Norsworthy v. Castlen

323 S.W.3d 764, 2010 Ky. App. LEXIS 146, 2010 WL 3270160
CourtCourt of Appeals of Kentucky
DecidedAugust 12, 2010
DocketNo. 2010-CA-001117-OA
StatusPublished

This text of 323 S.W.3d 764 (Norsworthy v. Castlen) is published on Counsel Stack Legal Research, covering Court of Appeals of Kentucky primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Norsworthy v. Castlen, 323 S.W.3d 764, 2010 Ky. App. LEXIS 146, 2010 WL 3270160 (Ky. Ct. App. 2010).

Opinion

OPINION AND ORDER

An Ohio County Grand Jury returned an indictment against the petitioner, Eric A. Norsworthy, a physician practicing medicine in Beaver Dam, Kentucky, charging him with 13 counts of unauthorized disclosure of prescription records from the Kentucky All-Schedule Prescription Records (KASPER) system and one count of intentional disclosure of those prescription records. The indictment is based upon allegations from an investigation by the Kentucky State Police and the Kentucky Board of Medical Licensure that Norswor-thy, or someone acting on his behalf, accessed the KASPER system for the improper and unlawful purpose of using that information to defend himself in a complaint filed before the Kentucky Board of Medical Licensure by a former patient. The findings of the investigations allege that Norsworthy improperly obtained and shared the patient’s KASPER records with Mr. David Lambertus, his counsel, during the administrative hearing concerning the complaint filed before the Board of Medical Licensure.

During the course of the underlying criminal proceeding in the Ohio Circuit Court, the Commonwealth filed a motion for in camera review of certain attorney-client communications between Mr. Lam-bertus and Norsworthy. Specifically, the motion for in camera review alleged that Norsworthy and members of his staff illegally accessed KASPER reports related to a former female patient and her family after the patient reported alleged sexual misconduct by Norsworthy to the Kentucky State Police and the Kentucky Board of Medical Licensure. According to the motion for in camera review, Norswor-thy’s alleged misuse of the KASPER system came to light when Mr. Lambertus, responding to a motion to quash a subpoena during the administrative proceedings before the Board of Licensure, referred to the patient’s purchase history and dosage of alparzolam. On March 3, 2010, the Commonwealth issued a subpoena to Mr. Lambertus requiring his appearance “to testify” and to bring the following documents:

Any and all filed and other documents pertaining to Mr. Lambertus’s representation of Dr. Eric Norsworthy before the Kentucky Board of Medical Licensure in Administrative Action No. 07-KMBL-0511, including, but not limited to, any and all communications between Mr. Lambertus (and his employees and representatives) and Dr. Norsworthy (and his employees and representatives) regarding any copies of, references to, or information contained in [C.F.] ’s KAS-PER report, medical records and other documents regarding medical treatment of [C.F.], and the source of any patient-specific pharmaceutical references in [767]*767Mr. Lambertus’s file or pleadings before the KBML.

Norsworthy filed a motion to quash this subpoena. In his motion to quash, Nor-sworthy argued that the communications with his attorney are absolutely privileged and directly related to the matter for which Norsworthy sought legal advice. In response to the motion to quash, the Commonwealth asserted a crime/fraud exception to the attorney-client privilege contained in KRE 503(d)(1).

On April 9, 2010, the respondent, Special Judge Thomas 0. Castlen, participated in a conference call1 with the parties and with Mr. Lambertus’s attorney. Following this conference call, the Ohio Circuit Court entered an order on April 12, 2010, directing Mr. Lambertos to submit to the court under seal for in camera inspection copies of all documents within his possession and control, including correspondence, reports, memoranda, and notes, which reference the patient’s KASPER reports, pharmaceutical use or history or the patient’s pharmacist. In response to the April 12, 2010, order, Mr. Lambertos only submitted documents that were already in the public domain. On April 28, 2010, the Commonwealth issued another subpoena to Mr. Lambertos that was identical to the subpoena previously issued on March 3, 2010. Upon receipt of the April 28, 2010, subpoena, Norsworthy filed a second motion to quash the subpoenas. On June 2, 2010, the Ohio Circuit Court entered an order which stated:

IT IS HEREBY ORDERED AND ADJUDGED that Hon. David Lambertos shall produce to the Court for in camera review any and all documents, notes, computer files, and other records regarding communications between Defendant Norsworthy (and/or his agents) and Mr. Lambertos (and/or his agents) which relate to C.F.’s medical treatment or pharmaceutical history. The purpose of the Court’s in camera review is to determine whether any such evidence is protected by attorney-client privilege (KRE 503) or subject to the crime/fraud exception.

On June 14, 2010, Norsworthy filed this original action petitioning this Court for a writ prohibiting the Ohio Circuit Court from enforcing the June 2, 2010, order. In his petition for a writ of prohibition, Norsworthy argues that the records and testimony sought by the subpoena are absolutely privileged under the Sixth Amendment to the United States Constitution and KRE 503. In response to the petition for a writ of prohibition, the Commonwealth argues that Stidham v. Clark, 74 S.W.3d 719 (Ky.2002), authorizes a court to conduct an in camera review of the communications between Norsworthy and Mr. Lambertos to determine if any evidentiary privileges apply.

A writ of mandamus and/or prohibition will be granted only in the most exceptional of circumstances. Shobe v. EPI Corp., 815 S.W.2d 395, 397 (Ky.1991). Generally, a writ will be granted only if (1) the lower court is proceeding or about to proceed outside of its jurisdiction or (2) the lower court is about to act incorrectly, although within its jurisdiction, and there exists no adequate remedy by appeal or otherwise and great injustice and irreparable injury would result. Hoskins v. Maride, 150 S.W.3d 1 (Ky.2004). A writ must be granted where failing to do so would subject the defendant to great injustice and irreparable injury for which there is [768]*768no adequate remedy. Chamblee v. Rose, 249 S.W.2d 775 (Ky.1952).

Norsworthy presents this matter to this Court as a writ of the second class. He argues that the Ohio Circuit Court acted erroneously within its jurisdiction by ordering his former counsel to disclose privileged communications and that no adequate remedy by appeal or otherwise exists, and that he will be subjected to irreparable injury and great injustice if forced to disclose any information claimed to be confidential under the attorney-client privilege. Norsworthy is correct that he would possess no adequate remedy by appeal because “there will rarely be an adequate remedy on appeal if the alleged error is an order that allows discovery.” Grange Mutual Ins. Co. v. Trade, 151 S.W.3d 803, 810 (Ky.2004). Moreover, taking as true Nor-sworthy’s claim of privilege, “there is no adequate remedy on appeal because the privileged information cannot be recalled once it has been disclosed.” Wal-Mart Stores, Inc. v. Dickinson, 29 S.W.3d 796, 800-01 (Ky.2000).

KRE 503(d)(1), Furtherance of Crime or Fraud, provides in pertinent part as follows:

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Related

United States v. Zolin
491 U.S. 554 (Supreme Court, 1989)
Stidham v. Clark
74 S.W.3d 719 (Kentucky Supreme Court, 2002)
Hoskins v. Maricle
150 S.W.3d 1 (Kentucky Supreme Court, 2004)
Wal-Mart Stores, Inc. v. Dickinson
29 S.W.3d 796 (Kentucky Supreme Court, 2000)
Grange Mutual Insurance Co. v. Trude
151 S.W.3d 803 (Kentucky Supreme Court, 2004)
Steelvest, Inc. v. Scansteel Service Center, Inc.
807 S.W.2d 476 (Kentucky Supreme Court, 1991)
Chamblee v. Rose
249 S.W.2d 775 (Court of Appeals of Kentucky (pre-1976), 1952)
Shobe v. EPI CORP.
815 S.W.2d 395 (Kentucky Supreme Court, 1991)
Standard Fire Insurance v. Smithhart
211 S.W. 441 (Court of Appeals of Kentucky, 1919)

Cite This Page — Counsel Stack

Bluebook (online)
323 S.W.3d 764, 2010 Ky. App. LEXIS 146, 2010 WL 3270160, Counsel Stack Legal Research, https://law.counselstack.com/opinion/norsworthy-v-castlen-kyctapp-2010.