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Smart Summary

Factual and Procedural Background

Plaintiff Michaele Lombardi was injured when he fell from a ladder while cutting down a tree on property that defendant James Stout had contracted to buy from the Estate of Freda Von Sothen. At the time, plaintiff was employed by defendant Joseph Facchin, Inc., a general contractor, and had gone onto the property with other Facchin employees, allegedly at Stout's request, to remove the tree. Plaintiff brought this action seeking damages under common law and Labor Law §§ 200 and 240(1). Defendants subsequently filed third-party claims against Facchin.

Plaintiff was approximately 20 feet above ground on a ladder, sawing a branch tied to a rope held by Facchin employees below. Plaintiff alleged the ladder was improperly positioned and unsecured. The employee responsible for holding the rope was inattentive, resulting in the branch striking the ladder and causing plaintiff's fall.

After issue was joined, defendants and third-party defendant moved for summary judgment. The Supreme Court dismissed the action against the Estate but denied summary judgment for Stout and Facchin. The Appellate Division modified the order by dismissing complaints against Stout and Facchin. Defendant Stout conceded he was to be treated as owner for purposes of the action, and the dismissal of the Estate was uncontested.

Legal Issues Presented

  1. Whether plaintiff's claims based on common law and Labor Law § 200 should be dismissed given the facts of the case and the absence of owner supervisory control.
  2. Whether Labor Law § 240(1), which imposes absolute liability on owners and contractors for failure to provide proper safety devices during work on buildings or structures, applies to plaintiff's injury sustained while removing a tree.
  3. Whether the statutory exception for owners of one- and two-family dwellings who contract for but do not direct or control the work applies to defendant Stout.

Arguments of the Parties

Appellant's Arguments (Plaintiff)

  • Plaintiff contended the ladder was improperly positioned and unsecured, creating a dangerous condition for which defendant Stout had actual or constructive notice, as Stout visited the site prior to the accident.
  • Plaintiff argued that the dangerous condition caused the injury rather than the failure of co-workers to hold the rope properly.
  • Plaintiff asserted that the tree removal was part of house construction and site work, thus falling under Labor Law § 240(1) protections.

Respondents' Arguments (Defendants)

  • Defendant Stout argued that the tree was not a "building" or "structure" under Labor Law § 240(1), so the statute did not apply.
  • Stout claimed exemption under the statutory exception for owners of one- and two-family dwellings who contract for but do not direct or control the work, asserting the building was a one-family residence and vacant at the time.
  • Defendants maintained that no supervisory control was exercised by Stout, negating liability under common law and Labor Law § 200.

Table of Precedents Cited

Precedent Rule or Principle Cited For Application by the Court
Allen v Cloutier Constr. Corp., 44 N.Y.2d 290 Codification of common-law duty to provide a reasonably safe workplace under Labor Law § 200. Used to establish that owner liability requires actual or constructive notice and supervisory control, which was absent here.
Persichilli v Triborough Bridge Tunnel Auth., 16 N.Y.2d 136 Owner liability under common law and Labor Law § 200 requires supervisory control. Supported dismissal of claims against Stout under common law and § 200 due to lack of supervisory control.
Zimmer v Chemung County Performing Arts, 65 N.Y.2d 513 Labor Law § 240(1) imposes absolute liability without requiring notice or supervisory control; statute to be liberally construed. Court emphasized the absolute nature of liability under § 240(1) and applied a liberal construction to extend protection to workers involved in construction-related activities including tree removal.
Lewis-Moors v Contel of N Y, 78 N.Y.2d 942 Definition of "building or structure" as "any production or piece of work artificially built up or composed of parts joined together." Used to hold that a tree is not a building or structure, but the court allowed § 240(1) claim to proceed because tree removal was part of construction activities.
Van Amerogen v Donnini, 78 N.Y.2d 880 Exception for owners of one- and two-family dwellings does not apply if house is used for commercial purposes. Court held that Stout's intent to rent the house commercially raised a factual question precluding application of the exemption as a matter of law.
Massie v Crawford, 78 N.Y.2d 516 Burden on party claiming exemption under Labor Law § 240(1) to prove applicability. Applied to place burden on Stout to prove that the one- or two-family dwelling exemption applied.
Valenti v Trunfio, 118 A.D.2d 480, lv dismissed 69 N.Y.2d 661 Application of exemption for owners of one- and two-family dwellings under Labor Law § 240(1). Supported the principle that the exemption is not automatic and depends on the nature of the use and control of the property.
Caddy v Interborough R.T. Co., 195 N.Y. 415 Definition of "building or structure" for purposes of Labor Law § 240(1). Quoted to support the definition distinguishing natural objects from buildings or structures.
Quigley v Thatcher, 207 N.Y. 66 Labor Law § 240(1) to be construed liberally to protect workers. Supported liberal construction of § 240(1) to further worker safety.

Court's Reasoning and Analysis

The court first addressed liability under common law and Labor Law § 200, noting that these require actual or constructive notice of a dangerous condition and supervisory control by the owner. Plaintiff's injury was caused not by a dangerous condition on the premises but by the manner in which the branch was removed, and there was no evidence Stout exercised supervisory control. Therefore, claims under common law and § 200 were properly dismissed.

Regarding Labor Law § 240(1), which imposes absolute liability on owners and contractors for failure to provide suitable safety devices during work on buildings or structures, the court acknowledged that a tree is not a building or structure under the traditional definition. However, the court found that plaintiff presented sufficient evidence that the tree removal was part of the construction and renovation of a house and site work, thereby making § 240(1) applicable. The statute is to be liberally construed to protect workers, and applying it to tree removal related to building renovation is consistent with its purpose.

The court also considered the statutory exemption for owners of one- and two-family dwellings who contract for but do not direct or control the work. Defendant Stout bore the burden to prove this exemption applied. Evidence that the house was being renovated for commercial rental use raised a factual question precluding application of the exemption as a matter of law.

Accordingly, the court modified the Appellate Division's order by reinstating the § 240(1) claim against Stout and his third-party claim against Facchin, remitting the case for further proceedings.

Holding and Implications

The court's final decision was to modify the order of the Appellate Division by dismissing plaintiff's common law and Labor Law § 200 claims but reinstating the cause of action under Labor Law § 240(1) against defendant Stout and his third-party claim against Joseph Facchin, Inc. The case was remitted to the Supreme Court for further proceedings on the pleadings.

The direct effect of this decision is to permit trial on the § 240(1) claim based on the factual circumstances linking the tree removal to construction activities. No new precedent was established beyond the application of existing legal principles to the facts. The court emphasized the liberal construction of § 240(1) to protect workers and clarified the burden on defendants claiming statutory exemptions.

MICHAELE LOMBARDI, Appellant, v. JAMES STOUT, Respondent and Third-Party Plaintiff, and DAVID VON SOTHEN et al., as Executors of FREDA G. VON SOTHEN, Deceased, Respondents and Second Third-Party Plaintiffs. JOSEPH FACCHIN, INC., Third-Party Defendant-Respondent and Second Third-Party Defendant-Respondent.

SIMONS, J.

Plaintiff was injured when he fell from a ladder while cutting down a tree located on property which defendant James Stout had contracted to buy from defendant Estate of Freda Von Sothen. At the time of the accident, plaintiff was employed by defendant Joseph Facchin, Inc., a general contractor, and had gone onto the property with several other employees of Facchin, allegedly at the request of Stout, to remove the tree. He instituted this action seeking to recover damages from defendants on causes of action based on the common law, Labor Law §§ 200 and 240 (1). Defendants subsequently instituted claims over against Facchin as a third-party defendant.

Immediately prior to the accident plaintiff was on a ladder about 20 feet above the ground, sawing a branch of the tree. He contends that the ladder was improperly positioned and not secured and that he was working with no protection. To remove the branch, plaintiff tied one end of a rope to it and dropped the other end down to the Facchin employees below who were to hold the rope tightly so that as the branch was cut it would not hit the ladder. When plaintiff cut through the branch, however, the employee responsible for holding the rope was drinking coffee with Facchin, rather than holding the rope or the ladder. Consequently, the branch swung out and struck the ladder, causing plaintiff to fall to the ground.

After issue was joined, defendants and the third-party defendant moved for summary judgment. Supreme Court dismissed the action against the Estate but denied similar motions by Stout and Facchin. The Appellate Division modified by dismissing the complaints against Stout and Facchin.

Defendant Stout concedes that, as contract-vendee, he is to be treated as the owner of the premises for the purposes of this action. The propriety of the dismissal of the claim against the Estate of Freda Von Sothen is not contested.

We agree with the Appellate Division that plaintiff's claims based on the common law and section 200 of the Labor Law must be dismissed but conclude that plaintiff has established factual questions entitling him to trial on the cause of action based on section 240 (1) of the Labor Law. We therefore modify the order of the Appellate Division.

Liability under Common Law and Labor Law § 200:

Section 200 of the Labor Law is a codification of the common-law duty of a landowner to provide workers with a reasonably safe place to work (see, Allen v Cloutier Constr. Corp., 44 N.Y.2d 290, 299). It is plaintiff's position that a landowner is liable for injuries caused by a dangerous condition on the land if he or she had actual or constructive notice of the condition. He claims that Stout had such notice because he visited the worksite prior to the accident and saw that neither plaintiff nor the ladder were secured. Plaintiff maintains that it was this dangerous condition, and not the fact that his co-workers failed to hold the rope attached to the branch, which resulted in his injuries.

Labor Law § 200 provides: "1. All places to which this chapter applies shall be so constructed, equipped, arranged, operated and conducted as to provide reasonable and adequate protection to the lives, health and safety of all persons employed therein or lawfully frequenting such places. All machinery, equipment, and devices in such places shall be so placed, operated, guarded, and lighted as to provide reasonable and adequate protection to all such persons."

It is settled law that where the alleged defect or dangerous condition arises from the contractor's methods and the owner exercises no supervisory control over the operation, no liability attaches to the owner under the common law or under section 200 of the Labor Law (see, Allen v Cloutier Constr. Corp. 44 N.Y.2d, at 299, supra; Persichilli v Triborough Bridge Tunnel Auth., 16 N.Y.2d 136, 145). Plaintiff's account of the accident establishes that there was no dangerous condition on the premises which caused the accident, but rather that it was caused by the manner in which removal of the branch was undertaken. Moreover, there is no evidence that defendant Stout exercised supervisory control or had any input into how the branch was to be removed. Consequently, the Appellate Division correctly determined that plaintiff could not recover from defendant Stout on either the commonlaw claim or the claim under section 200 of the Labor Law.

Liability Under Labor Law § 240 (1):

Section 240 (1) of the Labor Law requires contractors and owners to furnish or erect suitable devices to protect workers when work is being performed on a building or structure. Liability against the landowner under section 240 (1), in contrast to Labor Law § 200, is absolute and does not require notice of a defect nor the exercise of supervisory control by the owner (see, Zimmer v Chemung County Performing Arts, 65 N.Y.2d 513, 523). Both courts below held that section 240 (1) was not applicable in the present case because the tree was not a building or structure.

Labor Law § 240 (1) provides: "All contractors and owners and their agents, except owners of one and two-family dwellings who contract for but do not direct or control the work, in the erection, demolition, repairing, altering, painting, cleaning or pointing of a building or structure shall furnish or erect, or cause to be furnished or erected for the performance of such labor, scaffolding, hoists, stays, ladders, slings, hangers * * * and other devices which shall be so constructed, placed and operated as to give proper protection to a person so employed."

We have defined a building or structure as "`any production or piece of work artificially built up or composed of parts joined together in some definite manner'" (see, Lewis-Moors v Contel of N Y, 78 N.Y.2d 942, 943 [quoting Caddy v Interborough R.T. Co., 195 N.Y. 415, 420] [emphasis added]). A tree is clearly not a "building" or a "structure" within this definition; it is a product of nature.

Nonetheless, we conclude that plaintiff has submitted sufficient evidence to warrant a trial of his section 240 (1) cause of action in the case before us by presenting evidence that the tree-removal was a part of the house construction and site work for a driveway and parking lot. There is evidence that the tree was located 10 to 15 feet from the house in an area between the house and its adjacent two-car garage and that its branches touched the roofs of both buildings. Plaintiff established prima facie that the tree removal was part of a plan to remodel the house into a two-family building and that, at the time he was working on the tree, scaffolding was placed against the building in preparation for doing so. The tree, it is alleged, was to be removed to make way not only for the construction but also to facilitate paving the driveway of the house and in connection with a parking lot to serve the funeral home of defendant Stout located nearby. Indeed, defendant Stout acknowledges that the removal of the tree was undertaken in connection with "home improvement."

Section 240 is intended to place the ultimate responsibility for building practices on the owner and general contractor in order to protect the workers who are required to be there but who are scarcely in a position to protect themselves from accidents. The statute is to be construed "`as liberally as may be'" to achieve this purpose (see, Zimmer v Chemung County Performing Arts, 65 N.Y.2d 513, 520-521, supra [quoting Quigley v Thatcher, 207 N.Y. 66, 68]). It is well within the intended purposes of the statute to apply its provisions to the tree removal operation performed as part of the house renovations and paving, activities involving a building or structure.

Alternatively, defendant Stout contends that the building is a one- or two-family house and that he is exempt from liability under the statutory exception for "owners of one and two-family dwellings who contract for but do not direct or control the work" (Labor Law § 240). The exception was enacted to protect those people who, lacking business sophistication, would not know or anticipate the need to obtain insurance to cover them against the absolute liability imposed by section 240 (1). It was not intended to insulate from liability owners who use their one- or two-family houses purely for commercial purposes (see, Van Amerogen v Donnini, 78 N.Y.2d 880, 882). In those circumstances, the houses are more accurately considered as commercial enterprises than as one- or two-family houses (see, Van Amerogen v Donnini, 78 N.Y.2d, at 883, supra).

As the party claiming the benefit of the exception, the defendant has the burden to show that it applies here (see, Massie v Crawford, 78 N.Y.2d 516, 519; Valenti v Trunfio, 118 A.D.2d 480, 483, lv dismissed 69 N.Y.2d 661). He maintains that the exception is available as a matter of law because the building located on the premises previously had been a one-family residence and was vacant at the time of the accident. The exception is not applicable, however, if his purpose in making renovations was to prepare the house for commercial rental. Stout has stated that the purpose in renovating the premises included upgrading it for possible future rental and he did, in fact, subsequently rent the house to two families.

Upon the record plaintiff has established a question of fact with respect to Stout's intended use of the property and whether the work was part of the plan to accomplish that use. Therefore, plaintiff's section 240 (1) cause of action against defendant Stout and defendant Stout's third-party claim against defendant Joseph Facchin, Inc. should be reinstated and the case remitted to Supreme Court for further proceedings on the pleadings.

Accordingly, the order of the Appellate Division should be modified, without costs, in accordance with this opinion, and, as so modified, affirmed.

SIMONS, J.

Chief Judge WACHTLER and Judges KAYE, TITONE and HANCOCK, JR., concur with Judge SIMONS; Judge BELLACOSA dissents in part and votes to affirm in a separate opinion; Judge SMITH taking no part.

Order modified, etc.

BELLACOSA, J. (dissenting in part).

I respectfully dissent from the Court's modification and would instead affirm the order of the Appellate Division dismissing the complaint essentially for the pertinent reasons expressed by the majority in that Court. These brief observations are added to explain my difference, which is directed solely at this Court's reinstatement of the absolute liability cause of action rooted in Labor Law § 240 (1) (see, majority opn, at 296).

Over 10 years ago, plaintiff fell off a ladder while he was sawing a branch as part of a tree removal. Since we all agree that "[a] tree is clearly not a `building' or a `structure'" (majority opn, at 295-296) within Labor Law § 240 (1) and our precedents, I believe the judicial inquiry should be at an end, as should this lawsuit after all these years. Instead, the Court promulgates a new rule significantly extending absolute liability for accidents in which work on naturally occurring objects is shown simply to be "part of" construction on a building or structure (majority opn, at 296). This exertion is not interpretation of legislation; rather, it is judicial legislation. It simply erects a new test not previously recognized within the Labor Law § 240 (1) absolute liability sphere.

Liberality of approach in this field is an interpretive nostrum and tool, to be sure, but that approach is not a substitute for rigorous analysis and does not authorize judicial expansion of the classifications of exposure for absolute liability. If trees may now be converted by legal fiction into structures or buildings within Labor Law § 240 by the fertile development of spatial or tactile interrelationships, so, too, inexorably and logically, will thousands of other similarly situated, naturally occurring objects.

The fiscal and precedential implications of this sweeping innovation virtually guarantee triable issues in most Labor Law § 240 absolute liability cases when this exceedingly flexible formula is applied to the widely varying fact patterns that are certain to bloom. Confusion will also be fostered by the Court's analysis with respect to the statutory exception for owners of one- and two-family dwellings in relation to the commercial versus residential classification and the present versus future plans discussion concerning work or renovations on buildings or structures (majority opn, at 297; see, e.g., Van Amerogen v Donnini, 78 N.Y.2d 880; Cannon v Putnam, 76 N.Y.2d 644). I believe there is no justification for extending absolute liability in this fashion and no practical good sense in adding new and seemingly unlimited uncertainties to an already cluttered and complicated legal universe.

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LOMBARDI v. STOUT
(Oct 29, 1992)