Commonwealth v. Maxwell

808 N.E.2d 806, 441 Mass. 773, 2004 Mass. LEXIS 287
Massachusetts Supreme Judicial Court·Decided May 25, 2004·Published·Cited by 11 cases

Opinion

Cordy, J.

A judge in the District Court reported two questions to the Appeals Court pursuant to Mass. R. Crim. P. 34, 378 Mass. 905 (1979). We transferred the case to this court on our own motion. The first question concerns the nature and scope of the showing required of the Commonwealth before a defendant may be ordered to submit to a buccal swab for deoxyribonucleic acid (DNA) analysis.1 The second question concerns whether and how a defendant in a criminal case may properly access medical records relevant to his defense, but protected by the statutory prohibition against releasing human immunodeficiency virus (HIV) test results in the absence of a patient’s consent. See G. L. c. Ill, § 70F.

For the reasons set forth below, we conclude that, similar to a postindictment request for a blood sample, after a criminal complaint has issued, the Commonwealth may obtain a buccal swab by demonstrating at an adversary (but not necessarily evidentiary) hearing, that the buccal swab will probably provide evidence relevant to the question of the defendant’s guilt. See Commonwealth v. Trigones, 397 Mass. 633, 640 (1986). We also conclude that records subject to the protections of G. L. c. 111, § 70F, may be discovered, using the same procedures and standards as those employed for the requested discovery of rape counselling records privileged under G. L. c. 233, § 20J. See Commonwealth v. Fuller, 423 Mass. 216 (1996).

1. Background. Jason Maxwell was charged with sexually assaulting a patient at a hospital where he worked as a laboratory technician. The patient was being treated for a brain infection at the time of the alleged assault. According to a police report submitted to the court, the patient alleged that he was indecently [775] touched by a hospital employee who was drawing his blood. The patient then observed the employee masturbate and ejaculate into a rubber glove. The glove was recovered, and testing subsequently confirmed that it contained sperm cells. Based on its records, the hospital identified the employee as Maxwell.

a. The buccal swab. After complaints issued charging Maxwell with indecent assault and battery and indecent exposure,2 the Commonwealth filed a motion seeking an order compelling him to participate in the production of a DNA sample by permitting a buccal swab to be taken. The motion was supported by the police report of the incident and affidavits from two State chemists. Based on the report and the affidavits, the Commonwealth contended that comparison of the DNA profile of the sperm cells found in the glove with the DNA profile of the biological evidence that would be obtained from the buccal swab, would lead to material evidence regarding Maxwell’s guilt as the perpetrator of the indecent assaults. Maxwell argued that in order to obtain the sample the Commonwealth needed to show, at an evidentiary hearing, that there was probable cause to believe he committed the offenses with which he was charged, and that the testing of the sample sought would probably produce evidence relevant to the question of his guilt.3

At the hearing on the motion, Maxwell conceded that the testing would probably produce evidence relevant to his guilt, but the judge ruled that the Commonwealth was also required to show probable cause that Maxwell committed the offenses charged as a prerequisite to obtaining the order. The judge concluded, however, that the Commonwealth had adequately made this showing through the submissions supporting its mo[776] tian, and that an evidentiary hearing was not necessary.* **4 He then decided to report the question under rule 34.

b. Medical records. Prior to trial and pursuant to Mass. R. Grim. P. 17, 378 Mass. 885 (1979), Maxwell requested that a subpoena issue for the patient’s medical records, in order to ascertain the nature, extent, and effect of the brain infection for which he was being treated and the medication he was taking at the time of the alleged assault. That request was allowed, and a subpoena was issued and served on the hospital.5 The hospital moved to quash the subpoena on the basis of G. L. c. Ill, § 70F, which prohibits a hospital from releasing the results of an HIV test without the patient’s consent.6 The hospital contended that § 70F creates an absolute bar to the production of the medical records sought (in the absence of patient consent), and, unlike other similar statutes, see, e.g., G. L. c. Ill, § 70 (hospital records generally), and G. L. c. 123, § 36 (certain mental health records), contains no provision for the release of records pursuant to court order.

After finding that it was “undisputed” that the medical records contained information covered by § 70F, and that there was no practical way of redacting the records to avoid its strictures, the judge noted Maxwell’s argument that he would be deprived of important evidence in his defense if he were unable to access records bearing directly on the ability of the only percipient witness accurately to perceive and recall the events on which the criminal charges were based. The judge opined that the Bishop-Fuller protocol7 seemed to be the most analogous and appropriate procedure through which to balance [777] the conflicting statutory and constitutional interests at stake, but in the absence of precedent regarding the protections afforded medical records subject to § 70F, he determined to report the question of its applicability.8

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Commonwealth v. Maxwell, 808 N.E.2d 806, 441 Mass. 773, 2004 Mass. LEXIS 287 (Mass. 2004).

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