In re RAMON M., a Person Coming Under the Juvenile Court Law. KENNETH F. FARE, as Acting Chief Probation Officer, etc., Plaintiff and Respondent, v. RAMON M., Defendant and Appellant.
Crim. No. 19933
Supreme Court of California
Oct. 10, 1978
22 Cal. 3d 419
In re RAMON M., a Person Coming Under the Juvenile Court Law.
KENNETH F. FARE, as Acting Chief Probation Officer, etc., Plaintiff and Respondent, v. RAMON M., Defendant and Appellant.
Paul Halvonik, State Public Defender, and Charles M. Sevilla, Chief Assistant State Public Defender, for Defendant and Appellant.
William S. Greene, Wylie A. Aitken, Edward I. Pollock, William P. Camusi and Leonard Sacks as Amici Curiae on behalf of Defendant and Appellant.
Evelle J. Younger, Attorney General, Jack R. Winkler, Chief Assistant Attorney General, S. Clark Moore, Assistant Attorney General, Norman H. Sokolow and Howard J. Schwab, Deputy Attorneys General, for Plaintiff and Respondent.
OPINION
TOBRINER, J.—
Understandably, in view of our past adherence to M‘Naghten, neither defendant‘s expert witness, counsel, nor the trial court evaluated defendant‘s capacity in terms of the ALI standard. Since substantial evidence supports the proposition that defendant, a retarded fourteen-year-old with a mental age of about five or six, lacked the capacity to conform his conduct to legal requirements, we conclude that the failure to employ the ALI test was prejudicial; we reverse the judgment finding defendant to be a person described by
With respect to defendant‘s other contentions, we hold that the presumption of
1. Statement of Facts.
Defendant, a 14-year-old youth, appeals from a decision of the juvenile court finding him to be a person described by
At 1:45 a.m. on May 22, 1976, one Ricardo Hernandez was walking on the sidewalk in Los Angeles. Three youths, including defendant, attacked Hernandez, striking him with their belts. Hernandez took refuge in a passing tow truck. The driver radioed for police assistance; when the police arrived the truck driver pursued and caught defendant.
Upon cross-examination, Dr. Maloney stated that defendant was aware of the nature and quality of his act—the assault upon Hernandez—and that petitioner knew that an unprovoked assault upon another person was wrong, but that because of his low intelligence he was extremely suggestible. If urged to commit an assault by persons whom he trusted, defendant would probably believe that the assault was right.
Mrs. Betty Wise, a child services worker with the county department of social services, testified that she had interviewed defendant at the juvenile hall. In that interview defendant indicated that he knew that it was wrong to run away from juvenile hall, to steal someone‘s property or to assault someone.
Defendant testified briefly. When asked what would happen if he stole or hit someone, he responded that he would have to go to court. When
At the close of testimony the juvenile court judge dismissed the count charging a violation of curfew because of defendant‘s inability to tell time. The court, however, concluded that defendant was of sound mind, not an idiot, and consequently found that he wilfully and unlawfully fought in a public place in violation of
2. We adopt the A.L.I. test, as stated in section 4.01, subpart (1) of the Model Penal Code, to define the defense of idiocy.
The California
Although the Legislature has thus established idiocy, lunacy, and insanity as defenses to crime, it has never attempted to define those terms.5 This court in People v. Gorshen (1959) 51 Cal.2d 716 [336 P.2d
In discharging that responsibility, the judiciary has not found it necessary to fashion separate tests for the defenses of idiocy, lunacy, and insanity. Because all those terms describe mental conditions which render a defendant not “of sound mind,” a single test, defining the degree of mental incapacity which renders a person incapable of crime, will suffice to instruct the jury on each of these defenses.6 Accordingly, the California courts have employed a single standard, which until recently was the M‘Naghten test, to define the defenses of idiocy, lunacy, and insanity.
In People v. Drew, supra, ante, page 333, we rejected the M‘Naghten test as a test of insanity. We there explained the deficiencies in M‘Naghten which demonstrated its inadequacy: M‘Naghten‘s exclusive emphasis upon the defendant‘s cognitive capacity without regard for his lack of volitional control; its failure to recognize degrees of incapacity; its stultifying effect upon psychiatric testimony. These same deficiencies speak against the continued use of M‘Naghten as a test of the defense of idiocy.
Moreover, to maintain M‘Naghten as a test of idiocy, now that it has been replaced by the ALI standard as a test of insanity, would give rise to difficult and unnecessary complications. A defendant who knew that his act was wrong, but was unable to conform to legal requirements, would be acquitted if his incapacity arose from mental illness but convicted if it arose from mental retardation—a discrimination difficult to justify. Juries, confronted with two different tests, would be compelled to determine the source of a defendant‘s mental incapacity; experts would debate whether disabling conditions which arose during childhood
Such difficulties can be avoided by continuing to employ the same test for the defense of idiocy as governs the defense of insanity.9 Having held in People v. Drew, supra, ante, that the defense of insanity will hereafter be governed by the ALI test—a test which, as we shall explain, was carefully crafted to encompass incapacity arising from mental retardation—the logical and practical answer is to adopt that test to govern the defense of idiocy.10
The ALI test refers to incapacity resulting from “mental disease or defect.” (Italics added.) This phrase stems from the opinion of Judge Bazelon of the District of Columbia Circuit in Durham v. United States, supra, 214 F.2d 862. He defined those terms as follows: “We use ‘disease’ in the sense of a condition which is considered capable of either improving or deteriorating. We use ‘defect’ in the sense of a condition which is not considered capable of either improving or deteriorating and which may be either congenital, or the result of injury, or the residual
The Durham definition of mental “defect,” as further elucidated in McDonald, plainly encompasses mental retardation as well as incurable mental illness. Consequently commentators have viewed the ALI adoption of this language as designed to demonstrate that the ALI test includes incapacity arising from mental retardation. (President‘s Committee on Mental Retardation, The Mentally Retarded Citizen and the Law (1976) p. 632.)
In sum, it is unnecessary for us to fashion separate standards for the defenses of insanity and idiocy or to encounter the difficult theoretical and practical problems which such separate standards would create. The ALI test, already adopted by this court in Drew, serves to define all defenses of mental incapacity, and thus encompasses both idiocy and insanity. We conclude that the defense of idiocy proffered by defendant in the present case is defined by the ALI standard, and that defendant‘s mental retardation constitutes a defense to criminal conduct if “at the time of such conduct as a result of mental disease or defect he lacks substantial capacity either to appreciate the criminality of his conduct or to conform his conduct to the requirements of law.” (Model Pen. Code (Proposed Official Draft 1962) § 4.01, subpart (1).)11 As in People v. Drew, supra, ante, our decision applies retroactively to cases in
3. Defendant is not entitled to the presumption of incapacity applicable to children under the age of 14.
Arguments essentially identical to those raised by defendant today were presented to this court in People v. Oxnam, supra, 170 Cal. 211 and People v. Day (1926) 199 Cal. 78 [248 P. 250]. In Oxnam the trial court rejected a defense based on mental deficiency; defendant then moved for a new trial, submitting an affidavit showing him to have a mental age of eight. We affirmed the trial court‘s order denying that motion. In People v. Day defendant also moved for a new trial based upon affidavits showing that his mental age was that of a child under 14. We responded that “Section 26 of the Penal Code, subdivision 1, is not susceptible of the constrained construction contended for by the defendant . . . Said section clearly refers to the physical age of a child and has no reference to the mental or moral age of an adult.” (199 Cal. 78, 87.)
The concept of “mental age” derives from intelligence testing. Although a person may grow in wisdom and experience throughout life, one‘s capacity to learn does not significantly increase beyond the age of 18. Thus the “mental age” of the average adult under present norms is approximately 16 years and 8 months. (See Terman & Merrill, Stanford Binet Intelligence Scale with revised 1972 tables of norms by Robert L. Thorndike (1973) p. 426.) Approximately 16 percent of the adult population and a much higher percentage of adolescents between ages 14 and 18 have “mental ages” below 14 years. Under defendant‘s proposed
Contrary to defendant‘s assertion we find nothing unreasonable in interpreting
4. Having resolved this appeal on other grounds, we do not determine whether the trial court abused its discretion in failing to declare a doubt as to defendant‘s competency to stand trial.
Although no one suggested at trial that defendant was incompetent to stand trial, defendant now contends on appeal that the trial court should have declared a doubt on the matter sua sponte and ordered a hearing to determine that question. (See
Under these circumstances, a question arises whether the trial court abused its discretion (see People v. Laudermilk (1967) 67 Cal.2d 272, 283 fn. 10 [61 Cal.Rptr. 644, 431 P.2d 228]; People v. Pennington (1967) 66 Cal.2d 508, 518 [58 Cal.Rptr. 374, 426 P.2d 942]) in failing to declare sua sponte a doubt respecting defendant‘s competency to stand trial. Since we
5. Disposition of this appeal.
It is not surprising, in view of the fact that we had not then endorsed the ALI test of mental capacity, that neither witnesses nor counsel structured their presentation at trial in terms of defendant‘s capacity to conform to legal requirements. The trial record nevertheless adduces substantial evidence of defendant‘s incapacity. His extremely low intelligence, his inability to engage in abstract reasoning, and his suggestibility present a picture of someone who lacks the capacity to prefer the high abstract principle of obedience to law over the malign urgings of his companions.
Although the trial judge did not state the standard he employed in finding defendant mentally competent, we cannot presume that he utilized the ALI test which this court had not yet approved. If he had employed the ALI test, we believe it probable that he would have upheld defendant‘s defense of idiocy. Concluding, therefore, that the court‘s failure to adjudge defendant‘s capacity by the ALI standard was prejudicial (see
The judgment is reversed.
Bird, C. J., Mosk, J., and Jefferson, J.,* concurred.
RICHARDSON, J.—I respectfully dissent. As I have indicated in my dissenting opinion in the case of People v. Drew, supra, ante, page 333 at page 353 [149 Cal.Rptr. 275, 583 P.2d 1318], I believe that the majority, by repudiating the modified California M‘Naghten test of insanity and adopting instead the American Law Institute (ALI) formulation, has invaded the responsibility of the Legislature. Having once committed
*Assigned by the Chairperson of the Judicial Council.
In addition to the numerous inadequacies in the ALI test expressed in my Drew dissent, the ALI test does not satisfactorily dispose of the problem, present also in the original M‘Naghten formulation, of the dominant role in the case played by expert witnesses who are permitted to testify as to the ultimate fact of criminal responsibility. This result has also been widely criticized, and is illustrated precisely by the present case. Here, the clinical psychologist called by the defense testified that defendant was aware of the nature and quality of his act—the assault upon Hernandez—and that defendant knew that an unprovoked assault upon another person was wrong. However, the psychologist also stated that because of his low intelligence the defendant was extremely susceptible to suggestion and if urged to commit an assault by persons whom he trusted, he would probably believe that the assault was proper.
The original M‘Naghten standard provides that “To establish a defense on the ground of insanity it must be clearly proved that, at the time of committing the act, the party accused was labouring under such a defect of reason, from disease of mind, as not to know the nature and quality of the act he was doing; or if he did know it, that he did not know he was doing what was wrong.” (M‘Naghten‘s Case (1843) 10 Clark & F. 200, 210 [8 Eng. Rep. 718, 722].)
Judged by the M‘Naghten standard defendant would not be relieved of his criminal responsibility since the testimony of the defense psychologist established that defendant was aware of the nature and quality of his act and knew that it was wrong. Without any contrary evidence the testimony of the psychologist is fully determinative on the issue of criminal responsibility.
The majority, while decrying what it characterizes as the M‘Naghten test‘s “stultifying effect upon psychiatric testimony,” (ante, p. 426) here eagerly adopts a test which once again entrenches the expert witness in a position in which his answer to the somewhat different question, regarding the defendant‘s ability to conform his actions, will again be virtually dispositive of the issue of criminal responsibility. This fact simply illustrates again that more thought in a legislative forum would produce a better result.
Clark, J., and Manuel, J., concurred.
