Lead Opinion
Dеfendant Judy Welch appeals orders of the district court denying two motions to suppress evidence and two motions to dismiss. She was charged with concealing material facts in obtaining prescriptions for regulated drugs. 18 V.S.A. § 4223(a)(3) & (h). Defendant argues that her right to privacy was violated by a warrantless inspection of her prescription records at Rutland area pharmacies, that the investigation of her prescriptions for “doctor shopping” was tainted by confessions she made after signing an immunity agreement, and that she lacked the requisite mens rea for the alleged violations. We affirm.
I.
On October 5,1988, Judy Welch was working as a nurse at the Rutland Correctional Center (RCC). She was relieved at 2:30 p.m. by nurse Nancy McDonald, but before leaving for the day Welch went to a neighborhood pharmacy to pick up a prescription of Vicodan for an inmate. This was unusual because the pharmacy routinely delivered prescriptions. Later that after
O’Malley, who knew that Welch had previously had a drug problem, met with her on October 7. At O’Malley’s behest, Welch telephoned McDonald after the meeting and admitted that she had taken the two tablets. O’Malley took no further action regarding the incident. In March 1989, however, an employee of RCC wrote to the state’s attorney alleging drug diversions from the RCC infirmary, and shortly thereafter, O’Malley received a letter from the state’s attorney inquiring about “potential drug abuse” at RCC. O’Malley assigned Assistant Superintendent Stewart Robinson to investigate the matter.
On April 3, Robinson interviewed defendant as part of the internal RCC investigation. Defendant read and signed a so-called Garrity warning, see Garrity v. New Jersey,
As a result of the complaint to the state’s attorney, Trooper Steven Brown of the Vermont State Police Drug Task Force began an independent criminal investigation. On or about March 24, 1989, he interviewed nurse McDonald, who related the events of October 5 and told him of defendant’s admission that she had taken two Vicodan tablets. He also interviewed Robinson and O’Malley, who confirmed that defendant had admitted the Vicodan incident and had, in O’Malley’s words, “fallen off the wagon.” Brown already knew of defendant’s pre
Lt. Gary Boutin, one оf Brown’s supervisors, suggested a check of area pharmacies to see if defendant was “doctor shopping” — i.e., securing prescriptions for controlled substances from more than one practitioner. Brown called all the pharmacies in Rutland and obtained information on defendant’s prescriptions from four of them. He discovered that some of the prescriptions overlapped. He went to the pharmacies, obtained the original prescriptions, and then visited the practitioners involved. Three of them signed statements to the effect that defendant had not told them about existing prescriptions, a fact that would have been material to a decision to prescribe medication for her. In these interviews, Brown saw no patient files and sought only to verify the prescription evidence he already had. On the basis of this investigation, the State charged defendant with four counts of concealing a material fact in obtaining regulated substances.
II.
Defendant first contends that Trooper Brown violated her rights under the Fourth Amendment to the United States Constitution and Chapter I, Article 11 of the Vermont Constitution when he inspected her pharmacy records without a warrant. Dеfendant argues that she has a legitimate expectation of privacy in her pharmacy records because they are medical records and society recognizes the confidentiality of medical records. The State contends that there is no legitimate expectation of privacy in prescription records that must be kept readily available, pursuant to Vermont law, for inspection by authorized officials. The trial court found that a privacy interest existed, but concluded that no search warrant was required because extensive federal and state regulatory schemes govern controlled
A.
As we recently noted, the privacy right protected by both the Fourth Amendment
Under the Fourth Amendment, an individual must demonstrate a legitimate expectation of privacy in the place searched or the items seized before the court will consider
Defendant may not have standing to assert her Fourth Amendment claim, see Whalen v. Roe,
In deciding whether defendant has standing to assert her privacy claim under Article 11 of the Vermont Constitution, we look at the objective relationship of the person to the place searched or items seized, as opposed to a subjective evaluation of the legitimacy of the person’s expectation of privacy. Wood,
In the instant case, it was defendant whose illicit actions gave rise to the pharmaceutical records. Further, patients, including defendant, share with their pharmacists an expectation that information obtained in an inspection of their prescriptions will not be disclosed except in certain limited ways. 18 V.S.A. § 4211 (access to records barred to all but authorized officials, and no person having knowledge by virtue of his office of any such record shall divulge such knowlеdge, except in connection with a prosecution or licensing proceeding).
In so holding, we reject defendant’s claim that her privacy interest in the pharmacy records is predicated upon doctor-patient confidentiality. Neither the statute, 12 V.S.A. § 1612(a), nor the evidentiary rule, V.R.E. 503, includes pharmacists among the professionals covered by the patient’s privilege. The reason may be that the communications involved in pharmacy records are between a prescriber and a pharmacist, not between a prescriber and patient. But even if pharmacists were included, the rules of evidence exempt from privilege any report of a medical condition “required to be made by statute.” V.R.E. 503(d)(6). Under 18 V.S.A. § 4217, it is the duty of every doctor and hospital to report promptly to the board of health all cases wherein a person has been or is being treated for drug abuse. We are satisfied that there is no patient’s privilege available to defendant herein with respect to her pharmaceutical records. We agree instead with the trial court, that defendant does have a privacy interest that derives from her expectation that those records cannot be arbitrarily disclosed, and hold that she has standing to raise her claim under Article 11. We move now to a consideration of the merits of her claim.
B.
Under Article 11, a search requires a warrant and probable cause except in exceptional circumstances which make the warrant and probable-cause requirement impracticable. Berard,
1.
The trial court adopted the “pervasively regulated industry” exception to the warrant requirement and concluded that the warrantless inspection of prescriptions for controlled substances was reasonable. This exception to the warrant requirement has been applied to allow warrantless administrative inspections of businesses that are closely regulated by the government where such inspections are necessary for effective enforcement of the law. See Burger,
The “pervasively regulated industry” exception has been adopted in several states in litigation involving owners or pro
Vermont has long required anyone selling potentially dangerous drugs, including narcotics, to keep accurate records. As early as 1904, the Legislature required that such records specify “the kind and quantity of the article sold, and the time when, and the name of the person to whom such sale is made, which record shall be open to all health officers, members of the state board of health and state officials who may wish to examine the same.” 1904, No. 143, § 13. In 1915, the Legislature required prescriptions for the use of narcotics. Records of their sale were to be kept for not less than two years, and to be “at all times open to inspection by [health officials and] police authorities and police officers of cities and towns.” 1915, No. 197, § 4. In 1945, the Legislature adopted the Uniform Narcotic Drug Act, 1945, No. 113, which put into place many of the statutory provisions still in effect today, including the requirement that pertinent records be open to inspection by state and federal officials responsible for enforcing narcotics laws. Id. § 17. In short, the Legislature has consistently recognized the state’s interest in regulating the drug industry and that official access to prescription records is critical to effective drug enforcement.
Pronouncing an industry “pervasively regulated” will not alone validate a warrantless inspection. The United States Supreme Court has held that “[i]n the context of a regulatory inspection system of business premises that is carefully limited in time, place, and scope, the legality of the search depends not on consent but on the authority of a valid statute.” Biswell,
Taking each Burger criterion in turn, we first find, as already stated, that the state has a substantial interest in the regulation of dangerous drugs. We conclude, second, that Vermont’s statute permitting authorized persons warrantless access to prescription records of controlled substances reasonably serves the achievement of that interest. See Whalen,
In further discussion of the second criterion, the Burger Court held that the New York regulations of automobile junkyards permitting warrantless inspections were not only reasonable but were also necessary. The Court analogized the exigency facing the police in their inspection of the junkyard in Burger to that facing the investigators seeking to inspect a gun dealer’s storeroom in Biswell, namely, that in order for the deterrent function of the regulations to be effective, “‘unan
With respect to the third Burger criterion, the Supreme Court stated that “the regulatory statute must perform the two basic functions of a warrant: it must advise the owner of the commercial premises that the search is being made pursuant to the law and has a properly defined scope, and it must limit the discretion of the inspecting officers.” Burger,
We therefore hold that the warrantless inspection of pharmacy records maintained under Title 18, chapter 84, is permissible, and agree with the trial court that the inspection un
2.
Next, we consider whether a warrantless inspection may be used to gather evidence for a criminal prosecution. Some jurisdictions have held that the exception to the warrant requirement applies only to routine administrative inspections, not to criminal investigations. See Commonwealth v. Frodyma,
Finally, we address defendant’s claim that 12 V.S.A. § 1612(a) and V.R.E. 503 prohibited the prescribers in this case from disclosing any information to Trooper Brown when he interviewed them to verify the prescriptions. The trial court concluded that any information communicated to a prescriber by defendant was not privileged under 18 V.S.A. § 4223(b), which nullifies any privilege where the communication .is made in an attempt to obtain drugs illegally. Defendant argues that this is circular
Interviews with prescribers are not dealt with in chapter 84. We agree that the trial court’s reasoning raises a circularity, but we do not concede that the interviews here were improper. Without deciding whether or not the information communicated to the prescribers and thence to Trooper Brown was privileged, we find that any error was harmless. At the time of the interviews, Brown already had in his possession prescriptions that indicated probable violations by defendant. He sought merely to verify that the prescriptions had indeed been written by each prescriber, and elicited from them the opinion that had they been aware of a concurrent prescription from another prescriber, their own prescribing decisions would have been affected. Of course, prescribers of dangerous drugs are themselves subject to regulatory provisions pursuant to chapter 84. See, e.g., 18 V.S.A. § 4210(a), (d) (physicians must keep records, subject to inspection by authorized federal and state officers, of all regulated drugs received, sold, administered, dispensed or professionally used); id. § 4217 (physicians must report all cases of drug abuse). If there was error here, it was harmless.
In sum, we hold that defendant cannot prevail in her challenge to the constitutionality of the warrantless inspection of her prescription records at the various pharmacies.
III.
Defendant next argues that Brown’s doctor-shopping investigation was prompted by knowledge of involuntary statements she made to RCC personnel in which she admitted taking the Vicodan tablets. Those admissions, she claims, taintеd any evidence obtained by Brown, which therefore should have been suppressed. The trial court agreed that her statements were made under threat of being fired, and granted her motion to suppress the statements she made to Superintendent O’Malley on October 7,1988, those she made to nurse McDonald over the telephone on October 7, 1988, and those made to Assistant Superintendent Robinson at the interview on April 3, 1989. The
Under both the United States and the Vermont Constitutions, a confession must be voluntary in order to be used against a criminal defendant. Chambers v. Florida,
Brown’s inquiry began in March 1989 following a letter to the state’s attorney from an RCC employee. Brown learned of defendant’s admissions during his interview with McDonald on or about March 24, 1989, after defendant’s talk with O’Malley but before her talk on April 3 with Robinson when she signed the Garrity warning. Suppressed statements therefore mingled with independent observations by McDonald. The independent observations, however, indicated to a virtual certainty that Welch had taken the Vicodan tablets. Among these observations were defendant’s unusual behavior in personally retrieving the inmate’s prescription, the missing tablets, the range “10-12” noted in the medication log, and the call that evening from defendant asking if everything was all right. It was not necessary, therefore, for Brown to “exploit” the suppressed statements in order to build a case against defendant.
IY.
Defendant’s next claim is that the Garrity warning immunized her from prosecution based on her statements to Robinson on April 3. In addition, she argues that Robinson was acting on behalf of the State when he initiated the interview, and therefore, she is immune pursuant to 12 V.S.A. § 1664.
The rule in Garrity and defendant’s signature on the “Employee Warning” form foreclose the use of her statements or any evidence derived from those statements in subsequent criminal proceedings. Garrity,
Defendant also claims immunity under 12 V.S.A. § 1664. This statute grants authority to immunize individuals compelled to testify in court or grand jury proceedings who wish to invoke their right against self-incrimination. Their testimony, and any evidence derived directly or indirectly from it, cannot be used in subsequent criminal proceedings against them. Defendant asserts that the Corrections Department and the State are the same entity, because Brown needed no subpoena in order to see the prescription records at the RCC. She contends that Robinson was acting on behalf of the State when he provided defend
Defendant’s conclusion is groundless. Immunity applies only to those called to testify in a proceeding before or ancillary to a court or grand jury and who wish to invoke their rights against self-incrimination. The statute makes no reference to administrative proceedings. Id. Moreоver, even if we were to find that the State and the Corrections Department are the same entity, Robinson had no statutory authority to grant immunity. That prerogative belongs solely to the presiding judge, at the request of the attorney general or state’s attorney. Id. § 1664(b), (c); see State v. Hamlin,
V.
Finally, defendant argues that the State failed to prove that she knowingly concealed a material fact when she obtained overlapping prescriptions for regulated drugs from different practitioners. The State does not dispute that 18 V.S.A. § 4223(a)(2) requires a “knowing” mens rea, but argues that the evidence was sufficient to prove beyond a reasonable doubt that defendant concealed material facts by deliberately withholding information about her prescriptions. The trial court agreed.
Intent must often be inferred from what a person does, and proved by circumstantial evidence. State v. Cole,
Affirmed.
Notes
The Fourth Amendment to the United States Constitution states:
The right of the people to be secure in their persons, houses, papers, and effects, against unreasonable searches and seizures, shall not be violated, and no Warrants shall issue, but upon probable cause, supported by Oath or affirmation, and particularly describing the place to be searched, and the persons or things to be seized.
Chapter I, Article 11 of the Vermont Constitution states:
That the people have a right to hold themselves, their houses, papers, and ,. pоssessions, free from search or seizure; and therefore warrants, without oath or affirmation first made, affording sufficient foundation for them, and whereby by any officer or messenger may be commanded or required to search suspected places, or to seize any person or persons, his, her or their property, not particularly described, are contrary to that right, and ought not to be granted.
The New York Court of Appeals, in a split decision, recently ruled, however, that the statute at issue in Burger violates the New York Constitution’s guarantee against unreasonable searches and seizures because (1) the essential element of pervasive governmental supervision is lacking, and (2) the statute fails to set forth appropriate guidelines or restrictions for warrantless searches. New York v. Keta,
Other sections of chapter 84 also require that drug records and prescriptions be kept readily available for inspection: 18 V.S.A. § 4210(d) (records of authorized sale or dispensing of drugs to be kept for three years “subject to inspection by a federal officer or an officer of this state . . . engaged in the enforcement of the federal drug laws or of this chapter”); § 4211 (prescriptions and records “shаll be open for inspection only to federal or state officers”); § 4218(c) (each party to transaction of sale by duly licensed manufacturer of regulated drugs to keep record for three years “in such a way as to be readily accessible for inspection”); § 4215(a) (pharmacist shall keep record of prescriptions, with full name and address of patient, for period of three years, “so as to be readily accessible for inspection by a federal or state officer... engaged in the enforcement of the federal drug laws or of this chapter.”).
Dissenting Opinion
dissenting. Today, the majority rules that the police have unlimited access to the prescription records of every pharmacist in the state of Vermont and may, without warrant or probable cause, search those records in hopes of finding violations of law, not by pharmacists, but by patients. In other words, as a consequence of today’s ruling, the prescription records of all persons held by a Vermont pharmacist are open to unrestricted surveillance by the police.
One of the great conservative justices of the United States Supreme Court once observed that <([t]he history of liberty has largеly been the history of observance of procedural safeguards.” McNabb v. United States,
The majority permits the warrantless search in this case based on an exception to the warrant requirement for administrative searches of commercial enterprises. This is despite the fact that, from the outset, the State admits the search was aimed at gathering criminal evidence against an individual patient rather than conducting a routine administrative inspection of a regulated business. Because I believe that allowing warrantless searches to uncover criminal evidence under thе guise of the administrative search exception undermines Arti
Article 11 protects the people of this state from unreasonable, warrantless governmental intrusions into their private affairs. State v. Kirchoff,
Where a privacy interest is implicated, warrantless searches are permitted only in exceptional circumstances that are factually and narrowly tied to an exigency or special needs. See State v. Savva,
Against this backdrop, the majority permits the police to inspect the prescription records of an individual based on an officer’s hunch that they will provide evidence that the individual has committed a crime. The majority arrives at its holding by concluding that the warrantless inspection was a proper search of a “pervasively regulated” business. This is a remarkable conclusion considering that the “pervasively regulated industry” exception adopted by the majority is an exception to the warrant requirement of an administrative search, and that not even the State contends that this particular search was administrative in nature. Therefore the warrantless search could only be supported by exigent circumstances or special needs, none of which was present here.
The application of the administrative search exception is disturbingly ironic in this case considering that, because of our aversion to warrantless searches, we have refused to follow federal precedents that derogate “the central role of the judiciary in Article Eleven jurisprudence.” Berard,
Nothing in the language of § 4211 suggests that the provision was intended to do anything more than to provide the authority for officers to make random, routine compliance inspections of the records of controlled premises. Cf. Kirchoff,
The primary evil Article 11 sought to avoid was the issuance and enforcement of general warrants. Record,
Moreover, the owners of pervasively regulated businesses are on notice of the special government interest in their affairs, and they impliedly consent, by engaging in such businesses, to the abridgement of certain rights in exchange for the right to do business at all. See United States v. Biswell,
Although I ground my dissent on Article 11, I believe the instant search would be improper even under the United States Supreme Court’s ever-narrowing interpretations of the Fourth Amendment. In Camara v. Municipal Court,
This exception is relevant, however, only within the context of administrative searches, as evidenced by the United States Supreme Court’s most recent pronouncement on administrative searches. See New York v. Burger,
Contrary to the majority’s statement herein, motive of the officers conducting the search is a relevant consideration under Burger. The Court in Burger was concerned with a routine administrative investigation that uncovered criminal evidence, not with a criminal investigation unrelated to any administrative search. Commonwealth v. Slaton,
The situation here is similar to the one in Slaton, where the Pennsylvania Supreme Court recently upheld the suppression of evidence obtained by narcotics agents, who first inspected prescription records of a suspected individual with the consent of the pharmacist, and then returned to inspect more records after the focus of the investigation had turned to the pharmacist. According to the court, the “primary flaw” in the State’s position was its characterization of the agents’ action as an “administrative search,” which the court labeled as an attempt “to diminish [the defendant’s] expectation of privacy in the premises searched.” Id. at 212,
In the case at bar, the narcotics agents’ only purpose in searching Slaton’s pharmacy was to investigate alleged activity. This was true even when the first search was conducted. The agents never claimed to have any administrative purpose but instead, declared at the outset that*96 their desire was to gather additional information for an ongoing criminal investigation whose subject at that time was someone other than Slaton. The search, therefore, was not an administrative inspection conducted, as the Burger case requires, on a regular basis, but a discretionary act by officials who were involved in an ongoing criminal investigation. Since it was never claimed that the searches were administrative, the question of the parameters of an administrative search is not relevant here. The traditional Fourth Amendment warrant requirements for a valid search, therefore* apply in this case.
Id. at 214,
The lower federal courts have adopted conflicting positions on whether the motivation of law enforcement officers should affect the validity of an administrative search warrant. Compare United States v. Acklen,
State courts that have recently addressed the same issue, however, have not felt so constrained. In addition to the Massachusetts and Pennsylvania cases already cited, the highest courts of New York and Ohio have recently held that law enforcement authorities must obtain a warrant based on probable cause before searching regulated enterprises as part of an ongoing criminal investigation, even where statutory law permits administrative searches of the enterprises. Despite the Supreme Court’s relatively limited holding in Burger, the New York Court of Appeals recently rejected that analysis and determined that the same statute it had earlier struck down under the Fourth Amendment also violated the state constitutional
The Supreme Court of Ohio has also recently held that the search and seizure provision of the state constitution prohibits police from searching for criminal evidence pursuant to a statute authorizing warrantless “administrative” searches. State v. Penn,
I recognize that it will not always be easy, as it is in this case, to determine whether a search is truly administrative in character or merely an attempt to uncover evidence of a crime. But this difficulty does not permit us to abdicate our duty to protect the citizens of this state from unconstitutional searches. If we are to allow law enforcement officials to inspect personal records, without judicial oversight, pursuant to an exception that permits routine administrative searches, we cannot then shrug our shoulders in helplessness while police exploit that exception by using it to gather evidence on individuals suspected of crimi
Our constitution requires a warrant when the government seeks to uncover evidence of criminal activity. Cf. State v. Dorn,
There is one other point about the majority’s opinion that deserves mention. Even if the search of defendant’s pharmaceutical records had been lawful, I disagree with the majority’s conclusion that admission of the statements police obtained from defendant’s physicians was harmless error. The majority agrees that the court’s reasoning for allowing admission of the statements — that the statements were non-privileged because they were found to be made in an attempt to obtain illegal drugs — is flawed because it allows the State to declare a communication nonprivileged after the doctor-patient confidentiality has been breached. Nevertheless, the majority upholds the court’s ruling, stating that admission of the evidence was harmless because the police sought only to find out
I do not understand the majority’s reasoning. The patient’s privilege is very broad. Our law prohibits physicians from disclosing “any information acquired in attending a patient in a professional capacity, and which was necessary to enable the provider to act in that capacity.” See State v. Raymond,
Once we conclude the communication is privileged, we cannot call it harmless unless “‘it is clear beyond a reasonable doubt that the jury would have returned a guilty verdict regardless of the error.’” State v. Wright,
Accordingly, I dissent not only from the majority’s conclusion that the warrantless search of defendant’s prescription records was lawful, but also from the conclusion that admission of statements made to police by defendant’s doctors was harmless error.
I am authorized to say that Justice Morse joins in this dissent.
