Thompson v. Bell
Full Opinion (html_with_citations)
CLAY, J., delivered the opinion of the court, in which MOORE, J., joined. SUHRHEINRICH, J. (pp. 444-54), delivered a separate opinion concurring in part and dissenting in part.
OPINION
Petitioner Gregory Thompson (âThompsonâ) appeals the district courtâs dismissal of his habeas petition brought pursuant to 28 U.S.C. § 2254, in which he seeks relief from execution because of his alleged incompetency. Separately, Thompson appeals the district courtâs denial of his motion pursuant to Federal Rule of Civil Procedure 60(b), in which he moves to reopen his original habeas petition challenging his conviction and sentence. For the reasons that follow, we AFFIRM in part and REVERSE in part, and REMAND to the district court for further proceedings.
BACKGROUND
In 1985, a Coffee County Circuit Court jury in Tennessee found Thompson guilty of the first-degree murder of Brenda Lane, and following the sentencing phase of the trial, sentenced Thompson to death. See State v. Thompson, 768 S.W.2d 239 (Tenn.1989). The Tennessee courts affirmed Thompsonâs conviction on direct and collateral review. In 1998, Thompson filed a petition for a writ of habeas corpus pursuant to 28 U.S.C. § 2254, and the district court denied the petition on February 17, 2000. On January 9, 2003, this Court affirmed the district courtâs dismissal of Thompsonâs petition. Thompson v. Bell, 315 F.3d 566, 571 (6th Cir.2003). On December 1, 2003, the United States Supreme Court denied Thompsonâs certiorari petition, and on January 20, 2004, denied his petition for rehearing. Bell v. Thompson, 545 U.S. 794, 800, 125 S.Ct. 2825, 162 L.Ed.2d 693 (2005).
I. Thompsonâs Incompetency Petition
On January 21, 2004, the day after the Supreme Court denied Thompsonâs petition for a rehearing, Tennesseeâs attorney
Under Tennessee law, set forth in Van Tran v. State, 6 S.W.3d 257, 266 (Tenn.1999), a prisoner is not competent for execution if he âlacks the mental capacity to understand the fact of the impending execution and the reason for it.â Under this standard, a prisoner seeking to be found incompetent for execution in Tennessee has the initial evidentiary burden to make a âthreshold showingâ that his present incompetency is genuinely at issue in order to warrant an evidentiary hearing. Id. at 268-69. In his petition to the trial court, Thompson requested an evidentiary hearing to determine his competency, and submitted with his motion his prison medical records, along with the reports of three mental health experts â John S. Rabun (âDr. Rabunâ), George W. Woods, Jr. (âDr. Woodsâ), and Dr. Faye E. Sultan (âDr. Sultanâ) â who had recently examined him.
The medical records submitted to the trial court show that Thompson has engaged in self-destructive acts from the time his incarceration began, including swallowing poison, cutting his wrist and arms, and burning his hand and face. Prison doctors began prescribing medication, including Lithium, to control Thompsonâs âmood swingsâ as early as 1988. (Joint Appendix (âJ.A.â) at 314.) A medical report from 1988 indicated that Thompson heard âvoicesâ and believed he had gotten a âsnake biteâ on his finger and chest. (J.A. at 316.) In 1989, prison doctors diagnosed Thompson on two different occasions as âschizophrenic, paranoid typeâ and as having âbipolar affective disorder.â (J.A. at 317, 324.) Thompson was given prescriptions for Klonopin and Trilafon when he refused to take his Lithium prescription. The psychiatrist who diagnosed him at that time reported that Thompson had been âdisplaying active evidence of psychosis and mania with marked grandiosity and delusional thought content.â (J.A. at 324.) Thompson was continually diagnosed as bipolar or schizophrenic throughout his incarceration. In 1995, a prison doctor deemed Thompson a âmental health emergencyâ because his mental illness was causing âan immediate threat of serious physical harm to the inmate/patient or to others as a result of [his] violent behavior[.]â (J.A. at 343.) The doctorâs report noted that âvoluntary ... medicationâ had been âineffective!.]â (Id.) According to a physician who evaluated Thompson in 2001, Thompson had been âviolent at timesâ and had âassaulted staff in the recent past which appears to be related to his mental illness.â (J.A. at 405.)
Dr. Rabun, a forensic psychiatrist in the pretrial evaluation unit of the St. Louis Psychiatric Rehabilitation Center in Missouri, interviewed Thompson for two and one-half hours on March 17, 2003 and for another two hours on January 19, 2004. Dr. Rabun also read Thompsonâs medical records and court files, and the reports of other mental health experts who had evaluated him since his incarceration began. Thompson told Dr. Rabun that he has heard voices intermittently since at least the time of his conviction, and that the voices become less acute when he takes antipsychotic medication. Thompson also shared a number of delusions with Dr. Rabun, including that he has written âmost of the songs you hear on the radio;â that he has millions of dollars, gold bars and âa Grammy awardâ buried near a church in Thomaston, Georgia; and that the United
Thompson told Dr. Rabun that he âkilled Brenda Lane,â that he had been convicted of first-degree murder, and that he had been sentenced to âdeathâ in connection with the killing. (J.A. at 442, 447.) Thompson also informed Dr. Rabun that because he was âa lieutenant in the Navyâ and therefore had a right to be tried by a jury of âprofessionals,â his conviction should be overturned; only the âSecretary of the Navyâ could decide to execute him. (J.A. at 442, 448.) Thompson said that âonce everyone sees I am a lieutenant, the Secretary of the Navy will take control, and the case will be thrown out.â (J.A. at 442.) Thompson elaborated that when his buried fortune and Grammy award are discovered, he will be deemed ârehabilitated.â (Id.) Thompson told Dr. Rabun that he preferred execution by electrocution, because âI am used to being shocked, every time I touch my TV, I get shocked, or when I went to a chiropractor in 1982, he twisted my neck, and it felt like a shock.â (J.A. at 448.)
Dr. Rabun diagnosed Thompson as schizophrenic, hallucinatory and delusional. Having reviewed Thompsonâs medical records, Dr. Rabun stated that Thompson likely had been suffering from a psychotic illness for more than ten years, and that his illness was particularly severe when he did not take antipsychotic medications. Dr. Rabun ruled out âa physical or neurological disorderâ as the cause of Thompsonâs condition, and rejected the possibility that Thompson had been âmalingering.â (J.A. at 446.) Dr. Rabun concluded that in his opinion, Thompson âlacks the mental capacity to understand the fact of the impending execution and the reason for it.â (J.A. at 449.)
Dr. Woods, a psychiatrist, examined Thompson on February 17, 2004 for approximately three hours, and also reviewed Thompsonâs medical records, court file and transcripts from his legal proceedings. Dr. Woods reported that âThompson believes that he can not die, and there will be a two-year period in which he will stay alive, even if he were executed.â (J.A. at 463.) Dr. Woods stated that Thompson âdenied ... that electrocution would, in fact, eliminate his life.â (Id.) In addition to sharing with Dr. Woods the same delusions reported by Dr. Rabun, Thompson also told Dr. Woods that âafter death ... he was going to be in Hawaii.â (Id.) Dr. Woods diagnosed Thompson as a schizophrenic âsuffer[ing] from a severe mental illness with psychotic features.â (Id.) Dr. Woods noted that Thompson suffers from extreme delusions and hallucinations, even while compliant with his prescribed medication regimen. Like Dr. Rabun, Dr. Woods concluded that Thompson is not competent to be executed.
Dr. Sultan, a clinical psychologist and forensic consultant, submitted a letter dated February 27, 2004, in which she stated that she had conducted eleven clinical interviews of Thompson since 1998, with her most recent interview on January 28, 2004. Dr. Sultan stated her belief that Thompson has been schizophrenic âat least since early adulthood,â and reported that Thompson âhas experienced the delusions, hallucinations, disorganized thinking, and disorganized speech and behavior that are all characteristic of his particular psychiatric illness.â (J.A. at 485.) Dr. Sultan stated that she had observed Thompson off his medication, and concluded that â[i]n a non-medicated state, Mr. Thompson is floridly psychotic.â (J.A. at 486.) Without medication, she stated, Thompson is âunaware of his surroundings,â âlargely incomprehensible,â and âcompletely unaware about the reason for his incarceration, the sentence he had received, or the fact of impending execution.â (Id.) Even with medication, Thompson âcontinues to exhib
In addition to his medical records and the reports and affidavits from the three experts, Thompson also presented the trial court with evidence that in 2001 the state had petitioned a Tennessee court for the appointment of a conservator to make decisions on Thompsonâs behalf regarding his mental health and medical treatment. The conservatorship petition cited Thompsonâs âlong history of [bjipolar [disorder and psychic symptoms,â as well as Thompsonâs failure to comply with his medication prescriptions. (J.A. at 414.) In October 2003, a state court terminated the conservator-ship after finding that Thompson was voluntarily taking his medication.
On March 8, 2004, the trial court denied Thompsonâs incompetency petition without holding an evidentiary hearing, finding that Thompson had not made the requisite threshold showing of incompetency to warrant such a hearing. The trial court found that âall three of the expert reports ... demonstrate clearly that Thompson is presently aware that he is under a death sentence for the murder of Brenda Lane under the âcognitiveâ standard established by the Supreme Court.â (J.A. at 561.)
The Tennessee Supreme Court affirmed the trial court on May 12, 2004. The court found that although the expert reports indicated that Thompson is currently suffering from âschizophrenia, chronic undifferentiated type, the reports do not present facts indicating that Thompson is unaware of his impending execution and the reason for it.â Thompson v. State, 134 S.W.3d 168, 179 (Tenn.2004). The court dismissed Thompsonâs documented history of mental illness as âstaleâ and ânot relevant to the issue of present competency.â Id. at 178. The court cited Thompsonâs ability to recount certain details of his crime, and his statements showing that he knows about his death sentence for the murder, as evidence that he is aware of his execution and the reason for it. Id. at 180-81. The court also cited Thompsonâs assertion to Dr. Woods that he will live for two years after his âexecution,â and his statement to Dr. Sultan that it is impossible for him to be executed, as further evidence that Thompson understands that an execution is going to take place. Id. at 182. The court acknowledged Thompsonâs delusions, but stated that â[t]his Court previously rejected a prisonerâs reliance on such delusional or unorthodox beliefs as irrelevant to the question of competency for execution.â Id. at 180.
On June 14, 2004, Thompson filed a federal habeas petition challenging the state courtâs competency ruling, and on June 21, 2004, the district court stayed Thompsonâs execution pending the outcome of the habeas petition. However, Thompsonâs habeas proceeding concerning his incompetency was stayed when, on June 23, 2004, this Court amended and reversed its January 9, 2003 ruling affirming the denial of Thompsonâs original habeas petition. The state appealed this Courtâs amended decision, and on June 27, 2005, the Supreme Court held that this Court had abused its discretion by withholding the mandate of its original judgment for more than five months after the Supreme Court denied rehearing on Thompsonâs petition for writ of certiorari.
Following the Supreme Courtâs denial of rehearing on August 22, 2005, the district court resumed Thompsonâs habeas petition based upon incompetency, which, by that time, had been stayed for more than one year. Thompson argued that because so much time had passed, he should have the opportunity to update the state courts on his present condition. On September 16, 2005, the district court lifted the stay of execution so Tennessee could set a date for Thompsonâs execution and Thompson could re-petition the Tennessee Supreme Court. The Tennessee Supreme Court set an execution date of February 7, 2006, and on September 23, 2005, Thompson submitted to that court a petition, authorized under the procedure set forth in Van Tran, 6 S.W.3d at 272, showing that a substantial change in his condition had occurred since the courtâs previous ruling (Thompsonâs âsubstantial change petitionâ).
Thompson argued in his substantial change petition that since he filed his first incompetency petition, Thompsonâs delusions had expanded, and his medications no longer worked. Thompson included with his petition two affidavits from Dr. Sultan based on her evaluations of Thompson on July 28, 2005 and November 7, 2005. In the first evaluation, Dr. Sultan found that Thompsonâs âpsychological condition had deterioratedâ and that it included âa new set of irrational beliefs.â (J.A. at 1249.) Dr. Sultan reported that Thompson believed his execution and involvement in Brenda Laneâs murder were all âpredestined,â and that all of the events of his life were written on a note that is âburied at the churchâ and will prevent him from being executed when it is discovered. (Id.) Dr. Sultan concluded that Thompson âcan speak about the subject of death on a purely theoretical level but cannot rationally talk about his own death.â (Id.) Dr. Sultanâs second evaluation confirmed that Thompson was continuing to deteriorate. Thompsonâs substantial change petition also included a new claim that if Thompson is rendered competent for execution only because of the medication he takes involuntarily, then the execution is barred by the Eighth Amendment. On December 13, 2005, the Tennessee Supreme Court denied Thompsonâs petition, finding that no substantial change had occurred. The court did not address Thompsonâs additional Eighth Amendment claim.
Thompson then resumed his habeas petition based upon incompetency in the district court. On March 17, 2006, Thompson amended the petition to add the Eighth Amendment claim that he had just presented to the Tennessee Supreme Court with his substantial change petition. On May 4, 2006, the district court dismissed Thompsonâs petition, finding that the state courtsâ decisions on Thompsonâs present competency for execution were neither contrary to nor an unreasonable application of clearly established federal law, nor an unreasonable determination of the facts before them. With respect to Thompsonâs claim that it is unconstitutional to execute a prisoner rendered competent through medication, the district court determined that the claim was both in procedural default and time-barred, and that Thompson had failed to state a claim in any event. The district court issued a certificate of appealability with respect to Thompsonâs original claim of incompetency. Thompson timely appealed. On June 20, 2007, this Court expanded the certificate of appealability to include Thompsonâs second incompetency claim as well.
II. Thompsonâs Rule 60(b) Motion
In his original § 2254 petition brought in 2000 to challenge his conviction and death
When the district court dismissed Thompsonâs first habeas petition on February 17, 2000, it dismissed these four ineffective assistance claims for procedural default because of Thompsonâs failure to seek discretionary review of the claims. The district court therefore did not reach the merits of these claims. When Thompson appealed the district courtâs dismissal of his petition, he did not specifically challenge the district courtâs procedural default ruling with respect to these four ineffective assistance claims. On June 28, 2001, while Thompsonâs appeal of the dismissal of his other claims was pending before this Court, the Tennessee Supreme Court promulgated Tennessee Supreme Court Rule 39 (âTSCR 39â), which clarified that litigants need not appeal criminal convictions or post-conviction relief actions to the Tennessee Supreme Court to exhaust their appeals. Thompson did not seek an expansion of this Courtâs certificate of appealability after TSCR 39 was issued. As already noted, this Court initially affirmed the district courtâs dismissal of Thompsonâs original habeas petition in January 2003. Thompson, 315 F.3d at 571. Following this Courtâs attempt to amend its ruling and the Supreme Courtâs subsequent reversal, this Court issued its mandate to the district court to dismiss the petition on December 1, 2005.
On January 20, 2006, Thompson filed a motion pursuant to Fed.R.Civ.P. 60(b)(6) in the district court, alleging that the promulgation of TSCR 39 was an extraordinary circumstance warranting the re-opening of his original habeas petition. On March 27, 2006, the district court denied the motion, and denied a certificate of appealability. Thompson timely appealed, and this Court granted a certificate of appealability on June 19, 2007.
Thompsonâs appeals of the district courtâs dismissal of his petition based upon his incompetency and its denial of his Rule 60(b) motion have been consolidated before this Court.
DISCUSSION
I. Thompsonâs Incompetency for Execution
A. Standard of Review
This Court reviews a district courtâs dismissal of a petition brought pursuant to 28 U.S.C. § 2254 de novo, but reviews the district courtâs factual findings for clear error. White v. Mitchell, 431 F.3d 517, 524 (6th Cir.2005).
Under the Antiterrorism and Effective Death Penalty Act of 1996, Pub.L. No. 104-132, 110 Stat. 1214 (1996) (âAED-PAâ), a federal court may not grant a writ of habeas corpus to a state prisoner with respect to any claim adjudicated on the merits unless (1) the state courtâs decision was âcontrary to, or involved an unreasonable application of, clearly established Federal law, as determined by the Supreme Court,â 28 U.S.C. § 2254(d)(1), or (2) the state courtâs decision âwas based on an unreasonable application of the facts in light of the evidence presented in the State
B. Analysis
â[T]he Eighth Amendment prohibits a State from carrying out a sentence of death upon a prisoner who is insane.â Ford v. Wainwright, 477 U.S. 399, 409-10, 106 S.Ct. 2595, 91 L.Ed.2d 335 (1986). The Supreme Court derived this principle from reasons found in the âcommon lawâ that presently âhave no less logical, moral, and practical force than they did when first voiced.â Id. at 409, 106 S.Ct. 2595. In Ford, Justice Powell stated in a concurrence to the four-justice plurality opinion that prisoners are insane for the purposes of execution if they are âunaware of the punishment they are about to suffer and why they are to suffer it.â Id. at 422, 106 S.Ct. 2595. Powell also opined that a state may, consistent with due process, presume a prisoner who was competent to stand trial is sane at the time of execution, and âmay require a substantial threshold showing of insanity merely to trigger the hearing process.â Id. at 426, 106 S.Ct. 2595. Powellâs concurrence, needed to create a majority, became the controlling opinion in Ford and âconstitutes âclearly establishedâ law for purposes of § 2554.â Panetti v. Quarterman, 551 U.S. 930, 949, 127 S.Ct. 2842, 168 L.Ed.2d 662 (2007).
The Panetti Court clarified Fordâs competency-for-execution and âsubstantial threshold showingâ standards. 551 U.S. at 948-62, 127 S.Ct. 2842. In Panetti, the state court had denied the petitioner an evidentiary hearing despite his incompetency petition including âa letter and a declaration from ... a psychologist and a law professor! ] who had interviewed petitioner while on death row,â id. at 938, 127 S.Ct. 2842, as well as âreferences to the extensive evidence of mental dysfunction considered in earlier legal proceedings,â id. at 950, 127 S.Ct. 2842. On habeas review, the district court found that the petitionerâs motion had been sufficient to meet the âsubstantial threshold showingâ requirement, and the court therefore held an evidentiary hearing. At the hearing, four experts testified that the petitioner had a âschizo-affective disorder ... resulting in a genuine delusion ... [that] recast petitionerâs execution as part of spiritual warfare ... between the demons and the forces of the darkness and God and the angels and the forces of light.â Id. at 954, 127 S.Ct. 2842 (quotations omitted). According to the petitionerâs experts, the petitioner understood that the state wanted to execute him for the murders he committed, but âbelievefd] in earnest that the stated reason is a âshamâ and the State in truth wantfed] to execute him âto stop him from preaching.â â Id. at 955, 127 S.Ct. 2842. The district court denied the peti
The Supreme Court in Panetti first confirmed that the petitioner had made the substantial threshold showing when he filed his motion with the state court, and under Ford was therefore constitutionally entitled to an evidentiary hearing. Id. at 950, 127 S.Ct. 2842. The Court cited both the expert reports and the petitionerâs documented history of mental illness in reaching this conclusion. Id. However, with respect to the competency standard applied by the lower courts, the Supreme Court stated that âthe Court of Appealsâ standard is too restrictive to afford a prisoner the protections granted by the Eighth Amendment.â Id. at 956-57, 127 S.Ct. 2842. The Court elaborated:
The Court of Appealsâ standard treats a prisonerâs delusional belief system as irrelevant if the prisoner knows that the State has identified his crimes as the reason for his execution. Yet the Ford opinions nowhere indicate that delusions are irrelevant to âcomprehenfsion]â or âaware[ness]â if they so impair the prisonerâs concept of reality that he cannot reach a rational understanding of the reason for the execution. If anything, the Ford majority suggests the opposite ....
... The principles set forth in Ford are put at risk by a rule that deems delusions relevant only with respect to the Stateâs announced reason for a punishment or the fact of an imminent execution, as opposed to the real interests the State seeks to vindicate. We likewise find no support elsewhere in Ford, including in its discussions of the common law and the state standards, for the proposition that a prisoner is automatically foreclosed from demonstrating incompetency once a court has found he can identify the stated reason for his execution. A prisonerâs awareness of the Stateâs rationale for an execution is not the same as a rational understanding of it. Ford does not foreclose inquiry into the latter.
... It is therefore error to derive from Ford, and the substantive standard for incompetency its opinions broadly identify, a strict test for competency that treats delusional beliefs as irrelevant once the prisoner is aware the State has identified the link between his crime and the punishment to be inflicted.
Id. at 958, 959, 960, 127 S.Ct. 2842 (internal citations omitted).
In Thompsonâs case, the Tennessee Supreme Court properly identified the standard by which to determine competency when it stated Fordâs rule that a prisoner must be able to understand the impending execution and the reason for it.
Second, the Tennessee Supreme Courtâs determination that Thompsonâs documented history of mental illness is equally âirrelevantâ to the question of his present incompetency was also unreasonable. See Panetti, 551 U.S. at 950, 127 S.Ct. 2842 (citing petitionerâs âextensive evidence of mental dysfunction considered in earlier legal proceedingsâ as part of the basis for his threshold showing). Although the court was correct that only Thompsonâs present competency was at issue, his medical records are relevant to that question, particularly to the extent that they demonstrate a chronic mental condition, or a condition that has only worsened over time. Thompsonâs medical history demonstrates his âlong history of bipolar disorder and psychic symptoms,â and that he has been psychotic and delusional since at least 1989. While this history is not definitive proof of Thompsonâs current incompetency for execution, it is at least probative of the seriousness of his illness and whether it is chronic.
Regardless of whether Thompsonâs incompetency petition should be granted, his evidence has at least created a genuine issue about his competency, and therefore warrants an evidentiary hearing. Thompson included extensive evidence of his incompetency in his petition, including (1) the reports of three medical experts, two of whom had recently examined Thompson on multiple occasions; (2) a long documented history of delusions and psychosis; and (3) the stateâs previous effort to appoint a conservator to make medical decisions on his behalf â essentially an acknowledgment by the state that Thompson was mentally ill. The conservatorship was terminated less than five months prior to Thompsonâs competency petition filing, and only because a court found Thompson had become voluntarily compliant with his drug program. The evidence Thompson submitted was undoubtedly a âsubstantial threshold showing,â and therefore an evidentiary hearing should have been held.
Because the Tennessee courts unreasonably applied federal law clearly established by Ford, this Court does not afford AEDPA deference to their dismissal of Thompsonâs petition. âWhen a state courtâs adjudication of a claim is dependent on an antecedent unreasonable application of federal law, the requirement set forth in § 2254(d)(1) is satisfied. A federal court must then resolve the claim without the deference AEDPA otherwise requires.â
II. Competency Through Involuntary Medication
Thompson alleges that he is âinvoluntarilyâ taking antipsychotic medication, and that it is unconstitutional to execute him if he is rendered competent through the forced administration of medication (Thompsonâs âchemical competency claimâ). Thompson alleges that, having been forced to take medication in the past through the conservatorship proceedings, he could be required to take the medication again if he ever stopped voluntarily taking it. Thompson also contends that he has been subjected to physical abuse by prison guards when he has refused medication in the past. Finally, Thompson states that he is currently addicted to the medication, and is now physically incapable of living without medication. The district court dismissed this claim as procedurally defaulted, and found that even if it were not procedurally barred, it would be untimely, and that in any event, Thompson failed to state a claim.
A. Procedural Default
The district court dismissed Thompsonâs chemical competency claim for procedural default because Thompson âfail[ed] to fairly present his claim to the state courts before offering it as a federal constitutional violation in a habeas proceeding.â Thompson v. Bell, No. 04-CV-177, 2006 WL 1195892, at *30 (E.D.Tenn. May 4, 2006). The district court acknowledged that Thompson raised his chemical competency claim with his substantial change petition, but found that the ineompetencyfor-execution procedures set forth in Van Tran prohibited Thompson from raising any other claims along with his claim that his condition had substantially changed. Id. (citing Van Tran, 6 S.W.3d at 272).
âIn determining whether a procedural default has occurred and, if so, what effect the default will have on federal review of a state conviction, the district court must consider whether (1) a state procedural rule exists that applies to the petitionerâs claim, (2) the petitioner failed to comply with the rule, (3) the state court actually applied the state rule in rejecting the petitionerâs claim, and (4) the state procedural rule is an adequate and independent ground upon which the state can rely to deny relief.â Frazier v. Huffman, 343 F.3d 780, 790 (6th Cir.2003). â[A] procedural default does not bar consideration of a federal claim on habeas corpus review unless the last state court rendering a reasoned opinion in the case âclearly and expressly states that its judgment rests on a state procedural bar.â â Id. at 791 (quoting Harris v. Reed, 489 U.S. 255, 263, 109 S.Ct. 1038, 103 L.Ed.2d 308 (1989)). However, even if the state court failed to reject a claim on a procedural ground, the petitioner is also in procedural default âby failing to raise a claim in state court, and pursue that claim through the stateâs âordinary appellate review procedures.â â Williams v. Anderson, 460 F.3d 789, 806 (6th Cir.2006) (quoting OâSullivan v. Boerckel, 526 U.S. 838, 846-7, 119 S.Ct. 1728, 144 L.Ed.2d 1 (1999)); see also Deitz v. Money, 391 F.3d 804, 808 (6th Cir.2004) (âA federal court is also barred from hearing issues that could have been raised in the state courts, but were not[.]â). The corollary to this rule is that where a petitioner raised a claim in the state court but in violation of a stateâs procedural rule, a state court must expressly reject the claim on that procedural ground for a federal court to deem the claim defaulted. See Williams, 460 F.3d at 806 (noting that a
Thompson formally raised his chemical competency claim in his substantial change petition to the Tennessee Supreme Court in September 2005; he included the chemical competency claim with that petition. The Tennessee Supreme Court did not address the claim in its December 13, 2005 order denying that a substantial change had occurred.
According to the district court, Thompson violated a state procedural rule, purportedly set forth in Van Tran, that a petitioner filing a substantial change petition may not raise any claims for the first time with his substantial change petition. Yet the only statement in Van Tran regarding a petitionerâs motion for a finding of substantial change is as follows:
If a prisoner is found to be competent, subsequent Ford claims will be disallowed unless the prisoner, by way of a motion for stay, provides this Court with an affidavit from a mental health professional showing that there has been a substantial change in the prisonerâs mental health since the previous determination of competency was made and the showing is sufficient to raise a substantial question about the prisonerâs competency to be executed.
Van Tran, 6 S.W.3d at 272. Although the district court concluded from this statement that Tennessee forbids a petitioner from bringing any new claims related to his incompetency for execution along with his substantial change petition, nothing in Van Tran explicitly states such a rule; in fact, the reference in Van Tran to âsubsequent Ford claims,â in the plural, indicates that Van Tran anticipated that other incompetency claims would be brought in addition to a claim of substantial change. Regardless, even if such a limitation existed, the Tennessee Supreme Court, in denying Thompsonâs petition for a finding of substantial change, did not refer to it. The court rejected Thompsonâs argument that substantial change in his mental condition had occurred, and did not address or even mention Thompsonâs chemical competency argument.
The district court, in finding procedural default, cited Castille v. Peoples, 489 U.S. 346, 351, 109 S.Ct. 1056, 103 L.Ed.2d 380 (1989), for the proposition that a claim is not fairly presented to a state court where the claim is presented âin a procedurally inappropriate manner which renders consideration on its merits unlikely.â Thompson v. Bell, No. 04-CV-177, 2006 WL 1195892, at *30 (E.D.Tenn. May 4, 2006). However, the district court misinterpreted Castille, which held only that, where a habeas petitioner had the opportunity to raise a claim in the state courts on direct appeal but only raised it for the first time on discretionary review, such a claim is not fairly presented. 489 U.S. at 351, 109 S.Ct. 1056; see also Clinkscale v. Carter, 375 F.3d 430, 440 (6th Cir.2004) (finding that Castilleâs holding did not require a finding of procedural default because, â[u]nlike the petitioner in Castille, Clinkscale raised his [constitutional] claim on direct appeal, in which there were no special limitations on the ability of the [state court] to reach the merits of that claim â) (emphasis added). Certainly, every time a claim is presented to a state court in violation of its own procedural rule, it is âunlikelyâ that the state court would consider its merits, but we nevertheless require a state court to expressly deny such a claim based on the procedural rule in order for the claim to be in procedural default. See Caldwell v. Mississippi, 472 U.S. 320, 327, 105 S.Ct. 2633, 86 L.Ed.2d 231 (1985) (âThe mere existence of a basis for a state procedural bar does
Because Thompson indisputably presented his chemical competency petition to the Tennessee Supreme Court in his substantial change petition, this is not a case where we can find procedural default in spite of that courtâs failure to reject the claim on a procedural ground. See Williams, 460 F.3d at 806. Because the state court did not âclearly and expressly state[ ] that its judgment rests on a state procedural bar,â the rules of procedural default did not bar the district court from considering the claim. See Frazier, 343 F.3d at 790. Thus, Thompsonâs chemical competency claim is not procedurally barred.
B. Statute of Limitations
Respondent argues, and the district court found, that even if Thompson did not procedurally default on his chemical competency claim, his claim is still time-barred. With exceptions not relevant here, federal habeas petitioners in custody pursuant to a judgment in a state court must file them petitions within one year of the date judgment becomes final on direct review or the time to seek such review expires. 28 U.S.C. § 2244(d)(1)(A). Because Thompson presented his chemical competency claim to the Tennessee Supreme Court on September 23, 2005, in his substantial change petition, the state courtsâ judgment with respect to the chemical competency claim first became final on December 13, 2005, when the Tennessee Supreme Court denied Thompsonâs substantial change petition without addressing his chemical competency claim. Thompson amended his federal habeas petition to include his chemical competency claim on March 17, 2006, well before the one-year limitations period expired. Accordingly, Thompsonâs chemical competency claim is not barred by the statute of limitations.
C. Failure to State a Claim
1. Standard of Review
âIf deference to the state court is inapplicable or inappropriate, we âexercise our independent judgmentâ and review the claim de novo.â McKenzie v. Smith, 326 F.3d 721, 727 (6th Cir.2003). âWhere the state court has not addressed or resolved claims based on federal law, most courts, including this one, have held that the decision is not an âadjudication on the merits.â Thus, a federal habeas court reviews such unaddressed claims de novo.â Howard v. Bouchard, 405 F.3d 459, 467 (6th Cir.2005). Because the Tennessee state courts did not adjudicate Thompsonâs chemical competency claim on the merits, there is no state court decision to which this Court can defer pursuant to 18 U.S.C. § 2254(d). Accordingly, this Court reviews the district courtâs adjudication of Thompsonâs chemical competency claim de novo. In reviewing the district courtâs determination that Thompson failed to state a claim, this Court accepts Thompsonâs factual allegations supporting the claim as true. See Lewis v. ACB Bus. Servs., Inc., 135 F.3d 389, 405 (6th Cir. 1998).
2. Analysis
Neither the Supreme Court nor the Sixth Circuit has squarely addressed whether the Eighth Amendmentâs prohibition on cruel and unusual punishment prohibits rendering a prisoner competent for execution through involuntary medication. However, in addressing previous Due Process claims, the Supreme Court has recognized that mentally ill state prisoners have
Although the Supreme Court in Harper, Riggins and Sell addressed due process challenges and not Eighth Amendment claims, the logical inference from these holdings is that subjecting a prisoner to involuntary medication when it is not absolutely necessary or medically appropriate is contrary to the âevolving standards of decencyâ that underpin the Eighth Amendment. See Trop v. Dulles, 356 U.S. 86, 100-01, 78 S.Ct. 590, 2 L.Ed.2d 630 (1958) (â[T]he words of the [Eighth] Amendment are not precise, and ... their scope is not static. The Amendment must draw its meaning from the evolving standards of decency that mark the progress of a maturing society.â). Moreover, the main reason why Justice Powell viewed the execution of insane prisoners as âcruelâ â that their inability to understand the reason for their punishment robs them of âthe opportunity to prepare, mentally and spiritually, for their death,â Ford, 477 U.S. at 421, 106 S.Ct. 2595 â applies with equal force to those who have been rendered chemically competent involuntarily. If forced medication reduces a prisonerâs delusions and controls his outward behavior, but does not improve his understanding of his impending death or his ability to prepare for it, it is quite possible that the prisoner cannot be executed under the principles of Ford.
The concurring opinion, certain that pri- or Supreme Court precedent has already precluded such a claim, impermissibly ties loose strands of prior precedents together to reach its conclusion. Essentially, our concurring colleague surmises that because the Supreme Court has held that forced medication is not inherently unconstitutional, and that executions are not inherently unconstitutional, the execution of a prisoner rendered competent through medically appropriate forced medication must be constitutional. This leap of logic ignores the Supreme Courtâs repeated recent willingness to deem unconstitutional the execution of prisoners who the state previously had a legitimate right to execute-including those with mental or developmental deficiencies. See, e.g., Atkins v. Virginia, 536 U.S. 304, 122 S.Ct. 2242, 153 L.Ed.2d 335 (2002) (prohibiting the execution of mentally retarded defendants);
Regardless, in this case, it is not necessary to resolve these difficult questions, because regardless of whether the Eighth Amendment prohibits the execution of a prisoner rendered competent through the forced administration of medication, the district court did not err in holding that Thompson failed to state a claim. Even accepting all of Thompsonâs allegations as true, he is not being forcibly medicated right now. Although he may be right that the state would forcibly medicate him if he stopped taking his medication voluntarily, those are not the facts he presents to us. Thompsonâs argument that his medication is involuntary because he is addicted to the drugs may be accurate from a physiological perspective, but does not amount to an allegation that the state is ordering him to take medication. Because this appeal does not present the case of a prisoner who may only be competent by way of forced medication, this Court will leave the question of whether executing the âchemically competentâ constitutes cruel and unusual punishment for another day. The district courtâs dismissal of Thompsonâs chemical competency claim is affirmed, without prejudice to Thompson raising a chemical competency claim in the future should he be forcibly medicated.
In the appeal of his other claims, Thompson argues that the Tennessee Supreme Courtâs promulgation of TSCR 39, which clarified that criminal defendants do not need to appeal their post-collateral relief actions to the Tennessee Supreme Court to exhaust their claims, demonstrates that the district court erred when it dismissed four of his ineffective assistance claims as procedurally defaulted. Thompson argues that because the district court erred, it abused its discretion in denying his subsequent motion pursuant to Fed.R.Civ.P. 60(b)(6) to re-open his original habeas petition with respect to those claims. We agree.
A. Standard of Review
This Court reviews the district courtâs denial of a motion pursuant to Rule 60(b)(6) for abuse of discretion. Frontier Ins. Co. v. Blaty, 454 F.3d 590, 596 (6th Cir.2006). âAbuse of discretion is defined as a definite and firm conviction that the trial court committed a clear error of judgment.â Burrell v. Henderson, 434 F.3d 826, 831 (6th Cir.2006) (quotation marks and citation omitted). âRule 60(b) proceedings are subject to only limited and deferential appellate review.â Gonzalez v. Crosby, 545 U.S. 524, 535, 125 S.Ct. 2641, 162 L.Ed.2d 480 (2005).
B. Analysis
âOn motion and upon such terms as are just, the court may relieve a party or his legal representative from a final judgment, order, or proceeding for the following reasons: ... (6) any other reason justifying relief from the operation of the judgment.â Fed R. Civ. P. 60(b)(6). â[R]elief under Rule 60(b)(6) ... requires a showing of âextraordinary circumstances,â â Gonzalez, 545 U.S. at 536, 125 S.Ct. 2641, and must âbe made within a reasonable time,â Fed.R.Civ.P. 60(c)(1). â[T]he decision to grant Rule 60(b)(6) relief is a case-by-case inquiry that requires the trial court to intensively balance numerous factors, including the competing policies of the finality of judgments and the incessant command of the courtâs conscience that justice be done in light of all the facts.â Blue Diamond Coal Co. v. Trustees of UMWA Combined Benefits Fund, 249 F.3d 519, 529 (6th Cir.2001) (quotation marks and citation omitted).
We recently found in In re Abdur'Rahman, 392 F.3d 174 (6th Cir.2004) (en banc) (âAbdur'Rahman I â) that the promulgation of TSCR 39 was an extraordinary circumstance. Although the Supreme Court subsequently vacated that opinion in Bell v. Abdur'Rahman, 545 U.S. 1151, 125 S.Ct. 2991, 162 L.EdĂźd 909 (2005) (AbdurRahman IR, the rationale behind our finding in AbdurRahman I remains valid. In AbdurRahman I, the district court, similarly to the district court in this case, had dismissed the petitionerâs habeas claims as procedurally defaulted for failure to seek discretionary review in the Tennessee Supreme Court. Abdur'Rahman I, 392 F.3d at 177. In AbdurRahman I, this Court reversed the district court and held that the promulgation of TSCR 39 was an extraordinary circumstance warranting relief under Rule 60(b)(6), because the new rule indicated that the district court had failed to recognize a stateâs own procedural rule â -thereby undermining the principle of comity on which AEDPA is based. Id. at 186. In Gonzalez v. Crosby, 545 U.S. 524, 533, 125 S.Ct. 2641, 162 L.Ed.2d 480 (2005), the Supreme Court addressed another habeas petitionerâs Rule 60(b)(6) motion, finding in that case that the petitioner was not entitled to relief. The Court found that a recent Supreme Court decision, which changed the federal courtsâ
We agree that the enactment of TSCR 39 is an extraordinary circumstance, and that nothing in the Supreme Courtâs opinion in Gonzalez undermined this Courtâs reasoning in AbdurRahman I. Unlike the Supreme Court in Gonzalez, which found that a change in federal decisional law by itself was not an extraordinary circumstance, this Court in AbdurRahman I found the enactment of TSCR 39 to be an extraordinary circumstance because refusing to recognize it âwould disserve the comity interests enshrined in AEDPA by ignoring the state courtâs view of its own law.â 392 F.3d at 187. A federal courtâs respect for another stateâs law was not at issue in Gonzalez, in which the Rule 60(b) motion was based solely on a change in federal decisional law interpreting a federal statute. See also Blue Diamond, 249 F.3d at 524 (â[A] change in decisional law is usually not, by itself, an âextraordinary circumstanceâ meriting Rule 60(b)(6) relief.â) (emphasis supplied). Because this Courtâs reasoning in AbdurRahman I is still valid after Gonzalez, today we reaffirm our previous holding that a motion based upon the promulgation of TSCR 39 is an extraordinary circumstance warranting relief under Rule 60(b)(6).
However, a movant must also file a Rule 60(b)(6) motion âwithin a reasonable time.â Fed.R.Civ.P. 60(c)(1). Although the Federal Rules do not mandate the specific time by which the motion must be filed, a movantâs lack of diligence can detract from the extraordinariness of the circumstance. Gonzalez, 545 U.S. at 537-38, 125 S.Ct. 2641. Whether the timing of the motion is reasonable âordinarily depends on the facts of a given case including the length and circumstances of the delay, the prejudice to the opposing party by reason of the delay, and the circumstances compelling equitable relief.â Olle v. Henry & Wright Corp., 910 F.2d 357, 365 (6th Cir.1990).
In this case, although Thompson did not bring his Rule 60(b) motion until January 20, 2006 â more than four years after the promulgation of TSCR 39 â the reasons for Thompsonâs delay are understandable. First, when the Tennessee Supreme Court enacted TSCR 39 in June 2001, it would have been pointless for Thompson to file a Rule 60(b) motion because at that time, Rule 60(b) motions were deemed equivalent to successive habeas petitions.
Although Thompson theoretically could have filed his Rule 60(b) motion immediately after AbdurâRahman I was published, the appeal of his habeas petition was still pending on that date. This Court did not issue its mandate to the district court to dismiss Thompsonâs habeas petition until December 1, 2005; prior to that date, the district court would not have had jurisdiction to hear his Rule 60(b) motion. See Pittock v. Otis Elevator Co., 8 F.3d 325, 327 (6th Cir.1993) (Generally, âa district court no longer has jurisdiction over an action as soon as a party files a notice of appeal[.]â). Because Thompson filed his Rule 60(b) motion less than two months after we issued the mandate in his case, which he had been actively appealing until that time, we cannot find a lack of diligence that would detract from the extraordinary circumstance reflected in the promulgation of TSCR 39.
We recognize that where the judgment the movant seeks to reopen has already become final, courts are often reluctant to find an abuse of discretion in a district courtâs denial of the Rule 60(b) motion. See, e.g., Stokes v. Williams, 475 F.3d 732, 736-37 (6th Cir.2007). However, we must also heed the Supreme Courtâs admonition that â[c]onventional notions of finality of litigation have no place where life or liberty is at stake and infringement of constitutional rights is alleged.â Sanders v. United States, 373 U.S. 1, 8, 83 S.Ct. 1068, 10 L.Ed.2d 148 (1963). Courts addressing Rule 60(b) motions must consider the equities, and âthe incessant command of the courtâs conscience that justice be done in light of all the facts.â Blue Diamond, 249 F.3d at 529; see also Matarese v. LeFevre, 801 F.2d 98, 106 (2d Cir.1986) (Rule 60(b) âconfers broad discretion on the trial court to grant relief when appropriate to accomplish justice; it constitutes a grand reservoir of equitable power to do justice in a particular case .... and should be liberally construed when substantial justice will t;hus be served.â) (internal citations and quotations omitted). In this case, the finality of the judgment against Thompson must be balanced against the more irreversible finality of his execution, as well as the serious concerns about ineffective assistance that caused this Court so much angst upon its prior consideration of Thompsonâs petition. Because Thompson should be heard on the merits of his four remaining ineffective assistance claims, we reverse the district courtâs denial of Thompsonâs Rule 60(b) motion.
CONCLUSION
For the reasons set forth above, we REVERSE the district courtâs denial of Thompsonâs Rule 60(b) motion and his habeas petition based upon incompetency, and we REMAND for further proceedings. On remand, the district court shall first rule on the merits of Thompsonâs remaining ineffective assistance claims, and shall only address the incompetency question if it rejects the ineffective assistance claims on their merits. If the court rejects the ineffective assistance claims, it must then conduct an evidentiary hearing to determine Thompsonâs competency for execution. The district courtâs dismissal of Thompsonâs chemical competency claim is AFFIRMED.
. In Coe v. Bell, 209 F.3d 815, 824-26 (6th Cir.2000), this Court held that Tennesseeâs standard and procedures for determining incompetency for execution follow the dictates of Powell's concurrence and are therefore constitutional.
. The concurring opinion mischaracterizes our view as stating that the execution of those rendered chemically competent âlikelyâ violates the Eighth Amendment. Concurring Op. at 445. We do not go so far. Rather, we note only that it is possible, under some circumstances, that such an act would amount to a constitutional violation for the reasons discussed.
. The concurring opinion also argues that Thompson's chemical competency claim is actually an attack on his original conviction and sentence, and therefore should have been barred as a second or successive petition pri- or to our reaching the merits. As should be obvious, because the state was not forcibly medicating Thompson or even considering doing so at the time of his conviction and sentence, a claim challenging his competence through forced medication would not have been ripe. See Warshak v. United States, 532 F.3d 521, 525 (6th Cir.2008) (claim unripe for judicial review unless "it arises in a concrete factual context and concerns a dispute that is likely to come to passâ). Remarkably, although our concurring colleague agrees with us that even now, Thompson has failed to state a claim because he is not being forcibly medicated, he nevertheless believes that Thompson would somehow have been able to state a claim at his original sentencing, despite not being forcibly medicated at that time. How the concurring opinion can in one breath agree that the necessary factual predicate to Thompson's claim has not occurred, and in another breath argue that Thompson never needed any such factual circumstances to occur because his claim is a purely "legalâ one, is beyond comprehension.
As the concurrence at least recognizes, the only appellate court to have addressed a chemical competency claim voted 10-1 that a chemical competency claim arises only when the defendant is subject to a forced medication order and execution is imminent. See Singleton v. Morris, 319 F.3d 1018, 1027 (8th Cir.2003) (Loken, J., concurring in the judgment but dissenting on that ground). This Court agrees with that holding, and for this reason, the concurring opinionâs statement that "Thompson was under a sentence of death and claims to have been involuntarily medicated back in 1995,â Concurring Op. at 450, n. 4, is irrelevant, since Thompsonâs execution was not imminent at that time. Moreover, even if Thompson has asserted that he was forcibly medicated in 1995, he does not
. We note that Thompson did inform this Court about the enactment of TSCR 39 by filing a citation of supplemental authority pursuant to Fed. R.App. P. 28(j) on August 1, 2001, prior to oral argument on his appeal of his habeas petition.