CUÉLLAR, J. —
The Elder Abuse and Dependent Adult Civil Protection Act (Welf. & Inst. Code, § 15600 et seq.) affords certain protections to elders and dependent adults. Section 15657 of the Welfare and Institutions Code provides heightened remedies to a plaintiff who can prove "by clear and convincing evidence that a defendant is liable for physical abuse as defined in Section 15610.63, or neglect as defined in Section 15610.57," and who can demonstrate that the defendant acted with "recklessness, oppression, fraud, or malice in the commission of this abuse." Section 15610.57, in turn, defines "[n]eglect" in relevant part as "[t]he negligent failure of any person having the care or custody of an elder or a dependent adult to exercise that degree of care that a reasonable person in a like position would exercise." (Welf. & Inst. Code, § 15610.57, subd. (a)(1).)
This case involves the Court of Appeal's reversal of a trial court order sustaining defendants' demurrer. In considering whether that demurrer should have been sustained, we treat the demurrer as an admission by defendants of all material facts properly pled in plaintiffs' first amended complaint — but not logical inferences, contentions, or conclusions of fact or law. (Evans v. City of Berkeley (2006) 38 Cal.4th 1, 6 [40 Cal.Rptr.3d 205, 129 P.3d 394].)
Plaintiffs Kathleen A. Winn and Karen Bredahl allege the following facts. They are the daughters and surviving heirs of Elizabeth M. Cox. As early as
In January and February 2007, Mrs. Cox's lower extremity vascular symptoms worsened, and in February 2007, Dr. Csepanyi diagnosed Mrs. Cox with peripheral vascular disease. In December 2007, Dr. Lowe evaluated Mrs. Cox and found a reduced pulse in her extremities. He advised her to return for a follow-up visit in two months, but did not refer her to a vascular specialist. In February 2008, Dr. Lowe found an abscess and cellulitic changes, both of which are consistent with tissue damage resulting from vascular insufficiency. Dr. Lowe drained the infection, prescribed medication, and recommended another follow-up appointment, but again did not refer Mrs. Cox to a specialist.
When Dr. Csepanyi examined Mrs. Cox in July 2008, he found that she still suffered from peripheral vascular disease. He saw her a month later but did not perform a vascular examination. After suffering a laceration on her right foot in December 2008, Mrs. Cox sought treatment from Dr. Lee — another podiatrist at Pioneer — who prescribed antibiotics and instructed Mrs. Cox to return for follow-up treatment in January 2009. Mrs. Cox returned to Dr. Lee in January 2009, but the wound had not healed and Mrs. Cox saw Dr. Csepanyi later that month. She noted the wound was painful and Dr. Csepanyi recommended medication and foot soaks. The following month, Dr. Csepanyi diagnosed cellulitis of the toes, cyanosis, and a toe abscess, all of which point to cellular deterioration and tissue destruction from peripheral vascular ischemia.
Mrs. Cox saw Dr. Lowe four times in February and March 2009. Dr. Lowe noted that Mrs. Cox suffered from chronic nondecubitus ulcer of the toes, caused by vascular compromise. He recommended topical cream and a special shoe, but did not refer Mrs. Cox to a specialist. During two visits, Dr. Lowe reported that he could not feel a pulse in Mrs. Cox's feet. On March 18, 2009, Mrs. Cox saw Dr. Csepanyi. Dr. Csepanyi noted that Mrs. Cox had suffered abnormal weight loss, but also failed to refer Mrs. Cox to a specialist.
The following day, Mrs. Cox was admitted to a hospital with symptoms consistent with ischemia and gangrene. She suffered from sepsis, or blood
Plaintiffs filed a complaint alleging medical malpractice against defendants on March 19, 2010. Later, on February 23, 2011, plaintiffs filed a complaint for elder abuse, alleging that defendants consciously failed "to make a vascular referral." The trial court sustained defendants' demurrer based on plaintiffs' failure to sufficiently allege more than "mere negligence" and the "provision of inadequate care." In their first amended complaint, plaintiffs alleged again the conduct highlighted above.
Defendants again demurred. They also sought and obtained judicial notice of the March 2010 complaint plaintiffs had filed alleging medical malpractice. The trial court sustained defendants' demurrer to the first amended complaint without leave to amend. It concluded that plaintiffs had not offered facts sufficient to show that defendants had recklessly denied the needed care to Mrs. Cox, as would be necessary to show a violation of the Elder Abuse Act. Instead, the trial court concluded, plaintiffs' allegations again showed only professional negligence and "incompetence." Absent malice, oppression, or fraud, the trial court determined, plaintiffs could not support a claim of neglect under the Act. The court ordered the complaint dismissed and plaintiffs appealed.
The Court of Appeal then reversed the trial court in a split opinion. It held that the Elder Abuse Act does not require the existence of a custodial relationship in order for the plaintiff to establish a cause of action for neglect.
Citing Mack v. Soung (2000) 80 Cal.App.4th 966 [95 Cal.Rptr.2d 830] (Mack), the Court of Appeal concluded that the "statutory language simply does not support defendants' contention that only `care custodians' are liable
We granted review to consider whether a claim of neglect under the Elder Abuse Act requires a caretaking or custodial relationship — where a person has assumed significant responsibility for attending to one or more of those basic needs of the elder or dependent adult that an able-bodied and fully competent adult would ordinarily be capable of managing without assistance. Taking account of the statutory text, structure, and legislative history of the Elder Abuse Act, we conclude that it does.
Complementing these two definitions is the statute's explicitly nonexhaustive list of "neglect" examples. These include failures "to assist in personal hygiene" or to provide "food, clothing, or shelter" (§ 15610.57, subd. (b)(1)); "to provide medical care for physical and mental health needs" (id., subd. (b)(2)); "to protect from health and safety hazards" (id., subd. (b)(3)); and "to prevent malnutrition or dehydration" (id., subd. (b)(4)).
What these provisions show is that neither section 15610.57, subdivision (a)(1) nor other relevant portions of the statute flatly preclude the statute's applicability to outpatient medical treatment. Instead, the statute simply refers explicitly to "any person having the care or custody of an elder." (§ 15610.57, subd. (a)(1).) As defendants contend, "care" and "custody" may sometimes be used as synonyms, (see Oxford English Dict. Online (2016) http://oed.com
To rebut this interpretation, defendants emphasize two textual elements of section 15610.57. First, they note the Legislature's decision to use the definite article "the" before "care or custody." From defendants' perspective, this definite article, used with the modifier "having," suggests that the Legislature sought to signal a distinction as to the relationship between someone who has been charged with "having" "the care" of an elder or dependent adult and someone who merely provides care to a recipient. As defendants see it, had the Legislature not meant to signal a custodial relationship, it could have drafted section 15610.57 to apply to "any person caring for an elder or a dependent adult." Second, defendants argue that the Legislature's failure to use a definite article before the word "custody" suggests that we should read "care" and "custody" as "identical or synonymous." Plaintiffs, in turn, argue that the "or" in "care or custody" is an "inclusive disjunctive conjunction — that is, a conjunction that denotes separation or alternatives, while also allowing that both alternatives may be true."
These dueling textual and grammatical arguments may tell us something about the statute's scope, but neither interpretation fully answers a question implicit in the statute's use of the terms "having the care or custody": what kind of caretaking or custodial relationship is required to justify the conclusion that an individual or organization may be subjected to the Act's heightened remedies? Indeed, while defendants' interpretation is not categorically excluded by the statutory language, it not especially persuasive on its face, nor does the argument that the words "care" and "custody" should be read together as synonyms — even if it were availing — offer much insight into what those terms mean in the context of section 15610.57. The parties' dispute about whether "care or custody" should be taken individually or together does, however, highlight the fact that the text of section 15610.57, subdivision (a)(1) standing alone does not fully elucidate the scope of the relationship that the statute evokes by using these terms.
The content of section 15610.57, subdivision (b) nonetheless proves particularly instructive. Neglect includes the "[f]ailure to assist in personal hygiene, or in the provision of food, clothing, or shelter." (§ 15610.57,
One would not normally expect an able-bodied and fully competent adult to depend on another for "assist[ance] [with] personal hygiene" or "protect[ion] from health and safety hazards," any more than one would expect a party with only circumscribed, intermittent, or episodic engagement to be among those who "hav[e] ... care or custody" of someone who may be particularly vulnerable. (§ 15610.57, subds. (b)(1), (3) & (a).). An individual might assume the responsibility for attending to an elder's basic needs in a variety of contexts and locations, including beyond the confines of a residential care facility. Certain in-home health care relationships, for example, may satisfy the caretaking or custodial relationship requirement set forth under the Act. Ultimately, the focus of the statutory language is on the nature and substance of the relationship between an individual and an elder or a dependent adult. This focus supports the conclusion that the distinctive relationship contemplated by the Act entails more than casual or limited interactions.
Contrast the examples from section 15610.57, subdivision (b) — and the underlying concept of neglect they imply — with the sort of conduct triggering more conventional tort liability. A doctor's failure to prescribe the right medicine, or refer a patient to a specialist may give rise to tort liability even in the absence of a caretaking or custodial relationship. (See Code Civ. Proc., § 364, subd. (f)(2) [defining professional negligence as the "negligent act or omission to act by a health care provider in the rendering of professional services, which act or omission is the proximate cause of a personal injury or wrongful death"]; see also Fein v. Permanente Medical Group (1985) 38 Cal.3d 137, 143-145, 151 [211 Cal.Rptr. 368, 695 P.2d 665] [affirming medical malpractice judgment where defendants misdiagnosed plaintiff]; Evans v. Ohanesian (1974) 39 Cal.App.3d 121, 129 [112 Cal.Rptr. 236] [failure to refer to specialist].) What seems beyond doubt is that the Legislature enacted a scheme distinguishing between — and decidedly not lumping together — claims of professional negligence and neglect. (See § 15657.2 ["Notwithstanding this article, any cause of action for injury or damage against a health care provider ... based on the health care provider's alleged professional negligence, shall be governed by those laws which specifically apply to those professional negligence causes of action"]; see also Covenant Care, supra, 32 Cal.4th at p. 785.) The Act seems premised on the idea that certain situations place elders and dependent adults at heightened risk of harm, and heightened remedies relative to conventional tort remedies are
Aside from neglect situations, the only other circumstances where those heightened remedies are available under the Act must involve "`[p]hysical abuse'" as defined in section 15610.63. (See § 15657.) This, too, is consistent with the distinction between neglect and other forms of negligent conduct. Though the Act sets forth a rather broad definition of "`[a]buse of an elder,'" including physical abuse, neglect, financial abuse, isolation, abandonment, and the deprivation by a care custodian of certain goods or services (§ 15610.07), section 15657 is explicitly limited to physical abuse and neglect. This qualification on the types of conduct that trigger heightened remedies supports the conclusion that the Legislature explicitly targeted heightened remedies to protect particularly vulnerable and reliant elders and dependent adults. Indeed, the limited availability of heightened remedies is indicative of a determination that individuals responsible for attending to the basic needs of elders and dependent adults that are unable to care for themselves should be subject to greater liability where those caretakers or custodians act with recklessness, oppression, fraud, or malice. (§ 15657.) The statutory scheme further persuades us that the concept of neglect — though broad enough to encompass settings beyond residential care facilities — is not intended to apply to any conceivable negligent conduct that might adversely impact an elder or dependent adult. Instead, neglect requires a caretaking or custodial relationship that arises where an elder or dependent adult depends on another for the provision of some or all of his or her fundamental needs.
Our reading of section 15610.57 also fits our conclusions in prior cases. Delaney concluded that "`neglect' as defined in former section 15610.57 and used in section 15657 ... [refers] to the failure of those responsible for attending to the basic needs and comforts of elderly or dependent adults, regardless of their professional standing, to carry out their custodial obligations." (Delaney, supra, 20 Cal.4th at p. 34; see Covenant Care, supra, 32 Cal.4th at p. 786.) In both Delaney and in Covenant Care, the defendants had explicitly assumed responsibility for attending to the elders' most basic needs. In Delaney, the elder resided at a skilled nursing facility where she had been left lying in her own urine and feces for extended periods of time
What the text of section 15610.57 conveys about the Legislature's purpose here — along with related provisions, and similar language in other statutes — supports tethering the concept of neglect to caretaking or custodial situations. But the legislative history of the Act likewise suggests that the Legislature was principally concerned with particular caretaking and custodial relationships, and the abuse and neglect that can occur in that context. First, the legislative declarations accompanying the Elder Abuse Act tend to reinforce a reading of section 15610.57 that imposes a caretaking or custodial prerequisite. The Legislature recognized "that most elders ... who are at the greatest risk of abuse, neglect, or abandonment by their families or caretakers suffer physical impairments and other poor health that place them in a dependent and vulnerable position." (§ 15600, subd. (d), italics added.) The Legislature took note of the "factors which contribute to abuse, neglect, or abandonment of elders and dependent adults [such as] economic instability of the family, resentment of caretaker responsibilities, stress on the caretaker, and abuse by the caretaker of drugs or alcohol." (Id., subd. (e).) As these declarations make clear, the Legislature expressed concern for those who are vulnerable and dependent on others for their most basic needs. And the Legislature recognized certain factors that might arise in a custodial setting — emphasizing
Second, the legislative history tends to support the view that the Legislature enacted section 15657 in large part to combat pervasive abuse and neglect in certain health care facilities. (Delaney, supra, 20 Cal.4th at pp. 35-36.) As we concluded in Delaney, "one of the major objectives of this legislation was the protection of residents of nursing homes and other health care facilities." (Id. at p. 36.) That recognition led us to hold as "contrary" to the Legislature's objective the exemption of nursing homes and other similar facilities from section 15657's reach. (Delaney, at p. 37.)
Third, nothing in the legislative history suggests that the Legislature intended the Act to apply whenever a doctor treats any elderly patient. Reading the act in such a manner would radically transform medical malpractice liability relative to the existing scheme. Senate Bill No. 679 (1991-1992 Reg. Sess.) was the bill that contained the Act. No portion of its legislative history contains any indication that the Legislature's purpose was to effectuate such a transformation of medical malpractice liability. (See Jones v. Lodge at Torrey Pines Partnership (2008) 42 Cal.4th 1158, 1169 [72 Cal.Rptr.3d 624, 177 P.3d 232] [discussing "the absence of legislative history" in concluding that amendment described as "`technical and conforming'" was not intended to effect a substantial change in the law]; Donovan v. Poway Unified School Dist. (2008) 167 Cal.App.4th 567, 597 [84 Cal.Rptr.3d 285] ["the absence of legislative history [can] be of significance in deciphering legislative intent"], citing Lodge at Torrey Pines, at p. 1169.) While the absence of legislative history alone is of limited significance, here we see only evidence that cuts against any argument that the Legislature was not aware of the scope of health care providers' potential liability under the Act. (See Delaney, supra, 20 Cal.4th at p. 41 [noting that § 15657's "legislative history suggests that nursing homes and other health care providers were among the primary targets of the Elder Abuse Act"]; see also § 15657.2 [distinguishing claims "based on the health care provider's alleged professional negligence" from those governed by the Elder Abuse Act].)
In the alternative, plaintiffs contend that if neglect under section 15610.57, subdivision (a)(1), requires a caretaking or custodial relationship,
Section 15610.17 broadly defines a care custodian as an "administrator or an employee of any of the following public or private facilities or agencies, or persons providing care or services for elders or dependent adults, including members of the support staff and maintenance staff." (§ 15610.17.) It then lists a variety of public and private agencies and facilities, from "[t]wentyfour-hour health facilities" (§ 15610.17, subd. (a)), to "[h]umane societies and
Plaintiffs cannot bring a claim of neglect under the Elder Abuse Act unless the defendant health care provider has a caretaking or custodial relationship with the elder or dependent adult. Here, plaintiffs rely solely on defendants' allegedly substandard provision of medical treatment, on an outpatient basis, to an elder. But without more, such an allegation does not support the conclusion that neglect occurred under the Elder Abuse Act. To elide the distinction between neglect under the Act and objectionable conduct triggering conventional tort remedies — even in the absence of a care or custody relationship — risks undermining the Act's central premise. Our conclusion is grounded in the text of sections 15657 and 15610.57 and related provisions, the extent to which those provisions make heightened remedies available only in specific circumstances, the applicable legislative history, and the light these shed on the Legislature's intended purpose. Our conclusion that a claim of neglect under the Elder Abuse Act depends on the existence of a caretaking or custodial relationship is also consistent with our prior cases.
Cantil-Sakauye, C. J., Werdegar, J., Chin, J., Corrigan, J., Liu, J., and Kruger, J., concurred.