 1962.
Porter & Scofield, Lake Charles, for applicant.
Camp, Palmer, Carwile, Babin & Barsh, Lake Charles, for plaintiff-appellee.
This is a tort action. Plaintiff, the 67-year-old widow of Tanner Perkins, seeks damages for the death of her husband in the collision of an automobile, in which he was riding, with a train of the defendant railroad. The district court awarded damages. The Court of Appeal affirmed.1 We granted certiorari to review the judgment of the Court of Appeal.
The tragic accident which gave rise to this litigation occurred at the intersection of Eddy Street and The Texas and New Orleans Railroad Company track in the town of Vinton, Louisiana, at approximately 6:02 a. m., after daylight, on September 28, 1959. At this crossing Eddy Street runs north and south, and the railroad track, east and west. Involved was a 113-car freight train pulled by four diesel engines traveling east and a Dodge auto*647mobile driven by Joe Foreman in a southerly direction on Eddy Street. Tanner Perkins, a guest passenger, was riding in the front seat of the automobile with the driver.
Located in the northwest quadrant of the intersection of the railroad track and Eddy Street was a warehouse five hundred feet long. A “house track” paralleled the main track on the north to serve the warehouse. This warehouse obstructed the view to the west of an automobile driver approaching the railroad crossing from the north on Eddy Street. It likewise obstructed the view to the north of trainmen approaching the crossing from the west. Having previously served on this route, the engineer and brakeman were aware of this obstruction.
To warn the public of the approach of trains, the defendant railroad had installed at the crossing an automatic signal device consisting of a swinging red light and a bell. At the time of the accident, this signal was operating. A standard Louisiana railroad stop sign and an intersection stop sign were also located at the crossing.
Proceeding east, the train approached the intersection with its headlight burning, its bell ringing, and its whistle blowing.
The engineer, brakeman, and fireman were stationed in the forward engine of the train. The engineer was seated on the right or south side, where he was unable to observe an automobile approaching from the left of the engine. The brakeman and fireman, who were seated on the left or north side of the engine, were looking forward as the train approached the intersection. These two crewmen saw the automobile emerge from behind the warehouse. At that time the front wheels of the automobile were on or across the north rail of the house track. The fireman estimated that the train was approximately 60 feet from the crossing when the automobile emerged from behind the warehouse. The brakeman, however, estimated that the train was 30 to 40 feet from the crossing at the time the automobile came into view. Both crewmen immediately shouted a warning to the engineer, who applied the emergency brakes. The train struck the right side of the automobile and carried it approximately 1250 feet. The two occupants were inside the automobile when it came to rest. Both were killed.
The speed of the automobile in which Tanner Perkins was riding was variously estimated from 3-4 miles per hour to 20-25 miles per hour.
The plaintiff and defendant railroad concede in their pleadings that Joe Foreman, the driver of the automobile, was negligent in driving upon the track in front of the train and that his negligence was a proximate cause of the death of Tanner Perkins.2
It is conceded that the railroad’s safety regulations imposed a speed limit of 25 miles per hour on trains in the town of Vinton. The plaintiff has conceded in this Court that this self-imposed speed limit was a safe speed at the crossing. The train was in fact traveling at a speed of 37 miles per hour.
Applicable here is the rule that the violation by trainmen of the railroad’s own speed regulations adopted in the interest of safety is evidence of negligence.3 The rule has special force in the instant-case because of the unusually hazardous nature of the crossing. We find, as did the *648Court of Appeal, that the trainmen were negligent in operating the train 12 miles per hour in excess of the speed limit.
As one of several defenses, the defendant railroad strenuously contends that the excessive speed of the train was not a proximate cause of the collision for the reason that the accident would not have been averted even had the train been traveling at the prescribed speed of 25 miles per hour. Contrariwise, the plaintiff contends that the speed of the train constituted a “proximate, direct and contributing cause” of the accident.
Thus presented, the prime issue in this case is whether the excessive speed of the train was a cause in fact4 of the fatal collision.
It is fundamental that negligence is not actionable unless it is a cause in fact of the harm for which recovery is sought.5 It need not, of course, be the sole cause. Negligence is a cause in fact of the harm to another if it was a substantial factor in bringing about that harm. Under the circumstances of the instant case, the excessive speed was undoubtedly a substantial factor in bringing about the collision if the collision would not have occurred without it. On the other hand, if the collision would have occurred irrespective of such negligence, then it was not a substantial factor.6
The burden of proving this causal link is upon the plaintiff.7 Recognizing that the fact of causation is not susceptible of proof to a mathematical certainty, the law requires only that the evidence show that it is more probable than not that the harm was caused by the tortious conduct of the defendant.8 Stated differently, it must appear that it is more likely than not that the harm would have been averted but for the negligence of the defendant. .
In the instant case the train engineer testified that at a speed of 25 miles per hour he would have been unable to stop the train in time to avoid the accident. Other facts of record support his testimony in this regard. With efficient brakes, the mile-long train required 1250 feet to stop at a speed of 37 miles per hour. It is clear, then, that even at the concededly safe speed of 25 miles per hour, the momentum of the train would have, under the circumstances, carried it well beyond the crossing. This finding, of course, does not fully determine whether the collision would have been averted at the slower speed. The automobile was also in motion during the crucial period. This necessitates the further inquiry of whether the automobile would have cleared the track and evaded the impact had the train been moving at a proper speed at the time the trainmen observed the automobile emerge from behind the warehouse.9 Basic to this inquiry are the *649speed of the automobile and the driving distance between it and a position of safety.
The testimony of the witnesses is in hopeless conflict as to the speed of the automobile at the time of the collision. The estimates range from a low of 3 miles per hour to a high of 25 miles per hour. Both the district court and Court of Appeal concluded that the speed of the automobile had not been definitely established. Each of these courts found only that the automobile was proceeding at “a slow speed.” In her brief the plaintiff states: “The speed of the automobile cannot be determined, at least by the testimony.” We conclude that the evidence fails to establish the speed of the automobile with reasonable certainty.
Although the record discloses that the train struck the automobile broadside, it does not reflect the driving distance required to propel the vehicle from the danger zone.
Finally, we also note that the defendant railroad produced testimony, which is the only testimony of record on this point, that the deceased made no attempt to leave the moving automobile. That he was in the vehicle when it came to rest is undisputed. Moreover, the record fails to reflect the distance required for the deceased to scramble past the diesel engine to a place of safety, had he succeeded in getting out of the automobile.
Despite these deficiencies in the evidence, the plaintiff argues that had the train been traveling at a proper speed the driver of the automobile would “conceivably” have had some additional time to take measures to avert disaster and the deceased would have had some additional time to extricate himself from danger. Hence, the plaintiff reasons, the collision and loss of life “might not” have occurred.
On the facts of this case, we must reject the escape theory advanced in this argument. Because of the deficiencies in the evidence which we have already noted, it is devoid of evidentiary support. The record contains no probative facts from which the Court can draw a reasonable inference of causation under this theory. In essence, the argument is pure conjecture.
Based upon the evidence of record, it appears almost certain that the fatal accident would have occurred irrespective of the excessive speed of the train. It follows that this speed was not a substantial factor in bringing about the accident.
We conclude that the plaintiff has failed to discharge the burden of proving that the negligence of the defendant was a cause in fact of the tragic death. The judgment in favor of plaintiff is manifestly erroneous.
For the reasons assigned, the judgment of the Court of Appeal is reversed, and the plaintiff’s suit is dismissed at her cost.
HAMITER, J., dissents, being of the opinion that the decree of the Court of Appeal should be affirmed.
HAMLIN, J., dissents with written reasons.
(dissenting).
I am compelled to agree with the Court of Appeal that in view of the blind crossing the overspeeding by the employees of the Railroad Company was negligence, which was a proximate cause of the accident.
It is my opinion that this train (approxii mately on mile long, made up of one hundred and thirteen cars and four diesels) should not have entered the Town of Vinton at thirty-seven miles per hour, its speed at the time of the accident. Notwithstanding the rules of the Railroad Company that its speed in Vinton should not have exceeded twenty-five miles per hour, even this speed, under the circumstances found by the Court of Appeal, would be excessive.
I respectfully dissent.
4.4.2.6 Questions and Notes on Perkins 4.4.2.6 Questions and Notes on Perkins
Fun Fact
The Texas and New Orleans Railroad Company, established in 1856, was the first railroad in Texas to connect the state with the broader national rail network. By 1881, it completed a vital rail link between Houston, Texas, and New Orleans, Louisiana. This connection not only boosted trade and travel between the two regions but also played a significant role in the economic development of Texas, helping to transform it from a frontier state into a commercial powerhouse. For further reading see Howard C. Williams, Texas and New Orleans Railroad, Texas State Historical Association (May 14, 2020), https://www.tshaonline.org/handbook/entries/texas-and-new-orleans-railroad.
Guiding Questions
- The court found the train's speed to be in excess of the railroad's safety regulations and thus clearly negligent, a point that judge Hamlin in dissent stressed. Why is this negligent insufficient in generating liability for the railroad company?
- Notice that the Court is introducing two different tests for proving cause-in-fact. At one point they write: "Negligence is a cause in fact of the harm to another if it was a substantial factor in bringing about that harm." At another point they write: "Stated differently, it must appear that it is more likely than not that the harm would have been averted but for the negligence of the defendant." These are, in fact, alternative tests. Do you see the differences between them?
- What about the speed of the plaintiff's decedent's automobile at the time of the collision? What about the decedent's ability to escape by foot? How does the Court assess these factual claims?
Test Your Knowledge
At Riverside General Hospital, Dr. Emily Kelly is responsible for performing surgery on John Harrison to remove his gallbladder. During the procedure, Dr. Kelly negligently uses surgical instruments that had not been properly sterilized. Following the surgery, John develops a serious infection called Staphylococcus aureus. Upon investigation, medical experts discover that John had a pre-existing condition known as Chronic Granulomatous Disease (CGD), which weakens the immune system. The experts conclude that the Staphylococcus aureus infection would have been triggered by John's surgery irrespective of the use of the non-sterilized surgical instruments. John brings a negligence action against both Riverside General Hospital and Dr. Kelly for the costs he endured in recovery from the infection. Is he likely to win?
- Yes, because Dr. Kelly's failure to sterilize the instruments constitutes a breach of a duty generating an obligation to compensate.
- Yes, because Dr. Kelly's use of non-sterilized instruments was a factor, even if not a substantial factor, in the causal chain that produced the infection.
- No, because the infection would have occurred regardless of the use non-sterilized instruments.
- No, because John's pre-existing condition was a superseding cause which led to the infection.
Notes and Further Cases
- The space-time continuum. Suppose instead that the train had left the station five minutes late and was speeding to make up for lost time. Would there be but-for causation then? A similar argument appears in Berry v. Borough of Sugar Notch, 43 A. 240 (Pa. 1899). There, a large tree fell on a trolley driver during a storm, causing significant injuries. The driver was speeding. When he sued the borough for negligence in maintaining the tree, the borough argued that the driver's excess speed was the true but-for cause of his injuries. The Court disagreed: "This argument, while we cannot deny its ingenuity, strikes us, to say the least, as being somewhat sophistical. That [the driver's] speed brought him to the place of the accident at the moment of the accident was the merest chance, and a thing which no foresight could have predicted. The same thing might as readily have happened to a car running slowly, or it might have been that a high speed alone would have carried him beyond the tree to a place of safety." Id. at 240.
- Duty as determining but-for causation? In Rouleau v. Blotner, 152 A. 916 (N.H. 1931), a heavy truck driven by the defendant's employee collided with a car in which the plaintiffs were riding. The truck driver was slowly attempting to make a turn at an intersection when he collided with the plaintiffs' car, which was approaching from the opposite direction. The plaintiffs argued that the truck driver was negligent for not signaling his turn. However, the Court found that even if the signal had been given, the plaintiffs' driver would not have seen it because he was not paying attention to the road ahead ("if he were a deaf man, the failure to sound a whistle, bell, or horn would be immaterial."). Do you agree with this analysis? Can you come up with a counter-argument? Think about the function that signaling plays and the policy rationales for signaling.
- Proving "substantial factor." How can we truly prove a "but for" cause or determine what is a "substantial factor"? Aren’t we essentially being asked to hypothesize about what might have happened under different circumstances? Is it reasonable to engage in such speculation, as though we have an omniscient view of all possible outcomes? A typical case holds that the burden is not that high, perhaps recognizing that, as mere mortals, we lack the ability to see all potential futures or fully understand how events might have unfolded differently. See Kirincich v. Standard Dredging Co., 112 F.2d 163 (3d Cir. 1940). Kirincich centers around a worker who drowned after accidentally falling into the water while on the job. Despite efforts by his coworkers to throw ropes to him, he was unable to grab them and drowned. In deciding whether the company was negligent for not providing life-saving equipment, the court recognized the inherent uncertainty in determining whether a life preserver would have saved the worker. The court noted that while certainty is beyond our reach, the possibility that a life preserver "might have saved him through the help of something which he could more easily grasp" was enough to justify further consideration. Acknowledging our limitations, the court stressed that "we are not dealing with a criminal case, nor are we justified, where certainty is impossible, in insisting upon it." Thus, the case was sent back for a jury to decide, recognizing that such questions are ultimately within the realm of reasonable human judgment, not divine foresight. Compare this case to the following two:
- Kramer Serv., Inc. v. Wilkins, 186 So. 625 (Miss. 1939), where the Court says that while the bar is not that high, it is not that low either. In Wilkins the Court ruled that while a hotel is liable for the unrepaired condition of a glass beam that fell and struck a guest's head (the initial injury), the jury erred in considering skin cancer that developed in the exact spot of the unhealed cut (the follow-on injury). The medical testimony indicated that it was a mere possibility that the injury caused the cancer, which the Court deemed insufficient. "If, then, the cause be unknown to all those who have devoted their lives to a study of the subject, it is wholly beyond the range of the common experience and observation of judges and jurors, and in such a case medical testimony when undisputed, as here, must be accepted and acted upon in the same manner."
- Emery v. Tilo Roofing Co., 195 A. 409 (N.H. 1937), presents a middle case. Albert and Belle Emery contracted with the defendant for re-roofing their buildings. During the re-roofing work, a fire broke out on the roof, which was found to be highly flammable due to dry, old wooden shingles. Although there was no direct evidence of the cause, circumstantial evidence suggested that the fire was likely started by a cigarette stub discarded by the defendant's workers, who were seen smoking on the roof. The Court upheld a jury verdict for the plaintiff noting that "[t]here was evidence that none of the chimneys in the plaintiffs' house were in use at the time and the attempt of the defendant at the trial to show that the fire might have been caused by defective wiring met with scant success. That the fire was caused by a cigarette stub was the most probable possibility disclosed by the evidence and we think that the jury were justified in finding it to be more probable than otherwise that the fire resulted from this cause."
- Legal malpractice and cause-in-fact. Just like in any other negligence suit, in proving legal malpractice a client will need to show a duty of care arising from an attorney-client relationship, an act or omission on the part of the attorney that breached that duty, and a causation between the attorney's breach and the damages incurred. This but-for causation requirement is usually called "collectibility," i.e., that had the attorney not committed malpractice, the plaintiff would've won his suit and collected his damages. However, some courts have reformulated or made exceptions to the collectibility requirement:
- Uncollecaibility. Rather than force the plaintiff to prove collectibility, some courts shift the burden of proof to the defendant—the attorney—to prove that the plaintiff could not have collected damages even if the attorney hadn't committed malpractice. The rationale for this burden shifting often boils down to the simple fact a defendant-lawyer, as opposed to a non-lawyer client, "is in as good a position, if not better, than the client to discover and prove uncollectibility." Schmidt v. Coogan, 335 P.3d 424, 428 (Wash. 2014)
- Loss-of-chance revisited. Some courts have excepted all malpractice claims from the loss-of-chance rule, noting that applying the rule to one kind of malpractice (say, medical) would seemingly require application of the rule to all other sorts of professional malpractice. As one court reasoned, "[I]t is doubtful that there is any principled way we could prevent [the loss of chance doctrine's] application to similar actions involving other professions. If, for example, a disgruntled or unsuccessful litigant loses a case that he or she had a less than 50 percent chance of winning, but is able to adduce expert testimony that his or her lawyer negligently reduced this chance by some degree, the litigant would be able to pursue a cause of action for malpractice under the loss of chance doctrine." Kramer v. Lewisville Mem. Hosp., 858 S.W.2d 397, 406 (Tex. 1993).
4.4.2.7 Concurrent Causes and Attribution Problems 4.4.2.7 Concurrent Causes and Attribution Problems
4.4.2.7.1 Anderson v. Minneapolis, St. Paul & Sault Ste. Marie Railway Co. 4.4.2.7.1 Anderson v. Minneapolis, St. Paul & Sault Ste. Marie Railway Co.
The Train Sparks Case
146 Minn. 430
JACOB ANDERSON
v.
MINNEAPOLIS, ST. PAUL & SAULT STE. MARIE RAILWAY COMPANY AND OTHERS.[1]
No. 21,855.
Supreme Court of Minnesota.
September 17, 1920.
[432] Action transferred to the district court for St. Louis county to recover $2,016.50 for destruction of plaintiff's property by fire started from defendant's engines. The facts are stated in the opinion. The case was tried before Dancer, J., who at the close of the evidence denied defendants' separate motions for directed verdicts and plaintiff's motion for a directed verdict on the question of liability, and a jury which returned a verdict for $2,162.83. From an order denying their motions for judgment notwithstanding the verdict or for a new trial, defendants appealed. Affirmed.
John L. Erdall, H. B. Fryberger, W. A. Hayes and H. B. Dike, for appellants.
Clayton J. Dodge, Hugh J. McClearn, and Devaney & McGrath, for respondent.
LEES, C.
This is a fire case brought against the defendant railway company and the Director General of Railroads. For convenience, we shall refer to the railway company, throughout this opinion, as the defendant. Plaintiff had a verdict. The appeal is from an order denying a motion in the alternative for judgment notwithstanding the verdict or for a new trial. The complaint alleged, that early in August, 1918, sparks from one of defendant's locomotive engines set a fire on or near the right of way, and that this fire spread until it finally reached plaintiff's land, where it destroyed some of his property.
The answer was a general denial followed by an allegation that, if plaintiff was damaged by fire, the fire was not due to any act of defendant, was of unknown origin, and, by reason of extraordinary weather conditions, became a huge conflagration.
The reply put these allegations in issue.
Plaintiff's case in chief was directed to proving that in August, 1918, one of defendant's engines started a fire in a bog near the west side of plaintiff's land; that it smoldered there until October 12, 1918, when it [433] flared up and burned his property shortly before it was reached by one of the great fires which swept through northeastern Minnesota at the close of that day.
Defendant introduced evidence to show that on and prior to October 12 fires were burning west and northwest of and were swept by the wind towards plaintiff's premises. It did not show how such fires originated, neither did it clearly and certainly trace the destruction of plaintiff's property to them.
By cross-examination of defendant's witnesses and by his rebuttal evidence, plaintiff made a showing which would have justified the jury in finding that the fires proved by defendant were started by its locomotive on or near its right of way in the vicinity of Kettle river.
After plaintiff's evidence in rebuttal had been put in, the jury were excused to enable defendant's counsel to confer, who later announced they had decided to rest without offering additional evidence. Each of the parties then moved for a directed verdict. Both motions were denied. In making his motion, plaintiff's counsel stated that it was his position that there was no evidence tending to show that any other fire than the bog fire, or fires set by defendant in the vicinity of Kettle river, destroyed plaintiff's property. The Kettle river fires were the subject of much of the testimony received. They started west or northwest of plaintiff's land several days prior to October 12.
Numerous special instructions were requested. One of defendant's was that plaintiff had predicated his cause of action upon the bog fire; that, if he failed to establish that cause of action, he could not recover, even though the jury should find that other fires referred to in the evidence were started by defendant's locomotives and contributed to the burning of his property. This request was denied.
In instructing the jury, the court said in part:
"Plaintiff claims that if there was any fire coming from the west or the northwest of the bog fire, that burned over plaintiff's property, that that fire or fires were set by the defendant's engines, and that defendant is responsible for such fires and the result thereof.
"If you find from the evidence that the property of the plaintiff was injured or destroyed by fire communicated directly or indirectly [434] by (defendant's) locomotive engines your deliberations, so far as the question of liability of the defendant is concerned, are at an end, and the next question for you to consider is the amount of plaintiff's damages.
"If plaintiff's property was damaged by fire originally set by one of defendant's locomotives, then defendant became liable for such damage and was not released from such liability by anything that happened thereafter.
"If the plaintiff was burned out by some fire other than the bog fire, which other fire was not set by one of the defendant's engines, then, of course, the defendant is not liable. If the plaintiff was burned out by fire set by one of defendant's engines in combination with some other fire not set by any of its engines," then it is liable.
"If you find that other fire or fires not set by one of the defendant's engines mingled with one that was set by one of the defendant's engines, there may be difficulty in determining whether you should find that the fire set by the engine was a material or substantial element in causing plaintiff's damage. If it was, the defendant is liable, otherwise it is not.
"If you find that bog fire was set by the defendant's engine and that some greater fire swept over it before it reached the plaintiff's land, then it will be for you to determine whether that bog fire was a material or substantial factor in causing plaintiff's damage. If it was defendant is liable. If it was not, defendant is not liable. If the bog fire was set by one of the defendant's engines, and if one of defendant's engines also set a fire or fires west of Kettle river, and those fires combined and burned over plaintiff's property, then the defendant is liable."
These instructions were given on Saturday, December 27. During the afternoon of the following Sunday the jury returned into court and asked whether the defendant would be liable if they should find that one of defendant's engines set a fire west of Kettle river and that on October 12 this fire was of sufficient magnitude to play an important part in any consolidation of fires that may have occurred between it and other fires coming from the west and northwest, and the consolidated fires passed [435] over plaintiff's land and did the damage. The court answered that it would be liable. None of defendant's counsel were present when the Sunday proceedings took place. On the following Monday the jury returned a sealed verdict in favor of plaintiff. Proper exception was taken to the Sunday instructions to the jury.
Subsequently plaintiff asked and was allowed to amend his complaint by alleging in substance that the Kettle river fire or fires and the bog fire destroyed his property.
Defendant contends that it made a showing from which the jury might have found that fires of unknown origin, coming from the west and northwest, destroyed plaintiff's property independently of the bog fire. For the purposes of the case we will assume that there was sufficient evidence to warrant the jury in so finding. To meet an issue tendered by the answer and supported by defendant's proof, plaintiff was properly allowed to offer evidence tending to show that these fires were set by defendant's engines. Defendant does not seriously contend that such evidence was not admissible. Citing Gracz v. Anderson, 104 Minn. 476, 116 N. W. 1116, it takes the position that, while the evidence may have been admissible to overcome its defense, it was not admissible to establish a substantive ground of recovery, because the complaint makes no reference to these fires. The case cited states the familiar rule that, when issues not made by the pleadings are litigated by consent, an amendment should be ordered as a matter of course, and, when not voluntarily litigated, the matter rests in the discretion of the court, and holds that the court did not abuse its discretion in refusing to allow an amendment which introduced as a substantive ground of recovery acts of negligence not originally pleaded but brought out in the evidence. By a long line of decisions, it is settled that the amendment of pleadings is a matter lying almost wholly in the discretion of the trial court, and its action will not be reversed on appeal except for a clear abuse of discretion. 2 Dunnell, Minn. Dig. § 7696. An important consideration is the probability of the opposite party having been misled and so deprived of an opportunity to meet the newly pleaded matter with evidence. That consideration was not present here. Defendant had an opportunity to offer evidence of how the Kettle river fires originated and what became of them, but deliberately decided not to go into the subject.
[436] Another consideration is the manner in which evidence, to which an amendment relates, came into the case. If it was brought out by the party opposing the amendment, or in response to an issue he introduced by his pleadings or proof, there should be greater freedom in allowing the amendment. The variance between the original pleading and the proof in such a case ought to be disregarded because it cannot mislead. G. S. 1913, § 7784; Reed v. Great Northern Ry. Co. 76 Minn. 163, 78 N. W. 974.
The scope of the amendment is also to be considered. If the amendment to a complaint does not introduce an entirely new cause of action, but merely changes the statement of the manner in which the injury was inflicted, it is ordinarily permissible. 2 Dunnell, Minn. Dig. § 7709.
The stage the action has reached is also to be considered. Ordinarily the earlier an amendment is applied for the more liberally will it be granted. However, if a variance has not misled the adverse party to his prejudice, an amendment will be permitted even after an appeal to this court. Adams v. Castle, 64 Minn. 505, 67 N. W. 637.
We are satisfied that there was no abuse of discretion in granting the application to amend the complaint to make it conform to proof properly received to meet the defense. The amendment did not introduce an entirely new cause of action. It added to and changed the statement of the time and place of origin of the fire which was first alleged to have inflicted the injury. The cause of action remained the same — the wrongful destruction of plaintiff's property by a fire or fires started by defendant. The field to be covered by the evidence was enlarged, but it was defendant's pleading and proof that made it necessary to enlarge it. The evidence received was admissible. Plaintiff could have recovered without it under his original pleading and proof. In this respect the case is unlike Guerin v. St. Paul F. & M. Ins. Co. 44 Minn. 20, 46 N. W. 138.
A more difficult question is presented by the apparent conflict between the general charge to the jury and the Sunday instructions. Portions of the charge justify the assertion that there is no conflict. Other portions seem to justify the contrary assertion. The precise situation covered by the Sunday instructions may not have been in the mind of the court when the charge was given. The thought expressed in the general charge is this: Assume that defendant's engine did set the bog fire, but [437] that some greater fire swept over it before it reached plaintiff's land, then and in that event defendant is not liable, unless the bog fire was a substantial factor in causing plaintiff's damage. Defendant concludes that, by the greater fire referred to, the court meant the Kettle river fire for which defendant may have been responsible. With equal force it may be said that the court meant the great fires from the west, for which defendant may not have been responsible. As it seems to us, there was at most an obscurity, due to the omission after the words "greater fire" of the qualifying phrase "set by one of defendant's engines" or "not set by one of defendant's engines." The jury were left in doubt as to defendant's responsibility if the Kettle river fire "played an important part of any consolidation of fires between it" and the west and northwest fires. That subject had not been covered in the general charge. The Sunday instructions were supplemental to and not contradictory of the general charge, and the assertion that the law as stated on Saturday ceased to be a law after the court's utterance on Sunday, is not borne out by the record. We are of the opinion that the law was correctly stated in the Sunday instructions, assuming that by pleadings or voluntary litigation of the issue to which it was directed, the question was in the case. Even if the law had theretofore been otherwise stated, it has been held that it is permissible for a judge to change his mind during the trial of a case. Scheurer v. Great Northern Ry. Co. 141 Minn. 503, 170 N. W. 505.
Complaint is made because the Sunday proceedings took place in the absence of defendant's counsel. Fillippon v. Albion Vein Slate Co. 250 U. S. 76, 39 Sup. Ct. 435, 63 L. ed. 853, is authority in defendant's favor upon this point. If the question were an open one in this state, it might be conclusive, but a contrary rule has long obtained here. Hudson v. Minneapolis L. & M. Ry. Co. 44 Minn. 52, 46 N. W. 314; Reilly v. Bader, 46 Minn. 212, 48 N. W. 909; Strite G. P. Co. v. Lyons, 129 Minn. 372, 152 N. W. 765. Although the court is not obliged to notify counsel when the jury returns for further instructions, we believe it has been the custom of district judges to send notice to counsel before such instructions are given, unless the trial would be unreasonably delayed if this were done. The custom has our unqualified approval, not [438] only as a proper exercise of judicial courtesy, but for the better reason that if one of the parties is represented while the other is not and the latter is the loser, he is almost certain to believe that an unfair advantage of him has been taken and his confidence in the impartial administration of justice is shaken.
In addressing the jury, one of plaintiff's counsel said that, if there was a verdict for defendant, the bill of costs will be so exorbitant it will ruin plaintiff. An exception was promptly taken. Before the jury retired, defendant entered of record a waiver of all costs and disbursements it might tax if it prevailed. The statement of plaintiff's counsel was improper. It was doubly so in view of the fact that the trial had occupied several weeks, the testimony of more than a hundred witnesses had been taken, and there would be a formidable bill of costs that one of the parties must pay. But the misconduct could hardly prejudice defendant after it announced that it waived costs. For this reason, there was no error in denying a new trial on this ground.
Defendant requested the court to instruct that the extraordinary and unusual wind and weather conditions on October 12, 1918, were such an efficient and independent cause of plaintiff's damage as to relieve defendant from liability. The refusal so to instruct is assigned as error. Defendant relies on the rule that a wrongdoer may escape liability by showing that a new cause of plaintiff's injury intervened between the wrongful act and the final injurious result thereof, provided such intervening cause was not under the wrongdoer's control, could not by the exercise of reasonable diligence be anticipated as likely to occur and except for which the injury would not have been done to plaintiff.
We are of the opinion that the rule does not apply to the facts in this case. There was a drought in northern Minnesota throughout the summer and fall of 1918. It was protracted and severe. There was a high wind on October 12. Towards evening and for a short time it reached a velocity of 76 miles an hour. The fire or fires which destroyed plaintiff's property had been burning a long time. Defendant was bound to know that the greater the drought the greater danger of the spread of a fire. Strong winds are not uncommon in Minnesota. The evidence showed that a fire, when sufficiently extensive, will create air currents as the heated air rises and cooler air rushes in to take its place. The operation of [439] this natural law tends to increase the violence of any wind that may be blowing in a region of fires.
The court was justified in refusing to give the requested instruction for another reason. Neither the drought nor the wind would or could have destroyed plaintiff's property without the fire. The result was one which might reasonably be anticipated as a natural consequence of setting a fire and permitting it to burn for days in a country abnormally dry. Hence, if it can be said that an extraordinary wind coupled with an unusual drought were proximate causes of the injury, still the fire was a material concurring cause, without which there would have been no damage to plaintiff, and defendant is liable under the established rules of law. Moore v. Townsend, 76 Minn. 64, 78 N. W. 880; Bibb B. C. Co. v. Atchison, T. & S. F. Ry. Co. 94 Minn. 269, 102 N. W. 709, 69 L.R.A. 509, 110 Am. St. 361, 3 Ann. Cas. 450; Campbell v. City of Stillwater, 32 Minn. 308, 20 N. W. 320, 50 Am. Rep. 567; Johnson v. Northwestern Tel. Exch. Co. 48 Minn. 433, 51 N. W. 225; McDowell v. Village of Preston, 104 Minn. 263, 116 N. W. 470, 18 L.R.A.(N.S.) 190; O'Connor v. Chicago, M. & St. P. Ry. Co. 163 Wis. 653, 158 N. W. 343. That the independent concurring cause was what is termed an act of God, does not alter the rule. Bibb v. Atchison, T. & S. F. Ry. Co. supra; Northwestern C. M. Co. v. Chicago, B. & Q. Ry. Co. 135 Minn. 363, 160 N. W. 1028; Sherm. & Red., Negligence, § 39; 22 R. C. L. 131.
Our attention is invited to a number of cases holding that if a fire has been spread beyond its natural limits by an unusual or extraordinary wind, carrying it to a place that would have been safe except for the wind, the person who set the fire is not liable because he could not reasonably have anticipated a wind of such a nature. Fent v. Ry. Co. 59 Ill. 349, 14 Am. Rep. 13; Marvin v. Ry. Co. 79 Wis. 140, 47 N. W. 1123, 11 L.R.A. 506; Hightower v. Ry. Co. 67 Mo. 726. These cases appear to be out of harmony with Krippner v. Biebl, 28 Minn. 139, 9 N. W. 671. They are also of doubtful application in view of our statute (G. S. 1913, § 4426), which creates liability irrespective of weather conditions, virtually makes railroad companies insurers against damage caused by fires set by their engines, Babcock v. Canadian Northern Ry. Co. 117 Minn. 434, 136 N. W. 275, Ann. Cas. 1913D, 924, and entirely eliminates the question of negligence. Trustees v. Chicago, M. & St. P. Ry. Co. 119 [440] Minn. 181, 137 N. W. 970; Home Ins. Co. v. Chicago, St. P. M. & O. Ry. Co. supra, page 240, 178 N. W. 608; Chicago & N. W. Ry. Co. v. Kendall, 186 Fed. 139, 108 C. C. A. 251.
The following proposition is stated in defendant's brief and relied on for a reversal:
"If plaintiff's property was damaged by a number of fires combining, one being the fire pleaded the others being of no responsible origin, but of such sufficient or such superior force that they would have produced the damage to plaintiff's property regardless of the fire pleaded, then defendant was not liable."
This proposition is based upon Cook v. Minneapolis, St. P. & S. S. M. Ry. Co. 98 Wis. 624, 74 N. W. 561, 40 L.R.A. 457, 67 Am. St. 830. In Farrell v. Minneapolis & R. R. Ry. Co. 121 Minn. 357, 141 N. W. 491, 45 L.R.A.(N.S.) 215, this court considered the Cook case, but refrained from expressing approval or disapproval of its doctrine. The supreme court of Michigan has referred to it as good law. Pluchak v. Crawford, 137 Mich. 509, 100 N. W. 765. The supreme court of Idaho says the opinion is logical and well reasoned, but the discussion is in a large measure theoretical and academic. Miller v. N. P. Ry. Co. 24 Idaho, 567, 135 Pac. 845, 48 L.R.A.(N.S.) 700, Ann. Cas. 1915C, 1214. Judge Thompson in his work on Negligence, Vol. 1, § 739, says that the conclusion reached is so clearly wrong as not to deserve discussion. If the Cook case merely decides that one who negligently sets a fire is not liable if another's property is damaged, unless it is made to appear that the fire was a material element in the destruction of the property, there can be no question about the soundness of the decision. But if it decides that if such fire combines with another of no responsible origin, and after the union of the two fires they destroy the property, and either fire independently of the other would have destroyed it, then, irrespective of whether the first fire was or was not a material factor in the destruction of the property, there is no liability, we are not prepared to adopt the doctrine as the law of this state. If a fire set by the engine of one railroad company unites with a fire set by the engine of another company, there is joint and several liability, even though either fire [441] would have destroyed plaintiff's property. But if the doctrine of the Cook case is applied and one of the fires is of unknown origin, there is no liability. G. S. 1913, § 4426, leaves no room for the application of a rule which would relieve a railroad company from liability under such circumstances. Moreover the reasoning of the court in McClellan v. St. Paul, M. & M. Ry. Co. 58 Minn. 104, 59 N. W. 978, leads to the conclusion that, regardless of the statute, there would be liability in such a case. We, therefore, hold that the trial court did not err in refusing to instruct the jury in accordance with the rule laid down in the Cook case.
In the foregoing discussion we have assumed, although it is doubtful, that the evidence was such that a foundation was laid for the application of the rule if it was otherwise applicable.
The contention that the Director General of Railroads is the only proper defendant is contrary to the holding in Lavalle v. Northern Pac. Ry. Co. 143 Minn. 74, 172 N. W. 918, 4 L.R.A. 1659; Gowan v. McAdoo, 143 Minn. 227, 173 N. W. 440; Palyo v. Northern Pacific Ry. Co. 144 Minn. 398, 175 N. W. 687; and Ringquist v. Duluth, M. & N. Ry. Co. 145 Minn. 147, 176 N. W. 344.
The further contention that, when he is joined with a railroad company as a defendant, section 10 of the Federal Control Act (U. S. Comp. St. 1918, § 3115¾j) does not authorize an action against him, because it is in effect a suit against the United States authorized by the act only to enforce common-carrier liabilities, cannot be sustained. In the Palyo case, where it was held that the director general might be made defendant, the liability sought to be enforced was not a common-carrier liability. The Ringquist case, adhering to the views expressed in Palyo v. Northern Pacific Ry. Co. was a fire case. The provisions of the so-called Transportation Act of February 28, 1920, indicate pretty clearly that Congress did not intend, by section 10 of the Control Act, to limit the right to sue the director general to such causes of action as arise from his operation of the railroads as common carriers. See sections 202 and 206 of the later act.
We find no error requiring a reversal, and hence the order appealed from is affirmed.
[1] Reported in 179 N. W. 45.
4.4.2.7.2 Questions and Notes on Anderson 4.4.2.7.2 Questions and Notes on Anderson
Fun Fact
The term "substantial factor" was first introduced in a law review article by Judge Jeremiah Smith of the Supreme Court of New Hampshire, who also doubled as a law professor at Harvard Law School. See Jeremiah Smith, Legal Cause in Actions of Tort, 14 Harv. L. Rev. 103, 223, 229 (1911).
Guiding Questions
- What are the main differences between the jury instruction, as was provided, and what is proposed by the defendant?
- The Court mentions the Cook case. In this case, a fire on May 20, 1893, allegedly started by sparks from a passing train due to the railroad company's negligence in failing to clear flammable materials near the tracks. The fire spread over a mile to the northeast towards the plaintiffs' property in Corliss, Wisconsin. At the same time, another fire of unknown origin approached from the northwest. The two fires merged near the plaintiffs' property, leading to the destruction of a lumber camp, buildings, and other materials, resulting in damages estimated at nearly $60,000. The court held that while the railroad company was negligent in starting the fire, the fire from the northwest became the primary cause of the destruction. Because the northwest fire acted as a superseding cause, breaking the chain of causation, the court concluded that the railroad's negligence was too remote to be considered the direct cause of the loss. Consequently, the defendant was not held liable for the damages, as the rule of liability for joint wrongdoers did not apply in this case. How does the Court distinguish Cook from Anderson? What does it have to do with the "substantial factor" test?
Test Your Knowledge
Amy negligently leaves the gate to her pet tiger's enclosure unlocked during a storm, allowing the tiger to escape. The tiger begins running towards a nearby garden owned by Jordan, which contains rare heirloom tomatoes worth over $200,000. According to expert testimony, if the tiger had continued running at the same pace, it would have reached the garden and destroyed the valuable tomatoes. However, before the tiger could reach the garden, a gust of wind from the storm causes a large tree to fall directly onto the garden, destroying the tomatoes. The storm gust also causes the tiger to change direction and run away from the garden. In an action by Jordan against Alice for the damage to his garden, would Alice be found liable?
- No, because the tiger was not hungry enough to destroy the garden.
- No, because the two causes did not merge to generate the harm but rather the storm gust caused the damage independently of the tiger's actions.
- Yes, because Alice's negligence allowed the tiger to escape, which could have caused the damage.
- Yes, because both the storm gust and Alice's negligence were substantial factors in bringing about the damage to the garden.
Notes and Further Cases
- Contributory Cause Cases. In Hill v. Edmonds, 12 A.D.2d hill (N.Y. App. Div. 1961), the plaintiff was injured when her vehicle collided with an unlit truck left on the road by the defendant. Although the driver may also have been negligent, the court held that Edmonds could still be liable because both parties’ negligence were necessary conditions of and a substantial factor in the harm. Hill is therefore what some call a “contributory-cause” case: when multiple negligent acts together produce an injury, each actor may be held jointly liable.
- Additional-Cause Cases. Anderson, the principal case, is an "additional-cause" case: Two acts still combine and result in injury, but one of the acts would have been sufficient to cause the injury on its own, so the other act is an "additional" cause and not a necessary condition of the harm. Still, the end result is the same: So long as the "contributory" or "additional" act played a substantial factor in bringing about the harm, each of the tortfeasors may be held liable for the full amount.
- "Additional Neutralizing Cause" exception. Both contributory- and additional-cause cases have an exception for "additional neutralizing causes." Here is an example: Suppose "A negligently sets a fire which would have been sufficient to destroy C's house but, before the fire reaches C's house, it is quenched by the waters which B has negligently allowed to escape from a dam; the waters from the dam are sufficient to destroy C's house and in fact do so. B should be held responsible for the destruction of the house while A should escape civil liability." H.L.A. Hart & Tony A.M. Honoré, Causation in the Law (2d ed. 1985) 239. A escapes liability because B's conduct is an "additional neutralizing cause" of the destruction of C's house. Either A's fire or B's flooding waters independently would have been sufficient to destroy C's house. But the reason they are not simply "additional causes" like in Anderson, is that they did not combine to result in injury; the one neutralized the other—the water quenched the fire—and it is the person responsible for that neutralizing cause who must be liable. In a way, then, we could speak of B's conduct as a superseding cause that breaks the chain of causality.
- Single tortfeasor, multiple causes. Both Hill and Anderson involved multiple potential tortfeasors and multiple causes. What if, instead, we have but a single tortfeasor who is responsible for multiple possible causes of an injury, none of which can be proved? An example is Siegel v. Dynamic Cooking Systems, Inc., 501 F. App'x 397 (6th. Cir. 2012) (applying Kentucky law). There, one Nancy Siegel was injured when her oven, manufactured by Dynamic Cooking Systems, exploded. Ms. Siegel sued Dynamic and "identified the probable cause of the fire: the Dynamic Range." She further "eliminated potential external causes for the explosion: the oven was properly installed, properly used, and properly serviced." But her experts "could not identify the precise internal cause of the explosion." Dynamic attempted to assign liability to another actor, Burner Systems, Inc., for what they believed was a fault in the manufacturing of a temperature regulator within the oven. The Court rejected this theory as merely possible but not probable. As a result, the only tortfeasor left was Dynamic, and while Ms. Siegel ultimately was unable to determine precisely what in the oven's design caused the fireball, all causes pointed back to Dynamic. Thus, liability was assigned to Dynamic in full.
4.4.2.7.3 Summers v. Tice 4.4.2.7.3 Summers v. Tice
The Two Hunters One Eye Case
[L. A. Nos. 20650, 20651.
In Bank.
Nov. 17, 1948.]
CHARLES A. SUMMERS, Respondent, v. HAROLD W. TICE et al., Appellants.
*82Gale & Purciel, Joseph D. Taylor and Wm. A. Wittman for Appellants.
Werner O. Graf for Respondent.
CARTER, J.
Each of the two defendants appeals from a judgment against them in an action for personal injuries. Pursuant to stipulation the appeals have been consolidated.
Plaintiff’s action was against both defendants for an injury to his right eye and face as the result of being struck by bird shot discharged from a shotgun. The case was. tried by the court without a jury and the court found that on November 20, 1945, plaintiff and the two defendants were hunting quail on the open range. Each of the defendants was armed with a 12 gauge shotgun loaded with shells containing 7% size shot. Prior to going hunting plaintiff discussed the hunting procedure with defendants, indicating that they were to exercise care when shooting and to “keep in line.” In the course of hunting plaintiff proceeded up a hill, thus placing the hunters at the points of a triangle. The view of defendants with reference to plaintiff was unobstructed and they knew his location. Defendant Tice flushed a quail which rose in flight to a 10-foot elevation and flew between plaintiff and defendants. Both defendants shot at the quail, shooting in plaintiff’s direction. At that time defendants were 75 yards from plaintiff. One shot struck plaintiff in his eye and another in his upper lip. Finally it was found by the court that as *83the direct result of the shooting by defendants the shots struck plaintiff as above mentioned and that defendants were negligent in so shooting and plaintiff was not contributorily negligent.
First, on the subject of negligence, defendant Simon-son contends that the evidence is insufficient to sustain the finding on that score, but he does not point out wherein it is lacking. There is evidence that both defendants, at about the same time or one immediately after the other, shot at a quail and in so doing shot toward plaintiff who was uphill from them, and that they knew his location. That is sufficient from which the trial court could conclude that they acted with respect to plaintiff other than as persons of ordinary prudence. The issue was one of fact for the trial court. (See, Rudd v. Byrnes, 156 Cal. 636 [105 P. 957, 20 Ann.Cas. 124, 26 L.R.A. N.S.134].)
Defendant Tice states in his opening brief, “we have decided not to argue the insufficiency of negligence on the part of defendant Tice.” It is true he states in his answer to plaintiff’s petition for a hearing in this court that he did not concede this point but he does not argue it. Nothing more need be said on the subject.
Defendant Simonson urges that plaintiff was guilty of contributory negligence and assumed the risk as a matter of law. He cites no authority for the proposition that by going on a hunting party the various hunters assume the risk of negligence on the part of their companions. Such a tenet is not reasonable. It is true that plaintiff suggested that they all “stay in line,” presumably abreast, while hunting, and he went uphill at somewhat of a right angle to the hunting line, but he also cautioned that they use care, and defendants knew plaintiff’s position. We hold, therefore, that the trial court was justified in finding that he did not assume the risk or act other than as a person of ordinary prudence under the circumstances. (See, Anthony v. Hobbie, 25 Cal.2d 814, 818 [155 P.2d 826] ; Rudd v. Byrnes, supra.) None of the cases cited by Simonson are in point.
The problem presented in this case is whether the judgment against both defendants may stand. It is argued by defendants that they are not joint tort feasors, and thus jointly and severally liable, as they were not acting in concert, and that there is not sufficient evidence to show which defendant was guilty of the negligence which caused the injuries—the shooting by Tice or that by Simonson. Tice argues that there is *84evidence to show that the shot which struck plaintiff came from Simonson’s gun because of admissions allegedly made by him to third persons and no evidence that they came from his gun. Further in connection with the latter contention, the court failed to find on plaintiff’s allegation in his complaint that he did not know which one was at fault—did not find which defendant was guilty of the negligence which caused the injuries to plaintiff.
Considering the last argument first, we believe it is clear that the court sufficiently found on the issue that defendants were jointly liable and that thus the negligence of both was the cause of the injury or to that legal effect. It found that both defendants were negligent and “That as a direct and proximate result of the shots fired by defendants, and each of them, a birdshot pellet was caused to and did lodge in plaintiff’s right eye and that another birdshot pellet was caused to and did lodge in plaintiff’s upper lip.” In so doing the court evidently did not give credence to the admissions of Simonson to third persons that he fired the shots, which it was justified in doing. It thus determined that the negligence of both defendants was the legal cause of the injury—or that both were responsible. Implicit in such finding is the assumption that the court was unable to ascertain whether the shots were from the gun of one defendant or the other or one shot from each of them. The one shot that entered plaintiff’s eye was the major factor in assessing damages and that shot could not have come from the gun of both defendants. It was from one or the other only.
It has been held that where a group of persons are on a hunting party, or otherwise engaged in the use of firearms, and two of them are negligent in firing in the direction of a third person who is injured thereby, both of those so firing are liable for the- injury suffered by the third person, although the negligence of only one of them could have caused the injury. (Moore v. Foster, 182 Miss. 15 [180 So. 73]; Oliver v. Miles, 144 Miss. 852 [110 So. 666; 50 A.L.R. 357]; Reyher v. Mayne, 90 Colo. 586 [10 P.2d 1109]; Benson v. Ross, 143 Mich. 452 [106 N.W. 1120, 114 Am.St.Rep. 675].) The same rule has been applied in criminal cases (State v. Newberg, 129 Ore. 564 [278 P. 568, 63 A.L.R. 1225]), and both drivers have been held liable for the negligence of one where they engaged in a racing contest causing an injury to d third person (Saisa v. Lilja, 76 F.2d 380). These cases speak of the action of defendants as being in concert as the ground *85if decision, yet it would seem they are straining that concept and the more reasonable basis appears in Oliver v. Miles, supra. There two persons were hunting together. Both shot at some partridges and in so doing shot across the highway injuring plaintiff who was travelling on it. The court stated they were acting in concert and thus both were liable. The court then stated: “ We think that . . . each is liable for the resulting injury to the boy, although no one can say definitely who actually shot him. To hold otherwise would be to exonerate both from liability, although each was negligent, and the injury resulted from such negligence.” [Emphasis added.] (P. 668 [110 So.'].) It is said in the Restatement: “For harm resulting to a third person from the tortious conduct of another, a person is liable if he . . . (b) knows that the other’s conduct constitutes a breach of duty and gives substantial assistance or encouragement to the other so to conduct himself, or (c) gives substantial assistance to the other in accomplishing a tortious result and his own conduct, separately considered, constitutes a breach of duty to the third person.” (Rest., Torts, § 876(b) (c).) Under subsection (b) the example is given: “A and B are members of a hunting party. Each of them in the presence of the other shoots across a public road at an animal, this being negligent as to persons on the road. A hits the animal. B’s bullet strikes C, a traveler on the road. A is liable to C.” (Rest., Torts, § 876 (b), com., illus. 3.) An illustration given under subsection (c) is the same as above except the factor of both defendants shooting is missing and joint liability is not imposed. It is further said that: “If two forces are actively operating, one because of the actor’s negligence, the other not because of any misconduct on his part, and each of itself is sufficient to bring about harm to another, the actor’s negligence may be held by the jury to be a substantial factor in bringing it about.” (Rest., Torts, § 432.) Dean Wigmore has this to say: “When two or more persons by their acts are possibly the sole cause of a harm, or when two or more acts of the same person are possibly the sole cause, and the plaintiff has introduced evidence that the one of the two persons, or the one of the same person’s two acts, is culpable, then the defendant has the burden of proving that the other person, or his other act, was the sole cause of the harm, (b) ... The real reason for the rule that each joint tortfeasor is responsible for the whole damage is the practical unfairness of denying the injured person redress simply because he cannot prove how *86much damage each did, when it is certain that between them they did all; let them be the ones to apportion it among themselves. Since, then, the difficulty of proof is the reason, the rule should apply whenever the harm has plural causes, and not merely when they acted in conscious concert. ...” (Wigmore, Select Cases on the Law of Torts, § 153.) Similarly Professor Carpenter has said: “[Suppose] the case where A and B independently shoot at C and but one bullet touches C’s body. In such case, such proof as is ordinarily required that either A or B shot C, of course fails. It is suggested that there should be a relaxation of the proof required of the plaintiff . . . where the injury occurs as the result of one where more than one independent force is operating, and it is impossible to determine that the force set in operation by defendant did not in fact constitute a cause of the damage, and where it may have caused the damage, but the plaintiff is unable to establish that it was a cause.” (20 Cal.L.Rev. 406.)
When we consider the relative position of the parties and the results that would flow if plaintiff was required to pin the injury on one of the defendants only, a requirement that the burden of proof on that subject be shifted to defendants becomes manifest. They are both wrongdoers—both negligent toward plaintiff. They brought about a situation where the negligence of one of them injured the plaintiff, hence it should rest with them each to absolve himself if he can. The injured party has been placed by defendants in the unfair position of pointing to which defendant caused the harm. If one can escape the other may also and plaintiff is remediless. Ordinarily defendants are in a far better position to offer evidence' to determine which one caused the injury. This reasoning has recently found favor in this court. In a quite analogous situation this court held that a patient injured while unconscious on an operating table in a hospital could hold all or any of the persons who had any connection with the operation even though he could not select the particular acts by the particular person which led to his disability. (Ybarra v. Spangard, 25 Cal.2d 486 [154 P.2d 687, 162 A.L.R. 1258].) There the court was considering whether the patient could avail himself of res ipsa loquitur, rather than where the burden of proof lay, yet the effect of the decision is that plaintiff has made out a case when he has produced evidence which gives rise to an inference of negligence which was the proximate cause of the injury. It is up to *87defendants to explain the cause of the injury. It was there said: “If the doctrine is to continue to serve a useful purpose, we should not forget that ‘the particular force and justice of the rule, regarded as a presumption throwing upon the party charged the duty of producing evidence, consists in the circumstance that the chief evidence of the true cause, whether culpable or innocent, is practically accessible to him but inaccessible to the injured person.’ ” (P. 490.) Similarly in the instant case plaintiff is not able to establish which of defendants caused his injury.
The foregoing discussion disposes of the authorities cited by defendants such as Kraft v. Smith, 24 Cal.2d 124 [148 P.2d 23], and Hernandez v. Southern California Gas Co., 213 Cal. 384 [2 P.2d 360], stating the general rule that one defendant is not liable for the independent tort of the other defendant, or that ordinarily the plaintiff must show a causal connection between the negligence and the injury. There was an entire lack of such connection in the Hernandez ease and there were not several negligent defendants, one of whom must have caused the injury.
Defendants rely upon Christensen v. Los Angeles Electrical Supply Co., 112 Cal.App. 629 [297 P. 614], holding that a defendant is not liable where he negligently knocks down with his car a pedestrian and a third person then ran over the prostrate person. That involves the question of intervening cause which we do not have here. Moreover it is out of harmony with the current rule on that subject and was properly questioned in Hill v. Peres, 136 Cal.App. 132 [28 P.2d 946] (hearing in this Court denied), and must be deemed disapproved. (See, Mosley v. Arden Farms Co., 26 Cal. 2d 213 [157 P.2d 372, 158 A.L.R. 872]; Sawyer v. Southern California Gas Co., 206 Cal. 366 [274 P. 544]; 2 Cal.Jur. 10-Yr. Supp. Automobiles, § 349; 19 Cal.Jur. 570-572.)
Cases are cited for the proposition that where two or more tort feasors acting independently of each other cause an injury to plaintiff, they are not joint tort feasors and plaintiff must establish the portion of the damage caused by each, even though it is impossible to prove the portion of the injury caused by each. (See, Slater v. Pacific American Oil Co., 212 Cal. 648 [300 P. 31]; Miller v. Highland Ditch Co., 87 Cal. 430 [25 P. 550, 22 Am.St.Rep. 254]; People v. Gold Run D. & M. Co., 66 Cal. 138 [4 P. 1152, 56 Am.Rep. 80]; Wade v. Thorsen, 5 Cal.App.2d 706 [43 P.2d 592]; California O. Co. v. Riverside P. C. Co., 50 Cal.App. 522 [195 P. 694]; *88 City of Oakland v. Pacific Gas & E. Co., 47 Cal.App.2d 444 [118 P.2d 328].) In view of the foregoing discussion it is apparent that defendants in cases like the present one may be treated as liable on the same basis as joint tort feasors, and hence the last-cited cases are distinguishable inasmuch as they involve independent tort feasors.
In addition to that, however, it should be pointed out that the same reasons of policy and justice shift the burden to each of defendants to absolve himself if he can—relieving the wronged person of the duty of apportioning the injury to a particular defendant, apply here where we are concerned with whether plaintiff is required to supply evidence for the apportionment of damages. If defendants are independent tort feasors and thus each liable for the damage caused by him alone, and, at least, where the matter of apportionment is incapable of proof, the innocent wronged party should not be deprived of his right to redress. The wrongdoers should be left to work out between themselves any apportionment. (See, Colonial Ins. Co., v. Industrial Acc. Com., 29 Cal.2d 79 [172 P.2d 884].) Some of the cited cases refer to the difficulty of apportioning the burden of damages between the independent tort feasors, and say that where factually a correct division cannot be made, the trier of fact may make it the best it can, which would be more or less a guess, stressing the factor that the wrongdoers are not in a position to complain of uncertainty. (California O. Co. v. Riverside P. C. Co., supra.)
It is urged that plaintiff now has changed the theory of his case in claiming a concert of action; that he did not plead or prove such concert. From what has been said it is clear that there has been no change in theory. The joint liability, as well as the lack of knowledge as to which defendant was liable, was pleaded and the proof developed the ease under either theory. We have seen that for the reasons of policy discussed herein, the case is based upon the legal proposition that, under the circumstances here presented, each defendant is liable for the whole damage whether they are deemed to be acting in concert or independently.
The judgment is affirmed.
Gibson, C. J., Shenk, J., Edmonds, J., Traynor, J., Schauer, J., and Spence, J., concurred.
Appellant Tice’s petition for a rehearing was denied December 16, 1948.
4.4.2.7.4 Questions and Notes on Summers 4.4.2.7.4 Questions and Notes on Summers
Fun Fact
Kyle Graham wrote an imagined follow-up story to the decision of the California Supreme Court. In it, "Charles Summers, Harold Tice, and Ernest Simonson walk up to the pearly gates of Heaven. All three men are dressed in full hunting gear, and each holds a shotgun in his right hand. St. Peter stands in front of the gates, reviewing a ledger. As the hunters approach, St. Peter looks up, sees the men, and smiles." I will read a portion of the story in class, but the full story can be found here: Kyle Graham, Who Shot Charles Summers?, The Green Bag (2012), https://digitalcommons.law.scu.edu/cgi/viewcontent.cgi?article=1553&context=facpubs.
Guiding Questions
- Who acted negligently?
- What rationales drive the Court's analysis in assigning liability between the two defendants?
Test Your Knowledge
Emma and Jack are neighbors who each maintain large gardens. Emma sprays a powerful herbicide on her plants, while Jack uses an equally strong pesticide on his. Both chemicals are known to be toxic to bees. That same week, Sarah, a local beekeeper, discovers that her entire colony of bees has died. Experts confirm the bees were exposed to both chemicals but cannot determine whether the herbicide, the pesticide, or both caused the deaths. Sarah brings a negligence suit against both Emma and Jack. What is the likely outcome?
- No liability, because Sarah must first prove whether Jack’s pesticide or Emma’s herbicide caused her harm.
- No liability, because the harm could have resulted from environmental factors unrelated to Emma or Jack.
- No liability, because neither Sarah nor Jack acted with the requisite malice to be held liable in negligence.
- Liability, because when all possible liable parties are before the court, the burden shifts to the defendants to prove they did not cause the harm.
Notes and Further Cases
- Joining defendants and its exceptions.
- Consider the facts of Sindell v. Abbott Laboratories, 607 P.2d 924 (Cal. 1980). The plaintiff, Judith Sindell, brought a lawsuit against several pharmaceutical companies, including Abbott Laboratories, after developing cancer linked to her mother's use of the drug diethylstilbestrol (DES) during pregnancy. DES was prescribed to prevent miscarriages, but decades later it was found to cause cancer and other health issues in the daughters of women who took the drug. The challenge was that Sindell could not identify which specific manufacturer produced the drug her mother had taken (the drug was marketed by approximately 195 other companies, beside the five that Judith joined in the suit). Is Summers good precedent for Sindell? Why not? The Sindell court relied, instead, on the "Substantial Share of the Market" exception. It applied it as follows: Where a plaintiff joins in the action "manufacturers of a substantial share of the [product that caused the injury], the injustice of shifting the burden of proof to defendants to demonstrate that they could not have made the substance which injured plaintiff is significantly diminished." Id. at 937. This exception remains highly controversial.
- Another exception is the “concert of action” doctrine, which holds that when multiple defendants act together pursuant to a common plan to commit a tortious act, each may be held liable for the acts of the others. In Reyna v. Indep. Sch. Dist. No. 1 of Okla. Cnty., 839 F. Supp. 2d 1314 (W.D. Okla. 2012), a mother alleged that several students acted in concert to bully her daughter, culminating in a toilet-papering and vandalism incident at the family’s home. Although the case primarily addressed the mother’s negligent supervision and negligent infliction of emotional distress claims against the school district, it also underscored an unresolved issue—the potential tort liability of unidentified student bullies who act in concert to harm another student. Are the facts in Sindell a good fit for the “concert of action” exception? Are the facts in Summers?
- Multiple Defendant, No Clear Tortfeasor.
- In Garcia v. Joseph Vince Co., 84 Cal. App. 3d 868 (Cal. Ct. App. 1978), a fencing student was injured when his opponent’s saber broke and penetrated his fencing mask, damaging his eye. He sued both the saber and mask manufacturers under strict liability and negligence theories. However, the trial court issued a directed verdict for the defendants after the plaintiff failed to present sufficient evidence that either the saber or the mask was defective, or even that the defendants had manufactured or sold the specific equipment involved. Unlike the principal case, where both defendants were proven negligent, Garcia lacked both proof of defect and identification of a responsible party to burden-shift.
- Compare Garcia to Fireman's Fund American Insurance Cos. v. Knobbe, 562 P.2d 825 (Nev. 1977). There, four friends were smoking cigarettes inside a Las Vegas hotel room. A fire started, and the hotel's insurer sued the four friends. But the friends swore an omertà that "what happens in Vegas stays in Vegas," and none of them ever divulged whose cigarette started the fire. As in Garcia, Fireman's Fund illustrates the unfortunate scenario of multiple actors, none definitively negligent. The Court held, the case lacked "even a scintilla of evidence" indicating which defendant caused the harm." Id. at 827. Thus no burden-shift.
- Although causation was the central issue in Fireman's Fund, it was actually not an attribution case (unlike Garcia); it was a res ipsa case. The insurer attempted to invoke res ipsa against the four friends. The Court ultimately refused the insurer's attempt, distinguishing the facts from those in Ybarra v. Spangard (the Paralyzed Shoulder Case)—recall that the result of applying res ipsa in Ybarra was to shift the burden to the defendant doctors to disprove that each was the cause of the patient's injury. Why might the Fireman's Fund Court have found that Ybarra did not apply? What might be the basis for the distinction?
4.4.2.7.5 Stubbs v. City of Rochester 4.4.2.7.5 Stubbs v. City of Rochester
The Contaminated Drinking Water Case
Thomas E. Stubbs, Appellant, v. The City of Rochester, Respondent.
Municipal corporations — negligence — typhoid fever alleged to have been caused by drinking contaminated water — when evidence in action to recover therefor sufficient to warrant submission to jury — improper dismissal of complaint.
1. If two or more possible causes exist, for only one of which a defendant may be liable, and a party injured establishes facts from which it can be said with reasonable certainty that the direct cause of the injury was the one for which the defendant was liable, the party has complied with the spirit of the rule that when there are several possible causes of injury for one or more of which a defendant is not responsible, plaintiff cannot recover without proving that the injury was sustained wholly or in part by a cause for which defendant was responsible.
2. Plaintiff brings this action, asserting that he became ill by reason of drinking contaminated water supplied by the defendant, and seeks to recover damages by reason thereof. Upon examination of the evidence, held, that the case on the part of plaintiff was not so lacking in proof as matter of law that his complaint should be dismissed, but that the most favorable inferences deducible from the plaintiff’s evidence were such as would justify a submission of the facts to a jury as to the reasonable inferences to be drawn therefrom, and a verdict rendered thereon for either party would rest not in conjecture but upon reasonable possibilities.
Stubbs v. City of Rochester, 174 App. Div. 904, reversed.
(Argued March 13, 1919;
decided July 15, 1919.)
Appeal from a judgment entered September 13, 1916, upon an order of the Appellate Division of the Supreme Court in the fourth judicial department, overruling plaintiffs’ exceptions, ordered to be heard in the first instance by the Appellate Division, denying a motion for a new trial and directing judgment in favor of defendant upon the nonsuit granted at the Trial Term.
The nature of the action and the facts, so far as material, are stated in the opinion.
*517 Charles Van Voorhis for appellant.
It was a question of fact for the jury to determine whether or not the plaintiff contracted typhoid fever from drinking contaminated water. (Lyons v. S. A. R. R. Co., 89 Hun, 374; 152 N. Y. 654; Purcell v. Lanere, 14 App. Div. 33; People v. Benham, 160 N. Y. 402.)
B. B. Cunningham, Corporation Counsel {Charles L. Pierce of counsel), for respondent.
Plaintiff’s case as to how he contracted his typhoid rests wholly upon conjecture. (Ruback v. McCleary, Wallin & Crouse, 220 N. Y. 188; Link v. Sheldon, 136 N. Y. 9; Ruppert v. B. H. R. R. Co., 154 N. Y. 90; Webber v. T. A. R. R. Co., 12 App. Div. 512.)
Hogan, J.
This action was brought by plaintiff to recover damages alleged to have been sustained by him due to drinking contaminated water from the defendant’s domestic service.
During the year 1910 and for many years prior thereto the defendant under legislative authority was engaged in the business of selling water to its inhabitants. A duty was imposed on the commissioner of public works to provide an abundant supply of wholesome water for public and private use, to devise plans and sources of water supply, to plan and supervise the distribution of water through the city and to protect it against contamination. The city has two systems of water supply. One for potable water brought by it from Hemlock lake some distance south of the city to reservoirs near the city and thence distributed by gravity to consumers. That system is known as the Hemlock system. The second or Holly system for fire purposes in the business district, the water being pumped from the Genesee river near the center of the city into a separate set of distributing pipes. The Holly system carried a pressure of from sixty to seventy pounds to the square inch which *518in case of fire was increased to one hundred thirty pounds. The pressure in Hemlock system was about fifty pounds to the square inch. The Erie canal ran through the city. A number of hit bridges, including one at Brown street, crossed the same. The bridges were raised by admitting water under pressure to a cylinder forcing a piston out and raising the platform of the bridge. The pipes furnishing water to the cylinders were “Y” shaped; one branch being connected with the Hemlock system and the second branch with the Holly system. Gates were installed in each pipe at a point about 20 feet back from the place of connection with the “Y” pipe to control the flow of waters therein. If the gates in both pipes were open at one time both systems would discharge water into the “Y” pipe. If one gate was closed the discharge would be confined to the other pipe. The employees of the city had possession of the wrenches or keys by which these gates could be opened or closed, the water for operating the bridge being furnished by the city.
A check valve was installed in the Hemlock pipe at a point between the gate and the piston pipe for the purpose of preventing the water from the Holly system entering the pipe of the Hemlock system as it otherwise would when the gates in both pipes were open because of the greater pressure in the Holly system; thus when the pressure of the water is toward the piston pipe the valve will open and permit' the water to flow freely, but when the stronger pressure is from the opposite direction the valve closes and remains closed so long as the greater pressure remains. When closed the water from the Holly system is prevented from entering the Hemlock system pipes.
Above the point where the defendant pumps water from the Genesee river into the Holly system mains a large quantity of sewage from villages and public institutions is discharged into the Genesee river and at times *519water from the Erie canal overflows into the river. The evidence disclosed that a number of drains from buildings in the city also discharged into the river. The water used for the purpose of operating the lift bridges is shut off in the fall of the year at the close of navigation on the Erie canal and turned on when navigation is resumed, usually about May. In the year 1910 the gates of the two systems located near the Brown street bridge were opened by direction of the superintendent of water works of the city. In June, 1910, numerous complaints were received by the superintendent from inhabitants, consumers of the Hemlock water, residing or employed in the vicinity of Brown street bridge, in substance that the water was roily, dirty and had an offensive odor. No attention was given the matter of complaints until one resident called upon the health commissioner of the city and the latter accompanied the complainant to her home, observed the condition of the water, took a sample of the water from the faucet and observed that it looked and smelled badly. He thereupon had it analyzed by a chemist which analysis disclosed a serious condition of contamination. The health officer thereupon notified the public through the newspapers not to drink the water without boiling it, continued bis investigation, collected water from a number of houses and caused an analysis to be made of same which disclosed contamination and he thereupon notified the water department that the Hemlock water was contaminated. The latter department started an investigation on October 2d, upwards of three months after many complaints had been made to it, and upon arrival at the Brown street bridge discovered the source of contamination to be at that point and that water from the Holly system was being discharged through the Hemlock system pipes. The water was thereupon shut off and a few days later the discovery was made that there was no check valve in the pipe of the Hemlock system and the water of the *520two systems commingled and were being furnished to consumers in that locality as potable waters.
The plaintiff, a resident of the city of Rochester and a machinist, was employed by a firm whose place of business was at the corner of Allen and Platt streets, about one block from the Brown street bridge. The factory was supplied with Hemlock lake water for drinking purposes. Plaintiff drank the water from time to time, using his individual drinking glass. He was taken ill September 6, 1910, with typhoid fever and was sick in bed for six weeks and unable to work for some twelve weeks. Asserting that his illness was caused by reason of drinking contaminated water supplied by the city, he seeks to recover damages by reason thereof. The evidence disclosed upon the trial clearly established that the water furnished by the defendant for potable purposes in the locality of the Brown street bridge was contaminated. The negligence of the defendant charged is — that it carelessly and negligently permitted poisonous and polluted water from the Genesee river to flow through the Holly system mains and pipes into the mains and .pipes of the Hemlock system thereby polluting and contaminating the Hemlock water rendering the same dangerous to life and health of the inhabitants of the city in violation of its duty to furnish pure and wholesome water; a failure to inspect the pipes from time to time to discover whether or not the check valve was in place and operating and failure to exercise diligence in a discovery of the nature and source of the contamination following many complaints as to the condition of the water. The facts adduced upon the trial were ample to permit a consideration of the question of negligence of the city by a jury and if found by a jury to sustain such finding. It is argued by counsel for the city that plaintiff’s case as to how he contracted typhoid fever rests wholly upon conjecture. Upon the appeal to the Appellate Division after the first trial the latter *521court reversed the judgment recovered by plaintiff upon that ground. (163 App. Div. 245.) Upon the appeal to the Appellate Division in the case under review two of the justices, who concurred for reversal on the first appeal on the ground stated, dissented from the decision affirming the nonsuit at Trial Term, presumptively indicating that the evidence upon the second trial had been supplemented by additional testimony and rendered the earlier decision distinguishable from the present record.
The important question in this case is — did the plaintiff produce evidence from which inference might reasonably be drawn that the cause of his illness was due to the use of contaminated water furnished by defendant. Counsel for respondent argues that even assuming that the city may be held liable to plaintiff for damages caused by its negligence in furnishing contaminated water for drinking purposes, (a) that the evidence adduced by plaintiff fails to disclose that he contracted typhoid fever by drinking contaminated water; (b) that it was incumbent upon the plaintiff to establish that his illness was not due to any other cause to which typhoid fever may be attributed for which defendant is not hable.. The evidence does disclose several causes of typhoid fever which is a germ disease, the germ being known as the typhoid bacillus, which causes may be classified as follows:
First. Drinking of polluted water. Second. Raw fruits and vegetables in certain named localities where human excrement is used to fertilize the soil are sometimes sources of typhoid infection. Third. The consumption of shell fish, though not a frequent cause. Fourth. The consumption of infected milk and vegetables. Fifth. The house fly in certain localities. Sixth. Personal contact with an infected person by one who has a predilection for typhoid infection and is not objectively sick with the disease. Seventh. Ice if affected with typhoid bacilli. Eighth. Fruits, vegetables, etc., washed in infected water.
*522 Ninth. The medical authorities recognize that there are still other causes and means unknown. This fact was developed on cross-examination of physicians called by plaintiff.
Treating the suggestions of counsel in their order, (a) that the evidence fails to disclose that plaintiff contracted typhoid fever by drinking contaminated water. The plaintiff having been nonsuited at the close of his case is entitled to the most favorable inference deducible from the evidence. That plaintiff on or about September 6th, 1910, was taken ill and very soon thereafter typhoid fever developed is not disputed. That he was employed in a factory located one block distant from the Brown street bridge in which Hemlock lake water was the only supply of water for potable and other purposes, and that the water drawn from faucets in that neighborhood disclosed that the water was roily and of unusual appearance is not questioned. And no doubt prevails that the Holly system water was confined to the main business part of the city for use for fire purposes and -sprinkling streets and is not furnished for domestic or drinking purposes.
The evidence of the superintendent of water works of the city is to the effect that Hemlock lake water is a pure wholesome water free from contamination of any sort at the lake and examinations of the same are made weekly; that the Holly water is not fit for drinking purposes taken as it is from the Genesee river. Further evidence was offered by plaintiff by several witnesses, residents in the locality of Brown street bridge, who discovered the condition of the water at various times during July, August and September and made complaint to the water department of the condition of the same. Dr. Goler, a physician and health officer of the city, was called by plaintiff and testified that in September when complaint was made to him by a resident of the district he went to the locality, visited houses in the *523immediate neighborhood, found that the water drawn from the faucet of the Hemlock supply looked badly and smelled badly. He took a sample of the water to the laboratory and had it examined by a chemist who found that it contained an increase in 'solids and very many times, that is twenty to thirty times as much chlorine or common salt as is found in the domestic water supply —- the presence of chlorine in excessive quantities indicates contamination in that quantity, bad contamination and usually sewage contamination. Further examination followed in the district. Water was collected from various houses and a large number of samples, perhaps less than, one hundred, but over twenty-five. The examination continued and the wedge of the city outlined by the river and city line and Magne street had the domestic water supply contaminated in the same way. An examination of the water of the Holly system disclosed the same, very similar in quantity of chlorine or common salt contents as the domestic water supply in the houses in the immediate neighborhood of Oak and Frank streets, but further north from what was eventually the point of greatest contamination the amount of chlorine grew less. About the following day, the source of contamination having- been discovered, the doctor made an investigation as to the reported cases of typhoid fever in the city in the months of August, September and October for the purpose of determining the number of cases, where the cases came from, what gave rise to it, and he stated that in his opinion the outbreak of typhoid was due to polluted water, contaminated as he discovered afterwards by sewage. In answer to a hypothetical question embracing generally the facts asserted by plaintiff the witness testified that he had an opinion as to the cause of the, infection of plaintiff and such opinion was that it was due to contaminated water.
Doctor Dodge, of the faculty of the University of *524Rochester, a professor of biology, also bacteriologist of the city of Rochester, about October first made an analysis of samples of water taken from No. 58 Warehouse street and from the Holley system, corner of Oak and Platt streets. The analysis of the water from Warehouse street disclosed the number of bacteria to be 880 cubic centimeter. The analysis of the Holly water disclosed four thousand bacteria cubic centimeter. An analysis of the Hemlock water at the University disclosed approximately 150 to 200. While his examination did not disclose any colon bacillus, it did disclose some evidence of the same. Dr. Brady, the physician who attended the plaintiff, and Dr. Culkin both testified that in their opinion the plaintiff contracted typhoid fever from drinking polluted water.
Plaintiff called a witness who resided on Brown street about two minutes’ walk from the bridge and proved by her that she drank water from the Hemlock mains in the fall of 1910 and was ill with typhoid fever. Thereupon counsel for defendant stipulated that fifty-seven witnesses which the plaintiff proposed to call will testify that they drank water from the Hemlock taps in the vicinity of the district west of the Genesee river and north of Allen street in the summer and fall of 1910 and during said summer and fall suffered from typhoid fever, that in view of the stipulation such witnesses need not be called by plaintiff and the stipulation shall have the same force and effect as though the witnesses had been called and testified to the facts.
The plaintiff resided with his wife some three miles distant from the factory where he was employed. The water consumed by him at his house outside the infected district was Hemlock water. The only water in the factory was Hemlock water and he had there an individual cup from which he drank. He was not outside of the city during the summer of 1910. Therefore, the only water he drank was in the city of Rochester.
*525A table of statistics as to typhoid fever in the city of Rochester for the years 1901-1910, inclusive, was produced by the health officer and received in evidence. That exhibit was the subject of comment in the opinion of Justice Foote upon the first appeal. The fact is evident from a perusal of his opinion that upon the first trial plaintiff did not undertake to establish the number of cases of typhoid fever in the district where the water was contaminated as compared with the total number of cases in the city in 1910, which evidence was supplied upon this trial. The statistics disclose that the number of typhoid cases in the city in 1910 was 223, an excess of 50 cases of any year of the nine years preceding. Recalling that complaints as to water commenced in the summer of 1910 and as shown by the evidence that typhoid fever does not develop until two or three weeks after the bacilli have been taken into the system, in connection with the fact that the source of contamination was not discovered until October, the statistics disclose that of the 223 cases of typhoid in the city in the year 1910, 180 cases appear during the months of August, September, October and November as against forty-three cases during the remaining eight months; thirty-five of which were prior to August and eight in the month of December, two months after the source of contamination of the water was discovered.
The evidence on the trial discloses that at least fifty-eight witnesses, residents of the district, drank the contaminated water and suffered from typhoid fever in addition to plaintiff; thus one-third of the 180 cases during the months stated were shown to exist in that district.
Counsel for respondent asserts that there was a failure of proof on the part of plaintiff in that he did not establish that he contracted disease by drinking contaminated water and in support of his argument cites a rule of law, that when there are several possible causes of injury *526for one or more of which a defendant is not responsible, plaintiff cannot recover without proving that the injury was sustained wholly or in part by a cause for which defendant was responsible. He submits that it was essential for plaintiff to eliminate all other of seven causes from which the disease might have been contracted. If the argument should prevail and the rule of law stated is not subject to any limitation the present case illustrates the impossibility of a recovery in any case based upon like facts. One cause of the disease is stated by counsel to be “personal contact with typhoid carriers or other persons suffering with the disease, whereby bacilli are received and accidentally transferred by the hands or some other portion of the person or clothes to the mouth.” Concededly a person is affected with typhoid some weeks before the disease develops. The plaintiff here resided three miles distant from his place of employment and traveled to and from his work upon the street car. To prove the time when he was attacked with typhoid, then find every individual who traveled on the same car with him and establish by each one of them that he or she was free from the disease even to bis or her clothing is impossible. Again the evidence disclosed that typhoid fever was caused by sources unknown to medical science. If the word of the rule stated is to prevail plaintiff would be required to eliminate sources which had not yet been determined or ascertained. I do not believe the rule stated to be as inflexible as claimed for. If two or more possible causes exist, for only one of which a defendant may be liable, and a party injured establishes facts from which it can be said with reasonable certainty that the direct cause of the injury was the one for which the defendant was liable the party has complied with the spirit of the rule.
The plaintiff was employed in the immediate locality where the water was contaminated. He drank the water daily. The consumption of contaminated water is a very *527frequent cause of typhoid fever. In the locality there were a large number of cases of typhoid fever and near to sixty individuals who drank the water and had suffered from typhoid fever in that neighborhood appeared as witnesses on behalf of plaintiff. The plaintiff gave evidence of his habits, his home surroundings and his method of living, and the medical testimony indicated that his illness was caused by drinking contaminated water. Without reiteration of the facts disclosed on the trial I do not believe that the case on the part of plaintiff was so lacking in proof as matter of law that his complaint should be dismissed. On the contrary the most favorable inferences deducible from the plaintiff were such as would justify a submission of the facts to a jury as to the reasonable inferences to be drawn therefrom, and a verdict rendered thereon for either party would rest not in conjecture but upon reasonable possibilities.
The judgment should be reversed and a new trial granted, costs to abide the event.
Cardozo, Pound and Andrews, JJ., concur; Hiscock, Ch. J., Chase and McLaughlin, JJ., dissent.
Judgment reversed, etc.
4.4.2.7.6 Questions and Notes on Stubbs 4.4.2.7.6 Questions and Notes on Stubbs
Fun Fact
Perhaps the best known story about water contamination in the United States comes from Flint, Michigan. In 2014 the City of Flint switched its water supply from Lake Huron and the Detroit River to the Flint River as a cost-saving measure. But the water was not properly treated to prevent corrosion in the city's aging pipes. As a result, lead, a toxic metal that can cause severe health problems (particularly in children), leached from the pipes into the drinking water, exposing over 100,000 residents to dangerously high levels of the metal. On November 10, 2021, Judge Judith E. Levy of the United States District Court for the Eastern District of Michigan granted final approval of a "landmark $626.25 million settlement resulting from the class action and individual lawsuits brought on behalf of more than 90,000 Flint residents and businesses against multiple governmental defendants." This settlement is one of the largest in Michigan's history and was intended to address the harm caused by lead exposure, particularly to children. For further reading see Flint Water Crisis Litigation, Cohen Milstein, https://www.cohenmilstein.com/case-study/flint-water-crisis-class-action-litigation/.
Guiding Questions
- What are some of the alternative causes considered by the Court to the plaintiff's typhoid fever beyond the water contamination?
- What evidence is introduced by plaintiff to counter each of these theories (distinguish between direct and probabilistic evidence).
- How does the science on typhoid fever influenced the Court's reasoning in assessing the quality of the evidence presented?
Test Your Knowledge
Clearwater Services was contracted by a city to inspect and maintain safety equipment at a public swimming pool. During a routine check, Clearwater negligently failed to identify that the main drain cover in the deep end was cracked and partially detached. Days later, Maya, a 10-year-old swimmer, was pulled underwater and suffered severe brain damage. An investigation revealed three plausible explanations: (1) a suction vortex caused by a dislodged drain cover, (2) the failure of the emergency shut-off switch to stop the suction, and (3) an undetected malfunction in the pool’s anti-entrapment vacuum release system. All three issues were within the scope of Clearwater’s contractual and professional duty to detect. Maya’s parents bring a negligence suit against Clearwater. Which answer best supports liability despite uncertainty about the precise cause?
- Clearwater may be liable because all potential causes fall within its scope of responsibility.
- Clearwater is not liable unless plaintiffs prove which specific defect caused the injury.
- Clearwater is liable only if all three defects operated simultaneously to cause the harm.
- Liability depends on whether the city shared responsibility for system maintenance.
Notes and Further Cases
- Tort law without a damage. What if Stubbs did not develop typhoid fever? Would he have been able to bring an action in negligence? If not negligence, what alternative theories of liability would you have pursued?
- As you're working through this question consider this case from the Israeli Supreme Court sitting as the Court for Civil Appeals. Tnuva Central Cooperative for the Marketing of Agricultural Produce in Israel v. the Estate of the late Tufik Raabi, CA 10085/08 (Nov. 29., 2010). The case involved a class action suit against one of Israel's largest dairy producers, Tnuva. The plaintiffs claimed that Tnuva misled consumers by adding silicon to its milk products without proper disclosure, violating consumer protection law. Note that none of the consumers were injured or suffered physical harm from drinking the milk with the silicon, which was completely safe and was introduced only to extend the shelf life of the milk. In their decision the Supreme Court cited to "negative feelings, and feelings of disgust" as well as to "infringement of individual autonomy" which "stem from the consumption of milk that contains silicon 'with all of the associations attendant thereto.'" Among the negative feelings mentioned were "deception, contempt, mental anguish, nausea, aversion to essential food products, fear, and anxiety." The members of the Group sought NIS 8000 for each consumer included in the group (about $2100 in USD based on 2011 conversion rates).
4.4.3 Proximate Cause 4.4.3 Proximate Cause
4.4.3.1 Preface to Proximate Cause 4.4.3.1 Preface to Proximate Cause
Having wrapped up when an event factually causes an injury, we now turn to proximate cause. Proximate cause really concerns the scope of liability. As the Tennessee Supreme Court expressed it:
Proximate or legal cause is a policy decision made by the legislature or the courts to deny liability for otherwise actionable conduct based on considerations of logic, common sense, policy, precedent and “our more or less inadequately expressed ideas of what justice demands or of what is administratively possible and convenient."
Snyder v. LTG Lufttechnische GmbH, 955 S.W.2d 252, 256 n.6 (Tenn. 1997) (quoting Bain v. Wells, 936 S.W.2d 618, 625 (Tenn. 1997)). This is because in a metaphysical sense every event might be the but-for, factual cause of another. "[I]f the injured person had never been born," observed one judge, "the injury would not have happened." Atl. Coast Line R.R. Co. v. Daniels, 70 S.E. 203, 205 (Ga. Ct. App. 1911). The law therefore draws a line, as it were, between birth and the injury itself, declaring that on the other side of that line lie the set of events for whose causal contribution tort law will not hold the defendant responsible. Where that line is drawn is the domain of proximate cause.
Tort law has gone through several variations on how to draw that line. Let's briefly address them before turning to the modern formulation.
Natural and ordinary consequences. We begin with the formulation in Ryan v. New York Central Railroad Co. that if an injury is the "ordinary and natural result" of the defendant's act, the latter is the proximate cause of the former. 35 N.Y. 210, 212 (1866). In Ryan the railroad accidentally set fire to its woodshed. The fire spread to several other houses, including the plaintiff's house some 130 feet away. The Court denied recovery. It held that the ordinary and natural result of one's showering a wooden building with sparks was that that building would ignite, not that any other building would do so. Justice Hunt explained:
That a building upon which sparks and cinders fall should be destroyed or seriously injured must be expected, but that the fire should spread and other buildings be consumed, is not a necessary or an [sic] usual result. That it is possible, and that it is not infrequent, cannot be denied. The result, however, depends, not upon any necessity of a further communication of the fire, but upon a concurrence of accidental circumstances, such as the degree of the heat, the state of the atmosphere, the condition and materials of the adjoining structures and the direction of the wind. These are accidental and varying circumstances. The party has no control over them, and is not responsible for their effects.
Id. What makes the ignition of one building "natural and ordinary," or "necessary and usual," and another building not? Do you agree with Justice Hunt?
Direct result. 35 years after Ryan came In re Polemis. A "stevedore" (a dock loader and unloader) carelessly allowed a wooden plank to fall into the hold of a boat, which immediately exploded. It turns out that the boat was a cargo ship ferrying petrol from Morocco to England; petroleum vapors had accumulated in the hold, and a spark caused by the falling plank ignited the vapors. The King's Bench allowed the boat's owner to recover. In re Arb. between Polemis & Furness, Withy, & Co., [1921] 3 K.B. 560. Lord Justice Bankes thought it "immaterial that the causing of the spark could not reasonably have been anticipated from the falling of the board." Id. Instead, it was sufficient that the damage was a "direct result" of the stevedore's carelessness. Id. Lord Justice Scrutton agreed:
[I]f the act would or might probably cause damage, the fact that the damage it in fact causes is not the exact kind of damage one would expect is immaterial, so long as the damage is in fact directly traceable to the negligent act, and not due to the operation of independent causes having no connection with the negligent act, except that they could not avoid its results. Once the act is negligent, the fact that its exact operation was not foreseen is immaterial.
Id. (emphasis added). So In re Polemis affirms the test that what determines liability is directness in the causality between the negligent conduct and the harm—between the dropping of the plank and the fire. The fire followed immediately after and in the same place where the plank was dropped, and without intervening acts by others. Do you see what distinguishes an injury's being a "direct" consequence from a "natural and ordinary" consequence? Do you agree with Justice Bankes and Lord Justice Scrutton?
Reasonable foreseeability. In re Polemis lasted 40 years. Then came the remarkable accident at Mort's Dock in Sydney, Australia. The ship Wagon Mound was moored about 600 feet away from Mort's Dock, a wharf for shipbuilding and repairing. She was taking on furnace oil. Her crew accidentally left a valve open, and oil spread from her hull across the harbor, the water surface, and into Mort's Dock. At first the oil caused only minor damage; it just made the boat launches slippery. But a few days later, the entire wharf went ablaze. Cotton waste had been floating on the surface of the oil, and molten metal dropped by Mort's Dock employees (who were engaged in some ironworking operations) ignited the cotton. Two ships docked in the wharf were lost (more about them in Wagon Mound No. 2). Mort's Dock itself was also nearly razed to the sea and was never rebuilt.
"A front page newspaper report the next morning in the Sydney Morning Herald offered dramatic stories of people who jumped to safety [and] were rescued at the corner of the dock moments before the flames engulfed the spot where they had been standing... The newspaper reports depict the workers as having been quite fearful of, but resigned to, the oil. "We have been expecting a fire here ... it had to come sooner or later with so much oil about." One worker even overheard another comment, "That oil slick is on fire at last," a few seconds before the whole wharf and ship were an inferno." Saul Levmore, The Wagon Mound Cases: Foreseeability, Causation, and Mrs. Palsgraf, in Torts Stories 136 (Robert L. Rabin & Stephen D. Sugarman eds., 2003).
Wagon Mound No. 1 concerned an application from Mort's Dock for recovery against the Wagon Mound. Overseas Tankship (U.K.) Ltd. v. Mort's Dock & Eng'g Co. ("Wagon Mound No. 1"), [1961] A.C. 388. If one were to apply In re Polemis which was the binding law, then the oil spill directly caused the fire. It occurred in exactly the same location where the spill occurred and followed directly from it. This is precisely why the Supreme Court of New South Wales ruled in favor of Mort's Dock. But on appeal to the Privy Council, the judgement for plaintiff was reversed. At the center of the analysis stood a simple fact: Most witnesses who testified thought heavy oil, like furnace oil, was safe in the open; messy and greasy for sure, but safe nonetheless. It was only the welding work when joined with other circumstances, like the floating cotton waste, the right breeze (not more than 20 miles an hour), and a likely spark from molten metal that produced the damage. Levmore, supra, at 137.
Lord High Chancellor Viscount Simonds, writing for the Privy Council, first addressed In re Polemis, arguing that it would not be "consonant with current ideas of justice or morality" that an "act of negligence, however slight or venial, which results in some trivial foreseeable damage," would still render the actor liable "for all consequences however unforeseeable and however grave, so long as they can be said to be 'direct.'" Id. Turning to the litany of terms and language courts have used to describe the proper scope of liability, Viscount Simonds held:
"a man must be considered to be responsible for the probable consequences of his act. To demand more of him is too harsh a rule, to demand less is to ignore that civilised order requires the observance of a minimum standard of behaviour."
Id. The Privy Council thus rejected the In re Polemis test of direct/indirect as "illogical and unjust." Instead, the Privy Council adopted the test of foreseeability. If the harm was not foreseeable, the defendant will not be liable. Since no one foresaw the fire, Wagon Mound was not liable to the damage from the fire to the wharf. "Had Mort's Dock made a claim for the relatively small damage caused by the mucking oil on its property or because of the suspension of work while the oil's properties were investigated, it might have enjoyed success and thus some compensations. The fire, however, was unforeseeable." Levmore, supra, at 139.
A few years later the two ships in Mort's Dock that were destroyed brought a separate suit against the Wagon Mound. Overseas Tankship (U.K.) Ltd. v. Miller Steamship Co. ("Wagon Mound No. 2"), [1967] 1 A.C. 617. Quite a bold move from the plaintiffs, don't you think, given the decision in Wagon Mound No. 1? Especially when you consider that two of the judges who participated in Wagon Mound No. 1 also sat on the five-member panel in Wagon Mound No. 2. Yet, miraculously, the shipowners won. Applying Wagon Mound No. 1's "reasonable foreseeability" test, Lord Reid stated that:
In the present case the evidence shows that the discharge of so much oil on to the water must have taken a considerable time, and a vigilant ship’s engineer would have noticed the discharge at an early stage. The findings show that he ought to have known that it is possible to ignite this kind of oil on water, and that the ship’s engineer probably ought to have known that this had in fact happened before. The most that can be said to justify inaction is that he would have known that this could only happen in very exceptional circumstances. But that does not mean that a reasonable man would dismiss such a risk from his mind and do nothing when it was so easy to prevent it. If it is clear that the reasonable man would have realised or foreseen and prevented the risk then it must follow that the appellants are liable in damages.
Id. Thus, Lord Reid, who was there for Wagon Mound No. 1, now said the fire was foreseeable. "The results in the two Wagon Mound cases are puzzling and even paradoxical." Levmore, supra, at 141. What accounts for the difference between the two decisions? I will tell you the answer to this question only in class, but for now think about the potential culpability of the Mort's Dock's employees compared to the culpability of the shipowners.
All of this at last brings us to perhaps the most famous case in the universe of tort law, Palsgraf v. Long Island Railroad Company, 162 N.E. 99 (N.Y. 1928), which you will read next.
4.4.3.2 Palsgraf v. Long Island Railroad 4.4.3.2 Palsgraf v. Long Island Railroad
The Train Station Fireworks Case
Helen Palsgraf, Respondent, v. The Long Island Railroad Company, Appellant.
(Argued February 24, 1928;
decided May 29, 1928.)
*340 William McNamara and Joseph F. Keany for appellant.
Matthew W. Wood for respondent.
Cardozo, Ch. J.
Plaintiff was standing on a platform of defendant’s railroad after buying a ticket to go to Rockaway Beach. A train stopped at the station, bound for another place. Two men ran forward to catch it. One of the men reached the platform of the car without mishap, though the train was already moving. The other man, carrying a package, jumped aboard the car, but seemed unsteady as if about to fall. A guard on the car, who had held the door open, reached forward to help *341him in, and another guard on the platform pushed him from behind. In this act, the package was dislodged, and fell upon the rails. It was a package of small size, about fifteen inches long, and was covered by a newspaper.
In fact it contained fireworks, but there was nothing in its appearance to give notice of its contents. The fireworks when they fell exploded. The shock of the explosion threw down some scales at the other end of the platform, many feet away. The scales struck the plaintiff, causing injuries for which she sues.
The conduct of the defendant’s guard, if a wrong in its relation to the holder of the package, was not a wrong in its relation to the plaintiff, standing far away. Relatively , to her it was not negligence at all. Nothing in the situation gave notice that the falling package had in it the potency of peril to persons thus removed. Negligence is not actionable unless it involves the invasion of a legally protected interest, the violation of a right. “Proof of negligence in the air, so to speak, will not do” (Pollock, Torts [11th ed.], p. 455; Martin v. Herzog, 228 N. Y. 164, 170; cf. Salmond, Torts [6th ed.], p. 24). “Negligence is the absence of care, according to the circumstances” (Willes, J., in Vaughan v. Taff Vale Ry. Co., 5 H. & N. 679, 688; 1 Beven, Negligence [4th ed.], 7; Paul v. Consol. Fireworks Co., 212 N. Y. 117; Adams v. Bullock, 227 N. Y. 208, 211; Parrott v. Wells-Fargo Co., 15 Wall. [U. S.] 524). The plaintiff as she stood upon the platform of the station might claim to be protected against intentional invasion of her bodily security. Such invasion is not charged. She might claim to be protected against unintentional invasion by conduct involving in the thought of reasonable men an unreasonable hazard that such invasion would ensue. These, from the point of view of the law, were the bounds of her immunity, with perhaps some rare exceptions, survivals for the most part of ancient forms of liability, where conduct is held to be at the peril of the actor (Sullivan v. Dunham, 161 N. Y. *342(290). If no hazard was apparent to the eye of ordinary vigilance, an act innocent and harmless, at least to outward seeming, with reference to her, did not take to itself the quality of a tort because it happened to be a wrong, though apparently not one involving the risk of bodily insecurity, with reference to some one else. “In every instance, before negligence can be predicated of a given act, back of the act must be sought and found a duty to the individual complaining, the observance of which would have averted or avoided the injury” (McSherry, C. J., in W. Va. Central R. Co. v. State, 96 Md. 652, 666; cf. Norfolk & Western Ry. Co. v. Wood, 99 Va. 156, 158, 159; Hughes v. Boston & Maine R. R. Co., 71 N. H. 279, 284; U. S. Express Co. v. Everest, 72 Kan. 517; Emry v. Roanoke Nav. Co., 111 N. C. 94, 95; Vaughan v. Transit Dev. Co., 222 N. Y. 79; Losee v. Clute, 51 N. Y. 494; DiCaprio v. N. Y. C. R. R. Co., 231 N. Y. 94; 1 Shearman & Redfield on Negligence, § 8, and cases cited; Cooley on Torts [3d ed.], p. 1411; Jaggard on Torts, vol. 2, p. 826; Wharton, Negligence, § 24; Bohlen, Studies in the Law of Torts, p. 601). “The ideas of negligence and duty are strictly correlative” (Bowen, L. J., in Thomas v. Quartermaine, 18 Q. B. D. 685, 694). The plaintiff sues in her own right for a wrong personal to her, and not as the vicarious beneficiary of a breach of duty to another.
A different conclusion will involve us, and swiftly too, in a maze of contradictions. A guard stumbles over a package which has been left upon a platform. It seems to be a bundle of newspapers. It turns out to be a can of dynamite. To the eye of ordinary vigilance, the bundle is abandoned waste, which may be kicked or trod on with impunity. Is a passenger at the other end of the platform protected by the law against the unsuspected hazard concealed beneath the waste? If not, is the result to be any different, so far as the distant passenger is concerned, when the guard stumbles over a valise *343which a truckman or a porter has left upon the walk? The passenger far away, if the victim of a wrong at all, has a cause of action, not derivative, but original and primary. His claim to be protected against invasion of his bodily security is neither greater nor less because the act resulting in the invasion is a wrong to another far removed. In this case, the rights that are said to have been violated, the interests said to have been invaded, are not even of the same order. The man was not injured in his person nor even put in danger. The purpose of the act, as well as its effect, was to make his person safe. If there was a wrong to him at all, which may very well be doubted, it was a wrong to a property interest only, the safety of his package. Out of this wrong to property, which threatened injury to nothing else, there has passed, we are told, to the plaintiff by derivation or succession a right of action for the invasion of an interest of another order, the right to bodily security. The diversity of interests emphasizes the futility of the effort to build the plaintiff’s right upon the basis of a wrong to some one else. The gain is one of emphasis, for a like result would follow if the interests were the same. Even then, the orbit of the danger as disclosed to the eye of reasonable vigilance would be the orbit of the duty. One who jostles one’s neighbor in a crowd does not invade the rights of others standing at the outer fringe when the unintended contact casts a bomb upon the ground. The wrongdoer as to them is the man who carries the bomb, not the one who explodes it without suspicion of the danger. Life will have to be made over, and human nature transformed, before prevision so extravagant can be accepted as the norm of conduct, the customary standard to which behavior must conform.
The argument for the plaintiff is built upon the shifting meanings of such words as “wrong” and “wrongful,” and shares their instability. What the plaintiff must *344show is “a wrong” to herself, i. e., a violation of her own right, and not merely a wrong to some one else, nor conduct “wrongful” because unsocial, but not “a wrong” to any one. We are told that one who drives at reckless speed through a crowded city street is guilty of a negligent act and, therefore, of a wrongful one irrespective of the consequences. Negligent the act is, and wrongful in the sense that it is unsocial, but wrongful and unsocial in relation to other travelers, only because the eye of vigilance perceives the risk of damage. If the same act were to be committed on a speedway or a race course, it would lose its wrongful quality. The risk reasonably to be perceived defines the duty to be obeyed, and risk imports relation; it is risk to another or to others within the range of apprehension (Seavey, Negligence, Subjective or Objective, 41 H. L. Rv. 6; Boronkay v. Robinson & Carpenter, 247 N. Y. 365). This does not mean, of course, that one who launches a destructive force is always relieved of liability if the force, though known to be destructive, pursues an unexpected path. “It was not necessary that the defendant should have had notice of the particular method in which an accident would occur, if the possibility of an accident was clear to the ordinarily prudent eye” (Munsey v. Webb, 231 U. S. 150,156; Condran v. Park & Tilford, 213 N. Y. 341, 345; Robert v. U. S. E. F. Corp., 240 N. Y. 474, 477). Some acts, such as shooting, are so imminently dangerous to any one who may come within reach of the missile, however unexpectedly, as to impose a duty of prevision not far from that of an insurer. Even today, and much oftener in earlier stages of the law, one acts sometimes at one’s peril (Jeremiah Smith, Tort and Absolute Liability, 30 H. L. Rv. 328; Street, Foundations of Legal Liability, vol. 1, pp. 77, 78). Under this head, it may be, fall certain cases of what is known as transferred intent, an act willfully dangerous to A resulting by misadventure in injury to B (Talmage v. Smith, 101 Mich. 370, 374). *345These cases aside, wrong is defined in terms of the natural or probable, at least when unintentional (Parrot v. Wells-Fargo Co. [The Nitro-Glycerine Case], 15 Wall. [U. S.] 524). The range of reasonable apprehension is at times a question for the court, and at times, if varying inferences are possible, a question for the jury. Here, by concession, there was nothing in the situation to suggest to the most cautious mind that the parcel wrapped in newspaper would spread wreckage through the station. If the guard had thrown it down knowingly and willfully, he would not have threatened the plaintiff’s safety, so far as appearances could warn him. His conduct would not have involved, even then, an unreasonable probability of invasion of her bodily security. Liability can be no greater where the act is inadvertent.
Negligence, like risk, is thus a term of relation. Negligence in the abstract, apart from things related, is surely not a tort, if indeed it is understandable at all (Bowen, L. J., in Thomas v. Quartermaine, 18 Q. B. D. 685, 694). Negligence is not a tort unless it results in the commission of a wrong, and the commission of a wrong imports the violation of a right, in this case, we are told, the right to be protected against interference with one’s bodily security. But bodily security is protected, not against all forms of interference or aggression, but only against some. One who seeks redress at law does not make out a cause of action by showing without more that there has been damage to his person. If the harm was not willful, he must show that the act as to him had possibilities of danger so many and apparent as to entitle him to be protected against the doing of it though the harm was unintended. Affront to personality is still the keynote of the wrong. Confirmation of this view will be found in the history and development of the action on the case. Negligence as a basis of civil liability was unknown to mediaeval law (8 Holdsworth, History of English Law, p. 449; Street, Foundations of Legal Liability, vol. 1, *346pp. 189, 190). For damage to the person, the sole remedy was trespass, and trespass did not lie in the absence of aggression, and that direct and personal (Holdsworth, op. cit. p. 453; Street, op. cit. vol. 3, pp. 258, 260, vol. 1, pp. 71, 74.) Liability for other damage, as where a servant without orders from the master does or omits something to the damage of another, is a plant of later growth (Holdsworth, op. cit. 450, 457; Wigmore, Responsibility for Tortious Acts, vol. 3, Essays in Anglo-American Legal History, 520, 523, 526, 533). When it emerged out of the legal soil, it was thought of as a variant of trespass, an offshoot of the parent stock. This appears in the form of action, which was known as trespass on the case (Holdsworth, op. cit. p. 449; cf. Scott v. Shepard, 2 Wm. Black. 892; Green, Rationale of Proximate Cause, p. 19). The victim does not sue derivatively, or by right of subrogation, to vindicate an interest invaded in the person of another. Thus to view his cause of action is to ignore the fundamental difference between tort and crime (Holland, Jurisprudence [12th ed.], p. 328). He sues for breach of a duty owing to himself.
The law of causation, remote or proximate, is thus foreign to the case before us. The question of liability is always anterior to the question of the measure of the consequences that go with liability. If there is no tort to be redressed, there is no occasion to consider what damage might be recovered if there were a finding of a tort. We may assume, without deciding, that negligence, not at large or in the abstract, but in relation to the plaintiff, would entail liability for any and all consequences, however novel or extraordinary (Bird v. St. Paul F. & M. Ins. Co., 224 N. Y. 47, 54; Ehrgott v. Mayor, etc., of N. Y., 96 N. Y. 264; Smith v. London & S. W. Ry. Co., L. R. 6 C. P. 14; 1 Beven, Negligence, 106; Street, op. cit. vol. 1, p. 90; Green, Rationale of Proximate Cause, pp. 88, 118; cf. Matter of Polemis, L. R. 1921, 3 K. B. 560; 44 Law Quarterly Review, 142). There is room for *347argument that a distinction is to be drawn according to the diversity of interests invaded by the act, as where conduct negligent in that it threatens an insignificant invasion of an interest in property results in an unforseeable invasion of an interest of another order, as, e. g., one of bodily security. Perhaps other distinctions may be necessary. We do not go into the question now. The consequences to be followed must first be rooted in a wrong.
The judgment of the Appellate Division and that of the Trial Term should be reversed, and the complaint dismissed, with costs in all courts.
Andrews, J.
(dissenting). Assisting a passenger to board a train, the defendant’s servant negligently knocked a package from his arms. It fell between the platform and the cars. Of its contents the servant knew and could know nothing. A violent explosion followed. The concussion broke some scales standing a considerable distance away. In falling they injured the plaintiff, an intending passenger.
Upon these facts may she recover the damages she has suffered in an action brought against the master? The result we shall reach depends upon our theory as to the nature of negligence. Is it a relative concept — the breach of some duty owing to a particular person or to particular persons? Or where there is an act which unreasonably threatens the safety of others, is the doer liable for all its proximate consequences, even where they result in injury to one who would generally be thought to be outside the radius of danger? This is not a mere dispute as to words. We might not believe that to the average mind the dropping of the bundle would seem to involve the probability of harm to the plaintiff standing many feet away whatever might be the case as to the owner or to one so near as to be likely to be struck by its fall. If, however, we adopt the second hypoth*348esis we have to inquire only as to the relation between cause and effect. We deal in terms of proximate cause, not of negligence.
Negligence may be defined roughly as an act or omission which unreasonably does or may affect the rights of others, or which unreasonably fails to protect oneself from the dangers resulting from such acts. Here I confine myself to the first branch of the definition. Nor do I comment on the word “unreasonable.” For present purposes it sufficiently describes that average of conduct that society requires of its members.
There must be both the act or the omission, and the right. It is the act itself, not the intent of the actor, that is important. (Hover v. Barkhoof, 44 N. Y. 113; Mertz v. Connecticut Co., 217 N. Y. 475.) In criminal law both the intent and the result are to be considered. Intent again is material in tort actions, where punitive damages are sought, dependent on actual malice — not on merely reckless conduct. But here neither insanity nor infancy lessens responsibility. (Williams v. Hays, 143 N. Y. 442.)
As has been said, except in cases of contributory negligence, there must be rights which are or may be affected. Often though injury has occurred, no rights of him who suffers have been touched. A licensee or trespasser upon my land has no claim to affirmative care on my part that the land be made safe. (Meiers v. Koch Brewery, 229 N. Y. 10.) Where a railroad is required to fence its tracks against cattle, no man’s rights are injured should he wander upon the road because such fence is absent. (Di Caprio v. N. Y. C. R. R., 231 N. Y. 94.) An unborn child may not demand immunity from personal harm. (Drobner v. Peters, 232 N. Y. 220.)
But we are told that “there is no negligence unless there is in the particular case a legal duty to take care, and this duty must be one which is owed to the plaintiff *349himself and not merely to others.” (Salmond Torts [6th ed.], 24.) This, I think too narrow a conception. Where there is the unreasonable act, and some right that may be affected there is negligence whether damage does or does not result. That is immaterial. Should we drive down Broadway at a reckless speed, we are negligent whether we strike an approaching car or miss it by an inch. The act itself is wrongful. It is a wrong not only to those who happen to be within the radius of danger but to all who might have been there — a wrong to the public at large. Such is the language of the street. Such the language of the courts when speaking of contributory negligence. Such again and again their language in speaking of the duty of some defendant and discussing proximate cause in cases where such a discussion is wholly irrelevant on any other theory. (Perry v. Rochester Line Co., 219 N. Y. 60.) As was said by Mr. Justice Holmes many years ago, “the measure of the defendant’s duty in determining whether a wrong has been committed is one thing, the measure of liability when a wrong has been committed is another.” (Spade v. Lynn & Boston R. R. Co., 172 Mass. 488.) Due care is a duty imposed on each one of us to protect society from unnecessary danger, not to protect A, B or C alone.
It may well be that there is no such thing as negligence in the abstract. “Proof of negligence in the air, so to speak, will not do.” In an empty world negligence would not exist. It does involve a relationship between man and his fellows. But not merely a relationship between man and those whom he might reasonably expect his act would injure. Rather, a relationship between him and those whom he does in fact injure. If his act has a tendency to harm some one, it harms him a mile away as surely as it does those on the scene. We now permit children to recover for the negligent killing of the father. It was never prevented on the theory that no duty was owing to them. A husband may be compensated for *350the loss of his wife’s services. To say that the wrongdoer was negligent as to the husband as well as to the wife is merely an attempt to fit facts to theory. An insurance company paying a fire loss recovers its payment of the negligent incendiary. We speak of subrogation— of suing in the right of the insured. Behind the cloud of words is the fact they hide, that the act, wrongful as to the insured, has also injured the company. Even if it be true that the fault of father, wife or insured will prevent recovery, it is because we consider the original negligence not the proximate cause of the injury. (Pollock, Torts [12th ed.], 463.)
In the well-known Polemis Case (1921, 3 K. B. 560), Scrutton, L. J., said that the dropping of a plank was negligent for it might injure “workman or cargo or ship.” Because of either possibility the owner of the vessel was to be made good for his loss. The act being wrongful the doer was liable for its proximate results. Criticized and explained as this statement may have been, I think it states the law as it should be and as it is. (Smith v. London & Southwestern Ry. Co., [1870-71] 6 C. P. 14; Anthony v. Staid, 52 Mass. 290; Wood v. Penn. R. R. Co., 177 Penn. St. 306; Trashansky v. Hershkovitz, 239 N. Y. 452.)
The proposition is this. Every one owes to the world at large the duty of refraining from those acts that may unreasonably threaten the safety of others. Such an act occurs. Not only is he wronged to whom harm might reasonably be expected to result, but he also who is in fact injured, even if he be outside what would generally be thought the danger zone. There needs be duty due the one complaining but this is not a duty to a particular individual because as to him harm might be expected. Harm to some one being the natural result of the act, not only that one alone, but all those in fact injured may complain. We have never, I think, held otherwise. Indeed in the Di Caprio case we said that a breach of a *351general ordinance defining the degree of care to be exercised in one’s calling is evidence of negligence as to every one. We did not limit this statement to those who might be expected to be exposed to danger. Unreasonable risk being taken, its consequences are not confined to those who might probably be hurt.
If this be so, we do not have a plaintiff suing by “derivation or succession.” Her action is original and primary. Her claim is for a breach of duty to herself — not that she is subrogated to any right of action of the owner of the parcel or of a passenger standing at the scene of the explosion.
The right to recover damages rests on additional considerations. The plaintiff’s rights must be injured, and this injury must be caused by the negligence. We build a dam, but are negligent as to its foundations. Breaking, it injures property down stream. We are not liable if all this happened because of some reason other than the insecure foundation. But when injuries do result from our unlawful act we are liable for the consequences. It does not matter that they are unusual, unexpected, unforeseen and unforseeable. But there is one limitation. The damages must be so connected with the negligence that the latter may be said to be the proximate cause of the former.
These two words have never been given an inclusive definition. What is a cause in a legal sense, still more what is a proximate cause, depend in each case upon many considerations, as does the existence of negligence itself. Any philosophical doctrine of causation does not help us. A boy throws a stone into a pond. The ripples spread. The water level rises. The history of that pond is altered to all eternity. It will be altered by other causes also. Yet it will be forever the resultant of all causes combined. Each one will have an influence. How great only omniscience can say. You may speak of a chain, or if you please, a net. An analogy is of little aid. *352Each cause brings about future events. Without each the future would not be the same. Each is proximate in the sense it is essential. But that is not what we mean by the word. Nor on the other hand do we mean sole cause. There is no such thing.
Should analogy be thought helpful, however, I prefer that of a stream. The spring, starting on its journey, is joined by tributary after tributary. The river, reaching the ocean, comes from a hundred sources. No man may say whence any drop of water is derived. Yet for a time distinction may be possible. Into the clear creek, brown swamp water flows from the left. Later, from the right comes water stained by its clay bed. The three may remain for a space, sharply divided. But at last, inevitably no trace of separation remains. They are so commingled that all distinction is lost.
As we have said, we cannot trace the effect of an act to the end, if end there is. Again, however, we may trace it part of the way. A murder at Serajevo may be the necessary antecedent to an assassination in London twenty years hence. An overturned lantern may burn all Chicago. We may follow the fire from the shed to the last building. We rightly say the fire started by the lantern caused its destruction.
A cause, but not the proximate cause. What we do mean by the word “proximate” is, that because of convenience, of public policy, of a rough sense of justice, the law arbitrarily declines to trace a series of events beyond a certain point. This is not logic. It is practical politics. Take our rule as to fires. Sparks from my burning haystack set on fire my house and my neighbor’s. I may recover from a negligent railroad. He may not. Yet the wrongful act as directly harmed the one as the other. We may regret that the line was drawn just where it was, but drawn somewhere it had to be. We said the act of the railroad was not the proximate cause of our neighbor’s fire. Cause it surely was. The words we used were *353simply indicative of our notions of public policy. Other courts think differently. But somewhere they reach the point where they cannot say the stream comes from any one source.
Take the illustration given in an unpublished manuscript by a distinguished and helpful writer on the law of torts. A chauffeur negligently collides with another car which is filled with dynamite, although he could not know it. An explosion follows. A, walking on the sidewalk nearby, is killed. B, sitting in a window of a building opposite, is cut by flying glass. C, likewise sitting in a window a block away, is similarly injured. And a further illustration. A nursemaid, ten blocks away, startled by the noise, involuntarily drops a baby from her arms to the walk. We are told that C may not recover while A may. As to B it is a question for court or jury. We will all agree that the baby might not. Because, we are again told, the chauffeur had no reason to believe his conduct involved any risk of injuring either C or the baby. As to them he was not negligent.
But the chauffeur, being negligent in risking the collision, his belief that the scope of the harm he might do would be limited is immaterial. His act unreasonably jeopardized the safety of any one who might be affected by it. C’s injury and that of the baby were directly traceable to the collision. Without that, the injury would not have happened. C had the right to sit in his office, secure from such dangers. The baby was entitled to use the sidewalk with reasonable safety.
The true theory is, it seems to me, that the injury to C, if in truth he is to be denied recovery, and the injury to the baby is that their several injuries were not the proximate result of the negligence. And here not what the chauffeur had reason to believe would be the result of his conduct, but what the prudent would foresee, may have a bearing. May have some bearing, for the prob*354lem of proximate cause is not to be solved by any one consideration.
It is all a question of expediency. There are no fixed rules to govern our judgment. There are simply matters of which we may take account. We have in a somewhat different connection spoken of “the stream of events.” We have asked whether that stream was deflected — whether it was forced into new and unexpected channels. (Donnelly v. Pierey Contracting Co., 222 N. Y. 210). This is rather rhetoric than law. There is in truth little to guide us other than common sense.
There are some hints that may help us. The proximate cause, involved as it may be with many other causes, must be, at the least, something without which the event would not happen. The court must ask itself whether there was a natural and continuous sequence between cause and effect. Was the one a substantial factor in producing the other? Was there a direct connection between them, without too many intervening causes? Is the effect of cause on result not too attentuated? Is the cause likely, in the usual judgment of mankind, to produce the result? Or by the exercise of prudent foresight could the result be foreseen? Is the result too remote from the cause, and here we consider remoteness in time and space. (Bird v. St. Paul F. & M. Ins. Co., 224 N. Y. 47, where we passed upon the construction of a contract — but something was also said on this subject.) Clearly we must so consider, for the greater the distance either in time or space, the more surely do other causes intervene to affect the result. When a lantern is overturned the firing of a shed is a fairly direct consequence. Many things contribute to the spread of the conflagration — the force of the wind, the direction and width of streets, the character of intervening structures, other factors. We draw an uncertain and wavering line, but draw it we must as best we can.
Once again, it is all a question of fair judgment, always *355keeping in mind the fact that we endeavor to make a rule in each case that will be practical and in keeping with the general understanding of mankind.
Here another question must be answered. In the case supposed it is said, and said correctly, that the chauffeur is liable for the direct effect of the explosion although he had no reason to suppose it would follow a collision. “The fact that the injury occurred in a different manner than that which might have been expected does not prevent the chauffeur’s negligence from being in law the cause of the injury.” But the natural results of a negligent act — the results which a prudent man would or should foresee — do have a bearing upon the decision as to proximate cause. We have said so repeatedly. What should be foreseen? No human foresight would suggest that a collision itself might injure one a block away. On the contrary, given an explosion, such a possibility might be reasonably expected. I think the direct connection, the foresight of which the courts speak, assumes prevision of the explosion, for the immediate results of which, at least, the chauffeur is responsible.
It may be said this is unjust. Why? In fairness he should make good every injury flowing from his negligence. Not because of tenderness toward him we say he need not answer for all that follows his wrong. We look back to the catastrophe, the fire kindled by the spark, or the explosion. We trace the consequences — not indefinitely, but to a certain point. And to aid us in fixing that point we ask what might ordinarily be expected to follow the fire or the explosion.
This last suggestion is the factor which must determine the case before us. The act upon which defendant’s liability rests is knocking an apparently harmless package onto the platform. The act was negligent. For its proximate consequences the defendant is liable. If its contents were broken, to the owner; if it fell upon and crushed a passenger’s foot, then to him. If it exploded *356and injured one in the immediate vicinity, to him also as to A in the illustration. Mrs. Palsgraf was standing some distance away. How far cannot be told from the record — apparently twenty-five or thirty feet. Perhaps less. Except for the explosion, she would not have been injured. We are told by the appellant in his brief “it cannot be denied that the explosion was the direct cause of the plaintiff’s injuries.” So it was a substantial factor in producing the result — there was here a natural and continuous sequence — direct connection. The only intervening cause was that instead of blowing her to the ground the concussion smashed the weighing machine which in turn fell upon her. There was no remoteness in time, little in space. And surely, given such an explosion as here it needed no great foresight to predict that the natural result would be to injure one on the platform at no greater distance from its scene than was the plaintiff. Just how no one might be able to predict. Whether by flying fragments, by broken glass, by wreckage of machines or structures no one could say. But injury in some form was most probable.
Under these circumstances I cannot say as a matter of law that the plaintiff’s injuries were not the proximate result of the negligence. That is all we have before us. The court refused to so charge. No request was made to submit the matter to the jury as a question of fact, even would that have been proper upon the record before us.
The judgment appealed from should be affirmed, with costs.
Pound, Lehman and Kellogg, JJ., concur with Cardozo, Ch. J.; Andrews, J., dissents in opinion in which Crane and O’Brien, JJ., concur.
Judgment reversed, etc.
4.4.3.3 Questions and Notes on Palsgraf 4.4.3.3 Questions and Notes on Palsgraf
Image found on Tree and Neighbor Law for Homeowners and Professionals Blog (Aug. 31, 2023), and used under fair use principles, see https://treeandneighborlawblog.com/tag/palsgraf/.
Fun Fact
Andrew McClurg, Emeritus Professor of Law at the University of Memphis School of Law, wrote a humorous fan fiction detailing a conversation between Judges Cardozo and Andrews ahead of the Palsgraf decision. I will read a portion of that fictional exchange in class. The full piece can be found here: Andrew J. McClurg, Palsgraf Uncovered, Harmless Error (Nov. 25, 2011), https://lawhaha.com/palsgraf-uncovered/. Moving from fiction to reality, it is worth noting that there are some uncertainties about what the facts of the Palsgraf incident really were. See Robert L. Rabin & Stephen D. Sugarman, Introduction, in Torts Stories 3–6 (Rabin & Sugarman eds., 2003) (sharing some new insights about the facts of the case from a study of the trial record, the briefs, and external news accounts of the event).
Guiding Questions
- How does Judge Cardozo define the concept of duty in tort law, and how does this influence his conclusion about the railroad’s liability?
- What is the role of foreseeability in both Judge Cardozo’s and Judge Andrews’ opinions, and how does it shape their views on causation and liability?
- How does Judge Andrews’ dissent differ from Judge Cardozo’s opinion in terms of how he views the relationship between causation and duty?
- Which of the two judges' positions is more persuasive to you, why?
Test Your Knowledge
A delivery truck driver negligently speeds through a neighborhood, causing a pedestrian to jump out of the way and drop a bag of groceries. The bag rolls into the street, where it is hit by another car, causing the car to swerve and crash into a fire hydrant. The water from the hydrant floods a nearby basement, causing significant property damage. The property owner sues the delivery truck company for the damage to their basement. Will the property owner likely win?
- No, because the damage to the basement was not a foreseeable result of the delivery truck driver's speeding.
- No, because the driver was not aiming to cause harm to anyone's property.
- Yes, because the delivery truck driver's negligence set off a chain of events that led to the basement flooding.
- Yes, because the flood would not have happened but for the delivery truck driver's speeding.
Notes and Further Cases
- Proximate cause and spreading fires. In tort law, the concept of proximate cause in cases involving fires has been applied differently across jurisdictions and throughout the ages, with courts and legislatures drawing varying lines to limit liability for negligent fire-starters. Some courts have held defendants liable only for damage to the first building or piece of property affected, while others have extended liability to the first adjoining landowner, or even to nonadjacent landowners within a certain radius. In Atchison, T. & S.F.R. Co. v. Stanford, 12 Kan. 354 (1874), the Kansas Supreme Court held a railroad company responsible for damage to a farm located nearly four miles away after a fire that started negligently near the railroad tracks spread and eventually reached the plaintiff's property. This ruling may have been shaped by the specific conditions controlling in Kansas at the time, including the widespread presence of uninsured grain lands and the community's generally critical view of railroads, which contrasted with the attitudes in more industrialized states like New York. This case highlights a key strength of the common law system within a federal framework: It allows each state to establish liability standards that reflect its own unique needs and circumstances. However, this flexibility also presents a significant challenge, as it can lead to a lack of uniformity, where a defendant might be held liable in one jurisdiction for actions that would not incur liability in another.
- Foreseeability as to the result or how it comes about? In Colonial Inn Motor Lodge, Inc. v. Gay, 680 N.E.2d 407 (Ill. App. Ct. 1997), the defendant, Greg Gay, accidentally backed his vehicle into the Colonial Inn Motor Lodge's building. This collision damaged a heating unit, which in turn severed a gas line, leading to an explosion that caused extensive damage to the property. The central legal issue was whether the explosion and subsequent property damage were reasonably foreseeable as a result of Gay's initial negligent act of hitting the building with his vehicle. The court ruled that Gay may be liable, returning the case to the jury, and emphasized that foreseeability relates to the type of damage that occurred, not necessarily the specific manner in which the damage was brought about.
- Unforeseeable Consequences from Latent Conditions. Recall Vosburg v. Putney, the canonical "schoolboy kick" case, which gave early expression to what is now doctrinally understood as the eggshell skull rule. This rule extends to negligence claims. According to the Restatement (Third) of Torts: Liability for Physical and Emotional Harm § 31 (2010), a tortfeasor bears full liability for all harm that results, even where the harm is exacerbated by the plaintiff’s preexisting latent condition. While courts generally agree that liability extends to physical vulnerabilities, such as brittle bones or hemophilia, jurisdictions diverge when the preexisting condition is psychological. Several courts have resisted extending the eggshell rule to latent mental conditions—sometimes referred to, albeit controversially, as the “eggshell psyche” doctrine.
- Consider Munn v. Algee, 924 F.2d 568, 576 (5th Cir. 1991), applying Mississippi law. There, a plaintiff died after refusing a post-accident blood transfusion for religious reasons. The court denied recovery, declining to treat the religious conviction as a compensable mental condition within the scope of the eggshell rule.
- Similarly, in Ragin v. Harry Macklowe Real Estate Co., 6 F.3d 898 (2d Cir. 1993), the court declined to award emotional distress damages tied to the plaintiffs’ prior experiences of racial discrimination, reasoning that such past trauma could not serve as a basis for enhanced liability under a strict application of the eggshell doctrine.
- Testing out foreseeability cases. Consider the following cases.
- In In re September 11 Litigation, 280 F.Supp.2d 279 (S.D.N.Y., 2003), the court addressed the issue of foreseeability in the context of the 9/11 terrorist attacks. The litigation involved claims by families of the victims against various parties, including airlines and airport security companies, alleging negligence in failing to prevent the attacks. The court held that while the attacks themselves were not specifically foreseeable, the general risk of a hijacking was foreseeable, and thus the defendants could potentially be held liable: "While it may be true that terrorists had not before deliberately flown airplanes into buildings, the airlines reasonably could foresee that crashes causing death and destruction on the ground was a hazard that would arise should hijackers take control of a plane." Id. at 296.
- Crankshaw v. Piedmont Driving Club, Inc., 156 S.E.2d 208 (Ga. Ct. App. 1967). Elizabeth Crankshaw sued the Piedmont Driving Club after she slipped on vomit left by her companion who became ill from eating foul-smelling shrimp served by the club. The court upheld the dismissal of the case, ruling that the club's negligence in serving the shrimp was not the proximate cause of Crankshaw's injury. The Court reasoned that the "serving of unwholesome food" may produce the damage of someone falling ill, but breaking a hip from a fall is a damage "too remote to be the basis of recovery" since it is not "the legal and natural result of the act done." Id. at 209–10.
- Lewis v. Kehoe Academy, 346 So. 2d 289 (La. Ct. App. 1977). Wesley and Rosa Lewis sought damages from Kehoe Academy, a day camp, after their niece was removed from their custody by the State of Louisiana. The child had ingested rat poison while at the camp, and this caused her to develop severe bruising. When the state saw the bruises, they initiated a neglect proceeding and removed the child from the Lewises' home. The Lewises claimed mental suffering and loss of love and affection due to the state's action. The court held that the day camp's duty to prevent the ingestion of rat poison did not extend to the risk that the ingestion might cause exaggerated bruising leading to a mistaken finding of neglect by the state and removal proceedings. Thus, the court affirmed the dismissal of the Lewises' claims, finding no proximate cause between the camp's alleged negligence and the harm suffered by the plaintiffs.
- Virden v. Betts & Beer Constr. Co., 656 N.W.2d 805 (Iowa 2003). The plaintiff, a high school maintenance worker, was injured when he fell from a ladder while attempting to reinstall an angle iron that had been improperly welded by the defendant contractor during the construction of a new wrestling room. The plaintiff sued the contractor, claiming that their negligence in welding the angle iron created a dangerous condition. The North Dakota Supreme Court held that while the defendant contractor may have risked injury to foreseeable occupants of the wrestling room if the angle iron fell, the contractor was not liable for the plaintiff's injuries.
4.4.4 Advanced Causation Issues 4.4.4 Advanced Causation Issues
4.4.4.1 Intervening and Superseding Causes 4.4.4.1 Intervening and Superseding Causes
4.4.4.1.1 United Novelty Co. v. Daniels 4.4.4.1.1 United Novelty Co. v. Daniels
The Flaming Rat Case
Supreme Court of Mississippi, en banc
42 So. 2d 395
1949-10-24
Alexander, J.
The decisive principles here involved are, while important, not novel. Appellees include the members of the family of William Daniels, a minor aged nineteen years, who was fatally burned while cleaning coinoperated machines as an employee of appellant.
The work was being performed in a room eight by ten feet in area, in which there was a gas heater then lighted with an open flame. The cleaning was being done with gasolene. The testimony yields the unique circumstance that the immediate activating cause of a resultant explosion was the escape of a rat from the machine, and its disappointing attempt to seek sanctuary beneath the heater whereat it overexposed itself and its impregnated coat, and returned in haste and flames to its original hideout. Even though such be a fact, it is not a controlling fact, and serves chiefly to ratify the conclusion that the room was permeated with gasolene vapors. Negligence would be predicated of the juxtaposition of the gasolene and the open flame. Under similar circumstances, the particular detonating agency, whether, as here, an animate version of the classic lighted squib, or as in Johnson v. Kosmos Portland Cement Co., 6 Cir., 64 F.2d 193, a bolt of lightning, was incidental except as illustrating the range of foreseeability. 38 Am.Jur., Negligence, Secs. 60, 62, 65. Richards v. Kansas Electric Power Co., 126 Kan. 521, 268 P. 847; Whitaker v. Pitcairn, 351 Mo. 848, 174 S.W.2d 163. Compare Cumberland Tel. & Tel. Company v. Woodham, 99 Miss. 318, 54 So. 890.
It is argued that the deceased disobeyed instructions in using gasolene. Without discussing the efficacy of such contention as a complete bar, the record fails to show that any such orders were ever given the deceased. The insistent and consistent testimony of defendants’ witnesses that there were repeated admonitions to employees not to use gasolene is more relevant to the foreseeability, even expectancy, of defendant that resort would be made to this cleaning agency, than to the fact of disobedience, since there is no showing that deceased himself was warned.
Negligence and disobedience of a servant are not excluded from the outreach of a master’s duty to foresee probable conduct. The duty of the master is not met by the adoption of rules for safety, but includes a duty reasonably to enforce them. Walters v. Stonewall Cotton Mills, 136 Miss. 361, 101 So. 495; Loper v. Yazoo & M. V. R. Company, 166 Miss. 79, 145 So. 743; Albert v. Doullut & Ewin, 180 Miss. 626, 178 So. 312; Southern Package Corporation v. Mitchell, 5 Cir., 109 F.2d 609.
We do not set out the instructions complained of as given or refused. Those refused the defendant either were peremptory in character or invoked the doctrine of assumption of risk. An instruction for plaintiff which postulates the issue of negligence vel non upon acts set forth in the declaration and supported by the testimony is proper. McDonough Motor Express, Inc., v. Spiers, 180 Miss. 78, 176 So. 723, 725, 177 So. 655. It is not to be condemned as unduly emphasizing testimony nor as comment upon the weight of evidence, but is to be commended as ‘[informing] the jury what was necessary to make out the case stated in the declaration.’ Other instructions requested by defendant and refused excluded the concept of the master’s duty as nondelegable.
We have examined the other assignments and found in them no reversible error.
Affirmed.
4.4.4.1.2 Questions and Notes on United Novelty 4.4.4.1.2 Questions and Notes on United Novelty
Fun Fact
There is an entire museum dedicated to torts: the American Museum of Tort Law in Winstead, Connecticut. At the museum's grand opening in 2015, one of its featured exhibits was the "Flaming Rat" Case we just read. The museum set up a display depicting the case (safely), and the gift shop sold T-shirts emblazoned with a rat on fire. The T-shirts sold "briskly," according to a New Yorker piece on the museum. David Shapiro, Ralph Nader's Tort Museum, New Yorker (Sept. 28, 2015), https://www.newyorker.com/culture/culture-desk/ralph-naders-tort-museum.
Guiding Questions
- How many possible factual causes exist for Mr. Daniels' death?
- Was the rat (and its actions) reasonably foreseeable? Was the explosion? What does Justice Alexander conclude? Do you agree?
Test Your Knowledge
A landscaping contractor negligently failed to place warning signs or barriers around an open trench it had excavated across a heavily trafficked public park walkway. That evening, Marcus, a parkgoer, tripped in the unmarked trench, struck his head, and lost consciousness. He remained motionless, lying across the path. Several minutes later, Dana, another parkgoer jogging with noise-canceling headphones, failed to notice Marcus’s body and tripped over him, suffering a fractured wrist. Dana brings a negligence action against the landscaping company. The company argues that Marcus’s continued presence on the walkway constituted a superseding cause, breaking the causal chain. How should the court rule?
- No liability, because Marcus’s unconscious body constituted an independent superseding act.
- No liability, because Dana’s contributed to her own damages with her inattentiveness.
- Liability, because Marcus’s loss of consciousness was within the class of risks foreseeably generated by the company’s initial negligence.
- Liability, because open trenches are inherently dangerous triggering the company's strict liability.
Notes and Further Cases
- Other cases involving intervening or superseding causes. Consider the following fact patterns:
- Quirke v. City of Harvey, 639 N.E.2d 1355 (Ill. App. Ct. 1994). A man is fired from his job at an electric company. In protest, he climbs to the top of a power pole that evening and threatens to electrocute himself. His antics draw a crowd, as well as the police, and a standoff ensues. Three hours later the police chief orders the electric company to shut off the power so that the man cannot carry out his threat. The company does so. An hour later, on the other side of the city, plaintiff is involved in a car crash at an intersection. He was a passenger in the car, and he and his driver were returning from a concert. His driver would later testify that he "wasn't quite up on the rules of the road"; the stoplights at the intersection were out because the company had turned off the power grid. The plaintiff sues his driver, the other driver, the city police, the power company, and the man at the top of the power pole. What is the proximate cause of the plaintiff's injury?
- Weirum v. RKO Gen., Inc., 539 P.2d 36 (Cal. 1975). A local radio station with a large teenage audience holds a live contest: Radio DJ "The Real Don Steele" will drive around Los Angeles in a bright red car. The first person to physically locate him wins a cash prize and gets an on-air interview with DJ Steele. In the ensuing chaos, two teenagers in separate cars race on the freeway at speeds exceeding 80mph in an attempt to catch the Steele mobile. The DJ's car takes the off-ramp, and the teenagers' cars immediately follow. The lead car forces plaintiff's car into the center median; plaintiff's car overturns, and the plaintiff is killed. Suppose the plaintiff's estate sues both drivers, DJ Steele, and the radio station. What is the proximate cause of the plaintiff's injury?
- Bowman v. Columbia Tel. Co., 179 A.2d 197 (Pa. 1962). A man is driving to work at 5:45 in the morning. A light snow is falling, and five inches of it coat the ground from the night before. Suddenly the man hears what he thinks is a "clap of thunder." Id. at 198. The next sensation of which he is aware is the roof of his car disappearing, "together with his hat and eyeglasses." Id. When the prodigious crashing of glass and metal subsides, the man stands up—since his roof is gone—climbs onto the hood of the car, and slides down into the snow. It turns out that a series of 40-foot-tall telephone poles, which the defendant negligently failed to inspect for almost 15 years, had fallen on the man's car, severely injuring him and totaling his car. The man argues the defendant's lack of inspections is the proximate cause of his injuries, and the defendant counters that the snowfall—an "act of God"—is the proximate cause. Who is right?
4.4.4.1.3 Derdiarian v. Felix Contracting Corp. 4.4.4.1.3 Derdiarian v. Felix Contracting Corp.
The Crashed-into-a-Kettle Case
Harold Derdiarian et al., Respondents, v Felix Contracting Corp., Appellant, and Consolidated Edison Company of New York, Inc., Respondent, et al., Defendants. (And a Third-Party Action.)
Argued October 14, 1980;
decided November 20, 1980
*310POINTS OF COUNSEL
Harold Lee Schwab and Steven B. Prystowsky for appellant.
I. As a matter of law there was no proximate causal connection between Felix’ excavation work and the occurrence of this freakish accident. (Sheehan v City of New York, 40 NY2d 496; Margolin v Friedman, 43 NY2d 982; Rivera v City of New York, 11 NY2d 856; Bolsenbroek v Tully & Di Napoli, 12 AD2d 376, 10 NY2d 960; People v Eckert, 2 NY2d 126; Golembe v Blumberg, 262 App Div 759; Williams v State of New York, 308 NY 548; Ventricelli v Kinney System Rent A Car, 59 AD2d 869, 45 NY2d 950; Martinez v Lazaroff, 48 NY2d 819; Pagan v Goldberger, 51 AD2d 508.) II. Assuming Felix breached a duty owed to plaintiff, the veering out of control of an automobile driven by an epileptic and his striking a hot kettle of énamel positioned by plaintiff was unforeseeable. (Polemenakos v Cohn, 234 App Div 563, 260 NY 524; Cartee v Saks Fifth Ave., 277 App Div 606, 303 NY 832; Hubbell v City of Yonkers, 104 NY 434.) III. The trial court committed prejudicial error in instructing the jury to consider the ordinances of the City of Mount Vernon as bearing on the duty owed by Felix to plaintiff. (Sarconi v One Hundred & Twenty-two West Twenty-sixth St. Corp., 241 NY 340; Clohessy v Felle, 36 AD2d 757; Hartford Acc. & Ind. Co. v Buchanan, 200 App Div 235; Burd v Bleischer, 208 App Div 499.) IV. The trial court erred in granting Con Edison’s cross claim against Felix. (Hogeland v Sibley, Lindsay & Curr Co., 42 NY2d 153; Margolin v New York Life Ins. Co., 32 NY2d 149; Inman v Binghamton Housing Auth., 3 NY2d 137.)
Joseph J. Klem and Ernest J. Williams for Consolidated Edison Company of New York, Inc., respondent.
I. As a matter of law, Harold Derdiarian failed to establish that any conduct on the part of Felix and Con Edison caused the accident. II. The act of James Dickens was an intervening and superseding act to be decided by the court as a matter of law. III. The ordinances of the City of Mount Vernon are not applicable in this case and it was prejudicial error for the court to instruct a jury to consider them as bearing on the duty owed by defendants. IV. The contract between Felix and Con Edison *311provides that Felix will indemnify Con Edison and save it harmless from all liability arising from injury to person or property occasioned wholly or in part by any act or omission of Felix. Thus Con Edison is not barred from seeking indemnification against Felix even though Con Edison has been guilty of active negligence. (Lopez v Consolidated Edison Co. of N. Y., 40 NY2d 605; Carollo v Consolidated Edison Co. of N. Y., 57 AD2d 853; Consentino v Consolidated Edison Co. of N. Y., 62 AD2d 1028; Sobel v City of New York, 9 AD2d 271, 9 NY2d 187; Bundy v City of New York, 18 AD2d 799, 13 NY2d 1181; Kurek v Port Chester Housing Auth., 18 NY2d 450; Levine v Shell Oil Co., 28 NY2d 205.)
Edwin N. Weidman and Norman E. Frowley for Harold Derdiarian and another, respondents.
I. Substantial evidence established that the negligence of Felix Contracting Corp. and Consolidated Edison Company of New York, Inc., was a proximate concurrent cause of the, injuries sustained. (Williams v State of New York, 308 NY 548; Rivera v City of New York, 10 AD2d 72, 13 AD2d 941, 11 NY2d 856; Hoggard v Otis Elevator Co., 52 Misc 2d 704, 28 AD2d 1207; Boerio v Haiss Motor Trucking Co., 7 AD2d 228; Saugerties Bank v Delaware & Hudson Co., 236 NY 425; O’Neill v City of Port Jervis, 253 NY 423; Pagan v Goldberger, 51 AD2d 508; Foley v State of New York, 265 App Div 682; Joyce v Rumsey Realty Corp., 17 NY2d 118; Broderick v Cauldwell-Wingate Co., 301 NY 182.) II. The occurrence of an out of control vehicle being reasonably foreseeable by defendant was not a superseding cause: rather, it was a concurrent cause of the accident herein. (Sheehan v City of New York, 40 NY2d 496; Lopes v Adams, 37 AD2d 610, 30 NY2d 499.) III. The dissent’s approach to proximate causation is incorrect. (Palsgraf v Long Is. R. R. Co., 248 NY 339; De George v City of New York, 51 AD2d 991; Rivera v City of New York, 11 NY2d 856; Williams v State of New York, 308 NY 548; Laible v New York Cent. & Hudson Riv. R. R. Co., 162 NY 621; Hoggard v Otis Elevator Co., 52 Misc 2d 704, 28 AD2d 1207; Boerio v Haiss Motor Trucking Co., 7 AD2d 228; Ward v State of New York, 81 Misc 2d 583; Daas v Pearson, 66 Misc 2d 95; Vinogradov v Clicquot Club Co., 55 AD2d 489.) IV. The court properly charged that any violation by Felix of the ordinances and regulations of the City of Mount Vernon pertaining to excavations and traffic safety, which Felix had agreed to comply with by contract, was some evidence of negligence. (Schneider v Carnegie Hall *312 Corp., 54 AD2d 897; Nielsen v City of New York, 38 AD2d 592; Peckham v State of New York, 54 AD2d 599; Sarconi v One Hundred & Twenty-two West Twenty-sixth St. Corp., 241 NY 340.)
OPINION OF THE COURT
The operator of a motor vehicle, who failed timely to ingest a dosage of medication, suffered an epileptic seizure and his vehicle careened into an excavation site where a gas main was being installed beneath the street surface. The automobile crashed through a single wooden horse-type barricade put in place by the contractor and struck an employee of a subcontractor, who was propelled into the air. Upon landing the employee was splattered by boiling liquid enamel from a kettle also struck by the vehicl'e. Principally at issue on this appeal is whether plaintiffs, the employee and his wife, failed to establish as a matter of law that the contractor’s inadequate safety precautions on the work site were the proximate cause of the accident.
Supreme Court, Queens County, rendered an order, upon a jury verdict, in favor of plaintiffs on the issue of liability. The Appellate Division, with one dissent, affirmed, and granted defendant Felix Contracting Corporation leave to appeal to this court upon a certified question.
The order of the Appellate Division should be affirmed. As a general rule, the question of proximate cause is to be decided by the finder of fact, aided by appropriate instructions. There is no basis on this record for concluding, as a matter of law, that a superseding cause or other factor intervened to break the nexus between defendant’s negligence and plaintiff’s injury.
During the fall of 1973 defendant Felix Contracting Corporation was performing a contract to install an underground gas main in the City of Mount Vernon for defendant Con Edison.1 Bayside Pipe Coaters, plaintiff Harold Derdiarian’s employer, was engaged as a subcontractor to seal the gas main.
*313On the afternoon of November 21, 1973, defendant James Dickens suffered an epileptic seizure and lost consciousness, allowing his vehicle to careen into the work site and strike plaintiff with such force as to throw him into the air. When plaintiff landed, he was splattered over his face, head and body with 400 degree boiling hot liquid enamel from a kettle struck by the automobile. The enamel was used in connection with sealing the gas main. Although plaintiff’s body ignited into a fire ball, he miraculously survived the incident.
At trial, plaintiff’s theory was that defendant Felix had negligently failed to take adequate measures to insure the safety of workers on the excavation site. Plaintiff’s evidence indicates that the accident occurred on Oak Street, a two-lane, east-west roadway. The excavation was located in the eastbound lane, and ran from approximately one foot south of the center line to within 2 or 3 feet of the curb. When plaintiff arrived on the site, he was instructed by Felix’ foreman to park his truck on the west side of the excavation, parallel to the curb. As a result, there was a gap of some IVi feet between the side of the truck and the curb line. Derdiarian testified that he made a request to park his truck on the east side of the hole, so he could set up the kettle away from the oncoming eastbound traffic. The Felix foreman instructed him to leave his truck where it was, and plaintiff then put the kettle near the curb, on the west side of the excavation.
James Dickens was driving eastbound on Oak Street when he suffered a seizure and lost consciousness. Dickens was under treatment for epilepsy and had neglected to take his medication at the proper time. His car crashed through a single wooden horse-type barricade that was set up on the west side of the excavation site. As it passed through the site, the vehicle struck the kettle containing the enamel, as well as the plaintiff, resulting in plaintiff’s injuries.
To support his claim of an unsafe work site, plaintiff called as a witness Lawrence Lawton, an expert in traffic safety. According to Lawton, the usual and accepted method of safeguarding the workers is to erect a barrier around the excavation. Such a barrier, consisting of a truck, a piece of heavy equipment or a pile of dirt, would keep a car out of the excavation and protect workers from oncoming traffic. The expert testified that the barrier should cover the entire width of the excavation. He also stated that there should have been two flagmen present, rather than one, and that warning signs *314should have been posted advising motorists that there was only one lane of traffic and that there was a flagman ahead.
Following receipt of the evidence, the trial court charged the jury, among other things, that it could consider, as some evidence of negligence, the violation of a Mount Vernon ordinance. The ordinance imposed upon a construction "permittee” certain safety duties.2 The court charged that Con Ed was the permittee "and by contract Felix assumed any obligations under this ordinance that Con Ed had.” Felix objected to "the Court charging that by contract Felix assumed any obligation under the ordinance that Consolidated Edison had.” The jury found for plaintiff, apportioning liability at 55% for Felix, 35% for Dickens and 10% for Con Ed. Defendant Felix now argues that plaintiff was injured in a freakish accident, brought about solely by defendant Dickens’ negligence, and therefore there was no causal link, as a matter of law, between Felix’ breach of duty and plaintiff’s injuries.3
The concept of proximate cause, or more appropriately legal cause, has proven to be an elusive one, incapable of being precisely defined to cover all situations (see, e.g., Pagan v Goldberger, 51 AD2d 508, 509 [Hopkins, Acting P. J.]; Prosser, Law of Torts [4th ed], § 42, p 249; see, also, 1 Shearman & Redfield, Negligence, § 35). This is, in part, because the concept stems from policy considerations that serve to place manageable limits upon the liability that flows from negligent conduct (e.g., Ventricelli v Kinney System Rent A Car, 45 NY2d 950, 952; Palsgraf v Long Is. R. R. Co., 248 NY 339, 352 [Andrews, J., dissenting]). Depending upon the nature of the case, a variety of factors may be relevant in assessing legal *315cause. Given the unique nature of the inquiry in each case, it is for the finder of fact to determine legal cause, once the court has been satisfied that a prima facie case has been established (see, e.g., Nallan v Helmsley-Spear, Inc., 50 NY2d 507, 520, 521; Sheehan v City of New York, 40 NY2d 496, 502, 503; Kingsland v Erie County Agric. Soc., 298 NY 409, 424, 427). To carry the burden of proving a prima facie case, the plaintiff must generally show that the defendant’s negligence was a substantial cause of the events which produced the injury (Nallan v Helmsley-Spear, Inc., supra, at p 520; Restatement, Torts 2d, § 431). Plaintiff need not demonstrate, however, that the precise manner in which the accident happened, or the extent of injuries, was foreseeable (Restatemeirij Torts 2d, § 435, subd 2).
h h-ere the acts of a third person intervene between the defendant’s conduct and the plaintiff’s injury, the causal connection is not automatically severed. In such a case, liability turns upon whether the intervening act is a normal or foreseeable consequence of the situation created Sbj( the defendant’s negligence (see Parvi v City of Kingston, 41 NY2d 553, 560; Restatement, Torts 449; Prosser, Law of Torts, § 44). If the intervening act i, extraordinary under the circumstances, not foreseeable in tu normal course of events, or independent of or far removed rom the defendant’s it may well be a superseding act which breaks the causal nexus (see, e.g., Martinez v Lazaroff, 48 NY2d 819, 820; Ventricelli v Kinney System Rent A Car, 45 NY2d 950, 952, supra; Rivera v City of New York, 11 NY2d 856). Because questions concerning what is foreseeable and what is normal may be the subject of varying inferences, as is the question of negligence itself, these issues generally are for the fact finder to resolve.
There are certain instances, tb be sure, where only one conclusion may be drawn from* the established facts and where the question of legal cause ’(nay be decided as a matter of law. Those cases generally involve independent intervening acts which operate upon but d J not flow from the original negligence. Thus, for instance, we have held that where an automobile lessor negligently supplies a car with a defective trunk lid, it is not liable to the lessee who, while stopped to repair the tiunk, was injured by the negligent driving of a third party (Ventricelli v Kinney System Rent A Car, supra). Although the renter’s negligence undoubtedly served to place *316the injured, party at the site of the accident, the intervening act was divorced from and not the foreseeable risk associated with the original negligence. And the injuries were different in kind than those which would have normally been expected from a defective trunk. In short, the negligence of the renter merely furnished the occasion for an unrelated act to cause injuries not ordinarily anticipated (see, also, Martinez v Lazaroff, supra).
By contrast, in the present case, we cannot say as a matter of law that defendant Dickens’ negligence was a superseding cause which interrupted the link between Felix’ negligence and plaintiff’s injuries. From the evidence in the record, the jury could have found that Felix negligently failed to-safeguard the excavation site. A prime hazard associated witih such dereliction is the possibility that a driver will negligently enter the work site and cause injury to a worker. That the driver was negligent, or even reckless, does not insulate Felix from liability (see Lopes v Adams, 30 NY2d 499, affg 37 AD2d 610; Restatement, Torts 2d, § 449). Nw is it decisive that the driver lost control of' the vehicle through a negligent failure to take medication, rather”"tlm^axlriving' mistake (see, e.g., Lopes v Adams, supra). The praise manner of the event need ^not be anticipated. The findr °f fact could have concluded that-the foreseeable, normal and natural result of the risk created by Felix was the injury of a worker by a car entering the improperly protected work area. An intervening act may not serve as a superseding cause, and relieve an actor of responsibility, where the risk of the intervening act occurring is the very same risk which renders the actor negligent.
In a similar vein, plaintiff’s act of placing the kettle on the west side of the excavation does not, as a matter of law, absolve defendant Felix of responsibility.4 Serious injury, or even death, was a foreseeable consequence of a vehicle crashing through the work area.; The injury could have occurred in numerous ways, ranging fifom a worker being directly struck by the car to the car hitting- an object that injures the worker. Placement of the kettle, or &ny object in the work area, could affect how the accident occurs and the extent of injuries. That defendant could not anticipate the precise manner of the *317accident or the exact extent of injuries, however, does not preclude liability as a matter of law where the general risk and character of injuries are foreseeable.
Felix also urges that the trial court erred in charging the jury that a violation of the Mount Vernon ordinance could be considered as some evidence of negligence. According to Felix, the ordinance was designed to protect the general public and created no duty to workers on the site. Whatever the merit of his contention, it is beyond our review, for Felix failed to raise it before the trial court. The only objection to this charge related to Felix’ argument that it had not contractually assumed any duty imposed by the ordinance upon Con Ed.
Finally, we perceive no error in the conclusion that Felix is contractually obligated to indemnify Con Ed, even though Con Ed itself was found to be negligent (see, e.g., Margolin v New York Life Ins. Co., 32 NY2d 149).
For the foregoing reasons, the order of the Appellate Division should be affirmed, v/ith costs. The certified question is answered in the affirmative.
Judges Jasen, Gabrielli, Jones, Wachtler and Meyer concur; Judge Fuchsberg taking no part.
Order affirmed, etc.
4.4.4.1.4 Questions and Notes on Derdiarian 4.4.4.1.4 Questions and Notes on Derdiarian
Fun Fact
According to the New York Daily News, Harold Derdiarian ended up receiving $2 million in compensation for his injuries. His injuries included loss of his ears, loss of part of his nose, loss of all fingers on his right hand, and other serious damage to his left hand. See William Butler, Gets 2M in '73 Accident, N.Y. Daily News (Jan. 8, 1981), https://www.newspapers.com/article/daily-news/38257990/.
Guiding Questions
- Whose conduct is at issue in this opinion? That of Mr. Derdiarian's employer, the subcontractor? That of the contractor? Or that of the driver of the car? Why would Mr. Derdiarian have brought this particular claim?
- According to Chief Judge Cooke, what sort of act does it take to "sever" the causal connection between the defendant's conduct and the plaintiff's injury?
- If the connection is severed, the defendant will not be found liable. Why? What part of a negligence suit, in that instance, has the plaintiff failed to prove?
Test Your Knowledge
A delivery company negligently left a large crate on a busy city sidewalk without warning signs or barriers. That evening, Dana, a passerby, noticed the crate and decided to climb on top of it with a pogo stick to film a TikTok challenge. While Dana was jumping up and down on the crate—holding her pogo stick in one hand and her phone in the other—Nick, who had just robbed a nearby convenience store, was sprinting away from the scene. Weaving erratically through pedestrians, he slammed into the crate at full speed, knocking Dana off and causing her to fall. Her phone flew out of her hand and broke. Dana sues the delivery company for negligence for the damage to her phone. How is the court likely to rule?
- The delivery company is liable because it created a dangerous condition on a public walkway.
- The delivery company is liable because it was foreseeable someone might get on top of or bump into the crate.
- The company is not liable because Nick’s criminal flight was an unforeseeable, superseding cause.
- The company is not liable because it owed no duty of care to Dana.
Notes and Further Cases
- Other examples of intervening- or superseding-cause cases.
- The Sick Hamster Case. Mrs. Magee sues PetSmart for the death of her late husband following his liver transplant. She contends that the liver was contaminated with lymphocytic choriomeningitis virus (LCMV) because PetSmart sold a hamster infected with LCMV to the organ donor, who then contracted LCMV and delivered it to her husband through the donation. Is PetSmart's sale of the hamster the proximate cause of the widow's suffering? Magee v. PetSmart, Inc., 1:08-cv-10582 (D. Mass. 2008) (unknown; case settled).
- The Prison Break Case. The State of New York negligently posts just one security guard in a maximum-security ward in a state prison. An inmate named Jack Proper promptly escapes. Jack is a known and dangerous criminal with a history of violence who requires intensive psychiatric care. Some three hours later Jack finds a car with its keys in the ignition, steals it, and crashes it into plaintiff's car. Is the State's negligence the proximate cause of the plaintiff's injury? Dunn v. State, 277 N.E.2d 647 (N.Y. 1971) (no).
- The Gun Show Case. Promoters of a Canton, Ohio gun show negligently allow a group of nefarious minors to gain entrance to the building. The minors steal three handguns; the guns were "just laying around," they'd later explain, and "we just picked them up and walked away with them; it was easy." At 1:30am the next morning the minors steal a Chevy Camaro, arrange a series of trash cans along the side of the snow-covered road, and intentionally drive the Camaro to drift and slide into the trash cans. Plaintiffs observe this behavior and tell the minors to stop. In response, one of the minors shoots both plaintiffs with a handgun stolen from the gun show. Is the gun show promoters' negligence the proximate cause of the plaintiffs' injuries? Pavlides v. Niles Gun Show, Inc., 637 N.E.2d 404 (Ohio Ct. App. 1994) (jury question).
- The Gasoline-to-a-Child Case. Penny Jones, a six-year-old, walks up one afternoon to a gas station in rural Louisiana and asks the attendant to put 4 cents' worth of gas into a jug. The attendant does so after Penny—allegedly—explains that her mother needs the gasoline. Penny returns home. Ninety minutes later Penny's four-year-old half-sister, Candy, finds a match, strikes it, and tosses it into the jug. Immediately the jug ignites, and the flames spread to Candy's legs and dress, severely burning her. Is the attendant's sale the proximate cause of Candy's injuries? Jones v. Robbins, 289 So. 2d 104 (La. 1974) (yes).
4.4.4.2 Social Host Liability 4.4.4.2 Social Host Liability
4.4.4.2.1 Kelly v. Gwinnell 4.4.4.2.1 Kelly v. Gwinnell
The Friend's Drunk Driving Case
MARIE E. KELLY, PLAINTIFF-APPELLANT, v. DONALD C. GWINNELL AND PARAGON CORP., DEFENDANTS-APPELLANTS, AND JOSEPH J. ZAK AND CATHERINE ZAK, DEFENDANTS-RESPONDENTS.
Argued February 21, 1984
Decided June 27, 1984.
*540 Nicholas G. Radano, submitted a letter brief on behalf of amicus curiae Sandra Weber, an incompetent, by her guardian ad litem, Shirley Vitiello; Walter John Sauers Weber, a minor, by his legal guardian, Shirley Vitiello; and Shirley Vitiello, individually.
Michael D. Schottland argued the cause for appellant Marie E. Kelly (Chamlin, Schottland, Rosen, Cavanagh & Uliano, attorneys; Thomas W. Cavanagh, Jr., on the brief).
John P. Duggan argued the cause for appellants Donald C. Gwinnell and Paragon Corp. (Wolff, Helies & Duggan, attorneys).
George N. Arvanitis argued the cause for respondents (Carton, Nary, Witt & Arvanitis, attorneys; Jamie S. Perri, on the brief).
The opinion of the Court was delivered by
WILENTZ, C.J.
This case raises the issue of whether a social host who enables an adult guest at his home to become drunk is liable to the victim of an automobile accident caused by the drunken *541driving of the guest. Here the host served liquor to the guest beyond the point at which the guest was visibly intoxicated. We hold the host may be liable under the circumstances of this case.
At the trial level, the case was disposed of, insofar as the issue before us is concerned, by summary judgment in favor of the social host. The record on which the summary judgment was based (pleadings, depositions, and certifications) discloses that defendant Donald Gwinnell, after driving defendant Joseph Zak home, spent an hour or two at Zak’s home before leaving to return to his own home. During that time, according to Gwinnell, Zak, and Zak’s wife, Gwinnell consumed two or three drinks of scotch on the rocks. Zak accompanied Gwinnell outside to his car, chatted with him, and watched as Gwinnell then drove off to go home. About twenty-five minutes later Zak telephoned Gwinnell’s home to make sure Gwinnell had arrived there safely. The phone was answered by Mrs. Gwinnell, who advised Zak that Gwinnell had been involved in a head-on collision. The collision was with an automobile operated by plaintiff, Marie Kelly, who was seriously injured as a result.
After the accident Gwinnell was subjected to a blood test, which indicated a blood alcohol concentration of 0.286 percent.1 Kelly’s expert concluded from that reading that Gwinnell had consumed not two or three scotches but the equivalent of thirteen drinks; that while at Zak’s home Gwinnell must have been showing unmistakable signs of intoxication; and that in fact he was severely intoxicated while at Zak’s residence and at the time of the accident.
Kelly sued Gwinnell and his employer; those defendants sued the Zaks in a third party action; and thereafter plaintiff amend*542ed her complaint to include Mr. and Mrs. Zak as direct defendants. The Zaks moved for summary judgment, contending that as a matter of law a host is not liable for the negligence of an adult social guest who has become intoxicated while at the host’s home. The trial court granted the motion on that basis. While this disposition was interlocutory (plaintiff’s claim against Gwinnell and his employer still remaining to be disposed of), the trial court entered final judgment in favor of Zak pursuant to Rule 4:42-2 apparently in order to allow an immediate appeal. Pressler, Current N.J. Court Rules, Comment R.4:42-2. The Appellate Division affirmed, Kelly v. Gwinnell, 190 N.J.Super. 320 (1983). It noted, correctly, that New Jersey has no Dram Shop Act imposing liability on the provider of alcoholic beverages, and that while our decisional law had imposed such liability on licensees, common-law liability had been extended to a social host only where the guest was a minor. Id. at 322-23. (But see Figuly v. Knoll, 185 N.J.Super. 477 (Law Div.1982).) It explicitly declined to expand that liability where, as here, the social guest was an adult. Id. at 325-26.
The Appellate Division's determination was based on the apparent absence of decisions in this country imposing such liability (except for those that were promptly overruled by the Legislature).2 Id. at 324-25. The absence of such determina*543tions is said to reflect a broad consensus that the imposition of liability arising from these social relations is unwise. Certainly this immunization of hosts is not the inevitable result of the law of negligence, for conventional negligence analysis points strongly in exactly the opposite direction. “Negligence is tested by whether the reasonably prudent person at the time and place- should recognize and foresee an unreasonable risk or likelihood of harm or danger to others.” Rappaport v. Nichols, 31 N.J. 188, 201 (1959); see also Butler v. Acme Mkts., Inc., 89 N.J. 270 (1982) (supermarket operator liable for failure to provide shoppers with parking lot security). When negligent conduct creates such a risk, setting off foreseeable consequences that lead to plaintiffs injury, the conduct is deemed the proximate cause of the injury. “[A] tortfeasor is generally held answerable for the injuries which result in the ordinary course of events from his negligence and it is generally sufficient if his negligent conduct was a substantial factor in bringing about the injuries.” Rappaport, supra, 31 N.J. at 203; see Ettin v. Ava Truck Leasing Inc., 53 N.J. 463, 483 (1969) (parking tractor-trailer across street is substantial factor in cause of accident when truck with failed brakes collides into trailer).
Under the facts here defendant provided his guest with liquor, knowing that thereafter the guest would have to drive in order to get home. Viewing the facts most favorably to plaintiff (as we must, since the complaint was dismissed, on a motion for summary judgment), one could reasonably conclude that the Zaks must have known that their provision of liquor was causing Gwinnell to become drunk, yet they continued to serve him even after he was visibly intoxicated. By the time he *544left, Gwinnell was in fact severely intoxicated. A reasonable person in Zak’s position could foresee quite clearly that this continued provision of alcohol to Gwinnell was making it more and more likely that Gwinnell would not be able to operate his car carefully. Zak could foresee that unless he stopped providing drinks to Gwinnell, Gwinnell was likely to injure someone as a result of the negligent operation of his car. The usual elements of a cause of action for negligence are clearly present: an action by defendant creating an unreasonable risk of harm to plaintiff, a risk that was clearly foreseeable, and a risk that resulted in an injury equally foreseeable. Under those circumstances the only question remaining is whether a duty exists to prevent such risk or, realistically, whether this Court should impose such a duty.
In most cases the justice of imposing such a duty is so clear that the cause of action in negligence is assumed to exist simply on the basis of the actor’s creation of an unreasonable risk of foreseeable harm resulting in injury. In fact, however, more is needed, “more” being the value judgment, based on an analysis of public policy, that the actor owed the injured party a duty of reasonable care. Palsgraf v. Long Island R.R. Co., 248 N.Y. 339, 162 N.E. 99 (1928). In Goldberg v. Housing Auth. of Newark, 38 N.J. 578, 583 (1962), this Court explained that “whether a duty exists is ultimately a question of fairness. The inquiry involves a weighing of the relationship of the parties, the nature of the risk, and the public interest in the proposed solution.” See also Portee v. Jaffee, 84 N.J. 88, 101 (1980) (whether liability for negligently inflicted emotional harm should be expanded depends “ultimately” on balancing of conflicting interests involved).
When the court determines that a duty exists and liability will be extended, it draws judicial lines based on fairness and policy. In a society where thousands of deaths are caused each *545year by drunken drivers,3 where the damage caused by such deaths is regarded increasingly as intolerable, where liquor licensees are prohibited from serving intoxicated adults, and where long-standing criminal sanctions against drunken driving have recently been significantly strengthened to the point where the Governor notes that they are regarded as the toughest in the nation, see Governor’s Annual Message to the N.J. State Legislature, Jan. 10, 1984, the imposition of such a duty by the judiciary seems both fair and fully in accord with the State’s policy. Unlike those cases in which the definition of desirable policy is the subject of intense controversy, here the imposition of a duty is both consistent with and supportive of a social goal — the reduction of drunken driving — that is practically unanimously accepted by society.
While the imposition of a duty here would go beyond our prior decisions, those decisions not only point clearly in that direction but do so despite the presence of social considerations similar to those involved in this case — considerations that are claimed to invest the host with immunity. In our first case on the subject, Rappaport, supra, 31 N.J. 188, we held a licensee liable for the consequences of a customer’s negligent operation of his automobile. The customer was a minor who had become intoxicated as a result of the consumption of liquor at various premises including the licensee’s. While observing that a stan*546dard of conduct was contained in the statute prohibiting licensees from serving liquor to minors and in the regulation further prohibiting service to any person actually or apparently intoxicated, our decision that the licensee owed a duty to members of the general public was based on principles of common-law negligence.4
We later made it clear that the licensee’s duty is owed to the customer as well, by holding in Soronen v. Olde Milford Inn, Inc., 46 N.J. 582 (1966), that the licensee who served liquor to an intoxicated customer was liable to that customer for the death that resulted when the customer fell in the licensed premises while leaving the bar. While the situation of a licensee differs in some respects from that of a social host, some of the same underlying considerations relied on here in disputing liability are present in both: the notion that the real fault is that of the drunk, not the licensee, especially where the drinker is an adult (as he was in Soronen); and the belief — not as strong when applied to licensed premises as when applied to one’s home — that when people get together for a friendly drink or more, the social relationships should not be intruded upon by possibilities of litigation.
The Appellate Division moved our decisional law one step further, a significant step, when it ruled in Linn v. Rand, 140 N.J.Super. 212 (1976), that a social host who serves liquor to a visibly intoxicated minor, knowing the minor will thereafter drive, may be held liable for the injuries inflicted on a third party as a result of the subsequent drunken driving of the minor. There, practically all of the considerations urged here against liability were present: it was a social setting at someone’s home, not at a tavern; the one who provided the liquor to the intoxicated minor was a host, not a licensee; and all of the notions of fault and causation pinning sole responsibility on the *547drinker were present. The only difference was that the guest was a minor — but whether obviously so or whether known to the host is not disclosed in the opinion.5
In Rappaport, we explicitly noted that the matter did not involve any claim against “persons not engaged in the liquor business.” 31 N.J. at 205. We now approve Linn with its extension of this liability to social hosts. In expanding liability, Linn followed the rationale of Rappaport that the duty involved is a common law duty, not one arising from the statute and regulation prohibiting sales of liquor to a minor, neither of which applies to a social host.6 Cf. Congini v. Portersville Valve Co., — Pa. —, —, 470 A.2d 515, 517-18 (1983) (in which the Pennsylvania Supreme Court relied exclusively on statutes criminalizing the provision of alcohol to minors as the basis for extending liability to a social host). The fair implication of Rappaport and Soronen, that the duty exists independent of the statutory prohibition, was thus made explicit in Linn. As the court there noted: “It makes little sense to say that the licensee in Rappaport is under a duty to exercise care, but give immunity to a social host who may be guilty of the same wrongful conduct merely because he is unlicensed.” 140 N.J.Super. at 217.7
The argument is made that the rule imposing liability on licensees is justified because licensees, unlike social hosts, *548derive a profit from serving liquor. We reject this analysis of the liability’s foundation and emphasize that the liability proceeds from the duty of care that accompanies control of the liquor supply. Whatever the motive behind making alcohol available to those who will subsequently drive, the provider has a duty to the public not to create foreseeable, unreasonable risks by this activity.
We therefore hold that a host who serves liquor to an adult social guest, knowing both that the guest is intoxicated and will thereafter be operating a motor vehicle, is liable for injuries inflicted on a third party as a result of the negligent operation of a motor vehicle by the adult guest when such negligence is caused by the intoxication. We impose this duty on the host to the third party because we believe that the policy considerations served by its imposition far outweigh those asserted in opposition. While we recognize the concern that our ruling will interfere with accepted standards of social behavior; will intrude on and somewhat diminish the enjoyment, relaxation, and camaraderie that accompany social gatherings at which alcohol is served; and that such gatherings and social relationships are not simply tangential benefits of a civilized society but are regarded by many as important, we believe that the added assurance of just compensation to the victims of drunken driving as well as the added deterrent effect of the rule on such driving outweigh the importance of those other values. Indeed, we believe that given society’s extreme concern about drunken driving, any change in social behavior resulting from the rule will be regarded ultimately as neutral at the very least, and not as a change for the worse; but that in any event if there be a loss, it is well worth the gain.8
*549The liability we impose here is analogous to that traditionally imposed on owners of vehicles who lend their cars to persons they know to be intoxicated. Knight v. Gosselin, 124 Cal.App. 290, 12 P.2d 454 (Dist.Ct.App.1932); Harris v. Smith, 119 Ga.App. 306, 167 S.E.2d 198 (Ct.App.1969); Pennington v. Davis-Child Motor Co., 143 Kan. 753, 57 P.2d 428 (1936); Deck v. Sherlock, 162 Neb. 86, 75 N.W.2d 99 (1956); Mitchell v. Churches, 119 Wash. 547, 206 P. 6 (1922). If, by lending a car to a drunk, a host becomes liable to third parties injured by the drunken driver’s negligence, the same liability should extend to a host who furnishes liquor to a visibly drunken guest who he knows will thereafter drive away.
Some fear has been expressed that the extent of the potential liability may be disproportionate to the fault of the host. A social judgment is therein implied to the effect that society does not regard as particularly serious the host’s actions in causing his guests to become drunk, even though he knows they will thereafter be driving their cars. We seriously question that value judgment; indeed, we do not believe that the liability is disproportionate when the host’s actions, so relatively easily *550corrected, may result in serious injury or death. The other aspect of this argument is that the host’s insurance protection will be insufficient. While acknowledging that homeowners’ insurance will cover such liability,9 this argument notes the risk that both the host and spouse will be jointly liable. The point made is not that the level of insurance will be lower in relation to the injuries than in the case of other torts, but rather that the joint liability of the spouses may result in the loss of their home and other property to the extent that the policy limits are inadequate.10 If only one spouse were liable, then even though the policy limits did not cover the liability, the couple need not lose their home because the creditor might not reach the interest of the spouse who was not liable. Newman v. Chase, 70 N.J. 254, 266 (1976); King v. Greene, 30 N.J. 395 (1959); ESB, Inc. v. Fisher, 185 N.J.Super. 373 (Ch.Div.1982). We observe, however, that it is common for both spouses to be liable in automobile accident cases. It may be that some special form of insurance could be designed to protect the spouses’ equity in their homes in cases such as this one. In any event, it is not clear that the loss of a home by spouses who, by *551definition, have negligently caused the injury, is disproportionate to the loss of life of one who is totally innocent of any wrongdoing.
Given the lack of precedent anywhere else in the country, however, we believe it would be unfair to impose this liability retroactively. Merenoff v. Merenoff, 76 N.J. 535 (1978); Darrow v. Hanover Twp., 58 N.J. 410 (1971); Willis v. Department of Conservation & Economic Dev., 55 N.J. 534 (1970). Homeowners who are social hosts may desire to increase their policy limits; apartment dwellers may want to obtain liability insurance of this kind where perhaps they now have none. The imposition of retroactive liability could be considered unexpected and its imposition unfair. We therefore have determined that the liability imposed by this case on social hosts shall be prospective, applicable only to events that occur after the date of this decision. We will, however, apply the doctrine to the parties before us on the usual theory that to do otherwise would not only deprive the plaintiff of any benefit resulting from her own efforts but would also make it less likely that, in the future, individuals will be willing to claim rights, not yet established, that they believe are just.
The goal we seek to achieve here is the fair compensation of victims who are injured as a result of drunken driving. The imposition of the duty certainly will make such fair compensation more likely. While the rule in this case will tend also to deter drunken driving, there is no assurance that it will have any significant effect. The lack of such assurance has not prevented us in the past from imposing liability on licensees. Indeed, it has been only recently that the sanction of the criminal law was credited with having some significant impact on drunken driving.11 We need not, however, condition the *552imposition of a duty on scientific proof that it will result in the behavior that is one of its goals. No one has suggested that the common-law duty to drive carefully should be abolished because it has apparently not diminished the mayhem that occurs regularly on our highways. We believe the rule will make it more likely that hosts will take greater care in serving alcoholic beverages at social gatherings so as to avoid not only the moral responsibility but the economic liability that would occur if the guest were to injure someone as a result of his drunken driving.
We do not agree that the issue addressed in this case is appropriate only for legislative resolution. Determinations of the scope of duty in negligence cases has traditionally been a function of the judiciary. The history of the cases cited above evidences a continuing judicial involvement in these matters. Without the benefit of any Dram Shop Act imposing liability on licensees, legislation that is quite common in other states, this Court determined that such liability nevertheless existed.12 We *553did so in 1959 and have continued to expand that concept since then. We know of no legislative activity during that entire period from 1959 to date suggesting that our involvement in these matters was deemed inappropriate; even after the judiciary expanded this liability to include social hosts in its decision in Linn, there , was no adverse reaction on the part of the Legislature. In fact, the Legislature’s passage of S. 1054, imposing criminal liability on anyone who purposely or knowingly serves alcoholic beverages to underage persons, indicates that body’s approval of the position taken eight years earlier in Linn. The subject matter is not abstruse, and it can safely be assumed that the Legislature is in fact aware of our decisions in this area. Absent such adverse reaction, we assume that our decisions are found to be consonant with the strong legislative policy against drunkén driving.
The dissent relies on two related grounds in concluding this matter should be resolved by legislation: the superior knowledge of the legislature obtained through hearings and other means enabling it better to balance the interests involved and to devise an appropriate remedy, and the ruling’s potential “extraordinary effects on the average citizen.” Post at 561. Many of the cases cited in support of this view, however, are from jurisdictions in which a Dram Shop Act was in effect and are therefore clearly distinguishable. Kowal v. Hofher, 181 Conn. 355, 436 A.2d 1 (1980); Miller v. Moran, 96 Ill.App.3d 596, 52 Ill.Dec. 183, 421 N.E.2d 1046 (1981); Behnke v. Pierson, 21 Mich.App. 219, 175 N.W.2d 303 (Ct.App.1970); Cole v. City of Spring Lake Park, 314 N.W. 2d 836 (Minn.1982); Schirmer v. Yost, 60 A.D.2d 789, 400 N.Y.S.2d 655 (App.Div.1977); Edgar v. Kajet, 84 Msc.2d 100, 375 N Y.S.2d 548 (Sup.Ct.1975), aff’d, 55 A.D.2d 597, 389 N.Y.S.2d 631 (App.Div.1976).
*554Whether mentioned or not in these opinions, the very existence of a Dram Shop Act constitutes a substantial argument against expansion of the legislatively-mandated liability. Very simply, when the Legislature has spoken so specifically on the subject and has chosen to make only licensees liable, arguably the Legislature did not intend to impose the same liability on hosts. See, e.g., Edgar, 375 N.Y.S.2d at 551-52. We note, furthermore, that in several of the cited cases, post at 561-563, the courts’ denial of relief was not solely the result of deference to the legislature; the courts also treated the question (of whether the host was liable) as one appropriate for judicial determination. Kowal v. Hofher, 181 Conn. at 357, 436 A.2d at 2; Behnke v. Pierson, 21 Mich.App. at 221, 175 N.W.2d at 304; Schirmer v. Yost, 60 A.D.2d at 789, 400 N.Y.S.2d at 656.13
In only four of the jurisdictions cited in the dissent did the courts rule, despite the absence of a Dram Shop Act, that a host should not be liable. Cartwright v. Hyatt Corp., 460 F.Supp. 80, 82 (D.D.C.1978); Runge v. Watts, 180 Mont. 91, 589 P.2d 145 (1979); Klein v. Raysinger, — Pa. —, 470 A.2d 507 (1983); Manning v. Andy, 454 Pa. 237, 310 A.2d 75 (1973); Halvorson v. Birchfield Boiler, Inc., 76 Wash.2d 759, 458 P.2d 897 (1969).
Whether our ruling will have such an “extraordinary” impact on “the average citizen” in his or her social and business relations (presumably the premise for the conclusion that judicial action is inappropriate) depends to some extent on an initial evaluation of the matter. We suspect some of the extraordinary change is already taking place, that it is not unusual today for hosts to monitor their guests’ drinking to some extent. *555Furthermore, the characterization of the change as one demanding prior legislative study and warranting action only after such, implies that its effects on balance may be seriously adverse. Given our firm belief that insurance is available, that compensation of innocent victims is desirable, and that the added deterrence against drunken driving is salutary, we do not perceive the potential revision of cocktail-party customs as constituting a sufficient threat to social well-being to warrant staying our hand. Obviously the Legislature may disagree.
This Court has decided many significant issues without any prior legislative study. In any event, if the Legislature differs with us on issues of this kind, it has a clear remedy. See, e.g., Van Horn v. Blanchard Co., 88 N.J. 91 (1981) (holding that under Comparative Negligence Act, a plaintiff could recover only from those defendants that were more negligent than was the plaintiff); N.J.S.A. 2A:15-5.1 as amended by L. 1982, c. 191 § 1 eff. Dec. 6, 1982 (under which a plaintiff may recover from all defendants if plaintiffs negligence is less than or equal to the combined negligence of all defendants); Willis v. Department of Conservation and Economic Dev., 55 N.J. 534 (1970) (abolishing the State’s sovereign immunity from tort claims), N.J.S.A. 59:1-1 et seq., L. 1972, c. 45 (reestablishing and defining immunity for all New Jersey governmental bodies); Dalton v. St. Luke’s Catholic Church, 27 N.J. 22 (1958), Collopy v. Newark Eye & Ear Infirmary, 27 N.J. 29 (1958), Benton v. Y.M.C.A., 27 N.J. 67 (1958) (abolishing charitable immunity), N.J.S.A. 2A:53A-7, L. 1959, c. 90 (reestablishing charitable immunity); cf. Immer v. Risko, 56 N.J. 482 (1970) (abolishing interspousal immunity in automobile negligence cases); France v. A.P.A. Transport Corp., 56 N.J. 500 (1970) (abolishing parent-child immunity in automobile negligence cases) (no subsequent legislative action on issue of familial immunity).
We are satisfied that our decision today is well within the competence of the judiciary. Defining the scope of tort liability has traditionally been accepted as the responsibility of the courts. Indeed, given the courts’ prior involvement in these *556matters, our decision today is hardly the radical change implied by the dissent but, while significant, is rather a fairly predictable expansion of liability in this area.14
It should be noted that the difficulties posited by the dissent as to the likely consequence of this decision are purely hypothetical. Given the facts before us, we decide only that where the social host directly serves the guest and continues to do so even after the guest is visibly intoxicated, knowing that the guest will soon be driving home, the social host may be liable for the consequences of the resulting drunken driving. We are not faced with a party where many guests congregate, nor with guests serving each other, nor with a host busily occupied with other responsibilities and therefore unable to attend to the matter of serving liquor, nor with a drunken host. Post at 566-567. We will face those situations when and if they come before us, we hope with sufficient reason and perception so as to balance, if necessary and if legitimate, the societal interests alleged to be inconsistent with the public policy considerations that are at the heart of today’s decision. The fears expressed by the dissent concerning the vast impact of the decision on the *557“average citizen’s” life are reminiscent of those asserted in opposition to our decisions abolishing husband-wife, parent-child, and generally family immunity in France v. A.P.A. Transport Corp., 56 N.J. at 500, and Immer v. Risko, 56 N.J. at 482. In Immer, proponents of interspousal immunity claimed that abandoning it would disrupt domestic harmony and encourage possible fraud and collusion against insurance companies. 56 N.J. at 488. In France, it was predicted that refusal to apply the parent-child immunity would lead to depletion of the family exchequer and interfere with parental care, discipline and control. 56 N.J. at 504. As we noted there, “[w]e cannot decide today any more than what is before us, and the question of what other claims should be entertained by our. courts must be left to future decisions.” Immer, 56 N.J. at 495. Some fifteen years have gone by and, as far as we can tell, nothing but good has come as a result of those decisions.
We recognize, however, that the point of view expressed by the dissent conforms, at least insofar as the result is concerned, with the view, whether legislatively or judicially expressed, of practically every other jurisdiction that has been faced with this question. It seems to us that by now it ought to be clear to all that the concerns on which that point of view is based are minor compared to the devastating consequences of drunken driving. This is a problem that society is just beginning to face squarely, and perhaps we in New Jersey are doing so sooner than others.
For instance, the dissent’s emphasis on the financial impact of an insurance premium increase on the homeowner or the tenant should be measured against the monumental financial losses suffered by society as a result of drunken driving. By our decision we not only spread some of that loss so that it need not be borne completely by the victims of this widespread affliction, but, to some extent, reduce the likelihood that the loss will occur in the first place. Even if the dissent’s view of the scope of our decision were correct, the adjustments in social behavior at parties, the burden put on the host to reasonably oversee the serving of liquor, the burden on the guests to make *558sure if one is drinking that another is driving, and the burden on all to take those reasonable steps even if, on some occasion, some guest may become belligerent: those social dislocations, their importance, must be measured against the misery, death, and destruction caused by the drunken driver. Does our society morally approve of the decision to continue to allow the charm of unrestrained social drinking when the cost is the lives of others, sometimes of the guests themselves?
If we but step back and observe ourselves objectively, we will see a phenomenon not of merriment but of cruelty, causing misery to innocent people, tolerated for years despite our knowledge that without fail, out of our extraordinarily high number of deaths caused by automobiles, nearly half have regularly been attributable to drunken driving. See supra, at 545 n. 3. Should wé be so concerned about disturbing the customs of those who knowingly supply that which causes the offense, so worried about their costs, so worried about their inconvenience, as if they were the victims rather than the cause of the carnage? And while the dissent is certainly correct that we could learn more through an investigation, to characterize our knowledge as “scant” or insufficient is to ignore what is obvious, and that is that drunken drivers are causing substantial personal and financial destruction in this state and that a goodly number of them have been drinking in homes as well as taverns. Does a court really need to know more? Is our rule vulnerable because we do not know — nor will the Legislature— how much injury will be avoided or how many lives saved by this rule? Or because we do not know how many times the victim will require compensation from the host in order to be made whole?
This Court senses that there may be a substantial change occurring in social attitudes and customs concerning drinking, whether at home or in taverns. We believe that this change may be taking place right now in New Jersey and perhaps elsewhere. It is the upheaval of prior norms by a society that has finally recognized that it must change its habits and do *559whatever is required, whether it means but a small change or a significant one, in order to stop the senseless loss inflicted by drunken drivers. We did not cause that movement, but we believe this decision is in step with it.
We are well aware of the many possible implications and contentions that may arise from our decision. We express no opinion whatsoever on any of these matters but confine ourselves strictly to the facts before us. We hold only that where a host provides liquor directly to a social guest and continues to do so even beyond the point at which the host knows the guest is intoxicated, and does this knowing that the guest will shortly thereafter be operating a motor vehicle, that host is liable for the foreseeable consequences to third parties that result from the guest’s drunken driving. We hold further that the host and guest are liable to the third party as joint tortfeasors, Malone v. Jersey Central Power & Light Co., 18 N.J. 163, 171 (1955); Ristan v. Frantzen, 14 N.J. 455, 460 (1954); Matthews v. Delaware, L. & W. R.R., 56 N.J.L. 34 (Sup.Ct.1893), without implying anything about the rights of the one to contribution or indemnification from the other. See supra at 549 n. 8.
Our ruling today will not cause a deluge of lawsuits or spawn an abundance of fraudulent and frivolous claims. Not only do we limit our holding to the situation in which a host directly serves a guest, but we impose liability solely for injuries resulting from the guest’s drunken driving. Cf. Immer, 56 N.J. at 482 (interspousal immunity abandoned only in actions arising out of negligent operation of automobiles). Automobile accidents are thoroughly investigated by law enforcement officers; careful inquiries are routinely made as to whether the drivers and occupants are intoxicated. The availability of clear objective evidence establishing intoxication will act to weed out baseless claims and to prevent this cause of action from being used as a tool for harassment.
*560We therefore reverse the judgment in favor of the defendants Zak and remand the case to the Law Division for proceedings consistent with this opinion.
GARIBALDI, J., dissenting.
Today, this Court holds that a social host who knowingly enables an adult guest to become intoxicated knowing that the guest will operate a motor vehicle is liable for damages to a third party caused by the intoxicated guest. The imposition of this liability on a social host places upon every citizen of New Jersey who pours a drink for a friend a heavy burden to monitor and regulate guests. It subjects the host to substantial potential financial liability that may be far beyond the host’s resources.
My position as a strong advocate of legal measures to combat drunk driving is established. See In re Kallen, 92 N.J. 14 (1983). The majority need not parade the horrors that have been caused by drunk drivers to convince me that there is always room for stricter measurers against intoxicated drivers. I too am concerned for the injured victim of a drunken driver. However, the almost limitless implications of the majority’s decision lead me to conclude that the Legislature is better equipped to effectuate the goals of reducing injuries from drunken driving and protecting the interests of the injured party, without placing such a grave burden on the average citizen of this state.
I
Prior to today’s decision, this Court had imposed liability only on those providers of alcoholic beverages who were licensed by the State. See Rappaport v. Nichols, 31 N.J. 188 (1959). The Appellate Division also had expanded the liability to a social host who served liquor to a minor. Lind v. Rand, 140 N.J.Su *561 per. 212 (App.Div.1976).1 Although both of these cases were based on common-law negligence, the courts deemed the regulations restricting the service of alcohol to minors significant enough evidence of legislative policy to impart knowledge of foreseeable risk on the provider of the alcohol and to fashion a civil remedy for negligently creating that risk.
Many other states have considered the problem before us today but no judicial decision establishing a cause of action against a social host for serving liquor to an adult social guest is currently in force. Any prior judicial attempts to establish such a cause of action have been abrogated or restricted by subsequent legislative action. See, e.g., Cal.Civ.Code § 1714 (as amended Stats.1978, ch. 929, § 2, p. 2904); Or.Rev.Stat. § 30.955 (1979).
State courts have found that imposition of this new form of liability on social hosts is such a radical departure from prior law, with such extraordinary effects on the average citizen, that the issue is best left to a legislative determination. See Kowal v. Hofher, 181 Conn. 355, 436 A.2d 1 (1980); Miller v. Moran, 96 Ill.App.3d 596, 52 Ill.Dec. 183, 421 N.E.2d 1046 (1981); Behnke v. Pierson, 21 Mich.App. 219, 175 N.W.2d 303 *562(1970); Cole v. City of Spring Lake Park, 314 N.W.2d 836 (Minn.1982); Runge v. Watts, 180 Mont. 91, 589 P.2d 145 (1979); Hamm v. Carson City Nugget, Inc., 85 Nev. 99, 450 P.2d 358 (1969); Schirmer v. Yost, 60 A.D.2d 789, 400 N.Y.S.2d 655 (1977); Edgar v. Kajet, 84 Misc.2d 100, 375 N.Y.S.2d 548 (Sup.Ct.1975), aff’d, 55 A.D.2d 597, 389 N.Y.S.2d 631 (1976); Klein v. Raysinger, supra, — Pa. —, 470 A.2d 507; Halvorson v. Birchfield Boiler, Inc., 76 Wash. 2d 759, 458 P.2d 897 (1969).
I agree with the holdings of our sister states and with their misgivings about the judicial imposition of the duty that the majority today places on social hosts. Their conclusions, and the unanimity with which they express them, are instructive.
In Olsen v. Copeland, 90 Wis.2d 483, 491, 280 N.W.2d 178, 181 (1979), the Supreme Court of Wisconsin said:
A change in the law which has the power to so deeply affect social and business relationships should only be made after a thorough analysis of all the relevant considerations. * * * The type of analysis required is best conducted by the legislature using all of the methods it has available to it to invite public participation.
Similarly, in Edgar v. Kajet, supra, 84 Misc.2d at 103, 375 N.Y.S.2d at 552, the New York Supreme Court, Appellate Division, stated:
The implications of imposing civil liability on Avis herein are vast and far-reaching. Extending liability to non-sellers would open a virtual Pandora’s box to a wide range of numerous potential defendants when the Court does not believe that the legislature ever intended to enact a law that makes social drinking of alcoholic beverages and the giving of drinks of intoxicating liquors at social events actionable. Just a recitation of a few of the considerations involved herein impels this Court to conclude that any extension of liability should be a legislative act. For example, how is a host at a social gathering to know when the tolerance of one of his guests has been reached? To what extent should a host refuse to serve drinks to those nearing the point of intoxication? Further, how is a host to supervise his guests' social activities? The implications are almost limitless as to situations that might arise when liquor is dispensed at a social gathering, holiday parties, family celebrations, outdoor barbecues and picnics, to cite a few examples. If civil liability were imposed on Avis herein, it could be similarly imposed on every host who, in a spirit of friendship, serves liquor. In the final analysis, the controlling consideration is public policy, and *563any extension of liability should be carefully considered after all the factors have been examined and weighed in our legislative process, that is, after extensive hearings, surveys and investigation.
In Cartwright v. Hyatt Corp., 460 F.Supp. 80, 82 (D.D.C. 1978), the Federal District Court for the District of Columbia stated:
Valid policy considerations exist on both sides of this issue, and the Court is not prepared to adopt for the District of Columbia a rule not judicially imposed by any other court in any other jurisdiction. If such a rule is to become a part of District of Columbia law, the decision should appropriately be made by the legislature — as it has been wherever the rule has been adopted.
In Runge v. Watts, supra, 180 Mont. at 94, 589 P.2d at 147, the Supreme Court of Montana stated:
Establishing such a civil cause of action involves considerations of public policy far beyond those presented by the circumstances of the instant case.
In Holmes v. Circo, 196 Neb. 496, 505, 244 N.W.2d 65, 70 (1976), the Supreme Court of Nebraska stated:
We agree * * * that, in the final analysis, the controlling considerations are public policy and whether the court or the Legislature should declare it. We believe that the decision should be left to the Legislature. The Legislature may hold hearings, debate the relevant policy considerations, weigh the testimony, and, in the event it determines a change in the law is necessary or desirable, it can then draft statutes which would most adequately meet the needs of the public in general, while balancing the interest of specific sectors.
In Manning v. Andy, 454 Pa. 237, 239, 310 A.2d 75, 76 (1973), the Supreme Court of Pennsylvania stated:
While appellant’s proposal may have merit, we feel that a decision of this monumental nature is best left to the legislature.
II
My reluctance to join the majority is not based on any exaggerated notion of judicial deference to the Legislature. Rather, it is based on my belief that before this Court plunges into this broad area of liability and imposes high duties of care on social hosts, it should carefully consider the ramifications of its actions. The Court acts today with seemingly scant knowledge and little care for the possible negative consequences of its decision.
*564The magnitude of the problem with which we are dealing is entirely unknown. As the Illinois Appellate Court noted in Miller v. Moran, supra, 96 Ill.App.3d at 600, 421 N.E.2d at 1049, the injured party normally has a remedy against the direct perpetrator of the injury, the intoxicated driver. The majority’s portrayal of the specter of many innocent victims with no chance of recovery against drunk drivers is specious.
The Legislature of this state has enacted a comprehensive auto insurance program to guarantee that those injured on our highways have remedies. Even in cases in which the drunk driver is insolvent and has no insurance, the victim’s own automobile insurance policy is required by law, N.J.S.A. 17:28—1.1, to include coverage for all or part of the sums that the insured “shall be legally entitled to recover as damages from owners or operators of uninsured automobiles * * *.” Furthermore, all motorists must have uninsured motorist coverage. N.J.S.A. 39:6A-14. If the drunk driver hits an uninsured pedestrian, the pedestrian, after obtaining a judgment, and unsuccessfully attempting to satisfy it, could satisfy the judgment out of the Unsatisfied Claim and Judgment Fund. N.J.S.A. 39:6-73. Thus, only in the situation in which a victim of a drunk driver is himself an uninsured motorist at the time of the injury will the victim have no remedy under our insurance laws. There, the victim, having broken the law by driving without insurance, is not entitled to collect from the Unsatisfied Claim and Judgment Fund.
I do not know whether the Legislature’s insurance scheme provides adequate protection for victims of drunk drivers and whether further relief may be necessary. I have seen no statistics to indicate the extent of this problem. However, the Legislature can collect information indicating the number of victims of drunk drivers who have not been adequately compensated. These statistics would be significant factors in ascertaining the scope of the problem and in creating solutions that would protect the injured party without excessively burdening the average citizen.
*565As stated earlier in this dissent, this Court has, in the past, imposed civil liability on commercial licensees who serve alcoholic beverages to intoxicated patrons. Commercial licensees are subject to regulation by both the Alcoholic Beverage Commission (ABC) and the Legislature. It is reasonable to impose tort liability on licensees based on their violation of explicit statutes and regulations.
I have no quarrel with the imposition of such liability because of the peculiar position occupied by the licensee. A social host, however, is in a different position. A brief discussion of the dissimilarities between the licensee and the private social host will illustrate the many problems this Court is creating by refusing to distinguish between the two in imposing liability upon them.
A significant difference between an average citizen and a commercial licensee is the average citizen’s lack of knowledge and expertise in determining levels and degrees of intoxication. Licensed commercial providers, unlike the average citizen, deal with the alcohol-consuming public every day. This experience gives them some expertise with respect to intoxication that-social hosts lack. A social host will find it more difficult to determine levels and degrees of intoxication.
The majority holds that a host will be liable only if he serves alcohol to a guest knowing both that the guest is intoxicated and that the guest will drive. Ante at 548. Although this standard calls for a subjective determination of the extent of the host’s knowledge, a close reading of the opinion makes clear that the majority actually is relying on objective evidence. The majority takes the results of Gwinnell’s blood alcohol concentration test and concludes from that test that “the Zaks must have known that their provision of liquor was causing Gwinnell to become drunk * * *." Ante at 543.
Whether a guest is or is not intoxicated is not a simple issue. Alcohol affects everyone differently. “[T]he precise effects of a particular concentration of alcohol in the blood varies from *566person to person depending upon a host of other factors. See generally Perr, ‘Blood Alcohol Levels and “Diminished Capacity”,’ 3 (No. 4) J. Legal Med. 28-30 (April 1975).” State v. Stasio, 78 N.J. 467, 478 n. 5 (1979). One individual can consume many drinks without exhibiting any signs of intoxication. Alcohol also takes some time to get into the bloodstream and show its outward effects. Experts estimate that it takes alcohol twenty to thirty minutes to reach its highest level in the bloodstream. See American Medical Association, Alcohol and the Impaired Driver (1968). Thus, a blood alcohol concentration test demonstrating an elevated blood alcohol level after an accident may not mean that the subject was obviously intoxicated when he left the party some time earlier. “Moreover, a state of obvious intoxication is a condition that is very susceptible to after the fact interpretations, i.e., objective review of a subjective decision. These factors combine to make the determination that an individual is obviously intoxicated not so obvious after all.” Comment, “Social Host Liability for Furnishing Alcohol: A Legal Hangover?” 1978 Pac.L.J. 95, 103. Accordingly, to impose on average citizens a duty to comprehend a person’s level of intoxication and the effect another drink would ultimately have on such person is to place a very heavy burden on them.
The nature of home entertaining compounds the social host’s difficulty in determining whether a guest is obviously intoxicated before serving the next drink. In a commercial establishment, there is greater control over the liquor; a bartender or waitress must serve the patron a drink. Not so in a home when entertaining a guest. At a social gathering, for example, guests frequently serve themselves or guests may serve other guests. Normally, the host is so busy entertaining he does not have time to analyze the state of intoxication of the guests. Without constant face-to-face contact it is difficult for a social host to avoid serving alcohol to a person on the brink of intoxication. Furthermore, the commercial bartender usually does not drink on the job. The social host often drinks with the *567guest, as the Zaks did here. The more the host drinks, the less able he will be to determine when a guest is intoxicated. It would be anomalous to create a rule of liability that social hosts can deliberately avoid by becoming drunk themselves.
The majority suggests that my fears about imposition of liability on social hosts who are not in a position to monitor the alcohol consumption of their guests are “purely hypothetical” in that the present case involves a host and guest in a one-to-one situation. It is unrealistic to assume that the standards set down by the Court today will not be applied to hosts in other social situations. Today’s holding leaves the door open for all of the speculative and subjective impositions of liability that I fear.
A more pressing distinction between the social host and commercial licensees is the host’s inability to fulfill the duty the majority has imposed even if the host knows that a particular guest is intoxicated. It is easy to say that a social host can just refuse to serve the intoxicated person. However, due to a desire to avoid confrontation in a social environment, this may become a very difficult task. It is much easier in a detached business relationship for a bartender to flag a patron and either refuse to serve him or ask him to leave. We should not ignore the social pressures of requiring a social host to tell a boss, client, friend, neighbor, or family member that he is not going to serve him another drink. Moreover, a social host does not have a bouncer or other enforcer to prevent difficulties that may arise when requesting a drunk to stop drinking or not to drive home. We have all heard of belligerent drunks.
Further, it is not clear from the Court’s opinion to what lengths a social host must go to avoid liability. Is the host obligated to use physical force to restrain an intoxicated guest from drinking and then from driving? Or is the host limited to delay and subterfuge tactics short of physical force? What is the result when the host tries to restrain the guest but fails? *568Is the host still liable? The majority opinion is silent on the extent to which we must police our guests.
Ill
The most significant difference between a social host and a commercial licensee, however, is the social host’s inability to spread the cost of liability. The commercial establishment spreads the cost of insurance against liability among its customers. The social host must bear the entire cost alone. While the majority briefly discusses this issue, noting that it may result in a catastrophic loss of a home to a husband and wife, it apparently does not consider this much of a problem to the average New Jersey citizen. It assumes that such liability is now covered or will be covered under the homeowner’s insurance policy.
The majority cites no authority for its belief that actions against social hosts will be covered under homeowner’s insurance. This new cause of action will be common and may result in large awards to third parties. Even if it is assumed that homeowner’s insurance will cover this cause of action, it is unrealistic to believe that insurance companies will not raise their premiums in response to it.
Furthermore, many homeowners and apartment renters may not even have homeowner’s insurance and probably cannot afford it. Other homeowners may not have sufficient insurance to cover the limitless liability that the Court seeks to impose. These people may lose everything they own if they are found liable as negligent social hosts under the Court’s scheme. The individual economic cost to every New Jersey citizen should be weighed before today’s result is reached.
The majority cites several cases in which this Court took action without prior legislative study or approval and was subsequently reversed by the Legislature. Ante at 555-556. I take no solace in the fact that the Legislature may reverse today’s decision if it disagrees with the Court’s action.
*569There are obviously instances in which this Court must take action in the absence of legislative guidance. Burlington Cty. NAACP v. Mount Laurel Tp., 92 N.J. 158, 212-13 (1983) (Mount Laurel II), is a perfect example of this kind of decision. In Mount Laurel II this Court felt compelled to act to protect the constitutional rights of citizens against discriminatory zoning where the Legislature had failed to act.
Here the Legislature has not, by refusing to act, forced this Court to fashion a remedy. Although it is true, as the majority points out, that New Jersey has no Dram Shop Statute, our Legislature and the ABC have been particularly active and diligent in creating duties and remedies to protect the public from drunk drivers.
Recently, our Legislature has enacted laws making New Jersey the unchallenged leader in the national crackdown on drunken driving. Evidence that the Legislature is still vitally interested in the area of drunken driving is Senate Bill S-1054, recently passed by the Senate and Assembly. It provides a criminal penalty for a social host who serves alcohol to a minor. The absence of any similar imposition of criminal liability on social hosts who serve adult guests should be instructive as to the Legislature’s intent on the matter before the Court.
IV
In conclusion, in trivializing these objections as “cocktail party customs,” ante at 555 and “inconvenience,” ante at 559, the majority misses the point. I believe that an indepth review of this problem by the Legislature will result in a solution that will further the goals of reducing injuries related to drunk driving and adequately compensating the injured party, while imposing a more limited liability on the social host. Imaginative legislative drafting could include: funding a remedy for the injured party by contributions from the parties most responsible for the harm caused, the intoxicated motorists; making the social host secondarily liable by requiring a judg*570ment against the drunken driver as a prerequisite to suit against the host; limiting the amount that could be recovered from a social host; and requiring a finding of wanton and reckless conduct before holding the social host liable.
I do not propose to fashion a legislative solution. That is for the Legislature. I merely wish to point out that the Legislature has a variety of alternatives to this Court’s imposition of unlimited liability on every New Jersey adult. Perhaps, after investigating all the options, the Legislature will determine that the most effective course is to impose the same civil liability on social hosts that the majority has imposed today. I would have no qualms about that legislative decision so long as it was reached after a thorough investigation of its impact on average citizens of New Jersey.
For reversal and remandment—Chief Justice WILENTZ, and Justices CLIFFORD, SCHREIBER, HANDLER, POLLOCK and O’HERN—6.
Opposed—Justice GARIBALDI—1.
4.4.4.2.2 Questions and Notes on Kelly 4.4.4.2.2 Questions and Notes on Kelly
Fun Fact
Mr. Gwinnell's blood alcohol content (BAC) was 0.286%, more than three times the legal limit of 0.08%. (That said, this case was decided in 1984, and back then the limit in New Jersey was 0.10%). Every state has a 0.08% limit except Utah (0.05%). See Amy Vandervort-Clark, Comparing State DUI Laws and Limits, FindLaw (May 14, 2024), https://www.findlaw.com/dui/laws-resources/comparing-state-dui-laws.html.
Guiding Questions
- According to Chief Justice Wilentz, in what circumstances can an alcohol supplier be liable for harm caused by the provision of such alcohol? Does he include the social host who serves alcohol to an intoxicated guest?
- What does Chief Justice Wilentz say about the role of courts versus legislatures in this area of tort law? What does Justice Garibaldi say in response?
- Justice Garibaldi argues there are relevant differences between a social host and a commercial alcohol vendor. He does the same with private homes and public establishments. What are his arguments? What does Chief Justice Wilentz say in response?
- What role does insurance play in this sort of case?
Test Your Knowledge
Samantha hosts a holiday party at her home and serves alcohol to several adult guests. One guest, Luke, appears visibly intoxicated but continues to consume drinks that Samantha provides. Despite his condition, Luke insists on driving home. On his way, he runs a red light and strikes another car, seriously injuring the driver, Maria. Maria was herself intoxicated at the time. Maria files a negligence claim against Samantha, alleging that Samantha is liable as a social host for Luke’s intoxication and subsequent conduct. The jurisdiction follows the holding in Kelly v. Gwinnell and does not consider contributory negligence a complete bar to recovery. Which of the following best states the likely outcome?
- Samantha is not liable because Luke, an adult, chose to drive while intoxicated.
- Samantha is not liable because Maria’s injuries were caused by her own intoxication.
- Samantha may be liable because the harm caused was foreseeable.
- Samantha may be liable only if she forced Luke to drive home against his will.
Notes and Further Cases
- From alcohol to painkillers. The principal case discusses liability where a private person's giving alcohol to someone else results in harm. Compare Gipson v. Kasey, 150 P.3d 228 (Ariz. 2007). There, Larry Kasey, an employee at a restaurant, attended his employer's holiday party. Alcohol was served. Kasey brought pills containing oxycodone, which he'd been prescribed for his back pain. One of Kasey's fellow employees, Nathan Followill, had expressed interest about trying oxycodone. So had Followill's girlfriend. Both were at the party, and Kasey gave Followill's girlfriend eight pills, who in turn gave them to Followill. As the party wore on, Followill grew increasingly intoxicated. Followill and his girlfriend left the party at 1:00am. By morning, Followill was dead. The cause was determined to be combined effects of alcohol and oxycodone. How would the arguments in the principal case apply to the facts in Gipson?
4.4.4.3 Negligent Infliction of Emotional Distress (NIED) 4.4.4.3 Negligent Infliction of Emotional Distress (NIED)
4.4.4.3.1 Wyman v. Leavitt 4.4.4.3.1 Wyman v. Leavitt
The Blasted Rocks Case
Frances Wyman and another vs. John H. Leavitt. Samuel D. Wyman vs. Same.
Lincoln.
Opinion May 31, 1880.
Negligence in blasting. Damages. Mental anxiety for personal safety.
In the trial of an action on the case for simple negligence in blasting ont a ledge within the located limits of a railroad whereby rocks were thrown upon the plaintiif’s land and buildings, the plaintiff's mental anxiety in relation to his own personal safety is not, in the absence of personal injury, an element of damage.
Nor is his anxiety in relation to the personal safety of his child while going to < and returning from school.
On exceptions AND motion to set aside the verdict.
The facts sufficiently appear in the opinion.
Baker & Baker, for the plaintiffs.
The objection to the testimony of Mrs. Wyman is not well' founded, because:
I. The element of fear is a legal element of damage in a case-like this.
II. These facts were a part of the res gestae, and proper to gO' to the jury to determine whether there was gross negligence,, amounting to a willful and wanton intent on the part of the' defendant.
III. It was competent for Mrs. Wyman to testify to her own. feelings and no other evidence was offered. Stowe v. Heywood,. 7 Allen, 118.
This is an action for injury to the domicil of the plaintiff, while-she and her family were occupying it, and it is a legitimate-element of damages, that the peace of the house was disturbed, and that the plaintiff was put in fear and peril, not as a ground of action, but as an inevitable consequence.
It is absurd to hold that if a person assaults a dwelling house with huge rocks, and breaks in the roof, and endangers the lives-of the owner and occupant, and her children, although they are not in fact killed or wounded, that the owner is to have no compensation for her fear, peril and mental suffering. Suppose the *228■danger so alarming as to cause a fright, so great as to produce ■ sickness, fever or insanity, would this be no element of damage?
The cases cited by the defendant’s counsel are not analogous, . and cannot control this case. The counsel further ably argued ■other questions arising in the case which it did not become necessary for the court to consider.
A. P. Gould and J. JE. Moore, for the defendant,
upon the ■ question considered in the opinion, cited: 2 Greenl. Ev. § § 253, 267, 574; Wadsworth v. Treat, 43 Maine, 163 ; Flemmington v. Smithers, 2 Car. & Pa. 292, (12 E. C. L. 131) ; Lynch v. Knight, 9 Ho. of Lord’s Cases, 577, 598; Johnson v. Wells et •ais. 6 Nev. 224; Meagher v. Driscoll, 99 Mass. 281; Shearman ■ & Eed. Negligence, (2d ed.) § 608, a-, Black v. Garrollton E. E. 10 La. Ann. 33 ; Goahley v. North Penn. JR. JR. 6 Am. L. Eeg. 355 ; Stowe v. JBeyioood, 7 Allen, 118 ; Schouler, Domestic Eel. 356 ; Blaymire v. Haley, 6 Mees. & Weis. 55 ; Grinnell w. Wells, 7 M. & Gra. 1032 .(49 E. C. L. 1032) ; Davies v. Williams, 10 Adol. & Ell. 725 (59 E. C. L. 723) ; Ballou v. Farnum, 11 Allen, 73; Wade v. Leroy, 20 blow. 43; Fay v. .Parker, 53 N. H. 342.
These are actionsonthe case against a sub-contractor to recover damages caused by his alleged negligence in blasting •out a ledge within the located limits of a railroad, whereby rocks ■were thrown upon the plaintiffs’ adjoining lands and buildings, ■•and for not removing, within a reasonable time thereafter, rocks •thus lodged on their respective premises.
The cases were tried together. At the trial, Mrs. Wyman’s 'counsel asked her, when upon the stand as a witness, to "give The jury some idea of her anxiety in relation to the blasting of the ledge while she was in and about the house — in relation to ’herself and family.” The question was seasonably objected to ■by the defendant, but the witness was allowed to answer as 'follows : " At first, I was not much frightened; then after the ■second Jordan began the heavy blasting, I used to watch my little boy when he went to school and came.” This answer was •objected to and admitted. After giving a detailed statement of the warnings of the blastings, she further testified in answer to *229the above general question: "I felt afraid the rocks would hit him” . . . "1 was afraid.” (Objected to ; admitted.) "I was in fear from the time the second Jordan began to blow those heavy blasts, until they got through.” This was also objected to.
The jury were required to find specially, among other things, how much damages they assessed in each action, "for negligence in blasting, including as well the mental anxiety, as the other sources of damages.” The jury answered these questions; and in the case of Mrs. Wyman, they found the sum of $264.
There is no evidence in the cases of any injury to the persons of either party or to their child; or of any wanton conduct on the part of the defendant or of his servants. Was the testimony objected to and admitted in relation to Mrs. Wyman’s fear of her own or of her child’s safety, legally admissible ?
As a general proposition, damages are recoverable when they are the natural and reasonable result of the defendant’s unlawful act — that is when they are such a consequence as in the ordinary course of things, would flow from such an act. This is the broad rule, covering all the elements of damages, some of which do not enter into every case. The rule though correct as a general abstract statement has its limitations in particular cases. It may include insult and contumely, but they do not exist in every case of personal injury. Personal injury usually consists in pain inflicted both bodily and mental. When bodily pain is caused, mental follows as a necessary consequence, especially when the former is so severe as to create apprehension and anxiety. And not only the suffering experienced before the trial, but such as is reasonably certain to continue afterward, as the result of the injury, rightfully enters into the assessment of damages.
In trespass for assault and battery, the jury may consider not only the mental suffering which accompanies and is a part of the bodily pain’, but that other mental condition of the injured person which arises from the insult of the defendant’s blows. Prentiss v. Shaw, 56 Maine, 427; Wadsworth v. Treat, 43 Maine, 163. Or for an assault alone, when maliciously done, though no actual personal injury be inflicted. Goddard v. Grand T. Ry. 57. *230Maine, 202; Beach v. Hancock, 27 N. H. 223; 2 G-reene’s Cr. Rep. 269. So in various other torts to property alone when the tort-feasor is actuated by wantonness or malice, or a willful disregard of others’ rights therein, injury to the feelings of the plaintiff, resulting from such conduct of the defendant, may properly be considered by the jury in fixing the amount of their ■verdict.
But we have been unable to find any decided case, which holds that mental suffering alone, unattended by any injury to the person, caused by simple actionable negligence, can sustain an action. And the fact that no such case exists, and that no elementary writer asserts such a doctrine, is a strong argument against it. On the contrary it has been held that a verdict, founded upon fright and mental suffering, caused by risk and peril, would in the absence of personal injury, be contrary to law. Canning v. Williamstown, 1 Cush. 451. So it is said (in Lynch v. Knight, 9 Ho. L. 577, 598,) that, "mental pain and anxiety, the law cannot value, and does not pretend to redress when the unlawful act complained of causes that alone.” Again, in Johnson v. Wells, 6 Nev. 224 (3 Am. R. 245), after a very elaborate examination, it was held that pain of mind aside and distinct from bodily suffering, cannot be considered in estimating damages in an action against a common carrier of passengers. If the law were otherwise, it would seem that not only every passenger on a train that was personally injured, but every one that was frightened by a collision or by the trains leaving the track, could maintain an action against the'company. See an elaborate note by Mr. Wood in his edition of Mayne on Dam. 70 et seq. We are of the opinion, therefore, that Mrs. Wyman’s testimony relating to her fears, as to her own personal safety, was erroneously admitted. Whether a fright of sufficient severity to cause a physical disease would support an action, we need not now inquire.
We also think that her testimony, relating to her anxiety about her child’s safety, was inadmissible.
If the child had suffered an injury in his own person, the redress would have had no necessary connection with the family *231relation; for the injury which one suffers in the relation of parent is limited, in the absence of any statutory provision, to the deprivation of the child’s services. 2 Kent’s Com. 195 ; Fort v. Union, Pac. R. R. Co. 17 Wall. 553. And when the injury is to the person of the child, and the father thereby loses the services of the child, the father may maintain an action for the latter wrong, and the child for the former. Cooley Torts, 229. But generally a lather can recover no damages for injury to his parental feelings. Flemington v. Smithers, 2 Car. & P. 292; Black v. Carrolton, 10 L. Ann. 33; Shearman & Redf. Negl. (2d ed.) § 608, a. This rule, like most others, has its exceptions, among which are seduction (2 Greenl. Ev. § 579 ; Phillips v. Hoyle, 4 Gray, 568); forcible abduction of a child (Stowe v. Heywood, 7 Allen, 118), in both of which, though based upon the predicate of a loss of service, parental feelings may be considered by the jury; and trespass quare clausum for disinterring and removing in a willful disregard of the father’s rights, the remains of the deceased child. Meagher v. Driscoll, 99 Mass. 281. But we fail to perceive upon what principle of law the mother or father could recover for parental feelings in an action like the one at the bar.
As to the action of Mr. Wyman — the jury found specially, as in his wife’s case, a certain sum for mental anxiety, though less in amount, although there was no testimony upon that point coming from him. The two cases were properly tided together, and the wife must necessarily have had more or less influence upon the other, and cannot well be now separated. We therefore think exceptions should be sustained in both cases.
Exceptions sustained.
AppletoN, C. J., DaNEORtii, Petees and Libbey, JJ., concurred. •
4.4.4.3.2 Questions and Notes on Wyman 4.4.4.3.2 Questions and Notes on Wyman
Fun Fact
Rock blasting operations were common occurrences in the late nineteenth and early twentieth centuries. As this case illustrates, rock blasting also formed the basis of many early attempt to establish liability in negligence for emotional distress. In addition to the principal case, see, e.g., Fox v. Borkey, 17 A. 604 (Pa. 1889); Smith v. Postal Tel. Cable Co., 55 N.E. 380 (Mass. 1899); Watkins v. Kaolin Mfg. Co., 42 S.E. 983 (N.C. 1902); Green v. T.A. Shoemaker, 73 A. 688 (Md. 1909); O'Meara v. Russell, 156 P. 550 (Wash. 1916).
Guiding Questions
- What, precisely, was the nature of Mrs. Wyman's claimed injury? Was it merely emotional distress? Did she suffer a physical injury, either as a result of emotional distress or because a rock hit her?
- Why does Justice Virgin reverse the judgment in favor of Mrs. Wyman?
- Think back to intentional torts for a moment. Why is this not a simple case of intentional infliction of emotional distress? Or of assault? (Is it?)
Notes and Further Cases
- NIED Categories. In class we will discuss in detail four scenarios that involve different ways of negligently inflicting emotional distress, though not all of them constitute an NIED claim. For now, familiarize yourself with this brief schema:
- Parasitic distress after physical harm: Defendant inflicts physical harm on the plaintiff, which results in ("parasitic") emotional distress.
- Distress culminating in physical harm: Defendant inflicts emotional distress on the plaintiff, which results in subsequent physical harm or a physical malady.
- Direct emotional distress in "zone of danger": Defendant inflicts emotional distress on the plaintiff within the zone of danger created by the defendant's conduct; no physical harm ever results.
- Bystander emotional distress: Defendant's conduct toward a third party results in emotional distress in the plaintiff.
4.4.4.3.3 Robb v. Pennsylvania Railroad 4.4.4.3.3 Robb v. Pennsylvania Railroad
The Escape-from-an-Oncoming-Train Case
DIXIE B. ROBB, Plaintiff Below, Appellant, v. THE PENNSYLVANIA RAILROAD COMPANY, a corporation of the Commonwealth of Pennsylvania, Defendant Below, Appellee.
*455 (May 28, 1965)
WOLCOTT, C. J., and CAREY and HERRMANN, JJ„ sitting.
William E. Wiggin, of Richards, Layton & Finger, for plaintiff below, appellant.
Thomas G. Hughes, of Berl, Potter & Anderson, for defendant below, appellee.
Supreme Court of the State of Delaware,
No. 97,
1964.
The question before us for decision is this: May the plaintiff recover for the physical consequences of fright caused by the negligence of the defendant, the plaintiff being within the immediate zone of physical danger created by such negligence, although there was no contemporaneous bodily impact?
Considering the record in the light most favorable to the plaintiff, the facts may be thus summarized:
A private lane leading to the home of the plaintiff, Dixie B. Robb, was intersected by a railroad right-of-way leased to the defendant, The Pennsylvania Railroad Company. On March 11, 1961, *456the plaintiff was driving an automobile up the lane toward her home when the vehicle stalled at the railroad grade crossing. A rut about a foot deep had been negligently permitted by the defendant to form at the crossing. The rear wheels of the automobile lodged in the rut and, although the plaintiff tried to move the vehicle for several minutes, she was unable to do so. While thus engaged in attempting to move the vehicle, the plaintiff saw the defendant’s train bearing down upon her. With only seconds to spare, she jumped from the stalled vehicle and fled for her life. Immediately thereafter, the locomotive collided with the vehicle, hurled it into the air and demolished it. The pfaintiff was standing within a few feet of the track when the collision occurred and her face was covered with train soot and dirt. However — and this is the nub of the problem — she was not touched by the train; there was no bodily impact; and she suffered no contemporaneous physical injury. Nevertheless, the plaintiff was greatly frightened and emotionally disturbed by the accident as the result of which she sustained shock to her nervous system. The fright and nervous shock resulted in physical injuries including cessation of lactation which interfered with the plaintiffs ability to nurse and otherwise care for her infant child. Her nervous and general physical condition resulting from the accident also obliged the plaintiff to abandon a horse breeding business and an article which she had been engaged to write for substantial compensation.
The defendant moved for summary judgment taking the position that, assuming the defendant’s negligence and its proximate causation of the plaintiffs fright and nervous shock, she may not recover because there was no “impact” and contemporaneous physical injury. The trial judge agreed and granted summary judgment in the defendant’s favor, stating: “In spite of a modern trend to the contrary in other jurisdictions, I feel compelled to follow the ‘impact theory’ in this matter by reason of well established precedents in this State.” The plaintiff appeals, asserting that there are no such governing precedents in Delaware.
I.
The question is still an open one in this State. Two reported Delaware cases and one unreported case border upon the field of *457inquiry, but none really enter it.
In Boyle v. Chandler, 3 W.W. Harr. 323, 138 A. 273 (1927), the Superior Court ruled that there was no right of recovery for mental anguish of surviving relatives arising from the negligent failure of an undertaker to handle the body of the deceased in accordance with instructions, where no physical consequences of such mental suffering were shown. The case of Larrimore v. Homeopathic Hospital Association of Delaware, Del. 181 A.2d 573 (1962), affirming Del. Super., 176 A.2d 362 (1961), involved an action against a hospital for pain and suffering resulting from the alleged mistake of a nurse in injecting a drug by needle instead of orally as instructed by the attending physician. There, in considering the hospital’s contention that no recovery for pain and suffering may be had because there was no actionable impact causing the pain and suffering, this court concluded that it did not reach, and was not required to pass upon, the question of the applicability of the “impact rule” because the pain and suffering were the direct result of the injection. The unreported Delaware case to which reference has been made is Williamson v. Wilmington Housing Authority (Superior Court of New Castle County, No. 1627 C.A. 1960) in which the Superior Court ruled that a mother may not recover for mental anguish she suffered when she came upon the accident scene and observed her child who had just been injured by a railroad train, the mother herself not having been in the path of danger.
It is obvious that the question here presented remains unresolved in this State. The instant case requires us to determine the matter.
II.
The many decisions on the question are collected in the Annotations at 11 A.L.R. 1119, 40 A.L.R. 983, 76 A.L.R. 681, 98 A.L.R. 402 and 64 A.L.R.2d 100. The cases and their underlying principles have been discussed by distinguished scholars in this field of the law, including Goodrich, “Emotional Disturbance as Legal Damage”, 20 Mich.L.Rev. 497; Smith, “Relation of Emotions to Injury and Disease”, 30 Va.L.Rev. 193; Green, “Fright Cases”, 27 Ill.L.Rev. *458761; Magrader, “Mental and Emotional Disturbance in the Law of Torts”, 49 Harv.L.Rev. 1033; Hallen, “Damages for Physical Injuries Resulting from Fright or Shock”, 19 Va.L.Rev. 253; Bohlen, “Right to Recover for Injury Resulting from Negligence Without Impact”, 41 Am. Law Reg. 141; Throckmorton, “Damages for Fright”, 34 Harv.L.Rev. 260; Pollock on Torts (14th Ed.) 38;Prosser on Torts (3d Ed.) pp. 346, 350-352; and 2 Harper and James, The Law of Torts, Sec. 18.4, p. 1033.
There is sharp diversity of judicial opinion as to the right to recover for the physical consequences of fright in the absence of an impact and contemporaneous physical injury. The disparity is strikingly illustrated by the fact that the courts of our neighboring States of Maryland and Pennsylvania have reached, and continue to adhere to, opposite conclusions on the question. See Bowman v. Williams, 164 Md. 397, 165 A.182(1923); Bosley v. Andrews, 393 Pa. 161, 142 A.2d 263 (1958).
Two facets of the question are herewith eliminated from further consideration: First, it is accepted as settled that there can be no recovery for fright alone, not leading to bodily injury or sickness, arising from the negligence of another. See Boyle v. Chandler, supra; 2 Harper and James, The Law of Torts, p. 1031; 64 A.L.R.2d 100, 115, et seq. The plaintiff here concedes that proposition, stating however that she does not seek to recover for fright alone but for the physical consequences thereof. Secondly, we are not here concerned with the situation, such as existed in the Williamson case, wherein fright arose from the peril of another and the plaintiff was not in the path of the danger created by the negligence asserted. That segment of the problem has likewise given rise to contrariety of opinion. See Bowman v. Williams, supra; Annotations at 18 A.L.R.2d 220 and 64 A.L.R.2d 100, 148. We lay that question aside for another day, interesting as it may be, because the instant case does not require us to decide it.
The two schools of thought in the matter at hand evolved from two lines of cases originating about the turn of the century. The impact rule was established in America by the leading cases of Ewing v. *459 Pittsburgh, etc. R. Co., 147 Pa. 40, 23 A. 340, 14 L.R.A. 666 (1892); Mitchell v. Rochester R. Co., 151 N.Y. 107, 45 N.E. 354, 34 L.R.A. 781 (1896); and Spade v. Lynn & Boston R. Co., 168 Mass. 285, 47 N.E. 88, 38 L.R.A. 512 (1897). These cases reflected the influence of the earlier English case of Victorian Railways Commissioners v. Coultas, 13 App. Cas. 222 (1888), recognized generally as the first notable case to espouse the impact rule. The Coultas case was quickly overruled, however by Dulieu v. White & Sons, 2 K.B. 669 (1901) which settled the law in England from then on in favor of recovery for physical injuries resulting from nervous shock induced by negligence, without actual impact. Nevertheless, the trend favoring the impact rule had attained a head-start .in America by reason of the Ewing, Mitchell and Spade cases and it spread to numerous other jurisdictions under the influence of those cases. The doctrine denying recovery was not accepted universally, however. In Purcell v. St. Paul, etc., Ry. Co., 48 Minn. 134, 50 N.W. 1034, 16 L.R.A. 203 (1892) and Mack v. South Bound R. Co., 52 S.C. 323, 29 S.E. 905, 40 L.R.A. 679 (1897) the contrary rule was adopted; and, following those two leading cases, which represented the minority view for a long time, the courts of an increasing number of jurisdictions have been adopting the rule allowing recovery for injury due to fright induced by negligence without impact; until today the latter is recognized as the majority rule. See 2 Harper and James, The Law of Torts, p. 1034.
The impact rule is based, generally speaking, upon three propositions expounded in the Mitchell and Spade cases:
1) It is stated that since fright alone does not give rise to a cause of action, the consequences of fright will not give rise to a cause of action. This is now generally recognized to be a non-sequitur, want of damage being recognized as the reason that negligence causing mere fright is not actionable. It is now generally agreed, even in jurisdictions which have adopted the impact rule, that the gist of the action is the injury flowing from the negligence, whether operating through the medium of physical impact or nervous shock. See Comstock v. Wilson, 257 N.Y. 231, 177 N.E. 431, 76 A.L.R. 676 (1931); Alabama Fuel & *460 Iron Co. v. Baladoni, 15 Ala.App. 316, 73 So. 205 (1916).
2) It is stated that the physical consequences of fright are too remote and that the requisite causal connection is unprovable. See, e.g., Ward v. West Jersey & S. R. Co., 65 N.J.L. 383, 47 A. 561 (1900). The fallacies of this ground of the impact rule, viewed in the light of growing medical knowledge, were well stated by Chief Justice Maltbie in Orlo v. Connecticut Co., 128 Conn. 231,21 A.2d 402 (1941). It was there pointed out that the early difficulty in tracing a resulting injury back through fright or nervous shock has been minimized by the advance -of medical science; and that the line of cases permitting recovery for serious injuries resulting from fright, where there has been but a trivial impact in itself causing little or no injury, demonstrate that there is no insuperable difficulty in tracing causal connection between the wrongdoing and the injury via the fright. See also Comstock v. Wilson, supra.
3) It is stated that public policy and expediency demand that there be no recovery for the physical consequences of fright in the absence of a contemporaneous physical injury. See, e.g., Mitchell v. Rochester R. Co., supra; Huston v. Freemansburg Borough, 212 Pa. 548, 61 A. 1022, 3 L.R.A., N.S., 49 (1905); Bosley v. Andrews, supra. In recent years, this has become the principal reason for denying recovery on the basis of the impact rule. In support of this argument, it is said that fright is a subjective state of mind, difficult to evaluate, and of such nature that proof by the claimant is too easy and disproof by the party charged too difficult, thus making it unsafe as a practical matter for the law to deal with such claims. This school of thought concludes that to permit recovery in such cases would open a “Pandora’s Box” of fictitious and fraudulent claims involving speculative and conjectural damages with which the law and medical science cannot justly cope. See Bosley v. Andrews, supra. The expediency ground was termed a matter of “administrative policy” for each jurisdiction in the Restatement of the Law of Torts, Sec. 436, Caveat to Subsection (2). It is noteworthy that this Caveat was removed by the 1948 Supplement to the Restatement (p. 740) in recognition of the accelerating trend of the law away from the impact rule and of the *461proven reliability of medical testimony necessary to establish the causal connection between negligence and an ultimate injury.
In considering the expediency ground, the Supreme Court of Connecticut said in the Orlo case, supra:
“* * * There is hardly more risk to the accomplishment of justice because of disparity in possibilities of proof in such situations than in those where mental suffering is allowed as an element of damage following a physical injury or recovery is permitted for the results of nervous shock provided there be some contemporaneous slight battery or physical injury. Certainly it is a very questionable position for a court to take, that because of the possibility of encouraging fictitious claims compensation should be denied those who have actually suffered serious injury through the negligence of another.”
On the same point, the Supreme Court of Maryland had this to say in the Bowman case, supra:
“* * * These considerations undeniably tend to multiply fictitious or speculative claims, and to open to unscrupulous litigants a wide field for exploitation, but these difficulties are common, are surmountable, and so should not prevent the operation of the general and fundamental theory of the common law that there is a remedy for every substantial wrong. * * *”
And in Battalia v. State, 10 N.Y.2d 237 (219 N.Y.S.2d 34, 176 N.E.2d 729 (1961), the Court of Appeals of New York finally completed the repudiation of the Mitchell case, one of the original leading proponents of the impact rule, stating as to the public policy argument:
“* * * Although fraud, extra litigation and a measure of speculation are, of course, possibilities, it is no reason for a court to eschew a measure of its jurisdiction. ‘The argument from mere expediency cannot commend itself to a Court of justice, resulting in the denial of a logical legal right and remedy in all cases because in some a *462fictitious injury may be urged as a real one.’ Green v. T. A. Shoemaker & Co., 111 Md. 69, 81, 73 A. 688, 692, 23 L.R.A., N.S., 667.”
III.
It is our opinion that the reasons for rejecting the impact rule far outweigh the reasons which have been advanced in its support.
The cause of action and proximate cause grounds for the rule have been discredited in the very jurisdictions which first gave them credence. As stated by Holmes, C. J., for the Supreme Judicial Court of Massachusetts, the Spade decision did not result from “a logical deduction from the general principles of liability in tort, but as a limitation of those principles upon purely practical grounds.” Smith v. Postal Telegraph Cable Co., 174 Mass. 576, 55 N.E. 380, 47 L.R.A. 323 (1899). Or, as stated by the same eminent jurist on another occasion, he deemed exemption from such damages to be “an arbitrary exception, based upon a notion of what is practicable.” Homans v. Boston Elevated R. Co., 180 Mass. 456, 62 N.E. 737, 57 L.R.A. 291 (1902). And, referring to the Mitchell case and the grounds here under consideration, Lehman, J., speaking for the New York Court of Appeals, stated: “Its conclusions cannot be tested by pure logic. The court recognized that its views of public policy to some extent dictated its decision,” Comstock v. Wilson, supra. The repudiation by New York appears clearly in Battalia v. State, supra, where it is recorded that “the unanimous court in Comstock rejected all but the public policy arguments of the Mitchell decision.” Similarly, in the third jurisdiction in which the impact rule had its origin, the cause of action and proximate cause grounds are no longer given as justifications for the doctrine. The Supreme Court of Pennsylvania relied wholly upon stare decisis and the public policy argument in its most recent consideration of the problem. See Bosley v. Andrews, supra.
If more were needed to warrant a declination to follow the cause of action and the proximate cause arguments, reference to the fictional and mechanical ends to which the impact rule has been carried would *463suffice for the purpose. The most trivial bodily contact, itself causing little or no injury, has been considered sufficient to take a case out of the rule and permit recovery for serious physical injuries resulting from the accompanying fright. Token impact sufficient to satisfy the rule has been held to be a slight bump against the seat, Homans v. Boston Elevated R. Co., supra; dust in the eyes, Porter v. Del., L. & W. R. Co., 73 N.J.L. 405, 63 A. 860 (1906); inhalation of smoke, Morton v. Stack, 122 Ohio St. 115, 170 N.E. 869 (1930); a trifling bum, Kentucky Traction & Term. Co. v. Roman’s Guardian, 232 Ky. 285, 23 S.W. 2d 272 (1929); Jostling in an automobile, Israel v. Ulrich, 114 Conn. 599, 159 A. 634 (1922); indeed any degree of physical impact, however slight, Zelinsky v. Chimics, 196 Pa. Super. 312, 175 A. 2d 351 (1961). See especially Christy Bros. Circus v. Turnage, 38 Ga. App. 581, 144 S.E. 680 (1928).
This leaves the public policy or expediency ground to support the impact rule. We think that ground untenable.
It is the duty of the courts to afford a remedy and redress for every substantial wrong. Part of our basic law is the mandate that “every man for an injury done him in his * * * person * * * shall have remedy by the due course of law * * *.” Del. Const. Art. 1, Sec. 9, Del. C. Ann. Neither volume of cases, nor danger of fraudulent claims, nor difficulty of proof, will relieve the courts of their obligation in this regard. None of these problems are insuperable. Statistics fail to show that there has been a “flood” of such cases in those jurisdictions in which recovery is allowed;* but if there be increased litigation, the courts must willingly cope with the task. As to the danger of illusory and fictional claims, this is not a new problem; our courts deal constantly with claims for pain and suffering based upon subjective symptoms only; and the courts and the medical profession have been found equal to the danger. Fraudulent claims may be feigned in a slight-impact case as well as in a no-impact case. Likewise, the problems *464of adequacy of proof, for the avoidance of speculative and conjectural damages, are common to personal injury cases generally and are surmountable, being satisfactorily solved by our courts in case after case.
We are unwilling to accept a rule, or an expediency argument in support thereof, which results in the denial of a logical legal right and remedy in all cases because in some a fictitious injury may be urged or a difficult problem of the proof or disproof of speculative damage may be presented. Justice is not best served, we think, when compensation is denied to one who has suffered injury through the negligence of another merely because of the possibility of encouraging fictitious claims or speculative damages in other cases. Public policy requires the courts, with the aid of the legal and medical professions, to find ways and means to solve satisfactorily the problems thus presented — not expedient ways to avoid them. We recognize that “ [e] xpediency may tip the scales when arguments are nicely balanced,” Woolford Realty Co. v. Rose, 286 U.S. 319, 330, 52 S.Ct. 568, 570, 76 L.Ed. 1128; but, in our view, such nice balance no longer exists as to the subject matter.
Accordingly, we decline to adopt the impact rule, as urged by the defendant in this cause. The impact rule “is almost certainly destined for ultimate extinction, although it displays surprising vitality, and the process may not be a rapid one. * * * it seems clear that the courts which deny all remedy in such cases are fighting a rearguard action.” Prosser on Torts (3d Ed.) pp. 351 — 352.
We hold, therefore, that wtiere negligence proximately caused fright, in one within the immediate area of physical danger from that negligence, which in turn produced physical consequences such as would be elements of damage if a bodily injury had been suffered, the injured party is entitled- to recover under an application of the prevailing principles of law as to negligence and proximate causation. Otherwise stated, where results, which are regarded as proper elements of recovery as a consequence of physical injury, are proximately caused by fright due to negligence, recovery by one in the immediate zone of *465physical risk should be permitted. Compare Restatement of the Law of Torts, Sections 313,436.
This view has the general approval of the writers on the subject and is now distinctly the majority rule. We are satisfied that it is the better rule, supported by reason, logic and fairness.
We conclude, therefore, that the Superior Court erred in the instant case in holding that the plaintiffs right to recover is barred by the impact rule. The plaintiff claims physical injuries resulting from fright proximately caused by the negligence of the defendant. She should have the opportunity to prove such injuries and to recover therefor if she succeeds. The summary judgment granted in favor of the defendant must be reversed and the cause remanded for further proceedings.
4.4.4.3.4 Questions and Notes on Robb 4.4.4.3.4 Questions and Notes on Robb
Fun Fact
Vehicles can stall at railroad crossings for several reasons. These include "bottoming out," as in the principal case; mechanical problems, such as a drivetrain failure or a missed gear while crossing the tracks; or driver carelessness, such as stopping on the tracks while at a red light. Thankfully, bottoming out has become much rarer since this case was decided in 1965; the Federal Railroad Administration regulates the size of the gap between the railroad track and the edge of the road to prevent bottoming out.
Guiding Questions
- Think back to the four scenarios mentioned in the notes in the prior case. Which scenario describes the facts here?
- Parasitic distress after physical harm.
- Distress culminating in physical harm.
- Direct emotional distress in "zone of danger."
- Bystander emotional distress.
- What are the three bases for the "physical impact" rule? What does Justice Herrmann say in response to each of them?
- What rule does Justice Herrmann adopt in place of the "physical impact" rule?
Test Your Knowledge
While driving home late at night, Jordan’s car was sideswiped by a large commercial truck that ran a red light. Jordan narrowly avoided crashing into a utility pole by swerving off the road and slamming on the brakes. Though Jordan suffered no physical injuries, he developed severe anxiety and insomnia, for which he sought psychiatric treatment. He brings a claim for negligent infliction of emotional distress (NIED) against the trucking company in a jurisdiction that has adopted the rule in Robb v. Pennsylvania Railroad Co.. Which of the following best describes the likely outcome?
- Jordan can recover because he experienced serious emotional distress.
- Jordan can recover because he was in the zone of danger.
- Jordan cannot recover because he did not suffer a physical impact during the incident.
- Jordan cannot recover unless he also witnessed a third party suffer an injury.
Notes and Further Cases
- NIED and the "zone of danger" rule. As more NIED claims made their way into court, several jurisdictions followed Justice Herrmann's approach in the principal case: They dropped the requirement that the plaintiff actually suffer an initial injury. Instead, a plaintiff could recover for emotional distress suffered because the plaintiff was in the "zone of danger" created by the defendant's conduct. The Restatement (Third) agrees, imposing liability if a defendant "places the [plaintiff] in danger of immediate bodily harm and the emotional harm results from the danger." Restatement (Third) of Torts: Liab. for Phys. & Emot. Harm § 47(a) (2012). Not all jurisdictions have jettisoned the "physical impact" rule, however. See, e.g., Atl. Coast Airlines v. Cook, 857 N.E.2d 989 (Ind. 2006) (applying physical impact rule, no recovery for airline passengers' emotional distress where, shortly after 9/11, a French passenger on a flight from Indianapolis to New York lit cigarettes, ran up and down the plane, made an advance toward the cockpit, and shouted "World Trade Center," "Americans," and "New York City," among other words in French). Of those jurisdictions that have adopted the "zone of danger" test, some—as in the principal case—require that the fright or emotional distress in turn cause a physical symptom or condition, e.g., a stress-induced heart attack. Some, however, do not. See Restatement (Third) of Torts: Liab. for Phys. & Emot. Harm § 47, cmt. j (2012).
- NIED, special relationships, and affirmative duties. Where there is a special relationship and the defendant accordingly owes an affirmative duty toward the plaintiff, courts are more likely to impose liability in negligence for the plaintiff's emotional distress. For instance, when a doctor negligently misdiagnoses a patient with HIV, the patient may recover for their resulting emotional distress. Hedgepeth v. Whitman Walker Clinic, 22 A.3d 789 (D.C. 2011). And when a criminal defendant is falsely convicted and serves time because of his attorney's negligence in handling the case, the criminal defendant may recover for his ensuing emotional distress. Rowell v. Holt, 850 So. 2d 474 (Fla. 2003). The Restatement (Third) agrees. See Restatement (Third) of Torts: Liab. for Phys. & Emot. Harm § 47(b) (2012).
4.4.4.3.5 Dillon v. Legg 4.4.4.3.5 Dillon v. Legg
The Witnessing-a-Fatal-Car-Accident Case
[Sac. No. 7816.
In Bank.
June 21, 1968.]
MARGERY M. DILLON et al., Plaintiffs and Appellants, v. DAVID LUTHER LEGG, Defendant and Respondent.
*730Bradford, Cross, Dahl & Hefner, Archie Hefner and James M. Wopdside for Plaintiffs and Appellants.
McGregor, Bullen, Erich & McKone, George Bullen and William C. McKinley for Defendant and Respondent.
That the courts should allow recovery to a mother who suffers emotional trauma and physical injury from witnessing the infliction of death or injury to her child for which the tortfeasor is liable in negligence would appear to be a compelling proposition. As Prosser points out, “All ordinary human feelings are in favor of her [the mother’s] action against the. negligent defendant. If a duty to her requires that she herself be in some recognizable danger, then it has properly been said that when a child is endangered, it is not beyond contemplation that its mother will be somewhere in the vicinity, and will suffer serious shock.” (Prosser, Law of Torts (3d ed. 1964) p. 353.)
Nevertheless, past American decisions have barred the mother’s recovery. Refusing the mother the right to take her ease to the jury, these courts ground their position on an alleged absence of a required “duty” of due care of the tortfeasor to the mother. Duty, in turn, they state, must express public policy; the imposition of duty here would work disaster because it would invite fraudulent claims and it would involve the courts in the hopeless task of defining the extent of the tortfeasor’s liability. In substance, they say, definition of liability being impossible, denial of liability is the only realistic alternative.
We have concluded that neither of the feared dangers *731excuses the frustration of the natural justice upon which the mother’s claim rests. We shall point out that in the past we have rejected the argument that we should deny recovery upon a legitimate claim because other fraudulent ones may be urged. We shall further explain that the alleged inability to fix definitions for recovery on the different facts of future eases does not justify the denial of recovery on the specific facts of the instant case; in any event, proper guidelines can indicate the extent of liability for such future cases.
In the instant case plaintiff’s1 first cause of action alleged that on or about September 27, 1964, defendant drove his automobile in a southerly direction on Bluegrass Road near its intersection with Clover Lane in the County of Sacramento, and at that time plaintiff’s infant daughter, Erin Lee Dillon, lawfully crossed Bluegrass Road. The complaint further alleged that defendant’s negligent operation of his vehicle caused it to “collide with the deceased Erin Lee Dillon resulting in injuries to decedent which proximately resulted in her death.” (Complaint, p. 3.) Plaintiff, as the mother of the decedent, brought an action for compensation for the loss.
Plaintiff’s second cause of action alleged that she, Margery M. Dillon, “was in close proximity to the . . . collision and personally witnessed said collision.” She further alleged that “because of the negligence of defendants . . . and as a proximate cause [sic] thereof plaintiff . . . sustained great emotional disturbance and shock and injury to her nervous system” which caused her great physical and mental pain and suffering.
Plaintiff’s third cause of action alleged that Cheryl Dillon, another infant daughter, was “in close proximity to the . . . collision and personally witnessed said collision.” Because of the negligence, Cheryl Dillon “sustained great emotional disturbance and shock and injury to her nervous system” which caused her great physical and mental pain and suffering.
On December 22, 1965, defendant, after he had filed his answer, moved for judgment on the pleadings, contending that “No cause of action is stated in that allegation that plaintiff sustained emotional distress, fright or shock induced by apprehension of negligently caused danger or injury or the witnessing of negligently caused injury to a third person. *732 Amaya v. Home Ice, Fuel & Supply Co., 59 Cal.2d 295 [29 Cal.Rptr. 33, 379 P.2d 513] (1963). Even where a child, sister or spouse is the object of the plaintiff’s apprehension no cause of action is stated, supra, p. 303, unless the complaint alleges that the plaintiff suffered emotional distress, fright or shock as a result of fear for his own safety. Reed v. Moore, 156 Cal.App.2d 43 (1957) at page 45 [319 P.2d 80].” (Italics added.) The court granted a judgment on the pleadings against the mother’s count, the second cause of action, and denied it as to the sister’s count, the third cause of action. The court, further, dismissed the second cause of action. Margery M. Dillon, the mother, appealed from that judgment.
Thereafter, on January 26, further proceedings took place as to the third cause of action, Cheryl Dillon’s claim for emotional trauma from witnessing her sister’s death while ‘1 watching her sister lawfully cross Bluegrass Road. ’ ’
Defendant moved for summary judgment on this count. In opposition plaintiff contended that the declaration of one McKinley disclosed that Mrs. Dillon testified at her deposition that when she saw the car rolling over Erin she noted that Cheryl was on the curb, but that the deposition of Cheryl Dillon contradicts such statements. Plaintiff therefore submitted that “Since the declarations filed by defendant are contradictory and the testimony contained in the testimony of Mrs. Dillon does not establish as a matter of law that Cheryl Dillon was not in the zone of danger or had fear for her own safety, plaintiff respectfully submits that the motion must be denied. ’ ’
The court denied the motion for summary judgment on the third cause as to Cheryl on the ground that the pretrial order precluded it. The trial court apparently sustained the motion for judgment on the pleadings on the second cause as to the mother because she was not within the zone of danger and denied that motion as to the third cause involving Cheryl because of the possibility that she was within such zone of danger or feared for her own safety. Thus we have before us a case that dramatically illustrates the difference in result flowing from the alleged requirement that a plaintiff cannot recover for emotional trauma in witnessing the death of a child or sister unless she also feared for her own safety because she was actually within the zone of physical impact.
The posture of this case differs from that of Amaya v. Home Ice, Fuel & Supply Co. (1963) 59 Cal.2d 295, 298 [29 Cal.Rptr. 33, 379 P.2d 513], which involved “fright or ner*733vous shock (with consequent bodily illness) induced solely by . . . apprehension of negligently caused danger or injury to a third person” because the complaint here presents the claim of the emotionally traumatized mother, who admittedly was not within the zone of danger, as contrasted with that of the sister, who may have teen within it. The ease thus illustrates the fallacy of the rule that would deny recovery in the one situation and grant it in the other. In the first place, we can hardly justify relief to the sister for trauma which she suffered upon apprehension of the child’s death and yet deny it to the mother merely because of a happenstance that the sister was some few yards closer to the accident. The instant case exposes the hopeless artificiality of the zone-of-danger rule. In the second place, to rest upon the zone-of-danger rule when we have rejected the impact rule becomes even less defensible. We have, indeed, held that impact is not necessary for recovery (Cook v. Maier (1939) 33 Cal.App.2d 581, 584 [92 P.2d 434]). The zone-of-danger concept must, then, inevitably collapse because the only reason for the requirement of presence in that zone lies in the fact that one within it will fear the danger of impact. At the threshold, then, we point to the incongruity of the rules upon which any rejection of plaintiff’s recovery must rest.
We further note, at the outset, that defendant has interposed the defense that the contributory negligence of the mother, the sister, and the child contributed to the accident. If any such defense is sustained and defendant found not liable for the death of the child because of the contributory negligence of the mother, sister or child, we do not believe that the mother or sister should recover for the emotional trauma which they allegedly suffered. In the absence of the primary liability of the tortfeasor for the death of the child, we see no ground for an independent and secondary liability for claims for injuries by third parties. The basis for such claims must be the adjudicated liability and fault of defendant; that liability and fault must be the foundation for the tortfeasor’s duty of due care to third parties who, as a consequence of such negligence, sustain emotional trauma.
We turn then to an analysis of the concept of duty, which, as we have stated, has furnished the ground for the rejection - of such claims as the instant one. Normally the simple facts of ' plaintiff’s complaint would establish a cause of action: the complaint alleges that defendant drove his car (1) negligently, as a (2) proximate result of which plaintiff suffered *734(3) physical injury. Proof of these facts to a jury leads to recovery in damages; indeed, such a showing represents a classic example of the type of accident with which the law of negligence has been designed to deal.
The assertion that liability must nevertheless be denied because defendant bears no “duty” to plaintiff “begs the essential question—whether the plaintiff’s interests are entitled to legal protection against the defendant’s conduct. . . . It [duty] is a shorthand statement of a conclusion, rather than an aid to analysis in itself. . . . But it should be recognized that ‘duty’ is not sacrosanct in itself, but only an expression of the sum total of those considerations of policy which lead the law to say that the particular plaintiff is entitled to protection.” (Prosser, Law of Torts, supra, at pp. 332-333.)
The history of the concept of duty in itself discloses that it is not an old and deep-rooted doctrine hut a legal device of the latter half of the nineteenth century designed to curtail the feared propensities of juries toward liberal awards. “It must not be forgotten that ‘duty’ got into our law for the very purpose of combatting what was then feared to be a dangerous delusion (perhaps especially prevalent among juries imbued with popular notions of fairness untempered by paramount judicial policy), viz., that the law might countenance legal redress for all foreseeable harm.” (Fleming, An Introduction to the Law of Torts (1967) p. 47.)
Indeed, the idea of court-imposed restrictions on recovery by means of the concept of “duty” contrasted dramatically with the preceding legal system of feudal society.2 In the enclosed feudal society, the actor bore responsibility for any damage he inflicted without regard to whether he was at fault or owed a “duty” to the injured person. Thus, at that time, the defendant owed a duty to all the world to conduct himself *735without causing injury to his fellows. It may well be that the physical contraction of the feudal society imposed an imperative for maximum procurable safety and a corresponding absolute responsibility upon its members.
The Industrial Revolution, Avhich cracked the solidity of the feudal society and opened up wide and new areas of expansion, changed the legal concepts. Just as the ubav competitiveness in the economic sphere figuratively broke out of the walls of the feudal community, so it broke through the rule of strict liability. In the place of strict liability it introduced the theory that an action for negligence would lie only if the defendant breached a duty which he owed to plaintiff. As Lord Esher said in Le Lievre v. Gould (1893) 1 Q.B. 491, 497: “A man is entitled to be as negligent as he pleases towards the whole world if he owes no duty to them. ’ ’
We have pointed out that this late 19th century concept of duty, as applied to the instant situation, has led the courts to deny liability. We have noted that this negation of duty emanates from the twin fears that courts will be flooded with an onslaught of (1) fraudulent and (2) indefinable claims. We shall point out why Ave think neither fear justified.
1. This court in the past has rejected the argument that we must deny recovery upon a legitimate claim because other fraudulent ones may be urged.
The denial of “duty” in the instant situation rests upon the prime hypothesis that allowance of such an action would lead to successful assertion of fraudulent claims. (See, e.g., Waube v. Warrington (1935) 216 Wis. 603, 613 [258 N.W. 497].) The rationale apparently assumes that juries, confronted by irreconcilable expert medical testimony, Avill be unable to distinguish the deceitful from the bona fide. The argument concludes that only a per se rule denying the entire class of claims that potentially raises this administrative problem3 can avoid this danger.
In the first instance, the argument proceeds from a doubtful factual assumption. Whatever the possibilities of fraudulent claims of physical injury by disinterested spectators of an accident, a question not in issue in this case, we certainly *736cannot doubt that a mother who sees her child killed will suffer physical injury from shock. “It seems sufficiently obvious that the shock of a mother at danger or harm to her child may be both a real and a serious injury.” (Prosser, Law of Torts, supra, at p. 353.)
Over a half-century ago this court recognized the likelihood that such fright and fear would cause physical injury. In Sloane v. Southern California Ry. Co. (1896) 111 Cal. 668, 680 [44 P. 320, 32 L.R.A. 193], we affirmed a judgment for damages for a plaintiff who alleged physical injury resulting from mental suffering, saying: “It is a matter of general knowledge that an attack of sudden fright or an exposure to imminent peril has produced in individuals a complete change in their nervous system, and rendered one who was physically strong and vigorous weak and timid.” Since no one can seriously question that fear or grief for one’s child is as likely to cause physical injury as concern over one’s own well-being, rejection of the fraudulent claims contention in Sloane clearly applies here.
In the second instance, and more fundamentally, the possibility that fraudulent assertions may prompt recovery in isolated cases does not justify a wholesale rejection of the entire class of claims in which that potentiality arises. The “contention that the rule permitting the maintenance of the action would be impractical to administer ... is but an argument that the courts are incapable of performing their appointed tasks, a premise which has frequently been rejected.” (Emden v. Vitz (1948) 88 Cal.App.2d 313, 319 [198 P.2d 696].) “ [F]ear that unfounded claims may be put forward, and may result in erroneous conclusions of fact, ought not to influence us to impose legal limitations as to the nature of the facts that it is permissible to prove.” (Owens v. Liverpool Corp. (1939) 1 K.B. 394, 400.) “Certainly it is a very questionable position for a court to take, that because of the possibility of encouraging fictitious claims compensation should be denied those who have actually suffered serious injury through the negligence of another.” (Orlo v. Connecticut Co. (1941) 128 Conn. 231, 239 [21 A.2d 402], See also Goodhart, The Shock Cases and Area of Risk (1953) 16 Modern L.Rev. 14, 23; Throckmorton, Damages for Fright (1921) 34 Harv.L.Rev. 260, 276.)
On the analogous issue of whether the possibility of collusive fraud in intrafamily tort actions justified a per se rule denying recovery in all such cases, this court held that the *737interests of meritorious plaintiffs should prevail over alleged administrative difficulties. Upholding the claim of a minor child in that situation we said: “The interest of the child in freedom from personal injury caused by the tortious conduct of others is sufficient to outweigh any danger of fraud or collusion. . . . [T]he fact that there may be greater opportunity for fraud or collusion in one class of cases than another does not warrant courts of law in closing the door to all cases of that class. Courts must depend upon the efficacy of the judicial processes to ferret out the meritorious from the fraudulent in particular eases.” (Emery v. Emery (1955) 45 Cal.2d 421, 431 [289 P.2d 218]; see also Klein v. Klein, (1962) 58 Cal.2d 692, 695-696 [26 Cal.Rptr. 102, 376 P.2d 70].)
The possibility that some fraud will escape detection does not justify an abdication of the judicial responsibility to award damages for sound claims: if it is “to be conceded that our procedural system for the ascertainment of truth is inadequate to defeat fraudulent claims . . . , the result is a virtual acknowledgment that the courts are unable to render justice in respect to them.” (Chiuchiolo v. New England Wholesale Tailors (1930) 84 N.H. 329, 335 [150 A. 540].)
Indubitably juries and trial courts, constantly called upon to distinguish the frivolous from the substantial and the fraudulent from the meritorious, reach some erroneous results. But such fallibility, inherent in the judicial process, offers no reason for substituting for the case-by-case resolution of causes an artificial and indefensible barrier. Courts not only compromise their basic responsibility to decide the merits of each case individually but destroy the public’s confidence in them by using the broad broom of “administrative convenience” to sweep away a class of claims a number of which are admittedly meritorious. The mere assertion that fraud is possible, “a possibility [that] exists to some degree in all cases” (Klein v. Klein, supra, 58 Cal.2d 692, 695), does not prove a present necessity to abandon the neutral principles of foreseeability, proximate cause and consequential injury that generally govern tort law.
Indeed, we doubt that the problem of the fraudulent claim is substantially more pronounced in the ease of a mother claiming physical injury resulting froln seeing her child killed than in other areas of tort law in which the right to recover damages is well established in California. For exam-*738pie, a plaintiff claiming that fear for his own safety resulted in physical injury makes out a well recognized case for recovery.4 (Lindley v. Knowlton (1918) 179 Cal. 298 [176 P. 440] ; Webb v. Francis J. Lewald Coal Co. (1931) 214 Cal. 182 [4 P.2d 532, 77 A.L.R. 675] ; Vanoni v. Western Airlines (1967) 247 Cal.App.2d 793 [56 Cal.Rptr. 115].) Moreover, damages are allowed for “mental suffering,” a type of injury, on the whole, less amenable to objective proof than the physical injury involved here; the mental injury can be in aggravation of, or “parasitic to,” an established tort. (Sloane v. Southern California Ry. Co., supra, 111 Cal. 668; Acadia, California, Ltd. v. Herbert (1960) 54 Cal.2d 328 [5 Cal.Rptr. 686, 353 P.2d 294] ; Easton v. United Trade School Contracting Co. (1916) 173 Cal. 199 [159 P. 597, L.R.A. 1916A 394].) In fact, fear for another, even in the absence of resulting physical injury, can be part of these parasitic damages. (Acadia, California, Ltd. v. Herbert, supra, 54 Cal.2d 328, 337; Easton v. United Trade School Contracting Co., supra, 173 Cal. 199, 202.) And emotional distress, if inflicted intentionally, constitutes an independent tort. (State Rubbish Collectors Assn. v. Siliznoff (1952) 38 Cal.2d 330, 338 [240 P.2d 282].) The danger of plaintiffs’ fraudulent collection of damages for nonexistent injury is at least as great in these examples as in the instant case.
In sum, the application of tort law- can never be a matter of mathematical precision. In terms of characterizing conduct as tortious and matching a money award to the injury suffered as well as in fixing the extent of injury, the process cannot be perfect. Undoubtedly, ever since the ancient case of the tavern-keeper ’s wife who successfully avoided the hatchet cast by an *739irate customer (I de S et ux v. W de S, Y.B. 22 Edw. iii, f. 99, pl. 60 (1348)), defendants have argued that plaintiffs’ claims of injury from emotional trauma might well be fraudulent. Yet we cannot let the difficulties of adjudication frustrate the principle that there be a remedy for every substantial wrong.
2. The alleged inability to fix definitions for recovery on the different facts of future cases does not justify the denial of recovery on the specific facts of the instant case; in any event, proper guidelines can indicate the extent of liability for such future cases.
In order to limit the otherwise potentially infinite liability which would follow every negligent act, the law of torts holds defendant amenable only for injuries to others which to defendant at the time were reasonably foreseeable.
In the absence of “overriding policy considerations . . . foreseeability of risk [is] of . . . primary importance in establishing the element of duty.” (Grafton v. Mollica (1965) 231 Cal.App.2d 860, 865 [42 Cal.Rptr. 306]. See also McEvoy v. American Pool Corp. (1948) 32 Cal.2d 295 [195 P.2d 783] ; Hergenrether v. East (1964) 61 Cal.2d 440 [39 Cal.Rptr. 4, 393 P.2d 164].) As a classic opinion states: “The risk reasonably to be perceived defines the duty to be obeyed.” (Palsgraf v. Long Island R.R. Co. (1928) 248 N.Y. 339, 344 [162 N.E. 99, 59 A.L.R. 253].) Defendant owes a duty, in the sense of a potential liability for damages, only with respect to those risks or hazards whose likelihood made the conduct unreasonably dangerous, and hence negligent, in the first instance. (See Keeton, Legal Cause in the Law of Torts (1963) 18-20; Seavey, Mr. Justice Cardozo and the Law of Torts (1939) 52 Harv.L.Rev. 372; Seavey, Principles of Torts (1942) 56 Harv.L.Rev. 72.)
Harper and James state the prevailing view. The obligation turns on whether “the offending conduct foreseeably involved unreasonably great risk of harm to the interests of someone other than the actor. . . . [T]he obligation to refrain from . . . particular conduct is owed only to those who are foresee-ably endangered by the conduct and only with respect to those risks or hazards whose likelihood made the conduct unreasonably dangerous. Duty, in other words, is measured by the scope of the risk which negligent conduct foreseeably entails.” (2 Harper & James, The Law of Torts, supra, at p. 1018; fns. omitted.)
This foreseeable risk may be of two types. The first class involves actual physical impact. A second type of risk *740applies to the instant situation. “In other cases, however, plaintiff is outside the zone of physical risk (or there is no risk of physical impact at all), but bodily injury or sickness is brought on by emotional disturbance which in turn is caused by defendant’s conduct. Under general principles recovery should be had in such a ease if defendant should foresee fright or shock severe enough to cause substantial injury in a person normally constituted. Plaintiff would then be within the zone of risk in very much the same way as are plaintiffs to whom danger is extended by acts of third persons, or forces of nature, or their own responses (where these things are foreseeable).” (2 Harper & James, The Law of Torts, supra, at pp. 1035-1036; fns. omitted.)5
Since the chief element in determining whether defendant owes a duty or an obligation to plaintiff is the foreseeability of the risk, that factor will be of prime concern in every case. Because it is inherently intertwined with foreseeability such duty or obligation must necessarily be adjudicated only upon a case-by-case basis. We cannot now predetermine defendant’s obligation in every situation by a fixed category; no immutable rule can establish the extent of that obligation for every circumstance of the future. We can, however, define guidelines which will aid in the resolution of such an issue as the instant one.
We note, first, that we deal here with a case in which plaintiff suffered a shock which resulted in physical injury and we confine our ruling to that case. In determining, in such a case, whether defendant should reasonably foresee the injury to plaintiff, or, in other terminology, whether defendant owes plaintiff a duty of due care, the courts will take into account such factors as the following: (1) Whether plaintiff was located near the scene of the accident as contrasted with one who was a distance away from it. (2) Whether the shock resulted from a direct emotional impact upon plaintiff from the sensory and contemporaneous observance of the accident, *741as contrasted with learning of the accident from others after its occurrence. (3) Whether plaintiff and the victim were closely related, as contrasted with an absence of any relationship or the presence of only a distant relationship.
The evaluation of these factors will indicate the degree of the defendant’s foreseeability: obviously defendant is more likely to foresee that a mother who observes an accident affecting her child will suffer harm than to foretell that a stranger witness will do so. Similarly, the degree of foreseeability of the third person’s injury is far greater in the case of his contemporaneous observance of the accident than that in which he subsequently learns of it. The defendant is more likely to foresee that shock to the nearby, witnessing mother will cause physical harm than to anticipate that someone distant from the accident will suffer more than a temporary emotional reaction. All these elements, of course, shade into each other-; the fixing of obligation, intimately tied into the facts, depends upon each ease.
In light of these factors the court will determine whether the accident and harm was reasonably foreseeable. Such reasonable foreseeability does not turn on whether the particular plaintiff as an individual would have in actuality foreseen the exact accident and loss; it contemplates that courts, on a case-to-case basis, analyzing all the circumstances, will decide what the ordinary man under such circumstances should reasonably have foreseen. The courts thus mark out the areas of liability, excluding the remote and unexpected.
In the instant ease, the presence of all the above factors indicates that plaintiff has alleged a sufficient prima facie case. Surely the negligent driver who causes the death of a young child may reasonably expect that the mother will not be far distant and will upon witnessing the accident suffer emotional trauma. As Dean Prosser has stated: “when a child is endangered, it is not beyond contemplation that its mother will be somewhere in the vicinity, and will suffer serious shock.” (Prosser, The Law of Torts, supra, at p. 353. See also 2 Harper & James, The Law of Torts, supra, at p. 1039.)
We are not uoav called upon to decide whether, in-the absence or reduced weight of some of the above factors, we would conclude that the accident and injury were not reasonably foreseeable and that therefore defendant owed no duty of due care to plaintiff. In future cases the courts will draw lines of demarcation upon facts more subtle than the compelling ones alleged in the complaint before us.
*742The courts have in the past, in analogous situations, drawn, the limits of liability, applying general guidelines such as those above set forth to the specific facts of the cases. As examples of that process of definition we set forth the history of the “open car” cases, the rulings on recovery by persons not in privity of contract for defendant’s negligence in drafting instruments, the decisions on the intentional infliction of emotional injury, the modern English cases, and some illustrative opinions that adjudicate the specific issue before us.
The ability of courts to limit liability predicated on tests largely based upon foreseeability is well illustrated by the “open car” cases. The prototype case is the suit against the owner of a vehicle for damage caused plaintiff by a third party who can commandeer the vehicle because of the owner’s carelessness in leaving the keys inside. In Richardson v. Ham (1955) 44 Cal.2d 772 [285 P.2d 269], we posited liability on the owner of a bulldozer because of a “foreseeable risk of intermeddling” (p. 776), noting especially the great danger the bulldozer created and the special temptation it presented to third parties. Similarly, in Hergenrether v. East, supra, 61 Cal.2d 440, we upheld such liability of a truck owner on the basis of “greater potentiality of foreseeable risk” (p. 444) because of the possible danger of the vehicle, the time for which it was unattended, and the type of persons who frequent the neighborhood in which it was left.
These decisions have not led to untrammeled liability. Eather, applying the foreseeability test, the courts have held that the mere act of leaving a key in an automobile, although it may possibly raise a foreseeable risk that the car will be stolen, does not increase the risk of injury to other property and hence does not warrant liability: “[e]ven if she could have foreseen the theft, she had no reason to believe that the thief would be an incompetent driver.” (Richards v. Stanley (1954) 43 Cal.2d 60, 66 [271 P.2d 23].) In short, “each ease must be considered on its own facts to determine whether the [situation] in toto justifies the conclusion that the foreseeable risk of harm imposed is unreasonable, and that the defendant owner or one in charge of a vehicle has a duty to third persons in the class of the plaintiffs to refrain from subjecting them to such risk.” (Hergenrether v. East, supra, 61 Cal.2d 440, 445; see also England v. Mapes Produce Co. (1965) 238 Cal.App.2d 120 [47 Cal.Rptr. 506] ; Murray v. Wright (1958) 166 Cal.App.2d 589 [333 P.2d 111].)
In another category of cases, those involving the liability of a tortfeasor to a third person with whom he was not in privity *743of contract for negligent draftmanship of a legal document, we have recognized the right of the injured party to compensation and set out guidelines for the determination of future eases. In Lucas v. Hamm (1961) 56 Cal.2d 583, 588 [15 Cal. Rptr. 821, 364 P.2d 685], we applied this rule to an attorney who drew a defective will, thereby causing damage to the intended third-party beneficiary. (See also Biakanja v. Irving (1958) 49 Cal.2d 647, 650 [320 P.2d 16, 65 A.L.R.2d 1358].)
In sanctioning recovery for injury caused by intentional infliction of mental distress, this court did not defer to the argument that liability should not be imposed because of the possible future difficulty in delimiting the area of liability. Defendants urged that if recovery were to be allowed for intentional infliction of emotional distress, actions would soon be forthcoming based upon every minor personal insult or indignity. We said: “That administrative difficulties do not justify the denial of relief for serious invasions of mental and emotional tranquility is demonstrated by the cases recognizing the right of privacy." (State Rubbish Collectors Assn. v. Siliznoff, supra, 38 Cal.2d 330, 338.) Wc rejected the contention “that to allow recovery in the absence of physical injury will open the door to unfounded claims and a flood of litigation, and that the requirement that there be physical injury is necessary to insure that serious mental suffering actually occurred" (State Rubbish Collectors Assn. v. Siliznoff, supra, 38 Cal.2d 330, 338).
Indeed, the argument that “there is no point at which such actions would stop" is no more plausible today than when it was advanced in Winterbottom v. Wright (1842) 10 M. & W. 109, 111. History has exposed the fallacy of the claim that abolition of privity in enterprise liability cases would lead to “the most absurd and outrageous consequences, to which I can see no limit" (p. 114). In taking another giant step forward, in imposing product liability in tort, we were not halted by the spectre of an inability to pre-judge every future ease. The setting of boundaries upon that doctrine makes the problem of fixing lines of Emitation here appear, by comparison, almost miniscule. The widening of the area of liabiEty and the possibility of the encouragement of unfounded and undefinable claims in the products liability field was sweeping; here we deal with a comparatively isolated and unusual situation. We do not believe that the fear that we cannot successfully adjudicate future cases of this sort, pursuant to the *744suggested guidelines, should bar recovery in an otherwise meritorious cause.
The fear of an inability to fix boundaries has not impelled the courts of England to deny recovery for emotional trauma caused by witnessing the death or injury of another due to defendant’s negligence. We set forth the holdings of some English cases merely to demonstrate that courts can formulate and apply such limitations of liability.
The first and classic case, Hambrook v. Stokes Bros., supra, 1 K.B. 141, rejected the argument that recovery should be denied because of possible administrative difficulty. In Ham-brook the defendant’s servant left a truck parked at the top of a steep and narrow street with the engine running. The deceased, a pregnant woman, had walked with her children on their way to school to the point where they turned onto the street where the truck was parked. Because the driver did not take proper precautions, the truck started itself down the hill and struck one of the children. Although she herself was never in danger, the mother saw the runaway truck and feared greatly for the safety of her children. Upon inquiry she found that one of the children had been seriously injured; several months later both the mother and the foetus were dead. The trial court directed the jury that the father’s suit for loss of services could succeed only if the death were caused by the mother’s fear for her own safety, but the appellate court held that the plaintiff could recover even if the fear for the children brought about her demise.
Paced with the contention that their holding would increase the number of suits and foment possible fraudulent claims, Lord Justice Atkin quoted this passage: “ ‘I should be sorry to adopt a rule which would bar all such claims on grounds of policy alone, and in order to prevent the possible success of unrighteous or groundless actions. Such a course involves the denial of redress in meritorious cases, and it necessarily implies a certain degree of distrust, which I do not share, in the capacity of legal tribunals to get at the truth in this class of claim. ’ ” (Hambrook v. Stokes Bros., supra, quoting from Dulieu v. White and Sons [1901] 2 K.B. 669, 681, opinion by Kennedy, J.)
In a recent application of the Hambrook rule, an English court permitted recovery by a widow of a man who developed severe psychoneurotic symptoms as a result of harrowing experiences, not involving his personal safety, while serving as a rescuer at a gruesome train wreck. The court stated that *745the “ ‘test of liability for' shock is foreseeability of injury by shock. ’ ” (Chadwick v. British Railways Board [1967] 1 W.L.R. 912, 920, quoting from King v. Phillips [1953] 1 Q.B. 429, 441, opinion by Denning, L.J.)
Professor John Fleming of the School of Law, Boalt Hall, University of California, in a careful analysis of the development of English law on this subject, first explains, “It is evident, of course, that, to the extent of denying redress for certain kinds of negligently inflicted harm, the law is in effect withholding its protective mantle from corresponding human interests that may accordingly be infringed with impunity. To refuse a remedy for nervous shock is the equivalent of refusing to accede to an individual’s claim for safeguarding his emotional security. It is also the same as saying that there is no ‘duty’ owed to exercise reasonable care to avoid inflicting this type of loss or injury. Although no longer quite as fashionable in this particular context, the same idea can also, finally, be expressed by asserting that such damage is ‘too remote’ or, what amounts to the same thing, that the defendant’s negligence was not its ‘proximate cause’.” (Fleming, An Introduction to the Law of Torts (1967) p. 46.) ■
After explaining that certain English cases manipulated doctrinal approaches “to subserve ulterior purposes” in granting recovery in some situations and denying it in others, Fleming states that “a long-delayed change in attitude may perhaps be discerned in the latest decision by the Court of Appeal [Boardman v. Sanderson (1964) 1 W.L.R. 1317 (C.A.)], which sustained a father’s claim for a mental shock he suffered upon hearing the screams of his boy when the latter’s foot was negligently caught under the wheel of the defendant’s ear from which father and son had just alighted inside a service garage. Neither did the father fear for his own safety nor did he so much as even see the accident. Indeed, the claimant was not even a female—the prototype plaintiff in these cases being almost exclusively concerned with pregnancy injuries. Yet the court considered it sufficient to say that a duty was owed not only to the boy but also to his near relatives, who, to the defendant’s knowledge, were on the premises within earshot and likely to come upon the scene if any injury befell him. It remains to be seen whether this relaxation, slight as it may be, might not eventually be extended to relatives’ whose presence, though not actually known, was yet foreseeable in accordance with the prevailing *746test customarily applied to .claims for. physical injuries.” (Italics in original; fn. omitted.) (Fleming, An Introduction to the Law of Torts, supra, at p. 54.)
The English courts have likewise marked out areas of liability, excluding those injuries that are remote and unexpected. Thus a distinguished English court has held that the physical injury of a casual bystander resulting from shock or fright upon witnessing an accident would present so unusual and hence unforeseeable an event as to warrant a directed verdict for defendant. “The driver of a car or vehicle, even though careless, is entitled to assume that the ordinary frequenter of the streets has sufficient fortitude to endure such incidents as may from time to time be expected to occur in them, including the noise of a collision and the sight of injuries to others, and is not to be considered negligent towards one who does not possess the customary phlegm.” (Italics added.) (Bourhill v. Young (1943) A.C. 92, 117 (Lord Porter); see, id. at pp. 98 (Lord Thankerton), 101 (Lord Bussell), 104 (Lord MacMillan), and 107 (Lord Wright) ; King v. Phillips, supra, 1 Q.B. 429, 442.)
Thus we see no good reason why the general rules of tort law, including the concepts of negligence, proximate cause, and foreseeability, long applied to all other types of injury, should not govern the case now before us. Any questions that the cause raises “will be solved most justly by applying general principles of duty and negligence, and . . . mechanical rules of thumb which are at variance with these principles do more harm than good.” (2 Harper & James, The Law of Torts, supra, p. 1039; fn. omitted.) “The refusal to apply these general rules to actions for this particular kind of physical injury is nothing short of a denial of justice.” (Throckmorton, Damages for Fright, supra, 34 Harv.L.Rev. 260, 277; fn. omitted.)
In short, the history of the eases does not show the development of a logical rule but rather a series of changes and abandonments. Upon the argument in each situation that the courts draw a Maginot Line to withstand an onslaught of false claims, the cases have assumed a variety of postures. At first they insisted that there be no recovery for emotional trauma at all. (Amaya v. Home Ice, Fuel & Supply Co., supra, 59 Cal.2d 295, dissenting opinion by Peters, J., p. 328 fn. 9.) Retreating from this position, they gave relief for such trauma only if physical impact occurred. (Id. at p. 325 fn. 4.) They then abandoned the requirement for physical impact but *747insisted that the victim fear for her own safety (Amaya v. Home Ice, Fuel & Supply Co., supra, 59 Cal.2d 295), holding that a mother could recover for fear for her children’s safety if she simultaneously entertained a personal fear for herself. (Lindley v. Knowlton, supra, 179 Cal. 298.)6 They stated that the mother need only be in the “zone of danger” (Reed v. Moore (1957) 156 Cal.App.2d 43, 47 [319 P.2d 80]). The final anomaly would be the instant case in which the sister, who observed the accident, would be granted recovery because she was in the “zone of danger,” but the mother, not far distant, would be barred from recovery.
The successive abandonment of these positions exposes the weakness of artificial abstractions which bar recovery contrary to the general rules. As the commentators have suggested, the problem should be solved by the application of the principles of tort, not by the creation of exceptions to them. Legal history shows that artificial islands of exceptions, created from the fear that the legal process will not work, usually do not withstand the waves of reality and, in time, descend into oblivion.
We have explained that recovery here will not expose the courts to false claims or a flood of litigation. The test that we have set forth will aid in the proper resolution of future eases. Indeed, the general principles of tort law are acknowledged . to work successfully in all other cases of emotional trauma.
Yet for some artificial reason this delimitation of liability is alleged to be unworkable in the most egregious case of them all: the mother’s emotional trauma at the witnessed death of her child. If we stop at this point, however, we must necessarily question and reject not merely recovery here, but the viability of the judicial process for ascertaining liability *748for tortious conduct itself. To the extent that it is inconsistent with our ruling here, we therefore overrule Amaya v. Home Ice Fuel & Supply Co., supra, 59 Cal.2d 295.
To deny recovery would be to chain this state to an outmoded rule of the 19th century which can claim no current credence. No good reason compels our captivity to an indefensible orthodoxy.
The judgment is reversed.
Peters, J., Most, J., and Sullivan, J., concurred.
I dissent for the reasons set forth in Amaya v. Some Ice, Fuel & Supply Co. (1963) 59 Cal.2d 295, 297-315 [29 Cal.Rptr. 33, 379 P.2d 513], In my opinion that case was correctly decided and should not be overruled.
As recently as 1963 this court, in Amaya v. Home Ice, Fuel & Supply Co., 59 Cal.2d 295 [29 Cal.Rptr. 33, 379 P.2d 513], thoroughly studied and expressly rejected the proposition (pp. 298-299) that tort liability may be predicated on fright or nervous shock (with consequent bodily illness) induced solely by the plaintiff’s apprehension of negligently caused danger or injury to a third person. As related in our Amaya opinion, plaintiff there was the mother of a 17-month-old boy who saw him struck by a truck; accordingly our ruling necessarily included all mothers of small children who observe them being injured. Yet today this court’s Amaya decision is overruled by an opinion which disdains any discussion whatever of the history and policy of pertinent law painstakingly set forth in Amaya.
Every one of the arguments advanced in today’s opinion was considered by this court and rejected, expressly or by fair implication, in Amaya. 1 Further, as Amaya points out (p. 304 of 59 Cal.2d), in every jurisdiction in this country that had ruled on the point at issue the decisions up to that time (1963) were unanimous in upholding the rule of nonliability.
So far as has been discovered, in not a single such jurisdiction has an appellate court ruled to the contrary since *749 Amaya. 2 But the majority make "no attempt in today’s opinion—as apparently they could not—to buttress their result with citations of cases based on American law, to say nothing of that of California. Instead, we are offered two English cases applying the 1925 Hambrook case (Hambrook v. Stokes Bros. [1925] 1 K.B. 141), whose ruling we expressly rejected in Amaya (pp. 303-304 [fn. 4], and 313, of 59 Cal.2d), and which, as already stated has not been followed or approved by any jurisdiction in this country.
The majority, obviously recognizing that they are now embarking upon a first excursion into the “fantastic realm of infinite liability” (Amaya, at p. 315 of 59 Cal.2d), undertake to provide so-called “guidelines” for the future. But notwithstanding the limitations which these “guidelines” purport to impose, it is only reasonable to expect pressure upon our trial courts to make their future rulings conform to the spirit of the new elasticity proclaimed by the majority.
Moreover, the majority’s “guidelines” {ante, pp. 740-741) are simply a restatement of those suggested earlier by Professor Prosser (Prosser, Torts (2d ed., 1955) p. 182) they have already been discussed and expressly rejected by this court in Amaya (pp. 312-313). Upon analysis, their seeming certainty evaporates into arbitrariness, and inexplicable distinctions appear.3 As we asked in Amaya-. What if the plaintiff was honestly mistaken in believing the third person to be in danger or to be seriously injured? What if the third person had assumed the risk involved? How “close” must the relationship be between the plaintiff and the third person? I.e., what if the third person was the plaintiff’s beloved niece or nephew, grandparent, fiancé, or lifelong friend, more dear to the plaintiff than her immediate family? Next, how “near” *750must the plaintiff have been to the scene of the accident, and how “soon” must shock have been felt? Indeed," what is the magic in the plaintiff’s being actually present? Is the shock any less real if the mother does not know of the accident until her injured child is brought into her home? On the other hand, is it any less real if the mother is physically present at the scene but is nevertheless unaware of the danger or injury to her child until after the accident has occurred? No answers to these questions are to be found in today’s majority opinion. Our trial courts, however, will not so easily escape the burden of distinguishing between litigants on the basis of such artificial and unpredictable distinctions.
Further, and again contrary to the assertions of the majority (ante, pp. 732-733), no fallacy or incongruity appears in the rule permitting recovery to one within the physical zone of danger for trauma suffered from fear of impact, but denying it to a person outside that zone. The impact feared must be to oneself, and it must be an objective fear—not merely that of- an excessively imaginative or timid plaintiff. As pointed out in the leading ease of Waube v. Warrington (1935) 216 Wis. 603, 612-613 [258 N.W. 497], “It is one thing to say that as to those who are put in peril of physical impact, impact is immaterial if physical injury is caused by shock arising from the peril. It is the foundation of cases holding to this liberal ruling, that the person affrighted or sustaining shock was actually put in peril of physical impact, and under these conditions it was considered immaterial that the physical impact did not materialize. It is quite another thing to say that those who are out of the field of physical danger through impact shall have a legally protected right to be free from emotional distress occasioned by the peril of others, when that distress results in physical impairment.” (Italics added.) Thus, California’s rule that a plaintiff’s reasonable fear for his own safety is compensable presents neither an argument for the same rule as to fear for others, nor a danger of recovery based on the plaintiff’s false claims of fear for himself.4
*751The assertion of the majority (ante, p. 735) that “The denial of ‘duty’ in the instant situation [i.e., physical impairment resulting from emotional distress occasioned by apprehension of the peril of others] rests upon the prime hypothesis that allowance of such an action would lead to successful assertion of fraudulent claims,’’ (italics added) is controverted by the very ease cited in support. (Waube v. Warrington, supra, 216 Wis. 603, 613.) Instead of reliance on any such “prime hypothesis,” the Wisconsin court had this to say in Waube: “The answer to this question cannot be reached solely by logic, nor is it clear that it can be entirely disposed of by a consideration of what the defendant ought reasonably to have anticipated as a consequence of his wrong. The answer must be reached by balancing the social interests involved in order to ascertain how far defendant’s duty and plaintiff’s right may justly and expediently be extended. It is our conclusion that they can neither justly nor expediently be extended to any recovery for physical injuries sustained by one out of the range of ordinary physical peril as a result of the shock of witnessing another’s danger. Such consequences are so unusual and extraordinary, viewed after the event, that a user of the highway may be said not to subject others to an unreasonable risk of them by the careless management of his vehicle. Furthermore, the liability imposed by such a doctrine is wholly out of proportion to the culpability of the negligent tort-feasor, would put an unreasonable burden upon users of the highway, open the way to fraudulent claims, and enter a field that has no sensible or just stopping point.”
As this court declared in Amaya (p. 315 of 59 Cal.2d), there is good sense in the conclusion of the court in Waube that ‘1 the liability imposed by such a doctrine is wholly out of proportion to the culpability of the negligent tort-feasor”; further, to permit recovery by every person who might adversely feel some lingering effect of the defendant’s conduct would throw us into “the fantastic realm of infinite liability.” Yet the majority opinion in the present case simply omits to either mention or discuss the injustice to California defendants flowing from such a disproportionate extension of their liability—an injustice which plainly constituted a “prime hypothesis” for rejection of the liability sought to *752be imposed by the plaintiffs in Waube and in Amaya. (See also Jelley v. LaFlame (N.H. 1968) supra, 238 A.2d 728, 730, citing with approval and following this ground of decision expressed in Watibe and in Amaya.)
Additionally, the majority fail to explain their bare assertion {ante, p. 733) that contributory negligence of Erin will defeat any recovery by plaintiff mother and sister.5 The familiar and heretofore unquestioned principle is that the relationships of parent and child or of husband and wife in themselves furnish no basis for imputation of contributory negligence. (Within, Summary of Cal. Law (1960) Torts, § 341, p. 1542; Rest.2d Torts, § 488.) Is this principle now abrogated in California? If so, it is a ruling extending far beyond the confines of the particular issue now before us, and reaches potentially every negligence action in which the plaintiffs are members of the same family.
It appears to me that in the light of today’s majority opinion the matter at issue should be commended to the attention of the Legislature of this state. Five years have elapsed since our Amaya decision, during which that body has not undertaken to change the law we there declared. We may presume, therefore, that the limitations upon liability there affirmed comport with legislative views. But if all alleged California tortfeasors, including motorists, home and other property owners, and governmental entities, are now to be faced with the concept of potentially infinite liability beyond any rational relationship to their culpability, then surely the point has been reached at which the Legislature should reconsider the entire subject and allow all interests affected to be heard.
I would affirm the judgment.
McComb, J., concurred.
4.4.4.3.6 Questions and Notes on Dillon 4.4.4.3.6 Questions and Notes on Dillon
Fun Fact
The author of the majority opinion in this case was Matthew Tobriner, who served on the California Supreme Court from 1962 to 1982. He authored several opinions on tort law during his tenure. Perhaps his most famous is in a case we read earlier: Tarasoff v. Regents of the University of California, the "Psychologist's Patient Case."
Guiding Questions
- How many different tort claims were brought in this case? What was each of them?
- Under the prior California case of Amaya, what rule governed whether a bystander could recover for her emotional distress suffered because of injury to someone else?
- Why does Justice Tobriner overrule Amaya? What rule for bystander NIED cases does he fashion in its place?
- What does Justice Burke say in dissent?
Test Your Knowledge
While walking through a neighborhood park, Maria saw her six-year-old son struck by a speeding car that had jumped the curb. Maria was standing just a few feet away, witnessed the entire incident, and immediately ran to her son’s side. Tragically, the child died at the scene. Maria, though physically unharmed, developed severe emotional distress and was later diagnosed with PTSD. She brings a claim against the driver for NIED as a bystander. In a jurisdiction that follows the Dillon v. Legg factors, is Maria likely to prevail?
- No, because Maria did not suffer any physical injury herself.
- No, because a parent cannot bring an NIED claim for harm to their child.
- Yes, because all bystanders who witness fatal accidents are entitled to recover for emotional distress.
- Yes, because Maria was closely related to the victim, was near the scene, and witnessed the event as it occurred.
Notes and Further Cases
- Bystander NIED in California. Not long after the principal case, the California Supreme Court again tweaked its approach to bystander NIED cases. In Thing v. La Chusa, 771 P.2d 814 (Cal. 1989), the bystander was merely near—not at—the scene when the third party was harmed. The majority denied recovery. Addressing the factors for its foreseeability analysis, the majority clarified that the bystander must in fact be at the scene when the third party suffers harm. It further added that the emotional distress the bystander suffers must be more severe than what a disinterested spectator would suffer.
- Bystander NIED rules today. Bystander NIED rules today are about as varied as they come. As a leading torts scholar reports, most jurisdictions today have scuttled the zone-of-danger requirement and instead emphasize foreseeability generally, à la the majority in the principal case. See Dan B. Dobbs, et al., Hornbook on Torts 715 (2d ed. 2016). Jurisdictions differ, however, in the factors they use in conducting the foreseeability analysis. See id. The Restatement (Third), for example, says that the bystander's emotional distress must be serious, that the bystander be a close family member of the harmed third party, and that the bystander "perceive[] the event contemporaneously." Restatement (Third) of Torts: Liab. for Phys. & Emot. Harm § 48 (2012). Other jurisdictions retain a zone-of-danger-like analysis. See Dobbs, supra.
- Bystander NIED and "close relationships." Some jurisdictions require that the plaintiff be a "close relation" of the harmed third party in order to recover under a bystander NIED theory. The Restatement (Third) does too. See Restatement (Third) of Torts: Liab. for Phys. & Emot. Harm § 48(b) (2012). What is a "close" relation? Unsurprisingly, jurisdictions disagree about how to answer that question. See id., cmt. f & reporter's n. But, in general, a close relation always includes a spouse, fiancé/fiancée, parent, or child; sometimes includes a long-term partner or sibling; and seldom includes grandparents or grandchildren.
4.4.4.3.7 Boyles v. Kerr 4.4.4.3.7 Boyles v. Kerr
The Nonconsensual Pornography Case
Dan BOYLES, Jr., Petitioner, v. Susan Leigh KERR, Respondent.
No. D-0963.
Supreme Court of Texas.
May 5, 1993.
Concurring Opinion by Justice Gonzalez on Motion for Rehearing May 5, 1993.
Supplemental Dissenting Opinion by Justice Doggett on Motion for Rehearing May 5, 1993.
Dissenting Opinion by Justice Doggett Dec. 2, 1992.
Concurring and Dissenting Opinion by Justice Cook Dec. 2, 1992.
*594OPINION ON MOTION FOR REHEARING
Respondent’s motion for rehearing is overruled. Our opinion of December 2, 1992, is withdrawn and the following is substituted in its place.
This is a suit for the negligent infliction of emotional distress. We hold that there is no general duty in Texas not to negligently inflict emotional distress. A claimant may recover mental anguish damages only in connection with defendant’s breach of some other legal duty. Because Respondent proceeded below only on the theory of negligent infliction of emotional distress, we reverse the judgment of the court of appeals in her favor. 806 S.W.2d 255. However, in the interest of justice, we remand for a new trial.
I
On August 10, 1985, Petitioner Dan Boyles, Jr., then seventeen, covertly videotaped nineteen-year-old Respondent Susan Leigh Kerr engaging in sexual intercourse with him. Although not dating steadily, they had known each other a few months and had shared several previous sexual encounters. Kerr testified that she had not had sexual intercourse prior to her relationship with Boyles.
Kerr and Boyles, who were both home in Houston for the summer, had made plans to go out on the night of the incident. Before picking Kerr up, Boyles arranged with a friend, Karl Broesche, to use the Broesche house for sexual intercourse with Kerr. Broesche suggested videotaping the activity, and Boyles agreed. Broesche and two friends, Ray Widner and John Paul Tamborello, hid a camera in a bedroom before Kerr and Boyles arrived. After setting up the camera, the three videotaped themselves making crude comments and jokes about the activity that was to follow. They left with the camera running, and the ensuing activities were recorded.
Boyles took possession of the tape shortly after it was made, and subsequently showed it on three occasions, each time at a private residence. Although he showed the tape to only ten friends, gossip about the incident soon spread among many of Kerr and Boyles’ friends in Houston. Soon many students at Kerr’s school, Southwest Texas State University, and Boyles’ school, the University of Texas at Austin, also became aware of the story. Kerr did not learn of the video until December 1985, long after she and Boyles had stopped seeing each other. After she confronted him, Boyles eventually admitted what he had done and surrendered the tape to Kerr. No copies had been made.
Kerr alleges that she suffered humiliation and severe emotional distress from the videotape and the gossip surrounding it. At social gatherings, friends and even casual acquaintances would approach her and comment about the video, wanting to know “what [she] was going to do” or “why did [she] do it.” The tape stigmatized Kerr with the reputation of “porno queen” among some of her friends, and she claimed that the embarrassment and notoriety affected her academic performance. Kerr also claimed that the incident made it difficult for her to relate to men, although she testified to having had subsequent sexually-active relationships. Eventually, she sought psychological counselling.
Kerr sued Boyles, Broesche, Widner and Tamborello, alleging intentional invasion of privacy, negligent invasion of privacy, and negligent (but not intentional) infliction of emotional distress. Before the case was submitted to the jury, however, Kerr dropped all causes of action except for negligent infliction of emotional distress. The jury returned a verdict for Kerr on that claim, assessing $500,000 in actual damages. The jury also found that all defendants were grossly negligent, awarding an additional $500,000 in punitive damages, $350,000 of which was assessed against Boyles. The trial court rendered judgment in accordance with the jury’s verdict.
*595Only Boyles appealed to the court of appeals.1 That court affirmed the judgment against him, concluding that Kerr established negligent infliction of emotional distress under the facts of this case. The court of appeals also affirmed based on negligent invasion of privacy, even though Kerr abandoned this theory prior to submission of the case to the jury and did not brief or argue it as a basis for affirmance in the court of appeals.
II
Initially, we must determine whether negligent infliction of emotional distress constitutes an independent cause of action in Texas. Kerr claims that we recognized a broad right to recover for negligently inflicted emotional distress in St. Elizabeth Hospital v. Garrard, 730 S.W.2d 649 (Tex.1987). Boyles contends that the Garrard holding is limited to the particular facts of that case.
In Garrard, a hospital negligently disposed of the Garrards’ stillborn baby in an unmarked, common grave without the plaintiffs’ knowledge or consent. The Gar-rards sued for negligent infliction of emotional distress, without alleging that they suffered any physical injury. This Court nonetheless concluded that they had stated a cause of action. We determined that “Texas first recognized the tort of negligent infliction of mental anguish in Hill v. Kimball, 76 Tex. 210, 13 S.W. 59 (1890).” 730 S.W.2d at 652. This tort, we said, had been administered under traditional tort concepts, subject only to a refinement on the element of damages: the mental suffering is not compensable unless it manifests itself physically. Id. After determining that the physical manifestation requirement was arbitrary because it “denies court access to persons with valid claims they could prove if permitted to do so,” id., we proceeded to abolish it. 730 S.W.2d at 654.
The Court then proceeded, we believe, to create a general duty not to inflict reasonably foreseeable emotional distress. The Court said:
Clearly, freedom from severe emotional distress is an interest which the law should serve to protect_ Having recognized that an interest merits protection, it is the duty of this court to continually monitor the legal doctrines of this state to insure the public is free from unwarranted restrictions on the right to seek redress for wrongs committed against them.... Thus, we hold that proof of physical injury resulting from mental anguish is no longer an element of the common law action for negligent infliction of mental anguish.
730 S.W.2d at 653-54. Four justices joined in the judgment, but concurred on the grounds that the same result could be reached under the traditional Texas rule allowing emotional distress damages arising from the mishandling of a corpse. Id. at 654. If the Court’s holding was, as Boyles contends, limited to the mishandling of corpses, the concurring opinion would not need to have been written, as its rationale would have been incorporated in the majority opinion.
The liability standard under this new tort, however, was never entirely clear. Garrard seemed to indicate that “trivial” emotional distress should not be compensated, 730 S.W.2d at 652, and similarly that the law should protect against “severe” emotional distress. Id. at 653. Rather than articulating any threshold level of severity, however, the Court concluded that “[¡jurors are best suited to determine whether and to what extent the defendant’s conduct caused compensable mental anguish by referring to their own experience.” Id. at 654.
While the holding of Garrard was correct, we conclude that its reasoning was based on an erroneous interpretation of Hill v. Kimball, and is out of step with most American jurisdictions. Therefore, we overrule the language of Garrard to the extent that it recognizes an indepen*596dent right to recover for negligently inflicted emotional distress. Instead, mental anguish damages should be compensated only in connection with defendant’s breach of some other duty imposed by law. This was the basis for recovery prior to Garrard, which expanded the scope of liability based on a misconstruction of Hill v. Kimball.
In Hill, a pregnant woman suffered a miscarriage when she witnessed the defendant severely beating two men in her yard. The woman sued for her physical injuries under negligence, claiming that the emotional trauma of witnessing the beatings produced the miscarriage and that the defendant should have reasonably anticipated the danger to her. The Court found that the plaintiff had stated a cause of action. The basis, however, was the physical injury she had suffered, together with her allegation of foreseeability. The Court reasoned as follows:
That a physical personal injury may be produced through a strong emotion of the mind there can be no doubt. The fact that it is more difficult to produce such an injury through the operation of the mind than by direct physical means affords no sufficient ground for refusing compensation, in an action at law, when the injury is intentionally or negligently inflicted_ Here, according to the allegations of the petition, the defendant has produced a bodily injury by means of that emotion, and it is for that injury that the recovery is sought.
76 Tex. at 215, 13 S.W. at 59.
The Court considered only whether the plaintiff could recover for her physical injuries, not whether she could otherwise recover for her emotional distress or mental anguish caused by witnessing the beatings. Furthermore, the Court noted that liability would depend on “whether, under the circumstances, and with the lights before him, a reasonably prudent man would have anticipated the danger to her or not.” Id. In other words, the defendant was negligent if he should have known that he was imposing an unreasonable risk of physical injury to the plaintiff, not if he merely should have anticipated that the plaintiff would suffer emotional distress.
Hill, therefore, did not recognize a cause of action for negligent infliction of emotional distress. It merely recognized the right to recover for physical injuries under standard negligence principles, notwithstanding that the physical injury is produced indirectly through emotional trauma. Gar-rard thus did not merely modify Hill, but created an entirely new cause of action.
The dissent vigorously denounces our abolition of the tort created in Garrard, calling it “controlling precedent” that contains a “rather clear pronouncement” of a new tort affirming “the respect for human dignity.” 855 S.W.2d at 608, 607, 605 (Doggett, J., dissenting on rehearing). Gar-rard, however, ill deserves the lofty pedestal to which the dissent has belatedly elevated it. Even today, the justices of this Court cannot agree on the extent of Garrard’ s reach, see infra at 604 (Gonzalez, J., concurring on motion for rehearing), and we have never embraced its broad holding. Thus, in Freeman v. City of Pasadena, 744 S.W.2d 923 (Tex.1988), we limited the bystander cause of action to those persons meeting the criteria of Dillon v. Legg, 68 Cal.2d 728, 69 Cal.Rptr. 72, 80, 441 P.2d 912, 920 (1968), without even citing Gar-rard as a potential basis for broader liability. Justice Ray, the author of the Court’s opinion in Garrard, while noting in a concurring opinion in Freeman that, because of Garrard, “perhaps the need for a bystander cause of action is now without a basis,” 744 S.W.2d at 925, did not explain why the plaintiff in Freeman could not recover under the Garrard tort. Further, the Court held in Reagan v. Vaughn, 804 S.W.2d 463, 466-67 (Tex.1990), that a child could not recover mental anguish damages resulting from a severe injury to a parent, without considering Garrard as a basis for recovery. Even Justice Doggett, who now views Garrard as a landmark in the recovery of emotional distress damages, did not deem it worthy of citation in his vigorous concurring and dissenting in Reagan. In fact, this Court has never upheld a recovery under the Garrard tort.
*597Were we the only Court struggling with Garrard, we could perhaps limit the case to its facts and let it slip into quiet oblivion. But other courts must try to understand it as well. Thus, while many lower Texas courts have read Garrard as creating an independent cause of action for negligent infliction of emotional distress, see, e.g., Campos v. Ysleta Gen. Hosp., Inc., 836 S.W.2d 791, 795 (Tex.App.—El Paso 1992, writ denied); C.T.W. v. B.C.G., 809 S.W.2d 788, 796 (Tex.App.—Beaumont 1991, no writ); Massey v. Massey, 807 S.W.2d 391, 397 (Tex.App.—Houston [1st Dist.] 1991, writ requested); McNamara v. Freedom Newspapers, Inc., 802 S.W.2d 901, 903 n. 2 (Tex.App.—Corpus Christi 1991, writ denied); Dominguez v. Kelly, 786 S.W.2d 749, 753 (Tex.App.—El Paso 1990, writ denied); Orkin Exterminating Co. v. Williamson, 785 S.W.2d 905, 912 (Tex.App.—Austin 1990, writ denied); Texas Dep’t of Corrections v. Winters, 765 S.W.2d 531, 532 (Tex.App.—Beaumont 1989, writ denied); City of Watauga v. Taylor, 752 S.W.2d 199, 204 (Tex.App.—Fort Worth 1988, no writ); see also Blankenship v. Kerr County, 878 F.2d 893, 897 (5th Cir.1989), other “courts of appeals have not fully embraced [its] holding.” Chiles v. Chiles, 779 S.W.2d 127, 130 (Tex.App.—Houston [14th Dist.1989, writ denied). Moreover, some federal decisions have dealt with Garrard by limiting the decision to its particular facts. For example, in Harmon v. Grande Tire Co., 821 F.2d 252, 258 (5th Cir.1987), decided shortly after Garrard, the court stated that “[w]hile the majority opinion in Garrard is broadly written, we read it as being directed only to the matter of proof.” The court thus concluded that Garrard did not create a new duty that would allow a non-eyewitness bystander to recover for negligently inflicted emotional distress. Id. See also In re Air Crash at Dallas/Ft. Worth Airport, 856 F.2d 28 (5th Cir.1988). In Fiorenza v. First City Bank-Central, 710 F.Supp. 1104, 1105 (E.D.Tex.1988), the court held that “[t]he Texas Supreme Court does not yet recognize a separate cause of action in the employee/employer relationship for negligent infliction of emotional distress,” apparently concluding that Garrard was limited to its facts. Professor Crump, one of Boyles’ appellate counsel, has argued that “[i]t is important ... not to lose sight of the contractual relationship between hospital and patient as the source of the underlying duty [in Garrard].” David Crump, Evaluating Independent Torts Based upon “Intentional" or “Negligent” Infliction of Emotional Distress: How Can We Keep the Baby From Dissolving in the Bath Water?, 34 Ariz.L.Rev. 439, 458 (1992).
Considering our opinions and those of other Texas courts, as well as the law in most American jurisdictions, Garrard could fairly be characterized as an anomaly rather than a landmark. We believe the jurisprudence of our state is better served by overruling Garrard’s broad language outright, rather than ignoring it as in Freeman, limiting the case to its facts as in Harmon and Delta, or pretending that the concurring opinion was in fact the rationale of the majority.
By overruling the language of Garrard, we hold only that there is no general duty not to negligently inflict emotional distress. Our decision does not affect a claimant’s right to recover mental anguish damages caused by defendant’s breach of some other legal duty. See, e.g., Fisher v. Coastal Transp. Co., 149 Tex. 224, 230 S.W.2d 522 (1950) (negligent infliction of direct physical injury); Moore v. Lillebo, 722 S.W.2d 683 (Tex.1986) (wrongful death); Fisher v. Carrousel Motor Hotel, Inc., 424 S.W.2d 627 (Tex.1967) (battery); Stuart v. Western Union Tel. Co., 66 Tex. 580, 18 S.W. 351 (1885) (failure of telegraph company to timely deliver death message); Billings v. Atkinson, 489 S.W.2d 858 (Tex.1973) (invasion of privacy); Leyendecker & Assocs., Inc., v. Wechter, 683 S.W.2d 369 (Tex.1984) (defamation); Pat H. Foley & Co. v. Wyatt, 442 S.W.2d 904 (Tex.Civ.App.—Houston [14th Dist.] 1969, writ ref’d n.r.e.) (negligent handling of corpse).
Also, our holding does not affect the right of bystanders to recover emotional distress damages suffered as a result of witnessing a serious or fatal accident. *598Texas has adopted the bystander rules originally promulgated by the California Supreme Court in Dillon v. Legg, 68 Cal.2d 728, 69 Cal.Rptr. 72, 80, 441 P.2d 912, 920 (1968):
(1) Whether plaintiff was located near the scene of the accident as contrasted with one who was a distance away from it;
(2) Whether the shock resulted from a direct emotional impact upon plaintiff from the sensory and contemporaneous observance of the accident, as contrasted with learning of the accident from others after its occurrence; and
(3) Whether plaintiff and the victim were closely related, as contrasted with an absence of any relationship or the presence of only a distant relationship.
Freeman v. City of Pasadena, 744 S.W.2d 923 (Tex.1988). See also Reagan v. Vaughn, 804 S.W.2d 463, 466-67 (Tex.1990). The policy concerns that require limiting the emotional distress cause of action in the direct victim case generally do not apply in the bystander case. Before a bystander may recover, he or she must establish that the defendant has negligently inflicted serious or fatal injuries on the primary victim.
We emphasize that we are not broadening a claimant’s right to recover mental anguish damages caused by breach of a particular duty; we ieave such right unaffected. For example, a claimant may not recover mental anguish damages in connection with negligent misrepresentation. Federal Land Bank Assoc. v. Sloane, 825 S.W.2d 439 (Tex.1991). Also, mental anguish damages may not be recovered under the Texas Deceptive Trade Practices Act, Tex.Bus. & Com.Code §§17.41-17.63, absent proof of a willful or grossly negligent violation. See Luna v. North Star Dodge Sales, Inc., 667 S.W.2d 115 (Tex.1984); Duncan v. Luke Johnson Ford, Inc., 603 S.W.2d 777 (Tex.1980). Our holding today does not extend these rules.
We also are not imposing a requirement that emotional distress manifest itself physically to be compensable. As explained in Garrard, the sole purpose of the physical manifestation rule is to ensure the genuineness of claims for emotional distress. 730 S.W.2d at 652. Garrard criticized this requirement as both under- and overinclusive, id., and we agree. See Julie A. Davies, Direct Actions for Emotional Harm: Is Compromise Possible?, 67 Wash.L.Rev. 1, 24-25 (1992) (the physical manifestation rule “has been criticized on the ground that it has no obvious relation to emotional harm”). Where emotional distress is a recognized element of damages for breach of a legal duty, the claimant may recover without demonstrating a physical manifestation of the emotional distress. This has long been the rule, even before Garrard. See, e.g., Leyendecker & Assocs., Inc., v. Wechter, 683 S.W.2d 369, 374 (Tex.1984).
Most other jurisdictions do not recognize a general duty not to negligently inflict emotional distress. Many limit recovery by requiring proof of a physical manifestation.2 Others allow recovery where the *599claimant establishes the breach of some independent duty.3 A few jurisdictions recognize a general right to recover for negligently inflicted emotional distress,4 but these jurisdictions are squarely in the minority.
We find the experience in California to be instructive. In Molien v. Kaiser Foundation Hospitals, 27 Cal.3d 916, 167 Cal.Rptr. 831, 838-39, 616 P.2d 813, 820-21 (1980), the California Supreme Court abolished the physical injury requirement, apparently creating an independent cause of action for negligently inflicted “serious” emotional distress. Nine years later, however, the court declared that “the negligent causing of emotional distress is not an independent tort....”, Marlene F. v. Affiliated Psychiatric Medical Clinic, Inc., 48 Cal.3d 583, 257 Cal.Rptr. 98, 101, 770 P.2d 278, 281 (1989), and that damages are recoverable only where there is a “breach of a duty owed the plaintiff that is assumed by the defendant or imposed on the defendant as a matter of law, or that arises out of a relationship between the two.” Id. 257 Cal.Rptr. at 102, 770 P.2d at 282. In another case decided shortly after Marlene F., the California Supreme Court further explained as follows:
[I]t is clear that foreseeability of the injury alone is not a useful “guideline” or a meaningful restriction on the scope of the [negligent infliction of emotional distress] action. The Dillon experience confirms, as one commentator observed, that “[fjoreseeability proves too much.... Although it may set tolerable limits for most types of physical harm, it provides virtually no limit on liability for nonphysical harm.” [citing Rabin, Tort Recovery for Negligently Inflicted Economic Loss: A Reassessment, 37 Stan. L.Rev. 1513, 1526 (1985) ]. It is apparent that reliance on foreseeability of injury alone in finding a duty, and thus a right to recover, is not adequate when the damages sought are for an intangible injury. In order to avoid limitless liability out of all proportion to the degree of a defendant’s negligence, and against which it is impossible to insure without imposing unacceptable costs on those among whom the risk is spread, the right to recover for negligently caused emotional distress must be limited.
Thing v. La Chusa, 48 Cal.3d 644, 257 Cal.Rptr. 865, 877-78, 771 P.2d 814, 826-27 (1989).
Last year, the court confirmed that Mol-ien should not be relied on as creating an independent tort for negligent infliction of emotional distress, but that recovery may lie “where a duty arising from a preexisting relationship is negligently breached.” Burgess v. Superior Court, 2 Cal.4th 1064, 9 Cal.Rptr.2d 615, 619, 831 P.2d 1197, 1201 (1992). In Burgess, the plaintiff sued her obstetrician for emotional distress caused by the doctor’s negligent delivery of the plaintiff’s child. The court viewed the claim as a traditional professional malpractice cause of action, which, under California law, supported mental anguish damages. Id. 9 Cal.Rptr.2d at 621, 831 P.2d at 1203. The duty allegedly breached was that arising from the doctor-patient relationship. Id.
Some courts have recognized an independent cause of action for “serious” or “severe” emotional distress. See Schultz v. Barberton Glass Co., 4 Ohio St.3d 131, 447 N.E.2d 109 (1983); Bass v. Nooney Co., 646 S.W.2d 765 (Mo.1983); Rodrigues v. State, 52 Haw. 156, 472 P.2d 509 (1970). This standard, however, fails to delineate meaningfully those situations where recovery *600should be allowed. As one commentator has explained:
It is difficult to imagine how a set of rules could be developed and applied on a case-by-case basis to distinguish severe from nonsevere emotional harm. Severity is not an either/or proposition; it is rather a matter of degree. Thus, any attempt to formulate a general rule would almost inevitably result in a threshold requirement of severity so high that only a handful would meet it, or so low that it would be an ineffective screen. A middle-ground rule would be doomed, for it would call upon courts to distinguish between large numbers of cases factually too similar to warrant different treatment. Such a rule would, of course, be arbitrary in its application.
Richard N. Pearson, Liability to Bystanders for Negligently Inflicted Emotional Harm — A Comment on the Nature of Arbitrary Rules, 34 U.Fla.L.Rev. 477, 511 (1982).
We therefore reverse the judgment of the court of appeals in favor of Kerr on the ground of negligent infliction of emotional distress.5
Ill
The dissent recognizes that foreseeability of injury is not an adequate basis to impose liability for unintentionally inflicted emotional distress. 855 S.W.2d at 614. The dissent therefore proposes a test that would allow recovery where defendant breaches “some legal duty not to cause harm to another beyond that created by foreseeability_” 855 S.W.2d at 615. This duty may arise “from the voluntary undertaking of an affirmative action that puts another at risk....” Id. We believe that the dissent’s “duty” limitation is no limitation at all. A “voluntary undertaking ... that puts another at risk” is simply another way of saying that the emotional distress is foreseeable.
The dissent also would find a duty based on a “special relationship” between the parties. We agree that certain relationships may give rise to a duty which, if breached, would support an emotional distress award. See Stuart v. Western Union Tel. Co., 66 Tex. 580, 18 S.W. 351 (1885) (failure of telegraph company to timely deliver death message); Pat H. Foley & Co. v. Wyatt, 442 S.W.2d 904 (Tex.Civ.App.—Houston [14th Dist.] 1969, writ ref’d n.r.e.) (funeral home’s negligent handling of a corpse). However, there must be some specific duty of care that, under the law, arises from the relationship. The dissent can point to no such duty in this case. The law has heretofore not sought to impose specific legal duties based solely on a personal relationship, even an intimate one. The duties that Boyles owed to Kerr included the general duty not to willfully invade the other’s privacy and the duty not to intentionally inflict emotional distress by outrageous conduct. It is unnecessary to recognize some other “special duty” based on the parties’ intimate relationship to provide a basis for recovery.
IV
Kerr argues that even if we do not recognize recovery for negligent infliction of emotional distress, we should recognize a cause of action for grossly negligent infliction of emotional distress. She contends that the judgment should be affirmed under this alternative cause of action as she obtained a jury finding, in connection with her claim for punitive damages, that Boyles was grossly negligent.
Even assuming that such a cause of action were recognized in Texas, Kerr could not recover on it under the record before us because she did not plead or preserve this theory of recovery.6 Kerr’s trial *601pleading asserted claims only for intentional invasion of privacy, negligent invasion of privacy and negligent infliction of emotional distress.7 The petition does assert that Boyles’ conduct was “willful,” “malicious,” and “grossly negligent,” but these allegations were made only in support of the punitive damages claim, not as a separate cause of action. Moreover, the petition never asserts that Boyles’ conduct was outrageous.
A pleading should contain “a short statement of the cause of action sufficient to give fair notice of the claim in-volved_” Tex.R.Civ.P. 47(a). We have recognized that, in the absence of special exceptions, the petition should be construed liberally in favor of the pleader. Roark v. Allen, 633 S.W.2d 804, 809 (Tex.1982). A court should uphold the petition as to a cause of action that may be reasonably inferred from what is specifically stated, even if an element of the cause of action is not specifically alleged. See id.; Gulf, Colo. & S.F. Ry. v. Bliss, 368 S.W.2d 594, 599 (Tex.1963). In the present case, however, it may not be reasonably inferred that Kerr intended to plead an independent cause of action for grossly negligent infliction of emotional distress. Her petition contained specific causes of action on which she was seeking to recover, and there was nothing contained in the petition that gave fair notice to Boyles that Kerr would also seek to recover under a separate cause of action for “grossly negligent” infliction of emotional distress by outrageous conduct.
Nor was this cause of action tried by consent, as Kerr’s presentation of the evidence did not put Boyles on notice that she was seeking to recover under such a theory. Although Kerr’s proof was perhaps relevant to a Restatement § 46 cause of action, it was also relevant to her pled causes of action, and thus Boyles’ failure to object did not constitute trial by consent. See Austin Area Teachers Fed. Credit Union v. First City Bank—Northwest Hills, 825 S.W.2d 795, 800 (Tex.App.—Austin 1992, writ denied); City of San Antonio v. Lopez, 754 S.W.2d 749, 751 (Tex.App.—San Antonio 1988, writ denied).
Any remaining doubt about Kerr’s intention was laid to rest by her actions in response to Boyles’ motion for instructed verdict. When Boyles’ counsel contended that Kerr could not recover for negligence because the “the case has been tried from start to finish as an intentional tort ...,” Kerr’s counsel objected strenuously, pointedly remarking that “should the Court adopt counsel’s suggestion, counsel would have dropped his client in the grease in that he would have gotten totally out of coverage.” Moreover, before the court ruled on Boyles’ motion, Kerr’s counsel abandoned her actions for intentional invasion of privacy and negligent invasion of privacy,8 explaining that
rather than get into a complicated charge and long drawn questions that might not be clearly defined, we have reduced our offensive thrust by way of our requested submissions to negligence — negligent infliction of emotional distress and mental anguish.
(emphasis supplied). Kerr thus unequivocally waived all theories other than negligent infliction of emotional distress, and the court submitted only that theory to the jury. Regardless of the proof, she cannot now claim that she either pled or tried by consent an action on any separate theory.
V
In rejecting negligent infliction of emotional distress as an independent cause of *602action, we stated in the original opinion that “[t]ort law cannot and should not attempt to provide redress for every instance of rude, insensitive or distasteful behavior, even though it may result in hurt feelings, embarrassment, or even humiliation.” We made clear, however, that we did not consider Boyles’ conduct to fall into that category, stating in part as follows:
The tort system can and does provide a remedy against those who engage in such conduct. But an independent cause of action for negligent infliction of emotional distress would encompass conduct far less outrageous than that involved here, and such a broad tort is not necessary to allow compensation in a truly egregious case such as this.
(emphasis supplied). We denied recovery not because Boyles breached no duty toward Kerr, but because the only theory which she chose to assert — negligent infliction of emotional distress — was overly broad and would encompass other cases involving merely rude or insensitive behavior. We reaffirm that conclusion today.
The original dissent mischaracterized the Court’s opinion, stating that “[t]o the majority what happened to this woman is indistinguishable from a mere trifle....” 855 S.W.2d at 618. According to the dissent, the Court held that Boyles owed and breached no duty toward Kerr. The dissent referred to “the majority’s unilateral choice to reject Susan Kerr’s claim that these four men owed a duty not to inflict severe harm on her,” id. at 618, and later stated that “[i]n refusing to discuss why no duty arises from Boyles’ sexual exploitation of Susan Kerr, the majority abdicates its responsibility.” Id. at 617-618.
These characterizations are completely inaccurate. The Court expressly noted that Kerr’s injuries were not a “trifle.” It did not hold that Boyles breached no tort duty, and it labeled Boyles’ conduct as “truly egregious.” Susan Kerr did not misunderstand our original opinion. She contends on rehearing that our characterizations were sufficiently strong to constitute a holding that Boyles’ conduct was outrageous as a matter of law:
No new jury is needed to say Dan Boyles’ conduct was outrageous. This fact is established in this record as a matter of law. This Court has stated as much in its majority opinion.
Motion for Rehearing at 9. Although our characterizations might have suggested this conclusion, we did not then, nor do we now, intimate any holding on this issue, as we are remanding this cause for a new trial. Nevertheless, some amici curiae on rehearing make assertions more akin to the dissent’s inventions than our actual holdings. The Association of Women Attorneys, for example, asserts that we held that Boyles’ conduct was as a matter of law not outrageous, when, as discussed above, our opinion was read by Kerr as supporting the opposite result. The Women’s Advocacy Project,9 contends that “this Court has summarily removed the only redress for the tens of thousands of Texans, both men and women, who are survivors of sexual and emotional abuse,” when in fact we remand for a trial on other actionable grounds. Finally, the brief of the Women and the Law Section of the State Bar of Texas asserts that “if the tables had been turned, and Kerr had peddled10 the videotape as a vignette of Boyles’ sexual performance ..., the all-male majority in this case would have reached a decidedly different result.” This is a grave charge, and one wholly without merit. The cause of action under review in this case would be available to both men and women to be used against both men and women, and our decision reflected our considered judgment of the appropriate development of the com*603mon law of Texas. See, e.g., Twyman v. Twyman, 859 S.W.2d 619, 623-624 (Tex.1993). One might as well argue that the dissenters in Bexar County Sheriff’s Civil Service Comm. v. Davis, 802 S.W.2d 659, 665 (Tex.1990) (Doggett, J., dissenting), were biased against women because they voted that a police captain fired for repeated sexual harassment of women subordinates had been denied due process.
VI
Kerr cannot recover based on the cause of action under which she proceeded. It may well be, however, that she failed to assert and preserve alternative causes of action because of her reliance on our holding in Garrard. We have broad discretion to remand for a new trial in the interest of justice where it appears that a party may have proceeded under the wrong legal theory. See American Title Ins. Co. v. Byrd, 384 S.W.2d 683 (Tex.1964); Dahlberg v. Holden, 150 Tex. 179, 238 S.W.2d 699 (1951). Remand is particularly appropriate where the losing party may have presented his or her case in reliance on controlling precedent that was subsequently overruled. See Murray v. San Jacinto Agency, Inc., 800 S.W.2d 826, 830 (Tex.1990) (case remanded because plaintiff might have relied on subsequently overruled precedent in preparing her summary judgment response); Scott v. Liebman, 404 S.W.2d 288, 294 (Tex.1966) (remand in the interest of justice appropriate where defendant requested jury issues in reliance on precedent no longer controlling). See generally Robert W. Calvert, “... In the Interest of Justice.”, 4 St. Mary’s L.J. 291 (1972). It is even more appropriate where we have also subsequently given formal recognition to a cause of action which might be applicable to the facts of this case. See Twyman, supra (expressly recognizing the tort of intentional infliction of emotional distress). We therefore reverse the judgment of the court of appeals and remand this cause to the trial court for a new trial.
Concurring opinion on rehearing by GONZALEZ, J.
Supplemental dissenting opinion on rehearing by DOGGETT, J., joined by GAMMAGE and SPECTOR, JJ.
CONCURRING OPINION ON MOTION FOR REHEARING
[Filed May 5, 1993]
What happened to Ms. Kerr in this case is grossly offensive conduct which no one should tolerate. As such the law should, and does, provide a remedy. However, as a result of the posturing by the dissenting justices, what has been lost in the shuffle is the pivotal role that insurance played in this case.
The young men who videotaped Ms. Kerr’s sexual encounter intentionally positioned the camera to capture the event on film. They intentionally showed the videotape to their friends. There was nothing accidental or careless about their outrageous conduct. However, Ms. Kerr intentionally gave up her right to receive redress under two other theories of recovery which she had pleaded: willful invasion of privacy,1 a cause of action which was recognized by this Court sixteen years before the jury verdict in this case in Billings v. Atkinson, 489 S.W.2d 858, 860-61 (Tex.1973), and intentional infliction of emotional distress, a cause of action that was recognized by the Restatement (Second) of Torts in 1965 and was adopted by the Beaumont court of appeals four years prior to the jury verdict in this case in Tidelands Automobile Club v. Walters, 699 S.W.2d 939 (Tex.App.—Beaumont 1985, writ ref’d n.r.e.) (relying on Duty v. General Finance Co., 154 Tex. 16, 273 S.W.2d 64 (1954)). Therefore, contrary to Justice Doggett’s suggestion in his dissent, these two causes of action were established in the jurisprudence of this state prior to Ms. Kerr’s case proceeding to trial. Her lawyers gambled *604when they made a strategic decision to proceed only with the questionable legal theory of negligent infliction of emotional distress.
At the time this case was tried, there was controversy and confusion about the state of the law regarding the tort of negligent infliction of emotional distress. See In re Air Crash at Dallas/Ft. Worth Airport, 856 F.2d 28 (5th Cir.1988); Harmon v. Grande Tire Co., Inc., 821 F.2d 252 (5th Cir.1987). Our Court had limited this tort as a separate and independent cause of action to negligent handling of a corpse, see St. Elizabeth Hospital v. Garrard, 730 S.W.2d 649, 652 (Tex.1987), and “bystander” cases which allow those who contemporaneously perceive an accident involving a close relative to recover for negligently inflicted emotional distress. See Freeman v. Pasadena, 744 S.W.2d 923, 923-24 (Tex.1988); see also Reagan v. Vaughn, 804 S.W.2d 463 (Tex.1990) (recovery for negligent infliction of emotional distress denied because Bystander Rule not satisfied). In Reagan, the Court did not even mention our prior holding in Garrard, much less state that Garrard had created an all encompassing tort of negligent infliction of emotional distress. Therefore, to the extent that the 5-4 opinion in Garrard can be read otherwise, it is an aberration, and for the reasons stated in the majority opinion, it is out of step with the majority view.
It does not take a rocket scientist to determine why Ms. Kerr’s lawyers elected to proceed solely on the tort of negligent infliction of emotional distress. In fact, her lawyers explained their strategy to the trial court. At the close of the evidence, the defense attorneys made a motion for directed verdict on the negligence theories of recovery:
The COURT: Under what basis?
MR. DRABECK [defendant’s attorney]: Under the basis that intentional tort cannot be the result of negligent conduct. That the case has been tried from start to finish as an intentional tort by the lawyers over here. We’d ask that the Court recognize that. There has never been one question asked of anybody as to whether or not they failed to exercise ordinary care on the occasion in question, whether they negligently inflicted some sort of mental distress on her. It would appear by virtue of the record as placed by the plaintiffs themselves that every single question was directed toward intentional conduct.
MR. KRIST: [plaintiff’s attorney]:
Your Honor, the — to begin with, let the record reveal, for whatever purposes, it might be at a later date, that should the Court adopt counsel’s suggestion, counsel would have dropped his client in the grease in that he would have gotten totally out of coverage—
THE COURT:
It’s your case ... and I am going to give you your requested charge. If you don’t ask for an intentional tort, I ain’t asking it, ... I’m not going to make you prosecute a lawsuit that you didn’t want to prosecute. So don’t worry about that. Nobody is going to get intentional tort unless they ask for it.
In Texas, a home owners policy covers only accidents or careless conduct and excludes intentional acts. Ms. Kerr’s lawyers may have believed that if they obtained a judgment declaring that Boyles’ conduct came within the rubric of “negligence” (inadvertence or carelessness), they could tap the homeowners policies owned by the parents of Boyles and the other defendants. Thus, this case has a lot to do with a search for a “deep pocket” who can pay. If the purpose of awarding damages is to punish the wrongdoer and deter such conduct in the future, then the individuals responsible for these reprehensible actions are the ones who should suffer, not the people of Texas in the form of higher insurance premiums for home owners.
This case has nothing to do with gender-based discrimination or an assault on women’s rights. There is no reason, other than stereotype, to assume that emotional distress is unique only to women. In fact, as noted in Justice Cornyn’s plurality opinion in Twyman v. Twyman, 855 S.W.2d 619, 623 (Tex.1993), almost as many men as women have brought claims for negligent *605infliction of emotional distress. Furthermore, women as well as men will have to pay higher premiums for their home owners policies if the dissenting justices’ views were to prevail.
In sum, Susan Kerr does not need this amorphous cause of action in order to obtain a judgment against the parties actually responsible for her traumatic experience. I concur in the Court’s judgment and opinion.
SUPPLEMENTAL DISSENTING OPINION ON MOTION FOR REHEARING1
[Filed May 5, 1993]
Today the majority reaffirms its recent reversal of the judgment for Susan Kerr. What has occurred here with the issuance of a revised opinion on rehearing is roughly comparable to Dan Boyles having erased those portions of the videotape featuring his friends making crude remarks, then replaying the remainder of the tape so damaging to Susan Kerr. Excising a few insensitive phrases in no way alters the insensitivity of the majority’s opinion.
Continuing to reject St. Elizabeth Hospital v. Garrard, 730 S.W.2d 649 (Tex.1987), the majority has, according to the Women and the Law Section of the State Bar of Texas, “turn[ed] back the clock to a time when the sexual exploitation of unwilling women was socially acceptable, without regard to negligently inflicted emotional distress.” Amicus Brief at 7. See also pro se amicus letter brief of a group of women dentists at 1 (“decision sends a message to the women of Texas that sexual harassment and abuse is OK”). No matter how intolerable the negligent conduct, no matter how severe the resulting emotional harm, relief is declared unwarranted. I believe that this court should not reject the respect for human dignity affirmed in St. Elizabeth Hospital.
Normally a court that boldly overrules controlling precedent to declare no duty is owed to someone like Susan Kerr at least provides some explanation of its reasoning. This the majority again steadfastly refuses to do. Even while recognizing that “certain relationships may give rise to a duty which, if breached, would support an emotional distress award,” 855 S.W.2d at 600, the majority refuses to explain why Boyles does not owe such a duty to Susan Kerr. The existence of a duty is a question of law that this court must decide. Totally ignored today is the most recent statement of the law by this court on this very subject:
In determining whether the defendant was under a duty, the court will consider several interrelated factors, including the risk, foreseeability, and likelihood of injury weighed against the social utility of the actor’s conduct, the magnitude of the burden of guarding against the injury, and the consequences of placing the burden on the defendant. Of all these factors, foreseeability of the risk is “the foremost and dominant consideration.”
Greater Houston Transportation Co. v. Phillips, 801 S.W.2d 523, 525 (Tex.1990) (citations omitted). The majority once again wholly refuses to analyze these factors because any fair, balanced analysis would produce a different result.2
Conceding the foreseeability of emotional harm to Susan Kerr caused by making and replaying the videotape, the majority summarily dismisses this “foremost and dominant consideration” as an inadequate basis to impose liability for unintentionally inflicted emotional distress. How, then, do the other factors weigh? What is the social utility of Boyles’ conduct? What is the *606magnitude of guarding against the injury— how difficult is it for Boyles to refrain from videotaping and displaying his secret tape compared to imposing on Kerr the obligation to protect herself by searching a room for hidden cameras? Is it too great a burden to require Boyles to be responsible for his actions?
Rather than explaining why Dan Boyles owed no duty not to negligently inflict emotional distress on Susan Kerr, the majority offers the handy excuse that it has belatedly discovered a brand new, narrowly-drawn alternative intentional infliction cause of action. Twyman v. Twyman, 855 S.W.2d 619 (Tex.1993), is seized upon as essentially a companion case to Boyles v. Kerr, then used as an excuse to avoid the question of duty here. Because Susan Kerr now has available an action for intentional infliction of emotional distress, the majority summarily declares: “It is unnecessary” to examine duty further. 855 S.W.2d at 600. This is tantamount to concluding that a court should not hold accountable one who, through negligence, discharges a loaded gun within inches of another’s head because there is a duty not to shoot intentionally. This logic fossilizes the concept of duty, precluding any further expansion and foreshadowing further retreats far beyond today’s misadventure.
Why should Boyles be held to a lesser standard than morticians and telegraph companies? 3 Why should our law of duty be irretrievably locked in a pre-video era? 4 The majority will not say. What has happened to this court’s multiple pronouncements that the common law concept of duty is not frozen or stagnant, but must change to reflect current social conditions and technological advances? 5 In turning back the clock, the majority has turned its back on those who suffer severe harm in new ways, and on women in particular. See Twyman, 855 S.W.2d at 640 (Spector, J., dissenting).
Why is the door closed for Susan Kerr? Why does her truly unfortunate situation necessitate the retreat from St. Elizabeth Hospital, which recognized a cause of action for negligently inflicted emotional distress? This abrupt reversal in the law, we discover, is not attributable to difficulties in her particular case but to the majority’s fear of “ ‘limitless liability.’ ” 855 S.W.2d at 599. '
Perhaps Justice Gonzalez is correct in asserting that insurance “played the pivotal role in this case,” 855 S.W.2d at 603 (Gonzalez, J., concurring on rehearing)— pivotal in the sense that excessive concern for the effect of every opinion on insurance companies seems to have become the predominant and overriding issue here, even to the exclusion of a woman’s most basic rights. Susan Kerr loses today because of the majority’s misdirected concern about the potential liability of insurers for some *607hypothetical rude behavior that might some day give rise to a lawsuit:
We denied recovery ... because the only theory which [Kerr] chose to assert— negligent infliction of emotional distress — was overly broad and would encompass in other cases behavior that was merely rude or insensitive.
Id. at 602. Why not await that mythical case, if and when it ever arises, to address this question? If “merely rude and insensitive” behavior is involved in some future litigation, there will be ample opportunity for this majority to say so then instead of being wholly insensitive now. If, in fact, as the majority asserts, “this Court has never upheld a recovery under the Gar-rard tort,” id. at 596, the fear of limitless liability has no foundation.
But what is most clear is that the tragic events that befell Susan Kerr — events described by the Association of Women Attorneys as “not mere name-calling” but “tantamount to rape” 6 — are all irrelevant. Indeed, the majority’s insistence on reviewing Kerr’s sexual history, a discussion wholly unnecessary to the legal issues presented, 855 S.W.2d at 594, is not dissimilar from a now rejected tactic frequently employed in the past against rape victims. See Tex. R.Crim.Ev. 412 (adopted to bar generally the common defense strategy of discussing a rape victim’s prior sexual conduct); James A. Vaught & Margaret Henning, Admissibility of a Rape Victim’s Prior Sexual Conduct in Texas: A Contemporary Review and Analysis, 23 St. Mary’s L.J. 893 (1992). Today we should focus on the facts presented here, which amply demonstrate the very real emotional harm that Susan Kerr has truly suffered. Instead, she is damned with faint empathy,7 reflecting little real concern for or understanding of her trauma.
In addition, Kerr is regrettably criticized for both relying upon a well-established cause of action under the existing decisional law of Texas and failing to pursue a claim that the majority insists it had never recognized until today’s much delayed announcement in its new companion case, Twyman. Justice Gonzalez claims Kerr took a “strategic gamble” based on “a questionable legal theory” in pursuing a negligence action under St. Elizabeth Hospital, 730 S.W.2d 649 (Tex.1987), decided two years prior to the trial, rather than for intentional infliction of emotional distress under Twyman, a decision handed down four years after the jury verdict in this case. 855 S.W.2d at 604 (Gonzalez, J., concurring on rehearing).8
Although initially recognized by the majority as a rather clear pronouncement allowing recovery for negligently inflicted emotional distress, St. Elizabeth Hospital has, for the first time on rehearing, oddly become an “anomaly” that is “not entirely clear to the bench and bar,” 855 S.W.2d at 602, and an “aberration” giving rise to “controversy and confusion.” Id. at 604 (Gonzalez, J., concurring on rehearing). Both Chief Justice Phillips and Justice Gonzalez rely primarily on federal law for this strange new proposition, citing In re Air Crash at Dallas/Ft. Worth, 856 F.2d 28 (5th Cir.1988), and the decision upon which it relies, Harmon v. Grande Tire Co., 821 F.2d 252 (5th Cir.1987). Yet the same Fifth Circuit in Blankenship v. Kerr County, 878 F.2d 893, 897 (5th Cir.1989), later made clear that the language relied upon from Harmon in the majority and concurring opinions today was “ambiguous dictum” that by no means undercut the Texas Supreme Court’s having “unambiguously declared” in St. Elizabeth Hospital the exis*608tence of a cause of action for negligent infliction of emotional distress.
Not only is federal law misrepresented, but the numerous decisions of Texas appellate courts that had no difficulty comprehending the scope of St. Elizabeth Hospital are ignored.9 Instead, the majority chooses to cite dictum from Chiles v. Chiles, 779 S.W.2d 127, 130 (Tex.App.—Houston [14th Dist.] 1989, writ denied), a single appellate opinion that is necessarily disapproved by the companion writing today in Twyman. That ease presented only the issue of intentional infliction of emotional distress and held, contrary to Twyman, that such action could not be maintained in a divorce suit. Nor did that writing dispute this court’s prior holding: “St. Elizabeth Hospital v. Garrard ... established that proof of physical injury is no longer required to recover for negligent infliction of emotional distress.” 779 S.W.2d at 130.
To bootstrap its new discovery that the law of emotional distress is racked with confusion, the majority next relies on an article that originated in the appellate briefs in this case and was written by counsel for Dan Boyles. 855 S.W.2d at 597, citing David Crump, Evaluating Independent Torts Based upon “Intentional" or “Negligent” Infliction of Emotional Distress: How Can We Keep the Baby From Dissolving in the Bath Water?, 34 Ariz. L.Rev. 439 (1992). As a final belated justification for its sudden awareness that this previously well-accepted law is now in disarray, the majority cites to Justice Gonzalez’s concurring opinion not issued until today on rehearing. Id. at 596.
This self-created uncertainty is then quickly resolved with unqualified certainty — by barring completely the well-worn path of negligent infliction to those suffering severe emotional harm. The choice of action today is presented as “overruling Garrard’s broad language outright, ... ignoring it ..., limiting the case to its facts ... or pretending that the concurring opinion was in fact the rationale of the majority.” Id. at 597. Most revealing is the majority’s failure to even consider the option of simply respecting this court’s prior decision as controlling precedent and allowing Susan Kerr to recover.
The path which the majority announces Susan Kerr should have followed — intentional infliction of emotional distress — is *609one initially rejected in this very case10 and which the author of today’s majority opinion continues personally to view as rife with “difficulties.” 11 Most likely being led down the garden path, Susan Kerr is now directed back to the trial court to pursue this new cause of action, in which those who are injured are “seldom successful.” Twyman, 855 S.W.2d at 631 (Hecht, J., dissenting).
Rejected again today is a “moderate course crafted from Texas precedent and a growing body of law nationally that would limit liability for the trivial while recompensing the truly grievous,” as outlined in my prior writing. 855 S.W.2d at 616 (Dog-gett, J., dissenting). Abolition of a well established cause of action should be a last resort employed only after modification and restriction have first been proven unsuccessful. As Justice Cornyn observes today in his companion writing in Twyman, any “well-established cause[] of action in Texas” can be attacked on grounds that
judges and juries are guided by insufficient standards, that liability may be imposed arbitrarily, that reported cases either supporting or refusing to support an award of damages disclose no uniform pattern, and that the sensitivities of aggrieved people are entirely too subjective and unpredictable.
855 S.W.2d at 622. Oddly, Justice Cornyn congratulates the plurality on rejecting such an attack in Twyman while at the same time joining identical criticism in Boyles to justify evisceration of the tort of negligent infliction of emotional distress. Not explaining this inconsistency, he declares himself enlightened keeper of the “middle ground,” who leads the court in following well established law so that Texas can become “the forty-seventh state to adopt the tort of intentional infliction of emotional distress.” Id. at 622. The false “middle ground” staked out in Twyman is between following existing Texas law permitting recovery for negligently inflicted emotional distress and rejecting an intentional tort that is “seldom successful,” id. at 631 (Hecht, J., dissenting). In disavowing the previous law of Texas, the Twyman plurality only offers women a choice between slim and none.
The majority then rewrites its excuse for refusing to affirm the judgment for Susan Kerr on alternative grounds. In its prior opinion disregarding the jury’s finding of gross negligence, the majority insisted that Kerr must lose because of her failure to submit a jury issue as to whether Boyles’ conduct was outrageous. But now this approach must be abandoned. With the recognition of a cause of action for intentional infliction of emotional distress today in Twyman that encompasses even “reckless” conduct, the majority cannot explain why the finding of gross negligence already obtained here will not support recovery.12 Nor is the majority willing to even consider a legal question that might call for their unqualified assessment of Boyles’ behavior. While professing disapproval of his conduct, the majority hastens to add that it is not “intimatpng] any holding” on the issue of whether his conduct is outra*610geous as a matter of law. 855 S.W.2d at 602.
So now the only way the majority can deny Kerr relief is to rewrite her pleadings and to disregard our procedural law that pleadings be broadly construed. Despite repeated references in Kerr’s very short petition to grossly negligent conduct, the majority incredibly concludes that Boyles did not have “fair notice” that she sought to recover for that behavior. Id. at 601. Although she described Boyles’ actions with great specificity, condemning them as “despicable” and “contemptible,” she did not use the magic word “outrageous;” the majority concludes that he then did not have “fair notice” that his conduct was beyond human decency. Id. at 601.
No credence is given to the views of those who urge the necessity and importance of preserving a cause of action for negligent infliction of emotional distress. The writings of Chief Justice Phillips and Justice Gonzalez attempt to rebut rather than to understand and analyze the many amicus briefs filed by women’s groups, id. at 601, 595, essentially suggesting that these women just took it wrong. Claiming the majority is a victim of widespread misunderstanding, Chief Justice Phillips dismisses the arguments advanced by these women nothing but “inventions” of overactive imaginations. Id. at 602. The Women’s Advocacy Project, which provides social and legal services to victims of sexual and emotional abuse, captures the widespread harm inflicted by the majority:
[T]he court has sent a message to all these Texans [who have suffered sexual and emotional abuse] that they are second class citizens. It defies logic to have a system of justice that will compensate the victim of a car wreck but that will refuse to compensate the recipients of the most devastating of emotional injuries. Perhaps more significantly, this Court has sent a message to these citizens that their injuries do not merit judicial redress, leaving them with no alternative but to take justice into their own hands.13
Instead of redress, the women of Texas today receive only excuses.
While the majority unsuccessfully attempts to rationalize the injustice done to Susan Kerr by belatedly linking her case to Twyman, Justice Gonzalez adopts a more direct approach. The real problem here, he declares, is the “posturing” of the dissent of December 2, 1992. 855 S.W.2d at 604 (Gonzalez, J., concurring on rehearing).14 He, of course, disregards the entire section IV of the majority’s original opinion attempting to rebut the substantive legal arguments of that dissent and offers no explanation of why he chose not to respond in December. Instead, on behalf of the majority he makes only passing reference to the law in his rush to come to the assistance of insurance companies.
Today’s writings seem designed to shift the focus anywhere but on the women that they affect. Chief Justice Phillips writes of future hypotheticals, id. at 603, Justice Gonzalez defends insurance companies while claiming to protect “home owners,” id. at 604, and, incredibly, Justice Cornyn claims that what is really important here is the “freedom of individual action” of people like Dan Boyles and William Twyman. Twyman, 855 S.W.2d at 622. The legal posture of this case remains unchanged; what is truly involved here is the public reaction to the majority’s prior writing, which has only generated more writing. Newspapers, not law books, appear to have *611been the principal inspiration for their new opinions.15
For her trouble, the majority imposes on Susan Kerr the obligation to pay eourt costs and reverses completely the judgment for damages awarded for the severe emotional distress she suffered when her most intimate act was videotaped and, with utter and complete disregard for her welfare, shared with others. Refusing to accept responsibility for overruling a century of Texas law in order to deny Susan Kerr recovery, then blaming the victim&emdash;this is not justice.
GAMMAGE and SPECTOR, JJ., join in this dissenting opinion.
dissenting.
[Filed Dec. 2, 1992]
[Fjreedom from severe emotional distress is an interest which the law should serve to protect.
St. Elizabeth Hospital v. Garrard, 730 S.W.2d 649, 653 (Tex.1987).
A young woman was found by a jury to have suffered severe emotional distress when her most intimate act was secretly videotaped and displayed to others. To deny her relief, the majority rewrites Texas law and recants the respect for human dignity affirmed by this court in St. Elizabeth Hospital. Having recently weakened the right to privacy1 and demonstrated its indifference to the plight of a rape victim,2 the majority now declares that in Texas no legal duty necessary to establish negligence arises from nonconsensual, surreptitious videotaping of a woman engaged in sexual intercourse. The rights of Texas women continue to slip away like sand through this majority’s fingers.
In St. Elizabeth Hospital, we recognized that an emotional loss can be “just as severe and debilitating” as a physical one. 730 S.W.2d at 653. The sexual exploitation of Susan Kerr vividly demonstrates that reality. Dan Boyles, Jr., planned an encounter with Kerr at the home of a friend, Karl Broesche, who suggested videotaping the event. While Boyles was meeting Susan Kerr, two other friends, Ray Widner and John Paul Tamborello, helped Broesche focus a hidden video camera on the bed. After recording themselves making crude jokes and vulgar predictions about the anticipated activities of Boyles and Susan Kerr, the three departed, leaving the camera operating to record the ensuing intercourse without her knowledge or consent.
The recorded tape, shown by Boyles on three occasions to various people, became a topic of conversation, particularly at each of the universities attended by the two. At social gatherings, friends and even casual acquaintances approached Susan Kerr about the video, asking “why [she] did ... it." Stigmatized with the reputation of “porno queen,” Susan Kerr alleged severe emotional distress and humiliation from the videotaping, the showing of the tape, and the ensuing notoriety. Eventually, she sought counselling for what a psychologist later diagnosed as “post-traumatic stress disorder.” A jury found that Susan Kerr had suffered severe emotional injury as a result of the negligence and gross negligence of the four men.
I.
With good reason this court has honored the principle that “freedom from severe *612emotional distress is an interest which the law should serve to protect.” St. Elizabeth Hospital, 730 S.W.2d at 654. Reviewing the outmoded rule that denied recovery unless a negligently produced emotional injury manifested itself physically, we concluded that such a restriction “arbitrarily denies court access to persons with valid claims.” Id. at 652. We thus held that “proof of physical injury resulting from mental anguish” would no longer be required to establish liability. Id. at 654.
Today, however, the majority denies Susan Kerr the protection promised by the law of Texas, criticizing her for preserving one well-established cause of action while “failpng] to assert and preserve alternative causes of action.” 855 S.W.2d at 603. Wholly disregarded is Kerr’s argument that she brought the only action against the four men who wronged her that she could legally prove. Faulting her choice of alternatives is designed solely to create the illusion that injustice is not the principal product of today’s opinion. With no other viable legal remedy available to her, Susan Kerr will, in fact, be left to resolve this “personal dispute[] through normal social means,” 36 Tex.Sup.Ct.J. at 234, however that can be arranged.
To deny Susan Kerr the relief of which the jury found she was so deserving, the majority must overrule yet another precedent. In St. Elizabeth Hospital, parents sued for negligent infliction of emotional distress resulting from a hospital’s negligent disposal of their stillborn daughter in an unmarked grave. In upholding such an action, we repeatedly referred to the “tort of negligent infliction of mental anguish.” 730 S.W.2d at 651-52. We also joined the “established trend in American jurisprudence” by rejecting as “arbitrary” and unreasonable the “physical manifestation requirement.” Id. at 654.
In overruling our prior decision, the majority diverts Texas from that national trend recognizing the physical manifestation requirement as outmoded.3 The majority’s claim that we have somehow fallen “out of step” with American jurisprudence completely misses the mark. 855 S.W.2d at 595. The only question is whether Texas steps forward as in St. Elizabeth Hospital or races backward as the majority insists. Nationally, our prior decision is considered an authority that has provided an example for other states to follow. See Gammon v. Osteopathic Hospital of Maine, Inc., 534 A.2d at 1285 & n. 7; see also Corgan v. Muehling, 158 Ill.Dec. at 495, 574 N.E.2d at 608. In the march to justice, Texas should not fear leadership.4 But rather than leading, today’s majority beats a quick retreat. If every such decision of this court is to be erased from the books as being “out of step,” Texas is doomed to last place in legal thinking.
And why the rush to retreat? The majority declares with vigor that “judicial resources” would be “strained,” 36 Tex.Sup. Ct.J. at 233, with the insignificant, the trivial, with other mere “intimate” affairs of *613the heart. 855 S.W.2d at 600. How can anyone view what happened here as just another “instance of rude, insensitive or distasteful behavior”? Id. at 601-02. When a surreptitiously produced videotape of a woman participating in sexual intercourse makes her the focus of public discussion, how can her injury be dismissed as unworthy of protection? How can the majority’s purported difficulty in “ ‘distin-guishpng] severe from nonsevere emotional harm,’ ” id. at 600, justify denying relief to Susan Kerr for the humiliation and lifelong disabling psychological disorder she suffered? How can Boyles’ conduct be so callously condoned by the majority’s announcement that they and other judges are just too busy to handle such matters? 36 Tex.Sup.CtJ. at 233.
To give this sudden and unjustifiable reversal of our jurisprudence some degree of respectability the majority employs an analysis apparently drawn from Section 436A of the Restatement (Second) of Torts (1965), a provision that has not changed since we correctly rejected it in St. Elizabeth Hospital. Three decades ago the Restatement approved a physical manifestation limitation based upon the misunderstanding that:
[Ejmotional disturbance which is not so severe and serious as to have physical consequences is normally in the realm of the trivial, and so falls within the maxim that the law does not concern itself with trifles.... so temporary, so evanescent, and so relatively harmless and unimportant, that the task of compensating for it would unduly burden the courts and the defendants.... [Ejmotional disturbance may be too easily feigned, depending, as it must, very largely upon the subjective testimony of the plaintiff; ... recovery for it might open too wide a door for false claimants who have suffered no real harm at all.
Restatement (Second) of Torts § 436A, comment b.
While a claimant can also feign physical injuries, this court does not yet deny all tort litigation on this basis. Instead, we have traditionally relied on the ability of twelve Texas citizens, empaneled as a jury, to distinguish between the fraudulent and the genuine. St. Elizabeth Hospital, 730 S.W.2d at 654. The majority’s increasing disdain for mere ordinary Texans making such determinations as jurors is once again apparent today. See 36 Tex.Sup.Ct.J. at 232 n. 2; see also Leleaux v. Hamshire-Fannett Indep. Sch. Dist., 835 S.W.2d 49, 54 (Tex.1992) (Doggett, J., dissenting); Reagan v. Vaughn, 804 S.W.2d 463, 491 (Tex.1991) (Doggett, J., concurring and dissenting). To deny a remedy to all because of the meritless actions of a few “arbitrarily den[iesj court access to persons with valid claims” and “do[esj not serve the best interests of the public.” St. Elizabeth Hospital, 730 S.W.2d at 652, 654. Certainly the existence of physical symptoms does not affect the authenticity of the emotional injury. A contrary conclusion in effect rewards the weak and punishes the strong, when the injury sustained may be identical:
Mental suffering is no more difficult to estimate in financial terms, and no less a real injury, than “physical” pain.... [Tjhe law is not for the protection of the physically sound alone.
W. Page Keeton, Prosser & Keeton on Torts § 54, at 360 (5th ed. 1984) (hereinafter Prosser & Keeton on Torts) (citations omitted).5 The degree of harm suffered does not change the nature of a wrongful act. If someone’s objectionable conduct inflicts severe emotional distress on two victims, only one of whom manifests that distress physically, why should the wrongdoer’s fault support recovery for one and not the other?
The unwarranted fear of unwarranted claims has been unequivocally rejected by one leading commentator who appropriately declared that:
[Tjhere has long been precedent enough [for emotional injury claims], and no *614great increase in litigation has been observed.
Prosser & Keeton on Torts § 54, at 360. This comports with the experience of other state courts that have not been overburdened with litigation. See James v. Lieb, 221 Neb. 47, 375 N.W.2d 109, 117 (1985); Schultz v. Barbeton Glass Co., 4 Ohio St.3d 131, 447 N.E.2d 109, 111-12 (Ohio 1983); see also Peter A. Bell, The Bell Tolls: Toward Full Tort Recovery for Psychic Injury, 36 U.Fla.L.Rev. 333, 362-65 (1984) (describing the threat of unlimited liability as a “conjured-up possibility which never materializes”). Nor is there the slightest indication that our decision in St. Elizabeth has strained Texas courts by requiring litigation of trivial claims.6
Texas need not and does not provide redress for every instance of rude or insensitive behavior that foreseeably results in hurt feelings or embarrassment. St. Elizabeth Hospital, 730 S.W.2d at 653 (extending protection to “severe” emotional injuries). We have sought to balance our desire not to expose parties to litigation over the trivial with our longstanding commitment to assuring redress for serious injuries. See id.; Hill v. Kimball, 76 Tex. 210, 13 S.W. 59, 59 (1890).
II.
Even if it feels compelled to repudiate St. Elizabeth Hospital, to reject totally “an independent cause of action ... for negligently inflicted emotional distress,”7 855 S.W.2d at 595, and to declare “there is no general duty in Texas not to negligently inflict emotional distress,” id. at 594, the majority’s refusal to recognize Susan Kerr’s claim remains groundless. She should be permitted to recover here in an ordinary negligence action, which initially requires proof of four elements: the existence of a duty, a breach of that duty, a resulting injury, and the foreseeability to a reasonably prudent person that such an injury was a likely result of the breach. See Rosas v. Buddies Food Store, 518 S.W.2d 534 (Tex.1975). Modifying these standards as they apply to cases involving emotional harm would preserve the ability of those suffering severe emotional injury to recover damages.
Ordinarily, there are a number of ways to establish a duty, including the undertaking of any conduct that could foreseeably cause an injury. In the context of psychic injuries, foreseeability alone has been viewed by some as insufficient to create an adequate duty. See Marlene F. v. Affiliated Psychiatric Medical Clinic, Inc., 48 Cal.3d 583, 257 Cal.Rptr. 98, 102, 770 P.2d 278, 281 (1989) (foreseeability must be accompanied by a legal duty).8 Therefore, it is required that a duty be “owed the plaintiff that is assumed by the defendant or imposed on the defendant as a matter of law, or that arises out of a relationship between the two.” Id. This duty requirement has also been expressed as “some special relationship between the plaintiff and the defendant establishing ■ a higher *615than usual duty for defendant toward plaintiff.” Hubbard v. Allied Van Lines, Inc., 540 F.2d 1224, 1230 (4th Cir.1976). Consistent with Texas law, a sufficient duty may arise from a statute or other legal obligation, or may be created when a party “voluntarily enters into an affirmative action affecting the interests of another,” and the harmful consequences of such conduct are reasonably foreseeable. Otis Engineering Corp. v. Clark, 668 S.W.2d 307, 309 (Tex.1983).9
To deter litigation over generally inoffensive or otherwise legally acceptable conduct that may produce mental anguish unaccompanied by physical injury, reference could be made to the Restatement of Torts requirement of “extreme and outrageous conduct” of either an intentional or “reckless” nature. Restatement (Second) of Torts § 46(1). See also id. § 313(1)(a); Hubbard, 540 F.2d at 1230 (conduct must be “extreme and outrageous”); Bass v. Nooney Co., 646 S.W.2d at 772; Schultz v. Barbeton Glass Co., 447 N.E.2d at 113. The Restatement also requires that the injury be “severe.” Restatement (Second) of Torts § 46; see also Marlene F., 257 Cal.Rptr. at 102, 770 P.2d at 282 (discussing “[djamages for severe emotional distress”). This conforms with our recognition in St. Elizabeth Hospital that there is a right to be free not from all psychic harm, such as that resulting from mere insults, but rather from “severe emotional distress.” 730 S.W.2d at 653. This threshold showing of injury establishes a “check on the ... conversion of] minor emotional blows into lawsuits.” Davies, Emotional Harm, at 49.
In the context of mental anguish, recovery may be had when an actor “should have realized that his conduct involved an unreasonable risk of causing the distress .... ” Restatement (Second) of Torts § 313(l)(a) (“Emotional Distress Unintended”). The requirement of foreseeability in this context has been expressed as conduct that is “likely to produce emotional distress in a person of ordinary sensibilities.” Hubbard, 540 F.2d at 1230. Inclusion of the reasonably prudent person standard avoids the specter of “compensation for the hurt feelings of the supersensitive plaintiff — the eggshell psyche.” Gammon v. Osteopathic Hosp. of Maine, Inc., 534 A.2d at 1285.
Unfortunately, today’s writing, unlike St. Elizabeth, fails to examine the relevant legal literature on emotional distress, including that which recommends permitting such an action with reasonable limitations as a part of negligence.10 If, as the majority insists, further restrictions are necessary for negligently produced mental anguish damages absent physical manifestation, these could be imposed without destroying all protection against emotional injury by the following conditions: (1) there must be some legal duty not to cause harm to another beyond that created by foreseeability of injury, such as that arising from a special relationship, a statutory duty, or from the voluntary undertaking of an affirmative action that puts another at risk; (2) that duty must be breached by conduct that is reckless, extreme or outrageous; (3) the resulting psychic harm must be severe; and (4) the likelihood of such an injury must be foreseeable to a reasonably prudent person. These standards would address in a more balanced way the majority’s single-minded interest in discouraging unmeritorious suits while maintaining the promised protection of the law to those sustaining severe emotional injuries.
*616The facts before us satisfy all of these conditions. Although Boyles clearly intended the act of engaging in intimate relations with Susan Kerr which would be videotaped, he did not intend the consequences, in this case the psychic injury suffered. Boyles stressed that he told Kerr that “he was sorry and had not meant to hurt her.” Counsel for Boyles conceded at oral argument that “certainly an argument can be made in this case that there was negligence also involved,” and that “there is evidence from which” negligence could be argued. By showing and then failing to destroy the tape, he negligently disregarded Kerr’s emotional well-being. By Boyle’s own admissions, his conduct was negligent; he did not intend to harm Kerr. Further, based on a charge defining “negligence” as “failing to do that which a person of ordinary prudence would have done under the same or similar circumstances,” the jury’s finding adequately constitutes a determination of foreseeability.
Under the circumstances presented, Boyles’ participation in the surreptitious videotaping and showing of the recording gave rise to a heightened duty of care. The majority opinion offers not the slightest explanation of why this does not create a duty not to inflict emotional distress that was breached by Boyles’ role in making, displaying, and failing to destroy the videotape, all of which conduct the jury found to constitute gross negligence, defined as:
such an entire want of care as to indicate that the act or omission in question was the result of conscious indifference to the rights, welfare or safety of the persons affected by it.
This finding of conscious indifference based on Boyles’ highly offensive behavior is sufficient to satisfy the prerequisite of outrageous or reckless conduct.11 See Underwriters Life Ins. Co. v. Cobb, 746 S.W.2d 810, 819 (Tex.App.—Corpus Christi 1988, no writ) (to recover mental anguish damages in an insurance code action “[i]t is necessary to show the tortfeasor acted knowingly or with conscious indifference”). As this court explained in Burk Royalty Co. v. Walls, 616 S.W.2d 911, 920 (Tex.1981), “ ‘reckless disregard’ and ‘gross negligence’ are synonymous terms.”
Similarly, there was an adequate finding of a severe emotional or psychic harm. The jury question on emotional distress defined “mental anguish” as:
[A] relatively high degree of mental pain and distress. It is more than mere disappointment, anger, resentment, or embarrassment, although it may include all of these. It includes a mental sensation of pain resulting from such painful emotion as grief, severe disappointment, indignation, wounded pride, shame, despair and/or public humiliation.12
By finding damages under this definition, the jury indicated that Kerr’s injury was not trivial or de minimis, but rather a “relatively high degree of mental pain and distress.” The severity of her injuries was supported by considerable evidence including expert testimony that this disorder would plague Kerr for the rest of her life. Hence, even if significant limitations were,,, imposed on recovery for emotional distress' in a negligence action, this jury’s findings are sufficient to support an award of damages to Susan Kerr.
In its haste to bar access to the courts, the majority prefers abolition of an action to consideration of a more moderate course crafted from Texas precedent and a growing body of law nationally that would limit liability for the trivial while recompensing the truly grievous. If restrictive standards are necessary, this court should first attempt modification and improvement, not evisceration of a cause of action. Cf. Cy *617 press Creek Utility Co. v. Muller, 640 S.W.2d 860, 866 (Tex.1982).
III.
But moderation and balance are not qualities which this majority values. See, e.g., Walker v. Packer, 827 S.W.2d 833, 846 (Tex.1992) (Doggett, J., dissenting) (discussing majority’s alteration of mandamus procedures to protect those obstructing discovery while denying review to those seeking information). The only semblance of moderation associated with today’s writing is the strategic decision to overrule St. Elizabeth Hospital while apparently leaving all related law in place. This creates more anomalies than it purports to resolve.
Perhaps most curious is the majority’s insistence that it “continue[s] to reject the physical manifestation requirement.” 36 Tex.Sup.Ct.J. at 233, when, in fact, any such rejection is most narrowly limited. The majority continues to recognize recovery for negligent infliction of emotional distress without evidence of a physical injury for a few previously accepted categories such as the mistreatment of corpses or misdelivery of telegrams. See Pat H. Foley & Co. v. Wyatt, 442 S.W.2d 904 (Tex.Civ.App.—Houston [14th Dist.] 1969, writ ref’d n.r.e.) (negligent handling of corpse); Stuart v. Western Union Tel. Co., 66 Tex. 580, 18 S.W. 351 (1885) (negligent failure of telegraph company to deliver death message). See also Prosser and Keeton on Torts § 54, at 362; Cantu, Negligent Infliction, at 1565. Only because “a claimant’s right to recover” under the limited circumstances of these prior cases is left “unaffected” by today’s opinion, 855 S.W.2d at 597-98, can the majority claim it has not fully reinstituted the physical manifestation requirement.
Greater protection is thus extended to negligent mishandling of the dead than outrageous treatment of the living. Distinctions such as those between abuse to the living, whose parents may not recover for their distress, and abuse of the dead, whose parents may, are “surely no great triumph of logic.” Prosser & Keeton on Torts § 54, at 366. One commentator explains that the allowance of damages for mistreatment of corpses derives from little more than the “mysticism or aura of death.” Cantu, Negligent Infliction, at 1565. The law cannot stand on such arbitrary foundations. By recognizing the appropriateness of damages for emotional distress as a part of traditional negligence action when all necessary elements are established, arbitrary limitations can be permanently discarded so that any person directly victimized is treated no differently than the parents of dead children and the recipients of inaccurate telegrams.
What this court today classifies as a suit for personal injuries resulting from emotional harm is nothing more than a requirement that some physical injury be shown to recover in a negligence action seeking damages for emotional distress. In Moore v. Lillebo, 722 S.W.2d 683, 686 (Tex.1986), we concluded:
The physical manifestation rule has been expanded to include many symptoms. “Courts have gone to great lengths in order to find a physical injury.” Comment, Texas Bystander Recovery: In the Aftermath of Sanchez v. Schindler, 35 Baylor L.Rev. 896, 901 (1983). All manner of symptoms have qualified as physical manifestations.... Such a wide-ranging meaning has attached to “physical manifestation,” that the term has lost much of its former significance....
(Footnote added).13 The effect of today’s ruling is to preserve the holding that physical manifestation is meaningless in a wrongful death action while declaring it *618meaningful where only mere lifelong emotional harm is produced.
IV.
To the majority what happened to this woman is indistinguishable from a mere trifle or any other distress associated with daily existence. The public display of this woman’s most intimate act is compared to the termination of any “intimate relationship,” 855 S.W.2d at 600, and callously treated as just another affair of the heart. When these four men videotaped Susan Kerr during sexual intercourse, they grossly trespassed over the line of the ordinary and acceptable. And why should they not be legally accountable to her for the emotional scars inflicted by their misconduct? No answer of any kind is provided. Instead the majority disparages the victim with gratuitous comments that “[although not dating [Boyles] steadily,” Susan Kerr “shared several ... sexual encounters” soon after meeting him, id. at 594, and noting that, despite the emotional blow sustained, she “had subsequent sexually-active relationships.” Id. at 594.
While suggesting California law is “instructive,” id. at 599, the majority proceeds to disregard the fact that the definition of duty in that state is not limited to doctors, morticians and telegraph companies. But whether today’s writers looked to California or some other secret source to reject Susan Kerr’s claim, we can only surmise. No analysis or explanation of any kind is offered regarding what factors were determinative of the majority’s unilateral choice to reject Susan Kerr’s claim that these four men owed a duty not to inflict severe harm on her. The law is not irretrievably locked in the days before televisions and video-cameras, nor limited to operators of telegraphs and horse-drawn carriages. In refusing to discuss why no duty arises from Boyles’ sexual exploitation of Susan Kerr, the majority abdicates its responsibility. Until writings such as today’s, our court sought to fulfill its obligation to keep tort law apace with modern times: “The creation of new concepts of duty in tort is historically the province of the judiciary.” El Chico Corp. v. Poole, 732 S.W.2d 306, 314 (Tex.1987).14
The majority fails to acknowledge that the human psyche can be injured in a way that is every bit as real as slicing through flesh or crushing bones. Once again today’s opinion considers only one-half of the fairness equation:
And where the concern is to avoid excessive punishment upon a negligent defendant, it must be asked whether fairness will permit leaving the burden of loss instead upon the innocent victim.
Prosser & Keeton on Torts § 54, at 361. I believe we should adopt a balanced approach that strives for fairness to both. Instead, by the majority’s return to the physical manifestation rule, another “dead tort principle [has been] resuscitate[d].” See Stewart Title Guar. Co. v. Sterling, 822 S.W.2d 1, 18 (Tex.1992) (Doggett, J., dissenting). There I compared this reinvi-goration of such dead and unrealistic concepts to the awakening of “unthinking zombie[s] in The Night of the Living Dead,” id. at 12, and predicted that:
Like the movies, this opinion will have sequels. Unlike the movies, the havoc the court effects on our traditional tort law will cause direct harm to the lives of thousands of ordinary Texans.
Id. at 18. “Sequel” was perhaps an understatement; what is happening here is a Wednesday matinee serial where each such revisionist writing could appropriately end “To Be Continued.”
“Rude and callous behavior,” we are told, is only the price we must pay — what “must be tolerated in a free and open society.” 36 Tex.Sup.Ct.J. at 236. The conduct which occurred here has nothing to do with promoting a free and open society.
The message of the majority is clear: Don’t bother this court to separate injustice from the inconsequential, better to bar both. The cause is now remanded for Su*619san Kerr to endure the trauma of another trial “in the interest of justice.” 855 S.W.2d at 594. What a conflict in terms; no interest of justice has been served here today. I dissent.
MAUZY and GAMMAGE, JJ., join in this dissenting opinion.
concurring and dissenting.
[Filed Dec. 2, 1992.]
I concur with the holding of the majority. I write separately, however, because I find the court’s opinion confusing and inconsistent in many respects. I must clarify my own positions on these important issues.
The court’s opinion leads to confusion between a cause of action and damages. In some sections, the court refers to a “cause of action for negligent infliction of emotional distress.” Elsewhere, the court refers to “emotional distress” as an element of damages. Another section refers to “mental anguish damages.”
The confusion in terminology is understandable, given the various labels our judiciary has applied to causes of action for emotional distress and the element of damages. Lack of precision in terms, however, should not be allowed to obscure the difference between the cause of action and the element of damages or the exact effect of today’s decision. The cause of action we reject today is the general negligent infliction of emotional distress, once called negligent infliction of mental anguish in St. Elizabeth Hospital v. Garrard, 730 S.W.2d 649 (Tex.1987). What we do not disturb in the court’s opinion is the status of damages. Damages for mental anguish are still recoverable in Texas, as the result of many torts. Furthermore, such damages need not be proved by physical manifestation. In my view, St. Elizabeth was correct to drop the physical manifestation requirement to recover damages for mental anguish.
I decline to join in any part of the court’s opinion which discusses a cause of action for intentional infliction of emotional distress. The court has reached beyond the questions presented in this case to discuss intentional infliction within its discussion of a possible cause of action for gross negligence. The discussion is. unnecessary and confuses the issue.
4.4.4.3.8 Questions and Notes on Boyles 4.4.4.3.8 Questions and Notes on Boyles
Fun Fact
Chief Justice Phillips mentions that Ms. Kerr attended Southwest Texas State University. That institution has undergone many a name change in its long history. It was founded in 1899 as the Southwest Texas State Normal School. In 1918 it replaced "School" with "College." In 1923 it replaced "Normal" with "Teachers" (to the affront of teachers everywhere, probably). In 1959 it deleted "Teachers" (again perhaps to their affront). In 1969 it replaced "College" with "University." In 2003 it moved "Southwest" to the end and then deleted "Southwest." Then it added "San Marcos," in order to distinguish the institution from its sister institution with the same name in Round Rock, Texas. But in 2013 it reversed course and deleted "San Marcos," at last giving us the crisp name by which the institution goes today: Texas State University. See Texas State University, Name History, https://www.txst.edu/about/history-traditions/names.html (last accessed August 23, 2024). Note that there is still the sister institution, Texas State University Round Rock. Easy to keep straight, right?
Guiding Questions
- Is this a direct NIED or a bystander NIED case?
- What NIED analysis does Chief Justice Phillips use? The "physical impact" rule? A zone-of-danger analysis? A special-relationship analysis? Something else?
- What role, according to Justice Gonzalez's concurrence, might insurance have played in this case? What effect, if so, did that have on the case's outcome?
Test Your Knowledge
Ariana and Ben met when Ariana was studying abroad in Australia. They entered into a long-term romantic relationship. During their time together, Ariana consented to Ben taking several intimate photographs of her, with the mutual understanding they would remain private. After a bitter breakup, Ariana returned to the United States. Ben was angry and sought to embarrass Ariana. He uploaded several of these photos to a public website, "YourSweetRevenge.com," which specializes in such content. The images were widely circulated, and Ariana suffered severe emotional distress, including anxiety, depression, and panic attacks, for which she sought psychiatric care. Ariana brings a claim against Ben for IIED and the website for NIED. For the purposes of this question, ignore any intermediary liability immunities or cross-jurisdictional challenges. In a jurisdiction that has adopted both IIED and NIED doctrines as we learned them, what is the most likely outcome?
- Ariana can recover for both IIED against Ben and NIED against the website.
- Ariana cannot recover under either IIED or NIED.
- Ariana can recover for IIED against Ben, but not for NIED against the website.
- Ariana cannot recover for IIED against Ben, but can recover for NIED against the website.
Notes and Further Cases
- NIED in Texas today. The Supreme Court of Texas added to the Boyles v. Kerr analysis in City of Tyler v. Likes, 962 S.W.2d 489 (Tex. 1997). Reaffirming that Texas will not recognize a general NIED cause of action, the Court denied recovery where one Ms. Likes suffered mental anguish after a drain system, which was negligently maintained by the City of Tyler, broke, flooding Ms. Likes' home with three feet of water and sending a neighbor's landscape timber crashing through her window. See id. at 493–500. Thus, today, Texas continues to allow recovery for NIED only in a narrow set of time-honored scenarios and special relationships.
- Prohibitions on revenge pornography. A wide range of criminal and civil laws today aim to address revenge pornography. Criminal prohibitions exist in 49 states as well as DC. See Sarah Kolick, Is Revenge Porn a Crime? Federal & State Revenge Porn Laws Explained, MincLaw, Oct. 23, 2024, https://www.minclaw.com/fighting-back-revenge-porn/ (last accessed Apr. 29, 2025). (South Carolina, apparently, is the lone holdout.) Colorado's law specifically references emotional distress. It criminalizes use of the internet to post or distribute depictions of another's private intimate parts or sexual acts (1) with the intent of pecuniary gain or to harass, intimidate, or coerce the other; (2) without the other's consent; and (3) when it results in "serious emotional distress" to the other. See Colo. Rev. Stat. §§ 18-7-107, -108. Although there is no comparable federal crime, the Violence Against Women Act combats, inter alia, gender-based violence, including sexual assault, domestic violence, and stalking. See 42 U.S.C. §§ 13925–14045d. Civil remedies, meanwhile, often operate on the footing of these criminal laws, either by a direct civil cause of action or by way of negligence per se. There are also several common law causes of action that a victim of revenge pornography can use for redress, including invasion of privacy, IIED, and defamation.
4.5 Damages 4.5 Damages
4.5.1 Preface to Damages 4.5.1 Preface to Damages
The final element in negligence a plaintiff must show is damages. The plaintiff must prove that the defendant's breach of a duty caused an injury, and the plaintiff must give some valuation to that injury.
We are already familiar with some of the terms and general concepts in damages. For example, we know that monetary damages fall into three buckets: nominal damages, under which the plaintiff claims a de minimis sum (usually $1) merely to vindicate a right that has been wronged; compensatory damages, under which the plaintiff claims a sum of money that will "make them whole," restoring them to the position they would have been in had the negligence not occurred; and punitive damages, which exceed normal compensatory damages in order to deter especially pernicious conduct. Damages can be further broken down between economic damages (such as medical expenses and lost wages) and non-economic damages (which cover pain and suffering, emotional distress, and loss of consortium).
In the cases that follow, we will study how the measure of damages affects liability in negligence. First, in Kenton v. Hyatt Hotels Corp. we will study how juries calculate compensatory damages when the plaintiff is injured because of negligence. The assessment of damages involves complex considerations, including the nature and extent of the injury, the foreseeability of the harm, and the appropriate method for calculating loss. These principles not only ensure that plaintiffs receive fair compensation but also uphold the broader societal function of deterring negligent conduct and promoting accountability.
Then, in Matthias v. Accor Economy Lodging, Inc. we will explore the place of punitive damages in negligence. We will see why, in that case, the jury awarded the plaintiffs $5,000 in compensatory damages but $186,000—almost 40 times more—in punitive damages. We will try to assess when such damages are proportionate and what conduct is reprehensible enough to justify such penalties.
Finally, in Aikens v. Debow we will consider whether an injury that amounts to nothing more than "pure economic loss" is a total bar on the ability to sue in negligence.
4.5.2 Taylor Swift and Nominal Damages 4.5.2 Taylor Swift and Nominal Damages
Please go on Canvas and Search for a folder titled “Additional Readings” under the Files tab. Within it you will find a subfolder titled “Taylor Swift and Nominal Damages,” which includes Scott Hershovitz, The Wisdom of Taylor Swift, N.Y. Times (Sept. 8, 2019). Some Guiding Questions Follow.
"Taylor Swift" by Eva Rinaldi Celebrity Photographer is licensed under CC BY-SA 2.0.
Guiding Questions
- Why would Taylor Swift sue David Mueller for $1? What’s the point?
- Why would any court agree to entertain a lawsuit seeking to win a grand total of $1?
- Given your answers to question (1) and (2), should suits for nominal damages be allowed in negligence suits?
4.5.3 Kenton v. Hyatt Hotels Corp. 4.5.3 Kenton v. Hyatt Hotels Corp.
The Collapsing Skywalk Case
Kay KENTON, Plaintiff-Respondent, v. HYATT HOTELS CORPORATION, et al., Defendants-Appellants.
No. 66839.
Supreme Court of Missouri, En Banc.
June 25, 1985.
Rehearing Denied Aug. 7, 1985.
*85Michael E. Waldeck, Thomas B. Alleman, Robert L. Driscoll, John C. Aisenberry, Terence J. Thum, Kansas City, for defendants-appellants.
Max W. Foust, Steven D. Steinhilber, James P. Frickleton, Duke W. Ponick, Jr., Kansas City, for plaintiff-respondent.
Plaintiff, Kay Kenton, who had completed two years of law school obtained a jury verdict of $4,000,000 as compensatory damages for injuries sustained by the collapse of the suspended skywalks in the Hyatt Regency Hotel lobby, in Kansas City, Missouri, on July 17, 1981. On after-trial motions, the trial court concluded that the verdict was excessive and entered an order sustaining a motion for a new trial unless the plaintiff filed a remittitur of $250,000. Plaintiff-respondent accepted the remittitur but an appeal was perfected by appellants *86to the Court of Appeals, Western District. Appellants asserted trial errors and requested reversal and remand for a new trial or alternatively that the verdict be reduced by a remittitur of $2,000,000. Appellants contended that the trial court erred in refusing to grant a $2,000,000 remittitur. Countering that contention, respondent contended that the trial court erred in ordering a remittitur of $250,000 and requests that the verdict be reinstated in accordance with Rule 78.10.
The Court of Appeals, Western District, affirmed the judgment in all particulars but declined to restore the remittitur ordered by the trial court and transferred the case to this court. We now decide the case as an original appeal pursuant to the provisions of Mo. Const. Art V, § 10. We affirm in part and reverse in part. We affirm the judgment of the trial court, in all respects, except remittitur; we reverse that part of the trial court’s order granting a remittitur, and, under the principles of the companion case decided this date, Firestone v. Crown Center Redevelopment Corporation, 693 S.W.2d 99, remand the cause with directions to set aside the order of remittitur, reinstate the verdict and enter judgment for plaintiff for the verdict sum of $4,000,000.
We adopt substantial portions of the opinion of the Court of Appeals written by the Honorable Jack P. Pritchard without quotation marks.
The facts and evidence are set forth as they relate to each of the points raised on appeal.
I
Appellants’ first point is that the trial court erred in admitting evidence concerning events at the hotel on July 17, 1981. They contend: “Such evidence was not relevant to any issue relating to respondent’s damages, because appellants admitted that respondent’s injuries were caused by the accident. Because the evidence was inflammatory and prejudicial to appellants the jury’s verdict was based upon improper passion and prejudice and was greatly enhanced.” By subpoints to Point I, appellants expand: “A. The court erred in admitting testimony concerning events of the accident that did not relate to Ms. Kenton’s injuries. B. The court erred in admitting into evidence videotape and still photographs of the accident scene. C. The court erred in admitting evidence of the design and weight of the skywalks.”
Appellants first complain of the testimony of Ronald L. Olds, a fire captain of the Kansas City Fire Department. He arrived at the Hyatt Regency about seven minutes after the skywalks collapsed. He proceeded to direct his crew to insert a Herst hydraulic lift to raise the skywalks. He was able to crawl under the bottom section (in the area where the skywalks fell upon respondent), and he described what he saw and found: “A. There were people under it. They were alive. Some were pinned very strongly. Others were not so strongly pinned. I crawled back out. I had my crew start using the Herst tool and crib that section. I went back under and started pulling the ones out that I could, the ones that were most available. I worked— as I went in, I pulled them out. Most of the time this was effected by me grabbing a hold of them in whatever manner I could and my crew grabbing my feet and pulling me out.” Olds described the sounds and noises he heard: “A. There was — there was sheer terror in voices. You had to block out everything so that you could do your job. There was blood and everything around. The smell was horrible.” Olds also testified that in order to get live people out, he had to move debris, pieces of the bottom parts of the skywalks, bodies and other things.
Michael Mahoney was on assignment by KMBC TV — Channel 9, to do a story on the Hyatt Tea Dance which was in progress just before the skywalks fell. Prior to that time, he and his crew had made video shots of the dance floor area, and had moved to an area near the terrace restaurant, where there was an overhead panoramic view of the crowd and dancing people below. Ma-*87honey was in the process of loading another video cassette tape in the machine when he heard two popping noises. He looked up and was able to witness the actual collapse and separation of the skywalks. There was a loud thud, and when the bridges hit the ground there was a large cloud of dust from the concrete. There was silence for a few seconds, and then there were people crying for help. Small portions of the videotape, thereafter taken (with gruesome parts eliminated, as conceded by appellants’ counsel), were shown to the jury.
Respondent’s sister, Ann Kenton, who was with her on the evening of the disaster, testified as to her observations of that occurrence. She and respondent arrived at the Hyatt about 6:15 p.m. on July 17, 1981. At the time of the collapse, Ann was not beneath the skywalks, but was in an area east of the dance floor. Respondent was beneath the area of the second and fourth floor skywalks which fell about her near the south end of the lobby. Ann, Captain Olds, and respondent all indicated the area (encircled) on Plaintiff’s Exhibit 2, where respondent was situated, which was beneath the southern portions of the fallen second and fourth floor walkways. Ann described the sounds she heard coming from people in and around the skywalks after the collapse: “A. It was hysterical, hysteria. There were grown men crying for help and there was nothing I could do for them. There were people crushed everywhere, blood, and I looked in the area where she had been and there was rubble and bodies and I couldn’t pick her out of the bodies. And the moans and screams.” Ann later found respondent slumped in a chair to the west of the skywalks, and respondent was carried outside and placed on a gurney or a stretcher.
Still photographs of the scene were admitted into evidence, some in color and some in black and white. Ann Kenton identified Exhibit 4K as the area where respondent had been and described it thus: “A. There were people sticking halfway out from under the skywalk, from here up there were grown men screaming for help, moaning and I walked through the blood, or there was blood everywhere. And the rescue people were pulling out whoever was more alive than others, I suppose.” None of the admitted photographs show any dead or injured persons.
The National Bureau of Standards report of the collapse was admitted into evidence, from which architect Berkebile testified, telling the jury that the fourth floor sky-walk was located 45 feet above the lobby floor and was directly above the second floor skywalk which was 15 feet above the lobby floor. The skywalks were composed of concrete, steel, gypsum board, glass and wood and each of the four 30 foot sections weighed about 17,960 pounds. The trial court admitted this evidence to show the nature and composition of what struck respondent, but did observe, during colloquy, that it was obviously incredible and wrong to argue that 15 tons fell upon respondent. Her counsel conceded it to be obvious that all the weight did not fall upon her, and suggested that the matter be left to the jury for it to draw its own inference.
Appellants say that Mahoney’s description of the scene in the moments following the collapse was without foundation because respondent, in testifying, had no recollection of those moments. A review of respondent’s testimony shows she did remember that portion of the occurrence. She heard a loud cracking noise. She next remembered lying pinned under the sky-walks with her head twisted around and her arm twisted behind her and hearing the screams and yelling of people, and a middle-aged man lying next to her screaming for help. She started seeing blood all around her. She remembered rescue workers above her discussing how they were going to remove her from the rubble, being careful how they moved her, and one of them placed a coat or something over her. She next remembered being sprawled in a chair and her sister coming up to her.
Appellants stipulated in the pre-trial class action Settlement Agreement that if a class member chose to litigate the amount *88of compensatory damages, Settling Defendants would not contest liability for such damages. Appellants also, by counsel, admitted that respondent had suffered injuries from the collapse. There was, however, no admission of the nature and extent of her injuries (physical or mental). Appellants argue that the testimony concerning the events of July 17, 1981, was neither probative nor material to the issue of respondent’s compensation; it was an attempt to incite the jury with evidence of how she was injured; and that the “slight probative value the testimony may have had concerning the nature of Ms. Kenton’s injuries was outweighed completely by the gruesome and highly inflammatory nature of the evidence.”
Appellants cite McCormick on Evidence, § 185 (2d ed. 1972), for the general rule that evidence must be both probative and material to the matter in issue to be admissible, to which general rule there can be no dispute. Appellants cite State v. Floyd, 360 S.W.2d 630, 633 (Mo.1962) wherein the court held that the admission of a photograph of a badly decomposed body , in a homicide case was reversible error because the state of decomposition of the body was so advanced that the photograph served no legitimate evidentiary purpose, and thus, the judge exceeded his discretion in allowing such highly prejudicial evidence to go to the jury. The court stated, however, that where the tests of relevancy and probative force are satisfied it is not a valid objection to the introduction of evidence that it is gruesome, cumulative or corroborative of witness testimony. State v. Floyd at 633. Appellants also cite Gatzke v. Terminal Railroad Ass’n of St. Louis, 321 S.W.2d 462, 466 (Mo.1959), which merely held that it was error to exclude evidence that General Motors manufactured and put into service more than 3,000 locomotives without handrails where the locomotives were of the same design as the one locomotive which plaintiff claimed caused his injury, in refutation of his evidence. There is nothing in that case which would support appellants’ contention that the above recounted testimony and evidence would not have relevancy and probative value. Hawley v. Merritt, 452 S.W.2d 604, 611-612 (Mo.App.1970), held merely that certain minutes entry excerpts were not relevant to prove a conspiracy, hence the trial court’s order of new trial was proper. None of the authorities cited by appellants is dispositive.
There was a lengthy pre-trial conference as to the admissibility of the above-mentioned challenged evidence. Respondent says that proof was limited, and the evidence was not offered or received as bearing on appellants’ conduct which was not an issue, but was offered instead for the purpose of showing how respondent was injured, both physically and mentally, as well as her location at the time her injuries were sustained. Begley v. Adaber Realty & Investment Company, 358 S.W.2d 785, 792 (Mo.1962), held that photographs of ductwork which fell upon plaintiff, taken after it had fallen and had been removed to a parking lot, was admissible to show the type of construction, the presence or absence of straps, and what type of object struck plaintiff. Respondent was similarly entitled to show the force, violence and traumatic circumstances of this tragic occurrence as bearing upon the nature, extent and duration of her injuries. Compare Berry v. Harmon, 329 S.W.2d 784, 794 (Mo.1959) [reversed and remanded on other grounds], where a photograph vividly showing the damaged interior of the automobile evidencing a terrific impact and showing blood stains on the car top was offered to show the force of the impact, a basis for plaintiff’s injuries, and the place where the heads of the occupants were wedged after the accident, was held properly admitted as not being so inflammatory as to indicate any abuse of the court’s discretion. State v. Moore, 303 S.W.2d 60, 66 (Mo. banc 1957), held that it is not sufficient cause to exclude demonstrative evidence otherwise admissible on the ground that the sight of it would tend to agitate the feeling of the jurors; see also Stogsdill v. General American Life Insurance Company, 541 S.W.2d 696, 701 (Mo.*89App.1976). Even though photographs are gruesome and depict serious injuries they need not be excluded if they satisfy the rules as to the admission of demonstrative evidence. Chism v. Cowam, 425 S.W.2d 942, 947 (Mo.1967); and see also Chandler v. Gorda, 384 S.W.2d 523, 528 (Mo.1964).
The trial court, in ruling on the motion for new trial, expressed some concern about the testimony and photographic displays of the conditions immediately following the collapse of the skywalks, saying, “It was that part of the testimony presented by the plaintiff that while relevant and appropriate could not help but have evoked a great deal of sympathy for the plaintiff.” The key words are here “relevant and appropriate,” which under the above cited cases make the testimony and photographs admissible. The element of sympathy for this respondent and all the other injured and dead, and the relatives of everyone involved in the accident, is inherent in this case and could not be avoided by the triers of fact, or even this court, given the vide knowledge of this horrible tragedy-
The evidence of respondent’s injuries is that she suffered a cervical fracture which produced an initial paralysis of her body. In addition, Dr. Walter Menninger stated that she was subjected to the most severe psychosocial stressor imaginable, Grade 7, and the traumatic-event and the crippling effects it produced caused a dramatic and profound psychic trauma which is continuing in nature. Dr. Francisco Gomez, respondent’s treating psychiatrist, and Dr. Menninger classified her psychiatric injury as post-traumatic stress disorder, chronic and severe. Dr. Menninger testified further that she exhibited symptoms characteristic of a post-traumatic stress disorder: re-experiencing the trauma by either recurrent recollections, recurrent dreams, or suddenly acting or feeling as if the event was happening; and a numbing of responsiveness or reduced involvement with the external world sometime afterward. Certainly, the jury was entitled to consider the evidence of the scene of the collapse, the utter chaos that prevailed, and the effect upon respondent of being pinned beneath the debris, amidst blood, dead and injured bodies, and the sheer terror of the voices around her, in evaluating her physical and mental injuries for the purpose of fixing her compensation. The evidence was relevant, material, and appropriate. Its probative value far outweighed any prejudicial effect it might have had on the jury. There was no error in admitting the evidence, and Point I is overruled.
II
In Point II appellants contend that the trial court erred in permitting respondent to introduce evidence of her poverty. They point to the opening statement of respondent's counsel: “The evidence will also be that [respondent] borrowed money to further her education;” and “[w]hen [respondent] got out of K.U., she worked for two years to save money to get into law school.” No objection was lodged against those opening statement remarks. Then, during respondent’s direct examination, she was asked how much she had borrowed up to the time of the Hyatt incident to supplement what she earned in the summertime and in part-time work. Appellants objected to the testimony on the ground of lack of relevance, which, after colloquy, was overruled. Respondent then testified that she had borrowed $16,000 in student loans which were to be paid back within 10 years after she got out of law school. Appellants do not specifically assign error in their motion for new trial that the testimony was inadmissible because it was irrelevant. They say in their briefs filed in the Court of Appeals, “The court erred when it denied defendants’ motion for mistrial or an instruction concerning payment of plaintiff’s medical bills after the plaintiff testified, over objection, that she had taken out loans to finance her law school education, said testimony being irrelevant to any issue in this action and prejudicially intended to elicit sympathy from the jury.” No motion for mistrial directed to the admission of testimony about the student loan is found. It is impossible to see how that testimony *90was related to or connected with the claims that appellants had paid the medical bills. Nevertheless, if the assignment be considered as an attack on the relevancy of the testimony, it would seem that it is certainly relevant to the status of respondent’s independence prior to her injury, as was stated to the trial court, and there was no error in overruling the objection.
The next claim of improper evidence of poverty occurred in the cross-examination of Ann Kenton, respondent’s sister. She was asked how often respondent drove her car now. She answered that respondent drove to therapy, physical and psychiatric treatments, but does so rarely. Then she was asked, “Q. Is the ear equipped with any kind of special prosthesis or device? A. No. We can’t afford it.” [Emphasis added.] Appellants seize upon the emphasized answer as being a deliberate appeal to the jury’s sympathy by injecting the issue of poverty. Appellants’ counsel did not object to the answer but instead followed the answer by this question: “Q. Well, now, just a minute, Miss Kenton. The fact of the matter is that my clients have paid all the medical bills in this case, haven’t they?” During a following, lengthy colloquy with the court in chambers, § 490.710 RSMo 1978, was presented to the court as the basis of objection to counsel’s question. That section first provides for advance payments or partial payments by a defendant or an insurer, without any admission of liability, and by subs. 2, any payments shall constitute a credit and be deductible from any final judgment for an injured person. But, “in the event of trial involving such a claim, the fact that such payments have been made shall not be brought to the attention of the jury.” Appellants’ motion for mistrial, based upon Ann Kenton’s answer, made during colloquy, was denied, and their withdrawal instruction as to the evidence of respondent’s hospital, medical and physical therapy bills, was refused (an issue not here presented). The trial court then instructed the jury: “The witness [Ann Kenton] made an answer to the last question. I am directing you not to consider that answer in your deliberations. Immediately following that, counsel for the defendants asked a question. A question is not evidence and may not be considered by you in your deliberations. You are instructed to disregard that question, that statement.” There is no indication that Ann Kenton deliberately injected her voluntary remark in an effort to engender sympathy for respondent — her answer was spontaneous. In any event, the trial court’s instruction to the jury to disregard her answer, and to disregard counsel’s question (to remove any possible injection of an improper issue of advance payments under § 490.710(2), supra) was a sufficient corrective action as to this phase of the claimed improper answer and the question by counsel.
Appellants go on to the final argument of respondent’s counsel in which he referred to her independent status, of getting student loans and jobs, above ruled to have been relevant to her situation before her injury. Even if, the objection made during respondent’s testimony is viewed as being continued down through final argument remarks, no error appears because the argument, like the evidence, was relevant to respondent’s existent status. The same is true of her argument that she never had a car; she liked to walk, and “Of course, I doubt if she could have afforded it.” It was further argued that “Kay Kenton and I are not Hallmark. We are not Crown Center. We are not Eldridge Construction Company.” This latter argument was, of course, on a different subject than that of respondent’s previous independent status. No objection was lodged to it, and no corrective action was requested. Therefore, the trial court cannot be convicted of error in not taking some sua sponte action.
Appellants complain also of a blowup of a letter from Dr. Lana Minnigerode, one of respondent’s physiotherapists, as injecting the matter of her poverty into the ease. The letter, plaintiff’s Exhibit 25U, was used briefly during the examination of urologist Dr. Ozar, and was displayed for a short period of time to the jury. The por*91tion of the letter which was called to the attention of Dr. Ozar related to respondent’s fecal and bladder incontinence. The letter also contained this remark of Dr. Minnigerode: “I think that Kay is fairly accepting her disability, although her family still puts a lot of pressure on her to be normal, play tennis again, and so forth. Also, I’m not really very pleased with the way the Hyatt lawsuits have gone, as none of these people have any money to live on whatsoever. Everything is still pending because of a class action suit that was brought so that Kay is still without money and is having to live at home. I think this is bothering her a lot and she was previously very independent....” [Emphasis added.] Respondent’s counsel said that he used the letter only as to its reference to incontinence, and he did not know that the emphasized portion was contained in it, and appellants’ counsel conceded that there was nothing ulterior in its use. The matter was brought up after the jury retired from the courtroom. A lengthy conference on the subject was held in chambers, at which time the only relief requested was that the court instruct the jury that appellants had paid respondent’s medical bills.
The trial court determined to voir dire the jurors to see if any of them had seen and read the offending sentences, and stated that during examination, the jury’s attention was directed to the fifth paragraph, which was the reference to fecal and urinary incontinence. The jury indicated that all but one or two looked at the fifth paragraph. The court then asked, “Did any of you read any other portions of the letter when it was sitting here at any time?” Three jurors indicated they had, and they were interrogated by the court outside the hearing of the other jurors. Juror Sargent told the court that she read the bottom part about the condition she was in, but she did not read all of it — -just a part — it was removed before she could read the whole thing. Juror Bahmani stated that she read a part of the letter following the part to which the jury’s attention was directed, and recalled that Miss Kenton was facing her disability very well but her family — and that was all I got to.” Juror Raffurty stated that she read from the second paragraph, but nothing else. [The above italicized words were contained in the last, or seventh, paragraph of the letter.]. Appellants then moved again that the court instruct the jury that they had paid the medical bills, which was overruled. Their motion for mistrial made shortly thereafter was denied. The court offered to instruct the jury that it was not to consider whatever parts of the letter it had read other than that to which it was directed, which offer was declined by appellants. The trial court, by its voir dire of the jury, clearly determined that there was no damage to appellants in exhibiting Exhibit 25U to the jury, since there was no evidence that any of the members read or remembered the offending sentences.
Because of the corrective action taken by the trial court to remove any prejudicial effect of the references to poverty, and to determine that no juror had read the letter statements of Dr. Minnigerode, none of appellants’ cited cases are in point. In Smith v. St. Louis Southwestern Railway Company, 31 S.W.2d 105, 107 (Mo.App.1930), the court overruled the objection to the argument that plaintiff was a poor orphan boy, without undertaking the duty to rebuke counsel in such a way as to dislodge the ill effects of the unwarranted remarks, but rather gave approval to the course pursued by plaintiff’s counsel. See also Green v. Ralston Purina Company, 376 S.W.2d 119, 126-127 (Mo.1964). In Lewis v. Hubert, 532 S.W.2d 860, 866 (Mo.App.1975), plaintiffs did not take advantage of an offer to strike offensive evidence of their affluence, but insisted on the drastic remedy of mistrial. In Monpleasure v. American Car & Foundry Company, 293 S.W. 84, 86[4] (Mo.App.1927), the court sustained an objection to improper argument that plaintiff had no money for high-priced doctors. Appellants’ Point II has been examined in the light of their contentions and the corrective actions taken by the court, and it is denied.
*92III
In Point III, appellants contend both in the Court of Appeals and in this court that the trial court erred in refusing to exclude the testimony of two law school professors that respondent was unable to return to law school or to practice law. Two basic arguments are presented to support the point: (1) the two witnesses lacked the medical qualifications necessary to interpret medical records to form a proper opinion; (2) respondent’s counsel did not propound proper hypothetical questions to obtain their opinions. Appellants conclude that because of these (claimed) errors the jury considered evidence incompetent in itself and as foundation for economic projections of respondent’s future wage loss, and the award was greatly and improperly enhanced by the use of this evidence.
Professor James W. Jeans, of the University of Missouri at Kansas City, Missouri, was called as a witness for respondent. He has been licensed as an attorney since 1951, having prior to that time attended Washington University Law School at St. Louis for three years. He practiced civil trial and appellate work for about 14 years, and had been a law school professor for 18 years, during which time he continued to represent clients. He was familiar with the work habits and hours required of law students in and out of the classroom — on an average 16 hours a week is spent in class, and about 48 hours a week is spent outside of class in preparation. Extra-curricular activities such as moot court require extra time. Professor Jeans was provided respondent’s hospital and medical reports, which had been admitted into evidence without objection, and which he reviewed. He was asked, “Q. Taking into account your 18 years as a professor at the local law school, taking into account your own experiences as a student at Washington University and taking into account the medical records that I have made available to you and which have been identified, do you have an opinion from the standpoint of a professor as to whether or not this young lady is able to resume law school at this time?” The objections made were that the witness was not competent to render an opinion that transcends the medical field, there was an insufficient foundation, and he was being asked to consider hearsay evidence and rely on the accuracy of that evidence in order to form a conclusion. The objection was overruled and Professor Jeans gave his opinion that respondent could not succeed as a law student. He also opined that the psychological and the emotional injuries that she suffered would keep her from being effective in other types of law that would deal with counseling and advocacy.
Elinor P. Schroeder, a law professor at the University of Kansas, similarly to Professor Jeans, gave testimony as to the rigors of attending law school. She had also examined the medical records of respondent which were in evidence. Assuming all of the facts of the medical records and medical evidence, she gave her opinion that respondent would not be able to become a full-time law student again, but she did say that she could resume the role of a part-time student. Professor Schroeder also gave the opinion that respondent could not practice law on a full-time basis, but she would be looking for some sort of part-time job, which would be difficult because there is no such thing as the part-time practice of law — when the demands are there they have to be met.
Appellants argue that the use of these two law professors to testify as to respondent’s ability to continue law school and to practice law violated the rule that they must be physicians to render medical opinions. Appellants argue the law professors gave medical opinions. Strangely, appellants objected to the testimony of Dr. Andrew Kaufman, M.D., in response to a hypothetical question as to respondent’s ability to return to law school. He was her treating physician, who performed surgery to stabilize her cervical fracture and disc protusion shortly after her injuries. That objection, which was in part that it was inappropriate for a medical doctor to talk about the challenges of law school, “which is probably a mixed question of law and *93medicine.,” was overruled, and Dr. Kaufman was permitted to give his opinion that respondent was not capable at the present time of returning to the full-time pursuit of law school. Dr. Kaufman, however, was not allowed to give his opinion as to her ability to practice law on a full-time and effective basis. This ruling was made upon the objection that the question assumed that respondent would go to law school, graduate therefrom, and at some point in the future would be called upon to enter law practice in a style characterized in the hypothetical question.
In their case, appellants produced a handicapped lawyer, David Gene Newbur-ger, who practices in the St. Louis area in a firm. He also had been an Assistant Professor of Law at Washington University there. His disability, the result of polio, was to the muscles of his lower extremities, causing him to wear a brace on his left leg and use crutches when walking. He also had a loss of strength and function in his left arm, and his back muscles were weak with a spinal curvature. He described in detail the accommodations he has had to make in daily living, law school and in the practice of law. Using the hypothetical question put to him at the time his deposition was taken, which described respondent’s condition in detail, Newburger described how respondent would go about finishing her law school education and accommodating her disability to the practice of law. He did concede on cross-examination that respondent’s disabilities would affect her ability to attend law school, and thereafter would narrow her job opportunities.
The trial court properly determined that expert testimony was needed to inform the jury as to the physical and mental rigors of a person attending law school and practicing law. Members of the jury would not ordinarily have knowledge of that subject, and certainly the two professors, being actively engaged in that field would have superior knowledge and expertise thereof by reason of their education and experience. See Kim Manufacturing, Inc. v. Superior Metal Treating, Inc., 537 S.W.2d 424, 428-29 [4, 5] (Mo.App.1976), where it is said that the admission of expert testimony should not be upset absent abuse, and Butcher v. Main, 426 S.W.2d 356, 359 (Mo.1968). It seems clear that these professors’ opinions would aid the trier of the fact in determining the effect of respondent’s injuries and disabilities.
In addition to stating their knowledge and experience in the practice of law, and in teaching law school courses, both professors reviewed respondent’s academic records, medical records, and reports which were in evidence without objection. Professor Schroeder had also personally met and interviewed respondent. There was thus a sufficient factual basis for them to give their opinions. They were not based upon hearsay evidence, nor were they giving medical opinions, as contended, involving evaluation of medical matters or conditions under cases such as Cebula v. Benoit, 652 S.W.2d 304, 308-309 (Mo.App.1983) [a case involving a standard of medical care offered by the testimony of a non-doctor nurse] and North Kansas City Memorial Hospital v. Wiley, 385 S.W.2d 218, 221 (Mo.App.1964), holding that a hospital administrator was not qualified to allocate hospital records and billing expenses between a back injury and genito-urinary ills.
This case falls within the category of those allowing the opinion testimony of a non-medical expert witness on the employa-bility of handicapped persons. Such a case is Chrisler v. Holiday Valley, Inc., 580 S.W.2d 309 (Mo.App.1979), where a diving accident left plaintiff a quadriplegic, with bowel incontinence, sexual disfunction, and a reliance upon assistance to handle almost any activity or function except eating. Medical evidence established the conditions as permanent. The testimony of an employment counsellor, whose job it was to find employment for hard-to-place persons, including those with handicaps, to the effect that plaintiff was permanently unemployable, was held not to have been error. Defendant sought to strike her testimony on the basis that she was not an expert on *94para- and quadriplegics. The court said, “This misconceives the nature of Mrs. Maly’s expertise. She was an expert on employment opportunities, particularly those for hard-to-place people including those with handicaps. It was about those opportunities that she was testifying and she was aware of the requirements for a vast number of jobs. Her slight experience with para- and quadriplegics did not affect her expertise on employment opportunities -” Chrisler, supra, at 313.
Workers’ compensation cases are analogous to personal injury cases regarding the issue of future employability. In Spring v. Dept. of Labor & Industries of State, 96 Wash.2d 914, 640 P.2d 1, 4 (1982), the court recognized the increasingly prevalent use of vocational expert testimony, in disability cases on the subject of future employability. The court said the vocation experts can offer a “more realistic appraisal of the overall ability and motivation of an injured worker, as their testimony is more likely to include an economic as well as medical analysis.” 640 P.2d at 4. And note Valdon v. Industrial Com. of Arizona, 6 Ariz.App. 532, 434 P.2d 648, 654 (1967) [vacated on other grounds, 103 Ariz. 547, 447 P.2d 239 (1968) ] stating, “[I]t is the established law of this state that doctors may not express their opinions as to the capacity of a workman to perform specific industrial labor unless they are shown to have special knowledge with reference thereto.” See also Davis v. Brezner, 380 S.W.2d 523, 528 (Mo.App.1964); and Vandaveer v. Reinhart & Donovan Construction Company, 370 S.W.2d 156 (Mo.App.1963), holding that lay witness testimony as to the nature, cause and effect of an employee’s disability may be allowed where supported by some medical evidence.
The two experts Jeans and Schroeder are distinguished professors of law with extensive experience in the legal education field and in the practice of law. They have firsthand knowledge of the stresses and tensions of law school and what is required to successfully complete it. The two professors were not called upon to give any medical opinion, diagnosis, or prognosis of respondent’s injuries and disabilities. Their opinions were within their expertise i.e., legal education and the practice of law and therefore were properly admitted.
Appellants also objected to the opinions on the ground that there was an insufficient foundation therefore, or that critical facts were omitted. Appellant never did call the court’s attention to any specific deficiency, and did not undertake to supply critical facts claimed to be omitted. On the basis of the objections, the trial court properly overruled them. See Brooks v. Travelers Insurance Company, 515 S.W.2d 821, 824 (Mo.App.1974).
Appellants also objected to the testimony of Professor Jeans on the ground that it was based upon hearsay. As noted, he considered the medical evidence which had been admitted without objection. Appellants did not point out to the trial court any of the expert testimony which was based upon hearsay. Compare Fowler v. Daniel, 622 S.W.2d 232, 235[3-5] (Mo.App.1981).
Appellants also say that the testimony of the two professors permitted respondent’s economist, Dr. Ward, to base his opinion as to her projection of economic losses on incompetent evidence. The answer is found in the Chrisler case, supra, page 313[4], where the court found no error in the economists’ expert testimony as based upon the expert testimony of the employment counselor. The jury had the function of evaluating all the evidence of economic loss, both appellants’ and respondent’s, and the weight to be given thereto. See Capra v. Phillips Investment Company, 302 S.W.2d 924, 931 (Mo. banc 1957). Appellants’ Point III is overruled.
IV
In Point IV, appellants assign error by reason of the trial court’s refusal to permit them to voir dire the jury panel as to whether anyone was familiar with the fund created as part of the settlement of the class action, and in the trial court’s refusal to give their requested withdrawal Instruction F on punitive damages. They *95say the information sought was necessary to select a fair and impartial jury and to insure that it did not base its award on speculation and improper factors.
Apparently, there was some pre-trial restriction on this type of voir dire interrogation, but appellants’ counsel did ask the panel if there was “anybody that would have any problem accepting the idea that they could not assess even one penny of punitive damages in this particular action, so that your verdict would be whatever actual damages were incurred and not one bit because of fault or responsibility?” And, “Are all of you aware that a separate agreement has been made in the State court to resolve any questions of fault or claims for punitive damages? Is there anyone that doesn’t know that? Are you all aware that a separate agreement has been reached with regard to the Federal class action litigation? You see all that stuff in the media. Are all of your aware of that?” No venire-person responded one way or the other to these questions.
Then during further voir dire proceedings, appellants requested the court to permit them to go back and ask the panel if they had understood that respondent had been a part of an arrangement and agreement and understanding that had been made with regard to settlement of a portion of the State court action. Appellants proposed to make these questions to the jury: “Are all of you aware that a separate agreement and settlement was reached in the State court, that this agreement and settlement in the State court does apply to Kay Kenton and that’s within the system and applies to this action which is now pending before this honorable court?” The request for the further voir dire examination was denied.
As pertinent, the Class Action Settlement Agreement provides that a member, such as respondent, may elect to have the amount of compensatory damages determined by a jury trial, and the amount of punitive damages for any Class Member based on the conduct of any defendant participating in the settlement shall be limited to such class member’s share of the Class Settlement Fund [fixed at $20 million]. Settling defendants were not to contest liability for compensatory damages, and a Class Member was not to present evidence of the conduct of any Settling Defendant. Clearly, respondent would be entitled to some proportionate share of the punitive damages fund in the proportion that her compensation damage award bears to the total compensatory damages awarded to class members, as computed by a mathematical formula when all damages were finally determined. That matter would be purely extraneous to the sole issue in the case — that of determining the amount of respondent’s compensatory damages. The Settlement Agreement was obviously entered into for the purpose of providing punitive damage compensation to all class members and to separate that issue from any trial of compensatory damages. To permit the voir dire question proposed by appellants would violate the purpose and the spirit of the agreement.
Appellants seek to tie this issue to the admittedly wide publicity which was given to the skywalks’ collapse and argue that they were improperly not permitted to inquire of the panel about any member having feelings about the settlement agreement, or the settlement funds, or concerning settlement, and to test the panel’s indication (by its silence) that it was unaffected by the publicity. They say, “Had defendants been permitted to ask the jurors about their knowledge of settlements and the funds, the jurors could have searched their own minds about that specific subject to determine whether they had any such feelings [of anger, frustration, or question concerning the resolution of the two class actions].” Although Littell v. Bi-State Transit Development Agency, 423 S.W.2d 34, 37-38 (Mo.App.1967), holds that wide latitude is permitted on voir dire to inquire about any interest, direct or indirect, of a potential juror which might affect his or her final decision, as to matters at issue or to any collateral matter the voir dire here proposed would inject a matter wholly immaterial and irrelevant to the issue of com*96pensatory damages. Indeed, the attempt by appellants to inform the prospective jurors that there was some kind of a settlement in which she would be participating would serve no purpose other than to confuse the panel and implant some question as to whether she would be getting additional money from some other source, and thus prejudicially limit her recovery of her actual damages. Compare Smith v. Nickels, 390 S.W.2d 578, 581[3-5] (Mo.App.1965).
The same reasoning applies to affirm the trial court’s refusal to give Instruction F, which withdrew from the jury’s consideration fault or responsibility for the skywalks collapse, since any punitive damages or aggravating circumstances are being handled outside of the trial from a fund which exists for that purpose. This issue was not for the jury’s consideration. The jury was clearly informed that the sole issue was the amount of compensatory damages, and the instruction would have injected a false issue. No error appears in the refusal to permit further voir dire examination or to give Instruction F. Point IV is overruled.
V
In Point V, appellants contend it was error for the trial court to refuse their requested Instruction E, “Your verdict will not be subject to any income taxes and you should not consider such taxes in fixing the amount of your verdict,” and that the court erred in prohibiting them from arguing that the award for compensatory damages would not be subject to income tax, or to introduce evidence that it would not be taxable.
Appellants rely upon Norfolk & Western Railway Co. v. Liepelt, 444 U.S. 490, 498, 100 S.Ct. 755, 759, 62 L.Ed.2d 689 (1980), which held that in an F.E.L.A. case a defendant was entitled, as a matter of federal law, to an instruction similar to Instruction E, whether the case was tried in state or federal court. The Liepelt court relied in part upon Dempsey v. Thompson, 363 Mo. 339, 251 S.W.2d 42 (1952), which held that such an instruction should have been given in that F.E.L.A. case. In Bowyer v. Te-Co., Inc., 310 S.W.2d 892, 897[5] (Mo.1958), the court cited the Dempsey case for its rationale of instructing the jury that an award for damages for personal injuries is not subject to Federal or State income taxes, but held that the tendered (and refused) instruction went far beyond the Dempsey holding, hence there was not error in refusing to give it. Both the Dempsey and Bowyer cases were reviewed iii Senter v. Ferguson, 486 S.W.2d 644, 646 (Mo.App.1972), in which it was noted that both were decided prior to this court’s adoption of MAI. Senter was a common law action for damages sustained in an automobile accident (not an F.E.L.A. case). The court held that the giving of an instruction that any award was not subject to federal or state income taxes was presumptive prejudicial error which may have tended to influence the amount of the verdict. 486 S.W.2d at 647. The instruction was held to be an impermissible improvement on MAI 4.01, contrary to Rule 70.01, and Brown v. St. Louis Public Service Company, 421 S.W.2d 255 (Mo. banc 1967). 486 S.W.2d at 647. The application to transfer to this court was denied in Senter. Following Senter, however, is Tennis v. General Motors Corp., 625 S.W.2d 218, 227 (Mo.App.1981), where the court stated that in order to conform with the Liepelt case, both MAI 8.01 and 8.02 applicable in F.E.L.A. cases were modified in the 3rd Edition of MAI to include a new sentence that “any award you may make is not subject to income tax.” The court in Tennis noted that this court had not altered or amended MAI 4.01 in the 3rd Edition of MAI to include a direction that any awarded damages are “not subject to income tax.” 625 S.W.2d at 227. The court in Amos v. Altenthal, 645 S.W.2d 220, 228 (Mo.App.1983) relying upon Tennis found no error in the trial court’s refusal to instruct the jury that any award to plaintiff would be non-taxable in a non F.E.L.A. case. The trial court here cannot be convicted of error, requiring a new trial, in following the established law of this state with respect to denial of the giving of an additional instruction to MAI *974.01 on the subject of damages. We have not by decision or order modified MAI 4.01. Point V is overruled.
YI
Appellants’ Point VI contends that the trial court erred in refusing to grant a remittitur of $2,000,000. They contend that as a matter of law the jury’s verdict greatly exceeded the upper limits of “fair and reasonable compensation,” the proper measure of damages, and that the verdict was, as the trial court itself recognized, the erroneous product of a mistaken evaluation of highly incendiary evidence and [was] improperly disproportionate to awards for comparable or more severe injuries.
Taking respondent’s evidence in the light most favorable to her, as this court must do, her loss of income and the reasonably anticipated future loss of income because of the injuries sustained was testified to be $1,869,433 to $2,164,642; assuming she should complete law school and be employed as a lawyer on a part-time basis, her economic loss ranged from $1,605,846 to $2,018,316; [by comparison, appellants’ expert placed her economic losses as high as $1,371,065]. Respondent’s evidence shows her economic losses to have been between $1,605,846 as a low, to a high of $2,164,642.
The evidence shows that, to the time of trial, respondent’s hospital, medical and therapy expenses incurred amounted to at least $80,000; her future physical therapy and cost of an electronic device (T.E.N.S.) was from $189,759 to $250,000; her homemaking assistance and care, $307,228 to $614,457; her future medical and supplemental insurance, $100,679. This evidence places the low of these items at $677,666, and the high at $1,045,136.
The economic loss, present and future medical, and therapy expenses thus shows a range of between $2,283,512 to $3,209,-778.
Respondent’s age was 28 years at the time of trial. She has a life expectancy of 51.8 years.
The nature and extent of respondent’s injuries, is shown by the following evidence, all shown to have been permanent. She suffered a broken neck with permanent spinal cord damage [with miraculous surgical treatment, she avoided becoming a permanent quadriplegic]; she has spasticity and weakness in all four limbs, inability to walk without crutches, and must wear a knee cage to prevent buckling of the left knee; lack of endurance and easy fatigability; reduced vital capacity and impaired breathing muscles; sensory loss of much of her body below her neck, including female parts. She will not enjoy a normal sexual life or have children normally; she has impaired bladder and bowel function with periods of incontinence. Her bladder condition causes her to retain urine which will eventually produce renal or kidney damage; psychic and emotional trauma diagnosed as chronic and severe post-traumatic stress syndrome, which will require continued psychiatric care; destruction of her athletic lifestyle which will prevent her from ever again playing tennis, skiing, running, jogging, playing softball, raquetball, hiking, backpacking and riding horses; and a commitment to 2 to 4 hours a day to maintain her present limited muscle function.
There was some evidence that respondent’s cost of therapy and the T.E.N.S. unit would increase over her lifetime, and her income would also increase should she be employed as a lawyer, these being the effects of inflation.
The jury was entitled to consider the intangibles of the evidence of respondent’s past and future pain and suffering, the destruction of her previous lifestyle, along with the evidence of economic loss. All of the matters going to the nature and extent of respondent’s injuries were primarily for the jury’s consideration because it is in a far better position to appraise them for the assessment of damages which would fairly and reasonably compensate her. Koehler v. Burlington Northern, Inc., 573 S.W.2d 938, 946[27] (Mo.App.1978); Long v. Hooker, 443 S.W.2d 178, 182[5, 6] (Mo.1969). In *98Fowler v. Park Corporation, 673 S.W.2d 749, 758 (Mo. banc 1984), the plaintiff suffered the loss of both legs above the knees. He was 19 years old, with a life expectancy of 50 years. He had not successfully used prosthetic devices; he would need constant care and medical attention, and had doubtful employability. He did not introduce evidence of economic damage other than showing that he stood to lose one million dollars in earnings based upon present wage levels, and the court said that he would obviously be incapable of leading a normal social life. The jury awarded $6 million to Fowler for his damages, and this court declined to interfere with the amount of the verdict.
Appellants cite Chrisler v. Holiday Valley, Inc., 580 S.W.2d 309, 312 (Mo.App.1979), wherein the plaintiff, 17 years old, was rendered a quadriplegic by reason of a diving accident, and the jury returned a verdict of $2.3 million, which was affirmed. That case does not aid appellants. There was apparently no evidence of economic loss by the plaintiff, but importantly, the court said:
In most litigation, and particularly in personal injury actions, there is a large range between the damage extremes of inadequacy and excessiveness. Within that range a jury has virtually unfettered discretion to determine the damages incurred and is under no obligation to, and is in fact prohibited from, specifying what amounts have been attributed to each of the various elements of damage. Past and future pain and suffering, embarrassment and humiliation, future care and medical treatment, loss of or reduction in employment opportunities and many other factors, do not lend themselves to precise calculation.
580 S.W.2d at 312
There is no exact formula to determine whether a verdict is excessive; each case is considered on its own facts. The ultimate test is what fairly and reasonably compensates plaintiff for the injuries sustained. In making this determination consideration is given to the nature and extent of the injuries, diminished earning capacity, economic conditions, plaintiffs age, and a comparison of the compensation awarded and permitted in cases of comparable injuries. Graeff v. Baptist Temple of Springfield, 576 S.W.2d 291, 309 (Mo.1978); Ricketts v. Kansas City Stock Yard of Maine, 537 S.W.2d 613, 619 (Mo.App.1976). This case is not out of line with others, including the Chrisler and Fowler cases, on the tangible damages shown to cause this court to take corrective action. Point VI is denied.
Turning to the merits of this case, we believe that the trial court abused its discretion in ordering a remittitur of $250,-000 after a verdict of $4,000,000 under the circumstances of this case. This amount represents a miniscule percentage (6.25%) of the total verdict which demonstrates judicial hairsplitting and shows the extremes to which the remittitur practice has fallen. The order of remittitur here is set aside in accordance with the holding in Firestone v. Crown Center Redevelopment Corporation, 693 S.W.2d 99 (1985), which “concludes that remittitur shall no longer be employed in Missouri.”
What we said in Firestone, supra, as to the power and discretion of trial courts to control jury verdicts is equally applicable here.
Accordingly, the verdict of the jury is affirmed and the cause is remanded with directions to set aside the order of remit-titur and to reinstate the verdict and enter judgment for the plaintiff, Kay Kenton, in the sum of $4,000,000.00.
RENDLEN, C.J., HIGGINS, BILLINGS and DONNELLY, JJ., and MORGAN, Senior Judge, concur.
WELLIVER, J., dissents.
GUNN and BLACKMAR, JJ., not sitting.
4.5.4 Questions and Notes on Kenton 4.5.4 Questions and Notes on Kenton
Chris Ochsner, Photos from 40 years ago capture scene after Hyatt skywalks collapsed in Kansas City, Kansas City (July 18, 2024), https://www.kansascity.com/news/local/article252830713.html
The image was taken by the Kansas City Star and is included here in under fair use principles.
Fun Fact
The Hyatt Regency skywalks collapse in Kansas City, which happened on July 17, 1981, is one of the deadliest structural failures in U.S. history, resulting in 114 deaths and over 200 injuries. The disaster occurred during a dance party in the hotel's atrium when two suspended walkways collapsed, primarily due to a design change during construction that doubled the load on the support rods—a change that was not adequately reviewed by engineers. The tragedy led to significant legal and engineering repercussions, including revocation of the engineers' licenses and widespread reforms in engineering ethics and practice. Such reforms included stricter regulations on peer review processes, mandatory independent checks of engineering calculations, the requirement for detailed documentation of any design changes, and the establishment of clearer ethical standards to ensure that engineers prioritize public safety above all else.
Guiding Questions
- What injuries did Kay Kenton sustain as a result of the Hyatt Regency skywalk collapse, and how did these injuries impact her life and future prospects?
- How did the testimony of law school professors contribute to the jury’s understanding of Kay Kenton’s ability to return to law school and practice law after her injuries?
- What was the Missouri Supreme Court’s reasoning for reinstating the original $4,000,000 jury verdict after the trial court’s remittitur of $250,000? How did the court determine whether the trial court's decision to order a remittitur was justified?
- Relatedly, how did the Supreme Court assess the proportionality of the $250,000 reduction relative to the total verdict, and what factors did the court consider in concluding that the remittitur represented "judicial hairsplitting"?
Test Your Knowledge
Leslie, a concert pianist, was injured in a hotel elevator collapse caused by negligent maintenance. As a result of the accident, she sustained a crushed hand that required multiple surgeries. Still the nerve damage was too severe. She can no longer perform professionally. At trial, she seeks multiple categories of damages. Which of the following is best categorized as a concrete tangible loss?
- The emotional distress Leslie suffers from no longer being able to perform.
- The physical pain Leslie endured while recovering from hand surgery.
- The estimated earnings Leslie would have made as a professional pianist.
- The cost of Leslie’s surgeries and ongoing physical therapy.
Notes and Further Cases
- On remittitur. Remittitur is a procedure by which a trial judge lowers the dollar amount of damages that the jury awarded. Remittiturs can be reviewed on appeal; as we read in the principal case, Special Judge Dowd overturned the trial court's remittitur, holding that it was "judicial hairsplitting" and an abuse of discretion to reduce the $4,000,000 verdict by a mere sixteenth ($250,000). The doctrine of remittitur has its proponents and opponents. Just look at how the doctrine has evolved in Missouri: In a portion elided from the principal case, Special Judge Dowd pointed out that in another case decided around the same time, the Supreme Court of Missouri actually eliminated the entire practice of remittitur. See Firestone v. Crown Ctr. Redev. Corp., 693 S.W.2d 99 (Mo. 1985). But the Missouri General Assembly apparently didn't like what the Court did; just two years after Firestone, it raised remittitur from the dead, enacting legislation that once more allowed a trial court to reduce a jury verdict when it "exceeds fair and reasonable compensation for plaintiff's injuries." Mo. Rev. Stat. § 537.068.
4.5.5 Mathias v. Accor Economy Lodging, Inc. 4.5.5 Mathias v. Accor Economy Lodging, Inc.
The Hotel Bedbugs Case
Burl MATHIAS and Desiree Matthias, Plaintiffs-Appellees/Cross-Appellants, v. ACCOR ECONOMY LODGING, INC. and Motel 6 Operating L.P., Defendants-Appellants/Cross-Appellees.
Nos. 03-1010, 03-1078.
United States Court of Appeals, Seventh Circuit.
Argued Sept. 3, 2003.
Decided Oct. 21, 2003.
*673Peter S. Stamatis (argued), Chicago, IL, for plaintiffs-Appellants.
Timothy J. Murphy (argued), MacCabe & McGuire, Chicago, IL, for defendants-appellants.
Before POSNER, KANNE, and EVANS, Circuit Judges.
The plaintiffs brought this diversity suit governed by Illinois law against affiliated entities (which the parties treat as a single entity, as shall we) that own and operate the “Motel 6” chain of hotels and motels. One of these hotels (now a “Red Roof Inn,” though still owned by the defendant) is in downtown Chicago. The plaintiffs, a brother and sister, were guests there and were bitten by bedbugs, which are making a comeback in the U.S. as a consequence of more conservative use of pesticides. Kirsten Scharnberg, “You’ll Be Itching to Read This: Bedbugs Are Making a Comeback: Blame World Travelers and a Ban on Certain Pesticides,” Chi. Tribune, Sept. 28, 2003, p. 1; Mary Otto, “Bloodthirsty Pests Make Comeback: Bug Infestations Raising Welts, Ire,” Wash. Post, Sept. 2, *6742003, p. B2. The plaintiffs claim that in allowing guests to be attacked by bedbugs in a motel that charges upwards of $100 a day for a room and would not like to be mistaken for a flophouse, the defendant was guilty of “willful and wanton conduct” and thus under Illinois law is liable for punitive as well as compensatory damages. Cirrincione v. Johnson, 184 Ill.2d 109, 234 Ill.Dec. 455, 703 N.E.2d 67, 70 (1998); Kelsay v. Motorola, Inc., 74 Ill.2d 172, 23 Ill.Dec. 559, 384 N.E.2d 353, 359 (1978); Barton v. Chicago & North Western Transportation Co., 325 Ill.App.3d 1005, 258 Ill.Dec. 844, 757 N.E.2d 533, 554 (2001). The jury agreed and awarded each plaintiff $186,000 in punitive damages though only $5,000 in compensatory damages. The defendant appeals, complaining primarily about the punitive-damages award. It also complains about some of the judge’s evidentiary rulings, but these complaints are frivolous and require no discussion. The plaintiffs cross-appeal, complaining about the dismissal of a count of the complaint in which they alleged a violation of an Illinois consumer protection law. But they do not seek any additional damages, and so, provided we sustain the jury’s verdict, we need not address the cross-appeal.
The defendant argues that at worst it is guilty of simple negligence, and if this is right the plaintiffs were not entitled by Illinois law to any award of punitive damages. It also complains that the award was excessive — indeed that any award in excess of $20,000 to each plaintiff would deprive the defendant of its property without due process of law. The first complaint has no possible merit, as the evidence of gross negligence, indeed of recklessness in the strong sense of an unjustifiable failure to avoid a known risk, see Ziarko v. Soo Line R.R., 161 Ill.2d 267, 204 Ill.Dec. 178, 641 N.E.2d 402, 405-09 (1994) (plurality opinion); Landers v. School Dist. No. 203, O’Fallon, 66 Ill.App.3d 78, 22 Ill.Dec. 837, 383 N.E.2d 645, 647-48 (1978); Vigortone AG Products, Inc. v. PM AG Products, Inc., 316 F.3d 641, 645 (7th Cir.2002) (Illinois law); Saba v. Compagnie Nationale Air France, 78 F.3d 664, 667-70 (D.C.Cir.1996), was amply shown. In 1998, EcoLab, the extermination service that the motel used, discovered bedbugs in several rooms in the motel and recommended that it be hired to spray every room, for which it would charge the motel only $500; the motel refused. The next year, bedbugs were again discovered in a room but EcoLab was asked to spray just that room. The motel tried to negotiate “a building sweep [by EcoLab] free of charge,” but, not surprisingly, the negotiation failed. By the spring of 2000, the motel’s manager “started noticing that there were refunds being given by my desk clerks and reports coming back from the guests that there were ticks in the rooms and bugs in the rooms that were biting.” She looked in some of the rooms and discovered bedbugs. The defendant asks us to disregard her testimony as that of a disgruntled ex-employee, but of course her credibility was for the jury, not the defendant, to determine.
Further incidents of guests being bitten by insects and demanding and receiving refunds led the manager to recommend to her superior in the company that the motel be closed while every room was sprayed, but this was refused. This superior, a district manager, was a management-level employee of the defendant, and his knowledge of the risk and failure to take effective steps either to eliminate it or to warn the motel’s guests are imputed to his employer for purposes of determining whether the employer should be liable for punitive damages. Mattyasovszky v. West Towns Bus Co., 61 Ill.2d 31, 330 N.E.2d *675509, 512 (1975); Barton v. Chicago & North Western Transportation Co., supra, 258 Ill.Dec. 844, 757 N.E.2d at 556 n. 11; Kennan v. Checker Taxi Co., 250 Ill.App.3d 155, 189 Ill.Dec. 891, 620 N.E.2d 1208, 1212-14 (1993); Restatement (Second) of Torts § 909 (1979); Restatement (Second) of Agency § 217C (1958). The employer’s liability for compensatory damages is of course automatic on the basis of the principle of respondeat superior, since the district manager was acting within the scope of his employment.
The infestation continued and began to reach farcical proportions, as when a guest, after complaining of having been bitten repeatedly by insects while asleep in his room in the hotel, was moved to another room only to discover insects there; and within 18 minutes of being moved to a third room he discovered insects in that room as well and had to be moved still again. (Odd that at that point he didn’t flee the motel.) By July, the motel’s management was acknowledging to EcoLab that there was a “major problem with bed bugs” and that all that was being done about it was “chasing them from room to room.” Desk clerks were instructed to call the “bedbugs” “ticks,” apparently on the theory that customers would be . less alarmed, though in fact ticks are more dangerous than bedbugs because they spread Lyme Disease and Rocky Mountain Spotted Fever. Rooms that the motel had placed on “Do not rent, bugs in room” status nevertheless were rented.
It was in November that the plaintiffs checked into the motel. They were given Room 504, even though the motel had classified the room as “DO NOT RENT UNTIL TREATED,” and it had not been treated. Indeed, that night 190 of the hotel’s 191 rooms were occupied, even though a number of them had been placed on the same don’t-rent status as Room 504. One of the defendant’s motions in limine that the judge denied was to exclude evidence concerning all other rooms — a good example of the frivolous character of the motions and of the defendant’s pertinacious defense of them on appeal.
Although bedbug bites are not as serious as the bites of some other insects, they are painful and unsightly. Motel 6 could not have rented any rooms at the prices it charged had it informed guests that the risk of being bitten by bedbugs was appreciable. Its failure either to warn guests or to take effective measures to eliminate the bedbugs amounted to fraud and probably to battery as well (compare Campbell v. A.C. Equipment Services Corp., 242 Ill.App.3d 707, 182 Ill.Dec. 876, 610 N.E.2d 745, 748-49 (1993); see Restatement (Second) of Torts, supra, § 18, comment c and e), as in the famous case of Garratt v. Dailey, 46 Wash.2d 197, 279 P.2d 1091, 1093-94 (1955), appeal after remand, 49 Wash.2d 499, 304 P.2d 681 (1956), which held that the defendant would be guilty of battery if he knew with substantial certainty that when he moved a chair the plaintiff would try to sit down where the chair had been and would land on the floor instead. See also Commonwealth v. Stratton, 114 Mass. 303, 1873 WL 12016 (1873). There was, in short, sufficient evidence of “willful and wanton conduct” within the meaning that the Illinois courts assign to the term to permit an award of punitive damages in this case.
But in what amount? In arguing that $20,000 was the maximum amount of punitive damages that a jury could constitutionally have awarded each plaintiff, the defendant points to the U.S. Supreme Court’s recent statement that “few awards [of punitive damages] exceeding a single-digit ratio between punitive and compensatory damages, to a significant degree, will satisfy due process.” State Farm Mutual *676Automobile Ins. Co. v. Campbell, 538 U.S. 408, 123 S.Ct. 1513, 1524, 155 L.Ed.2d 585 (2003). The Court went on to suggest that “four times the amount of compensatory damages might be close to the line of constitutional impropriety.” Id., citing Pacific Mutual Life Ins. Co. v. Haslip, 499 U.S. 1, 23-24, 111 S.Ct. 1032, 113 L.Ed.2d 1 (1991), and BMW of North America, Inc. v. Gore, 517 U.S. 559, 581, 116 S.Ct. 1589, 134 L.Ed.2d 809 (1996). Hence the defendant’s proposed ceiling in this case of $20,000, four times the compensatory damages awarded to each plaintiff. The ratio of punitive to compensatory damages determined by the jury was, in contrast, 37.2 to 1.
The Supreme Court did not, however, lay down a 4-to-l or single-digit-ratio rule—it said merely that “there is a presumption against an award that has a 145-to-1 ratio,” State Farm Mutual Automobile Ins. Co. v. Campbell, supra, 123 S.Ct. at 1524—and it would be unreasonable to do so. We must consider why punitive damages are awarded and why the Court has decided that due process requires that such awards be limited. The second question is easier to answer than the first. The term “punitive damages” implies punishment, and a standard principle of penal theory is that “the punishment should fit the crime” in the sense of being proportional to the wrongfulness of the defendant’s action, though the principle is modified when the probability of detection is very low (a familiar example is the heavy fines for littering) or the crime is potentially lucrative (as in the case of trafficking in illegal drugs). Hence, with these qualifications, which in fact will figure in our analysis of this case, punitive damages should be proportional to the wrongfulness of the defendant’s actions.
Another penal precept is that a defendant should have reasonable notice of the sanction for unlawful acts, so that he can make a rational determination of how to act; and so there have to be reasonably clear standards for determining the amount of punitive damages for particular wrongs.
And a third precept, the core of the Aristotelian notion of corrective justice, and more broadly of the principle of the rule of law, is that sanctions should be based on the wrong done rather than on the status of the defendant; a person is punished for what he does, not for who he is, even if the who is a huge corporation.
What follows from these principles, however, is that punitive damages should be admeasured by standards or rules rather than in a completely ad hoc manner, and this does not tell us what the maximum ratio of punitive to compensatory damages should be in a particular case. To determine that, we have to consider why punitive damages are awarded in the first place. See Kemezy v. Peters, 79 F.3d 33, 34-35 (7th Cir.1996).
England’s common law courts first confirmed their authority to award punitive damages in the eighteenth century, see Dorsey D. Ellis, Jr., “Fairness and Efficiency in the Law of Punitive Damages,” 56 S. Cal. L. Rev. 1, 12-20 (1982), at a time when the institutional structure of criminal law enforcement was primitive and it made sense to leave certain minor crimes to be dealt with by the civil law. And still today one function of punitive-damages awards is to relieve the pressures on an overloaded system of criminal justice by providing a civil alternative to criminal prosecution of minor crimes. An example is deliberately spitting in a person’s face, a criminal assault but because minor readily deterrable by the levying of what amounts to a civil fine through a suit for damages for the tort of battery. Compensatory damages *677would not do the trick in such a case, and this for three reasons: because they are difficult to determine in the case of acts that inflict largely dignitary harms; because in the spitting case they would be too slight to give the victim an incentive to sue, and he might decide instead to respond with violence — and an age-old purpose of the law of torts is to provide a substitute for violent retaliation against wrongful injury — and because to limit the plaintiff to compensatory damages would enable the defendant to commit the offensive act with impunity provided that he was willing to pay, and again there would be a danger that his act would incite a breach of the peace by his victim.
When punitive damages are sought for billion-dollar oh spills and other huge economic injuries, the considerations that we have just canvassed fade. As the Court emphasized in Campbell, the fact that the plaintiffs in that case had been awarded very substantial compensatory damages— $1 million for a dispute over insurance coverage — greatly reduced the need for giving them a huge award of punitive damages ($145 million) as well in order to provide an effective remedy. Our case is closer to the spitting case. The defendant’s behavior was outrageous but the compensable harm done was slight and at the same time difficult to quantify because a large element of it was emotional. And the defendant may well have profited from its misconduct because by concealing the infestation it was able to keep renting rooms. Refunds were frequent but may have cost less than the cost of closing the hotel for a thorough fumigation. The hotel’s attempt to pass off the bedbugs as ticks, which some guests might ignorantly have thought less unhealthful, may have postponed the instituting of litigation to rectify the hotel’s misconduct. The award of punitive damages in this case thus serves the additional purpose of limiting the defendant’s ability to profit from its fraud by escaping detection and (private) prosecution. If a tortfeasor is “caught” only half the time he commits torts, then when he is caught he should be punished twice as heavily in order to make up for the times he gets away.
Finally, if the total stakes in the case were capped at $50,000 (2 x [$5,000 + $20,000]), the plaintiffs might well have had difficulty financing this lawsuit. It is here that the defendant’s aggregate net worth of $1.6 billion becomes relevant. A defendant’s wealth is not a sufficient basis for awarding punitive damages. State Farm Mutual Automobile Ins. Co. v. Campbell, supra, 123 S.Ct. at 1525; BMW of North America, Inc. v. Gore, supra, 517 U.S. at 591, 116 S.Ct. 1589 (concurring opinion); Zazu Designs v. L’Oreal, S.A., 979 F.2d 499, 508-09 (7th Cir.1992). That would be discriminatory and would violate the rule of law, as we explained earlier, by making punishment depend on status rather than conduct. Where wealth in the sense of resources enters is in enabling the defendant to mount an extremely aggressive defense against suits such as this and by doing so to make litigating against it very costly, which in turn may make it difficult for the plaintiffs to find a lawyer willing to handle their case, involving as it does only modest stakes, for the usual 33-40 percent contingent fee.
In other words, the defendant is investing in developing a reputation intended to deter plaintiffs. It is difficult otherwise to explain the great stubbomess with which it has defended this case, making a host of frivolous evidentiary arguments despite the very modest stakes even when the punitive damages awarded by the jury are included.
As a detail (the parties having made nothing of the point), we note that “net *678worth” is not the correct measure of a corporation’s resources. It is an accounting artifact that reflects the allocation of ownership between equity and debt claimants. A Arm financed largely by equity investors has a large “net worth” (= the value of the equity claims), while the identical firm financed largely by debt may have only a small net worth because accountants treat debt as a liability.
All things considered, we cannot say that the award of punitive damages was excessive, albeit the precise number chosen by the jury was arbitrary. It is probably not a coincidence that $5,000 + $186,000 = $191,000/191 = $1,000: i.e., $1,000 per room in the hotel. But as there are no punitive-damages guidelines, corresponding to the federal and state sentencing guidelines, it is inevitable that the specific amount of punitive damages awarded whether by a judge or by a jury will be arbitrary. (Which is perhaps why the plaintiffs’ lawyer did not suggest a number to the jury.) The judicial function is to police a range, not a point. See BMW of North America, Inc. v. Gore, supra, 517 U.S. at 582-83, 116 S.Ct. 1589; TXO Production Corp. v. Alliance Resources Corp., 509 U.S. 443, 458, 113 S.Ct. 2711, 125 L.Ed.2d 366 (1993) (plurality opinion).
But it would have been helpful had the parties presented evidence concerning the regulatory or criminal penalties to which the defendant exposed itself by deliberately exposing its customers to a substantial risk of being bitten by bedbugs. That is an inquiry recommended by the Supreme Court. See State Farm Mutual Automobile Ins. Co. v. Campbell, supra, 123 S.Ct. at 1520, 1526; BMW of North America, Inc. v. Gore, supra, 517 U.S. at 583-85, 116 S.Ct. 1589. But we do not think its omission invalidates the award. We can take judicial notice that deliberate exposure of hotel guests to the health risks created by insect infestations exposes the hotel’s owner to sanctions under Illinois and Chicago law that in the aggregate are comparable in severity to the punitive damage award in this case.
“A person who causes bodily harm to or endangers the bodily safety of an individual by any means, commits reckless conduct if he performs recklessly the acts which cause the harm or endanger safety, whether they otherwise are lawful or unlawful.” 720 ILCS 5/12-5(a). This is a misdemeanor, punishable by up to a year’s imprisonment or a fine of $2,500, or both. 720 ILCS 5/12-5(b); 730 ILCS 5/5-8-3(a)(1), 5/5-9-l(a)(2). (For the application of the reckless-conduct criminal statute to corporate officials, see Illinois v. Chicago Magnet Wire Corp., 126 Ill.2d 356, 128 Ill.Dec. 517, 534 N.E.2d 962, 963 (1989).) Of course a corporation cannot be sent to prison, and $2,500 is obviously much less than the $186,000 awarded to each plaintiff in this case as punitive damages. But this is just the beginning. Other guests of the hotel were endangered besides these two plaintiffs. And, what is much more important, a Chicago hotel that permits unsanitary conditions to exist is subject to revocation of its license, without which it cannot operate. Chi. Munic. Code §§ 4-4-280, 4-208-020, 050, 060, 110. We are sure that the defendant would prefer to pay the punitive damages assessed in this case than to lose its license.
AFFIRMED.
4.5.6 Questions and Notes on Mathias 4.5.6 Questions and Notes on Mathias
Fun Fact
Bedbugs are extremely resilient creatures. They can survive for up to a year without feeding and are capable of withstanding a wide range of temperatures. This resilience makes them particularly challenging to eradicate once they have infested a room or building. UV light can be used to detect bedbug excrement and other signs of infestation that are not visible to the naked eye. This method helps in identifying bedbug activity in crevices and dark areas. Heat treatment is a non-chemical method used to eliminate bedbugs. Rooms are heated to a temperature that is lethal to bedbugs (typically around 118°F or higher), which kills all life stages of the pest, from eggs to adults. Some hotels use portable heating units to treat infested rooms. Others turn to steam cleaners.
Guiding Questions
- On what grounds did the plaintiffs seek punitive damages, and how did the court evaluate the defendant's actions as potentially justifying such damages under Illinois law?
- How did the court address the defendant's argument that the punitive damages awarded by the jury were excessive?
- Why did the court consider the defendant's refusal to properly address the bedbug problem as particularly egregious, and how did this impact the final judgment? What role did the economic and reputational considerations of the defendant's business play in the court’s decision to affirm the punitive damages?
- How does the court's reasoning in this case reflect broader principles of punitive damages in U.S. tort law, especially in relation to proportionality and deterrence?
Test Your Knowledge
Tanya, a tenant in a large apartment complex, suffered severe burns after her unit's gas stove exploded. An investigation revealed that the landlord, Apex Housing Corp., had received multiple tenant complaints over two years about gas leaks in several units but had refused to conduct inspections or repairs, citing budget constraints. Apex executives had also received internal safety memos warning of “imminent risk of catastrophic injury” but chose not to act, fearing costly upgrades. Tanya sued Apex for negligence and sought both compensatory and punitive damages. Apex conceded negligence but moved to strike the punitive damages claim. Would Apex prevail on their request?
- No, because Apex's conscious disregard for known risks may constitute gross negligence or recklessness.
- No, because punitive damages are automatically available whenever a defendant’s conduct results in severe injury.
- Yes, because punitive damages are unavailable in ordinary negligence cases.
- Yes, because Apex did not intend to harm Tanya specifically, and punitive damage requires such targeted malice.
Notes and Further Cases
- Split Recovery Statutes. In several U.S. jurisdictions, punitive damages may be awarded solely as a punishment or deterrent rather than compensation. In accordance with this justification, a substantial portion of the award must be redirected to a public fund instead of going entirely to the plaintiff. For instance, Georgia mandates that 75% of punitive damages in product liability cases be paid to the state treasury. Oregon directs 60% of such awards to its Criminal Injuries Compensation Account and 10% to a state court fund, with only 30% going to the plaintiff. Indiana’s law allocates 75% to the Violent Crime Victim Compensation Fund. In Illinois, when punitive damages are awarded in actions brought by the state, 100% of the award is paid into the State treasury.
4.5.7 Aikens v. Debow 4.5.7 Aikens v. Debow
The Bridge Crash Case
541 S.E.2d 576
Richard AIKENS and Motel 81, Inc., d/b/a Martinsburg Econo-Lodge, Plaintiffs, v. Robert DEBOW and Craig Paving, Inc., Defendants.
No. 27376.
Supreme Court of Appeals of West Virginia.
Submitted June 7, 2000.
Decided Nov. 6, 2000.
Concurring Opinion of Justice Starcher Jan. 16, 2001.
*489D. Michael Burke, Burke & Schultz, Mar-tinsburg, for Plaintiffs.
Michael D. Lorensen, Tracey A. Rohr-baugh, Bowles Rice MeDavid Graff & Love, PLLC, Martinsburg, for Defendants.
This case arises upon certified question from the Circuit Court of Berkeley County and presents the issue of entitlement to recovery in tort of economic loss not accompanied by bodily injury or property damage, a matter not previously resolved with precision by this Court.
I. Factual and Procedural Background
Plaintiff1 Richard Aikens operates a motel and restaurant known as the Martinsburg Econo-Lodge (“Econo-Lodge”), which is located on Route 901 and can be accessed by exiting from Interstate 81 at the Spring Mills Road exit. While the Route 901 overpass bridge permits the shortest, most-convenient means of accessing the Econo-Lodge for south-bound travelers traveling on 1-81, the establishment can still be accessed through alternate routing. On September 18, 1996, Defendant Robert Debow, a truck driver and employee of Defendant Craig Paving, Inc., was driving a flatbed truck north on 1-81 carrying a trackhoe. Because the traekhoe was too high to pass safely under the Route 901 overpass, an accident resulted which caused substantial damage to the bridge. It was closed for nineteen days to make the necessary repairs.
Plaintiff instituted the underlying cause of action on May 28, 1997, seeking recovery for the decreased revenues he experienced due to closure of the Route 901 overpass. Asserting that his reduced revenues were proximately caused by the accident, Plaintiff seeks recovery of $9,000 in lost income.
Arguing that as a matter of law Plaintiff could not recover for his economic losses in the absence of direct bodily injury or property damage, Defendants moved for summary judgment. The circuit court denied Defendants’ motion for summary judgment, ruling that “there are factual issues in this case pertaining to causation and foreseeability which remain appropriate for jury determination.” The circuit court further held that, “under West Virginia law, the Plaintiff may not be barred from recovering for economic injuries alleged to have been suffered as a result of the Defendants’ negligence.”
Following the circuit court’s denial of Defendants’ motion for summary judgment, the parties requested and the circuit court agreed to certification of the following issue:
Whether a claimant who has sustained no physical damage to his person or property may maintain an action against another for *490negligent injury to another’s property which results consequentially in purely economic loss to the claimant.
The circuit court answered this question in the affirmative. In syllabus point three of Kincaid v. Mangum, 189 W.Va. 404, 432 S.E.2d 74 (1993), we explained:
When a certified question is not framed so that this Court is able to fully address the law which is involved in the question, then this Court retains the power to reformulate questions certified to it under both the Uniform Certification of Questions of Law Act found in W.Va.Code, 51-1A-1, et seq., and W.Va.Code, 58-5-2 [1967], the statute relating to certified questions from a circuit court of this State to this Court.
Recognizing that this Court, in addressing certified questions, has “retained the right to address them with some flexibility!,]” we re-frame the question presented in the case sub judice to more thoroughly encompass the full breadth of the question to be answered. Miller v. Lambert, 195 W.Va. 63, 69, 464 S.E.2d 582, 588 (1995). The question, as reformülat-ed, is consequently as follows:
May a claimant who has sustained purely economic loss as a result of an interruption in commerce caused by negligent injury to the property of a third person recover damages absent either privity of contract or some other special relationship with the alleged tortfeasor?
We answer this question in the negative.
II. Standard of Review
We recognized in syllabus point one of Light v. Allstate Insurance Co., 203 W.Va. 27, 506 S.E.2d 64 (1998), “[a] de novo standard is applied by this Court in addressing the legal issues presented by a certified question from a federal district or appellate court.” This same standard requiring de novo review applies equally to legal issues presented by circuit courts.
III. The Existence of a Duty
The resolution of any question of tort liability must be premised upon fundamental concepts of the duty owed by the tortfeasor.
“In order to establish a prima facie case of negligence in West Virginia, it must be shown that the defendant has been guilty of some act or omission in violation of a duty owed to the plaintiff. No action for negligence will lie without a duty broken.” Syl. Pt. 1, Parsley v. General Motors Acceptance Corp., 167 W.Va. 866, 280 S.E.2d 703 (1981).
Syl. Pt. 4, Jack v. Fritts, 193 W.Va. 494, 495, 457 S.E.2d 431, 432 (1995). Importantly, the determination of whether a defendant in a particular case owes a duty to the plaintiff is not a factual question for the jury; rather, “[t]he determination of whether a plaintiff is owed a duty of care by the defendant must be rendered as a matter of law by the court.” Id. at 498, 457 S.E.2d at 435. Only the related questions of negligence, due care, proximate cause, and concurrent negligence which present jury issues, as we explained in syllabus point five of Hatten v. Mason Realty Co., 148 W.Va. 380, 135 S.E.2d 236 (1964): “Questions of negligence, due care, proximate cause and concurrent negligence present issues of fact for jury determination when the evidence pertaining to such issues is conflicting or where the facts, even though undisputed, are such that reasonable men may draw different conclusions from them.” Id. at 381, 135 S.E.2d at 238, syl. pt. 5.
Given our reliance on Hatten, we must address a recent misapprehension of that decision in Harris v. R.A. Martin, Inc., 204 W.Va. 397, 513 S.E.2d 170 (1998), a per curiam opinion. In discussing the determination that a genuine issue of material fact existed regarding a city employee’s injury, this Court asserted that it had repeatedly held that duty is a question of fact for jury determination. Id. at 402, 513 S.E.2d at 175. As support for this assertion, however, the opinion references the above-quoted syllabus point from Hatten, as well as three other opinions citing to that syllabus point. Syllabus point five of Hatten does not stand for the proposition that the existence of duty is a question of fact. To the contrary, it declares that “[questions of negligence, due care, proximate cause, and concurrent negligence” are questions of fact for the jury. 148 W.Va. at 381, 135 S.E.2d at 238, syl. pt. 5. The initial determination of the existence of a *491duty, however, continues to be an issue resolved by the trial court. To correct any misconception this anomaly of Harris might have generated, we restate the law of this State, as follows: The determination of whether a defendant in a particular case owes a duty to the plaintiff is not a factual question for the jury; rather the determination of whether a plaintiff is owed a duty of care by a defendant must be rendered by the court as a matter of law.
This declaration is in accord with prior West Virginia law, as well as legal commentators on this issue. In Miller v. Whitworth, 193 W.Va. 262, 455 S.E.2d 821 (1995), this Court explained that “[w]e are mindful that the determination of whether there is a duty is a question of law and not a question of fact for the jury.” Id. at 265, 455 S.E.2d at 824. Likewise, legal commentators agree that “[t]he determination of any question of duty ... has been held to be an issue of law for the court rather than for the jury, to be determined by reference to the body of statutes, rules, principles, and precedents which make up the law .” 57A Am.Jur.2d Negligence § 86, at 142 (2d. ed.1989) (footnote omitted).
We recognized in Robertson v. Le-Master, 171 W.Va. 607, 301 S.E.2d 563 (1983), that while foreseeability of risk is a primary consideration in determining the scope of a duty an actor owes to another, “[bjeyond the question of foreseeability, the existence of duty also involves policy considerations underlying the core issue of the scope of the legal system’s protection^]” Id. at 612, 301 S.E.2d at 568. “Such considerations include the likelihood of injury, the magnitude of the burden of guarding against it, and the consequences of placing that burden on the defendant.” Id.
In Puffer v. Huh Cigar Store, 140 W.Va. 327, 84 S.E.2d 145 (1954), overruled on other grounds as stated in, Mallet v. Pick-ens, 206 W.Va. 145, 522 S.E.2d 436 (1999), this Court held in syllabus point five: “ ‘To be actionable, negligence must be the proximate cause of the injury complained of and must be such as might have been reasonably expected to produce an injury.’ Point 3, syllabus, Hartley v. Crede, [140] W.Va. [133, 82 S.E.2d 672].” Accord Wehner v. Weinstein, 191 W.Va. 149, 444 S.E.2d 27 (1994). “A person is not liable for damages which result from an event which was not expected and could not reasonably have been anticipated by an ordinarily prudent person.” Puffer, 140 W.Va. at 328, 84 S.E.2d at 148, syl. pt. 6.
Emphasizing the relationship between foreseeability and duty, we explained in syllabus point three of Sewell v. Gregory, 179 W.Va. 585, 371 S.E.2d 82 (1988):
The ultimate test of the existence of a duty to use care is found in the foreseeability that harm may result if it is not exercised. The test is, would the ordinary man in the defendant’s position, knowing what he knew or should have known, anticipate that harm of the general nature of that suffered was likely to result?
Commentators have similarly evaluated the critical element of duty:
[T]he obligation to refrain from particular conduct is owed only to those who are foreseeably endangered by the . conduct and only with respect to those risks or hazards whose likelihood made the conduct unreasonably dangerous. Duty, in other words, is measured by the scope of the risk which negligent conduct foreseeably entails.
2 F. Harper & F. James, The Law of Torts § 18.2 (1956) footnote omitted.
IV. Restrictions on Limitless Expansion of Duty
The appropriate application of these fundamental tort principles has served as a source of great controversy. Justice Benjamin Cardozo, in Ultramares Corp. v. Touche, 255 N.Y. 170, 174 N.E. 441 (1931), expressed the danger of expanding the concept of duty in tort to include economic interests and consequent exposure of defendants “to a liability in an indeterminate amount for an indeterminate time to an indeterminate class. The hazards of a business conducted on these terms are so extreme as to enkindle doubt whether a flaw may not exist in the implicating of a duty that exposes to these consequences.” Id. at 444. The ascertainment of *492a universal and inviolate formula for defining the parameters of duty in the abstract has proven evasive.
Perhaps the most acclaimed declaration of the concept of duty was announced by Justice Cardozo in Palsgraf v. Long Island Railroad Co., 248 N.Y. 339, 162 N.E. 99 (1928), three years prior to the decision quoted above. In Palsgraf, Justice Cardozo succinctly observed: “The risk reasonably to be perceived defines the duty to be obeyed.” Id. at 100. The frequently cited reasoning of Palsgraf was premised upon the following factual scenario: An individual carrying a package of fireworks was pushed by a Long Island Railroad employee while attempting to board the train. The individual dropped the package of fireworks, and the resulting shock of the explosion caused some of the scales at the other end of the platform to fall, striking the plaintiff. Id. at 99. The court concluded that the plaintiff could not recover against the railroad because the employee’s conduct did not involve any foreseeable risk of harm to the plaintiff. 162 N.E. at 101. The fact that the conduct was unjustifiably risky toward the individual carrying the fireworks was deemed irrelevant. Justice Cardozo reasoned the “risk imports relation; it is the risk to another or to others within the range of apprehension.” Id. at 100. “What we do mean by the word ‘proximate’ [in causation] is that, because of convenience, of public policy, of a rough sense of justice, the law arbitrarily declines to trace a series of events beyond a certain point. This is not logic. It is practical politics.” Id. at 103 (Andrews, J., dissenting) (emphasis supplied)
The United States Supreme Court has also recognized the need to draw a line to prevent unfettered imposition of unlimited exposure to liability. The Supreme Court reasoned that the doctrine of remoteness is a component of proximate cause, which in turn embraces the concept that “the judicial remedy cannot encompass every conceivable harm that can be traced to alleged wrongdoing.” Associated Gen. Contractors v. California State Council of Carpenters, 459 U.S. 519, 536, 103 S.Ct. 897, 74 L.Ed.2d 723 (1983).
The need to restrict the spatial concept of duty to something less than the limits of logical connection was cogently stated as follows in In re Exxon Valdez, No. A89-0095-CV, 1994 WL 182856 (D.Alaska March 23, 1994):
There is no question but that the Exxon Valdez grounding impacted, in one fashion or another, far more people than will ever recover anything in these proceedings. There is an understandable public perception that if one suffers harm which is perceived to be a result of the conduct of another, the harmed person should be compensated. That perception does not always square up with the institutional guidelines (statutes and case law) under which the court must operate. It is the function of both Congress and the courts (principally the courts of appeal and supreme courts) to determine the extent to which public expectations with respect to financial responsibility are to be realized. Legal liability does not always extend to all of the foreseeable consequences of an accident. In the area of harm to one’s body, the reach of what is recoverable is very great. Where one’s property is injured, the extent of legal liability is considerable, but not to the same extent as with bodily injury. Where pure economic loss is at issue — not connected with any injury to one’s body or property, and especially where that economic loss occurs in a marine setting — the reach of legal liability is quite limited except as to commercial fishermen.2
*493 Were it otherwise, we would have a form, of organized anarchy in which no one could count on what rule would apply at any given time or in any given situation.
Id. at 8-9 (footnote and emphasis added).
While the holding of the majority in Harris is not in conflict with our decision in the present ease, we underscore the reasoning of Justice Maynard in his insightful dissent in Harris. Justice Maynard cautioned against the limitless expansion of the element of duty, postulating that the majority had “so expanded] the element of duty, that its existence now becomes almost a given in any tort case. If a party is injured by the conduct of another, there must have been a duty to avoid such conduct.” 204 W.Va. at 403, 513 S.E.2d at 176. In his dissent, Justice Maynard quoted, with approval, the following language from 57A Am.Jur.2d Negligence § 87:
A line must be drawn between the competing policy considerations of providing a remedy to everyone who is injured and of extending exposure to tort liability almost without limit. It is always tempting to impose new duties and, concomitantly, liabilities, regardless of the economic and social burden. Thus, the courts have generally recognized that public policy and social considerations, as well as foreseeability, are important factors in determining whether a duty will be held to exist in a particular situation.
204 W.Va. at 403, 513 S.E.2d at 176 (emphasis supplied).
The obvious question: Who draws the line demarcating tort liability? Who, in our society, has the burden of defining the existence and extent of the element of “duty” in tort actions? It necessarily falls to the courts to consider all relevant claims of the competing parties; to determine where and upon whom the burden of carrying the risk of injury will fall; and to draw the line, to declare the existence or absence of “duty,” in every case, as a matter of law. The temptation is to accede to the arguments of logical connection in every instance of resulting harm while, in fact, the consequences of pure logic would be socially and economically ruinous.
V. Traditional Approach — No Economic Damages in the Absence of Physical Impact
The sole issue presented for our resolution is whether economic loss from an interruption in commerce in the absence of damage to a plaintiffs person or property is recoverable in a tort action. While this Court has never directly addressed this issue, other jurisdictions, almost without exception, have concluded that economic loss alone will not warrant recovery in the absence of some special relationship between the plaintiff and the tortfeasor. In the seminal decision of Robins Dry Dock & Repair Co. v. Flint, 275 U.S. 303, 48 S.Ct. 134, 72 L.Ed. 290 (1927), the United States Supreme Court refused to permit recovery from the dry dock owner when plaintiffs were denied use of a vessel for two weeks because of a third party’s act of negligence diming the ship’s refurbishing. In establishing this long-standing rule of denying recovery in tort for indirect economic injury, Justice Holmes articulated the rationale, based upon English and American precedent, that continues to justify the nonexistence of a legally cognizable or compensable claim for such attenuated injuries even today: 3 “The law does not spread its protection so far.” Id. at 309, 48 S.Ct. 134. In writing Robins Dry Dock, Justice Holmes relied upon the reasoning of the English case of Elliott Steam Tug Co. v. The Shipping Controller, 1 K.B. 127 (1922), in which recovery was refused for negligent interference *494with contractual rights.4 See Holt Hauling & Warehousing Sys., Inc. v. M/V Ming Joy, 614 P.Supp. 890, 896 n. 13 (E.D.Pa.1985) (rejecting argument that Robins Dry Dock only applies to “interference with economic expectancies generally or only to interference with contractual interests” and stating that the precept established by Robins Dry Dock “ ‘is essentially a principle of disallowance of damages because of remoteness’”) (quoting Venore Transp. Co. v. M/V Struma, 583 F.2d 708, 710 (4th Cir.1978)).
Where the factual scenario involves a plaintiffs contractual right to use property damaged by a tortfeasor, courts have invoked the Restatement of Torts as a basis for denying causes of action limited to economic damages. In Philip Morris, Inc. v. Emerson, 235 Va. 380, 368 S.E.2d 268 (1988), the plaintiff sought recovery of lost profits to his campground business due to the negligent release of gases from the defendant’s property. Citing the well-recognized principle in the Restatement of Torts5 which recognizes that interference with the ability to contract with third persons is too remote to permit recovery, the court refused to permit recovery of the profits plaintiffs allegedly sustained from his inability to contract with campers for overnight stays. 368 S.E.2d at 282 (citing Restatement (Second) of Tort § 766 (1979)).
In denying economic damages in the absence of physical impact, courts frequently refer to this element of remoteness between the injury and the act of negligence that is the source of such injury. In Rickards v. Sun Oil Co., 23 N.J. Misc. 89, 41 A.2d 267 (N.J.Sup.1945), a ease remarkably similar to the one under scrutiny by this Court, plaintiff business owners sought to recover “losses from expectant gains” from a defendant whose barge negligently damaged a drawbridge which served as the only means of access to the island on which plaintiffs’ business premises were situated. Id. at 268. In granting the defendant’s motions to strike the complaints, the court held that “[defendant’s] negligent action may be a cause of injury to the plaintiffs, but it is not the natural and proximate effect of such negligence and therefore [is] not actionable.” Id. The court observed:
The entire doctrine assumes the defendant is not. necessarily to be held for all consequences of his acts. Professor McLaughlin, Article 39 Harvard Law Review (Dec.1925) 149 at 155. It is fundamental that there must be some reasonable limitation of liability for the commission of the tort. The wrongdoer is not liable in the eyes of the law for all possible consequences. He is thus responsible in damages only for the natural and probable consequence of his negligent act.
41 A.2d at 269 (citation omitted). The court recognized that “[n]o rule embraces within its scope all the resulting consequences of the given act. The effect would be to impose a liability entirely disproportionate to the act committed or to the failure to perform the duty assumed.” Id.
In Kohl v. Love, 37 N.J.L. 5, 1874 WL 7397 (N.J.Sup. 1874), the New Jersey Su*495preme Court observed that not everyone who suffers a loss can maintain a suit.
The limit of the doctrine relating to actionable negligence is, that the person occasioning the loss must owe a duty, arising from contract or otherwise, to the person sustaining such loss. Such a restriction on the right to sue for a want of care in the exercise of employments or the transaction of business, is plainly necessary to restrain the remedy from being pushed to an impracticable extreme. There would be no bounds to actions and litigious intricacies, if the ill effects of the negligences of men could be followed down the chain of results to the final effect.
Id. at 8 (emphasis supplied); see also In re Marine Navigation Sulphur Carriers, Inc. v. Lone Star Indus., 638 F.2d 700, 702 (4th Cir.1981) (affirming district court’s dismissal of plaintiffs claims for economic damages arising from bridge closing and noting that “[t]he economic, nonphysical losses as alleged were too remote to be legally compensable”); Petition of Kinsman Transit Co., 388 F.2d 821, 825 (2d Cir.1968) (denying recovery to plaintiffs who incurred economic expense due to destructive chain of ship wrecks, ice drifts, and bridge damage and observing that “the connection between defendants’ negligence and the claimants’ damages is too tenuous and remote to permit recovery”).6
In General Foods Corp. v. United States, 448 F.Supp. 111 (D.Md.1978), the plaintiff manufacturer sought to recover economic damages from the defendant bridge owner for economic damages allegedly arising from the closing of the Penn Central Railroad Bridge over the Chesapeake and Delaware Canal caused by a ship wreck. Citing Robins Dry Dock for the proposition that economic losses suffered by the plaintiff in conducting its business, even if proven, are not recoverable damages as a matter of law, the court dismissed plaintiffs complaint, explaining:
Courts which have addressed this issue have repeatedly expressed concern that a contrary rule would open the door to virtually limitless suits, often of a highly speculative and remote nature. Such suits would expose the negligent defendant to a severe penalty, and would produce serious problems in litigation, particularly in the areas of proof and apportionment of damages.
In an analogous ease, Nebraska Innkeepers, Inc. v. Pittsburgh-Des Moines Carp., 345 N.W.2d 124 (Iowa 1984), the Iowa Supreme Court considered the viability of an action brought by various business owners to recover purely economic losses resulting from the closure of a bridge to repair certain structur*496al defects.7 Affirming the lower court’s grant of summary judgment to defendants, the court recognized, as “uniform[,]” the position of rejecting negligence actions seeking pure economic damages “regardless of how vital to the claimant be the flow of commerce that is interrupted.” Id. at 126. Critical to the court’s ruling was its conclusion that “[ejxeeptions to that general rule such as ownership of the bridge, physical injury or direct damages to the claimant’s property or person, or a direct contractual relation with the alleged wrongdoer [wejre not factually present here.” Id.
The recognized necessity of imposing a line of demarcation on actionable theories of recovery serves as another rationale for the denial of purely economic damages. In Stevenson v. East Ohio Gas. Co., 73 N.E.2d 200 (Ohio Ct.App.1946), the Ohio court held that employees of a neighboring company could not recover lost wages incurred after they were evacuated due to an explosion and fire allegedly caused by the defendant’s negligence. The Stevenson court reasoned as follows:
While the reason usually given for the refusal to permit recovery in this class of cases is that the damages are “indirect” or are “too remote” it is our opinion that the principal reason that has motivated the courts in denying recovery in this class of eases is that to permit recovery of damages in such cases would open the door to a mass of litigation which might very well overwhelm the courts so that in the long run while injustice might result in special cases, the ends of justice are conserved.
In similar fashion, the Seventh Circuit, in affirming the district court’s dismissal of an action seeking economic damages arising from a bridge closing, reasoned that extension of liability in the absence of harm to a plaintiffs person or property would thrust courts into “a field with no sensible or just stopping point.” Leadfree Enterprises, Inc. v. United States Steel Corp., 711 F.2d 805, 808 (7th Cir.1983) (citing Hass v. Chicago & North Western Ry. Co., 48 Wis.2d 321, 179 N.W.2d 885, 888 (1970)). The court observed further in Leadfree Enterprises, that “[i]n the economic injury ease, there is less a fear of fraudulent claims than a sense of wanting to have a sensible stopping point in order to preclude open-ended, crushing liability on a tortfeasor.” 711 F.2d at 808; see also Dundee Cement Co. v. Chemical Labs., Inc., 712 F.2d 1166, 1172 (7th Cir.1983) (discussing policy reasons advocating against permitting third party recovery of economic losses and “conclud[ing] that there is a legitimate fear that a crushing burden of litigation would result from allowing recovery for economic damages like this”).
Astutely anticipating the economic chaos that would result from permitting theoretically limitless recovery of economic injury, the court in Aikens v. Baltimore & Ohio R.R. Co., 348 Pa.Super. 17, 501 A.2d 277 (1985), denied recovery for indirect economic losses incurred by employees who lost wages due to the defendant’s alleged negligence in causing a train derailment which damaged the plaintiffs’ employer’s plant. The court affirmed the dismissal of the complaint and opined:
that allowance of a cause of action for negligent interference with economic advantage would create an undue burden upon industrial freedom of action, and would create a disproportion between the large amount of damages that might be recovered and the extent of the defendant’s fault. To allow a cause of action for negligent cause of purely economic loss would be to open the door to every person in the economic chain of the negligent person or business to bring a cause of action. Such an outstanding burden is clearly inappropriate and a danger to our economic system.
Id. at 279 (citation omitted).
In analyzing the development of legal theories regarding the efficacy of permitting economic damages in the absence of physical harm, the United States Court of Appeals for the Fifth Circuit in State of Louisiana v. M/V Testbank, 752 F.2d 1019 (5th Cir.1985), *497reexamined the authority and scope of Robins Dry Dock. Two vessels had collided in the Mississippi River Gulf Outlet, resulting in a chemical spill. Fearing widespread contamination, authorities closed the outlet to navigation for approximately twenty days. Forty-one plaintiffs, including commercial fishermen, operators of marinas, bait and tackle shops, cargo terminal operators, and restaurant owners filed suit, and those actions were consolidated. In its canvass of relevant ease law, the M/V Testbank court acknowledged the opposition to the exclusionary policy prohibiting recovery of economic damages in the absence of physical impact and noted that “[t]he push to delete the restrictions on recovery for economic loss lost its support and by the early 1940’s had failed.” Id. at 1023. The majority of the court reasserted the traditional interpretation of Robins Dry Dock and concluded that all claims for economic loss in the absence of physical injury should be excluded:
After extensive additional briefs and oral argument, we are unpersuaded that we ought to drop physical damage to a proprietary interest as a prerequisite to recovery for economic loss. To the contrary, our reexamination of the history and central purpose of this pragmatic restriction on the doctrine of foreseeability heightens our commitment to it. Ultimately we conclude that without this limitation foreseeability loses much of its ability to function as a rule of law.
752 F.2d at 1021. A concurring justice expressed reservation that the issues of proximate cause, foreseeability, and remoteness could “alone provide an adequate guide for distinguishing, on a normative, pre-event basis, between the classes of cases in which recovery will be allowed and those in which it will not.” Id. at 1035 (Garwood, J., concurring).
VI. The Minority View: Recovery of Economic Damages Under Limited Circumstances
A few jurisdictions have permitted recovery of economic damages without damage to person or property under certain limited circumstances. The New Jersey Supreme Court’s approach to this concept is recognized as the leading authority for the minority view and represents a departure from a substantial collection of American and British cases. In People Express Airlines, Inc. v. Consolidated Rail Corp., 100 N.J. 246, 495 A.2d 107 (1985), the New Jersey court permitted economic recovery where a leak of toxic chemicals from a railway car forced a twelve-hour evacuation of a commercial airline office building adjacent to the site of the leak. Id. at 115. The plaintiff sought to recover expenses incurred for flight cancellations, lost bookings and revenue, and certain operating expenses. In permitting the action, the court applied a special foreseeability rule, reasoning that the defendant would be liable only for damages proximately caused and requiring that the defendant must have “knowledge or special reason to know of the consequences of the tortious conduct in terms of the persons likely to be victimized and the nature of the damages likely to be suffered....” Id.
Narrowly crafting its decision to apply to a limited and particularized group, the New Jersey court held:
that a defendant owes a duty of care to take reasonable measures to avoid the risk of causing economic damages, aside from physical injury, to particular plaintiffs or plaintiffs comprising an identifiable class with respect to whom defendant knows or has reason to know are likely to suffer such damages from its conduct. A defendant failing to adhere to this duty of care may be found liable for such economic damages proximately caused by its breach of duty.
495 A.2d at 116. In further explaining its rationale for departure from established doctrine, the New Jersey court noted:
the close proximity of the North Terminal and People Express Airlines to the Conrail freight yard; the obvious nature of the plaintiffs operations and particular foreseeability of economic losses resulting from an accident and evacuation; the defendants’ actual or constructive knowledge of the volatile properties of ethylene oxide; and the existence of an emergency response plan prepared by some of the de*498fendants (alluded to in the course of oral argument), which apparently called for the nearby area to be evacuated to avoid the risk of harm in case of an explosion.
Id. at 118. In fashioning its test, the court in People Express determined that liability and foreseeability “stand in direct proportion to one another[:] The more particular is the foreseeability that economic loss will be suffered by the plaintiff as a result of defendant’s negligence, the more just is it that liability be imposed and recovery allowed.” Id. at 116.
An analysis of the facts involved in the People Express decision supports the conclusion that the New Jersey court traversed a logical path more closely akin to that navigat-' ed in cases involving physical damage to property. Subsequent to the Three Mile Island nuclear incident, plaintiffs similarly asserted claims of temporary loss of use of property and “damage to property” as a result of the intrusion of radioactive materials through the ambient air. In resolving their claims in Commonwealth of Pennsylvania v. General Public Utilities Corp., 710 F.2d 117 (3rd Cir.1983), the United States Court of Appeals for the Third Circuit acknowledged that the complaints did not contain any claim of damages for direct physical damage to any of the plaintiffs’ property. Id. at 120-21. While the lower court had concluded that the losses claimed were purely economic in nature and unrecoverable, the plaintiffs contended that “increased radioactivity and radioactive materials emitted during the nuclear incident permeated the entire area, and this rendered the public buildings unsafe for a temporary period of time, and constituted a physical intrusion upon the plaintiffs’ properties.” Id. at 122. The plaintiffs maintained that the gaseous intrusion satisfied the requirement of physical harm to justify the recovery of damages in tort. The Third Circuit found that the plaintiffs’ contentions were sufficient to defeat a motion for summary judgment, permitting the plaintiffs an opportunity to prove that an invasion by an invisible substance may still constitute a physical damage warranting recovery of economic loss. Similar to the in-habitability problems experienced by the Three Mile Island plaintiffs, the plaintiffs building in People Express was rendered uninhabitable by the negligent release of toxic gases. Thus, in People Express, the New Jersey court could have reached its decision by reasoning that to render a building uninhabitable by releasing poison gas against it constitutes a direct physical damage to that building.
Analysts of the People Express rationale have also criticized the wisdom of that approach by emphasizing that the “Court itself noted the contradictory and inconsistent nature of its reasoning” by acknowledging the inherent limitations to predicating recovery on a principle of particular foreseeability. Lear Siegler, 825 S.W.2d at 86. The People Express court stated that “there will arise many similar cases that cannot be resolved by our decision today.” 495 A.2d at 117. The court further recognized that:
some cases will present circumstances that defy the categorization here devised to circumscribe a defendant’s orbit of duty, limit otherwise boundless liability and define an identifiable class of plaintiffs that may recover. In these eases, the courts will be required to draw upon notions of fairness, common sense and morality to fix the line limiting liability as a matter of public policy, rather than an uncritical application of the principle of particular foreseeability.
In another case typically referenced as supportive of a minority position on this issue, a California court applied the “special relationship” exception and permitted a restaurant owner to sue for lost profits allegedly caused by a contractor’s failure to promptly install and maintain an air conditioner. J’Aire Corp. v. Gregory, 24 Cal.3d 799, 157 Cal.Rptr. 407, 598 P.2d 60 (1979). The plaintiff introduced evidence that the reliance upon the air conditioning function was repeatedly brought to the defendant’s attention. In concluding that such action could be maintained, the court explained that “a contractor owes a duty of care to the tenant of a building undergoing construction work to prosecute that work in a manner which does not cause undue injury to the tenant’s business, where such injury is reasonably fore*499seeable.” Id. at 66. The court’s decision to permit recovery was expressly predicated on the existence of a special relationship: ‘Where a special relationship exists between the parties, a plaintiff may recover for loss of expected economic advantage through the negligent performance of a contract although the parties were not in contractual privity.” Id. at 63.
In another case frequently cited as support for the minority position, an employer sought recovery for economic loss sustained as a result of tortious injuries to his employees. Mattingly v. Sheldon Jackson College, 743 P.2d 356 (Alaska 1987). Plaintiffs employees were injured when a trench dug by Sheldon Jackson College employees collapsed, which prevented them from cleaning a drainpipe. Plaintiff sought recovery of economic damages as a result of the loss of services of his employees. Pivotal to the Alaska Supreme court’s decision to permit economic recovery in this ease was its determination that the plaintiff was a “foreseeable and particularized plaintiff.” Id. at 361. Although recovery of economic damages was permitted, the court made clear that such recovery is only permitted where it can be established that the defendant owed a duty to “particular plaintiffs or plaintiffs comprising an identifiable class with respect to whom defendant knows or has reason to know are likely to suffer such damages from its conduct.” Id. at 360 (quoting People Express, 495 A.2d at 116).
The special relationship between the plaintiff and the alleged tortfeasor was also emphasized in another case frequently cited for the minority view. In Hawthorne v. Kober Construction Co., 196 Mont. 519, 640 P.2d 467 (1982), the plaintiff had suffered economic losses due to a delay in the shipment of steel. The court acknowledged that “[t]he action is one for negligence in the performance of a contractual duty.” Id. at 470. Concluding that such action could be maintained because of the foreseeability of harm, the court relied upon Prosser’s textbook reasoning:
[B]y entering into a contract with A, the defendant may place himself in such a relation toward B that the law will impose upon him an obligation, sounding in tort and not in contract, to act in such a way that B will not be injured. The incidental fact of the existence of the contract with A does not negative the responsibility of the actor when he enters upon a course of affirmative conduct which may be expected to affect the interests of another person.
640 P.2d at 470 (citing Prosser, Law of Torts, 4th Ed., Section 93.)
VII. Conclusion
After thoroughly considering the intricacies of a potential rule permitting the recovery of economic damages absent physical or personal injury, we conclude that an individual who sustains purely economic loss from an interruption in commerce caused by another’s negligence may not recover damages in the absence of physical harm to that individual’s person or property, a contractual relationship with the alleged tortfeasor, or some other special relationship between the alleged tortfeasor and the individual who sustains purely economic damages sufficient to compel the conclusion that the tortfeasor had a duty to the particular plaintiff and that the injury complained of was clearly foreseeable to the tortfeasor. The existence of a special relationship will be determined largely by the extent to which the particular plaintiff is affected differently from society in general. It may be evident from the defendant’s knowledge or specific reason to know of the potential consequences of the wrongdoing, the persons likely to be injured, and the damages likely to be suffered. Such special relationship may be proven through evidence of foreseeability of the nature of the harm to be suffered by the particular plaintiff or an identifiable class and can arise from contractual privity or other close nexus. As observed by the Maryland court in L & P Converters v. Ailing & Cory Co., 100 Md. App. 563, 642 A.2d 264 (Md.1994), a civil action in which the tort of negligent misrepresentation was asserted, “Where failure to exercise due care only creates a risk of economic loss, an intimate nexus between the parties is generally required. The requirement of an intimate nexus is satisfied by contractual privity or its equivalent.” Id. at 267 (citations omitted). The Maryland court *500continued, “In the absence of contractual privity, its equivalent has been found and a tort duty imposed when ‘a sufficiently close nexus or relationship’ is shown.” Id. (quoting Weisman v. Connors, 312 Md. 428, 540 A.2d 783, 793 (1988)). Any attempt by this Court to more specifically define the parameters of circumstances which may be held to establish a “special relationship” would create more confusion than clarity.
We base our holding upon our analysis of the complexities of this area of tort law, demonstrated through both historical evolvement and current concerns, and our belief that a hybrid approach must be fabricated to authorize recovery of meritorious claims while simultaneously providing a barrier against limitless liability. The common thread which permeates the analysis of potential economic recovery in the absence of physical harm is the recognition of the underlying concept of duty. Absent some special relationship, the confines of which will differ depending upon the facts of each relationship, there simply is no duty. A thorough examination of the cases comprising what has been referenced as the minority view reveals reasoning similar to ours, which provides the opportunity for recovery only upon a showing of a special relationship between the plaintiff and alleged tortfeasor and narrowly tailors the recovery to conform to the facts of the case under scrutiny.
Our decision under the limited factual scenario presented in this certified question has no impact upon our prior rulings permitting recovery of purely economic damages in negligence actions where a special relationship exists between the plaintiff and the alleged tortfeasor. Our holding in the case sub judice is, in fact, consistent with the rationale underlying such rulings, and we affirm our previous recognition that where a special and narrowly defined relationship can be established between the tortfeasor and a plaintiff who was deprived of an economic benefit, the tortfeasor can be held liable. In cases of that nature, the duty exists because of the special relationship. The special class of plaintiffs involved in those cases were particularly foreseeable to the tortfeasor, and the economic losses were proximately caused by the tortfeasor’s negligence.
For example, auditors8 have been held liable to plaintiffs who bought stock in reliance upon a financial statement negligently prepared for a corporation; surveyors9 and termite inspectors10 liable to remote purchasers of property; engineers11 and architects 12 liable to contractors who relied upon plans negligently prepared for property owners who later hired the contractors; attorneys 13 and notaries public14 liable to ben*501eficiaries of negligently prepare wills; real estate brokers for failure to disclose defects; and telegraph companies15 liable to individuals who failed to secure a contract due to the negligent transmission of a message.
We also emphasize that the holding of this ease applies strictly to plaintiffs alleging purely economic loss from an interruption in commerce caused by another’s negligence. This opinion therefore does not encompass, and has no effect upon, our prior rulings regarding medical monitoring, negligent infliction of emotional distress cases, or nuisance law. See Bower v. Westinghouse Elec. Corp., 206 W.Va. 133, 522 S.E.2d 424 (1999) (permitting medical monitoring in absence of present physical injury); Stump v. Ashland, Inc., 201 W.Va. 541, 499 S.E.2d 41 (1997) (holding that plaintiffs did not have to actually witness injury being inflicted to recover for negligent infliction of emotional distress where plaintiffs were present at scene of injury-producing event); Marlin v. Bill Rich Constr., Inc., 198 W.Va. 635, 482 S.E.2d 620 (1996) (finding that plaintiff is not required to prove physical injury in asserting claim for negligent infliction of emotional distress); West v. Nat'l Mines Corp., 168 W.Va. 578, 285 S.E.2d 670 (1981) (finding entitlement to preliminary mandatory injunction requiring defendants to abate nuisance where coal truck travel on public road caused dust to settle on plaintiffs’ house and surrounding property).
The resolution of this matter of restrictions on tort liability is ultimately a matter of “practical polities.” Palsgraf, 162 N.E. at 103 (Andrews, J., dissenting). The “law arbitrarily declines to trace a series of events beyond a certain point.” Id. In other words, it is a question of public policy. The purely economic damages sought by a plaintiff may be indistinguishable in terms of societal entitlement from those damages incurred by the restaurant owner in the next block, the antique dealer in the next town, and all the ripple-effect “losses” experienced by each employer and each resident of every town and village surrounding the location of the initial act of negligence. In crafting a rule to address the issue of economic damages, we have attempted to avoid the expression of a judicial definition of duty which would permit the maintenance of a class action as a result of almost every car wreck and other inconvenience that results to our state’s citizenry.
In determining questions of duty and extension of duty to particular plaintiffs, the court in Stevenson echoed widespread speculation concerning the ripple effects of a negligence claim based upon pure economic loss and observed:
Cases might well occur where a manufacturer would be obliged to close down his factory because of the inability of his supplier due to a fire loss to make prompt deliveries; the power company with a contract to supply a factory with electricity would be deprived of the profit which it would have made if the operation of the factory had not been interrupted by reason of fire damage; a man who had a contract to paint a building may not be able to proceed with his work; a salesman who would have sold the products of the factory may be deprived of his commissions; the neighborhood restaurant which relies on the trade of the factory employees may suffer a substantial loss. The claims of workmen for loss of wages who were em*502ployed in such a factory and cannot continue to work there because of a fire, represent only a small fraction of the claims which would arise if recovery is allowed in this class of cases.
In an endeavor to focus upon the rights of other innocent parties not typically considered, a commentator reconstructs the Stevenson paradigm, as follows:
Cases might well occur where a manufacturer would be obliged to close down his factory [and the manufacturer’s employees would be obliged to spend days idle and without income] because of the inability of [the manufacturer’s] supplier due to a fire loss to make prompt deliveries; the [employees of a] power company with a contract to supply a factory with electricity would be deprived of [their income] which [they] would have made if the operations of the factory had not been interrupted by reason of fire damage; a [person] who had a contract to paint [the worker’s house] may not be able to proceed with [the] work; a [travel agent] who would have sold [the workers vacation packages] may be deprived of [her] commissions; the [teen-age gardener, the grocer’s delivery person, the piano teacher, and the weekly housekeeper who serviced the worker’s home and family] may [each] suffer a substantial loss.
Silverstein, Eileen, On Recovery in Tort for Pure Economic Loss, 32 U.Mich.J.L.Ref 403, 437 (1999).
Tort law is essentially a recognition of limitations expressing finite boundaries of recovery. Using the absurdity of these chain-of-reaction but purely logical examples, courts and commentators have expressed disdain for limitless liability and have also cautioned against the potential injustices which might result. This Court’s obligation is to draw a line beyond which the law will not extend its protection in tort, and to declare, as a matter of law, that no duty exists beyond that court-created line. It is not a matter of protection of a certain class of defendants; nor is it a matter of championing the causes of a certain class of plaintiffs. It is a question of public policy. Each segment of society will suffer injustice, whether situated as plaintiff or defendant, if there are no finite boundaries to liability and no confines within which the rights of plaintiffs and defendants can be determined. We accept the wise admonition expressed over a century ago, in language both simple and eloquent, proven by the passage of time and the lessons of experience: “There would be no bounds to actions and litigious intricacies, if the ill effects of the negligences of men could be followed down the chain of results to the final effect.” Kahf 37 N.J.L. at 8.
Certified Question Answered.
Justice STARCHER concurs and files a concurring Opinion in which Justice McGRAW joins.
concurring.
(Filed Jan. 16, 2001)
The majority opinion demonstrates a classic struggle in the development of the common law: the battle between crafting remedies for people or businesses that are injured — even people or businesses injured in a purely economic sense — as a direct and proximate cause of a tortfeasor’s carelessness, and protecting litigants from random, unpredictable liability without limit.
I applaud the majority opinion’s bold step forward, and its recognition that a tortfeasor may owe a certain, clearly foreseeable party a duty of due care to avoid causing “an interruption in commerce” which results in purely economic loss. I write separately to emphasize that this Court is not in a position to predict every situation where a tortfea-sor’s actions may have an adverse effect on a party’s economic interests, a party with a “sufficiently close nexus or relationship” to the tortfeasor such that the tortfeasor’s actions may form the basis for liability. In applying the Court’s ruling to such situations in the future, circuit courts must use the existing concepts of legal duty, breach of that duty, and proximate causation to allow plaintiffs a remedy for their economic losses, while protecting defendants from tort liability almost without limit.
In the common law, it is widely recognized that the concept of “duty” is a flexible principle that is dependent upon circumstances. *503As we stated over a century ago, “[njegli-gence is the violation of the duty of taking care under the given circumstances. It is not absolute, but is always relative to some circumstances of time, place, manner or person.” Syllabus Point 1, Dicken v. Liverpool Salt & Coal Co., 41 W.Va. 511, 23 S.E. 582 (1895). We established a broad test for circuit courts to use in determining whether a defendant owed a plaintiff a duty in Syllabus Point 3 of Sewell v. Gregory, 179 W.Va. 585, 371 S.E.2d 82 (1988) where we stated:
The ultimate test of the existence of a duty to use care is found in the foreseeability that harm may result if it is not exercised. The test is, would the ordinary man in the defendant’s position, knowing what he knew or should have known, anticipate that harm of the general nature of that suffered was likely to result?
The fundamental reasoning behind this test is that a defendant’s “liability to make reparation for an injury, by negligence, is founded upon an original moral duty, enjoined upon every person, so to conduct himself, or exercise his own rights, as not to injure another.”' Syllabus Point 8, Blaine v. Chesapeake & O.R.R. Co., 9 W.Va. 252 (1876).
The defendants in the instant ease argued that Robins Dry Dock & Repair Co. v. Flint, 275 U.S. 303, 48 S.Ct. 134, 72 L.Ed. 290 (1927) and its progeny form the basis for a black-letter rule of law regarding a defendant’s duty that is absolute: no plaintiff may recover for purely economic losses caused by the defendant in the absence of proof of a physical injury or property damage. Phrased another way, a defendant can arbitrarily wreak economic havoc and impose severe economic losses upon another party with impunity, so long as that other party isn’t physically injured or doesn’t sustain property damage. The defendants insist that we are bound to apply this unchangeable common law “rule” in this case. As the majority opinion makes clear, this Court disagrees with this proposition.
Commentators1 point to the numerous instances where plaintiffs have — contrary to Robins Dry Dock and its progeny — been allowed to recover for purely economic losses in the absence of proof of a physical injury or property damage. The majority opinion lists numerous exceptions to the “absolute” rule suggested by the defendants, where courts have permitted plaintiffs to recover economic losses proximately caused by a tortfeasor’s carelessness, all in the absence of physical injury or property damage. See supra, 208 W.Va. at 500-01 fn. 8-15, 541 S.E.2d at 590-91 fn. 8-15. As one court pointedly stated in rejecting notions of the existence of an unchanging, absolute common law rule, “[tjhese exceptions expose the hopeless artificiality of the per se rule against recovery for purely economic losses.” People Express Airlines, Inc. v. Consolidated Rail Corp., 100 N.J. 246, 261, 495 A.2d 107, 115 (1985).
When courts have resisted allowing plaintiffs to recover for negligently caused, but purely economic, losses, the courts have expressed concern about the judicial system *504being subjected to “administrative overload — the opening of the ubiquitous ‘floodgates’ to massive litigation.” Ann O’Brien, “Limited Recovery Rule as a Dam: Preventing a Flood of Litigation for Negligent Infliction of Pure Economic Loss,” SI Ariz.L.Rev. 959, 966 (1989).
Commentators, however, point out that courts have allowed the grounds of liability to expand in every other area of tort law “despite the now commonplace awards of huge, unknowable sums in claims involving physical injuries.” Eileen Silverstein, “On Recovery in Tort for Pure Economic Loss,” 32 U.Mich. J.L.Ref. 403, 409 (1999). “As compared to awards for pain and suffering, the loss from economic injury is provable, not subjective or speculative.” Id at 423.2 As one court stated in holding that a plaintiff should be allowed to recover for economic losses in the absence of personal injury or property damage:
The answer to the allegation of unchecked liability is not the judicial obstruction of a *505fairly grounded claim for redress. Rather, it must be a more sedulous application of traditional concepts of duty and proximate causation to the facts of each case.
It is understandable that courts, fearing that if even one deserving plaintiff suffering purely economic loss were allowed to recover, all such plaintiffs could recover, have anchored their rulings to the physical harm requirement. While the rationale is understandable, it supports only a limitation on, not a denial of, liability. The physical harm requirement capriciously showers compensation along the path of physical destruction, regardless of the status or circumstances of individual claimants. Purely economic losses are borne by innocent victims, who may not be able to absorb their losses. In the end, the challenge is to fashion a rule that limits liability but permits adjudication of meritorious claims. The asserted inability to fix crystalline formulae for recovery on the differing facts of future cases simply does not justify the wholesale rejection of recovery in all eases.
People Express Airlines, Inc. v. Consolidated Rail Corp., 100 N.J. at 254, 495 A.2d at 111.
Our law exists to provide remedies to those persons or entities who are injured, even in a purely economic sense, as a direct and proximate cause of a tortfeasor’s carelessness. Courts should not obstruct fairly grounded claims seeking to redress an economic wrong, and should only shield tortfea-sors from infinite liability through the “sedulous application of traditional concepts of duty and proximate causation to the facts of each case.” People Express, 100 N.J. at 254, 495 A.2d at 111. Where an individual can show he has suffered an economic loss proximately caused by the carelessness of another, and can show a narrow, clearly foreseeable “special” relationship between himself and the alleged tortfeasor, then the tortfea-sor should be held responsible for the results of his actions.
I do not, and cannot, endeavor to predict every situation where a tortfeasor’s actions may have an adverse effect on a party’s economic interests, and when under the Court’s opinion those actions may form the basis for liability. I trust to the circuit courts the discretion to use the existing rule of “legal duty, the breach of that duty, and damage as a proximate result,” Sewell v. Gregory, 179 W.Va. at 587, 371 S.E.2d at 84, to allow the plaintiffs a remedy while protecting the defendants from “tort liability almost without limit.” Harris v. R.A. Martin, Inc., 204 W.Va. 397, 403, 513 S.E.2d 170, 176 (Maynard, J., dissenting).
The majority opinion deftly sets forth a basis for holding defendants responsible for their actions, while simultaneously emphasizing the need for a finite boundary on liability. But the majority opinion is based upon a limited record and a certified question. Because the existence of a defendant’s duty is relative to the “circumstances of time, place, manner or person,” Syllabus Point 1, Dicken v. Liverpool Salt & Coal Co., supra, the evaluation of whether a defendant in a particular case had such a duty of care is a question for the circuit courts to consider on a case-by-case basis.
I therefore respectfully concur. I am authorized to state that Justice MeGRAW joins in this concurrence.
4.5.8 Questions and Notes on Aikens 4.5.8 Questions and Notes on Aikens
Fun Fact
Mr. Aikens' Econo-Lodge is now the Motel 6 north of Martinsburg, West Virginia. Located in the far northeastern extremity of the State, the establishment still would have been rather easily accessible even if Mr. Debow hadn't barreled into the interstate overpass with his truck. From a review of GoogleEarth imagery taken at the relevant time, U.S. Highway 91 parallels I-81 and would have provided access to Aikens' Econo-Lodge. Weary travelers could have used the exits immediately before or after the overpass in question, which exit directly onto US-91 and would have resulted in a detour of no more than 15 minutes. Small wonder, then, why Justice Scott noted at the very beginning of his opinion that the Econo-Lodge "can still be accessed through alternate routing."
Guiding Questions
- What are the key differences between the majority and minority views on the recoverability of economic damages in tort law, as discussed in the case?
- How does the concept of "special relationship" factor into the court's reasoning, and what are the implications for plaintiffs seeking recovery for economic losses?
- How does the court's analysis to the certified question in Aikens v. Debow align with broader public policy considerations, particularly in relation to the limits of tort liability?
Test Your Knowledge
Alex owns a small bakery that relies on a daily shipment of fresh ingredients from a supplier located 50 miles away. Due to the negligence of a third-party logistics company, the bakery's daily shipment was contaminated and had to be discarded. As a result, Alex's bakery was forced to close for three days, leading to a significant loss in revenue. Alex files a lawsuit against the logistics company to recover his lost income. Under the majority view on economic harm recovery, what is the likely outcome of his lawsuit?
- Alex will likely recover the full amount of his lost income because the logistics company’s negligence directly caused the contamination and subsequent business interruption.
- Alex will likely recover part of his lost income since contamination of shipments are subject to significant regulation generating a strict liability regime.
- Alex will likely not recover any of his lost income because the economic loss is not connected to any physical damage to his property or person.
- Alex will likely not recover any of his lost income because the economic loss doctrine only allows recovery for fiduciary relationships, such as between a lawyer and a client.
Notes and Further Cases
- A cyber alternative to pure economic loss. One alternative to introducing exceptions to the pure economic loss doctrine is to expand the traditional definition of noneconomic loss or damage as it relates to personal property. This is especially relevant in tort litigation for data breaches or DDoS (distributed denial of service) attacks. Users whose personal information has been stolen or made inaccessible have successfully argued that their increased anxiety, privacy concerns, and lost time due to data breaches are not instances of "pure economic loss." See Huynh v. Quora, Inc., 508 F. Supp. 3d 633, 654 (N.D. Cal. 2020); In re Netgain Tech., LLC, No. 21-cv-1210, 2022 WL 1810606, at *8 (D. Minn. June 2, 2022). Conceivably, too, owners of the databases that have been breached or attacked could argue that their servers' bandwidth is a form of personal property, and the hackers' overloading of the bandwidth is a property harm and not a mere instance of pure economic loss. For more on the operation of the pure economic loss doctrine to data breaches generally, see Catherine M. Sharkey, Can Data Breach Claims Survive the Economic Loss Rule?, 66 DePaul L. Rev. 339 (2017).
4.6 Defenses 4.6 Defenses
4.6.1 Contributory Negligence 4.6.1 Contributory Negligence
4.6.1.1 Butterfield v. Forrester 4.6.1.1 Butterfield v. Forrester
The Rode-into-a-Pole Case
King's Bench
11 East. 60, 103 Eng. Rep. 926
1809
This was an action on the case for obstructing a highway, by means of which obstruction the plaintiff, who was riding along the road, was thrown down with his horse, and injured, &c. At the trial before Bayley J. at Derby, it appeared that the defendant, for the purpose of making some repairs to his house, which was close by the road side at one end of the town, had put up a pole across this part of the road, a free passage being left by another branch or street in the same direction. That the plaintiff left a public house not far distant from the place in question at 8 o'clock in the evening in August, when they were just beginning to light candles, but while there was light enough left to discern the obstruction at 100 yards distance: and the witness, who proved this, skid that if the plaintiff had not been riding very bard he might have observed and avoided it: the plaintiff however, who was riding violently, did not observe it, but rode against it, and fell with his horse and was much hurt in consequence of the accident; and there was no evidence of his being intoxicated at the time. On this evidence Bayley J. directed the jury, that if a person riding with reasonable and ordinary care could have seen and avoided the obstruction; and if they were satisfied that the plaintiff was riding along the street extremely hard, and without ordinary care, they should find a verdict for the defendant: which they accordingly did.
Vaughan Serjt. now objected to this direction, on moving for a new trial; and referred to Buller's Ni. Pri. 26 (a), where the rule is laid down, that "if a man lay logs of wood across a highway; though a person may with care ride safely by, yet if by means thereof my horse stumble and fling me, I may bring an action."
Bayley, J.: The plaintiff was proved to be riding as fast as his horse could go, and this was through the streets of Derby. If he had used ordinary care he must have seen the obstruction ; so that the accident appeared to happen entirely from his own fault.
LORD ELLENBOROUGH C.J.
A party is not to cast himself upon an obstruction which has been made by the fault of another, and avail himself of it, if he do not himself use common and ordinary caution to be in the right. In cases of persons riding upon what is considered to be the wrong side of the road, that would not authorise another purposely to ride up against them. One person being in fault will not dispense with another's using ordinary care for himself. Two things must concur to support this action, an obstruction in the road by the fault of the defendant, and no want of ordinary care to avoid it on the part of the plaintiff.
Per curiam: Rule refused.
4.6.1.2 Questions and Notes on Butterfield 4.6.1.2 Questions and Notes on Butterfield
Fun Fact
Butterfield v. Forrester (the principal case) is, we think, the first case ever to define and apply the defense of contributory negligence. It comes to us from the Court of King's Bench, one of the oldest and most important appellate courts in English history.
Guiding Questions
- What was the cause of the plaintiff's injury, and what role did the defendant play in it? How did the plaintiff's behavior contribute to the incident?
- What does Lord Ellenborough C.J. suggest about the interaction between the faults of both parties involved in the incident?
Test Your Knowledge
Emma was walking through a city park when she tripped over a broken piece of pavement and fractured her ankle. She sues the city for negligent maintenance of the walkway. The city asserts the defense of contributory negligence, arguing that Emma's own carelessness contributed to her injury. Which of the following facts is least relevant to support the city's contributory negligence defense?
- Emma was texting on her phone and not watching where she was walking.
- Emma had previously complained to the city about that very section of pavement.
- Emma was wearing sunglasses at dusk, which reduced her visibility.
- Signs were posted at park entrances warning pedestrians to watch their step due to uneven pavement.
Notes and Further Cases
- Contributory negligence and its exceptions. Under pure contributory negligence, if the plaintiff is found to have any fault in causing the injury, the plaintiff is completely barred from recovering any damages. This harsh rule is mitigated by several exceptions, such as:
- Reckless or Intentional Conduct: If the defendant's conduct was reckless or intentional, the plaintiff's contributory negligence may not bar recovery.
- Rescue Doctrine: A plaintiff who is injured while attempting to rescue someone from harm may not be barred from recovery by contributory negligence.
- "Last Clear Chance" Doctrine, which we will study in the very next case.
4.6.1.3 Davies v. Mann 4.6.1.3 Davies v. Mann
The Donkey Collision Case
Exchequer of Pleas
10 M. & W. 546, 152 Eng. Rep. 588
1842-11-04
Case for negligence. The declaration stated, that the plaintiff theretofore, and at the time of the committing of the grievance thereinafter mentioned, to wit, on &c., was lawfully possessed of a certain donkey, which said donkey of the plaintiff was then, lawfully in a certain highway, and the defendant was then possessed of a certain waggon and certain horses drawing the same, which said waggon and horses of the defendant were then under the care, government, and direction of a certain then servant of the defendant, in and along the said highway; nevertheless the defendant, by his said servant, so carelessly, negligently, unskilfully, and improperly governed and directed his said waggon and horses, that by and through the carelessness, negli- gence, unskilfulness, and improper conduct of the defendant, by his said servant, the said waggon and horses of the defendant then ran and struck with great violence against the said donkey of the plaintiff, and thereby then wounded, crushed, and killed the same, &c.
The defendant pleaded not guilty.
At the trial, before Erskine, J., at the last Summer Assizes for the county of Worcester, it appeared that the plaintiff, having fettered the fore feet of an ass belonging to him, turned it into a public highway, and at the time in question the ass was grazing on the off side of a road about eight yards wide, when the defendant's waggon, with a team of three horses, coming down a slight descent, at what the witness termed a smartish pace, ran against the ass, knocked it down, and the wheels passing over it, it died soon after. The ass was fettered at the time, and it was proved that the driver of the waggon was some little distance behind the horses. The learned Judge told the jury, that though the act of the plaintiff, in leaving the donkey on the highway so fettered as to prevent his getting out of the way of carriages travelling along it, might be illegal, still, if the proximate cause of the injury was attributable to the want of proper conduct on the part of the driver of the waggon, the action was maintainable against the defendant; and his Lordship directed them, if they thought that the accident might have been avoided by the exercise of ordinary care on the part of the driver, to find for the plaintiff. The jury found their verdict for the plaintiff, damages 40s.
Godson now moved for a new trial, on the ground of misdirection. The act of the plaintiff in turning the donkey into the public highway was an illegal one, and, as the injury arose principally from that act, the plaintiff was not entitled to compensation for that injury which, but for his own unlawful act, would never have occurred. [Parke, B. The declaration states that the ass was lawfully on the highway, and the defendant has not traversed that allegation; therefore it must be taken to be admitted.] The principle of law, as deducible from the cases, is, that where an accident is the result of faults on both sides, neither party can maintain an action. Thus, in Butterfield v. Forrester (11 East, 60), it was held that one who is injured by an obstruction on a highway, against which he fell, cannot maintain an action, if it appear that he was riding with great violence and want of ordinary care, without which he might have seen and avoided the obstruction. So, in Vennall v. Garner (1 C. & M. 21), in case for running down a ship, it was held, that neither party can recover when both are in the wrong; and Bayley, B., there says, "I quite agree that if the mischief be the result of the combined negligence of the two, they must both remain in statu quo, and neither party can recover against the other." Here the plaintiff, by fettering the donkey, had prevented him from removing himself out of the way of accident; had his fore feet been free, no accident would probably have happened. Plucwell v. Wilson (5 Carr. & P. 375), Luxford v. Large (ibid. 421), and Lynch v. Nurdin,(1 Ad. & E. (N. S.), 29; 4 P. & D. 672), are to the same effect.
LORD ABINGER, C.B.: I am of opinion that there ought to be no rule in this case. The defendant has not denied that the ass was lawfully in the highway, and therefore we must assume it to have been lawfully there; but even were it otherwise, it would have made no difference, for as the defendant might, by proper care, have avoided injuring the animal, and did not, he is liable for the consequences of his negligence, though the animal may have been improperly there.
PARKE, B.: This subject was fully considered by this Court in the case of Bridge v. The Grand Junction Railway Company (3 M. & W. 246), where, as appears to me, the correct rule is laid down concerning negligence, namely, that the negligence which is to preclude a plaintiff from recovering in an action of this nature, must be such as that he could, by ordinary care, have avoided the consequences of the defendant's negligence. I am reported to have said in that case, and I believe quite correctly, that "the rule of law is laid down with perfect correctness in the case of Butterfield v. Forrester, that, although there may have been negligence on the part of the plaintiff, yet unless he might, by the exercise of ordinary care, have avoided the consequences, of the defendant's negligence, he is entitled to recover; if by ordinary care he might have avoided them, he is the author of his own wrong." In that case of Bridge v. Grand Junction Railway Company, there was a plea imputing negligence on both sides; here it is otherwise; and the Judge simply told the jury, that the mere fact of negligence on the part of the plaintiff in leaving his donkey on the public highway, was no answer to the action, unless the donkey's being there was the immediate cause of the injury; and that, if they were of opinion that it was caused by the fault of the defendant's servant in driving too fast, or, which is the same thing, at a smartish pace, the mere fact of putting the ass upon the road would not bar the plaintiff of his action. All that is perfectly correct; for, although the ass may have been wrongfully there, still the defendant was bound to go along the road at such a pace as would be likely to prevent mischief. Were this not so, a man might justify the driving over goods left on a public highway, or even over a man lying asleep there, or the purposely running against a carriage going on the wrong side of the road.
GURNEY, B. and ROLFE, B. concurred.
Rule refused.
4.6.1.4 Questions and Notes on Davies 4.6.1.4 Questions and Notes on Davies
Fun Fact
Davies v. Mann (the principal case) is another English case that created a doctrine in defenses to negligence, as we will see in Note 1 below. Davies comes to us from the Court of Exchequer, also called the Exchequer of Pleas. For much of English legal history, the Exchequer and the King's Bench—which decided the prior case, Butterfield v. Forrester—possessed largely overlapping jurisdictions and thus competed with each other to hear cases. In time, both tribunals got folded into a single court. By the time the Exchequer decided Davies in 1842, the King's Bench was close to dissolution, and the Exchequer would not be far behind.
Guiding Questions
- How did the court address the issue of the donkey's presence on the highway, and how did this influence the outcome?
- What was the importance of the driver’s actions in determining negligence in this case?
- What legal principle did the court apply to assess the liability of the defendant?
Test Your Knowledge
Cameron, a sixteen-year-old daredevil, is horseback riding with his friend when they happen across a power line that has been cut in two. The severed ends of the line, dangling from their respective power poles, hover about ten feet off the ground. "Cool!" shouts Cameron; "I bet we can steal one of the lines!" His friend reminds him about the danger of electrocution, but Cameron is undeterred. Cameron shimmies up one of the poles, takes out a pair of pliers, and attempts to cut one of the dangling lines where it remains attached to the pole. Cameron is instantly electrocuted and suffers severe burns. He sues the power company, arguing that the power company was negligent for not repairing the severed power line. The power company responds that Cameron's own actions contributed to his injury. If the court applies the analysis in both Davies, the principal case, and in Butterfield v. Forrester, the prior case, is Cameron likely to prevail?
- No, because under Butterfield Cameron failed to use ordinary care for himself.
- No, because under Davies the power company was not negligent in failing to repair the power line.
- Yes, because under Butterfield the power company was negligent in not repairing the power line.
- Yes, because under Davies the mere fact that Cameron failed to exercise ordinary care in attempting to cut the power line does not bar his action.
Notes and Further Cases
- The "Last Clear Chance" doctrine. The principal case is often cited as inaugurating the "Last Clear Chance" doctrine. In rough terms, the doctrine tries to capture the idea that a plaintiff's contributory negligence won't bar recovery if it was the defendant who had the last clear chance to prevent the injury. But the doctrine is tough to define precisely and even tougher to apply. The Restatement (Second) defines the doctrine thus: A contributorily negligent plaintiff may still recover if, "immediately preceding the harm, (a) the plaintiff is unable to avoid [the harm] by the exercise of reasonable vigilance and care, and (b) the defendant is negligent in failing to utilize with reasonable care and competence his then existing opportunity to avoid the harm, when he (i) knows of the plaintiff's situation and realizes or has reason to realize the peril involved in it or (ii) would discover the situation and thus have reason to realize the peril, if he were to exercise the vigilance which it is then his duty to the plaintiff to exercise." Restatement (Second) of Torts § 479 (1965). What a mouthful. Let's apply it to the facts in Davies:
- First, was Davies contributorily negligent? Yes; he chained his donkey's legs together and then left it unattended such that it ventured out toward a road to graze.
- Next, could Davies have, immediately preceding the harm—Mann's collision with the donkey—avoided it by exercising reasonable care? No; there is no evidence Davies was at the scene immediately before the crash or could have prevented the crash in the precious moments before it happened.
- Finally, could Mann reasonably have avoided the harm in those precious moments, either because he (i) knew of the situation in time to have steered around Davies' donkey or (ii) would have known of the situation in time to have steered around the donkey if he had exercised due care in driving his wagon? Yes; the latter is true. Mann would have discovered Davies' donkey in time to steer around it if he had not been driving his wagon at so "smartish" a pace when he came over the top of the hill. So, Mann had the "last clear chance" to reasonably prevent the harm, and Davies' own negligence does not bar recovery.
- Applying the doctrine. Seems simple enough, right? Consider the following pair of cases. Does the doctrine apply to them so that the plaintiffs can still recover?
- The Batman on the Bus Case. Michael Belton, sporting a blood-alcohol content of .424 (over five times the limit), dons a Batman cape one evening and begins roaming the streets of Georgetown, a suburb of Washington, D.C. Mr. Belton approaches a city bus at a red light, curses, and bangs on the door. Since the bus is not at a bus stop, the driver waves Mr. Belton off, and Mr. Belton indeed appears to walk away. In fact, however, Mr. Belton flattens himself against the side of the bus in the driver's blind spot. When the light turns green, the bus begins to turn the corner, Mr. Belton slides under the bus, and the bus runs him over, severely injuring him. Did the bus driver have the last clear chance to prevent the accident? Belton v. Wash. Metro. Area Transit Auth., 20 F.3d 1197 (D.C. Cir. 1994) (jury question).
- The School Play Disaster Case. David Howard is a high school senior and rock climbing enthusiast. When his school play is Peter Pan and his friend is cast in the lead role, David constructs a rig system that will allow his friend to fly to Neverland. During the dress rehearsal, David climbs a ladder, straps himself in, and jumps, in order to demonstrate how flying works in the rig. The rig fails. David is severely injured. Did the school employees who were supervising the dress rehearsal have the last clear chance to prevent the accident? Penn Harris Madison Sch. Corp. v. Howard, 861 N.E.2d 1190 (Ind. 2007) (no).
4.6.1.5 Freeman v. United States 4.6.1.5 Freeman v. United States
The Skydiving Accident Case
Ramona FREEMAN, etc., Plaintiff-Appellee, v. UNITED STATES of America, Defendant-Appellant.
No. 73-2231.
United States Court of Appeals, Sixth Circuit.
Jan. 24, 1975.
*627Frederick M. Coleman, U. S. Atty., Cleveland, Ohio, Ronald Glancz, Michael Stein, Dept, of Justice, Washington, *628D. C., Carla A. Hills, New York City, Morton Hollander, Washington, D. C., for defendant-appellant.
Norman W. Shibley, Donald P. Traci, Spangenberg, Hasenflue, Shibley, & Traci, Cleveland, Ohio, for plaintiff-appellee.
Before CELEBREZZE and McCREE, Circuit Judges, and CECIL, Senior Circuit Judge.
This appeal requires us to determine whether the federal government is liable, under the Federal Tort Claims Act, for the deaths of sixteen persons and for injuries to two others who parachuted through a cloud cover into Lake Erie at the direction of their jump master and their pilot who had been misinformed by a federal air traffic controller that his airplane was over the Ohio airport where the parachutists were scheduled to land. The Government does not dispute that the air traffic controller was negligent in ascertaining the airplane’s location, nor does it contest the reasonableness of the damage awards. Instead, the Government contends first, that the air controller owed no duty of care to the parachutists; second, that the actions were barred by the contributory negligence of the parachutists in jumping through a cloud cover; and, third, that the pilot and jump master, in directing a jump through a cloud cover were negligent and that their intervening negligence relieved the Government from any liability for the deaths and the injuries of the parachutists. The district court entered a judgment for plaintiffs. Dreyer v. United States, 349 F.Supp. 296 (N.D.Ohio 1972). We affirm.
These consolidated cases arise from the tragic drowning of 16 parachutists and from injuries to two survivors who were participating in. a high altitude parachute jump on August 27, 1967. In all, 20 parachutists took off from Ortner Airfield, near Oberlin, Ohio, in a converted World War II B-25 airplane, to make a mass jump over the airport. Eighteen of the parachutists planned to jump together from 20,000 feet in a free fall maneuver, and the remaining two planned to jump from 30,000 feet.
The aircraft took off at 3 p. m. when there was only scattered cloud cover. It took approximately one hour for it to climb to 20,000 feet. During this time, the pilot maintained radio contact with the air traffic controller for the purpose of determining the plane’s location and insuring that the jump would take place directly over Ortner Airfield.
At about the same time that the B — 25 went aloft, a Cessna airplane took off with a photographer who planned to take motion pictures of the parachutists as they made their descent. The Cessna was flying at 12,000 feet. The district court found that the air traffic controller confused the Cessna with the B — 25 on his radarscope and gave flight directions to the B-25 based on his observation of the flight path of the Cessna.
Shortly before the B-25 pilot, Karns, made his final preparation to drop the jumpers, he called the traffic controller for final verification of his heading and location. The traffic controller informed Karns that he was headed in the right direction and was only three miles from Ortner. In fact, the B-25 was headed in a northeasterly direction away from Ortner and over Lake Erie. Neither the pilot nor the passengers were aware that the plane was over water because there was a solid cloud cover below the plane.
Inside the plane, the jumpers, sitting on benches in the cargo section of the plane or in the bomb bays, were squeezed together in nearly total darkness. There were no windows permitting them to see below the aircraft. Shortly before the jump, the pilot throttled back the engines, thus giving the jumpers their first indication that it was nearly time to jump. When the time for the jump came, the bomb bay doors opened and the inside of the plane was flooded with light. The jumpers experienced difficulty adjusting their eyes to this intense light and because of temporary blindness were unaware of the clouds beneath them and the lake below *629the clouds. At approximately the same time that the doors were opened, Karns relayed a hand signal to the jump master, Hartman, that they were over the target. Hartman then gave the signal for the jump and 18 parachutists evacuated the plane as quickly as they could. In fact, the district court found that they were all out of the plane within 30 seconds. It was only after they had jumped that they discovered the clouds beneath them. At 4,000 feet, when they broke through the cloud cover, they realized they were over Lake Erie approximately four miles offshore instead of over Ortner Airfield. Although a valiant rescue effort was made at the initiative of an off-duty Coast Guardsman, only two of the 18 parachutists were saved from drowning.
These negligence actions were brought against the United States under the Federal Tort Claims Act, 28 U.S.C. § 1346(b), by the two survivors and by the estates of the 16 deceased jumpers for the negligence of the federal government air traffic controller. The district court, applying the law of Ohio where the negligent act occurred, Richards v. United States, 369 U.S. 1, 82 S.Ct. 585, 7 L.Ed.2d 492 (1962), found that the proximate cause of the deaths and the injuries was the negligent misidentification of the B-25 by the traffic controller.
Although the district court did not determine whether the pilot and the jump master were negligent in directing the jumpers to leave the plane without ascertaining that the plane was above a cloud cover, it ruled that any negligence on their part would not be imputed to the parachutists. The district court also rejected the Government’s contention that the jumpers were contributorily negligent because they jumped into a cloud cover in violation of a federal aviation regulation.
The first issue we consider is whether the air traffic controller owed a duty to parachutists. The appellant, citing no authority, claims that an air traffic controller’s duty is limited to regulating air traffic and to advising planes of their location in order to avoid aircraft crashes, but that the duty does not extend to advising parachutists whether it is safe to jump.
Although we have found no cases concerning the duty of controllers to parachutists, other courts have concluded that a controller’s duty to exercise reasonable care extends to the aircraft, passengers, crews and cargoes. Stork v. United States, 430 F.2d 1104 (9th Cir. 1970); Ingham v. Eastern Air Lines, 373 F.2d 227 (2d Cir.), cert. denied, 389 U.S. 931, 88 S.Ct. 295, 19 L.Ed.2d 292 (1967); Hennessey v. United States, 12 Av.Rep. U 17410 (N.D.Cal.1971). We see no reason here to exclude parachutists who are only a special kind of passenger.
The law of Ohio is that actionable negligence occurs when an injury results from conduct that a reasonably prudent and careful person should anticipate would cause injury to the plaintiff or to those in a similar situation. Gedeon, Administrator v. East Ohio Gas Co., 128 Ohio St. 335, 190 N.E. 924 (1934). Here, because the air traffic control center had been advised of the high altitude mass jump, the controller knew or should have known of the purpose of the flight, and he should have anticipated that any mistake with respect to the plane’s position could lead to disastrous consequences for the jumpers. Accordingly, we hold that the controller owed a duty to the jumpers to exercise due care.
The second issue we consider is whether the parachutists were guilty of contributory negligence. Ohio law bars recovery to any plaintiff whose negligence contributed as a proximate cause to the occurrence of the accident. Bahm v. Pittsburgh & Lake Erie R.R., 6 Ohio St.2d 192, 217 N.E.2d 217 (1966). The district court found that the skydivers aboard the B-25 were not contributorily negligent because they had no reason to suspect that the jump master would signal them to jump into solid cloud cover and because they had no reasonable means for making an independent obser*630vation of the cloud conditions below the plane.
The appellant contends, however, that the jumpers were guilty of negligence per se because they violated a federal aviation regulation, 14 C.F.R. § 105.29, that forbids parachute jumping through clouds. The regulation in effect at the time of the accident provided:
§ 105.29 Clearance from clouds requirements.
(a) No person may make' a parachute jump into or through a cloud and no person may make a parachute jump—
(1) Within the continental control area, at a distance of less than 1,000 feet under, 1,000 feet over, or one mile horizontally from any cloud formation; or
(2) Outside the continental control area, at a distance less than 500 feet under, 1,000 feet over, or 2,000 feet horizontally from any cloud formation.
(b) No pilot in command of an aircraft may allow any person to make a parachute jump from that aircraft unless cloud conditions allow that person to comply with the requirements of paragraph (a) of this section. [Doc. 1491, 27 F.R. 11636, Nov. 27, 1962, as amended by document 4057, Arndt. 105-1, 29 F.R. 14920, Nov. 4, 1964.]
Appellees contend that the district court was correct because the violation of the administrative regulation was not negligence under the circumstances. It was intended to provide protection only for persons, objects or other aircraft from injury caused by parachutists jumping through clouds. It was not intended to insure the safety of parachutists as a class. Accordingly, it is argued, the violation of the administrative regulation is not negligence per se.
We observe that the federal air regulations have been adopted by the State of Ohio as its own. Ohio Rev.Code §§ 4561.05, 4561.14 (1973). Thus, violation of a federal air regulation constitutes a violation of Ohio law and is, under appropriate circumstances, negligence per se. See Bibler v. Young, 492 F.2d 1351 (6th Cir. 1974).1 If an injury caused by an action which violates a safety statute is of the kind that the statute was intended to prevent, the action constitutes negligence per se. Gorris v. Scott, L.R. 9 Ex. 125 (1874). In that case defendant violated a statute requiring ships to provide separate pens for stock. During a storm, plaintiff’s sheep were washed overboard. It was clear that the pens required by statute would have prevented the loss of the sheep, but the defendant was not liable because the statute was intended only to guard against “the possibility of sheep or cattle being exposed to disease on their way to this country.” This limitation of the negligence per se principle has been recognized by Ohio courts. See Miller v. East Ohio Gas Co., 35 Ohio App. 113, 172 N.E. 300 (1930). Accordingly, if the regulation in this case was not intended to protect parachutists, its violation by them would not be the legal cause of injury to them.
The purpose of the parachute regulations whose applicability is at issue is to protect air traffic and persons or property on the ground. Thus, an introductory section to Part 105 of the Code of Federal Regulations, dealing with parachute jumping, provides:
§ 105.13 General.
No person may make a parachute jump, and no .pilot in command of an aircraft may allow a parachute jump to be made from that aircraft, if that jump creates a hazard to air traffic or to persons or property on the surface.
*631Moreover, a hearing conducted by the Senate Aviation Subcommittee concerning parachute jumping regulation supports the view that the regulations were not designed to protect the parachutist. In a letter to Senator Warren G. Magnuson, Chairman of the Senate Commerce Committee, John L. Sweeney, Assistant Secretary for Public Affairs for the Department of Transportation, stated that the rules in existence at the time of the accident were “designed primarily to prevent the jumper from creating a hazard to aircraft operating in the airspace or to persons and property on the ground.” In another letter from the Chairman of the National Transportation Safety Board, Department of Transportation, it was suggested that “to direct the FAA to undertake a program designed primarily to protect the parachutists would involve a basic change in the theory of federal responsibility in this area.” Finally, David D. Thomas, Deputy Administrator of the FAA testified that none of the regulations in effect at the time of the accident were designed to protect parachute jumpers because such regulation was beyond the scope of the Administrator’s authority under the federal act. Hearings on S. 2137 before the Aviation Subcomm. of the Senate Comm. on Commerce, 90th Cong., 1st Sess. (1967).
Both the regulations and the testimony before the Senate Subcommittee on Aviation require the conclusion that the purpose of the regulations governing parachute jumping is to insure the safety of aircraft traffic and persons and property on the ground, not the safety of parachutists. Therefore, we conclude that the parachutists do not fall within the class intended to be benefited by the regulations and that their violation by the jumpers does not constitute negligence per se.
The government contends that even if it is not negligence per se to jump through a cloud, it is nonetheless contributory negligence as a matter of law. In Ohio, a plaintiff’s disregard of reasonable standards of conduct which, if followed, would have prevented his injury will preclude his recovery. Canter v. Valley, 168 Ohio St. 590, 157 N.E.2d 113 (1959); Mills v. City of Springfield, 75 Ohio Abs. 150, 142 N.E.2d 859 (1956). However, it is also Ohio law that one need not anticipate the negligence of another until he becomes aware of that negligence. Northwest Airlines, Inc. v. Glenn L. Martin Co., 224 F.2d 120 (6th Cir. 1955), cert. denied, 350 U.S. 937, 76 S.Ct. 308, 100 L.Ed. 818 (1956); Baldridge v. Wright Gas Co., 154 Ohio St. 452, 96 N.E.2d 300 (1951); Mahoning Valley Railway Co. v. Kazanecka, 7 Ohio App. 289 (1917).
In this case, the parachutists relied on the signal from the pilot and jump master before they jumped. The pilot, in turn relied on the communication from the traffic controller that the aircraft was over the airport. The district court found that the air traffic controller negligently misidentified the plane, that the pilot signaled to the jump master for the jump even' though he should have been aware of the possibility of misidentification of the plane by the controller and should have been aware of the cloud cover below the plane, and that the jump master relayed the jump signal without determining whether the plane was above a solid cloud cover. If any one of these three persons had acted in a reasonably prudent manner, the accident would not have occurred.
In concluding that the jumpers were not guilty of contributory negligence, the district court observed:
At the time the B-25 took off, the cloud cover in the vicinity of .Ortner Airfield was such as to permit lawful jumping.
While airborne, the skydivers had no reasonable opportunity to observe the conditions below the plane. Those in the bomb bay area were in virtually complete darkness, being in a semi-enclosed area. While there were a window and a hatch in the rear area, the jumpers were required to remain seated on the floor of the plane and on the *632plank bench at the bulkhead. From such locations their view was on a flat plane to the sides of the B — 25.
Momentarily before the jump sign, the bomb bay doors opened, flooding the interior with bright light. The reaction upon the divers in the bomb bay area was described as coming out of a dark theater into bright sunlight, temporarily blinding the viewer as to conditions about him.
The first view the divers in the rear area had of the conditions outside the plane was upon their exit in response to the jump signal.
Under the facts and circumstances reflected on this record, the Court finds no basis to believe that the skydivers aboard the B — 25 would have any reason to suspect that Mr. Hartman would signal them to jump into a solid cloud cover, and no reasonable means for making independent observations of the cloud conditions below the plane. The Court, therefore, finds that their exiting of the B-25 as quickly as they could in reliance upon the signal by Mr. Hartman to commence the high altitude relative work jump did not constitute negligence on their part.
In Northwest Airlines, supra, the plaintiff airline sued an airplane manufacturer for negligent design of several airplanes, one of which crashed as a result of the left wing being torn from the plane during a flight through a thunderstorm. The defendant contended, inter alia, that because representatives of Northwest were present throughout the manufacturing and testing of the airplanes, their failure to protest the use of the faulty wing splice device constituted contributory negligence. This court stated: “One to whom a duty is owed has a right to assume that it will be performed. He is not required to anticipate negligent acts or omissions on the part of others.” 224 F.2d at 127. Thus, even though Northwest representatives were present and could probably have ascertained that the wing design was faulty, this court did not hold such conduct to be contributory negligence because the plaintiffs had a right to rely on the manufacturer’s exercise of due care in building the planes.
Similarly, we are unable to say in this case that the parachutists should have been aware of the hazards below them when they were entitled to rely on the exercise of due care by the controller, pilot and jump master in positioning the plane directly over the airport. We believe the reliance of the parachutists on these three individuals was reasonable in light of the circumstances, and we agree with the district court’s conclusion that the parachutists were not guilty of contributory negligence.
The next issue we consider is whether the negligence of the pilot and jump master may be imputed to the parachutists. The law of Ohio is that apart from statute and cases of joint enterprise, negligence may not be imputed. 39 Ohio Jur.2d Negligence § 114, p. 676, Toledo Rys. & Light Co. v. Mayers, 93 Ohio St. 304, 309, 112 N.E. 1014 (1916). See also, Cincinnati Street Ry. v. Wright, Administrator, 54 Ohio St. 181, 43 N.E. 688 (1896).
For example, in Lester v. John R. Jurgensen Co., 400 F.2d 393, 396 (6th Cir. 1968), an automobile accident case, this court stated that in Ohio, negligence can be imputed from a driver to a passenger “only if it can be shown that the [driver and passenger] were engaged in a joint enterprise of such a nature that the passenger has a right to control the acts of the driver in his operation of the vehicle.” We pointed out there that:
the person alleging joint enterprise for the purpose of imputing negligence has a heavy burden of proof since the courts do not favor the doctrine. It is not sufficient that the driver and passenger are fellow employees, Parton v. Weilnau [169 Ohio St. 145, 158 N.E.2d 719 (1959)] or that they have a common destination or objective in making the trip, Casper v. Higgins, 54 Ohio App. 21, 6 N.E.2d 3 (1935), or that the passenger has paid a share of the cost of the trip. Elfers v. Bright, 108 Ohio *633App. 495, 162 N.E.2d 535 (1958). Nor is it sufficient that the driver would grant any reasonable request of the passenger in routing the trip. Cf. Oswell v. Smoyer, 138 N.E.2d 168, 169 (Ohio App.1952). In cases concerning a driver and his passenger, the essential element for the imputation of negligence in Ohio is that the passenger have a right or responsibility to control the actions of the driver in his operation of the vehicle. New York, Chicago & St. Louis Railroad Company v. Kistler, 66 Ohio St. 326, 64 N.E. 130 (1902); compare Toledo Railways & Light Co. v. Mayers, 93 Ohio St. 304, 112 N.E. 1014 (1916); and Parton v. Weilnau, 169 Ohio St. 145, 158 N.E.2d 719 (1959).
400 F.2d at 396-97 [footnote omitted].
The circumstances of this case do not rise to the level of a joint enterprise because the passengers did not have the power to control the pilot. They were completely separated from the cockpit area, and they were unable to move from their seats.
Accordingly, we follow the rule in Wasilko v. United States, 300 F.Supp. 573 (N.D.Ohio 1967), aff’d, 412 F.2d 859 (6th Cir. 1969), an Ohio airplane case, where an action was brought against the United States for the death of plaintiff’s husband and son in an airport crash. Judge Thomas held that airport controllers had been negligent in granting clearance, without warning of possible wake turbulence, to a small plane to take off just behind and below an airliner. The district court held the husband-pilot contributorily negligent for failing to consider wake turbulence. With respect to the son, the court stated that although the negligence of the pilot contributed to his son’s death, it was not imputable to him. Accordingly, the court allowed recovery for the son’s death.
The last issue we consider is whether the negligent conduct of the pilot and jump master were intervening causes of the accident. In its brief, appellant quotes language from Thrash v. U-Drive-It Co., 158 Ohio St. 465, 110 N.E.2d 419 (1953), to the effect that:
where there intervenes between an agency creating a hazard and an injury resulting from such hazard another conscious and responsible agency which could and should have eliminated the hazard, the original agency is relieved from liability. A break in the chain of causation thereby takes place which operates to absolve the original agency. 65 C.J.S. Negligence § 111, pages 691, 692.
158 Ohio St. at 471, 110 N.E.2d at 422.
This language, by itself, suggests that the traffic controller’s misidentification of the airplane although negligent did not cause the injuries complained of because the pilot should have “eliminated the hazard” of the jump over Lake Erie.2 However, the law of Ohio requires that an efficient intervening cause in order to break the chain of causation must be one “not brought into operation by the original wrongful act, but operating entirely independent thereof; it must be such a cause as would have produced the result, without the co-operation of the original wrong.” Dougherty, Administrator v. Hall, 70 Ohio App. 163, 172, 45 N.E.2d 608, 613 (1941).
In the Dougherty case, defendant argued that he should not be held liable for the plaintiff’s death because, assuming his negligence caused plaintiff’s injuries requiring surgery, plaintiff’s death was caused by the administration of ether anaesthesia to a person with an enlarged thymus gland, a procedure that frequently causes death. The court rejected that argument and quoted with approval this statement: “The intervention of a responsible human agency between a wrongful act and the injury does not absolve the defendant from liability, if his negligence and the interven*634ing agency cooperated in causing the injury.” 70 Ohio App. at 172, 45 N.E.2d at 613, quoting 29 Ohio Jur. Negligence § 78. See also Mouse v. Central Savings & Trust Co., 120 Ohio St. 599, 167 N.E. 868 (1929), Neff Lumber Co. v. First National Bank, 122 Ohio St. 302, 171 N.E. 327 (1930).
In this case, the intervening negligence would not have produced the result without the cooperation of the original wrong committed by the traffic controller. It was the traffic controller’s negligent act that caused the pilot to believe he was over his intended target. The consequence of this act continued during the entire episode and the intervening negligence of the pilot and jump master did not alone cause the descent into Lake Erie and the drowning of the 16 jumpers. Accordingly, we determine that the intervening negligence does not bar recovery.
Affirmed.
4.6.1.6 Questions and Notes on Freeman 4.6.1.6 Questions and Notes on Freeman
Fun Fact
The aircraft involved in the case was a B-25 bomber, the same model famously used in the Doolittle Raid—the first U.S. air operation to strike Japanese territory during World War II. In April 1942, just months after Pearl Harbor, sixteen B-25s launched from the deck of the USS Hornet in a daring, morale-boosting mission that defied conventional military wisdom: land-based bombers were never meant to take off from aircraft carriers. Though most crews crash-landed or bailed out over China, the raid shocked Japan and galvanized American resolve.
Guiding Questions
- How did the court assess the air traffic controller's duty to the parachutists, and what factors contributed to this conclusion?
- What was the court's reasoning for rejecting the government's argument of contributory negligence by the parachutists? How did the court interpret the federal aviation regulation concerning parachute jumping through clouds?
- Why did the court determine that the negligence of the pilot and jump master did not relieve the government of liability?
- The parachutists and the pilot were on a shared mission, were they not? Why is that not enough to deem them part of a "joint enterprise"?
Test Your Knowledge
Under municipal regulations, the city is responsible for placing and maintaining portable fire extinguishers in all licensed daycare facilities. At Little Steps Daycare, the city installed an extinguisher and affixed a current inspection tag indicating that it had passed all safety checks. As part of her onboarding, Ms. Ramos, a daycare teacher, received brief training on how to use the extinguisher during emergencies. One afternoon, when an electrical fire broke out near a classroom, Ms. Ramos followed all of the protocols she learned during her onboarding and training, grabbed the extinguisher and attempted to suppress the flames. The extinguisher malfunctioned due to a defective valve, and its nozzle blew off with great force, striking Ms. Ramos and causing her significant injury. She sues the city for negligent inspection and maintenance. Assume that in this jurisdiction contributory negligence is a complete bar. The city raises contributory negligence as a defense, arguing that Ms. Ramos should have evacuated the building rather than trying to fight the fire. Is the city’s contributory negligence defense likely to succeed?
- No, because Ms. Ramos followed protocol and relied on the city's own inspection tag.
- No, because a fire extinguisher is inherently dangerous triggering the city's strict liability.
- Yes, because the voluntary actions of Ms. Ramos were the sole cause of her injuries.
- Yes, because Ms. Ramos used the extinguisher without first locating the source of the fire.
Notes and Further Cases
- A return to Negligence Per Se. The principal case offers a useful reminder that not all statutory or regulatory violations constitute NPS. The court applies the principle that such violations only constitute NPS when the plaintiff is within the class of persons the statute was intended to protect, and the harm is the type the statute was designed to prevent. Return to the case, ask yourself, who did the regulation mean to protect?
4.6.2 Comparative Negligence 4.6.2 Comparative Negligence
4.6.2.1 McIntyre v. Balentine 4.6.2.1 McIntyre v. Balentine
The Truck Stop Accident Case
Harry Douglas McINTYRE, Plaintiff-Appellant, v. Clifford BALENTINE and East-West Motor Freight, Inc., Defendants-Appellees.
Supreme Court of Tennessee, at Jackson.
May 4, 1992.
Rehearing Denied June 1, 1992.
*53T. Robert Hill, Hill, Boren, Drew & Mar-tindale, P.C., Jackson, John W. Wade, Waller, Lansden, Dortch & Davis, Nashville, Professor Jerry J. Phillips, University of Tennessee, College of Law, J. Anthony Farmer, Ray, Farmer & Eldridge, Knoxville, for plaintiff-appellant.
Robert V. Redding, Waldrop, Breen, Bryant, Crews, Taylor & McLeary, P.A., Jackson, for defendant-appellee Clifford Balentine.
J. Daniel Breen, Waldrop, Breen, Bryant, Crews, Taylor & McLeary, P.A., Jackson, for defendant-appellee East-West Motor Freight, Inc.
Terry L. Hill, James M. Doran, Jr., Donald Capparella, Manier, Herod, Hollabaugh & Smith, Nashville, for amicus curiae Tennessee Defense Lawyers’ Association.
OPINION
In this personal injury action, we granted Plaintiff’s application for permission to appeal in order to decide whether to adopt a system of comparative fault in Tennessee. We are also asked to determine whether the criminal presumption of intoxication is admissible evidence in a civil case. We now replace the common law defense of contributory negligence with a system of comparative fault. Additionally, we hold that the criminal presumption of intoxication established by T.C.A. § 55-10-408(b) (1988) is admissible evidence in a civil case.
In the early morning darkness of November 2, 1986, Plaintiff Harry Douglas McIntyre and Defendant Clifford Balentine were involved in a motor vehicle accident resulting in severe injuries to Plaintiff. The accident occurred in the vicinity of Smith’s Truck Stop in Savannah, Tennessee. As Defendant Balentine was traveling south on Highway 69, Plaintiff entered the highway (also traveling south) from the truck stop parking lot. Shortly after Plaintiff entered the highway, his pickup truck was struck by Defendant’s Peterbilt tractor. At trial, the parties disputed the exact chronology of events immediately preceding the accident.
Both men had consumed alcohol the evening of the accident. After the accident, Plaintiff’s blood alcohol level was measured at .17 percent by weight. Testimony suggested that Defendant was traveling in excess of the posted speed limit.
Plaintiff brought a negligence action against Defendant Balentine and Defendant East-West Motor Freight, Inc.1 Defendants answered that Plaintiff was con-tributorially negligent, in part due to operating his vehicle while intoxicated. After trial, the jury returned a verdict stating: “We, the jury, find the plaintiff and the defendant equally at fault in this accident; therefore, we rule in favor of the defendant.”
After judgment was entered for Defendants, Plaintiff brought an appeal alleging the trial court erred by (1) refusing to instruct the jury regarding the doctrine of comparative negligence, and (2) instructing the jury that a blood alcohol level greater than .10 percent creates an inference of *54intoxication. The Court of Appeals affirmed, holding that (1) comparative negligence is not the law in Tennessee, and (2) the presumption of intoxication provided by T.C.A. § 55-10-408(b) (1988) is admissible evidence in a civil case.
I.
The common law contributory negligence doctrine has traditionally been traced to Lord Ellenborough’s opinion in Butterfield v. Forrester, 11 East 60, 103 Eng.Rep. 926 (1809). There, plaintiff, “riding as fast as his horse would go,” was injured after running into an obstruction defendant had placed in the road. Stating as the rule that “[o]ne person being in fault will not dispense with another’s using ordinary care,” plaintiff was denied recovery on the basis that he did not use ordinary care to avoid the obstruction. See 11 East at 61, 103 Eng.Rep. at 927.
The contributory negligence bar was soon brought to America as part of the common law, see Smith v. Smith, 19 Mass. 621, 624 (1824), and proceeded to spread throughout the states. See H.W. Woods, The Negligence Case: Comparative Fault § 1:4 (1978). This strict bar may have been a direct outgrowth of the common law system of issue pleading; issue pleading posed questions to be answered “yes” or “no,” leaving common law courts, the theory goes, no choice but to award all or nothing. See J.W. Wade, W.K. Crawford, Jr., and J.L. Ryder, Comparative Fault In Tennessee Tort Actions: Past, Present and Future, 41 Tenn.L.Rev. 423, 424-25 (1974). A number of other rationalizations have been advanced in the attempt to justify the harshness of the “all-or-nothing” bar. Among these: the plaintiff should be penalized for his misconduct; the plaintiff should be deterred from injuring himself; and the plaintiffs negligence supersedes the defendant’s so as to render defendant’s negligence no longer proximate. See W. Keeton, Prosser and Keeton On The Law Of Torts, § 65, at 452 (5th ed. 1984); J.W. Wade, supra, at 424.
In Tennessee, the rule as initially stated was that “if a party, by his own gross negligence, brings an injury upon himself, or contributes to such injury, he cannot recover;” for, in such cases, the party “must be regarded as the author of his own misfortune.” Whirley v. Whiteman, 38 Tenn. 610, 619 (1858). In subsequent decisions, we have continued to follow the general rule that a plaintiff’s contributory negligence completely bars recovery. See, e.g., Hudson v. Gaitan, 675 S.W.2d 699, 704 (Tenn.1984); Talbot v. Taylor, 184 Tenn. 428, 432, 201 S.W.2d 1, 3 (1935); Nashville Ry. v. Norman, 108 Tenn. 324, 333, 67 S.W. 479, 481 (1902); Railroad v. Pugh, 97 Tenn. 624, 627, 37 S.W. 555, 557 (1896); Postal Telegraph-Cable Co. v. Zopfi, 93 Tenn. 369, 373, 24 S.W. 633, 634 (1894); East Tennessee V. & G.R.R. v. Conner, 83 Tenn. 254, 258 (1885); Louisville & N.R.R. v. Robertson, 56 Tenn. 276, 282 (1872); Nashville & C.R.R. v. Carroll, 53 Tenn. 347, 366-67 (1871); Cogdell v. Yett, 41 Tenn. 230, 232 (1860).
Equally entrenched in Tennessee jurisprudence are exceptions to the general all- or-nothing rule: contributory negligence does not absolutely bar recovery where defendant’s conduct was intentional, see, e.g., Stagner v. Craig, 159 Tenn. 511, 514, 19 S.W.2d 234, 234-35 (1929); Memphis St. Ry. v. Roe, 118 Tenn. 601, 612-13, 102 S.W. 343, 346 (1907); where defendant’s conduct was “grossly” negligent, see, e.g., Ellithorpe v. Ford Motor Co., 503 S.W.2d 516, 522 (Tenn.1973); Carroll, 53 Tenn. at 366-67; where defendant had the “last clear chance” with which, through the exercise of ordinary care, to avoid plaintiff’s injury, see, e.g., Roseberry v. Lippner, 574 S.W.2d 726, 728 (Tenn.1978); Kansas City, M. & B.R.R. v. Williford, 115 Tenn. 108, 120-21, 88 S.W. 178, 181-82 (1905); Davies v. Mann, 152 Eng.Rep. 588 (1842); or where plaintiff’s negligence may be classified as “remote.” See, e.g., Arnold v. Hayslett, 655 S.W.2d 941, 945 (Tenn.1983); Street v. Calvert, 541 S.W.2d 576, 585 (Tenn.1976); Norman, 108 Tenn. at 333, 67 S.W. at 481; East Tennessee, V. & G. Ry. v. Hull, 88 Tenn. 33, 36, 12 S.W. 419, 419-20 (1889).
In contrast, comparative fault has long been the federal rule in cases involving *55injured employees of interstate railroad carriers, see Federal Employers’ Liability Act, ch. 149, § 3, 35 Stat. 66 (1908) (codified at 45 U.S.C. § 53 (1988)), and injured seamen. See Death On The High Seas Act, ch. Ill, § 6, 41 Stat. 537 (1920) (codified at 46 U.S.C. § 766 (1988)); Jones Act, ch. 250, § 33, 41 Stat. 1007 (1920) (codified as amended at 46 U.S.C. § 688 (1988)). See generally V. Schwartz, Comparative Negligence § 1.4(A) (2d ed. 1986).
Similarly, by the early 1900s, many states, including Tennessee, had statutes providing for the apportionment of damages in railroad injury cases. See V. Schwartz, supra, at § 1.4. While Tennessee’s railroad statute did not expressly sanction damage apportionment, it was soon given that judicial construction. In 1856, the statute was passed in an effort to prevent railroad accidents; it imposed certain obligations and liabilities on railroads “for all damages accruing or resulting from a failure to perform said dut[ies].” Act of Feb. 28, 1856, ch. 94, § 9, 1855-56 Tenn. Acts 104. See generally J.W. Wade, supra, at 431-33. Apparently this strict liability was deemed necessary because “the consequences of carelessness and want of due skill [in the operation of railroads at speeds previously unknown] ... are so frightful and appalling that the most strict and rigid rules of accountability must be applied.” See East Tennessee & G.R.R. v. St. John, 37 Tenn. 524, 527 (1858); Note, Railroads — Precautions Act — Effect of 1959 Amendment, 28 Tenn.L.Rev. 437, 439 (1961). The statute was then judicially construed to permit the jury to consider “[njegligence of the person injured, which caused, or contributed to cause the accident ... in determining the amount of damages proper to be given for the injury.” Louisville & N.R.R. v. Burke, 46 Tenn. 45, 51-52 (1868). This system of comparative fault was utilized for almost a century until 1959 when, trains no longer unique in their “astonishing speeds,” the statute was overhauled, its strict liability provision being replaced by negligence per se and the common law contributory negligence bar. See Act of Mar. 10, 1959, ch. 130, § 2, 1959 Tenn.Pub. Acts 419; Note, supra, 28 Tenn. L.Rev. at 439.
Between 1920 and 1969, a few states began utilizing the principles of comparative fault in all tort litigation. See C. Mutter, Moving to Comparative Negligence in an Era of Tort Reform: Decisions for Tennessee, 57 Tenn.L.Rev. 199, 227 n. 127 (1990). Then, between 1969 and 1984, comparative fault replaced contributory negligence in 37 additional states. Id. at 228. In 1991, South Carolina became the 45th state to adopt comparative fault, see Nelson v. Concrete Supply Co., 303 S.C. 243, 399 S.E.2d 783 (1991), leaving Alabama,2 Maryland, North Carolina, Virginia, and Tennessee as the only remaining common law contributory negligence jurisdictions.
Eleven states have judicially adopted comparative fault.3 Thirty-four states *56have legislatively adopted comparative fault.4
II.
Over 15 years ago, we stated, when asked to adopt a system of comparative fault:
We do not deem it appropriate to consider making such a change unless and until a case reaches us wherein the pleadings and proof present an issue of contributory negligence accompanied by advocacy that the ends of justice will be served by adopting the rule of comparative negligence.
Street v. Calvert, 541 S.W.2d at 586. Such a case is now before us. After exhaustive deliberation that was facilitated by extensive briefing and argument by the parties, amicus curiae, and Tennessee’s scholastic community, we conclude that it is time to abandon the outmoded and unjust common law doctrine of contributory negligence and adopt in its place a system of comparative fault. Justice simply will not permit our continued adherence to a rule that, in the face of a judicial determination that others bear primary responsibility, nevertheless completely denies injured litigants recompense for their damages.
We recognize that this action could be taken by our General Assembly. However, legislative inaction has never prevented judicial abolition of obsolete common law doctrines, especially those, such as contributory negligence, conceived in the judicial womb. See Hanover v. Ruch, 809 S.W.2d 893, 896 (Tenn.1991) (citing cases). Indeed, our abstinence would sanction “a mutual state of inaction in which the court awaits action by the legislature and the legislature awaits guidance from the court,” Alvis v. Ribar, 85 Ill.2d 1, 52 Ill.Dec. 23, 421 N.E.2d 886, 896 (1981), thereby prejudicing the equitable resolution of legal conflicts.
Nor do we today abandon our commitment to stare decisis. While “[confidence in our courts is to a great extent dependent on the uniformity and consistency engendered by allegiance to stare decisis, ... mindless obedience to this precept can confound the truth and foster an attitude of contempt.” Hanover, 809 S.W.2d at 898.
*57III.
Two basic forms of comparative fault are utilized by 45 of our sister jurisdictions, these variants being commonly referred to as either “pure” or “modified.” In the “pure” form5, a plaintiff’s damages are reduced in proportion to the percentage negligence attributed to him; for example, a plaintiff responsible for 90 percent of the negligence that caused his injuries nevertheless may recover 10 percent of his damages. In the “modified” form6, plaintiffs recover as in pure jurisdictions, but only if the plaintiffs negligence either (1) does, not exceed (“50 percent” jurisdictions) or (2) is less than (“49 percent” jurisdictions) the defendant’s negligence. See generally V. Schwartz, supra, at §§ 3.2, 3.5.
Although we conclude that the all-or-nothing rule of contributory negligence must be replaced, we nevertheless decline to abandon totally our fault-based tort system. We do not agree that a party should necessarily be able to recover in tort even though he may be 80, 90, or 95 percent at fault. We therefore reject the pure form of comparative fault.
We recognize that modified comparative fault systems have been criticized as merely shifting the arbitrary contributory negligence bar to a new ground. See, e.g., Li v. Yellow Cab Co., 13 Cal.3d 804, 532 P.2d 1226, 119 Cal.Rptr. 858 (1975). However, we feel the “49 percent rule” ameliorates the harshness of the common law rule while remaining compatible with a fault-based tort system. Accord Bradley v. Appalachian Power Co., 163 W.Va. 332, 256 S.E.2d 879, 887 (1979). We therefore hold that so long as a plaintiff's negligence remains less than the defendant’s negligence the plaintiff may recover; in such a case, plaintiff’s damages are to be reduced in proportion to the percentage of the total negligence attributable to the plaintiff.
In all trials where the issue of comparative fault is before a jury, the trial court shall instruct the jury on the effect of the jury’s finding as to the percentage of negligence as between the plaintiff or plaintiffs and the defendant or defendants. Accord Colo.Rev.Stat. § 13-21-111.5(5) (1987). The attorneys for each party shall be allowed to argue how this instruction affects a plaintiff’s ability to recover.
IV.
Turning to the case at bar, the jury found that “the plaintiff and defendant [were] equally at fault.” Because the jury, without the benefit of proper instructions by the trial court, made a gratuitous apportionment of fault, we find that their “equal” apportionment is not sufficiently trustworthy to form the basis of a final determination between these parties. Therefore, the case is remanded for a new trial in accordance with the dictates of this opinion.
V.
We recognize that today’s decision affects numerous legal principles surrounding tort litigation. For the most part, harmonizing these principles with comparative fault must await another day. However, we feel compelled to provide some guidance to the trial courts charged with implementing this new system.
First, and most obviously, the new rule makes the doctrines of remote contributory negligence and last clear chance obsolete. The circumstances formerly taken into account by those two doctrines will henceforth be addressed when assessing relative degrees of fault.
*58Second, in cases of multiple tort-feasors, plaintiff will be entitled to recover so long as plaintiff's fault is less than the combined fault of all tortfeasors.
Third, today’s holding renders the doctrine of joint and several liability obsolete. Our adoption of comparative fault is due largely to considerations of fairness: the contributory negligence doctrine unjustly allowed the entire loss to be borne by a negligent plaintiff, notwithstanding that the plaintiffs fault was minor in comparison to defendant’s. Having thus adopted a rule more closely linking liability and fault, it would be inconsistent to simultaneously retain a rule, joint and several liability, which may fortuitously impose a degree of liability that is out of all proportion to fault.7
Further, because a particular defendant will henceforth be liable only for the percentage of a plaintiff’s damages occasioned by that defendant’s negligence, situations where a defendant has paid more than his “share” of a judgment will no longer arise, and therefore the Uniform Contribution Among Tort-feasors Act, T.C.A. §§ 29-11-101 to 106 (1980), will no longer determine the apportionment of liability between codefendants.
Fourth, fairness and efficiency require that defendants called upon to answer allegations in negligence be permitted to allege, as an affirmative defense, that a nonparty caused or contributed to the injury or damage for which recovery is sought. In cases where such a defense is raised, the trial court shall instruct the jury to assign this nonparty the percentage of the total negligence for which he is responsible. However, in order for a plaintiff to recover a judgment against such additional person, the plaintiff must have made a timely amendment to his complaint and caused process to be served on such additional person. Thereafter, the additional party will be required to answer the amended complaint. The procedures shall be in accordance with the Tennessee Rules of Civil Procedure.
Fifth, until such time as the Tennessee Judicial Conference Committee on Civil Pattern Jury Instructions promulgates new standard jury instructions, we direct trial courts’ attention to the suggested instructions and special verdict form set forth in the appendix to this opinion.
VI.
The principles set forth today apply to (1) all cases tried or retried after the date of this opinion, and (2) all cases on appeal in which the comparative fault issue has been raised at an appropriate stage in the litigation.
VII.
The remaining issue involves Plaintiff’s assertion that the trial court imper-missibly instructed the jury as to the presumption of intoxication established by T.C.A. § 55-10-408(b) (1988). We find no error.
Section 55-10-408(b) provides that:
Evidence that there was, at the time alleged, ten-hundredths of one percent (.10%), or more, by weight of alcohol in the defendant’s blood, shall create a presumption that the defendant was under the influence of such intoxicant, and that his or her ability to drive was impaired thereby, sufficiently to constitute a violation of § 55-10-401 [the criminal statute prohibiting driving under the influence of an intoxicant].
The results of a properly conducted blood test indicating ten-hundredths of one percent or more in a person’s blood thus creates a presumption which assists a lay jury in determining whether a person was under the -influence of an intoxicant. If the evidence is not rebutted, a jury may then permissibly find that the person was under *59the influence sufficiently to violate the criminal provisions regarding driving while intoxicated.
In Tennessee, violation of a penal statute is negligence per se, and is admissible evidence in a civil action. See Brookins v. The Round Table, Inc., 624 S.W.2d 547, 550 (Tenn.1981). However, a jury may not base its verdict on this per se negligence unless it affirmatively appears that the statutory violation was a proximate cause of the injury for which recovery is sought. See id.; Barr v. Charley, 215 Tenn. 445, 387 S.W.2d 614, 617 (1964). A trial court does not err when, as here, it instructs the jury accordingly.
For the foregoing reasons, the judgment of the Court of Appeals is reversed in part and affirmed in part, and the case is remanded to the trial court for a new trial in accordance with the dictates of this opinion. The costs of this appeal are taxed equally to the parties.
REID, C.J., and O’BRIEN, DAUGHTREY and ANDERSON, JJ., concur.
APPENDIX
The following instructions may be used in cases where the negligence of the plaintiff is at issue. These instructions are intended for two-party litigation. Appropriate modifications would be necessary for more complex litigation.
Suggested Jury Instructions
[The following instructions should be preceded by instructions on negligence, proximate cause, damages, etc.]
1. If you find that defendant was not negligent or that defendant’s negligence was not a proximate cause of plaintiff’s injury, you will find for defendant.
2. If you find that defendant was negligent and that defendant’s negligence was a proximate cause of plaintiff’s injury, you must then determine whether plaintiff was also negligent and whether plaintiff’s negligence was a proximate cause of his/her injury.
3. In this state, negligence on the part of a plaintiff has an impact on a plaintiff’s right to recover damages. Accordingly, if you find that each party was negligent and that the negligence of each party was a proximate cause of plaintiff’s damages, then you must determine the degree of such negligence, expressed as a percentage, attributable to each party.
4. If you find from all the evidence that the percentage of negligence attributable to plaintiff was equal to, or greater than, the percentage of negligence attributable to defendant, then you are instructed that plaintiff will not be entitled to recover any damages for his/her injuries. If, on the other hand, you determine from the evidence that the percentage of negligence attributable to plaintiff was less than the percentage of negligence attributable to defendant, then plaintiff will be entitled to recover that portion of his/her damages not caused by plaintiff’s own negligence.
5. The court will provide you with a special verdict form that will assist you in your duties. This is the form on which you will record, if appropriate, the percentage of negligence assigned to each party and plaintiff’s total damages. The court will then take your findings and either (1) enter judgment for defendant if you have found that defendant was not negligent or that plaintiff’s own negligence accounted for 50 percent or more of the total negligence proximately causing his/her injuries or (2) enter judgment against defendant in accordance with defendant’s percentage of negligence.
SPECIAL VERDICT FORM
We, the jury, make the following answers to the questions submitted by the court:
1. Was the defendant negligent?
Answer: _(Yes or No)
(If your answer is “No,” do not answer any further questions. Sign this form and return it to the court.)
2. Was the defendant’s negligence a proximate cause of injury or damage to the plaintiff?
Answer: _(Yes or No)
*60(If your answer is “No,” do not answer any further questions. Sign this form and return it to the court.)
3. Did the plaintiffs own negligence account for 50 percent or more of the total negligence that proximately caused his/her injuries or damages?
Answer: _(Yes or No)
(If your answer is “Yes,” do not answer any any further questions. Sign this form and return it to the court.)
4. What is the total amount of plaintiff's damages, determined without reference to the amount of plaintiff’s negligence?
Amount in dollars: $_
5. Using 100 percent as the total combined negligence which proximately caused the injuries or damages to the plaintiff, what are the percentages of such negligence to be allocated to the plaintiff and defendant?
Plaintiff_%
Defendant_%
(Total must equal 100%)
Signature of Foreman
OPINION ON PETITION TO REHEAR
Plaintiff has filed a respectful and thoughtful Petition for Rehearing requesting argument on (1) the advisability of retaining joint and several liability in certain limited circumstances, and (2) the Opinion’s treatment of nonparty tort-feasors. Because such further guidance should await an appropriate controversy, the petition is accordingly denied.
REID, C.J., and O’BRIEN, DAUGHTREY and ANDERSON, JJ., concur.
4.6.2.2 Questions and Notes on McIntyre 4.6.2.2 Questions and Notes on McIntyre
Fun Fact
In the principal case, decided in 1992, Tennessee scuttled contributory negligence and adopted comparative negligence. Tennessee thus became the 46th State to do so—and remains the last to do so. When this book went to press, Alabama, Maryland, North Carolina, and Virginia remain the four states that still apply contributory negligence.
Guiding Questions
- What was the core discussion that Justice Drowota offered on the history surrounding the shift from contributory negligence to comparative negligence? What policy rationales undergirded the analysis?
- Most of the states that have adopted comparative negligence have done so by legislation, not by judicial decision like in the principal case. What do you think makes more sense?
- Note that in adopting comparative negligence the Court also makes a number of important strategic decisions. What are they?
Test Your Knowledge
In the state of Bellwether, a plaintiff may recover under modified comparative fault only if the plaintiff’s share of fault is less than the combined fault of all defendants joined in the action at the time of judgment. If the plaintiff meets this threshold, recovery is reduced by the plaintiff’s own percentage of fault. Dan is injured in a three-car collision involving Carla and Eli. Dan sues both Carla and Eli in the state of Bellwether. At trial, the jury allocates fault as follows: Dan 45%, Carla 35%, and Eli 20%. Dan proves $100,000 in total damages. In a suit brought against Eli and Carla, how much, if anything, can Dan recover under Bellwether’s comparative fault rule?
- $0
- $20,000.
- $35,000.
- $45,000.
- $55,000.
- $100,000.
Notes and Further Cases
- Comparative negligence and its variations. As the principal case describes, there are several regimes that govern how comparative negligence affects a plaintiff's ability to recover damages:
- Pure Comparative Negligence: In this regime, the plaintiff’s damages are reduced by the percentage of their fault, regardless of how large that percentage is. For example, if a plaintiff is 90% at fault, they can still recover 10% of their damages.
- Modified Comparative Negligence: Similarly, a plaintiff can recover part of the damages in proportion to their relative share of fault, but the rule is modified such that if the plaintiff's share of fault exceeds a certain percentage, they are now are barred from any recovery. In other words, a plaintiff can recover their damages proportionally until their share of the fault reaches a certain threshold, at which point a version of contributory negligence applies once more. States disagree about where that threshold lies:
- "Not as Great as" rule: A plaintiff can recover damages proportionally as long as his fault is not as great as the defendant's, i.e., he must be less than 50% at fault. Otherwise, he is barred.
- "Not Greater Than" rule: A plaintiff can recover damages proportionally as long as his fault is not greater than the defendant's, i.e., he must be 50% or less at fault. Otherwise, he is barred.
- South Dakota's "Slight/Gross" rule: This unique model allows recovery only if the plaintiff’s negligence is “slight” compared to the defendant’s “gross” negligence. The terms “slight” and “gross” are not precisely defined, leaving interpretation up to the court, but typically mean that the plaintiff’s fault must be rather minor in comparison to the defendant’s. (Note that McIntyre, decided in 1992, stated that Nebraska used the slight/gross rule. Nebraska has since adopted the "Not as Great as" rule.)
- Plaintiff's negligence and seatbelts. Suppose the plaintiff elects not to wear his seatbelt and is hurt in a crash. If he sues the other driver for negligence or the vehicle manufacturer for a defect, should the evidence of his failure to wear a seatbelt be something for the factfinder to consider? The Restatement (Third) thinks so. See Restatement (Third) of Torts: Apportionment of Liab. § 3, illus. 3 (2000). West Virginia takes a different approach. A state statute prohibits the introduction of such evidence if the plaintiff consents to a 5% reduction in the total damages recoverable. See W. Va. Code § 17C–15–49(d); Estep v. Mike Ferrell Ford Lincoln-Mercury, Inc., 672 S.E.2d 345 (W. Va. 2008).
- Contributory/comparative negligence as pre-injury doctrines. The defenses of contributory and comparative negligence apply to the plaintiff's pre-injury conduct. They have no bearing on the reasonableness of the plaintiff's post-injury conduct—for example, where the injured plaintiff purposefully tries to increase artificially the amount of damages he can recover. That scenario is sometimes called the doctrine of "avoidable consequences" or the "duty to mitigate damages," and it is not the same as contributory or comparative negligence. As one court has distinguished them: Contributory and comparative negligence "focus[] on whether the plaintiff's negligence was a proximate cause of the underlying harm that gave rise to the plaintiff's damages," whereas the "duty to mitigate damages arises after [the plaintiff] has suffered an injury or loss, and focuses on whether the plaintiff took reasonable steps to avoid or reduce damages that were proximately caused by the negligence of the defendant." Searles v. Fleetwood Homes of Pa., Inc., 878 A.2d 509, 521 (Me. 2005).
4.6.3 Assumption of the Risk 4.6.3 Assumption of the Risk
4.6.3.1 Seigneur v. National Fitness Institute, Inc. 4.6.3.1 Seigneur v. National Fitness Institute, Inc.
The Weightlifting Injury Case
752 A.2d 631
Gerilynne SEIGNEUR et vir. v. NATIONAL FITNESS INSTITUTE, INC.
No. 6136,
Sept. Term, 1998.
Court of Special Appeals of Maryland.
May 31, 2000.
*274David L. Rubino (Amy Leete Leone, Paul H. Ethridge and McCarthy, Wilson & Ethridge, on the brief), Rockville, for Appellants.
Robert N. Kelly (Jackson & Campbell, P.C., on the brief), Washington, DC, for Appellee.
Argued before DAVIS, SALMON and BYRNES, JJ.
In this case, we are asked to examine the enforceability of an exculpatory clause found in a fitness club’s contract.
On September 4, 1998, Gerilynne. Seigneur and her husband James filed a complaint in the Circuit Court for Montgomery County against National Fitness Institute, Inc. (“NFI”). The Seigneurs asserted that Ms. Seigneur was injured as a result of NFI’s negligence while she was undergoing an initial evaluation at a fitness club owned and operated by NFI. NFI filed a motion to dismiss the complaint based on an exculpatory clause found in its contract with Ms. Seigneur. Pursuant to Md. Rule 2-332(c), NFI’s motion was treated as a motion for summary judgment because matters outside the pleadings were presented to the court. See also Rule 2-501. The motion for summary judgment was granted, and the Seigneurs filed this appeal in which they presented a single issue, viz: Does the exculpatory clause in the agreement *275entered into by the parties validly release NFI from all liability for injuries to Ms. Seigneur caused by NFI’s negligence? 1 We answer that question in the affirmative.
I. FACTUAL BACKGROUND2
NFI is a Maryland corporation operating an exercise and fitness facility on Shady Grove Road in Rockville, Montgomery County, Maryland. On January 30, 1996, Ms. Seigneur, after deciding to begin a weight loss and fitness program, joined NFI on a one-month trial basis. She selected NFI over its competitors for several reasons: First, NFI was recommended to her by her chiropractor; second, NFI promoted itself as a fitness club that employed “degreed, certified fitness, clinical exercise and health specialists” and “promised to provide programs that are appropriate for your health status and fitness level”; and third, NFI promised to “provide advice based upon scientific evidence.”
When she signed her membership contract, Ms. Seigneur had a history of serious lower back problems, including a herniated disc. Moreover, her general physical condition was poor. These facts were disclosed to NFI prior to the accident.
As part of the application process, Ms. Seigneur was required to complete and sign a document entitled “National Fitness, Inc. Health Programs Participation Agreement” (“the Participation Agreement”). Besides informing the customer of NFI’s payment and fee collection policies, this agreement contained the following clause:
*276Important Information: I, the undersigned applicant, agree and understand that I must report any and all injuries immediately to NFI, Inc. staff. It is farther agreed that all exercises shall be undertaken by me at my sole risk and that NFI, Inc. shall not be liable to me for any claims, demands, injuries, damages, actions, or courses of action whatsoever, to my person or property arising out of or connecting with the use of the services and facilities of NFI, Inc., by me, or to the premises of NFI, Inc. Further, I do expressly hereby forever release and discharge NFI, Inc. from all claims, demands, injuries, damages, actions, or courses of action, and from all acts of active or passive negligence on the part of NFI, Inc., its servants, agents or employees.
(Emphasis added.)
Ms. Seigneur signed the Participation Agreement on January 30, 1996. Kim Josties, an NFI employee, then performed an initial evaluation of Ms. Seigneur, in which Ms. Seigneur was first directed to perform various flexibility tests. Ms. Josties next directed her to the weight machines for strength testing. Ms. Seigneur worked on the leg extension machine and then the bench press. She made no complaints after using either of these devices. Ms. Seigneur next used an upper torso weight machine. Ms. Josties placed a ninety-pound weight on this machine and instructed Ms. Seigneur to lift this weight once with her arms. While attempting to lift this load, Ms. Seigneur felt a tearing or ripping sensation in her right shoulder. She instantly reported this to Ms. Josties, but the instructor did not seek immediate medical attention. Instead, Ms. Josties had Ms. Seigneur proceed to the next machine, and shortly thereafter, the initial evaluation was completed.
Ms. Seigneur claims that since this incident, she has had pain and difficulty using her shoulder. In addition, she has undergone shoulder surgery for a condition that her doctor attributed to the use of NFI’s upper torso machine.
*277The Seigneurs’ complaint against NFI alleged, inter alia, that NFI was vicariously liable because Ms. Josties, as an employee or agent of NFI, was
negligent in instructing, directing, and/or guiding the [appellant] to lift ninety (90) pounds of weight on the upper torso machine in the manner previously described, especially in light of the physical condition of the [appellant] and the physical and exercise history and experience of the [appellant], which was, or reasonably should have been known to [Ms. Josties], and in directing the [appellant] to continue with and complete the program evaluation despite her complaint of injury.
The Seigneurs additionally claimed that NFI breached its duty to Ms. Seigneur by negligently hiring Ms. Josties, who “lacked sufficient training, experience, certification and/or other qualifications and knowledge to properly, reasonably and safely instruct, direct and guide [Ms. Seigneur] in lifting weights and in the use of the weight equipment.” The Seigneurs also asserted that NFI negligently failed to provide Ms. Josties “with sufficient training and knowledge to properly, reasonably and safely instruct, direct and guide ... [Ms. Seigneur] in lifting weights and in the use of the weight equipment.”
On October 28, 1998, NFI filed a motion to dismiss arguing that the exculpatory clause contained in the Participation Agreement was valid and enforceable and that NFI was entitled to judgment as a matter of law. The Seigneurs responded by arguing that the Participation Agreement was a contract of adhesion and that the exculpatory clause was void as against public policy. They also argued that the agreement was unclear and ambiguous, thus precluding summary judgment.
II. ANALYSIS
A. Validity of the Exculpatory Clause
To decide this case, we must first determine whether the exculpatory clause quoted at the beginning of this opinion *278unambiguously excused NFI’s negligence. In construing the Participation Agreement, we are required to give legal effect to all of its unambiguous provisions. See Calomiris v. Woods, 358 Md. 425, 434, 727 A.2d 358 (1999); Holzman v. Fiola Blum, Inc. 125 Md.App. 602, 620, 726 A.2d 818 (1999).
Our primary concern when interpreting a contract is to effectuate the parties’ intentions. Nicholson Air Services, Inc. v. Board of County Comm’rs of Allegany County, 120 Md.App. 47, 63, 706 A.2d 124 (1998). Moreover, when interpreting a contract, the court “places itself in the same situation as the parties who made the contract, so as to view the circumstances as they viewed them and to judge the meaning of the words and the correct application of the language to the things described.” Canaras v. Lift Truck Services, 272 Md. 337, 352, 322 A.2d 866 (1974).
Not all attempts to limit liability by way of exculpatory clauses are successful. For instance, in Calarco v. YMCA of Greater Metropolitan Chicago, 149 Ill.App.3d 1037, 103 Ill.Dec. 247, 501 N.E.2d 268 (1986), the court considered a contract purporting to exculpate the YMCA from liability to a plaintiff who was injured when a weight machine fell on her hand while she was exercising. Id. 103 Ill.Dec. 247, 501 N.E.2d at 269. In Calarco, the clause in question read:
In consideration of my participation in the activities of the Young Men’s Christian Association of Metropolitan Chicago, I do hereby agree to hold free from any and all liability the YMCA of Metropolitan Chicago and its respective officers, employees and members and do hereby for myself, my heirs, executors and administrators, waive, release and forever discharge any and all rights and claims for damages which I may have or which may hereafter accrue to me arising out of or connected with my participation in any of the activities of the YMCA of Metropolitan Chicago. I hereby do declare myself to be physically sound, having medical approval to participate in the activities of the YMCA.
*279 Id. 103 Ill.Dec. 247, 501 N.E.2d at 269-70. The Calarco Court concluded that the above-quoted clause did
not contain a clear and adequate description of covered activities, such as “use of the said gymnasium or the facilities and equipment thereof,” to clearly indicate that injuries resulting from negligence in maintaining the facilities or equipment would be covered by the release. “Participation in any of the activities of the YMCA” could be read to mean that the exculpatory clause from liability only pertains to participating in the activities at the YMCA, but not to liability from use of the equipment at the YMCA. Pertinent to this case, plaintiff at the time of the occurrence was not even using the equipment herself, but was assisting someone else who was using a universal machine which was apparently stuck. It is unclear whether this was “participation” in an “activity” under the meaning of the clause.
Id. 103 Ill.Dec. 247, 501 N.E.2d at 272. Thus, the court held that “the language of the clause here is not sufficiently clear, explicit and unequivocal to show an intention to protect the YMCA from liability arising from the use of its equipment” at the YMCA. Id. 103 Ill.Dec. 247, 501 N.E.2d at 273.
Powell v. American Health Fitness Center of Ft. Wayne, Inc., 694 N.E.2d 757 (Ind.Ct.App.1998), is another case in which the Court found that the exculpatory clause in question was too ambiguous to be enforced. In Powell, a health club member was injured while using a fitness club’s whirlpool. Referring to the exculpatory clause contained in the club’s agreement with the injured member, the court stated:
Nowhere does the clause specifically or explicitly refer to the negligence of American Health. As a matter of law, the exculpatory clause did not release American Health from liability resulting from injuries she sustained while on its premises that were caused by its alleged negligence. Therefore, the exculpatory clause is void to the extent it purported to release American Health from liability caused by its own negligence.
Powell, 694 N.E.2d at 761-62; see also Alack v. Vic Tanny International of Missouri, Inc., 923 S.W.2d 330, 337 (Mo. *2801996) ; Rickey v. Houston Health Club, 863 S.W.2d 148, 150 (Tex.App.1993).
In the foregoing cases where the clause was held to be ambiguous, the common thread was that the clause did not clearly indicate that the injured party was releasing the health clubs from liability for the clubs’ own negligence. Without this clear expression of intent, the courts in those cases felt compelled to invalidate the exculpatory clauses in question. Nevertheless, given the judiciary’s reluctance to interfere with the right of parties to contract, courts are almost universal in holding that health clubs, in their membership agreements, may limit their liability for future negligence if they do so unambiguously. 111 Am.Jur.3d, Proof of Facts, § 13 (Vol. 40 1997) .
In Maryland, for an exculpatory clause to be valid, it “need not contain or use the word ‘negligence’ or any other ‘magic words.’ ” Adloo v. H.T. Brown Real Estate, Inc., 344 Md. 254, 266, 686 A.2d 298 (1996); see also Sanchez v. Bally’s Total Fitness Corp., 68 Cal.App.4th 62, 79 Cal.Rptr.2d 902, 905 (1998)(same). An exculpatory clause “is sufficient to insulate the party from his or her own negligence ‘as long as [its] language ... clearly and specifically indicates the intent to release the defendant from liability for personal injury caused by the defendant’s negligence____’ ” Adloo, 344 Md. at 266, 686 A.2d 298 (quoting Barnes v. New Hampshire Karting Assn., 128 N.H. 102, 509 A.2d 151, 154 (1986)).
In the instant case, there is no suggestion that the agreement between NFI and Ms. Seigneur was the product of fraud, mistake, undue influence, overreaching, or the like. The exculpatory clause unambiguously provides that Ms. Seigneur “expressly hereby forever release[s] and discharged] NFI, Inc. from all claims, demands, injuries, damages, actions, or courses of action, and from all acts of active or passive negligence on the part of NFI, Inc., its servants, agents or employees.” (emphasis added). Under these circumstances, we hold that this contract provision expresses a clear intention *281by the parties to release NFI from liability for all acts of negligence.
In reaching this conclusion, we are in accord with the holding in cases decided in a number of other jurisdictions. See, e.g., Garrison v. Combined Fitness Centre, Ltd., 201 Ill.App.3d 581, 147 Ill.Dec. 187, 559 N.E.2d 187, 190 (1990)(en-forcing exculpatory clause “that could not have been more clear or specific” in releasing health club from liability); My Fair Lady of Georgia, Inc. v. Harris, 185 Ga.App. 459, 460, 364 S.E.2d 580 (1987)(an exculpatory clause that released the fitness club “from liability for injury caused by any negligence” was valid and enforceable and that the member contractually assumed the risk of injury); Schlobohm v. Spa Petite, Inc., 326 N.W.2d 920 (Minn.1982)(no ambiguity in exculpatory clause that specifically releases spa from liability arising out of negligence).
B. Public Policy Exception
More than one-hundred years ago, it was noted that “the right of parties to contract as they please is restricted only by a few well defined and well settled rules, and it must be a very plain case to justify a court in holding a contract to be against public policy.” Estate of Woods, Weeks & Co., 52 Md. 520, 536 (1879); see also Boucher v. Riner, 68 Md.App. 539, 548, 514 A.2d 485 (1986); Winterstein v. Wilcom, 16 Md.App. 130, 135, 293 A.2d 821 (1972). This legal principle continues to hold true today.
In Maryland, unambiguous exculpatory clauses are generally held to be valid in the absence of legislation to the contrary.3 Adloo, 344 Md. at 259, 686 A.2d 298; Atty. Griev. *282 Comm’n v. Owrutsky, 322 Md. 334, 350, 587 A.2d 511 (1991); Sullivan v. Mosner, 266 Md. 479, 494-96, 295 A.2d 482 (1972); Baker v. Roy H. Haas Associates, Inc., 97 Md.App. 371, 377, 629 A.2d 1317 (1993).
The Court of Appeals, in Wolf v. Ford, 335 Md. 525, 644 A.2d 522 (1994), said:
It is quite possible for the parties expressly to agree in advance that the defendant is under no obligation of care for the benefit of the plaintiff, and shall not be liable for the consequences of conduct which would otherwise be negligent. There is in the ordinary case no public policy which prevents the parties from contracting as they see fit.
Id. at 531, 644 A.2d 522 (quoting W. Page Keeton, et al., Prosser and Keeton on the Law of Torts, § 68 (5th ed.1984)).
Three exceptions have been identified where the public interest will render an exculpatory clause unenforceable. They are: (1) when the party protected by the clause intentionally causes harm or engages in acts of reckless, wanton, or gross negligence; (2) when the bargaining power of one party to the contract is so grossly unequal so as to put that party at *283the mercy of the other’s negligence; and (3) when the transaction involves the public interest. Wolf, 335 Md. at 531-32, 644 A.2d 522; Winterstein, 16 Md.App. at 135-36, 293 A.2d 821.
Ms. Seigneur has not alleged that NFI’s agents intentionally caused her harm, or engaged in reckless, wanton, or gross acts of negligence. She does assert, however, that the second and third exceptions are applicable.
Appellants argue that NFI “possess[es] a decisive advantage in bargaining strength against members of the public who seek to use its services.” She also claims that she was presented with a contract of adhesion and that this is additional evidence of NFI’s grossly disproportionate “bargaining power.”
It is true that the contract presented to Ms. Seigneur was a contract of adhesion.4 But that fact alone does not demonstrate that NFI had grossly disparate bargaining power. See Shields v. Star-Fit, Inc., 79 Wash.App. 584, 903 P.2d 525 at 529. As discussed infra, there were numerous other competitors providing the same non-essential services as NFI. The exculpatory clause was prominently displayed in the Participation Agreement and Ms. Seigneur makes no claim that she was unaware of this provision prior to her injury.
To possess a decisive bargaining advantage over a customer, the service offered must usually be deemed essential in nature. See Boucher, 68 Md.App. at 551, 514 A.2d 485 (“As [teaching the art of parachute jumping] is not of an essential nature, [Parachutes Are Fun, Inc.] had no decisive advantage of bargaining strength against any member of the public seeking to participate.”); Winterstein, 16 Md.App. at 138, 293 A.2d 821 (“Since [facilitating the plaintiffs participation in a drag race] is not of an essential nature, Wilcom *284had no decisive advantage of bargaining strength against any member of the public seeking to participate.”). In Schlobohm, supra, the Court said:
[I]n the determination of whether the enforcement of an exculpatory clause would be against public policy, the courts consider whether the party seeking exoneration offered services of great importance to the public, which were a practical necessity for some members of the public. As indicated above, courts have found generally that the furnishing of gymnasium or health spa services is not an activity of great public importance nor of a practical necessity. For example, in a negligence action brought against a health club and gym, the Court of Appeals of New York in Ciofalo v. Vic Tanney Gyms, Inc., 10 N.Y.2d 294, 297-98, 220 N.Y.S.2d 962, 964, 177 N.E.2d 925, 927 (1961), noted:
Here there is no special legal relationship and no overriding public interest which demand that this contract provision, voluntarily entered into by competent parties, should be rendered ineffectual. Defendant, a private corporation, was under no obligation or legal duty to accept plaintiff as a “member” or patron. Having consented to do so, it has the right to insist upon such terms as it deemed appropriate. Plaintiff, on the other hand, was not required to assent to unacceptable terms, or to give up a valuable legal right, as a condition precedent to obtaining employment or being able to make use of the services rendered by a public carrier or utility. She voluntarily applied for membership in a private organization, and agreed to the terms upon which the membership was bestowed. She may not repudiate them now.
Schlobohm, 326 N.W.2d at 926.
Similarly, in Shields v. Sta-Fit, Inc., 79 Wash.App. 584, 903 P.2d 525, 528 (1995), the Court pointed out that:
Health clubs are a good idea and no doubt contribute to the health of the individual participants and the community at large. But ultimately, they are not essential to the state or its citizens. And any analogy to schools, hospitals, housing *285(public or private) and public utilities therefore fails. Health clubs do not provide essential services.
We agree with the views expressed in Schlobohm and Shields, supra. The services offered by the appellee simply cannot be accurately characterized as “essential.”
In Wolf, an eighteen-year-old woman received a substantial cash settlement for a tort claim. 335 Md. at 528, 644 A.2d 522. The plaintiff invested her money with a stockbroker, intending to use the investment income to pursue a college education. Id. She signed a contract with her stockbroker and his employer, Legg Mason, that included an exculpatory clause. The woman later sued the stockbroker and Legg Mason alleging negligence. Id. at 530, 644 A.2d 522. In rejecting the suggestion that the exculpatory clause was invalid due to an unequal bargaining advantage, the Court of Appeals said:
Wolf claims that the very fact that she was eighteen years old and an unsophisticated investor renders the relationship so lopsided as to impose an extraordinary duty upon Ford. We do not accept that notion. Although young, she had attained her legal majority at the time. She was not solicited by Legg Mason; rather, she initiated contact with Ford [the stockbroker]. Wolf was under no compulsion, economic or otherwise, to invest her money in the stock market with Legg Mason or any other securities investment firm. She had numerous options available to her, including placing her money in an interest-bearing bank account or long-term certificates of deposit.
Wolf, 335 Md. at 536, 644 A.2d 522.
The Washington metropolitan area, of which Montgomery County is a part, is home to many exercise and fitness clubs. Ms. Seigneur, like Ms. Wolf, was free to choose among scores of facilities providing essentially the same services. See Martin v. A.C.G., Inc. d/b/a Tan & Tone America, 965 P.2d 995, 997 (Okla.Civ.App.1998) (“There is no compelling need that an individual user be a member of a particular ‘health club’ such was the one operated by [ajppellee.”). She also had the option of purchasing her own fitness equipment and exercising at *286home or of exercising without any equipment by doing aerobic or isometric exercises. Ms. Seigneur’s bargaining position was not grossly disproportionate to that of NFI.
In Winterstein, 16 Md.App. at 136-37, 293 A.2d 821, when defining what transactions affect public interests, this Court relied in part on a .test enunciated in Tunkl v. Regents of the Univ. of California, 60 Cal.2d 92, 32 Cal.Rptr. 33, 383 P.2d 441 (1963). Quoting Tunkl, the Court stated that public interests are affected when the transaction
exhibits some or all of the following characteristics. It concerns a business of a type generally thought suitable for public regulation. The party seeking exculpation is engaged in performing a service of great importance to the public, which is often a matter of practical necessity for some members of the public. The party holds himself out as willing to perform this service for any member of the public who seeks it, or at least for any member coming within certain established standards. As a result of the essential nature of the service, in the economic setting of the transaction, the party invoking exculpation possesses a decisive advantage of bargaining strength against any member of the public who seeks his services. In exercising a superior bargaining power the party confronts the public with a standardized adhesion contract of exculpation, and makes no provision whereby a purchaser may pay additional reasonable fees and obtain protection against negligence. Finally, as a result of the transaction, the person or property of the purchaser is placed under the control of the seller, subject to the risk of carelessness by the seller or his agents.
With respect to the just-quoted six-factor test, the Court in Wolf held:
Even though these cases [ones decided by the Court of Special Appeals] have not found an activity that is sufficiently connected to the “public interest” so as to invalidate the exculpatory clause, we are concerned that the six-factor test *287of Tunkl, originally intended to be a rough outline in guiding a court’s determination as to whether a given transaction affects the public interest, may become too rigid a measuring stick. Because of the fluid nature of the “public interest,” strict reliance on the presence or absence of six fixed factors may be arbitrary. The Tunkl Court itself recognized that the public interest does not — and cannot — lend itself easily to definition, because “the social forces that have led to such characterization [of the public interest] are volatile and dynamic. No definition of the concept of public interest can be contained within the four corners of a formula.” Tunkl, 60 Cal.2d at 98, 883 P.2d at 444, 32 Cal.Rptr. at 36.
We expressly decline, therefore, to adopt the six-factor test set forth in Tunkl and relied upon, to varying degrees, by the Court of Special Appeals in the exculpatory clause cases mentioned above. This is not to say that the factors listed cannot be considered by a court in determining whether a given transaction involves the public interest, but the six factors are not conclusive. The ultimate determination of what constitutes the public interest must be made considering the totality of the circumstances of any given case against the backdrop of current societal expectations.
Wolf, 335 Md. at 535, 644 A.2d 522. The Wolf Court, in refusing to adopt the Tunkl test, identified transactions that affect the public interest as those involving
the performance of a public service obligation, e.g., public utilities, common carriers, innkeepers, and public ware-housemen. It also includes those transactions, not readily susceptible to definition or broad categorization, that are so important to the public good that an exculpatory clause would be “patently offensive,” such that “the common sense of the entire community would ... pronounce it” invalid.
Wolf, 335 Md. at 532, 644 A.2d 522 (internal quotation omitted).
NFI does not provide an essential public service such that an exculpatory clause would be “patently offensive” to the *288citizens of Maryland. The services offered by a health club are not of great importance or of practical necessity to the public as a whole. See Schlobohm, 326 N.W.2d at 926. Nor is a health club anywhere near as socially important as institutions or businesses such as innkeepers, public utilities, common carriers, or schools.
Ms. Seigneur supports her argument that health clubs affect the public interest by reference to Dalury v. S-K-I, Ltd., 164 Vt. 329, 670 A.2d 795 (1995). In that case, the Supreme Court of Vermont held that a ski resort was providing an essential public service, and therefore ruled that an exculpatory clause, signed by a patron who was injured while skiing on its premises, was unenforceable. Id. at 799. The Dalury Court held that the burden to foresee and control hazards should be placed on the ski resort and not the skiers. Id. The Court explained that ski resorts, not the skiers, “have the expertise and opportunity to foresee and control hazards, and to guard against the negligence of their agents and employees.” Id. Moreover, according to the Court, ski resorts can train their employees in risk management. Id. In summarizing its reasons for finding that the release in question implicated legitimate public policy concerns, the Vermont Supreme Court stated: “While interference with an essential public service surely affects the public interest, those services do not represent the universe of activities that implicate public concerns.” Id. Furthermore, the ski resort’s reliance on the private nature of the property “would be inconsistent with societal expectations about privately owned facilities that are open to the general public.” Id.
Ms. Seigneur’s reliance upon Vermont law is understandable, but the holding in Dalury is against the great weight of authority. See, e.g., Lund v. Bally’s Aerobic Plus, Inc., 78 Cal.App.4th 733, 93 Cal.Rptr.2d 169, 172 (2000) (release signed by health club member held to be enforceable after determining that “exculpatory agreements in the recreational sports context do not implicate the public interest,”); Ciofalo v. Vic Tanney Gyms, Inc., 13 A.D.2d 702, 214 N.Y.S.2d 99 (1961) (exculpatory clause in a gymnasium and health club contract *289not violative of public policy); Massengill v. S.M.A.R.T. Sports Medicine Clinic, 996 P.2d 1132, 2000 WL 149432 (Wyo.) (exculpatory clause in sports medicine clinic contract held not to violate public policy and was enforceable). See also, Schlobohm v. Spa Petite, Inc., 326 N.W.2d at 926 (concluding that exculpatory clause in health spa membership contract “was not against the public interest”); Martin v. Tan & Tone America, 965 P.2d at 997 (exculpatory clause in health club contract held not to be a “threat to the public policy”); Lovelace v. Figure Salon, Inc., 179 Ga.App. 51, 345 S.E.2d 139, 140-41 (1986) (health club contract “not void for contravening public policy”); My Fair Lady of Georgia, Inc. v. Harris, 364 S.E.2d at 581 (health club exculpatory clause “valid and binding” and is not void as against public policy); Kubisen v. Chicago Health Clubs, 69 Ill.App.3d 463, 26 Ill.Dec. 420, 388 N.E.2d 44, 46-47 (1979) (exculpatory clause held not to be in violation of public policy).
Aside from health club or “spa” cases, courts from other jurisdictions almost universally have held that contracts relating to recreational activities do not fall within any of the categories that implicate public interest concerns. See, e.g., Barker v. Colorado Region-Sports Car Club of America, 35 Colo.App. 73, 532 P.2d 372 (1974) (race track); Jones v. Dressel, 623 P.2d 370 (Colo.1981) (sky diving); Moss v. Fortune, 207 Tenn. 426, 340 S.W.2d 902 (1960) (horse and saddle rental).
Additionally, a Maryland court “will not invalidate a private contract on grounds of public policy unless the clause at issue is patently offensive.” Wolf 335 Md. at 537, 644 A.2d 522. That test was not utilized by the Vermont court in Dalury. Moreover, one of the public policy considerations upon which the Dalury Court focused, the benefits of risk-spreading, is of no consequence under Maryland law.
CONCLUSION
The following is as true today as when it was first uttered:
*290I, for one, protest ... against arguing too strongly upon public policy; it is a very unruly horse and when once you get astride it you never know where it will carry you. It may lead you from the sound law. It is never argued at all but when other points fail.
Anne Arundel County v. Hartford Acc. and Indem. Co., 329 Md. 677, 686, 621 A.2d 427 (1993)(quoting Richardson v. Mellish, 2 Bing. 229, 130 Eng.Rep. 303 (1824)). As it relates to exculpatory clauses, unless the clause is patently offensive, Maryland has this unruly horse securely in the stable. Here, the clause passes the not patently offensive test.
We affirm the trial court’s ruling that NFI’s exculpatory' clause is enforceable so as to release NFI from liability for injuries Ms. Seigneur sustained while on its premises.
JUDGMENT AFFIRMED;
COSTS TO BE PAID BY APPELLANT.
4.6.3.2 Questions and Notes on Seigneur 4.6.3.2 Questions and Notes on Seigneur
Fun Fact
Research shows that it doesn't take a weightlifting injury for people to hate the gym. A 2020 study by the International Health, Racquet & Sportsclub Association found that about half of all new gym memberships are canceled within six months. See Gym Membership Statistics You Should Know in 2024, Fitness On Demand Nov. 5, 2024, https://www.fitnessondemand247.com/news/gym-membership-statistics-you-should-know-in-2024 (last accessed Apr. 30, 2025).
Guiding Questions
- Judge Salmon lists three policy considerations that could invalidate an exculpatory clause. How does the first consideration apply here? Did the NFI employees intentionally cause harm or engage in gross or wanton negligence or recklessness?
- How about the second consideration? How equal was the bargaining power in the parties' contract?
- How about the third consideration? Is fitness an essential service and in the public interest? What does Judge Salmon make of this argument?
Test Your Knowledge
David and Elena are experienced recreational fencers. Before a weekend match at their fencing club, Elena tells David, “I’ve been having trouble with my grip and might lose control of my foil—if you want to reschedule, I totally understand.” David replies, “No worries—I know what I’m getting into.” During the match, Elena loses her grip mid-lunge, and the foil strikes David in the shoulder, causing a serious injury. David sues Elena for negligence. Elena asserts express assumption of the risk as a defense. Which of the following is the strongest argument in favor of Elena’s defense?
- David’s injuries were foreseeable given the nature of fencing.
- Elena did not intend to injure David during the match.
- David expressly agreed to proceed despite knowing the specific risk Elena disclosed.
- Elena warned David about the risk in good faith before the match began.
Notes and Further Cases
- Complete bar. Historically, express assumption of the risk was treated as a complete bar to recovery, grounded in principles of consent and personal responsibility. However, slowly that approach eroded. Today in jurisdictions that have adopted comparative fault regimes, courts have merged express assumption of risk into comparative negligence, treating the plaintiff’s agreement to face a known risk as a factor that reduces, rather than bars, recovery. Still, even in those jurisdictions, true contractual waivers (evaluated under contract law and where fully enforceable) may still bar recovery.
4.6.3.3 Rush v. Commercial Realty Co. 4.6.3.3 Rush v. Commercial Realty Co.
The Fell-through-an-Outhouse Case
MARY RUSH AND MARTIN RUSH, HER HUSBAND, RESPONDENTS, v. COMMERCIAL REALTY COMPANY, APPELLANT.
Submitted October 12, 1928
Decided March 28, 1929.
Before Gtjmmebe, Chief Justice, and Justice Pabkee.
For the appellant, Stein, McGlynn & Hannoch.
For the respondents, William Herda Smith.
The case for the plaintiffs was that they were tenants of the defendant, which controlled the house wherein they lived and also the adjoining house, and provided a detached privy for the use o£ both houses; that Mrs. Rush, having occasion to use this privy, went into it and fell through the floor, or through some sort of trap door therein, descended about nine feet into the accumulation at the bottom and had to be extricated by use of a ladder. The defendant denied that there was any pit at all, and claimed the floor was only about nine inches above solid ground. This, like several other features of the case, presented a disputed question of fact for the jury. The two grounds of appeal are that the trial court erred in refusing a nonsuit, and erred in refusing to direct a verdict for the defendant.
*338Taking the facts as the jury were entitled to find them, most favorably for the plaintiffs, the situation was that of a building under the control of the landlord for the use of tenants generally, and maintained by the landlord; a consequent duty of care in maintenance; a defective condition in the floor which the jury might say was due to negligent maintenance by the defendant, and an accident resulting therefrom. In such a situation it would seem that the argument for a nonsuit or for a direction must be restricted to the questions of contributory negligence and assumption of risk. In dealing with these, it should be observed that Mrs. Rush had no choice, when impelled by the calls of nature, but to use the facilities placed at her disposal by the landlord, to wit, a privy with a trap door in the floor, poorly maintained. We hardly think this was the assumption of a risk; she was not required to leave the premises and go elsewhere. Whether it was contributory negligence to step on a floor which she testified was in bad order, was a question for the jury to solve according to its finding of the conditions and her knowledge of them, or what she should have known of them; it does not seem to be a court question.
We conclude that there was no error in denying motions to take the case from the jury, and the "judgment will accordingly be affirmed.
4.6.3.4 Questions and Notes on Rush 4.6.3.4 Questions and Notes on Rush
Fun Fact
Outhouses were gradually phased out in the late 1800s and early 1900s with the advent of modern plumbing systems. Outhouses may still be found in some of the most rural parts of the United States—not to mention parks and museums that appeal to those living conditions of yesteryear. For a history of the outhouse, see Barbara Bamberger-Scott, History of the Outhouse: The Poo Papers, Part 1, Homestead.org, Jan. 9, 2023, https://www.homestead.org/homesteading-history/history-of-outhouses-part1/ (last accessed Apr. 30, 2025).
Guiding Questions
- Describe Mrs. Rush's state of mind before the accident. Did she know about the state of the floor? Did she know what might happen if she stepped on the floor? Did she have a choice in entering the outhouse?
- One of those preceding questions is key for the New Jersey Supreme Court. Why does it hold that assumption of the risk does not apply here?
- We have already covered contributory negligence, but notice that the Court ends up leaving that question for the jury. What would you have decided if you were the juror?
Test Your Knowledge
Rhonda, a college student at the University of Texas, is participating in the National Lap Sitting Contest, which a group of sponsors puts on to promote their wrinkle-free slacks. To win the contest, Rhonda knows she has to sit on a plastic garden chair provided by the sponsors, wear the slacks she is given, and stack more of her peers on her lap than any other person in the contest for at least ten seconds. Rhonda watches the contestant before her get ten people on his lap before his chair breaks, disqualifying him. Rhonda then pulls up her chair, sits down, and begins piling people on top of her. Rhonda gets to fourteen people on her lap before her chair, too, collapses. Rhonda crumples to the ground, and the sheer weight of fourteen people falling on her breaks one of her ribs. Rhonda sues the sponsors of the contest, and the sponsors respond with the defense of assumption of the risk. Is the defense likely to be successful?
- No, because Rhonda did not know that her chair could collapse.
- No, because Rhonda had no choice but to enter the contest and use the chair the supervisors gave her.
- Yes, assuming that the public interest considerations favor of the sponsors of the contest.
- Yes, assuming that Rhonda appreciated the magnitude of possible injury if the chair were to collapse.
Notes and Further Cases
- Elements of implied assumption of the risk. Setting aside express assumption of the risk—which we studied in the prior case—the modern defense of implied assumption of the risk requires three things: that the plaintiff (1) had actual knowledge of the risk of harm, (2) appreciated the scope or magnitude of that risk of harm, and (3) still voltunarily submitted himself to that risk. Thus, the diver who chooses to dive into a shallow pool, the horseshoer who knows of a horse's tendency to kick, and the baseball spectator who picks a seat in the foul-ball section all assume the risk of injury. See Sheehan v. The N. Am. Mktg. Corp., 610 F.3d 144 (1st Cir. 2020) (applying Rhose Island law) (diver injured; assumption of the risk); Vanderlei v. Heideman, 403 N.E.2d 756 (Ill. App. Ct. 1980) (horseshoer kicked; assumption of the risk); South Shore Baseballl, LLC v. DeJesus, 11 N.E.3d 903 (Ind. 2014) (spectator struck by foul ball; assumption of the risk). On the other hand, our baseball spectator would not necessarily assume the risk of being struck in the eye by a hotdog fired out of an air cannon by a team's mascot. See Coomer v. Kan. City Royals Baseball Corp., 437 S.W.3d 184 (Mo. 2014).
- Implied assumption of the risk as factor for comparative negligence. As was previously mentioned, implied assumption of the risk was traditionally treated as a complete bar for recovery. Yet, like the old rule of contributory negligence, it has fallen out of favor in many jurisdictions. Some jurisdictions have elected to subsume implied assumption of the risk within their framework for comparative fault. See, e.g., Blackburn v. Dorta, 348 So. 2d 287 (Fla. 1977). That way, a plaintiff who, admittedly, assumed the risk of injury may still recover a proportionally reduced amount of damages.
- Open/obvious dangers and comparative negligence. In a similar vein, some jurisdictions have merged the de facto defense of open/obvious dangers in landowner liability cases into a comparative negligence scheme. Other jurisdictions have not; they have adopted comparative negligence but exclude open/obvious dangers from that scheme, allowing such dangers to continue to operate as a complete bar to a plaintiff's recovery in a landowner liability action. For an example, see Gutterman v. Target Corp., 242 F. Supp. 3d 695, 700–03 (N.D. Ill. 2017) (applying Illinois law), the Target Skateboard Case whose facts we discussed all the way back at the beginning of our unit on negligence.