Joseph Clifton Smith v. Commissioner, Alabama Department of Corrections

67 F.4th 1335
Court of Appeals for the Eleventh Circuit·Decided May 19, 2023·No. 21-14519·Published·Cited by 30 cases

Opinion

[PUBLISH]

In the United States Court of Appeals For the Eleventh Circuit

No. 21-14519

JOSEPH CLIFTON SMITH, Petitioner-Appellee, versus COMMISSIONER, ALABAMA DEPARTMENT OF CORRECTIONS,

Respondent-Appellant.

Appeal from the United States District Court for the Southern District of Alabama D.C. Docket No. 1:05-cv-00474-CG-M

2 Opinion of the Court 21-14519

Before WILSON, JORDAN, and ROSENBAUM, Circuit Judges. PER CURIAM:

This appeal concerns whether the district court clearly erred in finding that Joseph Clifton Smith is intellectually disabled and, as a result, that his death sentence violates the Eighth Amendment. We hold that the district court did not clearly err. We therefore affirm the district court’s judgment vacating Smith’s sentence.

I.

A. A jury found petitioner Joseph Clifton Smith guilty of capital murder. Durk Van Dam was brutally murdered on November 23, 1997. Smith v. Campbell (“Smith III”), 620 F. App’x 734, 736 (11th Cir. 2015). Police found Van Dam’s body in an isolated area near his pick-up truck in Mobile County. Id. On the same day that police discovered Van Dam’s body, they interviewed Petitioner Joseph Clifton Smith. Id.

Although Smith confessed to Van Dam’s murder, he offered two conflicting versions of the crime. Id. At first, he said that he watched Van Dam’s murder. Id. Then, he said that he participated, but that he didn’t intend to kill Van Dam. Id.

A grand jury in Mobile County eventually indicted Smith for capital murder. Id. The case went to trial, and the jury found Smith guilty. Id. at 736–37.

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B. During the sentencing phase of Smith’s trial, the parties presented evidence of Smith’s intellectual abilities. During the sentencing phase, the parties presented evidence concerning aggravating and mitigating factors. One mitigating factor was whether Smith committed the crime while he “was under the influence of extreme mental or emotional disturbance.” Ala. Code § 13A-5-51(2). Both sides presented evidence of Smith’s childhood , family background, and intellectual abilities to contest whether that mitigating factor applied to Smith.

Smith’s mother and sister testified that his father was an abusive alcoholic. Smith III, 620 F. App’x at 738–39. Smith’s father beat the children with belts and water hoses. Id. Smith’s mother and father divorced when Smith was nine or ten years old. Id. at 738.

Soon after his parents divorced, Smith’s mother remarried to a man named Hollis Luker. Like Smith’s father, Luker beat the children and was drunk “just about every day.” Id. at 739. Smith’s neighbor testified that his mother would bring Smith and his siblings to the neighbor’s home to escape Luker’s beatings. Id.

In the meantime, Smith struggled in school. He had been described as a “slow learner” since he was in the first grade. Smith was eight years old when he reached third grade. At that point, he still needed help to function at a first-grade level, prompting his teacher to label him an underachiever and refer him for an “intellectual evaluation.”

During that evaluation, Smith obtained a full-scale IQ score of 75. That score meant that Smith was “functioning in the

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Borderline range of measured intelligence.” Smith’s school then asked his mother for permission to do more testing.

At the beginning of Smith’s fourth-grade year, which coincided with his parents’ divorce, his mother agreed to have the school perform additional testing. After undergoing more testing, Smith was placed in a learning-disability class.

After that placement, Smith developed an unpredictable temper and often fought with classmates. His behavior became so troublesome that his school placed him in an “emotionally con- flicted classroom.” These types of classrooms hosted special-education classes for students who could not adjust to a regular classroom , according to Dr. James Chudy, a clinical psychologist. Dr. Chudy met with Smith three times after Van Dam’s murder, administered several tests, analyzed records from Smith’s past, authored a report about his findings, and testified during Smith’s sentencing phase. Id. at 738–39.

Smith’s academic deficits persisted through junior high school. When he entered sixth grade, his school reevaluated his intellectual abilities. This time, he obtained a full-scale IQ score of 74, again placing him “in the Borderline range of measured intelligence .” By grade seven, the school determined that Smith was eligible for the “Educable [Intellectually Disabled]” program. He went on to fail the seventh and eighth grades before dropping out of school for good. Id. at 740.

Smith spent much of the next fifteen years in prison. When he was nineteen, Smith went to prison for burglary and receiving

USCA11 Case: 21-14519 Document: 46-1 Date Filed: 05/19/2023 Page: 5 of 38

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stolen property. He was released from prison after six years. But he returned a year later when he violated the conditions of his parole . There he remained until his release in November 1997, just two days before Van Dam’s murder.

Dr. Chudy reevaluated Smith just after Van Dam’s murder.

When Dr. Chudy tested Smith’s IQ, Smith obtained a full-scale score of 72. During the sentencing phase, Dr. Chudy testified that Smith’s true IQ score could be as high as 75 or as low as 69 after accounting for the standard error of measurement inherent in IQ tests. “69 is considered clearly [intellectually disabled],” 1 he explained . Either way, Smith’s raw score of 72 suggests that he functions at a lower level than 97% of the general population. Dr. Chudy also described Smith as “barely literate in reading.”

The sentencing phase eventually came to an end, and the Alabama trial court found that the aggravating circumstances outweighed the mitigating ones. The court thus sentenced Smith to death.

C. Smith petitioned for habeas relief and argued, among other things, that his sentence violates the Eighth and Fourteenth Amendments because he is intellectually disabled.

After exhausting his direct appeals, Smith sought habeas relief in state court. He argued, among other things, that his

1 We alter quotations that use outdated language to describe intellectual disabilities . E.g., Brumfield v. Cain, 576 U.S. 305, 308 n.1 (2015); Kilgore v. Sec’y, Fla. Dep’t of Corr., 805 F.3d 1301, 1303 n.1 (11th Cir. 2015).

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sentence violated the Eighth and Fourteenth Amendments because he is intellectually disabled. See Atkins v. Virginia, 536 U.S. 304 (2002).

Consistent with the medical community’s general consensus , Alabama law defines intellectual disability as including three criteria: (1) significantly subaverage intellectual functioning (i.e., an IQ of 70 or below); (2) significant or substantial deficits in adaptive behavior; and (3) the onset of those qualities during the developmental period (i.e., before the age of 18). Ex parte Perkins, 851 So. 2d 453, 456 (Ala. 2002).

Applying that definition, the Alabama Court of Criminal Appeals ultimately rejected Smith’s Atkins claim, finding that he could not meet the intellectual-disability criteria based on the evidence adduced during his trial and sentencing phase. See Smith v. State (“Smith I”), 71 So. 3d 12, 19–21 (Ala. Crim. App. 2008) (“[T]he record in Smith’s direct appeal supports the circuit court’s conclusion that Smith does not meet the broadest definition of [intellectually disabled] adopted by the Alabama Supreme Court in Ex parte Perkins, 851 So. 2d 453 (Ala. 2002).”), cert denied, No. 1080589 (Ala. 2010) (mem.).

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Joseph Clifton Smith v. Commissioner, Alabama Department of Corrections, 67 F.4th 1335 (11th Cir. 2023).

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