State v. MubitaState v. Mubita
A jury convicted Kanay Mubita on eleven counts of transferring body fluid which may contain the human immunodeficiency virus (HIV), pursuant to
I.
BACKGROUND
Kanay Mubita immigrated to the United States from Zambia, Africa, and relocated in Moscow, Idaho. As part of an immigration physical, Dr. Larry Dean Harries executed an Immigration and Naturalization Service (INS) form' on April 30, 2001, indicating that Mubita tested negative for the HIV antibody. Dr. Harries conducted this examination as part of a three-part examination, the results of which were to be forwarded in a sealed envelope to the INS. 1 Pursuant to the INS procedure, Dr. Harries sent the results in the sealed envelope to Mubita. The instructions included with the forms direct that the patient keep the envelope sealed and forward it directly to the INS. Dr. Harries testified at trial that he never directly informed Mubita his test results were negative for the HIV antibody.
On December 26, 2001, Mubita accompanied his then-wife to a hospital in Pullman, Washington, and submitted to another HIV test. This test came back with a positive result. Dr. Timothy Moody informed Mubita of these results by telephone and arranged a second test to determine the progression of the virus. In January 2002, Mubita submitted to the follow-up test, which also produced a positive result for HIV antibodies. Dr. Moody reported Mubita’s positive HIV test results to the Whitman County (Washington) Public Health Department.
Following these test results, Mubita requested services from the North Central District Health Department (Health Department) in Moscow, Idaho, and began receiving HIV-related services. In order to receive these services, Mubita had to show he was in fact HIV positive. The first face-to-face meeting between Mubita and his caseworker, Jenny Ruppel, occurred on January 17, 2002.
2
As part of the intake process, Mubita executed a number of documents in January and February 2002, certifying his HIV positive status, including a Ryan White Care Act Intake Form, and a Ryan White Title II Care Act Client Rights and Responsibilities form. The latter form indicates that a participant has the right to have information released only in the following circumstances: (a) when the participant signs a written release of information, (b) when there is a medical emergency, (c) when there is a clear and immediate danger to the participant or others, (d) when there is possible child or elder abuse, or (e) when ordered by a court of law. Mubita also signed a document containing the text of
As part of the Health Department’s HIV-related services, Ruppel helped Mubita gain financial assistance for transportation, housing, rental assistance and food. In addition, Ruppel helped Mubita set up doctor visits and obtain prescriptions. Specifically, Ruppel accompanied Mubita to see a doctor on May 11, 2005, and to consult a specialist in November 2005. Both doctors prescribed HIV medications for Mubita. Ruppel discussed the purpose, use, and function of these medications with Mubita. Ruppel testified at trial that she had had numerous discussions with Mubita regarding his HIV status during the time he utilized Health Department services. She testified that Mubita never said, or acted like, he didn’t have HIV.
In early October 2005, someone notified the Latah County Prosecutor’s Office that “a Moscow male who is HIV positive was believed to have had sexual activity with two women without informing them of his status.”
4
In response to this information, the prosecutor’s office sent a letter to the Health Department, requesting disclosure of “whatever information your agency may possess in regard to an adult male resident of Latah County who has tested positive for the HIV virus and who is believed to have engaged in sexual activity with two females in violation of Idaho Code 39-608 ...” The letter indicated the request was made for “the purposes of a law enforcement investigation into whether a violation of
After receiving the information from the prosecutor’s office, police officers contacted Mubita by telephone and asked him to come in for an interview. Mubita voluntarily went to the police station to talk with the officers on December 6, 2005. At the station, the officers informed Mubita that he was not under arrest and was free to leave at any time. During the interview, Mubita denied receiving any paperwork demonstrating his HIV positive status. Mubita admitted that he knew T.A., one of the suspected victims, and that he had had unprotected sexual intercourse with her. In addition, Mubita stated he believed her child was his. Mubita initially denied knowing another victim, E.C., but later admitted to knowing her through T.A. Mubita denied having sexual intercourse with E.C., stating that he only had sexual relations with T.A. and his wife. While watching the interview on a closed-circuit television system, Detective Kwiatkowski phoned the director of the Health Department to inquire about Mubita’s HIV status. The director told him Mubita had been informed of his HIV status and had signed a number of documents acknowledging his sta
tus.
On December 7, Mubita called Ruppel. During the conversation, Ruppel became concerned for his well-being, and contacted the Moscow Police Department to request that it perform a welfare check. Kwiatkowski received the call and asked Ruppel whether Mubita was HIV positive and whether he knew of his HIV status prior to September 2004. Ruppel said he was HIV positive, that he had been told so numerous times, and that he had been receiving financial aid as a direct result of his HIV status. Three officers, one in uniform, went to Mubita’s home to perform the welfare check after receiving the phone call from Ruppel. The officers knocked on the door and asked Mubita if they could come inside and talk. Mubita let them in the house. Kwiatkowski told Mubita he had spoken with Ruppel and that she was worried about his well-being. Mubita did not appear to be upset. Kwiatkowski informed Mubita he had talked to Ruppel about his HIV status, and asked whether he knew he was HIV positive. Mubita responded that he knew he was HIV positive. Based on the interview the night before, wherein he disclosed having unprotected sex with T.A., and the information from Ruppel, Kwiatkowski placed Mubita under arrest.
The police department subsequently issued a press release regarding the arrest, asking people who may have had sexual contact with Mubita to contact the department. The police department interviewed 13 potential victims from December 9 through December 30, 2005.
Mubita was charged with a total of eleven counts of violating
A trial was held in late March 2006, and the jury found Mubita guilty of all eleven counts. The district court imposed a unified sentence of four years, with four months fixed, for each count, to be served consecutively. Mubita filed a timely appeal.
II.
DISCUSSION
The following issues are presented for determination: (1) whether the district court erred when it denied Mubita’s motion to suppress documents released by the Health Department to the prosecutor’s office; (2) whether the district court erred when it admitted the two lab reports under the business records exception to the hearsay rule; (3) whether it is factually impossible to violate
A.
The District Court Did Not Err When it Denied Mubita’s Motion to Suppress Documents the Health Department Released to the Prosecutor’s Office
In reviewing an order granting or denying a motion to suppress evidence, this Court will defer to the trial court’s factual findings unless clearly erroneous.
State v. McCall,
Mubita argues his Fourth Amendment rights were violated when his health records were “seized” from the Health Department by the prosecutor. He asserts that the privacy of health records, which pertain to the intimate details of a person’s life, is of fundamental importance in American society because it encourages individuals to trust and confide freely in medical professionals. Mubita bases his Fourth Amendment argument primarily upon the grounds that the Health Department released information in violation of the Standards for Privacy of Individually Identifiable Health Information (HIPAA Standards),
The State asserts the district court correctly held that Mubita lacked standing to assert a search and seizure violation with regard to his health records because he voluntarily released the records to a third party. The State relies upon
United States v. Miller,
The Fourth Amendment guarantees the right of the people to be secure in their persons, houses, papers, and effects, against unreasonable searches and seizures.
“The Fourth Amendment’s proper function is to constrain, not against all intrusions, but against intrusions which are not justified in the circumstances, or which are made in an improper manner.”
Holton,
[T]he application of the Fourth Amendment depends on whether the person in- yokingits protection can claim a “justifiable,” a “reasonable,” or a “legitimate expectation of privacy” that has been invaded by government action. This inquiry ... normally embraces two discrete questions. The first is whether the individual, by his conduct, has “exhibited an actual (subjective) expectation of privacy,” — whether ... the individual has shown that “he seeks to preserve [something] as private.” The second question is whether the individual’s subjective expectation of privacy is “one that society is prepared to recognize as ‘reasonable,’ ” — whether ... the individual’s expectation, viewed objectively, is “justifiable” under the circumstances.
Smith v. Maryland,
In order to prevail on his claim, Mubita must first demonstrate he has a protectable Fourth Amendment interest in the subject of the search. The State asserts Mubita failed to do so, citing United States v. Miller. There, the U.S. Supreme Court stated the general rule that one does not have a Fourth Amendment interest in information he voluntarily turns over to third parties:
This Court has repeatedly held that the Fourth Amendment does not prohibit the obtaining of information revealed to a third party and conveyed by him to Government authorities, even if the information is revealed on the assumption that it will be used only for a limited purpose and the confidence placed in the third party will not be betrayed.
area in which respondent had a protected Fourth Amendment interest.
Id,
at 440,
This case is analogous. Mubita turned the laboratory reports over to the Health Department in order to obtain HIV-related services. Applying
Miller,
he thereby “assumed the risk” the documents could be further disclosed.
9
The additional documents are the Health Department’s own forms, which Mubita executed in order to receive the desired services. These are not medical records, containing information he revealed to his own physician in order to obtain medical treatment, but rather business records maintained by the Health Department to administer its HIV services. Like Miller, Mubita has no protectable Fourth Amendment interest in such documents.
10
See also United States v. Jacobsen,
Mubita does not base his claim solely on the federal constitution, recognizing this Court has extended protections under Art. 1 § 17 beyond the Supreme Court’s interpretation of the Fourth Amendment. The U.S. Supreme Court applied the rule in
Miller
to the installation and use of a pen register in
Smith v. Maryland.
The Court reiterated that a person has no legitimate expectation of privacy in information he voluntarily turns over to third parties. “When he used his phone, petitioner voluntarily conveyed numerical information to the telephone company and ‘exposed’ that information to its equipment in the ordinary course of business. In so doing, petitioner assumed the risk that the company would reveal to police the numbers he dialed.”
In
State v. Thompson,
However, we have limited the scope of
Thompson
in subsequent cases. For example, in
State v. Donato,
[I]n these cases, we provided greater protection to Idaho citizens based on the uniqueness of our state, our Constitution, and our long-standing jurisprudence. None of these factors support a divergence from the interpretation of the Fourth Amendment by the United States Supreme Court in this ease.
Id.
at 472,
Donato
and
Miller
control the outcome of this case. As per
Donato,
Mubita cites nothing that would support a divergence from the U.S. Supreme Court’s interpretation of the Fourth Amendment in this case. In fact, the State cites an analogous case, where the Court of Appeals applied
Miller
to the disclosure of public utility records.
Kluss,
Additionally, it is worth noting that HIV is a reportable disease, and statutes and regulations specifically provide for disclosure of public health records where HIV is at issue.
See
B.
The Health Department Complied with HIPAA Standards for Privacy of Individually Identifiable Health Information
Mubita also argues the records should be suppressed on the ground that the Health Department’s release of his medical records violated the HIPAA Standards. Mubita cites
Under
The prosecutor explicitly requested the documents pursuant to
Furthermore, it should be noted that, even if the State had violated HIPAA Standards, suppression of the evidence is not the proper remedy for a HIPAA violation.
See, e.g., Sanchez-Llamas v. Oregon,
C.
The Laboratory Results Were Not Properly Admitted Under the Business Records Exception, But the Error Was Harmless
Mubita asserts the district court erred in admitting laboratory reports over his objection because the reports contained hearsay. The State asserts any hearsay included within the documents was properly admitted pursuant to the business records exception. The trial court has broad discretion whether to admit hearsay under one of the exceptions, and we will not overturn the exercise of that discretion absent a clear showing of abuse.
State Dept. of Health & Welfare v. Altman,
Hearsay is a statement, other than one made by the declarant while testifying at trial, offered in evidence to prove the truth of the matter asserted.
Records of regularly conducted activity. A memorandum, report, record, or data compilation, in any form, of acts, events, conditions, opinions, or diagnoses, made at or near the time by, or from information transmitted by, a person with knowledge, if kept in the course of regularly conducted business activity, and if it was the regular practice of that business activity to make the memorandum, report, record, or data compilation, all as shown by the testimony of the custodian or other qualified witness, or by certification that complies with Rule 902(11), unless the source of information or the method or circumstances of preparation indicate lack of trustworthiness.
The scope of the business records exception is broad.
Christensen v. Rice,
Records sought to be admitted under the business records exception need not be authenticated by the person who made the records, but it is necessary that the records be authenticated by a person who has custody of the record as a regular part of his or her work or who has supervision of its cre
ation.
Mubita asserts the State failed to lay proper foundation because Dr. Moody was unsure where the blood sample was taken, either at his clinic, Palouse Medical, or at the hospital laboratory. In addition, Mubita argues the lab reports are hearsay, and do not fit within any recognized exception. He argues the documents fail to meet the business records exception because the State offered no evidence that it was a regularly conducted activity of Dr. Moody to “make” laboratory results. The State counters that both the foundational issue and the hearsay issue are settled by the business records rule. According to the State, Dr. Moody properly authenticated the lab results when he testified he had custody of the records as a regular part of his work and that the records were kept in the regular course of his work.
On the one hand, Mubita’s point is well taken.
We have yet to directly address the question of whether a lab report requested and used by a physician, but which he did not actually “make,” qualifies for the business records exception. The Court did consider the rationale for admission of hospital records in Altman, where the Court stated:
Where (as here) the trial court is satisfied that sufficient testimony has been adduced regarding the manner in which certain records have been kept and that their identity has been properly established in compliance with the act, 15 no objection on the ground of hearsay can be entertained. As applied to hospital records, compliance with the act obviates the necessity, expense, inconvenience and sometimes impossibility of calling as witnesses the attendants, nurses, physicians, X-ray technicians, laboratory and other hospital employees who collaborated to make the hospital record of the patient. It is not necesscvt'y to examine the person who actually created the record so long as it is produced by one who has the custody of the record as a regular part of [the person’s] work or has supervision of its creation.
Despite the foregoing considerations, Mubita’s contention that the business records exemption does not apply because Dr. Moody did not actually “make” the laboratory results must be addressed. While we can see no good policy reason to exclude the laboratory reports, we are not comfortable stretching the definition of “make” to the point where we ignore its ordinary meaning. Thus, rather than trying to fit the situation of these medical records within the ambit of the current rale, we feel constrained by the language of the rule to concur with Mubita that the records were improperly admitted under
The State asserts that even if the district court erred in admitting the laboratory reports, such error was harmless. An error that does not affect the defendant’s substantial rights is considered harmless and does not require reversal or a new trial. I.C.R. 52;
State v. Doe,
D.
Mubita Violated the Plain Language of
Mubita asserts it was factually impossible for him to violate the intended purpose of
The interpretation of a statute is a question of law over which this Court exercises free review.
State v. Thompson,
Where ambiguity exists as to the elements or potential sanctions of a crime, this Court will strictly construe the criminal statute in favor of the defendant.
Rhode,
In this case, we need not go beyond the plain language of the statute.
Any person who exposes another in any manner with the intent to infect or, knowing that he or she is or has been afflicted with acquired immunodeficiency syndrome (AIDS), AIDS related complexes (ARC), or other manifestations of human immunodeficiency virus (HIV) infection, transfers or attempts to transfer any of his or her body fluid, body tissue or organs to another person is guilty of a felony and shall be punished by imprisonment in the state prison for a period not to exceed fifteen (15) years, by fine not in excess of five thousand dollars ($5,000), or by both such imprisonment and fine.
Further,
At trial, D.W. testified that she stayed with Mubita for approximately six nights in October 2005. During this time, Mubita performed oral sex on D.W., but they never
E.
Jury Instruction No. 20 Does Not Constitute Reversible Error; The District Court’s Modification of the Language of the Statutory Defense Did Not Violate Mubita’s Due Process Rights
Whether the trial court properly instructed the jury presents a question of law over wMch this Court exercises free review.
State v. Blake,
Mubita objected to Instruction No. 20 below, and asserts on appeal that the district court erred when it demed Mubita’s requested instruction. First, Mubita asserts the district judge should have used his proposed instruction because it was a correct statement of the law, taken directly from Idaho Criminal Jury Instruction 982.
In tMs case, the law provides the defendant with an affirmative defense to the charges.
It is an affirmative defense to each charge of transfer or attempted transfer of body fluid that it occurred after advice from a licensed physician that the defendant was noninfeetious.
In deciding upon the reasonableness of the defendant’s beliefs, you should determine what an ordinary and reasonable person might have concluded from all the facts and circumstances wMch the evidence shows existed at that time.
The burden is on the State to prove beyond a reasonable doubt that the defendant knew he was infectious at the time the attempted transfer of body fluid occurred. If there is a reasonable doubt whether the defendant knew he was infectious, you must find the defendant not guilty.
The district court did not err when it modified the instruction. Pursuant to
In addition, Mubita argues the instruction the district court gave, with added “reasonableness” language, misstates the law and resulted in a shifting of the State’s burden of persuasion. According to Mubita, the language lightens the State’s burden to prove each and every element of the ease beyond a reasonable doubt. The United States Constitution prohibits the criminal conviction of any person except upon proof of guilt beyond a reasonable doubt.
Jackson v. Virginia,
The threshold inquiry in ascertaining the constitutional analysis applicable to a jury instruction is to determine the nature of the presumption it describes.
Sandstrom v. Montana,
Further, the instruction here did not pertain to an element of the offense. Rather, the instruction pertained to Mubita’s affirmative defense. Mubita cites no authority for the proposition that requiring a defendant to bear the burden of proving his affirmative defense violates due process. Relevant authority tends to the contrary.
See Martin v. Ohio,
DISPOSITION
We affirm the district court’s decision.
Notes
. Dr. Harries testified at trial that he made a mistake in reading the lab results. Dr. Harries mistakenly believed a test for Chlamydia and Gonorrhea was an HIV test, which mistake was not discovered until the time of trial. In fact, there was no HIV test conducted at the time.
. The alleged sexual contacts, upon which the charges against Mubita are based, began in March 2002 and continued through December 4, 2005.
.
Any person who ... knowing that he or she is or has been afflicted with acquired immunodeficiency syndrome (AIDS), AIDS related complexes (ARC), or other manifestations of human immunodeficiency virus (HIV) infection, transfers or attempts to transfer any of his or her body fluid, body tissue or organs to another person is guilty of a felony and shall be punished by imprisonment in the state prison for a period not to exceed fifteen (15) years, by fine not in excess of five thousand dollars ($5,000), or by both such imprisonment and fine.
. Nothing in the record indicates who provided the prosecutor's office with this information.
. The documents showed that Mubita tested positive for HIV twice, and that he acknowledged his HIV status in order to receive financial assistance. These documents were State’s exhibits at trial, and included two laboratory reports, the Ryan White Care Act forms, the
. Mubita does not appeal this decision.
. Promulgated pursuant to HIPAA, the Health Insurance Portability and Accountability Act of 1996. Pub.L. No. 104-191, 110 Stat.1936 (Aug. 21, 1996).
. The parties do not dispute his contention that the Health Department is a government actor.
. Mubita cites no authority to support his contention that medical records are treated differently under Fourth Amendment jurisprudence.
. Mubita also argues the HIPAA Standards create an expectation of privacy in the records.
U.S. v. Miller
answers this question. The respondent in
Miller
argued the Bank Secrecy Act created a Fourth Amendment interest in the depositor, even though there was otherwise no protectable Fourth Amendment interest.
Miller,
. Mubita also argues subsection (f)(2) of
. Law enforcement official means an officer of any agency or authority of the United States or a state who is empowered by law to investigate or conduct an official inquiry into a potential violation of the laws; or prosecute or otherwise conduct a criminal, civil, or administrative proceeding arising from an alleged violation of law.
.Further, there are additional provisions by which the State could have requested the information sought. For example,
. It should be noted that any fine would be levied against the person or entity maintaining and releasing the records, as that is the focus of HIPAA, not the third party requesting the records.
. The Act referred to here is the Uniform Business Records as Evidence Act, which was enacted in Idaho in 1939. 1939 Idaho Sess. Laws, ch. 106, § 2, p. 175, currently
. Mubita claims his Sixth Amendment rights were violated by virtue of not having the opportunity to confront and cross-examine those who actually performed the lab tests. However, since admission of the tests has been determined to be harmless error in any event, we need not address this claim.
. Mubita bases this assertion on a number of authorities demonstrating that contact with saliva has never been shown to result in transmission of HIV. The State counters with additional authority demonstrating oral sex could result in the transmission of HIV and asserts that Mubita’s allegations have no factual basis. Both parties acknowledge in their briefing that blood from the mouth may enter the body during oral sex, resulting in the transmission of HIV. None of these authorities are contained in the record below and are exclusively raised in the parties’ briefing to this Court.
. The State also asserts on appeal that Mubita was not entitled to a jury instruction on the affirmative defense as a matter of law. The State supports this contention with the claim that Mubita’s interpretation of the statute would lead to an absurd result. "Mubita interprets this language to mean that if at any point in a person’s life that person tested negative for HIV he has an automatic defense from prosecution under the statute regardless of whether at some later point in his life he finds out he is HIV positive.” Since Mubita presented no evidence that he received medical advice that he was noninfectious after being informed of his HIV positive status, Mubita was not entitled to his requested instruction. At trial, the State did not object to the jury instruction. In fact, the State conceded that Mubita presented enough evidence to obtain the instruction. Since the State did not object below, we decline to address this argument on appeal