On April 14, 1983, the defendant was convicted of murder in the first degree of James Mortellite and of murder in the second degree of Jeffrey Connors. We accept the defendant’s argument that the trial judge committed reversible error in refusing to instruct the jury on the issue of the defendant’s criminal responsibility in accordance with
Commonwealth
v.
McHoul,
On December 24, 1981, the defendant, a security guard for the Wells Fargo Company, went target shooting with a friend and later attended a Christmas party. At the party, he temporarily placed his gun and holster in a tool box. The defendant and another friend went shopping and then to that friend’s house, where the defendant placed his gun in a closet. At approximately 8 p.m., he retrieved the gun and left. Before leaving, the defendant telephoned his wife and asked her to make sure that the children did not go to bed before he arrived home, and stated that he would be home shortly.
That evening, at the White Eagle Cafe, the defendant was seen asking various women to dance and was said to be “pest[eringj” them. The defendant was also observed “out-starting]” people. There were complaints to the bartender about the defendant, and she requested that the defendant leave.
A witness, Theodore Sullivan, who was present at the bar from approximately 9 a.m. on December 24, and who had been “sipping” beer throughout the day, observed the defendant standing with a knife in his hand. The blade of the knife was six to seven inches long. Sullivan knocked the knife out of the defendant’s hand, retrieved the knife, and put it in his belt. The defendant was not observed making threatening gestures with the knife. Sullivan subsequently brought the knife home, misplaced it, and was unable to produce the knife at trial. The defendant never asked the witness to return his knife.
The defendant left the bar at one point and returned approximately forty-five minutes later. Again, he began “bothering”
At that point, one of the victims, James Mortellite, pushed the defendant against a wall, causing the defendant’s head to strike a wall lamp, breaking the globe and bending the metal frame. The defendant then walked toward the exit door of the bar, turned to the victims and said, “If you’re coming, come on.” 1 Other patrons told the defendant to close the door. The defendant left the bar followed by the two victims.
Several witnesses reported their observations of the events outside the café. The defendant, facing the two victims, was backing down 2 the street alongside the café, and the three men were exchanging words. The victims, clad in T-shirts and jeans, were not carrying anything, although they were approaching the defendant and forcing him to back away. At some point the defendant pulled out his gun. One witness testified at trial that the defendant shouted, “Keep away — I have a gun and I’ll shoot,” and then one of the victims, who was taller than the defendant, aimed a karate-type kick toward the defendant’s head. The defendant then fired a “warning” shot at the ground. A second witness testified that the warning shot came prior to the kick. After the first shot was fired, the two victims rushed the defendant. The defendant fired two more shots; one victim fell to the ground, and the other continued to brawl with the defendant. At that point in time, the defendant’s back was close to a fence next to the club. Both victims died from the bullet wounds.
The police arrived on the scene shortly thereafter and observed the defendant standing with a gun in his hand. He stated to the police, “Here’s the gun. I shot him. Here’s the gun.”
The defendant’s father was called by the Lynn police, and when he arrived at the station, the defendant told him that “they” hit him from the back with a bat, “they were jumping
The police testified that the defendant did not seem to realize that there was a second victim of the shooting. He did not mention the karate kick or his warning shot to the ground. 4
A friend of the defendant visited him three days after the shooting at the White Eagle Cafe, and observed that the defendant’s lip was “bulged out,” that he had a cut below and above his left eye, a gash on the back of his head, blood clotted in his hair, and discoloration around his left eye. The defendant had no memory of the night of the shooting except for his presence at the café, and he had a vague remembrance of a fight, and of his lawyer’s presence at the police station. The defendant complained that his head hurt, and his friend observed that the defendant was “kind of spaced out [and] disoriented.”
Three witnesses testified for the defendant in support of his insanity defense: Dr. Edwin B. Faulkner, a general practitioner, who examined the defendant on December 28, 1981, Dr. Roy Freeman, a neurologist, and Paul Spiers, a clinical neuro-psychologist. Their testimony is set forth in detail as the issues are discussed in this opinion.
1.
Instructions on criminal responsibility under Commonwealth v. McHoul.
The defendant filed a request that the judge charge the jury on insanity. The request was denied, and the defendant argues on appeal that the evidence was sufficient to
The following testimony was presented to the jury which, taken as a whole, required an instruction under Commonwealth v. McHoul, supra. Dr. Faulkner, who examined the defendant three days after the shootings, testified that the defendant was experiencing pain in the left side of his head, nausea, double vision, and dizziness. The defendant had a blood clot in his left eye and two lacerations to the left parietal area of the skull just behind the ear. Dr. Faulkner also stated that the defendant suffered a concussion on the evening of December 24, and that his injuries were caused by “being struck or striking” a blunt instrument. The doctor described the state of mind of one who has a concussion as not realizing one’s present situation.
Dr. Freeman, a neurologist, one who specializes in diseases of the brain, defined a concussion as a “sudden impairment in
Dr. Freeman testified about the defendant’s past medical history. In 1978, the defendant had been in an automobile accident during which his head hit the windshield and the defendant lost consciousness for some duration of time.
In 1979, the defendant fell from the top of a truck, and remained unconscious for an uncertain span of time. He also suffered some memory loss, hearing loss, and a right temporal laceration. X-rays of his skull showed that he had also sustained a fracture to the left parietal area of his skull. When conscious, the defendant experienced disorientation and loss of memory. 5
Dr. Freeman testified that a “coup” injury, which is most likely what the defendant suffered in his 1978 car accident, affects the frontal lobe area of the brain and may affect one’s state of arousal, control of impulses, and ability to reason and exercise good judgment. He also testified that the defendant had residual damage from his prior accidents at the time of his examination.
Dr. Freeman examined the defendant six months after the shootings. The result of an EEG (test measuring electrical activity of the brain) was abnormal, and tests revealed some dysfunction of the defendant’s brain. Dr. Freeman described a dysfunction as a “particular function that is related to the area or parts of the body not being carried out appropriately or correctly.” When asked by defense counsel whether a person in a state of concussion would be suffering from a mental
Dr. Freeman preferred to categorize the defendant’s head injuries as constituting a “frontal lobe dysfunction” rather than as a “disease.” He did state that “[a] state of concussion may be considered a mental defect temporarily.” The doctor was not able to answer with certainty a question by defense counsel fashioned in language from McHoul because he had not examined the defendant on the night of the shootings. He did testify, however, “I think that it’s likely that he suffered a concussion injury [a]nd in those terms, I think that it’s possible that he was incapable of conforming his behavior to the requirements of law.”
The testimony of Dr. Freeman alone was sufficient to warrant an instruction on insanity under
McHoul.
See
Commonwealth
v.
Mattson, supra
at 644. An expert witness is not required to fashion an answer to the exact language in
McHoul
in order to justify an instruction,
6
nor is the element of absolute certainty required. See
Commonwealth
v.
Shelley,
Moreover, the facts of this case, quite apart from any expert testimony, demand an insanity instruction. See
Blaisdell
v.
Commonwealth,
Finally, Spiers’ testimony further enhanced the necessity for a McHoul charge. He reviewed the defendant’s prior medical records and the police reports and examined the defendant upon the referral of Dr. Freeman. He conducted a series of tests measuring the defendant’s perceptual, verbal and performance intelligence, and conceputal ability. He testified that, “in summary, the neuro-psychological examination suggested that there was evidence of residual frontal lobe dysfunction on both sides of the brain and some left temporal lobe dysfunction.” His interpretation of the same EEC’s discussed in Dr. Freeman’s testimony was that the defendant had “some subtle abnormalities bi-frontally,” which were consistent with the dysfunction that he had found on the defendant’s neuro-psychological examination. Spiers also stated that the defendant’s statements to the police subsequent to the shooting, and his behavior at the time of the shooting, were consistent with the acts and statements of someone with a dysfunction in the brain, “which is ... of the kind typically seen in a concussion [and which can cause] confusion, amnesia, confabulation and complex acts, and yet a lack of awareness for those acts.”
The judge would not allow Spiers to state whether any of his tests indicated the existence of a “mental disease” or “defect.” Spiers did comment, however, that his tests do not determine the existence of “mental illness” but are aimed at determining whether there is “brain dysfunction.” In reference
We reverse the convictions because of the judge’s failure to charge the jury under
Commonwealth
v.
McHoul, supra.
“Where the appropriateness of an insanity instruction is marginal, the better choice would seem to be to err on the side of giving it, since the Commonwealth has the ultimate burden of proving the defendant sane beyond a reasonable doubt, and the jury are ‘the sole judge [s] of this factual issue.’”
Commonwealth
v.
Mattson,
2.
Exclusion of Spiers’ opinion testimony.
The defendant next contends that it was reversible error to exclude Spiers’ opinion testimony under
Commonwealth
v.
McHoul, supra,
on the ground that Spiers was not a physician.
8
We agree with this contention. In this Commonwealth, a lay witness is precluded from giving an opinion on a person’s sanity or insanity although that witness can testify to facts observed.
9
See
Commonwealth
v.
Schulze,
A person may qualify as an expert capable of rendering an opinion on criminal responsibility without being a psychiatrist. He may be, as here, a psychologist. “The critical factor is the [witness’s] actual experience and the probable probative value of his testimony.”
United States v. Green,
In the present case, Spiers was eminently qualified in the field of neurological dysfunctions.
11
He was a clinical neuro-
As we previously stated, Spiers was not allowed to render an opinion
12
under
McHoul,
nor was he allowed to answer the question whether any of the tests indicated that the defendant was suffering from a mental disease, or that a concussion was a mental defect.
13
We note that the defendant failed to object to the exclusion of Spiers’ testimony and did not make an offer of proof. However, because we are reversing the convictions on another ground, we need not decide whether there was a substantial risk of a miscarriage of justice which would require a new trial. See
Commonwealth
v.
Henson,
3. Refusal of instruction on shod foot. The defendant’s assertion that the judge committed reversible error in refusing to charge that a shod foot could be considered a dangerous weapon giving rise to self-defense is without merit.
In assessing the sufficiency of jury instructions, we consider the charge in its entirety “to determine the ‘probable impact, appraised realistically . . . upon the jury’s factfinding function.’ ”
Commonwealth
v.
Richards,
We think that the charge more than adequately covered the substance of self-defense. A judge is not required to grant a particular instruction so long as “he cover[s] adequately the substance of the requested instructions.”
Commonwealth
v.
Lowe,
4.
Introduction of evidence of defendant’s possession of knives.
We have repeatedly stated that evidence of specific acts of prior misconduct may not be introduced in an attempt to show that the defendant has a bad character or a propensity to commit crimes. See, e.g.,
Commonwealth
v.
Binkiewicz,
In the present case, the defendant challenges the introduction of evidence that a witness at the White Eagle Cafe knocked a knife with a six-inch blade out of the defendant’s hand, and also that a folding buck knife was found in the defendant’s possession during a custodial search at the police station.
There was no evidence indicating that the second knife was more than a mere pocket jackknife, or that the defendant was charged with illegal possession of a dangerous weapon. The evidence of this knife had slight probative value on the issue of the defendant’s state of mind, and should be excluded at the new trial because of its possible prejudicial effect on the jury.
On the other hand, the testimony that the defendant was displaying a knife at the bar was probative of the defendant’s over-all state of mind on the night of the shootings as tending to show that he was the aggressor. “The prosecution was entitled to present as full a picture as possible of the events surrounding the incident itself.”
Commonwealth
v.
Bradshaw,
Judgments reversed.
Verdicts set aside.
Notes
The bartender did not tell the police that the defendant had made this statement. Another witness, Sandra Stevens, who testified about this statement, had previously told the police that the defendant had said something but that she did not know what he had said. In fact Stevens had previously stated to the police that the defendant was “chased” out because he would not close the door. At trial, she claimed to have no recollection of this statement.
One witness had testified that the defendant turned around and looked startled.
It was later established that neither victim was named Richard Gaudet.
Investigation revealed that there were four “spent” cartridge casings on the ground and one live projectile. No inquiry was ever made into how many shots were actually fired. The defendant’s gun was capable of holding five cartridges.
The defendant’s friend testified that after the fall from the truck, the defendant was unable to carry on a conversation, that he exhibited slurred speech and difficulty hearing in the right ear. One month later the defendant appeared to be “back to normal.”
We note that if reference is made to a standard it must be framed in terms of
McHoul,
and furthermore, an opinion to be admissible must be based on more than a possibility. See
Commonwealth
v.
Amaral,
We recognize that the judge gave an instruction under
Commonwealth
v.
Gould,
The Commonwealth argues that the judge did not limit his reasons for excluding Spiers’ testimony to the fact that Spiers was not a physician, but that the judge ruled in general that Spiers was not a qualified expert to render a McHoul opinion. We disagree. It is obvious from the record that Spiers’ credentials would render him a qualified expert in the subject area in issue, although we are careful not to invade the discretion of the trial judge in making this determination. It is also clear from the judge’s statement that “[t]his man is not a physician, with all due respect to his training and the work he does . . that the judge was not going to allow the witness to give his opinion under any circumstances despite his credentials.
We note, as we have in the past, that our stringent rule runs contrary to Fed. R. Evid. 701 and Rule 701 of the Proposed Mass. R. Evid. as well as to the rules in many jurisdictions. See
Commonwealth
v.
Schulze,
Other jurisdictions support this ruling. See
People
v.
Pennington,
Spiers testified that his job is to “differentiate on the basis of psychological testing, on the basis of psychological interviews, and ... of other information available to [him], [and to determine] whether or not the problems the patient may be having in [his] behavior [are] related to some neurological condition.” He further commented that the field of neuropsychology parallels psychiatry without the medical training, and that it is a recent specialty within the field of psychology. Spiers works primarily with patients who have brain damage as opposed to a neurosis which requires therapy or other forms of psychological treatment. His main interest is in behavioral changes when the brain functioning has been temporarily disrupted.
We note that Spiers’ testimony would be admissible only if he were able to render an opinion about the defendant’s behavior on December 24, 1981.
Commonwealth
v.
Sheehan,
Spiers stated that his testing does not determine the presence of “mental illness” per se but is aimed at seeing if there is a brain dysfunction. He commented that the presence of mental illness is something that doctors decide or diagnose.
The defendant’s father, a former police officer, testified that he has witnessed several assaults committed with a “shod foot.”
