Amicus Curiae Brief — Harry Franklin Phillips, Petitioner v. Florida
Supreme Court briefFeb 16, 2021
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No. 20-6887
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In The
Supreme Court of the United States
-----------------------------------------------------------------HARRY FRANKLIN PHILLIPS,
Petitioner,
v.
STATE OF FLORIDA,
Respondent.
-----------------------------------------------------------------On Petition For Writ Of Certiorari
To The Supreme Court Of Florida
In A Capital Case
-----------------------------------------------------------------BRIEF OF AMICI CURIAE THE ARC OF THE
UNITED STATES, THE NATIONAL DISABILITY
RIGHTS NETWORK, DISABILITY RIGHTS
FLORIDA, THE BAZELON CENTER FOR MENTAL
HEALTH LAW, AND THE CENTER FOR PUBLIC
REPRESENTATION IN SUPPORT OF PETITIONER
-----------------------------------------------------------------JOHN H. BLUME
Counsel of Record
CORNELL LAW SCHOOL
159 Hughes Hall
Ithaca, NY 14853
jb94@cornell.edu
(607) 255-1030
JAMES W. ELLIS
ANN M. DELPHA
1117 Stanford, N.E.
Albuquerque, NM 87131
ellis@law.unm.edu
(505) 277-2146
Counsel for Amici Curiae
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COCKLE LEGAL BRIEFS (800) 225-6964
WWW.COCKLELEGALBRIEFS.COM
i
TABLE OF CONTENTS
Page
TABLE OF AUTHORITIES ...................................
ii
INTEREST OF AMICI CURIAE ...........................
1
SUMMARY OF ARGUMENT ................................
4
ARGUMENT ...........................................................
8
I.
HALL AND THE RULE OF TEAGUE .......
8
II. HALL AND DIAGNOSTIC PRACTICE ......
13
CONCLUSION .......................................................
18
ii
TABLE OF AUTHORITIES
Page
FEDERAL CASES
Atkins v. Virginia, 536 U.S. 304 (2002)............... passim
Bousley v. United States, 523 U.S. 614 (1998) ..............9
Carnley v. Cochran, 369 U.S. 506 (1962) ......................9
Chaidez v. United States, 568 U.S. 342 (2013) ... passim
Edwards v. Vannoy, No. 19-5807 No. 18-31095,
2019 WL 8643258 (5th Cir. May 20, 2019),
cert. granted, 206 L.Ed.2d 917 (U.S. May 4,
2020) (No. 19-5807) ...................................................7
Hall v. Florida, 572 U.S. 701 (2014) ................... passim
In re Henry, 757 F.3d 1151 (11th Cir. 2014)....... passim
Kilgore v. Secretary, Florida Department of Corrections, 805 F.3d 1301 (11th Cir. 2015) ...................7
McNeal v. Culver, 365 U.S. 109 (1961) .........................9
Montgomery v. Louisiana, 136 S. Ct. 718 (2016) .........5
Moore v. Texas, 137 S. Ct. 1039 (2017) .........................1
Roper v. Simmons, 543 U.S. 551 (2005) ......................11
Smith v. Sharp, 935 F.3d 1064 (10th Cir. 2019)...........7
Teague v. Lane, 489 U.S. 288 (1989) ................... passim
Van Tran v. Colson, 764 F.3d 594 (6th Cir. 2014) ........7
Williams v. Taylor, 529 U.S. 362 (2000)........................9
iii
TABLE OF AUTHORITIES—Continued
Page
STATE CASES
Cribbs v. State, No. W2006-01381-CCA-R3-PD,
2009 WL 1905454 (Tenn. Crim. App. 2009) .............6
Phillips v. State, 299 So. 3d 1013 (Fla. 2020) ..... passim
State v. Elmore, No. 2005-CA-32, 2005 WL
2981797 (Ohio App. Nov. 3, 2005) .............................6
Walls v. State, 213 So. 3d 340 (Fla. 2016) ................ 4, 5
Witt v. State, 387 So. 2d 922 (Fla. 1980) .......................5
FEDERAL STATUTE
42 U.S.C. § 15043(a)(2)(A)(i) (2018) ..............................2
RULES
Sup. Ct. R. 10(c) ..........................................................18
Sup. Ct. R. 14.1(a) .........................................................5
Sup. Ct. R. 37.6 .............................................................1
OTHER AUTHORITIES
American Association on Intellectual and Developmental Disabilities, Intellectual Disability:
Definition, Classification, and Systems of Supports (12th ed. 2021) ...............................................17
American Association on Intellectual and Developmental Disabilities, Intellectual Disability:
Definition, Classification, and Systems of Supports (11th ed. 2010) ...............................................13
iv
TABLE OF AUTHORITIES—Continued
Page
American Association on Intellectual and Developmental Disabilities, User’s Guide: [to] Mental Retardation: Definition, Classification, and
Systems of Supports (2007) ............................... 14, 15
American Association on Mental Retardation,
Mental Retardation: Definition, Classification,
and Systems of Supports (10th ed. 2002) ......... 13, 15
American Association on Mental Retardation,
Mental Retardation: Definition, Classification,
and Systems of Supports (9th ed. 1992) .................14
American Association on Mental Retardation,
Classification in Mental Retardation (1983) ..........14
American Psychiatric Association, Diagnostic
and Statistical Manual of Mental Disorders
(4th ed. text rev. 2000) ............................................16
American Psychiatric Association, Diagnostic
and Statistical Manual of Mental Disorders
(3d ed. 1980) ............................................................16
American Psychological Association, APA’s Guidelines for Test User Qualifications: An Executive
Summary, 56 Am. Psychologist 1099 (2001) ..........15
Blume, John H., Sheri Lynn Johnson, Paul Marcus & Emily 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, 23 William & Mary Bill of Rights J. 393
(2014) .........................................................................6
v
TABLE OF AUTHORITIES—Continued
Page
Blume, John H., Sheri Lynn Johnson & Christopher Seeds, Of Atkins and Men: Deviations
from Clinical Definitions of Mental Retardation in Death Penalty Cases, 18 Cornell J. L. &
Pub. Pol’y 689 (2009) ...............................................16
Bonnie, Richard J. & Katherine Gustafson, The
Challenge of Implementing Atkins v. Virginia:
How Legislatures and Courts Can Promote
Accurate Assessments and Adjudications of
Mental Retardation in Death Penalty Cases,
41 U. Richmond L. Rev. 811 (2007) .........................15
Ellis, James W., Caroline Everington, and Ann
M. Delpha, Evaluating Intellectual Disability:
Clinical Assessments in Atkins Cases, 46 Hofstra L. Rev. 1305 (2018) ..........................................17
Fabian, John Matthew, William W. Thompson,
IV & Jeffrey B. Lazarus, Life, Death, and IQ:
It’s Much More than Just a Score: Understanding and Utilizing Forensic Psychological
and Neuropsychological Evaluations in Atkins
Intellectual Disability/Mental Retardation Cases,
59 Cleveland State L. Rev. 399 (2011) ....................13
Slawski, Edward J., Error of Measurement, in 1
Encyclopedia Hum. Intelligence 395 (Robert J.
Sternberg ed., 1994) ................................................14
Tobolowsky, Peggy M., Atkins Aftermath: Identifying Mentally Retarded Offenders and Excluding Them from Execution, 30 J. Legis. 77 (2004) ......15
Wechsler, David, The Measurement of Adult Intelligence (1939) ................................................. 14, 15
1
INTERESTS OF AMICI CURIAE1
THE ARC OF THE UNITED STATES (“The Arc”),
founded in 1950, is the nation’s largest communitybased organization of and for people with intellectual
and developmental disabilities and consists of over 600
state and local chapters across the country. The Arc
promotes and protects the human and civil rights of
people with intellectual and developmental disabilities
and actively supports their full inclusion and participation in the community throughout their lifetimes.
The Arc has a vital interest in ensuring that all individuals with intellectual and developmental disabilities receive the protections and supports to which they
are entitled by law, and that courts and administrative
agencies employ commonly accepted scientific principles for the diagnosis of intellectual and developmental disabilities. The Arc has appeared as amicus curiae
in this Court in a variety of cases involving intellectual
disability and the death penalty, including Atkins v.
Virginia, 536 U.S. 304 (2002), Hall v. Florida, 572 U.S.
701 (2014), and Moore v. Texas, 137 S. Ct. 1039 (2017).
THE NATIONAL DISABILITY RIGHTS NETWORK (“NDRN”) is the non-profit membership organization for the federally mandated Protection and
1
Pursuant to Supreme Court Rule 37.6, Amici Curiae state
that no counsel for a party authored this brief in whole or in part
and no person other than Amici Curiae, their members, or their
counsel made a monetary contribution intended to fund the preparation or submission of this brief. Counsel for both the State of
Florida (Jeffrey DeSousa) and Mr. Phillips (Marie-Louise Parmer) received timely notice and have consented to the filing of this
amicus brief.
2
Advocacy (P&A) and Client Assistance Program (CAP)
agencies for individuals with disabilities. The P&A and
CAP agencies were established by the United States
Congress to protect the rights of people with disabilities and their families through legal support, advocacy,
referral, and education. There are P&As and CAPs in
all 50 states, the District of Columbia, Puerto Rico, and
the U.S. Territories (American Samoa, Guam, Northern Mariana Islands, and the U.S. Virgin Islands), and
there is a P&A and CAP affiliated with the Native
American Consortium which includes the Hopi, Navajo, and San Juan Southern Paiute Nations in the Four
Corners region of the Southwest. Collectively, the P&A
and CAP agencies are the largest provider of legally
based advocacy services to people with disabilities in
the United States.
DISABILITY RIGHTS FLORIDA is a not-forprofit corporation serving as Florida’s federally-funded
protection and advocacy system for individuals with
disabilities. Disability Rights Florida’s mission is to
advance the quality of life, dignity, equality, self-determination, and freedom of choice of people with disabilities through collaboration, education, and advocacy,
as well as legal and legislative strategies. Specifically, on behalf of persons with intellectual and other
developmental disabilities, Disability Rights Florida
is authorized by federal law to “pursue legal, administrative, and other appropriate remedies or approaches
to ensure the protection of, and advocacy for, the rights
of such individuals within the State. . . .” 42 U.S.C.
§ 15043(a)(2)(A)(i) (2018). Disability Rights Florida
3
has represented and continues to represent persons
with disabilities in individual actions, class actions,
and systemic relief initiatives affecting all such individuals. The protection and advocacy system is unique
in its authority to protect and advocate for the legal
and human rights of persons with disabilities and its
presence will provide a necessary perspective to assist
the Court in this matter.
THE BAZELON CENTER FOR MENTAL HEALTH
LAW is a national public interest organization founded
in 1972 to advocate for the rights of individuals with
mental disabilities. Through litigation, legislative and
administrative advocacy, and public education, the Bazelon Center advances equal opportunities for individuals with mental disabilities in all aspects of
life, including employment, education, housing, health
care, community living, voting, and family rights.
THE CENTER FOR PUBLIC REPRESENTATION (“CPR”) is a public interest law firm that has assisted people with disabilities for more than 40 years.
CPR uses legal strategies, systemic reform initiatives,
and policy advocacy to enforce civil rights, expand opportunities for inclusion and full community participation, and empower people with disabilities to exercise
choice in all aspects of their lives. CPR is both a
statewide and a national legal backup center that provides assistance and support to public and private
attorneys representing people with disabilities in Massachusetts and to the federally funded protection and
advocacy programs in each of the States. CPR has
litigated systemic cases on behalf of persons with
4
disabilities in more than 20 states and submitted amicus briefs to the United States Supreme Court and
many courts of appeals in order to enforce the constitutional and statutory rights of persons with disabilities, including those involved in the criminal justice
system.
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SUMMARY OF ARGUMENT
The purpose of this submission is to ensure that
the Court is aware of the central issue which this case
presents for review. It is whether Hall v. Florida2 establishes a new rule for Teague3 purposes.
The case arises from a surprise decision of the
Florida Supreme Court in Phillips v. State4 overruling
sua sponte its own 2016 decision that had held Hall
retroactive as a matter of state law.5 Phillips’ motion
for rehearing—the first chance he had to challenge this
judicial about-face—argued inter alia and thus preserved the contention that “[t]his Court’s May 21, 2020
holding in Mr. Phillips’ case—that Hall announced a
new non-watershed rule of federal Eighth Amendment
2
572 U.S. 701 (2014).
Teague v. Lane, 489 U.S. 288 (1989).
4
299 So. 3d 1013 (Fla. 2020).
5
Walls v. State, 213 So. 3d 340 (Fla. 2016).
3
5
law for purposes of Teague and Witt—was error. This
Court’s holding violates Witt6 and Teague.”7
The issue whether Hall is retroactive as a matter
of federal Eighth Amendment law is subsumed8 in the
first Question Presented by Mr. Phillips to this Court.9
That issue is one whose erroneous resolution may have
fatal consequences not only for condemned individuals
in Florida; it also potentially affects death-sentenced
people in many other States.10 It is the subject of
6
The reference is to Florida’s leading state-law retroactivity
decision, Witt v. State, 387 So. 2d 922 (Fla. 1980).
7
Motion for Rehearing at 8, Phillips v. State, 299 So. 3d 1013
(Fla. 2020) (No. SC18-1149).
8
Sup. Ct. R. 14.1(a) (“The statement of any question presented is deemed to comprise every subsidiary question fairly included therein.”).
9
“[O]n appeal from the denial of his Atkins/Hall claim, a
newly constituted five-Justice Florida Supreme Court sua sponte
reversed its decision in Walls, held Phillips was not entitled to
have his intellectual disability claim analyzed under the Hall
framework, and determined that Hall announced a new non-watershed rule for Eighth Amendment purposes and thus was not
retroactive. The question[ ] presented [is]:
Whether a state court must give retroactive effect on
collateral review to the rule announced in Hall because
the Supremacy Clause, as held in Montgomery v. Louisiana, 136 S. Ct. 718 (2016), mandates that a State
court cannot deny a prisoner’s claim that his sentence
is violative of the federal constitution by interpreting a
case such as Hall as a mere procedural modification of
the substantive holding of Atkins but rather the State
court must give effect to Atkins’ substantive holding?”
Pet. Cert., at i.
10
See Hall, 572 U.S. at 714–17. Kentucky, Alabama, Arizona, Kansas, North Carolina and Nebraska are states in which
6
conflicting lower-court decisions.11 Its consideration by
the Court would provide a clarifying counterpoint to
it appeared that the standard error of measurement (SEM) might
not be taken into account in adjudicating the issue of subaverage
intellectual functioning. Id. at 714–15. The Hall opinion notes
that in several of these States there were no pre-Hall appellate
decisions authoritatively resolving the SEM question. Id. at 716.
We know of no reported data bearing directly on the number of
cases in which Atkins claims were lost on that issue in these
States, or on the number of cases in which Atkins claims were not
raised because postconviction counsel failed to consider the SEM.
But it does appear that nationwide 31% of the Atkins losses between mid-2002 and the end of 2013 rested solely upon adverse
appellate findings on the intellectual-deficits prong of the threepronged orthodox diagnostic formula, and that 29% of these cases
in turn involved average I.Q. scores below 75. And the study
which documents these figures mentions at least two such cases—
State v. Elmore, No. 2005-CA-32, 2005 WL 2981797 (Ohio App.
Nov. 3, 2005), and Cribbs v. State, No. W2006-01381-CCA-R3-PD,
2009 WL 1905454 (Tenn. Crim. App. July 1, 2009)—in which the
SEM was erroneously disregarded in a State other than those
identified by Hall as treating an I.Q. above 70 as precluding Atkins relief. John H. Blume, Sheri Lynn Johnson, Paul Marcus &
Emily 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, 23 Wm. & Mary
Bill of Rights J. 393, 400–04 (2014).
11
Compare In re Henry, 757 F.3d 1151, 1158–59 (11th Cir.
2014) (“For the first time in Hall, the Supreme Court imposed a
new obligation on the states not dictated by Atkins because Hall
restricted the states’ previously recognized power to set procedures governing the execution of the intellectually disabled. In
addition, Justice Kennedy’s Hall opinion explained that the basis
for its holding stretched beyond Atkins alone: ‘[T]he precedents of
this Court “give us essential instruction,” . . . but the inquiry must
go further. . . . In this Court’s independent judgment, the Florida
statute, as interpreted by its courts, is unconstitutional.’ Hall
. . . (quoting Roper v. Simmons. . . .). Nothing in Atkins dictated
or compelled the Supreme Court in Hall to limit the states’
7
Edwards v. Vannoy,12 which presents a less stark, more
complicated variant of the “new rule” issue under
Teague.
------------------------------------------------------------------
previously recognized power to set an IQ score of 70 as a hard
cutoff. This is plainly a new obligation that was never before imposed on the states, under the clear language of Atkins, and of
Hall itself.”) (internal citations omitted), and Kilgore v. Sec’y, Fla
Dep’t of Corr., 805 F.3d 1301, 1313 (11th Cir. 2015) (“[I]n In re
Henry . . . we rejected the argument that Hall’s holding—limiting
the states’ previously recognized power to set an IQ score of 70 as
a hard cutoff—was ‘clearly established’ by Atkins. . . . [W]e held
that Hall necessarily established a new rule of constitutional
law.”) (internal citations omitted), with Smith v. Sharp, 935 F.3d
1064, 1084–85 (10th Cir. 2019) (“As in Strickland, the Supreme
Court in Atkins declared ‘a rule of general application . . . designed for the specific purpose of evaluating a myriad of factual
contexts.’ . . . The application of this general rule to Hall, . . .
Moore I . . . and Moore II cannot be understood to ‘yield[ ] a result
so novel that it forges a new rule, one not dictated by precedent’
. . . in light of the Court’s proclamation in Hall that ‘Atkins . . .
provide[s] substantial guidance on the definition of intellectual
disability’. . . . The Court’s application of Atkins more closely resembles, for example, our conclusion that the extension of Strickland’s guarantee of effective counsel to the plea-bargaining
context merely applied Strickland rather than created a new
rule.”); and see Van Tran v. Colson, 764 F.3d 594, 612 (6th Cir.
2014) (determining that Hall “clarified the minimum Atkins
standard under the U.S. Constitution. . . . In [Hall], the Court
confronted directly the question of ‘how intellectual disability
must be defined in order to implement the[ ] principles and the
holding of Atkins.’ ”).
12
No. 18-31095, 2019 WL 8643258 (5th Cir. May 20, 2019),
cert. granted, 206 L.Ed.2d 917 (U.S. May 4, 2020) (No. 19-5807).
8
ARGUMENT
I.
Hall and the rule of Teague
Under Teague, “[w]hen . . . [this Court] announce[s]
a ‘new rule,’ a person whose conviction is already final
may not benefit from the decision in a habeas or similar proceeding.” Chaidez v. United States, 568 U.S. 342,
347 (2013). This Court continued in Chaidez:
But that account has a flipside. Teague also
made clear that a case does not “announce a
new rule, [when] it ‘[is] merely an application
of the principle that governed’ ” a prior decision to a different set of facts. . . . As JUSTICE
KENNEDY has explained, “[w]here the beginning point” of our analysis is a rule of “general
application, a rule designed for the specific
purpose of evaluating a myriad of factual contexts, it will be the infrequent case that yields
a result so novel that it forges a new rule, one
not dictated by precedent.” Wright v. West, 505
U.S. 277, 309 . . . (1992) (concurring in judgment). . . . Otherwise said, when all we do is
apply a general standard to the kind of factual
circumstances it was meant to address, we
will rarely state a new rule for Teague purposes.
Chaidez, 568 U.S. at 347–48 (full citation omitted).
In Hall v. Florida, this Court stated with deliberate precision the issue it decided: “The question this
case presents is how intellectual disability must be defined in order to implement these principles and the
9
holding of Atkins.”13 572 U.S. 701, 709 (2014). And the
concluding passage of Hall’s Atkins analysis casts
Hall’s holding in terms of invalidation of an evidentiary restriction that impedes the proper adjudication
of Atkins claims:
The Florida statute, as interpreted by its
courts, misuses IQ score on its own terms; and
this, in turn, bars consideration of evidence
that must be considered in determining
whether a defendant in a capital case has intellectual disability. Florida’s rule is invalid
under the Constitution’s Cruel and Unusual
Punishments Clause.
Hall, 572 U.S. at 723.
A state-law rule that precludes the proper evidentiary examination of a federal claim is constitutionally
impermissible, as this Court has told the Florida Supreme Court more than once.14 “There is surely nothing new about this principle,” Bousley v. United States,
523 U.S. 614, 620 (1998)—nothing that is “novel,”
Chaidez, 568 U.S. at 347, or that “ ‘breaks new ground
or imposes a new obligation on the States,’ ” Williams
v. Taylor, 529 U.S. 362, 381 (2000) (quoting Teague, 489
U.S. at 301).
13
Atkins is reported as Atkins v. Virginia, 536 U.S. 304
(2002).
14
See McNeal v. Culver, 365 U.S. 109 (1961); Carnley v.
Cochran, 369 U.S. 506 (1962).
10
To the contrary, Hall simply implemented the substantive rule of Atkins by invalidating an aberrant
Florida ruling that
misconstrue[d] the Court’s statements in Atkins that intellectual disability is characterized by an IQ of “approximately 70.” . . .
Florida’s rule is in direct opposition to the
views of those who design, administer, and interpret the IQ test. By failing to take into account the standard error of measurement,
Florida’s law not only contradicts the test’s
own design but also bars an essential part of
a sentencing court’s inquiry into adaptive
functioning.
Hall, 572 U.S. at 724. To correct a glaring misconception about the sort of factual analysis necessary for the
proper adjudication of a claim under an established
rule of federal constitutional law is not to make “new
law.”15
15
It is notable that the key elements in the reasoning by
which the Eleventh Circuit in In re Henry, 757 F.3d 1151 (11th
Cir. 2014), concluded that Hall created a new rule are manifestly
ill-conceived. The Henry court writes: “For the first time in Hall,
the Supreme Court imposed a new obligation on the states not
dictated by Atkins because Hall restricted the states’ previously
recognized power to set procedures governing the execution of the
intellectually disabled.” Id. at 1158–59. But the Hall Court explained:
If the States were to have complete autonomy to define
intellectual disability as they wished, the Court’s decision in Atkins could become a nullity, and the Eighth
Amendment’s protection of human dignity would not
become a reality. This Court thus reads Atkins to
11
The Florida Supreme Court’s Phillips opinion itself recognizes that Hall represents only “an evolutionary refinement of the procedure necessary to
comply with Atkins. It [Hall] merely clarified the
manner in which courts are to determine whether a
capital defendant is intellectually disabled and
therefore ineligible for the death penalty.” 299 So. 3d
at 1021.
Hall merely more precisely defined the procedure that is to be followed in certain cases
to determine whether a person facing the
death penalty is intellectually disabled. Hall
is merely an application of Atkins. . . . Hall’s
limited procedural rule does nothing more
than provide certain defendants—those with
IQ scores within the test’s margin of error—
provide substantial guidance on the definition of intellectual disability.
572 U.S. at 720–21. The Henry opinion says:
In addition, Justice Kennedy’s Hall opinion explained
that the basis for its holding stretched beyond Atkins
alone: “[T]he precedents of this Court ‘give us essential
instruction,’ . . . but the inquiry must go further. . . . In
this Court’s independent judgment, the Florida statute, as interpreted by its courts, is unconstitutional.”
757 F.3d at 1159. But Hall’s reference to the Court’s “independent judgment” did not mean “independent of Atkins.” It was an
instance of the Court’s repeated recognition that legislative
judgments and other indicia of national consensus are to be
supplemented in Eighth Amendment analysis by “the Court’s
independent judgment.” Roper v. Simmons, 543 U.S. 551, 562–64
(2005).
12
with the opportunity to present additional evidence of intellectual disability.
299 So. 3d at 1020.16
These descriptions accurately portray the respective positions of Atkins and Hall for Teague purposes:
Atkins as “ ‘the beginning point’ of . . . analysis is a rule
of ‘general application, a rule designed for the specific
purpose of evaluating a myriad of factual contexts’ ”;
and “all . . . [this Court did in Hall was to] apply a general standard to the kind of factual circumstances it
was meant to address. . . .” Chaidez, 568 U.S. at 348.
But the conclusion of non-retroactivity which the Florida Supreme Court drew from this entirely accurate
portrait flouts the admonition of this Court that its decisions clarifying how a general rule is to be applied to
16
See also 299 So.3d at 1019–20:
In Hall, the Supreme Court recounted its decisions
holding that particular punishments are prohibited by
the Eighth Amendment “as a categorical matter”. . . .
The Court then unambiguously set out the issue it was
to address: “The question this case presents is how intellectual disability must be defined in order to implement . . . the holding of Atkins.” . . . And the holding of
Hall was limited to a determination that it is unconstitutional for courts to refuse to allow capital defendants
whose IQ scores are above 70 but within the test’s
standard error of measurement to present evidence of
their asserted adaptive deficits. . . . Thus, Hall merely
“created a procedural requirement that those with IQ
test scores within the test’s standard of error would
have the opportunity to otherwise show intellectual disability.”
13
one of the factual situations contemplated by the rule
“will rarely state a new rule for Teague purposes.” Id.
II.
Hall and Diagnostic Practice
The procedures which Hall found necessary for a
constitutional evaluation of intellectual disability17
under Atkins were standard operating procedure for
diagnosticians long before Hall18 and even before
17
In Hall v. Florida, this Court recognized the pejorative
connotations of the term “mental retardation,” and instead
“us[ed] the term ‘intellectual disability’ to describe the identical
phenomenon.” 572 U.S. 701, 704 (2014). In keeping with this
Court’s decision, this brief also uses “intellectual disability” in
place of “mental retardation” except where naming or directly
quoting sources.
18
American Association on Intellectual and Developmental
Disabilities, Intellectual Disability: Definition, Classification, and
Systems of Supports 36 (11th ed. 2010) (“Understanding and addressing the test’s standard error of measurement is a critical
consideration that must be part of any decision concerning a diagnosis of ID that is based, in part, on significant limitations in
intellectual functioning.”); American Association on Mental Retardation, Mental Retardation: Definition, Classification, and
Systems of Supports 58 (10th ed. 2002) (“In the 2002 AAMR system, the ‘intellectual functioning’ criterion for diagnosis of mental
retardation is approximately two standard deviations below the
mean, considering the SEM for the specific assessment instruments used and the instruments’ strengths and limitations.”);
John Matthew Fabian, William W. Thompson, IV & Jeffrey B.
Lazarus, Life, Death, and IQ: It’s Much More than Just a Score:
Understanding and Utilizing Forensic Psychological and Neuropsychological Evaluations in Atkins Intellectual Disability/Mental Retardation Cases, 59 Cleveland State L. Rev. 399, 412–13
(2011).
14
Atkins.19 See, e.g., American Association on Intellectual & Developmental Disabilities, User’s Guide: [to]
19
See Hall, 572 U.S. at 719: “The Atkins Court twice cited
definitions of intellectual disability which, by their express terms,
rejected a strict IQ test score cutoff at 70.” E.g., Atkins, 536 U.S.
at 309 n.5 (“It is estimated that between 1 and 3 percent of the
population has an IQ between 70 and 75 or lower, which is typically considered the cutoff IQ score for the intellectual function
prong of the mental retardation definition. 2 Kaplan & Sadock’s
Comprehensive Textbook of Psychiatry 2952 (B. Sadock & V.
Sadock eds. 7th ed.2000).”); see also American Association on
Mental Retardation, Mental Retardation: Definition, Classification and Systems of Supports 37 (9th ed. 1992) (“This [assessment] process is facilitated by considering the concept of standard
error of measurement, which has been estimated to be three to
five points for well-standardized measures of general intellectual
functioning. . . . This is a critical consideration that must be part
of any decision concerning a diagnosis of mental retardation.”);
Edward J. Slawski, Error of Measurement, in 1 Encyclopedia of
Human Intelligence 395, 398 (Robert J. Sternberg ed., 1994)
(“The standard error of measurement described earlier can be
used to estimate how good a measure of true score an observed
score provides. If certain assumptions are met, psychologists can
construct confidence intervals around true score estimates by
adding to and subtracting from the observed score the appropriate multiple of the standard error of measurement.”); American
Association on Mental Retardation, Classification in Mental Retardation 56 (1983) (“Error of measurement of IQ. In addition to
the possibility of temporal change, an obtained IQ must also be
considered in terms of its fallibility as a measurement. . . . This is
interpreted to mean that if a retest is promptly given with the
same instrument, discounting any practice effect, the second IQ
would be within 1 standard error of measurement of the first IQ
about two thirds of the time.”); David Wechsler, The Measurement
of Adult Intelligence 135 (1939) (“As criteria of a scale’s reliability,
statisticians generally use one or several of the following
measures: (1) the standard error of the scale’s central tendency,
(2) the degree of correlation between the various portions of the
scale, (3) the correlation between alternate forms of the same
15
Mental Retardation: Definition, Classification and
Systems of Supports 12 (2007) (“[T]he assessment of
intellectual functioning through the reliance on intelligence tests is fraught with the potential for misuse
if consideration is not given to possible errors in
measurement.”);20 American Psychological Association, APA’s Guidelines for Test User Qualifications: An
Executive Summary, 56 Am. Psychologist 1099, 1101
(2001) (“[T]est users should understand the standard
error of measurement, which presents a numerical estimate of the range of scores consistent with the individual’s level of performance.”);21 Richard J. Bonnie &
scale, (4) correlations between repeated administrations of the
tests to the same individuals.”); and see id., Table 26: (“Measures
of standard error”).
20
See also American Association on Intellectual & Developmental Disabilities, User’s Guide: [to] Mental Retardation: Definition, Classification and Systems of Supports 12 (2007) (“[A]n IQ
of 70 is most accurately understood not as a precise score, but as
a range of confidence with parameters of at least one standard
error of measurement . . . or parameters of two standard errors of
the mean. . . . This is a critical consideration underlying the appropriate use of intelligence tests and best practices and that
must be a part of any decision concerning the diagnosis of mental
retardation.”); Peggy M. Tobolowsky, Atkins Aftermath: Identifying Mentally Retarded Offenders and Excluding Them from Execution, 30 J. Legis. 77, 96 (2004) (“[A]ny state’s use of a fixed IQ
cutoff score, without reference to standard measurement error
and other factors concerning the specific instrument used, risks
an inaccurate assessment of the intellectual functioning component of the mental retardation definition.”).
21
See also American Association on Mental Retardation,
Mental Retardation: Definition, Classification, and Systems of
Supports 57 (10th ed. 2002) (“Errors of measurement as well
as true changes in performance outcome must be considered in
the interpretation of test results. This process is facilitated by
16
Katherine Gustafson, The Challenge of Implementing
Atkins v. Virginia: How Legislatures and Courts Can
Promote Accurate Assessments and Adjudications of
Mental Retardation in Death Penalty Cases, 41 U. Richmond L. Rev. 811, 836 (2007) (“[T]he SEM must always
be taken into account when interpreting scores on IQ
tests; failing to do so would be a clear departure from
accepted professional practice in scoring and interpreting any kind of psychological test, including IQ tests.
The importance of the SEM is so well-established in
the field that it would be superfluous to direct experts
to take it into account in a statute governing Atkins
evaluations and adjudications, and most state laws say
nothing about it.”).22
It was, indeed, Florida’s deviation from the professionally recognized process for an intellectual disability diagnosis that largely underlay the holding in
Hall:23
considering the concept of standard error of measurement (SEM),
which has been estimated to be three to five points for well-standardized measures of general intellectual functioning. . . . This is a
critical consideration that must be part of any decision concerning
a diagnosis of mental retardation.”); and see also American Psychiatric Association, Diagnostic and Statistical Manual of Mental
Disorders [DSM-IV-TR] 41–42 (4th ed. text rev. 2000); American
Psychiatric Association, Diagnostic and Statistical Manual of
Mental Disorders [DSM-III] 36–37 (3d ed. 1980).
22
See also John H. Blume, Sheri Lynn Johnson & Christopher Seeds, Of Atkins and Men: Deviations from Clinical Definitions of Mental Retardation in Death Penalty Cases, 18 Cornell
J.L. & Pub. Pol’y 689, 697–98 (2009).
23
It was “[a]gainst the backdrop of that clear professional
consensus . . . [that] the Supreme Court’s decision in Hall v.
17
Florida’s rule disregards established medical
practice in two interrelated ways. It takes an
IQ score as final and conclusive evidence of
a defendant’s intellectual capacity, when experts in the field would consider other evidence. It also relies on a purportedly scientific
measurement of the defendant’s abilities, his
IQ score, while refusing to recognize that the
score is, on its own terms, imprecise.
The professionals who design, administer, and
interpret IQ tests have agreed, for years now,
that IQ test scores should be read not as a single fixed number but as a range.
Hall, 572 U.S. at 712 (emphasis added). Hall stated explicitly that “[t]he clinical definitions of intellectual
disability, which take into account that IQ scores represent a range, not a fixed number, were a fundamental
premise of Atkins. And those clinical definitions have
long included the SEM.”24
Florida addressed the constitutionality of a Florida rule barring
consideration of the SEM in making Atkins adjudications.” James
W. Ellis, Caroline Everington, & Ann M. Delpha, Evaluating Intellectual Disability: Clinical Assessments in Atkins Cases, 46
Hofstra L. Rev. 1305, 1359 (2018).
24
572 U.S. at 720. Unlike the Florida Supreme Court, the
clinical community has not reversed this longstanding premise.
See American Association on Intellectual and Developmental Disabilities, Intellectual Disability: Definition, Diagnosis, Classification, and Systems of Supports 131 (12th ed. 2021) (“[I]n reference
to an IQ or an adaptive behavior standard score of 70 that is obtained on an assessment instrument with a SEM of 4, the score of
70 is most accurately understood not as a precise score, but as a
range of scores with parameters of at least two SEM units (i.e.,
score range of 62-78, 95% probability). Reporting the range within
18
Precisely because they were a fundamental premise of Atkins, the command of Hall that they be respected in conducting Atkins evaluations has got to be
understood as enforcing a preexisting Eighth Amendment requirement, not creating a new one.
------------------------------------------------------------------
CONCLUSION
The Florida Supreme Court’s decision below that
“federal law does not require retroactive application of
Hall as a new substantive rule of federal constitutional
law”25 appears on its face to be at odds with both Hall
and Teague. Certiorari should be granted to determine
whether it “conflicts with [those] relevant decisions of
this Court.”26
Respectfully submitted,
JOHN H. BLUME
Counsel of Record
CORNELL LAW SCHOOL
159 Hughes Hall
Ithaca, NY 14853
jb94@cornell.edu
(607) 255-1030
which the person’s true score falls, rather than only a score, represents both the appropriate use of intellectual and adaptive behavior assessment instruments and best diagnostic practices in
the field of ID. Reporting of the 95% confidence interval (i.e., score
range) must be a part of any decision concerning the diagnosis of
ID.”).
25
Phillips, 299 So. 3d at 1022.
26
Sup. Ct. R. 10(c).
19
JAMES W. ELLIS
ANN M. DELPHA
1117 Stanford, N.E.
Albuquerque, NM 87131
ellis@law.unm.edu
(505) 277-2146
Counsel for Amici Curiae
FEBRUARY 2021
This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.