Lead Opinion
Thomas Clyde Bowling, Jr., a Kentucky death row inmate represented by counsel, applied for leave to file a second or successive petition for a writ of habeas corpus pursuant to 28 U.S.C. § 2244. He asserts that he is mentally retarded and therefore ineligible for the death penalty under Atkins v. Virginia,
I.
In December 1990, a Kentucky state jury tried and convicted Bowling of two counts of murder in the deaths of James and Tina Early. The trial court sentenced him to death. The Supreme Court of Kentucky affirmed the convictions and sentence on direct appeal. Bowling v. Commonwealth,
In August 1999, Bowling filed a petition for a writ of habeas corpus under 28 U.S.C. § 2254 in federal district court. Without ordering an evidentiary hearing, the district court denied the petition, and this court affirmed the district court’s opinion. Bowling v. Parker,
Bowling subsequently filed an action in Fayette Circuit Court against Warden Glenn Haeberline, claiming that he is exempt from the death penalty because he is mentally retarded. Bowling v. Commonwealth,
While the Kentucky state court action was ongoing, Bowling filed an application for leave to file a second or successive petition for a writ of habeas corpus with this court. In his application, he asserts that he is actually innocent of the death penalty because he is mentally retarded. He also filed a Rule 60(b) motion to reopen his first habeas corpus proceeding in the United States District Court for the Eastern District of Kentucky. The district court denied the motion, and Bowling filed a request for a certificate of appealability with this court.
II.
An application for permission from this court to file a second or successive habeas petition must not involve a claim that has been raised in a previous habeas petition. 28 U.S.C. § 2244(b)(1). A new claim will not be allowed to proceed unless:
(A) the applicant shows that the claim relies on a new rule of constitutional law, made retroactive to cases on collateral review by the Supreme Court, that was previously unavailable; or
(B)(i) the factual predicate for the claim could not have been discovered previously through the exercise of due diligence; and
(B)(ii) the facts underlying the claim, if proven and viewed in light of the evidence as a whole, would be sufficient to establish by clear and convincing evidence that, but for constitutional error, no reasonable factfinder would have found the applicant guilty of the underlying offense.
Id. § 2244(b)(2). In order for this court to grant permission to file a second or successive habeas petition, the applicant must make a prima facie showing that his application satisfies the statutory requirements. Id. § 2244(b)(3)(C). A prima facie showing requires the presentation of “sufficient allegations of fact together with some documentation that would ‘warrant a fuller exploration by the district court.’ ” In re Lott,
Bowling’s claim that he cannot receive the death penalty because he is mentally retarded rests upon the new rule established in Atkins, in which the Supreme Court held that the execution of a mentally retarded offender violates the Eighth Amendment.
In order for this court to grant Bowling a second or successive habeas petition, Bowling must present “sufficient allegations of fact together with some documentation” of his claim that he is mentally retarded. See Lott,
Atkins did not set forth a definitive rule or procedure for the courts to follow in determining when an offender is mentally retarded such that his or her execution would violate the Eighth Amendment. Instead, Atkins reserved for the states “the task of developing appropriate ways to
Atkins specifically observes that “[n]ot all people who claim to be mentally retarded will be so impaired as to fall within the range of mentally retarded offenders about whom there is a national consensus” against execution. Id. Those who are mentally retarded will have “significantly subaverage intellectual functioning, existing concurrently with related limitations in two or more of the following applicable adaptive skill areas: communication, self-care, home living, social skills, community use, self-direction, health and safety, functional academics, leisure, and work.” Id. at 308 n. 3,
Kentucky law began prohibiting the execution of “seriously mentally retarded” defendants twelve years prior to Atkins. Ky.Rev.Stat. § 532.140. It defines “seriously mentally retarded” as one who has “significant subaverage intellectual functioning existing concurrently with substantial deficits in adaptive behavior and manifested during the developmental period.” Id. § 532.130(2). “Significant subaverage intellectual functioning” is defined as “an intelligence quotient (I.Q.) of seventy (70) or below.” Id.
The evidence before this court strongly suggests that Bowling is not mentally retarded. Thus, Bowling does not make a prima facie showing on his claim of mental retardation such that he can receive permission to file a second or successive habeas petition.
Bowling has had four I.Q. tests — two were taken while he was in grade school and the other two were taken in preparation for his trial. While Bowling was in seventh grade (1966-67 academic year), he received scores of 74 and 79 on these tests. He was tested again twice in 1990, with both tests administered within a month of his December 1990 trial. He received a score of 86 using the WAIS-R test and a score of 87 on the Shipley Hartford Intelligence Scale.. None of these scores are at or below the cutoff of 70 established by Kentucky law as proof of significant subav-erage intellectual functioning. Further, in a separate case, the Kentucky Supreme Court determined that I.Q. scores of 74 and 78, similar to two of Bowling’s scores, “are 4 to 8 points respectively higher than the definition of a seriously mentally retarded offender” who would be ineligible for the death penalty. Woodall v. Commonwealth,
Bowling argues that this court should not consider the absolute scores on these I.Q. tests, but instead apply a five-point margin of error. The five-point margin of error does place one of Bowling’s seventh-grade scores below the statutory cutoff. However, Bowling does not justify the five-point margin of error with any explanation nor does the margin of error appear to derive from any particular source. In addition, there is no indication that the psychologists who administered the I.Q. tests to Bowling would not have already considered the adequacy and accuracy of the testing mechanisms in calculating his scores or in using these instruments for evaluation in the first place. See United States v. Roane,
Bowling also argues that his academic performance indicates that he is mentally retarded. According to Bowling, his “grades were deplorable-mostly D’s and F’s,” and he “was recommended for special education as early as the first grade, failed the second grade, and dropped out of school after spending nearly three years in the ninth grade.” It is true that Bowling failed the ninth grade three times before leaving school. However, the record reflects that, between the third and sixth grades, Bowling received mostly C’s and did not fail a class. School records do not indicate that Bowling ever took special education classes. In addition, a teacher commented during Bowling’s eighth-grade year that “[t]his child is a slow learner; however, if a genuine interest is taken in him, he will perform and behave more satisfactorily. With guidance, his potential as a student will improve.” Thus, while Bowling’s academic performance was not exceptional, it does not follow from the evidence before this court that he is mentally retarded.
Bowling also presents the affidavits of his mother, sister, and son to establish that he was deficient in adaptive skills and unable to function in the basic aspects of everyday life. Iva Lee Bowling, his mother, stated that Bowling was slow in learning to walk and in becoming toilet trained, that he had scarlet fever when he was three years old, and that he had multiple head injuries as an infant and a teenager. She also stated that Bowling wandered off as a child and teenager, got into fights, and was a follower. According to his mother, he had problems with money, difficulty in keeping jobs, and difficulty maintaining personal relationships. Patricia Gentry, Bowling’s sister, and Thomas Jason Bowling, Bowling’s son, reiterated these and similar observations.
These limitations do not state a prima facie case for Bowling’s mental retardation claim. Bowling’s known, diagnosed psychological problems include attention deficit hyperactivity disorder, alcohol abuse, and a personality disorder. These diagnoses provide an explanation for the various problems noted by Bowling’s mother and sister. While some of the problems may also be indicative of a low level of intellectual functioning, their existence has little tendency to establish mental retardation, given Bowling’s other diagnoses and the fact that the psychological evidence is inconsistent with mental retardation.
Most damaging to Bowling’s claim that he is mentally retarded are the results of evaluations conducted by the two psychologists who examined him before the trial. Dr. Smith, the court-appointed psychologist who evaluated Bowling over two days and through a variety of psychological instruments, concluded that “T.C. is not mentally retarded.” He diagnosed Bowling as suffering from alcohol abuse, personality disorder, and attention deficit hyperactivity disorder. Bowling’s attorneys also retained a psychologist, Dr. Beal. Dr. Beal did not specifically indicate whether or not he thought Bowling is mentally retarded. However, he did find that Bowling’s level of intellectual functioning fell “in the low average range of intellectual functioning.” He also diagnosed Bowling as suffering from major depression, personality disorder, and alcohol abuse, but these disorders “were not of such severity to cause him to be substantially impaired in
Bowling’s claim that he is mentally retarded must also be considered in context. Bowling raised this argument for the first time in the months preceding his execution date, after the Supreme Court declined to review his first habeas petition. Yet, Kentucky law has prohibited the execution of the seriously mentally retarded since 1990, before his case went to trial. Additionally, Penry v. Lynaugh, while not categorically prohibiting execution of the mentally retarded, held that “the jury must be able to consider and give effect to any mitigating evidence relevant to a defendant’s background,” including evidence that the defendant is mentally retarded.
While Atkins did create a new rule prohibiting the execution of the mentally retarded, it does not appear that its mandate affected Kentucky law in particular, because Kentucky already prohibited the imposition of this sentence on the “seriously mentally retarded.” Further, the test enunciated in Atkins for defining who is mentally retarded, see
Under either Kentucky law or Atkins, Bowling has failed to establish a prima facie case on his mental retardation claim. None of his I.Q. scores falls below the cutoff of 70 established by the Kentucky statute. Evidence that he has limitations in functioning does not show that he is mentally retarded; rather, these limitations are just as indicative of the other psychological disorders from which he suffers as they are of low level intellectual functioning. Thus, we deny Bowling’s application.
III.
Bowling also appeals from a federal district court order denying his motion to reopen his first habeas corpus proceeding. Bowling’s Rule 60(b) motion asserts two general claims. First, Bowling argues that his ineffective-assistance-of-counsel claim should be reopened because of new evidence in the form of a Brooklyn Law Review article that he suggests indicates that the jury did not consider the mitigation evidence presented at trial. He also claims that the intervening Supreme Court decision in Wiggins v. Smith,
The district court initially construed Bowling’s motion as a second or successive habeas corpus petition, which cannot be filed in the district court without prior authorization from a federal court of appeals. See 28 U.S.C. § 2244(b)(3)(A).
In Gonzalez v. Crosby, — U.S. -,
We hold that the district court properly determined that Bowling’s Rule 60(b) motion was in fact a second or successive habeas petition under Gonzalez. However, the district court failed to comply with its obligation to transfer the case to this court. See In re Sims,
IV.
For the foregoing reasons, we deny both of Bowling’s applications for an order authorizing a federal district court to consider his second or successive petition for a writ of habeas corpus.
Concurrence Opinion
concurring in part and dissenting in part.
I respectfully dissent from Part II of the majority’s opinion, as I would grant Bowling permission to file a second or successive habeas corpus petition and issue a stay of execution pending final determination of his mental retardation claim.
Bowling has filed with this court an application to file a second or successive ha-beas corpus petition pursuant to 28 U.S.C. § 2244 and a petition requesting a stay of execution pending final determination of his mental retardation claim. To obtain this court’s permission to file a second or successive federal habeas corpus petition, the applicant must make a prima facie showing that the application satisfies the statutory requirements. 28 U.S.C. § 2244(b)(3)(C); In re Green,
Although the Supreme Court held in Atkins v. Virginia,
In Bowling v. Commonwealth,
Ultimately, the court declined to grant Bowling’s request for an evidentiary hearing because Bowling had failed to make a prima facie showing that he was mentally retarded under Kentucky law. See id. at 384 (“We hold that to be entitled to an evidentiary hearing on a claim of entitlement to the mental retardation exemption provided by KRS 532.140(1), a defendant must produce some evidence creating a doubt as to whether he is mentally retarded.”). The court determined that Kentucky Revised Statute § 532.130 mandates that a defendant have “an intelligence quotient (I.Q.) of seventy (70) or below,” but that the lowest IQ score Bowling had ever received was a 79. See id. The court
Justice Keller, joined by Justice Graves, filed a dissenting opinion. First, Justice Keller stated that Atkins claims should not be deemed waived when a defendant fails to comply with Kentucky’s statutory requirement that mental-retardation issues be raised prior to trial, given that the Eighth Amendment claim arises only after conviction and that society has an independent interest in mentally retarded persons not being executed, which the defendant cannot waive. See id. at 385-86 (Keller, J., dissenting). Justice Keller also expressed his belief that Bowling had presented “sufficient [evidence] to create a doubt as to his mental condition,” noting that the record was ambiguous as to whether Bowling had received a 74 or an 84 on his November 1966 IQ exam and that it was the province of the trial court to resolve this factual issue in the first instance. See id. at 387 (Keller, J., dissenting). Justice Keller further noted that the Kentucky statute required an IQ of 70 or below, not an IQ score of 70 or below, and thus a judge should make an independent determination of a defendant’s IQ based on the entirety of the evidentiary record (taking into account such matters as margins-of-error and age-based scoring patterns) rather than depending strictly on an examination score. See id. at 388 (Keller, J., dissenting).
After reviewing the Kentucky Supreme Court’s decision and the parties’ briefing, I believe that Bowling has made a sufficient showing to obtain leave to file a second or successive habeas petition. The Kentucky Supreme Court’s rejection of Bowling’s mental retardation claim rested exclusively on the fact that Bowling had not presented any evidence that he had ever received an IQ test score of 70 or below. See id. at 384. However, there appears to be considerable evidence that irrebuttable IQ ceilings are inconsistent with current generally-accepted clinical definitions of mental retardation and that any IQ thresholds that are used should take into account factors, such as a test’s margin of error, that impact the accuracy of a particular test score.
With respect to the intellectual prong of [California’s mental retardation statute], 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.... 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. Second, a fixed cutoff is inconsistent with established clinical definitions 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 precise to utilize a fixed cutoff in this context. {See id. at p. 41 [indicating IQ scores are considered to have a five-point measurement error]; AAMR, Mental Retardation: Definition, Classification, and Systems of Support (10th ed.2002) p. 57; Am. Assn. of Mental Deficiency, Classification in Mental Retardation (8th ed.1983) p. 11.)
(emphasis added, citations and footnote omitted); see also State v. Lott,
With respect to Bowling’s motion for a stay of execution, 28 U.S.C. § 2251 provides that:
A justice or judge of the United States before whom a habeas corpus proceeding is pending, may, before final judgment or after final judgment of discharge, or pending appeal, stay any proceeding against the person detained in any State court or by or under the authority of any State for any matter involved in the habeas corpus proceeding.
After the granting of such a stay, any such proceeding in any State court or by or under the authority of any State shall be void. If no stay is granted, any such proceeding shall be as valid as if no habeas corpus proceedings or appeal were pending.
Bowling has filed an application with this court seeking permission to file a second or successive habeas corpus petition asserting that his execution would violate the Eighth Amendment, and thus a habeas corpus proceeding is pending for purposes of § 2251. Cf. McFarland v. Scott,
Notes
. See Woodall v. Commonwealth,
. Kentucky's mental retardation statute was enacted in 1990 (i.e., prior to Atkins) and appears to have relied on the 1983 version of the AAMR’s mental retardation definition. Bowling v. Commonwealth,
. See Tobolowsky, supra note 2, at 95-96 ("[M]any states have incorporated a specific IQ cutoff score in their definitions of mental retardation, most often using an IQ of seventy as the cutoff for this component of the mental retardation definition. However, most of these definitions do not acknowledge that each assessment instrument has a standard measurement error, usually between three and five points, and that the standard measurement error is not the same for all instruments. Recognizing the impact of the standard measurement error, in the previous AAMR definitions and the current APA definition, the IQ cutoff for mental retardation has been quantified between seventy and seventy-five, as noted by the Court in Atkins. To avoid mistaken reliance on and potential misuse of a particular IQ score, especially if it does not include consideration of standard measurement error, the AAMR stated its current IQ cutoff in terms of being at least two standard deviations below the mean of the specific instruments used, considering their particular standard measurement error, strengths, and limitations. The current APA definitional material also refers to the IQ cutoff as being approximately two standard deviations below the mean, with reference to measurement error of approximately five points. Thus, any state’s use of a fixed IQ cutoff score, without reference to standard measurement error and other factors concerning the specific instrument used, rislcs an inaccurate assessment of the intellectual functioning component of the mental retardation definition.") (emphasis added, footnote omitted); id. at 139 (“[S]tates that use a rigid IQ cutoff score of seventy for the intellectual
