The sole issue presented by this appeal is whether this court should abandon the
M’Naghten
test in favor of a new standard for determining the criminal responsibility of those who claim they are blameless by reason of mental illness.
1
State
v.
Johnson,
Before punishing one who has invaded a protected interest, the criminal law generally requires some showing of culpability in the offender. The requirement of a mens rea, or guilty mind, is the most notable example of the concept that before punishment may be exacted, blameworthiness must be demonstrated. That some deterrent, restraint, or rehabilitative purpose may be served is alone insufficient. It has been stated that the criminal law reflects
The law of criminal responsibility has its roots in the concept of free will. As Mr. Justice Jackson stated:
“How far one by an exercise of free will may determine his general destiny or his course in a particular matter and how far he is the toy of circumstance has been debated through the ages by theologians, philosophers, and scientists. Whatever doubts they have entertained as to the matter, the practical business of government and administration of the law is obliged to proceed on more or less rough and ready judgments based on the assumption that mature and rational persons are in control of their own conduct.” Gregg Cartage & Storage Co. v. United States,316 U.S. 74 , 78-80,62 S.Ct. 932 , 935,86 L.Ed. 1283 , 1288 (1942).
Our law proceeds from this postulate and seeks to fashion a standard by which criminal offenders whose free will has been sufficiently impaired can be identified and treated in a manner that is both humane and beneficial to society at large. The problem has been aptly described as distinguishing between those cases for which a correctional-punitive disposition is appropriate and those in which a medical-custodial disposition is the only kind that is legally permissible. See Model Penal Code, §4.01, Comment at 156 (Tent. Draft. No. 4, 1955).
Because language is inherently imprecise and there is a wide divergence of opinion within the medical profession, no exact definition of “insanity” is possible. Goldstein,
The Insanity Defense
87 (1967). Every legal definition comprehends elements of abstraction and approximation that are particularly difficult to apply in marginal cases. Our inability to guarantee that a new rule will always be infallible, however, cannot justify unyielding adherence to an outmoded standard, sorely at variance with contemporary medical and legal knowledge. Any legal standard designed to assess criminal responsibility must satisfy several objectives.
It must accurately reflect the underlying principles of substantive law and community values while comporting with the realities of scientific understanding. The standard must be phrased in order to make fully available to the jury such psychiatric information as medical science has to offer regarding the individual defendant, yet be comprehensible to the experts, lawyers, and jury alike. Finally, the definition must preserve to the trier of facts, be it judge or jury, its full authority to render a final decision.
See United States
v.
Smith,
I
The historical evolution of the law of criminal responsibility is a fascinating, complex story. For purposes of this opinion, however, an exhaustive historical discussion is unnecessary; a brief sketch will therefore suffice. The renowned “right-wrong” test had antecedents in England as early as 1582. In that year the
Eirenarcha,
written by William Lambard of the Office of the Justices of Peace, laid down as the test or criminal responsibility “knowledge of good or evil.”
See United States
v.
Currens,
Daniel M’Naghten attempted to assassinate Sir Robert Peel, Prime Minister of England, but mistakenly shot Peel’s private secretary instead. This assassination had been preceded by several attempts on the lives of members of the English Royal House, including Queen Victoria herself. When M’Naghten was tried in 1843 the jury was charged with a test heavily influenced by the enlightened work of Dr. Isaac Ray who was severely critical of the “right and wrong” rule.
See
Ray,
Medical Jursiprudence of Insanity
(1838). After the jury acquitted M’Naghten the public indignation, spearheaded by the Queen, was so pronounced that the Judges of England were summoned before the House of Lords to justify their actions. In an extraordinary advisory opinion, issued in a pressure-charged atmosphere, Lord Chief Justice Tindal, speaking for all but one of the 15 judges, reversed the charge used at trial and articulated what has become known as the
M’Naghten
rules.
See, e.g., United States
v.
Freeman,
“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 laboring under such a defect of reason, from disease of the 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 that what he was doing was wrong.” 8 Eng. Rep. at 722.
This dual-pronged test, issued in response to the outrage of a frightened Queen, rapidly became the predominant rule in the United States.
This jurisdiction has long adhered to the
M’Naghten
standard for determining criminal responsibility. In
State
v.
Quigley,
II
The
M’Naghten
rule has been the subject of considerable criticism and controversy for over a century.
See generally United States
v.
Currens,
“[t]he principle behind M’Naghten, namely, that defect of cognition as a consequence of mental disease is the primary exculpating factor in the determination of legal insanity, has probably never been other than a legal fiction.” Diamond, From M’Naghten to Currens, and Beyond, 50 Calif.L.Rev. 189, 189 (1962).
M’Naghten
has been further criticized for being predicated upon an outmoded psychological concept because modern science recognizes that “insanity” affects the whole personality of the defendant, including the will and emotions.
Durham
v.
United States,
“Nothing makes the inquiry into responsibility more unreal for the psychiatrist than limitation of the issue to some ultimate extreme of total incapacity, when clinical experience reveals only a graded scale with marks along the way. * * *
“The law must recognize that when there is no black and white it must content itself with different shades of gray.” Model Penal Code, §4.01, Comment at 158 (Tent. Draft No. 4, 1955).
By focusing upon total cognitive incapacity, the
M’Naghten
rule compels the psychiatrist to testify in terms of unrealistic concepts having no medical meaning. Instead of scientific opinions, the rule calls for a moral or ethical judgment from the expert which judgment contributes to usurpation of the jury’s function as decision maker.
See United States
v.
Currens,
Probably the most common criticism of
M’Naghten
is that it severely restricts expert testimony, thereby depriving the jury of a true picture of the defendant’s mental condition.
See, e.g., United States
v.
Freeman,
III
Responding to criticism of
M’Naghten
as a narrow and harsh rule, several courts supplemented it with the “irresistible impulse” test.
E.g., Parsons
v.
State,
The most significant break in the century-old stranglehold of
M’Naghten
came in 1954 when the Court of Appeals for the District of Columbia declared that, “an accused is not criminally responsible if his unlawful act was the product of
mental disease or mental defect.”
Durham
v.
United States,
214, F.2d 862, 874-75 (D.C.Cir. 1954). The “product” test, first pioneered by the Supreme Court of New Hampshire in
State
v.
Pike,
Several commentators have advocated abolition of the separate defense of lack of criminal responsibility due to a mental illness.
See, e.g.,
Dershowitz,
Abolishing the Insanity Defense; The Most Significant Feature of the Administration’s Criminal Code-An Essay,
9 Crim.L.Bull. 434 (1973); Goldstein & Katz,
Abolish the “Insanity Defense”
—
Why Not?,
72 Yale L.J. 853 (1963). Proponents contend that abolition would result in the responsibility issue being more properly considered as the existence vel non of the mens rea. Under a common proposal the criminal process would be bifurcated; first, the jury would resolve the question of guilt,
and second, a panel of experts would determine, the appropriate disposition. Arguably, abolition of the, separate defense is subject to constitutional objections because it potentially abrogates the right to trial by jury and’ offends the guarantee of due process. We believe that such a drastic measure, if advisable at all, is appropriately left to the legislative process.
Accord., United States
v.
Browner,
IV
Responding to the criticism of the
M’Naghten
and irresistible impulse rules, the American Law Institute incorporated a new test of criminal responsibility into its Model Penal Code.
5
The Model Penal Code has received widespread and evergrowing acceptance. It has been adopted with varying degrees of modification in 26 states
6
and by every federal court of appeals that has addressed the issue.
7
Although
Without question the essential dilemma in formulating any standard of criminal responsibility is encouraging a maximum informational input from the expert witnesses while preserving to the jury its role as trier of fact and ultimate decision maker. As one court has aptly observed:
“At bottom, the determination whether a man is or is not held responsible for his conduct is not a medical but a legal, social or moral judgment. Ideally, psychiatrists — much like experts in other fields — should provide grist for the legal mill, should furnish the raw data upon which the legal judgment is based. It is the psychiatrist who informs as to the mental state of the accused — his characteristics, his potentialities, his capabilities. But once this information is disclosed, it is society as a whole, represented by judge or jury, which decides whether a man with the characteristics described should or should not be held accountable for his acts.” United States v. Freeman,357 F.2d at 619-20 .
Because of our overriding concern that the jury’s function remain inviolate, we today adopt the following formulation of the Model Penal Code test:
A person is not responsible for criminal conduct if at the time of such conduct, as a result of mental disease or defect, his capacity either to appreciate the wrongfulness of his conduct or to conform his conduct to the requirements of law is so substantially impaired that he cannot justly be held responsible.
The terms “mental disease or defect” do not include an abnormality manifested only by repeated criminal or otherwise antisocial conduct. 8
There are several important reasons why we prefer this formulation. The greatest strength of our test is that it clearly
delegates the issue of criminal responsibility to the jury, thus precluding possible usurpation of the ultimate decisioniby the expert witnesses. Under the test we have adopted, the jury’s attention is appropriately focused upon the legal and moral aspects of responsibility because it must evaluate the defendant’s blameworthiness in light of
Several other components of our new test require elucidation. Our test consciously employs the more expansive term “appreciate” rather than “know.” Implicit in this choice is the recognition that mere theoretical awareness that a certain course of conduct is wrong, when divorced from appreciation or understanding of the moral or legal impact of behavior, is of little import.
See United States
v. Freeman,
The drafters of the Model Penal Code left to each jurisdiction a choice between the terms “wrongfulness” and “criminality.” We prefer the word “wrongfulness” because we believe that a person who, knowing an act, to be criminal, committed it because of a delusion that the act was morally justified, should not be automatically foreclosed from raising the defense of lack of criminal responsibility. 9
The second paragraph of our test is designed to exclude from the concept of “mental disease or defect” the so-called psychopathic or sociopathic personality.
See
Model Penal Code, §4.01, Comment at 160, (Tent. Draft. No. 4, 1955). We have included this language in our test to make clear that mere recidivism alone does not justify acquittal.
See United States
v.
Freeman,
V
As we have emphasized previously, preserving the respective provinces of the jury and experts is an important concern. Consonant with modern medical understanding,
our test is intended to allow
VI
So there will be no misunderstanding of the thrust of this opinion, mention should be made of the treatment to be afforded individuals found lacking criminal responsibility due to a mental illness under the test we have adopted. Unquestionably the security of the community must be the paramount interest. Society withholds criminal sanctions out of a sense of compassion and understanding when the defendant is found to lack capacity. It would be an intolerable situation if those suffering from a mental disease or defect of such a nature as to relieve them from criminal responsibility were to be released to continue to pose a threat to life and property. The General Laws provide that a person found not guilty because he was “insane” 11 at the time of the commission of a crime shall be committed to the Director of the State Department of Mental Health for observation. At a subsequent judicial hearing if he is found to be dangerous, the person must be committed to a public institution for care and treatment. G.L. 1956 (1968 Reenactment) §26-4-4. This procedure insures society’s protection and affords the incompetent criminal offender necessary medical attention.
Our test as enunciated in this opinion shall apply to all trials commenced after the date of this opinion. The defendant in the instant case is entitled to a new trial solely on the issue of criminal responsibility.
The defendant’s appeal is sustained and the case is remanded to the Superior Court
Notes
As we indicated in
State
v.
Nault,
Phrenologists viewed the brain as divided into 35 distinct areas. Each area controlled a specific mental function. The sixth area, for example, was denominated “destructiveness.” Monomania was a state of mind in which a single insane idea predominated while the rest of the thought processes remained normal.
United States
v.
Freeman,
One authority has noted:
“Despite the inclusion of alternative tests in the original M’Naghten case, the most common form in which the M’Naghten test now appears is ‘whether the defendant had the capacity to know right from wrong in respect to the particular act charged.’ Most jurisdictions which apply M’Naghten seem to assume that the requirement of ’knowing the nature and quality of the act’ adds nothing to the right-wrong test. A cogent argument might be made that a person may be able to retain intellectual knowledge of right and wrong and yet not understand the ‘nature and quality’ of his act (i.e. its social significance).” Brakel & Rock, The Mentally Disabled and the Law 379-80 (rev. 2d ed. 1971).
The defense of lack of criminal responsibility due to a mental illness in this jurisdiction is a judicial creation which we are free to alter.
Cf. Digby
v.
Digby,
“(1) A person is not responsible for 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 [wrongfulness] of his conduct or to conform his conduct to the requirements of law.
“(2) As used in this article, the terms ‘mental disease or defect’ do not include an abnormality manifested only by repeated criminal or otherwise antisocial conduct.” Model Penal Code, §4.01 (Final Draft, 1962).
The following 18 states have clearly adopted the Model Penal Code test: Alaska —
Alaska Stat.
§12.45.083 (1972); California —
People
v.
Drew,
Additionally, eight states and the District of Columbia have adopted the Model Penal Code test with some modification: Arkansas —
Ark. Stat. Ann.
§41-601 (1977) (omits “substantial”); Delaware —
Del. Code tit. 11,
§401 (1975) (volitional test phrased “sufficient willpower to choose whether he would do the act or refrain from doing it”); District of Columbia —
Bethea
v.
United States,
United States
v.
Freeman,
The First Circuit court has not had recent occasion to address this issue.
See Amador Beltran
v.
United States,
This test was proposed as an alternative by the minority of the American Law Institute Council that drafted the Model Penal Code. One of its most forceful advocates was Professor Herbert Wechsler, the reporter for the Model Penal Code. See Wechsler,
The Criteria of Criminal
Responsibility, 22 U. Chi. L. Rev. 367, 372 (1955). The test is substantially similar to the tests proposed by the British Royal Commission on Capital Punishment in 1953,
see United States
v.
Brawner,
Seventeen states have elected the term “wrongfulness”: Alaska, Connecticut, Delaware, Hawaii, Idaho, Indiana, Maine, Michigan, Missouri, New York, Ohio, Tennessee, Texas, Utah, Wyoming, West Virginia, and Wisconsin. For citations see note 6 supra. The D.C., 2d, 5th, 6th, 7th, 8th and 9th Circuit Courts of Appeals have held likewise. For citations see note 7 supra.
“Seventeen states have included this exclusionary paragraph as part of their standard: Alaska, Arkansas, Connecticut, Hawaii, Illinois, Indiana, Maine, Maryland, Missouri, Montana, Oregon, Tennessee, Texas, Utah, Vermont, Wisconsin, and Wyoming. For citations see note 6 supra. The federal courts of appeals are nearly evenly divided on this issue.
We have previously expressed our preference for the phrase “lack of criminal responsibility due to a mental illness.” See note 1 supra. We wish to make it clear that for purposes of G.L. 1956 (1968 Reenactment) §26-4-4 a person shall be considered “insane” if he is found not guilty by reason of lack of criminal responsibility under the test we have enunciated in this opinion.
