Hall v. Quarterman
Full Opinion (html_with_citations)
Michael Wayne Hall was convicted of capital murder in state court. He sought state and federal habeas relief, requesting in each forum a live evidentiary hearing on his claim of mental retardation. Each court denied his request. We granted a Certificate of Appealability.
I
Michael Wayne Hall was tried in Texas state court for the murder of Amy Robinson and convicted of capital murder by the jury. Although he was convicted prior to the Supreme Court’s decision in Atkins v. Virginia, which held that the execution of mentally retarded defendants is unconstitutional,
The Supreme Court granted Hall’s petition for certiorari from his direct appeal to the state court, vacating and remanding to the CCA to reconsider its initial affirmance of Hall’s conviction in light of Atkins. The CCA, relying on the state habeas and direct appeal records and a “re-review[ ][of] the evidence” from the records, held that Hall was not mentally retarded.
II
In applying the deferential standard under the Antiterrorism and Effective Death Penalty Act (“AEDPA”), we are mindful of the unique facts of this case, in that Atkins was decided after Hall’s conviction, and the state’s paper hearing on the Atkins mental retardation issue was completed before Texas had defined mental retardation under the Atkins standard. We review the federal district court’s refusal to grant an evidentiary hearing on the Atkins issue for an abuse of discretion.
Section 2254(e)(2) of United States Code Title 28 does not constrain the district court’s discretion here because Hall diligently developed the factual basis of his claim in state court.
Once a district court determines that a petitioner may be entitled to an evidentiary hearing, this is not the end of the inquiry, since “[i]n cases where an applicant for federal habeas relief is not barred from obtaining an evidentiary hearing by 28 U.S.C. § 2254(e)(2), the decision to grant such a hearing rests in the discretion of the district court.”
The facts before us are a core manifestation of a case where the state failed to provide a full and fair hearing and where such a hearing would bring out facts which, if proven true, support habeas relief. Hall alleges that he is mentally retarded under Texas’ Atkins test for mental retardation announced in Ex Parte Brise-no: under Briseno a defendant must prove that he has “(1) significantly subaverage general intellectual functioning [‘defined as an IQ of about 70 or below’]; (2) accompanied by related limitations in adaptive functioning; (3) the onset of which occurs prior to the age of 18.”
The federal district court discussed the Briseno factors but did not conduct a hearing, relying instead on the state court’s findings of mental retardation—findings that were made prior to the Briseno test. The district court explained, “In his petition, Hall thoroughly reviews the voluminous evidence as to his mental capacity. The state does the same in its response. There is no reason for the court to do so again here.”
The district court also addressed Hall’s claim for a jury determination of mental retardation or, in the alternative, a live hearing. The district court found that Hall “failed to raise this issue in the state proceedings” and that it was procedurally defaulted.
In reviewing the paper evidence, the district court failed to account for several clearly erroneous findings of the CCA which, if addressed in an evidentiary hearing, might have highlighted the unreasonableness of the state court’s determination of the facts and entitled Hall to habeas relief. The CCA’s habeas determinations rested on the state court’s findings from the paper hearing, as the CCA fully adopted those findings.
The state trial court also made erroneous findings with respect to the credibility
The issue of mental retardation, defined by Atkins only after Hall was tried and defined by Texas only after Hall’s paper “hearing” on mental retardation, is fact-intensive and rests on nuanced determinations under broadly stated concepts such as “limitations in adaptive functioning.” If Hall can prove the facts that he has consistently alleged on appeal, he will be entitled to habeas relief.
Furthermore, the state court’s erroneous factfinding and its refusal to accept more than paper submissions despite the development of a new constitutional standard and a lack of guidance from the state on that standard, deprived Hall of a full and fair hearing at the state level. Although we have found paper hearings adequate where “the trial court and the state habeas court were one in the same,” as was the case here, there is a crucial distinction. Following trial, the state trial judge on habeas review faced a new constitutional rule categorically barring the execution of mentally retarded persons. Atkins was so new that Texas had not had time to establish a definition of mental retardation or the associated burdens of proof.
Nor were the district court’s findings of “facts” from the disputed assertions of affidavits below adequate. As we have discussed, some of these accepted “facts” were both critical and incorrect.
Ill
Accordingly, we VACATE the judgment of the federal district court and REMAND to that court for further proceedings including an evidentiary hearing.
. 536 U.S. 304, 321, 122 S.Ct. 2242, 153 L.Ed.2d 335 (2002).
. Hall v. State, 160 S.W.3d 24, 38-40 (Tex.Crim.App.2004).
. Schriro v. Landrigan, - U.S. -, 127 S.Ct. 1933, 1937, 167 L.Ed.2d 836 (2007) (“In cases where an applicant for federal habeas relief is not barred from obtaining an eviden-tiary hearing by 28 U.S.C. § 2254(e)(2), the decision to grant such a hearing rests in the discretion of the district court.”); McDonald v. Johnson, 139 F.3d 1056, 1059 (5th Cir.1998) (citing United States v. Cervantes, 132 F.3d 1106, 1110 (5th Cir.1998)) (“Denials of an evidentiary hearing are reviewed for abuse of discretion.”).
.See 28 U.S.C. § 2254(e)(2) (requiring an applicant to show, inter alia, that "the facts underlying the claim would be sufficient to establish by clear and convincing evidence
. In his first state habeas petition, Hall prayed that the court would grant relief "after a full and fair hearing” and argued:
The right to argue mental retardation in mitigation on a case-by-case basis under article 37.071, section 2(e)(1), Texas Code of Criminal Procedure (the so-called Penry instruction) is insufficient to prevent the risk that retarded persons will be sentenced to death despite their lack of the requisite culpability ....
. As the CCA put it. Hall provided "testimony of three psychologists, his mother, his brother, his trial attorneys, two private investigators, four teachers, and a fellow death row inmate.” Hall, 160 S.W.3d at 39-40.
. Schriro, 127 S.Ct. at 1937.
. Id. at 1939 (quoting 28 U.S.C. § 2254, Rule 8(a) and finding that post-AEDPA, the "basic rule has not changed”).
.Id. at 1940 (internal citation omitted) (citing Mayes v. Gibson, 210 F.3d 1284, 1287-88 (10th Cir.2000)). Section 2254 provides in relevant part:
(d) An application for a writ of habeas corpus on behalf of a person in custody pursuant to the judgment of a State court shall not be granted with respect to any claim that was adjudicated on the merits in State court proceedings unless the adjudication of the claim—
(1) resulted in a decision that was contrary to, or involved an unreasonable application of, clearly established Federal law, as determined by the Supreme Court of the United States; or
(2) resulted in a decision that was based on an unreasonable determination of the facts in light of the evidence presented in the State court proceeding.
(e)(1) In a proceeding instituted by an application for a writ of habeas corpus by a person in custody pursuant to the judgment of a State court, a determination of a factual issue made by a State court shall be presumed to be correct. The applicant shall have the burden of rebutting the presumption of correctness by clear and convincing evidence.
28 U.S.C. §§ 2254(d), (e)(1).
. Clark v. Johnson, 202 F.3d 760, 766 (5th Cir.2000) (citing Moawad v. Anderson, 143 F.3d 942, 948 (5th Cir.1998)) ("To find an abuse of discretion which would entitle ... [petitioner] to discovery and an evidentiary hearing to prove his contentions, we would necessarily have to find that the state did not provide him with a full and fair hearing
. 135 S.W.3d 1, 7 (Tex.Crim.App.2004) (internal citations and quotations omitted).
. The parties in the state habeas case filed their affidavits for the paper Atkins hearing with the trial court in September 2002. Bri-seno was decided on February 11, 2004.
. Hall emphasized in a motion to stay the paper proceeding in the state court,
Despite Atkins’ prohibition against the imposition of a death sentence against mentally retarded capital defendants, the Supreme Court's opinion leaves it to the individual States to develop the appropriate method to enforce this restriction. There is currently no statutory procedure set out in Texas to govern the determination of whether or not Applicant (or any other capital defendant) is mentally retarded as contemplated by Atkins.
. Hall v. Quarterman, 443 F.Supp.2d 815, 821 (N.D.Tex.2006) (internal citations omitted).
. Id. (citing 28 U.S.C. § 2254(d)(2)).
. Id. at 822.
. Id.
. Hall argued in his federal habeas petition, "At the very least, this court should order an evidentiary hearing on this issue [of mental retardation] so that Mr. Hall finally has an opportunity through counsel to present testimony on his behalf and to confront and cross-examine the state’s witnesses on mental retardation. The evidence already in the record that demonstrates Mr. Hall’s mental retardation is summarized below.”
. On direct appeal, the CCA likewise relied on the state habeas findings and conclusions. Specifically, it took judicial notice of the prior state habeas proceeding and its outcome and stated that its "conclusion on direct appeal [was] necessarily the same as [its] conclusion in the habeas proceedings.” Hall, 160 S.W.3d at 39. And, even in re-reviewing the evidence in "an abundance of caution,” the CCA still deferred to the trial judge's habeas findings. Id. at 40 ("While there was significant evidence in favor of a finding of mental retardation, there was also significant evidence against such a finding. The trial judge, who presided over the trial and the habeas proceedings, was in the best position to evaluate the conflicting evidence. Her findings, which we have judicially noticed in the current direct appeal, deserve great deference.”).
. The state notes that it was Hall's expert, Dr. Denkowski, who initially misstated Hall's final IQ score as 72 rather than 67. The state submits that this error was harmless because the state court discounted his affidavit, and the CCA on direct appeal noted correctly that Dr. Church's examination established an IQ of 67. Cf. Ylst v. Nunnemaker, 501 U.S. 797, 801-05, 111 S.Ct. 2590, 115 L.Ed.2d 706 (1991) (explaining that courts look to the "last reasoned decision” of the state court in determining whether a state procedural bar precludes federal-court review). However, Hall's claim is that this erroneous recitation affected Dr. Price’s overall characterization of Hall's general intellectual functioning. Consequently, neither Denkowski’s affidavit nor the CCA's recitation of the correct post-conviction IQ score would render the error harmless.
. The state trial court never indicated which of Hall's IQ scores was most reliable. Instead, it only stated that the scores revealed that Hall was of borderline intelligence or mildly mentally retarded.
. State credibility determinations also receive AEDPA deference on habeas review, but not when overcome by clear and convincing evidence. See Summers v. Dretke, 431 F.3d 861, 871 (5th Cir.2005); 28 U.S.C. § 2254(e)(1); see also Miller-El v. Cockrell, 537 U.S. 322, 340, 123 S.Ct. 1029, 154 L.Ed.2d 931 (2003) ("A federal court can disagree with a state court’s credibility determination and, when guided by AEDPA, conclude the decision was unreasonable or that the factual premise was incorrect by clear and convincing evidence.”).
. Dr. Church, a licensed psychologist in Oklahoma, testified in her affidavit that it is "highly doubtful that [Hall] alone could meet the needs of his day to day life.”
. Tex. Health & Safety Code § 591.003(16).
. In re Hearn, 418 F.3d 444, 447 (5th Cir.2005); see also Ex parte Lewis, 223 S.W.3d 372, 374 (Tex.Crim.App.2006) (Cochran, J., concurring) (joining the majority in declining to adopt the trial court’s fact findings based on Tex. Health & Safety Code § 591.003(16) and explaining that whether a physician or psychologist is licensed in Texas is of no "legal significance in deciding whether [an] applicant is mentally retarded for purposes of eligibility for the death penalty under Atkins v. Virginia or Ex parte Briseno").
. See Schriro, 127 S.Ct. at 1940.
. Dr. Denkowski’s affidavit, upon which the trial court relied in finding that Hall was not mentally retarded, indicated incorrectly that Dr. Church’s examination of Hall produced an IQ score of 72; the score was in fact a 67. Additionally, the state posited in its reply to Hall’s state habeas petition that Hall, while in prison, wrote a note that said, "You have to get me out of here because there's no call