INA MAE JOHNSON, Plaintiff and Appellant, v. STATE OF CALIFORNIA, Defendant and Respondent.
L. A. No. 29565
In Bank
Dec. 4, 1968
69 Cal. 2d 782
Edward I. Pollock, Robert E. Cartwright, Theodore A. Horn, Robert G. Beloud and Leonard Sacks as Amici Curiae on behalf of Plaintiff and Appellant.
Thomas C. Lynch, Attorney General, and Robert H. O‘Brien, Deputy Attorney General, for Defendant and Respondent.
TOBRINER, J.— Plaintiff Ina Mae Johnson appeals from the granting of summary judgment in favor of defendant State of California.
In her first amended complaint for personal injuries plaintiff made the following allegations. On or about September 13, 1963, defendant, STATE OF CALIFORNIA, acting through Mr. William Baer, Placement Officer of the Youth Authority [an agency of the defendant state], requested Mr. Floyd N. Johnson and Mrs. Ina Mae Johnson to provide a foster home for one Gary Lee Chemlouski, age 16 years.” The Youth Authority acted negligently in allowing “a 16 year old boy with homicidal tendencies, and a background of violence and cruelty towards both animals and humans to be placed in the
After answering this complaint the state moved for summary judgment, contending that Government Code sections
At the outset, we can dispose summarily of the contention, not strenuously pressed by defendant, that the judgment should be affirmed because the state owed no duty of care to plaintiff. As the party placing the youth with Mrs. Johnson, the state‘s relationship to plaintiff was such that its duty extended to warning of latent, dangerous qualities suggested by the parolee‘s history or character. (Cf. Langley v. Pacific Gas & Elec. Co. (1953) 41 Cal.2d 655, 661 [262 P.2d
The issue before us thus narrows to whether the trial judge‘s ruling can be sustained on the theory that in the instant situation the state enjoys immunity from tort liability. We shall explain why we have concluded that it wins no such privilege, and that the judgment must therefore be reversed. We shall first set out our reasons for holding that the decision as to whether to advise of latent, dangerous characteristics in the youth did not constitute “the exercise of the discretion vested in [a public employee].” (
1. The parole agent, in deciding whether to warn of potentially dangerous propensities of a youth being placed in
a. A semantic inquiry into the meaning of “discretionary” will not suffice as a criterion for interpreting
In arguing that
We follow equally sound precedent, however, in rejecting the state‘s invitation to enmesh ourselves deeply in the semantic thicket of attempting to determine, as a purely literal matter, “where the ministerial and imperative duties end and the discretionary powers begin. . . . [I]t would be difficult to conceive of any official act, no matter how directly ministerial, that did not admit of some discretion in the manner of its performance, even if it involved only the driving of a nail.” (Ham v. County of Los Angeles (1920) 46 Cal.App. 148, 162 [189 P. 462]; see generally 2 Harper & James, The Law of Torts (1956) § 29.14, p. 1658; Note, The Discretionary Function Exception of the Federal Tort Claims Act (1953) 66 Harv.L.Rev. 488, 490.)
We cannot escape the pertinence of the above analysis to the instant situation. The parole officer‘s duty might be classified as “discretionary“: to select for disclosure, from a myriad of possibilities, those elements of the youth‘s character and background which would be most helpful to the foster parents and yet would not endanger the parole effort. It
The leading case rejecting a purely mechanical analysis of “discretionary” in favor of greater reliance on the policy considerations relevant to the purposes of granting immunity to the governmental agency whose employees act in discretionary capacities is Lipman v. Brisbane Elementary Sch. Dist., supra, 55 Cal.2d 224. In that case, this court considered a complaint against a school district alleging that three trustees maliciously sought to discredit plaintiff‘s reputation and thus force her retirement as a teacher. Refusing to rely heavily on a literal analysis of whether defendants exercised “discretion,” we instead posited immunity on the following compendium of considerations: “Although it may not be possible to set forth a definitive rule which would determine in every instance whether a governmental agency is liable for discretionary acts of its officials, various factors furnish a means of deciding whether the agency in a particular case should have immunity, such as the importance to the public of the function involved, the extent to which governmental liability might impair free exercise of the function, and the availability to individuals affected of remedies other than tort suits for damages.” (55 Cal.2d at p. 230.)4
Several recent cases, in interpreting
This analysis does not, of course, render irrelevant for all purposes the Attorney General‘s factual contention that Youth Authority officers such as Mr. Baer in fact must exercise some discretion in determining what to disclose to prospective foster parents. Our rejection of a literal interpretation of “discretionary” merely implies that the existence of some such alternatives facing the employee does not perforce lead to a holding that the governmental unit thereby attains the status of non-liability under
b. The danger that public employees will be insufficiently zealous in their official duties does not serve as a basis for immunity in California.
Historically, the justification for attaching immunity to “discretionary” actions of public officials was to protect such employees from the spectre of extensive personal tort liability. Judge Learned Hand advanced the classic articulation of this policy: “It does indeed go without saying that an official, who is in fact guilty of using his powers to vent his spleen upon others, or for any other personal motive not connected with the public good, should not escape liability for the injuries he may so cause; and, if it were possible in practice to confine such complaints to the guilty, it would be monstrous to deny recovery. The justification for doing so is that it is impossible to know whether the claim is well founded until the case has been tried, and that to submit all officials, the innocent as well as the guilty, to the burden of a trial and to the inevitable danger of its outcome, would dampen the ardor of all but the most resolute, or the most irresponsible, in the unflinching discharge of their duties.” (Gregoire v. Biddle (2d Cir. 1949) 177 F.2d 579, 581; see generally Jaffe, Judicial Control of Administrative Action (1965) p. 245.)
We shall explain that California‘s statutory provisions for indemnification of public officials largely remove the dangers
If an injured party collects a judgment from a public entity, that entity can exercise only extremely limited rights against the employee whose conduct gave rise to the decision.
Nor need the employee face any requirement that he assume the financial and mental burden of defending his official conduct in a personal suit filed against him.
The California system of indemnification substantially eliminates the concerns of Judge Hand. The public employee need not suffer concern over the possibility that he will be compelled to finance and oversee a tort suit filed against him
To the extent that the ardor of public employees might be affected by the threat of personal liability,6 these fears will be allayed by the indemnification provisions.
Nor do we deem an employee‘s concern over the potential liability of his employer, the governmental unit, a justification for an expansive definition of “discretionary,” and hence immune, acts. As a threshold matter, we consider it unlikely that the possibility of government liability will be a serious deterrent to the fearless exercise of judgment by the employee. (Cf. Note, The Discretionary Function Exception of the Federal Tort Claims Act, supra, 66 Harv.L.Rev. 488, 495-496.) In any event, however, to the extent that such a deterrent effect takes hold,7 it may be wholesome. An employee in a private enterprise naturally gives some con-
c. The decision of a parole officer as to what warnings to give to foster parents does not constitute the type of basic policy decision that the Government Code seeks to insulate from liability in
In drawing the line between the immune “discretionary” decision and the unprotected ministerial act we recognize both the difficulty and the limited function of such distinction. As we said in Lipman v. Brisbane Elementary Sch. Dist., supra, 55 Cal.2d 224, 230, “it may not be possible to set forth a definitive rule which would determine in every instance whether a governmental agency is liable.” A workable definition nevertheless will be one that recognizes that “[m]uch of what is done by officers and employees of the government must remain beyond the range of judicial inquiry” (3 Davis, Administrative Law Treatise (1958) § 25.11, p. 484); obviously “it is not a tort for government to govern” (Dalehite v. United States (1953) 346 U.S. 15, 57 [97 L.Ed. 1427, 1452, 73 S.Ct. 956] (Jackson, J., dissenting)). Courts and commentators have therefore centered their attention on an assurance of judicial abstention in areas in which the responsibility for basic policy decisions has been committed to coordinate branches of government. Any wider judicial review, we believe, would place the court in the unseemly position of determining the propriety of decisions expressly entrusted to a coordinate branch of government. Moreover, the potentiality of such review might even in the first instance affect the coordinate body‘s decision-making process. (See generally Jaffe, Judicial Control of Administrative Action, supra, 241, 259; James, Tort Liability of Governmental Units and Their Officers, supra, 22 U.Chi.L.Rev. 610, 651; Peck, The Federal Tort Claims Act: A Proposed Construction of the Discretion-
We recognize that this interpretation of the term “discretionary” presents some difficulties. For example, problems arise in attempting to translate this concern for the court‘s role in the governmental structure into an applicable touchstone for decision. Our proposed distinction, sometimes described as that between the “planning” and “operational” levels of decision-making (cf. Dalehite v. United States, supra, 346 U.S. 15, 35-36 [97 L.Ed. 1427, 1440-1441, 73 S.Ct. 956]), however, offers some basic guideposts, although it certainly presents no panacea. Admittedly, our interpretation will necessitate delicate decisions; the very process of ascertaining whether an official determination rises to the level of insulation from judicial review requires sensitivity to the considerations that enter into it and an appreciation of the limitations on the court‘s ability to reexamine it. Despite these potential drawbacks, however, our approach possesses the dispositive virtue of concentrating on the reasons for granting immunity to the governmental entity. It requires us to find and isolate those areas of quasi-legislative policy-making which are sufficiently sensitive to justify a blanket rule that courts will not entertain a tort action alleging that careless conduct contributed to the governmental decision.8 In so doing we follow the precept of Lipman v.
In any event, whatever the “line-drawing” difficulties in future cases, we shall point out that no plausible reason for governmental immunity arises in the instant situation.
The Youth Authority unquestionably makes some decisions falling within the “discretionary function” language of
Once an official reaches the decision to parole to a given family, however, the determination as to whether to warn the foster parents of latent dangers facing them presents no such reasons for immunity; to the extent that a parole officer consciously considers pros and cons in deciding what informa-
This analysis, allowing immunity for basic policy decisions by the Youth Authority but rejecting it for the ministerial implementation of that basic policy, receives support from a long line of cases in California and in federal courts, interpreting similar “discretionary” language in section 2680, subdivision (a), of the Federal Tort Claims Act. In Sava v. Fuller, supra, 249 Cal.App.2d 281, 290, a suit for malpractice against a state-employed botanist and the state, the court said: “In the instant case . . . Dr. Fuller had already exercised discretion by agreeing to analyze the possible ingested plant substance to determine its toxicity. . . . [E]xercise-of-discretion had ended at that point and thereafter the inquiry would be limited to whether there had been an exercise of due care under a duty assumed. . . . [O]nce the determination has been made that a service will be furnished and the service is undertaken, then public policy demands (except when the Legislature specifically decrees otherwise) that government be held to the same standard of care the law requires of its private citizens in the performance of duties imposed by law or assumed.”
The above line of analysis controls the following cases: United States v. Washington (9th Cir. 1965) 351 F.2d 913, 916 (decision as to where to place wire across canyon was assumed to be discretionary, but failure to warn pilot was not); United Air Lines, Inc. v. Wiener (9th Cir. 1964) 335 F.2d 379, 397-398, cert. dism. sub nom. United Air Lines, Inc. v. United States (1964) 379 U.S. 951 [13 L.Ed.2d 549, 85 S.Ct. 452] (decision to conduct air flights was discretionary, but failure to warn commercial airline was not); United States v. White (9th Cir. 1954) 211 F.2d 79, 82 (decision not to “dedud” army firing range assumed to be discretionary, but telling person about to go onto range that it was safe not discretionary); Costley v. United States (5th Cir. 1950) 181 F.2d 723, 724-725 (discretionary function to admit patient to hospital, but no immunity for treatment thereafter); Bulloch v. United States (D. Utah 1955) 133 F.Supp. 885, 889 (decision as to how and when and in what manner to conduct
These cited cases establish the principle that, although a basic policy decision (such as standards for parole) may be discretionary and hence warrant governmental immunity, subsequent ministerial actions in the implementation of that basic decision still must face case-by-case adjudication on the question of negligence. Indeed, most of these cases, like the instant situation, involve failure to warn of foreseeable, latent dangers flowing from the basic, immune decision.10
In sum, the instant fact situation presents no reason for sovereign immunity; not only does the officer‘s decision as to warnings fail to rise to the level of governmental decisions calling for judicial restraint, but also the state failed to prove that the officer consciously considered the risks to plaintiff and determined that other policies justified them. (See fn. 8, supra.) In fact, to the contrary, this is a classic case for the imposition of tort liability. Defendant failed to warn plaintiff of a foreseeable, latent danger, and this failure led to plaintiff‘s injury from precisely the expected source; courts encounter this type of allegation daily and are well suited to resolve its validity under traditional tort doctrine. The loss, moreover, falls peculiarly on plaintiff, who, having no administrative recourse, must achieve vindication in litigation or not at all. Since the entire populace of California benefits from the activity of the Youth Authority, it should also share
The 1963 Tort Claims Act did not alter the basic teaching of Muskopf v. Corning Hospital Dist., supra, 55 Cal.2d 211, 219: “when there is negligence, the rule is liability, immunity is the exception.” Accordingly, courts should not casually decree governmental immunity; through a literal interpretation of “discretionary” or otherwise,
In resisting this analysis, the state points out that the Youth Authority fulfills the “important” public service of rehabilitation and invites us to speculate that sanction of tort suits for negligence will impair this rehabilitative effort by encouraging “either a stand-still in [the] placement operation or at least a timid approach to rehabilitation.” Even if this dubious prediction rests on some basis in fact, however, it cannot serve as a reason for immunity.
The state‘s contention finds no support in the cases or in the 1963 codification of immunity law. The Legislature did not isolate the Youth Authority as an agency performing a function too important to risk any judicial surveillance; instead, the Youth Authority, like other agencies, attains immunity for specific types of acts and decisions and not for others. In the absence of a legislative declaration, we cannot say that the Youth Authority performs a function so much more important than that of other state agencies as to warrant total immunity. Indeed, if “importance” were the criterion, presumably most state services could meet it; immunity would then be the rule rather than the exception, and we would truly have turned Muskopf on its head.
2. The state does not achieve immunity in the instant case under
The Law Revision Commission comment to this section specifies its limited goal: to allow the proper officials “unfettered” discretion to determine “[t]he extent of the freedom that must be accorded to prisoners for rehabilitative purposes.” (Cal. Law Revision Com. Rep., Recommendation Relating to Sovereign Immunity No. 1, January 1963, p. 861; see also fn. 9, ante.) But, although
3. The parole officer‘s conduct, whether he expressed affirmative and false representations as to the youth‘s character or merely remained silent on this matter, does not warrant immunity under
At the outset, we note that, like the question of “discretionary” acts, “misrepresentation” potentially lends itself to extremely expansive and elusive interpretations. A driver of an automobile who makes a misleading turn signal, for
We avoid this potential quagmire, however, by centering on the Legislature‘s goal in exempting the state from tort liability for “misrepresentation.” The Legislature, in creating this exemption, must have had in mind those areas in which private defendants typically face liability for “misrepresentation“; in other areas, immunity for “misrepresentation” would be superfluous.
Considering a tort claim under the analogous section of the Federal Tort Claims Act, the United States Supreme Court stated, citing Dean Prosser: “many familiar forms of negligent conduct may be said to involve an element of ‘misrepresentation,’ in the generic sense of that word, but ‘[s]o far as misrepresentation has been treated as giving rise in and of itself to a distinct cause of action in tort, it has been identified with the common law action of deceit,’ and has been confined ‘very largely to the invasion of interests of a financial or commercial character, in the course of business dealings.’ ” (United States v. Neustadt (1961) 366 U.S. 696, 711, fn. 26 [6 L.Ed.2d 614, 624, 81 S.Ct. 1294].) The Senate Committee on Judiciary Comment to
In short, “misrepresentation,” as a tort distinct from the general milieu of negligent and intentional wrongs, applies to interferences with financial or commercial interest. The Legislature designed
Traynor, C. J., Peters, J., Sullivan, J., and Ford, J. pro tem.,* concurred.
BURKE, J.—I concur in the judgment.
MCCOMB, J.—I dissent. I would affirm the judgment for the reasons expressed by Mr. Presiding Justice Kaus in the opinion prepared by him for the Court of Appeal in Johnson v. State of California (Cal.App.) 65 Cal.Rptr. 717.
Respondent‘s petition for a rehearing was denied December 30, 1968. Ford, J. pro tem.,* sat in place of Mosk, J., who deemed himself disqualified. McComb, J., was of the opinion that the petition should be granted.
*Assigned by the Chairman of the Judicial Council.
Notes
Plaintiff filed a declaration in opposition to the state‘s motion. She alleged, inter alia, that Baer “said absolutely nothing to me that the teen aged boy had a criminal record or was a juvenile delinquent. . . . I thought I was getting a poor boy who did not have a home.” She concluded that even if Baer “didn‘t know that the boy had homicidal and vicious tendencies, at least he could have told me I was getting a boy with a criminal and delinquent background.”
Since nothing in either of these affidavits conclusively proves the contrary, we must assume for purposes of this appeal from the granting of summary judgment that the youth had demonstrated dangerous propensities, that the state‘s agents knew or should have known of the existence of these dangers, and that they nevertheless failed to give adequate warning to the plaintiff. Trial on the merits of the plaintiff‘s complaint will of course resolve the underlying factual questions.
The code sections establishing coextensive immunity do not, however, materially assist this court in determining the extent of that immunity in the first instance. We must still determine which actions are “discretionary.” (
Sections of the 1963 legislation that follow
In light of our previous discussion, plaintiff‘s position must prevail. Immunity for “discretionary” activities serves no purpose except to assure that courts refuse to pass judgment on policy decisions in the province of coordinate branches of government. Accordingly, to be entitled to immunity the state must make a showing that such a policy
decision, consciously balancing risks and advantages, took place. The fact that an employee normally engages in “discretionary activity” is irrelevant if, in a given case, the employee did not render a considered decision. (See generally Jaffe, Judicial Control of Administrative Action, supra, p. 259; Peck, The Federal Tort Claims Act: A Proposed Construction of the Discretionary Function Exception, supra, 31 Wash.L.Rev. 207, 225-226.)The Senate Committee on Judiciary Comment to
