Timothy Richardson v. Edward Thomas
Opinion
Timothy Richardson filed a motion under Federal Rule of Civil Procedure 60(b)(6), seeking to reopen the district court's final judgment dismissing his Eighth Amendment, intellectual disability claim on the merits under
I.
In 1995, a North Carolina jury convicted Richardson of kidnapping and murder. He was sentenced to death. His convictions and sentences were affirmed on direct appeal,
State v. Richardson,
In 2002, Richardson filed a post-conviction motion for appropriate relief ("MAR") in North Carolina state court. He alleged
*590
that he suffered from an intellectual disability that rendered his capital sentence violative of the Eighth Amendment.
See
Atkins v. Virginia
,
In 2005, the state MAR court held a full evidentiary hearing on Richardson's intellectual disability claim. The MAR court considered four IQ scores, but only two were admissible as qualifying scores-an IQ score of 73 in 1995, and an IQ score of 74 in 2004. The court also considered expert testimony regarding the effect the standard error of measurement ("SEM"), Flynn effect and practice effect may have had upon Richardson's IQ scores, as well as lay and expert testimony about his limitations in adaptive functioning. The state MAR court found that Richardson had failed to establish either of the requisite prongs and denied his claim on the merits.
In his petition for a writ of certiorari to the North Carolina Supreme Court, Richardson argued that the MAR court, in deciding the first prong of the statutory test, "employ[ed] an overly restrictive construction of § 15A-2005, one that is contrary to the Eighth Amendment as interpreted by the United States Supreme Court's decision in
Atkins v. Virginia
." J.A. 420. Specifically, Richardson argued that the MAR court "fail[ed] to take into consideration the Flynn effect, the practice effect or the standard error of measurement," J.A. 432, and erred in "consider[ing] only the numerical value obtained on [the] two [qualifying] IQ tests," J.A. 434. With regard to the second prong of the statutory test, Richardson argued that the MAR court improperly assessed his adaptive functioning and rendered factual findings that were contrary to the evidence. The Supreme Court of North Carolina denied review.
See
State v. Richardson
,
Richardson then filed an application for federal habeas relief under
The district court reviewed the evidence that Richardson presented to the state court, including the expert testimony on the effect of the SEM, Flynn effect and practice effect on IQ scores, and the lay and expert testimony regarding Richardson's adaptive skills. Of particular relevance to this appeal, the district court observed that Dr. Hazelrigg, the mental health expert for the State, had "found petitioner was impaired in some of the adaptive skills areas, but ultimately concluded [he] was not mentally retarded."
Richardson v. Branker,
Based upon this evidence, the district court held that the state court's determination that Richardson had failed to prove significant subaverage intellectual functioning was not an unreasonable application of the law in Atkins or an unreasonable determination of the facts in light of the evidence presented. In doing so, the district court considered all of the evidence-including the testimony regarding the SEM, the practice effect, and the Flynn effect on Richardson's IQ scores, and testimony regarding Richardson's adaptive skills and intellectual disability-and held that Richardson:
has not shown the state court clearly erred or acted unreasonably under the circumstances so as to warrant this court substituting its judgment. While this court does not discount factors such as the standard error of measurement, Flynn effect, or practice effect in assessing I.Q. scores, there is no requirement under N.C. Gen. Stat. § 15A-2005 for a court to adjust a defendant's IQ scores downward for such factors. The state court heard all of the evidence, including testimony on each of these factors, and was entitled to consider and weigh these factors in assessing whether petitioner carried his burden of showing an I.Q. of 70 or below . Notably, in assessing petitioner's I.Q. score of 73, Dr. John Gorman ... concluded petitioner was not mentally retarded, but was functioning at the borderline level of intellect. Similarly, Dr. Hazelrigg ... concluded petitioner was not mentally retarded and is not now mentally retarded.
We affirmed.
See
Richardson v. Branker
,
*592
Like the district court, we were "not persuaded by Richardson's ... argument that the MAR court should have adjusted
downward
his IQ scores of 73 and 74 due to the 'Flynn effect' and the 'practice effect.' "
II.
Several years later, the United States Supreme Court issued its decision in
Hall v. Florida
. In
Hall,
the state prisoner obtained direct review in the United States Supreme Court of the Florida supreme court's rejection of his intellectual disability claim under
Atkins
.
See
Hall
,
In
Atkins,
the Supreme Court had left "to the States the task of developing appropriate ways to enforce the constitutional restriction upon their execution of the sentences."
Atkins,
Armed with Hall, Richardson returned to state court, arguing that Hall should be applied retroactively to his claim, and reasserting his prior claim that North Carolina, like Florida, had interpreted its intellectual disability statute too rigidly in 2005 when it first considered his claim. Richardson argued that North Carolina had also applied a "strict cutoff" IQ score of 70, J.A. 1142, and that it too had "failed to permit consideration of other evidence relied upon by experts in the field including *593 the standard error of measurement, the practice effect, the Flynn effect, and clinically-appropriate assessment measures of adaptive behavior." J.A. 1143. In other words, Richardson made essentially the same argument that he had previously made to the North Carolina Supreme Court, the district court, this court, and the United States Supreme Court.
The state MAR court denied Richardson's request that it revisit its prior denial of his claim, concluding that the claim was procedurally barred because it had already been raised and adjudicated on the merits in the previous state court proceedings, and that Hall was not retroactively applicable to cases on collateral review. See N.C. Gen. Stat. 15A-1419(a)(2).
In the alternative, the court held that Hall had no effect upon its prior adjudication of Richardson's intellectual disability claim. First, and unlike in Florida, "[t]he North Carolina Supreme Court has not interpreted North Carolina's statute to preclude consideration of the [SEM] or to limit the introduction of evidence if the threshold showing of an IQ score of 70 or below has not been met." J.A. 1234. Accordingly, the court held, North Carolina's statute could be and had been "interpreted consistently with Atkins. " J.A. 1234.
Second, and unlike Hall, Richardson had been "allowed to present evidence of his alleged deficits in adaptive functioning in a full evidentiary hearing without restriction," as well as evidence "on the standard error of measurement," J.A. 1234, and the state court had "considered all of Richardson's IQ test scores, without limitation, as well as evidence of his alleged limitations in adaptive functioning." J.A. 1234-35.
At his evidentiary hearing, Richardson was allowed to present evidence and argument on the standard error of measurement. The State's expert witness also testified regarding the standard error of measurement. Unlike in Hall, this Court did not restrict the evidence presented about the application of the standard error of measurement and has already considered that evidence.
Richardson was also not precluded from presenting evidence of his alleged limitations in adaptive functioning. The State argued at the outset of the hearing that Richardson should have to show an IQ score of 70 or below before being granted an opportunity to present evidence at the hearing. After rejecting the State's argument to limit the presentation, this Court proceeded to conduct a full evidentiary hearing wherein Richardson was allowed to present evidence of alleged significant limitations in adaptive functioning,
J.A. 1235. Thus, the court held that Hall did not alter the court's prior determination that Richardson was not intellectually disabled and, by allowing Richardson to present evidence on the SEM and his adaptive functioning, it had, in effect, "already interpreted North Carolina's law consistently with Hall ." J.A. 1235.
Finally, the state court rejected Richardson's intellectual disability claim again on the merits, and even in light of his proffered new evidence. The court held that "Richardson has provided no evidence to support this Court finding him intellectually disabled." J.A. 1235. In particular, Dr. Hazelrigg's opinion that Richardson is not intellectually disabled "remains consistent" with his prior opinion, and "nothing from Hall v. Florida , or developments in the field of mental health has affected his conclusion that Richardson is not intellectually disabled." J.A. 1236 (internal quotation marks and alterations omitted).
The North Carolina Supreme Court denied review,
see
State v. Richardson,
--- N.C. ----,
Having failed to succeed in his efforts to overturn his capital sentence before the state courts in light of the Supreme Court's decision in Hall , Richardson returned to federal court and asserted the identical claim. However, he did so in a motion to reopen the court's final judgment in his § 2254 proceedings, under Rule 60(b)(6) of the Federal Rules of Civil Procedure. The district court granted the motion and certified this interlocutory appeal. For the reasons that follow, we now vacate the district court's order and remand with instructions to dismiss the motion.
III.
A.
AEDPA strictly limits a federal court's authority to grant habeas relief under
State prisoners are also limited to one round of federal habeas review of their state court convictions, save in two narrow circumstances. "A claim presented in a second or successive habeas corpus application under [
Moreover, jurisdiction to consider the question of whether the prisoner has made a prima facie showing that he satisfies the requirements of § 2244(b)(2) rests exclusively with the federal courts of appeal.
See
Generally speaking, Federal Rule of Civil Procedure 60(b) allows a civil litigant "to seek relief from a final judgment, and request reopening of his case, under a limited set of circumstances including fraud, mistake, and newly discovered evidence."
Gonzalez,
Due to § 2244(b) 's statutory prohibition against the filing of second or successive habeas petitions, however, the United States Supreme Court has "firmly reined in" the availability of Rule 60(b) to a prisoner who seeks to reopen a final judgment issued in his federal habeas proceedings.
Moses v. Joyner
,
The
Gonzalez
analysis of the interplay between § 2244(b) and Rule 60(b) is important, and it reflects the unquestionable primacy of § 2244(b). A habeas petitioner is precluded from utilizing Rule 60(b) to assert a federal habeas "claim" as that term is used in § 2244(b) -that is, "an asserted federal basis for relief from a state court's judgment of conviction."
Gonzalez,
Thus, "[u]sing Rule 60(b) to present new claims for relief from a state court's judgment of conviction-even claims couched in the language of a true Rule 60(b) motion-circumvents AEDPA's requirement that a new claim be dismissed unless it relies on either a new rule of constitutional law or newly discovered facts."
Applying this clear guidance, the determination of whether a Rule 60(b) motion presents a habeas claim is "relatively simple."
Accordingly, when presented with a Rule 60(b) motion in a habeas proceeding, the district court's
first
inquiry must be to "decide whether [the] Rule 60(b) motion filed by [the] habeas petitioner is a 'habeas corpus application' as [ § 2244(b) ] uses that term."
B.
By its terms, Richardson's motion "present[ed] a single ground for relief from judgment: he has an intellectual disability that bars the State of North Carolina from executing him." J.A. 1108 (footnote omitted). Richardson asserted that the state court imposed "a bright line cutoff IQ score of 70 or below" when it originally adjudicated his claim, J.A. 1109, and that the state court had "preclud[ed] application of the standard error of measurement in determining whether [his] IQ scores of 73 and 74 satisfied the intellectual disability prong of the statute," J.A. 1108. This is the same claim (and essentially the identical argument) that he presented to the district court in 2011. Richardson's new argument was that the Supreme Court's decision in Hall "must be applied retroactively to [his] case," J.A. 1119 n.6, and that the "change in law wrought by Hall " was an extraordinary circumstance warranting Rule 60(b)(6) relief from the district court's 2011 final judgment denying his claim on the merits, J.A. 1122.
One can hardly imagine a second or successive habeas application that is so poorly disguised as a Rule 60(b)(6) motion. Richardson's motion was a clear attempt to circumvent AEDPA's restrictions on the filing of a second or successive federal habeas petition based upon a new rule of law, presenting his
Hall
claim to the district court instead of coming first to us. Indeed, when questioned by the district court about the propriety of his Rule 60(b) motion in light of § 2244, Richardson's counsel advised the court that he did not come to the Fourth Circuit first because
The district court also recognized that Richardson's Rule 60(b) motion "directly attack[ed] th[e] court's merits adjudication [of his intellectual disability claim] in light of
Hall
." J.A. 1616.
See
Gonzalez
,
As noted above, this approach to Richardson's Rule 60(b) motion was incorrect, and it led to the district court's erroneous grant of Rule 60(b) relief. When presented with a Rule 60(b) motion to reopen the final judgment in a habeas proceeding, the district court's
first
inquiry is to "decide whether [the] Rule 60(b) motion filed by [the] habeas petitioner is a 'habeas corpus application' as [ § 2244(b) ] uses that term."
Gonzalez,
To conclude, Richardson's Rule 60(b)(6) motion plainly sought a readjudication of the
merits
of his intellectual disability claim, which he had presented in his prior § 2254 application, based upon the Supreme Court's decision in
Hall
. Because the motion circumvented the restrictions on second or successive habeas petitions set forth in § 2244(b), and this court's exclusive jurisdiction to decide whether such a petition can be filed in the district court, the district court was required to either dismiss the motion or transfer it to
*598
this court so that we could consider it under our gatekeeping function under
C.
On appeal, Richardson has raised an entirely new basis for granting Rule 60(b) relief. Richardson argues that the state court "clarified" North Carolina's intellectual disability statute in 2015 (when it ruled upon his Hall claim), and that this clarification revealed that the district court misinterpreted state law when it denied his intellectual disability claim in 2011. In other words, Richardson attempts to shoehorn this purported "error" in the district court's rejection of his claim on the merits in 2011 into a plausible argument (under Gonzalez ) that the district court failed to resolve the merits of his intellectual disability claim on the first go round. Again, we disagree.
Richardson's new ground for Rule 60(b) relief, raised for the first time on appeal, cannot validate the district court's erroneous exercise of jurisdiction over the Rule 60(b) motion as presented.
Cf.
Winestock,
Richardson's new ground for Rule 60(b)(6) relief also does not fall within Gonzalez's narrow exception to § 2244 's limitations. In Gonzalez, the Supreme Court provided quite clear guidance for distinguishing between a true Rule 60(b) motion and a disguised § 2254 petition. The Court repeatedly focuses the threshold inquiry on whether the district court denied the habeas petitioner's constitutional claim on the merits under § 2254(d), or whether the district court's prior dismissal of the habeas claim was based upon a procedural ruling that precluded the court from reaching the merits of the constitutional claim under § 2254(d). This quite basic, and understandable, merits/nonmerits distinction permeates the Gonzalez opinion, and it does not support Richardson's argument that he can reopen the final judgment denying his federal habeas claim on the merits under § 2254(d), based upon a clarification of substantive law or a subsequently-discovered error. We need not go any further than the language of Gonzalez to be sure of that.
A Rule 60(b) motion that "contend[s] that a
subsequent change in substantive law
is a 'reason justifying relief' from the previous denial of a claim ..., although labeled a Rule 60(b) motion, is in substance a successive habeas petition and should be treated accordingly."
Gonzalez,
A Rule 60(b) motion that asserts that there was an
error
in the district court's prior denial of a constitutional claim on the merits is also a successive habeas petition, and must be dismissed under § 2244(b)(1).
*599 In most cases, determining whether a Rule 60(b) motion advances one or more "claims" will be relatively simple. A motion that seeks to add a new ground for relief ... will of course qualify. A motion can also be said to bring a "claim" if it attacks the federal court's previous resolution of a claim on the merits, since alleging that the court erred in denying habeas relief on the merits is effectively indistinguishable from alleging that the movant is, under the substantive provisions of the statutes, entitled to habeas relief."
Richardson's new ground for Rule 60(b) relief asserts the same claim that he asserted in his § 2254 petition-that his intellectual disability prohibits his execution under the Eighth Amendment. The district court (and this court) denied that claim
on the merits
under § 2254(d). Thus, Richardson plainly seeks a readjudication of the merits of his claim-based upon a purported change in substantive state law that revealed an error in the district court's prior adjudication of the merits of his claim. In the end, his new claim is still "effectively indistinguishable from alleging that [he] is, under the substantive provisions of the statutes, entitled to habeas relief,"
Richardson's argument that Rule 60(b) relief is available because the district court's "misinterpretation" of state law resulted in the court never reaching the second prong of the intellectual disability test leads to no different result. It is hardly unusual for a federal court to deny a federal habeas claim on the merits under § 2254(d), based upon the petitioner's failure to demonstrate the unreasonableness of the state court's decision on one of two factors necessary to establish the constitutional claim. The most common example, perhaps, would involve Sixth Amendment ineffective-assistance-of-counsel claims.
See
Strickland v. Washington,
Richardson may have been entitled to return to state court and ask it to revisit its prior adjudication of his intellectual disability claim based upon Hall , and to ask the United States Supreme Court to overturn the 2015 state court decision denying him relief under Hall . But he is not entitled to circumvent the statutory limitations on second or successive habeas petitions under § 2244(b), and reopen the federal court's final judgment denying his habeas claim on the merits under Rule 60(b), *600 based upon Hall or the 2015 state court decision. 2
In the end, "[n]o matter how much lipstick [Richardson] applies to this particular pig, it is still a pig-that is to say, a [claim] for habeas" relief,
Day v. Trump,
IV.
For the foregoing reasons, we vacate the district court's order granting relief under Rule 60(b) and remand the case with instructions to dismiss the motion.
VACATED AND REMANDED WITH INSTRUCTIONS
The underlying facts and procedural history of this case are fully set forth in our prior decisions in
Richardson v. Thomas,
718 Fed. App'x 192 (4th Cir. 2018), and
Richardson v. Branker,
We also see no error in the federal courts' original adjudication of Richardson's intellectual disability claim. Neither the district court nor this court were tasked with reviewing Richardson's intellectual disability claim
de novo
under state law or federal law. We were tasked first with deciding whether the state court's determination that Richardson failed to prove significantly subaverage general intellectual functioning, based upon the clearly established law in
Atkins
and the evidence presented, was reasonable. And because that decision was reasonable, in light of all of the evidence, there was no need to address Richardson's
separate
challenges to the reasonableness of the state court's factual findings that Richardson had failed to prove significant limitations in two or more of ten adaptive skill areas as required by the second prong. Neither
Hall
, nor the state MAR court's rejection of Richardson's post-judgment
Hall
claim, changes the correctness of the district court's and this court's resolution of Richardson's intellectual disability claim under
Atkins
.
Cf.
Shoop v. Hill,
--- U.S. ----,
During the pendency of the State's appeal, Richardson filed a motion in this court seeking authorization to file a successive habeas petition under
Reference
- Full Case Name
- Timothy RICHARDSON, Petitioner - Appellee, v. Edward THOMAS, Warden, Central Prison, Raleigh, North Carolina, Respondent - Appellant.
- Cited By
- 26 cases
- Status
- Published