4 Negligence: the Elements of a Prima Facie Case 4 Negligence: the Elements of a Prima Facie Case

4.1 Introduction and a Prima Facie Case 4.1 Introduction and a Prima Facie Case

4.1.2 Vaughn v. Menlove ("The Hayrick Case") 4.1.2 Vaughn v. Menlove ("The Hayrick Case")

Does the standard of reasonable care require different things of different people, depending on how careful or how intelligent they are?

Vaughan v. Menlove

1

[] 132 Eng. Rep. 490

2

VAUGHAN

3

v.

4

MENLOVE.

5

Jan. 23, 1837.

6

[S. C. 4 Scott, 244; 3 Hodges, 51; 6 L.J. C.P. 92; 1 Jur. 215: at Nisi Prius, 7 Car. & P. 525.]

7

An action lies against a party for so negligently constructing a hay-rick on the extremity of his land, that in consequence of its spontaneous ignition, his neighbour's house is burnt down.—And upon pleas of not guilty, and that there was no negligence, held, that it was properly left to the jury to say whether the Defendant had been guilty of gross negligence, viewing his conduct with reference to the caution that a prudent man would have observed.

8

The declaration stated, that before and at the time of the grievance and injury, hereinafter mentioned, certain premises, to wit, two cottages with the appurtenances situate in the county of Salop, were respectively in the respective possessions and occupations of certain persons as tenants thereof to the Plaintiff, to wit, one thereof in the possession and occupation of one Thomas Ruscoe as tenant thereof to the Plaintiff, the reversion of and in the same with the appurtenances then belonging to the Plaintiff, and the other thereof in the possession and occupation of one Thomas Bickley as tenant thereof to the Plaintiff, the reversion of and in the same with the appurtenances then belonging to the Plaintiff: that the Defendant was then possessed of a certain close near to the said cottages, and of certain buildings of wood and thatch, [132 Eng. Rep. 491] also near to the said cottages; and that the Defendant was then also possessed of a certain rick or stack of hay before then heaped, stacked, or put together, and then standing, and being in and upon the said close of the Defendant. That on the 1st of August 1835, while the said cottages so were in the occupation of the said tenants, and while the reversion thereof respectively so belonged to the Plaintiff' as aforesaid, the said rick or stack of hay of the Defendant was liable and likely to ignite, take fire, and break out into a flame, and there had appeared, and were just grounds to apprehend and believe that the same would ignite, take fire, and break out into a flame; and by reason of such liability, and of the state and condition of the said rick or stack of hay, the same then was and continued dangerous to the said cottages; of which said several pre [3 Bing (N. C.) 469] mises the Defendant then had notice: yet the Defendant well knowing the premises, but not regarding his duty in that behalf, on, &c., and from thence until and upon a certain day, to wit, on, &c. wrongfully negligently, and improperly, kept and continued the said rick or stack of hay, so likely and liable to ignite and take fire, and in a state and condition dangerous to the said cottages, although he could, and might, and ought to have remove and altered the same, so as to prevent the same from being and continuing so dangerous as aforesaid; and by reason thereof the said cottages for a long time, to wit, during all the time aforesaid, were in great danger of being consumed by fire. That by reason of the premises, and of the carelessness, negligence, and improper conduct of the Defendant, in so keeping and continuing the said rick or stack, in a state or condition so dangerous as aforesaid, and so liable and likely to ignite and take fire and break out into flame, on, &c., and while the said cottages so were occupied as aforesaid, and the reversion thereof respectively so belonged to the Plaintiff; the said rick or stack of hay of the Defendant, standing in the close of the Defendant, and near the said c: ottages, did ignite, take fire, and break out into flame, and by fire and flame thence issuing and arising, the said standing of the Defendant so being of wood and thatch as aforesaid, and so being near to the said rick or stack as aforesaid, were set on fire; and thereby and by reason of the carelessness, negligence, and improper conduct of the Defendant, in so keeping and continuing the said rick or stack in such condition as aforesaid, fire and flame so, occasioned as aforesaid by the igniting and breaking out into flame, of the said rick or stack, was thereupon then communicated unto the said cottages in which the Plaintiff was interested as aforesaid, which were thereby then respectively set on fire, and then, to wit on, &c., by reason of such [3 Bing (N. C.) 470] carelessness, negligence, and improper conduct of the Defendent in so continuing the said rick or stack in such a dangerous condition as aforesaid, in manner aforesaid, were consumed, damaged, and wholly destroyed, the cottages being of great value, to wit, the value of 5001. And by means of the premises, the Plaintiff was greatly and permanently injured in his said reversionary estate and interest of and in each of them; to the Plaintiff's damage of 5001.

9

The Defendant pleaded, first, not guilty. Secondly, that the said rick or stack of hay was not likely to ignite, take fire, and break out into flame; nor was the same by reason of such liability, and of the state or condition of the said rick and stack of hay, dangerous to the said cottages; nor had the Defendant notice of the said premises, in manner and form as the Plaintiff had in and by his declaration in that behalf alleged. Thirdly, that the Defendant did not, well knowing the premises in the declaration in that behalf mentioned, wrongfully, negligently, or improperly, keep or continue the said rick or stack of hay, in a state and condition dangerous to the said cottages. Fourthly, that the said rick or stack of hay, did not by reason of the carelessness, negligence and improper conduct of the Defendant in that behalf, ignite, take fire, and break out in flame. And fifthly, that the said cottages were not consumed, damaged, and destroyed by reason of the carelessness, negligence, and improper conduct of the Defendant.

10

[] At the trial it appeared that the rick in question had been made by the Defendant near the boundary of his own premises; that the hay was in such and state when put together, as to give rise to discussions on the probability of fire: that though there were conflicting opinions on the subject, yetduring a period of five weeks, the Defendant was repeatedly warned of his [3 Bing (N. C.) 471]peril; that his stock was insured; and that upon one Occasion, being advised to take the rick down to avoid all danger, he said “he would chance it.” He made an aperture or chimney through the rick; but in spite, or perhaps in consequence of this precaution, the rick at length burst into flames from the spontaneous heating of its materials; the flames communicated to [132 Eng. Rep. 492] the Defendant's barn and stables, and thence to the Plaintiff's cottages, which were entirely destroyed.

11

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 the Defendant; adding, that he was bound to proceed with such reasonable caution as a prudent man would have exercised under such circumstances.

12

A verdict having been found for the Plaintiff, a rule [“Rule nisi” is a court order that has no force until a particular condition has been met. In Vaughan, the order for a new trial was conditioned upon a “showing of cause”; an explanation by the moving party which would justify the need for a new trial. Cause was shown by the defendant’s argument that he was entitled to a bona fide standard.] nisi for a new trial was obtained, on the ground that the jury should have been directed to consider, not, whether the Defendant 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.

13

Talfourd Serjt. and Whately, shewed cause.

14

The pleas having expressly raised issues on the negligence of the Defendant, the learned Judge could not do otherwise than leave that question to the jury. The declaration alleges that the Defendant knew of the dangerous state of the rick, and yet negligently and improperly allowed it to stand. The plea of not guilty, therefore, puts in issue the scienter, it being of the sub [Bing (N. C.) 472] stance of the issue; Thomas v. Morgan (2 Cr. M. & U. 496). And the action, though new in specie, is founded on a principle fully established, that a man must so use his own property as not to injure that of others. On the same circuit a defendant was sued a few years ago, for burning weeds so near the extremity of his own land as to set fire to and destroy his neighbors’ wood. The plaintiff recovered damages, and no motion was made to set aside the verdict. Then, there were no means of estimating the defendant's negligence, except by taking as a standard, the conduct of a man of ordinary prudence: that has been the rule always laid clown, and there is no other that would not be open to much greater uncertainties.

15

R V. Richards, in support of the rule.

16

First, there was no duty imposed on the Defendant, as there is on carriers or other bailees, under an implied contract, to be responsible for the exercise of any given degree of prudence: the Defendant had a right to place his stack as near to the extremity of his own land as he pleased; Wyatt v. Harrison (3 B. & Adol. 871): under that right, and subject to no contract, he can only be called on to act bona fide to the best of his judgment: if he has clone that, it is a contradiction in terms, to inquire whether or not he has been guilty of gross negligence. At all events what would have been gross negligence ought to be estimated by the faculties of the individual, and not by those of other men. The measure of prudence varies so with the varying faculties of men, that it is impossible to say what is gross negligence with reference to the standard of what is called ordinary prudence. In Crook v. Jadis (5 B. & Adol. 910), Patteson J. says, "I never could understand [Bing (N. C.) 473]what is meant by parties taking a bill under circumstances which ought to have excited the suspicion of a prudent man:" and Taunton J., “I cannot estimate the degree of care which a prudent man should take.”

17

In Foster v. Pearson too, (1 C. M. & H. 855) it appears that the rule which called on persons taking negotiable instruments to act with the circumspection of a prudent man, has at length been abandoned. There, the judge left it to the jury to say whether the holder of bills took them with due care and caution in the ordinary course of business; and upon a motion to set aside a verdict for the plaintiff, the Court said: “Of the mode in which the question was left, the defendant has certainly no right to complain; but, if the verdict had been in his favour, it would have become necessary to consider whether the learned Judge was correct in adopting the rule first laid down by the Court of Common Pleas, in the case of Snow v. Peacock (3 Bingh. 406), and which was founded upon the dicta, rather than the decision, of the judges of the King's Bench in the case of Gill v. Cubitt (5 D. & R. 324. 3 B. & C. 466); more especially since the opinion of the latter court has been so strongly intimated in the late cases of Crook v. Jadis (3 N. & M. 257) and Backhouse v. Harrison (ibid. 188). The rule of law was long considered as being firmly established, that the holder of bills of exchange indorsed in blank or other negotiable securities transferable by delivery, could give a title which he himself did not possess to a bona fide holder for value; and it may well be questioned whether it has been wisely departed from in the case to which reference has been made, and other subsequent cases in which care and caution in the taker of [132 Eng. Rep. 493] such securities has been treated as essential to the validity of his title, besides, and independently of, honesty of purpose.”

18

[] [Bing (N. C.) 474] TINDAL C.J.

19

I agree that this is a case primæ impressionis; but I feel no difficulty in applying to it the principles of law as laid down in other cases of a similar kind. [] Undoubtedly this is not a case of contract, such as abailment or the like where the bailee is responsible in consequence of the remuneration he is to receive: but there 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 the Defendant is liable for the consequence of his own neglect: and though the Defendant 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 rick ; 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 t hereby occasioned to the property of his neighbour, can anyone doubt that an action on the case would lie?

20

It is contended, however, that the learned Judge 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 he too uncertain to act upon; and that the question ought to have been whether the Defendant had acted honestly and bona fide to the best of his own judgment. That, [Bing (N. C.) 475]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: and though it has been urged that the care which a prudent man would take, is not an intelligible proposition as a rule of law , yet such has always been the rule adopted in cases of bailment, as laid down in Coggs. v. Bernard (2 Ld. Raym. 909). Though in some cases a greater degree of care is exacted than in others, yet in “the second sort of bailment, viz. commodatum or lending gratis, the borrower is bound to the strictest care and diligence to keep the goods so as to restore them hack again to the lender; because the bailee has a benefit by the use of them, so as if the bailee he guilty of the least neglect he will be answerable; as if a man should lend another a horse to go westward, or for a month; if the bailee put this horse in his stable, and he were stolen from thence, the bailee shall not be answerable for him: but if he or his servant leave the house or stable doors open and the thieves take the opportunity of that, and steal the horse, he will be chargeable, because the neglect gave the thieves the occasion to steal the horse.” [] 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.

21

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. [Bing (N. C.) 476] That was in substance the criterion presented to the jury in this case, and therefore the present rule must be discharged.

22

PARK J.

23

I entirely concur in what has fallen from his Lordship. Although the facts in this case are new in specie, they fall within a principle long established, that a man must so use his own property as not to injure that of others. In Tubervill v. Stamp (1 Salk. 13), which was “an action on the case upon the custom of the realm, quare negligenter custodivit ignem suum in clauso suo, ita quod per flammas blade Quer. in quodam clauso ipsius Quer. combusta fuerunt; after verdict pro Quer. it was objected that the custom extended only to fire in his house, or curtilage (like goods of guests) which were in his power: Non alloc. For the fire in his field was his fire as well as that in his house; he made it, and must see that it did no harm, and must answer the damage if he did. Every man must use his own so as not to hurt another: but if a sudden storm had risen which he could not stop, it was matter of evidence, and he should have shewn it. And Holt, and Rokesby, and Eyre were against the [132 Eng. Rep.494] opinion of Turton, who went upon the difference between fire in a house which was in a man's custody and power, and fire in a field which was not properly so; and that it would discourage husbandry, it being usual for farmers to burn stubble, &c. But the Plaintiff had judgment according to the opinion of the other three." That case, in its principles, applies closely to the present.

24

As to the direction of the learned Judge, it was perfectly correct. Under the circumstances of the case it was proper to leave it to the jury whether with reference to the caution which would have been observed by [Bing (N. C.) 477]a man of ordinary prudence, the Defendant had not been guilty of gross negligence. After he had been warned repeatedly during five weeks as to the consequences likely to happen, there is no colour for altering the verdict, unless it were to increase the damages.

25

[] GASELEE J. concurred in discharging the rule.

26

VAUGHAN J.

27

The principle on which this action proceeds, is by no means new. It has been urged that the Defendant in such a case takes no duty on himself; but I do not agree in that position: every one takes upon himself the duty of so dealing with his own property as not to injure the property of others. It was, if any thing, too favourable to the Defendant to leave it to the jury whether he had been guilty of gross negligence; for when the Defendant upon being warned as to the consequences likely to ensue from the condition of the rick, said, "he would chance it," it was manifest he adverted to his interest in the insurance office. The conduct of a prudent man has always been the criterion for the jury in such cases: but it is by no means confined to them. In insurance cases, where a captain has sold his vessel after damage too extensive for repairs, the question has always been, whether he had pursued the course which a prudent man would have pursued under the same circumstance. Here, there was not a single witness whose testimony did not go to establish gross negligence in the Defendant. He had repeated warnings of what was likely to occur, and the whole calamity was occasioned by his procrastination.

28

[] Rule discharged.

4.1.3 Pipher v. Parsell ("The Horseplay Case") 4.1.3 Pipher v. Parsell ("The Horseplay Case")

Kristyn PIPHER, Plaintiff Below, Appellant, v. Johnathan PARSELL, 1 Defendant Below, Appellee.

No. 215, 2006.

Supreme Court of Delaware.

Submitted: April 4, 2007.

Decided: June 19, 2007.

*891 Kevin M. Howard, Esquire, Young, Malmberg & Howard, Dover, Delaware, for appellant.

Philip T. Edwards, Esquire (argued) and Roger D. Landon, Esquire, Murphy, Spa-daro & Landon, Wilmington, Delaware, for appellee, Johnathan Parsell.

Before STEELE, Chief Justice, HOLLAND, BERGER, JACOBS, Justices, and NOBLE, Vice Chancellor 2 (constituting the Court en Banc).
1

. Johnathan Parsell is the only defendant who is the subject of this appeal. This Court corrected the caption of the proceeding sua sponte.

2

. Sitting by designation pursuant to Del. Const, art. IV, § 12 and Supr. Ct. R. 2 and 4.

HOLLAND, Justice.

The plaintiff-appellant, Kristyn Pipher (“Pipher”), appeals from the Superior Court’s judgment as a matter of law in favor of the defendant-appellee, Johnathan Parsell (“Parsell”). Pipher argues that the Superior Court erred when it ruled that, as a matter of law, Parsell was not negligent. We agree and hold that the issue of Parsell’s negligence should have been submitted to the jury.

Facts

On March 20, 2002, around 6 p.m., Pi-pher, Parsell and Johnene Beisel (“Beis-el”), also a defendant, 3 were traveling south on Delaware Route 1 near Lewes, Delaware, in Parsell’s pickup truck. All three were sitting on the front seat. Par-sell was driving, Pipher was sitting in the middle, and Beisel was in the passenger seat next to the door. They were all sixteen-years-old at the time.

As they were traveling at 55 mph, Beisel unexpectedly “grabbed the steering wheel causing the truck to veer off onto the shoulder of the road.” Parsell testified that Beisel’s conduct caused him both shock and surprise. Although Beisel’s conduct prompted him to be on his guard, Parsell further testified that he did not expect Beisel to grab the wheel again. Nevertheless, his recognition of how serious Beisel’s conduct was, shows he was aware that he now had someone in his car who had engaged in dangerous behavior.

Parsell testified that he did nothing in response to Beisel’s initial action. Approx *892 imately thirty seconds later, Beisel again yanked the steering wheel, causing Par-sell’s truck to leave the roadway, slide down an embankment and strike a tree. Pipher was injured as a result of the collision.

Pipher’s testimony at trial was for the most part consistent with Parsell’s testimony. Pipher recalled that the three occupants in the vehicle were talking back and forth and that the mood was light as they drove south on Route 1. She also testified that after Beisel yanked the steering wheel for the first time, Parsell was able to regain control of the truck. According to Pipher, despite the dangerous nature of the conduct, Parsell and Beisel just laughed about it like it was a joke. Pipher testified she felt that Beisel grabbed the steering wheel a second time because Parsell “laughed it off’ the first time.

At trial, Parsell acknowledged that he could have taken different steps to try to prevent Beisel from grabbing the steering wheel a second time. First, Parsell acknowledged, he could have admonished Beisel not to touch the steering wheel again. Second, he acknowledged that he could have pulled over to the side of the road and required Beisel to get into the back seat. Third, Parsell acknowledged that he could have warned Beisel that he would put her out of the vehicle.

The trial judge concluded that, as a matter of law, Parsell had no duty to do anything after Beisel yanked the wheel the first time because it would be reasonable for the driver to assume that it would not happen again. The trial judge also ruled that (1) there was no negligence in failing to discharge the dangerous passenger and (2) that failing to admonish the dangerous passenger was not negligence and could not be considered a proximate cause of Pipher’s injuries.

Standard of Review

In order to establish a negligence claim, a plaintiff must establish that “defendant owed plaintiff a duty of care; defendant breached that duty; and defendant’s breach was the proximate cause of plaintiffs injury.” 4 The defendant is entitled to judgment as a matter of law if the plaintiff fails to establish a prima facie case of negligence, or under no reasonable view of the evidence could a jury find in favor of the plaintiff. 5 Disputed issues of foreseeability and proximate cause involve factual determinations that must be submitted to a jury.

“To be held liable in negligence, a defendant must have been under a legal obligation — a duty — to protect the plaintiff from the risk of harm which caused his injuries.” 6 This Court has recognized that “whether a duty exists is entirely a question of law, to be determined by reference to the body of statutes, rules, principles and precedents which make up the law; and it must be determined by the court.” 7 If no duty exists, “a trial court is authorized to grant judgment as a matter of law.” 8 On appeal, questions of law are reviewed de novo.

Duty of Driver

A “driver owes a duty of care to her [or his] passengers because it is foreseeable that they may be injured if, *893 through inattention or otherwise, the driver involves the car she [or he] is operating in a collision.” 9 Almost forty-five years ago, this Court held that a minor who operates a motor vehicle on the highways of Delaware will be held to the same standard of care and “must accord his [or her] own passengers the same diligence and protection which is required of an adult motorist under similar circumstances.” 10 The following year, this Court recognized an important correlative principle: “One riding as a passenger in a motor vehicle ... has the right to assume that the driver will exercise reasonable care and caution and is under no duty to supervise the driving ... in the absence of knowledge that the driver is unfit or incompetent to drive.” 11

Pipher argues that after Beisel grabbed the steering wheel initially, Parsell was on notice that a dangerous situation could reoccur in the truck. Pipher further argues that once Parsell had notice of a possibly dangerous situation, he had a duty to exercise reasonable care to protect his passengers from that harm. Finally, Pipher concludes that Parsell was negligent when he kept driving without attempting to remove, or at least address, that risk.

In a similar case, the Supreme Court of Vermont held a driver was liable for damages resulting from the passenger seizing the driver’s arm. 12 In that case, a drunken passenger known for being a “playful fellow,” and having previously attempted to shake hands with the driver of the vehicle over the course of fifteen minutes, then seized the arm of the driver, causing the vehicle to collide with a farm wagon. The Vermont Court held that the knowledge the passenger was “a playful fellow” and had in the course of the ride “persisted in trying to shake hands” with the driver “should have forecast the peril of an accident to an operator of reasonable prudence and vigilance.” 13 In such cases, the driver is expected to make a reasonable attempt to prevent the passenger from taking such actions again.

In general, where the actions of a passenger that cause an accident are not foreseeable, there is no negligence attributable to the driver. 14 But, when actions of a passenger that interfere with the driver’s safe operation of the motor vehicle are foreseeable, the failure to prevent such conduct may be a breach of the driver’s duty to either other passengers or to the public. 15 Under the circumstances of this case, a reasonable jury could find that Parsell breached his duty to protect Pipher from Beisel by preventing Beisel from grabbing the steering wheel a second time.

Conclusion

The issue of Parsell’s alleged breach of duty to Pipher, the foreseeability of Beis-el’s repeat conduct, and the proximate cause of Pipher’s injuries were all factual *894 determinations that should have been submitted to the jury. 16 Accordingly, the judgment of the Superior Court, that was entered as a matter of law, is reversed. This matter is remanded for further proceedings in accordance with this opinion.

3

. Pipher was awarded $70,150.00 in damages against Beisel. However, Beisel was not located before, during, or after trial.

4

. New Haverford P’ship v. Stroot, 772 A.2d 792, 798 (Del.2001).

5

. Eustice v. Rupert, 460 A.2d 507, 509 (Del.1983).

6

. Fritz v. Yeager, 790 A.2d 469, 471 (Del.2002).

7

. Id. (internal quotations omitted).

8

. Id. (citing Del.Super. Ct. Civ. R. 50).

9

. Harris v. Carter, 582 A.2d 222, 235 (Del.Ch.1990).

10

. Wagner v. Shanks, 194 A.2d 701, 708 (Del.1963).

11

. Clayton v. Bartoszewski, 198 A.2d 692, 695 (Del.1964).

12

. Bessette v. Humiston, 121 Vt. 325, 157 A.2d 468 (1960).

13

. Id. at 470. Compare Brown v. Mobley, 227 Ga.App. 140, 488 S.E.2d 710 (1997) (no evidence that eventual conduct of intoxicated passenger should have been anticipated).

14

. See, e.g., Robinson v. Butler, 226 Minn. 491, 33 N.W.2d 821 (1948).

15

. Wagner v. Shanks, 194 A.2d 701 (Del.1963); Bessette v. Humiston, 121 Vt. 325, 157 A.2d 468 (1960). See also Linde v. Emmick, 16 Cal.App.2d 676, 61 P.2d 338 (1936).

16

. Duphily v. Delaware Elec. Coop., Inc., 662 A.2d 821, 830 (Del.1995).

4.2 Duty to Meet the Standard of a Reasonable Person 4.2 Duty to Meet the Standard of a Reasonable Person

4.2.1 Analyzing Whether the Defendant Is Under A Duty of Reasonable Care to the Plaintiff 4.2.1 Analyzing Whether the Defendant Is Under A Duty of Reasonable Care to the Plaintiff

4.2.1.1 Palsgraf v. Long Island Railroad ("THE tort case") 4.2.1.1 Palsgraf v. Long Island Railroad ("THE tort 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.

4.2.1.2 Misfeasance or an Affirmative Act Compared to Nonfeasance or a Failure to Aid or Protect 4.2.1.2 Misfeasance or an Affirmative Act Compared to Nonfeasance or a Failure to Aid or Protect

Generally speaking, risking harm incurs a duty but the possibility of averting harm does not

4.2.1.2.1 Mellon Mortgage Co. v. Holder ("The Palsgraf Do-Over Case") 4.2.1.2.1 Mellon Mortgage Co. v. Holder ("The Palsgraf Do-Over Case")

How is this case like Palsgraf?

5 S.W.3d 654 (1999)

MELLON MORTGAGE COMPANY, Petitioner,
v.
Angela N. HOLDER, f/k/a Angela N. Hamilton, individually and a/n/f for Nicholas C. Laske, Respondent.

No. 97-1187.

Supreme Court of Texas.

Argued January 12, 1999.
Decided September 9, 1999.
Rehearing Overruled December 2, 1999.

Catherine B. Smith, Robert M. Schick, Kathleen A. Gallagher, Houston, for Petitioner.

Kenneth M. Morris, David A. Furlow, John S. Brannon, Gene L. Locke, Andrea Chan, Laura Anne Coats, Elizabeth M. Revere, Houston, for Respondent.

Justice ABBOTT delivered a plurality opinion, in which Justice HECHT and Justice OWEN join.

While driving late one night in the downtown Houston area, Angela Holder was stopped for an alleged traffic violation by Calvin Potter, an on-duty Houston police officer. Potter took Holder's insurance and identification cards and told her to follow his squad car. Holder followed Potter several blocks to a parking garage owned by Mellon Mortgage Company. Once inside the garage, Potter sexually assaulted Holder in his squad car.

Holder sued Mellon and the City of Houston but did not sue her attacker. The trial court granted summary judgment for Mellon and the City on all of Holder's claims. The court of appeals affirmed the summary judgment in favor of the City on the basis of sovereign immunity. With regard to Holder's claims against Mellon, the court of appeals affirmed the summary judgment on Holder's negligence per se claim, but reversed on the negligence, gross negligence, and loss of consortium[1] claims. On petition for review to this Court, Mellon claims, among other things, that it owed no legal duty to Holder. Because we hold that it was not foreseeable to Mellon that a person would be accosted several blocks from Mellon's 655*655 garage and forced to drive to that garage where she would be sexually assaulted, Mellon owed no duty to Holder to prevent the attack. Accordingly, we reverse the court of appeals' judgment and render judgment that Holder take nothing.[2]

 

I

 

With regard to criminal acts of third parties, property owners owe a duty to those who may be harmed by the criminal acts only when the risk of criminal conduct is so great that it is both unreasonable and foreseeable. See Timberwalk Apartments, Partners, Inc. v. Cain, 972 S.W.2d 749, 756 (Tex.1998). We focus our attention in this case on "foreseeability." For most premises liability cases, the foreseeability analysis will be shaped by determining whether the plaintiff was an invitee, a licensee, or a trespasser. Because Holder was an unforeseeable victim regardless of her status, it is unnecessary to determine into which of the three categories she falls. Instead, we focus on general foreseeability principles that limit the scope of the defendant's duty in this case.[3]

We have repeatedly stated that "[f]oreseeability requires only that the general danger, not the exact sequence of events that produced the harm, be foreseeable." Walker v. Harris, 924 S.W.2d 375, 377 (Tex.1996); see also Nixon v. Mr. Property Management Co., 690 S.W.2d 546, 551 (Tex.1985). We have also frequently stated a two-prong test for foreseeability:

[I]t is not required that the particular accident complained of should have been foreseen. All that is required is [1] "that the injury be of such a general character as might reasonably have been anticipated; and [2] that the injured party should be so situated with relation to the wrongful act that injury to him or to one similarly situated might reasonably have been foreseen."

Id. at 551 (citations and emphasis omitted); see also Texas Cities Gas Co. v. Dickens, 140 Tex. 433, 168 S.W.2d 208, 212 (1943); San Antonio & A.P. Ry. Co. v. Behne, 231 S.W. 354, 356 (Tex. Comm'n App.1921, judgm't adopted). Thus, we consider not only the foreseeability of the general criminal act but also the foreseeability that the victim might be injured by the act. Stated more broadly, we determine both the foreseeability of the general danger and the foreseeability that a particular plaintiff— or one similarly situated—would be harmed by that danger.

This duty analysis has been widely embraced since Chief Judge Cardozo penned the seminal Palsgraf opinion. See Palsgraf v. Long Island R.R., 248 N.Y. 339, 162 N.E. 99 (1928). Palsgraf teaches that the duty question properly considers the foreseeability of the injured party. Mrs. Palsgraf was standing on a platform at the defendant's railroad waiting for a train. Some distance away, porters tried to help a passenger board a train. As they assisted him, they dislodged a package of fireworks he was carrying. The package fell to the rails and exploded, knocking over scales and injuring Mrs. Palsgraf. See id. at 99.

The court held that, regardless of whether the railroad might have acted in a generally wrongful manner, it was not negligent with regard to Mrs. Palsgraf. See id. As Chief Judge Cardozo explained, "What the plaintiff must show is `a wrong' to herself; i.e., a violation of her own right, and not merely a wrong to some one else...." Id. at 100. Because the plaintiff was not so situated to the wrongful act that her injury might reasonably have been foreseen, the defendant did not owe a 656*656 duty to protect her from the resulting injury. "`Proof of negligence in the air, so to speak, will not do.' ... 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." Id. at 99, 100 (emphasis added). Because the railroad owed no duty to Mrs. Palsgraf, it was unnecessary to consider any question of proximate cause.

The Palsgraf dissent, however, illustrates the counter view that duty is owed generally and any limitations on liability should be through "proximate cause," in which "foreseeability" must necessarily play a greater role than in the duty analysis. Writing for the dissent, Judge Andrews rejected the court's view that the duties owed by a defendant were the particularized product of a relationship determined in part by foreseeability. "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." Id. at 103 (Andrews, J., dissenting). The Palsgraf dissent, like the dissent in this case, appears to contend that consideration of a particular plaintiff's relation to an alleged wrongful act is better considered under the guise of proximate cause.

Although judges and scholars have long debated the relative merits of the two views, the gist of Chief Judge Cardozo's duty analysis has been widely embraced. Compare 3 HARPER ET AL., THE LAW OF TORTS § 18.2, at 654-55 (2d ed.1986); RESTATEMENT (SECOND) OF TORTS § 281 cmt. c (1965); Zipursky, Rights, Wrongs, and Recourse in the Law of Torts, 51 VAND. L. REV. 1, 3-5 (1998); and Green, Proximate Cause in Texas Negligence Law, 28 TEX. L.Rev. 471, 472 (1950); with KEETON ET AL., PROSSER AND KEETON ON THE LAW OF TORTS § 43, at 287 (5th ed.1984). The Restatement (Second) of Torts states:

In order for the actor to be negligent with respect to the other, his conduct must create a recognizable risk of harm to the other individually, or to a class of persons—as, for example, all persons within a given area of danger—of which the other is a member. If the actor's conduct creates such a recognizable risk of harm only to a particular class of persons, the fact that it in fact causes harm to a person of a different class, to whom the actor could not reasonably have anticipated injury, does not make the actor liable to the persons so injured.

RESTATEMENT (SECOND) OF TORTS § 281 cmt. c (1965); see also 4 HARPER ET AL., supra, § 20.5, at 138 (the scope of a duty is limited to "(1) those persons that are likely to be endangered by the act or omission, and (2) harm (to such person or interest) from a risk the likelihood of which made the act or omission negligent"). The result of this analysis is that "[a] plaintiff has no right of action unless there was a wrong relative to her or a violation of her right, and there is no such relational wrong or personal-rights violation in a negligence case where the duty to avoid foreseeable risk to the plaintiff has not been breached." Zipursky, supra, at 15; see also Nixon, 690 S.W.2d at 551. A wrong in general is not enough; the plaintiff herself must be wronged. See Zipursky, supra, at 12.

When we consider whether a particular criminal act was so foreseeable and unreasonable as to impose a duty upon a landowner, we first examine the particular criminal conduct that occurred in light of "specific previous crimes on or near the premises." Walker, 924 S.W.2d at 377. If, after applying the Timberwalk factors of similarity, recency, frequency, and publicity, see Timberwalk, 972 S.W.2d at 756-57, we determine that the general danger of the criminal act was foreseeable, we then apply the second prong of the foreseeability analysis and determine whether 657*657 it was foreseeable that the injured party, or one similarly situated, would be the victim of the criminal act. In essence, we consider whether the plaintiff was within the range of the defendant's apprehension such that her injury was foreseeable. See Palsgraf, 162 N.E. at 99-100. Only when we have analyzed the criminal act within the context in which it occurred can we determine whether the landowner owed a duty to the injured party. See, e.g., Centeq Realty, Inc. v. Siegler, 899 S.W.2d 195, 197 (Tex.1995) (when determining whether a duty lies, we must consider all "the facts surrounding the occurrence in question").

Applying the Timberwalk factors, it was not unforeseeable as a matter of law that a rape might occur in the parking garage. Although no similar violent crimes had occurred in the parking garage before the attack on Holder, the summary judgment evidence shows that in the two years preceding the incident, 190 violent crimes, including rape and murder, were reported near the garage. This equates to a frequency of roughly one violent crime every four days.

While there is no evidence that any of these crimes received publicity and Mellon was not required to inspect police records to determine whether its garage was in a high crime area, the summary judgment evidence establishes that Mellon was aware that property crimes had occurred, including the theft of a Mellon employee's car. Another Mellon employee complained to the garage manager "about the virtually non-existent security" in the garage, which compelled the employee to seek an escort to her car when she worked late. Furthermore, Mellon knew that vagrants frequented the garage and sometimes drank there.

Together, these facts constitute some evidence that violent criminal conduct was foreseeable. But while it may have been foreseeable that a violent crime such as rape might occur, this does not end our analysis. We must also consider whether Holder was situated such that Mellon could foresee that she would be the victim of this third-party criminal act. See Carey v. Pure Distrib. Corp., 133 Tex. 31, 124 S.W.2d 847, 849 (1939); RESTATEMENT (SECOND) OF TORTS § 281 cmt. c (1965). The facts of this case fall squarely within the second prong of the foreseeability analysis and show that Mellon could not have reasonably foreseen that its failure to secure the garage would lead to Holder's injuries.

Certainly, Mellon expected that its employees would use the garage, often at times when it would be relatively vacant and thus more dangerous. It is not unreasonable to conclude that Mellon could foresee that an employee or some other person who frequents the garage could be the victim of a violent crime in the garage. To protect these garage users, Mellon provided armed security patrols weekdays from 5:45 a.m. to 11:30 p.m., in addition to random patrols by off-duty police officers during business hours. Holder, however, was not a member of this class nor any other that Mellon could have reasonably foreseen would be the victim of a criminal act in its garage.

Unlike any foreseeable victim, Holder was pulled over in her car at 3:30 a.m. by a third party over whom Mellon had no control, and she was led from several blocks away to the actual crime scene. Not only did Mellon have no control over the criminal, Potter, it had no knowledge of him nor any reason to know that he would pick the garage as the scene of his reprehensible crime. Moreover, Mellon had no knowledge of Holder nor any reason to believe that she, or a person similarly situated, could be subject to a crime on Mellon's property. It simply was not foreseeable, beyond a remote philosophic sense, that this tragic event would occur to Holder on Mellon's property. With relation to Mellon's allegedly wrongful act of not securing its garage at three in the morning, Holder was not so situated that injury to her might reasonably have been foreseen. She was, in short, beyond Mellon's reasonable apprehension.

658*658 Holder argues that Mellon knew that the condition of its garage created an unreasonable and extreme degree of risk that an attack such as this would occur. However, nothing in Holder's summary judgment evidence suggests that Mellon could have reasonably foreseen that its garage would be picked by Potter as the scene of his crime if it did not secure its garage. The mere fact that crimes are prevalent in downtown Houston is not enough. See Timberwalk, 972 S.W.2d at 756. Examining the evidence, it is true that Mellon was aware that a car had been stolen from its garage, but this does not indicate that the garage would be used as a place to bring Holder. It is also true that Mellon was aware that vagrants frequented the garage, but this does not suggest that it was a place that invited criminals to transport victims there. Holder's summary judgment evidence provides little more than "proof of negligence in the air." Palsgraf, 162 N.E. at 99. She provides no evidence of a foreseeable risk in relation to her.

In the end, Holder points again and again to the fact that Mellon was aware that cars could enter its garage without authorization. But to base foreseeability on this fact, without more, would effectively place a universal duty on any landowner with secluded property to prevent that property from becoming the scene of a crime. Whether it be a farmer's field, an industrial park, or a twenty-four-hour laundromat, placing a duty on landowners to prevent criminal acts on their property simply because criminals could gain access to their land would make landowners the insurers of crime victims, regardless of the lack of connection between the landowner and either the victim or the perpetrator. "Courts across the country agree that an owner or possessor of property is not an insurer of the safety of those on the premises." Lefmark Management Co. v. Old, 946 S.W.2d 52, 59 (Tex.1997) (Owen, J., concurring) (citing Exxon Corp. v. Tidwell, 867 S.W.2d 19, 21 (Tex.1993); Ann M. v. Pacific Plaza Shopping Ctr., 6 Cal.4th 666, 25 Cal.Rptr.2d 137, 863 P.2d 207, 215-16 (1993); and Kline v. 1500 Massachusetts Ave. Apartment Corp., 439 F.2d 477, 487 (D.C.Cir.1970)); see also RESTATEMENT (SECOND) OF TORTS § 344 cmt. f (1965) ("[T]he possessor is not an insurer of the visitor's safety....").

Accordingly, Mellon owed no legal duty to Holder. To the extent that Mellon's conduct may have created a risk of harm, it did not breach a duty to Holder because she was not so situated with relation to the wrongful act such that her injury might have been foreseen.

 

II

 

The dissent implies that this analysis is inconsistent with Nixon. In Nixon, however, the Court did not discuss or analyze the common law aspects of duty. Instead, the Court held that the duty owed by the defendant was governed by an applicable ordinance. In doing so, the Court stated:

An ordinance requiring apartment owners to do their part in deterring crime is designed to prevent injury to the general public. R.M.V. falls within this class. Since the ordinance was meant to protect a larger class than invitees and licensees, and since R.M.V. committed no wrong in coming onto the property, these premises liability distinctions are irrelevant to our analysis.

Nixon, 690 S.W.2d at 549. Thus, the ordinance defined the scope of the second prong of foreseeability: "that the injured party should be so situated with relation to the wrongful act that injury to him or to one similarly situated might reasonably have been foreseen." Id. at 551 (citations omitted).

Moreover, in considering the foreseeability aspect of proximate cause in Nixon, the Court's discussion and its use of italics make clear that it focused solely on the first prong of foreseeability: that "[i]t is not required that the particular accident complained of should have been foreseen. All that is required is that the injury be of such a general character as might reasonably 659*659 have been anticipated ...." Id. (citations omitted). In its proximate cause analysis, the Nixon Court did not discuss, italicize, or otherwise analyze the second prong of foreseeability. Thus, Nixon is inapposite to the analysis of this case.

The dissent also takes issue with this analysis of Mellon's duty to Holder by claiming that it "improperly bootstraps proximate cause foreseeability into the threshold duty question." 5 S.W.3d at 666 (O'Neill, J., dissenting). The dissent does not explain, however, how the foreseeability analysis under "proximate cause" differs from the foreseeability analysis under "duty." Additionally, the dissent does not explain why it was not similarly improper for this Court, and other courts, to frequently use a singular foreseeability analysis interchangeably between duty and proximate cause. Furthermore, the dissent does not explain why the second prong of the foreseeability analysis—that the injured party should be so situated with relation to the wrongful act that injury to her or to one similarly situated might reasonably have been foreseen—applies only to proximate cause foreseeability and not to duty foreseeability. The dissent cannot be faulted, however, for failing to answer these questions because Texas jurisprudence on these issues has been unclear. But the answer is simple: The "foreseeability" analysis is the same for both duty and proximate cause.

The questions of duty and proximate cause "are often used in a confused and overlapping way" because both rest on a determination of "foreseeability." 3 HARPER ET AL., supra, § 18.1, at 650; see also Travis v. City of Mesquite, 830 S.W.2d 94, 98 (Tex.1992) (proximate cause consists of cause-in-fact and foreseeability); Greater Houston Transp. Co. v. Phillips, 801 S.W.2d 523, 525 (Tex.1990) (main determinant of duty is foreseeability). The confusion can be found, for example, in Nixon. There, foreseeability was analyzed only under the heading of "proximate cause" because the Court determined at the outset that the defendant owed the plaintiff a duty imposed by statute. See Nixon, 690 S.W.2d at 549. Yet, in defining "foreseeability" as applied to the case, the Court cited a case dealing exclusively with proximate cause, Missouri Pacific Railroad v. American Statesman, 552 S.W.2d 99, 103 (Tex.1977); a case dealing only with duty, Castillo v. Sears, Roebuck & Co., 663 S.W.2d 60, 64 (Tex.App.-San Antonio 1983, writ ref'd n.r.e.); and another dealing with both, Walkoviak v. Hilton Hotels Corp., 580 S.W.2d 623, 625, 628 (Tex.Civ. App.-Houston [14th Dist.] 1979, writ ref'd n.r.e.). See Nixon, 690 S.W.2d at 550.

The confusion has been perpetuated since Nixon. In Walker v. Harris, 924 S.W.2d 375, 377 (Tex.1996), and Exxon Corp. v. Tidwell, 867 S.W.2d 19, 21 (Tex. 1993), this Court considered foreseeability as it relates to duty. In doing so, the Court cited to the Nixon foreseeability analysis, which, as has been noted, applied to proximate cause.

Interestingly, the court of appeals' opinion in this case relies on Nixon`s discussion of foreseeability, as it was applied to causation, for support of its discussion of foreseeability as it applies to duty. 954 S.W.2d 786, 795. The court concluded that a duty was owed to Holder because, in part, her injury was foreseeable. Id. at 795. Turning to "proximate cause," the court again considered whether Holder's injury was foreseeable, but rather than repeat its analysis verbatim, the court simply refers to its previous discussion of foreseeability under "duty." Id. at 801. The court relies upon a single discussion of foreseeability to establish foreseeability's requirements for both duty and proximate cause. Neither the court of appeals in this case nor this Court in Nixon, Walker v. Harris, and Exxon Corp. v. Tidwell, were wrong for relying upon law that establishes a foreseeability standard that applies to both duty and proximate cause because the standard is the same. Consistent with that approach, it is entirely proper for the Court to apply the foreseeability 660*660 standard stated in Nixon to the duty analysis in this case.

Justice ENOCH filed a concurring opinion.

Justice BAKER filed a concurring opinion.

Justice O'NEILL filed a dissenting opinion, in which Chief Justice PHILLIPS and Justice HANKINSON join.

Justice GONZALES did not participate in the decision.

Justice ENOCH concurring.

I join the Court's judgment. I can join neither the plurality opinion nor Justice Baker's writing because I believe those opinions skip a critical step that could lead some to assume the Court has adopted a new common law duty—that a landowner has a general duty to not be negligent. That is not the law in Texas, and is not after today. Because I am concerned that this omission might mislead, I write separately.

This case presents a simple question: Whether a landowner may be held liable for injuries caused to a stranger who was brought to the premises against her will by the criminal attack of another stranger.[1] To begin answering this question, I note that a landowner has no general duty to not be negligent toward those entering the land. The extent of a landowner's liability for injuries caused by a condition existing on the land depends on the status of the injured person. Thus, the scope of a landowner's duty depends on whether, at the time of the injury, the person on the land was an invitee, a licensee, or a trespasser.[2]

To invitees, the landowner owes a duty to exercise reasonable care to keep the premises in a reasonably safe condition for use by the invitee.[3] To licensees, the landowner owes a duty to warn of or to make safe hidden dangers known to the landowner and a duty not to intentionally, wilfully, or through gross negligence cause injury.[4] And to trespassers, a landowner owes only a duty not to intentionally, wilfully, or through gross negligence cause injury.[5]

While this traditional classification system has been subject to debate, it remains the law in Texas. Thus, I believe it must be applied in this case.

Because this case is strikingly similar to Nixon v. Mr. Property Management Co.,[6] I consider that case instructive. There, ten-year-old R.M.V. was dragged into an apartment complex that she didn't reside in by an unknown assailant and was sexually assaulted. Her next friend sued Mr. Property, the manager of the apartment complex, alleging that it breached a duty of care to R.M.V. The trial court granted summary judgment for Mr. Property. Holding that R.M.V. was a "trespasser," and that Mr. Property's duty was not to injure her wilfully, wantonly, or through gross negligence, the court of appeals affirmed.[7]

We reversed and remanded on the ground that a Dallas city ordinance requiring property owners to "keep the doors and windows of a vacant structure or vacant 661*661 portion of a structure securely closed to prevent unauthorized entry" imposed a standard of care on Mr. Property without regard to R.M.V.'s classification. We said:

[T]he question of what duty Mr. Property owed to R.M.V. is answered by the ordinance. This ordinance legislatively imposes a standard of conduct which we adopt to define the conduct of a reasonably prudent person.... The unexcused violation of a statute or ordinance constitutes negligence as a matter of law if such a statute or ordinance was designed to prevent injury to the class of persons to which the injured person belongs.... A reasonable interpretation of this ordinance is that it was designed to deter criminal activity by reducing the conspicuous opportunities for criminal conduct.... An ordinance requiring apartment owners to do their part in deterring crime is designed to prevent injury to the general public. R.M.V. falls within this class. Since the ordinance was meant to protect a larger class than invitees and licensees, and since R.M.V. committed no wrong in coming onto the property, these premises liability distinctions are irrelevant to our analysis.[8]

The facts of this case are virtually indistinguishable from Nixon—we have an innocent victim taken against her will into a vacant area and sexually assaulted, followed by tort claims against the landowner for not taking steps to prevent the assault. But unlike the plaintiff in Nixon, Holder does not claim in this Court that an ordinance makes the traditional classification system "irrelevant." Thus, we are left with the traditional premises liability classifications to determine Mellon's duty.

Addressing these classifications, I note that no one asserts that Holder was an invitee. At the other end, Holder argues that because she didn't enter Mellon's property for her own purposes, she was not a trespasser. But the court of appeals in the Nixon case rightfully explained that the classification of visitors on one's land "does not depend upon ... volition but upon knowledge and consent of [the landowner]."[9] And that "[i]n the absence of knowledge and consent [the landowner's] duty ... was no greater than not to ... [be wilful, wanton or grossly negligent]."[10] Thus I agree with Justice O'Neill that for purposes of determining Holder's status on Mellon's property, the relevant question is not whether Holder meant to be in the garage, but "whether Mellon expressly or impliedly consented to [Holder's] entry."[11] Where Justice O'Neill and I part ways is in answering this question.

Justice O'Neill concludes that there is a fact question about whether Mellon, by its conduct, impliedly granted Holder license to come into its garage.[12] I disagree. First, the cases Justice O'Neill cites don't support this conclusion. Each of these cases demonstrate a nexus between the activity during which the injury occurred and the implied license.[13] And none hold, as Justice O'Neill would, that a license implied for some is a license implied for all.[14] Evidence that Mellon was aware of vagrants in the garage in no way implies that Mellon opened the garage to vehicular traffic at all hours of the day or night. And while my colleagues struggle to avoid calling Holder a "trespasser," the summary judgment evidence establishes that 662*662 that was her status under the nomenclature of the traditional premises liability categories. Rather than struggling with the terminology, the Court could more easily establish another less harsh-sounding term. Regardless, and accepting Holder's blamelessness, this does not affect the legal analysis of Mellon's duty.

As part of her argument, Holder cites section 197(1) of the Restatement (Second) of Torts.[15] She contends that she had a "privilege" to enter Mellon's property because she was in fear for her safety, and therefore, she was not a "trespasser" for purposes of determining the scope of Mellon's duty. This argument is incomplete. I may agree with Holder that, guided by section 197(1) of the Restatement, she was privileged to go on to Mellon's property. But I read that section to mean only that she is relieved of liability to Mellon for having done so. Should this Court adopt section 197(1), Holder could not, as a matter of law, be liable to Mellon for entering Mellon's garage.

But whether Holder had a privilege to be in Mellon's garage has nothing to do with the scope of Mellon's duty to Holder. While section 345(1) of the Restatement (Second) of Torts declares that a landowner owes the same duty to a privileged trespasser that the landowner owes a licensee,[16] I would be reluctant to adopt that section. Mellon's duty is determined by Holder's status. And Holder's status is determined by whether Mellon consented to her presence in the garage. Mellon's duty to Holder can't change simply because Holder went on the property involuntarily.

Mellon owned a parking garage in downtown Houston. The garage was not open for public use and was not used at night. Mellon's duty to those who were on the premises without Mellon's consent was only to not intentionally, wilfully, or through gross negligence cause them injury.

Having determined that this was the duty Mellon owed to Holder, the next inquiry would be whether Mellon met its summary judgment burden to conclusively prove that it did not intentionally, wilfully, or through gross negligence injure Holder. Mellon met that burden. Consequently, it was up to Holder to present summary judgment evidence that raised a fact issue on consent. The evidence presented by Holder does not. Thus I concur in the Court's judgment.

Justice BAKER, concurring.

As a general rule, a landowner has no legal duty to protect another from the criminal acts of a third party who is not under the landowner's control or supervision. See Timberwalk Apartments, Partners, Inc. v. Cain, 972 S.W.2d 749, 756 (Tex.1998); Walker v. Harris, 924 S.W.2d 375, 377 (Tex.1996). To the extent that the law does impose a duty, the threshold issue is whether the risk of harm was foreseeable. See Timberwalk, 972 S.W.2d at 756; Walker, 924 S.W.2d at 377. I conclude as a matter of law that, under the record here, Mellon could not foresee the risk that a sexual assault would occur in its employee parking garage. Therefore, I agree with the plurality's conclusion that Mellon did not owe Holder a duty. I cannot agree, however, with the plurality's duty analysis. Therefore, I concur in the judgment and write separately.

 

I. THE PLURALITY

 

The plurality relies on Palsgraf v. Long Island Railroad, for its two-prong foreseeability test for duty. See Palsgraf v. Long Island R.R., 248 N.Y. 339, 162 N.E. 99 (1928). But even the plurality's cited authorities recognize that, contrary to the opinion's claim, Palsgraf `s two-prong duty analysis has not been "widely embraced." 663*663 5 S.W.3d 654, 655; see RESTATEMENT (SECOND) of Torts § 281 Reporter's Notes (1966) (noting that Palsgraf is "controversial" and that, as late as 1966, the decisions on facts that are at all analogous to Palsgraf's facts are "few and divided."); Zipursky, Rights, Wrongs, and Recourse in the Law of Torts, 51 VAND. L.REV. 1, 3 (1998)("Leading scholars treat Palsgraf as a proximate cause case.... Cordozo's own reasoning in Palsgraf is typically ignored or derided."); see also Powers, Judge and Jury in the Texas Supreme Court, 75 TEX. L.REV. 1699, 1702-03 (1997) (explaining that Dean Keeton's approach to duty and proximate cause, in which questions about whether a defendant's liability extends to a particular type of plaintiff are questions of proximate cause and not duty, has prevailed in Texas). Further, as the plurality concedes, the Texas cases it cites for the two-prong foreseeability analysis discuss foreseeability only in the context of proximate cause, not duty. See Nixon v. Mr. Property Management Co., 690 S.W.2d 546, 549-50 (Tex.1985); Texas Cities Gas Co. v. Dickens, 140 Tex. 433, 168 S.W.2d 208, 212 (1943); Carey v. Pure Distrib. Corp., 133 Tex. 31, 124 S.W.2d 847, 849-50 (1939); San Antonio & A.P. Ry. v. Behne, 231 S.W. 354, 356 (Tex. 1921). Moving the determination of whether harm to a certain class of potential plaintiffs is foreseeable from the proximate cause analysis to the duty analysis changes Texas law in this type of case. It also changes the law in every negligence case that requires a duty analysis as a threshold issue. More importantly, it shifts the allocation of power in such cases. See Powers, Judge and Jury in the Texas Supreme Court, 75 TEX. L.REV. at 1703. Traditionally, duty is a threshold legal issue the court properly decides. See Walker, 924 S.W.2d at 377; Powers, Judge and Jury in the Texas Supreme Court, 75 TEX. L.REV. at 1703. Proximate cause is usually a jury issue. See Clark v. Waggoner, 452 S.W.2d 437, 440 (Tex.1970); City of Houston v. Jean, 517 S.W.2d 596, 599 (Tex.Civ. App.-Houston [1st Dist.] 1974, writ ref'd n.r.e.); see also Flores v. Sullivan, 112 S.W.2d 321, 323 (Tex.Civ.App.-San Antonio 1937), rev'd on other grounds, 134 Tex. 55, 132 S.W.2d 110 (Tex.1939); Powers, Judge and Jury in the Texas Supreme Court, 75 Tex. L.Rev. at 1703. Consequently, changing the duty analysis to include the traditional proximate cause foreseeability test allocates more power to trial judges, as well as appellate judges, to decide questions traditionally and properly reserved for the jury.

Rather than change the law of duty to add a second-prong foreseeability analysis, we need only consider the Timberwalk factors—similarity, proximity, recency, frequency, and publicity—to analyze foreseeability within the duty context as it arises here. See Timberwalk, 972 S.W.2d at 759.

 

II. FORESEEABILITY

 

Common-law negligence consists of these elements: (1) a legal duty; (2) a breach of that duty; and (3) damages proximately resulting from the breach. See El Chico Corp. v. Poole, 732 S.W.2d 306, 311 (Tex.1987). Duty is the threshold inquiry, which is a question of law for the court to decide. See Greater Houston Transp. Co. v. Phillips, 801 S.W.2d 523, 525 (Tex.1990). As a general rule, a landowner has no duty to prevent criminal acts of third parties who are not under the landowner's control or supervision. See Timberwalk, 972 S.W.2d at 756; Walker, 924 S.W.2d at 377; Exxon Corp. v. Tidwell, 867 S.W.2d 19, 21 (Tex.1993). To the extent that the law does impose a duty, foreseeability is the initial analysis. See Timberwalk, 972 S.W.2d at 756; Walker, 924 S.W.2d at 377. Only after foreseeability is established must we determine the parameters of the duty. See Timberwalk, 972 S.W.2d at 757.

In Timberwalk, this Court stated the factors courts should consider in determining if criminal conduct on a landowner's property is foreseeable: (1) whether any criminal conduct previously occurred on or 664*664 near the property; (2) how recently it occurred; (3) how often it occurred; (4) how similar the conduct was to the conduct on the property; and (5) what publicity the occurrences received to show that the landowner knew or should have known about them. See Timberwalk, 972 S.W.2d at 757-58. We summarize these foreseeability factors as similarity, proximity, recency, frequency, and publicity of previous criminal conduct. See Timberwalk, 972 S.W.2d at 759. Courts must consider all the factors together. See Timberwalk, 972 S.W.2d at 759.

Past crimes must be sufficiently similar, though not identical, to the crime at issue to put the landowner on notice of the specific danger. See Timberwalk, 972 S.W.2d at 758. For example, automobile vandalism in an apartment complex does not put the landowner on notice of the likelihood of a sexual assault. See Timberwalk, 972 S.W.2d at 758.

Proximity requires evidence of other crimes on or in the property's immediate vicinity. See Timberwalk, 972 S.W.2d at 757. Evidence of criminal activity occurring farther from the landowner's property is less relevant than past criminal activity in the specific area at issue. See Timberwalk, 972 S.W.2d at 757.

Foreseeability also depends on the recency of past criminal conduct. See Timberwalk, 972 S.W.2d at 757-58. A significant number of crimes occurring in a short time period on or near the property makes the crime in question more foreseeable. See Timberwalk, 972 S.W.2d at 758.

Publicity of prior crimes strengthens the claim that a particular crime was foreseeable because a property owner can be expected to have knowledge of such criminal activity. See Timberwalk, 972 S.W.2d at 758. Landowners, however, have no duty to inspect criminal records to determine the risk of crime in the area. See Timberwalk, 972 S.W.2d at 759.

 

III. ANALYSIS

 

Mellon is entitled to summary judgment if it can establish as a matter of law that the sexual assault in Mellon's parking garage was not foreseeable. Forseeablilty requires an analysis of frequency, recency, publicity, and similarity of previous criminal activity. See Timberwalk, 972 S.W.2d at 759. In reviewing a summary judgment, we assume all evidence favorable to the nonmovant to be true. See Nixon, 690 S.W.2d at 548-49.

Mellon's garage is in downtown Houston. In the twenty-two months before Holder's assault, 190 violent crimes had occurred within a one-quarter mile radius of the garage. The year that Holder was sexually assaulted, 88 violent crimes occurred in the area surrounding the garage: 4 sexual assaults, 57 robberies, and 27 aggravated assaults. Indeed, Holder's expert, relying on police reports, testified that there were high crime rates in the area surrounding Mellon's garage. But "[t]he frequent occurrence of property crimes in the vicinity is not as indicative of foreseeability as the less frequent occurrence of personal crimes on the landowner's property itself." Timberwalk, 972 S.W.2d at 759. The only evidence of criminal activity in Mellon's garage is evidence of vagrancy and automobile theft. There is no evidence of personal crimes occurring in the garage.

On the publicity of criminal activity in the area, Holder complains that Mellon did not regularly check Houston police records. But landowners have no duty to regularly inspect criminal records to determine the risk of crime in the area. Nevertheless, two Mellon employees had written memos to Mellon in response to auto thefts occurring when the garage was occupied by employees' vehicles. One of the memos discussed a crime increase in the area surrounding the garage. But its author testified that he based his information on rumors he had heard from other Mellon employees. Mellon responded to these memos by employing armed security 665*665 guards during hours that Mellon employees would be using the garage. Mellon also provided security escorts for Mellon employees going to and from the garage.

The fact that there may have been frequent and recent criminal activity in the area surrounding the garage and that Mellon knew about certain criminal activities occurring in its garage does not alone mean that a sexual assault in the garage was foreseeable. We have stated that the frequency of previous crimes necessary to show foreseeability lessens as the similarity of the previous crimes to the incident at issue increases. See Timberwalk, 972 S.W.2d at 759. The converse is also true—the less similar previous crimes are to the one at issue, the frequency necessary to show foreseeability increases. Thus, we must consider whether such criminal activity was similar to the crime at issue. There is no summary judgment evidence that violent or personal crimes had occurred in Mellon's garage. The evidence only shows that automobile thefts during business hours and vagrancy had occurred in the garage. Automobile thefts and vagrancy do not suggest the likelihood of sexual assault. See Timberwalk, 972 S.W.2d at 758. Nor is there summary judgment evidence that any of the four reported sexual assaults in the area surrounding the garage occurred in either a public or private parking garage or were otherwise similar to Holder's.

Considering the summary judgment evidence here and all the Timberwalk factors, I conclude that although there is evidence of frequent and recent criminal activity in the area surrounding Mellon's garage, and evidence that Mellon knew of vagrancy and automobile thefts in the garage itself, it was not foreseeable to Mellon that a sexual assault would occur in its garage.

 

IV. THE DISSENT

 

The dissent misstates our view when it claims we discount the two employee memos. To the contrary, the memos are relevant to show that the nature of the crimes reported in Mellon's garage were auto thefts and vagrancy, not violent crimes against persons. The dissent also argues that we completely disregard the nature and character of the premises at issue. Although the Timberwalk factors are not exclusive, nothing in Timberwalk suggests that a court must take into account the nature and character of the premises at issue. By citing Gomez v. Ticor, the dissent argues that all parking garage owners should inherently foresee rapists lying in wait for unsuspecting victims at all hours of the day and night. 5 S.W.3d 654, 669 (citing Gomez v. Ticor, 145 Cal.App.3d 622, 628, 193 Cal.Rptr. 600 (1983)). In effect, the dissent would make all property owners insurers of the general public. This is not the rule in Texas. See Lefmark Management Co. v. Old, 946 S.W.2d 52, 59 (Owen, J., concurring); see also Timberwalk, 972 S.W.2d at 756; Walker, 924 S.W.2d at 377. The flaw in the dissent's analysis is that the dissent fails to properly consider all the Timberwalk factors together. See Timberwalk, 972 S.W.2d at 759.

 

V. CONCLUSION

 

Because I would hold that Mellon could not foresee a sexual assault in its garage, and therefore, did not owe Holder a duty as a matter of law, I concur in the judgment.

Justice O'NEILL, dissenting, joined by Chief Justice PHILLIPS and Justice HANKINSON.

In three opinions applying three different rationales, a divided Court concludes that Mellon is entitled to summary judgment. These opinions, none of which carries a majority, alternately conclude that (1) the crime victim was not foreseeable, (2) the crime committed was not foreseeable, and (3) Holder was a trespasser toward whom Mellon fulfilled its duty. I cannot agree, in light of the summary judgment evidence, that any of these factors 666*666 was established as a matter of law. Accordingly, I respectfully dissent.

 

I

 

 

Foreseeability of Plaintiff

 

Applying the Timberwalk factors, the plurality concludes, as I do, that there is some evidence to show that violent criminal conduct in Mellon's garage was foreseeable. See Timberwalk Apartments, Partners, Inc. v. Cain, 972 S.W.2d 749 (Tex.1998). They proceed, however, to employ a so-called "second prong" foreseeability analysis that focuses on the class of victim to determine the existence of a duty. Although this approach produces a seemingly desired result, it improperly bootstraps proximate cause foreseeability into the threshold duty question, thereby usurping the function of the traditional premises liability classifications. Whether or not the foreseeability analysis is the same for both duty and proximate cause purposes, as the plurality posits, the concept of foreseeability in the context of premises liability is embodied in the classifications that have defined a landowner's duty for over one hundred years.

It is true that in Nixon v. Mr. Property Management Co., 690 S.W.2d 546 (Tex. 1985), and in two other cases cited in the plurality opinion, we stated that foreseeability requires "`that the injured party should be so situated with relation to the wrongful act that injury to him or to one similarly situated might reasonably have been foreseen.'" Id. at 551 (Tex.1985) (quoting Carey v. Pure Distrib. Corp., 133 Tex. 31, 124 S.W.2d 847, 849 (1939)). But that analysis applied to the determination of proximate cause, which is typically an issue for the jury, not duty, which is typically a question for the court. Id. And if the foreseeability analysis is the same, as the plurality reasons, it is difficult to reconcile their conclusion with that reached in Nixon. On almost identical facts—a young girl was abducted from another location and sexually assaulted in an abandoned apartment—we held that a fact issue existed on whether the criminal assault was foreseeable to the management company that had left the apartment unlocked:

With a litany of prior crimes ... and with deposition testimony that vagrants frequented the area, a material fact question exists on the foreseeability of this crime as it relates to the proximate cause issue.

Id. (emphasis added). To hold now, on nearly identical facts, that foreseeability is lacking as a matter of law for duty rather than proximate cause purposes defies logic and ignores a primary function of the traditional premises liability classifications. Were we to abandon the traditional classification system and impose upon landowners a generalized duty to exercise reasonable care toward all entrants, as Holder urges, there might be a place for the "foreseeable plaintiff" approach.[1] The requirement that injury to the plaintiff's "class" be foreseeable, however, is inherent in the premises liability distinctions between "invitee," "licensee," and "trespasser." Like Justice Enoch, I believe that these classifications govern our analysis. The inquiry should be whether Mellon established as a matter of law that it acted within the scope of any duty that it owed to Holder. The nature of that duty depends upon the status of the person entering the property.

Both Justices Baker and Enoch agree that the second-prong foreseeability analysis is flawed, and decline to join the plurality opinion. Justice Baker applies the Timberwalk factors and concludes that, as a matter of law, a sexual assault in Mellon's garage was not foreseeable. Like 667*667 Justice Enoch and the plurality, I cannot agree that such a conclusion may be drawn from this summary judgment record.

 

II

 

 

Foreseeability of Crime

 

The summary judgment evidence shows that, from January 1, 1990, through the date of the incident, 190 violent crimes, including murders, rapes, robberies, and aggravated assaults, were reported within a quarter-mile radius of Mellon's garage. This amounted to one reported violent crime every five days, and was enough to support a "High Crime" designation for the area in 1991 and an "Above Average" designation in 1992.

John Hilliard, a Mellon employee, testified by deposition that his Jeep was stolen out of the garage in October 1992. Hilliard sent a memo to the garage manager, Curtis Oblinger, among others, expressing his concern about a "drastic increase in crime in the surrounding area" in the previous six months. Hilliard had heard rumors of increased criminal activity from other Mellon employees, including reports of violent crime in the surrounding area. Hilliard proposed a plan for increased garage security, but Oblinger never responded to his memo.

Cathleen Hackward, another Mellon employee, sent an e-mail to Oblinger and others to "lodge a formal complaint about the virtually non-existent security for our parking garage." She wrote that "people are free to roam through there, obviously committing crimes," and stated that she was concerned for her personal safety. Hackward testified by deposition that she had Mellon's security guard escort her to her car when she worked late because she did not consider it safe to go to the garage alone.

According to Hilliard, it was obvious that people were sleeping in the garage. There were blankets and newspapers rolled up "like someone was sleeping in the stairwell." Oblinger knew that vagrants were going into the garage, and that they were drinking beer there. He did nothing, however, to prevent their entry.

Reviewing this evidence, Justice Baker concludes that "the risk that someone would be sexually assaulted in Mellon's garage was not foreseeable to Mellon as a matter of law." Such a conclusion drawn from this summary judgment record, in my opinion, blinks reality and strains the Timberwalk factors beyond their logical or intended reach.

Justice Baker draws a bright line between property crimes occurring inside Mellon's garage and personal crimes occurring outside. He thus discounts the employee memos identifying property crime within the garage, and dismisses their reference to violent crime in the vicinity as "rumors." It is clear, however, that the employees' memos were written out of concern for their own personal safety, not just the security of their cars. The Hackward memo explicitly states, "not only am I worried about my car, but I fear for my personal safety as well." And Hilliard testified in his deposition that the "drastic increase in crime" in the surrounding area to which his memo referred included reports of violent crimes, including an armed robbery. Hilliard's memo to Oblinger suggested that the garage should be patrolled "to prohibit automobile theft and potential danger to employees." In Timberwalk we held that, for a risk to be foreseeable, evidence of criminal activity "either on the landowner's property or closely nearby" may be considered. See Timberwalk, 972 S.W.2d at 757. Considering the crime that had occurred in the garage and the abundance of violent crime in the immediate area, it was entirely foreseeable that a sexual assault might occur in Mellon's open and abandoned garage.

Justice Baker also discounts Holder's evidence of prior violent crimes because there is no evidence "that any of the four reported sexual assaults in the area surrounding the garage occurred in either a 668*668 public or private parking garage or were otherwise similar to Holder's." It is true that neither party presented evidence detailing the circumstances of the sexual assaults or other 190 violent crimes committed in the vicinity. But Timberwalk does not require such a heightened degree of similarity for purposes of determining foreseeability. See Timberwalk, 972 S.W.2d at 758. As we recognized in Timberwalk, it is difficult to compartmentalize criminal activity, and "[p]roperty crimes may expose a dangerous condition that could facilitate personal crimes." Id. at 758. See also Galloway v. Bankers Trust Co., 420 N.W.2d 437, 439 (Iowa 1988) (stating "[w]e do not believe, however, that crimes initially directed toward property are without any probative value on the question of foreseeability of injury."); Aaron v. Havens, 758 S.W.2d 446, 447-48 (Mo. 1988) (stating "[i]t is not necessary to allege that past crimes involving entry into unauthorized places are of the same general nature as the one which gave rise to the claim.... If a burglar may enter, so may a rapist.").

To the extent Justice Baker bases his "similarity" distinction upon the manner in which Holder was assaulted, i.e., that she was lured into the garage from another location, it is immaterial, for we have long recognized that what must be foreseeable is not the exact sequence of events that produces the criminal conduct, but only the general danger. See Walker v. Harris, 924 S.W.2d 375, 377 (Tex.1996); Lofton v. Texas Brine Corp., 777 S.W.2d 384, 387 (Tex.1989). And to the extent his distinction is based upon the differing nature of other crimes in the area, I fail to see it. In the year Holder was assaulted, four sexual assaults, fifty-seven robberies, and twenty-seven aggravated assaults occurred in close proximity to the garage. Any distinction that might be drawn between Holder's assault and these prior violent crimes is inconsequential at best. Moreover, we stated in Timberwalk that "the frequency of previous crimes necessary to show foreseeability lessens as the similarity of the previous crimes to the incident at issue increases." See Timberwalk, 972 S.W.2d at 759. Conversely, the similarity of previous crimes necessary to show foreseeability should lessen, to a certain extent, as the frequency of the previous crimes increases. See Jardel Co., Inc. v. Hughes, 523 A.2d 518, 525 (Del.1987) (stating "the repetition of criminal activity, regardless of its mix, may be sufficient to place the property owners on notice of the likelihood that personal injury, not merely property loss, will result."). Here, any distinction that might be drawn between Holder's assault and the other violent crimes diminishes in light of their sheer number.

Holder presented additional foreseeability evidence that accounts for the nature and character of the premises in issue, a parking garage, which Justice Baker's opinion altogether disregards. While it is true that our decision in Timberwalk articulated similarity, proximity, recency, frequency, and publicity of previous criminal conduct as factors relevant to determine foreseeability, there is nothing to suggest that these factors are meant to be exclusive.[2] Oblinger admitted in his deposition 669*669 that he knew parking garages in downtown Houston are inherently susceptible to criminal activity. And the report of Holder's security expert, Horace Loomis, refers to "the inherently dangerous nature of unattended and unprotected parking garages." Justice Baker's opinion gives no consideration to the fact that the particular premises at issue may, under certain circumstances, pose a peculiar attraction for criminal misconduct. See Gomez v. Ticor, 145 Cal.App.3d 622, 628, 193 Cal.Rptr. 600 (1983) (stating that "the deserted ... nature of these structures, especially at night, makes them likely places for robbers and rapists to lie in wait").

I agree with my fellow justices that "it was not unforeseeable as a matter of law that a rape might occur in the parking garage," and therefore cannot join Justice Baker's opinion. And I agree with Justice Enoch that the plurality's analysis comes dangerously close to imposing upon landowners a general common law duty not to be negligent. Like Justice Enoch, I believe that the traditional premises liability distinctions govern our analysis. The inquiry should be whether Mellon established as a matter of law that it acted within the scope of any duty that it owed to Holder. The nature of that duty depends upon the status of the person entering the property.

 

III

 

 

Holder's Status

 

At the outset, Holder urges us to abolish the traditional premises liability classifications applied by Texas courts for well over a century to determine a landowner's duty to persons coming onto the property. That duty is defined by the entrant's status as an invitee, licensee, or trespasser to the premises. See Rosas v. Buddies Food Store, 518 S.W.2d 534, 536 (Tex.1975); Carlisle v. J. Weingarten, Inc., 137 Tex. 220, 152 S.W.2d 1073, 1074-75 (1941); Galveston Oil Co. v. Morton, 70 Tex. 400, 7 S.W. 756, 757-58 (1888). According to Holder, we should follow the lead of those jurisdictions that have abrogated the traditional classification scheme, and define Mellon's duty under ordinary negligence principles.

It is true that some jurisdictions have abolished the traditional classification scheme, regarding it as "unjust, unworkable and unpredictable."[3] See, e.g., Michael 670*670 Sears, Abrogation of the Traditional Common Law of Premises Liability, 44 U. Kan. L. Rev. 175, 184 (1995). Those courts now define a landowner's duty not in terms of the plaintiff's status, but in terms of foreseeable risk and reasonable care. See id. The California Supreme Court first articulated the rationale for doing so:

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.

Rowland, 70 Cal.Rptr. 97, 443 P.2d at 568. Thus, the traditional classifications have been criticized as occasioning inequitable results.

It has been noted, however, that while the movement to abolish the traditional scheme gathered momentum through the mid-1970s, it has since come to "a screeching halt." PROSSER & KEETON ON THE LAW OF TORTS § 62, at 433. In the last decade, only Nevada has abolished all entrant classifications. See Moody v. Manny's Auto Repair, 110 Nev. 320, 871 P.2d 935, 942-43 (1994). Most other jurisdictions have decided to retain the traditional classifications in some form, recognizing that their abrogation in favor of what has been criticized as "a standard with no contours" would create corresponding problems. Younce v. Ferguson, 106 Wash.2d 658, 724 P.2d 991, 995 (1986).

The premises liability classifications reflect policy judgments carefully developed over time to balance the landowner's interest in the free use and enjoyment of his land against the interests of persons injured by the land's condition. The categories and their corresponding duties place rational limits on the liability of landowners, assuring that property owners do not become absolute insurers against all risk of injuries that others might sustain on their property. These distinctions afford a degree of certainty to what would otherwise be an amorphous standard of liability, and provide relatively predictable rules by which landowners and entrants may assess the propriety of their conduct. As recently stated by the Supreme Court of Missouri in deciding to retain the traditional categories: "To abandon the careful work of generations for an amorphous `reasonable care under the circumstances' standard seems—to put it kindly—improvident." Carter v. Kinney, 896 S.W.2d 926, 930 (Mo.1995).

It is not surprising, then, that most jurisdictions continue to apply the traditional premises liability classifications.[4] And several jurisdictions have attempted to reach a middle ground by abolishing the distinction between licensees and invitees, but retaining limited duty rules toward 671*671 trespassers.[5] While I agree that this middle road is far more compelling than the wholesale abandonment of the traditional classifications, we are not faced with that issue in this case. Because the traditional classifications are supported by many years of carefully developed law and public policy and afford relative certainty to an otherwise nebulous premises liability standard, I would decline to abandon them now. Far from "mak[ing] all property owners insurers of the general public," as Justice Baker charges, I rely on well-established precedent in defining the duty owed to Holder by determining her status as an invitee, a licensee, or a trespasser to Mellon's garage.

An invitee enters onto another's land with the owner's knowledge and for the mutual benefit of both parties. See Rosas, 518 S.W.2d at 536. The owner owes an invitee a duty of reasonable care to protect her from foreseeable injuries. Id. It is undisputed that Holder was not an invitee; her presence in the garage was neither for Mellon's benefit nor with its knowledge.

The closer question is whether Holder was a licensee or a trespasser. A trespasser enters another's property without express or implied permission. See Texas-Louisiana Power Co. v. Webster, 127 Tex. 126, 91 S.W.2d 302, 306 (1936); Weaver v. KFC Management, Inc., 750 S.W.2d 24, 26 (Tex.App.-Dallas 1988, writ denied). A licensee, by comparison, is a person who is privileged to enter on land only by virtue of the owner's consent and "under such circumstances that he is not a trespasser." Rowland v. City of Corpus Christi, 620 S.W.2d 930, 933 (Tex.Civ. App.-Corpus Christi 1981, writ ref'd n.r.e.); see also Dominguez v. Garcia, 746 S.W.2d 865, 866-67 (Tex.App.-San Antonio 1988, writ denied); RESTATEMENT (SECOND) OF TORTS § 330 (1965). Licensees have been found to include:

those taking short cuts across the property...; loafers, loiterers and people who come in only to get out of the weather; those in search of their children; servants or other third persons; spectators and sightseers not in any way invited to come; those who enter for social visits or personal business dealings with employees of the possessor of the land; tourists visiting a plant at their own request; those who come to borrow tools or to pick up and remove refuse or chattels for their own benefit; salesmen calling at the door of private homes, and those soliciting money for charity; and a stranger entering an office building to post a letter in a mail-box provided for the use of tenants only.

PROSSER AND KEETON ON THE LAW OF TORTS § 60, at 413 (citations omitted).

672*672 For purposes of distinguishing an invitee from a licensee, courts have often looked to the entrant's purpose in coming onto the property. Thus, it has been said that a licensee's presence on the premises is "for his own purposes, benefits, convenience or pleasure." Rowland, 620 S.W.2d at 933; Smith v. Andrews, 832 S.W.2d 395, 397 (Tex.App.-Fort Worth 1992, writ denied). However, the traditional premises liability classifications have also been retained, in large part, to afford owners an element of certainty regarding their duty to entrants upon the property. In the present case, where it cannot be said that Holder entered the garage "for her own purposes, benefits, convenience or pleasure," the more appropriate inquiry is whether Mellon expressly or impliedly consented to the entry. See Webster, 91 S.W.2d at 306; Rowland, 620 S.W.2d at 933; see also Restatement (Second) of Torts § 330 (1965).

It is undisputed that Holder did not have Mellon's express consent to enter the garage. But consent to enter property may be manifested by the owner's conduct or by the condition of the land itself. See PROSSER AND KEETON ON THE LAW OF TORTS § 60, at 413. Situations clearly exist "where a trespass has been tolerated for such a sufficient period of time that the public believes it has the `permission' of the possessor to use the property." Murphy v. Lower Neches Valley Auth., 529 S.W.2d 816, 820 (Tex.Civ.App.-Beaumont 1975), rev'd on other grounds, 536 S.W.2d 561 (Tex.1976); see also Boydston v. Norfolk S. Corp., 73 Ohio App.3d 727, 598 N.E.2d 171 (Ohio Ct.App.1991)(stating that "[consent] can be implied from acquiescence to continued use of the property by the public").

In Murphy v. Lower Neches Valley Authority, for example, a teenage swimmer was injured when he jumped into a canal and struck his head on a lump of clay. 529 S.W.2d at 817. The summary judgment evidence showed that boys swam in the canal every day, the defendant knew that boys swam in the canal yet never asked them to leave, and no signs prohibited their activity. Id. at 820. The court concluded that the defendant did not prove, as a matter of law, that the injured boy was a trespasser and not a licensee. Id.

Likewise, in City of El Paso v. Zarate, the plaintiff sued the City of El Paso after her two sons drowned in a muddy city pond. 917 S.W.2d 326, 329 (Tex.App.-El Paso 1996, no writ). The City claimed that the evidence was legally and factually insufficient to support the jury's finding that the boys were licensees and not trespassers. Id. at 330. The court of appeals disagreed, holding that the City gave its implied permission to use the premises because it failed to fence the area, put up barricades, or post warning signs, even though it knew people often entered the area to remove dirt and knew that four years earlier a child almost drowned in the pond. Id. at 331. Conversely, in Smither v. Texas Utilities Electric Company, the court classified the injured party as a trespasser, rather than a licensee, when the evidence showed that efforts were made to prevent access to the premises. 824 S.W.2d 693, 694-95 (Tex.App.-El Paso 1992, writ dism'd by agt.).

That is not to say that every tolerance of an intrusion will imply an owner's consent to enter the land. Instead, courts have articulated sound principles to determine the conditions under which consent may be inferred from the owner's tolerance of continued trespass. First, consent to enter is not implied unless the owner has actual knowledge that people have been entering the land. Cf. Hall v. Holton, 330 So.2d 81, 83 (Fla.Dist.Ct.App.1976); Gonzalez v. Broussard, 274 S.W.2d 737, 738 (Tex. App.-San Antonio 1954, writ ref'd n.r.e.). And implied consent may only be found when an owner with actual knowledge fails to take reasonable steps to prevent or discourage those persons from entering the land. Compare Zarate, 917 S.W.2d at 331-32 (upholding trial court's finding that plaintiff was a licensee and not a trespasser 673*673 when defendant knew people used land but made no attempt to keep them out) with Longbottom v. Sim-Kar Lighting Fixture Co., 651 A.2d 621, 622-23 (Pa. Commw.Ct.1994) (holding that defendant school conclusively proved it did not consent to people climbing on roof when evidence showed school undertook various measures to prevent access). Finally, an owner need not take steps to evict known trespassers when doing so would be unduly burdensome or futile. See Boydston, 598 N.E.2d at 174 (quoting PROSSER AND KEETON ON THE LAW OF TORTS § 60, at 414: "[T]he mere toleration of continued intrusion where objection or interference would be burdensome or likely to be futile ... is not in itself and without more a manifestation of consent").

In the present case, the summary judgment evidence shows that Mellon knew people were using the garage on nights and weekends for drinking alcohol and sleeping, yet took no action to keep them away. There is some evidence that Mellon impliedly consented to public entry by failing to make any attempt to impede access to the garage or post no trespassing signs when it knew the public was in fact entering the garage and sleeping there. Mellon presented nothing to indicate that it would have been unduly burdensome or futile to attempt to keep the public from the garage, but rather stated only that the problem "wasn't noteworthy of any corrective action being taken." Based on this summary judgment record, I cannot conclude as a matter of law that Holder was a trespasser, rather than a licensee, on Mellon's premises. See Wiley v. National Garages, Inc., 22 Ohio App.3d 57, 488 N.E.2d 915, 923 (Ohio Ct.App.1984) (conferring licensee status on plaintiff who was assaulted after parking in defendant's parking garage on Sunday during "off hours" with owner's implied permission). Nor do I find any support for Justice Enoch's position that a license for the public to enter the garage on foot does not imply a license to enter by car.

When the plaintiff is a licensee, the owner is negligent with respect to the condition of the premises if

a. the condition posed an unreasonable risk of harm;

b. defendant had actual knowledge of the danger;

c. plaintiff did not have actual knowledge of the danger; and

d. defendant failed to exercise ordinary care to protect plaintiff from danger, by both failing to adequately warn plaintiff of the condition and failing to make that condition reasonably safe.

State v. Williams, 940 S.W.2d 583, 584 (Tex.1996) (per curiam opinion denying application for writ of error). Mellon's motion for summary judgment did not address its potential liability if Holder were found to be a licensee, nor do we.

In sum, after properly placing the summary judgment burden on Mellon and resolving all inferences from the facts in Holder's favor, I conclude that fact issues exist as to the foreseeability of the risk of criminal conduct in the garage and Mellon's actual knowledge of that risk. Because the Court concludes otherwise, I respectfully dissent.

[1] Holder sued for loss of consortium as next friend for her minor son.

[2] Holder did not request this Court to review the part of the court of appeals' judgment that was adverse to her. As a result, that portion of the court of appeals' judgment is undisturbed.

[3] This analysis is complementary, not contradictory, to the traditional premises liability categories. Therefore, this opinion should not be construed as supplanting the traditional premises liability analysis as it relates to a plaintiff's status.

[1] See Totten v. More Oakland Residential Housing, Inc., 63 Cal.App.3d 538, 134 Cal. Rptr. 29, 32 (1976).

[2] See, e.g., Carlisle v. J. Weingarten, Inc., 137 Tex. 220, 152 S.W.2d 1073, 1074 (1941); Galveston Oil Co. v. Morton, 70 Tex. 400, 7 S.W. 756, 757-58 (1888).

[3] See, e.g., Carlisle, 152 S.W.2d at 1075.

[4] See, e.g., Texas-Louisiana Power Co. v. Webster, 127 Tex. 126, 91 S.W.2d 302, 306 (1936).

[5] See, e.g., State v. Williams, 940 S.W.2d 583, 584 (Tex.1996); Burton Constr. & Shipbuilding Co. v. Broussard, 154 Tex. 50, 273 S.W.2d 598, 603 (1954).

[6] 690 S.W.2d 546 (Tex.1985).

[7] See 675 S.W.2d 585, 587 (Tex.App.-Dallas 1984), rev'd, 690 S.W.2d 546 (Tex.1985).

[8] Nixon, 690 S.W.2d at 549 (emphasis added).

[9] Nixon v. Mr. Property Management Co., Inc., 675 S.W.2d 585, 586 (Tex.App.-Dallas 1984).

[10] Id.

[11] 5 S.W.3d at 672 (O'Neill, J., dissenting).

[12] See id. at 672.

[13] See id. at 672 (citing two Texas court of appeals cases that found that boys who swam frequently on property owned by governmental units were "gratuitous licensees" because the governmental units knew that boys were using the property for that purpose and took no steps to prevent it).

[14] See id.

[15] RESTATEMENT (SECOND) OF TORTS § 197(1) (1965).

[16] RESTATEMENT (SECOND) OF TORTS § 345(1).

[1] Although disclaiming an intent to supplant the traditional premises liability classifications, the plurality does just that by analyzing the case as one involving a negligent activity, as in Palsgraf, rather than a premises defect. Such an approach comes dangerously close to imposing a general negligence duty on landowners for premises defects. Far from espousing the dissent's position in Palsgraf, as the plurality charges, I follow well-established precedent that defines the duty of a landowner in the premises liability context.

[2] Substantial authority supports consideration of the nature and character of the premises as a factor in the foreseeability analysis. See Kendrick v. Allright Parking, 846 S.W.2d 453, 458 (Tex.App.-San Antonio 1992, writ denied) (recognizing the distinction between premises that are prone to attract criminal activity and those that are not); Castillo v. Sears, Roebuck & Co., 663 S.W.2d 60, 66 (Tex.App.-San Antonio 1983, writ ref'd n.r.e.) (recognizing that to leave a washateria open and unattended all night may impose a duty on the business to provide some sort of security, a duty that may not apply to a department store in a mall with employees present); see also Isaacs v. Huntington Mem'l Hosp., 38 Cal.3d 112, 211 Cal.Rptr. 356, 695 P.2d 653, 661 (1985) (stating that the "nature, condition and location of the defendant's premises" should be considered in the duty analysis); W. PAGE KEETON ET AL., PROSSER AND KEETON ON THE LAW OF TORTS § 33, at 201 (5th ed.1984) (stating that the defendant has a heightened duty to protect the plaintiff from third party crimes when "an especial temptation and opportunity for criminal misconduct" exists); RESTATEMENT (SECOND) OF TORTS § 344 cmt. f (1965) (stating that "[i]f the place or character of [a] business ... is such that [the landowner] should reasonably anticipate careless or criminal conduct on the part of third persons," the landowner may have a duty to guard against it); id. § 302B, cmt. e, subcmt. G (1965) (noting that, when the defendant's property affords "a peculiar temptation or opportunity for intentional interference likely to cause harm," the defendant is required to guard against the intentional, or even criminal, conduct of others).

[3] In 1968, the Supreme Court of California abolished the traditional classifications and declared the ordinary negligence principles of foreseeable risk and reasonable care to be the standard for premises liability in California. See Rowland v. Christian, 69 Cal.2d 108, 70 Cal.Rptr. 97, 443 P.2d 561 (1968), superseded in part by statute as explained in Calvillo-Silva v. Home Grocery, 19 Cal.4th 714, 80 Cal.Rptr.2d 506, 968 P.2d 65, 71-72 (1998). Courts in a number of jurisdictions later followed California in abandoning all classifications, including that of trespasser. See, e.g., Webb v. City and Borough of Sitka, 561 P.2d 731, 732-33 (Alaska 1977), superseded in part by statute as explained in Alaska v. Shanti, 835 P.2d 1225, 1227 (Alaska 1992); Mile High Fence Co. v. Radovich, 175 Colo. 537, 489 P.2d 308, 311-15 (1971), superseded by statute as explained in Lakeview Assoc., Ltd. v. Maes, 907 P.2d 580, 582-83 (Colo.1995); Smith v. Arbaugh's Restaurant, Inc., 469 F.2d 97, 100 (D.C.Cir.1972), cert. denied, 412 U.S. 939, 93 S.Ct. 2774, 37 L.Ed.2d 399 (1973); Pickard v. City & County of Honolulu, 51 Haw. 134, 452 P.2d 445, 446 (1969); Keller v. Mols, 129 Ill.App.3d 208, 84 Ill.Dec. 411, 472 N.E.2d 161, 163 (Ill.1984) (abolishing distinctions only with regard to child entrants); Cates v. Beauregard Elec. Coop., Inc., 328 So.2d 367, 370-71 (La.1976), cert. denied, 429 U.S. 833, 97 S.Ct. 97, 50 L.Ed.2d 98 (1976); Limberhand v. Big Ditch Co., 218 Mont. 132, 706 P.2d 491, 496 (1985) (construing statute to require duty of ordinary care to all); Moody v. Manny's Auto Repair, 110 Nev. 320, 871 P.2d 935, 942-43 (1994); Ouellette v. Blanchard, 116 N.H. 552, 364 A.2d 631, 633-34 (1976); Basso v. Miller, 40 N.Y.2d 233, 386 N.Y.S.2d 564, 352 N.E.2d 868, 871-72 (1976); Mariorenzi v. Joseph DiPonte, Inc., 114 R.I. 294, 333 A.2d 127, 130-33 (1975) (but see Tantimonico v. Allendale Mut. Ins. Co., 637 A.2d 1056, 1062 (R.I.1994) (restoring trespasser status)).

[4] By 1996, twenty-three jurisdictions had abolished some or all of the premises liability categories. See Heins v. Webster County, 250 Neb. 750, 552 N.W.2d 51, 54-55 (1996) (providing comprehensive analysis of how other jurisdictions have dealt with question of whether to abrogate traditional classifications). However, fourteen jurisdictions had expressly retained the categories, and another fourteen had continued to apply the common-law classifications without specifically addressing their continued validity. See id. at 55.

[5] At least fifteen jurisdictions have repudiated the licensee-invitee distinction while maintaining the limited-duty rule for trespassers. See Nelson v. Freeland, 349 N.C. 615, 507 S.E.2d 882, 886-87 (1998) (abolishing licensee-invitee distinction but maintaining categories and citing the following cases as doing the same: Wood v. Camp, 284 So.2d 691 (Fla.1973); Jones v. Hansen, 254 Kan. 499, 867 P.2d 303 (1994); Poulin v. Colby College, 402 A.2d 846 (Me.1979); Baltimore Gas & Elec. Co. v. Flippo, 348 Md. 680, 705 A.2d 1144 (1998); Mounsey v. Ellard, 363 Mass. 693, 297 N.E.2d 43 (1973); Peterson v. Balach, 294 Minn. 161, 199 N.W.2d 639 (1972); Heins, 250 Neb. 750, 552 N.W.2d 51; Ford v. Bd. of County Comm'rs, 118 N.M. 134, 879 P.2d 766 (1994); O'Leary v. Coenen, 251 N.W.2d 746 (N.D.1977); Ragnone v. Portland Sch. Dist. No. 1J, 291 Or. 617, 633 P.2d 1287 (1981); Tantimonico v. Allendale Mut. Ins. Co., 637 A.2d 1056 (R.I.1994); Hudson v. Gaitan, 675 S.W.2d 699 (Tenn.1984); Antoniewicz v. Reszcynski, 70 Wis.2d 836, 236 N.W.2d 1 (1975); Clarke v. Beckwith, 858 P.2d 293 (Wyo.1993)). Six others have modified the common-law categories without abolishing them outright. Missouri and Kentucky, for example, recognize a duty of care to all entrants equal to that owed to invitees once the landowner is aware of the entrant's presence. See Heins, 552 N.W.2d at 54-55. Connecticut passed legislation modifying the common law status of a social guest from licensee to invitee. Id. at 55. Illinois eliminated the classifications by statute in 1984. Id. at 55 Indiana and Maine judicially altered the status of social guest from licensee to invitee. Id.

4.2.1.2.2 Price v. E.I. DuPont de Nemours & Co. ("The Take-Home Asbestos Case") 4.2.1.2.2 Price v. E.I. DuPont de Nemours & Co. ("The Take-Home Asbestos Case")

What is the distinction between misfeasance and nonfeasance and how does it play into determining the question of duty?

26 A.3d 162 (2011)

Patricia PRICE and Bobby Price, her husband, Plaintiffs Below, Appellants,
v.
E.I. DuPONT DE NEMOURS & COMPANY, Defendant Below, Appellee.

No. 719, 2009.

Supreme Court of Delaware.

Submitted: May 4, 2011.
Decided: July 11, 2011.

163*163 Thomas C. Crumplar (argued) and Jordan J. Ponzo, Jacobs & Crumplar, P.A., Wilmington, Delaware for appellants.

John C. Phillips, Jr., Goldman & Spence, P.A., Wilmington, Delaware for appellee.

Before STEELE, Chief Justice, HOLLAND, BERGER, JACOBS, Justices and KUHN, Chief Judge[*] constituting the court en banc.

STEELE, Chief Justice for the Majority:

Patricia Price appeals from a Superior Court order denying her Motion to Amend her household asbestos exposure complaint as futile. Because the allegations in Price's amended complaint amount to a claim against DuPont for nonfeasance, and the complaint does not allege any "special relationship" between Price and DuPont, her proposed amendments, if allowed, would be futile. Therefore, we affirm.

 

I. FACTS AND PROCEDURAL HISTORY

 

Bobby Price worked as a maintenance technician for E.I. du Pont de Nemours & Co. at its Chestnut Run facility from 1957 until 1991. During his employment, Mr. Price worked with and around products containing asbestos. Allegedly, Mr. Price transported asbestos fibers home on his clothing, vehicle, and skin. Patricia Price, his wife, alleges that years of living with her husband, and handling and washing his work clothes, exposed her to the fibers. Mrs. Price now suffers from bilateral interstitial fibrosis and bilateral pleural thickening of the lungs. These maladies, it is claimed, present directly from her exposure to the asbestos dust and fibers her husband brought home from work.

On June 8, 2009, Mrs. Price[1] filed a complaint against DuPont and several other parties. The Household Exposure section of her original complaint relevantly alleges:

11. Plaintiff PATRICIA PRICE suffered household exposure as a result of a release of toxic asbestos fiber by defendant 164*164 E.I. DuPont De Nemours & Co., Inc.
12. Plaintiff PATRICIA PRICE suffered household exposure in the course of living with her husband. From April 1957 through 1991 her husband worked with and around asbestos and asbestos containing products at the DuPont Chestnut Run plant. The asbestos fibers were then released into the family home on his clothes and his person where PATRICIA PRICE was a resident. As a result, Plaintiff PATRICIA PRICE was repeatedly exposed to, inhaled, ingested, and otherwise absorbed asbestos fibers released from the DuPont Chestnut Run plant, where her husband was employed.
13. In addition to exposure that occurred as a result of asbestos fibers brought home and being deposited in the house from the clothes of her husband, Plaintiff PATRICIA PRICE was exposed in the course of handling and washing her husband's asbestos fiber containing dusty work clothes. As a result, Plaintiff PATRICIA PRICE was repeatedly exposed to, inhaled, ingested and otherwise absorbed fibers released from the DuPont Chestnut Run plant where her husband was employed.
14. Plaintiff PATRICIA PRICE's husband was a maintenance technician at the DuPont Chestnut Run plant and worked with and around asbestos and asbestos containing products.
15. Plaintiff Bobby Price unsafely worked, with and around asbestos and asbestos containing products at E.I. DuPont De Nemours Co & Inc. This covered his work clothes and person which he brought into the household, causing exposure to Plaintiff PATRICIA PRICE. Plaintiff PATRICIA PRICE laundered BOBBY PRICE's clothing which also caused asbestos exposure to Plaintiff PATRICIA PRICE.
16. Plaintiff's [sic] allege that Defendant E.I. DuPont De Nemours Co. & Inc., committed active, affirmative misconduct by wrongfully releasing asbestos from its plant and exposing Plaintiff PATRICIA PRICE, a reasonably foreseeable victim to it's [sic] toxic asbestos fibers.

On July 9, 2009, in light of this Court's decision in Riedel v. ICI Americas Inc.,[2] Price filed a Motion to Amend her complaint. Specifically, Price sought to change the text of paragraphs 11, 12, 15, and 16 to allege misfeasance, as follows:

11. Plaintiff PATRICIA PRICE was exposed within her home as [a] result of the release by E.I. DuPont & Company of toxic asbestos fibers within the Chestnut Run Facility and outside the Chestnut Run Facility. This release was done negligently, willfully, wantonly, and intentionally as a result of the DuPont Company's understanding of the dangers of asbestos when released within and without their [sic] facility. These releases were the direct result of positive actions and knowing actions of the DuPont Company.
12. PLAINTIFF PATRICIA PRICE suffered home exposure in the course of living with her husband from April 1957 through the year 1991. Her husband worked at the DuPont Chestnut Run Facility and by being on the facility and being off the facility around its perimeter was exposed to asbestos fibers released from the materials ordered by the DuPont Company and under whose direction the materials [were] either installed or removed. These actions by the DuPont Company released asbestos 165*165 fibers. The asbestos fibers that were within the facility settled on all equipment, walkways, vehicles and persons who were within the facility during these years and escaped beyond the borders of said facility due to the natural pollution of the surrounding areas by water, wind and similar means of transportation. As a result of DuPont's direct negligent, willful and/or wanton or intentional conduct in the manner and mode of its ordered use of asbestos materials, asbestos fibers were released into the air. The fibers settled on PLAINTIFF BOBBY PRICE, on his private vehicle and onto the vehicles of his co-workers and both within the facility and beyond the borders of said facility. The asbestos fibers were transported by PLAINTIFF BOBBY PRICE and his vehicle and clothing to its final destination, his home. As a result of this transport, the asbestos was deposited within the home both from his vehicle and from his clothes and distributed through a laundry facility and home by PLAINTIFF BOBBY PRICE to his wife, PLATINTIFF PATRICIA PRICE. PLAINTIFF BOBBY PRICE did not understand that these fibers were on his vehicle and clothing and would cause PLAINTIFF PATRICIA PRICE to be repeatedly exposed to the asbestos fibers in her own home. Nor that PLAINTIFF PATRICIA PRICE would inhale, ingest and absorb said asbestos fibers. These fibers emanated from the DuPont Chestnut Run Facility only as a result of the intentional, negligent and/or willful and wanton method that the DuPont Company required its employees and/or employees of its contractors to handle the materials releasing the fibers into the air both within the facility's and the outside of the facility borders. Defendant DuPont knew or should have known that the times that said asbestos containing products were being utilized within its own plant, by its own employees and/or others, that they were friable and prone to release asbestos fibers within the air and contaminate the facility and the areas surrounding the facility. DuPont knew or should have known that the asbestos fibers would be transported by any vehicle or by the air beyond the facility and, thus, causing [sic] a pollution of the Plaintiff's home resulting in the disease complained of by PLAINTIFF PATRICIA PRICE.
...
15. PLAINTIFF BOBBY PRICE, as a direct result of the DuPont Company's directives and instructions, unsafely worked with asbestos products or around asbestos products which the DuPont Company, knew or should have known, would be deposited on his work clothes at the E.I. DuPont Nemours Facility and in the streets and areas surrounding said facility without ordering a containment of the polluting asbestos. Thus the asbestos escaped from the facility and was carried beyond the plant to PLAINTIFFS home. DuPont knew or should have known persons within PLAINTIFF BOBBY PRICES home would be exposed and contaminated by the asbestos fibers and, at clear risk to contract the diseases caused by asbestos. It was foreseeable that its employees' families including the employee's wife and children would handle the clothing and/or be within the vehicle which would have been contaminated with asbestos both within the facility and from asbestos fibers transported. This intentional, negligent, willful and/or wanton acts [sic] that were transported by air, water or other means to areas around DuPont's facility.
166*166 16. Plaintiffs allege that E.I. DuPont de Nemours' conduct was affirmative, active misconduct because it was only through the direct orders and desires of the DuPont Company that the fibers were released within its plant and not contained within its plant and escaped beyond the plant to pollute not only the surrounding area beyond the plant and everything within the facility, but be [sic] foreseeably transported to the homes and businesses of Plaintiff and the invitees of the DuPont Company.

On July 21, 2009, DuPont filed an opposition to Price's Motion to Amend on the basis that the proposed amendments, even if allowed, would fail to state a claim for misfeasance and, therefore, be legally futile. DuPont contended that as a matter of substance the amended complaint alleges nonfeasance—not misfeasance. In order to recover for nonfeasance, a plaintiff must specifically allege a "special relationship" between herself and the defendant. Having not alleged any "special relationship" in this case, DuPont argues, Price's amendments are futile because they fail to state a claim as a matter of law.

The parties argued their positions on the Motion to Amend on August 20, 2009 before a Special Master. On August 25, the Special Master issued a written ruling, finding the motion to be futile. Price filed an Exception to the Special Master's report on September 1, 2009. On November 20, 2009, a Superior Court judge affirmed and embodied the Special Master's judgment in a Memorandum Opinion and Order. On January 7, 2010, a Superior Court order certified the November 20 Memorandum Opinion and Order for interlocutory appeal. On January 8, 2010, Price appealed from that judgment.

 

II. STANDARD OF REVIEW

 

A motion for leave to amend a complaint is futile where the amended complaint would be subject to dismissal under Rule 12(b)(6) for failure to state a claim.[3] We review the grant of a Rule 12(b)(6) motion to dismiss de novo to "determine whether the trial judge erred as a matter of law in formulating or applying legal precepts."[4] In that context, we view the complaint in the light most favorable to the non-moving party, accepting as true all well pleaded allegations and drawing reasonable inferences that logically flow from them.[5] We decline, however, to accept conclusory allegations unsupported by specific facts or to draw unreasonable inferences in favor of the non-moving party.[6]

 

III. ANALYSIS

 

To prevail on a negligence claim, a plaintiff must prove that: a defendant owed her a duty of care, the respondent breached that duty, and the breach proximately caused an injury.[7] Whether a duty exists is a question of law for this Court.[8] To determine whether one party owed another a duty of care, we have often looked to the Restatement (Second) of Torts for 167*167 guidance.[9] According to the Restatement, negligent conduct involves either (1) "an act which the actor as a reasonable man should recognize as involving an unreasonable risk of causing an invasion of an interest of another," (commonly described as misfeasance), or (2) "a failure to do an act which is necessary for the protection or assistance of another and which the actor is under a duty to do" (commonly described as nonfeasance).[10]

In the case of misfeasance, the party who "does an affirmative act" owes a general duty to others "to exercise the care of a reasonable man to protect them against an unreasonable risk of harm to them arising out of the [affirmative] act."[11] But, in the case of nonfeasance, the party who "merely omits to act" owes no general duty to others unless "there is a special relation between the actor and the other which gives rise to the duty."[12] Therefore, in a case involving misfeasance, the defendant's duty is automatic, whereas in a case involving nonfeasance, the defendant's duty arises only if there is a legally significant "special relationship" between the parties.

The underlying facts of this case are essentially the same as those underlying Riedel v. ICI Americas Inc., which we decided several years ago. In that case, Mr. Riedel worked at a facility where his employer, ICI, used asbestos in a variety of settings. ICI never supplied uniforms, locker rooms, or laundry facilities to employees. Mr. Riedel wore his work clothes home, and Mrs. Riedel regularly washed the work clothes which, she alleged, "often appeared to be covered with an unknown dusty material."[13] After decades of washing Mr. Riedel's work clothes, Mrs. Riedel developed asbestosis.[14] She filed a complaint against ICI alleging negligence. ICI moved for summary judgment, and the trial judge granted summary judgment to ICI on the basis that Mrs. Riedel had claimed nonfeasance by ICI and that she had failed to prove any "special relationship" between herself and ICI.[15]

Mrs. Riedel appealed from the Superior Court's judgment, which we ultimately affirmed. In our opinion, we explained how, at trial, Mrs. Riedel presented only a theory of nonfeasance—not misfeasance.[16] 168*168 Moreover, as we explained, on appeal, Mrs. Riedel presented a theory of misfeasance by attempting to recharacterize her claim without alleging any new facts.[17]

The legal issue presented in Riedel was whether ICI committed misfeasance affecting Mrs. Riedel. As a technical procedural matter, we did not decide the substantive issue directly, but rather affirmed the judgment pursuant to Supreme Court Rule 8 because Mrs. Riedel attempted to present arguments on appeal that she had never presented to the trial judge.[18] In so doing, we acknowledged that she was attempting to present the same facts and call them misfeasance, but we declined to decide whether that characterization was indeed possible. Despite declining to decide that issue, however, we clearly articulated that the underlying facts did support a claim for nonfeasance and that her Complaint alleged only nonfeasance.[19] For example, in the opinion, we wrote:

At trial, Mrs. Riedel characterized ICI's alleged negligence as a failure either to prevent Mr. Riedel from taking asbestos home or to warn the Riedels of the dangers associated with Mr. Riedel wearing his work clothes home from the workplace. That is, to the trial judge Mrs. Riedel presented a theory of nonfeasance.[20]

To reiterate, although, in Riedel, we did not decide whether the facts underlying Mrs. Riedel's claim could support a misfeasance claim in addition to a nonfeasance claim, we did explain unequivocally that the facts underlying Mrs. Riedel's claim constituted nonfeasance.[21]

In this case, the issue and the underlying facts are identical to those presented in Riedel. The legal issue here is whether DuPont committed misfeasance affecting Mrs. Price. The conduct Mrs. Price complains of here is indistinguishable from the conduct about which Mrs. Riedel complained. It constitutes nonfeasance, and because nonfeasance and misfeasance describe substantively different conduct, nonfeasance cannot constitute misfeasance. Although Price's desired amendment attempts to recast DuPont's conduct as affirmative misfeasance, legal characterizations cannot change the nature of the underlying conduct.

169*169 Here, Mrs. Price's allegations, stripped of all reformatory recharacterization, are that: (1) Mr. Price, an employee of DuPont, worked with and around products containing asbestos for 34 years, (2) asbestos fibers settled on his skin, clothing, and vehicle, (3) DuPont did not provide locker rooms, uniforms, or warnings to the Prices regarding the dangers of asbestos, (4) DuPont did not prevent Mr. Price from transporting the asbestos fibers home on his skin, clothing, and vehicle, and (5) Mrs. Price, because she lived with Mr. Price and washed his clothes, developed several diseases from her exposure to the asbestos he brought home from work. These allegations generate a reasonable inference that DuPont wrongfully (negligently) failed either to prevent Mr. Price from taking asbestos home or to warn the Prices of the dangers associated with Mr. Price wearing his work clothes home. That, according to our Riedel opinion, is pure nonfeasance— nothing more.[22]

Although Price recasts her amended complaint in an effort to allege misfeasance, the amendment is predicated on exactly the same underlying facts earlier claimed to be nonfeasance. Dupont's failures to prevent Mr. Price from taking asbestos fibers home or to warn the Prices about the dangers of asbestos do not rise to the level of affirmative misconduct required to allege a claim of misfeasance. No amount of semantics can turn nonfeasance into misfeasance or vice versa.[23]

Having alleged only nonfeasance, to recover against DuPont, Price must allege that a "special relationship" existed between her and DuPont in order for DuPont to owe her a duty of care.[24] The relationship between Mrs. Price and DuPont does not fit any of the Restatement's recognized "special relationships" giving rise to a duty to aid or protect.[25] In Riedel, we determined that Mrs. Riedel had no "special relationship" with ICI even though she claimed that her status as the spouse of a long term ICI employee, ICI's provision of health benefits to her, and ICI's publication of a brochure with home safety advice for employees' families, were sufficient bases on which to find a "special relationship."[26]

Similarly, Mrs. Price has not alleged any "special relationship" in her original complaint 170*170 or proposed amended complaint, nor has she pleaded any facts that inferentially give rise to a "special relationship." Before us, Price argues that she had a "special relationship" with DuPont because her husband worked for DuPont for over thirty years, DuPont provided health insurance to her as Mr. Price's spouse, and DuPont sponsored company picnics and participated in programs promoting a family friendly workplace. These arguments are no different than from those Mrs. Riedel argued. Indeed, Mrs. Price stands in relation to DuPont almost squarely as Mrs. Riedel stood in relation to ICI. Because Mrs. Price and DuPont did not share a "special relationship," DuPont owed Price no legal duty.

 

IV. CONCLUSION

 

DuPont's failure to prevent Mr. Price from transporting asbestos fibers home on his clothing and vehicle and failure to warn the Prices about the dangers of asbestos constitute nonfeasance. Attempts to recharacterize that underlying conduct as misfeasance cannot change the nature of the conduct, which is what determines the nature of the duty (if any). In cases of nonfeasance, no duty of care exists between the parties unless a "special relationship" between them gives rise to one. Because Mrs. Price and DuPont shared no "special relationship," DuPont owed Mrs. Price no duty. Therefore, the trial judge correctly denied Price's Motion to Amend her complaint on grounds of futility. The judgment of the Superior Court is affirmed.

BERGER, Justice, dissenting, with KUHN, Chief Judge, joining:

The majority begins with a brief statement of the difference between misfeasance and nonfeasance. Then, it demonstrates that the facts alleged in this case are the same as the facts alleged in Riedel. Finally, because Riedel characterized her claim as one for nonfeasance, the majority concludes that Price's factually identical claim is one for nonfeasance. The problem with the majority's opinion is that Riedel never considered whether the allegations stated a claim for nonfeasance or misfeasance. Without any "reformatory recharacterization" by the parties or the Court, the facts alleged by Price and Riedel constitute misfeasance. Accordingly, Price should be allowed to pursue her claim.

 

Riedel Did Not Analyze Misfeasance vs. Nonfeasance

 

The Riedel Court never decided whether Riedel's claim was properly characterized as nonfeasance. Riedel had proceeded on a theory of nonfeasance in the trial court. Consistent with that theory, she alleged, for example, that ICI failed to warn about the danger of taking asbestos home on one's clothing. Riedel attempted to recharacterize her claim on appeal, arguing that it was a claim of misfeasance. This Court rejected that effort, not because the facts would not support a claim of misfeasance, but because Riedel never raised the issue in the trial court:

Because Mrs. Riedel presented a theory of negligence grounded in nonfeasance to the trial judge and did not fairly present a claim of misfeasance, she is precluded from arguing on appeal that the trial judge erred by analyzing ICI's summary judgment motion in terms of nonfeasance.[27]

Considering the claim to be one of nonfeasance, this Court addressed only the "alternative 171*171 argument that [Riedel] and ICI shared a legally significant relationship."[28]

The majority transforms Riedel's adherence and citation to "the well settled rule which precludes a party from attacking a judgment on a theory which was not advanced in the court below,"[29] into a decision on the very issue Riedel did not consider—whether a so-called "take home" asbestos claim is properly characterized as a claim of misfeasance or nonfeasance.

 

The Factual Allegations State a Claim of Misfeasance

 

Misfeasance is "an act which the actor as a reasonable man should recognize as involving an unreasonable risk of causing an invasion of an interest of another."[30] Nonfeasance is "a failure to do an act which is necessary for the protection or assistance of another and which the actor is under a duty to do."[31] To decide whether a claim should be analyzed as misfeasance or nonfeasance, the Court must focus on the "the negligent character of the actor's conduct" by determining whether the defendant is one "who does an affirmative act" or "one who merely omits to act."[32] The treatise, Prosser & Keeton on the Law of Torts, explains, "by `misfeasance' the defendant has created a new risk of harm to the plaintiff, while by `nonfeasance' he has at least made his situation no worse, and has merely failed to benefit him by interfering in his affairs."[33]

A classic example of conduct properly analyzed as nonfeasance arises when a passerby sees someone drowning but does nothing to aid the victim.[34] Absent a special relationship, the law generally would not impose a duty on the passerby because he did not create a new risk of harm to the swimmer.[35] Instead, the swimmer fell "into peril through no conduct of the actor."[36] The passerby merely failed to act; he made the swimmer's situation no worse.

DuPont's conduct is properly analyzed as misfeasance because, unlike the passerby, DuPont performed an "affirmative act" that "created a new risk of harm." DuPont's affirmative act was the release of asbestos in the workplace. The majority appears to agree that DuPont's conduct, in relation to an employee exposed to asbestos at the work site, must be analyzed as misfeasance. One could not argue that the employee came into peril through no conduct of DuPont, or that DuPont "made [the employee's] situation no worse."[37] Rather, DuPont created the risk of harm by releasing asbestos.

The majority is emphatic that, "legal characterizations cannot change the nature of the underlying conduct." Thus, the majority would have to agree that, as to Mr. Price, DuPont's misfeasance is not transformed into nonfeasance by focusing, for example, on DuPont's failure to provide Mr. Price a breathing mask. Regardless of the remedial steps Dupont might have 172*172 taken, the fact remains that Dupont's release of asbestos into the workplace caused harm to Mr. Price.

The same analysis should apply to Mrs. Price's claim. DuPont's conduct has not changed. The company still "created" the risk of harm by releasing the asbestos. No one could contend that Mrs. Price came "into peril through no conduct of" DuPont. There is a difference, however, between Mr. Price's exposure at the workplace and Mrs. Price's exposure at home. Dupont's release of asbestos in the workplace harmed Mr. Price directly, without any act by another. Dupont harmed Mrs. Price only because Mr. Price unknowingly brought the asbestos home with him. But that difference has no bearing on whether Dupont acted or failed to act. Rather, it bears on the separate question of whether it was foreseeable that Dupont's conduct would harm Mrs. Price.[38]

Other jurisdictions that have addressed whether "take home" asbestos claims constitute misfeasance or nonfeasance have found them to constitute misfeasance. In Rochon v. Saberhagen Holdings, Inc., the Washington Court of Appeals looked to the Restatement (Second) and held that conduct essentially identical to Dupont's had the character of "affirmative acts" and thus must be analyzed as misfeasance, not nonfeasance: "Here, it is Kimberly-Clark's own affirmative acts—operating its own factory in an unsafe manner—that allegedly caused Mrs. Rochon's illness, not either a failure to act or the act of a third."[39] The Tennessee Supreme Court reached the same conclusion in Satterfield v. Breeding Insulation Co.[40]

There is a split of authority in other jurisdictions, but those decisions do not address the misfeasance/nonfeasance issue. Rather, they discuss foreseeability and policy. For example, in Olivo v. Owens-Ill., Inc., the New Jersey Supreme Court held that, "to the extent Exxon Mobil owed a duty to workers on its premises for the foreseeable risk of exposure to friable asbestos and asbestos dust, similarly, Exxon Mobil owed a duty to spouses handling the workers' unprotected work clothing based on the foreseeable risk of exposure from asbestos borne home on contaminated clothing."[41] Those courts that reject similar claims do so based on public policy considerations and/or distinguishable facts.[42] It does not appear that any court has rejected a "take home" asbestos claim by characterizing it as nonfeasance.

The majority focuses on DuPont's admitted omissions—its failure to warn, and, generally, its failure to prevent Mr. Price from taking home asbestos—in concluding that DuPont's conduct is "pure nonfeasance 173*173 and nothing more." But, the fact that Dupont's conduct included omissions does not necessarily equate to nonfeasance. The Restatement warns against such analysis by explaining that the Court should focus on the character of Dupont's conduct.[43] That is, the Court must determine whether DuPont is one "who does an affirmative act" or "one who merely omits to act"[44] and, similarly, whether Dupont's conduct created the peril.[45] As explained above, regardless of anything Dupont may have failed to do, we know, for present purposes, that it released asbestos into the workplace and that the asbestos caused harm to Mrs. Price. Dupont created the peril as to both Mr. and Mrs. Price. Neither would be suffering asbestos-related disease if not for Dupont's wrongful act.

In sum, this is not a matter of semantics. It is about applying the proper test to determine whether the conduct is misfeasance or nonfeasance, regardless of how the conduct is characterized. The analytical framework provided in the Restatement requires a finding of misfeasance.[46]

 

To Prevail on a Misfeasance Claim the Harm must be Foreseeable

 

Misfeasance is "an act which the actor as a reasonable man should recognize as involving an unreasonable risk of causing an invasion of an interest of another."[47] One "who does an affirmative act is under a duty to others to exercise the care of a reasonable man to protect them against an unreasonable risk of harm to them arising out of the act."[48] Thus, even when a defendant is one "who does an affirmative act" instead of "one who merely omits to act," a duty is not imposed on the defendant unless, in summary, the defendant should have reasonably recognized that his affirmative act would harm another.

Consistent with the Restatement, Delaware tort law uses foreseeability to determine whether one person owes a duty to another.[49] Thus, whether the law will impose a duty on DuPont will turn on whether the harm to Mrs. Price was foreseeable—whether DuPont should have recognized that its release of asbestos created an "unreasonable risk of [invading]" Mrs. Price's interests.[50] Mrs. Price's proposed amended complaint alleges that: (1) Mr. Price worked at DuPont; (2) DuPont knew or should have known asbestos was dangerous to human health; (3) DuPont knew or should have known asbestos had a tendency to release fibers that would be transported to its employees' homes; (4) DuPont exposed Mr. Price to asbestos despite that knowledge; and (5) it thereby knowingly and wrongfully exposed Mrs. Price to asbestos, which made her ill. Assuming those allegations to be true, the injury to Mrs. Price was foreseeable.

Based on the foregoing, the trial court's decision should be reversed.

[*] Sitting by designation pursuant to Del. Const. Art. IV § 12.

[1] The Prices filed the Complaint as co-plaintiffs, but Mr. Price's only claim is for loss of consortium, the existence of which is predicated on Mrs. Price having a valid claim for relief. Therefore, from this point on, we refer solely to Mrs. Price as the Plaintiff.

[2] 968 A.2d 17 (Del.2009).

[3] See FS Parallel Fund, L.P. v. Ergen, 2005 WL 1950199, at *2 (Del.2005) (ORDER) (referring to the operation of Court of Chancery Rule 12(b)(6), which is identical to Superior Court Rule 12(b)(6)).

[4] Clinton v. Enterprise Rent-A-Car Co., 977 A.2d 892, 895 (Del.2009) (quoting Feldman v. Cutaia, 951 A.2d 727, 730-31 (Del.2008)).

[5] Id.

[6] Id.

[7] Riedel v. ICI Americas Inc., 968 A.2d 17, 20 (Del.2009) (citing New Haverford P'ship v. Stroot, 772 A.2d 792, 798 (Del.2001)).

[8] Id. (citing Naidu v. Laird, 539 A.2d 1064, 1070 (Del. 1988)).

[9] Id. (citing Furek v. Univ. of Delaware, 594 A.2d 506, 520 (Del.1991)). In Riedel, we declined to adopt the proposed Restatement (Third) of Torts provisions relevant to these facts.

[10] Id. at 22 (quoting RESTATEMENT (SECOND) OF TORTS § 284 (1965)).

[11] Id. (quoting RESTATEMENT (SECOND) OF TORTS § 302 cmt. a).

[12] Id. (quoting RESTATEMENT (SECOND) OF TORTS § 302 cmt. a).

[13] Id. at 19.

[14] Id.

[15] Id. at 23 ("Although the trial judge did not explicitly address whether Mrs. Riedel alleged misfeasance or nonfeasance, he considered Mrs. Riedel's claim in a manner consistent with the (Second) Restatement's analysis of nonfeasance.").

[16] Id. at 25 ("[W]e are not persuaded by Mrs. Riedel's assertion that she pled misfeasance in Count II of her complaint. Referring to ICI, Count II states: `Her husband's employers controlled the safety and working conditions and/or promoted the use of asbestos, at the sites where the plaintiff's husband worked, including the use, installation, and removal of asbestos and asbestos-containing products.' This allegation merely supports Mrs. Riedel's theory at trial that ICI acted with misfeasance in relation to Mr. Riedel (by exposing him to asbestos) and with nonfeasance in relation to Mrs. Riedel (by failing to control Mr. Riedel[])[.]").

[17] Id. at 23 ("Now, however, she claims that ICI's affirmative release of asbestos into the environment constitutes misfeasance. To us, Mrs. Riedel claims that `[t]here is simply no principled way to distinguish ICI's asbestos release on its employee's clothes with another entity's release of a deadly toxin via another vector such as the air.' She asserts that `ICI did nothing less than actively release asbestos toxins out of its plant and into Mrs. Riedel's home.'").

[18] Id. at 25 ("Because Mrs. Riedel did not fairly present her current theory of misfeasance to the trial judge, Supreme Court Rule 8 precludes her from arguing to us that the trial judge erred by [considering her claim as nonfeasance].").

[19] See supra note 16. See also Riedel, 968 A.2d at 23 ("Although the trial judge did not explicitly address whether Mrs. Riedel alleged misfeasance or nonfeasance, he considered Mrs. Riedel's claim in a manner consistent with the (Second) Restatement's analysis of nonfeasance.... [O]ur review of the record leads us to agree with the trial judge's conclusion.").

[20] Id. at 23.

[21] The dissent maintains that "[t]he Riedel Court never decided whether Riedel's claim was properly characterized as nonfeasance." We disagree. The Riedel court made clear that her claim did indeed constitute nonfeasance. The only issue the Riedel court never decided was whether her claim could also constitute misfeasance by using alternative pleading semantics. Consequently, any decision that characterizes those same underlying facts as only misfeasance, but not nonfeasance—as the dissent does—we believe to be inconsistent with our Riedel opinion.

[22] Id.

[23] Shakespeare explained, "What's in a name? [T]hat which we call a rose/By any other name would smell as sweet...." ROMEO AND JULIET act 2, sc. 2. So, too, it is with nonfeasance, which no complainant can transform into misfeasance merely by using different descriptors.

[24] RESTATEMENT (SECOND) TORTS § 302 cmt. a ("The duties of one who merely omits to act... in general are confined to situations where there is a special relation between the actor and the other which gives rise to the duty.").

[25] See RESTATEMENT § 314A (listing common carriers with respect to their passengers, innkeepers with respect to their guests, possessors of land who hold it open to the public with respect to the entering public, and people who take custody of others, whether by law or voluntarily, with respect to those over whom they assume custody, as "special relations" giving rise to a duty to aid or protect). See also RESTATEMENT § 314 cmt. a (explaining other "special relationships" including when an actor has control of a third person or of land or chattels that gives rise to a duty to exercise that control, when an actor's prior conduct created a situation of peril to another party and gave rise to a duty to prevent harm to that other party, and when an actor has committed himself to the performance of an undertaking and therefore accepts a duty of reasonable care for the protection of another party in the conduct of that undertaking).

[26] Riedel, 968 A.2d at 26-27 ("The trial judge concluded that Mrs. Riedel and ICI are `legal strangers in the context of negligence.' We agree.") (quoting In re Asbestos Litig., 2007 WL 4571196, at *12 (Del.Super.2007)).

[27] Riedel v. ICI Americas Inc., 968 A.2d 17, 19 (Del.2009).

[28] Ibid.

[29] Riedel, 968 A.2d at 25 (quoting Danby v. Osteopathic Hosp. Ass'n of Del., 104 A.2d 903, 907-08 (Del. 1954)).

[30] Restatement (Second) of Torts § 284(a) (hereafter Restatement).

[31] Restatement § 284(b).

[32] Restatement § 302 cmt. a.

[33] W. Page Keeton, et al., Prosser and Keeton on the Law of Torts, § 56, at 373 (5th ed.1984) (hereafter, Prosser).

[34] Restatement § 314 cmts. c and e.

[35] Prosser, § 56, at 373.

[36] Restatement § 314 cmt. e.

[37] Prosser, § 56, at 373.

[38] Restatement § 284(a); Sirmans v. Penn, 588 A.2d 1103, 1107 (Del.1991).

[39] 140 Wash.App. 1008, 2007 WL 2325214, at *3 (Wash.Ct.App. Aug. 13, 2007).

[40] 266 S.W.3d 347, 354-360 (Tenn.2008).

[41] 186 N.J. 394, 895 A.2d 1143, 1149 (2006). See also, Condon v. Union Oil Co. of Cal., 2004 WL 1932847, at *5 (Cal.Ct.App. Aug. 31, 2004) ("[I]t was foreseeable that family members who were exposed to this clothing would also be in danger of being exposed."); Chaisson v. Avondale Indus., Inc., 947 So.2d 171, 183-84 (La.Ct.App.2006) (considering various factors including that defendant's acts created a foreseeable risk to the plaintiff).

[42] In re New York City Asbestos Litig., 5 N.Y.3d 486, 806 N.Y.S.2d 146, 840 N.E.2d 115, 119-22 (2005) (finding no duty based on policy considerations, including the potential for limitless liability); In re Certified Question from Fourteenth Dist. Court of Appeals of Texas, 479 Mich. 498, 740 N.W.2d 206, 211-22 (2007) (finding no duty because the social costs would exceed the social benefit); CSX Transp., Inc. v. Williams, 278 Ga. 888, 608 S.E.2d 208, 209-10 (2005) (finding no duty based on policy considerations).

[43] Restatement §§ 302 cmt. a, 314 cmt. e, 284.

[44] Restatement § 302 cmt. a. (emphasis added).

[45] Ibid.

[46] Restatement §§ 302 cmt. a, 314 cmt. e, 284.

[47] Restatement § 284(a).

[48] Restatement § 302 cmt. a.

[49] See, e.g., Sirmans, 588 A.2d at 1107; Delmarva Power & Light Co. v. Burrows, 435 A.2d 716, 719 (Del.1981).

[50] Restatement § 284(a).

4.2.1.2.3 Boynton v. Kennecott Copper ("The Model Opinion Case") 4.2.1.2.3 Boynton v. Kennecott Copper ("The Model Opinion Case")

500 P.3d 847 (2021)
2021 UT 67

Larry BOYNTON, individually and on behalf of the heirs of Barbara Boynton, Appellee/Cross-Appellant,
v.
KENNECOTT UTAH COPPER, LLC,[1] Appellant/Cross-Appellee.

No. 20190259.

Supreme Court of Utah.

Heard November 13, 2020.
Filed November 18, 2021.

On Interlocutory Appeal Third District, Salt Lake The Honorable Randall N. Skanchy, No. 160902693.

Troy L. Booher, Beth E. Kennedy, Dick J. Baldwin, Salt Lake City, and Richard I. Nemeroff, Barrett B. Naman, Park City, for appellee/cross-appellant Larry Boynton.

Rick L. Rose, Kristine M. Larsen, Blake M. Biddulph, Salt Lake City, for appellant/cross-appellee Kennecott Utah Copper, LLC.

Stephen K. Christiansen, Bret W. Reich, Salt Lake City, for cross-appellee PacifiCorp.

Tracy H. Fowler, Stewart O. Peay, Kristen Overton, Salt Lake City, for cross-appellees Phillips 66 Company and ConocoPhillips Company.

Justice Himonas authored the opinion of the Court, in which Chief Justice Durrant, Associate Chief Justice Lee, Justice Pearce, and Justice Petersen joined.

 

851*851 AMENDED OPINION[*]

 

Justice Himonas, opinion of the Court:

 

INTRODUCTION

 

¶1 Larry Boynton was exposed to asbestos while working at several job sites during the 1960s and 1970s. His wife, Barbara Boynton, was later diagnosed with mesothelioma. She died of the disease shortly after her diagnosis. Mr. Boynton sued the job site operators for indirectly exposing his wife to asbestos dust. The district court granted summary judgment to two of the operators on the grounds that they had no duty to prevent "take-home exposure" to asbestos dust. We reverse and take this opportunity to explain why job site operators—"premises operators" in the vernacular of the law—owe a duty of care to a worker's co-habitants with respect to take-home exposure to asbestos. We also hold that one of the premises operators retained control over its contractor, and we take this opportunity to flesh out the retained control exception to the general rule of employer nonliability for the acts of their contractors.

 

BACKGROUND

 

 

I. THE BOYNTONS' EXPOSURE TO ASBESTOS

 

¶2 Barbara and Larry Boynton married in September 1962.[2] During their marriage, Larry worked at numerous job sites where he was exposed to asbestos.

¶3 Larry alleges—and for the purposes of summary judgment and this appeal, we assume —that Barbara was exposed to asbestos dust he carried home from work and that this exposure brought on her mesothelioma and resulting death. More specifically, Larry alleges that he would drive home from work, incidentally leaving asbestos dust in the Boyntons' car. Upon arrival, he would enter the home wearing his work clothes, spreading asbestos dust in the process. Barbara would then launder Larry's clothes, shaking the dust out before washing. Afterwards, she would sweep the laundry room to clean the accumulated asbestos dust. Through this process, Barbara was exposed to asbestos dust in "great quantities." After nearly fifty-four years of marriage, Barbara was diagnosed with malignant mesothelioma on February 4, 2016, and she died from it on February 27, 2016.

 

II. LARRY'S WORK HISTORY

 

¶4 Larry worked at no fewer than six job sites during the 1960s and 1970s. He alleges that the "cutting, chipping, mixing, sanding, sawing, scraping and sweeping ... by [him] and ... around [him] [of] asbestos-containing products exposed him to great quantities of 852*852 asbestos." Three job sites are relevant to this appeal.

¶5 From 1961 to 1964, Larry worked as a laborer for Kennecott Utah Copper, LCC ("Kennecott") at Kennecott's smelter. His duties included cleaning up discarded pipe insulation that may have contained asbestos. Beginning in 1963, Larry worked as an electrician for Wasatch Electric (an independent contractor). He continued to work at Kennecott's smelter, albeit as an employee for Wasatch Electric, for another two years. During that time, Kennecott's employees scraped, sawed, and swept asbestos insulation and mixed asbestos cement. Each of these activities occurred near Larry—who was allegedly less than twenty feet away—and released asbestos dust into the air. All these activities caused asbestos dust to settle on Larry's clothes, dust that Barbara is alleged to have inhaled during the Boynton's marriage. Kennecott never warned Larry about the dangers of asbestos and never provided laundry services that would have allowed him to change his clothes before returning home to Barbara.

¶6 In 1973, Larry worked as a construction electrician for Jelco-Jacobsen, a general contractor at PacifiCorp's[3] Huntington Canyon Power Plant. PacifiCorp had entered a contract with Jelco-Jacobsen to build the power station. While Larry did electrical work, employees from Mountain States Insulation (a subcontractor) worked with asbestos pipe insulation, allegedly creating asbestos dust in so doing. Again, Larry worked within twenty feet of these asbestos-generating activities. And like Kennecott (and later ConocoPhillips), neither PacifiCorp nor Jelco-Jacobsen warned him about the dangers of asbestos, monitored or attempted to limit his asbestos exposure, or provided laundry services that would have allowed him to change before driving home. As a result, Larry alleges that PacifiCorp and Jelco-Jacobsen exposed him to asbestos that he carried home to Barbara, eventually causing her mesothelioma and premature death.

¶7 And from 1976 to 1978, Larry worked as an electrician for L.E. Myers, an independent contractor, at Phillips 66/Conoco-Phillips's ("Conoco") oil refinery. Conoco employees allegedly removed asbestos pipe insulation and let it fall to the ground. Conoco employees would later sweep the discarded insulation during cleanup. Both the pipe removal and the cleanup allegedly generated asbestos dust. Larry alleges that he worked within twenty feet of the Conoco employees. He further alleges that the asbestos dust would settle on his clothes and that Barbara would inhale that dust when laundering his clothes. The result, again, was to cause Barbara to develop mesothelioma. Conoco, like the others, did not warn Larry about the dangers of asbestos, did not monitor or attempt to limit asbestos levels at the refinery, and did not provide laundry services that would have prevented him from bringing his contaminated clothes home.

 

III. THE PACIFICORP CONTRACT

 

¶8 PacifiCorp did not use its own employees to handle the asbestos materials used in the construction of the Huntington Plant. Instead, it contracted with Jelco-Jacobsen to build the plant. The contract required Jelco-Jacobsen to use several asbestos-containing materials, including asbestos insulation and asbestos cement. Only PacifiCorp could approve substitutions to materials that did not contain asbestos. The contract also provided detailed specifications about the project. Some of these specifications prescribed how Jelco-Jacobsen would handle the asbestos-containing materials, such as specifications on how to mix and apply the asbestos cement. And PacifiCorp retained a general responsibility over safety. For example, PacifiCorp had a general responsibility to inspect the project's materials and Jelco-Jacobsen's methods. If it found any safety issues, PacifiCorp was able to unilaterally direct changes in the materials or order Jelco-Jacobsen to stop unsafe work practices. Further, PacifiCorp was obligated to direct Jelco-Jacobsen 853*853 in implementing adequate control measures to prevent harmful dust levels.

 

IV. PROCEDURAL HISTORY

 

¶9 Larry filed suit against Kennecott, PacifiCorp, and Conoco (at times, the "premises operators") for strict premises liability and negligence. The premises operators each moved for summary judgment, arguing they did not owe a duty of care to Barbara. The district court denied Kennecott's motion, finding a disputed issue of fact because Larry alleged affirmative acts exposing him to asbestos, thus inviting the inquiry into whether Kennecott owed a legal duty to Barbara. But the district court granted PacifiCorp and Conoco's motions, determining that PacifiCorp and Conoco did not engage in any misfeasance that would have created a duty to Barbara. Moreover, the district court determined that PacifiCorp and Conoco did not interfere with the work of their general contractors.

¶10 This case comes before us on interlocutory appeal. We exercise jurisdiction under rule 5 of the Utah Rules of Appellate Procedure.

 

STANDARD OF REVIEW

 

¶11 On interlocutory appeal, we review grants and denials of summary judgment for correctness. Anderson Dev. Co. v. Tobias, 2005 UT 36, ¶ 19, 116 P.3d 323. "Summary judgment is only appropriate if there are no genuine issues of material fact and the moving party is entitled to judgment as a matter of law." Herland v. Izatt, 2015 UT 30, ¶ 9, 345 P.3d 661. We view the facts and indulge the reasonable inferences in the light most favorable to Larry, the nonmoving party. See id.

 

ANALYSIS

 

¶12 Following Barbara's death, Larry sought legal relief against the premises operators, among others. Against Kennecott and Conoco, Larry asserts strict premises liability and direct-liability negligence; he bases these claims on Barbara's take-home exposure to asbestos dust generated by the premises operators' employees when he worked for Kennecott at its smelter, when he was an employee of the independent contractor at the smelter, and when he was an employee of the independent contractor at Conoco's premises. On summary judgment before the district court, Kennecott and Conoco argued they owed no duty of care to Barbara. Conoco was successful in its argument; Kennecott wasn't. With respect to these two defendants, the sole issue before us in this interlocutory appeal is whether they owed Barbara a duty of care.

¶13 Against PacifiCorp, Larry asserts strict premises liability and direct-liability negligence based on PacifiCorp's decision to use asbestos, and vicarious-liability negligence based on PacifiCorp's retained control over Jelco-Jacobsen, which was required by contract to use asbestos insulation at PacifiCorp's direction. PacifiCorp argued below on summary judgment that it owed no duty of care to Barbara. On appeal, Larry has not adequately briefed his direct-liability negligence claim against PacifiCorp. And PacifiCorp did not challenge below, and has not challenged on appeal, Larry's claim that Jelco-Jacobsen owed a duty to Barbara. Instead, PacifiCorp argues that it did not "retain control" over Jelco-Jacobsen and therefore did not assume Jelco-Jacobsen's liability under the common-law rule that parties are not liable for the acts of their independent contractors.

¶14 We affirm in part, reverse in part, and remand for proceedings consistent with this opinion. We hold that both Kennecott and Conoco owed a duty of care to Barbara to prevent her take-home exposure to asbestos. To this end, both Kennecott and Conoco took affirmative acts that introduced asbestos into the workplace, acts that created a foreseeable risk of harm to the co-habitants of a worker exposed to asbestos dust. In addition, we discern no reason counselling against the imposition of a duty of care in this setting. We further hold that a genuine issue of material fact exists as to whether PacifiCorp actively participated in the relevant work of its contractor, Jelco-Jacobsen. Through the relevant contract, PacifiCorp required Jelco-Jacobsen to use asbestos materials, specified 854*854 how Jelco-Jacobsen must handle the asbestos materials, and took responsibility for a dust removal program. Because those contractual provisions are enough to show that PacifiCorp retained some control over Jelco-Jacobsen, there is a genuine issue of fact about whether that retained control was the injury-causing activity in this case.

 

I. DUTY OF CARE

 

 

A. Asbestos Litigation

 

¶15 We are asked to decide in this case whether premises operators owe a duty to employees' co-habitants for "take-home exposure" to asbestos.[4] And while this issue is a matter of first impression for us, we are far from the first court to consider it. Asbestos litigation, a "mess that has become the longest running mass tort," Helen E. Freedman, Selected Ethical Issues in Asbestos Litigation, 37 SW. U. L. REV. 511, 511 (2008), has evolved since the bankruptcy of asbestos manufacturers. For decades, claimants, such as employees and independent contractors, have sued premises operators for exposing them to asbestos. See, e.g., Mark A. Behrens, What's New in Asbestos Litigation?, 28 REV. LITIG. 501, 502-03 (2009). More recently, co-habitants have been suing premises operators for take-home exposure to asbestos. See, e.g., Ramsey v. Ga. S. Univ. Advanced Dev. Ctr., 189 A.3d 1255 (Del. 2018); CSX Transp., Inc. v. Williams, 278 Ga. 888, 608 S.E.2d 208 (2005).

¶16 With respect to these take-home exposure lawsuits, courts have split, often because of how they have analyzed the question of whether the premises operators owed a duty of care to the injured party. Behrens, supra, at 546-48 (explaining how states have arrived at different conclusions depending on whether their duty analysis keys in on party relationships or on foreseeability of the risk); see also Kesner v. Super. Ct., 210 Cal.Rptr.3d 283, 384 P.3d 283, 302-05 (2016) (explaining that states that reject negligence and premises liability for take-home asbestos exposure have either focused their duty analysis on special relationships or found the danger not yet foreseeable). Courts that have focused on the relationship between parties when defining duties of care have rejected liability for exposure beyond the workplace. See CSX Transp., 608 S.E.2d at 210; In re Certified Question from Fourteenth Dist. Ct. App. of Tex. (Miller v. Ford Motor Co.), 479 Mich. 498, 740 N.W.2d 206, 214-15 (2007). For those courts, the "relationship" is, essentially, too attenuated for a legal duty—someone like Barbara has little, if any, direct relationship with the premises operators. Conversely, courts that have focused on the foreseeability of injury in the duty sphere have often found liability for take-home exposure. See Behrens, supra, at 547-48 (noting that in "nearly every ... instance where courts have recognized a duty of care in a take home exposure case, the foreseeability of risk was the primary, if not only, consideration in the courts' duty analyses"); Olivo v. Owens-Illinois, Inc., 186 N.J. 394, 895 A.2d 1143, 1148 (2006); Satterfield v. Breeding Insulation Co., 266 S.W.3d 347, 374 (Tenn. 2008). But filing a claim in a foreseeability-focused jurisdiction doesn't guarantee relief; indeed, some of these jurisdictions have rejected liability when the suit involves exposure prior to when the employers might reasonably have foreseen the risks from take-home exposure to asbestos. E.g., Martin v. Cincinnati Gas & Elec. Co., 561 F.3d 439, 444-45 (6th Cir. 2009) (finding that plaintiff failed to show that defendants knew or should have known of "bystander asbestos exposure" from 1937 855*855 to 1963); Miller, 740 N.W.2d at 218 (determining that the dangers of take-home exposure were, "in all likelihood, not foreseeable" from 1954 to 1965); Alcoa, Inc. v. Behringer, 235 S.W.3d 456, 462 (Tex. App. 2007) (finding that the dangers of take-home exposure were "neither known nor reasonably foreseeable... in the 1950s"). And finally, some jurisdictions, such as Delaware, determine duty largely according to the act-omission distinction and have found liability for take-home exposure whenever employers engaged in misfeasance. Ramsey, 189 A.3d at 1260, 1285 (Del. 2018).

 

B. Utah Standard for Establishing a Duty of Care

 

¶17 "To assert a successful negligence claim, a plaintiff must establish that (1) defendant owed plaintiff a duty of care, (2) defendant breached that duty, and that (3) the breach was the proximate cause of (4) plaintiff's injuries or damages." B.R. ex rel. Jeffs v. West, 2012 UT 11, ¶ 5 n.2, 275 P.3d 228. To establish a duty of care, Utah courts ask

(1) whether the defendant's allegedly tortious conduct consists of an affirmative act or merely an omission; (2) the legal relationship of the parties; (3) the foreseeability or likelihood of injury; (4) public policy as to which party can best bear the loss occasioned by the injury; and (5) other general policy considerations.

Id. ¶ 5 (citations omitted) (internal quotation marks omitted). "The determination of whether a legal duty exists ... is a purely legal question...." Herland v. Izatt, 2015 UT 30, ¶ 9, 345 P.3d 661 (first alteration in original) (quoting Yazd v. Woodside Homes Corp., 2006 UT 47, ¶ 14, 143 P.3d 283).

¶18 The seminal cases in Utah regarding the determination of whether a duty exists are Jeffs and Herland. Under Jeffs, we consider the five factors listed above. Supra ¶ 17. Jeffs described the first two factors as "plus" factors—generally, one party will have a duty to the other if it makes an affirmative act or if the parties have a special legal relationship. 2012 UT 11, ¶ 5, 275 P.3d 228. The remaining three factors were described as "minus" factors that might counsel against creating a legal duty, even if there's an affirmative act or legal relationship. Id.

¶19 Jeffs suggested that not all factors were created equal, with our analysis focusing primarily on whether the defendant made an affirmative act. To this end, we noted that "[t]he long-recognized distinction between acts and omissions—or misfeasance and non-feasance —makes a critical difference and is perhaps the most fundamental factor courts consider when evaluating duty." Id. ¶ 7. We further noted that "a special relationship is not typically required to sustain a duty of care to those who could foreseeably be injured by the defendant's affirmative acts." Id. ¶ 10. And we also provided that, once we determine that a party has engaged in affirmative conduct, we will typically only "carve out an exception" that eliminates the duty "in categories of cases implicating unique policy concerns." Id. ¶ 21.

¶20 We modified the relationship among the factors in Herland. There, we interpreted Jeffs to "identif[y] five key factors that inform our analysis of whether a duty of care exists." Herland, 2015 UT 30, ¶ 10, 345 P.3d 661. We discarded any discussion of the factors as necessarily "plus" or "minus" factors. Instead, we emphasized that "[s]ome factors are featured heavily in certain types of cases, while other factors play a less important, or different, role." Id. ¶ 13 (quoting Jeffs, 2012 UT 11, ¶ 5, 275 P.3d 228).

¶21 Herland demonstrates how the foreseeability factor can function as the primary "plus" factor. Id. ¶ 20 (declaring that "the foreseeability factor weighs in favor of establishing a duty"). In that case, we started our duty analysis with the foreseeability factor, id. ¶ 14, and implied that the foreseeability factor played the primary role in determining the case, id. ¶¶ 10, 33, 40 (declaring a duty for those who supply a gun to others who "are likely to use the gun in a manner that creates a foreseeable risk of injury to themselves or third parties"). In essence, Herland clarifies that we do not treat all five factors as equally important and that, like the distinction between acts and omissions, foreseeability plays a particularly important role in our analysis.

 

856*856 C. Analysis of Duties of Care at a Categorical Level

 

¶22 We consider whether a duty exists for a general category of cases versus on a case-by-case basis: "Duty must be determined as a matter of law and on a categorical basis for a given class of tort claims" and "should be articulated in relatively clear, categorical, bright-line rules of law applicable to a general class of cases." Jeffs, 2012 UT 11, ¶ 23, 275 P.3d 228 (citations omitted) (internal quotation marks omitted). In Jeffs, for example, this court did not consider whether a duty existed specifically for a nurse prescribing the exact combination of pharmaceuticals that allegedly caused the patient to turn violent and kill his wife. Id. ¶¶ 2, 23. Rather, we considered "healthcare providers as a class, negligent prescription of medication in general, and the full range of injuries that could result in this class of cases." Id. ¶ 23.

¶23 Likewise, we do not decide in this case whether Kennecott, PacifiCorp, and Conoco specifically owe a duty to Barbara for take-home exposure to asbestos that allegedly caused her mesothelioma. Instead, to determine whether a duty exists, we consider premises operators,[5] take-home exposure to asbestos,[6] all the resulting injuries, and— because in this case, it matters for the general foreseeability analysis—the relevant time period at issue (from 1961 onwards). The litigants will have the opportunity to address the facts of their specific cases when they argue about whether a breach of duty occurred and whether it caused the injury. For example, the premises operators here could later argue that they exposed Larry to only a medically insignificant amount of asbestos and, therefore, did not cause Barbara's mesothelioma.

¶24 But we do not assess this case entirely at the categorical level. This matter involves two independent duty-related questions. Utah courts have never established that a duty exists for premises operators to exercise reasonable care with respect to take-home exposure to asbestos. So, applying the appropriate analytic framework, we first must consider whether a duty of care exists for that category of cases. But this case reaches us after the district court ruled on a motion for summary judgment. Thus, if we determine that a duty exists, we must also determine—after allowing for all reasonable inferences in favor of the nonmoving party— whether this case falls within the ambit of the duty of care. That is the second question.

¶25 In our duty of care cases, we have not always clearly distinguished between these two questions. For that reason, it may seem confusing why we sometimes analyze case-specific facts in cases about whether a categorical duty of care exists.[7] 857*857 But a careful reading of our cases shows that we only analyze case-specific facts when we ask whether a case falls within the relevant category. For example, in Herland, we determined whether a "duty of care [existed] in th[e] general category of cases .... of gun owners who are negligent in supplying their guns to others who then injure themselves or third parties." 2015 UT 30, ¶¶ 11, 15, 345 P.3d 661. We ruled that a duty of care was violated whenever the defendant "(1) directly suppl[ied] or hand[ed] a gun to another, (2) plac[ed] the gun within reach of another, or (3) consent[ed] (either explicitly or implicitly) to the use of the gun by another." Id. ¶ 38. We then separately resolved that case's motion for summary judgment, asking "whether the specific factual scenarios alleged by the parties fit any of these categories." Id.

 

D. Duty Analysis

 

 

1. Affirmative Act or Omission

 

¶26 The first factor turns on the common distinction between acts and omissions:

Acts of misfeasance, or active misconduct working positive injury to others, typically carry a duty of care. Nonfeasance—passive inaction, a failure to take positive steps to benefit others, or to protect them from harm not created by any wrongful act of the defendant—by contrast, generally implicates a duty only in cases of special legal relationships.

Jeffs, 2012 UT 11, ¶ 7, 275 P.3d 228 (internal quotation marks omitted) (quoting Francis H. Bohlen, The Moral Duty to Aid Others as a Basis of Tort Liability, 56 U. PA. L. REV. 217, 219 (1908)). We have found that people make "affirmative acts" when they prescribe medication, id. ¶ 18, provide therapy, Mower v. Baird, 2018 UT 29, ¶ 21, 422 P.3d 837, as corrected (July 11, 2018), place inmates in a work-release program, Scott v. Universal Sales, Inc., 2015 UT 64, ¶ 34, 356 P.3d 1172, or supply someone with a gun, Herland, 2015 UT 30, ¶ 38, 345 P.3d 661. We have not found an affirmative act when a party fails to perform a background check or fails to train and supervise employees. Graves v. N.E. Servs., Inc., 2015 UT 28, ¶ 27, 345 P.3d 619. In Graves, the party had only undertaken one act—hiring the employee—and only had a duty for that particular act, "not for a broader duty to undertake additional measures." Id. ¶ 29. "The line between acts and omissions is sometimes subtle." Scott, 2015 UT 64, ¶ 35, 356 P.3d 1172. Ultimately, however, we follow the lead of Justice Cardozo in asking "whether the putative wrongdoer has advanced to such a point as to have launched a force or instrument of harm, or has stopped where inaction is at most a refusal to become an instrument for good." Id. (quoting H.R. Moch Co. v. Rensselaer Water Co., 247 N.Y. 160, 159 N.E. 896, 898 (1928) (Cardozo, C.J.)) (internal quotation marks omitted).

¶27 For the purposes of determining whether a duty of care exists in take-home exposure cases, we conclude that premises operators act affirmatively whenever they have "launched [the] instrument of harm" by directing, requiring, or otherwise causing workers to come in contact with asbestos. Though we cannot predict every situation that will fall within this domain, we are comfortable saying that a premises operator will have engaged in "misfeasance" (as that term is understood in the duty analysis) at least when they (1) instruct workers to handle asbestos, (2) have nearby workers handle asbestos, (3) place asbestos on the premises, (4) send employees to a workspace containing asbestos, or (5) purchase a workspace containing asbestos and invite workers onto it. These categories do not include instances where a premises operator merely fails to prevent an employee from coming into contact with asbestos, like if an employer fails to prevent the spread of asbestos from an adjacent worksite.

¶28 For the purpose of resolving the 858*858 motion for summary judgment,[8] we find that Larry has sufficiently established misfeasance by Kennecott and Conoco, which triggers a duty of care.[9] Larry came into contact with asbestos dust because he and those around him cut, chipped, mixed, sanded, sawed, scrapped, and swept products containing asbestos. When Larry worked at Kennecott, he and other employees released asbestos into the air by scrapping old insulation, sweeping fallen asbestos, sawing asbestos insulation, and mixing asbestos cement, allegedly contaminating Larry's clothing. And when Larry worked at Conoco, he was allegedly exposed to asbestos when other employees removed asbestos pipe insulation, let it fall to the ground, and then swept it up, again allegedly contaminating his work clothes.[10] Both Kennecott and Conoco therefore allegedly directed Larry and/or nearby employees to handle asbestos. In doing so, each defendant affirmatively "launched [the] instrument of harm" by exposing Larry to the asbestos dust. See supra ¶ 27 (defining the duty of care to include instances when premises operators direct a worker or someone nearby them to handle asbestos). Larry doesn't merely allege that the defendants failed to protect him and "refus[ed] to become an instrument for good." In Herland, we determined that someone engages in an affirmative act when they supply an impaired person with a gun. 2015 UT 30, ¶ 38, 345 P.3d 661. We said that "[p]lacing a gun within reach of an intoxicated individual by leaving it on a counter top or opening a safe and consenting to his or her use of a weapon certainly constitutes an overt act, not an omission." Id. By creating the initial danger —causing an impaired person to have access to a gun—the gun owner had committed an "affirmative act" and wasn't merely a passive bystander. Likewise, the defendants in this case created the initial danger by causing Larry to come into contact with asbestos.

 

2. Legal Relationship of the Parties

 

¶29 Special relationships arise when one party assumes responsibility for the safety of another or their opportunities for self-protection. Jeffs, 2012 UT 11, ¶ 8, 275 P.3d 228. For example, innkeepers, guardians, and common carriers typically have special relationships with those in their care. Id. But a "special relationship is not typically required to sustain a duty of care to those who could foreseeably be injured by the defendant's affirmative acts." Id. ¶ 10. Rather, "an omission or failure to act can generally give rise to liability only in the presence of some external circumstance—a special relationship." Webb v. Univ. of Utah, 2005 UT 80, ¶ 10, 125 P.3d 906, overruled on other grounds by Cope v. Utah Valley State Coll., 2014 UT 53, 342 P.3d 243; see also Jeffs, 2012 UT 11, ¶ 9, 275 P.3d 228 (explaining that if an affirmative act has occurred, a special legal relationship creates an additional "duty-enhancing, `plus' factor"); Mower, 2018 UT 29, ¶ 20 n.6, 422 P.3d 837 (explaining that a special relationship might also create an additional "plus" factor that offsets "strong `minus' factors").

¶30 Larry alleges that the defendants' actions caused an injury to a third party— Barbara. He doesn't argue that a special legal relationship exists between the defendants and Barbara. But because the defendants engaged in affirmative "misfeasance," Larry doesn't need to establish a special legal relationship in order to establish a duty of care.

 

859*859 3. Foreseeability of the Injury

 

¶31 Foreseeability "relates to `the general relationship between the alleged tortfeasor and the victim' and `the general foreseeability' of harm." Jeffs, 2012 UT 11, ¶ 25, 275 P.3d 228 (quoting Normandeau v. Hanson Equip., Inc., 2009 UT 44, ¶ 20, 215 P.3d 152). "The appropriate foreseeability question for duty analysis is whether a category of cases includes individual cases in which the likelihood of some type of harm is sufficiently high that a reasonable person could anticipate a general risk of injury to others." Id. ¶ 27.

¶32 We have found certain injuries foreseeable when the defendant acts affirmatively towards one party and thereby injures another. In Jeffs, we found it foreseeable that negligently prescribing medications to a patient might result in the patient then injuring someone else in situations where the medications cause a psychotic reaction. Id. ¶¶ 24-28. In Mower, we found it foreseeable that "therapists who carelessly provide therapy to a minor child patient for potential sex abuse [might] injure[] the nonpatient parent through false allegations or memories of sexual abuse." 2018 UT 29, ¶ 25, 422 P.3d 837. And in Herland, we found it foreseeable that giving a weapon to an intoxicated individual might create a "risk of harm to others." 2015 UT 30, ¶ 16, 345 P.3d 661.

¶33 The relevant category here is premises operators who direct, require, or otherwise cause workers to come in contact with asbestos. "[T]he foreseeability question is whether there are circumstances within that category in which [the premises operator] could foresee injury." Jeffs, 2012 UT 11, ¶ 27, 275 P.3d 228. The circumstances within the category, of course, might differ from the circumstances of the actual case. See Mower, 2018 UT 29, ¶ 25, 422 P.3d 837. And we consider "the full range of injuries that could result in this class of cases." Jeffs, 2012 UT 11, ¶ 23, 275 P.3d 228. The employer or premises operator need not foresee the "specific sequence of harm." Herland, 2015 UT 30, ¶ 17, 345 P.3d 661. If the particular sequence was highly unlikely, a court should consider that lack of foreseeability as relevant to the later proximate cause analysis rather than to the duty analysis. See id. ¶ 14.

¶34 We must remember that we analyze a category of cases—in this case, premises operators who direct, require, or otherwise cause workers to come in contact with asbestos. Foreseeability will counsel in favor of finding a duty of care if any circumstances within that category would have included a foreseeable harm. See supra ¶ 33 (quoting Jeffs, 2012 UT 11, ¶ 27, 275 P.3d 228). The more specific question—whether the asbestos exposure here could have foreseeably caused harm to Barbara—may be addressed when the lower court considers proximate cause.

¶35 There are circumstances in which premises operators would foresee injury from take-home exposure to asbestos during the relevant time period. Larry started working for Kennecott in 1961. He submitted an expert affidavit from Dr. Richard Lemen explaining the "well-recognized" concerns about asbestos based on publications from that time. Dr. Lemen explained that occupational medicine has understood the risk of "take-home exposure" since at least the eighteenth century. In 1713, Bernardino Ramazzini— often described as the "father of occupational medicine"—described how laundresses may suffer from "clothes exposure" when they "wash bed-linen and underclothes stained with a thousand kinds of filth ... they inhale by the mouth and nose a mixture of harmful vapors of all sorts." Dr. Lemen also listed numerous medical and government sources from the early twentieth century describing the dangers of workers transmitting various poisons on work clothes. At least one study that he listed, from 1965, explicitly described the risks from take-home exposure to asbestos. For that reason, the risk from asbestos was unambiguously foreseeable at least as early as 1965—prior to the time that Larry worked at the Conoco and PacifiCorp locations, and during the end of Larry's time working at Kennecott's smelter.

¶36 Even for the years prior to 1965, there was substantial scientific evidence suggesting that injury to third parties from take-home exposure to asbestos was sufficiently foreseeable for purposes of our duty 860*860 analysis.[11] In this regard, Dr. Lemen presented widespread evidence—from the Industrial Health Foundation, the National Safety Council, the American Chemical Society, the American Petroleum Institution, and federal and state laws—showing that people knew about the toxicity of asbestos since at least the 1930s. In their 1898 report, for example, the Women Inspector of Factories declared that the "evil effects of asbestos dust have ... been found to be injurious as might have been expected." By 1910, Canada listed asbestos-related maladies in its compilation of industrial diseases. In 1930, a report suggested methods to suppress asbestos dust to prevent lung diseases in workers. These are mere examples of an early twentieth century consensus regarding asbestos's toxicity. And, as Dr. Lemen explained, another publication from the Industrial Hygiene Foundation in 1960 had already detailed the risk of spreading asbestos contamination beyond those who came in direct contact with it—in that instance, to everyone in the area immediately surrounding factories with asbestos. Even if studies had yet to formally measure effects from take-home exposure to asbestos, two facts are hard to contradict: First, premises operators had reason to know about take-home exposure to toxic materials. Second, premises operators had reason to know about the toxicity of asbestos. The lack of a formal, specific study of asbestos until 1965 doesn't contradict that premises operators should reasonably know about the dangers of take-home exposure for all times relevant to this matter.

¶37 And beyond the scientific evidence, we think common sense suggests that injury was foreseeable. Courts across the country agree: The California Supreme Court noted "[i]t is a matter of common experience and knowledge that dust or other substances may be carried from place to place on one's clothing or person, as anyone who has cleaned an attic or spent time in a smoky room can attest." Kesner, 210 Cal.Rptr.3d 283, 384 P.3d at 292. And the New Jersey Supreme Court shared the same perspective:

It requires no leap of imagination to presume that [even] during the decades of the 1940's, 50's, [and] 60's, ... [a plaintiff or] his spouse would be handling his clothes in the normal and expected process of laundering them so that the garments could be worn to work again. [The plaintiff's] soiled work clothing had to be laundered and [defendant], as one of the sites at which [the plaintiff] worked, should have foreseen that whoever performed that task would come into contact with the asbestos that infiltrated his clothing while he performed his contracted tasks.

Olivo v. Owens-Illinois, Inc., 186 N.J. 394, 895 A.2d 1143, 1149 (2006); see also id. (finding notice of risk from take-home exposure to asbestos dust as early as 1937); e.g. Quisenberry v. Huntington Ingalls Inc., 296 Va. 233, 818 S.E.2d 805, 812 (2018) (finding a duty to prevent take-home risk to asbestos as early as 1942 partially because "[t]he concept of a mobile hazard that leaves a premises is not new ... and asbestos that predictably leaves the property is not unlike livestock or any other hazard posing a risk of harm to persons outside the premises"). We similarly find the risks from asbestos—a known toxic material that, at least in some circumstances, travels as a visible dust on clothes—a matter of common knowledge.

¶38 In response, Kennecott primarily argues that the Occupational Safety and Health Administration regulations in 1972 first made the dangers of asbestos foreseeable. These regulations, while not irrelevant, are not dispositive in determining whether people knew about the risks from take-home exposure. They create legal liability but do not limit tort liability (much less limit tort liability for the years prior to the regulations in different jurisdictions). And we think the regulations— perhaps lagging some time behind scientific consensus—in no way rebut the evidence from Dr. Lemen showing that people generally 861*861 understood the dangers from asbestos exposure well before their issuance.

 

4. Who Can Best Prevent the Loss

 

¶39 We have next asked "who can best bear the loss" occasioned by the injury. Supra ¶ 17. This factor doesn't refer to who has the financial resources to pay for the resulting damages. Jeffs, 2012 UT 11, ¶ 29, 275 P.3d 228. Rather, "this factor considers whether the defendant is best situated to take reasonable precautions to avoid injury.... [T]his factor would cut against the imposition of a duty where a victim or some other third party is in a superior position of knowledge or control to avoid the loss in question." Id. ¶ 30. So, going forward, we will more appropriately refer to this factor as "who can best prevent the loss."

¶40 Within the category at issue here— exposure to asbestos brought home from the workplace—premises operators have the greater "control" and "knowledge" that would allow them to prevent injury from take-home exposure. Premises operators will typically have greater control of workplace activities than employees. Most significantly, the premises operators may often choose not to introduce asbestos in the first place. In this case, for example, one defendant instructed workers to mix asbestos cement. The defendant—not the workers—had the capacity to choose another cement mix; the workers simply had to follow the directions dictated by the contract their bosses made. Cf. Mower, 2018 UT 29, ¶ 29, 422 P.3d 837 (asking who could have prevented the instrumentality of the harm "in the first place"). We can hardly imagine "a superior position of ... control" than the ability to choose not to use asbestos at all.

¶41 Further, premises operators can institute policies that reduce the likelihood of take-home exposure to asbestos. The premises operators respond that workers can also take steps to reduce take-home exposure to asbestos. True. But even if workers could take some remedial steps, the premises operators do not explain why they could not have implemented the same safety measures through workplace policies. Workers can only adopt a limited number of personal safety measures; the premises operators can require those same safety measures and also institute other workplace policies.

¶42 The premises operators also have the "knowledge" that would allow them to prevent danger from take-home exposure to asbestos. At least some employers who use asbestos presumably have expertise when choosing those materials: For example, they might employ research and development teams to research materials and make qualified decisions about how to safely use them. Cf. Scott, 2015 UT 64, ¶ 46, 356 P.3d 1172 (determining that this factor didn't caution against finding a duty of care because prison officials were uniquely acquainted with potentially dangerous prisoners); Jeffs, 2012 UT 11, ¶ 31, 275 P.3d 228 (reasoning that a doctor's medical expertise gives them greater capacity to reduce harm resulting from use of a prescribed drug). And because companies using asbestos often employ many workers, they can more efficiently make decisions on behalf of the many people who might be exposed to the asbestos. Cf. Herland, 2015 UT 30, ¶ 39, 345 P.3d 661 (noting that gun owners may most efficiently prevent harm caused by their weapons because the injury-avoiding precautions would be "relatively slight"). Conversely, workers often lack any significant medical or industrial "knowledge" about workplace materials like asbestos, and they cannot efficiently acquire that knowledge. Even if they could, it makes little sense to require every employee to individually implement personal safety practices, rather than require the employer to make a single determination that protects all employees and their families.

¶43 For these reasons, premises operators have both greater "control" and "knowledge" necessary to prevent harm from take-home exposure to asbestos. This factor therefore doesn't caution against the imposition of a duty.

 

5. Other Public Policy Considerations

 

¶44 Finally, we ask whether general policy considerations require a categorical decision removing duty from a class of cases. We have carved out common law exceptions from duty, for example, when people 862*862 assume the risk of competitive sports. Nixon v. Clay, 2019 UT 32, ¶ 26, 449 P.3d 11. Our holding in Nixon was "an outgrowth of our longstanding doctrine of primary assumption of risk." Id.; see also Ipsen v. Diamond Tree Experts, Inc., 2020 UT 30, ¶¶ 10 n.5, 13, 466 P.3d 190 (calling public policy considerations "determinative" because long-standing policies supporting rescuer exceptions from liability did not apply). But, typically, "public policy considerations don't endorse the wholesale rejection of a duty" even if they may "warrant limiting such a duty." Mower, 2018 UT 29, ¶ 40, 422 P.3d 837.

¶45 The premises operators argue that allowing for the existence of a duty here would create an overlarge, indeterminate class of plaintiffs. Indeed, other courts, including those ultimately finding a duty for take-home asbestos exposure, have expressed "concerns about exposing asbestos product manufacturers to uncabined liability to myriad plaintiffs in take-home asbestos exposure cases." Ramsey, 189 A.3d at 1262. We understand these concerns. But we do not think these concerns justify rejecting a duty wholesale, especially because we have only addressed a duty to prevent take-home exposure. See supra ¶ 15 n.4 (defining take-home exposure). Premises owners might cause other injuries, such as when a worker visits a friend after work in their work uniform. In future cases we can determine whether those injuries were foreseeable and whether liability would create an unduly indeterminate class of potential plaintiffs. For now, we have addressed liability only for a relatively narrow class of people.

¶46 Further, we doubt that this case will have far-reaching public policy implications. We only hold that premises operators have a duty of care when they introduce asbestos into the workplace. The defendants will still have an opportunity to address other elements of tort law. Cf. Jeffs, 2012 UT 11, ¶ 35, 275 P.3d 228 (noting that "[t]he requirements of breach and proximate cause ... counter-balance any improper incentive" created by a broader duty). And given those other legal requirements, plaintiffs "may find it difficult to ultimately prevail in a negligence action." Herland, 2015 UT 30, ¶ 11, 345 P.3d 661 (establishing a duty of care but recognizing the practical difficulties that sometimes limit a duty from making a significant difference as a matter of public policy). Other disincentives, like attorney fees and sanctions, will likewise prevent an onslaught of cases from unknown plaintiffs.

¶47 We therefore hold that premises operators like Kennecott and Conoco have a duty to exercise reasonable care to prevent take-home exposure to asbestos. When premises operators engage in affirmative acts that cause employees to come into contact with asbestos, see supra ¶ 27, they create a foreseeable risk that employees will carry asbestos into their homes. This risk was foreseeable as early as 1961, and no reason counsels against imposing a duty for creating this risk.

 

II. RETAINED CONTROL

 

¶48 In 1973 Larry worked for Jelco-Jacobsen at PacifiCorp's plant. On appeal, Larry did not, in our view, adequately brief that PacifiCorp has direct liability for its premises.[12] Rather, Larry argues that PacifiCorp "retained control" over Jelco-Jacobsen and therefore assumes Jelco-Jacobsen's liability. PacifiCorp doesn't contend that Jelco-Jacobsen owed no duty to Barbara. So, for the sake of the dispute between Larry and PacifiCorp, we need to resolve only whether PacifiCorp "retained control" over Jelco-Jacobsen and therefore assumed liability. Importantly, because the retained control question reaches us on PacifiCorp's motion for summary judgment, we review the district court's decision for correctness and view the facts and make all reasonable inferences in favor of Larry. See Herland v. Izatt, 2015 UT 30, ¶ 9, 345 P.3d 661.

863*863 ¶49 Utah follows the traditional common-law rule "that the employer of an independent contractor is not liable for physical harm caused to another by an act or omission of the contractor or his servants." Thompson v. Jess, 1999 UT 22, ¶ 13, 979 P.2d 322 (quoting RESTATEMENT (SECOND) OF TORTS § 409 (1965)) (internal quotation marks omitted). "This general rule recognizes that one who hires an independent contractor and does not participate in or control the manner in which the contractor's work is performed owes no duty of care concerning the safety of the manner or method of performance implemented." Id. The contractor—not the hiring party—is liable for its negligence.

¶50 The retained control doctrine is a common exception to this traditional rule. "If the employer of an independent contractor retains control over the operative detail of doing any part of the work, he is subject to liability for the negligence of the employees of the contractor engaged therein...." RESTATEMENT (SECOND) OF TORTS § 414 cmt. a; see also Dayton v. Free, 46 Utah 277, 148 P. 408, 411 (1914) (discussing the same legal concept). "The rule ... is usually, though not exclusively, applicable when a principal contractor entrusts a part of the work to subcontractors, but himself or through a foreman superintends the entire job." RESTATEMENT (SECOND) OF TORTS § 414 cmt. b.

¶51 Larry alleges a less common circumstance for invoking the retained control doctrine: He maintains that PacifiCorp "retained control" by virtue of its contractual obligations with Jelco-Jacobsen. See id. § 414 cmt. c (generally stating that retained control exists when there is "such a retention of a right of supervision that the contractor is not entirely free to do the work in his own way").

¶52 We have applied the retained control doctrine in three cases. These cases have left unanswered the applicability of the retained control doctrine in the context of a "sophisticated part[y] who, by contract, stipulate[s] [it] will control the manner or method of work or the safety measures to be taken [retains control]—such as in contracts between general contractors and subcontractors involved in construction projects." Thompson, 1999 UT 22, ¶ 26 n.3, 979 P.2d 322. But, as we read these cases and consider the purposes of the retained control doctrine, we conclude that it may extend to a party who has retained contractual control.

¶53 This court formally adopted the retained control doctrine in Thompson. In defining the extent of necessary control, we said that "a principal employer is not subject to liability for injuries arising out of its contractor's work unless the employer `actively participates' in the performance of the work." Id. ¶ 18. And we defined "active participation" as when "the employer is actively involved in, or asserts control over, the manner of performance of the contracted work." Id. ¶ 19. "[T]he degree of control necessary for the creation of a legal duty must involve either the direct management of the means and methods of the independent contractor's activities or the provision of the specific equipment that caused the injury." Id. ¶ 20 (alteration in original) (citation omitted). We further clarified that "active participation" will often involve directing the injury-causing aspect of the work, like a principal contractor who instructed a subcontractor to implement a "faster method of dislodging ... plywood" that ultimately caused an injury. Id. ¶¶ 22-23.[13] Although we assumed in Thompson that a party would usually "retain control" by actually exercising control, we left for another day the question we now confront: whether we might also find retained control in a "contract [that] stipulate[s] which party will control the manner or method of work or the safety measures to be taken—such as in contracts between general contractors and subcontractors involved in construction projects." Id. ¶ 26 n.3.

¶54 We next applied the retained control doctrine in Begaye v. Big D Const. Corp., 2008 UT 4, 178 P.3d 343. We did not address contractually derived control, but we did clarify that a "general right" to control the operations doesn't necessarily mean that a 864*864 party "retain[s] control." Id. ¶ 12-13 (citing Thompson, 1999 UT 22, ¶ 20, 979 P.2d 322). And we found the defendant there did not retain control because it only "controlled the sequencing of the task, as well as the workflow generally, but it had no discretion or control regarding the specifics of how [the product] was built or which bracing method was to be used." Id. ¶ 11. We contrasted this lack of control with circumstances in which a defendant "control[s] the method by which [the product] was braced prior to construction,... affirmatively interfere[s] with [a contractor's] work[,] ... [or] insist[s] that a certain method be used to construct [the product]." Id. ¶ 13.

¶55 We then applied and expanded the retained control doctrine in Magana v. Dave Roth Const., 2009 UT 45, 215 P.3d 143. Importantly, we defined a narrower rule for exempting employers from liability for their contractors' actions: We said that the traditional rule only applies "to circumstances in which the direct act or omission of the contractor, not the employer, causes an injury." Id. ¶ 22. So, Magana clarified that an employer "who hires an independent contractor and does not participate in or control the manner in which the contractor's work is performed owes no duty of care...." Id. (quoting Thompson, 1999 UT 22, ¶ 13, 979 P.2d 322). In the earlier cases, by contrast, we first presumed that the employer did not have liability and asked whether they "actively participated" enough to retain liability. Magana effectively suggests a somewhat broader "active participation" standard and simply asks whose "direct act" or "control" caused the injury. There, we did not find that the defendant retained control—even though the defendant had a general "responsibility for on-site safety," we said that "a duty over general on-site safety cannot establish active participation." Id. ¶ 26. Nothing indicated that the defendant actively partook in the injury-causing activity, namely "the means and methods of rigging ... trusses." Id. The defendant only had control over activities that "exceed[ed] the scope of the injury-causing activity." Id.

¶56 We now explain that contractual provisions may create sufficient control for a contracting party to retain control over the other party. We contemplated exactly such liability in a case preceding our formal definition of the retained control doctrine. Dayton, 148 P. at 411 (ruling that the general contractor wasn't liable for the subcontractor because "[n]othing is contained in the contract or specifications by which the company reserved or retained the right to direct or control the prosecution of the [injury-causing aspects of the] work"). Indeed, every court we're aware of has ruled that contractual provisions can contribute to a finding of "retained control." See, e.g., Stanley v. Ameren Illinois Co., 982 F. Supp. 2d 844, 853 (N.D. Ill. 2013) ("To decipher whether an employer retained control over an independent contractor, courts look to the contracts that establish the relationship. The best indicator of whether a contractor has retained control over the subcontractor's work is the parties' contract, if one exists." (citation omitted) (internal quotation marks omitted)); Fleck v. ANG Coal Gasification Co., 522 N.W.2d 445, 448 (N.D. 1994) ("[T]he duty created by [Restatement] Section 414 may arise in two ways: through express contractual provisions retaining the right to control the operative detail of some part of the work, or through the employer's actual exercise of such retained control at the jobsite."). It is a little linguistically awkward to talk about how contractual provisions drafted prior to any activity can indicate that a party "actively participated" in an injury-causing activity.[14] But this conclusion necessarily follows from the retained control doctrine's rationale, i.e., the accepted proposition that someone who "directs" or "controls" an injury-causing behavior must accept liability for it. So, to determine whether a contractual provision gives a party retained control, we still ask if the contract itself "direct[ly] manage[s] ... the means and methods of the independent contractor's activities or the provision of the 865*865 specific equipment that caused the injury.'" Thompson, 1999 UT 22, ¶ 20, 979 P.2d 322 (quoting Grahn v. Tosco Corp., 58 Cal. App.4th 1373, 68 Cal. Rptr. 2d 806, 820 (1997)). And we will still find that a party did not "actively participate" if the contract only grants that party a general responsibility for on-site safety. Cf. Begaye, 2008 UT 4, ¶ 12, 178 P.3d 343.

¶57 When considering whether a defendant retained control over someone else, courts consider whether all the means of control collectively constitute retained control —not whether any individual means of control alone suffices for retained control. See, e.g., id. ¶ 11 (assessing control over sequencing, workflow, specifics of building, and bracing method in the process of determining whether party "retained control"). And again, because we resolve this case on summary judgment, we make all reasonable inferences in Larry's favor and ask whether his allegations sufficiently present a question of fact.[15] Given this disposition, and as we now explain, we find that Larry has sufficiently alleged that PacifiCorp retained control over an injury-causing activity.

¶58 First, Larry notes that the contract explicitly required the subcontractor to use asbestos insulation, asbestos cement, asbestos-filled emulsion, asbestos cloth, and asbestos paper. Moreover, approval from PacifiCorp was required for any substitution in materials. Cf. Purcell v. Varian Med. Sys., Inc., 2004 WL 639852, at *3-*4 (Cal. Ct. App. 2004) (finding no issue of fact on whether the general contractor retained control in part because the contract allowed the subcontractor to use alternative materials rather than asbestos, thereby meaning the general contractor did not entirely dictate the use of asbestos). We have said a party retains control if it controls "the provision of the specific equipment that caused the injury." Thompson, 1999 UT 22, ¶ 20, 979 P.2d 322 (quoting Grahn, 68 Cal. Rptr. 2d at 820). So, we need to determine whether to extend that to the provision of a particular injury-causing material.

¶59 We conclude that a party "actively participates" when it requires another to use a particular material. Larry cites Wise v. Kentucky Fried Chicken Corp., 555 F. Supp. 991, 995 (D.N.H. 1983), for the proposition that a party "actively participates" when it requires a contractor to purchase certain brands of equipment that caused an injury. In that case, the court rejected a motion for summary judgment for two reasons: first, because the court did not have access to a "confidential operating manual" that franchisees of the defendant had to adhere to, and second, because the agreement required the parties to purchase approved materials. Id. The court said these conditions created issues of material fact. In this case, the agreement required Jelco-Jacobsen to use asbestos materials. Like in Kentucky Fried Chicken, the agreement contributes to a finding of an issue of material fact. Thus, we do not categorically exclude Utah courts from considering whether a defendant required a party to use an injury-causing material.

¶60 Second, Larry argues that PacifiCorp had a general responsibility for testing and inspecting the materials and methods of work. To this end, the contract between PacifiCorp and Jelco-Jacobsen provided that PacifiCorp retained a general right to test, inspect, and order changes in the work and to stop the work if it deemed the work unsafe, while the contractor had to keep facilities clean. As we explained above, we have held that a party doesn't retain control if it only has "general responsibility" over the injury-causing activity. But courts may still consider that general responsibility. See Stanley, 982 F. Supp. 2d at 853 (N.D. Ill. 2013) (noting that contractual evidence of "retained control" is "not ... conclusive, but it is not 866*866 irrelevant"); RESTATEMENT (SECOND) OF TORTS § 414 cmt. c (clarifying that "[i]t is not enough that he [an employer] has merely a general right" to control the work, but not saying such evidence is irrelevant (emphasis added)). As such, we do not think this general responsibility gets Larry very far, especially given that he will eventually need to argue that this general responsibility relates to a specific injury-causing activity. But it's another ingot of silver on the scale that counsels against a court resolving this question on a motion for summary judgment.

¶61 Third, Larry argues that PacifiCorp specifically required certain means and methods of work. In applying the retained control doctrine, courts have distinguished contracts that specify (1) the means and methods of work, (2) the conditions under which parties perform work,[16] and (3) contractual provisions assuring the party receives a particular product.[17] For the contract to indicate retained control over the contractor's work, the contract must control the means and methods of work. The contractor has the responsibility to ensure safe working conditions when it anticipates the conditions of the work and the expected final product. It cannot, however, plan around a contract that requires certain "means and methods."

¶62 Here, Larry argues that "PacifiCorp specified—over more than six pages—how Jelco-Jacobson [sic] was to cut and install the insulation, where formed sections and staggered joints were required, and the amount and thickness of the insulation." Many provisions of the contract speak only to the final product. To the extent the contract provides, as Larry alleges, where formed sections and staggered joints were required, it would only specify the product that Jelco-Jacobsen needed to provide to PacifiCorp. But at least some provisions of the contract define means and methods of work that might have caused the injury. The contract, for example, requires that the "cement shall be mixed in strict accordance with the manufacturer's directions," and that layers of cement must dry before applying a succeeding layer. These provisions specify precisely how Jelco-Jacobsen needed to handle the asbestos cement. Rather than specifying the final product (such as an asbestos cement with a defined density), these provisions speak to the "means and methods" of work necessary for creating the final product. So, at least, these provisions directly address how Jelco-Jacobsen was to complete its work. Arguably, other provisions might as well. Especially because control through contractual arrangements is generally treated as "a fact-driven issue," Stanley, 982 F. Supp. 2d at 852 (N.D. Ill. 2013), the factfinder should determine whether other contractual provisions also show that PacifiCorp retained some control over the means and methods of work. And those means and methods of work may have been the "injury-causing activity" that led to Barbara's mesothelioma. See supra ¶ 57 n.15.

867*867 ¶63 Fourth, Larry argues that PacifiCorp "retained control" through its specific responsibility over a "dust removal" program. Even jurisdictions that agree with Utah that a general responsibility for safety will not alone constitute "retained control" typically establish that a specific responsibility for safety will sufficiently constitute retained control. See, e.g., Diaz v. R & A Consultants, 579 S.W.3d 460, 473 (Tex. Ct. App. 2019) ("[G]enerally insisting that a subcontractor comply with ... general safety guidelines ... does not impose an unqualified duty to ensure that the subcontractor does nothing unsafe. Rather, imposing those type of obligations creates only a limited duty that any safety requirements and procedures the general contractor imposes do not `unreasonably increase, rather than decrease, the probability and severity of injury.'" (citation omitted)). Safety requirements will create a narrow duty of care when those requirements relate to the cause of the ultimate injury. Cf. Hooker v. Dep't of Transp., 27 Cal.4th 198, 115 Cal.Rptr.2d 853, 38 P.3d 1081, 1089 n.3 (2002) ("[I]f the hirer promises to undertake a particular safety measure, then the hirer's negligent failure to do so should result in liability if such negligence leads to an employee injury."); see also, e.g., Moss v. Rowe Const. Co., 344 Ill.App.3d 772, 279 Ill.Dec. 938, 801 N.E.2d 612, 620 (2003) (distinguishing general and specific safety requirements); Hoechst-Celanese Corp. v. Mendez, 967 S.W.2d 354, 357 (Tex. 1998) (saying that, "consistent with the Restatement ... [Texas courts conclude] that safety requirements give rise to a narrow duty of care" and further explaining that Texas courts hold principals liable for not exercising their general duty to cease operations when they become aware of specific violations of safety provisions).

¶64 The contract here reserves specific responsibility over dust control safety measures. Specifically, the contract provides that PacifiCorp will direct Jelco-Jacobsen to prevent the spread of dust through measures such as "sprinkling."[18] When a contract reserves such responsibility over dust control, the responsible party retains control (and therefore liability) for any injuries caused by the dust. The contract here reserved responsibility for dust control safety.[19] Because PacifiCorp was responsible for dust control— and because the lack of dust control may have caused the eventual injury to Barbara— PacifiCorp may have violated its duty of care to Barbara. Cf. Condon v. Union Oil Co. of Cal., 2004 WL 1932847, at *4 (Cal. Ct. App. 2004) (explaining that defendant was responsible for dust control because the owner scheduled other simultaneous work projects that exposed plaintiff to asbestos dust).

¶65 Because these four contractual provisions show that PacifiCorp retained at least some control over Jelco-Jacobsen, we reverse and remand. The factfinder will appropriately define the injury-causing activity or activities in this case and determine whether PacifiCorp retained control over any injury-causing activity.

 

CONCLUSION

 

¶66 We hold that the premises owners are liable to their employees' co-habitants for take-home asbestos exposure. And we hold that a genuine issue of material fact exists about whether PacifiCorp retained control over Jelco-Jacobsen. As such, we affirm the district court's denial of Kennecott's motion for summary judgment, reverse the district court's grants of summary judgment for PacifiCorp and Conoco, and remand for further proceedings not inconsistent with this opinion.

[1] Other cross-appellees are Phillips 66 Company, ConocoPhillips Company, and PacifiCorp.

[*] Substantive changes are limited to the addition of footnote 19. These changes are a result of cross-appellee PacifiCorp's Petition for Rehearing, which, by separate order, we grant in part and deny in part.

[2] To promote readability, we largely refer to the Boyntons by their first names through the remainder of our opinion. We intend no disrespect by avoiding the use of their prefixes and surname.

[3] The entity that built the power station (and performed the allegedly tortious actions in this case) was Utah Power & Light. PacifiCorp is Utah Power & Light's undisputed successor-in-interest. For readability, we refer to Utah Power & Light as PacifiCorp.

[4] Other courts have addressed "household exposure," "spousal exposure," and "clothing exposure" to refer to similar exposure. See, e.g., Ramsey v. Ga. S. Univ. Advanced Dev. Ctr., 189 A.3d 1255, 1259 n.1 (Del. 2018) (explaining some existing terminology). Sometimes these terms apply to different degrees of exposure—"clothing exposure," for example, may describe those who come into contact with an employee's clothing following asbestos exposure. See CSX Transp., Inc. v. Williams, 278 Ga. 888, 608 S.E.2d 208, 209-10 (2005) (describing "clothing exposure" as exposure experienced by "all who might come into contact with an employee or an employee's clothing outside the workplace"). In this case, we address specifically "take-home exposure." We use this term to refer to the situation whereby a co-habitant (including but not limited to family members) is exposed to asbestos brought home from work by another co-habitant. "Take-home exposure" at least includes asbestos brought home on work clothing and presumably would include asbestos brought home via other personal effects (e.g., a toolbox or lunch box).

[5] As used in this opinion, "premises operator" refers to any person or entity with some degree of control over a particular job site or any subsection of such a larger job site. That category will typically include the owner of a job site, any renter of a job site, and any person or entity who controls work activity on a job site. The category will therefore sometimes cover employers, contractors, and subcontractors. The primary limiting consideration is whether the person or entity has even a limited amount of control. Such control shows that the premises operator could have taken steps that would have prevented the take-home exposure to asbestos. Whether the premises operator's failure to take those steps actually caused the take-home exposure to asbestos is a question of causation—not duty.

[6] It is certainly an art, not a science, to define the exact scope of generality at which to assess the allegedly tortious activity. See, e.g., Herland, 2015 UT 30, ¶¶ 15-16, 345 P.3d 661 (defining the category as "gun owners who are negligent in supplying their guns to others" but acknowledging a similar analysis for "owners of dangerous weapons" in general). The idea is to create a rule that will cover "an occurrence of the same general nature." Steffensen v. Smith's Mgmt. Corp., 862 P.2d 1342, 1346 (Utah 1993) (quoting Rees v. Albertson's, Inc., 587 P.2d 130, 133 (Utah 1978)). In Jeffs, the court therefore considered the "negligent prescription of medication in general" and not just a particular subset of medications, even though the analysis applied primarily to medications with potential psychoactive side effects. 2012 UT 11, ¶ 23, 275 P.3d 228. Here, we analyze only asbestos exposure because some parts of the analysis may differ from other toxic materials that can be carried on clothes, in vehicles, or otherwise from a job site to a home. Other toxic materials, for example, may have had known dangerous effects either earlier or later than asbestos.

[7] We have oscillated most often when discussing the first factor—"whether the defendant's allegedly tortious conduct consists of an affirmative act or merely an omission." Jeffs, 2012 UT 11, ¶ 5, 275 P.3d 228. Because a duty of care typically exists only if there's an "affirmative act," we usually define a "duty of care" according to the types of action that trigger it. See, e.g., Herland, 2015 UT 30, ¶ 38, 345 P.3d 661 (defining acts that trigger the duty of care for negligently supplying a gun to another). So, in the same section of an opinion, we might also explain that the particular facts were the types of actions that create liability.

[8] Again, we reiterate that the motion for summary judgment presents a distinct legal question. See supra ¶ 24. We only discuss the matter here because we hold that there is a duty of care and the extent of that duty is ultimately limited by whether a defendant committed an act necessary to trigger that liability.

[9] As we explain later, Larry doesn't really argue on appeal that PacifiCorp was directly liable to him. Infra ¶ 48. Instead, Larry argues that PacifiCorp retained control over his employer, Jelco-Jacobsen, and therefore assumed Jelco-Jacobsen's liability. And PacifiCorp doesn't presently dispute (and did not dispute in its original motion for summary judgment) that Jelco-Jacobsen was directly liable to Larry.

[10] We do not decide now whether affirmative acts actually occurred in this case—that's a decision for the factfinder. Herland, 2015 UT 30, ¶ 37, 345 P.3d 661. We only decide that Larry's alleged activities were indeed "affirmative acts" sufficient to survive summary judgment.

[11] "In pursuing this inquiry, it is well to remember that `foreseeability is not to be measured by what is more probable than not, but includes whatever is likely enough in the setting of modern life that a reasonably thoughtful [person] would take account of it in guiding practical conduct.' One may be held accountable for creating even `the risk of a slight possibility of injury if a reasonably prudent [person] would not do so.'" Bigbee v. Pac. Tel. & Tel. Co., 34 Cal.3d 49, 192 Cal.Rptr. 857, 665 P.2d 947, 952 (1983) (alterations in original) (citations omitted).

[12] Larry asserted that "PacifiCorp not only engaged in an affirmative act when it required Jelco-Jacobson to cut and install asbestos, it remained vicariously liable for the harm because it retained control over the method and means of Jelco-Jacobson's cutting and installation of the asbestos." Larry henceforth addressed only the retained control doctrine as applied to PacifiCorp. By not explaining how the claim of direct liability applied specifically to PacifiCorp, Larry denied PacifiCorp the opportunity to specifically respond to arguments concerning such liability.

[13] In Thompson, we did not find that the defendant retained control because the contractor decided how to install a pipe that ultimately caused an injury due to an installation defect. 1999 UT 22, ¶ 24, 979 P.2d 322.

[14] But it's certainly not the only time that a legal doctrine has an awkward name. As discussed earlier in this case, for example, until today the doctrine for establishing duties of care asked which party can best "bear the loss" when it meant to ask something entirely different: Who can most easily prevent the injury. See supra ¶ 39.

[15] In this case, we have no determination from a factfinder about the relevant "injury-causing activity." We have defined the "injury-causing activity" as "the legal cause of [the plaintiff's] injuries." Magana, 2009 UT 45, ¶ 28, 215 P.3d 143. In our court's prior retained control cases, the injury-causing activity has been effectively undisputed. See, e.g., Thompson, 1999 UT 22, ¶ 24, 979 P.2d 322 (stipulating the injury-causing activity as the relevant "manner of performance"). But here, no factfinder has determined the injury-causing activity. So, we must also make all reasonable inferences in Larry's favor about what constitutes an injury-causing activity within the bounds of what he has alleged.

[16] In Traudt v. Potomac Elec. Power Co., the court distinguished "methods and means" of work from "conditions under which the work is to be done." 692 A.2d 1326, 1335 (D.C. Ct. App. 1997). The power company had requested bids and specified a condition: Electricity would need to continue running during the installation. The court noted that the potential risk from energized waters was "known to [the power company] and for which it was obliged to take special precautions." Id. Similarly, many of the contractual provisions in this case may be understood to merely state "conditions" under which the work is to be done.

[17] In Golik v. CBS Corp., 306 Or.App. 202, 472 P.3d 778 (2020), the court did not even grant that specifications about how to install the materials would create retained control. The court applied a retained control doctrine that turned on the "ultimate question [of] whether the employer, rather than the independent contractor, is acting, or is entitled to act, like the worker's direct employer." Id. at 798. The court dismissed most of the plaintiff's arguments because it construed the provisions to ensure that the party would receive the "product which it desires"— not to control the "means or methods." Id. These provisions included "detailed specifications for installation of asbestos-containing insulation on equipment," requirements to comply with "basic safety rules" of the worksite, and a provision that required approval for using another subcontractor for work. Id. at 799. The provision requiring the party to comply with safety rules "contribute[d] some weight to a body of evidence indicating that defendant retained control over the safety of [the contractor's] work." Id. But the court did not think that provision alone established "retained control," and even considered the referenced provisions specifying how to install the insulation insufficient to "retain control." Id.

[18] In full, the provision reads: "The Contractor shall institute and maintain, as directed by the Owner and/or Engineer, adequate dust control measures such as sprinkling, for all his work areas, haul routes, and parking areas. For the purposes of this contract, adequate dust control shall be considered as controlling generation of dust such that dust does not cause discomfort to personnel or impaired visibility."

[19] As the matter comes before us on an interlocutory review of summary judgment proceedings, the real question is—after having made all reasonable inferences in the nonmoving party's (Larry's) favor—whether the finder of fact could reasonably conclude that the dust control provision is a safety measure.

4.2.1.2.4 Disguised Affirmative Acts 4.2.1.2.4 Disguised Affirmative Acts

4.2.1.2.4.1 Undertaking to Aid 4.2.1.2.4.1 Undertaking to Aid

4.2.1.2.4.1.1 Zelenko v. Gimbel Bros. ("The Undertaking Case") 4.2.1.2.4.1.1 Zelenko v. Gimbel Bros. ("The Undertaking Case")

Jacob Zelenko, as Administrator, etc., of Mary Zelenko, Deceased, Plaintiff, v. Gimbel Bros., Inc., Defendant.*

Supreme Court, Special Term, New York County,

July. 24, 1935.

Michael Zelenko, for the plaintiff.

John P. Smith [Thomas F. Kane of counsel], for the defendant.

Latter, J.

The general proposition of law is that if a defendant owes a plaintiff no duty, then refusal to act is not negligence. (Palsgraf v. L. I. R. R. Co., 248 N. Y. 339.) But there are many ways that a defendant’s duty to act may arise. Plaintiff’s intestate was taken ill in defendant’s store. We will assume that defendant owed her no duty at all — that defendant could have let her be and die. But if a defendant undertakes a task, even if under no duty to undertake it, the defendant must not omit to do what an ordinary man would do in performing the task.

*905Here the defendant undertook to render medical aid to the plaintiff’s intestate. Plaintiff says bhat defendant kept his intestate for six hours in an infirmary without any medical care. If defendant had left plaintiff’s intestate alone, beyond doubt some bystander, who would be influenced more by charity than by legalistic duty, would have summoned an ambulance. Defendant segregated this plaintiff’s intestate where such aid could not be given and then left her alone.

The plaintiff is wrong in thinking that the duty of a common carrier of passengers is the same as the duty of this defendant. The common carrier assumes its duty by its contract of carriage. This defendant assumed its duty by meddling in matters with which legalistically it had no concern. The plaintiff is right in arguing that when the duty arose, the same type of neglect is actionable in both cases. (See Middleton v. Whitridge, 213 N. Y. 499.)

The motion is denied.

4.2.1.2.4.2 Rescuers 4.2.1.2.4.2 Rescuers

4.2.1.2.4.2.1 Govich v. North American Systems, Inc. ("The Emotional Mr. Coffee Case") 4.2.1.2.4.2.1 Govich v. North American Systems, Inc. ("The Emotional Mr. Coffee Case")

How does the rescue doctrine relate to duty? Did the plaintiff in this case act too unreasonably to maintain a cause fof action?

814 P.2d 94

Roane GOVICH, Daniel Govich and American National Fire Insurance Co., Plaintiffs-Appellants and Cross-Appellees, v. NORTH AMERICAN SYSTEMS, INC. and Ark-Les Switch Company, Defendants-Appellees and Cross-Appellants.

No. 19346.

Supreme Court of New Mexico.

June 26, 1991.

Rehearing Denied July 22, 1991.

*228Samantha Dunning, Santa Fe, for appellants.

Lenssen & Mandel John L. Lenssen, Santa Fe, for appellee North American Systems.

Civerolo, Hansen & Wolf R. Galen Reimer, Carl J. Butkus, Albuquerque, for appellee ARK-Les Switch Co.

OPINION

RANSOM, Justice.

Roane Govich and her adult son, Daniel Govich, appeal from the district court’s order dismissing their personal injury claims against North American Systems, Inc. (“Mr. Coffee”) and Ark-Les Switch Company. We are called upon to address novel questions concerning the rescue doctrine in the context of comparative negligence. We reverse.

Daniel is hearing impaired. He is assisted by a dog specially trained to alert him to routine sounds of daily life, such as a ringing telephone or a knock at the door. On the evening of November 23, 1983, Daniel and Roane dined at a Santa Fe restaurant. Daniel was not accompanied by his dog. Upon returning to their home after dinner, they noticed smoke issuing from the house. Daniel opened a door to the house, and smoke billowed forth. Roane ran to a neighbor’s house to call the fire department.

Daniel’s dog was inside the burning house. After first calling his dog from outside the house, Daniel entered the house in repeated, but vain, attempts to rescue the dog. Daniel testified that “at the time of the rescue attempt of my dog I was under severe emotional distress due to the possibility of losing my dog and not knowing if all my possessions in the house would be destroyed.” Roane returned, and upon seeing her son enter the burning house, made several entrances attempting to restrain Daniel. She testified that Daniel “was like a person who had lost his sanity. He could not understand the danger he was in.” The dog perished, and Daniel and Roane were injured in the fire.

On January 22, 1985, the Goviches sued Mr. Coffee, alleging the fire was caused by a defective coffee maker. Ark-Les, the maker of an electrical component in the coffee maker, was named a defendant by amended complaint. Based upon theories of strict products liability, negligence, and breach of implied or express warranties, the Goviches sought damages for personal injuries, emotional distress, and lost wages. American National Fire Insurance Company, as the Goviches’ subrogated insurer, sought recovery for damages to personal and real property.

Mr. Coffee and Ark-Les moved for partial summary judgment arguing that the Goviches were barred from recovery as a matter of law. The Goviches responded that summary judgment was precluded by the rescue doctrine and bystander recovery for negligent infliction of emotional distress. The rescue doctrine was raised in relation to both Roane and Daniel. The bystander theory has been abandoned on appeal.

On May 10, 1990, the district court1 entered an order granting partial summary judgment in favor of Mr. Coffee and Ark-Les, dismissing the Goviches’ personal injury claims. The court entered the following findings of fact:

7. The personal injuries as well as the emotional injuries and lost income of plaintiffs Roane Govich or Daniel Govich resulted entirely from their entry into the burning house.
8. The actions of plaintiff Daniel Govich in entering a burning home to rescue a dog [are] unreasonable conduct as a matter of law and he may not recover damages for personal injuries, lost income, or emotional damages that he may have suffered.
*2299. The actions of plaintiff Roane Govich in entering the burning home to retrieve her son were plainly occasioned by the unreasonable conduct of her son and not any act, omission or conduct of defendants and she is barred to collect damages for personal injuries, lost income, or emotional damages that she may have suffered.
10. There are no genuine issues of material fact as to causation for personal injuries, emotional distress, and lost income and defendants are entitled to summary judgment as a matter of law.

Accordingly, the court adjudged that:

1. The claims for personal injuries, emotional distress and lost income by plaintiffs, Roane Govich and Daniel Govich, be and the same are hereby dismissed.
2. The only claims remaining to be tried relate to liability of defendants to plaintiffs as to their claims for damages to the real and personal property destroyed or damaged in the fire.

On June 8 the Goviches filed notice of appeal from the May 10 order. On June 12 the district court denied defendants’ motion to compel answers to interrogatories from the Goviches. In that order the court stated that the order for partial summary judgment had dismissed all the Goviches’ claims. The court then dismissed the Goviches from the suit. On July 10 the Goviches filed notice of appeal from the June 12 order. Both appeals were taken to the court of appeals. The court of appeals transferred the action to this Court pursuant to NMSA 1978, Section 34-5-10 (Repl. Pamp.1990) (transfer to proper court by the court in which appeal is filed; a final determination of jurisdiction).

Jurisdiction. Ark-Les challenges our jurisdiction to hear this appeal, first arguing the partial summary judgment order is not a final order and, thus, cannot form the proper predicate for appeal. Second, citing SCRA 1986, 12-202(B) (notice of appeal shall attach the judgment or order from which appeal is taken) and cases construing the rule, Ark-Les maintains that the second notice of appeal conferred jurisdiction upon this Court only over the order attached to that notice. While we agree with Ark-Les that the partial summary judgment order was not appealable, we hold that we have jurisdiction over this appeal to review all issues properly preserved below arising from the partial summary judgment order.

The partial summary judgment only dismissed the Goviches’ claims for personal injuries, emotional distress, and lost income. It provided that “[t]he only claims remaining to be tried relate to liability of defendants to plaintiffs as to their claims for damages to the real and personal property destroyed by the fire.” Rule 54(C) provides that, in the absence of an express determination by the court that there is no just reason for delay, an adjudication of fewer than all the claims “shall not terminate the action as to any of the claims and the order or other form of decision is subject to revision at any time before the entry of judgment adjudicating all the claims.” SCRA 1986, 1-054(C)(1). By its terms, the partial summary judgment order left unresolved the Goviches’ property claims2 and, thus, the May 10 order cannot be a final order from which appeal properly may be taken. Aetna Casualty & Sur. Co. v. Miles, 80 N.M. 237, 453 P.2d 757 (1969). Accordingly, the June 8 notice of appeal was ineffective to perfect the Goviches’ appeal.

The Goviches timely filed notice of appeal from the June 12 order dismissing them from the suit. Because that order was a final order with respect to the Goviches, their appeal was perfected when the notice was filed. Nonetheless, citing Mabrey v. Mobil Oil Corp., 84 N.M. 272, 502 P.2d 297 (Ct.App.), cert. denied, 83 N.M. *230740, 497 P.2d 742 (1972), Ark-Les argues that because the second notice of appeal mentioned and attached only the order denying defendants' motion to compel, that notice fails to confer jurisdiction over the partial summary judgment order. We disagree.

While we recently held that appellate rules for the time and place of filing a notice of appeal govern the proper invocation of our jurisdiction, Lowe v. Bloom, 110 N.M. 555, 556, 798 P.2d 156, 157 (1990), we also have stated the policy of facilitating the right of appeal by liberally construing technical deficiencies in a notice of appeal otherwise satisfying the time and place of filing requirements. Marquez v. Gomez, 111 N.M. 14, 801 P.2d 84 (1990). The constitutional mandate that “an aggrieved party shall have, the absolute right to one appeal” evinces the strong policy in this state that courts should facilitate, rather than hinder, the right to one appeal. See N.M. Const, art. VI, § 2. Justice Montgomery explored this concept eloquently in his dissent to Lowe. As a matter of terminology, we properly should refer hereafter to the mandatory sections of our rules of appellate practice as “mandatory” and discard the term “jurisdictional” that has been used over time by most federal and state courts to describe a mandatory precondition to the exercise of jurisdiction. See Mann v. Lynaugh, 840 F.2d 1194, 1197 (5th Cir.1988) (notice requirement under federal rule 4(a) is a mandatory precondition to the exercise of appellate jurisdiction). We strictly adhere to jurisdictional subject matter limits on this Court and we cannot exercise our discretion with respect to such questions. Though we have stated in categorical terms that we cannot entertain an appeal when the notice does not satisfy the requirements for time and place of filing, what we in essence have held is simply that, with respect to the mandates for time and place of filing the notice of appeal, we decline to exercise discretion to excuse or justify any improper attempt to invoke our jurisdiction. It is probably imprecise to say we cannot exercise such discretion.

Once notice of appeal has been timely filed, the specificity requirements of Rule 12-202(B) (content of notice) are meant to inform the appellee and the court of the scope of the appellate proceeding by delineating the ruling from which appeal is taken. However, under Rule 12-312(C) an appeal timely filed is not to be dismissed for technical violations of Rule 12-202 that do not affect the substantive rights of the parties. The policies in this state, and the purpose of the rule, are vindicated if the intent to appeal a specific judgment fairly can be inferred from the notice of appeal and if the appellee is not prejudiced by any mistake. This long has been the position in this state and in the federal courts. Baker v. Sojka, 74 N.M. 587, 588-89, 396 P.2d 195, 196 (1964); Nevarez v. State Armory Bd., 84 N.M. 262, 264, 502 P.2d 287, 289 (1972). See generally 9 J.W. Moore, B.J. Ward, & J.D. Lucas, Moore’s Federal Practice ¶ 203.17[2] (2d ed. 1991) (discussing federal requirement).

Upon analysis of the record, we are satisfied that the Goviches’ intent to appeal the May 10 order fairly can be inferred from their submissions and that Ark-Les was not prejudiced by any mistake. Nothing in the record suggests Ark-Les was misled, nor has Ark-Les so claimed. The intent to appeal the order was apparent from the filing of a premature notice of appeal from the partial summary judgment order. Additionally, the June 12 order from which the second notice of appeal was taken refers expressly to the May 10 order. Under these circumstances we will treat the Goviches’ second notice of appeal as the functional equivalent of an appeal from the partial summary judgment order and the order of dismissal. See Nevarez, 84 N.M. at 264, 502 P.2d at 289 (notice of appeal from final judgment was effective to invoke review of summary judgment where final judgment in its operative provisions “confirmed” summary judgment); Munoz v. Small Business Admin., 644 F.2d 1361, 1364 (9th Cir.1981) (appeal from final judgment draws in question all earlier nonfinal orders and rulings that produced judgment).

*231 Rescue doctrine. The issue in the briefs before this Court is whether the rescue doctrine is applicable under comparative negligence and, if so, whether it may be relied upon by the Goviches to establish a genuine issue of material fact that would preclude summary judgment on their personal injury claims.3

The paradigm rescue case is Wagner v. International Railway, 232 N.Y. 176, 133 N.E. 437 (1921). In Wagner, plaintiff rescuer was seriously injured in an attempt to rescue his cousin who had been thrown from a moving tram as a result of defendant railway company’s negligence. The plaintiff lost at trial, and an intermediate appellate court directed judgment on the verdict for defendant. The court of appeals reversed, rejecting the railway’s primary arguments (1) that plaintiff’s rescue attempt was outside the chain of causation, and (2) that plaintiff was contributorily negligent. As Justice Benjamin Cardozo declaimed with memorable prose:

Danger invites rescue. The cry of distress is the summons to relief. The law does not ignore these reactions of the mind in tracing conduct to its consequences. It recognizes them as normal. It places their effects within the range of the natural and probable. The wrong that imperils life is a wrong to the imperiled victim; it is a wrong also to his rescuer * * * * The risk of rescue, if only it be not wanton, is bom of the occasion. The emergency begets the man. The wrongdoer may not have foreseen the coming of a deliverer. He is accountable as if he had.

Id. at 180, 133 N.E. at 437-38. The Wagner rule has gained universal acceptance. See W. Keeton, D. Dobbs, R. Keeton & D. Owen, Prosser & Keeton on the Law of Torts § 44, at 307-08 (5th ed. 1984) [hereinafter Prosser & Keeton ] (collecting cases); Annotation, Liability for Death of, or Injury to, One Seeking to Rescue Another, 158 A.L.R. 189 (1945) (same). New Mexico has recognized the doctrine, but has not examined the effect, if any, of the introduction of comparative negligence on the doctrine. See, e.g., Mitchell v. Pettigrew, 65 N.M. 137, 333 P.2d 879 (1958); Padilla v. Hooks Int’l, Inc., 99 N.M. 121, 654 P.2d 574 (Ct.App.), cert. denied, 99 N.M. 148, 655 P.2d 160 (1982); Neff v. Woodmen of the World Life Ins. Soc., 87 N.M. 68, 529 P.2d 294 (Ct.App.), cert. denied, 87 N.M. 48, 529 P.2d 274 (1974).

Several jurisdictions have considered and reaffirmed the vitality of the rescue doctrine under their respective comparative negligence regimes. Ryder Truck Rental, Inc. v. Korte, 357 So.2d 228 (Fla.Dist.Ct.App.1978), was the first case to undertake extensive analysis. In Korte, the court began by articulating the purposes served by the rescue doctrine: “[T]he rescue doctrine serves a dual purpose: first, to establish the causal connection between the defendant’s negligence and the plaintiff’s injury, and second, to eliminate the absolute defense of contributory negligence.” Id. at 230. The court then observed that while the rescue doctrine no longer was required under comparative negligence analysis to insulate the rescuer from the defense of contributory negligence, the doctrine nonetheless was essential to establish the causal nexus between the defendant’s negligence and the rescuer’s injuries:

[T]he rescue doctrine is still applicable to establish that the defendant’s negligence was the proximate cause of the plaintiff’s injury. A basic principle of the doctrine is that where the defendant has created a situation of peril for another the defendant will be held in law to have *232caused the peril not only to the victim but also to his rescuer, and so to have caused any injury suffered by the rescuer in his rescue attempt.

Id. at 230 (citing Tiley, The Rescue Principle, 30 Mod.L.Rev. 25 (1967) (positing that the rescue doctrine is a causation doctrine)).

Korte’s dual purpose analysis of the rescue doctrine has been widely accepted by courts that have considered the effect of the adoption of comparative negligence. See, e.g., Zimny v. Cooper-Jarrett, Inc., 8 Conn.App. 407, 420, 513 A.2d 1235, 1243 (causal aspect of rescue doctrine remains viable under comparative negligence), cert. denied, 201 Conn. 811, 516 A.2d 887 (1986); Solomon v. Shuell, 435 Mich. 104, 135, 457 N.W.2d 669, 683 (1990) (same); Sweetman v. State Highway Dep’t, 137 Mich.App. 14, 26, 357 N.W.2d 783, 789 (1984) (same); Pachesky v. Getz, 353 Pa.Super. 505, 519 n. 8, 510 A.2d 776, 783 n. 8 (1986) (same).

Rather than isolating the purposes of the doctrine, Korte and its progeny have identified the means employed to implement the doctrine’s purpose. The rescue doctrine, in essence, reflects the assumption that rescue is a commendable human urge to be encouraged, not penalized. To give legal cognizance to that assumption, courts, under the guise of the rescue doctrine, have tinkered with traditional tort concepts. The doctrine has been employed: (1) to establish the duty owed the rescuer by the person creating the peril, see Prosser & Keeton, supra, § 44, at 308; (2) to relieve the plaintiff of the defenses of contributory negligence and assumption of the risk, otherwise available to the person creating the initial peril, see id. § 68, at 491; Goodhart, Rescue and Voluntary Assumption of Risk, 5 Camb.LJ. 192 (1934); and (3) to help establish the causal nexus between the defendant’s negligence and the rescuer’s injury. See Tiley, supra.

Broadly stated, the issue we face is whether the policies reflected in the rescue doctrine are vindicated by application of our rules of comparative negligence, or whether those policies yet require judicial manipulation of traditional rules of duty and causation. Upon close analysis of causation rules under comparative negligence, we conclude the doctrine now serves only to establish and identify the duty owed the rescuer.

Whether the person or entity creating the peril owes a duty to the rescuer is a matter of law to be decided by the court. Calkins v. Cox Estates, 110 N.M. 59, 62, 792 P.2d 36, 39 (1990). The person or entity creating the peril owes an independent duty of care to the rescuer, which arises from a policy, deeply imbedded in our social fabric, that fosters rescue attempts. See, e.g., Prosser & Keeton, supra, § 44, at p. 308. So far as the rescue doctrine can be understood as shorthand for a public policy, reflected in the law, imposing an independent duty of care owed a rescuer by persons creating unreasonable risks of harm to others, we think that facet of the doctrine remains vital under New Mexico’s comparative negligence regime.

The dispositive issue, then, is whether we establish, as in Korte, that the negligence precipitating the rescue is in law the proximate cause of the rescuer’s injuries. We do not. Rather than to rely on the rescue doctrine’s Active notions of causation as articulated in Korte, it is more direct to rely upon the jury’s allocation of fault under traditional rules of proximate and independent intervening causation.

In New Mexico, a proximate cause of an injury is an event “which in a natural and continuous sequence [unbroken by an independent intervening cause] produces the injury, and without which the injury would not have occurred.” SCRA 1986, 13-305 (uniform civil jury instruction); Thompson v. Anderman, 59 N.M. 400, 411, 285 P.2d 507, 514 (1955). In turn, an independent intervening cause is an event that “interrupts and turns aside a course of events and produces that which was not foreseeable as a result of an earlier act or omission.” SCRA 1986, 13-306 (uniform civil jury instruction); Thompson, 59 N.M. at 411-12, 285 P.2d at 514.

The precise legal grounds upon which the trial court granted summary *233judgment are difficult to ascertain. With respect to Daniel, the trial court appears to have couched its findings on the determinative issue in terms of “unreasonable conduct as a matter of law.” If, as Ark-Les seems to acknowledge in its brief, the dis-positive issue ruled upon by the court was proximate cause, not comparative negligence, then the trial court erred. Questions of proximate cause and independent intervening cause are for the jury, except in rare cases in which reasonable minds cannot differ. See New Mexico State Highway Ass’n v. Van Dyke, 90 N.M. 357, 360, 563 P.2d 1150, 1153 (1977). In particular, the issue whether Daniel’s entry into the burning house to rescue his dog constituted an independent intervening cause of his injuries cannot be resolved as a matter of law. The foreseeability of Daniel’s actions, in the context of a superseding intervening cause, is an issue of fact. See Calkins, 110 N.M. at 66, 792 P.2d at 43 (Ransom, J., dissenting).

On the other hand, the terms employed by the trial court might be construed to relate to the presence of negligent conduct. If the trial court meant that the conduct of Daniel was so unreasonable as to preclude apportionment of fault to the original wrongdoer, such action on the part of the court constituted an unwarranted usurpation of the jury’s factfinding function under comparative negligence. If the trial court was applying a “rash or reckless” threshold for the existence of a duty,4 we reject that standard. New Mexico courts never have recognized degrees of negligence. Rather, the standard in all cases has been “ordinary care under the circumstances.” Pittard v. Four Seasons Motor Inn, Inc., 101 N.M. 723, 729, 688 P.2d 333, 339 (Ct.App.), cert. quashed, 101 N.M. 555, 685 P.2d 963 (1984); SCRA 1986, 13-1603 (uniform civil jury instruction defining ordinary care); see also Scott v. Rizzo, 96 N.M. 682, 687, 634 P.2d 1234, 1239 (1981) (abolishing distinction between ordinary and gross negligence). Our jury instructions adequately permit the jury to consider the facts and circumstances surrounding the rescue and to measure those acts in accordance with the standards of reasonableness and ordinary care.

Citing cases from other jurisdictions, Ark-Les argues that rescue of property is unforeseeable as a matter of law. Again, we find no compelling reason to so hold. Rather, whether rescue of property is unforeseeable is a question for the jury. We decline to rule there can be no duty owed to one who is summoned to rescue property by reason of danger occasioned by the negligence of another.

With respect to the claims of Daniel’s mother, Roane, Ark-Les acknowledges that a rescuer may be rescued. See, e.g., Grigsby v. Coastal Marine Serv. of Tex., Inc., 412 F.2d 1011, 1021-22 (5th Cir.1969), cert, denied, 396 U.S. 1033 (1970). Without citation to authority, Ark-Les argues, however, that in the event the jury finds that Daniel cannot recover, Roane must be barred as well. We fail to see the merit in this argument. The tortfeasor owes an independent duty to any foreseeable rescuer. Whether the initial rescuer, or any subsequent rescuer, can recover depends, as we have explained above, upon the jury’s determination of proximate cause.

We are aware of no public policy that would compel us to remove from the jury *234questions of negligence and proximate cause. Accordingly, we reverse the order granting partial summary judgment against Roane and Daniel Govich and remand for trial on the merits. Issues raised on the cross-appeal are rendered moot.

IT IS SO ORDERED.

SOSA, C.J., and BACA, J., concur.

4.2.1.2.5 Special Relationships that Ground a Duty to Aid or Protect 4.2.1.2.5 Special Relationships that Ground a Duty to Aid or Protect

4.2.1.2.5.1 Hurley v. Eddingfield -- ("The Stubborn Doctor Case") 4.2.1.2.5.1 Hurley v. Eddingfield -- ("The Stubborn Doctor Case")

This case illustrates that what the law means by a "special relationship" is not the same as one ordinary way of using that label. 

Supreme Court of Indiana.

HURLEY v. EDDINGFIELD

156 Ind. 416 (1901)

BAKER, J.

The appellant sued appellee for $10,000 damages for wrongfully causing the death of his intestate. The court sustained appellee's demurrer to the complaint, and this ruling is assigned as error.

The material facts alleged may be summarized thus: At and for years before decedent's death appellee was a practicing physician at Mace, in Montgomery county, duly licensed under the laws of the state. He held himself out to the public as a general practitioner of medicine. He had been decedent's family physician. Decedent became dangerously ill, and sent for appellee. The messenger informed appellee of decedent's violent sickness, tendered him his fee for his services, and stated to him that no other physician was procurable in time, and that decedent relied on him for attention. No other physician was procurable in time to be of any use, and decedent did rely on appellee for medical assistance. Without any reason whatever, appellee refused to render aid to decedent. No other patients were requiring appellee's immediate service, and he could have gone to the relief of decedent if he had been willing to do so. Death ensued, without decedent's fault, and wholly from appellee's wrongful act.

The alleged wrongful act was appellee's refusal to enter into a contract of employment. Counsel do not contend that, before the enactment of the law regulating the practice of medicine, physicians were bound to render professional service to every one who applied. Whart. Neg. § 731. The act regulating the practice of medicine provides for a board of examiners, standards of qualification,
examinations, licenses to those found qualified, and penalties for practicing without license. Acts 1897, p. 255; Acts 1899, p. 247. The act is a preventive, not a compulsive, measure. In obtaining the state's license (permission) to practice medicine, the state does not require, and the licensee does not engage, that he will practice at all or on other terms than he may choose to accept. Counsel's
analogies, drawn from the obligations to the public on the part of innkeepers, common carriers, and the like, are beside the mark.

Judgment affirmed.

4.2.1.2.5.2 Historically Special Relationships 4.2.1.2.5.2 Historically Special Relationships

4.2.1.2.5.2.1 Bullock v. Tamiami Trail Tours, Inc. ("The Foreseeable Racism Case") 4.2.1.2.5.2.1 Bullock v. Tamiami Trail Tours, Inc. ("The Foreseeable Racism Case")

Note! This case involves racially motivated violence and it uses outdated language to refer to the plaintiffs. I edited the latter to avoid distracting from the reasoning in the opinion (but feel free to read behind my edits). I have included the opinion itself because it is a good illustration of the relevant legal principles and because its inclusion helps to highlight the relationship between race and torts--a relationship that might otherwise be erased.

Helen H. BULLOCK and Grover C. Bullock, Appellants, v. TAMIAMI TRAIL TOURS, INC., Appellee.

No. 17461.

United States Court of Appeals Fifth Circuit.

April 20, 1959.

*327Victor M. Cawthon, Tallahassee, Fla., for appellants.

Chas. H. Spitz, A. Frank O’Kelley, J. Velma Keen, Tallahassee, Fla. (Keen, *328O’Kelley & Spitz, Tallahassee, Fla., on the brief), for appellee.

Before RIVES and TUTTLE, Circuit Judges, and SIMPSON, District Judge.

RIVES, Circuit Judge.

The appellants are Negroes, British subjects, natives of Jamaica, married to each other, and in their early fifties. For more than twenty years the husband has been a minister of the Church of England. The wife is a musician and teacher. Racial segregation is not practiced in the island of Jamaica.

Prior to 1956, the appellants had left that island on only one trip and that was to European countries and South American countries which did not segregate the races. They were not familiar with the racial segregation practiced in the Southern part of the United States.

In August 1956, they decided to make an extended visit to the United States, landing in Miami and going by bus first to Kansas City and then to New York. They made arrangements for the trip through the Mountain Travel Service before leaving Jamaica and bought tickets over the appellee’s bus line. When the bus arrived in Perry, Florida, they were sitting together in the forward part of the bus usually occupied by white passengers. The husband was dark or black, while the wife, though a Negress, appeared to be a white woman.

• At Perry, Florida, one Milton Poppell entered the bus and violently assaulted and beat the husband and slapped the wife. The circumstances are well described in the testimony of Poppell, quoted in the margin.1 Other evidentiary *329facts are stated in some detail in the opinion of the district court reported in 162 F.Supp. at page 203 et seq.

After reaching New York, the appellants brought suit against the appellee in a New York State Court, claiming that the appellee had breached the duties owed to them as passengers by omitting to warn them of a foreseeable danger, by failing to protect them from that danger, and by willfully, or at least negligently^ aggravating the danger. The appellee,, incorporated under the laws of Florida,, being sued by citizens and subjects of *330Great Britain, had the case removed to the United States District Court for the Eastern District of New York.2 That Court transferred the action to the United States District Court for the Northern District of Florida.3

There the case was tried to the court without a jury. After fairly finding the evidentiary facts in a manner to which the appellants take only minor exceptions, the district court entered judgment for the defendant, feeling that the law of the State of Florida required it to do so, and said in part:

“In Hall v. Seaboard Air Line Ry. Co., 84 Fla. 9, 93 So. 151, the Florida Supreme Court held that a carrier was not liable to a passenger for an unprovoked and illegal assault in cases such as this case. Without regard to the views of this Court as to what the law should be in such a case as this the decision of this Court is completely controlled by the decision of the Supreme Court of Florida in the ease cited above.
“Erie Railroad Company v. Tompkins, 304 U.S. 64, 58 S.Ct. 817, 82 L.Ed. 1188.”

Bullock v. Tamiami Trail Tours, D.C. N.D.Fla.1958, 162 F.Supp. 203, 205.

We are not in agreement with the district court either as to the Florida law or as to the ultimate facts, inferences or conclusions of duty and breach of duty on the part of the appellant carrier. In so far as those ultimate facts are simply the result reached by processes of legal reasoning from, or the interpretation of the legal significance of, the evidentiary facts, they are subject to review by this Court free from the restraining influence of the “clearly erroneous” rule, Rule 52 (a), Federal Rules of Civil Procedure, 28 U.S.C.A.; Galena Oaks Corporation v. Scofield, 5 Cir., 1954, 218 F.2d 217, 219. To the extent that the inference of negligence is controlled by Rule 52(a), supra, this Court, on the entire evidence, “is left with the definite and firm conviction that a mistake has been committed.” United States v. United States Gypsum Co., 1948, 333 U.S. 364, 395, 68 S.Ct. 525, 542, 92 L.Ed. 746.

In Hall v. Seaboard Air Line Ry. Co., 84 Fla. 9, 93 So. 151, the case relied upon by the district court as dispositive of the case at bar, a female passenger was assaulted by a male passenger in a Pullman berth, they being the only two occupants of the car. Holding that the plaintiff’s proof failed to support her allegations that a porter and conductor heard her calls and bells in time to have prevented the assault, the court stated:

“The liability of the carrier in such case rests, not upon the tort of the passenger, but upon the negligent omission of the carrier through its servants to prevent the tort being committed. A failure to do anything which could have been done by the servant to prevent the injury renders the carrier liable. But to do something to prevent an injury resulting from an assault by a fellow passenger implies knowledge on the part of the servant that the act is contemplated by the stranger, or by due diligence the servant could have obtained such knowledge, or had the opportunity to acquire it sufficiently long in advance of its infliction to have prevented it with the force at his command. 4 R.C.L. 1185.
“In guarding a passenger from a danger which is not usual or not incident to ordinary travel the carrier is held to the use of ordinary and reasonable care and diligence. It is the failure of the carrier through its agents to afford the required protection, after they had reasonable grounds for believing that violence or the insult was imminent, upon which the liability of the carrier rests. It is not the fact of injury to the passenger that fixes the carrier’s liability. The injury must have been of such character and inflicted under such circumstances as that it might *331have been reasonably anticipated or naturally expected to occur.” (Italics supplied.) 93 So. at pages 156-157.

In Kenan v. Houstoun, 1952, 150 Fla. 357, 7 So.2d 837, 838, where, after alighting from the Florida East Coast train, plaintiff was struck on the legs by an ejection of steam from a nearby L&N train causing her to move about rapidly and fall over baggage, the court, in quashing a judgment against the Florida East Coast Railway, stated:

“ * * * When it appears that the agency which caused the injury was other than defendant or its agents the plaintiff must prove that defendant knew or by the exercise of ordinary care could have known of it in time to remove the cause of the injury. 10 Am.Jur. 173, Chesapeake & O. Ry. Co. v. Burton, 4 Cir., 50 F.2d 730, 731.
“It is settled law that under the facts stated the Florida East Coast was bound to furnish Mrs. Houstoun reasonably safe facilities for leaving the train and to remain in the station but unless said company or its agents were in some way responsible or could have foreseen and prevented the accident, it cannot be held responsible for injury caused by the negligent act of a third person. In this case, the L. and N. Railway was the third person and we think was responsible for the accident. It was in no way attributable to the negligence of petitioner nor do we know of any criterion by which it could have been put on notice of it. It had not happened before and the character of it was of such a nature that it could not have been reasonably foreseen.” (Italics supplied.)

Therefore, in Hall v. Seaboard Air Line Ry. Co. and Kenan v. Houstoun, supra, the rule may be generally stated that a carrier is liable for injury to its passenger caused by a fellow passenger or a third party if such injury by its nature could have been “reasonably anticipated” or “naturally expected to occur” or “reasonably foreseen” in time to have prevented the injury. [84 Fla. 9, 93 So. 157.] If the injury could have been reasonably anticipated in time to have prevented its occurrence, the carrier is subjected to the highest degree of care to its passenger either to protect him from or to warn him of the danger.4

It was impossible for the driver to have protected the Bullocks from Poppell’s assault after his intent became evident, but we think that the district court was clearly erroneous in holding that Tamiami could not have reasonably anticipated or foreseen the danger to the Bullocks in time to have at least warned them of its imminence. We can visualize no stronger case than this to show a situation where two bus drivers and the bus company officials should have reasonably anticipated that mischief was hovering about and that the Bullocks were in some danger.

The first driver testified that many people in West Florida would not approve of the Bullocks’ being seated together toward the front of the bus. Driver Cunningham stated that there would have been less chance of trouble if the Bullocks had been sitting in the back. The first driver, after explaining to a complaining passenger that he could not move the Bullocks, heard another passenger say something like “they probably will move on down the line.” Both drivers had actual notice of the two Company bulletins dated January 31, 1953, and January 23, 1956, the latter plainly warning the drivers of possible racial disturbances.5 Certainly, the first driver *332and, no doubt, Cunningham knew the Bullocks were Jamaicans and British Nationals, and it is logical to infer that the drivers knew the Bullocks were not experienced with “southern tradition.” All of the appellee’s witnesses testified that this was the first instance they knew of in that part of the country where a Negro man and a seemingly white woman were seated together on a public carrier.

Furthermore, this Court will take judicial notice (as the district court should have done) of the commonly and generally known fact that the folkways prevalent in Taylor County, Florida, the county seat being Perry, would cause a reasonable man, familiar with local customs, to anticipate that violence might result if a Negro man and a seemingly white woman should ride into the county seated together toward .the front of an inter urban bus.6

The next question is whether or not Tamiami, so charged with a duty of foreseeing danger to its passengers, took proper precautions to avoid such danger by the “utmost care and diligence of very cautious persons.” 7 We think that Tamiami failed to exercise this care in several ways. It should have instructed its agency in Jamaica to. advise Negroes applying for passage’ through the southern part of the United States of the South’s tradition of segregation.. It should have instructed its driver to advise Negroes who were obviously foreigners, here known to be such, of segregation customs. The driver should have explained to the Bullocks his reasons for wanting them to move. Above all, the driver should not, either willfully or negligently, have informed the assailant of the Bullocks’ position on the bus and of their apparent color and lack of color.

The district court found, at least impliedly, that Tamiami was not guilty of any willful or aggravated misconduct justifying the imposition of punitive damages, and to that extent its finding is not clearly erroneous. Upon the present record, however, we conclude that the danger should reasonably have been foreseen by Tamiami in time to act with the utmost care to avoid injury to its passengers, particularly by warning them and by not doing foolish things to increase their danger, and that Tamiami breached the duty owed to its passengers, the appellants. The judgment is therefore reversed and the cause remanded with directions8 to enter judgment for each of the plaintiffs, appellants, and upon the evidence contained in this record, to award each of them reasonable compensatory damages, including damages for physical injury and mental suffering and humiliation.9

Reversed and remanded with directions.

4.2.1.2.5.3 Ad Hoc Special Relationships 4.2.1.2.5.3 Ad Hoc Special Relationships

4.2.1.2.5.3.1 Lauritzen v. Lauritzen ("The Couples Lawsuit Case") 4.2.1.2.5.3.1 Lauritzen v. Lauritzen ("The Couples Lawsuit Case")

How does the plaintiff try to establish a special relationship in this case, and why don't those efforts succeed?

[No. 15777-2-II.

Division Two.

June 2, 1994.]

Christine Lauritzen, Appellant, v. Bret Lauritzen, Respondent.

*434 Stanley J. Rumbaugh and Rumbaugh & Rideout, for appellant.

David M. Jacobi and Wilson, Smith, Cochran & Dickerson, for respondent.

Alexander, J.

Christine Lauritzen (Christine) appeals an order of the Pierce County Superior Court granting a summary judgment in favor of her husband, Bret Lauritzen (Bret). She contends that the trial court erred in concluding, as a matter of law, that Bret, the driver of a vehicle in which she was riding as a passenger when she was injured by a third party, had no legal duty to protect her from the foreseeable criminal acts of that third party. We affirm.

On January 7,1990, the Lauritzens, residents of Puyallup, arrived in Miami, Florida, for several days of vacation, after spending a week vacationing on Grand Cayman in the Cayman Islands.1 The Lauritzens had been warned by friends and relatives "to be careful” in Miami because it was "different” from Grand Cayman. They were also warned to "watch [their] back all the time, that there are certain areas to stay out of’ including areas "along the beachfront”. When they arrived at their hotel in Miami, they found a pamphlet in their room that warned visitors to take various security measures, including locking doors and identifying people before opening the door. Christine also observed that there were "three deadbolts on the door and cameras around”.

*435On the day following their arrival in Miami, Bret and Christine drove into "Miami City” in order to do some shopping. As they left a store late in the day, an employee told them "to hurry up and get to [their] car because it got quite dangerous when the police kind of get ready and leave”. The store employee also told them to "be careful[,] get to you[r] car[,] and get out of here”. Christine observed that this area of the city was "a very bad area to be after dark”.

The Lauritzens reached their car safely. As they departed the parking lot between 6:45 and 7 p.m., Bret asked the parking attendant about the best route to return to the freeway that would take them to their hotel in the "[Miami] beach area”. The attendant told Bret that "it’s real easy. . . . when you get out of here, take the left, and you’ll hit the on-ramp right there”. Bret left the parking lot and turned right, telling Christine, "I’m going my own way home. . . . I’m going to take the scenic route”.

They soon became lost, and Bret became angry. Whenever Christine tried to give directions, Bret told her to "shut [her] mouth”. At one point they drove by a police station, and Christine suggested that they stop and ask directions. Bret refused. Christine also suggested that they go back to the parking lot and follow the parking attendant’s directions. Bret again refused. Although Bret had a map on his lap as he was driving, he would not let Christine examine it. After driving for approximately 45 minutes to 1 hour, they arrived, according to Christine, in "a very ugly part of town”.

Bret finally pulled into the parking lot of a convenience store in order to examine his map with better light. The Lauritzens remained in the vehicle. Approximately 5 minutes later, Christine, while looking through the mirror on her side, saw a person "kind of crouch down, coming around the car”. She screamed, and a rock crashed through the window. The unidentified assailant then reached into the car and grabbed a shopping bag that was lying on the floor of the car. Bret "put the car in drive and took off’. As they sped away, Bret asked her if she was shot. Christine *436answered that she "didn’t know, and . . . wasn’t going to look because [she] felt real f[a]int”.

Bret eventually pulled the car into a gas station, where he called the police. It was later discovered that Christine had been injured by flying glass from the shattered window.

Christine thereafter filed a complaint in Pierce County Superior Court against Bret, generally alleging that Bret was negligent in failing to adequately protect her safety in that he placed her in the danger that ultimately resulted in her being injured. Bret denied liability and moved for summary judgment, contending that, under the circumstances, he had no legal duty to protect his wife from the criminal acts of third parties. In support of his motion, Bret submitted Christine’s complaint and excerpts from her deposition. In opposition to the motion, Christine submitted additional excerpts from her deposition. The trial court granted Bret’s motion, concluding that Bret owed Christine no legal duty under the circumstances.

Following Christine’s appeal to this court, we requested additional briefing on the question of which law should apply, Washington’s or Florida’s.

I

Bret contends that the trial court should have applied Florida law, which he claims would bar this action pursuant to Florida’s interspousal immunity doctrine. Christine asserts that the trial court properly applied Washington law to the merits of the case.

In any conflict of laws case, our first task is to determine if an actual conflict of laws exists. "An actual conflict between the law of Washington and the law of another state must be shown to exist before Washington courts will engage in a conflict of law analysis.” Burnside v. Simpson Paper Co., 123 Wn.2d 93, 103, 864 P.2d 937 (1994); International Tracers of Am. v. Estate of Hard, 89 Wn.2d 140, 144, 570 P.2d 131 (1977), appeal dismissed, 435 U.S. 1004 (1978). If the laws and interests of the concerned states are not in conflict the result is deemed a "false” conflict or no conflict at all. Burnside, at 100 n.3; see Robert A. Leflar et al., American Conflicts Law § *43792, at 270-73 (4th ed. 1986). In the absence of a conflict, the forum is free to apply its own law. Burnside, at 104.

We are persuaded that no conflict exists between Florida law and Washington law. The doctrine of interspousal immunity has been abolished in both states. See Freehe v. Freehe, 81 Wn.2d 183, 192, 500 P.2d 771 (1972); Waite v. Waite, 618 So. 2d 1360, 1361 (Fla. 1993) ("[W]e now find that there no longer is a sufficient reason warranting a continued adherence to the doctrine of interspousal immunity. . . . [B]oth public necessity and fundamental rights require judicial abrogation of the doctrine.”).2 Thus, it is unnecessary for us to engage in a conflict of laws analysis of the laws and policies of the two states and we will simply apply Washington law in determining the issues presented by this appeal.

II

Christine contends that the trial court erred in concluding, on summary judgment, that Bret, as the driver of a vehicle, owed no legal duty to Christine, as a passenger, to protect her from foreseeable criminal acts of an unknown third party. Bret asserts that such a duty has never been recognized under Washington law, and that we should decline to recognize one now.

Summary judgment is properly granted when the pleadings, affidavits, depositions and admissions on file demonstrate that there is no genuine issue of material fact and that the moving party is entitled to judgment as a matter of law. CR 56(c); Kesinger v. Logan, 113 Wn.2d 320, 325, 779 P.2d 263 (1989). All facts and reasonable inferences must be considered in the light most favorable to the non-moving party, and summary judgment should be granted only if, given all of the evidence, reasonable persons could reach but one conclusion. Scott v. Pacific W. Mt. Resort, 119 Wn.2d 484, 502-03, 834 P.2d 6 (1992); Kesinger, at 325. The burden is on the moving party to demonstrate that there is no issue of material fact. Scott, at 503. We review a trial court’s grant of summary judgment de novo, and engage in *438the same inquiry as the trial court. Wilson v. Steinbach, 98 Wn.2d 434, 437, 656 P.2d 1030 (1982).

In order to prove actionable negligence, a plaintiff must establish: (1) the existence of a duty owed to the complaining party; (2) a breach of that duty; (3) injury; and (4) that the claimed breach was a proximate cause of the resulting injury. Hansen v. Friend, 118 Wn.2d 476, 479, 824 P.2d 483 (1992); Pedroza v. Bryant, 101 Wn.2d 226, 228, 677 P.2d 166 (1984). A threshold question in any negligence case is whether the defendant owed a duty of care to the plaintiff. Whether a defendant owes a duty of care to a plaintiff is a question of law. Hansen, at 479; Pedroza, at 228. Absent a duty of care, a defendant is not subject to liability for negligent conduct.

Under the common law "a private person does not have a duty to protect others from the criminal acts of third parties”. Hutchins v. 1001 Fourth Ave. Assocs., 116 Wn.2d 217, 223, 802 P.2d 1360 (1991); see E.L. Kellett, Annotation, Comment Note Private Person’s Duty and Liability for Failure To Protect Another Against Criminal Attack by Third Person, 10 A.L.R.3d 619 § 3 (1966) (hereinafter Annot., Duty and Liability) (collecting cases). Washington has recognized an exception to this general rule in cases where "a special relationship exists between the defendant and either the third party or the foreseeable victim of the third party’s conduct”. Hutchins, at 227 (quoting Petersen v. State, 100 Wn.2d 421, 426, 671 P.2d 230 (1983)).

The "special relationship” that triggers a duty of care is described in the Restatement (Second) of Torts § 315 (1965), which provides as follows:

There is no duty so to control the conduct of a third person as to prevent him from causing physical harm to another unless
(a) a special relation exists 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 exists between the actor and the other which gives to the other a right to protection.

Petersen, 100 Wn.2d at 426 (quoting with approval Restatement (Second) of Torts § 315 (1965)).

*439Both Bret and Christine concede that there was no special relationship between the unknown assailant and Bret to warrant the imposition of a legal duty under subsection (a). Despite this concession, Christine relies in part on Petersen, at 428, where our Supreme Court held that a psychiatrist had a duty to take reasonable precautions to protect foreseeable victims from the criminal acts of the psychiatrist’s patient because of the special relationship between the psychiatrist and the patient under § 315(a). This holding has no applicability to our analysis as to whether a duty exists here under subsection (b) because, as we have noted, Christine did not allege a special relationship between Bret and the criminal actor.

Christine contends that under § 315(b) of the Restatement, a special relationship existed between Christine and Bret, not as husband and wife, but as driver and passenger, that gave rise to a legal duty on the part of Bret to afford her "a right to protection”. She asks us to recognize this special relationship under Washington law.

Those relationships between a defendant and a foreseeable victim that have been previously recognized by Washington courts as "special”, and, therefore, giving rise to a legal duty to protect the victim from foreseeable criminal acts of third parties, have been described as "protective in nature, historically involving an affirmative duty to render aid”. Hutchins, at 228; see W. Page Keeton et al., Prosser and Keeton on Torts § 56, at 383 (5th ed. 1984) (hereafter Prosser & Keeton). Examples of special relationships include: a school district toward a pupil, McLeod v. Grant Cy. Sch. Dist. 128, 42 Wn.2d 316, 319-22, 255 P.2d 360 (1953); an innkeeper to his or her guests, Miller v. Staton, 58 Wn.2d 879, 883, 365 P.2d 333 (1961) (duty of innkeeper to protect guests from criminal activity of other guests); a common carrier to its passengers, Hutchins, at 228;3 an employer to his or her employees, *440 Bartlett v. Hantover, 9 Wn. App. 614, 621, 513 P.2d 844 (1973) ("employer has a duty to make reasonable provision against foreseeable dangers of criminal misconduct to which the employment exposes the employee”), rev’d in part on other grounds, 84 Wn.2d 426, 526 P.2d 1217 (1974); a hospital to its patients; and a business establishment toward its customers. See Hutchins, at 228 (citing examples from Prosser & Keeton § 56, at 383).

In all of the above, the special relationship involved situations where one party was, in some sense, entrusted with the well being of another. The entrustment aspect is what appears to us to underlie the imposition of the additional duty to protect someone from foreseeable criminal acts of third parties. Christine asks us to recognize a new special relationship that would trigger a legal duty — namely, the relationship between an automobile driver and his or her passenger. She does not cite, nor have we been able to locate, a decision of any court that recognizes such a "special relationship”.

There are admittedly some similarities between a driver/ passenger relationship and those "special relationships” that have been recognized previously by Washington courts. The driver of an automobile, like an employer, innkeeper, or common carrier, has substantially more control over the place where the incident occurred and the activities in and around that place than does the subordinate passenger. Furthermore, the passenger has no ability to direct the vehicle, and no ability to exit the vehicle while it is in motion. The major difference, however, is that in all the situations where a special relationship has been recognized, the party that has been found to have a legal duty was in a position to provide protection from foreseeable criminal acts of third parties because he or she had control over access to the premises *441that he or she was obliged to protect. Employers and innkeepers, as we have noted above, are obliged to provide some protection to employees and guests on their premises. The same rationale applies to schools, hospitals, business establishments, and common carriers.

Drivers of passenger vehicles and passengers do not appear to be in the same situation. A driver of a car clearly is not in control of the surrounding streets and highways or the conduct of other persons using those streets or highways. It is difficult to imagine what reasonable precautions a driver could take, beyond locking doors, to control access to a vehicle while, for instance, it is stopped at a traffic light or parked in a parking lot.4

Furthermore, most of the existing special relationships involve situations where the prospective defendant (employer, innkeeper, business owner) is benefiting financially from the prospective plaintiff (employee, guest, business invitee). See Annot., Duty and Liability § 2, at 625. There is ordinarily no such financial relationship between driver and passenger. Finally, there is no historic duty on the part of a driver to render aid to a passenger. See Hutchins, at 228.

In at least one special relationship recognized in Washington, the scope of the duty to protect someone against the criminal acts of a third party has been limited somewhat. Innkeepers are responsible only for protecting their guests from the criminal acts of other guests. Miller, at 883. If a duty on the part of a driver to protect a passenger from criminal acts of a third party is eventually recognized, it should be similarly narrow.5 For instance, there may be an argument for *442a "special relationship” giving rise to a legal duty on the part of a driver to protect a passenger against foreseeable criminal acts by other passengers. That would be consistent with the aforementioned duty of an innkeeper to protect guests from the criminal acts of other guests. See Waldron v. Hammond, 71 Wn.2d 361, 363, 428 P.2d 589 (1967); Miller, at 883. Christine asks us to define a broader duty.

If we were to require a driver to protect his or her passenger from foreseeable criminal acts of third parties we would be requiring more of that person than we do of other persons in the "special relationships” that have previously been recognized in Washington. Even if we were to view the driver’s automobile as his or her "premises”, the duty would necessarily extend beyond the reach of the vehicle itself given the inherent mobility of an automobile. Given the unfortunate fact of pervasive crime and violence in many urban areas, drivers could, if we were to adopt Christine’s position, be held liable for merely driving in an urban area at night, because criminal acts are certainly foreseeable in such areas. We are not inclined to impose such a duty.

Christine further asks us to recognize a special relationship between an automobile driver and a passenger based on a balancing of public policies. She relies on Roberts v. Pinkins, 171 Mich. App. 648, 430 N.W.2d 808 (1988), a case decided by the Michigan Court of Appeals, and a law review article, Gregory A. Crouse, Comment, Negligence Liability for the Criminal Acts of Another, 15 J. Marshall L. Rev. 459 (1982). The Pinkins court established a balance of interests to determine if a special relationship exists. "[T]he court must balance the societal interests involved, the severity of the risk, the burden upon the defendant, the likelihood of occurrence, and the relationship between the parties.” Pinkins, at 652. Additional factors that contribute to the finding of a duty include the foreseeability of criminal activity, the defendant’s ability to cope with the proposed duty, the victim’s inability to protect himself or herself from criminal activity, the costs of providing protection, and whether the plaintiff bestowed some economic benefit on the *443defendant. See also Annot., Duty and Liability § 2, at 624-25. For the reasons stated previously, we are persuaded that these factors weigh against imposing a duty on a driver.

III

Christine next cites the Restatement (Second) of Torts § 302B to support her claim that Bret owed her a duty. That section provides that, even absent a special relationship, there may be some situations where a duty arises to protect a person from the criminal acts of third parties.6 However, § 302B recognizes a duty if "the defendant’s property affords a special (or peculiar) temptation or opportunity for crime” or if the defendant’s affirmative actions bring about a special "temptation or opportunity” for criminal conduct. Hutchins, at 230-32. Bret’s vehicle did not, in our judgment, present a special temptation as it sat in the parking lot of a convenience store. Comment d to § 302B explains that a defendant may "proceed upon the assumption that others will obey the law”. Hutchins, at 230. Bret did exactly that. He had no prior knowledge of specific criminal activity in the exact location where he parked the car. In Hutchins, the court found that this section of the Restatement did not apply to the owner of a building in which a person was attacked, observing that "[c]riminal conduct ... is an unfortunate fact of urban life. . . . [and] if we were to hold to the contrary, we would essentially make urban land possessors the insurers of all those passing on public sidewalks or streets.” Hutchins, at 232-33. The same logic applies to the facts of this case. No duty exists under § 302B.

IV

In light of all the authorities noted above, we conclude that there was no "special relationship” between Bret Lauritzen, as a driver of a private passenger vehicle, and Christine Lauritzen, as his passenger, which gave rise to a *444duty on the part of Bret to protect her from the foreseeable criminal acts of third parties.7

Affirmed.

Morgan, C.J., and Seinfeld, J., concur.

Review denied at 125 Wn. 2d 1006 (1994).

4.2.1.3 Special Duty Rules 4.2.1.3 Special Duty Rules

4.2.1.3.1 Morgan v. District of Columbia ("The Officer Case") 4.2.1.3.1 Morgan v. District of Columbia ("The Officer Case")

Focus on the doctrinal details of the public duty rule. What is the effect of this doctrine? Does it make sense?

468 A.2d 1306 (1983)

Garnett P. MORGAN, et al., Appellants,
v.
DISTRICT OF COLUMBIA, Appellee.

No. 79-588.

District of Columbia Court of Appeals.

Argued En Banc February 18, 1983.
Decided September 30, 1983.[*]

1308*1308 Harlow Case, with whom Jack H. Olender, Washington, D.C., was on the response to the petition, for appellants.

Charles L. Reischel, Deputy Corp. Counsel, Washington, D.C., with whom Judith W. Rogers, Corp. Counsel, Washington, D.C., at the time of en banc argument, was on the petition, for appellee.

Before NEWMAN, Chief Judge, KERN, NEBEKER, MACK, FERREN, PRYOR, BELSON and TERRY, Associate Judges, and GALLAGHER and KELLY[**], Associate Judges, Retired.

GALLAGHER, Associate Judge, Retired:

In an action for negligence and wrongful death against the District of Columbia, a jury returned a verdict in favor of appellants on March 6, 1979. On April 20, 1979, the trial court granted the District of Columbia's motion for judgment notwithstanding the verdict on the ground that appellants had failed to establish the applicable standard of care by which to measure the actions of police officers in the performance of their official duties. In a split-decision, a three-judge panel of this court reversed the trial court and reinstated the jury's verdict. Morgan v. District of Columbia, 449 A.2d 1102 (D.C.1982). The full court vacated the panel's decision and heard arguments en banc. We affirm the trial court's grant of the motion for judgment notwithstanding the verdict.

Absent a special relationship between police department and victim, liability for failure to protect individual citizens from crime does not generally lie against police officials, who occupy positions necessarily fraught with discretion in the administration of justice. Appellants do not fall within the narrow exception to this longstanding rule. Furthermore, the facts of this case, as a matter of law, cannot support a finding of negligence by the city.

In August 1974, Garnett Pinkney Morgan telephoned Metropolitan Police Department Seventh District Headquarters and spoke to Captain Francis J. Tiernan. She told Tiernan that her husband, Officer John Morgan, Jr., who was then assigned to the Seventh District, had threatened her with a gun the night before at their home in Maryland and a month earlier had beaten her, causing her eye to bruise. According to her testimony at trial, Morgan had come home in the early morning hours and after dragging her out of bed, "put the gun to my head and told me that if I didn't leave within the next couple of days, that he would kill me." Morgan then sat in the bedroom chair and eventually fell asleep, whereupon Garnett Morgan left for her mother's house, taking the two-year old and four-year old children with her.

That afternoon, Morgan called Captain Tiernan and explained what had happened, including the earlier eye injury. She told him that she was at her mother's house and was afraid that her husband was going to kill her. Garnett Morgan then asked Captain Tiernan if he "would just make [her husband] stay away" from her. Tiernan suggested she file a complaint with the Maryland authorities because the alleged assault had occurred in her Maryland home. She declined to do so because she did not want to "intimidate" her husband by "having police come to the house. I don't know what he may have done at that time." She also did not want to file a written complaint against her husband with Captain 1309*1309 Tiernan; rather, she had called Tiernan "asking for his assistance with my husband, and just to ask [her husband] to stay away from me." Tiernan told her that he could not "put a man out of his own house," but that when Officer Morgan reported to work he would talk with him and call her back.

Captain Tiernan then contacted Lieutenant Bruce H. Swank, Morgan's immediate supervisor, and asked him to bring Morgan in to talk with them. Officer Morgan had been under Swank's command for the previous two years. During this time, according to Swank's trial testimony, Garnett Morgan had called him several times to complain that "her husband was fighting with her, and that he was beating on her, and generally, they were having family arguments." Each time she called, Swank, as part of his normal procedure in handling these kinds of incidents, asked whether a gun was involved, and each time Garnett Morgan said there was not. In Officer Morgan's personnel file, there was no indication of violent conduct during his five years with the department.[1]

Captain Tiernan and Lieutenant Swank met for a discussion with Officer Morgan, told him of Garnett Morgan's report that they had been fighting and, "told him that if he couldn't get along with his wife, that he should leave." After the meeting Tiernan called Garnett Morgan. According to her testimony, Tiernan told her that he "had talked with John and had explained some things to him, and he [Tiernan] said that maybe it would be best if we just separated." Thereafter, Garnett Morgan found an apartment and moved into the District of Columbia. She called Captain Tiernan to let him know that she was moving, and also to assure that Officer Morgan was at work when she moved from her Maryland residence. Unable to ascertain this information immediately, she called several times until Tiernan finally was able to inform her that Morgan had reported and would be at work. She quickly packed her belongings along with some furniture and moved into the apartment, not informing her husband of her whereabouts and maintaining an unlisted telephone number.

Three months later, Officer Morgan arrived at his wife's apartment, choked her into unconsciousness, and forced her into his car. Threatening to kill her if she objected, he drove to her parents' home, took their two children and left. Garnett Morgan then called the police. Along with two other officers, Lieutenant John R. Bowles, Jr. responded to the call and she told him what had happened, including the beating in July and the August gun threat. Lieutenant Bowles contacted Officer Morgan and directed him to report to the precinct. Morgan said that he would do so after he brought the children to the Pinkney house. When Morgan arrived, he was met by the Lieutenant, but rather than proceed with him to the precinct, Morgan carried the youngest child, with the older child beside him, toward the house. Lieutenant Bowles walked behind them. Officer Morgan walked into the house, said to his wife, "I told you so," then took out his revolver and shot at her twice; one of the bullets wounded her and the other hit John Keith, his son. Morgan then turned and shot Lieutenant Bowles, shot and killed Elton Pinkney, and surrendered to the police.[2]

At trial, Garnett Morgan testified to the events of the preceding months, including her telephone call to Captain Tiernan informing him that Officer Morgan had threatened her with his service revolver. 1310*1310 Captain Tiernan testified that "general orders" require him to conduct an official investigation when anyone, including an officer's wife, reports an improper use of an officer's service revolver. Written statements from the individuals concerned must be obtained and a report and recommendation submitted to his superiors. Captain Tiernan testified that he did not "investigate" Garnett Morgan's complaint[3] nor did he prepare a written report or recommendation regarding the incident.

 

I

 

To avoid later confusion, it is important to state first what this case is not about. It is not about a situation where the police do not respond to an urgent call from a citizen who is in immediate danger of being harmed. In this case, on both occasions the police responded to the requests of Garnett Morgan. Her first request to the police captain was that he speak to her husband in an effort to "keep him away from me" because of the violent threats her husband, a police officer, had made to her. The police complied with this request.

Several months later, the next request was for police aid due to the violence her husband had perpetrated on her and the danger she felt she was then in. The police complied with her request promptly and, when the tragic shootings occurred, the police lieutenant was in the act of arresting her husband — who then briefly eluded the lieutenant by the ruse of returning his children to his wife and perpetrated the shootings.

One may, therefore, rule out in the beginning any notion that this case brings into play other decisions where the police abandon someone in distress or in immediate danger. Here, on both occasions the requests made of the police by Garnett Morgan were complied with promptly. The only genuine question is whether the police should have done more and, not having done more, whether this had, as a matter of law, an attributable relation to the injuries such as to cause responsibility on the part of the city government for damages resulting from the shootings.

 

II

 

Over a century ago, the Supreme Court enunciated a rule which remains the law: law enforcement officials and, consequently, state governments generally may not be held liable for failure to protect individual citizens from harm caused by criminal conduct. South v. Maryland, 59 U.S. (18 How.) 396, 15 L.Ed. 433 (1856); e.g., DeHoney v. Hernandez, 122 Ariz. 367, 372, 595 P.2d 159, 164 (1979) (en banc); Shore v. Town of Stonington, 187 Conn. 147, ___, 444 A.2d 1379, 1381 (1982); Warren v. District of Columbia, 444 A.2d 1, 3 (D.C.1981); Crouch v. Hall, 406 N.E.2d 303, 304 (Ind.App.1980); Porter v. Urbana, 88 Ill.App.3d 443, 445, 43 Ill.Dec. 610, 612, 410 N.E.2d 610, 612 (1980); Commercial Union Ins. Co. v. City of Wichita, 217 Kan. 44, 536 P.2d 54 (1975); Riss v. City of New York, 22 N.Y.2d 579, 240 N.E.2d 860, 293 N.Y.S.2d 897 (1968); Trujillo v. City of Albuquerque, 93 N.M. 564, 569, 603 P.2d 303 (1979); Chapman v. City of Philadelphia, 290 Pa.Super. 281, 283, 434 A.2d 753, 754 (1981); Walters v. Hampton, 14 Wash.App. 548, 543 P.2d 648 (1975); see generally 18 E. MCQUILLAN, MUNICIPAL CORPORATIONS §§ 53.04a, b (3d ed. 1977); Note, Police Liability for Negligent Failure to Prevent Crime, 94 HARV.L.REV. 821 (1981) [hereinafter cited as Police Liability]; Annot., 46 A.L.R.3d 1084 (1972). But cf. Stewart v. Schmieder, 386 So.2d 1351, 1358 (La.1980); Coffey v. City of Milwaukee, 74 Wis.2d 526, 534, 247 N.W.2d 132, 137-38 (1976). The rule embodies a doctrine differentiating between public and private duties:

[I]f the duty which the official authority imposes upon an officer is a duty to the public, a failure to perform it, or an 1311*1311 inadequate or erroneous performance, must be a public and not an individual injury, and must be redressed, if at all, in some form of public prosecution. On the other hand, if the duty is a duty to the individual, then a neglect to perform it, or to perform it [im]properly, is an individual wrong and may support an individual action for damages.

2 COOLEY, TORTS § 300 at 385-86 (4th ed. 1932) (citation and footnotes omitted). A duty to protect individuals from criminal conduct "is a public duty, for neglect of which the officer is amenable to the public, and punishable by indictment only." South v. Maryland, supra, 59 U.S. at 403; see Warren v. District of Columbia, supra, 444 A.2d at 4; Shore v. Town of Stonington, supra, 187 Conn. at ___, 444 A.2d at 1381-82; Crouch v. Hall, supra, 406 N.E.2d at 304-05.

In recent years, municipalities have experienced a rash of lawsuits aimed at holding public officials at various levels of supervisory responsibility accountable for torts committed during the course of their duties. As a result, courts have had occasion to consider, and to reaffirm, the various policies which have led the law to determine that the duty to prevent crime is a general duty owed to the public and, therefore, unenforceable by any one individual. Shore v. Town of Stonington, supra, 187 Conn. at ___, 444 A.2d at 1382 (discussing relation of duty to policy); see W. PROSSER, TORTS § 53 (4th ed. 1972) (concept of duty expresses "sum total" of policy considerations). Foremost is the practical realization that individuals, juries and courts are ill-equipped to judge "considered legislative-executive decision[s]" as to how particular community resources should be or should have been allocated to protect individual members of the public. Riss v. City of New York, supra, 22 N.Y.S.2d at 579, 240 N.E.2d at 860, 293 N.Y.S.2d at 897; see Jaffe, Suits Against Governments and Officers: Damage Actions, 77 HARV.L.REV. 209, 237 (1963) ("court cannot undertake to determine whether complex governmental decisions are `reasonable'"). Severe depletion of these resources could well result if every oversight, omission or blunder made by a police official rendered a state or municipality potentially liable in compensatory, let alone punitive damages. Massengill v. Yuma County, 104 Ariz. 518, 523, 456 P.2d 376, 381 (1969) (en banc). In effect, police officials would be placed in the position of insuring the personal safety of every member of the community, notwithstanding limited resources and the inescapable choices of allocation that must be made. See Porter v. Urbana, supra, 88 Ill.App.3d at 446, 43 Ill.Dec. at 612, 410 N.E.2d at 612; Walters v. Hampton, supra, 14 Wash.App. at 554, 543 P.2d at 652 (city cannot be made "insurer" against every harm posed by criminal act). Moreover, police officials who act and react in the milieu of criminal activity where every decision to deploy law enforcement personnel is fraught with uncertainty must have broad discretion to proceed without fear of civil liability in the "unflinching discharge" of their duties. Gregoire v. Biddle, 177 F.2d 579, 581 (2d Cir.1949). As the Connecticut Supreme Court recognized, the public interest is not served "by allowing a jury of lay [persons] with the benefit of 20/20 hindsight to second-guess the exercise of a police [officer]'s discretionary professional duty. Such discretion is no discretion at all." Shore v. Town of Stonington, supra, 187 Conn. at ___, 444 A.2d at 1384.

Other practical considerations come to bear at the level of day-to-day law enforcement. If the police were held to a duty enforceable by each individual member of the public, then every complaint — whether real, imagined, or frivolous — would raise the spectre of civil liability for failure to respond. Rather than exercise reasoned discretion and evaluate each particular allegation on its own merits the police may well be pressured to make hasty arrests solely to eliminate the threat of personal prosecution by the putative victim. Porter v. Urbana, supra, 88 Ill.App.3d at 445, 43 Ill.Dec. at 612, 410 N.E.2d at 612. Such a result historically has been viewed, and rightly so, as untenable, unworkable and unwise. Furthermore, 1312*1312 other effective mechanisms exist to control the behavior of errant police officials. Internal Metropolitan Police Department disciplinary proceedings, for example, provide a forum whereby individual officials may be held accountable for dereliction of duty, D.C.Code § 4-117 (1981), and officers who fail to arrest law breakers face formal criminal prosecution with the potential for two years' imprisonment. D.C.Code § 4-142 (1981); see Warren v. District of Columbia, supra, 444 A.2d at 8. Realistically speaking, while public prosecution does little to console those who suffer from the mistakes of police officials, on balance the community is better served by a policy that both protects the exercise of law enforcement discretion and affords a means of review by those who, in supervisory roles, are best able to evaluate the conduct of their charges.

In narrow situations, however, the no-liability rule does not apply. Where a "special relationship" exists between the police and a particular individual, a specific legal duty may be created rendering the police liable for failure to act. Warren v. District of Columbia, supra, 444 A.2d at 3; see Police Liability, supra at 824 ("courts universally recognize a duty when a `special relationship' exists between the plaintiff and the police"); see generally MCQUILLAN, supra at § 53.04b. Although the police have no obligation to act at the behest of any one individual, once they begin to act on behalf of a particular citizen in such a way as to raise significantly the quotient of risk over and above the risks assumed by every other member of the community, additional responsibilities arise. In the words of then Judge Cardozo:

The hand once set to a task may not always be withdrawn with impunity though liability would fail if it had never been applied at all .... If conduct has gone forward to such a stage that inaction would commonly result, not negatively merely in withholding a benefit, but positively or actively in working an injury, there exists a relation out of which arises a duty to go forward.

H.R. Moch Co. v. Rensselaer Water Co., 247 N.Y. 160, 167, 159 N.E. 896, 898 (1928). Determining when a special relationship exists between the police and an individual is the inquiry to which we now turn.

Analysis begins by considering the boundaries of the exception. A special relationship undoubtedly exists where an individual assists law enforcement officials in the performance of their duties. In Schuster v. City of New York, 5 N.Y.2d 75, 154 N.E.2d 534, 180 N.Y.S.2d 265 (1958), plaintiff's intestate supplied the police department with information leading to the arrest of Willie Sutton, a dangerous fugitive and a criminal of infamous reputation. Immediately thereafter, plaintiff's intestate received various threats against his life and notified the police, but they refused to provide protection on his behalf. Three weeks later he was shot and killed while walking home one evening. Carving out an exception to the no-liability rule, the New York Court of Appeals held that a municipality "owes a special duty to use reasonable care for the protection of persons who have collaborated with it in the arrest or prosecution of criminals, once it reasonably appears that they are in danger due to their collaboration." Id. at 80-81, 154 N.E.2d at 537, 180 N.Y. S.2d at 269. Other courts have similarly upheld municipal liability where the police affirmatively engage the assistance of a particular individual and then fail to protect him. See Swanner v. United States, 309 F.Supp. 1183 (M.D.Ala.1970) (duty to protect informant endangered because of aid to federal law enforcement officials); Gardner v. Village of Chicago Ridge, 71 Ill.App.2d 373, 219 N.E.2d 147 (1966) (liability upheld where police failed to protect witness summoned to make identification); Christy v. City of Baton Rouge, 282 So.2d 724 (La.App.1973) (liability for failure to protect citizen assisting in arrest).

The theory of these decisions stems in part from a concern that failure to impose a duty of protection would discourage citizens 1313*1313 from cooperating with law enforcement officers. Schuster v. New York, supra, 5 N.Y.2d at 81, 154 N.E.2d at 537, 180 N.Y. S.2d at 269. More importantly, imposing a duty of care in these situations does not interpose the judgment of a jury for the discretion of the police. Rather, where the police make "active use" of a private citizen in the investigation, arrest, or prosecution of a criminal, the police, of their own accord, decide to go forward and in fact do. Id. at 82-83, 154 N.E.2d at 538, 180 N.Y. S.2d at 271; see Gardner v. Village of Chicago Ridge, supra, 71 Ill.App.2d at 379-80, 219 N.E.2d at 150. Having exercised discretion and chosen to act, the police thereby voluntarily assume a duty to proceed with reasonable care to protect individuals whom they have particularly placed in peril by making use of their assistance. See Police Liability, supra at 825-26; see generally PROSSER, supra at 338-39 (courts reluctant to force individuals to act but once action undertaken liability follows for failure to act reasonably).

In contrast, a special relationship does not come into being simply because an individual requests assistance from the police. Hartzler v. City of San Jose, 46 Cal. App.3d 6, 120 Cal.Rptr. 5 (1975) (no duty to protect victim who informs police of imminent danger and requests help); Doe v. Hendricks, 92 N.M. 499, 502-503, 590 P.2d 647, 651 (1979) (no duty to victim to respond promptly to witness' call for help); Riss v. City of New York, supra, 22 N.Y.2d at 579, 240 N.E.2d at 860, 293 N.Y.S.2d at 897 (no duty to comply with victim's repeated request for protection from rejected suitor); see Porter v. City of Urbana, supra, 88 Ill.App.3d at 446, 43 Ill.Dec. at 613, 410 N.E.2d at 613 (recognizing rule). Otherwise, a police officer's general duty to the public inevitably would narrow to a special duty to protect each and every person who files a complaint with the department and attaches a request for help. Under these circumstances, the no-liability rule is particularly salutary: individual citizens are in no position to direct the discretion of police officers whose primary responsibilities must be focused broadly in attending to the safety of the public at large. A plaintiff, in short, "cannot unilaterally call into existence a special relationship." Haehl v. Village of Port Chester, 463 F.Supp. 845, 851 (S.D.N.Y.1978).

Nor is the situation changed when the police gratuitously promise to provide protection. Warren v. District of Columbia, supra, 444 A.2d at 2, 6 (police dispatcher's assurance to rape victims does not create special duty); Henderson v. City of St. Petersburg, 247 So.2d 23, 25 (Fla.App.1971) (police promise to provide plaintiff protection while making business deliveries does not create special duty). Contra Morgan v. County of Yuba, 230 Cal.App.2d 938, 41 Cal.Rptr. 508 (1964) (liability upheld where police promised to inform plaintiff of release of dangerous prisoner but did not). A promise to act adds nothing to the obligation law enforcement officers have already assumed as members of a police force guided exclusively by the public interest. Employed to protect the safety of the community — often with danger to life and limb — a police officer must have discretion to decide how and when to proceed. Reassuring a citizen victimized by criminal conduct that help is on the way certainly does not mean that at all costs the action promised inexorably must follow:

An intention to assume an obligation of indefinite extension to [each] member of the public is ... improbable when we recall the crushing burden that the obligation would impose .... A promisor will not be deemed to have had in mind the assumption of a risk so overwhelming....

H.R. Moch Co. v. Rensselaer Water Co., supra, 247 N.Y. at 165-66, 159 N.E. at 897-98.

Between these boundaries are circumstances where the police do not benefit from a citizen's aid but nevertheless affirmatively act to protect a specific individual or a specific group of individuals from harm, in such a way as to engender particularized 1314*1314 and justifiable reliance. Illustrative is Florence v. Goldberg, 44 N.Y.2d 189, 375 N.E.2d 763, 404 N.Y.S.2d 583 (1978). In Florence, the police department assigned a school crossing guard to a busy intersection in Brooklyn. The department's rules and regulations provided that if a crossing guard were unable to report for duty, another officer would be assigned to the location or the school principal would be notified to make other arrangements for the children's safety. For the first two weeks of school, plaintiff, mother of a six and one-half year old boy in first grade, walked her son to school, a block away from their home. Each day they crossed the intersection and each day a crossing guard was present. When, two weeks after class began, she accepted an offer of employment, she did not arrange for another adult to help her child across the intersection because of the daily presence of the guard. Thereafter, a crossing guard reported sick one morning, the police department failed either to provide a replacement or to notify the school principal, and the child was hit by a taxicab while attempting to cross the intersection.

The New York Court of Appeals sustained the plaintiff's cause of action against the city, emphasizing two factors. First, in assigning a crossing guard to the intersection, the police voluntarily assumed a duty, not to the general public, but to "a special class of persons — viz., children crossing designated intersections while traveling to and from school at scheduled times." Id. at 196-97, 375 N.E.2d at 767, 404 N.Y.S.2d at 587. Supporting this conclusion were the department's own regulations, specifically setting forth the procedures to be followed for the effective supervision of crosswalks. Second, the child's mother had "reason to rely," and particularly did rely, on the presence of a crossing guard at the intersection; a guard had been there each day she brought her child to school and she would not otherwise have allowed her son to walk back and forth alone. Id.

Other courts have applied similar reasoning in fashioning the special relationship exception, emphasizing the requisites of (1) a specific undertaking to protect a particular individual, and (2) justifiable reliance by the plaintiff. As in Florence (where the police in fact provided a school crossing guard), whether there exists an affirmative undertaking to protect a particular individual turns upon law enforcement actions rather than representations. See Silverman v. City of Fort Wayne, 171 Ind. App. 415, 357 N.E.2d 285 (1976) (where police provided, then withdrew protection of plaintiff's property from riot damage, special relationship may exist); Bloom v. City of New York, 78 Misc.2d 1077, 1078, 357 N.Y.S.2d 979, 981 (1974) (police positively restrained plaintiffs from obtaining alternative safeguards for premises following assurance that protection would be provided — "an affirmative series of acts by which the city assumed a special duty");[4] see Chapman v. City of Philadelphia, supra, 290 Pa.Super. at 283, 434 A.2d at 754 (special relationship only where "authorities have undertaken the responsibility to provide adequate protection" for individual). In addition, a statute or regulation may describe a special duty to a particular class of individuals. Again as in Florence (where police directives specifically provided procedures to be followed in supervising school crossing guards), the language of the statute or regulation must set forth "mandatory acts clearly for the protection of a particular class of persons rather than the public as a whole." Cracraft v. City of St. Louis Park, 279 N.W.2d 801, 807 (Minn.1979); see State v. Superior Court of Maricopa County, 123 Ariz. 324, 332-33, 599 P.2d 777, 785-86 (1979) (en banc); Stewart v. Schmieder, supra, 386 So.2d at 1358; Gordon v. Holt, 65 1315*1315 A.D.2d 344, 350-51, 412 N.Y.S.2d 534, 538 (1979).

The second element required to establish a special relationship is justifiable reliance, by the plaintiff, upon the actions of the police. Justifiable reliance, in this context, means particular or special reliance. Haehl v. Village of Port Chester, supra, 463 F.Supp. at 851; see Florence v. Goldberg, supra, 44 N.Y.2d at 196-97, 375 N.E.2d at 767, 404 N.Y.S.2d at 587; see generally DeHoney v. Hernandez, supra, 122 Ariz. at 367, 595 P.2d at 164; Gordon v. Holt, supra, 65 A.D.2d at 351, 412 N.Y.S.2d at 538; cf. Morgan v. County of Yuba, supra, 230 Cal.App.2d at 944, 41 Cal.Rptr. at 512. The definition could not be otherwise. In a civilized society, every citizen at least tacitly relies upon the constable for protection from crime. Hence, more than general reliance is needed to require the police to act on behalf of a particular individual. The plaintiff must specifically act, see Florence v. Goldberg, supra, 44 N.Y.2d at 197, 375 N.E.2d at 767, 404 N.Y.S.2d at 587 (plaintiff discontinued walking son to school, having "reason to rely" on presence of crossing guard), or refrain from acting, see Bloom v. City of New York, supra, 78 Misc.2d at 1078, 357 N.Y.S.2d at 981 (plaintiff restrained by police from providing own safeguards for property), in such a way as to exhibit particular reliance upon the actions of the police in providing personal protection. Liability is established, therefore, if the police have specifically undertaken to protect a particular individual and the individual has specifically relied upon the undertaking.

The theory of this exception to the no-liability rule parallels the rationale of the law enforcement assistance cases. Undertaking to protect a particular individual is an action necessarily preceded by a police officer's decision to act, which is itself an exercise of discretion. Neither a court nor a jury interferes with this decision; rather, review is limited to a determination of whether reasonable care was exercised when, and only when, the police have affirmatively gone forward. The additional element of particular reliance further serves to place law enforcement officials on notice as to the foreseeable consequences of failure to exercise reasonable care, not unlike the knowledge that a citizen employed in law enforcement efforts must be protected from harm. Thus, requiring a specific undertaking to protect a particular individual together with special reliance on the plaintiff's part in order to create a special relationship facilitates dual policies of preserving police discretion while enhancing responsiveness to individuals particularly placed in peril, by police conduct.

Absent a special relationship, therefore, the police may not be held liable for failure to protect a particular individual from harm caused by criminal conduct. A special relationship exists if the police employ an individual in aid of law enforcement, but does not exist merely because an individual requests, or a police officer promises to provide protection. Where the police by their actions affirmatively undertake to protect an individual under circumstances creating a special relationship or there is a statute or regulation which mandates protection of a particular class, and where the individual justifiably relies upon such undertaking of the police, or the statute or regulations, the special relationship is sufficient to support a finding of liability.[5] We now turn to apply these principles.

 

1316*1316 III

 

The duty of the Metropolitan Police Department to protect the citizens of the District of Columbia from crime is a public duty, unenforceable by any one individual. Thus, as a general principle, the District of Columbia is not liable for the injury to Garnett Morgan arising from the criminal conduct of her husband. South v. Maryland, supra, 59 U.S. (18 How.) at 403; Warren v. District of Columbia, supra, 444 A.2d at 3; see MCQUILLAN, supra at § 53.04a. Indeed, the circumstances here uniquely illustrate the policies underlying the no-liability rule. Laid bare, the facts indicate that a police officer's wife, Garnett Morgan, contacted a police captain, Tiernan, and reported that her husband, an officer who had carried his service revolver on and off duty[6] for five years without incident, had assaulted her with the weapon the night before. In responding to this complaint arising not from a crime involving strangers on the street but from an apparent marital dispute between one of his officers and the officer's wife, Captain Tiernan had certain options. He could have immediately disarmed Officer Morgan on the basis of his wife's assertion. This measure, however, would realistically remove him from the force. Tiernan could have conducted a full-scale formal investigation, filed a report to his supervisors, or arranged for a hearing held before a board of police officials. Or Captain Tiernan could have considered the context of the offense and have done what Morgan's wife actually requested him to do, i.e., contact Morgan himself in order to keep him "away from [her]."

From any of these options Captain Tiernan had to decide how to proceed, and in so deciding, had to call upon his experience and training during his years on the force in dealing with complaints of misconduct in a police officer's personal life. In a word, Captain Tiernan had to exercise discretion, and the law, through the no-liability rule, protects and preserves his role in the decisionmaking process. The law leaves a police official free to decide how to proceed by affording him the knowledge that, unless he specifically undertakes responsibility to ensure the safety of a particular individual, his omissions, oversights, and errors in evaluating each circumstance will not be considered the cause of harm to citizens whom he has pursued a career to protect. Porter v. City of Urbana, supra, 88 Ill.App.3d at 445, 43 Ill.Dec. at 612, 410 N.E.2d at 612. Nor will a jury of lay persons be permitted, in hindsight, to second-guess what he should or should not have done. Shore v. Town of Stonington, supra, 187 Conn. at ___, 444 A.2d at 1384. The question is whether Captain Tiernan did affirmatively undertake the obligation of protecting Garnett Morgan, thereby creating a special relationship between her and the police. On this record, we hold that he did not.

Garnett Morgan specifically asked Captain Tiernan if he "would just make [her husband] stay away from me." She did not want the police to come to her house; nor did she want to file a complaint against her husband. She called "asking for [Tiernan's] assistance with my husband, and just to ask him to stay away from me." Captain Tiernan said that while he could not "put a man out of his own house," he would speak with her husband and call her back. Mrs. Morgan stated:

So he told me if I wanted to file a formal complaint against him, you know, that was something different but then, later, 1317*1317 something else happened. He told me that it would be different with the formal complaint.... He said that was something different. I — when I called him, I was asking for his assistance with talking with my husband, and just to ask him to stay away from me.

Mrs. Morgan at no time lodged a written statement concerning her husband's conduct with the Maryland (where she lived) or District of Columbia authorities, notwithstanding Captain Tiernan's statements to her. Tiernan then contacted Morgan's immediate supervisor, Lieutenant Swank, and together they met with Morgan. Tiernan told Morgan that "if he couldn't get along with his wife ... he should leave." Tiernan then called Garnett Morgan and told her that he had "explained some things to" her husband and advised her that "maybe it would be best if [they] just separated." A few days later she rented an apartment, telephoned Tiernan asking assurance that her husband was at work while she left, and moved out. Three months later, the events culminating in the injuries to Garnett Morgan and the Pinkney family occurred.

Plainly, Garnett Morgan did not ask Captain Tiernan to protect her by disarming her husband, with the necessary result of effectively suspending him from the police force. Even if she had, this would not suffice to create a special relationship between her and the police. Hartzler v. City of San Jose, supra, 46 Cal.App.3d at 9-10, 120 Cal.Rptr. at 7; Doe v. Hendricks, supra, 92 N.M. at 502-503, 590 P.2d at 651; Riss v. City of New York, supra, 22 N.Y.2d at 579, 240 N.E.2d at 860, 293 N.Y.S.2d at 897. Rather, she rejected the idea that a police officer come to their home and refused to file a complaint. Instead, she asked Captain Tiernan simply to talk with her husband. Nor did Captain Tiernan promise to protect Garnett Morgan; and even if he had, failure to protect her would not support a finding of liability. Warren v. District of Columbia, supra, 444 A.2d at 2, 6; Henderson v. City of St. Petersburg, supra, 247 So.2d at 25. In short, these facts indicate just this: at the request of an officer's wife for "assistance" in facilitating some type of separation from her husband — by asking him to stay away from her — a police captain discussed the problem with the officer. Without further action affirmatively indicating an intent to deploy the police department to assure her safety, Captain Tiernan did not undertake, and was not requested, to guard Garnett Morgan from possible future harm. See Florence v. Goldberg, supra, 44 N.Y.2d at 196-97, 375 N.E.2d at 767, 404 N.Y.S.2d at 587; Silverman v. City of Fort Wayne, supra, 171 Ind.App. at 417, 357 N.E.2d at 286. As a result, Captain Tiernan had broad discretion to address these circumstances. He was free to consider that, according to Swank, Morgan and his wife had fought for a number of years without involvement of a gun, cf. Riss v. City of New York, 27 App.Div.2d 217, 278 N.Y.S.2d 110 (no liability where "complaints continued over a considerable period without active implementation by dangerous conduct"), aff'd, 22 N.Y.2d 579, 240 N.E.2d 860, 293 N.Y.S.2d 897 (1967); he was also free to consider, again according to Swank, that Morgan's personnel file did not indicate a history of violent conduct. See supra note 1. In any event, without the police having assumed a duty to protect Garnett Morgan, Tiernan's actions are beyond reach in this litigation.

Nor do the police department's "general orders," which require an investigation, report and recommendation whenever an improper use of an officer's service revolver is reported, establish a duty to protect Garnett Morgan. Aside from whether Captain Tiernan did or did not substantially comply with them, the orders, according to his testimony,[7] apply when any member of the public files such a report. Thus, the language of these directives indicates procedures for the protection not specifically of police officers' spouses, but of the public in general. As a result, no special relationship between the police and a 1318*1318 particular class of which Garnett Morgan is a part was created. See Cracraft v. City of St. Louis Park, supra, 279 N.W.2d at 807; State v. Superior Court of Maricopa County, supra, 123 Ariz. at 332-33, 599 P.2d at 785-86; Stewart v. Schmieder, supra, 386 So.2d at 1358.

Finally, Garnett Morgan did not particularly rely upon Captain Tiernan to protect her. On the contrary, of her own accord she moved out of her home into an apartment, changing her telephone number and concealing her new address from her husband. When she called Tiernan prior to leaving, she did not ask him to detain her husband at the precinct, but sought only to know if he was there. Hence, there was not in any way, special reliance upon the police for protection. See Haehl v. Village of Port Chester, supra, 463 F.Supp. at 851; Florence v. Goldberg, supra, 44 N.Y.2d at 196-97, 375 N.E.2d at 767, 404 N.Y.S.2d at 587.

There is the added consideration that even if we were to hold that even though he complied with all her requests, Captain Tiernan had a greater duty to protect Garnett Morgan from her husband, Tiernan's actions were not, as a matter of law, the proximate cause of her injuries. A defendant may not be held liable for harm actually caused where the chain of events leading to the injury appears "highly extraordinary in retrospect." Lacy v. District of Columbia, 424 A.2d 317, 320-21 (D.C.1980). John Morgan was not merely a private employee carrying a dangerous instrumentality at the behest of his employer, but rather, an experienced and trained Metropolitan Police Department Officer who had carried his service revolver for five years without incident. During these years on the force, Morgan had no record of violent conduct. See supra note 1. Moreover, Morgan and his wife had been embroiled in marital disputes over the course of the previous two years without involvement of a shooting — even though Morgan carried or had immediate access to his gun at all times. See supra note 5. Finally, after the assault, Garnett Morgan no longer lived with her husband but moved into an apartment with her children, and for the three months following the incident, lived in peace. That Officer Morgan would, three months later, show up on her doorstep and subsequently shoot her while being taken into police custody — after not having done so during the previous two years of marital arguments nor having wrongfully fired his weapon during five years on the force — describes a chain of events that is, in retrospect, highly extraordinary. Id.

It is significant that the shootings occurred during his arrest. It was his arrest that triggered the shootings in this case. There is no serious issue on appeal, however, relating to negligence by the police in effecting the arrest of the husband.

The issue was not brought before the court by appellee in its opposition to appellants' response to the government's petition for rehearing en banc. In their original brief in this court, however, appellants presented a contention that the trial court erred in directing a verdict in favor of the government on the issue of negligence on the part of Lieutenant Bowles in directing two police officers from the scene prior to the shooting. The majority opinion of the hearing division expressly did not reach this issue (see Morgan v. District of Columbia, supra, 449 A.2d at 1113 n. 16). In directing a verdict for the defendants on this issue the trial court made these findings:

The Court finds that, at best, plaintiff has proven that Lieutenant Bowles responded to an emergency situation at the Pinkney home and exercised his judgment regarding the proper course of action to take. There has been introduced, no evidence as to how long Lieutenant Bowles had been stationed at the Seventh District, that whether or not he personally knew former Officer Morgan. There has been no evidence as to whether he would have had occasion in his position there to know or be familiar with any of the complaints in Officer Morgan's personnel 1319*1319 file, or that he actually did have any knowledge with respect to his prior personal history.
Plaintiff has introduced no testimony, expert or otherwise, regarding the proper course of action that policemen should take in handling what might be termed domestic situations, such as occurred here.
Lieutenant Bowles' primary concern was for the safety of the parties involved, particularly the young children, as indicated by the evidence that possibly the District's [sic] return to the home was for safety of the young children.
There is no evidence that if he had taken different action, such as sending — not sending the two officers away, then these tragic events which followed would not have occurred.
The Court finds that the plaintiff has not established a prima facie case of negligence, proximately causing injury. Therefore, a verdict is directed for the District of Columbia on plaintiff's claim regarding the actions of Lieutenant Bowles.

We agree with the trial court's assessment and conclude there is no merit to appellants' contention, which, as we have stated, was raised earlier in their brief before the hearing division of this court.

 

IV

 

There being no general duty on the part of the Metropolitan Police Department to protect these plaintiffs and no special relationship between them, liability fails as a matter of law. The crucial circumstances in this case occurred not when Captain Tiernan spoke to Garnett Morgan or to her husband, but at the time of the tragic shootings which gave rise to the claim for damages upon which this case is founded. The police immediately responded to Garnett Morgan's request for assistance and a lieutenant and two officers arrived on the scene to apprehend her husband. Unfortunately, due to a ruse by her husband, he avoided apprehension by the Lieutenant until after the shootings occurred. For these reasons, the injuries to plaintiffs are not attributable to the District of Columbia.

Accordingly, the judgment on appeal is

Affirmed.

FERREN, Associate Judge, with whom NEWMAN, Chief Judge, MACK, Associate Judge, and KELLY, Associate Judge, Retired, join, dissenting:

The majority concludes that, absent "a `special relationship' ... between the police and a particular individual" that creates "a specific legal duty ... rendering the police liable for failure to act," ante at 1312, "the police may not be held liable for failure to protect a particular individual from harm caused by criminal conduct." Ante at 1315. Because the majority finds no such special relationship here, the court holds that appellants may not recover for the Metropolitan Police Department's negligent failure to prevent the murder of Elton Pinkney and the gunshot injuries to Garnett Morgan and her son, John Keith Morgan.

While this court has applied the quoted principle in ordinary cases of failure to respond to citizen complaints, see, e.g., Warren v. District of Columbia, 444 A.2d 1 (D.C.1981) (en banc), that principle, in my view, is not properly applicable to this case. The negligence complained of here was the police department's failure to exercise proper supervision over a member of the force, not failure to investigate or prevent crimes by civilians. As discussed in the division opinion, Morgan v. United States, 449 A.2d 1102, 1108 (D.C.1982), the legal duty at issue here is not a special duty, i.e., a duty dependent on a "special relationship." Rather, it

is properly characterized as a general duty, owed to the public at large, to use reasonable care in supervising and controlling police officers and their service revolvers. Marusa v. District of Columbia, 157 U.S.App.D.C. 348, 351, 484 F.2d 828, 831 (1973) ("government has a duty 1320*1320 to minimize the risk of injury to members of the public that is presented by [its] policy [of requiring police officers to carry service revolvers at all times]"); Carter v. Carlson, 144 U.S.App.D.C. 388, 398, 447 F.2d 358, 368 (1971) ("District of Columbia as a corporate entity has a duty to supervise, train and control its police officers"), reversed in part, sub nom. District of Columbia v. Carter, 409 U.S. 418, [93 S.Ct. 602, 34 L.Ed.2d 613] (1973); see District of Columbia v. White, D.C.App., 442 A.2d 159 (1982) (referring to existence of cause of action against police department for negligent supervision of officers); District of Columbia v. Davis, D.C.App., 386 A.2d 1195, 1199-1201 (1978) (same). [Footnote omitted.]

The majority's "special relationship" or "special duty" analysis is therefore irrelevant. A jury applying the proper standard of reasonable care under the circumstances to Captain Tiernan's supervisory efforts could reasonably have found negligence. Id. at 1109.

The majority also concludes that Captain Tiernan's failure to follow established procedures after Garnett Morgan told him of appellant John Morgan's gun threat did not, as a matter of law, proximately cause the death and injuries. To the contrary, a jury reasonably could find that, far from being "highly extraordinary in retrospect," ante at 1318,[1] "it was reasonably foreseeable under circumstances known to the Department that Morgan `might avail himself of the opportunity' to carry out his threat with the gun" if his superior officers did not take reasonable steps to assess and minimize that risk. Id. at 1113, quoting RESTATEMENT (SECOND) OF TORTS § 448 (citations omitted).

Respectfully, therefore, I dissent for the reasons more fully set forth in the vacated division opinion. Morgan, supra, 449 A.2d at 1102. The trial court erred in granting judgment notwithstanding the verdicts. I would reinstate the jury verdicts as to all appellants.

[*] Judgment was entered on September 30, 1983.

[**] Judge Kelly was an Associate Judge of the court at the time of en banc argument. Her status changed to Associate Judge, Retired, on March 31, 1983.

[1] Officer Morgan's employment history evinces numerous derelictions of duty, including leaving his post, lying twice to his superior officers, failing to answer a radio run and reporting late for roll call. In addition, prior to joining the police force he had been involved in an assault against a referee in a basketball game, but the prosecutor dismissed the case on a nolle prosequi.

[2] This court subsequently affirmed his convictions for first degree murder and two counts of assault with intent to kill while armed. Morgan v. United States, 363 A.2d 999 (D.C.1976), cert. denied, 431 U.S. 919, 97 S.Ct. 2187, 53 L.Ed.2d 231 (1977).

[3] As stated, he conducted an inquiry by discussing the incident complained of by Morgan's wife with Officer Morgan and Lieutenant Swank, his superior, pursuant to her request, and then phoned her to report to her and offer his advice.

[4] The author of Police Liability, supra at 826, cites these two decisions for the proposition that law enforcement officers who promise to provide protection have a duty to carry out that promise. A fair reading of these cases, however, indicates that in each, the conduct, rather than the statements of the police, controlled the special relationship determination.

[5] In narrow circumstances, a special relationship may also be established by a course of conduct between the plaintiff and the municipality strongly indicating the need for police protection. See Warren v. District of Columbia, supra, 444 A.2d at 3; Cady v. State, 129 Ariz. 258, 263, 630 P.2d 554, 559 (Ariz.App. 1981); see generally Jones v. County of Herkimer, 51 Misc.2d 130, 272 N.Y.S.2d 925, 932 (1966); Baker v. City of New York, 25 A.D.2d 770, 269 N.Y.S.2d 515, 518 (1979). In Baker, for example, the police refused to enforce a protection order obtained by the plaintiff against her estranged husband, a former law enforcement officer who had been diagnosed by a court psychiatrist as destructive. A probation officer with the Domestic Relations Court also refused to protect the plaintiff when she arrived at his office shortly thereafter and asked to wait inside for her husband; forced to the waiting room, she was then shot by her husband upon his arrival. According to the New York court, "Plaintiff was thus singled out by judicial process as a person in need of special protection and peace officers had a duty to supply protection to her." Baker v. City of New York, supra, 25 A.D.2d at 772, 269 N.Y. S.2d at 518.

While Baker may indicate a proper application of the "course of conduct" exception to the no-liability rule, the open-ended nature of the phrase suggests that it be narrowly construed.

 

[6] Police regulations require an officer to carry his gun at all times.

[7] The only evidence of these orders was introduced through Captain Tiernan's testimony.

[1] In its discussion of proximate cause, the en banc court quotes from and confirms the correctness of the test for proximate cause set forth in the RESTATEMENT (SECOND) OF TORTS § 435 and applied by the division majority. See ante at 1318; Morgan, supra, 449 A.2d at 1110-11; Lacy v. District of Columbia, 424 A.2d 317, 319-21 (D.C.1980).

4.2.1.3.2 Boyd v. Racine Currency Exchange, Inc. ("The Stick Up Case") 4.2.1.3.2 Boyd v. Racine Currency Exchange, Inc. ("The Stick Up Case")

Why does this court hold there is no duty to John Boyd?

(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.

MR. JUSTICE RYAN

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.

*101MR. JUSTICE GOLDENHERSH,

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.

4.2.1.3.3 Mark v. Moser ("The Aggressive Triathlete Case") 4.2.1.3.3 Mark v. Moser ("The Aggressive Triathlete Case")

What is the duty that sports participants owe each other? Do you think that there was a violation of that duty in this case?

Rebecca J. MARK, Appellant-Plaintiff, v. Kyle MOSER, Appellee-Defendant.

No. 29A02-0010-CV-623.

Court of Appeals of Indiana.

April 19, 2001.

*413 Joseph A. Christoff, Konrad ML. Ur-berg, Christoff & Christoff, Fort Wayne, IN, Attorneys for Appellant.

Steven K. Huffer, Derek L. Mandel, Huffer & Weathers, P.C., Indianapolis, IN, Attorneys for Appellee.

OPINION

BAKER, Judge

Today we are called upon to clearly define the standard of care one competitor owes another in a sporting event. Although this court may have tangentially addressed the issue in the past, there has been no case since the adoption of the Comparative Fault Act where an in-depth analysis was warranted. Thus, the precise issue we must decide is whether a participant in an athletic activity may recover in tort for injury as the result of another participant's negligent conduct.

FACTS

The uncontroverted facts are that on September 7, 1997, Rebecca Mark (Rebecca) and Kyle Moser (Kyle) were co-participants in a triathlon competition in Marion County, which consisted of three events, swimming, bicycling, and running. Before the competition, each triathlon participant agreed to abide by the rules adopted by USA Triathlon. In addition, all the participants signed an entry form, which included a waiver provision and release from liability.

During the bicycling leg of the triathlon, Kyle was riding on the left side of Rebecca and cut in front of her. As a result, the two bicycles collided and Rebecca was hospitalized with serious injuries. Kyle was subsequently disqualified for violating the USA Triathlon rule against endangerment. That rule provides: "No cyclist shall endanger himself or another participant. Any cyclist who intentionally presents a danger to any participant or who, in the judgment of the Head Referee, appears to present a danger to any participants shall be disqualified." Record at 115. The triathlon referee, Ardith Spence, stated that Kyle's conduct was not considered intentional; rather, he was disqualified for violating the rule "because, by moving over, an accident occurred." R. at 111.

On June 7, 1998, Rebecca filed a two-count complaint against Kyle. In Count I, Rebecea alleged that the collision was caused by Kyle's negligence and, in the alternative, in Count II, Rebecca alleged that Kyle acted intentionally, recklessly and willfully in causing her injuries. In response, on September 29, 2000, Kyle filed a motion for summary judgment as to both counts of Rebecea's complaint. Specifically, Kyle argued that Rebecca was barred from recovering on a negligence theory and, instead, asserted that she was required to establish that he intentionally, recklessly, willfully, or wantonly caused her injuries. In addition, Kyle argued that there was no evidence indicating that he had intentionally or recklessly caused the collision between the two bicycles.

The trial court held a hearing on Kyle's motion on June 7, 2000. Thereafter, on August 3, 2000, the trial court granted summary judgment as to Count I of Rebecca's complaint and denied it as to Count II. Rebecca now appeals the trial court's judgment regarding the negligence count.

DISCUSSION AND DECISION

I. Standard of Review

The standard of review of a summary judgment is well settled. This court *414 applies the same standard as the trial court. USA Life One Ins. Co. v. Nuckolls, 682 N.E.2d 534, 537 (Ind.1997). We do not weigh the evidence designated by the parties. Instead, we liberally construe the evidence in the light most favorable to the non-moving party. Id. Summary judgment is appropriate only if the pleadings and the evidence show both the absence of a genuine issue of material fact and that the moving party is entitled to judgment as a matter of law. Ind. Trial Rule 56(C); Butler v. City of Indianapolis, 668 N.E.2d 1227, 1228 (Ind.1996). Where material facts conflict, or undisputed facts lead to conflicting material inferences, summary judgment is inappropriate. Id.

IIL. The Current State of the Law

A. Indiana Low

Many people might think that Rebecca's claim would be barred because she in some way incurred, or assumed, the risk of injury by participating in the sporting event. However, under present Indiana law that would not necessarily be the case if the standard of care was negligence. On January 1, 1985, Indiana adopted the Comparative Fault Act (the Act). Inp.Cope § 34-51-2-1 to -19. The Act was intended to ameliorate the harshness of the then prevailing common law doctrine of contributory negligence. Baker v. Osco Drug, Inc., 632 N.E.2d 794, 797 (Ind.Ct.App.1994). Under the common law rule, a slightly negligent plaintiff was precluded from recovery of any damages, even against a highly culpable tortfeasor. Id. In contrast, under the Act, if a plaintiff's conduct satisfies the statutory definition of "fault," he will be permitted to recover damages, but those damages will be reduced by his proportion of fault. Id. However, if the plaintiff's percentage of fault is assessed at greater than fifty percent, his recovery will still be completely barred. Id. For purposes of defining comparative fault, the term "fault" includes "any act or omission that is negligent, willful, wanton, reckless, or intentional towards the person or property of others. The term also includes unreasonable assumption of risk not constituting an enforceable express consent, incurred risk, and unreasonable failure to avoid an injury or to mitigate damages." I.C. § 34-6-2-45(b). This inclusion of "incurred risk" in the definition of fault abolishes incurred risk as a complete bar to recovery and establishes that the fault of each party should be apportioned. Baker, 632 N.E.2d at 797. Thus, under Indiana law, if we adopt negligence as the standard of care between co-participants in a sporting event, it would be a question of fact for the jury to decide whether the plaintiff in any way incurred the risk of harm but is, nevertheless, entitled to recover for his injury.

Our supreme court has not specifically addressed the standard of care between co-participants in athletic events. However, it has addressed the appropriate standard of care owed by an educational institution and its representatives to students for injuries sustained while playing campus sports. In this context, the court has adopted a negligence standard. See Beckett v. Clinton Prairie Sch. Corp., 504 N.E.2d 552, 554 (Ind.1987) (holding that school personnel have a duty to exercise reasonable care over students participating in a school activity under school supervision, in a case involving a collision between two student baseball players). Our supreme court adopted this standard based on its recognition that there is a well-established "duty on the part of school personnel to exercise ordinary and reasonable care for the safety of children under their authority." Beckett, 504 N.E.2d at 553; c.f. Brewster v. Rankins, 600 N.E.2d 154, 158 (Ind.Ct.App.1992) (holding that *415 while school authorities have a duty to exercise reasonable care for the safety of children under their tutelage, they have no duty to prevent a student from injuring other players while practicing his golf swing at home). According to the court, whether school personnel exercised their duty with the level of care of an ordinary prudent person under the same or similar cireumstances is generally a factual question for the determination of the jury. Beckett, 504 N.E.2d at 554.

Our supreme court has also recognized, however, that if the student athlete can be shown to have incurred the risks inherent in the sports event, this acts as a potential bar to recovery. Id.; see also Clark v. Wiegand, 617 N.E.2d 916, 919 (Ind.1993) (holding that the question of whether a student in a university judo class incurred the risk of injury from another student so as to bar recovery from the university was a question for the jury). According to the Beckett court, for the "doctrine of incurred risk" to affect the plaintiff's likelihood or percentage of recovery, it is not enough that the plaintiff merely has a general awareness of a potential for mishap in engaging in the particular sports activity. Id. Rather, the doctrine involves a subjective analysis focusing upon the plaintiffs actual knowledge and appreciation of the specific risk and voluntary acceptance of that risk. Clark, 617 N.E.2d at 919 (stating that whether the possibility of sustaining a knee ligament injury while participating in a judo class "was within the plaintiff's actual knowledge, appreciation, and voluntary acceptance, is a factual matter not easily susceptible to determination as a matter of law"). 1

In Duke's GMC v. Erskine, 447 N.E.2d 1118, 1118 (Ind.Ct.App.1983), a panel of this court addressed the situation where a sports participant sued for injuries caused by another player. Duke's GMC involved a golfer, Erskine, who sued for loss of an eye from being struck by a golf ball at a country club. Id. In addition to being decided prior to Indiana's adoption of the Comparative Fault Act, Duke's GMC is distinguishable from the case at bar because the court was not confronted with the standard of care between sports co-participants and because Erskine sued the corporation that paid the dues of its president who hit the golf ball causing the injury, rather than suing the president himself,. Id. Specifically, in Duke's GMC, this court was called upon to decide whether the trial court erred in admitting certain evidence and in the instructions it gave to the jury. In addressing whether the trial court's instruction regarding incurred risk was erroneous, this court approved the parties' assertion that a golfer could not incur the risk of another golfer's negligence as a matter of law. This court then discussed the instruction based on a negligence standard, but it never addressed the standard of care one competitor owes another in a sporting event. However, when discussing the appropriateness of the trial court's instructions regarding damages, the Duke's GMC court did examine how violations of the rules of sport affect the negligence analysis. In so doing, this court recognized that the "rules of sport are at least an indicia of the standard of care which players owe each other," and concluded that "[wlhile a viola *416 tion of those rules may not be negligence per se, it may well be evidence of negli-genee." 2 Id. at 1124.

Thus, under the current state of Indiana law, in actions for sports-related injuries against school authorities, rather than against a co-participant, liability will attach in the event that negligence is shown. We note, however, that the plaintiff's negligence claim is subject to the defense of incurred risk, which requires the defendant to establish that the plaintiff had actual knowledge of the risk that resulted in his injury. Should the defendant carry his burden of proof on this defense, the plaintiff's recovery will be reduced or eliminated depending on the degree of the plaintiff's fault.

B. Law in Other Jurisdictions

The authority from other jurisdictions is instructive with regard to the standard of care to be applied between co-participants in a sports activity. Other jurisdictions have generally taken one of two approaches to this issue, and have adopted either a negligence or recklessness standard. They have also recognized two principle defenses, contributory negligence and assumption of risk.

Arizona, Nevada, and Wisconsin judge sports injury cases between co-participants according to an "ordinary care" or negli-genee standard. See Estes v. Tripson, 188 Ariz. 93, 932 P.2d 1364, 1366 (Ariz.Ct.App.1997); Auckenthaler v. Grundmeyer, 110 Nev. 682, 877 P.2d 1039, 1043 (1994); Lestina v. West Bend Mut. Ins. Co., 176 Wis.2d 901, 501 N.W.2d 28, 33 (1993). The primary argument for adhering to the negligence standard is the belief that this standard is flexible enough to be applied to a wide range of situations because it only requires that a person exercise ordinary care under the cireumstances. See Auckenthaler, 877 P.2d at 1043; Lestina, 501 N.W.2d at 33. Thus, "within the factual climate of ... sporting events, the question posed is whether the defendant participated in a reasonable manner and within the rules of the game or in accordance with the ordinary seope of the activity." Auckenthaler, 877 P.2d at 1043 (citing Lestina, 501 N.W.2d at 33).

The majority of other states have adopted a "reckless or intentional conduct" or a "willful and wanton or intentional misconduct" standard. These states include California, Connecticut, Illinois, Kentucky, Louisiana, Massachusetts, Michigan, Missouri, Nebraska, New Jersey, New Mexico, New York, Ohio, and Texas. See Knight v. Jewett, 3 Cal.4th 296, 11 Cal.Rptr.2d 2, 834 P.2d 696, 711 (1992) (applying a recklessness standard to an injury in an informal game of coed football); Jaworski v. Kiernan, 241 Conn. 399, 696 A.2d 332, 339 (1997) (holding that a recklessness or intentional misconduct standard should be used in a case involving a recreational soccer game); Hoke v. Cullinan, 914 S.W.2d 385, 389 (Ky.1995) (applying a recklessness standard with respect to an injury sustained in a doubles tennis match); Picou v. Hartford Ins. Co., 558 So.2d 787, 790 (La.Ct.App.1990) (applying recklessness as the standard for injuries sustained during a softball game); Gauvin v. Clark, 404 Mass. 450, 537 N.E.2d 94, 96 (1989) (adopting a "reckless disregard of safety" standard in a case involving a college hockey game); Ritchie, *417 Gamester v. City of Berkley, 461 Mich. 73, 597 N.W.2d 517, 518 (1999) (holding that co-participants owe each other a duty not to engage in reckless misconduct in a case involving a collision between two recreational skaters); Dotzler v. Tuttle, 234 Neb. 176, 449 N.W.2d 774, 779 (1990) (adopting a recklessness standard with respect to injuries sustained in a "pickup" basketball game); Crawn v. Campo, 136 N.J. 494, 643 A.2d 600, 601 (1994) (adopting a "reckless disregard for the safety of others" standard in a case involving a "pickup" softball game); Kabella v. Bouschelle, 100 N.M. 461, 672 P.2d 290, 293 (N.M.Ct.App.1983) (adopting recklessness as the standard for injuries sustained dur ing an informal game of tackle football); Turcotte v. Fell, 68 N.Y.2d 432, 510 N.Y.S.2d 49, 502 N.E.2d 964, 968 (1986) (concluding that a "reckless or intentional" standard applied in a case involving a professional jockey injured during a horse race); Marchetti v. Kalish, 53 Ohio St.3d 95, 559 N.E.2d 699, 703 (1990) (applying the recklessness standard to a minor who was injured participating in a recreational game of "kick the can"); Hathaway v. Tascosa Country Club, Inc., 846 S.W.2d 614, 616 (Tex.App.1993) (applying a "reckless or intentional" standard in a case involving an injury suffered during a reere-ational golf game).

Of those states that have adopted a recklessness or intentional misconduct standard, some, including Illinois and Missouri, have explicitly limited application of this standard to contact sports. See Pfister v. Shusta, 167 Ill.2d 417, 212 Ill.Dec. 668, 657 N.E.2d 1013, 1017 (1995) (holding that participants who voluntarily engage in contact sports cannot recover for injuries resulting from the negligence of other players and, instead, must establish willful and wanton or intentional misconduct); Zurla v. Hydel, 289 Ill.App.3d 215, 224 Ill.Dec. 166, 681 N.E.2d 148, 152 (1997) (holding that negligence is the appropriate standard of care between co-participants in golf); Novak v. Virene, 224 Ill.App.3d 317, 166 Ill.Dec. 620, 586 N.E.2d 578, 579 (1991) (concluding that negligence is the appropriate standard between skiers); Gamble v. Bost, 901 S.W.2d 182, 186 (Mo.Ct.App.1995) (holding that a negligence standard is proper in bowling, a non-contact sport) trans. denied; Ross v. Clouser, 637 S.W.2d 11, 14 (Mo.1982) (adopting a recklessness standard for contact sports). 3

Courts that have departed from the negligence standard and adopted an elevated standard of care in the co-participant context, have recognized public policy justifications for doing so. Specifically, some courts have feared that use of an ordinary negligence standard could result in a flood of litigation. For example, in Jaworski, the Supreme Court of Connecticut declined to adopt a negligence standard, acknowledging that:

If simple negligence were to be adopted as the standard of care, every punter with whom contact is made, every mid *418 fielder high sticked, every basketball player fouled, every batter struck by a pitch, and every hockey player tripped would have the ingredients for a lawsuit if injury resulted.

696 A.2d at 338. The Jaworski court went on to state that given "the number of athletic events taking place in Connecticut over the course of a year ... such potential for a surfeit of lawsuits ... should not be encouraged." Id.

Several courts have also recognized that "fear of civil lability stemming from negligent acts occurring [during] an athletic event could curtail the proper vigor with which the game should be played and discourage individual participation." Ross, 637 S.W.2d at 14. The Supreme Court of New Jersey in Crawn, noted that "[olne might well conclude that something is terribly wrong with a society in which the most commonly-accepted aspects of play-a traditional source of a community's conviviality and cohesion-spurs litigation." 643 A.2d at 600. With the foregoing in mind, the Crawn court went on to adopt "the heightened recklessness standard," recognizing this as a "commonsense distinction between excessively harmful conduct -and the more routine rough-and-tumble of sports that should occur freely on the playing field and should not be second-guessed in courtrooms." Id.

Apart from policy rationales, some courts have justified adoption of a recklessness or intentional standard of care on the grounds that a participant in a sports activity assumes the risks inherent in that activity. See, e.g., Knight, 11 Cal.Rptr.2d 2, 834 P.2d at 712; Marchetti, 559 N.E.2d at 703-04; Turcotte, 510 N.Y.S.2d 49, 502 N.E.2d at 967; Ross, 637 S.W.2d at 14. Assumption of risk can be applied in its primary or secondary sense. See Fowler V. Harper et al., The Law of Torts § 21.0 (3d ed.1996). Secondary assump tion of risk is applied according to a subjective standard. Therefore, "if the plaintiff knows, understands, and appreciates a risk and deliberately encounters it, he assumes that risk in the secondary sense." Heidi C. Doerhoff, Penalty Box or Jury Box? Deciding Where Professional Sports Tough Guys Should Go, 64 Mo. L.Rev. 739, 751 (1999). Whether the plaintiff appreciated and was willing to encounter the particular risk is a "factual determination[ ] usually reserved to the jury." Id.

Secondary assumption of risk has been subsumed by comparative fault in many jurisdictions and is no longer a defense. However, New York and California recognize primary assumption of risk as having survived enactment of their comparative negligence statutes. These two states have retained assumption of risk in the sports injury context by recasting it as a no-duty rule. Essentially, under the primary assumption of risk doctrine, a sports participant defendant owes no duty of care to a co-participant with respect to risks that are considered to be within the ordinary range of activity involved in the sport. See Knight, 11 Cal.Rptr.2d 2, 834 P.2d at 711; Turcotte, 510 N.Y.S.2d 49, 502 N.E.2d at 970. Because primary assumption of risk "is a policy-driven concept that flows from the legal relationship of the parties, not their subjective expectations," it is applied according to an objective, rather than subjective, standard. Doerhoff, supra, at 751. Thus, for purposes of determining whether the doctrine negates a defendant's duty of care, thereby barring a plaintiffs action, the plaintiff's "knowledge plays a role but [the] inherency [of the risks involved in the particular sport] is the sine qua non." Morgan v. State, 90 N.Y.2d 471, 662 N.Y.S.2d 421, 685 N.E.2d 202, 208 (1997). Whether a duty of care attends the relationship between the parties "is a question of law reserved to the *419 court." Doerhoff, supra, at 751. If no such duty is found to exist, then an action for personal injury will be barred as a matter of law absent evidence of reckless or intentionally harmful conduct. Turcotte, 510 N.Y.S.2d 49, 502 N.E.2d at 967.

Courts that have adopted the recklessness or intentional standard have also tended to hold rule violations as an inherent and anticipated part of the game. Burnstein, supra, at 993. The Supreme Court of Connecticut has justified this tendency by reasoning that the "normal expectations of participants in contact team sports includes the potential for injuries resulting from conduct that violates the rules of sport." Jaworski, 696 A.2d at 337. Thus, "Connecticut, like other jurisdictions that have adopted the reckless or intentional standard of care, allows a participant in a sporting event to escape liability when his conduct is 'part of the game' even though it violates [the] rules" of the sport. Mark M. Rembish, Liability for Personal Injuries Sustained in Sporting Events After Jaworski v. Kierney, 18 Quinnipiac L.Rev. 307, 341 (1998).

In sum, the majority of jurisdictions that have considered the issue of the appropriate standard of care between co-participants in sporting activities, have adopted a standard of care that exceeds negligent conduct. The rationale behind this heightened standard of care is the fear of a flood of litigation, the desire to encourage vigorous athletic competition and participation in sporting events, and the perception that risk of injury is a common and inherent aspect of sports and recreational activity.

C. Analysis

In determining the appropriate standard of care between co-participants in sporting activities in Indiana, we are mindful that in Indiana, as in the rest of the United States, participation in recreational sports has become an increasingly popular leisure time activity. Indeed, over the last decade, more Americans than ever before "have joined recreational softball, basketball, football [and] other types of sports leagues," and there has also been a dramatic increase in participation in high school and college organized sports. Burnstein, supra, at 993. Our legislature also emphasized and endorsed the growing importance of sporting and recreational activities in Indiana, when it enacted a statute specifically immunizing landowners from lability if they have opened their property for recreational use. Nee Inp. Cope § 14-22-10-2. 4

After reviewing the decisions of other jurisdictions that have considered this issue, we are convinced that a negligence standard would be over-inclusive. Specifically, we believe that adopting a negli-genee standard would create the potential for mass litigation and may deter participation in sports because of fear of incurring liability for the injuries and mishaps incident to the particular activity. Further, we believe that the duty of care between co-participants in sports activities is sufficiently distinguishable from Indiana cases where a student athlete sues an educational institution or its representatives, to merit a heightened standard of care. Specifically, application of a negligence *420 standard is justified where a student athlete sues a school or its representatives because there is a well-established duty on the part of such institutions and their personnel to exercise ordinary and reasonable care for the safety of those under their authority. See Beckett, 504 N.E.2d at 553. However, no such analogous authority or responsibility exists between co-participants in sporting events, and therefore, we are not compelled to adopt a similar standard in this context. 5 Finally, as a matter of policy, we prefer to avoid the need to hold a jury trial to determine whether the plaintiff incurred the risk of injury in every case involving a sports injury caused by a co-participant. We can prevent this necessity by adopting an objective primary assumption-of-risk doctrine and a standard of care greater than negligence.

Accordingly, we hold that voluntary participants in sports activities assume the inherent and foreseeable dangers of the activity and cannot recover for injury unless it can be established that the other participant either intentionally caused injury or engaged in conduct so reckless as to be totally outside the range of ordinary activity involved in the sport. 6 The plaintiff's assumption of risk is primary in nature inasmuch as it flows from the legal relationship of the parties, is evaluated according to an objective standard rather than a subjective standard, and acts to bar recovery. Thus, it is a question of law for the determination of the court, whether the injury-causing event was an inherent or reasonably foreseeable part of the game, such that the plaintiff is considered to have assumed the risk. If the court determines that the plaintiff did assume the risk, then the plaintiff's cause fails. If, on the other hand, the court determines that plaintiff did not assume the risk, then the cause proceeds to a jury to determine, as a question of fact, whether the co-participant intentionally or recklessly caused the injury.

In addition, because we recognize that rule infractions, deliberate or otherwise, are an inevitable part of many sports, a co-participant's violation of the rules of the game may be evidence of liability, but shall not per se establish reckless or intentional conduct. We share the Supreme Court of Connecticut's recognition that:

In athletic competitions, the object obviously is to win. In games, particularly those involving some degree of physical contact, it is reasonable to assume that the competitive spirit of the participants will result in some rules violations and injures. That is why there are penalty boxes, foul shots, free kicks, and yellow cards.

Jaworski, 696 A.2d at 337. Thus, while some injuries may result from rules violations, we believe such violations are nonetheless an accepted part of any competition and among the anticipated risks of participation in the game.

*421 We are affording enhanced protection against liability to co-participants in sports events, in part, because we recognize that they are not in a position, practically speaking, to protect themselves from claims. Event organizers, sponsors, and the like, are able to safeguard themselves from lability by securing waivers. They usually accomplish this by requiring each participant to sign a waiver and assumption-of-risk form as a condition of competing in the event. 7 However, in most instances, it is simply infeasible for participants to protect themselves by similar means. Indeed, at large sporting events, participants would have to exchange many releases in order to avoid lability. 8 Under the common law system of contributory fault, application of the doctrine of incurred risk would have allowed the judiciary to protect parties who, as here, cannot take steps to legally protect themselves from liability. However, when our legislature abandoned contributory negligence as a total bar to recovery and established a comparative negligence regime, it did not account for situations where parties are unable to protect themselves from lability. Thus, there is a void in the law. We recognize that one of the responsibilities of the judiciary is to fill such voids. Accordingly, we determine that, as a matter of law, participants in sporting events will not be permitted to recover against their co-participants for injuries sustained as the result of the inherent or foreseeable dangers of the sport.

*422 The foregoing standard means, in essence, that an action will He in tort between co-participants in sports events "when players step outside of their roles as fellow competitors" and recklessly or intentionally inflict harm on another. Doerhoff, supra, at 744. A player will be considered to have acted in reckless disregard of the safety of another player if "he does an act, or intentionally fails to do an act which it is his duty to the other to do, knowing or having reason to know of facts which would lead a reasonable person to realize, not only that his conduct creates an unreasonable risk of physical harm to another, but also that such risk is substantially greater than that which is necessary to make his conduct negligent." Restate, ment (Second) of Torts § 500 (1965). A player acts intentionally when he desires to cause the consequences of his act, or when he believes that the consequences are substantially certain to result from it. Id. § Sa. Thus, recklessness differs from intentional wrongdoing in that while the act must be intended by the actor in order to be considered reckless, the actor does not intend the harm that results from the act.

Applying the foregoing standard, liability will not lie where the injury causing action amounts to a tactical move that is an inherent or reasonably foreseeable part of the game and is undertaken to secure a competitive edge. Thus, where a baseball pitcher throws the ball near the batter to prevent him from crowding the home plate, and the ball ends up striking the batter and causing injury, the pitcher's conduct would not be actionable. Similarly, there would be no tort liability where the defense in a football game strategically "blitzes" the opposing team's quarterback resulting in injury, or where one basketball team is leading by a point and, see-onds from the end of the game, a member of that team chooses to foul the opponent when he drives the lane for a "slam dunk," thereby forcing him to try to win the game at the free throw line.

In contrast, if a co-participant vents his anger at another player by means of a physical attack, such conduct would be actionable. Instances of such tortious conduct would be where one boxer bites his opponent's ear during a boxing match, 9 or where a soccer or football player punches another player after a tackle. Similarly, if a baseball batter in a fit of anger intentionally flips his bat towards the opposing team's dugout and injures one of the players, liability might attach for such recklessness.

In light of these examples, it is our view that adoption of the recklessness or intentional conduct standard preserves the fundamental nature of sports by encouraging, rather than inhibiting, competitive spirit, drive, and strategy. Moreover, this standard will avoid judicial review of the kind of risk-laden conduct that is inherent in sports and generally considered to be part of the game, while at the same time imposing liability for acts that are clearly unreasonable and beyond the realm of fair play. Further, we believe that adoption of this standard will not compromise Indiana's status as the "Amateur Sports Capital of the World." Tammy Lieber, 20 Years of *423 Amateur Sports, Indianapolis Bus. J., Apr. 12, 1999, at 3A. 10

D. Rebecca's Claim

We now return to Rebecca's contention that the trial court erred in granting summary judgment in favor of Kyle on Count I of her complaint, in which Rebecca alleged that Kyle acted negligently in causing her injuries. In light of our holding regarding the appropriate standard of care between co-participants in a sporting event, allegation or proof of negligent conduct is insufficient to create lability. Thus, Count I of Rebecca's complaint must fail.

With regard to Count II, alleging that Kyle acted intentionally, recklessly and willfully in causing her injuries, the trial court must determine whether Kyle's action was an inherent or reasonably foreseeable part of the sport, such that Rebecca assumed the risk of injury as a matter of law. In our view, it is reasonably foreseeable that a competitor in a cycling race may attempt to eut in front of co-participants in an effort to advance position. Thus, if Rebecea is unable to develop the facts beyond those presented at this june-ture, we would conclude that Kyle's action was an inherent risk in the event that Rebecca assumed as a matter of law, thereby precluding recovery.

CONCLUSION

We thus conclude that the trial court properly granted summary judgment in favor of Kyle as to Count I of Rebecca's complaint. Accordingly, we affirm the trial court's decision with respect to Count I. We also remand to the trial court for further proceedings on Count II consistent with this opinion, to determine whether, under the facts of this case as they develop, Rebecea assumed the risk of injury as a matter of law.

BROOK, J., and BARNES, J., concur.
1

. For another case where a student brought suit against the school corporation for injuries caused by a fellow student during a sports event, see Huffman v. Monroe County Community Sch. Corp., 588 N.E.2d 1264 (Ind.1992). In that case, the plaintiff sustained head and shoulder injuries when a fellow student struck her in the back of the head with a shot put during a track meet. Id. at 1264.

2

. The parties dispute whether the court in this case proceeded under a standard of negligence or reckless misconduct. Appellant's brief at 8; Appellee's brief at 4-5. While the standard is unclear, it appears from the court's holding and analysis of how violations of the rules of sport affect the negligence analysis, that it permitted the case to proceed under a negligence standard. Duke's GMC, 447 N.E.2d at 1124.

3

. One critic has noted that a "shortcoming of the recklessness standard is the inconsistent formulas courts have established to define recklessness." Ian M. Burnstein, Liability For Injuries Suffered In The Course of Recreational Sports: Application of the Negligence Standard, 71 U. Det. Mercy L.Rev. 993, 1014 (1994). Burnstein points out that the Louisiana Court of Appeals in Bourque, 331 So.2d at 43, defined recklessness "in terms of consequences to the victim," whereas the Illinois Court of Appeals in Nabozny v. Barnhill, 31 Ill.App.3d 212, 334 N.E.2d 258, 261 (1975), defined it in terms of the "actor's 'reckless disregard" for the safety of other players." Id. The New Mexico Court of Appeals in Kabella, 672 P.2d at 295, "defined reckless disregard as reckless or willful conduct," and other jurisdictions have used the definition set out in the Restatement (Second) of Torts (1965). Id.

4

. The Indiana Recreational Use Statute provides that the owner of premises used for recreational purposes, such as swimming, camping, hiking, and sightseeing, does not assume responsibility or incur liability, for personal injury or property damage caused by an action or failure to act of persons using the premises. IC. § 14-22-10-2. Baseball and sledding are among the sporting activities that have been recognized as being covered by the Recreational Use Statute. See Cunningham v. Bakker Produce, Inc., 712 N.E.2d 1002 (Ind.Ct.App.1999), trans. denied; Civils v. Stucker, 705 N.E.2d 524 (Ind.Ct.App.1999).

5

. Moreover, to the extent Duke's GMC is inconsistent with this opinion it is disapproved.

6

. This author has advanced the position before, in his concurring opinion in Lincke v. Long Beach Country Club, 702 N.E.2d 738, 741 (Ind.Ct.App.1998), that co-participants in sporting activities should be considered to have assumed the inherent and foreseeable dangers of the activity as a matter of law. Specifically, this' author stated that: "Any golfer in the rough of a hole which runs parallel to another should, as a matter of law, know the dangers of approaching golfers. To be surprised that approaching drivers hook or slice is akin to being surprised that not everyone shoots par. We have said often that 'there comes a point where this Court should not be ignorant as judges of what we know as men [or women].' This is a shining example of the application of that maxim." Id. (quoting Willner v. State, 602 N.E.2d 507, 509 (Ind.1992)).

7

. Indeed, in the case at bar Rebecca was required to sign an "Acknowledgment, Waiver and Release From Liability" form in order to participate in the Triathlon. R. at 71. The release provided, in part:

(c) I WAIVE, RELEASE, AND DISCHARGE from any and all claims, losses, or liabilities for death, personal injury, partial or permanent disability, property damage, medical or hospital bills, theft or damage of any kind, including economic losses which may in the future arise out of or relate to my participation in or my traveling to a USAT sanctioned event, THE FOLLOWING PERSONS OR ENTITIES: USAT, EVENT SPONSORS, RACE DIRECTORS, EVENT PRODUCERS, VOLUNTEERS, ALL STATES, CITIES, COUNTIES, OR LOCALITIES IN WHICH EVENTS OR SEGMENTS OF EVENTS ARE HELD, AND THE OFFICERS, DIRECTORS, EMPLOYEES, REPRESENTATIVES AND AGENTS OF ANY OF THE ABOVE EVEN IF SUCH CLAIMS, LOSSES, OR LIABILITIES ARE CAUSED BY NEGLIGENT ACTS OR OMISSIONS OF THE PERSONS I AM HEREBY RELEASING OR ARE CAUSED BY THE NEGLIGENT ACTS OR OMISSIONS OF ANY OTHER PERSON OR ENTITY. (d) ... I also ASSUME ANY AND ALL OTHER RISKS associated with participating in USAT sanctioned events including but not limited to falls, contacts and/or effects with other participants ... and I further acknowledge that these risks include risks that may be the result of the negligence of the persons or entities mentioned above in paragraph (c) or of other persons or entities.

R. at 71.

As is generally the case, the release form that Rebecca signed does not relieve Kyle from liability as co-participants are not listed among the specific entities or individuals released from liability according to the plain language of the document. See OEC-Diasonics, Inc. v. Major, 674 N.E.2d 1312, 1314 (Ind.1996) (stating that a "release document{ ] shall be interpreted in the same manner as any other contract document." Thus, where the language is unambiguous, it should be interpreted as to its clear terms.).

8

. For example, there were "more than 23,-000" participants in the 2000 Mini Marathon in Indianapolis. Indianapolis Life 500 Festival Mini Marathon and 500 Festival 5K, at (last visited Mar. 7, 2001). Had each of the 23,000 participants attempted to obtain a release from the other 22,999 participants, this would have required the execution and exchange of 52,897,700 release forms. This endeavor would have taken even longer than it would take for this author to complete the requisite 13.1 miles of the mini marathon.

9

. As one commentator has noted, "it is inconceivable that professional boxing or full contact karate matches could be conducted without some injury to one or both participants [as] [clausing bodily harm is the very essence of the match." Daniel Lazaroff, Torts & Sports: Participant Liability to Co-participants for Injuries Sustained During Competition, 7 U. Miami Ent. & Sports L.Rev. 191, 194 (1990). However, while injury as the result of a "left hook" or "jab" is considered an inherent or reasonably foreseeable part of professional boxing, injury as the result of a bite is not.

10

. As a result of the Indiana Sports Corporation's initiative to turn Indianapolis into the "Amateur Sports Capital of the World," Indiana has hosted several major sporting events and enjoyed the attendant economic, cultural, and recreational benefits. Lieber, supra, at 41A. Some of the major sporting events that Indiana has hosted include the: Pan American Games; Indianapolis 500 Mile Race; Brickyard 400-NASCAR Winston Cup Series; World Championships in gymnastics, rowing, and track and field; Olympic trials for canoe/kayak, diving, rowing, swimming, track and field and wrestling; U.S. National Championships in diving, figure skating, gymnastics, rowing, and swimming; Hoosier Basketball Classic; Big Ten Men's and Women's Swimming and Diving Championships and Outdoor Track and Field Championships; and the International Race of Champions (IROC). In 2001 Indiana will host, among other events, the World Police and Fire Games, Hoosier State Games, Coca Cola Circle City Classic, Youthlinks Indiana Charity Golf Tournament, RCA Tennis Championships, Corporate Challenge, PeyBack Classic II, and the USA Judo National High School and Collegiate Championships. Other sporting events scheduled to take place in Indiana during the next few years include the 14th World Basketball Championship for Men in 2002, the 2003 World Gymnastics Championships, the 2004 World Swimming Championships, and the 2006 NCAA Men's Final Four. Correspondence from the Indiana Sports Corporation (March 7, 2001) (on file with author).

4.2.1.3.4 Al Shikha v. Lyft ("The Rideshare Case") 4.2.1.3.4 Al Shikha v. Lyft ("The Rideshare Case")

102 Cal.App.5th 14 (2024)

ABDU LKADER AL SHIKHA, Plaintiff and Appellant,
v.
LYFT, INC., Defendant and Respondent.

No. B321882.

Court of Appeals of California, Second District, Division Three.

May 17, 2024.

18*18 APPEAL from a judgment of the Superior Court of Los Angeles County, Super. Ct. No. 20STCV14928, Peter A. Hernandez, Judge. Affirmed.

McLachlan Law and Michael D. McLachlan for Plaintiff and Appellant.

Horvitz & Levy, Jason R. Litt, Rebecca G. Powell; Sheppard Mullin Richter & Hampton, Paul S. Cowie, Rachel J. Moroski and Nina Montazeri for Defendant and Respondent.

 

OPINION

 

ADAMS, J.—

Abdu Lkader Al Shikha was working as a Lyft, Inc., driver when a passenger attacked him, stabbing his hand and legs. The attack was sudden and unprovoked. Unbeknownst to Al Shikha, the passenger had a 19*19 criminal record. Although Lyft conducts criminal background checks on its drivers, it does not similarly screen passengers. Al Shikha sued Lyft for negligence based on the rideshare company's failure to conduct criminal background checks on all passengers. The trial court granted Lyft's motion for judgment on the pleadings.

We conclude Al Shikha has not established that Lyft's legal duty to its drivers extends to conducting criminal background checks on all riders seeking to use the service. We therefore affirm the trial court judgment.

 

FACTUAL AND PROCEDURAL BACKGROUND[1]

 

In February 2020, Al Shikha was working as a Lyft driver when he accepted a ride request through the Lyft app from passenger Ricky A. Alvarez. During the ride, and without any warning or provocation, Alvarez repeatedly stabbed Al Shikha, causing lacerations to Al Shikha's left hand and both legs. In April 2020, Al Shikha filed a complaint asserting three causes of action against Lyft: (1) failure to provide workers' compensation insurance; (2) negligence; and (3) failure to provide a safe place of employment.[2]

It is undisputed that Public Utilities Code section 5445.2 and Business and Professions Code section 7458 require Lyft to conduct background checks on drivers. The Public Utilities Commission has issued Lyft a permit to operate as a Transportation Network Company (TNC) in California. Public Utilities Code section 5445.2, subdivision (a)(1), provides that TNCs must conduct, or have a third party conduct, "a local and national criminal background check for each participating driver...."

Public Utilities Code section 5445.2 prohibits TNCs from employing, contracting with, or retaining drivers with certain convictions. The disqualifying convictions include violent felonies within the meaning of Penal Code section 667.5, human trafficking under Penal Code section 236.1, and several terrorism-related offenses. Other enumerated convictions preclude an individual from driving for a TNC if the offense occurred within the previous seven years. The list includes driving under the influence of alcohol or drugs and several bribery offenses. (Pub. Util. Code, § 5445.2, subd. (a)(2)-(3).) Business and Professions Code section 7458 also requires TNCs to conduct a 20*20 criminal background check for each "app-based driver," and forbids TNCs from using drivers who have specific prior convictions. (Bus. & Prof. Code, § 7458, subds. (a) & (c).) In addition to the disqualifying convictions listed in Public Utilities Code section 5445.2, the provision adds "serious felonies" (Pen. Code, § 1192.7, subd. (c)) and "any hate crimes" (Pen. Code, § 422.55).

The complaint alleges Alvarez has a "long history of criminal convictions," including "charges for drugs, theft, and illegal weapons charges, all of which are a matter of public record." There are no other allegations about the nature of Alvarez's convictions or his criminal history.

According to the complaint, Lyft has a "contractual pre-existing relationship" with its passengers, so it has the "opportunity" to conduct background checks on them before they summon a ride. Lyft knows that passengers have committed crimes against drivers for Lyft, Uber, taxicabs, and common carriers. However, Lyft does not conduct "basic, inexpensive public record background checks on passengers to determine whether they pose a risk of harm to drivers (or to obtain consent from drivers that they may be transporting a known criminal)." The complaint asserts that if Lyft had conducted a background check on Alvarez, it would have known of his criminal background, and it "should have advised [Al Shikha] of [the] same."

Lyft moved for judgment on the pleadings on the first two causes of action, asserting it had no legal duty to conduct background checks on passengers and therefore was not negligent. Al Shikha opposed the motion. He argued, in part, that the motion impermissibly asked the court to make factual determinations. He did not seek leave to amend the complaint.

The trial court granted Lyft's motion. The court concluded Al Shikha could not establish a claim for negligence as a matter of law because Lyft lacked either a statutory or a common law duty to conduct criminal background checks on passengers. The court also determined that the Investigative Consumer Reporting Agencies Act (ICRAA; Civ. Code, § 1786 et seq.) prohibits Lyft from conducting background checks on passengers. Finally, the court reasoned that Lyft had rebutted the presumption of negligence, thus defeating the claim that it was liable for failing to provide Al Shikha workers' compensation insurance.

In May 2022, the trial court issued a judgment of dismissal. Al Shikha timely appealed.

 

21*21 DISCUSSION

 

 

I. Standard of Review

 

A judgment on the pleadings in favor of a defendant is appropriate when the complaint fails to allege facts sufficient to state a cause of action. (Code Civ. Proc., § 438, subd. (c)(3)(B)(ii).) "In reviewing an order granting or denying a motion for judgment on the pleadings, we accept as true all material allegations in the complaint" (National Shooting Sports, supra, 5 Cal.5th at pp. 432-433), but not contentions, deductions, or conclusions of law (Adams v. Bank of America, N.A. (2020) 51 Cal.App.5th 666, 670-671 [265 Cal.Rptr.3d 415] (Adams)). We independently review the trial court's ruling. If the ruling is correct on any applicable theory of law, we will affirm. (Tukes v. Richard (2022) 81 Cal.App.5th 1, 18-19 [296 Cal.Rptr.3d 707].)

 

II. Request for Judicial Notice

 

As an initial matter, we consider Al Shikha's request that we take judicial notice of three documents: (1) Lyft's Terms of Service, found on its website; (2) safety-related information from Lyft's website; and (3) Lyft's Community Safety Report, which Al Shikha obtained from a website of unknown origin. Lyft has opposed the request for judicial notice.

Al Shikha fails to provide a valid statutory basis for this court to take judicial notice of the documents. He cites Evidence Code section 452, subdivision (d), which authorizes us to take judicial notice of court records, but there is no indication these documents are court records. Further, while Al Shikha recognizes that "[w]e may not take judicial notice of the truth of the contents of a website" (LG Chem, Ltd. v. Superior Court (2022) 80 Cal.App.5th 348, 362, fn. 7 [295 Cal.Rptr.3d 661]), he nonetheless requests that we take judicial notice of the truth of portions of the documents. For example, he asserts the terms of service demonstrate that Lyft "can (and now does) obtain rider consent for background checks." Similarly, he asserts the proffered documents are relevant to demonstrate Lyft's "knowledge of and general state of mind regarding safety issues...." However, "[t]he contents of ... Web sites ... are `plainly subject to interpretation and for that reason not subject to judicial notice.' [Citation.]" (Ragland v. U.S. Bank National Assn. (2012) 209 Cal.App.4th 182, 194 [147 Cal.Rptr.3d 41].)

We additionally note that Al Shikha neither asked the trial court to take judicial notice of these documents nor presented them in any form below. "Reviewing courts generally do not take judicial notice of evidence not presented to the trial court." (Vons Companies, Inc. v. Seabest Foods, Inc. 22*22 (1996) 14 Cal.4th 434, 444, fn. 3 [58 Cal.Rptr.2d 899, 926 P.2d 1085].) "In exceptional circumstances, an appellate court can, but is not required to, take judicial notice of material that was not presented to the trial court in the first instance." (Adams, supra, 51 Cal.App.5th at p. 673, fn. 4.) Al Shikha presents no such exceptional circumstances here.

We deny the request for judicial notice.

 

III. The Duty To Protect Others from Third Party Conduct

 

"To establish a cause of action for negligence, the plaintiff must show that the `defendant had a duty to use due care, that he breached that duty, and that the breach was the proximate or legal cause of the resulting injury.' [Citation.] Recovery for negligence depends as a threshold matter on the existence of a legal duty of care." (Brown v. USA Taekwondo (2021) 11 Cal.5th 204, 213 [276 Cal.Rptr.3d 434, 483 P.3d 159] (Brown).) "Whether a duty exists is a question of law to be resolved by the court." (Ibid.)

"In general, each person has a duty to act with reasonable care under the circumstances." (Regents of University of California v. Superior Court (2018) 4 Cal.5th 607, 619 [230 Cal.Rptr.3d 415, 413 P.3d 656] (Regents).) "However, `one owes no duty to control the conduct of another, nor to warn those endangered by such conduct.' [Citation.]" (Ibid.; accord, Delgado v. Trax Bar & Grill (2005) 36 Cal.4th 224, 235 [30 Cal.Rptr.3d 145, 113 P.3d 1159].) While "there is generally no duty to protect others from the conduct of third parties[,] [t]he `special relationship' doctrine is an exception to this general rule." (Regents, at p. 627.) "In a case involving harm caused by a third party, a person may have an affirmative duty to protect the victim of another's harm if that person is in what the law calls a `special relationship' with either the victim or the person who created the harm." (Brown, supra, 11 Cal.5th at p. 215.) A "special relationship between the defendant and the victim is one that `gives the victim a right to expect' protection from the defendant...." (Id. at p. 216.) "The existence of such a special relationship puts the defendant in a unique position to protect the plaintiff from injury. The law requires the defendant to use this position accordingly." (Ibid.)

If the court determines there is a special relationship between the parties, "or some other set of circumstances giving rise to an affirmative duty to protect," the court must then "consult the factors described in Rowland [v. Christian (1968) 69 Cal.2d 108 [70 Cal.Rptr. 97, 443 P.2d 561]] to determine whether relevant policy considerations counsel limiting that duty." (Brown, supra, 11 Cal.5th at p. 209.)

23*23 Lyft concedes that it was in a special relationship with Al Shikha when the attack occurred.[3] We therefore must consider whether the Rowland factors indicate the duty arising out of that special relationship should be limited.

 

IV. The Rowland Factors Favor Limiting the Duty of Care To Exclude an Obligation To Conduct Criminal Background Checks on All Passengers

 

Even where there is a special relationship, the general rule of duty may be limited if "policy considerations clearly require an exception." (Regents, supra, 4 Cal.5th at p. 628.) The Rowland factors are "a means for deciding whether to limit a duty derived from other sources." (Brown, supra, 11 Cal.5th at p. 217.)

"To depart from the general principle that all persons owe a duty of care to avoid injuring others ... `involves the balancing of a number of considerations': `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.' [Citation.]" (Brown, supra, 11 Cal.5th at p. 217, citing Rowland v. Christian, supra, 69 Cal.2d at pp. 112-113 (Rowland); accord, Kuciemba v. Victory Woodworks, Inc. (2023) 14 Cal.5th 993, 1021 [310 Cal.Rptr.3d 97, 531 P.3d 924] (Kuciemba).)

As our Supreme Court has explained, these "Rowland factors fall into two categories. The first group involves foreseeability and the related concepts of certainty and the connection between plaintiff and defendant. The second embraces the public policy concerns of moral blame, preventing future harm, burden, and insurance availability. The policy analysis evaluates whether certain kinds of plaintiffs or injuries should be excluded from relief." (Regents, supra, 4 Cal.5th at p. 629; see Kuciemba, supra, 14 Cal.5th at p. 1021.)

We consider the Rowland factors at "`a relatively broad level of factual generality.' [Citation.]" (Regents, supra, 4 Cal.5th at p. 628; accord, Kuciemba, supra, 14 Cal.5th at p. 1021.) Therefore, "we determine `not whether they support an exception to the general duty of reasonable care on the facts of the particular case before us, but whether carving out an entire 24*24 category of cases from that general duty rule is justified by clear considerations of policy.' [Citation.] In other words, the duty analysis is categorical, not case specific." (Regents, at p. 629.)

Before analyzing the Rowland factors, we must identify the specific duty Al Shikha asserts Lyft should undertake. (Castaneda v. Olsher (2007) 41 Cal.4th 1205, 1214 [63 Cal.Rptr.3d 99, 162 P.3d 610] (Castaneda).) The complaint alleges Lyft has a duty to conduct "basic, inexpensive public record background checks on passengers to determine whether they pose a risk of harm to drivers (or to obtain consent from drivers that they may be transporting a known criminal)." On appeal, Al Shikha argues Lyft is required to "either warn drivers about riders with serious criminal histories ... or otherwise exclude such riders from its network." He further asserts that Lyft should exclude or warn drivers about passengers who have been convicted of any of the crimes that would prevent individuals from driving for a TNC pursuant to Business and Professions Code section 7458 and Public Utilities Code section 5445.2. Al Shikha suggests Lyft could simply warn drivers that a potential rider did not pass a criminal background screening. According to Al Shikha, once warned, "[t]he driver then has the choice of accepting the ride or not."

 

A. Sliding-scale balancing formula

 

"`The most important factor to consider in determining whether to create an exception to the general duty to exercise ordinary care ... is whether the injury in question was foreseeable.' [Citations.]" (Regents, supra, 4 Cal.5th at p. 629.) In assessing the Rowland factors in cases involving a defendant's duty to prevent third party criminal conduct, courts have employed a "sliding-scale balancing formula." (Hanouchian v. Steele (2020) 51 Cal.App.5th 99, 109 [264 Cal.Rptr.3d 234] (Hanouchian).)

As the California Supreme Court explained in Verdugo v. Target Corp. (2014) 59 Cal.4th 312 [173 Cal.Rptr.3d 662, 327 P.3d 774] (Verdugo), "In evaluating whether a business is under a duty to provide precautionary measures to protect patrons against potential third party criminal conduct, past California cases generally have looked primarily to a number of factors, including (1) the degree of foreseeability that the danger will arise on the business's premises and (2) the relative burden that providing a particular precautionary measure will place upon the business. [Citations.] If the relative burden of providing a particular precautionary safety or security measure is onerous rather than minimal, the governing cases have held that absent a showing of a `heightened' or `high degree' of foreseeability of the danger in question, it is not appropriate for courts to recognize or impose a common law duty to provide the measure. [Citations.] These decisions implicitly 25*25 recognize that, in the absence of such heightened foreseeability, the determination whether a business (or businesses in general) should be required to provide a costly or burdensome precautionary safety measure to protect against potential future third party criminal conduct should more appropriately be made by the Legislature rather than by a jury applying a general reasonableness standard in a particular case." (Id. at pp. 338-339.)

Thus, for example, in Ann M. v. Pacific Plaza Shopping Center (1993) 6 Cal.4th 666 [25 Cal.Rptr.2d 137, 863 P.2d 207] (Ann M.), disapproved of on another ground in Reid v. Google, Inc. (2010) 50 Cal.4th 512, 527, footnote 5 [113 Cal.Rptr.3d 327, 235 P.3d 988], an unknown assailant raped the plaintiff at the store where she worked. The plaintiff sued the defendant owner of the shopping center, alleging the defendant was negligent for failing to provide security patrols in the shopping center's common areas. (Ann M., at pp. 671, 673.) Our high court determined that although the defendant owed a duty of care to the plaintiff due to the landowner-tenant and landowner-patron relationship, that duty was limited.

The court explained that the scope of a landlord's duty to provide protection from foreseeable third party crime "is determined by a balancing of `foreseeability' of the criminal acts against the `burdensomeness, vagueness, and efficacy' of the proposed security measures." (Ann M., supra, 6 Cal.4th at p. 679.) The court concluded hiring security guards would rarely be a minimal burden. Not only are the monetary costs "not insignificant," "the obligation to provide patrols adequate to deter criminal conduct is not well defined. `No one really knows why people commit crime, hence no one really knows what is "adequate" deterrence in any given situation.' [Citation.] Finally, the social costs of imposing a duty on landowners to hire private police forces are also not insignificant. [Citation.] For these reasons, we conclude that a high degree of foreseeability is required in order to find that the scope of a landlord's duty of care includes the hiring of security guards. We further conclude that the requisite degree of foreseeability rarely, if ever, can be proven in the absence of prior similar incidents of violent crime on the landowner's premises. To hold otherwise would be to impose an unfair burden upon landlords and, in effect, would force landlords to become the insurers of public safety, contrary to well-established policy in this state." (Ibid.)

The plaintiff in Ann M. failed to establish the requisite high degree of foreseeability since there was no evidence the defendant was aware of prior assaults and robberies at the shopping center and prior reported incidents of crime were not similar to the assault the plaintiff suffered. Evidence that transients were present near the shopping center and statistical rates of crime in the surrounding area also failed to satisfy the plaintiff's burden to show a high degree of foreseeability. (Ann M., supra, 6 Cal.4th at pp. 679-680.)

26*26 In Sharon P. v. Arman, Ltd. (1999) 21 Cal.4th 1181 [91 Cal.Rptr.2d 35, 989 P.2d 121] (Sharon P.), disapproved of on other grounds in Reid v. Google, Inc., supra, 50 Cal.4th at page 527, footnote 5, and Aguilar v. Atlantic Richfield Co. (2001) 25 Cal.4th 826, 853, footnote 19 [107 Cal.Rptr.2d 841, 24 P.3d 493], our high court again considered the scope of a landlord's duty to prevent third party criminal conduct. An unknown assailant sexually assaulted the plaintiff at gunpoint in the defendants' underground parking garage. (Sharon P., at p. 1185.) The plaintiff alleged the violent attack was sufficiently foreseeable to impose a duty on defendants to adopt various safety measures, such as security guards, bright lights, working security cameras, and periodic walk-throughs by defendants' employees. (Id. at p. 1189.) The plaintiff asserted prior robberies of the bank on the first floor of the building, crimes in the neighborhood surrounding the building, and the deteriorated, dark condition of the garage, including non-functioning security cameras, all demonstrated the foreseeability of a violent crime occurring in the garage. (Id. at pp. 1186, 1189.)

Following the reasoning of Ann M., our high court concluded the plaintiff did not establish the high level of foreseeability necessary to impose a duty to hire security guards. The court reasoned that the prior bank robberies were not sufficiently similar to the sexual assault on the plaintiff to justify such an obligation, and the statistical crime rate in the area around the building also did not establish the requisite foreseeability. (Sharon P., supra, 21 Cal.4th at p. 1191.) As to the other measures the plaintiff proposed, the court concluded: "It is difficult to quarrel with the abstract proposition that the provision of improved lighting and maintenance, operational surveillance cameras and periodic walk-throughs of the tenant garage owned and operated by defendants might have diminished the risk of criminal attacks occurring in the garage. But absent any prior similar incidents or other indications of a reasonably foreseeable risk of violent criminal assaults in that location, we cannot conclude defendants were required to secure the area against such crime." (Id. at p. 1199.)

Perhaps most relevant for this case, in Castaneda, the plaintiff was injured by a stray bullet during a gang-related confrontation at the mobile home park where he lived. (Castaneda, supra, 41 Cal.4th at pp. 1211-1212.) He sued the landlords, arguing they had a duty not to rent to gang members, or a duty to evict gang members when they harassed other tenants. (Id. at p. 1209.) The plaintiff's argument included the claim that if a rental applicant appeared to be a gang member, the landlords should obtain the applicant's criminal record to determine if the applicant was in fact gang involved. (Id. at p. 1217.)

The Castaneda court acknowledged the dangers of violent street gangs, and that gang activity can often subject residents at a particular location to 27*27 "unacceptable levels of fear and risk." (Castaneda, supra, 41 Cal.4th at p. 1216.) However, because the duty the plaintiff proposed—withholding rental units from actual or perceived gang members—was of an "extraordinarily burdensome nature" and had significant social costs, the court concluded that "[a]bsent circumstances showing extraordinary foreseeability," it would decline to recognize such a duty. (Id. at pp. 1218, 1216.) In assessing the burden of obtaining criminal histories of applicants when a landlord suspected the potential tenants might be gang members, the court noted that requiring such screening would expose landlords to potential liability for failing to conduct a sufficient inquiry, or for misjudging the criminal record as not reflecting a strong propensity for gang violence if such violence later occurred. (Id. at p. 1217.) The court also noted "liability for discrimination could arise if the landlord treated applicants differently, depending on their ethnicity, family composition, or appearance, either in deciding whether to obtain a criminal history or in deciding what prior convictions and arrests would disqualify an applicant." (Ibid.)

The court further explained: "The alternative [to selectively obtaining applicant criminal histories]—obtaining full histories on all applicants and their families, and refusing to rent to anyone with arrests or convictions for any crime that could have involved a gang—would involve significant expense and delay for the landlord and unfairly deprive many Californians of housing. Nor is the proposed screening likely to be especially effective; juvenile court records, which are generally confidential by law (Welf. & Inst. Code, § 827), are presumably not available through the services plaintiff recommends, and even adult criminal records do not necessarily reflect the circumstances of the crime from which a landlord could reliably decide whether renting to the applicant poses a threat of gang violence. We decline to impose such a burdensome, dubiously effective and socially questionable obligation on landlords, at least absent circumstances making gang violence extraordinarily foreseeable." (Castaneda, supra, 41 Cal.4th at p. 1217.)

Numerous courts of appeal have similarly considered the degree of foreseeability and the relative burden of proposed precautionary measures in determining whether the scope of a defendant's duty of care should be extended to require such measures. In Hanouchian, two men attacked the plaintiff without provocation or warning at a sorority party at the defendants' off-campus residence. A panel of this court considered whether the defendants' duty of care to the plaintiff as an invitee encompassed an obligation to take precautionary measures, including screening guests entering the event, permitting check-ins by university police, and hiring private security. (Hanouchian, supra, 51 Cal.App.5th at p. 109.)

The court concluded these three proposed measures in particular would be highly burdensome, requiring a heightened degree of foreseeability. The 28*28 complaint asserted the defendants were aware of past violent incidents at university fraternal organization events. But it did not allege the defendants were aware of prior similar incidents at their sorority specifically, or that the defendants had actual knowledge of the perpetrators' violent propensities that would have warranted their exclusion from the party. The plaintiff's complaint thus failed to allege facts sufficient to establish the requisite foreseeability of violent attacks like the one he suffered. (Hanouchian, supra, 51 Cal.App.5th at p. 113.)

Other courts have reached similar conclusions in circumstances involving sudden, unexpected, violent criminal conduct. (E.g., Williams v. Fremont Corners, Inc. (2019) 37 Cal.App.5th 654 [250 Cal.Rptr.3d 46] (Williams) [plaintiff attacked in parking lot of bar; insufficiently foreseeable to warrant preventative measures of uncertain efficacy]; Melton v. Boustred (2010) 183 Cal.App.4th 521 [107 Cal.Rptr.3d 481] [plaintiffs attacked at a party by unknown assailants; hiring security guards and restricting guest list would pose significant burden and attack was not reasonably foreseeable].)

 

1. Conducting criminal background checks on all passengers would be highly burdensome

 

Al Shikha contends conducting criminal background checks on all potential rideshare passengers would entail minimal costs and would not be highly burdensome. Lyft, in contrast, asserts the obligation would impose significant financial and social burdens. Lyft argues screening each passenger would require a "huge and unwieldy infrastructure"; that it would expose Lyft to liability because there is no guarantee it would successfully identify people inclined to violence; it would be impossible for passengers to download and sign up for the app at the time a ride is needed; it would burden those with criminal histories who are not inclined to violence but still need transportation; it would unfairly discriminate against broad segments of the population; it would have an "unfair or even unlawful[ly] discriminatory effect on minorities and marginalized populations"; and it would conflict with the strong public policy of maintaining consumer privacy.

As the court determined in Castaneda, we similarly conclude here that conducting criminal background checks on all rideshare passengers would be "a burdensome, dubiously effective and socially questionable obligation...." (Castaneda, supra, 41 Cal.4th at p. 1217.)

Because of the procedural posture of this case, there was no evidence before the trial court regarding the actual costs or conceivable logistics of Lyft conducting a criminal background check on every passenger who seeks to use the platform. However, accepting as true the complaint's allegation 29*29 that Lyft could conduct criminal background checks on passengers "for very little cost if it chose to do so," that allegation does not end the analysis.

To the extent Al Shikha has alleged or now argues that Lyft's duty is not only to conduct criminal background checks but also to either exclude passengers with certain criminal histories, or to warn drivers about such passengers, the burden would still be significant. Beyond simply obtaining a criminal history, some form of analysis would be necessary to identify what specific prior convictions appear in a passenger's criminal history. (See Sharon P., supra, 21 Cal.4th at p. 1196 [questionable that surveillance cameras would be less burdensome than hiring security guards since they "may be ineffectual to protect against crime unless there are employees who are available to continuously monitor video transmissions and respond effectively when suspicious or criminal behavior is observed"].) Moreover, Al Shikha's assertion that Lyft would incur only insignificant additional costs since it already obtains criminal background checks of drivers, appears to ignore the much larger volume of criminal background checks that would be necessary to screen every potential passenger.[4] (Castaneda, supra, 41 Cal.4th at p. 1217 [obtaining full criminal histories on all applicants and their families would involve "significant expense and delay"]; Hanouchian, supra, 51 Cal.App.5th at pp. 109-110 [screening party guests is highly burdensome measure].)

Even assuming there would be no significant financial or logistical burdens associated with conducting a criminal background check on every rideshare passenger, there are significant negative social costs to creating an obligation to obtain criminal histories of potential patrons to exclude them from participating in a widely available service. In 2017, the Legislature explained that "[r]oughly seven million Californians, or nearly one in three adults, have an arrest or conviction record...." (Assem. Bill No. 1008 (2017-2018 Reg. Sess.) § 1, subd. (f).) And in areas such as employment and housing, national, state, and local governments have taken steps to limit the use of criminal history as a basis to exclude individuals.

30*30 Our state Legislature, for example, has joined federal agencies and numerous states, counties, and cities, in enacting legislation or regulations restricting the use of criminal histories in employment decisions. (Assem. Bill No. 1008 (2017-2018 Reg. Sess.) § 1, subds. (a)-(c).) Under Government Code section 12952, the Fair Chance Act, employers generally may not ask about a job candidate's criminal history before making a conditional job offer. (Gov. Code, § 12952, subd. (a)(1), (2).) Further, to reject an applicant based on criminal background, the employer must "make an individualized assessment of whether the applicant's conviction history has a direct and adverse relationship with the specific duties of the job that justify denying the applicant the position." (Gov. Code, § 12952, subd. (c)(1)(A).)

Similarly, cities across the country have enacted ordinances curtailing or imposing restrictions on a landlord's ability to ask housing applicants about their criminal histories or to use criminal history as a basis to deny a housing application. As in the area of employment, many of these ordinances require an individualized assessment before a landlord may deny housing based on the applicant's criminal history. (See Yim v. City of Seattle (9th Cir. 2023) 63 F.4th 783, 790, 797 (Yim) [referencing such ordinances in Berkeley, Oakland, San Francisco, Ann Arbor, Seattle, Detroit, Portland, Minneapolis, Cook County, Washington, D.C., and New Jersey].)

Further, as the Ninth Circuit Court of Appeals explained in evaluating one such housing ordinance in Seattle, "In the United States, people of color are significantly more likely to have a criminal history than their white counterparts. Discriminatory law enforcement practices have resulted in people of color being `arrested, convicted and incarcerated at rates [that are] disproportionate to their share of the general population.' [Fn. omitted.] [¶] ... [¶] The correlation between race and criminal history can result in both unintentional and intentional discrimination on the part of landlords who take account of criminal history. A landlord with a policy of not renting to tenants with a criminal history might not bear any racial animus, but the policy could nevertheless disproportionately exclude people of color. On the flip side, a landlord who does not wish to rent to non-white tenants could mask discriminatory intent with a `policy' of declining to rent to tenants with a criminal history." (Yim, supra, 63 F.4th at pp. 788-789; see Mandala v. NTT Data, Inc. (2d Cir. 2020) 975 F.3d 202, 220 (Mandala) (dis. opn. of Chin, J.) ["As scholars and the EEOC have recognized, criminal history screens can have a substantial adverse disparate impact based on race"].)

A duty to conduct criminal background checks on all rideshare passengers would raise similar concerns about overbreadth, the disproportionate exclusion of certain racial groups, and the masking of discriminatory intent. The risk of invidious discrimination would be a particular concern if Lyft's 31*31 obligation was to exclude passengers based on an ill-defined category of having a "serious" criminal history, or if individual drivers were tasked with making their own risk assessments based on minimal information about a passenger's criminal history. Indeed, in areas such as employment, the racially disproportionate impact of the use of criminal background checks as a screening tool has led to governmental scrutiny and litigation against some private companies. (See Mandala, supra, 975 F.3d at p. 217, fn. 3 (dis. opn. of Chin, J.) [collecting cases in which courts denied motions to dismiss claims challenging criminal background checks as having an unlawful disparate impact based on race]; see generally EEOC v. Freeman (D.Md. 2013) 961 F.Supp.2d 783; EEOC v. Peoplemark, Inc. (W.D.Mich., Mar. 31, 2011, No. 1:08-cv-907) 2011 WL 1707281.) Requiring Lyft to conduct criminal background checks on every passenger seeking to use the service would be inconsistent with public policies moving away from generalized, nonspecific use of criminal history as a means of excluding individuals.[5] (See Ann M., supra, 6 Cal.4th at p. 679 [burden of providing security patrols included that the obligation was not well defined].)

An obligation to conduct criminal background checks on every potential passenger would additionally raise concerns regarding consumer privacy, another area in which the Legislature has enacted laws to restrict, rather than expand, the use of consumer information. The Legislature enacted ICRAA out of concern for consumer privacy and the increasing risks of identity theft. (Civ. Code, § 1786.) Civil Code section 1786.12 enumerates the specific, limited circumstances in which an investigating consumer reporting agency may furnish an "investigative consumer report."[6] Further, a report may not include records of conviction that antedate the report by more than seven years, and it may not include expunged convictions or arrests that did not result in a conviction. (Civ. Code, § 1786.18, subd. (a)(7).)

The parties dispute whether ICRAA would prohibit Lyft from obtaining criminal history reports about passengers. Lyft asserts the law allows such reports only in the statute's limited, enumerated circumstances. (Civ. Code, § 1786.12.) Al Shikha argues Lyft could simply include a provision in the 32*32 Lyft terms of service requiring passengers to consent to criminal background checks, thus complying with Civil Code section 1786.12, subdivision (c), which allows reports to be furnished "[i]n accordance with the written instructions of the consumer to whom it relates." We need not resolve the dispute here. Even if not prohibited by ICRAA, imposing an obligation on Lyft to conduct criminal background checks on a vast number of individuals, as a condition of engaging in an activity akin to hailing a taxi, would significantly implicate the law's underlying concerns related to consumer privacy, relevancy, and confidentiality. (Civ. Code, § 1786, subds. (b) & (f).)

The measures Al Shikha proposes would thus create potential liability for Lyft related to privacy concerns and disparate impact. In addition, like the landlords in Castaneda, Lyft similarly would face potential liability for personal injuries if it is alleged to have failed to conduct a sufficiently searching inquiry, misjudged a passenger's record as not constituting a "serious" criminal history if that passenger later engaged in violence, or failed to conduct sufficiently frequent background checks on repeat riders. (Castaneda, supra, 41 Cal.4th at p. 1217.) This potential liability is illustrated by the litigation rideshare companies have faced from passengers alleging the companies failed to obtain sufficiently thorough criminal background checks on drivers. (E.g., Doe v. Uber Technologies, Inc. (N.D.Cal. 2016) 184 F.Supp.3d 774, 788 [negligent hiring claim of plaintiff sexually assaulted by driver; court found plaintiff sufficiently alleged Uber was negligent in part because a criminal background check did not capture the driver's prior assault conviction]; see Schoenbaum, Gender and the Sharing Economy (2016) 43 Fordham Urb. L.J. 1023, 1061 (hereafter Schoenbaum) [noting criticism of ridesharing firms for incomplete background checks after finding drivers with criminal histories].)

Moreover, the Castaneda court's skepticism regarding the effectiveness of screening based on criminal records remains applicable here. In addition to the concerns the Castaneda court identified—that juvenile records would likely not be included, and adult records do not necessarily reflect the circumstances of past crimes sufficient to reliably allow a defendant to determine whether an individual poses a threat of a specific type of violence —criticisms have also been levied that some forms of criminal background checks are frequently incomplete and inaccurate. (E.g., Herring v. United States (2009) 555 U.S. 135, 155 [172 L.Ed.2d 496, 129 S.Ct. 695] (dis. opn. of Ginsburg, J.) [noting risk of error stemming from criminal records databases "is not slim," and amici "warn[ed] that law enforcement databases are insufficiently monitored and often out of date"]; Henderson v. Source for Public Data, L.P. (4th Cir. 2022) 53 F.4th 110 [plaintiffs sued data company for including inaccurate and misleading information in criminal background check reports]; Schoenbaum, supra, 43 Fordham Urb. L.J. at p. 1061; Logan & Ferguson, Policing Criminal Justice Data (2016) 101 Minn. L.Rev. 541, 33*33 559-563 [describing widespread problems with criminal history records containing inaccurate and incomplete information; leading to private sector companies issuing reports with errors such as mismatched reports, reporting expunged records, incomplete dispositions; private reports "are known to present significant risk of mismatching individuals to records"].) Not only may incorrect reports be ineffective in screening out passengers likely to commit violence, Lyft could face liability for inaccurate screenings, both from drivers harmed and potentially from customers denied rides based on incorrect information. Finally, Lyft points out that the rideshare platform allows users to obtain rides for other individuals and to share rides. The criminal background check procedure Al Shikha proposes would miss such additional passengers altogether.

In short, construing Lyft's duty to drivers to include an obligation to conduct a criminal background check on all riders, for the purpose of excluding some subset of them based on their criminal histories, is an extremely burdensome precautionary measure.

 

2. Al Shikha has not established heightened foreseeability

 

Al Shikha has not established the heightened foreseeability necessary for the imposition of such a duty. In determining whether a plaintiff has made a showing of heightened foreseeability, courts have considered whether there were prior similar incidents of violent crime (Wiener v. Southcoast Childcare Centers, Inc. (2004) 32 Cal.4th 1138, 1150 [12 Cal.Rptr.3d 615, 88 P.3d 517] (Wiener); Ann M., supra, 6 Cal.4th at p. 679), or whether the defendant had actual knowledge of the perpetrator's violent propensities (Hanouchian, supra, 51 Cal.App.5th at pp. 112-113; Margaret W. v. Kelley R. (2006) 139 Cal.App.4th 141, 153, 158 [42 Cal.Rptr.3d 519] [no showing of foreseeability where defendant did not know the plaintiff's assailants and no evidence the assailants had propensity to commit sexual assaults]).

Al Shikha's complaint alleges only that "it is well known by Lyft that many drivers for Lyft and Uber, as well as taxicab drivers and other similar common carriers, have fallen victim to serious crimes committed by passengers in the years prior to the Incident...." This allegation does not reflect a heightened foreseeability that passengers will perpetrate violence on drivers in particular. As the California Supreme Court explained in Wiener, "it is difficult if not impossible in today's society to predict when a criminal might strike. Also, if a criminal decides on a particular goal or victim, it is extremely difficult to remove his every means for achieving that goal." (Wiener, supra, 32 Cal.4th at p. 1150.) That passenger crime against drivers has occurred, standing alone, is insufficient to demonstrate heightened foreseeability. (See Sharon P., supra, 21 Cal.4th at p. 1191; Hanouchian, supra, 51 Cal.App.5th at p. 113.)

34*34 On appeal, Al Shikha contends the heightened foreseeability of riders perpetrating crime on drivers is demonstrated by the fact that Lyft "dedicates many sections of its website and much of its policies and rules to driver/safety issues"; that Lyft "has a dedicated team of Safety Specialists who track and respond to reports of crimes committed during rides"; and by Lyft's community safety report, which Al Shikha contends reported 10 fatal physical assaults in the years 2017 to 2019, and 4,158 sexual assaults, in data that does not indicate whether the victims were riders or drivers.

As noted above, Al Shikha did not present these documents to the trial court, and we have concluded there is no basis for us to take judicial notice of the materials. Yet, even if these were facts alleged in Al Shikha's complaint, we would conclude they do not establish heightened foreseeability of the type of attack that occurred in this case. An allegation that Lyft has policies regarding safety issues and has a team to respond to reports of crime indicates nothing about prior incidents similar to the attack in this case. Similarly, an allegation of 10 fatal physical assaults in a three-year period and over an unknown number of rides, or 4,158 sexual assaults when it is unknown how many of the victims were drivers, fails to establish the kind of "extraordinary foreseeability" necessary for the imposition of the extremely burdensome and questionably effective crime prevention measures Al Shikha proposes. (Sharon P., supra, 21 Cal.4th at p. 1199; Ann M., supra, 6 Cal.4th at p. 679.)

Al Shikha additionally argues data from Uber safety reports demonstrates the foreseeability of passenger attacks on drivers similar to this case. He cites Tchakounte v. Uber Technologies, Inc. (D.Md., Feb. 3, 2022, No. CCB-20-3028) 2022 WL 326727 (Tchakounte), in which the plaintiffs presented an Uber safety report indicating that for the years 2017 and 2018, "[Uber] drivers experienced fatal violence almost as frequently as riders did." (Id. at p. *2.) Yet, Al Shikha ignores that the Tchakounte court concluded the safety report data was insufficient to establish foreseeability in that case. The court explained: "Assuming the Safety Report shows Uber was aware of fatal assaults on drivers at the time of Mr. Tchakounte's murder, the risk of a fatal injury was extremely low: 7 of the 750,000 Uber drivers in 2018 (0.00093%) experienced a fatal assault. This falls far short of analogs in other tort liability contexts, where courts have looked for relatively higher incidences of harm before finding harm foreseeable. [Citation.] To find that Uber should have foreseen such a low-probability event would be to hold Uber liable as an insurer of its drivers' safety." (Id. at p. *7, fns. omitted.)

Al Shikha also relies on Tarasoff v. Regents of University of California (1976) 17 Cal.3d 425 [131 Cal.Rptr. 14, 551 P.2d 334]. Tarasoff concerned a therapist whose patient confided that he intended to kill a particular person 35*35 and the duty the therapist owed to that person. The court held that a therapist who determines a patient poses a serious risk of violence to another has a legal duty to warn the potential victim or others of the specific threat. (Id. at p. 431.) The court's ruling was limited to a therapist with knowledge of a specific threat; it did not hold that therapists must screen all clients for potential threats. The court explained that the plaintiffs' complaint alleged the defendants predicted the patient would kill the victim and they were negligent in failing to warn of the danger. The duty Al Shikha proposes is much broader than that in Tarasoff and it concerns a far more generic and less foreseeable harm.

Al Shikha's reliance on Duffy v. City of Oceanside (1986) 179 Cal.App.3d 666 [224 Cal.Rptr. 879] (Duffy), is similarly misplaced. In Duffy, the court held that a city had a duty to warn its employee that another employee (Larroque) was a parolee who had served time in prison for kidnapping, rape, and sexual assault. (Id. at p. 669.) The victim had informed the city that Larroque was sexually harassing her, yet the city did not warn her of his relevant criminal history. (Id. at p. 675.) Larroque subsequently kidnapped and killed the victim. (Id. at p. 669.) These specific facts created a triable issue as to negligence. (Id. at p. 675.)

However, the court explicitly refused to impose a broad duty, explaining that "[w]ere the substance of plaintiffs' complaint simply that the City was obliged to warn all female employees who might come in contact with Larroque of his prior criminal conduct, we would be unpersuaded.... The mere fact that Larroque had been convicted of assaults on two women at least seven years earlier—for which he had served time in prison and been treated in a mental hospital—gives rise to an insufficiently strong inference that he would repeat similar criminal behavior. Balanced against this are the negative effects of a warning to fellow employees."[7] (Duffy, supra, 179 Cal.App.3d at p. 674.)

As the California Supreme Court recognized over 30 years ago, "Unfortunately, random, violent crime is endemic in today's society. It is 36*36 difficult, if not impossible, to envision any locale open to the public where the occurrence of violent crime seems improbable." (Ann M., supra, 6 Cal.4th at p. 678.) Al Shikha's complaint identifies nothing about Lyft's operations or the individuals who use the service that indicates a heightened foreseeability that riders will engage in unprovoked attacks on drivers. Nothing in the complaint alleges or suggests the risk of an attack is higher during a rideshare ride than in any other setting in which strangers interact. (Verdugo, supra, 59 Cal.4th at p. 340 [that occasional incidents of sudden cardiac arrest may have occurred at Target stores would not demonstrate heightened foreseeability; complaint did not identify any risk that such occurrence was greater at Target than any other location open to public].) "[A] general knowledge of the possibility of violent criminal conduct is not in itself enough to create a duty under California law...." (Williams, supra, 37 Cal.App.5th at p. 668.) We conclude as the court did in Castaneda that "[g]iven the extraordinarily burdensome nature of the duty plaintiff seeks to impose and its likely social cost, ... much greater foreseeability than that demonstrated here would be required to recognize the duty" to obtain criminal background reports on all passengers. (Castaneda, supra, 41 Cal.4th at p. 1218.)

 

B. Setting aside the heightened foreseeability test, the Rowland factors still support a limitation of the duty

 

Al Shikha also relies on the California Supreme Court's decision in Regents to support his arguments. Although Regents involved third party criminal conduct, the court did not expressly employ the sliding-scale, heightened foreseeability analysis. Yet, the framework described in Regents similarly leads to the conclusion that the Rowland factors weigh in favor of limiting the duty Lyft owes drivers to exclude an obligation to conduct criminal background checks on all passengers.[8]

In Regents, our Supreme Court considered whether the University of California was negligent for failing to adopt measures to protect a student who was stabbed during class by another student with known mental health issues. The court considered each Rowland factor individually and concluded the university had a duty of care to protect its students from foreseeable violence during curricular activities. (Regents, supra, 4 Cal.5th at p. 613.)

The Regents court explained the foreseeability inquiry was not whether the particular student's injury was reasonably foreseeable in light of the prior conduct of the specific student who injured her, but "whether a reasonable 37*37 university could foresee that its negligent failure to control a potentially violent student, or to warn students who were foreseeable targets of his ire, could result in harm to one of those students." (Regents, supra, 4 Cal.5th at p. 629.) The court then considered examples of violent attacks at other universities and concluded, "particularly after the Virginia Tech shootings focused national attention on the issue, colleges have been alert to the possibility that students, particularly those with mental health issues, may lash out violently against those around them." (Id. at p. 630.)

Taken at a similar level of generality, the question presented here is whether a reasonable rideshare company could foresee that its failure to perform criminal background checks on all passengers could result in a passenger harming a driver. Al Shikha's complaint sufficiently alleges that passengers have committed crimes against Lyft drivers prior to this incident, thus that such attacks may happen is reasonably foreseeable. Yet, it is far less clear that such attacks are a foreseeable consequence of Lyft failing to conduct criminal background checks on all potential passengers. There is no allegation, for example, that it is passengers with "serious" criminal histories, or prior convictions enumerated in Public Utilities Code section 5445.2 or Business and Professions Code section 7458, who have committed crimes against drivers in the past. Indeed, while we consider foreseeability at a general level rather than based on the facts of this particular case, it is not clear from the complaint's allegations that Alvarez had a "serious criminal history," or prior convictions that would disqualify a person from driving for a TNC.

This case thus stands in contrast to those in which courts have found "`"the category of negligent conduct at issue is sufficiently likely to result in the kind of harm experienced that liability may appropriately be imposed...."' [Citations.]" (Regents, supra, 4 Cal.5th at p. 629.) In Regents, for example, the court considered situations in which a university is on notice about a particular student's potential to be violent, or a student's mental illness that may predispose the student to commit a violent act. Here, Al Shikha does not allege the obligation to conduct criminal background checks arises out of any knowledge or awareness about particular passengers, that passengers with certain criminal histories are predisposed or more likely to commit violent acts against drivers, or that Lyft is on notice of anything other than that passengers have committed crimes against drivers. This falls far short of the foreseeability present in Regents.

Similarly, in Brown v. USA Taekwondo (2019) 40 Cal.App.5th 1077 [253 Cal.Rptr.3d 708], affirmed in part by Brown, supra, 11 Cal.5th 204, the court found sexual abuse was a foreseeable harm arising out of the failure of a national governing body for an Olympic sport to implement or enforce any 38*38 policies to protect athletes from such abuse. The plaintiffs' complaint alleged that in the years prior to the incidents underlying the complaint, sexual abuse of young athletes by coaches was so rampant that the organization had purchased insurance to cover coach sexual abuse. A national team coach was caught having sex with a young female athlete. And, on two prior occasions, athletes were raped at an Olympic training center. (Brown v. USA Taekwondo, at p. 1097.)

Here, there are no similar allegations that relate to the category of negligent conduct at issue—the failure to obtain criminal histories of potential riders and to exclude riders with criminal backgrounds from using Lyft. As one court reasoned in the context of an unprovoked school shooting by a teacher's spouse, "`It is undeniable that shootings and other forms of violence can and do happen in the workplace [and on school grounds]. But for foreseeability in the context of a duty to protect, "[m]ore than a mere possibility of occurrence is required since, with hindsight, everything is foreseeable."' [Citation.] This case presented nothing more than a `"mere possibility of occurrence."' [Citation.]" (C.I. v. San Bernardino City Unified School Dist. (2022) 82 Cal.App.5th 974, 985 [298 Cal.Rptr.3d 651] (C.I.).)

The second foreseeability factor, "the degree of certainty that the plaintiff suffered injury" (Rowland, supra, 69 Cal.2d at p. 113), is not at issue here. It is undisputed Al Shikha suffered harm from Alvarez's attack. (Regents, supra, 4 Cal.5th at p. 630; Kuciemba, supra, 14 Cal.5th at p. 1023 [this factor does not apply to personal injury claims that are tangible].)

The third foreseeability factor is "`the closeness of the connection between the defendant's conduct and the injury suffered.' [Citation.]" (Regents, supra, 4 Cal.5th at p. 630, citing Rowland, supra, 69 Cal.2d at p. 113.) The factor concerns whether there is a "causal nexus" between the defendant's conduct and the injury suffered. (C.I., supra, 82 Cal.App.5th at p. 986.) This prong is "`strongly related to the question of foreseeability itself'"; however, unlike the foreseeability consideration it "`accounts for [the] third party'" conduct. (Kuciemba, supra, 14 Cal.5th at p. 1023.) If "`the third party's intervening conduct is foreseeable or derivative of the defendant's, then that conduct does not "`diminish the closeness of the connection between the defendant['s] conduct and plaintiff's injury.'"' [Citations.]" (Id. at pp. 1023-1024; Regents, at p. 631 [when the immediate cause of injury is a third party's conduct, "`the touchstone of the analysis is the foreseeability of that intervening conduct'"].) In Regents, the court found a causal connection between a university's failure to warn or protect foreseeable victims once the school is on notice that a student is at risk to commit violence, and the injuries a victim suffers as a result of that violence. (Regents, at p. 631.)

39*39 In contrast, here there is minimal causal nexus between Lyft's failure to obtain background checks on all potential passengers and a passenger perpetrating violence against a driver. As the court explained in Castaneda, the utility of criminal background checks in identifying those likely to commit violence is limited and questionable. (Castaneda, supra, 41 Cal.4th at p. 1217.) Criminal background check reports on every prospective rider would not necessarily provide information from which either Lyft or individual drivers could reliably decide whether a potential passenger poses a threat of violence to the driver.

Doe v. United States Youth Soccer Assn., Inc. (2017) 8 Cal.App.5th 1118 [214 Cal.Rptr.3d 552] (Doe), thus provides a helpful contrast.[9] In Doe, the plaintiff alleged the defendant youth soccer associations and soccer league were negligent in failing to conduct criminal background checks on youth soccer coaches. A youth coach sexually abused the plaintiff, a 12-year-old soccer player, and the categorical harm alleged was coaches' sexual abuse of youth soccer players. (Id. at pp. 1123, 1136.) The Court of Appeal reasoned that a criminal background check would have revealed the offending coach's prior conviction for domestic violence, so he likely would not have been hired. The background check would therefore have prevented the abuse of the plaintiff. (Id. at pp. 1136-1137.) The connection between the plaintiff's harm and the defendants' failure to conduct a criminal background check was close.

The sexual abuse of youth soccer players was also a foreseeable harm resulting from the defendants' failure to screen the criminal backgrounds of coaches in light of the defendants' awareness of the steady annual rate of incidents of physical and sexual abuse of youth soccer players; the defendants' awareness that "sexual predators were drawn to their organization in order to exploit children"; and because the founder of the defendant league was charged with multiple felony child molestation offenses the year before the offending coach applied for a position with the league. (Doe, supra, 8 Cal.App.5th at p. 1135; see id. at pp. 1126, 1132-1133.)

Here, the complaint does not allege that individuals likely to commit unprovoked violent assaults are drawn in particular to rideshare services, or that prior violent incidents involved individuals with any particular type of 40*40 criminal record, or a criminal record at all. Even considering the facts of this case, Al Shikha has not alleged that Alvarez had a criminal history that involved assaultive or violent conduct. Unlike the sexual abuse of the Doe plaintiff, the injury suffered here is "`connected only distantly and indirectly'" to Lyft's alleged negligent acts. (Regents, supra, 4 Cal.5th at p. 630.) The Rowland foreseeability factors do not weigh in favor of recognizing a duty to conduct criminal background checks on all riders.

Whether considering the question of duty under the sliding-scale balancing framework described in Verdugo and other prior cases, or as explained in Regents, the answer here is the same. Al Shikha's complaint failed to allege facts demonstrating the type of harm he suffered was highly foreseeable, or that the failure to conduct criminal background checks on all passengers is sufficiently likely to result in a violent, unprovoked attack on a driver, such that liability may be imposed. "Given that `[f]oreseeability and the extent of the burden to the defendant are ordinarily' considered the `crucial' considerations in evaluating legal duty (Castaneda, supra, 41 Cal.4th at p. 1213), it is unnecessary here to separately review the remaining Rowland factors. [Citation.]" (Williams, supra, 37 Cal.App.5th at p. 673; Kuciemba, supra, 14 Cal.5th at p. 1025 [the policy factors serve to assess whether, despite the foreseeability factors weighing in favor of recognizing a duty of care, public policy requires a different result]; Hanouchian, supra, 51 Cal.App.5th at pp. 113-114.)

 

DISPOSITION

 

The judgment is affirmed. Lyft is awarded its costs on appeal.

Edmon, P. J., and Egerton, J., concurred.

[1] Consistent with the standard of review, we assume the truth of the properly pleaded allegations stated in Al Shikha's complaint. (National Shooting Sports Foundation, Inc. v. State of California (2018) 5 Cal.5th 428, 432-433 [235 Cal.Rptr.3d 54, 420 P.3d 870] (National Shooting Sports).)

[2] Al Shikha voluntarily dismissed the third cause of action. The complaint also includes a fourth cause of action for battery against Alvarez, who is not a party to this appeal.

[3] Al Shikha argues the special relationship is based on employment. Lyft does not concede Al Shikha was or is an employee, but acknowledges a special relationship may arise from an independent contractor or other type of relationship. Because of Lyft's concession, we need not address whether Al Shikha was Lyft's employee at the time of the incident.

[4] Further, to the extent Al Shikha suggests Lyft should exclude or warn of passengers with any type of criminal history, the measure would be extremely overinclusive. This would create a different heavy burden in that a significant number of passengers would be subject to exclusion from using the rideshare service, no matter how unrelated their criminal histories are to a predisposition to commit violent attacks on a driver. Even if the obligation were limited to excluding or warning about passengers with prior convictions that would prohibit them from driving on a rideshare platform, the list of disqualifying convictions includes numerous offenses that would appear to have no predictive value in determining whether a passenger is likely to perpetrate violence on a driver. (See, e.g., Pub. Util. Code, § 5445.2, subd. (a)(3)(C), (D) [driving under the influence; giving or offering a bribe to an executive officer (Pen. Code, § 67); false personation (Pen. Code, § 530)].)

[5] We do not suggest that using a rideshare service is equal in importance to obtaining employment or housing. However, the public policies underlying recent laws and ordinances aimed at restricting the use of criminal background checks are relevant as they appear to reflect a growing concern about the undesirable effects of excluding individuals from participating in aspects of society based on criminal history alone.

[6] Although ICRAA does not use the term "criminal background check," the parties and the trial court appeared to assume the background checks Al Shikha proposed would constitute "investigative consumer reports." We have no reason to question this assumption. (See Kemp v. Superior Court (2022) 86 Cal.App.5th 981, 992 [302 Cal.Rptr.3d 788] [a conviction touches on a person's character and credit worthiness and therefore is subject to regulation under ICRAA]; Pub. Util. Code, § 5445.2, subd. (c)(1) [regarding criminal background checks for drivers; an "investigative consumer report" may be furnished for a driver].)

[7] The court elaborated on these "negative effects": "Not only would such a warning have caused perhaps unnecessary anxiety for those warned but, more importantly, knowledge of Larroque's past by his co-workers might have prejudiced any chance he had to lead a normal life. Even if such a warning did not cause his fellow employees to ostracize Larroque, he would have been `different' and treated accordingly. There is a serious danger that a warning will become a self-fulfilling prophecy, stigmatizing the parolee and causing him to be reminded he is not normal. [Citation.] We thus do not say that the decision to employ a parolee does not involve any risk but only that the benefits to be gained by warning of that risk do not outweigh the burdens thereby engendered." (Duffy, supra, 179 Cal.App.3d at p. 674.) Those burdens are also relevant here. (See Tchakounte, supra, 2022 WL 326727, at p. *9 [duty to screen all rideshare passengers would carry significant implications for formerly incarcerated people's participation in society].)

[8] We note that the sliding-scale balancing test essentially considers both (1) the Rowland foreseeability factors and (2) the policy factors of preventing future harm and 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.

[9] Although the Doe court applied the sliding-scale balancing test and found the complaint did not establish heightened foreseeability, the court nonetheless concluded the sexual abuse of youth soccer players by coaches was reasonably foreseeable. The court therefore considered the other Rowland factors. The court also determined that conducting criminal background checks on youth soccer coaches would not be overly burdensome. Other youth soccer organizations were already conducting such criminal background checks and, pursuant to Penal Code section 11105.3, the defendant organizations could obtain criminal background checks in California for free. (Doe, supra, 8 Cal.App.5th at p. 1136.)

4.2.1.4 Control of Others and Third Parties 4.2.1.4 Control of Others and Third Parties

4.2.1.4.1 Cuppy v. Bunch ("The Boozy Fishing Trip Case") 4.2.1.4.1 Cuppy v. Bunch ("The Boozy Fishing Trip Case")

CUPPY, et al., Respondents v. BUNCH, Respondent and WHITE, Appellant

(214 N.W.2d 786)

(File No. 11192.

Opinion filed February 15, 1974)

*23Bangs, McCullen, Butler, Foye & Simmons, Rapid City, for plaintiffs and respondents.

Whiting, Lynn, Jackson, Shultz, Ireland & Lebrun, Rapid City, for defendant and respondent.

Costello, Porter, Hill, Banks & Nelson, Rapid City, Francis J. Parker, Deadwood, for defendant and appellant.

DOYLE, Justice.

This is an appeal from judgments entered in favor of the plaintiffs on the consolidated trial of six damage claims arising out of a two-car collision.

On July 4, 1970, the defendants, Bunch and White, who were friends and next-door neighbors, met in a bar in Lead, South Dakota. While there they decided to meet later in Belle Fourche to go fishing at a stock pond nearby. Bunch left and drove to Belle Fourche. White followed shortly thereafter. The two met again at a Belle Fourche cafe at approximately 1:00 p.m. Bunch then drove them to the fishing pond. Bunch fished for only a short while. He was “hung over” from his previous night’s activities and the heat of the day complicated his *24condition. On the trip out and throughout the afternoon, the two imbibed from a gallon thermos jug containing ice, lemonade and a fifth of vodka prepared by White. They left the pond late in the afternoon and upon Bunch’s request, White drove back to Belle Fourche while Bunch slept. Arriving at Belle Fourche, White unloaded his gear from Bunch’s vehicle into his own. He awakened Bunch with some difficulty. When questioned by White in regard to his condition, Bunch replied to the effect that although he did not feel all right, he did not wish to leave his vehicle in Belle Fourche. White then stated to Bunch, “follow me” or “just stay behind me”. White and Bunch then left Belle Fourche, each in his own vehicle, with White in front. At St. Onge, White stopped to check on his friend who, according to White, seemed all right and they continued on. Prior to the collision, the two vehicles came up behind another vehicle. The driver of this vehicle and his wife both testified that the Bunch vehicle would occasionally swerve from the shoulder of the road back out into the opposite lane of travel. This observation caused so much concern that the driver turned off the highway and permitted both vehicles to proceed ahead of him. The collision occurred shortly thereafter. The record indicates that Bunch drove his vehicle across the center line into the path of the plaintiff’s vehicle. The collision occurred in such a manner that the plaintiffs had no opportunity to take any action to avoid it.

In suits brought against both Bunch and White, Bunch virtually conceded liability and the jury returned a judgment against him from which he does not appeal. In the suits against White, the jury also returned a judgment in favor of the plaintiffs and White appeals.

The plaintiffs for their cause of action against White alleged that he:

“* * * did negligently and carelessly operate a motor vehicle for the purpose of leading or guiding a motor vehicle operated by defendant Brian D. Bunch on said public highway, when defendant Marlin G. White knew, or reasonably should have known, that defendant Brian D. Bunch was under the influence of intoxicating liquor and unable to operate the motor vehicle in a reasonably careful and prudent manner.”

*25In order for there to be actionable negligence there must be a duty on the part of the defendant to protect the plaintiff from injury, a failure to perform that duty, and an injury to the plaintiff resulting from such failure. Ecklund v. Barrick, 1966, 82 S.D. 280, 144 N.W.2d 605; Stoner v. Eggers, 1958, 77 S.D. 395, 92 N.W.2d 528; Daniels v. Moser, 1955, 76 S.D. 47, 71 N.W.2d 739.

It is the appellant’s contention that he owed no duty to the respondents. According to Restatement, Second, Torts § 315:

“There is no duty so to control the conduct of a third person as to prevent him from causing physical harm to another unless
(a) a special relation exists 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 exists between the actor and the other which gives to the other a right to protection.”

The special relations referred to in clause (a) are found in §§ 316-319, none of which is applicable herein. Sections 314a and 320 state the relations relevant to clause (b) which we also find equally inapplicable.

The language in Comment b. of § 315 is appropriate:

“In the absence of either one of the kinds of special relations described in this Section, the. actor is not subject to liability if he fails, either intentionally or through inadvertence, to exercise his ability so to control the actions of third persons as to protect another from even the most serious harm. This is true although the actor realizes that he has the ability to control the conduct of a third person, and could do so with only the most trivial of efforts and without any inconvenience to himself. Thus if the actor is riding in a third person’s car merely as a guest, he is not subject to liability to another run over by the car even though he knows of the other’s *26danger and knows that the driver is not aware of it, and knows that by a mere word, recalling the driver’s attention to the road, he would give the driver an opportunity to stop the car before the other is run over.”

The facts do not, in our opinion, indicate that White did exercise or ever was capable of exercising any control over Bunch at any time relevant to this case. Nor do the facts show that White undertook to assist Bunch which, therefore, makes § 324A of Restatement, Second, Torts, inapplicable.

The respondents’ argument that Steckman v. Silver Moon, Inc., 1958, 77 S.D. 206, 90 N.W.2d 170, is apropos is untenable. In Steckman v. Silver Moon, supra, this court held that the law imposes upon one who undertakes to render assistance the duty of reasonable care toward the one assisted. This rule does not contemplate any duty toward third persons nor do we choose to extend it to do so.

The respondents also argue that what is commonly referred to as the “signal-to-pass” cases, e. g., Thelen v. Spilman, 1957, 251 Minn. 89, 86 N.W.2d 700, are supportive of the judgment in their favor. We find those cases factually inapposite to the one before us.

As a general rule the existence of a duty, i. e., whether a relation exists between the parties such that the law will impose upon the defendant a legal obligation or reasonable conduct for the benefit of the plaintiff, is to be determined by the court. Proesser on Torts, § 36, 3rd Ed., pp. 206, 207; 57 Am.Jur.2d, Negligence, § 34.

In our view, the evidence taken in the light most favorable to the respondents is not supportive of their alleged action against White in that it fails to disclose the existence of any duty owed to the respondents on behalf of White. Therefore, the trial court erred in not directing a verdict for White.

Reversed.

WOLLMAN and DUNN, JJ., concur.

BIEGELMEIER, C. J., concurs in result.

WINANS, J., dissents.

4.2.1.4.2 Weirum v. RKO General, Inc. ("The Radio Contest Case") 4.2.1.4.2 Weirum v. RKO General, Inc. ("The Radio Contest Case")

[L.A. No. 30452.

In Bank.

Aug. 21, 1975.]

RONALD A. WEIRUM et al., Plaintiffs and Appellants, v. RKO GENERAL, INC., Defendant and Appellant; MARSHA L. BAIME, Defendant and Respondent.

*43 Counsel

Hollister, Brace & Angle, Hollister & Brace, Robert O. Angle and Richard C. Monk for Plaintiffs and Appellants.

Stearns & Nelson, Stearns, Nelson & LeBerthon, Robert S. Stearns, Lascher & Radar, Edward L. Lascher and Wendy Cole Wilner for Defendant and Appellant.

Benton, Orr, Duval & Buckingham and James F. McGahan for Defendant and Respondent.

Opinion

MOSK, J.

A rock radio station with an extensive teenage audience conducted a contest which rewarded the first contestant to locate a peripatetic disc jockey. Two minors driving in separate automobiles attempted to follow the disc jockey’s automobile to its next stop. In the course of their pursuit, one of the minors negligently forced a car off the highway, killing its sole occupant. In a suit filed by the surviving wife and children of the decedent, the jury rendered a verdict against the radio station. We now must determine whether the station owed decedent a duty of due care.

The facts are not disputed. Radio station KHJ is a successful Los Angeles broadcaster with a large teenage following. At the time of the accident, KHJ commanded a 48 percent plurality of the teenage audience in the Los Angeles area. In contrast, its nearest rival during the same period was able to capture only 13 percent of the teenage listeners. In order to attract an even larger portion of the available audience and thus increase advertising revenue, KHJ inaugurated in July of 1970 a *44 promotion entitled “The Super Summer Spectacular.” The “spectacular,” with a budget of approximately $40,000 for the month, was specifically designed to make the radio station “more exciting.” Among the programs included in the “spectacular” was a contest broadcast on July 16, 1970, the date of the accident.

On that day, Donald Steele Revert, known professionally as “The Real Don Steele,” a KHJ disc jockey and television personality, traveled in a conspicuous red automobile to a number of locations in the Los Angeles metropolitan area. Periodically, he apprised KHJ of his whereabouts and his intended destination, and the station broadcast the information to its listeners. The first person to physically locate Steele and fulfill a specified condition received a cash prize. 1 In addition, the winning contestant participated in a brief interview on the air with “The Real Don Steele.” The following excerpts from the July 16 broadcast illustrate the tenor of the contest announcements:

“9:30 and The Real Don Steele is back on his feet again with some money and he is headed for the Valley. Thought I would give you a warning so that you can get your kids out of the street.”
“The Real Don Steele is out driving on—could be in your neighborhood at any time and he’s got bread to spread, so be on the lookout for him.”
“The Real Don Steele is moving into Canoga Park—so be on the lookout for him. I’ll tell you what will happen if you get to The Real Don Steele. He’s got twenty-five dollars to give away if you can get it. . . and baby, all signed and sealed and delivered and wrapped up.”
“10:54—The Real Don Steele is in the Valley near the intersection of Topanga and Roscoe Boulevard, right by the Loew’s Holiday Theater— you know where that is at, and he’s standing there with a little money he would like to give away to the first person to arrive and tell him what type car I helped Robert W. Morgan give away yesterday morning at KHJ. What was the make of the car. If you know that, split. Intersection of Topanga and Roscoe Boulevard—right nearby the Loew’s Holiday Theater—you will find The Real Don Steele. Tell him and pick up the bread.”

*45 In Van Nuys, 17-year-old Robert Sentner was listening to KHJ in his car while searching for “The Real Don Steele.” Upon hearing that “The Real Don Steele” was proceeding to Canoga Park, he immediately drove to that vicinity. Meanwhile, in Northridge, 19-year-old Marsha Baime heard and responded to the same information. Both of them arrived at the Holiday Theater in Canoga Park to find that someone had already claimed the prize. Without knowledge of the other, each decided to follow the Steele vehicle to its next stop and thus be the first to arrive when the next contest question or condition was announced.

For the next few miles the Sentner and Baime cars jockeyed for position closest td the Steele vehicle, reaching speeds up to 80 miles an hour. 2 About a mile and a half from the Westlake offramp the two teenagers heard the following broadcast: “11:13—The Real Don Steele with bread is heading for Thousand Oaks to give it away. Keep listening to KHJ .... The Real Don Steele out on the highway—with bread to give away—be on the lookout, he may stop in Thousand Oaks and may stop along the way .... Looks like it may be a good stop Steele—drop some bread to those folks.”

The Steele vehicle left the freeway at the Westlake offramp. Either Baime or Sentner, in attempting to follow, forced decedent’s car onto the center divider, where it overturned. Baime stopped to report the accident. Sentner, after pausing momentarily to relate the tragedy to a passing peace officer, continued to pursue Steele, successfully located him and collected a cash prize.

Decedent’s wife and children brought an action for wrongful death against Sentner, Baime, RKO General, Inc. as owner of KHJ, and the maker of decedent’s car. Sentner settled prior to the commencement of trial for the limits of his insurance policy. The jury returned a verdict against Baime and KHJ in the amount of $300,000 and found in favor of the manufacturer of decedent’s car. KHJ appeals from the ensuing judgment and from an order denying its motion for judgment notwithstanding the verdict. Baime did not appeal. 3

The primary question for our determination is whether defendant owed a duty to decedent arising out of its broadcast of the giveaway *46 contest. The determination of duty is primarily a question of law. (Amaya v. Home Ice, Fuel & Supply Co. (1963) 59 Cal.2d 295, 307 [29 Cal.Rptr. 33, 379 P.2d 513] (overruled on other grounds in Dillon v. Legg (1968) 68 Cal.2d 728, 748 [69 Cal.Rptr. 72, 441 P.2d 912, 29 A.L.R.3d 1316]).) It is the court’s “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 (4th ed. 1971) pp. 325-326.) Any number of considerations may justify the imposition of duty in particular circumstances, including the guidance of history, .our continually refined concepts of morals and justice, the convenience of the rule, and social judgment as to where the lo.ss should fall. (Prosser, Palsgraf Revisited (1953) 52 Mich.L.Rev. 1, 15.) While the question whether, one owes a duty to another must be decided on a case-by-case basis, 4 every case is governed by the rule of general application that all persons are required to use ordinary care to prevent others from being injured as the result of their conduct. (Hilyar v. Union Ice Co. (1955) 45 Cal.2d 30, 36 [286 P.2d 21].) However, foreseeability of the risk is a primary consideration in establishing the element of duty. (Dillon v. Legg, supra, 68 Cal.2d 728, 739.) Defendant asserts that the record here does not support a conclusion that a risk of harm to decedent was foreseeable.

While duty is a question of law, foreseeability is a question of fact for the jury. (Wright v. Arcade School Dist. (1964) 230 Cal.App.2d 272, 277 [40 Cal.Rptr. 812].) The verdict in plaintiffs’ favor here necessarily embraced a finding that decedent was exposed to a foreseeable risk of harm. It is' elementary that our review of this finding is limited to the determination whether there is any substantial evidence, contradicted or uncontradicted, which will support the conclusion reached by the jury.

We conclude that the record amply supports the finding of foreseeability. These tragic events unfolded in the middle of a Los Angeles summer, a time when young people were free from the constraints of school and responsive to relief from vacation tedium. *47 Seeking to attract new listeners, KHJ devised an “exciting” promotion. Money and a small measure of momentary notoriety awaited the swiftest response. It was foreseeable that defendant’s youthful listeners, finding the prize had eluded them at one location, would race to arrive first at the next site and in their haste would disregard the demands of highway safety.

Indeed, “The Real Don Steele” testified that he had in the past noticed vehicles following him from location to location. He was further aware that the same contestants sometimes appeared at consecutive stops. This knowledge is not rendered irrelevant, as defendant suggests, by the absence of any prior injury. Such an argument confuses foreseeability with hindsight, and amounts to a contention that the injuries of the first victim are not compensable. “The mére fact that a particular kind of an accident has not happened before does not... show that such accident is one which might not reasonably have been anticipated.” (Ridley v. Grifall Trucking Co. (1955) 136 Cal.App.2d 682, 686 [289 P.2d 31].) Thus, the fortuitous absence of prior injuiy does not justify relieving defendant from responsibility for the foreseeable consequences of its acts.

It is of no consequence that the harm to decedent was inflicted by third parties acting negligently. Defendant invokes the maxim that an actor is entitled, to assume that others will not act negligently. (Porter v. California Jockey Club, Inc. (1955) 134 Cal.App.2d 158, 160 [285 P.2d 60].) This concept is valid, however, only to the extent the intervening conduct was not to be anticipated. (Premo v. Grigg (1965) 237 Cal.App.2d 192, 195 [46 Cal.Rptr. 683].) If the likelihood that a third person may react in a particular manner is a hazard which makes the actor negligent, such reaction whether innocent or negligent does not prevent the actor from being liable for the harm caused thereby. (Richardson v. Ham (1955) 44 Cal.2d 772, 777 [285 P.2d 269].) Here, reckless conduct by youthful contestants, stimulated by defendant’s broadcast, constituted the hazard to which decedent was exposed.

It is true, of course, that virtually every act involves some conceivable danger. Liability is imposed only if the risk of harm resulting from the act is deemed unreasonable—i.e., if the gravity and likelihood of the danger outweigh the utility of the conduct involved. (See Prosser, Law of Torts (4th ed. 1971) pp. 146-149.)

*48 We need, not belabor the grave danger inherent in the contest broadcast by defendant. The risk of a high speed automobile chase is the risk of death or serious injury. Obviously, neither the entertainment afforded by the contest nor its commercial rewards can justify the creation of such a grave risk. Defendant could have accomplished its objectives of entertaining its listeners and increasing advertising revenues by adopting a contest format which would have avoided danger to the motoring public.

Defendant’s contention that the giveaway contest must be afforded the deference due society’s interest in the First Amendment is clearly without merit. The issue here is civil accountability for the foreseeable results of a broadcast which created an undue risk of harm to decedent. The First Amendment does not sanction the infliction of physical injury merely because achieved by word, rather than act.

We are not persuaded that the imposition of a duty here will lead to unwarranted extensions of liability. Defendant is fearful that entrepreneurs will henceforth be burdened with an avalanche of obligations: an athletic department will owe a duty to an ardent sports fan injured while hastening to purchase one of a limited number of tickets; a department store will be liable for injuries incurred in response to a “while-they-last” sale. This argument, however, suffers from a myopic view of the facts presented here. The giveaway contest was no commonplace invitation to an attraction available on a limited basis. It was a competitive scramble in which the thrill of the chase to be the one and only victor was intensified by the live broadcasts which accompanied the pursuit. In the assertedly analogous situations described by defendant, any haste involved in the purchase of the commodity is an incidental and unavoidable result of the scarcity of the commodity itself. In such situations there is no attempt, as here, to generate a competitive pursuit on public streets, accelerated by repeated importuning by radio to be the very first to arrive at a particular destination. Manifestly the “spectacular” bears little resemblance to daily commercial activities.

Defendant, relying upon the rule stated in section 315 of the Restatement Second of Torts, urges that it owed no duty of care to decedent. The section provides that, absent a special relationship, an actor is under no duty to control the conduct of third parties. As explained hereinafter, this rule has no application if the plaintiff’s complaint, as here, is grounded upon an affirmative act of defendant which created an undue risk of harm. *49 The rule stated in section 315 is merely a refinement of the general principle embodied in section 314 5 that one is not obligated to act as a “good Samaritan.” (Rest.2d Torts, § 314, com. (a); James, Scope of Duty in Negligence Cases (1953) 47 Nw.U.L.Rev. 778, 803.) This doctrine is rooted in the common law distinction between action and inaction, or misfeasance and nonfeasance. Misfeasance exists when the defendant is responsible for making the plaintiff’s position worse, i.e., defendant has created a risk. Conversely, nonfeasance is found when the defendant has failed to aid plaintiff through beneficial intervention. As section 315 illustrates, liability for nonfeasance is largely limited to those circumstances in which some special relationship can be established. If, on the other hand, the act complained of is one of misfeasance, the question of duty is governed by the standards of ordinary care discussed above.

Here, there can be little doubt that we review an act of misfeasance to which section 315 is inapplicable. Liability is not predicated upon defendant’s failure to intervene for the benefit of decedent but rather upon its creation of an unreasonable risk of harm to him. (See Shafer v. Keeley Ice Cream Co. (1925) 65 Utah 46 [234 P. 300, 38 A.L.R. 1523].) 6 Defendant’s reliance upon cases which involve the failure to prevent harm to another is therefore misplaced, e.g., Wright v. Arcade School Dist., supra, 230 Cal.App.2d 272 (school district held free of a duty of care to children injured on their way to and from school).

Finally, we address the propriety of an allegedly erroneous and prejudicial instruction. The challenged instruction, though approved by the trial judge after submission by plaintiffs, was inadvertently omitted from the charge to the jury. Although plaintiffs immediately called the oversight to the judge’s attention, the absence of a court reporter *50 prevented verification of the omission until the morning of the jury’s third day of deliberations. Thereupon, the judge recalled the jury, explained his inadvertent error, and read the instruction, which stated: “One who undertakes to direct the action of another has a duty to do so with due care.”

Defendant contends that the instruction was argumentative in that it focused exclusively on KHJ and no other defendant. We need not examine the merit of this assertion for defendant itself requested and received .an instruction to substantially the same effect. That instruction began, “Every person who engages in a business activity which directs or influences the conduct of others and who, while so engaged exercises ordinary care . . . ,” 7 It is well settled that a party cannot attack the substance of an instruction if he himself proposed similar instructions. (Smith v. Americania Motor Lodge (1974) 39 Cal.App.3d 1, 7 [113 Cal.Rptr. 771].) For the same reason, we reject defendant’s contentions that there was no support in the record for the challenged instruction and that it was ambiguous.

Additionally, defendant claims .that independent prejudice arose from the tardy and isolated manndr in which the instruction was given. The jury, it is asserted, attached undue importance to the instruction because it was given by itself on the third day of deliberations. We do not agree.

The trial court possesses the inherent right on its own motion to recall the jurors for further instructions. (People v. Wester (1965) 237 Cal.App.2d 232, 238 [46 Cal.Rptr. 699]; People v. Hewitt (1936) 11 Cal.App.2d 197, 199 [53 P.2d 365].) In Davis v. Erickson (1960) 53 Cal.2d 860 [3 Cal.Rptr. 567, 350 P.2d 535], we stated if a court recalls the jury for the purpose of reading unintentionally omitted instructions the danger that the instruction will be overemphasized may be avoided if the court admonishes the jury not to attach any particular emphasis to the fact that it is reading certain instructions which had been inadvertently omitted in its first reading or by rereading all the instructions, Here the prefatory remarks of the trial judge minimized any *51 tendency of the jury to be unduly impressed by the circumstances under which the instruction was given.

Moreover, defendant failed to request either additional cautionary instructions or a rereading of all related instructions. Under similar circumstances, it was held in Stoddard v. Rheem (1961) 192 Cal.App.2d 49 [13 Cal.Rptr. 496] that the defendant should not be permitted to stand silently by, giving the appearance of acquiescence in the manner in which an instruction was given and be later heard to complain, too late for curative measures to be taken.

The judgment and the orders appealed from are affirmed. Plaintiffs shall recover their costs on appeal. The parties shall bear their own costs on the cross-appeal.

Wright, C. J., McComb, J., Tobriner, J., Sullivan, J., Clark, J., and Richardson, J., concurred.

1

The conditions varied from the giving of a correct response to a question to the possession of particular items of clothing.

2

It is not contended that the Steele vehicle at any time exceeded the speed limit.

3

Plaintiffs filed a cross-appeal from an order entered after judgment denying them certain costs against Baime and KHJ. They do not assert before this court that the order was erroneous, and we shall therefore affirm the order on the cross-appeal.

4

Defendant urges that we apply the. factors enumerated in Connor v. Great Western Sav. & Loan Assn. (1968) 69 Cal.2d 850, 865 [73 Cal.Rptr. 369, 447 P.2d 609, 39 A.L.R.3d 224], in determining whether it owed a duty to decedent. In that case, however, the primary issue was whether a duty was to be imposed upon the defendant notwithstanding the absence of privity, and we therefore examined considerations appropriate to that contractual framework. For example, the first of the enumerated elements was the extent to which the transaction was intended to affect the plaintiff. Such a consideration manifestly fails to illuminate our inquiry in the present case. Generally speaking, standards relevant to the determination of duty in one particular situation may not be applied mechanically to other cases.

5

Section 314, states: “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.”

6

In Shafer defendant entered a float in a commercial parade and as the float traveled down the street, employees threw candy to the crowd. Children running to collect the candy injured a spectator. The court distinguished cases in which the conduct of the person who immediately caused the accident was not set in motion by.any act of the defendant on the ground that the defendant, in throwing the candy, induced the response of the children which resulted in the plaintiff’s injuries.

Contrary to defendant’s assertion, Shafer is not distinguishable because there the defendant had actual knowledge children were following the float and scrambling for candy. Such knowledge only obviated the need for a determination that the acts of the children were foreseeable. In the present case, as we have seen, the jury’s determination that the accident was foreseeable'is supported by the evidence.

7

The entire instruction read: “Every person who engages in a business activity which directs or influences the conduct of others and who, while so engaged, exercises ordinary care (in the manner in which said activity is conducted) has a right to assume that every other person will perform his duty and obey the law, and in the absence of reasonable cause for thinking otherwise or actual notice to the contrary, it is not negligence for such person to fail to anticipate an accident which can be occasioned only by a violation of law or duty by another person (or persons).” ■

4.2.1.4.3 Buchanan v. Rose ("The Trucking Case") 4.2.1.4.3 Buchanan v. Rose ("The Trucking 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.

Mr. Chief Justice Alexander

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, *391 passed! 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 *392 ation 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 *393 a 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.

4.2.1.4.4 Jane Doe v. Cochran ("The STD Case") 4.2.1.4.4 Jane Doe v. Cochran ("The STD Case")

This is a long opinion from the Connecticut Supreme that has been heavily edited. It's a good review of the duty concepts we've learned. Can you follow along?

Jane DOE
v.
Charles COCHRAN

SC 19879

Supreme Court of Connecticut.

Argued November 16, 2017
Officially released July 16, 2019

Thomas B. Noonan, Darien, for the appellant (plaintiff).

James S. Newfield, Stamford, with whom, on the brief, was Diana M. Carlino, for the appellee (defendant).

Gregory J. Pepe, New Haven, filed a brief for the American Medical Association et al. as amici curiae.

Jennifer L. Cox and Jennifer A. Osowiecki, Hartford, filed a brief for the Connecticut Hospital Association as amicus curiae.

Emily B. Rock, Cynthia C. Bott, Bridgeport and Julie V. Pinette, Stamford, filed a brief for the Connecticut Trial Lawyers Association as amicus curiae.

Palmer, McDonald, Robinson, D'Auria, Mullins, Kahn and Vertefeuille, Js. *

This appeal originally was argued before a panel of this court consisting of Justices Palmer, McDonald, Robinson, D'Auria, Mullins, and Kahn. Thereafter, Justice Vertefeuille was added to the panel. Justice Vertefeuille read the briefs and appendices, and listened to a recording of the oral argument prior to participating in this decision. The listing of justices reflects their seniority status on this court as of the date of oral argument.

PALMER, J.

The principal issue in this appeal is whether a physician who mistakenly informs a patient that he does not have a sexually transmitted disease (STD) may be held liable in ordinary negligence to the patient's exclusive sexual partner for her resulting injuries when the physician knows that the patient sought testing and treatment for the express benefit of that partner. Under the circumstances alleged, we conclude that the defendant, Charles Cochran, a physician, owed a duty of care to the plaintiff, identified by the pseudonym Jane Doe, even though she was not his patient. Accordingly, we conclude that the trial court improperly granted the defendant's motion to strike the plaintiff's one count complaint and reverse the judgment of the trial court.

The following facts, as set forth in the plaintiff's complaint and construed in the manner most favorable to sustaining its legal sufficiency; see, e.g., Lestorti v. DeLeo , 298 Conn. 466 , 472, 4 A.3d 269 (2010) ; and procedural history are relevant to our disposition of this appeal. In early 2013, the plaintiff began dating her boyfriend, identified in this action by the pseudonym John Smith. At all relevant times, the plaintiff and Smith were involved in an exclusive romantic relationship. At some point, the couple agreed that, before their relationship became sexual, they would individually seek testing for STDs. As of July, 2013, the plaintiff had tested negative for and did not have any STDs.

At that time, pursuant to his agreement with the plaintiff, Smith visited his physician, the defendant, who is a licensed medical doctor practicing in Norwalk. During Smith's visit, the defendant asked Smith why he wanted to be tested again for STDs, as the defendant had tested him just five months earlier. Smith explained that he wanted to be tested again for the protection and benefit of his new, exclusive girlfriend, the plaintiff. The defendant then took a sample of Smith's blood, arranged for it to be tested for STDs, and subsequently reviewed the laboratory (lab) test results.

The lab report that the defendant reviewed included a guide for reading the test's results. The guide indicated that an HSV 2 IgG (herpes simplex virus type 2 specific antibody) result of less than 0.9 is negative for the herpes simplex virus type 2 (herpes), a result between 0.9 and 1.1 is equivocal, and a result greater than 1.1 means that the sample tested positive for herpes. Smith's HSV 2 IgG test result was 4.43, significantly above the threshold for a positive herpes diagnosis.

The defendant delegated to a member of his staff the task of informing Smith of the results of his test. Even though the lab report clearly demonstrated a positive herpes diagnosis, the staff member incorrectly told Smith over the phone that his STD test results had come back negative.

The plaintiff's relationship with Smith subsequently became sexual. Thereafter, the plaintiff began to experience herpes outbreaks and was diagnosed with herpes. Upon learning of this, Smith contacted the defendant to inquire further about his test results. The defendant then informed Smith that he actually had tested positive for herpes and apologized for the error.

The plaintiff brought a one count action against the defendant, alleging that the defendant had been negligent in various respects. The defendant moved to strike the complaint on the basis that the plaintiff's claim sounded in medical malpractice and, therefore, must fail for lack of any physician-patient relationship between the plaintiff and the defendant. The defendant argued in the alternative that, even if the court construed the plaintiff's claim as sounding in ordinary negligence, the plaintiff and the defendant were not involved in any special relationship that would justify extending a duty of care to her.

The trial court granted the defendant's motion to strike. The court did not expressly resolve the issue of whether the plaintiff's claim sounds in ordinary negligence or medical malpractice, at once describing the plaintiff as "seeking to extend medical malpractice liability of a physician to the sexual partner of a patient" and referring to the defendant's "claimed negligence ... in reporting the test results." The analysis undertaken by the trial court, however, implies that it viewed the claim as sounding in ordinary negligence. Specifically, the court concluded that the claim was governed by our decision in Jarmie v. Troncale , 306 Conn. 578 , 50 A.3d 802 (2012), and applied the framework that we set out in that case for determining whether a nonpatient may assert an ordinary negligence claim against a health care provider. See id., at 591-99, 50 A.3d 802 . Ultimately, the trial court concluded the defendant did not owe a duty of care to the plaintiff and, for that reason, granted the defendant's motion to strike. This appeal followed. 1

I

As an initial matter, we must resolve a dispute between the parties as to the gravamen of the plaintiff's complaint. As an alternative ground for affirmance, the defendant contends on appeal, as he did before the trial court, that the plaintiff's one count complaint sounds in medical malpractice. In support of this conclusion, the defendant points to, among other things, the facts that (1) the plaintiff alleged that "[the defendant] had an obligation to perform the STD tests and [to] report the results accurately to ... Smith according to accepted medical practice and standards," (2) the plaintiff further alleged that the defendant's "breach of accepted medical practice and standards" by failing to properly treat, test, monitor, and advise Smith, was the cause of her injuries, and (3) the plaintiff's counsel attached to the complaint a certificate, pursuant to General Statutes § 52-190a (a), averring that there were grounds for a good faith belief that the defendant had committed "medical negligence" in the "care or treatment" of Smith. Because a medical malpractice claim that fails to allege a physician-patient relationship between a plaintiff and a defendant is legally insufficient; Jarmie v. Troncale , supra, 306 Conn. at 588-89 , 50 A.3d 802 ; and because it is undisputed that the plaintiff never was a patient of the defendant, the defendant contends that the trial court properly struck the complaint.

The plaintiff responds that, although she attached a certificate of good faith pursuant to § 52-190a (a) out of an abundance of caution, her complaint alleges ordinary, common-law negligence rather than medical malpractice. She notes that the single count complaint is titled simply "negligence," and it alleges that the plaintiff's "injuries were the result of the negligence and carelessness of the [defendant] ... in [that he failed] to properly advise ... Smith of his STD test results ...." At no point, moreover, does the complaint use the term "medical malpractice."

A

We begin our analysis by reiterating that, although the better practice may be to include a separate count of the complaint for each distinct theory of liability, there is no such requirement. Practice Book § 10-26 provides that, "[w]here separate and distinct causes of action, as distinguished from separate and distinct claims for relief founded on the same cause of action or transaction, are joined, the statement of the second shall be prefaced by the words Second Count, and so on for the others ...." (Emphasis omitted.) In construing an earlier version of this rule of practice, this court explained that it has "uniformly approved the use of a single count to set forth the basis of a plaintiff's claims for relief [when] they grow out of a single occurrence or transaction or closely related occurrences or transactions, and it does not matter that the claims for relief do not have the same legal basis. It is only when the causes of action, that is, the groups of facts [on] which the plaintiff bases his claims for relief, are separate and distinct that separate counts are necessary or indeed ordinarily desirable." (Footnote omitted.) Veits v. Hartford , 134 Conn. 428 , 438-39, 58 A.2d 389 (1948). That remains the rule in this state, and it has been applied with respect to a single count complaint alleging different theories of negligence. See Wheeler v. Beachcroft, LLC , 320 Conn. 146 , 160, 129 A.3d 677 (2016) ("[e]ven though a single group of facts may give rise to rights for several different kinds of relief, it is still a single cause of action" [internal quotation marks omitted] ); Beaudoin v. Town Oil Co. , 207 Conn. 575 , 588, 542 A.2d 1124 (1988) (restating rule as articulated in Veits ); Baldwin v. Jablecki , 52 Conn. App. 379 , 382, 726 A.2d 1164 (1999) (statutory and common-law negligence may be pleaded in single count). Indeed, in Jarmie , on which both parties rely, we treated the single count complaint as alleging both medical malpractice and common-law negligence when the pleadings were substantially similar to those at issue here. See Jarmie v. Troncale , supra, 306 Conn. at 583-86 , 50 A.3d 802 ; cf. Byrne v. Avery Center for Obstetrics & Gynecology, P.C. , 314 Conn. 433 , 463, 102 A.3d 32 (2014) (reference to violation of statutory duty did not transform count of complaint alleging common-law negligence into statutory claim). 2

Accordingly, we may assume, for the sake of argument, that the defendant is correct that the complaint reasonably can be read to allege that he committed professional malpractice by failing to follow accepted medical standards in his advising, treatment, and ongoing testing and monitoring of Smith. The question that we must resolve is simply whether the complaint also alleges that the defendant committed ordinary common-law negligence by permitting or instructing his office staff to give Smith the wrong test results. 3

B

The following well established principles guide our analysis. First, "[b]ecause a motion to strike challenges the legal sufficiency of a pleading and, consequently, requires no factual findings by the trial court, our review of the court's ruling ... is plenary.... We take the facts to be those alleged in the complaint that has been stricken and we construe the complaint in the manner most favorable to sustaining its legal sufficiency.... Thus, [i]f facts provable in the complaint would support a cause of action, the motion to strike must be denied.... Moreover, we note that [w]hat is necessarily implied [in an allegation] need not be expressly alleged.... It is fundamental that in determining the sufficiency of a complaint challenged by a defendant's motion to strike, all well-pleaded facts and those facts necessarily implied from the allegations are taken as admitted." (Internal quotation marks omitted.) Geysen v. Securitas Security Services USA, Inc. , 322 Conn. 385 , 398, 142 A.3d 227 (2016).

"In Connecticut, we long have eschewed the notion that pleadings should be read in a hypertechnical manner. Rather, [t]he modern trend, which is followed in Connecticut, is to construe pleadings broadly and realistically, rather than narrowly and technically.... [T]he complaint must be read in its entirety in such a way as to give effect to the pleading with reference to the general theory [on] which it proceeded, and do substantial justice between the parties.... Our reading of pleadings in a manner that advances substantial justice means that a pleading must be construed reasonably, to contain all that it fairly means, but carries with it the related proposition that it must not be contorted in such a way so as to strain the bounds of rational comprehension." (Citation omitted; internal quotation marks omitted.) ATC Partnership v. Windham , 268 Conn. 463 , 466 n.4, 845 A.2d 389 (2004).

Second, our courts have long recognized that a health care provider may commit ordinary negligence, as opposed to medical malpractice, in the course of treating a patient or providing medical services. See, e.g., Multari v. Yale New Haven Hospital, Inc. , 145 Conn. App. 253 , 260, 75 A.3d 733 (2013) ("The plaintiff has not alleged medical malpractice ... but simply ordinary negligence against an entity that happens to be a medical provider. The fact that the defendant is a medical provider, does not, by itself, preclude a finding that the plaintiff's action sounds in ordinary negligence."); Badrigian v. Elmcrest Psychiatric Institute, Inc. , 6 Conn. App. 383 , 385-86, 505 A.2d 741 (1986) (claim that defendant failed to supervise psychiatric patients in crossing highway sounded in ordinary negligence); see also Jarmie v. Troncale , supra, 306 Conn. at 593 and n.5, 50 A.3d 802 (leaving open possibility of third-party negligence claims against health care providers).

To determine whether a claim against a health care provider sounds in ordinary negligence rather than (or in addition to) medical malpractice, we must "review closely the circumstances under which the alleged negligence occurred. [P]rofessional negligence or malpractice ... [is] defined as the failure of one rendering professional services to exercise that degree of skill and learning commonly applied under all the circumstances in the community by the average prudent reputable member of the profession with the result of injury, loss, or damage to the recipient of those services....

[M]alpractice presupposes some improper conduct in the treatment or operative skill [or] ... the failure to exercise requisite medical skill ...." (Citations omitted; emphasis omitted; internal quotation marks omitted.) Gold v. Greenwich Hospital Assn. , 262 Conn. 248 , 254, 811 A.2d 1266 (2002). "[T]o prevail in a medical malpractice action, the plaintiff must prove (1) the requisite standard of care for treatment, (2) a deviation from that standard of care, and (3) a causal connection between the deviation and the claimed injury.... Generally, expert testimony is required to establish both the standard of care to which the defendant is held and the breach of that standard." (Internal quotation marks omitted.) Id., at 254-55, 811 A.2d 1266 . Accordingly, a claim sounds in medical malpractice when "(1) the defendants are sued in their capacities as medical professionals, (2) the alleged negligence is of a specialized medical nature that arises out of the medical professional-patient relationship, and (3) the alleged negligence is substantially related to medical diagnosis or treatment and involved the exercise of medical judgment." (Internal quotation marks omitted.) Id., at 254, 811 A.2d 1266 . In connection with an ordinary negligence claim, by contrast, the defendant's conduct is judged against the standard of "what a reasonable person would have done under the circumstances ...." Considine v. Waterbury , 279 Conn. 830 , 859, 905 A.2d 70 (2006).

C

With these principles in mind, we consider the plaintiff's complaint. The relevant allegations of the complaint indicate that the defendant reviewed Smith's test results, notified a staff member of those results, and delegated to the staff member the task of informing Smith of the results. The complaint further alleges that the lab report contained a guide that made clear that Smith had tested positive for herpes. In addition, the complaint alleges that, although the test results were positive, the staff member informed Smith that his results were negative. Finally, the plaintiff alleges that the defendant's negligence in failing to accurately advise Smith of his positive test results caused Smith to infect the plaintiff with herpes.

These allegations are consistent with two distinct theories of negligence. First, the defendant could have misread Smith's lab report and incorrectly concluded that the results were negative. Second, it is possible that the defendant interpreted the report correctly but that either the defendant misinformed his staff member that the results were negative or the staff member misinformed Smith. In other words, the alleged error could have occurred either in the initial interpretation of the report or in the inaccurate communication of the results, via the staff member, to Smith. See 2 Restatement (Second), Torts § 311 (2), p. 106 (1965) (negligence may consist of failure to exercise reasonable care in ascertaining accuracy of information or in manner in which information is communicated).

In either case, we agree with the plaintiff that her allegations reasonably can be understood to sound in ordinary negligence. It is true that the alleged error transpired in a medical setting and that it arose as a result of a medical diagnosis in the context of an ongoing physician-patient relationship. There are at least two reasons, however, why we nevertheless conclude that this aspect of the complaint need not be read to sound in medical malpractice.

First, the alleged error is not one involving professional medical judgment or skill. If the defendant misread Smith's lab result, then he failed to perform what was, in essence, a simple, ministerial task. The index to the report states that a result greater than 1.1 indicates a positive test, and the report states that Smith's result was 4.43. No advanced medical training was necessary to determine that Smith had tested positive for herpes; elementary reading and arithmetic skills should have been sufficient. Indeed, laypeople routinely perform comparable tasks, such as reading and interpreting meat thermometers, oil dipsticks, pool and spa test strips, and insulin tests.

Of course, the same conclusion holds to an even greater extent if the genesis of the error was that the defendant simply told his staff member the wrong test result or the staff member relayed the wrong result to Smith. That sort of careless miscommunication could occur in any setting and has nothing to do with the exercise of professional medical judgment or skill. Indeed, the very fact that the defendant delegated the task to a staff member, who presumably was not a medical doctor, points to the nontechnical nature of the communication.

Second, regardless of whether the alleged error arose from a misreading or a miscommunication, proving that it constituted negligence would not require expert medical testimony or the establishment of a professional standard of care. A jury will not need expert testimony to determine whether the defendant's staff was negligent in leading Smith to believe that he was free of STDs when the defendant knew, or should have known, that Smith had tested positive for herpes, a contagious STD, and intended to engage in sexual activity. Such a determination is well within the ken of a lay person. 4

Accordingly, we conclude that, as in Jarmie , the plaintiff in this case pleaded a cause of action sounding in ordinary negligence. We therefore turn our attention to the plaintiff's claim that the defendant, in informing Smith of his test results, owed a common-law duty of care not only to Smith but also to the plaintiff, a nonpatient.

II

Having concluded that the plaintiff's claim sounds in ordinary negligence, we now must determine whether, under the circumstances presented in this case, a physician owes a duty of care to an identifiable third party 5 who is not a patient. We conclude that a physician does owe such a duty.

A

We begin by setting forth the elements of a cause of action in ordinary negligence. "The essential elements of a cause of action in negligence are well established: duty; breach of that duty; causation; and actual injury.... Contained within the first element, duty, there are two distinct considerations.... First, it is necessary to determine the existence of a duty, and then, if one is found, it is necessary to evaluate the scope of that duty.... The existence of a duty is a question of law and only if such a duty is found to exist does the trier of fact then determine whether the [alleged tortfeasor] violated that duty in the particular situation at hand." (Internal quotation marks omitted.) Jarmie v. Troncale , supra, 306 Conn. at 589 , 50 A.3d 802 .

"Although it has been said that no universal test for [duty] ever has been formulated ... our threshold inquiry has always been whether the specific harm alleged by the plaintiff was foreseeable to the defendant. The ultimate test of the existence of the duty to use care is found in the foreseeability that harm may result if it is not exercised.... By that is not meant that one charged with negligence must be found actually to have foreseen the probability of harm or that the particular injury [that] resulted was foreseeable, but the test is, would the ordinary [person] in the [alleged tortfeasor's] position, knowing what he knew or should have known, anticipate that harm of the general nature of that suffered was likely to result ....

"A simple conclusion that the harm to the plaintiff was foreseeable, however, cannot by itself mandate a determination that a legal duty exists. Many harms are quite literally foreseeable, yet for pragmatic reasons, no recovery is allowed.... A further inquiry must be made, for we recognize that duty is not sacrosanct in itself ... but is only an expression of the sum total of those considerations of policy [that] lead the law to say that the plaintiff is entitled to protection.... The final step in the duty inquiry, then, is to make a determination of the fundamental policy of the law, as to whether the defendant's responsibility should extend to such results." (Internal quotation marks omitted.) Id., at 590, 113 A.3d 932 .

The default assumption of the common law, then, is that one owes a duty to exercise due care in one's affirmative conduct with respect to all people, insofar as one's negligent actions may foreseeably harm them. 3 F. Harper et al., Harper, James and Gray on Torts (3d Ed. 2007) § 18.6, p. 862. Under specific circumstances, however, the law, for reasons of public policy, places additional restrictions on the class of people to whom a duty of care is owed. See, e.g., id., § 18.3, p. 781. In most instances, for example, a physician's liability for the negligent care and treatment of a patient does not extend to nonpatient third parties who have been foreseeably injured by that negligence. Id., § 18.5A, p. 852; see also Jarmie v. Troncale , supra, 306 Conn. at 592-93 , 50 A.3d 802 . But see Squeo v. Norwalk Hospital Assn. , 316 Conn. 558 , 568, 113 A.3d 932 (2015) (recognizing limited cause of action for bystander emotional distress resulting from medical malpractice); Jarmie v. Troncale , supra, at 593 n.5, 50 A.3d 802 (declining to endorse per se rule barring third-party claims against health care providers). The present case requires us to further clarify the scope of this exception to the general duty rule.

B

With these principles in mind, we now turn our attention to the central question posed by the present appeal, namely, whether a health care provider who negligently misinforms a patient that he does not have an STD owes a duty of care to an identifiable third party who foreseeably 6 contracts the STD as a result of the provider's negligence. The defendant contends that various public policy considerations counsel against recognition of such a duty. Most notably, because a patient such as Smith could have been or become intimate with an unlimited number of romantic partners, there is no meaningful way to identify or restrict the number of individuals whom he might infect and, therefore, to limit the class of persons who could have standing to bring an action of this sort.

The defendant further contends that a number of public policy considerations and common-law traditions that are unique to the health care environment or, specifically, to the physician-patient relationship, counsel against recognizing a physician's duty to a nonpatient third party under the circumstances alleged in the present case. He argues that (1) the law generally does not impose on physicians a duty of care to nonpatient third parties, (2) the considerations underlying the adoption of Connecticut's medical malpractice statutes, General Statutes §§ 52-190a through 52-190c, disfavor the imposition of additional liability on physicians, (3) imposing on physicians duties to third parties risks interfering with and undermining the physician-patient relationship, and (4) considerations of confidentiality create both legal and logistical hurdles to the recognition of such duties. Finally, the defendant contends that the plaintiff could have taken various measures both to protect herself from contracting herpes-presumably sexual abstention or the use of prophylactics-and to establish proper standing to bring an action of this sort-such as accompanying Smith when he sought treatment from the defendant.

The trial court, in granting the defendant's motion to strike, was swayed by a number of these arguments. The court also discussed several additional concerns: whether physicians might become obligated to contact and warn or to educate patients' sexual partners; the fact that physicians have no control over whether and how patients share their STD test results with potential sexual partners; and whether the recognition of a duty to nonpatients should be predicated on the existence of a formal, mutual STD testing agreement between the patient and his or her prospective sexual partner. Although the defendant, certain of the amici, 7 and the trial court raise many valid concerns, for the reasons that follow, we are persuaded that they do not counsel against the recognition of a duty under the specific circumstances presented in this case.

1

Setting aside for the moment the question of what third-party duties apply within the distinct confines of the physician-patient relationship, we observe at the outset that many of the concerns that the defendant raises and that the trial court found persuasive have been addressed and resolved in other professional contexts. Although the plaintiff has not labeled it as such, her claim is, in essence, one for negligent misrepresentation. That tort specifically encompasses situations such as this, in which a tortfeasor negligently supplies misinformation knowing that the recipient of that information intends to supply it in turn for the benefit and guidance of a third party.

"This court has long recognized liability for negligent misrepresentation. We have held that even an innocent misrepresentation of fact may be actionable if the declarant has the means of knowing, ought to know, or has the duty of knowing the truth.... [When the information supplied is to be used in the furtherance of a business transaction and the alleged harm is solely pecuniary, the] governing principles are set forth in ... § 552 of [Volume 3 of] the Restatement Second of Torts [1977]: One who, in the course of his business, profession or employment ... supplies false information for the guidance of others in their business transactions, is subject to liability for pecuniary loss caused to them by their justifiable reliance [on] the information, if he fails to exercise reasonable care or competence in obtaining or communicating the information." (Citations omitted; internal quotation marks omitted.) D'Ulisse-Cupo v. Board of Directors of Notre Dame High School , 202 Conn. 206 , 217-18, 520 A.2d 217 (1987). Recognizing the potentially limitless scope of the financial harms that may flow from the dissemination of false information, the Restatement (Second) restricts liability for negligent misrepresentation of this sort to the loss suffered "(a) by the person or one of a limited group of persons for whose benefit and guidance [the defendant] intends to supply the information or knows that the recipient intends to supply it," and "(b) through reliance upon it in a transaction that he intends the information to influence or knows that the recipient so intends or in a substantially similar transaction." 3 Restatement (Second), Torts § 552 (2) (a) and (b), p. 127 (1977) ; see also id., comment (a), pp. 127-28. In other words, the Restatement (Second) addresses the problem of potentially limitless third-party liability, first, by conferring standing on only those third parties to whom the defendant knew that the recipient intended to supply the information at issue and, second, by restricting liability to losses arising from transactions for the purpose of which the information was supplied.

Defined and cabined in this manner, liability for negligent misinformation has been upheld in various contexts in which a professional is hired to supply information to a client, knowing that the client is obtaining the information at least in part for the benefit and guidance of some third party or parties. Although we have not definitively resolved whether an accountant or an auditor may be liable for negligent misrepresentation to a nonclient third party; see Stuart v. Freiberg , 316 Conn. 809 , 816-17, 831-32 n.17, 116 A.3d 1195 (2015) (deeming it unnecessary to determine whether liability could be imposed and leaving question open); a number of other courts have held that such professionals can be held liable under the approach set forth in § 552 of the Restatement (Second) of Torts. See, e.g., Ellis v. Grant Thornton LLP , 530 F.3d 280 , 288-89 (4th Cir.) (applying West Virginia law), cert. denied, 555 U.S. 1049 , 129 S. Ct. 652 , 172 L. Ed. 2d 615 (2008) ; North American Specialty Ins. Co. v. Lapalme , 258 F.3d 35 , 38-40 (1st Cir. 2001) (applying Massachusetts law) ; see also Tricontinental Industries, Ltd. v. PricewaterhouseCoopers, LLP , 475 F.3d 824 , 836 (7th Cir. 2007) (applying similar Illinois rule).

A growing number of courts also have dispensed with the traditional privity requirement and have imposed liability on attorneys with respect to transactions in which the attorney's opinion is solicited for the benefit of an identifiable third party. See generally B. Walker, Note, "Attorney's Liability to Third Parties for Malpractice: The Growing Acceptance of Liability in the Absence of Privity," 21 Washburn L.J. 48 (1981) (noting modern trend toward imposing liability and discussing cases). Although courts following the modern approach to professional negligent misinformation claims have not been oblivious to the concerns raised by the defendant and certain of the amici-the potential for limitless third-party liability, interference with the professional-client relationship, and the undue burdening of the professional practice-they have concluded that limiting liability to circumstances in which professional services are sought for the specific benefit of identifiable third parties adequately addresses any concerns centering around both foreseeability and professionalism. See id., 65-66 ; see also North American Specialty Ins. Co. v. Lapalme , supra, 258 F.3d at 40 ; Pelham v. Griesheimer , 92 Ill. 2d 13 , 20-21, 64 Ill.Dec. 544 , 440 N.E.2d 96 (1982). 8

Moreover, as we discuss more fully in part II B 4 of this opinion, the Restatement (Second) of Torts recognized that there is even less need to cabin potential third-party liability for negligent misrepresentation in cases such as this, in which the misinformation was not supplied for the recipient's financial benefit and the third-party plaintiff suffered physical as well as pecuniary injuries. Under those circumstances, the Restatement (Second) advises that "[o]ne who negligently gives false information to another is subject to liability for physical harm caused by action taken by the other in reasonable reliance upon such information, where such harm results ... (b) to such third persons as the actor should expect to be put in peril by the action taken." 2 Restatement (Second), supra, § 311 (1) (b), p. 106. Similar principles underlie § 324A, which provides that "[o]ne who undertakes ... to render services to another which he should recognize as necessary for the protection of a third person ... is subject to liability to the third person for physical harm resulting from his failure to exercise reasonable care to protect his undertaking, if (a) his failure to exercise reasonable care increases the risk of such harm, or ... (c) the harm is suffered because of reliance of the other or the third person upon the undertaking." Id., § 324A (a) and (c), p. 142.

2

Turning to the specific question of what duties, if any, a medical professional owes to a nonpatient third party, we begin by reviewing Connecticut precedent. The parties agree that Jarmie v. Troncale , supra, 306 Conn. 578 , 50 A.3d 802 , is the seminal Connecticut case on the subject, but they disagree as to how the present case should be resolved under Jarmie . 9 We conclude that, although Jarmie helps to guide our analysis, whether a physician owes a duty of care to a patient's intimate partner to accurately report that patient's STD test results remains a question of first impression in Connecticut.

In Jarmie , the defendant physician diagnosed and treated a patient for various liver and kidney ailments, including hepatic encephalopathy but failed to warn her of the latent driving impairment associated with her condition. Id., at 581, 50 A.3d 802 . After leaving the physician's office, the patient lost consciousness while operating her motor vehicle and struck the plaintiff. Id. The trial court granted the defendant's motion to strike the plaintiff's complaint in his subsequent negligence action against the physician, concluding that physicians owe no common-law duty to protect third parties from injuries caused by patients. Id., at 582, 50 A.3d 802 .

On appeal, we began by emphasizing that there is no common-law or statutory rule against nonpatients bringing ordinary negligence claims against physicians. Id., at 586, 50 A.3d 802 . We recognized, however, that our cases display a general aversion to extending a physician's duty of care to nonpatients. See id., at 592, 50 A.3d 802 . That aversion is rooted in the principles of tort reform underlying § 52-190a, as well as the common-law rule that, in the absence of a special relationship, there is no duty to protect a third person from the conduct of another. Id. We further explained that "[t]here is no well established common-law rule that a physician owes a duty to warn or advise a patient for the benefit of another person." Id. Nevertheless, we emphasized that we have not "employed or endorsed a per se rule that [third-party] claims [against health care providers] are categorically barred because of the absence of a physician-patient relationship but, rather ... this court has exercised restraint when presented with opportunities to extend the duty of health care providers to persons who are not their patients." (Internal quotation marks omitted.) Id., at 593-94 n.5, 50 A.3d 802 . In addition, we distinguished cases from other jurisdictions that had imposed third-party liability on a physician by remarking that those cases, unlike Jarmie , involved a physician who had "failed to warn the patient that he or she either had a communicable disease or had been exposed to one." Id., at 616, 50 A.3d 802 . Accordingly, we left open the possibility that, under appropriate circumstances, and in particular with respect to the diagnosis of communicable diseases, a physician's common-law duty of care may extend to nonpatients. 10 In the parts of this opinion that follow, we will discuss and apply the various factors and considerations that we deemed to be relevant to the duty analysis in Jarmie . For now, we emphasize two points. First, a principal reason that we affirmed the judgment of the trial court in Jarmie and declined to recognize that the defendant physician owed a duty to the plaintiff motorist was because the plaintiff was not an identifiable victim at the time that medical services were provided. Id., at 590-91, 603, 50 A.3d 802 . Rather, "potential victims of [the physician's] alleged negligence included any random pedestrian, driver, vehicular passenger or other person who happened to come in close proximity to a motor vehicle operated by [the patient] following her diagnosis." Id., at 597, 50 A.3d 802 .

We explained that, in previous cases, we had "limited foreseeable victims of a health care provider's negligence to identifiable persons ...." Id., at 594, 50 A.3d 802 ; see id., at 596, 50 A.3d 802 ("the foreseeability test as applied by this court in the context of health care providers has ... required an identifiable victim because we have deemed the effect of a physician's conduct on third parties as too attenuated"); see also Jacoby v. Brinckerhoff , 250 Conn. 86 , 96-97, 735 A.2d 347 (1999) (psychiatrist owed no duty to patient's ex-spouse, who was not identifiable victim); Fraser v. United States , 236 Conn. 625 , 632, 674 A.2d 811 (1996) (psychotherapist owed no duty to victim because "our decisions defining negligence do not impose a duty to those who are not identifiable victims [and] ... in related areas of our common law, we have concluded that there is no duty except to identifiable persons").

In the present case, by contrast, the plaintiff has alleged that "Smith told [the defendant] that he was seeking STD testing not only for his benefit, but for the protection and benefit of his new, exclusive girlfriend, [the] plaintiff." Construing this pleading in the light most favorable to sustaining the sufficiency of the complaint, we must conclude that the plaintiff was an identifiable, if not identified, potential victim of the defendant's alleged negligence at the time that treatment was rendered. 11 That is to say, only one woman could have fit the description of Smith's exclusive girlfriend, and Smith presumably could have identified her by name if he had been asked to do so. See Jarmie v. Troncale , supra, 306 Conn. at 597-98 , 50 A.3d 802 (identifiable victim is one whom it was possible to identify before negligent act occurred).

This identifiable victim requirement strikes an equitable balance between the interests at stake. Although a health care provider's liability may expand beyond his or her patients, its increased scope would encompass only those third-party victims of whose existence and potential exposure to harm the health care provider had been made aware-or could have become aware-prior to the negligent act. 12

Second, since we decided Jarmie , we have held that, under limited circumstances, a health care provider is liable to third parties for professional negligence, albeit in the context of a bystander emotional distress claim. In Squeo v. Norwalk Hospital Assn. , supra, 316 Conn. 558 , 113 A.3d 932 , we concluded that "a bystander to medical malpractice may bring a claim for the resulting emotional distress ... when the injuries result from gross negligence such that it would be readily apparent to a lay observer." Id., at 560, 113 A.3d 932 . In so holding, we relied on "our recent statement in Jarmie ... eschewing any per se rule that [third-party tort] claims are categorically barred because of the absence of a physician-patient relationship ...." 13 (Citation omitted; internal quotation marks omitted.) Id., at 574, 113 A.3d 932 .

Accordingly, we find Connecticut precedent to be unsettled with respect to the particular question presented here. Although we never have been confronted with the question of a physician's duty to a third party with respect to the reporting of STD test results, and although we consistently have expressed a general aversion to extending the duty of health care providers to third parties, we have allowed, under limited circumstances, for the imposition of liability to an identifiable potential victim who will be foreseeably harmed by a physician's negligence.

3

In Jarmie , after we concluded that Connecticut precedent did not bar the imposition of the duty at issue, we proceeded to look to sister state authority and also to consider whether various policy factors favored the imposition of such a duty. Jarmie v. Troncale , supra, 306 Conn. at 598-624 , 50 A.3d 802 . In this part of the opinion, we review how other jurisdictions have resolved similar cases. In part II B 4, we analyze the various policies at issue. A number of other jurisdictions have held that, under certain circumstances, the duty of a medical professional to correctly diagnose and advise a patient who suffers from a communicable disease extends not only to the patient but also to third parties who may foreseeably contract that disease from the patient. See 61 Am. Jur. 2d 382, Physicians, Surgeons and Other Healers § 226 (2012) ("[a] physician is liable for his or her negligence in permitting persons to be exposed to infectious or communicable diseases to the injury of the persons so exposed"); see also L. Gostin & J. Hodge, "Piercing the Veil of Secrecy in HIV/AIDS and Other Sexually Transmitted Diseases : Theories of Privacy and Disclosure in Partner Notification," 5 Duke J. Gender L. & Policy 9, 37 (1998); T. Bateman, annot., " Liability of Doctor or Other Health Practitioner to Third Party Contracting Contagious Disease from Doctor's Patient, 3 A.L.R.5th 370 , 377-79, § 2 [a] (1992) ; G. Sarno, "Physician's Failure To Protect Third Party from Harm by Nonpsychiatric Patient," 43 Am. Jur. Proof of Facts 2d 657, 670-72, § 3 (1985). Many such courts, for example, have long held that physicians and other health care providers charged with diagnosing, treating, and controlling the spread of contagious diseases owe a duty of care to members of the immediate family of an infected patient. See, e.g., Bolieu v. Sisters of Providence in Washington , 953 P.2d 1233 , 1239 (Alaska 1998) ; Hofmann v. Blackmon , 241 So. 2d 752 , 753 (Fla. App. 1970), cert. denied, 245 So. 2d 257 (Fla. 1971) ; Shepard v. Redford Community Hospital , 151 Mich. App. 242 , 245-46, 390 N.W.2d 239 (1986), appeal denied, 431 Mich. 872 , 430 N.W.2d 458 (1988) ; Skillings v. Allen , 143 Minn. 323 , 326, 173 N.W. 663 (1919) ; Wojcik v. Aluminum Co. of America , 18 Misc. 2d 740 , 746-47, 183 N.Y.S.2d 351 (1959). 14 In some of these cases, the court held that the provider had an affirmative duty to notify or educate the third party, whereas, in other cases, the court simply held that a third party had standing to enforce the provider's duty to properly diagnose, treat, and educate the infected patient.

Although appellate cases addressing a physician's duties to a patient's premarital sexual partners are few and far between, the plaintiff and certain of the amici have identified several cases that permit an action to be brought either by a victim who was identifiable at the time of treatment or by any member of the class of persons who foreseeably could contract an STD from the patient as a result of the physician's negligence. See, e.g., Reisner v. Regents of the University of California , 31 Cal. App. 4th 1195 , 1200-1201, 37 Cal. Rptr. 2d 518 (1995) (physician had duty to advise patient that he tested positive for human immunodeficiency virus (HIV) for benefit of unknown and unidentifiable but foreseeable sexual partners), review denied, California Supreme Court, Docket No. S045274 (May 18, 1995); C.W. v. Cooper Health System , 388 N.J. Super. 42 , 60-62, 906 A.2d 440 (App. Div. 2006) (health care provider owed duty to inform patient of positive HIV test results and that duty extended to persons "within the class of reasonably foreseeable individuals whose health [was] likely to be threatened by the patient's ignorance of his own health status," including patient's future sexual partner); DiMarco v. Lynch Homes-Chester County, Inc. , 525 Pa. 558 , 563-64, 583 A.2d 422 (1990) (when boyfriend of blood technician who acquired hepatitis B from accidental exposure was member of class of persons whose health was likely to be threatened by exposure to such communicable disease, and her physicians gave erroneous advice to her regarding potential spread of that disease, boyfriend had cause of action against physicians); Estate of Amos v. Vanderbilt University , 62 S.W.3d 133 , 138 (Tenn. 2001) (future husband and daughter of patient who was not informed that she was at risk of contracting HIV deemed members of identifiable class for purposes of hospital's third-party liability).

The defendant attempts to distinguish these cases on the ground that the plaintiff, unlike the sexual partners at issue in the cited cases, could have accompanied Smith when he sought STD testing and thus established a quasipatient relationship with the defendant sufficient to support a legal duty of care. We are not persuaded by this contention. First, the defendant provides no authority to support his theory that either the law or the medical profession confers a special status on a nonspouse sexual partner who accompanies a patient to his or her appointment with a physician and that that status is sufficient to support a legal duty of care. Second, it may well be that the defendant's suggested approach would interfere more directly with the physician-patient relationship and raise more substantial confidentiality concerns than would the imposition of the third-party duty of care for which the plaintiff advocates.

The defendant also notes that many of these cases involve potentially deadly diseases such as HIV that are more serious than herpes. We agree with the Alaska Supreme Court, however, that "the duty issue cannot turn on possible distinctions among diseases based on their severity and ubiquity.... Rather, the severity and ubiquity of the disease bear on what the [provider] must do to discharge the duty." Bolieu v. Sisters of Providence in Washington , supra, 953 P.2d at 1240 .

A Florida case, Hawkins v. Pizarro , 713 So. 2d 1036 (Fla. App.) review denied, 728 So. 2d 202 (Fla. 1998), provides an instructive contrast. In that case, a patient tested positive for hepatitis C, but her physician's office improperly advised her that she had tested negative. Id., at 1037. Several months later, the patient met the plaintiff, whom she eventually married. Id. The plaintiff contracted hepatitis C from the patient and filed an action against the physician for medical negligence. Id. In upholding the trial court's granting of summary judgment in favor of the defendant, the District Court of Appeal of Florida recognized that hepatitis C is a highly contagious sexually transmitted disease and that a physician's duty of care in treating such diseases is intended in part for the benefit of third parties. Id., at 1037-38. The court held that the physician owed no duty to the plaintiff, however, because he was neither identified nor known to the physician at the time of the incorrect diagnosis. Id., 1038. By contrast, our research has not revealed any cases in which a court held that there was no third-party liability under circumstances such as those in the present case, in which STD testing was obtained expressly for the benefit of an identifiable, exclusive romantic partner. But cf. D'Amico v. Delliquadri , 114 Ohio App. 3d 579 , 583, 683 N.E.2d 814 (1996) (plaintiff conceded that, under Ohio law, defendant physician owed her no direct duty to properly warn and advise his patient, plaintiff's boyfriend, as to communicability of genital warts ). 15 Beyond sister state authority, we further note that the Restatement (Second) of Torts appears to support the imposition of liability in a case such as this. As we previously discussed, § 311 of the Restatement (Second) provides that one who negligently gives false information may be held liable to a third party who predictably is injured by the recipient's reasonable reliance on that information. Notably, comment (b) to that section holds up the physician-patient relationship as the primary illustration of the rule: "The rule stated in this [s]ection finds particular application where it is part of the actor's business or profession to give information upon which the safety of the recipient or a third person depends. Thus it is as much a part of the professional duty of a physician to give correct information as to the character of the disease from which his patient is suffering, where such knowledge is necessary to the safety of the patient or others , as it is to make a correct diagnosis or to prescribe the appropriate medicine." (Emphasis added.) 2 Restatement (Second), supra, § 311, comment (b), p. 106. Accordingly, we conclude that sister state and secondary authorities, although limited, generally support the imposition of a third-party duty under the circumstances alleged in the present case. As we discuss in part II B 5 of this opinion, sister state courts generally have not been swayed by the various practical concerns that the defendant and certain of the amici have raised and that the trial court found to be compelling.

4

Next, because the question presented is one of first impression in Connecticut, we consider various public policy factors that both this court and other authorities have deemed to be relevant to whether and under what circumstances a physician owes a duty of care to a nonpatient third party. On balance, we conclude that those factors support the imposition of a third-party duty of care under the circumstances of the present case.

In Jarmie , we identified the following factors, among others, as being relevant to the question of what duty of care a physician owes to nonpatient third parties: the purposes of the tort compensation system, including efficiency, harm avoidance, and the appropriate distribution of loss; Jarmie v. Troncale , supra, 306 Conn. at 599-602 , 50 A.3d 802 ; the normal expectations of the participants in the activity under review and the public policy of encouraging participation in the activity, including the sanctity of the physician-patient relationship; id., at 603-14, 50 A.3d 802 ; and the purposes that underlie Connecticut's medical malpractice statute, § 52-190a, including the avoidance of increased litigation and higher health care costs.

Id., at 592-93, 603, 614-15, 50 A.3d 802 . When addressing third-party liability in the context of infectious diseases in particular, courts also have taken into account such considerations as "the foreseeability of third-party injury as shown by the patient's [infectious disease] carrier status, the degree of communicability of the patient's infectious disease, and the physician's actual or constructive knowledge of the ease of transmission of the patient's infectious disease; a public health statute [the] legislative intent [of which] is partly to protect third parties, such as a statute requiring physicians to report diagnosed instances of communicable or infectious diseases ; breach of the physician's duty to exercise due care to protect third parties from foreseeable harm as shown by failure to report diagnosed instances of communicable or infectious diseases to public health authorities, failure to warn the patient with the infectious disease not to have contact with third parties, failure to warn the family of the patient with the infectious disease about the ease of, and precautions against, its transmission, failure to quarantine the patient with the infectious disease, failure to vaccinate the patient's family [members] against the infectious disease, conveyance of an affirmative indication that contact with the infected patient is not risky, and failure to take other reasonable measures to prevent exposure to the patient with the communicable disease; additional indicia of negligence, including failure to use standard available tests for diagnosing a patient's infectious disease, failure to interpret diagnostic test results correctly, and failure to diagnose the patient's infectious disease; and harm to a third-party plaintiff as shown by the third party's illness from exposure to the physician's infectious patient." T. Bateman, supra, 3 A.L.R.5th 379 , § 2 [b].

a

For purposes of the present appeal, two of these factors, or sets of factors, are especially pertinent to our analysis. First, although we continue to recognize the sanctity of the physician-patient relationship and the need to exercise "restraint when presented with opportunities to extend the duty of health care providers to persons who are not their patients"; Jarmie v. Troncale , supra, 306 Conn. at 592 , 50 A.3d 802 ; we also recognize that such concerns are at their nadir, and a physician's broader public health obligations are at their zenith, with respect to the diagnosis and treatment of infectious diseases.

Throughout history, both medical organizations and government entities have recognized not only the critical role that physicians play in combatting the spread of contagious diseases such as STDs, but also the concomitant fact that, in diagnosing and treating such diseases, a physician's duties and loyalties necessarily must be divided between the patient and other people whom the patient may infect. See generally L. Gostin & J. Hodge, supra, 5 Duke J. Gender L. & Policy 9. For example, "one of the earliest recorded public health strategies for STD prevention was to pierce the veil of secrecy surrounding these hidden diseases by notifying sexual partners ... of infected patients ...." Id., 11. "Often known collectively as the 'duty to warn,' these [judicially imposed, common-law] obligations subsequently have been codified by many state legislatures." Id., 12. For example, partner notification measures were broadly implemented during the 1930s in an effort to control and eradicate the syphilis epidemic. Id., 21. Many states continue to operate provider based partner referral programs under which health care providers are responsible for contacting, on a confidential basis, the sexual partners of patients diagnosed with various STDs. See id., 27-32.

Indeed, even the American Medical Association (AMA), one of the amici supporting the defendant's position, which argues against the imposition of a third-party duty under these circumstances, has recognized that, "[a]lthough physicians' primary ethical obligation is to their individual patients"; American Medical Association, Code of Medical Ethics (2017) opinion 8.4, p. 128; they also have a responsibility "to protect and promote the health of the public." Id., opinion 8.1, p. 125. "[P]hysicians must balance dual responsibilities to promote the welfare and confidentiality of the individual patient and to protect public safety." Id., opinion 8.2, p. 126. The AMA has further observed that a physician's "long-recognized" professional responsibilities to nonpatients are especially pronounced in the context of infectious disease, for which professional standards of care demand that a physician not only treat his or her own patients competently, but also go so far as to "[p]articipate in implementing scientifically and ethically sound quarantine and isolation measures in keeping with the duty to provide care in epidemics." Id., opinion 8.4, p. 128.

As we noted, the principle that a physician's duty to protect the broader public health and to help to deter the spread of contagious diseases at times transcends the physician's duty to his or her individual patient has long been codified in federal and state law. See, e.g., L. Gostin & J. Hodge, supra, 5 Duke J. Gender L. & Policy 58. Connecticut is no exception in this respect. Our legislature has, for example, enacted laws that require physicians to test pregnant patients for syphilis and HIV; General Statutes § 19a-90 ; require health care providers to report certain communicable diseases to local and state public health officials; General Statutes § 19a-215 ; and permit physicians to warn, or to disclose confidential patient information for the purpose of warning, a known partner of a patient who has been diagnosed with an HIV infection or related disease. General Statutes § 19a-584 (b).

Perhaps most notably, since 2006, both the United States Centers for Disease Control and Prevention (CDC) and the AMA have approved the use of so-called expedited partner therapy programs to combat the spread of STDs. 16 Expedited partner therapy "is the delivery of medications or prescriptions by persons infected with an STD to their sex partners without clinical assessment of the partners"; in accordance with this protocol, "[c]linicians ... provide patients with sufficient medications directly or via prescription for the patients and their partners." 17 The AMA has authorized the use of expedited partner therapy even though that approach to treating STDs "potentially abrogates the standard informed consent process, compromises continuity of care for patients' partners, encroaches [on] the privacy of patients and their partners, increases the possibility of harm by a medical or allergic reaction, leaves other diseases or complications undiagnosed, and may violate state practice laws." American Medical Association, supra, opinion 8.9, p. 132. In other words, the medical profession has formed the judgment that the need to stem the spread of STDs is so great, and the traditional physician-patient model so inadequate therefor, that an exception to the prevailing standard of care should be drawn so that physicians can provide treatment to third parties who are not their patients. Our legislature has embraced this novel approach, allowing practitioners to dispense oral antibiotic drugs to the sexual partners of patients who have been diagnosed with chlamydia or gonorrhea, two kinds of STDs, without first physically examining the partners. See General Statutes § 20-14e (e).

We recognize that none of these laws directly applies to herpes. This presumably reflects in part the fact that that disease is not curable at present, and, thus, the sexual partners of patients infected with herpes would not be candidates for programs such as expedited partner therapy. At the same time, the fact that herpes is incurable highlights the extent to which a physician's duties in a case such as this run to third parties as well as to the patient, as it will be the patient's potential sexual partners who are the most direct beneficiaries of the diagnosis. 18

Perhaps more than in any other field of medicine, then, the duty of care that a physician owes to his or her patient in the diagnosis and treatment of infectious and sexually transmitted diseases also, necessarily, entails some duty to third parties who are likely to contract the disease from the patient. As the Supreme Court of Pennsylvania explained, "[c]ommunicable diseases are so named because they are readily spread from person to person. Physicians are the first line of defense against the spread of communicable diseases, because physicians know what measures must be taken to prevent the infection of others. The patient must be advised to take certain sanitary measures, or to remain quarantined for a period of time, or to practice sexual abstinence or what is commonly referred to as safe sex." (Internal quotation marks omitted.) DiMarco v. Lynch Homes-Chester County, Inc. , supra, 525 Pa. at 562 , 583 A.2d 422 . The court continued: "Such precautions are taken not to protect the health of the patient, whose well-being has already been compromised, [but] rather such precautions are taken to safeguard the health of others." (Emphasis omitted.) Id. ; cf. Davis v. Rodman , 147 Ark. 385 , 391-92, 227 S.W. 612 (1921) ("[o]n account of his scientific knowledge and his peculiar relation, an attending physician is, in a certain sense, in custody of a patient afflicted with [an] infectious or contagious disease"); V. Schwartz et al., Prosser, Wade and Schwartz's Torts: Cases and Materials (11th Ed. 2005) p. 432 (custody of persons with contagious diseases may give rise to singular duty to control conduct of other person).

At the same time, we perceive little risk that imposing a third-party duty under these circumstances would interfere with the physician-patient relationship, breach patient confidentiality, or require the practice of costly defensive medicine. See, e.g., Reisner v. Regents of the University of California , supra, 31 Cal. App. 4th at 1203 , 37 Cal.Rptr.2d 518 . Although the plaintiff contends that the defendant owed her a duty of care as an identifiable potential victim who foreseeably would rely on the accuracy of his diagnosis, her argument is that that duty would have been fully satisfied if the defendant simply had provided the accurate test results to Smith, his patient. In other words, the defendant was under no obligation to contact the plaintiff, to otherwise ensure that she was made aware of Smith's test results, or to do anything other than fulfill his undisputed professional obligation to accurately convey his patient's test results to the patient himself. 19 The concerns of the dissent that our decision in this case will somehow result in the disclosure of confidential medical information are, therefore, wholly unfounded.

In conclusion, we think that it is beyond cavil that physicians such as the defendant owe some duty of care to third parties when diagnosing and treating a patient who suffers from an STD. We do not believe that imposing the duty for which the plaintiff advocates would intrude on the sanctity of the physician-patient relationship. Indeed, the duty at issue here-simply to accurately relay the patient's test results to the patient-is far more limited and less intrusive than the public health reporting and partner notification requirements that have been imposed on physicians in the context of diagnosing and treating infectious diseases.

b

The second set of factors that governs our analysis relates to the purposes of the tort compensation system.

"[T]he fundamental policy purposes of the tort compensation system [are] compensation of innocent parties, shifting the loss to responsible parties or distributing it among appropriate entities, and deterrence of wrongful conduct .... It is sometimes said that compensation for losses is the primary function of tort law ... [but it] is perhaps more accurate to describe the primary function as one of determining when compensation [is] required.... An equally compelling function of the tort system is the prophylactic factor of preventing future harm .... The courts are concerned not only with compensation of the victim, but with admonition of the wrongdoer.... [Of course] [i]mposing liability for consequential damages often creates significant risks of affecting conduct in ways that are undesirable as a matter of policy. Before imposing such liability, it is incumbent [on] us to consider those risks." (Citations omitted; internal quotation marks omitted.) Jarmie v. Troncale , supra, 306 Conn. at 599-600 , 50 A.3d 802 . In the present case, these factors also weigh strongly in favor of imposing a duty on health care providers to identifiable and foreseeable third-party victims such as the plaintiff.

First, we observe that, if the defendant is not held liable to the plaintiff under these circumstances, then, in all likelihood, she will be without remedy or compensation for her injuries. It is doubtful, for example, that the plaintiff could recover in negligence from Smith, who acted responsibly in seeking regular STD testing and did not have sexual contact with her until he was possessed of a reasonable, good faith belief that he was free of STDs.

The trial court, while recognizing "the absence of any other source of compensation for the [plaintiff's] harm," apparently concluded that this factor was mitigated by (1) the fact that "the cost of medical treatment likely would be covered by health insurance," and (2) the plaintiff's ability to engage in "self-protective measures ...." The dissent also is of the view that the plaintiff is not without recourse because she "may well be covered by public or private health insurance policies ...."

There is nothing in the record to support the pure speculation that the plaintiff had, or will continue to have, adequate health insurance. 20 Nor do we think it is appropriate to expect ordinary health insurance policies, or taxpayers, to bear the costs of a physician's negligence. Medical malpractice policies exist to spread such costs.

In any event, the availability of insurance will be of little consolation to the plaintiff, insofar as genital herpes is presently an incurable disease. E.g., E. Moore, Encyclopedia of Sexually Transmitted Diseases (2005) p. 135; Mosby's Medical Dictionary (8th Ed. 2009) p. 872. We must assume that, for the remainder of her life, the plaintiff will suffer periodic outbreaks of painful blisters or ulcers associated with the virus. See, e.g., E. Moore, supra, pp. 132-33. Her desirability as a potential romantic partner may be diminished. And, if she should become pregnant, she will have to contend with the risk that she may transmit the virus to her newborn child. See, e.g., id., p. 135. Some of these injuries will not be covered-or may not be adequately covered-by medical insurance, and we ought not pretend otherwise. Only the defendant can compensate the plaintiff for these losses.

With respect to "self-protective measures," we presume that the trial court was referring to the fact that, notwithstanding Smith's apparently negative STD test results, the plaintiff could have further reduced the risk that she would contract an STD either by using prophylactics or abstaining from intercourse with Smith altogether. Even if we were to assume, for the sake of argument, that it would be reasonable and right to expect couples, such as the plaintiff and Smith, to abstain from sexual intimacy, or to consistently practice safe sex while dating, that would only push back the problem. At some point, their relationship could have progressed to a point at which they would have married and consummated their union. At that point, a wedding band would not have been proof against the defendant's negligence. See Hawkins v. Pizarro , supra, 713 So. 2d at 1037 (STD was misdiagnosed prior to courtship, and sexual partner was diagnosed after marriage).

Second, the flip side of the coin is that, if the plaintiff cannot hold the defendant responsible for his alleged negligence, then errors of this sort will go unadmonished. Patients such as Smith are unlikely to have incurred any legally cognizable damages as a result of an incorrect test report and, therefore, may be unable to recover from a defendant physician. We recognize that not every wrong is compensable in tort and that losses, even unjust losses, sometimes must be allowed to lie where fate has cast them. See Jarmie v. Troncale , supra, 306 Conn. at 599 , 50 A.3d 802 . Under these circumstances, however, imposing third-party liability would play an important role in spurring physicians such as the defendant to take greater care in reporting STD lab results. As the California Court of Appeal recognized in Reisner v. Regents of the University of California , supra, 31 Cal. App. 4th 1195 , 37 Cal.Rptr.2d 518 , the law should "encourage the highest standard of care concerning communicable and infectious diseases ...." Id., at 1201, 37 Cal. Rptr. 2d 518 ; see also id., at 1204, 37 Cal. Rptr. 2d 518 ("we believe that a doctor who knows he is dealing with the [twentieth] [c]entury version of Typhoid Mary ought to have a very strong incentive to tell his patient what she ought to do and not do and how she ought to comport herself in order to prevent the spread of her disease" [footnote omitted] ). Holding the defendant liable to the plaintiff would create such an incentive and deter the careless misreporting of STD test results.

The trial court, while recognizing that imposing third-party liability under these circumstances could play an important deterrent function and help control the insidious spread of STDs, expressed concern over what it saw as potentially unforeseen consequences. The court speculated, for instance, that physicians themselves might feel compelled to discuss lab results with their patients, which could be more costly and less efficient than relying on nurses or office staff to relay results. We do not find this concern compelling.

A patient who seeks medical attention to be tested for a disease, any disease, has a reasonable expectation that the test results will be reported accurately, by whatever means. See, e.g., L. Casalino et al., "Frequency of Failure To Inform Patients of Clinically Significant Outpatient Test Results," 169 Archives Internal Med. 1123, 1123 (2009) ("[f]ailures to inform patients of abnormal test results ... are common and legally indefensible factors in malpractice claims"). The risks and costs associated with misinforming a patient that he does not have a particular disease can be dramatic. Those include the direct costs to the patient and the health care system, as when, for example, treatment of a serious illness such as cancer is irremediably delayed, or, as in the present case, through the inadvertent infection of third parties by a patient who falsely believes that he is free of STDs. Holding health care providers responsible for errors of the sort alleged will help to maintain public trust in the reliability of the STD

reporting system and, therefore, encourage continued participation in this important public health regimen. 21

Of course, it ultimately will be for the jury to determine whether a reasonable health care provider would have reported Smith's test results differently, whether through direct physician-to-patient communications or through the use of additional fail-safes and quality assurance measures. But we certainly are not prepared to say, as a matter of law, that, whatever added costs might be entailed by a quick telephone call or a letter from one's physician, or a policy requiring office staff to double check that they are reporting test results accurately, they are too onerous relative to the human, financial, and public health costs associated with a false negative report. 22 Cf. Reisner v. Regents of the University of California , supra, 31 Cal. App. 4th at 1200 , 37 Cal.Rptr.2d 518 (it is not unreasonable to expect physicians to give additional warning or warnings).

Along these same lines, we note that it would not be unreasonable for a jury to conclude that the defendant, and not the plaintiff or Smith, was most effectively and economically situated to avoid the harm that befell the plaintiff. In this era of technologized medicine, the conveyance of lab results is a regular and central component of a physician's professional duties. The physician has exclusive access to the original lab results, until such time as they are shared with or conveyed to the patient. As between the defendant, on the one hand, who can avoid errors of this sort simply by double checking the results before or after speaking with the patient; see L. Casalino et al., supra, 169 Archives Internal Med. 1123 (discussing "relatively simple" best practices); and Smith and the plaintiff, on the other, who could ensure that the plaintiff remained free of STDs only by permanently abstaining from intimate contact, 23 a jury reasonably could conclude that the defendant was the party who was in the best position to avoid the harm at the lowest cost and, therefore, should bear the costs of the loss. See, e.g., Rodi Yachts, Inc. v. National Marine, Inc. , 984 F.2d 880 , 883-84, 888 (7th Cir. 1993).

At the same time, physicians such as the defendant can most readily bear and spread through malpractice insurance the costs associated with errors of the sort alleged. We are not convinced that such errors are both so prevalent and so ineluctable that imposing third-party liability, solely with respect to identifiable victims, will meaningfully impact insurance rates or overall health care costs. 24 For these reasons, we conclude that the relevant policy considerations weigh heavily in favor of allowing liability under these circumstances.

5

Finally, we address two concerns that the defendant and certain of the amici have raised and that the trial court found compelling. First is the slippery slope issue. The trial court observed, and we agree, that, "[i]n a sense, [the] plaintiff's complaint identifies a best case scenario ...." That is to say, the plaintiff and Smith were involved in an exclusive romantic relationship at the time Smith sought STD testing, Smith informed the defendant that he was seeking testing for the benefit and protection of the plaintiff, and the plaintiff subsequently agreed to engage in sexual relations with Smith in reliance on the test results as reported to Smith. This means that the defendant's potential liability for negligently misreporting Smith's test results extended to at most one nonpatient third party, a party of whose existence the defendant was aware at the time of treatment, who could foreseeably contract a contagious STD if an erroneous negative test result were reported, and to whom he owed no independent duty beyond the duty already owed to Smith to accurately report his test results.

Nevertheless, the trial court expressed concerns that imposing a duty under these limited circumstances could open the floodgates. For example, the court questioned whether, if Smith had been dating multiple women at the time, or later began to date other women, with whom Smith had not discussed STDs, the defendant would owe a duty to a large and ill-defined class of potential plaintiffs. The trial court also questioned whether, under different circumstances, a physician such as the defendant might feel compelled to question a patient regarding his sexual partners, or to contact those partners to discuss the patient's STD status, or at least to ensure that the patient accurately relayed the test results to all of his sexual partners. Finally, the court questioned whether it makes sense to make liability hinge on the sort of mutual STD testing arrangement to which the plaintiff and Smith agreed.

Beginning with the last point, we emphasize that the defendant's liability does not hinge on the fact that Smith and the plaintiff entered into a mutual testing agreement. The alleged fact that Smith sought and obtained STD testing at the time could become relevant at trial only insofar as it would support the plaintiff's theory of causation, that is, that she was free of STDs until she became intimate with Smith during or after July, 2013.

Beyond that, we emphasize that the duty that we recognize today is quite limited. It extends only to identifiable third parties who are engaged in an exclusive romantic relationship with a patient at the time of testing and, therefore, may foreseeably be exposed to any STD that a physician fails to diagnose or properly report. And the physician fully satisfies that third-party duty simply by treating the patient according to the prevailing standard of care and accurately informing the patient of the relevant test results. See, e.g., Reisner v. Regents of the University of California , supra, 31 Cal. App. 4th at 1203 , 37 Cal.Rptr.2d 518 ; Pate v. Threlkel , 661 So. 2d 278 , 281-82 (Fla. 1995) ; Estate of Amos v. Vanderbilt University , supra, 62 S.W.3d at 138 . Whether there are other, broader circumstances under which a physician may be held to owe a duty of care to a nonpatient third party who foreseeably contracts an infectious disease as a result of the physician's negligence is a question that we need not resolve today.

Nor, as we have discussed, are we overly concerned that our recognition of a duty under the specific circumstances of this case will create a flood of litigation, increase insurance costs, or discourage physicians from offering STD testing. See, e.g., Bolieu v. Sisters of Providence in Washington , supra, 953 P.2d at 1239 . The amici supporting the defendant's position have given us no reason to believe that errors of the sort alleged are commonplace or that they cannot readily be avoided by cost-effective quality assurance measures. As the California Court of Appeal explained in rejecting such arguments, "[a]rguments premised on opened floodgates and broken dams are not persuasive [when] ... we suspect that only a few drops of water may spill onto a barren desert." Reisner v. Regents of the University of California , supra, 31 Cal. App. 4th at 1204 , 37 Cal.Rptr.2d 518 . And, of course, if the legislature perceives differently the risk that conferring standing on individuals such as the plaintiff will result in a health care funding crisis, then nothing bars that body from imposing whatever restrictions it deems prudent on common-law actions of this sort. Second, we do not share the trial court's concern that recognizing a third-party cause of action for negligent misreporting of STD test results would be impracticable. The court reasoned that, in many such instances, a patient such as Smith and an alleged victim such as the plaintiff will no longer be romantically involved by the time an action reaches the trial stage and, therefore, that key evidence-the patient's medical records-may not be available. The court noted that federal and state privacy laws could bar a plaintiff from obtaining and presenting such records without the patient's consent and that the patient might have little incentive to disclose such records to a former partner and have his or her medical and sexual history become part of the public record. The court also appeared to suggest that, in cases in which the patient does cooperate with the plaintiff, the patient might agree to selectively provide only those records that supported the plaintiff's case, leaving the physician unable to defend himself or herself.

Although we do not discount the possibility that the concerns that the trial court raises could present logistical hurdles in some other case, those hypothetical challenges do not counsel against allowing the plaintiff to hold the defendant accountable in a case such as this, in which the plaintiff apparently will have full access to the medical records necessary to put on her case. 25 As we noted in Jacoby v. Brinckerhoff , supra, 250 Conn. 86 , 735 A.2d 347 , "evidentiary constraints at trial do not, themselves, affect the sufficiency of a stated cause of action ...." 26 For all of the foregoing reasons, we hold that the trial court incorrectly concluded that, as a matter of law, the defendant owed no duty of care to the plaintiff with respect to the reporting of Smith's STD test results. 27

The judgment is reversed and the case is remanded for further proceedings according to law.

In this opinion D'AURIA, MULLINS and VERTE-FEUILLE, Js., concurred.

ROBINSON, C.J., with whom McDONALD and KAHN, J., join, dissenting.

I respectfully disagree with the majority's conclusion that Connecticut physicians, with respect to the diagnosis and reporting of their patients' sexually transmitted disease (STD) test results, owe a direct duty of care to "identifiable third parties who are engaged in an exclusive romantic relationship with a patient at the time of testing and, therefore, may foreseeably be exposed to any STD that a physician fails to diagnose or properly report." In my view, the majority's conclusion is inconsistent with our recent decision in Jarmie v. Troncale , 306 Conn. 578 , 590-91, 50 A.3d 802 (2012), in which we deemed three principal considerations to be especially pertinent in determining what, if any, duty of care is owed by a medical professional to a nonpatient third party, specifically (1) Connecticut precedent, (2) the foreseeability of the alleged harm, and (3) public policy considerations. Following Jarmie , I conclude instead that the defendant physician, Charles Cochran, owed no duty to the plaintiff, Jane Doe, and that the trial court properly granted the defendant's motion to strike the plaintiff's single count complaint. Because I would affirm the judgment subsequently rendered by the trial court in favor of the defendant, I respectfully dissent.

I begin by noting my agreement with the majority's recitation of the factual and procedural history of the case. I also note my substantial agreement with the majority's analysis in part I of its opinion, including the standard of review and the treatment of the plaintiff's single count complaint as having alleged both medical malpractice and common-law negligence, similar to our treatment of the action in Jarmie . 1 Id., at 583-86, 50 A.3d 802 . I part ways with the majority at part II of its opinion.

"The essential elements of a cause of action in negligence are well established: duty; breach of that duty; causation; and actual injury.... Contained within the first element, duty, there are two distinct considerations.... First, it is necessary to determine the existence of a duty, and then, if one is found, it is necessary to evaluate the scope of that duty.... The existence of a duty is a question of law and only if such a duty is found to exist does the trier of fact then determine whether the defendant violated that duty in the particular situation at hand.... If a court determines, as a matter of law, that a defendant owes no duty to a plaintiff, the plaintiff cannot recover in negligence from the defendant....

"Duty is a legal conclusion about relationships between individuals, made after the fact, and imperative to a negligence cause of action. The nature of the duty, and the specific persons to whom it is owed, are determined by the circumstances surrounding the conduct of the individual.... Although it has been said that no universal test for [duty] ever has been formulated ... our threshold inquiry has always been whether the specific harm alleged by the plaintiff was foreseeable to the defendant. The ultimate test of the existence of the duty to use care is found in the foreseeability that harm may result if it is not exercised.... By that is not meant that one charged with negligence must be found actually to have foreseen the probability of harm or that the particular injury which resulted was foreseeable, but the test is, would the ordinary [person] 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 ....

"A simple conclusion that the harm to the plaintiff was foreseeable, however, cannot by itself mandate a determination that a legal duty exists. Many harms are quite literally foreseeable, yet for pragmatic reasons, no recovery is allowed.... A further inquiry must be made, for we recognize that duty is not sacrosanct in itself ... but is only an expression of the sum total of those considerations of policy which lead the law to say that the plaintiff is entitled to protection.... The final step in the duty inquiry, then, is to make a determination of the fundamental policy of the law, as to whether the defendant's responsibility should extend to such results." (Internal quotation marks omitted.) Id., at 589-90, 50 A.3d 802 .

In Jarmie , we considered whether to recognize a duty of care owed by a physician to a third party nonpatient. In that case, a patient crashed her vehicle into the plaintiff after blacking out while driving. Id., at 580, 50 A.3d 802 . The plaintiff in Jarmie claimed that the defendant, a physician, had breached a duty to warn the patient of the risks of a latent driving impairment associated with a particular medical condition. Id. In concluding that the physician did not owe a duty of care to a third party nonpatient, this court considered three principal factors: (1) Connecticut precedent, (2) foreseeability, and (3) public policy considerations, including the decisions of courts in other jurisdictions. Id., at 589-91, 50 A.3d 802 .

We began in Jarmie by analyzing Connecticut precedent, and observed that it "is useful to view Connecticut common-law rules defining the duty of health care providers in conjunction with [General Statutes] § 52-190a, the medical malpractice statute, because all of the relevant case law followed enactment of that provision. The statute had several purposes, including: (1) to put some measure of control on what was perceived as a crisis in medical malpractice insurance rates; (2) to discourage frivolous or baseless medical malpractice actions; (3) to reduce the incentive to health care providers to practice unnecessary and costly defensive medicine because of the fear of such actions; (4) to reduce the emotional, reputational and professional toll imposed on health care providers who are made the targets of baseless medical malpractice actions; and (5) the replacement of proportional liability for the preexisting system of joint and several liability as a central part of [tort reform], so as to remove the health care provider as an unduly attractive deep pocket for the collection of all of the plaintiff's damages.... Thus, a principal goal of § 52-190a, and of tort reform generally, was to limit the potential liability of health care providers....

"The common law, reflecting the goals of the tort reform movement and the legislature's purpose in enacting § 52-190a, likewise disfavors the imposition of liability on health care providers. The established rule is that, absent a special relationship of custody or control, there is no duty to protect a third person from the conduct of another.... Thus, physicians owe an ordinary duty to their patients not to harm them through negligent conduct and an affirmative duty to help them by providing appropriate care.... There is no well established common-law rule that a physician owes a duty to warn or advise a patient for the benefit of another person." (Citations omitted; internal quotation marks omitted.) Id., at 591-92, 50 A.3d 802 .

"Consistent with the purpose of the medical malpractice statute and the limited duty of health care providers under the common law, this court has exercised restraint when presented with opportunities to extend the duty of health care providers to persons who are not their patients. As a consequence, we have held that a nurse and an emergency medical technician owed no duty of care to a patient's sister, who fainted while observing a medical procedure performed on the patient; Murillo v. Seymour Ambulance Assn., Inc. , [ 264 Conn. 474 , 477-78, 823 A.2d 1202 (2003) ]; a psychiatrist owed no duty to a patient's former spouse for any direct injury to the marriage caused by the allegedly negligent treatment of the patient for marital difficulties; see Jacoby v. Brinckerhoff , 250 Conn. 86 , 88, 95-98, 735 A.2d 347 (1999) ; a psychiatrist who evaluated children for possible sexual abuse owed no duty of reasonable care to protect the children's father, the suspected abuser, from false accusations of abuse arising out of the performance of the evaluations; Zamstein v. Marvasti , 240 Conn. 549 , 550-51, 559-61, 692 A.2d 781 (1997) ; and a physician owed no duty of care to his patient's daughter, who suffered emotional distress as a result of observing the patient's health deteriorate because of the physician's malpractice. Maloney v. Conroy , 208 Conn. 392 , 393, 403, 545 A.2d 1059 (1988). The only time that we have even contemplated enlarging the duty of a health care provider to include a person who is not a patient was when we considered whether a psychotherapist owed a duty to a third party to control an outpatient who was not known to have been dangerous. See Fraser v. United States , [ 236 Conn. 625 , 627-30, 674 A.2d 811 (1996) ]. In that case, we determined that no duty existed in the absence of a showing that the victim was either individually identifiable or, possibly, was either a member of a class of identifiable victims or within the zone of risk to an identifiable victim. Id., at 634, 674 A.2d 811 . Accordingly, although there is no directly comparable Connecticut case law on which to rely, our precedent, in general, does not support extending the duty of care ... because, with one limited exception that does not apply ... we repeatedly have declined, in a variety of situations, to extend the duty of health care providers to persons who are not their patients." (Citation omitted; emphasis omitted; internal quotation marks omitted.) Jarmie v. Troncale , supra, 306 Conn. at 592-93 , 50 A.3d 802 .

Although the precise factual circumstances of this case present an issue of first impression, I conclude that Connecticut precedent, as explained in Jarmie , demonstrates this court's consistent reluctance to extend the legal duties of medical professionals to nonpatient third parties. Indeed, no Connecticut case decided after Jarmie has disturbed the soundness of that assessment. 2 Therefore, Connecticut precedent militates against recognizing a legal duty in the present case. Consistent with Jarmie , I next consider a classic duty analysis focused on the foreseeability of the alleged harm. Id., at 594-98, 113 A.3d 932 . I agree with the majority's observation that Jarmie left open the possibility that a duty may exist in a case where the victim is identifiable, and I also agree with the majority that, construing the complaint in the present case in a light most favorable to sustaining its sufficiency, the plaintiff was identifiable. 3 Whereas the plaintiff in Jarmie was neither an identifiable victim nor a member of an identifiable class of victims as a general motorist who might come in close proximity to a vehicle operated by the patient following her diagnosis; id., at 597-98, 113 A.3d 932 ; the patient in the present case explained to the defendant that he had sought STD testing for the benefit of his new, exclusive girlfriend, the plaintiff, thus making her identifiable to the defendant. Our analysis in Jarmie did not, however, hinge solely on the issue of foreseeability. We noted that "[a] simple conclusion that the harm to the plaintiff was foreseeable ... cannot by itself mandate a determination that a legal duty exists." (Internal quotation marks omitted.) Id., at 590, 113 A.3d 932 . Considerations of foreseeability must be tempered by the reluctance in Connecticut precedent to extend the duties of health care providers to nonpatient third parties and the weight of public policy considerations, which militate against recognizing a duty in the present case.

Our final consideration in Jarmie was whether public policy considerations favored or disfavored recognition of a duty. In addressing public policy concerns, we considered the purposes of tort compensation and "four specific factors to be considered in determining the extent of a legal duty as a matter of public policy.... (1) the normal expectations of the participants in the activity under review; (2) the public policy of encouraging participation in the activity, while weighing the safety of the participants; (3) the avoidance of increased litigation; and (4) the decisions of other jurisdictions." 4 (Internal quotation marks omitted.) Id., at 603, 50 A.3d 802 .

"[T]he fundamental policy purposes of the tort compensation system [are] compensation of innocent parties, shifting the loss to responsible parties or distributing it among appropriate entities, and deterrence of wrongful conduct .... It is sometimes said that compensation for losses is the primary function of tort law ... [but it] is perhaps more accurate to describe the primary function as one of determining when compensation [is] required.... An equally compelling function of the tort system is the prophylactic factor of preventing future harm .... The courts are concerned not only with compensation of the victim, but with admonition of the wrongdoer.... [I]mposing liability for consequential damages often creates significant risks of affecting conduct in ways that are undesirable as a matter of policy. Before imposing such liability, it is incumbent upon us to consider those risks." (Citations omitted; internal quotation marks omitted.) Id., at 599-600, 50 A.3d 802 .

With regard to the compensation of innocent parties, individuals like the plaintiff in the present case may well be covered by public or private health insurance policies, so it is not necessarily the case that the plaintiff, or others in her position, will be left without compensation. Additionally, as we observed in Jarmie , "to the extent an injured party may not be covered by a ... health insurance policy, the financial cost to victims ... does not necessarily outweigh the impact of the proposed duty on thousands of physician-patient relationships across the state and the potentially high costs associated with increased litigation ...." Id., at 601, 50 A.3d 802 . As for the deterrence of wrongful conduct, if, as the majority concludes, the duty owed to the plaintiff is the same duty owed to the patient-namely, the accurate reporting of STD testing results-then "expanding the liability of health care providers would not reduce the potential for harm because health care providers would be required to do no more than they already must do to fulfill their duty to patients." Id., at 601-602, 50 A.3d 802 . Finally, the same concerns we voiced in Jarmie concerning interference with the physician-patient relationship and an increase in litigation are present in this case, and are discussed more fully subsequently in this dissenting opinion.

I now move to the four specific factors discussed in Jarmie . "Starting with the expectations of the parties, long established common-law principles hold that physicians owe a duty to their patients because of their special relationship, not to third persons with whom they have no relationship. Furthermore, there is no state statute or regulation that imposes a duty on health care providers to warn a patient for the benefit of the public." Id., at 603-604, 50 A.3d 802 . It is unlikely that a person harmed in the manner that this plaintiff was harmed would expect to be compensated by the physician, with whom he or she has no special relationship, in light of the privileged status of the physician-patient relationship and the common-law protections granted to physicians. Consequently, the normal expectations of the parties weigh against recognition of a duty in the present case, as they did in Jarmie .

Turning to the public policy of encouraging participation in the activity under review, recognizing a duty of care under the circumstances of this case "would be inconsistent with the physician's duty of loyalty to the patient, would threaten the inherent confidentiality of the physician-patient relationship and would impermissibly intrude on the physician's professional judgment regarding treatment and care of the patient." Id., at 606, 50 A.3d 802 . Indeed, "[u]nlike most duties, the physician's duty to the patient is explicitly relational: physicians owe a duty of care to patients .... Mindful of this principle, we have recognized on more than one occasion the physician's duty of undivided loyalty to the patient ... and the patient's corresponding loyalty, trust and dependence on the professional opinions and advice of the physician.... Undivided loyalty means that the patient's well-being must be of paramount importance in the mind of the physician. Indeed, this is the foundation for the patient's reciprocal loyalty, trust and dependence on the physician's medical treatment and advice. Consistent with this view, we have stated that, [a]s a matter of public policy ... the law should encourage medical care providers ... to devote their efforts to their patients ... and not be obligated to divert their attention to the possible consequences to [third parties] of medical treatment of the patient.... It is ... the consequences to the patient, and not to other persons, of deviations from the appropriate standard of medical care that should be the central concern of medical practitioners....

"Extending a health care provider's duty also would threaten the confidentiality inherent in the physician-patient relationship because lawsuits alleging a breach of the duty would compel the use of confidential patient records by defending physicians. The principle of confidentiality lies at the heart of the physician-patient relationship and has been recognized by our legislature. General Statutes § 52-146o was enacted in 1990; see Public Acts 1990, No. 90-177; to address the need to protect the confidentiality of communications in order to foster the free exchange of information from patient to physician .... The statute provides that a health care provider shall not disclose patient information in their files without the patient's explicit consent. See General Statutes § 52-146o (a). Thus, when a patient decides to bring a claim against a health care provider, the patient makes a purposeful decision to waive confidentiality.... Subsection (b) (2) of § 52-146o, however, contains an exception whereby patient consent is not required for the disclosure of communications or records by a health care provider against whom a claim has been made. Consequently, if [an injured third party] files an action against the health care provider of [a patient], records containing the patient's medical history will very likely be disclosed in court and subjected to public scrutiny. The effect of expanding the duty of a health care provider in this fashion cannot be underestimated. Physician-patient confidentiality is described as a privilege .... When that confidentiality is diminished to any degree, it necessarily affects the ability of the parties to communicate, which in turn affects the ability of the physician to render proper medical care and advice. Accordingly, it is not in the public interest to extend the duty of health care providers to third persons in the present context because doing so would jeopardize the confidentiality of the physician-patient relationship." 5 (Citations omitted; emphasis altered; footnote omitted; internal quotation marks omitted.) Jarmie v. Troncale , supra, 306 Conn. at 606-609 , 50 A.3d 802 .

Connecticut state law reflects additional patient confidentiality concerns that militate against the recognition of a duty in the present case. State law demonstrates the overarching primacy of patient confidentiality, even in this context of infectious disease. 6 Connecticut has a communicable disease reporting system and a list of specific diseases and conditions that physicians are required to report to public health officials. See Regs., Conn. State Agencies § 19a-36-A2 (requiring Commissioner of Public Health to issue list of reportable diseases); see also Connecticut Department of Public Health, "Reportable Diseases, Emergency Illnesses and Health Conditions, and Reportable Laboratory Findings Changes for 2019," 39 Conn. Epidemiologist 1 (2019) (list of reportable diseases). The reporting is made by physicians to the public health authority, but it is government officials who may act on the information and intervene with any third parties, not the reporting physician. See General Statutes § 19a-215 (d). Put differently, the physician has no statutory duty vis-à-vis any third party beyond merely reporting the disease or condition to the appropriate authority.

Another instructive example of the legislature's concern for confidentiality can be seen in Connecticut's HIV laws, upon which the majority relies for the proposition that physicians' public health obligations may transcend their duties to individual patients, observing that the state "permit[s] physicians to warn, or to disclose confidential patient information for the purpose of warning, a known partner of a patient who has been diagnosed with an HIV infection or related disease." The HIV statute is protective of confidentiality insofar as it does not permit a physician to directly inform a sexual partner about a patient's HIV test results under circumstances similar to this case. See General Statutes § 19a-584 (b) (physician may only directly inform known partner if both partner and patient are under physician's care or if patient has requested it). Although the majority's opinion does not impose a duty to warn on physicians under the circumstances of this case, the overarching emphasis placed on confidentiality by the legislature, including the legislature's decision not to impose further statutory duties on physicians to warn under similar circumstances, coupled with the threat that confidential records may be disclosed in litigation without the patient's consent, suggest that imposition of a duty under the circumstances of this case is incongruous with the legislature's repeated emphasis on patient confidentiality. Put plainly, recognizing a duty under the circumstances of this case endangers participation in the activity under review because it interferes with physicians' duty of loyalty to their patients and threatens the sanctity of physician-patient confidentiality.

Moving to the avoidance of the increased risk of litigation, the Department of Public Health has published STD reporting statistics for 2015 that indicate approximately 13,269 reported cases of Chlamydia, 2,092 reported cases of Gonorrhea, and 99 reported cases of Syphilis that year. Connecticut Department of Public Health, "Chlamydia, Gonorrhea, and Primary and Secondary Syphilis Cases Reported by Town," (2015), available at https://portal.ct.gov/-/media/Departments-and-Agencies/DPH/dph/infectious_diseases/std/Table12015pdf (last visited July 11, 2019). Assuming that each of those individuals was in an exclusive sexual relationship, there would have been 15,460 additional individuals to whom physicians may have owed a duty under the majority's opinion in the present case. This increase in the risk of litigation threatens more than just the pocketbooks of physicians and their insurers;

it threatens patient care. A likely consequence of this expansion of liability is that physicians will be reticent to discuss their patients' romantic relationships or sexual behavior in an attempt to avoid identifying third parties to whom the physician could be liable, despite such an approach not necessarily being in the patient's best interests. This reaction, referred to as "defensive medicine" in medical literature, involves physicians altering treatment and advice as part of an effort to avoid liability, and it is considered to have very negative and costly effects on the provision of health care. See J. Greenberg & J. Green, "Over-testing: Why More Is Not Better," 127 Am. J. Med. 362, 362-63 (2014); M. Mello et al., "National Costs of the Medical Liability System," 29 Health Aff. 1569, 1572 (2010); see also B. Nahed et al., "Malpractice Liability and Defensive Medicine: A National Survey of Neurosurgeons," (2012), p. 4, available at https://www.ncbi.nlm.nih.gov/pmc/articles/PMC3382203/pdf/pone.0039237.pdf (last visited July 11, 2019).

An additional concern is the effect that an expansion of the potential liability of physicians is likely to have on malpractice insurance rates. Connecticut health care professionals cannot obtain a license to practice medicine without showing that they have adequate malpractice insurance. See General Statutes § 20-11b (a). If insurance premiums for physicians increase to an unaffordable level, physicians may leave the practice of medicine or, at the least, stop offering the services that instigate such high premiums. An instructive example of this concern is the early 2000s crisis in the field of obstetrics. "Soaring malpractice insurance costs led to the closings of trauma and maternity wards across the country [and] forced many obstetricians to give up obstetrics, restrict services, deny certain high-risk patients, become consultants, relocate, retire early, or abandon their practices all together." (Footnote omitted.)

S. Domin, " Where Have All the Baby-Doctors Gone? Women's Access to Healthcare in Jeopardy: Obstetrics and the Medical Malpractice Insurance Crisis," 53 Cath. U. L. Rev. 499 , 499-500 (2004). The threat of something similar happening in Connecticut requires that we exercise caution, particularly in an area where the potential consequences are such that the legislature is in a better position to address these concerns than our courts are.

Indeed, this is an issue on which the legislature has previously acted. As we observed in Jarmie , part of the impetus behind the enactment of our medical malpractice statute, § 52-190a, was "to put some measure of control on what was perceived as a crisis in medical malpractice insurance rates." (Internal quotation marks omitted.) Jarmie v. Troncale , supra, 306 Conn. at 591 , 50 A.3d 802 . One such measure of control, the requirement that an opinion letter issued by a similar health care provider be attached to a medical negligence complaint, was suggested by the General Assembly's Legislative Program Review and Investigations Committee after it conducted hearings following a significant increase in medical malpractice insurance rates in the early 2000s. See Legislative Program Review and Investigations Committee, Connecticut General Assembly, Medical Malpractice Insurance Rates (December 2003). Because the majority's opinion recognizes a duty to potentially thousands of new plaintiffs, which is very likely to have an impact on medical malpractice rates, this court should not throw caution to the wind and take such action when the legislature is in a much better position to investigate the issue, and make findings and recommendations on the subject, as it has done in similar circumstances.

Given that the legislature has acted extensively in the areas of both STD reporting and to provide physicians relief from professional liability, I am hesitant to usurp its "primary responsibility for formulating public policy" by recognizing a new duty to third party nonpatients. (Internal quotation marks omitted.) Mayer v. Historic District Commission , 325 Conn. 765 , 780, 160 A.3d 333 (2017). Indeed, in Sic v. Nunan , 307 Conn. 399 , 410, 54 A.3d 553 (2012), this court recognized that primary responsibility for public policy in declining to impose a duty on motorists stopped at an intersection to keep their wheels pointed straight, emphasizing that the legislature had "not seen fit to enact any statutes" in that respect. Thus, I disagree with the majority's decision to adopt a duty in the present case that will expand the pool of potential litigants, increase the risk of litigation, and threaten access to and the quality of patient care in this state-in contravention of legislative action on point.

Finally, turning to decisions of other jurisdictions, I note that there is no clear trend in our sister courts that supports usurping the legislature's responsibility for public policy and creating the duty that the majority recognizes in the present case. To be sure, there is case law that supports the decision of the majority. See Reisner v. Regents of the University of California , 31 Cal. App. 4th 1195 , 1197-201, 37 Cal. Rptr. 2d 518 (1995) (physician owed duty to unknown and unidentifiable sexual partner of patient to warn patient or her parents of patient's HIV positive status), review denied, California Supreme Court, Docket No. S045274 (May 18, 1995); C.W. v. Cooper Health System , 388 N.J. Super. 42 , 58-62, 906 A.2d 440 (App. Div. 2006) (hospital and its physicians owed direct duty to unknown and unidentifiable sexual partner of patient to warn patient of patient's HIV positive status); DiMarco v. Lynch Homes-Chester County, Inc. , 525 Pa. 558 , 563-64, 583 A.2d 422 (1990) (physicians owed duty to sexual partner of patient with hepatitis not to give erroneous advice to patient because class of foreseeable victims included anyone who was intimate with patient); 7 Estate of Amos v. Vanderbilt University , 62 S.W.3d 133 , 138 (Tenn. 2001) (university medical center owed duty to future husband and future daughter of HIV positive patient to warn patient so she might take precautionary measures preventing transmission of HIV because future husband and future daughter were within class of identifiable persons within zone of danger). I find, however, that sister state cases declining to recognize a third party duty for physicians are more consistent with our state's public policy and precedent. See, e.g., Hawkins v. Pizarro , 713 So. 2d 1036 , 1037-38 (Fla. App.) (physician owed no duty to future spouse of patient when physician improperly advised patient she tested negative for hepatitis C ), review denied, 728 So. 2d 202 (Fla. 1998) ; Dehn v. Edgecombe , 384 Md. 606 , 622, 865 A.2d 603 (2005) (physician owed no duty to wife of patient when physician negligently failed to provide patient with minimally acceptable medical care in connection with a vasectomy ); Herrgesell v. Genesee Hospital , 45 App. Div. 3d 1488 , 1490, 846 N.Y.S.2d 523 (2007) (physician owed no duty to daughter of patient when daughter contracted hepatitis B from patient because physician does not owe duty to nonpatient who contracts illness from patient, even if physician knows nonpatient cares for patient or is family member of patient); Candelario v. Teperman , 15 App. Div. 3d 204 , 204-205, 789 N.Y.S.2d 133 (2005) (physician owed no duty to daughter of patient when daughter contracted hepatitis C, even though physician was aware daughter was caring for patient); D'Amico v. Delliquadri , 114 Ohio App. 3d 579 , 581-83, 683 N.E.2d 814 (1996) (physician owed no duty to girlfriend of patient when girlfriend contracted genital warts from patient after defendant cared for and treated patient). Consequently, the decisions of our sister courts demonstrate no clear trend on the broader recognition and extent of physicians' third party duties, let alone the specific duty that the majority recognizes in the present case. 8

Accordingly, I conclude, consistent with Jarmie v. Troncale , supra, 306 Conn. 578 , 50 A.3d 802 , that the defendant did not owe the plaintiff, who was not his patient, a duty of care in the present case. Given the potential ramifications of recognizing such an expanded duty of care, I would leave that potential expansion of liability to the legislature-which is better equipped than this court to make the public policy findings attendant to that expansion of liability. 9 See, e.g., State v. Lockhart , 298 Conn. 537 , 574-75, 4 A.3d 1176 (2010) (declining to require recording of custodial interrogations and deferring to legislature because "it is in a better position to evaluate the competing policy interests at play in developing a recording requirement in that it can invite comment from law enforcement agencies, prosecutors and defense attorneys regarding the relevant policy considerations and the practical challenges of implementing a recording mandate"). Accordingly, I conclude that the trial court properly granted the defendant's motion to strike.

Because I would affirm the judgment of the trial court, I respectfully dissent.

The plaintiff appealed to the Appellate Court from the trial court's judgment, and we transferred the appeal to this court pursuant to General Statutes § 51-199 (c) and Practice Book § 65-1.

We note that the defendant could have filed a request to revise; see Practice Book § 10-35 ; in order to separate out and separately address the plaintiff's medical malpractice and common-law negligence claims, but did not do so.

As we discuss in part II of this opinion, the plaintiff's allegations may fit most neatly under the rubric of negligent misrepresentation. Because neither party has addressed the issue, however, we need not determine whether the allegations in the complaint are legally sufficient to plead a cause of action in negligent misrepresentation under the law of this state.

It is true that there are rare circumstances in which expert testimony may not be necessary to establish that medical malpractice has occurred, such as when a surgeon leaves a surgical implement inside a patient after completing an operation. Such gross negligence may be assessed by a jury without reference to the prevailing standard of professional care. See, e.g., Squeo v. Norwalk Hospital Assn. , 316 Conn. 558 , 580, 113 A.3d 932 (2015). This is not such a case because, among other reasons, the alleged error did not involve a failure on the part of the defendant to exercise that degree of professional skill or judgment that a reasonably prudent health care provider would have exercised under the circumstances.

It is not clear from the complaint whether Smith allegedly told the defendant the plaintiff's actual name or simply indicated that he had an exclusive girlfriend for whose benefit he was seeking STD testing. Our analysis would be the same regardless of whether the plaintiff was actually identified to the defendant by name or merely remained identifiable on the basis of Smith's description of her as his exclusive girlfriend.

The trial court determined, and we agree, that a jury reasonably could find that "it is foreseeable that a sexual partner of a patient who erroneously had been told that he did not suffer from any STDs might contract the STD with all of the health related consequences of such an illness."

We granted permission for the following groups to submit amicus briefs: the Connecticut Trial Lawyers Association, in support of the plaintiff; and the American Medical Association, the Connecticut Hospital Association, and the Connecticut State Medical Society, in support of the defendant.

We emphasize that the question of negligent misrepresentation is not before us, and we express no opinion as to whether Connecticut law recognizes a third-party cause of action in negligent misrepresentation against attorneys, accountants, auditors, or medical professionals. See footnote 3 of this opinion. Our point is simply that the concerns that the defendant and the dissent raise regarding potentially limitless liability are the same concerns that have been raised, and satisfactorily addressed, in various professional contexts across many jurisdictions.

Neither party advocates that we overrule or reconsider Jarmie .

The dissent, while conceding that this remains an open question under Jarmie , fails to note that, in Jarmie , we specifically distinguished cases from other jurisdictions that imposed third-party liability on physicians in the context of failing to warn about communicable diseases. Indeed, aside from one brief footnote, the dissent, which quotes heavily from Jarmie , barely acknowledges that the present case raises a fundamentally different question-the third-party liability of a medical professional with respect to the misreporting of a sexually transmitted disease-than that at issue in Jarmie or any of our previous cases.

As we explain more fully hereinafter, it is beyond cavil that both the law and the medical profession impose broader and different duties on physicians, duties that extend beyond the confines of the physician-patient relationship, with respect to the diagnosis of STDs and other infectious diseases. Of course, it is not unreasonable to take the position, as the dissent has, that, for reasons of public policy, we never should impose on physicians any duties beyond those established by the legislature. We think it would be a mistake, however, for this court to simply conclude that Jarmie disposes of the issue presented in this case without carefully evaluating the fundamentally distinct considerations that characterize the context of communicable diseases.

We recognize that there could be cases in which a dispute arises over whether the plaintiff is in fact the individual who was identifiable as a potential victim prior to the occurrence of negligence-if, for example, the defendant had argued that the plaintiff was not in fact the exclusive girlfriend of whom he was made aware when Smith sought STD testing. Because the defendant has not made that argument in the present case, for present purposes, the identity of the plaintiff as the identifiable victim is not in question. If it were, the question of identity would, of course, be a question of fact for the fact finder.

In Jarmie , we also relied on the fact that the defendant physician had not undertaken any affirmative action that placed the plaintiff at risk. Jarmie v. Troncale , supra, 306 Conn. at 624 , 50 A.3d 802 . In the present case, however, the plaintiff has alleged that the defendant affirmatively informed Smith that he was free of STDs, knowing that she might become intimate with Smith in reliance on that information.

We are not persuaded by the efforts of the dissent to distinguish Squeo . The dissent contends that Squeo is different because the claim in that case sounded in medical malpractice rather than ordinary negligence. See footnote 2 of the dissenting opinion. This argument proves too much.

The entire dissent is predicated on the concern that any recognition that physicians have duties to third parties will compromise the sanctity of the physician-patient relationship, jeopardize the confidentiality of patient records, promote unnecessary defensive medicine, and bring about higher insurance rates and health care costs, driving doctors out of practice and adversely affecting patient care. As we have explained, however; see part I B of this opinion; medical malpractice claims are those that go to the core of the physician-patient relationship: physicians are sued in their capacities as medical professionals, on the basis of the specialized medical care of a patient, involving the exercise of medical judgment. If nonpatient third parties can have standing to prosecute claims of that sort, as Squeo says they can, then, a fortiori, allowing them to bring claims sounding in ordinary negligence need not intrude on the sanctity of the physician-patient relationship. And, if our decision in Squeo has not resulted in the parade of horribles that the dissent invokes (and which are, in essence, the very same horribles that the defendants and certain of the amici in Squeo invoked); see Squeo v. Norwalk Hospital Assn. , supra, 316 Conn. at 575-77, 113 A.3d 932 ; then we can have some reassurance that the alarmist warnings in the present case will be no more prescient.

One sister state court also has recognized a third-party duty to the spouse of a hospital employee who was not informed that he had been exposed to the human immunodeficiency virus (HIV), an STD, in the line of work. See Vallery v. Southern Baptist Hospital , 630 So. 2d 861 , 862, 868-69 (La. App. 1993), cert. denied, 634 So. 2d 860 (La. 1994). But see Doe v. Pharmacia & Upjohn Co. , 388 Md. 407 , 409-10, 879 A.2d 1088 (2005) (company that cultivated and harvested HIV cultures for incorporation into test for HIV antibodies owed no duty of care to spouse of employee who tested positive for HIV following workplace exposure).

Most of the cases on which the dissent relies address unrelated questions, such as whether a physician has a duty to third parties to properly advise a patient as to his or her fertility status or potential to infect caregivers. See, e.g., Dehn v. Edgecombe , 384 Md. 606 , 616, 865 A.2d 603 (2005) ; Candelario v. Teperman , 15 App. Div. 3d 204 , 204-205, 789 N.Y.S.2d 133 (2005). The dissent also relies on Hawkins , which, as we have explained, is wholly consistent with the rule that we announce today. Indeed, the court in Hawkins concluded that a physician's duty to accurately report the results of an STD test does run to identified third parties whose existence is known to the physician and who will foreseeably be infected as a result of the inaccurate report, precisely because the duty is intended in part for the benefit of those parties. See Hawkins v. Pizarro , supra, 713 So. 2d at 1037-38 .

American Bar Association, Recommendation (August 11-12, 2008) p. 2, available at https://www.cdc.gov/std/ept/onehundredsixteena.authcheckdam.pdf (last visited July 5, 2019).

American Bar Association, Recommendation (August 11-12, 2008) p. 2, available at https://www.cdc.gov/std/ept/onehundredsixteena.authcheckdam.pdf (last visited July 5, 2019).

We emphasize that our recognition of a third-party duty in the present case is grounded in the unique characteristics of STDs in general and herpes in particular. Specifically, one-if not the primary-reason that patients seek to be tested for diseases such as herpes is to be able to represent to a potential sexual partner that they are disease free. Accordingly, the dissent's fear that physicians will be liable to third parties for the improper diagnosis of conditions such as chicken pox, influenza, or the measles is unfounded. See footnote 9 of the dissenting opinion.

The dissent's position appears to be that, if the defendant's duty to the plaintiff is no more than the duty he owes to Smith to accurately report the test results, then holding the defendant liable to the plaintiff as well as Smith "would not reduce the potential for harm because health care providers would be required to do no more than they already must do to fulfill their duty to patients." (Internal quotation marks omitted.) Setting aside the fact that increasing a physician's potential liability will presumably increase his or her incentive to avoid negligent errors of the type alleged, the present case is readily distinguishable from Jarmie , from which the dissent draws the quoted language. In the present case, unlike in Jarmie , which involved an automobile accident caused by the defendant physician's patient, Smith himself is unlikely to have any cause of action against the defendant, insofar as there is no indication that he suffered legally cognizable damages. Accordingly, the defendant will face potential liability only to an identifiable third-party victim such as the plaintiff.

We note that "[m]any people in Connecticut are currently without health insurance, usually because they think they [cannot] afford it, are unemployed or are at higher risk due to [preexisting] conditions." Insurance for the Uninsured, available at http://www.cthealthchannel.org/individuals/group-health-insurance/insurance-for-the-uninsured/ (last visited July 5, 2019).

In order to prevent the spread of genital herpes, the CDC recommends that individuals take exactly the precautions taken by the plaintiff in the present case: "The surest way to avoid transmission of STDs, including genital herpes, is to abstain from sexual contact, or to be in a long-term mutually monogamous relationship with a partner who has been tested for STDs and is known to be uninfected ." (Emphasis added.) Centers for Disease Control and Prevention, Genital Herpes-CDC Fact Sheet (Detailed Version), available at https://www.cdc.gov/std/herpes/stdfact-herpesdetailed.htm (last visited July 5, 2019). The Department of Public Health also has recognized that encouraging sexually active individuals to seek regular STD testing is a high public health priority. See Connecticut Department of Public Health, Press Release, Department of Public Health Urges Residents To Be Tested for Sexually Transmitted Diseases (April 28, 2010), available at https://portal.ct.gov/DPH/Press-Room/Press-Releases---2010/April-2010/Department-of-Public-Health-Urges-Residents-To-Be-Tested-for-Sexually-Transmitted-Diseases (last visited July 5, 2019).

We disagree with the dissent that the legally relevant question is whether "a person harmed in the manner that this plaintiff was harmed would expect to be compensated by the physician ...." Clearly, the plaintiff expected there was some reasonable possibility that the defendant would be held accountable, or she would not have brought the present action. Equally clearly, she could not have had a high degree of confidence in a favorable result, as no Connecticut court had previously recognized such a duty. When the issue is, as a question of first impression, whether a previously unrecognized common-law duty should be recognized, it makes little sense (and is circular) for the result to hinge on whether a layperson accurately would predict that an appellate court would rule in her favor. The salient question in this case, rather, is whether a person in the plaintiff's position reasonably would expect that a physician would adopt an STD test result reporting protocol with an eye toward the potentially serious harm that could befall a patient's exclusive sexual partner if a negative result should be erroneously reported.

It may well be that the steady march of technology already has rendered purely academic the trial court's concerns, as many patients now are able to view their test results directly through online electronic portals. See Office of the National Coordinator for Health Information Technology, ONC Data Brief No. 40 (April, 2018) pp. 1, 6, available at https://www.healthit.gov/sites/default/files/page/2018-04/HINTS-2017-Consumer-Data-Brief-april-2018.pdf (last visited July 5, 2019) (stating that, as of 2017, 52 percent of individuals were offered online access to their medical records, and that lab results were most frequently accessed information).

The dissent speculates that recognizing a third-party duty under these circumstances will lead physicians such as the defendant to engage in costly defensive medicine, which could raise the cost of health care. The dissent does not contend, however, that recognizing such a duty will lead to the unnecessary use of expensive medical tests or other modalities typically associated with defensive medicine. Rather, the defensive medicine that a physician may embrace under these circumstances is the avoidance of asking a patient to identify his or her sexual partner or asking whether he or she is seeking STD testing for the purpose of informing future sexual partners of the results.

We think that there is little realistic risk that physicians will alter their standards of care when errors of the sort alleged can be so easily and economically avoided by adopting simple quality control measures and exercising reasonable diligence. In any event, we fail to understand the harm that would result if a physician did not go out of his or her way to specifically identify a patient's sexual partner.

We note that herpes may be transmitted by forms of intimate contact other than intercourse. See, e.g., 1 Harrison's Principles of Internal Medicine (A. Fauci et al. eds., 14th Ed. 1998) p. 1085.

The dissent posits that our decision could have a significant impact on the health care system because more than 15,000 new STDs are diagnosed in Connecticut each year and, if we assume that each newly infected individual was involved in an exclusive sexual relationship, then their more than 15,000 partners all represent potential plaintiffs. This argument falters on many levels.

Not surprisingly, having multiple and/or anonymous sexual partners is among the primary risk factors for contracting STDs. Centers for Disease Control and Prevention, STDs and HIV-CDC Fact Sheet (Detailed Version), available at https://www.cdc.gov/std/hiv/stdfact-std-hiv-detailed.htm (last visited July 5, 2019); see also L. Finer et al., "Sexual Partnership Patterns as a Behavioral Risk Factor for Sexually Transmitted Diseases," 31 Fam. Plan. Persp. 228, 228-30 (1999). By contrast, if an individual is engaged in a truly and mutually monogamous relationship, then he or she is unlikely to contract an STD other than from his or her partner (who would not, in that scenario, be a potential plaintiff in a case such as this). Accordingly, the dissent's assumption that each of the more than 15,000 individuals who contracted an STD in Connecticut in 2015 was involved in an exclusive sexual relationship seems highly implausible. Nor is there any reason to believe that a significant percentage of STD test results are inaccurately reported to the patient.

Moreover, we note that, of the more than 15,000 new cases of selected STDs to which the dissent refers, the vast majority of them consist of chlamydia and, to a lesser extent, gonorrhea ; see Connecticut Department of Public Health, STD Statistics in Connecticut, available at http://www.ct.gov/dph/cwp/view.asp?a=3136&q=388500 (last visited July 5, 2019); diseases that, unlike herpes, are readily treatable with antibiotics. See, e.g., E. Moore, supra, pp. 77, 107-109. Accordingly, even for the fraction of new STD cases that might involve an identifiable victim, in a newly exclusive relationship, who would become infected as a result of an erroneous test report, the vast majority would suffer minimal damages and would be unlikely to go to the trouble of bringing a legal action.

In sum, there is no reasonable basis for concluding that the present case is anything other than a singularity, let alone a harbinger of thousands of future legal actions. For example, there is no indication that other jurisdictions that have allowed such actions to proceed have experienced a spike in medical malpractice rates, and we are aware of no evidence to support the dissent's warning that such an increase is "very likely" in this state.

Both parties have represented that Smith executed authorizations allowing the plaintiff to obtain and use his medical records for purposes of this action.

Moreover, as in all cases, trial courts are free to take reasonable measures in mitigation of any such problems.

Lest there be any confusion, we emphasize that the existence of a third-party duty with respect to the accurate reporting of STD test results does not hinge on whether a patient and a victim remain romantically involved or whether the patient agrees to cooperate in the victim's legal action. Our point is simply that, as in any legal action, the fact that a particular claim may be difficult to prove from an evidentiary standpoint does not imply that the claim itself is not legally cognizable.

I agree with the majority's observation in footnote 3 of its opinion that "the plaintiff's allegations may fit most neatly under the rubric of negligent misrepresentation. Because neither party has addressed the issue, however, we need not determine whether the allegations in the complaint are legally sufficient to plead a cause of action in negligent misrepresentation under the law of this state." I nevertheless respectfully disagree with part II B 1 of its opinion, in which the majority discusses principles of negligent misrepresentation at length in combining them with other tort law principles, in order to create a duty of care that we have not previously recognized in this state. Because I do not agree that principles of negligent misrepresentation support recognizing a direct duty of care owed by physicians to nonpatients, I respectfully disagree with this portion of part II B 1 of the majority's opinion.

The majority relies on Squeo v. Norwalk Hospital Assn. , 316 Conn. 558 , 113 A.3d 932 (2015), to bolster its argument that Connecticut precedent is "unsettled with respect to the particular question presented here." That case is, however, distinguishable. In Squeo , a case involving a bystander emotional distress claim and medical malpractice, and not ordinary negligence, we only cited to Jarmie to note that our rejection of a bar on a cause of action for bystander emotional distress in the context of medical malpractice was consistent with our rejection of a per se rule barring third-party tort claims in the absence of a physician-patient relationship. Squeo v. Norwalk Hospital Assn. , supra, at 573-74, 113 A.3d 932 . Squeo does not disturb our assessment of Connecticut precedent in Jarmie that this court is reluctant to extend the duties of medical professionals to nonpatient third parties. See id., at 580-81, 113 A.3d 932 (concluding that "bystander to medical malpractice may recover for the severe emotional distress that he or she suffers as a direct result of contemporaneously observing gross professional negligence such that the bystander is aware, at the time, not only that the defendant's conduct is improper but also that it will likely result in the death of or serious injury to the primary victim").

Further, the majority's reliance on Squeo illustrates a problem with the majority's efforts to limit this case to the precise circumstances presented. The majority effectively uses Squeo as evidence that we have already stepped through the door left open in Jarmie , and, "if our decision in Squeo has not resulted in the parade of horribles that the dissent invokes ... then we can have some reassurance that the alarmist warnings in the present case will be no more prescient." As I argue subsequently in this dissenting opinion, the public policy concerns implicated in the context of STDs apply with equal or greater force to any number of different infectious diseases, a contention the majority disputes. Just as the majority relies on Squeo to support an expansion of liability under the circumstances of the present case, this court may subsequently rely on today's decision as a precedent to support further expansions of liability in other contexts. Because I find the majority's efforts to distinguish STDs from other infectious diseases in the context of the present case unavailing, I see it as unlikely that, in the future, the Connecticut Bar or even the courts of this state will view the precedential value of today's decision as limited to STDs.

I disagree with the majority's observation that, despite quoting "heavily" from Jarmie , I "barely [acknowledge]" that the present case raises a different question than the one at issue in Jarmie . I believe my agreement with the majority's observation that Jarmie left open the possibility that a duty may exist in a case where the victim is identifiable is acknowledgment enough that this case cannot be simply disposed of under Jarmie .

The majority further states that "it would be a mistake ... to simply conclude that Jarmie disposes of the issue presented in this case without carefully evaluating the fundamentally distinct considerations that characterize the context of communicable diseases." I take no issue with that statement. In fact, the standard articulated by Jarmie requires evaluation of policy considerations. The majority and I have each evaluated the policy considerations, and conclude differently as to whether they militate in favor of or in opposition to recognition of a duty in this case. In essence, the majority believes certain policy concerns are so strong that this court should walk through the door left open in Jarmie . I, however, would stop at the threshold of that doorway.

I further emphasize that the majority misunderstands this dissent as standing for my belief "that, for reasons of public policy, we never should impose on physicians any duties beyond those established by the legislature." (Emphasis added.) Instead, I take the position that, when, as in the present case, our court is so deeply divided as to whether public policy concerns support recognition of a legal duty, and when the implications of such recognition of a duty may be so vast, the legislature is in a far better position to make such a determination given its institutional advantages with respect to considering and receiving evidence as to matters of public policy. See, e.g., Cefaratti v. Aranow , 321 Conn. 593 , 632-33, 141 A.3d 752 (2016) ( Zarella, J. , dissenting) (observing that, in deciding whether doctrine of apparent authority or apparent agency should be available to tort plaintiffs, "[i]t is not the role of this court to strike precise balances among the fluctuating interests of competing private groups ... such as, on the one hand, people who are similarly situated to the plaintiff ... and, on the other hand, hospitals and other health-care institutions," and noting that this "function has traditionally been performed by the legislature, which has far greater competence and flexibility to deal with the myriad complications [that] may arise from the assignment of liability" [citation omitted; internal quotation marks omitted] ); Campos v. Coleman , 319 Conn. 36 , 65-66, 123 A.3d 854 (2015) ( Zarella, J. , dissenting) ("[T]his court has the authority to change the common law to conform to the times. In a society of ever increasing interdependence and complexity, however, it is an authority this court should exercise only sparingly.... [T]he legislature, unlike this court, is institutionally equipped to gather all of the necessary facts to determine whether a claim for loss of parental consortium should be permitted and, if it should, how far it should extend. The legislature can hold public hearings, collect data unconstrained by concerns of relevancy and probative value, listen to evidence from a variety of experts, and elicit input from industry and society in general. Further, elected legislators, unlike the members of this court, can be held directly accountable for their policy decisions." [Citation omitted; emphasis in original; footnote omitted.] ); Doe v. Hartford Roman Catholic Diocesan Corp. , 317 Conn. 357 , 439, 119 A.3d 462 (2015) ("balancing of interests that are accommodated by statutes of limitations" is "factual [matter] within the legislative purview"); State v. Lockhart , 298 Conn. 537 , 574, 4 A.3d 1176 (2010) (observing that "determining ... parameters" of state constitutional rule requiring recording of custodial interrogations "requires weighing competing public policies and evaluating a wide variety of possible rules" and noting that "such determinations are often made by a legislative body because it is in a better position to evaluate the competing policy interests at play").

Before addressing the precedents of other jurisdictions and public policy considerations, the majority states that, "[i]n Jarmie , after we concluded that Connecticut precedent did not bar the imposition of the duty at issue, we proceeded to look to sister state authority and also to consider whether various policy factors favored the imposition of such a duty." Although I agree that Connecticut precedent did not per se bar the imposition of such a duty, I emphasize that this court left little doubt in Jarmie as to how Connecticut precedent viewed the imposition of similar duties on health care providers. As noted previously, this court explicitly concluded that, "although there is no directly comparable Connecticut case law on which to rely, our precedent, in general, does not support extending the duty of care ... because, with one limited exception that does not apply ... we repeatedly have declined, in a variety of situations, to extend the duty of health care providers to persons who are not their patients." Jarmie v. Troncale , supra, 306 Conn. at 593 , 50 A.3d 802 .

The majority contends, however, that such confidentiality concerns may be present in other cases, but do not exist in a case like this, in which a plaintiff will ostensibly have full access to the pertinent medical records via the patient, her exclusive romantic partner. But this reasoning would further limit the majority's holding to the alleged facts of this case, meaning that in a nearly identical future scenario, in which all that is different from the present case is that the patient is uncooperative with the plaintiff's action with regard to the disclosure of medical records-such as might happen if the relationship dissolved-there might be no recognition of a duty. I am aware of no Connecticut case law suggesting that our recognition of a duty of care should turn on the alleged willingness of a nonparty patient to have his or her medical records made available in a nonpatient's action sounding in ordinary negligence. Consequently, I respectfully find the majority's response to confidentiality concerns-that such concerns may be present in other cases, but do not exist in the present case-unconvincing.

I note that in its discussion of public policy concerns, the majority focuses a great deal of attention on public health concerns, namely, the diagnosis and treatment of infectious diseases. The majority suggests that in the context of such diseases, "a physician's duties and loyalties necessarily must be divided between the patient and other people whom the patient may infect," and "the principle that a physician's duty to protect the broader public health and to help to deter the spread of contagious diseases at times transcends the physician's duty to his or her individual patient has long been codified in federal and state law."

The dissenting justice in DiMarco observed that "the dangers of adopting a negligence concept of duty analyzed in terms of scope of the risk or foreseeability are considerable and are to be avoided. These dangers include ... the prospect of inducing professionals to narrow their inquiries into the client or patient situation, to the detriment of the client or patient, so as to avoid possible liability toward third parties which might come from knowing 'too much.' " (Footnote omitted.) DiMarco v. Lynch Homes-Chester County, Inc. , supra, 525 Pa. at 565-66 , 583 A.2d 422 (Flaherty, J., dissenting).

The majority attempts to distinguish these cases as not analogous enough to the precise circumstances of the present case, leaving the majority with a handful of cases it deems worthy of consideration. Even if I were to agree with the majority's winnowing of the list of cases we should consider to be relevant, I would hardly call a four to one majority in favor of the majority's position a convincing consensus among our sister courts, especially when so few courts have weighed in on the precise question presented.

Finally, even if I were to agree with the majority's recognition of a direct duty of care on the facts of the present case, which I respectfully do not, the future ramifications of the majority's opinion would nevertheless give me pause. Although the majority repeatedly cautions that its holding is limited and narrow, I nevertheless find this contention troubling because its implications portend just the opposite result. First, although the majority states that its decision is limited strictly to cases involving the diagnosis of STDs, the public policy concerns discussed therein apply with equal or even greater force to any number of different infectious diseases, such as chickenpox, influenza, and measles. It is likely that in cases with identifiable nonpatient third parties, the majority's opinion in this case will be held up as a logically convincing precedent to further extend the potential liability of health care providers. Second, the majority's foreseeability analysis is inherently subjective. What if the physician has awareness of a romantic partner's existence independent of knowledge obtained from the patient, such as through a social relationship? There is little reason why this court's logic would not counsel in favor of recognizing a duty in such a case, concerns of which would be exacerbated should the majority's decision be extended beyond STDs to other infectious diseases, such as influenza. Put differently, the majority's opinion sets a precedent that will easily open the floodgates to a great expansion of potential third party liability for health care providers.

4.2.2 Particularizing the Reasonable Person 4.2.2 Particularizing the Reasonable Person

4.2.2.1 Children 4.2.2.1 Children

4.2.2.1.1 Restatement Second, Section 283A, on the negligence standard for children 4.2.2.1.1 Restatement Second, Section 283A, on the negligence standard for children

  • If the actor is a child, the standard of conduct to which he must conform to avoid being negligent is that of a reasonable person of like age, intelligence, and experience under like circumstances.
See Reporter's Notes.
Comment:
a. Children. A child is a person of such immature years as to be incapable of exercising the judgment, intelligence, knowledge, experience, and prudence demanded by the standard of the reasonable man applicable to adults. The rule stated in this Section is commonly applied to children of tender years. In practice, it has seldom been applied to anyone over the age of sixteen, although situations may possibly arise where the rule might be applicable to persons above that age, and no definite line can be drawn. An analogy may be suggested to the rule stated in § 339 as to the immaturity and lack of judgment of children trespassing upon land. See the Comments to that Section.
Most of the cases which have applied the rule stated in this Section have involved the contributory negligence of children, where the reason for special protection of them is readily apparent; but the rule is equally applicable to child defendants.
b. Special standard for children. The special standard to be applied in the case of children arises out of the public interest in their welfare and protection, together with the fact that there is a wide basis of community experience upon which it is possible, as a practical matter, to determine what is to be expected of them.
A child of tender years is not required to conform to the standard of behavior which it is reasonable to expect of an adult. His conduct is to be judged by the standard of behavior to be expected of a child of like age, intelligence, and experience. A child may be so young as to be manifestly and utterly incapable of exercising any of those qualities of attention, perception, knowledge, experience, intelligence, and judgment which are necessary to enable him to perceive a risk and to realize its unreasonable character. On the other hand, it is obvious that a minor who has not yet attained his majority may be quite as capable as an adult of exercising such qualities. Some courts have endeavored to lay down fixed rules as to a minimum age below which the child is incapable of being negligent, and a maximum age above which he is to be treated like an adult. Usually these rules have been derived from the old rules of the criminal law, by which a child under the age of seven was considered incapable of crime, and one over fourteen was considered to be as capable as an adult. The prevailing view is that in tort cases no such arbitrary limits can be fixed. Undoubtedly there is a minimum age, probably somewhere in the vicinity of four years, below which negligence can never be found; but with the great variation in the capacities of children and the situations which may arise, it cannot be fixed definitely for all cases.
Between the two extremes there are children whose capacities are infinitely various. The standard of conduct required of the child is that which it is reasonable to expect of children of like age, intelligence, and experience. “Intelligence” includes other mental capacities, but does not include judgment, which is an exercise of capacity rather than the capacity itself. The fact that the child is mentally retarded, or that he is unusually bright for his years, is to be taken into account; but once such account is taken, the child is still required to exercise the judgment of a reasonable person of that intelligence. Likewise to be taken into account are the circumstances under which the child has lived, and his experience in encountering particular hazards, or the education he has received concerning them. If the child is of sufficient age, intelligence, and experience to understand the risks of a given situation, he is required to exercise such prudence in protecting himself, and such caution for the safety of others, as is common to children similarly qualified.
It is impossible to lay down definite rules as to whether any child, or any class of children, should be able to appreciate and cope with the dangers of many situations. A child of ten may in one situation have sufficient capacity to appreciate the risk involved in his conduct, and to realize its unreasonable character, but in another situation he may lack the necessary mental capacity or experience to do so; and in the case of another child of ten of different mental capacity or experience a different conclusion may be reached in the same situation.

Restatement (Second) of Torts § 283A (1965)

4.2.2.1.2 Restatement Third, Section 10, on the negligence standard of children 4.2.2.1.2 Restatement Third, Section 10, on the negligence standard of children

  • (a) A child's conduct is negligent if it does not conform to that of a reasonably careful person of the same age, intelligence, and experience, except as provided in Subsection (b) or (c).
  • (b) A child less than five years of age is incapable of negligence.
  • (c) The special rule in Subsection (a) does not apply when the child is engaging in a dangerous activity that is characteristically undertaken by adults.

Restatement (Third) of Torts: Phys. & Emot. Harm § 10 (2010)

4.2.2.1.3 Dunn v. Teti ("The Swinging Stick Case") 4.2.2.1.3 Dunn v. Teti ("The Swinging Stick Case")

Does this court follow the second restatement? What does the dissent say?

421 A.2d 782

Vincent DUNN, a minor, by his parents and natural guardians, Edwin A. Dunn and Jacqueline Dunn, and by Edwin A. Dunn and Jacqueline Dunn, his wife, in their own right, Appellants, v. David TETI, a minor, by his parents and natural guardians, Ronald R. Teti and Margo Teti.

Superior Court of Pennsylvania.

Argued Nov. 12, 1979.

Filed Aug. 22, 1980.

Petitions for Allowance of Appeal Denied Dec. 18, 1980 and Feb. 3, 1981.

*401Robert D. Barozzini, Pittsburgh, for appellants.

Paul R. Marks, Pittsburgh, for appellees.

Before PRICE, CAVANAUGH and WATKINS, JJ.

PRICE, Judge:

Appellants take this appeal from an order of the court of common pleas en banc granting appellees’ motion for summary judgment. The complaint alleged a cause of action in trespass for injuries to the minor-plaintiff, six years and two weeks old at the time of the accident, caused by the negligent swinging of a wooden stick by the minor-defendant, five years and seven months old at the time. The court granted summary judgment on the ground that the minor-defendant was under the age of seven years and, therefore, conclusively presumed incapable of negligence. Appellants contend that a minor of over five years of age is capable of actionable negligence and that this case should have proceeded to trial to allow a jury to apply the appropriate standard of care and decide the issue of negligence. We disagree and affirm the court of common pleas.

On a motion for summary judgment filed pursuant to Pa.R.C.P. No. 1035, the court must accept as true all well-pleaded facts and consider any admissions of record, First Pennsylvania Bank v. Triester, 251 Pa.Super. 372, 380 *402A.2d 826 (1977), resolving against the moving party any doubts as to the existence of a genuine issue of material fact. Lehigh Electric Products Co. v. Pennsylvania National Mutual Casualty Insurance Co., 257 Pa.Super. 198, 390 A.2d 781 (1978); Carollo v. Forty-Eight Insulation, Inc., 252 Pa.Super. 422, 381 A.2d 990 (1977). We are also mindful that summary judgment may only be granted in the clearest of cases. Matson v. Parking Service Corp., 242 Pa.Super. 125, 363 A.2d 1192 (1976); Granthum v. Textile Machine Works, 230 Pa.Super. 199, 326 A.2d 449 (1974).

[4—6] The issue with which we are confronted in this case is the minimum age below which a child is incapable of acting negligently because he lacks the attention, intelligence and judgment necessary to enable him to perceive risk and recognize its unreasonable character. The obligation to use reasonable care extends to both adults and minors, but the standard against which the acts of a child are measured to determine if they constitute negligent conduct varies from that employed for adults. When measuring the conduct of children, courts depart from the well-known objective test of the care of a reasonable and prudent man, the test generally utilized to judge adult behavior, Gift v. Palmer, 392 Pa. 628, 141 A.2d 408 (1958); Aquadro v. CrandallMcKenzie and Henderson, Inc., 182 Pa.Super. 435, 128 A.2d 147 (1956), and make allowance for immaturity. A child is held to that measure of care that other minors of like age, experience, capacity and development would ordinarily exercise under similar circumstances. Kuhns v. Brugger, 390 Pa. 331, 135 A.2d 395 (1957); Koenig v. Flaherty, 383 Pa. 187, 117 A.2d 719 (1955).

The application of this standard is clarified by the use of several presumptions delineating convenient points to aid in drawing the uncertain line between capacity to appreciate and guard against danger and incapacity: (1) minors under the age of seven years are conclusively presumed incapable of negligence; (2) minors between, the ages of seven and fourteen years are presumed incapable of negligence, but the presumption is a rebuttable one that weakens as the *403fourteenth year is approached; (3) minors over the age of fourteen years are presumptively capable of negligence, with the burden placed on the minor to prove incapacity. Kuhns v. Brugger, supra. These presumptions were arrived at by analogy to the common-law rule of responsibility for committing crimes, see Commonwealth v. Green, 396 Pa. 137, 151 A.2d 241 (1959); Commonwealth v. Bowes, 166 Pa.Super. 625, 74 A.2d 795 (1950), and were initially applied to measure a child’s responsibility for contributory negligence. Parker v. Washington Electric Street Railway Co., 207 Pa. 438, 56 A. 1001 (1904). See Masters v. Alexander, 424 Pa. 65, 225 A.2d 905 (1967); Smith v. Waldman, 193 Pa.Super. 166, 164 A.2d 20 (1960). From the cases in which contributory negligence was in issue, our supreme court in Kuhns v. Brugger, supra, deduced the standard of care to be applied in negligence cases in which liability is sought to be imposed upon a minor.

Appellants argue that since the court in Kuhns relied upon cases in which contributory negligence was in issue rather than actionable negligence, it should be limited to its facts, which involved a twelve-year-old child. They contend that the language in Kuhns concerning application of a conclusive presumption of incapability of negligence to those under the age of seven years is dictum that should be bypassed in favor of a flexible determination by the jury of the minor-defendant’s ability to appreciate danger, taking into account the differing facts of each case. While we acknowledge that the facts of Kuhns are not entirely similar to the instant case, we find its principles controlling.

Failure to apply the age presumptions set forth in Kuhns to allegedly negligent minor defendants would result in treating a child’s conduct differently when his own liability is in question as opposed to when he seeks to recover from another but has allegedly been contributorily negligent. Utilization of the presumptions solely in the latter circumstance, in which their application is long recognized and soundly established, would result in holding a child less responsible for his acts when he is a plaintiff than when he *404is a defendant. Although arguments have been advanced in favor of such a result, we do not find them persuasive.

The first of two such arguments is that contributory negligence usually involves a child’s comprehension of the acts or neglect of people around him, and it takes greater maturity and judgment to comprehend and avoid danger created by others than to avoid danger created by one’s own acts. See Zuckerbrod v. Burch, 88 N.J.Super. 1, 210 A.2d 425 (1965). This argument is completely speculative in nature. It is just as easily argued (and just as speculative), that greater maturity and more sophisticated judgment is required for a child to recognize that another will be harmed by his conduct than for a child to develop the ability to recognize danger to himself from another’s conduct because the latter ability derives from an instinct for self preservation, which is developed at an early age. See 67 A.L.R.2d 570, 576 n.17 (1959). The critical point is that the condition of immaturity is equally applicable to the acts of the child regardless of whether he is labeled plaintiff or defendant, and in either case the same standard should be applied. See W. Prosser, The Law of Torts § 51 (2d ed. 1955) (adult plaintiff required to conform to same standard of conduct as used to determine negligence).

The second argument is that a strong public policy exists to protect children from losses due to their own immaturity despite their contributory negligence, especially against an admittedly negligent adult defendant. See Zuckerbrod v. Burch, supra; H. Shulman, “The Standard of Care Required of Children," 37 Yale L.J. 618, 619 (1928). We note, however, that in conjunction with the recognition of immaturity, we must also recognize that the capacity to understand and appreciate the consequences of acts develops gradually with the acquisition of age and experience. The conclusive presumption that a child was incapable of contributory negligence until he reached the age of seven years developed out of the need for a practical and simple rule to achieve expediency in the determination of capacity. This need is equally apparent in cases of actionable negligence.

*405“The law fixes no arbitrary period when the immunity of childhood ceases and the responsibilities of life begin .... At what age then must an infant’s responsibility for negligence be presumed to commence? This question cannot be answered by referring it to the jury. That would furnish us with no rule whatever. It would give us a mere shifting standard, affected by the sympathies or prejudices of the jury in each particular case.... It is a question of law for the court.” Nagle v. Allegheny Valley Railroad Co., 88 Pa. 35, 39 (1878).

Recognizing the application to children less than seven years of age of the conclusive presumption of incapability of negligence and finding the essential facts not in dispute, we determine that upon their own showing, appellants were not entitled to relief. The court of common pleas properly granted summary judgment.

Order affirmed.

CAVANAUGH, J., files a dissenting opinion.

CAVANAUGH, Judge,

dissenting:

I disagree with the Majority’s extension of Kuhns v. Brugger, 390 Pa. 331, 135 A.2d 395 (1957), to the facts of this case. When determining whether a child is capable of acting negligently, the standard to be applied is that of a reasonable person of like age, intelligence and experience under the circumstances. Restatement of Torts (Second) § 283A. This standard, unlike the Majority’s conclusive presumption, adequately takes into account the differing capacities of children of the same age to appreciate and cope with the dangers of a given situation.

Although a conclusive presumption of inability to act negligently may be appropriate where the defendant is a child of three or four years, such a presumption is not appropriate here. The child in this case is five years and seven months old. The complaint alleged that the defendant-child caused an injury to the plaintiff by swinging a wooden stick. Considering this, a jury should be given the *406opportunity to determine whether such an action, taking into account the child’s age, intelligence and experience, was negligent.

Because the issue of negligence should have been submitted to the jury with instructions as to the child’s appropriate standard of care, I dissent.

4.2.2.1.4 Exception: When are children held to an adult standard of care? 4.2.2.1.4 Exception: When are children held to an adult standard of care?

Courts agree that children may sometimes be held to an adult standard of care? But when? In addition to the third restatement language, there are two popular doctrines about when a child may be held to the ordinary, adult standard of reasonable care.

When engaged in adult activities, or in those activities that only adults engage in.

To give legal sanction to the operation of automobiles by teen-agers with less than ordinary care for the safety of others is impractical today, to say the least. We may take judicial notice of the hazards of automobile traffic, the frequency of accidents, the often catastrophic results of accidents, and the fact that immature individuals are no less prone to accidents than adults. While minors are entitled to be judged by standards commensurate with age, experience, and wisdom when engaged in activities appropriate to their age, experience, and wisdom, it would be unfair to the public to permit a minor in the operation of a motor vehicle to observe any other standards of care and conduct than those expected of all others. A person observing children at play with toys, throwing balls, operating tricycles or velocipedes, or engaged in other childhood activities may anticipate conduct that does not reach an adult standard of care or prudence.14 However, one cannot know whether the operator of an approaching automobile, airplane, or powerboat is a minor or an adult, and usually cannot protect himself against youthful imprudence even if warned. Accordingly, we hold that in the operation of an automobile, airplane, or powerboat, a minor is to be held to the same standard of care as an adult.
Undoubtedly there are problems attendant upon such a view. However, there are problems in any rule that may be adopted applicable *459 to this matter. They will have to be solved as they may present themselves in the setting of future cases. The latest tentative revision of the Restatement of Torts proposes an even broader rule that would hold a child to adult standards whenever he engages ‘in an activity which is normally undertaken only by adults, and for which adult qualifications are required.'15 However, it is unnecessary to this case to adopt a rule in such broad from, and, therefore, we expressly leave open the question whether or not that rule should be adopted in this state. For the present it is sufficient to say that no reasonable grounds for differentiating between automobiles, airplanes, and powerboats appears, and that a rule requiring a single standard of care in **864 the operation of such vehicles, regardless of the age of the operator, appears to us to be required by the circumstances of contemporary life.
Dellwo v. Pearson, 259 Minn. 452, 458–59, 107 N.W.2d 859, 863–64 (1961)
Or when engaged in a dangerous activity. 
Courts in other jurisdictions have created an exception *413 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 (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 **394 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, 64 (1966).
Robinson v. Lindsay, 92 Wash. 2d 410, 412–13, 598 P.2d 392, 393–94 (1979)

4.2.2.2 Those With Special Knowledge 4.2.2.2 Those With Special Knowledge

4.2.2.2.1 Heath v. Swift Wings, Inc. ("The Controlled Landing Case") 4.2.2.2.1 Heath v. Swift Wings, Inc. ("The Controlled Landing Case")

Why was a new trial required in this case? Is the reason that the reasonable person standard is not adequate in this 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.

MORRIS, Chief Judge.

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.

4.2.2.3 Emergency 4.2.2.3 Emergency

4.2.2.3.1 Myhaver v. Knutson ("The Emergency Swerve Case") 4.2.2.3.1 Myhaver v. Knutson ("The Emergency Swerve Case")

What is the sudden emergency doctrine/instruction? When does this court think it should be given (look for the elements), and what are the risks of giving it?

942 P.2d 445

Bruce P. MYHAVER and Barbara A. Myhaver, husband and wife, Plaintiffs/Appellants/Cross-Appellees. v. Elmo G. KNUTSON and Lois Knutson, husband and wife, Defendants/Ap-pellees/Cross-Appellants.

No. CV-96-0400-PR.

Supreme Court of Arizona, En Banc.

July 15, 1997.

David Brnilovich, and Treon, Strick, Lucia & Aguirre, P.A. by Arthur G. Newman, Jr., Pheonix, for Plaintiffs/Appellants/Cross-Ap-pellees.

Steven J. Wells & Associates by Edwin R. Roberts William F. Begley, Tempe, for Defendants/Appellees/Cross-Appellants.

Bury, Moeller, Humphrey & O’Meara by Andrew J. Petersen, Tucson, for Amicus Curiae Arizona Association of Defense Counsel.

*287OPINION

FELDMAN, Justice.

Plaintiffs Bruce and Barbara Myhaver sought review of a court of appeals’ decision holding that the “sudden emergency” instruction was properly given in a case arising out of an automobile collision. See Myhaver v. Knutson, No. 2 CA-CV 95-0279 (Ariz.Ct. App. May 21,1996) (Memorandum Decision). We granted review to determine whether a sudden emergency instruction is ever appropriate under the principles espoused in Ro-sen v. Knaub, 175 Ariz. 329, 857 P.2d 381 (1993) (disapproving the “sudden appearance” instruction), and Petefish v. Dawe, 137 Ariz. 570, 672 P.2d 914 (1983). We have jurisdiction pursuant to Ariz. Const, art. 6, § 5(3), Ariz.R.Civ.App.P. 23, and A.R.S. § 12-120.24.

FACTS AND PROCEDURAL HISTORY

In November 1990, Elmo Knutson was driving north on 43rd Avenue near Bell Road in Phoenix when Theresa Magnusson entered 43rd Avenue from a shopping center driveway and headed south in Knutson’s lane. Seeing Magnusson’s car in his lane, Knutson accelerated and swerved left, avoiding what he perceived to be an impending head-on collision. In doing this, he crossed the double yellow line into oncoming traffic and collided with Bruce Myhaver’s pickup. Mag-nusson continued south not realizing she was involved. A police officer who saw the accident stopped her a short distance away and asked her to return to the scene.

Myhaver was seriously injured as a result of the collision and brought a damage action against both Knutson and Magnusson. Mag-nusson settled and was named as a non-party at fault, and the Myhavers proceeded to trial against Knutson.

Prior to trial, the Myhavers moved for partial summary judgment, questioning the viability of the sudden emergency instruction. The parties submitted memoranda on the effect of the then-recently decided Rosen case. Following oral argument, the judge acknowledged that Rosen cast doubt on the propriety of the sudden emergency instruction but denied the Myhavers’ motion, noting that Petefish had never been overruled.

At trial, a different judge ruled that the instruction was appropriate under the facts and instructed the jury as follows:

In determining whether a person acted with reasonable care under the circumstances, you may consider whether such conduct was affected by an emergency.
An “emergency” is defined as a sudden and unexpected encounter with a danger which is either real or reasonably seems to be real. If a person, without negligence on his or her part, encountered such an emergency and acted reasonably to avoid harm to self or others, you may find that the person was not negligent. This is so even though, in hindsight, you feel that under normal conditions some other or better course of conduct could and should have been followed.

RAJI (Civil) 2d Negligence 6.

The jury found Knutson not liable. On appeal, the Myhavers argued that the sudden emergency doctrine is inconsistent with Arizona’s adoption of comparative negligence and should thus be abandoned. Alternatively, they urged that the trial judge erred in giving the instruction under the facts of the case and that it constituted an impermissible comment on the evidence, violating Ariz. Const, art. 6, § 27.

The court of appeals observed that although the sudden appearance instruction was disapproved in Rosen, use of the sudden emergency instruction had never been disapproved or overruled. In addition, the court noted that Petefish not only approved the instruction but distinguished sudden emergency from sudden appearance. Petefish, 137 Ariz. at 573 n. 1, 672 P.2d at 917 n. 1. The court of appeals therefore concluded the instruction was properly given. The court stated further that even if it had been improper, there was no prejudice because the instruction given contemplated the possibility of Knutson’s antecedent negligence and the Myhavers were free to argue that possibility.

*288We granted review to consider the propriety of giving the instruction in this or any case.1

DISCUSSION

A. The sudden emergency doctrine

The Restatement (Second) of Torts § 296 (1965), discusses “emergency” as follows:

(1) In determining whether conduct is negligent toward another, the fact that the actor is confronted with a sudden emergency which requires rapid decision is a factor in determining the reasonable character of his choice of action.
(2) The fact that the actor is not negligent after the emergency has arisen does not preclude his liability for his tortious conduct which had produced the emergency.

Thus, the sudden emergency instruction tells the jury that in the absence of antecedent negligence, a person confronted with a sudden emergency that deprives him of time to contemplate the best reaction cannot be held to the same standard of care and accuracy of choice as one who has time to deliberate. See Jeffrey F. Ghent, Annotation, Modem Status of Sudden Emergency Doctrine, 10 A.L.R.5th 680, 687 (1993). Criticism of this doctrine has focused on its ability to confuse a jury as to (1) whether the reasonable person standard of care, or some lower standard, applies in an emergency; and (2) how it affects the application of comparative negligence principles.2 Id. The annotation’s author notes that a few jurisdictions have abolished sudden emergency instructions, either generally or just in automobile accident cases, while others have discouraged their use, sometimes placing specific restrictions on which cases are appropriate for their use. Id. at 688. However, several jurisdictions still explicitly retain the sudden emergency doctrine, either generally or with the qualification that sudden emergency instructions are allowed but not required. Id. at 695.

Consideration of a sudden emergency is, of course, not a separate doctrine but only a part of the determination of what is reasonable care under the circumstances.

The law does not require of the actor more than it is reasonable to expect of him under the circumstances which surround him. Therefore, the court and jury in determining the propriety of the actor’s conduct must take into account the fact that he is in a position where he must make a speedy decision between alternative courses of action and that, therefore, he has no time to make an accurate forecast as to the effect of his choice. The mere fact that his choice is unfortunate does not make it improper even though it is one which the actor should not have made had he had sufficient time to consider all the effects likely to follow his action.

Restatement (Second) of Torts § 296 cmt. b.

Commentators on Arizona’s negligence law have described the problem and the present state of our law as follows:

Conceptually, the emergency doctrine is not an independent rule. It is merely an application of the general standard of reasonable care; the emergency is simply one of the circumstances faced. Arguably, giving a separate instruction on sudden emergency focuses the jury’s attention unduly on that aspect of a case. The Arizona Supreme Court has expressly declined to decide the question of the propriety of a separate emergency instruction.

Jefferson L. Lankford & Douglas A. Blaze, The Law of Negligence in Arizona § 3.5(1), *289at 43 (1992) (citing Petefish, 137 Ariz. at 575[n. 2], 672 P.2d at 919[n. 2] ).3

The question we declined to reach in Petefish is squarely before us in this case. Petefish was a passenger in Dawe’s truck. Dawe was following a car around a curve when he was suddenly blinded by what he believed to be the ear’s headlights coming back on the wrong side of the road. He applied his brakes and turned his steering wheel sharply to the right to avoid the perceived head-on collision. As a result, the truck ran off the road and rolled.

In Petefish’s subsequent damage action, Dawe claimed he was forced to run off the road to avoid the perceived emergency, arguing that his evasive actions were therefore appropriate and reasonable. Instructed on the sudden emergency doctrine, the jury returned a verdict in favor of Dawe. On Petefish’s appeal, we recognized that a sudden emergency is simply a factor to “be considered in determining what is reasonable care under the circumstances. The law recognizes ‘the impulses of humanity when placed in dangerous positions, and does not expect thoughtful care from the persons whose lives are thus endangered.’ ” 137 Ariz. at 575, 672 P.2d at 919 (citations omitted). However, even in an emergency the “conduct required is still that of a reasonable person under the circumstances. The emergency is merely a circumstance to be considered in assessing the actor’s conduct.” Id. The instruction is applicable only when the actor either faced or reasonably perceived imminent peril. Id. at 574, 672 P.2d at 918. Therefore, we affirmed “the rule that an actor is not entitled to the benefit of the emergency doctrine when his own negligence has been a cause of the emergency.” Id. at 572, 672 P.2d at 916.

These concepts were contained in the uniform instruction given in the instant case. See Petefish, 137 Ariz. at 577 n. 6, 672 P.2d at 921 n. 6.

We reached a different result in Rosen, in which a sixteen-year-old skateboarding at night was hit by Knaub’s truck. Knaub claimed that Rosen suddenly appeared in the street, leaving no time to avoid the impact; Rosen argued that Knaub’s excessive speed caused the accident. A jury returned a defense verdict, and we granted review to consider the propriety of the “sudden appearance” and “unusual event” instructions given by the trial judge. We explained:

[A] motorist, under quite ordinary circumstances, might indeed have a duty to anticipate the often unpredictable behavior of children, including their sudden appearance in the roadway.

175 Ariz. at 331, 857 P.2d at 383. Thus, we held that the judge erred by instructing “that the driver of an automobile is not required to anticipate the sudden appearance of children in his pathway under ordinary circumstances. Id. at 330, 857 P.2d at 382 (emphasis added). Likewise, we found the unusual event instruction to be an incorrect statement of the law,4 holding:

The instruction erroneously suggests that a person never has the duty to anticipate “unusual” or “unlikely” events. It improperly equates “usual” or “likely” with “foreseeable.” It thus fails to recognize that an event can be both unusual and foreseeable, a finding generally reserved to the trier of fact.

Id. at 332, 857 P.2d at 384.

The Myhavers highlight Rosen’s language disapproving the sudden appearance instruc*290tion because of its implicit suggestion that a “ ‘sudden appearance’ is a uniquely important defense existing separate and apart from ordinary principles of negligence.” Id. at 331, 857 P.2d at 383. They argue that this reasoning is equally applicable to the sudden emergency instruction, persuasively contending that a sudden appearance is merely one type of sudden emergency. However, in Pe-tefish we implicitly distinguished the sudden emergency and sudden appearance doctrines. Petefish, 137 Ariz. at 573 n. 1, 672 P.2d at 917 n. 1.

A similar distinction is made by the leading commentators on negligence law, noting that a

further qualification which must be made is that some “emergencies” must be anticipated, and the actor must be prepared to meet them when he engages in an activity in which they are likely to arise. Thus, under present day traffic conditions, any driver of an automobile must be prepared for the sudden appearance of obstacles and persons in the highway, and of other vehicles at intersections, just as one who sees a child on the curb may be required to anticipate its sudden dash into the street, and his failure to act properly when they appear may be found to amount to negligence.

W. Page Keeton et al„ Prosser and Keeton on the Law of Torts § 33, at 197 (5th ed. 1984). Sudden appearances and similar common emergencies, such as ears that fail to stop at controlled intersections, are often not true sudden emergencies. Thus, in eases such as Rosen, neither instruction is appropriate. If the sudden emergency instruction is to be given at all, it should be reserved for the true emergency.

Prosser agrees, stating that it is often the case that “[djespite the basic logic and simplicity of the sudden emergency instruction, it is all too frequently misapplied on the facts or misstated in jury instructions.” Keeton, supra § 33, at 197. As a result, some states hold that the instruction should never be given. See, e.g., DiCenzo v. Izawa, 68 Haw. 528, 723 P.2d 171 (1986); Knapp v. Stanford, 392 So.2d 196 (Miss.1980); McClymont v. Morgan, 238 Neb. 390, 470 N.W.2d 768 (1991). Other states do not require the instruction be given, leaving it to the trial judge’s discretion. See, e.g., Compton v. Pletch, 580 N.E.2d 664 (Ind.1991); Hallett v. Town of Wrentham, 398 Mass. 550, 499 N.E.2d 1189 (1986); McCorvey v. Utah State Dep’t of Transp., 868 P.2d 41 (Utah 1993); Bentley v. Felts, 248 Va. 117, 445 S.E.2d 131 (1994).

Knapp, which is similar to Petefish, is a good example of those cases abandoning the sudden emergency instruction. The defendant, faced with an oncoming car in his lane of travel, swerved to his right and went off the shoulder of the road. After the other car passed him, he swerved back to his left and lost control of his car. Knapp, 392 So.2d at 197. The Mississippi Supreme Court held that the emergency instruction was inappropriate because the emergency was over at the time the accident occurred, the two cars having passed each other and defendant having undertaken to return to the road. Id. at 198. It further concluded that the instruction should not be given in the future because a sudden emergency was simply a factor to be considered in determining reasonable conduct and a separate instruction might overemphasize that factor as well as confuse the jury on comparative negligence issues. Id. at 198-99.

Although criticizing the instruction and holding that it need not be given, other states leave it to the judge’s discretion. Massachusetts has held that a judge may instruct the jury that emergency conditions “are a factor in determining” whether a party acted with reasonable care. Hallett, 499 N.E.2d at 1194-95. A number of states have carefully analyzed the issue and concluded that the instruction should not be routinely given in every claim of emergency. By definition, most accidents involve an emergency. These courts have concluded that the instruction should be discouraged because of the factors already mentioned, though it may be given, in the judge’s discretion, in the few cases presenting true, unanticipated emergencies. See, e.g., Ellwood v. Peters, 182 So.2d 281 (Fla.App.1966) (jury should be instructed only when evidence is clear that actor was faced with situation depriving him of all rea*291sonable opportunity for deliberation); Gagnon v. Crane, 126 N.H. 781, 498 A.2d 718 (1985) (same); Rambo v. McCulloch, 90 Or. App. 392, 752 P.2d 347 (1988) (instruction proper in rear-end accident caused by sudden jamming of brake lining, depriving defendant of ability to control vehicle).

One of the more careful analyses of the subject was made in McKee v. Evans, 380 Pa.Super. 120, 551 A.2d 260 (1988). The Pennsylvania court found that the instruction had been improperly given in favor of a driver involved in a ten-mile pursuit. Id. at 158, 551 A.2d at 279. The court concluded that the instruction was not favored and should be given only in those cases in which evidence showed that (1) the party seeking the instruction had not been negligent prior to the emergency, (2) the emergency had come about suddenly and without warning, and (3) reaction to the emergency was spontaneous, without time for reflection. Id. at 158-61, 279-80. While these factors are certainly not all inclusive, we believe they help describe the situations to which the instruction should be confined.

B. Resolution

Having noted that the instruction is but a factor to be considered in determining reasonable care, is subsumed within the general concept of negligence, is a matter of argument rather than a principle of law, and can single out and unduly emphasize one factor and thus mislead a jury, we join those courts that have discouraged use of the instruction and urge our trial judges to give it only in the rare ease. The instruction should be confined to the case in which the emergency is not of the routine sort produced by the impending accident but arises from events the driver could not be expected to anticipate.

We do not, however, join those courts that absolutely forbid use of the instruction. There are cases in which the instruction may be useful or may help to explain the need to consider a sudden emergency and the consequent reflexive actions of a party when determining reasonable care. We believe, however, that in those few cases in which the instruction is given, it would be important to explain that the existence of a sudden emergency and reaction to it are only some of the factors to be considered in determining what is reasonable conduct under the circumstances. See Young v. Clark, 814 P.2d 364, 367-69 (Colo.1991). Even though a judge may exercise his discretion and give a sudden emergency instruction in a particular case, it will rarely, if ever, be error to refuse to give it.

Applying these principles to the case at bench, we conclude that the trial judge did not abuse his discretion in giving the instruction. This is a case in which there was no evidence of antecedent negligence by Knutson, in whose favor the instruction was given. In light of the testimony of the various witnesses, there was no question about the existence of an emergency. Knutson was faced with a situation not ordinarily to be anticipated and one of imminent peril when Magnusson pulled out of the shopping center and suddenly turned toward him in the wrong lane of traffic. Finally, Knutson’s reaction— swerving across the center line into the path of Myhaver’s oncoming vehicle — was probably both reflexive in nature and the type of conduct that absent a sudden emergency would almost automatically be found as negligence, if not negligence per se. See Zancanaro v. Hopper, 79 Ariz. 207, 212, 286 P.2d 205, 210 (1955); A.R.S. §§ 28-721, 28-726. Given these facts, the real and only issue was whether Knutson’s conduct was reasonable under the circumstances of the emergency. We believe, therefore, the trial judge had discretion to instruct on the sudden emergency as a factor in the determination of negligence.

CONCLUSION

For the foregoing reasons, we approve the court of appeals’ decision and affirm the judgment of the trial court.

JONES, V.C.J., and MOELLER and MARTONE, JJ., concur.

ZLAKET, Chief Justice,

specially concurring.

I am puzzled by the majority’s desire to perpetuate a jury instruction that is admittedly of marginal value but has such enor*292mous potential for harm. In my opinion, today’s decision prolongs a decades-old controversy surrounding the “sudden emergency” doctrine and provides little added guidance to Arizona’s trial judges. While my colleagues’ attempt to narrow the use of the instruction is laudable, I would eliminate it altogether and bring to a close the chapter on this anomalous subject.

To say that the sudden emergency instruction should be confined to “the case in which the emergency is not of the routine sort produced by the impending accident but arises from events the driver could not be expected to anticipate,” ante at 291, 942 P.2d at 450, is not helpful. In fact, while that language does little more than track the instruction itself, it is likely to spark a new round of endless debate about the differences between the “routine” and the unexpected.

Moreover, today’s resolution fails to address the essential flaw in the instruction— that it overemphasizes and tends to accord independent status to what is but one of many elements in every negligence analysis. If drivers cannot “be expected to anticipate” certain events, they are by definition free from negligence. Standard instructions, particularly when supplemented by oral argument of counsel, should be more than sufficient to convey this idea without having a trial judge specifically suggest that one party might be excused because he or she faced an “emergency.”

Much has been written on this subject. Nothing more need be said. I simply agree with those jurisdictions that have discarded the sudden emergency instruction as unwise and unnecessary. I am also unpersuaded by the majority’s attempt to distinguish this charge from the “sudden appearance” instruction that we rejected in Rosen.

However, because the instruction in question has not yet been specifically disapproved in Arizona, and appears to have been harmless under the particular facts of this case, I am unwilling to say that the trial judge abused his discretion. I therefore concur in the result.

4.3 Breach of Duty 4.3 Breach of Duty

4.3.1 General Unreasonableness 4.3.1 General Unreasonableness

4.3.1.1 United States v. Carroll Towing Co. ("The Hand Formula Case") 4.3.1.1 United States v. Carroll Towing Co. ("The Hand Formula Case")

The judge in this case is the famous Learned (yes, that's his first name) Hand (yes, that's his last name). He offers a formula, and it's been named as his formula. What is it, and what is it supposed to tell a court?

159 F.2d 169 (1947)

UNITED STATES et al.
v.
CARROLL TOWING CO., Inc., et al.

Nos. 96, 97, Dockets 20371, 20372.

Circuit Court of Appeals, Second Circuit.

January 9, 1947.

170*170 Robert 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.

L. HAND, Circuit Judge.

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 barge, 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; 171*171 but, 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 172*172 to 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 holding[10] 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 173*173 inside barge. In The P. R. R. No. 216,[11] we charged with liability a lighter which broke loose 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. 23[13] 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 bargee 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. Williamsburgh Power Plant Corporation[15], 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 174*174 that 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 impleaded, 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.

[1] 2 Cir., 148 F.2d 522.

[2] Fed.Cas.No. 2786.

[3] D.C., 84 F. 719.

[4] D.C., 128 F. 511.

[5] 2 Cir., 176 F. 301.

[6] D.C., 10 F.2d 884.

[7] D.C., 14 F.2d 528.

[8] 2 Cir., 18 F.2d 775.

[9] 2 Cir., 62 F.2d 1076.

[10] D.C., 57 F.2d 908.

[11] 56 F.2d 604.

[12] 2 Cir., 62 F.2d 242.

[13] 2 Cir., 64 F.2d 121.

[14] 2 Cir., 72 F.2d 283.

[15] 2 Cir., 130 F.2d 96, 98.

[16] 2 Cir., 150 F.2d 735, 738.

[17] 2 Cir., 176 F.2d 301.

4.3.1.2 Greer v. Kaminkow ("The Pinwheeling Case") 4.3.1.2 Greer v. Kaminkow ("The Pinwheeling Case")

401 F.Supp.3d 762 (2019)

Judith H. GREER, Plaintiff,
v.
Joseph E. KAMINKOW, et al., Defendants.

No. 7:17-CV-120-REW-EBA.

United States District Court, E.D. Kentucky, Southern Division. Pikeville.

Signed July 3, 2019.

767*767 Kyle R. Salyer, Morgan, Collins, Yeast & Salyer, Paintsville, KY, for Plaintiff.

Bayard Collier, Julie Ann Sharp, East Kentucky Law Group, P.S.C., Pikeville, KY, for Defendants.

 

OPINION AND ORDER

 

Robert E. Wier, United States District Judge.

Joseph E. Kaminkow and Benita Riley Kaminkow[1] seek summary judgment. DE #21 (Motion). Judith Greer opposed. DE #23 (Response). Defendants replied. DE #25 (Reply). The matter is ripe for consideration. For the following reasons, the Court DENIES the motion. A jury must assess the merits of Greer's negligence claim.

 

I. BACKGROUND[2]

 

On September 17, 2015, Greer slipped and fell while working at (cleaning) the home where Riley's daughter, Whitney Slone, lived, on Wilmington Lane in Lexington. At the time, Kaminkow and Riley owned the home. See DE #21-1, at 8. They permitted Slone (along with, at the time, a man and one child) to live there rent-free, although Slone did pay applicable utilities and taxes. DE #24-2 (Riley Depo.), at 11 (Depo. p. 10); see also DE #21-1, at 2 768*768 (stating that the purpose of the home was "to provide a dwelling for Riley's daughter"). The Court has seen no lease and no indication of a binding legal tenancy between the owners and Whitney Slone. Greer was (functionally, at least) an employee of Riley and Kaminkow; Defendants themselves say that Greer "was employed" by and "had worked for Riley since March of 2004." Id.;[3] 1-2 (Complaint) at ¶ 5; 1-1 (Answer) at ¶ 5-7 (calling Greer "domestic help").

On the day at issue, Riley directed Greer to go to Wilmington Lane to clean. DE #24-1, at 20. Riley and Kaminkow owned two Lexington homes, and Greer cleaned or worked at both, depending on the needs and the couple's direction. Greer began performing common household chores and ultimately began moving accumulated garbage and boxes from the garage to the street for anticipated trash pickup. Id. at 21-23. Greer's basic version of the story—which is what primarily matters in the current case context—is that while she was moving a large box filled with garbage down the driveway toward the street, she stepped on a separate, previously unseen, box in the driveway, causing her to slip and ultimately fall. In Plaintiff's own words:

I had taken several garbage bags down, so I got a hold of the box and was pulling the box down, I don't know whether I had one or two in my hand,. . . and I was going down backwards, but the driveway is slanted at an angle, pretty good angle, and evidently, the wind had blowed [sic] this box, it was a rather large box, it was maybe an inch and a half to two inches thick, dog carrier came in it, a metal dog carrier, and it wasn't on the ground the first couple of times I took garbage down, and Herbie down, and whenever I started down and was pulling the box down, I stepped on the box and started falling backwards. [A]nd if you are, whether it be like ice on a driveway is the only way I can describe it, you can't get your footing, you know. You are on the box, I could not get footing enough to stand up and I was falling backwards. . . . And I fell. I actually fell on two bags of garbage.

Id. at 23-24; see also id. at 39 (Q: "So why do you think you fell?" A: "Because I stepped on the box and could not—as I was trying to catch my footing, there was nothing to grab on to[.]" Q: "Did the box kind of slide with you?" A: "I think so."); id. at 40 (describing the fall like being "on ice," "trying to catch your footing"). Greer described falling, sort of pinwheeling down the driveway, from the point she first stepped on the box to the point she landed on the ground. Greer Dep. at 39-40. She testified that she first encountered the box 769*769 on the driveway itself, although she landed in the street.

The parties have litigated the case, and Defendants now seek summary judgment.[4] They make two primary arguments: first, that they owed Greer no duty, and second, that even if they owed a duty, they did not breach. The Court has evaluated all briefing and the full record, and addresses each argument in turn.

 

II. STANDARD

 

A court "shall grant summary judgment if the movant shows that there is no genuine dispute as to any material fact and the movant is entitled to judgment as a matter of law." Fed. R. Civ. P. 56(a). A reviewing court must construe the evidence and draw all reasonable inferences from the underlying facts in favor of the nonmoving party. Matsushita Elec., 106 S. Ct. at 1356; Lindsay v. Yates, 578 F.3d 407, 414 (6th Cir. 2009). Additionally, the court may not "weigh the evidence and determine the truth of the matter" at the summary judgment stage. Anderson v. Liberty Lobby, Inc., 477 U.S. 242, 106 S. Ct. 2505, 2511, 91 L.Ed.2d 202 (1986).

The burden of establishing the absence of a genuine dispute of material fact initially rests with the moving party. Celotex Corp. v. Catrett, 477 U.S. 317, 106 S. Ct. 2548, 2553, 91 L.Ed.2d 265 (1986) (requiring the moving party to set forth "the basis for its motion, and identify[] those portions of `the pleadings, depositions, answers to interrogatories, and admissions on file, together with the affidavits, if any,' which it believes demonstrate an absence of a genuine issue of material fact"); Lindsay, 578 F.3d at 414 ("The party moving for summary judgment bears the initial burden of showing that there is no material issue in dispute."). If the moving party meets its burden, the burden then shifts to the nonmoving party to produce "specific facts" showing a "genuine issue" for trial. Celotex Corp., 106. S. Ct. at 2553; Bass v. Robinson, 167 F.3d 1041, 1044 (6th Cir. 1999). However, "Rule 56(c) mandates the entry of summary judgment . . . against a party who fails to make a showing sufficient to establish the existence of an element essential to that party's case, and on which that party will bear the burden of proof at trial." Celotex Corp., 106 S. Ct. at 2552; see also id. at 2557 (Brennan, J., dissenting) ("If the burden of persuasion at trial would be on the non-moving party, the party moving for summary judgment may satisfy Rule 56's burden of production in either of two ways. First, the moving party may submit affirmative evidence that negates an essential element of the nonmoving party's claim. Second, the moving party may demonstrate to the Court that the nonmoving party's evidence is insufficient to establish an essential element of the nonmoving party's claim." (emphasis in original)).

A fact is "material" if the underlying substantive law identifies the fact as critical. Anderson, 106 S. Ct. at 2510. Thus, "[o]nly disputes over facts that might affect the outcome of the suit under the governing law will properly preclude the entry of summary judgment. Factual disputes that are irrelevant or unnecessary will not be counted." Id. A "genuine" issue exists if "there is sufficient evidence favoring the nonmoving party for a jury to return a verdict for that party." Id. at 2511; Matsushita Elec., 106 S. Ct. at 1356 ("Where the record taken as a whole could not lead a rational trier of fact to find for the non-moving party, there is no `genuine issue for trial.'") (citation omitted). Such evidence must be suitable for admission into evidence at trial. Salt Lick Bancorp v. FDIC, 187 F. App'x 428, 444-45 (6th Cir. 2006).

 

770*770 III. ANALYSIS

 

Greer levels a common-law negligence claim against Kaminkow and Riley. "The elements of a negligence claim are (1) a legally-cognizable duty, (2) a breach of that duty, (3) causation linking the breach to an injury, and (4) damages." Patton v. Bickford, 529 S.W.3d 717, 729 (Ky. 2016).[5] "Duty presents a question of law, whereas breach and injury are questions of fact for the jury to decide. . . . Causation presents a mixed question of law and fact." Id.

Beginning in 2010, the Kentucky Supreme Court has effected "seismic" change in the Commonwealth's negligence law, at least relating to premises. See Grubb v. Smith, 523 S.W.3d 409, 415-21 (Ky. 2017), reh'g denied and modified, (Aug. 24, 2017) (narrating the evolution); Shelton v. Ky. Easter Seals Soc., Inc., 413 S.W.3d 901, 904 (Ky. 2013) (stating a desire to further Kentucky's "slow, yet steady, progress to modernize our tort law and eliminate unfair obstacles to the presentation of legitimate claims").[6] The core of the high court's reasoning aims to advance a "determined effort" to "limit holdings" that a premises hazard "is `not unreasonable as a matter of law,' to those rare instances where they are justified." Grubb, 523 S.W.3d at 418 (majority opinion). The court's "intention [is] to return most . . . cases to jury consideration[.]" Id.

Federal courts have recognized this: "[T]he Kentucky Supreme Court has repeatedly and explicitly declared that, under comparative fault, the unreasonableness and foreseeability of the risk of harm is normally a question for the jury to determine in deciding whether the defendant breached its duty of care in all but the rarest of circumstances." Dunn v. Wal-Mart Stores E., LP, 724 F. App'x 369, 374 (6th Cir. 2018). As Judge Stivers cogently summarized, Kentucky's negligence law "has evolved from a blunt question of . . . duty to a more nuanced analysis of breach and causation." Wiley v. Sam's Club, Inc., No. 3:14-CV-54-GNS, 2015 WL 3687440, at *2 (W.D. Ky. June 12, 2015), aff'd, 632 F. App'x 263 (6th Cir. 2016).

 

A. Duty

 

Defendants[7] first contest whether they owed Greer a duty.[8] As a beginning point, and to provide a workable framework for the duty inquiry, the Court views the relevant association between Defendants and Slone as most comparable to a landlord-tenant 771*771 relationship.[9] The Court later explores other potential duty origins.

 

1. Landlord Duty

 

"When a tenant maintains complete control and possession over the premises and the landlord has no contractual or statutory obligation to repair, the landlord is only liable for `the failure to disclose known latent defects at the time the tenant leases the premises.'" Jaimes v. Thompson, 318 S.W.3d 118, 119 (Ky. Ct. App. 2010); see also Warren v. Winkle, 400 S.W.3d 755, 759 (Ky. Ct. App. 2013). If, on the other hand, there is a portion of the premises "retained by the lessor for the common use and benefit of a number of tenants," the landlord's duty is to "exercise ordinary care to keep in a reasonably safe condition the premises reserved for the common use of his tenants." Carver v. Howard, 280 S.W.2d 708, 711 (Ky. 1955).[10] This case, though, is not about any duty Defendants owed Slone.

In situations falling into the first category, a landlord owes a like (comparatively slight) duty to a tenant's guest or invitee.[11] See Starns v. Lancaster, 553 S.W.2d 696, 697 (Ky. Ct. App. 1977). The chief duty, quite logically, in that circumstance, falls on the tenant—the person 772*772 asking the guest to her property. See id. The relevant rules are worthy of extended quotation:

At common law, a tenant in full and complete control of premises which he occupies owes the same duty to persons coming there upon his invitation, express or implied, to keep such premises in a reasonably safe condition as he would if he were the owner, and is prima facie liable for damages proximately caused by defects in or dangers on the premises that reasonably could have been avoided by appropriate care taken by him, irrespective of whose duty it was, as between landlord and tenant, to make such repairs. Such invitees, when seeking redress for injuries sustained by them by reason of defects in the premises, must seek such redress from the tenant and not from the landlord, at least in the absence of any statutory provision making the landlord liable. . . .
As a general rule, a landlord who, without covenanting to repair, and without knowledge of latent defects, puts a tenant into full possession and control of the demised premises, not intended for public purposes, and which are free from defects of construction constituting a nuisance, will not, in the absence of statute, be liable for personal injuries sustained on the demised premises, by reason of the defective condition thereof, by the tenant and others entering on the premises under the tenant's title.

Id. (emphases added). Other cases confirm these principles and focus on the importance of the tenant inviting the involved third party. See Washington, 2017 WL 2889545, at *2 ("Kentucky courts have consistently held guests and invitees of a tenant are owed the same duties as the tenant.") (quoting Lambert v. Franklin Real Estate Co., 37 S.W.3d 770, 776 (Ky. Ct. App. 2000) (emphasis added)); Jaimes, 318 S.W.3d at 120 (affirming no landlord duty to a tenant's visiting friend).

The critical fact that takes this case outside operation of that default rule is that Greer, here, was the landlord's invitee—not the tenant's. DE #24-1, at 20 (Greer: "Benita[] said . . . why don't you go help Whitney today."). The record indicates that Riley asked Greer to work at Wilmington Lane on the day at issue, taking this situation outside cases like Starns's purview. See, e.g., Rogers v. Redmond, 727 S.W.2d 874, 875 (Ky. Ct. App. 1987) (recognizing, citing the Starns "such invitees" language, that there are "certain situations" when "a third person" injured "on rented premises" would have a "cause of action" against the landlord). This is one of those situations. The Court rejects the notion that a landlord actively inviting a third party to property she owned could avoid negligence liability by retreating to an old duty rule forged in different factual fires. A landlord in that scenario should be accountable to the same extent as any other inviter for the state of the property she asked the third party to enter. Greer was not some friend of Slone's, visiting the home at Slone's invitation and without Riley's knowledge.

Additionally, also critically, if Riley had the authority to authorize Greer to enter and work in the Wilmington Lane home, Slone did not "maintain[] complete control and possession over the premises." Jaimes, 318 S.W.3d at 119-20; cf. Grubb, 523 S.W.3d at 423 (opinion of Hughes, J.) (store manager with "no authority to make repairs[] clearly did not have `the entire charge of the land or building'"). Riley, further, straightforwardly said that anyone "living at the house at that time" had to have her "permission" to do so. DE #24-2, at 30 (Depo. p. 29). Indeed, Greer even had a key to the Wilmington Lane home. DE #24-1, at 86.[12] The Court thus concludes 773*773 that these facts do not come within the purview of the first landlord duty category.

The facts strongly point to the Owners having full control and charge of the premises. Slone effectively paid no rent for occupancy. See DE #24-2 (Riley Depo.), at 10 (noting no rent; the Owners "ask her to pay . . . the utility bills [and] taxes to give her some responsibility"). She bore no responsibility for repairs. Indeed, Slone simply would notify Greer (the Owners' servant), and Greer would manage the assignment and contracting of any repair work. See id. at 44, 57. Similarly, the Owners handled maintenance of the grounds. See id. at 44. Perhaps most importantly, Riley and Kaminkow dispatched Greer, their agent, into the home on a weekly basis (as and when they chose) to perform extensive domestic cleaning. See id. 14, 30-31. This encompassed the entire house and expressly extended to trash removal. Thus, Slone did nothing more than live in the house—the Owners had and took complete charge of all upkeep, maintenance, and even transient cleaning. Far from complete control, Slone arguably had no control over the operation, maintenance, and condition of the home. How, then, does the Court assess whether Defendants owed Greer a duty and, if so, its contours? The Court perceives it must evaluate, under Kentucky law, (1) the premises-liability duty, and (2) the universal duty, owed by all to all.

 

2. Premises-Liability Duty

 

Under the first option, "[g]enerally speaking, a possessor of land owes a duty to an invitee to discover unreasonably dangerous conditions on the land and either eliminate or warn of them." Shelton, 413 S.W.3d at 909; see also Webb, 413 S.W.3d at 897 ("[L]andowners owe a duty to invitees to discover unreasonably dangerous conditions on the land and either correct them or warn of them."). "Of course, possessors are not required to ensure the safety of individuals invited onto their land; but possessors of land are required to maintain the premises in a reasonably safe condition." Id. Put another way, a "landowner owes a duty of reasonable care to those individuals invited onto the landowner's property, and the landowner must inform invitees of or eliminate any unreasonable dangers that would otherwise be undetected." Id. at 898; see also Carter, 471 S.W.3d at 291-99 (using both "landowner" and "land possessor").

These quotations make plain the lexical imprecision with which cases refer to "landowners" and "land possessors," in this context. Attempting to distinguish landowners from land possessors is Defendants' chief no-duty argument. See DE #21-1, at 6-9; but see DE #23, at 1 (Plaintiff urging the view that the premises-liability duty applies to "either owners or occupiers of land" (emphases in original)). In sequential sentences, for example, Webb uses both terms, with no indication of a difference in meaning. Other cases, too, use the terms as synonyms. See, e.g., Smith v. Joy Techs., Inc., 828 F.3d 391, 399 (6th Cir. 2016) ("The preceding passage emphasizes the responsibility of a `land-possessor,' not the manufacturer of a product. Its application to the case at hand is therefore unjustified because the manufacturer of a product does not maintain 774*774 control over the product in the same way that a landowner exercises continuous control over its premises." (emphases added)); McIntosh, 319 S.W.3d at 393 ("An invitee can always try to avoid dangers of which he is aware, but only land possessors and owners can legally remove them." (emphasis added)); id. at 397 (Schroder, J., dissenting) ("Until today, a landowner or possessor of land could not be held liable to invitees who were injured by open and obvious dangers." (emphasis added)); Carter, 471 S.W.3d at 299 (using "land possessor" and "landowner" in sequential sentences as synonyms); Shelton, 413 S.W.3d at 906 (same).

Maybe this makes good sense. After all, one possible meaning of "possessor" is one who owns something. Cf. Black's Law Dictionary 1201 (8th ed. 2004) (defining "possession" to mean "something that a person owns"). In that milieu, the Kentucky courts seem well-justified to treat the terms as synonymous. But, maybe the terms deserve more nuanced treatment. To "possess" something, a different definition says, is "to have [it] in one's actual control." Id. Using that framework, the Court could conceive of numerous scenarios in the vagaries of life where the owner and the person in actual control of property are not fully identical—including, e.g., a standard landlord-tenant relationship, or (perhaps as here) an owner permitting gratuitous (full and exclusive) use of property by another.

Enter Grubb, a 3-3 split decision (on the relevant issues) by the Kentucky Supreme Court.[13] One bottom-line takeaway is clear: all six participating Justices agreed that "landowner" and "land possessor" are not always synonymous. See 523 S.W.3d at 422 (opinion of Hughes, J.) ("As the Restatement (Second) of Torts § 328E notes, the land's owner is not necessarily its possessor for the purposes of this rule."); id. at 433-34 (opinion of Venters, J.) (contemplating that "one may be liable as a `possessor of land' for some hazards, but not for others, depending on the degree of control one is authorized to exercise" and stating that "several individuals may qualify as a `possessor' of the same premises at the same time"). All participating Justices also agreed, per the cited excerpts, that the premises-liability duty also properly applies (only) to land possessors. The Court takes those propositions as law post-Grubb.

Where the rubber meets the road, however, is the meaning of the word "possessor." Justice Hughes's cadre explained that, in general, "the possessor of premises for premises-liability purposes is that person. . . in occupation of the premises (or entitled to immediate occupation) with the intent to control them." Id. at 422. Justice Venters's trio applied a more flexible standard, reasoning that "one need not have `complete control' of the premises to incur liability as a `possessor of land,'" that "one may be liable as a `possessor of land' for some hazards, but not for others, depending on the degree of control one is authorized to exercise," and that, accordingly, "several individuals may qualify as a `possessor' of the same premises at the same time, depending upon their specific responsibilities." Id. at 433-34.

At least as a summary judgment topic, the Court views the Owners (the Defendants) as having control over the premises for purposes of measuring duty. There was no formal lease, and Slone occupied 775*775 the house as, almost completely, a matter of Riley's benevolence. Riley and Kaminkow wholly controlled permission over who could live at the house. The Owners had responsibility for and control over all external and internal repairs. The Owners had full access and gave Greer a key and total discretion to enter the home. Further, the Owners sent Greer in, on a regular and recurring basis, to perform thorough domestic cleaning at the house, to include removal of trash accumulated in the garage.

The Court notes several specifics about the garbage disposition practices, which are at the core of Greer's alleged fall. Riley knew that Slone (and the other adult resident) did not handle their trash in a typical way. Rather than putting refuse in a bag and then a trash bin, the family would open the internal kitchen door, leading to the garage, and simply throw a full trash bag (or one of many discarded delivery boxes) onto the garage floor. This frustrated Riley, who criticized the laziness of the approach. DE #24-2 (Riley Dep.), at 30-31 ("[T]hey would basically open the door . . . throw the garbage bags out there, throw the Amazon boxes out there, and infuriate me because Jeff is able-bodied, but that's what he would do. And then when Judy would come over there, she would have to take all that out to the trashcans."). She also remarked that the residents kept the garage so full of junk and trash that it could not be used for parking. See id. at 41-42 ("But they always have so much junk in it there could never be a car in it because all the trash is in there."). The Owners knew the inhabitants' practices, acquiesced (with full control of occupancy specifics), and indeed actively facilitated them by providing Greer's cleaning labor. See Warren v. Winkle, 400 S.W.3d 755, 760-62 (Ky. Ct. App. 2013) (landowners may be liable "if they had actual or constructive notice of a defective condition").

The Owners both owned and possessed the premises, and as such, they owed the typical safe-premises duty imposed by Kentucky law. See McIntosh, 319 S.W.3d at 388 ("As a general rule, land possessors owe a duty to invitees to discover unreasonably dangerous conditions on the land and to either correct them or warn of them."), holding modified on other grounds by Shelton v. Kentucky Easter Seals Soc., Inc., 413 S.W.3d 901 (Ky. 2013).

 

3. Universal Duty

 

Under the second option described above, the "concept of liability for negligence expresses a universal duty owed by all to all." Webb, 413 S.W.3d at 897. Because there is an "overarching duty of reasonable care," "every person owes a duty to every other person to exercise ordinary care in his activities to prevent foreseeable injury." Id.; see also DE ##21-1, at 9 (recognizing the universal duty); 25, at 1 (Defendants not disputing that the universal duty "applied to them").

A landowner or land possessor, no doubt, owes "a general duty of reasonable care" separate from "the more specific duty associated with" premises-liability notions. Shelton, 413 S.W.3d at 910; see also id. at 908 (instructing courts to ask whether the parties' relationship "out-lined" a particular duty, "[a]long with the defendant's general duty of care"); id. ("First and foremost, a land possessor is subject to the general duty of reasonable care."); Webb, 413 S.W.3d at 897 ("Generally speaking, a landowner is not exempt from the overarching duty of reasonable care that pervades our negligence law.").[14]

776*776 Additionally, "as [a] general rule, all persons have [a] duty to use ordinary care to prevent others from being injured as the result of their conduct." Kendall v. Godbey, 537 S.W.3d 326, 331 (Ky. Ct. App. 2017). Although "the so-called universal duty is anything but universal," it undoubtedly applies "to instances where the harm resulting from a defendant's act was foreseeable." Pearson v. Pearson, 552 S.W.3d 511, 515 (Ky. Ct. App. 2018); see also Isaacs v. Smith, 5 S.W.3d 500, 502 (Ky. 1999) (same: "[S]uch a duty applies only if the injury is foreseeable."); Grand Aerie Fraternal Order of Eagles v. Carneyhan, 169 S.W.3d 840, 849 (Ky. 2005) (stating that the universal duty "is not boundless").

Foreseeability, in turn, is almost always a jury question—a fact-specific "analysis . . . belong[ing] . . . in the hands of the fact-finders, the jury." Shelton, 413 S.W.3d at 904. The inquiry centers on whether "injury of some kind to some person within the natural range of effect of the alleged negligent act could have been foreseen." Pearson, 552 S.W.3d at 515 (quoting T & M Jewelry, Inc. v. Hicks, 189 S.W.3d 526, 531 (Ky. 2006)). "The extent of foreseeable risk at the time of the defendant's alleged negligence depends on the specific facts of the case and cannot be usefully assessed for a category of cases; small changes in the facts may make a dramatic change in how much risk is foreseeable. Thus, courts should leave such determinations to the trier of fact unless no reasonable person could differ on the matter. . . . Accordingly, the foreseeability of the risk of harm should be a question normally left to the jury under the breach analysis." Shelton, 413 S.W.3d at 913-14 (emphasis added). "[T]he question of foreseeability and its relation to the unreasonableness of the risk of harm is properly categorized as a factual one, rather than a legal one." Id. at 916; see also Carter, 471 S.W.3d at 298 (stating that Shelton "established that foreseeability applies to breach of the general duty of ordinary care"); Kendall, 537 S.W.3d at 331-32 (recognizing that Shelton "restructured the issue of foreseeability in relation to duty," "embraced the universal duty of care concept," and "remov[ed] foreseeability as a part of the duty analysis," effectively making duty "a given element in negligence actions").[15]

This is not a scenario where the Owners' "own conduct has not created a risk of harm" and the Court is imposing on them a duty "to control the conduct of a third person to prevent him from causing harm to another." Carneyhan, 169 S.W.3d at 849. To the contrary, Riley knew of the trash and box accumulation in the garage 777*777 and specifically invited Greer into harm's way. Riley's request with situational knowledge—her "conduct"—"created a risk of harm" where one would have otherwise been absent, had Greer not gone to Wilmington Lane.[16] Cf. Restatement (Third) of Torts § 19 ("The conduct of a defendant can lack reasonable care insofar as it foreseeably combines with . . . the improper conduct of . . . a third party."); Restatement (Second) of Torts § 302A. "It is well established . . . that one's general duty to exercise due care includes the duty not to place another person in a situation in which the other person is exposed to an unreasonable risk of harm through the reasonably foreseeable conduct (including the reasonably foreseeable negligent conduct) of a third person."[17] Lugtu v. Cal. 778*778 Highway Patrol, 26 Cal.4th 703, 110 Cal. Rptr.2d 528, 28 P.3d 249, 256 (2001); see Britton v. Wooten, 817 S.W.2d 443, 447-52 (Ky. 1991); cf. Gaither v. Justice & Public Safety Cabinet, 447 S.W.3d 628, 638 (Ky. 2014) (contemplating protection when an actor "should reasonably foresee that his negligence is likely to put a specific individual in harm's way at the hands of a specifically-known and identifiable third party"); Doe v. Franklin, 930 S.W.2d 921, 927 (Tex. Ct. App. 1996) ("In essence, a person has a duty to not place another in harm's way of foreseeable criminal activity."); Haeg v. Geiger, No. A06-1840, 2007 WL 2472545, at *5 (Minn. Ct. App. Sept. 4, 2007) (countenancing a duty "not to place [a person] in harm's way by parking in front of [a] tee box"). Riley could not ask Greer to traverse a known minefield and expect to be absolved from liability for an exploding mine.

The Court holds, per this analysis, and as the defense has admitted, see DE #25, at 1, that Defendants owed Greer the universal duty to exercise ordinary care to prevent foreseeable injury.[18] Taking the Kentucky Supreme Court at its direction "not to short circuit . . . cases by easy resort to the old-school type of `no duty' ruling" that plagued prior jurisprudence, Grubb, 523 S.W.3d at 416 (majority opinion); see also Shelton, 413 S.W.3d at 907-10 ("Practically speaking, th[e] analysis will almost always begin with the breach question, given the broad sweep of the general duty of reasonable care. . . . We write today to shift the focus away from duty to the question of whether the defendant has fulfilled the relevant standard of care."); id. at 907 (denouncing courts making "obtuse no-duty determination[s]"), the Court concludes that Greer's claim survives element 1 scrutiny. As a matter of premises ownership/possession and as a matter of universal duty, the Owners owed Greer, their invitee, a duty of care.

 

B. Breach

 

The second issue is whether a jury could reasonably find that Defendants breached.

The question of breach is factual and typically inappropriate for summary determination by the Court. See Patton, 529 S.W.3d at 729 (categorizing breach as a "question[] of fact for the jury to decide"); Grubb, 523 S.W.3d at 421 (majority opinion) (holding that the question of the "unreasonableness of the risk of harm" of a condition is "almost always . . . properly categorized as a factual one"); see also Dunn, 724 F. App'x at 374 ("[T]he Kentucky Supreme Court has repeatedly and explicitly declared that . . . the unreasonableness and foreseeability of the risk of harm is normally a question for the jury to determine in deciding whether the defendant breached its duty of care in all but the rarest of circumstances."). As some examples, an "unreasonable risk could be created by a `simple curb' outside an emergency room (McIntosh), wires on the floor near a hospital bed (Shelton), ice in the 779*779 parking lot of a hotel after a winter storm (Carter), the slipperiness of a wet hotel bathtub (Goodwin), and a small pothole between the pumps of a gas station (Grubb)." Id. Further, Kentucky courts have found summary judgment inappropriate "because the reasonableness of the risk and foreseeability of the harm were questions of fact in cases where the plaintiff tripped on the corner of a pallet protruding from the bottom of a store display, fell when stepping backward onto uneven pavement at a gas station, or tripped over a concrete flower pot placed near the exit of a banquet hall." Id. at 374-75.

Giving Plaintiff the inferences due, a rational jury could find that the Owners breached their duty of care, resulting in Greer's fall. As noted earlier, the Owners had full access to and control over the premises. They took responsibility for all maintenance, upkeep, and even domestic cleaning. The cleaning obligation extended to trash removal, and the residents' trash habits included a unique and risk-creating practice. The inhabitants would haphazardly throw their trash—loose boxes and bags—onto the garage floor. The heap was large enough to block any other use of the garage. The Owners charged Greer with cleaning the mess, including moving all trash into the bins (the Herbie and/or the Rosie) and getting everything to the curb.

A few important notes about the dynamics in September 2015. Greer was not a young woman; she was in her late sixties at the time of the incident, see DE #20-3 at 1, and she had demonstrated some physical problems during employment. See Riley Dep. at 17. During the time at issue, Greer alone handled trash collection and disposal. Riley remarked that her daughter was physically unable and her daughter's companion simply unwilling to do the task. See id. at 30-32. There was so much trash generally, that the garage otherwise was unusable. See id. at 42.[19] It may have been as much as 1.5 months since Greer last cleaned out the garage rubbish pile. See Greer Dep. at 27. When she took the trash down on September 17, 2015, Greer carried at least 5 bags in addition to the Herbie receptacle. Id. at 30. There was more trash than the receptacle could handle. Id. at 29. Then, she loaded a large box with 5 additional bags and began dragging that down with one hand as she carried yet two more bags with the other hand. See id. at 30-32. She felt time pressure because it was trash collection day in the neighborhood, and she could hear the garbage truck in the area. 780*780 See id. at 35. As she pulled the loaded box and walked backward down the drive, she stepped on a loose box and began sliding. She then fell. See id. at 30-32. Greer believes the wind blew the loose box, which she had not before seen, from the area of the Rosie recycling bin. See id. at 32 ("but it had to be there with the Rosie"); id. at 23. Riley agrees that the box came from the house.[20] See Riley Dep. at 55 (agreeing "[i]t was either Whitney and Jeff's box, or something that got sent to them one way or another"). The drive was steep, Greer Dep. at 33, and Greer faced the task with no help. She alone had to move a mountain of piled refuse and boxes—either from within or outside the garage—to the curb in time for collection. One of the boxes ended up in Greer's path. The distracted Greer—trying to carry two more bags and pull backward a box loaded with even more five sacks of trash—stepped on the slippery box and stumbled down the driveway.

The Owners knew the situation at the home and sent Greer in to deal with the unorganized detritus. A jury could find that they placed her in a scenario of foreseeable and unreasonable risk, given the specifics of the house, the task, the Plaintiff, and the day. The factfinder must weigh the particulars and speak on the matter.

Faced with this testimony and factual situation, "[r]easonable minds" certainly could differ "on the unreasonable-risk question[.]" Grubb, 523 S.W.3d at 421 (majority opinion). The reasonableness "of the risk in this case [i]s subject to rational disagreement." Id.; see also Britton, 817 S.W.2d at 447 (recognizing that "stacking rubbish and boxes . . . too high . . . constitutes acts which might well be viewed as actionable negligence"); Bielefeld v. Menard, Inc., No. 4:17-CV-13-JHM, 2018 WL 662309, at *2-3 (W.D. Ky. Jan. 31, 2018) (holding that the reasonableness of the risk of a "platform lift" in a store is subject to rational disagreement); Rodgers v. Grant Cnty. Football Boosters, No. 2016-CA-377-MR, 2017 WL 4570711, at *5-6 (Ky. Ct. App. Oct. 13, 2017) ("conclud[ing] that there clearly remain questions of fact as to whether the flower pot constituted an unreasonable risk, the foreseeability of harm created by the flower pot, and whether the Boosters breached its duty of care"). Reasonable minds could likewise differ on the foreseeability of Greer's injury. See Shelton, 413 S.W.3d at 913.

The Court, thus, finds that a jury question exists regarding whether the Owners exercised "reasonable care" to "prevent foreseeable injury" when Riley dispatched Greer to clean Wilmington Lane, considering the loose refuse with which home occupants had littered the garage and the potentiality that such an item(s) could end up in Greer's walking path as she toted trash to the street. If whether a "failure to provide bathmats" for potentially slippery bathtubs presents a jury question on breach, see Goodwin, 501 S.W.3d at 899, surely these facts do too. The Owners knew of the waste and box accumulation and asked Greer to the home regardless. The jury will have to parse the facts and perform its revered function to determine if the Owners exercised ordinary care to prevent foreseeable injury when they sent Greer to the Wilmington Lane residence that day.

Kentucky courts have recognized two general exceptions to the normal rule of jury determination; the Court addresses them in turn. First, the parties do not suggest that "public policy" here "require[s]" 781*781 that this "risk-creating condition be deemed not unreasonable and thus excepted from [the applicable] duty of care." Grubb, 523 S.W.3d at 418 (majority opinion). Second, based on the Court's review of the record, this is not a case where Greer's conduct was "clearly the only fault" of her injury. See id. The Court further could not say, as a matter of law, that the "risk-creating condition on the property" could not have "been corrected by any means" or that it is "beyond dispute that [the Owners did] all that was reasonable." Id.; see also, e.g., Webb, 413 S.W.3d at 899-900. Greer "did not fall into a grease pit." Grubb, 523 S.W.3d at 419 (majority opinion) (contrasting Bonn v. Sears, Roebuck & Co., 440 S.W.2d 526, 527 (Ky. 1969)). A "rational fact-finder could deem [Greer]'s injuries," at least in part,[21] "the result of [some]thing [other than] her own fault[,]" id. at 418, to wit, one of the myriad boxes and waste strewn about Wilmington Lane's garage and Riley's decision to ask her to enter that potentially perilous environment. Accordingly, neither exception is here applicable to resolve the case as a matter of law.

By this result, the Court assiduously avoids "substituting its view of reasonably debatable facts for that of the fact-finder." Grubb, 523 S.W.3d at 418 (majority opinion). The "reasonableness of a risk involves some manner of balancing the costs or burdens of mitigating it against the likelihood and severity of the injuries it threatens. In [Kentucky] law, that determination, that balancing is ordinarily deemed a matter of fact to be addressed by the jury." Id. at 417. Likewise, foreseeability "depends on the specific facts of the case" and "should be a question normally left to the jury under the breach analysis." Shelton, 413 S.W.3d at 913. Accordingly, as to the Owners, the question of breach—including the subsidiary considerations of reasonableness and foreseeability—is for the jury.[22]

 

IV. CONCLUSION

 

For the reasons, to the extent, and on the terms stated, the Court DENIES DE #21. The case shall proceed to trial.

[1] This defendant reports that her "proper name" is Benita J. Riley. See, e.g., DE #1-1, at 6. Accordingly, the Court refers to her as "Riley" in this Opinion. No party disputes that the proper person is before the Court.

[2] Under the summary judgment standard, the Court assesses the facts in favor of Greer, the non-movant. Matsushita Elec. Co., Ltd. v. Zenith Radio Corp., 475 U.S. 574, 106 S. Ct. 1348, 1356, 89 L.Ed.2d 538 (1986).

[3] Kentucky generally recognizes a broad meaning of "employee." See, e.g., Ratliff v. Redmon, 396 S.W.2d 320, 324 (Ky. 1965) ("The term `employee' is defined by most statutes to include every person in the service of another under any contract of hire, express or implied."). Riley essentially described an employer-employee relationship with Greer. E.g., DE #24-2, at 12-13 (Depo. pp. 11-12) (describing meeting Greer and employing her as a "housekeeper"); id. at 25 (Depo. p. 24) (recognizing that Greer "worked for" her); id. at 36 (Depo. p. 35) (referring to Greer's "salary" and "Christmas bonus"); id. at 57 (Depo. p. 56) ("[S]he was on salary."); but see id. at 15 (Depo. p. 14) (stating that she did not provide Greer with "workers' comp insurance or anything like that"). Greer agreed that Riley "employed" her. DE #24-1 (Greer Depo.), at 9; but see DE ##1-2 (Complaint), at 2 ¶ 6 (Greer stating that she "was not an employee of Joseph E. Kaminkow and Benita R. Kaminkow"); 1-1 (Answer), at 7 ¶ 5 (Defendants stating their "understanding" that Plaintiff was "an independent contractor"). Notably, Kaminkow affected where Greer worked, DE #24-1 (Greer Depo.), at 19-20, and he was involved in trying to secure a post-fall release from Greer. DE 24-2, at 36 (Depo. p. 35) ("[W]e need to get a release[.]").

[4] There was no direct witness to the fall other than Greer herself.

[5] The parties agree that substantive Kentucky law applies in this diversity case; the Court, accordingly, undertakes no independent choice-of-law analysis. Gahafer v. Ford Motor Co., 328 F.3d 859, 861 (6th Cir. 2003).

[6] The effort began with Kentucky River Medical Center v. McIntosh, 319 S.W.3d 385 (Ky. 2010), and continued via Dick's Sporting Goods, Inc. v. Webb, 413 S.W.3d 891 (Ky. 2013), Shelton, Carter v. Bullitt Host, LLC, 471 S.W.3d 288 (Ky. 2015), Goodwin v. Al J. Schneider Co., 501 S.W.3d 894 (Ky. 2016), Grubb, and, most recently, Hayes v. D.C.I. Properties-D KY, LLC, 563 S.W.3d 619, 623 (Ky. 2018) ("We have not altered this basic `formula' in negligence cases, specifically premises liability cases, since our decision in [McIntosh.]"). The Court has carefully considered every word of these cases.

[7] Defendants made no specific duty argument as to either of them, individually. The analysis thus collectively applies to both named defendants.

[8] Contrary to Defendants' assertion in reply that they merely contested which duty applied, see DE #25, at 1-2, they plainly, in the underlying motion, contested duty existence altogether. To quote, for example, the very first page of the memorandum: "Kaminkow and Riley did not owe Greer a duty and therefore, cannot be found negligent." DE #21-1, at 1; see also id. at 7 ("Kaminkow and Riley did not owe any duty to Greer, in regards to the September 17, 2015 incident, for two reasons."). The Court proceeds with an analysis fairly addressing the true scope of Defendants' arguments.

[9] The relationship, of course, was not a traditional landlord-tenant one. There is no proof of a then-existing lease agreement or other contract. Slone did not pay rent; she did pay taxes and utilities, perhaps only as a moral obligation or exercise. The arrangement, really, was simply a caring mother providing her daughter a place to live out of goodwill and affection. Still, Defendants owned the home, and permitted Slone to live in and occupy it. Defendants raise the landlord-tenant argument, DE #21-1, at 8-9, and evaluating it on its own terms avoids potentially knotty questions about the precise reach of the doctrine in Kentucky (e.g., whether it solely regulates contractual landlord-tenant relationships, or whether it covers arrangements with practical similarities).

[10] The Kentucky Court of Appeals has explicitly rejected (in unpublished opinions) the argument that the Kentucky Supreme Court's recent negligence-related decisions call into question the enduring utility of older landlord-tenant cases. See, e.g., Groves v. Woods, No. 2016-CA-1546-MR, 2018 WL 560417, at *4, *6 (Ky. Ct. App. Jan. 26, 2018), review denied, Aug. 8, 2018; Washington v. WB Holdings, LLC, Nos. 2014-CA-157-MR, 2014-CA-189-MR, 2017 WL 2889545, at *3 (Ky. Ct. App. July 7, 2017). This seems logical, to the Court, given Grubb's explicit distinctions between land possessors and owners (a topic explored infra).

[11] "Kentucky law remains steadfast in its adherence to the traditional notion that duty is associated with the status of the injured party as an invitee, licensee, or trespasser." Hayes v. D.C.I. Properties-D KY, LLC, 563 S.W.3d 619, 623 (Ky. 2018) and Smith v. Smith, 563 S.W.3d 14, 17 (Ky. 2018) (contemporaneously released decisions each quoting Shelton, 413 S.W.3d at 909); but see Smith at 20-22 (Chief Justice Minton, dissenting) ("I would instead abandon the distinction between licensees and invitees in favor of a unitary duty of reasonable care owed to all non-trespassing entrants. . . . [This] would eliminate the complex, confusing, and unpredictable state of premises-liability law and replace it with a rule which focuses the jury's attention upon the pertinent issue of whether the landowner acted as a reasonable person would under the circumstances. I would adopt such a standard and put an end to the perpetual state of confusion that is our common-law system of premises liability.").

In Kentucky, "[a] person who comes upon the property of another without any legal right to do so is a trespasser. . . . A person who comes on the land of another with the possessor's consent is a licensee. . . . [A] person with business dealings with the possessor who comes upon the property is an invitee." Carney v. Galt, 517 S.W.3d 507, 511 (Ky. Ct. App. 2017). The parties do not dispute that Greer was an invitee. See DE ##21-1, at 6-7; 1-2, at 3 ¶ 9. "Generally speaking, a possessor of land owes a duty to an invitee to discover unreasonably dangerous conditions on the land and either eliminate or warn of them." Shelton, 413 S.W.3d at 909 (internal quotation marks omitted).

 

[12] The parties do not address what rights, if any, Slone could enforce as to her occupancy of the residence. Defendants likely could have, on these facts, terminated any implied tenancy or tenancy at will (if one existed) on proper notice. See, e.g., Shinkle v. Turner, 496 S.W.3d 418, 421-22 (Ky. 2016); Ellis v. Ellis, 275 S.W.2d 909, 910 (Ky. 1955); Morgan v. Morgan, 309 Ky. 581, 218 S.W.2d 410, 411-12 (1949); Leavitt v. Maykell, 203 Mass. 506, 89 N.E. 1056, 1058 (1909); 51 Park Props. v. Messina, 720 A.2d 773, 775 (Pa. Super. Ct. 1998). These are weighty topics the litigants declined to brief; the Court, therefore, likewise declines to extensively explore the issues. At a minimum, there is no proof that Slone had any contract-based rights.

[13] Section 2 of Grubb (the relevant portion here), written by Justice Hughes, earned the support of Chief Justice Minton and Justice Cunningham. Justices Keller and Wright, on the other hand, joined the "separate opinion" of Justice Venters addressing the issues. Justice VanMeter was "not sitting." Perhaps the sharp split was unsurprising; Shelton and Carter, after all, were 4-3 decisions.

[14] Further, the universal duty applies even if a hazard is open and obvious. See Shelton, 413 S.W.3d at 915 ("To allow the [open-and-obvious] doctrine to eliminate a landowner's general duty of reasonable care would do great violence to this state's development of a modern tort regime."); Carter, 471 S.W.3d at 296 ("[O]penness or obviousness of a hazard by itself cannot obviate a landowner's duty of reasonable care or any liability resulting from a breach of that duty."); id. at 297 ("The open-and-obvious nature of a hazard is, under comparative fault, no more than a circumstance that the trier of fact can consider in assessing the fault of any party, plaintiff or defendant."). Greer said that she had not seen the culprit box before slipping. See DE #24-1, at 23 (noting she was "going down" the driveway "backwards" and that the box "wasn't on the ground the first couple of times I took garbage down"); id. at 32 ("I don't really remember seeing it, you know, I don't have a picture in my head saying it was there[.]"); id. (stating she would have picked up a box she saw "laying in the driveway").

[15] The Court also notes, without extensively exploring (because the parties did not address this concept), the notion that an "employer-employee relationship," which Defendants and Greer (at least functionally) had, is "a special relationship" for purposes of the "duty to warn" that Kentucky law contemplates. See, e.g., Johnson v. United Parcel Serv., Inc., 326 S.W.3d 812, 816-17 (Ky. Ct. App. 2010). If anything, this solidifies the Court's conclusion as to duty existence.

[16] The dueling opinions in Grubb require additional discussion on this point. The origin of and justification for Justice Hughes's broad statement—"[I]t has never been the law in Kentucky that, outside a small number of exceptions, one has a duty, much less a `universal duty,' to protect others from dangerous conditions one has not caused or created"—are unclear, to the Court. See 523 S.W.3d at 426 (opinion of Hughes, J.) (emphasis in original). The three Justices cited no Kentucky law or precedent for that proposition and provided little explanation of the "small number" of applicable exceptions. See id. The Court's review of relevant law, as described in this Opinion, does not fully square with Justice Hughes's. Justice Venters, on the other hand, also speaking for three Justices, quoted the standard recitation of the "universal duty" with no such qualification. See id. at 432 (opinion of Venters, J.).

Neither opinion, both of which speak for an equal number of Justices, states, establishes, or changes the law. Cf. Smith v. Brannin, 79 Ky. 114, 119-20 (1880) (holding that when "the members of this court are equally divided in opinion," "the opinion of the judges who agree with the court below" becomes only "the law of the case," not generally applicable precedent); Durant v. Essex Co., 74 U.S. 107, 112, 7 Wall. 107, 19 L.Ed. 154 (1868) ("If the judges are divided, . . . no order can be made."); Etting v. U.S. Bank, 24 U.S. 59, 78, 11 Wheat. 59, 6 L.Ed. 419 (1826); Alticor, Inc. v. Nat'l Union Fire Ins. Co., 345 F. App'x 995, 1002 (6th Cir. 2009). Indeed, Kentucky courts (in Pearson, Kendall, Rodgers (cited infra), and others) have not recognized a change in "universal duty" law post-Grubb. The Court follows suit and applies the "universal duty" as it existed and exists in Kentucky law pre- and post-Grubb.

The Court highlights a few additional topics. First, Justice Hughes did not address the meaning of several words used in the pronouncement—e.g., "dangerous conditions," "caused," and "created." No party disputes that Riley did not, personally, throw trash and boxes into the Wilmington Lane garage. Did she help "cause" the condition by allowing the known practice to persist on her property? What degree of contribution is sufficient for the duty to apply? Cf. Grubb, 523 S.W.3d at 434 (opinion of Venters, J.) (reasoning, in part, that a store manager could be liable when her "failure" to act "constitute[d] a substantial factor causing or contributing to Grubb's injury"). Is the "dangerous condition" merely the presence of the excessive trash and boxes alone?

Similar problems plague an earlier reference to the "universal duty" in the opinion. See id. at 424 & n.15. First, of course, Justice Hughes explicitly declined to "speculat[e] as to how this `universal duty' might apply" to the case, rendering the comments dicta. See id. at 424. Still, three Justices remarked that the "universal duty is usually thought to apply" to "risks created by the actor," not "risks not created by the actor." See id. at 424 n.15. The use of "usually" implies the presence of exceptions, the contours of which the Justices did not address. Further, the Justices did not define what they meant by "risks" (compared with, e.g., "dangerous conditions," used later in the same opinion) and "created by" (compared with, e.g., "caused or created"). Justice Hughes's opinion provides little guidance in these critical areas.

 

[17] Shelton, despite extolling the virtue of a jury deciding reasonableness, somewhat confusingly provided a list of "open-and-obvious danger[s]" that "may not create an unreasonable risk," including "a small pothole in the parking lot of a shopping mall[,] steep stairs leading to a place of business[,] or perhaps even a simple curb." 413 S.W.3d at 914. The Kentucky Supreme Court later washed its hands of the list: "This Court did not state that those conditions `do not' create [an unreasonable] risk." Goodwin, 501 S.W.3d at 899. The high court further, in Grubb, "decline[d] the invitation" to adopt a "trivial defect" rule, explicitly criticizing Shelton's "small pothole" hypothetical. See 523 S.W.3d at 420-21 (majority opinion).

[18] The Court rejects the argument that Defendants owed no duty because the fall occurred on public property. See DE #21-1, at 7-8. The contention needs no belaboring. Greer testified that the fall occurred on the home's driveway. DE #24-1, at 23-24, 33, 38; see also id. at 41-42 (describing how, post-fall, she "pulled" her body to try to reach her phone, which had "fl[own] out of [her] pocket" and into "the street"). A jury could, thus, reasonably so conclude, even if Greer told Slone a "vastly different" story originally. See DE ##24-3 (Slone Depo.), at 25 (Depo. p. 24); 24-2, at 22, 29 (Depo. p. 21, 28).

[19] Evidently, the Owners' agent (Greer), was the only individual to routinely enter the garage for any reason. She did so at the Owners' explicit behest. Thus, even if Slone had an implied tenancy in the remainder of the house, the Owners' control over the garage was sufficiently exclusive that their duty, as to that area, would be no less than a non-leasing landowner. Warren v. Winkle, 400 S.W.3d 755, 761 (Ky. Ct. App. 2013) ("[A] landlord can be responsible for dangerous conditions in areas not demised to a tenant and that remain in the landlord's exclusive control."); id. ("[A] tenant's knowledge of a dangerous condition will not absolve the landlord from liability. This is consistent with Kentucky law applicable to a landlord's duty to keep common areas in reasonably safe condition, which is equally applicable when the landlord retains exclusive control of an area."). Further, the Court, on these facts, sees no material gap between a dumpster enclosure outside an apartment complex and the Owners' garage. Cf. Carver v. Howard, 280 S.W.2d 708, 711 (Ky. 1955) (A landlord's duty as to defective conditions in "appurtenances, retained by the lessor for the common use and benefit of a number of tenants" is to "exercise ordinary care to keep in a reasonably safe condition the premises[.]"). The fact that the danger arose from a garage facet over which the Owners' undoubtedly had specific control and, though perhaps grudgingly, accepted responsibility—garbage disposal—cinches the finding.

[20] The Court thus rejects the argument, DE #25 at 2, that there is no proof of the box origin. Further, Greer identified the box as having held a dog crate. The family had a dog. See Greer Dep. at 38, 32.

[21] That is the main point of comparative fault: for a jury to apportion blame "based on the extent a party's breach"—even the plaintiff's own breach—of the duty of ordinary care "caused or helped cause harm to the plaintiff." Carter, 471 S.W.3d at 298; see also Grubb, 523 S.W.3d at 415 ("Under the comparative-fault regime, the fact finder is tasked with apportioning fault for the plaintiff's injuries between (or among) those responsible, with the defendant's liability for the plaintiff's damages proportionate to his or her share of the fault.").

[22] Riley makes no argument as to negligence elements 3 and 4. The Court's review of the record indicates triable issues as to those elements, as well.

4.3.1.3 Pinsonneault v. Merchants & Farmers Bank ("The Late Night Bank Deposit Case") 4.3.1.3 Pinsonneault v. Merchants & Farmers Bank ("The Late Night Bank Deposit Case")

738 So.2d 172 (1999)

James Joseph PINSONNEAULT, et al., Plaintiffs-Appellants,
v.
MERCHANTS & FARMERS BANK & TRUST COMPANY, et al., Defendants-Appellees.

No. 99-12.

Court of Appeal of Louisiana, Third Circuit.

July 21, 1999.
Rehearing Denied August 18, 1999.

*175 John K. (Mike) Anderson, Leesville, Christopher Whittington, Baton Rouge, for James Joseph Pinsonneault et al.

Russell L. Potter, Andrew Parker Texada, Mark D. Pearce, Alexandria, for Merchants & Farmers Bank & Trust Co.

Kimberly Atkins, pro se.

Lawson Strickland, pro se.

Christian Boyd, pro se.

BEFORE: YELVERTON, THIBODEAUX, and SULLIVAN, Judges.

THIBODEAUX, Judge.

Jesse Pinsonneault was murdered on November 3, 1992, as he attempted to deposit his employer's daily receipts into the night depository of Merchants & Farmers Bank & Trust Company. His parents, James and Debra Mae (Debbie) Pinsonneault, filed a wrongful death suit against the defendant bank alleging various breaches of security.[1] Following a bench trial, the trial court determined that *176 Merchants Bank had not breached its duty to provide security to its patrons. The Pinsonneaults appeal the judgment dismissing their wrongful death suit against Merchants Bank.

For the following reasons, we reverse the finding of the trial court and assess damages of $1,236,890.87 to Merchants Bank for its failure to provide security for its patrons. The attackers were trustees who had escaped from the Vernon Parish Jail five days before the shooting; we find no liability against the Vernon Parish Sheriff because the attackers were no longer in the process of escaping when the shooting occurred. We further find that this is not an appropriate case in which to assess damages to the intentional tortfeasors even though we are mandated by La.Civ.Code art. 2323 to quantify the fault of the intentional tortfeasors.[2]

I.

ISSUES

We must decide:
1) whether the defendant bank owed a duty to provide security for its night deposit patrons;
2) whether the defendant bank adequately discharged its duty to provide security for its night deposit patrons;
3) whether a breach on the defendant's part was the legal cause of the injuries of Jesse Pinsonneault;
4) whether the plaintiffs are entitled to damages for the wrongful death of Jesse Pinsonneault and, if so, the quantum amounts due for each element of damages;
5) whether the fault in this case should be apportioned among the negligent tortfeasor and the intentional tortfeasors; and
6) whether the negligent tortfeasor is entitled to contribution from the intentional tortfeasors.

II.

FACTS

On November 3, 1992, at approximately 1:30 a.m., twenty-three-year-old Jesse Pinsonneault left work at Sambino's Pizza and drove around to the Merchants & Farmers Bank & Trust Company (Merchants Bank) in order to deposit the evening's receipts and operating cash into the bank's night deposit box. The bank branch is located at Entrance Road which leads to Fort Polk in Leesville, Louisiana. Jesse was the assistant manager of Sambino's Pizza, which is approximately 300 feet from the bank. As Jesse got out of his car and walked up to the night drop, Lawson Strickland suddenly appeared and demanded the deposit money. Strickland then shot Jesse in the area of the clavicle and took the bag containing $64.06 in cash. The bullet severed Jesse's spinal cord and caused profuse bleeding. Jesse's mother, Debra Mae Pinsonneault, was called to the scene where she witnessed her son lying in a pool of blood on the cement near the night deposit box, his body shaking and his face streaked with tears. Jesse became paralyzed and ultimately died at an Alexandria hospital nine hours after the shooting.

Lawson Strickland and his primary accomplice, Christian Boyd, escaped into the woods behind the bank and were apprehended approximately three days later. At the time of the shooting, Strickland and Boyd had five days earlier escaped from the Vernon Parish Jail, where they were trustees. Strickland, who is on death row, pleaded his Fifth Amendment right to silence, and he refused to testify in the civil trial of this matter. However, Christian Boyd testified that he and Strickland planned to rob a customer at the night *177 drop of Merchants Bank at Entrance Road in particular because it offered the best cover with regard to shrubbery, lighting, the side location of the night deposit box, and the absence of surveillance cameras. Boyd further testified that he and Strick-land had hidden out in the area behind the bank and had watched the night deposit for hours the night before the robbery, and planned their escape through the woods behind the bank. Merchants Bank is located in an area of Vernon Parish which had the second highest crime rate in 1992 for the parish. Two previous armed robberies had occurred at this Merchants Bank branch at the time of the shooting, with the perpetrators escaping once through the woods behind the bank, and once by helicopter.

Jesse's parents brought a wrongful death suit and survival action against Merchants Bank and its insurer, Aetna Casualty & Surety Company (both hereinafter referred to as "Merchants Bank"), for its failure to provide security for its customers after inviting them to bring money to the bank's night deposit box. Suit was also filed against the Sheriff of Vernon Parish for allowing the perpetrators to escape. The Sheriff settled with the Pinsonneault family prior to trial. Jesse's mother, Debra Mae Pinsonneault (Debbie), before her death due to cancer, also brought a claim for the severe emotional distress she suffered upon seeing Jesse within an hour of the shooting as he lay bleeding and dying at the bank night depository. After her death, Jesse's twin brother, Orin David Pinsonneault, became succession representative and was substituted as the party asserting the claims of Debra Pinsonneault.

Merchants Bank brought third party claims against Strickland, Boyd, and Kim Atkins, a minor at the time of the shooting, who provided transportation to Strickland and Boyd and who gave them the gun used in the shooting. The bank also asserted as affirmative defenses the fault of the Sheriff of Vernon Parish and the negligence of the Sambino's Pizza entities. Both the Pinsonneault family and Merchants Bank requested a jury trial, but Merchants Bank was subsequently granted a motion to strike the jury trial. Following a bench trial, the trial court dismissed the plaintiffs' suit against Merchants Bank, finding that the bank did indeed owe a duty of protection to Jesse Pinsonneault, but that the bank had adequately discharged its duty to provide security for its patrons and was not liable for Jesse's death. The Pinsonneault family appealed. For the following reasons, we reverse the trial court and assess damages at one hundred percent against Merchants Bank.

III.

LAW AND DISCUSSION

Standard of Review

An appellate court may not set aside a trial court's or jury's finding of fact in the absence of "manifest error"or unless it is "clearly wrong." Rosell v. ESCO, 549 So.2d 840 (La.1989).

In order to reverse under the manifest error rule:

1) the appellate court must find from the record that a reasonable factual basis does not exist for the finding of the trial court, and
2) the appellate court must further determine that the record establishes that the finding is clearly wrong (manifestly erroneous).

Stobart v. State, Through DOTD, 617 So.2d 880, 882 (La.1993). A reviewing court must do more than just review the evidence which supports or controverts the trial court's findings. It must review the entire record to determine whether the trial court's findings were clearly wrong or manifestly erroneous. Id.

Assignments of Error

Merchants Bank has asserted two errors as follows:

*178 1. It was error for the trial judge to find that Merchants & Farmers Bank owed a legal duty to Jesse Pinsonneault;
2. In the alternative, and only in the event the court of appeal reverses on the issue of liability, then defendants/appellees, assert that it was error for the trial court to dismiss the third party claims of defendants/appellees.

The Pinsonneault family asserts the following errors:

1. The trial court erred in finding that the Merchants & Farmers Bank & Trust Company properly discharged its duty to provide security for its patrons;
2. The trial court erred in denying the plaintiffs a trial by jury;
3. The trial court erred in failing to award the plaintiffs damages as a result of Merchants & Farmers Bank & Trust Company's breach of its assumed duty.

As a threshold matter, because we are reversing the trial court's judgment and awarding damages to the Pinsonneault family, we need not address the Pinsonneault's assignment regarding the denial of a trial by jury. The remaining assignments of error revolve around the negligence cause of action asserted by the Pinsonneault family against Merchants Bank and the third party claims of Merchants Bank against Strickland, Boyd and Atkins.

Louisiana employs a duty-risk analysis to determine legal responsibility in negligence claims. The determination of liability usually requires proof of five separate elements:

1. Proof that the defendant had a duty to conform his conduct to a specific standard (the duty element);
2. Proof that the defendant's conduct failed to conform to the appropriate standard (the breach element);
3. Proof that the defendant's substandard conduct was a cause-in-fact of the plaintiffs injuries (the cause-infact element);
4. Proof that the defendant's substandard conduct was a legal cause of the plaintiffs injuries (the scope of liability or scope of protection element); and
5. Proof of actual damages (the damages element).

Fowler v. Roberts, 556 So.2d 1 (La.1989).

Prior to the Louisiana Supreme Court's decision in Dixie Drive It Yourself System v. American Beverage Co., 242 La. 471, 137 So.2d 298 (1962), Louisiana courts generally determined liability by using the proximate cause approach, wherein the third and fourth elements were combined into a single inquiry. However, the proximate cause approach was simplistic and ignored complicating factors such as multiple defendants and multiple causes. As articulated in Fowler:

Determination of causation by first determining whether the defendant breached a standard of care imposed on him and then testing for proximate cause also tended to exclude from liability all but the defendant whose negligence occurred latest in point of time. Because the proximate cause approach often included distinctions between active and passive negligence, there was a tendency to place further undue emphasis on the chronology of acts or omissions. As a consequence, many tort cases determined by the proximate cause approach resulted in holding only one defendant liable, even though two or more parties were guilty of substantial contributing misconduct. Another important weakness of the proximate cause approach was that it failed to determine factual causation in relationship with the other issues in the case which affect liability, rendering the approach relatively devoid of flexibility and of opportunity for analytical examination.
The duty-risk approach to determining liability in negligence cases was *179 adopted in Dixie and subsequently refined in Pierre v. Allstate, 257 La. 471, 242 So.2d 821 (1970). The decision in Pierre employed the method of determining causation first by inquiring into cause-in-fact, and then determining whether there is a duty imposed under the law, whether the risk is within the scope of protection contemplated by imposition of that duty, and whether there is a breach of that duty which calls for a response in damages. In most cases the result from applying either approach will be the same. However, the duty-risk approach is more policy orientated and offers a better opportunity for use of logic and reasoning, particularly when the critical issue in the case involves the scope of protection contemplated by the statute or rule of law which imposed the duty that was breached.

Fowler, 556 So.2d at 5 (citations omitted).

In the present case, the plaintiffs allege that Merchants Bank was negligent because it failed to provide security for its patrons whom it invited upon the premises to deposit money into the bank's night depository. Hence, under the duty-risk analysis, the plaintiffs must show that: (1) the failure of Merchants Bank to institute security measures was a cause-in-fact of the robbery, shooting injuries, and subsequent death of Jesse Pinsonneault; (2) Merchants Bank owed a duty to protect Jesse Pinsonneault from harm; (3) the risk of robbery and the shooting at the night depository was within the scope of protection contemplated by the imposition of that duty; (4) Merchants Bank breached the duty to protect Jesse Pinsonneault from criminal attack; and (5) the Pinsonneault family is entitled to damages for their wrongful death, survival, and bystander claims.

The security measures which the plaintiffs allege should have been in place to prevent the robbery and criminal attack are surveillance cameras at the night depository for deterrence, lower shrubbery to prevent hiding places, improved lighting in the back and parking areas to prevent criminals from hiding and running under cover of darkness, and a continuous, threesided fence that completely closes the bank off from the woods behind it. Therefore, the first question we must decide is whether the absence of these security features was a cause-in-fact of the robbery and shooting death of Jesse Pinsonneault.

CAUSE-IN-FACT ELEMENT

Under the duty-risk analysis, cause-in-fact is generally a "but for" inquiry. The plaintiff need only show that he probably would not have sustained the injuries that befell him but for the negligent conduct of the defendant. See Stroik v. Ponseti, 96-2897 (La.9/9/97); 699 So.2d 1072. In the present case, the only eye witness to the shooting of Jesse Pinsonneault, other than the shooter, Lawson Strickland, was the accomplice, Christian Boyd. Boyd testified that he was familiar with the Merchants Bank branch at Entrance Road Fort Polk because he had been there earlier in 1992. He stated that this particular bank was chosen for the robbery because "it was just an easy place to go to ... you could go there, you could pull off the crime, you could hide, and you'd make it ... if it was dark, and there was nothing else in there to stop you from doing it." He stated that the other banks in the area were out in the open and surrounded by businesses but that this branch had woods around it which offered a hiding place and an escape route.

Boyd stated that he and Strickland went to Merchants Bank the night before the actual robbery, and hid behind the bank's fence for hours watching the night depository and looking for places to hide. Their intent initially was to rob the person making a deposit for the nearby Shell Station until they determined that Shell did not make night deposits. Upon seeing Jesse Pinsonneault bring the deposit from Sambino's Pizza, they decided to come back the next night and take the Sambino's deposit. Boyd stated that

*180 [w]e had to find a place where he [Strickland] could see me and I could see him, plus I could see over there to tell when they were leaving, when they were coming around and whatever. So I hid up on top of the hill behind them big trees, and he hid down behind the bushes behind the bank—so we could see each other.

Boyd stated that the bushes along the back wall and corner of the bank were thick, three and a half to four feet tall, and formed a straight-lined hedge that he could not see through. Boyd stated that if the bushes had not been there, or had been low to the ground, there would not have been any where to hide, and that "you'd have to run from the woods, and there's too much chance of getting caught." When asked whether the shorter bushes depicted in later photographs would have altered their decision to commit the robbery, he responded, "It probably would have, yes." He further stated that he and Strickland had discussed this issue when planning the robbery. After the robbery, they ran into the woods behind the bank and got away on foot.

Boyd further stated that the lights at the night deposit did not deter them because it was such a short distance to the surrounding areas where it was not very light. He stated that

There's not that much space there. You can walk that in a second. I mean, it would be too late. Those lights didn't matter. They didn't stop us.

As to the lighting away from the night deposit, Boyd indicated that it contributed to Strickland's ability to hide behind the bank until Jesse got out of his car. Boyd acted as lookout and hid atop a hill where he could see Sambino's Pizza and the back of the bank. Strickland, when hiding in the bushes behind the bank, could see Boyd, but Boyd could not see Strickland in the bushes because of the lighting.

That's why I couldn't see him. There's—back here, there's really not any lighting, and in the parking lot, it's real dim.

Boyd stated that he saw small boxes installed overhead under the overhang at the night drop but did not see cameras in them. When asked whether surveillance cameras would have deterred him, he stated

If I saw cameras that I knew were working, I think it would have affected it big time ...
If I knew they were there? Oh, I'm pretty sure we wouldn't have done it. Been stupid then.

Boyd further stated that the fence at the time of the shooting was all the way back to the edge of the woods behind the bank but did not come around to enclose the sides of the premises, and that if it had, "We wouldn't have had nowhere to go." When asked whether the fence affected their decision to rob a Merchants Bank customer, Boyd responded "Definitely.... Because he would have to run into the road, and it would be wide open. A lot of people would be able to see him then.... It wouldn't have been able to be done...."

Boyd further testified that if the night deposit box, which was located on the side of the bank, had been in front where the ATM machine is, that "[w]e couldn't' have done it.... Because it's facing the road.... [E]verybody would see. It's too much traffic."

Based upon the foregoing, it is probable that but for Merchants Bank's decisions to maintain high thick shrubbery along its unlighted back wall, place a partial fence only at the edge of the woods and down one side of the property, locate its night depository at a less visible side location, and maintain low lighting in the parking area, the armed robbery and shooting of Jesse Pinsonneault would not have occurred. Therefore, Merchants Bank's conduct is a cause-in-fact of the plaintiffs' harm, and the first element in the duty-risk analysis is met. We must now decide *181 whether Merchants Bank owed a duty to Jesse Pinsonneault to protect him and whether the scope of protection contemplated by the imposition of the duty encompassed the risk of harm that befell him. If there was a duty, and the duty encompassed the risk, then breach of the duty is the legal cause of the shooting death of Jesse Pinsonneault, and damages are due his family.

DUTY ELEMENT

The law is clear that the owner of a business who permits the public to enter his establishment has a duty to exercise reasonable care to protect those who do enter. This duty extends to keeping the premises safe from unreasonable risks of harm or warning persons of known dangers. Rodriguez v. New Orleans Pub. Serv., Inc., 400 So.2d 884 (La.1981); Bordelon v. Pelican State Mut. Ins. Co., 599 So.2d 511 (La.App. 3 Cir.1992). The duty of a landowner is not to insure against the possibility of an accident on his premises, but rather to act reasonably in view of the probability of injury to others. Shelton v. Aetna Cas. & Sur. Co., 334 So.2d 406 (La.1976). Storekeepers and property owners are under a duty to keep their premises in a safe condition for use in a manner consistent with the purposes thereof. Mumphrey v. Rollins, 468 So.2d 580 (La.App. 3 Cir.1985).

Hence, it is well-settled that business establishments of all kinds have a general duty to keep the premises safe for those patrons invited to do business thereon. This jurisprudential duty is widely applied to cover a multitude of incidents including vehicular and pedestrian incidents such as slip and fall accidents. The question in this case, however, is whether the duty to protect encompasses the risk of robbery by third persons, and thus becomes a "scope of protection" inquiry. As more fully explained in the following analysis of the "legal cause" or "scope of protection" element of the duty-risk analysis, we find that "a safe condition for use in a manner consistent with the purposes thereof" when applied to the defendant bank, includes whatever safety features and protections are reasonably needed to protect from attack those patrons who are invited to bring money to its night depository.

RISK—SCOPE OF PROTECTION— LEGAL CAUSE ELEMENT

In order to prove that a defendant's substandard conduct was the legal cause of the injuries, the Pinsonneault family must show that the risk of criminal attack is within the scope of protection contemplated by the imposition of a duty. A landmark case instructing the law of negligence on the scope of protection issue and preparing the soil for the development of the duty-risk analysis is Palsgraf v. Long Island R. Co., 248 N.Y. 339, 162 N.E. 99 (App.1928). The thrust of Palsgraf was to personalize the duty such that the unintentional act as to the plaintiff "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." Palsgraf, 162 N.E. at 101.

In Palsgraf, the court declined to find that the defendant railroad owed a duty to protect a plaintiff at the far end of the platform from falling scales which tipped over due to an explosion caused by firecrackers falling on the rails at the other end of the platform. The firecrackers fell on the rails because a company guard caused a passenger to drop the package containing the fireworks when the guard pushed the passenger forward to keep him from falling backward after he jumped aboard a moving train. Obviously the harm, falling scales at the other end of a platform, was so attenuated, and so unexpected to result from the act of assisting a passenger at this end of the platform, that no wrong could be found. The reasoning of the court explained the burden of the plaintiff and the relationship of the duty to the risk of a particular harm:

*182 The risk reasonably to be perceived defines the duty to be obeyed, and risk imports relation ... It [is] 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.

Palsgraf, 162 N.E. at 99, 100 (citations omitted).

Hence, the well-established and pivotal question in determining the scope of the duty is whether this defendant owes a duty to protect this plaintiff from this risk which occurred in this manner. Accordingly, in the present case, where two previous robberies had already occurred at this particular branch of Merchants Bank, a vigilant eye could easily perceive the risk of another armed robbery at the same location. Moreover, the fact that the previous robberies were inside the bank in daylight should only have made the prudent eye more watchful of easier methods of attack attempted under cover of darkness in the more isolated conditions of after-hour banking at a night drop.

Our circuit has not previously decided whether the scope of the duty owed by a bank extends to protect its patrons from criminal activity. However, all types of businesses have been found to be dutybound if the crime and damages were foreseeable or if the business itself assumed a duty to protect its patrons. Harris v. Pizza Hut of Louisiana, Inc., 455 So.2d 1364 (La.1984). In fact, our Louisiana Supreme Court in Harris v. Pizza Hut looked at cases from other jurisdictions, including Banks v. Hyatt Corporation, 722 F.2d 214 (5 Cir.1984), and acknowledged that while Banks dealt with an innkeeper's liability, "any business" which invites the company of the public must institute reasonably necessary acts to guard against the "predictable risk of assaults." Harris, 455 So.2d at 1369.

Foreseeability

In the present case, where the only product, stock and trade of the business is money, and the business is in effect a "money store" which invites the public to bring in and take out money, and where the risk of robbery is foreseeable due to previous robberies, the risk should be especially predictable where the invitation is to come to an outside box after hours at night. We are cognizant of the 1982 first circuit decision in McKinney v. Louisiana Nat'l Bank, 416 So.2d 948 (La.App. 1 Cir.1982), wherein the court rejected the argument that banks should be held to a higher standard because their product is money. However, the issue in McKinney was breach, not duty. There, the first circuit more or less conceded that the bank had a duty to protect its patrons, but found that it did not breach that duty by failing to post a guard outside the bank in daylight hours to protect a patron from an attempted purse snatching near the bank. We are not bound or instructed by this eighteen-year-old first circuit decision and, in any event, find the case distinguishable. As to duty, where the business is money and money alone, and where previous robberies have occurred at the subject banking office, there is clearly a duty that extends to provide a reasonable measure of security against robberies.

Moreover, the record in this case reveals that Merchants Bank was located in the second highest crime area in Vernon Parish and that of the two previous robberies at the bank, one of the escape routes was through the woods behind the bank, as in this case. Merchants Bank attempts to make much of the fact that the previous robberies were inside the bank during the day and were perpetrated against the bank's tellers only, rather than outside the bank during the night against customers, and that this somehow renders the present robbery completely unpredictable and unforeseeable. Such a position is untenable and logically unsound. In fact, the McKinney court's decision to grant summary judgment to the bank centered upon the fact that the attempted purse snatching occurred in the daytime hours where *183 the presence of other customers rendered a robbery less likely. The invitation to bring money at night in isolation from the daily business which normally traffics bank lobbies, if anything, more greatly proliferates a risk of robbery.

In Romaguera v. Piccadilly Cafeterias, Inc., 94-374 (La.App. 5 Cir. 12/14/94); 648 So.2d 1000, writs denied, 95-0093, 95-0124 (La.3/10/95); 650 So.2d 1183 and 1184, where a restaurant patron was shot in the parking lot, the court found that one prior attempted robbery inside the restaurant adequately illustrated foreseeability. There the court stated that "[t]he fact that there had been an attempted robbery inside the restaurant should, we think, make any reasonable person realize that such an attempt would be even more likely to occur outside the restaurant in the parking area, where there would be fewer people around." Romaguera, 648 So.2d at 1005.

In addition to its experience with prior robberies at the Fort Polk branch of Merchants Bank, the record indicates that the bank received a newsletter entitled the Advisor which repeatedly reported night deposit crimes in which customers were seriously injured and which warned of the need for surveillance and other security measures. Other literature and manuals were available in the industry which also recommended cutting shrubbery, improving lighting, and protecting customers against criminal acts of third persons. These periodicals and literature served to further inform Merchants Bank of the foreseeability of crime at its branch location and at its night depository.

The Pinsonneault family has cited cases from other jurisdictions which we find instructive in explaining the scope of the duty of Merchants Bank and how it encompasses the risk of robbery and assault. In Schaus v. Marine Midland Bank, N.A., 233 A.D.2d 919, 649 N.Y.S.2d 752 (4 Dept. 11/08/96), a customer was fatally shot while making a deposit for his employer at the bank's night depository. Prior criminal activity was alleged. There, the court stated that the defendant bank had a duty to take reasonable precautions to secure its premises if it knew or had reason to know from past experience that there was a likelihood of conduct on the part of third persons which was likely to endanger the safety of its night deposit users. Similarly, in the present case where two previous armed robberies had occurred at this same branch of Merchants Bank, the bank knew or had a reason to know that future crime would occur, and, therefore, had a duty to prevent future armed robberies everywhere on its premises.

In addition to the clear foreseeability of robberies of individual patrons invited by the bank to its night depository, the bank had a mandated duty to provide banking security in this case which arguably created a statutory duty to bank patrons, such as Jesse Pinsonneault, and which at the very least heightened the bank's awareness that this robbery was foreseeable. More specifically, the Bank Protection Act of 1968, 12 U.S.C. § 1881-1884, mandates that within thirty days after a state bank becomes a member of the Federal Reserve System, its board of directors must designate a security officer to write and administer a security plan to be filed with the Federal Reserve Bank. Hence, banking security in general is not only a desideratum; it is mandated in the industry.

In Monnin v. Fifth Third Bank of Miami Valley, N.A., 103 Ohio App.3d 213, 658 N.E.2d 1140 (2 Dist. 3/29/95), where a fact issue regarding the bank's reasonable safeguards to protect its customer from a fatal shooting prevented summary judgment, the court addressed the Bank Protection Act of 1968. The Act authorizes various federal supervisory agencies to promulgate rules

establishing minimum standards with which each bank or savings and loan association must comply with respect to the installation, maintenance, and operation of security devices and procedures, reasonable in cost, to discourage robberies, burglaries, and larcenies and to assist *184 in the identification and apprehension of persons who commit such acts.

12 U.S.C. § 1882.

The federal supervisory agencies given this authority are the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation (FDIC), and the Federal Home Loan Bank Board. Each financial institution answers to the appropriate agency depending upon its status as a national, district, or state bank, or as a savings and loan institution, and depending upon its membership requirements in the various systems. The regulating agency in Monnin was the Comptroller of Currency, and its rules were found to protect the assets and valuables stored in banks, but not necessarily the public. However, the court cited a provision that required employees during or after a robbery "(1) [t]o avoid actions that might increase danger to themselves or others" and indicated that this could arguably impose a non-specific duty to protect the public.

The Monnin court found that the provisions of the Comptroller authorized by the Bank Protection Act of 1968 did not give that bank's customers a private right of action which would warrant the application of the doctrine of negligence per se. The court articulated that negligence per se is the violation of a legislative enactment which imposes a duty to protect others that is so specific that it does not require the "exercise of human judgment." Monnin, 658 N.E.2d at 1148, 1149. Specificity was lacking, and the court found negligence per se inapplicable. However, under a duty-risk analysis, the court found that evidence of two previous robberies, the most recent of which was approximately two and one half years earlier, would allow reasonable minds to find that the bank knew or should have known that an armed robbery could again occur at that location. The court further found that it was not necessary to show that this particular robbery or this particular violence was foreseeable because "foreseeability of the crime [armed robbery] implies foreseeability of the risk of harm." Id. at 1147.

In Orrico v. Beverly Bank, 109 Ill. App.3d 102, 64 Ill.Dec. 701, 440 N.E.2d 253 (1 Dist. 9/1/82), where the bank released $2,100 in 100-dollar bills to an incompetent in violation of a court order, and the incompetent was robbed and killed in a park after flashing the bills openly, the court found the risk of harm foreseeable. The court referenced Prosser, § 43, at 259-60, and stated that, "Even if the harm foreseen is to property and the harm suffered in fact is to the person, the distinction should not be dispositive." Orrico, 64 Ill. Dec. 701, 440 N.E.2d at 257. Hence, in synthesizing Monnin and Orrico, even if the Bank Protection Act of 1968, calling for bank security, foresees harm to property rather than harm to persons, the distinction is not dispositive. It follows that it is foreseeable that the absence of security measures will not only increase the risk of lost assets to the bank, but that absence will also increase the risk of personal injury to the patrons bringing those assets to the bank in the first place.

Merchants Bank's security officer, Perry Johnson, appointed to that position in April of 1992, indicated that one of the agencies promulgating the rules for Merchants Bank was the Federal Deposit Insurance Corporation (FDIC). We have reviewed the FDIC rules located at 12 C.F.R. Part 326 and find them similar to the Comptroller of the Currency's rules in Monnin with regard to the employee directive to avoid actions that might increase danger to others. Additionally, the FDIC rules at 12 C.F.R. Part 326.2 require the designation of a security officer within 30 days after the bank becomes a member of the FDIC "with responsibility for the installation, maintenance, and operation of security devices and for the development and administration of a security program which equal[s] or exceed[s] the standards prescribed by this part."

*185 At Part 326.3 the FDIC regulations require the security officer to consult with a law enforcement officer to determine the security needed based upon crime in the area, the amount of currency exposed to robbery, burglary and larceny, distance from law enforcement, other security measures already in effect at the banking office, and the physical characteristics of the banking structure and its surroundings. At Part 326.4 the FDIC regulations require that the bank, within 30 days of its membership in the FDIC, write and provide for the administration of a security program to protect each of its banking offices from robberies, burglaries and larcenies. It was mandated that the security program provide a schedule for inspection, testing and servicing of all security devices, and that the security officer keep a record of the inspections and maintenance. This part also mandates the training and periodic re-training of employees on the proper conduct and use of security devices during and after a robbery.

At Part 326.5 the FDIC mandates compliance reports at the end of June of each year "certifying to its compliance with the security requirements of this Part." It also provides a suggested form for the certification which states that the security program has been reduced to writing and that the security officer has sought the advice of law enforcement officers and has installed security devices "in each of the bank's banking offices." This part mandates that the bank files shall contain a record showing the name and title of the consulting law enforcement officer advising the bank prior to the installation of security devices. It also mandates reports on security devices at each of its banking offices and crime reports "[e]ach time a robbery, burglary, or nonbank employee larceny is perpetrated or attempted at a banking office."

Parts 326.6 and 326.7, respectively, provide for corrective action by the FDIC Board of Directors and penalties under the Bank Protection Act of 1968 in the event of non-compliance. Additionally, Appendix A provides the minimum standards for security devices including surveillance and alarm systems. Night depositories in particular are to be equipped with burglary alarms. The foregoing requirements are also contained in the regulations promulgated by the Board of Governors of the Federal Reserve System. Hence, based upon the foregoing, the Bank Protection Act of 1968, and the regulations of the FDIC and the Federal Reserve System, mandated the designation of a security officer, a written security plan, investigations, and consultations regarding crime in the area and the need for surveillance and other security measures at every banking office. These mandates created a duty that, even if non-specific enough for a finding of negligence per se, extended to protect bank employees and "others" from robberies, thefts and larcenies as they transacted business on the bank premises. It is inconceivable that a security plan to protect a bank's assets from theft should be held to not include the protection of the bank's depositors from robbery.

Ease of Association

As recognized by the Louisiana Supreme Court in Hill v. Lundin & Associates, Inc., 260 La. 542, 256 So.2d 620 (1972), foreseeability should not in all instances be the only criterion used for determining whether there is a duty-risk relationship. "The ease of association of the injury with the rule relied upon, however, is always a proper inquiry." Hill, 256 So.2d at 622, quoting Prosser, Law of Torts (3rd ed.1964), 282ff In the present case, the question is whether the risk of injury from a robbery, produced by a combination of the bank's act and that of a third party, is within the scope of protection of a rule of law which would mandate reasonable security measures including surveillance cameras, fences, lighting and lower shrubbery. As the Hill court articulated:

All rules of conduct, irrespective of whether they are the product of a legislature *186 or a part of the fabric of the court-made law of negligence, exist for purposes. They are designed to protect some persons under some circumstances against some risks. Seldom does a rule protect every victim against every risk that may befall him, merely because it is shown that the violation of the rule played a part in producing the injury. The task of defining the proper reach or thrust of a rule in its policy aspects is one that must be undertaken by the court in each case as it arises. How appropriate is the rule to the facts of this controversy? This is a question that the court cannot escape.

Hill, 256 So.2d at 623 (citation omitted).

We find in the present case that the robbery and shooting death of Jesse Pinsonneault, a night depositor at the defendant bank where two armed robberies had occurred, was a foreseeable risk falling within the scope of Merchants Bank's duty to secure its premises and make them safe for the purposes intended. Moreover, the risk of robbery and assault of a night depositor is easily associated with a rule imposing a duty to provide reasonable security in the form of surveillance cameras, minimum height shrubbery, adequate lighting, and adequate fencing in this particular case.

Assumed Duty

At least one other court has indicated that a duty of protection against assault is automatically assumed by banks and inns because of the kinds of services they offer. In Caronia v. McKenzie's Pastry Shoppes, 97-681 (La.App. 4 Cir. 10/01/97); 700 So.2d 1315, 1320, writ denied, 97-2695 (La.01/09/98); 705 So.2d 1113, Judge Byrnes in a concurring opinion observed that:

The "duty of protection voluntarily assumed" should be reserved for those cases where the business owner expressly or tacitly assumes the duty of protection... businesses such as banks or innkeepers where security is considered to be an intrinsic part of the service offered.

However, in the present case, it is not necessary to rely on a tacit assumption by banks in general of the duty to protect. Merchants Bank expressly assumed this duty when, based upon the FDIC regulations, Merchants Bank developed a security plan of its own in April of 1992. The trial court acknowledged the security plan of the bank and found that Merchants Bank owes a duty to its patrons "to provide a reasonably safe place to conduct normal banking business at its various bank locations." Accordingly, this written plan of Merchants Bank specifically created a duty to protect its patrons in its stated purpose, which provided as follows:

The purpose of bank security is to produce and initiate a positive program of action designed to maximize security for bank employees, the public, and bank assets against crime and other hazards and to comply with the provisions of the Federal Deposit Insurance Corporation Regulations as detailed in subpart A section 326.0 through 326.4.

The plan went on to describe its security officer's functional responsibilities to ensure that all provisions of its security program were implemented, including security training, and to render periodic reports to the Board of Directors to insure their awareness of all security matters at all locations. Hence, Merchants Bank, through its own security program, assumed a duty to provide security for "the public" which specifically included Jesse Pinsonneault. Similarly, in Schaus, 233 A.D.2d 919, 649 N.Y.S.2d 752, the court acknowledged a duty to protect where the defendant bank recognizes the need for safety precautions in its own safety manual. Consequently, the trial court's finding of an assumed duty pursuant to the bank's security manual was correct.

Moreover, in the present case, Merchants Bank invited surrounding businesses to bring money to its night depository, *187 which was located in a high crime area in a branch bank that had undergone two previous armed robberies, at least one of which involved a shooting. Jesse Pinsonneault was the assistant manager of Sambino's Pizza which was located approximately 300 feet away from the bank's night depository. Jesse usually made the last night deposits of the receipts and operating cash around 1:30 a.m. after closing and balancing the store at midnight. The accomplice, Christian Boyd, stated that he and the shooter, Lawson Strickland, had watched Jesse bring the deposit the preceding day and lay in wait for him or whoever brought the Sambino deposit at 1:30 a.m. on November 3, 1992. Based upon the bank's invitation to Sambino's Pizza to bring money to the depository, the bank's experience with prior shooting and criminal attacks, the foreseeability of future criminal conduct, and the bank's assumed duty of security pursuant to its written plan, Merchants Bank was dutybound to provide security to its patrons.

Given Jesse's job to nightly deposit the proceeds of his employer, and the employer's proximity to the bank, it was particularly foreseeable that Jesse could be shot and that "the act as to him had possibilities of danger" so apparent as to render the bank duty-bound to protect him. Accordingly, we find that armed robbery is a risk that threatens bank patrons at a facility where robberies have occurred before, and that the duty of security at Merchants Bank extended to protect Jesse Pinsonneault from the robbery which was perpetrated against him at night outside the bank at its night depository.

BREACH ELEMENT

Once it has been established that the scope of the duty encompassed the risk of robbery and assault, the question becomes whether Merchants Bank breached that duty because it failed to perform the duty in a reasonable and prudent manner. If the duty was breached, the breach is the legal cause of Jesse's injuries, and damages are due his family. In the present case, the Pinsonneault family asserts that Merchants Bank failed in its duty to take reasonable precautions to protect Jesse Pinsonneault from criminal attack because it did not install video cameras, or cut its shrubbery, extend its fence, or improve its lighting, any one of which would have helped to deter this robbery. The Pinsonneault family urges that it was manifest error for the trial court to find that the duty had not been breached. We agree.

The generally accepted view is that negligence is defined as conduct which falls below the standard established by law for the protection of others against an unreasonable risk of harm. RESTATEMENT (SECOND) OF TORTS, § 282 (1965); HARPER, JAMES & GRAY, THE LAW OF TORTS, § 16.1 at 381-382; W. PAGE KEETON, ET AL., PROSSER & KEETON ON THE LAW OF TORTS, § 31. The test for determining whether a risk is unreasonable is supplied by the following formula. The amount of caution "demanded of a person by an occasion is the resultant of three factors: the likelihood that his conduct will injure others, taken with the seriousness of the injury if it happens, and balanced against the interest which he must sacrifice [or the cost of the precaution he must take] to avoid the risk." L. Hand, J. in Conway v. O'Brien, 111 F.2d 611, 612 (2d Cir.1940).

If the product of the likelihood of injury multiplied times the seriousness of the injury exceeds the burden of the precautions, the risk is unreasonable and the failure to take precautions or sacrifice the interest is negligence. Id. See also Levi v. SLEMCO, 542 So.2d 1081 (La.1989); Allien v. Louisiana Power & Light Co., 202 So.2d 704 (La.App. 3 Cir.), writ denied, 251 La. 392, 204 So.2d 574 (1967); HARPER, JAMES & GRAY, supra, § 16.9. The foregoing conception has been referred to by legal scholars as the "Hand formula," the "Learned Hand test" or the "risk-benefit" balancing test. See PROSSER & KEETON, supra, § 31 at 173 n. 46; HARPER, JAMES & *188 GRAY, supra, § 16.9 at 468 n. 5; G. RODGERS, RATIONALITY AND TORT THEORY, 54 S.Cal. L.Rev. 1, 8 (1980); R. EPSTEIN, A THEORY OF STRICT LIABILITY, 2 J.Legal Stud. 151, 154 (1973); R. POSNER, A THEORY OF NEGLIGENCE, 1 J.Legal Stud. 29, 33 (1972); G. CALABRESI & J. HIRSCHOFF, TOWARD A TEST FOR STRICT LIABILITY OF TORTS, 81 Yale L.J. 1055, 1056 (1972).

In the present case, where foreseeability of armed robbery at the night depository has been established, the likelihood that the bank's failure to provide security would lead to the shooting death of a night deposit patron far outweighs the cost of installing surveillance cameras, cutting down shrubbery, upgrading lighting and/or extending a fence. The argument of Merchants Bank that it was in the process of implementing its April 1992 security plan is not sufficient to illustrate reasonableness wherein the bank had been operating for well over ten years. As stated, the FDIC, under the Bank Protection Act of 1968, mandated a security officer designation and a security plan implementation within thirty days of membership in the FDIC. The regulations called for an investigation of crime statistics and incidences including robberies, burglaries and larcenies, consultations with law enforcement officers, and the installation of appropriate surveillance equipment at all banking locations.

The bank's own security plan, when it finally wrote one in April of 1992 before the shooting in November 1992, rendered it duty-bound to enforce the FDIC regulations and to protect the public as well as the bank's assets. A duty of protection which has been voluntarily assumed must be performed with due care. Harris, 455 So.2d at 1369. Yet, the record indicates that Merchants Bank installed video surveillance equipment at its other branch night depositories, but not at the Entrance Road branch, which was the only branch in the high crime area and the only branch which had already experienced two armed robberies. It is apparent that the bank did not investigate crime statistics, consider its own history, or update its equipment, which the CEO admitted was antiquated, on a greatest-need-first basis. The trial court indicated that statistics eventually obtained showed that night deposit crimes were less frequent than daytime robberies, employee thefts, and ATM crime. However, this analysis does not reconcile the actions of the bank in installing video cameras at its other two branches' night depositories, instead of in the branch in the higher crime area in general. Moreover, while statistics are often beneficial, the foreseeability of armed robbery somewhere on the premises is sufficient to render the bank duty-bound to protect against it everywhere on the premises.

Further, testimony indicates that the mandated investigations were not made, and there is no evidence that the bank reported the status of its investigations in June of 1992 as mandated by the FDIC. In fact, the bank was cited by the FDIC for its failure to report. Such investigations and reporting would have alerted the bank to the need for improved security measures. Officer Sidney Williams patrolled the area around the bank eight to ten times per night and stated that the lighting, except right under the drive-throughs, was too dim to write his notes, the shrubbery was above waist high, and that he had to shine a hand-held spotlight directly on the shrubbery to determine whether anyone was hiding behind it. Notwithstanding the FDIC regulations which arguably would have directly protected Jesse Pinsonneault, if the bank had done nothing more than read the publications delivered to it and the other available materials distributed by the American Bankers Association, it would have known of the need for video surveillance, improved lighting and landscaping needs.

More specifically, as stated, the bank had been receiving newsletters entitled the Advisor from the American Bankers Association since the late 1980's, some of which were introduced as evidence and appear in *189 the record. These publications warned of security problems at night depositories. The March 1988, Vol. 7, No.12 issue contained the front-page headline: "Security is Everyone's Job" and described a night deposit incident where a college student was shot in the face, lost sight in one eye, and sued the financial institution, after a night deposit customer had earlier warned employees of poor lighting, overgrown shrubbery, and the high crime status of the area. Likewise, the July 1988, Vol. 8, No. 4 issue printed a follow-up story reporting that the same student had been granted the right to another trial for punitive damages against the financial institution.

The June 1990, Vol.10, No.3 issue contained the following:

Unfortunately, customers are being accosted at ATM's and night depositories with increasing frequency, and violence at these exterior facilities has become a factor of particular concern to law enforcement and financial institution officials.

This article then goes on to describe an incident wherein a customer was doused with gasoline and robbed under threat of being ignited.

The February 1991, Vol.10, No.11 issue contained the following headline and first paragraph on the front page:

Night Depository Crimes
The night depository is an area of a financial institution beset by a variety of crimes, ranging from fraud to burglary, theft from customers and, sometimes very violent attacks. Unfortunately, the convenience it affords customers translates to convenience for the criminal, and frequency of use during darkness only exacerbates the condition. This all calls for extra vigilance, extra security consciousness. The following, a varied sampling of just a few of the many night depository crimes reviewed by the Advisor staff, offers some idea of the multiplicity of crimes found in this area of a financial institutions operations.

Various issues of the Advisor also contain information regarding the benefits of surveillance equipment for physical protection because it offers "deterrence and a record of the area under surveillance." March 1992, Vol 11, No.12. "The proper utilization and maintenance of surveillance cameras can be considered a standard of the industry—and simply a matter of good business sense." September 1992, Vol 12, No.6. These newsletters also contained regulations of the FDIC and the Board of Governors of the Federal Reserve System on the requirements for security plans and security officers and included recommendations of the American Bankers Association, as well as warnings regarding security related lawsuits and physical injuries to customers.

The April 1991, Vol.11, No.1 issue outlined the regulations and emphasized that "the content of a financial institution's written security program approved by the board and the annual report from the security officer become absolutely critical." The issue warns that bank directors will be more accountable for proper training of the security officer they designate, responsible for ensuring that their financial institution's security procedures and devices meet industry standards, and liable for ensuring that the security program they approve is effectively implemented by the security officer and staff employees.

In addition to the Advisor newsletters, the ABA copyrighted in 1974 the Bank Protection Manual which contained a special section on night depository construction requirements including the installation of a burglar alarm. A paragraph at the bottom of page 2.2.9 states that

The bank also must consider the protection of customers using the night depository. Lighting and location are important, as was noted in previous chapters dealing with automated tellers and cash dispensing machines. The location should be clearly visible, allowing *190 no high bushes, shrubbery, or other obstacles to provide hiding places for robbers of night deposit customers.

Additionally, the Bank Security Desk Reference outlines the Bank Protection Act of 1968 and recommends surveillance cameras at night depositories, and it emphasizes the importance of special training for the bank's designated security officer. Yet, the record indicates that neither Mr. William Droddy, security officer from 1981 to 1991, nor Mr. Perry Johnson, security officer appointed in 1992, was adequately trained for the position. Nor did they conduct the mandated investigations, or apply any of the recommendations regarding shrubbery, lighting, or surveillance cameras.

Plaintiffs' security expert, Dr. Norman Bottom, indicated that the shrubs exceeded the two-foot maximum height for businesses and that the two-sided fence was inferior because evildoers could go around it where it did not run down the side of the property by McDonald's restaurant. The bank's security officer stated that this was primarily for aesthetic reasons. Banking literature specifically warned against being more concerned with aesthetics than safety. The security officer also stated that customers sometimes walked from Mc-Donald's to the bank to conduct business at lunch. However, as pointed out by plaintiffs, the simple notion of a gate opened during banking hours would have answered this concern over customer convenience.

Dr. Bottom further indicated that night deposit and ATM crime had been so prevalent and so publicized in banking publications since the 1970's that he found it incredible and very difficult to accept that Merchants Bank was unaware of it. In fact, such crime was so prevalent that the Louisiana legislature enacted in 1995 the Automated Teller Machines/Night Depository Customer Safety Act at La.R.S. 6:1361, which became effective in July of 1996, to provide for uniform lighting and landscaping standards and for warnings to customers using these services.

Merchants Bank challenges the authority of the literature actually received and/or available to it as not mandating these specific security measures or pronouncing an industry standard. However, this is of no moment, as we have found that where a specific mandate is absent, the repeated warnings from the American Bankers Association in conjunction with the bank's prior experiences of armed robbery at this location created a duty to protect patrons at night depositories, and that duty was breached. Moreover, we find applicable our case law in the product liability arena which instructs us that compliance with industry standards alone is not synonymous with "reasonable behavior." See Hopper v. Crown, 93-2021 (La.App. 1 Cir. 10/07/94); 646 So.2d 933, writ denied, 95-0179 (La.3/17/95); 651 So.2d 275.

Therefore, even if Merchants Bank had complied with the Bank Protection Act of 1968 and the FDIC regulations, if those rules do not specifically mandate protections to save Jesse Pinsonneault's life, the bank is still not excused for its failure to protect him. This is so because prior robberies and non-mandated recommendations made it foreseeable that this injury would occur, and the bank's own security manual rendered it duty-bound to protect Jesse Pinsonneault, a repeat customer and invited patron of the bank, who nightly brought his employer's deposit to the night depository.

Having found that the conduct of Merchants Bank was a cause-in-fact of the plaintiffs' harm, that Merchants Bank owed a duty of security to Jesse Pinsonneault, that the duty encompassed the risk of robbery and assault, that it breached that duty through unreasonable behavior, and that the breach was the legal cause of the injuries herein, we now turn to the quantification of damages. Where we are reversing the issue of liability on appeal we may fix the quantum and award damages to Jesse and his survivors in an *191 amount which is just and appropriate. Thompson v. Louisiana Dep't of Transp. & Dev., 93-1294 (La.App. 3 Cir. 6/29/94); 639 So.2d 864, writ denied, 94-2047 (La.11/4/94); 644 So.2d 1052; Courville v. Piggly Wiggly Bunkie Co., Inc. 614 So.2d 1366 (La.App. 3 Cir.1993).

DAMAGE ELEMENT

The Pinsonneault family asserts as final error that the trial court was manifestly wrong in failing to award wrongful death and survival damages and in not awarding Lejeune damages for Debbie Pinsonneault's bystander claims. We agree and make the following awards.

Wrongful Death Claims

The awards for damages in a wrongful death action are determined by the degree of affection which existed between the deceased and the various different plaintiffs. Buckbee v. Aweco, Inc., 626 So.2d 1191 (La.App. 3 Cir.1993), writ denied, 93-2691 (La.1/13/94); 631 So.2d 1162. Moreover, it is well settled that in awarding damages for loss of society and companionship, Louisiana courts take into consideration the closeness of the family relationship. Mathieu v. State, Dep't of Transp. & Dev., 598 So.2d 676 (La.App. 3 Cir.), writ denied, 600 So.2d 665 (La.1992). In the present case, Jesse and his identical twin brother, Orin, more or less chose James Pinsonneault as their father when they were eleven and one half years old by arranging a meeting between James and their mother, Debbie.

James was their Cub Scouts leader and had a close relationship with the boys. James adopted Jesse and Orin after marrying Debbie, and the family was very close knit. James described them as a "huggy" family. They still lived together as a family unit with the boys taking carpentry classes and planning to start a construction business together.

In the twelve years before Jesse's death, James fished with him, worked on his car with him, and as a military helicopter pilot took the boys to Europe and had them educated there. The family took vacations and skied together and were very affectionate with each other. After Jesse's death, James and Debbie could not bear to drive by the bank where he was shot, and they put in for a compassionate relocation. James had such difficulty dealing with the loss of Jesse that he was temporarily grounded. He questioned his faith and sought counseling from his chaplain. Debbie was literally devastated by the death of her son, and never recovered, ceasing her numerous activities as a military wife who loved crafts and helping others. She was subject to crying spells and, after his death, continued to set a fourth plate at the dinner table, which upon realizing would cause a new onset of grief. Debbie was diagnosed with cancer, and upon her death four years after Jesse's death, it was Jesse for whom she grieved even upon her death bed.

While we are not bound by any prior awards, we may refer to them as aids and for instructive purposes. The Pinsonneaults cite a second circuit case awarding $750,000 to parents for the loss of a thirteen-year-old son. However, our reading of that case, Hood v. State Through Dep't of Transp. & Dev., 587 So.2d 755 (La.App. 2 Cir.), writs denied, 590 So.2d 81 and 590 So.2d 82 (La.1991), indicates that each parent received $175,000, for a total of $350,000 in wrongful death damages. In Dunn v. Gentry, 94-1164 (La.App. 3 Cir. 4/5/95); 653 So.2d 783, writ denied, 95-1148 (La.6/16/95); 655 So.2d 335, we awarded $200,000 to each parent in the death of a six-year-old struck by a truck while boarding a school bus, and in Monceaux v. Jennings Rice Drier, Inc., 590 So.2d 672 (La. App. 3 Cir.1991), we awarded $225,000 to each parent for college-aged daughter who sustained a broken neck. The plaintiffs also cite three third circuit cases for awards ranging from $500,000 to $650,000 for both parents. In Prince v. Mattalino, 583 So.2d 541 (La.App. 3 Cir.1991), the jury awarded $400,000 to each parent for the wrongful death of a two-and-one-half-year-old, *192 and we affirmed the trial court's reduction of the award to a lump sum of $500,000 for survival ($100,000) and wrongful death damages, where $500,000 is the statutory cap for medical malpractice awards. In Corbello v. Southern Pacific Transportation Co., 586 So.2d 1383 (La. App. 3 Cir.), writ denied, 589 So.2d 1052 (La.1991), we affirmed a $250,000 award to each parent in the death of a fifteen-year-old train accident victim, and in Hasha v. Calcasieu Parish Police Jury, 94-705 (La. App. 3 Cir. 2/15/95); 651 So.2d 865, writs denied, 95-667, 95-676 (La.4/28/95); 653 So.2d 592 and 653 So.2d 593, we awarded $325,000 to each parent for the loss of an eighteen-year-old son.

Merchants Bank cites a string of Louisiana Supreme Court and third circuit cases awarding $150,000 to each parent and argues that this is the most often awarded amount for the death of a major child. The bank also points out that both parents in this case had a limited amount of time and memories with Jesse, James because of the later adoption, and Debbie because of her own early death. We find, however, that this family was particularly close, and that because the family still lived together as a unit, Jesse's majority has no bearing on the award. We fix the quantum for the wrongful death of Jesse Pinsonneault at $700,000, or $350,000 for each parent.

Mrs. Pinsonneault's Bystander Claim

Debbie Pinsonneault arrived at Merchants Bank within minutes of the shooting and witnessed Jesse lying in a pool of blood, his body shaking all over, and his face lined with tears. The medics were just beginning to cut his clothes off in order to attend to him. A witness at the scene stated that Debbie was hysterical. Jesse's first words to his mother were "Mom, I love you," as he reached out to hold her hand. This image stayed with her thereafter, through sessions with a psychiatric nurse and friend, Debra Bower, and until Debbie Pinsonneault died four years later of cancer. Accordingly, we award $100,000 for the Lejeune-type by-stander damages of Debbie Pinsonneault.

Jesse's Survival Cause of Action

Damages for the pain and suffering of the deceased are properly awarded if there is a scintilla of evidence of any pre-death pain or suffering by the victim. Mathieu v. State, Dep't of Transp. & Dev., 598 So.2d 676. Jesse Pinsonneault was shot at approximately 1:30 a.m. and died around 10:30 a.m. on November 3, 1992. The bullet shattered his clavicle and caused profuse bleeding. His cries and screams for help could be heard from the parking lot of Sambino's Pizza where his friend waited for him. Dr. Guru P. Ghanta and Dr. Phillip Charles Lindsay testified that victims of this kind of injury suffer an overwhelming sense of doom and impending death. Jesse knew that he was dying and repeatedly asked his mother to contact his brother and his father and tell them that he loved them and to come quickly. He repeatedly stated that he was not going to make it. He appealed to his faith for final salvation. His body continued to shake from the time of the shooting and into the hospital emergency room.

Testimony indicated that Jesse was frightened and in tremendous pain, and that the fear and despondency was apparent in his eyes and his face. The plaintiffs have asked for $500,000 for Jesse's predeath pain and suffering, and have cited Strawder v. Zapata Haynie Corp., 94-453, 94-454 (La.App. 3 Cir. 11/2/94); 649 So.2d 554, where we awarded that amount for two crew members who experienced an explosion and fire aboard ship before drowning twenty to thirty minutes later. The defendant points out that Jesse subsequently became paralyzed from the waist down and that he did not suffer at all after he was sedated for surgery. Defendant suggests $50,000 for his several hours of suffering and cites Bunch v. Schilling Distributing, Inc., 589 So.2d 502 (La.App. 3 Cir.1991), writ denied, 592 So.2d 1319 (La.1992), where we awarded that amount *193 to the mother of a thirteen-year-old auto accident victim who died during surgery seven hours after the accident. However, that case primarily addresses the rights of divorced parents and provides absolutely no insight as to the pre-death suffering, the nature of the injuries, or even the consciousness of the victim after the collision. We believe that $400,000 is the amount we must place upon Jesse's predeath pain and suffering in this violent shooting case.

SPECIAL DAMAGES

The stipulated special damages in this case are $36,890.87, and are awarded accordingly. Hence, the total amount recoverable by the Pinsonneault family is $1,236,890.87.

COMPARATIVE FAULT

The trial court found that Merchants Bank was not at fault, and the court did not deem it necessary to determine the fault of Sheriff Howard, who settled with the plaintiffs prior to trial, or of Lawson Strickland, Christian Boyd, and Kimberly Atkins, who were added as third party defendants by Merchants Bank. Because we reverse and find Merchants Bank liable, we must address the other defendants who may or may not be liable along with Merchants Bank. As stated, the bank asserted the fault of the sheriff and of Sambino's Pizza in its affirmative defenses. However, the party asserting the affirmative defense has the burden of presenting evidence in support of that defense. As Merchants Bank has not adduced any evidence to support those negligence allegations against Sambino's, we will not consider the fault of Sambino's Pizza. We now turn to the remaining defendants who fall into two categories: (1) the negligent tortfeasor, Sheriff Howard; and (2) the intentional tortfeasors, Strickland, Boyd, and Atkins.

Negligence of Vernon Parish Sheriff

Sheriff Howard's negligence for allowing the trustees, Boyd and Strickland, to escape while taking out the trash, is analyzed under Wilson v. Department of Public Safety & Corrections, 576 So.2d 490 (La.1991). Wilson states that custodians of prisoners have a duty to manage the activities of their respective prisons in a manner such that the public is not exposed to an unreasonable risk of harm. However, the state is not the insurer of the safety of its citizens, therefore this duty does not encompass all harm inflicted by an escapee. The operative intent of this duty is to protect the public from being harmed by escaping prisoners while in the process of their escape. Hence, the issue under Wilson is whether Strickland and Boyd were in the process of escaping when the shooting occurred.

The record indicates that after their escape from the Vernon Parish jail on October 28, 1992, Boyd and Strickland were picked up by Kim Atkins and taken to the trailer of Jennifer McCormick and Amy Dempsey in Leesville, Louisiana. Over the next several days, Boyd and Strickland traveled around without disguises and without apparent fear of being caught. More specifically, they went to Fort Polk to obtain money from a friend and went to Oklahoma expecting to obtain further assistance there. However, that assistance did not materialize and they returned to the area they knew, the Leesville area. At various times they went shopping at a Wal-Mart in DeRidder, went to a popular club in Alexandria, went to Toledo Bend, all the while meeting people they had never met before and apparently socializing.

Christian Boyd testified that he and Strickland planned to rob a night deposit customer of Merchants Bank in order to get money to live on, and he indicated that they were no longer on the run. Moreover, if Strickland and Boyd had been in the process of escaping, it stands to reason that since they were on foot, they would have taken the vehicle of Jessie Pinsonneault *194 which was sitting only a few feet from the night depository. Accordingly, we find that Boyd and Strickland were no longer "in the process of their escape." Hence, the Sheriff is not liable under Wilson.

Quantification of Fault of Intentional Tortfeasors

Lawson Strickland is reportedly on death row for the shooting death of Jesse Pinsonneault. Christian Boyd was found guilty of manslaughter as an accomplice in the shooting. Kim Atkins, who was seventeen years old at the time, took the escapees to the trailer initially, subsequently gave Lawson Strickland a gun which she took from her brother's glove compartment, and she later dropped them off at the entrance to the bank. The question we must now decide is whether the fault of these intentional tortfeasors should be used to reduce the plaintiffs recovery in the present case. This is no simple task, and we find ourselves metaphorically between the proverbial rock and the hard place: the rock being our brethren of the Supreme Court, and the hard place being our legislature, or vice versa.

Prior to April 16, 1996, the comparison or quantification of fault of intentional tortfeasors was at the courts' discretion. In tort cases such as this one, where the conduct of both negligent and intentional tortfeasors caused the plaintiffs injuries, the comparative fault doctrine could be used to compare negligence and intent. In Veazey v. Elmwood Plantation Associates, Ltd., 93-2818, p. 8 (La.11/30/94); 650 So.2d 712, 717, which we find compelling, logical, valid, and applicable to the facts in this case, the Louisiana Supreme Court framed the issue as, "whether the comparative fault law extends to wrongful conduct at the opposite end of the spectrum—intentional torts." The court found that while comparative fault under La.Civ.Code art. 2323 is broad enough to encompass both unintentional and intentional conduct, the Civil Code does not define "fault," and "this Court has heretofore read La.C.C. art 2323 as leaving it to the Court's discretion to determine in what contexts the doctrine of comparative negligence should be applied." Id. at 718. The court then determined that the question should be decided on a case-by-case basis.

In Veazey, where a tenant was raped in her apartment due to poor security at the apartment complex, the court articulated its rationale for assessing one hundred percent of the damages against the apartment complex and for refusing to apply comparative fault between the complex and the rapist as follows:

First and foremost, the scope of [defendant's] duty to the plaintiff in this case clearly encompasses the exact risk of the occurrence which caused damage to the plaintiff. As a general rule, we find that negligent tortfeasors should not be allowed to reduce their fault by the intentional fault of another that they had a duty to prevent.
Second, Southmark ... should not be allowed to benefit at the innocent plaintiffs expense by an allocation of fault to the intentional tortfeasor under comparative fault principles ... application of comparative fault principles in the circumstances presented ... would operate to reduce the incentive of the lessor to protect against the same type of situation occurring again in the future. Such a result is clearly contrary to public policy.
Third ... intentional wrongdoing "differs from negligence not only in degree but in kind, and in the social condemnation attached to it." ... Because we believe that intentional torts are of a fundamentally different nature than negligent torts, we find that a true comparison of fault based on an intentional act and fault based on negligence is, in many circumstances, not possible.

Veazey, 650 So.2d at 719, 720 (citations omitted).

This rationale is further bolstered by the legislature's different treatment of intentional *195 tortfeasors in La.Civ.Code arts. 2323 and 2324, which continue to hold them solidarily liable and which attempt to prevent a reduction of the plaintiff's damages because of intentional acts. Hence, metaphorically again, negligent tortfeasors and intentional tortfeasors are like apples and oranges which are not always susceptible of comparison simply because they both qualify as fruit.

However, Act 3 of the 1996 Legislature amended La.Civ.Code art. 2323 to provide in subpart A that "the degree or percentage of fault of all persons causing or contributing to the injury, death, or loss shall be determined." (Emphasis added.) Hence, we now appear to be legislatively mandated to quantify the fault of the intentional tortfeasor, although he is not expressly listed in subpart A. Moreover, the Louisiana Supreme Court has made the Article 2323 quantification rule retroactive to this 1992 shooting of Jesse Pinsonneault. Keith v. U.S. Fidelity & Guar. Co., 96-2075 (La.5/9/97); 694 So.2d 180. However, neither the Supreme Court nor the legislature has mandated how to use the quantification of fault, and neither has overruled Veazey, which wisely gave the courts latitude to work with the facts in each given case in deciding whether to assess damages to the intentional tortfeasor. Further, the discretionary power of the court has been preserved in the current and unchanged version of La.Civ. Code art. 2324.1, which states: "In the assessment of damages for offenses, quasi offenses, and quasi contracts, much discretion must be left to the judge or jury." Therefore, while we are mandated to quantify the fault of all persons causing injury, we are not under express mandate to assess damages to all persons causing injury.

More specifically, the 1996 amended version of La.Civ.Code art. 2323, which applies retroactively to the shooting death of Jessie Pinsonneault, provides as follows:

Art. 2323. Comparative fault
A. In any action for damages where a person suffers injury, death, or loss, the degree or percentage of fault of all persons causing or contributing to the injury, death, or loss shall be determined, regardless of whether the person is a party to the action or a nonparty, and regardless of the person's insolvency, ability to pay, immunity by statute, including but not limited to the provisions of R.S. 23:1032, or that the other person's identity is not known or reasonably ascertainable. If a person suffers injury, death, or loss as the result partly of his own negligence and partly as a result of the fault of another person or persons, the amount of damages recoverable shall be reduced in proportion to the degree or percentage of negligence attributable to the person suffering the injury, death, or loss.
B. The provisions of Paragraph A shall apply to any claim for recovery of damages for injury, death, or loss asserted under any law or legal doctrine or theory of liability, regardless of the basis of liability.
C. Notwithstanding the provisions of Paragraphs A and B, if a person suffers injury, death, or loss as a result partly of his own negligence and partly as a result of the fault of an intentional tortfeasor, his claim for recovery of damages shall not be reduced.

(Emphasis added.)

Hence, it appears that 2323(A), which does not mention intentional tortfeasors, requires that the fault of all persons, including intentional tortfeasors, must be determined. However, it is clear under 2323(C) that the partly negligent plaintiff is not to be penalized for the intentional harm that has befallen him—i.e., "his claim for recovery of damages shall not be reduced." What of the completely innocent, non-negligent plaintiff such as we have in this case? Surely he should be entitled to at least as much as the negligent plaintiff, such that his damages "shall not be reduced" by the fault of the intentional tortfeasor. *196 To penalize the non-negligent plaintiff by forcing an allocation of fault to intentional tortfeasors and then using that allocation of fault to reduce the innocent plaintiff's recovery would be absurd. The absurdity is not lessened by the addition of negligent tortfeasors who had a duty to protect the plaintiff from the intentional tortfeasors, and whose negligence is the legal cause of the plaintiff's injury, as in the present case.

Notwithstanding the ambiguity of how or whether the allocation of fault is to be applied in actually assessing damages, Article 2323(A) mandates that we "determine" the percentages of fault of all tortfeasors. Because we are mandated to do so, we shall.

In assessing the nature of the conduct of the parties, various factors may influence the degree of fault assigned, including: (1) whether the conduct resulted from inadvertence or involved an awareness of the danger, (2) how great a risk was created by the conduct, (3) the significance of what was sought by the conduct, (4) the capacities of the actor, whether superior or inferior, and (5) any extenuating circumstances which might require the actor to proceed in haste, without proper thought. Watson v. State Farm Fire and Cas. Ins. Co., 469 So.2d 967 (La.1985).

Our consideration of these factors suggests that some fault must rest with Merchants Bank. The causal relation between negligent landscaping, lighting, and location of the night depository, and an attack by criminals under cover of night is a direct one. Based upon information available to it and directives imposed upon it as set forth above, the bank's conduct did not result from inadvertence, but involved an awareness of the danger. An inordinately great risk, loss of life of a depositor, was created by the conduct of the bank. The significance of what was sought by the conduct was, at least in the instance of the inadequate fencing, tragically only a desire to preserve an aesthetically pleasing appearance. The bank possessed a superior capacity for making its premises safe, both in terms of economic affordability and in the availability of appropriate equipment. We, therefore, allocate forty percent of the fault to Merchants Bank under Article 2323 and Keith. Accordingly, sixty percent of the fault is allocated to the intentional tortfeasors, Strickland, Boyd and Atkins, in the proportion of twenty-five percent each to Strickland and Boyd, and ten percent to Atkins.

Having allocated those percentages of fault to the negligent and intentional tortfeasors, we now turn to the assessment of damages. The quandary into which we are thrust in trying to interpret Articles 2323(A) and 2323(C), which tell us first to quantify all fault and tell us next not to reduce the plaintiff's recovery by his own or the intentional tortfeasors' fault, is intensified by La.Civ.Code art. 2324. The 1996 amended version abolishes solidary liability among negligent tortfeasors but preserves solidarity among intentional tortfeasors without addressing the plaintiffs advantage in 2323(C) of not having his damages reduced when he has been intentionally hurt. Moreover, neither article addresses its impact on the completely innocent plaintiff. Since both articles specifically address the contributorily negligent plaintiff, perhaps neither was intended to be applied to the non-negligent plaintiff. Even more confusing is the retroactivity of Article 2323 and the nonretroactivity of Article 2324. See Aucoin v. Dept. of Transp. & Dev., 97-1938, 97-1967 (La.4/24/98); 712 So.2d 62. Under the pre-amendment version of Article 2324, applicable to this 1992 shooting, the solidary liability of all tortfeasors is preserved only if "otherwise provided by law." If not otherwise provided by law, the intentional tortfeasors are solidarily liable, and the negligent tortfeasors are solidarily liable only to the extent that a negligent plaintiff could potentially recover fifty percent of his "recoverable" damages from *197 each defendant, as long as his fault was less than the paying tortfeasor. Under the amended version of 2324, solidary liability is only retained among the intentional tortfeasors. However, again, neither version of Article 2324 addresses the non-negligent plaintiff.

In cases involving non-negligent plaintiffs who have been harmed by two tortfeasors whose conduct was the legal cause of the plaintiff's injuries, the courts have refused to apply the limitations of Article 2324. As Turner v. Massiah, 94-2548 (La.6/16/95); 656 So.2d 636, concluded, an apportionment of fault cannot always be utilized as an apportionment of damages. There, where the court found that two medical providers injured the plaintiff and either doctor could have prevented the harm, the court articulated:

The percentage of fault and legal cause are two separate inquiries. La.Code Civ.P. art. 1812(C). The fact that the relative culpability of the providers can be assigned a percentage does not mean that in terms of legal cause each provider was not responsible for the whole injury. The negligence of each provider in this case was the legal cause of the entire damage.

Id. at 639. Also, the Turner court in footnote 3 noted that the malpractice at issue therein arose prior to the 1987 amendment limiting solidarity to ensure only a fifty percent recovery, but stated that the statute also did not apply because each defendant's conduct was the legal cause of all of the plaintiff's harm:

[W]hen a tortfeasor is the legal cause of 100% of the victim's harm, his liability for 100% of the victim's damage is based on more than the imposition of a solidary obligation between joint tortfeasors, and an apportionment of fault cannot relieve him of responsibility for damages for which he is the legal cause. The amendment to La.Civ.Code art. 2324 has not changed this result.

The Turner court applied the reasoning in Lambert v. U.S. Fidelity & Guar. Co., 629 So.2d 328 (La.1993) (also involving a non-negligent plaintiff), which held that Article 2324, reducing solidary liability to the extent necessary for the plaintiff to recover fifty percent of his damages, did not dictate a change in the general rule that an original tortfeasor may be liable for suffering caused by a second tortfeasor. There, where a tort victim's injury was furthered by alleged malpractice in treating the original injury, the court reaffirmed its pre-amendment holding in Weber v. Charity Hospital of La. at New Orleans, 475 So.2d 1047 (La.1985), that the duty on the tortfeasor to refrain from causing injury to another encompasses the risk that the second injury may occur. Having found that the original tortfeasor's conduct was the legal cause of the injuries caused by the second tortfeasor, the court assessed one hundred percent of the damages against the original tortfeasor.

Similarly, in the present case, the duty of the twice-robbed Merchants Bank to protect its night depositors encompassed the risk that the absence of such protection would result in a criminal attack. We have found, where testimony indicated that the perpetrators would not have chosen this location but for Merchants Bank's faulty landscaping, lighting, and location of the night deposit box, that the conduct of Merchants Bank was the legal cause of the shooting. Therefore, under Lambert and Turner, which did not involve the egregious conduct of intentional tortfeasors, the assessment of one hundred percent of the damages to Merchants Bank is appropriate.

Louisiana Civil Code Article 2323(A) does not, standing alone, mandate a reduction of recovery unless the plaintiff is partly negligent. Moreover, Article 2323(C) mandates that the fault of the intentional tortfeasor not reduce the plaintiffs damages even if the plaintiff is partly negligent. Article 2323 and the pre-amended version of Article 2324 limiting the plaintiffs recovery appear to be in conflict, even for the negligent plaintiff, and the results *198 reached by a literal translation of the articles, especially for the non-negligent plaintiff, are absurd. That is, a literal reading of the statute would lead to the nonsensical and absurd result that a negligent plaintiff could recover one hundred percent of his damages if only intentional tortfeasors were involved, while a blameless plaintiff would not, even though there existed a negligent tortfeasor who was duty-bound to protect the plaintiff from the intentional tortfeasors. We refuse to countenance such absurdity. As was stated in State v. Ste. Marie, 98-1167, pp. 2-3 (La.12/18/98); 723 So.2d 407, 409 (citations omitted):

As a general rule, "[t]he plain meaning of legislation should be conclusive, except in the `rare cases [in which] the literal application of a statute will produce a result demonstrably at odds with the intentions of its drafters' [in which case] the intention of the drafters, rather than strict language controls." "When the literal construction of a statute produces absurd or unreasonable results, the letter must give way to the spirit of the law and the statute construed so as to produce a reasonable result."

Accordingly, while we are under mandate to quantify the fault of "all persons" contributing to the injury, even though intentional tortfeasors are not included in the list in Article 2323(A), we are not mandated to use the quantification of fault to reduce the Pinsonneault family's recovery. The intention of the drafters was not to penalize an injured party because of the intentional acts of a tortfeasor, but rather to avoid that result, as evidenced by Article 2323(C). In this case, the scope of the bank's duty included the protection to the plaintiff against the very risk posed by the robbers and killers. The bank was undeniably and indisputably the legal cause of the injuries. Our allocation of fault is mandated by Article 2323. However, because fault is allocated does not mean that the plaintiffs are not entitled to collect one hundred percent of the damages from the bank whose negligence was the legal cause of all of the plaintiffs injuries. If interpreted literally and applied in cases involving non-negligent plaintiffs and negligent and intentional tortfeasors, the 1987 and 1996 amendments to Article 2324, particularly the 1996 amendment, are in derogation of the long recognized and established rights of tort victims in Louisiana to full recovery against tortfeasors. As a result, these articles should be strictly construed and discriminatingly applied. We have attempted to construe the interplay between Articles 2323 and 2324 so as to allow the least injurious impact to injured victims. See Cavalier v. Cain's Hydrostatic Testing, Inc., 94-1496 (La.6/30/95); 657 So.2d 975 (Dennis, J., concurring) (superseded by statute as stated in Keith, 694 So.2d 180).

Based upon the policy considerations in Veazey, 650 So.2d 712, which did involve a faultless plaintiff and an intentional tortfeasor, we decline to assess damages to the intentional tortfeasors in the shooting death of Jesse Pinsonneault so as not to reduce the incentive of businesses like Merchants Bank to protect against the same type of situation occurring again in the future. As stated, pursuant to Veazey, we find that public policy would be violated by reducing the negligent tortfeasor's liability for damages by the percentage of fault of the intentional tortfeasor. We, therefore, quantify the fault at forty/sixty, but assess damages at one hundred percent against the negligent tortfeasor, Merchants Bank, whose duty it was to protect Jessie Pinsonneault from the intentional acts of Lawson, Boyd and Atkins. Our decision to nullify the impact of the intentional tortfeasor's fault on the plaintiffs' recovery is based on principles of sound statutory and codal interpretation and because it produces "a reasonable result." Veazey and its principles are still viable.[3]*199 Even though 2323 mandates a quantification, that does not decrease the negligent tortfeasor's liability for full recovery. Liability attaches to the bank for one hundred percent of the recovery because the bank is the legal cause of one hundred percent of the victim's harm.

Merchants Bank asserts as final error, in the event of our finding it liable, which we do herein, that the trial court erred in dismissing its third party claims against the intentional tortfeasors, Strickland, Boyd, and Atkins. Because we find the bank one hundred percent liable for the damages to the Pinsonneault family, and because we decline to include the fault of the intentional tortfeasors in the recovery of damages for the reasons stated above, pre-amendment Article 2324 contribution is not available, and we will not disturb the dismissal of the intentional tortfeasors as third-party defendants.

IV.

CONCLUSION

Based upon the foregoing, we reverse the judgment of the trial court which dismissed the plaintiffs' case and award the total amount of $1,236,890.87 with legal interest from the date of judicial demand for all elements of the plaintiffs' damages, assessing Merchants Bank with one hundred percent of that amount for the shooting death of twenty-three-year-old Jesse Pinsonneault.

REVERSED AND RENDERED.

NOTES

[1] Mrs. Pinsonneault died during the pendency of this lawsuit and her son, Orin Pinsonneault, was substituted as a party plaintiff.

[2] This action arose prior to the 1996 amendments to La.Civ.Code arts. 2323 and 2324. Article 2323 is retroactive regarding quantification See Keith v. U.S.F. & G., 96-2075 (La.5/9/97); 694 So.2d 180, while Article 2324 regarding solidarity is not. See Aucoin v. DOTD, 97-1938, 97-1967 (La.4/24/98); 712 So.2d 62.

[3] We are not called upon to determine the impact of the 1996 version of Article 2324(B) on Veazey and its policy implications. That is left for another day.

4.3.1.4 Barker v. City of Philadelphia ("The Tragic Kid Crushing Case") 4.3.1.4 Barker v. City of Philadelphia ("The Tragic Kid Crushing Case")

Dolores BARKER, Administratrix of the Estate of Robert P. Ebbecke, Deceased, v. CITY OF PHILADELPHIA, Room 202, City Hall, Philadelphia, Pennsylvania.

Civ. A. No. 14685.

United States District Court E. D. Pennsylvania.

Aug. 31, 1955.

*232John R. McConnell (of Morgan, Lewis & Bockius), Philadelphia, Pa., for plaintiff.

Abraham L. Freedman, Philadelphia, Pa., for defendant.

LORD, District Judge.

This action was instituted by Dolores Barker,' administratrix of the estate of Robert P. Ebbecke, deceased, to recover damages under the Wrongful Death, 12 P.S. §§ 1601 et seq., and Survival Statutes of Pennsylvania, 20 P.S. ch. 3 Appendix, § 771, for' the death of Robert P. Ebbecke, a minor, on August 18, 1952. Plaintiff alleged the minor’s death resulted from the negligent operation of one of the City of Philadelphia’s trash trucks.

The case was tried before a jury and resulted in verdicts in favor of the estate and the parents of the deceased minor. Defendant has filed the present motion to set aside the verdicts and for judgment n. o. v. •

The question is; Should a prudent or reasonably cautious man have foreseen that the alleged negligent act of defendant would result in the injury sustained?

The accident occurred in a densely populated section of the City of Phila*233delphia. The City maintained a garage for its trash trucks approximately one and one-half blocks from the scene of the accident. The street on which the garage is situated- is the- same street on which the- misfortune occurred. The trucks used' this street regularly in traveling to- and from the garage. As a- result of such use, the drivers of the trucks were thoroughly familiar with the fact that this was a neighborhood of children.

On the east side of 'the block where the accident occurred is a vacant lot which attracts' children from time to time. On the west side of the same block is a City playground whére at- the time of the accident, “quite a- gang of” children were playing.

On the afternoon of the accident, the driver of the City’s truck was proceeding down this street to the garage. As he-approached the scene where the accident occurred, he came upon another City truck double-parked in the street and headed in the same direction. The driver of the double-parked vehicle motioned that it was all right to proceed around him. Thereupon, the driver of the City-truck which was in motion turned out into the extreme left-hand side of the street, in attempting to pass the City vehicle which was parked. While doing, so, the driver noticed a huge piece of brown wrapping paper approximately six feet in diameter and two or three feet in height. This paper was lying' partially in the gutter and partially on the curb on the east side of the street. The driver stated he .did not desire to run over the paper because it might contain broken bottles and thus injure the tires of the truck. He attempted to avoid it by judging the distance between the paper and the City trash truck that was double-parked. After endeavoring to pass between these two objects, he then proceeded on to the garage.

What, in fact, actually happened was that the driver misjudged the truck’s position with respect to the paper and ran over it, crushing to death the boy who was under the paper with a playmate.

At the conclusion of the trial, the Court charged the jury in substance as follows:

“In the argument of counsel much has been said as to the foreseeability of the danger on the part of the truck driver. The law as to this is that one cannot be held legally liable for injury to the- personal property of another unless by the exercise of that degree of care and caution which a prudent or reasonably cautious man, acting under similar circumstances, would exert could he have foreseen, not the extent of the injury or damage, or manner in which it occurred, but could have foreseen that some injury or damage to the person or property of another would reasonably be expected to ensue as the result of his action or conduct.
“In this case the question for you to determine as a fact is whether the truck driver acted as a reasonably prudent and cautious man would act in driving his truck under the facts and the evidence as they have been testified to in this case. If he did you should find for the defendant. If he did not your verdict should be for the plaintiff. Could he have foreseen that the injury would reasonably be expected as a result of his conduct? If he could, you should find for the plaintiff. If he could not, your verdict should be for the defendant.”

To determine if there was negligence, it is necessary to ascertain first if a prudent or reasonably cautious man should have foreseen that his act would cause injury.-

Negligence has long, been defined generally as 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. Blyth v. Birmingham Water Works, 11 Exchequer 781 (1856).

*234The American Law Institute in its definition of negligence has said “negligence is * * * conduct * * * which falls below the standard established by law for the protection of others against unreasonable risk of harm” and further in Section 283, that this standard of conduct “is that of a reasonable man under like circumstances.” Restatement, Torts §§ 282, 283.

Thus, negligence is a matter of risk — that is to say, of recognizable danger of injury. In most instances, it is caused by an act of heedlessness or carelessness, where the negligent party is unaware of the results which may follow from his act. But it may also exist where he has considered the possible consequences carefully and has exercised his own best judgment as in the present case.

The Restatement of Torts in Section 435, ill. 1, and the Supreme Court of Pennsylvania have adopted the view that a defendant who is negligent must take existing circumstances as he finds them, and may be liable for consequences brought about by his acts, even though they were not reasonably to have been anticipated. Or, as it is sometimes expressed, what he could foresee is important in determining whether he was negligent in the first instance, but not at all decisive in determining the extent of the consequences for which, once negligent, he will be liable. Shipley v. City of Pittsburgh, 1936, 321 Pa. 494, 184 A. 671; Oil City Gas Co. v. Robinson, 1881, 99 Pa. 1; Bunting v. Hogsett, 1891, 139 Pa. 363, 21 A. 31, 33, 34, 12 L.R.A. 268.

Applying the law to the facts of the instant case it is readily ascertainable that the driver of the City’s truck should have known that some form of injury might ensue if he were to pass over this huge piece of paper. Taking the facts most favorable to the plaintiff, it is a justifiable conclusion to draw that the appearance of the paper, as shown by the fact it was two to three feet in height, would put an ordinarily prudent man on notice that injury might result if he ran over it, and that he should exercise additional precautions to avoid doing so. This is evident by the fact that the driver acknowledged that he was aware that something might be under the wrapping paper. Additionally, I believe that this awareness coupled with the fact that the driver was one who consistently handled trash, bundles of paper and similar discarded objects, put him on notice that the nature and position of this object was not of the kind ordinarily encountered in his travels. A person who is employed specifically to collect trash, and does so for a period of time, acquires that additional and somewhat special, knowledge as to the type of ordinary trash set out by inhabitants to be collected.

The evidence shows that the deceased and another little boy were playing “opening envelopes” under this huge piece of paper and that the boys were not sitting absolutely still. The natural tendency of children is to move about causing some movement of the paper.

In Shipley v. City of Pittsburgh, supra, the court held that an instruction to the jury that the defendant was not liable if the accident was not “ ‘such accident as should have been reasonably anticipated’ ”, constituted reversible error. However, in some of the earlier cases there is language which is in conflict with the rule there stated. Cf. Wood v. Pennsylvania R. Co., 1896, 177 Pa. 306, 35 A. 699, 35 L.R.A. 199. It is to be noted that in cases following the Wood decision, courts have improperly assumed the defendant’s negligence qua the plaintiff and considered the “cause” question in language which would have been more appropriately directed to the negligence issue.

In cases in which other elements of a cause of action for negligence were present, the Pennsylvania courts have repeatedly followed the rule of the Ship-ley case. As early as City of Pittsburgh v. Grier, 1853, 22 Pa. 54, the defendant contended that the “destruction of the boat was a consequence which the agents could not have foreseen as likely to oc*235cur.” However, the Court said, “But it is not the law, that men are responsible for their negligence only to the extent of the injuries which they knew would result from it.”

It has been held: “If the city was negligent, it was liable for the consequences of its neglect, though those consequences were not, and could not by any ordinary prudence have been, anticipated.” Corbin v. City of Philadelphia, 1900, 195 Pa. 461, 45 A. 1070, 1071, 49 L.R.A. 715; Restatement, Torts, § 435.

Accordingly, under Pennsylvania law a defendant who has failed to exercise reasonable care under the circumstances cannot escape liability for damage upon the ground that he could not have foreseen the particular results of his negligent act. Therefore, in the instant case, it is no defense for the City to say that the driver, who carelessly drove over a piece of paper which for reasons of safety he intended to avoid, did not foresee that a child was under the paper. To allow such a defense would exculpate negligent persons from liability for all but deliberate or wantonly malicious acts.

However, assuming the law requires the driver to have foreseen the possibility of injury, the jury, from the facts in evidence, together with all reasonable inferences in favor of plaintiif, might well have found that the driver should have foreseen the possibility that a child was underneath this object.

Moreover, the driver saw this piece of paper and noticed that it was high enough for a little child to be underneath. He then ran over the very piece of paper which he had concluded was unsafe to crush.

The jury resolved as a fact that two little children were underneath the paper, also, that one of the children had been sitting up underneath the paper in the street. The jury also could have resolved that the two children had not been lying motionless under the paper, but were playing there. As a matter of fact, the surviving child testified that he had been sitting under the paper with decedent “opening envelopes.” The jury may then have concluded that the motion caused by children playing underneath the paper was easily observable by a prudent driver.

The evidence in the case amply supports the jury’s verdict that the driver of the truck under these particular circumstances was careless and that his careless act resulted in the decedent’s death.

This Court is of the opinion that there was negligence when the driver attempted to avoid the paper and failed to do so, and, as a matter of law, the verdicts of the jury should not be disturbed.

Accordingly, defendant’s motion to set aside the verdicts and for judgment n. o. v. is dismissed.

4.3.2 Violation of Custom 4.3.2 Violation of Custom

4.3.2.1 Texas & Pacific Railway Co. v. Behymer ("The Holmes Quote Case") 4.3.2.1 Texas & Pacific Railway Co. v. Behymer ("The Holmes Quote Case")

TEXAS AND PACIFIC RAILWAY COMPANY v. BEHYMER.

ERROR TO THE CIRCUIT COURT OF APPEALS FOR THE FIFTH CIRCUIT.

No. 224.

Argued March 20, April 6, 1903.

Decided April 20, 1903.

Tn an action for personal injuries sustained by a brakeman by falling from a car, where the claim was based upon negligence in stopping the car suddenly with knowledge of his position and of the slippery condition of the roof of the car, and also upon the projection of a nail in the roof of the car which increased the danger and contributed to his fall, \eld, there was no error in the court declining to rule that the chance of such an accident was one of the risks assumed by the plaintiff, or that the question whether the defendant was liable depended on whether the freight train was handled in the usual and ordinary way. It was proper for the court to leave it to the jury to say whether the train was handled with due care.

The case is stated in the opinion of the court.

Mr. D. D. Duncan for plaintiff in error. Mr. John F. Dillon and Mr. Winslow S. Pierce were on the brief.

Mr. Cone Johnson for defendant in error. .

Me. Justice Holmes

delivered the opinion of the court.

This is an action for personal injuries brought by an employé against a railroad company. It was tried in the Circuit Court, where the plaintiff had a verdict. It then was taken to the .Circuit Court of Appeals on a writ of error and bill of excep*469tions by the company, 112 Fed. Rep. 35, and now is brought here on a further writ of error, the company being a United States corporation. A good deal of the argument for the railroad is devoted to disputing the testimony of the plaintiff below and arguing that the verdict was excessive, but of course we have nothing to do with that. New York, Lake Erie & Western Railroad v. Winter, 143 U. S. 60, 75; Lincoln v. Power, 151 U. S. 436. We must assume the most favorable statement of the plaintiff’s case to be true, unless some particular request for instructions makes it necessary to deal with conflicting evidence. That statement may be made in a few words.

Behymer had been in the employ of the company as a brakeman about three months. On February 7,1899, at Big Sandy, in Texas, he was ordered by the conductor of a local freight train to get up on some cars standing on a siding and, let off the brakes, so that the engine might move them to the main track and add them to the train. The tops of the cars were covered with ice, as all concerned knew. He obeyed orders; the engine picked up the cars,, moved to the main track and stopped suddenly. The cars ran forward to the extent of the slack and back again, as they were moving up hill. The jerk upset Behymer’s balance, the bottom of his trousers caught in a projecting nail in the running board and he was thrown between the cars. It is true that the jury might have drawn a different conclusion from his evidence or have disbelieved it in essential points, but they also were at liberty to find, as they must be taken to have found, that the foregoing statement is true. The car belonged to another road but was in the charge of the defendant company, and, according to the statement of the counsel for the plaintiff in error, had been inspected before the accident, although we should have doubted whether the testimony meant to go so far.. Behymer based his claim upon negligence in stopping the cars so suddenly with knowledge of his position and the slippery condition of the roof of the car, and upon the projection of the nail, which increased the danger and contributed to Ins fall. It should be added that by a statute of Texas if there was negligence the fact that it was the *470negligence of a fellow servant was not a defence. -General Laws, Texas, 1897, Special Session, c. 6, § 1; 2 Sayles, Texas Civil Stat. 1897, art. 4560 f.

The fundamental error alleged in the exceptions to the charge is that the court declined to rule that the chance of such an accident as happened was one of the risks that the plaintiff assumed, or that the question whether the defendant was liable for it depended on whether the freight train was handled in the usual and ordinary way. Instead of that, the court left it to the jury to say whether the train was handled with ordinary care, that is, the care that a person of ordinary prudence would use under the same circumstances. This exception needs no discussion. The charge embodied one of the commonplaces of the law. 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. Wabash Railway Co. v. McDaniels, 107 U. S. 454. No doubt a certain amount of bumping and jerking is to be expected on freight trains, and, under ordinary circumstances, ' cannot be complained of. Yet it can be avoided if necessary, and when the particular and known condition of the train makes a sudden bump obviously dangerous to those known to be on top of the cars, we are not prepared to say that a jury would not be warranted in finding that an easy stop is a duty. If it was negligent to stop as the train did stop, the risk of it was not assumed by the plaintiff. Texas & Pacific Ry. v. Archibald, 170 U. S. 665, 672.

However, the plaintiff did not rely on the management of the train alone. The projecting nail was another element in his case. The jury were instructed with regard to that, that the railroad company was not liable unless there was a nail there improperly projecting, and a reasonable inspection would have discovered and remedied the defect. The car was in. the custody of the company. There is no suggestion that the company had not had an opportunity to inspect, and the contrary was assumed by a request for instructions on the part of the company. Indeed, as we have said, its counsel interprets the evidence as meaning that the car had been inspected before *471the accident. It is not pressed that there was error on this point. See Mackin v. Boston & Albany Railroad, 135 Massachusetts, 201; Glynn v. Central Railroad, 175 Massachusetts, 510, 512. The jury were instructed properly on the subject of assumption of risks and contributory negligence, and we think it unnecessary to deal more specifically with this part of the case.

. It was argued that Behymer had aggravated the injury by refusing proper surgical treatment. With regard to this the jury were instructed in substance, but at more length, that it was his duty to submit to all treatment that a reasonably prudent person would have submitted to in order to improve his condition, and that no damages could be allowed which might have been prevented' by reasonable care. It is suggested that, as a prudent man, he might , have postponed recovery from his injury to' recovery of damages. The instructions plainly excluded such, a view. The argument hardly is serious. We have examined all the minute criticisms on the rulings and refusals to rule, and discover no error. We deem it unnecessary to answer them in greater detail. ■

Judgment affirmed.

4.3.2.2 Norton v. Railway Express Agency, Inc. ("The Barrel of Meat Case") 4.3.2.2 Norton v. Railway Express Agency, Inc. ("The Barrel of Meat Case")

Jacob NORTON, Appellant, v. RAILWAY EXPRESS AGENCY, INC.

No. 17715.

United States Court of Appeals Third Circuit.

Submitted May 20, 1969.

Decided July 9, 1969.

*113Leonard E. Price, Price, Bercik & Kernan, Oakdale, Pa. (Herbert J. Johnson, Jr., Evans, Johnson, Searpitti, Bernard & Wittmann, Erie, Pa., on the brief), for appellant.

John A. Spaeder, Marsh, Spaeder, Baur, Spaeder & Schaaf, Erie, Pa., for appellee.

Before FREEDMAN, SEITZ and ALDISERT, Circuit Judges.

OPINION OF THE COURT

ALDISERT, Circuit Judge.

This is a tort action sounding in negligence which is in the federal courts solely because of the diversity of citizenship of the litigants. It requires us to consider the familiar doctrines of reasonable care and respondeat superior as interpreted by the courts of Pennsylvania. The facts are not complicated.

The plaintiff-appellant worked as a handyman for a supper club in Erie, Pennsylvania. In response to a club order for food, the defendant-appellee Railway Express delivered a 226 pound barrel of meat to the premises. On arrival, the defendant’s deliveryman was requested by the appellant to unload the cargo by way of a stairway leading to the cellar. It was decided that the barrel would be placed on a wheeled dolly or truck and lowered step by step to the delivery point in the cellar.

The appellant positioned himself on the steps and held the bottom of the barrel; the deliveryman held the top. Step by step the barrel was eased down the stairs toward the cellar. Something then occurred, described with exquisite imprecision by the participants 1 and culminating in the barrel’s unscheduled rapid descent to a resting place on top of the plaintiff.

In support of his personal injuries claim against the defendant-employer, the plaintiff proffered the testimony of an expert witness on the subject of the methods customarily employed in the delivery of barreled cargo. The district court rejected the relevancy of this offer, and at the close of testimony, directed a verdict for the defendant on the alternative grounds that no negligence had been established or that the plaintiff had been contributorily negligent as a matter of law.

We might have agreed with the result reached by the court below had the sole question of negligence been limited to the conduct of the participants in the unloading episode. Considered from this constricted viewpoint, the result could have been justified on the ground that the plaintiff failed to delineate any particular act amounting to a breach of care on the defendant’s part. Present and germane to this case, however, was a broader concept of negligence: the method chosen to lower the barrel, as distinguished from the role the participants played in the misadventure, may have been a breach of the ordinary care owed by the defendant to its customers. Inherent in the grant of the directed *114verdict was the unwarranted assumption that the choice of the method of delivery did not in itself present a separate and distinct issue of negligence. With proper supervision and instructions from the trial judge, it would be appropriate for the jury to consider whether the method used was itself a breach of care and the proximate cause of the injuries to the plaintiff.2

In this respect, the proffered testimony of the customary manner of delivering barreled cargo would be relevant. Although not controlling, custom and practice may be shown to establish the standard of care to which the party charged with the wrongful act may be required to conform. Accepted with the limitation that such evidence is only an indication of reasonable conduct, and mindful of Mr. Justice Holmes’ admonition that “What usually is done may be evidence of what ought to be done, but what ought to be done is fixed by a standard or ordinary prudence, whether it is complied with or not,” 3 testimony on the customarily accepted method of lowering barrels of this size and bulk could have been received in evidence. Upon retrial, with a proper offer on the particularities of the testimony and with due consideration for the degree of expertise characterizing it, it may be that such testimony should be admitted.4

The final question raised on this appeal is whether the evidence was sufficient for a jury to find that the appel-lee’s deliveryman was acting within the scope of his employment in delivering the barrel by way of the cellar stairs. The appellee urges that the employee was instructed not to make cellar deliveries, that he attempted to do so solely at the insistence of the appellant, and that therefore no liability could attach from the doctrine of respondeat superior because the act of delivery was wholly outside the scope of the employment.

There is no question that under the law of Pennsylvania, the scope of the authority or employment of an agent or servant is a factual issue for jury determination.5 That the servant may have deviated from the literal instructions of the master does not necessarily relieve the master of liability for these acts.6 The master is still responsible if the performance occurs in the course of the employment with a view towards furthering the business of the master, and not with a purpose personal to the employee. We conclude there was sufficient evidence from which a jury might reasonably infer that the acts complained of were within the scope of the servant’s employment.

Accordingly, the judgment of the district court will be reversed and the case remanded for a new trial.

4.3.2.3 Cook v. Royal Caribbean Cruises ("The Walkway at Sea Case") 4.3.2.3 Cook v. Royal Caribbean Cruises ("The Walkway at Sea Case")

BONNIE COOK, Plaintiff,
v.
ROYAL CARIBBEAN CRUISES, LTD, a Liberian Corporation, Defendant.

Case No. 11-20723-CIV-GOODMAN.

United States District Court, S.D. Florida, Miami Division.

May 15, 2012.

 

ORDER ON DEFENDANT'S MOTION IN LIMINE

 

 

CONCERNING SAFETY RECOMMENDATIONS AND GUIDELINES

 

JONATHAN GOODMAN, Magistrate Judge.

This cause is before the Court on Defendant's Motion In Limine to Preclude Evidence, Testimony or Argument Regarding Inapplicable Recommendations and Guidelines as Irrelevant and Prejudicial [ECF No. 61]. The Court has reviewed the motion, Plaintiff's Response [ECF 83] and additional post-hearing submissions [ECF Nos. 100; 111; 117; 119]. In addition, the Court held an omnibus, multi-hour hearing on myriad in limine motions, including the one at issue here. [ECF No. 97]. For the reasons below, the Court grants in part and denies in part the motion.

 

I. INTRODUCTION

 

Plaintiff alleges she was a passenger aboard the Defendant's cruise ship M/S Oasis of the Seas on May 16, 2010, when she tripped and "fell on the abrupt change in elevation in the walkway near the entrance to the Park Café," causing a severely fractured left hip requiring major surgery. [ECF No. 1, ¶¶ 8, 11]. According to Plaintiff, the change in elevation was in a designated, accessible pedestrian walkway but was an uncommon type of design or construction that "violated national and international codes, standards, guidelines, and recommendations applicable to changes in levels of such walkway surfaces."

Plaintiff therefore contends that Royal Caribbean negligently breached its duty to exercise reasonable care under the circumstances by designing (or approving the design of) the allegedly "abrupt change in floor level" near the restaurant entrance, by failing to correct the condition and by failing to sufficiently warn of its existence. [Id. at ¶ 8].

Based on Plaintiff's discovery and the deposition testimony and reports provided by her expert witnesses, Royal Caribbean anticipates that Plaintiff will try to present evidence of certain standards, guidelines and/or recommendations. Specifically, Royal Caribbean's motion targets the following guidelines and recommendations: the American Society of Testing and Materials (ASTM) Designation: F 1637-5, International Maritime Organization (IMO) MSC Circular 735, the Marine Committee of the Illuminating Engineering Society of North America's (IES) "Recommended Practice for Marine Lighting," the draft Passenger Vessel Accessibility Guidelines (PVAG) dated June 26, 2008, and the National Fire Protection Association (NFPA) NFPA-101: "Life Safety Code."

Defendant brands these as "altogether irrelevant to determining whether Defendant satisfied its duty of care to Plaintiff and seeks to exclude them from the trial. [ECF No. 82, p. 61]. At bottom, Defendant contends that these sources have no force of law and are inapplicable to the foreign-flagged cruise ship where Plaintiff purportedly fell. Royal Caribbean also argues that evidence of these guidelines, standards and recommendations would confuse the finder of fact (i.e., the Court) and would be unduly prejudicial.

Plaintiff, of course, objects to the motion. She responds that even non-binding standards and regulations, which do not have the force of law, are still admissible on the issue of negligence and that a federal court (in a bench trial) or jury may evaluate them when determining the applicable standard of care. She also posits that these sources are admissible to demonstrate notice to the Defendant.

 

II. DISCUSSION

 

This case involves an alleged tort committed aboard a ship sailing in navigable waters. General maritime law, as developed by the federal courts, therefore applies. Keefe v. Bahama Cruise Line, Inc., 867 F.2d 1318, 1320 (11th Cir. 1989). In Kermarec v. Compagnie Generale Transatlantique, 358 U.S. 625, 632 (1959), the Supreme Court held that the owner of a ship in navigable waters "owes to all who are on board for purposes not inimical to his legitimate interests the duty of exercising reasonable care under the circumstances of each case." The former Fifth Circuit Court of Appeals has held that this duty extends to a ship's passengers. Gibboney v. Wright, 517 F.2d 1054, 1059 (5th Cir. 1975).

A carrier by sea, however, is not an all-purpose insurer of its passengers' safety. Kornberg v. Carnival Cruise Lines, Inc., 741 F.2d 1332, 1334 (11th Cir. 1984), cert, denied 470 U.S. 1004 (1985). A carrier is "liable to passengers . . . only for its negligence." Id. at 1334. The "benchmark against which a shipowner's behavior must be measured is ordinary reasonable care under the circumstances, a standard which requires, as a prerequisite to imposing liability, that the carrier have had actual or constructive notice of the risk-creating condition, at least where, as here, the menace is one commonly encountered on land and not clearly linked to nautical adventure." Keefe, 867 F.2d at 1322 (involving claim brought by a cruise ship passenger who slipped and fell on a wet spot while dancing at the ship's outdoor discotheque); see also Monteleone v. Bahama Cruise Line, Inc., 838 F.2d 63, 64 (2d Cir. 1988) (noting that this standard "parallels [the] treatment of landowners' liability for dangerous conditions" and reversing judgment for plaintiff in bench trial because the record did not support the finding that the shipowner had constructive notice of the injury causing hazard).

Put another way, the "principles of shipowner's liability in negligence for injuries to passengers `differ little from those in use ashore.'" Monteleone, 838 F.2d at 65 (quoting G. Gilmore & C. Black, The Law of Admiralty 23 n.77 (2d ed. 1975)). Analogizing cruise ship liability to landowners' liability is "especially apt where the hazard encountered is not unique to the marine environment." Monteleone, 838 F.2d at 65. For example, a screw protruding from the edge of a step on a cruise ship is "a condition in no way peculiar to maritime travel" and therefore a court judges a shipowner's culpability for injuries arising from this condition under the same standard that applies to a landowner. Id; see also Rainey v. Paquet Cruises, Inc., 709 F.2d 169, 172 (2d Cir. 1983) (holding that the standard applicable to landowners applied where a passenger tripped over a stool on a ship's dance floor because there was no indication the stool reached the dance floor as a result of any "condition . . . peculiar to maritime travel").

In the instant case, Plaintiff tripped and fell over a change in elevation outside of a restaurant located in an open atrium area of a large passenger cruise ship. Plaintiff's allegations of negligence do not concern conditions unique to maritime travel. To the contrary, the circumstances surrounding the injury could also exist on land and lead to a lawsuit filed, for example, by a person who tripped over a change in elevation leading up to a shopping mall restaurant. Thus, in Keefe, 867 F.2d at 1321-22, the Eleventh Circuit cited with approval cases that applied the ordinary, reasonable landowner care standard to shipowners where the shipboard hazard was of the type also found on land. See, e.g., Rainey, 709 F.2d at 172 (also suggesting that "[t]he extent to which the circumstances surrounding maritime travel are different from those encountered in daily life and involve more danger to the passenger, will determine how high a degree of care is reasonable in each case").[1]

Defendant seeks to exclude the standards/guidelines at issue because they are not mandatory, do not have the force of law and are not always directly applicable to maritime conditions. But the law in the Eleventh Circuit, as established by the former Fifth Circuit, is that advisory guidelines and recommendations, while not conclusive, are admissible as bearing on the standard of care in determining negligence. Muncie Aviation Corp. v. Party Doll Fleet, Inc., 519 F.2d 1178 (5th Cir. 1975) (affirming admission of advisory materials published by the Federal Aviation Administration); Frazier v. Continental Oil Co., 568 F.2d 378 (5th Cir. 1978) (reversing trial judge's order granting a directed verdict to defendant because district court improperly failed to consider expert witness testimony based on industry standards in the National Fire Protection Association Code).

District court judges in the Eleventh Circuit have followed the rule that "failure to follow recognized rules that are not mandatory is admissible to show how a reasonable person might have acted." Darville v. Rahming Shipping Ltd., No. 85-1282-CIV-MARCUS, 1987 WL 48393, at *10 (S.D. Fla. Dec. 17, 1987) (rejecting argument that regulations for vessel of one size were irrelevant to one of a smaller size because "it is arguable that [defendant's] failure to fulfill [non-binding] Coast Guard or other maritime requirements still constituted some evidence of negligence").

Not surprisingly, other federal districts and circuits have followed this evidentiary rule, as have state appellate courts. See, e.g., Robertson v. Burlington N. R.R. Co., 32 F.3d 408 (9th Cir. 1994) (holding trial court did not err by admitting federal OSHA noise-level standards and advising the jury that they were not binding and could not, standing alone, be used to establish negligence as a matter of law); Giorgio v. Holland Am. Line, Inc., No. C05-0038JLR, 2006 WL 1042003, at *2 (D. Wash. Apr. 4, 2006) ("[Regulations that are not binding by force of law, and therefore do not establish negligence per se, may nonetheless be admitted for the purpose of aiding the finder of fact in determining the applicable standard of care"); Donlon v. Gluck Grp., LLC, No. 09-5379 (JEI/KMW), 2011 WL 6020574, at *6 (D.N.J. Dec. 2, 2011) (denying summary judgment motion filed by houseboat manufacturer in lawsuit filed by person who fell down the stairs of a houseboat, holding that non-binding standards promulgated by the American Society for Testing and Materials were admissible because a jury could use the evidence to conclude that the stairs "were defectively designed" and because the standards put defendant "on constructive notice of the potential danger of the stairs"); Alderman v. Wysong & Miles Co., 486 So. 2d 673 (Fla. 1st DCA 1986) (affirming judgment entered in defendant's favor in a products liability action and rejecting argument that trial court improperly admitted evidence of industry standards provided by a private, voluntary organization).

Framed by these principles, the Court rejects Royal Caribbean's efforts to exclude all evidence and use of four of the guidelines — ASTM Designation: F 1637-95; IMO Circular 735; Draft PVAG dated June 26, 2008; and NFPA-101 — but grants its request to exclude all evidence and use of the IES "Recommended Practice for Marine Lighting."

 

a. ASTM Designation: F 1637-95

 

Although the American Society of Testing and Materials "Standard Practice for Safe Walking Surfaces" is a land-based, voluntary recommendation with no force of law, it may still be used as some evidence of the applicable standard of care. As discussed above, the injury here is the type which can and does also occur in similar ways on land. As a result, the Court cannot conclude at this stage that a guideline for a land-based walkway is completely irrelevant to a passenger walkway on a large cruise ship, especially when the area involved is designed to look like a well-known park which is actually situated on land.

 

b. IMO Circular 75

 

Likewise, it would be premature to find that the IMO Circular 75 is altogether irrelevant in this case. Defendant acknowledges that this circular provides non-binding recommendations concerning "barrier free passage for elderly and disabled persons in public spaces on board" ferries, a type of ship, and Plaintiff may well be classified as elderly. Royal Caribbean may certainly stress at trial that the publication applies by its terms to ferries, not cruise ships, and that the circular is non-binding. But given its application to ships and the elderly, these other considerations are insufficient to preclude completely its use at trial (especially a bench trial, where the Court can determine what weight, if any, to afford these recommendations).

 

c. Draft Passenger PVAG Dated June 26, 2008

 

The Court appreciates that the Draft Passenger Vessel Accessibility Guidelines are, as their name suggests, only in draft form. Nevertheless, the Court finds that this draft could be evidence relating to the applicable standard of care and notice. Royal Caribbean may attack the guidelines as being only in draft form and may also seek to undermine the relevance of the guidelines by arguing that they concern accessible walkways for disabled persons (and that Plaintiff is not disabled). However, these challenges relate to how much weight, if any, the court should give the guidelines, and they do not generate sufficient reason to exclude all references to them. Plaintiff might also be able to demonstrate that the draft guidelines somehow support her theory that Defendant was on notice that the design of the change in elevation outside the restaurant was unreasonably dangerous to passengers.

 

d. NFPA-101 Life Safety Code

 

The Life Safety Code is subject to the same analysis — and conclusion — as the other standards. Yes, it is not binding. Yes, it concerns changes in level in means of egress and Plaintiff tripped while walking into a restaurant. And yes, the recommendations address the means to escape from fire or other hazards but Plaintiff was not trying to avoid a fire. Nevertheless, all of these distinctions may be addressed at trial in the form of the myriad challenges the Court has already described.

 

e. IES "Recommended Practice for Marine Lighting"

 

The Court, however, grants the motion as to the IES "Recommended Practice for Marine Lighting." As its name suggests, this standard deals exclusively with "lighting." Plaintiff does not allege that deficient lighting caused her to trip and Plaintiff's expert witnesses do not base their conclusions on this IES recommended lighting practice. This standard is therefore irrelevant and Plaintiff may not rely on this standard at trial or in her proposed findings of fact and conclusions of law.

 

III. CONCLUSIONS

 

The Court grants Royal Caribbean's motion in limine concerning the IES "Recommended Practice for Marine Lighting" but denies it as to the other four guidelines/recommendations.

These rulings, of course, do not mean that Royal Caribbean cannot challenge further the four standards to which its motion is denied. The mere fact that the Court is not excluding these four guidelines/recommendations does not mean that the Court has already decided to place any substantive weight on them. That decision must await trial, where Royal Caribbean is certainly free to cross-examine Plaintiff's experts about the voluntary nature or alleged inapplicability of these guidelines. Defendant may also elicit testimony from its own experts about these guidelines. And it may even argue that the Court should give these guidelines little or no weight and reiterate these arguments in its proposed findings of fact and conclusions of law. Such measures are sufficient to prevent unfair prejudice from the introduction of these standards in a bench trial. See, e.g., Darville, 1987 WL 48393, at *10 (explaining that defendant company which built the ship and installed the onboard pump "is entitled to refute the Plaintiffs' contention that the [vessel] did not meet vessel construction standards"); Alderman, 486 So. 2d at 679 (noting that appellant plaintiff "was allowed ample opportunity to present evidence and jury argument that the ANSI standards admitted into evidence were too nebulous to constitute proof of the applicable safety standards in the press brake industry").

DONE and ORDERED,

[1] The Keefe court described Rainey as a case "practically indistinguishable" from Keefe. 867 F.2d at 1322.

4.3.2.4 Trimarco v. Klein ("The Shattered Bathtub Glass Case") 4.3.2.4 Trimarco v. Klein ("The Shattered Bathtub Glass Case")

When is custom relevant to establishing the defendant's breach or compliance with duty? Were those requirements satisfied in this case?

Vincent N. Trimarco et al., Appellants, v Irving Klein et al., Individually and as Copartners Doing Business as Glenbriar Company, Respondents.

Argued March 29, 1982;

decided May 20, 1982

*99POINTS OF COUNSEL

Thomas R. Newman, L. Kevin Sheridan and Louis G. Adolfsen for appellants.

I. Since plaintiff established a prima facie case of common-law negligence and the evidence supports the jury’s finding that defendants did not *100exercise reasonable care, the court below should not have disturbed the verdict of liability; certainly it should not have dismissed the complaint. (Sagorsky v Maylon, 307 NY 584; Matter of Kornblum Metals Co. v Intsel Corp., 38 NY2d 376; Cohen v Hallmark Cards, 45 NY2d 493; Stein v Palisi, 308 NY 293; Basso v Miller, 40 NY2d 233; Havas v Victory Paper Stock Co., 49 NY2d 381; Farrell v Royal Crown Bottling Co., 53 NY2d 619; Smith v Arbaugh’s Rest., 469 F2d 97; Derdiarian v Felix Contr. Corp., 51 NY2d 308; Kane v Ten Eyck Co., 10 Misc 2d 398, 267 App Div 789, 292 NY 701.) II. In the event this court finds no common-law negligence, plaintiff should be permitted in the alternative to recover against defendants for breach of the warranty of habitability or strict liability in tort. (Basso v Miller, 40 NY2d 233; Scurti v City of New York, 40 NY2d 433; Quinlan v Cecchini, 41 NY2d 686; Part West Mgt. Corp. v Mitchell, 47 NY2d 316; Brownstein v Edison, 103 Misc 2d 316; Kaplan v Coulston, 85 Misc 2d 745; McBride v 218 E. 70th St. Assoc., 102 Misc 2d 279; Curry v New York City Housing Auth., 77 AD2d 534; Segal v Justice Ct. Mut. Housing Coop., 108 Misc 2d 1074; Codling v Paglia, 32 NY2d 330.) III. Evidence was properly received and the jury was properly instructed concerning the relevant statutes. (McCallin v Walsh, 64 AD2d 46, 46 NY2d 808; Hassan v Stafford, 472 F2d 88; Curtis v District of Columbia, 363 F2d 973; Edmonds, Inc. v Vojka, 332 F2d 309; Boston & Maine R. R. v Talbert, 360 F2d 286; Fluor Corp. v Black, 338 F2d 830; Caprara v Chrysler Corp., 52 NY2d 114; Halloran v Virginia Chems., 41 NY2d 386; Letendre v Hartford Acc. & Ind. Co., 21 NY2d 518; Fleury v Edwards, 14 NY2d 334.) IV. The trial court should not have submitted the issue of contributory negligence to the jury. Since there was no proper evidence to support it and, in any event, since plaintiff’s conduct was not unreasonable or imprudent, he cannot be considered negligent. (Nallan v Helmsley-Spear, Inc., 50 NY2d 507; Wolf v City of New York, 39 NY2d 568; Matter of Allstate Ins. Co. [Spadaccini], 52 AD2d 813; Osleeb v Block, 36 AD2d 605; Horn v State of New York, 31 AD2d 364; Matter of Burris v Lewis, 2 NY2d 323; Matter of Riehl v Town of Amherst Dept. of Highways, 308 NY 212; Blum v Fresh Grown Preserve Corp., 292 NY 241; Matter of Case, 214 NY 199.)

*101 Norman H. Dachs for respondents.

I. Plaintiff-appellant failed to establish any actionable negligence on the part of defendants as a matter of law. The complaint was properly dismissed. (Pulka v Edelman, 40 NY2d 781; Collins v Noss, 258 App Div 101; Basso v Miller, 40 NY2d 233; Garthe v Ruppert, 264 NY 290; Levine v Blaine Co., 273 NY 386; Fuchs v Brody, 282 NY 627; Burger v Fifth Ave. Coach Co., 249 NY 583; Lipner v Levy, 44 AD2d 797; Yeargans v Yeargans, 24 AD2d 280; Gustavson v Southern Blvd. R. R. Co., 292 NY 309.) II. Neither the “warranty of habitability” nor the strict liability doctrine is applicable herein. (Curry v New York City Housing Auth., 77 AD2d 534; Snyder v Moore, 72 AD2d 580.) III. The court below correctly held that the receipt in evidence of sections 389-m and 389-o of the General Business Law, despite the avowed purpose for which they were introduced, was error. (Jokelson v Allied Stores Corp., 31 AD2d 200, 806; Curry v New York City Housing Auth., 77 AD2d 534; Carhart v Relmar Operating Corp., 66 AD2d 680; Loeser v Nathan Hale Gardens, 73 AD2d 187; Siivonen v City of Oneida, 33 AD2d 934; Lodato v Town of Oyster Bay, 68 AD2d 904; Hassan v Stafford, 472 F2d 88; Florentine v Church of Our Lady of Mt. Carmel, 340 F2d 239; Gallagher v St. Raymond’s R. C. Church, 21 NY2d 554; Schuster v City of New York, 5 NY2d 75.) IV. Section 78 of the Multiple Dwelling Law is not applicable. (Kitchen v Landy, 215 App Div 586; Israel v Toonkel, 134 Misc 327; Cooperman v Anderson, 158 Misc 155; Block v Balden Realty Co., 129 Misc 906; Boyland v 1986 Grand Ave. Realty Corp., 169 Misc 881.) V. The trial court properly submitted the issue of plaintiff’s contributory negligence to the jury. VI. Plaintiffs’ counsel’s trial tactics constituted reversible error. (Cherry Creek Nat. Bank v Fidelity & Cas. Co. of N. Y., 207 App Div 787; Youngentob v Luongo, 139 Misc 840; Cohon & Co. v Pennsylvania Coal & Coke Corp., 10 AD2d 667; McCabe v Queensboro Farm Prods., 21 AD2d 67 5; Kohlmann v City of New York, 8 AD2d 598; Simpson v Foundation Co., 201 NY 479; Bromberg v City of New York, 25 AD2d 885; Bassi v City of New York, 7 AD2d 713; Williams v Long Is. R. R., 41 AD2d 940; MacDormand v Auchenpaugh, 29 AD2d 1022.)

*102OPINION OF THE COURT

Fuchsberg, J.

After trial by jury in a negligence suit for personal injuries, the plaintiff, Vincent N. Trimarco, recovered a judgment of $240,000. A sharply divided Appellate Division having reversed on the law and dismissed the complaint, our primary concern on this appeal is with the role of the proof plaintiff produced on custom and usage. The ultimate issue is whether he made out a case.

The controversy has its genesis in the shattering of a bathtub’s glass enclosure door in a multiple dwelling in July, 1976. Taking the testimony most favorably to the plaintiff, as we must in passing on the presence of a prima facie case, we note that, according to the trial testimony, at the time of the incident plaintiff, the tenant of the apartment in which it happened, was in the process of sliding the door open so that he could exit the tub. It is undisputed that the occurrence was sudden and unexpected and the injuries he received from the lacerating glass most severe.

The door, which turned out to have been made of ordinary glass variously estimated as one sixteenth to one quarter of an inch in thickness, concededly would have presented no different appearance to the plaintiff and his wife than did tempered safety glass, which their uncontradicted testimony shows they assumed it to be. Nor was there any suggestion that defendants ever brought its true nature to their attention.

Undeveloped in the trial record is the source of a hospital record entry which ascribed the plaintiff’s injuries to a “fall through his bathroom glass door”. Obviously, this may have been taken into account by the jury, since its verdict called for a reduction of its $400,000 gross assessment of damages by 40% to account for contributory negligence.1

As part of his case, plaintiff, with the aid of expert testimony, developed that, since at least the early 1950’s, a *103practice of using shatterproof glazing materials for bathroom enclosures had come into common use, so that by 1976 the glass door here no longer conformed to accepted safety standards. This proof was reinforced by a showing that over this period bulletins of nationally recognized safety and consumer organizations along with official Federal publications had joined in warning of the dangers that lurked when plain glass was utilized in “hazardous locations”, including “bathtub enclosures”.2 Over objection, the trial court also allowed in sections 389-m and 389-0 of New York’s General Business Law, which, enacted in 1972 though effective only as of July 1, 1973, required, on pain of criminal sanctions, that only “safety glazing material” be used in all bathroom enclosures after the effective date;3 however, the court carefully cautioned the jury that, because the statute did not apply to existing installations, of which the glass in question was one, it only was to be considered “along with all the other proof in this case, as a standard by which you may measure the conduct of the defendants”. And, on examination of the defendants’ managing agent, who long had enjoyed extensive familiarity with the management of multiple dwelling units in the New York City area, plaintiff’s counsel elicited agreement that, since at least 1965, it was customary for landlords *104who had occasion to install glass for shower enclosures, whether to replace broken glass or to comply with the request of a tenant or otherwise, to do so with “some material such as plastic or safety glass”.

In face of this record, in essence, the rationale of the majority at the Appellate Division was that, “assuming that there existed a custom and usage at the time to substitute shatterproof glass” and that this was a “better way or a safer method of enclosing showers” (82 AD2d, p 23), unless prior notice of the danger came to the defendants either from the plaintiff or by reason of a similar accident in the building, no duty devolved on the defendants to replace the glass either under the common law or under section 78 of the Multiple Dwelling Law.4 To this the court added that, were it not dismissing, it would have ordered a new trial because, in its view, the admission of the afore-mentioned sections of the General Business Law, even with the reservations attached by the Trial Judge, constituted reversible error.

In a dissenting opinion, Justice Leonard Sandler disagreed on both counts; on the underlying liability issue, he found that the plaintiff had presented a clear question of fact for the jury and, on the evidentiary one stemming from the submission of the General Business Law, after noting that a careful marshaling of authorities had persuaded him that it was a “close question” (82 AD2d, p 28), he opined that whether the statute should have gone to the jury was properly within the Trial Judge’s discretion. Concurring in part and dissenting in part, Justice Arnold Fein, writing separately, took the position that, while there indeed was “ample” evidence of custom and usage to support the plaintiff’s verdict, a new trial was required since the advice to the jury of the contents of the statute, no matter how cushioned by qualifications, “could only be misleading” (82 AD2d, p 30).

For the reasons which follow, we agree with Justice Sandler and Justice Fein that plaintiff established a *105prima facie case. However, we would not disturb the conclusion of Justice Fein and the majority that the General Business Law did not belong in the case.

Our analysis may well begin by rejecting defendants’ contention that the shower door was not within the compass of section 78 of the Multiple Dwelling Law. From early on, it was understood that this statute was enacted in recognition of the reality that occupants of tenements in apartment houses, notwithstanding their control of the rented premises, as a practical matter looked to their landlords for the safe maintenance of the tenanted quarters as well. The result was that, if responsibility for keeping “every part thereof * * * in good repair” was not placed on the landlords, defects would remain unremedied (Multiple Dwelling Law, § 78; see Altz v Leiberson, 233 NY 16, 19). Therefore, though early cases may have chosen to give the statutory phrase “every part” a restrictive connotation (e.g., Kitchen v Landy, 215 App Div 586 [defective coal stove]; and Boylan v 1986 Grand Ave. Realty Corp., 169 Misc 881 [defective clothes drier]), later cases made clear that the remedial reach of the legislation mandated a more expansive interpretation under which fixtures or appliances furnished by the landlord were found to be within the statutory intendment (Herring v Slattery & Bros., 266 App Div 719, affd 291 NY 794 [defective gas range]; Rosen v 2070 Davidson Ave. Corp., 246 App Div 588, mot for lv to app den 270 NY 676 [defective clothes drier]).

Which brings us to the well-recognized and pragmatic proposition that when “certain dangers have been removed by a customary way of doing things safely, this custom may be proved to show that [the one charged with the dereliction] has fallen below the required standard” (Garthe v Ruppert, 264 NY 290, 296). Such proof, of course, is not admitted in the abstract. It must bear on what is reasonable conduct under all the circumstances, the quintessential test of negligence.

It follows that, when proof of an accepted practice is accompanied by evidence that the defendant conformed to *106it, this may establish due care (Bennett v Long Is. R. R. Co., 163 NY 1, 4 [custom not to lock switch on temporary railroad siding during construction]), and, contrariwise, when proof of a customary practice is coupled with a showing that it was ignored and that this departure was a proximate cause of the accident, it may serve to establish liability (Levine v Blaine Co., 273 NY 386, 389 [custom to equip dumbwaiter with rope which does not splinter]). Put more conceptually, proof of a common practice aids in “formulating] the general expectation of society as to how individuals will act in the course of their undertakings, and thus to guide the common sense or expert intuition of a jury or commission when called on to judge of particular conduct under particular circumstances” (Pound, Administrative Application of Legal Standards, 44 ABA Rep, 445, 456-457).

The source of the probative power of proof of custom and usage is described differently by various authorities, but all agree on its potency. Chief among the rationales offered is, of course, the fact that it reflects the judgment and experience and conduct of many (2 Wigmore, Evidence [3d ed], § 461; Prosser, Torts [4th ed], § 33). Support for its relevancy and reliability comes too from the direct bearing it has on feasibility, for its focusing is on the practicality of a precaution in actual operation and the readiness with which it can be employed (Morris, Custom and Negligence, 42 Col L Rev 1147, 1148). Following in the train of both of these boons is the custom’s exemplification of the opportunities it provides to others to learn of the safe way, if that the customary one be. (See Restatement, Torts 2d, § 295A, Comments a, b.)

From all this it is not to be assumed customary practice and usage need be universal. It suffices that it be fairly well defined and in the same calling or business so that “the actor may be charged with knowledge of it or negligent ignorance” (Prosser, Torts [4th ed], § 33, p 168; Restatement, Torts 2d, § 295A, p 62, Comment a).

However, once its existence is credited, a common practice or usage is still not necessarily a conclusive or even a compelling test of negligence (1 Shearman & Redfield, Negligence [rev ed], § 10). Before it can be, the jury must *107be satisfied with its reasonableness, just as the jury must be satisfied with the reasonableness of the behavior which adhered to the custom or the unreasonableness of that which did not (see Shannahan v Empire Eng. Corp., 204 NY 543, 550). After all, customs and usages run the gamut of merit like everything else. That is why the question in each instance is whether it meets the test of reasonableness. As Holmes’ now classic statement on this subject expresses it, “[w]hat 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” (Texas & Pacific Ry. Co. v Behymer, 189 US 468, 470).

So measured, the case the plaintiff presented, even without the insertion of sections 389-m and 389-o of the General Business Law, was enough to send it to the jury and to sustain the verdict reached. The expert testimony, the admissions of the defendant’s manager, the data on which the professional and governmental bulletins were based, the evidence of how replacements were handled by at least the local building industry for the better part of two decades, these in the aggregate easily filled that bill. Moreover, it was also for the jury to decide whether, at the point in time when the accident occurred, the modest cost and ready availability of safety glass and the dynamics of the growing custom to use it for shower enclosures had transformed what once may have been considered a reasonably safe part of the apartment into one which, in the light of later developments, no longer could be so regarded.

Furthermore, the charge on this subject was correct. The Trial Judge placed the evidence of custom and usage “by others engaged in the same business” in proper perspective, when, among other things, he told the jury that the issue on which it was received was “the reasonableness of the defendant’s conduct' under all the circumstances”. He also emphasized that the testimony on this score was not conclusive, not only by saying so but by explaining that “the mere fact that another person or landlord may have used a better or safer practice does not establish a standard” and that it was for the jurors “to determine whether *108or not the evidence in this case does establish a general custom or practice”.

Nevertheless, we reverse and order a new trial because the General Business Law sections should have been excluded. True, if a statutory scheme intended for the protection of a particular class, as is the one here, does not expressly provide for civil liability, there is responsible authority for the proposition that a court may, in furtherance of the statutory purpose, read in such an intent (see Martin v Herzog, 228 NY 164, 168; Restatement, Torts 2d, § 286; see, generally, James, Statutory Standards and Negligence in Accident Cases, 11 La L Rev 95). Be that as it may, the fact is that the statutes here protected only those tenants for whom shower glazing was installed after the statutory effective date. Plaintiff was not in that class. Thus, while new installations made during the three-year interval between July 1,1973, the effective date of the new General Business Law provisions, and July, 1976, when plaintiff was injured, could have counted numerically in the totality of any statistics to support the existence of a developing custom to use safety glass, defendants’ objection to the statutes themselves should have been sustained. Without belaboring the point, it cannot be said that the statutes, once injected into the adversarial conflict, did not prejudice the defendants. Nor is it any answer to suggest that balancing the risk of prejudice against the asserted relevancy of the statutes here was a supportable discretionary judicial act. Unlike hearsay, which at times may be rendered admissible by necessity, the other proof of custom here eliminates the possibility of this justification.

For all these reasons, the order should be reversed and a new trial granted. In so ruling, we see no reason for a retrial of the damages issue. Instead, the new trial will be confined initially to the issue of liability and, if plaintiff once again should succeed in proving that defendants were negligent, to the issue of apportionment of fault between the parties (cf. Ferrer v Harris, 55 NY2d 285).

Accordingly, the case should be remitted to Supreme Court, Bronx County, for further proceedings in accordance with this opinion.

*109Chief Judge Cooke and Judges Jasen, Gabrielli, Jones, Wachtler and Meyer concur.

Order reversed, with costs, and case remitted to Supreme Court, Bronx County, for a new trial in accordance with the opinion herein.

4.3.3 Violation of a Statute 4.3.3 Violation of a Statute

4.3.3.1 Historical Cases 4.3.3.1 Historical Cases

4.3.3.1.1 Martin v. Herzog ("The Lightless Buggy to Tarrytown Case") 4.3.3.1.1 Martin v. Herzog ("The Lightless Buggy to Tarrytown Case")

Why was the plaintiff found to be contributorily negligent? Distinguish between two claims: that the plaintiff breached the duty of reasonable care and that this breach caused the accident. Are both claims true?

Elizabeth Martin, as Administratrix of the Estate of William J. Martin, Deceased, Appellant, v. Samuel A. Herzog, Respondent, Impleaded with Another.

Negligence — Highway Law — driving a vehicle at night on public highway without lights is negligence — erroneous charge.

1. Where a ease has been tried and argued on the assumption of a certain fact, it is not important whether that fact might have been a question for the jury. A controversy put out of a ease by the parties is not to be put into it by the court.

2. Evidence of a collision occurring more than an hour after sundown between an automobile and an unseen buggy, proceeding without the lights required by the statute (Highway Law [Cons. Laws, eh. 25l, § 329-a, as amended by L. 1915, ch. 367), is evidence from which a causal connection may be inferred between the collision and the lack of-signals.

3. Where, in an action to recover for the death of plaintiff’s intestate, killed in a collision between a wagon in which decedent was riding at night and an automobile, negligence was charged against the driver of the car in that he did not keep to the right of the center of the highway, and negligence against decedent, who was driving the wagon, in that *165he was traveling without lights as required by the statute, it was error for the court to charge, at plaintiff’s request, that “the fact that the plaintiff’s intestate was driving without a light is not negligence in itself.” They should have been told not only that the omission of the lights was negligence, but that it was “prima facie evidence of contributory negligence,” i. e., that it was sufficient in itself, unless its probative force was overcome, to sustain a verdict that the decedent was in fault.

Martin v. Herzog, 176 App. Div. 614, affirmed.

(Argued December 11, 1919;

decided February 24, 1920.)

Appeal from an order of the Appellate Division of the Supreme Court in the second judicial department, entered February 2, 1917, reversing a judgment in favor of plaintiff entered upon a verdict and granting a new trial.

The nature of the action and the facts, so far as material, are stated in the opinion.

Hugh A. Thornton and Martin J. Tierney for appellant.

The omission of plaintiff’s intestate to have a light upon his vehicle was not prima facie evidence of contributory negligence by him. (Amberg v. Kinley, 214 N. Y. 531; Barr v. Green, 210 N. Y. 252; Kelly v. N. Y. S. Rys. Co., 207 N. Y. 342; Mariano v. Lehmaier, 173 N. Y. 530; Donnelly v. City of Rochester, 166 N. Y. 315; Graham v. Manhattan Ry. Co., 149 N. Y. 336; McRickard v. Flint, 114 N. Y. 222; Briggs v. N. Y. C. & H. R. R. R. Co., 72 N. Y. 26; McGrath v. N. Y. C. R. R. Co., 63 N. Y. 522; Knupfle v. Knickerbocker Ice Co., 84 N. Y. 488; Flucker v. Zeigle Brewing Co., 201 N. Y. 40; Orr v. Baltimore & O. R. Co., 168 App. Div. 548; Shields v. Pugh & Co., 122 App. Div. 586; Koch v. Fox, 71 App. Div. 288; Buys v. Third Ave. R. R. Co., 45 App. Div. 11; McCambley v. Staten Is. M. R. R. Co., 32 App. Div. 346; McCauley v. Schneider, 9 App. Div. 279; Fox Constr. Co., Inc., v. Dailey’s Towing Line, Inc., 180 App. Div. 593; Fitten v. Sumner, 176 App. Div. 617; Karpeles v. Heine, 227 *166N. Y. 74.) The court’s charge in reference to contributory negligence was correct in every respect and not prejudicial error. (Kelley v. N. Y. C. Rys., 207 N. Y. 342; Mendelson v. Van Rensselaer, 118 App. Div. 516; Barr v. Green, 210 N. Y. 252; Amberg v. Kinley, 214 N. Y. 531.)

Herbert C. Smyth, Roderic Wellman and Alfred W. Andrews for respondent.

The refusal to charge defendant’s request, that the absence of a light on the buggy was prima facie evidence of contributory negligence, was prejudicial error. (Amberg v. Kinley, 214 N. Y. 531; Racine v. Morris, 201 N. Y. 240; Jetter v. N. Y. C. & H. R. R. R. Co., 2 Abb. Ct. App. Dec. 458; Cordell v. N. Y. C. & H. R. R. R. Co., 64 N. Y. 535; Willy v. Mulledy, 78 N. Y. 310; Pauley v. S. G. & L. Co., 131 N. Y. 90; Lewis v. L. I. R. R. Co., 162 N. Y. 52; Huda v. Am. Glucose Co., 154 N. Y. 474; Lambert v. S. I. R. R. Co., 70 N. Y. 164; Fisher v. Vil. of Cambridge, 133 N. Y. 527.)

Cardozo, J.

The action is one to recover damages for injuries resulting in death.

Plaintiff and her husband, while driving toward Tarrytown in a buggy on the night of August 21, 1915, were struck by the defendant’s automobile coming in the opposite direction. They were thrown to the ground, and the man was killed. At the point of the collision the highway makes a curve. The car was rounding the curve when suddenly it came upon the buggy, emerging, the defendant tells us, from the gloom. Negligence is charged against the defendant, the driver of the car, in that he did not keep to the right of the center of the highway (Highway Law, sec. 286, subd. 3; sec. 332; Consol. Laws, ch. 25). Negligence is charged against the plaintiff’s interstate, the driver of the wagon, in that he was traveling without lights (Highway Law, sec. 329a, as amended by L. 1915, ch. 367). There is no evidence *167that the defendant was moving at an excessive speed. There is none of any defect in the equipment of his car. The beam of light from his lamps pointed to the right as the wheels of his car turned along the curve toward the left; and looking in the direction of the plaintiff’s approach, he was peering into the shadow. The case against him must stand, therefore, if at all, upon the divergence of his course from the center of the highway. The jury found him delinquent and his victim blameless. The Appellate Division reversed, and ordered a new trial.

We agree with the Appellate Division that the charge to the jury was erroneous and misleading. The case was tried on the assumption that the hour had arrived when lights were due. It was argued on the same assumption in this court. In such circumstances, it is not important whether the hour might have been made a question for the jury (Todd v. Nelson, 109 N. Y. 316, 325). A controversy put out of the case by the parties is not to be put into it by us. We say this by way of preface to our review of the contested rulings. In the body of the charge the trial judge said that the jury could consider the absence of light “in determining whether the plaintiff’s intestate was guilty of contributory negligence in failing to have a light upon the buggy as provided by law. I do not mean to say that the absence of light necessarily makes him negligent, but it is a fact for your consideration.” The defendant requested a ruling that the absence of a light on the plaintiff’s vehicle was “prima facie evidence of contributory negligence.” This request was refused, and the jury were again instructed that they might consider the absence of lights as some evidence of negligence, but that it was not conclusive evidence. The plaintiff then requested a charge that the fact that the plaintiff’s intestate was driving without a light is not negligence in itself,” and to this the court acceded. The defendant saved his rights by appropriate exceptions.

*168We think the unexcused omission of the statutory signals is more than some evidence of negligence. It is negligence in itself. Lights are intended for the guidance and protection of other travelers on the highway (Highway Law, sec. 329a). By the very terms of the hypothesis, to omit, willfully or heedlessly, the safeguards prescribed by law for the benefit of another that he may be preserved in life or limb, is to fall short of the standard of diligence to which those who live in organized society are under a duty to conform. That, we think, is now the established rule in this state (Amberg v. Kinley, 214 N. Y. 531; Karpeles v. Heine, 227 N. Y. 74; Jetter v. N. Y. & H. R. R. Co., 2 Abb. Ct. App. Dec. 458; Cordell v. N. Y. C. & H. R. R. R. Co., 64 N. Y. 535, 538; Marino v. Lehmaier, 173 N. Y. 530, 536; cf. Texas & Pacific Ry. Co. v. Rigsby, 241 U. S. 33, 39, 40; Prest-O-Lite Co. v. Skeel, 182 Ind. 583, 600, 601; Newcomb v. Boston Protective Dept., 146 Mass. 596; Bourne v. Whitman, 209 Mass. 155, 163). Whether the omission of an absolute duty, not willfully or heedlessly, but through unavoidable accident, is also to be characterized as negligence, is a question of nomenclature into which we need not enter, for it does not touch the case before us. There may be times, when if jural niceties are to be preserved, the two wrongs, negligence and breach of statutory duty, must be kept distinct in speech and thought (Pollock Torts [10th ed.], p. 458; Clark & Linseil Torts [6th ed.], p. 493; Salmond Jurisprudence [5th ed.], pp. 351, 363; Texas & Pac. Ry. Co. v. Rigsby, supra, p. 43; Chicago, B. & Q. Ry. Co. v. U. S., 220 U. S. 559). In the conditions here present they come together and coalesce. A rule less rigid has been applied where the one who complains of the omission is not a member of the class for whose protection the safeguard is designed (Amberg v. Kinley, supra; Union Pac. Ry. Co. v. McDonald, 152 U. S. 262, 283; Kelley v. N. Y. State Rys. 207 N. Y. 342; Ward v. Hobbs, 4 App. Cas. 13). Some relaxation there has also been where the *169safeguard is prescribed by local ordinance, and not by statute (Massoth v. D. & H. C. Co., 64 N. Y. 524, 532; Knupfle v. Knickerbocker Ice Co., 84 N. Y. 488). Courts have been reluctant to hold that the police regulations of boards and councils and other subordinate officials create rights of action beyond the specific penalties imposed. This has led them to say that the violation of a statute is negligence, and the violation of a like ordinance is only evidence of negligence. An ordinance, however, like a statute, is a law within its sphere of operation, and so the distinction has not escaped criticism (Jetter v. N. Y. & H. R. R. Co., supra; Knupfle v. Knickerbocker Ice Co., supra; Newcomb v. Boston Protective Dept., supra; Prest-O-Lite Co. v. Skeel, supra). Whether it has become too deeply rooted to be abandoned, even if it be thought illogical, is a question not now before us. What concerns us at this time is that even in the ordinance cases, the omission of a safeguard prescribed by statute is put upon a different plane, and is held not merely some evidence of negligence, but negligence in itself (Massoth v. D. & H. Canal Co., supra; and cf. Cordell v. N. Y. C. & H. R. R. R. Co., supra). In the ease at hand, we have an instance of the admitted violation of a statute intended for the protection of travelers on the highway, of whom the defendant at the time was one. Yet the jurors were instructed in effect that they were at liberty in their discretion to treat the omission of lights either as innocent or as culpable. They were allowed to “consider the default as lightly or gravely” as they would (Thomas, J., in the court below). They might as well have been told that they could use a like discretion in holding a master at fault for the omission of a safety appliance prescribed by positive law for the protection of a workman (Scott v. International Paper Co., 204 N. Y. 49; Fitzwater v. Warren, 206 N. Y. 355; Texas & Pac. Ry. Co. v. Rigsby, 241 U. S. 33). Jurors have no dispensing power by which they may relax the duty that one traveler on the highway owes *170under the statute to another. It is error to tell them that they have. The omission of these lights was a wrong, and being wholly unexcused was also a negligent wrong. No license should have been conceded to the triers of the facts to find it anything else.

We must be on our guard, however, against confusing the question of negligence with that of the causal connection between the negligence and the injury. A defendant who travels without lights is not to pay damages for his fault unless the absence of lights is the cause of the disaster. A plaintiff who travels without them is not to forfeit the right to damages unless the absence of lights is at least a contributing cause of the disaster. To say that conduct is negligence is not to say that it is always contributory negligence. “Proof of negligence in the air, so to speak, will not do” (Pollock Torts [10th ed.], p. 472). We think, however, that evidence of a collision occurring more than an hour after sundown between a car and an unseen buggy, proceeding without lights, is evidence from which a causal connection may be inferred between the collision and the lack of signals (Lambert v. Staten Island R. R. Co., 70 N. Y. 104, 109, 110; Walsh v. Boston & Maine Railroad, 171 Mass. 52, 58; The Pennsylvania, 19 Wall. 125, 136, 137; Fisher v. Village of Cambridge, 133 N. Y. 527, 532). If nothing else is shown to break the connection, we have a case, prima facie sufficient, of negligence contributing to the result. There may indeed be times when the lights on a highway are so many and so bright that lights on a wagon are superfluous. If that is so, it is for the offender to go forward with the evidence, and prove the illumination as a kind of substituted performance. The plaintiff asserts that she did so here. She says that the scene of the accident was illumined by moonlight, by an electric lamp, and by the lights of the approaching car. Her position is that if the defendant did not see the buggy thus illumined, a jury might reasonably infer that he would not have seen *171it anyhow. We may doubt whether there is any evidence of illumination sufficient to sustain the jury in drawing such an inference, but the decision of the case does not make it necessary to resolve the doubt, and so we leave it open. It is certain that they were not required to find that lights on the wagon were superfluous. They might reasonably have found the contrary. They ought, therefore, to have been informed what effect they were free to give, in that event, to the violation of the statute. They should have been told not only that the omission of the lights was negligence, but that it was “prima facie evidence of contributory negligence,” i. e., that it was sufficient in itself unless its probative force was overcome (Thomas, J., in court below) to sustain a verdict that the decedent was at fault (Kelly v. Jackson, 6 Pet. 622, 632). Here, on the undisputed facts, lack of vision, whether excusable or not, was the cause of the disaster. The defendant may have been negligent in swerving from the center of the road, but he did not run into the buggy purposely, nor was he driving while intoxicated, nor was he going at such a reckless speed that warning would of necessity have been futile. Nothing of the kind is shown. The collision was due to his failure to see at a time when sight should have been aroused and guided by the statutory warnings. Some explanation of the effect to be given to the absence of those warnings, if the plaintiff failed to prove that other lights on the car or the highway took their place as equivalents, should have been put before the jury. The explanation was asked for, and refused.

We are persuaded that the tendency of the charge and of all the rulings following it, was to minimize unduly, in the minds of the triers of the facts, the gravity of the decedent’s fault. Errors may not be ignored as unsubstantial when they tend to such an outcome. A statute designed for the protection of human life is not to be brushed aside as a form of words, its commands reduced *172to the level of cautions, and the duty to obey attenuated into an option to conform.

The order of the Appellate Division should be affirmed, and judgment absolute directed on the stipulation in favor of the defendant, with costs in all courts.

Hogan, J. (dissenting).

Upon the trial of this action, a jury rendered a verdict in favor of the plaintiff. Defendant appealed from the judgment entered thereon and an order made denying an application to set aside the verdict and for a new trial to the Appellate Division. The latter court reversed the judgment on the law and granted a new trial on questions of law only, the court having examined the facts and found no error therein. The decision thus made was equivalent to a determination by the court that it had passed upon the question of the sufficiency of the evidence and as to whether the verdict rendered by the jury was against the weight of evidence. The effect of that decision was that the order denying the motion to set aside the verdict and grant a new trial was upon the facts properly denied. (Judson v. Central Vt. R. R. Co., 158 N. Y. 597, 602.) A jury and the Appellate Division having determined that upon the facts developed on the trial of the action, the plaintiff was entitled to recover, in view of certain statements in the prevailing opinion, and for the purpose of explanation of my dissent, I shall refer to the facts which were of necessity found in favor of plaintiff and approved by the Appellate Division.

The following facts are undisputed. Leading from Broadway in the village of Tarrytown, Westchester county, is a certain public highway known as Neperham road, which runs in an easterly direction to East View, town of Greenburg. The worked portion of the highway varies in width from twenty-one and one-half feet at the narrowest point a short distance easterly of the place of the collision hereinafter mentioned, to a width of *173twenty-seven and one-half feet at the point where the collision occurred.

On the evening of August 21st, 1915, the plaintiff, together with her husband, now deceased, were seated in an open wagon drawn by a horse. They were traveling on the highway westerly towards Tarrytown. The defendant was traveling alone on the highway in the opposite direction, viz., from Tarrytown easterly towards East View in an automobile which weighed about three thousand pounds, having a capacity of seventy horse power, capable of developing a speed of seventy-five miles an hour. Defendant was driving the car.

A collision occurred between the two vehicles on the highway at or near a hydrant located on the northerly side of the road. Plaintiff and her husband were thrown from the wagon in which they were seated. Plaintiff was bruised and her shoulder dislocated. Her husband was seriously injured and died as a result of the accident.

The plaintiff, as administratrix, brought this action to recover damages arising by reason of the death of her husband caused as she alleged solely by the negligence of defendant in operating, driving and running the automobile at a high, unlawful, excessive and unsafe rate of speed, in failing to blow a horn or give any warning or signal of the approach of said automobile and in operating, driving and riding said automobile at said time and place upon his left-hand or wrongful side of said road or highway, thereby causing the death of her husband.

Defendant by his answer admitted that he was operating the automobile, put in issue the remaining allegations of the complaint and affirmatively alleged that any injury to plaintiff’s intestate was caused by his contributory negligence.

As indicated in the prevailing opinion, the manner in which the accident happened and the point in the highway where the collision occurred are important facts in this case, for as therein stated: “The case against him (defend*174ant) must stand, therefore, if at all, upon the divergence of his course from the center of the highway.” The evidence on behalf of plaintiff tended to establish that on the evening in question her husband was driving the horse at a jogging gait along on their right side of the highway near the grass which was outside of the worked part of the road on the northerly side thereof; that plaintiff observed about one hundred twenty feet down the road the automobile operated by defendant approaching at a high rate of speed, two searchlights upon the same, and that the car seemed to be upon her side of the road; that the automobile ran into the wagon in which plaintiff and her husband were seated at a point on their side of the road while they were riding along near the grass. Evidence was also presented tending to show that the rate of speed of the automobile was eighteen to twenty miles an hour and the lights upon the car illuminated the entire road. The defendant was the sole witness on the part of the defense upon the subject under consideration. His version was: “Just before I passed the Tarrytown Heights Station, I noticed a number of children playing in the road. I slowed my car down a little more than I had been running. I continued to drive along the road, probably I proceeded along the road thre’e hundred or four hundred feet further, I do not know exactly how far, when suddenly there was a crash and I stopped my car as soon as I could after I realized that there had been a collision. Whether I saw anything in that imperceptible fraction of space before the wagon and car came together I do not know. I have an impression, about a quarter of a second before the collision took place, I saw something white cross the road and heard somebody call 'whoaand that is all I knew until I stopped my car. My best judgment is I was travelling about twelve miles an hour. At the time of the collision I was driving on the right of the road.”

*175The manner in which and the point in the highway where the accident occurred presented a question of lact for a jury. If the testimony of defendant was accredited by the jury, plaintiff and her intestate having observed the approaching automobile deliberately, thoughtlessly or with an intention to avoid the same left their side of the road at a moment when an automobile was rapidly approaching with lights illuminating the road, to cross over to the side of the highway where the automobile should be, and as claimed by defendant was traveling, and thereby collided with the same, or, on the contrary, defendant was driving upon his left side of the road and caused the collision. The trial justice charged the jury fully as to the claims of the parties and also charged that the plaintiff in her complaint specifically alleged the acts constituting negligence on the part of defendant (amongst which was that he was driving on the wrong side of the road thereby causing the death of her husband, the alleged absence of signals having been eliminated from the case) and in order to recover the plaintiff must show that the accident happened in the way and in the manner she has alleged in her complaint. “It is for you to determine whether the defendant was driving on the wrong side of the road at the time he collided with the buggy; whether his lights did light up the road and the whole road ahead of him to the extent that the buggy was visible, and so, if he negligently approached the buggy in which plaintiff and her husband were driving at the time. If you find from the evidence here, he was driving on the wrong side of the road and that for this reason he collided with the buggy which was proceeding on the proper side, or if you find that as he approached the buggy the road was so well lighted up that he saw or should have seen the buggy and yet collided with it then you may say, if you so find, that the defendant was careless and negligent.” No exception was taken by the defendant to that charge, but at the *176close of the charge counsel for defendant made certain requests to charge upon the subject as follows:

“(1) If the jury find that Mr. Martin was guilty of any negligence, no matter how slight, which contributed to the accident, the verdict must be for defendant.

(2) In considering the photographs and consideration of which side of the vehicle, wagon, was damaged, that the jury have no right to disregard physical facts, and unless they find the accident happened as described by Mrs. Martin and Mrs. Cain, the verdict must be for the defendant.

“(3) The plaintiff must stand or fall on her claim as made, and if the jury do not find that the accident happened as substantially claimed by her and her witnesses, that the verdict of the jury must be for defendant.

(4) It was the duty of Mr. Martin to keep to the right.”

Each one of the several requests was charged, and in addition the trial justice charged that if the deceased, Mr. Martin, collided with the automobile while the wagon was on the wrong side of the road, the verdict must be for defendant.

The principal issue of fact was not only presented to the jury in the original charge made by the trial justice, but emphasized and concurred in by counsel for defendant.

The prevailing opinion in referring to the accident and the highway at the point where the accident occurred describes the same in the following language: At the point of the collision, the highway makes a curve. The car was rounding the curve when suddenly it came upon the buggy emerging the defendant tells us from the gloom.” Such in substance was the testimony of the defendant but his version was rejected by the jurors and the Appellate Division, and the evidence in the record is ample to sustain a contrary conclusion. As to the statement that the car was rounding “a curve,” *177two maps made by engineers from actual measurements and surveys for defendant were put in evidence by counsel for plaintiff. Certain photographs made for the purposes of the trial were also before the jury. I think we may assume that the jurors gave credence to the maps and actual measurements rather than to the photographs and failed to discover therefrom a curve of any importance or which would interfere with an unobstructed view of the road. As to the buggy emerging the defendant tells us from the gloom,” evidence was adduced by plaintiff tending to show that the searchlights on defendant’s car lighted up the entire roadway to the extent that the vehicle in which plaintiff and her husband were riding was visible, that the evening was not dark, though it appeared as though a rainfall might be expected. Some witnesses testified it was moonlight. The doctor called from Tarrytown who arrived within twenty minutes after the collision, testified that the electric lights all along the highway were burning as he passed over the road. The width of the worked part of the highway at the point of the accident was twenty-seven and one-half feet. About twenty-five feet westerly on the southerly side was located an electric fight which was burning. A fine drawn across the highway from that fight to the point of the accident would be about forty-two feet. One witness called by plaintiff lived in a house directly across the highway from the point of the accident. Seated in a front room it was sufficiently fight for her to see plaintiff’s intestate when he was driving along the road at a point near a telegraph pole which is shown on the map some ninety or one hundred feet easterly of the point of the accident, when she observed him turn his horse into the right towards the fence. Soon thereafter she heard the crash of the collision and immediately went across the highway and found Mr. Martin in a sitting position on the grass. A witness called by the *178defendant testified that she was on the stoop of her house, which is across the highway from the point of the accident and about forty feet distant from said point and while seated there she could see the body of Mr. Martin. While she testified the evening was dark, the lights on the highway were sufficient to enable her to see the body of Mr. Martin lying upon the grass forty feet distant. The defendant upon cross-examination was confronted with his testimony given before the coroner where he testified that the road was “fairly light.”

The facts narrated were passed upon by the jury under a proper charge relating to the same, and were sustained by the Appellate Division. The conclusions deducible therefrom are: (A) Defendant was driving his car upon the wrong side of the road. (B) Plaintiff and her intestate were driving a horse attached to the wagon in which they were seated upon the extreme right side of the road. (C) The highway was well lighted. The evening was not dark. (D) Defendant collided with the vehicle in which plaintiff and her husband were riding and caused the accident.

I must here note the fact that concededly there was no light upon the wagon in which plaintiff and her husband were riding, in order that I may express my views upon additional phrases in the prevailing opinion. Therein it is stated: “There may indeed be times when the lights on a highway are so many and so bright that lights on a wagon are superfluous.” I am in accord with that statement, but I dissent from the suggestion we may doubt whether there is any evidence of illumination sufficient to sustain the jury in drawing the inference that if defendant did not see the buggy thus illumined it might reasonably infer that he would not have seen it anyway. Further the opinion states: “Here, on the undisputed facts, lack of vision, whether excusable or not, was the cause of the disaster. The defendant may have been negligent in swerving from the center of the road, but he *179did not run into the buggy purposely, nor was he driving while intoxicated, nor was he going at such a reckless rate of speed that warning would of necessity be futile. Nothing of the kind is shown.” As to the rate of speed of the automobile, the evidence adduced by plaintiff’s witnesses was from eighteen to twenty miles an hour, as “very fast,” further that after the collision the car proceeded one hundred feet before it was stopped. The defendant testified that he was driving about twelve miles an hour, that at such rate of speed he thought the car should be stopped in five or six feet and though he put on the foot brake he ran twenty feet before he stopped. The jury had the right to find that a car traveling at the rate of twelve miles an hour which could be stopped within five or six feet, and with the foot brake on was not halted within one hundred feet must at the time of the collision have been running “very fast” or at a reckless rate of speed, and, therefore, warning would of necessity be futile. No claim was made that defendant was intoxicated or that he purposely ran into the buggy. Nor was proof of such facts essential to plaintiff’s right to recover. This case does not differ from many others wherein the failure to exercise reasonable care to observe a condition is disclosed by evidence and properly held a question of fact for a jury. In the earlier part of the prevailing opinion, as I have pointed out, the statement was: “The case against him (defendant) must stand or fall, if at all, upon the divergence of his course from the center of the highway.” It would appear that “lack of vision whether excusable or not was the cause of the disaster” had been adopted in lieu of divergence from the center of the highway. I have, therefore, discussed divergence from the center of the road. My examination of the record leads me to the conclusion that lack of vision was not on the undisputed facts the sole cause of the disaster. Had the defendant been upon his right side of the road, upon the plaintiff’s theory he might have been driving reck*180lessly and the plaintiff and her intestate being near to the grass on the northerly side of a roadway twenty-seven feet and upwards in width the accident would not have happened and the presence of or lack of vision would not be material. If, however, as found by the jury, defendant was wrongfully on plaintiff’s side of the road and caused the accident, the question of whether or not under the facts in the exercise of reasonable care he might have discovered his error and the presence of plaintiff and thereupon avoid the collision was for the jury. The question was presented whether or not as defendant approached the wagon the roadway was so well lighted up that defendant saw or in the exercise of reasonable care could have seen the wagon in time to avoid colliding with the same, and upon that proposition the conclusion of the jury was adverse to defendant, thereby establishing that the lights of the car on the highway were equivalent to any light which if placed upon the wagon of plaintiff would have aroused the attention of defendant, and that no causal connection existed between the collision and absence of a light on the wagon.

At the close of the charge to the jury the trial justice was requested by counsel for defendant to charge “that the failure to have a light on plaintiff’s vehicle is prima facie evidence of contributory negligence on the part of plaintiff.” The justice declined to charge in the language stated, but did charge that the jury might consider it on the question of negligence, but it was not in itself conclusive evidence of negligence. For the refusal to instruct the jury as requested, the judgment of the Trial Term was reversed by the Appellate Division.

The request to charge was a mere abstract proposition. Even assuming that such was the law, it would not bar a recovery by plaintiff unless such contributory negligence was the proximate and not a remote contributory cause of the injury. (Laidlaw v. Sage, 158 N. Y. 73; Rider v. Syracuse R. T. Ry. Co., 171 N. Y. 139, and cases cited.) The *181request to charge excluded that important requisite. The trial justice charged the jury that the burden rested upon plaintiff to establish by the greater weight of evidence that plaintiff’s intestate’s death was caused by the negligence of the defendant and that such negligence was the proximate cause of his death; that by proximate cause” is meant that cause without which the injury would not have happened, otherwise she could not recover in the action. In the course of his charge the justice enlarged on the subject of contributory negligence, and in connection therewith read to the jury the provisions of the Highway Law and then charged that the jury should consider the absence of a light upon the wagon in which plaintiff and her intestate were riding and whether the absence of a light on the wagon contributed to the accident: At the request of counsel for defendant, the justice charged that, if the jury should find any negligence on the part of Mr. Martin, no matter how slight, contributed to the accident, the verdict must be for the defendant. I cannot concur that we may infer that the absence of a light on the front of the wagon was not only the cause but the proximate cause of the accident. Upon the evidence adduced upon the trial and the credence attached to the same, the fact has been determined that the accident would have been avoided had the defendant been upon his side of the road or attentive to where he was driving along a public highway, or had he been driving slowly, used his sense of sight and observed plaintiff and her intestate as he approached them, they being visible at the time. The defendant’s request to charge which was granted, “that plaintiff must stand or fall on her claim as made, and if the jury do not find that the accident happened as substantially claimed by her and her witnesses that the verdict of the jury must be for the defendant,” presented the question quite succinctly. The jury found that the accident happened as claimed by the plaintiff- and her witnesses and we cannot surmise or *182infer that, the accident would not have happened had a light been located on the wagon.

In my opinion the charge of the trial justice upon the subject of proximate cause of the accident was a full and complete statement of the law of the case, especially when considered in connection with the charge that the slightest negligence on the part of the intestate contributing to the accident would require a verdict for defendant.

It would not be profitable to refer to and analyze the numerous decisions of this court upon the effect of a violation of an ordinance or a statute. A large number of cases were cited in the opinions in the Amberg case. That case was decided upon the principle that where a duty is imposed by statute and a violation of the duty causes an injury, such violation is evidence of negligence as matter of law. That proposition was clearly discussed in the Amberg case (Amberg v. Kinley, 214 N. Y. 531) as will appear by the result therein. The doctrine of causal connection therein declared was but a reiteration of the rule laid down in Willy v. Mulledy (78 N. Y, 310); Briggs v. N. Y. C. & H. R. R. R. Co. (72 N. Y. 26), and numerous other cases.

The charge requested and denied in this case was in effect that a failure to have a light upon the intestate’s wagon was as matter of law such negligence on his part as to defeat the cause of action irrespective of whether or not such negligence was the proximate cause of the injury. My conclusion is that we are substituting form and phrases for substance and diverging from the rule of causal connection.

Hiscock, Ch. J., Pound, McLaughlin, Andrews and Elkus, JJ., concur with Cardozo, J.; Hogan, J., reads dissenting opinion.

Order affirmed.

4.3.3.1.2 Tedla v. Ellman ("The Walking With Traffic Case") 4.3.3.1.2 Tedla v. Ellman ("The Walking With Traffic Case")

When is there a justification for violating a statue that would otherwise ground a negligence per se theory?

Anna Tedla et al., Respondents, v. Joseph Ellman et al., Appellants. Mary Bachek, as Administratrix of the Estate of John Bachek, Deceased, Respondent, v. Joseph Ellman et al., Appellants.

Submitted October 24, 1938;

decided February 28, 1939.

*125 Hobart R. Marvin and James A. Hughes for appellants.

Decedent and plaintiff respondant were guilty of contributory negligence as a matter of law and the complaints should have been dismissed. (Martin v. Herzog, 228 N. Y. 164; Concolino v. Kunzelman, 259 N. Y. 602; Rosenberg v. Schwartz, 260 N. Y. 162.)

Jacob Zelenko and Sidney R. Siben for respondents.

Plaintiffs are not barred from recovering merely because section 85, subdivision 6, of the Vehicle and Traffic Law (Cons. Laws, ch. 72) prescribes the method of walking upon a highway. (Rabinowitz v. Solomon, 221 App. Div. 366; Martin v. Herzog, 228 N. Y. 164; Kettle v. Turl, 162 N. Y. 255; Boronkay v. Robinson & Carpenter, 247 N. Y. 365; Zurich G. A. & L. Ins. Co. v. Childs Co., 253 N. Y. 324; Anderson v. Calkins, 252 App. Div. 836; Van Brunt v. N. V. Tel. Co., 209 App. Div. 4; Shields v. Consolidated Gas Co., 193 App. Div. 86; Brown v. Shyne, 242 N. Y. 176; Hoffman v. Union Ferry Co., 47 N. Y. 176; Minerly v. Union Ferry Co., 56 Hun, 113; Lewis v. Rowland, 225 App. Div. 25.)

Lehman, J.

While walking along a highway, Anna Tedla and her brother, John Bachek, were struck by a passing automobile, operated by the defendant Heilman. She was injured and Bachek was killed. Bachek was a deaf-mute. His occupation was collecting and selling junk. His sister, Mrs. Tedla, was engaged in the same occupation. They often picked up junk at the incinerator of the village of Islip. At the time of the accident they were walking along “Sunrise Highway” and wheeling baby carriages containing junk and wood which they had picked up at the incinerator. It was about six o’clock, or a little earlier, *126on a Sunday evening in December. Darkness bad already set in. Bachek was carrying a lighted lantern, or, at least, there is testimony to that effect. The jury found that the accident was due solely to the negligence of the operator of the automobile. The defendants do not, upon this appeal, challenge the finding of negligence on the part of the operator. They maintain, however, that Mrs. Tedla and her brother were guilty of contributory negligence as matter of law.

Sunrise Highway, at the place of the accident, consists of two roadways, separated by a grass plot. There are no footpaths along the highway and the center grass plot was soft. It is not unlawful for a pedestrian, wheeling a baby carriage, to use the roadway under such circumstances, but a pedestrian using the roadway is bound to exercise such care for his safety as a reasonably prudent person would use. The Vehicle and Traffic Law (Cons. Laws, ch. 71) provides that “Pedestrians walking or remaining on the paved portion, or traveled part of a roadway shall be subject to, and comply with, the rules governing vehicles, with respect to meeting and turning out, except that such pedestrians shall keep to the left of the center fine thereof, and turn to their left instead of right side thereof, so as to permit all vehicles passing them in either direction to pass on their right. Such pedestrians shall not be subject to the rules governing vehicles as to giving signals.” (§ 85, subd. 6.) Mrs. Tedla and her brother did not observe the statutory rule and, at the time of the accident, were proceeding in easterly direction on the east-bound or right-hand roadway. The defendants moved to dismiss the complaint on the ground, among others, that violation of the statutory rule constitutes contributory negligence as matter of law. They did not, in the courts below, urge that any negligence in other respect of Mrs. Tedla or her brother bars a recovery. The trial judge left to the jury the question whether failure to observe the statutory rule was a proximate cause of the accident; he left to the jury no question of other fault or negligence on the part of Mrs. Tedla or her brother, and the *127defendants did not request that any other question be submitted. Upon this appeal, the only question presented is whether, as matter of law, disregard of the statutory rule that pedestrians shall keep to the left of the center line of a highway constitutes contributory negligence which bars any recovery by the plaintiff.

Vehicular traffic can proceed safely and without recurrent traffic tangles only if vehicles observe accepted rules of the road. Such rules, and especially the rule that all vehicles proceeding in one direction must keep to a designated part or side of the road — in this country the right-hand side — have been dictated by necessity and formulated by custom. The general use of automobiles has increased in unprecedented degree the number and speed of vehicles. Control of traffic becomes an increasingly difficult problem. Rules of the road, regulating the rights and duties of those who use highways, have, in consequence, become increasingly important. The Legislature no longer leaves to custom the formulation of such rules. Statutes now codify, define, supplement and, where changing conditions suggest change in rule, even change rules of the road which formerly rested on custom. Custom and common sense have always dictated that vehicles should have the right of way over pedestrians and that pedestrians should walk along the edge of a highway so that they might step aside for passing vehicles with least danger to themselves and least obstruction to vehicular traffic. Otherwise, perhaps, no customary rule of the road was observed by pedestrians with the same uniformity as by vehicles; though, in general, they probably followed, until recently, the same rules as vehicles.

Pedestrians are seldom a source of danger or serious obstruction to vehicles and when horse-drawn vehicles were common they seldom injured pedestrians, using a highway with reasonable care, unless the horse became unmanageable or the driver was grossly negligent or guilty of willful wrong. Swift-moving motor vehicles, it was soon recognized, do endanger the safety of pedestrians crossing highways, and it is imperative that there the relative rights and duties of *128pedestrian s and of vehicles should be understood and observed. The Legislature in the first five subdivisions of section 85 of the Vehicle and Traffic Law has provided regulations to govern the conduct of pedestrians and of drivers of vehicles when a pedestrian is crossing a road. Until, by chapter 114 of the Laws of 1933, it adopted subdivision 6 of section 85, quoted above, there was no special statutory rule for pedestrians walking along a highway. Then for the first time it reversed, for pedestrians, the rule established for vehicles by immemorial custom, and provided that pedestrians shall keep to the left of the center line of a highway.

The plaintiffs showed by the testimony of a State policeman that “there were very few cars going east” at the time of the accident, but that going west there was “very heavy Sunday night traffic.” Until the recent adoption of the new statutory rule for pedestrians, ordinary prudence would have dictated that pedestrians should not expose themselves to the danger of walking along the roadway upon which the “very heavy Sunday night traffic” was proceeding when they could walk in comparative safety along a roadway used by very few cars. It is said that now, by force of the statutory rule, pedestrians are guilty of contributory negligence as matter of law when they use the safer roadway, unless that roadway is left of the center of the road. Disregard of the statutory rule of the road and observance of a rule based on immemorial custom, it is said, is negligence which as matter of law is a proximate cause of the accident, though observance of the statutory rule might, under the circumstances of the particular case, expose a pedestrian to serious danger from which he would be free if he followed the rule that had been established by custom. If that be true, then the Legislature has decreed that pedestrians must observe the general rule of conduct which it has prescribed for their safety even under circumstances where observance would subject them to unusual risk; that pedestrians are to be charged with negligence as matter of law for acting as prudence dictates. It is unreasonable to ascribe to the Legislature an intention that *129the statute should have so extraordinary a result, and the courts may not give to a statute an effect not intended by the Legislature.

The Legislature, when it enacted the statute, presumably knew that this court and the courts of other jurisdictions had established the general principle that omission by a plaintiff of a safeguard, prescribed by statute, against a recognized danger, constitutes negligence as matter of law which bars recovery for damages caused by incidence of the danger for which the safeguard was prescribed. The principle has been formulated in the Restatement of the Law of Torts: “A plaintiff who has violated a legislative enactment designed to prevent a certain type of dangerous situation is barred from recovery for a harm caused by a violation of the statute if, but only if, the harm was sustained by reason of a situation of that type.” (§ 469.) So where a plaintiff failed to place lights upon a vehicle, as required by statute, this court has said: “we think the unexcused omission of the statutory signals is more than some evidence of negligence. It is negligence in itself. Lights are intended for the guidance and protection of other travelers on the highway. (Highway Law, § 329-a.) By the very terms of the hypothesis, to omit, wilfully or heedlessly, the safeguards prescribed by law for the benefit of another that he may be preserved in life or limb, is to fall short of the standard of diligence to which those who live in organized society are under a duty to conform. That, we think, is now the established rule in this State.” (Martin v. Herzog, 228 N. Y. 164, 168, per Cardozo, J.) The appellants lean heavily upon that and kindred cases and the principle established by them.

The analogy is, however, incomplete. The “established rule” should not be weakened either by subtle distinctions or by extension beyond its letter or spirit into a field where “by the very terms of the hypothesis” it can have no proper application. At times the indefinite and flexible standard of care of the traditional reasonably prudent man may be, in the opinion of the Legislature, an insufficient *130measure of the care which should be exercised to guard against a recognized danger; at times, the duty, imposed by custom, that no man shall use what is his to the harm of others provides insufficient safeguard for the preservation of the life or limb or property of others. Then the Legislature may by statute prescribe additional safeguards and may define duty and standard of care in rigid terms; and when the Legislature has spoken, the standard of the care required is no longer what the reasonably prudent man would do under the circumstances but what the Legislature has commanded that is the rule established by the courts and “by the very terms of the hypothesis” the rule applies where the Legislature has prescribed safeguards “for the benefit of another that he may be preserved in life or limb.” In that field debate as to whether the safeguards so prescribed are reasonably necessary is ended by the legislative fiat. Obedience to that fiat cannot add to the danger, even assuming that the prescribed safeguards are not reasonably necessary and where the legislative anticipation of dangers is realized and harm results through heedless or willful omission of the prescribed safeguard, injury flows from wrong and the wrongdoer is properly held responsible for the consequent damages.

The statute upon which the defendants rely is of different character. It does not prescribe additional safeguards which pedestrians must provide for the preservation of the life or limb or property of others, or even of themselves, nor does it impose upon pedestrians a higher standard of care. What the statute does provide is rules of the road to be observed by pedestrians and by vehicles, so that all those who use the road may know how they and others should proceed, at least under usual circumstances. A general rule of conduct — and, specifically, a rule of the road — may accomplish its intended purpose under usual conditions, but, when the unusual occurs, strict observance may defeat the purpose of the rule and produce catastrophic results.

Negligence is failure to exercise the care required by law. Where a statute defines the standard of care and the safe*131guards required to meet a recognized danger, then, as we have said, no other measure may be applied in determining whether a person has carried out the duty of care imposed by law. Failure to observe the standard imposed by statute is negligence, as matter of law. On the other hand, where a statutory general rule of conduct fixes no definite standard of care which would under all circumstances tend to protect life, limb or property but merely codifies or supplements a common-law rule, which has always been subject to limitations and exceptions; or where the statutory rule of conduct regulates conflicting rights and obligations in manner calculated to promote public convenience and safety, then the statute, in the absence of clear language to the contrary, should not be construed as intended to wipe out the limitations and exceptions which judicial decisions have attached to the common-law duty; nor should it be construed as an inflexible command that the general rule of conduct intended to prevent accidents must be followed even under conditions when observance might cause accidents. We may assume reasonably that the Legislature directed pedestrians to keep to the left of the center of the road because that would cause them to face traffic approaching in that lane and would enable them to care for their own safety better than if the traffic approached them from the rear. We cannot assume reasonably that the Legislature intended that a statute enacted for the preservation of the life and limb of pedestrians must be observed when observance would subject them to more imminent danger.

The distinction in the effect of statutes defining a standard of care or requiring specified safeguards against recognized dangers and the effect of statutes which merely codify, supplement or even change common-law rules or which prescribe a general rule of conduct calculated to prevent accidents but which under unusual conditions may cause accidents, has been pointed out often. Seldom have the courts held that failure to observe a rule of the road, even though embodied in a statute, constitutes negligence as matter of law where observance would subject a person to *132danger which might be avoided by disregard of the general rule. In the United States and in England certain rules regarding the rights of vehicles and persons meeting or passing in the public highway have been established by long continued custom or usage, or, in many jurisdictions, by statutory regulation. These rules and regulations are usually spoken of as the law of the road’ or the rules of the road.’ These rules are, however, not inflexible, and a strict observance should be avoided when there is a plain risk in adhering to them, and one who too rigidly adheres to such rules when the injury might have been averted by variance therefrom, may be charged with fault; * * * the exceptions to the rule of the road depend upon the special circumstances of the case, and in respect to which no general rule can be applied.” (13 Ruling Case Law, tit. Highways,” § 222. Cf. Clarke v. Woop, 159 App. Div. 437; 2 Thomas on Negligence [2d ed.], p. 2346; 3 Shearman & Redfield on The Law of Negligence, § 649; Herdman v. Zwart, 167 Iowa, 500, 503; McElhinney v. Knittle, 199 Iowa, 278; Piper v. Adams Express Co., 270 Penn. St. 54; Dohm v. Cardozo, 165 Minn. 193; Snow v. Biggs, 172 Ark. 835, 840. See, also, 24 A. L. R. 1304, note; 63 A. L. R. 277, note.)

The generally accepted rule and the reasons for it are set forth in the comment to section 286 of the Restatement of the Law of Torts: “Many statutes and ordinances are so worded as apparently to express a universally obligatory rule of conduct. Such enactments, however, may in view of their purpose and spirit be properly construed as intended to apply only to ordinary situations and to be subject to the qualification that the conduct prohibited thereby is not wrongful if, because of an emergency or the like, the circumstances justify an apparent disobedience to the letter of the enactment. The provisions of statutes, intended to codify and supplement the rules of conduct which are established by a course of judicial decision or by custom, are often construed as subject to the same limitations and exceptions as the rules which they supersede. Thus, a *133statute or ordinance requiring all persons to drive on the right side of the road may be construed as subject to an exception permitting travellers to drive upon the other side, if so doing is likely to prevent rather than cause the accidents which it is the purpose of the statute or ordinance to prevent.”

Even under that construction of the statute, a pedestrian is, of course, at fault if he fails without good reason to observe the statutory rule of conduct. The general duty is established by the statute, and deviation from it without good cause is a wrong and the wrongdoer is responsible for the damages resulting from his wrong. (Cf. Dohm v. Cardozo, supra; Heidman v. Zward, supra; Clarke v. Woop, supra.)

I have so far discussed the problem of the plaintiffs’ right to compensation for the damages caused by defendants’ negligence as if it depended solely upon the question of whether the pedestrians were at fault, and I have ignored the question whether their alleged fault was a proximate cause of the accident. In truth, the two questions cannot be separated completely. If the pedestrians had observed the statutory rule of the road they would have proceeded easterly along the roadway on the left of the center grass plot, and then, it must be conceded, they would not have been struck by the automobile in which the defendants were riding, proceeding in the same direction along the roadway on the right. Their presence on the roadway where they were struck was an essential condition of their injury. Was it also as matter of law a proximate cause of the accident? The position of a vehicle, which has been struck by another, may or may not have been one of the causes of the striking. Of course it would not have been struck if it had not been in the place where the blow came. But this is a statement of an essential condition, and not of a cause of the impact. The distinction is between that which directly or proximately produces, or helps to produce, a result as an efficient cause, and that which is a necessary condition or attendant circumstance of it. *134* * * What is a contributing cause of an accident is usually a question for a jury, to be determined by the facts of the particular case.” (Newcomb v. Boston Protective Department, 146 Mass. 596, 604.) Here the jury might find that the pedestrians avoided a greater, indeed an almost suicidal, risk by proceeding along the east bound roadway; that the operator of the automobile was entirely heedless of the possibility of the presence of pedestrians on the highway; and that a pedestrian could not have avoided the accident even if he had faced oncoming traffic. Under those circumstances the question of proximate cause, as well as the question of negligence, was one of fact.

In each action, the judgment should be affirmed, with costs.

Crane, Ch. J., Hubbs, Loughran and Rippey, JJ., concur; O’Brien and Finch, JJ., dissent on the authority of Martin v. Herzog (228 N. Y. 164).

Judgments affirmed.

4.3.3.1.3 Tingle v. C., B. & Q. R. ("The Sunday Case") 4.3.3.1.3 Tingle v. C., B. & Q. R. ("The Sunday Case")

What goes wrong in this case? Which element of a negligence per se theory is not satisfied?

Tingle v. C., B. & Q. R. Co.

1. Kailroads; violation oe Sunday law: damage to stock. A railroad company incurs no other penalty for running trains on Sunday than the fine provided by section 4072 of the Code. The liability of such company for killing an animal by a train run on Sunday is to be determined by the same rules as if the accident had occurred on a secular day.

Appeal from Lucas Circuit Court.

Friday, December 15.

The plaintiff claims of the defendant thirty-five dollars, for the alleged killing of plaintiff’s cow upon a public highway, by a locomotive and train operated by the defendant on Sunday. The defendant filed a demurrer to the petition, which the court overruled. The defendant elected to stand upon its demurrer, and judgment was entered against the defendant for the amount claimed. The defendant appeals.

Stua/rt Bros., for appellant.

W. 8. Dungan, for appellee.

Day, J.

The amount in controversy not exceeding one hundred dollars, the court certified for our determination 'the following question: “When a railroad company unlawfully runs its trains on Sunday, in violation of the provisions of section 4072 of the Code, and while so running, strikes and kills a cow at a point where its track crosses a public highway, when said animal was lawfully running at large at the time, is said railroad company liable for said injury, in the absence of negligence on the part of the railroad or its employes operating said trains?” Section 4072 of the Code provides that if any person be found on the first day of the week, commonly called Sabbath, engaged in any labor, the work of necessity and charity only excepted, he shall, on con*334viction, be fined in a sum not more than five dollars, nor less than one dollar. The question which we have now to determine is whether the simple operation of a train, in violation of the provisions of this statute, renders a railroad company liable for all damages accidently occurring, without fault or negligence on its part, other than the mere operating of the train. Although this question has never been determined in this State, yet principles have been settled which, in our opinion, are decisive of it. In Schmid v. Humphrey, 48 Iowa, 652, it was held that the right of a party to recover damages for injuries resulting from the frightening of his horses by the defendant’s dogs, was not affected by the fact that the injury was sustained whilst the plaintiff was riding on a business errand on Sunday, in violation of the provisions of section 4072 of the Code. In Sutton v. The Town of Wauwatossa, 29 Wis., 21, after an exhaustive review of the authorities, it was held that the fact that plaintiff was driving his cattle to market on' Sunday, in violation of the statute, when they were injured by the breaking down of a defective bridge which the defendant town was bound to maintain, would not prevent a recovery, upon due proof of defendant’s negligence in constructing and maintaining such bridge. Now, if the mere fact that a party is engaged in employment upon the Sabbath day, in violation of statute, will not defeat recovery for an injury sustained whilst so employed, it follows, we think, that the mere fact that a person is so employed will not render him liable for injuries inflicted without other fault or negligence than the being so employed. It is true that if the defendant’s train had not been operated on Sunday, the injury complained of would not have occurred. It is also true, in the cases of Schmid v. Humphrey, and Sutton v. The Town of Wauwatossa, supra, that if the plaintiffs had not, in violation of statute, been at the places where the injuries of which they complained were inflicted, the injuries would not have been sustained. Yet in both cases it was in eifect held, that the fact of the parties being at the places in *335question, and engaged in an unlawful employment, did not proximately contribute to the injuries of which they complained. So, in this case, whilst the injury could not have been inflicted if the defendant’s train had not been operated, still, as it is not claimed that the train was operated in a negligent manner, the proximate cause of the injury was not the operation of the train, but it resulted from an accident for which the defendant is not responsible. The cases in this court in which a party has been held liable in damages for the violation of a statute, have all been cases in which the unlawful act contributed to the injury. In our opinion, no other liability is incurred by the operation of a railway train in violation of the provisions of section 4072 of the Code, than that which the statute itself imposes. It follows that the demurrer to the plaintiff’s petition should have been sustained.

Reversed.

4.3.3.2 Modern Cases 4.3.3.2 Modern Cases

4.3.3.2.1 Vega v. Eastern Courtyard Associates ("The Ramp Case") 4.3.3.2.1 Vega v. Eastern Courtyard Associates ("The Ramp Case")

What is the difference between the dissent and the majority? What is the difference between negligence per se and evidence of negligence?

WENDY VEGA, Appellant, v. EASTERN COURTYARD ASSOCIATES, a Limited Partnership, Respondent. WENDY VEGA, Appellant, v. EASTERN COURTYARD ASSOCIATES, a Limited Partnership, Respondent.

No. 33932

No. 34059

June 13, 2001

24 P.3d 219

Parker Nelson & Arin, Chtd., and Casey D. Gish, Las Vegas, for Appellant.

Pyatt & Silvestri and Phillip V. Tiberi, Las Vegas, for Respondent.

*437OPINION

By the Court,

Rose, J.:

In these consolidated appeals1 we are asked to determine whether the violation of a validly adopted building code provision constitutes negligence per se. We conclude that the violation of a building code provision adopted by a county ordinance is negligence per se if the plaintiff belongs to the class of persons the building code provision is intended to protect, and the injury the plaintiff suffered is of the type the provision was intended to prevent. Accordingly, because the district court failed to properly instruct the jury regarding the negligence per se doctrine, we reverse the district court’s judgment in favor of the respondent, as well as the district court’s order awarding attorney fees, and remand this case to the district court for further proceedings consistent with this opinion.

FACTS

On September 10, 1993, appellant Wendy Vega had a scheduled appointment at respondent Eastern Courtyard Associates’ medical facility in Las Vegas. While attempting to negotiate a *438ramp2 leading to the main entrance, Vega slipped, fell and was injured. Vega commenced suit, claiming Eastern Courtyard was negligent.

Prior to trial, Vega moved for partial summary judgment on the issue of duty and breach pursuant to the theory that Eastern Courtyard was negligent per se. Vega argued that Eastern Courtyard, as owner of the premises, had violated a provision of the Uniform Building Code (“UBC”), which had been adopted as part of the Building Code of Clark County.3 Vega claimed that the slope of the ramp leading into the entrance of the medical complex exceeded the slope allowed under the UBC, and that such a violation constituted negligence as a matter of law, or negligence per se. The district court, however, found that factual issues remained for trial, and, accordingly, denied Vega’s motion for partial summary judgment.

Vega again raised the theory of negligence per se in her trial brief. Vega proposed that the jury be charged with Nevada Jury Instruction 4.12, which reads:

There was in force at the time of the occurrence in question [a law] [laws] which read as follows:
A violation of the law[s] just read to you constitutes negligence as a matter of law. If you find that a party violated a law just read to you, it is your duty to find such violation to be negligence; and you should then consider the issue of whether that negligence was a [proximate] [legal] cause of injury or damage to the plaintiff.4

The district court, however, again ruled that Vega’s negligence per se theory did not apply to the facts of this case. The district court refused to allow Vega to utilize the negligence per se doctrine *439because Vega only alleged that Eastern Courtyard violated a building code provision enacted into law by an ordinance, not a statute. Thus, the case proceeded to trial solely on the issue of liability.5

At trial, Vega presented expert testimony demonstrating that the slope of the ramp exceeded the slope allowed under the UBC. Notably, Eastern Courtyard presented no evidence of its own regarding the slope of the ramp, nor did Eastern Courtyard challenge the characterization of the slope in question as a “ramp” under the UBC. Instead, Eastern Courtyard argued that even if the ramp violated the UBC, such a violation was not the proximate cause of Vega’s injuries. In support of this argument, Eastern Courtyard demonstrated that if the jury accepted Vega’s expert’s calculations, any violation of the UBC was minimal.

At the close of evidence, the district court instructed the jury that if it found that Eastern Courtyard had, in fact, violated the UBC, the jury could consider such a violation as evidence of Eastern Courtyard’s negligence.6 The jury subsequently returned a verdict in favor of Eastern Courtyard. Following the favorable verdict, Eastern Courtyard filed a motion for attorney fees pursuant to NRCP 68. Because Vega failed to oppose the motion, the district court granted attorney fees to Eastern Courtyard in the sum of $31,596.25. This appeal followed.

DISCUSSION

Whether a particular statute, administrative regulation or local ordinance is utilized to define the standard of care in a negligence action is clearly a question of law to be determined exclusively by the court.7 Accordingly, our review is de novo.8

*440Although we have never ruled on the applicability of an alleged violation of a building code provision in a plaintiff’s negligence action, we have consistently held that the violation of a statute constitutes negligence per se if the injured party belongs to the class of pefsons that the statute was intended to protect, and the injury suffered is of the type the statute was intended to prevent.9 In Barnes v. Delta Lines, Inc.,10 we held that where a plaintiff adduced evidence at trial showing that the defendant violated a statute designed to protect a class of persons to which the plaintiff belonged, the district court erred by failing to instruct the jury regarding the negligence per se doctrine.11 And later, in Del Piero v. Phillips,12 we applied the same analysis to a municipal ordinance. In that case we determined that a violation of the Reno Municipal Code, along with the defendant’s failure to yield to pedestrians as required by the “rules of the road,” required that the jury be instructed regarding negligence per se.13

In Ashwood v. Clark County,14 we declined to decide whether a violation of the UBC could be utilized as the basis for a plaintiff’s theory that the defendant was negligent per se.15 But as dictum in Ashwood evidences, we recognized that the UBC was legislative in nature. We also determined, however, that the UBC arguably appeared to be akin to an administrative regulation. We now take this opportunity to refute the dictum contained in Ashwood, and hold that the UBC is not administrative in nature.

Instead, we conclude that an alleged violation of a provision of the UBC may be utilized as part of a plaintiff’s negligence per se theory if the plaintiff belongs to the class of persons that the provision was intended to protect, and the injury suffered is of the type the provision was intended to prevent. We see no reason not to apply the reasoning and analysis we employed in Barnes and Del Piero to an alleged violation of a building code provision. Other jurisdictions that have addressed this issue are in accord with this ruling.16

*441Accordingly, we hold that if (1) a violation of a building code provision adopted by local ordinance is established, (2) an injured party fits within the class of persons that a particular provision of a building code was intended to protect, and (3) the injury suffered is of the type the provision was intended to prevent, the alleged violation constitutes negligence per se. We also hold that whether an injured party belongs to the class of persons that the provision at issue was meant to protect, and whether the injury suffered is the type the provision was intended to prevent, are questions of law to be determined by the court.17 If the district court had utilized Vega’s proffered instruction, the jury would have been able to determine whether the ramp at issue fit within the UBC’s definition of a ramp, whether Eastern Courtyard had, in fact, violated the UBC provision and whether the alleged violation was the proximate cause of Vega’s injuries.18 Because Vega adduced sufficient evidence at trial supporting her negligence per se theory, it was reversible error for the district court to refuse to instruct the jury accordingly.19

CONCLUSION

The violation of a building code provision may serve as the basis for an action brought under a negligence per se theory if the plaintiff belongs to the class of persons that the provision was intended to protect, and the injury the plaintiff suffered is of the type the provision was intended to prevent. Therefore, the district court incorrectly instructed the jury concerning Eastern Courtyard’s alleged violation of the UBC. Upon remand, the district court should determine if Vega belongs to the class of persons that the provision was intended to protect, and the injury *442Vega allegedly suffered is of the type the provision was intended to prevent. If the district court so finds, it must instruct the jury regarding the negligence per se doctrine. Accordingly, we reverse the district court’s judgment, as well as the district court’s order granting attorney fees, and remand this matter to the district court for further proceedings consistent with this opinion.

Shearing, Leavitt and Becker, JJ., concur.

On November 2, 1999, this court issued an order consolidating these appeals.

Both parties in this dispute refer to the slope in question as a “ramp”; however, the area where Vega slipped is more accurately described as the tapered portion of the sidewalk that declined from the interior portion of the sidewalk to the adjoining parking lot. While no evidence challenging this characterization was presented at trial or to this court on appeal, there is some question whether this slope actually fits within the Uniform Building Code’s definition of a ramp. We note that a case similar to the instant case was decided by the Montana Supreme Court on the ground that the Uniform Building Code’s provision concerning ramps did not apply to the slope in question. See Knutson v. Barbour, 879 P.2d 696, 698-700 (Mont. 1994).

See Clark County Ordinance § 22.04.010 (“[T]he ‘Uniform Building Code, 1991 Edition,’ ... is designated as the building code of Clark County and by the designation and reference is adopted and made a part of this chapter, the same as if it were fully set forth herein.”). NRS 244.105 allows Nevada counties to adopt uniform building, plumbing or electrical codes by reference.

Nev. J.I. 4.12 (brackets in original).

In this appeal, Vega also asks this court to review the district court’s decision to bifurcate the trial pursuant to NRCP 42(b). Because of our resolution of the negligence per se issue, we need not address this issue. We do note, however, that we have generally held that the question of whether to order separate trials is left to the sound discretion of the district court. C.S.A.A. v. District Court, 106 Nev. 197, 199, 788 P.2d 1367, 1368 (1990).

The instruction given to the jury read:

If you find that the ramp in question was maintained by the defendants in violation of the Uniform Building Code, you may consider this as evidence that defendant [ ] breached its duty.
The fact that the defendant [ ] may not have had knowledge of the Uniform Building Code requirements does not excuse a violation.

Sagebrush Ltd. v. Carson City, 99 Nev. 204, 208, 660 P.2d 1013, 1015 (1983) (“Whether a legislative enactment provides a standard of conduct in the particular situation presented by the plaintiff is a question of statutory interpretation and construction for the court.”).

County of Clark v. Upchurch, 114 Nev. 749, 753, 961 P.2d 754, 757 (1998) (“The construction of a statute is a question of law subject to de novo review.”).

Anderson v. Baltrusaitis, 113 Nev. 963, 965, 944 P.2d 797, 799 (1997) (quoting Ashwood v. Clark County, 113 Nev. 80, 86, 930 P.2d 740, 744 (1997) (citing Sagebrush Ltd. v. Carson City, 99 Nev. 204, 208, 660 P.2d 1013, 1015 (1983))); Brannan v. Nevada Rock & Sand, 108 Nev. 23, 26-27, 823 P.2d 291, 293 (1992); Barnes v. Delta Lines, Inc., 99 Nev. 688, 690, 669 P.2d 709, 710 (1983).

99 Nev. 688, 669 P.2d 709.

Id. at 690, 669 P.2d at 710-11.

105 Nev. 48, 769 P.2d 53 (1989).

Id. at 51-53, 769 P.2d at 55-56.

113 Nev. 80, 930 P.2d 740 (1997).

113 Nev. at 87 n.3, 930 P.2d at 744 n.3.

See Cable v. Shefchik, 985 P.2d 474 (Alaska 1999); Huang v. Garner, *441203 Cal. Rptr. 800 (Ct. App. 1984), disapproved on other grounds, Aas v. Superior Court, 12 P.3d 1125 (Cal. 2000); Nettleton v. Thompson, 787 P.2d 294 (Idaho Ct. App. 1990); Bills v. Willow Run 1 Apartments, 547 N.W.2d 693 (Minn. 1996); Herbst v. Miller, 830 P.2d 1268 (Mont. 1992); Eduardo v. Clatsop Community Resource Dev. Corp., 4 P.3d 83 (Or. Ct. App. 2000).

See Ashwood, 113 Nev. at 87, 930 P.2d at 744 (concluding as a matter of law that the plaintiff was not a member of the class of persons that the building code was intended to protect); Barnes, 99 Nev. at 690, 669 P.2d at 710-11 (concluding that the statutes in question were enacted to protect the class of persons to which the plaintiff belonged); see also Nunneley v. Edgar Hotel, 225 P.2d 497, 499-500 (Cal. 1950) (determining that whether the plaintiff was one of the class of persons for whose protection the ordinance was adopted is a question of law).

Barnes, 99 Nev. at 690, 669 P.2d at 711.

Beattie v. Thomas, 99 Nev. 579, 583, 668 P.2d 268, 271 (1983) (party is entitled to have jury instructed on its theory of the case if sufficient evidence supports the theory).

Maupin, C. J.,

with whom Young and Agosti, JJ., agree, dissenting:

I would affirm the district court’s decision in this instance. In 1969 we decided Price v. Sinnott.1 The appellant in Price argued that an administrative rule promulgated by the Nevada Liquefied Petroleum Gas Board, which had been violated by the respondent, should serve as a basis for the appellant’s theory of negligence per se. Holding that the administrative rule in that case did not rise to the level of a state statute, this court held that evidence of the rule’s violation could be considered by a jury as evidence of negligence, but not considered as negligence per se.2

More recently, we decided Ashwood v. Clark County ,3 in which we noted in the margin:

[Tjhere is some question as to whether the Clark County Building Code is an appropriate basis for application of the negligence per se doctrine. In Price v. Sinnott, we held that “proof of a deviation from an administrative regulation is only evidence of negligence; not negligence per se.” . . . We reasoned that, “[tjhis point of view best serves all interests since it accords appropriate dignity to administrative rules and concomitantly affords some leeway for those instances where the rule in issue may be arbitrary and its violation not necessarily unreasonable.”
Although the Clark County Building Code is promulgated as a legislative ordinance, it appears, at least arguably, administrative in nature. Nevertheless, because this issue was neither raised before the district court, nor briefed on appeal, and because resolution of this issue would not affect the outcome of this case, we decline to consider this issue at the present time.4

Although we declined to decide the issue, we likened the build*443ing code at issue in Ashwood to the administrative regulation discussed in Price.

While other courts that have addressed this issue have ruled that violation of a validly adopted provision of the UBC would constitute negligence per se,5 such a rule is not uniform. Citing the Restatement (Second) of Torts § 286 (1965), the Wyoming Supreme Court ruled in Pullman v. Outzen6 that not all ordinances may properly serve as a basis for negligence per se.7 Therefore, the Wyoming Supreme Court held that the violation of the UBC should only be utilized by the jury as evidence of the defendant’s negligence.8 Prosser and Keeton note that many courts that have applied a per se rule with regard to violations of statutory enactments have taken a less stringent view with regard to violations of local building codes or administrative regulations.9

I believe the better view is that which permits the jury to hear evidence of a building code violation when considering the issue of negligence, but that a building code violation should not be considered negligence per se since building code provisions are not uniformly applied. This is underscored by the fact that many building code provisions are often waived or made subject to variances by the local governments.

I certainly agree that persons claiming damages in a premises liability matter must be able to litigate the question of whether the defendant has violated a building code provision and whether the violation was the proximate cause of the plaintiffs damages. An instruction that such a violation is evidence of negligence sufficiently facilitates the ability to press these issues. The inherent ability of local governments to waive enforcement or formally provide variances is an important reason why building code ordinances should not be treated in the same way as we treat the violation of state legislative measures in such matters.

85 Nev. 600, 460 P.2d 837 (1969).

Id. at 605, 460 P.2d at 840.

113 Nev. 80, 930 P.2d 740 (1997).

Id. at 87 n.3, 930 P.2d at 744 n.3 (citation omitted) (quoting Price, 85 Nev. at 605, 460 P.2d at 840).

See Cable v. Shefchik, 985 P.2d 474 (Alaska 1999); Huang v. Garner, 203 Cal. Rptr. 800 (Ct. App. 1984), disapproved on other grounds, Aas v. Superior Court, 12 P.3d 1125 (Cal. 2000); Nettleton v. Thompson, 787 P.2d 294 (Idaho Ct. App. 1990); Bills v. Willow Run 1 Apartments, 547 N.W.2d 693 (Minn. 1996); Herbst v. Miller, 830 P.2d 1268 (Mont. 1992); Eduardo v. Clatsop Cmty. Res. Dev. Corp., 4 P.3d 83 (Or. Ct. App. 2000).

924 P.2d 416 (Wyo. 1996).

Id. at 417.

Id. at 418.

Keeton et al., Prosser and Keeton on the Law of Torts § 36 (5th ed. 1984).

4.3.4 Res Ipsa Loquitur 4.3.4 Res Ipsa Loquitur

4.3.4.1 Sapp v. United States ("The B-47 Bomber Case") 4.3.4.1 Sapp v. United States ("The B-47 Bomber Case")

Is this an easy case to apply res ipsa loquitur, and if so, why?

James C. SAPP and Annie R. Sapp v. The UNITED STATES of America.

Civ. A. No. 5398.

United States District Court W. D. Louisiana, Lake Charles Division.

July 22, 1957.

James A. Smith, Lake Charles, La., for plaintiffs.

T. Fitzhugh Wilson, U. S. Atty., Meredith T. Holt, Asst. U. S. Atty., Shreveport, La., for defendant.

HUNTER, District Judge.

Brought under the Federal Tort Claims Act,1 this suit is for personal injuries sustained by Sgt. and Mrs. James. C. Sapp when a United States Air Force B-47 Bomber crashed and burst into flames within a few feet of their home.

The facts, insofar as shown, are these:

(1) On the evening of February 28, 1955, at approximately 6:30 P.M., a B-47 aircraft, No. 2045, took off on a routine training mission from the Lake Charles Air Force Base.

*497(2) At all times pertinent the aircraft was in the sole and exclusive custody and control of employees of the United States, acting in the scope of their employment and for the benefit of the United States.

(3) Soon after the take-off, the aircraft developed engine trouble with its No. 2 engine, and as a precaution the pilot shut down that engine and remained in the Lake Charles-Lafayette area until sufficient fuel had been burned to permit the plane to land safely at its home field.

(4) At about 11:30 P.M. the aircraft came in for a landing, the craft made a regular, announced approach into the Lake Charles Air Base flying area. The plane was under the command of Captain Clarence Wilson. He was accompanied by Captain Mark Veck, listed as pilot, and Captain Elwyn McBee, Observer. All three of these officers were members of the 52nd Bombardment Squadron, 68th Bombardment Wing, Lakes Charles Air Force Base, Lake Charles, Louisiana.

(5) The aircraft was cleared for a standard jet landing; and at the proper time, control of the aircraft was transferred to GCA. GCA picked up the aircraft on search radar at 21 miles north of the Air Base and advised the pilot to report over the North Lake Charles “homer” at 3,000 feet. The final controller took control of the aircraft between five and eight miles out, at which time the aircraft was right on course. At five miles out it was still on the course line but slightly over the glide path. GCA advised the aircraft to correct its position, and at four miles out the plane was lined up properly on the glide path. At three and one-half miles out it began to drift to the left. GCA directed a correction to the right, and receiving no answer did so again. No acknowledgment was received and the plane continued approximately five degrees off course to the left. Seconds later, the aircraft was observed to take a sharp 90-degree turn to the right, and dropped off the scope. It then crashed into Hazel’s Trailer Village in the vicinity of Highway 171 at Moeling Street, Lake Charles, Louisiana.

(6) Sgt. and Mrs. Sapp were sleeping in their trailer home when the bomber crashed and burst into flames mere feet away.

(7) Sgt. Sapp is now, and was at the time of the accident, a sergeant in the United States Air Force. His injuries were not service-connected or in any sense incident to his military service. What Sapp was doing at the time he was injured (sleeping at his home) had absolutely nothing to do with his military service.

(8) At the time of the crash the weather was suitable for flying — visibility 10 miles, ceiling 400 to 600 feet, and there was no fog. The turbulence mentioned by the weather officials was so slight that is should not have affected the flight of an aircraft the size and weight of a B-47. One B-47 landed before Aircraft 2045 crashed, and two landed immediately thereafter.

(9) In the past several years tremendous improvements have been effected in the design and construction of the B-47, and in the operation and maintenance thereof. Today, the B-47 is no longer an experimental plane, and has been accepted by the United States Air Force as a combat plane and is used in the training of pilots.

(10) An accident of this nature does not ordinarily happen when the aircraft has been properly inspected, maintained, serviced and flown by competent personnel, unless there is a lack of due care by someone responsible for its operation 2.

(11) The doctrine of res ipsa loquitur is applicable here. The defendant has not proven why the accident occurred, nor has it proven that it was without fault. Applying the doctrine of res ipsa loquitur the Court concludes as a fact that the government agents were guilty *498of negligence which was the proximate cause of the plane going off its course and crashing. The circumstances leave no room for a different finding. Defendant has not overcome the inference of negligence.

(12) Mrs. J. C. Sapp, one of the plaintiffs in the case at bar, was thrown from her bed at the time of the impact. Her husband, Sergeant J. C. Sapp, the other plaintiff herein, carried her from their trailer wrapped in a blanket to protect her from the fire which engulfed their small home. Sgt. Sapp, when awakened by the crash, heard his wife screaming and immediately set out to take her from the burning trailer.

(13) We do not believe that Mrs. Sapp has proven by a preponderance of the evidence that she suffered a miscarriage, and for that she is to receive nothing.

(14) Mrs. Sapp received no traumatic injury. Her remaining claim arises out of and indirectly from nervous tension and anxiety which she allegedly suffered as a result of the accident. There is no evidence that she was ever examined by Lake Charles Air Force Base Hospital at the time of the accident. She did consult later with and was examined by Dr. L. L. DiGiglia and Dr. Charles F. Adkins, a Psychiatrist of Beaumont, Texas. The Court finds that Mrs. Sapp’s condition, which has been diagnosed both by Dr. Adkins and Dr. DiGiglia as an anxiety psychoneurosis, was precipitated by the crash and accident of February 28, 1955, and damages therefor are fixed at $3,000.-

(15) Sgt. Sapp’s injuries consisted of 2nd and 3rd degree burns over approximately 10 per cent of his body. These burns were confined specifically to the neck, arms, head and shoulders. All the hair was burned from his head. Dr. Harold R. Bicknell, who treated Sgt. Sapp, and testified for defendant, stated that severe pain accompanied the burned area for approximately three weeks after the accident. Sgt. Sapp was hospitalized for nineteen days and was treated as an out-patient for an additional thirty-four days. He returned to duty fifty-three days after the accident but was still treated for a urticarian (penicillin rash) condition after that. This condition was caused by penicillin shots administered as treatment for the burns and the condition lasted for two or three weeks and resulted in frequent scaling of the Sergeant’s hands and feet, as well as an irritating hives type rash. The scar tissue which formed over the burned area is supersensitive and reacts to heat and perspiration.

(16) Even though Sgt. Sapp is capable of serving in the Armed Forces, he is entitled to recover for pain and suffering, past, present and future, in the amount of $10,000.

Sgt. Sapp’s Right of Action

The Government insists that Sgt. Sapp has no right of action because it says that his injuries arose out of or in the course of activity incident to service. Cited to support this proprosition were: Feres v. United States, 340 U.S. 135, 71 S.Ct. 153, 95 L.Ed. 152; United States v. United Services Automobile Ass’n, 8 Cir., 238 F.2d 364; Preferred Ins. Co. v. United States, 9 Cir., 222 F.2d 942; Orken v. United States, 6 Cir., 239 F.2d 850.

The conclusion is inescapable that Sapp’s injuries were not service-connected, nor in any sense incident to his military service; the cited cases are not applicable; and the facts here insofar as Sapp’s right of action is concerned are identical with the facts in Snyder v. United States 3.

Res Ipsa Loquitur

Many Louisiana courts have interpreted this phrase. The Fifth Circuit has on numerous occasions extensively discussed Louisiana law pertinent there*499to 4. Fundamentally stated, the doctrine of res ipsa loquitur is that in the absence of an explanation by a defendant, when a thing causing injury is shown to be under the management of defendant, and the accident is such as in the ordinary course of things does not happen, if those who have its management use proper care, a sufficient basis is afforded for a finding and a conclusion that the accident arose from want of care and was proximately caused thereby. The Louisiana law looks with favor and extreme liberality upon the application of the doctrine. In Whalen, supra [220 F.2d 82], Judge Tuttle, speaking for the Fifth Circuit, made this very pertinent observation :

“We believe that those cases are a better expression of Louisiana law than the dicta in the Dorman case, supra, and that they are in line with recent decisions of the United States Supreme Court giving the same or broader scope and latitude to the res ipsa loquitur rule. Lavender v. Kurn, 327 U.S. 645, 66 S.Ct. 740, 90 L.Ed. 916; Jesionowski v. Boston & M. R. R., 329 U.S. 452, 67 S.Ct. 401, 91 L.Ed. 416, 169 A.L.R. 947.”

The doctrine has the capacity for great flexibility. Each case seeking to invoke the doctrine must stand or fall upon its own facts. But, its application necessarily varies with experience, and a situation to which the doctrine was not applicable several years ago because of insufficient experience or lack of technical knowledge might today fall within the scope of the rule, depending upon what experience has shown. In the past several years, tremendous improvements have been effected in the construction of the B-47. Today and at the time of this accident, it is and was a relatively safe means of transportation. A B-47 of the type herein used coming in to land on an ordinary routine flight under normal weather conditions does not crash in the ordinary course of things unless there has been a failure to properly inspect, service, and maintain it, or unless it is not operated with due care.

While there are no reported decisions of the courts of Louisiana ruling specifically on the applicability of this rule to accidents involving aircraft5, there are numerous authorities from other jurisdictions, and the modern trend of authority is to hold the doctrine of res ipsa loquitur applicable to airplane accidents 6, and certainly this is true when, as here, it is apparent from the evidence that the plane was off its prescribed course.

The Government argues, in effect, that the novelty of air navigation should preclude the application of the doctrine of res ipsa loquitur to airplane accidents, in view of the fact that they may be due to mysterious and unknown causes. They rely heavily of Morrison v. Le Tourneau, 5 Cir., 138 F.2d 339; Chapman v. United States, 5 Cir., 194 F.2d 974; and Williams v. United States, 5 Cir., 218 F.2d 473.

Turning first to Morrison, the facts there are altogether different and the principles announced therein cannot be applied to the ease at bar because:

(a) There, the decedent was a passenger in a little dual control Cub, and the court concluded that there was no proof whether the pilot *500was piloting the plane at the time of the crash or whether Morrison was piloting it.
(b) There, two defendants were involved, and it was impossible to determine the defendant against whom the rule should be applied, since the two defendants were charged with separate and distinct acts of negligence.

Chapman did not involve the doctrine of res ipsa loquitur and is not helpful to the decision in the case under consideration. This leaves for our consideration the case so heavily relied upon by the Government — the Williams ease. There, a B-47 Stratojet Bomber, similar to the one involved here, caught fire and exploded in midair, over Mariana, Florida. There, as here, plaintiff relied solely upon the application of the doctrine of res ipsa loquitur. The Fifth Circuit denied recovery there because plaintiff failed to prove that the accident would not have occurred in the ordinary course of events if the defendant had exercised due care, and because the court had “no knowledge, judicial or otherwise, of what would cause a jet airplane to explode in midair whilé in flight.” [218 F.2d 476.] That decision can be authoritative here only if we ignore vital distinctions that are immediately apparent, as follows:

(a) There, the crash occurred in 1952. At that time the B-47 was an experimental plane, whereas the accident in this case occurred in 1955 at which time the B-47 was an accepted combat plane.
(b) Here, unlike Williams, there is positive testimony to the effect that the accident would not have occurred in the ordinary course of events if the defendant had exercised due care.
(c) There, the plane exploded in midair. Here, for some inexplicable reason, the aircraft, while coming in to land, departed from its prescribed course, hit the ground at the location of a trailer park, and exploded. The evidence shows that the aircraft was in the wrong .place at the wrong time, and this has not been explained.

Conclusions of Law

(1) The Court has jurisdiction under the Federal Tort Claims Act, 28 U.S.C.A. § 1346(b) and 28 U.S.C.A. § 2671 et seq.

(2) The venue of the cause lies in the Western District of Louisiana, Lake Charles Division, under the provisions of 28 U.S.C.A. § 1402(b).

(3) The law to be applied in this case is the law of Louisiana. Erie R. Co. v. Tompkins, 304 U.S. 64, 58 S.Ct. 817, 82 L.Ed. 1188.

(4) The doctrine of res ipsa loquitur applies.

(5) The fact that the plane was under the exclusive control of the defendant and that the accident is such as in the ordinary course of things does not happen if those who have its management use proper care gives rise to an inference of negligence which the defendant has failed to explain or rebut.

(6) Where an Air Force sergeant, while off duty and at his home, sustained injuries by reason of an airplance crash, such injuries were neither service-connected nor in any sense incidental to his military service, and he was not precluded from maintaining action under the Federal Tort Claims Act (Snyder v. United States, supra).

(7) On the record, Sgt. Sapp is entitled to recover as a result of his injuries due to the accident a total amount of $10,000.

(8) On the record, Mrs. Sapp is entitled to recover as damages sustained by her as a result of the accident a total amount of $3,000.

(9) The attorneys for plaintiffs are entitled under Section 2678, Title 28, U.S.C.A., to an attorneys’ fee of 20% of the amount of this recovery for services rendered, to be paid out of the judgment this day rendered against the Government.

Proper decree should be presented in accordance with these findings.

4.3.4.2 Trujeque v. Service Merchandise Co. ("The Collapsing Chair Case") 4.3.4.2 Trujeque v. Service Merchandise Co. ("The Collapsing Chair Case")

What is needed to establish the exclusive control element of a res ipsa case? How would you describe the two kinds of control that the parties present as being the relevant kind?

872 P.2d 361

Carmen TRUJEQUE, Petitioner, v. SERVICE MERCHANDISE COMPANY, Respondent.

No. 20368.

Supreme Court of New Mexico.

March 29, 1994.

*389John Perrine, Albuquerque, for petitioner.

Sager, Curran, Sturges & Tepper, P.C., Christopher P. Bauman, C. Kristine Osnes, Albuquerque, for respondent.

OPINION

RANSOM, Justice.

Carmen Trujeque sued Service Merchandise for injuries sustained when a chair that Service Merchandise provided for customers collapsed as Trujeque sat down. The trial court instructed the jury on res ipsa loquitur, and the jury returned a special verdict for the defendant. The Court of Appeals affirmed in an unpublished opinion. We issued a writ of certiorari to review the error alleged to have occurred when, in response to a question from the jury foreman, the trial judge instructed the jury on the meaning of the term “exclusive control.” Because we find that the instruction given was inappropriate under the facts of this case, we reverse the Court of Appeals and the trial court and remand for a new trial.

Factual and procedural history. Trujeque was shopping at Service Merchandise and waiting for her order to be processed when she decided to sit in one of the chairs that Service Merchandise provided for its customers’ convenience. As she sat down, the chair broke, causing her to fall and injure her arm. The store manager took the chair pieces and apparently disposed of them before suit was filed. In addressing the store’s motion for summary judgment, the trial court ruled that Trujeque could present her case to the jury only on the theory of res ipsa loquitur. At trial, Trujeque provided evidence that the chair was owned and maintained by Service Merchandise. Service Merchandise provided evidence from which the jury could infer that it was more probable than not that other customers also had sat in the chair on the day of the accident. In opening argument, the attorney for Service Merchandise told the jury that to find Service Merchandise liable, it would have to find that “Service Merchandise or its employees were the last people to use the chair before Mrs. Trujeque sat in it” and that “it’s more probable than not that [the] chair had been used during that day by a customer.” Trujeque argued in closing that “[e]xclusive management and control is a common sense idea that what’s going on is their business, their concern, their responsibility, their control, their management.”

During discussions concerning jury instructions, Service Merchandise tendered Instruction 14A stating that the instruction adopted the language of Gonzales v. Shoprite Foods, Inc, 69 N.M. 95, 364 P.2d 352 (1961). The instruction articulated a standard of proof for the element of “exclusive control”:

In order to prove that the defendant had exclusive control and management over the instrumentality causing plaintiffs accident and injuries, plaintiff must show from the evidence that others did not have an opportunity of equal access to the instrumentality.

Trujeque objected as follows:

Mr. Perrine: The second phrase, “plaintiff must show from the evidence that oth*390ers did not have an opportunity of equal access to the instrumentality.” First of all, is any additional evidentiary requirement after the trial; secondly “others” would be 41,000 customers.

The court refused to give the instruction.

The jury was instructed in accordance with SCRA 1986, 13-1623 (Repl.Pamp.1991), that Trujeque had the burden of proving that the chair was under the “exclusive control and management” of Service Merchandise. Shortly after the jury retired, the jury foreman presented a written question to the court requesting a “precise legal definition of the term ‘exclusive control.’ ” The trial judge summoned counsel and proposed instructing the jury according to Instruction 14A. Trujeque again objected:

Mr. Perrine: [Tuso v.] Markey[, 61 N.M. 77, 294 P.2d 1102 (1956),] is a chair case, not a merchandise case. Whether— which defendant is arguing Gonzales v. Shoprite, 69 N.M. 95, 364 P.2d 352, that that case should apply to this particular case. Gonzales v. Shoprite is a merchandise case where merchandise is stacked in defendant’s self-service supermarket. And there was — the Court accepted that the stacking was done in a customary manner; and that, therefore, the normal service of 900 to a thousand people on the same day of the week did not mean that that merchandise was within the sole and exclusive control of defendant. However, Tuso v. Markey is a chair case.
Mr. Perrine: ... There’s another case, Chapin [v. Rogers, 80 N.M. 684, 459 P.2d 846 (Ct.App.1969),] ... and it’s a similar type of chair case.
In Tuso the plaintiff alleged, generally, the unsafe condition of the chair and ... that the accident ... would not have happened if the defendant used due care since the chair was within [the] sole and exclusive control of the management.
This Court found that, “The general allegations of negligence, accompanied by an allegation and proof that the instrumentality causing the accident was under the exclusive control of appellees, warranted its application.”
I would vigorously argue that this is a chair case and not a stack of merchandise that can become under the control, or maybe different customers who are bumping it around and changing the conditions of the stability, and thereby causing a potential for injury to a subsequent customer. This is not the same type of ease at all, and this instruction should not apply since there are 41,000 other customers who, naturally, are going to be using that chair.

Despite this objection, the trial court submitted the instruction to the jury. After receiving Instruction 14A, the jury asked, “Does the sitting in the chair by a customer constitute equal access to the instrumentality (chair)?” Over Trujeque’s objection, the court answered affirmatively.

Trujeque sufficiently preserved error for appeal. Service Merchandise argues that Trujeque did not tender a different instruction or point out the specific vice in the challenged instruction as required by Budagher v. Amrep Corp., 97 N.M. 116, 119, 637 P.2d 547, 550 (1981). It contends that Trujeque’s arguments on appeal that the instruction is “rigid and inflexible” and mischaracterized the legal principle for which Gonzales stands were not raised below and therefore should not be considered by this Court. Although we agree that neither Tuso nor Chapin contain a definition of the phrase “exclusive control and management,” we believe that instructions to the jury require no definition of that self-explanatory phrase. It is for counsel to argue the facts and inferences to be drawn as to exclusive control and management, subject to objection that a meaning is being attributed to that phrase that is not intended by the law. Trujeque sufficiently drew the court’s attention to the fact that this case is to be distinguished from Gonzales and that New Mexico appellate courts have applied res ipsa loquitur in chair cases similar to the one at bar without requiring proof that would negate use by other customers. We also believe that Trujeque had defined what she interpreted the meaning of “exclusive control” to be in closing argument. We find that the error was sufficiently called *391to the trial court’s attention and preserved for appeal.

The doctrine of res ipsa loquitur. The doctrine of res ipsa loquitur applies only when evidence establishes that in the ordinary course of events an injury would not occur except through negligence of the person in exclusive control and management of the injuring instrumentality. See SCRA 13-1623; Hepp v. Quickel Auto & Supply Co., 37 N.M. 525, 528, 25 P.2d 197, 199 (1933). “It bases its chief claim to justification on the fact that ordinarily the cause of the injury is accessible to the party charged and inaccessible to the person injured.” Hepp, 37 N.M. at 528, 25 P.2d at 199. Generally, cases in which the theory of res ipsa loquitur is presented fall into two categories: those in which the defendant directly uses an instrumentality so as to cause injury, see, e.g., Archibeque v. Homrich, 88 N.M. 527, 528-29, 543 P.2d 820, 821-22 (1975) (driver ran off road, killing himself and passenger/owner); Buchanan v. Downing, 74 N.M. 423, 424, 394 P.2d 269, 270 (1964) (plaintiff sued doctor for injuries resulting from injection), and those in which the defendant is in charge of, created, or last controlled an instrumentality that inexplicably becomes dangerous and injures the victim outside of the defendant’s presence, see, e.g., Waterman v. Ciesielski, 87 N.M. 25, 27, 528 P.2d 884, 886 (1974) (plaintiff truck driver sued warehouse operator for injuries sustained while unloading crate that unexpectedly shifted); Tafoya v. Las Cruces Coca-Cola Bottling Co., 59 N.M. 43, 45-46, 278 P.2d 575, 577 (1955) (plaintiff sued bottler for injuries caused by drinking tainted soda); Begay v. Livingston, 99 N.M. 359, 363, 658 P.2d 434, 438 (Ct.App.1981) (decedent’s estate sued motel owner after heating exhaust vent .was found inexplicably detached from ceiling duct, causing carbon monoxide poisoning of decedent), rev’d in part on other grounds, 98 N.M. 712, 714, 652 P.2d 734, 736 (1982); Strong v. Shaw, 96 N.M. 281, 282-83, 629 P.2d 784, 785-86 (Ct.App.1980) (plaintiff sued -mobile park owner for damages caused by fire that started in hot water closet located outside plaintiffs apartment), cert. quashed, 96 N.M. 543, 632 P.2d 1181 (1981); Harless v. Ewing, 81 N.M. 541, 543-45, 469 P.2d 520, 522-24 (Ct.App.1970) (plaintiff sued truck owner for damages sustained when tire fell off truck and then blew up). The case at bar falls into the second category.

The meaning of “exclusive control and management” is fact specific. In order to make a prima facie case from which the jury may infer that the defendant is liable for the damages caused by the instrumentality outside of the defendant’s presence, the plaintiff must provide evidence of the character of the occurrence and of the exclusive control of the defendant. The plaintiffs burden may vary according to the facts of the case. See, e.g., Tafoya, 59 N.M. at 49, 278 P.2d at 579 (stating that plaintiffs burden there to show “there was no reasonable probability of the [instrumentality] having been tampered with” since leaving defendant’s control); Begay, 99 N.M. at 363, 658 P.2d at 438 (stating that “[t]he phrase ‘exclusive control and management’ of an instrumentality means ‘the sole power or authority of defendant to superintend, direct or oversee’ the instrumentality.”); Strong, 96 N.M. at 283-85, 629 P.2d at 786-88 (stating that plaintiff satisfied burden of establishing that landlord had exclusive control and management of outside water heater closet even though others had access to it); Harless, 81 N.M. at 544, 469 P.2d at 523 (holding that plaintiff had introduced sufficient evidence of defendant’s exclusive control of maintenance of a truck by showing defendant gave instructions on maintenance and paid truck’s operating expense). “The essential question becomes one of whether the probable cause is one which the defendant was under a duty to the plaintiff to anticipate or guard against.” Restatement (Second) of Torts § 328(D) cmt. g (1965).

While the two “collapsing chair” cases .in New Mexico, Tuso and Chapin, imply that a showing of ownership, management, and possession of chairs in a business establishment with many invitees is sufficient to establish exclusive control, they do not expressly state what the plaintiffs burden is in those cases. There are, however, many cases from other jurisdictions expressly holding that such a showing is sufficient. See, e.g., Rose v. Melody Lane of Wilshire, 39 Cal.2d 481, 247 P.2d *392335, 338 (1952) (en bank) (stating that “[s]o far as construction, inspection, or maintenance ... were concerned, [the lounge owner] had exclusive control” of the lounge stool that collapsed); Gresham v. Stouffer Corp., 144 Ga.App. 553, 241 S.E.2d 451, 452 (1978) (stating that “[i]t is clear ... that the defendant owned and operated the restaurant ... [and] that the chair was furnished by the restaurant to the plaintiff for his use as a business invitee.... [Therefore,] a jury would be authorized to conclude that the chair was in the full control of the defendant and that the defendant was responsible for its maintenance.”); Herries v. Bond Stores, 231 Mo.App. 1053, 84 S.W.2d 153, 157 (1935) (stating “[w]hat more natural, what more in consonance with sound reason, and sound common sense, than to attribute the defective condition of the chair ... to defendant, the owner and custodian of the chair,” and holding that all plaintiff must show is that she was business invitee and was furnished a chair that collapsed to establish a prima facie case under the doctrine); Benedict v. Eppley Hotel Co., 159 Neb. 23, 65 N.W.2d 224, 229 (1954) (holding that evidence of defendant’s ownership, possession, and control were enough to establish exclusive control); Judson v. Camelot Food, Inc., 104 Nev. 324, 756 P.2d 1198, 1201 (1988) (“A business proprietor retains exclusive control of seating while it is being properly used by patrons.”); Finocchio v. Crest Hollow Club at Woodbury, Inc., 184 A.D.2d 491, 584 N.Y.S.2d 201, 202 (1992) (holding that trial court erred in refusing instruction because it used an overly rigid interpretation of the exclusive control requirement; evidence that club owned chair and that employees took chair after accident and offered no¡ evidence to support inference of some other possible cause or the act of a third person with access to chair was enough under the circumstances of the case to warrant submission to jury).

We are aware one jurisdiction holds that because chairs in use are under the control of the user, the exclusive control element cannot be met as a matter of law. See Kilgore v. Shepard Co., 52 R.I. 151, 158 A. 720, 721 (1932). This argument has been widely criticized as a ridiculous conclusion. See Judson, 104 Nev. 324, 756 P.2d at 1201 n. 3 (quoting W. Page Keeton, Prosser & Keeton on Torts, 249-250 (5th Ed.1984)). Also, the court in Mineo v. Rand’s Food Shops, Inc., 32 N.Y.S.2d 23, 25 (N.Y. City Ct.1941), held that chairs in restaurants are under temporary control of various patrons and subject to injury during such use, so there can be no exclusive control in defendant. We believe that the theory upon which Mineo and Kilgore are based is “an overly rigid interpretation of the requirement of exclusive control,” Finocchio, 184 A.D.2d 491, 584 N.Y.S.2d at 202, and that it is “artificial and ignores the purpose of the requirement that defendant have exclusive control.” Rose, 39 Cal.2d 481, 247 P.2d at 338.

It was reversible error to give Instruction HA. Service Merchandise contends that the definition of exclusive management and control based on Gonzales is applicable and does not modify the res ipsa loquitur uniform jury instruction. We disagree. The issue in Gonzales was whether the usual and customary manner of stacking self-service merchandise over a period of years was improper in and of itself and created a dangerous condition. In denying the applicability of the doctrine of res ipsa loquitur, the Court specifically observed that the cafeteria chair case of Tuso is not analogous to a case dealing with the display of merchandise to which, on a normal Saturday, a thousand customers had equal access. Such access defeated the element of sole and exclusive control necessary for application of the doctrine of res ipsa loquitur. 69 N.M. at 100-01, 364 P.2d at 355-56. Although it is not at all clear, we assume the Court meant for “equal access” to refer to access by the store management as well as by customers. The implication that access itself prevents application of res ipsa loquitur, requiring Trujeque to prove a negative, i.e., that no one had an opportunity of access equal to that of Service Merchandise, was improper when applied to an instrumentality the anticipated safe use of which, if properly maintained, would be reasonable for any number of customers. The same cannot be said of the anticipated safety of boxes and bottles of shelved merchandise stacked for self service as in Gonzales. Any argument that a customer’s access is never *393“equal” to that of the owner who maintains a chair for use by customers of the store is a bit too subtle an argument to require of a plaintiff. The issue is whether “access” makes it unreasonable to infer that the maintainer of the instrumentality was responsible for a danger in its use.

Conclusion. That third parties may have had access to the chair did not preclude Service Merchandise from having exclusive control and management of the chair within the meaning of the doctrine of res ipsa loquitur, and did not preclude a reasonable inference that Service Merchandise was responsible for a danger in its use. Once Trujeque established that an accident occurred that normally does not occur absent negligence and that Service Merchandise owned, maintained, and provided the chair for use by its customers on the store’s premises, she satisfied her burden of making a prima facie case from which the jury could infer negligence. Service Merchandise could then choose to present no evidence or choose to rebut the inference by offering evidence that a latent manufacturing defect was the cause of the collapse or perhaps that some third party bore responsibility for the collapse of the chair. It has long been held that

[a]ll that the plaintiff should be required to do in the first instance is to show that the defendant owned, operated, and maintained, or controlled and was responsible for the management and maintenance of, the thing doing the damage---- When he has done this, he has cast a burden on the defendant, who may then proceed to show that the accident was occasioned by vis major, or by other causes for which he was not responsible.

Chenall v. Palmer Brick Co., 117 Ga. 106, 43 S.E. 443, 445 (1903). “[R]es ipsa loquitur means that the facts of the occurrence warrant the. inference of negligence, not that they compel such an inference; ... that they call for explanation or rebuttal, not necessarily that they require it; that they make a case to be decided by the jury....” Sweeney v. Erving, 228 U.S. 233, 240, 33 S.Ct. 416, 418, 57 L.Ed. 815 (1913) (quoted by Ball Memorial Hosp. v. Freeman, 245 Ind. 71, 196 N.E.2d 274, 278 n. 2 (1964); Helmke v. Goff, 182 Mont. 494, 597 P.2d 1131, 1133 (1979); Wise v. St. Louis Pub. Serv. Co., 357 S.W.2d 902, 908 (Mo.1962) (en banc) (Hyde, J., concurring). Trujeque met her burden, and instructing the jury that she also had to prove that no other party had an opportunity of equal access to the chair was reversible error. We reverse and remand for a new trial.

IT IS SO ORDERED.

BACA and FROST, JJ., concur.

4.3.4.3 Family Thrift, Inc. v. Birthrong ("The Thrift Store Chair Case") 4.3.4.3 Family Thrift, Inc. v. Birthrong ("The Thrift Store Chair Case")

How does this case differ from the previous case (Trujeque)? Do those differences warrant a different  result?

A15A2150.

FAMILY THRIFT, INC. et al. v. BIRTHRONG.

(785 SE2d 547)

Dillard, Judge.

In this premises-liability action, Cheryl Birthrong sued Family Thrift, Inc. and Olympia Management, Inc. (“defendants”), owners and operators of a chain of thrift stores, alleging that the defendants negligently breached a duty they owed to her as an invitee when she suffered injuries near the store’s dressing room as a result of a chair collapsing as she sat upon it. Following a trial and jury verdict in Birthrong’s favor, the defendants filed a motion for judgment notwithstanding the verdict (j.n.o.v.), which the trial court denied. The defendants now appeal, arguing that the trial court erred in denying their motion for j.n.o.v. because (1) there was no evidence that the defendants had superior knowledge of the chair’s alleged defect; (2) the doctrine of res ipsa loquitur was not applicable; and (3) there was no evidence that Olympia owned or occupied the property. For the reasons set forth infra, we reverse.

On appeal from the denial of a motion for a directed verdict or a motion for j.n.o.v., we construe the evidence “in the light most favorable to the party opposing the motion, and the standard of review is whether there is any evidence to support the jury’s verdict.”1 And because jurors are the sole and exclusive judges of the weight and credit given the evidence, we must construe the evidence with “every inference and presumption in favor of upholding the verdict, and after judgment, the evidence must be construed to uphold the verdict even where the evidence is in conflict.”2 Nevertheless, we review questions of law de novo.3

So construed, the evidence shows that Family Thrift owns a small chain of thrift stores, selling donated clothes, housewares, and some furniture, and it operates these stores under the name Park Avenue Thrift. Olympia Management, a separate corporation with common ownership, is responsible for establishing the operating policies and procedures for all of Family Thrift’s stores, including policies pertaining to safety and inspection of merchandise for sale, and it is also responsible for ensuring that such policies and procedures are implemented. And toward that end, Olympia managers conduct weekly meetings with Family Thrift personnel at each of the stores’ locations.

*602On February 4, 2011, Birthrong and a friend went to the Park Avenue Thrift in Lawrenceville to shop for clothes. After browsing for a bit, Birthrong’s friend wanted to try on some clothes, so Birthrong accompanied her to the dressing-room area of the store, which was located near the front of the store not far from the cash registers. As her friend entered the dressing room, Birthrong noticed two chairs just outside the dressing room, one of which was occupied by a male customer. As a result, Birthrong assumed the chairs were for waiting customers’ use and, therefore, decided that she would sit while her friend tried on clothes. But just as Birthrong sat down on the unoccupied chair, its seat collapsed underneath her, and she fell to the floor, injuring her left shoulder.

Immediately, one of the store’s cashiers approached and asked Birthrong if she was hurt. Believing at the time that she was only bruised, Birthrong responded that she was not injured, at which point the cashier picked up pieces of the broken chair and told Birthrong that she was going to find the store’s manager. A few moments later, the cashier returned, informed Birthrong that the manager was not there, and asked for contact information, which Birthrong provided.

Over the course of the following week, the pain in Birthrong’s shoulder increased, and no one from the store contacted her. Thus, Birthrong returned to the store in an attempt to speak with the manager. She was unable to do so; but before leaving the store, she noticed a chair that looked similar to the one that had collapsed and decided to take a photograph of it.

Thereafter, Birthrong filed a lawsuit against Family Thrift and Olympia to recover damages for the injuries that she suffered as a result of the chair collapsing underneath her while shopping at the defendants’ store. The defendants filed an answer, and discovery then ensued. Ultimately, the case proceeded to trial, during which Birthrong, the cashier who assisted her after she fell, and two of Olympia’s general managers testified. At the close of evidence, the defendants moved for a directed verdict, arguing that they lacked superior knowledge of the hazard posed by the chair and that, in any event, Olympia did not own or occupy the premises and, thus, could not be held liable. But the trial court denied the defendants’ motions, and at the conclusion of the trial, the jury found in favor of Birthrong, with both defendants being held liable for damages.

Subsequently, the defendants filed a motion for j.n.o.v., reiterating the same arguments that they made in their motions for directed verdict. Birthrong filed a response, and, once again, the trial court denied the defendants’ motion and issued an order affirming the jury’s verdict. This appeal follows.

*6031. In their first enumeration of error, the defendants contend that the trial court erred in denying their motion for j.n.o.v., arguing that there was no evidence that they possessed superior knowledge of the hazard posed by the allegedly defective chair. We agree.

It is, of course, well established that under Georgia law a proprietor has a statutory duty to exercise ordinary care to keep its premises safe,4 which “includes inspecting the premises to discover possible dangerous conditions of which the [proprietor] does not have actual knowledge, and taking reasonable precautions to protect invitees from dangers foreseeable from the arrangement or use of the premises.”5 But in order for a plaintiff to recover damages for injuries sustained in a premises-liability action, an invitee must prove “(1) that the defendant had actual or constructive knowledge of the hazard; and (2) that the plaintiff lacked knowledge of the hazard despite the exercise of ordinary care due to actions or conditions within the control of the owner/occupier.”6 Indeed, it is fundamental that, in a premises-liability case, the true ground of liability is “the proprietor’s superior knowledge of the perilous instrumentality and the danger therefrom to persons going upon the property.”7 Thus, it is when the “perilous instrumentality” is “known to the owner and not known to the person injured that a recovery is permitted.”8

In this matter, there was no evidence presented during trial that any employee of Family Thrift or Olympia had actual knowledge of the hazard posed by the chair. As a result, this case necessarily turns on “whether constructive knowledge of the alleged hazard can be imputed to the store,”9 which may be shown by demonstrating that

(1) an employee of the defendant was in the immediate vicinity of the fall and had an opportunity to correct the hazardous condition prior to the fall, or (2) the hazardous *604condition had existed for a sufficient length of time that it would have been discovered and removed had the proprietor exercised reasonable care in inspecting the premises.10

Here, Birthrong argues that the defendants had constructive knowledge that the chair was defective because, if they had followed their inspection procedures, which entailed inspecting every donated item before placing it in the main store area for sale, they would have discovered the defect. But Birthrong presented no evidence during trial “establishing exactly how the chair was defective, whether the defect was one which would be visible during an inspection, or how long the defect existed.”11 There is, then, “no logical foundation for arguing that such a defect should have been discovered during the... inspection procedure.”12 And as we have previously held, “there is no duty to discover a defect which is not manifested until the incident causing injury.”13 Thus, given that Birthrong failed to produce evidence from which a jury could properly infer that defendants had superior knowledge that the chair was defective, the trial court erred in denying their motion for j.n.o.v. as to this issue.14

2. Nevertheless, at trial, Birthrong apparently overcame this lack of specific evidence of any defect in the chair by arguing that the doctrine of res ipsa loquitur applied to create an evidentiary presumption that the chair was indeed defective. Consequently, in their second enumeration of error, the defendants contend that the trial court likewise erred in denying their motion for j.n.o.v. based on its ruling that the doctrine of res ipsa loquitur was applicable. Again, we agree.

As all first-year law students learn, “res ipsa loquitur” is a legal maxim that means the transaction or thing speaks for itself.15 More precisely, it is a rule of evidence to be applied in cases when “there is no evidence of consequence showing negligence on the part of the *605defendant,”16 and one which allows “but does not require, the jury to infer facts from the circumstances in which the injury occurred, thereby filling the evidentiary gap.”17 The application of res ipsa loquitur is authorized, then, when

(1) the injury is 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; and (3) it must not have been due to any voluntary action or contribution on the part of the plaintiff.18

But as we have previously emphasized, the doctrine of res ipsa loquitur should always be “applied with caution and only in extreme cases.”19

Here, res ipsa loquitur was not applicable because Birthrong failed to show that this is “the type of accident which ordinarily occurs only if someone is negligent.”20 Certainly, through normal wear and tear, a chair — especially a used chair donated to a thrift store — can cease fulfilling its intended function and create a hazardous condition without negligence on the part of any individual.21 Furthermore, Birthrong similarly failed to show that the defendants had exclusive control of the chair. As one of the defendants’ managers testified, although store policy required furniture to remain in the furniture section of the store, it was not uncommon for customers to move chairs around the store for their own use. Indeed, Birthrong testified that she sat in the chair at issue after observing another customer near the dressing room sitting in a similar chair. Thus, the uncontroverted evidence showed that the chair was accessible to other *606customers and not within the defendants’ exclusive control. Given these particular circumstances, Birthrong also failed to satisfy the second element of res ipsa loquitur, and the trial court erred in denying the defendants’ motion for j.n.o.v. as to this issue as well.22

Decided March 8, 2016 —

Reconsideration denied March 31, 2016

Law Office of Dan J. Colley, William E. Gray II, for appellants.

Kelly & Kelly, Roy R. Kelly TV, Gini L. Jenkins, for appellee.

3. The defendants also contend that the trial court erred in denying their motion for j.n.o.v., specifically as to Olympia’s liability, because there was no evidence that Olympia owned or occupied the premises where Birthrong’s injury occurred. But given our holdings in Divisions 1 and 2, supra, we need not address this issue.

Thus, for all of the foregoing reasons, the trial court erred in denying the defendants’ motion for j.n.o.v. Accordingly, we reverse the jury’s verdict and trial court’s judgment in favor of Birthrong.

Judgment reversed.

Ellington, P. J., and McFadden, J., concur.

4.3.4.4 Vivas v. Sun Alliance Insurance ("The Escalator Case") 4.3.4.4 Vivas v. Sun Alliance Insurance ("The Escalator Case")

Jose Domingo COLMENARES VIVAS, et al., Plaintiffs, Appellants, v. SUN ALLIANCE INSURANCE COMPANY, et al., Defendants, Appellees.

No. 86-1204.

United States Court of Appeals, First Circuit.

Argued Oct. 9, 1986.

Decided Dec. 29, 1986.

*1103Harold D. Vicente, Santurce, P.R., with whom Hector Cuebas Tanon, San Juan, P.R., and Harold D. Vicente Law Offices, Santurce, P.R., were on brief, for plaintiffs, appellants.

Francisco Agrait-Oliveras, Hato Rey, P.R., for defendant, appellee Sun Alliance Ins. Co.

Francisco J. Colon Pagan with whom Cordero, Colon & Miranda, Old San Juan, P.R., was on brief, for defendant, appellee Westinghouse Elec. Corp.

Before BOWNES, Circuit Judge, BROWN,* Senior Circuit Judge, and TORRUELLA, Circuit Judge.

BOWNES, Circuit Judge.

Appellants are plaintiffs in a diversity action to recover damages for injuries they suffered in an accident while riding an escalator. After the parties had presented their evidence, the defendants moved for and were granted a directed verdict. The court held that there was no evidence of negligence and that the doctrine of res ipsa loquitur, which would raise a presumption of negligence, did not apply. We reverse the directed verdict and remand the case to the district court because we hold that res ipsa loquitur does apply.

I. BACKGROUND

The relevant facts are not in dispute. On February 12, 1984, Jose Domingo Colme-nares Vivas and his wife, Dilia Arreaza de Colmenares, arrived at the Luis Munoz Marin International Airport in Puerto Rico. They took an escalator on their way to the Immigration and Customs checkpoint on the second level. Mrs. Colmenares was riding the escalator on the right-hand side, holding the moving handrail, one step *1104ahead of her husband. When the couple was about halfway up the escalator, the handrail stopped moving, but the steps continued the ascent, causing Mrs. Colmenares to lose her balance. Her husband grabbed her from behind with both hands and prevented her from falling, but in doing so, he lost his balance and tumbled down the stairs. Mr. and Mrs. Colmenares filed a direct action against the S.un Alliance Insurance Company (Sun Alliance), who is the liability insurance carrier for the airport’s owner and operator, the Puerto Rico Ports Authority (Ports Authority). Sun Alliance brought a third-party contractual action against Westinghouse Electric Corporation (Westinghouse) based on a maintenance contract that required Westinghouse to inspect, maintain, adjust, repair, and replace parts as needed for the escalator and handrails, and to keep the escalator in a safe operating condition.

Six days before the trial was scheduled to begin, appellants filed a motion to amend their complaint to allege that Westinghouse was directly liable for their injuries. Westinghouse opposed the motion and asked that it be allowed time to conduct discovery before the trial if the motion were granted. The court denied appellants’ motion.

The trial was conducted on January 30 and 31, 1986. Appellants called four witnesses. The Ports Authority’s contract and maintenance supervisor testified about his daily weekday inspections of the escalator, about the maintenance contract with Westinghouse, about inspection and maintenance procedures, and about the accident report and subsequent repair and maintenance of the escalator.1 The Ports Authority’s assistant chief of operations testified about the accident report. Appellants’ testimony concerned the accident and their injuries.

Sun Alliance moved for a directed verdict. Appellants argued in opposition that the evidence presented was sufficient to show negligence and, in the alternative, that res ipsa loquitur should be applied to raise an inference that the Ports Authority had been negligent. At this point the court decided to allow the trial to continue. Sun Alliance and Westinghouse submitted their case on the basis of the testimony already presented and Sun Alliance renewed its motion for a directed verdict. After hearing the parties’ arguments, the court ruled that there was no evidence that the Ports Authority had been negligent, and that the case could not go to the jury based on res ipsa loquitur because at least one of the requirements for its application — that the injury-causing instrumentality was within the exclusive control of the defendant— was not met.

Appellants argue that the district court erred in three ways: (1) by not applying res ipsa loquitur; (2) by granting Sun Alliance’s second motion for a directed verdict after it already had denied such a motion on the same evidence; and (3) by not allowing the appellants to amend their complaint to allege that Westinghouse was directly liable for their injuries.

II. RES IPSA LOQUITUR

Under Puerto Rico law, three requirements must be met for res ipsa loquitur (“the thing speaks for itself”) to apply: “(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 defendant; [and] (3) it must not be due to any voluntary action on the part of plaintiff.” Community Partnership v. Presbyterian Hosp., 88 P.R.R. 379, 386 (1963). If all three requirements are met, the jury may infer that the defendant was negligent *1105even though there is no direct evidence to that effect. Id. at 398.

A. The First Requirement: Inference of Negligence

The first requirement that must be met for res ipsa loquitur to apply is that “the accident must be such that in the light of ordinary experience it gives rise to an inference that someone has been negligent.” Community Partnership v. Presbyterian Hosp., 88 P.R.R. at 388-89. It is not clear to us whether the district court decided that this requirement was met, although the court did suggest that it was giving the benefit of the doubt on this question to the appellants. We hold that this requirement was met because an escalator handrail probably would not stop suddenly while the escalator continues moving unless someone had been negligent.2

This requirement would not be met if appellants had shown nothing more than that they had been injured on the escalator, because based on this fact alone it would not be likely that someone other than the appellants had been negligent. See Conway v. Boston Elevated Ry. Co., 255 Mass. 571, 574, 152 N.E. 94, 94-95 (1926) (negligence element not satisfied when all that had been shown was that a child’s hand had been caught beneath the escalator handrail belt); Fuller v. Wurzburg Dry Goods Co., 192 Mich. 447, 448-49,158 N.W. 1026, 1026 (1916) (negligence may not be inferred from a fall on an escalator because the plaintiff did not show that the escalator was improperly constructed or that it malfunctioned). Here, it was not disputed that the handrail malfunctioned and stopped suddenly, an event that foreseeably could cause riders to lose their balance and get injured. Thus, the evidence gave rise to an inference that someone probably had been negligent in operating or maintaining the escalator, and the first requirement for the application of res ipsa loquitur was met.

B. The Second Requirement: Exclusive Control

The second requirement for res ipsa loquitur to apply is that the injury-causing instrumentality — in this case, the escalator — must have been within the exclusive control of the defendant. The district court found that this requisite was not met, despite the parties’ stipulation that “[t]he escalator in question is property of and is under the control of the Puerto Rico Ports Authority.” We agree that this stipulation was not by itself enough to satisfy the res ipsa loquitur requirement. It did not exclude the possibility that someone else also had control over the escalator; indeed, the stipulation said that Westinghouse maintained the escalator. We hold, however, that the Ports Authority effectively had exclusive control over the escalator because the authority in control of a public area has a nondelegable duty to maintain its facilities in a safe condition.

New courts have required that control literally be “exclusive.” See F. Harper, F. James & O. Gray, The Law of *1106 Torts § 19.7, at 45 (2d ed. 1986). The Supreme Court, reviewing a case in which this court applied the exclusive control requirement literally, said that the question "really is not whether the application of the rule relied on fits squarely into some judicial definition, rigidly construed,” because such an approach unduly restricts “the jury’s power to draw inferences from facts.” Je-sionowski v. Boston & Maine R.R., 329 U.S. 452, 457, 67 S.Ct. 401, 91 L.Ed. 416 (1946) (reversing 154 F.2d 703 (1st Cir.)). The exclusive control requirement, then, should not be so narrowly construed as to take from the jury the ability to infer that a defendant was negligent when the defendant was responsible for the injury-causing instrumentality, even if someone else might also have been responsible. The purpose of the requirement is not to restrict the application of the res ipsa loqui-tur inference to cases in which there is only one actor who dealt with the instrumentality, but rather “to eliminate the possibility that the accident was caused by a third party.” Community Partnership v. Presbyterian Hosp., 88 P.R.R. at 390 (emphasis added); see also Giacalone v. Raytheon Mfg. Co., 222 F.2d 249, 252 (1st Cir.1955) (“[I]n the absence of evidence of control no inference of causal negligence on the part of the defendant can be drawn from the improper functioning of the instrumentality, for it would be just as probable that the negligence of someone other than the defendant caused it to function improperly with injurious consequences.”). It is not necessary, therefore, for the defendant to have had actual physical control; it is enough that the defendant, and not a third party, was ultimately responsible for the instrumentality. Thus, res ipsa loquitur applies even if the defendant shares responsibility with another, or if the defendant is responsible for the instrumentality even though someone else had physical control over it. See W. Keeton, D. Dobbs, R. Keeton & D. Owen, Prosser and Keeton on the Law of Torts § 39, at 250-51 (5th ed. 1984) (exclusive control requirement met in a variety of circumstances in which the defendant did not have sole responsibility or physical control over the injury-causing instrumentality); see also Otis Elevator Co. v. Yager, 268 F.2d 137, 143 (8th Cir.1959) (property owner and not maintenance company had exclusive control over elevator); Restatement (Second) of Torts § 328D comment g (1965) (exclusive control requirement may be met even though responsibility was shared or someone else had physical control). It follows that a defendant charged with a nondelegable duty of care to maintain an instrumentality in a safe condition effectively has exclusive control over it for the purposes of applying res ipsa loquitur. See F. Harper, F. James & O. Gray, The Law of Torts § 19.7, at 47 (2d ed. 1986) (exclusive control requirement met if defendant had nondelegable duty); W. Keeton, D. Dobbs, R. Keeton & D. Owen, Prosser and Keeton on the Law of Torts § 39, at 250-51 (5th ed. 1984) (same); Restatement (Second) of Torts § 328D comment g (1965) (same). Unless the duty is delegable, the res ipsa loquitur inference is not defeated if the defendant had shifted physical control to an agent or contracted with another to carry out its responsibilities.

We hold that the Ports Authority could not delegate its duty to maintain safe escalators. There are no set criteria for determining whether a duty is nondelegable; the critical question is whether the responsibility is so important to the community that it should not be transferred to another. See W. Keeton, D. Dobbs, R. Keeton & D. Owen, Prosser and Keeton on the Law of Torts § 71, at 512 (5th ed. 1984). The Ports Authority was charged with such a responsibility. It was created for a public purpose, which included the operation and management of the airport. See P.R. Laws Ann. tit. 23, §§ 333, 336 (1964). A concomitant of this authority is the duty to keep the facilities it operates in a reasonably safe condition. The public is entitled to rely on the Ports Authority — not its agents or contractors — to see that this is done. The Ports Authority apparently recognized this responsibility, for its maintenance and contract supervisor conducted *1107daily weekday inspections of the escalators despite the maintenance contract with Westinghouse.

Duties have been seen as nondelegable in several analogous situations. For example, a public authority may not delegate to an independent contractor its responsibility to see that work in a public place is done carefully. See, e.g., Snyder v. Southern Cal. Edison Co., 44 Cal.2d 793, 799, 285 P.2d 912, 915 (1955) (“Where an activity involving possible danger to the public is carried on under public franchise or authority the one engaging in the activity may not delegate to an independent contractor the duties or liabilities imposed on him by the public authority____”); Restatement (Second) of Torts § 417 (1965) (restating general principle that there is a nondelega-ble duty to see that work in a public place is carefully done). Also, a government may not delegate its responsibility to maintain safe roads and similar public places. See, e.g., Lopes v. Rostad, 45 N.Y.2d 617, 624, 412 N.Y.S.2d 127, 129, 384 N.E.2d 673, 675, 412 N.Y.S.2d 127, 129 (1978) (governmental body has nondelegable duty to maintain safe roads); Restatement (Second) of Torts § 418 (1965) (restating general principle that there is a nondelegable duty to maintain safe highways and other public places). Finally, an owner has a nondelegable duty to keep business premises safe for invitees. See, e.g., Blancher v. Bank of Cal., 47 Wash.2d 1, 9, 286 P.2d 92, 96 (1955) (bank had nondelegable duty to keep its premises reasonably safe); Restatement (Second) of Torts § 344 (1965) (restating general principle that there is a nondelegable duty to keep business premises safe). These examples demonstrate a general tort law policy not to allow an entity to shift by contract its responsibility for keeping an area used by the public in a safe condition. It would be contrary to this policy to allow the owner and operator of an airport terminal to delegate its duty to keep its facility safe. We hold, therefore, that the district court erred in ruling that the exclusive control requirement was not met.3

C. The Third Requirement: The Plaintiffs’ Actions

The third requirement that must be met for res ipsa loquitur to apply is that the accident must not have been due to the plaintiffs voluntary actions. The district court found, and we agree, that there was no evidence that Mr. and Mrs. Colmenares caused the accident. Indeed, there is no indication that they did anything other than attempt to ride the escalator in the ordinary manner. Therefore, we hold that all three requirements were met and that the jury should have been allowed to consider whether the Ports Authority was liable based on the permissible inference of negligence raised by the application of res ipsa loquitur.4

*1108III. THE MOTION TO AMEND THE COMPLAINT

Appellants contend that the court should have allowed them to amend their complaint to allege that Westinghouse was directly liable for their injuries. After a responsive pleading has been served, “a party may amend his pleading only by leave of court or by written consent of the adverse party; and leave shall be freely given when justice so requires.” Fed.R. Civ.P. 15(b). The decision to grant or deny a motion to amend a complaint is left to the sound discretion of the district court. Foman v. Davis, 371 U.S. 178, 182, 83 S.Ct. 227, 230, 9 L.Ed.2d 222 (1962); Carter v. Supermarkets Gen. Corp., 684 F.2d 187, 192 (1st Cir.1982). But if the court decides not to grant leave to amend, it must do so for a valid reason such as bad faith by the moving party, unwarranted delay, or undue prejudice to the opposing party. Foman v. Davis, 371 U.S. at 182, 83 S.Ct. at 230; Carter v. Supermarkets Gen. Corp., 684 F.2d at 192; Farkas v. Texas Instruments, Inc., 429 F.2d 849, 851 (1st Cir.1970), cert. denied, 401 U.S. 974, 91 S.Ct. 1193, 28 L.Ed.2d 324 (1971).

The district court had valid reasons not to grant the appellants’ motion to amend their complaint. Westinghouse would have been prejudiced if it became a defendant in a direct action only six days before the trial. It had conducted discovery and prepared its case on the basis of a contractual indemnity complaint, not direct liability. Granting leave to amend would have necessitated a postponement of the trial to allow Westinghouse to conduct additional discovery. Such a delay may be warranted if additional evidence had come to light, but the appellants did not point to any such change of circumstances. They claim that the change was necessary because Westinghouse raised affirmative defenses of comparative negligence and exaggerated claims less than two weeks before the trial was scheduled to begin, but they do not explain how this might have affected their decision to bring a direct action against only the Ports Authority’s insurer. Given the discretion the district court had in this matter, we hold that it did not err by denying the appellants’ motion to amend their complaint.

Reversed in part, affirmed in part. Remanded.

TORRUELLA, Circuit Judge (dissenting).

I must regretfully dissent. The doctrine established in Erie R.R. Company v. Tomkins, 304 U.S. 64, 58 S.Ct. 817, 82 L.Ed. 1188 (1938), has particular significance in cases involving Puerto Rican tort law (derecho de daños), in which the Supreme Court of Puerto Rico has stated that “both as to its form and content, the tort law applicable in Puerto Rico is the civil law system.” Valle v. Amer. Inter. Ins. Co., 108 D.P.R. 692, 695 (1979) (my translation). In Valle, “the utilization of common law precepts to resolve civil law problems” was specifically rejected. Id. at 696-97 (my translation).

Although the majority correctly states the Puerto Rican law as to res ipsa loqui-tur, Community Partnership v. Presbyterian Hosp., 88 P.R.R. 379, 386 (1963) (for res ipsa loquitur to apply “(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 defendant; [and] (3) it must not be due to any voluntary action on the part of plaintiff.”), it overlooks well-established jurisprudence in applying that law to the circumstances of this case.

The majority concludes that the first requirement of res ipsa loquitur, i.e., inference of negligence arising from the occurrence of the accident, “was met because an escalator handrail probably would not stop suddenly while the escalator continues moving unless someone had been negligent.” Ante, at 5. Although disclaiming reliance on the common law cases cited therein as ratio decidendi for its conclu*1109sions, the majority, in footnote 2, cites various cases which stand for the dubious proposition that an escalator is a common carrier.5 Id. n. 2.

In my view, solely because the handrail stopped and Mrs. Colmenares fell, without further evidence as to why or how the handrail malfunctioned, does not give rise to an inference of negligence by the Ports Authority. See Widow of Blanco v. Metropolitan Bus Authority, 89 P.R.R. 722 (1963); Nevares v. Municipality of Vega Baja, 101 P.R.R. 103 (1973). The case of Widow of Blanco is particularly a propos because it did involve a public carrier, a bus company, and the accident was similar in nature to that alleged in the present case, i.e., a passenger fell when the bus she was riding suddenly lurched. Yet, notwithstanding the high standard of care required in that case,6 and the total control exercised by the bus company over the instrumentality causing the accident, the Supreme Court of Puerto Rico stated that “a carrier is not an insurer,” id. at 723, and refused to find an inference of negligence merely from the fact that the passenger fell as a result of the bus’ sudden, unexpected lurch. Id. at 724. In Nevares v. Municipality of Vega Alta, supra, that Court specifically refused to apply res ipsa loquitur to the fall of a lighting pole at a public plaza, concluding that such an event, without additional proof, did not raise an inference of negligence. Id. at 109.

The malfunctioning of an escalator presents an even stronger argument against the raising of an inference of negligence without additional proof as to the cause of the malfunction. Although a court can take notice that an escalator is a complicated piece of machinery, it has no basis of common knowledge for inferring that its malfunction is the result of the operator’s negligence.7 Expert testimony is required to establish the basis for such an inference. Community Partnership v. Presbyterian Hospital, 88 P.R.R. at 389. See also Fed.R.Evid. 702.

Puerto Rican tort law is enacted in Article 1802 of the Civil Code, 31 L.P.R.A. § 5141, which succinctly states: “A person who by an act or omission causes damage to another through fault [culpa ] or negligence shall be obliged to repair the damage so done.” Fault (culpa) involves delictive conduct of an affirmative or voluntary nature. Reyes v. Heirs of Sanchez Soto, 98 P.R.R. 299, 303-04 (1970). Civil law negligence is “not anticipating and foreseeing the rational consequences of an act, or of the failure to perform an act which a prudent person could have foreseen under the same circumstances.” Ramos v. Carlo, 85 P.R.R. 337, 342 (1962); Ramirez v. American R.R. Company of P.R., 17 P.R.R. 440 (1911). The essence of fault or negligence lies in the lack of diligence and foresight on the part of the wrongdoer. See J. Castan, Derecho Civil Español, Común y Foral, at 146 (8th ed. 1954). Appellant presented no evidence from which a jury could infer lack of diligence or foresight by appellees, and thus negligence.

Because of the above, I respectfully dissent.

4.3.4.5 Ellis v. Sears Roebuck & Co. ("The Contra Escalator Case, Case") 4.3.4.5 Ellis v. Sears Roebuck & Co. ("The Contra Escalator Case, Case")

A89A1382.

ELLIS v. SEARS ROEBUCK & COMPANY et al.

(388 SE2d 920)

Carley, Chief Judge.

Appellant-plaintiff slipped and fell while ascending an escalator located in a store owned by appellee-defendant Sears Roebuck & Company (Sears). The escalator had been designed, installed, and maintained by appellee-defendant Montgomery Elevator Company (Montgomery). Appellant brought an action against appellees, seeking to recover for the personal injuries she allegedly sustained in her fall. The case was tried before a jury. At the close of appellant’s evidence, both appellees moved for a directed verdict. The trial court granted the motions and appellant appeals.

1. Viewed in the light most favorable to appellant, the evidence adduced at trial shows that she fell backward while ascending the escalator. She testified that her fall was caused by a malfunction of the moving handrails. According to appellant, the left handrail stopped moving, but the right handrail continued to move and, as she held onto both the moving and the non-moving handrails, she was twisted around and back and lost her balance. Appellant’s husband had ascended the same escalator some ten or fifteen minutes earlier and had had a similar experience which nearly caused him to lose his balance. He testified that, after his experience, he informed an employee of appellee Sears of the malfunctioning escalator.

Appellant concedes that, as against appellee Montgomery, she adduced no direct evidence of any negligent act or omission in the design, installation or maintenance of the escalator. She urges, however, the principle of res ipsa loquitur was applicable and that the trial court therefore erroneously directed a verdict in favor of appellee Montgomery.

“ ‘Negligence is not to be presumed, but is a matter for affirmative proof. [Cits.]. . . .’” Worth v. Orkin Exterminating Co., 142 Ga. App. 59, 62 (3) (234 SE2d 802) (1977). “ ‘The expression “res ipsa loquitur” means that the transaction speaks for itself. It is a rule of evidence which allows an inference of negligence to arise from the happening of an event causing an injury to another where it is shown that “the defendant owned, operated, and maintained, or controlled and was responsible for the management and maintenance of the thing doing the damage” and “the accident was a kind which, in the absence of proof of some external cause, does not ordinarily happen without negligence.” [Cit.] The rule is one of necessity in cases where there is no evidence of consequence showing negligence on the part of the defendant. [Cits.]’ ” Housing Auth. of Atlanta v. Famble, 170 Ga. App. 509, 525 (3b) (317 SE2d 853) (1984). However, the evidence in the instant case “does not authorize the application of the doctrine ... for the reason that mechanical devices, such as the one here in*798volved, get out of working order, and sometimes become dangerous and cause injury without negligence on the part of anyone. Any other ruling would make the occupier of premises an insurer. The principal basis for application of the rule of res ipsa loquitur is that the occurrence involved would not have occurred [but for] negligence, and [this] negligence [may properly be] charged to the person in exclusive control of the instrumentality. [Cits.]” Quick Shops v. Oldham, 100 Ga. App. 551, 556 (1) (111 SE2d 920) (1959). See also Darlington Corp. v. Finch, 113 Ga. App. 825, 827 (149 SE2d 861) (1966). Since the malfunction in the escalator certainly could have resulted without any negligent act or omission on the part of anyone, the principle of res ipsa loquitur is inapplicable. See generally Hospital Auth. of St. Marys v. Eason, 222 Ga. 536, 541 (1) (150 SE2d 812) (1966). There being no evidentiary basis upon which the trior of fact could have found fault on the part of appellee Montgomery, the trial court correctly directed a verdict in its favor. See Johnson v. Dallas Glass Co., 183 Ga. App. 584, 586 (1) (359 SE2d 448) (1987).

2. Pretermitting a lack of evidence as to the cause of the purported malfunctioning of the escalator, appellee Sears, as the owner of the premises, may nevertheless be held liable for the injuries that appellant sustained if it had superior actual or constructive knowledge of the existence of that malfunction and failed to exercise ordinary care either to correct the problem or to warn appellant of it. See generally OCGA § 51-3-1; Rogers v. Eckerd Drugs, 149 Ga. App. 788, 789 (1) (256 SE2d 130) (1979).

If the evidence showed only that the escalator had been malfunctioning for a ten-to-fifteen-minute period prior to appellant’s fall, a recovery based upon appellee Sears’ constructive knowledge would not be authorized. See generally Mazur v. Food Giant, 183 Ga. App. 453 (1) (359 SE2d 178) (1987). The evidence shows, however, that, during that period of time, appellee Sears had actual knowledge that its escalator was malfunctioning. The evidence would authorize a finding that appellant’s husband had informed an employee of appellee Sears of the malfunctioning escalator some ten-to-fifteen minutes before appellant fell. We cannot say that a landowner who has actual knowledge for a ten-to-fifteen-minute period that an escalator on its premises is malfunctioning is, as a matter of law, not negligent when it fails either to correct that potentially dangerous condition by stopping the malfunctioning escalator or otherwise, in the alternative, to warn its patrons of the existence of the potentially dangerous condition. “Under [OCGA § 51-3-1] the owner or occupier of the land is liable in damages to those expressly or impliedly invited upon the premises for such damage as is occasioned by his failure to exercise ordinary care to keep the premises and approaches safe. Ordinary care or diligence is defined in [OCGA § 51-1-2] as that degree of care *799which is exercised by ordinarily prudent persons under the same or similar circumstances. A legion of decisions by this court [has] pronounced the rule that questions of negligence and diligence are ordinarily referred to the jury for settlement. Thus, such questions are for the jury, and the courts will decline to solve them . . . except in plain, palpable, and indisputable cases. [Cits.] Where reasonable minds might disagree as to whether the alleged acts [or omissions] constitute an action of negligence, a question for the jury is presented. [Cit.] Negligence is a question particularly for the jury. [Cit.]” Knowles v. LaRue, 102 Ga. App. 350, 352 (116 SE2d 248) (1960).

Appellee Sears makes a “right for any reason” argument based upon the following alternative ground which was raised in, but rejected by, the trial court as a basis for the grant of the motion for a directed verdict: “[N]ot a single doctor testified that he could tell with any degree of medical certainty that [appellant] sustained any injury from this alleged fall. So [appellee Sears’] contention ... is that there is no competent evidence whatsoever that she sustained any injury from this alleged fall.” According to appellee Sears, this alternative ground was meritorious and would render the trial court’s grant of its motion for a directed verdict a correct ruling. A review of the record shows, however, that this alternative ground was without merit and would not have authorized the grant of appellee Sears’ motion for a directed verdict. See generally National Dairy Prod. Corp. v. Durham, 115 Ga. App. 420 (154 SE2d 752) (1967).

3. Appellant enumerates as error the exclusion of testimony by an employee of appellee Sears. The record clearly shows that this witness had no personal knowledge of any fact relevant to appellant’s fall or to appellee Sears’ liability. Accordingly, the trial court did not err in excluding the irrelevant testimony.

4. The grant of a directed verdict in favor of appellee Montgomery is affirmed. The grant of a directed verdict in favor of appellee Sears is reversed.

Judgment. affirmed as to appellee Montgomery and judgment reversed as to appellee Sears.

McMurray, P. J., Banke, P. J., Birdsong, Pope and Benham, JJ., concur. Deen, P. J., Sognier and Beasley, JJ., dissent.

Beasley, Judge,

dissenting.

I respectfully dissent with respect to Division 2. There is no evidence, either direct or circumstantial or reasonably inferable, that Sears had actual knowledge of the hazardous malfunction for as much as 10 to 15 minutes before plaintiff’s fall.

Her husband Joe only testified that it was “at least 15 minutes” from the time he told the Sears employee about the malfunction and the time he went up the escalator again and discovered plaintiff had *800been injured. Her fall occurred “within that 15 minutes,” he affirmed. He did not have any difficulty with the escalator when he went up it the second time, and he did not know whether the left handrail was working properly then or not.

The Sears employee whom Joe testified he informed was not called as a witness. There is no evidence of who the employee was or what he could have done.

George Ellis, who was with plaintiff when she fell, simply stated that he sat on the couch on the lower floor near the escalator “anywhere from 10 to 15 minutes” before he went up it with plaintiff and others and she fell. George’s period of time is not connected by any evidence to the time Joe said he gave actual notice to the Sears employee. There is no evidence that he sat down on the couch at the same time (or before or after) Joe was informing the Sears employee.

The jury could only find as fact that Sears had actual knowledge for a period of less than 15 minutes before plaintiff’s fall, given that she fell some time after Joe advised the employee and some time before Joe returned to find her already injured.

The proprietor must have a reasonable opportunity, timewise, to take corrective action once it learns of an unsafe condition on the premises. Fulton-DeKalb County Hosp. Auth. v. Estes, 187 Ga. App. 120 (369 SE2d 262) (1988); Mitchell v. Food Giant, 176 Ga. App. 705 (337 SE2d 353) (1985). Plaintiff has the burden of showing that the defendant she seeks to place blame on had such a reasonable opportunity. Housing Auth. of Atlanta v. Famble, 170 Ga. App. 509, 530 (4a) (317 SE2d 853) (1984). As stated succinctly in the latter case: “Where a dangerous condition is not permanent but must have existed for only a limited time prior to the occurrence, the rule is applicable that the defective condition must be shown to have existed for a sufficient period of time for the defendant to have discovered and remedied it. [Cits.] . . . The burden [is] on the plaintiffs to show that it was in existence a sufficient period of time for the defendant to have discovered it and taken appropriate action. For, unless there was such a time span then the defendant’s nonaction would be inconsequential.” (Emphasis supplied.) Id. at 530, 531.

Here, as a matter of fact, Sears had less than 15 minutes, so as a matter of law, it did not have such an opportunity as to allow the jury to find that it breached its duty to keep the premises safe. The proprietor is not required to patrol the premises continuously in the absence of facts showing the premises are unusually dangerous. Alterman Foods v. Ligon, 246 Ga. 620 (272 SE2d 327) (1980); Winn-Dixie Stores v. Hardy, 138 Ga. App. 342 (4) (226 SE2d 142) (1976). Since it appears that Sears had knowledge of this hazardous condition for less than 15 minutes before the incident complained of, there is no actionable negligence on its part in failing to provide a remedy so as *801to prevent plaintiff from succumbing to the hazard. Mazur v. Food Giant, 183 Ga. App. 453 (1) (359 SE2d 178) (1987).

Decided December 4, 1989.

McKenney & Froelich, William J. McKenney, David R. Moore, for appellant.

Alston & Bird, Ronald L. Reid, Lokey & Bowden, Glenn Frick, for appellees.

Consequently, a directed verdict was proper. Smith v. Morico, 166 Ga. App. 737 (305 SE2d 465) (1983); Halligan v. Underwriters at Lloyd’s, 102 Ga. App. 905 (118 SE2d 107) (1960); Johnson v. Dallas Glass Co., 183 Ga. App. 584 (359 SE2d 448) (1987). The trial court was correct, but for the reason explained above rather than for the reason it gave. See Lee v. Porter, 63 Ga. 345, 346 (1879); Coker v. City of Atlanta, 186 Ga. 473, 475 (1) (198 SE 74) (1938); Adams v. Emory Univ. Clinic, 179 Ga. App. 620, 621 (347 SE2d 670) (1986).

I am authorized to state that Presiding Judge Deen and Judge Sognier join in this dissent.

4.3.4.6 Restatement Third, Section 17, Res Ipsa Loquitur 4.3.4.6 Restatement Third, Section 17, Res Ipsa Loquitur

The factfinder may infer that the defendant has been negligent when the accident causing the plaintiff's harm is a type of accident that ordinarily happens as a result of the negligence of a class of actors of which the defendant is the relevant member.
Restatement (Third) of Torts: Phys. & Emot. Harm § 17 (2010)

4.4 Causation 4.4 Causation

4.4.1 Factual Causation 4.4.1 Factual Causation

4.4.1.1 The Basic Rule -- the "But For" Test 4.4.1.1 The Basic Rule -- the "But For" Test

4.4.1.1.1 Doe v. Boys Clubs of Greater Dallas, Inc. ("The Poor Predictor Case") 4.4.1.1.1 Doe v. Boys Clubs of Greater Dallas, Inc. ("The Poor Predictor Case")

C.J. DOE, Individually and as Next Friend of C.G. Doe, Her minor Child, V.M. Coe, Individually, and J.M. Coe, Individually, and as Next Friends of R.M. Coe and A.C. Coe, Their Minor Grandchildren, Petitioners, v. BOYS CLUBS OF GREATER DALLAS, INC., Respondent.

No. 94-0281.

Supreme Court of Texas.

Argued Dec. 13, 1994.

Decided June 8, 1995.

*475Kip A. Petroff, Dallas, for petitioners.

John R. Robinson, Donald G. Stanford, Michael F. Pezzulli, Dallas, for respondent.

GONZALEZ, Justice,

delivered the opinion of the Court,

in which PHILLIPS, Chief Justice, HECHT, ENOCH and OWEN, Justices, join.

This is a suit against a boys club for damages arising from the sexual molestation of boys by a volunteer worker. The plaintiffs brought a cause of action primarily based on negligence and the Texas Deceptive Trade Praetiees-Consumer Protection Act (DTPA). TexJBus. & Com.Code §§ 17.46(b)(5), 17.46(b)(23), 17.50(a). The trial court granted summary judgment for the Boys Clubs of Greater Dallas, Inc., and the court of appeals affirmed. 868 S.W.2d 942. Because we hold that the plaintiffs failed to raise fact issues on key elements of each of their claims against the Boys Club, particularly on the elements of proximate and producing cause, we affirm the judgment of the court of appeals.

I.

In 1985, Boyd Ray Mullens was convicted of the misdemeanor offense of driving while intoxicated and ordered by the court to perform sixty hours of community service. (This was Mullens’s second DWI conviction. The first one occurred in California in 1974.) The Dallas County adult probation department referred Mullens to a volunteer center for assignment to a community service organization. Neither the probation department nor the volunteer center, which provides referral services solely for probationers, investigates volunteers or attempts to determine the appropriateness of a volunteer’s choice of organizations. Mullens volunteered to perform his community service hours at the Boys Club in Mesquite, Texas.

The Boys Club had Mullens fill out an application. On the application, he indicated that the club should not contact his employer, a sheriffs department. The Boys Club did not contact his employer, in any other manner screen the application, or independently investigate Mullens. Mullens began working at the Boys Club in March 1986, and finished his sixty hours of service in September of the same year. He continued to volunteer at the Boys Club through the summer of 1987.

The plaintiffs are (1) the minor brothers, A.C. and R.M. Coe, (2) their grandparents and guardians, Mrs. V.M. Coe and Mr. J.M. Coe, individually and as next friends of the Coe brothers, (3) the minor, C.G. Doe, and (4) his mother, Ms. C. J. Doe, individually and as his next friend. In brief, this case arose from Mullens’s sexual assaults of the three minor plaintiffs, as well as other young boys not parties to this appeal. Mullens met two of the minor plaintiffs at the Boys Club in the summer of 1986, and one minor plaintiff the following summer. He took them and their friends on various outings not sponsored by the Boys Club. During these years, Mullens also became a trusted acquaintance and family friend of the three boys’ grandparents, Mr. and Mrs. Coe, and a common visitor in their home. A detailed history follows.

*476Prior to enrolling her grandsons at the club, Mrs. Y.M. Coe telephoned the main office for the five Dallas-area Boys Clubs and spoke with a woman named Loretta. With regard to volunteers, Loretta told Mrs. Coe that the Boys Club “checked them out thoroughly.” Mrs. Coe brought her grandsons, A.C. and R.M. Coe, to the Mesquite club to purchase memberships in June 1986. By the time they joined the club, Mullens had nearly finished his sixty hours of community service. The Coe brothers became acquainted with Mullens there. Mullens also visited Mr. and Mrs. Coe in their home up to ten times. Later in the summer of 1986, he proposed taking the brothers on a camping trip.

Mrs. Coe returned to the Boys Club to ask its personnel about Mullens. She was told that Mullens was a volunteer, that he worked for a sheriffs department, that the club had no complaints about his conduct, and that “he seemed to be okay.” However, the Boys Club’s education director emphasized that with regard to letting Mullens take the boys camping, “The Boys Club couldn’t make that choice for her. She needed to make that decision for herself.” Mr. and Mrs. Coe gave their permission for Mullens to take A.C. and R.M. Coe on the overnight camping trip. On the trip, after Mullens gave the two boys cigarettes, he sexually abused A.C. Coe. In the fall of 1986, he sexually abused R.M. Coe while on a fishing trip. Mullens continued to be a regular guest in the Coe home through 1988, and spent the night on many occasions.

The next summer, the Coe brothers’ cousin, C.G. Doe, joined the Boys Club while he was spending the summer with Mr. and Mrs. Coe, his grandparents. Mr. Coe brought him to the club in July 1987, and purchased a membership for him. Mullens met C.G. Doe at the Boys Club through the Coe brothers. He first sexually abused C.G. Doe on a second private camping trip taken alone with the three boys later the summer of 1987. On this trip, Mullens gave the boys money in exchange for sexual contact with them. The record does not indicate that Mullens used alcohol to accomplish his assaults on any of the boys who are parties to this appeal.

The plaintiffs brought this negligence and DTPA action against the Boys Club and Mul-lens in June 1990. Among other claims, they alleged that the Boys Club negligently accepted Mullens as a volunteer without investigation or screening, negligently failed to supervise him, failed to disclose material information about Mullens, misrepresented that the club thoroughly investigated its volunteers, and misrepresented that the club and its workers had characteristics they did not have. The trial court granted the Boys Club’s motion for summary judgment and severed the action against the club from the action against Mullens.

The court of appeals affirmed summary judgment for the Boys Club. On the negligence claims, it ruled that the Boys Club owed a duty to exercise reasonable care in selecting its workers, including volunteers such as Mullens, and that the Boys Club breached this duty. 868 S.W.2d at 949-51. However, the court of appeals held as a matter of law that the Boys Club could not reasonably foresee Mullens’s assaults on the boys; in the absence of an element of proximate cause, therefore, summary judgment on the plaintiffs’ negligence actions was proper. Id. at 952. With regard to the DTPA claims for failure to disclose and for misrepresentation, the court of appeals affirmed summary judgment for the Boys Club on three grounds: (1) Mrs. Coe’s decision to allow her grandsons to go camping with Mullens, after inquiring at the club about him, was not a “transaction” under the DTPA; (2) the Boys Club was not aware of Mullens’s two DWI convictions, so it could not be liable to the plaintiffs for failure to disclose them; and (3) although the Boys Club may have misrepresented that it thoroughly investigated volunteers, the alleged misrepresentations were only to Mrs. Coe, and her intervening inquiry to the club and other circumstances made the misrepresentations not the producing cause of the boys’ injuries as a matter of law. Id at 954-55 (citing Riojas v. Lone Star Gas Co., 637 S.W.2d 956, 960 (Tex.App.—Fort Worth 1982, writ ref'd n.r.e.)).

The plaintiffs appeal the holdings that there was no proximate cause and no producing cause as a matter of law to support the negligence and DTPA claims, respectively. A defendant is entitled to summary judgment *477if it disproves an essential element of the plaintiffs causes of action as a matter of law. Lear Siegler, Inc. v. Perez, 819 S.W.2d 470, 471 (Tex.1991) (a negligence case); Anderson v. Snider, 808 S.W.2d 54, 55 (Tex.1991) (a DTPA ease). In reviewing a summary judgment, we consider the evidence in the light most favorable to the non-movant and resolve any doubt in the non-movant’s favor. Nixon v. Mr. Property Management Co., 690 S.W.2d 546, 548-49 (Tex.1985). Primarily because we conclude that the Boys Club proved as a matter of law that its conduct was not the cause in fact of the plaintiffs’ injuries, we hold that summary judgment on the plaintiffs’ negligence and DTPA claims was proper for want of evidence on the common element of actual causation. See Prudential Ins. Co. v. Jefferson Assocs., Ltd., 896 S.W.2d 156, 164 (Tex.1995). Where noted, we also conclude that the plaintiffs’ claims fail because there was no evidence to establish other requisite elements of their causes of action. Consequently, we affirm the judgment of the court of appeals.

II.

The elements of a negligence cause of action are a duty, a breach of that duty, and damages proximately caused by the breach of duty. Greater Houston Transp. Co. v. Phillips, 801 S.W.2d 523, 525 (Tex.1990); El Chico Corp. v. Poole, 732 S.W.2d 306, 311 (Tex.1987). Assuming without deciding that the Boys Club owed the plaintiffs the duty to exercise reasonable care in investigating its personnel and that it breached that duty, we focus on the issue whether the Boys Club’s failure to investigate, screen, or supervise its volunteers proximately caused the injuries the plaintiffs allege.

The components of proximate cause are cause in fact and foreseeability. Travis v. City of Mesquite, 830 S.W.2d 94, 98 (Tex.1992). These elements cannot be established by mere conjecture, guess, or speculation. McClure v. Allied Stores of Tex., Inc., 608 S.W.2d 901, 903 (Tex.1980); Farley v. MM Cattle Co., 529 S.W.2d 751, 755 (Tex.1975). The test for cause in fact is whether the negligent “act or omission was a substantial factor in bringing about injury,” without which the harm would not have occurred. Prudential, 896 S.W.2d at 161 (citing McClure, 608 S.W.2d at 903); see Havner v. E-Z Mart Stores, Inc., 825 S.W.2d 456, 458-59 (Tex.1992); Brown v. Edwards Transfer Co., 764 S.W.2d 220, 223 (Tex.1988). Cause in fact is not shown if the defendant’s negligence did no more than furnish a condition which made the injury possible. See Bell v. Campbell, 434 S.W.2d 117, 120 (Tex.1968). As we stated in Carey v. Pure Distrib. Corp., 124 S.W.2d 847, 849 (Tex.1939), “The evidence must go further, and show that such negligence was the proximate, and not the remote, cause of resulting injuries.... [and] justify the conclusion that such injury was the natural and probable result thereof.” See, e.g., Boyd v. Fuel Distribs., Inc., 795 S.W.2d 266, 272 (Tex.App.—Austin 1990, writ denied) (holding that a convenience store’s sale of beer to an eighteen-year-old was not the cause in fact of a drunk driver’s fatal car accident because the sale was to the passenger and not to the driver); Texas Am. Bank v. Boggess, 673 S.W.2d 398, 402 (Tex.App.—Fort Worth 1984, writ dism’d by agr.) (ruling that a bank’s employment of a repossessor was not the cause in fact of the car owner’s injuries since the owner was injured by a person that the repossessor had hired without the bank’s knowledge). In other words, even if the injury would not have happened but for the defendant’s conduct, the connection between the defendant and the plaintiffs injuries simply may be too attenuated to constitute legal cause. See Union Pump Co. v. Allbritton, 898 S.W.2d 773, 776 (Tex.1995); Lear Siegler, 819 S.W.2d at 472.

We conclude that if the Boys Club breached a duty to investigate, screen, or supervise volunteers, this breach was not the cause in fact of the plaintiffs’ injuries. Assuming the Boys Club had investigated Mullens’s criminal record, revelation of the two misdemean- or DWI convictions would not have precluded Mullens’s presence at the club. The club knew that Mullens was a probationer under court order to perform community service; further investigation would only have provided details about the nature of his offenses. There is no evidence that the Boys Club would not have taken Mullens as a volunteer if it had known he had been convicted for *478driving while intoxicated. We conclude that Mullens’s presence at the club was not due to breach of any duty to screen or to investigate. See East Tex. Theatres, Inc. v. Rutledge, 453 S.W.2d 466, 468-69 (Tex.1970) (finding no cause in fact because no evidence established that, had a theater operator removed “rowdy persons” from a balcony, the person who injured the plaintiff would have been removed). Moreover, Mullens’ presence at the club was but a preliminary condition in the course of events which made possible his assaults on A.C. and R.M. Coe and on C.G. Doe. Lastly, since there is no evidence that Mullens molested or assaulted any boys at the club’s premises, there is no evidence the Boys Club’s alleged failure to supervise was a producing cause of the injuries to A.C. and R.M. Coe or to C.G. Doe. We hold as a matter of law that the Boys Club’s failure to investigate, screen, or supervise its workers was not the cause in fact of the plaintiffs’ injuries.

Foreseeability, the other aspect of proximate cause, requires that a person of ordinary intelligence should have anticipated the danger created by a negligent act or omission. Nixon, 690 S.W.2d at 549-50. The danger of injury is foreseeable if its “general character ... might reasonably have been anticipated.” Id. at 551 (quoting Carey, 124 S.W.2d at 849) (emphasis omitted). The question of foreseeability, and proximate cause generally, involves a practical inquiry based on “common experience applied to human conduct.” City of Gladewater v. Pike, 727 S.W.2d 514, 518 (Tex.1987) (quoting Cook Consultants, Inc. v. Larson, 700 S.W.2d 231, 236 (Tex.App.—Dallas 1985, writ ref'd n.r.e.)). It asks whether the injury “might reasonably have been contemplated” as a result of the defendant’s conduct. McClure, 608 S.W.2d at 903. Foreseeability requires more than someone, viewing the facts in retrospect, theorizing an extraordinary sequence of events whereby the defendant’s conduct brings about the injury. See Restatement (Second) of Torts § 435(2) (1965).

In this case, we agree with the court of appeals that if the Boys Club had investigated Mullens’s criminal record, the resulting information would not have caused the club reasonably to anticipate his subsequent sexual assaults on the minor plaintiffs. 868 S.W.2d at 952. The prior DWI convictions did not indicate criminal conduct in any way akin to sexual assault of young boys. The course of events was such that Mullens’s assaults of A.C. and R.M. Coe and C.G. Doe was so remotely related to the Boys Club’s failure to investigate, screen, or supervise volunteers that no reasonable mind could anticipate the result. Mullens’s prior record could not have caused the Boys Club reasonably to anticipate the danger he presented to the plaintiffs.

Because the plaintiffs’ evidence did not raise a fact question concerning cause in fact or foreseeability, there was no evidence that the Boys Club’s failure to investigate, screen, or supervise Mullens was the proximate cause of the boys’ injuries. See Schneider v. Esperanza Transmission Co., 744 S.W.2d 595, 596-97 (Tex.1987) (in a negligent en-trustment case, finding no proximate cause because the defendant’s entrustment of a truck to a driver did not cause the accident, and the defendant’s knowledge about the driver did not lead it to foresee the danger resulting in injury). Therefore, we affirm the judgment of the court of appeals on the negligence claims in favor of the Boys Club.

III.

The plaintiffs point to the statements by the Boys Club that it thoroughly investigated volunteers and that Mullens “seemed to be okay” to support their DTPA claims that the club failed to disclose material information and made misrepresentations. The elements of these DTPA actions are: (1) the plaintiff is a consumer, (2) the defendant engaged in false, misleading, or deceptive acts, and (3) these acts constituted a producing cause of the consumer’s damages. See Tex.Bus. & ComCode § 17.50(a)(1). To prevail on their DTPA causes of action, the plaintiffs in this case would have to establish that they were “consumers.” Id. § 17.45(4); Cameron v. Terrell & Garrett, Inc., 618 S.W.2d 535, 538 (Tex.1981). Except for Ms. C.J. Doe, C.G. Doe’s mother, the plaintiffs either purchased Boys Club memberships or *479were the beneficiaries of memberships purchased for them. However, we do not need to determine if the plaintiffs were consumers since we conclude that the Boys Club’s alleged failure to disclose and misrepresentations were not the producing causes of the plaintiffs’ injuries. Assuming that the plaintiffs are consumers under the DTPA, we focus our analysis primarily on producing cause.

First, we consider whether the Boys Club’s alleged failure to disclose material information was the producing cause of the plaintiffs’ injuries. To be actionable under the DTPA, a failure to disclose material information necessarily requires that the defendant have known the information and have failed to bring it to the plaintiffs attention. See TexBus. & Com.Code § 17.46(b)(23) (stating that it is unlawful to fail to “disclose information concerning ... services which was known at the time of the transaction”); Robinson v. Preston Chrysler-Plymouth, Inc., 633 S.W.2d 500, 502 (Tex.1982) (holding that a car dealer had no duty to disclose material facts it did not know). There is also no duty if a defendant fails to disclose material facts it should have known. Prudential, 896 S.W.2d at 162. This is not a case in which the defendant willfully maintained a state of ignorance in order to avoid a duty of disclosure. The summary judgment evidence reveals that had the Boys Club investigated Mullens’s criminal record, the prior two DWI convictions would not have indicated his propensity to sexually abuse young boys. We conclude that the DTPA claims based on failure to disclose material facts about Mullens’s proclivity to molest boys have no merit as a matter of law. The Boys Club cannot be held liable for failing to disclose information that it did not and could not have known.

Mrs. Coe’s affidavit stated that if the Boys Club’s education director had disclosed to her what the director knew about Mullens — that he was a court-referred probationer serving a criminal court’s order of community service — when she specifically asked about him, she would not have allowed Mullens to take her grandsons anywhere alone. Viewed in the light most favorable to the non-movant, Mrs. Coe’s affidavit may raise a fact issue as to producing cause. However, the DTPA claim based on the director’s failure to disclose Mullens’s status nonetheless is not actionable under section 17.46(b)(23) of the DTPA. See TexBus. & Com.Code § 17.46(b)(23). The Boys Club’s failure to disclose that Mullens was a probationer with two DWI convictions was not a false, misleading, or deceptive act under the DTPA. Under section 17.46(b)(23), information known at the time of the transaction must be withheld for the purpose of inducing the consumer into a transaction which the consumer would not have entered had the information been disclosed. Id. Furthermore, the information withheld must concern goods or services. See generally Transport Ins. Co. v. Faircloth, 898 S.W.2d 269, 273 (Tex.1995) (explaining that a DTPA claim for failure to disclose is “not available” against-a defendant which neither induced the plaintiff into a transaction nor withheld information concerning goods or services). The facts of this case do not fall within section 17.46(b)(23). The education director’s failure to disclose what she knew about Mullens was not done for the purpose of inducing Mrs. Coe into a transaction, and the undisclosed information did not concern goods or services. The failure to disclose Mullens’s status occurred when Mrs. Coe inquired regarding the private camping trip that Mullens proposed for A.C. and R.M. Coe. It did not arise in connection with a transaction for the acquisition of goods or services as required by section 17.46(b)(23) of the DTPA.

We next consider whether the Boys Club’s alleged misrepresentations were the producing causes of the plaintiffs’ injuries. See TexBus. & Com.Code § 17.46(b)(5). The plaintiffs first assert that the Boys Club affirmatively endorsed Mullens to Mrs. Coe as a chaperon for the 1986 camping trip. The summary judgment evidence does not support this claim. They also claim that the producing cause of their injuries was the Boys Club’s misrepresentations that it provided a “wholesome environment,” that it “checked out” volunteers “thoroughly,” and that Mullens “seemed to be okay.” Generally, an act is false, misleading, or deceptive if *480it has the capacity to deceive an “ignorant, unthinking, or credulous person.” Spradling v. Williams, 566 S.W.2d 561, 562 (Tex.1978). The Boys Club advertised that it provided a “wholesome environment” for low-income, under-privileged boys. Mr. and Mrs. Coe likely saw the advertisement, but it did not contain an actionable representation as a matter of law. See Dowling v. NADW Mktg., Inc., 631 S.W.2d 726, 729 (Tex.1982) (ruling that a statement of opinion by a seller in advertisements is not actionable unless it is a representation of fact or a promise to perform specific acts). Other than the advertisements, there is no evidence that the Boys Club ever made any representations to Mr. Coe, including when he brought C.G. Doe to join the club, to C.G. Doe, or to his mother, Ms. C.J. Doe (who did not purchase her son’s membership and who did not telephone or visit the club). Thus, the misrepresentation claims of Mr. Coe, C.G. Doe, and Ms. C.J. Doe fail as a matter of law.

The Boys Club’s other statements were made solely to Mrs. Coe, with regard to A.C. and R.M. Coe.. Mrs. Coe was assured that the club thoroughly investigated volunteers when she telephoned the main office of the Dallas-area clubs. When Mrs. Coe visited the Boys Club to inquire about Mullens before allowing the boys to go camping with him, the club’s education director told her Mullens “seemed to be okay.” We consider the latter statement first.

The Boys Club argued that the representation that Mullens “seemed to be okay” was not false. We agree. This statement should be put in context. According to Mrs. Coe, the full response to her inquiry was:

[ T]hey have never seen him do anything wrong.
that he was a volunteer; that he ... worked for the Sheriffs department ... and that he came in at 4 o’clock in the afternoon. And that’s all they told me. And that he seemed to be okay and they had no complaints. And that was it.

(Emphases added.) In this conversation, therefore, the statement “he seemed to be okay” was a truthful statement that the Boys Club staff had not witnessed any misconduct by Mullens while he was at the club. Absent evidence that the defendant’s statement was false, a DTPA action for misrepresentation cannot survive summary judgment. See Pennington v. Singleton, 606 S.W.2d 682, 687 (Tex.1980) (finding assertions that an engine housing was in “excellent” and “perfect” condition were actionable under the DTPA because they misrepresented its actual characteristics). The DTPA’s purpose in making misrepresentations actionable is “to ensure that descriptions of goods or services offered for sale are accurate.” Pennington, 606 S.W.2d at 687. In this case, the Boys Club’s statement that Mullens “seemed to be okay” was accurate in context. Furthermore, because the Boys Club declined to endorse or sponsor Mullens to Mrs. Coe, telling her, “She needed to make that decision for herself,” the statement that he “seemed to be okay” can hardly be said to describe goods and services offered for sale. The DTPA’s purposes would not be served by holding it to be an actionable misrepresentation. See Tex.Bus. & Com.Code §§ 17.46(a), (b)(5).

The dissent argues that “he seemed to be okay” was a material misrepresentation which was the producing cause of the boys’ injuries, based on Mrs. Coe’s assertion that she would not have allowed Mullens to drive A.C. and R.M. Coe anywhere had she had known about his DWI convictions. The dissent’s theory is that the statement was actionable because it could not be truthfully made about a probationer serving an order of community service for a DWI conviction. We disagree on two grounds. First, as stated, there is no evidence this statement was false. Second, even if it was false, the statement “he seemed to be okay” was not a misrepresentation that is actionable under the DTPA. When the statement was made, no transaction was occurring between Mrs. Coe and the Boys Club. The alleged misrepresentation did not induce Mrs. Coe into doing business with the Boys Club, and it was not the producing cause of the damages that later arose from Mullens’s acts. See Prudential, 896 S.W.2d at 167 (Cornyn, J., concurring) (because a misrepresentation did not influence the plaintiffs behavior, conelud-*481mg there was no evidence that it was the 'cause in fact of the plaintiffs harm); Southwestern Bell Tel. Co. v. Boyce Iron Works, Inc., 726 S.W.2d 182, 187 (Tex.App.—Austin 1987) (finding no proof that a telephone company’s misrepresentations influenced the plaintiffs purchase of an alarm company’s services), rev’d, on other grounds, 747 S.W.2d 785 (Tex.1988). The camping trip Mullens organized in 1986, and all subsequent outings, were not Boys Club-sponsored events.

We return to the first alleged misrepresentation. To avoid summary judgment on the DTPA claim for misrepresentation based on the Boys Club’s statement that it “cheeked them out thoroughly,” Mrs. Coe, on behalf of A.C. and R.M. Coe, had to show some evidence that the misrepresentation was the producing cause of the boys’ injuries. See Home Sav. Ass’n v. Guerra, 733 S.W.2d 134, 136 (Tex.1987) (requiring evidence that the consumer was adversely affected by the defendant’s deceptive action for liability under the DTPA). A producing cause is a substantial factor which brings about the injury and without which the injury would not have occurred. See Prudential, 896 S.W.2d at 161 (citing McClure, 608 S.W.2d at 903). For DTPA claims, the plaintiffs need only show producing cause, id, and need not establish that the harm was foreseeable. See Hycel, Inc. v. Wittstruck, 690 S.W.2d 914, 922 (Tex.App.—Waco 1985, writ dism’d) (stating that foreseeability is not an aspect of producing cause). Raising a fact question of producing cause, as with proximate cause, requires some evidence that the defendant’s act or omission was the cause in fact of the plaintiffs injury. Prudential, 896 S.W.2d at 161. However, merely given a negligent act and an injury, it does not logically follow that “the two must be causally connected.” General Motors Corp. v. Saenz, 873 S.W.2d 353, 361 n. 6 (Tex.1993). Were this so, then the plaintiffs could impose liability on the Boys Club merely by establishing that the club made misrepresentations, without any requirement of proof of causation. See id. In short, the plaintiffs here had to raise a fact issue of an “unbroken causal connection” between the misrepresentation to Mrs. Coe and her grandsons’ injuries. See Texas Indem. Ins. Co. v. Staggs, 134 Tex. 318, 134 S.W.2d 1026, 1030 (1940).

In this case, notwithstanding our perspective on the evidence in favor of the plaintiffs, we conclude that the causal connection was broken. The Boys Club disproved its misrepresentation that it thoroughly investigates volunteers was the cause in fact of the boys’ subsequent injuries at Mullens’s hands. The events were as follows: the Coe brothers joined the club, they met Mullens, Mullens met Mr. and Mrs. Coe, and Mullens methodically proceeded to inveigle these grandparents into giving him their trust and confidence. He visited the Coe home almost every weekend the latter part of the summer of 1986, and visited even more, including weekday visits, the summer of 1987. The Coes let Mullens take the boys to lunch and to play “putt putt” golf within weeks of meeting him. According to A.C. Coe, Mullens actively deceived the Coes into placing their grandsons alone in his care. On at least ten visits to the Coes’ home prior to the first camping trip, Mullens:

Just sat there and talked to my grandparents and got to know them and stuff.... they would talk about child abuse and stuff and how he hated it ... and [was] highly against drinking and doing drugs ... he was real innocent and everything, [like] he didn’t do nothing like that....

Common sense tells us that the relationship between Mr. and Mrs. Coe and Mullens developed independently of the Boys Club’s relationship with the Coes. When Mrs. Coe returned to the Boys Club to inquire about Mullens, the club’s education director emphasized, “The Boys Club couldn’t make that choice for her,” and, “She needed to make that decision for herself’ whether to put her grandsons in Mullens’s care.1 Given the long-term relationship Mullens fostered with *482Mr. and Mrs. Coe, the Boys Club’s statement about investigating volunteers was not the producing cause of the boys’ injuries. It at most furnished an attenuated condition that made the injury possible. See Union Pump, 898 S.W.2d at 776; Bell, 434 S.W.2d at 120 (holding that what “created the condition” which makes the injury possible is not the factual cause as a matter of law). Therefore, we hold that summary judgment for the Boys Club on the plaintiffs’ DTPA misrepresentation claims was proper.

For the forgoing reasons, we affirm the judgment of the court of appeals. We need not address whether negligent misrepresentation is a cause of action we would recognize in these circumstances because the plaintiffs did not plead it, address a point of error to it, or brief the matter. We also we need not consider as an alternate ground for summary judgment whether the statute of limitations has run on the plaintiffs’ claims.

GAMMAGE, Justice,

joined by HIGHTOWER, CORNYN and SPECTOR, Justices,

dissenting.

The only issue presented in this ease is whether the plaintiffs raised a genuine issue of material fact, thereby precluding summary judgment for the defendant. Because the plaintiffs’ affidavits clearly raise a fact issue whether Boys Club’s admitted misrepresentations produced or proximately caused the plaintiffs’ injuries, I dissent.

Proximate cause requires both cause-in-fact and foreseeability. Travis v. City of Mesquite, 830 S.W.2d 94, 98 (Tex.1992). An act or omission is a cause-in-fact if it is a substantial factor in bringing about the injury, without which the harm would not occur. Id.

Before allowing the boys to go with Mul-lens on a camping trip which was not sponsored by Boys Club, Mrs. Coe specifically asked Allen, the Education Director at Mesquite Boys Club, about Mullens. Mrs. Coe told Allen that Mullens wanted to take the boys on the camping trip and asked her what she thought about it. Allen agreed in her deposition testimony that Mrs. Coe “specifically asked” what Allen knew about Mullens. Allen responded that Mullens “seemed to be okay and they had no complaints,” but failed to disclose the facts as she knew them: Mul-lens was at Boys Club to fulfill community service hours by order of a criminal court because of his conviction for DWI.

Mrs. Coe’s affidavit unequivocally states that had she known that Mullens was convicted of a crime, she would not have allowed her grandchildren to go anywhere alone with him:

If the Boys Club had disclosed that Boyd Ray Mullens had been convicted of a crime and was working at the Boys Club in order to fulfill required community service horn’s, I would not have permitted [the boys] to go anywhere alone with [Mullens]. I did not know that [Mullens] had been convicted of a crime until after [he] was arrested in August, 1988.... If there ever was a time that I was concerned or had doubts about Mr. Mullens, those doubts disappeared when I learned that the Boys Club had represented that they thoroughly investigated the workers to have direct contact with the children.

Boys Club admitted that, unlike the procedure it normally follows with all employees and volunteers, it did not check any of Mul-lens’ references, did not review his police record, was not even aware of what he had been convicted, and did not in any way investigate his application even though it knew the only reason he was there was to complete part of a criminal sentence. This evidence specifically raises fact issues whether Boys Club’s misrepresentations were the proximate cause of the injuries suffered by the children, that is, whether the parents and guardians of the three boys would have allowed contact with Mullens had they known of his criminal conviction.

Although the majority opinion omits any discussion of it, I believe the pleadings regarding Boys Club’s failure to disclose the relevant facts about Mullens are sufficient to establish a claim for negligent misrepresentation under Restatemeot (Seoond) of TORTS § 311 (1977). This is a simple negligence case to which section 311 should be applied. Section 311 of the Restatement provides as follows:

*483§ 311. Negligent Misrepresentation Involving Risk of Physical Harm
(1) One who negligently gives false information to another is subject to liability for physical harm caused by action taken by the other in reasonable reliance upon such information, where such harm results
(a) to the other, or
(b) to such third persons as the actor should expect to be put in peril by the action taken.
(2) Such negligence may consist of failure to exercise reasonable care
(a) in ascertaining the accuracy of the information, or
(b) in the matter in which it is communicated.

Comment b further provides that this section “finds particular application where it is a part of the actor’s business or profession to give information upon which the safety of the recipient or a third person depends.”

One Texas court of appeals has favorably cited section 311, EDCO Prod., Inc. v. Hernandez, 794 S.W.2d 69 (Tex.App.—San Antonio 1990, writ denied), and the following jurisdictions have adopted or followed it: Heard v. City of New York, 82 N.Y.2d 66, 603 N.Y.S.2d 414, 623 N.E.2d 541 (1993); Birmingham v. Fodor’s Travel Publications, 73 Haw. 359, 833 P.2d 70 (1992); Moore v. Commonwealth, 846 S.W.2d 715 (Ky.Ct.App.1992, review denied); Thompson v. Hardy Chevrolet-Pontiac-Buick, Inc., 203 Ga.App. 499, 417 S.E.2d 358 (1992); Garcia v. Superior Court, 50 Cal.3d 728, 268 Cal.Rptr. 779, 789 P.2d 960 (1990); Board of Educ. v. A, C & S, Inc., 137 Ill.2d 428, 137 Ill.Dec. 635, 546 N.E.2d 580 (1989); Village of Cross Keys, Inc. v. U.S. Gypsum Co., 315 Md. 741, 556 A.2d 1126 (1989); Bloskas v. Murray, 646 P.2d 907 (1982); Hall v. Ford Enters., Ltd., 445 A.2d 610 (D.C.1982); English v. Lehigh County Auth., 286 Pa.Super. 312, 428 A.2d 1343 (Ct.1981).

Neither has Boys Club disproved that its misrepresentations were the producing cause of the plaintiffs’ injuries under the Texas Deceptive Trade Practices Act. Producing cause encompasses different policy considerations and limitations than does proximate cause, but it includes a cause-in-fact analysis. See Union Pump v. Allbritton, 898 S.W.2d 773, 782-84 (Tex.1995) (Cornyn, J., concurring); The Prudential Ins. Co. v. Jefferson Assocs., Ltd., 896 S.W.2d 156, 160 (Tex.1995). Although I agree that C.J. Doe was not a consumer under the DTP A, the court of appeals recognized, and Boys Club admits, that the other plaintiffs were consumers under the Act.

Viewing the evidence in the light most favorable to the nonmovants,1 we must take as true the plaintiffs’ statements that they would not have permitted the children to accompany Mullens if they had known of his criminal record and we must indulge the inference that if they had known Boys Club did absolutely no investigation into Mullens’ background they would likewise not have permitted the boys to have extended contact with him away from Club-supervised events.

Upon reviewing the summary judgment evidence, the conclusion is inescapable that Boys Club has not established as a matter of law that its affirmative misrepresentations to the plaintiffs was not the producing or proximate cause of the events made the basis of this lawsuit. Whether the Coes’ and Doe’s decision to allow Mullens to have contact with the children was influenced by Boys Club’s affirmative misrepresentations is a disputed issue of material fact.

For the foregoing reasons, I respectfully dissent. I would reverse the judgment of the court of appeals and remand this cause for trial.

4.4.1.1.2 Radley v. Knepfly ("The Overwhelming Fire Case") 4.4.1.1.2 Radley v. Knepfly ("The Overwhelming Fire Case")

Why does the court hold that there was no liablity in this case? Should the jury have heard this case?

RADLEY et al. v. KNEPFLY.

(Supreme Court of Texas.

March 1, 1911.)

1. Trial (§ 139*) — Taking Case from Jury— Uncontroverted - Facts.

To authorize a court to take a question from the jury, the evidence must be of such a character that there is no room for ordinary minds to differ as to the conclusion to be drawn from it; but where the evidence is not sufficient in law to authorize a finding for the plaintiff, the jury should be peremptorily instructed to find for the defendant.

[Ed. Note. — For other cases, see Trial, Cent. Dig. § 332; Dec. Dig. § 139.*]

2. Innkeepers (§ 10*) — Proximate Cause op Injury — Violation op Ordinance.

In _an action for death, by fire, of a lodger in a building used as a lodging house, evidence held to show that the violation of an ordinance requiring fire escapes was not the proximate cause of the injury.

[Ed. Note. — For other cases, see Innkeepers, Cent. Dig. §§ 14-16; Dec. Dig. § 10.*]

Error to Court of Civil Appeals of Fifth Supreme Judicial District.

Action by Hattie Radley and others against Magdalene Knepfly. From a judgment for defendant (124 S. W. 447), plaintiffs bring error.

Affirmed.

M. L. Morris and Crow & Donalson, for plaintiffs in error. Carden, Starling & Car-den and McCart, Bowlin & McCart, for defendant in error.

RAMSEY, J.

This suit was brought in the district court of Dallas county by plaintiffs in error against .Mrs. Magdalene Knep-fly to recover damages resulting from the death of R. F. Radley, caused by a fire in the Knepfly building, situated at the corner of Main and Poydras streets, in the city of Dallas, due, as was averred, to the negligence of Mrs. Knepfly in failing to prc Vide said building, or, at least the third story thereof, which was used as a lodging house, with suitable and proper fire escapes, as required by the ordinances of the city of Dallas.

At the trial had in said court, the judge instructed a verdict peremptorily for the defendant in error. This judgment was, on appeal, affirmed by the Court of Civil Appeals for the Fifth supreme judicial district (124 S. W. 447). That court held that the cause of action asserted by appellants was defeated on four different propositions; (1) That under the charter of the city of Dallas it was without authority to enact the ordinance, the failure to observe which was claimed to have caused the damages sued for. (2) That, if the power to enact this ordinance be conceded, it was, by its terms, oppressive, unreasonable, and therefore void. (3) That, under the facts, the deceased assumed the risks and hazard which caused his death. And, (4) as a conclusion of fact from the testimony introduced, that the failure on the part Of the defendant in error to comply with said ordinance relied on was not the proximate cause of the death of R. F. Radley. It follows, logically, that, if the Court of Civil Appeals is correct on either of these propositions, its judgment should be affirmed.

In view of the conclusion to which we have arrived, we have deemed it unnecessary to consider the first three propositions, all involving questions of law decided by the Court of Civil Appeals, though our failure so to do is not to be considered as an affirm-*112anee of the correctness of any of them. We have concluded, however, that, in view of the facts appearing in the record, that court was correct in holding that, under the uneontra-dicted evidence in the case, the plaintiffs in error were not entitled to recover.

The uncontradieted evidence showed that what was known as the Knepfly building in the city of Dallas wás a three-story structure, and that the third story was occupied as a lodging house. This building fronted on Main street, with a frontage of ápproximately 25 feet, and ran back on Poydras street a distance of something like 75 feet. The following plat will disclose the general plan of the third story of the building, with its subdivision into rooms and hallways:

The facts immediately preceding the unfortunate death of Radley are disclosed in the testimony of John R. Minor. This witness was introduced by plaintiffs in error, and was shown to be the roommate of Rad-ley. It was also shown in the evidence that he had himself brought a suit against the defendant in error for damages for injuries sustained on the occasion of the fire in question. The following statement, taken from the direct examination, covers, in a general way, the actions of himself and Radley on the immediate occasion of .the fire: “We slept with our heads towards the west. When I got up, I went from the side of the bed around the end, and sat down on the floor, and the floor was hot. I got up and sat down on the end of the bed, and it brought me in view of the door, and I saw the smoke coming in — three little curls under the hall door — and then I halloed to Mr. Radley to get up; the building was on fire. Then I ran to the Poydras end of the building, and broke out the window with a little hammer laying on the window seat — the north window. I broke out the window with the hammer and punched the screen out with my hand. I could see the smoke coming from the second story. The wind blew the smoke in my face. Just as I turned around, Mr. Radley opened the door to the hall, the west door, and the flames shot in there, and I threw my hands up to my face to protect myself, and Mr. Radley came staggering back, and I ran and caught him, and carried him to the window. I carried him to the north window. As soon as I saw him going through the side, I jumped through the south window. He jumped first, and I jumped right after. I never heard him say anything at all, when he opened the door into the hall. He never said anything after he got up. I broke out the window and looked out, and as I turned around, he opened the door. Pie seemed to have picked his clothes up and threw them around him; threw his coat around his shoulders. I had on a suit of underwear. I never had on any shoes. I didn’t notice whether he had on shoes or not. South of the door from our room into the hall, there was a window; it had a shade over it. I think it was a wire glass window. It was colored opaque; you could not see through it. There was no notice of any fire, except the smoke and heat. When the door was opened, it was all on fire, the door looked like a solid mass of flame. That was out in the hall, coming in through the door as soon as the door was opened. That flame appeared to be coming up directly through the stairway; our door opened onto the side of the stairway, and the stairway came up the side of the building. It was four or five feet from our door to where the stairway started down; it was four or five feet to the banisters of the stairway. It appeared to me that the whole hall was filled with *113flame; all'the hall I could see was filled with flame. A man could not have gone from our door, either to the top of the stairway or the fire escape, .and get out alive. Mr. Badley appeared to be suffering and badly burned on his face and hands. They were the only exposed parts at that, time. He did not go to the window himself; I helped him.I led him to the window. I suppose I caught him by the arm. There was a window sill, and he got up onto that.”

The following additional statement is made in his cross-examination: “When I was down on the floor, I saw the smoke coming in under the door, and I called to Badley that the ■building was on fire. Immediately after that I broke out the window. I stuck my head out of the window, and was almost suffocated with snjoke. I stepped back into the room, and ak I turned around, Mr. Rad-ley opened the door. When the door was opened, it blew back with such force as to throw Mr. Radley about halfway across the room. I then threw my hands to my face to protect myself from the flames. When I turned around, Mr. Radley was badly burned. He was burned on the face and hands, and the exposed portions of the body. Mr. Radley opened the door at the west end of t,he hall, and the hall appeared to be a solid mass of flames. To my own knowledge, I could not say whether he was burned fatally or not.”

He also made the following statement on cross-examination: “I helped him to the window and up into the window. He was burned, and that caused me to help him. He appeared to be so badly burned as to need my help. I ran to him, to see if he needed my assistance, and helped him to the window. It was a low window; a little bit lower thgn that table, I believe. As soon as he jumped out of the north window, I followed him immediately out of the south window. I did not stop to raise the sash nor screen, nor to break it out either. I saw when he opened the door that it was impossible for him or me, either, to get out through the hallway. I don’t believe it would have been possible to go to the fire escape in the rear, nor the stairway, alive. I did not look for the fire escape or try to go to the fire escape when the door was opened, because, when the door was opened, it was impossible to get to the hall. I made no effort to go to the rear nor the front of the building.”

This testimony was ufieontradicted by any other witness, except that the injuries resulting to Mr. Radley from the fire were not by the physician believed to have been as serious as would have been implied from the statement of Minor, but there was no contradiction from any source of this statement as to the facts occurring at the moment of the ■fire. The question, therefore, arises, Was there evidence in the record from - which the jury might have .found • that, if there had been a complete compliance with the ordinance relied on, and if the defendant in error had installed and maintained a fire escape in the north end of the building, could and would deceased have availed himself of it and have escaped? It is well settled that, to authorize the court to take a question from the jury, the evidence must be of such a character that there is no room for ordinary minds to differ as to the conclusion to be drawn from it. The matter is thus well stated by Associate Justice Williams, in the ease of Washington v. Missouri, K. & T. Ry. Co. of Texas (Civ. App.) 36 S. W. 778: “Would the law sanction a verdict had the jury rendered one for plaintiff, upon the evidence submitted to them? If not, then it was the duty of the court to instruct a verdict for the defendant, and not, as seems to be the contention of the appellant, to permit the jury to return a verdict; and if, in the judgment of the court, the verdict was not warranted by the evidence, to set it aside, and grant a new trial. We take it that it is now settled by the weight of authority that, when the evidence is not sufficient in law to authorize a finding for the plaintiff by the jury, the court is not required to go further with the trial, bpt the jury should be peremptorily instructed to find for the defendant. Railway Co. v. Faber, 77 Tex. 153, 8 S. W. 64; Pleasants v. Fant, 22 Wall. 120, 22 L. Ed. 780. The doctrine, as announced in the cases here cited, and in many others which might be cited, is now generally recognized and enforced by the courts, both of England and America, in the trial of jury cases; and the rule which was formerly observed in some courts, which required a submission of the cause to the jury if there were but a scintilla of evidence to support an' issue of fact, .is now generally repudiated.”

It is the contention of plaintiffs in error that if there had been a fire escape at the north end of the building, that Radley would, or, at least, might have gone there, and thus have escaped. To have done so, he must either have gone through the door leading from the room where he slept — that is, room No. 2 — into the hall, or he must have broken the doors in the rooms north of him, and from thence reached such fire escape at the north end of the building. . We have already seen that he could not enter the hall from the room where he 'Slept, but that his attempt to do so was met with such a mass of flames as drove him back into his room and almost cost him his life. This door, it will be -noted, was almost at the stairway on the inside and very close to the fire escape on the outside of the building, which was in good .order and sufficient in size for the building. In his then condition it is the merest surmise that he would have attempted to have reached the more distant fire escape on the north end of the building, nor does it appear ■ that, if such attempt had *114been made, it could or would have been successful. On tbe contrary, it seems to us that escape in that direction was probably, if not certainly, impossible.

A careful examination of the testimony has convinced us that the fire was discovered so late, and had attained such headway, that escape, except in the manner attempted, was impossible, and that no additional precaution or safeguard provided for and required by any of the ordinances read in evidence would have saved this unfortunate man. Much as we may deplore his pathetic death, it seems to us to have been due to the time and place, the hour, the fierceness and suddenness of the fire, and not to any of the grounds of negligence alleged. So believing, it follows that the judgment of the Court of Civil Appeals be, and the same is hereby, in all things affirmed.

Affirmed. '

4.4.1.1.3 Joshi v. Providence Health System of Oregon Corp. ("The Exceptions to But-For Causation Case") 4.4.1.1.3 Joshi v. Providence Health System of Oregon Corp. ("The Exceptions to But-For Causation Case")

Argued and submitted October 5,2004,

affirmed March 30, 2005

Nisha JOSHI, Personal Representative of the Estate of Satyapriy Joshi, Appellant, v. PROVIDENCE HEALTH SYSTEM OF OREGON CORP., dba St. Vincent Hospital & Medical Center, an Oregon business; James L. Hedtke, M.D.; and Ezra Azhar, M.D.; and Aloha Family Practice Clinic, an Oregon Business, Respondents.

9911-12261; A117813

108 P3d 1195

*535-aKathryn H. Clarke argued the cause for appellant. With her on the opening brief was John E. Uffelman.

Michael T. Stone argued the cause for respondent Providence Health System of Oregon Corp., Lindsey H. Hughes argued the cause for respondent James L. Hedtke, M.D., and Janet M. Schroer argued the cause for respondents Ezra Azhar, M.D., and Aloha Family Practice Clinic. With them on the joint brief were Brisbee & Stockton LLC, Keating Jones Bildstein & Hughes PC, and Hoffman Hart & Wagner LLP.

Before Landau, Presiding Judge, and Brewer, Chief Judge, and Edmonds, Judge.

*535-bBREWER, C. J.

*536BREWER, C. J.

Satyapriy Joshi died of a stroke after two doctors failed to diagnose his condition. Joshi’s wife brought a wrongful death action against both doctors and the hospital and clinic where each practices. The trial court directed a verdict for defendants after plaintiff proffered expert opinion testimony that a timely diagnosis and proper treatment would have improved Joshi’s chance of survival by approximately 30 percent but that Joshi probably would have died anyway. Plaintiff appeals, assigning error to the trial court’s ruling that she failed to present sufficient evidence that defendants’ conduct caused Joshi’s death to submit the case to the jury. We affirm, because plaintiff did not present expert testimony that there was a reasonable medical probability that defendants’ conduct caused Joshi’s death. See Chouinard v. Health Ventures, 179 Or App 507, 512, 39 P3d 951 (2002) (when causation involves a complex medical question, evidence is insufficient to go to the jury without expert testimony that there is a reasonable medical probability of a causal connection).

We review the directed verdict for errors of law, considering the evidence in the light most favorable to plaintiff, the nonmoving party. Checkley v. Boyd, 170 Or App 721, 738, 14 P3d 81 (2000), rev den, 332 Or 239 (2001). On a Wednesday, six days before he died, Joshi suffered a stroke. An ambulance took Joshi to the hospital where Dr. Hedtke, the emergency room physician, treated him. Hedtke failed to diagnose Joshi’s stroke. Instead, he wrote Joshi a prescription for Vicodin and released him. On Saturday, Joshi became disoriented, and his wife called Dr. Azhar, the family’s physician, to report her husband’s symptoms. Azhar also failed to correctly diagnose Joshi’s condition. He attributed the disorientation to the Vicodin and instructed Joshi to replace it with Tylenol and to come to his office Monday morning. On Sunday, Joshi suffered another stroke. The hospital again treated him unsuccessfully, and he died two days later.

Joshi’s wife, as his personal representative, brought a wrongful death action under ORS 30.020 against Azhar, Hedtke, and the clinic and hospital where each practices. The *537trial court granted a directed verdict for defendants after plaintiffs expert witness was unable to state in an offer of proof that, if defendants had correctly diagnosed Joshi’s first stroke and treated him for it, Joshi probably would have survived.1 Instead, the expert explained that, had the doctors diagnosed the stroke, they would have had three treatment options available to prevent the second stroke that took Joshi’s life. He opined that the first treatment option, tPA,2 would have improved Joshi’s chance of survival by 30 percent. He offered a similar opinion about the second treatment option, aspirin, based on a study that showed that taking aspirin decreases by 28 percent the chance of a second stroke. With regard to the third treatment option, heparin,3 the expert opined that heparin would have improved Joshi’s chance of survival, but he could not say by how much. The expert did not testify that the treatments could have been combined to cumulatively improve Joshi’s chance of survival above 30 percent.

The sole issue on appeal is whether plaintiffs offer of proof included sufficient evidence of a cause-in-fact connection between defendants’ negligence and Joshi’s death to present a triable issue for the jury. Plaintiff argues that the evidence was sufficient because it demonstrated that defendants’ negligence caused Joshi to lose a possibility of survival, and a reasonable juror could find that the lost possibility was a “substantial factor” in causing his death. According to plaintiff, conduct may be a substantial factor in causing death even if it is more probable than not that, but for a defendant’s conduct, the death would have occurred anyway. Defendants respond that the element of cause-in-fact *538requires “but-for” causation and that the rule that a plaintiff in a medical malpractice case must prove cause-in-fact “to a reasonable medical probability” required plaintiff to demonstrate that it is more probable than not that, but for defendants’ negligence, Joshi would have survived.

Because plaintiff brought her claim under the wrongful death statute, ORS 30.020, we first look to that statute for guidance in resolving the parties’ dispute.4 ORS 30.020(1) provides, in part:

“When the death of a person is caused by the wrongful act or omission of another, the personal representative of the decedent * * * may maintain an action against the wrongdoer, if the decedent might have maintained an action, had the decedent lived, against the wrongdoer for an injury done by the same act or omission.”

(Emphasis added.) To determine the meaning of “caused” in the statute, we consider the statute’s text and context. PGE v. Bureau of Labor and Industries, 317 Or 606, 610-12, 859 P2d 1143 (1993). We also consider “rules of construction of the statutory text that bear directly on how to read the text.” Id. at 611. One such rule is to give a word its well-defined legal meaning. Gaston v. Parsons, 318 Or 247, 253, 864 P2d 1319 (1994).

In Oregon, “cause” has a well-defined legal meaning: it means cause-in-fact. Sandford v. Chev. Div. Gen. Motors, 292 Or 590, 605-06, 642 P2d 624 (1982). The Supreme Court has applied that meaning in interpreting the word in the wrongful death statute. See Fergison v. Belmont Conv. Hospital, 217 Or 453, 481-82, 343 P2d 243 (1959) (applying principles of cause-in-fact to wrongful death action); Copenhaver Admt'x v. Tripp, 187 Or 662, 681-82, 213 P2d 450 (1950) (same). “Cause-in-fact” also has a well-defined legal meaning: it generally requires evidence of a reasonable probability that, but for the defendant’s negligence, the plaintiff *539would not have been harmed. See, e.g., Horn v. National Hospital Association, 169 Or 654, 679, 131 P2d 455 (1942) (holding that, to prove causation, the plaintiff was required to “show that competent action would have been substituted for negligent inaction, and that there was a reasonable probability that the subsequent ailments would have been less if the substitution had been made”). Plaintiff argues, however, that Oregon courts have more recently abandoned the “but-for” test for causation in favor of a more lenient “substantial factor” test.5 As we now explain, that argument oversimplifies the law.

When employed as a standard for determining cause-in-fact, the phrase “substantial factor” generally does not eliminate the concept of “but-for” causation. Rather, the substantial factor standard is an alternate description of the cause-in-fact test and requires a showing of “but-for” causation in all but a few cases. See Simpson v. Sisters of Charity of Providence, 284 Or 547, 561, 588 P2d 4 (1978) (noting that, “in the great majority of cases” the two formulations “amount [] to the same thing” (internal quotation marks omitted)). In Simpson, the Supreme Court rejected the plaintiffs argument that the substantial factor standard would permit a jury to find that the defendant’s conduct caused the plaintiffs injury, even though the jury determined that the injury would have occurred anyway. Instead, the court agreed with Prosser that,

“[ejxcept as indicated, no case has been found where the defendant’s act could be called a substantial factor when the event would have occurred without it; nor will cases very often arise where it would not be such a factor when it was so indispensable a cause that without it the result *540would not have followed. W. Prosser, Law of Torts 240, § 41 (4th ed 1971).”

Id. Thus, the court recognized in Simpson that, except in a limited range of cases, the substantial factor standard does not relieve a plaintiff of the burden of showing “but-for” causation. It follows that, unless the situation here falls into that limited range, plaintiff was required to demonstrate “but-for” causation.

The range of cases in which the substantial factor and “but-for” formulations diverge consists primarily of two types. In the first type, the acts of multiple tortfeasors combine to cause an indivisible injury, even though not all the acts were necessary to cause the injury. For example, where five people beat another person to death and any three beatings would have killed the victim, no single beating can be said to be a “but-for” cause of the death because the death would have occurred without it. W. Page Keeton, Prosser and Keeton on Torts 267 n 25 (5th ed 1984).6 Yet, a plaintiff in such a case need show only that the combined tortious conduct was a “but-for” cause of her harm. Id. at 268-69. If that combined conduct was a “but-for” cause of the harm, then each act may be said to be a substantial factor in causing the harm. Id. That rule does not assist plaintiff in this case, however, because she does not assert that defendants’ combined conduct was a “but-for” cause of Joshi’s death.

In the second type of case, two causes concur to bring about a harmful result, and either one of them, operating alone, probably would have brought about the harm. Id. at 266-67. In that situation, both forces are substantial factors in causing the harm, although neither was a necessary cause. For example, if, when a decedent suffered a fatal stroke, a defendant had negligently administered a lethal dose of medication and either the stroke or the medication alone would *541have been fatal, the plaintiff would not have been required to show that the decedent would have survived in the absence of the defendant’s negligence. However, because plaintiff does not contend that the conduct of defendants, operating in the absence of another causal force, probably would have brought about Joshi’s death, that class of cases is also inapplicable here.7

Plaintiff remonstrates that several Oregon cases, particularly McEwen v. Ortho Pharmaceutical, 270 Or 375, 528 P2d 522 (1974), Escobedo v. Ward, 255 Or 85, 464 P2d 698 (1970), and Purcell v. Asbestos Corp., Ltd., 153 Or App 415, 424, 959 P2d 89, adh’d to as modified on recons, 155 Or App 1, 963 P2d 729 (1998), rev den, 329 Or 438 (1999), have adopted the substantial factor formulation in derogation of the “but-for” standard to determine cause-in-fact in circumstances similar to those present here.

In McEwen, the plaintiff alleged that two different oral contraceptives manufactured by different defendants had caused blindness in her right eye. The plaintiff had used one defendant’s oral contraceptive for several months and then stopped. Later, she began using the second defendant’s product. After her vision deteriorated, the plaintiff brought a negligence action against both manufacturers for failing to warn her that their products had a tendency to cause vision damage. The first defendant asserted that, in the absence of evidence that the plaintiff’s injuries were irreversible when she discontinued use of its product, the plaintiff had not shown that its conduct was a substantial factor in causing her injuries. The Supreme Court disagreed:

*542“The respective liability of multiple defendants depends upon whether the negligence of each was a substantial factor in producing the complained of harm. If both [defendants] were negligent and their negligence combined to produce plaintiffs injuries, then the negligence of [one defendant] was concurrent with that of [the other defendant] and does not insulate [the first defendant] from liability. This is true although the negligent omissions of each defendant occurred at different times and without concerted action. Nor is it essential to [the first defendant’s] liability that its negligence be sufficient to bring about plaintiff’s harm by itself; it is enough that [the first defendant] substantially contributed to the injuries eventually suffered by Mrs. McEwen.”

McEwen, 270 Or at 418 (citations omitted).

Plaintiff reads the quoted passage to mean that negligent conduct generally need not be a “but-for” cause to be a substantial factor in causing an injury. We do not share that view of the court’s decision. Rather, the court merely held that, if it was a cumulative cause of a harm, negligent conduct may be a “but-for” cause of the harm even if the conduct was not, by itself, sufficient to cause the harm. That proposition is unremarkable because causation-in-fact “includes every one of the great number of events without which any happening would not have occurred.” Restatement (Second) of Torts § 431 comment a (1974). Each of those events is considered to be a cause-in-fact of a harm, even though other events were also necessary antecedents of the harm. Purcell and Escobado mirror the pertinent facts and reasoning in McEwen and, likewise, do not support plaintiffs argument that she need not establish that defendants’ negligence was a “but-for” cause of Joshi’s death.

Plaintiff also cites section 432 of the Restatement to support her argument. That section states:

“(1) Except as stated in Subsection (2), the actor’s negligent conduct is not a substantial factor in bringing about harm to another if the harm would have been sustained even if the actor had not been negligent.
“(2) 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 *543harm to another, the actor’s negligence may be found to be a substantial factor in bringing it about.”

Subsection (2) does not aid plaintiff, because it describes one of the situations recognized by Prosser and Keeton on Torts— specifically, where two forces combine to cause a harm and either of them, operating alone, probably was sufficient to cause the harm. As discussed, that situation does not exist here because plaintiff did not offer evidence that the conduct of defendants, by itself, probably was sufficient to cause Joshi’s death. Instead, the situation here falls under subsection (1) of section 432. Indeed, comment b to subsection (1) addresses the present problem:

“The statement in this Subsection is most frequently, although not exclusively, applicable where the actor’s tortious conduct consists in a failure to take some precautions which are required for the protection of another’s person or land or chattels. In such case, if the same harm, both in character and extent, would have been sustained even had the actor taken the required precautions, his failure to do so is not even a perceptible factor in bringing it about and cannot be a substantial factor in producing it.”

Restatement at § 432 comment b. Thus, the Restatement does not support plaintiffs argument that she offered sufficient evidence that defendants’ conduct caused Joshi’s death.

Plaintiff also argues that the evidence was sufficient to create a triable issue because it demonstrated the possibility that defendants’ negligence caused Joshi’s death. She contends that she was not required to present evidence that defendants’ negligence probably caused Joshi’s death. She relies on several Oregon decisions, including Harris v. Kissling, 80 Or App 5, 721 P2d 838 (1986), that have allowed recovery of damages for potential physical injuries the future occurrence of which was merely possible.

In Harris, we recognized a ‘lost opportunity’ as a distinct form of harm recoverable in a medical malpractice case. The plaintiff in that case had Rh positive blood and gave birth to a child with Rh negative blood. The hospital had failed to detect that condition and history and did not innoculate the plaintiff to prevent Rh antibodies from forming in her blood. As a result of those omissions, the plaintiff was at *544risk of having Rh problems in any future pregnancy. We concluded that the plaintiffs lost opportunity to have a healthy child was a compensable harm. We rejected the defendant’s argument that the plaintiff had not established a cause-in-fact connection between the hospital’s conduct and the plaintiffs harm. We reasoned that, even though future physical harm was only a possibility, putting the plaintiff in the position of having to choose between not having more children or having a potentially problematic pregnancy and a child with potentially serious health problems was, itself, a compensable harm. Id. at 10 (“The claim is for a lost opportunity, whether or not [plaintiff] take[s] advantage of it.”). Thus, although the evidence did not show that, because of the hospital’s negligence, it was more likely than not that the plaintiff would have a child who would suffer injuries, the evidence was sufficient to establish, to a reasonable medical probability, that the defendant’s negligence caused her “harm” — that is, the harm of being forced to make a Hobson’s choice.

Plaintiff also cites cases holding that a jury may consider the possibility of future medical problems in calculating damage awards, even if there is a less than 50 percent chance that the problems will occur. See Feist v. Sears, Roebuck & Co., 267 Or 402, 412, 517 P2d 675 (1973); Henderson v. Hercules, Inc., 57 Or App 791, 796-97, 646 P2d 658 (1982); Pelcha v. United Amusement Co., 44 Or App 675, 606 P2d 1168, rev den, 289 Or 275 (1980). Those decisions recognized, as did Harris, that the risk of harm itself may, in certain circumstances, be compensable. Like Harris, those cases required proof of probability for causation but, for purposes of identifying compensable harm, recognized possibilities as well as probabilities. However, those decisions did not abrogate the rule that, in a medical malpractice case, the plaintiff must present evidence that there is a “reasonable medical probability’ that a defendant’s negligence caused the plaintiffs harm. Horn, 169 Or at 679; Chouinard, 179 Or App at 512.

As discussed, ORS 30.020(1) authorizes recovery only “[w]hen the death of a person is caused by the wrongful act or omission of another [.]” (Emphasis added.) Accordingly, *545the asserted harm is Joshi’s death, and the decisions on which plaintiff relies are not controlling here.

Plaintiff’s final contention is that the “reasonable medical probability” standard describes the requisite level of confidence with which an expert must express his or her opinion, not the requisite level of proof for causation. Again, we disagree. Proof of cause-in-fact “must have the quality of reasonable probability, and a mere possibility that the alleged negligence of the defendant was the * * * cause of plaintiff’s injuries is not sufficient.” Cleland v. Wilcox, 273 Or 883, 887, 543 P2d 1032 (1975); Sims v. Dixon, 224 Or 45, 48, 355 P2d 478 (1960); see also Henderson v. U. P. R. R. Co., 189 Or 145, 162, 219 P2d 170 (1950) (“Without competent medical testimony that the blow which the plaintiff received was the probable cause of the gangrene and resulting amputation, there could be no case sufficient to go to the jury on that question.” (Emphasis added.)).

Plaintiff concedes that her expert did not state that Joshi probably would have lived had defendants not been negligent. In her brief, she states, “Dr. Jaush could not say that it was more probable than not that any of these treatments would have changed the outcome in this particular case and thus saved Mr. Joshi’s life.” Instead, her expert opined that there was, at most, a 30 percent possibility that the treatments would have saved Joshi’s life. As discussed, the mere possibility that defendants’ negligence caused Joshi’s death is not enough. Plaintiff was required to show that there was a reasonable medical probability that Joshi’s death would not have occurred in the absence of defendants’ negligence. Accordingly, the trial court did not err in directing a verdict for defendants.

Affirmed.

4.4.1.1.4 Restatement Third, Section 27, on multiple sufficient causes 4.4.1.1.4 Restatement Third, Section 27, on multiple sufficient causes

  • If multiple acts occur, each of which under § 26 alone would have been a factual cause of the physical harm at the same time in the absence of the other act(s), each act is regarded as a factual cause of the harm.
Comment:
a. Multiple sufficient causes generally. This Section applies whenever there are two or more competing causes, each of which is sufficient without the other to cause the harm and each of which is in operation at the time the plaintiff's harm occurs. When an actor's tortious conduct is such a cause, it nevertheless would not be a factual cause if factual causes were limited to the definition in § 26: even without that tortious conduct, the harm would still have occurred because of the competing cause. Nevertheless, courts have long imposed liability when a tortfeasor's conduct, while not necessary for the outcome, would have been a factual cause if the other competing cause had not been operating.
  • Illustration:
    • 1. Rosaria and Vincenzo were independently camping in a heavily forested campground. Each one had a campfire, and each negligently failed to ensure that the fire was extinguished upon retiring for the night. Due to unusually dry forest conditions and a stiff wind, both campfires escaped their sites and began a forest fire. The two fires, burning out of control, joined together and engulfed Centurion Company's hunting lodge, destroying it. Either fire alone would have destroyed the lodge. Each of Rosaria's and Vincenzo's negligence is a factual cause of the destruction of Centurion's hunting lodge.
In many cases, multiple sufficient causes will each, along with background causes, be capable of causing the harm, as in Illustration 1. This Restatement thus refers to causes such as Rosaria's and Vincenzo's negligence as multiple sufficient causes. However, in some cases, the tortious conduct will not be sufficient with background causes to be capable of causing the harm. This situation is addressed in Comments f and g. The cases addressed in those Comments include agents, such as a fraction of a lethal dose of a poison, that requires additional nonbackground causes in order to be capable of causing the harm. For those cases, “multiple sufficient causal sets” is a more accurate description of the factual circumstance.
As with causes under § 26, multiple sufficient causes may accelerate the time of the occurrence of a harm that would have occurred at some later point in the absence of the multiple sufficient causes. See § 26, Comment b. The period of time reflected by the acceleration of the harm forms the basis for determining damages in the case.
b. History and terminology. Courts and scholars have long recognized the problem of overdetermined harm—harm produced by multiple sufficient causes—and the inadequacy of the but-for standard for this situation. Both the first and Second Restatements included a special subsection to account for multiple sufficient causes. Nevertheless, cases invoking the concept are rare. Only a handful of reported cases invoke the standard contained in Restatement Second of Torts § 432(2), and most jurisdictions do not have a separate model jury instruction to be employed when multiple sufficient causes exist.
The Restatement Second of Torts contains some ambiguity about whether the factfinder has discretion to decide that, although a sufficient, but not necessary, cause exists, it is nevertheless not a factual cause of the harm. The ambiguity is created by language in § 432(2)§ 432(2) that the factfinder “may” find such a cause to be a “substantial factor” in causing the harm. The juxtaposition of the discretionary “may” with the evaluative “substantial” suggests that the factfinder can reject, as a factual cause, a multiple sufficient cause. This language may, alternatively, merely be an artifact of the use of “substantial factor” for factual causation in § 431§ 431 and the opportunity “substantial factor” provides the factfinder to decide that any factual cause is insubstantial and, therefore, does not satisfy the legal-cause standard provided in § 431 of the Second Restatement. Under that interpretation, the only discretion afforded the factfinder in the case of overdetermined harm would be the same as existed with but-for causes. This Restatement's § 26 and Comment j eliminate any discretion to reject insubstantial factual causes, and this Section does the same for multiple sufficient causes. There is no apparent reason for providing the factfinder discretion on normative or evaluative grounds to pick and choose among tortious acts that are independently (with other background circumstances) sufficient to cause the harm, and the Second Restatement provides none. When the tortious conduct is not itself sufficient (with other background circumstances; see Comment f), and its contribution is relatively trivial in comparison to the other causes, limitations are appropriate and are provided in Chapter 6 on Scope of Liability. See § 36, Comment b.

Restatement (Third) of Torts: Phys. & Emot. Harm § 27 (2010)

4.4.2 Proximate Causation 4.4.2 Proximate Causation

This inquiry is not really about causality in the physical sense at all. Justice Andrews made this clear in his famous comment in Palsgraf: "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." Andrews' comment could be restated this way: whether the element of legal/proximate cause is satisfied turns on whether the defendant's negligence is sufficient linked to the plaintiff's injury to warrant holding holding the former responsible for the latter.

4.4.2.1 Simple Cases 4.4.2.1 Simple Cases

4.4.2.1.1 Arkansas Model Jury Instructions-Civil, Section 501 4.4.2.1.1 Arkansas Model Jury Instructions-Civil, Section 501

Ark. Model Jury Instr., Civil AMI 501
Arkansas Model Jury Instructions-Civil
November 2022 Update
Arkansas Supreme Court Committee On Jury Instructions-Civil
Chapter 5. Proximate Cause
AMI 501 Proximate Cause—Concurring Proximate Cause—Definition
The law frequently uses the expression “proximate cause,” with which you may not be familiar. When I use the expression “proximate cause,” I mean a cause which, in a natural and continuous sequence, produces damage and without which the damage would not have occurred.
[This does not mean that the law recognizes only one proximate cause of damage. To the contrary, if two or more causes work together to produce damage, then you may find that each of them was a proximate cause.]

4.4.2.1.2 Note: Early interpretations of "natural and continuous" -- In Re Polemis 4.4.2.1.2 Note: Early interpretations of "natural and continuous" -- In Re Polemis

It's hard to interpret the phrase "nuatural and continuous." A famous British case interpreted analogous language to reach the result that if the defendant stevedores were negligent in dropping a plank into the hold of the ship while unloading it, then, if the dropped plank inexplicably and immediately caused a sparked and then a fire, then the defendants would be liable for the fire. In Re Polemis (1921) 3 K.B. 560. 

4.4.2.1.3 Milligan v. County Line Liquor, Inc. ("The Bottle Cap Fiasco Case") 4.4.2.1.3 Milligan v. County Line Liquor, Inc. ("The Bottle Cap Fiasco Case")

Norma Francis MILLIGAN, Individually, and as Administratrix of the ESTATE of James Edward MILLIGAN, Deceased v. COUNTY LINE LIQUOR, INC.

86-18

709 S.W.2d 409

Supreme Court of Arkansas

Opinion delivered May 27, 1986

Odom, Elliott & Martin, by: Don R. Elliott, Jr., for appellant.

Bassett Law Firm, by: Wm. Robert Still, Jr., for appellee.

Robert H. Dudley, Justice.

Vincent Paul Vulpi, a minor, purchased six bottles of beer from the appellee, County Line Liquor, Inc. Immediately after purchasing the beer, Vulpi left appellee’s premises and, while opening a bottle of beer, lost control of his vehicle and struck an oncoming vehicle. As a result of the collision, appellant’s husband was killed.

Appellant sued both Vulpi and appellee. She contends that appellee was negligent in selling beer to a minor in violation of Ark. Stat. Ann. § 48-901 (Repl. 1977) and that appellee’s negligence was the proximate cause of the accident. Appellee moved for summary judgment pursuant to ARCP Rule 56, arguing there was no genuine issue of material fact and that it was entitled to a summary judgment as a matter of law. The trial court granted the summary judgment in favor of the appellee liquor store. We affirm.

In Carr v. Turner, 238 Ark. 889, 385 S.W.2d 656 (1965), we stated: “It may be that a Dramshop Act is to be desired, but such a measure should be the result of legislative action rather than of judicial interpretation.” The primary purpose of this appeal is to see if we will reverse our position and now adopt such a measure by judicial fiat. The facts are not squarely before us for a redetermination of the issue since there is no allegation that Vulpi ever consumed any of the beer, but, even so, we decline to change our position because of the essential soundness of the common law rule. That is, it is the consumption of intoxicants, not the sale standing alone, which is the proximate cause of injuries.

Appellant next argues that the trial court erred in ruling that as a matter of law there was no proximate cause between violation of the statute prohibiting the sale of beer to a minor and the accident. The argument, in essence, is simply another way to contend that Ark. Stat. Ann. § 48-901 (Repl. 1977) is a Dramshop Act. We have previously rejected the argument. In Carr v. Turner, supra, we stated it is clear that in enacting Ark. Stat. Ann. § 48-901 the General Assembly did not intend to change the common law rule of nonliability.

Affirmed.

Purtle, J., not participating.

4.4.2.1.4 Kubik v. Igleheart ("The Warning Shot Case") 4.4.2.1.4 Kubik v. Igleheart ("The Warning Shot Case")

What sort of injury would have counted as being proximately caused by the boating speed of the plaintiff below? How does this case relate to Tingle, about the Sunday operation of the railroad?

Ralph KUBIK v. Joe W. IGLEHEART

83-91

657 S.W.2d 545

Supreme Court of Arkansas

Opinion delivered September 26, 1983

Laser, Sharp, Haley, Young ér Huckabay, by: Ralph R. Wilson, for appellant.

Gardner ¿r Steinsiek, by: Charles J. Gardner, for appellee.

Robert H. Dudley, Justice.

The issue in this tort suit is whether an instruction on comparative negligence was properly refused by the trial court. The appellee, plaintiff below, was operating his motorboat in close proximity to appellant’s boat dock on Lake Norfork. Appellee testified that he was running the boat in a prudent manner when the appellant shot him. To the contrary, appellant’s testimony was that the appellee was driving the boat at a fast speed which caused wakes or waves that could cause progressive damage to his dock and that such conduct on the part of the appellee caused him to fire a warning shot which inadvertently struck the appellee in the head. Appellant argues that he was entitled to an instruction on comparative negligence because (1) violation of a safety statute is some evidence of negligence and (2) his testimony was substantial evidence that appellee violated the following statutes:

(a) No one shall operate a motorboat in a reckless manner so as to endanger the property of another person. Ark. Stat. Ann. § 21-229 (a) (Repl. 1968).
(b) No one shall operate a motorboat so as to create a hazardous wash or wake. Ark. Stat. Ann. § 21-232 (d) (Repl. 1968).
(c) No one shall operate a motorboat at more than five miles per hour within 100 feet of a designated area or dock. Ark. Stat. Ann. § 21-232 (e) (Repl. 1968).

The trial court refused to give appellant’s requested instruction on comparative negligence. We affirm. Jurisdiction is properly in this Court. Rule 29 (1) (o).

The trial court was correct because, even though plaintiff’s action may have been negligent, that negligence was not the proximate cause of his damages. The fault sought to be compared must be a proximate cause of the damages sustained by a party. Ark. Stat. Ann. § 27-1763 (Repl. 1979). In Arkansas proximate cause is defined in terms of direct causation. H. Woods, The Negligence Case — Comparative Fault, § 5:4, at 108 (1978); Prosser, Law of Torts, § 43, at 264 (4th ed. 1971). Proximate cause is a cause which “in a natural and continuous sequence, produces damage.” AMI 501; Collier v. Citizens Coach Co., 231 Ark. 489, 330 S.W.2d 74 (1959). In his book Judge Woods gives the following example of lack of causal negligence: “Assume that D entrusts his car to A, who is almost blind. A has an accident, but his blindness played no part in it. Simple causation is here lacking. Woods, supra, at 92.

Testing the case at bar by our definition, it is apparent that, even assuming all of appellant’s testimony to be true, appellee’s negligent operation of the boat would not present an issue for the jury, since the act did not lead in a natural and continuous sequence, unbroken by any efficient intervening cause, to the appellant’s intentional act of firing the shotgun which caused the damages. See Hartsock v. Forsgren Inc., 236 Ark. 167, 365 S.W.2d 117 (1963).

Affirmed.

4.4.2.2 Scope of the Risk 4.4.2.2 Scope of the Risk

Proximate cause is often explicated in terms of foreseeability or the scope of the risk created by the predicate conduct. See, e.g., ibid.; 1 Restatement (Third) of Torts: Liability for Physical and Emotional Harm § 29, p. 493 (2005) (hereinafter Restatement). A requirement of proximate cause thus serves, inter alia, to preclude liability in situations where the causal link between conduct and result is so attenuated that the consequence is more aptly described as mere fortuity.

Paroline v. U.S., 572 U.S. 434 (2014)

4.4.2.2.1 Restatement Third, Section 29, On Proximate Cause 4.4.2.2.1 Restatement Third, Section 29, On Proximate Cause

An actor's liability is limited to those harms that result from the risks that made the actor's conduct tortious.

Restatement (Third) of Torts: Phys. & Emot. Harm § 29 (2010)

4.4.2.2.2 Thompson v. Kaczinski ("The Windy Trampoline Case") 4.4.2.2.2 Thompson v. Kaczinski ("The Windy Trampoline Case")

Charles W. THOMPSON and Karyl J. Thompson, Appellants, v. James F. KACZINSKI and Michelle K. Lockwood, Appellees.

No. 08-0647.

Supreme Court of Iowa.

Nov. 13, 2009.

*831Randy V. Hefner and Matthew J. Hemphill of Hefner & Bergkamp, P.C., Adel, for appellants.

Sharon Soorholtz Greer and Melinda G. Young of Cartwright, Druker & Ryden, Marshalltown, for appellees.

HECHT, Justice.

A motorist lost control of his car on a rural gravel road and crashed upon encountering a trampoline that had been displaced by the wind from an adjoining yard to the surface of the road. He and his spouse sued the owners of the trampoline. The district court granted summary judgment, concluding the defendants owed no duty to the motorist under the circumstances and the personal injuries resulting from the crash were not proximately caused by the defendants’ alleged negligence. As we conclude the district court erred in granting summary judgment, we reverse and remand this case for trial.

I. Factual and Procedural Background.

James Kaczinski and Michelle Lockwood resided in rural Madison County, near Earlham, on property abutting a gravel road. During the late summer of 2006, they disassembled a trampoline and placed its component parts on their yard approximately thirty-eight feet from the road. Intending to dispose of them at a later time, Kaczinski and Lockwood did not secure the parts in place. A few weeks later, on the night of September 16 and morning of September 17, 2006, a severe thunderstorm moved through the Earlham area. Wind gusts from the storm displaced the top of the trampoline from the yard to the surface of the road.

Later that morning, while driving from one church to another where he served as a pastor, Charles Thompson approached the defendants’ property. When he swerved to avoid the obstruction on the road, Thompson lost control of his vehicle. *832His car entered the ditch and rolled several times. Kaczinski and Lockwood were awakened by Thompson’s screams at about 9:40 a.m., shortly after the accident. When they went outside to investigate, they discovered the top of their trampoline lying on the roadway. Lockwood dragged the object back into the yard while Kaczin-ski assisted Thompson.

Thompson and his wife filed suit, alleging Kaczinski and Lockwood breached statutory and common law duties by negligently allowing the trampoline to obstruct the roadway. Kaczinski and Lockwood moved for summary judgment, contending they owed no duty under the circumstances because the risk of the trampoline’s displacement from their yard to the surface of the road was not foreseeable. The district court granted the motion, concluding Kaczinski and Lockwood breached no duty and the damages claimed by the plaintiffs were not proximately caused by the defendants’ negligence. The Thomp-sons appealed. We transferred the case to the court of appeals, which affirmed the district court’s ruling. We granted the Thompsons’ application for further review.

II. Scope of Review.

We review a district court’s grant of summary judgment for correction of errors at law. Iowa R.App. P. 6.907; Clinkscales v. Nelson Sec., Inc., 697 N.W.2d 836, 840-41 (Iowa 2005). Summary judgment is appropriate only if there is “no genuine issue as to any material fact” and “the moving party is entitled to a judgment as a matter of law.” Iowa R. Civ. P. 1.981(3). The party seeking the summary judgment has the burden of proof, and the court considering a motion for summary judgment must view the evidence in the light most favorable to the nonmoving party. Clinkscales, 697 N.W.2d at 841.

It is well-settled that “questions of negligence or proximate cause are ordinarily for the jury,” and “only in exceptional cases should they be decided as a matter of law.” Id.; see also Virden v. Betts & Beer Constr. Co., 656 N.W.2d 805, 807 (Iowa 2003) (noting summary judgment is usually inappropriate in negligence cases).

III. Discussion.

A. Iowa Code Section 318.3. The Thompsons contend Kaczinski and Lockwood breached a statutory duty to avoid obstructing a highway right-of-way. See 2006 Iowa Acts ch. 1097, § 3 (codified at Iowa Code § 318.3 (2007)). Section 318.3 provides a person “shall not place, or cause to be placed, an obstruction within any highway right-of-way.” An “obstruction” is defined as “an obstacle in the highway right-of-way or an impediment or hindrance which impedes, opposes, or interferes with free passage along the highway right-of-way.” Iowa Code § 318.1(4). It is undisputed that the defendants’ trampoline was in the road and that the defendants did not intend for the trampoline to be there at the time of the crash. The district court concluded that because the defendants’ failure to secure their trampoline and prevent its displacement to the roadway was unintentional, their actions did not violate the statute. The Thomp-sons contend this was error and that the phrase “cause to be placed” is intended to address acts that unintentionally result in an obstruction of the highway. We disagree.

When a statute or rule is plain and its meaning is clear, the rules of statutory construction do not permit courts to search for meaning beyond its express terms. State v. Snyder, 634 N.W.2d 613, 615 (Iowa 2001). We generally presume words contained in a statute are used in their ordinary and usual sense with the *833meaning commonly attributed to them. Am. Home Prods. Corp. v. Iowa State Bd. of Tax Review, 302 N.W.2d 140, 143 (Iowa 1981). When not defined in a statute, we construe a term according to its accepted usage. Id. We resort to rules of statutory construction when the explicit terms of a statute are ambiguous. City of Waukee v. City Dev. Bd., 590 N.W.2d 712, 717 (Iowa 1999). Ambiguity is found in a statute “if reasonable minds could differ or be uncertain as to the meaning of the statute.” Carolan v. Hill, 553 N.W.2d 882, 887 (Iowa 1996). In this case, reasonable minds could disagree whether the phrase “cause to be placed” addresses only intentional conduct or if conduct resulting in an unintentional obstruction is also covered. Accordingly, we shall apply our well-established rules in interpreting the ambiguous phrase.

Our goal in interpreting a statute is to ascertain legislative intent. Iowa Ass’n of Sch. Bds. v. Iowa Dep’t of Educ., 739 N.W.2d 303, 309 (Iowa 2007). In determining legislative intent we consider not only the words used by the legislature, but also the statute’s “subject matter, the object sought to be accomplished, the purpose to be served, underlying policies, ... and the consequences of various interpretations.” State v. Albrecht, 657 N.W.2d 474, 479 (Iowa 2003). We look to the context in which the ambiguous phrase is used and consider its relationship to associated words and phrases. T & K Roofing Co. v. Iowa Dep’t of Educ., 593 N.W.2d 159, 163 (Iowa 1999). We give “a plain, ordinary meaning to words, phrases, and punctuation” and presume “that no part of an act is intended to be superfluous.” TLC Home Health Care, L.L.C. v. Iowa Dep’t of Human Servs., 638 N.W.2d 708, 713 (Iowa 2002).

The Thompsons contend the prohibition on placing an obstruction addresses intentional conduct while the prohibition on causing to be placed addresses unintentional conduct. They posit that if the statute is not interpreted in this way, the phrase “cause to be placed” is rendered superfluous.

While the Thompsons’ reading of the statute is certainly a plausible interpretation, we are not convinced the phrase “cause to be placed” is rendered superfluous if it addresses intentional behavior. Consider the example of two landowners. One landowner builds a fence herself within the highway right-of-way. The other landowner hires a contractor to build a fence in the highway right-of-way. In the first instance, the landowner has placed the obstruction herself, while in the second scenario, she has caused the obstruction to be placed. Both are arguably intentional acts. We conclude the legislature included the phrase “cause to be placed” to prevent a person from avoiding liability by simply hiring someone else to do the “placing.”

A review of the entire statutory scheme further convinces us the legislature did not intend to address negligent or unintentional behavior. Iowa Code section 318.12 gives the highway authority the ability to “enforce the provisions' of this chapter by appropriate civil or criminal proceeding” or both. Section 318.6 provides any person who places or causes an obstruction to be placed “is deemed to have created a public nuisance punishable as provided in chapter 657.” Section 657.3 provides a person found guilty of causing a public nuisance “shall be guilty of an aggravated misdemeanor.” We are not inclined to interpret section 318.3 in a way that would result in punishing ordinary negligence as an aggravated misdemeanor—a necessary result of interpreting the statute as the Thompsons urge. Accordingly, we conclude the district court correctly determined that under the facts presented here, *834section 318.3 does not impose a duty upon Lockwood and Kaczinski to refrain from negligently causing an obstruction to be placed in the right-of-way.

B. Common Law Duty. An actionable claim of negligence requires “ ‘ “the existence of a duty to conform to a standard of conduct to protect others, a failure to conform to that standard, proximate cause, and damages.” ’ ” Stotts v. Eveleth, 688 N.W.2d 803, 807 (Iowa 2004) (quoting Van Essen v. McCormick Enters. Co., 599 N.W.2d 716, 718 (Iowa 1999)). Plaintiffs contend Kaczinski and Lockwood owed a common law duty to exercise reasonable care to prevent their personal property from obstructing the roadway and to remove their property from the roadway within a reasonable time after it became an obstruction. Whether a duty arises out of a given relationship is a matter of law for the court’s determination. Shaw v. Soo Line R.R., 463 N.W.2d 51; 53 (Iowa 1990).

Our cases have suggested three factors should be considered in determining whether a duty to exercise reasonable care exists: “ ‘(1) the relationship .between the parties, (2) reasonable foreseeability of harm to the person who is injured, and (3) public policy considerations.’” Stotts, 688 N.W.2d at 810 (quoting J.A.H. ex rel. R.M.H. v. Wadle & Assocs., P.C., 589 N.W.2d 256, 258 (Iowa 1999)); accord Leonard v. State, 491 N.W.2d 508, 510-12 (Iowa 1992) (discussing relationship between the parties, foreseeability of harm to the plaintiff, and public policy considerations when determining if a psychiatrist owed a duty to protect members of the public from the violent behavior of a patient). Our previous decisions have characterized the proposition that the relationship giving rise to a duty of care must be premised on the foreseeability of harm to the injured person as “a fundamental rule of negligence law.” Sankey v. Richenberger, 456 N.W.2d 206, 209-10 (Iowa 1990). The factors have not been viewed as three distinct and necessary elements, but rather as considerations employed in a balancing process. Stotts, 688 N.W.2d at 810. “In the end, whether a duty exists is a policy decision based upon all relevant considerations that guide us to conclude a particular person is entitled to be protected from a particular type of harm.” J.A.H., 589 N.W.2d at 258.

The role of foreseeability of risk in the assessment of duty in negligence actions has recently been revisited by drafters of the Restatement (Third) of Torts. “An actor ordinarily has a duty to exercise reasonable care when the actor’s conduct creates a risk of physical harm.” Restatement (Third) of Torts: Liab. for Physical Harm § 7(a), at 90 (Proposed Final Draft No. 1, 2005) [hereinafter Restatement (Third) l.1 Thus, in most cases involving physical harm, courts “need not concern themselves with the existence or content of this ordinary duty,” but instead may proceed directly to the elements of liability set forth in section 6. Id. § 6 cmt. f, at 81. The general duty of reasonable care will apply in most cases, and thus courts “can rely directly on § 6 and need *835not refer to duty on a case-by-case basis.” Id. § 7 cmt. a, at 90.

However, in exceptional cases, the general duty to exercise reasonable care can be displaced or modified. Id. § 6 cmt. f at 81-82. An exceptional case is one in which “an articulated countervailing principle or policy warrants denying or limiting liability in a particular class of cases.” Id. § 7(b), at 90. In such an exceptional case, when the court rules as a matter of law that no duty is owed by actors in a category of cases, the ruling “should be explained and justified based on articulated policies or principles that justify exempting [such] actors from liability or modifying the ordinary duty of reasonable care.” Id. § 7 cmt. j, at 98. Reasons of policy and principle justifying a departure from the general duty to exercise reasonable care do not depend on the foreseeability of harm based on the specific facts of a case. Id. “A lack of foreseeable risk in a specific case may be a basis for a no-breach determination, but such a ruling is not a no-duty determination.” Id.

The assessment of the foreseeability of a risk is allocated by the Restatement (Third) to the fact finder, to be considered when the jury decides if the defendant failed to exercise reasonable care.

Foreseeable risk is an element in the determination of negligence. ' In order to determine whether appropriate care was exercised, the factfinder must assess the foreseeable risk at the time of the defendant’s alleged negligence. The extent of foreseeable risk depends on the specific facts of the case and cannot be usefully assessed for a category of cases; small changes in the facts may make a dramatic change in how much risk is foreseeable.... [C]ourts should leave such determinations to juries unless no reasonable person could differ on the matter.

Id. at 97-98. The drafters acknowledge that courts have frequently used foreseeability in no-duty determinations, but have now explicitly disapproved the practice in the Restatement (Third) and limited no-duty rulings to “articulated policy or principle in order to facilitate more transparent explanations of the reasons for a no-duty ruling and to protect the traditional function of the jury as factfinder.” Id. at 98-99. We find the drafters’ clarification of the duty analysis in the Restatement (Third) compelling, and we now, therefore, adopt it.

The district court clearly considered foreseeability in concluding the defendants •owed no duty in this case. When the consideration of foreseeability is removed from the determination of duty, as we now hold it should be, there remains the question of whether a principle or strong policy consideration justifies the exemption of Kaczinski and Lockwood—as part of a class of defendants—from the duty to exercise reasonable care. We conclude no such principle or policy consideration exempts property owners from a duty to exercise reasonable care to avoid the placement of obstructions on a roadway. In fact, we have previously noted the public’s interest in ensuring roadways are safe and clear of dangerous obstructions for travelers:

While an abutting landowner is not liable with respect to highway hazards over which he has no control, he is under an obligation to use reasonable care to keep his premises in such condition as not to create hazards in the adjoining highway. He must conduct operations on his land in such a manner as not to injure the highway traveler.

Weber v. Madison, 251 N.W.2d 523, 527 (Iowa 1977) (citation omitted); see also Fritz v. Parkison, 397 N.W.2d 714, 715 (Iowa 1986) (noting public policy to keep *836highways free from obstructions and hazards is well-developed and clearly recognized); Stewart v. Wild, 196 Iowa 678, 683, 195 N.W. 266, 269 (1923) (“It is the fundamental law of the highway that it is subject to the use of the traveling public, and that it must be kept free from such obstructions as are not incident to its use for travel.”). Accordingly, we conclude the district court erred in determining Kaczin-ski and Lockwood owed no common law duty under the circumstances presented here.

C. Causation. Although the memorandum filed by Kaczinski and Lockwood in support of their motion for summary judgment raised only the questions of whether a duty was owed and whether a duty was breached, the district court concluded the plaintiffs’ claims must fail for the further reason that they did not establish a causal connection between their claimed injuries and damages and the acts and omissions of Kaczinski and Lockwood. Again relying on its determination that the risk of the trampoline’s displacement from the yard to the roadway was not foreseeable, the court resolved the causation issue against the Thompsons as a matter of law.

We have held causation has two components: cause in fact and legal cause. Faber v. Herman, 731 N.W.2d 1, 7 (Iowa 2007). The decisions of this court have established it is the plaintiffs burden to prove both cause in fact and legal (proximate) cause. See City of Cedar Falls v. Cedar Falls Cmty. Sch. Dist., 617 N.W.2d 11, 17 (Iowa 2000). The latter component requires a policy determination of whether “the policy of the law must require the defendant to be legally responsible for the injury.” Gerst v. Marshall, 549 N.W.2d 810, 815 (Iowa 1996). Causation is a question for the jury, “ ‘save in very exceptional cases where the facts are so clear and undisputed, and the relation of cause and effect so apparent to every candid mind, that but one conclusion may be fairly drawn therefrom.’ ” Lindquist v. Des Moines Union Ry., 239 Iowa 356, 362, 30 N.W.2d 120, 123 (1947) (quoting Fitter v. Iowa Tel. Co., 143 Iowa 689, 693-94, 121 N.W. 48, 50 (1909)).

We have previously applied the test articulated in the Restatement (Second) of Torts when determining if a defendant’s conduct is a legal or proximate cause of the plaintiffs damages. This test holds “[t]he actor’s negligent conduct is a legal cause of harm to another if (a) his conduct is a substantial factor in bringing about the harm, and (b) there is no rule of law relieving the actor from liability.” Restatement (Second) of Torts § 431, at 428 (1965); accord Kelly v. Sinclair Oil Corp., 476 N.W.2d 341, 349 (Iowa 1991). In deciding whether conduct is a substantial factor in bringing about the harm, we have considered the “proximity between the breach and the injury based largely on the concept of foreseeability.” Estate of Long ex rel. Smith v. Broadlawns Med. Ctr., 656 N.W.2d 71, 83 (Iowa 2002). The word “substantial” has been used to express “the notion that the defendant’s conduct has such an effect in producing the harm as to lead reasonable minds to regard it as a cause.” Sumpter v. City of Moulton, 519 N.W.2d 427, 434 (Iowa Ct.App.1994).

The formulation of legal or proximate cause outlined above has been the source of significant uncertainty and confusion. This court’s adherence to the formulation has been less than consistent. See Gerst, 549 N.W.2d at 816-17 (chronicling inconsistencies in our approach to questions of proximate causation). Even had it been applied consistently, the concept of legal or proximate cause itself has been criticized for confusing factual determinations (substantial factor in bringing about harm) with policy judgments (no rule of law pre-*837eluding liability). Id. at 816. Although we have previously noted our uneven approach to proximate cause questions and acknowledged the criticism of the doctrine, we have not yet had the opportunity to clarify this area of law. Id. at 817. We do now.

“Tort law does not impose liability on an actor for all harm factually caused by the actor’s tortious conduct.” Restatement (Third) ch. 6 Special Note on Proximate Cause, at 574. This concept has traditionally been designated “proximate cause.” While this term is used extensively and appropriately by courts, practitioners, and scholars, it causes considerable confusion for juries because it does not clearly express the idea it is meant to represent. See id. § 29 cmt. b, at 576-77. The confusion arises when jurors understand “proximate cause” as implying “there is but one cause—the cause nearest in time or geography to the plaintiffs harm—and that factual causation bears on the issue of scope of liability.” Id. § 29 cmt. b, at 577. Thus, in an attempt to eliminate unnecessary confusion caused by the traditional vernacular, the drafters of the third Restatement refer to the concept of proximate cause as “scope of liability.”2

The drafters of the Restatement (Third) explain that the “legal cause” test articulated in the second Restatement included both the “substantial factor” prong and the “rule of law” prong because it was intended to address both factual and proximate cause. Id. ch. 6 Special Note on Proximate Cause, at 574. Although the “substantial factor” requirement has frequently been understood to apply to proximate cause determinations, see Gerst, 549 N.W.2d at 815-16, the drafters contend it was never intended to do so. Restatement (Third) § 29 cmt. a, at 576.3 Accordingly, to eliminate the resulting confusion of factual and policy determinations resulting from the Restatement (Second) formulation of legal cause, the drafters have opted to address factual cause and scope of liability (proximate cause) separately. Restatement (Third) ch. 6 Special Note on Proximate Cause, at 575. The assessment of scope of liability under the Restatement (Third) no longer includes a determination of whether the actor’s conduct was a substantial factor in causing the harm at issue, a question properly addressed under the *838factual cause rubric. See id. § 27 cmt. j, at 427-29.4

Most importantly, the drafters of the Restatement (Third) have clarified the essential role of policy considerations in the determination of the scope of liability. “An actor’s liability is limited to those physical harms that result from the risks that made the actor’s conduct tortious.” Id. § 29, at 575. This principle, referred to as the “risk standard,” is intended to prevent the unjustified imposition of liability by “confining liability’s scope to the reasons for holding the actor liable in the first place.” Id. § 29 cmt. d, at 579-80. As an example of the standard’s application, the drafters provide an illustration of a hunter returning from the field and handing his loaded shotgun to a child as he enters the house. Id. cmt. d, illus. 3, at 581. The child drops the gun (an object assumed for the purposes of the illustration to be neither too heavy nor unwieldy for a child of that age and size to handle) which lands on her foot and breaks her toe. Id. Applying the risk standard described above, the hunter would not be liable for the broken toe because the risk that made his action negligent was the risk that the child would shoot someone, not that she would drop- the gun and sustain an injury to her foot. Id.

The scope-of-liability issue is fact-intensive as it requires consideration of the risks that made the actor’s conduct tor-tious and a determination of whether the harm at issue is a result of any of those risks. Id. § 29 cmt. <¾ at 580, 584. When, as in this case, the court considers in advance of trial whether

the plaintiffs harm is beyond the scope of liability as a matter of law, courts must initially consider all of the range of harms risked by the defendant’s conduct that the jury could find as the basis for determining [the defendant’s] conduct tortious. Then, the court can compare the plaintiffs harm with the range of harms risked by the defendant to determine whether a reasonable jury might find the former among the latter.

Id. at 580.

The drafters advance several advantages of limiting liability in this way. First, the application of the risk standard is comparatively simple. Id. cmt. e, at 585. The standard “appeals to intuitive notions of fairness and proportionality by limiting liability to harms that result from risks created by the actor’s wrongful conduct, but for no others.” Id. It also is flexible enough to “accommodate fairness concerns raised by the specific facts of a case.” Id.

Foreseeability has previously played an important role in our proximate cause determinations. See Virden, 656 N.W.2d at 808. For example,

“ ‘An injury that is the natural and probable consequence of an act of negligence is actionable, and such an act is the proximate cause of the injury. But an injury which could not have been foreseen or reasonably anticipated as the probable result of an act of negligence is not actionable and such an act is either the remote cause, or no cause whatever, of the injury.’ ”

Scoggins v. Wal-Mart Stores, Inc., 560 N.W.2d 564, 568-69 (Iowa 1997) (quoting Fly v. Cannon, 836 S.W.2d 570, 574 (Tenn.Ct.App.1992)). When, as in this ease, we have been called upon to consider the role of an intervening or superseding cause, the question of the foreseeability of the superseding force has been critical. See *839 Summy v. City of Des Moines, 708 N.W.2d 333, 342 (Iowa 2006); Clinkscales, 697 N.W.2d at 843.

The drafters of the Restatement (Third) explain that foreseeability is still relevant in scope-of-liability determinations. “In a negligence action, prior incidents or other facts evidencing risks may make certain risks foreseeable that otherwise were not, thereby changing the scope-of-liability analysis.” Restatement (Third) § 29 cmt. d, at 584-85. In fact, they acknowledge the similarity between the risk standard they articulate and the foreseeability tests applied by most jurisdictions in making causation determinations in negligence cases.

Properly understood, both the risk standard and a foreseeability test exclude liability for harms that were sufficiently unforeseeable at the time of the actor’s tortious conduct that they were not among the risks—potential harms—that made the actor negligent.... [W]hen scope of liability arises in a negligence case, the risks that make an actor negligent are limited to foreseeable ones, and the factfinder must determine whether the type of harm that occurred is among those reasonably foreseeable potential harms that made the actor’s conduct negligent.

Id. § 29 cmt. j, at 594. Although the risk standard and the foreseeability test are comparable in negligence actions, the drafters favor the risk standard because it “provides greater clarity, facilitates clearer analysis in a given case, and better reveals the reason for its existence.” Id. They explain that a foreseeability test “risks being misunderstood because of uncertainty about what must be foreseen, by whom, and at what time.” Id. at 595.

We find the drafters’ clarification of scope of liability sound and are persuaded by their explanation of the advantages of applying the risk standard as articulated in the Restatement (Third), and, accordingly, adopt it.

Our next task, then, is to consider whether the district court erred in concluding the harm suffered by the Thomp-sons was, a matter of law, outside the scope of the risk of Kaczinski and Lockwood’s conduct. We conclude the question of whether a serious injury to a motorist was within the range of harms risked by disassembling the trampoline and leaving it untethered for a few weeks on the yard less than forty feet from the road is not so clear in this case as to justify the district court’s resolution of the issue as a matter of law at the summary judgment stage. A reasonable fact finder could determine Kaczinski and Lockwood should have known high winds occasionally occur in Iowa in September and a strong gust of wind could displace the unsecured trampoline parts the short distance from the yard to the roadway and endanger motorists. Although they were in their home for several hours after the storm passed and approximately two-and-a-half hours after daybreak, Kaczinski and Lockwood did not discover their property on the nearby roadway, remove it, or warn approaching motorists of it. On this record, viewed in the light most favorable to the Thompsons, we conclude a reasonable fact finder could find the harm suffered by the Thompsons resulted from the risks that made the defendants’ conduct negligent. Accordingly, the district court erred in deciding the scope-of-liability question as a matter of law in this case.

IV. Conclusion.

The district court correctly determined Kaczinski and Lockwood owed no statutory duty pursuant to Iowa Code section 318.3 under the circumstances of this case. Therefore, we affirm the district court’s *840dismissal of this claim. However, the district court erred in concluding Kaczinski and Lockwood owed the Thompsons no common law duty. As a reasonable fact finder could conclude the Thompsons’ injuries and damages were within the scope of the risk of Kaczinski and Lockwood’s acts or omissions, the district court erred in resolving the scope of liability question as a matter of law. Accordingly, we reverse the district court’s dismissal of this claim and remand this case for trial.

COURT OF APPEALS DECISION VACATED; DISTRICT COURT JUDGMENT AFFIRMED IN PART, REVERSED IN PART, AND CASE REMANDED.

All justices concur except CADY, J., who concurs specially and STREIT, J., who takes no part.

CADY, Justice

(specially concurring).

I concur with the result reached by the majority, but write separately to express two brief points.

First, the majority holds that the defendants had a common-law duty to reasonably secure outdoor personal property from being displaced by the wind. While I agree with the holding, I believe it should be narrowly construed to the facts of this case. A narrow construction is necessary because there may be a point when public-policy considerations would intervene to narrow the duty to exclude some items'of personal property placed or kept by homeowners and others outside a home, such as patio and deck furniture and curbside waste disposal and recycling containers.

Second, the majority utilizes a causation or scope-of-liability analysis to deny summary judgment on the basis that a “reasonable fact finder could determine [the defendants] should have known ... a strong gust of wind could displace the unsecured trampoline ... and endanger motorists.” Yet, they identify no facts or offer any common knowledge to explain such a conclusion. All that is known from the summary judgment proceeding is the trampoline was “disassembled” and “placed” in the yard. In truth, there are no facts in the record at this point to show or explain how the wind could have moved the trampoline. Moreover, without such facts, the incident cannot be explained by common knowledge. Consequently, the absence of such facts or common knowledge, not an unsupported conclusion, should supply the reason to deny summary judgment.

Summary judgment can only be granted when the facts are clear and undisputed. Griglione v. Martin, 525 N.W.2d 810, 813 (Iowa 1994) (stating parties must establish the undisputed facts compelling a particular outcome under controlling law). If the facts, disputed or undisputed, showed the trampoline in this case was positioned in the yard in such a way that a reasonable person with common knowledge could understand that wind could enter under the trampoline tarp and lift the trampoline, then a reasonable fact finder could determine the incident was within the range of harms of leaving a trampoline in the yard to support causation or scope of liability. On the other hand, if the undisputed facts showed the trampoline tarp was attached to the metal ring and positioned flat on the ground, a court may very well be justified in concluding the incident was not within the risks of leaving a trampoline in the yard. Thus, summary judgment should be denied in this case because the facts are unclear and uncertain. It is inappropriate for a court to make a legal determination that a reasonable person should have known or appreciated the ability of wind to lift and carry a trampoline without knowing the particular facts and circumstances.

4.4.2.3 Intervening Cause, Whether Superseding or not? 4.4.2.3 Intervening Cause, Whether Superseding or not?

4.4.2.3.1 Adgar v. Dinsmore ("The Superseding Cause Case") 4.4.2.3.1 Adgar v. Dinsmore ("The Superseding Cause Case")

What is a superseding cause and an intervening cause? Which one was Dinsmore in this case?

530 P.3d 236 (2023)

Paul ADGAR, Appellant/Cross-Respondent,
v.
Martin A. DINSMORE and "Jane Doe" Dinsmore, husband and wife, and their marital community composed thereof, Defendant,
Lakewood Water District, Respondent/Cross-Appellant.

No. 56142-5-II.

Court of Appeals of Washington, Division 2.

Filed May 31, 2023.

239*239 Appeal from Pierce County Superior Court, Docket No: 18-2-06398-7, Judgment or order under review, Date filed: 08/25/2021, Judge signing: Honorable Timothy Ashcraft.

Mark E. Koontz, Danica Dawn Morgan, Morgan & Koontz, PLLC, 2501 N Alder St., Tacoma, WA, 98406-6631, for Appellant/Cross-Respondent.

Miren Cybele First, Keller Rohrback, LLP, 1201 3rd Ave. Ste. 3200, Seattle, WA, 98101-3052, Michael Barr King, Linda Blohm Clapham, Carney Badley Spellman, P.S., 701 5th Ave. Ste. 3600, Seattle, WA, 98104-7010, for Respondent/Cross-Appellant.

Meredith Anne Sawyer, HWS Law Group, 1500 4th Ave. Ste. 200, Seattle, WA, 98101-1621, Clifford J. Wilson, Smith Freed Eberhard PC, 111 Sw Columbia St. Ste. 800, Portland, OR, 97201-5813, for Other Parties.

 

PUBLISHED OPINION

 

Veljacic, J.

¶ 1 Martin A. Dinsmore stole a Ford F-250 truck owned by the Lakewood Water District (LWD) approximately one minute after the truck was left unattended with the engine running and the driver side door open on a public right-of-way. A LWD employee walked away from the truck and out of sight even after observing Dinsmore, who was obviously intoxicated, failing in his attempts to enter another vehicle across the street. Minutes after the vehicle theft, Dinsmore swerved into oncoming traffic and struck Paul Adgar's vehicle head-on in an apparent attempt to commit suicide. Adgar suffered serious bodily injuries as a result of the collision.

¶ 2 Adgar filed a complaint alleging negligence claims against LWD and Dinsmore. LWD filed a motion for summary judgment, arguing that (1) it did not owe Adgar a duty of care under the facts of this case, and (2) Dinsmore's intervening acts constituted a superseding cause that cut off its liability as a matter of law. The trial court granted the motion based on superseding cause. Adgar appeals the trial court's summary judgment order.

¶ 3 We hold that LWD owed a duty of care to Adgar under the specific facts of this case. We also hold that the trial court erred in concluding that Dinsmore's intervening acts were a superseding cause as a matter of law. Accordingly, we reverse the trial court's order granting LWD's motion for summary judgment and remand for further proceedings.

 

240*240 FACTS

 

 

I. FACTUAL BACKGROUND

 

¶ 4 In late 2017 and early 2018, LWD undertook a project to replace a water main near the intersection of Forest Road and Rose Road in Lakewood. This intersection is located in a residential area.

¶ 5 Dinsmore lives in a gated residence on Forest Road. He is a self-described alcoholic. In late 2017 and early 2018, Dinsmore was struggling with depression and suicidal thoughts. He also dealt with bouts of sleep deprivation. In January 2018, he was admitted to the hospital after a friend called the suicide hotline. After being discharged, Dinsmore's primary care provider prescribed him a regime of "20 pills a day," which caused him to act "very strangely." Clerk's Papers (CP) at 196.

¶ 6 In the early morning hours of February 7, 2018, Samuel Bosma, a LWD employee, drove a LWD owned Ford F-250 truck to the intersection of Forest Road and Rose Road to discuss the water main replacement project with a contractor. Bosma arrived at approximately 7:45 A.M. Bosma parked the truck behind the contractor's work truck on Forest Road, which is a public right-of-way and across the street from Dinsmore's residence. Bosma then got out of the truck to talk to the contractor's foreman about the project. However, Bosma left the keys in the ignition, the engine running, the doors unlocked, and the driver side door open.[1]

¶ 7 Bosma and the foreman shared a brief conversation next to their vehicles about some upcoming services on the project. At approximately 8:10 A.M., Bosma and the foreman began to walk north on Forest Road to look at one of the service locations to further discuss the foreman's questions. While walking north on Forest Road, Bosma passed by Dinsmore's driveway. He heard a car alarm going off and saw Dinsmore stumbling backwards after failing to open a car door. Based on his observations of Dinsmore, Bosma stated that "[i]t looked to me like he was intoxicated." CP at 178. Despite these observations, Bosma continued walking north, approximately 100 to 200 feet, until his truck was no longer in sight.

¶ 8 Dinsmore then walked down his driveway, which is approximately 400 feet long, and noticed "an official-looking [truck] sitting right across [his] driveway." CP at 42. Dinsmore saw the driver side door open, heard that the engine was running, and saw two workers about 100 feet away. About a minute later, Dinsmore stole the truck, drove down Rose Road, and took a left onto Portland Avenue.

¶ 9 That same morning, at approximately 8:20 A.M., Adgar was driving to work on Portland Avenue. Adgar saw Dinsmore driving the truck in the opposite, oncoming lane. Then suddenly, without warning, Dinsmore swerved into Adgar's lane and struck his vehicle head on. Dinsmore stated that he attempted to commit suicide when he swerved into Adgar's vehicle. Pre-crash data from the truck showed that Dinsmore depressed the accelerator to 100 percent causing the vehicle's speed to increase from 25 M.P.H. to 53 M.P.H. shortly before the crash. Adgar suffered severe bodily injuries as a result of the collision.

¶ 10 On February 6, the day prior to the collision, Dinsmore approached an employee of a subcontractor who was out to do soil compaction tests at the Forest Road/Rose Road work site. Dinsmore offered the worker $50 for a ride to get alcohol, but the worker declined. The worker told Bosma about the incident and Bosma thought that the interaction was "strange" because "[i]t's not something that typically happens." CP at 184. Bosma did not realize that Dinsmore was the same man who offered to pay the worker until after the theft.

¶ 11 Ian Black, LWD's superintendent, stated that in the 75 years that LWD had been in business, it has never had someone steal a vehicle and cause a collision thereafter. 241*241 Black stated that it was customary for LWD employees to leave keys in a vehicle within a "construction zone." CP at 114. This was because leaving the vehicle parked and locked with the key put away could hold up the construction process. LWD did not have a policy in place requiring employees to remove keys from unattended vehicles prior to this incident.

¶ 12 Daniel Kimber has 36 years of experience in the water utility industry and is well versed in the policies and practices of a public utility district. Kimber stated that, "[w]hen parking in [a] public right of way, if a utility worker is going to leave a utility vehicle unattended, the worker should put the vehicle in park, turn off the engine, take the keys out of the ignition, and lock the doors." CP at 239. Kimber reasoned in part that there is no utility or benefit to leaving an engine running or leaving the keys in the ignition on a public right-of-way.

¶ 13 Dr. Steve Tutty is a clinical psychologist who reviewed Dinsmore's deposition transcripts and medical records. CP 293-95. Based on his review of the records, Dr. Tutty opined that it was more probable than not that

Dinsmore's bipolar disorder combined with his ingestion of psychotropic prescription medication, sleep deprivation, and alcohol abuse impaired his judgment and insight on February 7, 2018, so that he was unable to form the intent to commit an intentional act, specifically the intent to steal the [LWD] truck and the intent to commit suicide.

CP at 295.

 

II. PROCEDURAL HISTORY

 

¶ 14 Adgar filed an amended complaint against Dinsmore and LWD in Pierce County Superior Court.[2] Adgar alleged that LWD breached its duty of care to properly secure its vehicle on a public roadway and that such breach was a proximate cause of his injuries.

¶ 15 LWD filed a motion for summary judgment, arguing that it did not owe Adgar a duty of care because no special relationship existed between the parties so as to require LWD to protect against Dinsmore's criminal conduct. LWD also argued that Adgar failed to show causation as a matter of law because: (1) Washington case law holds that leaving keys in an unattended vehicle is not the proximate cause of a thief's subsequent tortious acts; and (2) Dinsmore's act to commit suicide constituted a superseding cause that cut off any liability of LWD.

¶ 16 In response, Adgar argued that LWD owed him a duty of care because, given the specific circumstances here, Bosma's affirmative acts created an unreasonable risk of harm to him. Adgar also argued that LWD's breach of its duty proximately caused his injuries because Dinsmore's intervening acts were not unforeseeable or remote.

¶ 17 The trial court granted LWD's motion for summary judgment. The trial court declined to rule whether LWD owed a duty of care to Adgar based on the facts of this case. Instead, the trial court granted LWD's motion because it concluded that Dinsmore's act of attempted suicide was a superseding cause that cut off LWD's alleged negligence as a matter of law. Adgar appeals.

 

ANALYSIS

 

¶ 18 Adgar argues that the trial court erred in granting LWD's motion for summary judgment, which dismissed his negligence claims. We agree.

 

I. STANDARD OF REVIEW

 

¶ 19 We review a trial court's order granting summary judgment de novo. Meyers v. Ferndale Sch. Dist., 197 Wash.2d 281, 287, 481 P.3d 1084 (2021). We perform the same inquiry as the trial court in its review. Lakehaven Water & Sewer Dist. v. City of Federal Way, 195 Wash.2d 742, 752, 466 P.3d 213 (2020). We consider the facts and reasonable inferences in the light most favorable to the nonmoving party. Meyers, 197 Wash.2d at 287, 481 P.3d 1084. Summary judgment is appropriate if the pleadings, affidavits, and depositions show that there is no genuine issue of material fact and the moving party is 242*242 entitled to judgment as a matter of law. Martin v. Gonzaga Univ., 191 Wash.2d 712, 722, 425 P.3d 837 (2018); CR 56(c). "`A material fact is one that affects the outcome of the litigation.'" Keck v. Collins, 184 Wash.2d 358, 370 n.8, 357 P.3d 1080 (2015) (quoting Owen v. Burlington N. Santa Fe R.R., 153 Wash.2d 780, 789, 108 P.3d 1220 (2005)). Summary judgment is proper if, given the evidence, reasonable persons could reach only one conclusion. Walston v. Boeing Co., 181 Wash.2d 391, 395, 334 P.3d 519 (2014).

¶ 20 To establish an actionable negligence claim, a plaintiff must establish the existence of (1) a duty, owed by the defendant to the plaintiff, to conform to a certain standard of conduct; (2) a breach of that duty; (3) a resulting injury; and (4) proximate cause between the breach and the injury. Meyers, 197 Wash.2d at 287, 481 P.3d 1084.

 

II. DUTY OF CARE[3]

 

¶ 21 While the trial court did not rule on the issue, Adgar argues that LWD owed a duty of care to protect him from Dinsmore's criminal conduct because Bosma's affirmative acts exposed him to recognizable high degree of risk of harm, which a reasonable person would have taken into account. Based on the facts of this case, we agree.

 

A. Legal Principles

 

¶ 22 The existence of a duty owed by the defendant to the plaintiff is an essential element of an actionable negligence claim. Kim v. Budget Rent A Car Sys. Inc., 143 Wash.2d 190, 194-95, 15 P.3d 1283 (2001). The existence of a duty is a question of law for the court to resolve, which is determined by reference to considerations of public policy. Parrilla v. King County, 138 Wash. App. 427, 432, 157 P.3d 879 (2007).

¶ 23 "Actors have a duty to exercise reasonable care to avoid the foreseeable consequences of their acts." Washburn v. City of Federal Way, 178 Wash.2d 732, 757, 310 P.3d 1275 (2013). As a general rule, there is no duty to prevent third parties from causing criminal harm to others because criminal conduct is generally unforeseeable. Id. "Criminal conduct is, however, not unforeseeable per se." Id. Recognizing this, our Supreme Court has adopted Restatement (Second) of Torts § 302B (1965) as an exception to the general rule. Id.

¶ 24 Pursuant to Restatement (Second) § 302B, "a duty to guard against a third party's foreseeable criminal conduct exists where an actor's own affirmative act has created or exposed another to a recognizable high degree of risk of harm through such misconduct, which a reasonable person would have taken into account." Parrilla, 138 Wash. App. at 439, 157 P.3d 879. Specifically, section 302B provides that:

"An act or an omission may be negligent if the actor realizes or should realize that it involves an unreasonable risk of harm to another through the conduct of the other or a third person which is intended to cause harm, even though such conduct is criminal."

Kim, 143 Wash.2d at 196, 15 P.3d 1283 (quoting RESTATEMENT (SECOND) § 302B). An official comment to section 302B provides that:

"There are ... situations in which the actor, as a reasonable [person], is required to anticipate and guard against the intentional, or even criminal, misconduct of others. In general, these situations arise where the actor is under a special responsibility toward the one who suffers the harm, which includes the duty to protect [them] against such intentional misconduct; or where the actor's own affirmative act has created or exposed the other to a recognizable high degree of risk of harm through such misconduct, which a reasonable [person] would take into account."

Parrilla, 138 Wash. App. at 433-34, 157 P.3d 879 (emphasis in original) (quoting RESTATEMENT (SECOND) § 302B cmt. e). Our Supreme Court has explained that "[t]his does not mean that any risk of harm gives rise to a duty. Instead, an unusual risk of harm, a `high degree of risk of harm,' is required." 243*243 Kim, 143 Wash.2d at 196, 15 P.3d 1283 (quoting RESTATEMENT (SECOND) § 302B cmt. e).

¶ 25 Washington courts have looked to the illustrations provided in section 302B for additional guidance:

Pursuant to two of these illustrations, a duty of care may arise "[w]here the actor acts with knowledge of peculiar conditions which create a high degree of risk of intentional misconduct," or "[w]here property of which the actor has possession or control affords a peculiar temptation or opportunity for intentional interference likely to cause harm."

Parrilla, 138 Wash. App. at 434, 157 P.3d 879 (footnotes omitted) (quoting RESTATEMENT (SECOND) § 302B cmt. e, section G, H). An additional official comment to section 302B explains that the existence or nonexistence of a duty must be determined by reference to the particular circumstances at issue:

"It is not possible to state definite rules as to when the actor is required to take precautions against intentional or criminal misconduct. As in other cases of negligence,... it is a matter of balancing the magnitude of the risk against the utility of the actor's conduct. Factors to be considered are the known character, past conduct, and tendencies of the person whose intentional conduct causes the harm, the temptation or opportunity which the situation may afford [them] for such misconduct, the gravity of the harm which may result, and the possibility that some other person will assume the responsibility for preventing the conduct or the harm, together with the burden of the precautions which the actor would be required to take."

Parrilla, 138 Wash. App. at 434, 157 P.3d 879 (alternations in original) (quoting RESTATEMENT (SECOND) § 302B cmt. f).

 

B. LWD Owed Adgar a Duty of Care Under the Facts of This Case

 

¶ 26 Adgar argues that LWD owed him a duty to protect against Dinsmore's criminal acts because the facts here closely mirror the circumstances in Parrilla, 138 Wash. App. 427, 157 P.3d 879, where the court imposed such a duty. We agree.

¶ 27 In Parrilla, an altercation erupted between two passengers on a King County Metro bus as it was travelling on a public right-of-way. Id. at 430, 157 P.3d 879. The bus driver pulled over to the curb and asked all of the passengers to disembark. Id. All but three of the passengers, Courvoisier Carpenter and the two individuals involved in the altercation, complied with the driver's order. Id. at 430-31, 157 P.3d 879. The bus driver exited the bus, leaving the engine running with Carpenter and the two other passengers on board. Id. at 431, 157 P.3d 879. The two individuals in the altercation left and the driver re-entered the bus asking Carpenter to disembark. Id. Carpenter then began exhibiting bizarre behavior, including acting as if he were talking to somebody outside of the vehicle although nobody was there, yelling unintelligibly, and striking the windows of the bus with his fists. Id. After observing Carpenter's behavior for several minutes, the driver exited the bus a second time, again leaving the engine running with Carpenter on board. Id. Carpenter moved into the driver's seat of the idling 14-ton bus and drove it down the public right-of-way before crashing into several vehicles, including that of the Parillas. Id. The Parillas suffered injuries as a result of the collision. Id. During these events, Carpenter was heavily under the influence of phencyclidine (PCP) and carboxy-THC (tetrahydrocannabinol), illegal recreational drugs. Id.

¶ 28 Division One of this court held that, pursuant to the circumstances alleged, King County owed a duty of care to the Parillas. Id. at 440-41, 157 P.3d 879. The court looked to the factors set out in section 302B in order to reach its holding. Id. at 440, 157 P.3d 879. First, the court noted that the bus driver "acted with knowledge of peculiar conditions which created a high degree of risk of intentional misconduct." Id. The court found significant that the bus driver was fully aware of Carpenter's erratic behavior and acts displaying a tendency toward criminal conduct. Id. Yet, despite this knowledge, the bus driver affirmatively acted by leaving the bus running next to the curb of a public street with Carpenter on board. Id.

244*244 ¶ 29 Second, the court noted that the risk of harm from the criminal operation of a 14-ton bus was recognizably high, unlike a normal passenger vehicle. Id. Third, the court noted that the bus was stolen by Carpenter mere moments after it was left unattended, not at a remote future time by an unknown individual. Id. Accordingly, the court concluded that "[a] jury could well find that Carpenter's actions were reasonably foreseeable under these circumstances." Id.

¶ 30 Similar to Parrilla, we recognize a very narrow duty not to leave one's motor vehicle running with the door open, on a roadway, while leaving the vehicle unguarded out of sight, when an unknown individual is nearby and it is foreseeable that the person might steal the vehicle. Notably, we are not holding that the duty extends to a car running in one's own driveway or garage.[4]

¶ 31 Here, Bosma saw an intoxicated person in close proximity to his truck attempting and failing to get into another vehicle. It was foreseeable that such a person might attempt to get into and drive the LWD truck if the truck was left running with the door open and unattended. Doing so created a high degree of risk that was foreseeable for purposes of establishing a duty on the part of LWD. Therefore, under the specific facts of this case, Bosma owed a duty not to leave the truck running and unattended with the door open.

¶ 32 Even though we conclude that LWD owed a duty to Adgar here, we do not reach the issue of whether the scope of the duty extends to these facts. As recognized by our Supreme Court, while

[t]he first inquiry ... is whether a duty to protect against third party criminal conduct is owed at all. The second inquiry ..., foreseeability of harm as a limit on the scope of the duty, considers whether the harm sustained is reasonably perceived as being within the general field of danger covered by the duty owed by the defendant.... In this way, foreseeability plays a role in both the legal and factual inquiries regarding duty and its scope.

McKown v. Simon Prop. Grp., Inc., 182 Wash.2d 752, 764, 344 P.3d 661 (2015) (internal citations omitted). This latter question is a question of fact for the jury. Id.

¶ 33 Accordingly, there remains an unresolved question as to whether the scope of the duty we have recognized extends to the facts here. This is a question we leave for the jury.

 

III. SUPERSEDING CAUSE

 

¶ 34 Adgar argues that the trial court erred in concluding that Dinsmore's intervening acts constituted a superseding cause that cut off LWD's liability as a matter of law. We agree.

 

A. Legal Principles

 

¶ 35 Proximate cause is an essential element of an actionable negligence claim. Ehrhart v. King County, 195 Wash.2d 388, 396, 460 P.3d 612 (2020). Proximate cause contains two prongs: (1) cause in fact and (2) legal cause. Meyers, 197 Wash.2d at 289, 481 P.3d 1084. "[T]he cause in fact inquiry focuses on a `but for' connection, [while] legal cause is grounded in policy determinations as to how far the consequences of a defendant's acts should extend." Id. (quoting Schooley v. Pinch's Deli Market, Inc., 134 Wash.2d 468, 478-79, 951 P.2d 749 (1998)).

¶ 36 An act that produces an injury generally is the proximate cause of that injury, unless a new, independent act breaks the chain of causation thereby superseding the original act as the proximate cause of the injury. Roemmich v. 3M Co., 21 Wash. App. 2d 939, 952, 509 P.3d 306 (2022). Washington courts regularly look to the Restatement (Second) of Torts in applying the doctrine of superseding cause. See, e.g., Campbell v. ITE Imperial Corp., 107 Wash.2d 807, 812-14, 733 P.2d 969 (1987); 245*245 Roemmich, 21 Wash. App. 2d at 952, 509 P.3d 306. "The Restatement of Torts defines `superseding cause' as `an act of a third person or other force which by its intervention prevents the actor from being liable for harm to another which his antecedent negligence is a substantial factor in bringing about.'" Roemmich, 21 Wash. App. 2d at 952, 509 P.3d 306 (quoting RESTATEMENT (SECOND) § 440).

¶ 37 "`Whether an act may be considered a superseding cause sufficient to relieve a defendant of liability depends on whether the intervening act can reasonably be foreseen by the defendant; only intervening acts which are not reasonably foreseeable are deemed superseding causes.'"[5] Albertson v. State, 191 Wash. App. 284, 297, 361 P.3d 808 (2015) (quoting Riojas v. Grant County Pub. Util. Dist., 117 Wash. App. 694, 697, 72 P.3d 1093 (2003)). "Reasonable foreseeability does not require that the precise manner or sequence of events in which a plaintiff is harmed be foreseeable." Albertson, 191 Wash. App. at 297, 361 P.3d 808.

"Rather, as the Restatement (Second) of Torts explains, `[I]f the likelihood that a third person may act in a particular manner is ... one of the hazards which makes the [defendant] negligent, such an act whether innocent, negligent, intentionally tortious, or criminal does not prevent the [defendant] from being liable' for the injury caused by the defendant's negligence."

Albertson, 191 Wash. App. at 297, 361 P.3d 808 (alterations in original) (quoting RESTATEMENT (SECOND) § 449); see also Campbell, 107 Wash.2d at 813, 733 P.2d 969.

¶ 38 In determining whether an intervening act constitutes a superseding cause, the relevant considerations are: "whether (1) the intervening act created a different type of harm than otherwise would have resulted from the actor's negligence; (2) the intervening act was extraordinary or resulted in extraordinary consequences; (3) the intervening act operated independently of any situation created by the actor's negligence." Campbell, 107 Wash.2d at 812-13, 733 P.2d 969; see also RESTATEMENT (SECOND) § 442; Roemmich, 21 Wash. App. 2d at 953, 509 P.3d 306.

¶ 39 "[W]here a third actor intervenes between the defendant's alleged wrongdoing and the plaintiff's injuries, the intervening cause is examined as part of the `cause in fact' inquiry." McCoy v. Am. Suzuki Motor Corp., 136 Wash.2d 350, 358, 961 P.2d 952 (1998). Accordingly, "[w]hether a third party's intervening act rises to the level of a superseding cause is generally a question of fact for the jury, but it may be determined as a matter of law if reasonable minds could not differ as to the foreseeability of the act." Roemmich, 21 Wash. App. 2d at 953, 509 P.3d 306.

 

B. The Trial Court Erred in Resolving the Issue of Superseding Cause as a Matter of Law

 

¶ 40 Here, having concluded above that LWD owed Adgar a duty of care, "[a] jury could well find that [Dinsmore's] actions were reasonably foreseeable under these circumstances." Parrilla, 138 Wash. App. at 440, 157 P.3d 879. However, this does not mean that causation is established because duty and proximate cause are separate inquires. Meyers, 197 Wash.2d at 291, 481 P.3d 1084. We conclude the trial court erred in concluding that Dinsmore's intervening acts rose to the level of a superseding cause as a matter of law.

¶ 41 First, Dinsmore's intervening acts did not create a different type of harm than would have otherwise resulted from LWD's alleged negligence. LWD's alleged negligence 246*246 stems from Bosma's affirmative act of leaving the truck running with its driver side door open after observing Dinsmore, in close proximity, appearing intoxicated and attempting to enter another vehicle. Based on these circumstances, Bosma's affirmative act created a high degree of risk of harm that Dinsmore would steal the truck and cause a collision in an intoxicated state. Here, Adgar suffered personal injuries from an automobile collision—the same type of harm created by LWD's alleged negligence.

¶ 42 Second, in one sense Dinsmore's act of attempted suicide could be considered extraordinary in light of the antecedent negligence by LWD. However, Adgar was injured by an automobile collision, an ordinary consequence of an intoxicated person stealing a truck.

¶ 43 Third, Dinsmore's intervening acts did not operate independently of the situation created by LWD's alleged negligence. To use the language used by our Supreme Court in Campbell, Dinsmore's intervening acts were "activated" by Bosma's affirmative act of leaving the truck running, with the door open, and unattended. 107 Wash.2d at 815, 733 P.2d 969.

¶ 44 Based on the foregoing, we hold that the trial court erred in concluding that Dinsmore's acts were a superseding cause as a matter of law.

 

C. LWD's Arguments to the Contrary are Without Merit

 

¶ 45 LWD argues that the trial court did not err in concluding that Dinsmore's intervening acts were a superseding cause as a matter of law because "Washington courts long ago made the policy determination that suicide is an independent act that breaks the chain of proximate cause and cuts off liability." Br. of Resp't at 25. LWD primarily relies on Arsnow v. Red Top Cab Co., 159 Wash. 137, 292 P. 436 (1930), Orcutt v. Spokane County, 58 Wash.2d 846, 364 P.2d 1102 (1961), and Webstad v. Stortini, 83 Wash. App. 857, 924 P.2d 940 (1996), to support its proposition. We disagree.

¶ 46 Here, LWD's reliance on Arsnow, Orcutt, and Webstad is inapposite. In each of those cases, a wrongful death suit was brought by the estate of the decedent against the defendant alleging that the defendant's negligent acts were the proximate cause of the decedent's suicide. Arsnow, 159 Wash. at 138-39, 292 P. 436; Orcutt, 58 Wash.2d at 847-50, 364 P.2d 1102; Webstad, 83 Wash. App. at 859-60, 924 P.2d 940. However, that is simply not the case here. Dinsmore is not the one claiming that LWD's negligent conduct caused him to attempt suicide. Instead, this case concerns whether a third party's intervening acts rose to the level of a superseding cause because Adgar is claiming that Bosma's antecedent negligence proximately caused his injuries. Because the cited cases are distinguishable from this case, LWD's argument fails.[6]

¶ 47 Next, LWD argues that out-of-state cases generally hold that suicide is an intentional culpable act that is unforeseeable as a matter of law. LWD relies on Scoggins v. Wal-Mart Stores, Inc., 560 N.W.2d 564 (Iowa 1997), Rains v. Bend of the River, 124 S.W.3d 580 (Tenn. App. 2003), Chalhoub v. Dixon, 338 Ill.App.3d 535, 272 Ill.Dec. 860, 788 N.E.2d 164 (2003); Johnson v. Wal-Mart Stores, Inc., 588 F.3d 439 (7th Cir. 2009), and Harbaugh v. Coffinbarger, 209 W.Va. 57, 543 S.E.2d 338 (2000), to support its proposition. We conclude that the cited out-of-state cases are inapposite to the circumstances present in this case.

¶ 48 Here, as an initial matter, out-of-state cases are not binding on this court and need not be followed. Citizens All. for Prop. Rts. v. San Juan County, 181 Wash. App. 538, 546, 326 P.3d 730 (2014). Even if the cited cases were binding, they are all distinguishable, and therefore, unpersuasive. Much like LWD's misguided reliance on Washington wrongful death cases, in each of the cited cases, the decedent's estate alleged that the defendant's negligence in either selling a firearm/ammunition or making a firearm/ammunition available proximately 247*247 caused the decedent's suicide. Scoggins, 560 N.W.2d at 566; Rains, 124 S.W.3d at 586; Chalhoub, 272 Ill.Dec. 860, 788 N.E.2d at 165-66; Johnson, 588 F.3d at 441; Harbaugh, 543 S.E.2d at 347. Again, this is not a case where Dinsmore is claiming that LWD's negligence proximately caused him to attempt suicide. Accordingly, LWD's reliance on these cases is unpersuasive.

¶ 49 LWD argues that the trial court did not err in concluding that Dinsmore's intervening acts were a superseding cause as a matter of law because the proper focus of the inquiry is "on the intentional nature of the intervening act, not the foreseeability of the injury." Br. of Resp't at 39. We disagree.

¶ 50 It is true that Washington courts have stated the superseding cause inquiry "`depends on whether the intervening act can reasonably be foreseen by the defendant.'" Albertson, 191 Wash. App. at 297, 361 P.3d 808 (quoting Riojas, 117 Wash. App. at 697, 72 P.3d 1093). However, the proper focus is not solely on the foreseeability of the intervening act, but also whether the resulting injury falls within the scope of harm created by an actor's antecedent negligent conduct. Albertson, 191 Wash. App. at 297, 361 P.3d 808; RESTATEMENT (SECOND) §§ 442B, 449 (1965). Indeed, an official comment to section 442B provides that,

If the actor's conduct has created or increased the risk that a particular harm to the plaintiff will occur, and has been a substantial factor in causing that harm, it is immaterial to the actor's liability that the harm is brought about in a manner which no one in his position could possibly have been expected to foresee or anticipate. This is true not only where the result is produced by the direct operation of the actor's conduct upon conditions or circumstances existing at the time, but also where it is brought about through the intervention of other forces which the actor could not have expected, whether they be forces of nature, or the actions of animals, or those of third persons which are not intentionally tortious or criminal. This is to say that any harm which is in itself foreseeable, as to which the actor has created or increased the recognizable risk, is always "proximate," no matter how it is brought about, except where there is such intentionally tortious or criminal intervention, and it is not within the scope of the risk created by the original negligent conduct.

RESTATEMENT (SECOND) § 442B, cmt. b (emphasis added); see also Doyle v. Nor-West Pac. Co., 23 Wash. App. 1, 7, 594 P.2d 938 (1979) ("[E]ven if the intervening acts were as a matter of law unforeseeable, there would remain the question of whether the harm was within the risk created by [defendant's] negligence."). Based on the foregoing principles, the trial court erred by solely focusing on the specific conduct of Dinsmore in deciding the issue of superseding cause. The scope of harm created by LWD's antecedent negligence is also a relevant consideration. Again, it was error for the trial court to conclude that Dinsmore's conduct was a superseding cause as a matter of law.

¶ 51 LWD appears to argue that the trial court did not err in granting its motion for summary judgment because no reasonable mind could conclude that "a traffic collision is a foreseeable consequence of merely leaving keys in a car." Br. of Resp't at 40. LWD appears to rely on Pratt v. Thomas, 80 Wash.2d 117, 491 P.2d 1285 (1971), and Kim, 143 Wash.2d 190, 15 P.3d 1283, to support its proposition. We conclude that LWD's reliance on Pratt and Kim is inapposite.

¶ 52 In Pratt, the defendants parked their station wagon in a school parking lot with the ignition unlocked. 80 Wash.2d at 118, 491 P.2d 1285. The defendants took the keys, but the specific model of their vehicle could have the keys removed and the ignition remain unlocked. Id. Sometime in the next two hours, three high school students stole the vehicle and drove it some distance to pick up another individual. Id. The thieves drove the vehicle for a while, but the state patrol eventually saw it and pursued. Id. A high speed chase ensued, which led to the plaintiff's injuries. Id.

¶ 53 The Supreme Court held that proximate cause was lacking on these facts as a matter of law. Id. at 119, 491 P.2d 1285. The court reasoned:

248*248 Here it is plain the accident which caused plaintiff's injuries was not a part of the natural and continuous sequence of events which flowed from respondents' act in leaving their stationwagon [sic] in the parking lot. It was the result of new and independent forces. Among the new forces were the stealing of the vehicle, the pursuit by the state patrol, the attempt by the thieves to run from the officers and, finally, the accident.

Id. at 119, 491 P.2d 1285. In reaching its holding, the court applied the following rule from Sailor v. Ohlde, 71 Wash.2d 646, 647, 430 P.2d 591 (1967):

Where the owner of a vehicle parks it off the street, turns off the ignition, but leaves the key in the ignition, and a stranger or intermeddler thereafter causes the vehicle to be set in motion resulting in personal injuries or property damages, it has usually been held that the owner of the parked vehicle is not liable for the negligence of the stranger or intermeddler.

¶ 54 In Kim, Demicus Young trespassed onto Budget Rent a Car's administrative facility parking lot to steal a vehicle. 143 Wash.2d at 194, 15 P.3d 1283. No vehicles are rented from this lot and it had no fences, barriers, lights, security personnel, or cameras. Id. Young found an unlocked Dodge minivan with the keys in its ignition and stole the vehicle. Id. There was no evidence that a vehicle had ever been stolen from Budget's administrative facility. Id. Young drove home and went to sleep. Id. The next day, he consumed alcohol and smoked marijuana. Id. He then attempted to drive the minivan, but struck a telephone pole pulling out of his driveway. Id. Young tried to speed away, ran a stop sign in the process, and caused an accident which severely injured the plaintiff. Id.

¶ 55 The Supreme Court held that both prongs of proximate cause were lacking as a matter of law. Id. at 203-06, 15 P.3d 1283. The court held that cause in fact was lacking because: (1) the accident was not produced by the natural and continuous sequence of events initiated by the defendant's failure to secure a vehicle in a private parking lot, (2) the intervening third party made at least one temporary stop, and (3) a police chase and accident ensued. Id. at 203-04, 15 P.3d 1283. The court also held that legal cause was lacking based on the remoteness in time between the criminal act and the injury to the plaintiff. Id. at 205, 15 P.3d 1283.

¶ 56 Here, Pratt and Kim are factually distinguishable from this case. Unlike Pratt and Kim, the vehicle theft occurred on a public right-of-way, not a private parking lot. Unlike Pratt and Kim, Dinsmore did not make at least one temporary stop. The collision here occurred mere moments after the vehicle theft and not some remote time in the future. Additionally, a significant difference between this case and Pratt and Kim is that Dinsmore was not an unknown individual— Bosma observed his peculiar behavior moments before walking away from the truck until it was out of sight while it was idling and its driver side door left open.

¶ 57 Furthermore, unlike Pratt and Kim, legal cause is not lacking on these facts because the collision here did not occur at a remote time in the future, as explained above. Again, the collision here occurred mere moments after the vehicle theft. Indeed, Kim recognized that "of the few cases that have allowed third party tort liability in `key in ignition' cases, most have not involved the type of attenuated facts present here." 143 Wash.2d at 205-06, 15 P.3d 1283. The chain of events in this case closely resembles the cited out-of-state cases in Kim. See, e.g., McClenahan v. Cooley, 806 S.W.2d 767, 769 (Tenn. 1991) (vehicle stolen at 11:00 A.M., accident at 11:33 A.M.); Cruz v. Middlekauff Lincoln-Mercury, Inc., 909 P.2d 1252, 1253 (Utah 1996) (vehicle stolen in early evening, accident at 8:00 P.M.); Kozicki v. Dragon, 255 Neb. 248, 583 N.W.2d 336, 338 (1998) (vehicle stolen at 5:45 A.M., accident later that morning).

¶ 58 We hold that the trial court erred in concluding that Dinsmore's intervening acts were a superseding cause as a matter of law.

 

CONCLUSION

 

¶ 59 We reverse the trial court's order granting LWD's motion for summary judgment 249*249 and remand the case for further proceedings.

We concur:

Maxa, J.

Cruser, A.C.J.

[1] LWD does not dispute that Bosma left the keys in the ignition of the truck. However, LWD disputes Adgar's assertion that Bosma also left the engine running and driver side door open. Because Adgar was the nonmoving party on summary judgment, we view the evidence in light most favorable to him. Meyers v. Ferndale Sch. Dist., 197 Wash.2d 281, 287, 481 P.3d 1084 (2021).

[2] Adgar settled with Dinsmore several months after summary judgment was granted in favor of LWD. Accordingly, Dinsmore is no longer a party to this lawsuit.

[3] LWD argues that there is no special relationship between the parties that imposes a duty to control Dinsmore's actions. We do not discuss the issue because Adgar concedes that there is no special relationship between the parties in this case.

[4] Adgar also appears to argue that RCW 46.61.600 imposes a duty of care on LWD. However, the Supreme Court in Kim rejected the proposition that RCW 46.61.600 was enacted for the purpose of protecting the class of persons to which Adgar is a member. 143 Wash.2d at 202, 15 P.3d 1283. That interpretation is binding on this court until it is overruled by the Supreme Court. State v. Gore, 101 Wash.2d 481, 487, 681 P.2d 227 (1984). Accordingly, this argument fails.

[5] As is evident, both the duty and proximate cause inquires ask whether the intervening act is reasonably foreseeable. "While the issues of duty and legal cause often involve similar considerations, they are separate inquiries." Meyers, 197 Wash.2d at 291, 481 P.3d 1084. Our Supreme Court has clarified that

a court should not conclude that the existence of a duty automatically satisfies the requirement of legal causation. This would nullify the legal causation element and along with it decades of tort law. Legal causation is, among other things, a concept that permits a court for sound policy reasons to limit liability where duty and foreseeability concepts alone indicate liability can arise.

Schooley, 134 Wash.2d at 479, 951 P.2d 749.

 

[6] LWD's reliance on Cotten v. Wilson, 576 S.W.3d 626 (Tenn. 2019), fails for the same reason.

4.4.2.3.2 Arkansas Model Jury Instructions-Civil, Section 503 4.4.2.3.2 Arkansas Model Jury Instructions-Civil, Section 503

AMI 503 Intervening Proximate Cause—Definition and Effect—Burden of Proof

Arkansas Supreme Court Committee On Jury Instructions-Civil

Ark. Model Jury Instr., Civil AMI 503
Arkansas Model Jury Instructions-Civil
November 2022 Update
Arkansas Supreme Court Committee On Jury Instructions-Civil
Chapter 5. Proximate Cause
AMI 503 Intervening Proximate Cause—Definition and Effect—Burden of Proof
(Defendant) contends and has the burden of proving that following any act or omission on [his][her][its] part an event intervened that in itself caused damage completely independent of [his][her][its] conduct. If you so find, then (defendant's) act or omission was not a proximate cause of any damage resulting from the intervening event.
[The fact that other cause(s) intervened between any act or omission on the part of (defendant), and the damage for which claim is made, would not relieve (defendant) of liability if the damage is reasonably foreseeable as a natural and probable result of any act or omission on the part of (defendant).]

4.5 Damages 4.5 Damages

4.5.1 532 Madison Avenue Gourmet Foods, Inc. v. Finlandia Center, Inc. ("The Neighborhood Disaster Case") 4.5.1 532 Madison Avenue Gourmet Foods, Inc. v. Finlandia Center, Inc. ("The Neighborhood Disaster Case")

What happens if the defendant's negligence impacts other parties? When can they recover?

[750 NE2d 1097, 727 NYS2d 49]

532 Madison Avenue Gourmet Foods, Inc., Respondent, v Finlandia Center, Inc., et al., Appellants. 5th Avenue Chocolatiere, Ltd., et al., Respondents, v 540 Acquisition Co., L. L. C., et al., Appellants. Goldberg Weprin & Ustin, L. L. P., Individually and on Behalf of All Others Similarly Situated, Appellant, v Tishman Construction Corp. et al., Respondents.

Argued April 26, 2001;

decided June 7, 2001

*282POINTS OF COUNSEL

Smith & Laquercia, P. C., New York City (Charles R. Strugatz and Edwin L. Smith of counsel), for appellants in the first above-entitled action.

I. The reinstatement of respondent’s negligence claim by the court below should be reversed. (Goldberg Weprin & Ustin v Tishman Constr. Corp., 275 AD2d 614; Syracuse Cablesystems v Niagara Mohawk Power Corp., 173 AD2d 138; Schiavone Constr. Co. v Mayo Corp., 56 NY2d 667; Hemming v Certainteed Corp., 97 AD2d 976; General Elec. Co. v Towne Corp., 144 AD2d 1003; Matter of Kinsman Tr. Co., 338 F2d 708, 388 F2d 821; Dunlop Tire & Rubber Corp. v FMC Corp., 53 AD2d 150; Beck v FMC Corp., 53 AD2d 118, 42 NY2d 1027; Ingenito v Robert M. Rosen, P. C., 187 AD2d 487; Bellevue S. Assocs. v HRH Constr. Corp., 78 NY2d 282.) II. The reinstatement of respondent’s public nuisance claim by the court below should be reversed. (Goldberg Weprin & Ustin v Tishman Constr. Corp., 275 AD2d 614; Burns Jackson Miller Summit & Spitzer v Lindner, 59 NY2d 314; Milliken & Co. v Consolidated Edison Co., 84 NY2d 469; Grow Tunneling Corp. v Consolidated Edison Co., 157 AD2d 452.)

Steven B. Sarshik, New York City, for respondent in the first above-entitled action.

I. The court below correctly concluded that defendants owed a duty to plaintiff. (Di Ponzio v Riordan, 89 NY2d 578; Palsgraf v Long Is. R. R. Co., 248 NY 339; Havas v Victory Paper Stock Co., 49 NY2d 381; Palka v Servicemaster Mgt. Servs. Corp., 83 NY2d 579; Kush v City of Buffalo, 59 NY2d 26; Basso v Miller, 40 NY2d 233.) II. Use of the “economic loss rule” in this case would be both impractical and illogical. (Schiavone Constr. Co. v Mayo Corp., 81 AD2d 221, 56 NY2d 667; Matter of Kinsman Tr. Co., 388 F2d 821; Dunlop Tire & Rubber Corp. v FMC Corp., 53 AD2d 150; MacPherson v Buick Motor Co., 217 NY 382.) III. Plaintiff has stated a valid cause of action for public nuisance. (Copart Indus. v Consolidated Edison Co., 41 NY2d 564; Leo v General Elec. Co., 145 AD2d 291; Hoover v Durkee, 212 AD2d 839; Burns Jackson Miller Summit & Spitzer v Lindner, 59 NY2d 314; Ackerman v True, 175 NY 353; Graceland Corp. v Consolidated Laundries Corp., 7 AD2d 89, 6 NY2d 900; Flynn v Taylor, 127 NY 596; Callanan v Gilman, 107 NY 360; Goldberg Weprin & Ustin v Tishman Constr. Corp., 275 AD2d 614.)

*283 Smith & Laquercia, L. L. P., New York City (Charles R. Strugatz and Edwin L. Smith of counsel), for appellants in the second above-entitled action.

I. The reinstatement of respondents’ negligence claim by the court below should be reversed. (Goldberg Weprin & Ustin v Tishman Constr. Corp., 275 AD2d 614; Beck v FMC Corp., 53 AD2d 118, 42 NY2d 1027; Schneider Natl. v State of New York, 138 Misc 2d 205; 532 Madison Ave. Gourmet Foods v Finlandia Ctr., 271 AD2d 49; Syracuse Cablesystems v Niagara Mohawk Power Corp., 173 AD2d 138; Schiavone Constr. Co. v Mayo Corp., 56 NY2d 667; Hemming v Certainteed Corp., 97 AD2d 976; General Elec. Co. v Towne Corp., 144 AD2d 1003; Matter of Kinsman Tr. Co., 338 F2d 708, 388 F2d 821; Dunlop Tire & Rubber Corp. v FMC Corp., 53 AD2d 150.) II. The reinstatement of respondents’ public nuisance claim by the court below should be reversed. (Goldberg Weprin & Ustin v Tishman Constr. Corp., 275 AD2d 614; Burns Jackson Miller Summit & Spitzer v Lindner, 59 NY2d 314; Milliken & Co. v Consolidated Edison Co., 84 NY2d 469; 532 Madison Ave. Gourmet Foods v Finlandia Ctr., 271 AD2d 49; Grow Tunneling Corp. v Consolidated Edison Co., 157 AD2d 452; Copart Indus, v Consolidated Edison Co., 41 NY2d 564.) III. The cause of action predicated upon private nuisance was not reinstated by the court below, and in any event was properly dismissed by the lower court. (Goldberg Weprin & Ustin v Tishman Constr. Corp., 275 AD2d 614; Copart Indus. v Consolidated Edison Co., 41 NY2d 564; McKenna v Allied Chem. & Dye Corp., 8 AD2d 463; Camillo v Geer, 185 AD2d 192; Old Oaks Country Club v State Univ. Constr. Fund, 66 AD2d 815; Celebrity Studios v Civetta Excavating, 72 Misc 2d 1077; Foster-Lipkins Corp. v Suburban Propane Gas Corp., 68 Misc 2d 32; Spano v Perini, 25 NY2d 11; 532 Madison Ave. Gourmet Foods v Finlandia Ctr., 271 AD2d 49; Milliken & Co. v Consolidated Edison Co., 84 NY2d 469.) IV. The causes of action predicated upon gross negligence and negligence per se were not reinstated by the court below, and in any event were properly dismissed by the lower court. (Goldberg Weprin & Ustin v Tishman Constr. Corp., 275 AD2d 614; Santos v Security & Law Enforcement Empls., Council 82, 80 AD2d 554; Prozeralik v Capital Cities Communications, 82 NY2d 466; Camillo v Geer, 185 AD2d 192; Vanscoy v Namic USA Corp., 234 AD2d 680; Sterritt v Heins Equip. Co., 114 AD2d 616; Spallina v Giannoccaro, 98 AD2d 103; Dance v Town of Southampton, 95 AD2d 442; Martin v Herzog, 228 NY 164; Juarez v Wavecrest Mgt. Team, 88 NY2d 628.)

*284 Ashman & Griffin, L. L. C., New York City (Kenneth J. Ashman of counsel), for respondents in the second above-entitled action.

I. The reinstatement of the public nuisance claim must be affirmed because plaintiffs suffered an injury beyond that suffered by the community-at-large. (Ackerman v True, 175 NY 353; Wakeman v Wilbur, 147 NY 657; Copart Indus. v Consolidated Edison Co., 41 NY2d 564; Hoover v Durkee, 212 AD2d 839; Burns Jackson Miller Summit & Spitzer v Lindner, 59 NY2d 314; Leo v General Elec. Co., 145 AD2d 291; Flynn v Taylor, 127 NY 596; Francis v Schoellkopf, 53 NY 152.) II. The reinstatement of the private nuisance claim must be affirmed. (Copart Indus. v Consolidated Edison Co., 41 NY2d 564; Matter of Kinsman Tr. Co., 388 F2d 821.) III. The reinstatement of the negligence-based claims must be affirmed. (Matter of Kinsman Tr. Co., 388 F2d 821; Schiavone Constr. Co. v Mayo Corp., 81 AD2d 221, 56 NY2d 667; Hemming v Certainteed Corp., 97 AD2d 976; Syracuse Cablesystems v Niagara Mohawk Power Corp., 173 AD2d 138; Dunlop Tire & Rubber Corp. v FMC Corp., 53 AD2d 150; Beck v FMC Corp., 53 AD2d 118; Booth v Rome, Watertown & Ogdensburg Term. R. R. Co., 140 NY 267; Spano v Perini Corp., 25 NY2d 11; Weitzmann v Barber Asphalt Co., 190 NY 452; Klepper v Seymour House Corp., 246 NY 85.) IV. Defendants should be held strictly liable for their conduct. (Doundoulakis v Town of Hempstead, 42 NY2d 440; Hanley v Central Sav. Bank, 255 App Div 542.)

Jaroslawicz & Jaros, New York City (David Jaroslawicz of counsel), for appellant in the third above-entitled action.

I. A sufficient showing of “abnormally dangerous activity” has been shown for this case to survive defendant’s motion to dismiss under CPLR 3211. (Hanley v Central Sav. Bank, 255 App Div 542; Christie v Ranieri & Sons, 194 AD2d 453; Doundoulakis v Town of Hempstead, 42 NY2d 440.) II. Plaintiff also pleaded a claim for nuisance. Under this legal theory, plaintiff is entitled to maintain an action for pure economic loss against defendants. (Copart Indus. v Consolidated Edison Co., 41 NY2d 564; Leo v General Elec. Co., 145 AD2d 291.) III. The damages are not too tenuous to support a claim. (Matter of Kinsman Tr. Co., 388 F2d 821; Gelbman v Gelbman, 23 NY2d 434.) IV. Limitation of liability should be left to the Legislature. (5th Ave. Chocolatiere v 540 Acquisition Co., 272 AD2d 23; 532 Madison Ave. Gourmet Foods v Finlandia Ctr., 271 AD2d 49; Duke Power Co. v California Envtl. Study Group, 438 US 59; Majewski v Broadalbin-Perth Cent. School Dist., 91 NY2d 577; BMW of N. Am. v Gore, 517 US 559.)

*285 Stroock & Stroock & Lavan, L. L. P., New York City (Joseph L. Forstadt, Deborah L. Goldstein and Joseph E. Strauss of counsel), for Tishman Construction Corp. of New York and another, respondents in the third above-entitled action.

I. Because plaintiff failed to allege that it sustained any physical harm or property damage as a direct result of the partial scaffold collapse, plaintiff’s tort claims were properly dismissed pursuant to the “economic loss doctrine.” (Lauer v City of New York, 95 NY2d 95; Eiseman v State of New York, 70 NY2d 175; Strauss v Belle Realty Co., 65 NY2d 399; Pulka v Edelman, 40 NY2d 781; De Angelis v Lutheran Med. Ctr., 58 NY2d 1053; Palsgraf v Long Is. R. R. Co., 248 NY 339; Beck v FMC Corp., 53 AD2d 118, 42 NY2d 1027; Associated Gen. Contrs. v California State Council of Carpenters, 459 US 519; Ultramares Corp. v Touche, 255 NY 170; Waters v New York City Hous. Auth., 69 NY2d 225.) II. Plaintiff’s claims based on gross negligence, strict liability and nuisance were properly dismissed. (Doundoulakis v Town of Hempstead, 42 NY2d 440; Rosenberg v Equitable Life Assur. Socy., 79 NY2d 663; Carmel Assocs. v Turner Constr. Co., 35 AD2d 157; Goslin v La Mora, 137 AD2d 941; Mikula v Duliba, 94 AD2d 503; Engel v Eureka Club, 137 NY 100; Morris v Freudenheim, 168 Misc 2d 417; Welbilt Corp. v State of New York, 80 Misc 2d 439; Waite v American Airlines, 73 F Supp 2d 349; Beck v Woodward Affiliates, 226 AD2d 328.) III. The Madison Avenue cases are factually distinguishable and therefore do not bear upon whether plaintiff is entitled to recover purely economic loss. (Hanley v Central Sav. Bank, 255 App Div 542, 280 NY 734; 532 Madison Ave. Gourmet Foods v Finlandia Ctr., 271 AD2d 49.)

Plunkett & Jaffe, P. C., New York City (Justin E. Driscoll, III, of counsel), for Universal Builders Supply, Inc., respondent in the third above-entitled action.

I. The court below properly affirmed the lower court’s dismissal of the cause of action for negligence under the economic loss rule: there can be no recovery in tort for purely economic harm where plaintiff has alleged neither physical injury nor property damage. (Strauss v Belle Realty Co., 65 NY2d 399; Pulka v Edelman, 40 NY2d 781; Matter of Kinsman Tr. Co., 388 F2d 821; Schiavone Constr. Co. v Mayo Corp., 81 AD2d 221, 56 NY2d 667; Beck v FMC Corp., 53 AD2d 118; Key Intl. Mfg. v Morse/Diesel, Inc., 142 AD2d 448; Plancher v Gladstein, 143 AD2d 740.) II. The court below properly held that the construction of 4 Times Square was not an “abnormally dangerous activity,” and should not be subject to “heightened standards of liability.” (Bocre *286 Leasing Corp. v General Motors Corp., 84 NY2d 685; 7 World Trade Co. v Westinghouse Elec. Corp., 256 AD2d 263; Strauss v Belle Realty Co., 65 NY2d 399; Doundoulakis v Town of Hempstead, 42 NY2d 440; Carmel Assocs. v Turner Constr. Co., 35 AD2d 157; Spano v Perini Corp., 25 NY2d 11.) III. The decision of the court below in the Madison Avenue cases is consistent with the opinion below in this case. (5th Ave. Chocolatiere v 540 Acquisition Co., 272 AD2d 23; 532 Madison Ave. Gourmet Foods v Finlandia Ctr., 271 AD2d 49.)

OPINION OF THE COURT

Chief Judge Kaye.

The novel issues raised by these appeals — arising from construction-related disasters in midtown Manhattan — concern first, a landholder’s duty in negligence where plaintiffs’ sole injury is lost income and second, the viability of claims for public nuisance.

Two of the three appeals involve the same event. On December 7, 1997, a section of the south wall of 540 Madison Avenue, a 39-story office tower, partially collapsed and bricks, mortar and other material fell onto Madison Avenue at 55th Street, a prime commercial location crammed with stores and skyscrapers. The collapse occurred after a construction project, which included putting 94 holes for windows into the building’s south wall, aggravated existing structural defects. New York City officials directed the closure of 15 heavily trafficked blocks on Madison Avenue — from 42nd to 57th Street — as well as adjacent side streets between Fifth and Park Avenues. The closure lasted for approximately two weeks, but some businesses nearest to 540 Madison remained closed for a longer period.

In 532 Madison Ave. Gourmet Foods v Finlandia Ctr., plaintiff operates a 24-hour delicatessen one-half block south of 540 Madison, and was closed for five weeks. The two named plaintiffs in the companion case, 5th Ave. Chocolatiere v 540 Acquisition Co., are retailers at 510 Madison Avenue, two blocks from the building, suing on behalf of themselves and a putative class of “all other business entities, in whatever form, including but not limited to corporations, partnerships and sole proprietorships, located in the Borough of Manhattan and bounded geographically on the west by Fifth Avenue, on the east by Park Avenue, on the north by 57th Street and on the South by 42nd Street.” Plaintiffs allege that shoppers and *287others were unable to gain access to their stores during the time Madison Avenue was closed to traffic. Defendants in both cases are Finlandia Center (the building owner), 540 Acquisition Company (the ground lessee) and Manhattan Pacific Management (the managing agent).

On defendants’ motions in both cases, Supreme Court dismissed plaintiffs’ negligence claims on the ground that they could not establish that defendants owed a duty of care for purely economic loss in the absence of personal injury or property damage, and dismissed the public nuisance claims on the ground that the injuries were the same in kind as those suffered by all of the businesses in the community. In 5th Ave. Chocolatiere, plaintiffs’ additional claims for gross negligence and negligence per se were dismissed on the ground that plaintiffs could not establish a duty owed by defendants, and their private nuisance cause of action was dismissed on the ground that they could not establish either intentional or negligent wrongdoing.

Goldberg Weprin & Ustin v Tishman Constr. involves the July 21, 1998 collapse of a 48-story construction elevator tower on West 43rd Street between Sixth and Seventh Avenues — the heart of bustling Times Square. Immediately after the accident, the City prohibited all traffic in a wide area of midtown Manhattan and also evacuated nearby buildings for varying time periods. Three actions were consolidated — one by a law firm, a second by a public relations firm and a third by a clothing manufacturer, all situated within the affected area. Plaintiff law firm sought damages for economic loss on behalf of itself and a proposed class “of all persons in the vicinity of Broadway and 42nd Street, New York, New York, whose businesses were affected and/or caused to be closed” as well as a subclass of area residents who were evacuated from their homes. Plaintiff alleged gross negligence, strict liability, and public and private nuisance.

Noting the enormity of the liability sought, including recovery by putative plaintiffs as diverse as hot dog vendors, taxi drivers and Broadway productions, Supreme Court concluded that the failure to allege personal injury or property damage barred recovery in negligence. The court further rejected recovery for strict liability, and dismissed both the public nuisance claim (because plaintiff was unable to show special damages) and the private nuisance claim (because plaintiff could not show that the harm threatened only one person or relatively few).

*288The Appellate Division affirmed dismissal of the Goldberg Weprin complaint, concluding that, absent property damage, the connection between defendants’ activities and the economic losses of the purported class of plaintiffs was “too tenuous and remote to permit recovery on any tort theory” (275 AD2d 614). The court, however, reinstated the negligence and public nuisance claims of plaintiffs 532 Madison and 5th Ave. Chocolatiere, holding that defendants’ duty to keep their premises in reasonably safe condition extended to “those businesses in such close proximity that their negligent acts could be reasonably foreseen to cause injury” (which included the named merchant plaintiffs) (272 AD2d 23) and that, as such, they established a special injury distinct from the general inconvenience to the community at large. Two Justices dissented, urging application of the “economic loss” rule, which bars recovery in negligence for economic damage absent personal injury or property damage. The dissenters further concluded that the public nuisance claims were properly dismissed because plaintiffs could not establish special injury.

We now reverse in 532 Madison and 5th Ave. Chocolatiere and affirm in Goldberg Weprin & Ustin.

Plaintiffs’ Negligence Claims

Plaintiffs contend that defendants owe them a duty to keep their premises in reasonably safe condition, and that this duty extends to protection against economic loss even in the absence of personal injury or property damage. Defendants counter that the absence of any personal injury or property damage precludes plaintiffs’ claims for economic injury.1

The existence and scope of a tortfeasor’s duty is, of course, a legal question for the courts, which “fix the duty point by balancing factors, including the reasonable expectations of parties and society generally, the proliferation of claims, the likelihood of unlimited or insurer-like liability, disproportionate risk and reparation allocation, and public policies affecting the expansion or limitation of new channels of liability” (Hamilton v Beretta U.S.A. Corp., 96 NY2d 222, 232 [quoting Palka v Ser *289 vicemaster Mgt. Servs. Corp., 83 NY2d 579, 586]). At its foundation, the common law of torts is a means of apportioning risks and allocating the burden of loss. In drawing lines defining actionable duty, courts must therefore always be mindful of the consequential, and precedential, effects of their decisions.

As we have many times noted, foreseeability of harm does not define duty (see, e.g., Pulka v Edelman, 40 NY2d 781, 785). Absent a duty running directly to the injured person there can be no liability in damages, however careless the conduct or foreseeable the harm. This restriction is necessary to avoid exposing defendants to unlimited liability to an indeterminate class of persons conceivably injured by any negligence in a defendant’s act.

A duty may arise from a special relationship that requires the defendant to protect against the risk of harm to plaintiff (see, e.g., Eiseman v State of New York, 70 NY2d 175, 187-188). Landowners, for example, have a duty to protect tenants, patrons and invitees from foreseeable harm caused by the criminal conduct of others while they are on the premises, because the special relationship puts them in the best position to protect against the risk (see, e.g., Nallan v Helmsley-Spear, Inc., 50 NY2d 507, 518-519). That duty, however, does not extend to members of the general public (see, Waters v New York City Hous. Auth., 69 NY2d 225, 229). Liability is in this way circumscribed, because the special relationship defines the class of potential plaintiffs to whom the duty is owed.

In Strauss v Belle Realty Co. (65 NY2d 399) we considered whether a utility owed a duty to a plaintiff injured in a fall on a darkened staircase during a citywide blackout. While the injuries were logically foreseeable, there was no contractual relationship between the plaintiff and the utility for lighting in the building’s common areas. As a matter of policy, we restricted liability for damages in negligence to direct customers of the utility in order to avoid crushing exposure to the suits of millions of electricity consumers in New York City and Westchester.

Even closer to the mark is Milliken & Co. v Consolidated Edison Co. (84 NY2d 469), in which an underground water main burst near 38th Street and 7th Avenue in Manhattan. The waters flooded a subbasement where Consolidated Edison maintained an electricity supply substation, and then a fire broke out, causing extensive damage that disrupted the flow of electricity to the Manhattan Garment Center and interrupting *290the biannual Buyers Week. Approximately 200 Garment Center businesses brought more than 50 lawsuits against Con Edison, including plaintiffs who had no contractual relationship with the utility and who sought damages solely for economic loss. Relying on Strauss, we again held that only those persons contracting with the utility could state a cause of action. We circumscribed the ambit of duty to avoid limitless exposure to the potential suits of every tenant in the skyscrapers embodying the urban skyline.

A landowner who engages in activities that may cause injury to persons on adjoining premises surely owes those persons a duty to take reasonable precautions to avoid injuring them (see, e.g., Weitzmann v Barber Asphalt Co., 190 NY 452, 457). We have never held, however, that a landowner owes a duty to protect an entire urban neighborhood against purely economic losses. A comparison of Beck v FMC Corp. (53 AD2d 118, 121, affd 42 NY2d 1027) and Dunlop Tire & Rubber Corp. v FMC Corp. (53 AD2d 150, 154-155) is instructive. Those cases arose out of the same incident: an explosion at defendant FMC’s chemical manufacturing plant caused physical vibrations, and rained stones and debris onto plaintiff Dunlop Tire’s nearby factory. The blast also caused a loss of electrical power — by destroying towers and distribution lines owned by a utility — to both Dunlop Tire and a Chevrolet plant located one and one-half miles away. Both establishments suffered temporary closure after the accident. Plaintiffs in Beck were employees of the Chevrolet plant who sought damages for lost wages caused by the plant closure. Plaintiff Dunlop Tire sought recovery for property damage emanating from the blast and the loss of energy, and lost profits sustained during the shutdown.

In Dunlop Tire, the Appellate Division observed that, although part of the damage occurred from the loss of electricity and part from direct physical contact, defendant’s duty to plaintiffs was undiminished. The court permitted plaintiffs to seek damages for economic loss, subject to the general rule requiring proof of the extent of the damage and the causal relationship between the negligence and the damage. The Beck plaintiffs, by contrast, could not state a cause of action, because, to extend a duty to defendant FMC would, “like the rippling of the waters, [go] far beyond the zone of danger of the explosion,” to everyone who suffered purely economic loss (Beck v FMC Corp., 53 AD2d, at 121, supra).

Plaintiffs’ reliance on People Express Airlines v Consolidated Rail Corp. (100 NJ 246, 495 A2d 107) is misplaced. There, a *291fire started at defendant’s commercial freight yard located across the street from plaintiffs airport offices. A tank containing volatile chemicals located in the yard was punctured, emitting the chemicals and requiring closure of the terminal because of fear of an explosion. Allowing the plaintiff to seek damages for purely economic loss, the New Jersey court reasoned that the extent of liability and degree of foreseeability stand in direct proportion to one another: the more particular the foreseeability that economic loss would be suffered as a result of the defendant’s negligence, the more just that liability be imposed and recovery permitted. The New Jersey court acknowledged, however, that the presence of members of the public, or invitees at a particular plaintiffs business, or persons traveling nearby, while foreseeable, is nevertheless fortuitous, and the particular type of economic injury that they might suffer would be hopelessly unpredictable. Such plaintiffs, the court recognized, would present circumstances defying any appropriately circumscribed orbit of duty. We see a like danger in the urban disasters at issue here, and decline to follow People Express.

Policy-driven line-drawing is to an extent arbitrary because, wherever the line is drawn, invariably it cuts off liability to persons who foreseeably might be plaintiffs. The Goldberg Weprin class, for example, would include all persons in the vicinity of Times Square whose businesses had to be closed and a subclass of area residents evacuated from their homes; the 5th Ave. Chocolatiere class would include all business entities between 42nd and 57th Streets and Fifth and Park Avenues. While the Appellate Division attempted to draw a careful boundary at storefront merchant-neighbors who suffered lost income, that line excludes others similarly affected by the closures — such as the law firm, public relations firm, clothing manufacturer and other displaced plaintiffs in Goldberg Weprin, the thousands of professional, commercial and residential tenants situated in the towers surrounding the named plaintiffs, and suppliers and service providers unable to reach the densely populated New York City blocks at issue in each case.

As is readily apparent, an indeterminate group in the affected areas thus may have provable financial losses directly traceable to the two construction-related collapses, with no satisfactory way geographically to distinguish among those who have suffered purely economic losses (see also, Matter of Kinsman Tr. Co., 388 F2d 821, 825 n 8). In such circumstances, limiting the scope of defendants’ duty to those who have, as a *292result of these events, suffered personal injury or property damage — as historically courts have done — affords a principled basis for reasonably apportioning liability.

We therefore conclude that plaintiffs’ negligence claims based on economic loss alone fall beyond the scope of the duty owed them by defendants and should be dismissed.2

Plaintiffs’ Public Nuisance Claims

Plaintiffs contend that they stated valid causes of action for public nuisance, alleging that the collapses forced closure of their establishments, causing special damages beyond those suffered by the public.

A public nuisance exists for conduct that amounts to a substantial interference with the exercise of a common right of the public, thereby offending public morals, interfering with the use by the public of a public place or endangering or injuring the property, health, safety or comfort of a considerable number of persons. A public nuisance is"a violation against the State and is subject to abatement or prosecution by the proper governmental authority (Copart Indus. v Consolidated Edison Co., 41 NY2d 564, 568).

A public nuisance is actionable by a private person only if it is shown that the person suffered special injury beyond that suffered by the community at large (see, Burns Jackson Miller Summit & Spitzer v Lindner, 59 NY2d 314, 334 [citing Restatement (Second) of Torts § 821C, comment 6]). This principle recognizes the necessity of guarding against the multiplicity of lawsuits that would follow if everyone were permitted to seek redress for a wrong common to the public (Restatement [Second] of Torts § 821C, comment a; Prosser, Private Action for Public Nuisance, 52 Va L Rev 997, 1007 [1966]).

A nuisance is the actual invasion of interests in land, and it may arise from varying types of conduct (Copart Indus. v Consolidated Edison Co., 41 NY2d, at 569, supra). In the cases before us, the right to use the public space around Madison Avenue and Times Square was invaded not only by the building collapses but also by the City’s decision, in the interest of public safety, to close off those areas. Unlawful obstruction of a *293public street is a public nuisance, and a person who as a consequence sustains a special loss may maintain an action for public nuisance (Callarian v Gilman, 107 NY 360, 370). Indeed, “in a populous city, whatever unlawfully turns the tide of travel from the sidewalk directly in front of a retail store to the opposite side of the street is presumed to cause special damage to the proprietor of that store, because diversion of trade inevitably follows diversion of travel” (Flynn v Taylor, 127 NY 596, 600).

The question here is whether plaintiffs have suffered a special injury beyond that of the community so as to support their damages claims for public nuisance (see, Graceland Corp. v Consolidated Laundries Corp., 7 AD2d 89, 91, affd 6 NY2d 900). We conclude that they have not.

In Burns Jackson we refused to permit a public nuisance cause of action by two law firms seeking damages for increased expenses and lost profits resulting from the closure of the New York City transit system during a labor strike. We concluded that, because the strike was so widespread, every person, firm and corporation conducting a business or profession in the City suffered similar damage and thus the plaintiffs could not establish an injury different from that of the public at large.

While not as widespread as the transit strike, the Madison Avenue and Times Square closures caused the same sort of injury to the communities that live and work in those extraordinarily populous areas. As the trial court in Goldberg Weprin & Ustin pointed out, though different in degree, the hot dog vendor and taxi driver suffered the same kind of injury as the plaintiff law firm. Each was impacted in the ability to conduct business, resulting in financial loss. When business interference and ensuing pecuniary damage is “so general and widespread as to affect a whole community, or a very wide area within it, the line is drawn” (Prosser, supra, at 1015). While the degree of harm to the named plaintiffs may have been greater than to the window washer, per diem employee or neighborhood resident unable to reach the premises, in kind the harm was the same.

Leo v General Elec. Co. (145 AD2d 291) is inapposite. In Leo, the Appellate Division recognized a private right of action by plaintiff commercial fishermen who contended that defendant’s pollution of the Hudson River with toxic polychlorinated biphenyls (commonly known as PCBs), created a public nuisance that had a devastating effect on their ability to earn a living. *294Plaintiffs were able to establish that their injuries were special and different in kind, not merely in degree: a loss of livelihood was not suffered by every person who fished the Hudson. By contrast, every person who maintained a business, profession or residence in the heavily populated areas of Times Square and Madison Avenue was exposed to similar economic loss during the closure periods. Thus, in that the economic loss was “common to an entire community and the plaintiff [s] suffer [ed] it only in a greater degree than others, it is not a different kind of harm and the plaintifffs] cannot recover for the invasion of the public right” (Restatement [Second] of Torts § 821C, comment h).

Accordingly, in 532 Madison Ave. Gourmet Foods v Finlandia Ctr., the order of the Appellate Division should be reversed, with costs, the defendants’ motion to dismiss the complaint granted and the certified question answered in the negative. In 5th Ave. Chocolatiere v 540 Acquisition Co., the order of the Appellate Division should be reversed, with costs, the defendants’ motion to dismiss the complaint granted in its entirety and the certified question answered in the negative. In Goldberg Weprin & Ustin v Tishman Constr., the order of the Appellate Division, insofar as appealed from, should be affirmed, with costs.

Judges Smith, Levine, Ciparick, Wesley, Rosenblatt and Graffeo concur.

In 532 Madison Ave. Gourmet Foods v Finlandia Ctr.: Order reversed, etc.

In 5th Ave. Chocolatiere v 540 Acquisition Co.: Order reversed, etc.

In Goldberg Weprin & Ustin v Tishman Constr. Corp.: Order, insofar as appealed from, affirmed, with costs.

4.5.2 Alaimo v. Town of Fort Ann ("The Broken Dam Case") 4.5.2 Alaimo v. Town of Fort Ann ("The Broken Dam Case")

This case is in many ways like the previous case, Finlandia. Should it come out the same? Does it? What facts make the difference?

Ann Marie Alaimo et al., Respondents-Appellants, v Town of Fort Ann et al., Apellants-Respondents.

[883 NYS2d 321]

Lahtinen, J.

Cross appeals from an order of the Supreme Court (Krogmann, J.), entered March 21, 2008 in Washington County, which, among other things, partially denied defendants’ motions to dismiss the complaint.

The Hadlock Pond dam, which had just been reconstructed, failed catastrophically on July 2, 2005. Hadlock Pond is located in the Town of Fort Ann, Washington County, and is created by a dam owned by defendant Town of Fort Ann. The original dam was constructed in the late 1800s, with subsequent repair and replacement over the years. The cost of maintaining and operating the dam is reportedly paid from revenue received from a separate taxing district (Lake Hadlock Park District), which is comprised of owners with frontage on or access rights to the pond. An apparent problem with the dam’s spillway resulted in the subject reconstruction project, which was allegedly completed in the spring of 2005. Shortly thereafter, the dam failed and numerous lawsuits ensued. In those actions, it was asserted that the plans were designed by defendant HTE Northeast, Inc., the work was performed by defendant Kubricky Construction Corporation and the materials were tested by defendant Atlantic Testing Laboratories, Ltd-

Plaintiffs, owners from the Lake Hadlock Park District, al*1482leged, among other things, causes of action in negligence and nuisance. While these upstream owners did not suffer the type of damages from sudden rushing water sustained by owners of property located downstream from the dam, they nonetheless asserted various damages including loss of use of the pond and damage to their property. Defendants moved to dismiss the complaint for failure to state a cause of action. Plaintiffs opposed the motions and cross-moved for leave to serve an amended complaint adding a cause of action alleging that they were third-party beneficiaries of the Town’s contracts with other defendants. Supreme Court dismissed one cause of action (the third cause of action which was premised upon ECL 15-0507), limited the nuisance cause of action and otherwise denied defendants’ motions. Plaintiffs’ cross motion to amend was also denied. Defendants appeal and plaintiffs cross-appeal.

We consider first defendants’ appeal, in which they argue that they did not owe a duty to plaintiffs—upstream owners—and, accordingly, that the action should have been dismissed in its entirety. Procedurally, defendants’ appeal involves a CPLR 3211 motion to dismiss, where “the court will ‘accept the facts as alleged in the complaint as true [and] accord plaintiffs the benefit of every possible favorable inference’ ” (Nonnon v City of New York, 9 NY3d 825, 827 [2007], quoting Leon v Martinez, 84 NY2d 83, 87-88 [1994]). “[T]he dispositive inquiry is whether [plaintiffs have] a cause of action and not whether one has been stated, i.e., ‘whether the facts as alleged fit within any cognizable legal theory’ ” (IMS Engrs.-Architects, P.C. v State of New York, 51 AD3d 1355, 1356 [2008], lv denied 11 NY3d 706 [2008], quoting Leon v Martinez, 84 NY2d at 87-88).

While the scope of duty presents a legal question involving the weighing of a variety of factors (see 532 Madison Ave. Gourmet Foods v Finlandia Ctr., 96 NY2d 280, 288 [2001]; Polka v Servicemaster Mgt. Servs. Corp., 83 NY2d 579, 585 [1994]), defendants have framed the duty issue for purposes of their CPLR 3211 motions as dependent upon whether plaintiffs sustained only economic damages and they rely heavily upon a case where, in the wake of construction accidents that temporarily closed sections of New York City, the Court of Appeals drew the line demarcating the scope of duty to include those who sustained personal injuries or property damage, but did not extend a duty to businesses suffering solely economic loss (532 Madison Ave. Gourmet Foods v Finlandia Ctr., 96 NY2d at 290-292). One weighty factor in that case was the potential for broadly expansive liability to an indeterminate class of persons (id. at 289-291), a factor which defendants urge can be *1483analogized to the facts at hand. However, crucial distinctions keep the reins of liability more taut in the current case. First, plaintiffs are a determinable group limited to those who pay a special tax to maintain the dam and either own property adjoining the pond or have rights to use it. Second, accepting as true all facts asserted by plaintiffs, as we must at this procedural juncture (see IMS Engrs.-Architects, P.C. v State of New York, 51 AD3d at 1356), there are sufficient allegations that plaintiffs sustained legally recognized property damages to avoid dismissal.

With regard to the potential property damages sustained by plaintiffs, we initially note that water rights generally constitute property rights (see e.g. Matter of Van Etten v City of New York, 226 NY 483, 486-487 [1919]; Matter of Niagara Mohawk Power Corp. v Cutler, 109 AD2d 403, 405 [1985], affd 67 NY2d 812 [1986]; 78 Am Jur 2d, Waters § 35). Judge Cardozo has instructed that “[t]he law of water rights is not an inflexible body of precedent” (Howard v City of Buffalo, 211 NY 241, 263 [1914]). While the rights of owners bordering a pond or lake created by a dam are generally not the same as the riparian (or littoral) rights of those adjoining a natural body of water, the circumstances surrounding the creation and use of an artificial body of water may under some circumstances give rise to rights similar to owners of property on the shoreline of a natural body of water (see Alderson v Fatlan, 231 Ill 2d 311, 319-323, 898 NE2d 595, 600-602 [2008]; Tarlock, Water Rights & Resources §§ 3:25, 3:26 [2008]; cf. City of Syracuse v Stacey, 169 NY 231, 245 [1901] [“the value of water depends largely upon surrounding circumstances”]). “Simply put, in some cases, where the usage of the artificial body of water has long been settled, it may be appropriate to treat the artificial body as the legal equivalent of a natural one” (Alderson v Fatlan, 231 Ill 2d at 322, 898 NE2d at 602; see Hammond v Antwerp Light & Power Co., 132 Misc 786, 797-798 [1928]; cf. Townsend v McDonald, 12 NY 381, 390 [1855]).

Some of the relevant circumstances here include a pond that was reportedly created over 100 years ago. Plaintiffs pay a separate tax to one defendant (the Town) for the alleged specific purpose of keeping the dam maintained and the pond intact. They assert that the pond greatly enhances the value of their property. That enhancement is allegedly directly related to the recreational opportunities and scenic setting provided by the pond created by the dam. Plaintiffs have set forth sufficient allegations to raise an issue as to whether their property should be treated as having rights similar to those upon a natural body *1484of water. The temporary loss of that pond can give rise to a cognizable claim. We agree with Supreme Court that dismissal for failure to state a cause of action is not appropriate.*

We turn to the issues raised by plaintiffs in their cross appeal. They contend that Supreme Court erred in holding that ECL 15-0507 does not confer a private cause of action. A dam owner who violates ECL 15-0507 (1) may be penalized (see ECL 71-1109 [1]), but only the Attorney General is specifically authorized to bring an action to recover those penalties (see ECL 71-1127 [1], [2]). The Second Department has held, with regard to another duty imposed by ECL article 15 (see ECL 15-1947 [2]) which is enforceable via ECL 71-1127, that a private cause of action was not created (see Nowak v Madura, 304 AD2d 733, 733 [2003]). We are unpersuaded that the statutory scheme supports a different result for ECL 15-0507 (see generally Sheehy u Big Flats Community Day, 73 NY2d 629, 633-635 [1989]).

Plaintiffs further argue that they should have been permitted to serve a second amended complaint adding a third-party beneficiary cause of action. “It is well settled that a motion to amend the complaint is addressed to the sound discretion of the court and, in the absence of a clear abuse of such discretion, the determination will not be disturbed on appeal” (Aiello v Manufacturers Life Ins. Co. of N.Y., 298 AD2d 662, 662 [2002], lv dismissed and denied 99 NY2d 575 [2003] [citation omitted]). On this record, Supreme Court acted within its discretion in concluding that the further amendment should not be permitted (see generally Fourth Ocean Putnam Corp. v Interstate Wrecking Co., 66 NY2d 38, 44-45 [1985]). The remaining arguments of the parties have been considered and found unavailing.

Spain, J.P, Malone Jr., Stein and Garry, JJ., concur. Ordered that the order is affirmed, without costs.

4.5.3 G.M.M. v. Kimpson ("The Ethnicity-based Lead Paint Case") 4.5.3 G.M.M. v. Kimpson ("The Ethnicity-based Lead Paint Case")

Tort damages seek to reflect how much damage was done by the defendant, but sometimes, how much damage was done will depend on the life circumstances of the plaintiff, such as his or her race or ethnicity. Is that fair? How does this court approach that problem?

G.M.M., a minor child by his mother and natural guardian, Niki HERNANDEZ-ADAMS, and Niki Hernandez-Adams, individually, Plaintiffs, v. Mark KIMPSON, Defendant.

No. 13-CV-5059.

United States District Court, E.D. New York.

Signed July 29, 2015.

*128Steven Kenneth Fránkel, Frankel, Rudder and Lowery, Stephen M. Cantor, Stephen M. Cantor, P.C., New York, NY, for Plaintiffs.

Roger V. Archibald, Brooklyn, NY, for Defendant.

MEMORANDUM & ORDER

JACK B. WEINSTEIN, Senior District Judge:

Table of Contents

I.■ Introduction.. .........................................................128

II.Communities Disproportionately Harmed By Lead-Based Paint..............129

III. Facts..................................................................130

A Summary of Case ■ 130

B. Expert Testimony Regarding Ethnicity-Based Statistics 131

1. Plaintiffs’ Experts..................................;............131

2. Defendant’s Expert...... 135

IV. The McMillan Rule.....................................................135

A. Law 135

1. The Case..............'.........................................135

2. Scholarship ...;..........................;....................140

a. Use of Minority-Specific Data in Tort Cases....................140

b. Use of Minority-Specific Data in Lead-Based Paint Cases........142

3. Race and Éthriicity.......................................'.......143

a. United States Census........................................143

b. Critiques of Census Practices............................. 146

B. Application .....148

V. Life, Worklife, and Educational Attainment Expectancy Tables...............149

A History 149

B. Law _ .....151 '

_ C. Application ' .....152

VI.Categorical Advantages Afforded to Members of Historically Disadvantaged Minorities Not .Inconsistent with Excluding Evidence of Race or Ethnicity Where Appropriate............................................ 154

A. Law .....155

B. Application 157

VII.Constitutional Requirements Supplementing Rule 403 of the Federal Rules' , of Evidence..........................................................157

VIII.Conclusion.............................................................159

I. Introduction

Posed is the question: can statistics based on the ethnicity (in this case, “Hispanic”) of a child be relied upon to find a reduced likelihood of his obtaining higher ' *129education, resulting in reduced damages in a tort case? The answer is no.

A mother suing on behalf of herself and her child claimed injury to the infant’s central nervous system caused by his absorption of lead dust. The defendant was the owner and lessor of the apartment the plaintiffs lived in during thé child’s gestation, birth, and first year of life. The apartment, the jury found, contained lead-based paint that had not been properly removed or encapsulated. The total verdict in favor of plaintiffs was $2,005,000.

When .the case was tried, the child was less than four years old. A critical factor in determining damages required ascertaining the infant’s prospects for obtaining postsecondary education degrees had he not suffered from lead poisoning. In contesting damages, defendant’s attorney attempted to show, through the use of expert economic testimony, statistics and cross-examination of the plaintiffs’ experts, that because the child was “Hispanic,” his likelihood of obtaining a Bachelor, Master, or Doctoral 'degree, and any corresponding elevated income, was improbable.

The father has a baccalaureate degree, the mother has a Master of Fine Arts; both held responsible income-generating jobs; the family was stable; and the parents were caring. Based upon his specific family background, had the child not been injured, there was a high probability of superior educational attainment and corresponding high earnings. Treated by experts as a “Hispanic,” his potential, based on the education and income of “average ‘Hispanics’ in the United States,” was relatively low.

At trial, the court ruled that, for the purposes of projecting damages, the specific characteristics of the child and his family, rather than the characterization of the child as a member of a particular ethnic group, must be used in determining damages. The ruling was based on the same constitutional and other factors relied upon in McMillan v. City of New York, 253 F.R.D. 247 (E.D.N.Y.2008). That case held that statistical evidence used to prove that a spinal cord-injured “African-American” was likely to survive for fewer years than occidental persons with similar injuries violated the equal protection and due process clauses of the United States Constitution, and was inadmissible in computing life expectancy and damages.

II. Communities Disproportionately Harmed By Lead-Based Paint

Lead-based paint is the primary means by which children are exposed to leád. See Center for Disease Control and Prevention (“CDC”), Preventing Lead Poisoning in Young Children 1, 4 (2005), http:// www.cdc.gov/ncehAead/publications/Prev LeadPoisoning.pdf (last visited July 28, 2015). Lead poisoning is often caused by ingesting paint chips or dust, likely to be found in older buildings in low-income neighborhoods. See CDC, Managing Elevated Blood Lead Levels in Young Children 4, 17 (2002), http://www.cdc.gov/nceh/ lead/casemanagement/managingEBLLs. pdf (last visited July 28,2015).

Lead paint poisoning, while dangerous for everyone, tends to manifest itself primarily in young children. Not only are young children more likely than adults to ingest lead paint, but children’s bodies are particularly susceptible — biologically and developmental^ — to the effects of lead paint. The poisoned population has other defining-characteristics, namely that the young children are generally members of minorities from low-income families. Such families often oc-: cupy the older, deteriorating urban housing where lead paint remains prevalent. Their children have high risks of *130exposure to lead paint, especially since the severity of the physical and psychological effects of lead paint depends oh the amount of lead paint ingested. .

Laura Greenberg, Compensating the Lead Poisoned Child: Proposals for Mitigating Discriminatory Damages Awards, 28 B.C. Envtl. Aff. L.Rev. 429, 431-32 (2001).

Because low-income and minority families are more likely to occupy older homes with lead-based paint, the majority of children poisoned by lead in the United States are poor African-American and Latino children. See Martha Chamabas & Jennifer B. Wriggins, The Measure of Injury: Race, Gender, and Tort Law 1, 138-53 (2010) (analyzing how tort law and lead-paint case damage awards demonstrate racial and ethnic bias in the judicial system); CDC, Using GIS to Assess and Direct Childhood Lead Poisoning Prevention: Guidance for State and Local Childhood Lead Poisoning Prevention Programs 1, 2 (2004), http://www.cdc.gov/nceh/lead/, publications/UsingGIS.pdf (last visited July 28, 2015) (concluding that children at greatest risk for lead poisoning are those whose families are poor and bve in substandard housing built before 1950, and that these children tend to be “African-American” or of “Hispanic” ethnicity); see also CDC, Surveillance for Elevated Blood Levels Among Children-United States 1997-2001, 52 Morbidity and Mortality Weekly Report No. ss-10 at 5 (2003) (discussing the lasting harms of lead exposure on children and the preventative measures taken to reduce such exposure); James L. Pirkle, Exposure of the US. Population to Lead, 106 Envtl. Health Perspectives !, 11 (1998) (asserting new efforts must address the difficult problem of lead paint exposure, especially in older houses, as web as lead in dust and' soil to remedy the prevalence of elevated blood-lead levels in chb-dren); Debra Brody et al, Blood Lead Levels in the U.S, Population, 272 J. Am. Med. Ass’n 277, 279 (1994) (highlighting how exposure to lead at levels that may adversely affect the health of children remains a problem especially for those who are minority, urban, and from low-income families).

The building containing plaintiffs’ apartment was old. See Jury Instructions and Signed Verdict Sheet 6, July 10, 2015, ECF No. 83 (“Jury Instructions and Verdict”). It contained lead paint, which was, at least in part, covered by sheetroek or new paint installed by the landlord before the family moved in. See Trial Transcript (“Trial Tr.”) 677:15-678:5, July 6, 2015.

“Until recently, children were identified as having a blood lead ‘level of concern’ ” if their blood-lead test resulted in “10 or more micrograms per decibter of lead in blood.” CDC, Lead, Update on Blood Lead Levels in Children, http://www.cdc. gov/nceh/lead/ACCLPP/blood_lead_levels. htm (last visited July 28, 2015)., In expanding protection against this serious health danger, the CDC now suggests professional monitoring of children with five micrograms per deciliter of lead in the blood. Id.

The child in this case had almost ten micrograms per deciliter of lead in his blood. See Trial Tr. 344:8-13, June 30, 2015.

III. Facts

A. Summary of Case

This case was tried by a jury. See G.M.M. v. Kimpson, 92 F.Supp.3d 53, 60-61, No. 13-CV-5059, 2015 WL 1285704, at *5 (E.D.N.Y. Mar. 19, 2015) (denying plaintiffs’ motion for summary judgment and holding that fact issues existed as to whether landlord’s renovation encapsulated paint and whether exposure to lead caused infant’s condition). After a two-*131week trial with extensive expert testimony, the jury returned a verdict in favor of plaintiffs on three theories: that the defendant (1) violated the New York City Childhood Lead Poisoning Prevention Act; (2) was negligent; and (3) violated New York Real Property Law section 235-b, which provides for an implied warranty of habitability in residential leases. See Jury Instructions and Verdict 19.

The infant plaintiff, G.M.M., and his mother, Niki Hernandez-Adams, were tenants in the basement apartment located at 490 MacDonough Street in Brooklyn, New York. Id. at 6. They alleged that defendant Mark Kimpson, their landlord, and the owner of the three-family apartment house at that location, was liable for the infant’s elevated blood-lead levels. Id. This blood-lead level was first discovered by G.M.M.’s pediatrician when the infant was one year old. Id.

Defendant argued that he had sufficiently encapsulated the hazardous lead-based paint in the apartment. Id. at 7. He contended that plaintiffs’ dog severely scratched the walls and the moldings in the apartment, releasing lead dust. Id. He also maintained that the infant’s cognitive and behavioral difficulties resulted from other medical conditions of his mother during gestation. Id.

B. Expert Testimony Regarding Ethnicity-Based Statistics

During trial, testimony regarding the future economic prospects of the child-plaintiff, had he not been poisoned with lead, were discussed by three experts: Dr. Kenneth William Reagles, plaintiffs’ forensic rehabilitation expert, Dr. Frank Tinari, plaintiffs’ forensic economist, and Dr. Bernard F. Lentz, defendant’s forensic economist.

1. Plaintiffs’ Experts

Dr. Reagles is a specialist in vocational rehabilitation and a retired professor of rehabilitation services at Syracuse University. See Trial Tr. 396:18-25, 397:15-17, June 30, 2015. He characterized his vocation as “render[ing] opinions about what a youngster might have become had [he] not become disabled. And then to contrast that with [his] circumstances presently and the barriers to education and employment that are confronted by individuals such as [G.M.M.].” Id. at 399:13-15, 399:20-25, June 30, 2015.

Reagles’ direct testimony predicted what the child would have become without the injury. He noted the general “Hispanic” background of the boy, but placed primary reliance on the parents’ specific backgrounds:

The first question is what would this child ha[ve] become had he not incurred neurological communication behavioral issues — Then the second question becomes, based upon the deficits that have been identified by the neuropsycholo-gists in particular as well as physicians and educational personnel, what other kinds of difficulties that he faces today?
[T]he first question was addressed by a standard methodology of predicting what individuals will become. And it is based upon, as you might expect, the educational and vocational accomplishments of parents and adults who are around a child during that developmental process. We know that adults have a profound influence on children with regard towards values, towards education and work.
[T]he first thing I did was to take a history from [G.M.M.’s] mom with regard to not only her family history, but also the father’s family history. I was particularly interested in what their edu*132cational accomplishments were, what their work has been. I was interested with regard to the parents specifically, whether both parents are present in the home, and they have been during the developmental process because, we know if one of the parents is not there, then the child faces some difficulties.
We look at such .things as the family income. We look at ethnicity became those are factors. And based upon those factors, [I was] able to render an opinion about what [G.M.M.] might have become had he not been impaired by the deficits that have been described by the neuro-psychologists and others[.] ...
... This is a family that has had some substantial educational accomplishments. I identified 14 individuals, grandparents, aunts and uncles and parents, for whom we knew the educational accomplishments.
Of those 14 individuals, a hundred percent of them , had graduated from high school.. 75 percent of them had had some college education. 60 percent of .them had completed baccalaureate degrees. And 30 percent of them had completed master’s, degrees. So here’s a family that if you look at that picture, you have a picture of not only educational accomplishment, but it may. be inferred positive values towards education.
... [T]he educational accomplishments of the parents can be used to predict the educational accomplishments of children .... [T]here are literally hundreds of studies that have been done to show the relationship between parental and family educational accomplishments and the educational accomplishments of children.
[T]he first opinion that I. was asked to render is what this child might have become had he not been rendered disabled. And it’s my opinion that based upon the evidence that I reviewed that this child would have been capable of a master’s degree, that is two years of study beyond a four-year college degree, and may have, been capable of what we call a professional degree, that would be a Ph.D....
... [W]e see children achieving higher levels of education, educational achievement, than their parents as a generality. . And it is particularly true in Hispanic families. And one of the reasons for that is that the Hispanic population is a relatively young population within the general fabric of our society. Many of them have been here for maybe one or two generations. And they came from backgrounds, many of them, without substantial educational histories.
So even ... within the Hispanic-population there is even a more pronounced tendency for their children to have higher levels of educational achievement than their parents.

Id. at 400:19-406:1, June 30, 2015 (emphasis added).

On cross-examination, defense counsel emphasized the low general educational backgrounds of the ethnic group he characterized as “Hispanics.”

Q ... Now, in coming up with [your] conclusion, did you look at national statistics in general" for males who attain master’s degrees and professional degrees, just in general of the population, all people considered, whether they be whites, blacks, Hispanics, Asians, just the entire population, the plurality of the population, did you look at that?
A I did take, that into consideration. And as I testified earlier, I was fo*133cused on the population of individuals whose ethnicity was Hispanic.
Q Okay. No, I understand that, but I just want to know if in your conclusions if that was .part of it, you looked at the whole population, correct?
A Well, when you say “the whole population,” I relied upon the normative information ... [and] the literally hundreds of other studies that have looked at the relationship not only of parental educational accomplishment but also divided by such factors as ethnicity, socioeconomic status, number of children in the household, whether both parents were present in the household.
Q My question is ... did you first look at what the general population is doing in terms of the attainment of-master’s degrees and professional degrees as a threshold matter? ....
A Yes, I did....
Q For example, in [one 2009] study, ... they are looking at males, just males, the entire male population, they are saying 41 percent of them had' bachelor’s degrees.... And then they had other tables, didn’t they? Didn’t they have tables that zeroed in on specific ethnicities, correct?
Isn’t it true, though, Dr. Reagles, that in those tables the attainment ofHispan-ics of attaining master’s degrees was in the neighborhood of 7.37 percent ?
Q Additionally, in terms of professional degrees, less than 2 percent of Hispanic males earned professional degrees. The exact number is 1.97 percent ____
Q Okay. So when you testified earlier that [G.M.M.] has a better than 70 percent chance of earning a master’s degree and a better than 50 percent chance of earning a professional degree, how do you come to that conclu■sion ... ?
A Well, again, that was my testimony, at the .time of our telephone conference. I revisited that particular model and concluded that I couldn’t rely. upon that model exclusively. I went back to the way that we have done this for years and years ... and utilized the correlational studies -that are in the literature that were cited in my report in arriving at the opinion not with regard to a percentage of probability, but an opinion that had this, the deficits not happened to [G.M.M.], that he would have been capable of achieving a master’s degree and perhaps even a professional degree.
Q [C]orrect me if I’m wrong now, but you look at the parents, but you also have to look at the ethnicity of the individual, right?
A Yes.
Q Their lifestyle, the salaries generated by the parents?
A Socioeconomics.
Q You have to go — it’s like an accordion and you’re going further and further out because you have to get all of that in .order to compress the accordion and get the probability quotient, correct? Would you agree with that assessment?
A With the correlation coefficient.
Q Okay. So in this particular case, ... would you say that it is a high probability, a medium probability or a low probability that [G.M.M.], a Hispanic male, will attain •a master’s degree?
AI think it is a moderately high proba- . bility that he would, based upon the *134 family circumstances that he came from, had this incident riot occurred, he would have had a moderately high probability of completing a master’s degree.
Q Now, you’re also agreeing with me with the figures that I delineated earlier regarding Hispanics in general and the attainment of master’s degrees and professional degrees, correct?

Id. at 417:19-43031, June 30, 2015 (emphasis added).

Precluding an answer, the court, on its own motion, ruled, excluding ethnicity as a factor in damages computations:

Excuse me. I won’t allow you to continue along those lines. Hispanics is too general a category.... You’ll have to be more definitive with respect to this particular family. We have professors as well as gardeners who are Hispanics, and I don’t believe that we ought to go forward in federal court with that assumption of uniformity....
Now, ladies and gentlemen, [addressing the jury] ... I am now instructing you that as a matter of constitutional and federal law, it is inappropriate where there is a case involving an individual with a Hispanic background to rely upon a table which is undifferentiated as to Hispanic individuals.

Id. at 430:23-431:7, 436:15-20, June 30, 2015 (emphasis added).

The court then inquired of the expert:

[I]f we struck from the information that you’re relying upon undifferentiated statistics with respect to, quote, Hispanics, unquote, in what way, if any, would your testimony be changed?

Id. at 436:24-437:2, June 30, 2015.

Dr. Reagles responded: “Not materially and substantially at all.” Id. at 437:11-12, June 30, 2015.

After the jury left the courtroom, the court explained that it was relying on its decision in McMillan v. City of New York, 253 F.R.D. 247 (E.D.N.Y.2008), and the case’s “[discussion of race sociology and statistics.” Id. at 441:11-14, June 30, 2015. Neither party objected to the ruling. Id. at 441:15-20, June 30, 2015.

On July 6, 2015, before plaintiffs’ separate economic expert, Dr. Tinari, took the stand, the court reminded the jury of its June 30, 2015 ruling, adding:

I am now instructing you that as a matter of constitutional and federal law it is inappropriate where there is a case involving an individual with a Hispanic background ... to rely upon ... assumptions by a witness [premised on ethnicity.]
You cannot treat the child as an average Hispanic but [may] only [treat] him with respect to his specific characteristics, such as the mother’s degree, where he is living, the kind of family he is coming from, et cetera____But you cannot say that, for example, Hispanics generally go to college less than others and therefore use that statistic or that analysis or that chart.

Trial Tr. 576:19-577:8, July 6, 2015 (emphasis added). Plaintiffs’ economic expert was then instructed as follows:

I’m instructing you now, doctor, that all your testimony with respect to your projections must be based on this direction I’m now giving to the jury[.]

Id. at 577:10-12, July 6, 2015.

The economic expert projected plaintiffs’ total future economic losses to be between *1352.5 and 4 million dollars. Id. at 561:13-16, July 6, 2015. He explained that he had “not included in [his] opinion any assumption of what an average Hispanic would do.” Id. at 578:3-5, July 6,2015.

2. Defendant’s Expert

Dr. Lentz was defendant’s forensic economist. See Trial Tr. 1128:5-11,19-21, July 8, 2015. He holds a doctorate in economics and has conducted research and taught at Virginia Tech, Ursinus College, the University of Pennsylvania, and Drexel University. Id. at 1129:25-1135:6, July 8, 2015. Dr. Lentz testified about his analysis of occupational inheritance and the plaintiff-child’s measure of economic loss. Id. at 1128:5-1174:22, July 8, 2015. He found that, because the child-plaintiff was “Hispanic,” his future economic loss of earnings was lower than that projected by plaintiffs’ forensic economist. See Trial Tr. 1140:15-1141:6, 1148:15-19, 1159:16-1160, July 8, 2015. The basis for the assessment was rooted in the following data:

Earning Capacity. According to the National Center for Education Statistics, 2.1 % of Hispanic males held a Master’s degree or better in 2013 while 13.1 % held a Bachelor’s or higher degrees. It can also be noted that 73.1 % of Hispanic males held a high school degree or better.

See Daubert Hr’g, Court Ex. 8-F at 5, June 22, 2015 (emphasis added).

The following colloquy took place between the court and Dr. Lentz:

THE COURT: [B]efore you testify, Doctor____I note that your report relies upon Hispanic males’ education statistics ....
THE WITNESS: Yes.
THE COURT: And Hispanic males’ academic achievements. THE WITNESS: Correct.
THE COURT: On the average.
THE WITNESS: Yes.
THE COURT: I have ruled that it is unconstitutional to base damages on the characteristics of a person injured as a[ ] Hispanic or a member of any other ethnic group. So all of your answers should be based upon individual characteristics and not the general characteristics of a group, ethnic group. Is that clear to you[?]
THE WITNESS: I believe so, sir.

Trial Tr. 1140:15-1141:6, July 8, 2015 (emphasis added).

Taking the court’s ruling into consideration, Dr. Lentz ultimately projected that if the plaintiff-child obtained a baccalaureate degree, his total future economic loss would amount to $2,509,542. Id. at 1160:2-6, July 8,2015. If he earned only a high school diploma, his total -future economic loss was projected at $1,384,776. Id. at 1160:7-12, July 8, 2015. A career pursued in the “arts and design” field after earning one or more postsecondary education degrees was estimated to yield $1,522, 067. Id. at 1159:16-23, July 8, 2015.

IV. The McMillan Rule

A. Law

1. The Case

McMillan ruled on the following question:

[W]hether ... “racially” based statistics and other compilations may be relied upon to find a shorter life expectancy for a person characterized as an “African-American,” than for one in the general American population of [multiracial] backgrounds.

McMillan, 253 F.R.D. at 248. The court held:

*136“Racially” based life expectancy and related data may not be utilized to find a reduced life expectancy for a claimant in computing damages based on predictions of life expectancy.

Id.

The case involved a claim by an “African-American” man. injured in the 2003 Staten Island Ferry crash. Id. “[Statistical evidence [had been] introduced suggesting that a spinal cord-injured African-American was likely to survive for fewer years than persons of other races with similar injuries.” Id. (citation omitted). Three arguments were made by the court in support of its decision to exclude race-based actuarial tables. Id. First, it pointed out that the tables were inadequate as a matter, of actuarial science because race is a biological fiction. Id. at 249-50. Second, it found that lifespan variations among races were attributable largely to socioeconomic status, not biology. Id. at 251-52. Third, it held that race-based actuarial tables violated the equal protection and due process clauses of the United States Constitution. Id. at 255-56.

McMillan’s full analysis is set out below because the “ethnicity” factor in the present case is treated in the same way as the “race” issue in McMillan.

I. Factual Unreliability of “Race”Based Statistics

... Reliance on “race”-based statistics in estimating life expectancy of individuals for purposes of calculating damages is not scientifically acceptable in our current heterogeneous population.... “[R]aee” is largely a social construct inappropriate in assessing damages, in a negligence suit.

A. “Race” as Biological Fiction

Franz Boas, [a] Columbia University [anthropologist, pointed out that “every classification of [human]kind must be more or less artificial;” he exposed much of the false cant of “racial” homogeneity when he declared that “no racial group is genetically pure.”
The ideology of race arose as a rationalization and justification for human slavery at a time when Western European societies were embracing philosophies promoting individual and human rights, liberty, democracy, justice, brotherhood, and equality.... Alexis de Tocqueville, ... an. early observer of American life[,] was among the first to recognize this conception of race, writing that “the existence of.innate and immutable racial characteristics is to be regarded with skepticism and theories founded upon such doctrine are mere rationalizations for slavery .and other forms of racial oppression.”
[An] , emphasis on identifying immutable differences between “racial” groups[] can be expected only to maintain and reinforce existing racial inequality, in that [ ] adherents [to classifications based on race] indirectly argue that no degree of government intervention or social change will alter the skills and abilities of different racial groups. The disproportionate representation of some “racial” groups ... among lower socioeconomic tiers can therefore be explained as an unavoidable byproduct of human evolution. Yet reinforcing this widely held social stereotype of racial inferiority risks limiting indmdual human potential, in that individuals’ abilities and opportunities would likely be assessed in relation'to their racial group.
... [I]t is difficult to pinpoint any “racial identity” of an individual through his or her genes. International gene mapping projects have only revealed variations in *137strings of DNA that correlate with geographic differences in phenotypes among humans around the world, the reality being that the diversity of human biology has little in common with socially constructed “racial” categories.
While “race” may be a social construct, many policymakers and courts insist that it remains a significant predictor of access to societal goods and resources. “Racial” and “ethnic” disparities in quality of health care, for example, remain substantial across a broad range of medical services. But those disparities are associated .with socioeconomic differences and tend to diminish significantly and, in a few cases, to disappear altogether when socioeconomic factors are controlled. By allowing the use of “race”-based life expectancy tables, which are based on historical data, courts are essentially reinforcing the underlying social inequalities of our, society rather than describing a significant biological difference.

B. Unreliability of “Racial” Categories

In 1977, the Office of Management and Budget (OMB) issued Statistical Policy Directive Number 15, “Race and Ethnic Standards for Federal Statistics and Administrative Reporting.” The directive established four “racial” categories (“American Indian or Alaskan Native,” “Asian or Pacific Islander,” “Black,” and “White”) for federal legislative, programmatic and administrative purposes. The OMB revised these standards in October of 1997, creating five groups instead of four by splitting “Asian” and “Native Hawaiian or Other Pacific Islander.” The 2000 census also added a sixth “racial” set, “Some Other Race,” and allowed responders to choose more than one category..:.
Despite the 2000 census’ more detailed self-categorization system, demographic studies that use pre-2000 census data continue to define “race” by using the 1977 OMB directive.
Life expectancy tables are .based on historical data and thus largely-rely on the OMB’s former archaic “racial” analysis. This means that-the tables frequently employed by ¡courts in determining- tort damages fail to account for the [United States’ multiracial society] —

C. Socio-Economic Status and “Race”

... While many sociologists, epidemiologists, and other researchers have noted the broad influence of race/ethnicity and socioeconomic position on functional status, active life expectancy, and mortality, the influence of socio-economic factors is often masked by “race.” Reliable studies have found that the relationships between socioeconomic position or race/ethnicity and health may be modi-fled by geographic influence and community conditions that contextualize and structure these relationships — [W]hile race-based mortality ratios and absolute risks are important, .there are clear limitations to their use as indicators of health, including the appropriateness and reliability of the “racial” and “ethnic” categories used in statistical analysis.
The impact of socio-economic status (SES) on life expectancy has long been recognized. Aside from baseline health, the next dominant explanation for the worse health outcomes for “Blacks” and “Hispanics” was SES. In contrast, health insurance and health behaviors explained little of the raeial/ethnic differences in health outcomes.
More, detailed investigations into the life expectancy gap between “White” and “Black” Americans have shown that life *138expectancy varies within “racial” groups by economic characteristics and geography. Given the significant impact of socio-economic factors, it is natural for courts to be concerned with the use of life expectancy tables that ignore important distinctions such as education, place of residency, and employment, collapsing all members of a “racial” group into a single number. Gross statistical tables do not answer the question: [for example] how does the life expectancy of well-off or middle-class “African-Americans” compare to that of poor “African-Americans?”
In a national study of twenty-three local areas, researchers found that “African-American” residents of advantaged urban areas have substantially higher life expectancies than their poor urban counterparts; in some cases their life expectancies approach the white national average. That study also found that “White” residents of urban poor areas have mortality profiles comparable to those of “Black” residents of poor rural areas and “Blacks” nationwide, and somewhat worse than residents of relatively advantaged “Black” urban areas. In fact, “African-Americans” residing in the advantaged population of New York City fare as well as “Whites” nationwide.
When determining tort damages based upon an injured individual’s future life span and potential needs, consideration must be given to the fact that changing a person’s socio-economic status may have an impact upon his or her life expectancy. While studies have found that expanding health insurance alone would not greatly impact the life expectancy or morbidity of individuals, it may well be that elevating a group of individuals from a lower socioeconomic class to a higher one would change their overall cause-of-death structure and enhance their health and lifespan____
The findings of the studies cited above reinforce the conclusion that despite a documented gap in life expectancy between “Black” and “White” Americans, the simple characterization of individuals as “Black” or “White” is not only misleading, it risks masking the complex interactions between a host of ... socioeconomic [and other] factors —

D. Legal Decisions on “Race”

A 1905 decision by a federal court in New York relied on “race”-based statistics and “racial” categories in reducing damages in an admiralty case. [See The Saginaw and The Hamilton, 139 F. 906 (S.D.N.Y.1905)]. Two steamships collided, resulting in the deaths of some passengers and crewmembers. Wrongful death actions were brought for six “Colored” and two “White” persons killed in the accident. Rejecting the use of standard mortality tables to predict the life expectancies of all the deceased, the court cited census data summarizing differences in “White” and “Colored” life expectancies in justifying its reduction of awards. At that time census respondents did not have the option of selecting more than one “race” to identify themselves. [O]n average The Saginaw court lowered the awards for the deaths of blacks ten percent more than the awards for the deaths of whites and the court slashed three of the awards for blacks by forty percent or more.
It should be noted in assessing [this case] that [it] was decided shortly after Plessy [v. Ferguson, 163 U.S. 537, 16 S.Ct. 1138, 41 L.Ed. 256 (1896)], approving “racial” segregation of “African-Americans.” Plessy’s “racial” basis was entirely rejected by Brown v. Board of *139 Education, 347 U.S. 483, 74 S.Ct. 686, 98 L.Ed. 873 (1954) ...

1.Future Earnings

Courts are increasingly troubled by “race”- and gender-based figures for calculating loss of future income. [In 2004,] [t]he district court [of Utah] ... noted that surprisingly the reported cases have almost completely neglected the question of whether to use sex- and “race”-neutral statistics. [See United States v. Bedonie, 317 F.Supp.2d 1285, 1315 (D.Utah 2004), aff'd sub nom., United States v. Serawop, 505 F.3d 1112 (10th Cir.2007).] After receiving an expert report (for restitution purposes) that reduced the estimate of lost income based on the fact that a victim was “Native American,” that court directed recalculation without regard to “race” or gender. Avoiding reaching any constitutional questions, the court chose to exercise its discretion in favor of victims of violent crime and against the possible perpetuation of inappropriate stereotypes, especially where the defendants have deprived their victims of the chance to excel in life beyond predicted statistical averages. The court ultimately utilized gender-and “race”-neutral figures in its findings.
[In 1991, the district court of the District of Columbia] refused to use “racial” statistics in calculating tort damages for loss of future income when the plaintiff was half “Black” and half “White.” [See Wheeler Tarpeh-Doe v. United States, 771 F.Supp. 427 (D.D.C.1991)]. The defendant argued that the wage earnings projections for “Black” men were the appropriate figures for the plaintiff, whose mother was “White” and father was “Black.” Apparently “race”-based life expectancy figures were not introduced in the case. The court held it inappropriate to incorporate current discrimination resulting in wage differences between the sexes or races or the potential for any future such discrimination into a calculation for damages resulting from lost wages. It used the average earnings of all persons.

2.Work-Life Expectancy

In an action for damages [brought] by an injured seaman [in the Western District of Louisiana], the plaintiff presented statistics on work-life expectancy modified to exclude “race” as a factor; the defendant challenged the increased work-life expectancy that resulted. [See Theodile v. Delmar Systems, Inc., No. 03-CV-1844, 2007 WL 2491808, at *8 (W.D.La.2007)]. The district court refused to upset the jury’s award in the “race”-neutral amount suggested by plaintiffs expert. [In 1987,] a[ ] district court [in Rhode Island] rejected an expert calculation that reduced a female tort victim’s estimated working life by 40% based on a historical statistic about the number of years females average in the workforce.
In administering the September 11th Victim Compensation Fund, Special Master Kenneth R. Feinberg based estimations of remaining years of work-life on the victim’s age, using statistics for the general population of active males in the United States for all claimants and ignoring “racial” differences.

3.Life Expectancy

In the context of Title VII, the Supreme Court noted that while actuarial studies could unquestionably identify differences in life expectancy based on race or national origin, as well as sex, Congress has outlawed classifications based on “race,” national origin, and sex. Thus, *140even a true generalization about the .class is an insufficient reason for disqualifying an individual to whom the generalization does not apply. “Racial” statistics present an. especially strong argument for exclusion, since, as already noted, the question of “race” is ambiguous, whereas gender is generally conceded.

II. Unconstitutionality of “Race” as a Criterion for Assessing Damages

A. Equal Protection

For half a century the Supreme Court has rejected on equal protection grounds “race”-based discrimination. [W]hen experts rely on race or gender-based statistics to calculate tort damages, we tend not to notice the discrimination and to accept it as natural and unproblematic. “Racial” classifications of individuals. are suspect categories, meaning that state action in reliance on “race”-based statistics triggers strict scrutiny. Judicial reliance on “racial” classifications constitutes state action. Equal protection in this context demands that the claimant not be subjected to a disadvantageous life expectancy estimate solely on the basis of a “racial” classification.

B. Due Process

There is a right — in effect a property right — to compensation in cases of negligently caused damage to the person under state and federal law. By allowing use of “race”-based statistics at trial, a court would be creating arbitrary and irrational state action. [T]he form and content of statistical evidence is shaped by the requirements of the substantive law. Were the court to apply an ill-founded assumption, automatically burdening on “racial” grounds a class of litigants who seek compensation, there would be a■ denial of due process.
The legal system does not work fairly and with due process if one class of litigants is unduly burdened in litigation through the application of inappropriate “race”-based statistics____
Any decision to use a group-based projection into the future as a basis for a damage remedy also involves normative judgments, about the relevant frame of reference and the rate of future change----

Id. at 249-256 (citations omitted). :

2., Scholarship

a. Use of Minority-Specific Data in Tort Cases

Race-based statistics and other race-centric data cannot be relied upon to find a reduced life expectancy for a claimant in computing tort damages. See, e.g., Anita Bernstein, What’s Wrong With Stereotyping, 55 Ariz. L.Rev. 655, 711 (2013) (citing McMillan for proposition that use of race-neutral data in courts has been given legal effect); see also Deirdre M. Smith, The Disordered and Discredited Plaintiff: Psychiatric Evidence in Civil Litigation, 31. Cardozo L.Rev. 749, 821 (2010) (citing McMillan to support argument that use of race-based statistics should be discontinued); cf. Michael I. Meyerson & William Meyerson, Significant Statistics: The Unwitting Policy Making of Mathematically Ignorant Judges, 37 Pepp. L.Rev. 771, 797 (2010) (finding that “the introduction of racially-based DNA numbers into a courtroom proceeding is fundamentally misleading”).

In neither the instant case nor McMillan has the court reached the issue of how life, worklife, and educational expectancy tables negatively affect other disadvan*141taged groups, such as women, lesbians, gays, bisexuals, transgender persons, ..and those with disabilities. Professor. Sebok notes:

If [we] truly want[ ] to articulate a principle that would remove impermissible discrimination from the calculation of tort .damages, I believe it is incumbent ... to anticipate and answer the obvious question: If race cannot be used, what about gender? Statistically, both are correlated with dramatic differences in lifespan and earnings.

Anthony J. Sebok, Ruling Barring the Use. of Race in Calculating the Expected Lifespan of a Man Seeking Tort Damages: An Isolated Decision, or the Beginning of a Legal' Revolution?, Oct. 22, 2008, http:// writ.news.findlaw.com/seboy20081022.html (last visited July 28, 2015); cf. Roberts v. United Parcel Service, Inc., 115 F.Supp.3d 344, No. 13-CV-6161, 2015 WL 4509994 (E.D.N.Y. July 27, 2015) (surveying the lack of federal protections for gays and lesbian in the workplace); Mark 'L. Hat-zenbuehler et al., Structural Stigma and All-Cause Mortality in Sexual Minority Populations, 103 Soc. Sci. & Med. 33 (2014) (finding in study with small sample size that life expectancy of lesbians, gays, and bisexuals living in communities with high levels of anti-gay prejudice is twelve years shorter than for those living in low prejudice communities); Center for American Progress, et' al., A Broken Bargain: Discrimination, Fewer Benefits and More Taxes for LGBT Workers 7, 34 (June 2013) (finding “gay and bisexual men experience a “wage penalty’ relative to heterosexual men[,]” and “[l]esbian and bisexual women actually fare better than heterosexual women, but still experience the gender-based wage gap relative to all men”); Ami-cus Brief of Services and Advocacy for Gay, Lesbian, Bisexual and Transgender Elders in Support of Petitioners at 26-27, 2015 WL 981538, Obergefell v. Hodges, 135 S.Ct. 2584 (“LBGT people are under-represented at the top of the income pyiamid and over-represented at the bottom.” (citations omitted)); Amicus Brief of Organization of American Historians at 23, 2015 WL 1004709, Obergefell, 135 S.Ct. 2584, (“A 2012 survey of homeless youth providers discovered that almost [forty] percent of the homeless youth they serve identify as lesbian, gay, bisexual, or transgender.” (citing Laura E. Durso & Gary J. Gates, Serving Our Youth: Findings from a National Survey of Service Providers Working with Lesbian, Gay, Bisexual and Transgender Youth Who Are Homeless or At Risk of .Becoming Homeless, The Williams Institute (2012))).. .

Economic data that is minority-specific saddles those’who do not conform to the data with adverse generalizations about their group, “the very kind of stereotyping that antidiscrimination laws were meant to prohibit.” Mártha Chámallas, Civil Rights in Ordinary Tort Cases: Race, Gender, and the Calculation of Economic Loss, 38 Loy. L.A/ L.Rev;’ 1435, 1439 (2005) (“Chamallas I”); see also Elizabeth Adjin-Tettey, Replicating and Perpetuating Inequalities in Personal Injury Claims Through Female-Specific Contingencies, 49 McGill L.J. 309, 311 (2004) (arguing that, when judges sanction the awarding of depressed damages to tort claimants from historically disadvantaged groups, they reinforce the marginalization of minorities in society).

“[W]hen damages for injuring members of minority groups are lowered, the legal regimen [has] the. perverse result of encouraging torts against them.” Meyerson & Meyerson, supra at 808 (citation omitted). Seemingly “neutral tort rules”- become a mechanism for replicating the “unequal status quo,” making it “more difficult for disadvantaged social groups to bring *142about social change.” Chamallas I, supra at 1458.

Sometimes, the problem with numbers is not that they induce prejudice in others, but that the very use of numbers is unknowingly bigoted— [T]o the extent the differences reflected in [economic data] ... are caused by ongoing discrimination, using [it] reinforces the harm caused by wrongful discrimina-tion____ Because of a long history of discriminatory treatment, the explicit use of [bigoted numbers] dramatically reduces some damage awards for ... Hispanic men.

Meyerson & Meyerson, supra at 801-07 (emphasis added).

The position of litigants as full citizens is undermined to the extent we allow legal decisions to be based upon evidence that expressly links them to groups that are traditionally disfavored, disempowered, and discredited. When a court permits a plaintiff to be labeled ... for purposes ... of [determining] entitlement to compensation for injuries, it serves as an endorsement by our legal system of discounting plaintiffs, and others [subjected to these labels]. The validation of this practice by the very institution charged with ensuring justice necessarily undermines attempts to reverse the stigmatization of [labels] in our society and, indeed serves to reinforce the stigma [associated with the labelling].

Smith, supra at 822; see also Joanna Shepherd & Paul H. Rubin, The Demographics of Tort Reform: Winners and Losers 1-8 (2007), https://www.law.umich. edu/centersandprograms/lawandeconomics/ workshops/Documents/Winter2007/ shepherd.pdf (last visited July 28, 2015) (“By limiting certain types of damages relative to other damages, tort reform may disproportionately reduce damage payments to specific segments of the population^ including] women, children, the elderly, and less affluent members of society ... [and] many disadvantaged minorities.”); Joanne Doroshow & Amy Widman, The Racial Implications of Tort Reform, 25 Wash. U. J.L. & Pol’y 169 (2007) (stating that tort reforms, such as monetary caps on damages or removing access to juries in medical practice cases, will have a greater adverse impact on minority communities),

b. Use of Minority-Specific Data in Lead-Based Paint Cases

Economists and rehabilitation experts generally rely on gender-, race-, and ethnicity-based statistics to determine loss of earning capacity in lead paint cases to the detriment of racial and ethnic minorities. See, e.g., Greenberg, supra at 430 (“Using race-based statistics reinforces the current racial discrimination in the workforce, ignoring the possibility and the social value of upward mobility.”); see also supra Part III.B (recording the expert testimony in the instant case). The use of such data results in significantly lower awards for “Hispanics,” replicating historical patterns of discrimination in tort awards. Green-berg, supra at 430 (“Lead paint plaintiffs — young, poor and often African-American or Hispanic — are disadvantaged by the traditional determinations of loss of earning capacity”). Professor Martha Chamallas has described the phenomenon as follows: , .

Depressed awards for plaintiffs derive from the fact that the population of lead paint victims is disproportionately young children, typically poor, African-American or Hispanic- children. This means that, in making assessments of the lost future earning capacity of these children, there is. often a lack of individualized evidence that indicates what career path the plaintiff would have taken and *143what he or she would likely have earned over a lifetime. In such cases, resort to statistics may well be the best available method of prediction. When lost earnings are calculated using race- [or ethnicity-] based tables, however, whether to measure average earnings or worklife expectancy, the awards are considerably lower than they would be for comparably injured white victims. Defendants in such cases, typically landlords or government housing authorities, thus pay far less than they would if their victims were predominantly white, middle-class children.

Chamallas I, supra at 1440-41. The unacceptable result is: “[BJecause it is cheaper to injure poor minority children, there is less incentive for defendants to take measures to clean up toxic hazards in the neighborhoods most affected by lead paint.” Id. at 1441 (emphasis added).

3. Race and Ethnicity

a. United States Census

The history of the classifications used by the United States Census Bureau (“Census Bureau”) and the geopolitical landscape of the mid-twentieth century show how and why ethnicity generally, and the term “Hispanic” specifically, is a social and fluid concept, similar to race.

The United States conducted its first census in 1790. See Census Bureau, History-1 790, http://www.census.gov/history/ www/through_the_decades/index_of_ questions/1790_l.html (last visited July 28, 2015). Although questions concerning the conducting of the census persisted throughout the mid-eighteenth and nineteenth centuries, it was not until 1930 that individuals of Latino origin were separately considered. See Census Bureau, History-1930, http://www.census.gov/history/ www/through_the_decades/index_of_ questions/1930_l.html. In 1930, the option of “Mexican” as a “race” was made available for selection. Id.

Then, in 1935, the District Court for the Western District of New York denied citizenship to an individual of Mexican heritage. In Re Timoteo Andrade, No. 2272-P-24049, slip op. at 2 (W.D.N.Y. Dec. 11, 1935). Following the district court’s decision, the United States Department of State,' the Mexican government, and Mexican-American civil rights activists worked together to neutralize the ruling pursuant to the recently-adopted “Good Neighbor Policy.” See Patrick D. Lukens, A Quiet Victory for Latino Rights: FDR and the Controversy over “Whiteness ” (2012); see also Department of State, Good Neighbor Policy (1993), https://history.state.gov/ milestones/1921-1936/good-neighbor (last visited July 28, 2015) (“Good Neighbor Policy” provided that “No state shall intervene in the internal or external affairs of another[,]” and was designed to improve relations among countries in the Western Hemisphere). Implemented was an administrative policy whereby Mexicans and Mexican-Americans would, from that point forward, be classified as “White.” Id. The notion of Latino or Hispanic as an ethnicity was born. Id.; cf. Jenny Rivera, An Equal Protection Standard for National Origin■ Subclassifications: The Context That Matters, 82 Wash. L.Rev. 897, 901 n. 20 (2007) (“The term ‘Latino’ represents the experiences and histories of persons of Latin American and Latino Caribbean descent. The term ‘Hispanic’ is representative of Latin America’s connections and history as it relates to Spain and Europe exclusively[.]”).

Today, both race and ethnicity appear in the United States Census. The terms are defined as “self-identification data items.” See Census Bureau, Race, http://www. census.gov/topics/population/race/about. html (last visited July 28, 2015). In a *144census survey, participants are asked to identify themselves by race or races and to indicate, whether they are of “Hispanic or Latino.” origin or of “non-Hispanic or Latino origin,” the only two ethnic categories provided. See Elizabeth M. Grieco & Rachel C. Cassidy, Overview of Race and Hispanic Origin, Census 2000 Brief 3 (Mar.2001), http://www.census.gov/prod/ 2001puWcenbr01-l.pdf (last visited July 28,2015).

The federal government treats race and ethnicity for statistical purposes to be two separate and distinct concepts. Id. at 1. The Merriam-Webster. Dictionary defines race as “a category of humankind that shares certain distinctive characteristics,” and ethnicity as a “particular ethnic affiliation or group,” where ethnic is defined as “of or relating to large groups of people classed according to common racial, national, -tribal, religious, linguistic, or cultural origin or background.” Merriam-Webster Dictionary, http://www.merriam-webster.com/ (last visited July 28, 2015).

The Office of Management and Budget (“OMB”) defines Hispanic or Latino as “a person of Cuban, Mexican, Puerto Rican, South or Central American, or other Spanish culture or origin regardless of race.” Grieco '& Cassidy, supra at 2. In data collection and presentation, “federal agencies are required to use a minimum of two ethnicities: ‘Hispanic or Latino’ and ‘Not Hispanic or Latino.’ ” Id. The racial categories identified by OMB are: “White”; “Black, African American, or Negro”; “American Indian or Alaskan Native”; “Asian Indian’’; “Chinese”; “Filipino”; “Japanese”; “Korean”; “Vietnamese”; “Native Hawaiian”; “Guamanian or Cha-morro”; “Samoan”; “Other Pacific Islander”; “Other Asian”; and “Some other race.” ■ Id.

Using life, worklife, and educational attainment tables premised on OMB’s racial and ethnic distinctions' has the capacity to disadvantage a plaintiff, such as the child in the instant case, by assuming he would be in a socio-economic group lower than would be predicted by analyzing' his real-life background. The below graphics produced by. the Census Bureau demonstrate that restricting use of race- and ethnicity-based tables in reducing damages does make a difference:

Education and Synthetic Work-Life Earnings Estimates
American Community Survey Reports
Issued September 2011
These estimates are “synthetic,” that is, they are not the actual dollars people earned over the complete working life of the person (which would require us to have retrospective earnings data for the 40 years of their work-life). Instead, they are estimated using data from a one point-in-time cross-sectional survey.-.Synthetic work-life earnings represent expected earnings over a 40-year time period for the population aged 25-64 based on annual earnings from a single (cross-sectional) point in time. The estimate was calculated by adding median earnings for eight-5-year age groups, multiplied by five.

Table 2-A.

*145

*146

In Figure 4, colors represent different race/ethnicity groups while the dotted and solid lines represent females and males, respectively. The general pattern is that the dotted lines are often below the solid lines. What this tells us is that, particularly at lower levels of education, even women in the most advantaged race groups usually earn less than men in the most disadvantaged race groups. Asian women with at least a bachelor’s degree are competitive with some male groups, but at no point do women’s earnings come close to White or Asian men’s earnings at the same education level.

Tiffany Julian & Robert Kominski, Education and Synthetic Worlc-Life Earnings Estimates, United States Census Bureau 1, 6, 9 (September 2011), https://www. census.gov/prod/2011pubs/acs-14.pdf (last visited July 28,2015).

b. Critiques of Census Practices

The American Anthropological Association has criticized OMB’s practice of separating “race” and “ethnicity”:

First, by treating race and ethnicity as fundamentally different kinds of identity, the historical evolution of these category types is largely ignored. For example, today’s .ethnicities are yesterday’s races. In the early 20th century in the US, Italians, the Irish, and Jews were all thought to be racial (not ethnic) groups whose members were inherently and irredeemably distinct from the majority white population. Today, of course, the situation has changed considerably. Italians, Irish, and Jews are now seen as ethnic *147groups that are included in the majority white population. The notion that they are racially distinct from whites seems farfetched, possibly “racist.” Earlier in the 20th century, the categories of Hindu and Mexican were included as racial categories in the Census. Today, however, neither would be considered racial categories.
Knowing the history of how these groups “became white” is an integral part of how race and ethnicity are conceptualized in contemporary America. The aggregated category of “white” begs scrutiny. It is important to keep in mind that the American system of categorizing groups of people on the basis of race and ethnicity, developed initially by a then-dominant white, European-descended population, served as a means to distinguish and control other “nonwhite” populations in various ways. Second, by treating race and ethnicity as an enduring and unchanging part of an individual’s identity, OMB and the Census ignore a fundamental tension and ambiguity in racial and ethnic thinking. While both race and ethnicity are conceptualized as fixed categories, research demonstrates that individuals perceive of their identities as fluid, changing according to specific contexts in which they find themselves.
Third, OMB Directive 15, [the] Census and common sense treat race and ethnicity as properties of an individual, ignoring the extent to which both are defined by the individual’s relation to the society at large. Consider, for example, the way that racial and ethnic identity supposedly “predict” a range of social outcomes. The typical correlation is that by virtue of being a member of a particular racial or ethnic group, imprisonment, poor health, poverty, and academic failure are more likely. Such an interpretation, while perhaps statistically robust, is structurally and substantively incomplete because it is not the individual’s association with a particular racial or ethnic group that predicts these various outcomes but the attribution of that relationship by others that underlies these outcomes. For instance, a person is not more likely to be denied a mortgage because he or she is black (or Hispanic or Chinese), but because another person believes that he or she is black (or Hispanic or Chinese) and ascribes particular behaviors with that racial or ethnic category.

See American Anthropological Association Response to OMB Directive 15, Race and Ethnic Standards for Federal Statistics and Administrative Reporting (emphasis added); see also Ruth B. McKay & Manuel de la Puente, Cognitive Research in Designing the CPS Supplement on Race and Ethnicity, Proceedings of the Bureau of the Census’ 1995 Annual Research Conference 435-45 (1995) (determining that respondents were unaware of the difference between “race” and “ethnicity”); E. Kissim, et al., Hispanic Responses to Census Enumeration Forms and Procedures, Report Prepared for the Bureau of the Census (1993) (concluding that Hispanic respondents view “Hispanic” as a race and look for this category when asked on documents or surveys for their “race”); C.E. Rodriguez & J.M. Cordero-Guzman, Place Race in Context, 15 Ethnic Racial Stud. 523-43 (1992) (same).

The United States Commission on Civil Rights has echoed the criticisms lodged by the American Anthropological Association: “[S]ome people regard ‘Hispanic’ as a race and some do not. Some may refer to a particular individual’s Hispanic background as his ‘ethnicity’ and others may reject the term on the ground that it implies something untrue about the individual’s cultural traits.... ” U.S; Comm’n on *148Civil Rights,. Racial Categorization in the 2010 Census 39 (March 2009).

Ethnicity, like race, as discussed in McMillan, is a fictitious, changing, and unreliable social construct. See, e.g., Ian Haney Lopez, White by Law: The Legal Construction of Race 7-14 (2006) (tracing legal construction of race and ethnicity through America’s legal system); Camille Gear-Rich, Angela Harris and the Racial Politics of Masculinity: Trayvon Martin, George Zimmerman, and the Dilemmas of Desiring Whiteness, 102 Cal. L.Rev. 1027, 1028 n. 3 (2014) (“Latinos/Hispanics occupy a liminal space .in America’s racial paradigm, as many Latinos believe that the term Latino refers to a racial group, and other Latinos treat Latino or Hispanic background as a kind of ethnic designation.”); Wendy D. Roth, Race Migrations: Latinos and the Cultural Transformation of Race 4-8 (2012) (examining traditional black and white racial dichotomy in America and how that dichotomy is challenged by considering Latinos as a separate racial category as opposed to an ethnic group).

Defining Latino as a race shares a different experience than defining Latino as a concept of ethnicity, which is used to describe the belief that all ethnic groups will assimilate into white American .society. The category of ethnicity, therefore, fails to recognize the nonwhite and inferior status that Latinos held and continue to hold in the United States.

Yolanda Vazquez, Constructing Crimmi-gration: . Latino Subordination in a “Post-Racial” World, 76 Ohio St. L.J. 599, 657 (2015); see also Anthony V. Alfieri, Objecting to Race, 2 Geo. J. Legal Ethics 1129,1133-34 (2014) (“Rooted in conscious, unconscious, or.implicit bias, race talk often intersects with other categories of bias, including ethnicity and gender. The intersection of - multiplé kinds of bias in civil rights and criminal cases exacerbates common stereotypes and reinforces long-held prejudices.”); Laura E. Gomez, Manifest Destinies: The Making of the Mexican American Race 1-3 (2007) (explaining that the use of the term ethnicity with respect to Latinos masks the historically discriminatory treatment that Mexican Americans have faced as a racial group); Elizabeth Vaquera & Grace -Kao, The Implications of Choosing “No Race” on the Salience of Hispanic Identity: How Racial and Ethnic Backgrounds Intersect Among Hispanic Adolescents, 47 Soc. Q. 375, 389 (2006) (noting two-thirds of Latinos in a sample regarded Latino as a racial category); Clara E. Rodriguez, Changing Race: Latinos, ■ the Census, and the History of Ethnicity 16 (2000) (finding that many Hispanics claim “a multiple racial ancestry”).

B. Application

The issue of the plaintiff-child’s ethnicity first arose at the trial during the cross-examination of one of plaintiffs’ experts. See supra Part III.B.1. The court cut off an attempt to use the child’s ethnicity as a projection point for his education, life and worklife expectancies as it related to limiting damages:

[A]s a matter of constitutional and federal law[,] it is inappropriate where there is a case involving an individual with a Hispanic background ... to rely upon a table.'.. which is'undifferentiated as to Hispanic individuals.
You cannot treat the child as an average Hispanic____[Y]ou cannot say that, for example, Hispanics generally go to college less than others and therefore use that statistic or that analysis or that chart.

Trial Tr. 576:20-577:8, July 6, 2015. .

It is unconstitutional in a tort trial to premise projected societal and educational *149achievements on race or ethnicity to reduce tort damages. See supra Fart IV.A. The state itself discriminates by enforcing a substantive rule of discrimination — damages — based on race or ethnicity in reducing damages in tort cases. Such an illegal standard cannot be enforced by the courts. See Palmore v. Sidoti, 466 U.S. 429, 433, 104 S.Ct. 1879, 80 L.Ed.2d 421 (1984) (“Private biases may be outside the reach of the law, but the law cannot, directly or indirectly, give them effect. ‘Public officials!;,] [including judges] sworn to uphold the Constitution may not avoid a constitutional duty by bowing to the hypothetical effects of private racial prejudice that they assume to be both widely and deeply held.’ ” (citation omitted)).

The court did not have to confront the issue of the applicability of gender worklife expectancy tables because the plaintiff-mother was not physically injured, nor was she in jeopardy of experiencing future economic loss based on any status attributed to herself.

V. Life, Worklife, and Educational Attainment Expectancy Tables

A. History

Before 1950, judges generally made “intuitive” judgments about damage awards, allowing “race and racism to have tremendous influence in ways that are nearly impossible to provide.” Jennifer B. Wrig-gips, Damages in Tort Litigation: Thoughts on Race and Remedies, 1865-2007, 27 Rev. Litig. 37,, 56 (2007).

A tidal shift started in 1950, when the United States Bureau of Labor Statistics published its worklife tables. See Bureau of Labor Statistics, U.S. Dep’t of Labor, Bulletin No. 1001, Tables of Working Life: Length of Working Life for Men (1950); Bureau of Labor Statistics', U.S. Dep’t of Labor, Bulletin No. 1204, Tables of Working Life: Length of Working Life for Women (1957). These tables calculated worklife duration “as if it were a simple function of sex and age.” Shirley J. Smith, Bureau of Labor Statistics,, U.S. Dep’t of Labor, Bulletin No. 2254, Worklife Estimates: Effects of Race and Education 2 (1986) (“Bulletin 2254”). . ,

Three decades later, in 1982, after completing a comprehensive survey of worklife methodology calculations; the Bureau of Labor Statistics modified its life ánd work-life expectancy tables. See Bureau of Labor Statistics, U.S. Dep’t of Labor, Bulletin No. 2135, Tables of Working Life: The Increment-Decrement Model (1982).' As was the case in 1950, “[t]ables were prepared separately for men and women, giving no additional demographic or functional detail by race, educational attainment, occupation, or "other characteristics that might distinguish high’from low turnover grbups.” Bulletin 2254 at 2. Innovative was the fact that the 1982 tables “for the first time ‘quantified the impact of midlife labor force withdrawal and reentry on worklife duration,” based on observed rates of labor force entry and exit at all ages. Id. at 1.

Publication of the 1982 tables “drew responses from many, economists involved in litigation of. wrongful injury or death cases.” Id. at 1. Several of these responses appeared in the Monthly Labor Review, a publication composed of economists and statisticians, which researches and analyzes a myriad of fields, including the economy and the labor force. Id. at i, 7 n. 2. The responses led to refinements that were implemented in the Bureau of Labor Statistic’s 1986 revisions to the life and worklife expectancy tables. Id. at 1, 7 n. 3.

The Bureau’s 1986 tables, Bulletin 2254, presented a new set of official, worklife estimates based on data collected between *1501979 and 1980. Id. at 1. As with the previous tables issued, the new figures were calculated using information collected from a nationwide monthly household survey conducted by the Census Bureau on behalf of the Bureau of Labor Statistics. Id. The difficulty of controlling for relevant details of family life was explained:

In reality, labor force attachments are influenced by a variety of factors, including training, health, marital and family responsibilities, economic opportunity, and additional sources of income. However, it is not feasible to control for all these factors in computing worklife expectancy. ,.. Nonetheless, this study does add two new dimensions to the estimation of worklife: race and education. Tables are presented separately for each of these two variables. However, the combined impact. of race and education has not been computed because the present matched sample is too limited to develop reliable joint probabilities .... Tables by race incorporate the effects of sex- and race-specific rates mortality. Those focusing on education employ only sex-specific rates, because there are no comparable mortality tables by education. Of course, access to health care is apt to be correlated with schooling. If it were possible to quantify this relationship, the tables would probably show still wider discrepancies between the worklives of the less and more educated.

Id. at 2 (emphasis added). These tables explored, for the “first time,” the relationship between “race and educational background,” and their effect on “lifetime labor force behavior.” Id. at 1.

The tables presented in Bulletin 2254 were subdivided by sex, race, and educational attainment. Id. at 4, 5, 6. The two racial categories displayed were “white (88 percent of the sample) and blacks and others (12 percent).” Id. at 4. “A separate set of tables detailed] years of schooling completed, using the categories of less than high school (about 20 percent of the sample), high school graduate to 14 years (about 52 percent of the sample), and 15 years or more (about 28 percent).” Id. The new tables quantified the lifetime relationship between race and labor force involvement. Id. From it the conclusion could be drawn that,

whites are more likely to enter [the labor force] than their minority counterparts .... [T]he worklife expectancy of blacks ... was nearly 7 years shorter than that of whites.... Minority men spent an average of just 50 percent of their lives in labor force activity, compared with 56 percent for whites ... [T]he average man with 15 years of schooling or more can expect to work 6.5 years longer than his classmate who left high school before graduation....

Id. at 4-6.

In the past three decades, the Bureau of Labor Statistics has not revised these still widely circulated life, worklife, and educational attainment tables, reflective of data collected in 1979 and 1980. See, e.g., Lawrence M. Spizman, Bulletin 2254 Worklife Expectancy Tables and Tort Gender Inequality, 12 The Earnings Analyst 1 (2012) (arguing that Bulletin 2254 should not be used because structural changes in the labor market for females have dramatically changed since its publication). According to a 2012 survey of forensic economists, only 4.8 percent of forensic economists use the Bulletin 2254 tables. See Brookshire, et. al, A 2012 Survey of Forensic Economists: Their Methods, Estimates, and Perspectives, 24 J. of Forensic Eeon. 67, 86 (2013). This is down from 72.6 percent in the 1991 survey. Id. But see infra Part V.B (discussing New *151York State’s endorsement of Bulletin 2254).

The Department of Labor no longer publishes life, worklife, and educational attainment tables, but it continues to provide the data on which the tables were based, leaving it to the public to use the data as it deems fit. Id. at 1.

B. Law

New York law incorporates Bulletin 2254 in deciding damages in tort cases. See, e.g., Ñ.Y. Pattern Jury Instr. Civil Appendix B (2014) (“Tables 1 through 8 in Appendix B are extracted from a report published by the United States Bureau of Labor Statistics, United States Department of Labor, entitled ‘Report: Worklife Estimates: Effects of Race and Education’ (February 1986).”). The state’s pattern jury instructions (“PJI”) include tables from Bulletin 2254 for use in determining worklife. expectancy. Id.; see also Spizman, supra at 2. Appendix A, which provides for life expectancy data, is periodically updated but lags behind the most current life expectancy tables published by Drs. Skoog, Ciecka and Krueger in 2011. See Spizman, supra at 2-3, n. 3 (“Appendix A in the 2012 PJI used [the] U.S. Life Tables from 1999 Vol. 47, No 28 (December 13, 1999).”); see also N.Y. Pattern Jury Instp. Civil Appendix A (2014). .

New York’s pattern jury instructions contain the following warning regarding the use of Bulletin 2254:

Although as official compilations, the Department of Labor tables may be judicially noticed, the preparation of any such tables involves judgment in the gathering of the underlying statistics that may affect the reliability of the table in relation to the fact situation before the court. Expert testimony concerning the reliability of the Department of Labor table, may, therefore be offered, and with respect to a privately prepared table, expert testimony would be required to allow the table to be used as a basis for án opinion.

N.Y. Pattern Jury Instr. Civil 2:290 (2014). This statement recognizes the Bulletin’s use of outdated' data, signaling to parties that they can rely upon damage experts to question the Bulletin’s reliability.

The Final Report of the Special Master, Kenneth R. Feinberg, for the September 11 Victim Compensation Fund of 2001 indicated Feinberg’s reluctance to rely on gender-- and race-based life and worklife tables. See Kenneth Feinberg, Dep’t of Justice, Volume 1, Final Report of The Special Master for the September 11th Victim Compensation Fund of 2001 33, n. 109 (2004) (citing James Ciecka,- Thomas Donley & Jerry Goldman, A Markov Process Model of Work-Life Expectancies Based on Labor Market Activity 1997-98, 10, 2, J. of Legal Econ. 27 (2000)); see also Chamabas & Wiggins, supra at 155-83 (discussing Special Master Feinberg’s refusal to take into account race and gender based statistics when computing damages in the interest of “public policy and equity”). .

Courts, and the experts testifying before them regarding future economic loss, are less discomforted and careful than Mr. Feinberg, relying daily on race-, ethnicity-, and gender-based statistics, reminiscent of Bulletin 2254, to determine loss of future earning capacity.. See supra Part III.B (highlighting testimony of experts in this case); Kurt V. Krueger & Frank Slesnick, Total Worklife Expectancy, 25 J. of Forensic Econ. 51, 53 (2014) (“While gender-based and labor force-based worklife expectancy tables have such discriminatory features, courts and economists have developed a habit of using them.”); see also generally Dan B. Dobbs, Paul T. Hayden, & Eben M. Bulbick, The Law of Torts, *152§ 479 (2d ed.2015> (collecting, cases and sources that have questioned or rejected statistical tables predicated on race and gender differences). But see supra Part IV (discussing this, court’s application of the McMillan rule), As a result, minority plaintiffs often receive lower awards of damages. See Martha Chamallas, The Architecture of Bias: Deep. Structures in Tort Law, 146 U. Pa. L.Rev. 463, 482 (1998) (“Chamallas II”).

“[T]he willingness of economists and judges to rely on sex and race as a measure of an individual’s future earning potential may have as much to do with habit as it does with strict fidelity —” to appropriate economic analysis. . See Chamallas & Wiggins, supra at 168.

[I]n the realm of torts a higher value is placed upon the lives of white men and[, problematically, the] injuries suffered by this group are worth more than injuries suffered by other less privileged groups in society..:. [Contemporary tort law devalues or undervalues the lives, activities, and potential of women and people of color.

Chamallas II, supra at 465, 467. For many tort cases, and particularly for lead paint cases, loss of earning potential is 'the big ticket item of damages, which can make the difference between a modest and sizeable award. See Martha Chamallas, Questioning the Use of Race-Specific and Gender-Specific Economic Date in Tort Litigation: A Constitutional Argument, 63 Fordham L.Rev. 73, 75 (“Chamallas III”) (collecting cases).

C. Application

The use of race-based statistics to obtain a reduced damage award — which is now extended to the use of ethnicity-based statistics, to calculate future economic loss — is unconstitutional. See supra Part IV (discussing McMillan rule and its application). It violates due process because it creates arbitrary and irrational state action, and equal protection, because it subjects, the claimant to a. “disadvantageous estimate” of damages “solely on the basis” of ethnic classification. Id.

Race and ethnicity are not, and should not, be a determinant of individual achievement. To suppoxt such a proposition distorts the American dream, denigrating minorities’ chances of climbing the socio-economic ladder. Using these statistics to calculate future economic loss reinforces the rigid racial and ethnic barriex’s that our society strives to abolish. See infra Part VIA, (discussing affirmative action). Basing an individual’s earning capacity on his or her race or ethnicity is “problematic for poor minority plaintiffs because it assumes that racism and clas-sisrn will "'exhaust'their opportunities in the same way that it may have adversely affected their relatives.” Greenberg, supra at 430; see also Patrick Sharkey, Neighborhoods and the Black-White Mobility Gap, The PEW Charitable Trusts:. Economic Mobility Project'(2009), http://www. pewtrusts.org/~/media/legacy/ uploadedfíles/wwwpewtrustsorg/reports /economic_mobility/PEWSHARKEY vl2pdf.pdf (last visited July 28, 2015) (exploring the impact of neighborhood poverty rates experienced during childhood as an important factor affecting the mobility gap).

Propelling race and ethnicity to the forefront of predictions about an individual’s future achievement ignores the myriad factors affecting an individual’s capacity to fulfill his or her potential. See, e.g., Bulletin 2254 at 2; 6-7 (indicating that access to healthcare likely has a disproportionate impact on minorities and- may be a factor affecting wox’klife duration); Jonathan Ko-zol, The Shame of the Nation: The■ Restoration of Apartheid Schooling in America ■ (2005) (examining the negative social and *153educational outcomes that stem from the racial segregation prevalent in America’s public schools).

Race- and ethnicity-based statistics “as-sum[e] that the current ... racial pay gap will continue in "the future, despite ongoing legal and institutional efforts to make the workplace more diverse and less discriminatory.” Chamallas III, supra at 75.

The economic data clearly show that our nation — and, by extension, our workforce — will continue to become increasingly more diverse, as racial and ethnic minorities make: up a larger portion of the population, as women continue to enter the workforce, and as gay and transgender individuals, as well as people with disabilities, continue to play a vital role in growing our economy.

Crosby Burns, et al, The State of Diversity in Today’s Workforce: As Our Nation Becomes More Diverse So Too Does Our Workforce, Center for American Progress, 6 (2012), https://cdn.americanprogress.org/ wp-content/uploads/issues/2012/07/pdf/ • diversity_brief.pdf (last visited July 28, 2015); see also, e.g., Nat’l Ctr. for Educ. Statistics, U.S. Census Bureau, Policy Alert, Integrated Postsecondary Education Data System, The U.S. Workforce Is Becoming More Diverse, (2005), http:// www.highereducation.org/reports/pa_ decline/decline-fl.shtml (last visited July 28, 2015) (maintaining that the minority portion of the workforce, is projected to double from 18% to 37%, creating a more divorce working economy); Bureau of Labor and Statistics, U.S. Dep’t of Labor, Women’s Earnings: 1979-2012, TED: The Economics Daily Blog (Nov. 4, 2013), http://www.bls.gov/opub/ted/2013/ted_ 20131104.htm (last visited July 28, 2015) (“When adjusted for inflation, women’s earnings since 1979 have increased considerably across the major race and Hispanic ethnicity categories.”).

Psychologists have adopted an alternative to the use of race- or ethnicity-based statistics: the' “resiliency theory” utilizes three distinct processes for evaluating loss of earning capacity.

First, it identifies concrete factors — other than race' [and ethnicity] — that indicate a likelihood of success despite adverse conditions. Second, the multitude of resiliency literature confirms ■ that predictions about what, a child is likely to become are enormously speculative. And third, resiliency theory provides a theoretical alternative to the devaluation of racial minorities by starting with the optimistic assumption that children are very much capable of succeeding beyond the averages and against the odds.

Greenberg, supra at 454; see also Marc A. Zimmerman, Editorial, Resiliency Theory: A Strengths-Based Approach to Research and Practice for Adolescent Health, 40 Health Educ. Behavior 381, 381 (2013) (“Resiliency theory focuses attention on positive contextual, social, and individual variables that interfere with or' disrupt developmental trajectories from risk to problem behaviors, mental distress, and poor health outcomes.”) Unlike race- or ethnicity-based statistics, which do not acknowledge a child’s ability to persevere through a difficult familial or social upbringing, resiliency theory “starts from the proposition and expectation that there are kids in families from very adverse situations who really do beautifully, and seem to rise to the top of their potential, even with everything else working against them.” Greenberg, supra at 454.

Another option that has been suggested is to “consider each person as equivalent to the average, unless evidence is produced which removes the plaintiff from the normal range.” Sherri Lamb,. Toward Gender-Neutral Data for Adjudicating Lost Future Earning Damages: An Evidentia- *154 ry Perspective, 72 Chi.-Kent L.Rev. 299, 338 (1996).

Absent the use of an alternative to race- or ethnicity-based statistics, lead poisoned children will continue to be “inadequately compensated” for their present and future injuries. Greenberg, supra at 457.

Their age — and the absence of any earnings history or defined career path— encourages courts to rely heavily on statistics and to judge the children within the context of the achievements of their family members. For children from low-income and minority families, however, this reliance reinforces historical discrimination____

Id. Courts cannot accept a principle in awarding damages “that reflect subtle but pervasive racism and classism.” Id.

There is a need to revise the current expectancy tables as applied in prospective calculations to lower tort damages for specific communities. See supra Part V.A (discussing history of tables). Various sociological and vocational studies projecting life and earning capacities used by tort experts require review and recalculation. See supra Part V.B (discussing use of tables). A traditional, automatic, unthinking approach by experts in this field can no longer be tolerated. See supra Part III.B (discussing expert testimony in this case).

The reinterpretation of our constitution in recent years and statutory protections regarding minority social groups mandates rejection of bias by our judicial system towards members of such groups. Cf. Obergefell v. Hodges, — U.S. -, 135 S.Ct. 2584, 2588, 192 L.Ed.2d 609 (2015) (holding marriage is a fundamental right and declaring unconstitutional the laws of states that either ban same-sex marriage or refuse to recognize same-sex marriages performed out of state).

VI. Categorical Advantages Afforded to Members of Historically Disadvantaged Minorities Not Inconsistent with Excluding Evidence of Race or Ethnicity Where Appropriate

Elimination of racial and ethnic differences used to reduce damages to members of minority groups is not inconsistent with using such groupings to overcome the adverse effects of prior discrimination or to assist in providing a more equal role for minorities in our society.

There is “a critical distinction between racial [and ethnic] references that subvert” the Constitution and “racial [and ethnic] references that actually enhance the rationality and fairness” of it. See Jody Armour, Stereotypes and Prejudice: Helping Legal Decisionmakers Break the Prejudice Habit, 83 Cal. L.Rev. 733, 735 (1995) (arguing that colorblind formalism advocated by courts is counterproductive in reducing discrimination).

Whatever the Supreme Court may decide in cases such as Fisher v. Univ. of Texas at Austin on admissions and aid discrimination in favor of minorities in school administration is not inconsistent with the instant decision. See Fisher v. Univ. of Texas at Austin, — U.S. -, 135 S.Ct. 2888, 2888, 192 L.Ed.2d 923 (2015) (granting certiorari). If the Supreme Court finds affirmative action constitutional in Fisher when affording advantages to minorities by category in a college or law school admissions process, it will be doing so based on policy and goals different from that applied to the damage issues present in the instant case. In the school cases, the policy is to assist minorities. Diversity in schools is arguably a compelling state interest that (1) promotes better educational, occupational and business outcomes; and (2) improves the occupational spreads of specific career pipelines. See *155 infra Part VLA; see also, e.g., Thomas Barta, et al., Is There a Payoff From Top-Team Diversity?, McKinsey Quarterly (2012), http://www.mcldnsey.com/insights/ organization/is_there_a_payofLfrom_top-team — diversity (last visited July 28, 2015) (“companies with diverse executive boards enjoy significantly higher earnings and return on equity [than companies with non-diverse executive boards]”); Roy Y.J. Chua, Innovating at the World’s Crossroads: How Multicultural Networks Promote Creativity, Vol, 11, No. 85 Harvard Business School Working Papers 1, 33 (2011), http://www.hbs.edu/ faculty/Publication% 20Files/ll-085.pdf (last visited July 28, 2015) (“The idea that cultural diversity can promote creativity in certain types of tasks has both theoretical and practical importance.”); Ekaterin Walter, Reaping the Benefits of Diversity for Modem Business Innovation, Forbes (2014), http:// www.forbes.com/sites/ekaterinawalter/ 2014/01/14/reaping-the-benefits-of-diversity-for-modern-businessinnovation/ (last visited July 28, 2015) (“Diversity is essential to growth and prosperity of any company: diversity of perspectives, experiences, cultures, genders, and age.”).

In the case of damages, basing life, worklife, and education probabilities on ethnicity or race tables disadvantages some individual members of the group. Individuals in the group would do better if they were treated as individuals on the basis of their individualized characteristics.

A. Law

In the past five decades, government and private “affirmative action” programs affording advantages to individuals in ethnic and racial groups have had a checkered constitutional history. Compare Anita Bernstein, Diversity May Be Justified, 64 Hastings L.J. 201 (2012) (concluding that affirmative action promotes the compelling interest of diversity within schools and workplaces), and Reginald T. Shuford, Why Affirmative Action Remains Essential in the Age of Obama, 31 Campbell L.Rev. 503 (2009) (suggesting that affirmative action is necessary to combat the prevalence of minorities attending primarily segregated schools), with Douglass C. Lawrence, Challenging Affirmative Action: Does Diversity Justify Race-Conscious Admissions Programs?, 36 Suffolk U.L.Rev. 83 (2002) (opining that adoption of race-neutral alternatives may better achieve diversity because these policies result in a greater number of minority students on college campuses than race-based affirmative action policies (collecting sources)).

In 1978, the Supreme Court addressed affirmative action in school admissions based on race and ethnicity in Bakke. See Regents of Univ. of California v. Bakke, 438 U.S. 265, 270, 320, 98 S.Ct. 2733, 57 L.Ed.2d 750 (1978) (holding “special admissions program” that denies “specific percentage” of seats in incoming class to white students unconstitutional). The court recognized that “the goal of achieving a diverse student body is sufficiently compelling to justify consideration^] of race in admissions decisions under some circumstances[.]” Id. at 267, 98 S.Ct. 2733.

An otherwise qualified medical student with a particular background — whether it be ethnic, geographic, culturally advantaged or disadvantaged — may bring to a professional school of medicine , experiences, outlooks, and ideas that enrich the training of its student body and better equip its graduates to render with understanding their vital service to humanity.

Id. at 314, 98 S.Ct. 2733.

In 1980, in Fullilove v. Klutznick, the Court held that the use of modest racial *156quotas was constitutional. See Fullilove v. Klutznick, 448 U.S. 448, 448-19, 100 S.Ct. 2758, 65 L.Ed.2d 902 (1980). The Public Works Employment Act of 1977, requiring that fifteen percent of funds for public works be set aside for qualified minority contractors, was upheld. Id. at 492, 100 S.Ct. 2758. The affirmative program, it was ruled, did not violate the equal rights of non-minority contractors. Id. at 484, 100 S.Ct. 2758.

Ih 1986, an action was brought challenging a school board’s policy of protecting minority employees by laying off non-minority teachers first despite their seniority. See Wygant v. Jackson Bd. of Educ., 476 U.S. 267, 271, 106 S.Ct. 1842, 90 L.Ed.2d 260 (1986). The Court concluded that “layoffs impose the entire burden of achieving racial equality on particular individuals, often resulting in a serious disruption of their lives.” Id. at 283, 106 S.Ct. 1842.

We have previously expressed concern over the burden that a preferential-layoff scheme imposes on innocent parties. In cases involving valid hiring goals, the burden to be borne by innocent individuals is diffused to a considerable extent among society generally. Though hiring goals may burden some innocent individuals, they simply do not impose the same kind of injury that layoffs impose. Denial of a future employment opportunity is not as intrusive as loss of an existing job.

Id. at 282-83, 106 S.Ct. 1842 (emphasis in original) (citations omitted).

In 1987, in United States v. Paradise, the Court upheld the use of strict quotas to remedy the systematically discriminatory practices of the State of Alabama’s Department of Public Safety. See United States v. Paradise, 480 U.S. 149, 185-86, 107 S.Ct. 1053, 94 L.Ed.2d 203 (1987).

In 1989, ten years after Bakke, affirmative action was ruled “a highly suspect tool.” City of Richmond v. J.A. Croson Co., 488 U.S. 469, 493, 109 S.Ct. 706, 102 L.Ed.2d 854 (1989) (holding state and local affirmative action- programs in Richmond, Virginia that sought to set aside thirty percent of city construction funds for black-owned firms was not narrowly tailored to remedy effects of prior discrimination). . Affirmative action, the Court found, was subject to “strict scrutiny.” Id. at 493, 109 S.Ct. 706. “[T]he purpose of strict scrutiny is to ‘smoke out’ illegitimate uses of race by assuring that the legislative body is pursuing a goal important enough to warrant use of a highly suspect tool.” Id.

Applying the logic of Croson to federal affirmative action programs, in Adarand Constructors, Inc. v. Pena, the Court remanded a case challenging the federal highway program, which gave contractors a financial bonus for awarding subcontracts to companies owned by members of minority groups. See Adarand Constructor's, Inc. v. Pena, 515 U.S. 200, 236-37, 115 S.Ct. 2097, 132 L.Ed.2d 158 (1995) (holding that setting aside thirty percent of city construction funds for black-owned firms was not sufficiently “narrowly tailored to remedy prior discrimination since it [wa]s not linked to identified discrimination in any way”). The Court noted that “the unhappy persistence of both the practice and the lingering effects of racial discrimination against minority groups in this country” justified the use of race — and ethnicity — based remedial measures in certain circumstances, should they pass strict scrutiny. Id. at 237, 115 S.Ct. 2097.

In 2003, the Supreme Court issued Grutter v. Bollinger, 539 U.S. 306, 123 S.Ct. 2325, 156 L.Ed.2d 304 (2003). It upheld the University of Michigan Law School’s policy that used race as one of *157many factors considered in granting admission. Id. at 343-44, 123 S.Ct. 2325. A “compelling- interest” is obtained, the Court found, from “educational benefits that flow from a diverse student body.” Id. at 343, 123 S.Ct. 2325. By enrolling a “critical mass of underrepresented minori ty students,” the Law School sought to ensure that racially and ethnically diverse students had the “ability to make uniqué contributions to the character of the Law School,” Id. at 316, 123 S.Ct. 2325. The Court pointed to “numerous studies [that show] student body diversity promotes learning outcomes, and better prepares students as professionals, and , for an increasingly diverse workforce and society.” Id. at 330, 123 S.Ct. 2325. But see Parents Involved in Community Schools v. Seattle School District # 1, 551 U.S. 701, 743, 127 S.Ct. 2738, 168 L.Ed.2d 508 (2007) (racial integration cannot be mandated by law); Ricci y. DeStefano, 557 U.S. 557, 562, 129 S.Ct. 2658, 174 L.Ed.2d 490 (2009) (disapproving of City’s dispensation of test results used to fill superior positions within' fire departments because white candidates had “outperformed” minority candidates).

Justice Kennedy’s plurality opinion in Parents Involved emphasized that the promotion of racial and ethnic diversity was a compelling state interest:

The Nation’s schools strive to teach that our strength comes from people of different races' creeds, and cultures uniting in commitment to the freedom of all. In these cases two school districts in different parts of the country seek to teach that principle by having classrooms that reflect the racial makeup of the surrounding community. That the school districts consider these plans to be necessary should remind us our highest aspirations are yet unfulfilled,... This Nation has' a moral and ethical obligation to fulfill its historic commitment to creating an integrated society that ■ensures equal opportunity for all of its children. A compelling interest exists in avoiding racial isolation, an interest that a school district, in its discretion and expertise, may choose to pursue. Likewise, a -district may consider it a compelling interest' to achieve a diverse student population. Race may be one component of that diversity[.]

Id. at 782, 788-89, 127 S.Ct. 2738 (emphasis-added) (Kennedy . J., concurring); see also Fisher v. Univ. of Texas, — U.S. -, 133 S.Ct. 2411, 2420, 186 L.Ed.2d 474 (2013) (finding universities may continue to use hace as- a factor dn-their admissions processes because diversity promoted edu-. cational- benefits, “but ... before turning to- racial classifications” a university had to prove that “workable .race-neutral alternatives [did] not suffice”).

B. Application

The policy goals and problem recognized in affirmative action differs from the policy objective of using race- and ethnicity-based life, worklife, and education expectancy tables when computing fair tort damages. The former seeks to promote diversity in educational and occupational spreads, while the latter seeks to project, as accurately as possible, the potential that .a tort victim -would have in adulthood .(recognizing that to do so in an infant is largely guesswork) had he or she not been harmed by defendant’s delict.

VII. Constitutional Requirements Supplementing Rule 403 of the Federal Rules of Evidence

Adjusting to this nation’s continuing struggle for equal rights and effective equal opportunities for all will require subtle changes-in reliance on. race-, ethnicity-, or gender-based statistics in individual cases. Each evidentiary ruling , needs to *158be separately evaluated to avoid invidious discrimination. Sometimes, as in the present case, exclusion of arguably relevant evidence will be required to protect against stereotyping that unfairly reduces damages to members of disadvantaged minority groups. At other times, such evidence may be needed to further equalities.

Even when racially-, ethnically-, and gender-based tables have probative force and are therefore relevant, there are instances- under Rule 403 of the Federal Rules of Evidence that they may be excluded. See Fed.R.Evid. 403 (“The court may exclude relevant evidence if its probative-value is substantially outweighed by a danger of one or more of the following: unfair prejudice, confusing the issues, misleading the jury, undue delay, wasting time, or needlessly presenting cumulative evidence.”).

There is another factor that may justify exclusion: constitutional and general policy considerations may warrant excluding relevant evidence, as in the instant case with respect to a specific child. In such cases, Rule 403 sometimes needs to be supplemented by exclusions based on policy. See, e.g., Jack B. Weinstein, Some Difficulties in Devising Rules for Determining Truth in Judicial Trials, 66 Co-lum. L.Rev. 223, 246 (1966) (“It is not possible to produce a system permitting facts to be found with any certitude. Nor is it possible to satisfy fully all the purposes served by our law of evidence since, in particular instances, a rule which aids one end will disserve another. In case of conflict, the court’s truth-finding function should receive primary emphasis except when a constitutional limitation requires subservience to some extrinsic public policy.”)

This memorandum deals only with the use of race- and ethnicity-based tables to reduce tort damages. It does not address the separate problem of advantaging particular groups or parties by the use of such tables. Cf supra Part VI (discussing affirmative action cases).

There are instances where statistical life-expectancy tables based on race and ethnicity may be utilized. An obvious instance is in applying them to the rule that juveniles cannot be kept in prison for a non-homicide offense for their full life without parole. See Graham v. Florida, 560 U.S. 48, 50, 130 S.Ct. 2011, 176 L.Ed.2d 825 (2010) (holding that eighth amendment prohibits the imposition of “life without parole” sentence on juvenile offenders who do not commit homicide); see also Adele Cummings & Stacie Nelson Colling, There Is No Meaningful Opportunity in Meaningless Data: Why It Is Unconstitutional to Use Life Expectancy Tables in Post-Graham Sentences, 18 U.C. Davis J. Juv. L. & Pol’y 267, 288, 292 (2014) (arguing that Colorado’s practice of using race-and ethnicity-neutral life expectancy tables “should not be applied to the distinctive group of young people facing decades of incarceration, who are mostly poor and disproportionately black and Hispanic” because they “overestimate the length of life of the juveniles being sentenced”). Use of race-, ethnicity-, and gender-based life tables in such circumstances might benefit a juvenile offender by putting a cap on the sentence imposed. Cf. United States v. Tocco, 135 F.3d 116, 131-32 (2d Cir.1998) (finding that imposition of 435-month sentence of, imprisonment for arson homicide conviction, which exceeded defendant’s life expectancy when good-time credits were not accounted for, but was slightly less than his life expectancy when good-time credits were considered, did not violate statute requiring jury recommendation for imposition of life sentence).

*159VIII. Conclusion

General ethnic characteristics of an injured person cannot be used to reduce damages in this case.

SO ORDERED.