Lead Opinion
Opinion
Petitioner Anderson Hawthorne, Jr., is under a judgment of death. He challenges his sentence as cruel and unusual punishment based on allegations he is mentally retarded. Under the authority of Penry v. Lynaugh (1989)
While the matter was pending, the California Legislature enacted Penal Code section 1376 (section 1376), which sets forth the standards and procedures for determining whether a defendant against whom the prosecution seeks the death penalty is mentally retarded within the meaning of Atkins. (Stats. 2003, ch. 700, § 1.) By its terms, section 1376 applies only to preconviction proceedings. We issued an order to show cause to determine how to resolve postconviction claims of mental retardation. (Cf. In re Steele (2004)
Discussion
Although, as a constitutional principle, execution of the mentally retarded violates the Eighth Amendment, the United States Supreme Court “ ‘le[ft] to the State[s] the task of developing appropriate ways to enforce the constitutional restriction upon [their] execution of sentences.’ [Citation.]” (Atkins, supra,
The new legislation makes no provision for cases in which the death penalty has already been imposed. The task thus falls to this court to formulate appropriate procedures for resolving postconviction claims.
We are not alone in confronting this gap in the law. Following Penry v. Lynaugh, supra,
Oklahoma’s statute likewise operates prospectively only. In Lambert v. State (2003) 2003 OKCR 11 [
Neither Ohio nor Louisiana has a statutory bar to executing the mentally retarded. The holding in Atkins thus left to the state supreme courts the responsibility of devising appropriate standards and procedures. (See State v. Williams (La. 2002)
We conclude a similar approach—tracking section 1376 as closely as logic and practicality permit—is warranted here, both to maintain consistency with our own legislation and the judicial frameworks adopted in other jurisdictions and to avoid due process and equal protection implications.
Postconviction claims of mental retardation should be raised by petition for writ of habeas corpus, which—consistent with our current policies—may be filed initially in this court. (See Cal. Supreme Ct., Policies Regarding Cases Arising from Judgments of Death, policy 3, std. 2-1.) To state a prima facie claim for relief, the petition must contain “a declaration by a qualified expert stating his or her opinion that the [petitioner] is mentally retarded . . . .” (§ 1376, subd. (b)(1).) Not only must the declarant be a qualified expert, i.e., an individual with appropriate education, training, and experience, the declaration must explain the basis for the assessment of mental retardation in light of the statutory standard.
“Mentally retarded” means “the condition of significantly subaverage general intellectual functioning existing concurrently with deficits in adaptive behavior and manifested before the age of 18.” (§ 1376, subd. (a).) The Legislature derived this standard from the two clinical definitions referenced by the high court in Atkins, supra,
Accordingly, as with preconviction applications, the expert’s declaration must set forth a factual basis for finding the petitioner has significantly subaverage intellectual functioning and deficiencies in adaptive behavior in the categories enumerated above. The evidence must also establish that the intellectual and behavioral deficits manifested prior to the age of 18. (See generally People v. Duvall (1995)
With respect to the intellectual prong of section 1376, respondent Attorney General urges the court to adopt an IQ of 70 as the upper limit for making a prima facie showing. We decline to do so for several reasons: First, unlike some states, the California Legislature has chosen not to include a numerical IQ score as part of the definition of “mentally retarded.” Respondent cites nothing in the language or legislative history of section 1376 to support our insertion of a standard the Legislature has omitted. Moreover, statutes referencing a numerical IQ generally provide that a defendant is presumptively mentally retarded at or below that level, rather than—as respondent impliedly argues—that a defendant is presumptively not mentally retarded above it. (See, e.g., Neb. Rev. Stat. § 28-105.01; N.M. Stat. Ann. § 31-20A-2.1.) Second, a fixed cutoff is inconsistent with established clinical definitions (see ante, at pp. 47-48) and fails to recognize that significantly subaverage intellectual functioning may be established by means other than IQ testing. Experts also agree that an IQ score below 70 may be anomalous as to an individual’s intellectual functioning and not indicative of mental impairment. (See Am. Psychiatric Assn., Diagnostic and Statistical Manual of Mental Disorders (4th ed. 2000) pp. 41-42.) Finally, IQ test scores are insufficiently
Upon the submission of an appropriate declaration “by a qualified expert” (§ 1376, subd. (b)(1)), this court will—as a general rule—then issue an order to show cause returnable in the superior court in which the original trial was held, with directions to hold a hearing on the question of the petitioner’s mental retardation. (See In re Hochberg (1970)
With respect to the evidentiary hearing, section 1376 affords preconviction defendants the alternative of requesting a court proceeding or a jury trial. For several reasons, we deem it inappropriate to extend the jury trial option to postconviction claims. First, there is no statutory imperative to do so. Section 1376, subdivision (b)(1), provides that “the same jury [as rendered the guilty verdict and special circumstance finding] shall make a
Second, allowing for a jury trial would be inconsistent with established habeas corpus procedure. While a petitioner is entitled to “a full and fair hearing” on his prima facie claim, Penal Code section 1484 authorizes only “[tjhe Court or Judge” to hear the proceedings.
Finally, we perceive no constitutional mandate in this regard. In Atkins, supra,
Consistent with section 1376, subdivision, (b)(2), the petitioner may be subject to examination by an expert appointed by the court or designated by the prosecution, or both. (See Centeno v. Superior Court, supra, 117 Cal.App.4th at pp. 39-41.) At the hearing, “the court . . . shall decide only the question of the [petitioner’s] mental retardation.” (§ 1376, subd. (b)(2).) Evidence relating to the underlying crimes shall be admissible only to the extent relevant on this question. (Morrison v. State (2003)
In this case, petitioner has submitted, among other exhibits in support of his claim, the declaration of Dale G. Watson, Ph.D., a qualified clinical neuropsychologist practicing in “neuropsychological and psychodiagnostic assessment, psychotherapy, forensic psychology and in-patient hospital consultation.” According to his declaration, Watson has reviewed a substantial amount of background material relating to petitioner’s upbringing, educational performance, family environment, adaptive behavior, and mental condition. In addition to considering petitioner’s prior intelligence test results, he “conducted a comprehensive neuropsychological evaluation” in June and August of 1995, at which time he “administered a full battery of standard neuropsychological tests, conducted a mental status examination and clinical review.” As a result, Watson concluded petitioner “is one of the most profoundly impaired individuals that I have seen within a forensic population.” He further opined that “based upon [petitioner’s] obtained IQ scores [most of which show borderline retardation of 70-75
Petitioner has also submitted a declaration of George Woods, M.D., who specializes in psychiatry and neurology. Woods interviewed petitioner but did not administer any additional intelligence tests. Based upon Woods’s “experience and education, the review of voluminous documents, [his] interview with [petitioner], the data and information compiled by other experts whose declarations [he had] reviewed and [his] review of the historical, medical, psychological and educational information,” he likewise concluded petitioner “is both mentally retarded and psychiatrically impaired.”
We find this evidentiary showing sufficient to meet the statutory threshold entitling petitioner to a hearing on the question of his mental retardation. Respondent argues that, taken at face value, the various declarations attesting to petitioner’s intellectual and adaptive deficiencies do not
Disposition
The matter is transferred to the Los Angeles County Superior Court with directions to hold a hearing on the issue of petitioner’s mental retardation consistent with the views expressed in this opinion.
Kennard, J., Baxter, J., Werdegar, J., Chin, J., and Moreno, J., concurred.
Notes
Section 1376, subdivision (b)(1) provides: “In any case in which the prosecution seeks the death penalty, the defendant may, at a reasonable time prior to the commencement of trial, apply for an order directing that a mental retardation hearing be conducted. Upon the submission of a declaration by a qualified expert stating his or her opinion that the defendant is mentally retarded, the court shall order a hearing to determine whether the defendant is mentally retarded. At the request of the defendant, the court shall conduct the hearing without a jury prior to the commencement of the trial. The defendant’s request for a court hearing prior to trial shall constitute a waiver of a jury hearing on the issue of mental retardation. If the defendant does not request a court hearing, the court shall order a jury hearing to determine if the defendant is mentally retarded. The jury hearing on mental retardation shall occur at the conclusion of the phase of the trial in which the jury has found the defendant guilty with a
Section 1376, subdivision (b)(2) provides: “For the purposes of the procedures set forth in this section, the court or jury shall decide only the question of the defendant’s mental retardation. The defendant shall present evidence in support of the claim that he or she is mentally retarded. The prosecution shall present its case regarding the issue of whether the defendant is mentally retarded. Each party may offer rebuttal evidence. The court, for good cause in furtherance of justice, may permit either party to reopen its case to present evidence in support of or opposition to the claim of retardation. Nothing in this section shall prohibit the court from making orders reasonably necessary to ensure the production of evidence sufficient to determine whether or not the defendant is mentally retarded, including, but not limited to, the appointment of, and examination of the defendant by, qualified experts. No statement made by the defendant during an examination ordered by the court shall be admissible in the trial on the defendant’s guilt.”
Section 1376, subdivision (b)(3) provides: “At the close of evidence, the prosecution shall make its final argument, and the defendant shall conclude with his or her final argument. The burden of proof shall be on the defense to prove by a preponderance of the evidence that the defendant is mentally retarded. The jury shall return a verdict that either the defendant is mentally retarded or the defendant is not mentally retarded. The verdict of the jury shall be unanimous. In any case in which the jury has been unable to reach a unanimous verdict that the defendant is mentally retarded, and does not reach a unanimous verdict that the defendant is not mentally retarded, the court shall dismiss the jury and order a new jury impaneled to try the issue of mental retardation. The issue of guilt shall not be tried by the new jury.”
We also reject respondent’s argument—not raised in his return but in response to the amicus curiae—that this court should “adopt a forensic test, such as was contained in In re Ramon M. (1978)
A report by Michael P. Maloney, Ph.D., who evaluated petitioner and administered a number of psychological tests in 1983 while petitioner was awaiting trial, reflects that “[o]n several performance (nonverbal reasoning) subtests of the Wechsler Adult Intelligence Scale, he had an estimated I.Q. of approximately 71. This would place him in the bottom 3% of the population in terms of overall intellectual ability.”
Concurrence Opinion
I concur with the majority opinion, which I have signed. I write separately only to stress that although Penal Code section 1376 (section 1376) states no particular intelligence quotient (IQ) below which a person must score in order to be considered mentally retarded, standardized tests like IQ tests remain important. As the majority opinion explains (maj. opn., ante, at p. 47), section 1376’s standard is derived from Atkins v. Virginia (2002)
Section 1376 defines mental retardation, in part, as including “significantly subaverage” intellectual functioning. (§ 1376, subd. (a).) The American Association on Mental Retardation (AAMR) states in its amicus curiae brief that “the term ‘significantly subaverage’ has been used by mental retardation professionals to describe the level of impairment found in individuals whose performance on standardized intelligence tests places them two standard deviations below the mean; that is, in the lowest two and a half or three percent of the population.” (Italics added.) This formulation is consistent with the Atkins court’s statement that between 1 and 3 percent of the population has an IQ between 70 and 75 or lower, the typical cutoff IQ for the intellectual function prong. (Atkins, supra,
Kennard, J., concurred.
Petitioner’s petition for a rehearing was denied March 16, 2005. Brown, J., did not participate therein.
