MATTER OF DIAZ v. Lukash

Citations: 624 N.E.2d 156; 82 N.Y.2d 211; 604 N.Y.S.2d 28; 1993 N.Y. LEXIS 3897

Court: New York Court of Appeals; November 15, 1993; New York; State Supreme Court

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The Court of Appeals of New York addressed the case of Robert R. Diaz, an inmate on California's death row, who sought access to certain records from the Nassau County Medical Examiner. The court determined that the Appellate Division had applied an incorrect legal standard regarding Diaz's "substantial interest" in the records. It concluded that Diaz does have such an interest in at least some of the requested documents, leading to a reversal of the dismissal of his petition and remanding the case for further proceedings.

The background involves Diaz, who began working in a California hospital's ICU in March 1981. Over a brief period, several patients experienced violent seizures and subsequent deaths, prompting investigations. Diaz was charged with the murders of 12 patients, allegedly by administering lethal doses of lidocaine. The prosecution's case relied on evidence from autopsies showing lidocaine concentrations, patient seizure activity, and EKG readings, which suggested a causal link between the drug and the patients' deaths.

On appeal, although the California Supreme Court found sufficient evidence to support the conviction, it noted that the evidence regarding the cause of death was not undisputed. The rarity of documented lidocaine overdoses and the potential for other explanations for the EKG findings introduced doubt about the prosecution's claims, highlighting the contentious nature of the evidence presented at trial.

Following Diaz's conviction, his appellate counsel discovered an unpublished dissertation titled "Lidocaine Toxicity" by W. Christopher Long, a toxicologist, which analyzed lidocaine concentrations in the brain tissue of over 140 autopsied decedents from 1976 to 1981. The prosecution had claimed that concentrations of 20 micrograms/gram or higher indicated a lethal dose, and 24 decedents in Long's study met this criterion. Diaz contends that either these individuals were victims of lethal doses or the prosecution's expert testimony was flawed. He seeks access to the Nassau County Medical Examiner's records to identify these decedents and obtain their hospital records to ascertain the exact doses of lidocaine administered and relevant clinical information. This investigation aims to establish Diaz's factual innocence, leading to a petition for postconviction relief based on "newly-discovered evidence" that no murders occurred.

Diaz's petition, under County Law § 677 (3)(b) and CPLR article 4, is focused solely on the Medical Examiner's records, with no claim for hospital records. He has agreed to accept redacted records to maintain confidentiality and is willing to cover costs for searching and copying the records. The Supreme Court dismissed the petition, ruling that Diaz did not sufficiently demonstrate a substantial interest in the records, while the Appellate Division affirmed this decision, stating he lacked a direct personal interest and that disclosure would compromise confidentiality as mandated by statute. However, the motion for leave to appeal was granted, and the previous ruling was reversed. County Law § 677 (3)(b) allows inspection of autopsy reports by certain parties, including those who may be affected by the records, indicating that a court can authorize access based on substantial interest.

Four categories of individuals are entitled to access autopsy reports: the District Attorney, close relatives of the deceased, individuals potentially affected by civil or criminal actions, and those with a "substantial interest" who must apply to the court. Diaz seeks access as one with a "substantial interest." The key legal issue is whether this interest must be "direct and personal," as suggested by the Appellate Division, and if Diaz’s circumstances establish such an interest. The statute allows broader access beyond the specified categories, as the term "substantial interest" is flexible. A court must assess the applicant's purpose for seeking the records, the significance of that purpose, and other sources of information. In a precedent case, the court recognized a hospital's educational interest in autopsy reports as substantial. In Diaz's case, he claims the records could demonstrate no murders occurred, raising questions about whether the information sought qualifies as "newly discovered evidence" relevant to his postconviction relief efforts. The court contemplates denying the petition based on this but opts not to do so in this instance.

Engaging the Nassau County Medical Examiner and the state courts in collateral litigation is deemed imprudent, given that the matter is potentially central to ongoing proceedings in California State and Federal courts. The California courts' willingness to review evidence may depend on what is uncovered. In this context, Diaz has demonstrated a significant interest in the Medical Examiner's records, which could support his claim that he was wrongfully convicted and sentenced to death for murders that did not occur. This interest is comparable to the "staff education" rationale identified in previous cases. Additionally, the Long study represents a unique analysis of lidocaine concentrations in human tissue, providing potentially irreplaceable information. However, it remains uncertain whether Diaz's interest extends to all cases examined in the Long report, as some decedents had minimal lidocaine levels. Upon remittal, the Supreme Court may evaluate this issue and exercise discretion to balance privacy concerns against Diaz's interests, considering his offer to cover redaction and production costs. Consequently, the Appellate Division's order should be reversed, with costs, and the case returned to the Supreme Court, Nassau County, for further proceedings.