Darryl R. Montague v. Hundred Acre Homestead, LLC
Darryl R. Montague v. Hundred Acre Homestead, LLC
Opinion
¶ 1. This case calls for us to consider whether one who provides residential care for an individual has a tort-law duty to warn a potential victim of violence by that individual when that potential victim is neither individually identified or identifiable, nor a member of a discrete identified or identifiable class of potential victims. Plaintiff Darryl Montague sued Hundred Acre Homestead, a therapeutic residential community, after a resident of Hundred Acre shot him at the shooting range he owned. He invokes two theories of liability: first, that as the resident's mental-health provider, Hundred Acre breached a duty to take reasonable steps to protect him from the resident by warning him of the danger she posed; and second, that Hundred Acre breached a duty to him by accepting and retaining the resident for care in violation of applicable Vermont regulations. Montague has appealed the superior court's dismissal of both. We conclude that both theories of negligence fail because neither establishes that Hundred Acre had a cognizable legal duty to protect Montague enforceable through a private tort action. We thus affirm.
¶ 2. Montague's complaint reflects the following. V.M. (resident) began living at Hundred Acre, a licensed therapeutic community residence, in January 2015. As part of its intake process, Hundred Acre was required to comprehensively assess resident's history, including her current level of personal, social, familial, educational, and vocational adjustment, and to identify any major dysfunctions leading to her need for residential treatment. It was also required to review information from agencies, institutions, and programs she had previously used. It had to determine if it could safely and appropriately provide for her care needs, or if she had a serious, acute illness requiring the medical, surgical, or nursing care of a general or special hospital.
¶ 3. Resident had a history of mental illness that had resulted in multiple previous hospital admissions for psychiatric care, and for which she had been prescribed antipsychotic medications. She had a criminal record that included an order prohibiting her from purchasing or possessing a firearm or other weapons; an order restraining her from contacting certain persons; at least two past charges dismissed due to mental incapacity; and two convictions from the previous year for criminal assault in the third degree with intent to cause physical injury.
¶ 4. While at Hundred Acre, resident "inquired three times about wanting to go target shooting because that was a way for her to deal with aggression."
¶ 5. On June 29, 2015, resident went to Vermont Target Sports, 1 a target-shooting facility, and shot its owner Darryl Montague in the head and abdomen, causing him severe injuries that will prevent him from ever being able to function normally again, and for which he will require constant medical attention for the rest of his life.
¶ 6. In April 2017, Montague filed this action for damages, alleging that Hundred Acre was negligent because it knew or should have known that resident had a history of mental illness, a criminal record that included an order prohibiting her from possessing firearms and other weapons, and two recent criminal-assault convictions, and thus "knew or should have known that she posed a serious risk of danger to identifiable or foreseeable third parties." He argued that Hundred Acre, as resident's mental-health provider, had a special relationship which imposed on it a duty to use reasonable care to protect foreseeable or identifiable victims of gun violence by resident, such as him-and that it failed to do so, directly and proximately causing his injuries. Montague also alleged that Hundred Acre was negligent because it violated Vermont regulations by accepting and retaining resident when she had needs for which it could not safely and appropriately provide, and that its breach of this duty directly and proximately caused his injuries.
¶ 7. Hundred Acre moved to dismiss, arguing it owed no duty to Montague to warn or protect him from resident. It noted that there is generally no duty to control the actions of another in order to protect a third party, and that the exception requiring mental-health professionals to take steps to protect identifiable victims to whom their patients pose a serious danger did not apply in this case because Montague was not an identifiable victim. It also argued that the regulations Montague cited did not support a private action for damages by members of the general public because they were explicitly enacted for the protection of therapeutic-community residents.
¶ 8. The superior court dismissed Montague's claims, holding Montague had failed to establish Hundred Acre owed him a duty of care. It held Hundred Acre had no duty to warn Montague because Montague was not an identifiable victim, and rejected Montague's claim that Hundred Acre was negligent in accepting or retaining resident in violation of state regulations, namely the Licensing and Operating Regulations for Therapeutic Community Residences, §§ 4.15(b)(3), 5.1(a), because those regulations "do not create an actionable duty." Code of Vt. Rules 13-110-012 [hereinafter Licensing and Operating Regulations], https://dail.vermont.gov/resources/regulations [https://perma.cc/2EMS-FR5V].
¶ 9. On appeal, Montague reiterates his two main arguments: first, Hundred Acre was negligent because, as resident's mental-health provider, it had a duty under
Peck v. Counseling Service of Addison County, Inc.
,
¶ 10. We review the trial court's decision on a motion to dismiss without deference, applying the same standard as the trial court. On a motion to dismiss, the court must assume that the facts pleaded in the complaint are true and make all reasonable inferences in the plaintiff's favor.
Mahoney v. Tara, LLC
,
¶ 11. We are particularly wary of dismissing novel claims because "[t]he legal theory of a case should be explored in the light of facts as developed by the evidence, and, generally, not dismissed before trial because of the mere novelty of the
allegations."
Ass'n of Haystack Prop. Owners, Inc. v. Sprague
,
¶ 12. We conclude that Montague has not alleged facts that would place this case within the narrow exception to the general rule that there is no duty to act to prevent harm by another to a third person, and that the regulations governing licensed therapeutic communities upon which Montague relies do not support Montague's private action for damages against Hundred Acre. Although our analysis is framed with reference to the sufficiency of Montague's factual allegations, it turns on the validity of his legal theories. That is, it turns on "the law of the claim, not the facts which support it."
Powers
,
I. Violation of Mental-Health Provider's Duty to Protect
¶ 13. To survive a motion to dismiss, Montague must plead facts showing that Hundred Acre had a duty to prevent resident from harming him. There is generally no duty to protect another from the actions of a third person, and this case does not fall within any exceptions to this general rule.
¶ 14. In prosecuting a claim of negligence against Hundred Acre, Montague must allege facts establishing that Hundred Acre, as resident's mental-health provider, had a duty to protect him from resident. A claim for "common law negligence has four elements: a legal duty owed by defendant to plaintiff, a breach of that duty, actual injury to the plaintiff, and a causal link between the breach and the injury."
Stopford v. Milton Town Sch. Dist.
,
¶ 15. There is generally no duty to protect another from the actions of a third person. See
Buxton v. Springfield Lodge No. 679
,
¶ 16. One limited exception to this general rule is that mental-health professionals, by virtue of their special relationship with their patients, have a duty to take reasonable action to protect identified third parties toward whom their patients have threatened serious physical harm.
Peck
,
¶ 17. In the wake of
Peck
, this Court has struggled to determine the scope of the mental-healthcare provider's duty to protect potential victims. In
Kuligoski
, decided two years ago, the Court was divided as to whether the
Peck
decision limits a mental-health provider's duty to protecting only specifically identified individuals who are at risk, or whether it potentially extends in some cases to individuals who have not been specifically identified. Compare
Kuligoski
, 2016 VT 54A, ¶ 38,
¶ 18. But the Court was not divided with respect to the proposition that
Peck
does not support a generalized duty to protect or warn all foreseeable victims. See
Kuligoski
, 2016 VT 54A, ¶ 41,
¶ 19. Moreover, even if this Court concluded that the duty recognized in
Peck
applies to "readily identifiable" victims, rather than only those actually identified, Montague's complaint would still fail to state a claim. Many states apply the duty recognized in
Peck
to cases where a therapist knows or should know that a patient poses a specific threat to reasonably identifiable third persons, in addition to those who are actually identified. See
Kuligoski
, 2016 VT 54A, ¶ 36,
¶ 20. Even if we concluded that it does, Montague's complaint would still fail to state a claim. Montague alleges that while residing at Hundred Acre, resident "inquired three times about wanting to go target shooting because that was a way for her to deal with aggression." He argues that these inquiries put Hundred Acre on notice that he, as the owner of a target-shooting facility, was part of a determinate class of potential victims that faced a particularized threat. We do not agree that the allegation in Montague's complaint could support an inference that he was part of a determinate and identifiable class that faced a particularized threat. Resident's claimed statements do not support the inference that she posed a risk of violence toward anyone at all, let alone a class of people that included Montague. Had she said to her care providers that she wanted to go to the gym to "blow off steam," that statement would not reasonably support an inference that she intended to harm someone, and would not give rise to a duty to protect anyone working at a health club. For these reasons, we reject Montague's first theory of liability. 4
II. Violation of Statute and Regulations
¶ 21. Montague next contends that Hundred Acre is liable for negligence because it violated Vermont statute
5
and regulations by operating in a manner "inimical to the public health, morals, welfare, and safety of the people of the State of Vermont," 33 V.S.A. § 7111(d)(3) ; Licensing and Operating Regulations § 4.15(b)(3), and by accepting and retaining a resident whose needs were beyond "what the residence is able to safely and appropriately provide." Licensing and Operating Regulations § 5.1(a). He argues that these laws establish and define a duty by Hundred Acre to him because "[p]roof of the violation of a safety statute" or regulation such as these "creates a prima facie case of negligence" regardless of whether the statute provides that its violation will result in civil liability, citing
Cooper v. Burnor
,
¶ 22. This second claim of negligence fails because the safety statute and regulations cited by Montague do not support a private action for damages by Montague against Hundred Acre. A court may in certain circumstances recognize a private right of action to remedy violation of a statute that does not otherwise provide a civil remedy. See Restatement (Second) of Torts § 874A (1979). But here, where the statute and associated regulations are not directed at protecting Montague, he cannot pursue a private action for damages on the basis that Hundred Acre allegedly violated them.
¶ 23. Restatement (Second) of Torts § 874A provides a framework for determining whether a private action for damages is available to remedy the violation of a statute that does not expressly include a civil remedy. 6
Dalmer v. State
,
When a legislative provision protects a class of persons by proscribing or requiring certain conduct but does not provide a civil remedy for the violation, the court may, if it determines that the remedy is appropriate in furtherance of the purpose of the legislation and needed to assure the effectiveness of the provision, accord to an injured member of the class a right of action, using a suitable existing tort action or a new cause of action analogous to an existing tort action.
In order to recover in a tort action arising from a legislative provision, a plaintiff must show that (1) the plaintiff is a member of the group of people whom the legislation was intended to protect, and (2) "the interest invaded, the harm resulting to that interest and the hazard producing the harm were all within the purview of the legislative provision."
7
¶ 24. Considering these factors, we conclude that Montague is not entitled to sue Hundred Acre for damages on account of its alleged violations because it is clear from the plain language of 33 V.S.A. § 7111 and the Licensing and Operations Regulations that their overarching purpose is to protect the class of residents of long-term-care facilities, not members of the public generally.
8
The statement of purpose in the enabling statute regarding long term care facilities reflects that the purpose of the statutes is to "promote safe surroundings, adequate care, and humane treatment, safeguard the health of, safety of, and continuity of care
to residents
, and protect
residents
from the adverse health effects caused by abrupt or unsuitable transfer of such persons cared for in these facilities." 33 V.S.A. § 7101 (Emphasis added.) The statute Montague cites on appeal provides for the licensing agency to enforce its provisions "to protect residents." 33 V.S.A. § 7111(a). Moreover, the
implementing regulations state that the "purpose of enforcement actions" under the regulations "is to protect residents." Licensing and Operations Regulations § 4.15. The statute does provide that the licensing agency may "suspend, revoke, modify, or refuse to renew a license" for "conduct inimical to the public health, morals, welfare, and safety of the people of the State of Vermont in the maintenance and operation of the premises for which a license is issued." 33 V.S.A. § 7111(d). But we cannot read the general language about the "people of the State of Vermont" as evincing an intent to protect the general public
from residents
, rather than an intent to protect members of the public in their capacity
as residents
of licensed facilities. See
Lyons v. Chittenden Cent. Supervisory Union
,
¶ 25. We thus cannot find that Montague has a right to bring an action on the basis of either alleged violation-that Hundred Acre operated in a manner inimical to public safety, see 33 V.S.A. § 7111(d), or that it accepted and retained a resident whose care needs exceeded what it could safely and appropriately provide for, see Licensing and Operations Regulations § 5.1(a). Far from furthering "the purpose of the legislation and ... assur[ing] [its] effectiveness," recognizing such a cause of action would fly in the face of the statute's and regulations' plain language. Restatement (Second) of Torts § 874A.
Affirmed .
While the complaint does not allege that Hundred Acre drove resident to a bus station, from which she traveled to Vermont Target Sports, Montague claimed this in his opposition to Hundred Acre's motion to dismiss and on appeal, and Hundred Acre acknowledges in its appellate briefing that this was the case. There is no allegation that Hundred Acre knew resident intended to go to a target-shooting range that day. The additional claim that agents of Hundred Acre drove resident to the bus station on the day of the incident does not change our analysis.
Montague notes that, while the Legislature enacted 18 V.S.A. § 1882 on May 30, 2017 to "limit mental health professionals' duty to that as established in common law by Peck ," § 1882 does not apply to this action because it was enacted after Montague filed this action.
Kuligoski
recognized a duty to warn a caregiver in the zone of danger of a patient's dangerous propensities. We held this duty "applies only when a caregiver is actively engaging with the patient's provider in connection with the patient's care or the patient's treatment plan ..., the provider substantially relies on that caregiver's ongoing participation, and the caregiver is ... within the zone of danger of the patient's violent propensities."
Id.
¶ 52,
Montague argues that deciding these questions at the motion-to-dismiss stage requires improper judicial factfinding. We agree that courts should give a plaintiff the benefit of any reasonable inferences supported by the allegations in a complaint. But whether, even with such inferences, the alleged facts establish that Hundred Acre owed Montague a legal duty is a legal determination appropriate for resolution at the motion-to-dismiss stage. See
Sorge
,
Hundred Acre points out that Montague did not raise a violation of the statute below. Even had Montague raised it below, it would not have altered the outcome, as neither the statute nor the regulations give rise to a private action for damages by Montague against Hundred Acre.
The parties and trial court relied on the principles set forth in § 286 of the Restatement (Second) of Torts to guide their analysis on this issue. We take this opportunity to reiterate the distinction between § 286 and § 874A. "Where a party has an existing legal duty to another, a safety statute may serve as rebuttable evidence that the defendant breached the applicable standard of care, thereby shifting the burden of production to the defendant."
Sheldon v. Ruggiero
,
By contrast, Restatement (Second) of Torts § 874A supplies the framework for evaluating whether violation of a safety statute that does not expressly include a civil remedy can support a private action for damages. See id. ¶ 16 n.5. Montague is not relying on the statutes and regulations he cites to supply the standard of care to apply in the context of an established duty of care. Rather, he invokes the statute and regulations as the source a duty enforceable through a claim for damages. For that reason, we apply the framework of § 874A in analyzing the issue.
We note that we previously adopted several factors laid out by the United States Supreme Court in
Cort v. Ash
,
Both the statute and regulations give the appropriate licensing agency, attorney general, and residents the right to bring actions to enjoin any violations of the statute and regulations, and they confer authority on the licensing agency to take other enforcement actions. 33 V.S.A. § 7111 ; Licensing and Operations Regulations § 4.15. But neither provides a private right of action for damages for members of the public generally.
Reference
- Full Case Name
- Darryl R. MONTAGUE v. HUNDRED ACRE HOMESTEAD, LLC
- Cited By
- 50 cases
- Status
- Published