Richard Jordan v. Marshall Fisher

Case: 15-60604 Document: 00513567316 Page: 1 Date Filed: 06/27/2016

REVISED JUNE 27, 2016

IN THE UNITED STATES COURT OF APPEALS

FOR THE FIFTH CIRCUIT

No. 15-60604 United States Court of Appeals

Fifth Circuit

FILED

RICHARD JORDAN; RICKY CHASE, February 10, 2016

Lyle W. Cayce

Plaintiffs – Appellees, Clerk

THOMAS EDWIN LODEN, JR.,

Intervenor – Appellee,

v.

COMMISSIONER MARSHALL L. FISHER, Commissioner, Mississippi

Department of Corrections, in his Official Capacity; SUPERINTENDENT

EARNEST LEE, Superintendent, Mississippi State Penitentiary, in his

Official Capacity; THE MISSISSIPPI STATE EXECUTIONER, In his Official

Capacity; UNKNOWN EXECUTIONERS, in their Official Capacities,

Defendants – Appellants.

Appeals from the United States District Court

for the Southern District of Mississippi

Before HIGGINBOTHAM, OWEN, and ELROD, Circuit Judges.

JENNIFER WALKER ELROD, Circuit Judge:

Case: 15-60604 Document: 00513567316 Page: 2 Date Filed: 06/27/2016

We hereby withdraw our previous opinion of February 10, 2016 and

substitute the following. 1

Plaintiffs Richard Jordan and Ricky Chase and Intervenor Thomas

Loden are prisoners awaiting execution in the state of Mississippi. They sued

under § 1983 in federal district court seeking an injunction preventing the

state from conducting executions with compounded pentobarbital. The district

court granted a broad preliminary injunction. Because Mississippi’s sovereign

immunity prevents a federal court from enjoining state officials to follow state

law, and because Plaintiffs 2 have not shown they are likely to succeed in

establishing a violation of either their procedural or substantive due process

rights, we VACATE the injunction and REMAND.

I.

Richard Jordan was sentenced to death following his conviction on

charges of kidnapping and murdering Edwina Marter on January 13, 1976.

Jordan v. State, 786 So.2d 987, 997 (Miss. 2001). Ricky Chase was sentenced

to death following his conviction on charges of murdering Elmer Hart during

the course of a robbery. Chase v. State, 645 So.2d 829, 834 (Miss. 1994). Thomas

Loden was sentenced to death following his conviction on charges of

kidnapping, raping, and murdering Leesa Marie Gray. Loden v. State, 971

So.2d 548, 551–52 (Miss. 2007). All three await execution in the state of

Mississippi. Jordan and Chase brought suit challenging the method by which

Mississippi planned to execute them. Loden intervened, echoing their claims.

Mississippi law provides that “the manner of inflicting the punishment

of death shall be by continuous intravenous administration of a lethal quantity

1Plaintiffs’ petition for panel rehearing is DENIED. No member of the panel nor judge

in regular active service of the court having requested that the court be polled on rehearing

en banc, Plaintiffs’ petition for rehearing en banc is DENIED.

2 We refer to Jordan, Chase, and Loden collectively as Plaintiffs. Loden is an

intervenor but raises claims indistinguishable from those raised by Chase and Jordan.

Case: 15-60604 Document: 00513567316 Page: 3 Date Filed: 06/27/2016

No. 15-60604

of an ultra short-acting barbiturate or other similar drug in combination with

a chemical paralytic agent until death is pronounced.” Miss. Code Ann. § 99-

19-51. At the time this lawsuit began, the state’s lethal injection protocol called

for the infusion of sodium pentothal or, if sodium pentothal could not be

obtained, pentobarbital as the first drug in a three-drug cocktail. Plaintiffs

sued various state officers seeking an injunction forbidding the use of

pentobarbital as contrary to § 99-19-51’s requirement of an “ultra short-acting

barbiturate or other similar drug” and forbidding the use of compounded drugs

which they alleged violated their Eighth and Fourteenth Amendment rights.

Immediately before the district court conducted a hearing on Plaintiffs’

motion for a preliminary injunction, Mississippi substituted a revised lethal

injection protocol that allowed it to use midazolam as the first drug in the

three-drug cocktail if it could not obtain sodium pentothal or pentobarbital.

The district court concluded Plaintiffs had demonstrated a substantial

likelihood of success “at least, on their claim that Mississippi’s failure to use a

drug which qualifies as an ‘ultra short-acting barbiturate or other similar drug’

as required by Miss. Code Ann. § 99-19-51 violates Mississippi statutory law

and the Due Process Clause of the Fourteenth Amendment.” 3 The court

granted a sweeping preliminary injunction preventing Mississippi from using

“pentobarbital, specifically in its compounded form, or midazolam” to execute

any death row inmate and required the state to submit any other proposed

method of execution for the court’s approval. Mississippi appeals. 4

3 The district court has not yet considered the Plaintiffs’ First Amendment access to

courts claim, Eighth Amendment cruel and unusual punishment claim, and Fourteenth

Amendment notice claim. These claims may be considered in the first instance on remand.

4 Mississippi asserts that, as it no longer has pentobarbital and is currently unable to

obtain more, there is no live controversy regarding pentobarbital and the issue is moot.

Because other states retain access to pentobarbital it seems possible that Mississippi could

regain access in the future. We are reluctant to conclude the issue is moot because we are not

convinced “subsequent events [have] made it absolutely clear that the allegedly wrongful

3

Case: 15-60604 Document: 00513567316 Page: 4 Date Filed: 06/27/2016

No. 15-60604

II.

In order to obtain a preliminary injunction, the party seeking the

injunction must establish:

(1) a substantial likelihood of success on the merits, (2) a

substantial threat of irreparable injury if the injunction is not

issued, (3) that the threatened injury if the injunction is denied

outweighs any harm that will result if the injunction is granted,

and (4) that the grant of an injunction will not disserve the public

interest.

Sepulvado v. Jindal, 729 F.3d 413, 417 (5th Cir. 2013). “A preliminary

injunction is an extraordinary remedy which should not be granted unless the

party seeking it has clearly carried the burden of persuasion on all four

requirements.” Bluefield Water Ass’n v. City of Starkville, 577 F.3d 250, 253

(5th Cir. 2009). A district court’s decision to grant a preliminary injunction is

reviewed for abuse of discretion. Id. The district court’s “findings of fact ‘are

subject to a clearly-erroneous standard of review,’ while conclusions of law ‘are

subject to broad review and will be reversed if incorrect.’” Janvey v. Alguire,

647 F.3d 585, 592 (5th Cir. 2011) (quoting White v. Carlucci, 862 F.2d 1209,

1211 (5th Cir. 1989)).

“To assess the likelihood of success on the merits, we look to standards

provided by the substantive law.” Sepulvado, 729 F.3d at 418 (quoting Janvey,

647 F.3d at 596). Plaintiffs face a challenge here. Mississippi’s sovereign

immunity prevents a federal court from issuing an injunction against state

officials solely to require them to adhere to state law. Pennhurst State Sch. &

Hosp. v. Halderman, 465 U.S. 89, 106–07 (1984) (“[I]t is difficult to think of a

behavior could not reasonably be expected to recur.” Friends of the Earth, Inc. v. Laidlaw

Envtl. Servs., 528 U.S. 167, 189 (2000) (quoting United States v. Concentrated Phosphate

Export Ass’n, 393 U.S. 199, 203 (1968)).

4

Case: 15-60604 Document: 00513567316 Page: 5 Date Filed: 06/27/2016

No. 15-60604

greater intrusion on state sovereignty than when a federal court instructs state

officials on how to conform their conduct to state law.”). Plaintiffs’ claims

seeking enforcement of § 99-19-51 may only proceed in federal court if a

provision of federal law or the United States Constitution creates a right to the

enforcement of § 99-19-51. 5

Section 1983 provides a cause of action against state actors for plaintiffs

who suffer “deprivation of any rights, privileges or immunities secured by the

Constitution and laws” at the hands of those acting with the authority of a

state. 42 U.S.C. § 1983. Here Plaintiffs assert that Mississippi’s intention to

execute them using pentobarbital or midazolam violates the Fourteenth

Amendment’s due process clause. The guarantee of due process enshrined in

the Fourteenth Amendment has two components—(1) a guarantee of

procedural protections when a state seeks to deprive an individual of protected

liberty or property interests, and (2) a substantive protection against conduct

that “shocks the conscience.” See County of Sacramento v. Lewis, 523 U.S. 833,

846 (1998); Meza v. Livingston, 607 F.3d 392, 399 (5th Cir. 2010). The first

component of the due process clause requires a two-step analysis: first a court

must determine whether the plaintiff has a protected liberty or property

interest and then the court must determine whether the state has provided

adequate procedures for the vindication of that interest. Wilkinson v. Austin,

545 U.S. 209, 213 (2005). The second component of the due process clause does

not rest on state law. According to the Supreme Court, this component provides

substantive rather than merely procedural protections and comes into play

when “the behavior of the governmental officer is so egregious, so outrageous,

5 A plaintiff can sometimes avoid the jurisdictional bar posed by sovereign immunity

by suing a state officer and challenging the actions of that officer as prohibited by federal law

and therefore ultra vires. Ex Parte Young, 209 U.S. 123 (1908). So long as the plaintiff seeks

prospective injunctive relief, a federal court may consider whether the state officer’s actions

are forbidden by federal law. Edelman v. Jordan, 415 U.S. 651 (1974).

5

Case: 15-60604 Document: 00513567316 Page: 6 Date Filed: 06/27/2016

No. 15-60604

that it may fairly be said to shock the contemporary conscience” regardless of

whether the behavior in question conforms or fails to conform to state laws.

County of Sacramento, 523 U.S. at 862 n.8.

Because the district court was not clear as to which aspect of the due

process clause Mississippi’s protocol violates, we examine both prongs. 6 We

ask, first, whether Mississippi’s alleged departure from the state law governing

its lethal injection protocol violates Plaintiffs’ procedural due process rights

and, second, whether the same alleged departure from state law violates

Plaintiffs’ substantive due process rights.

A.

We begin by examining whether Plaintiffs can show Mississippi’s

proposed method of execution violates the procedural protections of the

Fourteenth Amendment because it fails to conform to state law. The

Fourteenth Amendment’s right to procedural due process guarantees citizens

the protection of adequate procedures before allowing a state to deprive them

of their property, liberty, or life. Liberty interests protected by the Fourteenth

Amendment “may arise from the Constitution itself, by reason of guarantees

implicit in the word ‘liberty,’ or it may arise from an expectation or interest

created by state laws or policies.” Wilkinson v. Austin, 545 U.S. 209, 221 (2005)

(citations omitted); accord Wolff v. McDonnell, 418 U.S. 539, 556–57 (1974).

The Supreme Court recognizes a narrow category of state-created liberty

interests that:

will generally be limited to freedom from restraint which, while

not exceeding the sentence in such an unexpected manner as to

give rise to protection by the Due Process Clause of its own force,

6 The district court did not reach Plaintiffs’ remaining claims alleging a violation

Plaintiffs’ right to fair notice of Mississippi’s method of execution, alleging a violation of

Plaintiffs’ Eighth Amendment rights arising from Mississippi’s failure to use a one-drug

protocol, and alleging a violation of Plaintiffs’ right of access to courts. Therefore we do not

address those claims here. See Sepulvado, 729 F.3d at 417.

6

Case: 15-60604 Document: 00513567316 Page: 7 Date Filed: 06/27/2016

No. 15-60604

nonetheless imposes atypical and significant hardship on the

inmate in relation to the ordinary incidents of prison life.

Sandin v. Conner, 515 U.S. 472, 483–84 (1995).

Plaintiffs argue that they have a liberty interest created by state law,

specifically § 99-19-51, and that it prevents the state from executing them

using any drugs other than “an ultra short-acting barbiturate or other similar

drug” as the first drug in a three-drug cocktail. However, even if the revised

lethal injection protocol does not conform to § 99-19-51, “a mere error of state

law is not a denial of due process.” Swarthout v. Cooke, 562 U.S. 216, 222 (2011)

(quoting Engle v. Isaac, 456 U.S. 107, 121 n.21 (1982)). Plaintiffs contend that

§ 99-19-51 creates a liberty interest because it places “substantive limitations

on official discretion.” Olim v. Wakinekona, 461 U.S. 238, 249 (1989); accord

Kentucky Dept. of Corrections v. Thompson, 490 U.S. 454, 462 (1989); Hewitt v.

Helms, 459 U.S. 460, 471 (1983) (state created liberty interest in prison

regulations characterized by “repeated use of explicitly mandatory language”).

The Supreme Court, however, later expressly rejected the “substantive

limitations” test used in Olim, Hewitt, and Thompson, reasoning that it

“create[d] disincentives for States to codify prison management procedures”

and “led to the involvement of federal courts in the day-to-day management of

prisons, often squandering judicial resources with little offsetting benefit to

anyone.” Sandin, 515 U.S. at 482; accord Wilkinson, 545 U.S. at 222–23

(recognizing Sandin’s rejection of the Hewitt–Olim standard). Instead, the

Court now relies on Sandin’s test to determine whether a state law or

procedure gives rise to a liberty interest, asking whether the state’s proposed

deviation from policy “imposes atypical and significant hardship on the inmate

in relation to the ordinary incidents of prison life.” Sandin, 515 U.S. at 483.

Therefore, in order to establish a liberty interest arising from § 99-19-51,

Plaintiffs must show that execution with pentobarbital or midazolam would

7

Case: 15-60604 Document: 00513567316 Page: 8 Date Filed: 06/27/2016

No. 15-60604

“impose atypical and significant hardship” on them beyond the ordinary for

those facing execution. Sandin, 515 U.S. at 484. The Court has recognized such

hardship in a very small number of cases generally related to extensive solitary

confinement or imprisonment beyond the term permitted by state law. See, e.g.,

Wilkinson v. Austin, 545 U.S. 209 (2005) (prisoners had a liberty interest in

the state’s decision to confine them in a supermax facility with highly

restrictive solitary confinement conditions); Hicks v. Oklahoma, 447 U.S. 343

(1980) (prisoner had liberty interest in serving only ten years in prison rather

than the forty years he was sentenced to under a habitual offender statute

subsequently held to be unconstitutional); Vitek v. Jones, 445 U.S. 480, 491

(1980) (prisoner had liberty interest in remaining in prison rather than a

mental hospital); Washington v. Harper, 494 U.S. 210, 221 (1990) (prisoner had

liberty interest in avoiding involuntary administration of antipsychotic

medication).

Here, however, Mississippi’s statutory requirements and the associated

lethal injection protocol are not “atypical … in relation to the ordinary” in

comparison with other states’ execution protocols. The three-drug protocol and

the particular drugs Mississippi proposes to use (midazolam, a paralytic, and

potassium chloride) are typical for those states that use lethal injection and

were recently upheld in the face of a constitutional challenge. Glossip v. Gross,

135 S. Ct. 2726, 2735 (2015) (describing Oklahoma’s three-drug lethal injection

protocol as midazolam, a paralytic, and potassium chloride). Because Plaintiffs

have failed to demonstrate Mississippi’s intent to “impose atypical and

significant hardship on the inmate in relation to the ordinary incidents of

prison life,” Sandin, 515 U.S. at 484, they have not established that the state’s

revised protocol invades a protected liberty interest.

Even if § 99-19-51 were to create a liberty interest, the right it creates

would be subject only to procedural protection. State law is not a source of

8

Case: 15-60604 Document: 00513567316 Page: 9 Date Filed: 06/27/2016

No. 15-60604

liberty interests that are substantively protected by the Fourteenth

Amendment; rather, it gives rise to interests that are promised procedural

protections by the Fourteenth Amendment. Swarthout v. Cooke, 562 U.S. 216,

219 (2011) (“Whatever liberty interest exists is, of course, a state interest

created by California law. … [When] a State creates a liberty interest, the Due

Process Clause requires fair procedures for its vindication. … No opinion of

ours supports converting California’s ‘some evidence’ rule into a substantive

federal requirement.”); Wilkinson, 545 U.S. at 224–25 (holding state law gave

rise to a liberty interest and rejecting the suit after determining the state’s

procedures satisfied the procedural requirements of Mathews v. Eldridge, 424

U.S. 319 (1976)); Marsh v. County of San Diego, 680 F.3d 1148, 1155 (9th Cir.

2012) (“A state official’s failure to comply with state law that gives rise to a

liberty or property interest may amount to a procedural (rather than

substantive) due process violation.”).

Our sister circuit has concluded that state post-conviction relief petitions

satisfy a prisoner’s right to seek proper enforcement of a state’s method-of-

execution law. Pavatt v. Jones, 627 F.3d 1336, 1341 (10th Cir. 2010). We agree.

Mississippi provides an adequate forum for the vindication of Plaintiffs’ rights

that arise from state law. Mississippi’s post-conviction relief statute explicitly

empowers prisoners to challenge their sentence as “imposed in violation of the

… Constitution or laws of Mississippi.” Miss. Code Ann. § 99-39-5(1). If

Plaintiffs wish to protest that Mississippi’s revised lethal injection protocol is

an unlawful deviation from Mississippi’s laws, Mississippi’s courts are the

appropriate venue for their suit.

B.

Plaintiffs also argue that Mississippi’s intention to execute them in a

manner other than that described by § 99-19-51 “shocks the conscience” and

that they are entitled to substantive enforcement of § 99-19-51 regardless of

9

Case: 15-60604 Document: 00513567316 Page: 10 Date Filed: 06/27/2016

No. 15-60604

the state post-conviction relief procedures available to them. This argument

sounds in substantive due process. According to the Supreme Court, “[t]he

touchstone of due process is protection of the individual against arbitrary

action of government.” County of Sacramento, 523 U.S. at 845. The Court has

held that executive action violates a citizen’s substantive due process rights

when the action “shocks the conscience.” Id. at 846. The Court’s test for the

substantive component of the due process clause prohibits “only the most

egregious official conduct,” id., and will rarely come into play. At the same time

that the Court announced the “shocks the conscience” test it counseled judges

against “drawing on our merely personal and private notions [to] disregard the

limits that bind judges in their judicial function.” Rochin v. California, 342

U.S. 165, 170–71 (1952).

Plaintiffs base their substantive due process argument on Hicks v.

Oklahoma and its progeny and argue that execution under the revised protocol

“shocks the conscience.” County of Sacramento, 523 U.S. at 846. This argument

mixes the substantive and procedural prongs of due process and

misunderstands Hicks. Hicks was convicted of heroin distribution, an offense

that carried a minimum sentence of ten years, but was sentenced to a

mandatory forty years in prison because of a state habitual offender statute.

Hicks, 447 U.S. at 344. After Hicks’s sentencing, the Oklahoma Court of

Criminal Appeals declared the state’s habitual offender statute

unconstitutional. Id. Hicks challenged his sentence, asserting that it was

unconstitutionally imposed because the instructions given to his jury

(requiring a minimum sentence of forty years) were based on an

unconstitutional statute. Id. Hicks asserted that his sentencing itself was

unconstitutional; he did not assert—as Plaintiffs do—that the state intended

to carry out a constitutional sentence in an unconstitutional manner. Hicks

and its progeny are squarely focused on correcting the imposition of an

10

Case: 15-60604 Document: 00513567316 Page: 11 Date Filed: 06/27/2016

No. 15-60604

impermissible sentence at trial. Hicks, 557 U.S. at 346; Burge v. Butler 867

F.2d 247, 248–50 (5th Cir. 1989) (requiring resentencing for a prisoner

sentenced to life without parole under a sentencing statute passed after he had

committed his crimes). Hicks and Burge would be relevant if Plaintiffs argued

their death sentences were unlawful, but these cases provide no support for

Plaintiffs’ challenge to the proposed method of execution. Plaintiffs were

sentenced to death and it is a death sentence that Mississippi plans to impose.

III.

Plaintiffs have not demonstrated a substantial likelihood of success on

the merits of their claims because they have not established a liberty interest

in the enforcement of § 99-19-51 and because they have not shown that

Mississippi’s alleged deviation § 99-1-51 would “shock the conscience.”

Therefore, the district court abused its discretion by granting an injunction. 7

We VACATE the district court’s injunction and REMAND to the district

court for proceedings consistent with this opinion.

7 The district court, having found Plaintiffs were likely to succeed on the merits,

concluded without analysis that they satisfied prongs three and four of the test for a

preliminary injunction. The Supreme Court requires that, in addition to considering

Plaintiffs interests in obtaining an injunction, we also consider the public’s interest in the

enforcement of state law and the validation of a jury verdict. Hill, 547 U.S. at 584 (“[A] stay

of execution is an equitable remedy. It is not available as a matter of right.”); See also Town

of Castle Rock v. Gonzales, 545 U.S. 748, 765 (2005) (“[t]he serving of public rather than

private ends is the normal course of the criminal law because criminal acts, ‘besides the

injury [they do] to individuals, … strike at the very being of society; which cannot possibly

subsist, where actions of this sort are suffered to escape with impunity.’” (quoting 4, William

Blackstone, Commentaries *5)). Because we conclude Plaintiffs have not shown a likelihood

of success on the merits, we need not determine whether the district court exceeded its

equitable power by failing to consider the public interests at stake. See Hill, 547 U.S. at 584

(“[E]quity must be sensitive to the State’s strong interest in enforcing its criminal judgments

without undue interference from the federal courts.”); Lewis v. Casey, 518 U.S. 343, 386

(1996) (Thomas, J., concurring) (emphasizing the state’s sovereign interest in overseeing the

state penal system).

11