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1. Appeal and Error--appealability_denial of motion to dismiss_public duty doctrine--
substantial right
Although ordinarily the denial of a motion to dismiss is an interlocutory order,
defendant's appeal in an action under the Tort Claims Act arising out of a fire at a county jail is
based on the public duty doctrine, and thus, involves a substantial right warranting immediate
appellate review.
2. Prisons and Prisoners; Tort Claims Act--public duty doctrine--jail inspections--
private duty--special relationship
The public duty doctrine did not bar tort claims relating to the deaths of four inmates and
serious injury to another inmate in a fire at a county jail allegedly caused by negligent inspection
of the jail by an employee of defendant N.C. Department of Heal and Human Services (DHHS)
and negligent training of the inspector by DHHS because: (1) DHHS' duty to inspect jail
conditions, expressly including those related to fire safety, is for the purpose of ensuring the
safety, health, and welfare of jail inmates; (2) neither the statutes nor the regulations can be
reasonably construed as creating a duty to inspect for the benefit of the public or for the public's
general protection; (3) even if the Court of Appeals concluded in this case, contrary to the
pertinent statutes, that a duty was owed to the general public, the public duty doctrine would still
not apply unless the claim alleged a failure to detect and prevent misconduct by third parties
(there has been no allegation in this case that the fire was the result of misconduct as opposed to
negligence by another person); (4) most of the cases cited by the dissent involve claims against
local governments and not State agencies, or address law enforcement's exercise of its duty to
protect the public generally and not a duty to a specified class of individuals; (5) the statutes and
regulations pertinent to DHHS' duty in this case specifically identify the particular class of
persons for protection by DHHS, which is inmates of local detention facilities; (6) although
DHHS and the dissent urge alternatively that the public duty doctrine should nonetheless apply
based on the fact that any duty to the inmates belonged solely to the local officials, the plain
language of the statutes indicate that the General Assembly has chosen to impose a duty upon the
State regarding jail inmates; (7) the Court of Appeals is not free to employ a common law rule to
reinstate sovereign immunity when the State has both waived that immunity and specifically
assumed a duty to jail inmates; (8) even if the Court of Appeals concluded that the statutes and
regulations imposed a duty to inspect for the benefit of the public, the Court of Appeals would
still hold that plaintiff prisoners fall within the special relationship exception to the public duty
doctrine that arises by virtue of imprisonment; (9) federal courts in other jurisdictions have held
that a state's duty to ensure that a jail meets prescribed standards is sufficient to support liability
under the more stringent standards of 42 U.S.C. § 1983 despite primary responsibility for the jail
resting with local officials; and (10) no cases were cited, nor were any found, suggesting in any
manner that causation is relevant to a determination of the applicability of the public duty
doctrine.
Judge TYSON concurring in part and dissenting in part.
Beasley, Allen, Crow, Methvin, Portis & Miles, P.C., by
Benjamin E. Baker, Jr.; Grimes & Teich, by Henry E. Teich;
William Hixon; Elmore, Elmore & Williams, P.A., by Bruce A.
Elmore, Jr.; C. Gary Triggs; Byrd, Byrd, Ervin, Whisnant &
McMahon, P.A., by Robert K. Denton and Lawrence D. McMahon,
Jr.; Anderson Law Firm, P.A., by Scott M. Anderson, for
plaintiffs-appellees.
Attorney General Roy Cooper, by Special Deputy Attorney
General David Roy Blackwell, Special Deputy Attorney General
Melissa L. Trippe, Special Deputy Attorney General Amar
Majmundar, and Assistant Attorney General Richard L. Harrison,
for defendant-appellant.
GEER, Judge.
Defendant North Carolina Department of Health and Human
Services ("DHHS") appeals from an order of the North Carolina
Industrial Commission denying its motion to dismiss based on the
public duty doctrine. Plaintiffs' claims under the State Tort
Claims Act arose out of a fire on 3 May 2002 at the Mitchell County
jail. The fire claimed the lives of inmates Jason Jack Boston,
Mark Halen Thomas, Jesse Allen Davis, and Danny Mark Johnson and
seriously injured inmate O.M. Ledford, Jr. Plaintiffs contend that
the inspector for DHHS was negligent in his inspection of the
Mitchell County jail and that DHHS failed to properly train the
inspector to perform his duties as an inspector of county jails.
Our Supreme Court has held that the public duty doctrine
applies "'to state agencies required by statute to conduct
inspections for the public's general protection'" Wood v. GuilfordCounty, 355 N.C. 161, 167, 558 S.E.2d 490, 495 (2002) (emphasis
added) (quoting Lovelace v. City of Shelby, 351 N.C. 458, 461, 526
S.E.2d 652, 654 (2000)). Although DHHS acknowledges that the
General Assembly has placed a duty on DHHS to perform inspections
of local detention facilities to ensure the health and welfare of
prisoners in such facilities, it argues that these inspections
"benefit the public" because "[t]he inmates addressed in these
statutes are members of the public . . . ."
If we were to accept this facile argument, we would
effectively eviscerate the Tort Claims Act, since State agencies
would be able to argue that any duty that they owed was necessarily
to a member of the public since all residents of North Carolina are
members of the public. This Court must, however, be ever vigilant
not to act as a super-legislature that imposes its notion of public
policy in the face of statutory determinations otherwise. It is
for the General Assembly, and not judges, to decide questions of
public policy regarding how and when the State may be sued.
For 100 years, North Carolina's courts have recognized that
governments owe a private duty to inmates to maintain their health
and safety. In connection with that duty, our General Assembly has
specifically provided that DHHS has the duty to inspect local
detention facilities, including jails, in order to ensure the
protection of jail inmates. Since this duty is for the benefit of
the inmates and not for the general public, the public duty
doctrine does not apply. We, therefore, hold that the Industrial
Commission properly denied DHHS' motion to dismiss.
Following the fire at the Mitchell County jail, plaintiffs
filed separate affidavits of claim in the Industrial Commission
pursuant to the Tort Claims Act, N.C. Gen. Stat. Art. 31, §§
143_291 et seq. (2005). The claims of all five plaintiffs were
consolidated before the Industrial Commission on 27 August 2003.
Because this appeal is before us on DHHS' motion to dismiss, we
treat the factual allegations in plaintiffs' affidavits of claim as
true. Hunt v. N.C. Dep't of Labor, 348 N.C. 192, 194, 499 S.E.2d
747, 748 (1998).
Plaintiffs alleged that Ernest Dixon, a DHHS employee
responsible for inspecting the Mitchell County jail, failed to
adequately inspect the jail "to ensure compliance with certain
regulations and to ensure that all fire safety devices and
procedures were in good working order." Plaintiffs also alleged
that DHHS acted negligently in "fail[ing] to properly train [Mr.
Dixon] to perform the special duties of inspecting county jails for
the protection of . . . inmates."
DHHS filed a motion to dismiss pursuant to N.C.R. Civ. P.
12(b)(1), (2), and (6) on the grounds that plaintiffs' claims were
barred by the public duty doctrine under Braswell v. Braswell, 330
N.C. 363, 410 S.E.2d 897 (1991), and Stone v. N.C. Dep't of Labor,
347 N.C. 473, 495 S.E.2d 711, cert. denied, 525 U.S. 1016, 142 L.
Ed. 2d 449, 119 S. Ct. 540 (1998). In response to the motion,
plaintiffs amended their affidavits of claim to expressly allegethat a special relationship existed between the inmates and DHHS
and that DHHS owed them a special duty.
Specifically, plaintiffs alleged that because the inmates were
unable to protect themselves, "a special relationship arose between
the aforementioned department and [the inmate] to fulfill the
duties imposed under the law to ensure that the [inmate], as a
confined individual, would be protected in the event of a fire."
Plaintiffs further alleged that "the State promised it would
inspect county jails to ensure the protection of inmates in the
event of fires." Finally, plaintiffs asserted that "[t]he duties
described hereinabove were not for the benefit of the public at
large, but for the benefit of the specific individuals confined in
the subject jail."
Deputy Commissioner Edward Garner, Jr. denied DHHS' motion to
dismiss. DHHS appealed to the Full Commission, which upheld the
Deputy Commissioner's decision. DHHS timely appealed that decision
to this Court pursuant to N.C. Gen. Stat. § 143_293 (2005).
After the historic tort barrier of
governmental immunity crumbled and states
provided waiver mechanisms, state courts
resurrected the [public duty doctrine] to
provide limits to governmental tort liability
when their legislatures had not done so.
Thus, state courts embraced the public duty
doctrine to confine liability to specific
types of governmental actions, namely those
not undertaken for the public in general.
Frank Swindell, Note, Municipal Liability for Negligent Inspections
in Sinning v. Clark _ A "Hollow" Victory for the Public Duty
Doctrine, 18 Campbell L. Rev. 241, 247-49 (1996).
Our Supreme Court specifically adopted the public duty
doctrine for the first time in 1991:
The general common law rule, known as the
public duty doctrine, is that a municipality
and its agents act for the benefit of the
public, and therefore, there is no liability
for the failure to furnish police protection
to specific individuals. This rule recognizes
the limited resources of law enforcement and
refuses to judicially impose an overwhelming
burden of liability for failure to prevent
every criminal act.
Braswell, 330 N.C. at 370-71, 410 S.E.2d at 901 (internal citations
omitted). In 1998, the Supreme Court extended this "common law
rule" to certain conduct of State agencies challenged under the
Tort Claims Act. Stone, 347 N.C. at 479, 495 S.E.2d at 715. In
response to Justice Orr's vigorous dissent, the majority emphasized
that this extension involved a "limited new context, not heretofore
confronted by this Court." Id. at 483, 495 S.E.2d at 717.
Subsequently, the Supreme Court described this extension as
limited to applying "the public duty doctrine to state agencies
required by statute to conduct inspections for the public's general
protection." Lovelace, 351 N.C. at 461, 526 S.E.2d at 654
(emphasis added). Two years later, the Court reemphasized this
limitation on the application of the public duty doctrine with
respect to State agencies. See Wood, 355 N.C. at 167, 558 S.E.2d
at 495 ("[T]his Court has extended the public duty doctrine to
state agencies required by statute to conduct inspections for the
public's general protection . . . ."). See also Isenhour v. Hutto,
350 N.C. 601, 608, 517 S.E.2d 121, 126 (1999) (noting that the
public duty doctrine applies only to a violation of a "statutory
duty of a state agency to inspect various facilities for the
benefit of the public").
The first question we must decide, therefore, is whether the
duty of inspection relied upon by plaintiffs was one "to conduct
inspections for the public's general protection." Lovelace, 351
N.C. at 461, 526 S.E.2d at 654. If we conclude that the duty to
inspect set out by the General Assembly was not "intended tobenefit the public at large," Wood, 355 N.C. at 169, 558 S.E.2d at
496, then the public duty doctrine does not apply. If, on the
other hand, we conclude that the public duty doctrine does apply,
we must next determine whether plaintiffs fall within one of the
two exceptions to that doctrine:
[E]xceptions to the doctrine exist: (1) where
there is a special relationship between the
injured party and the governmental entity; and
(2) when the governmental entity 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.
Stone, 347 N.C. at 482, 495 S.E.2d at 717. We note that in
addition to arguing that the public duty doctrine does not apply to
DHHS' duty to inspect, plaintiffs also specifically alleged in
their amended affidavits that both a special relationship and a
special duty exist.
DHHS and the dissent contend that Stone and Hunt establish the
applicability of the public duty doctrine to this case. In Stone,
the plaintiffs sought damages for injuries or deaths resulting from
the fire at the Imperial Foods Products plant in Hamlet, North
Carolina. The plaintiffs alleged that the North Carolina
Department of Labor had negligently failed to inspect the plant.
The Supreme Court first observed: "'[A] government ought to be free
to enact laws for the public protection without thereby exposing
its supporting taxpayers . . . to liability for failures of
omission in its attempt to enforce them. It is better to have such
laws, even haphazardly enforced, than not to have them at all.'" Id. at 481, 495 S.E.2d at 716 (alteration and emphasis original)
(quoting Grogan v. Commonwealth, 577 S.W.2d 4, 6 (Ky.), cert.
denied, 444 U.S. 835, 62 L. Ed. 2d 46, 100 S. Ct. 69 (1979)).
The Court then turned to an assessment of the General
Assembly's intent in imposing a duty of inspection on the
Department of Labor:
[T]he most the legislature intended was that
the [Occupational Safety and Health] Division
prescribe safety standards and secure some
reasonable compliance through spot-check
inspections made "as often as practicable."
N.C.G.S. § 95-4(5) (1996). "In this way the
safety conditions for work[ers] in general
would be improved." Nerbun v. State, 8 Wash.
App. 370, 376, 506 P.2d 873, 877 (holding that
Washington Department of Labor did not owe an
absolute duty to individual workers and
concluding that the Washington legislature
intended only that the Department act on
behalf of workers in general), disc. rev.
denied, 82 Wash. 2d 1005 (1973).
Id. at 482, 495 S.E.2d at 716. The Court concluded: "Although
N.C.G.S. § 95-4 imposes a duty upon defendants, that duty is for
the benefit of the public, not individual claimants as here." Id.
at 483, 495 S.E.2d at 717 (emphasis added).
In Hunt, the plaintiff alleged that the Department of Labor
breached its duty to inspect amusement park rides with the result
that the plaintiff was injured while riding in a go-kart with seat
belts that were not in compliance with the Department's
regulations. In holding that the public duty doctrine precluded
the claim, the Court relied upon the fact that "[t]he Amusement
Device Safety Act and the rules promulgated thereunder are for the
'protection of the public from exposure to such unsafe conditions'and do not create a duty to a specific individual." Hunt, 348 N.C.
at 198, 499 S.E.2d at 751 (emphasis added) (quoting N.C. Gen. Stat.
§ 95-111.1(b) (1989)).
Stone and Hunt thus direct us to look at the specific statutes
and regulations providing for any duty to inspect in order to
determine whether the General Assembly intended the inspection to
be for the protection of the general public or for the protection
of specified individuals. See Stone, 347 N.C. at 482, 495 S.E.2d
at 716 ("[W]e do not believe the legislature, in establishing the
Occupational Safety and Health Division of the Department of Labor
in 1973, intended to impose a duty upon this agency to each
individual worker in North Carolina."); Hunt, 348 N.C. at 197, 499
S.E.2d at 750 ("[N]owhere in the [Amusement Device Safety] Act did
the legislature impose a duty upon defendant to each go-kart
customer.").
With respect to the inspection of jails by the State, the
General Assembly has provided:
The Department [of Health and Human Services]
shall:
. . . .
(3) Visit and inspect local confinement
facilities; advise the sheriff,
jailer, governing board, and other
appropriate officials as to
deficiencies and recommend
improvements; and submit written
reports on the inspections to
appropriate local officials.
. . . .
(6) Perform any other duties that may be
necessary to carry out the State'sresponsibilities concerning local
confinement facilities.
N.C. Gen. Stat. § 153A-220 (2005). The General Assembly has more
specifically provided in regards to this duty of inspection:
Department personnel shall visit and
inspect each local confinement facility at
least semiannually. The purpose of the
inspections is to investigate the conditions
of confinement, the treatment of prisoners,
the maintenance of entry level employment
standards for jailers and supervisory and
administrative personnel of local confinement
facilities as provided for in G.S. 153A-
216(4), and to determine whether the
facilities meet the minimum standards
published pursuant to G.S. 153A-221. The
inspector shall make a written report of each
inspection and submit it within 30 days after
the day the inspection is completed to the
governing body and other local officials
responsible for the facility. The report
shall specify each way in which the facility
does not meet the minimum standards.
N.C. Gen. Stat. § 153A-222 (2005) (emphases added).
The "minimum standards" against which the facilities must be
measured "shall be developed with a view to providing secure
custody of prisoners and to protecting their health and welfare and
providing for their humane treatment." N.C. Gen. Stat. § 153A-
221(a) (2005) (emphasis added). See also N.C. Gen. Stat. § 131D-11
(2005) ("The Department of Health and Human Services shall, as
authorized by G.S. 153-51, inspect regularly all confinement
facilities as defined by G.S. 153-50(4) to determine compliance
with the minimum standards for local confinement facilities adopted
by the Social Services Commission." (emphasis added)). The
importance of these inspections to the General Assembly is
reflected by the fact that the legislature has made the failure toprovide the information required by law to DHHS regarding local
confinement facilities a Class 1 misdemeanor. N.C. Gen. Stat. §
131D-13 (2005).
DHHS' regulations adopted pursuant to these statutes provide
that "[a]ll jails shall be visited and inspected at least twice
each year, but a jail shall be inspected more frequently if the
Department considers it necessary or if it is required by an
agreement of correction pursuant to 10A NCAC 14.1304." 10A
N.C.A.C. 14J.1301 (2003). DHHS requires that following the
inspection, the inspector "shall forward a copy of the inspection
report to the Secretary [of DHHS] within ten days after the
inspection if there are findings of noncompliance" with any of
certain specified standards, including the standards for "Fire
Safety." 10A N.C.A.C. 14J.1302(b)(2) (2003). After receipt of the
inspector's report "[t]he Secretary shall determine whether
conditions in the jail jeopardize the safe custody, safety, health
or welfare of its inmates within 30 days after receipt of the
inspection report and the supporting materials." 10A N.C.A.C.
14J.1303(a) (2003). If the noncompliance involves the fire plan or
fire equipment, among other specified concerns, the Secretary
"shall determine" that the noncompliance "jeopardizes the safe
custody, safety, health or welfare of inmates confined in the
jail." 10A N.C.A.C. 14J.1303(c). Once the Secretary determines
that such jeopardy exists, "[t]he Secretary shall order corrective
action, order the jail closed, or enter into an agreement ofcorrection with local officials pursuant to 10A NCAC 14J.1304."
10A N.C.A.C. 14J.1303(d).
These statutes and regulations are materially distinguishable
from those in Stone and Hunt. The inspection of the jail
conditions _ expressly including those relating to fire safety _ is
for the purpose of ensuring the safety, health, and welfare of jail
inmates. Neither the statutes nor the regulations can be
reasonably construed as creating a duty to inspect for the benefit
of the public or for the public's general protection.
(See footnote 1)
The dissent makes no attempt to explain in what way the duty
of inspection under theses statutes and regulations relates to the
general public apart from flatly asserting so, despite the express
language otherwise. Further, in arguing that the statutes
establish no duty requiring that DHHS correct any jail conditions,
the dissent disregards the nature of plaintiffs' claim. Plaintiffs
allege a negligent inspection of the jail and not a negligent
failure to correct the conditions. There is no need to decide
whether the public duty doctrine or any other theory would preclude
liability for a failure to correct the conditions in the Mitchell
County jail. Although not addressed by the dissent, the sole
pertinent question under Stone, Hunt, and the subsequent Supreme
Court decisions for such a negligent inspection claim is the
purpose of the duty to inspect: whether it was for the protectionof the general public or specific individuals. The General
Assembly was specific in providing that the purpose of the
inspection is to protect the inmates from harm, a purpose further
reflected in DHHS' regulations.
(See footnote 2)
DHHS' suggestion that the statutes and regulations necessarily
are for the benefit of the public because "[t]he inmates addressed
in these statutes are members of the public" deserves little
comment. Suffice it to say that inmates are in jail specifically
so that they will be separate from the general public. See West v.
Atkins, 487 U.S. 42, 56 n.15, 101 L. Ed. 2d 40, 54 n.15, 108 S. Ct.
2250, 2260 n.15 (1988) (noting that the correctional setting is"specifically designed to be removed from the community"). See
also Wood, 355 N.C. at 169, 558 S.E.2d at 496 (holding that the
public duty doctrine applied when the "protective services provided
by Guilford County were intended to benefit the public at large"
(emphasis added)).
The view that the duty of DHHS is a private one owed to the
inmate and not the general public is also supported by prior
decisions of our Supreme Court. In 1992, the Supreme Court noted
that "North Carolina courts and lawmakers have long recognized the
state's duty to provide medical care to prisoners" and pointed out
that the "legislature has codified this duty in a statute" that
required the Department of Corrections to prescribe standards for
health services to prisoners. Medley v. N.C. Dep't of Corr., 330
N.C. 837, 842, 412 S.E.2d 654, 657-58 (1992). The statute in
Medley is analogous to the statutes at issue in this case. As
support for an additional common-law duty to inmates, the Court
quoted from a 1926 decision relating to jail inmates: "'The
prisoner by his arrest is deprived of his liberty for the
protection of the public; it is but just that the public be
required to care for the prisoner, who cannot by reason of the
deprivation of his liberty, care for himself.'" Id., 412 S.E.2d at
657 (quoting Spicer v. Williamson, 191 N.C. 487, 490, 132 S.E. 291,
293 (1926)). The Court concluded by also noting that "[i]n
addition to common-law and statutory duties to provide adequate
medical care for inmates, the state also bears this responsibilityunder our state Constitution and the federal Constitution." Id.,
412 S.E.2d at 658.
In Spicer, the Court held that the board of county
commissioners, rather than the sheriff, was liable for payment to
a doctor for a jail inmate's medical care based on the "duty which
the public owes to [the sheriff's] prisoner." Spicer, 191 N.C. at
490, 132 S.E. at 293. The Court observed, however, that the
sheriff could "be required to answer in damages to the prisoner, or
upon indictment to the public" for breach of his duty to obtain
medical attention for a prisoner in his custody. Id. The Court
thus recognized both a common law duty owed directly to the
prisoner in addition to his general public duty to perform his
public office.
In Levin v. Town of Burlington, 129 N.C. 184, 188-89, 39 S.E.
822, 824 (1901), the Court specifically distinguished between
duties undertaken solely for the public good and those undertaken
pursuant to a duty to individuals:
[T]hese and such cases [against
municipalities] are for the neglect in failing
to perform some required duty _ such as
erecting and keeping in proper condition city
prisons by reason whereof the health of
prisoners has been seriously impaired the
failure to work and keep the public streets in
repair and free from obstructions, whereby
some person suffers injury. These are
distinguishable from the case under
consideration [involving a claim of malicious
prosecution], where public officers are in the
exercise of a public duty, and engaged in
enforcing a public law for the public good.
(Emphasis added.) See also Shields v. Town of Durham, 118 N.C.
450, 456, 24 S.E. 794, 795-96 (1896) (holding that the Town ofDurham could be held liable when the Commissioners had failed to
inspect the town prison for five years because "[t]he law will not
tolerate such gross negligence as this, without holding them
responsible").
The dissent dismisses the above precedent and argues that this
opinion fails to apply controlling precedent of this Court. The
cases cited by the dissent, however, either are entirely consistent
with the conclusion we reach today or have been overruled by the
Supreme Court.
The dissent first points to Myers v. McGrady, 170 N.C. App.
501, 613 S.E.2d 334, disc. review allowed, 359 N.C. 852, 619 S.E.2d
510 (2005). In Myers, however, this Court specifically pointed
out that "[i]n 1998, our Supreme Court applied the public duty
doctrine to state agencies required to conduct inspections for the
public's general protection," id. at 505, 613 S.E.2d at 338
(emphasis added) _ precisely the standard we have applied in this
case. Myers, which did not involve a failure to inspect, does not
purport to alter the Supreme Court's test. Instead, Myers appears
to hold that even if a duty to inspect for the public's general
protection exists, the public duty doctrine will not apply unless
the claim involves a "failure of state departments or agencies to
detect and prevent misconduct of others through improper
inspections." Id. at 507, 613 S.E.2d at 339. In other words,
under Myers, even if we concluded in this case _ contrary to the
pertinent statutes _ that a duty was owed to the general public,
the public duty doctrine would still not apply unless the claimalleged a failure to detect and prevent misconduct by third
parties. There has been no allegation here that the fire was the
result of "misconduct," as opposed to negligence, by another
person.
With respect to the dissent's remaining cases, with a single
exception, they all involve claims against local governments and
not State agencies. Those cases addressing negligent inspection
claims or conduct not involving law enforcement departments acting
to protect the public have been overruled by Thompson v. Waters,
351 N.C. 462, 465, 526 S.E.2d 650, 652 (2000), and Lovelace, 351
N.C. at 461, 526 S.E.2d at 654.
(See footnote 3)
Specifically, in Thompson, the
Court held: "This Court has not heretofore applied the public duty
doctrine to a claim against a municipality or county in a situation
involving any group or individual other than law enforcement.
After careful review of appellate decisions on the public duty
doctrine in this state and other jurisdictions, we conclude that
the public duty doctrine does not bar this claim against Lee County
for negligent inspection of plaintiffs' private residence." 351
N.C. at 465, 526 S.E.2d at 652. See also Lovelace, 351 N.C. at461, 526 S.E.2d at 654 ("[W]e have never expanded the public duty
doctrine to any local government agencies other than law
enforcement departments when they are exercising their general duty
to protect the public.").
The remaining cases cited by the dissent address law
enforcement's exercise of its duty to protect the public generally
and not a duty to a specified class of individuals.
(See footnote 4)
Indeed, this
Court in Clark v. The Red Bird Cab Co., 114 N.C. App. 400, 406, 442
S.E.2d 75, 78, disc. review denied, 336 N.C. 603, 447 S.E.2d 387
(1994), stressed: "Here, a review of the applicable city code
provisions reveals no specific identification of a particular class
of persons being singled out for protection by the city. We find
no language creating a special duty which the police officers would
owe to taxicab customers over and above the duty owed to the
general public." By contrast, the statutes and regulations
pertinent to DHHS' duty in this case do specifically identify aparticular class of persons for protection by DHHS: inmates of
local detention facilities. Further, in Lassiter, this Court
specifically recognized that Lovelace "sought to reign in the
expansion of the public duty doctrine's application to other
government agencies and ensure it would be applied in the future
only to law enforcement agencies fulfilling their 'general duty to
protect the public,' and thus reasserted the principles of
Braswell." 168 N.C. App. at 317, 607 S.E.2d at 692 (quoting
Lovelace, 351 N.C. at 461, 526 S.E.2d at 654). In short, the cases
cited by the dissent either support the analysis we have applied in
this case or are inapplicable.
DHHS and the dissent urge alternatively that the public duty
doctrine should nonetheless apply because any duty to the inmates
belonged solely to the local officials. As the plain language of
the statutes indicate, however, the General Assembly has chosen to
impose a duty upon the State regarding jail inmates.
(See footnote 5)
Medley,
Spicer, Levin, and Shields establish that when a governmental body
has a duty regarding the care of an inmate, that duty is a private
one owed to the inmate and not a public duty. By assuming a duty
to jail inmates, the General Assembly assumed a private duty to
those individuals, and the public duty doctrine does not apply. This holding is in accord with that of other states. See Roberts
v. State, 159 Ind. App. 456, 462, 307 N.E.2d 501, 505 (1974) ("[A]
public official, charged with the custody and care of a prisoner,
owes a private duty to the prisoner to take reasonable precautions
under the circumstances to preserve his life, health, and safety _
a duty which is in addition to the duty of safekeeping owed to the
public generally."); Geiger v. Bowersox, 974 S.W.2d 513, 517 (Mo.
Ct. App. 1998) (holding that a nurse at a prison "does not owe the
general public" a duty, but rather her duty is "owed specifically
to the inmates").
While the Supreme Court in Stone stated that it "refuse[d] to
judicially impose an overwhelming burden of liability on defendants
for failure to prevent every employer's negligence that results in
injuries or deaths to employees," 347 N.C. at 481, 495 S.E.2d at
716, the duty in this case is legislatively imposed. In contrast
to Stone and Hunt, the statutes relied upon by plaintiffs in this
case do not seek to secure only "reasonable compliance through
spot-check inspections made 'as often as practicable.'" Id. at
482, 495 S.E.2d at 716 (quoting N.C. Gen. Stat. § 95-4(5) (1996)).
Instead, they specifically require two inspections a year of each
local detention facility with the intent that total compliance will
be achieved with respect to certain standards such as fire safety
_ the very standards at issue here.
We are not free to employ a common law rule to reinstate
sovereign immunity when the State has both waived that immunity and
specifically assumed a duty to jail inmates. The dissent's claimthat this opinion "has far reaching implications" is misplaced.
Each of the examples given by the dissent _ such as a restaurant
patron, a patient, or a legal client _ involves the general public.
They do not involve the unique situation faced by inmates and the
express assumption by the State of a duty to those inmates.
Indeed, if we were to embrace the view of the dissents in this case
and in Myers, it is difficult to identify any negligence claim
asserted against the State that would fall outside the scope of the
public duty doctrine. The result would be to judicially amend the
State Tort Claims Act to require all plaintiffs to prove either a
special relationship or a special duty as an element of their claim
under the Tort Claims Act. To do so _ based on a judicial
assessment of the policy implications for the State and its
taxpayers _ would be to sit as a super-legislature.
(See footnote 6)
Even if we could conclude that the statutes and regulations
imposed a duty to inspect for the benefit of the public, as
required by Stone and Hunt, we would still hold that plaintiffs
fall within the "special relationship" exception to the public duty
doctrine. In Hunt, the Supreme Court explained that "in order to
fall within the 'special relationship' exception to the public duty
doctrine, plaintiff must allege a special relationship, such as
that between 'a state's witness or informant who has aided lawenforcement officers.'" 348 N.C. at 199, 499 S.E.2d at 751
(quoting Braswell, 330 N.C. at 371, 410 S.E.2d at 902).
(See footnote 7)
This Court has previously held that a "special relationship"
exists when the plaintiff is in police custody. Hull v. Oldham,
104 N.C. App. 29, 38, 407 S.E.2d 611, 616 ("[T]here are exceptions
to the general rule of no liability where a special relationship
exists between the victim and law enforcement, such as where the
victim is in police custody . . . ."), disc. review denied, 330
N.C. 441, 412 S.E.2d 72 (1991). See also Stafford v. Barker, 129
N.C. App. 576, 582, 502 S.E.2d 1, 5 (utilizing same quotation from
Hull as an illustration of the type of circumstances that give rise
to a special relationship), disc. review denied, 348 N.C. 695, 511
S.E.2d 650 (1998). For the purpose of the public duty doctrine,
there is no meaningful distinction between a person who is in
police custody and a person who is in the custody of the jail
because of the State's decision to prosecute him.
In a context analogous to that of the public duty doctrine,
our courts have held there is no duty to protect others against
harm from third persons except "when a special relationship exists
between parties." King v. Durham County Mental Health
Developmental Disabilities & Substance Abuse Auth., 113 N.C. App.
341, 345, 439 S.E.2d 771, 774, disc. review denied, 336 N.C. 316,
445 S.E.2d 396 (1994). In King, this Court observed that"recognized special relationships" include "custodian-prisoner."
Id. at 346, 439 S.E.2d at 774. See also Haworth v. State, 60 Haw.
557, 563, 592 P.2d 820, 824 (1979) ("It is well settled that a
state, by reason of the special relationship created by its custody
of a prisoner, is under a duty to the prisoner to take reasonable
action to protect the prisoner against unreasonable risk of
physical harm."); Restatement (Second) of Torts § 314A(4) (1965)
("One who is required by law to take or who voluntarily takes the
custody of another under circumstances such as to deprive the other
of his normal opportunities for protection is under a similar duty
to the other."); id. cmt. b ("The duties stated in this Section
arise out of special relations between the parties, which create a
special responsibility, and take the case out of the general
rule.").
Similarly, in Davidson v. Univ. of N.C. at Chapel Hill, 142
N.C. App. 544, 554, 543 S.E.2d 920, 927, disc. review denied and
cert. denied, 353 N.C. 724, 550 S.E.2d 771 (2001), this Court
considered when a "special relationship" exists for purposes of
imposing liability under the State Tort Claims Act for a negligent
omission. The Court explained:
"During the last century, liability for
[omissions] has been extended still further to
a limited group of relations, in which custom,
public sentiment and views of social policy
have led the courts to find a duty of
affirmative action. In such relationships the
plaintiff is typically in some respect
particularly vulnerable and dependant upon the
defendant who, correspondingly, holds
considerable power over the plaintiff's
welfare. In addition, such relations have
often involved some existing or potentialeconomic advantage to the defendant. Fairness
in such cases thus may require the defendant
to use his power to help the plaintiff, based
upon the plaintiff's expectation of
protection, which itself may be based upon the
defendant's expectation of financial gain. . .
. There is now respectable authority imposing
the same duty upon a shopkeeper to his
business visitor, upon a host to his social
guest, upon a jailor to his prisoner, and upon
a school to its pupil."
Id., 543 S.E.2d at 926-27 (quoting W. Page Keeton, et al., Prosser
and Keeton on the Law of Torts § 56, at 373-74, 376-77 (5th ed.
1984) (emphasis added and omitted)).
The United States Supreme Court has also recognized the
special relationship that arises by virtue of imprisonment:
"prisons and jails are inherently coercive institutions that for
security reasons must exercise nearly total control over their
residents' lives and the activities within their confines . . . ."
West, 487 U.S. at 56 n.15, 101 L. Ed. 2d at 54 n.15, 108 S. Ct. at
2260 n.15. Accordingly,
when the State takes a person into its custody
and holds him there against his will, the
Constitution imposes upon it a corresponding
duty to assume some responsibility for his
safety and general well-being. The rationale
for this principle is simple enough: when the
State by the affirmative exercise of its power
so restrains an individual's liberty that it
renders him unable to care for himself, and at
the same time fails to provide for his basic
human needs _ e.g., food, clothing, shelter,
medical care, and reasonable safety _ it
transgresses the substantive limits on state
action set by the Eighth Amendment and the Due
Process Clause. The affirmative duty to
protect arises not from the State's knowledge
of the individual's predicament or from its
expressions of intent to help him, but from
the limitation which it has imposed on his
freedom to act on his own behalf.
DeShaney v. Winnebago County Dep't of Soc. Servs., 489 U.S. 189,
199-200, 103 L. Ed. 2d 249, 261-62, 109 S. Ct. 998, 1005-06 (1989)
(internal citations omitted).
Although not disputing that inmates may fall within the
"special relationship" exception, DHHS and the dissent argue that
it had no "special relationship" with the inmates because any such
relationship was between Mitchell County and the inmates. In doing
so, DHHS and the dissent ignore the express responsibility mandated
by the General Assembly and implemented in DHHS' own regulations.
Federal courts in other jurisdictions have held that a state's duty
to ensure that a jail meets prescribed standards is sufficient to
support liability under the more stringent standards of 42 U.S.C.
§ 1983 despite primary responsibility for the jail resting with
local officials. See, e.g., Nicholson v. Choctaw County, 498 F.
Supp. 295, 311 (S.D. Ala. 1980) ("The Commissioner of the
Department of Corrections has violated the rights of inmates held
in Choctaw County Jail by failing to exercise his duty under
Alabama law to insure that the jail meets the standards prescribed
pursuant to Alabama Code § 14-6-81."); Payne v. Rollings, 402 F.
Supp. 1225, 1228 (E.D. Va. 1975) (holding, based on state statutes
requiring the Director of the Department of Corrections to enforce
regulations regarding jails, that the defendant Director "did owe
a duty to plaintiff," who was a jail inmate, that would support a
claim under § 1983).
The district court and Fourth Circuit decisions in Reid v.
Johnston County, 688 F. Supp. 200 (E.D.N.C. 1988), aff'd per curiamsub nom. Reid v. Kayye, 885 F.2d 129 (4th Cir. 1989), relied upon
by DHHS, do not lead to a different conclusion. Neither court
addressed state negligence claims, but rather only considered the
liability of individual State officials under 42 U.S.C. § 1983 for
"fail[ing] to take action to remedy the [constitutional]
violations" arising out of conditions in the county jail. 885 F.2d
at 131. The plaintiffs argued in Reid that the State officials
"had not only the power but the duty to correct the conditions."
Id. Although the Fourth Circuit acknowledged that, by statute, the
State had a duty toward the jail inmates, it concluded that the
statutes did not vest the officials "with the mandatory duty to
remedy substandard jail conditions" and, in the absence of such a
duty, "their inaction cannot be seen as a cause of those conditions
and a § 1983 suit cannot be maintained against them." Id. See
also Reid, 688 F. Supp. at 203 (granting the motion to dismiss the
§ 1983 action because "plaintiffs have not demonstrated that
defendants' actions, taken under color of state law, have in any
way caused existing or past constitutionally deficient
conditions"). Thus, neither case disputed the existence of a
"special relationship" between jail inmates and DHHS, but rather
only addressed the issue of causation under § 1983.
The issue of causation is not, however, before this Court.
(See footnote 8)
DHHS and the dissent have cited no cases suggesting in any manner
that causation is relevant to a determination of the applicability
of the public duty doctrine. Nor have we identified any. We,
therefore, hold, based on the statutes discussed above, that
plaintiffs have sufficiently demonstrated that they fall within the
"special relationship" exception to the public duty doctrine.
Affirmed.
Judge McGEE concurs.
Judge TYSON concurs in part and dissents in part in a separate
opinion.
TYSON, Judge, concurring in part and dissenting in part.
I agree that defendant's appeal, although interlocutory,
asserts a substantial right and is properly before this Court.
Smith v. Jackson County Bd. of Educ., 168 N.C. App. 452, 608 S.E.2d
398 (2005).
The majority's opinion then affirms the Industrial
Commission's denial of DHHS' motion to dismiss and holds the public
duty doctrine does not apply to the facts at bar. In the
alternative, the majority's opinion holds DHHS had a special
relationship to plaintiffs to except plaintiff's claims from the
public duty doctrine. Precedents construing and applying the
public duty doctrine clearly control and require dismissal of this
case. No special relationship exists between plaintiffs and DHHS
to except DHHS from the public duty doctrine. I respectfully
dissent.
marks omitted).
Department personnel shall visit and inspect
each local confinement facility at least
semiannually. The purpose of the inspections
is to investigate the conditions of
confinement, the treatment of prisoners, the
maintenance of entry level employment
standards for jailers and supervisory and
administrative personnel of local confinement
facilities as provided for in G.S.
153A-216(4), and to determine whether the
facilities meet the minimum standards
published pursuant to G.S. 153A-221. The
inspector shall make a written report of each
inspection and submit it within 30 days after
the day the inspection is completed to the
governing body and other local officials
responsible for the facility. The report
shall specify each way in which the facility
does not meet the minimum standards. The
governing body shall consider the report at
its first regular meeting after receipt of
the report and shall promptly initiate any
action necessary to bring the facility into
conformity with the standards.
N.C. Gen. Stat. § 153A-222 (2003) (emphasis supplied). In the Tort
Claims Act, the legislature clearly did not intend to imposeliability on the State for injuries or deaths sustained by
detainees in local confinement facilities with allegedly inadequate
safety measures. Under the statute, the local governing body, and
not the State, is charged with the duty to bring the facility into
conformity with and maintain the standards. This statute also
demonstrates the Legislature's intent that the State's role in
county jails is limited to inspect and report on county
correctional facilities to the county governing authorities for the
benefit of the public generally. Id.
Further, N.C. Gen. Stat. § 153A-223 (2003), Enforcement of
Minimum Standards, shows the State is not liable for claims of
detainees in local jails. The statute provides:
If an inspection conducted pursuant to G.S.
153A-222 discloses . . . that a local
confinement facility does not meet the minimum
standards published pursuant to G.S. 153A-221
and, in addition, if the Secretary determines
that conditions in the facility jeopardize the
safe custody, safety, health, or welfare of
persons confined in the facility, the
Secretary may order corrective action or close
the facility, as provided in this section . .
. [.]
Id. (emphasis supplied). The United States Court of Appeals for
the Fourth Circuit considered this statute in Reid v. Kayye, 885 F.
2d 129, 131 (4th Cir. 1989). The Court stated, We must conclude
. . . that use of the word 'may' in § 153A-223 is purposeful and
that DHR officials are not vested with the mandatory duty to remedy
substandard jail conditions. Any enforcement action by defendant
is couched in the discretionary language of may or should. The
statute and the decisions interpreting the statute show theLegislature's clear intent for the State and its agencies to have
a limited role inspecting and reporting on local jail facilities to
prompt remedial action by the local governing body Id.
In Braswell and reiterated in Stone and Hunt, our Supreme
Court recognized the limited resources and duty of the State. For
the courts to proclaim a new and general duty of protection in the
law of tort . . . would inevitably determine how the limited
[public] resources . . . should be allocated and without
predictable limits. Braswell, 330 N.C. at 371, 410 S.E.2d at 901-
902. Past precedents bind us to refuse to judicially impose an
overwhelming burden of liability on defendants for DHHS's alleged
failure to prevent Mitchell County and its sheriff's alleged
negligence in the care, custody, and maintenance of its confinement
facility. Stone, 347 N.C. at 481, 495 S.E.2d at 716. Mitchell
County and its sheriff, not the State, bore the duty and
responsibility to ensure the safety of the detainees in the county
jail. N.C. Gen. Stat. § 162-22. Mitchell County recognized that
duty and settled all of plaintiffs' claims.
Clear and controlling precedents show the state is not liable
for the tragic injuries or deaths that occurred in the Mitchell
County jail. The public duty doctrine shields the State from
liability for negligence claims from the alleged failure of a
state agency to detect and prevent misconduct of a third party
through improper inspections. Myers, 170 N.C. App. at 503, 613
S.E.2d at 337.
The regulatory powers of the state government are extensiveand, in one way or another, reach virtually every aspect of our
lives. The natural extension of the majority's unprecedented and
unwarranted interpretation has far reaching implications. Under
the majority's holding, a citizen who becomes ill from eating
spoiled food at a restaurant could hold the State liable because
DHHS has a statutory duty to inspect food establishments. N.C.
Gen. Stat. § 130A-249 (2003) (The Secretary may enter any
establishment that is subject to the provisions of G.S. 130A-248
for the purpose of making inspections. The Secretary shall inspect
each restaurant at least quarterly . . .). These inspections are
twice as frequent than what the statute requires of defendants
here. N.C. Gen. Stat. § 153A-222 (Department personnel shall
visit and inspect each local confinement facility at least
semiannually).
Similarly, a patient who receives negligent medical care or a
client who receives faulty legal advice or whose lawyer stole the
client's money could hold the State liable for negligent
inspection, testing, and licensing of applicants. The State of
North Carolina, through the North Carolina Medical Board, the North
Carolina Board of Law Examiners, and the North Carolina State Bar
licenses and regulates the practices of medicine and law, including
theft of a client's funds by an attorney. N.C. Gen. Stat. § 90-4
(2003); N.C. Gen. Stat. § 84-24 (2003); N.C. Gen. Stat. 84-23
(2003). State boards and agencies license and regulate a host of
other professions and occupations. See e.g., real estate
appraisers (N.C. Gen. Stat. Chapter 93E); cosmetic art (N.C. Gen.Stat. Chapter 88B); teachers (N.C. Gen. Stat. Chapter 115C).
Not content with their substantial settlements from Mitchell
County, plaintiffs now seek to also cash out from the taxpayers of
this State. Braswell and its progeny, Stone and Hunt, have stood
as binding precedents under these facts for over fifteen years
without any affecting amendment of the Tort Claims Act by the
General Assembly. Blackmon v. N.C. Dept. of Correction, 118 N.C.
App. 666, 673, 457 S.E.2d 306, 310 (1995) ([I]t is appropriate to
assume the legislature is aware of any judicial construction of a
statute.) The holdings in Spicer, Levin, and Shields, cited in
the majority's opinion, all reinforce the legislature's intent that
any individual duty owed to plaintiffs rests with the officials of
the local governmental unit that own, operate, and maintain the
jail, not the State.
specifically alleged, and is not created merely by a showing that
the state undertook to perform certain duties. Lane v. Kinston,
142 N.C. App. 622, 625, 544 S.E.2d 810, 813 (2001) (citation
omitted). In sum, the 'special duty' exception to the generalrule against liability . . . is a very narrow one; it should be
applied only when the promise, reliance, and causation are
manifestly present. Braswell, 330 N.C. 372, 410 S.E.2d at 902.
A special relationship may exist when plaintiffs are held in
police custody. However, if that special relationship exists, it
is between the detainees and Mitchell County and its sheriff, not
the State.
The applicable statutes noted above clearly indicate that the
Legislature intended the responsibility for the care and custody of
local jails to be borne by the county and the sheriff. The State
did not waive its sovereign immunity or place such activities
outside the public duty doctrine. Mitchell County and the Sheriff
of Mitchell County bore the responsibility to ensure the county's
confinement facilities were maintained in a safe condition for the
detainees. Liability arising out of a special relationship is
the liability of Mitchell County, which settled plaintiff's claims.
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