Barkes Ex Rel. Barkes v. First Correctional Medical, Inc.
2014 U.S. App. LEXIS 17261
| 3rd Cir. | 2014Background
- Barkes died by suicide at Howard R. Young Correctional Institution in 2004 while awaiting transport; First Correctional Medical, Inc. (FCM) provided medical services there under contract with the Delaware DOC.
- Barkes had a long history of mental health issues and prior suicide attempts; intake screening by an LPN noted only two risk factors, with routine referral to mental health.
- DOC executives Stanley Taylor and Raphael Williams were sued for Eighth Amendment deliberate indifference and for failure to supervise, amid alleged under-. staffing and contract non-compliance by FCM.
- NCCHC standards governed intake and suicide risk assessment; 1997 forms guided practice, later updated in 2003; plaintiffs argued FCM failed to implement updated standards and proper referrals.
- District Court granted partial summary judgment; after amended complaints, the case proceeded on a supervisory-liability theory; the appellate court reversed in part regarding qualified immunity, remanding for trial.
- Issue centers on whether DOC supervisors can be held liable for subordinates’ mistreatment under Iqbal, and whether Barkes’ asserted supervisory-right is clearly established.
Issues
| Issue | Plaintiff's Argument | Defendant's Argument | Held |
|---|---|---|---|
| Whether Barkes’ supervisory-liability claim survives post-Iqbal | Barkes—Taylor/Williams liable for failure to supervise FCM’s medical care | Iqbal extinguishes broad supervisory liability for non-personal involvement | Not entitled to immunity; disputed facts preclude dismissal at summary judgment |
| Whether the right to supervision over a medical vendor was clearly established | Right to proper supervision of FCM’s suicide-prevention protocols was clearly established | No clearly established right to supervise a private medical contractor | Right to proper implementation of suicide-prevention protocols clearly established |
| Whether there are genuine disputes of material fact on qualified immunity | Disputed facts show deliberate indifference via supervision failures | Record lacks personal involvement and awareness by Taylor/Williams | Material disputes preclude summary judgment on qualified immunity |
| Whether Sample v. Diecks remains valid as a framework for supervisory liability after Iqbal | Sample’s framework applies—a specific supervisory practice failed to be employed | Iqbal abrogates Sample’s approach and requires personal involvement | Sample’s threshold requirement remains compatible with the Eighth Amendment claim; the court preserved a supervisory-liability path to trial |
| Whether Barkes identified a specific supervisory practice Taylor/Williams failed to enforce | Taylor/Williams failed to enforce NCCHC standards and contract obligations | No specific supervisory practice identified; high-level supervision insufficient under Iqbal | Barkes failed to plead a particular supervisory practice; however disputed facts keep the claim alive for trial |
Key Cases Cited
- Ashcroft v. Iqbal, 556 U.S. 662 (U.S. 2009) (supervisory liability requires personal involvement; not vicarious liability)
- Farmer v. Brennan, 511 U.S. 825 (U.S. 1994) (deliberate indifference standard; risk must be known to officials)
- City of Canton v. Harris, 489 U.S. 378 (U.S. 1989) (objectively obvious risk can support liability under municipal liability)
- Sample v. Diecks, 885 F.2d 1099 (3d Cir. 1989) (four-part test for supervisory liability post-Canton)
- Spruill v. Gillis, 372 F.3d 218 (3d Cir. 2004) (non-medical officials may be liable when aware of malfeasance by medical staff)
- Dodds v. Richardson, 614 F.3d 1185 (10th Cir. 2010) (Iqbal limits supervisor liability to actions showing personal involvement or purpose)
- Nelson v. Correctional Medical Services, 583 F.3d 522 (8th Cir. 2009) (en banc; supervisor liable only for personal deliberate indifference)
- Starr v. Baca, 652 F.3d 1202 (9th Cir. 2011) (post-Iqbal supervisory liability approach varies by circuit)
- al-Kidd v. Ashcroft, 131 S. Ct. 2074 (U.S. 2011) (limited supervisory liability; right to act with purpose or knowledge varies by context)
- Colburn v. Upper Darby Township, 838 F.2d 663 (3d Cir. 1988) (suicide vulnerability as a medical need under Estelle framework)