Joseph
v.
Nucci, by his Guardian,
Linda Nucci, and Linda Nucci,
Individually,
Appellants,
v.
Gilbert P. Proper, M.D., et al.,
Respondents.
2001 NY Int. 6
This medical malpractice action focuses on the alleged
failure of a surgical anesthesiologist, defendant Gilbert Proper,
to monitor plaintiff Joseph Nucci's condition following surgery
at defendant Rochester General Hospital. At some point before
Nucci entered the recovery room, he sustained irreversible brain
damage due to oxygen deprivation. The parties dispute the course
of events following the surgery leading to this tragic result.
Plaintiffs contend that Nucci became hypoxic after developing an
airway obstruction following extubation, which went unnoticed for
several minutes while Proper and other surgical staff were
At trial, plaintiffs offered the testimony of anesthesia technician Debra Fader and Tammy Jo Higgins, a 17- year-old high school intern. Both testified that when they entered the operating room (OR) to assist in preparing the room for the next surgical procedure, the usual hustle and bustle of room turnover was already in progress. Higgins testified that she spent about five minutes taking inventory of the anesthesia cart. As she turned to leave, she noticed Nucci's face was blue. When Higgins returned to the OR two to five minutes later, Nucci was still blue, and OR staff were now engaged in resuscitation measures. Fader testified that she had been working both in and out of the OR for approximately 15 minutes before any indication of an emergency became apparent. At that time, she overheard OR staff begin working on Nucci and testified that when she turned toward the commotion, she noticed the patient was a chalky or dark blue. Proper testified that he monitored Nucci at all times and took immediate emergency measures as soon as Nucci began to have difficulty breathing.
Both sides produced expert witnesses to correlate
Nucci's facial coloration to his loss of oxygen. The experts
Plaintiffs also unsuccessfully sought to offer the testimony of Nucci's cousin, Kathy Bellucco Osborne. During plaintiffs' offer of proof, Osborne testified that she spoke with Higgins several days after the incident at a family gathering. Osborne noted that Higgins indicated she had been present during Nucci's surgery; that when Higgins and Fader had entered the OR, they saw [the patient] was blue; that the machine read nothing and nobody was paying any attention; and that Fader finally spoke up and asked is this supposed to be this way and if something [was] wrong here, after which the doctors and nurses turned around and started reintubating Nucci. Plaintiffs' counsel sought to introduce this evidence to establish that Nucci's hypoxia was the result of inattention by Proper and the OR staff.
Following a verdict in favor of defendants, Supreme
Court granted plaintiffs' motion to set aside the verdict and
ordered a new trial. The court, relying on our decision in
Letendre v Hartford Acc. & Indem. Co. (21 2 518), concluded
that it had erroneously excluded Osborne's testimony because both
Osborne and Higgins were available for cross-examination and thus
Out-of-court statements offered for the truth of the
matters they assert are hearsay and may be received in evidence
only if they fall within one of the recognized exceptions to the
hearsay rule, and then only if the proponent demonstrates that
the evidence is reliable (People v Brensic, , 70 NY2d 9, 14
[citing People v Nieves, , 67 NY2d 125, 131]; see also, People v
Brown, , 80 NY2d 729, 734-735 [present sense impressions]; People v
Brown, , 70 NY2d 513, 518-519 [excited utterances]). In
determining reliability, a court must decide whether the
declaration was spoken under circumstances which render[] it
highly probable that it is truthful (Brensic,
Plaintiffs contend that Supreme Court correctly viewed Letendre as creating an exception to the hearsay rule premised solely on witness availability. We disagree and reject plaintiffs' invitation to extend the Letendre holding to the unsworn oral statements at issue in this case.
Letendre involved an employer's attempt to collect on a
fidelity bond he had purchased from an insurer against
embezzlement by an employee. At trial, the employee denied
embezzling the missing funds. The Court held that the employee's
Reliability is the sum of the circumstances surrounding
the making of the statement that render the declarant worthy of
belief. Relevant factors include spontaneity, repetition, the
mental state of the declarant, absence of motive to fabricate,
unlikelihood of faulty recollection and the degree to which the
statement was against the declarant's * * * interest (see,
People v James, , 93 NY2d 620, 642 [citing Idaho v Wright, 497 US 805, 821; Dutton v Evans, 400 US 74, 89]). Courts have also
considered the status or relationship to the declarant of the
person to whom the statement was made * * *, whether there was a
coercive atmosphere, whether it was made in response to
questioning and whether the statements reflect an attempt to
shift blame or curry favor (James,
In stark contrast to the out-of-court statements at issue in Letendre, there are no indicia of reliability here. The proffered statements were not made in writing or under oath.[1] They were made several days after the incident occurred at a gathering of Nucci relatives and their friends and they were reported by Osborne, who, as Nucci's first cousin, may have had a strong motive to shade her testimony. Some of the statements involved double hearsay, e.g., what Osborne heard Higgins say concerning Fader's statements. Furthermore, Higgins was a young, inexperienced high school student with no medical training. Indeed, plaintiffs acknowledge that Higgins was not an agent of the hospital, such that any statement she made could properly be considered a declaration against interest.
In light of these circumstances, a significant
probability exists that the statements may implicate the dangers
of the declarant's faulty memory or perception, insincerity, or
Accordingly, the order of the Appellate Division should be affirmed, with costs.
1 Significantly, we note that the Legislature has decided that impeachment of one's own witness by a prior inconsistent statement may only be effected if the statement was made in a writing subscribed by the witness or made under oath (see, CPLR 4514 ; CPL 60.35[1]). We see no compelling reason why a statement bearing fewer indicia of reliability should be admitted for substantive purposes.
2 We recognize that several states have chosen to adopt the so-called modern view -- permitting the admission of prior, unsworn oral statements where the declarant is available and subject to cross-examination (see, 3A Wigmore on Evidence § 1018 n3, at 499-508 [2000-2001 Supp]). In light of our requirement of sufficient indicia of reliability for out-of-court statements offered under exceptions to the hearsay rule, however, we retain our adherence to the traditional approach.