Billy Raulerson v. Warden
Concurring in Part
"[B]urdens of proof can be outcome-determinative in the face of ignorance[.]"
The Eighth Amendment prohibits a state from executing a defendant who is intellectually disabled. See Atkins v. Virginia ,
I
Where a criminal proceeding does not implicate an underlying constitutional right, the Due Process Clause generally allows a state to decide the appropriate allocation and burden of proof. Take, for example, the affirmative defense of insanity. When a defendant invokes insanity as a *1010defense to criminal liability, a state may require him to prove that he was insane beyond a reasonable doubt. See Leland v. Oregon ,
Constitutionally-based rights stand on a different footing. Competency, for example, provides a good contrast to the affirmative defense of insanity. A state cannot constitutionally try and convict a defendant who is incompetent. See, e.g. , Drope v. Missouri ,
Intellectual disability, as noted, presents a constitutionally-based restriction on a state's ability to carry out the death penalty. See Atkins ,
A
In Hill v. Humphrey ,
Prior to our decision in Hill , the Georgia Supreme Court held, by a 4-3 vote, in Head v. Hill ,
In Head , the Georgia Supreme Court identified *1011Leland ,
A state court decision comes within the "contrary to" clause of § 2254(d)(1) if it applies a "rule that contradicts the governing law set forth in [Supreme Court] cases." Williams v. Taylor ,
Contrary to what Head concluded, Leland is not the governing Supreme Court precedent for addressing the limits on determining and allocating the burden of proof when a constitutional right is at stake. Insanity, the affirmative defense at issue in Leland , is not and has never been constitutionally based. See Medina , 505 U.S. at 449,
Where a fundamental constitutional right is involved-and the Eighth Amendment right of an intellectually-disabled defendant not to be executed is such a right-Cooper provides the governing precedent under the Due Process Clause. The Supreme Court in Cooper in fact distinguished cases, like Patterson v. New York ,
To answer the due process question presented here, Cooper requires a court to examine the relevant common-law traditions of England and the United States, contemporary practices, and the risks inherent in Georgia's practice of requiring capital defendants to prove intellectual disability beyond a reasonable doubt. See
Because the Georgia Supreme Court in Head did not conduct the due process analysis required by Cooper , its decision in that case (followed by the superior court here) is not entitled to AEDPA deference. See Williams ,
B
Atkins tasked the states with "developing appropriate ways to enforce the constitutional restriction" on executing the intellectually disabled. See Atkins ,
The burden of proof plays a critical role in our adversarial system because it often *1013drives the result. "In all kinds of litigation it is plain that where the burden of proof lies may be decisive of the outcome .... There is always in litigation a margin of error, representing error in factfinding, which both parties must take into account." Speiser v. Randall ,
In Cooper ,
Here the stakes are just as high, and the burden Georgia places on capital defendants to prove intellectual disability is even higher than the clear-and-convincing standard found unconstitutional in Cooper . Georgia, I note, is also the only state to impose such a burden of proof. See Head ,
Moreover, several states have rejected a clear and convincing standard because no state interest justified the higher burden. See, e.g. , Sanchez ,
C
Mr. Raulerson asserts that Georgia's beyond-a-reasonable-doubt standard effectively *1015permits the state to do what the Eighth Amendment forbids-execute a prisoner who is intellectually disabled. Concurring in the judgment in Hill , Judge Tjoflat summarized the due process argument against imposing the beyond-a-reasonable-doubt standard. I think he was prescient, and got it exactly right:
Claims of mental retardation are incredibly fact-intensive and could devolve into a swearing match between conflicting, and equally qualified, experts. This swearing match could easily-if not always-create reasonable doubt that the defendant is not mentally retarded. By erecting this higher burden, the State effectively put its thumb on the scale against a defendant's mental-retardation defense .... [T]he State's unfair thumb-the beyond-a-reasonable-doubt standard-deprive[s a defendant] of full and fair post-conviction hearing, and he would be entitled to an evidentiary hearing in federal court.
Hill ,
Intellectual disability is an inherently imprecise and partially subjective diagnosis. The generally accepted definition of intellectual disability, which Georgia follows, requires three core elements: (1) an intellectual-functioning deficit; (2) an impairment of adaptive behavior (the "inability to learn basic skills and adjust behavior to changing circumstances," Hall v. Florida ,
Each element presents its own challenges. Experts may measure intellectual functioning through IQ tests, but a person's score can only provide a possible range. As the Supreme Court explained in Hall , where it struck down Florida's use of a strict 70-or-below IQ requirement for Atkins claims, "[a]n individual's IQ test score on any given exam may fluctuate for a variety of reasons" including "a test-taker's health; practice from earlier tests; the environment or location of the test; the examiner's demeanor; the subjective judgment involved in scoring certain questions on the exam; and simple lucky guessing." Hall , 572 U.S. at 713,
The intellectual disability analysis, with its inherent difficulties, renders Atkins claims highly susceptible to uncertainty. That uncertainty is magnified by the way Georgia defines the concept of reasonable doubt. In Georgia, the "true question in criminal cases" is "whether there is sufficient evidence to satisfy the mind and conscience beyond a reasonable doubt." O.C.G.A. § 24-14-15. The Georgia pattern jury instructions state that a reasonable doubt can arise from "consideration of the evidence, a lack of evidence, or a conflict in the evidence ." Georgia Suggested Pattern Jury Instruction-Criminal 1.20.10 *1016(2019) (emphasis added). See also Ward v. State ,
The majority says that Georgia's burden of proof cannot transgress the Due Process Clause because Atkins left to the states the ability to craft procedures for intellectual disability claims. But this reasoning disregards how the Supreme Court has interpreted its mandate for the states to create "appropriate " procedures to enforce the constitutional restriction. See Atkins ,
In Hall , the Supreme Court recognized that " Atkins did not provide definitive procedural or substantive guides for determining when a person who claims mental retardation falls within the protection of the Eighth Amendment," but it also reiterated that " Atkins did not give the States unfettered discretion to define the full scope of the constitutional protection." 572 U.S. at 718-19,
Georgia's beyond-a-reasonable-doubt standard is one more manifestation of the same problem. Hall and Moore teach that states violate their discretion under Atkins by establishing procedures that create an unacceptable risk that intellectually disabled prisoners will be executed. Not only has Georgia failed to recognize the practical impediments to proving an intellectual disability claim, but has imposed on capital defendants the heaviest burden in our legal system. Doing so effectively denies those defendants a "fair opportunity to show that the Constitution prohibits their execution." Hall , 572 U.S. at 724,
II
Sometimes "a page of history is worth a volume of logic."
*1017N.Y. Trust Co. v. Eisner ,
In Hill ,
Here, the district court held an evidentiary hearing to consider, among other things, whether any Georgia capital defendants had successfully proven their intellectual disability to a judge or jury beyond a reasonable doubt. Prior to that hearing, the district court allowed discovery and required Georgia to respond to interrogatories concerning whether, since 1988, any capital defendants had established intellectual disability beyond a reasonable doubt. Georgia, tellingly, did not provide any cases where a defendant met that standard. See D.E. 38; R1123-33.
The record shows that since 1988 at least 27 Georgia defendants have asserted intellectually disability in cases where the death penalty was sought. See D.E. 38 at 6-8; D.E. 52 at 29-32. In 13 of those cases, the intellectual disability issue went to a factfinder. And not a single one of those 13 defendants was able to satisfy the beyond-a-reasonable-doubt standard. In this context, 13 defendants is a reasonable sample size and a success rate of zero is constitutionally unacceptable.
Other Georgia cases and recent scholarship on this issue confirm this reality. "From an empirical perspective, we can now say with confidence that not one defendant in Georgia has proven successfully to a jury post- Atkins that he is exempt from the death penalty due to intellectual disability." Lucas, Empirical Assessment , at 605. See also id. at 582 ("The final results of the study [reviewing records from 379 capital cases tried after § 17-7-131(c)(3) was enacted] confirmed what was thought anecdotally to be true about the impact of Georgia's beyond a reasonable doubt standard ...: not one capital defendant in Georgia has successfully obtained a jury verdict of [intellectual disability] in a case of intentional murder.").
*1018By comparison, a national study found that, from 2002 to 2013, 55% of capital defendants succeeded in proving their Atkins intellectual disability claims. See John H. Blume, Sheri L. Johnson, Paul Marcus, & Emily C. Paavola, A Tale of Two (and Possibly Three) Atkins: Intellectual Disability and Capital Punishment Twelve Years After the Supreme Court's Creation of a Categorical Bar ,
Part of the problem is that Georgia's beyond-a-reasonable-doubt standard requires a level of certainty that mental health experts simply cannot provide. Mr. Raulerson's expert witness-a distinguished professor specializing in intellectual disabilities-analyzed cases where Georgia defendants attempted to prove intellectual disability and testified at the district court evidentiary hearing. When asked about the burden imposed by Georgia, she said the following:
[W]hat I know is that the burden in the state of Georgia is beyond a reasonable doubt[,] and what I can say is that it would be very rare for a clinician, especially in the so-called mild mental retardation range, to testify to that high level, to be able to testify to that high level.
D.E. 51 at 71-72. See also Lauren A. Ricciardelli & Kevin M. Ayres, The Standard of Proof of Intellectual Disability in Georgia: The Execution of Warren Lee Hill , 27 J. Disability Pol'y Stud. 158, 165 (2016) (criticizing Georgia's procedures because the "standard of proof for diagnosis requires something other than what a qualified expert in that field can provide").
We now have solid data confirming that Georgia's standard does not afford capital defendants a meaningful opportunity to prove intellectual disability. Must we continue to bury our heads in the sand?
III
"Rules about presumptions and burdens of proof reflect one's views about where the risk of loss ought to be placed .... It is not a novel proposition that judgments inflicting the penalty of death should be hedged about with greater safeguards." Stanley v. Zant ,
*1019"[T]he procedures by which the facts of a case are determined assume an importance fully as great as the validity of the substantive rule of law to be applied. And the more important the rights at stake the more important must be the procedural safeguards surrounding the rights." Speiser ,
Ronald J. Allen, How Presumptions Should Be Allocated- Burdens of Proof, Uncertainty, and Ambiguity in Modern Legal Discourse ,
I concur in Parts I, II, and III.A. of the majority opinion. Because I believe that Georgia's beyond-a-reasonable-doubt standard is unconstitutional, I would remand Mr. Raulerson's substantive intellectual disability claim to the district court for an evidentiary hearing under the preponderance-of-the-evidence standard.
Arizona and Florida currently apply a clear and convincing standard. See
In Head , the Georgia Supreme Court stated that the "higher standard of proof serves to enforce the General Assembly's chosen definition of what degree of impairment qualifies as mentally retarded under Georgia law for the purpose of fixing the appropriate criminal penalty that persons of varying mental impairment should bear for their capital crimes, in light of their individual diminished personal culpabilities and the varying degrees of deterrence possible."
Some of this evidence was not available in 2005, when the Georgia Supreme Court denied Mr. Raulerson's appeal. Under AEDPA, our review is normally constrained to the record as established before the state habeas court. See Cullen v. Pinholster ,
The intellectual disability claims of 13 defendants are still pending, and one defendant passed away before the state court could determine his intellectual disability claim.
In my own research, I have been able to find one Georgia non-capital defendant who proved to a jury that she was intellectually disabled beyond a reasonable doubt. In 2003-prior to the Supreme Court's decision in Atkins -a jury found Vanessa Marshall guilty but intellectually disabled of felony murder for the unintentional death of her son. See Marshall v. State ,
Opinion of the Court
Billy Raulerson Jr., a Georgia prisoner under three death sentences for murdering two teenagers, one of whom he sodomized after killing her, and for murdering a woman he robbed the next day, appeals the denial of his petition for a writ of habeas corpus,
I. BACKGROUND
We divide the background of this appeal in three parts. First, we discuss the facts of Raulerson's crime. Next, we describe Raulerson's trial and sentencing. Then, we provide an overview of his state and federal habeas proceedings.
A. The Crime
In a two-day span, Billy Raulerson, Jr. killed three people in Ware County, Georgia. On May 30, 1993, Raulerson parked his car by a pickup truck occupied by two teenagers, Jason Hampton and Charlye Dixon, on a lakeside lovers' lane. Raulerson v. State ,
When he tried to return to Dixon's body the next day, people were at the site, so he "drove to a rural section of the county looking for a house to burglarize." Id. He stopped at a home that had no vehicle in the carport. After no one responded to his knock at the door, Raulerson broke into a shed and stole meat from the freezer. Id. When he was loading the meat into his car, he heard someone in the house. Id. Raulerson went inside and encountered Gail Taylor, who was armed with a knife. Id. A struggle ensued, and Raulerson shot Taylor multiple times. Id. He then stole her purse and left. Id. Later that day, the bodies of Hampton, Dixon, and Taylor were discovered in separate locations. Id. at 795.
Several months later, the police arrested Raulerson on unrelated charges. He gave the police a blood sample, which matched the semen recovered from Dixon's body. Id. When the police questioned Raulerson about the murders, he confessed to killing all three people. Id. The police searched Raulerson's home and found the fishing rods taken from Hampton's truck and a gun that matched the shell casings recovered from the crime scenes. Id. A grand jury charged Raulerson with the murders of Dixon, Hampton, and Taylor; burglary; kidnapping; aggravated sodomy; necrophilia ; two counts of possession of a firearm during the commission of a felony; and possession of a firearm by a convicted felon. Id. at 795 n.1.
B. The Trial and Sentencing
Leon Wilson and Mark Hatfield represented Raulerson. Wilson, who served as lead counsel, had tried several capital cases in his 46 years as an attorney, although he had not done so in 20 years when he represented Raulerson. Hatfield, a new attorney, assisted Wilson with the case.
Before trial, Raulerson's counsel conducted an investigation of Raulerson's *993background. They hired five experts, including a licensed clinical social worker, Audrey Sumner; a psychologist, Dr. Daniel Grant; a psychiatrist, Dr. John Savino; a neurologist, Dr. Michael Baker; and a neuropsychologist, Dr. Manual Chaknis. The experts interviewed Raulerson and his family and reviewed Raulerson's medical, school, and criminal records. Among other things, Raulerson's counsel learned that Raulerson had a tumultuous childhood, abusive parents, substance-abuse issues, and several emotional and intellectual problems.
During the guilt phase of trial, Raulerson's counsel presented the defense that Raulerson was "guilty but mentally retarded." In Georgia, a criminal defendant who proves beyond a reasonable doubt that he is intellectually disabled is ineligible for the death penalty. See O.C.G.A. § 17-7-131(c)(3). In July 2017, Georgia amended section 17-7-131 to substitute the term "mentally retarded" for "intellectual disability." See id. § 17-7-131 ; see also
To support his claim of intellectual disability, Raulerson's counsel presented the expert testimony of their psychologist, Dr. Grant. He testified that he had spent about 15 hours with Raulerson, administered about 25 different tests, interviewed his parents, and reviewed extensive records. Although Raulerson had received IQ scores of 78 and 83 as a child, which are above the range of intellectual disability, Grant testified that his tests determined Raulerson had an IQ around 69 and was "functioning at about a 12-year level." And he testified that Raulerson's deficits onset before age 18 because Raulerson had abused drugs and alcohol at a young age, suffered head injuries, and had memory and attention problems. Grant concluded that Raulerson was intellectually disabled.
Dr. Grant also testified about Raulerson's background. He testified that Raulerson always had trouble in school and never had any friends. He explained that Raulerson had suffered multiple head injuries, including being hit by a car at age three. And Grant described Raulerson's home life. He testified that Raulerson's father was abusive; by age ten, "he and his father would actually get in the yard and fist-fight like two adults." Grant explained that Raulerson's environment made him "predisposed" for substance abuse. After Raulerson began using drugs and alcohol around age ten, Grant testified that Raulerson spent "his leisure time ... drinking or using drugs" and sitting outside his parents' house "just staring out." Grant also discussed Raulerson's failed marriage and his child. He explained that Raulerson had been married at age 18 and had a tumultuous relationship with his then-wife. When she was five months pregnant, Raulerson shot himself in the chest.
The state presented its own expert, Dr. Gerald Lower, who disagreed with some of Dr. Grant's conclusions that led to his diagnosis that Raulerson had an intellectual disability. Dr. Lower's test also determined that Raulerson had an IQ of 69, but *994he testified that he found signs of malingering. Lower testified that he did not have enough information to make a diagnosis about Raulerson's adaptive functioning. When asked whether there was "any convincing demonstration" that Raulerson had an intellectual disability onset before age 18, he testified, "Absolutely none whatever."
The jury rejected that Raulerson was "guilty but mentally retarded" beyond a reasonable doubt. It convicted him on three counts of capital murder, in addition to burglary, kidnapping, necrophilia, and two counts of possession of a firearm during the commission of a felony.
The penalty phase began the next morning. The state called six witnesses and presented several victim-impact statements. Raulerson's counsel presented no additional witnesses in mitigation and instead relied on the testimony presented during the guilt phase. During Wilson's closing argument, he maintained that although the jury had found that Raulerson was "not ... legally retarded," Raulerson's actions were of a "sick mind" and "not entirely his fault." Wilson urged the jury to consider Raulerson's background and not to impose the death penalty. The court instructed the jury that it could rely on all testimony received in both stages of the proceedings. The jury returned a verdict of death for all three counts of capital murder for which Raulerson was convicted and found the existence of seven statutory aggravating circumstances beyond a reasonable doubt.
Raulerson appealed his convictions and sentences to the Supreme Court of Georgia. He argued, among other things, that section 17-7-131(c)(3), which requires the accused to prove his intellectual disability beyond a reasonable doubt, violated his state right not to be executed if intellectually disabled. In support, Raulerson cited Cooper v. Oklahoma ,
C. The State and Federal Habeas Proceedings
After his direct appeal, Raulerson filed a petition for a writ of habeas corpus in a Georgia superior court. He alleged that his counsel rendered ineffective assistance at the penalty phase of his trial by failing to investigate and present mitigating evidence about his mental health. In the light of Atkins v. Virginia ,
The superior court held an evidentiary hearing on these issues. Raulerson presented over 30 affidavits from family, friends, teachers, and mental-health professionals stating that they would have *995provided testimony on Raulerson's behalf if they had been asked. The affidavits provided details about Raulerson's substance abuse, physical abuse, troubled childhood, and his relationship with his daughter. Raulerson also presented an affidavit and testimony from Dr. Lower, the state's expert at his trial. Lower explained that, after reviewing additional records and testimony, he "would have testified that Mr. Raulerson's I.Q. ... and his deficits in adaptive functioning apparent prior to age 18 support[ ] a diagnosis of Mental Retardation." But Dr. Lower still questioned whether Raulerson's intellectual disability onset before age 18. So even with the additional information, he could not diagnose Raulerson as intellectually disabled.
The superior court denied Raulerson's petition. It denied Raulerson's claim of ineffective assistance of counsel on the merits. It ruled that his due-process claim was barred by res judicata. And relying on precedent from the Supreme Court of Georgia, it also explained that Raulerson's due-process claim failed because Georgia's burden of proof to establish intellectual disability was not unconstitutional under Atkins . The superior court also determined that Raulerson's claim that he is intellectually disabled and so ineligible for the death penalty was barred by res judicata because the jury had rejected that claim. And it determined that Raulerson "failed to present evidence to satisfy the extremely stringent miscarriage of justice standard" because the evidence presented at trial and in habeas proceedings did not "warrant eradication [of] the jury's verdict."
The Supreme Court of Georgia summarily denied Raulerson's application for a certificate of probable cause to appeal. Raulerson then filed a federal petition for a writ of habeas corpus in the district court. Following an evidentiary hearing, the district court denied Raulerson's petition.
II. STANDARDS OF REVIEW
We review de novo the denial of a petition for a writ of habeas corpus. Morrow v. Warden ,
III. DISCUSSION
Raulerson raises three issues for our review. First, he argues that the superior court unreasonably determined that his attorneys were not deficient for failing to investigate mitigating evidence and to present it during the penalty phase and that he suffered no prejudice. Second, he argues that the superior court unreasonably applied clearly established law when it ruled that the Georgia requirement that he prove his intellectual disability beyond a reasonable doubt did not violate the Due Process Clause of the Fourteenth Amendment. Third, he argues that he is intellectually disabled and so actually innocent of the death penalty.
As an initial matter, our discussion focuses on the reasonableness of the superior court's decision even though it is not the last state-court "adjudicat[ion] on the merits,"
A. The Superior Court Reasonably Determined that Trial Counsel Were Not Ineffective for Failing to Investigate Mitigating Evidence and to Present It During the Penalty Phase.
To obtain relief on his claim of ineffective assistance of counsel, Raulerson must establish two elements. Strickland v. Washington ,
Raulerson first argues that his trial counsel were ineffective by failing to investigate mitigating evidence about his troubled childhood, his love for his child, and his mental illness. During the state habeas proceedings, Raulerson presented affidavits from over 30 family members, teachers, acquaintances, and mental-health professionals that he contends his counsel should have interviewed. Raulerson argues that these witnesses could have presented a more sympathetic portrait of him.
Counsel representing a capital defendant must conduct an adequate background investigation, but it need not be exhaustive. See Berryman v. Morton ,
To determine whether "trial counsel should have done something more" in their investigation, "we first look at what the lawyer[s] did in fact." Grayson v. Thompson ,
The superior court reasonably concluded that trial counsel conducted an adequate investigation. Raulerson's counsel gleaned a portrait of his life from the expert reports, family interviews, and medical, school, and criminal records. Although Raulerson has presented additional affidavits from extended family members, teachers, and acquaintances that counsel could have interviewed, that more investigation could have been performed does not mean his counsel's investigation was inadequate. Grayson ,
Raulerson next argues that his counsel were ineffective because they decided not to present additional mitigating evidence during his penalty phase, but again, the superior court reasonably rejected this claim. "No absolute duty exists to introduce mitigating or character evidence." Chandler v. United States ,
The superior court reasonably determined that Raulerson's counsel were not deficient when they presented no additional mitigating evidence during the penalty phase. As counsel in Waters had done, Raulerson's counsel chose to rely on the mitigating evidence presented in the guilt phase instead of presenting it again in the penalty phase. See
After the jury returned a guilty verdict, Raulerson's counsel chose to rely on this evidence for the penalty phase. Raulerson's counsel presented a closing argument urging the jury to consider Raulerson's background and spare him. Counsel reminded the jury to "[g]o back and look at the circumstances of Billy Raulerson's life, the way he was raised, this dysfunctional family, parents that fought like animals with each other; an alcoholic father who taught him to mind with blows of his fists to his head .... What chance did he have? Isn't he a victim, too?" And the court instructed the jury that it could rely on all testimony received in both stages of the proceedings. The superior court reasonably chose not to second guess counsel's strategic decision to rely on the mitigating evidence presented in the guilt phase, so neither can we.
Raulerson presents a plethora of additional character evidence that he contends his counsel should have presented, but "[c]onsidering the realities of the courtroom, more is not always better." Chandler ,
As the superior court highlighted, a reasonable lawyer could fear that additional evidence of Raulerson's character during the penalty phase would be counterproductive, which is exactly what Raulerson's counsel explained had motivated their decision to not present additional mitigating evidence. Hatfield testified that they decided not to call Grant or Savino back to the stand for fear of "opening the flood gates" for "bad stuff." And they decided not to call Raulerson's family members to testify out of concern that "they would be able to offer other negative information that might have hurt" Raulerson's case. Hatfield was concerned about testimony that Raulerson was an aggressor because "those sorts of things don't play well in front of a jury." Counsel knew from their investigation that Raulerson had frequently picked fights, bullied other children, and had abused his younger brother, mother, and ex-wife. And Raulerson, "who bears the burden in this case, never presented evidence that the fears of trial counsel about hurtful ... witnesses were imaginary and baseless." Chandler ,
We also disagree with Raulerson that, because the jury had already heard harmful information about him, presenting mitigating evidence would not be counterproductive. We cannot overlook that Raulerson's counsel faced an uphill battle in the light of the brutality of the three murders Raulerson confessed he had committed. And his counsel reasonably feared that presenting additional mitigating evidence would have invited testimony about Raulerson's violent behavior and bad acts-aggravating evidence that far outweighed any mitigation value of the additional evidence Raulerson contends should have been presented. For example, had counsel called Raulerson's mother, she might have also testified about how her son beat her and how she had called the police on him. Because Raulerson has failed to prove that "no competent counsel would have taken the action that his counsel did take,"
Even if counsel's performance in the penalty phase were deficient, the superior court also reasonably determined that Raulerson was not prejudiced by the failure to introduce the additional mitigating evidence. A petitioner cannot establish that the outcome of the proceeding would have been different when "[t]he 'new' evidence largely duplicated the mitigation evidence at trial." Cullen ,
The superior court reasonably determined that Raulerson's additional evidence would not have changed the jury's verdict. The superior court reasonably determined that much of the "new" evidence in the affidavits that Raulerson presented was cumulative. That is, the evidence Raulerson presented "tells a more detailed version of the same story told at trial," which covered Raulerson's limited intelligence and troubled childhood. Holsey ,
B. The Superior Court's Determination that the Georgia Burden of Proof for Intellectual Disability Does Not Violate the Due Process Clause Was Not an Unreasonable Application of Clearly Established Federal Law.
We divide in two parts our discussion of Raulerson's argument that the Georgia requirement that he prove his intellectual disability beyond a reasonable doubt violates the Due Process Clause of the Fourteenth Amendment. First, we explain that the superior court adjudicated his due-process claim on the merits, so we apply the deferential framework imposed by section 2254(d)(1). Second, we explain that the superior court's rejection of his due-process claim was not an unreasonable application of clearly established federal law.
1. The Superior Court Rejected Raulerson's Due-Process Claim on the Merits, so We Apply the Deferential Framework of Section 2254(d)(1).
Raulerson argues that we should review de novo his due-process claim because the superior court never adjudicated it on the merits. According to Raulerson, the superior court concluded that the Supreme Court of Georgia had rejected the claim on direct appeal and so dismissed his due-process claim based only on res judicata. Raulerson argues that the court erred in applying res judicata because the due-process claim he now brings on collateral review is based on federal law but his claim on direct appeal-which the Supreme Court of Georgia rejected-was based on Georgia law. Based on that asserted error, Raulerson argues that no state court adjudicated his federal due-process claim on the merits, which would, if correct, subject his claim to de novo review. See Cone v. Bell ,
When we consider the superior court's order denying Raulerson's petition in full, we have no trouble concluding that it rejected his federal due-process claim on the merits. "[A] decision that does not rest on procedural grounds alone is an adjudication on the merits regardless of the form in which it is expressed." Wright v. Sec'y for Dep't of Corr. ,
The court alternatively decided the merits of Raulerson's claim. It rejected Raulerson's argument that the Supreme Court's decision in Atkins v. Virginia ,
We join our sister circuits in holding that a state court's alternative holding is an adjudication on the merits. See Rolan v. Coleman ,
2. The Superior Court's Rejection of Raulerson's Due-Process Claim Was Not an Unreasonable Application of Clearly Established Federal Law.
Raulerson argues that, even under the deferential framework of section 2254(d)(1), the superior court's rejection of his due-process claim was an unreasonable application of clearly established federal law. According to Raulerson, the Supreme Court's holdings in Atkins and Cooper clearly establish that the application of Georgia's beyond-a-reasonable-doubt standard to his claim of intellectual disability violated his right to due process under the Fourteenth Amendment by failing to protect his Eighth Amendment right not to be executed if intellectually disabled. Because neither Atkins nor Cooper so held, this argument fails.
Raulerson first relies on Atkins , but that decision did not address the burden of proof to prove intellectual disability, much less clearly establish that a state may not require a defendant to prove his intellectual disability beyond a reasonable doubt. In Atkins , the Supreme Court held that the execution of the intellectually disabled violates the Eighth Amendment. See
Raulerson contends that the Court clearly established a procedural limitation on the burden of proof "by invoking Ford ," see Atkins ,
Acknowledging that Atkins expressly left procedural rules to the states, Raulerson next argues that considering Atkins in conjunction with Cooper yields clearly established minimum procedural requirements to prove intellectual disability, but even the combination of these decisions does not suffice. In Cooper , the Supreme Court addressed whether an Oklahoma law that required a defendant to prove his incompetence to stand trial by clear and convincing evidence violated the Due Process Clause. To resolve that issue, the Court applied the general due-process standard first articulated in Patterson v. New York ,
Raulerson's comparison between the right not to be tried if incompetent and the right not to be executed if intellectually disabled is misplaced. Unlike the right at issue in Cooper , which has deep roots in our common-law heritage, there is no historical right of an intellectually disabled person not to be executed. See Hill v. Humphrey ,
*1003In the light of these fundamental differences, Cooper did not clearly establish that the application of Georgia's beyond-a-reasonable-doubt standard to Raulerson's claim of intellectual disability violated his right to due process under the Fourteenth Amendment. To conclude otherwise would require us to extend the Court's rationale from incompetence to intellectual disability. That we cannot do. See White v. Woodall ,
In the "controlling" decision the superior court applied to reject Raulerson's due-process claim on the merits, the Supreme Court of Georgia reasoned that the burden of proof required to prove the defense of insanity is "more closely analogous to the burden of proof standard in Georgia's mental retardation statute than is the mental incompetency" burden. Hill v. Humphrey ,
Our dissenting colleague's contrary conclusion disregards the nature of our inquiry. This Court cannot "answer the due process question presented here" based on how we would apply federal law. Dissenting Op. at 1011-12. We review only whether the superior court's decision was "contrary to, or involved an unreasonable application of, clearly established [f]ederal law,"
No decision of the Supreme Court clearly establishes that Georgia's burden of proof for intellectual disability violates the Due Process Clause. "If the standard of proof Georgia has adopted for claims of [intellectual disability] is to be declared unconstitutional, it must be done by the Supreme Court in a direct appeal, in an appeal from the decision of a state habeas court, or in an original habeas proceeding filed in the Supreme Court." Hill v. Humphrey ,
C. Raulerson Fails to Establish His Intellectual Disability by Clear and Convincing Evidence.
Raulerson argues that he is "actually innocent" of the death penalty because he is intellectually disabled, and under Atkins , the execution of an intellectually disabled person would violate the Eighth Amendment. This argument needlessly blends the distinct concepts of actual innocence and intellectual disability, but even when we sift through each, Raulerson's claim fails.
Considered as a freestanding claim of actual innocence of the death penalty, Raulerson's claim is a nonstarter. To begin with, our precedent forecloses habeas relief based on a prisoner's assertion that he is actually innocent of the crime of conviction "absent an independent constitutional violation occurring in the underlying state criminal proceeding." See Brownlee v. Haley ,
The prohibition on freestanding claims of actual innocence in a habeas petition respects the nature of our federal system: "Federal courts are not forums in which to relitigate state trials." Herrera v. Collins ,
To be sure, a prisoner may assert actual innocence to overcome a procedural bar that would otherwise prevent a federal court from hearing his claim on the merits. See Sawyer v. Whitley ,
Although Raulerson frames his claim as one of actual innocence, it rests on the notion that he is "actually innocent" of the death penalty because he is intellectually disabled and so his execution would violate the Eighth Amendment-that is, in essence, an Atkins claim. See Atkins ,
We begin by making two assumptions that favor Raulerson. First, although the parties dispute whether Raulerson exhausted this Atkins claim, we will assume that he did. Second, we will assume that Raulerson's Atkins claim has not been "adjudicated on the merits" by any Georgia court, so we will not apply the deferential standard of section 2254(d), which would require us to deny relief unless the rejection of Raulerson's Atkins claim was unreasonable "in the light of the evidence presented in the State court proceeding."
The superior court rejected Raulerson's Atkins claim on the ground of res judicata, which is not an adjudication on the merits for our purposes. See Cone , 556 U.S. at 466, 472,
By the same token, it is not immediately obvious that Raulerson's jury or the Supreme Court of Georgia decided Raulerson's Atkins claim-which is based on his right not to be executed if intellectually disabled under the federal Constitution-when they rejected his state-law defense of intellectual disability. When Raulerson was tried, he had a right not to be executed if intellectually disabled under Georgia law, *1006but the Supreme Court had not yet decided Atkins , which acknowledged a corresponding federal right. So we will give Raulerson the benefit of this doubt and assume without deciding that his Atkins claim has never been adjudicated on the merits.
Even if Raulerson escapes the gauntlet of section 2254(d) because no state court adjudicated his claim based on Atkins , there was a determination of the factual issue of his intellectual disability, and we must presume correct "a determination of a factual issue made by a State court."
The precise scope of the "determination of [the] factual issue" which Raulerson must rebut is not immediately obvious. The most generous interpretation of section 2254(e)(1) is that it provides the primary standard of proof whenever a state prisoner desires to prove a factual issue that was determined against him in state court. If so, then a state prisoner may establish that a state court's factual determination was incorrect by proving the contrary proposition-in Raulerson's case, that he is intellectually disabled-by clear and convincing evidence as if in the first instance.
But section 2254(e)(1) could also be understood to establish, not a primary standard of proof, but a secondary standard of persuasion that operates in tandem with the original standard of proof applied by the state court. If so, then a state prisoner must prove by clear and convincing evidence that a state court's factual determination was incorrect in the light of the standard of proof that state law applies to that issue. See Maldonado v. Thaler ,
Such compound standards are far from unusual in federal habeas review of state-court proceedings. See, e.g. ,
To recap, we have now made three important assumptions in Raulerson's favor. We have assumed his Atkins claim is exhausted. We have also assumed that it was not adjudicated on the merits, so the rigorous standards of section 2254(d) do not apply. And we have assumed that section 2254(e)(1) permits him to prove that he is intellectually disabled-and ineligible for the death penalty-by providing clear and convincing evidence to a federal court in the first instance. In practice, this amounts to the assumption that a state prisoner may prove the factual predicate of an Atkins claim in federal court with clear and convincing evidence even when the state in which he was convicted and sentenced imposes a more demanding burden of proof for precisely the same factual issue-a particularly generous assumption in the light of the Atkins Court's express decision to "leave to the States the task of developing appropriate ways to enforce [Atkins 's] constitutional restriction." Atkins ,
Even with these assumptions in his favor, Raulerson is not entitled to relief based on his Atkins claim because the record does not clearly and convincingly prove that he is intellectually disabled. The clear-and-convincing-evidence standard, although not "insatiable," is still "demanding." Miller-El v. Dretke ,
Raulerson's IQ scores that he received as a child undermine that he had "significantly subaverage general intellectual functioning," which is generally defined as an IQ between 70 and 75 or below.
*1008Ledford v. Warden, Ga. Diagnostic & Classification Prison ,
By applying two adjustments, the Flynn effect and the standard error of measurement, Dr. Grant testified that Raulerson's IQ scores could be as low as 70 and 74. But neither adjustment provides clear and convincing evidence of his subaverage intellectual functioning. No adjustment for the Flynn effect is required in this Circuit.
Adjusting Raulerson's scores for the standard error of measurement puts him closer to the range of intellectual disability, but that standard is a "bi-directional concept." Ledford ,
To be sure, Raulerson received an IQ score within the range of intellectual disability when he was tested after committing the murders. Both Dr. Grant and Dr. Lower tested him and scored him at an IQ of 69. But Dr. Lower also explained several reasons why he felt that Raulerson "was not probably motivated to do his best on [the tests]," including that "it was not to his advantage to do too well" because he stood charged of three capital offenses. In the light of two IQ scores comfortably above the range of intellectual disability that Raulerson received as a child, his later IQ score below the range does not clearly and convincingly prove he has "significantly subaverage general intellectual functioning."
*1009Raulerson also has not established that it is highly probable he had an intellectual disability "which manifested during the developmental period." The "developmental period" refers to a disability that originated before the age of 18. Ledford ,
The record does not prove that Raulerson's claim of intellectual disability is "highly probable." So he has not rebutted the presumption that the state courts' contrary determination was correct, and he is not entitled to federal habeas relief based on Atkins .
IV. CONCLUSION
We AFFIRM the denial of Raulerson's petition for a writ of habeas corpus.
Reference
- Full Case Name
- Billy Daniel RAULERSON, Jr., Petitioner-Appellant, v. WARDEN, Respondent-Appellee.
- Cited By
- 55 cases
- Status
- Published