stacy-smith-and-robert-smith-individually-and-as-co-personal ( 2013 )

FOR PUBLICATION
ATTORNEY FOR APPELLANTS: ATTORNEYS FOR APPELLEES:
STEPHEN M. WAGNER KEVIN C. SCHIFERL
Wagner Reese, LLP LUCY R. DOLLENS
Carmel, Indiana VANESSA A. DAVIS
Frost Brown Todd, LLC
Indianapolis, Indiana
May 08 2013, 9:32 am
IN THE
COURT OF APPEALS OF INDIANA
STACY SMITH and ROBERT SMITH, )
Individually and as Co-Personal )
Representatives of the ESTATE OF )
JOHNNY DUPREE SMITH, Deceased, )
)
Appellants-Plaintiffs, )
)
vs. ) No. 54A01-1204-CT-169
)
DELTA TAU DELTA, )
)
Appelee-Defendant, )
)
BETA PSI CHAPTER OF DELTA TAU )
DELTA, WABASH COLLEGE and )
MARCUS MANGES, )
)
Defendants. )
APPEAL FROM THE MONTGOMERY SUPERIOR COURT
The Honorable Donald L. Daniel, Special Judge
Cause No. 54D01-1009-CT-346
May 8, 2013
OPINION - FOR PUBLICATION
RILEY, Judge
STATEMENT OF THE CASE
Appellants-Plaintiffs, Stacy Smith and Robert Smith, Individually and as Co-
Personal Representatives of the Estate of Johnny Dupree Smith, deceased (the Smiths),
appeal the trial court’s summary judgment in favor of Appellee-Defendant, Delta Tau
Delta, with respect to claims arising from the wrongful death of Johnny Dupree Smith
(Johnny), a Wabash College freshman, following acute alcohol intoxication.1
We affirm in part, reverse in part, and remand for further proceedings.
ISSUES
The Smiths raise two issues on appeal, which we restate as follows:
(1) Whether the trial court abused its discretion by denying the Smiths’ motion to
strike certain designated evidence purporting to contain unsworn, unverified, and
uncertified statements; and
(2) Whether the trial court erred in granting Delta Tau Delta’s motion for summary
judgment, finding that there is no genuine issue of material fact that an agency
relationship existed between the national fraternity and its local chapter and that
the national fraternity did not assume a duty to protect its freshmen pledges.
FACTS AND PROCEDURAL HISTORY
1
This cause comes before us as an appeal to the trial court’s grant of summary judgment, instigated by
Delta Tau Delta’s motion. Although the Smiths filed an amended complaint, which also alleged several
claims against Wabash College, Delta Tau Delta’s local Beta Psi Chapter, and Marcus Manges, Beta Psi’s
risk manager, these parties did not join in the motion for summary judgment and accordingly are not
before us on appeal. See Appellate Rule 17(A).
2
This cause comes before us as an appeal to the trial court’s grant of summary
judgment in an action arising from the wrongful death of a child following acute alcohol
poisoning at the Delta Tau Delta fraternity house at Wabash College, Indiana.
I. The Events of the Fall of 2008
In the fall of 2008, Johnny, originally from Tucson, Arizona was a college
freshman at Wabash College, in Crawfordsville, Indiana. At the beginning of the fall
semester, Johnny pledged at the Beta Psi Chapter of Delta Tau Delta and began living in
the Beta Psi fraternity house, which was owned by the College. In the week leading up to
Homecoming on October 4, 2008, the freshmen pledges were put through a “hell week”
of hazing and sleep deprivation. (Appellant’s App. p. 145). In one of these activities,
Johnny was required to participate in Chapel Sing, an annual Wabash tradition the week
of Homecoming where freshmen pledges of each fraternity house compete against each
other to yell the Wabash school song the loudest. At practices for Chapel Sing, fraternity
members routinely haze the freshmen pledges. Because Johnny failed to perform to the
satisfaction of his fraternity brothers during the Chapel Sing competition on October 2,
2008, he had a large red W spray painted on him. In addition, the pledges were required
to stay up into the early morning hours to build a Homecoming float and to clean the
fraternity house kitchen wearing only an apron.
On Tuesday, September 30, 2008, Beta Psi’s social chairman emailed the Delta
Tau Delta pledges announcing a house party at the fraternity house the weekend of
Homecoming at which there would be “an abundance of alcohol.” (Appellant’s App. p.
145). During this house party on October 4, 2008, Johnny began drinking beer at the
3
fraternity house shortly before 9 p.m. Throughout the evening, Johnny consumed
multiple beers and several shots of hard alcohol. Later, after Johnny was visibly
intoxicated, he was summoned to the first floor room of an upperclassman to participate
in a “pledge family drink night.” (Appellant’s App. p. 147). As a condition of
membership, freshmen pledges were required from time to time to drink alcohol with
their fraternity families. While participating in the required family drink night, Johnny
consumed numerous shots of hard alcohol. At approximately 10:30 p.m., Johnny left the
room and shortly thereafter, he fell down a stairwell, cutting his lip, cheek, and chin. At
that time, he was unable to walk and could barely talk.
At 11 p.m., Johnny’s pledge brothers physically carried him to the upstairs
bedroom. At the instruction of Delta Tau Delta’s house risk manager, Johnny’s mattress
was taken off his top bunk and placed on the floor. Johnny was placed on his side “so he
wouldn’t choke on his vomit” and Stevan Stankovich (Stankovich), a freshman pledge,
was ordered to keep an eye on him. (Appellant’s App. p. 149). Around 11:30 p.m.,
Stankovich noticed Johnny’s body to be limp, his breathing shallow, and his eyes
remained open even though he was non-responsive. At around 2 a.m., Stankovich left the
room to drive several drunken Delta Tau Delta alumni back to their hotel; he returned
around 3:45 a.m. On October 5, 2008, at 8:45 a.m, when the pledges were awoken to
clean up after the party, Johnny was found deceased, lying in a pool of his own vomit.
The Montgomery County coroner later determined that, when he was found, Johnny had
been dead for at least four to eight hours; and his blood alcohol content was nearly .40%.
II. Delta Tau Delta
4
The national fraternity, Delta Tau Delta, was founded in 1858 at Bethany College
in West Virginia, and is now comprised of 131 local chapters and colonies in multiple
countries. It is a non-profit corporation, with its central office located in Fishers, Indiana
and comprised of a volunteer alumni board of directors. Although originally managed by
its undergraduate members, in the late 19th Century the members determined they no
longer had the ability to manage the fraternity effectively and they created and
bequeathed power to the national organization.
Delta Tau Delta is governed by a constitution, bylaws, and member responsibility
guidelines which promulgate policies, rules, and procedures for its local chapters. These
rules encompass, among others, the rituals to be carried out by the local chapters,
delineate the powers and duties of the local chapters’ officers, prescribe discipline and
process for expelling fraternity members, and describe the type of social events which are
prohibited. Specifically, Delta Tau Delta mandates that
[n]o chapter of Delta Tau Delta shall indulge in any physical abuse or
undignified treatment (hazing) of its pledges or members. Hazing is
defined as any action taken or situation created intentionally, whether on or
off Fraternity premises, to produce mental or physical discomfort,
embarrassment, harassment, or ridicule. Such activities and situations
include paddling in any form, creation of excessive fatigue, physical and
psychological shocks, quests, treasure hunts, scavenger hunts, road trips or
any other such activities, kidnapping of actives by pledges or pledges by
actives as well as the forced consumption of alcohol, wearing apparel
which is conspicuous and not normally in good taste, engaging in any
public stunts and buffoonery, morally degrading or humiliating games and
activities, late work sessions which interfere with academic activity, and
any other activities which are not consistent with Fraternal law, Ritual, or
policy with the regulations and policies of the host educational institution.
(Appellant’s App. p. 227).
5
In addition to its constitution and bylaws, the national fraternity adopted member
responsibility guidelines which “provide a concise articulation of the responsibilities of
each member, regarding alcohol, drugs, hazing, abusive behavior, and property
management. Any violation of these criteria is viewed seriously by [Delta Tau Delta],
and it is the responsibility of every undergraduate chapter member and volunteer to see
that [t]he [g]uidelines are upheld.” (Appellant’s App. p. 233). In 1999, and as restated in
2007, Delta Tau Delta explicitly recognized “the well known dangers of alcohol and
substance abuse”, and adopted policy statements as part of its guidelines, reaffirming:
the over arching principle that drunkennesss or other intoxication, and their
associated behaviors by individual members, are unacceptable. Delta Tau
Delta will first use education as a means to support appropriate behavior,
but also recognizes that where such behavior places the Fraternity, an
individual chapter or colony, or our Brothers at risk, it can be cause for
suspension or expulsion from membership.. . . With the education of youth
our primary objective, the Arch Chapter has adopted GreekLifeEdu as the
Fraternity’s alcohol education program. At a minimum, each new member
of Delta Tau Delta will be provided and is expected to complete this
program prior to the end of the term in which he is initiated. In addition,
the Arch Chapter requires each chapter and colony to contact an alcohol
and substance treatment organization in its area and arrange for a
representative to address the chapter or colony on addiction and abuse
issues each academic year.
(Appellant’s App. p. 234). In addition, Delta Tau Delta prohibited the purchase of
alcohol with fraternity funds, use of alcohol at rush, pledge, and initiation activities,
drinking games, as well as kegs of beer and other common containers of alcohol.
The specific implementation procedures of these guidelines at local level prescribe
that:
6
1. The chapter president, along with the risk management chairman and
chapter advisor, shall communicate information on risk management and
the [g]uidelines to the chapter on a regular basis.
2. The chapter president, along with the risk management chairman and
chapter advisor, shall be responsible for advising and assisting the chapter
in implementation, verification, and enforcement of [t]he [g]uidelines.
3. The chapter president, along with the new member educator shall be
responsible to ensure that all new members complete [Delta Tau Delta’s]
approved alcohol education program during the academic term of their
initiation.
(Appellant’s App. p. 233).
To promulgate and enforce these rules, Delta Tau Delta enacted an hierarchical
enforcement criteria and a complex enforcement program. Upon dividing violations of
Delta Tau Delta’s constitution, bylaws, and member responsibility guidelines into three
levels, each level institutes its own sanction. Specifically, a level I violation—e.g.,
failure to implement Delta Tau Delta’s alcohol education program—triggers a response
“determined and coordinated by [Delta Tau Delta’s] Central Office staff;” while a level II
violation—e.g. hazing, alcohol during pledge activities, and drinking games—may result
in suspension of the member, fines, or suspension of the local chapter. (Appellant’s App.
p. 229). In its enforcement program, Delta Tau Delta also described the reporting process
for potential violations, its investigation procedure, and subsequent sanctions.
To further regulate hazing and alcohol use at its local chapters, Delta Tau Delta
implemented “Delts Talking About Alcohol.” This program is designed to educate
individual members as to how to recognize the signs of acute alcohol poisoning, and once
recognized, how to properly handle the emergency. At the time of Johnny’s death, Delta
Tau Delta required all pledges to complete the program within the first semester of their
7
pledgeship. As of the evening of October 4, 2008, none of the members of Johnny’s
pledge class had completed the program.
To ensure compliance by the local chapter with its mandates, Delta Tau Delta
relies on chapter consultants and chapter advisors. Chapter consultants periodically visit
the local chapter to review its operations. If, during the visit, the chapter consultant
observes conduct in violation of Delta Tau Delta’s constitution, bylaws, or member
responsibility guidelines, he advises his supervisor who is responsible to investigate the
incident. A chapter advisor, on the other hand, is assigned to a local chapter by the
national fraternity and is required to attend at least one chapter meeting a month to keep
the national fraternity “fully and accurately informed of the affairs of the chapter.”
(Appellant’s App. p. 184). At the time of Johnny’s death, Beta Psi’s chapter advisor was
Doug Coy (Coy). As chapter advisor, he was expected to report any conduct violations
to Delta Tau Delta as well as ensure that the local chapter complied with corrective
actions ordered by the national fraternity and the new pledges completed the “Delts
Talking About Alcohol” program. Coy was at the fraternity house on the evening of
October 3, 2008 and again on the day of the Homecoming party, October 4, 2008.
During the existence of its local chapter at Wabash College, Delta Tau Delta has
investigated and substantiated prior incidents involving hazing. Most recently, in the
spring of 2007, a chapter consultant discovered a video showing Beta Psi members
hitting other students with pledge paddles. After investigating the incident, Delta Tau
Delta imposed corrective actions and sanctions on Beta Psi, including fines and a
requirement to rewrite its bylaws to bring them current with existing Delta Tau Delta
8
policies and procedures. In addition, James Russell (Russell), Delta Tau Delta’s
executive vice president, and Jack Kreman, Delta Tau Delta’s director of chapter
services, informed the Beta Psi members that “the practice of pledge family oriented
activities must cease immediately.” (Appellant’s App. p. 107).
III. Procedural History
On September 22, 2010, the Smiths, individually and as representatives of
Johnny’s estate, initiated an action for the wrongful death of a child. On February 9,
2011, the Smiths filed an amended complaint against Delta Tau Delta, its local chapter
Beta Psi, Wabash College, and Beta Psi’s risk manager alleging hazing in violation of
Ind. Code § 35-42-2-2, dram shop violations of I.C. § 7.1-5-7-8, and negligence. On July
29, 2011, Delta Tau Delta filed a motion for summary judgment claiming Beta Psi’s
individual members were not acting as agents of Delta Tau Delta and the national
fraternity had not assumed a duty to the pledges of its local chapter to protect them from
hazing and the danger of excessive alcohol consumption. Together with its motion, Delta
Tau Delta designated, among other documents, Russell’s affidavit and two unsworn and
uncertified statements. On January 31, 2012, the Smiths filed a response, designated
evidence, as well as a motion to strike Russell’s affidavit and the two statements. On
March 12, 2012, the trial court conducted a hearing on both motions. That same day, the
trial court denied the Smiths’ motion to strike. On March 23, 2012, the trial court
summarily granted Delta Tau Delta’s motion and entered final judgment against the
Smiths.
The Smiths now appeal. Additional facts will be provided as necessary.
9
DISCUSSION AND DECISION
I. Motion to Strike
The Smiths first contend that the trial court abused its discretion when it denied
their motion to strike certain portions of Delta Tau Delta’s designated evidence in support
of the fraternity’s motion for summary judgment. A trial court is vested with broad
discretion in ruling on a motion to strike. In re Fitz, 778 N.E.2d 432, 436 (Ind. Ct. App.
2002). An abuse of discretion occurs when the trial court’s decision is clearly against the
logic and effect of the facts and circumstances supporting the judgment for relief. Id.In their motion, the Smiths attempted to strike three documents designated by
Delta Tau Delta as contrary to the requirements of Ind. Trial Rule 56. Focusing on
Russell’s sworn affidavit, the Smiths assert that because certain, specified paragraphs
contradict the affiant’s subsequent deposition testimony, these contradictory portions of
the affidavit should be stricken. In addition, the Smiths contend that the uncertified and
unsworn statements purportedly made by two freshmen pledges to investigating police
officers are inadmissible in summary judgment proceedings. We will analyze each
contention in turn.
A. Affidavit of James Russell, Executive Vice President of Delta Tau Delta.
With respect to Russell’s affidavit, the Smiths assert that paragraphs 6, 11, 16, 17,
and 18 contradict his sworn deposition testimony and therefore, these paragraphs should
10
be stricken from his affidavit.2 In a general response, Delta Tau Delta argues that
Russell’s deposition merely expands and clarifies his eighteen paragraph affidavit.
As a matter of course, parties routinely present Trial Rule 56 materials in support
of or in opposition to motions for summary judgment attempting to demonstrate that
there is or is not a dispute of material fact. Kroger Co. v. Plonski, 930 N.E.2d 1, 5 (Ind.
2010). This is often accomplished through the presentation of affidavits by affiants
claiming to have personal knowledge of the facts alleged. Id. It is quite ordinary and not
at all surprising that the parties’ affidavits or other Rule 56 materials compete with
conflicting claims about the facts. Id. Affidavits submitted in support of or in opposition
to a motion for summary judgment may be stricken for a variety of reasons, one of which
is contradiction with the affiant’s deposition testimony. Id.
1. Paragraph 6
In Paragraph 6 of his affidavit, Russell affirms that “[t]he International
Organization does not handle the affairs of local chapters.” (Appellant’s App. p. 302).
Contrasting this statement with Russell’s deposition in which he explained the interaction
between Delta Tau Delta and its local chapters, the Smiths assert that both statements are
contradictory and paragraph 6 should be stricken.
At first glance, Russell consistently stated in his deposition that
[W]e do not tell [the local chapter] who they can pledge, who – you know,
what people they elect to join the organization; we do not control their
funds . . . we do not get involved in housing arrangements in terms of
where they live; how many men to a room; all of those sort of – of things.
2
Although the Smiths enumerate paragraph 11 as being contradictory to Russell’s deposition, they omit
any argument pertaining to it. As such, the Smiths waived their claim relating to paragraph 11.
11
(Appellant’s App. p. 242). However, a closer review of Russell’s deposition testimony
also reveals that Russell testified that Delta Tau Delta has a constitution, bylaws, and
member responsibility guidelines that provide policies and rules “that speak to both
individual and chapter expectations.” (Appellant’s App. p. 242). He stated that Delta
Tau Delta requires its local chapters to comply with its rules and enforces its rules at the
chapter level in a variety of ways. In addition, Russell admitted that Delta Tau Delta
sends a chapter consultant to the individual chapters on a regular basis. During this visit,
the consultant reviews the finances of the chapter and reports back to the national
organization if any violations of the member responsibility guidelines are observed. We
conclude that the outright denial of any interference in the affairs of the local chapter, as
stated in paragraph 6 of the affidavit, contradicts Russell’s more detailed deposition
indicating an close interaction between Delta Tau Delta and the local chapter and
therefore should be stricken.
2. Paragraphs 16 and 17
In Paragraphs 16 and 17, Russell affirmed that
16. The local chapters, pursuant to the International Organization’s
Bylaws, make their own decisions regarding alcohol use, in conformity
with state, local and university/college laws and regulations.
17. Every chapter, consistent with their individual member’s obligations
under the law and per the Member Responsibility Guidelines, develops
their own standards of behavior with regard to alcohol use and abuse.
(Appellant’s App. p. 41). Asked about these paragraphs in his deposition testimony,
Russell confirmed the statements and added that even though Delta Tau Delta allows its
12
individual local chapters to promulgate their own rules with respect to allowing alcohol
on house premises and its use for those members over legal drinking age, these rules must
be consistent with the organization’s bylaws, member responsibility guidelines as well as
state, local and university or college laws and regulations. Viewed in this light, we
conclude that Russell’s deposition testimony is more an elaboration of his affidavit,
rather than an outright contradiction. Therefore, Paragraphs 16 and 17 were properly
designated.
3. Paragraph 18
In Paragraph 18, Russell declared that “[t]he only enforcement power of the
International Organization is suspending or expelling individual members or revoking
chapters.” (Appellant’s App. p. 41) (emphasis added). Nevertheless, during his
deposition, Russell admitted to several other enforcement powers. Specifically, Russell
conceded that besides the enforcement powers enumerated in his affidavit, Delta Tau
Delta could also impose fines on individual members, order a local chapter to attend
additional educational training, temporarily suspend chapter operations, cease social
events, and order the local chapter to refrain from using any alcohol for a certain period
of time.
Delta Tau Delta responds that a distinction must be made between enforcement
powers and sanctions. They assert that as such, Russell’s affidavit speaks to the
enforcement mechanisms of Delta Tau Delta while his deposition testimony elaborated
on the organization’s sanctioning power. We disagree. Although Delta Tau Delta’s
counsel introduces a distinction between enforcement and sanctions during the
13
deposition, the Smiths consistently questioned Russell on whether certain actions
constituted enforcement powers by the organization. Therefore, Russell’s categorical
statement in his affidavit is contrary to his deposition during which he admits to the
organization’s additional enforcement mechanisms. As a result, the trial court abused its
discretion by refusing to strike paragraph 18.
B. Unsworn and Uncertified Statements
As part of the evidence in support of its motion for summary judgment, Delta Tau
Delta designated two unsworn, uncertified, and unauthenticated statements purportedly
made by two freshmen to investigating police officers. In determining a motion for
summary judgment, a trial court can consider only material deemed appropriate by Ind.
Trial Rule 56(E). Duncan v. Duncan, 764 N.E.2d 763, 766 (Ind. Ct. App. 2002). That
rule provides:
Supporting and opposing affidavits shall be made on personal knowledge,
shall set forth such facts as would be admissible in evidence, and shall
show affirmatively that the affiant is competent to testify to the matters
stated therein. Sworn or certified copies not previously self authenticated
of all pages or parts thereof referred to in an affidavit shall be attached
thereto or served therewith.
In ruling on a motion for summary judgment, the trial court will consider only properly
designated evidence which would be admissible at trial. An unsworn statement or
unverified exhibit does not qualify as proper evidence. Kronmiller v. Wangberg, 665
N.E.2d 624, 627 (Ind. Ct. App. 1996). Where the content of the uncertified exhibits is
materially in issue, said exhibits will be insufficient and consideration of them is
improper. Wallace v. Ind. Ins. Co., 428 N.E.2d 1361, 1365 (Ind. Ct. App. 1981).
14
Because Delta Tau Delta’s two designated statements were not attached to an affidavit
and were unsworn and unverified, they cannot now be considered in ruling on a motion
for summary judgment. See Kronmiller, 665 N.E.2d at 627.
Delta Tau Delta now attempts to circumvent the requirements of T.R. 56(E) by
asserting that the statements are admissible pursuant to Ind. Evidence Rule 803(8).
Indiana Evidence Rule 803(8), contains certain exceptions to the prohibition against
hearsay and provides that:
Unless the sources of information or other circumstances indicate lack of
trustworthiness, records, reports, statements, or data compilations in any
form, of a public office or agency, setting forth its regularly conducted and
regularly recorded activities, or matters observed pursuant to duty imposed
by law and as to which there was a duty to report, or factual findings
resulting from an investigation made pursuant to authority granted by law.
The following are not within this exception to the hearsay rule: (a)
investigative reports by police and other law enforcement personnel, except
when offered by an accused in a criminal case[.]
Here, because of its uncertified and unsworn nature, the precise characterization of the
two statements is unclear. However, both statements commence with
Today’s date is Sunday the 5th of October 2008 time’s approximately 11:50
AM. Speaking is Det. Sgt Bob Rivers of the Crawfordsville Police Dept.,
speaking from the interview room in the detective division of the
Crawfordsville Police Dept. And I am speaking with [].
(Appellant’s App. p. 43).3 Although Delta Tau Delta asserts—without any citations to
the designated evidence—that these statements are not investigative reports but merely
“transcribed, oral statements” made to the detective “by two individuals with personal
knowledge of the matters at issue,” we are not persuaded. (Appellee’s Br. p. 31). It is
3
The second statement expresses a similar sentiment but is dated Wednesday, Dec. 3, 2008 and took
place at the former Delta Tau Delta building on the Wabash College campus.
15
clear the statements purport to be an interview by a police officer of two witnesses
pertaining to the events surrounding Johnny’s death. As such, both documents fall within
the provision of investigative police reports and are inadmissible as hearsay statements in
accordance with Evid. R. 803(8). The trial court abused its discretion by denying the
Smiths’ motion to strike with respect to the two statements.
II. Motion for Summary Judgment
In their amended complaint, the Smiths bring three claims against Delta Tau Delta.
In Counts I and II, the Smiths allege violations of the hazing statute and the dram shop
laws respectively. They assert liability on the part of Delta Tau Delta by way of an
agency relationship with its local chapter. Specifically, they maintain that Delta Tau
Delta, through the actions of their officers and agents at its local chapter, is responsible
for the hazing of Johnny in violation of I.C. § 35-42-2-2 and continued to furnish Johnny
alcoholic beverages at the Homecoming party resulting in Johnny’s acute alcohol
intoxication and death. With respect to Count III—a claim of negligence against Delta
Tau Delta—the Smiths base their accusation on an assumption of duty, contending that
Delta Tau Delta, “through their actions and promises to the parents of prospective
fraternity members, assumed a duty to protect freshmen pledges, including Johnny, from
hazing and excessive alcohol consumption which could result in bodily injury or death.”
(Appellant’s App. pp 154-55). The trial court granted summary judgment in favor of
Delta Tau Delta on all three claims. The Smiths appealed, maintaining that the trial court
erred in issuing summary judgment for Delta Tau Delta because a genuine issue of
16
material fact exists with respect to the national fraternity’s responsibility in all three
Counts.
To be sure, we are presented with a very narrow legal issue today. The parties are
not alleging that an actual violation of the hazing statute or dram shop laws occurred;
rather, we are requested to determine whether the national fraternity assumed a duty to its
pledges or an agency relationship existed with the local chapter which could propel Delta
Tau Delta within the purview of liability if the perceived violations of the hazing statute
and dram shop laws took place.
A. Standard of Review
Summary judgment is appropriate only when there are no genuine issues of
material fact and the moving party is entitled to a judgment as a matter of law. Ind. Trial
Rule 56(C). A fact is material if its resolution would affect the outcome of the case, and
an issue is genuine if a trier of fact is required to resolve the parties’ differing accounts of
the truth . . ., or if the undisputed facts support conflicting reasonable inferences.
Williams v. Tharp, 914 N.E.2d 756, 761 (Ind. 2009). In reviewing a trial court’s ruling
on summary judgment, this court stands in the shoes of the trial court, applying the same
standards in deciding whether to affirm or reverse summary judgment. First Farmers
Bank & Trust Co. v. Whorley, 891 N.E.2d 604, 607 (Ind. Ct. App. 2008), trans. denied.
Thus, on appeal, we must determine whether there is a genuine issue of material fact and
whether the trial court has correctly applied the law. Id. at 607-08. In doing so, we
consider all of the designated evidence in the light most favorable to the non-moving
party. Id. at 608. The party appealing the grant of summary judgment has the burden of
17
persuading this court that the trial court’s ruling was improper. Id. When the defendant
is the moving party, the defendant must show that the undisputed facts negate at least one
element of the plaintiff’s cause of action or that the defendant has a factually
unchallenged affirmative defense that bars the plaintiff’s claim. Id. Accordingly, the
grant of summary judgment must be reversed if the record discloses an incorrect
application of the law to the facts. Id.We observe that in the present case, the trial court did not enter findings of fact
and conclusions of law in support of its judgment. Special findings are not required in
summary judgment proceedings and are not binding on appeal. Id. However, such
findings offer this court valuable insight into the trial court’s rationale for its decision and
facilitate appellate review. Id.B. Assumption of Duty
First, the Smiths allege that Delta Tau Delta affirmatively assumed a duty to
protect Johnny from hazing practices and the dangers of excessive alcohol consumption.
A duty of care may arise where one party gratuitously or voluntarily assumes such a duty.
Delta Tau Delta v. Johnson, 712 N.E.2d 968, 975 (Ind. 1999). An assumption of duty
creates a special relationship between the parties and a corresponding duty to act as a
reasonably prudent person. Id. Although the existence and extent of an assumed duty is
generally a question of fact for the jury, it may be resolved as a matter of law if the
designated evidence is insufficient to establish such a duty. Id. The Restatement
(Second) of Torts Section 324A(b) (2d ed. 1965) provides that one who undertakes to
render services to protect a third person is subject to liability to the third person resulting
18
from his failure to exercise reasonable care if he has undertaken to perform a duty owed
by the other to the third person. “The actor must specifically undertake to perform the
task he is charged with having performed negligently, for without the actual assumption
of the undertaking there can be no correlative legal duty to perform the undertaking
carefully.” Am. Legion Pioneer Post No. 340 v. Christon, 712 N.E.2d 532, 535 (Ind. Ct.
App. 1999), trans. denied. This means that the defendant must have undertaken the duty
both “specifically and deliberately . . . [I]t is also important that the party on whose
behalf the duty is being undertaken relinquish control of the obligation; the party who
adopts the duty must be acting ‘in lieu of’ the original party.” Griffin v. Simpson, 948
N.E.2d 354, 360 (Ind. Ct. App. 2011), trans. denied.
Courts in all jurisdictions have addressed liability for fraternities stemming from
injuries incurred on university or fraternity property with varying outcomes. The most
prominent cases usually all involve activities surrounding initiation rituals, and more
often than not, excessive fraternity-sponsored alcohol consumption.
In Delta Tau Delta, our supreme court held as a matter of law that the national
fraternity did not gratuitously assume a duty to protect a female sexual assault victim
during an alcohol party at the chapter house by sending a series of posters to the local
chapter professing that Delta Tau Delta fraternity was a leading fighter against date rape
and alcohol abuse. Delta Tau Delta, 712 N.E.2d at 975. In Foster v. Purdue University
Chapter, the Beta Mu of Beta Theta Pi, 567 N.E.2d 865, 865 (Ind. Ct. App. 1991), we
affirmed summary judgment in favor of the national fraternity and local fraternity
association where an inebriated freshman broke his neck after diving into a waterslide at
19
the chapter house during a party. The court rejected Foster’s argument that the fraternity
association affirmatively assumed a duty to control the chapter members’ conduct based
on its execution of chapter by-laws, noting first that the association resolutions were
recommended but not binding and that even if they were binding on fraternity members,
Foster, as a member, would be contractually bound to control his own behavior. Id. at
871.
In contrast, the Louisiana Court of Appeals concluded in Morrison v. Kappa Alpha
Psi Fraternity, 738 So.2d 1105, 1118 (La. Ct. App. 1999), writ denied, that based upon
the national fraternity’s complex hierarchical system for controlling its local chapters’
charters as well as its knowledge of prior hazing incidents at the particular local chapter,
the national fraternity had undertaken a duty to regulate that local chapter to the extent
necessary to protect Morrison from hazing. The court noted that on the national level, the
fraternity had the authority to approve or revoke a local group’s chapter. Id. On a
regional level, Kappa Alpha Psi had the authority to supervise the activities of the local
chapters and administer discipline for rule violations. Id. Also, the national fraternity
had adopted a level of regional officers who were charged with the responsibility of
auditing local chapters for compliance with fraternity, university, and local criminal rules
and regulations. Id.The Smiths designated evidence establishing that Delta Tau Delta promulgated
rules and enforcement procedures focused on hazing and alcohol abuse. The evidence
supports that from its inception, Delta Tau Delta has focused on regulating hazing and
alcohol consumption by its chapter members and increased its involvement in the local
20
chapters throughout the years, culminating in the detailed membership responsibility
guidelines specifically dedicated to hazing and alcohol. Initially, Delta Tau Delta’s rules
prescribed the membership rituals to be carried out by the local chapters, its membership
recruitment procedures, and the process to expel members who exhibit conduct
unbecoming a member of the fraternity. With the compilation and enactment of member
responsibility guidelines, Delta Tau Delta included specific provisions clarifying its
position with respect to hazing, alcohol and drugs, and other abusive behavior. In
particular, besides the general definition of hazing, the national fraternity elaborated that
“[n]o member or pledge/associate/new member/novice shall permit, tolerate, encourage
or participate in ‘drinking games.’” (Appellant’s App. p. 228). Together with these
specific behavior provisions and their violations, Delta Tau Delta included enforcement
criteria in the member responsibility guidelines, varying from suspension of the member
to fines and educational programming, as well as an enforcement program, in which the
national fraternity emphasized that it needs to be informed of “potential violations . . . as
soon as possible by anyone with knowledge thereof either to the chapter advisor, division
vice president, or to the Fraternity’s Central Office.” (Appellant’s App. p. 231). At the
conclusion of these guidelines, Delta Tau Delta included a verification program, in which
each local chapter must certify presentation of the guidelines to its members and the
“efforts made to comply with the implementation requirements.” (Appellant’s App. p.
232).
Subsequent to the initial adoption of the member responsibility guidelines, in
August 1990, and restated in 2007, Delta Tau Delta added very detailed policy statements
21
on alcohol and substance abuse. In these statements, Delta Tau Delta mandated the
completion by each new member by the end of his initiation term of an alcohol education
program—GreekLifeEdu— as well as the collaboration between the local chapter and a
local alcohol and substance treatment organization. At the same time, Delta Tau Delta
instituted Delts Talking About Alcohol, an educational program required for all pledges
on how to recognize the signs of acute alcohol poisoning. In addition, pledge family-
oriented activities, alcohol at pledge activities, and drinking games—like the ones Johnny
participated in during the Homecoming party—were expressly prohibited.
Although Delta Tau Delta enacted its comprehensive provisions on hazing and
alcohol in its member responsibility guidelines, these are not mere guidelines as would be
understood in common parlance in the sense of being voluntary. Rather, a sophisticated
compliance and enforcement mechanism ensured acquiescence from the local chapters.
Through its chapter consultants and chapter advisors, Delta Tau Delta remained apprised
of the daily activities in their local chapters. Not only were chapter advisors required to
report conduct violations, they also were responsible to ensure the local chapter complied
with any enforcement and corrective mechanisms mandated by the national fraternity.
More specifically, designated evidence reveals that the chapter advisor was present at the
fraternity house on the evening of October 3, 2008 and again on the day of the
Homecoming party.
While it is clear that the sophisticated nature of the rules and the lengthy,
explicitly phrased member responsibility guidelines with its enforcement mechanisms
indicate some oversight by the national fraternity in policing its collegiate chapters, there
22
remains a genuine issue of material fact whether this level of influence alone is sufficient
to find that Delta Tau Delta assumed a duty to protect its pledges from hazing and
excessive alcohol consumption. As such, the undisputed material facts support
conflicting reasonable inferences which make the grant of summary judgment
inappropriate. Therefore, we reverse the trial court’s grant of summary judgment in favor
of Delta Tau Delta.
C. Agency Relationship
In a related argument, the Smiths contend that the trial court erred in concluding as
a matter of law that Delta Tau Delta is not responsible for violations of the hazing statute
and the dram shop laws as it did not have an agency relationship with its local chapter.
To be liable under this theory, an agency relationship must exist. Foster, 567 N.E.2d at
872. Agency is a relationship which results from manifestation of consent by one party
to another. Id. The elements of agency are consent and control. Id. An agent must
acquiesce to the arrangement, and be subject to the principal’s control. Id. Where
apparent authority is at issue, it must be initiated by a manifestation of the principal.
Swanson v. Wabash College, 504 N.E.2d 327, 331 (Ind. Ct. App. 1987). In other words,
the necessary manifestation is one made by the principal to a third party
who in turn is instilled with a reasonable belief that another individual is an
agent of the principal. It is essential that there be some form of
communication, direct or indirect, by the principal, which instills a
reasonable belief in the mind of the third party. Statements or
manifestations made by the agent are not sufficient to create an apparent
agency relationship.
Id. at 331-32.
23
In Ballou v. Sigma Nu Gen.’l. Fraternity, 352 S.E.2d 488, 496 (S.C. Ct App.
1986), the court recognized the fraternity’s implied consent to the agency relationship
with its local chapter after a pledge died of alcohol intoxication during a mandatory
initiation party (hell night). Looking at the scope of the agency, the court focused on the
following:
Although Sigma Nu by-laws prescribe a formal, quasi-religious initiation
ceremony, they do not prohibit an active collegiate chapter from
supplementing the initiation process by requiring candidates for
membership to participate in an additional initiation activity. In this case,
the active collegiate chapter required candidates for membership to
participate in hell night as part of the process of initiation into Sigma Nu.
In initiating new members, the local chapter was accomplishing the purpose
of Sigma Nu and was “about the business” of Sigma Nu. Indeed, as Justice
Cothran observed in his concurring opinion in Derrick v. Sovereign Camp,
W.O.W., 115 S.C. at 443, 106 S.E. at 224, the introduction of new members
“is the life blood of all such organizations.” Because it was within Sigma
Nu’s interest that new members be received, we are satisfied that the local
chapter in conducting hell night and in requiring the pledges to participate
in hell night was a condition of membership in Sigma Nu acted within the
scope of the apparent authority conferred on it by Sigma Nu.
Id.
Delta Tau Delta’s constitution, bylaws, and member responsibility guidelines
establish that the national fraternity prescribed rules and requirements for recruiting and
initiating new members, and for approved conduct in daily activities. It explicitly
prohibited the local chapter to engage in hazing, pledge family activities, and to provide
alcohol to pledges. Deviation from these rules and guidelines is penalized by sanctions
and suspensions. The national fraternity further controlled the activities of its local
chapter with respect to hazing and alcohol consumption through its enforcement
24
procedures, implemented by the chapter consultants and advisors. There is designated
evidence that the local chapter appeared to submit to and comply with the national
fraternity constitution, bylaws, guidelines, and administered sanctions. As with the
assumption of duty, we likewise conclude that there is a genuine issue of material fact
whether an agency relationship existed between Delta Tau Delta and its local chapter.
D. Comparative Fault
As an alternative argument, Delta Tau Delta contends that because the “undisputed
evidence establishes that Johnny [was] more than 50% at fault for his own damages,” the
trial properly granted summary judgment pursuant to the Indiana Comparative Fault Act.
(Appellee’s Br. p. 24).
Under the Comparative Fault Act, liability is to be apportioned among persons
whose fault caused or contributed to causing the loss in proportion to their percentages of
fault as found by the jury. See I.C. § 34-51-2-8. Fault apportionment is uniquely a
question of fact to be decided by the jury. McKinney v. Pub. Serv. Co. of Ind., Inc., 597
N.E.2d 1001, 1008 (Ind. Ct. App. 1992), trans. denied. At some point, the apportionment
of fault may become a question of law for the court. But that point is reached only when
there is no dispute in the evidence and the factfinder is able to come to only one logical
conclusion. City of Crawfordsville v. Price, 778 N.E.2d 459, 463 (Ind. Ct. App. 2002).
We have not reached that point yet. Although the undisputed designated evidence
establishes that Johnny was required to attend the Homecoming party and pledge family
drink night, there is no evidence before us that Johnny either voluntarily or was forced to
25
consume the amount of alcohol he did.4 Moreover, even if the evidence reflected that
Johnny was not mandated to consume alcohol, there is no evidence establishing that
Johnny was made aware of that fact. Based on the designated evidence, we cannot say
that a factfinder could come to only one logical conclusion.
CONCLUSION
Based on the foregoing, we hold that the trial court abused its discretion by admitting
certain paragraphs of Russell’s affidavit and by admitting two unsworn, unverified, and
uncertified statements. Additionally, we find that the trial court erred in granting Delta
Tau Delta’s motion for summary judgment as there is a genuine issue of material fact that
(1) an agency relationship existed between the national fraternity and its local chapter and
(2) the national fraternity assumed a duty to protect its freshmen pledges.
Affirmed in part, reversed in part, and remanded for further proceedings in
accordance with this opinion.
BARNES, J. concurs
BAKER, J. concurs in part and in result with separate opinion
4
Even though Delta Tau Delta points to evidence indicated that drinking was not a requirement for
membership, we deemed this evidence to be inadmissible.
26
IN THE
COURT OF APPEALS OF INDIANA
STACY SMITH and ROBERT SMITH, )
Individually and as Co-Personal )
Representatives of the ESTATE OF )
JOHNNY DUPREE SMITH, deceased, )
)
Appellants-Plaintiffs, )
)
vs. ) No. 54A01-1204-CT-169
)
DELTA TAU DELTA, )
)
Appellee-Defendant, )
)
BETA PSI CHAPTER OF DELTA TAU )
DELTA, WABASH COLLEGE and )
MARCUS MANGES, )
)
Defendants. )
BAKER, Judge, concurring in part and in result,
While I concur in the result reached by the majority and in most of its analysis, I
write separately to detach myself from a conclusion reached by the majority pertaining to
the motion to strike. More particularly, regarding Paragraph 6 of Russell’s affidavit
stating that “[t]he International Organization does not handle the affairs of local
27
chapters,” appellant’s app. p. 302, I cannot agree that this is an “outright denial of any
interference in the affairs of the local chapter,” that Russell contradicted in his subsequent
deposition testimony. Slip op. at 12 (emphasis added).
To be sure, Russell’s deposition testimony is consistent with the statement in his
affidavit that Delta Tau Delta does not handle the affairs of the local chapter. For
instance, Russell testified that Delta Tau Delta did not tell the local chapters “who they
can pledge . . . what people they elect . . . we do not control their funds . . . we do not get
involved in housing arrangements . . . .” Appellant’s App. p. 242. Moreover, I cannot
agree that Russell’s testimony regarding Delta Tau Delta’s constitution, bylaws, and
guidelines, coupled with the presence of enforcement mechanisms, directly contradicts
his affidavit such that the trial court abused its discretion when it denied the Smiths’
request to strike Paragraph 6.
28