Estate of Lockett ex rel. Lockett v. Fallin

841 F.3d 1098, 101 Fed. R. Serv. 1360, 2016 U.S. App. LEXIS 20499, 2016 WL 6695780
CourtCourt of Appeals for the Tenth Circuit
DecidedNovember 15, 2016
Docket15-6134
StatusPublished
Cited by60 cases

This text of 841 F.3d 1098 (Estate of Lockett ex rel. Lockett v. Fallin) is published on Counsel Stack Legal Research, covering Court of Appeals for the Tenth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Estate of Lockett ex rel. Lockett v. Fallin, 841 F.3d 1098, 101 Fed. R. Serv. 1360, 2016 U.S. App. LEXIS 20499, 2016 WL 6695780 (10th Cir. 2016).

Opinions

PHILLIPS, Circuit Judge.

The Estate of Clayton Lockett, through its personal representative Gary Lockett, filed suit against Mary Fallin, Governor of Oklahoma, in her individual capacity; Robert Patton, Director of the Department of Corrections of Oklahoma, in his individual capacity; Anita Trammell, Warden of the Oklahoma1 State Penitentiary, in her individual capacity; Dr. Doe, in his official and individual capacities; John Doe EMT, in his individual capacity; three John Doe executioners, in their individual capacities; two John Doe drug manufacturers, in their individual and official capacities; and two John Doe compounding pharmacies,1 in their individual and official capacities. The Estate asserts several constitutional violations related to Lockett’s execution. We [1104]*1104affirm the district court’s dismissal of the case,

1. Facts2

In 1999, Lockett kidnapped, assaulted, and killed nineteen-year-old Stephanie Neiman. Lockett shot young Ms. Neiman with a shotgun and then had an accomplice bury her alive. In 2000, a jury found Clayton Lockett guilty of 19 felonies arising from the same incident, including the murder, rape, forcible sodomy, kidnapping, and assault and battery of Ms. Nei-man. The jury recommended that the court impose the death penalty on Lock-ett’s murder conviction.

From 1990 to 2010, as detailed in Oklahoma’s Field Memorandum, a manual setting execution procedures, Oklahoma used a common drug protocol previously administered in at least 93 Oklahoma executions. Under this protocol, Oklahoma administered three drugs—the first, sodium thio-pental, to render the condemned inmate unconscious; the second, pancuronium bromide, to paralyze the inmate; and the third, potassium chloride, to induce cardiac arrest and stop the inmate’s heart. In 2010, facing difficulty obtaining sodium thi-opental, Oklahoma officials amended the Field Memorandum to substitute in its place pentobarbital.3

On March 21, 2014, Oklahoma officials again amended the Field Memorandum to allow a number of new alternate procedures for use in executions by lethal injection. As one of these new procedures, officials substituted midazolam as the first drug used in the protocol. Before Lockett’s execution, Oklahoma had not used midazo-lam during an execution. Warden Tram-mell and Director Patton chose this new protocol. Neither of them had any independent medical training.

On April 1, 2014, Warden Trammell and Director Patton notified Lockett that he would be executed using midazolam, pan-curonium bromide, and potassium chloride, with the first two drugs being manufactured by a compounding pharmacy.4 On April 4, 2014, they notified Lockett that the midazolam would not in fact be from a compounding pharmacy. On April 11, 2014, they notified Lockett that vecuronium bromide would be used instead of pancuroni-um bromide.

On April 14, 2014, Warden Trammell and Director Patton amended the Field Memorandum’s execution procedures by increasing the concentration of midazolam [1105]*1105from 50mg/100ml ter 50mg/10ml, a tenfold increase. Thus, Warden- Trammell and Director Patton did not notify Lockett of the final drug protocol until April 14, 2014 (15 days before his execution). On April 25, 2014, Oklahoma officials again amended the-Field Memorandum, but the Amended Complaint does not specify what changed, simply noting that the-change was made “with an addendum.” Appellant’s App. vol. 1 at 160. When Lockett was executed, the Field Memorandum did not require a backup IV- line, a visible and uncovered IV line, or continuous observation, of the IV insertion site. Nor did it require that backup dosages of the drugs be available or that the personnel involved in the execution have any specific level of training.

Ultimately, Lockett was executed under one of the Field. Memorandum’s newly amended protocols: lOOmg of midazolam (to render Lockett unconscious),5 40mg of vecuronium bromide (to paralyze Lockett), and 200 milliequivalents of potassium chloride (to stop Lockett’s heart). Until Lock-ett’s execution, no State had ever used that protocol. Unless the dosage of midazolam renders the prisoner unconscious, the second and third drugs will cause immense pain. Vecuronium bromide will asphyxiate the prisoner, and potassium chloride will cause “burning and intense pain” until death follows cardiac arrest. Id. at 163-64.

On April 29, 2014, Oklahoma brought Lockett to the execution chamber, and Dr. Doe6 and the EMT ultimately selected a vein in his groin area as the injection site.7 To shield any view of Lockett’s naked groin from witnesses in the execution chamber, someone placed a cloth over the injection site. After Dr. Doe and the EMT placed the IV, prison officials raised the curtain separating the viewing area from the execution chamber.

At 6:23 p.m., the executioners administered the first drug, midazolam. At 6:33 p.m., Lockett was declared unconscious. After this, the executioners administered the second drug (vecuronium bromide) and the third drug (potassium chloride). Unexpectedly, at 6:36 p.m., Lockett began “twitching and convulsing” on the table. Id. at 152. At 6:37 p.m., he tried to rise from the table but was able only to raise his head and say, “Oh, man,” and “I’m not....” Id. According to some observers, Lockett also said, “something’s wrong.” Id. Soon afterward, Lockett “began to buck and writhe, as if he was trying to raise himself from the gurney[,] ... [and he] next tried to raise his head and shoulders away from th[e] gurney [while] clenchpng] his teeth and grimac[ing] in pain.” Id. at 160.

In response, Dr. Doe examined the IV site and saw that the injection vein had [1106]*1106collapsed, preventing some of the drugs from reaching Lockett’s circulatory system, Responding to a question from Director Patton, Dr. Doe advised him that he believed insufficient drugs had entered Lockett’s system to cause death. Dr. Doe also told Director Patton that no other vein was available and that insufficient drugs remained to complete the execution even if Dr. Doe could find another vein. Dr. Doe did not consider or was unaware that the State had a second set of the execution drugs available to execute condemned prisoner Charles Warner later that night. As events soon proved, Dr, Doe was mistaken that the drugs in Lockett’s system might not cause death. At 7:06 p.m., Dr. Doe declared Lockett dead, 43 minutes after the executioners administered the first drug. In the 19 Oklahoma executions preceding Lockett’s execution, doctors had pronounced the condemned prisoner dead between 6 and 12 minutes (as we understand it, from administering the first drug).

The Amended Complaint alleges that the autopsy report says the “execution was halted” at 6:56 p.m., 33 minutes after Lockett was injected with the midazolam (not saying who halted it or how). Id. at 153. A later report noted that “an IV insertion problem” prevented at least some of the drugs from entering Lockett’s system. Id. No one knows how much of each drug entered Lockett’s system. The report concluded that the cloth over Lockett’s groin, which blocked the execution team’s view of the IV insertion site, was the “major reason” for the problems with the execution. Id. at 174.

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841 F.3d 1098, 101 Fed. R. Serv. 1360, 2016 U.S. App. LEXIS 20499, 2016 WL 6695780, Counsel Stack Legal Research, https://law.counselstack.com/opinion/estate-of-lockett-ex-rel-lockett-v-fallin-ca10-2016.