Strava wins lawsuit claim it was responsible for cyclist death
Posted: June 11, 2013 Filed under: Assumption of the Risk, California, Cycling | Tags: assumption of the risk, Berkeley California, Cycling, Flint, King of the Mountain, Law, Lawsuit, Litigation, Plaintiff, Strava, Summary judgment Leave a commentHopefully, Strava can receive sanctions for defending against this stupid suit.
Background:
Strava is an online website where cyclists and/or runners can post their ride/run information, track changes, share their ride/run information and on certain sections of the country be rated as the “king” of the section. The plaintiff was king of the mountain which is the shortest amount of time to climb and descend.
The plaintiff lost his ranking as king of a mountain. He was attempting to regain this title when he was struck and killed by a car.
His family filed suit claim that Strava was liable.
Stupid right!
Strava filed a motion for summary judgment, which was granted by the court. Simply, the deceased assumed the risk of his injuries, or in this case, the plaintiff assumed the risk of his death. “Plaintiff’s claim is precluded as a matter of law because Mr. Flint impliedly assumed the risks of bicycling…” and “that the defendant (Strava) has shown that bicycling is an inherent risky activity.”
As part of its defense, Strava countersued the plaintiffs. I was never able to find a specific statement as to the claims of the countersuit. The status of those claims is unknown. However, I hope they are still alive and Strava can recover its costs and attorney’s fees for defending this action.
This from a guy who hates lawsuits, but once in a while, for both sides, it should be done.
See Strava wins dismissal of civil suit over Berkeley deathor One-year-old lawsuit against Strava dismissed
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Inflatable climbing wall case injury from a party thrown by a health club stretched the release
Posted: June 10, 2013 Filed under: California, Climbing Wall, Release (pre-injury contract not to sue) | Tags: California, Climbing, Climbing Wall, Health club, Indoor, Inflatable Climbing Wall, Paramount, Recreation, Release 2 CommentsIt took an appeal of the issues to win, the trial court held for the plaintiff.
Citation: Vinson v. Paramount Pictures Corporation et al., 2013 Cal. App. Unpub. LEXIS 3380
Plaintiff: Robert Vinson
Defendant: Paramount Pictures Corporation et al.,
Plaintiff Claims: (1) the trial court erred in denying appellants’ motion for nonsuit because a release and waiver signed by Vinson precluded a finding of liability; (2) the trial court erred in finding the primary assumption of the risk doctrine did not apply, and its failure to instruct the jury on the relevant duty owed by appellants was prejudicial; and (3) the trial court abused its discretion by granting a partial new trial on the limited issue of damages.
Defendant Defenses: Release
Holding: Case dismissed based on the release
The case arises from a fall off an inflatable climbing wall at a party. The party was hosted by a health club. The plaintiff had joined a health club or employee club and when he signed a release. It is not clear from the case what the purpose of the club was, but it seems to be a fitness club.
As part of the function of the club, the club hosted a party or event. The party had numerous amusements, including a climbing wall which was operated by a third party. The two individuals operating/belaying the wall claimed they had received an hour’s lesson in how to operate the wall, including how to belay climbers and had not seen the instructions on how to operate the inflatable wall.
The plaintiff argued no one gave him any instructions on how to put on the harness or how to climb on the wall.
While being lowered the plaintiff claimed he fell from the top of the wall landed on the inflatable apron and then bounced onto the concrete. The operators testified the plaintiff was bouncing on the wall and fell when he was 50 to 70% of the way down and never hit the concrete.
The plaintiff sued for his injuries. The trial court threw out the release and a jury awarded the plaintiff $70,000. The plaintiff and defendant appealed.
Summary of the case
The plaintiff appealed the jury trial arguing he was not awarded enough money. The defendant appealed arguing the release should have stopped the suit. The court looked at the release and finding the release was valid did not look at the plaintiff’s appellate arguments.
The court looked at negligence law in California and found generally; persons have a duty to use due care to avoid injuring others, and they can be liable if they do breach the duty causing injury.
A release under California law must be “must be clear, unambiguous, and explicit in expressing the intent of the subscribing parties.” The defining legal issue in determining if a release was valid was:
…whether the particular risk of injury [plaintiff] suffered is inherent in the recreational activity to which the Release applies, but simply the scope of the Release.
The court had to piece together the language in the release; however, the court could find the scope of the release covered “events” of the club, which included the climbing wall and therefore, the release was valid and stopped the claims of the plaintiff.
So Now What?
First, this is another case where a release for one purpose was stretched to cover another. Luckily, it worked. Probably, the event or the climbing wall should have had its own release. The risks found in a gym are different than the risks found at a party, unless the gym had a climbing wall. Even if there was a climbing wall, the release for a gym is not written for an event.
Second, the obvious issues of how the inflatable climbing wall was operated should raise red flags. If you hire a third party to come to your event and run an activity with greater than normal risks, simple falls, at a party, then look into how the risk will be run and maybe the training and/or experience of the people operating the event or amusement.
Third, based upon the wide disparity opinions on what happened, there was no post-accident follow up. No one collected any witness statements, took pictures, or attempted to determine what happened. Granted the plaintiff’s version of events will always differ from the defendants. But one side or the other can always be bolstered by a little paperwork.
Taking care of the injured plaintiff is always the first priority. However, normally there is someone who could have collected statements and taken pictures.
Fourth and Last, the statement by the court “whether the particular risk of injury suffered is inherent in the recreational activity to which the Release applies, but simply the scope of the Release” is great news and at the same time an excuse for using poor releases. It is hard to describe the mental and emotional toll of a trial and an appeal.
However, I can describe the cost. You will have weeks away from your work for both, you and employees. Essentially, a trial will require you to hire someone to replace you part-time and at least another employee full-time to employee to replace others.
It isn’t worth it. Get a well-written release for your business, company or activity.
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Vinson v. Paramount Pictures Corporation et al., 2013 Cal. App. Unpub. LEXIS 3380
Posted: June 9, 2013 Filed under: California, Climbing Wall, Legal Case, Release (pre-injury contract not to sue) | Tags: Climbing Wall, Los Angeles County Superior Court, Paramount Pictures, Plaintiff, Rock climbing, Vinson Leave a commentVinson v. Paramount Pictures Corporation et al., 2013 Cal. App. Unpub. LEXIS 3380
Robert Vinson, Plaintiff and Respondent, v. Paramount Pictures Corporation et al., Defendants and Appellants.
B237965
COURT OF APPEAL OF CALIFORNIA, SECOND APPELLATE DISTRICT, DIVISION FOUR
2013 Cal. App. Unpub. LEXIS 3380
May 14, 2013, Opinion Filed
NOTICE: NOT TO BE PUBLISHED IN OFFICIAL REPORTS. CALIFORNIA RULES OF COURT, RULE 8.1115(a), PROHIBITS COURTS AND PARTIES FROM CITING OR RELYING ON OPINIONS NOT CERTIFIED FOR PUBLICATION OR ORDERED PUBLISHED, EXCEPT AS SPECIFIED BY RULE 8.1115(b). THIS OPINION HAS NOT BEEN CERTIFIED FOR PUBLICATION OR ORDERED PUBLISHED FOR THE PURPOSES OF RULE 8.1115.
PRIOR HISTORY: [*1]
APPEAL from a judgment of the Superior Court of Los Angeles County, No. BC446030, Michelle R. Rosenblatt, Judge.
DISPOSITION: Reversed and remanded.
CORE TERMS: rope, inflatable, unambiguous, climbing, nonsuit, rock-climbing, fitness, economic damages, new trial, injury suffered, sponsored, noneconomic damages, climber’s, climb, private agreement, ordinary negligence, recreational activities, expressing, misconduct, membership, participating, partial, harness, signing, pulley, top, risk of injury, claims of negligence, injuries resulting, preclude liability
COUNSEL: Lewis Brisbois Bisgaard & Smith, Jeffry A. Miller; Matthew B. Stucky; Pollard Mavredakis Cranert Crawford & Stevens and Terrence L. Cranert for Defendants and Appellants.
Law Offices of I. Allan Oberman, I. Allan Oberman; and Debra Fischl for Plaintiff and Respondent.
JUDGES: EPSTEIN, P. J.; MANELLA, J., SUZUKAWA, J. concurred.
OPINION BY: EPSTEIN, P. J.
OPINION
Appellants Paramount Pictures Corporation, Viacom, Inc. and Elite Special Events, Inc. (collectively appellants) appeal from a money judgment in favor of respondent Robert Vinson. The jury awarded Vinson past economic damages sustained after a fall from an inflatable rock-climbing wall at an event hosted and sponsored by appellants, finding appellants’ negligence caused the harm to Vinson. They contend: (1) the trial court erred in denying appellants’ motion for nonsuit because a release and waiver signed by Vinson precluded a finding of liability; (2) the trial court erred in finding the primary assumption of the risk doctrine did not apply, and its failure to instruct the jury on the relevant duty owed by appellants was prejudicial; [*2] and (3) the trial court abused its discretion by granting a partial new trial on the limited issue of damages.
We conclude the release signed by Vinson was valid as to the rock-climbing activity underlying his claims. Vinson expressly consented to waive any claims based on injuries incurred while participating in any activities sponsored by appellants, precluding liability. We reverse the judgment.
FACTUAL AND PROCEDURAL SUMMARY
Vinson was a member of the Paramount “Studio Club” (the Club). To be a member of the Club, he was required to complete an application and pay a fee. The application contained a section entitled “Assumption of Risk and Release” (the Release). The Release provided, in relevant part: “By enrolling as a member in [the Club], member hereby acknowledges that from time to time the Club sponsors certain events and activities that might present a risk of harm to the participants. In consideration of the Club’s arranging such events and activities . . . , member hereby assumes all risks associated with or resulting from such participation and member . . . releases . . . [appellants] of and from any and all claims . . . , which member may have or which may hereafter accrue [*3] on account of . . . any and all known and unknown, foreseen and unforeseen bodily and personal injuries . . . resulting or to result from any accident . . . which may occur as a result . . . of the member’s participation in any of the events or activities sponsored by the Club.” In January 2009, Vinson signed the application and initialed the Release provision.
In December 2009, the Club held a holiday party at Paramount Studios. The party included carnival games, food booths and performances. One attraction was an inflatable rock-climbing wall. The wall was approximately 30 feet tall with inflated protrusions which serve as hand and foot holds for potential climbers. When climbing on this type of wall, a climber is strapped into a harness connected to a rope. The rope then passes through a pulley at the top of the wall and loops back down to an operator of the wall. That operator uses a device called a grigri to control the amount of rope let out. The parties presented conflicting accounts of what occurred during Vinson’s participation in this activity.
Vinson claimed he was given no instruction on how to secure the harness or how to climb the wall. He testified that once he reached [*4] the top of the wall, he asked the two operators attending the wall what to do next. Vinson said the operators told him to remove his hands from the wall, grab the rope, and lean back. Shortly thereafter, all of the tension in the rope gave way and Vinson went into a free fall. He stated that he hit an inflatable apron at the base of the wall, bounced at least three feet into the air, then came crashing down on the concrete pavement surrounding the wall.
Appellants presented testimony that the operator holding the rope for Vinson gave him instructions on how to put on the harness and how to climb the wall. Once Vinson reached the top, he began to jump up and down off the wall and push back and forth, in response to encouragement from his friends below. Testimony indicated that the operator holding the rope told Vinson to stop and eventually began lowering him down the wall. At some point between 50 and 75 percent down the wall, enough slack was released on the rope to allow Vinson to reach the bottom. Vinson jumped and landed on the inflatable apron and, according to both of the operators, never hit the concrete.
Based on testimony from the operators themselves and an expert in rock-wall [*5] climbing, the operators should have had full control of the rope at all times, regardless of what the climber was doing. The amount of rope released from such a mechanism is solely controlled by the operators and thus the pace of a climber’s descent is determined by the operator releasing rope through the pulley system. The operators testified that neither of them had seen the manual that accompanied the inflatable wall and provided detailed instructions on how to operate it. The operator who controlled Vinson’s climb received only one hour of training. An expert testified that one half to a full day of training is typical, followed by constant supervision during the first day of operating a wall. The expert testified that, based on the evidence, the operator in this case failed to understand the mechanics of the pulley system and was negligent in his operation during Vinson’s climb. Vinson produced evidence that he suffered physical and psychological injuries as a result of the fall, leading to lost wages and lost earnings.
Vinson brought suit against appellants for past and future economic damages and past and future noneconomic damages. At the close of Vinson’s evidence, appellants [*6] moved for nonsuit on two grounds. First, they argued the Release, signed by Vinson, constituted a waiver of any claims arising out of participation in any events at the Club, precluding liability. The trial court found the Release was “not clear, unambiguous, and explicit in expressing either the activity, the risk, or the intent of the parties” and denied appellants’ motion on that ground. Second, they argued the primary assumption of the risk doctrine should apply to preclude liability because Vinson assumed the risks inherent in climbing the wall. They argued that general negligence principles did not apply, and because there was no evidence that the operators increased the risk of injury beyond that inherent in the activity, a nonsuit should be granted. The court found the climbing of an inflatable rock wall was somewhere between a carnival ride and a sport. It concluded the doctrine did not apply and denied the motion for nonsuit.
The jury returned a verdict for Vinson, finding appellants were negligent and that their negligence caused Vinson’s injuries. It awarded Vinson $70,620 in past economic damages, but nothing for future economic damages and nothing for the noneconomic damages [*7] he sought. Vinson moved for new trial limited to the issue of general damages or, in the alternative, for an addittur in an amount to be determined by the court. The court concluded there was no proper reason for the jury to award Vinson over $70,000 in special damages yet find that he did not incur any pain and suffering as a result of the incident. It reasoned that even if the jury found Vinson was malingering, and thereby inflating his claim for general damages, awarding no noneconomic damages was improper. The court granted Vinson’s motion for a partial new trial subject to appellants’ consent to an additur in the amount of $80,000. Appellants declined to accept the additur, and this appeal followed.
DISCUSSION
Appellants contend the trial court erred in denying their motion for nonsuit on two grounds. They argue the court should have found Vinson’s signature on the Release precluded liability. They also argue that even if the Release did not bar the claim, voluntarily participating in the climbing activity involved an assumption of the risk that negated appellants’ duty to eliminate the risks inherent in that activity.
Persons generally have a duty to use due care to avoid injuring [*8] others, and liability may result if their negligent conduct causes injury to another. (Civ. Code, § 1714; Knight v. Jewett (1992) 3 Cal.4th 296, 315.) However, a private party may expressly agree to release any claims of negligence against another by contract; such an agreement “is valid unless it contravenes public policy.” (6 Witkin, Summary of Cal. Law (10th ed. 2005) Torts, § 1292, p. 686; see also City of Santa Barbara v. Superior Court (2007) 41 Cal.4th 747, 758 [future liability for ordinary negligence generally may be released].)1 Implied assumption of the risk, on the other hand, involves exemption from liability based on the nature of a specific activity and the relationship of the parties to that activity, rather than on an express agreement. (Amezcua v. Los Angeles Harley-Davidson, Inc. (2011) 200 Cal.App.4th 217, 228.)
1 Our Supreme Court has noted that California courts have invalidated releases of liability for ordinary negligence when it is determined that the “particular release concerns a service that transcends a purely private agreement and affects the public interest.” (City of Santa Barbara v. Superior Court, supra, 41 Cal.4th at pp. 757-758.) But, private agreements [*9] made in connection with various sporting events or recreational activities generally have been upheld, as they do not involve necessary services and therefore do not contravene public policy or “transcend the realm of purely private matters.” (Id. at p. 759.) We find this release, signed in consideration for participation in various activities at a private club, constitutes “a purely private agreement”; Vinson’s participation in the rock-climbing activity did not involve necessary services and was a recreational activity well within the broad range of activities in which a number of California cases have upheld express waivers. (Id. at pp. 757, 759-760.)
“To be effective, a written release purporting to exculpate a tortfeasor from future negligence or misconduct must be clear, unambiguous, and explicit in expressing the intent of the subscribing parties.” (Bennett v. United States Cycling Federation (1987) 193 Cal.App.3d 1485, 1490, declined to follow by Madison v. Superior Court (1988) 203 Cal.App.3d 589, 602, fn. 9.) “‘It is also necessary that the expressed terms of the agreement be applicable to the particular misconduct of the defendant . . . .’ [Citation.].” (Ibid., italics omitted.) [*10] “With respect to the question of express waiver, the legal issue is not whether the particular risk of injury [plaintiff] suffered is inherent in the recreational activity to which the Release applies [citations], but simply the scope of the Release.” (Cohen v. Five Brooks Stable (2008) 159 Cal.App.4th 1476, 1484.)
The trial court denied appellants’ motion for nonsuit based on the signing of the Release, concluding it did not apply to Vinson’s claim because the “release [did] not ensure that [Vinson] knew the risks and hazards of this activity when he was signing a waiver of liability for negligence” on appellants’ part. The court reasoned that the Release was “not clear, unambiguous, and explicit in expressing either the activity, the risk, or the intent of the parties.”
Appellants argue the Release was explicitly intended to cover any activity at the Club and was sufficiently unambiguous to cover the activity at issue. They argue it was unnecessary to specifically identify rock-climbing as a covered activity, or the risks involved, in order for the Release to be effective. We agree.
Here, the plain language of the Release is explicit as to its breadth. According to its terms, the signer [*11] was releasing “any and all claims” against appellants based on “any and all injuries” resulting from “any accident” arising out of his or her “participation in any of the events or activities sponsored by the Club.” Vinson argues the specific activity involved here, inflatable rock wall climbing, was not comprehended by the release. Similarly, the trial court relied on the theory that the Release failed to identify the specific risk involved or that the risks were unknown to Vinson when he signed it. However, “[w]hen a release expressly releases the defendant from any liability, it is not necessary that the plaintiff have had a specific knowledge of the particular risk that ultimately caused the injury.” (Benedek v. PLC Santa Monica (2002) 104 Cal.App.4th 1351, 1357.) “While it is true that the express terms of any release agreement must be applicable to the particular misconduct of the defendant [citation], that does not mean that every possible specific act of negligence of the defendant must be spelled out in the agreement or even discussed by the parties.” (Madison v. Superior Court (1988) 203 Cal.App.3d 589, 601.) Furthermore, “[t]he inclusion of the term ‘negligence’ is simply [*12] not required to validate an exculpatory clause.” (Sanchez v. Bally’s Total Fitness Corp. (1998) 68 Cal.App.4th 62, 67.)
In Sanchez v. Bally’s Total Fitness Corp., supra, 68 Cal.App.4th at page 67, the court dealt with a release in the fitness center context. The court found the defendant health club unremarkably foresaw potential injuries to members of its club and rationally required them to sign a release and assumption of risk as a condition of membership. (Ibid.) The release broadly covered injuries “‘arising out of or connected with the use of the fitness center.”‘ (Id. at p. 69.) The court found the release covered the injury suffered by the plaintiff as it occurred while using the fitness center.
In Benedek v. PLC Santa Monica, supra, 104 Cal.App.4th at page 1358, the court discussed a release signed by the plaintiff upon joining the defendant fitness center. The release stated the signer was waiving liability for injuries suffered while on the defendant’s premises, “‘whether using exercise equipment or not.'” (Ibid.) The court found the purpose of the release was to protect the defendant from future liability in consideration for granting the plaintiff access to defendant’s premises. [*13] (Ibid.) The plaintiff was then injured while adjusting a television on defendant’s premises. (Id. at p. 1355.) The court rejected the plaintiff’s argument that the release should not apply to an activity which was secondary to his membership in the fitness center, especially when the risk of a falling television was not known to him at the time the release was signed. (Id. at pp. 1357-1359.) The court concluded that the broad, unambiguous language of the release served to preclude liability on the part of the defendant for any injuries suffered by plaintiff on defendant’s premises. (Id. at p. 1358.)
Here, Vinson signed a release of all claims for any injuries suffered on appellants’ premises in consideration for membership in the Club and access to certain events. Similar to the releases discussed in the cases above, we find the language of the release signed by Vinson broad and unambiguous. The fact that the activity resulting in the injury was not specifically mentioned in the express terms of the release does not make it ineffective. Having consented to release any claims against appellants based on injuries incurred while participating in any activities at the Club, Vinson absolved [*14] appellants of liability for ordinary negligence during his participation in this particular activity.
Because we have concluded Vinson expressly released appellants from liability, thereby serving as a bar to his claim of negligence, appellants’ contentions regarding primary assumption of the risk are moot.
Appellants also contend the jury’s decision to award substantial economic damages, but no noneconomic damages, was clearly a compromise verdict. They argue the trial court’s granting of a partial new trial solely on the issue of damages was an abuse of discretion, and a full new trial should have been ordered. Again, we need not address this issue as we have concluded the negligence claim was precluded by Vinson’s signing of the Release.
DISPOSITION
The judgment is reversed, and the case remanded with instructions. Appellants to have their costs on appeal.
NOT TO BE PUBLISHED IN THE OFFICIAL REPORTS
EPSTEIN, P. J.
We concur:
MANELLA, J.
SUZUKAWA, J.
2012-2013 In bound ski/board fatalities
Posted: May 15, 2013 Filed under: Avalanche, California, Colorado, Michigan, Ski Area, Skiing / Snow Boarding | Tags: Alanson Michigan, alpine Meadwos, Aspen Mountain, Auburn California, Boyne Highlands Resort, Breckenridge, Copper Mountain, Donner Ski Ranch, helmet, Houston, Keystone Ski Resort, Mammoth Lakes, Pagosa Springs Colorado, Rockville, Rockville Maryland, Ski, Ski Patrol, ski season, Snowboard, Snowmass, Sports, Squaw Valley, Squaw Valley Ski Resort, Sun Valley ski resort, Vail, Winter sport, winter sports Leave a commentThis list is not guaranteed to be accurate. The information is found from web searches and news dispatches. Those references are part of the chart. If you have a source for information on any fatality please leave a comment or contact me. Thank you.
Several Corrections have been made to items reported earlier.
If this information is incorrect or incomplete please let me know. This is up to date as of March 28, 2013. Thanks.
Skiing and Snowboarding are still safer than your kitchen or bathroom. This information is not to scare you away from skiing but to help you understand the risks and to study.
2012 – 2013 Ski Season Deaths
Blue is a death of an employee while working
| # | Date | State | Resort | Where | How | Ski / Board | Age | Sex | Hometown | Helmet | Ref | Ref |
| 1 | 12/2 | MI | Boyne Highlands Resort | Camelot | fell within the slope boundaries and did not collide with any type of obstacle | Boarder | 17 | F | Alanson, MI | http://rec-law.us/11JFVOo | ||
| 2 | 12/21 | CA | Squaw Valley | KT-22 | strike the tree | Skier | 71 | M | Auburn, CA | Yes | http://rec-law.us/10ctrSt | |
| 3 | 12/24 | CA | Donner Ski Ranch | Avalanche | Boarder | 49 | M | Hirschdale, CA | http://rec-law.us/UCaHJz | http://rec-law.us/Sgjsbi | ||
| 4 | 12/24 | CA | Alpine Meadows | Sherwood Bowl | Avalanche | Skier | 53 | M | http://rec-law.us/13eiU72 | http://rec-law.us/VGsqh5 | ||
| 5 | 12/30 | CO | Snowmass | Hanging Valley Headwall | Avalanche, swept over cliff | Skier | 49 | F | Patricia Hileman | http://rec-law.us/RCv6fd | http://rec-law.us/VOCr8H | |
| 6 | 1/4 | CO | Copper Mountain | Vein Glory | Hit Tree | M | Houston, TX | No | http://rec-law.us/RCy03u | http://rec-law.us/VyzVnU | ||
| 7 | 1/9 | CO | Keystone | Frenchman | Hit Tree | Skier | 20 | F | Austin, TX | No | http://rec-law.us/VSGVvz | http://rec-law.us/WGPsjQ |
| 8 | 1/9 | CO | Wolf Creek | Hit Tree | Skier | 70 | M | Pagosa Springs, CO | http://rec-law.us/XVWEj2 | |||
| 9 | 1/19 | MD | Wisp | Squirrel Cage | Hit tree | Skier | 40 | M | Rockville, MD | http://rec-law.us/XPB9wz | http://rec-law.us/UJnfeK | |
| 10 | 1/21 | UT | Park City | Silver King | Hit tree | Skier | 67 | M | NJ | No | http://rec-law.us/YchKpN | http://rec-law.us/Wm6mrQ |
| 11 | 2/3 | CA | Mammoth Lakes | Wipe Out 2 | Fell | Skier | M | http://rec-law.us/14BKzzk | ||||
| 12 | 2/4 | CO | Aspen Mountain | Jackpot run | Collision | Skier | 48 | F | Philadelphia, PA | Yes | http://rec-law.us/YCh1hM | http://rec-law.us/YChb8O |
| 13 | 2/8 | CO | Keystone | Porcupine | Hit Tree | Skier | 27 | M | Palos Hills, IL (Hillman AFB NM) | Yes | http://rec-law.us/XbsYsL | http://rec-law.us/XPtHkJ |
| 14 | 2/10 | CO | Breckenridge | Columbia | Hit Tree | Skier | 45 | M | Reston, VA | Yes | http://rec-law.us/YtRJ3y | http://rec-law.us/Ujx85e |
| 15 | 2/22 | MD | Wisp | Squirrel Cage | Hit Tree | Skier | 38 | M | Upper Arlington, OH | http://rec-law.us/133BO30 | http://rec-law.us/UZfW57 | |
| 16 | 3/2 | WI | Devils Head Ski Resort | Hit Tree | Skier | 30 | M | Madison, WI | http://rec-law.us/13Grw9f | http://rec-law.us/WUwUUw | ||
| 17 | NJ | Mountain Creek | Hit surface | Skier | M | No | ||||||
| 18 | 3/13 | ID | Sun Valley Resort | Roundhouse Lane | Hit Tree | Skier | 38 | F | Hailey, ID | Yes | http://rec-law.us/140BJ0o | |
| 19 | 3/16 | CA | China Peak Mountain Resort | Fell and/or hit stump | Skier | 49 | M | Fresno, CA | Yes | http://rec-law.us/YOYIHa | ||
| 20 | 3/21 | CO | Steamboat Springs Ski Resort | Hit Tree | Skier | 35 | M | http://rec-law.us/105wEOX | ||||
| 21 | 3/22 | CO | Snowmass Ski Area | Coney Glade run & Lunchline trails | Hit Tree | Skier | 42 | M | Kensington, Md | Yes | http://rec-law.us/ZkmHej | http://rec-law.us/13pmmPR |
| 22 | 3/27 | UT | Brighton Ski Area | Found wrapped around tree | Boarder | 26 | M | Sandy, UT | Yes | http://rec-law.us/10m67gi | http://rec-law.us/X0cqY7 | |
| 23 | 3/3 | UT | Deer Valley | Little Bell | Hit Tree | Skier | 33 | M | No | http://rec-law.us/13W2zI7 | http://rec-law.us/16ztlSh | |
| 24 | 4/12 | OR | Mt Hood Meadows | Hit Tree | Skier | 51 | M | Yes | http://rec-law.us/15aIFse |
There is a rumor, unsubstantiated of a fatality at a Colorado Ski Area. Supposedly a skier hit a tree.
Our condolences go to the families of the deceased. Our thoughts extend to the families and staff at the areas who have to deal with these tragedies.
What do you think? Leave a comment.
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Better World Club is behind the new California 3’ Passing Rule……Again
Posted: April 25, 2013 Filed under: California, Cycling | Tags: Better World Club, California, California Bicycle Coalition, Cycling, Hollywood, Jerry Brown, Passing Leave a comment
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California Sales Representative
Posted: March 10, 2013 Filed under: California | Tags: Business, California, Manufacturing, Sales, Wholesale Leave a commentDeering’s California Codes Annotated
CIVIL CODE
Division 3. Obligations
Part 4. Obligations Arising from Particular Transactions
Title 1A. Independent Wholesale Sales Representatives
GO TO CALIFORNIA CODES ARCHIVE DIRECTORY
Cal Civ Code § 1738.10 (2013)
§ 1738.10. Legislative findings and declarations
The Legislature finds and declares that independent wholesale sales representatives are a key ingredient to the California economy. The Legislature further finds and declares the wholesale sales representatives spend many hours developing their territory in order to properly market their products, and therefore should be provided unique protection from unjust termination of the territorial market areas. Therefore, it is the intent of the Legislature, in enacting this act to provide security and clarify the contractual relations between manufacturers and their nonemployee sales representatives.
§ 1738.11. Citation of chapter
This chapter shall be known and cited as the Independent Wholesale Sales Representatives Contractual Relations Act of 1990.
§ 1738.12. Definitions
For purposes of this chapter the following terms have the following meaning:
(a) “Manufacturer” means any organization engaged in the business of producing, assembling, mining, weaving, importing or by any other method of fabrication, a product tangible or intangible, intended for resale to, or use by the consumers of this state.
(b) “Jobber” means any business organization engaged in the business of purchasing products intended for resale and invoicing to purchasers for resale to, or use by, the consumers of this state.
(c) “Distributor” means any business organization engaged in offering for sale products which are shipped from its inventory, or from goods in transit to its inventory, to purchasers and intended for resale to, or use by the consumers of this state.
(d) “Chargeback” means any deduction taken against the commissions earned by the sales representative which are not required by state or federal law.
(e) “Wholesale sales representative” means any person who contracts with a manufacturer, jobber, or distributor for the purpose of soliciting wholesale orders, is compensated, in whole or part, by commission, but shall not include one who places orders or purchases exclusively for his own account for resale and shall not include one who sells or takes orders for the direct sale of products to the ultimate consumer.
§ 1738.13. Requirement of written contract; Contents
(a) Whenever a manufacturer, jobber, or distributor is engaged in business within this state and uses the services of a wholesale sales representative, who is not an employee of the manufacturer, jobber, or distributor, to solicit wholesale orders at least partially within this state, and the contemplated method of payment involves commissions, the manufacturer, jobber, or distributor shall enter into a written contract with the sales representative.
(b) The written contract shall include all of the following:
(1) The rate and method by which the commission is computed.
(2) The time when commissions will be paid.
(3) The territory assigned to the sales representative.
(4) All exceptions to the assigned territory and customers therein.
(5) What chargebacks will be made against the commissions, if any.
(c) The sales representative and the manufacturer, jobber, or distributor shall each be provided with a signed copy of the written contract and the sales representative shall sign a receipt acknowledging receipt of the signed contract.
(d) The sales representative shall be provided with the following written information and documentation with payment of the commission:
(1) An accounting of the orders for which payment is made, including the customer’s name and invoice number.
(2) The rate of commission on each order.
(3) Information relating to any chargebacks included in the accounting.
(e) No contract shall contain any provision which waives any rights established pursuant to this chapter. Any such waiver is deemed contrary to public policy and void.
§ 1738.14. Doing business in state
A manufacturer, jobber, or distributor who is not a resident of this state, and who enters into a contract regulated by this chapter is deemed to be doing business in this state for purposes of personal jurisdiction.
§ 1738.15. Civil action for damages
A manufacturer, jobber, or distributor who willfully fails to enter into a written contract as required by this chapter or willfully fails to pay commissions as provided in the written contract shall be liable to the sales representative in a civil action for treble the damages proved at trial.
§ 1738.16. Attorney fees and costs
In a civil action brought by the sales representative pursuant to this chapter, the prevailing party shall be entitled to reasonable attorney’s fees and costs in addition to any other recovery.
§ 1738.17. Application of chapter
This chapter shall not apply to any person licensed pursuant to Division 9 (commencing with Section 23000) of the Business and Professions Code.
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You cannot be liable for what you do not control or what volunteers do
Posted: January 21, 2013 Filed under: California, Camping | Tags: Boy Scout, Boy Scouts, Boy Scouts of America, BSA, Eagle Scout, Guy Lines, Inc., Los Angeles, Los Angeles Area Council, Premises Liability, Recreation, Scout, Tent Lines, Volunteer 4 CommentsMoore v. Boy Scouts of America Los Angeles Area Council, Inc., 2004 Cal. App. Unpub. LEXIS 11180
It is also hard to be liable for not watching where you are walking
This case stems from injuries received when a volunteer was setting up a tent and fell over one of the guy lines for the tent.
The plaintiff was a volunteer and with other volunteers was setting up a large tent at a Scout Camp. The camp was owned by the Los Angeles Area Council, Inc. which was granted a charter by the Boy Scouts of America to offer the Scouting program to local youth. The tent was a large military wall tent, similar to what you would see on reruns of M*A*S*H.
While setting up the tent, another volunteer asked the plaintiff to get more tent stakes. She walked around the tent, picked up more stakes and while walking back tripped over one of the guy lines holding up the tent. None of the guy lines had been marked with flags or markers to indicate there was a line there and the accident occurred around 7:00 Pm in July. (None are marked in the M*A*S*H reruns either.) The factual issue became whether or not markers or flags should have been used to identify the guy-lines on the tents.
The court went through and clearly identified factual issues the court felt were important.
Moore had not set up the specific pole, rope or stake upon which she tripped.
The ropes coming off the tent were at varying angles and pitches. The ropes varied in length, de-pending upon location. There were no flags or markers on the ropes.
Before this date, Moore had never been involved in setting up or taking down this tent or this type of tent. However, in years past, Moore had used rope or flags to mark the guy ropes on this tent to make the ropes more visible.
Before Moore fell, neither Moore nor any of the other adult volunteers saw anything they considered unsafe or dangerous.
In the past, some of the adult volunteers had used markers (e.g., cloth or fluorescent plastic tape) to make ropes more visible in scout camps and in non-scout camping situations. In prior years, this tent had been used in the Boy Scout camp, and flags had been used to mark the ropes. It is unclear if markers were used each time the tent was used.
The plaintiff argued the BSA did not have a policy of marking guy lines with markers or flags.
The plaintiff sued for premises liability and negligence. The premises liability claim was based on negligently setting up a tent without guy lines and the negligence claim for not using reasonable care when setting up tents by not using markers on guy-lines.
The Boy Scouts filed a motion for summary judgment based on the fact there was no triable issues, no real legal claims, which was granted and the plaintiff appealed.
So?
The plaintiff’s main arguments were supported by its expert an ergonomist who was a human factors and safety consultant. (This has me confused too, as to why an ergonomist (whatever) has any knowledge of setting up a tent.) The ergonomist said that that groups in Virginia, Australia and Louisiana has policies on markers on tent lines.
The court first looked at the premises liability claim. A premises liability claim is based on a dangerous condition on land. The owner of land is liable for “only for hazardous conditions of which the possessor had actual or constructive knowledge.” The tent was not part of the land so there was no legal basis for a premises liability claim.
The negligence claim was also dismissed by the court. Since the tent was being set up by volunteers, there was no proof that the BSA created the dangerous condition or was aware that a dangerous condition existed. The BSA could not breach a duty of care when the actions which created a dangerous condition were not those of the BSA. Nor does the lack of a policy create a dangerous condition on land. The plaintiff’s argument the court reasoned, where closer to tent issues not land issues.
So Now What?
The legal issues are as stretched in this case as you can get in my opinion. You are setting up a tent by setting up guy lines; you can’t sue when you trip over a guy line.
The claims were incorrect for the facts. The court looked at the issues and could not find any legal connection between the facts, the claims and the law.
However, that does not mean that not watching where you walk might not lead to litigation at some future date that does hold some water.
You can write policies till there are no more trees. In doing so, you’ll probably sink some other group who is trying to save trees. Better to educate than kill a tree. Train your volunteers, prove you trained them, and then explain how the organization they are volunteering for cannot afford lawsuits, stupid ones or regular ones. By that I mean include litigation training; you can’t sue us, in the training you provide.
Explain how it is their job to protect each other as well as to protect the organization. Tell them and prove you told them that you cannot identify all of the risks they may encounter.
You might even have them sign a release.
Plaintiff: Josephine Moore
Defendant: Boy Scouts of America Los Angeles Area Council, Inc.
Plaintiff Claims: Premises Liability and Negligence
Defendant Defenses: not triable issues of fact, no negligence
Holding: Trial court dismissal was affirmed
What do you think? Leave a comment.
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Copyright 2012 Recreation Law (720) Edit Law
Twitter: RecreationLaw
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By Recreation Law Rec-law@recreation-law.com James H. Moss Jim Moss
#RecreationLaw, #@RecreationLaw, #Cycling.Law #Fitness.Law, #Ski.Law, #Outside.Law, #Recreation.Law, #Recreation-Law.com, #Outdoor Law, #Recreation Law, #Outdoor Recreation Law, #Adventure Travel Law, #law, #Travel Law, #Jim Moss, #James H. Moss, #Attorney at Law, #Tourism, #Adventure Tourism, #Rec-Law, #Rec-Law Blog, #Recreation Law, #Recreation Law Blog, #Risk Management, #Human Powered, #Human Powered Recreation,# Cycling Law, #Bicycling Law, #Fitness Law, #Recreation-Law.com, #Backpacking, #Hiking, #Mountaineering, #Ice Climbing, #Rock Climbing, #Ropes Course, #Challenge Course, #Summer Camp, #Camps, #Youth Camps, #Skiing, #Ski Areas, #Negligence, #Snowboarding, #RecreationLaw, #@RecreationLaw, #Cycling.Law #Fitness.Law, #SkiLaw, #Outside.Law, #Recreation.Law, #RecreationLaw.com, #OutdoorLaw, #RecreationLaw, #OutdoorRecreationLaw, #AdventureTravelLaw, #Law, #TravelLaw, #JimMoss, #JamesHMoss, #AttorneyatLaw, #Tourism, #AdventureTourism, #RecLaw, #RecLawBlog, #RecreationLawBlog, #RiskManagement, #HumanPowered, #HumanPoweredRecreation,# CyclingLaw, #BicyclingLaw, #FitnessLaw, #RecreationLaw.com, #Backpacking, #Hiking, #Mountaineering, #IceClimbing, #RockClimbing, #RopesCourse, #ChallengeCourse, #SummerCamp, #Camps, #YouthCamps, #Skiing, #Ski Areas, #Negligence, #Snowboarding, sport and recreation laws, ski law, cycling law, Colorado law, law for recreation and sport managers, bicycling and the law, cycling and the law, ski helmet law, skiers code, skiing accidents, Recreation Lawyer, Ski Lawyer, Paddlesports Lawyer, Cycling Lawyer, Recreational Lawyer, Fitness Lawyer, Rec Lawyer, Challenge Course Lawyer, Ropes Course Lawyer, Zip Line Lawyer, Rock Climbing Lawyer, Adventure Travel Lawyer, Outside Lawyer, Recreation Lawyer, Ski Lawyer, Paddlesports Lawyer, Cycling Lawyer, #RecreationalLawyer, #FitnessLawyer, #RecLawyer, #ChallengeCourseLawyer, #RopesCourseLawyer, #ZipLineLawyer, #RockClimbingLawyer, #AdventureTravelLawyer, #OutsideLawyer, Los Angeles Area Council, Inc., #BSA, Boy Scouts, Boy Scouts of America, Guy Lines, Tent Lines, #Volunteer, Premises Liability,
Moore v. Boy Scouts of America Los Angeles Area Council, Inc., 2004 Cal. App. Unpub. LEXIS 11180
Posted: January 21, 2013 Filed under: California, Camping, Legal Case | Tags: Boy Scout, Boy Scouts, Boy Scouts of America, BSA, Eagle Scout, Guy Lines, Inc., Los Angeles Area Council, Premises Liability, Recreation, Scout, Tent Lines, Volunteer 4 CommentsMoore v. Boy Scouts of America Los Angeles Area Council, Inc., 2004 Cal. App. Unpub. LEXIS 11180
Josephine Moore, Plaintiff and Appellant, v. Boy Scouts of America Los Angeles Area Council, Inc., Defendant and Respondent.
B170389
COURT OF APPEAL OF CALIFORNIA, SECOND APPELLATE DISTRICT, DIVISION THREE
2004 Cal. App. Unpub. LEXIS 11180
December 10, 2004, Filed
NOTICE: [*1] NOT TO BE PUBLISHED IN OFFICIAL REPORTS. CALIFORNIA RULES OF COURT, RULE 977(a), PROHIBIT COURTS AND PARTIES FROM CITING OR RELYING ON OPINIONS NOT CERTIFIED FOR PUBLICATION OR ORDERED PUBLISHED, EXCEPT AS SPECIFIED BY RULE 977(B). THIS OPINION HAS NOT BEEN CERTIFIED FOR PUBLICATION OR ORDERED PUBLISHED FOR THE PURPOSES OF RULE 977.
PRIOR HISTORY: APPEAL from a judgment of the Superior Court of Los Angeles County, No. NC040331. Elizabeth Allen White, Judge.
DISPOSITION: Affirmed.
CORE TERMS: scout, tent, rope, volunteer, flag, summary judgment, scout camp, causes of action, hazard, marker, adult, guy ropes, feet, dangerous condition, declaration, triable, conspicuity, warning, premises liability, issues of fact, negligently, military, donated, wall tent, lighting, tripped, visible, manual, pole, trip
COUNSEL: Sedgwick, Detert, Moran & Arnold, Thomas A. Delaney and Steven S. Streger, for Defendant and Respondent.
Desjardins Kelly and Warren D. Kelly, for Plaintiff and Appellant.
JUDGES: ALDRICH, J.; CROSKEY, Acting P. J., KITCHING, J. concurred.
OPINION BY: ALDRICH
OPINION
INTRODUCTION
Plaintiff and appellant Josephine Moore (Moore) was setting up a tent for a scout camp site when she tripped over a rope that was securing the tent. Moore appeals from a summary judgment entered in favor of defendant and respondent Boy Scouts of America Los Angeles Area Council. Inc. (the Boy Scouts). We affirm.
FACTUAL AND PROCEDURAL BACKGROUND
1. Facts.
Following the usual rules on appeal, we construe the facts in the light most favorable [*2] to Moore, the party who opposed the motion for summary judgment. (Jackson v. Ryder Truck Rental, Inc. (1993) 16 Cal.App.4th 1830, 1836.)
On July 8, 2001, Moore was setting up a scout camp site. She and other adult volunteers were erecting a wall tent that was secured by poles and ropes. No employee of the Boy Scouts was involved in setting up the tent. The Boy Scouts did not own the tent. The rectangular tent was oblong, about 24 feet long by 16 feet wide. The poles used to hold up the tent were 6 feet long. Beige ropes were used to secure the tent to the ground and to keep the tent upright.
At about 7:00 p.m., the volunteers had been setting up the tent for 30 to 60 minutes. The tent was about four or five feet from a picnic table. One of the other adults asked Moore to retrieve additional stakes from the opposite side of the tent. Moore walked around the tent and picked-up six or seven stakes. Moore walked near the tent, toward the adult who had requested the stakes. In doing so, Moore tripped over one of the ropes that had already been staked into the ground. The stake holding the rope was two to five feet from the tent and two to five feet from the picnic table.
[*3] Moore had not set up the specific pole, rope or stake upon which she tripped.
The ropes coming off the tent were at varying angles and pitches. The ropes varied in length, depending upon location. There were no flags or markers on the ropes.
Before this date, Moore had never been involved in setting up or taking down this tent or this type of tent. However, in years past, Moore had used rope or flags to mark the guy ropes on this tent to make the ropes more visible.
During the time the tent was being set up, Moore was aware that some guy ropes were already in place, extending out from corners of the tent.
Before Moore fell, neither Moore nor any of the other adult volunteers saw anything they considered unsafe or dangerous.
In the past, some of the adult volunteers had used markers (e.g., cloth or fluorescent plastic tape) to make ropes more visible in scout camps and in non-scout camping situations. In prior years, this tent had been used in the Boy Scout camp, and flags had been used to mark the ropes. It is unclear if markers were used each time the tent was used.
The Boy Scout’s manual did not address rope safety and did not instruct that markers were to be used, although [*4] some believed marking the ropes made good sense. The photograph of a wall tent in the manual appeared to have markers on the ropes.
At one Boy Scout volunteer training session held a few years prior to this accident, volunteers were told to flag tent ropes so no one would trip. The Boy Scouts had no documents relating to the use of warnings on ropes.
The scout camp is planned by volunteers. The Boy Scout district executive, Jim McCarthy, attends the planning meetings.
2. Procedure.
Moore sued the Boy Scouts. The complaint stated two causes of action.
In the first cause of action for premises liability, Moore alleged that the Boy Scouts “negligently maintained, managed, controlled, and operated the Scout Camp, in that the guy ropes attached to a certain tent in the Scout Camp were unmarked with flags, or with anything, and were obscured from view without some kind of flag, marker, or other warning, owing to their color, size and geometry, location, time of day, and other factors, which [the Boy Scouts] knew, or in the exercise of reasonable care should have known, constituted a dangerous condition and unreasonable risk of harm of which [Moore] was at all times . . . [*5] unaware. [The Boy Scouts] negligently failed to take steps to either make the condition safe or warn [Moore] of the dangerous condition, all of which caused [Moore] to trip and fall on one of the guy ropes, and to suffer the injuries and damages hereinafter described.”
In the second cause of action for negligence, Moore alleged that the Boy Scouts failed to “use reasonable care in the construction, maintenance, management, and control of the Scout Camp, including but not limited to placing flags or some other kind of marker or warning to identify and call attention to the presence and location of the guy ropes surrounding the tent tarp. [P] . . . [The Boy Scouts] knew or should have known that the construction of the Scout Camp was likely to create during the construction a risk of harm to those who were working on and around the Scout Camp unless special precautions were taken, in that, among other things, guy ropes, which were obscured from view . . . would be emanating from the tent, unmarked and unguarded, in a fashion that constituted a hazard to persons, including [Moore].”
The Boys Scouts brought a motion for summary judgment.
In opposing the motion, Moore submitted [*6] the declaration of psychologist Ilene B. Zackowitz, Ph.D. Dr. Zackowitz declared the following. She was a human factors and safety consultant and a certified professional ergonomist. 1 She had reviewed the discovery in this case. “When wall tents that are secured with ropes and stakes are used, it is foreseeable that the low conspicuity of the ropes may present a tripping hazard. Despite this foreseeable hazard, [the Boy Scouts have] no stated policy or procedure that addresses the hazard, namely using flags to increase the conspicuity of guy ropes, in the [Scout] Camping merit badge book or the Scouts ‘Guide to Safe Scouting.’ ” “Other Scout Councils recognize the hazard and have policies in place to address the hazard[, such as a troop in Georgetown, Virginia, the Scout Association of Australia, and the Southeast Louisiana Council].” “A stated policy of securing conspicuous flags to the ropes as they are secured to the ground (as opposed to waiting until the entire tent is erected) would greatly increase the conspicuity of the anchoring ropes.” “The incident occurred at dusk such that lighting conditions and contrast were reduced. Under ideal lighting conditions, a rope and [*7] stake would have low contrast with the dirt covered ground surface. . . . There were no visual cues that the hazard was present. . . . A flag on the rope would have provided contrast and would have called attention to the hazard.”
1 Dr. Zackowitz’s curriculum vitae includes information that she serves as a forensic consultant for personal injury accidents, including slips, trips, missteps, and falls, the effectiveness of warnings, visibility, conspicuity, and lighting.
The trial court granted the summary judgment motion. In the order granting summary judgment, the trial court found there were no triable issues of fact because: (1) there was no evidence of a dangerous condition and Dr. Zackowitz’s declaration was not admissible on the issue; (2) the Boy Scouts had no notice of the condition as the only ones present were volunteers, who were not agents of the Boy Scouts; and (3) the condition was open and notorious.
Judgment was entered against Moore, from which she appealed.
DISCUSSION
1. Standard [*8] of review upon a motion for summary judgment.
Following the granting of a summary judgment, we review the moving papers independently to determine whether there is a triable issue as to any material fact and whether the moving party is entitled to judgment as a matter of law. (Jackson v. Ryder Truck Rental, Inc., supra, 16 Cal.App.4th at p. 1837.)
A defendant who brings a motion for summary judgment asserting that the plaintiff cannot state a cause of action need only address the theories advanced in the complaint, as the complaint frames the issues. (United States Golf Assn. v. Arroyo Software Corp. (1999) 69 Cal.App.4th 607, 623; Varni Bros. Corp. v. Wine World, Inc. (1995) 35 Cal.App.4th 880, 886-887; FPI Development, Inc. v. Nakashima (1991) 231 Cal. App. 3d 367, 381, 282 Cal. Rptr. 508.) “A party cannot successfully resist summary judgment on a theory not pleaded. [Citation.]” (Roth v. Rhodes (1994) 25 Cal.App.4th 530, 541.)
2. Moore has not demonstrated a triable issue of fact with regard to the two theories presented.
Moore stated two causes of action – premises [*9] liability and negligence. She contends there are triable issues of fact with regard to these causes of action. This contention is unpersuasive.
A cause of action for premises liability generally is based upon a dangerous condition on land. (Delgado v. American Multi-Cinema, Inc. (1999) 72 Cal.App.4th 1403, 1406, fn. 1.) The possessor of land is liable only for hazardous conditions of which the possessor had actual or constructive knowledge. (Ortega v. Kmart Corp. (2001) 26 Cal.4th 1200, 1203.) Here, the tent was set up by volunteers, who were not the agents of the Boy Scouts. (Young v. Boy Scouts of America (1935) 9 Cal. App. 2d 760, 765 [adult volunteers are not agents of local councils].) There is no evidence the Boy Scouts knew the tent was being set up. Thus, the Boy Scouts neither created the “dangerous” condition nor were aware that it existed.
With regard to the negligence cause of action, Moore alleged that the Boy Scouts negligently constructed, maintained, managed, and controlled the camp. However, the undisputed facts were that the volunteers undertook all of these activities. Thus, Moore failed to establish that the [*10] Boy Scouts breached its duty to her. (Cf. Ortega v. Kmart Corp., supra, 26 Cal.4th at p. 1205 [negligence requires duty, breach, causation, damages].)
Moore argues that notice of the condition is irrelevant as liability “is not based on acts of the volunteers who erected the tent, but on the policy (or lack thereof) of the [Boy Scouts] relating to tent safety, as well as the fact that [the Boy Scouts] provided a tent with inconspicuous ropes and no flags.” These arguments are based primarily upon (1) statements made by some of the volunteers who said that the past they had marked the ropes to make them more visible, (2) comments by Moore’s expert (Dr. Zackowitz), and (3) Dr. Zackowitz’s reference to other scout manuals.
However, Moore’s complaint, which framed the issues, did not alleged that the Boy Scouts lacked a policy with regard to rope safety, nor did it allege that the Boy Scouts were negligent in supplying a defective tent. (Cf. FNS Mortgage Service Corp. v. Pacific General Group, Inc. (1994) 24 Cal.App.4th 1564, 1572 [discussing negligent undertaking].)
Further, there is an evidentiary problem with Moore’s argument [*11] relating to the Boy Scouts supplying the tent. In Moore’s appellate brief, she does not provide a citation to the record to support the statement that the tent had been supplied by the Boy Scouts or that it had been donated to the Boy Scouts by the military. (Grant-Burton v. Covenant Care, Inc. (2002) 99 Cal.App.4th 1361, 1378-1379 [parties have obligation to provide proper citations to record].) 2 In Moore’s separate statement of disputed and undisputed material facts, Moore also fails to establish that the tent had been supplied by the Boy Scouts, or that it had been donated to the Boy Scouts by the military. Additionally, Moore testified in her deposition that she did not believe that the Boy Scouts owned the tent. Dr. Zackowitz did state in her declaration that the tent had been donated to the Boy Scouts by the military. However, Dr. Zackowitz does not identify the source of this information and therefore this testimony lacks foundation.
2 In the introduction to her brief, Moore points to the Clerk’s Transcript, pages 226 to 264 for this factual assertion. This is an insufficient citation. (Grant-Burton v. Covenant Care, Inc., supra, 99 Cal.App.4th at p. 1379 [appropriate reference to records must include exact page citations].)
[*12] Summary judgment was properly granted in favor of the Boy Scouts. 3
3 In light of our conclusion, we need not address whether the trial court made evidentiary errors with regard to Dr. Zackowitz’s declaration.
DISPOSITION
The judgment is affirmed. Moore is to pay all costs on appeal.
ALDRICH, J.
We concur:
CROSKEY, Acting P. J.
KITCHING, J.
2012-2013 In bound ski/board fatalities
Posted: January 9, 2013 Filed under: Avalanche, California, Colorado, Idaho, Michigan, Ski Area, Skiing / Snow Boarding | Tags: alpine Meadwos, Boyne Highlands Resort, Copper Mountain, Donner Ski Ranch, helmet, Keystone Resort, Keystone Ski Resort, SEATTLE, Ski, ski season, Snowboard, Snowmass, Squaw Valley Ski Resort, Sun Valley, Sun Valley Idaho, Sun Valley ski resort, Vail, Vail Colorado Leave a commentThis list is not guaranteed to be accurate. The information is found from web searches and news dispatches. Those references are part of the chart. If you have a source for information on any fatality please leave a comment or contact me. Thank you.
Several Corrections have been made to items reported earlier.
If this information is incorrect or incomplete please let me know. This is up to date as of January 8, 2013. Thanks.
Skiing and Snowboarding are still safer than your kitchen or bathroom. This information is not to scare you away from skiing but to help you understand the risks and to study.
2012 – 2013 Ski Season Deaths
Red is a probable death due to medical issues unrelated to skiing
Dark blue is a death of an employee while working
Tab through the Table to See the Entire Table
| # | Date | State | Resort | Where | How | Cause | Ski/Board | Age | Sex | Name | Home town | Helmet | Reference | ||
| 1 | 11/29/12 | ID | Sun Valley ski resort | Bald Mountain Chairlift | Fell off (Medical?) | 56 | M | Dana Mower | Sun Valley, ID & Seattle, WA | http://rec-law.us/Vi4ims | http://rec-law.us/TyVnKu | ||||
| 2 | 12/1/12 | CO | Keystone Resort | River Run Gondola Maze | Standing in Maze (Medical) | Skier | 66 | M | Rex Brian Burton | Castle Rock, CO | http://rec-law.us/SCZHXJ | http://rec-law.us/YkDioj | http://rec-law.us/UjBMfK | ||
| 3 | 12/2/12 | MI | Boyne Highlands Resort | Camelot, (Beginner) | fell within the slope boundaries and did not collide with any type of obstacle | . | Boarder | 17 | F | Kasandra Knapp | Alanson, MI | http://rec-law.us/11JFVOo | |||
| 4 | 12/9 | CO | Vail | Born Free trail | Hiking before resort opened (Medical) | 61 | M | Denver | http://rec-law.us/Zg0OC1 | ||||||
| 5 | 12/9 | CO | Vail | Eagle Bahn Gondola (Medical) | 63 | M | Douglas Voisard | Vail | http://rec-law.us/Zg0OC1 | ||||||
| 6 | 12/21 | CA | Squaw Valley | KT-22 | strike the tree, hitting the left side of his head | Skier | 71 | M | Theodore Stanley Sorensen | Auburn, CA | Yes | http://rec-law.us/10ctrSt | |||
| 7 | 12/24 | CA | Donner Ski Ranch | Avalanche | Boarder | 49 | M | Steven Mark Anderson | Hirschdale | http://rec-law.us/UCaHJz | http://rec-law.us/Sgjsbi | ||||
| 8 | 12/24 | CA | Alpine Meadows | Sherwood Bowl | Avalanche | Skier | 53 | M | Bill Foster | http://rec-law.us/13eiU72 | http://rec-law.us/VGsqh5 | ||||
| 9 | 12/30 | CO | Snowmass | Hanging Valley Headwall | Avalanche | Swept over cliff | Skier | 49 | F | Patricia “Patsy” Hileman | http://rec-law.us/RCv6fd | http://rec-law.us/VOCr8H | |||
| 10 | 1/4 | CO | Copper Mountain | Vein Glory | Hit tree | M | Tristan Bartlett | Houston, TX | No | http://rec-law.us/RCy03u | http://rec-law.us/VyzVnU | http://rec-law.us/WoJEf5 |
Our condolences go to the families of the deceased. Our thoughts extend to the families and staff at the areas who have to deal with these tragedies.
What do you think? Leave a comment.
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Delaware holds that mothers signature on contract forces change of venue for minors claims.
Posted: April 2, 2012 Filed under: California, Delaware, Jurisdiction and Venue (Forum Selection), Summer Camp | Tags: American Arbitration Association, Arbitration, California, Minor, Summer Camp, Youth Camp Leave a commentDoe v. Cedars Academy, LLC, 2010 Del. Super. LEXIS 559
Court recognizes that you can’t argue rights under the contract and void other parts of the contract in the same lawsuit.
This case alleges that the minor was assaulted at a school for students who have a need for academic and social skills development. To be enrolled in the school the mother had to sign a substantial contract. The contract included a release of liability (pre-injury release) and a venue and jurisdiction clause.
The minor was allegedly threatened and sexually assaulted by another student. The mother and son sued for.
“….negligence, gross negligence, and recklessness; one count raises a breach of contract claim, and one count raises a claim that Defendants violated John Doe’s substantive due process right to bodily integrity.”
The defendants, the school and the parent company of the school moved to dismiss the complaint for lack of personal jurisdiction. This means the contract says the jurisdiction is located in another state, therefor this court does not have the legal right to hear the claim. i.e. the jurisdiction clause in the contract between the parties.
Summary of the case
The school was located in Delaware; however, the agreement required arbitration in California. The venue and jurisdiction clause was extensive in the contract.
21. Governing Law/Venue: This Agreement, and all matters relating hereto, including any matter or dispute arising between the parties out of this Agreement, tort or otherwise, shall be interpreted, governed and enforced according to the laws of the State of California; and the parties consent and submit to the exclusive jurisdiction and venue of the California Courts in Los Angeles County, California, and any qualified (American Arbitration Association-approved) arbitration service in the State of California, County of Los Angeles, to enforce this Agreement. The parties acknowledge that this Agreement constitutes a business transaction within the State of California. 10
The court looked at four issues in reviewing the contract and the claims of the plaintiffs:
(A) whether the Agreement is binding as to Jane Doe; [the mother]
(B) whether the Agreement is binding as to John Doe; [the son]
(C) whether the pre-injury release provision renders the entire Agreement unenforceable; and, if not
(D) whether the choice of law, choice of forum, and/or arbitration provisions of the Agreement are controlling.
The issue of whether the contract is binding on the mother. The court found it was because the mother also sued for damages under the contract. Here the court found if you are suing for damages under the contract, you cannot claim you are not part of the contract.
The court also held, in what was one of the clearest statements on this issue I’ve read, that the mother could not avail herself of the services of the defendant and put her son in the school and then claim the contract did not apply to her. If the contract allowed her to put her son in the school, then the contract applied to her.
But for the right to contact as a mother, there would be no services for children.
This same analysis was applied to whether or not the minor was bound by the agreement. If the minor could attend the school, based on the contract, then the minor had to be bound by the contract.
To conclude that John Doe is not bound by the Agreements otherwise enforceable terms, as Plaintiffs contend, simply because he is a minor would be tantamount to concluding that a parent can never contract with a private school (or any other service provider) on behalf and for the benefit of her child. As a practical matter, no service provider would ever agree to a contract with a parent if a child could ignore the provisions of the contract that pertain to him without recourse.
The court did not determine or decided if a parent can bind a minor to a pre-injury release. The court held that the contract allowed the court to exclude for the sake of argument, any part of the contract that it felt was unenforceable and therefore, the court could decide the issue without deciding the release issue.
The court then found the jurisdiction and venue clause were valid, and the case must be sent to California. Whether that was going to be a California court or arbitration, as required by the contract, in California was up to the California court.
At this point, the plaintiff argued the minute aspects of the contract did not force the case to be sent to California. This forced the court to scrutinize the agreement, down to the placement of a semi-colon. The court determined the jurisdiction and venue portion of the agreement applied.
Unless the forum selection clause “is shown by the resisting party to be unreasonable under the circumstances,” such clauses are prima facie valid. A choice of forum provision will be deemed “unreasonable” only when its enforcement would seriously impair the plaintiff’s ability to pursue its cause of action.” Mere inconvenience or additional expense is not sufficient evidence of unreasonableness.
So Now What?
Over and over I have stressed the importance of a well-written jurisdiction and venue (choice of forums) clause in your release and in all documents. Here again, this clause will make litigation more difficult for the plaintiff.
You want the lawsuit in your community. Most of the witnesses are usually located there, the business is there, and you are better prepared to defend a claim there.
Another issue that was not brought up the court, but is present in the case is the decision on arbitration. Arbitration may be a great item for you to use if you are dealing with minors for several reasons.
Arbitration is cheaper and quicker than a trial. The rules governing arbitration have a shorter time frame and do not allow as much time for discovery.
Arbitrators, by statute, are usually limited on the type of amount of damages that they can award. As such, punitive or other excessive damages may not be awarded by an arbitrator.
However, arbitration is not necessarily the way to go in every case. Arbitration does not allow, normally for motions for summary judgment. If you have a well-written release in a state that allows the use of releases, you will have a faster and better result going to court and filing a motion for summary judgment.
Whether or not to put arbitration in a release or other contract is one to be carefully reviewed based on your state, your state law and your situation with your attorney.
What do you think? Leave a comment.
| Jim Moss is an attorney specializing in the legal issues of the outdoor recreation community. He represents guides, guide services, and outfitters both as businesses and individuals and the products they use for their business. He has defended Mt. Everest guide services, summer camps, climbing rope manufacturers; avalanche beacon manufacturers, and many more manufacturers and outdoor industries. Contact Jim at Jim@Rec-Law.us |
Jim is the author or co-author of eight books about legal issues in the outdoor recreation world; the latest is Outdoor Recreation Insurance, Risk Management,
To see Jim’s complete bio go here and to see his CV you can find it here. To find out the purpose of this website go here.
If you are interested in having me write your release, download the form and return it to me.
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Doe v. Cedars Academy, LLC, 2010 Del. Super. LEXIS 559
Posted: April 2, 2012 Filed under: California, Delaware, Jurisdiction and Venue (Forum Selection), Legal Case, Summer Camp | Tags: Aspen Education Group, California, Delaware, Minor, Parol evidence rule, Summer Camp, Youth Camp Leave a commentTo Read an Analysis of this decision see
Delaware holds that mothers signature on contract forces change of venue for minors claims.
Doe v. Cedars Academy, LLC, 2010 Del. Super. LEXIS 559
John Doe and Jane Doe, individually, and as Guardian and Next Friend of John Doe, a minor, Plaintiffs, v. Cedars Academy, LLC, and Aspen Education Group, Inc., Defendants.
C.A. No. 09C-09-136 JRS
Superior Court of Delaware, New Castle
2010 Del. Super. LEXIS 559
July 20, 2010, Submitted
October 27, 2010, Decided
Notice:
This opinion has not been released for publication. Until released, it is subject to revision or withdrawal.
SUBSEQUENT HISTORY: Reargument denied by Doe v. Cedars Acad., LLC, 2011 Del. Super. LEXIS 18 (Del. Super. Ct., Jan. 19, 2011)
PRIOR HISTORY: [*1]
Upon Consideration of Defendants’ Motions to Dismiss.
DISPOSITION: GRANTED.
CASE SUMMARY:
PROCEDURAL POSTURE: The court considered a motion to dismiss (Del. Super. Ct. R. Civ. P. 12(b)(6)) filed by the defendants, a limited liability company (LLC) and a corporation, seeking an order dismissing a complaint filed by plaintiffs, a mother and her son, in which plaintiffs alleged the mother entered into a contract with the LLC to enroll her son in a boarding school and that, while a student there, he was sexually assaulted and threatened by a fellow student.
OVERVIEW: A fair reading of the complaint indicated plaintiffs alleged defendants were liable for damages for breach of the contract and for breach of common law duties of care. The court found a reasonable person would conclude that the mother objectively manifested her assent to be bound by the terms of the contract by paying tuition to the school and entrusting her son to the school as contemplated by the contract. The son, a minor, was also bound by the agreement, entered into on his behalf. Even if a pre-injury release was invalid, it would not render the entire agreement unenforceable. After reviewing the provisions within the four corners of the contract, the court concluded the parties intended to consent to the exclusive jurisdiction of California courts or arbitration panels to litigate their claims, based on a forum selection clause. Other than arguing that the contract was invalid because it was unconscionable, plaintiffs did not provide any support for their claim that the court should ignore the forum selection clause. Given the law in Delaware that choice of forum provisions were enforceable absent a showing of unreasonableness, the court declined to exercise jurisdiction.
OUTCOME: The motion to dismiss was granted.
COUNSEL: Joseph J. Rhoades, Esquire, Stephen T. Morrow, Esquire, LAW OFFICE OF JOSEPH J. RHOADES, Wilmington, Delaware. Attorneys for Plaintiffs.
Norman H. Brooks, Jr., MARKS, O’NEILL, O’BRIEN & COURTNEY, P.C., Wilmington, Delaware. Attorney for Defendants.
JUDGES: Joseph R. Slights, III, Judge.
OPINION BY: Joseph R. Slights, III
OPINION
MEMORANDUM OPINION
SLIGHTS, J.
I.
Before the Court is a Motion to Dismiss filed by the Defendants, Cedars Academy, LLC (“Cedars”) and Aspen Education Group, Inc. (“Aspen”) (collectively “the Defendants”). The motion seeks an order dismissing the Complaint filed by John Doe and his mother Jane Doe (collectively “Plaintiffs”), 1 in which Plaintiffs allege that Jane Doe entered into a contract with Cedars to enroll her son in the Cedars Academy Boarding School (“Cedars Academy”) and that, while a student there, John Doe was sexually assaulted and threatened by a fellow student. 2
1 Plaintiffs have used pseudonyms, presumably because of the sensitive nature of the allegations.
2 Compl. ¶ 7.
The Complaint contains five counts: three counts raise tort-based claims including negligence, gross negligence, and recklessness; 3 one count raises a [*2] breach of contract claim, 4 and one count raises a claim that Defendants violated John Doe’s substantive due process right to bodily integrity. 5 Defendants move to dismiss all counts for lack of subject matter jurisdiction and improper venue, and also based on a pre-injury release signed by Jane Doe. Defendant Aspen also moves to dismiss for lack of personal jurisdiction. Upon review of the motion, and the responses thereto, the Court determines that the forum selection clause of the operative contract (selecting California as the exclusive forum) is enforceable as to all of the parties and, as such, the motion to dismiss this action must be GRANTED.
3 Compl. ¶¶ 11-20, 26-29, 30-31.
4 Compl. ¶¶ 21-25.
5 Compl. ¶¶ 32-39.
II.
On September 15, 2007, Jane Doe entered into a contract with Cedars (hereinafter “the Agreement”) to enroll her minor son, John Doe, as a full time student at the Cedars Academy in Bridgeville, Delaware. 6 Cedars Academy is a private preparatory boarding school for students who demonstrate a need for academic and social skill development. 7 The Agreement between Ms. Doe and Cedars contained the following provisions relevant to the controversy sub judice:
5. Assumption of [*3] the Risks; Releases and Indemnities: Sponsor acknowledges serious hazards and dangers, known and unknown, inherent in the Program, including but not limited to vocational activities, emotional and physical injuries, illness or death that may arise from strenuous hiking, climbing, camping in a natural environment, exposure to the elements, plants and animals, running away from the Program, “acts of God” (nature), physical education activities, water sports, stress, involvement with other students, self-inflicted injuries, and transportation to and from activities. Sponsor understands that in participating in the Program Student will be in locations and using facilities where many hazards exist and is aware of and appreciates the risks, [sic] which may result. Sponsor understands that accidents occur during such activities due to the negligence of others, which may result in death or serious injury. Sponsor and Student are voluntarily participating in the Program with knowledge of the dangers involved and agree to accept any and all risks. In consideration for being permitted to participate in the Program, Sponsor agrees to not sue, to assume all risks and to release, hold harmless, [*4] and indemnify Cedars and any and all of its predecessors, successors, officers, directors, trustees, insurers, employees … including, but not limited to, Aspen Education Group, Inc. (collectively all of these above persons and entities shall be referred to as the “Released Parties” hereafter) who, through negligence, carelessness or any other cause might otherwise be liable to Sponsor or Student under theories of contract or tort law. Sponsor intends by this Waiver and Release to release, in advance, and to waive his or her rights and discharge each and every one of the Released Parties, from any and all claims for damages for death, personal injury or property damage which Sponsor may have, or which may hereafter accrue as a result of Student’s participation in any aspect of the Program, even though that liability may arise from negligence or carelessness on the part of the persons or entities being released, from dangerous or defective property or equipment owned, maintained, or controlled by them, or because of their possible liability without fault. Additionally, Sponsor covenants not to sue any of the Released Parties based upon their breach of any duty owed to Sponsor or Student [*5] as a result of their participation in any aspect of the Program. Sponsor understands and agrees that this Waiver and Release is binding on his or her heirs, assigns and legal representatives. 8
15. Binding Arbitration: Any controversy or claim arising out of or relating to this contract, except at Cedars’ option the collection of monies owed by Sponsor to Cedars, shall be settled by binding arbitration conducted in the State of California in accordance with the rules of the American Arbitration Association; 9 and
21. Governing Law/Venue: This Agreement, and all matters relating hereto, including any matter or dispute arising between the parties out of this Agreement, tort or otherwise, shall be interpreted, governed and enforced according to the laws of the State of California; and the parties consent and submit to the exclusive jurisdiction and venue of the California Courts in Los Angeles County, California, and any qualified (American Arbitration Association-approved) arbitration service in the State of California, County of Los Angeles, to enforce this Agreement. The parties acknowledge that this Agreement constitutes a business transaction within the State of California. 10
6 Compl. [*6] ¶ 2.
7 Pls.’ Resp. Defs.’ Mot. to Dismiss Ex. A.
8 Agreement ¶ 5.
9 Agreement ¶ 15.
10 Agreement ¶ 21.
On September 21, 2007, John Doe began attending Cedars Academy and residing in one of its dormitories. 11 While there, John Doe was propositioned by another student to perform sexual acts. According to the Complaint, on one or more occasion, the other student (not named as a defendant or otherwise in the Complaint) entered John Doe’s dormitory room, threatened him and sexually assaulted him. 12 Plaintiffs allege that these sexual assaults resulted in physical and emotional injuries to John Doe and economic damages to both Plaintiffs. 13 A fair reading of the Complaint indicates that Plaintiffs allege Defendants are liable for their damages both as a result of having breached the Agreement and having breached common law duties of care. 14
11 Compl. ¶ 7.
12 Id.
13 Compl. ¶¶ 7-10.
14 See Id. (Counts I through IV).
III.
In support of their motion, Defendants argue that the Agreement is enforceable against Jane Doe as the signatory and John Doe as a third party beneficiary. 15 Because both parties are bound by the Agreement, Defendants argue that Delaware’s preference for enforcing choice of forum provisions [*7] should prevail when, as here, the selected jurisdiction (California) has a “material connection” with the transaction. 16 Finally, Defendants assert that the arbitration provision of the Agreement should be honored because Jane Doe freely entered into the Agreement for the benefit of her minor son and John Doe received the benefit of the Agreement in the form of student housing, meals, and education. 17 According to the Defendants, he “who accepts the benefits of the contract, is also bound by any burdens or restrictions created by it.” 18
15 Defs.’ Letter Mem. pgs. 1-4.
16 Id. at 5.
17 Id. at 4.
18 Id.
In response, Plaintiffs first argue that the Agreement is not enforceable as to Jane Doe or John Doe because its “assumption of the risks; releases and indemnities” provision is invalid as a matter of law. According to Plaintiffs, Delaware courts look with disfavor upon clauses which exculpate a party from the consequences of that party’s own negligence. 19 Moreover, Plaintiffs argue that parents do not have the authority to execute a pre-injury release on behalf of their children. Such pre-injury releases “deprive children of the legal relief necessary to redress negligently inflicted injuries,” [*8] according to Plaintiffs, and are thus void as against public policy. 20 Because the Agreement contains a pre-injury release provision that purports to release a minor’s claim, and an invalid indemnification provision, Plaintiffs contend that the entire Agreement is unenforceable. 21
19 Pls.’ Resp. Defs.’ Letter Mem. pg. 2.
20 Id. at 7.
21 Id. at 6-7.
Plaintiffs next argue that even if the Agreement is enforceable against Jane Doe, it is not enforceable against John Doe because he is not a party to the Agreement. In this regard, Plaintiffs contend that the Agreement fails to identify John Doe as a party to the Agreement, that John Doe is not a signatory to the Agreement, and that there is no language in the Agreement to suggest that Jane Doe was contracting on John Doe’s behalf. 22 Thus, according to the Plaintiffs, the Agreement is between Jane Doe and Cedars only and does not bind John Doe. 23 Plaintiffs further contend that even if John Doe is considered a third party beneficiary, he is still not bound to the Agreement because he did not sign it. 24
22 Id. at 4.
23 Id.
24 Id. at 6.
Finally, Plaintiffs assert that the choice of forum and arbitration provisions of the Agreement are unenforceable [*9] against both Plaintiffs because the Agreement is over-broad and unconscionable. 25 The Plaintiffs contend that the Agreement is too broad because there is no evidence that the parties contemplated “Cedars’ common law duty to prevent sexual assaults on John Doe or the manner in which breaches of that duty would be redressed when they entered into the Agreement.” 26 In addition, they argue that the Agreement is unconscionable because “John Doe was in need of specialized care and Cedars purported to be uniquely qualified to render such care,” leaving Jane Doe with little choice but to “sign on the dotted line.” 27
25 Id. at 8-10.
26 Id. at 9.
27 Id. at 10.
IV.
[HN1] In evaluating a Motion to Dismiss under Superior Court Civil Rule 12(b)(6), the Court must assume all well plead facts in the complaint to be true. 28 A complaint will not be dismissed unless the plaintiff would not be entitled to recover under any reasonable set of circumstances susceptible of proof. 29 Stated differently, a complaint may not be dismissed unless it is clearly not viable, which may be determined as a matter of law or fact. 30
28 Ramunno v. Cawley, 705 A.2d 1029, 1034 (Del. 1998).
29 Nix v. Sawyer, 466 A.2d 407, 410 (Del. Super. 1983).
30 Diamond State Tel. Co. v. Univ. of Del., 269 A.2d 52, 58 (Del. 1970).
V.
Plaintiffs’ [*10] Motion and the Defendants’ response implicate the following issues, which the Court will address seriatim: (A) whether the Agreement is binding as to Jane Doe; (B) whether the Agreement is binding as to John Doe; (C) whether the pre-injury release provision renders the entire Agreement unenforceable; and, if not (D) whether the choice of law, choice of forum, and/or arbitration provisions of the Agreement are controlling.
A. Jane Doe Is Bound By The Agreement She Entered Into With Cedars On Behalf Of Her Son
[HN2] Both Delaware and California measure the formation of a contract by an objective test. 31 Specifically, a contract is formed if “a reasonable person would conclude, based on the objective manifestations of assent and the surrounding circumstances, that the parties intended to be bound to their agreement on all essential terms.” 32 At the outset, the Court notes that [HN3] it is counter-intuitive to seek enforcement of an agreement that one alleges to be invalid. Stated differently, a party cannot “simultaneously seek to avoid the contract … and at the same time sue for damages for breach of [that] contract ….” 33 And yet, this is precisely what the Plaintiffs are attempting to do in [*11] this case. 34
31 The Court has considered both Delaware and California law in construing the Agreement given the Agreement’s choice of California law. See Leeds v. First Allied Conn. Corp., 521 A.2d 1095, 1097 (Del. Ch. 1986); Founding Members of Newport Beach Country Club v. Newport Beach Country Club, Inc., 109 Cal. App. 4th 944, 955, 135 Cal. Rptr. 2d 505 (Cal. Ct. App. 2003).
32 Leeds, 521 A.2d at 1101. See also Founding Members, 109 Cal. App. 4th at 955 (“California recognizes the objective theory of contracts, under which [it] is the objective intent, as evidenced by the words of the contract, rather than the subjective intent of one of the parties, that controls interpretation.”).
33 In re Verilink Corp., 405 B.R. 356, 378 (N.D. Ala. 2009).
34 Compl. ¶¶ 21-25.
Moreover, a reasonable person would conclude that Jane Doe objectively manifested her assent to be bound by the terms of the Agreement by paying tuition to Cedars Academy as required by the Agreement and entrusting her son to the school as contemplated by the Agreement. 35 As a person with the capacity to contract, and in the absence of allegations of fraud, duress, or undue influence, Jane Doe is bound to the Agreement she signed with Cedars so that [*12] her son could attend Cedars Academy. 36
35 Compl. ¶¶ 5 and 22.
36 2 Williston on Contracts § 6:44 (4th ed.) (“Because the offeree’s action naturally indicates assent, at least in the absence of an invalidating cause such as fraud, duress, mutual mistake, or unconscionability, where an offeree signs a document it is generally held to be bound by the document’s terms, even if the offeree signs in ignorance of those terms.”). See, e.g., Indus. Am., Inc v. Fulton Indus., Inc., 285 A.2d 412, 415 (Del. 1971) (“Where an offeror requests an act in return for his promise and the act is performed, the act performed becomes the requisite overt manifestation of assent if the act is done intentionally; i.e., if there is a ‘conscious will’ to do it.”); Main Storage & Trucking Inc. v. Benco Contracting and Eng’g Inc., 89 Cal. App. 4th 1042, 1049, 107 Cal. Rptr. 2d 645 (Cal. Ct. App. 2001)( [HN4] “Every contract requires mutual assent or consent, and ordinarily one who signs an instrument which on its face is a contract is deemed to assent to all its terms.”).
B. John Doe Is Bound By The Agreement Entered Into On His Behalf By His Mother
The parties focused much of their energy on whether John Doe should be considered a third party [*13] beneficiary of the Agreement. This focus, however, misses the mark in that it ignores the realities of the relationship between parent and child. As a matter of law, and as a practical matter, John Doe, a minor, could not obtain a private boarding school education from a facility like Cedars Academy without his mother contracting for such services on his behalf. 37 As the guardian of John Doe, Jane Doe was authorized to provide for her minor son’s education in the manner she saw fit. 38
37 6 Del. C. § 2705 ( [HN5] A person does not have the capacity to contract until he or she reaches the age of majority); Cal. Fam. Code Ann. § 6700 (West 1994)(“A minor may make a contract … subject to the power of disaffirmance.”); Cal. Fam. Code Ann. § 6500 (“A minor is an individual who is under 18 years of age.”).
38 Ide v. Brown, 178 N.Y. 26, 70 N.E. 101, 102 ( N.Y.1904) (“As guardian, we assume that [father] had the power to provide for her support and maintenance during [daughter’s] minority.”); Pierce v. Soc’y of the Sisters of the Holy Names of Jesus & Mary, 268 U.S. 510, 534-35, 45 S. Ct. 571, 69 L. Ed. 1070 (1925) (Parents have the liberty “to direct the upbringing and education of children under their control.”); Hohe v. San Diego Unified Sch. Dist., 224 Cal. App. 3d 1559, 1565, 274 Cal. Rptr. 647 (Cal. Ct. App. 1990)(same).
To [*14] conclude that John Doe is not bound by the Agreement’s otherwise enforceable terms, as Plaintiffs contend, simply because he is a minor would be tantamount to concluding that a parent can never contract with a private school (or any other service provider) on behalf and for the benefit of her child. As a practical matter, no service provider would ever agree to a contract with a parent if a child could ignore the provisions of the contract that pertain to him without recourse. 39 Such a result is inconsistent with the law’s concept of the family which “rests on a presumption that parents possess what a child lacks in maturity, experience, and capacity for judgment required for making life’s difficult decisions.” 40 In this case, as a parent, Jane Doe was authorized to enter into the Agreement with Cedars on behalf of her minor son and to bind him to its enforceable terms.
39 For instance, in this case, Cedars reserved the right to terminate John Doe’s enrollment in Cedars Academy if he engaged in “illegal, uncontrollable, or dangerous behavior” or “for any other reason … deem[ed] necessary for the protection of [John Doe], any other student(s) or the integrity of Cedar’s program.” [*15] Agreement, ¶ 9. This provision implicitly imposes upon John Doe certain obligations to behave in an appropriate manner. If this obligation was deemed by the Court to be non-binding upon John Doe simply because he is a minor, then Cedars, in turn, would lose its authority to discharge him or any other student whose behavior justified termination from the program. No private school would ever enroll a student under such circumstances.
40 Parham v. J.R., 442 U.S. 584, 602, 99 S. Ct. 2493, 61 L. Ed. 2d 101 (1979).
C. Even If The Pre-Injury Release Provision Is Invalid, It is Severable and Does Not Affect The Overall Enforceability Of The Agreement
Plaintiffs argue that parents do not possess the authority to bind their children to pre-injury releases. 41 According to Plaintiffs, the pre-injury release is invalid, 42 and, therefore, John Doe should not be bound by the balance of the Agreement’s terms. 43
41 Agreement ¶ 5.
42 Pls.’ Resp. Defs.’ Letter Mem. pg. 7.
43 Pls.’ Resp. Defs.’ Mot. to Dismiss ¶ 8.
It appears that no Delaware court has specifically addressed whether parents can bind their children to a pre-injury release. Further, it appears that there is a split among those jurisdictions that have addressed the issue. 44 This [*16] Court need not weigh in on behalf of Delaware, however, because even if the pre-injury release is invalid, the presence of the provision would not render the entire Agreement unenforceable. 45 [HN6] When “determining whether a contract is divisible … the essential question … is ‘did the parties give a single assent to the whole transaction, or did they assent separately to several things?'” 46 If there is evidence that clearly shows that the parties intended to enter into an integrated contract, then the contract should be read in its entirety. 47 In this regard, Delaware courts recognize that “[t]he parties’ intent to enter into a divisible contract may be expressed in the contract directly, through a severability clause.” 48 The Agreement between the parties in this case contains a clear and unambiguous severability clause. 49 Accordingly, the invalidity of the pre-injury release would not render the remainder of the Agreement unenforceable.
44 Compare Cooper v. Aspen Skiing Co., 48 P.3d 1229 (Colo. 2002)(holding that Colorado’s public policy affords minors significant protections which preclude parents or guardians from releasing a minor’s own prospective claim for negligence); Hawkins ex rel. Hawkins v. Peart, 2001 UT 94, 37 P.3d 1062 (Utah 2001)(holding [*17] that a parent cannot release a child’s causes of action against a third party before or after an injury); with Sharon v. City of Newton, 437 Mass. 99, 769 N.E.2d 738 (Mass. 2002)(holding that releases of liability for ordinary negligence involving private parties are valid as a general proposition in the Commonwealth and, thus, it was not contrary to the purposes of the Tort Claims Act to allow city to use releases as a precondition for student’s participation in voluntary, nonessential activities, such as cheerleading at public school activities); Zivich v. Mentor Soccer Club, Inc., 82 Ohio St. 3d 367, 1998 Ohio 389, 696 N.E.2d 201 (Ohio 1998) (Holding that mother had authority to bind her minor child to exculpatory agreement in favor of volunteers and sponsors of nonprofit soccer organization, where cause of action sounded in negligence; agreement could not be disaffirmed by child on whose behalf it was executed).
45 See McInerney v. Slights, 1988 Del. Ch. LEXIS 47, 1988 WL 34528, *7 (Del. Ch. Apr. 13, 1988)(“… where a contract as negotiated cannot be enforced by reason of a legally-recognized policy, a court should simply [imply] a severability clause in the contract if to enforce such an implied term may be done sensibly.”); Abramson v. Juniper Networks, Inc. 115 Cal. App. 4th 638, 658-59, 9 Cal. Rptr. 3d 422 (Cal. Ct. App. 2004)(“Where [*18] a contract has several distinct objects, of which one at least is lawful, and one at least is unlawful, in whole or in part, the contract is void as to the latter and valid as to the rest.”).
46 Orenstein v. Kahn, 13 Del. Ch. 376, 119 A. 444, 446 (Del. Ch. 1922) (“Although the consideration is apportioned on the face of a contract, if there be a special agreement to take the whole or nothing, or if the evidence clearly shows that such was the purpose of the parties, the contract should be entire.”).
47 Id.
48 15 Williston on Contracts § 45:6 (4th ed.). See also Evans, 872 A.2d at 552 (“Generally, a severability clause is enforceable.”).
49 Agreement ¶ 22 (“In the event that any provision of this agreement, or any operation contemplated hereunder, is found by a court of competent jurisdiction to be inconsistent with or contrary to any law, ordinance, or regulation, the latter shall be deemed to control and the Agreement shall be regarded as modified accordingly and, in any event, the remainder of this agreement shall continue in full force and effect.”).
D. The Choice of Forum Provision is Controlling
Having determined that the pre-injury release provision may be excised, the Court now turns to the balance of [*19] the Agreement to determine if any remaining provisions support the Defendants’ motion. In this regard, the Court’s attention is drawn immediately to provisions of the Agreement which suggest that the parties intended to resolve their disputes in California, not Delaware. Not surprisingly, Defendants interpret these provisions as requiring the Court to dismiss this action so that Plaintiffs’ claims may be brought in California as intended. Plaintiffs, not surprisingly, argue that the Agreement’s arbitration and choice of forum provisions do not apply here. The parties’ differing views of these provisions require the Court to interpret the Agreement and to determine in which forum this controversy belongs.
[HN7] Both Delaware and California courts honor the parol evidence rule. 50 This rule provides that “[w]hen two parties have made a contract and have expressed it in a writing to which they have both assented as to the complete and accurate integration of that contract, evidence . . . of antecedent understandings and negotiations will not be admitted for the purpose of varying or contradicting the writing.” 51 To ensure compliance with the parol evidence rule, the court first must determine [*20] whether the terms of the contract it has been asked to construe clearly state the parties’ agreement. 52 In this regard, the court must remember that a contract is not rendered ambiguous simply because the parties disagree as to the meaning of its terms. 53 “Rather, a contract is ambiguous only when the provisions in controversy are reasonably or fairly susceptible of different interpretations or may have two or more different meanings.” 54 Upon concluding that the contract clearly and unambiguously reflects the parties’ intent, the court’s interpretation of the contract must be confined to the document’s “four corners.” 55 The court will interpret the contract’s terms according to the meaning that would be ascribed to them by a reasonable third party. 56
50 See Rhone-Poulenc Basic Chem. Co. v. American Motorists Ins. Co., 616 A.2d 1192, 1196 (Del. 1992); Wolf v. Walt Disney Pictures & Television, 162 Cal. App. 4th 1107, 1126, 76 Cal. Rptr. 3d 585 (Cal. Ct. App. 2008).
51 26 Corbin on Contracts § 573 (1960).
52 Comrie v. Enterasys Networks, Inc., 837 A.2d 1, 13 (Del. Ch. 2003)(citing In Re. Explorer Pipeline Co., 781 A.2d 705, 713 (Del. Ch. 2001)); Wolf, 162 Cal. App. 4th at 1126 (“[w]hen a contract is reduced [*21] to writing, the intention of the parties is to be ascertained from the writing alone, if possible….”)(citation omitted).
53 See Rhone-Poulenc Basic Chem. Co. v. American Motorists Ins. Co., 616 A.2d 1192, 1196 (Del. 1992)(“A contract is not rendered ambiguous simply because the parties do not agree upon its proper construction.”); Curry v. Moody, 40 Cal. App. 4th 1547, 1552, 48 Cal. Rptr. 2d 627 (Cal. Ct. App. 1995)(“When the parties dispute the meaning of a contract term, the trial court’s first step is to determine whether the term is ambiguous … “).
54 Id. (citation omitted).
55 See O’Brien v. Progressive Northern, Ins. Co., 785 A.2d 281, 288-89 (Del. 2001); Wolf, 162 Cal. App.4th at 1126.
56 Comrie, 837 A.2d at 13 (citations omitted); Wolf, 162 Cal. App. 4th at 1126.
As directed by the parol evidence rule, the Court looks first to the Agreement itself (the text within the “four corners”) to determine if it unambiguously reflects the parties’ intent with respect to choice of forum. To discern the parties’ intent, the Court has utilized certain settled tenets of contract interpretation. 57 The first, and [HN8] perhaps most fundamental, tenet of contract interpretation requires the court to render a “reasonable, [*22] fair and practical” interpretation of the contract’s clear and unambiguous terms. 58 In addition, the court must be mindful that “[a] contract should be read as a whole and every part should be interpreted with reference to the whole, and if possible should be so interpreted as to give effect to its general purpose.” 59 In this regard, the court must interpret the contract “so as to conform to an evident consistent purpose” and “in a manner that makes the contract internally consistent.” 60
57 “An abstract distinction exists between ‘construction’ and ‘interpretation,’ in that ‘construction’ is the drawing of conclusions from elements known from, given in, and indicated by the language used, while ‘interpretation’ is the art of finding the true sense of the language itself ….” 17A Am. Jur. 2d Contracts §328.
58 Id. at §338.
59 Id. at §376.
60 Id.
Here, the Agreement’s choice of law and choice of forum provisions are combined in one paragraph, and together they state, in pertinent part, as follows: “This Agreement, and all matters pertaining hereto, including any matter or dispute arising between the parties out of this Agreement, tort or otherwise, shall be interpreted, governed and enforced [*23] according to the laws of the State of California; and the Parties consent and submit to the exclusive jurisdiction and venue of the California Courts … to enforce this Agreement.” 61 After reading this provision, the Court can mine only two sources of possible ambiguity in relation to the facts sub judice: (1) whether the choice of forum provision applies only to actions “to enforce the Agreement;” and, if not (2) whether Plaintiffs’ claims, including their tort claims, “aris[e] out of the Agreement” such that they implicate the choice of law and choice of forum provisions. As discussed below, neither of these phrases render the Agreement ambiguous.
61 Agreement ¶ 21.
As the Court considers whether Plaintiffs’ claims implicate the Agreement’s choice of forum provision, the Court takes notice of the placement of the semicolon to separate the choice of law and choice of forum provisions. At first glance, the semicolon might suggest an intent to separate the two provisions such that one will not modify the other. And, if the provisions are separated, one might read the choice of forum provision as applying only to actions “to enforce the Agreement.” But this reading would run counter to [*24] the theme of the entire Agreement, which is designed to ground all aspects of the parties’ relationship in California. For instance, the Agreement provides that payments, notices, and correspondence between Jane Doe and Cedars are to be mailed to a California location; 62 disputes between the parties are to be resolved by arbitration that must occur in California; and California law is to apply to all disputes between the parties, whether based in tort or contract. 63 Given the parties’ clear intent to base their relationship in California, the Court will not read the placement of a semicolon as an intent to limit the scope of the choice of forum provision. 64
62 Id. at ¶ 17.
63 Id. at ¶ 21.
64 See Reliance-Grant Elevator Equipment Corp. v. Reliance Ball-Bearing Door Hanger Co., 205 A.D. 320, 199 N.Y.S. 476, 478 (N.Y. App. Div. 1923) (“If for the comma we substitute a period, and make the phrase an independent sentence, all ambiguity will disappear, and the cancellation proviso will clearly refer to the duration of the agreement, and not to the making of extensions.”). See also 11 Williston on Contracts § 32:9 (4th ed.) (“Attention is often paid to grammar and punctuation in determining the proper interpretation [*25] of a contract, but a court will disregard both grammatical constructs and the punctuation used in the written agreement where the context of the contract shows that grammatical or punctuation errors have occurred.”); 17A Am. Jur. 2d Contracts § 365 ( [HN9] “while a court, in construing a contract, will give due force to the grammatical arrangement of the clauses, it will disregard the grammatical construction if it is at variance with the intent of the parties as indicated by the contract as a whole.”).
The semicolon issue aside, the choice of law/choice of forum paragraph, according to its terms, applies to all actions that “aris[e] out of the Agreement.” The question, then, is whether Plaintiffs’ tort and contract claims may properly be said to “aris[e] out of the Agreement.” [HN10] “Where there is a contractual relationship between the parties, a cause of action in tort may sometimes arise out of the negligent manner in which the contractual duty is performed, or out of a failure to perform such duty.” 65 The Agreement mandates that “[o]n the arrival date, [Jane Doe] shall transfer, by a Power of Attorney … temporary custody of the Student [John Doe] to Cedars ….” 66 From the moment Jane Doe [*26] dropped her son off at Cedars Academy, therefore, the school was entrusted with “duties correspondent to the role of a caregiver.” 67 All of Plaintiffs’ claims, based as they are on an alleged failure to protect John Doe while he resided in a Cedars Academy dormitory, directly involve Cedars’ contractual undertaking to care for John Doe as “temporary custod[ian].” As such, the Court is satisfied that the claims “aris[e] out of the Agreement.”
65 Eads v. Marks, 39 Cal. 2d 807, 810-11, 249 P.2d 257 (Cal.1952). See also N. Am. Chem. Co. v. Superior Court, 59 Cal. App. 4th 764, 775, 69 Cal. Rptr. 2d 466(Cal. Ct. App. 1997); Southgate Recreation & Park Dist. v. California Assn. for Park & Recreation Ins., 106 Cal. App. 4th 293, 301-02, 130 Cal. Rptr. 2d 728 (Cal. Ct. App. 2003).
66 Agreement ¶ 3.
67 People v. Toney, 76 Cal. App. 4th 618, 621-22, 90 Cal. Rptr. 2d 578 (Cal. Ct. App. 1999)(citing People v. Cochran, 62 Cal.App. 4th 826, 832, 73 Cal. Rptr. 2d 257 (Cal. Ct. App. 1998))(” The terms ‘care or custody’ do not imply a familial relationship but only a willingness to assume duties correspondent to the role of a caregiver.”).
After reviewing all of the provisions within the four corners of the Agreement, the Court concludes that the parties intended to consent to the exclusive jurisdiction [*27] of California courts or arbitration panels to litigate their claims. [HN11] When “there is a forum selection clause in a contract, even when the venue where the suit is filed is proper, the court should decline to proceed when the parties freely agreed that litigation should be conducted in another forum.” 68 Unless the forum selection clause “is shown by the resisting party to be unreasonable under the circumstances,” such clauses are prima facie valid. 69 A choice of forum provision will be deemed “unreasonable” only when its enforcement would seriously impair the plaintiff’s ability to pursue its cause of action.” 70 Mere inconvenience or additional expense is not sufficient evidence of unreasonableness. 71
68 Eisenmann Corp. v. Gen. Motors Corp., 2000 Del. Super. LEXIS 25, 2000 WL 140781, *7 (Del. Super. Jan. 28, 2000) (citing Elia Corp. v. Paul N. Howard Co., 391 A.2d 214, 216 (Del. Super. 1978)).
69 Id. (citing M/S Bremen v. Zapata Off-Shore Co., 407 U.S. 1, 10, 92 S. Ct. 1907, 32 L. Ed. 2d 513 (1972)). Defendants have argued that the forum selection provision should be enforced if California has a “material connection” to the controversy. This inquiry is implicated by a choice of law analysis, but not by a choice of forum analysis. See Weil v. Morgan Stanley DW, Inc., 877 A.2d 1024 (Del. Ch. 2005).
70 Id.
71 Elia Corp., 391 A.2d at 216.
Other [*28] than arguing that the Agreement is invalid in its entirety because it is unconscionable, Plaintiffs do not provide any support for their contention that the Court should ignore the forum selection clause. 72 They have not, for instance, pointed to any circumstance that would suggest that litigating their claims in California “would seriously impair [their] ability to pursue [their] cause of action.” 73 Having determined that the Agreement is valid and enforceable as to both Jane Doe and John Doe, the Court is left with no basis in fact or law to suggest that the forum selection clause seriously impairs the Plaintiffs’ ability to pursue their cause of action. 74 Accordingly, given the well settled law [HN12] in Delaware that choice of forum provisions are enforceable absent a showing of unreasonableness, the Court must enforce the provision here and decline to exercise jurisdiction in this matter.
72 Beyond the pre-injury release provision, Plaintiffs have pointed to nothing in the Agreement to support an unconscionability argument, and the Court has discerned no basis for the argument on its own.
73 Eisenmann Corp., 2000 Del. Super. LEXIS 25, 2000 WL 140781 at 7 (citing M/S Bremen, 407 U.S. 1 at 10, 92 S. Ct. 1907, 32 L. Ed. 2d 513).
74 Here again, Plaintiffs [*29] have not argued that their ability to pursue their claims in California would be “seriously impaired,” e.g. by virtue of a statute of limitations that would bar their claims there or otherwise, and the Court can fathom no reason why the identical claims sub judice could not be raised in California.
Since the Court has determined that it should decline to exercise its jurisdiction over this dispute for the reasons set forth above, the Court need not decide the validity of the mandatory arbitration provision, nor whether Aspen should be dismissed based upon a lack of personal jurisdiction. These questions will be left to the California forum (be it a court or arbitration panel) that ultimately decides this case.
VI.
Based on the foregoing, Defendants’ Motion to Dismiss is hereby GRANTED.
IT IS SO ORDERED.
/s/ Joseph R. Slights, III
Joseph R. Slights, III, Judge
Amgen Tour of California Slects 2012 teams
Posted: March 29, 2012 Filed under: California, Cycling, Racing | Tags: Amgen, Amgen Tour of California, Bicycle Racing, BMC Racing Team, California, Chris Horner, Cycling, Liquigas-Cannondale, Los Angeles, Robbie McEwen, Tour of California, USA Leave a commentsixteen teams selected to compete in 2012 amgen tour of california
World Class Field Assembled for America’s Premier Cycling RaceSet for May
LOS ANGELES (March 13, 2012) – Race organizers have named the 16 teams, including some of the world’s best international and domestic squads, to compete in the 2012 Amgen Tour of California, which will take place May 13 to 20. Comprised of United Cycling International (UCI) Pro, Pro Continental and Continental squads, the 16 world class teams chosen to participate in the 2012 race will include Olympic hopefuls and Tour de France contenders representing more than 20 countries, giving fans around the world a preview of what is to come in July in both France and London.
Since the inaugural race in 2006, the Amgen Tour of California has consistently drawn the world’s best cycling talent while growing to become one of the most important races on the international calendar. In 2012, the race will play an even more significant role as it will be where top competitors test themselves in preparation for the Tour de France and the 2012 Summer Olympic Games taking place in London this summer.
As previously announced by race presenters AEG, the 2012 Amgen Tour of California will start in Santa Rosa on May 13 and travel more than 750 miles throughout some of California’s most majestic and iconic highways, roadways and coastlines before the final stage on May 20 when the race will start in Beverly Hills on Rodeo Drive and finish at L.A. LIVE in downtown Los Angeles.
The 16 elite teams include the newly restructured RadioShack-Nissan-Trek, whose roster includes Amgen Tour of California defending champion Chris Horner, Jens Voigt and current U.S. National Road Race Champion, Matthew Busche who will compete against a field that includes the No. 1-ranked team in the world, Omega Pharma – QuickStep, featuring three-time Amgen Tour of California winner Levi Leipheimer and Tom Boonen; Garmin-Barracuda, featuring Amgen Tour of California veterans Dave Zabriskie and Tom Danielson; and 2011 Tour de France champion BMC Racing including veteran cyclist and fan favorite George Hincapie and one of the fastest rising stars in cycling today, Tejay van Garderen. Also, competing in California for the seventh consecutive year will be the Rabobank Cycling Team, featuring Laurens Ten Dam and Luis Leon Sanchez. Liquigas-Cannondale is set to compete as well, featuring American cyclists, Ted King and Timothy Duggan, as well as Peter Sagan, who has taken multiple stages in previous editions of the Amgen Tour of California. Competing in California for the first time will be the Australian GreenEDGE Cycling Team, who plan to bring Luke Durbridge and Robbie McEwen. AG2R La Mondiale is also on the roster, featuring Nicolas Roche and Rinaldo Nocentini.
The 2012 Amgen Tour of California roster includes the following 16 teams:
UCI ProTeams
- BMC Racing Team (USA)
- Rabobank Cycling Team (NED)
- Garmin- Barracuda (USA)
- RadioShack-Nissan-Trek (LUX)
- Liquigas-Cannondale (ITA)
- Omega Pharma – QuickStep (BEL)
- AG2R La Mondiale (FRA)
- GreenEDGE Cycling Team (AUS)
UCI Professional Continental Teams
- Team Spidertech Powered By C10 (CAN)
- UnitedHealthcare Pro Cycling Team (USA)
- Project 1t4i (NED)
- Colombia-Coldeportes (COL)
UCI Continental Teams
- Team Optum Presented By Kelly Benefit Strategies (USA)
- Bissell Pro Cycling (USA)
- Team Exergy (USA)
- Bontrager Livestrong Team (USA)
“These 16 teams represent the most prestigious field of talent ever to compete in our race and we are honored to have them join us for the seventh edition of the Amgen Tour of California,” said Kristin Bachochin, executive director of the race and senior vice president of AEG Sports. “Cycling fans will see some favorite and familiar faces back in California this May, as well as a few new teams who will be racing with us for the first time. We look forward to presenting another impressive race for fans around the world.”
There are a total of 11 teams returning to the Amgen Tour of California for 2012, including AG2R La Mondiale (FRA); BMC Racing Team (USA); Rabobank Cycling Team (NED); Garmin- Barracuda (USA); RadioShack-Nissan-Trek (LUX); Omega Pharma – QuickStep (BEL); Liquigas-Cannondale (ITA); Team Spidertech Powered By C10 (CAN); UnitedHealthcare Pro Cycling Team (USA); Team Optum Presented By Kelly Benefit Strategies (USA) and Bissell Pro Cycling (USA).
“Amgen Tour of California has always been a first class event, with great courses, amazing organization, and incredible fans,” said Chris Horner, Amgen Tour of California’s defending champion.
“This year’s event looks to be the best ever, with an even more challenging route and a roster of 16 of the best teams in the world. I’m looking forward to coming back to defend my title – it promises to be a fantastic eight days in California!”
“The Amgen Tour of California is always a big goal for our team,” said Jonathan Vaughters, CEO, Slipstream Sports and Director Sportif, Team Garmin-Barracuda. “The Amgen Tour of California is one of the premier races in the U.S. and one we take a lot of pride in. Every year, the competition is intense, the crowds get even bigger, and this year will be no exception. We’re very excited to get back to California and we hope to give fans plenty of reasons to cheer.”
Teams new to the Amgen Tour of California roster include the newly formed GreenEDGE Cycling Team (AUS); Project 1t4i (NED); Colombia-Coldeportes (COL) Team Exergy (USA); and Bontrager Livestrong Team (USA).
“We are thrilled to ride the Amgen Tour of California in our debut season,” said Shayne Bannan, General Manager, GreenEDGE. “It’s a great race and a fantastic event. It’s real priority for us to bring a strong team to California and the riders really want to go there and make their mark for GreenEDGE. There are a lot of races that stand out on the calendar and the Amgen Tour of California is one of those we don’t want to miss. Having it as Robbie McEwen’s last race, will make it extra special for us as an Australian team.”
In addition to the pro cycling teams confirmed for the 2012 Amgen Tour of California, Amgen’s Breakaway from Cancer® team will also be returning, traveling with the race from start to finish to celebrate cancer survivors and raise awareness about the free support services available to people affected by cancer from the four non-profit Breakaway from Cancer partner organizations.
“At Amgen, we are excited for our seventh Amgen Tour and impressed by the caliber of the cycling teams joining the field this year,” said Stuart Arbuckle, vice president and general manager, Amgen Oncology. “We are even more excited about how Amgen’s Breakaway from Cancer initiative has taken off since we launched it in 2006, the inaugural year of the Tour. This year we will host Breakaway Mile events and recognize Breakaway from Cancer Champions in four host cities: Santa Rosa, Livermore, Clovis and Los Angeles, and our Breakaway from Cancer partner organizations will join Amgen to host our Breakaway from Cancer tent in the festival area in every finish city.”
For more information about the teams competing in the 2012 Amgen Tour of California, please visit the official race website, www.AmgenTourofCalifornia.com. For more information about Breakaway from Cancer, visit breakawayfromcancer.com.
About the Amgen Tour of California
The largest cycling event in America, the 2012 Amgen Tour of California is a Tour de France-style cycling road race, presented by AEG that challenges the world’s top professional cycling teams to compete along a demanding course from May 13-20, 2012. In a 2011 poll conducted by CyclingNews.com, the Amgen Tour of California was voted the fourth best race in the world, and the No. 1 race in America.
About AmgenAmgen discovers, develops, manufactures, and delivers innovative human therapeutics. A biotechnology pioneer since 1980, Amgen was one of the first companies to realize the new science’s promise by bringing safe, effective medicines from lab to manufacturing plant to patient. Amgen therapeutics have changed the practice of medicine, helping millions of people around the world in the fight against cancer, kidney disease, rheumatoid arthritis, bone disease and other serious illnesses.
With a deep and broad pipeline of potential new medicines, Amgen remains committed to advancing science to dramatically improve people’s lives. To learn more about our pioneering science and vital medicines, visit http://www.amgen.com. Follow us on www.twitter.com/amgen.
About AEG
AEG is one of the leading sports and entertainment presenters in the world. AEG, a wholly owned subsidiary of The Anschutz Company, owns or controls a collection of companies including facilities such as STAPLES Center, The Home Depot Center, Sprint Center, The O2, NOKIA Theatre L.A. LIVE and Best Buy Theater Times Square; sports franchises including the Los Angeles Kings (NHL), two Major League Soccer franchises, two hockey franchises operated in Europe, management of privately held shares of the Los Angeles Lakers, the ING Bay to Breakers foot race and the Amgen Tour of California cycling road race; AEG Live, the organization’s live-entertainment division, is a collection of companies dedicated to all aspects of live contemporary music performance, touring and a variety of programming and multi-media production. For more information, visit AEG today at www.aegworldwide.com.
About Breakaway from Cancer®
Founded in 2005 by Amgen, Breakaway from Cancer® is a national initiative to increase awareness of important resources available to people affected by cancer – from prevention through survivorship. Breakaway from Cancer is a collaboration between Amgen and four nonprofit partner organizations: Prevent Cancer Foundation, Cancer Support Community (formerly known as The Wellness Community), Patient Advocate Foundation, and National Coalition for Cancer Survivorship. These organizations offer a broad range of support services complementing those provided by a patient’s team of healthcare professionals. For more
information, please visit www.breakawayfromcancer.com or follow us @BreakawayCancer on Twitter.
# # #
Media Contacts: Michael Roth, AEG Steven Bram, GolinHarris
213-742-7155 213-438-8818
mroth sbram
Steven Gregory Bram
Associate, Consumer Marketing
GolinHarris
T. +1 213.438.8818
E. sbram
Wrong release for the activity almost sinks YMCA
Posted: March 14, 2011 Filed under: California, Release (pre-injury contract not to sue), Summer Camp | Tags: Adventure travel, Baseball Bat, Child, Day Camp, James H. Moss, JimMoss, Minor, Outdoor recreation, Parental Responsibility, Parental Rights, Rock climbing, YMCA 1 CommentA release must apply to the activity and the person who you want to make sure cannot sue you.
McGowan et al v. West End YMCA, 2002 Cal. App. Unpub. LEXIS 3018
In this case, a mother signed her son up to attend a day camp sponsored by the YMCA. While attending the day camp, the child was accidentally hit in the head by another child with a baseball bat. The mother sued for the child’s injuries.
The YMCA argued that the mother had signed a release, and therefore, the YMCA should be dismissed. The mother argued that the release only applied to her, not her child because the release was unclear as to who was being released in the document. (The mother argued the release was required for her to walk around the YMCA to sign her son up for the camp.)
In this case, the YMCA used its general release for people on the premises of the YMCA as a fitness facility, for its day camp. The release did not indicate a parent would be signing for the child nor did the release look to the issues the child would encounter, only an adult using the YMCA or any other gym.
The mother argued because the release did not identify her son, the injured party, as who the release applied to the release only applied to her while she was on the premises. Nothing in the document indicated that the mother was signing a release on behalf of her son.
Like most releases used in gyms and fitness centers it is written for the adult signing up to use the gym.
Under the law, “An agreement exculpating the drafter from liability for his or her own future negligence must clearly and explicitly express that this is the intent of the parties.”
What saved the YMCA was a technicality in the language of the release. To go to the day camp, the child attending must be a member of the YMCA. The mother of the injured child was not a member of the YMCA. However, her son was. Because the release referred to the YMCA member as the person giving up their right to sue, the court held the release applied to the child not the mother. This language allowed the court to find for the YMCA.
So?
Releases are not documents you can merely find on the internet or put together based on language that sounds good. Think about the contract you used to purchase your house. It was a 10 to 20 page document used to buy something of value greater than $100,000 or so.
If someone is suing you for several million dollars do you want to rely on a document that you put together or worse stole from the business down the street.
Here again you have to make sure your release is properly written. You may have several different releases for different parties or activities. I commonly suggest that people use different paper to print the different release forms. Here the YMCA should have had a general release for use of its fitness and other facilities and a release for its day camp. One could have been printed on white paper and the other on green. Even better, put the release online and save paper.
Your release must identify who is protected by the release and who the release is going to stop from suing. In many cases, one parent will sign on behalf of a child. However, in some states, unless the language is clear, that parent may not be preventing the other parent from suing. Identify every person who can sue in the release as well as every person who cannot be sued. When in doubt, have both parents sign the release.
For information on other states where a parent can sign away a minor’s right to sue see: States that allow a parent to sign away a minor’s right to sue–Updated 2011
What do you think? Leave a comment.
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McGowan et al v. West End YMCA, 2002 Cal. App. Unpub. LEXIS 3018
Posted: March 14, 2011 Filed under: California, Legal Case, Minors, Youth, Children, Release (pre-injury contract not to sue), Summer Camp Leave a commentMcGowan et al v. West End YMCA, 2002 Cal. App. Unpub. LEXIS 3018
Denitra McGowan et al., Plaintiffs and Appellants, v. West End YMCA, Defendant and Respondent.
E029450
COURT OF APPEAL OF CALIFORNIA, FOURTH APPELLATE DISTRICT, DIVISION TWO
2002 Cal. App. Unpub. LEXIS 3018
March 15, 2002, Filed
NOTICE: [*1] NOT TO BE PUBLISHED IN OFFICIAL REPORTS CALIFORNIA RULES OF COURT, RULE 977(a), PROHIBITS COURTS AND PARTIES FROM CITING OR RELYING ON OPINIONS NOT CERTIFIED FOR PUBLICATION OR ORDERED PUBLISHED, EXCEPT AS SPECIFIED BY RULE 977(B). THIS OPINION HAS NOT BEEN CERTIFIED FOR PUBLICATION OR ORDERED PUBLISHED FOR PURPOSES OF RULE 977.
PRIOR HISTORY: APPEAL from the Superior Court of San Bernardino County. Super.Ct.No. RCV 42286. Ben T. Kayashima, Judge.
DISPOSITION: Affirmed.
CORE TERMS: summary judgment, extrinsic evidence, ambiguous, uncontradicted, matter of law, undersigned, parol evidence, inadvertently omitted, membership, executing, daycare, lawsuit, notice, physical injuries, financial assistance, indemnity agreement, unenforceable, unambiguous, negligently, undisputed, enrollment, pertained, signature, enrolling, absurdity, enrolled, construe, supplied, pertain, signing
COUNSEL: Ritchie, Klinkert & McCallion, James E. Klinkert, James McCallion and Ralph Harrison for Plaintiffs and Appellants.
Allie & Schuster, James P. Allie and Coreen R. Walson for Defendant and Respondent.
JUDGES: Gaut, J. We concur: Ramirez, P.J., Hollenhorst, J.
OPINION BY: Gaut
OPINION
1. Introduction
Plaintiffs Denitra McGowan and Deshon McGowan, a minor, (plaintiffs) appeal judgment entered against them following summary judgment entered in favor of defendant West End YMCA (the YMCA).
Denitra McGowan enrolled her son, Deshon McGowan, in the YMCA’s summer camp daycare program. In the process of doing so, she signed various documents, including a release of liability. Deshon was injured while participating [*2] in the program. Plaintiffs filed a personal injury lawsuit against the YMCA. The trial court granted the YMCA’s motion for summary judgment on the ground plaintiffs’ lawsuit was barred by the release.
Ms. McGowan contends the trial court erred in granting summary judgment because the release only applied to physical injuries she sustained while on the YMCA premises, and did not pertain to Deshon since the release makes no reference to him and does not state that she signed the release on his behalf. She further argues that the trial court should not have considered parol evidence in determining the release applied to Deshon because the release was unambiguous. Even if it was ambiguous, plaintiffs argue, the court should have denied summary judgment because there was a triable issue as to whether the parties to the release intended it to apply to Deshon and an ambiguous release is unenforceable.
We conclude the trial court properly granted summary judgment. The release indicated it pertained to YMCA members. Since Ms. McGowan was not a YMCA member, but signed the release, it was unclear as to whom the release affected. The court appropriately considered parol evidence to [*3] determine this matter. Uncontradicted extrinsic evidence established that Deshon was the subject of the release and Ms. McGowan executed the release on his behalf. Accordingly, we affirm summary judgment in favor of the YMCA.
2. Facts and Procedural Background
The following facts are undisputed. Ms. McGowan submitted an application for YMCA financial assistance to assist her in paying for Deshon to attend the summer daycare program. In May 1998, the YMCA notified Ms. McGowan that it had approved her request for financial assistance.
On June 10, 1998, Ms. McGowan filled out and signed various YMCA forms, including a membership application for Deshon to become a member and a registration form for summer day camp. When Ms. McGowan returned the completed forms on June 12, 1998, a staff member requested Ms. McGowan to execute two additional forms, which included a general policies statement regarding YMCA members and a form release and waiver of liability and indemnity agreement. Ms. McGowan signed and returned the two forms.
On August 19, 1998, while Deshon was at summer day camp, another child accidentally struck Deshon in the head with a baseball bat. In their lawsuit, [*4] plaintiffs alleged the YMCA negligently operated the daycare center and negligently supervised Deshon and the other children enrolled in the program.
Ms. McGowan acknowledged during her deposition that her signature was on the release, but claimed she did not remember signing it. She admitted that she was not a YMCA member. Ms. McGowan further stated that she was aware she was enrolling Deshon as a YMCA member and this was done for the purpose of having Deshon attend the program while she worked.
The YMCA filed a summary judgment motion based on the theory plaintiffs’ action was barred by the release of liability. Plaintiffs filed opposition arguing that the release did not pertain to Deshon since the release did not state it applied to Deshon or that is was signed on his behalf.
The trial court granted the YMCA’s summary judgment motion on the ground it was undisputed Ms. McGowan signed the release on behalf of Deshon and therefore plaintiffs’ action was barred.
3. Discussion
Plaintiffs argue the release did not bar their action because the release does not state that Ms. McGowan signed the release on Deshon’s behalf. The release states that “THE UNDERSIGNED [*5] HEREBY RELEASES, WAIVES, DISCHARGES AND COVENANTS NOT TO SUE the YMCA.” Plaintiffs claim that the release was limited to a waiver of liability as to physical injuries sustained by Ms. McGowan while on the YMCA premises.
The goal of contractual interpretation is “to give effect to the mutual intention of the parties as it existed at the time of contracting . . . .” 1 When, as here, “a contract is reduced to writing, the intention of the parties is to be ascertained from the writing alone, if possible . . . .” 2 Accordingly, if the language of the contract is plain and unambiguous, and is not reasonably susceptible of a different meaning, no extrinsic evidence is admissible to prove that the parties intended a different interpretation. 3 Under those circumstances, the proper interpretation is purely a matter of law, 4 which may be resolved by summary judgment. 5
1 Civil Code section 1636. Unless otherwise noted, all statutory references are to the Civil Code.
2 Section 1639.
3 Pacific Gas & E. Co. v. G. W. Thomas Drayage etc. Co. (1968) 69 Cal.2d 33, 37-40, 69 Cal. Rptr. 561, 442 P.2d 641.
[*6]
4 Parsons v. Bristol Development Co. (1965) 62 Cal.2d 861, 865, 44 Cal. Rptr. 767, 402 P.2d 839.
5 Niederer v. Ferreira (1987) 189 Cal. App. 3d 1485, 1499, 234 Cal. Rptr. 779.
On the other hand, extrinsic evidence may be admitted and considered if the contract is ambiguous. 6 If extrinsic evidence is admitted but is not in conflict, then the issue remains one of law, even though the uncontradicted extrinsic evidence may give rise to conflicting inferences. 7
6 Pacific Gas & E. Co. v. G. W. Thomas Drayage etc. Co., supra, 69 Cal.2d at page 40; Niederer v. Ferreira, supra, 189 Cal. App. 3d at pages 1499-1500.
7 Garcia v. Truck Ins. Exchange (1984) 36 Cal.3d 426, 439, 204 Cal. Rptr. 435, 682 P.2d 1100; Parsons v. Bristol Development Co., supra, 62 Cal.2d at page 866, footnote 2.
[*7] “When a contract is in any of its terms or provisions ambiguous or uncertain, ‘it is primarily the duty of the trial court to construe it after a full opportunity afforded all the parties in the case to produce evidence of the facts, circumstances and conditions surrounding its execution and the conduct of the parties relative thereto.'” 8
8 Walsh v. Walsh (1941) 18 Cal.2d 439, 443, 116 P.2d 62, quoting Barlow v. Frink (1915) 171 Cal. 165, 172-173, 152 P. 290.
“‘An agreement exculpating the drafter from liability for his or her own future negligence must clearly and explicitly express that this is the intent of the parties.’ [Citation.] But ‘to be effective, a release need not achieve perfection; only on Draftsman’s Olympus is it feasible to combine the elegance of a trust indenture with the brevity of a stop sign.’ [Citation].” 9 Whether a release is ambiguous is a question of law which we review de novo. 10
9 Randas v. YMCA of Metropolitan Los Angeles (1993) 17 Cal.App.4th 158, 162.
[*8]
10 Baker Pacific Corp. v. Suttles (1990) 220 Cal. App. 3d 1148, 1153, 269 Cal. Rptr. 709.
We first consider whether the release is ambiguous. We conclude the release language is clear and explicit as to its terms 11 but unclear as to whose right to sue was waived since Ms. McGowan was not a YMCA member and the release stated it pertained to members.
11 Randas v. YMCA of Metropolitan Los Angeles, supra, 17 Cal.App.4th at page 163.
The first paragraph of the release is entitled “CONDITIONS OF MEMBERSHIP,” and states, among other things, that members must present their membership cards when using the YMCA’s facilities and “As a member of the YMCA you are agreeing to follow the policies, procedures and appropriate behaviors for the safety and comfort of all members and guests.” 12 The release further states, under the heading, “RELEASE AND WAIVER [*9] OF LIABILITY AND INDEMNITY AGREEMENT,” that, as a condition of the “undersigned’s” use of the YMCA facilities or equipment or participation in any way, that the undersigned release the YMCA from all liability in the event the undersigned is physically injured while using the YMCA facilities or equipment. Such language clearly is directed toward members. Therefore the release did not apply to Ms. McGowan.
12 Italics added.
Since the release does not state who was the member affected by the release, we look to the extrinsic evidence. “It has been held repeatedly, that it is not a violation of the parol evidence rule to prove by extrinsic evidence the identity of the parties to an agreement.” 13 “‘Parol evidence is competent to show whom the parties intended should be bound or benefited.'” 14 The uncontradicted extrinsic evidence in this case establishes that the release applied to Deshon.
13 Maulhardt v. Cal. Director of Public Works (1959) 168 Cal. App. 2d 723, 735, 336 P.2d 631; Branch v. Bekins Van and Storage Company (1930) 106 Cal.App. 623, 635, 290 P. 146.
[*10]
14 Maulhardt v. Cal. Director of Public Works, supra, 168 Cal. App. 2d at page 735, quoting Escondido Oil etc. Co. v. Glaser (1904) 144 Cal. 494, 499, 77 P. 1040; Branch Bekins Van and Storage Company, supra, 106 Cal.App. at page 635.
Section 1638 states that “The language of a contract is to govern its interpretation, if the language is clear and explicit, and does not involve an absurdity.” Construing the release as applied to Ms. McGowan rather than Deshon involves an absurdity since Ms. McGowan was not a YMCA member, whereas Deshon was, and Ms. McGowan executed the other enrollment documents at the same time she was either returning or executing other documents on Deshon’s behalf for the purpose of enrolling him in day camp. Since Ms. McGowan was not a YMCA member and the other YMCA enrollment documents indicated they were signed on Deshon’s behalf, it would be absurd to construe the release as applying to Ms. McGowan rather than Deshon.
Thus, while in Hohe v. San Diego Unified School District 15 the court [*11] held the issue of the parties’ intent in executing an ambiguous release was a jury question, here the uncontradicted extrinsic evidence established as a matter of law that the release was executed by Ms. McGowan on Deshon’s behalf and applied to him. It should be obvious to all reasonable persons that language indicating Ms. McGowan was executing the release on Deshon’s behalf was inadvertently omitted from the signature line. 16 “Were we to adopt respondent’s strict interpretation of words we would be subverting the only reasonable interpretation of the instrument as a whole.” 17
15 Hohe v. San Diego Unified Sch. Dist. (1990) 224 Cal. App. 3d 1559, 274 Cal. Rptr. 647.
16 Heidlebaugh v. Miller (1954) 126 Cal. App. 2d 35, 40, 271 P.2d 557.
17 Heidlebaugh v. Miller, supra, 126 Cal. App. 2d at page 40.
In Heidlebaugh v. Miller, 18 the contract in question contained the phrase, “seller may, if [*12] he so desires, but shall not be obliged so to do, sell said property at public or private sale, with or with notice to Purchaser . . . .” 19 The court upheld nonsuit on the ground no notice of the sale was required. 20 The Heidlebaugh court concluded as a matter of law that the parties intended that the contract state “with or without notice,” and that the word, “out,” had been inadvertently omitted from the contract. 21
18 Heidlebaugh v. Miller, supra, 126 Cal. App. 2d 35.
19 Heidlebaugh v. Miller, supra, 126 Cal. App. 2d at page 36.
20 Heidlebaugh v. Miller, supra, 126 Cal. App. 2d at page 41.
21 Heidlebaugh v. Miller, supra, 126 Cal. App. 2d at page 40.
The Heidlebaugh court stated that, “‘Where, by inadvertence, words are plainly omitted from a contract, they may be supplied by construction if the context indicates what they are.'” 22 Such [*13] alteration of the contract is permitted because, “‘The court will if possible give effect to all parts of the instrument and an interpretation which gives a reasonable meaning to all its provisions will be preferred to one which leaves a portion of the writing useless or inexplicable; and if this is impossible an interpretation which gives effect to the main apparent purpose of the contract will be favored. Indeed, in giving effect to the general meaning of a writing, particular words are sometimes wholly disregarded, or supplied, or transposed. . . .'” 23
22 Heidlebaugh v. Miller, supra, 126 Cal. App. 2d at page 38.
23 Heidlebaugh v. Miller, supra, 126 Cal. App. 2d at page 38.
Here, uncontradicted evidence establishes that words indicating Ms. McGowan was signing the release on Deshon’s behalf were inadvertently omitted from the release. “A contract may be explained by reference to the circumstances under which it was made, and the matter [*14] to which it relates.” 24 Accordingly, we conclude as a matter of law the release barred plaintiffs’ action against the YMCA.
24 Section 1647.
Plaintiffs also argue the release is unenforceable because it affects public policy. Plaintiffs did not raise this argument in the trial court and thus it is waived on appeal. 25
25 In re Aaron B. (1996) 46 Cal.App.4th 843, 846.
4. Disposition
The judgment is affirmed. The YMCA is awarded its costs on appeal.
Gaut, J.
We concur:
Ramirez, P.J.
Hollenhorst, J.
Troxel v. Granville, 530 U.S. 57; 120 S. Ct. 2054; 147 L. Ed. 2d 49; 2000 U.S. LEXIS 3767; 68 U.S.L.W. 4458
Posted: January 3, 2011 Filed under: California, Legal Case, Minors, Youth, Children | Tags: Grandparents, Minor's right to sue, Parental Rights Leave a commentTroxel v. Granville, 530 U.S. 57; 120 S. Ct. 2054; 147 L. Ed. 2d 49; 2000 U.S. LEXIS 3767; 68 U.S.L.W. 4458
Jenifer Troxel, et vir v. Tommie Granville
No. 99-138
Supreme Court of the United States
530 U.S. 57; 120 S. Ct. 2054; 147 L. Ed. 2d 49; 2000 U.S. LEXIS 3767; 68 U.S.L.W. 4458; 2000 Cal. Daily Op. Service 4345; 2000 Daily Journal DAR 5831; 2000 Colo. J. C.A.R. 3199; 13 Fla. L. Weekly Fed. S 365
January 12, 2000, Argued
June 5, 2000, Decided
Prior History: On Writ of Certiorari to the Supreme Court of Washington.
Disposition: 137 Wash. 2d 1, 969 P. 2d 21, affirmed.
Decision:
Application of Washington state child-visitation-rights statute to allow visitation rights to paternal grandparents held to violate mother’s Fourteenth Amendment due process right to bring up her children.
Summary:
A Washington state statute (1) permitted any person to petition a state court for child visitation rights at any time, and (2) authorized the court to order visitation rights for any person when visitation might serve the best interest of the child. Pursuant to the statute, paternal grandparents filed a petition to obtain visitation rights with their deceased son’s children. After the Washington Superior Court for Skagit County granted the grandparents more visitation time than the children’s mother desired, the mother appealed. While the appeal was pending, the mother, who had never married the children’s father, was married to a father of six, who adopted the two children. The Washington Court of Appeals reversed the visitation order and dismissed the petition for visitation (87 Wash App 131, 940 P2d 698). The Washington Supreme Court, affirming the judgment of the Court of Appeals, expressed the view that the statute infringed on the fundamental right, under the Federal Constitution, of parents to rear their children (137 Wash 2d 1, 969 P2d 21).
On certiorari, the United States Supreme Court affirmed. Although unable to agree on an opinion, six members of the court agreed that application of the state statute to allow visitation rights to the paternal grandparents violated the mother’s right, under the due process clause of the Constitution’s Fourteenth Amendment, to bring up her children.
O’Connor, J., announced the judgment of the court and, in an opinion joined by Rehnquist, Ch. J., and Ginsburg and Breyer, JJ., expressed the view that (1) the Fourteenth Amendment’s due process clause protected the fundamental right of parents to make decisions concerning the care, custody, and control of their children; and (2) as applied to the mother and her family in the instant case, the state statute unconstitutionally infringed on that fundamental right, as (a) the grandparents did not allege, and no court had found, that the mother was an unfit parent, (b) there was a traditional presumption that fit parents acted in the best interests of their children, and (c) there was no allegation that the mother ever sought to cut off visitation entirely.
Souter, J., concurring in the judgment, expressed the view that there should be a simple affirmance of the facial invalidation, by the Supreme Court of Washington, of its own state statute.
Thomas, J., concurring in the judgment, expressed the view that (1) the appropriate standard of review for the alleged infringement of fundamental constitutional rights was strict scrutiny, and (2) in the case at hand, the state lacked even a legitimate interest in second-guessing a fit parent’s decision regarding visitation with third parties.
Stevens, J., dissenting, expressed the view that (1) certiorari should have been denied, because there was no pressing need to review a decision of a state’s highest court that merely required the state legislature to draft a better statute; and (2) the due process clause left room for states to consider the impact on a child of possibly arbitrary parental decisions that neither served nor were motivated by the best interests of the child.
Scalia, J., dissenting, expressed the view that the power that the Constitution conferred upon a judge, as a judge, did not entitle the judge to deny legal effect to laws that, in the judge’s view, infringed upon what was, in the judge’s view, parents’ unenumerated constitutional right to rear their children.
Kennedy, J., dissenting, expressed the view that the Washington Supreme Court’s judgment ought to be vacated and the case ought to be remanded for further proceedings, because the Washington Supreme Court had erred in its central conclusion that the best-interests-of-the-child standard was never appropriate in third-party visitation cases.
Lawyers’ Edition Headnotes:
[***LEdHN1]
Constitutional Law §528.5
· due process—parental right to raise children—grandparents’ visitation rights Headnote:[1A][1B][1C][1D][1E]
Application of a state statute—which (1) permits any person to petition a state court for child visitation rights at any time, and (2) authorizes the court to order visitation rights for any person when visitation may serve the best interest of the child—to allow visitation rights to two children’s paternal grandparents violates the mother’s due process right, under the Federal Constitution’s Fourteenth Amendment, to bring up her children. [Per O’Connor, J., Rehnquist, Ch. J., and Ginsburg, Breyer, Souter, and Thomas, JJ. Dissenting:
Stevens, Scalia, and Kennedy, JJ.]
[***LEdHN2]
Constitutional Law §528.5
· due process—child visitation
Headnote:[2A][2B]
With respect to the right, under the due process clause of the Federal Constitution’s Fourteenth Amendment, of a custodial parent to bring up his or her children without governmental interference, the constitutionality of the application of a standard for awarding child visitation rights depends on specific factors; the constitutionality protections in this area are best elaborated with care. [Per O’Connor, J., Rehnquist, Ch. J., and Ginsburg, Breyer, and Kennedy, JJ. Dissenting in part: Scalia, J.] SYLLABUS: Washington Rev. Code § 26.10.160(3) permits “any person” to petition for visitation rights “at any time” and authorizes state superior courts to grant such rights whenever visitation may serve a child’s best interest. Petitioners Troxel petitioned for the right to visit their deceased son’s daughters. Respondent Granville, the girls’ mother, did not oppose all visitation, but objected to the amount sought by the Troxels. The Superior Court ordered more visitation than Granville desired, and she appealed. The State Court of Appeals reversed and dismissed the Troxels’ petition. In affirming, the State Supreme Court held, inter alia, that § 26.10.160(3) unconstitutionally infringes on parents’ fundamental right to rear their children. Reasoning that the Federal Constitution permits a State to interfere with this right only to prevent harm or potential harm to the child, it found that § 26.10.160(3) does not require a threshold showing of harm and sweeps too broadly by permitting any person to petition at any time with the only requirement being that the visitation serve the best interest of the child.
Held: The judgment is affirmed.
137 Wn.2d 1, 969 P.2d 21, affirmed.
Justice O’Connor, joined by The Chief Justice, Justice Ginsburg, and Justice Breyer, concluded that § 26.10.160(3), as applied to Granville and her family, violates her due process right to make decisions concerning the care, custody, and control of her daughters. Pp. 5-17.
(a) The Fourteenth Amendment’s Due Process Clause has a substantive component that “provides heightened protection against government interference with certain fundamental rights and liberty interests,” Washington v. Glucksberg, 521 U.S. 702, 720, 138 L. Ed. 2d 772, 117 S. Ct. 2258, including parents’ fundamental right to make decisions concerning the care, custody, and control of their children, see, e.g., Stanley v. Illinois, 405 U.S. 645, 651. Pp. 5-8, 31 L. Ed. 2d 551, 92 S. Ct. 1208.
(b) Washington’s breathtakingly broad statute effectively permits a court to disregard and overturn any decision by a fit custodial parent concerning visitation whenever a third party affected by the decision files a visitation petition, based solely on the judge’s determination of the child’s best interest. A parent’s estimation of the child’s best interest is accorded no deference. The State Supreme Court had the opportunity, but declined, to give § 26.10.160(3) a narrower reading. A combination of several factors compels the conclusion that § 26.10.160(3), as applied here, exceeded the bounds of the Due Process Clause. First, the Troxels did not allege, and no court has found, that Granville was an unfit parent. There is a presumption that fit parents act in their children’s best interests, Parham v. J. R., 442 U.S. 584, 602, 61 L. Ed. 2d 101, 99 S. Ct. 2493; there is normally no reason for the State to inject itself into the private realm of the family to further question fit parents’ ability to make the best decisions regarding their children, see, e.g., Reno v. Flores, 507 U.S. 292, 304, 123 L. Ed. 2d 1, 113 S. Ct. 1439. The problem here is not that the Superior Court intervened, but that when it did so, it gave no special weight to Granville’s determination of her daughters’ best interests. More importantly, that court appears to have applied the opposite presumption, favoring grandparent visitation. In effect, it placed on Granville the burden of disproving that visitation would be in her daughters’ best interest and thus failed to provide any protection for her fundamental right. The court also gave no weight to Granville’s having assented to visitation even before the filing of the petition or subsequent court intervention. These factors, when considered with the Superior Court’s slender findings, show that this case involves nothing more than a simple disagreement between the court and Granville concerning her children’s best interests, and that the visitation order was an unconstitutional infringement on Granville’s right to make decisions regarding the rearing of her children. Pp. 8-14.
(c) Because the instant decision rests on § 26.10.160(3)’s sweeping breadth and its application here, there is no need to consider the question whether the Due Process Clause requires all nonparental visitation statutes to include a showing of harm or potential harm to the child as a condition precedent to granting visitation or to decide the precise scope of the parental due process right in the visitation context. There is also no reason to remand this case for further proceedings. The visitation order clearly violated the Constitution, and the parties should not be forced into additional litigation that would further burden Granville’s parental right. Pp. 14-17.
JUSTICE SOUTER concluded that the Washington Supreme Court’s second reason for invalidating its own state statute—that it sweeps too broadly in authorizing any person at any time to request (and a judge to award) visitation rights, subject only to the State’s particular best-interests standard—is consistent with this Court’s prior cases. This ends the case, and there is no need to decide whether harm is required or to consider the precise scope of a parent’s right or its necessary protections. Pp. 1-5.
JUSTICE THOMAS agreed that this Court’s recognition of a fundamental right of parents to direct their children’s upbringing resolves this case, but concluded that strict scrutiny is the appropriate standard of review to apply to infringements of fundamental rights. Here, the State lacks a compelling interest in second-guessing a fit parent’s decision regarding visitation with third parties. Pp. 1-2.
COUNSEL: Mark D. Olson argued the cause for petitioners.
Catherine W. Smith argued the cause for respondent. JUDGES: O’CONNOR, J., announced the judgment of the Court and delivered an opinion, in which REHNQUIST, C. J., and GINSBURG and BREYER, JJ., joined. SOUTER, J., and THOMAS, J., filed opinions concurring in the judgment. STEVENS, J., SCALIA, J., and KENNEDY, J., filed dissenting opinions.
Opinion by: O’Connor
Opinion: [*60] [**2057] [***53] [***LEdHR1A] [1A] Justice O’Connor announced the judgment of the Court and delivered an opinion, in which The Chief Justice, justice Ginsburg, and Justice Breyer join.
Section 26.10.160(3) of the Revised Code of Washington permits “any person” to petition a superior court for visitation rights “at any time,” and authorizes that court to grant such visitation rights whenever “visitation may serve the best interest of the child.” Petitioners Jenifer and Gary Troxel petitioned a Washington Superior Court for the right to visit their grandchildren, Isabelle and Natalie Troxel. Respondent Tommie Granville, the mother of Isabelle and Natalie, opposed the petition. The case ultimately reached the Washington Supreme Court, which held that § 26.10.160(3) unconstitutionally interferes with the fundamental right of parents to rear their children.
I
Tommie Granville and Brad Troxel shared a relationship that ended in June 1991. The two never married, but they had two daughters, Isabelle and Natalie. Jenifer and Gary Troxel are Brad’s parents, and thus the paternal grandparents of Isabelle and Natalie. After Tommie and Brad separated in 1991, Brad lived with his parents and regularly brought his daughters to his parents’ home for weekend visitation. Brad committed suicide in May 1993. Although the Troxels at first continued to see Isabelle and Natalie on a regular basis after their son’s death, Tommie Granville informed [*61] the Troxels in October 1993 that she wished to limit their visitation with her daughters to one short visit per month. In re Smith, 137 Wn.2d 1, 6, 969 P.2d 21, 23-24 (1998); In re Troxel, 87 Wn. App. 131, 133, 940 P.2d 698, 698-699 (1997). [***54]
In December 1993, the Troxels commenced the present action by filing, in the Washington Superior Court for Skagit County, a petition to obtain visitation rights with Isabelle and Natalie. The Troxels filed their petition under two Washington statutes, Wash. Rev. Code §§ 26.09.240 and 26.10.160(3) (1994). Only the latter statute is at issue in this case. Section 26.10.160(3) provides: “Any person may petition the court for visitation rights at any time including, but not limited to, custody proceedings. The [**2058] court may order visitation rights for any person when visitation may serve the best interest of the child whether or not there has been any change of circumstances.” At trial, the Troxels requested two weekends of overnight visitation per month and two weeks of visitation each summer. Granville did not oppose visitation altogether, but instead asked the court to order one day of visitation per month with no overnight stay. 87 Wn. App. at 133-134, 940 P.2d at 699. In 1995, the Superior Court issued an oral ruling and entered a visitation decree ordering visitation one weekend per month, one week during the summer, and four hours on both of the petitioning grandparents’ birthdays. 137 Wn.2d at 6, 969 P.2d at 23; App. to Pet. for Cert. 76a-78a.
Granville appealed, during which time she married Kelly Wynn. Before addressing the merits of Granville’s appeal, the Washington Court of Appeals remanded the case to the Superior Court for entry of written findings of fact and conclusions of law. 137 Wn.2d at 6, 969 P.2d at 23. On remand, the Superior Court found that visitation was in Isabelle and Natalie’s best interests:
“The Petitioners [the Troxels] are part of a large, central, loving family, all located in this area, and the Petitioners [*62] can provide opportunities for the children in the areas of cousins and music.
“ . . . The court took into consideration all factors regarding the best interest of the children and considered all the testimony before it. The children would be benefitted from spending quality time with the Petitioners, provided that that time is balanced with time with the childrens’ [sic] nuclear family. The court finds that the childrens’ [sic] best interests are served by spending time with their mother and stepfather’s other six children.” App. 70a.
Approximately nine months after the Superior Court entered its order on remand, Granville’s husband formally adopted Isabelle and Natalie. Id. at 60a-67a.
The Washington Court of Appeals reversed the lower court’s visitation order and dismissed the Troxels’ petition for visitation, holding that nonparents lack standing to seek visitation under § 26.10.160(3) unless a custody action is pending. In the Court of Appeals’ view, that limitation on nonparental visitation actions was “consistent with the constitutional restrictions on state interference with parents’ fundamental liberty interest in the care, custody, and management of their children.” 87 Wn. App. at 135, 940 P.2d at 700 (internal quotation marks omitted). Having resolved the case on the statutory ground, however, the Court of Appeals did not expressly pass on Granville’s constitutional challenge to the visitation statute. Id. at 138, 940 P.2d at 701.
The Washington Supreme Court [***55] granted the Troxels’ petition for review and, after consolidating their case with two other visitation cases, affirmed. The court disagreed with the Court of Appeals’ decision on the statutory issue and found that the plain language of § 26.10.160(3) gave the Troxels standing to seek visitation, irrespective of whether a custody action was pending. 137 Wn.2d at 12, 969 P. [*63] 2d at 26-27. The Washington Supreme Court nevertheless agreed with the Court of Appeals’ ultimate conclusion that the Troxels could not obtain visitation of Isabelle and Natalie pursuant to § 26.10.160(3). The court rested its decision on the Federal Constitution, holding that § 26.10.160(3) unconstitutionally infringes on the fundamental right of parents to rear their children. In the court’s view, there were at least two problems with the nonparental visitation statute. First, according to the Washington Supreme Court, the Constitution permits a State to interfere with the right of parents to rear their children only to prevent harm or potential harm to a child. Section 26.10.160(3) fails that standard because it requires no threshold showing of harm. Id. at 15-20, 969 P.2d at 28-30. Second, [**2059] by allowing “’any person’ to petition for forced visitation of a child at ‘any time’ with the only requirement being that the visitation serve the best interest of the child,” the Washington visitation statute sweeps too broadly. Id. at 20, 969 P.2d at 30. “It is not within the province of the state to make significant decisions concerning the custody of children merely because it could make a ‘better’ decision.” Ibid., 969 P.2d at 31. The Washington Supreme Court held that “parents have a right to limit visitation of their children with third persons,” and that between parents and judges, “the parents should be the ones to choose whether to expose their children to certain people or ideas.” Id. at 21, 969 P.2d at 31. Four justices dissented from the Washington Supreme Court’s holding on the constitutionality of the statute. Id. at 23-43, 969 P.2d at 32-42.
We granted certiorari, 527 U.S. 1069 (1999), and now affirm the judgment.
II
The demographic changes of the past century make it difficult to speak of an average American family. The composition of families varies greatly from household to household. While many children may have two married parents and [*64] grandparents who visit regularly, many other children are raised in single-parent households. In 1996, children living with only one parent accounted for 28 percent of all children under age 18 in the United States. U.S. Dept. of Commerce, Bureau of Census, Current Population Reports, 1997 Population Profile of the United States 27 (1998). Understandably, in these single-parent households, persons outside the nuclear family are called upon with increasing frequency to assist in the everyday tasks of child rearing. In many cases, grandparents play an important role. For example, in 1998, approximately 4 million children—or 5.6 percent of all children under age 18 — lived in the household of their grandparents. U.S. Dept. of Commerce, Bureau of Census, Current Population Reports, Marital Status and Living Arrangements: March 1998 (Update), p. i (1998).
The nationwide enactment of nonparental visitation statutes is assuredly due, in some part, to the States’ recognition of these changing realities [***56] of the American family. Because grandparents and other relatives undertake duties of a parental nature in many households, States have sought to ensure the welfare of the children therein by protecting the relationships those children form with such third parties. The States’ nonparental visitation statutes are further supported by a recognition, which varies from State to State, that children should have the opportunity to benefit from relationships with statutorily specified persons—for example, their grandparents. The extension of statutory rights in this area to persons other than a child’s parents, however, comes with an obvious cost. For example, the State’s recognition of an independent third-party interest in a child can place a substantial burden on the traditional parent-child relationship. Contrary to Justice Stevens’ accusation, our description of state nonparental visitation statutes in these terms, of course, is not meant to suggest that “children are so much chattel.” Post, at 10 (dissenting opinion). Rather, our terminology is intended to highlight the fact that these [*65] statutes can present questions of constitutional import. In this case, we are presented with just such a question. Specifically, we are asked to decide whether § 26.10.160(3), as applied to Tommie Granville and her family, violates the Federal Constitution.
The Fourteenth Amendment provides that no State shall “deprive any person of life, liberty, or property, without due process of law.” We have long recognized that the Amendment’s Due Process Clause, like its Fifth Amendment counterpart, “guarantees more than fair process.” Washington v. Glucksberg, 521 U.S. 702, 719, 138 L. Ed. 2d 772, [**2060] 117 S. Ct. 2258 (1997). The Clause also includes a substantive component that “provides heightened protection against government interference with certain fundamental rights and liberty interests.” 521 U.S. at 720; see also Reno v. Flores, 507 U.S. 292, 301-302, 123 L. Ed. 2d 1, 113 S. Ct. 1439 (1993).
The liberty interest at issue in this case—the interest of parents in the care, custody, and control of their children—is perhaps the oldest of the fundamental liberty interests recognized by this Court. More than 75 years ago, in Meyer v. Nebraska, 262 U.S. 390, 399, 401, 67 L. Ed. 1042, 43 S. Ct. 625 (1923), we held that the “liberty” protected by the Due Process Clause includes the right of parents to “establish a home and bring up children” and “to control the education of their own.” Two years later, in Pierce v. Society of Sisters, 268 U.S. 510, 534-535, 69 L. Ed. 1070, 45 S. Ct. 571 (1925), we again held that the “liberty of parents and guardians” includes the right “to direct the upbringing and education of children under their control.” We explained in Pierce that “the child is not the mere creature of the State; those who nurture him and direct his destiny have the right, coupled with the high duty, to recognize and prepare him for additional obligations.” 268 U.S. at 535. We returned to the subject in Prince v. Massachusetts, 321 U.S. 158, 88 L. Ed. 645, 64 S. Ct. 438 (1944), and again confirmed that there is a constitutional dimension to the right of parents to direct the upbringing of their children. “It is cardinal with us that the custody, care and nurture of the child reside first in the parents, whose primary [*66] function and freedom include preparation for obligations the state can neither supply nor [***57] hinder.” 321 U.S. at 166.
[***LEdHR1B] [1B] In subsequent cases also, we have recognized the fundamental right of parents to make decisions concerning the care, custody, and control of their children. See, e.g., Stanley v. Illinois, 405 U.S. 645, 651, 31 L. Ed. 2d 551, 92 S. Ct. 1208 (1972) (“It is plain that the interest of a parent in the companionship, care, custody, and management of his or her children ‘comes to this Court with a momentum for respect lacking when appeal is made to liberties which derive merely from shifting economic arrangements’” (citation omitted)); Wisconsin v. Yoder, 406 U.S. 205, 232, 32 L. Ed. 2d 15, 92 S. Ct. 1526 (1972) (“The history and culture of Western civilization reflect a strong tradition of parental concern for the nurture and upbringing of their children. This primary role of the parents in the upbringing of their children is now established beyond debate as an enduring American tradition”); Quilloin v. Walcott, 434 U.S. 246, 255, 54 L. Ed. 2d 511, 98 S. Ct. 549 (1978) (“We have recognized on numerous occasions that the relationship between parent and child is constitutionally protected”); Parham v. J. R., 442 U.S. 584, 602, 61 L. Ed. 2d 101, 99 S. Ct. 2493 (1979) (“Our jurisprudence historically has reflected Western civilization concepts of the family as a unit with broad parental authority over minor children. Our cases have consistently followed that course”); Santosky v. Kramer, 455 U.S. 745, 753, 71 L. Ed. 2d 599, 102 S. Ct. 1388 (1982) (discussing “the fundamental liberty interest of natural parents in the care, custody, and management of their child”); Glucksberg, supra, at 720 (“In a long line of cases, we have held that, in addition to the specific freedoms protected by the Bill of Rights, the ‘liberty’ specially protected by the Due Process Clause includes the right . . . to direct the education and upbringing of one’s children” (citing Meyer and Pierce)). In light of this extensive precedent, it cannot now be doubted that the Due Process Clause of the Fourteenth Amendment protects the fundamental right of parents to make decisions concerning the care, custody, and control of their children. [*67]
Section 26.10.160(3), as applied to Granville and her family in this case, unconstitutionally infringes on that fundamental [**2061] parental right. The Washington nonparental visitation statute is breathtakingly broad. According to the statute’s text, “any person may petition the court for visitation rights at any time,” and the court may grant such visitation rights whenever “visitation may serve the best interest of the child.” § 26.10.160(3) (emphases added). That language effectively permits any third party seeking visitation to subject any decision by a parent concerning visitation of the parent’s children to state-court review. Once the visitation petition has been filed in court and the matter is placed before a judge, a parent’s decision that visitation would not be in the child’s best interest is accorded no deference. Section 26.10.160(3) contains no requirement that a court accord the parent’s decision any presumption of validity or any weight whatsoever. Instead, the Washington statute places the best-interest determination solely in the hands of the judge. Should the judge disagree with the parent’s estimation of the child’s best interests, the judge’s view necessarily prevails. Thus, in practical effect, in the State of Washington a court can disregard and overturn any [***58] decision by a fit custodial parent concerning visitation whenever a third party affected by the decision files a visitation petition, based solely on the judge’s determination of the child’s best interests. The Washington Supreme Court had the opportunity to give § 26.10.160(3) a narrower reading, but it declined to do so. See, e.g., 137 Wn.2d at 5, 969 P.2d at 23 (“[The statute] allows any person, at any time, to petition for visitation without regard to relationship to the child, without regard to changed circumstances, and without regard to harm”); id. at 20, 969 P.2d at 30 (“[The statute] allows ‘any person’ to petition for forced visitation of a child at ‘any time’ with the only requirement being that the visitation serve the best interest of the child”). [*68]
Turning to the facts of this case, the record reveals that the Superior Court’s order was based on precisely the type of mere disagreement we have just described and nothing more. The Superior Court’s order was not founded on any special factors that might justify the State’s interference with Granville’s fundamental right to make decisions concerning the rearing of her two daughters. To be sure, this case involves a visitation petition filed by grandparents soon after the death of their son—the father of Isabelle and Natalie—but the combination of several factors here compels our conclusion that § 26.10.160(3), as applied, exceeded the bounds of the Due Process Clause.
First, the Troxels did not allege, and no court has found, that Granville was an unfit parent. That aspect of the case is important, for there is a presumption that fit parents act in the best interests of their children. As this Court explained in Parham:
“Our constitutional system long ago rejected any notion that a child is the mere creature of the State and, on the contrary, asserted that parents generally have the right, coupled with the high duty, to recognize and prepare [their children] for additional obligations. . . . The law’s concept of the family rests on a presumption that parents possess what a child lacks in maturity, experience, and capacity for judgment required for making life’s difficult decisions. More important, historically it has recognized that natural bonds of affection lead parents to act in the best interests of their children.” 442 U.S. at 602 (alteration in original) (internal quotation marks and citations omitted).
Accordingly, so long as a parent adequately cares for his or her children ( i.e., is fit), there will normally be no reason for the State to inject itself into the private realm of the family to further question the ability of that parent to make the [*69] best decisions concerning the rearing of that parent’s children. See, e.g., Flores, 507 U.S. at 304. [**2062]
The problem here is not that the Washington Superior Court intervened, but that when it did so, it gave no special weight at all to Granville’s determination of her daughters’ best interests. More importantly, it appears that the Superior Court applied exactly the opposite presumption. In reciting its oral ruling after the conclusion of closing arguments, the Superior Court judge explained:
“The burden is to show that it is in the best interest of the children to have some visitation and some quality time with their grandparents. [***59] I think in most situations a commonsensical approach [is that] it is normally in the best interest of the children to spend quality time with the grandparent, unless the grandparent, [sic] there are some issues or problems involved wherein the grandparents, their lifestyles are going to impact adversely upon the children. That certainly isn’t the case here from what I can tell.” Verbatim Report of Proceedings in In re Troxel, No. 93-3-00650-7 (Wash. Super. Ct., Dec. 14, 19, 1994), p. 213 (hereinafter Verbatim Report).
The judge’s comments suggest that he presumed the grandparents’ request should be granted unless the children would be “impacted adversely.” In effect, the judge placed on Granville, the fit custodial parent, the burden of disproving that visitation would be in the best interest of her daughters. The judge reiterated moments later: “I think [visitation with the Troxels] would be in the best interest of the children and I haven’t been shown it is not in [the] best interest of the children.” Id. at 214.
The decisional framework employed by the Superior Court directly contravened the traditional presumption that a fit parent will act in the best interest of his or her child. See Parham, supra, at 602. In that respect, the court’s presumption [*70] failed to provide any protection for Granville’s fundamental constitutional right to make decisions concerning the rearing of her own daughters. Cf., e.g., Cal. Fam. Code Ann. § 3104(e) (West 1994) (rebuttable presumption that grandparent visitation is not in child’s best interest if parents agree that visitation rights should not be granted); Me. Rev. Stat. Ann., Tit. 19A, § 1803(3) (1998) (court may award grandparent visitation if in best interest of child and “would not significantly interfere with any parent-child relationship or with the parent’s rightful authority over the child”); Minn. Stat. § 257.022(2)(a)(2) (1998) (court may award grandparent visitation if in best interest of child and “such visitation would not interfere with the parent-child relationship”); Neb. Rev. Stat. § 43-1802(2) (1998) (court must find “by clear and convincing evidence” that grandparent visitation “will not adversely interfere with the parent-child relationship”); R. I. Gen. Laws § 15-5-24.3(a)(2)(v) (Supp. 1999) (grandparent must rebut, by clear and convincing evidence, presumption that parent’s decision to refuse grandparent visitation was reasonable); Utah Code Ann. § 30-5-2(2)(e) (1998) (same); Hoff v. Berg, 1999 ND 115, 595 N.W.2d 285, 291-292 (N. D. 1999) (holding North Dakota grandparent visitation statute unconstitutional because State has no “compelling interest in presuming visitation rights of grandparents to an unmarried minor are in the child’s best interests and forcing parents to accede to court-ordered grandparental visitation unless the parents are first able to prove such visitation is not in the best interests of their minor child”). In an ideal world, parents might always seek to cultivate the bonds between grandparents and their grandchildren. Needless to say, however, our world is far from perfect, and in it the decision whether such an intergenerational relationship would be beneficial in any specific case is for the parent to make in the first instance. And, if a fit parent’s decision of the kind at issue here becomes subject to judicial review, the court must accord at least some special weight to the parent’s own determination. [*71] [***60]
Finally, we note that there is no allegation that Granville ever sought to cut off [**2063] visitation entirely. Rather, the present dispute originated when Granville informed the Troxels that she would prefer to restrict their visitation with Isabelle and Natalie to one short visit per month and special holidays. See 87 Wn. App. at 133, 940 P.2d at 699; Verbatim Report 12. In the Superior Court proceedings Granville did not oppose visitation but instead asked that the duration of any visitation order be shorter than that requested by the Troxels. While the Troxels requested two weekends per month and two full weeks in the summer, Granville asked the Superior Court to order only one day of visitation per month (with no overnight stay) and participation in the Granville family’s holiday celebrations. See 87 Wn. App. at 133, 940 P.2d at 699; Verbatim Report 9 (“Right off the bat we’d like to say that our position is that grandparent visitation is in the best interest of the children. It is a matter of how much and how it is going to be structured”) (opening statement by Granville’s attorney). The Superior Court gave no weight to Granville’s having assented to visitation even before the filing of any visitation petition or subsequent court intervention. The court instead rejected Granville’s proposal and settled on a middle ground, ordering one weekend of visitation per month, one week in the summer, and time on both of the petitioning grandparents’ birthdays. See 87 Wn. App. at 133-134, 940 P.2d at 699; Verbatim Report 216-221. Significantly, many other States expressly provide by statute that courts may not award visitation unless a parent has denied (or unreasonably denied) visitation to the concerned third party. See, e.g., Miss. Code Ann. § 93-16-3(2)(a) (1994) (court must find that “the parent or custodian of the child unreasonably denied the grandparent visitation rights with the child”); Ore. Rev. Stat. § 109.121(1)(a)(B) (1997) (court may award visitation if the “custodian of the child has denied the grandparent reasonable opportunity to visit the child”); R. I. Gen. Laws § 15-5-24.3(a)(2)(iii)-(iv) [*72] (Supp. 1999) (court must find that parents prevented grandparent from visiting grandchild and that “there is no other way the petitioner is able to visit his or her grandchild without court intervention”).
Considered together with the Superior Court’s reasons for awarding visitation to the Troxels, the combination of these factors demonstrates that the visitation order in this case was an unconstitutional infringement on Granville’s fundamental right to make decisions concerning the care, custody, and control of her two daughters. The Washington Superior Court failed to accord the determination of Granville, a fit custodial parent, any material weight. In fact, the Superior Court made only two formal findings in support of its visitation order. First, the Troxels “are part of a large, central, loving family, all located in this area, and the [Troxels] can provide opportunities for the children in the areas of cousins and music.” App. 70a. Second, “the children would be benefitted from spending quality time with the [Troxels], provided that that time is balanced with time with the childrens’ [sic] nuclear family.” Ibid. These slender findings, in combination with the court’s announced presumption in favor of grandparent visitation and its failure to accord significant weight to Granville’s already having offered meaningful visitation to the Troxels, show that this case involves nothing [***61] more than a simple disagreement between the Washington Superior Court and Granville concerning her children’s best interests. The Superior Court’s announced reason for ordering one week of visitation in the summer demonstrates our conclusion well: “I look back on some personal experiences . . . . We always spent as kids a week with one set of grandparents and another set of grandparents, [and] it happened to work out in our family that [it] turned out to be an enjoyable experience. Maybe that can, in this family, if that is how it works out.” Verbatim Report 220-221. As we have explained, [**2064] the Due Process Clause does not permit a State to infringe on the fundamental right [*73] of parents to make childrearing decisions simply because a state judge believes a “better” decision could be made. Neither the Washington nonparental visitation statute generally—which places no limits on either the persons who may petition for visitation or the circumstances in which such a petition may be granted—nor the Superior Court in this specific case required anything more. Accordingly, we hold that § 26.10.160(3), as applied in this case, is unconstitutional. [***LEdHR2A] [2A] Because we rest our decision on the sweeping breadth of § 26.10.160(3) and the application of that broad, unlimited power in this case, we do not consider the primary constitutional question passed on by the Washington Supreme Court—whether the Due Process Clause requires all nonparental visitation statutes to include a showing of harm or potential harm to the child as a condition precedent to granting visitation. We do not, and need not, define today the precise scope of the parental due process right in the visitation context. In this respect, we agree with Justice Kennedy that the constitutionality of any standard for awarding visitation turns on the specific manner in which that standard is applied and that the constitutional protections in this area are best “elaborated with care.” Post, at 9 (dissenting opinion). Because much state-court adjudication in this context occurs on a case-by-case basis, we would be hesitant to hold that specific nonparental visitation statutes violate the Due Process Clause as a per se matter. n1 See, e.g., Fairbanks [*74] v. McCarter, 330 Md. 39, 49-50, 622 A.2d 121, 126-127 (1993) (interpreting best-interest standard in grandparent visitation statute normally to [***62] require court’s consideration of certain factors); Williams v. Williams, 256 Va. 19, 501 S.E.2d 417, 418 (1998) (interpreting Virginia nonparental visitation statute to require finding of harm as condition precedent to awarding visitation).
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n1 All 50 States have statutes that provide for grandparent visitation in some form. See Ala. Code § 30-3-4.1 (1989); Alaska Stat. Ann. § 25.20.065 (1998); Ariz. Rev. Stat. Ann. § 25-409 (1994); Ark. Code Ann. § 9-13-103 (1998);
Cal. Fam. Code Ann. § 3104 (West 1994); Colo. Rev. Stat. § 19-1-117 (1999);
Conn. Gen. Stat. § 46b-59 (1995); Del. Code Ann., Tit. 10, § 1031(7) (1999);
Fla. Stat. § 752.01 (1997); Ga. Code Ann. § 19-7-3 (1991); Haw. Rev. Stat. § 571-46.3 (1999); Idaho Code § 32-719 (1999); Ill. Comp. Stat., ch. 750, § 5/607 (1998); Ind. Code § 31-17-5-1 (1999); Iowa Code § 598.35 (1999); Kan. Stat. Ann. § 38-129 (1993); Ky. Rev. Stat. Ann. § 405.021 (Baldw. 1990); La. Rev. Stat.
Ann. § 9:344 (West Supp. 2000); La. Civ. Code Ann., Art. 136 (West Supp. 2000);
Me. Rev. Stat. Ann., Tit. 19A, § 1803 (1998); Md. Fam. Law Code Ann. § 9-102 (1999); Mass. Gen. Laws § 119:39D (1996); Mich. Comp. Laws Ann. § 722.27b (Supp. 1999); Minn. Stat. § 257.022 (1998); Miss. Code Ann. § 93-16-3 (1994); Mo. Rev.
Stat. § 452.402 (Supp. 1999); Mont. Code Ann. § 40-9-102 (1997); Neb. Rev. Stat.
§ 43-1802 (1998); Nev. Rev. Stat. § 125C.050 (Supp. 1999); N. H. Rev. Stat. Ann.
§ 458:17-d (1992); N. J. Stat. Ann. § 9:2-7.1 (West Supp. 1999-2000); N. M.
Stat. Ann. § 40-9-2 (1999); N. Y. Dom. Rel. Law § 72 (McKinney 1999); N. C. Gen. Stat. §§ 50-13.2, 50-13.2A (1999); N. D. Cent. Code § 14-09-05.1 (1997); Ohio Rev. Code Ann. §§ 3109.051, 3109.11 (Supp. 1999); Okla. Stat., Tit. 10, § 5 (Supp. 1999); Ore. Rev. Stat. § 109.121 (1997); 23 Pa. Cons. Stat. §§ 5311-5313 (1991); R. I. Gen. Laws §§ 15-5-24 to 15-5-24.3 (Supp. 1999); S. C. Code Ann. § 20-7-420(33) (Supp. 1999); S. D. Codified Laws § 25-4-52 (1999); Tenn. Code Ann. §§ 36-6-306, 36-6-307 (Supp. 1999); Tex. Fam. Code Ann. § 153.433 (Supp. 2000);
Utah Code Ann. § 30-5-2 (1998); Vt. Stat. Ann., Tit. 15, §§ 1011-1013 (1989);
Va. Code Ann. § 20-124.2 (1995); W. Va. Code §§ 48-2B-1 to 48-2B-7 (1999); Wis.
Stat. §§ 767.245, 880.155 (1993-1994); Wyo. Stat. Ann. § 20-7-101 (1999).
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Justice Stevens criticizes our reliance on what he characterizes as merely “a guess” about the Washington courts’ interpretation of § 26.10.160(3). Post, at 2. Justice Kennedy likewise states that “more specific guidance should await a case in which a State’s highest court has considered all of the facts in the course of elaborating the protection afforded to parents by the laws of the State and by the Constitution itself.” Post, at 10. [**2065] We respectfully disagree. There is no need to hypothesize about how the Washington courts might apply § 26.10.160(3) because the Washington Superior Court did apply the statute in this very case. Like the Washington Supreme Court, then, we are presented with an actual visitation order and the reasons why the Superior Court believed [*75] entry of the order was appropriate in this case. Faced with the Superior Court’s application of § 26.10.160(3) to Granville and her family, the Washington Supreme Court chose not to give the statute a narrower construction. Rather, that court gave § 26.10.160(3) a literal and expansive interpretation. As we have explained, that broad construction plainly encompassed the Superior Court’s application of the statute. See supra, at 8-9.
[***LEdHR1C] [1C] There is thus no reason to remand the case for further proceedings in the Washington Supreme Court. As Justice Kennedy recognizes, the burden of litigating a domestic relations proceeding can itself be “so disruptive of the parent-child relationship that the constitutional right of a custodial parent to make certain basic determinations for the child’s welfare becomes implicated.” Post at 9. In this case, the litigation costs incurred by Granville on her trip through the Washington court system and to this Court are without a doubt already substantial. As we have explained, it is apparent that the entry of the visitation order in this case violated the Constitution. We should say so now, without forcing the parties into additional litigation that would further burden Granville’s parental right. We therefore hold that the application of § 26.10.160(3) to Granville and her family violated her due process right to make decisions concerning the care, custody, and control of her daughters.
Accordingly, the judgment of the Washington Supreme Court is affirmed.
It is so ordered.
Concur By: Souter; Thomas
Concur:
Justice Souter, concurring in the judgment. [***LEdHR1D] [1D] I concur in the judgment affirming the decision of the Supreme Court of Washington, whose facial invalidation of its own state statute is consistent with this Court’s prior cases addressing the substantive interests at stake. I would say no [***63] more. The issues that might well be presented by reviewing a decision addressing the specific application of the [*76] state statute by the trial court, ante, at 9-14, are not before us and do not call for turning any fresh furrows in the “treacherous field” of substantive due process. Moore v. East Cleveland, 431 U.S. 494, 502, 52 L. Ed. 2d 531, 97 S. Ct. 1932 (1977) (opinion of Powell, J.).
The Supreme Court of Washington invalidated its state statute based on the
text of the statute alone, not its application to any particular case. n1 Its
ruling rested on two independently sufficient grounds: the [**2066] failure of
the statute to require harm to the child to justify a disputed visitation order,
In re Smith, 137 Wn.2d 1, 17, 969 P.2d 21, 29 (1998), and the statute’s
authorization of “any person” at “any time” to petition and to receive visitation rights subject only to a free-ranging best-interests-of-the-child standard, 137 Wn.2d at 20-21, 969 P.2d at 30-31. Ante, at 4. I see no error in the second reason, that because the state statute authorizes any person at any time to request (and a judge to award) visitation rights, subject only to the State’s particular best-interests [*77] standard, the state statute sweeps too broadly and is unconstitutional on its face. Consequently, there is no need to decide whether harm is required or to consider the precise scope of the parent’s right or its necessary protections.
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n1 The Supreme Court of Washington made its ruling in an action where three separate cases, including the Troxels’, had been consolidated. In re Smith, 137 Wn.2d 1, 6-7, 969 P.2d 21, 23-24 (1998). The court also addressed two statutes, Wash. Rev. Code § 26.10.160(3) (Supp. 1996) and former Wash. Rev. Code § 26.09.240 (1994), 137 Wn.2d at 7, 969 P.2d at 24, the latter of which is not even at issue in this case. See Brief for Petitioners 6, n. 9; see also ante, at 2. Its constitutional analysis discussed only the statutory language and neither mentioned the facts of any of the three cases nor reviewed the records of their trial court proceedings below. 137 Wn.2d at 13-21, 969 P.2d at 27-31. The decision invalidated both statutes without addressing their application to particular facts: “We conclude petitioners have standing but, as written, the statutes violate the parents’ constitutionally protected interests. These statutes allow any person, at any time, to petition for visitation without regard to relationship to the child, without regard to changed circumstances, and without regard to harm.” Id. at 5, 969 P.2d at 23 (emphasis added); see also id. at 21, 969 P.2d at 31 (“RCW 26.10.160(3) and former RCW 26.09.240 impermissibly interfere with a parent’s fundamental interest in the care, custody and companionship of the child” (citations and internal quotation marks omitted)).
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We have long recognized that a parent’s interests in the nurture, upbringing, companionship, care, and custody of children are generally protected by the Due Process Clause of the Fourteenth Amendment. See, e.g., Meyer v. Nebraska, 262 U.S. 390, 399, 401, 67 L. Ed. 1042, 43 S. Ct. 625 (1923); Pierce v. Society of Sisters, 268 U.S. 510, 535, 69 L. Ed. 1070, 45 S. Ct. 571 (1925); Stanley v. Illinois, 405 U.S. 645, 651, 31 L. Ed. 2d 551, 92 S. Ct. 1208 (1972); Wisconsin v. Yoder, 406 U.S. 205, 232, 32 L. Ed. 2d 15, 92 S. Ct. 1526 (1972); Quilloin v. Walcott, 434 U.S. 246, 255, 54 L. Ed. 2d 511, 98 S. Ct. 549 (1978); Parham v. J.
R., 442 U.S. 584, 602, 61 L. Ed. 2d 101, 99 S. Ct. 2493 (1979); Santosky v. Kramer, 455 U.S. 745, 753, 71 L. Ed. 2d 599, 102 S. Ct. 1388 (1982); Washington v. Glucksberg, 521 U.S. 702, 720, 138 L. Ed. 2d 772, 117 S. Ct. 2258 (1997). As we first acknowledged in Meyer, the right of parents to “bring up children,” 262 U.S. at 399, and “to control the education of their own” is protected by the Constitution, 262 U.S. at 401. See also Glucksberg, supra, at 761 [***64] (SOUTER, J., concurring in judgment).
On the basis of this settled principle, the Supreme Court of Washington invalidated its statute because it authorized a contested visitation order at the intrusive behest of any person at any time subject only to a best-interests-of-the-child standard. In construing the statute, the state court explained that the “any person” at “any time” language was to be read literally, at 137 Wn.2d at 10-11, 969 P.2d at 25-27, and that “most notably the statute does not require the petitioner to establish that he or she has a substantial relationship with the child,” 137 Wn.2d at 20-21, 969 P.2d at 31. Although the statute speaks of granting visitation rights whenever “visitation may serve the best interest of the child,” Wash. Rev. Code § 26.10.160(3) (1994), the state court authoritatively read this provision as placing hardly any limit on a court’s discretion to award visitation rights. As the court understood it, the specific best-interests provision in the [*78] statute would allow a court to award visitation whenever it thought it could make a better decision than a child’s parent had done. See 137 Wn.2d at 20, 969 P.2d at 31 (“It is not within the province of the state to make significant decisions concerning the custody of children merely because it could make a ‘better’ decision”). n2 On that basis in part, the Supreme Court of Washington invalidated the State’s own statute:
“Parents have a right to limit visitation of their children with third persons.”
Id. at 21, 969 P.2d at 31.
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n2 As JUSTICE O’CONNOR points out, the best-interests provision “contains no requirement that a court accord the parent’s decision any presumption of validity or any weight whatsoever. Instead, the Washington statute places the best-interest determination solely in the hands of the judge.” Ante, at 8.
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Our cases, it is true, have not set out exact metes and bounds to the protected interest of a parent in the relationship with his child, but Meyer’s repeatedly recognized right of upbringing would be a sham if it failed to encompass the right to be free of judicially compelled visitation by “any party” at “any time” a judge believed [**2067] he “could make a ‘better’ decision” n3 than the objecting parent had done. The strength of a parent’s interest in controlling a child’s associates is as obvious as the influence of personal associations on the development of the child’s social and moral character. Whether for good or for ill, adults not only influence but may indoctrinate children, and a choice about a child’s social companions is not essentially different from the designation of the adults who will influence the child in school. Even a State’s considered judgment about the preferable political and religious character of schoolteachers is not entitled [*79] to prevail over a parent’s choice of private school. Pierce, supra, at 535 (“The fundamental theory of liberty upon which all governments in this Union repose excludes any general power of the State to standardize its children by forcing them to accept instruction from public teachers only. The child is not the mere creature [***65] of the State; those who nurture him and direct his destiny have the right, coupled with the high duty, to recognize and prepare him for additional obligations”). It would be anomalous, then, to subject a parent to any individual judge’s choice of a child’s associates from out of the general population merely because the judge might think himself more enlightened than the child’s parent. n4 To say the least (and as the Court implied in Pierce), parental choice in such matters is not merely a default rule in the absence of either governmental choice or the government’s designation of an official with the power to choose for whatever reason and in whatever circumstances.
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n3 Cf. Chicago v. Morales, 527 U.S. 41, 71, 144 L. Ed. 2d 67, 119 S. Ct.
1849 (1999) (BREYER, J., concurring in part and concurring in judgment) (“The ordinance is unconstitutional, not because a policeman applied this discretion wisely or poorly in a particular case, but rather because the policeman enjoys too much discretion in every case. And if every application of the ordinance represents an exercise of unlimited discretion, then the ordinance is invalid in all its applications”).
n4 The Supreme Court of Washington invalidated the broadly sweeping statute at issue on similarly limited reasoning: “Some parents and judges will not care if their child is physically disciplined by a third person; some parents and judges will not care if a third person teaches the child a religion inconsistent with the parents’ religion; and some judges and parents will not care if the child is exposed to or taught racist or sexist beliefs. But many parents and judges will care, and, between the two, the parents should be the ones to choose whether to expose their children to certain people or ideas.” 137 Wn.2d at 21, 969 P.2d at 31 (citation omitted).
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Since I do not question the power of a State’s highest court to construe its domestic statute and to apply a demanding standard when ruling on its facial constitutionality, n5 see Chicago v. Morales, 527 U.S. 41, 55, n. 22, 144 L. Ed. 2d 67, 119 S. Ct. 1849 (1999) (opinion of STEVENS, J.), this for me is the end of the case. I would simply affirm the decision of the Supreme Court of Washington that its statute, authorizing courts to grant visitation rights to any person at any time, is unconstitutional. I therefore respectfully concur in the judgment.
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n5 This is the pivot between JUSTICE KENNEDY’s approach and mine.
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JUSTICE THOMAS, concurring in the judgment.
I write separately to note that neither party has argued that our substantive
due process cases were wrongly decided and that the original understanding of
the Due Process Clause precludes judicial enforcement of unenumerated rights
under that constitutional provision. As a result, I express no view on the
merits of this matter, and I understand the plurality as well to leave the
resolution of that issue for another day. * n1
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n1 * This case also does not involve a challenge based upon the Privileges and Immunities Clause and thus does not present an opportunity to reevaluate the meaning of that Clause. See Saenz v. Roe, 526 U.S. 489, 527-528, 143 L. Ed. 2d 689, 119 S. Ct. 1518 (1999) (THOMAS, J., dissenting).
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[**2068]
[***LEdHR1E] [1E] Consequently, I agree with the plurality that this Court’s
recognition of a fundamental right of parents to direct the upbringing of their
children resolves this case. Our decision in Pierce v. Society of Sisters, 268
U.S. 510, 69 L. Ed. 1070, 45 S. Ct. 571 (1925), holds that parents have a
fundamental constitutional right to rear their children, including the right to
determine who shall educate and socialize them. The opinions of the plurality,
JUSTICE KENNEDY, and JUSTICE SOUTER recognize such a right, but curiously none
of them articulates the appropriate standard of review. I would apply strict scrutiny to infringements of fundamental rights. Here, the State of Washington lacks even a legitimate governmental interest—to say nothing of a compelling one—in second-guessing a fit parent’s decision regarding visitation with third parties. On this basis, I would affirm the judgment below.
DISSENT BY: STEVENS; SCALIA; KENNEDY
DISSENT: [***66] JUSTICE STEVENS, dissenting.
The Court today wisely declines to endorse either the holding or the reasoning of the Supreme Court of Washington. In my opinion, the Court would have been even wiser to deny certiorari. Given the problematic character of the trial court’s decision and the uniqueness of the Washington statute, there was no pressing need to review a State Supreme [*81] Court decision that merely requires the state legislature to draft a better statute.
Having decided to address the merits, however, the Court should begin by recognizing that the State Supreme Court rendered a federal constitutional judgment holding a state law invalid on its face. In light of that judgment, I believe that we should confront the federal questions presented directly. For the Washington statute is not made facially invalid either because it may be invoked by too many hypothetical plaintiffs, or because it leaves open the possibility that someone may be permitted to sustain a relationship with a child without having to prove that serious harm to the child would otherwise result.
I
In response to Tommie Granville’s federal constitutional challenge, the State Supreme Court broadly held that Wash. Rev. Code § 26.10.160(3) (Supp. 1996) was invalid on its face under the Federal Constitution. n1 Despite the nature of this judgment, JUSTICE O’CONNOR would hold that the Washington visitation statute violated the Due Process Clause of the Fourteenth Amendment only as applied. Ante, at 6, 8, 14-15. I agree with JUSTICE SOUTER, ANTE, at 1, and n. 1 (opinion concurring in judgment), that this approach is untenable.
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n1 The State Supreme Court held that, “as written, the statutes violate the parents’ constitutionally protected interests.” In re Smith, 137 Wn.2d 1, 5, 969 P.2d 21, 23 (1998).
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The task of reviewing a trial court’s application of a state statute to the
particular facts of a case is one that should be performed in the first instance
by the state appellate courts. In this case, because of their views of the
Federal Constitution, the Washington state appeals courts have yet to decide
whether the trial court’s findings were adequate under the [*82] statute. n2
Any as-applied critique of the trial court’s judgment that this Court might
offer could only be based upon a guess about the state courts’ application of
that State’s statute, [**2069] and an independent assessment of the facts in
this case—both judgments that we are ill-suited and ill-advised to make. n3
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n2 As the dissenting judge on the state appeals court noted, “the trial court here was not presented with any guidance as to the proper test to be applied in a case such as this.” In re Troxel, 87 Wn. App. 131, 143, 940 P.2d 698, 703 (1997) (opinion of Ellington, J.). While disagreeing with the appeals court majority’s conclusion that the state statute was constitutionally infirm, Judge Ellington recognized that despite this disagreement, the appropriate result would not be simply to affirm. Rather, because there had been no definitive guidance as to the proper construction of the statute, “the findings necessary to order visitation over the objections of a parent are thus not in the record, and I would remand for further proceedings.” Ibid.
n3 Unlike JUSTICE O’CONNOR, ante, at 10-11, I find no suggestion in the trial court’s decision in this case that the court was applying any presumptions at all in its analysis, much less one in favor of the grandparents. The first excerpt JUSTICE O’CONNOR quotes from the trial court’s ruling, ante, at 10, says nothing one way or another about who bears the burden under the statute of demonstrating “best interests.” There is certainly no indication of a presumption against the parents’ judgment, only a “’commonsensical’” estimation that, usually but not always, visiting with grandparents can be good for children. Ibid. The second quotation, ante, at 11, “’I think [visitation] would be in the best interest of the children and I haven’t been shown that it is not in [the] best interest of the children,’” sounds as though the judge has simply concluded, based on the evidence before him, that visitation in this case would be in the best interests of both girls. Verbatim Report of Proceedings in In re Troxel, No. 93-3-00650-7 (Wash. Super. Ct., Dec. 14, 1994), p. 214. These statements do not provide us with a definitive assessment of the law the court applied regarding a “presumption” either way. Indeed, a different impression is conveyed by the judge’s very next comment: “That has to be balanced, of course, with Mr. and Mrs. Wynn [a.k.a. Tommie Granville], who are trying to put together a family that includes eight children, . . . trying to get all those children together at the same time and put together some sort of functional unit wherein the children can be raised as brothers and sisters and spend lots of quality time together.” Ibid. The judge then went on to reject the Troxels’ efforts to attain the same level of visitation that their son, the girls’ biological father, would have had, had he been alive. “The fact that Mr. Troxel is deceased and he was the natural parent and as much as the grandparents would maybe like to step into the shoes of Brad, under our law that is not what we can do. The grandparents cannot step into the shoes of a deceased parent, per say [sic], as far as whole gamut of visitation rights are concerned.” Id. at 215. Rather, as the judge put it, “I understand your desire to do that as loving grandparents. Unfortunately that would impact too dramatically on the children and their ability to be integrated into the nuclear unit with the mother.” Id. at 222-223.
However one understands the trial court’s decision—and my point is merely to demonstrate that it is surely open to interpretation—its validity under the state statute as written is a judgment for the state appellate courts to make in the first instance.
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While I thus agree with JUSTICE [***67] SOUTER in this respect, I do not agree with his conclusion that the State Supreme Court made a definitive construction of the visitation statute that necessitates the constitutional conclusion he would draw. n4 As I read the State Supreme Court’s opinion, In re Smith, 137 Wn.2d 1, 19-20, 969 P.2d 21, 30-31 (1998), its interpretation of the Federal Constitution made it unnecessary to adopt a definitive construction of the statutory text, or, critically, to decide whether the statute had been correctly applied in this case. In particular, the state court gave no content to the phrase, “best interest of the child,” Wash. Rev. Code § 26.10.160(3) (Supp. 1996) — content that might well be gleaned from that State’s own statutes or decisional law employing the same phrase in different contexts, [*84] and from the myriad other state statutes and court decisions at least nominally applying the same standard. n5 Thus, [**2070] I believe that JUSTICE SOUTER’s conclusion that the statute unconstitutionally imbues state trial [***68] court judges with “’too much discretion in every case,’” ante, at 4, n. 3 (opinion concurring in judgment) (quoting Chicago v. Morales, 527 U.S. 41, 71, 144 L. Ed. 2d 67, 119 S. Ct. 1849 (1999) (BREYER, J., concurring)), is premature.
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n4 JUSTICE SOUTER would conclude from the state court’s statement that the statute “does not require the petitioner to establish that he or she has a substantial relationship with the child,” In re Smith, 137 Wn.2d 1, 21, 969 P.2d 21, 31 (1998), that the state court has “authoritatively read [the ‘best interests’] provision as placing hardly any limit on a court’s discretion to award visitation rights,” ante, at 3 (SOUTER, J., concurring in judgment). Apart from the question whether one can deem this description of the statute an “authoritative” construction, it seems to me exceedingly unlikely that the state court held the statute unconstitutional because it believed that the “best interests” standard imposes “hardly any limit” on courts’ discretion. See n. 5, infra.
n5 The phrase “best interests of the child” appears in no less than 10 current Washington state statutory provisions governing determinations from guardianship to termination to custody to adoption. See, e.g., Wash. Rev. Code § 26.09.240 (6) (Supp. 1996) (amended version of visitation statute enumerating eight factors courts may consider in evaluating a child’s best interests); § 26.09.002 (in cases of parental separation or divorce “best interests of the child are served by a parenting arrangement that best maintains a child’s emotional growth, health and stability, and physical care”; “best interest of the child is ordinarily served when the existing pattern of interaction between a parent and child is altered only to the extent necessitated by the changed relationship of the parents or as required to protect the child from physical, mental, or emotional harm”); § 26.10.100 (“The court shall determine custody in accordance with the best interests of the child”). Indeed, the Washington state courts have invoked the standard on numerous occasions in applying these statutory provisions—just as if the phrase had quite specific and apparent meaning. See, e.g., In re McDole, 122 Wn.2d 604, 859 P.2d 1239 (1993) (upholding trial court “best interest” assessment in custody dispute); McDaniels v. Carlson , 108 Wn.2d 299, 310, 738 P.2d 254, 261 (1987) (elucidating “best interests” standard in paternity suit context). More broadly, a search of current state custody and visitation laws reveals fully 698 separate references to the “best interest of the child” standard, a number that, at a minimum, should give the Court some pause before it upholds a decision implying that those words, on their face, may be too boundless to pass muster under the Federal Constitution.
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We are thus presented with the unconstrued terms of a state statute and a State Supreme Court opinion that, in my view, significantly misstates the effect of the Federal Constitution upon any construction of that statute. Given that posture, I believe the Court should identify and correct the two flaws in the reasoning of the state court’s majority opinion, [*85] and remand for further review of the trial court’s disposition of this specific case.
II
In my view, the State Supreme Court erred in its federal constitutional analysis because neither the provision granting “any person” the right to petition the court for visitation, 137 Wn.2d at 20, 969 P.2d at 30, nor the absence of a provision requiring a “threshold . . . finding of harm to the child,” ibid., provides a sufficient basis for holding that the statute is invalid in all its applications. I believe that a facial challenge should fail whenever a statute has “a ‘plainly legitimate sweep,’” Washington v. Glucksberg, 521 U.S. 702, 739-740, 138 L. Ed. 2d 772, 117 S. Ct. 2258 and n. 7 (1997) (STEVENS, J., concurring in judgment). n6 Under the Washington statute, there are plainly any number of cases—indeed, one suspects, the most common to arise—in which the “person” among “any” seeking visitation is a once-custodial caregiver, an intimate relation, or even a genetic parent. Even the Court would seem to agree that in many circumstances, it would be constitutionally permissible for a court to award some visitation of a child to a parent or previous caregiver in cases of parental separation or divorce, cases of disputed custody, cases involving temporary foster care or guardianship, and so forth. As the statute plainly sweeps in a great deal of the permissible, the State Supreme Court majority incorrectly concluded that a statute authorizing “any person” to file a petition seeking visitation privileges would invariably run afoul of the Fourteenth Amendment.
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n6 It necessarily follows that under the far more stringent demands suggested by the majority in United States v. Salerno, 481 U.S. 739, 745, 95 L. Ed. 2d 697, 107 S. Ct. 2095 (1987) (plaintiff seeking facial invalidation “must establish that no set of circumstances exists under which the Act would be valid”), respondent’s facial challenge must fail.
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The second key aspect of the Washington Supreme Court’s holding—that the Federal Constitution requires a showing of actual or potential “harm” to the child before a court may [*86] order visitation continued over a parent’s objections—finds no support in this Court’s case law. [***69] While, as [**2071] the Court recognizes, the Federal Constitution certainly protects the parent-child relationship from arbitrary impairment by the State, see infra, at 7-8 we have never held that the parent’s liberty interest in this relationship is so inflexible as to establish a rigid constitutional shield, protecting every arbitrary parental decision from any challenge absent a threshold finding of harm. n7 The presumption that parental decisions generally serve the best interests of their children is sound, and clearly in the normal case the parent’s interest is paramount. But even a fit parent is capable of treating a child like a mere possession.
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n7 The suggestion by JUSTICE THOMAS that this case may be resolved solely with reference to our decision in Pierce v. Society of Sisters, 268 U.S. 510, 535, 69 L. Ed. 1070, 45 S. Ct. 571 (1925), is unpersuasive. Pierce involved a parent’s choice whether to send a child to public or private school. While that case is a source of broad language about the scope of parents’ due process rights with respect to their children, the constitutional principles and interests involved in the schooling context do not necessarily have parallel implications in this family law visitation context, in which multiple overlapping and competing prerogatives of various plausibly interested parties are at stake.
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Cases like this do not present a bipolar struggle between the parents and the State over who has final authority to determine what is in a child’s best interests. There is at a minimum a third individual, whose interests are implicated in every case to which the statute applies—the child.
It has become standard practice in our substantive due process jurisprudence to begin our analysis with an identification of the “fundamental” liberty interests implicated by the challenged state action. See, e.g., ante, at 6-8 (opinion of O’CONNOR, J.); Washington v. Glucksberg, 521 U.S. 702, 138 L. Ed. 2d 772, 117 S. Ct. 2258 (1997); Planned Parenthood of Southeastern Pa. v. Casey, 505 U.S. 833, 120 L. Ed. 2d 674, 112 S. Ct. 2791 (1992). My colleagues are of course correct to recognize that the right of a parent to maintain a relationship with his or her child is among the interests included [*87] most often in the constellation of liberties protected through the Fourteenth Amendment. Ante, at 6-8 (opinion of O’CONNOR, J.). Our cases leave no doubt that parents have a fundamental liberty interest in caring for and guiding their children, and a corresponding privacy interest—absent exceptional circumstances—in doing so without the undue interference of strangers to them and to their child. Moreover, and critical in this case, our cases applying this principle have explained that with this constitutional liberty comes a presumption (albeit a rebuttable one) that “natural bonds of affection lead parents to act in the best interests of their children.” Parham v. J. R., 442 U.S. 584, 602, 61 L. Ed. 2d 101, 99 S. Ct. 2493 (1979); see also Casey, 505 U.S. at 895; Santosky v. Kramer, 455 U.S. 745, 759, 71 L. Ed. 2d 599, 102 S. Ct. 1388 (1982) (State may not presume, at factfinding stage of parental rights termination proceeding, that interests of parent and child diverge); see also ante, at 9-10 (opinion of O’CONNOR, J.).
Despite this Court’s repeated recognition of these significant parental liberty interests, these interests have never been seen to be without limits. In Lehr v. Robertson, 463 U.S. 248, 77 L. Ed. 2d 614, 103 S. Ct. 2985 (1983), [***70] for example, this Court held that a putative biological father who had never established an actual relationship with his child did not have a constitutional right to notice of his child’s adoption by the man who had married the child’s mother. As this Court had recognized in an earlier case, a parent’s liberty interests “’do not spring full-blown from the biological connection between parent and child. They require relationships more enduring.’” 463 U.S. at 260 (quoting Caban v. Mohammed, 441 U.S. 380, 397, 60 L. Ed. 2d 297, 99 S. Ct. 1760 (1979)). [**2072]
Conversely, in Michael H. v. Gerald D., 491 U.S. 110, 105 L. Ed. 2d 91, 109 S. Ct. 2333 (1989), this Court concluded that despite both biological parenthood and an established relationship with a young child, a father’s due process liberty interest in maintaining some connection with that child was not sufficiently powerful to overcome a state statutory presumption that the husband of the child’s mother was the child’s parent. As a result of the [*88] presumption, the biological father could be denied even visitation with the child because, as a matter of state law, he was not a “parent.” A plurality of this Court there recognized that the parental liberty interest was a function, not simply of “isolated factors” such as biology and intimate connection, but of the broader and apparently independent interest in family. See, e.g., 491 U.S. at 123; see also Lehr, 463 U.S. at 261; Smith v. Organization of Foster Families For Equality & Reform, 431 U.S. 816, 842-847, 53 L. Ed. 2d 14, 97 S. Ct. 2094 (1977); Moore v. East Cleveland, 431 U.S. 494, 498-504, 52 L. Ed. 2d 531, 97 S. Ct. 1932 (1977).
A parent’s rights with respect to her child have thus never been regarded as absolute, but rather are limited by the existence of an actual, developed relationship with a child, and are tied to the presence or absence of some embodiment of family. These limitations have arisen, not simply out of the definition of parenthood itself, but because of this Court’s assumption that a parent’s interests in a child must be balanced against the State’s long-recognized interests as parens patriae, see, e.g., Reno v. Flores, 507 U.S. 292, 303-304, 123 L. Ed. 2d 1, 113 S. Ct. 1439 (1993); Santosky v. Kramer, 455 U.S. at 766; Parham, 442 U.S. at 605; Prince v. Massachusetts, 321 U.S. 158, 166, 88 L. Ed. 645, 64 S. Ct. 438 (1944), and, critically, the child’s own complementary interest in preserving relationships that serve her welfare and protection, Santosky, 455 U.S. at 760.
While this Court has not yet had occasion to elucidate the nature of a
child’s liberty interests in preserving established familial or family-like
bonds, 491 U.S. at 130 (reserving the question), it seems to me extremely
likely that, to the extent parents and families have fundamental liberty
interests in preserving such intimate relationships, so, too, do children have
these interests, and so, too, must their interests be balanced in the equation.
n8 At a minimum, our [***71] prior cases recognizing [*89] that children
are, generally speaking, constitutionally protected actors require that this
Court reject any suggestion that when it comes to parental rights, children are
so much chattel. See ante, at 5-6 (opinion of O’CONNOR, J.) (describing States’
recognition of “an independent third-party interest in a child”). The
constitutional protection against arbitrary state interference with parental
rights should not be extended to prevent the States from protecting children
against the arbitrary exercise of parental authority that is not in fact
motivated by an interest in the welfare of the child. n9
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n8 This Court has on numerous occasions acknowledged that children are in many circumstances possessed of constitutionally protected rights and liberties. See Parham v. J. R., 442 U.S. 584, 600, 61 L. Ed. 2d 101, 99 S. Ct. 2493 (1979) (liberty interest in avoiding involuntary confinement); Planned Parenthood of Central Mo. v. Danforth, 428 U.S. 52, 74, 49 L. Ed. 2d 788, 96 S. Ct. 2831 (1976) (“Constitutional rights do not mature and come into being magically only when one attains the state-defined age of majority. Minors, as well as adults, are protected by the Constitution and possess constitutional rights”); Tinker v. Des Moines Independent Community School Dist., 393 U.S. 503, 506-507, 21 L. Ed. 2d 731, 89 S. Ct. 733 (1969) (First Amendment right to political speech); In re Gault, 387 U.S. 1, 13, 18 L. Ed. 2d 527, 87 S. Ct. 1428 (1967) (due process rights in criminal proceedings).
n9 Cf., e.g., Wisconsin v. Yoder, 406 U.S. 205, 241-246, 32 L. Ed. 2d 15, 92 S. Ct. 1526 (1972) (Douglas, J., dissenting) (“While the parents, absent dissent, normally speak for the entire family, the education of the child is a matter on which the child will often have decided views. He may want to be a pianist or an astronaut or an oceanographer. To do so he will have to break from the Amish tradition. It is the future of the student, not the future of the parents, that is imperiled by today’s decision. If a parent keeps his child out of school beyond the grade school, then the child will be forever barred from entry into the new and amazing world of diversity that we have today . . . . It is the student’s judgment, not his parents’, that is essential if we are to give full meaning to what we have said about the Bill of Rights and of the right of students to be masters of their own destiny.”). The majority’s disagreement with Justice Douglas in that case turned not on any contrary view of children’s interest in their own education, but on the impact of the Free Exercise Clause of the First Amendment on its analysis of school-related decisions by the Amish community.
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This is not, of course, to suggest that a child’s liberty interest in maintaining contact with a particular individual is to be treated invariably as on a par with that child’s parents’ contrary interests. Because our substantive due process case law includes a strong presumption that a parent will act [*90] in the best interest of her child, it would be necessary, were the state appellate courts actually to confront a challenge to the statute as applied, to consider whether the trial court’s assessment of the “best interest of the child” incorporated that presumption. Neither would I decide whether the trial court applied Washington’s statute in a constitutional way in this case, although, as I have explained, n. 3, supra, I think the outcome of this determination is far from clear. For the purpose of a facial challenge like this, I think it safe to assume that trial judges usually give great deference to parents’ wishes, and I am not persuaded otherwise here.
But presumptions notwithstanding, we should recognize that there may be circumstances in which a child has a stronger interest at stake than mere protection from serious harm caused by the termination of visitation by a “person” other than a parent. The almost infinite variety of family relationships that pervade our ever-changing society strongly counsel against the creation by this Court of a constitutional rule that treats a biological parent’s liberty interest in the care and supervision of her child as an isolated right that may be exercised arbitrarily. It is indisputably the business of the States, rather than a federal court employing a national standard, to assess in [***72] the first instance the relative importance of the conflicting interests that give rise to disputes such as this. n10 Far from guaranteeing that [*91] parents’ interests will be trammeled in the sweep of cases arising under the statute, the Washington law merely gives an individual — with whom a child may have an established relationship—the procedural right to ask the State to act as arbiter, through the entirely well-known best-interests standard, between the parent’s protected interests and the child’s. [**2074] It seems clear to me that the Due Process Clause of the Fourteenth Amendment leaves room for States to consider the impact on a child of possibly arbitrary parental decisions that neither serve nor are motivated by the best interests of the child.
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n10 See Palmore v. Sidoti, 466 U.S. 429, 431, 80 L. Ed. 2d 421, 104 S. Ct.
1879 (1984) (“The judgment of a state court determining or reviewing a child custody decision is not ordinarily a likely candidate for review by this Court”); cf. Collins v. City of Harker Heights, 503 U.S. 115, 128, 117 L. Ed. 2d 261, 112 S. Ct. 1061 (1992) (matters involving competing and multifaceted social and policy decisions best left to local decisionmaking); Regents of the University of Michigan v. Ewing, 474 U.S. 214, 226, 88 L. Ed. 2d 523, 106 S. Ct. 507 (1985) (emphasizing “our reluctance to trench on the prerogatives of state and local educational institutions” as federal courts are ill-suited to “evaluate the substance of the multitude of academic decisions that are made daily by” experts in the field evaluating cumulative information”). That caution is never more essential than in the realm of family and intimate relations. In part, this principle is based on long-established, if somewhat arbitrary, tradition in allocating responsibility for resolving disputes of various kinds in our federal system. Ankenbrandt v. Richards, 504 U.S. 689, 119 L. Ed. 2d 468, 112 S. Ct. 2206 (1992). But the instinct against over-regularizing decisions about personal relations is sustained on firmer ground than mere tradition. It flows in equal part from the premise that people and their intimate associations are complex and particular, and imposing a rigid template upon them all risks severing bonds our society would do well to preserve.
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Accordingly, I respectfully dissent.
JUSTICE SCALIA, dissenting.
In my view, a right of parents to direct the upbringing of their children is among the “unalienable Rights” with which the Declaration of Independence proclaims “all Men . . . are endowed by their Creator.” And in my view that right is also among the “other [rights] retained by the people” which the Ninth Amendment says the Constitution’s enumeration of rights “shall not be construed to deny or disparage.” The Declaration of Independence, however, is not a legal prescription conferring powers upon the courts; and the Constitution’s refusal to “deny or disparage” other rights is far removed from affirming any one of them, and even farther removed from authorizing judges to identify what they might be, and to enforce the judges’ list against laws duly enacted by the people. Consequently, while I would think it entirely compatible with the commitment to representative [*92] democracy set forth in the founding documents to argue, in legislative chambers or in electoral campaigns, that the state has no power to interfere with parents’ authority over the rearing of their children, I do not believe that the power which the Constitution confers upon me as a judge entitles me to deny legal effect to laws that (in my view) infringe upon what is (in my view) that unenumerated right.
Only three holdings of this Court rest in whole or in part upon a substantive constitutional right of parents to direct the upbringing of their [***73] children n1 — two of them from an era rich in substantive due process holdings that have since been repudiated. See Meyer v. Nebraska, 262 U.S. 390, 399, 401, 67 L. Ed. 1042, 43 S. Ct. 625 (1923); Pierce v. Society of Sisters, 268 U.S. 510, 534-535, 69 L. Ed. 1070, 45 S. Ct. 571 (1925); Wisconsin v. Yoder, 406 U.S. 205, 232-233, 32 L. Ed. 2d 15, 92 S. Ct. 1526 (1972). Cf. West Coast Hotel Co. v. Parrish, 300 U.S. 379, 81 L. Ed. 703, 57 S. Ct. 578 (1937) (overruling Adkins v. Children’s Hospital of D. C., 261 U.S. 525, 67 L. Ed. 785, 43 S. Ct. 394 (1923)). The sheer diversity of today’s opinions persuades me that the theory of unenumerated parental rights underlying these three cases has small claim to stare decisis protection. A legal principle that can be thought to produce such diverse outcomes in the relatively simple case before us here is not a legal principle that has induced substantial reliance. While I would not now overrule those earlier cases (that has not been urged), neither would I extend the theory upon which they rested to this new context.
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n1 Whether parental rights constitute a “liberty” interest for purposes of procedural due process is a somewhat different question not implicated here. Stanley v. Illinois, 405 U.S. 645, 31 L. Ed. 2d 551, 92 S. Ct. 1208 (1972), purports to rest in part upon that proposition, see 405 U.S. at 651-652; but see Michael H. v. Gerald D., 491 U.S. 110, 120-121, 105 L. Ed. 2d 91, 109 S. Ct. 2333 (1989) (plurality opinion), though the holding is independently supported on equal protection grounds, see Stanley, supra, at 658.
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Judicial vindication of “parental rights” under a Constitution that does not
even mention them requires (as JUSTICE KENNEDY’s opinion rightly points out) not
only a judicially crafted definition of parents, but also—unless, as no one
believes, [*93] the parental rights are to be absolute—judicially approved
assessments of “harm to the child” and judicially defined gradations of other
persons (grandparents, extended family, adoptive family in an adoption later
found to be invalid, long-term guardians, etc.) who may have some claim against
the wishes of the parents. If we [**2075] embrace this unenumerated right, I
think it obvious—whether we affirm or reverse the judgment here, or remand as
JUSTICE STEVENS or JUSTICE KENNEDY would do—that we will be ushering in a new
regime of judicially prescribed, and federally prescribed, family law. I have no
reason to believe that federal judges will be better at this than state
legislatures; and state legislatures have the great advantages of doing harm in
a more circumscribed area, of being able to correct their mistakes in a flash,
and of being removable by the people. n2
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n2 I note that respondent is asserting only, on her own behalf, a substantive due process right to direct the upbringing of her own children, and is not asserting, on behalf of her children, their First Amendment rights of association or free exercise. I therefore do not have occasion to consider whether, and under what circumstances, the parent could assert the latter enumerated rights.
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For these reasons, I would reverse the judgment below.
JUSTICE KENNEDY, dissenting.
The Supreme Court of Washington has determined that petitioners Jenifer and Gary Troxel have standing under state law to seek court-ordered visitation with their grandchildren, notwithstanding the objections of the children’s parent, respondent Tommie Granville. The statute relied upon provides:
“Any person may petition the court for visitation rights at any time including, but not limited to, custody [***74] proceedings. The court may order visitation rights for any person when visitation may serve the best interest of the child whether or not there has been any change of circumstances.” Wash. Rev. Code § 26.10.160(3) (1994). [*94]
After acknowledging this statutory right to sue for visitation, the State Supreme Court invalidated the statute as violative of the United States Constitution, because it interfered with a parent’s right to raise his or her child free from unwarranted interference. In re Smith, 137 Wn.2d 1, 969 P.2d 21 (1998). Although parts of the court’s decision may be open to differing interpretations, it seems to be agreed that the court invalidated the statute on its face, ruling it a nullity.
The first flaw the State Supreme Court found in the statute is that it allows an award of visitation to a non-parent without a finding that harm to the child would result if visitation were withheld; and the second is that the statute allows any person to seek visitation at any time. In my view the first theory is too broad to be correct, as it appears to contemplate that the best interests of the child standard may not be applied in any visitation case. I acknowledge the distinct possibility that visitation cases may arise where, considering the absence of other protection for the parent under state laws and procedures, the best interests of the child standard would give insufficient protection to the parent’s constitutional right to raise the child without undue intervention by the state; but it is quite a different matter to say, as I understand the Supreme Court of Washington to have said, that a harm to the child standard is required in every instance.
Given the error I see in the State Supreme Court’s central conclusion that the best interests of the child standard is never appropriate in third-party visitation cases, that court should have the first opportunity to reconsider this case. I would remand the case to the state court for further proceedings. If it then found the statute has been applied in an unconstitutional manner because the best interests of the child standard gives insufficient protection to a parent under the circumstances of this case, or if it again declared the statute a nullity because the statute seems to allow any person [*95] at all to seek visitation at any time, the decision would present other issues which may or may not warrant further review in this Court. These include not only the protection the [**2076] Constitution gives parents against state-ordered visitation but also the extent to which federal rules for facial challenges to statutes control in state courts. These matters, however, should await some further case. The judgment now under review should be vacated and remanded on the sole ground that the harm ruling that was so central to the Supreme Court of Washington’s decision was error, given its broad formulation.
Turning to the question whether harm to the child must be the controlling standard in every visitation proceeding, there is a beginning point that commands general, perhaps unanimous, agreement in our separate opinions: As our case law has developed, the custodial parent has a constitutional right to determine, without undue interference by the state, how best to raise, nurture, and educate the child. The parental right stems from the liberty protected by the Due Process Clause of the Fourteenth Amendment. See, e.g., Meyer [***75] v. Nebraska, 262 U.S. 390, 399, 401, 67 L. Ed. 1042, 43 S. Ct. 625 (1923);
Pierce v. Society of Sisters, 268 U.S. 510, 534-535, 69 L. Ed. 1070, 45 S. Ct.
571 (1925); Prince v. Massachusetts, 321 U.S. 158, 166, 88 L. Ed. 645, 64 S. Ct.
438 (1944); Stanley v. Illinois, 405 U.S. 645, 651-652, 31 L. Ed. 2d 551, 92 S. Ct. 1208 (1972); Wisconsin v. Yoder, 406 U.S. 205, 232-233, 32 L. Ed. 2d 15, 92 S. Ct. 1526 (1972); Santosky v. Kramer, 455 U.S. 745, 753-754, 71 L. Ed. 2d 599, 102 S. Ct. 1388 (1982). Pierce and Meyer, had they been decided in recent times, may well have been grounded upon First Amendment principles protecting freedom of speech, belief, and religion. Their formulation and subsequent interpretation have been quite different, of course; and they long have been interpreted to have found in Fourteenth Amendment concepts of liberty an independent right of the parent in the “custody, care and nurture of the child,” free from state intervention. Prince, supra, at 166. The principle exists, then, in broad formulation; yet courts must use considerable restraint, including careful adherence to the incremental instruction [*96] given by the precise facts of particular cases, as they seek to give further and more precise definition to the right.
The State Supreme Court sought to give content to the parent’s right by announcing a categorical rule that third parties who seek visitation must always prove the denial of visitation would harm the child. After reviewing some of the relevant precedents, the Supreme Court of Washington concluded “’the requirement of harm is the sole protection that parents have against pervasive state interference in the parenting process.’” In re Smith, 137 Wn.2d at 19-20, 969 P.2d at 30 (quoting Hawk v. Hawk, 855 S.W.2d 573, 580 (Tenn. 1993)). For that reason, “short of preventing harm to the child,” the court considered the best interests of the child to be “insufficient to serve as a compelling state interest overruling a parent’s fundamental rights.” In re Smith, supra, at 20, 969 P.2d at 30.
While it might be argued as an abstract matter that in some sense the child is always harmed if his or her best interests are not considered, the law of domestic relations, as it has evolved to this point, treats as distinct the two standards, one harm to the child and the other the best interests of the child. The judgment of the Supreme Court of Washington rests on that assumption, and I, too, shall assume that there are real and consequential differences between the two standards.
On the question whether one standard must always take precedence over the other in order to protect the right of the parent or parents, “our Nation’s history, legal traditions, and practices” do not give us clear or definitive answers. Washington v. Glucksberg, 521 U.S. 702, 721, 138 L. Ed. 2d 772, 117 S. Ct. 2258 (1997). The consensus among courts and commentators is that at least through the 19th century there was no legal right of visitation; court-ordered visitation appears to be a 20th-century phenomenon. [**2077] See, e.g., 1 D. Kramer, Legal Rights of Children 124, 136 (2d ed. 1994); 2 J. Atkinson, Modern [*97] Child Custody Practice § 8.10 (1986). A case often cited as one of the earliest visitation decisions, Succession of Reiss, 46 La. Ann. 347, 353, 15 So. 151, 152 (1894), explained that “the obligation ordinarily to visit grandparents is moral and not legal” [***76] — a conclusion which appears consistent with that of American common law jurisdictions of the time. Early 20th-century exceptions did occur, often in cases where a relative had acted in a parental capacity, or where one of a child’s parents had died. See Douglass v. Merriman, 163 S.C. 210, 161 S.E. 452 (1931) (maternal grandparent awarded visitation with child when custody was awarded to father; mother had died); Solomon v. Solomon, 319 Ill. App. 618, 49 N.E.2d 807 (1943) (paternal grandparents could be given visitation with child in custody of his mother when their son was stationed abroad; case remanded for fitness hearing); Consaul v. Consaul, 63 N.Y.S.2d 688 (Sup. Ct. Jefferson Cty. 1946) (paternal grandparents awarded visitation with child in custody of his mother; father had become incompetent). As a general matter, however, contemporary state-court decisions acknowledge that “historically, grandparents had no legal right of visitation,” Campbell v. Campbell, 896 P.2d 635, 642, n. 15 (Utah App. 1995), and it is safe to assume other third parties would have fared no better in court.
To say that third parties have had no historical right to petition for visitation does not necessarily imply, as the Supreme Court of Washington concluded, that a parent has a constitutional right to prevent visitation in all cases not involving harm. True, this Court has acknowledged that States have the authority to intervene to prevent harm to children, see, e.g., Prince, 321 U.S. at 168-169; Yoder, 406 U.S. at 233-234, but that is not the same as saying that a heightened harm to the child standard must be satisfied in every case in which a third party seeks a visitation order. It is also true that the law’s traditional presumption has been “that natural bonds of affection lead parents to act in the [*98] best interests of their children,” Parham v. J. R., 442 U.S. 584, 602, 61 L. Ed. 2d 101, 99 S. Ct. 2493 (1979); and “simply because the decision of a parent is not agreeable to a child or because it involves risks does not automatically transfer the power to make that decision from the parents to some agency or officer of the state,” 442 U.S. at 603. The State Supreme Court’s conclusion that the Constitution forbids the application of the best interests of the child standard in any visitation proceeding, however, appears to rest upon assumptions the Constitution does not require.
My principal concern is that the holding seems to proceed from the assumption that the parent or parents who resist visitation have always been the child’s primary caregivers and that the third parties who seek visitation have no legitimate and established relationship with the child. That idea, in turn, appears influenced by the concept that the conventional nuclear family ought to establish the visitation standard for every domestic relations case. As we all know, this is simply not the structure or prevailing condition in many households. See, e.g., Moore v. East Cleveland, 431 U.S. 494, 52 L. Ed. 2d 531, 97 S. Ct. 1932 (1977). For many boys and girls a traditional family with two or even one permanent and caring parent is simply not the reality of their childhood. This may be so whether their childhood has been marked by tragedy or filled with considerable happiness and fulfillment.
Cases are sure to arise—perhaps a [***77] substantial number of cases— in which a third party, by acting in a caregiving role over a significant period of time, has developed a relationship with a child which is not necessarily subject to absolute parental veto. See Michael H. v. Gerald D., 491 U.S. 110, 105 L. Ed. 2d 91, 109 S. Ct. 2333 (1989) (putative natural father not entitled to rebut state law presumption that child born in a [**2078] marriage is a child of the marriage); Quilloin v. Walcott, 434 U.S. 246, 54 L. Ed. 2d 511, 98 S. Ct. 549 (1978) (best interests standard sufficient in adoption proceeding to protect interests of natural father who had not legitimated the child); see also Lehr v. Robertson, 463 U.S. 248, 261, 77 L. Ed. 2d 614, 103 S. Ct. 2985 (1983) (“’The importance of the familial relationship, to the individuals involved [*99] and to the society, stems from the emotional attachments that derive from the intimacy of daily association, and from the role it plays in ‘promoting a way of life’ through the instruction of children . . . as well as from the fact of blood relationship.’” (quoting Smith v. Organization of Foster Families For Equality & Reform, 431 U.S. 816, 844, 53 L. Ed. 2d 14, 97 S. Ct. 2094 (1977) (in turn quoting Yoder, 406 U.S. at 231-233))). Some pre-existing relationships, then, serve to identify persons who have a strong attachment to the child with the concomitant motivation to act in a responsible way to ensure the child’s welfare. As the State Supreme Court was correct to acknowledge, those relationships can be so enduring that “in certain circumstances where a child has enjoyed a substantial relationship with a third person, arbitrarily depriving the child of the relationship could cause severe psychological harm to the child,” In re Smith, 137 Wn.2d at 20, 969 P.2d at 30; and harm to the adult may also ensue. In the design and elaboration of their visitation laws, States may be entitled to consider that certain relationships are such that to avoid the risk of harm, a best interests standard can be employed by their domestic relations courts in some circumstances.
Indeed, contemporary practice should give us some pause before rejecting the best interests of the child standard in all third-party visitation cases, as the Washington court has done. The standard has been recognized for many years as a basic tool of domestic relations law in visitation proceedings. Since 1965 all 50 States have enacted a third-party visitation statute of some sort. See ante, at 15, n. (plurality opinion). Each of these statutes, save one, permits a court order to issue in certain cases if visitation is found to be in the best interests of the child. While it is unnecessary for us to consider the constitutionality of any particular provision in the case now before us, it can be noted that the statutes also include a variety of methods for limiting parents’ exposure to third-party visitation petitions and for ensuring parental decisions are given respect. Many States [*100] limit the identity of permissible petitioners by restricting visitation petitions to grandparents, or by requiring petitioners to show a substantial relationship with a child, or both. See, e.g., Kan. Stat. Ann. § 38-129 (1993 and Supp. 1998) (grandparent visitation authorized under certain circumstances if a substantial relationship exists); N. C. Gen. Stat. §§ 50-13.2, 50-13. 2 A. 50-13.5 (1999) (same); Iowa Code § 598.35 (Supp. 1999) (same; visitation also authorized for great-grandparents); Wis. Stat. § 767.245 [***78] (Supp. 1999) (visitation authorized under certain circumstances for “a grandparent, greatgrandparent, stepparent or person who has maintained a relationship similar to a parent-child relationship with the child”). The statutes vary in other respects—for instance, some permit visitation petitions when there has been a change in circumstances such as divorce or death of a parent, see, e.g., N. H. Rev. Stat. Ann. § 458:17-d (1992), and some apply a presumption that parental decisions should control, see, e.g., Cal. Fam. Code Ann. §§ 3104(e)-(f) (West 1994); R. I. Gen. Laws § 15-5-24.3(a)(2)(v) (Supp. 1999). Georgia’s is the sole State Legislature to have adopted a general harm to the child standard, see Ga. Code Ann. § 19-7-3(c) (1999), and it did so only after the Georgia Supreme Court held the State’s prior visitation statute invalid under the Federal and Georgia Constitutions, see Brooks v. Parkerson, 265 Ga. 189, 454 S.E.2d 769, cert. denied, 516 U.S. 942, 133 L. Ed. 2d 301, 116 S. Ct. 377 (1995). [**2079] [***LEdHR2B] [2B] In light of the inconclusive historical record and case law, as well as the almost universal adoption of the best interests standard for visitation disputes, I would be hard pressed to conclude the right to be free of such review in all cases is itself “’implicit in the concept of ordered liberty.’” Glucksberg, 521 U.S. at 721 (quoting Palko v. Connecticut, 302 U.S. 319, 325, 82 L. Ed. 288, 58 S. Ct. 149 (1937)). In my view, it would be more appropriate to conclude that the constitutionality of the application of the best interests standard depends on more specific factors. In short, a fit parent’s right vis-a-vis a complete [*101] stranger is one thing; her right vis-a-vis another parent or a de facto parent may be another. The protection the Constitution requires, then, must be elaborated with care, using the discipline and instruction of the case law system. We must keep in mind that family courts in the 50 States confront these factual variations each day, and are best situated to consider the unpredictable, yet inevitable, issues that arise. Cf. Ankenbrandt v. Richards, 504 U.S. 689, 703-704, 119 L. Ed. 2d 468, 112 S. Ct.
2206 (1992).
It must be recognized, of course, that a domestic relations proceeding in and of itself can constitute state intervention that is so disruptive of the parent-child relationship that the constitutional right of a custodial parent to make certain basic determinations for the child’s welfare becomes implicated. The best interests of the child standard has at times been criticized as indeterminate, leading to unpredictable results. See, e.g., American Law Institute, Principles of the Law of Family Dissolution 2, and n. 2 (Tentative Draft No. 3, Mar. 20, 1998). If a single parent who is struggling to raise a child is faced with visitation demands from a third party, the attorney’s fees alone might destroy her hopes and plans for the child’s future. Our system must confront more often the reality that litigation can itself be so disruptive that constitutional protection may be required; and I do not discount the possibility that in some instances the best interests of the child standard may provide insufficient protection to the parent-child relationship. We owe it to the Nation’s domestic relations legal structure, however, to proceed with caution.
It should suffice in this case to reverse the holding of the State Supreme Court that the application of [***79] the best interests of the child standard is always unconstitutional in third-party visitation cases. Whether, under the circumstances of this case, the order requiring visitation over the objection of this fit parent violated the Constitution ought to be reserved for further proceedings. Because of its sweeping ruling requiring [*102] the harm to the child standard, the Supreme Court of Washington did not have the occasion to address the specific visitation order the Troxels obtained. More specific guidance should await a case in which a State’s highest court has considered all of the facts in the course of elaborating the protection afforded to parents by the laws of the State and by the Constitution itself. Furthermore, in my view, we need not address whether, under the correct constitutional standards, the Washington statute can be invalidated on its face. This question, too, ought to be addressed by the state court in the first instance.
In my view the judgment under review should be vacated and the case remanded for further proceedings.
REFERENCES: Return To Full Text Opinion
Go to Supreme Court Brief(s)
Go to Oral Argument Transcript
16A Am Jur 2d, Constitutional Law 575
USCS, Constitution, Amendment 14
L Ed Digest, Constitutional Law 528.5
L Ed Index, Children and Minors; Visits and Visitation
Annotation References:
Supreme Court’s views as to concept of “liberty” under due process clauses of Fifth and Fourteenth Amendments. 47 L Ed 2d 975.
Complicated serious of cases created to defend against a mountaineering death.
Posted: December 13, 2010 Filed under: California, Mountaineering, Release (pre-injury contract not to sue) | Tags: fatality, Geographic Expeditions, Inc., Kilimanjaro, Mount Kilimanjaro, Mountain Climbing, Mountaineering, Mt Kilimanjaro Leave a commentWrong documents were used in front of the wrong judge. However, the concept of fairness wins out when the court is presented with a fatality and overbearing agreements.
GeoEx, Geographic Expeditions, a California company runs guided trips on Mount Kilimanjaro. A mother and son from Colorado wanted to climb Mount Kilimanjaro and signed up for the climb. While climbing the mountain, the son experienced fatigue and trouble sleeping. He was sent back down the mountain with an assistant guide. During the descent, he died.
The plaintiffs claim the deceased died because GeoEx did not recognize and properly treat the deceased condition. Supplemental oxygen was available but not administered nor was a “rapid descent” ordered.
GeoEx is not a physician and diagnosing illness by anyone other than a physician is illegal, but who cares in litigation…..
HAPE is difficult to diagnose by a physician. Someone with HAPE may not be able to descend quickly and oxygen rarely does anything to treat HAPE.
There is a screw up because someone did not get the correct medical information in front of a judge.
The defendant in this case did not use a release. Instead, it used a complicated document identified as a “participation contract.” This agreement had a clause that stated:
I agree that in the unlikely event a dispute of any kind arises between me and GeoEx, the following conditions apply: (a) the dispute will be submitted to a neutral third-party mediator in San Francisco, California, with both parties’ equally dividing the costs of such a mediator. If the dispute cannot be resolved through mediation, then (b) the dispute will be submitted for binding arbitration to the American Arbitration Association in San Francisco, California; (c) the dispute will be governed by California law; and (d) the maximum amount of recovery to which I will be entitled under any circumstances will be the sum of the land and air cost of my trip with GeoEx. I agree that this is a fair and reasonable limitation on the damages, of any sort whatsoever, that I may suffer.
A suit was filed in California by the plaintiff. The California judge held under California law that the agreement was unconscionable. California has a specific statute that holds if a judge finds a contract clause unconscionable it can throw the clause out.
Cal Civ Code § 1670.5 (2010)
§ 1670.5. Unconscionable contract
(a) If the court as a matter of law finds the contract or any clause of the contract to have been unconscionable at the time it was made the court may refuse to enforce the contract, or it may enforce the remainder of the contract without the unconscionable clause, or it may so limit the application of any unconscionable clause as to avoid any unconscionable result.
(b) When it is claimed or appears to the court that the contract or any clause thereof may be unconscionable the parties shall be afforded a reasonable opportunity to present evidence as to its commercial setting, purpose, and effect to aid the court in making the determination.
The court found the following parts of the contract as unconscionable. The contract required mandatory arbitration with the costs to be split by both parties. Even if the deceased’s survivors won the arbitration, they still had to indemnify GeoEx. The total amount of money the deceased family could win was what they spent on the trip, or in this case $16,000.
Unconscionable is a legal term that means the parties were in an unequal bargaining position. The was offered the contract on a take it or leave it basis and the terms of the contract are so one-sided and unfair to the wronged party that the contract is unconscionable. Another term applied to contracts of this type is adhesion.
GeoEx argued that the contract was the same as other outfitters would use and the court did not believe them. [Well Yes and No. I do not know of an outfitter that would not use a release. However, I’m not sure about a participate contract.]
This was in a decision in the California Court System Lhotka v. Geographic Expeditions, Inc., 181 Cal. App. 4th 816; 104 Cal. Rptr. 3d 844; 2010 Cal. App. LEXIS 114
GeoEx then filed a complaint in the Federal Court to compel arbitration of the claim as set forth in the contract. The federal court trial judge dismissed the complaint. Geographic Expeditions, Inc., Petitioner, v. The Estate Of Jason Lhotka, 2008 U.S. Dist. LEXIS 105691. The dismissal was appealed and overturned. Geographic Expeditions, Inc., v. The Estate Of Jason Lhotka, 599 F.3d 1102; 2010 U.S. App. LEXIS 6606.
This decision centered on whether the defenses of GeoEx removed the case from Federal jurisdiction. To maintain a case in Federal Court the parties must be from different states and the amount in controversy must be more than $75,000. Here the parties are from California and Colorado. The issue was if the arbitration clause was upheld then the damages would be limited to the amount the parties spent on the trip which was the limitation in the contract they signed or $16,000.
So?
At this point, I’m not sure what the status of the case is. This is what I know.
1. You need to use a release. Releases are recognized by the courts and accepted by the courts. Releases are used by everyone and probably not subject to this type of attack.
2. Contracts for non-necessities or as in this case recreation are not held to the standard of review as a contract for necessities or something that a family must have to survive. This court ignored this proposition.
3. The court brought up the ancient idea that the contract was unconscionable because it was the only option and un-modifiable by the parties. This may force companies to offer to allow people to take a trip without signing a release for a different price. But what price can you come up with to write a check for any injury?
4. The arbitration clause prevented the deceased family from recovering their damages, even if they proved gross negligence. The arbitration clause really ticked off the California court.
The simple fact is if you screw up, and you prevent lawsuits to the point that the court finds the position of the injured party to be unconscionable. The court is going to make sure you lose. If your contracts are not only one-sided but punitive on top of that, the court is going to throw out your agreements.
You can stop a lawsuit. Most states agree with this idea. You cannot stop an injured party from suing and expect them to pay you if you do. Courts do not uphold indemnification clauses in releases. Nor will they uphold an indemnification clause or a fee splitting clause like this when the parties are at such unequal bargaining position and the damages are so great.
Win, but don’t attempt, in advance, to beat your guests into the ground to do so.
For other cases on release see:
Sky Diving Release defeats claim by Naval Academy student
Aspen Skiing Company Release stops claim by injured guest hit by an employee on snowmobile.
If you make a promise to attract participants, you must come through on your promises.
New Florida law allows a parent to sign away a child’s right to sue for injuries.
For general articles about releases see: What is a Release?
What do you think? Leave a comment.
| Jim Moss is an attorney specializing in the legal issues of the outdoor recreation community. He represents guides, guide services, and outfitters both as businesses and individuals and the products they use for their business. He has defended Mt. Everest guide services, summer camps, climbing rope manufacturers; avalanche beacon manufacturers, and many more manufacturers and outdoor industries. Contact Jim at Jim@Rec-Law.us |
Jim is the author or co-author of eight books about legal issues in the outdoor recreation world; the latest is Outdoor Recreation Insurance, Risk Management, and Law. To Purchase Go Here:
To see Jim’s complete bio go here and to see his CV you can find it here. To find out the purpose of this website go here.
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Lhotka v. Geographic Expeditions, Inc., 181 Cal. App. 4th 816; 104 Cal. Rptr. 3d 844; 2010 Cal. App. LEXIS 114
Posted: December 13, 2010 Filed under: California, Mountaineering, Release (pre-injury contract not to sue) | Tags: Kilimanjaro, Mount Kilimanjaro, Mountain Climbing, Mountaineering, Mt Kilimanjaro Leave a commentLhotka v. Geographic Expeditions, Inc., 181 Cal. App. 4th 816; 104 Cal. Rptr. 3d 844; 2010 Cal. App. LEXIS 114
ELENA LHOTKA, Individually and as Executor, etc., et al., Plaintiffs and Respondents, v. GEOGRAPHIC EXPEDITIONS, INC., Defendant and Appellant.
A123725
COURT OF APPEAL OF CALIFORNIA, FIRST APPELLATE DISTRICT, DIVISION THREE
181 Cal. App. 4th 816; 104 Cal. Rptr. 3d 844; 2010 Cal. App. LEXIS 114
January 29, 2010, Filed
SUBSEQUENT HISTORY: Review denied by Lhotka (Elena) v. Geographic Expeditions, Inc., 2010 Cal. LEXIS 3320 (Cal., Apr. 14, 2010)
PRIOR HISTORY: [***1]
Superior Court of San Francisco City & County, No. 477496, Patrick J. Mahoney, Judge.
SUMMARY:
CALIFORNIA OFFICIAL REPORTS SUMMARY
The trial court denied a travel company’s motion to compel arbitration of a wrongful death action brought against it by the survivors of a client who died on a hiking expedition. The travel company told participants that they had to sign an unmodified release form to participate in the expedition and that other travel companies had the same requirements. The agreement limited recovery to the amount paid for the trip, required the survivors to indemnify the travel company for its legal costs and fees if they pursued any released claims, and required them to pay half of any mediation fees and to mediate and arbitrate in a city far from their home. (Superior Court of the City and County of San Francisco, No. 477496, Patrick J. Mahoney, Judge.)
The Court of Appeal affirmed, observing that a sliding scale is applied in determining unconscionability so that the more substantively oppressive a term, the less evidence of procedural unconscionability is required to find it unenforceable, and vice versa. Although the activity was nonessential and recreational, the company’s representation that its competitors would insist on the same terms was sufficient to find procedural unconscionability. The one-sided nature of the terms established substantive unconscionability, and the trial court reasonably found under Civ. Code, § 1670.5, subd. (a), that the agreement was so permeated by unconscionability that severing the limitation on damages would not further the interests of justice. (Opinion by Siggins, J., with McGuiness, P. J., and Pollak, J., concurring.) [*817]
HEADNOTES
CALIFORNIA OFFICIAL REPORTS HEADNOTES
CA(1)
(1) Contracts § 13.4—Legality—Enforceability—Unconscionable Contracts—Procedural and Substantive Elements.—Unconscionability includes an absence of meaningful choice on the part of one of the parties together with contract terms which are unreasonably favorable to the other party. Phrased another way, unconscionability has both a procedural and a substantive element. The procedural element requires oppression or surprise. Oppression occurs where a contract involves lack of negotiation and meaningful choice, surprise where the allegedly unconscionable provision is hidden within a prolix printed form. The substantive element concerns whether a contractual provision reallocates risks in an objectively unreasonable or unexpected manner. Under this approach, both the procedural and substantive elements must be met before a contract or term will be deemed unconscionable. Both, however, need not be present to the same degree. A sliding scale is applied so that the more substantively oppressive the contract term, the less evidence of procedural unconscionability is required to come to the conclusion that the term is unenforceable, and vice versa.
CA(2)
(2) Contracts § 13.4—Legality—Enforceability—Unconscionable Contracts—Recreational Activities.—While the nonessential nature of recreational activities is a factor to be taken into account in assessing whether a contract is oppressive, it is not necessarily the dispositive factor. The customer’s ability to walk away rather than sign the offending contract is not dispositive. The availability of similar goods or services elsewhere may be relevant to whether a contract is one of adhesion, but even if it is not an adhesion contract, it can still be found unconscionable. Moreover, in a given case, a contract may be adhesive even if the weaker party can reject the terms and go elsewhere.
CA(3)
(3) Contracts § 13.4—Legality—Enforceability—Unconscionable Contracts—Oppression.—The option not to participate, like any availability of market alternatives, is relevant to the existence, and degree, of oppression. But a court must also consider the other circumstances surrounding the execution of the agreement. Oppression arises from an inequality of bargaining power which results in no real negotiation and an absence of meaningful choice.
CA(4)
(4) Contracts § 13.4—Legality—Enforceability—Unconscionable Contracts—Substantive Unconscionability.—Substantive unconscionability focuses on the one-sidedness or overly harsh effect of a contract term or clause. [*818]
CA(5)
(5) Contracts § 13.4—Legality—Enforceability—Unconscionable Contracts—Arbitration Agreements—Severance of Unconscionable Provision.—A trial court has discretion under Civ. Code, § 1670.5, subd. (a), to refuse to enforce an entire agreement if the agreement is permeated by unconscionability. An arbitration agreement can be considered permeated by unconscionability if it contains more than one unlawful provision. Such multiple defects indicate a systematic effort to impose arbitration not simply as an alternative to litigation, but as an inferior forum that works to the stronger party’s advantage. The overarching inquiry is whether the interests of justice would be furthered by severance.
CA(6)
(6) Contracts § 13.4—Legality—Enforceability—Unconscionable Contracts—Arbitration Agreements.—The trial court, in denying a travel company’s motion to compel arbitration of a wrongful death action brought by the survivors of a client who died on a hiking expedition, identified multiple elements of the agreement that indicated the travel company designed its arbitration clause not simply as an alternative to litigation, but as an inferior forum that would give it an advantage. In addition to limiting the survivors’ recovery, the agreement required them to indemnify the travel company for its legal costs and fees if they pursued any claims covered by the release agreement. These one-sided burdens were compounded by the requirements that the survivors pay half of any mediation fees and mediate and arbitrate in the travel company’s choice of venue, far from their home. It was within the trial court’s discretion to conclude this agreement was so permeated by unconscionability that the interests of justice would not be furthered by severing the damages limitation clause and enforcing the remainder.
[Cal. Forms of Pleading and Practice (2009) ch. 140, Contracts, § 140.25; 2 Crompton et al., Matthew Bender Practice Guide: Cal. Contract Litigation (2009) § 18.19.]
COUNSEL: Rubin, Hay & Gould, Rodney E. Gould; Walsworth, Franklin, Bevins & McCall, Laurie E. Sherwood and Alex F. Pevzner for Defendant and Appellant.
Law Offices of David J. Bennion, David J. Bennion; Law Office of Daniel U. Smith and Daniel U. Smith for Plaintiffs and Respondents.
JUDGES: Opinion by Siggins, J., with McGuiness, P. J., and Pollak, J., concurring.
OPINION BY: Siggins [*819]
OPINION
(GeoEx), appeals from an order denying its motion to compel arbitration of a wrongful death action brought by the survivors of one of its clients who died on a Mount Kilimanjaro hiking expedition. GeoEx contends the trial court erred when it ruled that the agreement to arbitrate contained in GeoEx’s release form was unconscionable. Alternatively, GeoEx contends that if the court correctly concluded the arbitration clause was unconscionable, the court abused its discretion in striking the clause in its entirety rather than severing the objectionable provisions and enforcing the remainder. We find neither point is persuasive, and therefore affirm the order.
BACKGROUND
Jason Lhotka was 37 years old when [***2] he died of an altitude-related illness while on a GeoEx expedition up Mount Kilimanjaro with his mother, plaintiff Sandra Menefee. 1 GeoEx’s limitation of liability and release form, which both Lhotka and Menefee signed as a requirement of participating in the expedition, provided that each of them released GeoEx from all liability in connection with the trek and waived any claims for liability “to the maximum extent permitted by law.” The release also required that the parties would submit any disputes between themselves first to mediation and then to binding arbitration. It reads: “I understand that all Trip Applications are subject to acceptance by GeoEx in San Francisco, California, USA. I agree that in the unlikely event a dispute of any kind arises between me and GeoEx, the following conditions will apply: (a) the dispute will be submitted to a neutral third-party mediator in San Francisco, California, with both parties splitting equally the cost of such mediator. If the dispute cannot be resolved through mediation, then (b) the dispute will be submitted for binding arbitration to the American Arbitration Association in San Francisco, California; (c) the dispute will be governed [***3] by California law; and (d) the maximum amount of recovery to which I will be entitled under any and all circumstances will be the sum of the land and air cost of my trip with GeoEx. I agree that this is a fair and reasonable limitation on the damages, of any sort whatsoever, that I may suffer. [¶] I agree to fully indemnify GeoEx for all of its costs (including attorneys’ fees) if I commence an action or claim against GeoEx based upon claims I have previously released or waived by signing this release.” Menefee paid $ 16,831 for herself and Lhotka to go on the trip.
– – – – – – – – – – – – – – Footnotes – – – – – – – – – – – – – – –
1 The other plaintiffs and respondents are Elena Lhotka, individually and as executor of the estate, and Nicholas Lhotka by his guardian ad litem (also Elena Lhotka).
– – – – – – – – – – – – End Footnotes- – – – – – – – – – – – – –
A letter from GeoEx president James Sano that accompanied the limitation of liability and release explained that the form was mandatory and that, on [*820] this point, “our lawyers, insurance carriers and medical consultants give us no discretion. A signed, unmodified release form is required before any traveler may join one of our trips. [¶] Ultimately, we believe that you should choose your travel company based on its track record, not what you are asked to sign. [***4] … My review of other travel companies’ release forms suggests that our forms are not a whole lot different from theirs.”
After her son’s death, Menefee sued GeoEx for wrongful death and alleged various [**848] theories of liability including fraud, gross negligence and recklessness, and intentional infliction of emotional distress. GeoEx moved to compel arbitration.
The trial court found the arbitration provision was unconscionable under Armendariz v. Foundation Health Psychcare Services, Inc. (2000) 24 Cal.4th 83 [99 Cal. Rptr. 2d 745, 6 P.3d 669] (Armendariz), and on that basis denied the motion. It ruled: “The agreement at issue is both procedurally and substantively unconscionable. … The Sano letter establishes that the agreement was presented as a Take It Or Leave It proposition and was also represented to be consistent with industry practice. As a consequence[,] if the plaintiff and decedent wished to go on this trip, they could do so only on these terms. Unconscionability also permeates the substantive terms of the agreement to arbitrate. The problematic terms are the limitation on damages, the indemnity of GeoEx, the requirement that GeoEx costs and attorneys’ fees be paid if suit is filed related to certain claims, [***5] splitting the costs of mediation, the absence of an agreement on the cost of arbitration and the lack of mutuality as to each of these terms. As a consequence, this is not a case where the court may strike a single clause and compel arbitration.”
This appeal timely followed.
DISCUSSION
The questions posed here are (1) whether the agreement to arbitrate is unconscionable and, therefore, unenforceable; and (2) if so, whether the court properly declined to enforce the entire arbitration clause rather than sever unconscionable provisions. We answer both questions in the affirmative.
I. Standard of Review
HN1
On appeal from the denial of a motion to compel arbitration, “[u]nconscionability findings are reviewed de novo if they are based on declarations that raise ‘no meaningful factual disputes.’ [Citation.] However, where an unconscionability determination ‘is based upon the trial court’s resolution of conflicts in the evidence, or on the factual inferences which may be drawn [*821] therefrom, we consider the evidence in the light most favorable to the court’s determination and review those aspects of the determination for substantial evidence.’ [Citation.] The ruling on severance is reviewed for abuse [***6] of discretion.” (Murphy v. Check ’N Go of California, Inc. (2007) 156 Cal.App.4th 138, 144 [67 Cal. Rptr. 3d 120]; see Armendariz, supra, 24 Cal.4th at p. 122.) In keeping with California’s strong public policy in favor of arbitration, any doubts regarding the validity of an arbitration agreement are resolved in favor of arbitration. (Coast Plaza Doctors Hospital v. Blue Cross of California (2000) 83 Cal.App.4th 677, 686 [99 Cal. Rptr. 2d 809]; see Armendariz, supra, at p. 97.)
II. Unconscionability
CA(1)
(1) We turn first to GeoEx’s contention that the court erred when it found the arbitration agreement unconscionable. Although the issue arises here in a relatively novel setting, the basic legal framework is well established. HN2
“ ‘[U]nconscionability has generally been recognized to include an absence of meaningful choice on the part of one of the parties together with contract terms which are unreasonably favorable to the other party.’ [Citation.] Phrased another way, unconscionability has both a ‘procedural’ and a ‘substantive’ element.” (A & M Produce Co. v. FMC Corp. [**849]
(1982) 135 Cal.App.3d 473, 486 [186 Cal. Rptr. 114].) “ ‘The procedural element requires oppression or surprise. [Citation.] Oppression occurs where a contract involves lack of negotiation and meaningful [***7] choice, surprise where the allegedly unconscionable provision is hidden within a prolix printed form. [Citation.] The substantive element concerns whether a contractual provision reallocates risks in an objectively unreasonable or unexpected manner.’ [Citation.] Under this approach, both the procedural and substantive elements must be met before a contract or term will be deemed unconscionable. Both, however, need not be present to the same degree. A sliding scale is applied so that ‘the more substantively oppressive the contract term, the less evidence of procedural unconscionability is required to come to the conclusion that the term is unenforceable, and vice versa.’ ? (Morris v. Redwood Empire Bancorp (2005) 128 Cal.App.4th 1305, 1317 [27 Cal. Rptr. 3d 797], quoting Armendariz, supra, 24 Cal.4th at p. 114; see A & M Produce Co., supra, at p. 486.) This notion of a “sliding scale,” as will be seen, figures centrally in the analysis of the agreement at issue here.
A. Procedural Unconscionability
GeoEx argues the arbitration agreement involved neither the oppression nor surprise aspects of procedural unconscionability. GeoEx argues the agreement was not oppressive because plaintiffs made no showing of an “industry-wide [***8] requirement that travel clients must accept an agreement’s [*822] terms without modification” and “they fail[ed] even to attempt to negotiate” with GeoEx. We disagree. GeoEx’s argument cannot reasonably be squared with its own statements advising participants that they must sign an unmodified release form to participate in the expedition; that GeoEx’s “lawyers, insurance carriers and medical consultants give [it] no discretion” on that point; and that other travel companies were no different. 2 In other words, GeoEx led plaintiffs to understand not only that its terms and conditions were nonnegotiable, but that plaintiffs would encounter the same requirements with any other travel company. This is a sufficient basis for us to conclude plaintiffs lacked bargaining power.
– – – – – – – – – – – – – – Footnotes – – – – – – – – – – – – – – –
2 This is the clear import of Sano’s letter and, in any event, it is also the trial court’s interpretation, which we accept because it is supported by substantial evidence. (Murphy v. Check ’N Go of California, Inc., supra, 156 Cal.App.4th at p. 144.)
– – – – – – – – – – – – End Footnotes- – – – – – – – – – – – – –
GeoEx also contends its terms were not oppressive, apparently as a matter of law, because Menefee and Lhotka could have simply decided not to trek up Mount Kilimanjaro. [***9] It argues that contracts for recreational activities can never be unconscionably oppressive because, unlike agreements for necessities such as medical care or employment, a consumer of recreational activities always has the option of foregoing the activity. The argument has some initial resonance, but on closer inspection we reject it as unsound.
HN3
CA(2)
(2) While the nonessential nature of recreational activities is a factor to be taken into account in assessing whether a contract is oppressive, it is not necessarily the dispositive factor. Szetela v. Discover Bank (2002) 97 Cal.App.4th 1094 [118 Cal. Rptr. 2d 862] is informative. The defendant, a credit card company, argued the plaintiff could not establish procedural unconscionability because there were “market alternatives” to its product—i.e., the plaintiff had the option of taking his business to a different bank. The court disagreed, and held the customer’s ability to [**850] walk away rather than sign the offending contract was not dispositive. “The availability of similar goods or services elsewhere may be relevant to whether the contract is one of adhesion, but even if the clause at issue here is not an adhesion contract, it can still be found unconscionable. Moreover, [***10] ‘in a given case, a contract might be adhesive even if the weaker party could reject the terms and go elsewhere. [Citation.]’ [Citation.] Therefore, whether Szetela could have found another credit card issuer who would not have required his acceptance of a similar clause is not the deciding factor.” (Id. at p. 1100, italics added; see also Harper v. Ultimo (2003) 113 Cal.App.4th 1402, 1408–1409 [7 Cal. Rptr. 3d 418].) The focus of procedural unconscionability in Szetela, rather, was on the manner in which the disputed clause was presented. Faced with the options of either closing his account or accepting the credit card company’s “take it or leave it” terms, Szetela established the necessary [*823] element of procedural unconscionability despite the fact that he could have simply taken his business elsewhere. (Szetela, supra, at p. 1100.)
The cases on which GeoEx relies do not hold otherwise. GeoEx relies on Morris v. Redwood Empire Bancorp, supra, 128 Cal.App.4th at page 1320, for its statement that the “ ‘procedural element of unconscionability may be defeated[] if the complaining party has a meaningful choice of reasonably available alternative sources of supply from which to obtain the desired goods and services [***11] free of the terms claimed to be unconscionable.’ ” “[M]ay be defeated,” true—but not “must,” in all cases and as a matter of law. Morris takes its premise from Dean Witter Reynolds, Inc. v. Superior Court (1989) 211 Cal.App.3d 758, 772 [259 Cal. Rptr. 789], in which Division Two of this court expressly declined to hold or suggest “that any showing of competition in the marketplace as to the desired goods and services defeats, as a matter of law, any claim of unconscionability.” Indeed, Morris itself recognizes that some contracts may be oppressive despite the availability of market alternatives, albeit in the context of employment or medical care—i.e., contracts for “ ‘life’s necessities.’ ” (Morris, supra, at p. 1320, quoting West v. Henderson (1991) 227 Cal.App.3d 1578, 1587 [278 Cal. Rptr. 570]; see Armendariz, supra, 24 Cal.4th at p. 115 [employment].)
Many of the other authorities cited by GeoEx are inapposite because they concern challenges to release of liability clauses under the rule that invalidates exculpatory provisions that affect the public interest. (See Tunkl v. Regents of University of California (1963) 60 Cal.2d 92, 96–97 & fn. 6 [32 Cal. Rptr. 33, 383 P.2d 441]; Civ. Code, § 1668.) In this specific context, our courts consistently hold that [***12] recreation does not implicate the public interest, and therefore approve exculpatory provisions required for participation in recreational activities. (See, e.g., Randas v. YMCA of Metropolitan Los Angeles (1993) 17 Cal.App.4th 158, 161–162 [21 Cal. Rptr. 2d 245] [swim class]; Saenz v. Whitewater Voyages, Inc. (1990) 226 Cal.App.3d 758, 764 [276 Cal. Rptr. 672] [river rafting]; Madison v. Superior Court (1988) 203 Cal.App.3d 589, 597?599 [250 Cal. Rptr. 299] [scuba diving]; Paralift, Inc. v. Superior Court (1993) 23 Cal.App.4th 748, 756 [29 Cal. Rptr. 2d 177] [skydiving]; Buchan v. United States Cycling Federation, Inc. (1991) 227 Cal.App.3d 134 [277 Cal. Rptr. 887] [cycle racing]; Coates v. Newhall Land & Farming, Inc. (1987) 191 Cal.App.3d 1, 8 [236 Cal. Rptr. 181] [riding dirtbike]; Kurashige v. Indian Dunes, Inc. (1988) 200 Cal.App.3d 606, 611–612 [246 Cal. Rptr. 310] [**851] [motorcycle dirtbike].) But these cases do not focus on unconscionability, and they do not hold that contracts for recreational activities are immune from analysis for procedural unconscionability.
CA(3)
(3) Here, certainly, plaintiffs could have chosen not to sign on with the expedition. HN4
That option, like any availability of market alternatives, is [*824] relevant to the existence, and degree, of oppression. (See Szetela v. Discover Bank, supra, 97 Cal.App.4th at p. 1100; Laster v. T-Mobile USA, Inc. (S.D.Cal. 2005) 407 F.Supp.2d 1181, 1188 [***13] & fn. 1; see also Allan v. Snow Summit, Inc. (1996) 51 Cal.App.4th 1358, 1376 [59 Cal. Rptr. 2d 813] [nonessential, recreational nature of skiing was one of several factors that indicated a release clause was not substantively unconscionable]; but see Belton v. Comcast Cable Holdings, LLC (2007) 151 Cal.App.4th 1224, 1246 [60 Cal. Rptr. 3d 631] [dictum that availability of other cable providers defeated claim of unconscionability].) But we must also consider the other circumstances surrounding the execution of the agreement. GeoEx presented its limitation of liability and release form as mandatory and unmodifiable, and essentially told plaintiffs that any other travel provider would impose the same terms. “Oppression arises from an inequality of bargaining power which results in no real negotiation and an absence of meaningful choice … .” (Crippen v. Central Valley RV Outlet (2004) 124 Cal.App.4th 1159, 1165 [22 Cal. Rptr. 3d 189] [finding no oppression where evidence showed no circumstances surrounding the execution of the agreement, so no showing of unequal bargaining power, lack of negotiation, or lack of meaningful choice].) Here, in contrast to Crippen, GeoEx presented its terms as both nonnegotiable and no different than what plaintiffs would [***14] find with any other provider. Under these circumstances, plaintiffs made a sufficient showing to establish at least a minimal level of oppression to justify a finding of procedural unconscionability. (See Morris v. Redwood Empire Bancorp, supra, 128 Cal.App.4th at p. 1319 [“our task is not only to determine whether procedural unconscionability exists, but more importantly, to what degree it may exist”].)
B. Substantive Unconscionability
With the “sliding scale” rule firmly in mind (Armendariz, supra, 24 Cal.4th at p. 114), we address whether the substantive unconscionability of the GeoEx contract warrants the trial court’s ruling. Harper v. Ultimo, supra, 113 Cal.App.4th 1402, is analogous. The Harpers hired a contractor to perform work on their property. The contractor allegedly broke a sewer pipe, causing concrete to infiltrate the plaintiffs’ soil, plumbing and sewer and wreak havoc on their backyard drainage system. Unfortunately for the Harpers, the arbitration provision in the construction contract limited the remedies against their contractor to a refund, completion of work, costs of repair or any out-of-pocket loss or property damage—and then capped any compensation at $ 2,500 [***15] unless the parties agreed otherwise in writing.
CA(4)
(4) In the words of Justice Sills, substantive unconscionability was “so present that it is almost impossible to keep from tripping” over it. (Harper v. Ultimo, supra, 113 Cal.App.4th at p. 1406.) HN5
“Substantive unconscionability focuses on the one-sidedness or overly harsh effect of the contract term or [*825] clause. [Citation.] In the present case, the operative effect of the arbitration is even more one-sided against the customer than the clauses in [**852] any number of cases where the courts have found substantive unconscionability. (E.g., Little v. Auto Stiegler, Inc. (2003) 29 Cal.4th 1064 [130 Cal. Rptr. 2d 892, 63 P.3d 979] [either party could appeal any award of more than $ 50,000 to second arbitrator]; Szetela v. Discover Bank[, supra,] 97 Cal.App.4th 1094 … [arbitration clause absolutely barred class actions]; Saika v. Gold (1996) 49 Cal.App.4th 1074 [56 Cal. Rptr. 2d 922] [arbitration award could be rejected if it exceeded $ 25,000].) As in Little, Szetela and Saika, the limitation of damages provision here is yet another version of a ‘heads I win, tails you lose’ arbitration clause that has met with uniform judicial opprobrium.” The arbitration provision in the Harpers’ contract did not allow even a theoretical [***16] possibility that they could be made whole, because there was no possibility of obtaining meaningful compensation unless the contractor agreed—which, not surprisingly, it did not. (Harper v. Ultimo, supra, at p. 1407.)
The arbitration provision in GeoEx’s release is similarly one-sided as that considered in Harper. It guaranteed that plaintiffs could not possibly obtain anything approaching full recompense for their harm by limiting any recovery they could obtain to the amount they paid GeoEx for their trip. In addition to a limit on their recovery, plaintiffs, residents of Colorado, were required to mediate and arbitrate in San Francisco—all but guaranteeing both that GeoEx would never be out more than the amount plaintiffs had paid for their trip, and that any recovery plaintiffs might obtain would be devoured by the expense they incur in pursing their remedy. 3 The release also required plaintiffs to indemnify GeoEx for its costs and attorney fees for defending any claims covered by the release of liability form. 4 Notably, there is no reciprocal limitation on damages or indemnification obligations imposed on GeoEx. Rather than providing a neutral forum for dispute resolution, GeoEx’s [***17] arbitration scheme provides a potent disincentive for an aggrieved client to pursue any claim, in any forum—and may well guarantee that GeoEx wins even if it loses. Absent reasonable justification for this arrangement—and none is apparent—we agree with the trial court that the arbitration clause is so one-sided as to be substantively unconscionable. (See Armendariz, supra, [*826]
24 Cal.4th at p. 121 [damages remedy unilaterally limited]; Pinedo v. Premium Tobacco Stores, Inc. (2000) 85 Cal.App.4th 774, 781 [102 Cal. Rptr. 2d 435] [damages remedy limited, plaintiff required to pay all costs, and required hearing location was in Oakland].)
– – – – – – – – – – – – – – Footnotes – – – – – – – – – – – – – – –
3 The requirement that the parties share the cost of mediation does not factor into our analysis that the agreement is substantively unconscionable. Whether such cost sharing is appropriate depends on a number of issues that we need not consider. (See D.C. v. Harvard-Westlake School (2009) 176 Cal.App.4th 836, 860–864 [98 Cal. Rptr. 3d 300].)4 GeoEx is wrong when it claims the trial court erred “in even considering clauses outside the arbitration provision,” such as the limitation of liability and indemnification provisions, “etc.” It is unclear which “etc.” provisions GeoEx contends are “outside” the [***18] arbitration clause, but the limitation of liability clause GeoEx specifically identifies appears as subdivision (d) of the paragraph that requires arbitration, while the indemnification provision that immediately follows it is substantively relevant to whether or not the proposed arbitration system would provide an unacceptably one-sided forum for dispute resolution.
– – – – – – – – – – – – End Footnotes- – – – – – – – – – – – – –
III. Severability
GeoEx argues that, even if the limitation of liability provision was unconscionable, the court abused its discretion [**853] when it refused to strike it and enforce the remainder of the arbitration clause. We disagree.
CA(5)
(5) Civil Code section 1670.5, subdivision (a) gives the trial court discretion to either refuse to enforce a contract it finds to be unconscionable, or to strike the unconscionable provision and enforce the remainder of the contract. It provides: HN6
“If [***19] the court as a matter of law finds the contract or any clause of the contract to have been unconscionable at the time it was made the court may refuse to enforce the contract, or it may enforce the remainder of the contract without the unconscionable clause, or it may so limit the application of any unconscionable clause as to avoid any unconscionable result.” HN7
The trial court has discretion under this statute to refuse to enforce an entire agreement if the agreement is “permeated” by unconscionability. (Armendariz, supra, 24 Cal.4th at p. 122; Murphy v. Check ’N Go of California, Inc., supra, 156 Cal.App.4th at p. 149.) An arbitration agreement can be considered permeated by unconscionability if it “contains more than one unlawful provision … . Such multiple defects indicate a systematic effort to impose arbitration … not simply as an alternative to litigation, but as an inferior forum that works to the [stronger party’s] advantage.” (Armendariz, supra, at p. 124; see Murphy, supra, at p. 148.) “The overarching inquiry is whether ‘ “the interests of justice … would be furthered” ’ by severance.” (Armendariz, supra, at p. 124.)
CA(6)
(6) Here, the trial court identified multiple elements [***20] of the agreement that indicate GeoEx designed its arbitration clause “not simply as an alternative to litigation, but as an inferior forum” that would give it an advantage. In addition to limiting plaintiffs’ recovery, the agreement required them to indemnify GeoEx for its legal costs and fees if they pursued any claims covered by the release agreement. These one-sided burdens were compounded by the requirements that plaintiffs pay half of any mediation fees and mediate and arbitrate in San Francisco, GeoEx’s choice of venue, far from plaintiffs. It was within the court’s discretion to conclude this agreement was so permeated by unconscionability that the interests of justice would not be furthered by severing the damages limitation clause and enforcing the remainder. (Armendariz, supra, 24 Cal.4th at p. 124.)
[*827]
DISPOSITION
The order denying GeoEx’s motion to compel arbitration is affirmed.
McGuiness, P. J., and Pollak, J., concurred.
CIVIL CODE
Division 3. Obligations
Part 2. Contracts
Title 4. Unlawful Contracts
Cal Civ Code § 1670.5 (2010)
§ 1670.5. Unconscionable contract
(a) If the court as a matter of law finds the contract or any clause of the contract to have been unconscionable at the time it was made the court may refuse to enforce the contract, or it may enforce the remainder of the contract without the unconscionable clause, or it may so limit the application of any unconscionable clause as to avoid any unconscionable result.
(b) When it is claimed or appears to the court that the contract or any clause thereof may be unconscionable the parties shall be afforded a reasonable opportunity to present evidence as to its commercial setting, purpose, and effect to aid the court in making the determination.

Geographic Expeditions, Inc., v. The Estate Of Jason Lhotka, 599 F.3d 1102; 2010 U.S. App. LEXIS 6606
Posted: December 13, 2010 Filed under: California, Mountaineering, Release (pre-injury contract not to sue) | Tags: fatality, Kilimanjaro, Mount Kilimanjaro, Mountain Climbing, Mountaineering, Mt Kilimanjaro 2 CommentsTo Read an Analysis of this decision see
Complicated serious of cases created to defend against a mountaineering death.
Geographic Expeditions, Inc., v. The Estate Of Jason Lhotka, 599 F.3d 1102; 2010 U.S. App. LEXIS 6606
GEOGRAPHIC EXPEDITIONS, INC., Petitioner-Appellant, v. THE ESTATE OF JASON LHOTKA BY ELENA LHOTKA, executrix; SANDRA MENEFEE, Respondents-Appellees.
No. 09-15069
UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT
599 F.3d 1102; 2010 U.S. App. LEXIS 6606
March 11, 2010, Argued and Submitted, San Francisco, California
March 31, 2010, Filed
PRIOR HISTORY: [**1]
Appeal from the United States District Court for the Northern District of California. D.C. No. 3:08-cv-04624-SI. Susan Illston, District Judge, Presiding.
Geographic Expeditions, Inc. v. Estate of Lhotka, 2008 U.S. Dist. LEXIS 105691 (N.D. Cal., Dec. 29, 2008)
DISPOSITION: REVERSED and REMANDED.
CASE SUMMARY:
PROCEDURAL POSTURE: Respondents, a decedent’s estate and survivors, filed suit in a state court alleging, inter alia, that the decedent’s death from high altitude sickness was caused by the negligence of petitioner corporation’s employees. The corporation filed a petition to compel arbitration under 9 U.S.C.S. § 4. The U.S. District Court for the Northern District of California dismissed the petition for lack of subject matter jurisdiction. The corporation appealed.
OVERVIEW: The corporation contended that subject matter jurisdiction existed under 28 U.S.C.S. § 1332(a). The court found that the district court erred when it held that the corporation had to prove by a preponderance of the evidence that the amount in controversy exceeded $ 75,000 because the corporation did not remove the case from state to federal court and then file a motion to compel arbitration. Rather, the corporation commenced an action in federal court by filing a petition to compel arbitration. The legal certainty standard applied when a party filed a petition in federal court to compel arbitration, even when the opposing party was suing the federal petitioner in state court. The corporation’s allegation that it had a reasonable, good-faith belief that the damages exceeded $ 75,000 even though the state court complaint did not specify an amount was sufficient to confer subject matter jurisdiction on a federal court because it was not legally certain the amount in controversy was $ 75,000 or less. The district court erred when it dismissed for lack of subject matter jurisdiction the corporation’s petition to compel arbitration.
OUTCOME: The judgment was reversed and remanded for further proceedings.
CORE TERMS: amount in controversy, removal, subject matter jurisdiction, federal jurisdiction, preponderance, compel arbitration, arbitration, petition to compel arbitration, arbitration agreement, expedition, trip, jurisdictional amount, unenforceable, citizens of different states, evidence standard, burden to prove, altitude sickness, good faith, proponent, exceeded, specify, federal forum, state trial, exclusive of interest, burden of proof, parties agree, collateral estoppel, diversity jurisdiction, valid defense, unconscionable
COUNSEL: Rodney E. Gould, Rubin Hay & Gould P.C. for Geographic Expeditions, Inc., petitioner-appellant.
Daniel U. Smith, Law Office of Daniel U. Smith, David J. Bennion, Law Offices of David J. Bennion, for the Estate of Lhotka and Sandra Menefee, respondents-appellees.
JUDGES: Before: Betty B. Fletcher, Richard R. Clifton and Carlos T. Bea, Circuit Judges. Opinion by Judge Bea.
OPINION BY: Carlos T. Bea
OPINION
[*1104] BEA, Circuit Judge:
Geographic Expeditions, Inc. (“GeoEx”), appeals the district court’s dismissal of GeoEx’s petition to compel arbitration for lack of subject matter jurisdiction. Fed. R. Civ. P. 12(b)(1). GeoEx contends subject matter jurisdiction exists under [HN1] 28 U.S.C. § 1332(a), which provides federal jurisdiction over disputes between citizens of different states in which the amount in controversy exceeds $ 75,000 exclusive of interest and costs. The district court held that GeoEx had to establish by a preponderance of the evidence that the amount in controversy exceeded $ 75,000, and that, because a clause in the arbitration agreement [**2] limited damages to $ 16,831, GeoEx could not meet its burden. We conclude the district court erred both when it applied a preponderance of the evidence standard and when it held that the liability cap precludes federal jurisdiction. We therefore reverse and remand for further proceedings.
I. Factual and Procedural Background 1
1 We take these facts from the First Amended Complaint, on file in the district court, and declarations filed in support of and in opposition to the motion to dismiss. All are part of our record. See Trentacosta v. Frontier Pac. Aircraft Indus., Inc., 813 F.2d 1553, 1558-59 (9th Cir. 1987) (quoting 5C C. Wright & A. Miller, Federal Practice and Procedure, § 1363, at 653-54 (1969)).
The underlying dispute in this case arose out of a series of events on Mount Kilimanjaro in October 2007. GeoEx, a California corporation with its principal place of business in San Francisco, leads guided expeditions for profit to various [*1105] destinations throughout the world. Jason Lhotka, who was 37 years old, and his mother, Sandra Menefee, both citizens of Colorado, purchased tickets for a GeoEx expedition to Mount Kilimanjaro. As part of their registration for the trip, Lhotka and Menifee [**3] each signed a GeoEx trip participant contract, which included a provision requiring them to submit any dispute they might have with GeoEx to binding arbitration. The agreement further provided that the amount of recovery would be capped at “the sum of the land and air cost of my trip with GeoEx,” which the parties agree is $ 16,831. 2
2 The full text of the clause is:
I agree that in the unlikely event a dispute of any kind arises between me and GeoEx, the following conditions apply: (a) the dispute will be submitted to a neutral third-party mediator in San Francisco, California, with both parties splitting equally the costs of such mediator. If the dispute cannot be resolved through mediation, then (b) the dispute will be submitted for binding arbitration to the American Arbitration Association in San Francisco, California; (c) the dispute will be governed by California law; and (d) the maximum amount of recovery to which I will be entitled under any and all circumstances will be the sum of the land and air cost of my trip with GeoEx. I agree that this is a fair and reasonable limitation on the damages, of any sort whatsoever, that I may suffer.
The expedition began in Africa on September [**4] 29, 2007, and was to last until October 8, 2007. On October 1, Jason Lhotka began to suffer difficulty sleeping and experienced sudden onset of severe fatigue–early symptoms of high altitude sickness. On October 2, Jason Lhotka told the head expedition guide he needed to go back down the mountain because of his fatigue. He began his descent, accompanied by a GeoEx assistant guide. Although supplemental oxygen was available, it was not administered to Lhotka, nor was a rapid descent ordered, although such a route was also available. Both of these procedures are proper protocol for a person with high altitude sickness. On October 4, while descending the mountain, Lhotka died.
In July 2008, Lhotka’s estate and his survivors filed suit in San Francisco Superior Court alleging, inter alia, that Lhotka’s death from high altitude sickness was caused by the negligence of GeoEx employees in failing to recognize and treat Lhotka’s symptoms. In accord with California Code of Civil Procedure § 425.10(b), the state court complaint did not specify the amount of damages sought. In September 2008, GeoEx filed with the state court a motion to compel arbitration pursuant to the parties’ arbitration [**5] agreement. In December 2008, the state trial court denied GeoEx’s motion to compel arbitration; it held the arbitration agreement unconscionable and thus unenforceable. GeoEx appealed, and, on January 29, 2010, the California Court of Appeal affirmed. GeoEx then filed a petition for review with the California Supreme Court, which is currently pending. 3 In October [*1106] 2008–after filing in state court its motion to compel arbitration, but before the state trial court had ruled on the motion–GeoEx filed in federal district court the current petition to compel arbitration. The district court held that GeoEx had the burden to prove by a preponderance of the evidence that the amount in controversy exceeded $ 75,000 and that, because of the contractual damages limitation, recovery was limited to $ 16,831. Because GeoEx could not carry its assigned burden of proof, the district court dismissed GeoEx’s petition under Rule 12(b)(1) for lack of subject matter jurisdiction. This appeal from the order of dismissal timely followed.
3 Although the California Court of Appeal held the arbitration agreement to be unenforceable, that does not yet prevent the federal suit from proceeding. It is true that [**6] [HN2] “federal courts are compelled by the ‘full faith and credit’ statute” to give the same collateral estoppel and res judicata effects to state court judgments as would the courts of that state. Se. Res. Recovery Facility Auth. v. Montenay Int’l. Corp., 973 F.2d 711, 712 (9th Cir. 1992). However, the California Court of Appeal’s judgment that the arbitration agreement is unenforceable is not yet final. [HN3] Under California law, a judgment is not final for the purposes of collateral estoppel until it is free from the potential of a direct attack, i.e. until no further direct appeal can be taken. Abelson v. Nat’l Union Fire Ins. Co., 28 Cal. App. 4th 776, 35 Cal. Rptr. 2d 13, 19 (Ct. App. 1994). Here, the parties agree that the state court judgment is not yet final because GeoEx filed a petition for review in the California Supreme Court, which petition remains pending. Thus, this court can proceed on the merits.
II. Standard of Review
[HN4] We review de novo a district court’s dismissal for lack of subject matter jurisdiction. Crum v. Circus Circus Enters., 231 F.3d 1129, 1130 (9th Cir. 2000).
III. Analysis
A. Burden of Proof
The district court erred when it held GeoEx had to prove by a preponderance of the evidence that [**7] the amount in controversy exceeded $ 75,000. GeoEx filed a petition to compel arbitration under § 4 of the Federal Arbitration Act (“FAA”). Section 4 provides:
[HN5] A party aggrieved by the alleged failure, neglect, or refusal of another to arbitrate under a written agreement for arbitration may petition any United States district court which, save for such agreement, would have jurisdiction under title 28, in a civil action . . . of the subject matter of a suit arising out of the controversy between the parties, for an order directing that such arbitration proceed in the manner provided for in such agreement.
9 U.S.C. § 4. As the Supreme Court has explained, [HN6] § 4 “bestows no federal jurisdiction but rather requires for access to a federal forum an independent jurisdictional basis over the parties’ dispute.” Vaden v. Discover Bank, 129 S. Ct. 1262, 1271, 173 L. Ed. 2d 206 (2009). Thus, a federal court has jurisdiction over a petition to compel arbitration if the federal court would have jurisdiction over the underlying substantive dispute–here the negligence action filed by Lhotka’s estate and survivors. See id. at 1273.
[HN7] A federal court has jurisdiction over the underlying dispute if the suit is between citizens [**8] of different states, 4 and the amount in controversy exceeds $ 75,000 exclusive of interest and costs (i.e., diversity jurisdiction). 28 U.S.C. § 1332(a). Where the plaintiff originally files in federal court, “the amount in controversy is determined from the face of the pleadings.” Crum, 231 F.3d at 1131 (9th Cir. 2000). The amount in controversy alleged by the proponent of federal jurisdiction–typically the plaintiff in the substantive dispute–controls so long as the claim is made in good faith. Id. “To justify dismissal, it must appear to a legal certainty that the claim is really for less than the jurisdictional amount.” Id. (internal quotation omitted). This is called the “legal certainty” standard, which means a federal court has subject matter jurisdiction unless “upon the face of the complaint, it is obvious that the suit cannot involve the necessary amount.” St. Paul Mercury Indemnity Co. v. Red Cab Co., 303 U.S. 283, 292, 58 S. Ct. 586, 82 L. Ed. 845 (1938).
4 The parties concede this is a suit between citizens of different states.
On the other hand, [HN8] in a case that has been removed from state court to federal court under 28 U.S.C. § 1441 on the basis of diversity jurisdiction, the proponent of federal [**9] jurisdiction–typically [*1107] the defendant in the substantive dispute–has the burden to prove, by a preponderance of the evidence, that removal is proper. See Gaus v. Miles, Inc., 980 F.2d 564, 567 (9th Cir. 1992). The preponderance of the evidence standard applies because removal jurisdiction ousts state-court jurisdiction and “must be rejected if there is any doubt as to the right of removal in the first instance.” Id. at 566. This gives rise to a “strong presumption against removal jurisdiction [which] means that the defendant always has the burden of establishing that removal is proper.” Id. For these reasons, “[w]e strictly construe the removal statute against removal jurisdiction.” Id. 5
5 See also Shamrock Oil & Gas Corp. v. Sheets, 313 U.S. 100, 108-09, 61 S. Ct. 868, 85 L. Ed. 1214 (1941) (“The power reserved to the states under the Constitution to provide for the determination of controversies in their courts, may be restricted only by the action of Congress in conformity to the Judiciary Articles of the Constitution. Due regard for the rightful independence of state governments, which should actuate federal courts, requires that [federal courts] scrupulously confine their own jurisdiction to the precise limits [**10] which [§ 1441] has defined.”(internal quotation omitted)).
Here, the district court cited Sanchez v. Monumental Life Ins. Co., 102 F.3d 398, 404 (9th Cir. 1996)–a removal case–and held that, because Lhotka’s estate did not specify damages in its state court complaint, GeoEx had the burden to prove the amount in controversy was satisfied by a preponderance of the evidence. This was error, however, because GeoEx did not remove the case from state to federal court and then file a motion to compel arbitration. Rather, GeoEx commenced an action in federal court by filing a petition to compel arbitration. Because a parallel action to compel arbitration commenced in federal court does not oust state court jurisdiction, the presumption against removal jurisdiction and attendant preponderance of the evidence standard, found in removal cases, do not apply. 6 Thus, we hold that [HN9] the legal certainty standard applies when a party files a petition in federal court to compel arbitration, even when the opposing party is suing the federal petitioner in state court. Two other circuits have come to the same conclusion. E.g., Doctor’s Assocs., Inc. v. Hamilton, 150 F.3d 157 (2d Cir. 1998); Woodmen of the World Life Ins. Soc’y v. Manganaro, 342 F.3d 1213 (10th Cir. 2003).
6 Although [**11] the petitioner in a motion to compel arbitration is typically the defendant in the underlying substantive dispute, like the proponent of federal jurisdiction in a removal case, that does not mean the removal standard should apply in the non-removal context. When a case is removed to federal court, the federal court completely precludes the state court’s authority to adjudicate the controversy. A petition filed in federal court to compel arbitration is much less intrusive on state court jurisdiction. In fact, as this case demonstrates, it does not preclude the state action from proceeding in any way. Thus the rationale for the higher burden of proof is absent.
Under the legal certainty standard, the good faith allegations in GeoEx’s petition as to the amount in controversy suffice to establish the jurisdictional amount unless it appears legally certain that the amount in dispute is $ 75,000 or less. Here, GeoEx’s petition alleges that Lhotka’s damages in the state court action are reasonably in excess of $ 75,000. GeoEx bases this allegation on the fact that Lhotka’s state court complaint requests damages: (1) for the alleged wrongful death of Jason Lhotka, who was 37 years old at the [**12] time of the trip, was married, and had at least one dependant; (2) for loss of consortium for his wife and his son; (3) for fraud, misrepresentation, gross negligence, and intentional infliction of emotional distress; (4) for violations of California’s consumer fraud statutes; and (5) for funeral, medical, and burial expenses. GeoEx alleged [*1108] that, based on Lhotka’s requests in state court, it “has a reasonable, good-faith belief that the damages exceed $ 75,000” even though the state court complaint does not specify an amount. 7 This allegation is sufficient to confer subject matter jurisdiction on a federal court because it is not legally certain the amount in controversy is $ 75,000 or less.
7 As is perhaps quite predictable, Lhotka does not claim GeoEx’s allegation that the amount in controversy exceeds $ 75,000 is not made in good faith.
B. Potential Defenses
GeoEx’s potential defense to the state court action that the damages limitation restricts recovery to less than $ 75,000 (indeed, to $ 16,831) does not preclude federal jurisdiction. As the Supreme Court has explained, [HN10] “the fact that the complaint discloses the existence of a valid defense to the claim” does not eliminate federal [**13] jurisdiction, nor do events “occurring subsequent to the institution of suit which reduce the amount recoverable below the statutory limit.” St. Paul Mercury Indemnity Co., 303 U.S. at 289-90. This rule makes sense; just because a defendant might have a valid defense that will reduce recovery to below the jurisdictional amount does not mean the defendant will ultimately prevail on that defense. 8 Further, if a district court had to evaluate every possible defense that could reduce recovery below the jurisdictional amount the district court would essentially have to decide the merits of the case before it could determine if it had subject matter jurisdiction. This rule applies even though GeoEx is asserting the potential defense, and at the same time seeking a federal forum based on diversity jurisdiction.
8 Indeed, in the context of this case, the state court determined that the liability cap along with the rest of the arbitration agreement was unconscionable and therefore unenforceable.
Thus, the district court erred when it held the amount in controversy cannot exceed $ 16,831. The district court should not have relied on GeoEx’s potential contractual defense to determine the amount [**14] in controversy. Because it does not appear to a legal certainty that the underlying amount in controversy is below $ 75,000, the district court erred when it dismissed for lack of subject matter jurisdiction GeoEx’s petition to compel arbitration.
REVERSED and REMANDED
Saffro v. Elite Racing, Inc., 98 Cal. App. 4th 173; 119 Cal. Rptr. 2d 497; 2002 Cal. App. LEXIS 4076; 2002 Cal. Daily Op. Service 3941; 2002 Daily Journal DAR 5009
Posted: September 27, 2010 Filed under: Assumption of the Risk, California, Legal Case, Racing | Tags: negligent supervision, Racing, running, San Diego, Suzuki Rock 'N' Roll Marathon Leave a commentRichard Saffro, Plaintiff and Appellant, v. Elite Racing, Inc., Defendant and Respondent.
No. D037591.
COURT OF APPEAL OF CALIFORNIA, FOURTH APPELLATE DISTRICT, DIVISION ONE
98 Cal. App. 4th 173; 119 Cal. Rptr. 2d 497; 2002 Cal. App. LEXIS 4076; 2002 Cal. Daily Op. Service 3941; 2002 Daily Journal DAR 5009
May 7, 2002, Decided
NOTICE: [***1] CERTIFIED FOR PUBLICATION
SUBSEQUENT HISTORY: Rehearing Denied May 31, 2002.
Review Denied July 31, 2002, Reported at: 2002 Cal. LEXIS 5268.
PRIOR HISTORY: APPEAL from a judgment of the Superior Court of San Diego County. Super. Ct. No. 731713. Linda B. Quinn, Judge.
DISPOSITION: Reversed.
SUMMARY:
CALIFORNIA OFFICIAL REPORTS SUMMARY A marathon runner brought an action for negligence and negligent supervision against the organizers of a particular 26-mile race. Plaintiff suffered a grand mal seizure a few hours after he ran this race, which his medical experts opined was the result of hyponatremia caused by his inability to consume adequate amounts of water and electrolyte replacement drinks during the marathon. His injuries caused plaintiff to suffer a neurological deficit; he retained only a vague recollection of the race itself. Consequently, he introduced deposition testimony of another runner who testified that there was no electrolyte fluid available along the race route and no water available during a 45-minute delay in starting the race, despite defendant’s pre-race representations that adequate amounts of both would be made available to the runners. After the race, defendants wrote a letter to participants, in which they admitted that their provision of “race fundamentals” had been inadequate. The trial court granted defendant’s summary judgment on the ground that plaintiff’s action was barred by the doctrine of primary assumption of the risk. (Superior Court of San Diego County, No. 731713, Linda B. Quinn, Judge.)
A marathon runner brought an action for negligence and negligent supervision against the organizers of a particular 26-mile race. Plaintiff suffered a grand mal seizure a few hours after he ran this race, which his medical experts opined was the result of hyponatremia caused by his inability to consume adequate amounts of water and electrolyte replacement drinks during the marathon. His injuries caused plaintiff to suffer a neurological deficit; he retained only a vague recollection of the race itself. Consequently, he introduced deposition testimony of another runner who testified that there was no electrolyte fluid available along the race route and no water available during a 45-minute delay in starting the race, despite defendant’s pre-race representations that adequate amounts of both would be made available to the runners. After the race, defendants wrote a letter to participants, in which they admitted that their provision of “race fundamentals” had been inadequate. The trial court granted defendant’s summary judgment on the ground that plaintiff’s action was barred by the doctrine of primary assumption of the risk. (Superior Court of San Diego County, No. 731713, Linda B. Quinn, Judge.)
The Court of Appeal reversed. The court held that plaintiff’s action was not barred by the doctrine of primary assumption of the risk. The organizer of a marathon has a duty to produce a reasonably safe event. This duty requires it to take reasonable steps to minimize the risks without altering the nature of the sport, including the provision of sufficient water and electrolyte replacement drinks. The court further held that the circumstantial evidence presented by plaintiff created an issue of fact regarding causation. (Opinion by McIntyre, Acting P. J., with O’Rourke and McConnell, JJ., concurring.)
HEADNOTES
CALIFORNIA OFFICIAL REPORTS HEADNOTES
Classified to California Digest of Official Reports
(1)Negligence § 122–Actions–Appeal–Scope of Review–Questions of Law–Assumption of Risk. –The issue of assumption of risk involves the existence and scope of a defendant’s duty of care, which is a legal question that depends on the nature of the activity involved and the parties’ relationship to that activity. An appellate court reviews de novo a trial court’s determination on the issue of assumption of risk, and all doubts as to the propriety of granting a motion for summary judgment must be resolved in favor of the party opposing the motion.
(2)Negligence § 37–Exercise of Care by Plaintiff–Primary and Secondary Assumption of Risk. –The doctrine of assumption of risk in negligence cases embodies two components: (1) primary assumption of risk–where the defendant owes no duty to the plaintiff to protect him or her from the particular risk, and (2) secondary assumption of risk–where the defendant owes the plaintiff a duty, but the plaintiff knowingly encounters a risk created by the breach of that duty. Primary assumption of risk operates as a complete bar to a plaintiff’s negligence cause of action, while the doctrine of secondary assumption of risks is part of the comparative fault scheme, where the trier of fact considers the relative responsibility of the parties in apportioning the loss.
(3)Negligence § 37–Exercise of Care by Plaintiff–Primary Assumption of Risk–Sports Activities–Legal Duty of Defendant–Role in Sport. –Before concluding that a sports-related negligence case comes within the doctrine of primary assumption of risk, a court must not only examine the nature of the sport, but also the defendant’s role in, or relationship to, the sport. The scope of the legal duty owed by the defendant will frequently depend on this role or relationship. The risks inherent in the sport are defined not only by the nature of the sport itself, but also by reference to the steps the sponsoring business entity reasonably should be obligated to take in order to minimize the risks without altering the nature of the sport.
(4a)(4b)Negligence § 37.2–Exercise of Care by Plaintiff–Primary Assumption of Risk–Sports Activities–Legal Duty of Organizer of Marathon Race–Provision of Fluids to Runners. –The trial court erred in finding that an action for negligence and negligent supervision brought against the organizers of a particular 26-mile race by a marathon runner was barred by the doctrine of primary assumption of risk. Plaintiff suffered a grand mal seizure a few hours after he ran this race, which his medical experts opined was the result of hyponatremia caused by his inability to consume adequate amounts of water and electrolyte fluids during the marathon. His injuries caused plaintiff to suffer a neurological deficit; he retained only a vague recollection of the race itself. Consequently, he introduced deposition testimony of another runner that there was no electrolyte fluid available along the race route and no water available during a 45-minute delay in starting the race, despite defendant’s pre-race representations that adequate amounts of both would be made available to the runners. After the race, defendant wrote a letter to participants, in which it admitted that its provision of “race fundamentals” had been inadequate. The organizer of a marathon has a duty to produce a reasonably safe event. This duty requires it to take reasonable steps to minimize the risks without altering the nature of the sport. Further, the circumstantial evidence presented by plaintiff created an issue of fact regarding causation.
[See 6 Witkin, Summary of Cal. Law (9th ed. 1988) Torts, § 1090C.]
(5)Negligence § 72–Actions–Burden of Proof–Proximate Causation–Shifting Burden to Defendant–When Negligence Renders Plaintiff Incapable of Proving Causation. –When there is a substantial probability that a defendant’s negligence was a cause of an injury and when this negligence makes it impossible as a practical matter for the plaintiff to prove proximate causation conclusively, it is appropriate to shift the burden to the defendant to prove its negligence was not a cause of the injury. In these circumstances, as a matter of public policy, the burden is more appropriately borne by the party with greater access to information.
COUNSEL: Higgs, Fletcher & Mack and John Morris for Plaintiff and Appellant.
Royce, Grimm, Vranjes, McCormick & Graham and A. Carl Yaeckel for Defendant and Respondent.
JUDGES: Opinion by McIntyre, Acting P. J., with O’Rourke and McConnell, JJ., concurring.
OPINION BY: McINTYRE
OPINION
[*175] [**498] McINTYRE, Acting P. J.
In this case we conclude that [HN1] the organizer of a marathon has a duty to produce a reasonably safe event. This duty requires it to take reasonable steps to “minimize the risks without altering the nature of the sport”–which includes providing sufficient water and electrolyte replacement drinks as represented in the informational materials provided to the participants. (See Knight v. Jewett (1992) 3 Cal. 4th 296, 317 [11 Cal. Rptr. 2d 2, 834 P.2d 696].)
Richard Saffro appeals from [***2] a summary judgment entered against him on his complaint against Elite Racing, Inc. (Elite) for negligence and negligent [*176] supervision in connection with the 1998 “Suzuki Rock ‘N’ Roll Marathon” in San Diego. Saffro contends the judgment should be reversed because the trial court erred in (1) ruling his suit was barred by the doctrine of primary assumption of risk; (2) excluding the declarations of three race participants; and (3) denying his motion [**499] for reconsideration. We agree with Saffro’s first contention and find there are issues of material fact on the questions of breach of duty and causation. Thus, we reverse the judgment. This renders Saffro’s second and third contentions moot.
FACTUAL AND PROCEDURAL BACKGROUND
The following facts are derived from the evidence admitted by the trial court. On June 21, 1998, Saffro ran in the marathon organized and conducted by Elite. That same day, after completing the race, Saffro boarded a plane to return home to Chicago. Between 60 and 90 minutes into the flight, Saffro suffered a grand mal seizure, necessitating an emergency landing in St. Louis. He was hospitalized in St. Louis and diagnosed with severe hyponatremia–which [***3] occurs as a result of decreased sodium concentration in the blood, as well as pulmonary edema and cerebral edema resulting from the hyponatremia. Saffro’s condition was critical; he was kept on a ventilator for four days and hospitalized for a longer period. His injuries caused him to suffer neurological deficit; indeed, Saffro’s only memory of running the marathon was a “vague recollection of hearing some music, some bands . . . .” Saffro submitted the declarations of medical experts who opined that his hyponatremia was caused by the inability to consume adequate amounts of water and fluids containing electrolytes (such as Gatorade and Race Day) during the marathon.
Prior to the marathon, Elite sent written materials to the participants stating there would be 23 water and refreshment stations located throughout the course, from the 2-mile mark to the 25.1-mile mark. Elite represented that all stations would include water and 11 stations would also distribute Race Day, an electrolyte fluid. Saffro presented evidence that it is customary in the field and runners expect, on the basis of their entry fee, to be “support[ed] along the course” and provided with water and electrolyte [***4] fluids at regular intervals. In addition, he testified that in the other two marathons he had run, it was his practice to stop at every refreshment stand and drink the water and electrolyte fluids provided.
Elite also informed the runners in writing that the race would start at 7:00 a.m. and that it anticipated all runners would reach the starting line in less than five minutes. About 6:15 a.m. on the day of the marathon, Saffro drank 12 to 16 ounces of water and then was directed to his “corral” to await the [*177] scheduled 7:00 a.m. start of the race with other runners of similar ability. One thousand participants were assigned to each corral based on their projected race times, with the fastest runners stationed closest to the starting line. No one without an official marathon number was allowed to enter the corrals. The race did not start until about 7:45 a.m., however. During the delay, the cloud cover burned off and it became increasingly warm, yet the runners could not leave the corrals to get more water or other fluids. Several announcements were made during the delay that the race would begin in “only five or ten more minutes”–which was not the case.
According to [***5] Elite’s records, Saffro completed the marathon in 4 hours, 17 minutes and 32 seconds. Another runner, Kelley Magill, finished the race in approximately 4 hours and 45 minutes. Magill testified that at the first refreshment station at the 2-mile mark, “there was nothing. There were no volunteers, no cups, no water. Nothing.” At the next station, there was only a big trash can filled with water–no cups and no volunteers. Magill was hoping to get some water there, but “there were so many people crowded around [the [**500] trash can], pushing and yelling” that she kept on running. At the third refreshment station at the 4.1-mile mark–the first station at which Race Day was supposed to be available, there was a volunteer with a jug of water and some cups, but they had run out of Race Day. Water was set out in cups on tables at the 20 remaining stations, but there was no Race Day. Magill looked for and asked for Race Day at every refreshment station along the course, but was told each time that they had “run out of it.” She kept running in the race because she thought “there had to be some at the next [station].”
In a postrace letter to the participants regarding the marathon, [***6] Elite stated:
“[W]e know that in order to take our place as one of the world’s great marathons the ‘race fundamentals’–as well as the bells and whistles, must be superb.
“Despite our efforts, we know that too many aspects of the event were not perfect, and we take full responsibility for any and all of those imperfections. We promise to correct them all next year. The race will start on time . . . and you’ll be able to drown at our water stations.”
Saffro filed his original complaint against Elite for negligence and negligent supervision on June 16, 1999, and on April 3, 2000, he filed an amended complaint stating the same causes of action. Elite filed a motion for summary judgment on May 11, 2000, on the ground that Saffro’s causes of action were barred by the doctrine of primary assumption of risk. The trial [*178] court granted the motion, ruling that hyponatremia is an inherent risk of running a marathon and thus, Saffro’s claims were barred by the primary assumption of risk doctrine. The court also concluded “there is no evidence that plaintiff attempted to obtain the sport drinks or water during the race at any of the water and refreshment stations or that he was [***7] prohibited from doing so.”
DISCUSSION
(1) [HN2] The issue of assumption of risk involves the existence and scope of a defendant’s duty of care, which is a legal question that depends on the nature of the activity involved and the parties’ relationship to that activity. ( Knight v. Jewett, supra, 3 Cal. 4th at p. 313.) [HN3] We review de novo the trial court’s determination on the issue of assumption of risk, and all doubts as to the propriety of granting a motion for summary judgment must be resolved in favor of the party opposing the motion. ( Morgan v. Fuji Country USA, Inc. (1995) 34 Cal. App. 4th 127, 131 [40 Cal. Rptr. 2d 249]; see also Palma v. U.S. Industrial Fasteners, Inc. (1984) 36 Cal. 3d 171, 183 [203 Cal. Rptr. 626, 681 P.2d 893].)
(2) [HN4] The doctrine of assumption of risk in negligence cases embodies two components: (1) primary assumption of risk–where the defendant owes no duty to the plaintiff to protect him or her from the particular risk, and (2) secondary assumption of risk–where the defendant owes the plaintiff a duty, but the plaintiff knowingly encounters a risk created by the breach of that duty. ( Knight v. Jewett, supra, 3 Cal. 4th at p. 308.) [***8] Primary assumption of risk operates as a complete bar to the plaintiff’s cause of action, while the doctrine of secondary assumption of risks is part of the comparative fault scheme, where the trier of fact considers the relative responsibility of the parties in apportioning the loss. ( Morgan v. Fuji Country USA, Inc., supra, 34 Cal. App. 4th at p. 132.)
[**501] (3) [HN5] Before concluding that a case comes within the doctrine of primary assumption of risk, a court must not only examine the nature of the sport, but also the ” ‘defendant’s role in, or relationship to, the sport.’ ” ( Morgan v. Fuji Country USA, Inc., supra, 34 Cal. App. 4th at p. 133, quoting Knight v. Jewett, supra, 3 Cal. 4th at p. 317.) Indeed, the scope of the legal duty owed by the defendant will frequently depend on such role or relationship. ( Knight v. Jewett, supra, 3 Cal. 4th at pp. 317-318.) The Knight court noted that many courts, in analyzing the duty of the owner of a sports facility or ski resort, had defined “the risks inherent in the sport not only by virtue of the nature of the sport itself, but also by reference to the steps the [***9] sponsoring business entity reasonably should be obligated to take in order to minimize the risks [*179] without altering the nature of the sport.” ( Id. at p. 317, italics added.) The court concluded “that in the sports setting, as elsewhere, the nature of the applicable duty or standard of care frequently varies with the role of the defendant whose conduct is at issue in a given case.” ( Id. at p. 318.)
Following Knight, we held in Morgan v. Fuji Country USA, Inc., supra, 34 Cal. App. 4th at page 134, that despite the fact that being struck by an errant ball is an inherent risk in the sport of golf, the owner of a golf course owes a duty to golfers “to provide a reasonably safe golf course” which requires it ” ‘to minimize the risks without altering the nature of the sport. [Citations.]’ ” (Ibid., quoting Knight v. Jewett, supra, 3 Cal. 4th at p. 317.) We noted that if the defendant were the golfer who had hit the errant ball, the plaintiff’s negligence action would be barred by the primary assumption of risk doctrine, but that the defendant owner of the golf course had an obligation to design [***10] a course that would minimize the risks that players would be hit by golf balls and affirmatively provide protection for players from being hit in the area of the course where the greatest danger existed. ( Morgan v. Fuji Country USA, Inc., supra, 34 Cal. App. 4th at p. 134, citing Knight v. Jewett, supra, 3 Cal. 4th at p. 317.) Therefore, we concluded the case was one involving secondary assumption of risk and that the trial court erred in granting summary judgment based on the doctrine of primary assumption of risk. ( Morgan v. Fuji Country USA, Inc., supra, 34 Cal. App. 4th at pp. 134-135.)
(4a) Similarly, here we hold [HN6] a race organizer that stages a marathon has a duty to organize and conduct a reasonably safe event, which requires it to “minimize the risks without altering the nature of the sport.” ( Knight v. Jewett, supra, 3 Cal. 4th at p. 317; Morgan v. Fuji Country USA, Inc., supra, 34 Cal. App. 4th at p. 134.) This duty includes the obligation to minimize the risks of dehydration and hyponatremia by providing adequate water and electrolyte fluids along the 26-mile course–particularly where the [***11] race organizer represents to the participants that these will be available at specific locations throughout the race. (See Morgan v. Fuji Country USA, Inc., supra, 34 Cal. App. 4th at p. 134; see also Knight v. Jewett, supra, 3 Cal. 4th at p. 317.) Such steps are reasonable and do not alter the nature of the sport. Accordingly, we hold this is a case involving secondary assumption of risk, and therefore, the trial court erred in ruling Saffro’s causes of action [**502] were barred by the doctrine of primary assumption of risk.
Moreover, we find that Saffro presented sufficient evidence to create an issue of fact as to whether Elite breached its duty to provide adequate water and fluids throughout the race. ( Morgan v. Fuji Country USA, Inc., supra, 34 Cal. App. 4th at pp. 134-135.) Magill, who finished the race within 30 [*180] minutes of Saffro, testified there was no water at the first station, only a trash can of water at the second station, and a jug of water at the third, and that Race Day was not available at any of the 23 stations. As Magill indicated in her deposition, when she was running the marathon, she did [***12] not know Race Day would not be available at any of the stations; rather, when she found she could not get Race Day at one station, she kept thinking it had to be available at the next. Moreover, Saffro suffered a grand mal seizure within hours of the race that his medical experts opined was the result of hyponatremia caused by his inability to consume adequate amounts of water and electrolyte fluids during the marathon. Elite also alluded to problems in providing adequate “race fundamentals” in a letter to participants following the race, and stated “[next year] you’ll be able to drown at our water stations.”
In addition, to the extent the trial court’s statement, “there is no evidence that plaintiff attempted to obtain the sport drinks or water during the race at any of the water and refreshment stations,” suggests a failure of proof on the issue of causation, we disagree. Saffro testified that his practice in running marathons is to stop at all the refreshment stands and drink the water and electrolyte fluids provided, and there is an issue of fact as to whether Elite made these liquids adequately available to him and other runners of similar ability and speed. Saffro’s medical [***13] experts also declared his hyponatremia was caused by his inability to consume adequate amounts of water and electrolyte fluids during the marathon. Moreover, it strains reason to conclude that Saffro or any runner in a major marathon would not stop or attempt to stop, at all, for water and fluids that are represented to be available throughout the course. Thus, the circumstantial evidence presented creates an issue of fact regarding causation, even though Saffro is unable to remember the details in running the race. (See KOVR-TV, Inc. v. Superior Court (1995) 31 Cal. App. 4th 1023, 1027-1028 [37 Cal. Rptr. 2d 431].)
Further, given Saffro’s resulting neurological injuries which have impaired his memory, and the evidence of inadequate provision of water and electrolyte fluids, this may be a case in which the burden of proof regarding causation would be shifted to Elite as a matter of public policy. (See Haft v. Lone Palm Hotel (1970) 3 Cal. 3d 756, 762 [91 Cal. Rptr. 745, 478 P.2d 465].) In Haft, the decedents were found dead in the bottom of a hotel pool; no one had witnessed them drown, but the hotel owners had failed to comply with several [***14] safety regulations regarding pools. ( Id. at pp. 762-763.) (5) The court held that [HN7] where there is a substantial probability that the defendant’s negligence was a cause of the injury and when such negligence makes it impossible as a practical matter for the plaintiff to prove proximate causation conclusively, it is appropriate to shift the burden to the defendant [*181] to prove its negligence was not a cause of the injury, i.e., in those circumstances, the burden was more appropriately borne by the party with greater access to information. ( Id. at p. 774, fn. 19.) (4b) We do not hold that the burden should be shifted in this case, only that the circumstances of [**503] this case raise this issue, and we leave this matter for the trial court to address, depending on what, if any, additional evidence is adduced.
Accordingly, because Saffro’s causes of action are not barred by the doctrine of primary assumption of risk, and there are issues of fact on the issues of negligence and causation, the trial court erred in entering summary judgment against him.
DISPOSITION
The judgment is reversed. Costs are awarded to Saffro.
O’Rourke, J., and McConnell, [***15] J., concurred.
A petition for a rehearing was denied May 31, 2002, and respondent’s petition for review by the Supreme Court was denied July 31, 2002. Brown, J., did not participate therein.


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