Lead Opinion
In this case we must determine whether the public duty doctrine bars plaintiffs’ claims against defendant North Carolina Department of Transportation (“DOT”) under the State Tort Claims Act (“STCA”). To answer this question we must consider the impact of the limitation placed on the use of the public duty doctrine by the General Assembly’s 2008 amendment to the STCA. See N.C.G.S. § 143-299.1A (2011). Because we hold that N.C.G.S. § 143-299.1A clarified the legislature’s intent as to the role of the public duty doctrine under the STCA, the limitation on the doctrine in that statute applies here. Consequently, the doctrine does not bar plaintiffs’ claims.
Plaintiffs allege the following facts. On 31 August 2002 Mickela S. Nicholson was driving on RP 1010, a state-maintained road, in Johnston County, North Carolina. Nicholson had three passengers, Marianne Dausher, Michael Layaou, and Steven Carr. Nicholson was operating her automobile within the posted speed limit and with a proper lookout when she lawfully entered an eroded section of the highway near the shoulder. The condition of the road caused her vehicle to veer off the roadway. When she attempted to return to the highway, the erosion caused her to overcorrect. She lost control of the car, crossing the center line and striking an oncoming automobile head-on. Nicholson and all her passengers were killed.
Plaintiffs, the estates of Nicholson, Layaou, and Dauscher, sued DOT for negligence under the STCA. Plaintiffs claim that DOT was negligent in designing and executing the
The Court of Appeals reversed and remanded. After reviewing our public duty doctrine cases, the Court of Appeals concluded that the doctrine prohibits government liability for “failure to prevent the acts of third parties or failure to protect the general public from harm from an outside force” and for “important discretionary decision^] ” that involve “the allocation of limited resources.” Ray v. N.C. Dep’t of Transp., — N.C. App. —, —,
The controlling question here is whether the public duty doctrine bars plaintiffs’ claims. To answer that question we must consider whether, as plaintiffs contend, the 2008 amendment to the STCA was a clarifying one, making it applicable to the case before us. Making that determination in this particular case requires a review of the history of sovereign immunity and the public duty doctrine in North Carolina.
This Court has long recognized the common law doctrine of sovereign immunity, acknowledging that “[i]t is an established principle of jurisprudence . .. that a state may not be sued... unless by statute it has consented to be sued or has otherwise waived its immunity from suit.” Smith v. Hefner,
negligence of any officer, employee, involuntary servant or agent of the State while acting within the scope of his office, employment, service, agency or authority, under circumstances where the State of North Carolina, if a private person, would be liable to the claimant in accordance with the laws of North Carolina.
N.C.G.S. § 143-291 (2011); see also Stone v. N.C. Dep’t of Labor,
The public duty doctrine is a common law negligence doctrine that exists apart from the doctrine of sovereign immunity. See Myers,
(1) where there is a special relationship between the injured party and the police ...; and (2) “when a municipality... creates a special duty by promising protection to an individual, the protection is not forthcoming, and the individual’s reliance on the promise of protection is causally related to the injury suffered.”
Braswell,
In Stone v. North Carolina Department of Labor, we recognized the doctrine’s applicability to state agencies and to governmental functions other than law enforcement.
Later that year we were faced with another negligence claim against the State’s Department of Labor, this time by a plaintiff who was injured in a go-kart accident at an amusement park. Hunt v. N. C. Dep’t of Labor,
In our most recent case to hold that the public duty doctrine barred a negligence claim, thick smoke from a forest fire combined with fog to obscure the southbound lanes of Interstate Highway 95 (“1-95”) in Northampton County, North Carolina. Myers,
After these cases were decided, the General Assembly codified the public duty doctrine. In 2008 the legislature added N.C.G.S. § 143-299.1A to the STCA, which states:
(a) Except as provided in subsection (b) of this section, the public duty doctrine is an affirmative defense on the part of the State department, institution, or agency against which a claim is asserted if and only if the injury of the claimant is the result of any of the following:
(1) The alleged negligent failure to protect the claimant from the action of others or from an act of God by a law enforcement officer as defined in subsection (d) of this section.
(2) The alleged negligent failure of an officer, employee, involuntary servant or agent of the State to perform a health or safety inspection required by statute.
(b) Notwithstanding subsection (a) of this section, the affirmative defense of the public duty doctrine may not be asserted in any of the following instances:
(1) Where there is a special relationship between the claimant and the officer, employee, involuntary servant or agent of the State.
(2) When the State, through its officers, employees, involuntary servants or agents, has created a special duty owed to the claimant and the claimant’s reliance on that duty is causally related to the injury suffered by the claimant.
(3) Where the alleged failure to perform a health or safety inspection required by statute was the result of gross negligence.
N.C.G.S. § 143-299.1A. In enacting this provision the legislature incorporated much of our public duty doctrine case law. Subdivision 143-299. lA(a)(l) includes the Braswell holding for law enforcement officers.
By incorporating much of our public duty doctrine case law into the STCA, the General Assembly recognized that our Court was correct in utilizing the doctrine in our STCA analysis. The General Assembly also made clear that the doctrine is to be a more limited one than the common law might have led us to understand. Having relied on the common law in the absence of legislative guidance, we must now revisit the statute in light of the amendment. See Shelton v. Morehead Mem’l Hosp.,
The language of N.C.G.S. § 143-299.1A reflects an intent to limit the public duty doctrine’s application under the STCA. By the plain language of the statute, the
That the goal of the amendment was to limit the use of the public duty doctrine as an affirmative defense is also suggested by the amendment’s title. We have previously held that even when the language of a statute is plain, “the title of an act should be considered in ascertaining the intent of the legislature.” Smith Chapel Baptist Church v. City of Durham,
Having determined that section 143-299.1A limits the use of the public duty doctrine as an affirmative defense, we must identify the cases in which this limitation will operate. “In construing a statute with reference to an amendment it is presumed that the legislature intended either (a) to change the substance of the original act, or (b) to clarify the meaning of it.” Childers v. Parker’s, Inc.,
Here we are faced with an amendment to the STCA that specifies an effective date of 1 October 2008 and that it is to apply to claims arising on or after that date. As concluded in the cases cited above, if the General Assembly meant these changes substantively to amend the STCA, the changes would apply only to claims arising on or after 1 October 2008. If, however, the legislature intended the statute to clarify the application of the public duty doctrine to the STCA, section 143-299.1A will apply to all claims pending or brought before our State’s courts after the amendment’s passage.
It is this Court’s job to determine whether an amendment is clarifying or altering. See In re Ernst & Young, LLP,
“To determine whether the amendment clarifies the prior law or alters it requires a careful comparison of the original and amended statutes.” Ferrell,
Since here the statute before amendment provided no express guidance as to selling price, the amendment which addresses the selling price is best inteipreted as clarifying the statute as it existed before the amendment. It is, therefore, strong evidence of what the legislature intended when it enacted the original statute.
Ferrell,
The codification of nearly all of our public duty doctrine jurisprudence further suggests that the amendment is a clarifying one. Clarifying amendments are distinct from altering amendments in that they do not “change the substance of’ the original
This conclusion is consistent with the overall goal of the STCA. The STCA was passed to give greater access to the courts to plaintiffs in cases in which they were injured by the State’s negligence. See Stone,
Viewed broadly, we are faced here with a situation in which the General Assembly enacted a measure allowing negligence claims against the State, but did not include a provision specifying whether and how the public duty doctrine was to apply. In the absence of such a provision this Court, as it should, looked to the common law. The General Assembly reacted, speaking on a topic that it had not previously addressed and stating that, while our Court had largely properly applied the doctrine, the doctrine is to be a limited one. Taken together, these facts indicate that the General Assembly intended to clarify the role of the public duty doctrine in the STCA with N.C.G.S. § 143-299.1A. Because the legislature has now specifically explained how the public duty doctrine is to be applied, the amendment clarifies the General Assembly’s intention regarding the public duty doctrine from the time of the original enactment of the STCA.
Knowing now that the amendment applies to the case at bar, we must consider whether the public duty doctrine blocks plaintiffs’ claims. At this stage we take plaintiffs’ allegations as true, and any inferences are resolved in their favor. See Amos v. Oakdale Knitting Co.,
Plaintiffs also claim that DOT should have known of the defect because it had existed for a substantial period of time before the accident in question. Here a claim that DOT should have known of the defect amounts to a claim that DOT negligently failed to inspect the roadway for such defects. Assuming arguendo that N.C.G.S. § 143B-346 creates a statutory requirement to inspect state roads for safety, for their claim to survive the public duty doctrine defense plaintiffs must, under the amendment, allege that DOT was grossly negligent in their failure to inspect. See id. § 143-299.1A(a)(2),
[ T]he difference between the two is not in degree or magnitude of inadvertence or carelessness, but rather is intentional wrongdoing or deliberate misconduct affecting the safety of others. An act or conduct rises to the level of gross negligence when the act is done purposely and with knowledge that such act is a breach of duty to others, i.e., a conscious disregard of the safety of others.
Yancey v. Lea,
In their complaints plaintiffs allege that “[t]he defective roadway condition and drop-off had existed for a substantial period of time prior to the collision.” This assertion indicates that a considerable period of time passed without DOT inspecting the road or noticing any defect in it.,-Though the test for gross negligence turns on the totality of the circumstances, two factors are especially relevant— purposeful conduct and disregard for the safety of others. See id. Reading the allegations in the light most favorable to the plaintiffs, the passage of a substantial period of time since development of the defect without its being noticed by DOT gives rise in this case to the inference that DOT intentionally avoided traveling on or inspecting RP 1010, which would have provided an opportunity to become aware of the defect and make a decision on whether to repair it. That inference, combined with the awareness that an uninspected road can present a danger to travelers, is sufficient to support a claim for gross negligence at this stage.
Because we hold that N.C.G.S. § 143-299.1A clarifies the role of the public duty doctrine under the STCA, the doctrine does not bar plaintiffs’ claims, and those claims can go forward. The Court of Appeals decision is affirmed as modified.
MODIFIED AND AFFIRMED.
Notes
. N.C.G.S. § 143-299.1A(d) defines “law enforcement officer” for the purposes of the public duty doctrine. That statute provides: “For purposes of this section, law enforcement officer’ means a full time or part time employee or agent of a State department, institution, or agency or an agent of the State operating under an agreement with a State department, institution, or agency of the State who is any of the following: (1) Actively serving in a position with assigned primary duties and responsibilities for prevention and detection of crime or the general enforcement of the criminal laws of the State or serving civil processes. (2) Possesses the power of arrest by virtue of an oath administered under the authority of the State. (3) Is a juvenile justice officer, chief court counselor, or juvenile court counselor. (4) Is a correctional officer performing duties of custody, supervision, and treatment to control and rehabilitate criminal offenders. (5) Is a firefighter as defined in G.S. 106 955(1). (6) Is a probation officer appointed under Article 20 of Chapter 15 of the General Statutes.” N.C.G.S. § 143-299.lA(d).
Concurrence in Part
concurring in part and dissenting in part.
I agree with Chief Justice Parker and Justice Timmons-Goodson that the majority’s analysis is flawed regarding the retroactivity of the 2008 amendment; I share the concern that serious and extensive unintended consequences could flow from this decision. However, I agree with the majority that two types of plaintiffs’ claims should not be dismissed. Accordingly, I concur in part and dissent in part.
I agree with both dissenting opinions that the 2008 amendment cannot be construed as a clarifying amendment. I am especially convinced by the plain language of the statute, which states that the 2008 amendment “becomes effective October 1, 2008, and applies to claims arising on or after that date.” Act of Aug. 4, 2008, Ch. 170, Sec. 2, 2008 N.C. Sess. Laws 690, 691. Second, the caption of the amendment states that its purpose is to “limit the use of the public duty doctrine as an affirmative defense,” indicating an intent to change (by limiting) the existing law. Id. at 690. In my view, it is not our role to disregard this plain expression of legislative intent and this plain statutory language and apply the amendment here to cases that arose in 2002. Further, I fear that by so doing the majority jeopardizes the status of any number of other substantive amendments throughout the general statutes. I would hold that the 2008 amendment does not apply to this case.
However, I would hold that the public duty doctrine, as previously articulated by this Court, does not bar plaintiffs’ claims. As pointed out by the majority, plaintiffs made three types of claims in their complaints. The first two claims are for (1) negligent design and execution and (2) negligent failure to repair. I see no authority that would
To date, this Court has only examined the public duty doctrine as an affirmative defense in five cases. In two of those cases, we examined the doctrine as it related to the actions of law enforcement and other public safety officers. See Myers v. McGrady,
For these reasons, I respectfully concur in part and dissent in part.
Dissenting Opinion
dissenting.
Although the Tort Claims Act represents “a limited waiver of [the State’s] sovereign immunity,” Myers v. McGrady,
These cases demonstrate that the Tort Claims Act did not eliminate the public duty doctrine, which continued to exist in a form not limited by the strictures of the amendment passed by the General Assembly in 2008. Consequently, the same analysis we applied in Multiple Claimants, Myers, Hunt,
To avoid the result compelled by our precedents, the majority has endeavored to superimpose the amended Tort Claims Act — and thus a more limited form of the public duty doctrine — upon claims that antedate it. Specifically, the majority gives the 2008 amendment retroactive effect by construing it as a “clarification” of what the legislature believed the law already was. That interpretation is unsupportable.
“An amendment which in effect construes and clarifies a prior statute must be accepted as the legislative declaration of the meaning of the original act, where the amendment was adopted soon after the controversy arose concerning the proper interpretation of the statute.” 1A Norman J. Singer & J.D. Shambie Singer, Statutes and Statutory Construction § 22:31, at 374-75 (7th ed. 2009) [hereinafter Singer & Singer] (footnote omitted). In this instance the General Assembly did not make this supposed clarification until ten years after Stone and Hunt and seventeen years after Braswell. Thus, timing weighs against the majority’s interpretation. Most significant, however, is that the 2008 amendment does not “construe” or “clarify” the Tort Claims Act at all. Rather, the amendment changes the law by limiting a preexisting common law doctrine not mentioned in the initial iteration of the Tort Claims Act.
Moreover, the plain language of the amendment states that it only applies to “claims arising on or after” its effective date. Act of July 9, 2008, ch. 170, sec. 2, 2008 N.C. Sess. Laws 690, 691. “This language is too plain for construction.” Pac. Mut. Life Ins. Co. v. Ins. Dep’t,
This plain language also prohibits reading the amendment as a “clarification” of what the law already was. We have addressed the issue before:
In construing a statute with reference to an amendment, the presumption is that the legislature intended to change the law.... We also consider it significant that [the act in question] provide [s] that the amendment shall not be applied retroactively. This is strong evidence that the legislature understood that the amendment occasioned a change in, rather than a clarification of, existing law.
State ex rel. Utils. Comm’n v. Pub. Serv. Co. of N.C.,
Additional evidence that the General Assembly understood it was limiting a preexisting
An act to limit the use of the public duty doctrine as an affirmative defense for claims under the State Tort Claims Act in which the injuries of the claimant are the result of the alleged negligent failure of certain parties to protect claimants from the action of others.
Ch. 170,
Despite this strong evidence of the legislature’s intent and understanding of the law, the majority’s opinion gives retroactive life to an amendment that has the effect of depriving the Department of Transportation of a common law defense. Our rules of construction do not permit this result. Smith v. Mercer,
The original Tort Claims Act did not speak to the public duty doctrine at all. The doctrine continued to exist, in the form in which it was applied in Hunt and Stone, at the time plaintiffs’ decedents had their accident. If the legislature had intended to “clarify” the relationship between the Tort Claims Act and the public duty doctrine— a subject on which it had not yet spoken — it could have made that intention manifest. If it had intended to give the 2008 amendment retroactive scope, it could have done so. It did neither. I therefore respectfully dissent.
Dissenting Opinion
dissenting.
In its analysis, the majority disregards this Court’s prior precedent and incorrectly applies a well-established canon of statutory interpretation involving the construction of amendatory acts. Accordingly, I respectfully dissent.
I.
As explained by the dissent at the Court of Appeals, this case is controlled by Myers v. McGrady,
II.
I write further to express my concern regarding the majority’s retrospective application of N.C. Session Law 2008-170, codified as N.C.G.S. § 143-299.1A (2011), which the majority mistakenly views as a clarification of the State Tort Claims Act, N.C.G.S. § 143-291(a) (2011). Section 143-299.1A, which I will refer to as the “2008 Amendment,” does not apply here.
Whether the 2008 Amendment applies to this case is a matter of legislative intent. See Shelton v. Morehead Mem’l Hosp.,
Rather than address the language of the 2008 Amendment itself, however, the majority invokes the doctrine of legislative clarification. This is a canon of statutory construction in which we use a later legislative enactment to assist in determining the meaning of a former ambiguous legislative enactment. See Childers v. Parker’s, Inc.,
The doctrine operates as follows: When the legislature alters a statute, we presume that the legislature intended either to “(1) change the substance of the original act or (2) clarify the meaning of it.” Trs. of Rowan Technical Coll. v. J. Hyatt Hammond Assocs.,
This distinction between a substantive alteration in the original statute and a clarifying alteration is a meaningful one. We have concluded that a clarifying amendment, unlike an altering amendment, applies to all cases pending or brought before the courts prior to the passage of the clarifying amendment. Wells v. Consol. Jud’l Ret. Sys. of N.C.,
Enacted in 1951, and still in effect today, the Tort Claims Act adopted a partial waiver of the State’s sovereign immunity for tort liability.
Moreover, a careful comparison of our public duty doctrine case law and the 2008 Amendment reveals that rather than clarifying the Tort Claims Act, the 2008 Amendment instituted numerous material substantive changes in the governing case law regarding the public duty doctrine. Decisions of this Court prior to the 2008 Amendment made clear that the public duty doctrine could bar negligence claims against not only law enforcement, see, e.g., Braswelll,
In contrast, the 2008 Amendment materially changes the law by reducing the applicability of the public duty doctrine as an affirmative defense. In essence, the 2008 Amendment permits the State to raise this affirmative defense “if and only if” the claimant alleges a (1) “failure to protect the claimant from the action of others or from an act of God by a law enforcement officer” or (2) the negligent failure of a State agent to “perform a health or safety inspection required by statute.” N.C.G.S. § 143-299.1A(a) (emphases added). This is a significant departure from our prior articulation of the public duty doctrine, which we broadly described as providing that “when a governmental entity owes a duty to the general public, particularly a statutory duty, individual plaintiffs may not enforce the duty in tort.” Myers,
In determining whether a statutory amendment was a clarification or an alteration, we have also sought guidance in the title of the amendment. In State ex rel. Cobey v. Simpson, for example, we placed significant emphasis upon a title that clearly indicated a legislative intent to clarify existing legislation.
Here, the amendment in question is captioned “An Act to Limit the Use of the Public Duty Doctrine as an Affirmative Defense for Claims Under the State Tort Claims Act in Which the Injuries of the Claimant Are the Result of the Alleged Negligent Failure of Certain Parties to Protect Claimants from the Actions of Others.” Ch. 170,
The majority opinion concerns me for a number of additional reasons. First, the majority contends that “the [2008] amendment clarifies the General Assembly’s intention regarding the public duty doctrine from the time of the original enactment of the [Tort Claims Act].” But, as explained above, it is unlikely the legislature considered the public duty doctrine at all when it enacted the Tort Claims Act in 1951, over sixty years ago. It bears repeating that the public duty doctrine was not recognized in our jurisprudence until 1991. Braswell,
Second, the majority states that the public duty doctrine “exists apart from the doctrine of sovereign immunity” and apart from the State’s partial waiver of sovereign immunity. Yet, the majority also claims that the public duty doctrine lay hidden in the silence of the Tort Claims Act since 1951. I do not understand how the majority reconciles these two opposing views.
Third, in concluding that the 2008 Amendment is a clarifying rather than an amending act, the majority cites to no cases factually analogous to this matter. The legislature first enacted a partial waiver of sovereign immunity in 1951. Roughly forty years later we recognized an affirmative defense limiting the tort liability of the State that had previously not been part of our common law. Nearly two decades passed and our legislature then codified this affirmative defense, adopting some appellate case law articulating the public duty doctrine, while rejecting other case law on the same issue, and narrowing the application of the doctrine considerably. The cases cited in the majority opinion merely compare two sections of legislation and do not address situations when, as here, intervening case law affects the analysis.
Finally, for the reasons set forth above, I am concerned that in an effort to preserve plaintiffs’ claims, the majority stretches the doctrine of legislative clarification too far. While we may not have these plaintiffs before us again, we will certainly employ this canon of construction in the future. The next time we consider whether a legislative amendment is a clarification or an alteration
. See also 1A Norman J. Singer & J.D. Shambie Singer, Statutes and Statutory Construction § 22:30, at 369 (7th ed. 2009) [hereinafter Singer, Statutes] (“[T]he time and circumstances surrounding the enactment of an amendment may indicate that the change wrought by the amendment was formal only — that the legislature intended merely to interpret the original act.”); 73 Am. Jur. 2d Statutes § 132, at 341-42 (2001) (“[E]very change in phraseology does not indicate a change in substance and intent. [T]hus, a change in phraseology may be only to improve the diction, or to clarify that which was previously doubtful.” (footnotes omitted)).
. See Taylor v. Crisp,
. Today the Tort Claims Act empowers the Industrial Commission to hear and determine claims against the State arising:
as a result of the negligence of any officer, employee, involuntary servant or agent of the State while acting within the scope of his office, employment, service, agency or authority, under circumstances where the State of North Carolina, if a private person, would be liable to the claimant in accordance with the laws of North Carolina.
N.C.G.S. § 143-291(a) (2011).
