State v. HandyState v. Handy
Lead Opinion
¶ 1. Following defendant’s conviction for a sex offense, the superior court, criminal division, granted the State’s motion to compel defendant to submit to testing for sexually transmitted diseases under the authority of 13 V.S.A. § 3256, which does not require probable cause or a warrant for testing. On appeal, defendant argues that the statute is unconstitutional because it does not serve any special need beyond law enforcement justifying abandonment of the normal probable-cause and warrant requirements and because, even if such a special need were present, the governmental goals advanced by the statute do not outweigh his constitutionally protected privacy interests. We affirm the trial court’s order compelling the testing, but we remand the matter for the court to issue an order restricting the victim’s disclosure of the test results.
¶ 2. In November 2009, defendant was convicted of lewd or lascivious conduct, in violation of 13 V.S.A. § 2601, as the result of his having had nonconsensual sexual intercourse with the victim in a public place on October 28, 2007. In March 2010, at the behest of the victim as authorized by § 3256, the State moved for the trial court to order defendant to submit to testing for sexually transmitted diseases based on his conviction for a crime involving a sexual act that created a risk of exposing the victim to the etiologic agent for acquired immune deficiency syndrome (AIDS).
¶ 3. Upon completion of a brief nonevidentiary hearing, the trial court issued an order concluding that it was compelled to grant the State’s motion under § 3256, even though it had been nearly three years since the assault occurred, and that the statute was constitutional. The court stated that “[t]he obvious purpose of the statute is to enable the victim of a criminal sexual act to determine if he or she has been, or will be, further victimized by contracting AIDS or other sexually transmitted diseases.” According to the court, “[s]uch information would enable a victim to address his or her physical and medical condition in a meaningful way.” Regarding defendant’s privacy rights, the court noted that any test results could not be used against defendant in criminal proceedings and that, if the test results were positive, the victim had the right to discuss her physical and medical condition with medical providers, friends, family, and potential intimate partners.
¶ 4. Accordingly, the court ordered that defendant submit to testing for AIDS and other sexually transmitted diseases, that the test results be disclosed only to defendant and the victim, and that the test results and the record of the court proceedings be sealed. The court also noted that either the victim or the State on behalf of the victim could seek a civil contempt order if defendant refused to comply with the court-ordered testing.
¶ 5. On appeal, defendant argues that the trial court erred by concluding that the purposes underlying § 3256 represented special needs sufficient to abandon the warrant and probable-cause requirements under Article Eleven of the Vermont Constitution, and further that, even if the statute represented such special needs, those special needs did not overcome his constitutionally protected privacy rights.
¶ 7. Toward that end, this Court has adopted as part of its Article Eleven jurisprudence, in the context of administrative searches, the “special needs” standard of review set forth by Justice Blackman in his dissent in O’Connor v. Ortega,
¶ 8. Under the standard adopted in Berard, we will abandon the probable-cause and warrant requirements only under exceptional circumstances when the State demonstrates that special needs beyond normal law enforcement make those requirements impracticable and those special needs outweigh countervailing privacy interests.
¶ 9. Section 3256 addresses both the testing of the perpetrator and the testing and support of the victim of unlawful
¶ 10. At issue in this appeal are the first six subsections of the statute that concern the testing of convicted sex offenders. The victim of a sexual act “which creates a risk of transmission of the etiologic agent for AIDS” may obtain an order requiring the perpetrator “convicted” of an offense based on that act to be tested for AIDS and other sexually transmitted diseases. Id. § 3256(a)-(b). If the court determines that the offender has been convicted of a crime involving a sexual act with the victim, as defined in the statute, id. §§ 3256(b)(1), 3251(1) (defining “sexual act”), “the court shall order the test to be administered,” id. § 3256(c). “The results of the offender’s test shall be disclosed only to the offender and the victim,” id. § 3256(d), and the test results and record of the court proceedings “shall be sealed,” id. § 3256(j).
¶ 11. Defendant first argues that the trial court erred in concluding that § 3256(a)-(f) serves special needs beyond law enforcement sufficient to justify the abandonment of our normal probable-cause and warrant requirements. We disagree. As courts in other jurisdictions have uniformly held in examining similar statutes, statutes such as these are directed at public health matters, not law enforcement, and therefore satisfy the first part of the special-needs standard. See, e.g., People v. Adams,
¶ 12. Moreover, the courts have also recognized that imposing probable-cause and warrant requirements would be entirely impracticable in this context because many sexually transmitted diseases, and most particularly the AIDS virus, have no outward manifestations that would permit a probable-cause determination for obtaining a warrant. See In re J.G.,
¶ 13. Defendant contends that our decision in Martin is not controlling here because the DNA-collection regime upheld under the special-needs test in that case targeted all felons rather than particular individuals. In defendant’s view, § 3256 targets particular individuals and therefore must be subject to the normal probable-cause and warrant requirements. We find this argument unpersuasive. Both statutes permit the testing of a category of persons based on their offender status. On this point, Martin is not distinguishable from the instant case.
¶ 14. Having determined that § 3256 addresses special needs beyond normal law enforcement, we must engage in a context-specific inquiry in which we balance “the competing public and private interests at stake.” Martin,
¶ 15. On the other hand, courts have recognized “that the information obtained as the result of a positive HIV test may have a devastating impact on individuals who would prefer not to know their true status” and that “persons with AIDS are often stigmatized and subject to social disapproval.” Adams,
¶ 16. The degree to which convicted sex offenders may be subject to this more significant invasion of privacy associated with mandatory HIV testing “is a function of how widely the results are disseminated.” Roberts,
¶ 17. We now examine the other side of the equation — the governmental interest in testing sex offenders. On its face, the statute begs several questions. How does the testing of sex offenders following conviction contribute to the state’s interest in public health and, more specifically, the well-being of the victims of sex crimes? What is the nexus between testing offenders following conviction and providing relevant information to victims about their risk of contracting sexually transmitted infectious diseases? Given that testing offenders after conviction apparently would not provide any information as to when a sexually transmitted disease was contracted relative to the timing of the sex offense for which they were convicted, how does the testing further the state’s public health interest?
¶ 18. None of these questions was addressed at the nonevidentiary hearing before the trial court.
¶ 19. Because this case presents a different context from Martin, and because nothing in the record informs the balancing test we must perform under Martin, we examined the legislative history of the bill enacted as § 3256.
¶ 20. The medical expert testified that HIV testing identifies antibodies that the body produces to counteract the presence of the virus. The latency period between exposure to the virus and the accumulation of sufficient antibodies to result in a positive test is normally between six weeks and six months. For a victim potentially exposed to the AIDS virus to benefit from prophylaxis treatment aimed at reducing the chances of incurring the virus, the treatment must commence within a seventy-two-hour period. Therefore, testing the offender following conviction cannot inform a decision as to whether to begin the rigorous prophylaxis treatment. Nor would such testing normally precede the six-week-to-six-month latency period during which the victim’s own testing might not yet reveal the presence of the virus. Hence, neither a negative nor a positive result from the offender’s testing would appear to have any value for the victim. Moreover, any positive test result from the offender would have limited value for the additional reasons that the tests do not indicate when the virus was incurred and that the chances of passing the virus on to a sexual assault victim are very small. Indeed, even those who testified in support of testing offenders acknowledged that such testing provided little or no medically useful information for victims of sexual crimes.
¶21. Faced with this testimony, the chairs of both the House and Judiciary Committees acknowledged the apparent lack of medical usefulness in testing offenders, but explained that the State of Vermont would not be eligible to receive roughly $175,000 per year in federal grants to fund testing and counseling for sexual assault victims — as set forth in the second part of § 3256 — unless the statute required testing the perpetrators. This appears to be the principal driving force
¶ 22. If retaining federal funding were the sole governmental interest supporting the challenged portion of the statute, then the constitutionality of the law would be suspect because there would be no nexus between the law’s intrusion on even the diminished privacy interest here and the information obtained from that intrusion. That is not the case, however. There was additional testimony before the legislative committees in support of testing offenders unrelated to preserving federal grant money. The director of Crime Victim Services testified that sexual assault victims do not necessarily consider the issue of testing offenders in a logical way as perceived by nonvictims. While recognizing that testing victims is the only way to determine definitively whether they have contracted an infectious sexual disease, and in particular the AIDS virus, the director explained that victims want the peace of mind that would result from also testing the perpetrator and that they feel further violated if their attacker refuses to submit to the testing of bodily fluids forced upon them during a sexual assault.
¶ 23. Courts have also recognized the psychological benefit for victims of having the perpetrator tested even if such testing, as a practical matter, provides little or no useful medical information to the victim. See Ward,
¶ 24. We concur. One hardly need document the obvious trauma and suffering endured by victims of sexual assault. See State v. Bunner,
¶25. When that trauma is further exacerbated by a legitimate fear of contracting a life-threatening sexually transmitted disease, the desire of victims to have the perpetrator tested to allay their fears is entirely understandable and real. Therefore, although the consensus among medical experts is that testing offenders — particularly following conviction after months or even years have passed — has little or no direct medical benefit to victims, testing offenders can provide to victims some psychological benefit that outweighs the offenders’ significantly diminished interest in preventing the testing of bodily fluids forced upon their unwilling victims. Johnetta J. v. Municipal Court,
¶26. Accordingly, as long as the trial court imposes restrictions that comport with the statute’s obvious intent to prevent public dissemination of the perpetrator’s test results, we find no constitutional infirmity to the statute. Cf. In re J.G.,
The order of the Windsor Superior Court, Criminal Division, dated September 22, 2010, is affirmed in all respects, except that the matter is remanded for the court to impose restrictions, consistent with this opinion, on the victim’s disclosure of any results from the testing of defendant for sexually transmitted diseases.
Notes
Apparently, the dissent would also avoid these questions based on the presumption that legislative acts are constitutional. According to the dissent, the health benefits of the provision are obvious and do not require expert analysis, and our examination of legislative history to better understand the claimed governmental interests in this ease “improperly expands our role in conflict with the exercise of the legislative process,” goes beyond “the limits of our review,” and “wars with the clear intent of the law.” Post, ¶¶ 27, 29. To the contrary, the dissent’s position is inconsistent with our judicial role in reviewing statutes alleged to be in violation of individual constitutional rights. The presumption of validity that we give to legislative acts does not require us to “abdicate our responsibility to examine a disputed statute independently and ultimately determine its meaning.” In re MacIntyre Fuels, Inc.,
Our special-needs analysis compels us to balance the competing public and private interests at stake, Martin,
Concurrence Opinion
¶ 27. concurring and dissenting. The testing and counseling statute at issue here, 13 V.S.A. § 3256, is plainly a public health initiative aimed at giving medical and emotional support to victims of sexual assault. Thus, I agree with the majority that the statute does not violate Chapter I, Article 11 of the Vermont Constitution because it serves a special need beyond ordinary law enforcement. An important government interest is at stake when demand for testing is made by a victim under the statute in that testing perpetrators may produce information that reduces the health risks to, and mental anguish of, the victim and thus lessens the chance of unwitting transmission to others. Such purpose outweighs the extremely limited privacy interest an offender has in submitting a sample of bodily fluids. The government purpose served by the legislation and its limitation on disclosure in my view do not compel us to resort to examination of testimony taken before a legislative committee. The issue in this case involves determining the validity of a statute’s stated purpose, not deciphering legislative intent to resolve the meaning of particular statutory language. Defendant did not present evidence challenging the link between testing and the medical or psychological benefit to victims of sexual assault. Thus, the majority’s analysis of legislative history on this point is unnecessary and improperly expands our role in conflict with the exercise of the legislative process. Furthermore, because the statute already imposes restraint on the distribution of the results of such testing, there is no basis to remand for a protective order with further conditions protecting the perpetrator’s privacy. I would affirm the court’s order, and therefore respectfully dissent.
¶ 29. The majority claims that “nothing in the record informs the balancing test we must perform under Martin” ante, ¶ 19, and proceeds to recite detailed legislative history, including quoting one of the medical experts who testified before a legislative committee. This analysis exceeds the limits of our review. It wars with the clear intent of the law and the limitations of the statute. Our rules of statutory construction are aimed at discerning legislative intent. As we have explained, “legislative intent is to be ascertained from the act itself, which is presumed to be in accordance with the ordinary meaning of the statutory language,” and “[w]here statutory language is clear and unambiguous in its meaning, as in the present case, we will look no further in an effort to determine a contrary legislative intent.” Cavanaugh v. Abbott Labs.,
¶ 30. The constitutional issue in this case is not a question of statutory interpretation where the meaning of a word or phrase is not clear, but involves determining whether this statute’s authorization of a warrantless search is supported by a legitimate government interest. To make such an assessment, we need not inquire into the Legislature’s subjective intent, but instead must determine if legitimate public interests are served. See Martin,
¶ 31. Here, the statute plainly reveals its purpose is to give support — both medical and psychological — to victims of sexual crimes.
¶ 32. Even if some ambiguity in the legislative purpose existed that required resort to legislative history, the analysis engaged in by the majority is not reliable. We have explained that a witness’s comments at a committee hearing are accorded “little weight” in determining legislative intent. State v. Madison,
¶ 33. Finally, even with the expert testimony, I see no reason to remand this case. The majority concludes that to protect the privacy rights of this sex offender, the court must issue a protective order precluding the victim from disseminating test results to anyone other than a medical provider. Ante, ¶ 26. But this limitation is not in the statute, which already includes several protections of a perpetrator’s privacy, including that the results of the test “shall be disclosed only to the offender and the victim,” 13 V.S.A. § 3256(d), and that “[t]he record of the court proceedings and test results pursuant to this section shall be sealed,” id. § 3256(j). If the Legislature wanted to extend the scope to a point intended to prohibit the victim from giving the information to a future partner or a friend it could have done so. We should not conclude that the very limited privacy interest of those convicted of sexual assault under this law can permit or compel a court to order limits on the victim’s use of the information — information that, for example, could inform effective treatment and inhibit spread of communicable disease.
¶ 34. An offender’s privacy protections are greatly diminished by this particular criminal act. Having sexually assaulted the victim and deposited his DNA without consent — an act of physical harm if not also an implicit, if not explicit, waiver of confidentiality — the offender’s remaining privacy rights are sufficiently defined by the statute. What the victim, a private citizen, does with the information afterwards was of no concern to the Legislature and, absent legislative direction to the contrary, is no business of this Court. The law does not call on the courts to prohibit further disclosure. Because consideration of additional limits is not constitutionally required, it amounts to a policy choice and “[o]ur function is not to substitute our view of the appropriate balance for that of the Legislature.” Badgley,
Consequently, it is wholly irrelevant that the inclusion of a testing provision was also a necessary prerequisite for the state to be eligible for federal grants. Ante, ¶ 21.
Indeed, even defendant recognizes this fact.