# Perry v. Dean

> Superior Court of Maine · June 5, 2017

URL: https://www.frixlaw.com/law-library/cases/10811348

## Case

- **Court:** Superior Court of Maine
- **Decided:** June 5, 2017
- **Precedential status:** Unpublished
- **Opinion:** Opinion
- **Judges:** Andrew M. Horton
- **Cited by:** 0 later opinions in the Frix Law Library

## Citator (automated)

- No negative treatment found by the automated citator. That is not the same as a confirmation that the case is good law; read the citing cases.
- Full citator and citing cases: https://www.frixlaw.com/law-library/cases/10811348

## How later opinions describe it (automated extraction)

- finding that the city was immune from liability for flooding because "the most reasonable construction" of the analogous New Mexico Tort Claims Act provision is that "liquids is modified by the word toxic"
- finding that language in a municipal transit district's charter permitting it to "sue or be sued" was not an explicit waiver of governmental immunity divesting the district of the protections of the Maine Tort Claims Act
- noting that a decedent's estate "stands in the shoes of the decedent"

## Opinion text

.,

STATE OF MAINE BUSINESS AND CONSUMER COURT

Cumberland, ss.

CLAIRE DEAN PERRY,

Plaintiff,

V. Docket No. BCD-CV-lS-48

WILLIAM T. DEAN, JR., et al.,,

Defendants

PAMELA W. VOSE, Personal Representative
of the Estate of William T. Dean, Jr.,

Plaintiff,

v. Docket No. BCD-CV-14-14

JAMES P. TAYLOR, et al.,

Defendants

ORDER ON PLAINTIFF VOSE'S MOTION FOR RECONSIDERATION
AND MOTION TO ALTER OR AMEND

Plaintiff Pamela W. Vose has filed a Motion for Reconsideration of certain issues

addressed in the court's orders on the summary judgment motions filed by Plaintiff Vose, the

State Defendants and Defendant James Taylor. See Perry v. Dean, Order on State Defendants'

Motion for Summary Judgment (Dec. S, 2015); Vose v. Taylor, Order on Cross-Motions for

Summary Judgment of Plaintiff and Defendant (Dec. S, 2015).

Also still pending is Plaintiff Vose's Motion to Alter or Amend Order of Summary

Judgment in Perry v. Dean, which is dated December 17, 2014, and which was not fully briefed

due to the filing of the State's appeal from that summary judgment order. The Motion to Alter
or Amend Order of Summary Judgment raises the same issue regarding Plaintiffs claim against

attorney Barbara Cardone that is now raised in Plaintiff Vose' s Motion for Reconsideration.

Oral argument on the Motion for Reconsideration was held June 1, 2017.

Plaintiff Vose's Motion for Reconsideration and previously filed Motion to Alter or

Amend ask the court to reinstate Counts IX and X of Plaintiff Vose's cross-claim, which allege

that attorney Cardone is liable for violating 42 U.S.C. § 1983 and for breach of fiduciary duty to

Mr. Dean. Attorney Cardone represented the Maine Department of Health and Human

Services (DHHS) in its capacity of temporary conservator for William Dean at the time DHHS

arranged for the sale of Mr. Dean's Owls Head property to Defendant Taylor.

The Motion for Reconsideration also asks the court to reconsider its denial of summary

judgment to Plaintiff Vose on her claim for a declaratory judgment that the deed to Mr. Taylor

for the Owls Head property was void ab initio.

Claims Against Attorney Cardone

The Court's Order on State Defendants' Motion for Summary Judgment in Perry v.

Dean addressed Mr. Dean's claims against attorney Cardone at pages 52-63 (Count X) and 65­

66 (Count IX), and the court sees no reason to revisit its analysis and conclusions set forth

therein.

Further discussion of one issue not reached by the court in that Order merits further

discussion because it was a primary focus of the oral argument. The breach of fiduciary duty

claim in Cross-Claim Count X is premised on the view that attorney Cardone owed a fiduciary

duty to Mr. Dean, the ward, as well as a duty to her client, DHHS. Plaintiff Vose points out

that Maine recognizes that an attorney may owe a duty to a non-client "when an attorney's

actions are intended to benefit a third party and where policy considerations support it ..."

Estate efCabatit v. Canders, 2014 ME 133, ~21, 105 A.3d 439, 446. An example of such a

2
situation is when an attorney is negligent in preparing an estate plan and the court allows the

client's estate to bring a malpractice action against the attorney. In fact, the Cabatit opinion

cites to a New York case involving such circumstances. Id., citing Schneider v. Finmann, 15

N.Y.3d 306, 933 N.E.2d 718 (2010). In such a situation, the attorney's duty extends to the

non-client estate because the estate is the foreseeable beneficiary of the attorney's services and

because there is no potential conflict between the attorney's duty of reasonable care to the

estate planning client and the duty of care with respect to the estate. See id., 933 N.E.2d at

720-21 (noting that a decedent's estate "stands in the shoes of the decedent").

However, the court in Cabatit noted that "[a]n attorney will never owe a duty of care to

a nonclient, however, if that duty would conflict with the attorney's obligations to his or her

clients." 2014 ME 133 at ~21, 105 A.3d at 446, citing Ramsey v. Baxter Title Co., 2012 ME 113,

~ 11, 54 A.3d 710. Here, attorney Cardone's client wanted to sell the Owls Head property to

Mr. Taylor, and was willing to thwart the efforts of Mr. Dean's family members to stop it.

Plaintiff Vose says that attorney Cardone had a fiduciary duty to Mr. Dean and should not have

assisted her client in selling the property to Mr. Taylor. Plainly, attorney Cardone could not

have fulfilled her duty to her client and also fulfilled the duty to Mr. Dean that the Motion for

Reconsideration asks the court to impose as a matter oflaw.

Whether the attorney for a conservator can ever owe a fiduciary duty to a protected

person need not be decided here. At least under the circumstances of this case, to impose upon

the attorney for a conservator a separate fiduciary duty toward the protected person would

subject the attorney to conflicting obligations. The third-party beneficiary theory does not

apply in this instance because to apply it would create a conflict between attorney Cardone's

duty to her client and any separate duty to Mr. Dean, the protected person.

3
Accordingly, because both the Motion for Reconsideration and the Motion to Alter or

Amend Order of Summary Judgment focus on the same issue, they will be denied regarding

that issue.

Claim Regarding Taylor Deed Being Void Ab Initio

The gist of Plaintiff Vase's summary judgment motion and now her motion for

reconsideration on the issue of the validity of the deed from DHHS as temporary conservator to

James Taylor is that the deed is void because, under the Maine Probate Code, DHHS was

required to obtain authorization from the Probate Court to convey Mr. Dean's Owls Head real

estate to Mr. Taylor for less than fair market value. See 18-A M.R.S. § 5-408(6). The court

denied Plaintiff Vose's summary judgment motion, and now denies her motion for

reconsideration on this issue, because whether the DHHS conveyance to Mr. Taylor required

prior Probate Court authorization raises disputed material issues of fact and law. The primary

issue of fact is whether the sale to Mr. Taylor was indeed for less than fair market value. The

primary issue oflaw is whether, assuming prior Probate Court authorization was required, an

issue that the court has not had to address 1, whether the absence of prior authorization for the

sale invalidates the deed.

IT IS ORDERED AS FOLLOWS: Plaintiff Pamela W. Vase's Motion for

Reconsideration is denied. Plaintiff Pamela W. Vase's Motion to Alter Or Amend Order of

Summary Judgment also is denied.

Pursuant to M.R. Civ. P. 79(a), the Clerk is hereby directed to incorporate this Order by

reference in the docket.

Dated June 5, 2017
A. M. Horton, Justice

1 As discussed at oral argument, the court views the effect of section 5-408 of the Maine Probate Code
upon the transaction to involve issues of law that the court has not been called on to address because of
the material factual dispute regarding the fair market value of the property at the time of the sale.

4
Claire Dean Perry v. Will,am T. Dean, Jr., et al.
BCD-CV-13-48

Pamela W. Vose v. James Taylor, et al.
CV-14-14

Claire Dean Perry Cynthia Dill,
Plaintiff 511 Congress St
PO Box 9711
Portland, ME 04104-5011

William T. Dean, Jr. David Jenny, Esq.
Defendant 11 Shell St
PO Box 252
Owls Head, ME 04854

James P. Taylor Zachary Greenfield, Esq.
Defendant 361 US Route 1.
Falmouth, ME 04

State of Maine, DHHS Christopher Taub, AAG
Janice Archer 111 Sewall Street
David Vaughn 6 State House Station
Barbara Cardone, Esq. Augusta, ME 04333-0006
Defendants

David Thistle Thomas Bell, Esq.
Defendant 2 Main St
Topsham, ME 04086
STATE OF MAINE BUSINESS AND CONSUMER COURT
CUMBERLAND, ss Location: Portland

)
CLAIRE DEAN PERRY, )
)
Plaintiff, )
)
v. ) Docket No. BCD-CV-13-48 /
)
WILLIAM T. DEAN, JR., et al., )
)
Defendants )
)
PAMELA W. VOSE, Conservator for )
WILLIAM T. DEAN, JR., )
)
Plaintiff, )
)
V. ) Docket No. BCD-CV-14-14 v'
)
JAMES P. TAYLOR, et al., )
)
Defendants )

ORDER ON STATE DEFENDANTS' MOTION FOR SUMMARY JUDGMENT

Defendants Maine Department of Health and Human Services ("DHHS"), David

Vaughan, Janice Archer, and Barbara Cardone (collectively, the "State Defendants") have filed a

Motion for Summary Judgment against all claims brought against them by William T. Dean.

Jr., as cross-claims in Perry v. Dean and as claims in Vose v. Taylor, through his conservator

Pamela W. Vose. The State's Motion also seeks summary judgment on all claims asserted in

Perry v. Dean by Plaintiff Claire Dean Perry. Although Mr. Dean is a nominal defendant in

Perry v. Dean, because his and Ms. Perry's claims in both cases are the subject of the State
.•

Defendants' Motion, this Order refers to him and Ms. Perry as the "Plaintiffs."
The State Defendants argue that summary judgment is warranted based on various

immunities possessed by the State Defendants and on the merits of Plaintiffs' claims. Together,

the Plaintiffs assert the following claims against the State Defendants:

1) Abuse of process against Ms. Archer, Mr. Vaughan, and Attorney Cardone;
2) Intentional misrepresentation against Ms . Archer and Attorney Cardone;
3) Interference with a contract or expectancy against DHHS;
4) Negligent Discharge against DHHS;
5) Conversion against Mr. Vaughan;
6) 42 U.S.C. § 1983_claims for due process violations against Ms. Archer, Mr. Vaughan,
and Attorney Cardone;
7) Breach of fiduciary duty against DHHS and Attorney Cardone;
8) Violation of the Maine Civil Rights Act against DHHS; and
9) Declaratory judgment that DHHS is not entitled to estate management fees from
Mr. Dean's estate. 1

Oral argument on the State Defendants' Motion was held October 5, 2015, together with

argument on pending motions in Vose v. Taylor. In that case, Mr. Dean, through Ms. Vose, has moved

for summary judgment declaring the public conservator's deed to 9 Castlewood Lane, Owls Head,

1 Specifically, Ms. Perry in her First Amended Complaint asserts the following counts against the State

Defendants:
IV) Interference with a contract or expectancy against DHHS;
V) Breach of fiduciary duty against DHHS;
VI) Deprivation of Property without Due Process pursuant to the Maine Civil Rights
Act against DHHS;
VIII) Abuse of process against Ms. Archer;
IX) Violation of 42 U.S.C. § 198.'3 deprivation of due process against Ms. Archer;
X) Abuse of process against Mr. Vaughan;
XI) Violation of 42 U.S.C. § 198.'3 deprivation of due process against Mr. Vaughan; and
XIV) Violation of 42 U.S.C. § 198.'l deprivation of due process against Attorney Cardone.
Mr. Dean in his Second Amended Complaint in Vose v. Taylor asserts a claim against DHHS for
abuse of authority granted by the Probate Court's temporary conservators hip order, which appears to be
a claim for breach of fiduciary duty. In addition, Mr. Dean's cross-claim, as a defendant in Perry v. Dean,,
asserts the following counts against the State co-Defendants:
III) Negligent discharge of pollutants against DHHS;
IV) Breach of fiduciary duty against DHHS;
V) Violation of the Maine Civil Rights Act against DHHS;
VI) Declaratory judgment that DHHS is not entitled to estate management fees;
VII) Intentional misrepresentation against Attorney Cardone;
VIII) Abuse of process against Attorney Cardone;
IX) Violation of 42 U.S.C. § 198.'3 deprivation of due process against Attorney Cardone;
X) Breach of fiduciary duty against Attorney Cardone;
XI) Intentional misrepresentation against Ms. Archer;
XII) Violation of 42 U.S.C. § 1983 deprivation of due process against Ms. Archer;
XIII) Conversion against Mr. Vaughan; and
XIV) Violation of 42 U.S.C. § 1983 deprivation of due process against Mr. Vaughan.

2
Maine, null and void ab initio. That motion, and the summary judgment motion filed by Defendant

James P. Taylor against Ms. Vose, are addressed in a separate order of this date. 2

Based on the entire record, and for the reasons discussed below, the court: 1) grants the

State Defendants' motion for summary judgment against all of Ms. Perry's claims; 2) grants the

State Defendants' motion for summary judgment against all of Mr. Dean's claims except for

Count IV of his cross-claim for breach of fiduciary duty against DHHS in Perry v. Dean and Mr.

Dean's claim in Vose v. Taylor against DHHS for abuse of authority granted by the Probate

Court's temporary conservatorship order-to the extent that claim alleges a breach of fiduciary

duty by DHHS.

I. Background3

Consistent with the summary judgment standard, the following recitation of the

underlying facts is presented in a light favorable to the non-moving parties.

A. Appointment of DHHS as Temporary Conservator

William T. Dean, Jr. is the older brother of Plaintiff Claire Perry. The two have no

other siblings. Mr. Dean has been diagnosed with a form of Asperger's Syndrome and with a

mental illness, both of which are treatable. (Pl.s' A.S.M.F. -;f 1.) Prior to 2012, Mr. Dean

withdrew from a bank trust account funds that were to be used for his and Plaintiff Perry's

benefit. When she confronted him, he agreed to reimburse her, and also agreed that, until he

reimbursed her in full, she could have exclusive occupancy of the cottage in Owls Head owned

by him. (See id.~~ 17-23; 7/27/15 Perry Aff. ~~ 12-17.)

2
In Vose v. Taylor, Mr. Dean, through Ms. Vose, has moved for summary judgment declaring the
public conservator's deed to 9 Castlewood Lane, Owls Head, Maine, null and void ab initio. That
motion, and the summary judgment motion filed by Defendant James P. Taylor against Ms. Vose, are
addressed in a separate order.
~ For the sake of clarity, the court will use the following abbreviations when citing to statements of
material fact from the State Defendants' motibn for summary judgment: Def.s' Supp. S.M.F.; Pl.s' Opp.
S.M .F .; and Pl.'s A.S.M.F. It will use the following abbreviations when citing to statements of material
fact from Mr. Dean's motion for summary judgment: Dean's Supp. S.M.F.; DHHS's Opp. S.M.F.; and
DHHS's A.S.M.F.

3
In May 2012, William T. Dean Jr. was admitted to PenBay Medical Center's emergency

room. On May 17, 2012, a court ordered that Mr. Dean be hospitalized involuntarily for a

period not to exceed 60 days. (Ex . A. to Burk Aff) On May 25, 2012, Mr. Dean was

transferred to Dorothea Dix Psychiatric Center ("DDPC"). (Defs' Supp. S.M.F. ~ 3.) Mr.

Dean remained a patient at DDPC until June 7, 2013 . (See Burk Aff ~ 4.) Before Mr. Dean

became a patient at DDPC, he attempted to sell a cottage he owned in the Town of Owls Head

because he was having financial difficulties. (DHHS's A.S.M .F . ~ 48.)

While at DDPC, one of Mr. Dean's treating physicians, Dr. Judy Burk, learned that Mr.

Dean owned two houses, and that he owed back taxes on both properties. (Burk Aff. ~ 5.) Dr.

· Burk determined that Mr. Dean lacked the capacity to manage his financial affairs and, because

of various issues, had concerns about a family member serving as his conservator. (Id. ~ ~ 6­

11.) On June 27, 2012, Dr. Burk opined that Mr. Dean would benefit from appointment of a

conservator. (Defs' Supp. S.M.F. ~ 7.) On July 3, 2012, Dr. Michelle Gardner provided a

_ second opinion concurring that Mr. Dean would benefit from a conservator. (Id. ~ 8; Pl.s' Opp.

S.M.F. ~ 8.)

By letter dated August 1, 2012, Leigh Wiley, a DDPC social worker, advised Mr. Dean

that Drs. Burk and Gardner were recommending DDPC initiate protection proceedings. (Ex.

D to Burk Aff.) The letter explained that the aforementioned doctors thought Mr. Dean

"would benefit from a non-family member serving as conservator, or at least a family study to

understand who in the family is best equipped to assist you in managing your complex

finances." (Id.) The letter continued, however, to explain that because "we are concerned about

your safety and well being" and because protective proceedings are "very time consuming," the

hospital did not want to unnecessarily delay the process and would proceed "within three days

ofreceipt of this letter" unless Mr. Dean's treating physicians were contacted. (Id.)

4
This letter was delivered to Mr. Dean and mailed to Ms. Perry, his younger sister and

only sibling. (Defs' Supp. S.M.F. tJ 10; Pl.s' A.S.M.F. ~ 9.) Ms. Perry asserts that she

contacted Ms. Wiley by telephone on August 8, 2012, the same day she received the letter, and

was informed that a family study would be done before any petition was filed in court.

(7/27/15 Perry Aff. tJtJ 8-10). Ms. Wiley, however, asserts that no one contacted her or-to

the best of her knowledge-anyone else at DDPC to request a review of the findings. (Wiley

Aff. ~ 7.)

On August 9, 2012, Ms. Wiley wrote a letter to Martha Perkins, casework supervisor at

the Office of Elderly Services with DHHS, referring Mr. Dean for a public conservators hip.

(Ex. B to Wiley Aff) The letter included a personal data form, which noted in pertinent part,

that Pamela Vose, Mr. Dean's cousin, has agreed to become Mr. Dean's conservator, but might

not be able to be an advocate for him due to pressure from Ms. Perry and other family

members. (Id.) That letter was not sent to Mr. Dean or Ms. Perry. (Pl.s' A.S.M.F. ~ 16.)

Mr. Dean's case was referred to a DHHS caseworker, Janice Archer, on August 14,

2012. (Defs' Supp. S.M.F. ~ 16.) Ms. Archer, a licensed social worker, met with Mr. Dean on

August 29 and called the Owls Head town office to inquire into the taxes Mr. Dean owed that

same day. (Id. at tJtJ 17-18.) Ms. Archer asserts that she was informed Mr. Dean owed real

estate taxes on his cottage in Owls Head for 2011 and 2012, and that his 2013 taxes were due.

(Archer Aff. tJ 4.) She claims that she was told the Town would foreclose on Mr. Dean's

cottage if his 2011 taxes were not paid by February 11, 201.3. 4 (Id.) Ms. Archer's notes from

that day provide:

If [Mr. Dean] pays the 2011 taxes it will buy him another year to sell or get
caught up on taxes to avoid the foreclosure. As of todays date the amount for
2011 is $5559 . The foreclosure date is set for February 11, 201.3. 1f he looses

"' The parties agree that the correct date for the tax lien foreclosure on the Owls Head cottage was
February 12, 201.'l, not February 11, 2013. (Dean's Supp. S.M.F. ~ 6.)

5
the property in foreclosure he looses all value in the home no matter if the town
sells it for more then the amount of tax due. The town will foreclose even if the
property is up for sale. The only thing that will stop foreclosure is payment of
the taxes.

(Ex. 6 to Pl.s' Opp. S.M.F.) [sic]

On August 22, 2012, Ms. Perry orally advised Mr. Dean's treatment team and several

DHHS employees of her agreement with Mr. Dean, including the fact that the agreement

permitted her to occupy the Owls Head cottage until he had reimbursed her. (See Pl.'s A.S.M.F.

~ 17; 7/27 /15 Perry Aff ~ 12.)

On August 31, 2012, Ms. Archer called the Rockland office and was informed that Mr.

Dean owed real estate taxes on his house in Rockland for 2011 and 2012, and would soon owe

taxes for 2013. (Ex. 7 to Pl.s' Opp. S.M.F.) She was informed that the 2011 taxes totaled

$2,266.66, were accruing interest everyday, and must be paid by March 13, 2013 to avoid

foreclosure. (Id.)

Also on August 31, Ms. Vose left a voice message with Mr. Dean's social worker at

DDPC, Ms. Sands, stating that she was ready to file a petition to be Mr. Dean's

conservator/guardian. (Pl.s' A.S.M.F. ~ 27.) Earlier in the summer, Ms. Vose had

communicated with Ms. Sands about her willingness to serve as Mr. Dean's conservator, but

had advised Ms. Sands that her husband's heart attack and subsequent by-pass surgery had

temporarily occupied all of her time. (Id.~~ 28-29.) Ms . Vose did not receive a return phone

call about her willingness to serve as conservator until after DHHS was appointed temporary

conservator. (Pl.s' A.S.M.F. ~ 30.) Ms. Sands left a voice message stating that Ms. Vose's

services were not needed because DHHS was appointed temporary conservator. (Id. ~ 31.)

Ms. Archer asserts that she met with Mr. Dean on September 4, 2012 and informed him

that she would be filing a petition to have DHHS appointed as public guardian and conservator.

6
(Archer Aff ~ 8.) She claims that Mr. Dean did not raise any opposition to the plan. (Id. ~ 9.)

Mr. Dean asserts that he has no recollection of the meeting. (Dean Aff ~ 2.)

On September 5, 2012, Ms. Archer filed a petition for DHHS to be appointed as Mr.

Dean's guardian and conservator with the Penobscot County Probate Court. (Def s' Supp.

S.M.F. ~ 24.) In the Petition, Ms. Archer asserted that Mr. Dean has not paid property taxes

on the Owls Head cottage-with a tax assessed value of $476,840-or the Rock.land house-­

with a tax assessed value of $177,200-since 2010 and that both properties were in imminent

risk of foreclosure. (Ex. B to Archer Aff. at 3; Dean's Supp. S.M.F . ~ S.) The Petition further

stated that if assistance were not provided to Mr. Dean, he would lose his two properties in

early 2013, including any equity in them. (Ex. B to Archer Aff at s).

Ms. Archer also filed a guardianship/conservators hip plan in which she stated that if

DHHS were appointed as conservator, Mr. Dean's property "in Owls Head will be sold and the

. proceeds used to pay back taxes on both the Owls Head and Rockland properties." (Def s' Supp.

S.M.F. ~ 26.) The plan further states that DHHS "will secure the property in Rockland and

assess if it is in [Mr. Dean's] best interest to keep the property and maintain it[,] or sell the

property and use the proceeds for Mr. Dean's care." (Ex. C. to Archer Aff)

In an affidavit accompanying the Petition, Ms. Archer stated that DHHS "would

arrange for the property at Owls Head to be sold at a fair market price as soon as possible."

(Defs' Supp. S.M.F. ~ 28.) The only alleged "emergency" identified in the petition was the risk

oflosing one or both of Mr. Dean's properties to tax foreclosure. (Pl.s' A.S.M.F. ~ 70.) Ms.

Archer affirmed that she provided notice of the Petition to Mr. Dean and Ms. Perry. (Ex. D to

Archer Aff at 2.) Ms. Perry and Mr. Dean, however, deny receiving that notice. (See Dean Aff

~ 3; 7/27/15 Archer Aff ~~ 27-29.)

7
On September 6, 2012, the Probate Court held a hearing on the Petition. (Archer Aff. ~

14.) As of that date, Mr. Dean held title to both the Rockland house and Owls Head cottage.

(Pl.s' A.S.M.F. ~ 67.) Although he owed back property taxes on the properties, neither was

encumbered by a mortgage. (Id. ~ 68.)

Following the hearing, the Probate Court appointed DHHS as Mr. Dean's temporary

conservator for a period not to exceed 6 months. (Ex. F to Archer Aff.) The Order found that

Ms. Archer complied with the notice requirements and also stated that DHHS has the

following limited powers and duties necessary to address the emergency necessitating the

conservatorship: "To collect, hold, retain, maintain and transfer the assets of Mr. Dean ... To

receive additions to [Mr. Dean's] estate ... [and][t]o pay Mr. Dean's ordinary and necessary

bills associated with his[] care and maintenance or with his[] assets." (Id.) The Order also

states:

If it comes to the Court's attention, through the report of the visitor or guardian ad
litem or otherwise, that the allegedly protected person wishes to contest any aspect of
the temporary conservators hip or seek a limitation ofthe temporary conservator's
powers, or that the issue exists with respect to whether the temporary conservatorship
is in the allegedly protected person's best interests, the Cow-t shall hold an expedited
hearing within 4•0 days of the entry of the ex pa.rte order.

(Id.) Ms. Perry learned that DHHS was appointed as temporary conservator when she called

DDPC on the morning of September 6, 2012. (Pl.s' A.S.M.F. 11 54.)

Also on that date, a Justification for Disposition of Asset form was submitted to the

DHHS Asset Disposition Committee requesting authorization to sell the Owls Head cottage

"as soon as possible" because Mr. Dean would lose the property if back taxes were not paid by

the February 2013 deadline. (Dean's Supp. S.M.F. ~ 10.) On that form, Ms. Archer wrote that

"[i]n reference to the need for this request to be accompanied by a current budget; the client

has no income and no pending expected source of income." (Td. ~ 13.)

8
DHHS's concern that Mr. Dean could lose the Owls Head property in February 2013

was justified. In January 2013, the Town sent Mr. Dean a "Notice oflmpending Automatic

Foreclosure," which explained that on February 12, 2013, the tax lien mortgage on the Owls

Head cottage would be foreclosed and Mr. Dean's right to recover his property by paying

taxes, interest and costs would expire. (Ex. A to Archer Aff.) The Notice explained, "IF THE

TAX LIEN FORECLOSES, THE MUNICIPALITY WILL OWN YOUR PROPERTY," but

also stated that "if you cannot pay the property taxes you owe, please contact [Harriet

Ferguson, Town Treasurer] to discuss this notice." (Id.) By the time Mr. Dean was sent the

January 2013 notice, however, DHHS had already sold the property to James Taylor.

Whether DHHS could have addressed Mr. Dean's situation w.i thout selling the Owls

Head property is a central contested point. The Town of Owls Head had in place certain

policies and procedures to abate foreclosures due to overdue taxes. (Ex. 8 to Pl.s' Opp. S.M.F.,

Article 12.) The policy provided:

Poverty Property Tax Abatements ... The Town of Owls Head desires an _alternative to
forcing the sale ofproperty in order to collect taxes from those otherwise unable to pay.

The Selectmen of Owls Head hereby outline the conditions upon which poverty
abatements wilJ be granted... Persons desiring an abatement must complete an
Application for a Poverty Abatement of Property Taxes and must complete a General
Assistance application form. Applicants which are requesting abatements for previous
tax years must demonstrate no ability to contribute to the public charge, both currently
and during the tax year or years for which the abatement is requested ....

(Ex. 8 to Pl.s' Opp. S.M.F., Article 12.) Mr. Dean's ability to meet these requirements, had an

abatement application been filed, is uncertain: prior to being committed to DPPC, he had

withdrawn approximately $244,000 from a trust fund established by his mother, but could not

account for what he did with the money. (DHHS's A.S.M.F. t;! 60; see Perry Dep. 79: 11-86:20.)

In any event, DHHS did not explore the abatement avenue on his behalf.

9
On September 11, 2012, Ms. Archer requested authority from her supervisor to obtain

legal assistance from Attorney Cardone because "there are questions about proper notification

and there is now a family member interested in serving as guardian/conservator. This is a

very contentious family matter involving money and property. It may get very complicated."

(Id. ~ 92.) On September 28, 2012, Ms. Archer's supervisor emailed Assistant Attorney

General Kathryn Greason to confirm that Attorney Cardone's representation had been

authorized and that her assistance with the disposition of Mr. Dean's car would be required.

(Id. ~ 96.)

On or about October 19, 2012, attorney Anita Volpe entered an appearance in the

Probate Court for Ms. Perry and filed an objection to DHHS's Petition. (Ex.s I & J to Archer

Aff) Attorney Volpe's objection requested the Probate Court to continue DHHS's temporary

conservatorship "until such time as the Court may hear and rule upon a family member's

competing Joint Petition[.]" (Ex. J. to Archer Aff, at 2.)

On November I, 2012, DHHS amended its petition with the Probate Court to also seek

appointment as Mr. Dean's temporary guardian due to deterioration in his mental health.

(Dean's Supp. S.M.F. 1f 20.) DHHS was appointed as Mr. Dean's temporary guardian the

following day. (Id. ~ 22.)

On December 21, 2012, Claire Perry and Pamela Vose filed a joint petition for Ms.

Vose to be appointed as Mr. Dean's guardian and conservator. (Def.s' Supp. S.M.F. i1 46.)

Neither at that time nor at any time prior to March 1, 201.'3, however, did Ms. Perry or Ms.

Vose request to have DHHS's temporary conservatorship terminated. (Id. ~ 49.)

On June 19, 201.'3, after its temporary conservatorship expired, DHHS moved to dismiss

its petition to be appointed Mr. Dean's guardian and conservator and took no position as to any

other pending petitions for guardianship or conservatorship. (Id. ~ 50.) On August I, 2013,

10
the Probate Court appointed Ms. Vose as Mr. Dean's conservator and dismissed DHHS's

petition. (Id. ~ 52.) Mr. Dean remained incapacitated and in need of a conservator until at

least August 1, 2013. (Pl.s' A.S.M.F. ~ 220.)

B. Sale of the Owls Head Cottage

On September 19, 2012, DHHS, through David Vaughan, an estate management

specialist with DHHS, retained an appraiser, Sarah Robertson, to appraise the Owl's Head

cottage. (Defs' Supp. S.M.F. ~ 55.) In a report dated October 12, 2012, she opined that the

property's value was $340,000. (Id.) The report further stated that "[c]urrently, sales appear

to be steady in the subject markets, ~ith similar type properties having an exposure time of 3-6

months." (Dean's Supp. S.M.F. ~ 16.) The report also provided: "Locations of septic unknown.

According to [Ms. Perry] the subject has a cesspool which is still functioning. There is no

well located on the subject property ..." (Id. ~ 17.) Subsequently, DHHS hired realtor

Kathryn Baxter to market the p1·operty. (Defs' Supp. S.M.F. ~ 57.)

On October 12, Attorney Volpe sent an email to Mr. Vaughan stating that she was

hopeful members of Mr. Dean's family would be able to put together sufficient resources to pay

the real estate taxes due on the Owls Head cottage. (Ex. 29 to Pl.s' Opp. S.M.F.) Attorney -

Volpe also asked Mr. Vaughan his thoughts about getting the taxes paid and then listing the

property in the spring. (Id.) Mr. Vaughan responded that "[t]here is a need to proceed with

the sale, since besides the overdue taxes on both properties there is no income for meeting day­

to-day needs." (Id.)

Ms. Baxter asserts that she listed the Owls Head cottage for sale on November 7, 2012

for $340,000, although a listing service indicates it was not listed until November 9, 2012.

(Baxter Dep. 36:2-7; Ex. 11 to Pl.s' Opp. S.M.F.) On November 12, 2012, Ms. Perry sent an

email acknowledging that the cottage had been listed. (Def.s' Supp. S.M.F. ~ 59.) The

11
following day, Ms. Baxter sent an email to DHHS opining that the condition of the cottage and

the tax lien will make the property a hard sell and that the price should be lowered ifthere are

no showings within the next 10 days. (Ex. 12 to Pl.s' Opp. S.M.F.)

Between November 7 and November 21, there were no inquiries about the property and

there were no showings. (Defs' Supp. S.M.F. ~ 61.) On November 21, Ms. Baxter-at the

direction of Mr. Vaughan-reduced the asking price to $299,900. 5 (Baxter Dep. S6:15-2S; Ex.

IS to Pl.s' Opp. S.M.F.) On December 6, 2012, Mr. Vaughan filed an "Inventory" of Mr. Dean's

estate with the Probate Court, which reported the fair market value of the Owls Head cottage

as $340,000. (Dean's Supp. S.M.F. ~ 26.)

Ms. Baxter testified that she received an offer for $150,000 on November 25, 2012.

(Baxter Dep. 12:21-23.) Two days later, Ms. Baxter countered with $289,000, but the potential

buyer did not express further interest in the property. (Defs' Supp. S.M.F. ~ 64.) On

December 7, James Taylor offered $150,000. (Id.~ 65.) Ms. Baxter countered with $289,000,

and Mr. Taylor responded with an offer for $180,000 on December 10. (Id.~ 66.) On

December 11, 2012, Ms. Baxter forwarded her correspondence with Mr. Taylor's broker to Mr.

Vaughan. (Dean's Supp. S.M.F. ~ 29.) Mr. Vaughan, in turn, shared the email with Ms.

Archer. (Id. ~ so.) Forty-three minutes after the email was sent, Ms. Archer replied "[s]ell

the thing for whatever we can get and put us all out of our misery! I can hear the foreclosure

clock ticking .... " (Id. ~ s 1.)

On December 11, 2012, Ms. Baxter emailed Mr. Vaughan stating that now that she had

received two offers below $200,000, she wanted to talk with Ms. Robertson about the factors

underlying her appraisal, but Ms. Robertson would not talk to her without Mr. Vaughan's

5There are competing facts indicating that the price was lowered to $299,900 instead of $299,000. For
purposes of the present motions, the $900 discrepancy is irrelevant.

12
authorization. 6 (Id.~ 67.) Mr. Vaughan provided Ms. Robertson said authorization. (Id.~

68.) On December 17, Ms. Baxter allegedly called Mr. Vaughan and told him that Ms.

Robertson had said that her appraisal assumed a satisfactory well and septic system, and a

marketing time of three to six months. (Ex. D to Baxter Dep.; Vaughan Aff. 1 6.) Ms. Baxter

also allegedly told Mr. Vaughan that Ms. Robertson said $S0,000 could be deducted from the

appraisal because it did not have a well or septic system. (Ex. D to Baxter Dep.; Vaughan Aff.

~ 7.) Ms. Robertson further allegedly told Ms. Baxter that if the house had to be sold before

February 201S to avoid foreclosure, there could be a SO% reduction for the abbreviated

marketing time. (Ex. D to Baxter Dep.; Vaughan Aff ~ 8.)

A supplemental addendum to Ms. Robertson's appraisal report indicates that the

absence of a well was already factored into her appraisal of the Owls Head cottage: it says there

is "no well located on the subject property ..." (Ex. 15 to Pl.s' Opp. S.M.F.) In addition, a

November 8, 2012 email to Ms. Baxter states that the Owls Head cottage has a "shared well"

and that the "buyer will most likely have to drill a new well." (Ex. 16 to Pl.s' Opp. S.M.F.)

Furthermore, Ms. Robertson stated that the presence of a well on the property was "small

peanuts," and denied that she told Ms. Baxter that $30,000 could be deducted from the value of

the property because it had no well and no septic. (Ex. 18 to Pl.s' Opp. S.M.F., Robertson Dep.:

14:4-15:11, 18:S-6.) Ms. Robertson also explained that she told Ms. Baxter:

[L]iquidation companie tend to redLtce properties by SO percent when they want a fast
sale, typically like in REO property, or real estate owned or bank owned property, that
sometimes that's what banks will do to move a property quickly.

6 At her deposition, Ms. Baxter stated that marketing the Owls Head cottage was a challenge because: 1)
the property was in a "deplorable condition;" 2) there was a large crack in the foundation that could lead
a prospective buyer to believe the building was unstable; 3) there was a big leak above the roofline that
resulted in water pouring into the kitchen and caused mold to grow; 4) interior upgrades were in a poor
condition and of poor workmanship; 5) the neighboring property had a "derelict building with huge
mounds of rat housing and filth; 6) there was no well or septic system; and 7) there were fallen trees on
the property that had to be cleaned up. (Baxter Dep., 30:21-32:20.)

13
And [Ms. Baxter] also asked me about why if she had just listed the property it hadn't
sold yet at the price that I appraised it at. And that's when I explained to her that it was
- the appraisal is based on a th1·ee - to six months exposure period.

(Id. at 18:11-20.) Ms. Robertson further opined that the sale of the Owls Head cottage for only

$205,000 caused her to question whether it was an arm's length transaction. (Id. at 18:21­

19:18.)

Following Ms. Baxter's conversations with Ms. Robertson, she countered Mr. Taylor's

$180,000. (SeeDefs' Supp. S.M.F. ~ 73.) On December 20, 2012, Mr. Taylor made a "final top

offer" of $205,000. (Dean's Supp. S.M.F. ~ 35.) Mr. Vaughan forwarded the offer and email to

Ms. Archer the following day with a message inviting her thoughts. (Id. ~ 36.) On December

26, 2012, Ms. Archer replied "SELL!!!" (Id.~ 42.) Mr. Vaughan, however, would not sign the

purchase and sale agreement for the Owls Head cottage until the sale price of $205,000 was

authorized by the Asset Disposition Committee." (Id. ~ 37.)

On December 21, Mr. Vaughan entered a case note providing: "Addendum written and

circulated to asset disposition committee because the terms of the P & S vary significantly from

the representation in the original asset disposition request." (Id.~ 38.) The Asset Disposition

Committee authorized the sale of the property for $205,000. (Id.~ 40.) In explaining why the

cottage was sold for $205,000, Mr. Vaughan stated in the temporary conservator's final account

filed on June 27, 2013: "Loss due to limited time for marketing; difficulty marketing in

winter /holiday season; well/septic challenges ." (Id. ~ 41.)

The closing for the Owls Head cottage was originally scheduled for January 11, 2013.

(Defs' Supp. S.M.F. ~ 76.) On January 9, 2013, Attorney Cardone received a phone call from

attorney Wayne Doane stating that he was going to represent Mr. Dean and would be filing a

motion for a temporary restraining order to stop the closing. (Id.~~ 77-78.) Attorney

Cardone immediately called Ms. Archer and her supervisor. (Id. ~ 79.) Both Ms. Archer and

14
her supervisor were out of the office, so Attorney Cardone called the Office of the Attorney

General and left a message for AAG Greason. (Id. ~ 80.) AAG Greason's supervisor returned

Attorney Cardone's call, and the two agreed that the closing should not take place until they

had more information. (Id. ~ ~ 81-82.)

Later on January 9, Attorney Cardone asserts that she spoke with Ms. Archer, who

informed her that Mr. Dean was not opposed to the sale of the Owls Head cottage and that the

sale should take place quickly to avoid foreclosure on February 12, 2013 . (Cardone Aff ~ 9.)

Attorney Cardone asserts that she also spoke with Mr. Vaughan, who confirmed the

information Ms . Archer allegedly provided. (Id. ~ 10.) Mr. Vaughan allegedly told Attorney

Cardone that the appraisal of the property, as discounted for the lack of a septic system and

well, along with the abbreviated marking period, was $217,000 and the sale price was $205,000.

(Id.~ 11.) Attorney Cardone claims that she had no other information regarding the value of

the Owls Head cottage or the circumstances of its sale. (Id.~ 12.) Attorney Cardone

instructed Mr. Vaughan to alert Mr. Taylor that the sale might have to be postponed if the

Probate Court issued a restraining order. (Defs' Supp. S.M.F. ~ 87 .)

On January 10, 2013, Mr. Vaughan called Attorney Cardone to tell her that the buyer

could close that day and asked whether that would be O.K. (Id. ~ 89.) Attorney Cardone

contacted the Probate Court and was told that no TRO motion had been filed. (Id. ~ 90.)

Attorney Cardone asserts that she attempted to reach Attorney Doane and left a message

stating that the closing would occur that day. (Cardone Aff. ~ 16.) Attorney Cardone claims

she was concerned it could be months before a TRO motion would be heard and, if such delay

occurred, the Owls Head cottage could be lost through foreclosure. (Id. ~ 18.) After speaking

with the Probate Court and leaving a message for Attorney Doane, Attorney Cardone told Mr.

Vaughan that he could proceed with the closing that day. (Defs' Supp. S.M.F. ~ 93.) Later

15
that day, Mr. Vaughan called Attorney Cardone to inform her that the sale had been closed.

(Id. ~ 94.)

Attorney Cardone asserts that an hour or two after the closing, a Probate Court clerk

called to tell her that a TRO motion had just been filed. (Cardone Aff ~ 21.) The TRO motion

was brought by Ms. Perry to enjoin DHHS from selling the Owls Head cottage and Mr. Dean's

Rockland house. (Def.s' Supp. S.M.F. ~ 96.) The Probate Court held a hearing on the motion

on January 25, 2013 . (Id. ~ 97.) The sale of the Owls Head cottage was considered moot

because it had already occurred. (See id. 'ii 98; Ex. 31 to Pl.s' Opp. S.M.F., p. 4: 15-5: 10.) The

sale of the Owls Head cottage resulted in DHHS obtaining the net sum of$178,945.71. (Pl.s'

A.S.M .F. ~ 71.)

Before DHHS through Mr. Vaughan executed a Conservator's Deed transferring the

Owls Head property on January 10, 2013, DHHS as Mr. Dean's public conservator did not

estimate or compute the capital gains tax liability that the sale of the cottage would incur for

Mr. Dean's estate. (Dean's Supp. S.M.F. ~ 48.) The capital gains tax owed to the IRS and

Maine Revenue Service from the sale of the cottage totaled $31,674, with interest and penalties

raising the total to $37,972.02. (Id.~ 52.)

Terri S. Mackenzie, a certified Residential Appraiser, opined in a January 30, 2015

appraisal, that the market value of Mr. Dean's Owls Head cottage as of January 10, 2013 was

$205,000. 7 (Ex. A to DHHS's A.S.M.F.) Alix Cohen, an appraiser retained by Ms. Perry,

recommended listing the Owls Head cottage in the $285,000 to $295,000 range and projected a

final sale price in the $250,000 range. (Perry Dep. 118:22-119:4, 174:2-11.)

7 Mr. Taylor designated Ms. Mackenzie as an expert witness on January SO, 2015 .

16
C. The Rockland House

On October 1, 2012, DHHS, through Ms. Archer, notified Ms. Perry that the Rockland

house had been secured and that only DHHS would have access to it. (Pl.s' A.S.M.F. ~ 164.)

On October 16, Mr. Vaughan visited Mr. Dean's Rockland house and found a notice

from the local water company stating that water service had been disconnected for nonpayment

of bills. (VaughanAff. ~ 31.) The notice further provided that "[i]fservice was not

disconnected, your account will be charged a $20.00 collection fee." (Ex. C to Vaughan Aff.)

Mr. Vaughan checked the kitchen faucet, but no water came out. (Vaughan Aff. ~ 32.) Mr.

Vaughan assumed that the water to the Rockland house had been disconnected, and neither he

nor anyone else at DHHS took any further steps to make sure the water supply was shut off

(Id.)

Mr. Vaughan visited the Rockland house again six weeks later, on December 4, 2012,

and discovered that a water pipe had burst and was discharging water into the house.

(Vaughan Aff ~ 33.) Plaintiffs contend that tens of thousands of gallons.had filled the house.

Prior to December 4, 2012, there were at least eight days during which the minimum

temperature was below 32 degrees Fahrenheit. (Pl.s' A.S.M.F. ~ 169.)

Mr. Vaughan immediately arranged for the water to be shut off. (Def.s' Supp. S.M.F. ~

129.) However, for reasons unexplained in the record, DHHS apparently did nothing to have

the water drained or dry the interior of the house, or otherwise to mitigate the extensive

damage resulting from the burst pipe. (Ex. 39 to Pl.s' Opp. S.M.F., RFA 67.)

On December 10, Mr. Vaughan scheduled an appointment with Ms. Baxter to list the

Rockland house for sale. (Pl.s' A.S.M.F. ~ 175.) On that same day, Mr. Vaughan emailed AAG

Greason stating that "[i]t is important that any items of value be removed promptly from the

Rockland house." (Id.~ 176.) On December 12, 2012, Mr. Vaughan signed a listing contract

17
with Ms. Baxter. (Id. ~ 177.) The Rockland house was subsequently listed for $69,000, even

though it had previously been reported as having a tax-assessed value of $177,200. (Id.~ 181.)

By email dated December 13, Dr. Burk advised Ms. Archer that Mr. Dean wished to return to

his Rockland house for at least a little while and asked, "What is the barrier to selling the Owl's

[sic] Head property so that Bill will have the money to repair his house and make it habitable."

(Id.~ 182.) Ms. Archer replied that "D]iving in the Rockland house needs to be permanen{ly

taken off the table." (Id.) (emphasis in original.)

On January 14•, 2013, Ms. Perry filed a Notice of Pending Litigation in the Knox

County Registry of Deeds . (Pl.s' A.S.M.F. ~ 186; Defs' Opp. to Pl.s' A.S.M.F. ~ 186.) As

previously mentioned, the Knox County Probate Court convened a hearing January 25, 2013 on

Ms. Perry's and Mr. Dean's effort to halt the sales of both properties. Plaintiffs assert that

Attorney Cardone made several misstatements at the hearing. Those assertions include: 1)

Attorney Cardone's statement implying that the Rockland house was "under contract" (Ex. 55

to Pl.s' A.S.M.F., p. 2); 2) that the issue of needing to sell the Rockland house was addressed at

the September 6, 2012 hearing appointing DHHS as temporary conservator and that it was not

"just something that has come since and [DHHSJ is taking the initiative" (Id. at 8); and 3) that

Mr. Dean "is in favor of what [DHHS is] doing." (Id. at 9.) Plaintiffs also assert that Attorney

Cardone allowed Ms . Archer to make the following misrepresentations at the January 25

Hearing: 1) that the Rockland house has not been maintained as illustrated by the water pipes

bursting-implying that the burst water pipe was due to Mr. Dean's faulty maintenance (Id. at

10); 2) that DHHS had a separate appraisal of the Rockland house carried out valuing it at

$65,000 (Id. at 10-11); 3) that Ms . Perry and her attorney at the time, Anita Volpe, were both

notified of the September 6, 2012 hearing in which DHHS was appointed as temporary

18
conservator (Id. at 15); and 4) that Ms. Perry and Attorney Volpe were notified when DHHS

sought a temporary guardianship due to Mr. Dean's deteriorating medical condition (Id.).

Based at least in part on Ms. Archer's representation about an appraisal showing the

Rockland house had a fair market value of $65,000, the Probate Court made a finding of fact

that "the proposed sale is commercially reasonable and reasonably calculated to realize the best

price based on fair market value." (Pl.'s A.S.M.F. ~ 193; Defs' Opp. to Pl.s' A.S.M.F. ~ 193.)

Attorney Cardone asserts that, before the hearing on Ms. Perry's TRO on January 25,

2013, she had not been aware that a water pipe had burst at Mr. Dean's Rockland house.

(Cardone Aff ~ ~ 27-28.) After the January 25 hearing, the Probate Court issued an order

denying the TRO motion. (Ex. B to Cardone Aff) Later on January 25, 201.5, Mr. Hardy,

Direct of Estate Management Services at DHHS, executed a Purchase and Sale Agreement for

$65,000 for the Rockland house. (Pl.s' A.S.M.F. 1194.) Ms. Vose and Ms. Perry, through

their attorney David Jenny, moved to amend findings and later the Probate Court's judgment.

(Ex. C to Cardone Aff) On February 15, 2013, the Probate Court appointed attorney Joseph P.

Belisle to represent Mr. Dean in the probate proceedings. 8 (Defs' Supp. S.M.F. ~ 103.)

On February 12, 2013, Ms. Archer emailed Dr. Burk to let her know that DHHS

decided to hold off on the sale of the Rockland house until after a hearing scheduled for

February 22, 2013. (Id. ~ 200.) DHHS decided to hold off because the buyer was worried

about Ms. Perry's opposition and was willing to wait for the outcome of the hearing. (Id.)

a Specifically, the order provided:
The Court hereby appojnts Joseph B. Belisle, Esquire .. . to act as ... Attorney in a probate
proceeding under the Probate Court. The nature of this proceeding is: Joined Petitions:
Appointment of Guardian and Conservator (2012-.'598-0); Temporary Guardianship; Joined
Petitions; Appointment of Guardian and Conservator (2012 - 598-1); Petition for Emergency
Hearing and Order Relating to the Proposed Sal e of the Protected Person's Assets by the
Temporary Conservator/Guardian (2012-598-2) .. . and the reasons for this appointment are: to
represent William T . Dean, Jr. in said proceedings."
(Ex. D to Cardone Aff)

19
On February 20, 201S, Attorney Cardone filed a motion to clarify that the Probate

Court's January 25 Order applied to the Rockland house because the Order did not specifically

refer to the Rockland house. (Ex. E to Cardone Aff.) The motion stated that it sought the

clarification so that it would remove any cloud on the title of the Rockland house and allow

DHHS to close the sale of that house before its temporary conservatorship expired on March 6,

2013. (Id.) Mr. Jenny asserts that he never received a copy of that motion. (Jenny Aff. 1f 29.)

On February 21, 201.'3, the motion to clarify was granted. (Ex. E to Cardone Aff.)

On March 1, 201S, however, DHHS's plan to close the sale of the Rockland house was

again delayed by the potential buyer's concern that the January 25, 2013 Order misidentified

the Rockland Property. (Pl.s' A.S.M.F. ~ 212.) An attorney for the potential buyer sent an

email on March 4, 2013 relating that Attorney Cardone left him a message stating that she met

with the new Probate Judge, M. Ray Bradford, Jr., on March 1, 2013 "in an effort to expedite a

decision in this matter. The Judge was not willing to do so as it was his first day on the job."

(Ex. 63 to Pl.s' A.S.M.F.)

On March 6, 2013, DHHS's six-month temporary conservatorship expired without

DHHS completing the sale of the Rockland house. (Defs' Supp. S.M.F. 1f 104.) On March 21,

2013, the Probate Court dismissed the motion to enjoin the sale of the Rockland house as moot

because DHHS's temporary conservatorship had expired and the sale had not occurred. (See

Defs' Supp. S.M.F. 1f 105.)

D. Personal Property in the Rockland House and Owls Head Cotta~

DHHS, through Mr. Vaughan, retained a licensed auctioneer, David Thistle, to inspect

the contents of the Rockland house, identify and catalog all sellable items, and then use his best

efforts to sell said items. (Vaughan Aff 1f 21; Thistle Dep. 17:9-18, 24:11-17.)

20
Mr. Vaughan asserted that he reached an oral agreement with Mr. Thistle to pay him

through a 35% commission. (Vaughan Dep. 161:10-163:10.) Mr. Thistle, however, testified

that he never talked with Mr. Vaughan about how much he would be paid and considered

himself free to set his own compensation, between 30% and 50% for each item that he sold.

(Thistle Dep. 24: 18-26: 18.) No duly designated agent of DHHS prepared a written list or

inventory of personal property located at Mr. Dean's Rockland house before Mr. Thistle

started removing marketable items from the location. (Pl.s' A.S.M.F. ~ 128.) Mr. Thistle's

records indicate that he did not sell any items until after the sale of the Owls Head cottage.

(Ex.s 33 & 34 to Pl.s' Opp. S.M.F.)

According to the Plaintiffs, in approximately 2010, Ms. Perry had reached an agreement

with Mr. Dean that she could use and occupy the Owls Head cottage until Mr. Dean could pay

her at least half of the amount he depleted from the family trust fund. (Pl.s' A.S.M.F. ~~ 17­

22.) Ms. Perry accepted the payments, occupied the Owls Head cottage seasonally for two

years, and refrained from taking legal action against Mr. Dean until after DHHS sold the

cottage. (Id. ~ 23.) On November 6, 2012, DHHS locked Ms. Perry out of the Owls Head

cottage. (Pl.s' A.S.M.F. ~ 90.)

On November 30, attorney Jenny sent a letter to AAG Greason explaining Mr. Dean's

agreement with Ms. Perry regarding her use of the cottage. (Id. ~ 80.) The letter provided the

names of individuals who could be contacted to verify Ms. Perry's ownership of property in the

cottage. (Ex. B to Jenny Aff, p 2.) DHHS did not interview any of the individuals identified

prior to excluding Ms. Perry from the cottage. (See Vaughan Dep. 108:1-14; Defs' Opp. to Pl.s'

A.S.M.F. ~ 86.)

Ms. Perry informed DHHS that much of the personal property in the Owls Head

cottage belonged to her. (Defs' Supp. S.M.F . ~ 111.) On December 4, 2012, DHHS gave Ms.

21
Perry about three hours to remove all of the property she claimed as hers from the cottage.

(7/27/15 Perry Aff ~ S2; Vaughan Aff ~ 25 .) Ms. Perry claims that she was not given

adequate time to remove her property and had to leave multiple pieces of property behind, but

does not indicate when she informed DHHS that she had not been able to remove all of her

property. (Vaughan Aff. ~ 26; 7/27/15 Perry Aff ~~ S2, S3, S9.) By letter dated November

29, 2012, DHHS, through AAG Greason, acknowledged that some, if not most, of the personal

property located at the Rockland house belonged to the Estate of Alice H. Dean, Ms. Perry and

Mr. Dean's deceased mother. (Pl.s' A.S.M.F. ~ 135.)

Throughout the fall, winter and early spring of 2012-201S, Ms. Thistle made at least

ten trips to the Rockland house and removed ten pick-up truck loads of Mr. Dean's personal

property. (Id. ~ 132.) Mr. Thistle sold some items, but DHHS's temporary conservatorship

ended before all items were sold. (See id.) Ms . Perry's childhood bedroom set of furniture was

among the items sold by Mr. Thistle. (Id. ~ 138.)

On December 6, 2012, Mr. Vaughan filed an inventory of the conservatorship estate of

Mr. Dean, but only provided notice of the inventory to Ms. Archer. (Id. ~~ 145-146.) The

value of Mr. Dean's personal property (household contents) was reported as $2,500 based on

Mr. Vaughan's request that Mr. Thistle provide him with a conservative estimate of net value.

(Id.~ 148.) The Dean family's conservative estimate of the value of the personal property in

the Rockland house is $26,530. (7/27/15 Perry Aff ~ .38.)

At the time DHHS prepared its inventory, a concert organ was included in the list of

items, but its value was not included because it was not known if it was marketable. (Ex. 34 to

Pl.s' A.S.M.F.) The organ retailed for $24,000, but DHHS never corrected its estimate of

household contents. (Pl.s' A.S.M.F. ~ 152.) Mr. Thistle took possession of the organ and

planned to sell it for $8,000. (Id. ~ 154.)

22
Mr. Vaughan asked Mr. Thistle to return all unsold items following the end ofDHHS's

temporary conservatorship. (Def.s' Supp. S.M.F. CJ 108) Mr. Vaughan claims to have asked

Mr. Thistle to make a separate list of all items he had sold and all items he had returned .

(Vaughan Aff CJ 23.) Mr. Thistle made arrangements with Mr. Dean's then attorney, Mr.

Belisle, to transport the unsold items to a storage facility and provided Mr. Vaughan with lists

of sold and returned items. (Thistle Dep. 56:6-59:9; Vaughan Aff ,I 23.)

E. Caterpillar the Cat

After DHHS was appointed as Mr. Dean's temporary conservator, Ms. Archer learned

that Mr. Dean had a cat. (Archer Aff CJ 22.) The cat, Caterpillar, was approximately 12 years

old. (Def.s' Supp. S.M.F. CJ 115.) On September 28, 2012, Ms. Archer arranged for Caterpillar

to see a veterinarian. (Archer Aff CJ 23.) Prior to visiting the veterinarian, Ms. Archer stated

that if Caterpillar was sick "and we can justify putting it down we will have that done." (Pl.s'

A.S.M.F. CJ 103.) Ms. Archer expressed concerns "about putting it down ifit is not sick as

Claire might use this in some negative way at [sic] Court hearing." (Id. CJ 104.)

The veterinarian allegedly advised Ms. Archer that Caterpillar was in poor shape and

recommended that he be euthanized. (Archer Aff. CJ 24.) Ms. Perry asserts that the

veterinarian's recommendation was based in part on Ms. Archer's representations that Mr.

Dean was elderly, unlikely to live on his own again, and that no one was able and willing to

care for Caterpillar. (Perry. Supp. Aff. CJ 25.) Prior to visiting the veterinarian, Ms. Archer had

asked Ms. Perry and Mr. Dean's friend, Steve Mahoney, whether they would be willing to care

for Caterpillar, but both declined. (Archer Aff CJ 25.) Ms. Perry claims that she was not

informed the alternative was to euthanize Caterpillar and that, had she known this, she would

have taken him in. (Perry. Supp. Aff. CJ CJ 26-27.)

23
On October 1, 2012, Ms. Archer met with Mr. Dean to discuss Caterpillar and obtained

Mr. Dean's signature on a letter authorizing Caterpillar's euthanization. (Archer Aff. ~ 26 and

Exhibit M thereto.) After the fact, Mr. Dean expressed surprise that he signed the letter

explaining that he couldn't "imagine ... doing this without some consultation with either my

cousin or my sister. I loved that cat." (Dean. Dep. 82 :7-83: 11.) Thereafter, Ms. Archer, as well

as her supervisor, signed the letter and sent it to the veterinary hospital. (Defs' Supp. S.M .F. ~

120.) The veterinary hospital euthanized Caterpillar later on October I. (Id.~ 121.)

F. Mr. Dean's Cadillac

While acting as Mr. Dean's conservator, DHHS arranged for the sale of Mr. Dean's

2000 Cadillac Eldorado. (Def.s' Supp. S.M.F. ~ 122.) Ms. Archer alleges that she discussed

selling the car with Mr. Dean and that he was in agreement to proceed with the sale. (Pl.s'

A.S.M.F. ~ 119.) Mr. Dean, however, has no recollection of the conversation. (Id.~ 120.)

Mr. Vaughan estimated that the Cadillac had 150,000 miles on it. (Ex. 36 to Pl.s' Opp.

S.M.F.) Mr. Vaughan had the car towed to Port City Auto Auctions, where it was offered at

five separate auctions. (Def.s' Supp. S.M.F. ~ 123.) The highest offer, made at the fifth auction,

was for $900. (Id. ~ 124.) Port City recommended that DHHS accept the offer. (Id. ~ 124.)

Mr. Vaughan authorized Port City to accept the $900 offer, which netted Mr. Dean $385. (Id.

~ 125; Ex. B to Vaughan Aff.)

JI. Analysz's

The undisputed facts suggest that the effects of DHHS's management of Mr. Dean's

affairs during what was supposed to be a temporary conservatorship were anything but

temporary. In the span of six months, most of what Mr. Dean owned and valued wound up

being sold off, flooded or euthanized, as a result of DHHS's intervention on his behalf It

seems clear that, had DHHS as Mr. Dean's public conservator pursued a strategy aimed more

24
at conserving his assets temporarily (and winterizing them effectively) rather than liquidating

them permanently, Mr. Dean would be much better off today.

For example, the record before the court plainly suggests that DHHS, as Mr. Dean's

public conservator, failed to explore, in any meaningful way, alternatives to selling Mr. Dean's

Owls Head property. One alternative that should at least have been attempted was to seek a

property tax abatement on behalf of Mr. Dean. Another alternative would have been to borrow

against either of Mr. Dean's two properties. Neither of Mr. Dean's properties was encumbered

with any mortgage debt whatsoever. A third alternative to sale would have been .to sell

enough of Mr. Dean's personal property to generate funds to pay the Owls Head taxes. As

noted above, Mr. Dean's organ, for example, retailed at $24,000 and was worth $8,000,

according to DHHS's retained auctioneer, Mr. Thistle.

In DHHS's defense, it must be noted that the record contains evidence that the Owls

Head cottage was run down and would have required a substantial investment to be put into

good condition. It is also clear that DHHS took the steps it did to sell his property in an effort

to avoid what it saw as the potentially greater loss associated with a tax lien foreclosure. Also,

although the Plaintiffs have freely made accusations of dark motives and malfeasance on the

part of the individual State Defendants, there is no admissible evidence that DHHS or any of

the individual State Defendants was actually motivated by malice or personal gain at Mr.

Dean's or Ms . Perry's exp·ense.

The largely undisputed facts, viewed in a light favorable to the Plaintiffs, indicate that

DHHS, as Mr. Dean's public conservator, developed and implemented an aggressive plan on his

behalf without adequately exploring alternatives, and that, in doing so, DHHS failed to attend

to important details. In these significant respects, Mr. Dean has made a prima facie showing

that DHHS breached its fiduciary duty, as Mr. Dean's conservator, to act in Mr. Dean's best

25
interests. However, DHHS and the individual State Defendants have raised substantial

legitimate defenses to the Plaintiffs' claims.

The State Defendants first argue that Plaintiffs' tort claims against DHHS, Ms. Archer

and Mr. Vaughan are barred because Plaintiffs did not comply with the notice requirements of

the Maine Torts Claims Act. They next assert that even if Plaintiffs had complied with the

notice requirements, their tort claims against DHHS are barred because they do not fit within

an exception to DHHS's general immunity. Third, the State Defendants argue that the tort

claims against Ms. Archer and Mr. Vaughan are barred because they are entitled to

discretionary function immunity. Fourth, the State Defendants argue that even if the

individual defendants are not entitled to immunity, summary judgment is warranted against

the Plaintiffs' tort claims because the undisputed facts demonstrate that Ms. Archer, Mr.

Vaughan, and Attorney Cardone did not commit any torts. Fifth, the State Defendants argue

that Plaintiffs have not stated a claim against DHHS under the Maine Ci:'il Rights Act because

that statute does not authorize suit against the State and, by extension, DHHS. Finally, the

State Defendants argue that summary judgment is warranted against Plaintiffs' 42 U.S.C. §

1983 claims because the individual defendants did not violate any clearly established federal

laws.

"The function of a summary judgment is to permit a court, prior to trial, to determine

whether there exists a triable issue of fact or whether the question[s] before the court [are]

solely ... oflaw." Bouchard v. American Orthodontics, 661 A.2d 1143, 44 (Me. 1995).

Summary judgment is appropriate where there are no genuine issues of material fact and the

moving party is entitled to judgment as a matter oflaw. M.R. Civ. P. 56(c); see also Levine v.

R.B.K. Caly Corp., 2001 ME 77, ~ 4, 770 A.2d 653. A "material fact" is one that can affect the

outcome of the case, and a genuine issue exists when there is sufficient evidence for a fact finder

26
to choose between competing versions of the fact. Lougee Conservancy v. City-Mortgage, Inc.,

2012 ME 10.5, ~ 11, 48 A.sd 774.

Summary judgment is also appropriate if, looking at the record in the light most

favorable to the non-moving party and drawing all reasonable inferences in that party's favor,

no reasonable juror could find for the non-moving party. Id. ~ 14, n. s (quoting Scott v. Harris,

550 U.S . .572, 377 (2007)). This is true "even when concepts such as motive or intent are at

issue ... if the non-moving party rests merely upon conclusory allegations, improbable

inferences, and unsupported speculation." Dyer. v. Dep't. ofTransp., 2008 ME 106, 114, 951

A.2d 821 (quoting Vives v. Fajardo, 4,72 F.Sd 19, 21 (1st Cir. 2007)); Bouchard, 661 A.2d at 1144­

45 (quoting Anderson v. Liberty Lobby, Inc., 477 U.S. 242, 24·9-50 (1986)) ("If the evidence is

merely colorable, or is not significantly probative, summary judgment may be granted").

Accordingly, a "judgment as a matter oflaw in a defendant's favor is proper when any jury

verdict for the plaintiff would be based on conjecture or speculation." Stanton v. Univ . ef Maine

System, 2001 ME 96, ~ 6, 773 A.2d 1045.

Motions for summary judgment must be supported by citations to record evidence of a

quality that would be admissible at trial. Levine, 2001 ME 77, ~ 6, 770 A.2d at 656 (citing

M.R. Civ. P. 56(e). Facts supported by record citations in a supporting or opposing statement

of materials facts are deemed admitted unless properly controverted. M.R. Civ. P. 56(h)(4); see

also Farrell v. Theriault, 464 A.2d 188, 194 (Me. 198.5). When ruling on a motion for summary

judgment, courts are only required to consider "the portions of the record referred to, and the

material facts set forth, in the parties' statement of material facts to determine whether there is

no genuine dispute of material fact." Lubar v. Connel'Ly, 2014 ME 17, ~ .'34, 86 A.3d. 642.

27
A. Whether DHHS Itself is Immune from Plaintiffs' Causes of Action

This section evaluates DHHS's sovereign immunity defense as to the Plaintiffs' claims

against it. Later sections evaluate the immunity claims of the individual State Defendants.

The State Defendants argue Plaintiffs' tort claims against DHHS are barred because the

Legislature has not waived DHHS's sovereign immunity. They explain that immunity is the

rule and there is no exception for claims arising from interference with a contract or

expectancy, a failure to properly winterize a conservatee's home, or the breach of a fiduciary

duty to a conservatee. They also contend that summary judgment is warranted against Mr.

Dean's claim for the negligent discharge of pollutants because water is not a pollutant within

the meaning of the statutory exception to sovereign immunity provided in 14 M .R.S.A. § 8104­

A(3).

Plaintiffs respond that DHHS is not immune because their tort claims are not subject to

the Maine Tort Claims Act. First, they argue that Ms. Perry's claim for interference with

contract or expectancy sounds in contract, not tort. Second, they contend that their claims for

breach of fiduciary duty are governed by the Maine Probate Code, not barred by the Maine

Tort Claims Act, because the Probate Code explicitly provides that public conservators are

liable for torts such as breach of fiduciary duty. Plaintiffs also point to the Probate Code's

bonding requirement for public conservators as evidence that the Legislature waived DHHS's

immunity for claims brought against DHHS as public conservator under the Probate Code.

The analysis turns to each of the Plaintiffs' arguments that their claims against DHHS

fit within waivers of sovereign immunity.

1) Whether Mr. Dean's Claim for Negligent Discharge if Pollutants Fits Within 14
M.R .S.A. § 8104-A(s)'s Exception to Sovereign Immunity.

Mr. Dean alleges that the burst water pipe at the Rockland house constitutes a tort

within the meaning of the Maine Tort Claims Act provision waiving immunity as to liability

28
for negligent discharge of pollutants, 14 M.R.S.A. § 8104-A(3). Section 8104-A(3), titled

"discharge of pollutants," is an exception to the general rule of governmental immunity,

providing that:

A governmental entity is liable for its negligent acts or om1ss10ns in the
discharge, dispersal, release or escape of smoke, vapors, soot, fumes, acids,
alkalines, toxic chemicals, liquids or gases, waste materials or other irritants,
contaminants or pollutants into or upon land, the atmosphere or any water
course or body of water, but only to the extent that the discharge, dispersal,
release or escape complained of is sudden and accidental.

Id.

"Waivers [of immunity] are not generally implied and even explicit waivers are

construed narrowly." Id. (citing roung v. Greater Portland Transit Dist., 535 A.2d 417, 418-19

(Me. 1987) (finding that language in a municipal transit district's charter permitting it to "sue

or be sued" was not an explicit waiver of governmental immunity divesting the district of the

protections of the Maine Tort Claims Act)).

Here, Mr. Dean's claim for negligent discharge of pollutants does not fit within the

exception to sovereign immunity in section 8104-A(3) because water is not a pollutant or toxic

liquid. The plain language of section 8104-A(3) makes clear that the word "toxic" modifies not

only chemicals, but also liquids and gases. See Espander v. City ofAlbuquerque, 849 P.2d 384, 387

(N.M. Ct. App. 1993), overruled on other grounds by 896 P.2d 1164 (N.M. 1995) (finding that the

city was immune from liability for flooding because "the most reasonable construction" of the

analogous New Mexico Tort Claims Act provision is that "liquids is modified by the word

toxic"). This interpretation is supported by the fact that the statute's catchall provision refers

to other "irritants, contaminants, or pollutants." 14 M.R.S.A. § 8104-A(3). In addition, the

statute's title, "discharge of pollutants," makes clear that the statute is not intended to apply to

the discharge ofliquids that are not in themselves pollutants. Accordingly, Count III of Mr.

29
Dean's Cross-Claim against DHHS for negligent discharge of pollutants does not fit within 14

M.R.S.A. § 8104-A(3)'s exception to sovereign immunity and is thereby barred.

2) Whether Article Vofthe Maine Probate Code Waives Sovereign Immunity for Claims
Brought Thereunder.

This section addresses Plaintiffs' contention that the Maine Probate Code operates as a

waiver of sovereign immunity when DHHS elects to act as a public conservator, at least to the

extent of the conservator's bond that DHHS, like any other fiduciary acting as guardian,

conservator or trustee, is mandated by the Probate Code to obtain. DHHS contends that the

Plaintiffs' claims against it for breach of fiduciary duty are tor~ claims and thus are barred by

the Maine Tort Claims Act.

The starting point for the analysis is the premise, codified in the Maine Tort Claims

Act, that sovereign immunity prevails unless waived: "Except as otherwise expressly provided

by statute, all governmental entities shall be immune from suit on any and all tort claims

seeking recovery of damages." 14 M.R.S.A. § 8103. The vast majority of cases under the

Maine Tort Claims Act address waivers of sovereign immunity pursuant to 14 M.R.S.A. §

8104-A. However, the Maine Tort Claims Act also recognizes that if a governmental entity

purchases insurance that "provides coverage in areas where the governmental entity is immune,

the governmental entity shall be liable in those substantive areas but only to the limits of the

insurance coverage." 14 M.R.S.A. § 8116.

Furthermore, the Law Court recognizes that the Legislature may waive sovereign

immunity through other statutes and statutory schemes. See e.g. Clockedile v. State Dep't of

Transp., 437 A.2d 187, 190-91 (Me. 1981). It is the Plaintiffs' contention that the public

conservator provisions of the Maine Probate Code incorporate exactly such a waiver.

"The immunity of the sovereign from suit is one of the highest attributes inherent in the

nature of sovereignty" and can only be waived by 11 specific authority conferred by an enactment

30
of the Legislature. 11 Knowlton, 2009 ME 79, ~ 12,976 A.2d 973 (citation omitted). As noted

above, "[w]aivers are not generally implied and even explicit waivers are construed narrowly."

Id. (citation omitted). For example, Hinckley v. Penobscot Valley Hosp. determined that even

though the Maine Health Security Act ("MHSA") was intended to occupy the field of medical

malpractice claims brought against health care providers and practitioners, the provision that

"any action for damages for injury or death against any health care provider" did not constitute

a waiver of sovereign immunity for hospitals owned and operated by a governmental entity

facing malpractice claims. 2002 ME 70, ~ ~ 8-10, 794 A.2d 643 .

Hinckley explained that "[n]otwithstanding the obvious breadth of the MHSA, it does

not explicitly reference the Maine Tort Claims Act, nor does it specifically waive state

immunity as to medical malpractice actions." Id. ~ 10. Hinckley further rejected the argument

that the plaintiff could bring a medical malpractice claim in accordance with the terms of the

MHSA because: 1) "the MHSA is a procedural Act. It does not provide for or create the

medical malpractice cause of action, but governs how such actions are to be brought" and 2) the

Law Court has "never held that an individual could bring suit against a governmental entity

under a statute that provides for a specific cause of action without first determining that the

statute expressly waived governmental immunity." Id.~~ 11-12.

However, "[t]he rule that waivers of immunity must be explicit is not without

exception." Knowlton, 2009 ME 79, ~ 13, 976 A.2d 973. For example, Maine has recognized

that "a general statute allowing the State to enter into contracts implies a waiver of sovereign

immunity by the Legislature when the State is sued for breach of that contract." Id. (quoting

Profi't Recove1y Group, USA, Inc. v. Comm\ Dep't ofAdmin. & Fin. Serv., 2005 ME 58, ~ 28, 871

A.2d 1237). Knowlton explored the parameters of this exception while determining whether 10

M.R.S.A. § 8003( 5)(B) gave rise to an implicit waiver of the State's sovereign immunity from

31
claims for breach of contract. 2009 ME 79, ~ 18, 976 A.2d 97 3. In Knowlton, the plaintiff

entered into a consent agreement with the State to resolve licensing violations alleged by the

Bureau oflnsurance. Id. ~ ~ 3-4. The consent agreement imposed certain penalties against the

plaintiff, but also provided that no further disciplinary measures would be taken against him.

Id. Subsequently, the plaintiffs employer entered into a separate consent agreement with the

State in which the employer agreed to terminate the plaintiff from his position as a branch

manager. Id. ~ 5. After the plaintiff was terminated, he brought suit against the State for its

breach of the consent agreement arguing that the State had implicitly waived its immunity

pursuant to 10 M.R.S.A. § 8003( 5)(b ). Id. ~ 1.

In rejecting the plaintiffs argument, Knowlton determined that "[t]he plain language of

section 8003( 5)(B) does not expressly waive sovereign immunity." Id. at ~ 14. Even though

the statute provided that a consent agreement entered into by the Superintendent of Insurance

could be enforced in the Superior Court, this provision was "an extension of the

Superintendent's general duty to enforce the Insurance-Code." Id." Section 8003(5)(B) did "not

expressly confer to individuals who enter into a consent agreement.. .a right to sue for damages

based on an alleged breach of the agreement." Id. Furthermore, Knowlton explained that the

"judicial enforcement of a consent agreement is a remedy that is distinct from compensatory

damages awarded for the breach of that agreement." Id.

9 The full text of IO M.R.SA. § 800S(5)(B) provides:
The bureau, office, board or commission may execute a consent agreement that resolves
a complaint or investigation without further proceedings. Consent agreements may be
ente red into only with the consent of: the applican , licensee or registrant; the bureau,
office, board or commission; and the Department of the Attorney General. Any remedy,
penalty or fine that is otherwise available by law, even if only in the jurisdiction of the
Superior Court, may be achieved by consent agreement, including long-term suspension
and permanent revocation of a professional or occupational license or registration . A
consent agreement is not subject to revi.ew or appeal, and may be modified only by a
writing executed by all parties to the original consent agreement. A consent agreement
is enforceable by an action in Superior Court.
(emphasis added).

32
Knowlton then addressed whether section 8003(5)(B) constituted a general statute that

permitted the state to enter into contracts and resulted in the abrogation of sovereign

immunity. Id. ~ ~ 16-18. In finding it did not, Knowlton drew a distinction betweel'.l.. statutes

that authorize the State to enter into contracts in its proprietary role involving the

establishment of financial obligations, and statutes that authorize the State to resolve

regL1lation enforcement proceedings by consent agreement in the exercise of its police powers.

Id. ~ 17.

The former is illustrated by 24-A M.R.S.A. § 208, which authorizes the Superintendent

oflnsurance to contract for actuarial services as needed to discharge its duties and abrogates

sovereign immunity, while the latter is illustrated by section 8003(5)(B), which permits the

Superintendent to enter into a consent agreement that resolves a complaint or investigation as

part of its authority to regulate the insurance industry. Id. "Because a consent agreement made

pursuant to section 8003(5)(B) is in furtherance of the Superintendent's duty to protect the

public interest through enforcement of the Insurance Code, it does not give rise to an implicit

waiver of the State's sovereign immunity from claims for breach of contract." Id. ~ 18.

In this case, the pertinent statutory scheme is Article V of the Maine Probate Code

governing the protection of persons under disability and their property. Article V provides

that DHHS may be appointed as a public conservator or guardian for incapacitated persons

who are in need of protective services. 18-A M .R.S.A. § 5-601(a), (b). "[T]he appointment,

termination, rights and duties, and other provisions for guardians and conservators in this

Article shall apply to public guardians and conservators. 18-A M.R.S.A. § 5-601( c); see also 18­

A M.R.S.A. § 5-607 ("A public guardian or conservator has the same powers, rights and duties

respecting his ward or the protected.person as provided for guardians and conservators by the

33
other parts of this Article" except as otherwise specified in subsections inapplicable to the

present dispute).

The duties of a public conservator include acting as a fiduciary for the conservatee and

observing the standards of care applicable to trustees. 18-A M.R.S .A. § 5-408-A. A

conservator "is individually liable for obligations arising from ownership or control of property

of the estate or for torts committed in the course of administration of the estate only ifhe is

personally at fault." 18-A M.R.S.A. § 5-429(b).

Article V of the Probate Code also requires a public conservator or guardian to "give a

surety bond for the joint benefit of the wards or protected persons placed under the

responsibility of the public guardian or conservator and the State of Maine, with a surety

company ... in an amount not less than the total value of all assets held by the public guardian or

conservator, which amount shall be computed at the end of each state fiscal year and approved

by the judge of the probate court for Kennebec County. 18-A M.R.S.A. § 5-611.

Although Article V of the Maine Probate Code does not make an explicit statement that

sovereign immunity is waived for governmental actions that violate the Code, the State

Defendants acknowledge that only DHHS can act as a public conservator. It is therefore

highly significant that the Legislature could only have had DHHS in mind in providing that the

"rights and duties, and other provisions for guardians and conservators in this Article shall

apply to public guardians and conservators." 18-A M.R.S.A. § 5-601( c). Likewise, the

Legislature must have had DHHS in mind in enacting the express requirement that a public

conservator obtain a bond "for the joint benefit of the wards or protected persons placed under

the responsibility of the public guardian or conservator .... " 18-A M.R.S.A. § 5-611.

Obviously, the bond would be utterly meaningless-not to mention a complete waste of

taxpayer funds-if the persons for whose particular benefit the Probate Code expressly requires

34
DHHS to secure the bond are allowed no recourse against the bond when DHHS is in breach of

the fiduciary duty that the Code also expressly imposes. Yet, that is essentially DHHS's

argument in this case.

Based on the express language of the Maine Probate Code imposing the same duties on

DHHS-the only possible public conservator-as are imposed on trustees and other fiduciaries,

coupled with the express requirement that DHHS obtain a surety bond for the benefit of those

for whom it acts as conservator: the court concludes that, while claims for breach of fiduciary

duty constitute tort claims, 10 the Maine Probate Code constitutes an express waiver of DHHS's

sovereign immunity to the extent DHHS is liable for breach of fiduciary duty as a public

conservator. See The Woodward Schoolfor Girls, Inc. v. City ofQuincy, 469 Mass. 151, 176-177

(2014) (finding an implicit waiver in Massachusetts's Prudent Investor Act for breach of

fiduciary duties by a governmental entity that agrees to serve as a trustee because a "trustee,

regardless of whether it is a municipality, a corporation, or a private individual, is accountable

to courts for its conduct in fulfilling, or committing a breach of, the fiduciary duties it owes"

and because a "'natural and ordinary reading' of the Prudent Investor Act indicates that where

a municipality accepts the obligations of serving as a trustee, it will be held to the same

standards and subject to the same penalties as any other trustee").

It may well be that the waiver is limited to the surety bond that the Maine Probate

Code requires a public conservator-which can only be DHHS-to obtain "for the joint benefit

of the wards or protected persons placed under the responsibility of the public guardian or

conservator .... " 18-A M.R.S.A. § 5-611.

10 See e.g. T¥ahlcoMetrojlex, Inc. v. Baldwin, 2010 ME 26, ~ 23,991 A.2d 44 (referring to a "tort claim for
breach of fiduciary duty"); Guitard v. Gorham Sav. Bank, 2002 Me. Super. LEXIS 82, *5-6 (Apr. 9, 2002)
(same); RESTATEMENT (SECOND) OF TORTS§ 874 Cmt. b (1979) (same).

35
Plaintiffs analogize the bond to liability insurance in noting that, even under the Maine

Tort Claims Act, sovereign immunity is waived to the extent ofliability insurance. See 14

M .RS.A. § 8116 ("If the insurance provides coverage in areas where the governmental entity is

immune, the governmental entity shall be liable in those substantive areas but only to the limits

of the insurance coverage.") While the State Defendants contend that the surety bond that

DHHS, as public conservator, is required to provide is not liability insurance, the surety bond

has not been made part of the record for the court's review. 11

Furthermore, the Maine Probate Law Revision Commission's Study and

Recommendations concerning Maine Probate Law indicate the surety bond was intended to

serve as a form of insurance. Maine Probate Law Review Commission, "Report of the

Commission's Study and Recommendations Concerning Maine Probate Law" (Oct. 1978).

Specifically, the Study: 1) notes the close resemblance between surety bonds and "fiduciary

insurance" and "surety insurance;" 2) describes probate bonds as "a fail-safe insurance

mechanism, a device for making up promptly losses sustained ... as a result of fiduciary breach

when breach comes to light;" 3) discusses the wisdom ofrequiring probate bonds, while noting

that American law does not typically require private citizens to carry insurance; and 4)

generally discusses probate bonds as a form ofinsurance. Id. at 211-12, 213, 231-32, 235-36.

Accordingly, the court will deny the State Defendants' Motion for summary judgment,

as to William Dean's claims for breach of fiduciary duty that are brought against DHHS itself,

in its capacity as public conservator for Mr. Dean, pursuant to Article V of the Probate Code.

Although breach of fiduciary duty claims are indeed tort claims, as the State asserts, the Maine

11The State obtains a single surety bond "in an amount not less than the total value of all assets held by
the public guardian or conservator, which amount shall be computed at the end of each state fiscal year."
18-A M.R.S.A. § 5-611. Although the State Defendants' claim that the surety bond DHHS obtained did
not include the value of Mr. Dean's assets because the conservatorship began on September 6, 2012,
terminated on March 6, 201S, and the State's fiscal year ends each June SO , the court is not prepared to
determine that the surety bond does not constitute liability insurance without seeing the bond DHHS
obtained for the 2012-201.'3 fiscal year.

36
Probate Code effects a limited statutory waiver of immunity as to claims by a ward/conservatee

against DHHS as public conservator, at least to the extent of the DHHS surety bond.

Moreover, even assuming the notice requirements of the Maine Tort Claims Act apply to Mr.

Dean's breach of fiduciary claims against DHHS under the Maine Probate Code, for the reasons

noted below, Mr. Dean has, at least, created a genuine issue of material fact as to whether he,

complied with those requirements.

Plain tiff Claire Perry, however, cannot avail herself of the limited waiver of sovereign

immunity that this court concludes exists in the public conservator provisions of the Maine

Probate Code, because DHHS's duty under the Maine Probate Code ran to Mr. Dean, not to

her. The State Defendants argue that, even assuming Ms. Perry's claims for breach of

fiduciary duty against DHHS are not barred by sovereign immunity, they must fail because

DHHS did not owe Ms. Perry a fiduciary duty as the temporary conservator of Mr. Dean.

Plaintiffs respond that DHHS owed her a fiduciary duty as the sole legal heir of Mr. Dean's

estate.

Article V, Part 4 of the Maine Probate Code, under which DHHS was appointed

temporary conservator, aims to protect the property of minors and individuals with disabilities.

Pursuant to those statutes, DHHS has a fiduciary duty to observe the standards of care

applicable to trustees. 18-A M.R.S.A. § 5-417. A trustee is bound to exercise its powers solely

in the interests of the beneficiaries. 18-B M.R.S.A. § 802(1). Article V, Part 4 of the Maine

Probate Code is clear that when appointing a conservator, the intended beneficiary is the

conservatee. See e.g. 18-A M.R.S.A. § 5-401(2) (evincing a concern for the disabled individual's

property and affairs); § 5-408-A (focusing on protecting the disabled individual in the event of

an emergency). Recognizing fiduciary duties to individuals other than the conservatee could

give rise to irreconcilable conflicts of interest. See Lamie v. Jf7right, 2014 U.S. Dist. LEXIS

37
93818, *16-17 (W.D. Mich. June 4, 2014); see also Grahl v. Davis, 971 S.W.3d 373, 377-378

(Tenn. 1998).

Moreover, as noted above, the DHHS bond is for the benefit of the ward to whom

DHHS owes its fiduciary duty, not for the benefit of third parties. Assuming the waiver of

sovereign immunity reflected in Article V of the Probate Code is limited to the extent of the

DHHS bond, Ms. Perry lacks standing to claim under the bond. 12

Accordingly, because DHHS's fiduciary duty was to Mr. Dean, not to Ms. Perry,

summary judgment is granted against her claims against DHHS to the extent they are based

on breach of the fiduciary duties imposed by the Maine Probate Code.

The analysis now turns to the Plaintiffs' tort claims outside the Maine Probate Code,

against DHHS and the individual State Defendants.

B. Whether Plaintiffs Complied with the Maine Tort Claims Act's Notice Requirement for
Their Causes of Action Against DHHS and the Individual State Defendants

.Initially, it should be noted that the foregoing analysis of DHHS's sovereign immunity

in light of the Maine Probate Code provisions regarding public conservators does not apply to

the individual State Defendants, because none of them served as public conservator. The tort

claims against them, as well as the tort claims against DHHS that are not rooted in the Maine

Probate Code, must therefore be evaluated under the Maine Tort Claims Act. All of Plaintiffs'

12 There are two further reasons why DHHS is entitled to summary judgment on Ms. Perry's claims.

First, her claims against DHHS for breach of fiduciary duty and for tortious interference with contract
or expectancy are, in fact, tort claims, and thus likely subject to the notice requirements of the Maine
Tort Claims Act. As discussed below, she has not complied with that requirement. Second, she has not
made a prima facie showing in support of either claim for purposes of avoiding summary judgment. Her
breach of fiduciary duty claim fails because DHHS owed her no fiduciary duty. Her tortious
interference claim fails because she has not made a prima facie showing of any intent on the part of
DHHS or any other State Defendant. The tort of interference with contract or expectancy developed as
an intentional tort, and there is no liability for negligent interference with a contract. See
RESTATEMENT (SECOND) OF TORTS§ 766C and cmt. a. Moreover, DHHS had a legal right to sell the
Owls Head property, although whether it needed to is a different question.

38
claims sound in tort except for their causes of action brought pursuant to the Maine Civil

Rights Act and 42 U.S.C. § 1983.

The State Defendants argue that Plaintiffs' tort claims against them are barred because

they did not substantially comply with the notice requirements of the Maine Tort Claims Act.

Under the Act, a plaintiff may not bring a tort claim against the State or its employees unless

the plaintiff substantially complies with certain notice requirements. 14 M.R.S.A. § 8107(4).

Those requirements include filing a notice of claim within 180 days after the cause of action

accrues, unless the plaintiff can show good cause why notice could not have reasonably been

filed within the 180-day limit. 14 M.R.S.A. § 8107(1). For purposes of the Act, "[a]n injured

party's cause of action accrues when the party suffers ajudicially cognizable injury."

McNicholas v. Bic!iford, 612 A.2d 866, 869 (Me. 1992); see also Porter v. Philbrick-Gates, 2000 ME

35, ~ 4 n.2, 745 A.2d 996. "That injury arises when a wrongful act produces an injury for

which the plaintiff is entitled to seekjudicial vindication." McNicholas, 612 A.2d at 869

(quotation omitted).

The notice of claim must contain certain information regarding the claim and, with

respect to claims against the State and State employees, must be filed with the Attorney

General and with the state agency allegedly responsible for the injury. 14 M.R.S.A. § 8107(1)

& s(A). No claim may be brought against the State or its employees pursuant to the Maine

Tort Claims Act unless the plaintiff has "substantially complied" with this notice requirement.

14 M.R.S.A. § 8107(4); see also Peters v. City of Westbrook, 2001 ME 179, ~ 5, 787 A.2d 141

("Plaintiffs who seek to hold a governmental unit and employee liable must first meet a

procedural requirement of notifying the unit of the intention to bring a claim"). "Failure to

comply [with the notice provision] bars the suit." Porter v. Philbrick-Gates, 2000 ME 35, ~ 4,

745 A.2d 996.

39
1. Whether Ms. Peny Substantially Complied with the Maine Tort Claims Act's Notice
Requirements

Initially, it must be noted that Ms. Perry's claim for interference with contract or

expectancy, which is often called tortious interference with contract or expectancy, sounds in

tort, not in contract. See e.g. Morrill v. Morrill, 1998 ME 133, ~ 7, 712 A.2d 1039. Her state

law tort claims-which do not include her Maine Civil Rights Act claim-are thus subject to

the provisions of the Maine Tort Claims Act.

The State Defendants argue that Ms. Perry's tort claims against them accrued on

November 6, 2012, when DHHS locked her out of the Owls Head cottage without sufficient

time to remove her personal property. As a result, Ms. Perry's notice of claim under the Maine

Tort Claims Act was due by May 5, 2013. The State Defendants argue that Ms. Perry did not

file a notice of claim by that date and, in fact, never filed a notice of claim before initiating the

present lawsuit.

Plaintiffs respond that beginning in November 2012, the State Defendants have had

actual notice that Ms. Perry would bring tort claims against them. They also argue that Ms.

Perry's cause of action for interference with contract or expectancy is based on a continuing

harm and is thus subject to a constantly replenishing 180 day limit. In addition, they claim that

Ms. Perry complied with the notice provisions of the Maine Tort Claims Act through: 1) a

November 30, 2012 letter to AAG Greason; 2) a January 10, 2013 petition for emergency

hearing and order relating to the proposed sale of Mr. Dean's Owls Head cottage; 3) a January

14, 201,3 notice of pending litigation recorded in the Knox County Registry of Deeds; and 4)

Ms. Perry's May 10, 2013 affidavit filed in connection with her Complaint and related ex parte

motion for attachment and trustee process.

The State Defendants reply that actual notice of the Plaintiffs' claims combined with a

lack of prejudice does not equate to substantial compliance with the Maine Tort Claims Act's

40
notice requirements. Pepperman v. Barrett, 661 A.2d 1124, 1127 (Me. 1995) (prejudice); Kelly v.

University of Maine, 623 A.2d 169 (Me. 1993) (actual notice). They further argue that the

documents Ms. Perry relies on did not substantially comply with the Act's notice requirements

because they were not sent to the appropriate state agency and Attorney General, and three out

of four of the documents do not suggest that Ms . Perry is asserting a claim against any State

Defendant. Furthermore, they argue that Ms. Perry's affidavit does not describe what claims

she is asserting, what state employees were involved, or what damages she suffered.

Ms. Perry's tort claims against the State Defendants appears to be premised on three

incidents: 1) Ms. Archer's allegedly false representations to the Probate Court on September

5th and 6th of 2012; 2) the eviction of Ms. Perry from the Owls Head cottage by DHHS and

Mr. Vaughan on November 6, 2012; and 3) allegedly false representations by Ms. Archer to the

Probate Court on January 25, 2013. The determination of the exact date on which these claims

accrued, however, is not essential to the court's analysis, because it is clear that Ms. Perry has

never provided notice of her claims in a manner that substantially complied with the Maine

Tort Claims Act.

First, Mr. Jenny's November 30, 2012 letter to AAG Greason did not substantially

comply with the Maine Tort Claims Act's notice provisions because it did not set out the basis

for Ms. Perry's claims. The letter explained Ms. Perry's basis for residing in the Owls Head

cottage and her claim to personal property located therein, but did not discuss the nature of the

alleged injury she suffered or the amount of monetary damages she claimed. (Jenny Aff Ex. B.)

In addition, the letter was not sent to Ms. Archer, the State, DHHS, or the Attorney General.

(Id.; 14 M.R.S.A. § 8107(3).) Instead, it was sent solely to AAG Greason. (Jenny Aff Ex. B.)

Second, the January 10, 2013 Petition fof Emergency Hearing and Order did not

substantially comply with the Maine Tort Claims Act's notice requirements because it did not

41
provide notice of Ms. Perry's suit. (Cardone Aff Ex. A.) Specifically, the Petition does not

contain a statement of the monetary damages claimed or the basis for Ms. Perry's tort claims.

(Id.) In addition, the January 14, 201.3 Notice of Pending Litigation was not sent to the State

Defendants or the Attorney General, does not provide notice that Ms . Perry is bringing claims

against any of the individual State Defendants, and does not state the amount of monetary

damages claimed. (Ex. 54 to Pl.s' A.S.M.F.) Instead, it asserts that Ms. Perry is challenging

DHHS's attempts to sell the Rockland Property because the price sought is below fair market

value. (Id.)

Third, Ms. Perry's May 10, 201.3 affidavit did not substantially comply with the Maine

Tort Claims Act's notice provisions because it was filed at the same time as Ms. Perry's

Complaint. Accepting this affidavit as substantially complying with the Act's notice provisions

would undermine the purpose of the notice requirement, which is "to enable the governmental

entity to investigate and evaluate claims for the purposes of defense or settlement" and to

''allovv governmental entities to avoid needless expense and litigation by providing an

opportunity for amicable resolution of disputes prior to formal litigation. Pepperman v. Barrett,

661 A.2d 1124, 1126 (Me. 1995) (emphasis added).

Even if Ms. Perry's May 10, 201.3 affidavit were filed before she instituted suit, the

affidavit, standing by itself, fails to substantially comply with the Maine Tort Claims Act's

notice provisions. This is because the affidavit does not identify the governmental employees

involved or their addresses. (Ex. A. to Perry Supplemental Aff) The affidavit also fails to

provide a statement of the amount of monetary damages claimed, providing, at most, notice

that Ms. Perry seeks some monetary damages based on the sale of the Owls Head cottage for

less than the tax assessed value. (Id. ~ 24.) Accordingly, summary judgment is granted

against Ms. Perry's tort claims against the State Defendants. Specifically, su~mary judgment

42
is granted against Counts VIII and X of Ms. Perry's First Amended Complaint for abuse of

process against Ms. Archer and Mr. Vaughan, respectively. 13

2. Whether Mr. Dean Substantially Complied with the Maine Tort Claims Act's Notice
Requirements

Mr. Dean filed a notice of tort claim on September 17, 20 IS. (Sproul Aff, ~ ~ S-4 and

Exhibit A thereto.) The State Defendants do not contend that the substance of the notice was

insufficient. Instead, they argue that the notice was untimely. Specifically, they argue that Mr.

Dean's claims accrued on multiple dates, with the latest accruing on January 10, 2013,

requiring notice by July 9, 201.3. Because Mr. Dean did not provide notice of claim until

September 17,201.3, they argue that his claims are untimely.

Plaintiffs respond that Mr. Dean had good cause for not filing the notice until

September 17, 2013. Specifically, they argue a competent conservator and guardian for Mr.

Dean was not appointed until August 1, 2013, and he cannot be deemed to be on notice of the

extent of the State Defendants' alleged wrongdoing until then. Based on the August 1, 201.3

date, Plaintiffs argue that Mr. Dean's notice was timely.

The State Defendants reply that Mr. Dean was appointed independent counsel on

February 15, 201.3 and that DHHS's temporary conservatorship e·xpired on March 6, 2013.

Therefore, at the latest, the tolling of the 180-day notice provision should end on March 6,

2013. In that case, Mr. Dean's deadline for filing a notice of claim was September 2, 2013.

"In order to invoke the exception of good cause, the plaintiff must establish that in some

meaningful way the plaintiff was prevented from learning of the information forming the basis

of the plaintiffs complaint, or that it is specifically factually shown that both the plaintiff and

13
As discussed supra section II(A)(2), the court already granted summary judgment against Ms. Perry's
claims against DHHS for breach of fiduciary duty and interference with contract or expectancy based in
part on her failure to comply with the Maine Tort Claims Act's notice provisions.

43
those adults who could file a claim on the plaintiffs behalf were unable to file a timely notice of

the claim. McNiclwlas, 612 A.2d at 869-870 (citations omitted).

Here, there is at least a genuine issue of material fact as to whether Mr. Dean had good

cause for not filing notice until September 17, 2013. See Beaucage v. City if Rockland, 2000 ME

184, ~ 7, 760 A.2d 1054. This is because it is undisputed that Mr. Dean remained incapacitated

and in need of a conservator after the expiraliou of DHHS's temporary conscrvatorship and at

least until Ms. Vose was appointed conservator on August 1, 2013. (Pl.s' A.S.M.F. ~ 220.)

Furthermore, while Mr. Belisle was appointed as an attorney for Mr. Dean, there is at least a

genuine issue of material fact as to whether Mr. Belisle was generally appointed to represent

Mr. Dean or more specifically appointed to represent him in connection with the petitions for

appointment of conservator and guardian pending as of February 15, 2013. (Ex. D to Cardone

Aff) Accordingly, summary judgment is not warranted against Mr. Dean for failing to

substantially comply with the notice provisions of the Maine Tort Claims Act on the record

presented.

The analysis thus proceeds, as to Mr. Dean's claims only, to the subst~ntive immunity

defenses of the individual State Defendants.

C. Whether Mr. Dean's Tort Claims Against Ms. Archer and Mr. Vaughan are Barred by
Discretionary Function Immunity

The State Defendants argue that DHHS, Ms . Vaughan, and Ms. Archer are entitled to

discretionary function immunity from Mr. Dean's tort claims, and also Ms. Perry's claims. 14

The Plaintiffs respond that Ms. Archer is not entitled to discretionary function immunity

because her appearance in Probate Court to request the appointment of a temporary public

i;. As discussed supra section II(B)( 1), summary j udgment is granted aga inst Ms . P erry's tort claims

against Ms . Archer and Ms. Vaughan for failure to comply with the Maine Tort Claims Act's notice
provisions. According.ly, this section only addresses Mr. D ean's tort claims agajnst Ms. Archer and Mr.
Vaughan.

44
conservator, testimony about the management of Mr. Dean's real estate, and testimony about

the fate of his cat were not reasonably encompassed by her duties as a social worker. Plaintiffs

further respond that Mr. Vaughan is not entitled to immunity because he knowingly made false

statements and acted in bad faith.

The Maine Tort Claims Act immunizes the State and its employees against all claims

resulting from "[p]erforming or failing to perform a discretionary function or duty, whether or

not the discretion is abused ." 14 M .R.S.A. § 8104-B(s); 14 M.R.S.A. § 811 l(l)(C). The absolute

immunity provided for discretionary functions "shall be applicable whenever a discretionary act

is reasonably encompassed by the duties of the governmental employee in question, regardless

of whether the exercise of discretion is specifically authorized by statute . ..." 14 M.R.S.A. §

8111.

As such, a "government employee is entitled to absolute immunity when he or she

performs a discretionary act." Lewis v. Keegan, 2006 ME 93, ~ 14, 903 A.2d 342. "If the action

of the government employee is found to exceed the scope of his or her discretion, that immunity

may not apply. Id. (citing Richards v. Town ofEliot, 2001 ME 132, ~ 32, 780 A.2d 281). "If the

government employee is found to have acted within the scope of his or her discretion, the

absolute immunity provided by the Maine Tort Claims Act will apply 'whether or not the

discretion is abused."' Id. (quoting 14 M.R.S.A. § 8111( 1)(C)). Furthermore, discretionary

function immunity protects governmental employees "from intentional tort claims as long as

their conduct is not so egregious that 'it exceeds as a matter oflaw, the scope of any discretion

[they] could have possessed in [their] official capacity."' Bowen v. Dep't ofHuman Servs., 606

A.2d 1051, 1055 (Me. 1992) (quoting Polley v. Atwell, 581 A.2d 410,414 (Me. 1990)).

Where the duties of the government employee in question are not clear, the court uses a

four-factor test to determine whether discretionary function immunity applies:

45
(1) Does the challenged act, omission, or decision necessarily involve a basic
governmental policy, program or objective? (2) Is the questioned act, omission,
or decision essential to the realization or accomplishment of that policy,
program, or objective as opposed to one which would not change the course or
direction of the policy, program, or objective? (s) Does the act, omission, or
decision require the exercise of basic policy evaluation, judgment, and expertise
on the part of the governmental agency involved? (4) Does the governmental
agency involved possess the requisite constitutional, statutory, or lawful
authority and duty to do or make the challenged act, omission, or decision?

Darling ·u. Augusta Mental Health Institute, 535 A.2d 421, 42n (Me. 1987) (quotation omitted);

Gove v. Carter, 2001 ME 126, ~~ 13-14, 775 A.2d 368; see also Roberts v. Maine, 1999 ME 89, ~

8, 731 A.2d 855. "The first, second, and fourth factors help determine whether the

governmental employee was performing or failing to perform an official 'function or duty."'

Carroll v. City ofPortland, 1999 ME 131, ~ 7, 736 A.2d 279. "The third factor helps determine

whether that function or duty was 'discretionary' in nature, as opposed to merely

'ministerial[.]'" Id. This factor is met when the task at issue "involves the exercise of the

individual employee's professional judgment[.]" Brooks v. Augusta Mental Health Institute, 606

A.2d 789, 791 (Me. 1992).

The Restatement (Second) of Torts describes the purpose of discretionary function

immunity as follows:

The basis of the immunity has been not so much a desire to protect an erring
officer as it has been a recognition of the need of preserving independence of
action without-deterrence or intimidation by the fear of personal liability and
vexatious suits . . .. Tort liability should not be imposed for conduct of a type fo r
which the imposition of liability would substantially impair the effective
performance of a discretionary function.

Darling v. Augusta Mental Health Institute, 535 A.2d at 425 (quoting RESTATEMENT (SECOND) OF

TORTS § 895D cmt. b.

46
1. Whether Ms. Archer is Entitled to Discretionary Function Immunity Against Mr.
Dean's Claim for Intentional Misrepresentat£on

Plaintiffs assert that Ms. Archer's actions were neither discretionary nor reasonably

encompassed within the duties of a social worker. In particular, Plaintiffs point towards the

following alleged actions by Ms. Archer: 1) lying about providing Ms. Perry notice of the

September 6, 2012 hearing; 2) lying about the circumstances giving rise to the so-called

"emergency" at issue in the hearing; s) lying about her intention to sell the Owls Head cottage

for fair market value; 4) stating that there was no suitable private party available to serve as

Mr. Dean's conservator; 5) lying about an appraisal being done on Mr. Dean's Rockland house

that justified attempting to sell it for $65,000; and 6) intentionally misrepresenting facts to the

Rockland Animal Hospital to induce it to euthanize Caterpillar.

Plaintiffs further contend that Ms. Archer had no training or experience with the law,

finance, tax liens, or real estate transactions and had no business preparing a petition for the

appointment of an emergency conservatorship or testifying before the Probate Court. Finally,

Plaintiffs argue that Ms. Archer's actions were outside the bounds of any possible discretionary

function encompassed by the job of a social worker as the law is clear that DHHS may

designate employees to represent the department in Probate Court for requests for emergency

guardianships, not conservatorships. See 22 M.R.S.A. § 3473(3).

22 M.R.S.A. § 3473 provides that the Commissioner ofDHHS "may designate

employees of the department to represent the department in Probate Court in ... [r]equests for

emergency guardianships arising from the need for ... orders necessary to apply for or preserve

an estate in emergency situations." 22 M.R.S.A. § 3473(3)(B). While subsection B expressly

refers to "emergency gLtardianships," it is clear that the legislative intent behind the statute

extends to emergency conservatorships. This is because the statute authorizes employees to

represent DHHS in Probate Court to apply "for orders necessary to apply for or preserve an

47
estate in emergency situations." Id.; see also Dickau v. Vt. Mut. Ins. Co., 2014 ME 158, ~ 23, 107

A.2d 621 ("In short, in interpreting the plain language of the statute, we must take pains to

avoid an overly simplistic or overly broad interpretation of [the statute] that wreaks havoc on,

rather than preserves, the Legislature's intent"). Accordingly, Ms. Archer's September 6, 2012

appearance in the Probate Court was reasonably encompassed by her duties as an employee of

DHHS. 15

As to Ms. Archer's other challenged actions, the court notes that Mr. Dean's claim for

intentional misrepresentation against Ms. Archer is only premised on her alleged

misrepresentations about the lack of a suitable private party to serve as Mr. Dean's conservator

and her alleged misrepresentations to the Rockland Animal Hospital. Both of these actions

clearly constitute the performance of a discretionary function.

Regarding Ms. Archer's alleged misrepresentation to the Probate Court, the statement

was made while Ms. Archer was attempting to have an emergency guardian and conservator

appointed to represent Mr. Dean so that he would not lose his two properties to foreclosure.

(See generaUy Ex.s B & F to Archer Aff.) This action was in furtherance of Article V of the

Probate Code's program for protecting disabled individuals and was essential for appointing

DHHS as conservator. See 18-A M.R.S.A. §§ 5-401-5-432, 5-601-614. Furthermore, as

discussed in the preceding paragraph, Ms. Archer had the authority and duty to appear before

the Probate Court and testify as to whether a suitable private conservator was available. Ms.

Archer's statement involved the exercise ofjudgment as to the availability of a suitable private

conservator and the wisdom of appointing a public conservator. Finally, Mr. Dean has failed to

present any evidence relevant to the detrimental reliance element of an intentional

misrepresentation claim.

is It also bears noting that Ms. Archer filed a petition for emergency appointment ofDHHS as guardian
and conservator for Mr. Dean. (Ex. B to Archer Aff)

48
Similarly, Ms. Archer's alleged misrepresentations about Caterpillar were carried out

while attempting to manage Mr. Dean's estate as authorized by the September 6, 2012 Order.

While the wisdom of Ms. Archer's actions may be debatable, it is clear that they

involved the exercise of professional judgment and discretion. Brooks v. Augu,sta Mental Health

Institute, 606 A.2d 789, 791 (Me. 1992). Furthermore, Mr. Dean has not shown how any of the

alleged misrepresentations, in and of themselves, caused him to act in reliance on them or

caused the injury and loss of which he complains.

Accordingly, summary judgment is granted against Mr. Dean's claim for intentional

misrepresentation against Ms. Archer because she is protected by discretionary function

immunity.

2. Whether Mr. Vaughan is Entitled to Discretionary Function Immunit:y Against Mr.
Dean's Claimfor Conversion

Plaintiffs argue that Mr. Vaughan is not entitled to discretionary function immunity

because he was acting in bad faith and for a constitutionally impermissible purpose when he

acquired possession of Mr. Dean's property and sold it, or allowed Mr. Thistle to sell it,

without any records, inventory or "semblance of a legitimate business transaction."

Specifically, Plaintiffs argue that Mr. Vaughan was only authorized to address the so-called

"emergency" arising out of the potential foreclosure of Mr. Dean's properties. Plaintiffs assert

that Mr. Vaughan was not authorized to liquidate Mr. Dean's estate for his own pecuniary

benefit.

While Plaintiffs have alleged that Mr. Vaughan liquidated Mr. Dean's assets for his own

pecuniary benefit, there is no evidence in the summary judgment record indicating either that

this was Mr. Vaughan's purpose or that he actually obtained any pecuniary benefit from the

alleged liquidation. Accordingly, Mr. Dean has failed to make any showing, much less the

49
required prima facie showing, that Mr. Vaughan was acting for his own pecuniary benefit. See

Dyer v. Dep't. o/Transp., 2008 ME 106, ~ 14,951 A.2d 821.

Given the unsupported basis for Mr. Dean's allegation that Mr. Vaughan acted for his

own pecuniary interest, the only remaining question is whether Mr. Vaughan was performing a

discretionary duty when authorizing and/or participating in the sale of Mr. Dean's personal

property. Although the sale could have been handled more carefully, whether and how to sell

Mr. Dean's personal property were clearly discretionary decisions, and discretionary function

immunity applies even if the employee abused his or her discretion. 14 M.R.S.A. § 8104-B(S);

14 M.R.S.A. § 811 l(l)(C). Mr. Vaughan's decision to sell Mr. Dean's personal property clearly

involved the exercise of professional judgment. Accordingly, the court grants summary

judgment against Mr. Dean's claim for conversion, because Mr. Vaughan is protected by

discre_tionary function immunity.

D. Whether Summary Judgment is Warranted Against Mr. Dean's Tort Claims Against
Attorney Cardone

l. Intentional Misrepresentation Against Attorney Cardone

Mr. Dean claims that Attorney Cardone is liable for making, and allowing Ms. Archer

to make, intentional misrepresentations to the Probate Court at the January 25, 2013 hearing.

The State Defendants argue that an attorney or party's statements made in court during a

pending matter cannot form the basis for a claim of intentional misrepresentation. This is

because the plaintiff cannot be said to have detrimentally relied on said statements. In addition,

the State Defendants argue that Mr. Dean cannot establish that the Probate Court relied on

any particular statements made by Attorney Cardone or Ms. Archer. Finally, the State

Defendants argue that allegations made in pleadings, witness testimony, and statements by

attorneys during and relevant to judicial proceedings are absolutely privileged and cannot form

the basis for civil claims. Plaintiffs respond that because Mr. Dean was incapacitated at the

50
January 25, 2013 hearing and did not have legal counsel, the Probate Court was "in essence"

Mr. Dean.

In order to establish a claim for intentional misrepresentation, the Plaintiffs "must

demonstrate specific facts that create a dispute as to whether defendants made a

misrepresentation of material fact, with knowledge of its falsity or in reckless disregard of

whether it was true or false and as to whether they reasonably relied on the misrepresentations

to their detriment." Barnes v. Zappia, 658 A.2d 1086, 1089 (Me. 1995); see also Francis v. Stinson,

2000 ME 173, ~ 38, 760 A.2d 209 (listing elements of claim for fraud or deceit). "Plaintiffs

must produce evidence that demonstrates that the existence of each element of fraud is 'highly

probable' rather than merely likely." Barnes, 658 A.2d at 1089.

In addition, an attorney's statements in the context of a pleading or judicial proceeding

are absolutely privileged, provided that they are relevant to those proceedings. Hamilton v.

Greenleaf, 677 A.2d 525, 527-528 (Me. 1996) (citing Dineen v. Daughan, 381 A.2d 663, 664-65,

(Me. 1978)). "To avail oneself of the privilege, however, the attorney seeking the protection of

the privilege must have become involved in the representation in good faith." Id.

Here, it is undisputed that Attorney Cardone's alleged misrepresentations were made

during the course ofjudicial proceedings. In addition, there is no evidence indicating that

Attorney Cardone acted in bad faith. Accordingly, Attorney Cardone's alleged

misrepresentations are privileged and cannot serve as the basis for a claim of intentional

misrepresentation. In addition, summary judgment is further warranted because Mr. Dean

cannot demonstrate that he justifiably relied on Attorney Cardone's alleged misrepresentations.

Accordingly, the court grants summary judgment against Mr. Dean's claim for intentional

misrepresentation against Attorney Cardone.

51
2. Breach of Fiduciary Duty Against Attorney Cardone

Mr. Dean asserts that Attorney Cardone breached her fiduciary duty by allowing the

Owls Head cottage to be sold for less than fair market value without Probate Court approval

pursuant to 18-A M.R.S.A. § 5-408(6) and for attempting to prevent and delay the discovery of

water and mold damage to the Rockland house.

The State Defendants argue that summary judgment is warnrnted because Attorney

Cardone did not owe Mr. Dean a fiduciary duty. They argue that Attorney Cardone was hired

to represent DHHS and, it was only to DHHS, that Attorney Cardone owed a duty.

Furthermore, the State Defendants argue that even if Attorney Cardone owed Mr. Dean a

fiduciary duty, she did not violate it because the only information she possessed was that Mr.

Dean was not opposed to the sale of the Owls Head cottage, that the cottage was being sold for

only $11,000 less than an adjusted appraisal, and that the cottage would be foreclosed on if not

sold by February 12, 201S . Plaintiffs respond that under the "multifactor third-party

beneficiary test," Attorney Cardone owed Mr. Dean a duty of care.

Here, even assuming that Attorney Cardone owed Mr. Dean a fiduciary duty of care,

summary judgment is still warranted against Mr. Dean's claim. This is because Attorney

Cardone was under no duty to prevent the sales of the Owls Head cottage. As explained in

greater detail in the court's companion order addressing Mr. Taylor's motion for summary

judgment against Mr. Dean, 18-A M.R.S.A. § 5-408(6) is designed to provide the Probate Court

with discretion about whether to require court approval before completing the sale of a

protected person's property for less than fair market. The facts are undisputed that in this case,

the Probate Court did not make any such finding or impose a requirement for court approval.

Accordingly, Attorney Cardone was under no duty to obtain said approval before proceeding

with the sale of the Owls Head cottage.

52
,,

. In addition, although Mr. Dean alleges that Attorney Cardone was aware of the burst

water pipe at the Rockland house and attempted to delay and/or prevent its discovery, he has

proffered no support for his claim. To the contrary, the only evidence presented indicates that

Attorney Cardone was not aware of the circumstances that caused the water pipe to burst,

including who, if anyone, was responsible. (Cardone Aff. ~ ~ 27-28 .) Indeed, the evidence

demonstrates that it was Ms. Archer, not Attorney Cardone, who implied that the burst water

pipe at the Rockland house was caused by Mr. Dean, not DHHS. (Ex. 55 to Pl.s' A.S.M.F., p.

10.) Accordingly, the court grants summary judgment against Mr. Dean's claim for breach of

fiduciary duty because the only evidence supporting Mr. Dean's claim are conclusory

allegations, improbable inferences, and unsupported speculation. Dyer. v. Dep't. ofTransp., 2008

ME 106, ~ 14,951 A.2d 821.

S. Abuse ofProcess Against Attorney Cardone

Mr. Dean alleges that Attorney Cardone abused a court process by filing a motion to

clarify the Probate Court's January 25,201.3 Order. He claims that the filing of the motion was

designed to promote the sale of the Rockland house before the expiration of the temporary

conservatorship so that DHHS's negligence in maintaining the Property would not be

discovered.

The State Defendants argue that Attorney Cardone's allegedly false statements to the

Probate Court cannot serve as the basis for a cause of action because they are entitled to the

judicial proceedings immunity. Even if the claims weren't barred, the State Defendants argue,

there is nothing to suggest that Attorney Cardone misused any process. To the contrary, she

filed a motion to clarify a previous order. In addition, the State Defendants claim that Plaintiffs

have not pointed to any facts demonstrating an ulterior motive by Attorney Cardone, or that

Attorney Cardone filed the motion to clarify to prevent Mr. Dean or others from learning of

53
the burst water pipe at the Rockland house. Finally, the State Defendants argue that because

DDHS did not sell the Rockland house, the motion to clarify did not result in any delay of Mr.

Dean's ability to discover the burst water pipe.

Plaintiffs respond that Mr. Dean's abuse of process claim must survive because there is

ample evidence that Attorney Cardone lied at the January 25, 2013 hearing in order to prevent

the discovery of the damage caused by the burst water pipe to the Rockland home.

In order to state a cause of action for abuse of process, the plaintiff must demonstrate

that the defendant: 1) initiated or used a court document or process, in a manner not proper in

the regular conduct of proceedings; 2) with the existence of ulterior motive; 3) resulting in

damages to the plaintiff Tanguay v. Asen, 1998 ME 277,

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Source: Frix Law Library, https://www.frixlaw.com/law-library/cases/10811348. Public record. Not legal advice.