SUPERIOR COURT OF NEW JERSEY
APPELLATE DIVISION
A-4765-93T2
PEDRO CALDERON,
Plaintiff-Appellant,
vs.
MACHINENFABRIEK BOLLEGRAAF
APPINGEDAM BV; VAN DYKSee footnote 1
BALER CORPORATION,
distributor,
Defendants-Respondents,
and
ABC COMPANY (name unknown and
thereby fictitious), manufacturer
and/or distributor of baling
machine; XYZ COMPANY (name unknown
and thereby fictitious), installer;
EFG MAINTENANCE COMPANY (name unknown
and thereby fictitious); and ALPHA
PAPER RECYCLING COMPANY,
Defendants.
_______________________________________________
Submitted: November 21, 1995 Decided: December 14, 1995
Before Judges Dreier, Kestin and Cuff.
On appeal from the Superior Court of New
Jersey, Law Division, Hudson County.
Robert M. Schlanger, attorney for appellant
(Mr. Schlanger, of counsel and on the brief).
Daniel K. Newman, attorney for respondents
(Mr. Newman, of counsel and on the brief).
The opinion of the court was delivered by
DREIER, P.J.A.D.
Plaintiff appeals from a judgment dismissing his complaint
following a jury verdict.
As an assistant manager for Alpha Paper Recycling Company in
Jersey City, plaintiff was responsible for the operation of a
sizeable baling and compacting machine manufactured and
distributed by defendants. Plaintiff's arm was amputated when he
reached into the machine to untangle some wire. He assumed that
he could withdraw his arm before four large steel rods would be
activated and move through the area. Following defendants'
motion for an involuntary dismissal, the trial judge dismissed
both plaintiff's allegations of a design defect and plaintiff's
claims based upon service visits by the distributor. The case
was submitted to the jury solely on the issue of a warning
defect. The jury determined by a five to one vote that the
warnings were inadequate, but further decided by unanimous vote
that the inadequate warnings had not been a proximate cause of
plaintiff's injuries.
The baling machine had been sold to Alpha Paper Recycling
Company in 1986 by the manufacturer's distributor, defendant Van
Dyk Baler Corporation. The employer was supplied with an
operations manual that contained a section on safety. The
machine, manufactured in the Netherlands by defendant
Machinenfabriek Bollegraaf Appingedam BV (Bollegraaf), was
twenty-two feet high, forty feet long and eight feet wide. Paper
was fed into the machine by a conveyor eighty feet long and eight
feet wide. The machine and conveyor were placed over two pits,
one for the conveyor and a smaller one, three feet by six feet,
for the needle area. The "needles" were actually four heavy
steel rods, each having a circumference of two and one-half
inches. The needles were placed ten inches apart and rode up and
down.
When the distributor was called in from time-to-time to
service the machine, the servicing personnel worked from the top
of the machine or in the pits. There were, however, two small
access doors on either side of the machine that provided a line
of sight into the needle area. The photographs show these doors
approximately two feet above the base of the machine, and
testimony indicated that each door was approximately four inches
high and ten inches wide. A "Caution" sign was located
approximately a foot and a half below each door.See footnote 2 When one
examined the machine from the top or the side, the view of the
access doors was obstructed by other parts of the machine. At
the time the machine was manufactured and delivered, the access
doors were covered by a heavy metal grate with an interlock that
shut down the needle assembly whenever the grate was lifted.
The machine received heavy use, and the wires in the needle
assembly regularly became tangled. Alpha's management removed
the safety grates on the access doors approximately two years
before this accident. Since there was an interlock shut-off on
the metal grates, Alpha did not merely remove the grates, because
this would have activated the interlock and prevented operation
of the machine. Using blow torches, grinders, and precision
instruments, Alpha cut away all of the grate except the small
portion that triggered the interlock. A small strip of metal
remained in contact with the bottom of the access door, thus
effectively nullifying the manufacturer's safety device.
Employees could then reach into the machine and straighten the
wires without having the machine automatically shut down.
Van Dyk and Alpha had no maintenance contract. A
maintenance and servicing agreement had been offered to Alpha
whereby Van Dyk's employees would have regularly inspected the
machine, including an inspection for safety defects, but it was
expressly refused by the employer. Van Dyk therefore serviced
the machine on an on-call and as-needed basis. Since the
purchase of the machine, Van Dyk's employees had worked on its
various parts on more than twenty occasions, but there was no
direct evidence that a Van Dyk employee had ever seen the
condition of the access door on any of these service calls.
Plaintiff's expert, however, found it incredible that someone who
had worked on the top of the machine or down in the pit beneath
the machine would not have seen the missing safety grate.
At the time of the January 8, 1990 accident, plaintiff was
working on the machine. The plant manager and shift foreman had
previously shown plaintiff how to untangle the wires in the
machine. Plaintiff measured his safety margin for reaching into
the machine by reference to a digital counter or "clock" which
depicted the length of the paper being baled at the time. Each
number on the clock represented approximately five inches of
paper moving through the machine. From his experience, he could
put his hand in the machine when the meter registered five and
have sufficient time to untangle the wires before the meter
registered thirteen (approximately equivalent to a forty-inch
bale), at which time the needles would rapidly descend. On the
day of the accident and about fifteen minutes before the end of
his twelve-hour shift, plaintiff's past experience with the clock
failed to protect him, and his hand and arm were pinned by the
machine.
Plaintiff most probably was aware that the needle area was
not designed to be serviced while the machine was running. On
occasion plaintiff had started the machine from the control panel
which bore a sign reading "DANGER. HIGH VOLTAGE. Turn switch
handle to off position and padlock before performing any
maintenance." But Alpha was portrayed at the trial as a poor
employer,See footnote 3 and even defense experts admitted that plaintiff
probably would have been fired for refusing to service the
machine while it was still running. In 1993, plaintiff was laid
off by Alpha and remained unemployed at the time of the April
1994 trial.
Plaintiff has not challenged the dismissal of the design
defect claims against the manufacturer, but asserts that the
manufacturer's warnings were inadequate. He further claims that
Van Dyk, as the servicing distributor, had an independent duty to
warn Alpha concerning the dangers of the missing safety grate.
Plaintiff's expert had testified that Van Dyk's "failure to
communicate the danger associated with the machine" as well as
the inadequacies of the warnings were proximate causes of
plaintiff's injury.
The trial judge determined, however, that in view of the
relationship between Van Dyk and Alpha, which called for no
safety inspections, and Alpha's specific rejection of a general
servicing and inspection agreement, Van Dyk had no responsibility
to perform more than the specific services which were ordered
periodically. Peter Van Dyk had worked on the machine in the
past and on at least one occasion had seen a specific safety
problem, and had informed plaintiff's employer. On that occasion
he sent Alpha a certified letter decrying a dangerous practice
with the conveyor which he had observed during a service call.See footnote 4
There was no showing, however, that Alpha either considered Van
Dyk's service calls to be safety inspections or even desired such
inspections. In fact, Alpha's active effort to thwart the safety
device on the grates belies any thought that Van Dyk's
reiteration of the purpose of the safety grate would have changed
Alpha's practices. Its actions are compelling evidence to the
contrary. Taking these facts into consideration, the judge ruled
as a matter of law that there was no duty owed by the servicer to
the employees.
The court recognized that this case was governed by the 1987
Products Liability Act, N.J.S.A. 2A:58C-1 et seq., and that the
substantial changes to the access grates protected the
manufacturer from a design defect claim under Brown v. United
States Stove Co.,
98 N.J. 155, 167 (1984), and McDermott v.
TENDUN Contr.,
211 N.J. Super. 196, 210 (App. Div.), certif.
denied,
107 N.J. 43 (1986). The judge supported his dismissal of
the failure to warn claims against Van Dyk as a servicing company
by reference to Seeley v. Cincinnati Shaper Co., Ltd.,
256 N.J.
Super. 1 (App. Div.), certif. denied,
130 N.J. 598 (1992). He
explained the deficiencies in plaintiff's proofs:
There is, for example, no evidence that the
service people actually saw the machine in
operation; no evidence that they were trained
as safety experts; no evidence that they were
present at Alpha as safety inspectors; no
evidence that they were viewed by Alpha as
safety inspectors; no evidence, indeed
evidence to the contrary based on the
repetition of the conveyor belt incident
after there had been warnings given by Van
Dyk, both at the time of the visit and by
subsequent letter, that Alpha relied upon
their analysis in terms of their continuing
their operation in any way; and no evidence
that they assumed such responsibility for
insuring the safety of the operation of the
machine.
As noted earlier, the court determined that the facts made out a
prima facie case solely for a warning defect and submitted that
one issue to the jury.
Plaintiff first argues that Van Dyk had a duty to warn of
dangers of which it became aware during post-sale service calls,
and therefore, Van Dyk's motion to dismiss at the close of the
plaintiff's case should not have been granted. Plaintiff
contends that Van Dyk or its personnel must have been aware of
the alteration of the machine. Some of the twenty to twenty-five
service visits involved repairs or replacement of the "needles"
themselves, necessarily placing servicing personnel within five
feet of the missing safety grates. In his testimony, Peter Van
Dyk did not minimize the services he intended to render when
called to service a machine. He stated that there was a policy
for all service employees who work on machines:
[A]s soon as they notice something dangerous
on the machine, like a door being cut off or
something like that, they have to correct the
problem, if possible; and they have to
immediately notify us. And we immediately
send out, same day, a certified letter to
that particular client that that happened at.
He further stated that if he had known the doors were missing,
"we would have -- well as I said, immediately sent a certified
letter and try to correct the problem. We would have probably
also called the client ...." Plaintiff contends that these facts
as well as plaintiff's expert's testimony provided the foundation
for submission of this issue to the jury.
In great detail, plaintiff has distinguished Van Dyk's
activities from those of the manufacturer's representative in
Seeley v. Cincinnati Shaper, supra. We noted in Seeley that the
representative had not been a safety inspector, but had merely
been paying a courtesy call as a result of the employer's request
for information. While at the plant, the representative had
given the employer additional safety information, but had not
inspected the machine in any way, other than to notice that there
had been substantial alterations. Id. at 11-17. We noted that
the representative's visit to the plant would have entailed
responsibility for the manufacturer only if he "had the duty to
inspect the press brake for safety defects and warn [the
employer] concerning them[;] then [the manufacturer] can be
responsible for the breach of such a duty" because neither
inspection nor warning issued from the visit. 256 N.J. Super. at
17.
Likewise in Lally v. Printing Machinery Sales & Serv. Co.,
240 N.J. Super. 181, 187 (App. Div. 1990), we emphasized the
distinction between the duties of those who manufacture or
rebuild a machine and those who only maintain or repair them.
Id. at 184. We stated:
[W]here a claim is made against other than a
manufacturer or rebuilder, even though there
may be some duty to inspect the machine, no
liability is imposed for the failure to
provide a safety device or warn the user....
In such a case liability may be imposed only
if the service itself is negligently
performed, the parts provided are themselves
defective, or another basis for liability
exists.... It would be highly unfair if an
auto mechanic who changes a flat tire, thus
enabling an incapacitated automobile to be
used, becomes responsible for warning of the
lack of all safety devices relating to the
wheel on which he was working, or even to the
car as a whole.
[Id. at 186-187 (citations omitted).]
Given this precedent, Van Dyk could be liable under a warning theory only if it had assumed some special duty towards the employer. In Seeley, there had been no "showing that [the employer] viewed [the representative] as a safety inspector and relied upon his analysis in continuing to fail to provide safety devices; nor that [the representative] assumed such responsibility by any act or deed." Id. at 18-19. In our case, however, there was the evidence just summarized that Van Dyk assumed some safety role. It appears that Peter Van Dyk recognized a broader duty to advise Alpha than his company was contractually bound to perform. There also is some slight evidence that Alpha viewed Van Dyk as a safety inspector, namely the one occasion when Alpha took Van Dyk's advice, and placed a safety cable over the conveyor. But these actions certainly did not thereafter make Van Dyk the insurer of the employees' safety when using the machine. At the very most, Van Dyk could possibly be found to have obligated itself to notify Alpha of problems that Van Dyk or its employees recognized or should have recognized. The judge nevertheless determined that Van Dyk could not be liable based on its service visits. A jury, however, might have found that Van Dyk had assumed an obligation to warn Alpha. The dismissal of the claim against Van Dyk Baler Corporation on the basis of a lack of duty to warn was therefore
error.
The breach of this duty to warn, however, was too slim a
reed on which to base liability against Van Dyk and, therefore
the error was harmless. Even if the jury assumed that Peter Van
Dyk or an employee noticed or should have noticed that the safety
grates had been cut away the jury was not required also to assume
that Alpha would have heeded the warning.
There is no question that there is a heeding presumption in
effect in New Jersey. Coffman v. Keene Corp.,
133 N.J. 581, 603
(1993). Absent contrary evidence, there would have been a
presumption that Alpha would have followed Van Dyk's warnings,
had they been given. In this case, however, we have the evidence
that the original interlocked grates which would have shut down
the machine were painstakingly removed by Alpha so that the
machine could be kept running during servicing. Further, all
parties acknowledged that plaintiff's employer required him to
untangle the wires while the machine was running. The undisputed
facts of this case strongly rebut the presumed fact, thus
abrogating the presumption. N.J.R.E. 301.
If a presumption is rebutted, N.J.R.E. 301 requires that the
jury still be permitted to decide the issue.
If evidence is introduced tending to
disprove the presumed fact, the issue shall
be submitted to the trier of fact for
determination unless the evidence is such
that reasonable persons would not differ as
to the existence or nonexistence of the
presumed fact. If no evidence tending to
disprove the presumed fact is presented, the
presumed fact shall be deemed established if
the basic fact is found or otherwise
established. The burden of persuasion as to
the proof or disproof of the presumed fact
does not shift to the party against whom the
presumption is directed unless otherwise
required by law. Nothing in this rule shall
preclude the judge from commenting on
inferences that may be drawn from the
evidence.
[Emphasis added.]
The Supreme Court Committee comment further explains:
The principle is that a valid presumption can
be used to establish a prima facie case, but
the presumption normally disappears in the
face of conflicting evidence. Nevertheless,
any logical inference which can be drawn from
the basic fact remains. Thus, the rule
provides that the trial judge is not
precluded from commenting on inferences that
may be drawn from the evidence, even when
conflicting evidence is presented. Note also
that under Rule 301 the burden of persuasion
is not shifted to a party against whom the
presumption operates.
While generally the natural inferences underlying a presumption
will warrant giving the issue to the jury, with appropriate
comments by the court, N.J.R.E. 301 recognizes that there are
exceptional cases. Where "reasonable persons would not differ as
to the existence of the presumed fact," the issue need not be
presented to the jury. N.J.R.E. 301.
We do not believe that a reasonable jury in this case could
have determined that even a certified letter from Van Dyk
explaining that the grates should be reinstalled would have been
followed by Alpha. See Coffman v. Keene Corp., supra, 133 N.J.
at 607-608.
[I]n a given case, the defendant may be
able to establish that the employer's
conduct, not the failure to warn, was the
cause in fact of the injuries attributable to
the harmful product. An employer's conduct,
in ... intentionally preventing employees
from heeding a warning, may be a subsequent
supervening cause of an employee's injury
that will serve to break the chain of
causation between manufacturer and employee.
See Brown v. United States Stove,
98 N.J. 155, 171-75,
484 A.2d 1234 (1984). Thus, if
an employer's subsequent course of misconduct
is an independent cause of an employee's
injury, the absence of a warning itself may
have too remote a causal connection to the
injury. Id. at 174,
484 A.2d 1234.
[Id. at 608.]
This jury clearly rejected a similar conclusion when it found the
failure to warn not to be a proximate cause of the accident.
We articulate this conclusion because we acknowledge that
there is some evidence in this case which, building inference
upon inference upon inference could engender responsibility by
Van Dyk. Such a conclusion would first require a jury to
determine that the single incident years before caused Alpha to
rely upon Van Dyk's safety suggestions, even though the employer
had turned down inspection agreements and Van Dyk had never
inspected the machine for safety. A jury then would have to find
that although there was no direct evidence that Van Dyk or any of
his employees had ever noticed the missing grates, one of them
actually did see, or should have seen them, and recognized the
danger (as opposed to assuming that the grate was open rather
than removed). This is as far as the jury could have accepted
plaintiff's theory based upon the proofs. For plaintiff to
prevail the jury would then have to have applied the heeding
presumption or its underlying inference and determined that Alpha
would have abandoned its long-standing policy of requiring
employees to service the machine while running. If it followed
Van Dyk's suggestion, had it been made, Alpha would have had to
authorize the workers to stop production each time the wires had
to be untangled. Only if a jury continued this chain of
inferences, in the face of strong and unrebutted evidence to the
contrary, could liability have been imposed upon Van Dyk.
To reverse on such a factual issue would fly in the face of
the policy of the Supreme Court expressed in Brill v. Guardian
Life Ins. Co. of Am.,
142 N.J. 520 (1995), applicable to summary
judgment motions. If the transactional costs of litigation are
to be held in check, such attenuated theories of liability should
not force parties to continue litigation that is over in all
reasonable respects. Brill refocused the summary judgment
procedure towards that employed for directed verdicts under R.
4:37-2(b) which permits a weighing of evidence to determine if a
genuine issue of material fact exists. Id. at 535-540. Justice
Coleman, citing to the federal standards for summary judgment,
noted:
Of course, there is in this process a kind of
weighing that involves a type of evaluation,
analysis and sifting of evidential materials.
This process, however, is not the same kind
of weighing that a factfinder (judge or jury)
engages in when assessing the preponderance
or credibility of evidence. On a motion for
summary judgment the court must grant all the
favorable inferences to the non-movant. But
the ultimate factfinder may pick and choose
inferences from the evidence to the extent
that "a miscarriage of justice under the law"
is not created. R. 4:49-1(a).
[Id. at 536.]
When we view the record before us in light of the standards of
Brill, it is clear that there was no genuine issue of material
fact concerning Van Dyk's liability.
We further note that the warning defect claim against the
manufacturer was properly given to the jury. Again, the heeding
presumption was not charged, as it should have been, with respect
to the manufacturer's warnings provided to Alpha's employees.
Yet as noted earlier, it would also be difficult to say on these
facts that plaintiff should have been presumed to have heeded the
warnings, had the manufacturer given them. This proposition,
much the same as the presumption that the employer would have
heeded Van Dyk's warnings, is rebutted by the facts of the case.
Plaintiff knew that his job was dependent upon servicing the
machine while it was running. The access area could have been
covered with warnings, but it is clear that plaintiff would still
have attempted to untangle the wires. After hearing all the
facts, the jury determined specifically that the lack of warnings
was not a proximate cause of plaintiff's injury. "It is
unreasonable to assume that an employee would leave his or her
position once apprised of certain safety hazards when such
hazards are not rectified by the employer." Coffman v. Keene
Corp., supra, 133 N.J. at 605. "Evidence that a plaintiff would
have disregarded an adequate warning would tend to demonstrate
that the plaintiff's conduct, rather than the absence of a
warning, was the cause in fact of the resultant injury." Id. at
604. We see only harmless error here. R. 2:10-2.
Furthermore, plaintiff's own testimony also provided
sufficient facts to show that he knew of the danger of the
descending needles and that he relied upon the "clock." There is
no showing that the manufacturer knew that the users of the
machine relied upon the clock, especially since the manufacturer
had provided interlocked grates to prevent an injury of this type
from happening. Notwithstanding the thousands of times that the
clock had been accurate, on this occasion either plaintiff
misread the numbers, the machine malfunctioned, or the
relationship of the activation of the needles and the numbers of
the clock was not based upon proper principles. There is no
evidence concerning this issue, and we cannot presume a warning
defect caused the injury. As plaintiff appreciated the dangers
of the descending needles at the very moment he inserted his arm,
the inadequate warnings could not have been a proximate cause of
his injury. Fabian v. Minster Machine Co.,
258 N.J. Super. 261,
280 (App. Div.), certif. denied,
130 N.J. 598 (1992); Vallillo v.
Muskin Corp.,
212 N.J. Super. 155, 159-160 (App. Div. 1986),
certif. denied,
111 N.J. 624 (1988).
Although plaintiff also contends that the trial judge's
instructions concerning the adequacy of warnings was erroneous,
we need not analyze this issue. Since plaintiff prevailed on
this point, the issue is moot.
Although the theory was not propounded by the plaintiff, the
facts of this case might also have raised the issue of whether an
employer's removal of a safety device rises to the level of an intentional wrong, thereby triggering the statutory exception to the Workers' Compensation Act in N.J.S.A. 34:15-8. Severe inequities are visited upon workers by the actions of their employers in removing, disconnecting, refusing to install, or otherwise thwarting safety devices that are provided to protect the users of industrial machinery. Such employees are generally left to the inadequate remedies of workers' compensation, virtually sacrificed on the alter of production quotas with no downside risk to the employer.See footnote 5 We cannot here pass upon such a claim, but we could envision liability on the part of a corporation whose management personnel or other employees have removed safety devices so that the risk is raised to such a high level that it is practically certain that some employee would be injured. Millison v. E.I. duPont DeNemours & Co., 101 N.J. 161,
185-186 (1985).
In Millison, the Supreme Court discussed this issue in a
different context, but noted that the "intentional wrong"
analysis is to be governed by a "substantial certainty" standard.
Id. at 178. The Court stated that the Workers' Compensation Act
"is not circumvented simply because a known risk later blossoms
into reality. We must demand a virtual certainty." Ibid.
"Intentional wrong" includes a subjective desire to injure, but
permits evidence of the actor's substantial certainty that
injurious consequences will result from his action as proof of a
desire to injure. Ibid. We can only suggest that, in the
appropriate case, facts such as those in the case before us might
be placed before a jury under a thesis that the removal of a
safety device constitutes an intentional wrong when the employer
knows there is a substantial certainty that a worker will be
severely injured.
On the issues that properly survived for consideration by
the jury, there is no question that the jury's exoneration of
defendants was based upon a sound analysis of the facts after a
correct exposition of the relevant law by the trial judge. The
judgment rendered on the verdict is affirmed.
Footnote: 1We have adopted Van Dyk Baler Corporation's attorney's
spelling of Van Dyk, rather than the original caption's spelling
of "Van Dyke."
Footnote: 2There were actually ten such signs on the machine at
various points when the machine was originally installed. Some
of them carried additional warnings such as "Danger, keep away,"
which was the sign posted on the needle assembly.
Footnote: 3The plant was described as filthy, with a caved in roof and
the owner using a bull horn to exhort the workers to increase
production.
Footnote: 4He had suggested that a safety cable be placed over the
machine which would act as a cut off, and Alpha authorized the
placement of this cable for a $750 charge.
Footnote: 5The employer's exoneration from paying full damages for
removing or failing to install safety devices is somewhat ironic
when one considers N.J.S.A. 34:15-7, which properly deprives an
employee of workers' compensation benefits where the injury or
death is intentionally self-inflicted or where the employee is
intoxicated or under the influence of drugs. Compensation is
also withheld if there has been a "willful failure to make use of
a reasonable and proper personal protective device or devices
furnished by the employer, which has or have been clearly made a
requirement of the employee's employment by the employer and
uniformly enforced and which the employer can properly document
that despite repeated warnings, the employee has willfully failed
to properly and effectively utilize." Ibid. Thus, if an
employee is blinded after repeatedly failing to use safety
goggles, his blindness goes uncompensated. Yet if the employer
cuts away a heavy metal safety grate and requires that the
employee place his hand in the potential path of descending
spikes, the employer's protections remain intact. We must
question the justice of this latter proposition.