Cole v. Mandell Food Stores, Inc., 710 N.E.2d 244 (N.Y. 1999). · Go Syfert
Cole v. Mandell Food Stores, Inc., 710 N.E.2d 244 (N.Y. 1999). Cases Citing This Book View Copy Cite
Quick Summary

A plaintiff is precluded from asserting an exemption to the statutory limitation on noneconomic damages on appeal if they fail to plead the exemption or seek leave to amend.

In a personal injury action, a plaintiff injured by a falling security gate failed to plead an exemption to the statutory limitation on noneconomic damages for defendants with less than fifty percent fault. The question presented is whether a plaintiff may assert such an exemption for the first time on appeal without having previously pleaded it or sought leave to amend. The court applies the rule that the primary function of a pleading is to apprise an adverse party of the claim and prevent surprise. Because the plaintiff did not provide notice during the trial, the court holds that the plaintiff is barred from raising the exemption on appeal and affirms the limitation of liability.

69 citation events (62 in the last 25 years) across 12 distinct courts.
Treatment trajectory · 1999 → 2026 · click a year to view as-of
1999 2012 2026
Cited for
93 N.Y.2d at 40 Requirement of pleading notice to prevent surprise21 citing cases“the primary function of a pleading is to apprise an adverse party of the pleader's claim”8 citing courts quote it · 19 listed here
  • Wang, No. 1:25-cv-02236 (E.D.N.Y. Aug. 14, 2026).
    Archdiocese of N.Y., 117 N.Y.S.3d 468 (Sup. Ct. 2019) (“It is elementary that the primary function of a pleading is to apprise an adverse party of the pleader’s claim . . . [a]bsent such notice, a defendant is prejudiced by its inability t…
  • Shaughnessey v. Relyea, 248 A.D.3d 1366 (N.Y. App. Div. 3d Dep't 2026).published
    Ultimately, "the primary function of a pleading is to apprise an adverse party of the pleader's claim" (<i>12 Baker Hill Rd., Inc. v Miranti</i>, 130 AD3d at 1426 [internal quotation marks and citation omitted]; <i>see Cole v Mandell Food…
  • Town of Petersburgh v. 3M Co., 2026 NY Slip Op 50392(U) (N.Y. Sup. Rensselaer 2026).unpublished 2 cites
    Nevertheless, the purpose of a pleading "is to apprise an adverse party of the pleader's claim" ( Cole v Mandell Food Stores , 93 NY2d 34, 40 [1999]), and Third-Party Plaintiffs correctly note the Third Department has previously determined…
  • Jane Doe v. Combs, 2025 NY Slip Op 32907(U) (N.Y. Sup. Ct., New York Cty. 2025).unpublished
    In addition, while "[i]t is elementary that the primary function of a pleading is to apprise an adverse party of the pleader's claim,'' the same does not necessarily apply to a pleader's name (Cole v. Mandell Food Stores, Inc., 93 NY2d 34,…
  • Doe v. Heath, 2025 NY Slip Op 31716(U) (N.Y. Sup. Ct., New York Cty. 2025).unpublished
    In addition, while "[i]t is elementary that the primary function of a pleading is to apprise an adverse party of the pleader's claim", the same does not necessarily apply to a pleader's name (Cole v. Jvfandell Food Stores, Inc., 93 NY2d 34…
  • Doe v. Archdiocese of N.Y., 2025 NY Slip Op 50338(U) (N.Y. Sup. Ct., New York Cty. 2025).unpublished 2 cites
    In addition, while "[i]t is elementary that the primary function of a pleading is to apprise an adverse party of the pleader's claim", the same does not necessarily apply to a pleader's name ( Cole v. Mandell Food Stores, Inc. , 93 NY2d 34…
  • Matter of Goodyear v. New York State Dept. of Health, 2018 NY Slip Op 5094 (N.Y. App. Div. 4th Dep't 2018).published
    "It is well settled that the primary function of a pleading is to apprise an adverse party of the pleader's claim' " ( 12 Baker Hill Rd., Inc. v Miranti , 130 AD3d 1425 , 1426 [3d Dept 2015], quoting Cole v Mandell Food Stores , 93 NY2d 34…
  • 12 Baker Hill Road, Inc. v. Miranti, 130 A.D.3d 1425 (N.Y. App. Div. 3d Dep't 2015).published 2 cites
    It is well settled that “the primary function of a pleading is to apprise an adverse party of the pleader’s claim” (Cole v Mandell Food Stores, 93 NY2d 34, 40 [1999]).
  • Reynolds, Robert a. v. Ferrante, D.c., Christopher S., 107 A.D.3d 1424 (N.Y. App. Div. 4th Dep't 2013).published
    It is well settled that “the primary function of a pleading is to apprise an adverse party of the pleaders claim . . . and to prevent surprise” (Cole v Mandell Food Stores, 93 NY2d 34, 40 [1999]; see CPLR 3013).
  • Pamela N. v. Neil N., 93 A.D.3d 1107 (N.Y. App. Div. 3d Dep't 2012).published
    Mindful that in this civil proceeding “the primary function of a pleading is to apprise an adverse party of the pleader’s claim” (Cole v Mandell Food Stores, 93 NY2d 34, 40 [1999]), and .that a CPLR 3211 (a) (7) motion to dismiss turns on…
Show 9 more citing cases
  • Roberts v. Borg, 83 A.D.3d 947 (N.Y. App. Div. 2d Dep't 2011).published
    Although a court may grant relief “whether or not demanded” in the pleadings (CPLR 3017 [a]), under the circumstances presented in this case, Borg was prejudiced by the court’s decision to entertain the administrator’s argument, raised for…
  • Roberts v. Borg, 74 A.D.3d 1349 (N.Y. App. Div. 2d Dep't 2010).published
    Although a court may grant relief “whether or not demanded” in the pleadings (CPLR 3017 [a]), under the circumstances presented in this case, Borg was prejudiced by the court’s decision to entertain the administrator’s argument, raised for…
  • Devore v. Pfizer Inc., 58 A.D.3d 138 (N.Y. App. Div. 1st Dep't 2008).published
    Even though under Desiano plaintiffs may not have had reason to plead fraud in the FDA approval process before defendant raised the Michigan statute’s immunity defense, that defense was raised in the underlying motions, and plaintiffs fail…
  • New Dimension Solutions, Inc. v. Spearhead Sys. Consultants (US), Ltd., 28 A.D.3d 260 (N.Y. App. Div. 1st Dep't 2006).published
    Accordingly, although a complaint should be liberally construed on a motion to dismiss for failure to state a cause of action (CPLR 3026), and plaintiffs are entitled to every favorable inference, this complaint does not sufficiently appri…
  • Carmen C. v. Arthur G., 2006 NY Slip Op 50539(U) (N.Y. Fam. Ct., Queens Cty. 2006).unpublished
    It has been observed that, in a civil proceeding, "the primary function of a pleading is to apprise an adverse party of the pleader's claim" ( Cole v. Mandell Food Stores Inc. , 93 NY2d 34, 40), and upon a motion to dismiss for failure to…
  • Mastroianni v. Cnty. of Suffolk, 184 Misc. 2d 125 (N.Y. Sup. Ct. 2000).published
    Judge Ciparick acknowledged that leave to amend pleadings is liberally granted, but observed that as the Court of Appeals stated in Cole v Mandell Food Stores ( 93 NY2d 34, 40 [1999]), “‘a defendant potentially subject to the weight of ful…
  • Jones v. Madison Plaza Com. Owners LLC, 173 A.D.3d 599 (N.Y. App. Div. 1st Dep't 2019).published
    Plaintiff's failure to redraft the complaint in strict compliance with court's October 18, 2017 order did not prejudice the parties or the court and it was not a basis for dismissal of the pleading (CPLR 3013; see Cole v Mandell Food Store…
  • Victoria T. Enter., Inc. v. Charmer Indus., Inc., 63 A.D.3d 1698 (N.Y. App. Div. 4th Dep't 2009).published
    The majority of the allegations in the amended complaint contain no more than a vague and conclusory repetition of the statutory language without reference to date, time or place, and thus the allegations are insufficiently particular to s…
  • 150 E. Third St LLC v. Ryan, 71 Misc. 3d 1 (N.Y. App. Term. 2021).published
    Under the circumstances the trial court should not have considered tenants' belated contention of fraud, which was raised for the first time in tenants' posttrial motion ( see Matter of Roberts v Borg , 83 AD3d 947, 949 [2011]; see also Co…
93 N.Y.2d at 39 Pleading and proving exceptions to liability limitations7 citing cases“in keeping with the liberal rules of CPLR 3025, courts have generally permitted plaintiffs to amend the pleadings at various points throughout an action in order to comply with CPLR 1603”1 citing court quotes it · 6 listed here
  • Matter of Emmanuel B. (Lynette J.), 2019 NY Slip Op 5640 (N.Y. App. Div. 1st Dep't 2019).published 2 cites
    Based on the plain language of Article III of the ICPC, the conditions for placement were expressly aimed at placements in foster care or adoptive settings. "[C]ourts are obligated to construe the statute so as to give effect to the plain…
  • Rafaelova v. City of New York, 25 A.D.3d 442 (N.Y. App. Div. 1st Dep't 2006).published
    The motion was properly denied since plaintiff did not plead an exception to CPLR 1601, which operates to limit defendants’ liability to their respective equitable shares of fault, and never sought leave to amend her pleadings to include s…
  • Martinez v. Royal-Pak Sys., 6 A.D.3d 297 (N.Y. App. Div. 1st Dep't 2004).published
    The motion was properly denied where plaintiff did not plead an exception to CPLR 1601 limiting defendants’ liability to their respective equitable shares of fault, and never sought leave to amend his pleadings to include such exception un…
  • Landor-St. Gelais v. Albany Int'l Corp., 307 A.D.2d 671 (N.Y. App. Div. 3d Dep't 2003).published
    We are “obligated to construe the statute so as to give effect to the plain meaning of the words” (Cole v Mandell Food Stores, 93 NY2d 34, 39 [1999]; see McKinney’s Cons Laws of NY, Book 1, Statutes § 76, at 168) and to presume that the le…
  • Morales v. Cnty. of Nassau, 724 N.E.2d 756 (N.Y. 1999).published
    “in keeping with the liberal rules of CPLR 3025, courts have generally permitted plaintiffs to amend the pleadings at various points throughout an action in order to comply with CPLR 1603”
  • Frank v. Meadowlakes Dev. Corp., 20 A.D.3d 874 (N.Y. App. Div. 4th Dep't 2005).published
    Meadowlakes failed “to affirmatively plead” its alternative contention that article 16 is not applicable here based on the exception set forth in CPLR 1602 (8) with respect to a party held liable by reason of the applicability of Labor Law…
93 N.Y.2d at 38 Limiting liability under joint and several recovery rules3 citing caseseconomic damages for the loss of past and future earnings in the amount of $230,000, which was reduced to $128,400 by collateral source contributions, and (2)…opening of page *38 (no citing court says what it cites this page for)
  • A.V. v. New York City Dept. of Educ., 2026 NY Slip Op 51485(U) (N.Y. Sup. Kings 2026).unpublished
    Pleading Requirement The party invoking an exception to Article 16 is required to allege in its pleadings and prove by a preponderance of the evidence that any of the delineated exceptions apply ( Cole v Mandell Food Stores, Inc. , 93 NY2d…
  • Brash v. Richards, 30 Misc. 3d 436 (N.Y. Sup. Ct. 2010).published
    Here, plaintiff has not pleaded or proved any CPLR 1602 exception (Cole v Mandell Food Stores, 242 AD2d 552 , 554 [1997], affd 93 NY2d 34, 38-39 [1999]).
  • Roseboro v. New York City Transit Auth., 286 A.D.2d 222 (N.Y. App. Div. 1st Dep't 2001).published
    As the Court of Appeals has made clear, “a party asserting an exception to article 16 has the affirmative obligation of pleading and proving that exception by a preponderance of the evidence (CPLR 1603)” (Cole v Mandell Food Stores, 93 NY2…
Other citing cases1 with no pin cite or quoted language on record
Charles E. Cole, Appellant-Respondent,
v.
Mandell Food Stores, Inc., Respondent and Third-Party Plaintiff-Respondent. United Steel Products, Third-Party Defendant-Respondent-Appellant
New York Court of Appeals.
Feb 16, 1999.
Published opinion
710 N.E.2d 244
1999 N.Y. LEXIS 30
POINTS OF COUNSEL, Seligson, Rothman & Rothman, New York City (Alyne I. Diamond, Martin S. Rothman and Eugene A. Tomei of counsel), for appellant-respondent., Steve S. Efron, New York City, for respondent and third-party plaintiff-respondent., Melito & Adolfsen, P. C., New York City (Ignatius John Melito of counsel), for third-party defendant-respondent-appellant.
Smith.
Cited by 42 opinions  |  Published

[*37] OPINION OF THE COURT

Smith, J.

In this personal injury action, the primary issue is whether a plaintiff seeking to recover noneconomic damages from a defendant whose liability is less than 50% may claim an exemption set forth in CPLR 1602 without pleading the exemption or seeking leave to amend the pleadings to include the allegation at any stage of the action. We answer this question in the negative. Plaintiff here failed to satisfy his pleading burden and is therefore precluded from raising the issue on appeal. Moreover, on the cross appeal by third-party defendant, we conclude that Supreme Court properly submitted the case against defendant to the jury under the doctrine of res ipsa loquitur. Accordingly, we affirm the Appellate Division order.

I.

While plaintiff was entering a Key Food supermarket owned and operated by defendant Mandell Food Stores, Inc., a roll-up metal security gate, designed and manufactured by third-party defendant United Steel Products, unexpectedly descended, striking plaintiff on the head. As a result, plaintiff sustained serious injuries and instituted this negligence action against Mandell. Mandell, in turn, commenced a third-party action against United Steel seeking contribution. Plaintiff did not at any time sue United Steel.

Following a bifurcated trial, the jury returned a special verdict finding Mandell and United Steel jointly liable for plaintiff’s injuries. The same jury apportioned 20% of the fault to Mandell and 80% to United Steel and awarded plaintiff (1)[*38] economic damages for the loss of past and future earnings in the amount of $230,000, which was reduced to $128,400 by collateral source contributions, and (2) noneconomic damages totaling $750,000 for past and future pain and suffering. Supreme Court denied the joint motion of Mandell and United Steel, pursuant to CPLR 1601 (1), to limit plaintiff’s recovery for noneconomic loss to Mandell’s equitable share of fault, or 20%, and permitted plaintiff to recover from Mandell the full amount of the judgment. Mandell and United Steel separately appealed.

On appeal, plaintiff averred for the first time that an exception to CPLR 1601 (1) applied which precluded the court from limiting Mandell’s liability to its equitable share of plaintiffs noneconomic loss. Specifically, plaintiff argued that Mandell, as owner and operator of premises open to the public, had a nondelegable duty to provide reasonably safe means of ingress to its supermarket (see, CPLR 1602 [2] [iv]).

The Appellate Division reversed, on the law, holding that Mandell was not liable to plaintiff for noneconomic loss in excess of its equitable share because plaintiff had not demonstrated an applicable exception to CPLR article 16 to preclude limiting Mandell’s liability. In addition, the Court determined that Mandell was not entitled to contribution from United Steel for its proportionate share of the award (Cole v Mandell Food Stores, 242 AD2d 552). The Appellate Division concluded that plaintiff could, however, recover 100% of the economic loss from Mandell, and Mandell could then seek 80% contribution from United Steel (CPLR 1402). We granted plaintiffs motion and United Steel’s cross motion for leave to appeal, and now affirm the Appellate Division order.

Enacted in 1986, CPLR article 16 modifies the traditional rule of joint and several liability (see, L 1986, ch 682). Under the traditional rule, each tortfeasor is jointly and severally liable to the plaintiff for the full amount of plaintiffs damages regardless of each tortfeasor’s degree of culpability (Cooney v Osgood Mach., 81 NY2d 66, 76). Under article 16, however, a personal injury defendant whose pro rata share of fault is 50% or less is liable for the plaintiffs noneconomic loss only to the extent of such proportionate share (CPLR 1601 [1]; Sommer v Federal Signal Corp., 79 NY2d 540, 556, n 6).

The limitation of liability prescribed in CPLR 1601 (1) is inapplicable when any of 11 exceptions delineated in CPLR 1602 applies. Pursuant to CPLR 1603, a party asserting an[*39] exception to article 16 has the affirmative obligation of pleading and proving that exception by a preponderance of the evidence (CPLR 1603). The party asserting the limitation of liability has the burden of proving by a preponderance of the evidence that its share of the liability is 50% or less (id.) *

Commentators have noted that CPLR 1603 can be “procedurally awkward” for plaintiffs (Alexander, Practice Commentaries, McKinney’s Cons Laws of NY, Book 7B, CPLR 1603, at 623; Siegel, NY Prac § 168D, at 255 [2d ed]). Requiring a plaintiff to “allege and prove” an exception to CPLR 1601 (1) “would require the plaintiff to anticipate defendant’s invocation of the Article 16 defense, which may not be possible” (Alexander, Practice Commentaries, op. cit., at 623). Since CPLR 1603 does not articulate when a plaintiff must plead an exception to CPLR 1601 (1) and, in keeping with the liberal rules of CPLR 3025, courts have generally permitted plaintiffs to amend the pleadings at various points throughout an action in order to comply with CPLR 1603 (see, e.g., Detrinca v De Fillippo, 165 AD2d 505; Rubinfeld v City of New York, 170 Misc 2d 868).

In this case, plaintiff recognizes that he failed to plead an exception to CPLR 1601 (1) and that he never sought leave to amend the pleadings to include an exception. In fact, plaintiff first asserted that Mandell breached a nondelegable duty on appeal to the Appellate Division. Nonetheless, plaintiff urges that this omission was harmless because raising the exemption earlier would not have affected the legal theory of the case, but only the apportionment of damages. As such, plaintiff maintains that Mandell and United Steel were not prejudiced by introducing the exception on appeal. We disagree.

When the language of a statute is clear and unambiguous, courts are obligated to construe the statute so as to give effect to the plain meaning of the words (People ex rel. Harris v Sullivan, 74 NY2d 305, 309). The plain words of CPLR 1603 require a plaintiff seeking to recover noneconomic loss from a joint tortfeasor 50% or less liable in a personal injury action to[*40] “allege and prove by a preponderance of the evidence” that the limitation of liability delineated in CPLR 1601 (1) does not apply (CPLR 1603). Implicit in this requirement is that a defendant potentially subject to the weight of a full judgment must have appropriate notice provided by pleadings.

Indeed, it is elementary that the primary function of a pleading is to apprise an adverse party of the pleader’s claim (see, Siegel, Practice Commentaries, McKinney’s Cons Laws of NY, Book 7B, CPLR C3013:1, at 721) and to prevent surprise (Matter of Pittsford Gravel Corp. v Zoning Bd., 43 AD2d 811, 812, lv denied 34 NY2d 618; Foley v D’Agostino, 21 AD2d 60, 62-63). Absent such notice, a defendant is prejudiced by its inability to prepare a defense to the plaintiffs allegations (see, Siegel, NY Prac § 208, at 302 [2d ed]).

Here, plaintiff concededly never pleaded an exception to CPLR 1601 as required by CPLR 1603. Moreover, plaintiff failed to amend his pleadings during the course of the action to notify Mandell and United Steel of his allegations. Plaintiffs novel argument on appeal that Mandell breached a nondelegable duty was never raised or argued at any point during trial. Therefore, bound by the clear language of the statute, we conclude that, having failed to meet this threshold requirement, plaintiff is barred from asserting the exception on appeal. To hold otherwise would abrogate the clear language of CPLR 1603. Moreover, the assertion by plaintiff that Mandell is liable for the full amount of the judgment by reason of a nondelegable duty to plaintiff required that Mandell have notice of such assertion so that it could prepare its defense or adjust its trial strategy. Failure to provide such notice cannot be deemed harmless.

II.

We have reviewed United Steel’s cross appeal and conclude that Supreme Court properly submitted to the jury the case against Mandell under the doctrine of res ipsa loquitur (see, Kambat v St. Francis Hosp., 89 NY2d 489, 497-498; Dermatossian v New York City Tr. Auth., 67 NY2d 219, 227).

Accordingly, the Appellate Division order should be affirmed, with costs to defendant Mandell Food Stores, Inc. on plaintiffs appeal and with costs to plaintiff and defendant Mandell Food Stores, Inc. on the appeal by United Steel Products.

[*41] Chief Judge Kaye and Judges Bellacosa, Ciparick and Wesley concur; Judges Levine and Rosenblatt taking no part. Order affirmed, etc.

*

CPLR 1603 provides:

“In any action or claim for damages for personal injury a party asserting that the limitations on liability set forth in this article do not apply shall allege and prove by a preponderance of the evidence that one or more of the exemptions set forth in subdivision one of section sixteen hundred one or section sixteen hundred two applies. A party asserting limited liability pursuant to this article shall have the burden of proving by a preponderance of the evidence its equitable share of the total liability.”