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Document 1 of 1.
VITALY TARASOFF et al., Plaintiffs and Appellants, v. THE REGENTS OF THE
UNIVERSITY OF CALIFORNIA et al., Defendants and Respondents
S.F. No. 23042
Supreme Court of California
17 Cal. 3d 425;
551 P.2d 334;
1976 Cal. LEXIS 297;
131 Cal. Rptr. 14;
83 A.L.R.3d 1166
July 1, 1976
PRIOR HISTORY:
[***1]
Superior Court of Alameda County, No. 405694, Robert L. Bostick, Judge.
DISPOSITION: The judgment of the superior court in favor of defendants Atkinson, Beall,
Brownrigg, Hallernan, and Teel is affirmed. The judgment of the superior court
in favor of defendants Gold, Moore, Powelson, Yandell, and the Regents of the
University of California is reversed, and the cause remanded for further
proceedings consistent with the views expressed herein.
COUNSEL: George Alexander McKray for Plaintiffs and Appellants.
Robert E. Cartwright, Floyd A. Demanes, William H. Lally, Edward I. Pollock,
Leonard Sacks, Stephen I. Zetterberg, Sanford M. Gage, Robert O. Angle and
Melanie Bellah as Amici Curiae on behalf of Plaintiffs and
Appellants.
Ericksen, Ericksen, Lynch, Mackenroth
& Arbuthnot, Ericksen, Ericksen, Lynch
& Mackenroth, Ericksen, Ericksen, Lynch, Young
& Mackenroth, William R. Morton, Richard G. Logan, Hanna, Brophy, MacLean,
McAleer
& Jensen, Hanna
& Brophy and James V. Burchell for Defendants and Respondents.
Evelle
J. Younger, Attorney General, James E. Sabine, Assistant Attorney General, John
M. Morrison and Thomas K. McGuire, Deputy Attorneys General, John H. Larson,
County Counsel (Los
[***2] Angeles), Daniel D. Mikesell, Jr., Deputy County Counsel, Richard J.
Moore, County Counsel (Alameda), Charles L. Harrington, Deputy County Counsel,
Musick, Peeler
& Garrett, James E. Ludlam, Severson, Werson, Berke
& Melchior, Kurt W. Melchior, Nicholas S. Freud and Jan. T. Chilton as Amici
Curiae on behalf of Defendants and Respondents.
JUDGES: Opinion by Tobriner, J., with Wright, C. J., Sullivan and Richardson, JJ.,
concurring. Separate concurring and dissenting opinion by Mosk, J. Separate
dissenting opinion by Clark, J., with McComb, J., concurring.
OPINIONBY: TOBRINER
OPINION:
[*430]
[**339]
On October 27, 1969, Prosenjit Poddar killed Tatiana Tarasoff. n1 Plaintiffs,
Tatiana's parents, allege that two months earlier Poddar confided his intention
to kill Tatiana to Dr. Lawrence Moore, a psychologist employed by the Cowell
Memorial Hospital at the University of California at Berkeley. They allege
that on
Moore's request, the campus police briefly detained Poddar, but released him
when he appeared
[**340]
rational. They further claim that Dr. Harvey Powelson, Moore's superior, then
directed that no further action be taken to detain Poddar. No one warned
[***3] plaintiffs of Tatiana's peril.
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n1 The criminal prosecution
stemming from this crime is reported in
People v. Poddar (1974) 10 Cal.3d 750 [111 Cal.Rptr. 910, 518 P.2d 342].
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
Concluding that these facts set forth causes of action against neither
therapists and policemen involved, nor against the Regents of the
University of California as their employer, the superior court sustained
defendants' demurrers to plaintiffs' second amended complaints without leave to
amend. n2 This appeal ensued.
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n2 The therapist defendants include Dr. Moore, the psychologist who examined
Poddar and decided that Poddar should be committed; Dr. Gold and Dr. Yandell,
psychiatrists at Cowell Memorial Hospital who concurred in Moore's decision;
and Dr. Powelson, chief of the department of psychiatry, who countermanded
Moore's decision and directed that the staff take no action to confine Poddar.
The police defendants include Officers Atkinson, Brownrigg and Halleran, who
detained Poddar briefly but released him;
Chief Beall, who received Moore's letter recommending that Poddar be confined;
and Officer Teel, who, along with Officer Atkinson, received Moore's oral
communication requesting detention of Poddar.
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
[***4]
[*431] Plaintiffs' complaints predicate liability on two grounds: defendants' failure
to warn plaintiffs of the impending danger and their failure to
bring about Poddar's confinement pursuant to the Lanterman-Petris-Short Act
(Welf.
& Inst. Code,
§ 5000
ff.) Defendants, in turn, assert that they owed no duty of reasonable care to
Tatiana and that they are immune from suit under the California Tort Claims Act
of 1963 (Gov. Code,
§ 810
ff.).
We shall explain that defendant therapists cannot escape liability merely
because Tatiana herself was not their patient. When a therapist determines, or
pursuant to the standards of his profession should determine, that his patient
presents a serious danger of violence to another, he incurs an obligation to
use reasonable care to protect the
intended victim against such danger. The discharge of this duty may require
the therapist to take one or more of various steps, depending upon the nature
of the case. Thus it may call for him to warn the intended victim or others
likely to apprise the victim of the danger, to notify the police, or to take
whatever other steps are
reasonably necessary under the circumstances.
In the case at
[***5] bar, plaintiffs admit that defendant therapists notified the police, but argue
on appeal that the therapists failed to exercise reasonable care to protect
Tatiana in that they did not confine Poddar and did not warn Tatiana or others
likely to apprise her of the danger. Defendant
therapists, however, are public employees. Consequently, to the extent that
plaintiffs seek to predicate liability upon the therapists' failure to bring
about Poddar's confinement, the therapists can claim immunity under Government
Code section 856. No specific statutory provision, however, shields them from
liability based upon failure to warn
Tatiana or others likely to apprise her of the danger, and Government Code
section 820.2 does not protect such failure as an exercise of discretion.
Plaintiffs therefore can amend their complaints to allege that, regardless of
the therapists' unsuccessful attempt to confine Poddar, since they knew that
Poddar was at large and dangerous, their failure to warn Tatiana or others
likely to
apprise her of the danger constituted a breach of the therapists' duty to
exercise reasonable care to protect Tatiana.
Plaintiffs, however, plead no relationship between Poddar and
[***6] the police defendants which would impose upon them any duty to Tatiana, and
plaintiffs suggest no other basis for such a duty. Plaintiffs have,
[*432] therefore, failed to show that the
trial court erred in sustaining the demurrer of the police defendants without
leave to amend.
1.
Plaintiffs' complaints
Plaintiffs, Tatiana's mother and father, filed separate but virtually identical
second amended complaints. The issue before
[**341]
us on this appeal is whether those complaints now state, or can be amended to
state,
causes of action against defendants. We therefore begin by setting forth the
pertinent allegations of the complaints. n3
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n3 Plaintiffs' complaints allege merely that defendant therapists failed to
warn plaintiffs -- Tatiana's parents -- of the danger to Tatiana. The
complaints do not allege that defendant therapists failed to warn Tatiana
herself, or failed to warn persons other than her parents who would be likely
to apprise Tatiana of the danger. Such omissions can properly be cured by
amendment. As we stated in
Minsky v. City of Los Angeles (1974) 11 Cal.3d 113, 118-119 [113 Cal.Rptr. 102, 520 P.2d 726]:
"It is axiomatic that if there is a reasonable possibility that a defect in the
complaint can be cured by amendment or that the pleading liberally construed
can state a cause of action, a demurrer should not be sustained without leave
to amend." (Accord,
La Sala v. American Sav. & Loan Assn. (1971) 5 Cal.3d 864, 876 [97 Cal.Rptr. 849, 489 P.2d 1113];
Lemoge Electric v. County of San Mateo (1956) 46 Cal.2d 659, 664 [297 P.2d 638];
Beckstead v. Superior Court (1971) 21 Cal.App.3d 780, 782 [98 Cal.Rptr. 779].)
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
[***7]
Plaintiffs' first cause of action, entitled
"Failure to Detain a Dangerous Patient," alleges that on August 20, 1969, Poddar was a voluntary outpatient receiving
therapy at
Cowell Memorial Hospital. Poddar informed Moore, his therapist, that he was
going to kill an unnamed girl, readily identifiable as Tatiana, when she
returned home from spending the summer in Brazil. Moore, with the concurrence
of Dr. Gold, who had initially examined Poddar, and Dr. Yandell, assistant to
the director of the department of psychiatry, decided that Poddar should be
committed for observation in a mental hospital. Moore orally notified Officers
Atkinson and Teel of the campus police that he would request commitment. He
then sent a letter to Police Chief William Beall requesting the assistance of
the police department in securing Poddar's confinement.
Officers Atkinson, Brownrigg, and
Halleran took Poddar into custody, but, satisfied that Poddar was rational,
released him on his promise to stay away from Tatiana. Powelson, director of
the department of psychiatry at Cowell Memorial Hospital, then asked the police
to return Moore's letter, directed that all copies of the letter and notes that
Moore
[***8] had taken as therapist be destroyed, and
"ordered no
action to place Prosenjit Poddar in 72-hour treatment and evaluation facility."
[*433] Plaintiffs' second cause of action, entitled
"Failure to Warn On a Dangerous Patient," incorporates the allegations of the first cause of action, but adds the
assertion that defendants negligently permitted Poddar to be released from
police custody
without
"notifying the parents of Tatiana Tarasoff that their daughter was in grave
danger from Posenjit Poddar." Poddar persuaded Tatiana's brother to share an apartment with him near
Tatiana's residence; shortly after her return from Brazil, Poddar went to her
residence and killed her.
Plaintiffs' third cause of action, entitled
"Abandonment of a
Dangerous Patient," seeks $ 10,000 punitive damages against defendant Powelson. Incorporating the
crucial allegations of the first cause of action, plaintiffs charge that
Powelson
"did the things herein alleged with intent to abandon a dangerous patient, and
said acts were done maliciously and oppressively."
Plaintiffs' fourth cause of action, for
"Breach of
Primary Duty to Patient and the Public," states essentially the same allegations as the first
[***9] cause of action, but seeks to characterize defendants' conduct as a breach of
duty to safeguard their patient and the public. Since such conclusory labels
add nothing to the factual allegations of the complaint, the first and fourth
causes of action are legally
indistinguishable.
As we explain in part 4 of this opinion, plaintiffs' first and fourth causes of
action, which seek to predicate liability upon the defendants' failure to bring
about Poddar's confinement, are barred by governmental immunity. Plaintiffs'
third cause of action succumbs to the decisions precluding exemplary damages in
a wrongful death action.
[**342]
(See part 6 of this opinion.) We direct our attention, therefore, to the issue
of whether plaintiffs' second cause of action can be amended to state a basis
for recovery.
2.
Plaintiffs can state a cause of action against defendant therapists for
negligent failure to
protect Tatiana.
The second cause of action can be amended to allege that Tatiana's death
proximately resulted from defendants' negligent failure to warn Tatiana or
others likely to apprise her of her danger. Plaintiffs contend that as
amended, such allegations of negligence
[***10] and proximate causation, with resulting damages, establish a cause of action.
Defendants, however,
contend that in the circumstances of the present case they owed no duty of care
to Tatiana or her parents and that, in the absence of such
[*434] duty, they were free to act in careless disregard of Tatiana's life and safety.
In analyzing this issue, we bear in mind that legal duties are not discoverable
facts of nature, but
merely conclusory expressions that, in cases of a particular type, liability
should be imposed for damage done. As stated in
Dillon v. Legg (1968) 68 Cal.2d 728, 734 [69 Cal.Rptr. 72, 441 P.2d 912, 29 A.L.R.3d 1316]:
"The assertion that liability must . . . be denied because defendant bears no
'duty' to plaintiff 'begs the essential question -- whether the plaintiff's
interests are entitled to legal protection against the defendant's conduct. .
. . [Duty] is not sacrosanct in itself, but only an expression of the sum
total of those considerations of policy which lead the law to
say that the particular plaintiff is entitled to protection.' (Prosser, Law of
Torts [3d ed. 1964] at pp. 332-333.)"
In the landmark case of
Rowland v. Christian
[***11] (1968) 69 Cal.2d 108 [70 Cal.Rptr. 97, 443 P.2d 561, 32 A.L.R.3d 496], Justice Peters recognized that liability should be imposed
"for injury occasioned to another by his want of ordinary care or skill" as expressed in section 1714 of the Civil Code. Thus, Justice Peters, quoting
from
Heaven v. Pender (1883) 11 Q.B.D. 503, 509 stated:
"'whenever
one person is by circumstances placed in such a position with regard to another
. . . that if he did not use ordinary care and skill in his own conduct . . .
he would cause danger of injury to the person or property of the other, a duty
arises to use ordinary care and skill to avoid such danger.'"
We depart from
"this fundamental
principle" only upon the
"balancing of a number of considerations"; major ones
"are the foreseeability of harm to the plaintiff, the degree of certainty that
the plaintiff suffered injury, the closeness of the connection between the
defendant's conduct and the injury suffered, the moral blame attached to the
defendant's conduct, the policy of preventing future harm, the extent of the
burden to the
defendant and consequences to the community of imposing a duty to exercise care
with resulting liability for
[***12] breach, and the availability, cost and prevalence of insurance for the risk
involved." n4
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n4 See
Merrill v. Buck (1962) 58 Cal.2d 552, 562 [25 Cal.Rptr. 456, 375 P.2d 304];
Biakanja v. Irving (1958) 49 Cal.2d 647, 650 [320 P.2d 16, 65 A.L.R.2d 1358];
Walnut Creek Aggregates Co. v. Testing Engineers Inc. (1967) 248 Cal.App.2d 690, 695 [56 Cal.Rptr. 700].
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
The most important of these considerations in establishing duty is
foreseeability. As a general principle, a
"defendant owes a duty of
[*435] care to all persons who are foreseeably endangered by his conduct, with
respect to all risks which make the conduct unreasonably dangerous." (Rodriguez v. Bethlehem Steel Corp. (1974) 12 Cal.3d 382, 399 [115 Cal.Rptr. 765, 525 P.2d 669];
Dillon v. Legg, supra, 68 Cal.2d 728, 739;
Weirum v. RKO General, Inc. (1975) 15 Cal.3d 40 [123 Cal.Rptr. 468, 539 P.2d 36]; see Civ. Code,
§ 1714.) As we shall explain, however, when the avoidance of foreseeable harm
requires
[***13] a defendant to control the conduct of another person, or to warn
[**343]
of such conduct, the common law has traditionally imposed liability
only if the defendant bears some special relationship to the dangerous person
or to the potential victim. Since the relationship between a therapist and his
patient satisfies this requirement, we need not here decide whether
foreseeability alone is sufficient to create a duty to exercise reasonable care
to protect a potential victim of another's conduct.
Although, as we have stated above, under the common law, as a general rule, one
person owed no duty to control the conduct of another n5 (Richards v. Stanley (1954) 43 Cal.2d 60, 65 [271 P.2d 23];
Wright v. Arcade School Dist. (1964) 230 Cal.App.2d 272, 277 [40 Cal.Rptr. 812]; Rest.2d Torts (1965)
§ 315), nor to warn those endangered by such conduct (Rest.2d Torts,
supra,
§ 314, com. c.; Prosser, Law of Torts (4th ed.
1971)
§ 56, p. 341), the courts have carved out an exception to this rule in cases in
which the defendant stands in some special relationship to either the person
whose conduct needs to be controlled or in a relationship to the foreseeable
[***14] victim of that conduct (see Rest.2d Torts,
supra,
§§
315-320). Applying this exception to the present case, we note that a
relationship of defendant therapists to either Tatiana or Poddar will suffice
to establish a duty of care; as explained in section 315 of the Restatement
Second of Torts, a duty of care may arise from either
"(a) a
special relation . . . between the actor and the third person which imposes a
duty upon the actor to control the third person's conduct, or (b) a special
relation . . . between the actor and the other which gives to the other a right
of protection."
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n5 This rule derives from the common law's distinction between
misfeasance and nonfeasance, and its reluctance to impose liability for the
latter. (See Harper
& Kime,
The Duty to Control the Conduct of Another (1934)
43 Yale L.J. 886, 887.) Morally questionable, the rule owes its survival to
"the difficulties of setting any standards of unselfish service to fellow men,
and of making any workable rule to
cover possible situations where fifty people might fail to rescue . . . ." (Prosser, Torts (4th ed. 1971)
§ 56, p. 341.) Because of these practical difficulties, the courts have
increased the number of instances in which affirmative duties are imposed not
by direct rejection of the common law rule, but
by expanding the list of special relationships which will justify departure
from that rule. (See Prosser,
supra,
§ 56, at pp. 348-350.)
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
[***15]
[*436] Although plaintiffs' pleadings assert no special relation between Tatiana and
defendant therapists, they establish as between Poddar and defendant therapists
the
special relation that arises between a patient and his doctor or
psychotherapist. n6 Such a relationship may support affirmative duties for the
benefit of third persons. Thus, for example, a hospital must exercise
reasonable care to control the behavior of a patient which may endanger other
persons.
n7 A doctor must also warn a patient
[**344]
if the patient's condition or medication renders certain conduct, such as
driving a car, dangerous to others. n8
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n6 The pleadings establish the requisite relationship between Poddar and both
Dr. Moore, the therapist who treated Poddar, and Dr. Powelson, who
supervised that treatment. Plaintiffs also allege that Dr. Gold personally
examined Poddar, and that Dr. Yandell, as Powelson's assistant, approved the
decision to arrange Poddar's commitment. These allegations are sufficient to
raise the issue whether a doctor-patient or therapist-patient relationship,
giving rise to a possible duty by the doctor or
therapist to exercise reasonable care to protect a threatened person of danger
arising from the patient's mental illness, existed between Gold or Yandell and
Poddar. (See Harney, Medical Malpractice (1973) p. 7.)
[***16]
n7 When a
"hospital has notice or knowledge of facts from which it might reasonably be
concluded that a
patient would be likely to harm himself
or others unless preclusive measures were taken, then the hospital must use reasonable
care in the circumstances to prevent such harm." (Vistica v. Presbyterian Hospital (1967) 67 Cal.2d 465, 469 [62 Cal.Rptr. 577, 432 P.2d 193].) (Italics added.) A mental hospital may be liable if it negligently permits the
escape or release of a dangerous patient (Semler v. Psychiatric Institute of Washington, D.C. (4th Cir. 1976) 44 U.S.L. Week 2439;
Underwood v. United States (5th Cir. 1966) 356 F.2d 92;
Fair v. United States (5th Cir. 1956) 234 F.2d 288).
Greenberg v. Barbour (E.D.Pa. 1971) 322 F.Supp. 745, upheld a cause of action against a hospital staff doctor whose negligent
failure to admit a mental patient resulted in that patient assaulting the
plaintiff.
n8
Kaiser v. Suburban Transportation System (1965) 65 Wn.2d 461 [398 P.2d 14]; see
Freese v. Lemmon (Iowa 1973) 210 N.W.2d 576 (concurring opn. of Uhlenhopp, J.).
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
[***17]
Although the California decisions that recognize this duty have involved cases
in which the defendant stood in a special relationship
both to the victim and to the person whose conduct created the danger, n9 we do not
think that the duty should logically be constricted to such situations.
Decisions of other
jurisdictions hold that the single relationship of a doctor to his patient is
sufficient to support the duty to exercise reasonable care to protect others
against dangers emanating from the patient's illness. The courts hold that a
doctor is liable to persons
[*437] infected by his patient if he negligently fails to diagnose a contagious
disease (Hofmann v. Blackmon (Fla.App. 1970) 241 So.2d 752), or, having diagnosed the illness, fails to warn members of the patient's
family (Wojcik v. Aluminum Co. of America (1959) 18 Misc.2d 740 [183 N.Y.S.2d 351, 357-358];
Davis v. Rodman (1921) 147 Ark. 385 [227 S.W. 612, 13 A.L.R. 1459];
Skillings v. Allen (1919) 143 Minn. 323 [173 N.W. 663, 5 A.L.R. 922]; see also
Jones v. Stanko (1928) 118 Ohio St. 147 [6 Ohio L.Abs. 77, 160 N.E. 456]).
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n9
Ellis v. D'Angelo (1953) 116 Cal.App.2d 310 [253 P.2d 675], upheld a cause of action against parents who failed to warn a babysitter of
the violent proclivities of their child;
Johnson v. State of California (1968) 69 Cal.2d 782 [73 Cal.Rptr. 240, 447 P.2d 352], upheld a suit against the state for failure to warn foster parents of the
dangerous tendencies of their ward;
Morgan v. County of Yuba (1964) 230 Cal.App.2d 938 [41 Cal.Rptr. 508], sustained a cause of action against a sheriff who had promised to warn
decedent before releasing a dangerous prisoner, but failed to do so.
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
[***18]
Since it involved a dangerous mental patient, the decision in
Merchants Nat. Bank & Trust Co. of Fargo v. United States (D.N.D. 1967) 272 F.Supp. 409 comes closer to the issue. The Veterans Administration arranged for the
patient to work on a local farm, but did not inform the farmer of the man's
background. The farmer consequently permitted the
patient to come and go freely during nonworking hours; the patient borrowed a
car, drove to his wife's residence and killed her. Notwithstanding the lack of
any
"special relationship" between the Veterans Administration and the wife, the court found the Veterans
Administration liable for the wrongful death of the wife.
In their summary of the relevant
rulings Fleming and Maximov conclude that the
"case law should dispel any notion that to impose on the therapists a duty to
take precautions for the safety of persons threatened by a patient, where due
care so requires, is in any way opposed to contemporary ground rules on the
duty relationship. On the contrary, there now seems to be
sufficient authority to support the conclusion that by entering into a
doctor-patient relationship the therapist becomes sufficiently involved to
assume
[***19] some responsibility for the safety, not only of the patient himself, but also
of any third person whom the doctor knows to be threatened by the patient." (Fleming
& Maximov,
The Patient or His Victim: The Therapist's
Dilemma (1974)
62 Cal.L.Rev. 1025, 1030.)
Defendants contend, however, that imposition of a duty to exercise reasonable
care to protect third persons is unworkable because therapists cannot
accurately predict whether or not a patient will resort to violence. In
support of this argument amicus representing the
American Psychiatric Association and other professional societies cites
numerous articles which indicate that therapists, in the present state of the
art, are unable reliably to predict violent acts; their forecasts, amicus
claims, tend consistently to overpredict violence, and indeed are more often
wrong
[*438] than right. n10 Since
[**345]
predictions of
violence are often erroneous, amicus concludes, the courts should not render
rulings that predicate the liability of therapists upon the validity of such
predictions.
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n10 See, e.g.,
People v. Burnick (1975) 14 Cal.3d 306, 325-328 [121 Cal.Rptr. 488, 535 P.2d 352]; Monahan,
The Prevention of Violence, in Community Mental Health in the Criminal Justice System (Monahan ed. 1975);
Diamond,
The Psychiatric Prediction of Dangerousness (1975)
123 U.Pa.L.Rev. 439; Ennis
& Litwack,
Psychiatry and the Presumption of Expertise: Flipping Coins in the Courtroom (1974)
62 Cal.L.Rev. 693.
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
[***20]
The role of the psychiatrist, who is indeed a practitioner of medicine, and
that of the psychologist who performs an allied function, are like that of the
physician who must conform to the standards of the profession and who must
often make diagnoses and predictions based upon such evaluations. Thus the
judgment of the therapist in
diagnosing emotional disorders and in predicting whether a patient presents a
serious danger of violence is comparable to the judgment which doctors and
professionals must regularly render under accepted rules of responsibility.
We recognize the difficulty that a therapist encounters in attempting to
forecast whether a patient presents a
serious danger of violence. Obviously, we do not require that the therapist,
in making that determination, render a perfect performance; the therapist need
only exercise
"that reasonable degree of skill, knowledge, and care ordinarily possessed and
exercised by members of [that professional specialty] under similar
circumstances." (Bardessono v. Michels (1970) 3 Cal.3d 780, 788 [91 Cal.Rptr. 760, 478 P.2d 480, 45 A.L.R.3d 717];
Quintal v. Laurel Grove Hospital (1964) 62 Cal.2d 154, 159-160 [41 Cal.Rptr.
[***21] 577, 397 P.2d 161]; see 4 Witkin, Summary of Cal. Law (8th ed. 1974) Torts,
§ 514 and cases cited.) Within the broad range of reasonable practice and
treatment in which professional opinion and judgment may differ, the therapist
is free to exercise his or her own best
judgment without liability; proof, aided by hindsight, that he or she judged
wrongly is insufficient to establish negligence.
In the instant case, however, the pleadings do not raise any question as to
failure of defendant therapists to predict that Poddar presented a serious
danger of violence. On the contrary, the present complaints allege that
defendant therapists did
in fact predict that Poddar would kill, but were negligent in failing to warn.
[*439] Amicus contends, however, that even when a therapist does in fact predict that
a patient poses a serious danger of violence to others, the therapist should be
absolved of any responsibility for failing to act to protect the potential
victim.
In our view, however, once a therapist does in fact determine, or under
applicable professional standards reasonably should have determined, that a
patient poses a serious danger of violence to others, he bears a duty
[***22] to exercise reasonable care to protect the foreseeable victim of that danger.
While the discharge of this duty of
due care will necessarily vary with the facts of each case, n11 in each
instance the adequacy of the therapist's conduct must be measured against the
traditional negligence standard of the rendition of reasonable care under the
circumstances. (Accord
Cobbs v. Grant (1972) 8 Cal.3d 229, 243 [104 Cal.Rptr. 505, 502 P.2d 1].) As explained in Fleming and Maximov,
The Patient or His Victim: The Therapist's Dilemma (1974)
62 Cal.L.Rev. 1025, 1067:
". . . the ultimate question of resolving the tension between the conflicting
interests of patient and potential victim is one of
social policy, not professional expertise. . . . In sum, the therapist owes a
legal
[**346]
duty not only to his patient, but also to his patient's would-be victim and is
subject in both respects to scrutiny by judge and jury."
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n11 Defendant therapists and amicus also argue that warnings must be given
only in those cases in which the therapist knows the identity of the victim.
We recognize that in some cases it would be unreasonable to require the
therapist to interrogate his patient to discover the victim's identity, or to
conduct an independent investigation. But there may also be cases in which a
moment's reflection will reveal the victim's identity. The matter thus is one
which
depends upon the circumstances of each case, and should not be governed by any
hard and fast rule.
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
[***23]
Contrary to the assertion of amicus, this conclusion is not inconsistent with
our recent decision in
People v. Burnick, supra, 14 Cal.3d 306. Taking note of the uncertain character of therapeutic
prediction, we held in
Burnick that a person cannot be committed as a mentally disordered sex offender unless
found to be such by proof beyond a reasonable doubt.
(14 Cal.3d at p. 328.) The issue in the present context, however, is not whether the patient should
be incarcerated, but whether the therapist should
take any steps at all to protect the threatened victim; some of the
alternatives open to the therapist, such as warning the victim, will not result
in the drastic consequences of depriving the patient of his liberty. Weighing
the uncertain and conjectural character of the alleged damage done the patient
by such a warning against the peril to the victim's life, we conclude that
professional inaccuracy in predicting violence cannot negate the therapist's
duty to protect the threatened victim.
[*440] The risk that unnecessary warnings may be given is a reasonable price to pay
for the lives of possible victims that may be saved. We would hesitate to hold
that the therapist
[***24] who is aware that his patient expects to attempt to assassinate the
President of the United States would not be obligated to warn the authorities
because the therapist cannot predict with accuracy that his patient will commit
the crime.
Defendants further argue that free and open communication is essential to
psychotherapy (see
In re Lifschutz (1970) 2 Cal.3d 415, 431-434 [85 Cal.Rptr. 829, 467 P.2d 557, 44 A.L.R.3d 1]); that
"Unless a patient . . . is assured that . . . information [revealed by him] can
and will be held in utmost confidence, he will be reluctant to make the full
disclosure upon which diagnosis and treatment . . . depends." (Sen. Com. on
Judiciary, comment on Evid. Code,
§ 1014.) The giving of a warning, defendants contend, constitutes a breach of
trust which entails the revelation of confidential communications. n12
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n12 Counsel for defendant Regents and amicus American Psychiatric Association
predict that a decision of this court holding that
a therapist may bear a duty to warn a potential victim will deter
violence-prone persons from seeking therapy, and hamper the treatment of other
patients. This contention was examined in Fleming and Maximov,
The Patient or His Victim: The Therapist's Dilemma (1974)
62 Cal.L.Rev. 1025, 1038-1044; they conclude that such predictions are entirely speculative. In
In re Lifschutz, supra, 2 Cal.3d 415, counsel for the psychiatrist argued that if the state could compel disclosure
of some psychotherapeutic communications, psychotherapy could no longer be
practiced successfully.
(2 Cal.3d at p. 426.) We
rejected that argument, and it does not appear that our decision in fact
adversely affected the practice of psychotherapy in California. Counsels'
forecast of harm in the present case strikes us as equally dubious.
We note, moreover, that Evidence Code section 1024, enacted in 1965,
established that psychotherapeutic communication is not
privileged when disclosure is necessary to prevent threatened danger. We
cannot accept without question counsels' implicit assumption that effective
therapy for potentially violent patients depends upon either the patient's lack
of awareness that a therapist can disclose confidential communications to avert
impending danger, or upon the
therapist's advance promise never to reveal nonprivileged threats of violence.
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
[***25]
We recognize the public interest in supporting effective treatment of mental
illness and in protecting the rights of patients to privacy (see
In re Lifschutz, supra, 2 Cal.3d at p. 432), and the consequent
public importance of safeguarding the confidential character of
psychotherapeutic communication. Against this interest, however, we must weigh
the public interest in safety from violent assault. The Legislature has
undertaken the difficult task of balancing the countervailing concerns. In
Evidence Code section 1014, it established a broad rule of privilege to protect
confidential
[**347]
communications between patient and psychotherapist.
[*441] In Evidence Code section 1024, the Legislature created a specific and limited
exception to the psychotherapist-patient privilege:
"There is no privilege . . . if the psychotherapist has reasonable cause to
believe that the patient is in such mental or emotional condition as to be
dangerous to himself or to the person or property of another and that
disclosure of the communication is necessary to prevent the threatened danger." n13
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n13 Fleming and Maximov note that
"While [section 1024] supports the therapist's less controversial
right to make a disclosure, it admittedly does not impose on him a
duty to do so. But the argument does not have to be pressed that far. For if it
is once
conceded . . . that a duty in favor of the patient's foreseeable victims would
accord with general principles of tort liability, we need no longer look to the
statute for a source of duty. It is sufficient if the statute can be relied
upon . . . for the purpose of countering the claim that the needs of
confidentiality are paramount and must therefore
defeat any such hypothetical duty. In this more modest perspective, the
Evidence Code's 'dangerous patient' exception may be invoked with some
confidence as a clear expression of legislative policy concerning the balance
between the confidentiality values of the patient and the safety values of his
foreseeable victims." (Italics in original.) Fleming
& Maximov,
The
Patient or His Victim: The Therapist's Dilemma (1974)
62 Cal.L.Rev. 1025, 1063.
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
[***26]
We realize that the open and confidential character of psychotherapeutic
dialogue encourages patients to express threats of violence, few of which are
ever executed. Certainly a therapist should not be encouraged routinely to
reveal such threats; such disclosures could
seriously disrupt the patient's relationship with his therapist and with the
persons threatened. To the contrary, the therapist's obligations to his
patient require that he not disclose a confidence unless such disclosure is
necessary to avert danger to others, and even then that he do so discreetly,
and in a fashion that would preserve the privacy of his patient to the fullest
extent compatible with the prevention of the threatened
danger. (See Fleming
& Maximov,
The Patient or His Victim: The Therapist's Dilemma (1974)
62 Cal.L.Rev. 1025, 1065-1066.) n14
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n14 Amicus suggests that a therapist who concludes that his patient is
dangerous should not warn the potential victim, but institute proceedings for
involuntary
detention of the patient. The giving of a warning, however, would in many
cases represent a far lesser inroad upon the patient's privacy than would
involuntary commitment.
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
[***27]
The revelation of a communication under the above circumstances is not a breach
of trust or a violation of professional ethics; as stated
in the Principles of Medical Ethics of the American Medical Association (1957),
section 9:
"A physician may not reveal the confidence entrusted to him in the course of
medical attendance . . .
unless he is required to do so by law or unless it becomes necessary in order
to protect the welfare of
[*442] the individual or of the community." n15 (Italics added.) We conclude that the public policy favoring protection of the
confidential character of patient-psychotherapist communications must yield to
the extent to which disclosure is essential to avert danger to others. The
protective privilege ends where the public peril begins.
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n15 See also Summary Report of the Task Force on Confidentiality of the Council
on
Professions and Associations of the American Psychiatric Association (1975).
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
Our current crowded and computerized society compels the interdependence of its
[***28] members. In this risk-infested society we can hardly tolerate the further
exposure to danger that would result from a concealed knowledge of the
therapist that his patient was lethal. If the exercise of reasonable care to
protect the
threatened victim requires the therapist to warn the endangered party or those
who can reasonably be expected to notify him, we see no sufficient societal
interest that would protect and justify concealment. The containment of such
risks lies in the public interest.
[**348]
For the foregoing reasons, we find that plaintiffs' complaints can be amended
to state a
cause of action against defendants Moore, Powelson, Gold, and Yandell and
against the Regents as their employer, for breach of a duty to exercise
reasonable care to protect Tatiana. n16
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n16 Moore argues that after Powelson countermanded the decision to seek
commitment for Poddar, Moore was obliged to
obey the decision of his superior and that therefore he should not be held
liable for any dereliction arising from his obedience to superior orders.
Plaintiffs in response contend that Moore's duty to members of the public
endangered by Poddar should take precedence over his duty to obey Powelson.
Since plaintiffs' complaints do not set out the
date of Powelson's order, the specific terms of that order, or Powelson's
authority to overrule Moore's decisions respecting patients under Moore's care,
we need not adjudicate this conflict; we pass only upon the pleadings at this
stage and decide if the complaints can be amended to state a cause of action.
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
[***29]
Finally, we reject the contention of the dissent that the provisions of the
Lanterman-Petris-Short Act which govern the release of confidential information
(Welf.
& Inst. Code,
§§ 5328-5328.9) prevented defendant therapists from warning Tatiana. The
dissent's contention rests on the assertion that Dr. Moore's letter to the
campus police constituted an
"application
in writing" within the meaning of Welfare and Institutions Code section 5150, and thus
initiates proceedings under the Lanterman-Petris-Short Act. A closer look at
the terms of section 5150, however, will demonstrate that it is inapplicable to
the present case.
Section 5150 refers to a written application only by
a professional person who is
"a member of the attending staff . . . of an evaluation
[*443] facility designated by the county," or who is himself
"designated by the county" as one authorized to take a person into custody and place him in a facility
designated by the county and approved by the State Department of Mental
Hygiene. The
complaint fails specifically to allege that Dr. Moore was so empowered. Dr.
Moore and the Regents cannot rely upon any inference to the contrary that might
be drawn from plaintiff's
[***30] allegation that Dr. Moore intended to
"assign" a
"detention" on Poddar; both Dr. Moore and the Regents have expressly conceded that neither
Cowell Memorial
Hospital nor any member of its staff has ever been designated by the County of
Alameda to institute involuntary commitment proceedings pursuant to section
5150.
Furthermore, the provisions of the Lanterman-Petris-Short Act defining a
therapist's duty to withhold confidential information are expressly limited to
"information and records
obtained in the course of providing
services under Division 5 (commencing with section 5000), Division 6 (commencing with
section 6000), or Division 7 (commencing with section 7000)" of the Welfare and Institutions Code (Welf.
& Inst. Code,
§ 5328). (Italics added.) Divisions 5, 6 and 7 describe a variety of programs
for treatment of the mentally ill or retarded. n17 The pleadings at issue on
this appeal, however, state no facts showing that the psychotherapy provided to
Poddar by the Cowell Memorial Hospital falls under any of these programs. We
therefore conclude that the Lanterman-Petris-Short Act does not govern the
release of information acquired by Moore
during the course of rendition
[***31] of those services.
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n17 Division 5 includes the Lanterman-Petris-Short Act and the Short-Doyle Act
(community mental health services). Division 6 relates to programs for
treatment of persons judicially committed as mentally disordered sex offenders
or mentally retarded.
Division 7 encompasses treatment at state and county mental hospitals, the
Langley Porter Neuropsychiatric Institute and the Neuropsychiatric Institute of
the U.C.L.A. Medical Center.
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
Neither can we adopt the dissent's suggestion that we import wholesale the
detailed provisions of the Lanterman-Petris-Short Act regulating the disclosure
of confidential
information and apply them to disclosure of information
not governed by the act. Since the Legislature did not extend
[**349]
the act to control all disclosures of confidential matter by a therapist, we
must infer that the Legislature did not relieve the courts of their obligation
to define by reference to the principles of the common law the obligation of
the therapist
in those
[***32] situations not governed by the act.
[*444] Turning now to the police defendants, we conclude that they do not have any
such special relationship to either Tatiana or to Poddar sufficient to impose
upon such defendants a duty to warn respecting Poddar's violent intentions.
(See
Hartzler v. City of San Jose (1975) 46 Cal.App.3d 6, 9-10 [120 Cal.Rptr. 5];
Antique Arts Corp. v. City of Torrance (1974) 39 Cal.App.3d 588, 593 [114 Cal.Rptr. 332].) Plaintiffs suggest no theory, n18 and plead no
facts that give rise to any duty to warn on the part of the police defendants
absent such a special relationship. They have thus failed to demonstrate that
the trial court erred in denying leave to amend as to the police defendants.
(See
Cooper v. Leslie Salt Co. (1969) 70 Cal.2d 627, 636 [75 Cal.Rptr. 766, 451 P.2d 406];
Filice v. Boccardo (1962) 210 Cal.App.2d 843, 847 [26 Cal.Rptr. 789].)
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n18 We have considered
sua sponte whether plaintiffs' complaints could be amended to assert a cause of action
against the
police defendants under the principles of Restatement Second of Torts (1965)
section 321, which provides that
"If the actor does an act, and subsequently realizes or should realize that it
has created an unreasonable risk of causing physical harm to another, he is
under a duty to exercise reasonable care to prevent the risk from taking effect." (See
Hartzler v. City of San Jose, supra, 46 Cal.App.3d 6, 10.) The record, however, suggests no facts which, if inserted into the complaints,
might form the foundation for such cause of action. The assertion of a cause
of action against the police defendants under this theory would raise difficult
problems of
causation and of public policy, which should not be resolved on the basis of
conjectural facts not averred in the pleadings or in any proposed amendment to
those pleadings.
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
[***33]
3.
Defendant therapists are not immune from liability for failure to warn.
We address the issue of whether defendant therapists are protected by
governmental immunity
for having failed to warn Tatiana or those who reasonably could have been
expected to notify her of her peril. We postulate our analysis on section
820.2 of the Government Code. n19 That provision declares, with exceptions not
applicable here, that
"a public employee is not liable for an injury resulting from his act or
omission where the act or omission was the result of the exercise of the
discretion
vested in him, whether or not such discretion [was] abused." n20
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n19 No more specific immunity provision of the Government Code appears to
address the issue.
n20 Section 815.2 of the Government Code declares that
"[a] public entity is liable for injury proximately caused by an act or omission
of an
employee of the public entity within the scope of his employment if the act or
omission would, apart from this section, have given rise to a cause of action
against that employee or his personal representative." The section further provides, with exceptions not applicable here, that
"a public entity is not liable for an injury resulting from an act or omission
of an
employee of the public entity where the employee is immune from liability." The Regents, therefore, are immune from liability only if all individual
defendants are similarly immune.
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
[***34]
[*445] Noting that virtually every public act admits of some element of discretion,
we drew the line in
Johnson v. State of California (1968) 69 Cal.2d 782 [73 Cal.Rptr. 240, 447 P.2d 352], between discretionary policy decisions which enjoy statutory immunity and
ministerial administrative acts which do not. We concluded that section 820.2
affords immunity only for
"basic policy decisions." (Italics added.) (See also
Elton v. County of Orange (1970) 3 Cal.App.3d 1053, 1057-1058 [84 Cal.Rptr. 27]; 4 Cal. Law Revision Com. Rep. (1963) p. 810; Van Alstyne, Supplement to Cal.
Government Tort Liability (Cont. Ed. Bar 1969)
§
5.54, pp. 16-17; Comment,
California Tort Claims Act: Discretionary Immunity (1966)
39 So.Cal.L.Rev. 470, 471; cf. James,
Tort Liability of Governmental Units and Their Officers
[**350]
(1955)
22 U.Chi.L.Rev. 610, 637-638, 640, 642, 651.)
We also observed that if courts did not respect this statutory immunity, they
would find themselves
"in the unseemly position of determining the propriety of decisions expressly
entrusted to a coordinate branch of government." (Johnson v. State of California, supra, at
[***35] p. 793.) It therefore is necessary, we concluded, to
"isolate those areas of quasilegislative policy-making which are sufficiently sensitive to justify a blanket rule that courts
will not entertain a tort action alleging that careless conduct contributed to
the governmental decision." (Johnson v. State of California, supra, at p. 794.) After careful analysis we rejected, in
Johnson, other rationales
commonly advanced to support governmental immunity n21 and concluded that the
immunity's scope should be no greater than is required to give legislative and
executive policymakers sufficient breathing space in which to perform their
vital policymaking functions.
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n21 We dismissed, in
Johnson, the view that immunity continues to be necessary in order to
insure that public employees will be sufficiently zealous in the performance of
their official duties. The California Tort Claims Act of 1963 provides for
indemnification of public employees against liability, absent bad faith, and
also permits such employees to insist that their defenses be conducted at
public expense. (See Gov. Code,
§§ 825-825.6, 995-995.2.) Public employees thus no longer have a significant
reason to fear liability as they go about their official tasks. We also, in
Johnson, rejected the argument that a public employee's concern over the potential
liability of his or her employer serves as a basis for immunity. (Johnson v. State of California, supra, at pp. 790-793.)
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
[***36]
Relying on
Johnson, we conclude that defendant therapists in the present case are not immune from
liability for their failure to warn of Tatiana's peril.
Johnson held that a parole officer's determination whether to warn an adult couple
that their
prospective foster child had a background of violence
"[presented] no . . . reasons for immunity" (Johnson v. State of California, supra, at p. 795), was
"at the lowest,
[*446] ministerial rung of official action" (id., at p. 796), and indeed constituted
"a classic case for the imposition of tort liability." (Id., p. 797; cf.
Morgan v. County of Yuba, supra, 230 Cal.App.2d 938, 942-943.) Although defendants in
Johnson argued that the decision whether to inform the foster parents of the child's
background required the exercise of considerable judgmental skills, we
concluded that the state was not
immune from liability for the parole officer's failure to warn because such a
decision did not rise to the level of a
"basic policy decision."
We also noted in
Johnson that federal courts have consistently categorized failures to warn of latent
dangers as falling outside the scope of discretionary
[***37] omissions immunized by the Federal
Tort Claims Act. n22 (See
United Air Lines, Inc. v. Wiener (9th Cir. 1964) 335 F.2d 379, 397-398, cert. den.
sub nom.
United Air Lines, Inc. v. United States, 379 U.S. 951 [13 L.Ed.
[**351] 2d 549, 85 S.Ct. 452] (decision to conduct military training flights was discretionary but failure
to warn commercial airline was not);
United States v. State of Washington (9th Cir. 1965) 351 F.2d 913, 916 (decision where to place
transmission lines spanning canyon was assumed to be discretionary but failure
to warn pilot was not);
United States v. White (9th Cir. 1954) 211 F.2d 79, 82 (decision not to
"dedud" army firing range assumed to be discretionary but failure to warn person
about to go onto range of unsafe condition was not);
Bulloch v. United States (D.Utah 1955) 133 F.Supp. 885, 888 (decision how and when to conduct nuclear test deemed discretionary but
failure to afford proper notice was not);
Hernandez v. United States (D.Hawaii 1953) 112 F.Supp. 369, 371 (decision to erect road block characterized as discretionary but failure to
warn of resultant hazard was not).
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n22 By analogy, section 830.8 of the Government Code furnishes additional
support for our conclusion that a failure to
warn does not fall within the zone of immunity created by section 820.2.
Section 830.8 provides:
"Neither a public entity nor a public employee is liable . . . for an injury
caused by the failure to provide traffic or warning signals, signs, markings or
devices described in the
Vehicle Code. Nothing in this section exonerates a public entity or public
employee from liability for injury proximately caused by such failure if a
signal, sign, marking or device . . . was necessary to warn of a dangerous
condition which endangered the safe movement of traffic and which would not be
reasonably apparent to, and would
not have been anticipated by, a person exercising due care." The Legislature thus concluded at least in another context that the failure to
warn of a latent danger is not an immunized discretionary omission. (See
Hilts v. County of Solano (1968) 265 Cal.App.2d 161, 174 [71 Cal.Rptr. 275].)
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
[***38]
We conclude, therefore, that the therapist defendants' failure to warn Tatiana
or those who reasonably could have been expected to notify her of her peril
does not fall within the absolute protection afforded by section 820.2 of the
Government Code. We emphasize that our conclusion
[*447] does not raise the specter of therapists employed by the
government indiscriminately being held liable for damage despite their exercise
of sound professional judgment. We require of publicly employed therapists
only that quantum of care which the common law requires of private therapists.
The imposition of liability in those rare cases in which a public employee
falls short of this
standard does not contravene the language or purpose of Government Code section
820.2.
4.
Defendant therapists are immune from liability for failing to confine Poddar.
We sustain defendant therapists' contention that Government Code section 856
insulates them from liability under plaintiffs' first and fourth causes of
action for
failing to confine Poddar. Section 856 affords public entities and their
employees absolute protection from liability for
"any injury resulting from determining in accordance
[***39] with any applicable enactment . . . whether to confine a person for mental
illness." Since this section refers to a determination to confine
"in accordance with any applicable
enactment," plaintiffs suggest that the immunity is limited to persons designated under
Welfare and Institutions Code section 5150 as authorized finally to adjudicate
a patient's confinement. Defendant therapists, plaintiffs point out, are not
among the persons designated under section 5150.
The language and legislative history of section
856, however, suggest a far broader immunity. In 1963, when section 856 was
enacted, the Legislature had not established the statutory structure of the
Lanterman-Petris-Short Act. Former Welfare and Institutions Code section
5050.3 (renumbered as Welf.
& Inst. Code,
§ 5880; repealed July 1,
1969) which resembled present section 5150, authorized emergency detention at
the behest only of peace officers, health officers, county physicians, or
assistant county physicians; former section 5047 (renumbered as Welf.
& Inst. Code,
§ 5551; repealed July 1, 1969), however, authorized a petition
seeking commitment by any person, including the
"physician attending the patient." The
[***40] Legislature did not refer in section 856 only to those persons authorized to
institute emergency proceedings under section 5050.3; it broadly extended
immunity to all employees who acted in accord with
"any applicable enactment," thus granting immunity not
only to persons who are empowered to confine, but also to those authorized to
request or recommend confinement.
[*448] The Lanterman-Petris-Short Act, in its extensive revision of the procedures
for commitment of the mentally ill, eliminated any specific statutory reference
to petitions by treating physicians, but it did not limit the authority of a
therapist
in government employ to request, recommend or initiate actions which may lead
to commitment of his patient under the act. We believe that the language of
section 856,
[**352]
which refers to any action in the course of employment and in accordance with
any applicable enactment, protects the therapist who must undertake this
delicate and difficult task. (See Fleming
&
Maximov,
The Patient or His Victim: The Therapist's Dilemma (1974)
62 Cal.L.Rev. 1025, 1064.) Thus the scope of the immunity extends not only to the final determination to
confine or not
[***41] to confine the person for mental illness, but to all determinations involved
in the process of commitment. (Cf.
Hernandez v. State of California (1970) 11 Cal.App.3d 895, 899-900 [90 Cal.Rptr. 205].)
Turning first to Dr. Powelson's status with respect to section 856, we observe
that the actions attributed to him by plaintiffs' complaints fall squarely
within the protections furnished by that provision.
Plaintiffs allege Powelson ordered that no actions leading to Poddar's
detention be taken. This conduct reflected Powelson's determination not to
seek Poddar's confinement and thus falls within the statutory immunity.
Section 856 also insulates Dr. Moore for his conduct respecting confinement,
although the analysis in his case is
a bit more subtle. Clearly, Moore's decision that Poddar
be confined was not a proximate cause of Tatiana's death, for indeed if Moore's
efforts to bring about Poddar's confinement had been successful, Tatiana might
still be alive today. Rather, any confinement claim against Moore must
rest upon Moore's failure to overcome Powelson's decision and actions opposing
confinement.
Such a claim, based as it necessarily would be, upon a subordinate's
[***42] failure to prevail over his superior, obviously would derive from a rather
onerous duty. Whether to impose such a duty we need not decide, however, since
we can
confine our analysis to the question whether Moore's failure to overcome
Powelson's decision realistically falls within the protection afforded by
section 856. Based upon the allegations before us, we conclude that Moore's
conduct is protected.
Plaintiffs' complaints imply that Moore acquiesced in Powelson's countermand of
Moore's confinement recommendation. Such
acquiescence
[*449] is functionally equivalent to determining not to seek Poddar's confinement and
thus merits protection under section 856. At this stage we are unaware, of
course, precisely how Moore responded to Powelson's actions; he may have
debated the confinement issue with Powelson, for example, or taken no
initiative whatsoever, perhaps because he respected
Powelson's judgment, feared for his future at the hospital, or simply
recognized that the proverbial handwriting was on the wall. None of these
possibilities constitutes, however, the type of careless or wrongful behavior
subsequent to a decision respecting confinement which is stripped of protection
[***43] by the exception in section 856. n23 Rather, each is in the nature of
a decision not to continue to press for Poddar's confinement. No language in
plaintiffs' original or amended complaints suggests that Moore determined to
fight Powelson, but failed successfully to do so, due to negligent or otherwise
wrongful acts or omissions. Under the circumstances, we conclude that
plaintiffs' second amended
complaints allege facts which trigger immunity for Dr. Moore under section 856.
n24
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n23 Section 856 includes the exception to the general rule of immunity
"for injury proximately caused by . . . negligent or wrongful acts or omission
in carrying out or failing to carry
out . . . a determination to confine or not to confine a person for mental
illness . . . ."
n24 Because Dr. Gold and Dr. Yandell were Dr. Powelson's subordinates, the
analysis respecting whether they are immune for having failed to obtain
Poddar's confinement is similar to the analysis applicable to Dr. Moore.
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
5.
Defendant police officers
[***44]
are immune from liability for failing to confine Poddar in their custody.
Confronting, finally, the question whether the defendant police officers are
[**353]
immune from liability for releasing Poddar after his brief confinement, we
conclude that they are. The source of their immunity is section 5154 of the
Welfare and Institutions Code, which declares that:
"[the] professional
person in charge of the facility providing 72-hour treatment and evaluation,
his designee,
and the peace officer responsible for the detainment of the person shall not be held civilly or criminally liable for any action by a person
released at or before the end of 72 hours . . . ." (Italics added.)
Although
defendant police officers technically were not
"peace officers" as contemplated by the Welfare and Institutions Code, n25
[*450] plaintiffs' assertion that the officers incurred liability by failing to
continue Poddar's confinement clearly contemplates that the officers were
"responsible for the detainment of [Poddar]." We could not impose a duty upon the
officers to keep Poddar confined yet deny them the protection furnished by a
statute immunizing those
"responsible for
[***45] . . . [confinement]." Because plaintiffs would have us treat defendant officers as persons who were
capable of performing the functions of the
"peace officers" contemplated by the Welfare and Institutions Code, we must accord defendant
officers the protections which that
code prescribed for such
"peace officers."
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n25 Welfare and Institutions Code section 5008, subdivision (i), defines
"peace officer" for purposes of the Lanterman-Petris-Short Act as a person specified in
sections 830.1 and 830.2 of the Penal Code. Campus police do not
fall within the coverage of section 830.1 and were not included in section
830.2 until 1971.
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
6.
Plaintiffs' complaints state no cause of action for exemplary damages.
Plaintiff's third cause of action seeks punitive damages against defendant
Powelson. The California
statutes and decisions, however, have been interpreted to bar the recovery of
punitive damages in a wrongful death action. (See
Pease v. Beech Aircraft Corp. (1974) 38 Cal.App.3d 450, 460-462 [113
[***46] Cal.Rptr. 416] and authorities there cited.)
7.
Conclusion
For the
reasons stated, we conclude that plaintiffs can amend their complaints to state
a cause of action against defendant therapists by asserting that the therapists
in fact determined that Poddar presented a serious danger of violence to
Tatiana, or pursuant to the standards of their profession should have so
determined, but nevertheless failed to exercise
reasonable care to protect her from that danger. To the extent, however, that
plaintiffs base their claim that defendant therapists breached that duty
because they failed to procure Poddar's confinement, the therapists find
immunity in Government Code section 856. Further, as to the police defendants
we conclude that plaintiffs have failed to show that the trial court erred in
sustaining their demurrer without leave to amend.
The judgment of the superior court in favor of defendants Atkinson, Beall,
Brownrigg, Hallernan, and Teel is affirmed. The judgment of the superior court
in favor of defendants Gold, Moore, Powelson, Yandell, and the Regents of the
University of California is reversed, and the cause remanded for further
proceedings consistent with
[***47] the views expressed herein.
CONCURBY: MOSK (In Part)
DISSENTBY: MOSK (In Part); CLARK
DISSENT:
[*451]
Mosk, J., Concurring and Dissenting I concur in the result in this instance only because
the complaints allege that defendant therapists did in fact predict that Poddar
would kill and were therefore negligent in failing to warn of that danger.
Thus the issue here is very narrow: we are not concerned with whether the
therapists, pursuant to the standards of their profession,
"should have" predicted potential
[**354]
violence; they allegedly did so in actuality. Under these limited
circumstances I agree that a cause of action can be stated.
Whether plaintiffs can ultimately prevail is problematical at best. As the
complaints admit, the therapists
did notify the police that Poddar was planning to kill a girl identifiable as
Tatiana. While I doubt that
more should be required, this issue may be raised in defense and its
determination is a question of fact.
I cannot concur, however, in the majority's rule that a therapist may be held
liable for failing to predict his patient's tendency to violence if other
practitioners, pursuant to the
"standards of the profession,"
[***48] would have done so. The question is, what
standards? Defendants and a responsible amicus curiae, supported by an
impressive body of literature discussed at length in our recent opinion in
People v. Burnick (1975) 14 Cal.3d 306 [121 Cal.Rptr. 488, 535 P.2d 352], demonstrate that psychiatric
predictions of violence are inherently unreliable.
In
Burnick, at pages 325-326, we observed:
"In the light of recent studies it is no longer heresy to question the
reliability of psychiatric predictions. Psychiatrists themselves would be the
first to admit that however desirable an infallible crystal ball might be, it
is not among the tools of their profession. It must be
conceded that psychiatrists still experience considerable difficulty in
confidently and accurately
diagnosing mental illness. Yet those difficulties are multiplied manyfold when
psychiatrists venture from diagnosis to prognosis and undertake to predict the
consequences of such illness: '" A diagnosis of mental illness tells us nothing about whether the person so
diagnosed is or is not dangerous. Some
mental patients are dangerous, some are not. Perhaps the psychiatrist is an
expert at deciding whether
[***49] a person is mentally ill, but is he an expert at predicting which of the
persons so diagnosed are dangerous? Sane people, too, are dangerous, and it may
legitimately be inquired whether there is anything in the education, training
or experience of psychiatrists which renders them particularly adept at
predicting dangerous
behavior. Predictions of dangerous behavior, no
[*452] matter who makes them, are incredibly inaccurate, and there is a growing
consensus that psychiatrists are not uniquely qualified to predict dangerous
behavior and are, in fact, less accurate in their predictions than other
professionals."' (Murel v. Baltimore City Criminal Court (1972) . . . 407 U.S. 355, 364-365, fn. 2 [32 L.Ed.2d 791, 796-797, 92 S.Ct. 2091] (Douglas, J., dissenting from dismissal of certiorari).)" (Fns. omitted.) (See also authorities cited at p. 327
& fn. 18 of 14 Cal.3d.)
The majority
confidently claim their opinion is not offensive to
Burnick, on the stated ground that
Burnick involved proceedings to commit an alleged mentally disordered sex offender and
this case does not. I am not so sanguine about the distinction. Obviously the
two cases are not factually identical,
[***50] but the similarity in issues is striking:
in
Burnick we were likewise called upon to appraise the ability of psychiatrists to
predict dangerousness, and while we declined to bar all such testimony (id., at pp. 327-328) we found it so inherently untrustworthy that we would permit
confinement even in a so-called civil proceeding only upon proof beyond a
reasonable
doubt.
I would restructure the rule designed by the majority to eliminate all
reference to conformity to standards of the profession in predicting violence.
If a psychiatrist does in fact predict violence, then a duty to warn arises.
The majority's expansion of that rule will take us from the world of reality
into the wonderland of clairvoyance.
Clark,
J. Until today's majority opinion, both legal and medical authorities have agreed
that confidentiality is essential to effectively treat the mentally ill, and
that imposing a
[**355]
duty on doctors to disclose patient threats to potential victims would greatly
impair treatment. Further, recognizing that effective treatment and society's
safety are necessarily
intertwined, the Legislature has already decided effective and confidential
treatment
[***51] is preferred over imposition of a duty to warn.
The issue whether effective treatment for the mentally ill should be sacrificed
to a system of warnings is, in my opinion, properly one for the Legislature,
and we are bound by its judgment. Moreover, even
in the absence of clear legislative direction, we must reach the same
conclusion because imposing the majority's new duty is certain to result in a
net increase in violence.
The majority rejects the balance achieved by the Legislature's
Lanterman-Petris-Short Act. (Welf.
& Inst. Code,
§
5000 et seq.,
[*453] hereafter the act.) n1 In addition, the majority fails to recognize that, even
absent the act, overwhelming policy considerations mandate against sacrificing
fundamental patient interests without gaining a corresponding increase in
public benefit.
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n1 All statutory references,
unless otherwise stated, are to the Welfare and Institutions Code.
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
Statutory Provisions
Although the parties have touched only briefly on the nondisclosure provisions
of
[***52] the act, amici have pointed out their importance. The instant case arising
after ruling on demurrer, the parties must confront the act's provisions in the
trial
court. In these circumstances the parties' failure to fully meet the
provisions of the act would not justify this court's refusal to discuss and
apply the law.
Having a grave impact on future treatment of the mentally ill in our state, the
majority opinion clearly transcends the interests of the immediate parties and
must discuss all applicable
law. It abdicates judicial responsibility to refuse to recognize the clear
legislative policy reflected in the act.
Effective 1 July 1969, the Legislature created a comprehensive statutory
resolution of the rights and duties of both the mentally infirm and those
charged with their care and treatment. The act's purposes include ending
inappropriate
commitment, providing prompt care, protecting public safety, and safeguarding
personal rights. (§ 5001.) The act applies to both voluntary and involuntary commitment and to
both public and private institutions; it details legal procedure for
commitment; it enumerates the legal and civil rights of persons committed; and
it spells out
[***53] the
duties, liabilities and rights of the psychotherapist. Thus the act clearly
evinces the Legislature's weighing of the countervailing concerns presently
before us -- when a patient has threatened a third person during psychiatric
treatment.
Reflecting legislative recognition that disclosing confidences impairs
effective treatment of the mentally ill, and thus is contrary to the best
interests of
society, the act establishes the therapist's duty to
not disclose. Section 5328 provides in part that
"[all] information and records obtained in the course of providing services . .
. to either voluntary or involuntary recipients of services
shall be confidential." (Italics added.) Further, a patient may enjoin disclosure in
violation of statute and may
[*454] recover the greater of $ 500 or three times the amount of actual damage for
unlawful disclosure. (§ 5330.)
However, recognizing that some private and public interests must override the
patient's, the Legislature established several limited exceptions to
confidentiality. n2 The
[**356]
limited nature of these exceptions and the
[*455] legislative concern that
disclosure might impair treatment,
[***54] thereby harming both patient and society, are shown by section 5328.1. The
section provides that a therapist may disclose
"to a member of the family of a patient the information that the patient is
presently a patient in the facility or that the patient is seriously physically
ill . . . if the professional
person in charge of the facility determines that the release of such
information is in the best interest of the patient." Thus, disclosing even the fact of treatment is severely limited.
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n2 Section 5328 provides:
"All information and records obtained in the course of providing services under
Division 5 (commencing with Section 5000),
Division 6 (commencing with Section 6000), or Division 7 (commencing with
Section 7000), to either voluntary or involuntary recipients of services shall
be confidential. Information and records may be disclosed only: [ para. ] (a)
In communications between qualified professional persons in the provision of
services or appropriate referrals, or
in the course of conservatorship proceedings. The consent of the patient, or
his guardian or conservator must be obtained before information or records may
be disclosed by a professional person employed by a facility to a professional
person not employed by the facility who does not have the medical
responsibility for the patient's
care. [ para. ] (b) When the patient, with the approval of the physician in
charge of the patient, designates persons to whom information or records may be
released, except that nothing in this article shall be construed to compel a
physician, psychologist, social worker, nurse, attorney, or other professional
person to reveal information which has been given to him
in confidence by members of a patient's family; [ para. ] (c) To the extent
necessary for a recipient to make a claim, or for a claim to be made on behalf
of a recipient for aid, insurance, or medical assistance to which he may be
entitled; [ para. ] (d) If the recipient of services is
a minor, ward, or conservatee, and his parent, guardian, or conservator
designates, in writing, persons to whom records or information may be
disclosed, except that nothing in this article shall be construed to compel a
physician, psychologist, social worker, nurse, attorney, or other professional
person to reveal information which has been given to him
in confidence by members of a patient's family; [ para. ] (e) For research,
provided that the Director of Health designates by regulation, rules for the
conduct of research. Such rules shall include, but need not be limited to, the
requirement that all researchers must sign an oath of confidentiality as
follows:
Date
As a condition of doing research concerning persons who have received services
from
(fill in the facility, agency or person), I,
, agree not to divulge any information obtained in the course of such research
to unauthorized persons, and not to publish or otherwise make public any
information regarding persons who have received services such that the
person who received services is identifiable. I recognize that unauthorized
release of confidential information may make me subject to a civil action under
provisions of the Welfare and Institutions Code.
Signed
[ para. ] (f) To the courts, as necessary to the administration of justice. [
para. ] (g) To governmental law enforcement agencies as needed
for the protection of federal and state elective constitutional officers and
their families. [ para. ] (h) To the Senate Rules Committee or the Assembly
Rules Committee for the purposes of legislative investigation authorized by
such committee. [ para. ] (i) If the recipient of services who applies for
life or disability insurance designates in writing the
insurer to which records or information may be disclosed. [ para. ] (j) To the
attorney for the patient in any and all proceedings upon presentation of a
release of information signed by the patient, except that when the patient is
unable to sign such release, the staff of the facility, upon satisfying itself
of the identity of said attorney, and of the fact that the attorney does
represent the
interests of the patient, may release all information and records relating to
the patient except that nothing in this article shall be construed to compel a
physician, psychologist, social worker, nurse, attorney, or other professional
person to reveal information which has been given to him in confidence by
members of a patient's family. [
para. ] The amendment of subdivision (d) of this section enacted at the 1970
Regular Session of the Legislature does not constitute a change in, but is
declaratory of, the preexisting law."
Subdivisions (g), (h), and (i) were added by amendment in 1972. Subdivision
(j) was added by amendment in 1974.
Section 5328, specifically enumerating exceptions to the confidentiality
requirement, does not admit of an interpretation importing implied exceptions.
(County of Riverside v. Superior Court, 42 Cal.App.3d 478, 481 [116 Cal.Rptr. 886].)
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
[***55]
As originally enacted the act contained no
provision allowing the therapist to warn anyone of a patient's threat. In
1970, however, the act was amended to permit disclosure in two limited
circumstances. Section 5328 was amended, in subdivision (g), to allow
disclosure
"[to]
governmental
[**357]
law enforcement agencies as needed for the protection of federal and state
elective constitutional officers and their families." (Italics added.) In addition, section 5328.3 was added to provide that when
"necessary for the protection of the patient or
others due to the patient's disappearance from, without prior notice to, a designated
facility and his whereabouts is unknown, notice of such disappearance
may be made to
relatives and governmental law
enforcement agencies designated by the physician in charge of the patient or the professional
person in charge of the facility or his designee." (Italics added.)
Obviously neither exception to the confidentiality requirement is applicable to
the instant case.
Not only has the Legislature specifically dealt with disclosure and warning,
but it also has dealt with therapist and police
officer liability
[***56] for acts of the patient. The Legislature has provided that the therapist and
the officer shall not be liable for prematurely releasing the patient. (§§ 5151, 5154, 5173, 5278, 5305, 5306.)
[*456] Ignoring the act's detailed provisions, the majority has chosen to focus on
the
"dangerous patient exception" to the psychotherapist-patient
privilege in Evidence Code sections 1014, 1024 as indicating that
"the Legislature has undertaken the difficult task of balancing the
countervailing concerns." (Ante, p. 440.) However, this conclusion is erroneous. The majority fails to
appreciate that when disclosure is permitted in an evidentiary hearing, a
fourth interest comes into play -- the court's concern
in judicial supervision. Because they are necessary to the administration of
justice, disclosures to the courts are excepted from the nondisclosure
requirement by section 5328, subdivision (f). However, this case does not
involve a court disclosure. Subdivision (f) and the Evidence Code sections
relied on by the majority are clearly inapposite.
The provisions of the act are applicable here.
Section 5328 (see fn. 2,
ante) provides,
"All information and records obtained
[***57]
in the course of providing services under division 5 . . . shall be
confidential." (Italics added.) Dr. Moore's letter describing Poddar's mental condition for
purposes of obtaining 72-hour commitment was undisputedly
a transmittal of information designed to invoke application of division 5. As
such it constituted information obtained in providing services under division
5. This is true regardless of whether Dr. Moore has been designated a
professional person by the County of Alameda. Although section 5150 provides
that commitment for 72
hours' evaluation shall be based on a statement by a peace officer or person
designated by the county, section 5328 prohibits disclosure of
all information, not just disclosure of the committing statement or disclosure by persons
designated by the county. In addition, section 5330 gives the
patient a cause of action for disclosure of confidential information by
"an individual" rather than the persons enumerated in section 5150.
Moreover, it appears from the allegations of the complaint that Dr. Moore is in
fact a person designated by the county under section 5150. The complaint
alleges that
"On or about
August 20, 1969, defendant Dr. Moore
[***58] notified Officers Atkinson and Teel, he would give the campus police a letter
of diagnosis on Prosenjit Poddar, so the campus police could pick up Poddar and
take him to Herrick Hospital in Berkeley where Dr. Moore would assign a 72-hour
Emergency
Psychiatric Detention on Prosenjit Poddar." Since there is no allegation that Dr. Moore was not authorized to sign the
document, it must be concluded that under the allegations of the complaint he
was authorized and thus a professional person designated by the county.
[*457] Whether we rely on the facts as stated in the complaint that Dr. Moore is a
designated person
under section 5150 or on the strict prohibitions of section 5328 prohibiting
disclosure of
"all information," the imposition of a duty to warn by the majority
[**358]
flies directly in the face of the Lanterman-Petris-Short Act.
Under the act, there can be no liability for Poddar's premature release. It is
likewise clear there
exists no duty to warn. Under section 5328, the therapists were under a duty
to not disclose, and no exception to that duty is applicable here. Establishing a duty to
warn on the basis of general tort principles imposes
[***59] a Draconian dilemma on therapists -- either violate the act thereby incurring
the attendant
statutory penalties, or ignore the majority's duty to warn thereby incurring
potential civil liability. I am unable to assent to such.
If the majority feels that it must impose such a dilemma, then it has an
obligation to specifically enumerate the circumstances under which the
Lanterman-Petris-Short Act applies as opposed to the circumstances when
"general tort principles" will
govern. The majority's failure to perform this obligation -- leaving to the
therapist the subtle questions as to when each opposing rule applies -- is
manifestly unfair.
Duty to Disclose in the Absence of Controlling Statutory Provision
Even assuming the act's provisions are applicable only to conduct occurring
after commitment, and not to prior conduct, the
act remains applicable to the most dangerous patients -- those committed. The
Legislature having determined that the balance of several interests requires
nondisclosure in the graver public danger commitment, it would be anomalous for
this court to reweigh the interests, requiring disclosure for those less
dangerous. Rather, we should follow the legislative
[***60] direction by refusing to
require disclosure of confidential information received by the therapist either
before or in the absence of commitment. The Legislature obviously is more
capable than is this court to investigate, debate and weigh potential patient
harm through disclosure against the risk of public harm by nondisclosure. We
should defer to its judgment.
Common Law
Analysis
Entirely apart from the statutory provisions, the same result must be reached
upon considering both general tort principles and the public
[*458] policies favoring effective treatment, reduction of violence, and justified
commitment.
Generally, a person owes no duty to control the conduct of another. (Richards v. Stanley (1954) 43 Cal.2d 60, 65 [271 P.2d 23];
Wright v. Arcade School Dist. (1964) 230 Cal.App.2d 272, 277 [40 Cal.Rptr. 812]; Rest.2d Torts (1965)
§ 315.) Exceptions are recognized
only in limited situations where (1) a special relationship exists between the
defendant and injured party, or (2) a special relationship exists between
defendant and the active wrongdoer, imposing a duty on defendant to control the
wrongdoer's conduct. The majority does not contend
[***61] the first exception is appropriate to this
case.
Policy generally determines duty. (Dillon v. Legg (1968) 68 Cal.2d 728, 734 [69 Cal.Rptr. 72, 441 P.2d 912, 29 A.L.R.3d 1316].) Principal policy considerations include foreseeability of harm, certainty of
the plaintiff's injury,
proximity of the defendant's conduct to the plaintiff's injury, moral blame
attributable to defendant's conduct, prevention of future harm, burden on the
defendant, and consequences to the community. (Rowland v. Christian (1968) 69 Cal.2d 108, 113 [70 Cal.Rptr. 97, 443 P.2d 561, 32 A.L.R.3d 496].)
Overwhelming policy considerations weigh against imposing a duty on
psychotherapists to warn a potential victim against harm. While offering
virtually no benefit to society, such a duty will frustrate psychiatric
treatment, invade fundamental patient rights and increase
violence.
The importance of psychiatric treatment and its need for confidentiality have
been recognized by this court. (In re Lifschutz (1970) 2 Cal.3d 415, 421-422 [85 Cal.Rptr. 829, 467 P.2d 557, 44 A.L.R.3d 1].)
"It is clearly recognized that the very practice of
psychiatry vitally depends upon the reputation in the
[***62] community that the psychiatrist will not tell." (Slovenko,
Psychiatry and a Second
[**359]
Look at the Medical Privilege (1960)
6 Wayne L.Rev. 175, 188.)
Assurance of confidentiality is important for three reasons.
Deterrence From Treatment
First, without
substantial assurance of confidentiality, those requiring treatment will be
deterred from seeking assistance. (See Sen. Judiciary Com. comment
accompanying
§ 1014 of Evid. Code; Slovenko,
supra,
6
[*459] Wayne L.Rev. 175, 187-188; Goldstein
& Katz,
Psychiatrist-Patient Privilege: The GAP Proposal and the
Connecticut Statute (1962)
36 Conn.Bar J. 175, 178.) It remains an unfortunate fact in our society that people seeking psychiatric
guidance tend to become stigmatized. Apprehension of such stigma -- apparently
increased by the propensity of people considering treatment to see themselves
in the worst possible
light -- creates a well-recognized reluctance to seek aid. (Fisher,
The Psychotherapeutic Professions and the Law of Privileged Communications (1964)
10 Wayne L.Rev. 609, 617; Slovenko,
supra,
6 Wayne L.Rev. 175, 188; see also Rappeport,
Psychiatrist-Patient Privilege
[***63] (1963)
23 Md.L.J. 39, 46-47.) This reluctance is alleviated by the psychiatrist's
assurance of confidentiality.
Full Disclosure
Second, the guarantee of confidentiality is essential in eliciting the full
disclosure necessary for effective treatment. (In re Lifschutz, supra, 2 Cal.3d 415, 431;
Taylor v. United States (D.C.Cir. 1955) 222 F.2d 398, 401 [95 App.D.C. 373]; Goldstein
& Katz,
supra,
36 Conn.Bar J. 175, 178; Heller,
Some Comments to Lawyers on the Practice of Psychiatry (1957)
30 Temp.L.Q. 401;
Guttmacher
& Weihofen,
Privileged Communications Between Psychiatrist and Patient (1952) 28 Ind.L.J.32, 34.) n3 The psychiatric patient approaches treatment
with conscious and unconscious inhibitions against revealing his innermost
thoughts.
"Every person, however well-motivated, has to overcome resistances to
therapeutic exploration. These resistances seek
support from every possible source and the possibility of disclosure would
easily be employed in the service of resistance." (Goldstein
& Katz,
supra,
36 Conn.Bar J. 175, 179; see also,
118 Am.J.Psych. 734, 735.) Until a patient can trust his psychiatrist not to violate their confidential
relationship,
[***64]
"the unconscious psychological control mechanism of repression will prevent the
recall of past experiences." (Butler,
Psychotherapy and Griswold: Is Confidentiality a Privilege or a Right? (1971)
3 Conn.L.Rev. 599, 604.)
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n3 One survey indicated that five of every seven people
interviewed said they would be less likely to make full disclosure to a
psychiatrist in the absence of assurance of confidentiality. (See, Comment,
Functional Overlap Between the Lawyer and Other Professionals: Its Implications
for the Privileged Communications Doctrine (1962)
71 Yale L.J. 1226, 1255.)
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
Successful Treatment
Third, even if the patient fully discloses his thoughts, assurance that the
confidential relationship will not be breached is necessary to
[*460] maintain his trust in his psychiatrist -- the very means by which treatment is
effected.
"[The] essence of much psychotherapy is the contribution of trust in the
external world and ultimately in the self, modelled upon the trusting
relationship established
[***65] during therapy." (Dawidoff,
The Malpractice of Psychiatrists,
1966 Duke L.J. 696, 704.) Patients will be helped only if they can form a trusting relationship with the
psychiatrist. (Id., at p. 704, fn. 34; Burham,
Separation Anxiety (1965) 13 Arch.Gen.Psych.
346, 356; Heller,
supra,
30 Temp.L.Q. 401, 406.) All authorities appear to agree that if the trust relationship cannot be
developed because of collusive communication between the psychiatrist and
others, treatment will be frustrated. (See, e.g., Slovenko (1973) Psychiatry
and Law, p. 61; Cross,
Privileged Communications Between
Participants in Group Psychotherapy (1970) Law
& Soc. Order, 191, 199; Hollender,
The
[**360]
Psychiatrist and the Release of Patient Information (1960)
116 Am.J.Psych. 828, 829.)
Given the importance of confidentiality to the practice of psychiatry, it
becomes clear the duty to warn imposed by the majority will cripple the
use and effectiveness of psychiatry. Many people, potentially violent -- yet
susceptible to treatment -- will be deterred from seeking it; those seeking it
will be inhibited from making revelations necessary to effective treatment;
and, forcing
[***66] the psychiatrist to violate the patient's trust will destroy the interpersonal
relationship by which treatment is effected.
Violence and Civil
Commitment
By imposing a duty to warn, the majority contributes to the danger to society
of violence by the mentally ill and greatly increases the risk of civil
commitment -- the total deprivation of liberty -- of those who should not be
confined. n4 The impairment of treatment and risk of improper commitment
resulting from the new duty to warn will
not be limited to a few patients but will extend to a large number of the
mentally ill.
[*461] Although under existing psychiatric procedures only a relatively few receiving
treatment will ever present a risk of violence, the number making threats is
huge, and it is the latter group --
not just the former -- whose treatment will be impaired and whose risk of
commitment will be increased.
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n4 The burden placed by the majority on psychiatrists may also result in the
improper deprivation of two other constitutionally protected rights. First,
the patient's constitutional right of privacy (In re Lifschutz, supra, 2 Cal.3d 415) is obviously encroached upon by requiring the psychotherapist to disclose
confidential communications. Secondly, because confidentiality is essential to
effective treatment, the majority's decision also threatens the
constitutionally recognized right to receive treatment. (People v. Feagley (1975) 14 Cal.3d 338, 359 [121 Cal.Rptr. 509, 535 P.2d 373];
Wyatt v. Stickney (M.D.Ala. 1971) 325 F.Supp. 781, 784, affd.
sub nom.
Wyatt v. Aderholt (5th Cir. 1974) 503 F.2d 1305;
Nason v. Superintendent of Bridgewater State Hosp. (1968) 353 Mass. 604 [233 N.E.2d 908].)
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
[***67]
Both the legal and psychiatric communities recognize that the process of
determining potential violence in a patient is far from exact, being fraught
with complexity and uncertainty. (E.g.,
People v. Burnick (1975) 14 Cal.3d 306, 326 [121 Cal.Rptr. 488, 535 P.2d 352], quoting from
Murel v. Baltimore City Criminal Court (1972) 407 U.S. 355, 364-365, fn. 2 [32 L.Ed.2d 791, 796-797, 92 S.Ct. 2091] (Douglas, J., dissenting from dismissal of certiorari); Ennis
& Litwack,
Psychiatry and the Presumption of Expertise: Flipping Coins in the Courtroom,
62 Cal.L.Rev. 693, 711-716; Rector,
Who Are the Dangerous? (July 1973) Bull.Am.Acad.Psych.
& L. 186;
Kozol, Boucher
& Garofalo,
The Diagnosis and Treatment of Dangerousness (1972) 18 Crime
& Delinq. 371; Justice
& Birkman,
An Effort to Distinguish the Violent From the Nonviolent (1972) 65 So.Med.J. 703.) n5 In fact, precision has not even been
[**361]
attained in predicting who of those having already committed violent acts
will again become violent, a task recognized to be of much simpler proportions.
(Kozol, Boucher
& Garofalo,
supra, 18 Crime
& Delinq. 371, 384.)
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n5 A shocking illustration of psychotherapists' inability to predict
dangerousness, cited by this court in
People v. Burnick, supra, 14 Cal.3d 306, 326-327, footnote 17, is cited and discussed in Ennis, Prisoners of Psychiatry: Mental
Patients, Psychiatrists, and the Law (1972):
"In a well-known study, psychiatrists predicted that 989 persons were so
dangerous that they could not be kept even in civil
mental hospitals, but would have to be kept in maximum security hospitals run
by the Department of Corrections. Then, because of a United States Supreme
Court decision, those persons were transferred to civil hospitals. After a
year, the Department of Mental Hygiene reported that one-fifth of them had been
discharged to the community, and over half had
agreed to remain as voluntary patients. During the year, only 7 of the 989
committed or threatened any act that was sufficiently dangerous to require
retransfer to the maximum security hospital. Seven correct predictions out of
almost a thousand is not a very impressive record. [ para. ] Other studies,
and there are many, have reached the
same conclusion: psychiatrists simply cannot predict dangerous behavior." (Id., at p. 227.) Equally illustrative studies are collected in Rosenhan,
On Being Sane in Insane Places (1973)
13 Santa Clara Law. 379, 384; Ennis
& Litwack,
Psychiatry and the Presumption of Expertise: Flipping
Coins in the Courtroom, supra, 62 Cal.L.Rev. 693, 750-751.)
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
[***68]
This predictive uncertainty means that the number of disclosures will
necessarily be large. As noted above, psychiatric patients are encouraged to
discuss all thoughts of violence, and they often express such thoughts.
However, unlike this court, the psychiatrist does
not enjoy the benefit of
[*462] overwhelming hindsight in seeing which few, if any, of his patients will
ultimately become violent. Now, confronted by the majority's new duty, the
psychiatrist must instantaneously calculate potential violence from each
patient on each visit. The difficulties researchers have encountered in
accurately predicting
violence will be heightened for the practicing psychiatrist dealing for brief
periods in his office with heretofore nonviolent patients. And, given the
decision not to warn or commit must always be made at the psychiatrist's civil
peril, one can expect most doubts will be resolved in favor of the
psychiatrist protecting himself.
Neither alternative open to the psychiatrist seeking to protect himself is in
the public interest. The warning itself is an impairment of the psychiatrist's
ability to treat, depriving many patients of adequate treatment. It is to be
expected
[***69] that after disclosing their threats, a significant number of patients, who
would not become violent if
treated according to existing practices, will engage in violent conduct as a
result of unsuccessful treatment. In short, the majority's duty to warn will
not only impair treatment of many who would never become violent but worse,
will result in a net increase
in violence. n6
- - - - - - - - - - - - - - - - - -Footnotes- - - - - - - - - - - - - - - - - -
n6 The majority concedes that psychotherapeutic dialogue often results in the
patient expressing threats of violence that are rarely executed. (Ante, p. 441.) The practical problem, of course, lies in ascertaining which threats
from which patients will be carried out. As to this problem, the majority is
silent. They do, however,
caution that a therapist certainly
"should not be encouraged routinely to reveal such threats; such disclosures
could seriously disrupt the patient's relationship with his therapist and with
the persons threatened." (Id.)
Thus, in effect, the majority informs the therapists that they must accurately
predict dangerousness -- a task recognized as extremely difficult -- or face
crushing civil
liability. The majority's reliance on the traditional standard of care for
professionals that
"therapist need only exercise 'that reasonable degree of skill, knowledge, and
care ordinarily possessed and exercised by members of [that professional
specialty] under similar circumstances'" (ante, p. 438) is seriously misplaced. This standard of care assumes that, to
a large extent, the subject matter of the specialty is ascertainable. One
clearly ascertainable element in the psychiatric field is that the therapist
cannot accurately predict dangerousness, which, in turn, means that the
standard is inappropriate for lack of a relevant criterion by which to judge
the therapist's decision. The inappropriateness of the standard the
majority would have us use is made patent when consideration is given to
studies, by several eminent authorities, indicating that
"[the] chances of a second psychiatrist agreeing with the diagnosis of a first
psychiatrist 'are barely better than 50-50; or stated differently, there is
about as much chance that a different expert would come to some different
conclusion as there is that the other would agree.'" (Ennis
& Litwack,
Psychiatry and the Presumption of Expertise: Flipping Coins in the Courtroom,
supra, 62 Cal.L.Rev. 693, 701, quoting, Ziskin, Coping With Psychiatric and
Psychological Testimony, p. 126.) The majority's attempt to apply a normative
scheme to a profession which
must be concerned with problems that balk at standardization is clearly
erroneous.
In any event, an ascertainable standard would not serve to limit psychiatrist
disclosure of threats with the resulting impairment of treatment. However
compassionate, the psychiatrist hearing the threat remains faced with potential
crushing civil liability for a mistaken evaluation of his patient and
will be forced to resolve even the slightest doubt in favor of disclosure or
commitment.
- - - - - - - - - - - - - - - - -End Footnotes- - - - - - - - - - - - - - - - -
[***70]
[*463] The second alternative open to the psychiatrist is to commit his patient
rather than to warn. Even in the absence of threat of civil liability, the
doubts of psychiatrists
[**362]
as to the seriousness of patient threats have led psychiatrists to overcommit
to mental
institutions. This overcommitment has been authoritatively documented in both
legal and psychiatric studies. (Ennis
& Litwack,
Psychiatry and the Presumption of Expertise: Flipping Coins in the Courtroom,
supra, 62 Cal.L.Rev. 693, 711 et seq.; Fleming
& Maximov,
The Patient or His Victim: The Therapist's Dilemma,
62 Cal.L.Rev. 1025, 1044-1046; Am. Psychiatric Assn. Task Force Rep. 8 (July 1974) Clinical Aspects of the
Violent Individual, pp. 23-24; see Livermore, Malmquist
& Meehl,
On the Justifications for Civil Commitment,
117 U.Pa.L.Rev. 75, 84.) This
practice is so prevalent that it has been estimated that
"as many as twenty harmless persons are incarcerated for every one who will
commit a violent act." (Steadman
& Cocozza,
Stimulus/Response: We Can't Predict Who Is Dangerous (Jan. 1975) 8 Psych. Today 32, 35.)
Given the incentive to commit created by the
majority's duty,
[***71] this already serious situation will be worsened, contrary to Chief Justice
Wright's admonition
"that liberty is no less precious because forfeited in a civil proceeding than
when taken as a consequence of a criminal conviction." (In re Gary W. (1971) 5 Cal.3d 296, 307 [96 Cal.Rptr. 1, 486 P.2d 1201].)
Conclusion
In adopting the act, the Legislature fully recognized the concerns that must
govern our decision today -- adequate treatment for the mentally ill, safety of
our society, and our devotion to individual liberty, making overcommitment of
the mentally
ill abhorrent. (§ 5001.) Again, the Legislature balanced these concerns in favor of
nondisclosure (§ 5328), thereby promoting effective treatment, reducing temptation for
overcommitment, and ensuring greater safety for our society. Psychiatric and
legal expertise on the subject requires the same judgment.
The tragedy of Tatiana Tarasoff has
led the majority to disregard the clear legislative mandate of the
Lanterman-Petris-Short Act. Worse, the majority impedes medical treatment,
resulting in increased violence from -- and deprivation of liberty to -- the
mentally ill.
[*464] We should accept legislative and
[***72] medical judgment, relying upon effective treatment rather than on
indiscriminate warning.
The judgment should be
affirmed.
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