HULL, Circuit Judge:
It has been 34 years since Thomas Arthur brutally murdered Troy Wicker. During 1982 to 1992, Thomas Arthur was thrice tried, convicted, and sentenced to death for Wicker's murder. After his third death sentence in 1992, Arthur for the next 24 years has pursued, unsuccessfully, dozens of direct and post-conviction appeals in both state and federal courts.
In addition, starting nine years ago in 2007 and on three separate occasions, Arthur has filed civil lawsuits under 42 U.S.C. § 1983 challenging the drug protocol to be used in his execution. This is Arthur's third such § 1983 case, and this current § 1983 case was filed in 2011. For the last five years Arthur has pursued this § 1983 case with the benefit of lengthy discovery. The district court held a two-day trial and entered two comprehensive orders denying Arthur § 1983 relief. Those orders are the focus of the instant appeal.
After thorough review, we conclude substantial evidence supported the district court's fact findings and, thus, Arthur has shown no clear error in them. Further, Arthur has shown no error in the district court's conclusions of law,
The Alabama Supreme Court summarized the facts underlying Arthur's criminal conviction as follows:
In 1982, Arthur was convicted and sentenced to death for Wicker's murder, but the Alabama Supreme Court reversed that conviction in 1985.
In 2001, after exhausting his state court remedies, Arthur filed a federal habeas corpus petition pursuant to 28 U.S.C. § 2254.
With this background, we turn to Arthur's current § 1983 case, challenging Alabama's use of midazolam in its lethal injection protocol. To place Arthur's current § 1983 claim in context, we review the history of lethal injection in Alabama and how Alabama has had to change the drugs used due to unavailability. For years, Arthur challenged the use of sodium thiopental and then pentobarbital. But now that the ADOC has not been able to procure sodium thiopental or pentobarbital and has had to switch to midazolam, Arthur is currently challenging midazolam and now asks to go back to sodium thiopental or pentobarbital as his preferred alternatives. We thus review in great detail how this case got here today.
When Arthur was sentenced to death, Alabama executed inmates by electrocution.
Alabama's method-of-execution statute further provides that:
The ADOC has used a three-drug lethal injection protocol since it began performing executions by lethal injection in 2002.
The third drug in the ADOC protocol has always been potassium chloride, and the second drug has always been a paralytic agent — either pancuronium bromide or rocuronium bromide.
From April 2011 until September 10, 2014, Alabama used pentobarbital as the first drug.
Currently, Alabama's lethal injection protocol calls for the administration of: (1) a 500-mg dose of midazolam, (2) followed by a 600-mg dose of rocuronium bromide, and (3) finally, 240 milliequivalents of potassium chloride. This lethal injection protocol involves the same drugs, administered in the same sequence, as the protocol at issue in
Arthur's execution date is currently set for November 3, 2016. This is the sixth
In May 2007, shortly after the State filed a motion to set an execution date, Arthur filed a § 1983 action challenging Alabama's lethal injection protocol which in 2007 included sodium thiopental as the first drug. (CM/ECF for the U.S. Dist. Ct. for the S.D. Ala., case no. 1:07-cv-342, doc. 1 at 1-2, 6; doc. 15 at 11). The district court dismissed that complaint based on laches, and this Court affirmed. (
In April 2011, Alabama switched from using sodium thiopental to pentobarbital as the first drug in its lethal injection protocol.
As amended, Arthur's complaint raised three § 1983 claims: (1) the ADOC's use of pentobarbital as the first drug in its three-drug lethal injection protocol violated the Eighth Amendment's prohibition on cruel and unusual punishment; (2) the ADOC's secrecy in adopting and revising its lethal injection protocol violated the Fourteenth Amendment's Due Process Clause; and (3) the ADOC had materially deviated from its lethal injection protocol by failing to conduct a "consciousness assessment" during an earlier execution, thereby violating the Fourteenth Amendment's Equal Protection Clause. Arthur also alleged that Alabama's lethal injection statute violated the state constitution.
The district court dismissed Arthur's Eighth Amendment and Due Process claims on statute-of-limitations grounds and his Equal Protection claim for failing to state a claim upon which relief could be granted.
This Court reversed the district court's dismissal as to only Arthur's Eighth Amendment and Equal Protection claims.
As to the Equal Protection claim, this Court held that Arthur had "alleged enough facts to constitute a plausible Equal Protection claim because he alleges that Alabama has substantially deviated from its execution protocol" by failing to perform the pinch test as part of the required consciousness assessment.
In the years after this Court's 2012 remand, the parties conducted extensive discovery. Before the final hearing on Arthur's § 1983 challenge to pentobarbital, the State was no longer able to procure pentobarbital. In September 2014, the State changed its lethal injection protocol to substitute midazolam hydrochloride for pentobarbital as the first drug, and rocuronium bromide for pancuronium bromide as the second drug in its three-drug cocktail.
On January 7, 2015, after receiving leave from the district court to amend his 2011 complaint, Arthur filed a complaint (the "Second Amended Complaint"), raising two claims. Arthur raised an Eighth Amendment claim, alleging that the ADOC's use of midazolam as the first drug "creates a substantial risk of serious harm because ... there is a high likelihood that midazolam will fail to render [him] insensate from the excruciatingly painful and agonizing effects of the second and third drugs."
Despite challenging pentobarbital for more than three years, Arthur now suggested that he would prefer for the State to use a one-drug protocol of compounded pentobarbital in his execution instead of midazolam. Arthur's Second Amended Complaint recycled his earlier argument about pentobarbital, which was that it would cause him to suffer a drop in blood pressure and then a heart attack. Arthur now made the same claim about midazolam, alleging that he had "clinically significant obstructive coronary disease" and that the State's use of midazolam created a substantial risk that he would suffer a painful heart attack before losing consciousness.
Arthur's Second Amended Complaint also raised an Equal Protection claim, alleging that the ADOC had "materially deviated from their written execution protocol, impermissibly burdening Mr. Arthur's right to be free from cruel and unusual punishment." Arthur claimed that Alabama employs a lethal injection protocol that requires a "consciousness assessment" after the first drug is injected. This consciousness assessment has three parts: (1) calling the inmate's name, (2) gently stroking his eyelash, and (3) pinching his arm.
Arthur's Second Amended Complaint alleged that during "numerous executions," including the 2011 execution of Eddie Powell, witnesses did not observe the pinch test being performed. Arthur also alleged that the ADOC failed to adequately train its personnel in how to perform properly the consciousness assessment. He claimed that there existed a "significant risk that Defendants will deviate from their protocol in [his] execution," thus burdening his rights under the Fourteenth Amendment.
In March 2015, the district court elected to stay Arthur's § 1983 case challenging midazolam until after the U.S. Supreme Court issued its decision in
On June 29, 2015, the Supreme Court decided
After
On August 25, 2015, Arthur sought leave to file a third amended complaint, seeking (1) to switch back to compounded pentobarbital as an alternative method of execution, (2) to suggest sodium thiopental and a firing squad as additional alternative methods, and (3) to include additional allegations that midazolam was constitutionally inadequate. The district court granted Arthur leave to amend his complaint except as to the firing squad as an alternative method of execution. The district court concluded,
On October 13, 2015, Arthur filed his Third Amended Complaint, alleging substantially identical claims to those raised in his Second Amended Complaint and requesting single-drug protocols of compounded pentobarbital or sodium thiopental as alleged feasible alternative methods of execution. The ADOC filed (1) a "Motion to Dismiss and, In the Alternative, Motion for Summary Judgment," arguing that Arthur's Eighth Amendment claim was untimely, that both claims should be dismissed for failure to state a claim, and that there was no genuine issue of material fact regarding whether compounded pentobarbital or sodium thiopental are known and available alternatives; and (2) a "Motion for Summary Judgment of Arthur's Eighth Amendment Claim," arguing again that compounded pentobarbital and sodium thiopental are not known and available alternatives and, further, that Arthur failed to present any evidence showing how compounded pentobarbital could be administered to prevent a painful heart attack.
On January 7, 2016, the district court issued an order limiting the issues at trial to: (1) Arthur's Equal Protection claim, and (2) the availability of alternative methods of execution. The district court wrote that, if Arthur met his burden to prove an alternative method of execution that is feasible and readily available, the court would schedule a second phase of trial to address other issues, such as whether the use of midazolam "presents a risk that is sure or very likely to cause serious illness and needless suffering, and give rise to sufficiently imminent dangers."
The district court held a two-day bench trial on January 12 and 13, 2016.
As noted above, although for four years Arthur had challenged pentobarbital as the first drug, one of his requested alternatives is now a single drug of compounded pentobarbital. Arthur called Dr. Gaylen M. Zentner to testify about compounded pentobarbital.
Dr. Zentner obtained a Ph.D. in pharmaceutics and was a licensed pharmacist in Utah for 40 years. After obtaining his Ph.D., Dr. Zentner taught pharmacy at the University of Connecticut, including teaching in the compounding lab. He worked for 13 years for a large pharmaceutical company in their "advanced drug delivery dosage form design unit." He was later in charge of "all formulation and dosage form design" at another large pharmaceutical company. He had held two adjunct professorships in pharmacy. Since 2012, Dr. Zentner had worked as an "independent consultant" to the pharmaceutical industry. He testified that he had hands-on experience with manufacturing drugs and he had personally compounded drugs, although he had no experience preparing compounded pentobarbital sodium. The district court accepted Dr. Zentner as an expert witness in the fields of pharmaceutical chemistry, manufacturing, and compounding.
Dr. Zentner testified that, in his opinion, "the talent, expertise, and facilities to perform sterile compounding" existed within Alabama and that "all ingredients required to formulate a compounded preparation of pentobarbital sodium" were "readily available."
Dr. Zentner explained that, in its pure form, pentobarbital sodium was a white powder, which could be compounded with other ingredients to form an injectable solution. He described pentobarbital as a "long-known and well-established drug product" that was "available to the medical sciences for decades." He stated that Nembutal, the trade name for an industrially manufactured version of injectable pentobarbital sodium, was available for sale in the United States. He said that pentobarbital sodium for injection was listed in the FDA's Orange Book, which listed all "approved drugs" in the United States. The Orange Book stated that there were no active patents on this drug, meaning that anyone was permitted to make it.
Dr. Zentner described the process of compounding a solution of pentobarbital
Dr. Zentner contended that there were "numerous sources" for both the active and inactive ingredients needed to compound pentobarbital, including professional drug sourcing services. He said that these ingredients were available for sale in the United States and could be found through an Internet search. For example, Dr. Zentner found pentobarbital sodium listed on a drug manufacturer's product listing, which listing indicated that the drug was produced in the United States. He stated that other manufacturers might offer it for sale or the drug could be synthesized in a lab. He said that he knew of one lab that would be willing to synthesize the drug and he suspected "all of them would be willing."
Dr. Zentner stated that he conducted an Internet search of sterile compounding pharmacies in Alabama from the listing available on the Accreditation Commission for Health Care's Web site, and found 19 such pharmacies, although two were essentially the same company. Dr. Zentner gave his list to the ADOC. Dr. Zentner contacted two of these pharmacies, and they said that they did perform sterile compounding. Dr. Zentner admitted that he did not ask them whether they would be willing to compound pentobarbital
Accordingly, Dr. Zentner could only give his opinion that (1) pentobarbital sodium is available for purchase in the United States, and (2) there are compounding pharmacies that "have the skills and licenses to perform sterile compounding of pentobarbital sodium."
On cross-examination, Dr. Zentner admitted that he had not contacted any drug companies at all about their willingness to sell pentobarbital to the ADOC for executions. He also admitted that he was unaware that the company that currently owned Nembutal had restrictions in place to keep that drug from being purchased for use in lethal injections. Dr. Zentner admitted that he had no knowledge of whether the pharmacies that he found would be able to procure pentobarbital, nor did he ever personally attempt to purchase the drug from a manufacturer. He stated that one drug synthesis company that he has a "long-term relationship" with was "willing to discuss" producing compounded pentobarbital. Dr. Zentner admitted that sodium thiopental is not listed in the FDA Orange Book, meaning it is not an approved product in the United States, although he stated that it is "available offshore and conceivably could be imported."
Anne Adams Hill,
Hill was aware that, in 2015, Georgia, Missouri, Texas, and Virginia executed inmates using a single-drug protocol of compounded pentobarbital. Hill testified that she contacted representatives from the departments of corrections in these four states in the fall of 2015 in an effort to obtain compounded pentobarbital. With respect to these four states she recalled asking "specifically if they had compounded pentobarbital and, if they did, if they would be willing to provide it to the [ADOC] and, if not, if they would provide us their source." All four refused.
Hill stated that she was not aware of whether these four states had exclusive contracts with their drug sources, but that all four had refused to name those sources.
Hill reiterated her deposition testimony that, in between September 2014 and November 2015, she had contacted 11 potential sources of pentobarbital, including those 4 states and 7 pharmacies within Alabama. She asked these pharmacies whether they would be willing to compound pentobarbital and provide it to the ADOC, and they all said no.
Hill also testified that, in December 2015, she reached out to all of the 18 pharmacies on Dr. Zentner's list
Hill admitted that she did not contact drug manufacturers, buying groups, or drug synthesis labs in an effort to find pentobarbital, nor did she conduct any Internet searches to obtain the drug.
Hill also testified that she had made no effort since September 2014 to obtain sodium thiopental and made no efforts to determine whether it could be imported. Hill said that she did not think sodium thiopental was available in the United States, and she was not aware of any other state that had access to sodium thiopental.
Since October 2007, the ADOC's written execution protocol has included a three-step consciousness assessment, to be performed after the administration of the first drug, but before administration of the second and third drugs. The purpose of this assessment is to ensure that the inmate has been rendered unconscious by the first drug. The assessment has three parts: (1) calling the inmate's name; (2) fluttering the inmate's eyelash; and (3) pinching the inmate's arm.
Arthur presented four witnesses who attended prior executions at Holman Correctional
Two of the attorneys, however, admitted that their view of the inmate was obstructed when a correctional officer stepped up to the gurney to perform the consciousness assessment. All three attorneys admitted that, at the time of the executions they saw, they were unaware that there was even a consciousness assessment that was supposed to be performed. Similarly, Blocker acknowledged three times on cross-examination that it was "possible" that he did not see parts of the consciousness assessment that were performed.
At trial, Arthur also presented Dr. Alan David Kaye, who holds a medical degree and a Ph.D. in pharmacology.
Dr. Kaye explained that "sedation" is understood by people in his field as a continuum. This can range from "mild sedation in which a person can easily respond to verbal cues," to moderate sedation, deep sedation, and, finally, anesthesia, "the deepest level of the continuum." In his opinion, Alabama's consciousness assessment "is inadequate to measure deep sedation or anesthesia." While Dr. Kaye has not witnessed any executions in Alabama, he opined that the ADOC had not "adequately administered" the assessment that was in place. Dr. Kaye gave four reasons for his opinion.
First, from reviewing the testimony of certain ADOC personnel, Dr. Kaye opined that "it appears that the consciousness assessment may not have been performed at all in a number of prior executions." Second, statements given by certain ADOC personnel gave the impression to Dr. Kaye that their training was inadequate because they did not know how to properly perform the pinch test and/or communicate the results of the assessment. Third, again based on the prior testimony of certain ADOC officials, it was Dr. Kaye's opinion that members of Alabama's execution team do not pinch inmates with sufficient force. Fourth, it appeared to Dr. Kaye that members of the execution team did not adequately communicate the results of the consciousness assessment.
Dr. Kaye testified that, in anesthesiology medical practice, you have to perform "the hardest pinch that you can pinch," hard enough to bruise. Dr. Kaye explained,
The ADOC presented the testimony, either live or through deposition designations, of six current or former ADOC personnel, all of whom testified that all parts of the consciousness assessment were performed at every execution that they witnessed and/or participated in.
At trial, Hill, the ADOC's general counsel, testified that she had attended nine or ten executions since the implementation of the consciousness assessment and observed all parts of the assessment being performed in all of those executions. Hill stated that, in her role as the ADOC general counsel, she had never received any information that the assessment was not performed.
Hill testified that she viewed the executions from the commissioner's viewing room, which is positioned directly in front of each inmate's feet as he lies on the gurney, and that her view was not obstructed. Hill was present at Powell's execution, and she testified that all parts of the assessment were performed at Powell's execution. She said that the correct and complete performance of the consciousness assessment is something she looks for in the executions that she attends.
Hill stated that correctional officers are aware that the consciousness assessment is a mandatory part of the execution protocol, and they are trained on how to perform it. They are instructed to perform the pinch test on the back of the inmate's left arm and to "pinch hard." Hill stated that correctional officers practice performing the consciousness assessment before an execution. They are also trained to look for "any reaction" from the inmate and to report any reaction.
The ADOC also presented the deposition testimony of: (1) G.C., Holman's warden from 2002 until 2009; (2) A.P., the Holman warden who succeeded G.C.; (3) D.C., the former captain of Holman's execution team; (4) W.H., the execution-team captain who succeeded D.C.; and (5) C.S., the chaplain at Holman. The wardens and captains testified that they were trained on the consciousness protocol, knew it was mandatory, and understood its purpose and importance.
The wardens both testified that they were present at executions and all parts of the assessment, including the pinch test, were performed at every execution that they witnessed. Similarly, the captains of the execution team testified that they personally performed every aspect of the assessment, including the pinch test, at every execution. The Holman chaplain testified that he has witnessed approximately 40 executions at the prison since 1997. He witnessed the execution of Eddie Powell, and remembered seeing the consciousness assessment performed.
G.C. testified that he was the warden when the consciousness assessment was implemented and that ADOC representatives explained the assessment to him and told him when it should be performed. He testified that a team consisting of himself,
A.P. succeeded G.C. as warden and also testified that, once the officer performing the consciousness assessment stepped away from the inmate, he knew he could proceed with the execution.
D.C. was the captain of the execution team at Holman until his retirement in 2009 and was the captain when the consciousness assessment was introduced. It was his practice to do all three steps of the assessment simultaneously. He testified that, if the inmate showed any reaction to the consciousness assessment, he would turn and face the warden. In performing the pinch test, D.C. would pinch hard enough that, "if it was a conscious person, they would jerk their arm away from me." He never received any reaction in the nine or ten executions in which he participated.
W.H. succeeded D.C. as the execution-team captain at Holman in 2009. As captain, W.H. would pinch the inmate's arm "hard enough to wake him if he's asleep." W.H. testified that he received oral, written, and physical training regarding the consciousness assessment from A.P., D.C., and another officer. W.H. testified that A.P. instructed him to stay at his place by the gurney if the inmate reacted. W.H. stated that no inmate ever reacted after he performed the consciousness assessment.
After setting out the factual background and procedural history of the case, the district court proceeded, first, to consideration of Arthur's Eighth Amendment claim. The district court summarized the trial testimonies of Dr. Zentner and ADOC attorney Hill on the issue of alternatives to midazolam — namely, pentobarbital and sodium thiopental. The district court then made these findings of fact, among others:
The district court then made these conclusions of law:
The district court then made these conclusions of law, among others:
After entering judgment in the ADOC's favor, the only issue remaining concerned the interplay of the current protocol with Arthur's alleged idiosyncratic health issues and medical condition, which the district court would address later.
On May 6, 2016, as to Arthur's as-applied claim based on his alleged health issues, the ADOC filed a motion for judgment on the pleadings or, in the alternative, for summary judgment. ADOC's motion argued that, to the extent that Arthur even adequately alleged an Eighth Amendment as-applied challenge based on his health concerns, the Defendants were entitled to summary judgment because (1) Arthur had failed to produce evidence of a genuine disputed fact that the use of midazolam is "sure or very likely to cause serious illness or needless suffering" by causing him to experience a painful heart attack; (2) Arthur had still failed to produce evidence of a genuine disputed fact that there are known and available alternatives that are feasible, readily implemented, and significantly reduce a substantial risk of severe pain; and (3) the district court should reject the "sham affidavits" offered by Arthur in support.
The ADOC attached to its motion a November 16, 2015, declaration by Dr. J. Russell Strader, Jr., Arthur's witness, and a transcript of Dr. Strader's December 8, 2015, deposition. Notably, Dr. Strader's November 2015 declaration about midazolam is his third declaration filed in this case. We first review Dr. Strader's two prior declarations about pentobarbital before addressing his declaration about midazolam.
In his first declaration back in March 2013, Dr. Strader criticized the use of pentobarbital for Arthur's execution. Although Arthur wants pentobarbital used now that Alabama cannot obtain it and must use midazolam, it is relevant to consider Arthur's previous position about pentobarbital. Back in 2013, Dr. Strader opined that (1) Arthur's "likelihood of having clinically significant
In his March 2013 declaration about pentobarbital, Dr. Strader stated that he was a board-certified cardiologist and the current Chief of Cardiovascular Services at a Texas hospital. As part of his routine clinical practice, he assessed the cardiovascular risk of patients scheduled to undergo surgery and anesthesia and, in particular, he assessed the likelihood that a patient would suffer a heart attack during or immediately after a cardiac procedure.
Dr. Strader's declaration included explanations of the "Hemodynamic and Anesthetic Actions of Pentobarbital and Thiopental," along with an overview of the relevant aspects of cardiovascular anatomy and physiology, coronary atherosclerosis, and myocardial ischemia/infarction. His declaration included an explanation that a coronary artery needs to be 70%
Dr. Strader's March 2013 declaration admitted that he had not examined Arthur but had reviewed his medical records only up until 2009. Although Dr. Strader's declaration did not indicate precisely what records he reviewed, approximately 68 pages worth of Arthur's medical history was included with the ADOC's summary judgment motion. These medical records indicate that Arthur has repeatedly refused to be seen by a doctor since at least 2009. Arthur was seen in the prison infirmary on January 17, 2009, where he complained of chest pain and atrial fibrillation. Arthur, however, refused medical care on this occasion, including a refusal to submit to an electrocardiogram ("EKG") on January 20, 2009.
The medical records include dozens of similar waivers, signed by Arthur, refusing various medical treatments. These waivers extend from 2009 until 2015. There is no indication that Dr. Strader, as of his first declaration in 2013, had access to or reviewed any probative post-2009 medical records for Arthur. There is also no reference, much less a diagnosis, to Arthur's ever having had a heart attack in his medical records.
According to Dr. Strader's review of Arthur's medical records as of 2009, Arthur was then 71 years old, with a history of hypertension (high blood pressure) and atrial fibrillation (irregular heart rhythm). In June 1999, Arthur visited the prison clinic and he complained of being short of breath, sweaty, and dizzy. According to the prison report, an EKG was performed at that time, and it was "abnormal." Dr. Strader opined that these symptoms are "identical to those experienced by persons with ongoing myocardial infarction."
In October 2004, Arthur was hospitalized for abdominal surgery, and he suffered from atrial fibrillation during that hospitalization. However, an echocardiogram performed around that time came back "essentially normal."
After reviewing these medical documents through January 2009, Dr. Strader opined that:
Dr. Strader opined that the use of pentobarbital would cause a drop in blood pressure and a heart attack in Arthur before the onset of the drug's sedative effect. Dr. Strader admits the sedative effect from pentobarbital will occur but opines that Arthur will experience pain from a heart attack "until such time" as the sedative effect reduces the pain.
After Alabama changed the first drug from pentobarbital to midazolam, Dr. Strader switched positions and wrote a second declaration. This time, in that second declaration, Dr. Strader now suggested pentobarbital should actually be used in Arthur's execution but only as a one-drug protocol. Dr. Strader opined that if pentobarbital were used as a one-drug protocol and "administered gradually and with due consideration for Mr. Arthur's medical condition," he did not believe that Arthur would suffer a heart attack before being properly anesthetized. Dr. Strader's second declaration was conclusory and gave no specifics on what "administered gradually" would mean or what steps would be necessary as "due consideration for Mr. Arthur's medical condition."
In his third declaration, Dr. Strader now criticizes the use of midazolam for use in executions, using precisely the same reasoning (and often the exact same wording) used in his earlier declaration condemning pentobarbital. Specifically, Dr. Strader now opines that (1) Arthur's likelihood of having obstructive CAD is at least 70%; (2) for patients with obstructive CAD, a large bolus dose of midazolam is "highly likely" to rapidly reduce blood pressure in patients with this disease, thereby triggering a heart attack; (3) the heart attack would occur before the appropriate sedation from midazolam; and (4) given the length of time between the onset of heart attack and the onset of sedation, "it is likely that Mr. Arthur would experience the pain of the heart attack until the sedative effects take effect to a sufficient degree to diminish the pain of the heart attack, which could occur several minutes after the onset of the heart attack." While the drug at issue was different, Dr. Strader's opinion and reasoning remained the same — that Arthur was "likely" to experience the pain of a heart attack before being fully sedated.
Dr. Strader's November 2015 declaration is essentially a recycled version of his
In his 2015 deposition, Dr. Strader elaborated on this opinion:
Dr. Strader reviewed Arthur's medical records but admitted that he had never personally examined Arthur, had never spoken to Arthur, and had never spoken to any doctors who had treated Arthur.
Based on the medical records provided to him, Dr. Strader noted that Arthur had high blood pressure, atrial fibrillation, and abnormalities on his EKGs that were "highly suggestive of coronary disease." Dr. Strader testified regarding the incident in June 1999 (where Arthur visited the prison clinic with complaints of being short of breath, sweaty, and dizzy and then had an EKG come back with "abnormal" results), and he stated that Arthur's symptoms and his abnormal EKG made it "possible" that Arthur had a heart attack back in 1999.
Dr. Strader reiterated his opinion from his declaration that the abnormal EKG, taken on January 15, 2009, was "diagnostic" of Arthur having suffered a previous heart attack, although Dr. Strader could not say when this prior heart attack occurred. When asked if he could diagnose a previous heart attack based just on an EKG, Dr. Strader replied, "Yes. Absolutely." Dr. Strader also referenced the January 2009 request for a cardiology consult contained in Arthur's medical records, but admitted that he did not know whether Arthur was ever actually evaluated by a cardiologist.
In Dr. Strader's opinion, if you administered even a 100-mg dose of midazolam to
Dr. Strader testified that, in his clinical practice, drops in blood pressure from 2-5 mg doses of midazolam can occur "within just a minute or two, sometimes sooner." He went on to say that, "extrapolating off of that experience to this very large dose, you would expect to see an extremely rapid and very large drop in blood pressure."
He explained that, for people with obstructed arteries, this rapid blood-pressure drop could result in a heart attack, because "you have to maintain a certain amount of pressure in order to keep fluid going through a tube that's got a fair amount of blockage in it. This is ... applied physics." He further explained that older people, starting at around age 70, tended to have bigger drops in blood pressure in response to the administration of midazolam.
In his deposition, Dr. Strader reviewed the medical articles and other material that he cited in his November 2015 declaration, which he stated lent support to the idea that midazolam leads to a drop in blood pressure. Dr. Strader admitted that (1) none of the articles or materials dealt with such high doses, and (2) none of the articles or materials explicitly stated that midazolam should not be used on people with CAD.
Dr. Strader stated that, based on his clinical experience, the sedation effects of a clinical dose of 2-5 mg of midazolam typically take about five minutes to take effect. He testified that he would typically use this dosage of midazolam on patients before "
While he opined that a 100-mg dose of midazolam would cause sedation within "three to five minutes," he could not give an exact time because such a dose is "far outside of the realm of anybody's clinical experience" and, indeed, the time to sedation "could be a very wide range." When asked about a 250-mg or 500-mg dose of midazolam, Dr. Strader stated that, "I'm not sure anybody really knows to what degree [sedation] would onset." Dr. Strader then indicated he would need to defer to an anesthesiologist about the onset time of sedation from a 500-mg dose of midazolam:
(Emphasis added).
Dr. Strader later stated he was aware that anesthesiologists use midazolam to induce anesthesia but he had never done that as it was outside the scope of his area of practice:
(Emphasis added). Similarly, when asked if he knew whether midazolam "is ever used to maintain anesthesia," he replied that the drug "carries an indication for that[, but] I wouldn't have direct knowledge any particular anesthesiologist's use of it for that reason."
Dr. Strader explained that anesthesiologists were not present when he performed his invasive cardiac procedures, and there was no policy or procedure on how much midazolam to give patients. Dr. Strader reiterated that he uses midazolam "in patients with coronary disease all the time in routine clinical practice."
Despite stating in his first declaration that a
Dr. Strader also would not know how to administer a large dose of midazolam gradually but would defer to an anesthesiologist:
(Emphasis added).
As to midazolam, the ADOC offered a declaration from Dr. Daniel Buffington, an expert witness in the field of pharmacy. Dr. Buffington is a clinical pharmacologist who holds a Doctor of Pharmacy and Master of Business Administration degrees. He is on the faculty of the University of South Florida Colleges of Pharmacy and Medicine, and he is also the president of the American Institute of Pharmaceutical Sciences.
Dr. Buffington agreed with Dr. Strader that a common clinical dosage of midazolam is 2 to 5 mg, and that the 500-mg dosage contemplated in the ADOC's protocol "is well beyond the dosage of any existing therapeutic application." Dr. Buffington explained that, when clinical doses of midazolam (2-5 mg) are used as an "anesthetic
Dr. Buffington stated that the medical literature "contradicts Strader's theoretical concerns" and "[t]here is no scientific or medical evidence to support the theory or concerns that midazolam (IV), at low or high dosages, would result in a significant hypotensive event ... prior to the onset of sedation, or is capable of inducing or worsening ischemic cardiac damage, acute cardiac events, excruciating pain and/or suffering."
The ADOC also submitted the midazolam manufacturer's package insert with its summary judgment motion. The insert states that sedation is achieved in 3 to 5 minutes after IV injection, and that,
In February 2016, the district court ordered the parties to meet and confer about a possible modified execution protocol. On March 8, 2016, as part of these negotiations, Arthur's counsel sent a letter to the ADOC about gradual administration of midazolam, requesting a trained professional to use several pieces of medical monitoring equipment and to administer other medication:
(Emphasis added).
Arthur also submitted Dr. Strader's fourth declaration, dated March 29, 2016. Dr. Strader stated that he was ethically prohibited from suggesting modifications to a lethal injection protocol. Accordingly, he merely explained what precautions are taken and procedures followed when administering midazolam in a clinical setting. Those precautions are:
Ultimately, the negotiations reached an impasse with the parties unable to agree on a modified execution protocol.
On May 13, 2016, Arthur moved for a new trial on his Eighth Amendment claim. He claimed that, three months after the trial, he discovered new evidence that compounded pentobarbital is available to the ADOC. He alleged that, after trial, the ADOC proffered Dr. Buffington as an expert for deposition in another case,
The ADOC opposed Arthur's motion for a new trial, arguing that Arthur had misrepresented Dr. Buffington's testimony. The ADOC submitted a more fulsome excerpt from Dr. Buffington's March 17, 2016, deposition testimony, which reflects that Dr. Buffington actually testified that (1) he knows pharmacists who are capable of compounding pentobarbital and would do it for the ADOC, but that (2) he would have to check with them first before he could give their names to the ADOC:
Subsequently, Dr. Buffington contacted these pharmacists but none were willing to compound pentobarbital for the ADOC or even allow Dr. Buffington to reveal their names. To show this, the ADOC submitted an affidavit from Dr. Buffington, dated
In his affidavit, Dr. Buffington further stated that he had testified at his earlier deposition that "the use of pharmaceuticals in lethal injections is an area of open discussion in the pharmacy community and that some colleagues I have encountered at professional events such as national conventions and conferences have commented that they would be willing to compound pentobarbital for use in lethal injections." Dr. Buffington explained that, after that deposition, counsel for the defendants asked him to contact pharmacists and pharmacies "to inquire if any were willing to be contacted directly by the ADOC concerning the performance of this type of technical service." To this end, he contacted 15 pharmacists, both within and outside of Alabama, and asked them "about their capability to compound sterile pentobarbital for intravenous [IV] use."
Dr. Buffington concluded that he maintained his belief that "there are pharmacists in the United States that are able to compound pentobarbital for use in lethal injections because other states have been reported to have obtained [it],"
The district court wrote that, "[d]istilled to its essence, Arthur's as-applied claim is that his cardiovascular issues, combined with age and emotional makeup,
As to Arthur's health issues, the district court concluded Arthur's Third Amended Complaint had failed to plead adequately or properly an "as-applied" claim and, alternatively, the district court questioned whether Arthur had presented sufficient evidence of any truly "unique health concerns" as to his execution. But in "an abundance of caution" the district court considered the merits of Arthur's as-applied claim.
Because that "as-applied" claim was based on Dr. Strader's declarations, the district court examined the methodology and foundation, or lack thereof, underlying Dr. Strader's opinions. The district court ultimately concluded that Dr. Strader's opinion was speculative and unreliable under
The district court pointed out that these facts are undisputed: (1) Dr. Strader has never examined Arthur; (2) Arthur has repeatedly refused to submit to medical examination; and (3) Arthur has not been seen or examined by a cardiologist since 2009.
The district court found that Dr. Strader's opinion — that Arthur's blood pressure would drop
First, the district court noted that there was evidence that clinical doses of midazolam were known to produce a drop in blood pressure. Moreover, Dr. Strader characterized the drug as both a sedative and an anesthetic.
The district court noted Dr. Strader's testimony that, with a clinical dose (2-5 mg) of midazolam, there was typically a gap of three to four minutes between the hemodynamic effects and the sedation effects of midazolam in clinical practice. But Dr. Strader acknowledged that none of the medical literature he relied on cautioned against using midazolam for patients with CAD and, indeed, Dr. Strader himself used midazolam routinely to sedate his cardiac patients during invasive cardiac procedures. Taking Dr. Strader's claim that he, as a cardiologist, had performed approximately 3,500 cardiac procedures with midazolam as a sedative and only 24 of those patients experienced a heart attack after being sedated, the district court calculated that less than 1% of those 3,500 patients suffered a heart attack following the administration of a clinical dose of midazolam.
The district court also analyzed the evidence regarding use of midazolam for "anesthesia." Dr. Strader had administered midazolam only for sedation purposes — which is a lighter level of sedation than full anesthesia. Dr. Strader "had no opinion as to what would be a clinical dose of midazolam sufficient to induce anesthesia." However, the midazolam package insert explains that, even at small clinical dosage levels, midazolam can induce both sedation and anesthesia in as little as 2 minutes without narcotic premedication. In other words, if a 2-5 mg dose of midazolam produced sedation or anesthesia in two minutes, Arthur had failed to show how long it took a 500-mg dose to achieve
The district court also pointed out that: (1) Dr. Strader had experience with small doses; (2) Dr. Strader declined to offer any opinion about the length of time it would take a 500-mg dose of midazolam to render a patient unconscious, reiterating many times that anesthesia was outside his field of expertise; and (3) nevertheless, Dr. Strader "remained of the opinion that the sedative effects of a 500-mg bolus dose would take longer than the hemodynamic effects."
The district court rejected Dr. Strader's opinion of the time gap as unreliable under
Even as to whether Arthur has CAD in the first place, the district court determined that, because Arthur had not submitted to a medical examination since 2009, Dr. Strader's opinion that Arthur suffered from CAD also "borders on being speculative and unreliable." As the district court explained, "[b]oth must exist — the heart condition and the gap [in time between the hemodynamic effects and the sedation effects of midazolam] Dr. Strader expects — for there to be a realistic likelihood of the heart attack" before sedation takes effect. Based on the evidence as presented, the court determined that "it cannot be said that a heart attack is sure or very likely at all; one cannot make that connection from the medical evidence." Therefore, Arthur had failed to raise a genuine dispute of material fact of a "sure or very likely risk of severe pain in the application of Alabama's execution protocol as applied to him," and this failure "dooms his as-applied Eighth Amendment claim."
As to Arthur's motion for a new trial, the district court concluded that "Arthur's `new evidence' is nothing but generic testimony from Dr. Buffington describing passing conversations he has had with other pharmacists during national conventions concerning the use of pharmaceuticals, including pentobarbital, for lethal injection." However, in his subsequent affidavit, Dr. Buffington actually admitted that he contacted 15 pharmacists and none were willing or able to provide compounded pentobarbital for use in lethal injections for the ADOC. Thus, Dr. Buffington's earlier deposition testimony was not "likely to produce a new result" at trial, and the motion for a new trial was denied.
On July 19, 2016, the district court entered its final judgment in favor of the defendants. Arthur timely appealed the final judgment to our Court. We read the Final Judgment to encompass both the April 15, 2016 and July 19, 2016 orders. This Court ordered expedited briefing, which is now complete as of October 19, 2016. The Alabama Supreme Court has set an execution date of November 3, 2016.
With this lengthy procedural history in mind, we turn to Arthur's arguments on
The Eighth Amendment prohibits "cruel and unusual punishments." U.S. Const. amend. VIII. The Supreme Court has repeatedly held the death penalty to be constitutional.
The Supreme Court has required prisoners seeking to challenge a state's method of execution to meet a "heavy burden."
This requires more than merely showing "a slightly or marginally safer alternative."
Critical to this case,
While the Supreme Court in
And earlier in 2016, in another Alabama-execution case, this Court rejected an inmate's claim that the exact same alternatives that Arthur proposes here — namely, single-drug protocols of either pentobarbital
In that same Alabama-execution case, this Court determined that petitioner Brooks had not shown that sodium thiopental was available.
Viewing these precedents together, we conclude that
With this legal framework in mind, we now address each of Arthur's arguments on appeal in turn.
Arthur claims that the district court erred in finding that he had not carried his burden to show that pentobarbital is a feasible and readily implemented alternative
The standard of review and burden of persuasion are critical to the resolution of this case. The Supreme Court has made unequivocally clear that, in method-of-execution challenges, (1) the district court's factual findings are reviewed under a deferential clear error standard, and (2) the petitioner-inmate bears the burden of persuasion.
In
The Supreme Court in
Here, the district court's factual finding that pentobarbital was not available to the ADOC for use in executions was not clearly erroneous. On the contrary, substantial record evidence supports that finding, including (1) Arthur's own concession that the ADOC's supply of commercially manufactured pentobarbital expired in November 2013; (2) Dr. Zentner's inability to point to any source willing to compound pentobarbital for the ADOC; and (3) ADOC lawyer Hill's testimony that, despite contacting 29 potential sources for compounded pentobarbital (including the departments of corrections of four states and all of the compounding pharmacies on Dr. Zentner's list), she was unable to procure any compounded pentobarbital for the ADOC's use in executions.
Arthur would have us hold that if a drug is capable of being made and/or in use by other entities, then it is "available" to the ADOC. Arthur stresses that: (1) pharmacies throughout Alabama are theoretically capable of compounding the drug; (2) the active ingredient for compounded pentobarbital (pentobarbital sodium) is generally available for sale in the United States; and (3) four other states were able to procure and use compounded pentobarbital
We expressly hold that the fact that other states in the past have procured a compounded drug and pharmacies in Alabama have the skills to compound the drug does not make it available to the ADOC for use in lethal injections in executions. The evidentiary burden on Arthur is to show that "there is
To adopt Arthur's definition of "feasible" and "readily implemented" would cut the Supreme Court's directives in
And while four states had recently used compounded pentobarbital in their own execution procedures, the evidence demonstrated that none were willing to give the drug to the ADOC or name their source. As we have explained, "the fact that the drug was available in those states at some point ... does not, without more, make it likely that it is available to Alabama now."
Arthur also argues that the ADOC did not make a "good faith effort" to obtain pentobarbital.
As an alternative, independent reason for affirmance, we also conclude that even if
Under these record facts, we cannot fault at all the district court's finding that the procurement of compounded pentobarbital was not "feasible and readily implemented as an execution drug in Alabama, nor [was] it readily available to the ADOC."
We also reject Arthur's argument that the district court's ruling was a "nullification" of his Eighth Amendment rights. The district court even waited for
As for the alleged risk of severe pain in Alabama's current protocol, "it is difficult to regard a practice as `objectively intolerable' when it is in fact widely tolerated."
Indeed, in
Arthur has failed to show not only that compounded pentobarbital is an available alternative to the ADOC but also that ADOC's protocol creates a substantial risk of severe pain when compared to available alternatives.
For all of these reasons, we affirm the district court's determination that the ADOC was entitled to judgment on Arthur's facial Eighth Amendment challenge.
Before leaving pentobarbital, we address one more claim Arthur raises about that drug. Arthur argues that the district court abused its discretion in limiting his discovery regarding primarily the ADOC's knowledge of and efforts to obtain compounded pentobarbital as an alternative method of execution. We review the district court's discovery decisions for abuse of discretion.
Here, the district court did not disallow all discovery about pentobarbital but did restrict the scope of some additional discovery. For example, the district court allowed additional discovery as to the "availability or unavailability of pentobarbital or compounded pentobarbital" to the ADOC, including a general description of the State's "efforts to obtain pentobarbital, including whether the pentobarbital was
Accordingly, during ADOC lawyer Hill's November 2015 deposition and again at the January 2016 trial, Arthur questioned Hill about the ADOC's attempts to obtain compounded pentobarbital. According to Hill, although she repeatedly attempted to obtain compounded pentobarbital from various sources, including the 18 pharmacies identified by Arthur's expert witness, all of her attempts were unsuccessful.
Arthur complains that the district court did not require the ADOC to disclose the names of the drug suppliers who talked to the ADOC about pentobarbital during the ADOC's efforts to procure the drug for executions. Given the controversial nature of the death penalty, it is not surprising that parties who might supply these drugs are reluctant to have their names disclosed.
Considering the district court's broad discretion, we cannot say its decision about discovery resulted in "substantial harm" to Arthur's case.
On appeal, Arthur argues that "if discovery revealed" that ADOC did not pursue certain sources, or "if discovery revealed" that negotiations broke down over prices, it would impact his claim. He worries that, without access to this discovery, the ADOC "could have presented self-serving representations." All of this is pure speculation. Arthur never deposed or questioned even the prospective suppliers that his own expert identified about whether they would provide compounded pentobarbital to the ADOC. Arthur has given us no reason to think that the ADOC lied or presented false evidence either during discovery or at trial and, indeed, the district court noted that the ADOC had claimed to produce everything of relevance. Under these circumstances, we cannot say that the district court abused its discretion in denying the discovery sought by Arthur.
Because Arthur's facial Eighth Amendment claim so readily fails, Arthur turns his focus in this appeal to his "as-applied" Eighth Amendment claim. We explain why the district court did not err in granting summary judgment on Arthur's "as-applied" claim.
The first hurdle for Arthur is that the pleading burden and standard of proof set forth in
Thus, Arthur had the burden to present evidence sufficient to create a genuine issue of disputed material fact as to whether midazolam creates a substantial risk of severe pain
As to the alternative-method requirement for his as-applied claim, Arthur has not established, as explained above, that a one-drug protocol consisting of compounded pentobarbital (or, for that matter, a one-drug protocol consisting of sodium thiopental) is a "known and available" alternative to the ADOC at this time for any inmate, much less as to Arthur on November 3, 2016. That leaves only his proposed alternative of material and extensive modifications to Alabama's current protocol, which Arthur suggests will reduce "to some extent" but not eliminate the risk of his having a heart attack.
Arthur's proposed modified protocol has many components, starting with the administration of midazolam gradually. In his fourth declaration, Dr. Strader opined that administration of midazolam at a rate "closer to that used in clinical practice — i.e., 0.5 mg to 2 mg at a time, repeated every two to four minutes" would reduce the risk of a precipitous drop in blood pressure. Dr. Strader's fourth declaration does not state how long these small dosages should be administered to the inmate, what the intended effect would be, how to gauge when that intended effect would be reached, at what point unconsciousness would be reached in gradual administration, or at what point the second and third drugs should be administered. Arthur concedes, as he must, that a gradual administration of midazolam has not previously ever been used in a lethal-injection execution, which alone suggests Arthur's difficulty in proving that a gradual administration is a significantly safer alternative.
Arthur's proposed modified protocol also includes extensive monitoring with multiple pieces of sophisticated medical equipment, the use of additional "medication" and IV fluids, and the attendance of a "trained professional." Arthur's March 8, 2016, letter to the ADOC's attorneys requested that a "trained professional" use an electroencephalogram, an electrocardiogram ("EKG"), and a bispectral index monitor "and/or other appropriate methods"
Dr. Strader echoed that, "[i]n the clinical setting, continuous EKG monitoring, continuous pulse oximetry monitoring ... and frequent blood pressure monitoring (every one to two minutes) are common." As to the additional medication and fluids, Dr. Strader stated that, "[i]n clinical practice," if a patient is in danger of a heart attack, "pressors" or "agents to increase blood pressure are typically given, such as intravenous phenylephrine (Neosynephrine) or intravenous dopamine." In addition, "in clinical practice, the opioid fentanyl is often administered with midazolam, and the drug romazicon may be used to reverse midazolam's effects."
Again, Arthur's proposed modified protocol is light on specifics. Other than Dr. Strader's assertion that the "trained professional" need not hold a medical degree, Arthur does not posit what training, or how much training, this professional must have, who this person might be or where the ADOC might find them to participate in an execution within a prison setting. Arthur does not explain how the addition of five separate monitoring machines and/or procedures would be incorporated into the ADOC's current protocol. Arthur does not state what sort of anomaly in that monitoring would require action by the trained professional, nor what those actions would include.
While Dr. Strader stated that "changes in EKG monitoring" indicating the onset of a heart attack could lead to the administration of pressors, he does not state what sort of "changes" would require this, the amount of pressors to be given, or in what order in relation to the rest of the lethal injection protocol they should be administered. Arthur does not suggest at what dosage the trained professional would administer the opioid fentanyl or the drug romazicon to the inmate or under what factual circumstances those drugs should be administered and for how long. Arthur also has presented no evidence that suppliers would provide these medicines, such as fentanyl, to the ADOC
More importantly, though, is that Arthur admitted in a letter to the ADOC's counsel that his proposed modified protocol "may reduce
Alternatively, we agree with the district court that Arthur has not introduced any
In any event, we need not rely on the lack of specifics because Arthur has not shown that his proposed modified protocol will "significantly reduce" any "substantial risk of severe pain" or is constitutionally required
Thus, the district court did not err in concluding that there was no genuine dispute of material fact as to whether Arthur could meet his burden of proof to show that his proposed material and extensive changes to the midazolam protocol would be a known and available alternative that would "significantly reduce a substantial risk of severe pain." Without a proper showing on this alternative-method prong, Arthur's as-applied Eighth Amendment claim is without merit and this alone warranted the district court's grant of summary judgment. However, because the district court went on to address the substantial-risk-of-severe-pain prong of the
To be clear, because, in his as-applied claim, Arthur has not carried his burden to show a known and available alternative, we need not reach his claim that the ADOC's use of 500 mg of midazolam
We review a district court's decision to exclude expert testimony under
Federal Rule of Evidence 702 governs the admission of expert testimony in federal court and provides that:
Fed. R. Evid. 702.
Applying these principles, this Court has held that, to be admissible, three requirements must be met:
Dr. Strader is a qualified cardiologist and competent to testify as such. But Dr. Strader's opinion testimony hinged on the existence of a measurable time gap between the hemodynamic and sedative effects of a 500-mg dose of midazolam on patients with CAD. The district court's
Dr. Strader's opinion was based on at least five underlying ingredients in his methodology mix: (1) Arthur actually has, or is "highly likely" to have, a clinically significant case of CAD; (2) a 500-mg dose of midazolam will result in a precipitous and dangerous blood pressure drop in Arthur; (3) that blood pressure drop will in turn trigger a heart attack in Arthur; (4) the sedative effects of a 500-mg dose of midazolam will take longer than
First, we address Dr. Strader's medical opinion that Arthur "likely" has CAD. It is undisputed that (1) no doctor has ever actually diagnosed Arthur with CAD; and (2) Dr. Strader himself has never examined Arthur, talked to Arthur's treating physicians, or done anything more than review the medical records given to him. Further, Arthur's medical records nowhere state that Arthur has ever had a heart attack, has ever been diagnosed with a heart attack, or has ever had a procedure performed to assess whether Arthur has any blockage in his arteries or at what level.
The most the medical records say is that Arthur had "abnormal" EKGs in 1999 and 2009, twice had atrial fibrillation (during his 2004 abdominal surgery and his 2009 EKG), and had a normal echocardiogram in 2004. There is no description of what was "abnormal" in the EKGs. Arthur did visit the prison clinic on two occasions complaining of being short of breath, dizzy, sweaty, and/or having chest pains. But these two visits (in 1999 and 2009) were ten years apart, and Arthur has never requested any medical treatment from a cardiologist.
In fact, Dr. Strader relies primarily on Arthur's age, hypertension, atrial fibrillation, and "symptoms of recurrent chest pain" as merely "risk factors" for coronary heart disease, as opposed to the missing diagnosis of coronary heart disease. The State argues that it was not an abuse of discretion for the district court to find Dr. Strader's opinion — that it was "highly likely" that Arthur suffers from CAD — "borders on being speculative and unreliable." The State asserts that a "likelihood" is not evidence that Arthur actually suffers from an obstructive coronary heart condition.
We need not resolve the CAD debate because the district court did not abuse its discretion in concluding Dr. Strader's time-gap theory was speculative and not reliable. We will assume that Arthur likely has CAD and examine the next steps in Dr. Strader's methodology. Dr. Strader offered the opinion that "[w]hen midazolam is administered in doses larger than those administered in clinical practice, including the 500 mg dose directed by the ADOC protocol, it is highly likely that" the drug will cause a rapid drop in blood pressure and that this drop will in turn "immediate[ly]" cause a heart attack in Arthur. Dr. Strader's basis for his opinion about what will happen upon administration of a 500-mg bolus dose of midazolam is based solely on his clinical experience with dosages of 2-5 mg of midazolam that he has used to sedate his own cardiac patients into a deep, but arousable, sleep for invasive cardiac procedures. Dr. Strader admitted that he had no experience with a 500-mg dose of midazolam, or any dose larger than 20 mg.
In his deposition, Dr. Strader conceded that the medical literature that he relied upon did not address such large doses of midazolam nor did it expressly state that
Nonetheless, we will assume that Arthur likely has CAD and 500 mg of midazolam will cause Arthur "likely" to have a drop in blood pressure and then suffer a heart attack. The most critical, but most speculative, part of Dr. Strader's opinion is his time-gap theory. According to Dr. Strader's best guess, a 500-mg dose of midazolam could cause sedation in three to five minutes, but the heart attack will occur "immediately" after the drop in blood pressure, which he testified happens in one to two minutes with small clinical doses of midazolam. Dr. Strader's time gap is imprecise and even, under one reading of his own testimony, it may take two minutes for the blood pressure to drop but the sedation may occur in three minutes, leaving one minute for the heart attack to start before sedation. The district court did not abuse its discretion in concluding this time-gap part of Dr. Strader's testimony was speculative and unreliable.
Here, Dr. Strader admitted he had used midazolam only for sedation, an entirely different goal than what the ADOC uses it for: anesthesia. And sedation, as Dr. Kaye testified, is different from anesthesia — it is a lighter form of unconsciousness. Dr. Strader is not an anesthesiologist. While Dr. Strader testified that he was aware that midazolam was approved for use in "anesthesia," and he "thinks some anesthesiologists use it for that purpose," Dr. Strader did not have "any direct knowledge of what they do." The midazolam package insert corroborates this difference between sedation and anesthesia, noting that while "sedation" may take 3-5 minutes, use of midazolam as an anesthetic induction agent can take as little as 2 minutes without narcotic premedication.
Moreover, it is uncontroverted that midazolam's sedative or anesthetic effect is dose-dependent, meaning that the effects of midazolam are stronger and occur more quickly with an increase in the dosage. Dr. Strader could not give an opinion about how long it would take a person to be rendered unconscious after being given a 500 mg dose of midazolam because that is "outside [his] realm of practice."
As to his time gap estimate, Dr. Strader only extrapolated from his clinical practice of 2-5 mg of midazolam as to the onset of both the sedative and hemodynamic effects of 500 mg of midazolam. Arthur is correct that, in certain situations, opinions based on extrapolations from available data are permissible.
Simply put, Dr. Strader presented only speculative evidence regarding the first number in his attempt at a time-gap measurement. Indeed, when asked how long it would take to render a patient unconscious using a 500-mg dose of midazolam, he was never able to provide an answer, acknowledging that this was "outside [his] realm of practice." The problem for Arthur is not that Dr. Strader engaged in extrapolation, it is that Dr. Strader did not have sufficient information to extrapolate
When carefully analyzed, it is apparent that the methodology Dr. Strader used to reach his opinion regarding the time "gap" between the hemodynamic and sedative effects of midazolam was not reliable, nor was Dr. Strader qualified to testify competently as to these matters.
Without Dr. Strader's opinion, Arthur had no evidence whatsoever to meet his burden of demonstrating that, as applied to him, Alabama's current lethal injection protocol was "sure or very likely to cause serious illness and needless suffering, and give rise to sufficiently imminent dangers."
But
Arthur argues that the district court erroneously applied Eighth Amendment law from
At trial, the parties presented conflicting evidence as to whether the ADOC execution
Relying on language from
The district court did not err in rejecting the training portion of Arthur's Equal Protection claim. Arthur's arguments ignore the district court's explicit factual finding that "the consciousness assessment has been
Moreover, we discern no error in the district court's application of
To satisfy Arthur, all ADOC execution team members must pinch inmates with approximately identical force and pinch as hard as they can because this is the standard used in a medical setting. But this is not what the Constitution requires. In
And in
We leave for another day the question of whether an additional safeguard such as Alabama's consciousness assessment is constitutionally required under the Eighth Amendment. It is enough that the district court found that Alabama does conduct the consciousness assessment as part of its lethal injection protocol, and the Supreme Court has made clear that the safeguards implemented during an execution need not match a medical standard of care.
Arthur argues that the district court improperly denied him leave to amend his Second Amended Complaint to plead the firing squad as an alternative method of execution. Arthur made this request in August 2015, four years after he filed this third § 1983 action back in 2011 and 13 years after Alabama adopted lethal injection as its method of execution.
The district court's operative order did not expressly state that its denial was based either on futility (as Arthur claims) or on prejudice and undue delay (as the State contends), although it listed all of these as reasons that it could deny leave to amend under the law. Instead, the district court concluded that "execution by firing squad is not permitted by [Alabama] statute and, therefore, is not a method of execution that could be considered either feasible or readily implemented by Alabama at this time." Even under a
Again, under controlling Supreme Court precedent, Arthur had the burden to plead and prove both that (1) Alabama's current three-drug protocol is "sure or very likely to cause serious illness and needless suffering, and give rise to sufficiently imminent dangers"; and (2) there is an alternative method of execution that is feasible, readily implemented, and in fact significantly reduces the substantial risk of pain posed by the state's planned method of execution.
Because Arthur did not satisfy the first prong as to midazolam, that means his firing-squad claim fails in any event. Indeed, as outlined in great detail above, Arthur has not carried his heavy burden to show that Alabama's current three-drug protocol — which is the same as the protocol in
As an alternative and independent ground, even if Arthur had proved midazolam may likely cause him harm, which he has not done, Arthur's proposed amendment failed to show that execution by firing squad is a feasible, readily implemented, and significantly safer alternative method of execution when compared to Alabama's planned lethal-injection method of execution that has been repeatedly approved by the courts and successfully carried out in the past.
Alabama's execution statute is Ala. Code § 15-18-82.1. By way of review, that statute allows all persons sentenced to death
Arthur's main argument has three parts: (1) that under the Alabama statute, Alabama can execute him by "any constitutional method of execution," (2) that a firing
First, it is undisputed that a firing squad is not a currently valid or lawful method of execution in Alabama. Therefore, an Alabama state trial court would be without any authority to order Arthur to be executed by firing squad, just as the ADOC would be without authority to execute Arthur by that method, without the Alabama legislature fundamentally rewriting the state's method-of-execution statute or one of the courts named in the statute already striking down as unconstitutional either electrocution or lethal injection. But neither electrocution nor lethal injection has been declared unconstitutional by this Court, the Alabama Supreme Court, or the United States Supreme Court.
In this § 1983 suit, Arthur brings a narrow challenge to two aspects of Alabama's lethal injection protocol (midazolam and the consciousness assessment) and does not argue or even suggest that lethal injection is
Arthur argues, nevertheless, that
We do recognize that, in contrast to Alabama, Utah has a state statute that, while it prescribes lethal injection as the primary method of execution, allows the state to use a firing squad if (1) "a court holds that a defendant has a right to be executed by a firing squad," (2) "a court holds that execution by lethal injection is unconstitutional on its face" or "as applied," or (3) "the sentencing court determines the state is unable to lawfully obtain the substance or substances necessary to conduct an execution by lethal intravenous injection." Utah Code Crim. Proc. § 77-18-5.5(1)-(4). Similarly, Oklahoma law provides for firing squad as the quaternary option for carrying out an execution, making it available
Utah and Oklahoma are the only states that have statutes contemplating execution by firing squad, and lethal injection is still the primary method of execution in both of those states, as it is in every state that allows for capital punishment. Thus, to the extent that Arthur relies on
Arthur argues, nevertheless, that a state could "legislatively exempt" itself from Eighth Amendment review simply by adopting a narrow method of execution without any prescribed alternatives, thereby preventing challengers from identifying a statutorily authorized alternative method. But the Alabama legislature has authorized
Moreover, the Supreme Court has recognized that requiring a state to amend its method-of-execution statute or to authorize a variance from that statute "impos[es] significant costs on the State and the administration of its penal system."
In considering whether Arthur's proposed alternative is "feasible" and "readily implemented," it is also important to note that the firing squad is a vastly different method of execution from electrocution and lethal injection, which are the only methods of execution that Alabama has employed in the past ninety years. As far as we can tell, Alabama has never carried out an execution by firing squad or statutorily recognized it as a method for carrying out executions. Indeed, Arthur does not say that any ADOC employee would have the first idea about how to carry out an execution by this method, and, undeniably, doing so would require a lot more than merely buying some new supplies for the ADOC to begin carrying out executions by this new method. The firing squad has not been used even in Utah since 2010.
As we see it, our dissenting colleague errs in claiming that our opinion contravenes
We are also unpersuaded by the concerns forwarded by Arthur and the dissent that giving this deference to states will effectively cut off inmates' ability to advocate for more humane alternative methods of execution, as contemplated by
Furthermore, our dissenting colleague is concerned that our opinion will foreclose all but lethal-injection-alternative challenges and that inmates can never win such suits due to the secrecy surrounding executions and states' admitted challenges in locating sources for the drugs. These practical constraints do not rob the State of Alabama, or any other state, of its right to choose the method of execution it wishes to use, so long as the state complies with the requirements of the United States Constitution. These constraints should also be weighed against the practical problems of instituting an untested (in Alabama) protocol for execution by firing squad. While Arthur points to Utah as an exemplar, the reality is that formulating a new protocol and locating the people and resources necessary to carry out such an alternative (even if feasible, readily implementable, and significantly safer), would
Arthur's strategy here to avoid execution is to claim that the ADOC should employ a profoundly different method of execution that is not legal in Alabama and has long been abandoned by states seeking to employ the "most humane" method of execution available, lethal injection.
For these reasons, the firing squad is not an alternative method of execution that is available, feasible, or readily implemented by the ADOC and, thus, the district court did not err in disallowing this third amendment to Arthur's complaint. And furthermore, absent a showing that the methods chosen by the Alabama legislature pose an unconstitutional risk of pain, either
The district court did not err in entering final judgment in favor of the ADOC and against Arthur on all claims. Accordingly, we affirm.
Given that this Court has determined Arthur's appeal lacks merit, the Court denies Arthur's motion to stay his November 3, 2016 execution for failure to show a
WILSON, Circuit Judge, dissenting:
Under the Majority's decision, state law can dictate the scope of the Constitution's protections. Thomas Arthur raises a method-of-execution claim proposing the firing squad as an execution alternative, and the Majority finds that state law defeats this constitutional claim. By misreading an Alabama statute, the Majority creates a conflict between the claim and state law. The Majority then resolves that faux conflict in favor of state law, taking the unprecedented step of ascribing to states the power to legislatively foreclose constitutional relief. These missteps nullify countless prisoners' Eighth Amendment right to a humane execution.
The Eighth Amendment guarantees a death row prisoner the right to relief when he faces a method of execution that is "sure or very likely to cause serious illness and needless suffering" and there is a "feasible" and "readily implemented" alternative that "significantly reduce[s] a substantial risk of severe pain." Baze v. Rees, 553 U.S. 35, 50-52, 128 S.Ct. 1520, 1531-32, 170 L.Ed.2d 420 (2008) (plurality opinion) (internal quotation marks omitted); Glossip v. Gross, 576 U.S. ___, ___, 135 S.Ct. 2726, 2737, 192 L.Ed.2d 761 (2015). Arthur seeks to vindicate this right. He asserts that Alabama's current three-drug lethal injection protocol is sure or very likely to cause him severe pain, and he seeks to amend his complaint to propose the firing squad as an execution alternative.
Arthur should be permitted to amend his complaint to include the firing squad as an execution alternative to Alabama's lethal
Arthur requested to amend his complaint shortly after the Supreme Court confirmed in Glossip that prisoners must plead and prove an execution alternative to obtain method-of-execution relief.
The Majority now affirms that finding. The Majority determines that the firing squad is not feasible and readily implemented because § 15-18-82.1 of the Alabama Code does not authorize the firing squad. Thus, according to the Majority, a state can restrict a prisoner's access to Eighth Amendment relief by legislatively rejecting a viable execution alternative.
The Majority's analysis of Arthur's request to amend his complaint is legally flawed and has unacceptable consequences for death row prisoners throughout this circuit.
Section 15-18-82.1 states, in relevant part:
Ala. Code § 15-18-82.1 (2002). The Majority concludes that Alabama cannot deviate from a prisoner's designated method of execution unless electrocution or lethal injection is declared per se unconstitutional.
This interpretation of § 15-18-82.1 does not pass muster. Subsection (h) allows Alabama to turn to the firing squad — a "valid method of execution" — in "case[s]" where our court declares Alabama's planned "execution method" for a prisoner unconstitutional. See § 15-18-82.1(h). Alabama's planned "execution method" for Arthur is Alabama's three-drug lethal injection protocol, and Arthur claims that the protocol is unconstitutional. See id. If our court agreed with him, then subsection (h) would allow Alabama to utilize the firing squad to enforce Arthur's death sentence. Because this case could implicate subsection (h) and open the door to the firing squad, § 15-18-82.1 is not a barrier to Arthur relying on the firing squad. Arthur's firing-squad claim thus conflicts only with the Majority's flawed interpretation of Alabama law, not Alabama law itself.
Second, even if § 15-18-82.1 did not permit the firing squad here, the Majority's conclusion that the statute precludes Arthur from relying on the firing squad would still be erroneous. The Majority contravenes Baze and Glossip, as well as the Supremacy Clause, in relying on a state statute to limit Arthur's access to Eighth Amendment relief. Under Baze and Glossip, a state cannot make an execution alternative not feasible and readily implemented by legislatively rejecting the alternative. A state's rejection of an execution alternative is irrelevant to the "feasible and readily implemented" inquiry. Moreover, in holding that a state can dictate that inquiry and foreclose an execution alternative, the Majority infringes the Supremacy Clause. The Majority's holding affords states the power to thwart viable method-of-execution claims. That is unprecedented. States cannot render an execution alternative not feasible and readily implemented — and thereby insulate themselves from constitutional scrutiny — by opposing the alternative through legislation or any other means. The Supremacy Clause precludes that type of state incursion on the Eighth Amendment.
Finally, the practical consequences of the Majority's mistakes are deeply troubling.
Arthur's request to die by the firing squad is not at odds with Alabama law. The plain language of § 15-18-82.1 permits Alabama to turn to the firing squad under the circumstances presented here. The Majority erroneously concludes that the statute bars Alabama from using the firing squad to execute Arthur. The Majority's misreading of the statute not only creates a faux conflict with Arthur's firing-squad claim but also impairs Alabama's ability to enforce the death penalty.
Section 15-18-82.1 states:
Ala. Code § 15-18-82.1. Alabama enacted this section in 2002 when it first changed its default method of execution from electrocution to lethal injection. In doing so, Alabama shrewdly expected challenges to the constitutionality of lethal injection and its administration of lethal injection. Section 15-18-82.1 not only prescribes lethal injection as the default method of execution but also establishes contingency plans in the event that: (1) lethal injection is declared per se unconstitutional or (2) Alabama's lethal injection protocol is declared unconstitutional.
Subsections (a) and (b) of § 15-18-82.1 designate lethal injection as Alabama's primary method of execution, while affording prisoners a one-time opportunity to choose electrocution as their designated method in lieu of lethal injection. And subsections (c) and (h) afford Alabama the flexibility to deviate from a prisoner's designated method of execution and specific execution protocol if either is declared unconstitutional. Those subsections serve as complementary safety valves, ensuring that Alabama can fulfill its goal of carrying out executions. Subsection (c) guarantees Alabama flexibility by providing that Alabama can utilize "any constitutional method of execution" if lethal injection or electrocution is struck down as per se unconstitutional. § 15-18-82.1(c). Subsection (h) complements subsection (c), as it protects Alabama's ability to carry out an execution when a prisoner successfully attacks the specific lethal-injection or electrocution protocol that Alabama plans to use to kill him. That subsection states that Alabama can turn to "any valid method of execution" in "any case" in which its planned "execution method is declared unconstitutional." § 15-18-82.1(h).
Arthur's designated method of execution is lethal injection, as he did not opt for electrocution during the time period allotted in subsection (b). See § 15-18-82.1(a), (b). Pursuant to subsection (f), the Alabama Department of Corrections has elected to carry out Arthur's lethal injection using a three-drug, midazolam-based protocol. Arthur asserts that this planned "execution method" violates the Eighth Amendment. See § 15-18-82.1(h). If our court agreed with Arthur, then Alabama would be able to resort to "any valid method of execution," including the firing squad, to fulfill its goal of executing Arthur. See id.; Glossip, 135 S.Ct. at 2732 (noting that the firing squad is a presumably valid, constitutional method of execution). As such, through this litigation, § 15-18-82.1(h)'s safety valve could be implicated, thereby opening the door to the firing squad. The firing squad is a plausible execution alternative in Alabama.
However, the Majority departs from the plain language of § 15-18-82.1 and concludes
The Majority also erroneously determines that under § 15-18-82.1 Alabama can turn to the firing squad only if lethal injection or electrocution is declared per se unconstitutional.
As noted above, subsection (h) states:
Ala. Code § 15-18-82.1(h). At first glance, it is possible to read this sentence in a manner consistent with the Majority's interpretation of § 15-18-82.1. That is, the sentence could be interpreted as permitting Alabama to turn to an alternative method of execution, such as the firing squad, only if lethal injection or electrocution is declared per se unconstitutional. But because, as the Majority concludes, subsection (c) stands for that exact proposition, interpreting subsection (h) to convey the same message violates an elementary rule of statutory interpretation — that we must give effect to each provision. See United States v. Butler, 297 U.S. 1, 65, 56 S.Ct. 312, 319, 80 L.Ed. 477 (1936) ("These words cannot be meaningless, else they would not have been used."). The correct interpretation of subsection (h) — and the only interpretation that avoids surplusage — is that, if the specific "execution method" in a "case" is declared unconstitutional, Alabama can resort to "any valid method of execution." See Ala. Code § 15-18-82.1(h).
This interpretation is also consistent with the subsections immediately preceding
Yet, even assuming that the plain language of § 15-18-82.1 is ambiguous and the Majority's interpretation is plausible, the statute must still be read to permit the firing squad in this case. In the face of such ambiguity, an interpretation that "furthers rather than obstructs [the statutory text]'s purpose should be favored." See Scalia, supra, at 63; SEC v. C.M. Joiner Leasing Corp., 320 U.S. 344, 350, 64 S.Ct. 120, 123, 88 L.Ed. 88 (1943) ("[C]ourts [sha]ll construe the details of an act in conformity with its dominating general purpose."). This rule of statutory construction militates against the Majority's interpretation of § 15-18-82.1.
The purpose of subsections (c) and (h) is clear: to ensure that Alabama can enforce the death penalty through an alternative form of execution when its chosen means of executing a prisoner is declared unconstitutional. Under the reading described above, § 15-18-82.1 provides Alabama the authority to (1) turn to an alternative form of execution upon a per se finding that lethal injection or electrocution is unconstitutional, see Ala. Code § 15-18-82.1(c), and (2) employ "any valid method of execution" when its specific execution protocol is declared unconstitutional, see § 15-18-82.1(h). In contrast, the Majority's interpretation affords Alabama the authority to use an alternative form of execution only when lethal injection or electrocution is declared per se unconstitutional. This reading plainly limits Alabama's ability to turn to an alternative form of execution in the face of constitutional scrutiny. The interpretation obstructs the purpose of subsections (c) and (h) and impairs Alabama's ability to enforce the death penalty.
The Majority's determination that § 15-18-82.1 precludes Arthur from relying on the firing squad is inconsistent with the plain language of the statute and the purpose underlying subsections (c) and (h). Arthur's firing-squad claim conflicts only with the Majority's flawed interpretation of Alabama law, not Alabama law itself.
Even assuming that § 15-18-82.1 does not permit the firing squad under the present circumstances, the Majority's dismissal
In Baze, the Supreme Court first held that a method-of-execution claimant must identify a "feasible" and "readily implemented" execution alternative that "significantly reduce[s] a substantial risk of severe pain." See Baze, 553 U.S. at 52, 128 S.Ct. at 1532; Glossip, 135 S.Ct. at 2737. According to the Baze Court, "[i]f a [s]tate refuses to adopt ... an alternative in the face of these documented advantages, without a legitimate penological justification for adhering to its current method of execution, then [the] [s]tate's refusal ... can be viewed as `cruel and unusual.'" Baze, 553 U.S. at 52, 128 S.Ct. at 1532. Baze neither placed any restrictions on the categories of execution alternatives that a claimant can rely on to demonstrate such cruel and unusual conduct, nor limited possible alternatives to those that the claimant's state has approved. See id., 128 S.Ct. at 1532. To satisfy Baze, an alternative must simply have the "documented advantages" of being "feasible, readily implemented," and significantly safer than the state's designated execution method. See id., 128 S.Ct. at 1532.
Subsequently, Glossip confirmed this "execution alternative" requirement, stating:
Glossip, 135 S.Ct. at 2737 (internal quotation marks omitted). Consistent with Baze, Glossip also indicated that, when attempting to satisfy the "execution alternative" requirement, prisoners are neither limited to certain categories of execution alternatives nor constrained by state-approved alternatives. See id. at 2739 (stating that a prisoner is required only "to plead and prove a known and available alternative"); id. (rejecting the dissent's argument that "the methods of execution employed before the advent of lethal injection," such as the firing squad, are not permissible execution alternatives).
In Glossip, the prisoners argued that Oklahoma's lethal injection cocktail posed an unacceptable risk of cruel and unusual punishment. They proposed a different cocktail as an execution alternative. However, the Court found that the proposed cocktail was not a "known and available"
Our court has applied the "execution alternative" requirement on multiple occasions. We have found, in accord with Glossip, that a proposed execution alternative does not satisfy the requirement when a state is unable to obtain the materials necessary for the alternative. See, e.g., Brooks v. Warden, 810 F.3d 812, 820-21 (11th Cir. 2016) (concluding that, due to scarcity, the lethal injection cocktail that the prisoner proposed as an execution alternative was not available to Alabama), cert. denied sub nom. Brooks v. Dunn, ___ U.S. ___, 136 S.Ct. 979, 193 L.Ed.2d 813 (2016); Chavez v. Fla. SP Warden, 742 F.3d 1267, 1274 (11th Cir. 2014) (Carnes, C.J., concurring) (rejecting a method-of-execution claim in part because the prisoner admitted that the relevant lethal injection drug alternatives were unavailable), cert. denied sub nom. Chavez v. Palmer, ___ U.S. ___, 134 S.Ct. 1156, ___ L.Ed.2d ___ (2014). We have never concluded that an execution alternative fails to satisfy Baze and Glossip because a state has rejected the alternative by legislation or some other means.
Although neither Baze nor Glossip holds that an execution alternative must be state authorized, the Majority imposes such a requirement on Arthur. The Majority finds that, if a state legislatively rejects an alternative, the alternative is not feasible and readily implemented. But the "feasible and readily implemented" inquiry cannot serve as a vessel for the Majority's novel requirement. State opposition to an execution alternative — through legislation or any other means — has no bearing on the "feasible and readily implemented" inquiry as set forth in Baze and Glossip.
Whether an execution is feasible and readily implemented is considered separately from a state's rejection of the alternative. Again, in setting forth the "execution alternative" requirement, Baze emphasized:
Baze, 553 U.S. at 52, 128 S.Ct. at 1532. Hence, in considering a method-of-execution claim, we determine whether a proposed alternative has "documented advantages," such as being feasible and readily implemented, and then we consider separately the state's refusal to adopt the alternative. See id., 128 S.Ct. at 1532. Those are clearly distinct inquiries. An alternative can have the "documented advantages" of being "feasible" and "readily implemented" even though a state "refuses to adopt" the alternative. See id., 128 S.Ct. at 1532. A state's decision to embrace or reject an alternative therefore does not bear on the "feasible and readily implemented" inquiry. Yet, under the Majority's reasoning, when a state refuses to adopt an execution alternative — by, for example, passing legislation that rejects the alternative and then
Indeed, Baze and Glossip's method-of-execution standard would be internally inconsistent if the "feasible and readily implemented" inquiry took into account a state's opposition — via legislation or another means — to an execution alternative. A state's refusal to adopt a viable execution alternative is the very conduct that gives rise to an Eighth Amendment violation under Baze and Glossip. See id., 128 S.Ct. at 1532. The Eighth Amendment prohibits states from ignoring an "objectively intolerable risk of harm" when imposing punishment. See id. at 49-50, 128 S.Ct. at 1530-31 (internal quotation marks omitted). The method-of-execution standard implements this constitutional protection. When a state uses a dangerous method of execution and "refuses to adopt" an alternative that is feasible, readily implemented, and significantly safer than the state's method, the state ignores an avoidable risk of harm, thereby violating the Eighth Amendment. See id. at 52, 128 S.Ct. at 1532.
The Majority's decision allows this exact conduct to shield a state from method-of-execution liability. According to the Majority, Alabama has legislatively opposed the firing squad, and that "refus[al] to adopt" the firing squad defeats Arthur's method-of-execution claim. See id. at 52, 128 S.Ct. at 1532. That application of Baze and Glossip is clearly inconsistent with those precedents. State law cannot render the firing squad not feasible and readily implemented.
Beyond its incongruence with Baze and Glossip, the Majority's treatment of state law conflicts with the Supremacy Clause. In determining that state law can thwart an execution alternative, the Majority improperly grants states the power to dictate the scope of federal constitutional relief. See U.S. Const. art. VI, cl. 2 ("[The Constitution] shall be the supreme Law of the Land ... Laws of any State to the Contrary notwithstanding."). The upshot of this novel allocation of power is that a state statute can abrogate prisoners' Eighth Amendment right to a humane execution.
Under the Majority's decision, § 15-18-82.1 constricts Eighth Amendment relief and protects Alabama from claims that are viable under Baze and Glossip. The Eighth Amendment guarantees method-of-execution relief when a prisoner identifies any viable alternative. See Baze, 553 U.S. at 51-52, 128 S.Ct. at 1531-32; Glossip, 135 S.Ct. at 2737-39. However, because the only method of execution that § 15-18-82.1 currently authorizes for Arthur is lethal injection, Arthur must identify a viable lethal-injection-based alternative to obtain method-of-execution relief. Any other type of alternative is not contemplated by § 15-18-82.1 and is not feasible and readily implemented.
The Majority's state-law determination however does not merely allow states to constrict prisoners' Eighth Amendment rights — it permits states to abrogate such rights. Moving forward, a state can pass legislation requiring all executions to be performed with a certain gas chamber protocol or a certain electrocution protocol, and since the legislation would authorize only those two particular protocols, no other protocol or method of execution would be feasible and readily implemented. As a result, even in the face of evidence that both protocols are excruciatingly painful, condemned prisoners could never obtain relief from the protocols — it would be impossible to meet Baze and Glossip's "execution alternative" requirement, and Baze and Glossip provide the only avenue for method-of-execution relief. The state's legislation would thus nullify prisoners' right to a humane execution.
Although this example is merely a hypothetical, it underscores the troubling constitutional issues that arise from the Majority's decision. The decision allows state law to trump the Eighth Amendment's basic guarantee against cruel and unusual punishment.
Prisoners in Alabama and Florida
Many condemned prisoners have attempted to propose lethal injection drug alternatives in method-of-execution cases but those attempts have been futile because lethal injection drugs are extremely scarce. See, e.g., Glossip, 135 S.Ct. at 2738 (rejecting a method-of-execution claim after finding that "Oklahoma has been unable to procure [two formerly widely-used lethal injection] drugs despite a good-faith effort to do so"); Brooks, 810 F.3d at 820-21; Chavez, 742 F.3d at 1274 (Carnes, C.J., concurring) (discussing the scarcity of lethal injection drugs); Sepulvado v. Jindal, 729 F.3d 413, 416 (5th Cir. 2013) ("Since 2010, the first drug in [Louisiana's former lethal injection] procedure — sodium thiopental — has been unavailable."); cf. Wood v. Ryan, 759 F.3d 1076, 1097 (9th Cir. 2014) (Bybee, J., dissenting) (remarking that "Tennessee recently reauthorized the use of the electric chair as an alternative method of execution" due to concerns about the unavailability of "the drugs necessary to perform a lethal injection"), vacated, ___ U.S. ___, 135 S.Ct. 21, 189 L.Ed.2d 873 (2014); Distanislao, Note, 49 U. Rich. L. Rev. at 804-05 ("[A]mid ... widespread drug shortages, capital punishment is losing its position as a functional element of American society."). In fact, Arthur himself proffered to the district court two alternative lethal injection drug compounds, but the district court rejected those proposed alternatives after discovery, finding them unavailable to Alabama. See Arthur v. Dunn (Dunn I), No. 2:11-cv-438-WKW-TFM, slip op. at 19-21, 2016 WL 1551475 (M.D. Ala. Apr. 15, 2016); Brief of Defendant-Appellee at 10, Arthur, No. 16-15549. And the Majority now affirms that finding. See Maj. Op. at 1301, 1306.
Furthermore, to the extent that some limited supply of viable, alternative lethal injection drugs exists, prisoners cannot gather the information needed to use those drugs in a method-of-execution claim because details about lethal injection drugs and their suppliers are heavily concealed. See, e.g., Arthur v. Thomas, 674 F.3d 1257, 1263 (11th Cir. 2012) (per curiam) (noting "the veil of secrecy that surrounds Alabama's execution protocol"); Terrell v. Bryson, 807 F.3d 1276, 1281 (11th Cir. 2015) (Martin, J., concurring) (discussing Georgia's lethal injection "secrecy rules"). This veil of secrecy is evident here. Arthur was stonewalled in his attempts to gather information about the availability of the drugs in his proposed lethal injection compounds. According to testimony from an expert witness who asked members of the drug community about the availability of one of the compounds, "none of the pharmacists" that he spoke to "provided [him] permission to share their names [or] contact information." See Arthur v. Dunn (Dunn II), No. 2:11-cv-438-WKW-TFM, slip op. at 41, ___ F.3d ___, 2016 WL 3912038 (M.D. Ala. July 19, 2016). Another expert witness also spoke to the secrecy surrounding the compound, stating, "I have no knowledge of where any state has [in the past] secured [the compound]." See Dunn I, slip op. at 11 n.5.
The scarcity of and secrecy surrounding lethal injection drugs make it basically impossible to identify a "feasible" and "readily
Accordingly, the Majority's decision all but forecloses method-of-execution relief for a myriad of Alabama and Florida prisoners.
The Majority misinterprets Alabama law, reads a new restriction into Baze and Glossip that is directly at odds with those decisions, and empowers states to thwart constitutional claims. Taken together, these errors have jarring practical consequences; relief under Baze and Glossip is now a mirage for prisoners across this circuit.
Arthur is entitled to amend his complaint and proceed with his method-of-execution claim proposing the firing squad.
In offering the firing squad as an execution alternative, Arthur's proposed complaint states:
Motion for Leave to File Third Amended Complaint, Exhibit A at 43-44, No. 2:11-CV-438-WKW-TFM (M.D. Ala. Aug. 25, 2015), ECF No. 256-1 (footnotes omitted).
As Arthur points out in his reply brief, more than a dozen inmates (to date, seven in Texas, seven in Georgia, and one in Missouri) have been executed in 2016 using a single-drug pentobarbital protocol.
As an independent and alternative ground, this testimony by Arthur's own expert witness also demonstrates that the district court did not clearly err in finding that Arthur did not meet his burden to show a known, available, and substantially safer alternative, as he was required to do in his as-applied claim.
Although a district court has discretion in whether to grant a request to amend the complaint, the court in denying the request must articulate a valid reason for the denial. See 3-15 Moore's Federal Practice § 15.15 (Matthew Bender 3d ed.) ("[A] trial court must provide a reason for denying a motion to amend."); Fed. R. Civ. P. 15(a)(2) ("The court should freely give leave [to amend a pleading] when justice so requires."). The Majority claims that the district court could have listed several reasons for its denial here, but the court offered only one reason: futility due to an Alabama statute. We review a finding of futility de novo. Mizzaro v. Home Depot, Inc., 544 F.3d 1230, 1236 (11th Cir. 2008). And this dissent argues that under de novo review, the Majority's finding of futility based on Alabama law is erroneous.